Rule 11: Signing Legal Papers; Court Representations; Sanctions, Slides of Civil procedure

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Rule 11. Signing Pleadings,

Motions, and Other Papers;

Representations to the Court;

Sanctions

(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 address, and telephone number. Unless a rule or statute specifically states otherwise, a pleading need not be verified or accompanied by an affidavit. The court must strike an unsigned paper unless the omission is promptly corrected after being called to the attorney’s or party’s attention.

(1) it is not 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 nonfrivolous

argument for extending, modifying,

or reversing existing law or for

establishing new law;

7

Murphy v. Cuomo

(N.D.N.Y. 1996)

How can you satisfy R 11(b)(3) but

get summary judgment against

you?

11(c)(1) In General. If, after notice and a 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.

11(c)(4) 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 nonmonetary directives; an order to pay a penalty into court; or, if imposed on 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.

11(c)(5) Limitations on Monetary

Sanctions. The court must not

impose a monetary sanction:

(A) against a represented party for

violating Rule 11(b)(2)…

14

Example 1

• Murphy told Ballan that Zarc had participated in the study to test the effect of the pepper spray on innocent people.
• May Ballan be sanctioned under R. 11?
• May Murphy be sanctioned under R. 11?

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.

Can a court apply R 11 sanctions

sua sponte?

R 11(c)(5) Limitations on Monetary

Sanctions.

The court must not impose a monetary

sanction…

(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.

alternative pleading