Loi Nguyen v. Durham School Services, L.P.
Loi Nguyen v. Durham School Services, L.P.
Opinion of the Court
In Bell Atlantic Corp. v. Twombly ,
This case presents a resulting question-one that's divided federal district courts for the better part of a decade. Should the stricter plausibility requirement set forth in Twiqbal apply equally to pleading affirmative defenses in an answer? The short answer is plainly "no." The text of Federal Rule of Civil Procedure 8, the principles underlying the Supreme Court's decisions in Twiqbal , and the practicalities of pretrial litigation all weigh against extending the plausibility requirement to affirmative defenses. This Court now concludes, as settled precedent suggests, that affirmative defenses may be stated in "general terms" and need only provide the plaintiff with "fair notice" of their nature. See Kohler v. Flava Enterprises, Inc. ,
For the following reasons, the Court GRANTS IN PART and DENIES IN PART the Plaintiff Loi Nguyen's ("Nguyen") pending motion to strike WITH LEAVE TO AMEND. Defendant Durham School Services, L.P. ("DSS") may file an amended answer within 21 days of this Order.
1. PRELIMINARY MATTERS
Before reviewing Nguyen's motion, the Court addresses two preliminary issues raised by the parties' briefing. DSS argues Nguyen's motion is untimely under the Federal Rules, and that Nguyen failed to comply with the meet and confer requirement of Local Rule 7-3. (Opp'n, Dkt. No. 15 at 2-3.) Moving forward, the Court expects the parties to comply with the *1058spirit and letter of the Federal Rules and this Court's Local Rules. For now, in the interest of justice, the Court reviews the pending motion on the merits.
2. BRIEF BACKGROUND
A brief review of the facts is helpful. Nguyen worked as a maintenance mechanic for DSS. (Compl., Dkt. No. 1-1 at ¶¶ 1, 15, 20.) Nguyen alleges DSS engaged in a variety of misconduct. Specifically, Nguyen claims DSS discriminated against Nguyen because of his age, retaliated against Nguyen because of his union involvement, and deprived Nguyen of legally mandated meal and rest breaks. (Id. at ¶¶ 22, 26, 28, 30, 31.) Nguyen was eventually terminated by DSS. (Id. at ¶ 28.) Nguyen then brought this case asserting nine different state law claims concerning Nguyen's employment with DSS. (See Compl. at 17.)
Nguyen chose to file this case involving state law claims in Orange County state court, but DSS removed it to this Court under 28 U.S.C. Sections 1332(a)(1) and 1441(a) - (b). (Notice of Removal, Dkt. No. 1 at 1.) After DSS removed, DSS filed an answer to Nguyen's complaint stating twenty-one affirmative defenses. (Answer, Dkt. No. 12 at 12-17.) DSS also included an "other additional defenses" allegation in its answer purporting to preserve DSS's "right to allege other additional defenses as they may become known during discovery or otherwise". (Id. at 17.)
A few weeks later, Nguyen moved to strike eleven of DSS's twenty-one defenses, and DSS's "other additional defenses" allegation. (Mot., Dkt. No. 14 at 2.) Nguyen argues that the affirmative defenses at issue are "not affirmative defenses at all", are insufficiently pled, and are "immaterial or impertinent." (Id. at 2-3.) DSS responds that its affirmative defenses are appropriate and adequately alleged, and further argues that, in any event, Nguyen isn't prejudiced by DSS's answer. (Opp'n at 4-5.) The Court questions whether asserting twenty-one affirmative defenses and attacking fifteen of them proportionally pursues justice in this case. Cf. Fed. R. Civ. P. 26(b). But the Court plows ahead with these procedural perturbations.
3. LEGAL STANDARD
"[T]he court may order stricken from any pleading any insufficient defense or any redundant, immaterial, impertinent, or scandalous matter." Fed. R. Civ. P. 12(f). At issue here, of course, are the pleading requirements of Rule 8. A motion to strike under Rule 12(f) is designed to "avoid the expenditure of time and money that must arise from litigating spurious issues by dispensing with those issues prior to trial." Whittlestone, Inc. v. Handi-Craft Co. ,
4. ANALYSIS
Since Nguyen argues DSS's affirmative defenses are, among other things, insufficiently pled, the Court must first determine what pleading standard under Rule 8 governs affirmative defenses. To set the stage, the Court considers how other courts have answered this question before and after Twiqbal.
