1. CIVIL PROCEDURE CLASS 15 Professor Fischer Columbus School of Law The Catholic University of America Sept. 26, 2005

2. A Comparison of federal and state law on relation back - MA How does the applicable Massachusetts law in Christopher v. Duffy differ, if at all, from FRCP 15 (c )?

3. SUPPLEMENTAL PLEADINGS When and why would a court permit service of a “supplemental” pleading? What rule governs supplemental pleadings? MUST a party serve a supplemental pleading?

4. TIME LIMITS FOR RESPONDING TO AMENDED PLEADINGS How long does a party have to respond to an amended pleading? What is the governing FRCP?

5. Rule 11 of the FRCP Attorneys and parties are subject to certain PROFESSIONAL STANDARDS when filing PLEADINGS, MOTIONS and other LITIGATION DOCUMENTS as well as “LATER ADVOCATING” allegations in these documents in ORAL ARGUMENT Does not apply to DISCOVERY (11(d)) Failure to comply with Rule 11 MAY RESULT IN SANCTIONS against attorney, firm, party

6. MAJOR REVISIONS TO RULE 11 1983 (very stringent: mandatory sanctions requiring lawyers to conduct adequate factual and legal investigation before bringing civil lawsuits) 1993 (eased this stringency)

7. SIGNATURE REQUIREMENTS What signature requirements are laid down by Rule 11? What provision of Rule 11 provides for these signature requirements?

8. STANDARDS PLEADINGS MUST MEET: RULE 11(b) What does signing or filing a document with the court or later arguing on behalf of that document CERTIFY?

9. FRCP 11(b) certifications FRCP 11(b)(1): [the document] is not being presented for any improper purpose, such as to harass or to cause unnecessary delay or needless increase in the cost of litigation.

10. FRCP 11(b) certifications FRCP 11(b)(2): the claims, defenses, and other legal contentions therein are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law.

11. FRCP 11(b) certifications FRCP 11(b)(3): the allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery

12. FRCP 11(b) certifications FRCP 11(b)(4): the denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonable based on a lack of information or belief.

13. NONCOMPLIANCE WITH 11(b) What happens if a party or attorney violates any of the certification requirements in 11(b)?

14. NON-COMPLIANCE WITH FRCP 11(b FRCP Rule 11(c ) Attorney, law firm and/or party may be SANCTIONED! Sanctions are discretionary

15. RULES FOR SANCTIONS MOTIONS Separate motion 11(c)(1)(A) SAFE HARBOR RULE Sanctions motions must allege with specificity the alleged violations of Rule 11(b) Winning party may be awarded costs of sanctions motion 11(c)(1)(A)

16. COURT-INITIATED SANCTIONS If the court believes that Rule 11(b) has been violated, what is the procedure? Does the safe harbor apply to court-initiated sanctions? PLEASE NOTE: court-initiated sanctions are relatively rare and reserved only for grievously offending conduct similar to contempt of court

17. SANCTIONS Policy of deterrence Types of sanctions Limits on monetary sanctions

18. PROGRESS FEDERAL SAVINGS BANK v. NATWEST What is the court’s reasoning on sanctions in this case?