Civil Procedure: Subject Matter Jurisdiction, Personal Jurisdiction & Related Doctrines

Flashcards cover key civil-procedure doctrines: subject-matter & personal jurisdiction, venue, Erie, pleading, discovery, trial, preclusion, appeals, and remedies. Suitable for exam review.

What is the basic definition of subject-matter jurisdiction?

A court’s power to hear and decide cases of the general class and subject to which the proceedings in question belong.

Which five statutory grants of federal subject-matter jurisdiction are most common?

• Federal question
• Diversity
• Supplemental
• Removal
• Legislative jurisdiction.

Who bears the burden of establishing subject-matter jurisdiction in federal court?

The party seeking to invoke federal jurisdiction (usually the plaintiff or removing defendant).

Can subject-matter jurisdiction be waived by the parties?

No. Unlike personal jurisdiction, subject-matter jurisdiction cannot be waived or created by consent.

When can a lack of subject-matter jurisdiction be raised?

At any time, by any party or by the court sua sponte, including for the first time on appeal.

What is the Pullman abstention doctrine?

A federal court may defer when a state-law issue might moot or alter the need to decide a federal constitutional question.

Under the Younger abstention doctrine, when will a federal court abstain?

When federal relief would interfere with ongoing state criminal, quasi-criminal, or contempt proceedings.

What amount-in-controversy is required for diversity jurisdiction?

$75,000 exclusive of interests and costs.

Define complete diversity.

No plaintiff may share state citizenship with any defendant at the time the action is filed.

How is an individual’s state citizenship determined for diversity purposes?

By domicile—physical presence in a state plus intent to remain there indefinitely.

How many domiciles can a person have at one time for diversity?

Only one.

State the citizenship rule for corporations under §1332.

A corporation is a citizen of every state and foreign country where it is incorporated and of the one state or foreign country where it has its principal place of business (nerve center).

How is citizenship of an unincorporated association (e.g., partnership or LLC) determined?

By the citizenship of each and every member.

What doctrine allows aggregation of claims to satisfy the amount-in-controversy?

Aggregation doctrine—one plaintiff can aggregate all claims against one defendant; multiple plaintiffs can aggregate only if enforcing a single title or right.

When is minimal diversity sufficient under Article III?

Statutory interpleader, certain large class actions under CAFA, and actions under the Multiparty, Multiforum Trial Jurisdiction Act.

What is the well-pleaded complaint rule?

Federal question jurisdiction exists only when the federal issue appears on the face of the properly pleaded complaint.

May a defendant’s federal counterclaim create federal-question jurisdiction over the original action?

No. The federal issue must appear in the plaintiff’s complaint, not in a defense or counterclaim.

What is supplemental jurisdiction under §1367(a)?

Federal courts may hear additional state claims that share a common nucleus of operative fact with a claim already within original federal jurisdiction.

List one category barred by §1367(b) when the original jurisdiction is based solely on diversity?

Claims by plaintiffs against persons made parties under Rule 14, 19, 20, or 24 that would destroy diversity.

When can a defendant remove a state action to federal court?

When the action could have been filed in federal court originally (federal question or diversity) and all statutory removal requirements are met.

What home-state defendant rule limits removal based solely on diversity?

A diversity case is not removable if any properly joined defendant is a citizen of the forum state.

How long after service may a defendant generally file a notice of removal?

Within 30 days after receipt of the initial pleading or service, whichever is earlier.

Explain the one-year rule for diversity removal?

A case cannot be removed on diversity grounds more than one year after commencement in state court unless the plaintiff acted in bad faith to prevent removal.

Define in personam jurisdiction.

A court’s power over the defendant’s person, allowing personal liability and judgment enforceable against all assets.

What are the three traditional bases for personal jurisdiction?

• Service while voluntarily present
• Domicile
• Consent

State the two-part International Shoe test.

(1) Defendant has sufficient minimum contacts with the forum; (2) Exercise of jurisdiction comports with traditional notions of fair play and substantial justice.

Differentiate general and specific personal jurisdiction.

General: defendant is essentially at home in the forum—any claim may be heard. Specific: claim arises from or relates to defendant’s forum contacts.

What is the ‘nerve center’ test?

Principal place of business is where the corporation’s high-level officers direct, control, and coordinate corporate activities.

Name one factor courts consider for ‘fair play and substantial justice.’

• Burden on defendant
• Forum state’s interest
• Plaintiff’s interest
• Judicial efficiency
• Shared policy interests.

What is venue in federal civil cases?

The proper judicial district in which to bring the action.

State one of the general venue options under §1391(b).

