NCJ Number
107614
Journal
Georgetown Law Journal Volume: 74 Issue: 5 Dated: (June 1986) Pages: 1313-1369
Date Published
1986
Length
57 pages
Annotation
This article discusses the 1983 amendment to rule 11 of the Federal Rules of Civil Procedure, assesses its first 2 years of application, and recommends modifications that will minimize the rule's chilling effect on vigorous advocacy.
Abstract
Rule 11 now requires a lawyer signing a paper filed in Federal court to certify that 'after reasonable inquiry,' the paper has an adequate legal and factual basis and that it is not interposed for 'any improper purpose.' Monetary sanctions for rule violations are mandatory, and bad faith no longer needs to be shown to establish a violation. The rule has been broadly interpreted as punitive by Judge William W. Schwarzer of the Northern District of California. To lessen its potentially chilling effect on vigorous advocacy, while accomplishing the valid goals of deterring baseless and tactically motivated filings, the rule should be modified to impose sanctions only if the rule violation is not substantially justified. Also, the rule should be interpreted in the context of rule 8 and the general policies of the Federal Rules of Civil Procedure. The rule's language should proscribe monetary sanctions in excess of the costs and fees incurred by the opposing party and should not permit incorporation by reference of ethical duties to the court not explicitly stated in the rule. An appended listing of relevant cases and 250 footnotes.