Opinion ID: 442925
Heading Depth: 2
Heading Rank: 2

Heading: Definition of Frivolous

Text: 15 The standard in this circuit for dismissal of in forma pauperis actions as frivolous under section 1915(d) has been as unsettled as our position on the proper procedure to be followed in such dismissals. See Gifford v. Tiernan, 670 F.2d 882, 885 n. 7 (9th Cir.), cert. denied, 459 U.S. 804, 103 S.Ct. 28, 74 L.Ed.2d 43 (1982); Franklin I, 662 F.2d 1337, at 1340 n. 1. Our cases have suggested that an IFP action may be dismissed as frivolous: (1) when, despite a formally alleged cause of action, the court finds the action is frivolous, Stiltner v. Rhay, 322 F.2d 314, 316 (9th Cir.1963), cert. denied, 376 U.S. 920, 84 S.Ct. 678, 11 L.Ed.2d 615 (1964); (2) when the complaint fails to state a claim according to Fed.R.Civ.P. 12(b)(6), Boag v. Boies, 455 F.2d 467 (9th Cir.), cert. denied, 408 U.S. 926, 92 S.Ct. 2509, 33 L.Ed.2d 338 (1972); and (3) only when the fees have been paid, Reece v. Washington, 310 F.2d 139, 140 (9th Cir.1962). 6 We attempt here to resolve the confusion these cases have created for the district courts by defining the frivolity standard for IFP actions. 16 We agree with the district court that the rule from Franklin I, that where the plaintiff has paid the fees and his complaint states jurisdictional facts, the court may not sua sponte dismiss such an action before issuing and serving process, is simply far too easy a standard to apply to IFP actions. Franklin II, 563 F.Supp. 1310, 1325 (D.Or.1983). 7 We disagree, however, with the standard applied here by the district court. The district court, quoting from Daves v. Scranton, 66 F.R.D. 5, 7 (E.D.Pa.1975), defined a nonfrivolous IFP complaint as one that, [S]tates a claim which has a reasonable probability of succeeding on the merits .... In evaluating this complaint I must assess inter alia, the merit of plaintiff's legal theory, the credibility of his allegations, as well as the existence of possible defenses .... Franklin II, 563 F.Supp. at 1323-24. We reject this standard because it would give trial courts almost unreviewable discretion. See Williams v. Field, 394 F.2d 329, 331 (9th Cir.), cert. denied, 393 U.S. 891, 89 S.Ct. 213, 21 L.Ed.2d 171 (1968) (rejecting definition of frivolity as slight chance of success on the merits). 17 Most of the circuits that have addressed the issue have applied a modified form of the frivolity test from Anders v. California, 386 U.S. 738, 744, 87 S.Ct. 1396, 1400, 18 L.Ed.2d 493 (1967) (appeal is frivolous where it lacks arguable merit), to section 1915(d) dismissals. In Watson v. Ault, 525 F.2d 886, 892 (5th Cir.1976), the court held that an IFP action must have arguable substance in law and fact. It described the trial court's determination of the frivolity of pro se prisoners' civil rights actions under section 1915(d) as an assessment of the substance of the claim presented, i.e., is there a factual and legal basis, of constitutional dimension, for the asserted wrong, however inartfully pleaded. Id. Accord Crisafi v. Holland, 655 F.2d 1305, 1307 (D.C.Cir.1981) (per curiam); Boyce v. Alizaduh, 595 F.2d 948, 951-52 (4th Cir.1979). Cf. Wiggins v. New Mexico State Supreme Court Clerk, 664 F.2d 812, 815 (10th Cir.1981), cert. denied, 459 U.S. 840, 103 S.Ct. 90, 74 L.Ed.2d 83 (1982) (defining frivolity as whether a plaintiff can make a rational argument on the law and facts in support of his claims without mentioning Anders ). We adopt the Watson standard of frivolity. 18 The legal component of the 1915(d) frivolity standard is thus similar to the test for dismissal of pro se complaints for failure to state a claim. See Estelle v. Gamble, 429 U.S. 97, 106, 97 S.Ct. 285, 292, 50 L.Ed.2d 251 (1976); Haines v. Kerner, 404 U.S. 519, 92 S.Ct. 594, 30 L.Ed.2d 652 (1972) (pro se complaint may be dismissed for failure to state a claim only where it appears beyond doubt that the plaintiff can prove no set of facts in support of his claim which would entitle him to relief). 8 We therefore reject the district court's suggestion that it may ... assess ... the credibility of [the plaintiff's] allegations, Franklin II, 563 F.Supp. at 1324, at this stage of the proceeding. The defendants have made no response at this point. The IFP plaintiff's sworn allegations are thus uncontroverted and entitled to the usual presumption of truth. 9 19 This does not mean that a court may never dismiss as frivolous a complaint that states a claim. As stated by the District of Columbia Circuit, 20 A court may dismiss as frivolous complaints reciting bare legal conclusions with no suggestion of supporting facts, or postulating events and circumstances of a wholly fanciful kind. Similarly, 'a complaint conflicting with facts of which the district court may take judicial notice might also properly be dismissed under Section 1915(d).' Taylor v. Gibson, 529 F.2d 709, 717 (5th Cir.1976). 21 Crisafi v. Holland, 655 F.2d 1305, 1307-08 (D.C.Cir.1981) (per curiam) (footnote omitted). We have applied a similar analysis in this circuit to cases dismissed where the filing fee has been paid. District courts have the authority to dismiss complaints founded on wholly fanciful factual allegations for lack of subject matter jurisdiction. Franklin I, 662 F.2d at 1342 (court may dismiss claim that is wholly insubstantial and frivolous). We have also approved of dismissing in forma pauperis complaints that state a claim where the records and files of the court or other material properly noticed by the court show the claim to be frivolous. See Williams v. Field, 394 F.2d 329, 331 (9th Cir.), cert. denied, 393 U.S. 891, 89 S.Ct. 213, 21 L.Ed.2d 171 (1968); Stiltner v. Rhay, 322 F.2d 314, 316 (9th Cir.1963), cert. denied, 376 U.S. 920, 84 S.Ct. 678, 11 L.Ed.2d 615 (1964). 22 The district court's opinion raises one additional question concerning the frivolity standard: whether a court may dismiss an action as frivolous where a complete defense is obvious from the pleadings. The district court ruled that this procedure is permissible in assessing the frivolity of IFP actions in spite of this court's disapproval of the anticipation of defenses in dismissing actions for lack of subject matter jurisdiction in Franklin I, 662 F.2d at 1346. We agree. 23 An action may be dismissed under section 1915(d) where the defense is complete and obvious from the face of the pleadings or the court's own records. Where a plaintiff raises a defense that would defeat the action, the complaint fails to state a claim on which relief may be granted. See 2A Moore's Federal Practice p 12.08 (complaint may be dismissed for failure to state a claim if it discloses some fact which will necessarily defeat the claim). Dismissal based on a complete defense which appears on the face of the pleadings is distinguishable from the court's anticipation of potential defenses not obvious from the pleadings which was criticized in Franklin I. In Franklin I, we held that such conduct put the trial court in the improper posture of being an advocate for the defendant by raising possible defenses. These problems do not exist where the existence of a complete and obvious defense is apparent from the allegations of the complaint. 24