a Every pleading, written motion, and other paper shall be signed by at least one attorney of record in the attorney's individual name, or, if the party is not represented by an attorney, shall be signed by the party. Papers may be electronically signed in accordance with Rule 5B. Each paper shall state, to the extent available, the signer's address, telephone number, e-mail address, and Tennessee Board of Professional Responsibility number. Except when otherwise specifically provided by rule or statute, pleadings need not be verified or accompanied by affidavit. An unsigned paper shall be stricken unless omission of the signature is corrected promptly after being called to the attention of the attorney or party.
b Appearance of Counsel and Notification by Counsel Subject to Limited Scope Representation. An attorney providing limited scope representation to an otherwise unrepresented party shall file at the beginning of the representation an initial notice of limited scope representation with the court, simply stating that the representation is subject to a written limited scope representation agreement without disclosing the terms of the agreement. In addition to the initial notice of limited scope representation, when provided notice by another party, attorney or the court of a motion, pleading, discovery, hearing or other proceeding that is outside of the scope of the services provided pursuant to the limited scope representation agreement, an attorney shall promptly file a notice of limited appearance that the attorney does not represent the otherwise unrepresented party for purposes of the motion, pleading, discovery, hearing or other proceeding. The notice of limited appearance shall simply state that the limited scope representation does not include representation for purposes of the motion, pleading, discovery, hearing or other proceeding noticed and shall not otherwise disclose the terms of the limited scope representation agreement. The notice of limited appearance shall provide the otherwise unrepresented client with the deadline(s), if any, for responding to the motion, pleading, discovery, hearing or other proceeding and shall state the date, place and time of any hearing or other proceeding. If an initial notice of limited scope representation or a notice of limited appearance is filed, service shall be made as provided in Rule 5.02.
c Withdrawal of Counsel Upon Completion of a Limited Scope Representation. Upon the filing of a notice of completion of limited scope representation that is accompanied by a declaration from the attorney indicating that the attorney's obligations under a limited scope representation agreement have been satisfied, and that the attorney provided the otherwise unrepresented person at least fourteen (14) days advance written notice of the filing of notice of completion of limited scope representation, the attorney shall have withdrawn from representation in the case.
11.02 Representations to Court. By presenting to the court (whether by signing, filing, submitting, or later advocating) a pleading, written motion, or other paper, 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 or to cause unnecessary delay or needless increase in the cost of litigation;
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;
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; and
4 the denial of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on a lack of information or belief.
11.03 Sanctions. If, after notice and a reasonable opportunity to respond, the court determines that subdivision 11.02 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 subdivision 11.02 or are responsible for the violation.
1 How Initiated.
a By Motion. A motion for sanctions under this rule shall be made separately from other motions or requests and shall describe the specific conduct alleged to violate subdivision 11.02. It shall be served as provided in Rule 5, but shall not be filed with or presented to the court unless, within 21 days after service of the motion (or such other period as the court may prescribe), the challenged paper, claim, defense, contention, allegation, or denial is not withdrawn or appropriately corrected. If warranted, the court may award to the party prevailing on the motion the reasonable expenses and attorney's fees incurred in presenting or opposing the motion. Absent exceptional circumstances, a law firm shall 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 subdivision 11.02 and directing an attorney, law firm, or party to show cause why it has not violated subdivision 11.02 with respect thereto.
2 Nature of Sanctions; Limitations. A sanction imposed for violation of this rule shall be limited to what is sufficient to deter repetition of such conduct or comparable conduct by others similarly situated. Subject to the limitations in subparagraphs (a) and (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 attorneys' fees and other expenses incurred as a direct result of the violation.
a Monetary sanctions may not be awarded against a represented party for a violation of subdivision 11.02 (2).
b Monetary sanctions may not be awarded on the court's initiative unless the court issues its order to show cause before a voluntary dismissal or settlement of the claims made by or against the party which is, or whose attorneys are, to be sanctioned.
3 Order. When imposing sanctions, the court shall describe the conduct determined to constitute a violation of this rule and explain the basis for the sanction imposed.
11.04 Inapplicability to Discovery. Subdivisions 11.01 through 11.03 of this rule do not apply to disclosures and discovery requests, responses, objections, and motions that are subject to the provisions of Rules 26 through 37.
Rule 11.01 requires at least one attorney of record to sign every pleading, written motion, and other paper, or, if the party has no attorney, requires the party to sign personally. Each filing must state, where available, the signer’s address, phone number, email address, and Board of Professional Responsibility number. An unsigned paper must be struck unless the omission is corrected promptly once it is brought to the filer’s attention.
Rule 11.02 provides that presenting a pleading, motion, or paper to the court — whether by signing, filing, submitting, or later advocating it — certifies, to the best of the signer’s knowledge after a reasonable inquiry, that the filing is not being made for an improper purpose such as harassment or delay, that its legal contentions are warranted by existing law or a nonfrivolous argument to change it, that its factual contentions have or are likely to gain evidentiary support, and that any denials are warranted or reasonably based on a lack of information. Tennessee courts judge that inquiry by an objective reasonableness standard, not by whether the signer subjectively believed the filing was proper.
Rule 11.03 lets a court impose sanctions for a violation of Rule 11.02, but a sanctions motion cannot even be filed until the party accused of the violation has had 21 days after being served with the motion to withdraw or correct the offending filing — a safe-harbor period modeled on federal practice. Sanctions must be limited to what is sufficient to deter repeating the conduct, monetary sanctions cannot be imposed on a represented party for a violation involving only legal contentions, and the court must describe the violation and explain the sanction it imposes. Rule 11.04 makes clear that none of this applies to discovery disclosures, requests, responses, or objections, which are instead governed by the certification rules built into Rules 26 through 37.
Advisory Commission Comments.
Rule 11 makes it an absolute requirement that the attorney, if any, sign, and makes the signature, in effect, the attorney's statement that the pleading is filed in good faith. Rule 11 does not abrogate statutes which require that pleadings be verified or accompanied by affidavit. The [1987] revision includes motions and "other papers" as well as pleadings. Significantly, an attorney's belief that a court filing is well founded must be a belief "formed after reasonable inquiry." The amended wording therefore imposes an objective reasonable lawyer standard of inquiry. What inquiry is reasonable, of course, necessarily must depend on particular facts. If a client retains a lawyer on the eve of expiration of a statute of limitations, a reasonable inquiry must be performed in view of the exigencies of the situation. [1987.]