Res Judicata
Res Judicata A Handbook on Its Theory, Doctrine, and Practice Robert C. Casad John H. and John M. Kane Professor of Law Emeritus University of Kansas Kevin M. Clermont Flanagan Professor of Law Cornell University Carolina Academic Press Durham, North Carolina
Copyright 2001 Robert C. Casad and Kevin M. Clermont All rights reserved. Library of Congress Cataloging-in-Publication Data Casad, Robert C. Res judicata : a handbook on its theory, doctrine, and practice / Robert C. Casad, Kevin M. Clermont. p. cm. Includes index. ISBN 0-89089-705-0 1. Res judicata-united States. 1. Clermont, Kevin M. II. Title. KF8992.C28 2001 347.73'77--dc2l 00-069771 Carolina Academic Press 700 Kent Street Durham, North Carolina 27701 Telephone (919) 489-7486 Fax (919) 493-5668 E-mail: cap@cap-press.com www.cap-press.com Printed in the United States of America.
Summary of Content Part I: Theory Chapter 1 Introduction to Res Judicata 3 A. Significance 3 B. Sources 5 C. Contexts 7 D. Basics 8 E. Terminology 9 Chapter 2 Related Doctrines 13 A. Stare Decisis 13 B. Law of the Case 16 C. Former Adjudication as Evidence 17 D. Former Recovery 18 E. Equitable Estoppel 18 F. Judicial Estoppel 18 G. Election of Remedies 19 H. Other Action Pending 21 I. Double Jeopardy 22 Chapter 3 Policies Underlying Rules and Exceptions 29 A. Res Judicata Rules 31 B. Res Judicata Exceptions 36 C. Summary 36 Chapter 4 Jurisprudence of Rules and Exceptions 39 A. Res Judicata Rules and Exceptions 40 B. Claim and Issue Preclusion Doctrine 43 v
vi SUMMARY OF CONTENTS Part II: Doctrine Chapter 5 Prerequisites for Res Judicata 49 A. Validity 49 B. Finality 50 Chapter 6 Claim Preclusion 61 A. Requirements of Rule 61 B. Exceptions to Rule 85 C. Special Applications: Counterclaims 106 Chapter 7 Issue Preclusion 113 A. Requirements of Rule 113 B. Exceptions to Rule 129 C. Special Applications: Multiple Determinations 143 Chapter 8 Effects on Nonparties 149 A. Privies 149 B. Strangers 165 Chapter 9 Nonordinary Judgments 189 A. Noncoercive Judgments 189 B. Nonpersonal Judgments 192 C. Noncivil Judgments 204 D. Nonjudicial Proceedings 208 Chapter 10 Nondomestic Judgments 211 A. General Considerations 211 B. Judgments of American Courts 213 C. Judgments of Foreign Nations 226 Part III: Practice Chapter 11 Invoking Res Judicata 237 A. Raising 237 B. Proving 242 Chapter 12 Defeating Res Judicata 247 A. Methods of Attack 248 B. Grounds for Attack 249 C. Approaches to Attack s Methods and Grounds 256 Chapter 13 Jurisdiction to Determine Jurisdiction 263 A. Status of This Subdoctrine 265
SUMMARY OF CONTENTS vii B. Content of This Subdoctrine 266 C. Jurisdiction to Determine No Jurisdiction 271 D. A Final View of Validity and Finality 271 Table of Cases 273 Index 277
Contents Summary of Contents v Part I: Theory Chapter 1 Introduction to Res Judicata 3 A. Significance 3 B. Sources 5 C. Contexts 7 D. Basics 8 E. Terminology 9 1. Claim Preclusion 11 2. Issue Preclusion 11 Chapter 2 Related Doctrines 13 A. Stare Decisis 13 B. Law of the Case 16 C. Former Adjudication as Evidence 17 D. Former Recovery 18 E. Equitable Estoppel 18 F. Judicial Estoppel 18 G. Election of Remedies 19 H. Other Action Pending 21 I. Double Jeopardy 22 1. Collateral Estoppel from Criminal Judgment to Subsequent Criminal Prosecution of Same Defendant 24 a. Collateral Estoppel Asserted by Acquitted Defendant 24 b. Collateral Estoppel Asserted Against Convicted Defendant 25 ix
x CONTENTS 2. Collateral Estoppel from Criminal Judgment to Subsequent Criminal Prosecution of Different Defendant 26 3. Collateral Estoppel from Civil Judgment to Subsequent Criminal Prosecution 27 Chapter 3 Policies Underlying Rules and Exceptions 29 A. Res Judicata Rules 31 1. Procedural Factors Favoring Preclusion 31 2. Procedural Factors Favoring Nonpreclusion 33 3. Combining All Factors 35 B. Res Judicata Exceptions 36 C. Summary 36 Chapter 4 Jurisprudence of Rules and Exceptions 39 A. Res Judicata Rules and Exceptions 40 B. Claim and Issue Preclusion Doctrine 43 Part II: Doctrine Chapter 5 Prerequisites for Res Judicata 49 A. Validity 49 B. Finality 50 1. Meanings of Finality 51 a. Claim Preclusion 51 b. Issue Preclusion 52 2. Complications of Finality 55 a. Effects of Reversal 55 b. Inconsistent Judgments 55 Chapter 6 Claim Preclusion 61 A. Requirements of Rule 61 1. Dimensions of Claim 62 a. Evolution of Transactional View 62 b. Application of Transactional View 69 2. Extinguishing Claim by Judgment 82 a. Merger 83 b. Bar 85 B. Exceptions to Rule 85 1. Adjudication Not on the Merits 85 a. Dismissal for Lack of Jurisdiction 87 b. Dismissal for Insufficiency of Complaint 87
