Chapter 1: An Overview of Procedure 1

Contents
Preface xxv
Chapter 1: An Overview of Procedure 1

A. The Idea and the Practice of Procedure 1
1. Locating Procedure 1
2. Clients, Lawyers, Procedure, and Strategy 2
B. Where Can the Suit Be Brought? 5
1. Personal Jurisdiction 6
2. Subject Matter Jurisdiction 7
Hawkins v. Masters Farms, Inc. 7
Notes and Problems 11
3. Service of Process 13
C. Stating the Case 14
1. The Lawyer’s Responsibility 14
Bridges v. Diesel Service, Inc. 14
Note: Reading the Rules 17
2. The Complaint 19
Bell v. Novick Transfer Co. 20
3. The Response—Motions and Answer 22
a. Pre-Answer Motions 23
b. The Answer 25
4. Amendment of Pleadings 28
D. Parties to the Lawsuit 28
Fisher v. Ciba Specialty Chemicals Corp. 29
xi
xii Contents
E. Factual Development—Discovery 32
Butler v. Rigsby 34
F. Pretrial Disposition—Summary Judgment 38
Houchens v. American Home Assurance Co. 39
G. Trial 44
Norton v. Snapper Power Equipment 45
H. Former Adjudication 49
Ison v. Thomas 49
I. Appeals 52
Reise v. Board of Regents of the University of Wisconsin 53
Note on Appellate Structure and Jurisdiction 56
Note: Civil Procedure in Your Substantive Courses 58
Assessment Questions—And a Word About Using These
Questions 59
Analysis of Assessment Questions 61
PART I: THE CONSTITUTIONAL FRAMEWORK

FOR U.S. LITIGATION
A. Approaching Civil Procedure 63

B. Constitutional Limits in Litigation 64
1. The Idea of Jurisdiction 64
2. Jurisdiction and the Constitution 65
3. The Constitution and Choice of Law 67
Chapter 2: Personal Jurisdiction 69

A. The Origins 69
Pennoyer v. Neff 70
B. The Modern Constitutional Formulation of Power 80
1. Redefining Constitutional Power 80
International Shoe Co. v. Washington 81
Contents xiii
McGee v. International Life Insurance Co. 89

Hanson v. Denckla 89
2. Absorbing In Rem Jurisdiction 91
Shaffer v. Heitner 93
3. Specific Jurisdiction: The Modern Cases 103
World-Wide Volkswagen Corp. v. Woodson 103
J. McIntyre Machinery, Ltd. v. Nicastro 114
Abdouch v. Lopez 125
4. General Jurisdiction 132
Goodyear Dunlop Tires Operations, S.A. v. Brown 133
Daimler AG v. Bauman 137
Burnham v. Superior Court 143
Note on the Mechanics of Jurisdiction: Challenge and Waiver 151
C. Consent as a Substitute for Power 154
Carnival Cruise Lines, Inc. v. Shute 155
D. The Constitutional Requirement of Notice 160
Mullane v. Central Hanover Bank & Trust Co. 161
Notes and Problems on Service of Process 171
E. Self-Imposed Restraints on Jurisdictional Power: Long-Arm Statutes,
Venue, and Discretionary Refusal of Jurisdiction 175
1. Long-Arm Statutes as a Restraint on Jurisdiction 176
Gibbons v. Brown 176
2. Venue as a Further Localizing Principle 180
Thompson v. Greyhound Lines, Inc. 182
3. Declining Jurisdiction: Transfer and Forum Non Conveniens 186
a. Forum Non Conveniens 187
Piper Aircraft v. Reyno 187
Atlantic Marine Construction Co. v. United States District Court 194
xiv Contents

Assessment Questions 199
Chapter 3: Subject Matter Jurisdiction

of the Federal Courts 205
A. The Idea and the Structure of Subject Matter Jurisdiction 205
B. Federal Question Jurisdiction 209
Louisville & Nashville Railroad v. Mottley 210
C. Diversity Jurisdiction 220
Redner v. Sanders 221
Hertz Corp. v. Friend 227
Note: Amount in Controversy 231
D. Supplemental Jurisdiction 234
In re Ameriquest Mortgage Co. Mortgage Lending Practices
Litigation 237
Szendrey-Ramos v. First Bancorp 239
E. Removal 242
Caterpillar, Inc. v. Lewis 246
Chapter 4: State Law in Federal Courts: Erie

and Its Entailments 255
A. State Courts as Lawmakers in a Federal System 256
1. The Issue in Historical Context 256
2. Constitutionalizing the Issue 258
Erie Railroad v. Tompkins 259
B. The Limits of State Power in Federal Courts 267
1. Interpreting the Constitutional Command of Erie 268
Guaranty Trust Co. v. York 268
Contents xv

