[House Prints 109-2]
[From the U.S. Government Publishing Office]



109th Congress
                             COMMITTEE PRINT               No. 2   
1st Session

__________________________________________________________________
 
                              FEDERAL RULES

                                   OF

                             CIVIL PROCEDURE

                                 ____

                               WITH FORMS

                                  ____


                            DECEMBER 1, 2005

[GRAPHIC] [TIFF OMITTED] TONGRESS.15



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                                   of

                     THE COMMITTEE ON THE JUDICIARY

                        HOUSE OF REPRESENTATIVES



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                       COMMITTEE ON THE JUDICIARY

                       One Hundred Ninth Congress

            F. JAMES SENSENBRENNER, Jr., Wisconsin, Chairman




HENRY J. HYDE, Illinois                     JOHN CONYERS, Jr., Michigan
HOWARD COBLE, North Carolina                HOWARD L. BERMAN, California
LAMAR SMITH, Texas                          RICK BOUCHER, Virginia
ELTON GALLEGLY, California                  JERROLD NADLER, New York
BOB GOODLATTE, Virginia                     ROBERT C. SCOTT, Virginia
STEVE CHABOT, Ohio                          MELVIN L. WATT, North
DANIEL E. LUNGREN, California                Carolina
WILLIAM L. JENKINS, Tennessee               ZOE LOFGREN, California
CHRIS CANNON, Utah                          SHEILA JACKSON LEE, Texas
SPENCER BACHUS, Alabama                     MAXINE WATERS, California
BOB INGLIS, South Carolina                  MARTIN T. MEEHAN,
JOHN N. HOSTETTLER, Indiana                  Massachusetts
MARK GREEN, Wisconsin                       WILLIAM D. DELAHUNT,
RIC KELLER, Florida                          Massachusetts
DARRELL ISSA, California                    ROBERT WEXLER, Florida
JEFF FLAKE, Arizona                         ANTHONY D. WEINER, New York
MIKE PENCE, Indiana                         ADAM B. SCHIFF, California
J. RANDY FORBES, Virginia                   LINDA T. SANCHEZ, California
STEVE KING, Iowa                            CHRIS VAN HOLLEN, Maryland
TOM FEENEY, Florida                         DEBBIE WASSERMAN SCHULTZ,
TRENT FRANKS, Arizona                        Florida
LOUIE GOHMERT, Texas



            Philip G. Kiko, General Counsel -- Chief of Staff

                Perry H. Apelbaum, Minority Chief Counsel

                                  (ii)






                                FOREWORD

    This document contains the Federal Rules of Civil Procedure together 
with forms, as amended to December 1, 2005. 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 containing 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 Advisory 
Committee on the Federal Rules of Civil Procedure, Judicial Conference 
of the United States, prepared notes explaining the purpose and intent 
of the amendments to the rules. The Committee Notes may be found in the 
Appendix to Title 28, United States Code, following the particular rule 
to which they relate.


                                   Chairman, Committee on the Judiciary.
    December 1, 2005.

                                  (iii)
                   AUTHORITY FOR PROMULGATION OF RULES

                   AUTHORITY FOR PROMULGATION OF RULES

                      TITLE 28, UNITED STATES CODE

Sec. 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 magistrates 
thereof) and courts of appeals.
    (b) Such rules shall not abridge, enlarge or modify any substantive 
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, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4648, eff. Dec. 1, 1988; amended Pub. L. 101-650, title III, Sec. 315, 
Dec. 1, 1990, 104 Stat. 5115.)
Sec. 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 section.
    (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 professional 
bar, and trial and appellate judges.
    (b) The Judicial Conference shall authorize the appointment of a 
standing committee on rules of practice, procedure, and evidence under 
subsection (a) of this section. Such standing committee 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 proposed by a committee appointed under 
subsection (a)(2) of this section as may be necessary to maintain 
consistency and otherwise 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 meeting on that day shall be 
closed to the public, and states the reason for so closing the meeting. 
Minutes of each meeting for the transaction of business under this 
chapter shall be maintained by the committee and made available to the 
public, except that any portion of such minutes, relating to a closed 
meeting and made available to the public, may contain such deletions as 
may be necessary to avoid frustrating the purposes of closing the 
meeting.
    (2) Any meeting for the transaction of business under this chapter, 
by a committee appointed under this section, shall be preceded by 
sufficient notice to enable all interested persons to attend.
    (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 minority 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, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4649, eff. Dec. 1, 1988; amended Pub. L. 103-394, title I, Sec. 104(e), 
Oct. 22, 1994, 108 Stat. 4110.)
Sec. 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 proceedings 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 evidentiary 
privilege shall have no force or effect unless approved by Act of 
Congress.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat. 
4649, eff. Dec. 1, 1988.)
                             HISTORICAL NOTE

                             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 December 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, Sec. 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., Sec. 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 repealed and supplanted by new 
sections 2072 and 2074, see first paragraph 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 Congress by 
the Attorney General on January 3, 1938, and became effective 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 January 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 General 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. 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, transmitted 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 amendments 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 Justice (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 Justice 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 effective 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 particular 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 promulgated 
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 copyright, approved March 4, 
1909, promulgated by the Court on June 1, 1909, effective July 1, 1909; 
and the Rules of Practice in Admiralty and Maritime Cases, promulgated 
by the Court on December 6, 1920, effective March 7, 1921, as revised, 
amended and supplemented, 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 Justice 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 effective July 1, 
1968. The amendments affected Rules 6(b), 9(h), 41(a)(1), 77(d), 81(a), 
and abrogated the chapter heading ``IX. Appeals'' 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 Congress 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 effective 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) approved 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 corresponding 
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 October 1, 1983, unless 
previously approved, disapproved, or modified by Act of Congress, and 
further provided that this Act shall be effective as of August 1, 1982, 
but shall not apply to the service of process that takes place between 
August 1, 1982, and the date of enactment of this Act [August 2, 1982]. 
Section 5 of Public Law 97-462 (approved January 12, 1983, 96 Stat. 
2530) provided that the amendments 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 Admiralty 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 Admiralty 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; provided 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 effective 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 Admiralty 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, p. H2467, Daily Issue, 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. ----; Cong. Rec., vol. 151, p. H3060, Daily Issue, 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.

                             Committee Notes

    Committee Notes prepared by the Committee on Rules of Practice 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 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.

