The Rule 11 Sanctioning Process

Thomas E. Willging

1988, 200 pages

(In Print: Available for Distribution)

A report that discusses the possible chilling effects and potential for creating satellite litigation of Federal Rule of Civil Procedure 11 (before the 1993 amendment that increased judges' discretion as to imposing sanctions). It also discusses the nature and adequacy of procedures used to implement the rule. The report is based on interviews with judges and lawyers in eight districts. The author describes his methodology and reports his empirical findings.

Link or download

Table of contents Table of Contents List of Tables Acknowledgments Highlights and Summary I. Introduction and Background Issues Study Methods Organization II. Purposes of Amended Rule 11 As Seen by Drafters and Users Background: Purposes of the 1983 Amendments Field Interviews Discussion Case Management Purposes Summary III. Developing Rule 11 Standards Evolution of Objective Standards "Reasonable Inquiry" into Law Toward Concrete Guidelines "Reasonable Inquiry" into Facts IV. Educational and Preventive Effects Educational Effects Preventive Effects Changes in Pleading Practices V. Incidence of Sanctions and Procedural Characteristics of Published Cases Prior Studies Field Data Data from Published Opinions VI. Due Process in Theory and Practice Procedural Safeguards in Rule 11 Interview Data Procedures Under Rule 11 Case Law Notice Timing and Form of Notice Hearing Requirement Findings of Fact and Reasons Summary and Conclusions VII. Satellite Litigation and Settlement Effects Incidence Models of Sanctioned Attorneys' Behavior Decisions About Appeals Settlement Effects Reducing Satellite Litigation VIII. Alternatives to Monetary Sanctions Package of August 1983 Amendments Mandatory Sanctions and Alternative Sanctions Interview Data Case Management Alternatives Rule 16(b) Conferences Motions to Dismiss or for Summary Judgment Warnings and Reprimands Settlement Warnings Fee-Shifting Statutes and Rules Magistrates Disciplinary Referrals Judicial Resources Summary IX. Attorneys Involved in the Sanctioning Process Attorney Profile Repeat Players Sanctioned Attorneys: Field Study Attorney-Attorney Relationships Bar-Bench Relationships Summary X. Chilling Effects Sources of Concerns Role of Legal Standards High-Risk Cases Interview Data Summary XI. Summary and Conclusions Judicial Issues Attorney Issues Discussion Appendix A. Methodology for Field Study Appendix B. Methodology for Creating Data Bases of Published Opinions and Attorneys' Disciplinary History List of Tables 1. Judges' Purposes in Imposing Sanctions As Viewed by Judges and Attorneys in Field Study 2. Behavioral, Disciplinary and Compensatory, Fee-Shifting Sanctioning Models 3. Taxonomy of Attorney Conduct Subject to Sanctioning Under the "Well- Grounded in Law" Standard of Rule 11 4. Taxonomy of Attorney Conduct Subject to Sanctioning Under the "Well- Grounded in Fact" Standard of Rule 11 5. Judges' Estimates of the Incidence of Sanctions Activity in High- and Low- Sanctioning Districts, Reported in Field Interviews 6. Incidence of Published Opinions Involving Rule 11 by Appellate and District Courts 7. Year of Decision in Sample of Published Rule 11 Opinions 8. Nature of Cases in Sample of Published Opinions 9. Imposition of Sanctions on Plaintiffs and Defendants in Sample of Published Opinions 10. Imposition of Sanctions on Attorneys and Clients in Sample of Published Opinions 11. Procedural Stage of Sanctions Issued in Sample of Published Opinions 12. Conduct Leading to Sanctions Decision in Sample of Published Opinions 13. Procedures Used to Decide on the Issuance of Sanctions in Sample of Reported Opinions 14. Amounts of Monetary Awards in Sample of Published Opinions 15. Disposition of Appeals in Sample of Reported Decisions 16. Adequacy of Sanctioning Procedures As Seen by Judges, Sanctioned Attorneys, and Nonsanctioned Attorneys in Field Study 17. Effect of Sanctions Decision on Settlement in Field Study Cases As Viewed by Judges and Attorneys 18. Comparison of Amounts of Sanctions in Field Study Cases and Sample of Published Opinions 19. Weighted Filings Per Judge in Eight Study Courts, 1987 20. Years of Admission to Practice for Nonsanctioned and Sanctioned Attorneys from Sample of Published Rule 11 Opinions 21. Comparison of Sanctioning of Attorneys With and Without Other Discipline or Sanctions from Sample of Published Opinions 22. Percentage of Practice in Federal Court of Attorneys in Field Study 23. Incidence of Field Study Attorneys' Involvement in Nonstudy Sanctions Cases 24. Sanctioning Judges' Assessments of the Professional Reputation of Sanctioned and Opposing Attorneys in Field Stud 25. Field Study Sanctioned and Opposing Attorneys' Assessments of Each Other's Professional Reputations 26. Perceptions of Bar Relationships by Judges and Experienced Attorneys in High- and Low-Sanctioning Districts, Field Study 27. Perceptions of Bar-Bench Relationships by Judges and Experienced Attorneys in High- and Low-Sanctioning Districts, Field Study 28. Perception of Specific Chilling Effects by Attorneys in Field Study 29. Summary Evaluation of Rule 11 by Judges in Field Study 30. Summary Evaluation of Rule 11 by Attorneys in Field Study 31. Characteristics of Courts with High Levels of Rule 11 Sanctioning Activity 32. Distribution of Rule 11 Sanctions Orders by Circuit 33. Sanctions Decisions and Orders

More on the Subject(s):

Sanctions