Opinion ID: 551844
Heading Depth: 2
Heading Rank: 2

Heading: Procedure in Awarding Sanctions

Text: 30 This circuit's en banc Thomas decision recognized that a court's sanctioning decision may be affected by due process considerations, but declined specifically to address the issue. Thomas, 836 F.2d at 878. The advisory committee's note to Rule 11 states that a judge's decision to impose Rule 11 sanctions obviously must comport with due process requirements, and Jurisprudence has held similarly. Veillon v. Exploration Services, Inc., 876 F.2d 1197, 1201-02 (5th Cir.1989); Donaldson v. Clark, 819 F.2d 1551, 1559-60 (11th Cir.1987) (en banc). Specifically, attorneys must be given notice and a hearing. Donaldson, 819 F.2d at 1558; Sanctions, 104 F.R.D. at 198 (attorneys must be given notice and an opportunity to oppose the imposition of sanctions); see also Boddie v. Connecticut, 401 U.S. 371, 379, 91 S.Ct. 780, 786, 28 L.Ed.2d 113 (1971) (procedural due process ordinarily requires notice and an opportunity to be heard). 31 The notice requirement 7 for Rule 11 sanctions differs depending on the conduct subject to review. An attorney who files court papers with no basis in fact does not need any more notice than that which is provided by the existence of Rule 11 in the Federal Rules. Veillon, 876 F.2d at 1202; Donaldson, 819 F.2d at 1560; Lepucki v. Van Wormer, 765 F.2d 86, 88 (7th Cir.), cert. denied sub nom. Hyde v. Van Wormer, 474 U.S. 827, 106 S.Ct. 86, 88 L.Ed.2d 71 (1985); see also Link v. Wabash Railroad Co., 370 U.S. 626, 632, 82 S.Ct. 1386, 1389, 8 L.Ed.2d 734 (1962) (notice depends on the knowledge which the circumstances show such party to have of the consequences of his own conduct); but see Tom Growney Equipment v. Shelley Irrigation Development, Inc., 834 F.2d 833, 836 (9th Cir.1987) (notice requirement is not satisfied by the mere presence of Rule 11). When an attorney's conduct involves the submission of a dilatory argument or one without any basis in law, on the other hand, there must be specific notice of the reasons for contemplating sanctions. Veillon, 876 F.2d at 1202; Donaldson, 819 F.2d at 1560. Thus, due process does not require that notice be given to the offending party in every instance before a court can impose sanctions under Rule 11. Harmony Drilling Co., Inc. v. Kreutter, 846 F.2d 17, 19 (5th Cir.1988). 32 After it gives notice the court must also give the violating attorney an opportunity to respond to the possible sanctions. Veillon, 876 F.2d at 1202; Donaldson, 819 F.2d at 1560. This requirement does not require an elaborate or formal hearing. Donaldson, 819 F.2d at 1560; Oliveri v. Thompson, 803 F.2d 1265, 1280 (2d Cir.1986), cert. denied sub nom. Suffolk County v. Graseck, 480 U.S. 918, 107 S.Ct. 1373, 94 L.Ed.2d 689 (1987); Brown v. National Board of Medical Examiners, 800 F.2d 168, 173 (7th Cir.1986); see also Fed.R.Civ.P. 11 advisory committee's note (hearing mechanics should depend on the circumstances of the situation). Simply giving a chance to respond to the charges through submission of a brief is usually all that due process requires. Veillon, 876 F.2d at 1202; Donaldson, 819 F.2d at 1559-61; Brown, 800 F.2d at 173. 33 Here, Judge Black did not need to give any prior notice to Brown when he imposed sanctions for Brown's filing factually baseless Title VII and A.D.E.A. claims. He should, however, have given notice to Brown when he sanctioned him for his meritless Sec. 1981 claim and his insupportable Texas common law claim. Further, this court is troubled by Judge Black's failure to allow Brown any sort of hearing before he imposed sanctions. Nevertheless, Judge Black subsequently gave Brown a chance to explain his conduct and argue against the sanctions. After the initial $5,000 sanction was imposed, appellee filed a motion for further sanctions under Rule 11. The trial court allowed Brown to submit a brief in opposition to this motion in order to explain his conduct, and the subsequent award of $20,309.33 included the initial $5,000 sanction. Although giving the violator a hearing before the court imposes sanctions may be preferable, this court declines to adopt a per se rule mandating such a presanction hearing. 8