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Contents Chapter 1 Strategy for Studying Federal Courts and Jurisdiction 3 A. Eye on the Bottom Line 3 B. Governmental Theory 4 C. Ulterior Motive: what else is up their Sleeve? 8 D. Understanding The Basic Structure of the Federal Judiciary 9 1. What the Constitution Says 9 2. The Court System Layout 10 Chapter 2 Federal Question Jurisdiction in Lower Federal Courts 13 A. The Meaning of â¿¿â¿¿Arising Underâ¿¿â¿¿ in the Constitution 13 B. The Meaning of â¿¿â¿¿Arising Underâ¿¿â¿¿ in 28 U.S.C. Â§1331 15 1. The Requirement that the Case Present a Necessary, Disputed, and Substantial Federal Element Under Â§1331 16 2. The Federal-State Balance Element 21 3. The â¿¿â¿¿Well-Pleaded Complaintâ¿¿â¿¿ Requirement 25 a. Declaratory Judgment 27 i. Skelly Oil Recognizes the Declaratory Judgment Wrinkle 28 ii. Franchise Tax Board Complicates the Wrinkle 31 iii. The Alignment Question Remains 32 iv. Synthesizing the Declaratory Judgment Case Law 34 b. Complete Preemption 38 Chapter 3 Diversity of Citizenship Jurisdiction in Lower Federal Courts 41 A. Defining â¿¿â¿¿Different Statesâ¿¿â¿¿: The Complete Diversity Rule 42 B. Determining Citizenship 44 ix Contents 1. Citizenship Rules for Individuals 44 2. Citizenship Rules for Corporations 46 3. Citizenship Rules for Unincorporated Associations 47 4. Citizenship Rules for Class Actions 48 a. Basic Rule 48 b. Discretionary Exception to the Basic Rule: Â§1332(d)(3) 50 c. Mandatory Exceptions to the Basic Rule in Â§1332(d) 53 C. Calculating Amount in Controversy 55 1. Timing and Standard for Calculation 55 2. Aggregation Rules 57 a. Aggregation by One Plaintiff 57 b. Aggregation by Multiple Plaintiffs 58 c. Aggregation in Class Actions 61 D. Identifying Forbidden Subject Areas 62 1. Domestic Relations 62 2. Probate Matters 64 Chapter 4 Supplemental Jurisdiction in Lower Federal Courts 67 A. Supplemental Jurisdiction is used only When Necessary 68 B. Constitutional Underpinnings of Supplemental Jurisdiction 69 C. The Supplemental Jurisdiction Statute 72 1. Section 1367(a): Congress Giveth 72 a. Codifying Gibbs 72 b. Joining Additional Parties 73 2. Section 1367(b): Congress Taketh Away 74 a. Integrating Supplemental Jurisdiction with the Complete Diversity Requirement 74 b. Limiting Supplemental Jurisdiction with Â§1367(b) 77 c. Using Â§1367(a) to Meet the â¿¿â¿¿Amount in Controversyâ¿¿â¿¿ Requirement in Diversity Cases 79 3. Section 1367(c): Congress Delegates 82 4. Putting It All Together: A Summary Example 84 Chapter 5 Justiciability Doctrines 93 A. Values Served by Justiciability Doctrines 93 B. Overview of the Justiciability Doctrines 94 1. The Doctrines Restricting what Mattersa Court Can Handle 94 x Contents 2. The Doctrines Restricting when a Court Can Adjudicate 97 3. The Doctrine Restricting Who May Bring a Lawsuit 98 C. More Details About Standing 101 1. Constitutional Requisites 102 a. Injury in Fact 102 i. Types of Injuries Sufficient for the Injury Requirement 103 ii. Standing to Seek Particular Remedies 105 b. Causation and Redressability 108 2. Prudential Considerations 109 a. Third-Party Claims 109 b. Generalized Grievances 112 c. Zone of Interest 113 Chapter 6 Congressional Controlover Jurisdiction 115 A. Congressional Power to Limit Supreme Court Jurisdiction 116 1. The Debateâ¿¿s Parameters 116 2. History 119 3. Case Law 121 B. Congressional Power to Limit Lowercourt Jurisdiction 123 1. What Is a Lower Federal Court? 