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JURISDICTION: FEDERAL

This template applies to United States District Courts and Circuit Courts of Appeals governed by FRCP, FRAP, and Federal Rules of Evidence.

NOTICE OF NON-COMPLIANCE - OPPOSING COUNSEL (Federal)

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1. Professional Duties and Obligations

You represent {{Party Name}} in the above-captioned matter as {{lead counsel / co-counsel / appointed counsel}}, bound by:

• Model Rules of Professional Conduct as adopted by {{State Bar}}
• Federal Rules of Civil Procedure (duties of candor and good faith)
• Local Rules for the {{District}} District of {{State}}
• Federal Rules of Criminal Procedure {{if criminal case}}
• {{State}} Rules of Professional Conduct
• Standards for Professional Conduct adopted by {{Circuit}} Circuit {{if applicable}}

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2. Identified Violations

The following professional duties have not been performed, or have been violated, as of {{date}}:

Violation 1: Failure to Comply with Discovery Obligations (FRCP 26, Model Rule 3.4)

Pursuant to FRCP 26(a) and Model Rule 3.4(d):

• Initial Disclosures: FRCP 26(a)(1) required initial disclosures within 14 days of FRCP 26(f) conference. Conference occurred {{date}}. No disclosures received as of {{date}} ({{X}} days overdue).

• Interrogatory Responses: Interrogatories served {{date}} required responses within 30 days (FRCP 33(b)(2)). No responses received as of {{date}} ({{X}} days overdue).

• Document Production: Document requests served {{date}} required responses within 30 days (FRCP 34(b)(2)(A)). No production received as of {{date}} ({{X}} days overdue).

• Supplementation: FRCP 26(e) requires timely supplementation of prior responses. {{Describe failure to supplement}}.

Effect:

• Discovery cutoff is {{date}} ({{X}} days away)
• Unable to prepare for {{deposition / summary judgment / trial}} without responses
• Client's ability to present case severely prejudiced
• Pattern of delay and obstruction

Violation 2: Misrepresentations to Court (Model Rule 3.3, FRCP 11)

Model Rule 3.3(a) prohibits false statements of fact or law to a tribunal:

On {{date}}, you {{filed brief / made oral representation / submitted declaration}} stating: "{{Quote false statement}}"

This statement is false because:

• {{Reason 1 - cite to record, exhibits, or other evidence}}
• {{Reason 2}}

{{If applicable:}} You knew or should have known this was false because {{your prior filings / deposition testimony / documents in your possession / publicly available records}} contradict this statement.

This violates:

• Model Rule 3.3(a)(1): Knowingly making false statement of fact
• FRCP 11(b)(3): Factual contentions have evidentiary support
• FRCP 11(b)(2): Legal contentions warranted by existing law

Violation 3: Failure to Disclose Controlling Adverse Authority (Model Rule 3.3(a)(2))

Model Rule 3.3(a)(2) requires disclosure of controlling adverse legal authority not disclosed by opposing counsel.

In your {{brief / memorandum}} filed {{date}} (ECF No. {{X}}), you argued {{legal position}}.

You failed to disclose the following controlling adverse authority:

1. {{Case Name}}, {{Citation}} ({{Court}}, {{Year}}): {{Holding directly contrary to your argument}}

2. {{Statute/Rule}}: {{Statutory provision contradicting your position}}

This authority is:

• Controlling in this Circuit/District
• Directly on point to the issue briefed
• Adverse to your client's position
• Not disclosed by opposing counsel (me/my client)

Failure to cite this authority violates Model Rule 3.3(a)(2) duty of candor to tribunal.

Violation 4: Improper Ex Parte Contact (Model Rule 3.5)

Model Rule 3.5(b) prohibits ex parte communications with judge regarding merits of proceeding.

On {{date}}, you {{communicated with chambers / sent letter to judge / contacted clerk regarding substantive matter}} without notice to opposing counsel.

{{Describe ex parte contact - attach evidence if possible}}

This violates:

• Model Rule 3.5(b): Ex parte communication with judge
• Local Rule {{X}}: Procedures for contacting chambers
• Due process rights of opposing party

Violation 5: {{Additional Violations - Select as Applicable}}

Model Rule 3.4(a) - Obstruction of Access to Evidence: {{Example: Instructed client to destroy documents / concealed evidence / obstructed access to witnesses}}

Model Rule 3.4(c) - Frivolous Discovery: {{Example: Served 500 interrogatories designed to harass / demanded production of irrelevant documents to impose burden}}

Model Rule 4.4 - Respecting Rights of Third Persons: {{Example: Subpoenaed third-party witness solely to harass / used discovery to embarrass non-party}}