                                CONTENTS

                            TABLE OF CONTENTS

                               ____

                                                                    Page
Foreword......................................................       iii
Authority for promulgation of rules...........................         v
Historical note...............................................       vii

                                  RULES

I. Scope of Rules--One Form of Action:
        Rule 1. Scope and Purpose of Rules.............................1
        Rule 2. One Form of Action.....................................1
II. Commencement of Action; Service of Process, Pleadings, 
    Motions, and Orders:
        Rule 3. Commencement of Action.................................1
        Rule 4. Summons:
                (a) Form......................................         1
                (b) Issuance..................................         1
                (c) Service with Complaint; by Whom Made......         1
                (d) Waiver of Service; Duty to Save Costs of 
                    Service; Request to Waive.................         2
                (e) Service Upon Individuals Within a Judicial 
                    District of the United States.............         3
                (f) Service Upon Individuals in a Foreign 
                    Country...................................         3
                (g) Service Upon Infants and Incompetent 
                    Persons...................................         4
                (h) Service Upon Corporations and Associations         4
                (i) Serving the United States, Its Agencies, 
                    Corporations, Officers, or Employees......         4
                (j) Service Upon Foreign, State, or Local 
                    Governments...............................         5
                (k) Territorial Limits of Effective Service...         5
                (l) Proof of Service..........................         5
                (m) Time Limit for Service....................         6
                (n) Seizure of Property; Service of Summons 
                    Not Feasible..............................         6
        Rule 4.1. Service of Other Process:
                (a) Generally.................................         6
                (b) Enforcement of Orders: Commitment for 
                    Civil Contempt............................         6
        Rule 5. Service and Filing of Pleadings and Other 
            Papers:
                (a) Service: When Required....................         6
                (b) Making Service............................         7
                (c) Same: Numerous Defendants.................         7
                (d) Filing; Certificate of Service............         8
                (e) Filing with the Court Defined.............         8
        Rule 6. Time:
                (a) Computation...............................         8
                (b) Enlargement...............................         8
                (c) Unaffected by Expiration of Term 
                    (Rescinded).
                (d) For Motions--Affidavits...................         9
                (e) Additional Time After Certain Kinds of 
                    Service...................................         9
III. Pleadings and Motions:
        Rule 7. Pleadings Allowed; Form of Motions:
                (a) Pleadings.................................         9
                (b) Motions and Other Papers..................         9
                (c) Demurrers, Pleas, Etc., Abolished.........        10
        Rule 7.1. Disclosure Statement:
                (a) Who Must File: Nongovernmental Corporate 
                    Party.....................................        10
                (b) Time for Filing; Supplemental Filing......        10
        Rule 8. General Rules of Pleading:
                (a) Claims for Relief.........................        10
                (b) Defenses; Form of Denials.................        10
                (c) Affirmative Defenses......................        10

  

III. Pleadings and Motions--Continued

    Rule 8. General Rules of Pleading--Continued

Page

                (d) Effect of Failure To Deny.................        11
                (e) Pleading To Be Concise and Direct; 
                    Consistency...............................        11
                (f) Construction of Pleadings.................        11
        Rule 9. Pleading Special Matters:
                (a) Capacity..................................        11
                (b) Fraud, Mistake, Condition of the Mind.....        11
                (c) Conditions Precedent......................        11
                (d) Official Document or Act..................        12
                (e) Judgment..................................        12
                (f) Time and Place............................        12
                (g) Special Damage............................        12
                (h) Admiralty and Maritime Claims.............        12
        Rule 10. Form of Pleadings:
                (a) Caption; Names of Parties.................        12
                (b) Paragraphs; Separate Statements...........        12
                (c) Adoption by Reference; Exhibits...........        12
        Rule 11. Signing of Pleadings, Motions, and Other 
            Papers; Representations to Court; Sanctions:
                (a) Signature.................................        13
                (b) Representations to Court..................        13
                (c) Sanctions:
                        (1) How Initiated:
                                (A) By Motion.................        13
                                (B) On Court's Initiative.....        13
                        (2) Nature of Sanction; Limitations...        14
                        (3) Order.............................        14
                (d) Inapplicability to Discovery..............        14
        Rule 12. Defenses and Objections--When and How 
            Presented--By Pleading or Motion--Motion for 
            Judgment on the Pleadings:
                (a) When Presented............................        14
                (b) How Presented.............................        15
                (c) Motion for Judgment on the Pleadings......        15
                (d) Preliminary Hearings......................        15
                (e) Motion for More Definite Statement........        16
                (f) Motion To Strike..........................        16
                (g) Consolidation of Defenses in Motion.......        16
                (h) Waiver or Preservation of Certain Defenses        16
        Rule 13. Counterclaim and Cross-Claim:
                (a) Compulsory Counterclaims..................        16
                (b) Permissive Counterclaims..................        17
                (c) Counterclaim Exceeding Opposing Claim.....        17
                (d) Counterclaim Against the United States....        17
                (e) Counterclaim Maturing or Acquired After 
                    Pleading..................................        17
                (f) Omitted Counterclaim......................        17
                (g) Cross-Claim Against Co-Party..............        17
                (h) Joinder of Additional Parties.............        17
                (i) Separate Trials; Separate Judgments.......        17
        Rule 14. Third-Party Practice:
                (a) When Defendant May Bring in Third Party...        17
                (b) When Plaintiff May Bring in Third Party...        18
                (c) Admiralty and Maritime Claims.............        18
        Rule 15. Amended and Supplemental Pleadings:
                (a) Amendments................................        19
                (b) Amendments To Conform to the Evidence.....        19
                (c) Relation Back of Amendments...............        19
                (d) Supplemental Pleadings....................        20
        Rule 16. Pretrial Conferences; Scheduling; Management:
                (a) Pretrial Conferences; Objectives..........        20
                (b) Scheduling and Planning...................        20
                (c) Subjects for Consideration at Pretrial 
                    Conferences...............................        20
                (d) Final Pretrial Conference.................        21
                (e) Pretrial Orders...........................        22
                (f) Sanctions.................................        22
IV. Parties:
        Rule 17. Parties Plaintiff and Defendant; Capacity:
                (a) Real Party in Interest....................        22



IV. Parties--Continued

    Rule 17. Parties Plaintiff and Defendant; Capacity--Continued

Page

                (b) Capacity To Sue or Be Sued................        22
                (c) Infants or Incompetent Persons............        23
        Rule 18. Joinder of Claims and Remedies:
                (a) Joinder of Claims.........................        23
                (b) Joinder of Remedies; Fraudulent 
                    Conveyances...............................        23
        Rule 19. Joinder of Persons Needed for Just 
            Adjudication:
                (a) Persons To Be Joined if Feasible..........        23
                (b) Determination by Court Whenever Joinder 
                    Not Feasible..............................        23
                (c) Pleading Reasons for Nonjoinder...........        24
                (d) Exception of Class Actions................        24
        Rule 20. Permissive Joinder of Parties:
                (a) Permissive Joinder........................        24
                (b) Separate Trials...........................        24
        Rule 21. Misjoinder and Non-Joinder of Parties................24
        Rule 22. Interpleader.........................................25
        Rule 23. Class Actions:
                (a) Prerequisites to a Class Action...........        25
                (b) Class Actions Maintainable................        25
                (c) Determining by Order Whether to Certify a 
                    Class Action; Appointing Class Counsel; 
                    Notice and Membership in Class; Judgment; 
                    Multiple Classes and Subclasses...........        26
                (d) Orders in Conduct of Actions..............        26
                (e) Settlement, Voluntary Dismissal, or 
                    Compromise................................        27
                (f) Appeals...................................        27
                (g) Class Counsel:
                        (1) Appointing Class Counsel..........        27
                        (2) Appointment Procedure.............        28
                (h) Attorney Fees Award:
                        (1) Motion for Award of Attorney Fees.        28
                        (2) Objections to Motion..............        28
                        (3) Hearing and Findings..............        28
                        (4) Reference to Special Master or 
                            Magistrate Judge..................        28
        Rule 23.1. Derivative Actions by Shareholders.................28
        Rule 23.2. Actions Relating to Unincorporated Associations....29
        Rule 24. Intervention:
                (a) Intervention of Right.....................        29
                (b) Permissive Intervention...................        29
                (c) Procedure.................................        30
        Rule 25. Substitution of Parties:
                (a) Death.....................................        30
                (b) Incompetency..............................        30
                (c) Transfer of Interest......................        30
                (d) Public Officers; Death or Separation From 
                    Office....................................        31
V. Depositions and Discovery:
        Rule 26. General Provisions Governing Discovery; Duty 
            of Disclosure:
                (a) Required Disclosures; Methods to Discover 
                    Additional Matter:
                        (1) Initial Disclosures...............        31
                        (2) Disclosure of Expert Testimony....        32
                        (3) Pretrial Disclosures..............        33
                        (4) Form of Disclosures...............        33
                        (5) Methods to Discover Additional 
                            Matter............................        33
                (b) Discovery Scope and Limits:
                        (1) In General........................        33
                        (2) Limitations.......................        34
                        (3) Trial Preparation: Materials......        34
                        (4) Trial Preparation: Experts........        35
                        (5) Claims of Privilege or Protection 
                            of Trial Preparation Materials....        35
                (c) Protective Orders.........................        35
                (d) Timing and Sequence of Discovery..........        36
                (e) Supplementation of Disclosures and 
                    Responses.................................        36
                (f) Conference of Parties; Planning for 
                    Discovery.................................        36
                (g) Signing of Disclosures, Discovery 
                    Requests, Responses, and Objections.......        37
        Rule 27. Depositions Before Action or Pending Appeal:
                (a) Before Action:
                        (1) Petition..........................        38



