Ridge v. United States Postal Service

154 F.R.D. 182, 1992 U.S. Dist. LEXIS 2958, 1992 WL 565343
CourtDistrict Court, N.D. Illinois
DecidedMarch 9, 1992
DocketNo. 90 C 4729
StatusPublished
Cited by3 cases

This text of 154 F.R.D. 182 (Ridge v. United States Postal Service) is published on Counsel Stack Legal Research, covering District Court, N.D. Illinois primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ridge v. United States Postal Service, 154 F.R.D. 182, 1992 U.S. Dist. LEXIS 2958, 1992 WL 565343 (N.D. Ill. 1992).

Opinion

MEMORANDUM OPINION AND ORDER

ASPEN, District Judge:

Defendant National Association of Letter Carriers, AFL-CIO (“NALC”) has filed a motion for Rule 11 sanctions against plaintiff Cusandra Ridge and her attorneys. For the reasons set forth below, we grant the motion in part, and enter sanctions against Ridge’s attorneys.

I.

Ridge is a former employee of defendant United States Postal Service (“Postal Service”). She was terminated for allegedly destroying mail by disposing of it in a trash bin without authorization. Ridge subsequently filed a grievance protesting her dismissal. An arbitration hearing was held in accordance with the grievance procedure under the collective bargaining agreement between the Postal Service and NALC. Ridge was represented at the hearing by a NALC representative. The arbitrator determined that Ridge’s discharge was for just cause and denied reinstatement and back pay.

Ridge brought suit against the Postal Service, NALC, and arbitrator William F. Dolson under 9 U.S.C. § 10 (1988). She sought to have the arbitrator’s award vacated, claiming that Dolson “so imperfectly executed his powers that a mutual, final and definite award on the subject matter submitted was not made.” Complaint ¶ 11. Ridge specifically alleged that certain exculpatory evidence was not introduced at the hearing. Id. ¶ 12. Before the adjudication of any pretrial motion pending before us, Ridge voluntarily dismissed her suit.

Prior to Ridge’s voluntary dismissal, NALC filed the instant motion for sanctions. NALC contends that Ridge’s suit was entirely without merit, and that it was not well-grounded in fact or warranted by existing Seventh Circuit precedent. We agree.

II.

A.

Federal Rule of Civil Procedure 11 provides, in relevant part, that the signature of a party’s attorney certifies 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, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.... 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, which may include an order to pay to the other party or parties the amount of the reasonable expenses in[184]*184eurred because of the filing of the pleading, motion or other paper, including a reasonable attorney’s fee.

Fed.R.Civ.P. 11. Under the rule, if an attorney files a pleading which is not reasonably based in fact or on the law, or is meant to harass, the court “shall impose ... an appropriate sanction____” Id. (emphasis added); see also Brown v. Federation of State Medical Bds. of the United States, 830 F.2d 1429, 1433 (7th Cir.1987) (“shall” in Rule 11 equivalent to “must”); Szabo Food Serv., Inc. v. Canteen Corp., 823 F.2d 1073, 1082 (7th Cir. 1987) (same), cert. denied, 485 U.S. 901, 108 S.Ct. 1101, 99 L.Ed.2d 229 (1988).

The applicable standard in a Rule 11 inquiry is whether the conduct in question was reasonable “under the circumstances.” Business Guides v. Chromatic Communications Enters., Inc., 498 U.S. 533, 111 S.Ct. 922, 933, 112 L.Ed.2d 1140 (1991); see also Dreis & Krump Mfg. Co. v. International Ass’n of Machinists & Aerospace Workers, Dist. No. 8, 802 F.2d 247, 255 (7th Cir.1986). This is an objective standard; “[sjubjeetive bad faith is no longer the crucial inquiry.” Brown, 830 F.2d at 1435.

There are two grounds for sanctions within Rule 11. The first is the “frivolousness clause,” which is composed of two sub-parts: (1) whether the party has made a reasonable inquiry into the governing law, and (2) whether a party has made a reasonable inquiry into the facts of the case. Id.; Zaldivar v. City of Los Angeles, 780 F.2d 823, 830 (9th Cir.1986). A violation of either subpart constitutes a Rule 11 violation. Brown, 830 F.2d at 1435.

Our consideration of the reasonableness of the party’s inquiry into the applicable law should include “the amount of time the attorney had to prepare the document and research the relevant law; whether the document contained a plausible view of the law; the complexity of the legal questions involved; and whether the document was a good faith effort to extend or modify the law.” Id.; see also Advisory Committee Note, 97 F.R.D. 198, 199 (1983).

In determining the reasonableness of the party’s inquiry into the facts of the case, we may consider

whether the signer of the documents had sufficient time for investigation; the extent to which the attorney had to rely on his or her client for the factual foundation underlying the pleading, motion, or other paper; whether the case was accepted from another attorney; the complexity of the facts and the attorney’s ability to do a sufficient pre-filing investigation; and whether discovery would have been beneficial to the development of the underlying facts.

Brown, 830 F.2d at 1435; see also Advisory Committee Note, 97 F.R.D. at 199.

The second ground for imposing Rule 11 sanctions is the “improper purpose” clause, which provides that a party may not use a pleading, motion, or other paper “for purposes of delay, harassment, or increasing the costs of litigation.” Brown, 830 F.2d at 1436; Zaldivar, 780 F.2d at 831. Under this analysis, the Rule is analogous to the common law torts of abuse of process, based on the filing of objectively frivolous suits, and malicious prosecution, based on the filing of a colorable suit in order to impose expense on the defendant. Szabo Food 823 F.2d at 1083.

B.

We find that sanctions are warranted against Ridge’s attorneys under both prongs of the frivolousness clause. Ridge’s pleadings indicate a near-complete lack of understanding of the law applicable to vacating an arbitrator’s labor grievance decision. In this circuit, it is well-settled that individual employees have standing to challenge an arbitration award only on the grounds of fraud, deceit, or breach of the union’s duty of fair representation. Shores v. Peabody Coal Co., 831 F.2d 1382

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154 F.R.D. 182, 1992 U.S. Dist. LEXIS 2958, 1992 WL 565343, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ridge-v-united-states-postal-service-ilnd-1992.