4.1 Affirmative Defenses Before and After Twiqbal
Before Twiqbal , courts generally relied on a "fair notice" pleading standard. See Conley ,
Cue Twombly , which rewrote the fair notice standard--at least when pleading claims for relief. When Twombly retired Conley , the Court declared that a claim must be supported by "enough facts to state a claim to relief that is plausible on its face." Twombly ,
But after Twiqbal , the question remained whether "fair notice" still governed affirmative defenses. To this day, this question remains mostly unanswered. Indeed, "[n]either the United States Supreme Court nor the Ninth Circuit has determined what standard should be used to determine the sufficiency of a defendant's affirmative defenses, and accordingly, there has been significant disagreement amongst federal district courts within this Circuit." Export Development Canada v. ESE Electronics Inc. , No. CV 16-02967 BRO (RAOx),
Federal courts in this Circuit that still apply the fair notice standard "have done so based on the Ninth Circuit's continued references to and use of this standard, even after the Supreme Court's decision in Twombly and Iqbal . "
*1060Export Development Canada ,
With this backdrop in mind, the Court now turns to the pending pleading issue: whether Twiqbal applies to affirmative defenses.
4.2 Whether Twiqbal Applies to Affirmative Defenses
The Court now concludes that the strict pleading standard of Twiqbal should not apply to affirmative defenses and instead applies the less-demanding "fair notice" standard used by the Ninth Circuit in Kohler . See Kohler ,
4.2.1 Textual Distinctions
Textual distinctions in Federal Rule of Civil Procedure 8 suggest different pleading standards should apply to pleading claims for relief, on the one hand, and pleading affirmative defenses, on the other. Under Rule 8(a), the party stating a claim for relief-usually the plaintiff-must provide "a short and plain statement of the claim showing that the pleader is entitled to relief". Fed. R. Civ. P. 8(a)(2) (emphasis added). But Rules 8(b) and 8(c) require less of the party responding to a claim for relief-usually the defendant. Rule 8(b) only requires responsive pleadings to, among other things, state in "short and plain terms" any defenses. Fed. R. Civ. P. 8(b)(1). Likewise, Rule 8(c) only requires that an affirmative defense be "affirmatively state [d ]". Fed. R. Civ. P. 8(c) (emphasis added). The important textual distinction here is between the words "show" and "state". When pleading claims in a complaint, Rule 8(a) requires a plaintiff to show it's entitled to relief. But when a defendant asserts affirmative defenses in an answer, Rules 8(b) and 8(c) only require that those defenses be stated. Showing something, rather than simply stating it in plain terms, is a more difficult task. See Pavelic & LeFlore v. Marvel Entertainment Group ,
But are these textual distinctions mere semantics? Some courts think so. See, e.g., Vogel v. Hunting Oaks Delaware Partners, LLC
4.2.2 Principles Underlying Twiqbal
The principles underlying the Supreme Court's decisions in Twiqbal also counsel against extending the plausibility requirement to affirmative defenses. Indeed, the Supreme Court anchors their analysis in *1061Twiqbal to Rule 8(a), which concerns "claims for relief". See Iqbal ,
Still, many courts extend Twiqbal to affirmative defenses by reasoning that, because Twiqbal reconceptualized "fair notice" pleading in its entirety, it applies equally to affirmative defenses. According to these courts, this makes sense because, before Twiqbal , "fair notice" was the relevant standard for pleading both claims for relief and affirmative defenses. Wyshak ,
One more thing. Some say Twiqbal was designed by a conservative Supreme Court to "close the courthouse doors" to questionable plaintiffs hoping to litigate their claims in federal court. See Erwin Chemerinsky, Closing the Courthouse Doors ,
4.2.3 Practical Distinctions
