Federal Judges Have Few Concerns About "Frivolous" Lawsuits

The great majority of recently surveyed federal judges affirm the benefit of Rule 11 as it stands; say groundless litigation is not a problem in their courts.

What is Rule 11?

Rule 11 of the Federal Rules of Civil Procedure provides penalties for filing groundless or abusive lawsuits and tactics in the federal courts. Parties who violate Rule 11 can avoid penalties by correcting their actions within a "safe harbor" period of 21 days, and the rule leaves the final decision on whether to impose penalties to the discretion of the judge.

Efforts to change Rule 11 were made in Congress in 2004 and will come up again this year. Some of the changes urged would eliminate the judge's discretion and make penalties for violations mandatory. These attempts at change have been made without asking federal trial court judges—who actually do the work of the federal court system—if there is a problem of frivolous litigation in their courts. Had anyone spoken to them, they would find that federal trial court judges do not want to go back to an old version of Rule 11 being advocated by some lawmakers.

Judges: No Problem with Groundless Litigation

Researchers at the Federal Judicial Center—the research and educational arm of the federal judiciary—conducted a national survey of federal judges to obtain their views on how well Rule 11 works presently. The Center sent questionnaires to 400 federal district judges, and 70% responded. Half had been serving for more than 14 years, and half for shorter periods. Over half were appointed by republican presidents.

Little problem with groundless litigation.
The survey first asked judges about any problems they have with such litigation. The Center's report of its survey states that 85% of the respondents described groundless litigation in their courts as "no more than a small problem."

Rule 11 works well in its present form.
The judges were also asked whether Rule 11 is needed, and whether it should be modified, as the Republican majority in Congress wants. Over 80% of the responding judges indicated that "Rule 11 is needed and it is just right as it now stands." As a mechanism for dealing with groundless litigation, 87% preferred the present version over either a version that was in effect until 1993 or the legislation proposed in 2004. The Administrative Office of the United States Courts reports that federal judges have not requested any amendments to Rule 11 since 1993.

May 13, 2005