Opinion for the Court filed by Circuit Judge GARLAND.
This is an appeal from an order imposing sanctions against an attorney under Rule 11 of the Federal Rules of Civil Procedure. A magistrate judge imposed the sanctions for statements that the attorney made in pleadings he filed on behalf of his client, the plaintiff in an employment discrimination suit. For the reasons stated below, we vacate the sanctions order.
I
Attorney John F. Karl, Jr.’s client, Theodore Lucas, was an employee in the Department of Education’s Office of Civil Rights. In 1998, Lucas applied for a promotion to a pоsition as a management and program analyst. At that time, he was 61 years old and had both a law degree and more than 25 years’ experience in civil rights enforcement. The promotion went
On November 16, 2001, Lucas sued the Secretary of Education under the Age Discrimination in Employment Act (ADEA), 29 U.S.C. §§ 621 et seq., alleging that he was denied the promotion because of his age. Pursuant to 28 U.S.C. § 636(c)(1), the parties consented to proceed before a United States magistrate judge for all purposes. Following discovery, the Department filed a Motion for Summary Judgment and a Statement of Material Facts Not in Dispute. The Department’s motion asserted that Berry’s selection was based principally on interviews with the candidates and that Berry had outperformed Lucas in those interviews.
Karl filed an opposition on Lucas’ behalf. The opposition consisted of the following: a 35-page memorandum, entitled Plaintiffs Opposition to Defendant’s Motion for Summary Judgment; a 104-para-graph document, entitled Plaintiffs Statement of Material Facts in Dispute and Material Facts Omitted by Defendant; an affidavit by Lucas; and numerous supporting exhibits. Lucas’ papers asserted that there was direct evidence of discrimination: he said that at his selection panel interview, the selecting official — Dr. Paul Fairley — called Lucas an “old timer” and told him, “[y]ou know what this is all about.” Pl.’s Statement of Material Facts in Dispute and Material Facts Omitted by Def. ¶ 78 [hereinafter Pl.’s Rule 7(h) Statement]. But Lucаs primarily relied on circumstantial evidence, including that he was substantially more qualified than Berry and that she had been preselected before the interviews. As to the latter, Lucas contended that there was evidence indicating that Berry had received interview questions in advance and had been coached regarding how to respond, and that Fairley had created after-the-fact interview notes to support the preordained result.
On September 28, 2004, the magistrate judge issued an order requiring Karl to show cause why he had not violated Federal Rule of Civil Procedure 11(b)(3). That rule obligates an attorney to certify as to any written submission that, “to the best of the person’s knowledge, information, and belief, formed after an inquiry reasonable under the circumstances: ... (3) the factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after a reasonable opportunity for further investigation or discovery.” Fed.R.CivP. 11(b)(3). The magistrate judge identified twelve statements in the papers Karl filed on behalf of Lucas that the judge believed ran afoul of Rule 11(b)(3). The order was issued sua sponte, without a motion from the defendant suggesting that there was a Rule 11 problem in the plaintiffs pleadings. Karl filed a response to the order to show cause on December 2, addressing each of the statements that the order had highlighted as problematic.
On January 10, 2006, the magistrate judge issued a Memorandum Opinion and Order, in which he accepted Karl’s explanation of a proofreading mistake in one of the twelve statements, but imposed sanсtions on the basis of the other eleven.
Lucas v. Spellings,
The magistrate judgе subsequently denied the Department of Education’s summary judgment motion, and the case went to trial. At the close of the bench trial, the judge ruled in favor of the Department, and the plaintiff has filed an appeal that brings before us the interlocutory rulings that preceded the court’s final judgment.
See Ciralsky v. CIA,
II
In
Cooter & Gell v. Hartmarx Corp.,
the Supreme Court held that appellate courts “should apply аn abuse-of-discretion standard in reviewing all aspects of a district court’s Rule 11 determination.”
Cooter & Gell
involved sanctions imposed by the court upon motion of the opposing party.
See
Fed.R.Civ.P. 11(c)(2). This case, by contrast, involves sanctions imposed by the court sua sponte, without motion of the opposing party.
See
Fed. R.CrvP. 11(c)(3). In recognition of thе unusual position of the trial court in such circumstances, serving at once as both prosecutor and judge, the circuit courts have utilized different linguistic formulations to express the same idea: when the trial court imposes sanctions sua sponte, the reviewing court should engage in “careful appellate review” to assess whether there was an abuse of discretion.
Young v. City of Providence ex rel. Napolitano,
Although both Karl and the Department of Education agree that this court should review the magistrate judge’s order for abuse of discretion with particular care,
see
Oral Arg. Recording at 32:15-32:30, they disagree as to the substantive standard that the judge should himself have applied. Karl notes that Rule 11(c)(2), which governs Rule 11 sanctions initiated upon a party’s motion, contains a “safe harbor” provision that permits the filer to avoid sanctions by withdrawing or correcting the challenged pleading within 21 days. Rule 11(c)(3), which governs sanctions imposed on the court’s own initiative, does not contain such a provision. In light of
Both sides have support for their positions in the case law.
