CHAPTER 1. INTRODUCTION 1
1.1 Distinction Between Substance and Procedure； Functions of Procedure 1
1.2 The Adversary System 4
1.3 Lawyers in the Adversary System 8
A. HISTORICAL BACKGROUND OF ANGLO-AMERICAN LAW 12
1.4 Rise of King’s Courts and Growth of Formulary System 12
1.5 Rise of Equity 16
1.6 Struggle Between Law and Equity and Subsequent Coexist-ence of the Systems 18
1.7 The American Codes and English Judicature Acts 21
1.8 Federal Rules of Civil Procedure 23
1.9 Beyond the Federal Rules 25
B. GENERAL ANALYSIS OF REMEDIES 28
1.10 Classic Distinction Between In Rem and In Personam Relief 28
1.11 Other Classifications of Relief 30
1.12 Declaratory Relief 32
1.13 Changing the Law 35
1.14 Institutional Decrees 38
C. AMERICAN COURT SYSTEMS 40
1.15 State Court Systems 40
1.16 Federal Court System 41
D. LIFE HISTORY OF A LAWSUIT 43
1.17 Commencement of Action； Summons and Complaint 43
1.18 Parties，Pleading，and Pretrial Procedures 44
1.19 Trial 44
1.20 Judgments 45
1.21 Appeals 47
E. ALLOCATING LITIGATION EXPENSES 48
1.22 Costs and Interest 48
1.23 Attorney Fees： The American Rule 49
1.24 Exceptions to the American Rule 51
CHAPTER 2. SUBJECT MATTER JURISDICTION AND THE ERIE DOCTRINE 54
2.1 Introduction 54
2.2 Allocation of Judicial Business Between State and Federal Courts： In General 55
A. FEDERAL SUBJECT MATTER JURISDICTION 57
2.3 Diversity Jurisdiction 57
2.4 Arising Under （Federal Question） Jurisdiction 61
2.5 Supplemental Jurisdiction 65
2.6 Cases and Controversies 68
2.7 Proof of Jurisdiction 70
2.8 Removal 72
B. STATE SUBJECT MATTER JURISDICTION 75
2.9 State Subject Matter Jurisdiction 75
C. JUDICIAL SELF-RESTRAINTS ON EXERCISING JURISDICTION 76
2.10 Abstention 76
2.11 Sovereign Immunity 81
D. THE LAW APPLIED BY A COURT 85
2.12 Introduction 85
2.13 Federal and State Law 86
2.14 Erie Railroad V. Tompkins 88
2.15 Choice of Law in Multistate Transactions 95
2.16 Choice of Law in Federal Court 97
2.17 Federal Court Jurisdiction in Perspective 99
CHAPTER 3. PERSONAL JURISDICTION AND VENUE 101
3.1 Introduction 101
A. PERSONAL JURISDICTION 102
3.2 Federal Constitutional Limitations on State Court Authority 102
3.3 Territoriality and Due Process 105
3.4 International Shoe and Beyond 109
3.5 Long-Arm Statutes and Jurisdiction 113
3.6 Presence of Property and Persons 120
3.7 Agreements Concerning Jurisdiction 125
3.8 Enforcing the Judgment 128
B. NOTICE AND OBJECTION TO JURISDICTION 131
3.9 Notice 131
3.10 Technical Requirements as to Notice 133
3.11 Objecting to Jurisdiction 134
3.12 Service of Process Limitations 137
C. FEDERAL VENUE AND FORUM NON CONVENIENS 139
3.13 Federal Venue Provisions 139
3.14 Change of Venue 141
3.15 Forum Non Conveniens 142
D. STATE VENUE 145
3.16 State Rules of Venue 145
E. JUDICIAL SELF-RESTRAINTS ON EXERCISING JURISDICTION 146
3.17 Immunity from Service 146
3.18 Cases Involving Force or Fraud 149
3.19 Infringement of Constitutionally Protected Activity 150
3.20 Local Action Rule 150
3.21 Perspectives 151
CHAPTER 4. PLEADINGS： THE COMPLAINT 156
4.1 Pleadings Defined 156
A. COMPLAINTS AND RESPONSES 156
4.2 Types of Pleadings 156
4.3 Complaint 157
4.4 Defensive Pleadings 157
4.5 Agenda for the Case 159
B. HISTORY 159