124 2. Congressâ¿¿s Latitude Under Article III 125 3. Due Process Limitations 130 C. Congressional Power to Control The Manner, Substance, and Result of Judicial Decisionmaking: Separation of Powers Challenges 134 1. Review of Federal Court Decisions 134 2. Mandating the Substance of Judicial Decisions 135 3. Reopening Final Judgments 138 4. Controlling Court Authority to Issue Remedies 139 5. Putting It All Together: A Summary Example Exploring Separation of Powers Issues 141 D. Congressional Power to Create non-article III Courts 144 1. Legislative Courts: We Donâ¿¿t Want Congress Taking Over the World 146 2. Military Tribunals: The Executive Does Not Possess 151 a â¿¿â¿¿Blank Checkâ¿¿â¿¿ Chapter 7 The Anti-Injunction Act 155 A. The General Prohibition: No Injunctions of State Proceedings 156 1. Ongoing State Court Proceedings Only 156 xi Contents 2. Declaratory Judgments Too? 157 B. Exception 1: Injunctions Expressly Authorized by Statute 158 C. Exception 2: Injunctions Necessary in Aid of Jurisdiction 160 D. Exception 3: Injunctions to Protect or Effectuate Judgments 163 Chapter 8 Abstention Doctrines 171 A. Unclear State Law Doctrines: Pullman, Thibodaux, and Burford 172 1. Pullman Abstention: Avoiding Unnecessary Constitutional Issues 172 a. Prerequisites for Pullman Abstention 173 b. Procedure for Pullman Abstention 177 c. Discretionary Elements of Pullman Abstention 179 2. Thibodaux Abstention: Unclear State Law on an Important Matter 182 3. Burford Abstention: Avoiding Interference with State Administrative Process 183 a. Initial Articulation of the Doctrine 183 b. Refinement of the Doctrine: Prerequisites 184 c. Limiting the Doctrine in Damage Actions 188 B. Duplicative Proceeding Doctrines: Younger and Colorado River 189 1. Younger Abstention: Avoiding Interference with Ongoing State Proceedings 190 a. Enjoin: How Far Does Younger Apply Beyond Injunction Requests? 191 b. Ongoing: What Is an Ongoing Proceeding for Younger Purposes? 193 i. Steffel v. Thompson 193 ii. Hicks v. Miranda 195 iii. Doran v. Salem Inn, Inc. 198 iv. Permanent Injunctive Relief 200 c. Criminal Proceedings: When Does Younger Apply Outside the Criminal Context? 201 d. Exceptions 203 i. Bad Faith or Harassment 204 ii. Patently Unconstitutional State Law 205 iii. Other Extraordinary Circumstances 205 e. Relation with Anti-Injunction Act 206 f. Procedure 208 2. Colorado River Abstention: Avoiding Piecemeal Litigation 208 a. Basic Elements 209 b. Procedure 212 xii Contents c. Declaratory Judgment Actions Exempted 213 C. Statutory and Judicially Created Restrictions Operating in Tandem: The Anti-Injunction Act and The Abstention Doctrines Considered Together 213 Chapter 9 State Court Authority to Enforce Federal Law 221 A. The Presumption of Concurrent Jurisdiction: Effect on State Courts 222 B. The Presumption of Concurrent Jurisdiction: Effect on Federal Courts 224 C. Remedial Limitations for State Court Suits Against Federal Officers 226 Chapter 10 State Court Responsibility to Enforce Federal Law 229 A. State Court Obligation to hear a Federal Cause of Action 230 B. Constraints on Congressâ¿¿s Authority Over State Courts 233 Chapter 11 Role of the United States Supreme Court 243 A. Constitutional and Statutory Grants 244 B. Principles Governing Review of State Court Decisions 246 1. Preservation Requirement 248 2. Adequate and Independent State Grounds 249 a. What Is an Adequate State Ground? 