V. Depositions and Discovery--Continued

    Rule 27. Depositions Before Action or Pending Appeal--Continued

        (a) Before Action--Continued

Page

                        (2) Notice and Service................        38
                        (3) Order and Examination.............        39
                        (4) Use of Deposition.................        39
                (b) Pending Appeal............................        39
                (c) Perpetuation by Action....................        39
        Rule 28. Persons Before Whom Depositions May Be Taken:
                (a) Within the United States..................        39
                (b) In Foreign Countries......................        40
                (c) Disqualification for Interest.............        40
        Rule 29. Stipulations Regarding Discovery Procedure...........40
        Rule 30. Depositions Upon Oral Examination:
                (a) When Depositions May Be Taken; When Leave 
                    Required..................................        40
                (b) Notice of Examination: General 
                    Requirements; Method of Recording; 
                    Production of Documents and Things; 
                    Deposition of Organization; Deposition by 
                    Telephone.................................        41
                (c) Examination and Cross-Examination; Record 
                    of Examination; Oath; Objections..........        42
                (d) Schedule and Duration; Motion to Terminate 
                    or Limit Examination......................        43
                (e) Review by Witness; Changes; Signing.......        43
                (f) Certification and Delivery by Officer; 
                    Exhibits; Copies..........................        43
                (g) Failure To Attend or To Serve Subpoena; 
                    Expenses..................................        44
        Rule 31. Depositions Upon Written Questions:
                (a) Serving Questions; Notice.................        44
                (b) Officer To Take Responses and Prepare 
                    Record....................................        45
                (c) Notice of Filing..........................        45
        Rule 32. Use of Depositions in Court Proceedings:
                (a) Use of Depositions........................        45
                (b) Objections to Admissibility...............        46
                (c) Form of Presentation......................        47
                (d) Effect of Errors and Irregularities in 
                    Depositions:
                        (1) As to Notice......................        47
                        (2) As to Disqualification of Officer.        47
                        (3) As to Taking of Deposition........        47
                        (4) As to Completion and Return of 
                            Deposition........................        47
        Rule 33. Interrogatories to Parties:
                (a) Availability..............................        47
                (b) Answers and Objections....................        48
                (c) Scope; Use at Trial.......................        48
                (d) Option to Produce Business Records........        48
        Rule 34. Production of Documents and Things and Entry 
            Upon Land for Inspection and Other Purposes:
                (a) Scope.....................................        49
                (b) Procedure.................................        49
                (c) Persons Not Parties.......................        49
        Rule 35. Physical and Mental Examinations of Persons:
                (a) Order for Examination.....................        49
                (b) Report of Examiner........................        50
        Rule 36. Requests for Admission:
                (a) Request for Admission.....................        50
                (b) Effect of Admission.......................        51
        Rule 37. Failure to Make Disclosure or Cooperate in 
            Discovery; Sanctions:
                (a) Motion For Order Compelling Disclosure or 
                    Discovery:
                        (1) Appropriate Court.................        52
                        (2) Motion............................        52
                        (3) Evasive or Incomplete Disclosure, 
                            Answer, or Response...............        52
                        (4) Expenses and Sanctions............        52
                (b) Failure To Comply With Order:
                        (1) Sanctions by Court in District 
                            Where Deposition Is Taken.........        53
                        (2) Sanctions by Court in Which Action 
                            Is Pending........................        53
                (c) Failure to Disclose; False or Misleading 
                    Disclosure; Refusal to Admit..............        54
                (d) Failure of Party to Attend at Own 
                    Deposition or Serve Answers to 
                    Interrogatories or Respond to Request for 
                    Inspection................................        54
                (e) Subpoena of Person in Foreign Country 
                    (Abrogated).
                (f) Expenses Against United States (Repealed).
                (g) Failure to Participate in the Framing of a 
                    Discovery Plan............................        55

  

VI. Trials:
        Rule 38. Jury Trial of Right:

Page

                (a) Right Preserved...........................        55
                (b) Demand....................................        55
                (c) Same: Specification of Issues.............        55
                (d) Waiver....................................        55
                (e) Admiralty and Maritime Claims.............        55
        Rule 39. Trial by Jury or by the Court:
                (a) By Jury...................................        55
                (b) By the Court..............................        56
                (c) Advisory Jury and Trial by Consent........        56
        Rule 40. Assignment of Cases for Trial........................56
        Rule 41. Dismissal of Actions:
                (a) Voluntary Dismissal: Effect Thereof:
                        (1) By Plaintiff; by Stipulation......        56
                        (2) By Order of Court.................        56
                (b) Involuntary Dismissal: Effect Thereof.....        57
                (c) Dismissal of Counterclaim, Cross-Claim, or 
                    Third-Party Claim.........................        57
                (d) Costs of Previously-Dismissed Action......        57
        Rule 42. Consolidation; Separate Trials:
                (a) Consolidation.............................        57
                (b) Separate Trials...........................        57
        Rule 43. Taking of Testimony:
                (a) Form......................................        57
                (b) Scope of Examination and Cross-Examination 
                    (Abrogated).
                (c) Record of Excluded Evidence (Abrogated).
                (d) Affirmation in Lieu of Oath...............        58
                (e) Evidence on Motions.......................        58
                (f) Interpreters..............................        58
        Rule 44. Proof of Official Record:
                (a) Authentication:
                        (1) Domestic..........................        58
                        (2) Foreign...........................        58
                (b) Lack of Record............................        59
                (c) Other Proof...............................        59
        Rule 44.1. Determination of Foreign Law.......................59
        Rule 45. Subpoena:
                (a) Form; Issuance............................        59
                (b) Service...................................        60
                (c) Protection of Persons Subject to Subpoenas        60
                (d) Duties in Responding to Subpoena..........        61
                (e) Contempt..................................        62
        Rule 46. Exceptions Unnecessary...............................62
        Rule 47. Selection of Jurors:
                (a) Examination of Jurors.....................        62
                (b) Peremptory Challenges.....................        62
                (c) Excuse....................................        62
        Rule 48. Number of Jurors--Participation in Verdict...........62
        Rule 49. Special Verdicts and Interrogatories:
                (a) Special Verdicts..........................        63
                (b) General Verdict Accompanied by Answer to 
                    Interrogatories...........................        63
        Rule 50. Judgment as a Matter of Law in Jury Trials; 
            Alternative Motion for New Trial; Conditional 
            Rulings:
                (a) Judgment as a Matter of Law...............        63
                (b) Renewing Motion for Judgment After Trial; 
                    Alternative Motion for New Trial..........        64
                (c) Granting Renewed Motion for Judgment as a 
                    Matter of Law; Conditional Rulings; New 
                    Trial Motion..............................        64
                (d) Same: Denial of Motion for Judgment as a 
                    Matter of Law.............................        64
        Rule 51. Instructions to Jury; Objections; Preserving 
            a Claim of Error:
                (a) Requests..................................        65
                (b) Instructions..............................        65
                (c) Objections................................        65
                (d) Assigning Error; Plain Error..............        65
        Rule 52. Findings by the Court; Judgment on Partial 
            Findings:
                (a) Effect....................................        66
                (b) Amendment.................................        66
                (c) Judgment on Partial Findings..............        66

