Harrell v. United States

117 F.R.D. 86, 8 Fed. R. Serv. 3d 1139, 1987 U.S. Dist. LEXIS 10311
CourtDistrict Court, E.D. North Carolina
DecidedSeptember 10, 1987
DocketNo. 86-62-CIV-7
StatusPublished
Cited by12 cases

This text of 117 F.R.D. 86 (Harrell v. United States) is published on Counsel Stack Legal Research, covering District Court, E.D. North Carolina primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Harrell v. United States, 117 F.R.D. 86, 8 Fed. R. Serv. 3d 1139, 1987 U.S. Dist. LEXIS 10311 (E.D.N.C. 1987).

Opinion

ORDER

WALLACE W. DIXON, United States Magistrate.

This matter is before the court on the government’s motion to reconsider this court’s order of August 21, 1987, sanctioning defense counsel for his failure to attend a scheduled final pre-trial conference in the case sub judice in Wilmington and ordering the payment of a $100 fine as well as plaintiff’s costs incurred.1 Upon thorough review of defendant’s motion, memorandum of law, affidavits, and the record, the court is convinced that the order should be modified. However, in reaching this conclusion, the court will address the arguments raised by counsel in the motion.

The government initially argues that the $100.00 sanction was impermissibly punitive and, for it to be imposed, counsel must first be found in criminal contempt of court which he was not. This argument is merit-less. Direct authority for imposition of the [88]*88sanction issued is found in Fed.R.Civ.P. 16(f):

If a party or party’s attorney fails to obey a scheduling or pretrial order, or if no appearance is made on behalf of a party at a scheduling or pretrial conference, or if a party or party’s attorney is substantially unprepared to participate in the conference, or'if a party or party’s attorney fails to participate in good faith, the judge, upon motion or the judge’s own initiative, may make such orders with regard thereto as are just, and among others any of the orders provided in Rule 37(b)(2)(B), (C), (D). In lieu of or in addition to any other sanction, the judgment shall require the party or the attorney representing the party or both to pay the reasonable expenses incurred because of any noncompliance with this rule, including attorney’s fees, unless the judge finds that the noncompliance was substantially justified or that other circumstances make an award of expenses unjust, (emphasis added).

Thus, Rule 16(f), as amended in 1988, expressly provides for the imposition of sanctions. It lists four kinds of behavior that will trigger such an order: (1) a party’s or an attorney’s failure to obey a scheduling or pre-trial order; (2) an attorney’s or a party's failure to appear at a pre-trial conference; (3) being substantially unprepared to participate in a pre-trial conference; and, (4) failure to participate in good faith. The references to specific sanctions in Rule 16(f) are not exhaustive. Wright, Miller and Kane, Federal Practice & Procedure: Civil § 1524 (1986 Supp.). The Advisory Committee Notes to the Rule indicate that the imposition of sanctions is meant to “[reenforce] the rule’s intention to encourage forceful judicial management.” Accordingly, the court should design an appropriate sanction to fit the violation. Id. As the Notes state, “the court has discretion to impose whichever sanction it feels is appropriate under the circumstances.”

Unlike Rule 11, for example, Rule 16 proscribes certain acts regardless of purpose. Failure to attend a scheduled pre-trial conference falls within this category. Improper motive, bad-faith, even reckless behavior, is not a prerequisite for finding a violation of the Rule. So long as the court is convinced counsel or his office received proper and timely notice, a negligent failure to attend the scheduled conference amounts to a violation of the Rule.

Reasonable fines have long been considered an appropriate sanction in federal courts in general, and this district specifically, for counsel’s failure to attend scheduled conferences with and hearings in the court. Defendant argues that the imposition of any fine is punitive and may only be ordered in conjunction with a finding of criminal contempt. This argument severely misconstrues the nature of and reason for imposition of a fine such as the one at bar.

The mere fact that counsel is fined does not inexorably lead to the conclusion that the court has imposed punishment. See United States v. Salerno, — U.S. —, 107 S.Ct. 2095, 2101, 95 L.Ed.2d 697 (1987). To determine whether the court’s action constitutes impermissible punishment or simply permissible regulation, the intent of the action and its statutory predicate must be examined. Id. Unless Congress in the statute and the court by its action expressly intended to impose punitive restrictions, the punitive/regulatory distinction turns on “whether an alternative purpose to which [the action] may rationally be connected is assignable first, and whether it appears excessive in relation to the alternative purpose assigned [to it].” Id. quoting Kennedy v. Mendoza-Martinez, 372 U.S. 144, 168-69, 83 S.Ct. 554, 567-68, 9 L.Ed.2d 644 (1963).

Here, Rule 16(f) clearly is designed to assist the court in “forcefully managing” the directive of amended Rule 16 to render the final pre-trial conference an effective and efficient pre-trial management tool. The 1983 amendments to Rule 16 attempt to make it more responsive to the needs of modern litigation. And, counsel’s presence at the final pre-trial conference was considered imperative by the Rule’s drafters if the goals of improving the quality of trial, [89]*89facilitating settlement and discouraging wasteful pre-trial and trial activities were to be obtained. Rule 16(f) simply provides a series of alternatives from which the court may choose to regulate the conduct of counsel and the parties during this process. The rule was not formulated with punitive intent, rather it was perceived as a necessary component within a series of amendments designed to serve a pressing procedural problem in the federal courts.

In the case at bar, I fully recognize that counsel’s failure to attend the scheduled conference was not deliberate or even reckless. But, the thrust of the rule seeks to enable the court to effectively and forcefully manage its docket for the accomplishment of the salutary objection of the expeditious administration of justice. Thus, the rule provides methods for the regulation of parties and attorneys and provides remedial means for the court to achieve that end. Fines as a sanction for the failure to attend a scheduled pre-trial conference are clearly contemplated among those remedial actions made available through Rule 16.

Counsel next argues that imposition of the fine violated due process because he was afforded no opportunity to be heard and present evidence. The court disagrees. Unlike Rule 37, Rule 16(f) does not by its terms require any hearing prior to the imposition of sanctions. However, even construing the Rule as regulatory and not punitive, I generally agree with defendant that sanctions should not issue absent notice and an opportunity to be heard. See Ford v. Alfaro, 785 F.2d 835 (9th Cir.1986). Although perhaps the court could have procedurally handled the matter at bar in a more efficient manner, counsel has now been provided notice and an ample opportunity to be heard. First, prior to the issuance of the written order in this case, counsel was notified orally by the court at the rescheduled pre-trial conference in Fayetteville that such an order was likely forthcoming. The decision to enter such an order was not made until after the court reviewed the record and discussed counsel’s absence with him on the telephone the day after the scheduled Wilmington conference.

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117 F.R.D. 86, 8 Fed. R. Serv. 3d 1139, 1987 U.S. Dist. LEXIS 10311, Counsel Stack Legal Research, https://law.counselstack.com/opinion/harrell-v-united-states-nced-1987.