Legal Definitions - Upon information or belief

The phrase "upon information or belief" is a legal term used in formal documents, such as court filings (pleadings) or sworn statements (affidavits), to qualify a statement or allegation. It signifies that the person making the statement does not have direct, firsthand knowledge of the fact being asserted, but genuinely believes it to be true based on reliable information they have received from others or a reasonable inference drawn from available facts.

This qualification is crucial because it allows individuals to include necessary facts or allegations in legal proceedings without falsely claiming personal observation or direct knowledge. By using "upon information or belief," the person is honestly stating their understanding, thereby protecting them from potential charges of perjury (lying under oath) if the statement later turns out to be inaccurate, provided they genuinely believed it to be true at the time it was made.

Here are some examples illustrating its use:

• Example 1: A Lawsuit Complaint

  Imagine a homeowner suing a plumbing company for water damage caused by a faulty pipe installation. The homeowner did not personally observe the installation process or the specific defect in the pipe.

  In their legal complaint, they might state: "Upon information and belief, the defendant's employees failed to properly seal the connection between the water main and the kitchen sink, leading to a slow leak."

  Explanation: The homeowner is relying on information from an independent plumber who inspected the damage and identified the faulty connection. By using "upon information and belief," they are accurately presenting the findings of the expert without claiming they personally witnessed the original improper sealing during installation.

• Example 2: A Sworn Affidavit from a Witness

  Consider a human resources manager providing a sworn affidavit in a workplace discrimination case. The manager did not directly witness the alleged discriminatory remarks but was informed about them by other employees.

  The manager might declare: "I state upon information and belief that Employee A made derogatory comments about Employee B's national origin on multiple occasions in the breakroom, as reported by several colleagues."

  Explanation: The manager is relaying information gathered from other employees during an internal investigation. They believe these reports to be credible. This phrase allows them to include these crucial allegations in a sworn statement without falsely claiming to have personally heard the remarks.

• Example 3: A Corporate Legal Declaration

  Suppose a Chief Financial Officer (CFO) of a large corporation needs to sign a declaration accompanying a complex financial report submitted to a regulatory body. While the CFO oversees the financial operations, they do not personally audit every transaction or calculate every figure.

  The CFO might sign a declaration stating: "I declare upon information and belief that the financial statements and projections contained herein fairly present the financial condition and results of operations of the company for the period specified."

  Explanation: The CFO is relying on the diligent work of their finance team, auditors, and accounting systems to compile the report. They believe the information is accurate and complete based on the data provided to them. This phrase enables them to attest to the overall accuracy of the extensive financial data without claiming to have personally verified every single entry.