1. District where any defendant resides (if all defendants in same state);
2. District where a substantial part of events or omissions occurred;
3. Fallback—any district where any defendant is subject to personal jurisdiction if no other district fits.

How can a case be transferred under §1404?

For convenience of parties and witnesses and in the interest of justice, from one proper federal venue to another where the action might have been brought or to which all parties consent.

What is forum non conveniens?

Court’s discretionary dismissal when another forum is far more convenient and jurisdictionally available, typically when the alternative forum is foreign or state court.

Explain the Erie doctrine in one sentence.

Federal courts sitting in diversity apply state substantive law and federal procedural law.

Under Erie, which test governs if a Federal Rule directly conflicts with state law?

Hanna test: valid Federal Rule under REA controls if it is arguably procedural and does not abridge substantive rights.

List two pleadings allowed under Rule 7(a).

• Complaint
• Answer
• Counterclaim reply
• Crossclaim answer
• Third-party answer
• Court-ordered reply.

What are the three basic requirements of a complaint under Rule 8(a)?

1. Short and plain statement of jurisdiction;
2. Short and plain statement showing entitlement to relief;
3. Demand for relief.

Which types of claims require heightened pleading under Rule 9(b)?

Fraud or mistake—must be pleaded with particularity.

How many interrogatories may a party serve without leave of court?

25 including discrete subparts.

What is the automatic initial disclosure deadline after the Rule 26(f) conference?

Within 14 days after the conference.

When is a party allowed to move for summary judgment?

Any time until 30 days after the close of discovery, unless local rule or court order states otherwise.

State the standard for summary judgment under Rule 56.

No genuine dispute of material fact and movant entitled to judgment as a matter of law.

What motion renews at trial the Rule 50(a) motion and must be filed within 28 days after judgment?

Renewed motion for judgment as a matter of law (JNOV) under Rule 50(b).

How long after judgment may a motion for a new trial be filed?

28 days.

What are the four traditional factors for a preliminary injunction (Winter test)?

1. Likelihood of success on the merits;
2. Likelihood of irreparable harm;
3. Balance of equities favors movant;
4. Injunction serves public interest.

Define remittitur.

Court’s conditional order reducing an excessive jury award; plaintiff may accept reduction or face new trial.

What is the effect of a Rule 41(a)(1) notice of dismissal after a prior notice-based dismissal of the same claim?

Operates as an adjudication on the merits—the ‘two-dismissal rule.’

Within how many days must a notice of appeal be filed in a civil case?

30 days after entry of judgment (60 days if United States is a party).

What is the collateral-order doctrine?

Allows immediate appeal of a small class of non-final orders that conclusively decide important questions separate from the merits and effectively unreviewable later.

Explain claim preclusion (res judicata) in two elements.

• Final judgment on the merits
• Same parties
• Same claim (same transaction or occurrence).

What is issue preclusion (collateral estoppel)?

Prevents relitigation of an issue actually litigated, determined, and essential to a valid final judgment in a prior case against a party (or its privy).

May offensive non-mutual collateral estoppel ever be used?

Yes, at the court’s discretion if the defendant had a full and fair opportunity to litigate the issue previously and application is not unfair.

Under Rule 65, what security is usually required for a TRO or preliminary injunction?

Movant must post a bond sufficient to pay costs and damages suffered if injunction was wrongful.

How long may a TRO issued without notice last?

No longer than 14 days, unless extended for good cause or the adverse party consents.

What is a compulsory counterclaim?

A defendant’s claim that arises out of the same transaction or occurrence as the plaintiff’s claim and must be pleaded or is lost.

How many depositions may each side take without leave of court?

10 depositions, each limited to one day of 7 hours.

Explain the Rule 26(b)(1) proportionality requirement.

Discovery must be relevant and proportional to the needs of the case considering importance, amount in controversy, parties’ access, resources, importance to issues, and burden versus benefit.

What sanctions are available under Rule 37(e) for intentional spoliation of ESI?

Presume lost info unfavorable, adverse-inference instruction, or dismissal/default judgment.

When must expert reports be disclosed?

At least 90 days before trial (or 30 days for rebuttal experts) unless court orders otherwise.

What is the ‘bulge provision’ of Rule 4(k)(1)(B)?

Allows 100-mile service of process for Rule 14 and Rule 19 parties joined to a federal action.

Under §1446(b), when must a defendant file a notice of removal after receiving an amended pleading first making the case removable?

Within 30 days after receipt of the amended pleading or other paper.

Define pendant-party jurisdiction.

Supplemental jurisdiction over additional parties whose claims share a common nucleus of operative fact with a claim already properly in federal court.

What test does the Supreme Court use for a corporation’s principal place of business?

