Litigation in Federal Court
Pleadings & Motions
Pleadings Allowed
FRCP 7(a): Pleadings Allowed
[1] Plaintiff’s Complaint
[2] Defendant’s Answer
Other Counter/Crossclaims
Plaintiff’s Complaint
FRCP 8(a): Plaintiff’s Complaint
• The plaintiff’s complaint must include:
[1] Jurisdiction
[2] Claim for Relief
[3] Demand for Relief
Twiqbal Rule:
• In response to a 12(b)(6) motion, the court will ask if the plaintiff’s complaint:
[1] avoids conclusory statements
[2] states plausible claims
Defendant’s Answer
FRCP 8(b): Defendant’s Answer
• The defendant’s answer must:
[1] state defenses to each claim in short and plain terms
[2] admit (affirmative defense) or deny the allegations in the complaint.
• FRCP 8(c): the defendant’s right to raise an affirmative defense is waived if not stated in their answer.
FRCP 12: Motion Practice
(b): Defendant’s options for dismissal before filing an answer.
[1] Subject Matter Jurisdiction
[2] Personal Jurisdiction
[3] Venue
[4] Process (technical issues)
[5] Service
[6] Failure to State a Claim
[7] Failure to Join a Party (FRCP 19)
(c-f): Defendant’s other options for dismissal early in the case.
[c] Motion for Judgment on Pleadings (same as 12(b)(6), but after filing an answer)
[d] Motion to Dismiss (with evidence before discovery)
[e] Motion for More Definite Statement
[f] Motion to Strike
Counterclaims and Crossclaims
FRCP 13: Counterclaims and Crossclaims
[a] Compulsory Counterclaim:
• Pleadings must state any counterclaims arising from the same transaction as the original claim. Allows supplemental jurisdiction unless it destroys diversity.
[b] Permissive Counterclaim:
• Pleadings may also state any non-compulsory counterclaim not arising from the same transaction, but supplemental jurisdiction won’t apply.
[c] Crossclaim Against a Coparty:
• A crossclaim against a coparty is only permitted if it arises out of the same transaction as the (1) original claim or (2) counterclaim.
[d] Allows non-parties to be added.
Third Party Practice
FRCP 14(a): Impleader
• The Defendant (as a third party Plaintiff) can implead a nonparty liable to it for the claim they’re facing, but they must obtain the court’s leave if filing more than 14 days after their answer.
Amending Pleadings
FRCP 15(a): Amending Pleadings
[1] Amendments as a Matter of Course: available within 21 days of service or the Defendant’s answer
[2] Other Amendments: available with consent of the court or the other party.
Joinder
Joinder of Claims
FRCP 18(a): Joinder of Claims
• The plaintiff may join as many independent or alternative claims it has against a party.
FRCP 8(d)(3): General Pleading Rule
• A party may join as many separate claims or defenses it has, regardless of their consistency.
Joinder of Parties
FRCP 20(a): Permissive Joinder of Parties
• A plaintiff or defendant may be joined as parties in the same case if they share:
[1] the same transaction, and
[2] any question of law or fact.
• Note: hard to prove one is met without the other. Once qualified under 20(a), plaintiff may raise other claims allowed under 18(a).
Misjoinder
FRCP 21: Misjoinder
• The court has broad discretion to sever any claim, but it is not grounds for dismissal.
FRCP 42(b): Separate Trials
• The court may order a separate trial for convenience (default: grant joinder, since most cases don’t reach trial).
Class Actions
28 U.S.C. §1332(d): Class Actions
• District courts have jurisdiction over class actions if:
[1] any member of the plaintiff class is a citizen of a different state than any defendant.
[2] the amount in controversy exceeds $5M.
• If amount is less, it may still qualify under §1332(a).
28 U.S.C. §1453: Removal
(b) Removal: Class actions may be removed regardless of citizenship, even if all defendants haven’t consented
(c) Review: Appellate courts can accept appeals from a district court’s order denying a motion to remand to state court.
FRCP 23(a): Prerequisites
• Class representation can be granted if:
[1] the class is so numerous that joinder of all is impracticable.
[2] the questions of law or fact are common to the class.
[3] the claims or defenses are typical of the whole class.
[4] the representatives will fairly and adequately protect the class.
Discovery
Discovery Rules
FRCP 26: Discovery
(a): Mandatory Discovery
[1] Supportive witnesses
[2] Supportive documents
[3] Documents for damages
(b)(1): Scope and Limits
• Almost anything is discoverable so long as it is not disproportional or irrelevant.
