Sanctions (Rule 11)
What is the Sanctions (Rule 11)?
Federal Rule 11 requires attorneys and unrepresented parties to certify that pleadings, motions, and other papers are not filed for an improper purpose and are supported by existing law and factual investigation, with sanctions available for violations.
Source: Cooter & Gell v. Hartmarx Corp., 496 U.S. 384 (1990)
Definition
Federal Rule of Civil Procedure 11 imposes duties of candor and diligence on attorneys and unrepresented parties by requiring that every pleading, written motion, and other paper filed with the court be signed, thereby certifying that to the best of the signer's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances: (1) the paper is not being presented for any improper purpose, such as harassment, causing unnecessary delay, or needlessly increasing the cost of litigation; (2) the claims, defenses, and other legal contentions are warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law; (3) the factual contentions have evidentiary support or, if specifically identified, will likely have evidentiary support after a reasonable opportunity for further investigation; and (4) the denials of factual contentions are warranted on the evidence or are reasonably based on belief or a lack of information.
Rule 11 includes a safe harbor provision: before filing a motion for sanctions, the moving party must serve the motion on the opposing party and allow 21 days for the offending paper to be withdrawn or corrected. If the paper is withdrawn within this period, sanctions are not available by motion, though the court may impose sanctions on its own initiative. Sanctions under Rule 11 are intended to deter rather than compensate, and the sanction must be limited to what suffices to deter repetition of the conduct. Sanctions may include monetary penalties payable to the court, nonmonetary directives, or, if warranted by the circumstances, an order to pay the opposing party's reasonable attorney's fees.
The 1993 amendments significantly softened Rule 11 by adding the safe harbor provision, limiting sanctions to deterrence, and providing that monetary sanctions shall not be awarded against a represented party for frivolous legal contentions. These changes addressed criticism that the 1983 version of Rule 11 had chilled creative advocacy and disproportionately burdened civil rights plaintiffs.
Key Elements
- 1Every pleading, motion, or paper must be signed, certifying reasonable inquiry
- 2The paper must not be filed for an improper purpose (harassment, delay, cost inflation)
- 3Legal contentions must be warranted by existing law or a nonfrivolous argument for changing the law
- 4Factual contentions must have evidentiary support or likely will after investigation
- 5Denials of fact must be warranted on the evidence or reasonably based on belief or lack of information
- 6A 21-day safe harbor period must be provided before filing a sanctions motion
- 7Sanctions must be limited to what suffices to deter repetition
Landmark Cases
Cooter & Gell v. Hartmarx Corp.
496 U.S. 384 (1990)
Held that Rule 11 sanctions may be imposed even after voluntary dismissal and that the district court's Rule 11 decision is reviewed for abuse of discretion.
Business Guides, Inc. v. Chromavision Entertainment Enterprises, Inc.
498 U.S. 533 (1991)
Held that Rule 11 applies to represented parties as well as attorneys, imposing an objective reasonableness standard on the signing party.
Pavelic & LeFlore v. Marvel Entertainment Group
493 U.S. 120 (1989)
Under the pre-1993 version of Rule 11, held that sanctions could only be imposed on the individual attorney who signed the paper, not the law firm (since amended).
In re Pennie & Edmonds LLP
323 F.3d 86 (2d Cir. 2003)
Applied the safe harbor provision, emphasizing the mandatory nature of the 21-day waiting period before a sanctions motion may be filed.
Exam Tips
- Always mention the 21-day safe harbor provision; it is one of the most frequently tested aspects of Rule 11. Failure to comply with the safe harbor requirement is fatal to a sanctions motion.
- Remember that Rule 11 applies a continuing obligation standard for some courts (the obligation exists at filing) and that the 1993 amendments limit monetary sanctions for legal contentions to attorneys, not represented parties.
- Distinguish Rule 11 sanctions from inherent power sanctions and 28 U.S.C. section 1927 sanctions, which have different standards and procedures.
- On exams, identify which of the four certifications (improper purpose, legal basis, factual basis, denial basis) is at issue, as each has a distinct standard.
Common Mistakes to Avoid
- Forgetting the 21-day safe harbor requirement, which is mandatory before filing a Rule 11 sanctions motion and allows the offending party to withdraw the paper.
- Applying a subjective bad faith standard instead of the objective reasonableness standard that governs Rule 11 certifications.
- Treating Rule 11 sanctions as compensatory rather than deterrent; the 1993 amendments make clear that sanctions should be the minimum necessary to deter.
Memory Aid
Rule 11: Sign it, stand behind it. Four certifications: Proper purpose, Legal warrant, Factual support, Denial basis. 21-day safe harbor.