Civ Pro - 1 Modern Pleading PDF
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This document provides a historical overview of pleadings in federal courts. It discusses the evolution of pleading practices, including the old English writ system and the New York Field Code. It also details modern pleading rules and their purposes. The document focuses on the specifics of civil procedures in courts and provides insight into several court cases..
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I. Modern Pleading A.Historical Background of Pleading in Federal Courts Pleading: docs that the parties give to a court tobegin a case (complaint and answers Old English writ system (common law):elaborate andheavily formal system of pleading in an establish...
I. Modern Pleading A.Historical Background of Pleading in Federal Courts Pleading: docs that the parties give to a court tobegin a case (complaint and answers Old English writ system (common law):elaborate andheavily formal system of pleading in an establish for, or writ, that required pleadings to plead VERY specific things and to fit the claim into a pre-existing form of action, including choosing to bring action either in law courts or equity courts New York Field Codewas criticized for requiring toomuch factual detail that was “code/fact pleading;” barred entry for a lot of people Federal rulesresultfrom the process underRulesEnabling Act of 1938 ○ Supreme Court proposes rules for courts, and Congress almost always enacts it ○ Limitation was28 U.S.C. §2072: “Rules shall not abridge,enlarge or modify any substantive right” General rules regarding civil procedure in the courts ○ Rule 1:Gives PURPOSE for rules that govern civilprocedure “Secure just, speedy, and inexpensive determination of every action and proceeding” ○ Rule 7(a):Talks about pleadings (Complaint and answers) ○ Rule 3: a civil action is commenced by filing a complaintwith the court Rule 8(a)(2): “A pleading that states a claim forrelief must contain: … (2)a short and plainstatement of the claim showing that the pleaderis entitled to relief” ○ “Claim” = cause of action (legally recognized wrong) ○ They gaveForm 11(OLD) as LOW BAR outline that wasjust conclusions Jurisdiction, negligence, injury, relief ○ Rule 8(e):“Pleadings must be construed so as to dojustice.” ○ Purpose of complaint: Begin method for relief Give court info about the suit and ask court to take power Notify defendant 2 Rule 12(b)(6)used by defendant to dismiss a complaint:“A party may assert following defenses by motion… [F]ailure to state a claim upon which relief can be granted” Interp of 12(b)(6) for 50 years until around 2007 was that you rarely dismiss anything at the beginning of the case UNTILTwombly(past dismissedtoo much, didn’t want that) Full Cases Dioguardi v. Durning(2nd Circuit1944) Facts: Man wanted to import tonic, it was collectedat customs, collector sold it at auction to another for less money and lost bottles, so man wanted relief; Issue:Whether plaintiff sufficiently stated claimto avoid motion to dismiss under 12(b)(6)? Holding:Yes Rules: ○ Pleading rule does not require facts sufficient to constitute a cause of action (don’t need fact/code pleading) ○ Pleading rule only requires a short and plain statement ○ “Giving the plaintiff the benefit reasonable intendments in his allegations” (As court, make reasonable inferences FOR plaintiff) Example: if A is owner of Lot 1, she can’t trespass on 1 ○ “Defendant must be taken as admitting” allegations (As court, I assume it is true) Notes:Important b/c Judge Clark, a drafter of fedrules, wrote opinion Conley v. Gibson(S COTUS1957) Facts:Black employees lost jobs and Union did notprotect them as whites took their spots; Issues: Whether plaintiff sufficiently stated claimto avoid motion to dismiss under 12(b)(6)? Holding/Reasoning:Yes Rules: ○ Notice Pleading:claimant is not required to set outdetailed facts, only short and plain statement (form 11) 3 ○ Strict standard to dismiss:“A complaint should not be dismissed for failure to state a claimunless it appears beyond doubt thatthe plaintiff can prove no set of facts” to support claim This is possible because other procedures prevent trivial claims going to trial like summary judgment ○ True answer will come later:“Purpose of pleadingis to faciliate a proper decision on the merits” B. Pleading under Twombly and Iqbal