4
We need not enter this debate, however, because the sanctions ordеr requires reversal regardless of which standard applies. As discussed below, the determination that the eleven statements violated Rule 11 was premised on two legal errors. And a trial court “necessarily abuse[s] its discretion if it base[s] its ruling on an erroneous view of the law.”
Cooter & Gell,
A
As the magistrate judge explained, the principal basis upon which he imposed sanctions was his finding that many of the eleven statements that Karl drafted were “classic examples of inferences disguised as statements of fact.”
Lucas,
[Tjhat a man walks into a room with a wet umbrella might permit the inference that the man was recently outside and that it was raining. It might also be true that the man decided to wash the umbrella. Given these facts, an advocate cannot first say “it was raining” but later, when challenged, explain that what was originally stated as a fact was actually only an inference that could have been drawn from the fact that the umbrella was wet. The statement, “it was raining” is objectively false. It asks the reader to believe that what is merely an inference that may be drawn from a set of facts is itself a fact.
Id.
at 12-13. Citing a Ninth Circuit decision, which in turn quoted a 1954 New Jersey Supreme Court opinion, the magistrate judge held that “[wjhen he is indulging, as he has every right to do, in inferences or reasoning from the facts, [an attorney] must say so.”
Id.
at 13
There is no basis in the text of Rule 11(b)(3) for the legal proposition that an attorney must separately identify “fact” and “inference.” The Rule merely requires an attorney to certify that the factual contentions in a paper he presents to the court “have evidentiary support.” Fed.R.Civ.P. 11(b)(3). “Inferences”— which are commonly described as “circumstantial evidence” — are as capable of providing evidentiary support as “facts”— which are commonly described as “direct evidence.”
6
See U.S. Postal Serv. Bd. of Governors v. Aikens,
It is also relevаnt that Karl filed his opposition to summary judgment pursuant to Local Rules 7(h) and 56.1. Those rules require that “[a]n opposition to such a motion shall be accompanied by a separate
There is, then, nothing in Rule 11 that required Karl’s pleadings to distinguish between direct and circumstantial evidence. Nor does judicial precedent require such a distinction. The quotation from the 1954 New Jersey Supreme Court opinion is inapplicable, as that court was applying canons of professional responsibility and not a Federal Rule.
See In re Greenberg,
In short, the basic legal premise upon which sanctions were imposed was incorrect. To take the magistrate judge’s example: If an attorney has evidence that a man “walked into a room with a wet umbrella” at a certain time, the attorney does have “evidentiary support” for the “factual contention” that “it was raining” at that time.
Id.
at 12.
10
He may not have proof
B
The magistrate judge also imposed sanctions on the premise that, when an attorney makes a factual contention, he must simultaneously disclose evidence that is contrary to that contention. The judge thought that Karl’s failure to do so violated Rule 11, notwithstanding that he did have affirmative evidentiary support for his contentions.
For example, as evidence to show that Berry’s promotion was not based on a fair competition, Karl stated: “Ms. Berry received the interview questions and coaching from [Management and Program Analyst] Art Besner prior to her interview.” Pl.’s Rule 7(h) Statement ¶ 85. In support, Karl cited evidence, which the magistrate judge described as follows:
Both Mr. Lucas and [fellow employee] Ms. Powell heard Ms. Berry thank Mr. Besner for giving her the interview questions prior to the interview and telling her how to prepare for the interview. Mr. Lucas heard Mr. Besner tell Ms. Berry that he “hoped” he “helped her” prepare for the interview, and Ms. Berry replied that he did, and “thank you very much.”
Lucas,
In a similar vein, Karl asserted that Berry had been preselected for the position before Luсas was interviewed.
See Goostree v. Tennessee,
Berry testified that during her interview, Fairley told her that the interviewing panel had selected her and that he then congratulated her. Karl then asked her: “So, presumably, he was telling you at that time you got the promotion.” Berry responded yes.
Lucas,
The magistrate judge also criticized Karl for asserting that “Dr. Fairley refused to respond to the interrogatories from [an] EEO investigator and refused to turn over the notes during the first stages of the administrative process.”
Lucas,
There is nothing in the text of Rule 11(b)(3) to suggest that any of these statements violated that rule. In each case, the “factual contentions” in Karl’s pleadings had “evidentiary support,” and that is all the rule requires.
See Navarro-Ayala v. Hernandez-Colon,
The pleading at issue here was an opposition to the defendant’s motion for summary judgment. The defendant’s motion asserted that “there is no genuine issue of material fact precluding the entry of judgment for defendant as a matter of law.” Def.’s Mem. in Supp. of Its Mot. for Summ. J. at 1. Under Local Rules 7(h) and 56. 1, Karl’s obligation in opposing the defendant’s motion was to file a separate statement “setting forth all material facts as to which it is contended there exists a genuine issue necessary to be litigated.” To do that, Karl was obliged to do no more than set forth facts in contravention of the defendant’s claims. The rules do not require him to rehearse the government’s evidence, and nothing in Rule 11 imposes that added burden. Nor could the omission of that evidence have been misleading to the reader. Many of the facts that the magistrate judge criticized Karl for failing to disclose in his opposition were contained in the government motion to which he was responding.
