Federal Rules of Criminal Procedure

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FEDERAL RULES OF CIVIL PROCEDURE WITH FORMS

DECEMBER 1, 2011

Printed for the use

of

THE COMMITTEE ON THE JUDICIARY

HOUSE OF REPRESENTATIVES

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 2011

COMMITTEE ON THE JUDICIARY

ONE HUNDRED TWELFTH CONGRESS

LAMAR SMITH, Texas, Chairman

F. JAMES SENSENBRENNER, JR., Wisconsin

HOWARD COBLE, North Carolina

ELTON GALLEGLY, California

BOB GOODLATTE, Virginia

DANIEL E. LUNGREN, California

STEVE CHABOT, Ohio

DARRELL E. ISSA, California

MIKE PENCE, Indiana

J. RANDY FORBES, Virginia

STEVE KING, Iowa

TRENT FRANKS, Arizona

LOUIE GOHMERT, Texas

JIM JORDAN, Ohio

TED POE, Texas

JASON CHAFFETZ, Utah

TIM GRIFFIN, Arkansas

TOM MARINO, Pennsylvania

TREY GOWDY, South Carolina

DENNIS ROSS, Florida

SANDY ADAMS, Florida

BEN QUAYLE, Arizona

MARK AMODEI, Nevada

JOHN CONYERS, JR., Michigan

HOWARD L. BERMAN, California

JERROLD NADLER, New York

ROBERT C. ‘‘BOBBY’’ SCOTT, Virginia

MELVIN L. WATT, North Carolina

ZOE LOFGREN, California

SHEILA JACKSON LEE, Texas

MAXINE WATERS, California

STEVE COHEN, Tennessee

HENRY C. ‘‘HANK’’ JOHNSON, JR., Georgia

PEDRO R. PIERLUISI, Puerto Rico

MIKE QUIGLEY, Illinois

JUDY CHU, California

TED DEUTCH, Florida

LINDA T. SA´ NCHEZ, California

[Vacant]

SEAN MCLAUGHLIN, Majority Chief of Staff and General Counsel

PERRY APELBAUM, Minority Staff Director and Chief Counsel

(II)

FOREWORD

This document contains the Federal Rules of Civil Procedure to-

gether with forms, as amended to December 1, 2011. The rules and

forms have been promulgated and amended by the United States

Supreme Court pursuant to law, and further amended by Acts of

Congress. This document has been prepared by the Committee in

response to the need for an official up-to-date document contain-

ing the latest amendments to the rules.

For the convenience of the user, where a rule has been amended

a reference to the date the amendment was promulgated and the

date the amendment became effective follows the text of the rule.

The Committee on Rules of Practice and Procedure and the Ad-

visory Committee on the Federal Rules of Civil Procedure, Judi-

cial Conference of the United States, prepared notes explaining

the purpose and intent of the amendments to the rules. The Com-

mittee Notes may be found in the Appendix to Title 28, United

States Code, following the particular rule to which they relate.

DECEMBER 1, 2011.

Chairman, Committee on the Judiciary.

(III)

AUTHORITY FOR PROMULGATION OF RULES

TITLE 28, UNITED STATES CODE

§ 2072. Rules of procedure and evidence; power to prescribe

(a) The Supreme Court shall have the power to prescribe general

rules of practice and procedure and rules of evidence for cases in

the United States district courts (including proceedings before

magistrate judges thereof) and courts of appeals.

(b) Such rules shall not abridge, enlarge or modify any sub-

stantive right. All laws in conflict with such rules shall be of no

further force or effect after such rules have taken effect.

(c) Such rules may define when a ruling of a district court is

final for the purposes of appeal under section 1291 of this title.

(Added Pub. L. 100–702, title IV, § 401(a), Nov. 19, 1988, 102 Stat. 4648,

eff. Dec. 1, 1988; amended Pub. L. 101–650, title III, §§ 315, 321, Dec.

1, 1990, 104 Stat. 5115, 5117.)

§ 2073. Rules of procedure and evidence; method of prescribing

(a)(1) The Judicial Conference shall prescribe and publish the

procedures for the consideration of proposed rules under this sec-

tion.

(2) The Judicial Conference may authorize the appointment of

committees to assist the Conference by recommending rules to be

prescribed under sections 2072 and 2075 of this title. Each such

committee shall consist of members of the bench and the profes-

sional bar, and trial and appellate judges.

(b) The Judicial Conference shall authorize the appointment of

a standing committee on rules of practice, procedure, and evi-

dence under subsection (a) of this section. Such standing commit-

tee shall review each recommendation of any other committees so

appointed and recommend to the Judicial Conference rules of

practice, procedure, and evidence and such changes in rules pro-

posed by a committee appointed under subsection (a)(2) of this

section as may be necessary to maintain consistency and other-

wise promote the interest of justice.

(c)(1) Each meeting for the transaction of business under this

chapter by any committee appointed under this section shall be

open to the public, except when the committee so meeting, in

open session and with a majority present, determines that it is in

the public interest that all or part of the remainder of the meet-

ing on that day shall be closed to the public, and states the reason

for so closing the meeting. Minutes of each meeting for the trans-

action of business under this chapter shall be maintained by the

committee and made available to the public, except that any por-

tion of such minutes, relating to a closed meeting and made avail-

able to the public, may contain such deletions as may be nec-

essary to avoid frustrating the purposes of closing the meeting.

(V)

(2) Any meeting for the transaction of business under this chap-

ter, by a committee appointed under this section, shall be pre-

ceded by sufficient notice to enable all interested persons to at-

tend.

(d) In making a recommendation under this section or under

section 2072 or 2075, the body making that recommendation shall

provide a proposed rule, an explanatory note on the rule, and a

written report explaining the body’s action, including any minor-

ity or other separate views.

(e) Failure to comply with this section does not invalidate a rule

prescribed under section 2072 or 2075 of this title.

(Added Pub. L. 100–702, title IV, § 401(a), Nov. 19, 1988, 102 Stat. 4649,

eff. Dec. 1, 1988; amended Pub. L. 103–394, title I, § 104(e), Oct. 22,

1994, 108 Stat. 4110.)

§ 2074. Rules of procedure and evidence; submission to Congress;

effective date

(a) The Supreme Court shall transmit to the Congress not later

than May 1 of the year in which a rule prescribed under section

2072 is to become effective a copy of the proposed rule. Such rule

shall take effect no earlier than December 1 of the year in which

such rule is so transmitted unless otherwise provided by law. The

Supreme Court may fix the extent such rule shall apply to pro-

ceedings then pending, except that the Supreme Court shall not

require the application of such rule to further proceedings then

pending to the extent that, in the opinion of the court in which

such proceedings are pending, the application of such rule in such

proceedings would not be feasible or would work injustice, in

which event the former rule applies.

(b) Any such rule creating, abolishing, or modifying an evi-

dentiary privilege shall have no force or effect unless approved by

Act of Congress.

(Added Pub. L. 100–702, title IV, § 401(a), Nov. 19, 1988, 102 Stat. 4649,

eff. Dec. 1, 1988.)

HISTORICAL NOTE

The Supreme Court prescribes rules of civil procedure for the

district courts pursuant to section 2072 of Title 28, United States

Code, as enacted by Title IV ‘‘Rules Enabling Act’’ of Pub. L.

100–702 (approved Nov. 19, 1988, 102 Stat. 4648), effective December

1, 1988. Pursuant to section 2074 of Title 28, the Supreme Court

transmits to Congress (not later than May 1 of the year in which

a rule prescribed under section 2072 is to become effective) a copy

of the proposed rule. The rule takes effect no earlier than Decem-

ber 1 of the year in which the rule is transmitted unless otherwise

provided by law.

By act of June 19, 1934, ch. 651, 48 Stat. 1064 (subsequently 28

United States Code, § 2072), the Supreme Court was authorized to

prescribe general rules of civil procedure for the district courts.

The rules, and subsequent amendments, were not to take effect

until (1) they had been first reported to Congress by the Attorney

General at the beginning of a regular session and (2) after the

close of that session.

Under a 1949 amendment to 28 U.S.C., § 2072, the Chief Justice of

the United States, instead of the Attorney General, reported the

rules to Congress. In 1950, section 2072 was further amended so

that amendments to the rules could be reported to Congress not

later than May 1 each year and become effective 90 days after

being reported. Effective December 1, 1988, section 2072 was re-

pealed and supplanted by new sections 2072 and 2074, see first para-

graph of Historical Note above.

The original rules, pursuant to act of June 19, 1934, were adopted

by order of the Court on December 20, 1937, transmitted to Con-

gress by the Attorney General on January 3, 1938, and became ef-

fective September 16, 1938 (308 U.S. 645; Cong. Rec., vol. 83, pt. 1,

p. 13, Exec. Comm. 905; H. Doc. 460 and H. Doc. 588, 75th Cong.)

Rule 81(a)(6) was abrogated by order of the Court on December

28, 1939, transmitted to Congress by the Attorney General on Jan-

uary 3, 1940, effective April 3, 1941 (308 U.S. 642; Cong. Rec., vol. 86,

pt. 1, p. 14, Exec. Comm. 1152).

Further amendments were adopted by the Court by order dated

December 27, 1946, transmitted to Congress by the Attorney Gen-

eral on January 3, 1947, and became effective March 19, 1948 (329

U.S. 839; Cong. Rec., vol. 93, pt. 1, p. 41, Exec. Comm. 32; H. Doc.

46 and H. Doc. 473, 80th Cong.). The amendments affected Rules 6,

7, 12, 13, 14, 17, 24, 26, 27, 28, 33, 34, 36, 41, 45, 52, 54, 56, 58, 59, 60,

62, 65, 66, 68, 73, 75, 77, 79, 81, 84, and 86, and Forms 17, 20, 22, and

25.

Additional amendments were adopted by the Court by order

dated December 29, 1948, transmitted to Congress by the Attorney

General on January 3, 1949, and became effective October 20, 1949

(335 U.S. 919; Cong. Rec., vol. 95, pt. 1, p. 94, Exec. Comm. 24; H.

(VII)

Doc. 33, 81st Cong.). The amendments affected Rules 1, 17, 22, 24,

25, 27, 37, 45, 57, 60, 62, 65, 66, 67, 69, 72, 73, 74, 75, 76, 79, 81, 82, and

86, and Forms 1, 19, 22, 23, and 27.

Amendment to Rule 81(a)(7) and new Rule 71A and Forms 28 and

29 were adopted by the Court by order dated April 30, 1951, trans-

mitted to Congress on May 1, 1951, and became effective August 1,

1951 (341 U.S. 959; Cong. Rec., vol. 97, pt. 4, p. 4666, Exec. Comm.

414; H. Doc. 121, 82d Cong.).

Additional amendments were adopted by the Court by order

dated April 17, 1961, transmitted to Congress by the Chief Justice

on April 18, 1961, and became effective July 19, 1961 (368 U.S. 1009;

Cong. Rec., vol. 107, pt. 5, p. 6524, Exec. Comm. 821). The amend-

ments affected Rules 25, 54, 62, and 86, and Forms 2 and 19.

Additional amendments were adopted by the Court by order

dated January 21, 1963, transmitted to Congress by the Chief Jus-

tice (374 U.S. 861; Cong. Rec., vol. 109, pt. 1, p. 1037, Exec. Comm.

267; H. Doc. 48, 88th Cong.), and became effective July 1, 1963, by

order of the Court dated March 18, 1963 (374 U.S. 861; Cong. Rec.,

vol. 109, pt. 4, p. 4639, Exec. Comm. 569; H. Doc. 48, pt. 2, 88th Cong.;

see also H. Doc. 67, 88th Cong.). The amendments affected Rules 4,

5, 6, 7, 12, 13, 14, 15, 24, 25, 26, 28, 30, 41, 49, 50, 52, 56, 58, 71A, 77, 79,

81, and 86, and Forms 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 16, 18, 21, 22–A,

and 22–B, and added Forms 30, 31, and 32.

Additional amendments were adopted by the Court by order

dated February 28, 1966, transmitted to Congress by the Chief Jus-

tice on the same day (383 U.S. 1029; Cong. Rec., vol. 112, pt. 4, p.

4229, Exec. Comm. 2094; H. Doc. 391, 89th Cong.), and became effec-

tive July 1, 1966. The amendments affected Rules 1, 4, 8, 9, 12, 13,

14, 15, 17, 18, 19, 20, 23, 24, 26, 38, 41, 42, 43, 44, 47, 53, 59, 65, 68, 73,

74, 75, 81, and 82, and Forms 2 and 15, and added Rules 23.1, 23.2,

44.1, and 65.1, and Supplementary Rules A, B, C, D, E, and F for

certain Admiralty and Maritime claims. The amendments govern

all proceedings in actions brought after they became effective and

also all further proceedings in actions then pending, except to the

extent that in the opinion of the Court an application in a par-

ticular action then pending would not be feasible or would work

injustice, in which event the former procedure applies.

In addition, Rule 6(c) of the Rules of Civil Procedure promul-

gated by the Court on December 20, 1937, effective September 16,

1938; Rule 2 of the Rules for Practice and Procedure under section

25 of an act to amend and consolidate the acts respecting copy-

right, approved March 4, 1909, promulgated by the Court on June

1, 1909, effective July 1, 1909; and the Rules of Practice in Admi-

ralty and Maritime Cases, promulgated by the Court on December

6, 1920, effective March 7, 1921, as revised, amended and supple-

mented, were rescinded, effective July 1, 1966.

Additional amendments were adopted by the Court by order

dated December 4, 1967, transmitted to Congress by the Chief Jus-

tice on January 15, 1968 (389 U.S. 1121; Cong. Rec., vol. 114, pt. 1,

p. 113, Exec. Comm. 1361; H. Doc. 204, 90th Cong.), and became ef-

fective July 1, 1968. The amendments affected Rules 6(b), 9(h),

41(a)(1), 77(d), 81(a), and abrogated the chapter heading ‘‘IX. Ap-

peals’’ and Rules 72–76, and Form 27.

Additional amendments were adopted by the Court by order

dated March 30, 1970, transmitted to Congress by the Chief Justice

on the same day (398 U.S. 977; Cong. Rec., vol. 116, pt. 7, p. 9861,

Exec. Comm. 1839; H. Doc. 91–291), and became effective July 1,

1970. The amendments affected Rules 5(a), 9(h), 26, 29 to 37, 45(d),

and 69(a), and Form 24.

On March 1, 1971, the Court adopted additional amendments,

which were transmitted to Congress by the Chief Justice on the

same day (401 U.S. 1017; Cong. Rec., vol. 117, pt. 4, p. 4629, Exec.

Comm. 341; H. Doc. 92–57), and became effective July 1, 1971. The

amendments affected Rules 6(a), 27(a)(4), 30(b)(6), 77(c), and

81(a)(2).

Further amendments were proposed by the Court in its orders

dated November 20 and December 18, 1972, and transmitted to Con-

gress by the Chief Justice on February 5, 1973 (409 U.S. 1132 and 419

U.S. 1133; Cong. Rec., vol. 119, pt. 3, p. 3247, Exec. Comm. 359; H.

Doc. 93–46). Although these amendments were to have become ef-

fective July 1, 1973, Public Law 93–12 (approved March 30, 1973, 87

Stat. 9) provided that the proposed amendments ‘‘shall have no

force or effect except to the extent, and with such amendments,

as they may be expressly approved by Act of Congress.’’ Section

3 of Public Law 93–595 (approved January 2, 1975, 88 Stat. 1949) ap-

proved the amendments proposed by the Court, to be effective

July 1, 1975. The amendments affected Rules 30(c), 43, and 44.1, and

abrogated Rule 32(c).

On April 29, 1980, the Court adopted additional amendments,

which were transmitted to Congress by the Chief Justice on the

same day (446 U.S. 995; Cong. Rec., vol. 126, pt. 8, p. 9535, Exec.

Comm. 4260; H. Doc. 96–306), and became effective August 1, 1980.

The amendments affected Rules 4, 5, 26, 28, 30, 32, 33, 34, 37, and 45.

Section 205(a) and (b) of Public Law 96–481 (approved October 21,

1980, 94 Stat. 2330) repealed Rule 37(f) and deleted the correspond-

ing item from the Table of Contents, to be effective October 1,

1981.

Amendments to Rule 4 were adopted by the Court by order dated

April 28, 1982, transmitted to Congress by the Chief Justice on the

same day (456 U.S. 1013; Cong. Rec., vol. 128, pt. 6, p. 8191, Exec.

Comm. 3822; H. Doc. 97–173), and became effective August 1, 1982.

However, Public Law 97–227 (approved August 2, 1982, 96 Stat. 246)

provided that the amendments to Rule 4 shall take effect on Octo-

ber 1, 1983, unless previously approved, disapproved, or modified by

Act of Congress, and further provided that this Act shall be effec-

tive as of August 1, 1982, but shall not apply to the service of proc-

ess that takes place between August 1, 1982, and the date of enact-

ment of this Act [August 2, 1982]. Section 5 of Public Law 97–462

(approved January 12, 1983, 96 Stat. 2530) provided that the amend-

ments to Rule 4 the effective date of which was delayed by Public

Law 97–227 shall not take effect. Sections 2 to 4 of Public Law

97–462 amended Rule 4(a), (c) to (e), and (g), added Rule 4(j), and

added Form 18–A in the Appendix of Forms, effective 45 days after

enactment of Public Law 97–462 [February 26, 1983].

Additional amendments were adopted by the Court by order

dated April 28, 1983, transmitted to Congress by the Chief Justice

on the same day (461 U.S. 1095; Cong. Rec., vol. 129, pt. 8, p. 10479,

Exec. Comm. 1027; H. Doc. 98–54), and became effective August 1,

1983. The amendments included new Rules 26(g), 53(f), 72 through

76 and new Official Forms 33 and 34, and amendments to Rules

6(b), 7(b), 11, 16, 26(a), (b), 52(a), 53(a), (b), (c), and 67.

Additional amendments were adopted by the Court by order

dated April 29, 1985, transmitted to Congress by the Chief Justice

on the same day (471 U.S. 1153; Cong. Rec., vol. 131, pt. 7, p. 9826,

Exec. Comm. 1156; H. Doc. 99–63), and became effective August 1,

1985. The amendments affected Rules 6(a), 45(d)(2), 52(a), 71A(h),

and 83, Official Form 18–A, and Rules B(1), C(3), and E(4)(f) of the

Supplemental Rules for Certain Admiralty and Maritime Claims.

Additional amendments were adopted by the Court by order

dated March 2, 1987, transmitted to Congress by the Chief Justice

on the same day (480 U.S. 953; Cong. Rec., vol. 133, pt. 4, p. 4484,

Exec. Comm. 714; H. Doc. 100–40), and became effective August 1,

1987. The amendments affected Rules 4(b), (d)(1), (e), (i)(1), 5(b), (e),

6(e), 8(a), (b), (e)(2), 9(a), 11, 12(a), (b), (e) to (g), 13(a), (e), (f), 14,

15, 16(f), 17, 18, 19(a), (b), 20(b), 22(1), 23(c)(2), 23.1, 24(a), 25(b), (d),

26(b)(3), (e)(1), (2), (f)(5), (g), 27(a)(1), (b), 28(b), 30(b)(1), (2), (4), (6),

(7), (c), (e), (f)(1), (g), 31(a), (b), 32(a)(4), 34(a), 35(a), (b)(1), (2), 36,

37(a)(2), (b)(2), (c), (d), (g), 38(c), (d), 41(a)(2), (b), 43(f), 44(a)(1), 44.1,

45(c), (f), 46, 49(a), 50(b), (d), 51, 53(a), (c) to (e)(1), (3), (5), 54(c),

55(a), (b), (e), 56(a), (b), (e) to (g), 60(b), 62(f), 63, 65(b), 65.1, 68, 69,

71, 71A(d)(2), (3)(ii), (e) to (g), (j), 73(b), 75(b)(2), (c)(1), (2), (4), 77(c),

78, and 81(c), and Rules B, C(3), (6), E(2)(b), (4)(b), (c), (5)(c), (9)(b),

(c), and F(1) to (6) of the Supplemental Rules for Certain Admi-

ralty and Maritime Claims.

Additional amendments were adopted by the Court by order

dated April 25, 1988, transmitted to Congress by the Chief Justice

on the same day (485 U.S. 1043; Cong. Rec., vol. 134, pt. 7, p. 9154,

Exec. Comm. 3515; H. Doc. 100–185), and became effective August 1,

1988. The amendments affected Rules 17(a) and 71A(e).

Section 7047(b) of Public Law 100–690 (approved November 18,

1988, 102 Stat. 4401) amended Rule 35. Section 7049 of Public Law

100–690, which directed amendment of Rule 17(a) by striking ‘‘with

him’’, and section 7050 of Public Law 100–690, which directed

amendment of Rule 71A(e) by striking ‘‘taking of the defendants

property’’ and inserting ‘‘taking of the defendant’s property’’,

could not be executed because of the intervening amendments to

those Rules by the Court by order dated April 25, 1988, effective

August 1, 1988.

Additional amendments were adopted by the Court by order

dated April 30, 1991, transmitted to Congress by the Chief Justice

on the same day (500 U.S. 963; Cong. Rec., vol. 137, pt. 7, p. 9721,

Ex. Comm. 1190; H. Doc. 102–77), and became effective December 1,

1991. The amendments affected Rules 5, 15, 24, 34, 35, 41, 44, 45, 47,

48, 50, 52, 53, 63, 72, and 77, the headings for chapters VIII and IX,

and Rules C and E of the Supplemental Rules for Certain Admi-

ralty and Maritime Claims, added new Official Forms 1A and 1B,

and abrogated Form 18–A.

