Rule 55.03 Signing of Pleadings, Motions, and Other Papers; Representations to Court; Sanctions

• Library: Civil Procedure (2007 Ed. + 2013 Supp)

III. Rule 55.03 Signing of Pleadings, Motions, and Other Papers; Representations to Court; Sanctions

A. Text of Rule

(a) Signature Required. Every pleading, motion, and other filing 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. Every filing made electronically must add a certificate verifying that the original was signed by the attorney or party shown as the filer. The original signed filing must be maintained by the filer for a period of not less than the maximum allowable time to complete the appellate process.

Each filing shall state the filer's address, Missouri bar number, telephone number, facsimile number, and electronic mail address, if any.

An unsigned filing or an electronic filing without the required certification shall be stricken unless the omission is corrected promptly after being called to the attention of the attorney or party filing same.

(b) Representation to the Court. By presenting or maintaining a claim, defense, request, demand, objection, contention, or argument in a pleading, motion, or other paper filed with or submitted to the court, an attorney or party is certifying that to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, that:

(1) the claim, defense, request, demand, objection, contention, or argument is not presented or maintained 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 denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on a lack of information or belief.

(c) Sanctions. If after notice and a reasonable opportunity to respond the court finds that Rule 55.03(b) has been violated, the court, subject to the conditions below, may impose an appropriate sanction upon the lawyers, law firms, or parties that have committed or are responsible for the violation.

(1) How Initiated.

(A) By Motion. A motion for sanctions under this Rule 55.03 shall be made separately from other motions or requests and shall describe the specific conduct alleged to violate Rule 55.03(b). The motion shall be served as provided in Rule 43.01. The motion shall not be filed with or presented to the court unless within thirty days after service of the motion the challenged claim, defense, request, demand, objection, contention, or argument 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, or 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 55.03(b) and directing a lawyer, law firm or party to withdraw or correct the questioned claim, defense, request, demand, objection, contention or argument or to show cause why it has not violated the rule with respect thereto.

(2) Nature of Sanction—Limitations. A sanction imposed for violation of this Rule 55.03 shall be limited to that which is sufficient to deter repetition of the conduct or comparable conduct by others similarly situated. Subject to the limitations in Rule 55.03(c)(1), 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) Monetary sanctions shall not be awarded against a represented party for a violation of Rule 55.03(b)(2).

(B) Monetary sanctions shall 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 that is, or whose lawyers are, to be sanctioned.

(3) Order. When imposing sanctions, the court shall describe the conduct determined to constitute a violation of this Rule 55.03 and explain the basis for the sanction imposed.

(d) Inapplicability to Discovery. This Rule 55.03 does not apply to disclosures and discovery requests, responses, objections, and motions that are subject to the provisions of Rules 56 through 61.

(e) Sanctions for Conduct in Prior Action. If conduct constituting a violation of Rule 55.03(b) occurs but the civil action is dismissed and if a civil action based upon or including the same claim against the same party is thereafter filed, the court on its own motion or on motion of a party to the first action may impose an appropriate sanction in the second action for the violation of Rule 55.03(b). The sanction shall be imposed in the manner provided by Rule 55.03(c). In determining the sanction to impose, the court shall consider the costs and expenses incurred in the action previously dismissed, including the reasonable attorney's fees incurred in the first action.

B. Historical Note

Rule 55.03(a) was amended effective January 1, 2005, to provide means by which pleadings could be filed electronically.

C. Cross-References

This Rule is essentially the same as Federal Rule of Civil Procedure 11, but see Comment 2 below for a discussion of two significant differences between the two rules. See also Rule 84.19, which governs sanctions for frivolous appeals.

D. Time Constraints

A motion for sanctions may not be filed until 30 days after a copy of the motion has been served on the opposing party.

E. Comment

1. Signature Required

In Wallingford v. State, 131 S.W.3d 781, 782 (Mo. banc 2004), the Court reaffirmed that under Rule 55.03(a), despite the general language in Tooley v. State, 20 S.W.3d 519 (Mo. banc 2000), failure to sign a pleading renders it a nullity. Rule 55.03(a) provides a movant with the opportunity to correct the omission of a...