Adversarial Justice, Professional Responsibility, and the New Federal Discovery Rules
Linda S. Mullenix
This Article discusses the controversy surrounding the 1993 civil rule revisions to the Rule 26(a) provision requiring early mandatory disclosure of discovery information. The Article looks at criticisms that the new Rule 26(a) creates a tension with lawyer’s professional responsibility obligations and therefore that the Rule will undermine, if not radically alter, the traditional American system of adversarial justice. However, the Article argues that these criticisms are overblown. The Article concludes that the revisions to Rule 26(a) should not radically alter professional responsibility duties or the adversary system.
I. Introduction
Hypothetical Rule 1. Scope and Purpose of Rules
These rules govern the procedure in the United States district courts
in all suits of a civil nature whether cognizable as cases at law or
in equity or in admiralty, with the exceptions stated in Rule 81.
Except to the extent otherwise stipulated or directed by order or
local rule, they shall be construed and administered to secure the
just, speedy, and inexpensive determination of every action.
This Article examines a much exploited aspect of Rule 26: n1 Its
explicit authorization for both federal district courts and practitioners to
abrogate its provisions either wholesale by local rule or on a case by case
basis. n2 While this aspect of Rule 26 bears some resemblance to other Rules,
n3 it is unprecedented in authorizing each federal district court to excuse all
attorneys within the court's jurisdiction from many of the obligations Rule 26
imposes, particularly that of mandatory early disclosure. n4
Historically, a set of uncontroversial principles guiding procedural
decisionmaking would certainly have included the goal of uniformity in national
procedure. n5 While many recent articles demonstrate the gap between uniformity
as a goal and a practice, n6 I nevertheless find startling the explicit
rejection of the uniformity principle in the text of a civil rule regulating
lawyers' work. I find this abandonment especially surprising with respect to
Rule 26(a)(1) because it suggests a lack of commitment by the Advisory Committee
to a controversial rule and because it represents starkly the lack of consensus
about even the most fundamental aims of our procedural system. n7
In this Article, I examine the Advisory Committee's justification for
allowing local courts to reject a national procedural rule. Although I
acknowledge the validity of some of the Committee's concerns, I recommend a more
cautious and nationally uniform solution. We need a deeper understanding of
when, if ever, such "local option rules" are appropriate and what we can expect
them to accomplish. Ultimately, we can only achieve this understanding by
acquiring a coherent vision of the goals of our national procedural system.
II. Advisory Committee Justification for Optional Rules
The Advisory Committee's Notes advance a number of explanations for allowing
local courts to "exempt all or particular types of cases from these disclosure
requirements or to modify the nature of the information to be disclosed." n8
First, the Advisory Committee suggests that mandatory disclosure might be
inefficient in particular categories of cases. n9 Thus, it invites courts to
identify classes of cases "in which discovery would not be appropriate or would
be unlikely." n10 The Committee points to social security review and government
collection cases as examples of these classes of cases. n11
The suggestion that courts can locally identify categories of cases for which
abbreviated procedures suffice is not unique to Rule 26. For example, Rule 16(b)
allows local courts to identify case categories for exemption from the
scheduling order requirement, n12 just as Rule 26 permits local courts to
identify categories of cases in which the cost of compliance with an
across the board disclosure requirement would outweigh the benefits. n13
The decision to leave the selection of case categories to local
courts is "a curious provision" n14 in light of both past experiences with Rule
16(b) and the differences between management and discovery. After examining
local rules that exempt case categories under Rule 16(b), I am unconvinced that
local identification of categories under that Rule is necessary. Most courts
agree about exempted case categories under Rule 16(b) n15 and the exceptions to
this consensus are not obvious candidates for exclusion under the Advisory
Committee's rationale of exempting cases based on simplicity of issues. n16 Nor
do all courts share the Advisory Committee's reasoning for exclusion. For
instance, one court implemented broad rules that categorically exclude complex
cases. n17
Experience under Rule 16 suggests two lessons for Rule 26. First, even with
some guidance on operative principles for exclusion under Rule 16(b), courts can
make idiosyncratic choices that may well reduce the usefulness of the Rule.
Thus, the bare bones cost benefit analysis suggested in the Advisory Committee's
Notes to Rule 26 is unlikely to ensure that local courts will be able to
identify those categories of cases if they exist that do not require
discovery. n18 Second, the consensus that eventually developed under Rule 16(b)
suggests that the Committee itself could identify categories for exclusion on a
principled basis rather than leaving category selection
to the individual court. If the Committee's understanding of the needs
of Social Security cases leads it to believe those cases should be excluded from
mandatory disclosure requirements, as suggested in the Notes, n19 why should it
make any difference whether the case is filed in Maryland or in Georgia? Facing
this issue at the national level, rather than leaving it to local courts, would
increase the likelihood that the problems of cost and delay that the Rule was
intended to alleviate would be addressed in a coherent fashion by a group with
the broad perspective and the resources to determine prudently which kinds of
cases would not benefit from early disclosure. It is unclear how local courts
are supposed to identify these categories, or why they should be required to do
so. n20
My skepticism regarding local courts' ability to make these determinations on
a consistent basis is compounded by the differences between discovery and
scheduling. Discovery, and mandatory disclosure in particular, differs from
scheduling in its greater potential to impose costs on litigants. It is
disturbing that local courts must identify categories of litigants who will be
spared these potential costs with no more guidance than a statement about
cost benefit calculations. n21 Mandatory disclosure may decrease costs, as its
proponents hope, n22 or it may increase costs, as its critics fear. n23 But I
see no basis for allowing local autonomy on the
question of which categories of litigants will ultimately discover the
truth. n24
The complexity of the case also affects discovery differently than it affects
scheduling. The Advisory Committee's Notes to Rule 26(a)(1) suggest that in
permitting local courts to identify categories for exclusion the Committee was
again considering only the simple case. n25 So while the disclosure
requirements seem tailored for the simple case, critics claim that the
requirements are the most problematic in the complex case. n26 Yet one court
attempting to identify case categories did so for inclusion in disclosure
requirements rather than exclusion; that court chose medical malpractice,
personal injury, employment discrimination, and civil RICO n27 claims,
n28 all of which can be quite complex.