Section 11 of Pub. L. 102–198 (approved December 9, 1991, 105

Stat. 1626) amended Rule 15(c)(3) as transmitted to Congress by

the Supreme Court to become effective on December 1, 1991; pro-

vided that Forms 1A and 1B included in the transmittal shall not

be effective; and provided that Form 18–A, abrogated by the

Supreme Court in the transmittal, effective December 1, 1991,

shall continue in effect on or after that date.

Additional amendments were adopted by the Court by order

dated April 22, 1993, transmitted to Congress by the Chief Justice

on the same day (507 U.S. 1089; Cong. Rec., vol. 139, pt. 6, p. 8127,

Exec. Comm. 1102; H. Doc. 103–74), and became effective December

1, 1993. The amendments affected Rules 1, 4, 5, 11, 12, 15, 16, 26, 28,

29, 30, 31, 32, 33, 34, 36, 37, 38, 50, 52, 53, 54, 58, 71A, 72, 73, 74, 75, and

76, added new Rule 4.1, affected Forms 2, 33, 34, and 34A, added new

Forms 1A, 1B, and 35, and abrogated Form 18–A.

Additional amendments were adopted by the Court by order

dated April 27, 1995, transmitted to Congress by the Chief Justice

on the same day (514 U.S. 1151; Cong. Rec., vol. 141, pt. 8, p. 11745,

Ex. Comm. 804; H. Doc. 104–64), and became effective December 1,

1995. The amendments affected Rules 50, 52, 59, and 83.

Additional amendments were adopted by the Court by order

dated April 23, 1996, transmitted to Congress by the Chief Justice

on the same day (517 U.S. 1279; Cong. Rec., vol. 142, pt. 6, p. 8831,

Ex. Comm. 2487; H. Doc. 104–201), and became effective December

1, 1996. The amendments affected Rules 5 and 43.

Additional amendments were adopted by the Court by order

dated April 11, 1997, transmitted to Congress by the Chief Justice

on the same day (520 U.S. 1305; Cong. Rec., vol. 143, pt. 4, p. 5550,

Ex. Comm. 2795; H. Doc. 105–67), and became effective December 1,

1997. The amendments affected Rules 9 and 73, abrogated Rules 74,

75, and 76, and affected Forms 33 and 34.

Additional amendments were adopted by the Court by order

dated April 24, 1998, transmitted to Congress by the Chief Justice

on the same day (523 U.S. 1221; H. Doc. 105–266), and became effec-

tive December 1, 1998. The amendments affected Rule 23.

Additional amendments were adopted by the Court by order

dated April 26, 1999, transmitted to Congress by the Chief Justice

on the same day (526 U.S. 1183; Cong. Rec., vol. 145, pt. 6, p. 7907,

Ex. Comm. 1787; H. Doc. 106–54), and became effective December 1,

1999. The amendments affected Rule 6 and Form 2.

Additional amendments were adopted by the Court by order

dated April 17, 2000, transmitted to Congress by the Chief Justice

on the same day (529 U.S. 1155; Cong. Rec., vol. 146, pt. 5, p. 6328,

Ex. Comm. 7336; H. Doc. 106–228), and became effective December

1, 2000. The amendments affected Rules 4, 5, 12, 14, 26, 30, and 37

and Rules B, C, and E of the Supplemental Rules for Certain Ad-

miralty and Maritime Claims.

Additional amendments were adopted by the Court by order

dated April 23, 2001, transmitted to Congress by the Chief Justice

on the same day (532 U.S. 992; Cong. Rec., vol. 147, pt. 5, p. 6126,

Ex. Comm. 1575; H. Doc. 107–61), and became effective December 1,

2001. The amendments affected Rules 5, 6, 65, 77, 81, and 82.

Additional amendments were adopted by the Court by order

dated April 29, 2002, transmitted to Congress by the Chief Justice

on the same day (535 U.S. 1147; Cong. Rec., vol. 148, pt. 5, p. 6813,

Ex. Comm. 6623; H. Doc. 107–204), and became effective December

1, 2002. The amendments affected Rules 54, 58, and 81 and Rule C

of the Supplemental Rules for Certain Admiralty and Maritime

Claims and added new Rule 7.1.

Additional amendments were adopted by the Court by order

dated March 27, 2003, transmitted to Congress by the Chief Justice

on the same day (538 U.S. 1083; Cong. Rec., vol. 149, pt. 6, p. 7689,

Ex. Comm. 1493; H. Doc. 108–56), and became effective December 1,

2003. The amendments affected Rules 23, 51, 53, 54, and 71A and

Forms 19, 31, and 32.

Additional amendments were adopted by the Court by order

dated April 25, 2005, transmitted to Congress by the Chief Justice

on the same day (544 U.S. 1173; Cong. Rec., vol. 151, pt. 7, p. 8784,

Ex. Comm. 1906; H. Doc. 109–23), and became effective December 1,

2005. The amendments affected Rules 6, 27, and 45, and Rules B and

C of the Supplemental Rules for Certain Admiralty and Maritime

Claims.

Additional amendments were adopted by the Court by order

dated April 12, 2006, transmitted to Congress by the Chief Justice

on the same day (547 U.S. 1233; Cong. Rec., vol. 152, pt. 6, p. 7213,

Ex. Comm. 7317; H. Doc. 109–105), and became effective December

1, 2006. The amendments affected Rules 5, 9, 14, 16, 24, 26, 33, 34, 37,

45, 50, and 65.1, added new Rule 5.1, affected Form 35, affected

Rules A, C, and E of the Supplemental Rules for Admiralty or

Maritime Claims and Asset Forfeiture Actions, and added new

Rule G to such Supplemental Rules.

Additional amendments were adopted by the Court by order

dated April 30, 2007, transmitted to Congress by the Chief Justice

on the same day (550 U.S. 1003; Cong. Rec., vol. 153, pt. 8, p. 10612,

Ex. Comm. 1377; H. Doc. 110–27), and became effective December 1,

2007. The amendments affected Rules 1 through 86 and added new

Rule 5.2; Forms 1 through 35 were amended to become restyled

Forms 1 through 82.

An additional amendment was adopted by the Court by order

dated April 23, 2008, transmitted to Congress by the Chief Justice

on the same day (553 U.S. 1149; Cong. Rec., vol. 154, pt. 8, p. 11078,

Ex. Comm. 6881; H. Doc. 110–117), and became effective December

1, 2008. The amendment affected Rule C of the Supplemental Rules

for Admiralty or Maritime Claims and Asset Forfeiture Actions.

Additional amendments were adopted by the Court by order

dated March 26, 2009, transmitted to Congress by the Chief Justice

on March 25, 2009 (556 U.S. 1341; Cong. Rec., vol. 155, pt. 8, p. 10210,

Ex. Comm. 1264; H. Doc. 111–29), and became effective December 1,

2009. The amendments affected Rules 6, 12, 13, 14, 15, 23, 27, 32, 38,

48, 50, 52, 53, 54, 55, 56, 59, 62, 65, 68, 71.1, 72, and 81, added new Rule

62.1, and affected Forms 3, 4, and 60, and Rules B, C, and G of the

Supplemental Rules for Admiralty or Maritime Claims and Asset

Forfeiture Actions.

Additional amendments were adopted by the Court by order

dated April 28, 2010, transmitted to Congress by the Chief Justice

on the same day (559 U.S.——; Cong. Rec., vol. 156, p. H3481, Daily

Issue, Ex. Comm. 7473; H. Doc. 111–111), and became effective De-

cember 1, 2010. The amendments affected Rules 8, 26, and 56, and

Form 52.

Committee Notes

Committee Notes prepared by the Committee on Rules of Prac-

tice and Procedure and the Advisory Committee on the Federal

Rules of Civil Procedure, Judicial Conference of the United

States, explaining the purpose and intent of the amendments are

set out in the Appendix to Title 28, United States Code, following

HISTORICAL NOTE

XIII

the particular rule to which they relate. In addition, the rules and

amendments, together with Committee Notes, are set out in the

House documents listed above.

TABLE OF CONTENTS

Page

Foreword ……………………………………………………………………………………………….. III

Authority for promulgation of rules ………………………………………………………….. V

Historical note ……………………………………………………………………………………….. VII

RULES

TITLE I. SCOPE OF RULES; FORM OF ACTION

Rule 1. Scope and Purpose ………………………………………………………………….. 1

Rule 2. One Form of Action ………………………………………………………………… 1

TITLE II. COMMENCING AN ACTION; SERVICE OF PROCESS, PLEADINGS,

MOTIONS, AND ORDERS

Rule 3. Commencing an Action ……………………………………………………………. 1

Rule 4. Summons ………………………………………………………………………………. 1

Rule 4.1. Serving Other Process …………………………………………………………… 6

Rule 5. Serving and Filing Pleadings and Other Papers ………………………….. 6

Rule 5.1. Constitutional Challenge to a Statute—Notice, Certification, and

Intervention ………………………………………………………………………….. 8

Rule 5.2. Privacy Protection For Filings Made with the Court ………………… 9

Rule 6. Computing and Extending Time; Time for Motion Papers ……………. 10

TITLE III. PLEADINGS AND MOTIONS

Rule 7. Pleadings Allowed; Form of Motions and Other Papers ……………….. 11

Rule 7.1. Disclosure Statement ……………………………………………………………. 12

Rule 8. General Rules of Pleading ……………………………………………………….. 12

Rule 9. Pleading Special Matters …………………………………………………………. 14

Rule 10. Form of Pleadings …………………………………………………………………. 15

Rule 11. Signing Pleadings, Motions, and Other Papers; Representations to

the Court; Sanctions ………………………………………………………………. 15

Rule 12. Defenses and Objections: When and How Presented; Motion for

Judgment on the Pleadings; Consolidating Motions; Waiving

Defenses; Pretrial Hearing ……………………………………………………….

16

Rule 13. Counterclaim and Crossclaim ………………………………………………….

19

Rule 14. Third-Party Practice ………………………………………………………………

19

Rule 15. Amended and Supplemental Pleadings ……………………………………..

21

Rule 16. Pretrial Conferences; Scheduling; Management …………………………

22

TITLE IV. PARTIES

Rule 17. Plaintiff and Defendant; Capacity; Public Officers …………………….. 24

Rule 18. Joinder of Claims ………………………………………………………………….. 26

Rule 19. Required Joinder of Parties ……………………………………………………. 26

Rule 20. Permissive Joinder of Parties …………………………………………………. 27

Rule 21. Misjoinder and Nonjoinder of Parties ………………………………………. 27

Rule 22. Interpleader ………………………………………………………………………….. 27

Rule 23. Class Actions ………………………………………………………………………… 28

Rule 23.1. Derivative Actions ………………………………………………………………. 31

Rule 23.2. Actions Relating to Unincorporated Associations ……………………. 32

Rule 24. Intervention …………………………………………………………………………. 32

Rule 25. Substitution of Parties ………………………………………………………….. 33

TITLE V. DISCLOSURES AND DISCOVERY

Rule 26. Duty to Disclose; General Provisions Governing Discovery ………… 34

Rule 27. Depositions to Perpetuate Testimony ………………………………………. 42

Rule 28. Persons Before Whom Depositions May Be Taken ……………………… 43

Rule 29. Stipulations About Discovery Procedure ………………………………….. 44

Rule 30. Depositions by Oral Examination ……………………………………………. 44

Rule 31. Depositions by Written Questions ……………………………………………. 48

Rule 32. Using Depositions in Court Proceedings …………………………………… 49

Rule 33. Interrogatories to Parties ………………………………………………………. 51

Rule 34. Producing Documents, Electronically Stored Information, and

Tangible Things, or Entering onto Land, for Inspection and Other

Purposes ……………………………………………………………………………….. 52

(XV)

TITLE V. DISCLOSURES AND DISCOVERY—Continued Page

Rule 35. Physical and Mental Examinations …………………………………………. 54

Rule 36. Requests for Admission ………………………………………………………….. 55

Rule 37. Failure to Make Disclosures or to Cooperate in Discovery;

Sanctions ……………………………………………………………………………… 56

TITLE VI. TRIALS

Rule 38. Right to a Jury Trial; Demand ………………………………………………… 59

Rule 39. Trial by Jury or by the Court …………………………………………………. 60

Rule 40. Scheduling Cases for Trial ……………………………………………………… 60

Rule 41. Dismissal of Actions ………………………………………………………………. 60

Rule 42. Consolidation; Separate Trials ………………………………………………… 61

Rule 43. Taking Testimony …………………………………………………………………. 61

Rule 44. Proving an Official Record ……………………………………………………… 62

Rule 44.1. Determining Foreign Law …………………………………………………….. 63

Rule 45. Subpoena ……………………………………………………………………………… 63

Rule 46. Objecting to a Ruling or Order ………………………………………………… 67

Rule 47. Selecting Jurors ……………………………………………………………………. 67

Rule 48. Number of Jurors; Verdict; Polling ………………………………………….. 67

Rule 49. Special Verdict; General Verdict and Questions ………………………… 68

Rule 50. Judgment as a Matter of Law in a Jury Trial; Related Motion for

a New Trial; Conditional Ruling ………………………………………………. 69

Rule 51. Instructions to the Jury; Objections; Preserving a Claim of Error .. 70

Rule 52. Findings and Conclusions by the Court; Judgment on Partial

Findings ……………………………………………………………………………….. 71

Rule 53. Masters ………………………………………………………………………………… 71

TITLE VII. JUDGMENT

Rule 54. Judgment; Costs ……………………………………………………………………. 74

Rule 55. Default; Default Judgment …………………………………………………….. 75

Rule 56. Summary Judgment ………………………………………………………………. 76

Rule 57. Declaratory Judgment …………………………………………………………… 77

Rule 58. Entering Judgment ……………………………………………………………….. 77

Rule 59. New Trial; Altering or Amending a Judgment …………………………… 78

Rule 60. Relief from a Judgment or Order …………………………………………….. 79

Rule 61. Harmless Error ……………………………………………………………………… 80

Rule 62. Stay of Proceedings to Enforce a Judgment ……………………………… 80

Rule 62.1. Indicative Ruling on a Motion for Relief That is Barred by a

Pending Appeal ……………………………………………………………………… 81

Rule 63. Judge’s Inability to Proceed …………………………………………………… 81

TITLE VIII. PROVISIONAL AND FINAL REMEDIES

Rule 64. Seizing a Person or Property ………………………………………………….. 82

Rule 65. Injunctions and Restraining Orders …………………………………………. 82

Rule 65.1. Proceedings Against a Surety ……………………………………………….. 83

Rule 66. Receivers ……………………………………………………………………………… 84

Rule 67. Deposit into Court …………………………………………………………………. 84

Rule 68. Offer of Judgment …………………………………………………………………. 84

Rule 69. Execution …………………………………………………………………………….. 85

Rule 70. Enforcing a Judgment for a Specific Act ………………………………….. 85

Rule 71. Enforcing Relief For or Against a Nonparty ……………………………… 86

TITLE IX. SPECIAL PROCEEDINGS

Rule 71.1. Condemning Real or Personal Property …………………………………. 86

Rule 72. Magistrate Judges: Pretrial Order …………………………………………… 90

Rule 73. Magistrate Judges: Trial by Consent; Appeal ……………………………. 91

Rule 74. [Abrogated.]

Rule 75. [Abrogated.]

Rule 76. [Abrogated.]

TITLE X. DISTRICT COURTS AND CLERKS: CONDUCTING BUSINESS;

ISSUING ORDERS

Rule 77. Conducting Business; Clerk’s Authority; Notice of an Order or

Judgment ……………………………………………………………………………… 92

Rule 78. Hearing Motions; Submission on Briefs ……………………………………. 92

Rule 79. Records Kept by the Clerk ……………………………………………………… 93

Rule 80. Stenographic Transcript as Evidence ……………………………………….. 93

TITLE XI. GENERAL PROVISIONS

Rule 81. Applicability of the Rules in General; Removed Actions …………….. 93

Rule 82. Jurisdiction and Venue Unaffected ………………………………………….. 95

Rule 83. Rules by District Courts; Judge’s Directives …………………………….. 95

Rule 84. Forms ………………………………………………………………………………….. 96

CONTENTS

XVII

TITLE XI. GENERAL PROVISIONS—Continued Page

Rule 85. Title ……………………………………………………………………………………. 96

Rule 86. Effective Dates ……………………………………………………………………… 96

APPENDIX OF FORMS

Form 1. Caption ……………………………………………………………………………………… 98

Form 2. Date, Signature, Address, E-mail Address, and Telephone Number ……. 99

Form 3. Summons …………………………………………………………………………………… 100

Form 4. Summons on a Third-Party Complaint ………………………………………….. 101

Form 5. Notice of a Lawsuit and Request to Waive Service of a Summons ……… 102

Form 6. Waiver of the Service of Summons ………………………………………………… 103

Form 7. Statement of Jurisdiction ……………………………………………………………. 104

Form 8. Statement of Reasons for Omitting a Party …………………………………… 105

Form 9. Statement Noting a Party’s Death ………………………………………………… 106

Form 10. Complaint to Recover a Sum Certain …………………………………………… 107

Form 11. Complaint for Negligence …………………………………………………………… 108

Form 12. Complaint for Negligence When the Plaintiff Does Not Know Who Is

Responsible ……………………………………………………………………………. 109

Form 13. Complaint for Negligence Under the Federal Employers’ Liability Act 110

Form 14. Complaint for Damages Under the Merchant Marine Act ………………… 111

Form 15. Complaint for the Conversion of Property …………………………………….. 112

Form 16. Third-Party Complaint ………………………………………………………………. 113

Form 17. Complaint for Specific Performance of a Contract to Convey Land ….. 114

Form 18. Complaint for Patent Infringement ……………………………………………… 115

Form 19. Complaint for Copyright Infringement and Unfair Competition ………. 116

Form 20. Complaint for Interpleader and Declaratory Relief ………………………… 117

Form 21. Complaint on a Claim for a Debt and to Set Aside a Fraudulent

Conveyance Under Rule 18(b) ……………………………………………………. 118

Form 30. Answer Presenting Defenses Under Rule 12(b) ……………………………….. 119

Form 31. Answer to a Complaint for Money Had and Received with a

Counterclaim for Interpleader ………………………………………………….. 120

Form 40. Motion to Dismiss Under Rule 12(b) for Lack of Jurisdiction,

Improper Venue, Insufficient Service of Process, or Failure to State

a Claim ………………………………………………………………………………….

121

Form 41. Motion to Bring in a Third-Party Defendant ………………………………….

122

Form 42. Motion to Intervene as a Defendant Under Rule 24 ………………………….

123

Form 50. Request to Produce Documents and Tangible Things, or to Enter onto

Land Under Rule 34 ………………………………………………………………….

124

Form 51. Request for Admissions Under Rule 36 …………………………………………..

125

Form 52. Report of the Parties’ Planning Meeting ……………………………………….

126

Form 60. Notice of Condemnation ……………………………………………………………..

127

Form 61. Complaint for Condemnation ……………………………………………………….

128

Form 70. Judgment on a Jury Verdict ………………………………………………………..

129

Form 71. Judgment by the Court without a Jury …………………………………………

130

Form 80. Notice of a Magistrate Judge’s Availability …………………………………..

131

Form 81. Consent to an Assignment to a Magistrate Judge …………………………..

132

Form 82. Order of Assignment to a Magistrate Judge …………………………………..

133

SUPPLEMENTAL RULES FOR ADMIRALTY OR MARITIME CLAIMS

AND ASSET FORFEITURE ACTIONS

Rule A. Scope of Rules …………………………………………………………………………….. 134

Rule B. In Personam Actions: Attachment and Garnishment ……………………….. 134

Rule C. In Rem Actions: Special Provisions ……………………………………………….. 135

Rule D. Possessory, Petitory, and Partition Actions …………………………………… 137

Rule E. Actions in Rem and Quasi in Rem: General Provisions …………………….. 138

Rule F. Limitation of Liability ………………………………………………………………… 141

Rule G. Forfeiture Actions In Rem ……………………………………………………………. 144

RULES OF CIVIL PROCEDURE

FOR THE

UNITED STATES DISTRICT COURTS 1

Effective September 16, 1938, as amended to December 1, 2011

TITLE I. SCOPE OF RULES; FORM OF ACTION

Rule 1. Scope and Purpose

These rules govern the procedure in all civil actions and pro-

ceedings in the United States district courts, except as stated in

Rule 81. They should be construed and administered to secure the

just, speedy, and inexpensive determination of every action and

proceeding.

(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July

1, 1966; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 2. One Form of Action

There is one form of action—the civil action.

(As amended Apr. 30, 2007, eff. Dec. 1, 2007.)

TITLE II. COMMENCING AN ACTION; SERVICE OF PROCESS,

PLEADINGS, MOTIONS, AND ORDERS

Rule 3. Commencing an Action

A civil action is commenced by filing a complaint with the

court.

(As amended Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 4. Summons

(a) CONTENTS; AMENDMENTS.

(1) Contents. A summons must:

(A) name the court and the parties;

(B) be directed to the defendant;

(C) state the name and address of the plaintiff’s attorney

or—if unrepresented—of the plaintiff;

(D) state the time within which the defendant must ap-

pear and defend;

(E) notify the defendant that a failure to appear and de-

fend will result in a default judgment against the defend-

ant for the relief demanded in the complaint;

(F) be signed by the clerk; and

(G) bear the court’s seal.

(2) Amendments. The court may permit a summons to be

amended.

1 Title amended December 29, 1948, effective October 20, 1949.

(1)

(b) ISSUANCE. On or after filing the complaint, the plaintiff may

present a summons to the clerk for signature and seal. If the sum-

mons is properly completed, the clerk must sign, seal, and issue

it to the plaintiff for service on the defendant. A summons—or a

copy of a summons that is addressed to multiple defendants—must

be issued for each defendant to be served.

