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Rule 11 Sanctions and Their Application in Various Scenarios, Slides of Civil procedure

Alliance UniversityCivil procedure

Rule 11 of the federal rules of civil procedure, which outlines the conditions under which sanctions can be imposed on attorneys and clients for filing frivolous lawsuits or pleadings. Examples of potential scenarios where rule 11 sanctions may be appropriate, such as a tenant's eviction case, a car accident lawsuit, a supreme court decision critique, and a false emergency injunction request. It also covers the procedures for responding to a complaint, filing an answer, and amending a pleading.

Typology: Slides

2012/2013

Uploaded on 01/26/2013

radhatanaya
radhatanaya 🇮🇳

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Last Class: Rule 11
•11(b)(1). No improper purpose
•11(b)(2). Legal claims warranted by existing law or non-frivolous argument to
change the law
•11(b)(3). Factual allegations have evidentiary support or will likely have
evidentiary support after discovery
•Research must be reasonable under the circumstances
•Cannot later advocate problematic paper, but need not amend
•Sanctions
–In discretion of judge
–Money to court, money to opposing side, non-monetary (apology, etc.)
–Monetary penalties limited to what necessary to deter repetition
–Imposed on lawyer and/or client, except for 11(b)(2)
•Opposing part has 21 days to withdraw paper before motion for sanctions
filed with court
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Last Class: Rule 11

  • 11(b)(1). No improper purpose
  • 11(b)(2). Legal claims warranted by existing law or non-frivolous argument to change the law
  • 11(b)(3). Factual allegations have evidentiary support or will likely have evidentiary support after discovery
  • Research must be reasonable under the circumstances
  • Cannot later advocate problematic paper, but need not amend
  • Sanctions
    • In discretion of judge
    • Money to court, money to opposing side, non-monetary (apology, etc.)
    • Monetary penalties limited to what necessary to deter repetition
    • Imposed on lawyer and/or client, except for 11(b)(2)
  • Opposing part has 21 days to withdraw paper before motion for sanctions filed with court

Would Rule 11 Sanctions Be Appropriate If …

  • Lindsey is a tenant in public housing. The government brings an eviction suit claiming she hasn't paid rent. Lindsey comes to you at legal aid Clinic. She says the government never tried to reach her before filing suit and shows you the canceled check.
  • Plaintiff comes in and says that defendant ran stop light and bashed into her. You check the police report, and it says that 5 witnesses swore that plaintiff was the one who ran the light. The plaintiff admits that is true, but says she wants to sue anyway so she can get a small settlement. You decide that you cannot, in good faith, allege in the complaint that defendant ran the stop light, so you decide to be very vague and merely allege “defendant operated vehicle negligently…”
  • Prof. Bice writes a scathing article criticizing a recent Supreme Court decision. You read the article, and, on behalf of a client, you file a suit which you can win only if the Supreme Court reverses itself. Your complaint cites both the Supreme Court decision and Prof. Bice’s article.

Responding to Complaint I

  • Defendant has 2 options in responding to complaint
    • Motion to Dismiss (Rule 12)
    • Answer
    • If files motion to dismiss first, and granted
      • No need to file answer (at least until / unless plaintiff files amended complaint)
    • If files motion to dismiss first, and denied
      • Defendant must file answer
    • Any defense in motion to dismiss can be asserted in answer instead
  • Motions to Dismiss
    • See grounds in FRCP 12(b)

Responding to Complaint II

  • Answer
    • Must admit or deny all allegations in complaint
      • Part by part, clause by clause, phrase by phrase
      • Or state lack information to admit or deny
      • General denial is very rare
      • Admissions are powerful.
        • Assumed true; Plaintiff does not have to prove at trial
    • Assert defenses in FRCP 12(b)
    • Assert affirmative defenses
      • See 8(c ) (1)
      • May be others. Need to consult substantive law
    • Rule 11 applies
  • Issues not raised in Answer or by motion are “waived”
    • Unless raised in amendments

Amendment

  • Amendment necessary because neither plaintiff nor defendant has all information at beginning of suit - Info gathered in discovery may require changes to complaint or answer - If fail to amend, may not be able to present relevant evidence at trial
  • Rule 15(a). Amendment is easy
    • (a)(1). No need to ask permission of court if within 21 days of service or Answer or Rule 12(b) motion
    • (a)(2). Court should give permission “freely … when justice requires.”
      • Key factors
        • Timing
        • Fault
        • Prejudice – How much worse off is defendant than if amended pleading had been original pleading?

Relation Back

  • Relevant only if statute of limitations has run out
  • 15(c)(1)(B). If not changing the party
    • Relation back if same transaction or occurrence
  • 15(c)(1)(c). If changing party
    • 3 part test
      • Same transaction or occurrence
      • Within 120 days of filing of complaint (plus extensions),

defendant had actual notice of lawsuit (even if did not

receive service of process)

  • Within 120 days of filing of complaint (plus extensions),

defendant knew or should have known that plaintiff made

a mistake about identity of proper defendant