  

VI. Trials--Continued

        Rule 53. Masters:

Page

                (a) Appointment...............................        66
                (b) Order Appointing Master:
                        (1) Notice............................        67
                        (2) Contents..........................        67
                        (3) Entry of Order....................        67
                        (4) Amendment.........................        67
                (c) Master's Authority........................        67
                (d) Evidentiary Hearings......................        67
                (e) Master's Orders...........................        67
                (f) Master's Reports..........................        67
                (g) Action on Master's Order, Report, or 
                    Recommendations:
                        (1) Action............................        68
                        (2) Time To Object or Move............        68
                        (3) Fact Findings.....................        68
                        (4) Legal Conclusions.................        68
                        (5) Procedural Matters................        68
                (h) Compensation:
                        (1) Fixing Compensation...............        68
                        (2) Payment...........................        68
                        (3) Allocation........................        68
                (i) Appointment of Magistrate Judge...........        68
VII. Judgment:
        Rule 54. Judgments; Costs:
                (a) Definition; Form..........................        69
                (b) Judgment Upon Multiple Claims or Involving 
                    Multiple Parties..........................        69
                (c) Demand for Judgment.......................        69
                (d) Costs; Attorneys' Fees:
                        (1) Costs Other than Attorneys' Fees..        69
                        (2) Attorneys' Fees...................        69
        Rule 55. Default:
                (a) Entry.....................................        70
                (b) Judgment:
                        (1) By the Clerk......................        70
                        (2) By the Court......................        70
                (c) Setting Aside Default.....................        70
                (d) Plaintiffs, Counterclaimants, Cross-
                    Claimants.................................        71
                (e) Judgment Against the United States........        71
        Rule 56. Summary Judgment:
                (a) For Claimant..............................        71
                (b) For Defending Party.......................        71
                (c) Motion and Proceedings Thereon............        71
                (d) Case Not Fully Adjudicated on Motion......        71
                (e) Form of Affidavits; Further Testimony; 
                    Defense Required..........................        71
                (f) When Affidavits Are Unavailable...........        72
                (g) Affidavits Made in Bad Faith..............        72
        Rule 57. Declaratory Judgments................................72
        Rule 58. Entry of Judgment:
                (a) Separate Document.........................        72
                (b) Time of Entry.............................        73
                (c) Cost or Fee Awards........................        73
                (d) Request for Entry.........................        73
        Rule 59. New Trials; Amendment of Judgments:
                (a) Grounds...................................        73
                (b) Time for Motion...........................        73
                (c) Time for Serving Affidavits...............        73
                (d) On Court's Initiative; Notice; Specifying 
                    Grounds...................................        74
                (e) Motion to Alter or Amend Judgment.........        74
        Rule 60. Relief From Judgment or Order:
                (a) Clerical Mistakes.........................        74
                (b) Mistakes; Inadvertence; Excusable Neglect; 
                    Newly Discovered Evidence; Fraud, Etc.....        74
        Rule 61. Harmless Error.......................................75
        Rule 62. Stay of Proceedings To Enforce a Judgment:
                (a) Automatic Stay; Exceptions--Injunctions, 
                    Receiverships, and Patent Accountings.....        75
                (b) Stay on Motion for New Trial or for 
                    Judgment..................................        75

  

VII. Judgment--Continued

    Rule 62. Stay of Proceedings To Enforce a Judgment--Continued

Page

                (c) Injunction Pending Appeal.................        75
                (d) Stay Upon Appeal..........................        75
                (e) Stay in Favor of the United States or 
                    Agency Thereof............................        76
                (f) Stay According to State Law...............        76
                (g) Power of Appellate Court Not Limited......        76
                (h) Stay of Judgment as to Multiple Claims or 
                    Multiple Parties..........................        76
        Rule 63. Inability of a Judge to Proceed......................76
VIII. Provisional and Final Remedies:
        Rule 64. Seizure of Person or Property........................76
        Rule 65. Injunctions:
                (a) Preliminary Injunction:
                        (1) Notice............................        77
                        (2) Consolidation of Hearing With 
                            Trial on Merits...................        77
                (b) Temporary Restraining Order; Notice; 
                    Hearing; Duration.........................        77
                (c) Security..................................        78
                (d) Form and Scope of Injunction or 
                    Restraining Order.........................        78
                (e) Employer and Employee; Interpleader; 
                    Constitutional Cases......................        78
                (f) Copyright Impoundment.....................        78
        Rule 65.1. Security: Proceedings Against Sureties.............78
        Rule 66. Receivers Appointed by Federal Courts................78
        Rule 67. Deposit in Court.....................................79
        Rule 68. Offer of Judgment....................................79
        Rule 69. Execution:
                (a) In General................................        80
                (b) Against Certain Public Officers...........        80
        Rule 70. Judgment for Specific Acts; Vesting Title............80
        Rule 71. Process in Behalf of and Against Persons Not Parties.80
IX. Special Proceedings:
        Rule 71A. Condemnation of Property:
                (a) Applicability of Other Rules..............        81
                (b) Joinder of Properties.....................        81
                (c) Complaint:
                        (1) Caption...........................        81
                        (2) Contents..........................        81
                        (3) Filing............................        81
                (d) Process:
                        (1) Notice; Delivery..................        81
                        (2) Same; Form........................        82
                        (3) Service of Notice.................        82
                        (4) Return; Amendment.................        82
                (e) Appearance or Answer......................        82
                (f) Amendment of Pleadings....................        83
                (g) Substitution of Parties...................        83
                (h) Trial.....................................        83
                (i) Dismissal of Action:
                        (1) As of Right.......................        84
                        (2) By Stipulation....................        84
                        (3) By Order of the Court.............        84
                        (4) Effect............................        84
                (j) Deposit and Its Distribution..............        84
                (k) Condemnation Under a State's Power of 
                    Eminent Domain............................        84
                (l) Costs.....................................        85
        Rule 72. Magistrate Judges; Pretrial Orders:
                (a) Nondispositive Matters....................        85
                (b) Dispositive Motions and Prisoner Petitions        85
        Rule 73. Magistrate Judges; Trial by Consent and 
            Appeal:
                (a) Powers; Procedure.........................        85
                (b) Consent...................................        86
                (c) Appeal....................................        86
                (d) Optional Appeal Route (Abrogated).
        Rule 74. Method of Appeal From Magistrate Judge to 
            District Judge Under Title 28, U.S.C. 
            Sec. 636(c)(4) and Rule 73(d) (Abrogated).
        Rule 75. Proceedings on Appeal From Magistrate Judge 
            to District Judge Under Rule 73(d) (Abrogated).
        Rule 76. Judgment of the District Judge on the Appeal 
            Under Rule 73(d) and Costs (Abrogated).
X. District Courts and Clerks:
        Rule 77. District Courts and Clerks:
                (a) District Courts Always Open...............        86