(c) SERVICE.

(1) In General. A summons must be served with a copy of the

complaint. The plaintiff is responsible for having the summons

and complaint served within the time allowed by Rule 4(m)

and must furnish the necessary copies to the person who

makes service.

(2) By Whom. Any person who is at least 18 years old and not

a party may serve a summons and complaint.

(3) By a Marshal or Someone Specially Appointed. At the plain-

tiff’s request, the court may order that service be made by a

United States marshal or deputy marshal or by a person spe-

cially appointed by the court. The court must so order if the

plaintiff is authorized to proceed in forma pauperis under 28

U.S.C. § 1915 or as a seaman under 28 U.S.C. § 1916.

(d) WAIVING SERVICE.

(1) Requesting a Waiver. An individual, corporation, or asso-

ciation that is subject to service under Rule 4(e), (f), or (h) has

a duty to avoid unnecessary expenses of serving the summons.

The plaintiff may notify such a defendant that an action has

been commenced and request that the defendant waive service

of a summons. The notice and request must:

(A) be in writing and be addressed:

(i) to the individual defendant; or

(ii) for a defendant subject to service under Rule 4(h),

to an officer, a managing or general agent, or any

other agent authorized by appointment or by law to re-

ceive service of process;

(B) name the court where the complaint was filed;

(C) be accompanied by a copy of the complaint, 2 copies

of a waiver form, and a prepaid means for returning the

form;

(D) inform the defendant, using text prescribed in Form

5, of the consequences of waiving and not waiving service;

(E) state the date when the request is sent;

(F) give the defendant a reasonable time of at least 30

days after the request was sent—or at least 60 days if sent

to the defendant outside any judicial district of the United

States—to return the waiver; and

(G) be sent by first-class mail or other reliable means.

(2) Failure to Waive. If a defendant located within the United

States fails, without good cause, to sign and return a waiver

requested by a plaintiff located within the United States, the

court must impose on the defendant:

(A) the expenses later incurred in making service; and

(B) the reasonable expenses, including attorney’s fees, of

any motion required to collect those service expenses.

(3) Time to Answer After a Waiver. A defendant who, before

being served with process, timely returns a waiver need not

serve an answer to the complaint until 60 days after the re-

quest was sent—or until 90 days after it was sent to the de-

fendant outside any judicial district of the United States.

(4) Results of Filing a Waiver. When the plaintiff files a waiv-

er, proof of service is not required and these rules apply as if

a summons and complaint had been served at the time of filing

the waiver.

(5) Jurisdiction and Venue Not Waived. Waiving service of a

summons does not waive any objection to personal jurisdic-

tion or to venue.

(e) SERVING AN INDIVIDUAL WITHIN A JUDICIAL DISTRICT OF THE

UNITED STATES. Unless federal law provides otherwise, an individ-

ual—other than a minor, an incompetent person, or a person

whose waiver has been filed—may be served in a judicial district

of the United States by:

(1) following state law for serving a summons in an action

brought in courts of general jurisdiction in the state where the

district court is located or where service is made; or

(2) doing any of the following:

(A) delivering a copy of the summons and of the com-

plaint to the individual personally;

(B) leaving a copy of each at the individual’s dwelling or

usual place of abode with someone of suitable age and dis-

cretion who resides there; or

(C) delivering a copy of each to an agent authorized by

appointment or by law to receive service of process.

(f) SERVING AN INDIVIDUAL IN A FOREIGN COUNTRY. Unless federal

law provides otherwise, an individual—other than a minor, an in-

competent person, or a person whose waiver has been filed—may

be served at a place not within any judicial district of the United

States:

(1) by any internationally agreed means of service that is

reasonably calculated to give notice, such as those authorized

by the Hague Convention on the Service Abroad of Judicial

and Extrajudicial Documents;

(2) if there is no internationally agreed means, or if an inter-

national agreement allows but does not specify other means,

by a method that is reasonably calculated to give notice:

(A) as prescribed by the foreign country’s law for service

in that country in an action in its courts of general juris-

diction;

(B) as the foreign authority directs in response to a let-

ter rogatory or letter of request; or

(C) unless prohibited by the foreign country’s law, by:

(i) delivering a copy of the summons and of the com-

plaint to the individual personally; or

(ii) using any form of mail that the clerk addresses

and sends to the individual and that requires a signed

receipt; or

(3) by other means not prohibited by international agree-

ment, as the court orders.

(g) SERVING A MINOR OR AN INCOMPETENT PERSON. A minor or an

incompetent person in a judicial district of the United States

must be served by following state law for serving a summons or

like process on such a defendant in an action brought in the

courts of general jurisdiction of the state where service is made.

A minor or an incompetent person who is not within any judicial

district of the United States must be served in the manner pre-

scribed by Rule 4(f)(2)(A), (f)(2)(B), or (f)(3).

(h) SERVING A CORPORATION, PARTNERSHIP, OR ASSOCIATION. Un-

less federal law provides otherwise or the defendant’s waiver has

been filed, a domestic or foreign corporation, or a partnership or

other unincorporated association that is subject to suit under a

common name, must be served:

(1) in a judicial district of the United States:

(A) in the manner prescribed by Rule 4(e)(1) for serving

an individual; or

(B) by delivering a copy of the summons and of the com-

plaint to an officer, a managing or general agent, or any

other agent authorized by appointment or by law to re-

ceive service of process and—if the agent is one authorized

by statute and the statute so requires—by also mailing a

copy of each to the defendant; or

(2) at a place not within any judicial district of the United

States, in any manner prescribed by Rule 4(f) for serving an

individual, except personal delivery under (f)(2)(C)(i).

(i) SERVING THE UNITED STATES AND ITS AGENCIES, CORPORA-

TIONS, OFFICERS, OR EMPLOYEES.

(1) United States. To serve the United States, a party must:

(A)(i) deliver a copy of the summons and of the com-

plaint to the United States attorney for the district where

the action is brought—or to an assistant United States at-

torney or clerical employee whom the United States attor-

ney designates in a writing filed with the court clerk—or

(ii) send a copy of each by registered or certified mail to

the civil-process clerk at the United States attorney’s of-

fice;

(B) send a copy of each by registered or certified mail to

the Attorney General of the United States at Washington,

D.C.; and

(C) if the action challenges an order of a nonparty agen-

cy or officer of the United States, send a copy of each by

registered or certified mail to the agency or officer.

(2) Agency; Corporation; Officer or Employee Sued in an Official

Capacity. To serve a United States agency or corporation, or

a United States officer or employee sued only in an official ca-

pacity, a party must serve the United States and also send a

copy of the summons and of the complaint by registered or

certified mail to the agency, corporation, officer, or employee.

(3) Officer or Employee Sued Individually. To serve a United

States officer or employee sued in an individual capacity for

an act or omission occurring in connection with duties per-

formed on the United States’ behalf (whether or not the officer

or employee is also sued in an official capacity), a party must

serve the United States and also serve the officer or employee

under Rule 4(e), (f), or (g).

(4) Extending Time. The court must allow a party a reason-

able time to cure its failure to:

(A) serve a person required to be served under Rule

4(i)(2), if the party has served either the United States at-

torney or the Attorney General of the United States; or

(B) serve the United States under Rule 4(i)(3), if the

party has served the United States officer or employee.

(j) SERVING A FOREIGN, STATE, OR LOCAL GOVERNMENT.

(1) Foreign State. A foreign state or its political subdivision,

agency, or instrumentality must be served in accordance with

28 U.S.C. § 1608.

(2) State or Local Government. A state, a municipal corpora-

tion, or any other state-created governmental organization

that is subject to suit must be served by:

(A) delivering a copy of the summons and of the com-

plaint to its chief executive officer; or

(B) serving a copy of each in the manner prescribed by

that state’s law for serving a summons or like process on

such a defendant.

(k) TERRITORIAL LIMITS OF EFFECTIVE SERVICE.

(1) In General. Serving a summons or filing a waiver of serv-

ice establishes personal jurisdiction over a defendant:

(A) who is subject to the jurisdiction of a court of gen-

eral jurisdiction in the state where the district court is lo-

cated;

(B) who is a party joined under Rule 14 or 19 and is

served within a judicial district of the United States and

not more than 100 miles from where the summons was is-

sued; or

(C) when authorized by a federal statute.

(2) Federal Claim Outside State-Court Jurisdiction. For a claim

that arises under federal law, serving a summons or filing a

waiver of service establishes personal jurisdiction over a de-

fendant if:

(A) the defendant is not subject to jurisdiction in any

state’s courts of general jurisdiction; and

(B) exercising jurisdiction is consistent with the United

States Constitution and laws.

(l) PROVING SERVICE.

(1) Affidavit Required. Unless service is waived, proof of serv-

ice must be made to the court. Except for service by a United

States marshal or deputy marshal, proof must be by the serv-

er’s affidavit.

(2) Service Outside the United States. Service not within any

judicial district of the United States must be proved as fol-

lows:

(A) if made under Rule 4(f)(1), as provided in the applica-

ble treaty or convention; or

(B) if made under Rule 4(f)(2) or (f)(3), by a receipt signed

by the addressee, or by other evidence satisfying the court

that the summons and complaint were delivered to the ad-

dressee.

(3) Validity of Service; Amending Proof. Failure to prove serv-

ice does not affect the validity of service. The court may per-

mit proof of service to be amended.

(m) TIME LIMIT FOR SERVICE. If a defendant is not served within

120 days after the complaint is filed, the court—on motion or on

its own after notice to the plaintiff—must dismiss the action

without prejudice against that defendant or order that service be

made within a specified time. But if the plaintiff shows good cause

for the failure, the court must extend the time for service for an

appropriate period. This subdivision (m) does not apply to service

in a foreign country under Rule 4(f) or 4(j)(1).

(n) ASSERTING JURISDICTION OVER PROPERTY OR ASSETS.

(1) Federal Law. The court may assert jurisdiction over prop-

erty if authorized by a federal statute. Notice to claimants of

the property must be given as provided in the statute or by

serving a summons under this rule.

(2) State Law. On a showing that personal jurisdiction over

a defendant cannot be obtained in the district where the ac-

tion is brought by reasonable efforts to serve a summons

under this rule, the court may assert jurisdiction over the de-

fendant’s assets found in the district. Jurisdiction is acquired

by seizing the assets under the circumstances and in the man-

ner provided by state law in that district.

(As amended Jan. 21, 1963, eff. July 1, 1963; Feb. 28, 1966, eff. July

1, 1966; Apr. 29, 1980, eff. Aug. 1, 1980; Pub. L. 97–462, § 2, Jan. 12,

1983, 96 Stat. 2527, eff. Feb. 26, 1983; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 17, 2000, eff. Dec. 1, 2000; Apr.

30, 2007, eff. Dec. 1, 2007.)

Rule 4.1. Serving Other Process

(a) IN GENERAL. Process—other than a summons under Rule 4 or

a subpoena under Rule 45—must be served by a United States mar-

shal or deputy marshal or by a person specially appointed for that

purpose. It may be served anywhere within the territorial limits

of the state where the district court is located and, if authorized

by a federal statute, beyond those limits. Proof of service must be

made under Rule 4(l).

(b) ENFORCING ORDERS: COMMITTING FOR CIVIL CONTEMPT. An

order committing a person for civil contempt of a decree or in-

junction issued to enforce federal law may be served and enforced

in any district. Any other order in a civil-contempt proceeding

may be served only in the state where the issuing court is located

or elsewhere in the United States within 100 miles from where the

order was issued.

(As added Apr. 22, 1993, eff. Dec. 1, 1993; amended Apr. 30, 2007, eff.

Dec. 1, 2007.)

Rule 5. Serving and Filing Pleadings and Other Papers

(a) SERVICE: WHEN REQUIRED.

(1) In General. Unless these rules provide otherwise, each of

the following papers must be served on every party:

(A) an order stating that service is required;

(B) a pleading filed after the original complaint, unless

the court orders otherwise under Rule 5(c) because there

are numerous defendants;

(C) a discovery paper required to be served on a party,

unless the court orders otherwise;

(D) a written motion, except one that may be heard ex

parte; and

(E) a written notice, appearance, demand, or offer of

judgment, or any similar paper.

(2) If a Party Fails to Appear. No service is required on a

party who is in default for failing to appear. But a pleading

that asserts a new claim for relief against such a party must

be served on that party under Rule 4.

(3) Seizing Property. If an action is begun by seizing property

and no person is or need be named as a defendant, any service

required before the filing of an appearance, answer, or claim

must be made on the person who had custody or possession of

the property when it was seized.

(b) SERVICE: HOW MADE.

(1) Serving an Attorney. If a party is represented by an attor-

ney, service under this rule must be made on the attorney un-

less the court orders service on the party.

(2) Service in General. A paper is served under this rule by:

(A) handing it to the person;

(B) leaving it:

(i) at the person’s office with a clerk or other person

in charge or, if no one is in charge, in a conspicuous

place in the office; or

(ii) if the person has no office or the office is closed,

at the person’s dwelling or usual place of abode with

someone of suitable age and discretion who resides

there;

(C) mailing it to the person’s last known address—in

which event service is complete upon mailing;

(D) leaving it with the court clerk if the person has no

known address;

(E) sending it by electronic means if the person con-

sented in writing—in which event service is complete upon

transmission, but is not effective if the serving party

learns that it did not reach the person to be served; or

(F) delivering it by any other means that the person con-

sented to in writing—in which event service is complete

when the person making service delivers it to the agency

designated to make delivery.

(3) Using Court Facilities. If a local rule so authorizes, a party

may use the court’s transmission facilities to make service

under Rule 5(b)(2)(E).

(c) SERVING NUMEROUS DEFENDANTS.

(1) In General. If an action involves an unusually large num-

ber of defendants, the court may, on motion or on its own,

order that:

(A) defendants’ pleadings and replies to them need not be

served on other defendants;

(B) any crossclaim, counterclaim, avoidance, or affirma-

tive defense in those pleadings and replies to them will be

treated as denied or avoided by all other parties; and

(C) filing any such pleading and serving it on the plain-

tiff constitutes notice of the pleading to all parties.

(2) Notifying Parties. A copy of every such order must be

served on the parties as the court directs.

(d) FILING.

(1) Required Filings; Certificate of Service. Any paper after the

complaint that is required to be served—together with a cer-

tificate of service—must be filed within a reasonable time

after service. But disclosures under Rule 26(a)(1) or (2) and the

following discovery requests and responses must not be filed

until they are used in the proceeding or the court orders fil-

ing: depositions, interrogatories, requests for documents or

tangible things or to permit entry onto land, and requests for

admission.

(2) How Filing Is Made—In General. A paper is filed by deliv-

ering it:

(A) to the clerk; or

(B) to a judge who agrees to accept it for filing, and who

must then note the filing date on the paper and promptly

send it to the clerk.

(3) Electronic Filing, Signing, or Verification. A court may, by

local rule, allow papers to be filed, signed, or verified by elec-

tronic means that are consistent with any technical standards

established by the Judicial Conference of the United States. A

local rule may require electronic filing only if reasonable ex-

ceptions are allowed. A paper filed electronically in compli-

ance with a local rule is a written paper for purposes of these

rules.

(4) Acceptance by the Clerk. The clerk must not refuse to file

a paper solely because it is not in the form prescribed by these

rules or by a local rule or practice.

(As amended Jan. 21, 1963, eff. July 1, 1963; Mar. 30, 1970, eff. July

1, 1970; Apr. 29, 1980, eff. Aug. 1, 1980; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr.

23, 1996, eff. Dec. 1, 1996; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2001,

eff. Dec. 1, 2001; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec.

1, 2007.)

Rule 5.1. Constitutional Challenge to a Statute—Notice, Certifi-

cation, and Intervention

(a) NOTICE BY A PARTY. A party that files a pleading, written

motion, or other paper drawing into question the constitutional-

ity of a federal or state statute must promptly:

(1) file a notice of constitutional question stating the ques-

tion and identifying the paper that raises it, if:

(A) a federal statute is questioned and the parties do not

include the United States, one of its agencies, or one of its

officers or employees in an official capacity; or

(B) a state statute is questioned and the parties do not

include the state, one of its agencies, or one of its officers

or employees in an official capacity; and

(2) serve the notice and paper on the Attorney General of the

United States if a federal statute is questioned—or on the

state attorney general if a state statute is questioned—either

by certified or registered mail or by sending it to an electronic

address designated by the attorney general for this purpose.

(b) CERTIFICATION BY THE COURT. The court must, under 28 U.S.C.

§ 2403, certify to the appropriate attorney general that a statute

has been questioned.

(c) INTERVENTION; FINAL DECISION ON THE MERITS. Unless the

court sets a later time, the attorney general may intervene within

60 days after the notice is filed or after the court certifies the

challenge, whichever is earlier. Before the time to intervene ex-

pires, the court may reject the constitutional challenge, but may

not enter a final judgment holding the statute unconstitutional.

9 FEDERAL RULES OF CIVIL PROCEDURE

Rule 5.2

(d) NO FORFEITURE. A party’s failure to file and serve the notice,

or the court’s failure to certify, does not forfeit a constitutional

claim or defense that is otherwise timely asserted.

(As added Apr. 12, 2006, eff. Dec. 1, 2006; amended Apr. 30, 2007, eff.

Dec. 1, 2007.)

Rule 5.2. Privacy Protection For Filings Made with the Court

(a) REDACTED FILINGS. Unless the court orders otherwise, in an

electronic or paper filing with the court that contains an individ-

ual’s social-security number, taxpayer-identification number, or

birth date, the name of an individual known to be a minor, or a

financial-account number, a party or nonparty making the filing

may include only:

(1) the last four digits of the social-security number and tax-

payer-identification number;

(2) the year of the individual’s birth;

(3) the minor’s initials; and

(4) the last four digits of the financial-account number.

(b) EXEMPTIONS FROM THE REDACTION REQUIREMENT. The redac-

tion requirement does not apply to the following:

(1) a financial-account number that identifies the property

allegedly subject to forfeiture in a forfeiture proceeding;

(2) the record of an administrative or agency proceeding;

(3) the official record of a state-court proceeding;

(4) the record of a court or tribunal, if that record was not

subject to the redaction requirement when originally filed;

(5) a filing covered by Rule 5.2(c) or (d); and

(6) a pro se filing in an action brought under 28 U.S.C. §§ 2241,

2254, or 2255.

(c) LIMITATIONS ON REMOTE ACCESS TO ELECTRONIC FILES; SOCIAL-

SECURITY APPEALS AND IMMIGRATION CASES. Unless the court or-

ders otherwise, in an action for benefits under the Social Security

Act, and in an action or proceeding relating to an order of re-

moval, to relief from removal, or to immigration benefits or de-

tention, access to an electronic file is authorized as follows:

(1) the parties and their attorneys may have remote elec-

tronic access to any part of the case file, including the admin-

istrative record;

(2) any other person may have electronic access to the full

record at the courthouse, but may have remote electronic ac-

cess only to:

(A) the docket maintained by the court; and

(B) an opinion, order, judgment, or other disposition of

the court, but not any other part of the case file or the ad-

ministrative record.

(d) FILINGS MADE UNDER SEAL. The court may order that a filing

be made under seal without redaction. The court may later unseal

the filing or order the person who made the filing to file a re-

dacted version for the public record.

(e) PROTECTIVE ORDERS. For good cause, the court may by order

in a case:

(1) require redaction of additional information; or

(2) limit or prohibit a nonparty’s remote electronic access to

a document filed with the court.

Rule 6 FEDERAL RULES OF CIVIL PROCEDURE 10

(f) OPTION FOR ADDITIONAL UNREDACTED FILING UNDER SEAL. A

person making a redacted filing may also file an unredacted copy

under seal. The court must retain the unredacted copy as part of

the record.

(g) OPTION FOR FILING A REFERENCE LIST. A filing that contains

redacted information may be filed together with a reference list

that identifies each item of redacted information and specifies an

appropriate identifier that uniquely corresponds to each item list-

ed. The list must be filed under seal and may be amended as of

right. Any reference in the case to a listed identifier will be con-

strued to refer to the corresponding item of information.

(h) WAIVER OF PROTECTION OF IDENTIFIERS. A person waives the

protection of Rule 5.2(a) as to the person’s own information by fil-

ing it without redaction and not under seal.

(As added Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 6. Computing and Extending Time; Time for Motion Papers

(a) COMPUTING TIME. The following rules apply in computing any

time period specified in these rules, in any local rule or court

order, or in any statute that does not specify a method of comput-

ing time.

(1) Period Stated in Days or a Longer Unit. When the period is

stated in days or a longer unit of time:

(A) exclude the day of the event that triggers the period;

(B) count every day, including intermediate Saturdays,

Sundays, and legal holidays; and

(C) include the last day of the period, but if the last day

is a Saturday, Sunday, or legal holiday, the period con-

tinues to run until the end of the next day that is not a

Saturday, Sunday, or legal holiday.

(2) Period Stated in Hours. When the period is stated in hours:

(A) begin counting immediately on the occurrence of the

event that triggers the period;

(B) count every hour, including hours during intermedi-

ate Saturdays, Sundays, and legal holidays; and

(C) if the period would end on a Saturday, Sunday, or

legal holiday, the period continues to run until the same

time on the next day that is not a Saturday, Sunday, or

legal holiday.

(3) Inaccessibility of the Clerk’s Office. Unless the court orders

otherwise, if the clerk’s office is inaccessible:

(A) on the last day for filing under Rule 6(a)(1), then the

time for filing is extended to the first accessible day that

is not a Saturday, Sunday, or legal holiday; or

(B) during the last hour for filing under Rule 6(a)(2), then

the time for filing is extended to the same time on the

first accessible day that is not a Saturday, Sunday, or

legal holiday.

