Legal Document

447 U.S. 752 100 Supreme Court Reporter 2455 65 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 488 ROADWAY EXPRESS, INC., Petitioner,v.Robert E. PIPER, Jr., et al. Number 79-701. Argued April 15, 1980. Decided June 23, Syllabus Respondents were counsel for the plaintiffs in a civil rights class action Federal District against petitioner alleging that its employment policies discriminated on basis of race. Because respondents failed to comply with orders relating discovery and filing briefs, moved dismiss suit requested an award attorney's fees court costs under Rule Civil Procedure 37. The dismissed prejudice ordered pay petitioner's entire lawsuit. found justification ruling confluence statutes, 42 Code KF62 §§ 1988, 2000e-5(k), which allow prevailing party recover "as part costs" litigation, 28 § 1927, permits tax excess "costs" proceeding lawyer "who so multiplies proceedings . as increase unreasonably vexatiously ." However, Appeals vacated remanded, holding not liable rejecting view statutes could be read into 1927. Held: 1. Title 1927 cannot support sanction taxing who extend proceedings, by defining term therein according including fees. Pp. 757-763. (a) It may assumed when first version was enacted 1813, Congress followed "American rule" ordinarily are among winning recover. In 1853 statute substantially re-enacted provisions now codified uniform, comprehensive measure setting all federal actions. history Act suggests should together currently 1920 which, without fees, enumerate taxed losing party. Moreover, offered no evidence intended incorporate fee do mention attorney liability 759-761. (b) statutory interpretation proposed introduce distinctions unrelated goal controlling abuses judicial processes. laws sensitive merits antidiscrimination policy, restrict recovery parties, have been construed treat defendants somewhat differently. contrast, does distinguish between winners losers or defendants, is indifferent equities dispute values advanced substantive law. construction would create unjustifiable two-tier system sanctions whereby lawyers cases brought permitting face stiffer penalties prolonging litigation than other attorneys. 761-763. 2. 37(b)'s failure orders, parties personally expenses, "including fees," must applied diligently both penalize those whose conduct deemed warrant such sanction, deter might tempted absence deterrent. National Hockey League versus Metropolitan Club, 427 639, 96 2778, 49 747. On remand, will authority act upon request 37(b). 763-764. 3. narrowly defined circumstances courts inherent power assess counsel. general rule litigant his but apply opposing has acted bad faith, faith litigation. court's over members bar, if it litigated certainly expenses willfully abuse this case, trial did make specific finding whether counsel's constituted tantamount precede any powers. 764-767. 5th Cir., 599 Reporter, 2nd 1378, affirmed remanded. M. Curtiss McKee, Jackson, Miss., petitioner. Herschel Richard, Shreveport, La., respondents. Harriet S. Shapiro, Washington, D. C., States, amicus curiae, special leave Court. Mr. Justice POWELL delivered opinion 1 This case presents question directly abused processes courts. 2 * 1975, two former employees one unsuccessful job applicant Roadway Express, Incorporated (Roadway). complaint filed Western Louisiana alleged Roadway's race, asked equitable relief.1 3 Counsel plaintiffs—Robert Piper, Frank Brown, Bobby Stromile—are present case. September served interrogatories Roadway. Having secured extension from Court, answered January 5, 1976, own set at same time. Thereafter, however, stalled respondents' uncooperative behavior. 4 13, order compelling answers interrogatories. motion argument morning 21, appear. They attend rescheduled hearing afternoon, Magistrate May 24. ignored deadline and, fact, never also notice take depositions three early May. One appear appointed days, he deposed. 5 showed greater respect requests their adversaries. 7, instructed sides file briefs evaluating impact recent decision related Although brief due within 10 nothing arrived six weeks. 19, gave additional days dismissal action. No ever submitted. 6 14, 37.2 costs. 30, heard prejudice. A second hearing, limited held October 1976. 