Rule 11: Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions Flashcards
Under Federal Rule of Civil Procedure 11 (Rule 11), which documents must be signed in every civil case, and by whom? (Q)
Under Rule 11, every pleading, written motion, and other paper must be signed by the party’s attorney of record or by the party if the party does not have an attorney.
Does Rule 11 apply only when an attorney or party files a paper with the court? (Q)
No. Rule 11 applies whenever an attorney or party presents a paper to the court. Presenting, as defined by Rule 11, includes signing, filing, submitting, or later advocating a paper.
Under Rule 11, someone who presents a paper to the court certifies that the paper is based on what kind of inquiry? (Q)
Under Rule 11, the presenter certifies that the paper is based on an inquiry that is reasonable under the circumstances.
In addition to certifying a reasonable inquiry, what four certifications does a person make under Rule 11 when presenting a paper to the court? (Q)
Under Rule 11, a person certifies that to the best of the person’s knowledge, information, and belief:
(1) The paper is not presented for any improper purpose, such as harassment, delay, or unnecessarily increasing litigation costs
(2) The legal contentions are warranted by existing law, or by a nonfrivolous argument for changing the law
(3) The factual contentions have evidentiary support, or if specifically identified, are likely to have evidentiary support after reasonable investigation or discovery
(4) The denials of factual contentions are warranted on the evidence, or if specifically identified, are reasonably based on belief or on a lack of information.
Does Rule 11 apply to discovery documents? (Q)
No. Rule 11 does not apply to discovery documents, such as requests, disclosures, and discovery-related motions. However, the discovery rules include similar signature and certification requirements.
Under Rule 11, is the reasonableness of an inquiry measured objectively or subjectively? (Q)
The reasonable inquiry required by Rule 11 is measured objectively. In other words, it is not enough that the person presenting the paper believes that the inquiry was reasonable. Instead, the inquiry must actually have been reasonable according to a national federal standard of reasonableness. Thus, the presenter’s good faith is not a defense to a Rule 11 violation.
Who may raise the issue of a Rule 11 violation? (Q)
A party may raise a Rule 11 issue by motion, or the court may raise the issue on its own initiative.
What is the safe-harbor provision of Rule 11? (Q)
The safe-harbor provision is designed to afford the parties an opportunity to resolve Rule 11 issues without involving the court. A party who intends to move for Rule 11 sanctions must first serve the motion on the offending party, without filing the motion in court. If the offending party withdraws or corrects the challenged material within 21 days after service, then the moving party must not file the motion with the court. If the offending party does not correct the problem within 21 days, then the moving party may file the motion. This 21-day correction period is called the safe-harbor provision of Rule 11.
Does the Rule 11 safe-harbor provision apply when the court raises a Rule 11 issue on its own initiative? (Q)
No. The safe-harbor provision applies only when an opposing party raises a Rule 11 issue. The provision does not apply when the court raises a Rule 11 issue on its own initiative. If the court acts on its own initiative, then the court will simply order the offending party to explain, or show cause, why the party has not violated Rule 11.
What is the definition of a sanction in the context of Rule 11? (Q)
A sanction is a penalty or other consequence that the court imposes on someone who has violated Rule 11.
Is notice required before a court imposes Rule 11 sanctions? (Q)
Yes. The court may impose a sanction only after the offending party receives notice and a reasonable opportunity to respond.
In general, what kinds of sanctions are authorized by Rule 11? (Q)
In general, Rule 11 limits sanctions to whatever is sufficient to deter similar conduct by the offender and others in the future. Rule 11 includes a non-exhaustive list of permissible sanctions, including nonmonetary directives, an order to pay a penalty to the court, and an order to pay the moving party’s reasonable attorney’s fees and expenses resulting from the violation.
Who may be sanctioned for a Rule 11 violation? (Q)
A court may impose sanctions on any attorney, law firm, or party who has violated Rule 11 directly or who is responsible for the violation. A law firm must be held jointly liable for any violations by its attorneys or employees, unless exceptional circumstances exist.
A defendant filed an answer in a federal civil case. The answer made several deliberately false allegations of fact about the plaintiff, which violated Rule 11. The plaintiff’s attorney simultaneously filed a motion for Rule 11 sanctions with the court and served the motion on the defendant’s attorney. The motion asked the court to hold a hearing on the motion 21 days after the filing.
Has the plaintiff’s attorney complied with the Rule 11 procedure for seeking sanctions? (Q)
No. The plaintiff’s attorney has failed to comply with the safe-harbor provision of Rule 11. A party seeking Rule 11 sanctions must first serve the motion for sanctions on the offending party, without filing the motion with the court. The offending party then has 21 days to correct or withdraw the offending material. The party seeking sanctions may file the motion only if the offending party fails to correct the alleged violation within this 21-day safe-harbor period.
Here, the plaintiff’s attorney served the motion on the defendant’s attorney and filed the motion with the court on the same day. The plaintiff’s attorney instead should have served the motion, refrained from filing it, and waited 21 days to see if the defendant’s attorney would correct the offending material. Thus, the plaintiff’s attorney failed to comply with the Rule 11 procedures for sanctions.
A law firm represented a defendant in a federal civil case. The firm consisted of one senior partner and one junior partner. The senior partner signed and filed the answer, which included an allegation that the plaintiff had already signed a settlement agreement. In fact, the plaintiff had rejected the defendant’s proposed settlement agreement in writing. That rejection was in the firm’s case file, but the senior partner failed to check the file before filing the answer. This violated Rule 11’s requirement to make a reasonable inquiry before filing a pleading. No exceptional circumstances existed regarding the violation. The court imposed Rule 11 sanctions on the entire law firm. The junior partner objected, arguing that sanctions should only be awarded against the senior partner personally.
Can the court sanction the entire firm for the senior partner’s violation? (Q)
Yes. Rule 11 allows the court to sanction an attorney or a law firm whose conduct violates the rule. Rule 11 requires an attorney to make a reasonable inquiry before asserting facts in a pleading. Moreover, the rule provides that a law firm must be held jointly responsible for its attorneys’ violations, absent exceptional circumstances.
Here, the senior partner violated Rule 11 by failing to check the case file before asserting that the plaintiff had signed a settlement agreement. Rule 11 therefore requires that the entire firm be held jointly responsible, absent exceptional circumstances. The facts show that the senior partner’s neglect is not an exceptional circumstance; indeed, it consists of a simple failure to investigate of the type that Rule 11 squarely addresses. Thus, the court can—and must—sanction the entire firm for the senior partner’s violation.
