Modern Pleading and the Complaint—Pleading requirements
The traditional rules of pleading served 4 functions
Notice of the nature of a claim or defense
ID baseless claims
Setting each party’s view of facts
Narrowing issue
The system evolved to decide more cases based on their merits rather than a strict adhesion to rules.
Modern Rule
Only designed to give notice of the nature of a claim or defense
Federal Rules of Civil Procedure
Framers decided baseless claims could be thwarted by FRCP 11 (short and plain) and 56 (summary judgment)
FRCP also created discovery devices that eliminated a detailed statement of facts.
The Complaint (Detail required under the Federal Rules)
MAJ: adopted FRCP
MIN: uses codes, AKA, NY state (Field Codes)
1. FRCP 8 (a) Claim for Relief
A pleading that states a claim for relief must contain
1. A short and plain statement of the grounds for the court’s jurisdiction. (P’s lawyer must comply)
2. A short and plain statement of the claim showing that the pleader is entitled to relief, and
3. A demand for the relief sought, which may include relief in the alternative or different types of relief. (very hard for Ds to win on this b/c a competent atty will get past FRCP 8 (a) everytime.)
Failing to Satisfy FRCP 8 (a)
FRCP 8 (a) is the only provision regarding pleading requirements, but D’s still seek heightened pleading requirements in actions like civil rights, complex litigation and anti-trust suits.
The purpose of the pleadings in the Fed. Ct. system is:
1. Give the D notice of what the P is complaining about
2. Pleadings are designed to give an outline for the court that will guide the development of case.
3. Will help determine the merits of the case (ie, to dismiss) but this is rare.
P’s burden of Pleading and Production
In the complaint, P must PLEAD, or allege, all elements of each cause of action.
At trial, P must produce evidence to prove each element of each cause of action.
Ex: Cause of action for defamation; P must plead (in complaint) and prove (at trial) (1) slanderous stmt was made and (2) published (i.e. disseminated), and (3) P was injured by it.
2. DEFENSES
If P’s atty fails to satisfy FRCP 8(a)—D’s atty can file a 12 (b) (6)
FRCP 12 (b) (6)—Motion to dismiss– rule as a defense that goes to the “merits” of complaint.
Every defense to a claim for relief in any pleading must be asserted in the responsive pleading if one is required. But a party may assert the following defenses by motion:
(1) Lack of SMJ
(2) Lack of PJ
(3) Improper Venue
(4) Insufficient Process
(5) Insufficient Service of process
(6) failure to state a claim upon which relief may be granted.
(7) Failure to join a party under Rule 19.
When D files a 12 (b) (6) motion s/he is arguing that even if the P’s complaints are true, they do not claim a legally cognizable claim—( a claim upon which relief can be granted). (doesn’t happen very often)
a. WAIVABLE AFFIRMATIVE DEFENSES Under Rule 12 (h) (1)
Dismissing under these defenses doesn’t go to the merits of the case.
a. FRCP 12 b (2) Lack of PJ
b. FRCP 12 b (3) Improper Venue
c. FRCP 12 b (4) Insufficient process
d. FRCP 12 b (5) insufficient service of process
CASES
Dioguardi (517) (this complaint pushes the envelope in terms of what exactly the D needs to know what to defend against.)
The Fed ct. has a lax pleading standard so it can’t be tossed out at this stage.
Conley (520) (the Bedrock case on FRCP 8(a) for 50 yrs.
R: a complaint should not be dismissed for failing to state a claim unless it appears beyond a doubt that the P can prove no set of facts in support of his claim.
b/c of liberal discovery and pre-trial rules the FRCP only requires a “short + plain” stmt of claim.
Swierkiewicz (522)
SCOTUS: the complaint gave the D “fair notice” of the basis of P’s claim (claim + grounds on which they rest). P is not required to meet evidentiary burden on pleading – that is what pretrial and discovery is for.
To prevent misuse of courts: FRCP 56 Summary Judgment or D can move for a more definitive stmt of pleading under Rule 12.
Bell Atlantic—brought about “Plausibility” stnd. (distinction btwn “conceivable” stnd of Conley.)
The court isn’t requiring heightened facts, but only facts that are specific enough to “state a claim to relief that is plausible on its face.”
Public Policy Reasons: discovery is expensive + these types of cases forces D’s to settle.
to a strong inference of scienter—not any individual allegation. (This is a heightened pleading stnd that gets closer to a summary judgment).
Week 2
Responding to the complaint
Option # 1: 12 (a) give D 20 days to answer from date of service or if being waived—FRCP 4 (d)w/I 60 days or 90 days if out of country.
Option # 2: If D has preliminary objections—can avoid answering immediately by filing a motion to dismiss complaint under FRCP 12 (b).
Filing a pre-answer motion is made at outset.
FRCp 12 (b) is an alternative to answering complain. D who moves to dismiss under 12 (b) need not answer the complaint until the motion is decided . If the D wins the 12 b (6) complaint the conflict is over. (good measure from a D stndpt)
PLEADINGS AND MOTIONS TO DISMISS
F.R.C.P. 12 (b)(6) – Motion to Dismiss
12(b)(1) – lack of subject matter jurisdiction
12(b)(2) – lack of personal jurisdiction
12(b)(3) – improper venue
12(b)(4) – insufficient process
12(b)(5) – insufficient service of process
12(b)(6) – failure to state a claim upon which relief can be granted
F.R.C.P. 12 (b)(6) – Motion to Dismiss
[T]he following defenses may at the option of the pleader be made by motion:. . .
(6) failure to state a claim upon which relief may be granted . . . .
When a defendant files a 12(b)(6) motion, s/he is arguing that, even if the allegations in the plaintiff’s complaint are true, they do not state a legally cognizable claim (a “claim upon which relief may be granted”)
When will a court grant a motion to dismiss under Rule 12 (b) (6)?
P has not alleged a valid cause of action (granted with prejudice)
P’s complaint reveals an absolute defense (granted w prejudice)
P has failed to plead all the elements of his claim (typically granted w/out prejudice and leave to amend)