(4) ‘‘Last Day’’ Defined. Unless a different time is set by a

statute, local rule, or court order, the last day ends:

(A) for electronic filing, at midnight in the court’s time

zone; and

(B) for filing by other means, when the clerk’s office is

scheduled to close.

(5) ‘‘Next Day’’ Defined. The ‘‘next day’’ is determined by

continuing to count forward when the period is measured after

an event and backward when measured before an event.

(6) ‘‘Legal Holiday’’ Defined. ‘‘Legal holiday’’ means:

(A) the day set aside by statute for observing New Year’s

Day, Martin Luther King Jr.’s Birthday, Washington’s

Birthday, Memorial Day, Independence Day, Labor Day,

Columbus Day, Veterans’ Day, Thanksgiving Day, or

Christmas Day;

(B) any day declared a holiday by the President or Con-

gress; and

(C) for periods that are measured after an event, any

other day declared a holiday by the state where the dis-

trict court is located.

(b) EXTENDING TIME.

(1) In General. When an act may or must be done within a

specified time, the court may, for good cause, extend the time:

(A) with or without motion or notice if the court acts,

or if a request is made, before the original time or its ex-

tension expires; or

(B) on motion made after the time has expired if the

party failed to act because of excusable neglect.

(2) Exceptions. A court must not extend the time to act under

Rules 50(b) and (d), 52(b), 59(b), (d), and (e), and 60(b).

(c) MOTIONS, NOTICES OF HEARING, AND AFFIDAVITS.

(1) In General. A written motion and notice of the hearing

must be served at least 14 days before the time specified for

the hearing, with the following exceptions:

(A) when the motion may be heard ex parte;

(B) when these rules set a different time; or

(C) when a court order—which a party may, for good

cause, apply for ex parte—sets a different time.

(2) Supporting Affidavit. Any affidavit supporting a motion

must be served with the motion. Except as Rule 59(c) provides

otherwise, any opposing affidavit must be served at least 7

days before the hearing, unless the court permits service at

another time.

(d) ADDITIONAL TIME AFTER CERTAIN KINDS OF SERVICE. When a

party may or must act within a specified time after service and

service is made under Rule 5(b)(2)(C), (D), (E), or (F), 3 days are

added after the period would otherwise expire under Rule 6(a).

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July 1, 1968;

Mar. 1, 1971, eff. July 1, 1971; Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 29,

1985, eff. Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 26, 1999,

eff. Dec. 1, 1999; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 25, 2005, eff. Dec.

1, 2005; Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.)

TITLE III. PLEADINGS AND MOTIONS

Rule 7. Pleadings Allowed; Form of Motions and Other Papers

(a) PLEADINGS. Only these pleadings are allowed:

(1) a complaint;

(2) an answer to a complaint;

Rule 7.1 FEDERAL RULES OF CIVIL PROCEDURE 12

(3) an answer to a counterclaim designated as a counter-

claim;

(4) an answer to a crossclaim;

(5) a third-party complaint;

(6) an answer to a third-party complaint; and

(7) if the court orders one, a reply to an answer.

(b) MOTIONS AND OTHER PAPERS.

(1) In General. A request for a court order must be made by

motion. The motion must:

(A) be in writing unless made during a hearing or trial;

(B) state with particularity the grounds for seeking the

order; and

(C) state the relief sought.

(2) Form. The rules governing captions and other matters of

form in pleadings apply to motions and other papers.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 7.1. Disclosure Statement

(a) WHO MUST FILE; CONTENTS. A nongovernmental corporate

party must file 2 copies of a disclosure statement that:

(1) identifies any parent corporation and any publicly held

corporation owning 10% or more of its stock; or

(2) states that there is no such corporation.

(b) TIME TO FILE; SUPPLEMENTAL FILING. A party must:

(1) file the disclosure statement with its first appearance,

pleading, petition, motion, response, or other request ad-

dressed to the court; and

(2) promptly file a supplemental statement if any required

information changes.

(As added Apr. 29, 2002, eff. Dec. 1, 2002; amended Apr. 30, 2007, eff.

Dec. 1, 2007.)

Rule 8. General Rules of Pleading

(a) CLAIM FOR RELIEF. A pleading that states a claim for relief

must contain:

(1) a short and plain statement of the grounds for the court’s

jurisdiction, unless the court already has jurisdiction and the

claim needs no new jurisdictional support;

(2) a short and plain statement of the claim showing that the

pleader is entitled to relief; and

(3) a demand for the relief sought, which may include relief

in the alternative or different types of relief.

(b) DEFENSES; ADMISSIONS AND DENIALS.

(1) In General. In responding to a pleading, a party must:

(A) state in short and plain terms its defenses to each

claim asserted against it; and

(B) admit or deny the allegations asserted against it by

an opposing party.

(2) Denials—Responding to the Substance. A denial must fairly

respond to the substance of the allegation.

(3) General and Specific Denials. A party that intends in good

faith to deny all the allegations of a pleading—including the

jurisdictional grounds—may do so by a general denial. A party

that does not intend to deny all the allegations must either

specifically deny designated allegations or generally deny all

except those specifically admitted.

(4) Denying Part of an Allegation. A party that intends in

good faith to deny only part of an allegation must admit the

part that is true and deny the rest.

(5) Lacking Knowledge or Information. A party that lacks

knowledge or information sufficient to form a belief about the

truth of an allegation must so state, and the statement has

the effect of a denial.

(6) Effect of Failing to Deny. An allegation—other than one

relating to the amount of damages—is admitted if a responsive

pleading is required and the allegation is not denied. If a re-

sponsive pleading is not required, an allegation is considered

denied or avoided.

(c) AFFIRMATIVE DEFENSES.

(1) In General. In responding to a pleading, a party must af-

firmatively state any avoidance or affirmative defense, includ-

ing:

• accord and satisfaction;

• arbitration and award;

• assumption of risk;

• contributory negligence;

• duress;

• estoppel;

• failure of consideration;

• fraud;

• illegality;

• injury by fellow servant;

• laches;

• license;

• payment;

• release;

• res judicata;

• statute of frauds;

• statute of limitations; and

• waiver.

(2) Mistaken Designation. If a party mistakenly designates a

defense as a counterclaim, or a counterclaim as a defense, the

court must, if justice requires, treat the pleading as though it

were correctly designated, and may impose terms for doing so.

(d) PLEADING TO BE CONCISE AND DIRECT; ALTERNATIVE STATE-

MENTS; INCONSISTENCY.

(1) In General. Each allegation must be simple, concise, and

direct. No technical form is required.

(2) Alternative Statements of a Claim or Defense. A party may

set out 2 or more statements of a claim or defense alter-

natively or hypothetically, either in a single count or defense

or in separate ones. If a party makes alternative statements,

the pleading is sufficient if any one of them is sufficient.

(3) Inconsistent Claims or Defenses. A party may state as many

separate claims or defenses as it has, regardless of consist-

ency.

(e) CONSTRUING PLEADINGS. Pleadings must be construed so as to

do justice.

(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 28, 2010, eff. Dec. 1, 2010.)

Rule 9. Pleading Special Matters

(a) CAPACITY OR AUTHORITY TO SUE; LEGAL EXISTENCE.

(1) In General. Except when required to show that the court

has jurisdiction, a pleading need not allege:

(A) a party’s capacity to sue or be sued;

(B) a party’s authority to sue or be sued in a representa-

tive capacity; or

(C) the legal existence of an organized association of per-

sons that is made a party.

(2) Raising Those Issues. To raise any of those issues, a party

must do so by a specific denial, which must state any support-

ing facts that are peculiarly within the party’s knowledge.

(b) FRAUD OR MISTAKE; CONDITIONS OF MIND. In alleging fraud or

mistake, a party must state with particularity the circumstances

constituting fraud or mistake. Malice, intent, knowledge, and

other conditions of a person’s mind may be alleged generally.

(c) CONDITIONS PRECEDENT. In pleading conditions precedent, it

suffices to allege generally that all conditions precedent have oc-

curred or been performed. But when denying that a condition

precedent has occurred or been performed, a party must do so with

particularity.

(d) OFFICIAL DOCUMENT OR ACT. In pleading an official document

or official act, it suffices to allege that the document was legally

issued or the act legally done.

(e) JUDGMENT. In pleading a judgment or decision of a domestic

or foreign court, a judicial or quasi-judicial tribunal, or a board

or officer, it suffices to plead the judgment or decision without

showing jurisdiction to render it.

(f) TIME AND PLACE. An allegation of time or place is material

when testing the sufficiency of a pleading.

(g) SPECIAL DAMAGES. If an item of special damage is claimed,

it must be specifically stated.

(h) ADMIRALTY OR MARITIME CLAIM.

(1) How Designated. If a claim for relief is within the admi-

ralty or maritime jurisdiction and also within the court’s sub-

ject-matter jurisdiction on some other ground, the pleading

may designate the claim as an admiralty or maritime claim

for purposes of Rules 14(c), 38(e), and 82 and the Supplemental

Rules for Admiralty or Maritime Claims and Asset Forfeiture

Actions. A claim cognizable only in the admiralty or maritime

jurisdiction is an admiralty or maritime claim for those pur-

poses, whether or not so designated.

(2) Designation for Appeal. A case that includes an admiralty

or maritime claim within this subdivision (h) is an admiralty

case within 28 U.S.C. § 1292(a)(3).

(As amended Feb. 28, 1966, eff. July 1, 1966; Dec. 4, 1967, eff. July

1, 1968; Mar. 30, 1970, eff. July 1, 1970; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 12, 2006, eff. Dec. 1, 2006; Apr.

30, 2007, eff. Dec. 1, 2007.)

Rule 10. Form of Pleadings

(a) CAPTION; NAMES OF PARTIES. Every pleading must have a cap-

tion with the court’s name, a title, a file number, and a Rule 7(a)

designation. The title of the complaint must name all the parties;

the title of other pleadings, after naming the first party on each

side, may refer generally to other parties.

(b) PARAGRAPHS; SEPARATE STATEMENTS. A party must state its

claims or defenses in numbered paragraphs, each limited as far as

practicable to a single set of circumstances. A later pleading may

refer by number to a paragraph in an earlier pleading. If doing so

would promote clarity, each claim founded on a separate trans-

action or occurrence—and each defense other than a denial—must

be stated in a separate count or defense.

(c) ADOPTION BY REFERENCE; EXHIBITS. A statement in a pleading

may be adopted by reference elsewhere in the same pleading or in

any other pleading or motion. A copy of a written instrument that

is an exhibit to a pleading is a part of the pleading for all pur-

poses.

(As amended Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 11. Signing Pleadings, Motions, and Other Papers; Represen-

tations to the Court; Sanctions

(a) SIGNATURE. Every pleading, written motion, and other paper

must be signed by at least one attorney of record in the attorney’s

name—or by a party personally if the party is unrepresented. The

paper must state the signer’s address, e-mail address, and tele-

phone number. Unless a rule or statute specifically states other-

wise, a pleading need not be verified or accompanied by an affida-

vit. The court must strike an unsigned paper unless the omission

is promptly corrected after being called to the attorney’s or par-

ty’s attention.

(b) REPRESENTATIONS TO THE COURT. By presenting to the court

a pleading, written motion, or other paper—whether by signing,

filing, submitting, or later advocating it—an attorney or unrep-

resented party certifies 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, cause unnecessary delay, or needlessly increase

the cost of litigation;

(2) the claims, defenses, and other legal contentions are war-

ranted by existing law or by a nonfrivolous argument for ex-

tending, modifying, or reversing existing law or for establish-

ing new law;

(3) the factual contentions have evidentiary support or, if

specifically so identified, will likely have evidentiary support

after a reasonable opportunity for further investigation or dis-

covery; and

(4) the denials of factual contentions are warranted on the

evidence or, if specifically so identified, are reasonably based

on belief or a lack of information.

(c) SANCTIONS.

(1) In General. If, after notice and a reasonable opportunity

to respond, the court determines that Rule 11(b) has been vio-

lated, the court may impose an appropriate sanction on any

attorney, law firm, or party that violated the rule or is re-

sponsible for the violation. Absent exceptional circumstances,

a law firm must be held jointly responsible for a violation

committed by its partner, associate, or employee.

(2) Motion for Sanctions. A motion for sanctions must be

made separately from any other motion and must describe the

specific conduct that allegedly violates Rule 11(b). The motion

must be served under Rule 5, but it must not be filed or be pre-

sented to the court if the challenged paper, claim, defense,

contention, or denial is withdrawn or appropriately corrected

within 21 days after service or within another time the court

sets. If warranted, the court may award to the prevailing

party the reasonable expenses, including attorney’s fees, in-

curred for the motion.

(3) On the Court’s Initiative. On its own, the court may order

an attorney, law firm, or party to show cause why conduct

specifically described in the order has not violated Rule 11(b).

(4) Nature of a Sanction. A sanction imposed under this rule

must be limited to what suffices to deter repetition of the con-

duct or comparable conduct by others similarly situated. The

sanction may include nonmonetary directives; 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 part or all of the reasonable attorney’s fees and

other expenses directly resulting from the violation.

(5) Limitations on Monetary Sanctions. The court must not im-

pose a monetary sanction:

(A) against a represented party for violating Rule

11(b)(2); or

(B) on its own, unless it issued the show-cause order

under Rule 11(c)(3) before voluntary dismissal or settle-

ment of the claims made by or against the party that is,

or whose attorneys are, to be sanctioned.

(6) Requirements for an Order. An order imposing a sanction

must describe the sanctioned conduct and explain the basis for

the sanction.

(d) INAPPLICABILITY TO DISCOVERY. This rule does not apply to

disclosures and discovery requests, responses, objections, and mo-

tions under Rules 26 through 37.

(As amended Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 12. Defenses and Objections: When and How Presented; Mo-

tion for Judgment on the Pleadings; Consolidating Motions;

Waiving Defenses; Pretrial Hearing

(a) TIME TO SERVE A RESPONSIVE PLEADING.

(1) In General. Unless another time is specified by this rule

or a federal statute, the time for serving a responsive pleading

is as follows:

(A) A defendant must serve an answer:

(i) within 21 days after being served with the sum-

mons and complaint; or

(ii) if it has timely waived service under Rule 4(d),

within 60 days after the request for a waiver was sent,

or within 90 days after it was sent to the defendant

outside any judicial district of the United States.

(B) A party must serve an answer to a counterclaim or

crossclaim within 21 days after being served with the

pleading that states the counterclaim or crossclaim.

(C) A party must serve a reply to an answer within 21

days after being served with an order to reply, unless the

order specifies a different time.

(2) United States and Its Agencies, Officers, or Employees Sued

in an Official Capacity. The United States, a United States

agency, or a United States officer or employee sued only in an

official capacity must serve an answer to a complaint, coun-

terclaim, or crossclaim within 60 days after service on the

United States attorney.

(3) United States Officers or Employees Sued in an Individual

Capacity. A United States officer or employee sued in an indi-

vidual capacity for an act or omission occurring in connection

with duties performed on the United States’ behalf must serve

an answer to a complaint, counterclaim, or crossclaim within

60 days after service on the officer or employee or service on

the United States attorney, whichever is later.

(4) Effect of a Motion. Unless the court sets a different time,

serving a motion under this rule alters these periods as fol-

lows:

(A) if the court denies the motion or postpones its dis-

position until trial, the responsive pleading must be served

within 14 days after notice of the court’s action; or

(B) if the court grants a motion for a more definite

statement, the responsive pleading must be served within

14 days after the more definite statement is served.

(b) HOW TO PRESENT DEFENSES. Every defense to a claim for re-

lief in any pleading must be asserted in the responsive pleading if

one is required. But a party may assert the following defenses by

motion:

(1) lack of subject-matter jurisdiction;

(2) lack of personal jurisdiction;

(3) improper venue;

(4) insufficient process;

(5) insufficient service of process;

(6) failure to state a claim upon which relief can be granted;

and

(7) failure to join a party under Rule 19.

A motion asserting any of these defenses must be made before

pleading if a responsive pleading is allowed. If a pleading sets out

a claim for relief that does not require a responsive pleading, an

opposing party may assert at trial any defense to that claim. No

defense or objection is waived by joining it with one or more other

defenses or objections in a responsive pleading or in a motion.

(c) MOTION FOR JUDGMENT ON THE PLEADINGS. After the pleadings

are closed—but early enough not to delay trial—a party may move

for judgment on the pleadings.

(d) RESULT OF PRESENTING MATTERS OUTSIDE THE PLEADINGS. If,

on a motion under Rule 12(b)(6) or 12(c), matters outside the plead-

ings are presented to and not excluded by the court, the motion

must be treated as one for summary judgment under Rule 56. All

parties must be given a reasonable opportunity to present all the

material that is pertinent to the motion.

(e) MOTION FOR A MORE DEFINITE STATEMENT. A party may move

for a more definite statement of a pleading to which a responsive

pleading is allowed but which is so vague or ambiguous that the

party cannot reasonably prepare a response. The motion must be

made before filing a responsive pleading and must point out the

defects complained of and the details desired. If the court orders

a more definite statement and the order is not obeyed within 14

days after notice of the order or within the time the court sets,

the court may strike the pleading or issue any other appropriate

order.

(f) MOTION TO STRIKE. The court may strike from a pleading an

insufficient defense or any redundant, immaterial, impertinent, or

scandalous matter. The court may act:

(1) on its own; or

(2) on motion made by a party either before responding to

the pleading or, if a response is not allowed, within 21 days

after being served with the pleading.

(g) JOINING MOTIONS.

(1) Right to Join. A motion under this rule may be joined with

any other motion allowed by this rule.

(2) Limitation on Further Motions. Except as provided in Rule

12(h)(2) or (3), a party that makes a motion under this rule

must not make another motion under this rule raising a de-

fense or objection that was available to the party but omitted

from its earlier motion.

(h) WAIVING AND PRESERVING CERTAIN DEFENSES.

(1) When Some Are Waived. A party waives any defense listed

in Rule 12(b)(2)–(5) by:

(A) omitting it from a motion in the circumstances de-

scribed in Rule 12(g)(2); or

(B) failing to either:

(i) make it by motion under this rule; or

(ii) include it in a responsive pleading or in an

amendment allowed by Rule 15(a)(1) as a matter of

course.

(2) When to Raise Others. Failure to state a claim upon which

relief can be granted, to join a person required by Rule 19(b),

or to state a legal defense to a claim may be raised:

(A) in any pleading allowed or ordered under Rule 7(a);

(B) by a motion under Rule 12(c); or

(C) at trial.

(3) Lack of Subject-Matter Jurisdiction. If the court determines

at any time that it lacks subject-matter jurisdiction, the

court must dismiss the action.

(i) HEARING BEFORE TRIAL. If a party so moves, any defense list-

ed in Rule 12(b)(1)–(7)—whether made in a pleading or by motion—

and a motion under Rule 12(c) must be heard and decided before

trial unless the court orders a deferral until trial.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 17, 2000, eff. Dec. 1, 2000; Apr.

30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.)

Rule 13. Counterclaim and Crossclaim

(a) COMPULSORY COUNTERCLAIM.

(1) In General. A pleading must state as a counterclaim any

claim that—at the time of its service—the pleader has against

an opposing party if the claim:

(A) arises out of the transaction or occurrence that is

the subject matter of the opposing party’s claim; and

(B) does not require adding another party over whom the

court cannot acquire jurisdiction.

(2) Exceptions. The pleader need not state the claim if:

(A) when the action was commenced, the claim was the

subject of another pending action; or

(B) the opposing party sued on its claim by attachment

or other process that did not establish personal jurisdic-

tion over the pleader on that claim, and the pleader does

not assert any counterclaim under this rule.

(b) PERMISSIVE COUNTERCLAIM. A pleading may state as a coun-

terclaim against an opposing party any claim that is not compul-

sory.

(c) RELIEF SOUGHT IN A COUNTERCLAIM. A counterclaim need not

diminish or defeat the recovery sought by the opposing party. It

may request relief that exceeds in amount or differs in kind from

the relief sought by the opposing party.

(d) COUNTERCLAIM AGAINST THE UNITED STATES. These rules do

not expand the right to assert a counterclaim—or to claim a cred-

it—against the United States or a United States officer or agency.

(e) COUNTERCLAIM MATURING OR ACQUIRED AFTER PLEADING. The

court may permit a party to file a supplemental pleading assert-

ing a counterclaim that matured or was acquired by the party

after serving an earlier pleading.

(f) [ABROGATED.]

(g) CROSSCLAIM AGAINST A COPARTY. A pleading may state as a

crossclaim any claim by one party against a coparty if the claim

arises out of the transaction or occurrence that is the subject

matter of the original action or of a counterclaim, or if the claim

relates to any property that is the subject matter of the original

action. The crossclaim may include a claim that the coparty is or

may be liable to the crossclaimant for all or part of a claim as-

serted in the action against the crossclaimant.

(h) JOINING ADDITIONAL PARTIES. Rules 19 and 20 govern the addi-

tion of a person as a party to a counterclaim or crossclaim.

(i) SEPARATE TRIALS; SEPARATE JUDGMENTS. If the court orders

separate trials under Rule 42(b), it may enter judgment on a coun-

terclaim or crossclaim under Rule 54(b) when it has jurisdiction to

do so, even if the opposing party’s claims have been dismissed or

otherwise resolved.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.)

Rule 14. Third-Party Practice

(a) WHEN A DEFENDING PARTY MAY BRING IN A THIRD PARTY.

(1) Timing of the Summons and Complaint. A defending party

may, as third-party plaintiff, serve a summons and complaint

on a nonparty who is or may be liable to it for all or part of

the claim against it. But the third-party plaintiff must, by

motion, obtain the court’s leave if it files the third-party com-

plaint more than 14 days after serving its original answer.

