The now well-known requirement from the TwIqbal cases that a complaint contains factual allegations that establish that relief is plausible derives from Rule 8(a)(2) requirement that each pleading contain “a short and plain statement of the claim showing that the pleader is entitled to relief.” One recurring point of contention in drug and device litigation is when a defense has to be addressed in a complaint. Plaintiffs, of course, would like a very low bar to pleadings, increasing the chances that they can force a settlement in the time following the denial of motion to dismiss. Defenses, they usually say, do not have to be addressed in the complaint filed before defenses have been asserted formally by defendants. A recent decision on a motion to dismiss in a drug case made us take another look at some of Federal Rules of Civil Procedure on pleadings for guidance on this issue.
Working backwards, under Rule 12(b), a motion to dismiss can be made on specified procedural/jurisdictional grounds or for the rather vague catchall “failure to state claim upon which relief can be granted.” The authorization for a motion for judgment on the pleadings under 12(c), which is decided under the same standards as a 12(b) motion, is also broad: “After the pleadings are closed—but early enough not to delay trial—a party may move for judgment on the pleadings.” In the typical product liability case, there will be no pleading from the plaintiff responding to the defenses asserted in an answer, so pleadings close with the answer. We know that both 12(b)(6) and 12(c) motions are used to raise not just whether the complaint includes factual allegations supporting each element of a cognizable cause of action but also various common product liability defenses such as preemption, statute of repose, and statute of limitations. (This is different than a plaintiff trying to apply TwIqbal to an answer.) Under 8(c)(1), answers “must affirmatively state any avoidance or affirmative defense, including” SOL and a number of other examples. We say “examples” because there are clearly other affirmative defenses and that is what “including” means when used as it is in 8(c)(1). It is also clear that not everything a defendant raises in an answer is an affirmative defense, meaning something on which it would have the burden at trial. A plaintiff’s failure to carry her burden as to a cause of action is not a defense at all. The tricky issue is when a defense has recognized exceptions. A number of those defenses are predicated on fraud, which implicates heightened pleading under 9(b)—which does not limit itself to claims. Bluntly, these rules allow either side to argue its position on what defenses need to be addressed in product liability complaints. We also considered whether Rule 11 could require a complaint to address obvious defenses preemptively. It is hard to say 11(b)(1)’s requirement that the filer certify that it “is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation.”
Irrespective of our Rules dive, Iqbal requires that “A claim has facial plausibility when the plaintiff pleads factual content that allows the court to draw the reasonable inference that the defendant is liable for the misconduct alleged.” This is decidedly broader because liability means that the plaintiff got past any defenses raised, affirmative or otherwise. It is with this context that we finally turn to Owens v. Johnson & Johnson Co., No. 25-cv-11129-REL, 2026 WL 1388701 (N.D. Cal. May 18, 2026). In Owens, plaintiffs claimed that their mother died from breast cancer she allegedly contracted from her use of defendant’s prescription antipsychotic and generic versions of same. Plaintiffs’ complaint was apparently—the court omitted details with a disclaimer that it “assumes the reader is familiar with the facts of the case”—quite sloppy, vague, and conclusory. In other words, it was like many complaints plaintiffs file against manufacturers of FDA-approved/cleared medical products. Predictably, defendants moved to dismiss and, predictably, plaintiffs will get another chance to plead plausible claims before the case is dismissed with prejudice. The noteworthy part, at least to us, is that the plaintiffs’ failure to address defenses was the primary culprit.
