Civ Pro II - Preclusion Doctrine

Claim preclusion (“Res judicata”) = Second suit on same ___ __ ___ is precluded

cause of action

Claim preclusion elements:

• Same ___ (or “cause of action”)

• Same __ or __ in same configuration

• Valid, ___ ___ on the ___ in the first suit

claim, parties, privies, final judgment, merits

Precludes claims that

• Actually were ___ or

• ___ have been ___

litigated, Might, litigated

Claim Preclusion - Different Tests of Scope of Claim:

• Same legal ___ ___ (person and property)

• Same ___ act

• Same ___ or connected series of transactions (RESTATEMENT approach)

• Generally all existing claims under a single contract constitute one claim

primary rights, wrongful, transaction

Who can be bound by a prior judgment?

• ____ to the first suit are bound by it

• Also, persons who are in “___” with parties to the first case are bound

• There are due process limits on who can be bound

1. Parties

2. Non-parties who were in some way ___ ___ in the first case

   1. Those in “privity”

parties, privity, adequately represented

• Non-parties generally will not be bound by a prior judgment (unless an exception applies)

• Parties generally must be in the same procedural posture

EXCEPTIONS:

• Non-party ___ to be bound

• “Pre-existing substantive legal relationship” between the parties

• Party to first case adequately ___ interests of non-party with the same interests

• Party bound in suit #2 ___ the first litigation

• The person to be bound in suit #2 is a proxy or agent of the party in suit #1

• Statutory schemes

agrees, represents, controlled

What is a Valid Judgment?

• First court had ___ and ___ ___ jurisdiction

What is a Final Judgment?

• Must be a judgment ___ of the case for plaintiff or defendant

• It cannot be an interim ruling

• What is the effect of a pending appeal in suit #1?

• In federal courts, a final judgment is final, even if an ___ is pending

personal, subject matter, disposing, appeal

What is a Judgment on the Merits?

“On the Merits” includes

• A judgment after a __ ___

• A ___ judgment

• A judgment as a matter of ___

• In general, any judgment for the claimant is on the merits because it is establishing

liability

full trial, summary, law, liability

Claim Preclusion – Valid, Final Judgment on the Merits

• Judgments for the defending party, under Fed. R. Civ. P. 41(b) are on the merits except for lack of ___, improper ___, or failure to join a ___ under Rule 1

• Statute-of-___ dismissals do not bar litigation in another court system that applies a different statute of limitations

jurisdiction, venue, party, limitations

Issue preclusion (“collateral estoppel”) involves an __ __ in a second suit on a different __ __ __

identical issue, cause of action

 Unlike claim preclusion, issue preclusion bars litigation only of matters __ __ in the prior suit

actually litigated

Issue Preclusion Elements:

1. Same ___ that was actually ___ in the first case

2. That decision was ___ to the ___ in the first case

3. First case was a __, final __ on the __,

4. Proper ___

   1. Party ___ issue preclusion is proper, and

   2. Party to be ___ is proper

issue, decided, essential, judgment, valid, judgment, merits, parties, asserting, bound

Mutuality requirement:

• To use issue preclusion, a party must have been ___ to its use against the party had the fact-finding gone the other way

• Two exceptions arose:

  • Narrow exception: suit against ___, then against employer

  • Broad exception: suit against ___, then against employee

subject, employee, employer

Offensive vs. Defensive:

Offensive:

• The party seeking to use issue preclusion is using it to ___ liability

Defensive:

• The party seeking to use issue preclusion is using it to ___ liability

establish, defeat

Defensive non-mutual issue preclusion

• When plaintiff had a full opportunity to present their claims against one defendant and ___ in Suit 1; Suit 2 is merely rehashing the ___ issue against a new ___

lost, same, defendant

Offensive non-mutual issue preclusion; two requirements:

• Could the party seeking to use offensive non-mutual issue preclusion easily have ____ the first lawsuit?

• Is it fair to the party against whom offensive non-mutual issue preclusion would be used?

  • Did defendant have an incentive to ___ fully in Suit 1?

  • Is there a risk of ___ ___?

  • Was defendant precluded from fully defending Suit 1?

joined, litigate, inconsistent judgments