Model Rule 8.4(c) - Conduct Involving Dishonesty: {{Example: Misrepresented settlement authority / fabricated client communication / forged signature}}

Model Rule 8.4(d) - Conduct Prejudicial to Administration of Justice: {{Example: Pattern of missing deadlines / failing to appear at hearings / ignoring court orders}}

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3. Demand for Compliance

You are hereby demanded to:

A. Cure Discovery Violations (Within 7 Days)

1. Serve complete initial disclosures pursuant to FRCP 26(a)(1).

2. Serve complete responses to Interrogatories (Set {{X}}) served {{date}}.

3. Produce all responsive documents to Document Requests (Set {{X}}) served {{date}}.

4. Supplement all prior deficient responses pursuant to FRCP 26(e).

B. Correct Misrepresentations to Court (Within 7 Days)

1. File notice with the Court correcting false statement made in {{brief/hearing}} on {{date}}.

2. Move to withdraw or amend {{filing}} containing misrepresentation.

3. Provide accurate information to Court and opposing counsel.

C. Disclose Adverse Authority (Within 7 Days)

1. File supplemental memorandum citing controlling adverse authority ({{Case Name}}).

2. Acknowledge to Court that this authority was omitted from prior filing.

D. Cease Ex Parte Contact (Immediately)

1. Cease all ex parte communications with Court regarding merits of case.

2. Follow Local Rule {{X}} procedures for contacting chambers (copy opposing counsel).

3. Acknowledge violation to Court and opposing counsel.

E. {{Additional Demands}}

{{Specify other corrective actions required}}

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4. Legal Authority

Model Rule 3.3 - Candor Toward the Tribunal

"(a) A lawyer shall not knowingly: (1) make a false statement of fact or law to a tribunal... (2) fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel..."

This is a foundational duty. Nix v. Whiteside, 475 U.S. 157, 168 (1986): Duty of candor "is essential to the proper functioning of the adversary system."

Model Rule 3.4 - Fairness to Opposing Party and Counsel

"A lawyer shall not: (a) unlawfully obstruct another party's access to evidence... (d) in pretrial procedure... fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party..."

Discovery abuse is sanctionable. See FRCP 37.

Model Rule 8.4 - Misconduct

"(c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation; (d) engage in conduct that is prejudicial to the administration of justice..."

Persistent discovery violations, misrepresentations, and obstruction constitute misconduct under Model Rule 8.4.

Federal Rules of Civil Procedure - FRCP 11

FRCP 11(b) requires that attorney representations to court are:

• Not presented for improper purpose
• Warranted by existing law or good faith argument for change
• Supported by evidence or likely to have evidentiary support
• Denials based on reasonably based belief or lack of information

Violation subjects attorney to sanctions under FRCP 11(c).

{{State}} Rules of Professional Conduct

{{Insert parallel provisions from state RPC if different from Model Rules - particularly if state has adopted different language or additional duties}}

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5. Record Preservation and Further Relief

This Notice of Non-Compliance serves as:

• Formal notice of professional violations for disciplinary and judicial review
• Preservation of objection to misconduct for sanctions motions and appellate review
• Predicate for the following relief if compliance is not forthcoming:

Judicial Remedies:

1. FRCP 37 Motion for Discovery Sanctions (including fees and costs)
2. FRCP 11 Motion for Sanctions (misrepresentations to court)
3. Motion to Strike pleadings or filings containing false statements
4. Motion for Default if discovery obstruction prevents trial preparation
5. Motion for Contempt if court orders violated

Disciplinary Complaints: 6. Complaint to {{State}} Bar Disciplinary Committee for violation of Rules of Professional Conduct 7. Complaint to {{District Court}} Grievance Committee (if local rules establish grievance procedures) 8. Report to {{Circuit}} Judicial Conference Committee on Lawyer Conduct {{if applicable}}

Appellate Preservation: 9. Include in appellate brief as pattern of misconduct affecting fairness of proceedings 10. Cite to this notice as evidence of knowing violations and bad faith

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6. Opportunity to Cure

Before filing sanctions motions or disciplinary complaints, I am providing this opportunity to cure violations:

7-Day Cure Period:

If you:

1. Comply with all demands in Section 3 within seven (7) business days;
2. Provide written confirmation of compliance; and
3. Cease further violations;

Then I will consider the matter resolved without filing sanctions motions or grievances.

