Opinion ID: 2008593
Heading Depth: 2
Heading Rank: 3

Heading: The Necessity of a Hearing on Remand

Text: While Rule 11 procedures must comport with due process, a hearing is not required in every case. E.g., Donaldson v. Clark, supra note 5, 819 F.2d at 1558-1561 & n. 13 (citing cases); see also SANCTIONS, supra at 292-295, 298-299; MOORE'S FEDERAL PRACTICE, supra, ¶ 11.02[4], at 11-26 & n. 4; Vairo, supra, 118 F.R.D. at 222-223. As the Advisory Committee Note states: The particular format to be followed should depend on the circumstances of the situation and the severity of the sanction under consideration. In many situations the judge's participation in the proceedings provides him with full knowledge of the relevant facts and little further inquiry will be necessary. To assure that the efficiencies achieved through more effective operation of the pleading regimen will not be offset by the cost of satellite litigation over the imposition of sanctions, the court must to the extent possible limit the scope of sanction proceedings to the record. 97 F.R.D. at 201; accord, e.g., Donaldson v. Clark, supra note 5, 819 F.2d at 1560-1561; Oliveri v. Thompson, 803 F.2d 1265, 1280 (2d Cir.1986); cert. denied, 480 U.S. 918, 107 S.Ct. 1373, 94 L.Ed.2d 689 (1987); see also Thomas v. Capital Security Services, Inc., supra note 4, 836 F.2d at 883. Three factors necessitate a hearing in this case. First, the record suggests that at least one judge (Judge Weisberg) found some of Montgomery's papers sufficient, but that these same papers were later found by another judge (Judge Goodrich) to warrant sanctions. That inconsistency must be resolved and explained. Second, the amount of the sanction imposed in relation to the amount in controversy was unusually high, more than one-third of the judgment, which prompts a reviewing court at least to raise an eyebrow. Third, and most significantly, the judge who imposed the sanction neither tried the case nor considered any other aspect of it; consequently, this is not a case in which the judge's participation in the proceedings provide[d] him with full knowledge of the relevant facts, making further inquiry unnecessary. Advisory Committee Note, supra, 97 F.R.D. at 201. [6] We suggest to the trial court that, in the future, any motion for Rule 11 sanctions be referred routinely to the judge who tried the case or otherwise rendered a decision on the merits ( e.g., by granting a motion for summary judgment). That judge is uniquely able to decide whether the motion calls for a hearing or whether it can be denied (or granted) on the spot. Had the motion in this case gone to Judge King instead of Judge Goodrich, we might not even have this appeal before us.