  

X. District Courts and Clerks--Continued

    Rule 77. District Courts and Clerks--Continued

Page

                (b) Trials and Hearings; Orders in Chambers...        86
                (c) Clerk's Office and Orders by Clerk........        87
                (d) Notice of Orders or Judgments.............        87
        Rule 78. Motion Day...........................................87
        Rule 79. Books and Records Kept by the Clerk and 
            Entries Therein:
                (a) Civil Docket..............................        87
                (b) Civil Judgments and Orders................        88
                (c) Indices; Calendars........................        88
                (d) Other Books and Records of the Clerk......        88
        Rule 80. Stenographer; Stenographic Report or 
            Transcript as Evidence:
                (a) Stenographer (Abrogated).
                (b) Official Stenographer (Abrogated).
                (c) Stenographic Report or Transcript as 
                    Evidence..................................        88
XI. General Provisions:
        Rule 81. Applicability in General:
                (a) To What Proceedings Applicable............        88
                (b) Scire Facias and Mandamus.................        89
                (c) Removed Actions...........................        90
                (d) District of Columbia; Courts and Judges 
                    (Abrogated).
                (e) Law Applicable............................        90
                (f) References to Officer of the United States        90
        Rule 82. Jurisdiction and Venue Unaffected....................91
        Rule 83. Rules by District Courts; Judge's Directives:
                (a) Local Rules...............................        91
                (b) Procedures When There is No Controlling 
                    Law.......................................        91
        Rule 84. Forms................................................91
        Rule 85. Title................................................91
        Rule 86. Effective Date:
                (a) [Effective Date of Original Rules]........        91
                (b) Effective Date of Amendments..............        92
                (c) Effective Date of Amendments..............        92
                (d) Effective Date of Amendments..............        92
                (e) Effective Date of Amendments..............        92
Appendix of Forms:
  Form
         1. Summons...................................................93
         1A. Notice of Lawsuit and Request for Waiver of Service of 
                        Summons.......................................94
         1B. Waiver of Service of Summons.............................95
         2. Allegation of Jurisdiction................................96
         3. Complaint on a Promissory Note............................97
         4. Complaint on an Account...................................97
         5. Complaint for Goods Sold and Delivered....................97
         6. Complaint for Money Lent..................................97
         7. Complaint for Money Paid by Mistake.......................98
         8. Complaint for Money Had and Received......................98
         9. Complaint for Negligence..................................98
        10. Complaint for Negligence Where Plaintiff Is Unable To 
                        Determine Definitely Whether the Person 
                        Responsible is C. D. or E. F. or Whether Both 
                        Are Responsible and Where His Evidence May 
                        Justify a Finding of Wilfulness or of 
                        Recklessness or of Negligence.................98
        11. Complaint for Conversion..................................99
        12. Complaint for Specific Performance of Contract To Convey 
                        Land..........................................99
        13. Complaint on Claim for Debt and To Set Aside Fraudulent 
                        Conveyance Under Rule 18(b)...................99
        14. Complaint for Negligence Under Federal Employer's Liability 
                        Act..........................................100
        15. Complaint for Damages Under Merchant Marine Act..........100
        16. Complaint for Infringement of Patent.....................101
        17. Complaint for Infringement of Copyright and Unfair 
                        Competition..................................101
        18. Complaint for Interpleader and Declaratory Relief........103
        18-A. Notice and Acknowledgment for Service by Mail (Abrogated).
        19. Motion To Dismiss, Presenting Defenses of Failure To State a 
                        Claim, of Lack of Service of Process, of 
                        Improper Venue, and of Lack of Jurisdiction 
                        Under Rule 12(b).............................103
        20. Answer Presenting Defenses Under Rule 12(b)..............104
        21. Answer to Complaint Set Forth in Form 8, With Counterclaim 
                        for Interpleader.............................105

  

Appendix of Forms--Continued

  Form

Page

        22. Motion To Bring in Third-Party Defendant (Eliminated).
        22-A. Summons and Complaint Against Third-Party Defendant....106
        22-B. Motion To Bring in Third-Party Defendant...............107
        23. Motion To Intervene as a Defendant Under Rule 24.........108
        24. Request for Production of Documents, etc., Under Rule 34.109
        25. Request for Admission Under Rule 36......................109
        26. Allegation of Reason for Omitting Party..................109
        27. Notice of Appeal to Court of Appeals Under Rule 
            73(b) (Abrogated).
        28. Notice: Condemnation.....................................110
        29. Complaint: Condemnation..................................111
        30. Suggestion of Death Upon the Record Under Rule 25(a)(1)..112
        31. Judgment on Jury Verdict.................................112
        32. Judgment on Decision by the Court........................113
        33. Notice of Availability of Magistrate Judge to Exercise 
                        Jurisdiction.................................114
        34. Consent to Exercise of Jurisdiction by a United States 
                        Magistrate Judge.............................114
        34A. Order of Reference......................................115
        35. Report of Parties' Planning Meeting......................115

      Supplemental Rules for Certain Admiralty and Maritime Claims

Rule A. Scope of Rules........................................       117
Rule B. In Personam Actions: Attachment and Garnishment:
        (1) When Available; Complaint, Affidavit, Judicial 
                        Authorization, and Process...................117
        (2) Notice to Defendant......................................118
        (3) Answer:
                (a) By Garnishee..............................       118
                (b) By Defendant..............................       118
Rule C. In Rem Actions: Special Provisions:
        (1) When Available...........................................118
        (2) Complaint................................................118
        (3) Judicial Authorization and Process:
                (a) Arrest Warrant............................       119
                (b) Service...................................       119
                (c) Deposit in Court..........................       119
                (d) Supplemental Process......................       119
        (4) Notice...................................................120
        (5) Ancillary Process........................................120
        (6) Responsive Pleading; Interrogatories:
                (a) Civil Forfeiture..........................       120
                (b) Maritime Arrests and Other Proceedings....       120
                (c) Interrogatories...........................       121
Rule D. Possessory, Petitory, and Partition Actions...........       121
Rule E. Actions in Rem and Quasi in Rem: General Provisions:
        (1) Applicability............................................121
        (2) Complaint; Security:
                (a) Complaint.................................       121
                (b) Security for Costs........................       121
        (3) Process..................................................121
        (4) Execution of Process; Marshal's Return; Custody of 
            Property; Procedures for Release:
                (a) In General................................       122
                (b) Tangible Property.........................       122
                (c) Intangible Property.......................       122
                (d) Directions With Respect to Property in 
                    Custody...................................       122
                (e) Expenses of Seizing and Keeping Property; 
                    Deposit...................................       122
                (f) Procedure for Release From Arrest or 
                    Attachment................................       122
        (5) Release of Property:
                (a) Special Bond..............................       123
                (b) General Bond..............................       123
                (c) Release by Consent or Stipulation; Order 
                    of Court or Clerk; Costs..................       123
                (d) Possessory, Petitory, and Partition 
                    Actions...................................       124
        (6) Reduction or Impairment of Security......................124
        (7) Security on Counterclaim.................................124
        (8) Restricted Appearance....................................124
        (9) Disposition of Property; Sales:
                (a) Actions for Forfeitures...................       124