There are also practical distinctions between a plaintiff's complaint and a defendant's answer that weigh against extending Twiqbal to affirmative defenses. The most obvious of these distinctions is the amount of time each party has to compose their respective pleading. Plaintiffs can decide when to file a complaint within the relevant statute of limitations, giving plaintiffs ample opportunity to develop factual support for their claims and draft their complaints accordingly. But defendants only have twenty-one days after being served with a summons and complaint to draft their response. See Fed. R. Civ. P. 12(a). And, within this twenty-one-day window, defendants must also find a lawyer and investigate the facts of the case. This "asymmetry of information and time" highlights a "fundamental difference between the function of pleading for plaintiffs and defendants." See Pysno, supra , at 1656 *1062(citing Odyssey Imaging, LLC v. Cardiology Assocs. of Johnston, LLC ,
This practical distinction concerning timing ties into the looming threat of waiver. Defendants risk permanently waiving any affirmative defenses not raised in their initial response. See Fed. R. Civ. P. 12(h) ; see also Kern Oil & Refining Co. v. Tenneco Oil Co. ,
Further, attacks on answers usually occur, as here, through a motion to strike under Rule 12(f). Such motions have long been "disfavored." Petrie ,
There's one final practical distinction bearing mention, and it's a simple one: the plaintiff is the party who initiates the lawsuit. It makes sense, then, to ask more of the plaintiff at the outset of the case. After all, a defendant doesn't come to court by choice-the plaintiff forces them to appear. And it's the plaintiff who invokes the court's jurisdiction in the first instance. The Supreme Court touched on this in Twombly , explaining that a heightened pleading standard was necessary to prevent plaintiffs from "tak[ing] up the time of a number of other people" with "largely groundless claim[s]". Twombly ,
Put simply, the heightened pleading requirement of Twiqbal doesn't apply to affirmative defenses because of the textual distinctions in the plain language of Rule 8, the working principles underlying the Supreme Court's decisions in Twiqbal , and the practicalities of pretrial litigation. Instead, affirmative defenses need only be stated in "general terms" and provide "fair notice" of their nature. See Kohler ,
*10634.3 The Present Motion
Having concluded affirmative defenses are governed by a fair notice standard, the Court turns back to the case at hand. Nguyen moves to strike fifteen of DSS's twenty-one affirmative defenses and DSS's "other additional defenses" allegation from DSS's answer. (Mot. at 2.) Nguyen argues these defenses should be stricken for various reasons. (Id. ) These issues were thoroughly reviewed with the parties leading up to the hearing. Thus, it's sufficient here to address these issues broadly.
To the extent Nguyen argues some of DSS's defenses should be stricken for not being affirmative defenses at all, the Court mostly agrees. See Zivkovic v. Southern California Edison Co. ,
But the Court disagrees with Nguyen's arguments about the factual sufficiency of DSS's defenses. Nguyen claims many of DSS's affirmative defenses fail because they consist of "bare-bones, conclusory allegation[s]". (Mot. at 7.) Not so. As discussed previously, fair notice is a less demanding standard than what Twiqbal requires. See Kohler ,
Nor is the Court convinced that DSS's defenses are immaterial or impertinent, as Nguyen suggests. (Mot. at 9-10.) At this early stage, it can't be said that these defenses bear "no essential or important relationship" to Nguyen's claims, or that these defenses aren't otherwise necessary to the issues in question. See Fantasy, Inc. v. Fogerty ,
So, in light of all this, the Court makes the following rulings. The Court GRANTS Nguyen's motion to strike DSS's fifteenth and seventeenth affirmative defenses and DSS's "other additional defenses" allegation. The Court DENIES Nguyen's motion to strike DSS's other thirteen affirmative defenses.
4.4 Whether Leave to Amend Should Be Granted
DSS asks the court for leave to amend any defenses that are stricken. (Opp'n at 11.) "Unless it would prejudice the opposing party, courts freely grant leave to amend stricken pleadings." Kohler ,
5. DISPOSITION
For these reasons, the Court GRANTS IN PART and DENIES IN PART Nguyen's motion to strike WITH LEAVE TO AMEND. DSS may file an amended answer within 21 days of this Order.
Reference
- Full Case Name
- LOI NGUYEN v. DURHAM SCHOOL SERVICES, L.P.
- Cited By
- 5 cases
- Status
- Published