Opinion ID: 1436132
Heading Depth: 2
Heading Rank: 1

Heading: Consideration of Extraneous Documents in a Motion to Dismiss

Text: [¶ 6] Moody contends that the Superior Court erred when it considered extraneous materials submitted by the State, including affidavits, an unscratched version of a Wild Card Cash ticket, and the rules and regulations for the game. [5] He asserts that by considering material not provided in the complaint, the court converted the motion to dismiss into a motion for a summary judgment. The State contends that the Superior Court properly considered the information the State attached to its motion to dismiss because the documents completed the entire contract that Moody brought into consideration and additionally, the items were matters of public record, which may be judicially noticed in a motion to dismiss. [¶ 7] When we review the dismissal of a complaint, we examine the complaint in the light most favorable to the plaintiff to determine whether it sets forth elements of a cause of action or alleges facts that would entitle the plaintiff to relief pursuant to some legal theory. In re Wage Payment Litig., 2000 ME 162, ¶ 3, 759 A.2d 217, 220. When a court decides a motion to dismiss made pursuant to M.R. Civ. P. 12(b)(6), the material allegations of the complaint must be taken as admitted. Livonia v. Town of Rome, 1998 ME 39, ¶ 5, 707 A.2d 83, 85. A dismissal should only occur when it appears `beyond doubt that a plaintiff is entitled to no relief under any set of facts that he might prove in support of his claim.' McAfee v. Cole, 637 A.2d 463, 465 (Me. 1994) (quoting Hall v. Bd. of Envtl. Prot., 498 A.2d 260, 266 (Me.1985)). [¶ 8] The general rule is that only the facts alleged in the complaint may be considered on a motion to dismiss and must be assumed as true. See Flaherty v. Allstate Ins. Co., 2003 ME 72, ¶ 12, 822 A.2d 1159, 1164-65; Napieralski v. Unity Church of Greater Portland, 2002 ME 108, ¶ 4, 802 A.2d 391, 392. If a party brings a motion to dismiss and the court considers appropriate materials outside the pleadings, the motion is treated as one for a summary judgment. In re Magro, 655 A.2d 341, 342 (Me.1995); M.R. Civ. P. 12(b) (If, on a motion asserting the defense numbered (6) to dismiss for failure of the pleading to state a claim upon which relief can be granted, matters outside the pleading are presented to and not excluded by the court, the motion shall be treated as one for summary judgment . . . .); Beaucage v. City of Rockland, 2000 ME 184, ¶ 5, 760 A.2d 1054, 1056 (The filing of the affidavits converted the City's motion to dismiss into a motion for a summary judgment.). [¶ 9] Federal courts, however, including the United States District Court for the District of Maine, and the First Circuit, have held that in some circumstances certain extraneous documents can be considered on a motion to dismiss without converting the motion to one for a summary judgment. Nicholson v. Prudential Ins. Co. of Am., 235 F.Supp.2d 22, 26 n. 2 (D.Me.2003); Alternative Energy, Inc. v. St. Paul Fire & Marine Ins. Co., 267 F.3d 30, 33-34 (1st Cir.2001); Cortec Indus., Inc. v. Sum Holding, L.P., 949 F.2d 42, 48 (2d Cir.1991); Pension Benefit Guar. Corp. v. White Consol. Indus., Inc., 998 F.2d 1192, 1196-97 (3d Cir.1993); Phillips v. LCI Int'l, Inc., 190 F.3d 609, 618 (4th Cir.1999); Weiner v. Klais & Co., 108 F.3d 86, 89 (6th Cir.1997); Parrino v. FHP, Inc., 146 F.3d 699, 705-06 (9th Cir.1998). [¶ 10] This narrow exception allows a court to consider official public documents, documents that are central to the plaintiff's claim, and documents referred to in the complaint, without converting a motion to dismiss into a motion for a summary judgment when the authenticity of such documents is not challenged. Alternative Energy, Inc., 267 F.3d at 33. These documents will merge into the pleadings. Id. The purpose for this exception is that if courts could not consider these documents, a plaintiff with a legally deficient claim could survive a motion to dismiss simply by failing to attach a dispositive document on which it relied. Pension Benefit Guar. Corp., 998 F.2d at 1196. [¶ 11] The Third Circuit explained that the reason for the rule regarding converting motions to dismiss to motions for a summary judgment is to afford a plaintiff an opportunity to respond to new facts raised by the defendant. Id. If a document is referenced in the complaint, is central to a plaintiff's claim, or is a public document, the plaintiff should have notice of the contents. See id. at 1196-97. We agree with the above rationale provided by the federal courts and we conclude that official public documents, documents that are central to the plaintiff's claim, and documents referred to in the complaint may be properly considered on a motion to dismiss without converting the motion to one for a summary judgment when the authenticity of such documents is not challenged.
[¶ 12] In this case, Moody alleges a breach of contract. [6] Documents that contain the terms of the contract are central to Moody's claim. See Alternative Energy, Inc., 267 F.3d at 34 (finding that the attached settlement agreement was referred to in the plaintiff's complaint and that the defendant's liability depended on the terms of the agreement); Pension Benefit Guar. Corp., 998 F.2d at 1196 (concluding that consideration of an attached purchase and sale agreement was proper; the complaint was based on the contract and described some of its terms). In his complaint, Moody refers to the terms of the ticket, but failed to attach the back of a Wild Card Cash ticket, which includes the terms of the game. As the State notes, Moody has not challenged the authenticity of the front or back portion of the unscratched ticket that the State submitted with its motion to dismiss. Accordingly, the Superior Court properly considered the front and back portions of the unscratched ticket that the State attached to its motion to dismiss.
[¶ 13] States that have considered the question have uniformly held that when an individual purchases a lottery ticket, that person agrees to abide by the rules and regulations of the lottery, and those rules and regulations become part of the contract between the parties. E.g., Brown, 602 N.W.2d at 89-90; Hair v. State, 2 Cal.App.4th 321, 2 Cal.Rptr.2d 871, 874 (1991); Thao v. Control Data Corp., 57 Wash.App. 802, 790 P.2d 1239, 1241 (1990). The purchaser of a Wild Card Cash ticket agrees that all tickets, transactions, and winners are subject to the rules and regulations promulgated by the Maine State Lottery and State Law, and the terms of the rules and regulations became part of the contract between Moody and the State. See Down East Energy Corp. v. RMR, Inc., 1997 ME 148, ¶ 10, 697 A.2d 417, 421 (stating that where a lease agreement incorporated the terms of a gasoline agreement, the gasoline agreement became part of the lease). [¶ 14] Additionally, the rules adopted by the Liquor and Lottery Commission are public documents, 5 M.R.S.A. § 8056(3) (2002), having been promulgated pursuant to 8 M.R.S.A. § 374(1) (1997 & Supp.2003) and in accordance with the Maine Administrative Procedures Act, 5 M.R.S.A. §§ 8001-11008 (2002 & Supp.2003). Official public documents are properly considered on a motion to dismiss without converting the motion to one for a summary judgment. Alternative Energy, Inc., 267 F.3d at 33. Accordingly, the Superior Court correctly considered the rules and regulations attached to the State's motion to dismiss.