General Order 12.9: Sua Sponte Imposition of Sanctions

a. Sanctions Imposed Against Counsel or a Party

Sanctions may be imposed against counsel or a party for conduct that violates the Federal Rules of Appellate Procedure, the Circuit Rules, orders or other instructions of the Court, the rules of professional conduct or responsibility in effect where counsel maintains his or her principal office or as authorized by statute. If sanctions appear to be warranted, the following procedures shall apply.

Any judge or an Appellate Commissioner may issue an order to show cause that directs a litigant to pay a sanction in the amount determined by the Court or to show cause why such sanctions would be unwarranted. The order shall state the grounds for such sanctions, the authority under which such sanctions are authorized, whether the sanction would be imposed against counsel, a party or both, and the date upon which a response shall be filed. Any reply to a response shall be filed within 10 days from service of the response. Upon review of the response and reply, if any, the judge or Appellate Commissioner may discharge the order or may refer the response to the merits panel or motions panel for a determination as to the propriety of sanctions. All dispositions in which orders to show cause have been issued shall specifically address any response or failure to respond to the order. (Rev. 12/13/10)

A motions or merits panel may issue an order to show cause that directs a litigant to pay a sanction in the amount determined by the Court or to show cause why such sanctions would be unwarranted. The order shall state the grounds for such sanctions, the authority under which such sanctions are authorized, whether the sanction would be imposed against counsel, a party or both, and the date upon which a response shall be filed. Any reply to a response shall be filed within 10 days from service of the response. Upon review of the response and reply, if any, the panel may deem the order to be discharged or may impose the sanction. (Rev. 12/13/10)

Any order relating to the sanction or discipline of any attorney shall be referred to an Appellate Commissioner so that the order can be entered into the Court’s internal attorney admissions and discipline database. This includes an order directing counsel to show cause why sanctions should not be imposed; an order discharging such an order to show cause; and an order imposing sanctions or discipline. (New 3/26/08; Rev. 9/17/14)

b. Court Reporter Sanctions

If a court reporter has failed to prepare previously designated transcripts, and has not responded to a prior warning order, the Clerk may prepare an order to show cause regarding sanctions for an Appellate Commissioner. Copies of the order shall be provided to the chief district judge, appropriate district court personnel, and the reporter regulatory agency. Upon review of the response, an Appellate Commissioner may either discharge the order or refer the response to a merits panel or motions panel for a determination regarding the imposition of sanctions.

When it comes to the attention of a motions panel that a reporter has failed to prepare previously designated transcripts, the panel shall order the reporter to show cause why sanctions should not be imposed or may refer the matter to the Clerk. If the motions panel orders the reporter to show cause, the panel shall review the response and shall either deem the order to be discharged or order the imposition of a fine.

When it comes to the attention of a merits panel that a reporter has failed to prepare previously designated transcripts, the panel shall order the reporter to show cause why sanctions should not be imposed. If the appeal is ordered off the calendar, the panel shall refer the matter to the Clerk. If the merits panel orders the reporter to show cause, the panel shall review the response and shall either deem the order to be discharged or order the imposition of a sanction. (Rev. 9/17/14)