Rios-Campbell v. U.S. Dept. of Commerce
Opinion
It is written that "[t]o every thing there is a season, and a time to every purpose." Ecclesiastes 3:1. This proverb may ring as true in federal civil procedure as in nature: because the court below, acting on a fully developed motion for summary judgment, employed a legal standard meant for use at an earlier stage of the case, its judgment must be vacated. The tale follows.
We briefly rehearse the relevant facts and procedural history. On March 5, 2015, plaintiff-appellant Lynn R. Ríos-Campbell commenced a civil action in the United States District Court for the District of Puerto Rico. In his complaint, the plaintiff-a native of Puerto Rico-alleged that his employer, the United States Department of Commerce, along with several federal functionaries, had discriminated against him on the basis of his national origin and, in the bargain, had subjected him to retaliation when he raised the issue. The plaintiff filed an amended complaint, not relevant here, and then filed a second amended complaint on December 23, 2015. After the defendants filed an answer and the district court entered a scheduling order, the parties engaged in pretrial discovery. The discovery period closed on March 31, 2016.
Soon thereafter, the defendants moved for summary judgment. See Fed. R. Civ. P. 56(a). Their motion papers included over 1,200 pages of exhibits. The plaintiff opposed the motion, and the defendants replied to his opposition.
The matter lay relatively fallow for over a year. On March 29, 2018, the district court entered an order stating in pertinent part: "[h]aving considered the Motion for Summary Judgment filed by defendants ... as a motion to dismiss for failure to state a plausible claim, said Motion for Summary judgment is GRANTED." The court advised that a "[s]tatement of reasons" would follow.
On May 2, the court amended its March 29 order nunc pro tunc. The amended order confirmed that the court, sua sponte, had treated the defendants' motion for summary judgment as a motion to dismiss "pursuant to Fed. R. Civ. P. 12(b)(6)" and had granted the motion on that understanding. Its accompanying statement of reasons memorialized the court's view that the plaintiff's second amended complaint failed to state a plausible claim upon which relief could be granted. 1 This timely appeal followed.
*24 Despite the fact that the parties do not quarrel with the district court's treatment of the defendants' motion for summary judgment as a motion to dismiss, that issue casts a large shadow over any attempt to review the ruling below. In our view, the orderly administration of justice counsels in favor of addressing the issue here and now. Our consideration of the appeal begins-and ends-there.
We review the district court's decision to treat the defendants' motion for summary judgment as a motion to dismiss for abuse of discretion.
See
Vélez
v.
Awning Windows, Inc.
,
The Federal Rules of Civil Procedure offer litigants a number of avenues through which they may attempt to terminate civil actions short of trial. The earliest available option is a motion to dismiss under Rule 12(b), which "must be made before pleading if a responsive pleading is allowed." Fed. R. Civ. P. 12(b). The rule itself lists several grounds upon which such a motion may rest, including (as relevant here) "failure to state a claim upon which relief can be granted." Fed. R. Civ. P. 12(b)(6). To withstand a Rule 12(b)(6) motion, a complaint must "contain sufficient factual matter ... to 'state a claim to relief that is plausible on its face.' "
Haley
v.
City of Boston
,
By its very nature, the plausibility standard is time-sensitive. Refined to bare essence, it "is a screening mechanism designed to weed out cases that do not warrant either discovery or trial."
Atieh
v.
Riordan
,
Once an answer to the complaint is filed, the legal landscape shifts. In such circumstances, a party's next option is to move for judgment on the pleadings under Rule 12(c).
See
Fed. R. Civ. P. 12(c) (providing that "[a]fter the pleadings are closed-but early enough not to delay trial-a party may move for judgment on the pleadings"). If "a motion for judgment on the pleadings ... is employed as a vehicle to test the plausibility of a complaint," the Rule 12(b)(6) plausibility standard may again come front and center.
Grajales
,
When the window for filing either a motion to dismiss for failure to state a claim or a motion for judgment on the pleadings has shut and substantial discovery has taken place, the plausibility standard normally becomes a relic of a bygone time. From that point forward, a party seeking to end a civil action short of trial ordinarily must meet a different standard: the standard applicable to a motion for summary judgment under Rule 56. A district court will grant summary judgment only "if the movant shows that there is no genuine dispute as to any material fact and *25 the movant is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(a). In the usual case, such a motion-unlike a motion to dismiss for failure to state a claim 2 -will be based, at least in part, on materials outside the pleadings.
Seen in this light, it is luminously clear that the root purpose of the plausibility standard differs materially from the root purpose of the summary judgment standard. The former is intended to screen out claims in which the factual allegations of the complaint are too scanty or too vague to render the claims plausible,
see
Atieh
,
Viewed against this backdrop, the district court's attempt, without notice, to transform the defendants' fully developed motion for summary judgment, replete with exhibits gleaned partially through discovery, into a motion to dismiss for failure to state a claim strikes a dissonant chord. The defendants chose not to file a motion to dismiss but instead to move for summary judgment, and that choice should be given some weight-especially since the Federal Rules of Civil Procedure offer no support for a conversion such as was undertaken by the district court.
Although a motion to dismiss for failure to state a claim sometimes may be converted into a motion for summary judgment,
3
we know of no authority that allows for the reverse conversion of a summary judgment motion into a motion to dismiss for failure to state a claim. Just because a cucumber can be turned into a pickle does not mean that a pickle can be turned into a cucumber, and principles of sound case management strongly suggest that allowing such a reverse conversion here would be inappropriate. After all, the parties briefed and argued summary judgment, and judicial efficiency would have been best served by dealing directly with those arguments rather than avoiding them. This
*26
course of action would seem particularly appropriate since, had the defendants elected to file a motion to dismiss under Rule 12(b)(6) after the close of discovery, their motion would have been deemed untimely.
See
Fed. R. Civ. P. 12(b) (requiring that motion to dismiss be filed before movant has answered complaint);
see
also
Patrick
v.
Rivera-Lopez
,
We add, moreover, that on the facts of this case, the district court's approach stands logic on its ear. "[O]ne of the main goals of the plausibility standard is the avoidance of unnecessary discovery."
Grajales
,
We need go no further. For the reasons elucidated above, we hold that the district court applied the wrong legal standard in adjudicating the defendants' summary judgment motion. Where, as here, an answer has been filed and no special circumstances or persuasive reasons justifying contrary action exist, a district court should not treat a fully developed motion for summary judgment as a motion to dismiss for failure to state a claim upon which relief may be granted. Accordingly, we vacate the judgment of the district court and remand for consideration of the defendants' motion under the summary judgment standard.
Vacated and remanded . No costs.
The court's decision to invoke the plausibility standard was reached on its own initiative. None of the parties had suggested the use of this standard in their summary judgment papers, and the district court gave no prior notice of its intention to treat the summary judgment motion in that manner. Nor did the court invite any briefing from the parties as to its intended course of action.
To be sure, there is a narrow swath of materials outside the complaint itself that may be considered on a motion to dismiss for failure to state a claim.
See
,
e.g.
,
Freeman
v.
Town of Hudson
,
See
Fed. R. Civ. P. 12(d) (providing that if "matters outside the pleadings are presented to and not excluded by the court" on a Rule 12(b)(6) motion, the motion "must be treated as one for summary judgment under Rule 56");
see
also
Beddall
v.
State St. Bank & Tr. Co.
,
Reference
- Full Case Name
- Lynn R. RÍOS-CAMPBELL, Plaintiff, Appellant, v. U.S. DEPARTMENT OF COMMERCE Et Al., Defendants, Appellees.
- Cited By
- 52 cases
- Status
- Published