7 Court's sharply criticized "deliberate inaction" handling Monk Inc., 73 F.R.D. 411, 417 (1977). Observing apparently had advised clients action, id., 414, 417, concluded "improvidently enlarged inadequately prosecuted" 417. As them total assessment exceeded $17,000. 1381 (CA5 1979). 8 several statutes. See 2000e-5(k). And ."3 Read together, concluded, authorize 9 Fifth Circuit clear error violated F.2d, 1381. appellate held, rejected can laws, wrote, "provide attorneys' awards suit, they focus actions frivolous, unreasonable baseless. 1383 (emphasis original). deals only involves remanded recalculation We granted certiorari, 444 1012, 659, 62 640 (1980). II problem what imposed proceedings.4 Two said case: considers provisions. 11 Section provides multiply assessed create. provision, define critical word. Only includes 12 Courts generally 1920, enumerates g., Ross, 535 346, 350 (CA6 1976); Kiefel Las Vegas Hacienda, 404 1163, 1170 (CA7 1968), cert. denied sub nom. Hubbard Kiefel, 395 908, 89 1750, 23 221 (1969). lists clerk's marshal's reporter charges, printing witness copying costs, interpreting court-appointed experts. "docket" 1923. $20. 1923(a). 13 insists, restricted listed 1920. argues since look determine taxable equally free involved emphasizes 2000e-5(k); 1988.5 Accordingly, asks we reinstate award. superficially appealing survive careful consideration. 14 1813. drafted Senate Committee "to inquire Legislative provision necessary prevent multiplicity suits processes, where single process suffice. 26 Annals Cong. 29 (1813). resulting legislation provided person "multiplied cause vexatiously" "any incurred." July 22, Statutes-at-Large 21. sparse legislative makes difficult interpret.6 15 construing "costs," contemporaneous understanding term. Cf. Gilbert 370 650, 655, 82 1399, 1402, 750 (1962). 1796 decided Arcambel Wiseman, Dall. 306, L.Ed. 613. That overturned ground "[t]he practice op[p]osition it." Ibid. Thus, recognized Fleischmann Distilling Corporation Maier Brewing Co., 386 714, 717-718, 87 1404, 1406-1407, 18 475 (1967). assume approved 1813 Act. 16 returned problems 1853, Feb. 26, 161, 162; see Alyeska Pipeline company Wilderness Society, 421 240, 251-253, 95 1612, 1618-1619, 44 141 (1975). Some survive, largely intact, 161-162, 168. earlier allows legal extra generate. remained basically unchanged 1853.7 17 integrated 1853. Erlenbaugh 409 239, 243-244, 93 477, 480, 34 446 (1972); 2A C. Sands, Sutherland Statutory Construction 51.03, Page 299 (4th ed. 1973). specified recoverable allowed most reasonable itself recovered Congress, course, amend derive Act.8 express modification beyond definition available material supports view. prescribed reasons authorized dilatory attorneys: "[T]o arising ingenious constructions discourage unnecessary prolixity, old useless forms, multiplication prosecutions better joined one." H.R.Rep.No.50, 32d Cong., 1st Sess., (1852); supra, S.Ct., 1618-1619. Above all, sought standardize treatment courts, "make uniform—make law explicit definite." 6. sponsor spoke need "uniform rule[s]," Cong.Globe, App. 207 (1853) (Sen. Bradbury), while Senators agreed designed impose "uniformity," 584 Bayard); 589 Geyer). 19 presses us abandon uniform approach suits, authorizing recoveries modify But offers Neither 1988 nor 2000e-5(k) identifies records meant control litigation.9 Without wished alter structure established Act, reluctant disrupt it. 719-720, 1407-1408. 20 runs counter apparent intent goal. Indeed, result virtually random application address 21 acutely policy. Unlike parties. addition, Prevailing win unless "special render unjust," Newman Piggie Park Enterprises, 390 400, 402, 88 964, 966, 1263 (1968) (per curiam ), defendant awarded plaintiff's underlying claim "frivolous, unreasonable, groundless." Christiansburg Garment EEOC, 434 412, 422, 98 694, 700, 54 648 (1978). distinction advances congressional purpose encourage victims discrimination deterring frivolous 22 losers, defendants. concerned limiting Dilatory practices objectionable adopt alternatives. normative considerations foreign enactment. Or select ad hoc features course fundamentally nature 1927; constitute standardless lawmaking. sanctions. number permit U.S., 260, n. 33, 1623, 33. Under There persuasive subjecting different areas differing conduct. commercial indication intent, hesitate reach imaginative outcome urged Roadway, particularly more plausible flows original enactments To avoid arbitrary results argument, Commissioner 380 563, 571, 85 1162, 1166, 75 (1965), citing Helvering Hammel, 311 504, 510-511, 61 368, 371, 303 (1941), reject supplant framework B 24 37(b) authorizes orders. bar disobedient introducing certain evidence, direct facts shall "taken purposes strike claims pleadings, even "dismiss judgment default party." 