TITLE THREE — PLEADINGS AND MOTIONS
Rule 11. Appearances; Signing; Representations to the Court; Sanctions
Signing.
Every pleading of a party represented by an attorney shall be signed by at least one attorney who is admitted to practice in this State in the attorney’s name. Parties who are not represented by an attorney shall sign their pleadings. Except when otherwise specifically provided by rule or statute, pleadings need not be verified or accompanied by affidavit.
A filing is signed by the transmission of an electronic signature, being the name typed by the account holder who transmits the filing, together with the declaration that the contents are true and correct and that the account holder is authorized to submit the filing. The electronic filing system requires that an electronic signature be given and does not compare it to the account name, to any bar record, or to any other record. The integrity of the signature rests upon the authenticated account that transmitted the filing, which the electronic filing system records.
A paper is therefore signed by, and attributable to, the account holder who transmitted it. Where that account holder is an attorney of record for a party, the paper is signed by that attorney and is the paper of that party. Where that account holder is a party appearing without counsel, the paper is signed by that party.
The typed signature is not verified against the signer’s legal name and establishes no fact as to identity beyond the account that transmitted it.
If a pleading is not signed, or is signed with intent to defeat the purpose of this Rule, it may be stricken and the action may proceed as though the pleading had not been filed. For a willful violation of this rule an attorney may be subjected to appropriate disciplinary action. Similar action may be taken if scandalous or indecent matter is inserted.
Appearances.
The filing of any pleading, motion, or other paper shall constitute an appearance by the attorney who signs it, unless the paper states otherwise.
An appearance in a case may be made by filing a notice of appearance, containing the name of the attorney or person filing the notice, the username of that person, the party represented, and a statement that the attorney is admitted and in good standing.
No appearance shall, of itself, constitute a general appearance.
An attorney who is not yet a participant in a case may file a notice of appearance; that is the only paper such an attorney may file. Upon acceptance of the notice by the clerk, the attorney becomes the attorney of record for the party named and is thereafter served with every filing accepted in the case.
Entering an appearance in a case constitutes consent to electronic service through the electronic filing system, and no further consent is required of any party, whether represented or appearing without counsel.
Where an attorney named in a notice of appearance is suspended or disbarred, the notice shall be refused. The standing of an attorney is determined at the moment the appearance is entered.
The Solicitor General, or an attorney designated by the Solicitor General, shall enter an appearance for a government officer sued in an official capacity, as required by 7 R. Stat. § 122.005, and may enter an appearance upon intervention under 7 R. Stat. § 122.007.
Withdrawal and Substitution. The withdrawal of an attorney and the substitution of successor counsel are governed by Rule 11.1.
Representations to the Court. By presenting to the court a pleading, written motion, or other paper, whether by signing it, filing it, or later advocating it, an attorney or a party appearing without counsel certifies that the person has read the paper and that, to the best of the person’s knowledge, information, and belief formed after an inquiry reasonable under the circumstances:
the paper is not interposed for any improper purpose, such as to harass, to cause unnecessary delay, or needlessly to increase the cost of the litigation;
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;
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;
the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on belief or on a lack of information; and
the filing code selected for the paper truly describes its nature.
Sanctions on Motion; Safe Harbor.
A motion for sanctions shall be made separately from any other motion, shall describe with particularity the paper, claim, defense, contention, allegation, or denial challenged, and shall state the conduct alleged to violate Rule 11(4) or 7 R. Stat. §§ 132.301 or 132.302.
A motion by a party seeking sanctions shall be served upon the party to be sanctioned but shall not be filed with or presented to the court unless, within forty-eight (48) hours after service of the motion, the challenged paper, claim, defense, contention, allegation, or denial is not withdrawn or appropriately corrected, as required by 7 R. Stat. § 132.303.
Because the electronic filing system serves a paper only upon its acceptance onto the docket, a motion for sanctions cannot be served through that system without being filed. Service for the purpose of subdivision 5(2) of this rule is accomplished by delivering a complete copy of the motion to the party to be sanctioned, and to that party’s attorney of record, in the proceeding communications of the case or by direct message. The forty-eight (48) hour period runs from that delivery.
A motion for sanctions filed after the period has run shall state the date and time of service in Coordinated Universal Time, shall state that the challenged matter was not withdrawn or corrected, and shall attach as an exhibit the copy served and proof of its delivery. A motion that does not comply with this subdivision shall be denied.
Because a filing cannot be withdrawn from the record, a challenged paper is withdrawn for the purpose of the safe harbor by the filing of a notice, under the filing code for a Notice, that expressly abandons the paper, claim, defense, contention, allegation, or denial identified in the motion, and by the abandoning party’s ceasing to advocate it. A challenged paper is appropriately corrected by a corrected refiling under Rule 5.3 or by an amended pleading under Rule 16 that removes the challenged matter.
The withdrawal or correction of a challenged paper within the safe harbor period is not an admission and shall not be received in evidence upon any issue other than an application for sanctions.
Sanctions on the Court’s Initiative. The court may on its own initiative order an attorney or a party to show cause why conduct specifically described in the order has not violated Rule 11(4) or 7 R. Stat. §§ 132.301 or 132.302. The order shall fix a period, of not less than twenty-four (24) hours, within which the response shall be filed. The safe harbor of Rule 11(5) does not apply to an order issued under this subdivision.
Award of Fees for an Unsupported Claim or Defense. Upon the court’s initiative or the motion of any party, the court shall award a reasonable attorney’s fee to be paid to the prevailing party in equal amounts by the losing party and the losing party’s attorney, on any claim or defense at any time during a civil proceeding or action in which the court finds that the losing party or the losing party’s attorney knew or should have known that a claim or defense, when initially presented to the court or at any time before trial, was not supported by the material facts necessary to establish the claim or defense, or would not be supported by the application of then-existing law to those material facts, as provided by 7 R. Stat. § 132.301.
Sanctions for Improper Delay. At any time in any civil proceeding or action in which the moving party proves by a preponderance of the evidence that any action taken by the opposing party, including the filing of any pleading or part thereof, the assertion of or response to any discovery demand, the assertion of any claim or defense, or the response to any request by any other party, was taken primarily for the purpose of unreasonable delay, the court shall award damages to the moving party for its reasonable expenses incurred in obtaining the order, which may include attorney’s fees, and other loss resulting from the improper delay, as provided by 7 R. Stat. § 132.302.
Defenses Against Sanction. Monetary sanctions shall not be awarded where, as provided by 7 R. Stat. § 132.304:
the court determines that the claim or defense was initially presented to the court as a good faith argument for the extension, modification, or reversal of existing law, or the establishment of new law, as it applied to the material facts, with a reasonable expectation of success;
the losing party’s attorney acted in good faith, based on the representations of his or her client as to the existence of those material facts; or
the court acts on its own initiative and issues sanction after the voluntary dismissal or settlement of the challenged claims by the party to be sanctioned.
Nature and Extent of a Sanction. A sanction shall be limited to what suffices to deter repetition of the conduct or comparable conduct by others similarly situated. In addition to the monetary awards required by subdivisions 7 and 8 of this rule, the court may strike a paper, deny a motion, prohibit the assertion of a claim or defense, refer an attorney for disciplinary action to the Supreme Court under Const. art. V § 3, or enter any other just order. Where a party appearing without counsel is sanctioned, the award required by subdivision 7 shall be paid by that party alone.
Requirements for an Order. An order imposing a sanction shall describe the sanctioned conduct, identify the provision violated, and explain the basis for the sanction and for its amount.