Rule 11 and Representations to Court

Question 1

What is required of a party before submitting a written document to the court?

Answer 1

Rule 11(b): The attorney or party has conducted an inquiry reasonable under the circumstances.

Question 2

What are the two steps to a Rule 11 Analysis?

Answer 2

1. Is there a Rule 11 violation; and

2. What sanctions are appropriate?

Question 3

What four things does a party certify to the court when submitting a signed paper?

Answer 3

1. It is not presented for any improper purpose (harass, delay, needlessly increase cost)
2. The claims, defenses, or contentions are warranted by law or there is a nonfrivolous argument for expanding;
3. The factual contentions have evidentiary support; and
4. Denials are warranted on evidence

Question 4

What’s required for an opposing party to request sanctions?

Answer 4

Per Rule 11(c)(2):

1. Motion must be made separately
2. Motion must describe misconduct
3. Motion must not be filed with court if challenged filing is withdrawn or corrected within 21 days after service (safe harbor provision)

Question 5

What limits are there on monetary sanctions?

Answer 5

1. None against a represented party for violating 11(b)(2); or
2. None sua sponte unless it issued the show-cause order.

Question 6

Nature of a Rule 11 Sanction

Answer 6

Limited to what suffices to deter bad behavior. May include:

a. ) nonmonetary directives;
b. ) an order to pay penalty into court; or
c. ) Upon motion, order to pay opponent’s fees

Question 7

A signature is required for:

Answer 7

Every pleading, written motion, and other paper