Taking the issues in the opposite order of Owens, the “Complaint raises preemption on its face” and all of its independent counts were preempted. Id. at *3. The key turning point was that the court followed the Second Circuit’s Gibbons decision (here and listed as our second-best in 2019 here) and cases in the Ninth Circuit following it (such as the affirmance of this messy case) rather than the line of cases that punt on preemption at the pleadings stage. Id. Specifically for a suit against the NDA-holder of a branded prescription drug, it is clear from Albrecht and even cases like the otherwise horrible Holley that the path to a non-preempted warnings claim requires newly discovered evidence that would have allowed the defendant to use the CBE mechanism to change its label to add the warning plaintiff proposed post hoc. The complaint in Owens did not identify studies that defendants allegedly knew but FDA did not at the time the decedent was prescribed the medication. It certainly did not articulate how any unspecified newly acquired information required a warning that would have impacted the decedent’s prescription and use of the medication. “Plaintiffs’ claims do not plausibly allege liability without further allegations supporting the conclusion that FDA regulation did not prohibit Defendants from issuing a stronger warning to Stacy Owens.” Id. That is not the exact formulation of what plaintiffs actually had to prove, in part because California follows the learned intermediary doctrine, but it was good enough. Plaintiffs’ failure to test “general negligence” claim and fraud on the FDA claim were similarly barebones and preempted.
The other defense apparent from the face of the complaint was California’s two year statute of limitations. Plaintiffs sued in 2025, their mother allegedly died in 2016, and she was allegedly diagnosed with breast cancer in 2012. In response to the motion to dismiss, plaintiffs contended that their very late claims could be solved by the discovery rule and fraudulent concealment, even though neither was discussed in the complaint. California state law required plaintiffs to include the allegations support either or both exceptions to the statute of limitations affirmative defense as long as their claims were otherwise time-barred “on the face” of the complaint. Id. at *1-2 (citing Fox v. Ethicon Endo-Surgery, Inc., 110 P.3d 914 (Cal. 2005); Johnson v. Glock, Inc., No. 20-cv-08807-WHO, 2021 WL 1966692 (N.D. Cal. May 17, 2021)). None of the elements of either was asserted; as to the latter, heightened pleading standards also applied. So, the entire case was dismissed without prejudice, with plaintiff getting three weeks to assert facts establishing the plausibility of at least one cognizable, non-preempted, timely claim out of their original six. Id. at *4. We understand why plaintiffs will get another chance, using the court’s ruling as a roadmap, but it seems likely the plaintiffs cannot fix the complaint’s failings that without making up things—something Rule 11 definitely prohibits.
As much as the Blog has raised issues with various MDL practices, we do think there is a lesson to learn from the use of Master Complaints and Short Form Complaints. MDLs and state coordinated proceedings often have Master Complaints that have general anti-SOL sections and Short Form Complaints that allow plaintiffs to adopt counts for fraudulent concealment, the discovery rule, tolling, etc., that do not assert causes of action. The individual plaintiffs may even be invited to allege additional facts supporting the application of these exceptions to their case. We wonder if courts—most logically those facing a bunch of related cases—could take it a step further. They could require plaintiffs to state all facts pertaining to the timeliness of their claims under both SOLs and statutes of repose—Owens would have been barred by most states’ SORs also. Too often, plaintiffs have some flexibility to change the facts set out in their complaint to save untimely claims. The same goes for preemption. Given the number of Supreme Court decisions on preemption of product liability claims against the manufacturers of medical products, about the only way that some aspect of preemption will not be apparent from the face of the complaint is if the complaint omits basic facts about the product’s regulatory status and history. Those facts, or at least plaintiff’s version of them, should be included in a complaint asserting product liability claims as to FDA-regulated medical products. (Rule 12(c) provides for a motion for more definite statement in such a situation.) While it is true that the defendant may raise a novel or particularly technical preemption argument that plaintiff could not address up front, it is not too much to ask that these plaintiffs include factual assertions that, if true, would make it plausible that their claims can get past preemption to establish liability. Other defenses, such as in pari delicto or contributory negligence, may also be apparent from the complaint. In the context of in forma pauperis, federal courts have explicit authority to do a sua sponte review to weed our frivolous claims at the pleading stage. Under Rule 56(f)(2)-(3), a court can grant summary judgment “on grounds not raised by a party” or even “consider summary judgment on its own after identifying for the parties material facts that may not be genuinely in dispute.” It might be more efficient for everyone if courts took a similar approach even before the defendant filed its initial responsive pleading.