Civil Procedure – Civ Pro
us.docsity.com
3. Ethical Limitations
Rule 11: Signing Pleadings, Motions, and Other Papers; Representations to the Court; Sanctions
• applies to any papers filed with the court, not just the pleadings (though that’s where
it is most significant)
• there is a little bit of tension because FRCP allows a lot of generality but 11 requires
more
• this Rule is meant to insure honesty and integrity in pleading – how is this not
substantive?
o it only incidentally affects the litigants substantive rights
§ purpose is to deter baseless filings – streamline administration and
procedure of fed courts
o want to create incentives for parties and lawyers to be truthful – need to be
able to find the facts
11(a): Signature
• must be signed – by attorney of record or if representing self, the party
11(b): Representations to the Court: by presenting – signing, filing, submitting, or advocating
– the signor certifies that to
the best of their knowledge, information, and belief, formed after an inquiry reasonable
under the circumstances that:
(1) no improper purpose (ie: harass, cause unnecessary delay, or needlessly increase cost
of litigation)
o this is the 1 of the 4 that is a subjective standard – “good faith” requirement
(2) warranted by existing law or are non-frivolous arguments for extending. modifying,
or reversing or establ. new
o Haddle v. Garrison: knew the law was against them – consistent with Rule 11
o if lawyers are unaware of the adverse law, will be a violation of 11(b)
(3) fact contentions have evidentiary support or, if specified, will likely have it after
further investigation/discovery
(4) denials are warranted on evidence or, if specified, are reasonably based on belief or
lack of information
• Note: only person signing (usually attorney) can violate the Rule – though others can
be sanctioned
• inquiry reasonable under the circumstances – court will look at many factors
o statute of limitations might affect – ie: if it is going to expire in a week
11(c): Sanctions
(1) after giving notice and reasonable opportunity to respond, if court determines 11(b)
has been violated, the court
may impose sanctions on any attorney, law firm, or party that violated rule or is
responsible for violation
o absent exceptional circumstances, law firm must be held jointly responsible