Byrd v. Blue Ridge Rural Electric Cooperative 272
2. De-constitutionalizing Erie 274
Hanna v. Plumer 275
3. Determining the Scope of Federal Law: Avoiding and
Accommodating Erie 282
Semtek Intl. Inc. v. Lockheed Martin Corp. 283
Note: Interpreting State Law: An Entailment of Erie 289
PART II: THE PROCESS OF LITIGATION
A. Approaching Civil Procedure 295

B. Choosing Procedure 296
C. A Roadmap for Exploring Choices 297
Chapter 5: Incentives to Litigate 299

A. Litigation in the United States at the Start of the Twenty-First
Century 299
B. Reasons to Litigate: Dollars, Orders, and Declarations 305
1. Damages 306
Troupe v. C & S Wholesale Grocers, Inc. 306
a. Damage Amounts: Ceilings and Floors 310
b. Categorizing Damages 311
2. Specific Relief 314
Lucy Webb Hayes Natl. Training School v. Geoghegan 315
3. Declaratory Relief 317
4. Temporary Remedies 321
a. Preliminary Injunctions and Temporary Restraining Orders: The
Basic Problem 322
xvi Contents
Winter v. Natural Resources Defense Council, Inc. 322

b. Provisional Remedies and Due Process 330
Fuentes v. Shevin 331
C. Financing Litigation 338
1. The ‘‘American’’ and ‘‘English’’ Rules About Attorneys’ Fees 340
2. Insurance, the Contingent Fee, and Alternative Litigation Finance 342
a. Insurance 343
b. The Contingent Fee 345
c. Alternative Litigation Finance 349
3. Public Subsidies and Professional Charity 353
4. From Fee Spreading to Fee Shifting 356
a. The Common Fund 356
b. By Contract 357
c. By Common Law 357
d. By Statute 358
Problem: How to Lose by Winning 359
Buckhannon Board and Care Home, Inc. v. West Virginia Department of
Health and Human Resources 361
Chapter 6: Pleading 367

A. The Story of Pleading 367
1. Of Stories and Jurisdiction 368
2. Plaintiff’s Story, Defendant’s Story 371
3. One Function of Pleading: Establishing the Law 372
Haddle v. Garrison (S.D. Ga. 1996) 377
Haddle v. Garrison (11th Cir. 1997) 380
Contents xvii
Haddle v. Garrison (525 U.S. 121 (1998)) 381

4. Another Function of Pleading: Sorting Strong Cases from Weak
Cases? 386
a. The ‘‘Ordinary’’ Case: How Much Detail in a Complaint? 387
Ashcroft v. Iqbal 391
b. Special Cases: Requiring and Forbidding Specificity in Pleading 403
Stradford v. Zurich Insurance Co. 403
5. Allocating the Elements of a Claim 409
Jones v. Bock 410
Procedure as Strategy: Consistency in Pleading 414
B. Ethical Limitations in Pleading—and in Litigation Generally 416
Walker v. Norwest Corp. 419
Christian v. Mattel, Inc. 423
C. Responding to the Complaint 429
1. Default 429
2. The Pre-Answer Motion (and a Close Post-Answer Relative) 429
3. Answer 434
a. Denials 435
Zielinski v. Philadelphia Piers, Inc. 435
b. Affirmative Defenses 441
4. Reply 443
5. Amendments 445
a. The Basic Problem: Prejudice 446
Beeck v. Aquaslide ‘N’ Dive Corp. 446
b. Statutes of Limitations and Relation Back 452
Moore v. Baker 453
Bonerb v. Richard J. Caron Foundation 454
xviii Contents

