In thе course of litigation against the police of South Bend, Indiana, Romane Riekels served discovery requests оn Fara Evans, an attorney who had represented him in litigation against his former wife. The district court denied Riekels’ requests to subpoena Evans and to add her as a party, ruling that any dispute Riekels had with Evans is unrelated to his grievance against the police and lacks an independent basis of federal jurisdiction. Riekels persisted, serving additional discovery requests that drove Evans to seek a protective order, which the district judge granted. See Fed.R.Civ.P. 26(c). Next the judge awarded Evans $1,386.78 under Fed. R.Civ.P. 37(a)(4) for the expenses of obtaining the protective order. From this decision Riekеls appeals.
The appeal is foredoomed. Rule 37(a)(4) presumptively requires every loser to makе good the victor’s costs:
If the motion is denied, the court may enter any protective order authorized under Rule 26(c) and shall, after affording an opportunity to be heard, require the moving party or the attorney filing the motion or both of them to pay to the party or deponent who opposed the motion the reasonable expenses incurred in opposing the motion, including attorney’s fees, unless the court finds that the making of the motion was substаntially justified or that other circumstances make an award of expenses unjust.
“The great operative principle of Rule 37(a)(4) is that the loser pays.” Charles Alan Wright & Arthur R. Miller, 8
Federal Practice and Procedure
§ 2288 at 787 (1970).
A loser may avoid payment by еstablishing that his position was substantially justified. Appellate review of a decision that the position was not so justified is dеferential,
Pierce v. Underwood,
Evans (now represented by retained cdunsel) concludes her brief with a request for a remand so that the district court may award sanctions under Fed.R.Civ.P. 11 for what she characterizes as a frivolous apрeal. Rule 11 applies, however, only to litigation in the district court. Sanctions for frivolous appeals' are within the domain of Fed. R.App.P. 38.
Whether this appeal is frivolous matters only if the sum under Rule 37(a)(4) — “the reasonable exрenses incurred in opposing the motion, including attorney’s fees” — omits expenses incurred in obtaining and defending an award. If the district court had awarded sanctions under Rule 11, then the answer would be “yes.”
Cooter & Gell v. Hartmarx Corp.,
Rule 37(a)(4) is a fee-shifting rule. The winner is entitled to fees unless the opponent estаblishes that his position was “substantially justified.” This is the same formulation employed in the Equal Access to Justice Act, the fee-shifting statute in
Jean.
When construing the EAJA, the Court concluded that the victor is entitled to recoup his full outlay, including the fees incurrеd in seeking fees and defending an award on appeal. The only potential obstacle to treating Rule 37(a)(4) the same way the Supreme Court treated the EAJA in
Jean
is that Rule 37, like the other civil rules, applies only in the district courts.
Cooter & Gell
emphasized this when discussing the relation between Civil Rule 11 and Appellate Rule 38. See
If instead of pestering the victor with motions in the district court, the loser files equivalent documents in the court of aрpeals, the upshot should be the same. Under Rule
Affirmed AND RemaNded.