New standard to dismiss underTwombly ○ Is claim “plausible”; needs to be more than “possible” but not necessarily “probable” ○ Factual matter is “taken as true” but legal conclusions are not accepted as true (Can’t say X was neg.) Discounts Form 11 Negligence is X’ed out until PROVEN I.e. for conspiracy/agreement, would need to show a written agreement or facts showing a tacit agreement is plausible ○ Need more than labels and conclusions and recitation of elements of cause of action ○ Construe allegations in plaintiff’s favor ○ Heightened pleading not required nor detailed fact allegations not required, but more than speculative Two-step analysis afterTwombly ○ 1) do not accept as true any conclusory legal allegations ○ 2) are remaining allegations plausible? Iqbalconfirmed Twombly standard applied to all cases,not just antitrust ○ Non-conclusory allegations accepted as true (Already known) 4 ○ Claim is plausible if “the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged” (Already known) ○ Court must “Draw on its judicial experience and common sense”(NEW!) What happened after Twombly and Iqbal? ○ Longer complaints, more code/fact pleading ○ Motion to dismiss is used more in specific cases like employment discrimination Full Cases Twombly v. Bell Atlantic Corporation(S COTUS2007): Created new standard FactsAllegations that ILECs conspired to restrainttrade which inhibited growth of upstart CLECs which violated Sherman Anti Trust Act; Issue: Whether plaintiff sufficiently stated claimto avoid motion to dismiss under 12(b)(6)? Holding:No Rules:New standard for 12(b)(6) above C. Special Pleading under Rule 9(b) Rule 9(b):Outlines pleading for fraud/mistake cases;2 different standards ○ Heightened part:In alleging fraud or mistake, a partymust state with particularity the circumstances constituting fraud or mistake Created because allegations are serious and harmful ○ Under Rule 8(a)(2) standard:Malice, intent, knowledge,and other conditions of a person’s mind may be alleged generally AfterTwombly, however, difference in the 2 standardsdidn’t seem much Full Cases Indiana v. Kroger(Ind. CoA 2018): example of notsatisfying Rule 9(b) ○ Facts/Issues: Kroger alleged not to collect 7% salestax according to man who bought various items; Whether plaintiff sufficiently stated claim to avoid motion to dismiss under 9(b)? ○ Holding:No 5 ○ Rules:Heightened part needs specificity likewho, what, when(ACTUAL DATES), where, how D.Responding to a Complaint; Answering, Denials, and Affirmative Defenses Ways to respond to a complaint: ○ 1) Make a motion i.e. 12(b)(6) ○ 2) Answer the complaint including by asserting defenses, admissions, and denials Purpose is to give notice what will be disputed ○ 3) Assert affirmative defenses in answers: An affirmative defense precludes the party’s liability i.e. statute of limitations or res judicata… if true, then absolves liability Rule 8(c)(1): lists affirmative defenses Requirements for Answering a Complaint (Rule 8) Rule 8(b)(1): In response to a pleading, a party mustA) state in short and plain terms its defense to each claim asserted against it; AND B) Admit or deny the allegations Rule 8(b)(3): A party that intends in good faith todeny all the allegations of a pleading - including the jurisdictional grounds - may do so by general denial. A party that does not intend to deny all the allegations must either specifically deny designated allegationsor generally deny all except those specifically admitted ○ Need to specifically say what you’re NOT denying Rule 8(b)(4):a party that intends in good faith to denyonly partof an allegation must admit the part that is true and deny that is rest ○ Can’t just deny whole thing if you admit something. Need to be specific Rule 8(b)(5): a party thatlacks knowledge or informationsufficient to form a belief about the truth of an allegationmust so state, andthe statement has theeffect of a denial Rule 8(b)(6):an allegation-other than one relatingto the amount of damages-is admitted if a responsive pleading is required and the allegation is not denied 6 ○ Need to answer, otherwise its admitted Full Cases Zielinski v. Philadelphia Piers(E.D. PA 1956): goodexample of needing to be specific as per Rule 8 Facts/Issues: Zielinski was injured by Sandy Johnson,who was employed, operating a forklift; Sandy thought she was employed by Phil Pier, but it was actually