Coburn v. Coburn
Coburn v. Coburn
Opinion of the Court
While retaining jurisdiction over a pending delayed application for leave to appeal, the Supreme Court has remanded this case to us with instructions to provide “an explanation of the reasons for concluding that defendant’s failure to pursue her appeal in conformity with the court rules was vexatious.” Coburn v Coburn, 456 Mich 918 (1998). Our task is thus to explain in detail the egregious behavior of defendant and her counsel that required our previous order.
The parties were divorced pursuant to a consent judgment on October 23, 1991. That decree provided in pertinent part that the parties would begin with joint physical and legal custody of their only minor child. Subsequently, both parties petitioned for sole physical custody. Plaintiff had remarried and moved to another state. The parties submitted their custody dispute to binding arbitration. Dick v Dick, 210 Mich App 576, 588; 534 NW2d 185 (1995). The arbitrator awarded sole physical custody to plaintiff. After the circuit court confirmed that award by order of August 16, 1996, the matter came to this Court as an appeal of right.
After defendant filed her first brief as appellant, plaintiff filed a motion to strike for failure to conform to the requirements of the court rules. A motion to strike a brief as nonconforming is one of the types of motions that can be adjudicated by the chief judge, or another designated judge, acting alone. MCR 7.211(E)(2)(c). The chief judge pro tempore granted the motion to strike, MCR 7.201(A)(2), in an order that specified the following deficiencies:
The brief as submitted does not comply with MCR 7.212(C)(4), (6) and (7). Appellant shall within 21 days of*121 this order submit an appellant’s brief that complies with all those rules.
The referenced subrules require a statement of the basis of the jurisdiction of the Court of Appeals, MCR 7.212(C)(4), a statement of facts that, inter alia, provides “specific page references to the record,” MCR 7.212(C)(6), and, correlatively, that when facts are stated in the argument portion of the brief, such assertions likewise “be supported by specific page references to the record,” MCR 7.212(C)(7). Defendant’s original brief on appeal contained no jurisdictional statement whatsoever, and absolutely no page references to the record either in the statement of facts section of the brief or in the argument portion of the brief as facts were iterated.
Defendant’s substitute brief was then timely filed and again met with a motion to strike. Again, the motion to strike pursuant to MCR 7.211(E)(2)(c) was granted, this time by the chief judge with the following directive:
Appellant shall within 21 days of this order file an appellant’s brief that is limited to documents filed and hearings held in the trial court prior to the claim of appeal being filed on August 16, 1996. Any documents filed, hearings held, or factual allegations made after August 16, 1996 are not properly before the Court in this appeal.
Examination of this second attempt to submit the appellant’s brief reflects, among other patent defects, that defendant had appended to the proposed brief, as exhibits, affidavits that were not part of the lower court record, and orders and transcripts that related to matters that occurred in the trial court after the order from which appeal of right had been claimed.
1. Neither affidavits nor depositions may be presented in this fashion as a means of enlarging the appellate record. Isagholian v Transamerica Ins Corp, 208 Mich App 9, 18; 527 NW2d 13 (1994).
2. Even by stipulation, in the absence of a motion to enlarge the record and the granting of such motion by this Court, MCR 7.216(A)(4), the parties cannot add to the record on appeal anything not considered by the court below in rendering the decision that is the subject of appeal. Lorland, Civic Ass’n v DiMatteo, 10 Mich App 129, 137-138; 157 NW2d 1 (1968).
3. Exhibits offered on appeal that were either not offered to the court below or that were excluded by the lower court from the settled record on appeal are not properly part of the record on appeal. Dora v Lesinski, 351 Mich 579, 581; 88 NW2d 592 (1958); Singer v Hoffman Cake Co, 281 Mich 371, 375; 275 NW 177 (1937).
4. Facts not appearing from the record cannot be considered on appeal. Associates Discount Corp v Gear, 334 Mich 360, 367-368; 54 NW2d 687 (1952). This is a limitation on the power of the appellate court, which is confined to the record in conducting its review. Sims v Sims, 298 Mich 491, 496; 299 NW 158 (1941). The record to be considered on appeal must be made in the trial court. Stephenson v Golden, 279 Mich 710, 732-733; 276 NW 849 (1937).
Defendant’s third effort to file her appellant’s brief generated yet another motion to strike, as well as a motion to dismiss and a motion to affirm. Those motions were submitted to this three-judge panel, MCR 7.211(E)(1), which granted the motion to dismiss, MCR 7.211(C)(2)(b), MCR 7.216(A)(10), and denied the other motions as moot.
Again, the numerous defects in this third brief merit iteration:
1. Although there were some references to the record in the statement of facts, numerous crucial factual assertions therein, and within the argument portion of the brief, had no affiliated record references. The rule in this state is that assertions of fact in a brief that are not supported by references to the record represent an improper attempt to enlarge the record. In re Marx’s Estate, 201 Mich 504, 507; 167 NW 976 (1918). Because this was defendant’s third effort, and because the first brief was stricken for precisely the same defect, among others, this Court had reasonable grounds for concluding that such repeated flouting of the court rules and of a fair pres
2. Various factual assertions concerned matters previously stricken as outside the record. These included statements of fact that had, in the stricken second appellant’s brief, been supported by the affidavit of defendant’s former attorney and were stricken because they were never part of the record below or were derived from psychological reports also stricken from the second brief as being matters not of record.
