Rule 11 Signing Pleadings, Motions, and Other Documents;

Representations to Court; Sanctions.

Signature. Every pleading, written motion, and other paper must be signed by at least one attorney of record in the attorney’s name—or by a party personally if the party is unrepresented. The paper must state the signer’s address, e-mail address, and telephone number. Unless a rule or statute specifically states otherwise, a pleading need not be verified or accompanied by an affidavit. The court must strike an unsigned paper unless the omission is promptly corrected after being called to the attorney’s or party’s attention. Pleadings, motions and other documents filed electronically must be signed in compliance with the Commonwealth Rules for Electronic Filing and Service (“/s/”).

Representations to the Court. By presenting to the court (whether by signing, filing, submitting, or later advocating) a pleading, written motion, or other document, an attorney or unrepresented party is certifying that to the best of the person’s knowledge, information, and belief, formed after an inquiry reasonable under the circumstances:

(1) it is not being presented for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation;

(2) the claims, defenses, and other legal contentions are warranted by existing law or by a non-frivolous argument for extending, modifying, or reversing existing law or for establishing new law;

(3) the factual contentions have evidentiary support or, if specifically so identified, will likely have evidentiary support after a reasonable opportunity for further investigation or discovery; and

(4) the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or a lack of information.

Sanctions. If, after notice and a reasonable opportunity to respond, the court determines that Rule 11(b) has been violated, the court may, subject to the conditions stated below, impose an appropriate sanction upon the attorneys, law firms, or parties that have violated Rule 11(b) or are responsible for the violation.

(1) How Initiated.

(A) By Motion. A motion for sanctions must be made separately from any other motion and must describe the specific conduct that allegedly violates Rule 11(b). The motion must be served under Rule 5, but it must not be filed or be presented to the court if the challenged paper, claim, defense, contention, or denial is withdrawn or appropriately corrected within 21 days after service or within another time the court sets. If warranted, the court may award to the prevailing party the reasonable expenses, including attorney’s fees, incurred for the motion. Absent exceptional circumstances, a law firm must be held jointly responsible for violations committed by its partners, associates, and employees.

(B) On Court’s Initiative. On its own initiative, the court may enter an order describing the specific conduct that appears to violate Rule 11(b) and directing an attorney, law firm, or party to show cause why the described conduct has not violated Rule 11(b).

(2) Nature of Sanction; Limitations. A sanction imposed for violation of Rule 11 must be limited to what is sufficient to deter repetition of such conduct or comparable conduct by others similarly situated. Subject to the limitations in Rule 11(c)(2)(A) or (B), the sanction may consist of, or include, directives of a nonmonetary nature, an order to pay a penalty into court, or, if imposed on motion and warranted for effective deterrence, an order directing payment to the movant of some or all of the reasonable attorney’s fees and other expenses incurred as a direct result of the violation.

(A) The court must not impose a monetary sanction:

(i) against a represented party for violating Rule 11(b)(2);

(ii) on its own, unless it issued the show-cause order under Rule 11(c)(1)(B) before voluntary dismissal or settlement of the claims made by or against the party that is, or whose attorneys are, to be sanctioned.

(3) Order. When imposing sanctions, the court must describe the conduct determined to constitute a violation of Rule 11 and explain the basis for the sanction imposed.

Inapplicability to Discovery.

This rule does not apply to disclosures and discovery requests, responses, objections, and motions under Rules 26 through 37.