🪜Civil Procedure Unit 11 – Preclusion Doctrines

What Are Preclusion Doctrines?

• Set of legal principles that prevent parties from relitigating claims or issues previously decided by a court
• Promote finality and efficiency in the legal system by ensuring that matters are not endlessly re-litigated
• Conserve judicial resources by preventing courts from having to hear the same case or issue multiple times
• Protect litigants from the burden and expense of defending against the same claim or issue in multiple lawsuits
• Enhance the credibility and authority of court decisions by giving them binding effect in future cases
• Encourage parties to fully and vigorously litigate their claims and defenses in the initial lawsuit
• Provide predictability and consistency in the legal system by ensuring that similar cases are decided in a similar manner

Types of Preclusion

• Two main types of preclusion doctrines: res judicata (claim preclusion) and collateral estoppel (issue preclusion)
• Res judicata prevents a party from bringing a claim that was or could have been litigated in a previous lawsuit
• Collateral estoppel prevents a party from relitigating an issue that was actually litigated and decided in a previous lawsuit
• Both doctrines require a final judgment on the merits in the previous lawsuit
• Res judicata applies to entire claims, while collateral estoppel applies to specific issues within a claim
• Defensive use of preclusion occurs when a defendant seeks to prevent a plaintiff from relitigating a claim or issue
• Offensive use of preclusion occurs when a plaintiff seeks to prevent a defendant from relitigating a claim or issue

Res Judicata (Claim Preclusion)

• Bars a party from bringing a claim that was or could have been litigated in a previous lawsuit
• Requires a final judgment on the merits in the previous lawsuit
• Applies to claims arising from the same transaction or occurrence as the previous lawsuit
• Prevents splitting of claims, meaning a party cannot bring multiple lawsuits based on the same set of facts
• Extends to claims that were not actually litigated in the previous lawsuit, as long as they could have been brought
• Applies to both plaintiffs and defendants in the previous lawsuit
• Exceptions include cases where the court lacked jurisdiction or where a statutory scheme allows for multiple lawsuits

Collateral Estoppel (Issue Preclusion)

• Bars a party from relitigating an issue that was actually litigated and decided in a previous lawsuit
• Requires a final judgment on the merits in the previous lawsuit
• Applies to issues that were essential to the judgment in the previous lawsuit
• Does not require mutuality of parties, meaning the party seeking to use collateral estoppel need not have been a party to the previous lawsuit
• Can be used offensively by a plaintiff or defensively by a defendant
• Exceptions include cases where the party against whom collateral estoppel is asserted did not have a full and fair opportunity to litigate the issue in the previous lawsuit

Requirements for Applying Preclusion

• Previous lawsuit must have resulted in a final judgment on the merits
• Claims or issues in the current lawsuit must be the same as those in the previous lawsuit
• Party against whom preclusion is asserted must have been a party or in privity with a party to the previous lawsuit
• For collateral estoppel, the issue must have been actually litigated and decided in the previous lawsuit
• For res judicata, the claims in the current lawsuit must arise from the same transaction or occurrence as the previous lawsuit
• Court in the previous lawsuit must have had proper jurisdiction over the parties and subject matter
• Party against whom preclusion is asserted must have had a full and fair opportunity to litigate in the previous lawsuit

Exceptions and Limitations

• Preclusion doctrines do not apply where the court in the previous lawsuit lacked jurisdiction
• Statutory schemes may allow for multiple lawsuits based on the same set of facts (e.g., employment discrimination claims)
• Changes in the law or factual circumstances may render preclusion inapplicable
• Preclusion may not apply where the party against whom it is asserted did not have a full and fair opportunity to litigate in the previous lawsuit
  • Examples include cases where the party was not adequately represented or where new evidence has come to light
• Courts have discretion to deny preclusion where its application would be unfair or would not serve the interests of justice
• Preclusion generally does not apply to cases involving different jurisdictions or legal systems (e.g., state court judgments in federal court)

Practical Applications in Civil Procedure

• Preclusion doctrines are often raised as affirmative defenses in responsive pleadings (answer to a complaint)
• Parties may file motions for summary judgment based on preclusion, arguing that the claims or issues have already been decided
• Courts must determine whether the requirements for preclusion are met and whether any exceptions apply
• Preclusion can lead to the dismissal of claims or the entry of judgment in favor of a party
• Parties must carefully consider the preclusive effect of previous lawsuits when deciding whether to bring or defend against a claim
• Attorneys must thoroughly investigate the history of previous lawsuits and assess the potential impact of preclusion on their clients' cases

Key Cases and Their Impact

• Semtek International Inc. v. Lockheed Martin Corp. (2001): Clarified that the preclusive effect of a federal court judgment is determined by federal common law
• Taylor v. Sturgell (2008): Rejected the "virtual representation" doctrine and limited the circumstances under which a nonparty can be bound by a previous judgment
• Parklane Hosiery Co. v. Shore (1979): Allowed the offensive use of collateral estoppel by a plaintiff who was not a party to the previous lawsuit
• Allen v. McCurry (1980): Held that collateral estoppel applies to issues decided in state court criminal proceedings and can be used defensively in a subsequent federal civil rights lawsuit
• Federated Department Stores, Inc. v. Moitie (1981): Emphasized the importance of finality and the need to prevent repetitive litigation, even where the previous judgment may have been erroneous
• Rivet v. Regions Bank of Louisiana (1998): Clarified that the Rooker-Feldman doctrine, which bars federal courts from reviewing state court judgments, does not apply to cases involving res judicata or collateral estoppel