CONTENTS xi c. Dismissal for Prematurity in Bringing Action 91 d. Dismissal for Statute of Frauds 92 e. Dismissal for Statute of Limitations 93 f. Summary Judgment 96 g. Voluntary Dismissal 96 h. Involuntary Dismissal 97 i. Dismissal for Insufficiency of Evidence 98 j. Summary 98 2. Jurisdictional or Procedural Limitation 99 3. Judicial Permission 100 4. Party Agreement 102 5. Generalized Exception 103 a. Conflict with Substantive Policy 103 b. Misrepresentation by Defendant 104 c. Other Extraordinary Situations 105 C. Special Applications: Counterclaims 106 1. Interposition of Counterclaim 106 2. Failure to Interpose Counterclaim 108 a. Compulsory Counterclaim Statute or Rule 109 b. Common-Law Compulsory Counterclaim 111 Chapter 7 Issue Preclusion 113 A. Requirements of Rule 113 1. Same Issue 114 a. Dimensions of Issue 114 b. Applications 121 2. Actually Litigated and Determined 123 a. Applications 125 b. A Contrary View 126 3. Essential to the Judgment 127 B. Exceptions to Rule 129 1. Certain Issues of Law 130 a. Pure Questions of Law 130 b. Inequitable Administration of Law 132 2. Inferior Rendering Court 134 a. Procedural Informality 134 b. Jurisdictional Specialization 135 3. Different Burden of Persuasion 138 4. Inability to Appeal 138 5. Unforeseeability 139 6. Generalized Exception 141 a. Lack of Full and Fair Opportunity 141
xii CONTENTS b. Conflicting Substantive Policy 142 C. Special Applications: Multiple Determinations 143 1. Cumulative Determinations 143 2. Ambiguous Determinations 143 3. Alternative Determinations 145 Chapter 8 Effects on Nonparties 149 A. Privies 149 1. Substantive Privity 153 a. Successive Interests 153 b. Other Substantive Relationships of Decreasing Closeness 155 2. Procedural Privity 159 a. Actual Representation 159 b. Other Procedural Relationships Based on Nonparty s Conduct 163 B. Strangers 165 1. Parties Treated as Strangers: No Binding Effect 165 a. Nominal Parties 165 b. Parties Under Incapacity 166 c. Parties Litigating in Different Capacities 167 d. Nonadverse Parties 167 2. Strangers Treated as Parties: A Benefiting Effect 169 a. Mutuality of Estoppel 169 b. Nonmutual Estoppel 174 c. Nonmutual Claim Preclusion 184 d. Criticism of Modern Approach 184 Chapter 9 Nonordinary Judgments 189 A. Noncoercive Judgments 189 B. Nonpersonal Judgments 192 1. In Rem 193 a. Pure In Rem 193 b. Jurisdiction over Status 194 2. Quasi In Rem 196 a. Subtype One 196 b. Subtype Two 198 C. Noncivil Judgments 204 1. Plea of Guilty 207 2. Conviction as Evidence 207 3. Plea of Nolo Contendere 208 D. Nonjudicial Proceedings 208
CONTENTS xiii 1. Administrative Adjudications 208 2. Arbitration Awards 210 Chapter 10 Nondomestic Judgments 211 A. General Considerations 211 1. Recognition 212 2. Enforcement 212 B. Judgments of American Courts 213 1. State Judgments 213 a. State State 213 b. State Federal 221 2. Federal Judgments 223 a. Federal State 223 b. Federal Federal 226 C. Judgments of Foreign Nations 226 1. Rules for Recognition and Enforcement 226 a. General Practices 226 b. Preclusion Specifics 228 c. Governing Law 229 2. Special Exceptions to Recognition and Enforcement 230 a. Reciprocity 230 b. Public Policy 231 3. Hague Treaty 232 Part III: Practice Chapter 11 Invoking Res Judicata 237 A. Raising 237 1. Timing 238 2. Method 238 a. Claim Preclusion 238 b. Issue Preclusion 240 B. Proving 242 1. Burden 242 2. Evidence 243 3. Decision 244 4. Review 245 Chapter 12 Defeating Res Judicata 247 A. Methods of Attack 248 1. Motion for Relief 248 2. Independent Suit 248
xiv CONTENTS 3. Defensive Attack 249 B. Grounds for Attack 249 1. Jurisdiction and Notice 250 a. Jurisdiction 250 b. Notice 251 c. Summary 252 2. Equitable Grounds 253 a. General 253 b. Fraud 254 C. Approaches to Attack s Methods and Grounds 256 1. Traditional, Rigid Approach 257 2. Ultramodern, Fluid Approach 258 3. Resolution 259 Chapter 13 Jurisdiction to Determine Jurisdiction 263 A. Status of This Subdoctrine 265 B. Content of This Subdoctrine 266 1. Territorial Jurisdiction and Adequate Notice 266 2. Subject-Matter Jurisdiction 268 C. Jurisdiction to Determine No Jurisdiction 271 D. A Final View of Validity and Finality 271 Table of Cases 273 Index 277
Res Judicata