250 i. Logical Adequacy 251 ii. Procedural Adequacy 255 iii. Summing Up: Circumstances Under Which a State Ground Will Not Be Adequate 258 b. Is the State Ground Independent of Federal Law? 260 3. Finality 263 a. Basic Finality Principle 263 b. Cox Broadcasting: Summary of Categories Under the Pragmatic Approach to Finality 264 c. Preordained Cases 264 d. â¿¿â¿¿Separated Federal Issueâ¿¿â¿¿ Cases 265 e. f. â¿¿â¿¿Seize It Nowâ¿¿â¿¿ Cases 266 g. Important Federal Interest Cases 267 4. The Three Doctrines Considered Together 270 C. Principles Governing Review of Federal Decisions 273 xiii Contents Chapter 12 Role of Lower Federal Courts 277 A. Principles Governing Habeas Corpus Review 277 1. Constitutional, Statutory, and Historical 278 Background 2. Cognizable Claims: What Is the Substantive Scope of Inquiry on Habeas? 283 a. The Ends of the Spectrum: Frank v. Mangum and Brown v. Allen 283 b. Eliminating Fourth Amendment Claims: Stone v. Powell 285 c. Eliminating Claims that Amount to Harmless 291 Error d. Eliminating New Rules of Constitutional Law: Teague v. Lane 294 i. The Basics 294 ii. What Is a New Rule? 298 iii. Understanding Teague in Light of the Habeas Values 299 e. Eliminating Decisions Based on Clearly Established Federal Law 300 i. Dismantling and Reconstructing 28 U.S.C Â§2254(d)(1) 300 ii. The Relationship Between Teague v. Lane and 28 U.S.C. Â§2254(d)(1) 305 3. Procedural Bar: Under What Circumstances Will the Federal Court Excuse State Procedural 310 Default? a. The Ends of the Spectrum: Daniels v. Allen and Fay v. Noia 311 b. Requiring Cause and Prejudice (or Actual Innocence): Wainwright v. Sykes 312 i. Defining Actual Innocence 313 ii. Defining Cause 315 iii. Defining Prejudice 318 iv. Procedural Default under the AEDPA 319 4. Other Limitations on Habeas Review 319 a. Exhaustion Requirements 319 b. Limitations on Reexamining Factual Findings 321 c. Statutes of Limitations 324 d. Limitations on Successive Petitions 324 B. The Rooker-Feldman Doctrine: Protecting The Supreme Courtâ¿¿s Review Power 325 xiv Contents PART IV FEDERAL COURTS AS SUPERVISORS OF 331 STATE AND LOCAL OFFICIALS Chapter 13 Eleventh Amendment Restrictions 333 A. History: The Language of Article III and Chisholm V. Georgia 334 B. â¿¿â¿¿Any Suit . . . Against one of the United States by Citizens of Another State, or by Citizens or Subjects of any Foreign Statesâ¿¿â¿¿: Hans V. Louisiana 335 C. â¿¿â¿¿Any Suit in Law or in Equity . . . against one of the United Statesâ¿¿â¿¿: Ex Parte Young and its Progeny 340 1. The Logic Behind the Ex Parte Young Fiction 340 2. The Prospective/Retroactive Distinction 342 a. Edelman v. Jordan: The Basic Concept 342 b. Further Refinement of Retroactive Relief and Ancillary Remedies 345 i. Refining â¿¿â¿¿Retroactiveâ¿¿â¿¿ 345 ii. Refining â¿¿â¿¿Ancillaryâ¿¿â¿¿ Effects on the Treasury 347 3. Ex Parte Young for State Law Claims: The Fiction Breaks Down 349 4. The â¿¿â¿¿Official Capacityâ¿¿â¿¿/â¿¿â¿¿Individual Capacityâ¿¿â¿¿ Distinction 351 D. â¿¿â¿¿The Judicial Power of the United Statesâ¿¿â¿¿: Alden V. Maine and Others 354 1. The United