FILED

February 27, 1998

Cecil W. Crowson

Appellate Court Clerk

IN THE COURT OF APPEALS OF TENNESSEE

AT NASHVILLE

TIMOTHY K. BRADY, )

)

Plaintiff/Appellee, )

) Appeal No.

) 01-A-01-9707-CV-00308

VS. )

) Williamson Circuit

) No. 96760

JAMES M. VALENTINE, )

)

Defendant/Appellant. )

APPEALED FROM THE CIRCUIT COURT OF WILLIAMSON COUNTY

AT FRANKLIN, TENNESSEE

THE HONORABLE CORNELIA A. CLARK, JUDGE

REBECCA E. BYRD

PETERSEN, BUERGER, MOSELEY & CARSON

306 Court Square

Franklin, Tennessee 37064

Attorney for Plaintiff/Appellee

ERIC J. MORRISON

STONE & HINDS

700 First American Center

507 Gay Street, S.W.

Knoxville, Tennessee 37902

Attorney for Defendant/Appellant

REVERSED AND REMANDED

BEN H. CANTRELL, JUDGE

CONCUR:

TODD, P.J., M.S.

KOCH, J.

O P I N I O N
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The only issue we have to decide is whether an appeal of a general

sessions judgment gives the circuit court the jurisdiction to award sanctions under

Rule 11, Tenn. R. Civ. P. The Circuit Court of Williamson County held that it does not.

We reverse and remand the cause for further consideration.

I.

Timothy K. Brady sued James M. Valentine in the General Sessions

Court of Williamson County to collect a promissory note. The court dismissed the

claim, and Mr. Brady appealed by executing a $250 cost bond. On December 24,

1996 counsel for Mr. Valentine served a letter on counsel for Mr. Brady asserting that

Mr. Brady’s claim was clearly barred by the statute of limitations, that the appeal was

frivolous, and that unless the appeal was withdrawn within twenty-one days Mr.

Valentine would move for sanctions under Rule 11. Mr. Brady did not comply with the

demand.

Both sides moved for summary judgment in the circuit court. The court

granted Mr. Valentine’s motion and made the following findings on the Rule 11

motion:

2. That the motion pursuant to Tenn. R. Civ. P.

11 and a letter requesting that the appeal of this cause be

withdrawn was served upon plaintiff’s counsel more than

twenty-one (21) days before the subject motion was filed

with the Court, that the Cost Bond signed by plaintiff and

plaintiff’s counsel and filed in the General Sessions Court

for Williamson County, Tennessee constitutes an “other

paper” as contemplated by Tenn. R. Civ. P. 11.02, but

does not constitute “other paper” filed in this Circuit Court

and as such the Court is without sufficient jurisdiction or

authority to impose sanctions under Tenn. R. Civ. P. 11;

3. That the appeal of this case by plaintiff from

General Sessions Court to this Court constitutes a

violation of Tenn. R. Civ. P. 11; however, because there

was no specific paper filed in this Court with respect to the

appeal of the case, the Court is without sufficient

jurisdiction or authority to impose sanctions under Tenn.

R. Civ. P. 11; and . . . .
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II.

Tenn. R. Civ. P. 11.02 provides:

By presenting to the court (whether by signing,

filing, submitting, or later advocating) a pleading, written

motion, or other paper, an attorney or unrepresented

party is certifying that to the best of the person’s

knowledge, information, and belief, formed after an inquiry

reasonable under the circumstances, --

(1) it is not being presented for any improper

purpose, such as to harass or to cause unnecessary

delay or needless increase in the cost of litigation;

(2) the claims, defenses, and other legal

contentions therein are warranted by existing law or by a

nonfrivolous argument for the extension, modification, or

reversal of existing law or the establishment of new law;

(3) the allegations and otherfactual contentions

have evidentiary support or, if specifically so identified,

are likely to have evidentiary support after a reasonable

opportunity for further investigation or discovery; and

(4) the denial of factual contentions are

warranted on the evidence or, if specifically so identified,

are reasonably based on a lack of information or belief.

Chapter 5 of Title 27 of the Tennessee Code prescribes the procedure

for appealing an adverse judgment in the general sessions court to the circuit court.

The most important step is the giving of a bond for the prosecution of the appeal.

Tenn. Code Ann. § 27-5-103. When the appeal is perfected, it is the duty of the clerk

of general sessions court to file the papers in the office of the clerk of the circuit court,

Tenn. Code Ann. § 27-5-105, where the appeal shall be heard de novo. Tenn. Code

Ann. § 27-5-108.

We think that the appeal procedure brings the appellant within he

express provisions of Rule 11.02. By perfecting the appeal -- which obligates the

clerk to forward the papers to the circuit court -- the appellant has “presented” to the

court all the papers that accompany that filing. The presentation carries with it the
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certification described in Rule 11.02(1)--(4). The papers filed in the circuit court

included the civil warrant filed in the general sessions court and the cost bond

executed to perfect the appeal. If the appeal was taken for an improper purpose, it

would, in our judgment, be a violation of Rule 11.

The confusion in this case results from a focus on the requirement in

Rule 11.01 that all papers filed in courts of record must be signed. But it is not the

signing that carries with it the certification in Rule 11.02; it is the “signing, filing,

submitting, or later advocating” a pleading or written motion.

We think the proper procedure from this point is to remand the cause

to the circuit court for reconsideration of the Rule 11 motion in light of the holding in

this opinion.

The lower court’s judgment denying the Rule 11 motion is reversed and

the cause is remanded to the Circuit Court of Williamson County for further

proceedings. Tax the costs on appeal to the appellee.

_________________________________

BEN H. CANTRELL, JUDGE

CONCUR:

_______________________________

HENRY F. TODD, PRESIDING JUDGE

MIDDLE SECTION

_______________________________

WILLIAM C. KOCH, JR., JUDGE
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