4.6 Common Law，Equity and Code Pleading 159
C. STRUCTURE 161
4.7 Format of a Complaint 161
4.8 Pleading Jurisdiction and Relief 163
4.9 Elements of Claim and Their Allocation 166
4.10 Fairness in Allocation 171
D. “PLAUSIBLE PLEADINGS”： HOW MUCH DETAIL？ 172
4.11 Degree of Detail Under Code Pleading 172
4.12 Detail Under the Federal Rules 173
4.13 Conley V. Gibson Revisited： Twombly and Iqbal 179
4.14 Pleading and Substantive Law 187
4.15 Litigation as Social Justice 188
E. ENFORCEMENT 190
4.16 Controlling Frivolous Pleading： Rule 11 190
F. OTHER DEFENSES 197
4.17 Rule 12（b）（1）-（5） and （7） 197
CHAPTER 5. DEFENDANT’S RESPONSES TO THE COM- PLAINT AND OTHER PLEADING PROBLEMS 198
A. OBJECTIONS TO THE COMPLAINT 198
5.1 Types of Objection 198
5.2 Simplifications in the Codes and Federal Rules 200
5.3 Objections Not Waived 205
B. THE ANSWER AND REPLY 206
5.4 Denials 206
5.5 Affirmative Defenses 207
5.6 Specific Instances of Affirmative Defense 210
5.7 Consequences of Failure to Plead Affirmatively an Affirma-tive Defense 213
5.8 Counterclaims，Cross-Claims，Interpleader 214
5.9 Plaintiff’s Response to Answer 215
5.10 Summary Judgment 217
C. AMENDED PLEADINGS 217
5.11 The Doctrine of Variance 217
5.12 Amendment of Pleadings： In General 218
5.13 Amendment of Pleadings Before Trial 219
5.14 Amendments Offered at Trial 220
5.15 Amendments to Conform to Proof 221
5.16 Amendments and Statutes of Limitation 222
5.17 Supplemental Pleadings 226
CHAPTER 6. JOINDER OF CLAIMS 228
A. PERMISSIVE JOINDER OF CLAIMS 228
6.1 In General 228
6.2 Historical Policies 231
6.3 Joinder Under Original Codes 233
6.4 Modern Joinder When There Are No Multiple Parties 236
B. PERMISSIVE JOINDER OF PARTIES 236
6.5 Background at Common Law and in Equity 236
6.6 Field Code Provisions 237
6.7 Modern Joinder Provisions 241
C. MULTIPLE CLAIMS WITH MULTIPLE PARTIES 244
6.8 Modern Party Joinder 244
D. COUNTERCLAIMS 249
6.9 Background 249
6.10 Early Code Counterclaims 251
6.11 Modern Provisions 252
6.12 Cross-Claims 254
6.13 Jurisdiction and Other Problems 255
CHAPTER 7. PARTIES TO AN ACTION 262
7.1 Introduction 262
A. PARTY IDENTITY AND CAPACITY 263
7.2 Nominal and Real Parties 263
7.3 Real Party in Interest 265
7.4 Assignee of Chose in Action 267
7.5 Partial Assignment and Subrogation 269
7.6 Holders of Different Interests in Property and Other Multiple Claimants 271
7.7 Capacity of Individuals，Corporations，Partnerships，and Un-incorporated Associations to Sue and Be Sued 273
7.8 Proper Parties Defendant 276
7.9 Liability Insurer as Defendant 279
7.10 Problems of Federal Jurisdiction 281
B. REQUIRED PARTIES 283
7.11 Definitions 283
7.12 Determining Who Is a Required Party 285
7.13 Weighing Various Factors 291
7.14 Suits to Review Administrative Action 295
C. OTHER JOINDER DEVICES 295
7.15 Introduction 295
7.16 Intervention 296
7.17 Impleader 302
7.18 Interpleader 306
D. CLASS ACTIONS 309
7.19 Introduction 309
7.20 Historical Background 311
7.21 The Modern Class Action 315
7.22 Procedural Aspects of Class Actions 322
E. JOINDER PERSPECTIVES 330
7.23 Joinder Policy 330
CHAPTER 8. DISCOVERY 334
A. HISTORY AND SCOPE 334
8.1 Modern Discovery 334
8.2 History 335
8.3 Basic Discovery Mechanisms 336
