Pleading (United States)
Encyclopedia
Pleading in United States Federal courts is governed by the Federal Rules of Civil Procedure
.
According to Rule 7, only these pleadings are allowed:
Any other document that requests a court order is referred to as a motion
.
today. In 1938, the Federal Rules of Civil Procedure
were adopted. One goal of these rules was to relax the strict rules of code pleading.
The focus of the cause of action
was shifted to discovery
(another goal of the FRCP). Under the Federal Rules, a plaintiff's
complaint merely needs to contain a short and plain statement of their cause of action. All additional information in regards to the cause of action are handled through discovery. The idea is that a plaintiff and their attorney
who have a reasonable but not perfect case can file a complaint first, put the other side on notice
of the lawsuit
, and then strengthen their case by compelling the defendant
to produce evidence
during the discovery phase.
The FRCP does not entirely eliminate code pleading. The FRCP still requires that certain pleadings state facts with particularity. An example is Federal Rule 9(b) which states that "in alleging fraud
or mistake, a party must state with particularity the circumstances constituting fraud or mistake." This is considered a special pleading rule. The purpose of this rule is to help prevent a person from abusing the judicial process to defame another without spelling out the specific circumstances surrounding the alleged fraud. Additional special pleading rules are set out in Rule 9 of the Federal Rules of Civil Procedure
.
The leniency of the modern notice pleading system sometimes resulted in poorly-drafted complaint
s with vaguely phrased, incoherent and conclusory allegation
s. The Supreme Court
eventually responded in 2007 with a decision in Bell Atlantic Corp. v. Twombly
, and again in 2009 with a decision in Ashcroft v. Iqbal
, which together imposed new standards for specificity and "plausibility" in pleadings.
Iqbal reaffirmed and broadened Twomblys ruling that a court need not accept a "legal conclusion couched as a factual allegation" or "naked assertions devoid of further factual enhancement." In Twombly and Iqbal, the U.S. Supreme Court sought to clarify the deceptively simple mandate of Federal Rules of Civil Procedures 8(a)(2), which states that a "pleading that states a claim for relief must contain...a short and plain statement of the claim showing that the pleader is entitle to relief[.]"
The Court interpreted Rule 8(a)(2) in Twombly to mean that a complaint must contain sufficient factual allegations to allow a district court
to find that the claim is plausible. The Twombly court criticized the modern notice pleading standard derived from the landmark 1957 Conley v. Gibson
decision, which had ruled that a complaint should not be dismissed at the pleading stage, "unless it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief."
It is still not clear whether Iqbal will reduce federal court caseloads by allowing frivolous or weak lawsuits to be thrown out at the pleading stage, prior to the commencement of potentially expensive discovery. The Twombly and Iqbal decisions have the potential of denying plaintiffs with meritorious claims their day in court by raising insurmountable hurdles at the pleading stage.
Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure govern civil procedure in United States district courts. The FRCP are promulgated by the United States Supreme Court pursuant to the Rules Enabling Act, and then the United States Congress has 7 months to veto the rules promulgated or they become part of the...
.
According to Rule 7, only these pleadings are allowed:
- a complaintComplaintIn legal terminology, a complaint is a formal legal document that sets out the facts and legal reasons that the filing party or parties In legal terminology, a complaint is a formal legal document that sets out the facts and legal reasons (see: cause of action) that the filing party or parties In...
; - an answerAnswerGenerally, an answer is a reply to a question or is a solution, a retaliation, or a response that is relevant to the said question.In law, an answer was originally a solemn assertion in opposition to some one or something, and thus generally any counter-statement or defense, a reply to a question...
to a complaint; - an answer to a counterclaimCounterclaimIn civil procedure, a party's claim is a counterclaim if the defending party has previously made a claim against the claiming party.Examples of counterclaims include:...
designated as a counterclaim; - an answer to a crossclaim;
- a third-party complaint;
- an answer to a third-party complaint; and
- if the court orders one, a reply to an answer.
Any other document that requests a court order is referred to as a motion
Motion (legal)
In law, a motion is a procedural device to bring a limited, contested issue before a court for decision. A motion may be thought of as a request to the judge to make a decision about the case. Motions may be made at any point in administrative, criminal or civil proceedings, although that right is...
.
Notice pleading
Notice pleading is the dominant form of pleading used in the United StatesUnited States
The United States of America is a federal constitutional republic comprising fifty states and a federal district...
today. In 1938, the Federal Rules of Civil Procedure
Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure govern civil procedure in United States district courts. The FRCP are promulgated by the United States Supreme Court pursuant to the Rules Enabling Act, and then the United States Congress has 7 months to veto the rules promulgated or they become part of the...
were adopted. One goal of these rules was to relax the strict rules of code pleading.
The focus of the cause of action
Cause of action
In the law, a cause of action is a set of facts sufficient to justify a right to sue to obtain money, property, or the enforcement of a right against another party. The term also refers to the legal theory upon which a plaintiff brings suit...
was shifted to discovery
Discovery (law)
In U.S.law, discovery is the pre-trial phase in a lawsuit in which each party, through the law of civil procedure, can obtain evidence from the opposing party by means of discovery devices including requests for answers to interrogatories, requests for production of documents, requests for...
