Prisoners Self Help Legal Clinic
PO Box 798 • Newark • New Jersey 07101
Website: http://pshlc.org

INSTRUCTIONS AND SAMPLE LETTER-BRIEF IN
OPPOSITION TO RULE 12(b)(6) MOTION TO DISMISS
FOR FAILURE TO STATE A CLAIM

	In pro se prisoner cases, defendants will often file a motion to dismiss for failure to state a claim. In cases filed in federal court under 42 U.S.C. § 1983 (civil rights actions), a motion to dismiss for failure to state a claim is filed under Federal Rule of Civil Procedure 12(b)(6). 
	Rule 12(b)(6) is a sub-part of F.R.C.P. 12(b), which states in general that all defenses should be put in the defendants' answer, but it also gives the defendants the option to raise some defenses by motion before an answer is filed. Therefore, defendants can, instead of answering right away, raise one or more Rule 12(b) defenses by motion, and only if the defendants lose that motion, will they have to file an answer to the complaint.
	One of the defenses Rule 12(b) allows to be raised by motion is the defense set out in Rule 12(b)(6), i.e.,  "failure to state a claim upon which relief can be granted. If the defendants win such a motion, the case will be dismissed. This means that the case will be over in the district court and you will have to appeal if you want to get your case reinstated.
What is a "Claim"?
	In order to defend against a motion to dismiss for failure to state a claim upon which relief can be granted, you first need to understand what a"claim" is under the Federal Rules of Civil Procedure.  A "claim for relief" is defined in Rule 8(a) as having three elements: 
		(1) "a short and plain statement of the grounds upon which the court's jurisdiction depends;
		(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..."
	What this means is that a complaint need not be long and complicated, but it must contain statements that support the federal court's jurisdiction (for example, that the case is brought to enforce constitutional rights under 42 U.S.C. § 1983), allegations of fact that support each claim that is being made, and a request for relief. The policy behind these rules is to simplify pleading and not to put up technical barriers to relief that a plaintiff needs and can get from the court.
	The most important part of Rule 8(a) for purposes of a Rule 12(b)(6) motion is the second part: "a short and plain statement of the claim." This means a short and plain statement of facts that make up the claim. For example, in a case in which you allege constitutionally inadequate medical care (as opposed to simple negligence or medical malpractice), you must put in statements that show: (1) what happened to you; (2) that you were injured and that the injury was serious; and (3) the mental state element required by the courts - that the defendant(s) acted with "deliberate indifference to serious medical needs." (Note: If you only state that the defendant doctor was "negligent," and not "deliberately indifferent," then your complaint will be dismissed because negligence is not enough to state a constitutional claim. See the PSHLC's pamphlet on MEDICAL CARE for the difference between a federal constitutional claim and a state tort action.) You must make sure to make specific allegations of fact: who did what, where and when. Avoid conclusions. For example, do not say things such as "the doctor violated my rights," or "the nurse gave bad medical care," without specifying what the doctor or nurse did or did not do. Also be sure to include how you were injured by what the defendant did. After putting in the factual allegations, you can then say something like, "these facts show unconstitutional medical care."
	If you have included in your complaint jurisdictional allegations, the facts of what the defendant(s) did, allegations of deliberate indifference or other necessary mental state, and a request for relief (monetary damages or injunctive relief), you have a claim. A Rule 12(b)(6) motion tests whether that claim is one "upon which relief can be granted."
Standards For Rule 12(b)(6) Motions
	Courts do not generally favor Rule 12(b)(6) motions to dismiss, because the policy of the federal rules is to allow cases to proceed if the plaintiff has any reasonable chance of obtaining

