Ethical Obligations (Rule 11)

Question 1

Standard of Conduct

Answer 1

An attorney or unrepresented party certifies that, after making a reasonable inquiry, the submission of a document to the court is based on: Good Faith, Good Facts and Good Law
Good Faith: The submission is not for any improper purpose (to harass, delay, or increase the cost of litigation).
Good Facts: The submission is based on evidentiary support or, if specifically noted, will likely have evidentiary support after discovery. This applies to affirmative representations of fact, as well as denials of factual allegations.
Good Law: The submission is warranted by existing law or presents a non-frivolous argument for a change in existing law.

Question 2

Sanctions

Answer 2

How:
- The complaining party must first draft a motion for sanctions and serve it on the offending party.
- Safe Harbor: Motion filed 21 days after service. Allows a chance to withdraw/modify any alleged violation of Rule 11.
Nature:
- Goal – to deter misconduct.
- Court may order monetary or non-monetary sanctions.

Question 3

Who is subject to sanctions

Answer 3

Any person who has committed a violation or is responsible for a Rule 11 violation subject to sanctions.
Exception: Represented parties are not subject to monetary sanctions for violating the “good law” requirement.
Attorney’s law firm must be held jointly liable, absent exceptional circumstances.