Chapter 7: Discovery 463

A. Modern Discovery 463
B. The Stages of Discovery 464
1. Required Disclosures—First Round 467
2. Documents, Things, Land, and Bytes: Request for Production (Rules 34
and 45) 468
3. Asking Questions in Writing, Seeking Admissions: Interrogatories and
Admissions (Rules 33, 36, and 37) 471
4. Asking Questions in Person: Depositions (Rule 30) and Physical and
Mental Evaluations (Rule 35) 473
Note on Physical and Mental Examinations 475
5. Pretrial Witness Lists and the Pretrial Order 480
David and Goliath Do Discovery: A Taxonomy of Problems 480
C. The Scope of Discovery 481
1. Relevance 482
Favale v. Roman Catholic Diocese of Bridgeport 483
2. Proportionality and Privacy 487
Price v. Leflore County Detention Center 487
Rengifo v. Erevos Enterprises, Inc. 488
3. Privilege 493
4. Trial Preparation Material 495
Hickman v. Taylor 496
D. Experts 502
Thompson v. The Haskell Co. 505
Chiquita International Ltd. v. M/V Bolero Reefer 506
E. Ensuring Compliance and Controlling Abuse of Discovery 508
1. Types of Discovery Disputes 509
Zubulake v. UBS Warburg LLP 509
Contents xix
2. Ensuring Compliance 516

3. Remedies: Management and Sanctions 518
Security National Bank of Sioux City v. Abbott Laboratories 519
Chapter 8: Resolution Without Trial 527

A. The Pressure to Choose Adjudication or an Alternative 528
1. Default and Default Judgments 528
Peralta v. Heights Medical Center 528
2. Scheduling Orders and Failure to Prosecute: Involuntary Dismissal 533
3. Voluntary Dismissal 534
B. Avoiding Adjudication 536
1. Negotiation and Settlement: Why Settle? And How? 536
Jane Smart v. GrowCo, Inc. 538
a. Contracting to Dismiss 539
b. Third-Party Participation in Settlement: Facilitation, Encouragement,
and Coercion 544
c. Contracting for Confidentiality 547
Kalinauskas v. Wong 550
2. Contracting for Private Adjudication: Arbitration and Its Variants 553
Ferguson v. Countrywide Credit Industries, Inc. 557
AT&T Mobility LLC v. Concepcion 563
Ferguson v. Writers Guild of America, West 574
C. Adjudication Without Trial: Summary Judgment 578
1. Summary Judgment in Action: The Burdens on Moving and Nonmoving
Parties 582
Celotex Corp. v. Catrett 583
xx Contents
2. Summary Judgment in Action: How Courts Should Assess the

Evidence 588
Tolan v. Cotton 589
Bias v. Advantage International, Inc. 593
Chapter 9: The Trier and the Trial 603

A. Choosing and Challenging Judges 604
Caperton v. A.T. Massey Coal Co. 607
B. Sharing Power with a Jury 615
1. When May a Jury Decide? 616
2. Choosing Jurors 622
a. Defining the Jury Pool 623
3. Challenging Jurors 624
C. What Will Trial Be About? The Final Pretrial Conference and Order 629
Monfore v. Phillips 630
D. Judges Guiding Juries 633
1. Instruction and Comment 633
2. Excluding Improper Influences 634
3. Size and Decision Rules 635
E. Judges Controlling Juries: The Directed Verdict 636
Reid v. San Pedro, Los Angeles & Salt Lake Railroad 638
Pennsylvania Railroad v. Chamberlain 643
F. Judges Undoing Verdicts: The New Trial 651
1. The Justifications for New Trials 652
a. Flawed Procedures 652
b. Flawed Verdicts 652
Lind v. Schenley Industries 653
Contents xxi
2. Conditional New Trials 657

a. New Trial Limited to Damages 658
b. Remittitur and Additur 658
G. The Limitations of Judicial Power: The Reexamination Clause and the Jury
as a Black Box 659
Peterson v. Wilson 660
Chapter 10: Appeal 669

A. Who Can Appeal? 670
1. A Losing Party: Adversity 671
Aetna Casualty & Surety Co. v. Cunningham 672
2. Who Raised the Issue Below: Of Waivers and Sandbags 674
3. Who Was Not Deterred from Appealing 678
B. When a Decision May Be Reviewed: ‘‘Finality’’ 680
1. The Final Judgment Rule 681
a. Appellate Jurisdiction and the Final Judgment Rule 681
Liberty Mutual Insurance Co. v. Wetzel 682
b. Defining the Moment of Judgment 688
2. Exceptions to the Final Judgment Rule 690
a. Practical Finality 691
Lauro Lines s.r.l. v. Chasser 691
b. Injunctions 697
c. Interlocutory Appeals 698
d. Mandamus 699
C. Scope of Review 701
1. Law and Fact 701
Anderson v. Bessemer City 701
2. Harmless Error 707
Harnden v. Jayco, Inc. 707
xxii Contents