(2) Third-Party Defendant’s Claims and Defenses. The person

served with the summons and third-party complaint—the

‘‘third-party defendant’’:

(A) must assert any defense against the third-party

plaintiff’s claim under Rule 12;

(B) must assert any counterclaim against the third-party

plaintiff under Rule 13(a), and may assert any counter-

claim against the third-party plaintiff under Rule 13(b) or

any crossclaim against another third-party defendant

under Rule 13(g);

(C) may assert against the plaintiff any defense that the

third-party plaintiff has to the plaintiff’s claim; and

(D) may also assert against the plaintiff any claim aris-

ing out of the transaction or occurrence that is the subject

matter of the plaintiff’s claim against the third-party

plaintiff.

(3) Plaintiff’s Claims Against a Third-Party Defendant. The

plaintiff may assert against the third-party defendant any

claim arising out of the transaction or occurrence that is the

subject matter of the plaintiff’s claim against the third-party

plaintiff. The third-party defendant must then assert any de-

fense under Rule 12 and any counterclaim under Rule 13(a),

and may assert any counterclaim under Rule 13(b) or any

crossclaim under Rule 13(g).

(4) Motion to Strike, Sever, or Try Separately. Any party may

move to strike the third-party claim, to sever it, or to try it

separately.

(5) Third-Party Defendant’s Claim Against a Nonparty. A third-

party defendant may proceed under this rule against a non-

party who is or may be liable to the third-party defendant for

all or part of any claim against it.

(6) Third-Party Complaint In Rem. If it is within the admi-

ralty or maritime jurisdiction, a third-party complaint may

be in rem. In that event, a reference in this rule to the ‘‘sum-

mons’’ includes the warrant of arrest, and a reference to the

defendant or third-party plaintiff includes, when appropriate,

a person who asserts a right under Supplemental Rule

C(6)(a)(i) in the property arrested.

(b) WHEN A PLAINTIFF MAY BRING IN A THIRD PARTY. When a

claim is asserted against a plaintiff, the plaintiff may bring in a

third party if this rule would allow a defendant to do so.

(c) ADMIRALTY OR MARITIME CLAIM.

(1) Scope of Impleader. If a plaintiff asserts an admiralty or

maritime claim under Rule 9(h), the defendant or a person who

asserts a right under Supplemental Rule C(6)(a)(i) may, as a

third-party plaintiff, bring in a third-party defendant who

may be wholly or partly liable—either to the plaintiff or to

the third-party plaintiff—for remedy over, contribution, or

otherwise on account of the same transaction, occurrence, or

series of transactions or occurrences.

(2) Defending Against a Demand for Judgment for the Plaintiff.

The third-party plaintiff may demand judgment in the plain-

tiff’s favor against the third-party defendant. In that event,

the third-party defendant must defend under Rule 12 against

the plaintiff’s claim as well as the third-party plaintiff’s

claim; and the action proceeds as if the plaintiff had sued both

the third-party defendant and the third-party plaintiff.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 12, 2006, eff. Dec. 1, 2006; Apr.

30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.)

Rule 15. Amended and Supplemental Pleadings

(a) AMENDMENTS BEFORE TRIAL.

(1) Amending as a Matter of Course. A party may amend its

pleading once as a matter of course within:

(A) 21 days after serving it, or

(B) if the pleading is one to which a responsive pleading

is required, 21 days after service of a responsive pleading

or 21 days after service of a motion under Rule 12(b), (e),

or (f), whichever is earlier.

(2) Other Amendments. In all other cases, a party may amend

its pleading only with the opposing party’s written consent or

the court’s leave. The court should freely give leave when jus-

tice so requires.

(3) Time to Respond. Unless the court orders otherwise, any

required response to an amended pleading must be made with-

in the time remaining to respond to the original pleading or

within 14 days after service of the amended pleading, which-

ever is later.

(b) AMENDMENTS DURING AND AFTER TRIAL.

(1) Based on an Objection at Trial. If, at trial, a party objects

that evidence is not within the issues raised in the pleadings,

the court may permit the pleadings to be amended. The court

should freely permit an amendment when doing so will aid in

presenting the merits and the objecting party fails to satisfy

the court that the evidence would prejudice that party’s ac-

tion or defense on the merits. The court may grant a continu-

ance to enable the objecting party to meet the evidence.

(2) For Issues Tried by Consent. When an issue not raised by

the pleadings is tried by the parties’ express or implied con-

sent, it must be treated in all respects as if raised in the plead-

ings. A party may move—at any time, even after judgment—

to amend the pleadings to conform them to the evidence and

to raise an unpleaded issue. But failure to amend does not af-

fect the result of the trial of that issue.

(c) RELATION BACK OF AMENDMENTS.

(1) When an Amendment Relates Back. An amendment to a

pleading relates back to the date of the original pleading

when:

(A) the law that provides the applicable statute of limi-

tations allows relation back;

(B) the amendment asserts a claim or defense that arose

out of the conduct, transaction, or occurrence set out—or

attempted to be set out—in the original pleading; or

(C) the amendment changes the party or the naming of

the party against whom a claim is asserted, if Rule

15(c)(1)(B) is satisfied and if, within the period provided by

Rule 4(m) for serving the summons and complaint, the

party to be brought in by amendment:

(i) received such notice of the action that it will not

be prejudiced in defending on the merits; and

(ii) knew or should have known that the action

would have been brought against it, but for a mistake

concerning the proper party’s identity.

(2) Notice to the United States. When the United States or a

United States officer or agency is added as a defendant by

amendment, the notice requirements of Rule 15(c)(1)(C)(i) and

(ii) are satisfied if, during the stated period, process was deliv-

ered or mailed to the United States attorney or the United

States attorney’s designee, to the Attorney General of the

United States, or to the officer or agency.

(d) SUPPLEMENTAL PLEADINGS. On motion and reasonable notice,

the court may, on just terms, permit a party to serve a supple-

mental pleading setting out any transaction, occurrence, or event

that happened after the date of the pleading to be supplemented.

The court may permit supplementation even though the original

pleading is defective in stating a claim or defense. The court may

order that the opposing party plead to the supplemental pleading

within a specified time.

(As amended Jan. 21, 1963, eff. July 1, 1963; Feb. 28, 1966, eff. July

1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991;

Pub. L. 102–198, § 11(a), Dec. 9, 1991, 105 Stat. 1626; Apr. 22, 1993, eff.

Dec. 1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec.

1, 2009.)

Rule 16. Pretrial Conferences; Scheduling; Management

(a) PURPOSES OF A PRETRIAL CONFERENCE. In any action, the

court may order the attorneys and any unrepresented parties to

appear for one or more pretrial conferences for such purposes as:

(1) expediting disposition of the action;

(2) establishing early and continuing control so that the case

will not be protracted because of lack of management;

(3) discouraging wasteful pretrial activities;

(4) improving the quality of the trial through more thorough

preparation; and

(5) facilitating settlement.

(b) SCHEDULING.

(1) Scheduling Order. Except in categories of actions exempt-

ed by local rule, the district judge—or a magistrate judge

when authorized by local rule—must issue a scheduling order:

(A) after receiving the parties’ report under Rule 26(f); or

(B) after consulting with the parties’ attorneys and any

unrepresented parties at a scheduling conference or by

telephone, mail, or other means.

(2) Time to Issue. The judge must issue the scheduling order

as soon as practicable, but in any event within the earlier of

120 days after any defendant has been served with the com-

plaint or 90 days after any defendant has appeared.

(3) Contents of the Order.

(A) Required Contents. The scheduling order must limit

the time to join other parties, amend the pleadings, com-

plete discovery, and file motions.

(B) Permitted Contents. The scheduling order may:

(i) modify the timing of disclosures under Rules 26(a)

and 26(e)(1);

(ii) modify the extent of discovery;

(iii) provide for disclosure or discovery of electroni-

cally stored information;

(iv) include any agreements the parties reach for as-

serting claims of privilege or of protection as trial-

preparation material after information is produced;

(v) set dates for pretrial conferences and for trial;

and

(vi) include other appropriate matters.

(4) Modifying a Schedule. A schedule may be modified only for

good cause and with the judge’s consent.

(c) ATTENDANCE AND MATTERS FOR CONSIDERATION AT A PRETRIAL

CONFERENCE.

(1) Attendance. A represented party must authorize at least

one of its attorneys to make stipulations and admissions

about all matters that can reasonably be anticipated for dis-

cussion at a pretrial conference. If appropriate, the court may

require that a party or its representative be present or reason-

ably available by other means to consider possible settlement.

(2) Matters for Consideration. At any pretrial conference, the

court may consider and take appropriate action on the follow-

ing matters:

(A) formulating and simplifying the issues, and eliminat-

ing frivolous claims or defenses;

(B) amending the pleadings if necessary or desirable;

(C) obtaining admissions and stipulations about facts

and documents to avoid unnecessary proof, and ruling in

advance on the admissibility of evidence;

(D) avoiding unnecessary proof and cumulative evidence,

and limiting the use of testimony under Federal Rule of

Evidence 702;

(E) determining the appropriateness and timing of sum-

mary adjudication under Rule 56;

(F) controlling and scheduling discovery, including or-

ders affecting disclosures and discovery under Rule 26 and

Rules 29 through 37;

(G) identifying witnesses and documents, scheduling the

filing and exchange of any pretrial briefs, and setting

dates for further conferences and for trial;

(H) referring matters to a magistrate judge or a master;

(I) settling the case and using special procedures to as-

sist in resolving the dispute when authorized by statute or

local rule;

(J) determining the form and content of the pretrial

order;

(K) disposing of pending motions;

(L) adopting special procedures for managing potentially

difficult or protracted actions that may involve complex

issues, multiple parties, difficult legal questions, or un-

usual proof problems;

(M) ordering a separate trial under Rule 42(b) of a claim,

counterclaim, crossclaim, third-party claim, or particular

issue;

(N) ordering the presentation of evidence early in the

trial on a manageable issue that might, on the evidence,

be the basis for a judgment as a matter of law under Rule

50(a) or a judgment on partial findings under Rule 52(c);

(O) establishing a reasonable limit on the time allowed

to present evidence; and

(P) facilitating in other ways the just, speedy, and inex-

pensive disposition of the action.

(d) PRETRIAL ORDERS. After any conference under this rule, the

court should issue an order reciting the action taken. This order

controls the course of the action unless the court modifies it.

(e) FINAL PRETRIAL CONFERENCE AND ORDERS. The court may

hold a final pretrial conference to formulate a trial plan, includ-

ing a plan to facilitate the admission of evidence. The conference

must be held as close to the start of trial as is reasonable, and

must be attended by at least one attorney who will conduct the

trial for each party and by any unrepresented party. The court

may modify the order issued after a final pretrial conference only

to prevent manifest injustice.

(f) SANCTIONS.

(1) In General. On motion or on its own, the court may issue

any just orders, including those authorized by Rule

37(b)(2)(A)(ii)–(vii), if a party or its attorney:

(A) fails to appear at a scheduling or other pretrial con-

ference;

(B) is substantially unprepared to participate—or does

not participate in good faith—in the conference; or

(C) fails to obey a scheduling or other pretrial order.

(2) Imposing Fees and Costs. Instead of or in addition to any

other sanction, the court must order the party, its attorney,

or both to pay the reasonable expenses—including attorney’s

fees—incurred because of any noncompliance with this rule,

unless the noncompliance was substantially justified or other

circumstances make an award of expenses unjust.

(As amended Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 12, 2006, eff. Dec. 1, 2006;

Apr. 30, 2007, eff. Dec. 1, 2007.)

TITLE IV. PARTIES

Rule 17. Plaintiff and Defendant; Capacity; Public Officers

(a) REAL PARTY IN INTEREST.

(1) Designation in General. An action must be prosecuted in

the name of the real party in interest. The following may sue

in their own names without joining the person for whose bene-

fit the action is brought:

(A) an executor;

(B) an administrator;

(C) a guardian;

(D) a bailee;

(E) a trustee of an express trust;

(F) a party with whom or in whose name a contract has

been made for another’s benefit; and

(G) a party authorized by statute.

(2) Action in the Name of the United States for Another’s Use or

Benefit. When a federal statute so provides, an action for an-

other’s use or benefit must be brought in the name of the

United States.

(3) Joinder of the Real Party in Interest. The court may not

dismiss an action for failure to prosecute in the name of the

real party in interest until, after an objection, a reasonable

time has been allowed for the real party in interest to ratify,

join, or be substituted into the action. After ratification, join-

der, or substitution, the action proceeds as if it had been origi-

nally commenced by the real party in interest.

(b) CAPACITY TO SUE OR BE SUED. Capacity to sue or be sued is

determined as follows:

(1) for an individual who is not acting in a representative ca-

pacity, by the law of the individual’s domicile;

(2) for a corporation, by the law under which it was orga-

nized; and

(3) for all other parties, by the law of the state where the

court is located, except that:

(A) a partnership or other unincorporated association

with no such capacity under that state’s law may sue or be

sued in its common name to enforce a substantive right

existing under the United States Constitution or laws; and

(B) 28 U.S.C. §§ 754 and 959(a) govern the capacity of a re-

ceiver appointed by a United States court to sue or be sued

in a United States court.

(c) MINOR OR INCOMPETENT PERSON.

(1) With a Representative. The following representatives may

sue or defend on behalf of a minor or an incompetent person:

(A) a general guardian;

(B) a committee;

(C) a conservator; or

(D) a like fiduciary.

(2) Without a Representative. A minor or an incompetent per-

son who does not have a duly appointed representative may

sue by a next friend or by a guardian ad litem. The court must

appoint a guardian ad litem—or issue another appropriate

order—to protect a minor or incompetent person who is unrep-

resented in an action.

(d) PUBLIC OFFICER’S TITLE AND NAME. A public officer who sues

or is sued in an official capacity may be designated by official

title rather than by name, but the court may order that the offi-

cer’s name be added.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct.

20, 1949; Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 25, 1988, eff. Aug. 1, 1988; Pub. L. 100–690, title VII, § 7049, Nov.

18, 1988, 102 Stat. 4401; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 18. Joinder of Claims

(a) IN GENERAL. A party asserting a claim, counterclaim,

crossclaim, or third-party claim may join, as independent or alter-

native claims, as many claims as it has against an opposing party.

(b) JOINDER OF CONTINGENT CLAIMS. A party may join two claims

even though one of them is contingent on the disposition of the

other; but the court may grant relief only in accordance with the

parties’ relative substantive rights. In particular, a plaintiff may

state a claim for money and a claim to set aside a conveyance

that is fraudulent as to that plaintiff, without first obtaining a

judgment for the money.

(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 19. Required Joinder of Parties

(a) PERSONS REQUIRED TO BE JOINED IF FEASIBLE.

(1) Required Party. A person who is subject to service of proc-

ess and whose joinder will not deprive the court of subject-

matter jurisdiction must be joined as a party if:

(A) in that person’s absence, the court cannot accord

complete relief among existing parties; or

(B) that person claims an interest relating to the subject

of the action and is so situated that disposing of the action

in the person’s absence may:

(i) as a practical matter impair or impede the per-

son’s ability to protect the interest; or

(ii) leave an existing party subject to a substantial

risk of incurring double, multiple, or otherwise incon-

sistent obligations because of the interest.

(2) Joinder by Court Order. If a person has not been joined as

required, the court must order that the person be made a

party. A person who refuses to join as a plaintiff may be made

either a defendant or, in a proper case, an involuntary plain-

tiff.

(3) Venue. If a joined party objects to venue and the joinder

would make venue improper, the court must dismiss that

party.

(b) WHEN JOINDER IS NOT FEASIBLE. If a person who is required

to be joined if feasible cannot be joined, the court must determine

whether, in equity and good conscience, the action should proceed

among the existing parties or should be dismissed. The factors for

the court to consider include:

(1) the extent to which a judgment rendered in the person’s

absence might prejudice that person or the existing parties;

(2) the extent to which any prejudice could be lessened or

avoided by:

(A) protective provisions in the judgment;

(B) shaping the relief; or

(C) other measures;

(3) whether a judgment rendered in the person’s absence

would be adequate; and

(4) whether the plaintiff would have an adequate remedy if

the action were dismissed for nonjoinder.

(c) PLEADING THE REASONS FOR NONJOINDER. When asserting a

claim for relief, a party must state:

(1) the name, if known, of any person who is required to be

joined if feasible but is not joined; and

(2) the reasons for not joining that person.

(d) EXCEPTION FOR CLASS ACTIONS. This rule is subject to Rule

23.

(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 20. Permissive Joinder of Parties

(a) PERSONS WHO MAY JOIN OR BE JOINED.

(1) Plaintiffs. Persons may join in one action as plaintiffs if:

(A) they assert any right to relief jointly, severally, or

in the alternative with respect to or arising out of the

same transaction, occurrence, or series of transactions or

occurrences; and

(B) any question of law or fact common to all plaintiffs

will arise in the action.

(2) Defendants. Persons—as well as a vessel, cargo, or other

property subject to admiralty process in rem—may be joined

in one action as defendants if:

(A) any right to relief is asserted against them jointly,

severally, or in the alternative with respect to or arising

out of the same transaction, occurrence, or series of trans-

actions or occurrences; and

(B) any question of law or fact common to all defendants

will arise in the action.

(3) Extent of Relief. Neither a plaintiff nor a defendant need

be interested in obtaining or defending against all the relief

demanded. The court may grant judgment to one or more

plaintiffs according to their rights, and against one or more

defendants according to their liabilities.

(b) PROTECTIVE MEASURES. The court may issue orders—includ-

ing an order for separate trials—to protect a party against embar-

rassment, delay, expense, or other prejudice that arises from in-

cluding a person against whom the party asserts no claim and who

asserts no claim against the party.

(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 21. Misjoinder and Nonjoinder of Parties

Misjoinder of parties is not a ground for dismissing an action.

On motion or on its own, the court may at any time, on just

terms, add or drop a party. The court may also sever any claim

against a party.

(As amended Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 22. Interpleader

(a) GROUNDS.

(1) By a Plaintiff. Persons with claims that may expose a

plaintiff to double or multiple liability may be joined as de-

fendants and required to interplead. Joinder for interpleader is

proper even though:

(A) the claims of the several claimants, or the titles on

which their claims depend, lack a common origin or are

adverse and independent rather than identical; or

(B) the plaintiff denies liability in whole or in part to

any or all of the claimants.

(2) By a Defendant. A defendant exposed to similar liability

may seek interpleader through a crossclaim or counterclaim.

(b) RELATION TO OTHER RULES AND STATUTES. This rule supple-

ments—and does not limit—the joinder of parties allowed by Rule

20. The remedy this rule provides is in addition to—and does not

supersede or limit—the remedy provided by 28 U.S.C. §§ 1335, 1397,

and 2361. An action under those statutes must be conducted under

these rules.

(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 23. Class Actions

(a) PREREQUISITES. One or more members of a class may sue or

be sued as representative parties on behalf of all members only if:

(1) the class is so numerous that joinder of all members is

impracticable;

(2) there are questions of law or fact common to the class;

(3) the claims or defenses of the representative parties are

typical of the claims or defenses of the class; and

(4) the representative parties will fairly and adequately pro-

tect the interests of the class.

(b) TYPES OF CLASS ACTIONS. A class action may be maintained

if Rule 23(a) is satisfied and if:

(1) prosecuting separate actions by or against individual

class members would create a risk of:

(A) inconsistent or varying adjudications with respect to

individual class members that would establish incompat-

ible standards of conduct for the party opposing the class;

or

(B) adjudications with respect to individual class mem-

bers that, as a practical matter, would be dispositive of

the interests of the other members not parties to the indi-

vidual adjudications or would substantially impair or im-

pede their ability to protect their interests;

(2) the party opposing the class has acted or refused to act

on grounds that apply generally to the class, so that final in-

junctive relief or corresponding declaratory relief is appro-

priate respecting the class as a whole; or

(3) the court finds that the questions of law or fact common

to class members predominate over any questions affecting

only individual members, and that a class action is superior to

other available methods for fairly and efficiently adjudicating

the controversy. The matters pertinent to these findings in-

clude:

(A) the class members’ interests in individually control-

ling the prosecution or defense of separate actions;

(B) the extent and nature of any litigation concerning

the controversy already begun by or against class mem-

bers;

(C) the desirability or undesirability of concentrating

the litigation of the claims in the particular forum; and

(D) the likely difficulties in managing a class action.

(c) CERTIFICATION ORDER; NOTICE TO CLASS MEMBERS; JUDGMENT;

ISSUES CLASSES; SUBCLASSES.

(1) Certification Order.

(A) Time to Issue. At an early practicable time after a

person sues or is sued as a class representative, the court

must determine by order whether to certify the action as

a class action.

(B) Defining the Class; Appointing Class Counsel. An order

that certifies a class action must define the class and the

class claims, issues, or defenses, and must appoint class

counsel under Rule 23(g).

(C) Altering or Amending the Order. An order that grants

or denies class certification may be altered or amended be-

fore final judgment.

(2) Notice.

(A) For (b)(1) or (b)(2) Classes. For any class certified

under Rule 23(b)(1) or (b)(2), the court may direct appro-

priate notice to the class.

(B) For (b)(3) Classes. For any class certified under Rule

23(b)(3), the court must direct to class members the best

notice that is practicable under the circumstances, includ-

ing individual notice to all members who can be identified

through reasonable effort. The notice must clearly and

concisely state in plain, easily understood language:

(i) the nature of the action;

(ii) the definition of the class certified;

(iii) the class claims, issues, or defenses;

(iv) that a class member may enter an appearance

through an attorney if the member so desires;

(v) that the court will exclude from the class any

member who requests exclusion;

(vi) the time and manner for requesting exclusion;

and

(vii) the binding effect of a class judgment on mem-

bers under Rule 23(c)(3).