Carload contractors; Phil Pier denied generally paragraph 5 Holding/Reasoning:It would be unjust if the plaintiffdidn’t have the opportunity to sue (S/L) because Phil Piers incorrectly answered the complaint, so they are now named the defendant and Johnson named as their agent; Defendants should have specifically denied the allegation that they owned the forklift so that the plaintiff would’ve been able to know that they sued the wrong defendant (8(b)(6)) Notes:After this, there was change to rule called“relation back” which allowed them to bring in the CORRECT defendants More Motions at the Beginning of a Case Rule 12(c) Judgment on the pleadings:Uses thesamestandard as motion to dismiss with Rule 12(b)(6)BUTcomes after complaint AND answerare final Rule 12(d) Conversion to Motion for Summary Judgment:if, on a motion under Rule 12(b)(6) or 12(c), matters outside the pleadings are presented to and not excluded by the court, the motion must be treated as one for summary judgment under rule 56. All parties must be given a reasonable opportunity to present all the material that is pertinent to the motion ○ Essentially if someone moves for dismissal and the plaintiff responds to that motion by bringing in something other than complaint, it can go to summary judgment ○ Matters because: 1) Summary judgment is usually after discovery, so if it hasn’t happened, you do NOT want it 7 2) Motion for summary judgment is easier to grant than a motion to dismiss because courts want access earlier on ○ NOT MANDATORY, but uses discretion Full Case: ○ Rubert-Torres v. Hospital San Pablo(CoA2000): Exampleof Rule 12(d) Facts: D asks for more detailed factual allegations…P doesn’t give it to them so they do a motion for summary judgment on the pleadings under Rule 12(c); Rubert-Torres responds to the motion with an expert witness report to give more facts and weight to their argument to avoid dismissal Issue:Whether Rule 12(d) should be applied? Holding/Reasoning:“must” was not mandatory, but discretionary Rule 12(e) motion for more definitive statement:Aparty may move for a more definitive statement of a pleading to which a responsive pleading is allowed but which is so vague or ambiguous that the party cannot reasonably prepare a response Rule 12(f) motion to strike:The court may strikefrom a pleading an insufficient defense or any redundant, immaterial, impertinent, or scandalous matter ○ Disfavored by courts because it usually is used to delay proceedings E. Amending Pleadings Purpose of amending pleadings: We want cases to be based on merits, not technicalities; fairly liberal to ensure this Rules for amending pleadings ○ Rule 15(a)(1) amending as a matter of a course: Plaintiff can file an amended complaintonceas amatter of course even after a defendant has served an answer or a motion(if w/in timing req.) Maybe a reason you would want to amend, like add a witness coming forward, to avoid motion to dismiss underTwombly Defendant can file an amended answeronceas a matterof course(if w/in timing req.) 8 ○ Rule 15(a)(2) Permissive Amendments:Before trial, other amendments are permitted with opposing party’s written consent or the court’s permission. Courts should give this freely whenjusticerequires Rule 15(c)(1) Relation Back:An amendment relatesback to the date of the original pleading when: ○ A) Law provides the applicable statute of limitations allows relation back; Rare because ONLY used when it is more generous than (B) and (C) ○ B) it asserts a claim or defense that arose out of to the same conduct, transaction, or occurrence of original pleading; or No prejudice, so no problem because its nothing new ○ C) it changes the party or the naming of the party against whom a claim is asserted under conditions: (i) New party gets notice of lawsuit soon enough so not to be disadvantaged; AND (ii) party knew or should have known that they should have been part of the lawsuit but for a mistake of the identity Full Cases Krupski v. Costa Croceria S.P.A.