Rule 11(c) Sanctions/ Process
What is R11(c)(1) in general?
If after notice and reasonable opportunity to respond the court determines R11(b) has been violated, the court may impose an appropriate sanction on - atty, firm, or party that is responsible or violated the rule
Give an example of why a party would want to use R15(c)(1)(B).
Lawyer wants to amend complaint to add new claim after deadline has run or wants to amend to add counterclaim after deadline has run
What must R11(a) signature entail?
Every pleading, written motion and other paper must be signed by 1 atty of record or underrepresented party
Must include > signer's address, email, phone #, unless the rule/ statute states otherwise.
Note > pleading need not be verified and no affidavit is needed.
What does a party certify under R11(b(4) factual denials?
You certify that denials of fact are warranted on evidence or if specifically so identified are reasonably based on belief or lack of info
What is R11(c)(6) requirements of a court?
The order imposing a sanction must describe sanctioned conduct and explain the basis for the sanction
What is R11(c)(2) motions for sanctions?
Must be made separately from any other motion and describe specific conduct that violates 11(b)
What is R15(c)?
The claim that you added is treated as if it was filed on original pleading date before the SOL
What does R11(b) representation to court entail?
The atty or under rep'd party certifies to the best of their knowledge, info and belief formed after an inquiry reasonable under the circumstances
Under R11(b)(3) what can be evidentiary support and factual contentions?
ES > At the outset this can be a witness or document
FC > Allegations in a complaint, statement of facts to support a motion, allegations in a counterclaim, etc
What is R11(c)(3) on the court's initiative?
The court may order the atty, firm, or party to show why conduct specifically described in order has not violated R11(b)
Give some examples for R15(c)(1)(C)
PL wants to amend b/c she had Def's name wrong
Def filed 3rd party complaint against "Time Magazine" but the publisher is "Time, Inc"
What does a party certify under R11(b)(1) Improper purpose?
There was no improper purpose such as: harassment, cause unnecessary delay, needlessly increase cost, embarrassment.
Under R11(b)(3) can you use a client for evidentiary support?
If relying on a client's version of facts > thoroughly question them, their account must be objectively reasonable.
Note > Atty can't unquestioningly accept their version
Atty must conduct reasonable inquiry to confirm clients assertions- and if that inquiry would negate client's version she's violated R11.
What is the safe harbor provision under R11(c)(2)?
This gives the offending party a chance to avoid sanctions by withdrawing the offending document
Draft a motion > serve to opposing counsel but don't file w/ the court , until 21 days has passed if the violation is not corrected
If the violation is correct, you can't file with the court
What is R11(c)(4) nature of sanction?
Sanction imposed must be limited to what suffices to deter repetition of the conduct or comparable conduct by others in similar situations.
R15(c)(1)(B) to dd a claim after SOL has run. Which test is required?
Same, conduct, transaction or occurrence test.
Show that the new claim arose out of the same transaction as the original claim.
What does a party certify under R11(b)(2) legal support?
That claims, defenses and other legal contentions are warranted by:
Existing law or non-frivolous argument for extending, modifying or reversing existing law or non-frivolous argument for new law.
Under R11(b)(3) what are 2 ways to "specifically identify?"
1) You have evidence to support factual assertions
2) You specifically identify the assertion that you will likely have evidence after further investigation/ discovery
What is R11(c)(5) limitations on monetary sanctions?
Court must not impose a monetary sanction:
1 > Against represented party for violating R11(b)(2) or 2> on its own
Under R15(c)(1)(C) to change the name of a party what is the test for when it will relate back?
1) AC - STO - OC
2) WTS - OC - NND - HANL - SNP
3) WTS - OC - NND - KSKS- BB - MAI
1) Amendment concerns same transaction or occurrence as the original claim
2) If w/in time for service of original complaint, newly names Def had actual notice of lawsuit, so suffers NO prejudice AND
3) If w/in time for service or original complaint newly named Def knew or should have known suit would be brought but for a mistake about their identity
What does a party certify under R11(b)(3) factual support?
That the factual contentions have:
Evidentiary support or
If specifically identified will likely have evidentiary support after a reasonable opportunity for further investigation/ discovery
How can a party trigger R11(b)?
By signing, filling, submitting document to court (complaint/ motion) or later advocating what you have written ( especially if repeating the false fact)