Also known as: FRCP 11 · Rule 11 · Fed. R. Civ. P. 11 · Federal Rules of Civil Procedure 11 · FRCP Rule 11 · Rule 11 sanctions
Written by attorneys · grounded in primary & secondary sources — see below
A federal rule requiring every pleading, motion, and other paper presented to a federal court to be signed by an attorney or unrepresented party. The signature certifies that the document is not presented for an improper purpose, that legal contentions are warranted by existing law or a nonfrivolous argument for changing the law, and that factual contentions have evidentiary support or are identified as based on belief or lack of information.
Francois Fortier represents Fusion Power in a contract dispute. He files an answer containing a flat denial that the company received any warnings about defective materials, without checking project emails or texts and without labeling the denial as based on belief. After notice and opportunity to respond, the court determines the denial violated the certification requirements and imposes sanctions on Fortier and his firm.
Felicia Fuentes, counsel for Fidelity Trust, files a notice of removal in federal court that contains a short statement of diversity jurisdiction grounds and attaches the state-court complaint and summons. The notice is signed by Fuentes in compliance with the rule. The district court accepts the filing as properly certified.
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The attorney must conduct a reasonable inquiry to ensure the denial is warranted by the evidence or specifically identify it as based on belief or lack of information. A flat denial made without checking available records violates the certification requirement.
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After notice and a reasonable opportunity to respond, the court may impose an appropriate sanction on any attorney, law firm, or party responsible for a violation. A law firm is ordinarily held jointly responsible for violations by its attorneys.
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Yes. Legal contentions are permitted if they rest on a nonfrivolous argument for extending, modifying, or reversing existing law or for establishing new law. Novel theories are sanctionable only if no reasonable lawyer could view them as legally supportable.
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A motion for sanctions must be made separately from any other motion, must describe the specific conduct alleged to violate the rule, and must be served but not filed until twenty-one days after service to allow withdrawal or correction of the challenged paper.
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