Chapter 11: Respect for Judgments 715

A. Claim Preclusion 716
1. Precluding the ‘‘Same’’ Claim 716
a. Efficiency 716
Frier v. City of Vandalia 717
b. Consistency—The Logical Implications of the Former
Judgment 725
2. Between the ‘‘Same’’ Parties 727
Taylor v. Sturgell 728
3. After a Final Judgment 737
4. After a Judgment ‘‘on the Merits’’ 738
Gargallo v. Merrill Lynch, Pierce, Fenner & Smith 741
B. Issue Preclusion 744
1. The Same Issue 745
2. An Issue ‘‘Actually Litigated and Determined’’ 746
Illinois Central Gulf Railroad v. Parks 747
3. An Issue ‘‘Essential to the Judgment’’ 750
4. Between Which Parties? 753
a. The ‘‘Victim’’ of Preclusion 753
Parklane Hosiery Co. v. Shore 754
C. The Boundaries of Preclusion 765
1. Claim Preclusion 765
2. Issue Preclusion 766
D. Repose: Collateral Attack and Reopened Judgments 767
1. Full Faith and Credit as a Bar to Collateral Attack 767
Durfee v. Duke 768
2. The Reopened Judgment as an Alternative to Collateral Attack 775
United States v. Beggerly 775
Contents xxiii

PART III: PROBING THE BOUNDARIES: ADDITIONAL

CLAIMS AND PARTIES
Chapter 12: Joinder 785

A. Joinder of Claims 785
1. Joinder of Claims by Plaintiff 786
a. Historical Background 786
b. The Federal Rules 786
c. Joinder and Jurisdiction 787
2. Claims by the Defendant: Counterclaims 790
Plant v. Blazer Financial Services 790
B. Joinder of Parties 798
1. By Plaintiffs 798
Mosley v. General Motors Corp. 798
2. By Defendants: Third-Party Claims 805
Price v. CTB, Inc. 805
3. Compulsory Joinder 812
Temple v. Synthes Corp. 813
Helzberg’s Diamond Shops v. Valley West Des Moines Shopping
Center 817
C. Intervention 823
Natural Resources Defense Council v. United States Nuclear Regulatory
Commission 824
Martin v. Wilks 830
D. Interpleader 836
Southern Farm Bureau Life Ins. Co. v. Davis 838
xxiv Contents
E. Class Actions 840

1. Introduction 840
2. The Class Action and the Constitution 841
a. Representative Adequacy 841
Hansberry v. Lee 842
b. Personal Jurisdiction 848
Phillips Petroleum v. Shutts 848
3. The Class Action and Federalism 853
Standard Fire Ins. Co. v. Knowles 855
4 Statutory Requirements 861
Wal-Mart Stores, Inc. v. Dukes 866
5. Settlement of Class Actions and the ‘‘Settlement Class’’ 878
a. Fees 881
b. Damages and Injunctive Relief 883
c. Settlement and Dismissal 883
Amchem Products, Inc. v. Windsor 884
Table of Cases 000

Table of Citations to the Judicial Code (28 U.S.C.) 000
Table of Citations to the Federal Rules of Civil Procedure 000
Table of Authorities 000
Index 000

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Contents

Chapter 1: An Overview of Procedure 1

PART I: THE CONSTITUTIONAL FRAMEWORK

A. Approaching Civil Procedure 63

Chapter 2: Personal Jurisdiction 69

McGee v. International Life Insurance Co. 89

Notes and Problems 198

Chapter 3: Subject Matter Jurisdiction

Chapter 4: State Law in Federal Courts: Erie

Notes and Problems 269

PART II: THE PROCESS OF LITIGATION

A. Approaching Civil Procedure 295

Chapter 5: Incentives to Litigate 299

Winter v. Natural Resources Defense Council, Inc. 322

Chapter 6: Pleading 367

Haddle v. Garrison (525 U.S. 121 (1998)) 381

Assessment Questions 458

Chapter 7: Discovery 463

2. Ensuring Compliance 516

Chapter 8: Resolution Without Trial 527

2. Summary Judgment in Action: How Courts Should Assess the

Chapter 9: The Trier and the Trial 603

2. Conditional New Trials 657

Chapter 10: Appeal 669

Assessment Questions 711

Chapter 11: Respect for Judgments 715

Notes and Problems 778

PART III: PROBING THE BOUNDARIES: ADDITIONAL

Chapter 12: Joinder 785

E. Class Actions 840

Table of Cases 000

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