(another goal of the FRCP). Under the Federal Rules, a plaintiff's
Plaintiff
A plaintiff , also known as a claimant or complainant, is the term used in some jurisdictions for the party who initiates a lawsuit before a court...
complaint merely needs to contain a short and plain statement of their cause of action. All additional information in regards to the cause of action are handled through discovery. The idea is that a plaintiff and their attorney
Attorney at law
An attorney at law in the United States is a practitioner in a court of law who is legally qualified to prosecute and defend actions in such court on the retainer of clients. Alternative terms include counselor and lawyer...
who have a reasonable but not perfect case can file a complaint first, put the other side on notice
Notice
Notice is the legal concept in which a party is made aware of a legal process affecting their rights, obligations or duties. There are several types of notice: public notice , actual notice, constructive notice, and implied notice....
of the lawsuit
Lawsuit
A lawsuit or "suit in law" is a civil action brought in a court of law in which a plaintiff, a party who claims to have incurred loss as a result of a defendant's actions, demands a legal or equitable remedy. The defendant is required to respond to the plaintiff's complaint...
, and then strengthen their case by compelling the defendant
Defendant
A defendant or defender is any party who is required to answer the complaint of a plaintiff or pursuer in a civil lawsuit before a court, or any party who has been formally charged or accused of violating a criminal statute...
to produce evidence
Evidence
Evidence in its broadest sense includes everything that is used to determine or demonstrate the truth of an assertion. Giving or procuring evidence is the process of using those things that are either presumed to be true, or were themselves proven via evidence, to demonstrate an assertion's truth...
during the discovery phase.
The FRCP does not entirely eliminate code pleading. The FRCP still requires that certain pleadings state facts with particularity. An example is Federal Rule 9(b) which states that "in alleging fraud
Fraud
In criminal law, a fraud is an intentional deception made for personal gain or to damage another individual; the related adjective is fraudulent. The specific legal definition varies by legal jurisdiction. Fraud is a crime, and also a civil law violation...
or mistake, a party must state with particularity the circumstances constituting fraud or mistake." This is considered a special pleading rule. The purpose of this rule is to help prevent a person from abusing the judicial process to defame another without spelling out the specific circumstances surrounding the alleged fraud. Additional special pleading rules are set out in Rule 9 of the Federal Rules of Civil Procedure
Federal Rules of Civil Procedure
The Federal Rules of Civil Procedure govern civil procedure in United States district courts. The FRCP are promulgated by the United States Supreme Court pursuant to the Rules Enabling Act, and then the United States Congress has 7 months to veto the rules promulgated or they become part of the...
.
The leniency of the modern notice pleading system sometimes resulted in poorly-drafted complaint
Complaint
In legal terminology, a complaint is a formal legal document that sets out the facts and legal reasons that the filing party or parties In legal terminology, a complaint is a formal legal document that sets out the facts and legal reasons (see: cause of action) that the filing party or parties In...
s with vaguely phrased, incoherent and conclusory allegation
Allegation
An allegation is a claim of a fact by a party in a pleading, which the party claims to be able to prove. Allegations remain assertions without proof, until they can be proved....
s. The Supreme Court
Supreme Court of the United States
The Supreme Court of the United States is the highest court in the United States. It has ultimate appellate jurisdiction over all state and federal courts, and original jurisdiction over a small range of cases...
eventually responded in 2007 with a decision in Bell Atlantic Corp. v. Twombly
Bell Atlantic Corp. v. Twombly
Bell Atlantic Corp. v. Twombly, , was a decision of the Supreme Court of the United States involving anti-trust law and civil procedure. Authored by Justice David Souter, it established that parallel conduct, absent evidence of agreement, is insufficient to sustain an anti-trust action under § 1...
, and again in 2009 with a decision in Ashcroft v. Iqbal
Ashcroft v. Iqbal
Ashcroft v. Iqbal, 556 U.S. 662, 129 S.Ct. 1937 , was a case in which the United States Supreme Court held that top government officials were not liable for the actions of their subordinates absent evidence that they ordered the allegedly discriminatory activity...
, which together imposed new standards for specificity and "plausibility" in pleadings.
Iqbal reaffirmed and broadened Twomblys ruling that a court need not accept a "legal conclusion couched as a factual allegation" or "naked assertions devoid of further factual enhancement." In Twombly and Iqbal, the U.S. Supreme Court sought to clarify the deceptively simple mandate of Federal Rules of Civil Procedures 8(a)(2), which states that a "pleading that states a claim for relief must contain...a short and plain statement of the claim showing that the pleader is entitle to relief[.]"
The Court interpreted Rule 8(a)(2) in Twombly to mean that a complaint must contain sufficient factual allegations to allow a district court
District court
District courts are a category of courts which exists in several nations. These include:-Australia:District Court is the name given to the intermediate court in most Australian States. They hear indictable criminal offences excluding treason, murder and, in some States, manslaughter...
to find that the claim is plausible. The Twombly court criticized the modern notice pleading standard derived from the landmark 1957 Conley v. Gibson
Conley v. Gibson
Conley v. Gibson, 355 U.S. 41 , was a case decided by the Supreme Court of the United States that provided a basis for a broad reading of the "short plain statement" requirement for pleading under Rule 8 of the Federal Rules of Civil Procedure....
decision, which had ruled that a complaint should not be dismissed at the pleading stage, "unless it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief."
It is still not clear whether Iqbal will reduce federal court caseloads by allowing frivolous or weak lawsuits to be thrown out at the pleading stage, prior to the commencement of potentially expensive discovery. The Twombly and Iqbal decisions have the potential of denying plaintiffs with meritorious claims their day in court by raising insurmountable hurdles at the pleading stage.