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Rule 11. Signing of
Pleadings, Motions, and Other Papers; Representations to Court; Sanctions
(a) Signature.
Every pleading, written motion, and other paper shall be signed by at least one
attorney of record in the attorney's individual name, or, if the party is not
represented by an attorney, shall be signed by the party. Each paper shall state
the signer's mailing address. Except when otherwise specifically provided by
rule or statute, pleadings need not be verified or accompanied by affidavit. An
unsigned paper shall be stricken unless omission of the signature is corrected
promptly after being called to the attention of the attorney or party.
(b) Representations
to Court. By presenting to the court (whether by signing, filing,
submitting, or later advocating) a pleading, written motion, or other paper, an
attorney or unrepresented party is certifying that to the best of the person's
knowledge, information, and belief, formed after an inquiry reasonable under the
circumstances:
(1) it is not being
presented for any improper purpose, such as to harass or to cause unnecessary
delay or needless increase in the cost of litigation;
(2) the claims,
defenses, and other legal contentions therein are warranted by existing law or
by a nonfrivolous argument for the extension, modification, or reversal of
existing law or the establishment of new law;
(3) the allegations
and other factual contentions have evidentiary support, or, if specifically so
identified, are likely to have evidentiary support after a reasonable
opportunity for further investigation or discovery; and
(4) the denials of
factual contentions are warranted on the evidence or, if specifically so
identified, are reasonably based on a lack of information or belief
(c) Sanctions.
If, after notice and a reasonable opportunity to respond, the court determines
that subdivision (b) has been violated, the court may, subject to the conditions
stated below, impose an appropriate sanction upon the attorneys, law firms, or
parties that have violated subdivision (b) or are responsible for the
violation.
(1) How
Initiated.
(A) By Motion.
A motion for sanctions under this rule shall be made separately from
other motions or requests and shall describe the specific conduct alleged to
violate subdivision (b). It shall be served as provided in Rule 5, but
shall not be filed with or presented to the court unless, within 21 days
after service of the motion (or such other period as the court may
prescribe), the challenged paper, claim, defense, contention, allegation, or
denial is not withdrawn or appropriately corrected. If warranted, the court
may award to the party prevailing on the motion the reasonable expenses and
attorney's fees incurred in presenting or opposing the motion. Absent
exceptional circumstances, a law firm shall be held jointly responsible for
violations committed by its partners, associates, and employees.
(B) On Court's
Initiative. On its own initiative, the court may enter an order
describing the specific conduct that appears to violate subdivision (b) and
directing an attorney, law firm, or party to show cause why it has not
violated subdivision (b) with respect thereto.
(2) Nature of
Sanction; Limitations. A sanction imposed for violation of this rule
shall be limited to what is sufficient to deter repetition of such conduct or
comparable conduct by others similarly situated. Subject to the limitations
in subparagraphs (A) and (B), the sanction may consist of, or include,
directives of a nonmonetary nature, 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 some or all of the reasonable attorney's
fees and other expenses incurred as a direct result of the violation.
(A) Monetary
sanctions may not be awarded against a represented party for a violation of
subdivision (b)(2)
(B) Monetary
sanctions may not be awarded on the court's initiative unless the court
issues its order to show cause before a voluntary dismissal or settlement of
the claims made by or against the party which is, or whose attorneys are, to
be sanctioned.
(3) Order.
When imposing sanctions, the court shall describe the conduct determined to
constitute a violation of this rule and explain the basis for the sanction
imposed.
(d) Inapplicability
to Discovery. Subdivisions (a) through (c) of this rule do not apply to
discovery requests, responses, objections, and motions that are subject to the
provisions of Rules 26 through 37.
Amended Oct. 21, 1983,
eff. Jan. 1, 1984; Feb. 22, 1996, eff. July 1, 1996.
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