(3) Judgment. Whether or not favorable to the class, the judg-

ment in a class action must:

(A) for any class certified under Rule 23(b)(1) or (b)(2), in-

clude and describe those whom the court finds to be class

members; and

(B) for any class certified under Rule 23(b)(3), include and

specify or describe those to whom the Rule 23(c)(2) notice

was directed, who have not requested exclusion, and whom

the court finds to be class members.

(4) Particular Issues. When appropriate, an action may be

brought or maintained as a class action with respect to par-

ticular issues.

(5) Subclasses. When appropriate, a class may be divided into

subclasses that are each treated as a class under this rule.

(d) CONDUCTING THE ACTION.

(1) In General. In conducting an action under this rule, the

court may issue orders that:

(A) determine the course of proceedings or prescribe

measures to prevent undue repetition or complication in

presenting evidence or argument;

(B) require—to protect class members and fairly conduct

the action—giving appropriate notice to some or all class

members of:

(i) any step in the action;

(ii) the proposed extent of the judgment; or

(iii) the members’ opportunity to signify whether

they consider the representation fair and adequate, to

intervene and present claims or defenses, or to other-

wise come into the action;

(C) impose conditions on the representative parties or on

intervenors;

(D) require that the pleadings be amended to eliminate

allegations about representation of absent persons and

that the action proceed accordingly; or

(E) deal with similar procedural matters.

(2) Combining and Amending Orders. An order under Rule

23(d)(1) may be altered or amended from time to time and may

be combined with an order under Rule 16.

(e) SETTLEMENT, VOLUNTARY DISMISSAL, OR COMPROMISE. The

claims, issues, or defenses of a certified class may be settled, vol-

untarily dismissed, or compromised only with the court’s ap-

proval. The following procedures apply to a proposed settlement,

voluntary dismissal, or compromise:

(1) The court must direct notice in a reasonable manner to

all class members who would be bound by the proposal.

(2) If the proposal would bind class members, the court may

approve it only after a hearing and on finding that it is fair,

reasonable, and adequate.

(3) The parties seeking approval must file a statement iden-

tifying any agreement made in connection with the proposal.

(4) If the class action was previously certified under Rule

23(b)(3), the court may refuse to approve a settlement unless

it affords a new opportunity to request exclusion to individual

class members who had an earlier opportunity to request ex-

clusion but did not do so.

(5) Any class member may object to the proposal if it re-

quires court approval under this subdivision (e); the objection

may be withdrawn only with the court’s approval.

(f) APPEALS. A court of appeals may permit an appeal from an

order granting or denying class-action certification under this

rule if a petition for permission to appeal is filed with the circuit

clerk within 14 days after the order is entered. An appeal does not

stay proceedings in the district court unless the district judge or

the court of appeals so orders.

(g) CLASS COUNSEL.

(1) Appointing Class Counsel. Unless a statute provides other-

wise, a court that certifies a class must appoint class counsel.

In appointing class counsel, the court:

(A) must consider:

(i) the work counsel has done in identifying or inves-

tigating potential claims in the action;

(ii) counsel’s experience in handling class actions,

other complex litigation, and the types of claims as-

serted in the action;

(iii) counsel’s knowledge of the applicable law; and

31 FEDERAL RULES OF CIVIL PROCEDURE

Rule 23.1

(iv) the resources that counsel will commit to rep-

resenting the class;

(B) may consider any other matter pertinent to counsel’s

ability to fairly and adequately represent the interests of

the class;

(C) may order potential class counsel to provide informa-

tion on any subject pertinent to the appointment and to

propose terms for attorney’s fees and nontaxable costs;

(D) may include in the appointing order provisions about

the award of attorney’s fees or nontaxable costs under

Rule 23(h); and

(E) may make further orders in connection with the ap-

pointment.

(2) Standard for Appointing Class Counsel. When one applicant

seeks appointment as class counsel, the court may appoint

that applicant only if the applicant is adequate under Rule

23(g)(1) and (4). If more than one adequate applicant seeks ap-

pointment, the court must appoint the applicant best able to

represent the interests of the class.

(3) Interim Counsel. The court may designate interim counsel

to act on behalf of a putative class before determining whether

to certify the action as a class action.

(4) Duty of Class Counsel. Class counsel must fairly and ade-

quately represent the interests of the class.

(h) ATTORNEY’S FEES AND NONTAXABLE COSTS. In a certified class

action, the court may award reasonable attorney’s fees and non-

taxable costs that are authorized by law or by the parties’ agree-

ment. The following procedures apply:

(1) A claim for an award must be made by motion under Rule

54(d)(2), subject to the provisions of this subdivision (h), at a

time the court sets. Notice of the motion must be served on

all parties and, for motions by class counsel, directed to class

members in a reasonable manner.

(2) A class member, or a party from whom payment is

sought, may object to the motion.

(3) The court may hold a hearing and must find the facts and

state its legal conclusions under Rule 52(a).

(4) The court may refer issues related to the amount of the

award to a special master or a magistrate judge, as provided

in Rule 54(d)(2)(D).

(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 24, 1998, eff. Dec. 1, 1998; Mar. 27, 2003, eff. Dec. 1, 2003;

Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.)

Rule 23.1. Derivative Actions

(a) PREREQUISITES. This rule applies when one or more share-

holders or members of a corporation or an unincorporated associa-

tion bring a derivative action to enforce a right that the corpora-

tion or association may properly assert but has failed to enforce.

The derivative action may not be maintained if it appears that

the plaintiff does not fairly and adequately represent the interests

of shareholders or members who are similarly situated in enforc-

ing the right of the corporation or association.

(b) PLEADING REQUIREMENTS. The complaint must be verified and

must:

Rule 23.2 FEDERAL RULES OF CIVIL PROCEDURE 32

(1) allege that the plaintiff was a shareholder or member at

the time of the transaction complained of, or that the plain-

tiff’s share or membership later devolved on it by operation of

law;

(2) allege that the action is not a collusive one to confer ju-

risdiction that the court would otherwise lack; and

(3) state with particularity:

(A) any effort by the plaintiff to obtain the desired ac-

tion from the directors or comparable authority and, if

necessary, from the shareholders or members; and

(B) the reasons for not obtaining the action or not mak-

ing the effort.

(c) SETTLEMENT, DISMISSAL, AND COMPROMISE. A derivative ac-

tion may be settled, voluntarily dismissed, or compromised only

with the court’s approval. Notice of a proposed settlement, vol-

untary dismissal, or compromise must be given to shareholders or

members in the manner that the court orders.

(As added Feb. 28, 1966, eff. July 1, 1966; amended Mar. 2, 1987, eff.

Aug. 1, 1987; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 23.2. Actions Relating to Unincorporated Associations

This rule applies to an action brought by or against the mem-

bers of an unincorporated association as a class by naming certain

members as representative parties. The action may be maintained

only if it appears that those parties will fairly and adequately pro-

tect the interests of the association and its members. In conduct-

ing the action, the court may issue any appropriate orders cor-

responding with those in Rule 23(d), and the procedure for settle-

ment, voluntary dismissal, or compromise must correspond with

the procedure in Rule 23(e).

(As added Feb. 28, 1966, eff. July 1, 1966; amended Apr. 30, 2007, eff.

Dec. 1, 2007.)

Rule 24. Intervention

(a) INTERVENTION OF RIGHT. On timely motion, the court must

permit anyone to intervene who:

(1) is given an unconditional right to intervene by a federal

statute; or

(2) claims an interest relating to the property or transaction

that is the subject of the action, and is so situated that dispos-

ing of the action may as a practical matter impair or impede

the movant’s ability to protect its interest, unless existing

parties adequately represent that interest.

(b) PERMISSIVE INTERVENTION.

(1) In General. On timely motion, the court may permit any-

one to intervene who:

(A) is given a conditional right to intervene by a federal

statute; or

(B) has a claim or defense that shares with the main ac-

tion a common question of law or fact.

(2) By a Government Officer or Agency. On timely motion, the

court may permit a federal or state governmental officer or

agency to intervene if a party’s claim or defense is based on:

(A) a statute or executive order administered by the offi-

cer or agency; or

(B) any regulation, order, requirement, or agreement is-

sued or made under the statute or executive order.

(3) Delay or Prejudice. In exercising its discretion, the court

must consider whether the intervention will unduly delay or

prejudice the adjudication of the original parties’ rights.

(c) NOTICE AND PLEADING REQUIRED. A motion to intervene must

be served on the parties as provided in Rule 5. The motion must

state the grounds for intervention and be accompanied by a plead-

ing that sets out the claim or defense for which intervention is

sought.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct.

20, 1949; Jan. 21, 1963, eff. July 1, 1963; Feb. 28, 1966, eff. July 1, 1966;

Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 12,

2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 25. Substitution of Parties

(a) DEATH.

(1) Substitution if the Claim Is Not Extinguished. If a party dies

and the claim is not extinguished, the court may order substi-

tution of the proper party. A motion for substitution may be

made by any party or by the decedent’s successor or represent-

ative. If the motion is not made within 90 days after service

of a statement noting the death, the action by or against the

decedent must be dismissed.

(2) Continuation Among the Remaining Parties. After a party’s

death, if the right sought to be enforced survives only to or

against the remaining parties, the action does not abate, but

proceeds in favor of or against the remaining parties. The

death should be noted on the record.

(3) Service. A motion to substitute, together with a notice of

hearing, must be served on the parties as provided in Rule 5

and on nonparties as provided in Rule 4. A statement noting

death must be served in the same manner. Service may be

made in any judicial district.

(b) INCOMPETENCY. If a party becomes incompetent, the court

may, on motion, permit the action to be continued by or against

the party’s representative. The motion must be served as provided

in Rule 25(a)(3).

(c) TRANSFER OF INTEREST. If an interest is transferred, the ac-

tion may be continued by or against the original party unless the

court, on motion, orders the transferee to be substituted in the ac-

tion or joined with the original party. The motion must be served

as provided in Rule 25(a)(3).

(d) PUBLIC OFFICERS; DEATH OR SEPARATION FROM OFFICE. An ac-

tion does not abate when a public officer who is a party in an offi-

cial capacity dies, resigns, or otherwise ceases to hold office while

the action is pending. The officer’s successor is automatically sub-

stituted as a party. Later proceedings should be in the substituted

party’s name, but any misnomer not affecting the parties’ sub-

stantial rights must be disregarded. The court may order substi-

tution at any time, but the absence of such an order does not af-

fect the substitution.

(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Apr. 17, 1961, eff. July

19, 1961; Jan. 21, 1963, eff. July 1, 1963; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 30, 2007, eff. Dec. 1, 2007.)

TITLE V. DISCLOSURES AND DISCOVERY

Rule 26. Duty to Disclose; General Provisions Governing Discovery

(a) REQUIRED DISCLOSURES.

(1) Initial Disclosure.

(A) In General. Except as exempted by Rule 26(a)(1)(B) or

as otherwise stipulated or ordered by the court, a party

must, without awaiting a discovery request, provide to the

other parties:

(i) the name and, if known, the address and telephone

number of each individual likely to have discoverable

information—along with the subjects of that informa-

tion—that the disclosing party may use to support its

claims or defenses, unless the use would be solely for

impeachment;

(ii) a copy—or a description by category and loca-

tion—of all documents, electronically stored informa-

tion, and tangible things that the disclosing party has

in its possession, custody, or control and may use to

support its claims or defenses, unless the use would be

solely for impeachment;

(iii) a computation of each category of damages

claimed by the disclosing party—who must also make

available for inspection and copying as under Rule 34

the documents or other evidentiary material, unless

privileged or protected from disclosure, on which each

computation is based, including materials bearing on

the nature and extent of injuries suffered; and

(iv) for inspection and copying as under Rule 34, any

insurance agreement under which an insurance busi-

ness may be liable to satisfy all or part of a possible

judgment in the action or to indemnify or reimburse

for payments made to satisfy the judgment.

(B) Proceedings Exempt from Initial Disclosure. The follow-

ing proceedings are exempt from initial disclosure:

(i) an action for review on an administrative record;

(ii) a forfeiture action in rem arising from a federal

statute;

(iii) a petition for habeas corpus or any other pro-

ceeding to challenge a criminal conviction or sentence;

(iv) an action brought without an attorney by a per-

son in the custody of the United States, a state, or a

state subdivision;

(v) an action to enforce or quash an administrative

summons or subpoena;

(vi) an action by the United States to recover benefit

payments;

(vii) an action by the United States to collect on a

student loan guaranteed by the United States;

(viii) a proceeding ancillary to a proceeding in an-

other court; and

(ix) an action to enforce an arbitration award.

(C) Time for Initial Disclosures—In General. A party must

make the initial disclosures at or within 14 days after the

parties’ Rule 26(f) conference unless a different time is set

by stipulation or court order, or unless a party objects

during the conference that initial disclosures are not ap-

propriate in this action and states the objection in the

proposed discovery plan. In ruling on the objection, the

court must determine what disclosures, if any, are to be

made and must set the time for disclosure.

(D) Time for Initial Disclosures—For Parties Served or

Joined Later. A party that is first served or otherwise

joined after the Rule 26(f) conference must make the ini-

tial disclosures within 30 days after being served or joined,

unless a different time is set by stipulation or court order.

(E) Basis for Initial Disclosure; Unacceptable Excuses. A

party must make its initial disclosures based on the infor-

mation then reasonably available to it. A party is not ex-

cused from making its disclosures because it has not fully

investigated the case or because it challenges the suffi-

ciency of another party’s disclosures or because another

party has not made its disclosures.

(2) Disclosure of Expert Testimony.

(A) In General. In addition to the disclosures required by

Rule 26(a)(1), a party must disclose to the other parties the

identity of any witness it may use at trial to present evi-

dence under Federal Rule of Evidence 702, 703, or 705.

(B) Witnesses Who Must Provide a Written Report. Unless

otherwise stipulated or ordered by the court, this disclo-

sure must be accompanied by a written report—prepared

and signed by the witness—if the witness is one retained or

specially employed to provide expert testimony in the case

or one whose duties as the party’s employee regularly in-

volve giving expert testimony. The report must contain:

(i) a complete statement of all opinions the witness

will express and the basis and reasons for them;

(ii) the facts or data considered by the witness in

forming them;

(iii) any exhibits that will be used to summarize or

support them;

(iv) the witness’s qualifications, including a list of

all publications authored in the previous 10 years;

(v) a list of all other cases in which, during the pre-

vious 4 years, the witness testified as an expert at trial

or by deposition; and

(vi) a statement of the compensation to be paid for

the study and testimony in the case.

(C) Witnesses Who Do Not Provide a Written Report. Unless

otherwise stipulated or ordered by the court, if the witness

is not required to provide a written report, this disclosure

must state:

(i) the subject matter on which the witness is ex-

pected to present evidence under Federal Rule of Evi-

dence 702, 703, or 705; and

(ii) a summary of the facts and opinions to which the

witness is expected to testify.

(D) Time to Disclose Expert Testimony. A party must make

these disclosures at the times and in the sequence that the

court orders. Absent a stipulation or a court order, the dis-

closures must be made:

(i) at least 90 days before the date set for trial or for

the case to be ready for trial; or

(ii) if the evidence is intended solely to contradict or

rebut evidence on the same subject matter identified

by another party under Rule 26(a)(2)(B) or (C), within

30 days after the other party’s disclosure.

(E) Supplementing the Disclosure. The parties must supple-

ment these disclosures when required under Rule 26(e).

(3) Pretrial Disclosures.

(A) In General. In addition to the disclosures required by

Rule 26(a)(1) and (2), a party must provide to the other par-

ties and promptly file the following information about the

evidence that it may present at trial other than solely for

impeachment:

(i) the name and, if not previously provided, the ad-

dress and telephone number of each witness—sepa-

rately identifying those the party expects to present

and those it may call if the need arises;

(ii) the designation of those witnesses whose testi-

mony the party expects to present by deposition and,

if not taken stenographically, a transcript of the perti-

nent parts of the deposition; and

(iii) an identification of each document or other ex-

hibit, including summaries of other evidence—sepa-

rately identifying those items the party expects to

offer and those it may offer if the need arises.

(B) Time for Pretrial Disclosures; Objections. Unless the

court orders otherwise, these disclosures must be made at

least 30 days before trial. Within 14 days after they are

made, unless the court sets a different time, a party may

serve and promptly file a list of the following objections:

any objections to the use under Rule 32(a) of a deposition

designated by another party under Rule 26(a)(3)(A)(ii); and

any objection, together with the grounds for it, that may

be made to the admissibility of materials identified under

Rule 26(a)(3)(A)(iii). An objection not so made—except for

one under Federal Rule of Evidence 402 or 403—is waived

unless excused by the court for good cause.

(4) Form of Disclosures. Unless the court orders otherwise, all

disclosures under Rule 26(a) must be in writing, signed, and

served.

(b) DISCOVERY SCOPE AND LIMITS.

(1) Scope in General. Unless otherwise limited by court order,

the scope of discovery is as follows: Parties may obtain discov-

ery regarding any nonprivileged matter that is relevant to any

party’s claim or defense—including the existence, description,

nature, custody, condition, and location of any documents or

other tangible things and the identity and location of persons

who know of any discoverable matter. For good cause, the

court may order discovery of any matter relevant to the sub-

ject matter involved in the action. Relevant information need

not be admissible at the trial if the discovery appears reason-

ably calculated to lead to the discovery of admissible evi-

dence. All discovery is subject to the limitations imposed by

Rule 26(b)(2)(C).

(2) Limitations on Frequency and Extent.

(A) When Permitted. By order, the court may alter the

limits in these rules on the number of depositions and in-

terrogatories or on the length of depositions under Rule 30.

By order or local rule, the court may also limit the num-

ber of requests under Rule 36.

(B) Specific Limitations on Electronically Stored Informa-

tion. A party need not provide discovery of electronically

stored information from sources that the party identifies

as not reasonably accessible because of undue burden or

cost. On motion to compel discovery or for a protective

order, the party from whom discovery is sought must show

that the information is not reasonably accessible because

of undue burden or cost. If that showing is made, the court

may nonetheless order discovery from such sources if the

requesting party shows good cause, considering the limita-

tions of Rule 26(b)(2)(C). The court may specify conditions

for the discovery.

(C) When Required. On motion or on its own, the court

must limit the frequency or extent of discovery otherwise

allowed by these rules or by local rule if it determines

that:

(i) the discovery sought is unreasonably cumulative

or duplicative, or can be obtained from some other

source that is more convenient, less burdensome, or

less expensive;

(ii) the party seeking discovery has had ample oppor-

tunity to obtain the information by discovery in the

action; or

(iii) the burden or expense of the proposed discovery

outweighs its likely benefit, considering the needs of

the case, the amount in controversy, the parties’ re-

sources, the importance of the issues at stake in the

action, and the importance of the discovery in resolv-

ing the issues.

(3) Trial Preparation: Materials.

(A) Documents and Tangible Things. Ordinarily, a party

may not discover documents and tangible things that are

prepared in anticipation of litigation or for trial by or for

another party or its representative (including the other

party’s attorney, consultant, surety, indemnitor, insurer,

or agent). But, subject to Rule 26(b)(4), those materials

may be discovered if:

(i) they are otherwise discoverable under Rule

26(b)(1); and

(ii) the party shows that it has substantial need for

the materials to prepare its case and cannot, without

undue hardship, obtain their substantial equivalent by

other means.

(B) Protection Against Disclosure. If the court orders dis-

covery of those materials, it must protect against disclo-

sure of the mental impressions, conclusions, opinions, or

legal theories of a party’s attorney or other representative

concerning the litigation.

(C) Previous Statement. Any party or other person may,

on request and without the required showing, obtain the

person’s own previous statement about the action or its

subject matter. If the request is refused, the person may

move for a court order, and Rule 37(a)(5) applies to the

award of expenses. A previous statement is either:

(i) a written statement that the person has signed or

otherwise adopted or approved; or

(ii) a contemporaneous stenographic, mechanical,

electrical, or other recording—or a transcription of

it—that recites substantially verbatim the person’s

oral statement.

(4) Trial Preparation: Experts.

(A) Deposition of an Expert Who May Testify. A party may

depose any person who has been identified as an expert

whose opinions may be presented at trial. If Rule

26(a)(2)(B) requires a report from the expert, the deposition

may be conducted only after the report is provided.

(B) Trial-Preparation Protection for Draft Reports or Disclo-

sures. Rules 26(b)(3)(A) and (B) protect drafts of any report

or disclosure required under Rule 26(a)(2), regardless of the

form in which the draft is recorded.

(C) Trial-Preparation Protection for Communications Be-

tween a Party’s Attorney and Expert Witnesses. Rules

26(b)(3)(A) and (B) protect communications between the

party’s attorney and any witness required to provide a re-

port under Rule 26(a)(2)(B), regardless of the form of the

communications, except to the extent that the commu-

nications:

(i) relate to compensation for the expert’s study or

testimony;

(ii) identify facts or data that the party’s attorney

provided and that the expert considered in forming the

opinions to be expressed; or

(iii) identify assumptions that the party’s attorney

provided and that the expert relied on in forming the

opinions to be expressed.

(D) Expert Employed Only for Trial Preparation. Ordi-

narily, a party may not, by interrogatories or deposition,

discover facts known or opinions held by an expert who

has been retained or specially employed by another party

in anticipation of litigation or to prepare for trial and who

is not expected to be called as a witness at trial. But a

party may do so only:

(i) as provided in Rule 35(b); or

(ii) on showing exceptional circumstances under

which it is impracticable for the party to obtain facts

or opinions on the same subject by other means.

