Which statement correctly describes the difference between Rule 11(b)(3) and Rule 11(b)(4)?

Which statement correctly describes the difference between Rule 11(b)(3) and Rule 11(b)(4)?

• A. 11(b)(3) applies to claims and 11(b)(4) applies to denials
• B. 11(b)(3) requires discovery; 11(b)(4) requires testimony
• C. 11(b)(3) relates to sanctions; 11(b)(4) relates to affidavits
• D. 11(b)(3) deals with court orders

Answer: (A)

Rule 11 requires the attorney to certify that the factual contentions in the pleadings have evidentiary support (or will have after discovery) and that any denials are warranted by evidence (or will be after discovery). The difference between the two subparts is that one governs the factual contentions behind the claims and defenses, while the other governs the denials of those factual contentions. In short, one part focuses on the support for the claims themselves, the other on the support for the denials of those claims. Sanctions can flow if these representations are false, but the distinction here is about contentions versus denials and their evidentiary backing.

Rule 11 requires the attorney to certify that the factual contentions in the pleadings have evidentiary support (or will have after discovery) and that any denials are warranted by evidence (or will be after discovery). The difference between the two subparts is that one governs the factual contentions behind the claims and defenses, while the other governs the denials of those factual contentions. In short, one part focuses on the support for the claims themselves, the other on the support for the denials of those claims. Sanctions can flow if these representations are false, but the distinction here is about contentions versus denials and their evidentiary backing.