BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
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Section 6 - Civil Proceedings

    6.02 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions (Fed. R. Civ. P. 41, 52, and 65(d))

        6.02.1 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: When Required
        6.02.2 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: When Not Required
        6.02.3 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: Form And Substance
        6.02.4 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: Other Sources

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

6.02.1 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: When Required

1. Fed. R. Civ. P. 52(a)

(a) In all cases tried without a jury or with an advisory jury, "the court shall find the facts specially and state separately its conclusions of law thereon."

(b) In granting or refusing interlocutory injunctions, "the court shall similarly set forth the findings of fact and conclusions of law which constitute the grounds of its action."

Note that this is in addition to the requirements of Fed. R. Civ. P. 65(d), which requires that "[e]very order granting an injunction and every restraining order shall set forth the reasons for its issuance; shall be specific in terms; shall describe in reasonable detail, and not by reference to the complaint or other document, the act or acts sought to be restrained."

2. Fed. R. Civ. P. 52(c)—Judgment on Partial Findings

"If during a trial without a jury a party has been fully heard with respect to an issue and the court finds against the party on that issue, the court may enter judgment as a matter of law against that party [on that issue]. . . . Such judgment shall be supported by findings of fact and conclusions of law as required by subdivision (a) of this rule."

3. Fed. R. Civ. P. 41(a)(2)—Voluntary Dismissal

Plaintiff’s motion for voluntary dismissal shall not be granted "save upon order of the court and upon such terms and conditions as the court deems proper."

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

6.02.2 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: When Not Required

1. On any motions (other than under Fed. R. Civ. P. 52(c)).

(a) Fed. R. Civ. P. 52(a) states that findings of fact and conclusions of law "are unnecessary on decisions of motions under Rules 12 or 56 or any other motion except as provided in subdivision (c) of this rule."

(b) Fed. R. Civ. P. 12 covers instances when defenses and objections to the pleadings are made and how they are presented—by pleading or motion. Fed. R. Civ. P. 12(c) pertains to a motion for judgment on the pleadings and refers to Fed. R. Civ. P. 56, which covers summary judgment.

(c) The exemption of motions, particularly those under Fed. R. Civ. P. 12 and 56, from the requirement of making findings and conclusions means that most motions that are filed can be disposed of by simply stating "granted" or "denied."

[Note: Some circuits prefer findings and conclusions on dispositive motions, particularly on motions for summary judgment, and may vacate and remand orders if the district court fails to provide any reasoning on the record for its decision. Judges should be aware that circuit law may require, or strongly urge, detailed findings on some motions. [Footnote 1]]

FOOTNOTES:

Footnote 1:    See, e.g., Brewster of Lynchburg, Inc. v. Dial Corp., 33 F.3d 355 (4th Cir. 1994); Pasquino v. Prather, 13 F.3d 1049 (7th Cir. 1994); Thomas v. N.A. Chase Manhattan Bank, 994 F.2d 236, 241 n.6 (5th Cir. 1993); Telectronics Pacing Sys. v. Ventritex, Inc., 982 F.2d 1520, 1526–27 (Fed. Cir. 1992); United States v. Woods, 885 F.2d 352 (6th Cir. 1989); Clay v. Equifax, Inc., 762 F.2d 952 (11th Cir. 1985).

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

6.02.3 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: Form And Substance

1. No particular format is required if an opinion or memorandum is filed.

"It will be sufficient if the findings of fact and conclusions of law . . . appear in an opinion or memorandum of decision filed by the court." Fed. R. Civ. P. 52(a). A memorandum that contains only a list of findings and conclusions is adequate. The findings and conclusions need not be listed separately in an opinion.

2. From the bench

"It will be sufficient if the findings of fact and conclusions of law are stated orally and recorded in open court following the close of the evidence . . . ." Fed. R. Civ. P. 52(a). It is always quicker and sometimes just as easy to make the findings and conclusions from the bench at the end of the case as it is to take the matter under submission. Be sure that they are put in the record.

3. Requested findings and conclusions submitted by counsel

Specifically adopting or denying the requested findings and conclusions submitted by counsel is not necessary, as it is in some state courts. Some courts of appeals look with a jaundiced eye on district court findings or conclusions that follow counsel’s requests verbatim.

4. Stipulations

Stipulations by counsel as to the facts are always helpful. Unlike requests, they should be used verbatim. Of course, counsel cannot stipulate as to the applicable law; they can only suggest.

5. Length and style of opinion

The length and style of the opinion are left to the individual judge, but from the viewpoint of an appellate court, there are certain basic elements that should be included:

(a) Jurisdiction. This is elementary, but sometimes overlooked. The statutory basis should be stated.

(b) The issues. It is helpful if the issues are stated at the beginning of the opinion.

(c) Credibility findings. These are the exclusive province of the district court. They should be clearly stated. If you do not believe a witness, say so.

(d) The facts. If you have a transcript, refer to the pages that contain the evidence on which you rely. If there is no transcript and your opinion is based on your trial notes, say so. Some appellate courts forget that district court judges do not always have the benefit of a written record.

(e) The law. There are three basic situations that you will face:

(i) the law is well settled;

(ii) the law is unsettled; or

(iii) there is no applicable law—the case is one of first impression.

The first situation poses no problem; the second and third may create a fear-of-reversal syndrome. Do not worry about whether you may be reversed. No judge has been impeached for having been reversed. Get on with the opinion and do the best you can. The court of appeals or the Supreme Court is going to have the last word anyhow.

Be sure that someone checks the subsequent history of the cases. It is not a sin to be overruled except for relying on a case that was overruled.

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

6.02.4 Findings Of Fact And Conclusions Of Law In Civil Cases And Motions: Related Sources, Issues And Instructions

Other FJC sources

Manual for Complex Litigation, Fourth 165 (2004)

Civil Litigation Management Manual 89–90 (Judicial Conference of the United States 2001)