(E) Payment. Unless manifest injustice would result, the

court must require that the party seeking discovery:

(i) pay the expert a reasonable fee for time spent in

responding to discovery under Rule 26(b)(4)(A) or (D);

and

(ii) for discovery under (D), also pay the other party

a fair portion of the fees and expenses it reasonably in-

curred in obtaining the expert’s facts and opinions.

(5) Claiming Privilege or Protecting Trial-Preparation Materials.

(A) Information Withheld. When a party withholds infor-

mation otherwise discoverable by claiming that the infor-

mation is privileged or subject to protection as trial-prep-

aration material, the party must:

(i) expressly make the claim; and

(ii) describe the nature of the documents, commu-

nications, or tangible things not produced or dis-

closed—and do so in a manner that, without revealing

information itself privileged or protected, will enable

other parties to assess the claim.

(B) Information Produced. If information produced in dis-

covery is subject to a claim of privilege or of protection as

trial-preparation material, the party making the claim

may notify any party that received the information of the

claim and the basis for it. After being notified, a party

must promptly return, sequester, or destroy the specified

information and any copies it has; must not use or disclose

the information until the claim is resolved; must take rea-

sonable steps to retrieve the information if the party dis-

closed it before being notified; and may promptly present

the information to the court under seal for a determina-

tion of the claim. The producing party must preserve the

information until the claim is resolved.

(c) PROTECTIVE ORDERS.

(1) In General. A party or any person from whom discovery

is sought may move for a protective order in the court where

the action is pending—or as an alternative on matters relating

to a deposition, in the court for the district where the deposi-

tion will be taken. The motion must include a certification

that the movant has in good faith conferred or attempted to

confer with other affected parties in an effort to resolve the

dispute without court action. The court may, for good cause,

issue an order to protect a party or person from annoyance,

embarrassment, oppression, or undue burden or expense, in-

cluding one or more of the following:

(A) forbidding the disclosure or discovery;

(B) specifying terms, including time and place, for the

disclosure or discovery;

(C) prescribing a discovery method other than the one

selected by the party seeking discovery;

(D) forbidding inquiry into certain matters, or limiting

the scope of disclosure or discovery to certain matters;

(E) designating the persons who may be present while

the discovery is conducted;

(F) requiring that a deposition be sealed and opened only

on court order;

(G) requiring that a trade secret or other confidential re-

search, development, or commercial information not be re-

vealed or be revealed only in a specified way; and

(H) requiring that the parties simultaneously file speci-

fied documents or information in sealed envelopes, to be

opened as the court directs.

(2) Ordering Discovery. If a motion for a protective order is

wholly or partly denied, the court may, on just terms, order

that any party or person provide or permit discovery.

(3) Awarding Expenses. Rule 37(a)(5) applies to the award of

expenses.

(d) TIMING AND SEQUENCE OF DISCOVERY.

(1) Timing. A party may not seek discovery from any source

before the parties have conferred as required by Rule 26(f), ex-

cept in a proceeding exempted from initial disclosure under

Rule 26(a)(1)(B), or when authorized by these rules, by stipula-

tion, or by court order.

(2) Sequence. Unless, on motion, the court orders otherwise

for the parties’ and witnesses’ convenience and in the interests

of justice:

(A) methods of discovery may be used in any sequence;

and

(B) discovery by one party does not require any other

party to delay its discovery.

(e) SUPPLEMENTING DISCLOSURES AND RESPONSES.

(1) In General. A party who has made a disclosure under Rule

26(a)—or who has responded to an interrogatory, request for

production, or request for admission—must supplement or cor-

rect its disclosure or response:

(A) in a timely manner if the party learns that in some

material respect the disclosure or response is incomplete

or incorrect, and if the additional or corrective informa-

tion has not otherwise been made known to the other par-

ties during the discovery process or in writing; or

(B) as ordered by the court.

(2) Expert Witness. For an expert whose report must be dis-

closed under Rule 26(a)(2)(B), the party’s duty to supplement

extends both to information included in the report and to in-

formation given during the expert’s deposition. Any additions

or changes to this information must be disclosed by the time

the party’s pretrial disclosures under Rule 26(a)(3) are due.

(f) CONFERENCE OF THE PARTIES; PLANNING FOR DISCOVERY.

(1) Conference Timing. Except in a proceeding exempted from

initial disclosure under Rule 26(a)(1)(B) or when the court or-

ders otherwise, the parties must confer as soon as prac-

ticable—and in any event at least 21 days before a scheduling

conference is to be held or a scheduling order is due under

Rule 16(b).

(2) Conference Content; Parties’ Responsibilities. In conferring,

the parties must consider the nature and basis of their claims

and defenses and the possibilities for promptly settling or re-

solving the case; make or arrange for the disclosures required

by Rule 26(a)(1); discuss any issues about preserving discover-

able information; and develop a proposed discovery plan. The

attorneys of record and all unrepresented parties that have ap-

peared in the case are jointly responsible for arranging the

conference, for attempting in good faith to agree on the pro-

posed discovery plan, and for submitting to the court within

14 days after the conference a written report outlining the

plan. The court may order the parties or attorneys to attend

the conference in person.

(3) Discovery Plan. A discovery plan must state the parties’

views and proposals on:

(A) what changes should be made in the timing, form, or

requirement for disclosures under Rule 26(a), including a

statement of when initial disclosures were made or will be

made;

(B) the subjects on which discovery may be needed, when

discovery should be completed, and whether discovery

should be conducted in phases or be limited to or focused

on particular issues;

(C) any issues about disclosure or discovery of electroni-

cally stored information, including the form or forms in

which it should be produced;

(D) any issues about claims of privilege or of protection

as trial-preparation materials, including—if the parties

agree on a procedure to assert these claims after produc-

tion—whether to ask the court to include their agreement

in an order;

(E) what changes should be made in the limitations on

discovery imposed under these rules or by local rule, and

what other limitations should be imposed; and

(F) any other orders that the court should issue under

Rule 26(c) or under Rule 16(b) and (c).

(4) Expedited Schedule. If necessary to comply with its expe-

dited schedule for Rule 16(b) conferences, a court may by local

rule:

(A) require the parties’ conference to occur less than 21

days before the scheduling conference is held or a schedul-

ing order is due under Rule 16(b); and

(B) require the written report outlining the discovery

plan to be filed less than 14 days after the parties’ con-

ference, or excuse the parties from submitting a written

report and permit them to report orally on their discovery

plan at the Rule 16(b) conference.

(g) SIGNING DISCLOSURES AND DISCOVERY REQUESTS, RESPONSES,

AND OBJECTIONS.

(1) Signature Required; Effect of Signature. Every disclosure

under Rule 26(a)(1) or (a)(3) and every discovery request, re-

sponse, or objection must be signed by at least one attorney

of record in the attorney’s own name—or by the party person-

ally, if unrepresented—and must state the signer’s address, e-

mail address, and telephone number. By signing, an attorney

or party certifies that to the best of the person’s knowledge,

information, and belief formed after a reasonable inquiry:

(A) with respect to a disclosure, it is complete and cor-

rect as of the time it is made; and

(B) with respect to a discovery request, response, or ob-

jection, it is:

(i) consistent with these rules and warranted by ex-

isting law or by a nonfrivolous argument for extend-

ing, modifying, or reversing existing law, or for estab-

lishing new law;

(ii) not interposed for any improper purpose, such as

to harass, cause unnecessary delay, or needlessly in-

crease the cost of litigation; and

(iii) neither unreasonable nor unduly burdensome or

expensive, considering the needs of the case, prior dis-

covery in the case, the amount in controversy, and the

importance of the issues at stake in the action.

(2) Failure to Sign. Other parties have no duty to act on an

unsigned disclosure, request, response, or objection until it is

signed, and the court must strike it unless a signature is

promptly supplied after the omission is called to the attor-

ney’s or party’s attention.

(3) Sanction for Improper Certification. If a certification vio-

lates this rule without substantial justification, the court, on

motion or on its own, must impose an appropriate sanction on

the signer, the party on whose behalf the signer was acting, or

both. The sanction may include an order to pay the reasonable

expenses, including attorney’s fees, caused by the violation.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Feb. 28, 1966, eff. July 1, 1966; Mar. 30, 1970, eff. July 1, 1970;

Apr. 29, 1980, eff. Aug. 1, 1980; Apr. 28, 1983, eff. Aug. 1, 1983; Mar.

2, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 17, 2000,

eff. Dec. 1, 2000; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec.

1, 2007; Apr. 28, 2010, eff. Dec. 1, 2010.)

Rule 27. Depositions to Perpetuate Testimony

(a) BEFORE AN ACTION IS FILED.

(1) Petition. A person who wants to perpetuate testimony

about any matter cognizable in a United States court may file

a verified petition in the district court for the district where

any expected adverse party resides. The petition must ask for

an order authorizing the petitioner to depose the named per-

sons in order to perpetuate their testimony. The petition must

be titled in the petitioner’s name and must show:

(A) that the petitioner expects to be a party to an action

cognizable in a United States court but cannot presently

bring it or cause it to be brought;

(B) the subject matter of the expected action and the pe-

titioner’s interest;

(C) the facts that the petitioner wants to establish by

the proposed testimony and the reasons to perpetuate it;

(D) the names or a description of the persons whom the

petitioner expects to be adverse parties and their address-

es, so far as known; and

(E) the name, address, and expected substance of the tes-

timony of each deponent.

(2) Notice and Service. At least 21 days before the hearing

date, the petitioner must serve each expected adverse party

with a copy of the petition and a notice stating the time and

place of the hearing. The notice may be served either inside or

outside the district or state in the manner provided in Rule 4.

If that service cannot be made with reasonable diligence on an

expected adverse party, the court may order service by publi-

cation or otherwise. The court must appoint an attorney to

represent persons not served in the manner provided in Rule

4 and to cross-examine the deponent if an unserved person is

not otherwise represented. If any expected adverse party is a

minor or is incompetent, Rule 17(c) applies.

(3) Order and Examination. If satisfied that perpetuating the

testimony may prevent a failure or delay of justice, the court

must issue an order that designates or describes the persons

whose depositions may be taken, specifies the subject matter

of the examinations, and states whether the depositions will

be taken orally or by written interrogatories. The depositions

may then be taken under these rules, and the court may issue

orders like those authorized by Rules 34 and 35. A reference in

these rules to the court where an action is pending means, for

purposes of this rule, the court where the petition for the dep-

osition was filed.

(4) Using the Deposition. A deposition to perpetuate testi-

mony may be used under Rule 32(a) in any later-filed district-

court action involving the same subject matter if the deposi-

tion either was taken under these rules or, although not so

taken, would be admissible in evidence in the courts of the

state where it was taken.

(b) PENDING APPEAL.

(1) In General. The court where a judgment has been rendered

may, if an appeal has been taken or may still be taken, permit

a party to depose witnesses to perpetuate their testimony for

use in the event of further proceedings in that court.

(2) Motion. The party who wants to perpetuate testimony

may move for leave to take the depositions, on the same no-

tice and service as if the action were pending in the district

court. The motion must show:

(A) the name, address, and expected substance of the tes-

timony of each deponent; and

(B) the reasons for perpetuating the testimony.

(3) Court Order. If the court finds that perpetuating the testi-

mony may prevent a failure or delay of justice, the court may

permit the depositions to be taken and may issue orders like

those authorized by Rules 34 and 35. The depositions may be

taken and used as any other deposition taken in a pending dis-

trict-court action.

(c) PERPETUATION BY AN ACTION. This rule does not limit a

court’s power to entertain an action to perpetuate testimony.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct.

20, 1949; Mar. 1, 1971, eff. July 1, 1971; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 30, 2007, eff. Dec. 1, 2007; Mar.

26, 2009, eff. Dec. 1, 2009.)

Rule 28. Persons Before Whom Depositions May Be Taken

(a) WITHIN THE UNITED STATES.

(1) In General. Within the United States or a territory or in-

sular possession subject to United States jurisdiction, a depo-

sition must be taken before:

(A) an officer authorized to administer oaths either by

federal law or by the law in the place of examination; or

(B) a person appointed by the court where the action is

pending to administer oaths and take testimony.

(2) Definition of ‘‘Officer.’’ The term ‘‘officer’’ in Rules 30, 31,

and 32 includes a person appointed by the court under this rule

or designated by the parties under Rule 29(a).

(b) IN A FOREIGN COUNTRY.

(1) In General. A deposition may be taken in a foreign coun-

try:

(A) under an applicable treaty or convention;

(B) under a letter of request, whether or not captioned a

‘‘letter rogatory’’;

(C) on notice, before a person authorized to administer

oaths either by federal law or by the law in the place of ex-

amination; or

(D) before a person commissioned by the court to admin-

ister any necessary oath and take testimony.

(2) Issuing a Letter of Request or a Commission. A letter of re-

quest, a commission, or both may be issued:

(A) on appropriate terms after an application and notice

of it; and

(B) without a showing that taking the deposition in an-

other manner is impracticable or inconvenient.

(3) Form of a Request, Notice, or Commission. When a letter of

request or any other device is used according to a treaty or

convention, it must be captioned in the form prescribed by

that treaty or convention. A letter of request may be ad-

dressed ‘‘To the Appropriate Authority in [name of country].’’

A deposition notice or a commission must designate by name

or descriptive title the person before whom the deposition is

to be taken.

(4) Letter of Request—Admitting Evidence. Evidence obtained

in response to a letter of request need not be excluded merely

because it is not a verbatim transcript, because the testimony

was not taken under oath, or because of any similar departure

from the requirements for depositions taken within the United

States.

(c) DISQUALIFICATION. A deposition must not be taken before a

person who is any party’s relative, employee, or attorney; who is

related to or employed by any party’s attorney; or who is finan-

cially interested in the action.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July

1, 1963; Apr. 29, 1980, eff. Aug. 1, 1980; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 1, 2007, eff. Dec. 1, 2007.)

Rule 29. Stipulations About Discovery Procedure

Unless the court orders otherwise, the parties may stipulate

that:

(a) a deposition may be taken before any person, at any time or

place, on any notice, and in the manner specified—in which event

it may be used in the same way as any other deposition; and

(b) other procedures governing or limiting discovery be modi-

fied—but a stipulation extending the time for any form of discov-

ery must have court approval if it would interfere with the time

set for completing discovery, for hearing a motion, or for trial.

(As amended Mar. 30, 1970, eff. July 1, 1970; Apr. 22, 1993, eff. Dec.

1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 30. Depositions by Oral Examination

(a) WHEN A DEPOSITION MAY BE TAKEN.

(1) Without Leave. A party may, by oral questions, depose

any person, including a party, without leave of court except as

provided in Rule 30(a)(2). The deponent’s attendance may be

compelled by subpoena under Rule 45.

(2) With Leave. A party must obtain leave of court, and the

court must grant leave to the extent consistent with Rule

26(b)(2):

(A) if the parties have not stipulated to the deposition

and:

(i) the deposition would result in more than 10 depo-

sitions being taken under this rule or Rule 31 by the

plaintiffs, or by the defendants, or by the third-party

defendants;

(ii) the deponent has already been deposed in the

case; or

(iii) the party seeks to take the deposition before the

time specified in Rule 26(d), unless the party certifies

in the notice, with supporting facts, that the deponent

is expected to leave the United States and be unavail-

able for examination in this country after that time;

or

(B) if the deponent is confined in prison.

(b) NOTICE OF THE DEPOSITION; OTHER FORMAL REQUIREMENTS.

(1) Notice in General. A party who wants to depose a person

by oral questions must give reasonable written notice to every

other party. The notice must state the time and place of the

deposition and, if known, the deponent’s name and address. If

the name is unknown, the notice must provide a general de-

scription sufficient to identify the person or the particular

class or group to which the person belongs.

(2) Producing Documents. If a subpoena duces tecum is to be

served on the deponent, the materials designated for produc-

tion, as set out in the subpoena, must be listed in the notice

or in an attachment. The notice to a party deponent may be

accompanied by a request under Rule 34 to produce documents

and tangible things at the deposition.

(3) Method of Recording.

(A) Method Stated in the Notice. The party who notices the

deposition must state in the notice the method for record-

ing the testimony. Unless the court orders otherwise, tes-

timony may be recorded by audio, audiovisual, or steno-

graphic means. The noticing party bears the recording

costs. Any party may arrange to transcribe a deposition.

(B) Additional Method. With prior notice to the deponent

and other parties, any party may designate another meth-

od for recording the testimony in addition to that speci-

fied in the original notice. That party bears the expense of

the additional record or transcript unless the court orders

otherwise.

(4) By Remote Means. The parties may stipulate—or the court

may on motion order—that a deposition be taken by telephone

or other remote means. For the purpose of this rule and Rules

28(a), 37(a)(2), and 37(b)(1), the deposition takes place where

the deponent answers the questions.

(5) Officer’s Duties.

(A) Before the Deposition. Unless the parties stipulate

otherwise, a deposition must be conducted before an offi-

cer appointed or designated under Rule 28. The officer

must begin the deposition with an on-the-record statement

that includes:

(i) the officer’s name and business address;

(ii) the date, time, and place of the deposition;

(iii) the deponent’s name;

(iv) the officer’s administration of the oath or affir-

mation to the deponent; and

(v) the identity of all persons present.

(B) Conducting the Deposition; Avoiding Distortion. If the

deposition is recorded nonstenographically, the officer

must repeat the items in Rule 30(b)(5)(A)(i)–(iii) at the be-

ginning of each unit of the recording medium. The depo-

nent’s and attorneys’ appearance or demeanor must not be

distorted through recording techniques.

(C) After the Deposition. At the end of a deposition, the of-

ficer must state on the record that the deposition is com-

plete and must set out any stipulations made by the attor-

neys about custody of the transcript or recording and of

the exhibits, or about any other pertinent matters.

(6) Notice or Subpoena Directed to an Organization. In its no-

tice or subpoena, a party may name as the deponent a public

or private corporation, a partnership, an association, a gov-

ernmental agency, or other entity and must describe with rea-

sonable particularity the matters for examination. The named

organization must then designate one or more officers, direc-

tors, or managing agents, or designate other persons who con-

sent to testify on its behalf; and it may set out the matters

on which each person designated will testify. A subpoena must

advise a nonparty organization of its duty to make this des-

ignation. The persons designated must testify about informa-

tion known or reasonably available to the organization. This

paragraph (6) does not preclude a deposition by any other pro-

cedure allowed by these rules.

(c) EXAMINATION AND CROSS-EXAMINATION; RECORD OF THE EXAM-

INATION; OBJECTIONS; WRITTEN QUESTIONS.

(1) Examination and Cross-Examination. The examination and

cross-examination of a deponent proceed as they would at trial

under the Federal Rules of Evidence, except Rules 103 and 615.

After putting the deponent under oath or affirmation, the offi-

cer must record the testimony by the method designated

under Rule 30(b)(3)(A). The testimony must be recorded by the

officer personally or by a person acting in the presence and

under the direction of the officer.

(2) Objections. An objection at the time of the examination—

whether to evidence, to a party’s conduct, to the officer’s

qualifications, to the manner of taking the deposition, or to

any other aspect of the deposition—must be noted on the

record, but the examination still proceeds; the testimony is

taken subject to any objection. An objection must be stated

concisely in a nonargumentative and nonsuggestive manner. A

person may instruct a deponent not to answer only when nec-

essary to preserve a privilege, to enforce a limitation ordered

by the court, or to present a motion under Rule 30(d)(3).

(3) Participating Through Written Questions. Instead of partici-

pating in the oral examination, a party may serve written

questions in a sealed envelope on the party noticing the depo-

sition, who must deliver them to the officer. The officer must

ask the deponent those questions and record the answers ver-

batim.

(d) DURATION; SANCTION; MOTION TO TERMINATE OR LIMIT.

(1) Duration. Unless otherwise stipulated or ordered by the

court, a deposition is limited to 1 day of 7 hours. The court

must allow additional time consistent with Rule 26(b)(2) if

needed to fairly examine the deponent or if the deponent, an-

other person, or any other circumstance impedes or delays the

examination.

(2) Sanction. The court may impose an appropriate sanc-

tion—including the reasonable expenses and attorney’s fees in-

curred by any party—on a person who impedes, delays, or frus-

trates the fair examination of the deponent.

(3) Motion to Terminate or Limit.

(A) Grounds. At any time during a deposition, the depo-

nent or a party may move to terminate or limit it on the

ground that it is being conducted in bad faith or in a man-

ner that unreasonably annoys, embarrasses, or oppresses

the deponent or party. The motion may be filed in the

court where the action is pending or the deposition is

being taken. If the objecting deponent or party so de-

mands, the deposition must be suspended for the time nec-

essary to obtain an order.

(B) Order. The court may order that the deposition be

terminated or may limit its scope and manner as provided

in Rule 26(c). If terminated, the deposition may be re-

sumed only by order of the court where the action is pend-

ing.

(C) Award of Expenses. Rule 37(a)(5) applies to the award

of expenses.

(e) REVIEW BY THE WITNESS; CHANGES.

(1) Review; Statement of Changes. On request by the deponent

or a party before the deposition is completed, the deponent

must be allowed 30 days after being notified by the officer that

the transcript or recording is available in which:

(A) to review the transcript or recording; and

(B) if there are changes in form or substance, to sign a

statement listing the changes and the reasons for making

them.

(2) Changes Indicated in the Officer’s Certificate. The officer

must note in the certificate prescribed by Rule 30(f)(1) whether

a review was requested and, if so, must attach any changes the

deponent makes during the 30-day period.

(f) CERTIFICATION AND DELIVERY; EXHIBITS; COPIES OF THE TRAN-

SCRIPT OR RECORDING; FILING.

