Legal Definitions - Rule 11

Rule 11 refers to a procedural rule that varies depending on the jurisdiction. It generally addresses the integrity of documents filed with a court or agreements made between parties in a lawsuit.

In Federal Practice (Federal Rule of Civil Procedure 11)

In federal courts, Rule 11 requires that every legal document—such as a complaint, motion, or response—filed with the court must be signed by an attorney or, if the party is representing themselves, by the party directly. By signing, the individual certifies to the court that:

• They have conducted a reasonable inquiry into the facts and legal arguments presented.
• The document is not being filed for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation.
• The legal arguments are warranted by existing law or by a non-frivolous argument for changing existing law.
• The factual contentions have evidentiary support or are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery.

If a court determines that Rule 11 has been violated, it can impose sanctions (penalties) on the attorney, law firm, or party responsible. These sanctions might include monetary fines, payment of the opposing side's attorney fees, or other non-monetary directives.

Examples of Federal Rule 11 in practice:

• Filing a Baseless Lawsuit: An attorney files a lawsuit on behalf of a client alleging a complex conspiracy, but has not conducted any preliminary investigation to support the claims. The attorney relies solely on the client's unverified assertions, which turn out to be entirely fabricated. The opposing party's attorney could file a motion for sanctions under Rule 11, arguing that the lawsuit was filed without a reasonable factual inquiry and for an improper purpose (e.g., to harass or extort a settlement).

  Explanation: This illustrates Rule 11 because the attorney failed to conduct a "reasonable inquiry" into the facts before signing and filing the complaint, thereby certifying that the factual contentions had evidentiary support when they did not.

• Repeated Frivolous Motions: During a lengthy civil case, an attorney repeatedly files motions to dismiss the case based on legal arguments that have already been considered and rejected by the court multiple times, without presenting any new legal authority or factual developments. The judge, or the opposing party, could initiate Rule 11 sanctions, asserting that these motions are being filed solely to delay the proceedings and increase litigation costs, rather than for a legitimate legal purpose.

  Explanation: This demonstrates Rule 11's prohibition against filing documents for "any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation," and that the legal arguments must be "warranted by existing law or by a non-frivolous argument for extending, modifying, or reversing existing law."

In Texas Practice (Texas Rule of Civil Procedure 11)

In Texas state courts, Rule 11 specifically addresses agreements between attorneys or parties regarding a pending lawsuit. It requires that for such an agreement to be enforceable by the court, it must either:

• Be in writing, signed by the attorneys or parties involved, and filed with the court record; or
• Be made in open court and entered into the court's official record (e.g., transcribed by a court reporter).

This rule prevents disputes over whether an agreement was made and ensures that the court has a clear record of any binding commitments between the parties.

Examples of Texas Rule 11 in practice:

• Verbal Settlement Agreement: During a phone call, attorneys for both sides in a personal injury lawsuit verbally agree to a settlement amount. However, before the written settlement documents are prepared, one party changes their mind and refuses to honor the agreement. Because the agreement was not put in writing, signed, and filed with the court, nor was it stated on the record in open court, it is generally not enforceable under Texas Rule 11.

  Explanation: This highlights Rule 11's requirement that agreements between parties must be in writing and signed, or made on the record, to be legally binding and enforceable by the court.

• Extension of Discovery Deadlines: Two attorneys agree via email to extend the deadline for exchanging discovery documents by two weeks. They both send emails confirming this agreement. To ensure this extension is binding and recognized by the court, they would typically draft a short written agreement (a "stipulation"), both sign it, and file it with the court. Alternatively, they could appear before the judge and state their agreement for the court reporter to record.

  Explanation: This shows how Rule 11 applies to procedural agreements. Even though emails might show an agreement, for it to be formally recognized and enforceable by the court, it needs to meet the Rule 11 criteria of being written, signed, and filed, or made on the record.