Ch5. Judgments — Types of Judgments and Their Preclusive Effects

Types of Judgments

Judgment on the merits (final judgment):
  Court decides the underlying claim.
  Judgment for plaintiff: relief granted (e.g., damages awarded).
  Judgment for defendant: complaint dismissed with prejudice.

Dismissal without prejudice:
  Complaint is defective or lacks jurisdiction.
  Court does not reach the merits.
  Plaintiff may re-file (subject to limitations period).
  → Analogous to a "jurisdictional dismissal."

Full (general) final judgment (FRCP 54(b)):
  Resolves all claims against all parties in the case.
  Appeals as of right begin from a final judgment
  (28 U.S.C. § 1291).

Partial / separate final judgment (FRCP 54(b)):
  When there are multiple claims or multiple parties,
  the court may direct entry of final judgment as to
  fewer than all claims if it expressly determines there
  is no just reason for delay.

Interlocutory / partial rulings:
  Resolves a discrete issue before final judgment
  (e.g., liability only; summary judgment on one count).
  Generally not immediately appealable unless the
  collateral-order doctrine or 28 U.S.C. § 1292(b) applies.

Preclusive Effects of a Final Judgment

Res judicata — Claim Preclusion:
  A final judgment on the merits by a court of
  competent jurisdiction bars relitigation of the
  same claim by the same parties (or those in privity).

  Three requirements:
  ① Same claim (same transaction or occurrence — FRCP 13(a)):
       All claims arising from the same T/O must be
       brought in the first action or are waived.
  ② Same parties (or parties in privity / successors).
  ③ Final judgment on the merits.

  Temporal limit:
  Only claims that existed and could have been asserted
  before the judgment are barred.

Collateral Estoppel — Issue Preclusion:
  A specific issue that was actually litigated,
  necessarily decided, and essential to the prior
  judgment may not be relitigated in a later proceeding.

  Requirements:
  ① Issue identical to the one in the prior action.
  ② Issue was actually litigated and decided.
  ③ Decision was necessary to the prior judgment.
  ④ Party against whom preclusion is sought had a
     full and fair opportunity to litigate.

  Non-mutual offensive collateral estoppel:
  A non-party to the first suit may invoke preclusion
  offensively against a party who litigated and lost
  the issue before (Parklane Hosiery v. Shore).

Enforcement (Execution) power:
  A money judgment is self-executing in the sense
  that it may be enforced by the judgment creditor.
  Enforcement mechanisms: writ of execution, garnishment,
  lien on real property (28 U.S.C. § 3001 et seq.;
  state law where applicable).

Declaratory / injunctive effect:
  A declaratory judgment establishes legal rights
  (28 U.S.C. § 2201).
  An injunction directly alters conduct; violation is contempt.

Finality of Judgment and Appeals

Final judgment rule (28 U.S.C. § 1291):
  Courts of appeals have jurisdiction only over
  final decisions of the district courts.
  A judgment is final when it "ends the litigation on
  the merits and leaves nothing for the court to do
  but execute the judgment." (Catlin v. United States)

Time to appeal:
  Notice of appeal must be filed within 30 days of
  entry of judgment (FRCP 4(a)(1)(A), FRAP 4).
  Extended to 60 days if the United States is a party.
  → After deadline: judgment is no longer appealable
    and becomes fully final.

Appeal to Circuit Court of Appeals:
  From district court → circuit court of appeals.
  Reviews questions of law de novo; factual findings
  only for clear error (FRCP 52(a)(6)).

Petition for certiorari to the Supreme Court:
  From circuit court → U.S. Supreme Court.
  Discretionary ("cert." granted in ~1–2% of petitions).
  Supreme Court reviews legal questions only.

Interlocutory appeals:
  FRCP 54(b) certified partial judgment.
  28 U.S.C. § 1292(a): injunctions appealable as of right.
  28 U.S.C. § 1292(b): district court may certify a
    controlling question of law for immediate appeal.
  Mandamus (extraordinary writ): in rare cases.

Termination of the Case

Voluntary dismissal (FRCP 41(a)):
  Plaintiff may dismiss without prejudice:
    ① Before defendant serves an answer or motion for
       summary judgment — as of right.
    ② After that point — only by court order or
       stipulation signed by all parties.
  Second dismissal of the same claim operates as
  an adjudication on the merits (two-dismissal rule).

Settlement / consent judgment:
  Parties may settle at any time.
  If filed with the court as a consent decree or
  stipulated judgment, it has full preclusive effect.

Offer of judgment (FRCP 68):
  Defendant may serve an offer to allow judgment.
  If plaintiff rejects and then recovers less than
  the offer, plaintiff must pay defendant's post-offer
  costs (including expert fees if applicable).

Default judgment (FRCP 55):
  Defendant fails to answer → clerk enters default →
  court may enter default judgment on motion.
  Judgment may not exceed the relief demanded
  in the complaint (FRCP 54(c)).

Summary judgment (FRCP 56):
  No genuine dispute of material fact → judgment as
  a matter of law, without trial.

Judgment as a matter of law (FRCP 50):
  During trial: court may grant if no reasonable jury
  could find for the non-movant.
  After trial: renewed motion (JNOV) within 28 days.

Claim Preclusion (Res Judicata) Scope ★★★★★ : Bars ALL claims arising from the same T/O, not just those actually litigated. Parties and their privies are bound. Requires a final judgment on the merits. Memory hook: One T/O = one lawsuit — bring everything or lose it

Judgment / Dismissal / Default — Key Distinctions ★★★★★ : With prejudice = on the merits = claim preclusion. Without prejudice = not on the merits = may re-file. Default judgment = defendant failed to appear. Memory hook: “With prejudice” locks the door; “without prejudice” leaves it open

Appeal Deadline = 30 Days ★★★★☆ : Notice of appeal due within 30 days of entry of judgment (FRAP 4(a)). Miss it and the judgment is final and unappealable. Memory hook: 30 days → appeal; missed = done

Practice Quizzes

Q. Why does claim preclusion (res judicata) extend to claims that could have been brought but were not?

Res judicata is designed to give finality to litigation and prevent piecemeal suits. Under the transactional approach (adopted by federal courts and the Restatement (Second) of Judgments § 24), all claims that arise from the same transaction or occurrence must be joined in the first action. A plaintiff who wins or loses on some claims but omits others arising from the same T/O is barred from asserting those omitted claims later. This incentivizes complete litigation and protects defendants from serial harassment.

Q. What is the difference between voluntary dismissal under FRCP 41(a)(1) and FRCP 41(a)(2)?

FRCP 41(a)(1): Plaintiff may dismiss without court order (as of right) by filing a notice before the defendant serves an answer or a motion for summary judgment, or by filing a stipulation signed by all parties. The dismissal is without prejudice unless the notice itself states otherwise. Two-dismissal rule: a second dismissal of the same claim operates as an adjudication on the merits. FRCP 41(a)(2): After the defendant has answered or moved, plaintiff needs a court order. The court may impose conditions (e.g., payment of fees) and may specify whether the dismissal is with or without prejudice.