Opinion ID: 674585
Heading Depth: 2
Heading Rank: 2

Heading: The Sufficiency of Henthorn's Complaint

Text: 18 We have determined that, in order to survive a motion to dismiss, federal prisoner plaintiffs seeking relief under the FLSA must allege that their work was performed without legal compulsion and that any compensation received for their work was set and paid by a non-prison source. Applying that test to Henthorn's complaint, we determine that his claim cannot survive. Henthorn's complaint alleged: 1) that he was incarcerated at the Federal Prison Camp at Millington, Tennessee; 2) that he was assigned to work and perform manual labor by the BOP at the Naval Air Station; 3) that his work was off the prison compound; 4) that his work consisted of general janitorial and ranchhand chores; 5) that the BOP set his rate of pay at $.12 per hour; 6) that the BOP and not the Navy paid him; 7) that he returned to the prison each day for lunch; 8) that he had supervisors at the Naval Base who were apparently civilians; 9) that these supervisors reported his performance to the BOP, who had the power to give him performance-based bonuses; 10) and that the plaintiff had witnessed the Navy's firing of other inmates. Nowhere has he alleged that his work was voluntary and not compelled by the BOP. Quite to the contrary, his complaint specifically alleged that he was assigned to work and perform manual labor by the Bureau of Prisons. Henthorn was clearly not the master of his own fate. 19 Henthorn's complaint also fails the second part of our test by its express allegations that the BOP set his rate of pay and that the BOP, and not the Navy, actually paid him. See App. 6. Henthorn argues that, in evaluating the sufficiency of his claim under 12(b)(6), we should ignore those sections of his complaint that specify who actually paid him and set his rate of pay and look instead to his pro se Brief in Opposition to the Government's Motion to Dismiss, which stated that the Navy paid his wage. Thus, although Rule 12(b)(6) directs the court to look only to the pleadings, Henthorn argues that the court must accept as true not only the allegations in his actual complaint but also all allegations and reasonable inferences presented by the plaintiff in supporting litigation papers. And, where the facts alleged in Henthorn's complaint are contradicted by facts alleged in his brief in opposition to the government's 12(b)(6) motion, Henthorn argues that the Court is bound to accept the version of the facts most favorable to him. 20 In support of this novel proposition, Henthorn relies on our statement in Brandon v. District of Columbia Board of Parole, 734 F.2d 56, 59 (D.C.Cir.1984), cert. denied, 469 U.S. 1127, 105 S.Ct. 811, 83 L.Ed.2d 804 (1985), to the effect that a pro se plaintiff has an opportunity to develop his claim further by filing an opposition to the [defendant's] Rule 12(b)(6) motion. Henthorn's reliance on Brandon is misplaced. First, we are far from convinced that an opportunity to develop [one's] claim further is synonymous with an opportunity to allege additional facts that contradict the pleadings. That the plaintiff may further develop his claim in his brief in opposition may simply mean that he may flesh out the legal arguments he sketched in his complaint. 21 More importantly, however, our statement in Brandon was pure dictum. The question in Brandon was what standard should govern the sua sponte dismissal of a complaint filed in forma pauperis under 28 U.S.C. Sec. 1915. In explaining the difference between the truncated sua sponte dismissal and the more adversarial dismissal pursuant to Rule 12(b)(6), we explained: 22 When a Rule 12(b)(6) motion is filed, the plaintiff is put on notice that the legal sufficiency of the complaint is being challenged and is often given some insight into the theory upon which that challenge is made. The plaintiff then has an opportunity to develop his claim further by filing an opposition to the Rule 12(b)(6) motion. 23 Id. at 59. In contrast, we explained that [n]either th[is] opportunit[y], nor the sharply honed adversarial exchange involved in a Rule 12(b)(6) motion and opposition, are present when dismissal is sua sponte. Id. Thus, taken in context, the statement on which Henthorn relies merely described the adversary nature of a 12(b)(6) motion as contrasted with a sua sponte dismissal. It did not fashion a rule requiring federal courts to look beyond the pleadings in ruling on 12(b)(6) motions. 24 Other than this dictum from Brandon, we have found no case from this or any other circuit suggesting that a trial court must consider contradictory factual allegations made in a brief opposing a motion to dismiss when ruling on a 12(b)(6) motion. In fact, the sparse case law addressing the effect of factual allegations in briefs or memoranda of law suggests that such matters may never be considered when deciding a 12(b)(6) motion, see, e.g., Fonte v. Board of Managers of Continental Towers Condominium, 848 F.2d 24, 25 (2d Cir.1988), and most certainly may not be considered when the facts they contain contradict those alleged in the complaint. See Orthmann v. Apple River Campground, Inc., 757 F.2d 909, 915 (7th Cir.1985) (emphasis added) (court of appeals reviewing dismissal under 12(b)(6) could consider facts not contained in complaint, provided it was not inconsistent with the allegations of the complaint ). Cf. Goldman v. Summerfield, 214 F.2d 858, 859 (D.C.Cir.1954) ([S]tatements of fact in [legal] memoranda cannot ordinarily be given the dignity of a pleading or deposition, even though no effort is made to controvert them.). 25 The purpose of a motion to dismiss is to assess the validity of the pleadings. See FED.R.CIV.P. 12(b)(6). To require that trial courts accept as true factual allegations made in legal memoranda, which form no part of the official record, when those allegations directly contradict the facts set forth in the complaint would be to stretch Rule 12(b)(6) far beyond even the generous pleading standards that we apply to pro se plaintiffs. Thus, in this case, we will look only to the allegations made in Henthorn's actual complaint. 4 These allegations, including the assertions that Henthorn was required to work at the Naval Air Station and that the BOP set Henthorn's rate of pay and actually paid him, fail to state a claim under the FLSA. 26