12
Cf. Stitt v. Williams,
Part of the problem may have been a misapprehension regarding the nature of the pleading that Karl filed on behalf of Lucas. At several points, the magistrаte judge proceeded as if it were Karl — rather than the defendant — who was asserting that “there was no genuine issue of material fact.”
Lucas,
Ill
We have examined each of the eleven statements at issue on this appeal. In light of the foregoing analysis, we conclude that none warranted the imposition of Rule 11 sanctions. Accordingly, the sanctions order is
Vacated.
Notes
. Appellant's brief represents that the District Court Committee on Grievances has advised Karl that the committee "decided, after careful review, that no further action is warranted as a result of the January 13, 2006 referral.” Appellant’s Br. 6 n. 3. The brief further represents that the D.C. Office of Bar Counsel has advised Karl that: (1) "Because you filed an appropriate pleading to challenge the defendant’s motion seeking to have your client's civil suit dismissed, we are unable to conclude by clear and convincing evidence that your conduct violated Rule 8.4(d)”; and (2) "there is insufficient evidence to support a finding that your conduct in drafting and filing the plaintiff’s opposition to the motion for summary judgment violated Rule 3.1.” Id.
. See Fed.R.Civ.P. 11, Advisory Comm. Notes (1993) ("Since show cause orders will ordinarily be issued only in situations that are akin to a contempt of court, the rule does not provide a ‘safe harbor’ to a litigant for withdrawing a claim, defense, etc., after a show cause order has been issued on the court’s own initiative.").
. See Fed.R.Civ.P. 11(b) (In presenting a pleading, an attorney certifies that “to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances," the factual contentions have evidentiary support.).
. Compare cases adopting the "akin to contempt" standard,
e.g., Kaplan,
. The magistrate judge quoted Karl's statements and then explained why he found that they improperly conflated inferences and facts. For example, Karl stated that "[e]xamination of the interview notes certainly supports a finding that Ms. Berry was given the interview questions” in advance.
. See Bar Ass’n of D.C., Standardized Civil Jury Instructions for the District of Columbia (rev. ed.2002) § 2.10 ("Direct evidence is the direct proof of a fact, such as the testimony of an eyewitness. Circumstantial evidence is indirect evidence of a fact which is established or logically inferred from a chain of other facts or circumstances.” (emphasis added)).
. Five of the sentences that the magistrate judge criticized were included in Karl’s Opposition memorandum, rather than in the Statеment, and hence arguably were not subject to Rule 7(h). Nonetheless, two of the five were followed by record citations, two referenced attached exhibits, and the last simply asserted a failure of explanation on the part of the agency.
. Also inapplicable are the other precedents the magistrate judge cited for the proposition that Rule 11 requires a lawyer to "distinguish a fact from an inference he seeks to press on the court."
Lucas,
. See Zaldivar v. City of Los Angeles, 780 F.2d 823, 829-30 (9th Cir.1986) ("Rule 11 is not a panacea intended to remedy all manner of attorney misconduct occurring before or during the trial of civil cases.”).
.
Cf.
Standardized Civil Jury Instructions for the District of Columbia § 2.10 ("For example, direct evidence of whether an animal was running in the snow might be thе testimony of a person who actually saw the animal in the snow. Circumstantial evidence might be the testimony of a person who saw the tracks of the animal in the snow, rather than the animal itself.... The law makes no distinction
. In his deposition, Lucas testified that he overheard a conversation in which Besner asked Berry, "Did the material or did the questions help you in the interview[?]” Lucas Dep. 142 (Dec. 20, 2002); see also id. at 143-44. Powell's sworn declaration states that she overheard a conversation between Besner and Berry in which, "Ms. Berry thanked Mr. Besner for his assistance in giving her the information he had given to her prior to the interview and telling her what to study and how to prepare for the interview.” Powell Decl. ¶ 13 (Dec. 6, 1999).
. See, e.g., Def.’s Mem. in Supp. of Its Mot. for Summ. J. at 25-30 (regarding plaintiff's claim that Berry received the questions and coaching prior to her interview); id. at 5 (regarding plaintiff's claim that Berry was preselected before Lucas was interviewed).
. There was one exception, which Karl made clear. He did seek "partial summary judgment” for plaintiff on a single point: he asked the court to rule that Fairley's comment — that Lucas wаs an "old timer” — was direct evidence of age discrimination. PL’s Opp’n to Def.’s Mot. for Summ. J. at 33.
. In a footnote, the Department agrees that Karl did not assert that the "Material Facts in Dispute” listed in the first half of the Rule 7(h) Statement were undisputed, but claims that he did make that assertion about the "Material Facts Omitted by Defendant” listed in the Statement’s second half. Appellee's Br. 46 n. 15. That is incorrect. The pleading neither suggested that plaintiff believed those material facts were undisputed, nor sought (rather than opposed) summary judgment based upon them.