747 (1976) ); Dellums Powell, 184 U.S.App.D.C. 339, 566 231 Both caused orders.10 37 [and] deterrent." 643, 2781. 25 complied answer immediate dismissing F.R.D., exposed remand request. III contends proper exercise powers.11 powers "are others." Hudson, Cranch 32, 34, 259 (1812). prominent these contempt "which judge protecting orderly administration justice maintaining dignity Cooke 267 517, 539, 45 390, 395, 69 767 (1925); W. Blackstone, Commentaries *282-*285. shielded democratic controls, exercised restraint discretion. Gompers Bucks Stove & Range 418, 450-451, 31 492, 501-502, 55 797 (1911); Green 356 165, 193-194, 78 632, 648, 672 (1958) (Black, J., dissenting). ample grounds recognizing, 27 Link Wabash R. 626, 1386, 1389, 734 (1962), "well-acknowledged" levy response abusive practices. prosecute. Harlan wrote Court: "The because prosecute seriously doubted. invoke undue delays disposition pending congestion calendars Courts. ancient origin, having roots judgments nonsuit non prosequitur entered common law, e. (1768), 295-296, dismissals want prosecution bills equity, 451." Id., 629-630, 1388 (footnote omitted). 41(b) limits instances moves dismissal. wrote: sua sponte lack considered 'inherent power,' governed necessarily vested manage affairs 630, 1389. Since less severe outright dismissal, strongly contention here. 30 Of 257, 1621. faith. Alyeska, acknowledged "inherent power" "assess 'willful disobedience fine levied defendant[,] Toledo Scale Computing 261 399, 426-428, [43 458, 465-466, 67 719] (1923), [386 U.S.,] 718, [87 1407,] 'acted vexatiously, wantonly, oppressive .' KF105 F3 Rich [v. ex rel. Industrial Lumber Co.], [116], 129, [94 2157, 2165, 40 703] [(1974)] (citing Vaughan Atkinson, 369 527, [82 997, 88] (1962))." 258-259, 1622. 32 bad-faith exception " '[B]ad faith' found, led lawsuit, litigation." Hall Cole, 412 1, 1943, 1951, 36 702 (1973). Browning Debenture Holders' Comm. DASA Corp., 560 1078, 1088 (CA2 1977). coincides Link, merit, plaintiff pursue 33 least great litigants.12 If Renfrew, Discovery Sanctions: Judicial Perspective, Calif.L.Rev. 264, 268 (1979).13 Like sanctions, lightly fair opportunity record.14 IV affirm consider 37, addressed remand. Similarly, directions return consistent opinion. 35 So ordered. BLACKMUN, concurring dissenting part. N Dec. Immigration Nationality Decisions join except Part II-A thereof sentence thereof. 38 Essentially stated paragraphs respective opinions THE CHIEF JUSTICE STEVENS, II-A. add my concern analysis means imposition "excess" generated vexatiousness otherwise shifted client specialized (1975) (collecting statutes). penalizes innocent insulating wrongdoing attorney. result, view, clashes sense, basic fairness, plain meaning statute. Owen City Independence, 445 622, 654, 1398, 1417, 63 673 (1980) ("Elemental notions fairness dictate causes loss bear loss"). 122 Cong.Rec. 31832 (regarding 1988: "Mr. ABOUREZK. somebody thought, some going lot money bringing subject being penalized himself ; correct? HATHAWAY. Senator correct") added).1 39 Significantly policy inherent-power issue believe, marshals recognizing component American vexatious counsel.2 41 By terms, applies "cases States" "[a]ny attorney" "in case."1 language broad enough encompass racial employment. separate specifically kind litigation.2 like cost items, normally rather personally. seems me gives item proceedings. about fact standards allowing differ Ante, 762. simply understand relevance concern. obstreperous regardless prevails, long 43 states there "is justification" risk 763. made differently treated types determination, likely well paid conversely, misconduct conclusion subjects failing observe normal proprieties obtain anomalous. Ironically, rejects straightforward "would lawmaking" ante, 762, then, opinion, embarks venture surely fits description neatly. powers, gravest doubts damages litigant. out decide issue, presented certiorari petition. disagree discussion II-B respectfully dissent holding. 