8.4 State Counterpart Discovery Rules 337
B. SCOPE，PRIVILEGES AND CONTROLS 338
8.5 Scope，Privileges and Controls 338
8.6 Rule 26（b）（1） and Relevance 338
8.7 Privileged Matter： Attorney-Client Privilege 340
8.8 Work Product，Including Experts 341
8.9 Upjohn CO. V. United States 347
8.10 Broad Court Discretion 349
C. DISCOVERY TIMING 351
8.11 Initial Disclosures 351
8.12 Discovery Plan 352
8.13 Pretrial Disclosures： Experts and Others 353
8.14 Supplemental Disclosures 354
8.15 Relationship to Summary Judgment 355
D. DISCOVERY METHODS 355
8.16 Depositions 355
8.17 Interrogatories to Parties 359
8.18 Discovery of Documents and Things 361
8.19 Discovery of Electronic Documents 363
8.20 Physical Examination 366
8.21 Request for Admission 368
8.22 Transnational Discovery 370
E. PREVENTING DISCOVERY ABUSE 372
8.23 Abuse and Its Remedies 372
CHAPTER 9. SUMMARY JUDGMENT 374
9.1 Function of Summary Judgment 374
9.2 Relationship to Discovery 376
9.3 History of Summary Judgment 378
9.4 Prediction of Evidence at Trial 379
9.5 How Far with Summary Judgment？ 381
9.6 Scott V. Harris 383
9.7 Summary Judgment in Comparative Perspective 385
CHAPTER 10. PRETRIAL： JUDICIAL MANAGEMENT，INTERIM RELIEF，AND DISPOSITION 389
10.1 Introduction： The Pretrial Stage 389
A. CASE MANAGEMENT 390
10.2 The Rise of Judicial Management 390
10.3 Pretrial Conferences 391
10.4 Pretrial Order 394
10.5 Sanctions 395
B. PRELIMINARY RELIEF 404
10.6 Preliminary Injunctions and Temporary Restraining Orders 404
10.7 Garnishment and Replevin 407
10.8 Attachment 408
C. DISPOSITION OF CASE WITHOUT TRIAL 409
10.9 Default and Dismissal 409
10.10 Settlement 411
10.11 Alternative Dispute Resolution 417
10.12 Courts and Settlement 423
CHAPTER 11. THE TRIAL 428
A. STRUCTURE OF A TRIAL 428
11.1 Trial of Issues of Fact 428
11.2 Trial to Judge or Jury 431
11.3 Order of Presentation 432
11.4 Recusal of Judge 437
11.5 Standard of Proof 441
11.6 Trial to Judge Without Jury 442
B. BASIC CONCEPTS OF JURY TRIAL PROCEDURE 443
11.7 Introducing the Jury 443
11.8 Historical Development of the Jury： From Witnesses to Arbiters of Fact 447
11.9 Substantive Error and Procedural Error 453
11.10 Legal System Norms and Citizen Norms 454
11.11 Procedural Errors in Jury Trial 457
11.12 Burden of Proof： Two Meanings 458
11.13 Risk of Nonpersuasion 458
11.14 Measure of Persuasion in Civil Cases 459
11.15 Burden of Producing Evidence 460
11.16 Allocating Burdens of Proof 464
11.17 Presumptions 466
11.18 Distinction Between Law and Fact in Jury Trials 472
11.19 Sufficiency of the Evidence 478
C. CONTROLLING THE JURY： PREVERDICT DEVICES 485
11.20 Admission and Exclusion of Evidence 485
11.21 Directed Verdict，or Judgment as a Matter of Law 488
11.22 Instructions to the Jury 492
11.23 Special Verdicts and Interrogatories 498
D. CONTROLLING THE JURY： POSTVERDICT DEVICES 502
11.24 New Trial： In General 502
11.25 New Trial for Judicial Error 503
11.26 New Trial for Prejudicial Occurrence 504
11.27 New Trial for Jury Misconduct 506
11.28 New Trial for Verdict Against Weight of Evidence 511
11.29 New Trial for Excessive or Inadequate Verdict 514
11.30 Judgment Notwithstanding Verdict，or Judgment as a Mat-ter of Law 523