Failure to Cure:

If you fail to cure within seven (7) days, I will:

1. File FRCP 37 motion for discovery sanctions
2. File FRCP 11 motion for sanctions (if safe harbor applies)
3. File disciplinary complaint with {{State}} Bar
4. Seek all available relief including attorney's fees and costs

Safe Harbor (FRCP 11(c)(2)):

{{If applicable to FRCP 11 violations:}}

Pursuant to FRCP 11(c)(2), this notice provides you with 21 days to withdraw or correct the challenged filing before a sanctions motion may be filed. This 21-day safe harbor period runs from service of this notice.

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7. Service and Filing

This Notice of Non-Compliance is:

• Served on {{Attorney Name}} via {{email / certified mail / CM/ECF}}
• Served on all parties via CM/ECF {{or}} Not filed (per FRCP 11(c)(2) safe harbor requirement)
• Courtesy copy provided to {{supervising attorney / law firm managing partner}} {{if applicable}}

Note: Pursuant to FRCP 11(c)(2), sanctions motions based on FRCP 11 violations must not be filed until 21 days after service of this notice, giving you opportunity to cure. Discovery sanction motions under FRCP 37 are not subject to safe harbor and may be filed immediately if violations continue.

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CONCLUSION

The Rules of Professional Conduct exist to ensure integrity of the adversary system and protect the administration of justice. Your violations of these rules have prejudiced my client's case and undermined the judicial process.

This is a professional courtesy notice providing you opportunity to cure before sanctions motions and disciplinary complaints are filed. I urge you to comply with the demands in Section 3 within seven (7) business days.

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Respectfully submitted,

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{{Your Signature}} {{Your Name}} {{Pro Se Party / Attorney for {{Party}}}} {{Address}} {{Phone}} {{Email}} {{Bar Number}}

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CERTIFICATE OF SERVICE

I hereby certify that on {{date}}, a true and correct copy of this Notice of Non-Compliance was served on {{Attorney Name}} via {{method}}.

{{If FRCP 11 safe harbor applies:}} This notice was not filed with the Court pursuant to FRCP 11(c)(2) safe harbor requirements.

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{{Signature}} {{Name}}

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APPENDIX: RELEVANT AUTHORITIES

Model Rules of Professional Conduct:

• Rule 3.1: Meritorious claims and contentions
• Rule 3.2: Expediting litigation
• Rule 3.3: Candor toward tribunal
• Rule 3.4: Fairness to opposing party and counsel
• Rule 3.5: Impartiality and decorum of tribunal (ex parte communications)
• Rule 4.4: Respect for rights of third persons
• Rule 8.4: Misconduct

Federal Rules of Civil Procedure:

• FRCP 11: Representations to court; sanctions
• FRCP 26: General provisions governing discovery
• FRCP 26(a): Duty to disclose
• FRCP 26(e): Supplementing disclosures and responses
• FRCP 33: Interrogatories to parties
• FRCP 34: Producing documents and things
• FRCP 37: Failure to make disclosures or cooperate in discovery; sanctions

Federal Rules of Criminal Procedure: {{If criminal case - insert relevant FRCrP provisions, particularly Rule 16 (discovery) and Brady obligations}}

{{State}} Rules of Professional Conduct: {{Insert state-specific RPC citations if different from Model Rules}}

Precedent on Attorney Sanctions:

• Chambers v. NASCO, Inc., 501 U.S. 32 (1991) (inherent authority to sanction bad faith conduct)
• Roadway Express, Inc. v. Piper, 447 U.S. 752 (1980) (attorney fees for bad faith litigation conduct)
• {{Circuit precedent on discovery abuse and sanctions}}

Local Rules: {{Insert applicable local rules - particularly rules on attorney conduct, discovery procedures, communication with chambers}}

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Resources:

• {{State}} Rules of Professional Conduct: {{Insert URL}}
• ABA Model Rules: https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/
• {{State}} Bar Disciplinary Procedures: {{Insert URL}}
• {{District}} Local Rules: {{Insert district court URL}}
• FRCP full text: https://www.law.cornell.edu/rules/frcp

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Common Professional Duty Violations:

Violation	Authority	Remedy
False statement to court	Model Rule 3.3(a)(1), FRCP 11	Sanctions, discipline
Failure to cite adverse authority	Model Rule 3.3(a)(2)	Sanctions, discipline
Discovery abuse	Model Rule 3.4(d), FRCP 26, 37	FRCP 37 sanctions
Ex parte contact with judge	Model Rule 3.5(b)	Sanctions, discipline
Obstruction of evidence	Model Rule 3.4(a)	Sanctions, adverse inference
Dishonesty	Model Rule 8.4(c)	Discipline
Prejudicial to justice	Model Rule 8.4(d)	Discipline