46 Chief BURGER, dissenting. 47 improper assessable respondent attorneys 48 attempt forced vexatious, tactics state misconduct. elsewhere assessable. correct include enumerated items. depends type involved. Hutto Finney, 437 678, 697, 2565, 2577, 57 522 (1978), noted "there large common-law situations allowable fees." footnote, observed: "In suits. Service 260-261, [95 33]. element others Compare 2000a-3(b) 216(b) (1970 ed., Supp. V)." 28, 28. 2000a-3(b), pertinent part, discretion "may .," whereas "allow defendant, action." Comparing sections here, fall category many words regard 1988. 695, 2576. statute, VII actions, enforce 1981, 1983, 1985, 1986, Sections party, instant Normally, finds increased "unreasonably vexatiously," empowers errant themselves occasioned happened 50 correctly point plaintiff, foundation. standard standard; multiplied vexatiously. Here, met. 51 Given disposition, issues today. initial named local International Brotherhood Teamsters defendant. "fails obey provide discovery;" 37(b)(2)(C) district "dismis[s] thereof, rende[r] 37(b)(2)(E) "require advising him full: "Any admitted Territory required satisfy costs." pointed out, "§ plaintiffs' behavior consequent 1979) Due sloth, inattention, desire seize tactical advantage, indulged Dickens, Bleak House 2-5 (1948). factors legitimately lengthen delays. Nevertheless, extended unnecessarily exploit procedures, especially liberal rules pretrial discovery. Burger, Agenda 2000 Atlantic D.—A Need Systematic Anticipation, 70 83, 95-96 (1976); ABA, Report Pound Conference Follow-Up Task Force, 74 159, 191-192 Dept. Justice, Ellington, Study Sanctions Abuse 117 (1979). glacial pace much breeds frustration ultimately, disrespect states: subchapter court, discretion, [Equal Employment Opportunity] Commission private person." relevant part: 1982, 1986 title, title IX Public Law 92-318, [to enforce] Internal Revenue Code, VI Rights 1964, For content. Lopez Arkansas County Independent School Dist., 570 541, 545 1978); Mid-Hudson Legal Services, G U, 578 37-38 1978). identical language, close connection S.Rep.No.94-1011, Pages 2-6 H.R.Rep.No.94-1558, 5-8 (1976), U.S.Code Admin.News, 5908. letter Secretary Treasury Representatives 1842 prompted Attorneys. H.R.Doc.No.25, 27th 3d 21-22 (1842). officers, piecework basis, lawsuits inflate compensation. portion 982 Revised Statutes, cost-setting portions included 823 824. positions 1923, 1948. (1946 II). example, 1978 added 1920(6) (1976 II), providing 95-539, 92 2044. considering expand "costs, H.R.4047, 96th Sess. (1979); S.390, accompanying bill "an Admin.News 5912 supplied). reference reinforces Stanziale First Bank, 557 (S.D.N.Y. 1977) (attorneys); Charron Meaux, 66 64 1975) (party); Chesa International, Limited Fashion Associates, 425 F.Supp. 234 (S.D.N.Y.), aff'd, 573 1288 (joint party). STEWART REHNQUIST Rather, substantial re Bithoney, 486 319, (CA1 1973); Flaksa Little River Marine Constr. 389 885, 888-889 (CA5), denied, 392 928, 2287, 1387 (1968); Gamble Pope Talbot, 307 729, 735-736 (CA3) (en banc) (Biggs, dissenting), Mahoney, 371 888, 83 187, 123 New York delay fines Moran Rynar, App.Div.2d 332 N.Y.S.2d 138 Kahn Stamp, 52 748, 382 199 Gillet Beth Israel Medical Center, 99 Misc.2d 172, 415 738 (Sup.Ct.1979). state-court cite holdings, relying favorable commentary Schwarz 384 833, 836 1967), suggested faced "of inexcusable neglect [should consider] imposing payable offending sanctioned mere negligence, addresses implications discussed Societe Internationale Rogers, 357 197, 208-212, 1087, 1093-1095, 1255 (1958), reversed order. concerns posed plainly assessing lawyers. supra. involve willful barred Swiss criminal complying 209, 211, 1094, 1095. regarding merit mention. reading concludes "a 'frivolous, groundless.' 762 added), statement troubling implications. First, seem pretermit goes length. Clearly, based during meritorious claim. latter fee-shifting "reasonable" place, predicate applying lacking, occasion construe provision. Second, questionable produce undesirable future cases. groundless" prosecuting colorable justify favor strong arguments am troubled reaches opposite explaining why. explore exception. Most significantly, permissibility new actually attributable culpable (i. e., "excess 1927). willing let instance 756,

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