‘Nerve center’—where high-level officers direct and control corporate activities (Hertz v. Friend).

Can a plaintiff ever remove a case to federal court?

No. Only defendants may remove.

Name two types of cases barred from removal under §1445?

1. FELA and Jones Act actions against railroads or employers;
2. Workers’ compensation cases filed in state court;
   • (others include certain carrier shipment cases \le 10k and Violence Against Women Act ext{§}40302).

What are the four abstention doctrines named after Supreme Court cases?

• Pullman
• Burford
• Younger
• Colorado River.

When must a party respond to interrogatories?

Within 30 days after service (unless court orders or parties stipulate otherwise).

Under Rule 11, what is the safe-harbor period before filing a sanctions motion?

21 days after service of the motion to allow withdrawal or correction of the challenged paper.

What is the standard for reviewing a district court’s factual findings on appeal?

Clearly erroneous standard under Rule 52(a)(6).

How can a party preserve sufficiency-of-the-evidence issues for appeal after a jury verdict?

By making a Rule 50(a) motion before submission to the jury and renewing it under Rule 50(b) after the verdict.

Explain the difference between a special verdict and a general verdict with interrogatories.

Special verdict: jury answers written factual questions, judge applies law. General with interrogatories: jury gives general verdict plus answers specific factual questions to ensure consistency.

What is required for relation back of an amended complaint that adds a new defendant under Rule 15(c)?

Same transaction, new defendant got notice within 90 days of filing, and knew/should have known but for mistake it would have been sued.

Which Rule governs impleader of third-party defendants?

Rule 14.

Under Rule 19, when is a person “necessary” and must be joined if feasible?

If in that person’s absence complete relief cannot be accorded, or their interest may be impaired, or existing parties risk multiple/inconsistent obligations.

What is the effect of a judgment that exceeds the relief demanded in the pleadings?

It is generally permissible (Rule 54(c)), except in default judgments, which cannot exceed or differ in kind from what was demanded.

Name two mandatory disclosures required at the start of discovery.

1. Names and contact info of individuals with discoverable information;
2. Copies or descriptions of documents/ESI/tangibles the party may use;
   • Plus computation of damages and insurance agreements.

What is required for a federal court to issue a preliminary injunction without notice (ex parte TRO)?

Affidavit/verified complaint showing immediate irreparable harm before hearing, and movant’s attorney certifies efforts to give notice and reason notice should not be required.

How soon after serving a Rule 12(b) motion must a responsive pleading be served if motion is denied?

Within 14 days after notice of the court’s action on the motion.

What is a Rule 68 offer of judgment?

Defendant’s pre-trial offer to allow entry of judgment on specified terms; if plaintiff rejects and later obtains less favorable judgment, plaintiff must pay post-offer costs.

Can class certification decisions be appealed immediately?

Yes, under Rule 23(f) the court of appeals has discretion to permit an interlocutory appeal of a class-certification order.

What is required for diversity jurisdiction under CAFA?

Class of $\ge100$ members, minimal diversity, aggregate amount in controversy > $5 million$, and not fall within statutory exceptions.

Explain the difference between dismissal and transfer when venue is improper.

Under §1406, the court must dismiss or, in the interests of justice, transfer to a proper venue; §1404 transfer requires original venue be proper.

What is the deadline to respond to a request for admission?

30 days after service; failure to respond deems the matter admitted.

Under Rule 45, within what distance may a trial subpoena compel a non-party witness to travel?

Within 100 miles of where the witness resides, is employed, or regularly transacts business in person, or within the state if no substantial expense imposed for trial attendance.

What does Rule 87 allow during declared Civil Rules emergencies?

Court may authorize alternative service methods reasonably calculated to give notice for persons located in the U.S.

How is attorney’s fee request preserved after judgment?

File a motion within 14 days after entry of judgment unless statute or court order provides otherwise (Rule 54(d)(2)).

When may a federal court grant relief from a final judgment under Rule 60(b)(1)?

For mistake, inadvertence, surprise, or excusable neglect—including a judge’s legal error—if motion made within a reasonable time, not exceeding one year.

What is the harmless-error rule under Rule 61?

Court must disregard any error or defect that does not affect a party’s substantial rights.

Name one factor a court considers when deciding a forum-non-convenien
s motion?

• Availability of an alternative forum
• Applicable law
• Location of parties/witnesses/evidence
• Private and public interests.

What is the standard for discovery sanctions when a party fails to attend their own deposition?

Rule 37(d) permits sanctions (including fees) without prior motion to compel if party fails to appear after proper notice.

Define pendent jurisdiction.

Older term for what is now supplemental jurisdiction over state claims related to a federal question claim in the same case.