CHAPTER 12. RIGHT TO A JURY TRIAL 529
A. THE CONSTITUTIONAL RIGHT 529
12.1 In General 529
12.2 Historical Test 532
12.3 Modern Application of Historical Test 539
B. JURY TRIAL PROBLEMS OF UNIFIED PROCEDURE 541
12.4 Choice of Mode of Trial at Common Law 541
12.5 Provisions for Mode of Trial in Merged Systems 543
12.6 Civil Actions That Are Counterparts of Former Law Actions or Equity Suits 547
12.7 Classification of New Claims as Legal or Equitable 548
12.8 Complaint Having Legal and Equitable Claims 552
12.9 Equitable Defense to a Legal Claim 559
12.10 Complaint Presenting Equitable Issues and Counterclaim Presenting Legal Issues 561
12.11 Declaratory Judgment 563
12.12 Alternatives to Historical Test 566
12.13 Jury Size 570
12.14 Jury Composition 571
CHAPTER 13. SOCIAL AND ECONOMIC ASPECTS OF CIVIL LITIGATION 580
13.1 Introduction 580
13.2 Litigation as Coercion 581
13.3 Cost of Litigation 585
13.4 Factors of Uncertainty 589
13.5 Lawsuit as Quest for Justice 596
13.6 Civil Justice as a Political Program 599
13.7 Policy Goals Competing with Judicial “Efficiency” 602
CHAPTER 14. JUDGMENTS 605
A. PRECLUSION GENERALLY 605
14.1 Introduction 605
14.2 Policy Considerations 607
14.3 Definitions and Distinctions 609
14.4 Requirement of Finality 611
14.5 Law of the Case Doctrine 613
14.6 Stare Decisis 614
B. PRECLUSION BETWEEN SAME PARTIES 615
14.7 Parties 615
14.8 Claim Preclusion 617
14.9 Dimensions of Single Claim or Cause of Action 619
14.10 Tort Cases 622
14.11 Contract Cases 625
14.12 Alternative Bases of Recovery for Single Injury 626
14.13 Legal and Equitable Theories and Remedies 627
14.14 Unavailability of Remedy or Theory of Recovery in First Action 627
14.15 Defenses and Counterclaims 631
14.16 Judgment on the Merits 634
14.17 Issue Preclusion： In General 635
14.18 Matter or Point Must Have Been Litigated 636
14.19 Matter or Point Must Have Been Determined 638
14.19 Matter or Point Must Have Been Determined 639
14.20 Determination Must Have Been Necessary to Result 640
14.21 Questions of Law 642
14.22 Judicial Estoppel 644
C. PRECLUSION INVOLVING NONPARTIES 645
14.23 Due Process 645
14.24 Transformational Effect of Judgment 646
14.25 Mutuality Rule 647
14.26 Exceptions to One-Way Issue Preclusion 651
14.27 Preclusion Resulting from Representation 653
14.28 Representative Parties 656
14.29 Class Actions 657
14.30 Substantive Relationships Resulting in Preclusion 662
14.31 Ameliorating Rigors of Preclusion 667
14.32 Equitable Preclusion 670
CHAPTER 15. POST-TRIAL ATTACKS ON JUDGMENTS 672
15.1 Introduction 672
A. POST-TRIAL MOTIONS 675
15.2 Postverdict Motions 675
15.3 Postjudgment Motions in Cases Tried to a Judge 676
B. APPEAL 677
15.4 Final Judgment Rule 677
15.5 Attorney’s Fee Awards 685
15.6 Parties 689
15.7 Jurisdiction of Appeal 691
15.8 Procedure 693
15.9 Scope of Review 697
C. INTERLOCUTORY APPELLATE REVIEW 706
15.10 Introduction 706
15.11 Discretionary Interlocutory Appeal 707
15.12 Orders Appealable as of Right 708
15.13 Extraordinary Writ Review 710
D. EXTRAORDINARY RELIEF FROM JUDGMENT 712
15.14 Introduction 712
15.15 Rule 60（b） Relief 713
15.16 Independent Suit 721
15.17 Attacking a Void Judgment 722
TABLE OF CASES 725
INDEX 773