  

Rule E. Actions in Rem and Quasi in Rem--Continued

    (9) Disposition of Property; Sales--Continued

Page

                (b) Interlocutory Sales; Delivery.............       124
                (c) Sales; Proceeds...........................       125
        (10) Preservation of Property................................125
Rule F. Limitation of Liability:
        (1) Time for Filing Complaint; Security......................125
        (2) Complaint................................................125
        (3) Claims Against Owner; Injunction.........................126
        (4) Notice to Claimants......................................126
        (5) Claims and Answer........................................126
        (6) Information To Be Given Claimants........................126
        (7) Insufficiency of Fund or Security........................127
        (8) Objections to Claims: Distribution of Fund...............127
        (9) Venue; Transfer..........................................127

                    FEDERAL RULES OF CIVIL PROCEDURE

                        RULES OF CIVIL PROCEDURE

                                 FOR THE

                    UNITED STATES DISTRICT COURTS \1\
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    \1\ Title amended December 29, 1948, effective October 20, 1949.
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      Effective September 16, 1938, as amended to December 1, 2005


                  I. SCOPE OF RULES--ONE FORM OF ACTION

Rule 1
. Scope and Purpose of Rules______________________________________
    These rules govern the procedure in the United States district 
courts in all suits of a civil nature whether cognizable as cases at law 
or in equity or in admiralty, with the exceptions stated in Rule 81. 
They shall be construed and administered to secure the just, speedy, and 
inexpensive determination of every action.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 
1, 1966; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 2
. One Form of Action______________________________________________
    There shall be one form of action to be known as ``civil action.''