States Supreme Court Is Not Restricted 354 2. States Courts Are Restricted 355 3. Federal Administrative Agencies Are Restricted 357 E. Congressâ¿¿s Power to Abrogate 358 1. Fourteenth Amendment 359 2. Commerce Clause 361 3. Interaction Between the Eleventh and Fourteenth Amendments: The Boerne-Seminole Tribe Squeeze 362 F. Statesâ¿¿ Prerogative to Waive 366 G. Ten Ways into Federal Court: A Summary of Exceptions to or â¿¿â¿¿Ways Aroundâ¿¿â¿¿ The Eleventh Amendment 369 Chapter 14 Section 1983 371 A. Introduction and History 371 B. â¿¿â¿¿Under Color of â¿¿â¿¿: Monroe V. Pape 373 C. Exhaustion of state Remedies 379 D. â¿¿â¿¿Personâ¿¿â¿¿ 382 1. State Governments 383 2. Municipalities 383 a. Ascertaining Law, Custom or Policies 385 xv Contents b. Recognized Customs or Policies 385 c. Failure to Act 388 3. Individual Officers 391 a. State Officers 392 b. Municipal Officers 393 4. Immunity Doctrines 394 a. Absolute Immunity 395 b. Qualified Immunity 397 E. â¿¿â¿¿Deprivation of Any Rights, Privileges, or Immunities Secured by The Constitution Nd Lawsâ¿¿â¿¿ 402 1. Federal Statutes 402 2. Constitutional Claims 407 F. â¿¿â¿¿[A]ction at LAW, Suit in Equity, or Other Proper Proceeding for Redressâ¿¿â¿¿ 411 G. The Parallel Cause Of Action Against Federal Officers: Bivens V. Six Unknown Named Agents of Federal Bureau of Narcotics 414 Chapter 15 The Erie Mandate 421 A. The Constitutional Scheme and The Rules of Decision Act 422 B. The Erie Decision 424 C. The Aftermath of Erie: Charting the Line Between Substance and Procedure 426 1. The Impulse to Apply Federal Procedural Law 426 2. Guaranty Trust Co. v. York: Outcome Determination 428 3. Byrd v. Blue Ridge Electric Cooperative: A Balancing Test? 428 D. A Rules of Decision Act Case: The Choice Between State Law and Federal Court-Made Law 430 E. A Rules Enabling Act Case: The Choice Between State Law and a Federal Rule of Civil Procedure 434 1. Hannaâ¿¿s Rules Enabling Act Test 434 2. Analysis of Conflict Between a State and Federal Rule 435 F. A Statutory Case: The Choice Between State Law and a Federal Statute 439 G. Choosing Among State Laws: Klaxon V. Stentor 441 Chapter 16 Federal Common Law 445 A. Cases Concerning Federal Proprietary Interests 449 1. General Principles 449 2. The Content of Federal Law 451 B. Cases Between Private Parties Implicating Federal Interests 454 C. Cases Where Necessity, Expediency, or Justice Require Federal Common Law 459 xvi Acknowledgments This project was generously supported by Temple Universityâ¿¿s Beasley School of Law and its fine library staff. I owe special gratitude to Professor Richard Greenstein, Professor Craig Green, and Professor Celestine McConville, who reviewed parts of the manuscript. Professor Mark Rahdert provided inspiration and support, as did my first Federal Courts teacher and colleague, Professor Rob Bartow. Able research assistance came from Brooke Leach, Samantha Evans, Joe Karlan and â¿¿ especially â¿¿ Joe Langkamer. Michael Foley provided expert and creative help with the figures. Finally, I am indebted to Shirley Hall, Sehnyoung Lee, and Jennifer Kelly for their help in processing the manuscript. xvii
Library of Congress Subject Headings for this publication:
Courts -- United States.
Jurisdiction -- United States.
Judicial power -- United States.
Procedure (Law) -- United States.