Griffen v. City of Oklahoma City

3 F.3d 336, 1993 WL 299447
CourtCourt of Appeals for the Tenth Circuit
DecidedAugust 10, 1993
DocketNo. 92-6335
StatusPublished
Cited by25 cases

This text of 3 F.3d 336 (Griffen v. City of Oklahoma City) is published on Counsel Stack Legal Research, covering Court of Appeals for the Tenth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Griffen v. City of Oklahoma City, 3 F.3d 336, 1993 WL 299447 (10th Cir. 1993).

Opinion

BALDOCK, Circuit Judge.

The City of Oklahoma City (“the City”) appeals the district court’s denial of its motion for attorney fees, costs, and sanctions pursuant to Fed.R.Civ.P. 11, Okla.Stat.Ann. tit. 12, § 2011 (West 1993), and 28 U.S.C. § 1927. We have jurisdiction under 28 U.S.C. § 1291.

In 1991, Plaintiffs, employees and former employees of the Oklahoma City Jail, filed suit against the City in state court alleging negligent infliction of emotional distress, violations of the Emergency Planning and Community Right-to-Know Act, and violations of Occupational Safety and Health Act (“OSHA”) regulations. Plaintiffs also asserted claims under the Oklahoma Governmental Tort Claims Act, and the First, Fourth, Sixth, Eighth, and Fourteenth Amendments to the United States Constitution.1 In their complaint, Plaintiffs claimed that Defendant knew and concealed from them that the insulation on water pipes in the jail contained asbestos fibers. According to Plaintiffs, because Defendant’s actions were intentional, and because Plaintiffs were also exposed to asbestos while off duty, their action was outside the Oklahoma’s Worker’s Compensation [338]*338Act. Plaintiffs claimed that they experienced increased risk of cancer and other diseases, anxiety and mental ang-uish, injury to then-immune systems and diseases in latency stages, and fear of cancer as a result of then-alleged exposure to asbestos.

Based on the constitutional claims, the City removed the action to federal district court. The City then moved for summary judgment on all claims, and the district court granted the motion.2 After judgment was entered dismissing Plaintiffs’ action on the merits, the City filed a motion for attorney fees, costs, and sanctions pursuant to Rule 11 of the Federal Rules of Civil Procedure, Okla.Stat.Ann. tit. 12, § 2011 (West 1993), and 28 U.S.C. § 1927.3 The district court denied the City’s motion, stating:

Upon due consideration, the court, having intimate knowledge of the [case], concludes that Plaintiffs’ counsel did not violate Okla. Stat. tit. 12, § 2011 in filing the Petition in this matter. In addition, the court concludes that Plaintiffs’ counsel, in filing the other pleadings in this matter, did not violate Rule 11 of the Federal Rules of Civil Procedure and that his actions in this matter did not violate 28 U.S.C. § 1927. The court thus concludes that the imposition of sanctions is not appropriate.

The City appeals the district court’s denial of its motion for attorney fees, costs, and sanctions, claiming (1) the court abused its discretion in concluding that Plaintiffs’ counsel did not violate Fed.R.Civ.P. 11, and (2) the court abused its discretion in failing to find liability under 28 U.S.C. § 1927.

I.

Three separate issues arise in the context of the City’s Rule 11 argument. As a threshold matter, we must determine whether Plaintiffs or Plaintiffs’ counsel can be subject to Rule 11 sanctions based on Plaintiffs’ original complaint, which was filed in state court prior to removal to federal court. Second, we must determine whether the district court abused its discretion in failing to impose Rule 11 sanctions based on pleadings filed after removal. Finally, if Rule 11 sanctions are not appropriate based on Plaintiffs’ original complaint, we must decide whether the district court has the authority to impose sanctions for the filing of the original complaint based on Okla.Stat.Ann. tit. 12, § 2011 (West 1993), and, if so, whether the court abused its discretion in denying sanctions pursuant to § 2011.

A.

Federal Rule of Civil Procedure 11 provides in pertinent part:

Every pleading, motion, and other paper of a party represented by an attorney shall be signed by at least one attorney of record in the attorney’s individual name.... The signature of an attorney or party constitutes a certificate by the signer that the signer has read the pleading, motion, or other paper; that to the best of the signer’s knowledge, information, and belief formed after reasonable inquiry it is well grounded in fact and is warranted by existing law or a good faith argument for the extension, modification, or reversal of existing law, and that it is not interposed for any improper purpose.... If a pleading, motion, or other paper is signed in violation of this rule, the court, upon motion or upon its own initiative, shall impose upon the person who signed it, a represented party, or both, an appropriate sanction....

Fed.R.Civ.P. 11. From this language, it is apparent that the act of signing the pleading, motion, or other paper provides the certification that the action is not frivolous. See Dahnke v. Teamsters Local 695, 906 F.2d 1192, 1199 (7th Cir.1990); Oliveri v. Thompson, 803 F.2d 1265, 1274 (2nd Cir.1986) (en [339]*339banc), cert. denied, 480 U.S. 918, 107 S.Ct. 1373, 94 L.Ed.2d 689 (1987). Therefore, sanctions are only appropriate if a pleading, motion, or paper is signed in contravention of the Rule. Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 393, 110 S.Ct. 2447, 2454, 110 L.Ed.2d 359 (1990). A pleading or paper is signed in violation of Rule 11 only if the signer is subject to the Federal Rules of Civil Procedure at the time of the signing. Dahnke, 906 F.2d at 1199.

At the time a state court pleading is signed, the signer is not subject to the Federal Rules of Civil Procedure. See Fed.R.Civ.P. 1

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Bluebook (online)
3 F.3d 336, 1993 WL 299447, Counsel Stack Legal Research, https://law.counselstack.com/opinion/griffen-v-city-of-oklahoma-city-ca10-1993.