I. INTRODUCTION
A. Generally: Under Rule 7(a), pleadings are documents filed by the litigants, setting forth their claims and defenses:
1. Complaint: The P initiates suit by filing a complaint.
2. Answer (responsive pleading): The D can then file his own pleading, which is called an answer. The answer responds to the allegations in the complaint and may raise affirmative defenses.
3. Reply (responsive pleading): If the answer contains a counterclaim, the a reply is permitted. If the answer contains a cross-claim, then an answer is permitted.
B. Historical Overview of the Evolution of Pleadings
1. Common Law:
(a) Is now abandoned.
(b) Dominated by the writ system. Very inefficient.
2. Code:
(a) Used by California and New York
(b) The centerpiece of code pleading is it emphasis on the facts
(c) Specifically, the code complaint should contain a statement of facts constituting the cause of action, in ordinary and concise language, without repetition, and in such a manner as to enable a person of common understanding to know what is intended
3. Federal Rules (notice pleading):
(a) Require a less detailed allegation than code pleading.
(b) Used in the federal system and by most states.
(c) Limited pleading is buttressed by liberal discovery provisions, sanctions for abusive pleading, a retooled provision for summary judgment,
II. THE COMPLAINT: REQUIREMENTS
A. Elements of the complaint: Governed by Rule 8(a) which requires three things. A complaint lacking any of these three must be dismissed, although the P will be permitted to amend to correct a formal deficiency:
1. A “short and plain statement of the grounds upon which the court’s jurisdiction depends”
(a) Subject matter jurisdiction: It is essential that the P allege that the court hasSMJ. The exception in Rule 8(a)(1) for cases in which the court’s SMJ is already established will not apply to the general complaint, since it is the document that institutes the proceeding
(b) State may have stricter requirements: Some states require the P to allege facts supporting PJ, if the D is a nonresident, and for venue.
2. A “short and plain statement of the claim showing that the pleader is entitled to relief”
3. A “demand for judgment for the relief the pleader seeks”
(a) Demand does not limit recovery: Under Rule 54(c), the P is entitled to recover whatever relief he can prove at trial, even if that is more money than he asked for, and even if it is of a different type that he requested. This is not true in default judgment cases.
(b) Simple statement: Form 3 allows damages to be pleaded as a lump sum. Special damages need to pleaded with particularity. No actual dollar figure need be shown; the P can demand damages in an amount to be shown at trial.
(c) Diversity jurisdiction: There is nothing improper about alleging that the matter in controversy exceeds $75,000 for jurisdictional purposes on Form 2and making a demand in an amount to be shown at trial on Form 3.
(d) Equitable relief: A P can seek equitable relief, such as an injunction (Form 12), specific performance (Form 16), or declaratory judgment (Form 18). A jury trial is constitutionally guaranteed for legal claims (e.g., damages) but not for equitable claims.
B. Form of pleadings: Rule 10 governs the form of all pleadings in federal court:
1. Caption; Names of Parties: Under Rule 10(a), the caption of any pleading must state the name of the court, title of the case (by parties’ names) and the identity of the document itself. It also lists the file number (also case number or docket number), which the clerk assigns to each case when it is filed. Civil cases are preceded by the designation “CV.” The first number following that denomination in the file number indicated the year in which the case was filed.
2. Paragraphs; Separate Statements: Under Rule 10(b), the body of the pleading sets forth claims or defenses in numbered paragraphs. It is common for P to set forth separate counts for different claims.
3. Adoption by Reference: Rule 10(c) allows parties to adopt by reference allegations found elsewhere in the document and allows parties to attach to their pleading a copy of a written instrument.
C. Is the complaint legally sufficient?: P’s complaint must be legally sufficient. If on the face of the complaint the allegation could not support a judgment for the P, the case can be dismissed at the outset. Is there a barrier raised by substantive law?
1. Motion to dismiss for failure to state a claim: Rule 12(b)(6) allows for a motion to dismiss for the failure to state a claim or a general demurrer. The court looks only to the face of the complaint; it does not consider evidence that may support the allegations or sharpen the dispute between the parties. The courts asks: If the P proved everything he alleged in his complaint, would the law provide a remedy for him? The D need not attack the entire complaint; he can address one of several claims by the P.
2. Effect of dismissal: If the court sustains the motion, the case is dismissed. It is usually done so with leave to amend; P has another opportunity to draft a legally sufficient complaint. If the court enters final judgment for the D, the P can usually appeal and petition the appellate court to establish a right that will allow the P to state a claim.
3. When can a Rule 12(b)(6) motion be made?: Rule 12(h)(2) allows a D to file a general demurrer as a pre-answer motion, as a motion for judgment on the pleadings, or at trial on the merits. By raising substantive challenges to the sufficiency of the claim as his initial response, the D is spared the expense of preparing an answer and otherwise litigating.
4. Role of evidence: If the D wishes to dispute a fact in the P’s complaint, he cannot raise this issue through a general demurrer or Rule 12(b)(6) motion since those devices do not address actual evidence. The devices assess only the sufficiency of the allegations of the complaint. In this situation, D would file an answer denying P’s allegation. However, under modern practice, if a court looks to evidentiary materials in ruling on demurrer or a motion to dismiss, it simply converts the motion into one for summary judgment.
5. Summary judgment: If the D or P felt that the evidence would show no dispute as to the facts, either party could move for summary judgment under Rule 56. Summary judgment permits the court to go beyond the allegations of the pleadings and to assess evidence. The court makes a determination as to whether, on the evidenc
to the Federal Rules.
(a) Too specifically: A P who alleges facts too specifically could be guilty of “pleading the evidence,” for which the court would sustain D’s special demurrer
(b) Too generally: A P who alleges facts too generally could be guilty of “pleading conclusions of law,” for which the court would also sustain D’s special demurrer.
Example: A P suing in ejectment (to oust a D from possession of property) must plead and prove several issues, one of which is that his title to the disputed property is superior to that of the D. Suppose the P had purchased the property from D and could prove due execution of the contract, payment, and even that D had given his a deed to the property. Which, if any, of the following is a pleading of the “ultimate fact” of his superior title? (a) P alleges that he “has superior title to the property.” (b) P alleges that he is “entitled to possession of the property.” (c) P alleges that he “had paid for the property pursuant to contract and that the D had given his a deed to the property.” Today, it is probable that courts in code states would accept any of these allegations. There is old authority, however, that the P in situations (a) and (b) alleged improper conclusions of law. In (c), the one court held that P had pleaded too specifically, and thus was setting forth evidentiary facts instead of ultimate facts. The result was especially absurd because it reversed a judgment for the P after full trial. The court remanded the case to the trial court, where it permitted the P to amend his complaint to state the “ultimate facts” of his superior title. Then the case was to be retried!
2. Federal Rules pleading: Under Rule 8(a)(2), there is no pleading requirement of stating “facts sufficient to constitute a cause of action,” but only that there be “a short and plain statement of the claim showing that the pleader is entitled to relief.”
(a) Inartistic pleading: The Supreme Court ruled that a complaint should not be dismissed for failure to state a claim unless it appears beyond doubt that the P can prove no set of facts in support of his claim which would entitle him to relief. The object of procedure is to secure a determination on the merits rather than to penalize litigants because of procedural blunders. However, the function of the complaint still requires giving the D fair notice of what the P’s claim is and the grounds upon which it rests. Conley v. Gibson.
(b) “Pro se” appearances: A litigant may eschew the services of an attorney. Such a party is said to litigate “pro se” or “in propria persona.” Courts are more lenient with such parties than with parties represented by counsel.
