Rule 11

Question 1

Rule 11 representations to the court

Answer 1

all papers served in litigation MUST be signed by an attorney of record (or by the party if unrepresented)

NOTE: Rule 11 does NOT apply to discovery or discovery motions

Question 2

certification of papers

Answer 2

when presenting the papers to the court, the party certifies the following:
1. it is not being presented for any improper purpose,
2. the legal contentions are warranted and non-frivolous,
3. the factual contentions have evidentiary support or likely will after discovery, AND
4. denials of factual contentions are warranted OR reasonably based on lack of information

Question 3

Rule 11 sanctions imposed

Answer 3

the court may issue sanctions (by motions or on its own) for failure to comply with Rule 11

Question 4

nature of sanctions imposed

Answer 4

are w/in the discretion of the court, and can be:
1. non-monetary directives,
2. pay a penalty, or
3. pay reasonable attorney’s fees/expenses resulting from the violation

Question 5

liability for sanctions

Answer 5

• generally, a lawfirm is jointly responsible for a violation by its partner, associate, or employee
• monetary sanctions CANNOT be issued against a client for an unwarranted claim/defense/legal contention made by their attorney

Question 6

procedure for filing a Rule 11 sanctions motion

Answer 6

a party CANNOT file a rule 11 motion w/ the court WITHOUT first:
1. serving the motion on the offending party, AND
2. giving the opponent 21 days to withdraw or correct the paper/pleading