3. Such record references as were provided did not support the assertions of fact to which they pertained. Rather, the references often were to defense counsel’s arguments before the trial court for which no supporting evidence was ever adduced or properly proffered, MRE 103(a)(2). Other references may have related generally to the point at issue but did not ver
After the appeal was dismissed and a motion for rehearing was denied, plaintiff moved for actual and punitive damages pursuant to MCR 7.216(C). That motion was also granted by this panel, Judge Hoek-STRA dissenting. The order provided:
Plaintiff-Appellee’s motion for actual and punitive damages is granted. MCR 7.216(C)(1)(a), (b).
This matter is hereby remanded to the trial court for a determination of damages as set forth in MCR 7.216(C)(2). These damages are to be assessed jointly and severally against both defendant-appellant and her counsel. [3 ]
MCR 7.216(C)(1)(b) allows an award of sanctions when a brief is grossly lacking in the requirements of propriety, violates court rules, or grossly disregards the requirements of a fair presentation of the issues to the court. The adverb “grossly” modifies only the
The award of damages will compensate plaintiff, in whole or in part, for his costs in defending the appeal and troubling himself, through counsel, to bring these court rule violations to our attention. The award also serves an institutional function: the deterrence of like tactics by others. Although written in a different context entirely, the following sentiments are particularly apposite here:
Unless we enforce the rules we encourage their violation and add to the burden of the appellate courts. Our frequent strictures against this land of argument mean little unless we are prepared to reverse and require a new trial. A prosecutor who crosses a clearly defined line, and a trial judge*128 who makes no effort to stop him, have only themselves, not the appellate courts, to blame if a judgment of conviction is reversed and the case must be retried because of improper argument. [People v Farrar, 36 Mich App 294, 299-300; 193 NW2d 363 (1971).]
We would paraphrase the final two sentences to state that our frequent strictures against ignoring the requirements of the court rules
Nonetheless, decisions to sanction are not made easily, lightly, or often, and we do not wish to travel this path again soon. Our order requires defendant-appellant’s counsel to pay plaintiff-appellee actual and punitive damages. We might well be justified in both referring the matter to the Attorney Grievance Administrator for investigation and assessing defense counsel for the needless costs and expenses this Court has incurred in dealing with this misconduct. In re Thurston, 226 Mich App 205, 207-208; 574 NW2d 374 (1997). Just as those whose wrongdoing puts the federal government to expense must reimburse the gov-
We therefore conclude that our original order granting the motion for sanctions was generally correct, and we would simply modify it as set forth in this opinion.
Again, on proper motion pursuant to MCR 7.216(A)(4), subsequent events, particularly those rendering an appeal moot or otherwise directly affecting the viability of the appeal, may and assuredly should be promptly brought to the attention of the appellate court.
At most, very limited portions of these documents had been submitted to the trial court, but defendant in her second brief attached the whole of such documents, and in her third brief made factual assertions excerpted from the nonrecord portions of these materials. It may usefully be noted here that the motion for rehearing of the order dismissing the appeal argued at length that these materials were not privileged, as asserted in the plaintiffs objections. Breach of confidentiality, however, was in no way referenced as a basis, in whole or in part, for granting the motion to dismiss.
Defense counsel has incorrectly complained that this Court awarded sanctions of more than $126,000. Obviously, this Court left the determination of damages, both actual and punitive, to the trial court, as authorized by MCR 7.216(C)(2). We note that, in conjunction with the motion, counsel for plaintiff-appellee did submit an undifferentiated claim for attorney fees of more than $63,000, which, if proper, could indeed be doubled. Without prejudging the issue for the trial court, we note that plaintiffs counsel carries the burden of proving damages, and that any award is limited to reasonable attorney fees and costs, which must be a product of the identified improprieties to be recoverable under the rule.
We acknowledge that our previous order may be subject to understandable misinterpretation. The motion for damages relied only on improprieties in the three appellant’s briefs filed by counsel Solomon and identified nothing in the motion for rehearing, which cocounsel Bassett filed, as a basis for seeking sanctions. Hence, our order was not drafted as clearly as it should have been. Because eocounsel’s actions were not at issue, the order should have specified that the award of sanctions did not extend to him. Instead, the order merely implied that result; the trial court could only determine damages under MCR 7.216(C)(2) to the extent that expenses were incurred by plaintiff because of defendant’s improprieties,
As reported in the Michigan Bar Journal, the newsletter of the Appellate Practice Section, and various legal publications, the Chief Clerk of this Court, pursuant to a policy approved by all the judges of this Court, MCR 7.201(G), advised the bar generally that this Court would begin enforcing the court rules more strictly, well before the three briefs proffered on behalf of the defendant in this case were stricken.
Dissenting Opinion
(dissenting). I respectfully dissent. MCR 7.216(C)(1), the court rule authorizing damages in this case, states that this Court “may . . . assess actual or punitive damages or take other disciplinary action when it determines that an appeal or any of the proceedings in an appeal was vexatious.” The term “may” designates a permissive provision. Jordan v Jarvis, 200 Mich App 445, 451; 505 NW2d 279 (1993). Thus, this Court may assess damages but is not required to do so. Sanctions are authorized in a court’s “discretion, on final review, as the totality of facts and circumstances may require.” In re Mathers, 371 Mich 516, 538; 124 NW2d 878 (1963) (discussing a prior version of the court rule).
In my opinion, the totality of the facts and circumstances of this case does not require this Court to impose sanctions. Defendant has already suffered harm by losing the opportunity to have her case reviewed. See, e.g., In re Dihle Estate, 161 Mich App 150, 160-161; 410 NW2d 303 (1987). Moreover, I perceive no benefit in prolonging this acrimonious litiga
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