Rule 11 Flashcards
Rule 11
Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions
Rule 11 (a)
Signature.
Every pleading, written motion, and other paper MUST BE SIGNED by at least one attorney of record in the attorney’s name–or by a party personally if the party is unrepresented.
The paper must state the signer’s address, e-mail, and phone number.
Unless a rule or statute specifically states otherwise, a pleading need not be verified or accompanied by an affidavit.
The court mist strike an unsigned paper unless the omission is promptly corrected after being called to the attorney’s or party’s attention.
Rule 11 (b)(1)(2)(3)(4)
Representations to the Court.
By presenting to the court a pleading, written motion, or other paper–whether by signing, filing, submitting, OR LATER ADVOCATING–an attorney or unrepresented party certifies that to the best of their knowledge, information, and belief, formed AFTER AN INQUIRY REASONABLE UNDER THE CIRCUMSTANCES:
(1) it is no being presented for any IMPROPER PURPOSE, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation;
(2) the claims, defenses, and other LEGAL CONTENTIONS are warranted by existing law or by a non frivolous argument for extending, modifying, or reversing existing law or for establishing new law;
(3) the FACTUAL CONTENTIONS have evidentiary support or, if specifically so identified, will likely have evidentiary support after a reasonable opportunity for further investigation or discovery; and
(4) the DENIALS of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information.
Rule 11 (c)(1)
In General.
If after notice and reasonable opportunity to respond, the court determines that Rule 11(b) has been violated, the court MAY impose an appropriate sanction on ANY ATTORNEY, LAW FIRM, OR PARTY that violated the rule or is responsible for the violation.
Absent exceptional circumstances, a law firm must be held jointly responsible for a violation committed by its partner, associate, or employee.
Rule 11 (c)(2)
Motion for Sanctions.
A motion for sanctions must be made separately from any other motion and must describe the specific conduct that allegedly violates Rule 11(b).
The motion must be served under Rule 5, but it must not be filed or be presented to the court if the challenged paper, claim, defense, contention, or denial is withdrawn or appropriately corrected WITHIN 21 DAYS AFTER SERVICE OR WITHIN ANOTHER TIME THE COURT SETS.
If warranted, the court MAY AWARD THE PREVAILING PARTY, the reasonable expenses, including attorney’s fees, INCURRED FOR THE MOTION.
Rule 11 (c)(3)
On the Court’s Initiative.
On its own, the court may order an attorney, law firm, or party to show cause why conduct specifically described in the order has not violated Rule 11(b)
Rule 11 (c)(4)
Nature of a Sanction.
A sanction imposed under this rule MUST BE LIMITED to what suffices to deter repetition of the conduct, OR comparable conduct by others similarly situated.
The sanction may include:
* non monetary directives;
* an order to pay a penalty INTO THE COURT;
OR, if imposed on a motion and warranted for effective deterrence,
* an order directing payment TO THE MOVANT of part or all of the reasonable attorney’s fees and other expenses directly resulting from the violation.
Rule 11 (c)(5)(A)(B)
Limitations on Monetary Sanctions.
The court MUST NOT impose a monetary sanction:
(A) against a REPRESENTED party for violating Rule 11(b)(2): or
(B) on its own, unless it issued the show-cause order under Rule 11(c)(3) before voluntary dismissal or settlement of the claims made by OR against the party that is, or whose attorneys are, to be sanctioned.
Rule 11(c)(6)
Requirements for an Order.
An order imposing a sanction must describe the sanctioned conduct and explain the basis for the sanction.
Rule 11 (d)
Inapplicability to Discovery.
Rule 11 does not apply to disclosures and discovery requests, responses, objections, and motions under Rules 26 through 37.