(1) Certification and Delivery. The officer must certify in writ-

ing that the witness was duly sworn and that the deposition

accurately records the witness’s testimony. The certificate

must accompany the record of the deposition. Unless the court

orders otherwise, the officer must seal the deposition in an en-

velope or package bearing the title of the action and marked

‘‘Deposition of [witness’s name]’’ and must promptly send it to

the attorney who arranged for the transcript or recording. The

attorney must store it under conditions that will protect it

against loss, destruction, tampering, or deterioration.

(2) Documents and Tangible Things.

(A) Originals and Copies. Documents and tangible things

produced for inspection during a deposition must, on a par-

ty’s request, be marked for identification and attached to

the deposition. Any party may inspect and copy them. But

if the person who produced them wants to keep the origi-

nals, the person may:

(i) offer copies to be marked, attached to the deposi-

tion, and then used as originals—after giving all par-

ties a fair opportunity to verify the copies by compar-

ing them with the originals; or

(ii) give all parties a fair opportunity to inspect and

copy the originals after they are marked—in which

event the originals may be used as if attached to the

deposition.

(B) Order Regarding the Originals. Any party may move

for an order that the originals be attached to the deposi-

tion pending final disposition of the case.

(3) Copies of the Transcript or Recording. Unless otherwise

stipulated or ordered by the court, the officer must retain the

stenographic notes of a deposition taken stenographically or a

copy of the recording of a deposition taken by another meth-

od. When paid reasonable charges, the officer must furnish a

copy of the transcript or recording to any party or the depo-

nent.

(4) Notice of Filing. A party who files the deposition must

promptly notify all other parties of the filing.

(g) FAILURE TO ATTEND A DEPOSITION OR SERVE A SUBPOENA; EX-

PENSES. A party who, expecting a deposition to be taken, attends

in person or by an attorney may recover reasonable expenses for

attending, including attorney’s fees, if the noticing party failed

to:

(1) attend and proceed with the deposition; or

(2) serve a subpoena on a nonparty deponent, who con-

sequently did not attend.

(As amended Jan. 21, 1963, eff. July 1, 1963; Mar. 30, 1970, eff. July

1, 1970; Mar. 1, 1971, eff. July 1, 1971; Nov. 20, 1972, eff. July 1, 1975;

Apr. 29, 1980, eff. Aug. 1, 1980; Mar. 2, 1987, eff. Aug. 1, 1987; Apr.

22, 1993, eff. Dec. 1, 1993; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 30, 2007,

eff. Dec. 1, 2007.)

Rule 31. Depositions by Written Questions

(a) WHEN A DEPOSITION MAY BE TAKEN.

(1) Without Leave. A party may, by written questions, depose

any person, including a party, without leave of court except as

provided in Rule 31(a)(2). The deponent’s attendance may be

compelled by subpoena under Rule 45.

(2) With Leave. A party must obtain leave of court, and the

court must grant leave to the extent consistent with Rule

26(b)(2):

(A) if the parties have not stipulated to the deposition

and:

(i) the deposition would result in more than 10 depo-

sitions being taken under this rule or Rule 30 by the

plaintiffs, or by the defendants, or by the third-party

defendants;

(ii) the deponent has already been deposed in the

case; or

(iii) the party seeks to take a deposition before the

time specified in Rule 26(d); or

(B) if the deponent is confined in prison.

(3) Service; Required Notice. A party who wants to depose a

person by written questions must serve them on every other

party, with a notice stating, if known, the deponent’s name

and address. If the name is unknown, the notice must provide

a general description sufficient to identify the person or the

particular class or group to which the person belongs. The no-

tice must also state the name or descriptive title and the ad-

dress of the officer before whom the deposition will be taken.

(4) Questions Directed to an Organization. A public or private

corporation, a partnership, an association, or a governmental

agency may be deposed by written questions in accordance

with Rule 30(b)(6).

(5) Questions from Other Parties. Any questions to the depo-

nent from other parties must be served on all parties as fol-

lows: cross-questions, within 14 days after being served with

the notice and direct questions; redirect questions, within 7

days after being served with cross-questions; and recross-ques-

tions, within 7 days after being served with redirect questions.

The court may, for good cause, extend or shorten these times.

(b) DELIVERY TO THE OFFICER; OFFICER’S DUTIES. The party who

noticed the deposition must deliver to the officer a copy of all the

questions served and of the notice. The officer must promptly pro-

ceed in the manner provided in Rule 30(c), (e), and (f) to:

(1) take the deponent’s testimony in response to the ques-

tions;

(2) prepare and certify the deposition; and

(3) send it to the party, attaching a copy of the questions

and of the notice.

(c) NOTICE OF COMPLETION OR FILING.

(1) Completion. The party who noticed the deposition must

notify all other parties when it is completed.

(2) Filing. A party who files the deposition must promptly

notify all other parties of the filing.

(As amended Mar. 30, 1970, eff. July 1, 1970; Mar. 2, 1987, eff. Aug.

1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 32. Using Depositions in Court Proceedings

(a) USING DEPOSITIONS.

(1) In General. At a hearing or trial, all or part of a deposi-

tion may be used against a party on these conditions:

(A) the party was present or represented at the taking of

the deposition or had reasonable notice of it;

(B) it is used to the extent it would be admissible under

the Federal Rules of Evidence if the deponent were present

and testifying; and

(C) the use is allowed by Rule 32(a)(2) through (8).

(2) Impeachment and Other Uses. Any party may use a deposi-

tion to contradict or impeach the testimony given by the de-

ponent as a witness, or for any other purpose allowed by the

Federal Rules of Evidence.

(3) Deposition of Party, Agent, or Designee. An adverse party

may use for any purpose the deposition of a party or anyone

who, when deposed, was the party’s officer, director, managing

agent, or designee under Rule 30(b)(6) or 31(a)(4).

(4) Unavailable Witness. A party may use for any purpose the

deposition of a witness, whether or not a party, if the court

finds:

(A) that the witness is dead;

(B) that the witness is more than 100 miles from the

place of hearing or trial or is outside the United States,

unless it appears that the witness’s absence was procured

by the party offering the deposition;

(C) that the witness cannot attend or testify because of

age, illness, infirmity, or imprisonment;

(D) that the party offering the deposition could not pro-

cure the witness’s attendance by subpoena; or

(E) on motion and notice, that exceptional circum-

stances make it desirable—in the interest of justice and

with due regard to the importance of live testimony in

open court—to permit the deposition to be used.

(5) Limitations on Use.

(A) Deposition Taken on Short Notice. A deposition must

not be used against a party who, having received less than

14 days’ notice of the deposition, promptly moved for a

protective order under Rule 26(c)(1)(B) requesting that it

not be taken or be taken at a different time or place—and

this motion was still pending when the deposition was

taken.

(B) Unavailable Deponent; Party Could Not Obtain an At-

torney. A deposition taken without leave of court under

the unavailability provision of Rule 30(a)(2)(A)(iii) must

not be used against a party who shows that, when served

with the notice, it could not, despite diligent efforts, ob-

tain an attorney to represent it at the deposition.

(6) Using Part of a Deposition. If a party offers in evidence

only part of a deposition, an adverse party may require the of-

feror to introduce other parts that in fairness should be con-

sidered with the part introduced, and any party may itself in-

troduce any other parts.

(7) Substituting a Party. Substituting a party under Rule 25

does not affect the right to use a deposition previously taken.

(8) Deposition Taken in an Earlier Action. A deposition law-

fully taken and, if required, filed in any federal- or state-court

action may be used in a later action involving the same sub-

ject matter between the same parties, or their representatives

or successors in interest, to the same extent as if taken in the

later action. A deposition previously taken may also be used

as allowed by the Federal Rules of Evidence.

(b) OBJECTIONS TO ADMISSIBILITY. Subject to Rules 28(b) and

32(d)(3), an objection may be made at a hearing or trial to the ad-

mission of any deposition testimony that would be inadmissible if

the witness were present and testifying.

(c) FORM OF PRESENTATION. Unless the court orders otherwise, a

party must provide a transcript of any deposition testimony the

party offers, but may provide the court with the testimony in non-

transcript form as well. On any party’s request, deposition testi-

mony offered in a jury trial for any purpose other than impeach-

ment must be presented in nontranscript form, if available, unless

the court for good cause orders otherwise.

(d) WAIVER OF OBJECTIONS.

(1) To the Notice. An objection to an error or irregularity in

a deposition notice is waived unless promptly served in writ-

ing on the party giving the notice.

(2) To the Officer’s Qualification. An objection based on dis-

qualification of the officer before whom a deposition is to be

taken is waived if not made:

(A) before the deposition begins; or

(B) promptly after the basis for disqualification becomes

known or, with reasonable diligence, could have been

known.

(3) To the Taking of the Deposition.

(A) Objection to Competence, Relevance, or Materiality. An

objection to a deponent’s competence—or to the com-

petence, relevance, or materiality of testimony—is not

waived by a failure to make the objection before or during

the deposition, unless the ground for it might have been

corrected at that time.

(B) Objection to an Error or Irregularity. An objection to

an error or irregularity at an oral examination is waived

if:

(i) it relates to the manner of taking the deposition,

the form of a question or answer, the oath or affirma-

tion, a party’s conduct, or other matters that might

have been corrected at that time; and

(ii) it is not timely made during the deposition.

(C) Objection to a Written Question. An objection to the

form of a written question under Rule 31 is waived if not

served in writing on the party submitting the question

within the time for serving responsive questions or, if the

question is a recross-question, within 7 days after being

served with it.

(4) To Completing and Returning the Deposition. An objection

to how the officer transcribed the testimony—or prepared,

signed, certified, sealed, endorsed, sent, or otherwise dealt

with the deposition—is waived unless a motion to suppress is

made promptly after the error or irregularity becomes known

or, with reasonable diligence, could have been known.

(As amended Mar. 30, 1970, eff. July 1, 1970; Nov. 20, 1972, eff. July

1, 1975; Apr. 29, 1980, eff. Aug. 1, 1980; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 30, 2007, eff. Dec. 1, 2007; Mar.

26, 2009, eff. Dec. 1, 2009.)

Rule 33. Interrogatories to Parties

(a) IN GENERAL.

(1) Number. Unless otherwise stipulated or ordered by the

court, a party may serve on any other party no more than 25

written interrogatories, including all discrete subparts. Leave

to serve additional interrogatories may be granted to the ex-

tent consistent with Rule 26(b)(2).

(2) Scope. An interrogatory may relate to any matter that

may be inquired into under Rule 26(b). An interrogatory is not

objectionable merely because it asks for an opinion or conten-

tion that relates to fact or the application of law to fact, but

the court may order that the interrogatory need not be an-

swered until designated discovery is complete, or until a pre-

trial conference or some other time.

(b) ANSWERS AND OBJECTIONS.

(1) Responding Party. The interrogatories must be answered:

(A) by the party to whom they are directed; or

(B) if that party is a public or private corporation, a

partnership, an association, or a governmental agency, by

any officer or agent, who must furnish the information

available to the party.

(2) Time to Respond. The responding party must serve its an-

swers and any objections within 30 days after being served

with the interrogatories. A shorter or longer time may be stip-

ulated to under Rule 29 or be ordered by the court.

(3) Answering Each Interrogatory. Each interrogatory must,

to the extent it is not objected to, be answered separately and

fully in writing under oath.

(4) Objections. The grounds for objecting to an interrogatory

must be stated with specificity. Any ground not stated in a

timely objection is waived unless the court, for good cause, ex-

cuses the failure.

(5) Signature. The person who makes the answers must sign

them, and the attorney who objects must sign any objections.

(c) USE. An answer to an interrogatory may be used to the ex-

tent allowed by the Federal Rules of Evidence.

(d) OPTION TO PRODUCE BUSINESS RECORDS. If the answer to an

interrogatory may be determined by examining, auditing, compil-

ing, abstracting, or summarizing a party’s business records (in-

cluding electronically stored information), and if the burden of de-

riving or ascertaining the answer will be substantially the same

for either party, the responding party may answer by:

(1) specifying the records that must be reviewed, in suffi-

cient detail to enable the interrogating party to locate and

identify them as readily as the responding party could; and

(2) giving the interrogating party a reasonable opportunity

to examine and audit the records and to make copies, compila-

tions, abstracts, or summaries.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Mar. 30, 1970, eff. July

1, 1970; Apr. 29, 1980, eff. Aug. 1, 1980; Apr. 22, 1993, eff. Dec. 1, 1993;

Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 34. Producing Documents, Electronically Stored Information,

and Tangible Things, or Entering onto Land, for Inspection

and Other Purposes

(a) IN GENERAL. A party may serve on any other party a request

within the scope of Rule 26(b):

(1) to produce and permit the requesting party or its rep-

resentative to inspect, copy, test, or sample the following

items in the responding party’s possession, custody, or con-

trol:

(A) any designated documents or electronically stored

information—including writings, drawings, graphs, charts,

photographs, sound recordings, images, and other data or

data compilations—stored in any medium from which in-

formation can be obtained either directly or, if necessary,

after translation by the responding party into a reason-

ably usable form; or

(B) any designated tangible things; or

(2) to permit entry onto designated land or other property

possessed or controlled by the responding party, so that the

requesting party may inspect, measure, survey, photograph,

test, or sample the property or any designated object or oper-

ation on it.

(b) PROCEDURE.

(1) Contents of the Request. The request:

(A) must describe with reasonable particularity each

item or category of items to be inspected;

(B) must specify a reasonable time, place, and manner

for the inspection and for performing the related acts; and

(C) may specify the form or forms in which electroni-

cally stored information is to be produced.

(2) Responses and Objections.

(A) Time to Respond. The party to whom the request is di-

rected must respond in writing within 30 days after being

served. A shorter or longer time may be stipulated to

under Rule 29 or be ordered by the court.

(B) Responding to Each Item. For each item or category,

the response must either state that inspection and related

activities will be permitted as requested or state an objec-

tion to the request, including the reasons.

(C) Objections. An objection to part of a request must

specify the part and permit inspection of the rest.

(D) Responding to a Request for Production of Electronically

Stored Information. The response may state an objection to

a requested form for producing electronically stored infor-

mation. If the responding party objects to a requested

form—or if no form was specified in the request—the party

must state the form or forms it intends to use.

(E) Producing the Documents or Electronically Stored Infor-

mation. Unless otherwise stipulated or ordered by the

court, these procedures apply to producing documents or

electronically stored information:

(i) A party must produce documents as they are kept

in the usual course of business or must organize and

label them to correspond to the categories in the re-

quest;

(ii) If a request does not specify a form for producing

electronically stored information, a party must

produce it in a form or forms in which it is ordinarily

maintained or in a reasonably usable form or forms;

and

(iii) A party need not produce the same electroni-

cally stored information in more than one form.

(c) NONPARTIES. As provided in Rule 45, a nonparty may be com-

pelled to produce documents and tangible things or to permit an

inspection.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Mar. 30, 1970, eff. July

1, 1970; Apr. 29, 1980, eff. Aug. 1, 1980; Mar. 2, 1987, eff. Aug. 1, 1987;

Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993; Apr.

12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 35. Physical and Mental Examinations

(a) ORDER FOR AN EXAMINATION.

(1) In General. The court where the action is pending may

order a party whose mental or physical condition—including

blood group—is in controversy to submit to a physical or men-

tal examination by a suitably licensed or certified examiner.

The court has the same authority to order a party to produce

for examination a person who is in its custody or under its

legal control.

(2) Motion and Notice; Contents of the Order. The order:

(A) may be made only on motion for good cause and on

notice to all parties and the person to be examined; and

(B) must specify the time, place, manner, conditions, and

scope of the examination, as well as the person or persons

who will perform it.

(b) EXAMINER’S REPORT.

(1) Request by the Party or Person Examined. The party who

moved for the examination must, on request, deliver to the re-

quester a copy of the examiner’s report, together with like re-

ports of all earlier examinations of the same condition. The

request may be made by the party against whom the examina-

tion order was issued or by the person examined.

(2) Contents. The examiner’s report must be in writing and

must set out in detail the examiner’s findings, including diag-

noses, conclusions, and the results of any tests.

(3) Request by the Moving Party. After delivering the reports,

the party who moved for the examination may request—and is

entitled to receive—from the party against whom the exam-

ination order was issued like reports of all earlier or later ex-

aminations of the same condition. But those reports need not

be delivered by the party with custody or control of the person

examined if the party shows that it could not obtain them.

(4) Waiver of Privilege. By requesting and obtaining the exam-

iner’s report, or by deposing the examiner, the party examined

waives any privilege it may have—in that action or any other

action involving the same controversy—concerning testimony

about all examinations of the same condition.

(5) Failure to Deliver a Report. The court on motion may

order—on just terms—that a party deliver the report of an ex-

amination. If the report is not provided, the court may ex-

clude the examiner’s testimony at trial.

(6) Scope. This subdivision (b) applies also to an examination

made by the parties’ agreement, unless the agreement states

otherwise. This subdivision does not preclude obtaining an ex-

aminer’s report or deposing an examiner under other rules.

(As amended Mar. 30, 1970, eff. July 1, 1970; Mar. 2, 1987, eff. Aug.

1, 1987; Pub. L. 100–690, title VII, § 7047(b), Nov. 18, 1988, 102 Stat.

4401; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 36. Requests for Admission

(a) SCOPE AND PROCEDURE.

(1) Scope. A party may serve on any other party a written re-

quest to admit, for purposes of the pending action only, the

truth of any matters within the scope of Rule 26(b)(1) relating

to:

(A) facts, the application of law to fact, or opinions

about either; and

(B) the genuineness of any described documents.

(2) Form; Copy of a Document. Each matter must be sepa-

rately stated. A request to admit the genuineness of a docu-

ment must be accompanied by a copy of the document unless

it is, or has been, otherwise furnished or made available for in-

spection and copying.

(3) Time to Respond; Effect of Not Responding. A matter is ad-

mitted unless, within 30 days after being served, the party to

whom the request is directed serves on the requesting party a

written answer or objection addressed to the matter and

signed by the party or its attorney. A shorter or longer time

for responding may be stipulated to under Rule 29 or be or-

dered by the court.

(4) Answer. If a matter is not admitted, the answer must spe-

cifically deny it or state in detail why the answering party

cannot truthfully admit or deny it. A denial must fairly re-

spond to the substance of the matter; and when good faith re-

quires that a party qualify an answer or deny only a part of

a matter, the answer must specify the part admitted and qual-

ify or deny the rest. The answering party may assert lack of

knowledge or information as a reason for failing to admit or

deny only if the party states that it has made reasonable in-

quiry and that the information it knows or can readily obtain

is insufficient to enable it to admit or deny.

(5) Objections. The grounds for objecting to a request must be

stated. A party must not object solely on the ground that the

request presents a genuine issue for trial.

(6) Motion Regarding the Sufficiency of an Answer or Objection.

The requesting party may move to determine the sufficiency

of an answer or objection. Unless the court finds an objection

justified, it must order that an answer be served. On finding

that an answer does not comply with this rule, the court may

order either that the matter is admitted or that an amended

answer be served. The court may defer its final decision until

a pretrial conference or a specified time before trial. Rule

37(a)(5) applies to an award of expenses.

(b) EFFECT OF AN ADMISSION; WITHDRAWING OR AMENDING IT. A

matter admitted under this rule is conclusively established unless

the court, on motion, permits the admission to be withdrawn or

amended. Subject to Rule 16(e), the court may permit withdrawal

or amendment if it would promote the presentation of the merits

of the action and if the court is not persuaded that it would preju-

dice the requesting party in maintaining or defending the action

on the merits. An admission under this rule is not an admission

for any other purpose and cannot be used against the party in any

other proceeding.

(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Mar. 30, 1970, eff. July

1, 1970; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993;

Apr. 30, 2007, eff. Dec. 1, 2007.)

Rule 37. Failure to Make Disclosures or to Cooperate in Discovery;

Sanctions

(a) MOTION FOR AN ORDER COMPELLING DISCLOSURE OR DISCOVERY.

(1) In General. On notice to other parties and all affected per-

sons, a party may move for an order compelling disclosure or

discovery. The motion must include a certification that the

movant has in good faith conferred or attempted to confer

with the person or party failing to make disclosure or discov-

ery in an effort to obtain it without court action.

(2) Appropriate Court. A motion for an order to a party must

be made in the court where the action is pending. A motion for

an order to a nonparty must be made in the court where the

discovery is or will be taken.

(3) Specific Motions.

(A) To Compel Disclosure. If a party fails to make a disclo-

sure required by Rule 26(a), any other party may move to

compel disclosure and for appropriate sanctions.

(B) To Compel a Discovery Response. A party seeking dis-

covery may move for an order compelling an answer, des-

ignation, production, or inspection. This motion may be

made if:

(i) a deponent fails to answer a question asked under

Rule 30 or 31;

(ii) a corporation or other entity fails to make a des-

ignation under Rule 30(b)(6) or 31(a)(4);

(iii) a party fails to answer an interrogatory submit-

ted under Rule 33; or

(iv) a party fails to respond that inspection will be

permitted—or fails to permit inspection—as requested

under Rule 34.

(C) Related to a Deposition. When taking an oral deposi-

tion, the party asking a question may complete or adjourn

the examination before moving for an order.

(4) Evasive or Incomplete Disclosure, Answer, or Response. For

purposes of this subdivision (a), an evasive or incomplete dis-

closure, answer, or response must be treated as a failure to

disclose, answer, or respond.

(5) Payment of Expenses; Protective Orders.

(A) If the Motion Is Granted (or Disclosure or Discovery Is

Provided After Filing). If the motion is granted—or if the

disclosure or requested discovery is provided after the mo-

tion was filed—the court must, after giving an opportunity

to be heard, require the party or deponent whose conduct

necessitated the motion, the party or attorney advising

that conduct, or both to pay the movant’s reasonable ex-

penses incurred in making the motion, including attor-

ney’s fees. But the court must not order this payment if:

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