 relief. Therefore, the defendants are required to make a very strong showing before a complaint will be dismissed for failure to state a claim.
	A Rule 12(b)(6) motion argues that, based only on what is said in the complaint, the plaintiff could not possibly be entitled to relief. Courts do not determine whether the facts as stated by the plaintiff are true, but instead assume the truth of plaintiff's factual statements and decide whether you may have a claim that could lead to relief. 
As the U.S. Supreme Court has stated: "The issue is not whether a plaintiff will ultimately prevail but whether the claimant is entitled to offer evidence in support of the claims. Indeed it may appear on the face of the pleadings that a recovery is very remote and unlikely, but that is not the test." Scheuer v. Rhodes, 416 U.S. 232, 236 (1974). Rather, "a complaint should not be dismissed for failure to state a claim 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." Conley v. Gibson, 355 U.S. 41, 45-46 (1957).
	In a recent prison case, the Ninth Circuit held that its review in that case should be "even more searching than usual because the district court dismissed the prisoners' complaint without leave to amend. Dismissal without leave to amend is improper unless it is clear, upon de novo review, that the complaint could not be saved by any amendment." Schneider v. California DOC, 151 F.3d 1194, 1196 (9th Cir. 1998).
	These cases contains several important points you should use in defending against a Rule 12 (b)(6) motion.  First, a Rule 12(b)(6) motion should not include any additional factual material by defendants.  If the defendants do attempt to add facts, it is likely that the motion will be treated not as a Rule 12(b)(6) motion, but as a motion for summary judgment. 
	Second, this standard is very favorable to plaintiffs. Only if the plaintiff cannot conceivably make out a claim will the complaint be dismissed. For example, in the prison medical care case, the complaint can be dismissed at this stage only if the plaintiff has failed to claim deliberate indifference, or failed to set out facts that show that a serious medical need was not responded to. 
	Third, as the Schneider Court stated, courts are reluctant to dismiss "without leave to amend." The usual practice of courts is to allow plaintiffs whose complaints appear to be defective a chance to amend the complaint at least once. This is because the policy of the federal rules is to have cases decided on the basis of the substantive rights involved, not on technicalities. "Amendment should be refused only if it appears to a certainty that plaintiff cannot state a claim." Wright and Miller, Federal Practice and Procedure, vol 5A, § 1357. 
	Moreover, pleadings filed by pro se prisoners are "held to less stringent standards than formal pleadings drafted by lawyers..." Haines v. Kerner, 404 U.S. 519 (1972). This means that, in deciding a Rule 12(b)(6) motion against a pro se plaintiff, the court is supposed to look even more carefully to see whether any set of facts consistent with the complaint could be proven, and if so, to deny the Rule 12(b)(6) motion.
When a Rule 12(b)(6) Motion Becomes a Summary Judgment Motion
	Rule 12(b)(6) states that if, as part of the proceedings on a Rule 12(b)(6) motion, "matters outside the pleading are presented to and not excluded by the court, the motion shall be treated as one for summary judgment" governed by the standards and procedures of Rule 56, although the parties will  be given a chance to comply with Rule 56. Therefore, if the defendant includes factual material along with a Rule 12(b)(6) motion, you should think carefully about asking the court not to consider the new material. If you do not, or if the court decides over your objection to consider the material, then you have a summary judgment motion and not a failure to state a claim motion to deal with. In such a case, you should read the PSHLC's Sample Brief in Opposition to a Motion for Summary Judgment.
	You should also be careful not to inadvertently turn a Rule 12(b)(6) motion into a summary judgment motion by adding factual material yourself. At that point, you will have to have all the factual material necessary to prove your case.
Special Rules for Prison Cases
	In addition to the possibility that defendants may file a Rule 12(b)(6) motion, prisoner plaintiffs will also be faced with the Prison Litigation Reform Act (PLRA), which require federal district courts to review "as soon as practicable" a complaint filed by a prisoner seeking relief from actions of government agencies or employees, to identify "cognizable claims," and to dismiss any claim that is "frivolous, malicious, or fails to state a claim upon which relief can be granted..." 28 U.S.C. § 1915A(a). This means that the judge can dismiss your case for failure to state a claim even before the defendant files a motion to dismiss. In some cases, before deciding to dismiss under the PLRA, the court will identify deficiencies in the complaint and provide the prisoner plaintiff an opportunity to amend. If the court suggests that you amend, take this suggestion very seriously! If you do not follow the court's suggestion, it will probably dismiss your claim and you may not be able to complain about this on appeal because you failed to take advantage of the opportunity to amend. Moreover, under the PLRA, a dismissal is likely to result in a "strike" against you and after "three strikes," you will be prevented from filing lawsuits in forma pauperis.
Practical Tips
	The best way to avoid dismissal either under the PLRA or a Rule 12(b)(6) motion is through prevention: Plead your claim well at the beginning. Read and follow Federal Rule of Civil Procedure 8(a), which tells you what a claim is. Learn the elements of the particular claim(s) you are trying to raise in your complaint, i.e., know the basic things you have to show if you are able to get relief. If you cannot meet those elements, don't bother to make the claim as it will in all likelihood cost you the filing fees, as well as be a "strike" against you in future litigation. 
	If the defendants file a Rule 12(b)(6) motion, cite the law contained in these instructions as well as in the attached Sample Brief, showing how the court has to give you every reasonable chance to state a valid claim. Explain how your complaint covers the elements of the claim you are trying to make. Ask for permission to amend if the court thinks you have not stated a claim. If you are given the opportunity to amend, go back and make sure that you have included all the elements and re-think your claim. Read the defendants' brief on the motion to dismiss to see what they claimed was lacking. It is likely that you will be able in good faith to state a stronger case in your amended complaint.