(S COTUS2010): Example of liberal amendment rules w/ relation back and clarification of Rule 15(c)(1) ○ Facts: Krupski tripped and hurt herself on the cruiseship Costa Magica; 3 weeks before statute of limitations, Krupski filed negligence action against Costa Cruise; Three times over months AFTER the SoL, Costa Cruise mentioned existence of Costa Crociere in various ways ○ Issue:Whether there is relation back, or if it shouldbe dismissed? ○ Holding/Reasoning:Yes there is relation back becauserole wasn’t known ○ Rules:In 15(c)(1)(C)(ii): “party”makes us look at thedefendant’sknowledgethat it would have been named 9 Saysthat knowledge of existence is NOT“mistake”by plaintiff… key inquiry is if theyKNEW OR DID NOT KNOW roleof thedefendant Consistent with policy reasons for the rule, in 1966 individuals filed timely lawsuits w/ denial of benefits but would state wrong name and SoL would expire so this fixed F. Rule 11 and Section 1927 Sanctions Rule 11 and §1927 sanctions are to deter meritless lawsuits. §1927 ALSO has the purpose of compensating also Relationship between Rule 11 and §1927: ○ §1927 can still apply even if Rule 11 doesn't. The big difference has different sets of language (one has safe harbor, one doesn’t) so that means you don’t have to interpret them as the same. Rule 11 Applies to lawyers AND non-lawyers; limited to only sanctions that will deter conduct (not meant to punish) Has a safe harbor provision that permits withdrawal of papers without sanctions Party can move for sanctions for violations of Rule 11, which areDISCRETIONARY Rule 11(a)requires attorneys tosignor parties (ifunrepresented) tosignpleadings, motions, and other papers By doing so,Rule 11(b)signer certifies that to thebest of person’s knowledge, info, belief, that: ○ (i) It is not presented for an improper purpose (i.e. doing a motion just to make the other time spend time/money) ○ (ii) Claims/defenses/other legal contentions are warranted by existing law or by a nonfrivolous argument for changing existing law, or for establishing new law (new claims will be made, ○ (iii) Factual contentions have support or will have support after investigation/discovery, AND 10 ○ (iv) Denials of factual contentions are warranted or reasonably based on belief or lack of information ○ If rule 11 has been violated,Rule 11(c)(1)courtsmayimpose sanctions (not mandated like older Rule 11 was) Rule 11(c)(2)Motion for sanctionsmust be made inseparate motion ○ *Safe harbor provision: should not be filed if challenged item is withdrawn/corrected within 21 days after motion served to opposing counsel ○ *prevailing party can receive reasonable expenses, including attorney’s fees* Rule 11(c)(3)On its own, court may order party toshow cause why conduct does not violate Rule 11(b) Rule 11(c)(4)sanctionslimitedto what will deterthe repetition of the conduct or comparable conduct ○ *Nonmonetary directives, could be like classes or disciplinary training ○ *Penalty paid to court ○ *reasonable attorneys’ fee and expenses to movantifimposed on motion and necessary for effective deterrance Rule 11(c)(5)when a court cannot order monetary sanctions Rule 11(c)(6)order imposing sanction must describethe conduct and basis for sanction Rule 11(d)rule doesn’t apply to discovery History: ○ Old rule required that lawyer had “good grounds” to support contentions in pleadings (only in pleadings) ○ 1983 amendment to rule MANDATED judges to impose sanctions for violations, not just discretion Compensatory goal, punishment goal, and deterrence goal You could get attorney fees paid if you could show someone shouldn’t have brought the case (Rule 11 made into “fee-shifting” device) Many judges vigorously upheld rule 11 including payment of large fees 11 Law review article asserted compensatory purpose was overemphasized and fee shift was too strong Advisory committee met and agreed plaintiffs were overburdened, rule 11 was a problem for novel claims, problematic for people who needed discovery, and judges used monetary sanctions too much ○ 1993 another amendment (today’s rule), sanctions are discretionary, discovery was removed by the rule (Separate), and created safe harbor provision to allow parties to correct violations Much more focused on DETERRENCE (doesn’t punish and doesn’t immediately rise to attorney’s fees) 28 U.S.C. §1927 28 U.S.C§1927provides that attorneys or others permittedto conduct cases in any court who multiplies the proceedings in any case unreasonably and vexatiously may be liable for excess costs, expenses, and attorney fees ○ unclear if it also applies to unrepresented parties Full Case Example Rodriguez v Parsons(2010) gives good example of Rule11 and §1927 at play ○ Facts: ○ Issue:Whether Rule 11 or §1297 is applicable? ○ Holding/Reasoning: ○ Rules: 12