In addition to allowing courts to excuse categories of cases from mandatory
disclosure, Rule 26 permits courts to reject the disclosure requirements
altogether. n29 The Committee justifies this provision by noting the need to
accommodate different disclosure requirements adopted by some courts as part of
their Civil Justice Expense and Delay Reduction Plans n30 under the Civil
Justice Reform Act (CJRA). n31 The exemption is ironic, for while many courts
adopted disclosure provisions in their Plans, the majority modeled their
provisions after a version of the disclosure requirement that was advanced, and
later rejected, by the Advisory Committee. n32 Thus,
the exemption exists to protect courts that adopted a provision that the
Committee itself rejected.
However, it is not obvious that the CJRA ever authorized courts to adopt
mandatory disclosure provisions. That statute authorizes "encouraging
cost effective discovery through voluntary exchange of information among
litigants and their attorneys and through the use of cooperative discovery
devices." n33 To consider this language authority to create mandatory discovery
devices conflicts with the statute's language, which encourages voluntary
efforts. n34 I have argued elsewhere that the CJRA was generally not intended
to supersede the Federal Rules of Civil Procedure and that mandatory disclosure
is a dramatic departure from the Rules' previous structure of attorney initiated
discovery. n35 Thus, I do not believe that the accommodation in Rule 26(a)(1)
was required. n36
Be that as it may, the Advisory Committee does not limit its
permission to abrogate Rule 26(a)(1) to districts with alternative disclosure
requirements in place under the CJRA; n37 furthermore, the power to "opt out"
of the mandatory disclosure provisions has not been used only by those
districts. n38 The Committee advances no explanation for allowing courts
without alternative provisions to reject the Rule. n39 Courts are presumably
free to reject Rule 26 for any reason at all.
Providing local courts with independence on the issue of compliance with
mandatory disclosure raises serious problems of fairness and administration.
District wide exemptions allow litigation advantages and costs to be unevenly
distributed based solely on where filing is available in any given case. While
it is certainly true that there are always advantages to filing or defending a
lawsuit in one place rather than another, one goal of the federal procedural
system ought to be to eliminate regional procedural differences as sources of
strategic advantage. Moreover, attorney uncertainty about responsibilities under
this decentralized system has never been higher. n40 Different districts within
the same state follow different rules on basic discovery obligations, n41 and
variants often trivial variants of the disclosure requirements abound.
n42 Within this confusing patchwork, sanctions for failure
to comply with disclosure obligations are quite stiff and include such
measures as the suppression of evidence. n43
Thus, whether one agrees or disagrees with the wisdom of mandatory
disclosure, there is little systemic benefit to be gained by allowing local
decisions about whether to require compliance with Rule 26. Local independence
increases uncertainty and creates opportunities for procedural gamesmanship
without providing corresponding benefits for the goal of deciding cases on their
merits.
III. When Are Local Options Appropriate?
Given the attention focused on discouraging local deviations from the Federal
Rules of Civil Procedure in the last ten years, n44 and given the problems with
the procedural variations spawned by Rule 26, is it ever appropriate to permit
local courts to abrogate a national procedural rule?
Advocates for uniform procedure argue that a unified system decreases
litigation costs and improves access to courts by allowing attorneys to master
one body of procedural law. Uniformity also reduces surprise and encourages
deciding cases on their merits. n45 As a general matter, it is difficult to
argue that the advocates of such a position are wrong. Moreover, most procedural
rules implement value choices of consequence to the participants in a lawsuit;
witness
the tremendous battle regarding mandatory disclosure, fought over
disagreements about the nature of a lawyer's duty to her client, the amount of
"adversariness" that is optimal in our system, and the best way to uncover the
truth in a contested matter. n46
Therefore, answering the question of whether local option rules are justified
requires a sensitive evaluation of the underpinnings and goals of a particular
rule in the context of the system in which it appears. We need to explore
aspects of the system that might result in defensible justifications for local
variation, such as whether differences in geography or conditions of court
congestion should affect a rule's application. n47 Furthermore, we must explore
suggestions that some procedural issues that are currently viewed as systemic
problems may actually be limited to certain areas or linked to local legal
cultures in ways that might justify local variations. n48
Additionally, if we delegate procedural decisionmaking to local rules
groups, we need to consider their composition and incentives. n49
We also need to secure a clear grasp of what we will achieve through local
variation within a given rule. Beyond protecting existing variation, for
instance, it is difficult to see what purposes were served by allowing local
courts to reject Rule 26(a)(1). The Committee's rationale for the Rule
decreasing costs and improving the exchange of information with the goal of
simplifying the process of achieving just results militates against making
Rule 26 a candidate for local rejection. If the Committee believes that these
benefits will follow from mandatory disclosure, why should they be withheld from
litigants in many parts of the federal system simply because some judges and
local rules committees disagree with that judgment?
IV. Conclusion
Perhaps the goal of national uniformity has become so compromised that its
continued pursuit is pragmatically unsound. If that is the case, however, we
must proceed carefully to ensure that permission to create local procedures does
not become transformed into a license for local compromising of important
procedural values. If the rulemakers fail to adequately consider the Rules'
underlying context and values, the hypothetical rule with which I began this
Article may become a reality.