• Proportionality: (BIRRIA)
[1] Burden > Benefit
[2] Importance of Issues
[3] Relative Access to Info.
[4] Resources
[5] Importance of Discovery in Resolving Issues
[5] Amount in Controversy
Work Product Doctrine
FRCP 26(b)(3)(A): Work Product Doctrine
• Things prepared in anticipation of litigation or for trial are not discoverable.
• Exception: documents that were otherwise discoverable, or the party shows they couldn’t obtain the information without undue hardship.
- Hickman v. Taylor (1947)
Electronically Stored Information (ESI)
FRCP 26(b)(2)(B): Limitations on ESI
• Parties are required to produce ESI unless it’s not reasonably accessible due to undue burden or cost.
- Exception: the request is:
[1] Good Cause
[2] Not duplicative
[3] No prior opportunity to request
[4] Within the scope
FRCP 37(e): Failure to Preserve ESI
• Remedies: the court may:
[1] cure the prejudice, or
[2] if the intent was to deprive another party:
[a] presume the information unfavorable,
[b] instruct the jury to presume it was unfavorable, or
[c] dismiss the case or order default judgment.
Other Methods of Discovery
Summary Judgment
FRCP 56: Summary Judgment
• A motion for Summary Judgment will be granted if:
(a): the movant shows:
[1] there’s no genuine dispute of material fact, and
[2] they’re entitled to judgment as a matter of law.
(b): the motion is filed at any time until 30 days after the close of all discovery.
Trial
Right to Jury
7th Amendment: Civil Jury Trial Right
• Protects the right to jury in common law actions exceeding $20.
• Re-examination Clause: No fact tried by a jury can be reexamined by any court except as allowed by common law.
• Mixed Claims of Common Law and Equity: can be heard together before a jury. The court should hear the common law issues first, then move to the “after effects” involved with the equitable claims; don’t let judge get in front of common law claims.
FRCP 38(b): Demand
Written demand for a jury must be filed by the party within 14 days of the last pleading on the issue.
Jury Instructions
FRCP 51(b): Requirements
Jury instructions must be accurate and not confusing or misleading. They must also:
[1] inform the parties of the proposed instructions.
[2] provide an opportunity to object.
[3] instruct the jury at any time before discharge.
Jury Verdicts
FRCP 49: Types of Verdicts
[1] General Verdict
Who won? How much?
[2] Special Verdict
May require special written finding on each issue of fact.
[3] General Verdict with Written Questions
Results in:
• [1] Consistent Verdict and Answers: Judgment Issued
• [2] Inconsistent Verdict and Answers: Answers Control; Deliberate (possibly order new trial)
• [3] Inconsistent Verdict and Contradictory Answers: Deliberate Answers, (possibly order new trial)
FRCP 50: Judgment as a Matter of Law
[1] Directed Verdict (before jury verdict)
• Standard of Review: Summary Judgment
[2] JNOV (after jury verdict)
• Standard of Review: Summary Judgment after 50(a)
Judgment
Relief from Judgment
FRCP 59: New Trial
• A new trial may be granted if:
[1] The instructions were confusing to the jury or provided a disproportionate remedy.
[2] Jury deliberations were tainted.
[3] New evidence emerges within 28 days of dismissal.
FRCP 60: Relief from Judgment
• Relief from judgment may be allowed if:
[1] New evidence emerges within 28 days of jury dismissal.
[2] Fraud occurred
Appeals
28 U.S.C. §1291: The Finality Rule
• Courts of Appeal have automatic Subject Matter Jurisdiction over final orders from District Courts.
FRCP 58: Final Order Requirement
• Without a final order, appellate courts approach appeals with a high level of skepticism.
Exceptions
[1] Collateral Rule Doctrine:
• Issues may be reviewed before a final order if they’re:
• Separate: issue is separate from merits of the original claim.
• Final: issue can be fully resolved on appeal.
• Urgent: issue involves irreparable harm.
• Important: discretionary judgment of the court.
[2] 28 U.S.C. §1651(a): Mandamus
• Writ-based review of non-final orders. A plaintiff must show:
[1] Special risk of irreparable harm; “no other adequate means of relief”
[2] Clear entitlement to relief (most common: jurisdiction challenges)
[3] FRCP 54(b): Multiple Claims or Parties
• Allows an appeal from a final order entered on an issue in a case, even if the case as a whole is still ongoing.
• “Spot Golden Ticket”
[4] 28 U.S.C. §1292: Specifically Authorized Interlocutory Appeals
• Allows injunctions, receivers, admiralty, and other accepted issues to be appealed before a case is closed.