II. COMMENCEMENT OF ACTION; SERVICE OF PROCESS, PLEADINGS, MOTIONS, AND 
                                 ORDERS

Rule 3
. Commencement of Action__________________________________________
    A civil action is commenced by filing a complaint with the court.
Rule 4
. Summons_________________________________________________________
    (a) Form. The summons shall be signed by the clerk, bear the seal of 
the court, identify the court and the parties, be directed to the 
defendant, and state the name and address of the plaintiff's attorney 
or, if unrepresented, of the plaintiff. It shall also state the time 
within which the defendant must appear and defend, and notify the 
defendant that failure to do so will result in a judgment by default 
against the defendant for the relief demanded in the complaint. The 
court may allow a summons to be amended.
    (b) Issuance. Upon or after filing the complaint, the plaintiff may 
present a summons to the clerk for signature and seal. If the summons is 
in proper form, the clerk shall sign, seal, and issue it to the 
plaintiff for service on the defendant. A summons, or a copy of the 
summons if addressed to multiple defendants, shall be issued for each 
defendant to be served.
    (c) Service with Complaint; by Whom Made.
            (1) A summons shall be served together with a copy of the 
        complaint. The plaintiff is responsible for service of a summons 
        and complaint within the time allowed under subdivision (m) and 
        shall furnish the person effecting service with the necessary 
        copies of the summons and complaint.
            (2) Service may be effected by any person who is not a party 
        and who is at least 18 years of age. At the request of the 
        plaintiff, however, the court may direct that service be 
        effected by a United States marshal, deputy United States 
        marshal, or other person or officer specially appointed by the 
        court for that purpose. Such an appointment must be made when 
        the plaintiff is authorized to proceed in forma pauperis 
        pursuant to 28 U.S.C. Sec. 1915 or is authorized to proceed as a 
        seaman under 28 U.S.C. Sec. 1916.
    (d) Waiver of Service; Duty to Save Costs of Service; Request to 
Waive.
            (1) A defendant who waives service of a summons does not 
        thereby waive any objection to the venue or to the jurisdiction 
        of the court over the person of the defendant.
            (2) An individual, corporation, or association that is 
        subject to service under subdivision (e), (f), or (h) and that 
        receives notice of an action in the manner provided in this 
        paragraph has a duty to avoid unnecessary costs of serving the 
        summons. To avoid costs, the plaintiff may notify such a 
        defendant of the commencement of the action and request that the 
        defendant waive service of a summons. The notice and request
                    (A) shall be in writing and shall be addressed 
                directly to the defendant, if an individual, or else to 
                an officer or managing or general agent (or other agent 
                authorized by appointment or law to receive service of 
                process) of a defendant subject to service under 
                subdivision (h);
                    (B) shall be dispatched through first-class mail or 
                other reliable means;
                    (C) shall be accompanied by a copy of the complaint 
                and shall identify the court in which it has been filed;
                    (D) shall inform the defendant, by means of a text 
                prescribed in an official form promulgated pursuant to 
                Rule 84, of the consequences of compliance and of a 
                failure to comply with the request;
                    (E) shall set forth the date on which the request is 
                sent;
                    (F) shall allow the defendant a reasonable time to 
                return the waiver, which shall be at least 30 days from 
                the date on which the request is sent, or 60 days from 
                that date if the defendant is addressed outside any 
                judicial district of the United States; and
                    (G) shall provide the defendant with an extra copy 
                of the notice and request, as well as a prepaid means of 
                compliance in writing.
        If a defendant located within the United States fails to comply 
        with a request for waiver made by a plaintiff located within the 
        United States, the court shall impose the costs subsequently 
        incurred in effecting service on the defendant unless good cause 
        for the failure be shown.
            (3) A defendant that, before being served with process, 
        timely returns a waiver so requested is not required to serve an 
        answer to the complaint until 60 days after the date on which 
        the request for waiver of service was sent, or 90 days after 
        that date if the defendant was addressed outside any judicial 
        district of the United States.
            (4) When the plaintiff files a waiver of service with the 
        court, the action shall proceed, except as provided in paragraph 
        (3), as if a summons and complaint had been served at the time 
        of filing the waiver, and no proof of service shall be required.
            (5) The costs to be imposed on a defendant under paragraph 
        (2) for failure to comply with a request to waive service of a 
        summons shall include the costs subsequently incurred in 
        effecting service under subdivision (e), (f), or (h), together 
        with the costs, including a reasonable attorney's fee, of any 
        motion required to collect the costs of service.
    (e) Service Upon Individuals Within a Judicial District of the 
United States. Unless otherwise provided by federal law, service upon an 
individual from whom a waiver has not been obtained and filed, other 
than an infant or an incompetent person, may be effected in any judicial 
district of the United States:
            (1) pursuant to the law of the state in which the district 
        court is located, or in which service is effected, for the 
        service of a summons upon the defendant in an action brought in 
        the courts of general jurisdiction of the State; or
            (2) by delivering a copy of the summons and of the complaint 
        to the individual personally or by leaving copies thereof at the 
        individual's dwelling house or usual place of abode with some 
        person of suitable age and discretion then residing therein or 
        by delivering a copy of the summons and of the complaint to an 
        agent authorized by appointment or by law to receive service of 
        process.
    (f) Service Upon Individuals in a Foreign Country. Unless otherwise 
provided by federal law, service upon an individual from whom a waiver 
has not been obtained and filed, other than an infant or an incompetent 
person, may be effected in a place not within any judicial district of 
the United States:
            (1) by any internationally agreed means reasonably 
        calculated to give notice, such as those means authorized by the 
        Hague Convention on the Service Abroad of Judicial and 
        Extrajudicial Documents; or
            (2) if there is no internationally agreed means of service 
        or the applicable international agreement allows other means of 
        service, provided that service is reasonably calculated to give 
        notice:
                    (A) in the manner prescribed by the law of the 
                foreign country for service in that country in an action 
                in any of its courts of general jurisdiction; or
                    (B) as directed by the foreign authority in response 
                to a letter rogatory or letter of request; or
                    (C) unless prohibited by the law of the foreign 
                country, by
                            (i) delivery to the individual personally of 
                        a copy of the summons and the complaint; or
                            (ii) any form of mail requiring a signed 
                        receipt, to be addressed and dispatched by the 
                        clerk of the court to the party to be served; or
            (3) by other means not prohibited by international agreement 
        as may be directed by the court.
    (g) Service Upon Infants and Incompetent Persons. Service upon an 
infant or an incompetent person in a judicial district of the United 
States shall be effected in the manner prescribed by the law of the 
state in which the service is made for the service of summons or other 
like process upon any such defendant in an action brought in the courts 
of general jurisdiction of that state. Service upon an infant or an 
incompetent person in a place not within any judicial district of the 
United States shall be effected in the manner prescribed by paragraph 
(2)(A) or (2)(B) of subdivision (f) or by such means as the court may 
direct.
    (h) Service Upon Corporations and Associations. Unless otherwise 
provided by federal law, service upon a domestic or foreign corporation 
or upon a partnership or other unincorporated association that is 
subject to suit under a common name, and from which a waiver of service 
has not been obtained and filed, shall be effected:
            (1) in a judicial district of the United States in the 
        manner prescribed for individuals by subdivision (e)(1), or by 
        delivering a copy of the summons and of the complaint to an 
        officer, a managing or general agent, or to any other agent 
        authorized by appointment or by law to receive service of 
        process and, if the agent is one authorized by statute to 
        receive service and the statute so requires, by also mailing a 
        copy to the defendant, or
            (2) in a place not within any judicial district of the 
        United States in any manner prescribed for individuals by 
        subdivision (f) except personal delivery as provided in 
        paragraph (2)(C)(i) thereof.
    (i) Serving the United States, Its Agencies, Corporations, Officers, 
or Employees.
            (1) Service upon the United States shall be effected
                    (A) by delivering a copy of the summons and of the 
                complaint to the United States attorney for the district 
                in which the action is brought or to an assistant United 
                States attorney or clerical employee designated by the 
                United States attorney in a writing filed with the clerk 
                of the court or by sending a copy of the summons and of 
                the complaint by registered or certified mail addressed 
                to the civil process clerk at the office of the United 
                States attorney and
                    (B) by also sending a copy of the summons and of the 
                complaint by registered or certified mail to the 
                Attorney General of the United States at Washington, 
                District of Columbia, and
                    (C) in any action attacking the validity of an order 
                of an officer or agency of the United States not made a 
                party, by also sending a copy of the summons and of the 
                complaint by registered or certified mail to the officer 
                or agency.
            (2)(A) Service on an agency or corporation of the United 
        States, or an officer or employee of the United States sued only 
        in an official capacity, is effected by serving the United 
        States in the manner prescribed by Rule 4(i)(1) and by also 
        sending a copy of the summons and complaint by registered or 
        certified mail to the officer, employee, agency, or corporation.
            (B) Service on an officer or employee of the United States 
        sued in an individual capacity for acts or omissions occurring 
        in connection with the performance of duties on behalf of the 
        United States--whether or not the officer or employee is sued 
        also in an official capacity--is effected by serving the United 
        States in the manner prescribed by Rule 4(i)(1) and by serving 
        the officer or employee in the manner prescribed by Rule 4(e), 
        (f), or (g).
            (3) The court shall allow a reasonable time to serve process 
        under Rule 4(i) for the purpose of curing the failure to serve:
                    (A) all persons required to be served in an action 
                governed by Rule 4(i)(2)(A), if the plaintiff has served 
                either the United States attorney or the Attorney 
                General of the United States, or
                    (B) the United States in an action governed by Rule 
                4(i)(2)(B), if the plaintiff has served an officer or 
                employee of the United States sued in an individual 
                capacity.
    (j) Service Upon Foreign, State, or Local Governments.
            (1) Service upon a foreign state or a political subdivision, 
        agency, or instrumentality thereof shall be effected pursuant to 
        28 U.S.C. Sec. 1608.
            (2) Service upon a state, municipal corporation, or other 
        governmental organization subject to suit shall be effected by 
        delivering a copy of the summons and of the complaint to its 
        chief executive officer or by serving the summons and complaint 
        in the manner prescribed by the law of that state for the 
        service of summons or other like process upon any such 
        defendant.
    (k) Territorial Limits of Effective Service.
            (1) Service of a summons or filing a waiver of service is 
        effective to establish jurisdiction over the person of a 
        defendant
                    (A) who could be subjected to the jurisdiction of a 
                court of general jurisdiction in the state in which the 
                district court is located, or
                    (B) who is a party joined under Rule 14 or Rule 19 
                and is served at a place within a judicial district of 
                the United States and not more than 100 miles from the 
                place from which the summons issues, or
                    (C) who is subject to the federal interpleader 
                jurisdiction under 28 U.S.C. Sec. 1335, or
                    (D) when authorized by a statute of the United 
                States.
            (2) If the exercise of jurisdiction is consistent with the 
        Constitution and laws of the United States, serving a summons or 
        filing a waiver of service is also effective, with respect to 
        claims arising under federal law, to establish personal 
        jurisdiction over the person of any defendant who is not subject 
        to the jurisdiction of the courts of general jurisdiction of any 
        state.
    (l) Proof of Service. If service is not waived, the person effecting 
service shall make proof thereof to the court. If service is made by a 
person other than a United States marshal or deputy United States 
marshal, the person shall make affidavit thereof. Proof of service in a 
place not within any judicial district of the United States shall, if 
effected under paragraph (1) of subdivision (f), be made pursuant to the 
applicable treaty or convention, and shall, if effected under paragraph 
(2) or (3) thereof, include a receipt signed by the addressee or other 
evidence of delivery to the addressee satisfactory to the court. Failure 
to make proof of service does not affect the validity of the service. 
The court may allow proof of service to be amended.
    (m) Time Limit for Service. If service of the summons and complaint 
is not made upon a defendant within 120 days after the filing of the 
complaint, the court, upon motion or on its own initiative after notice 
to the plaintiff, shall dismiss the action without prejudice as to that 
defendant or direct that service be effected within a specified time; 
provided that if the plaintiff shows good cause for the failure, the 
court shall extend the time for service for an appropriate period. This 
subdivision does not apply to service in a foreign country pursuant to 
subdivision (f) or (j)(1).
    (n) Seizure of Property; Service of Summons Not Feasible.
            (1) If a statute of the United States so provides, the court 
        may assert jurisdiction over property. Notice to claimants of 
        the property shall then be sent in the manner provided by the 
        statute or by service of a summons under this rule.
            (2) Upon a showing that personal jurisdiction over a 
        defendant cannot, in the district where the action is brought, 
        be obtained with reasonable efforts by service of summons in any 
        manner authorized by this rule, the court may assert 
        jurisdiction over any of the defendant's assets found within the 
        district by seizing the assets under the circumstances and in 
        the manner provided by the law of the state in which the 
        district court is located.
(As amended Jan. 21, 1963, eff. July 1, 1963; Feb. 28, 1966, eff. July 
1, 1966; Apr. 29, 1980, eff. Aug. 1, 1980; Jan. 12, 1983, 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.)
Rule 4.1
. Service of Other Process________________________________________
    (a) Generally. Process other than a summons as provided in Rule 4 or 
subpoena as provided in Rule 45 shall be served by a United States 
marshal, a deputy United States marshal, or a person specially appointed 
for that purpose, who shall make proof of service as provided in Rule 
4(l). The process may be served anywhere within the territorial limits 
of the state in which the district court is located, and, when 
authorized by a statute of the United States, beyond the territorial 
limits of that state.
    (b) Enforcement of Orders: Commitment for Civil Contempt. An order 
of civil commitment of a person held to be in contempt of a decree or 
injunction issued to enforce the laws of the United States may be served 
and enforced in any district. Other orders in civil contempt proceedings 
shall be served in the state in which the court issuing the order to be 
enforced is located or elsewhere within the United States if not more 
than 100 miles from the place at which the order to be enforced was 
issued.
(As added Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 5
. Service and Filing of Pleadings and Other Papers________________
    (a) Service: When Required. Except as otherwise provided in these 
rules, every order required by its terms to be served, every pleading 
subsequent to the original complaint unless the court otherwise orders 
because of numerous defendants, every paper relating to discovery 
required to be served upon a party unless the court otherwise orders, 
every written motion other than one which may be heard ex parte, and 
every written notice, appearance, demand, offer of judgment, designation 
of record on appeal, and similar paper shall be served upon each of the 
parties. No service need be made on parties in default for failure to 
appear except that pleadings asserting new or additional claims for 
relief against them shall be served upon them in the manner provided for 
service of summons in Rule 4.
    In an action begun by seizure of property, in which no person need 
be or is named as defendant, any service required to be made prior to 
the filing of an answer, claim, or appearance shall be made upon the 
person having custody or possession of the property at the time of its 
seizure.
    (b) Making Service.
            (1) Service under Rules 5(a) and 77(d) on a party 
        represented by an attorney is made on the attorney unless the 
        court orders service on the party.
            (2) Service under Rule 5(a) is made by:
                    (A) Delivering a copy to the person served by:
                            (i) handing it to the person;
                            (ii) leaving it at the person's office with 
                        a clerk or other person in charge, or if no one 
                        is in charge leaving it in a conspicuous place 
                        in the office; or
                            (iii) if the person has no office or the 
                        office is closed, leaving it at the person's 
                        dwelling house or usual place of abode with 
                        someone of suitable age and discretion residing 
                        there.
                    (B) Mailing a copy to the last known address of the 
                person served. Service by mail is complete on mailing.
                    (C) If the person served has no known address, 
                leaving a copy with the clerk of the court.
                    (D) Delivering a copy by any other means, including 
                electronic means, consented to in writing by the person 
                served. Service by electronic means is complete on 
                transmission; service by other consented means is 
                complete when the person making service delivers the 
                copy to the agency designated to make delivery. If 
                authorized by local rule, a party may make service under 
                this subparagraph (D) through the court's transmission 
                facilities.
            (3) Service by electronic means under Rule 5(b)(2)(D) is not 
        effective if the party making service learns that the attempted 
        service did not reach the person to be served.
    (c) Same: Numerous Defendants. In any action in which there are 
unusually large numbers of defendants, the court, upon motion or of its 
own initiative, may order that service of the pleadings of the 
defendants and replies thereto need not be made as between the 
defendants and that any cross-claim, counterclaim, or matter 
constituting an avoidance or affirmative defense contained therein shall 
be deemed to be denied or avoided by all other parties and that the 
filing of any such pleading and service thereof upon the plaintiff 
constitutes due notice of it to the parties. A copy of every such order 
shall be served upon the parties in such manner and form as the court 
directs.
    (d) Filing; Certificate of Service. All papers after the complaint 
required to be served upon a party, together with a certificate of 
service, must be filed with the court 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 filing: (i) depositions, (ii) 
interrogatories, (iii) requests for documents or to permit entry upon 
land, and (iv) requests for admission.
    (e) Filing with the Court Defined. The filing of papers with the 
court as required by these rules shall be made by filing them with the 
clerk of court, except that the judge may permit the papers to be filed 
with the judge, in which event the judge shall note thereon the filing 
date and forthwith transmit them to the office of the clerk. A court may 
by local rule permit papers to be filed, signed, or verified by 
electronic means that are consistent with technical standards, if any, 
that the Judicial Conference of the United States establishes. A paper 
filed by electronic means in compliance with a local rule constitutes a 
written paper for the purpose of applying these rules. The clerk shall 
not refuse to accept for filing any paper presented for that purpose 
solely because it is not presented in proper form as required by these 
rules or any local rules or practices.
(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.)
Rule 6
. Time____________________________________________________________
    (a) Computation. In computing any period of time prescribed or 
allowed by these rules, by the local rules of any district court, by 
order of court, or by any applicable statute, the day of the act, event, 
or default from which the designated period of time begins to run shall 
not be included. The last day of the period so computed shall be 
included, unless it is a Saturday, a Sunday, or a legal holiday, or, 
when the act to be done is the filing of a paper in court, a day on 
which weather or other conditions have made the office of the clerk of 
the district court inaccessible, in which event the period runs until 
the end of the next day which is not one of the aforementioned days. 
When the period of time prescribed or allowed is less than 11 days, 
intermediate Saturdays, Sundays, and legal holidays shall be excluded in 
the computation. As used in this rule and in Rule 77(c), ``legal 
holiday'' includes New Year's Day, Birthday of Martin Luther King, Jr., 
Washington's Birthday, Memorial Day, Independence Day, Labor Day, 
Columbus Day, Veterans Day, Thanksgiving Day, Christmas Day, and any 
other day appointed as a holiday by the President or the Congress of the 
United States, or by the state in which the district court is held.
    (b) Enlargement. When by these rules or by a notice given thereunder 
or by order of court an act is required or allowed to be done at or 
within a specified time, the court for cause shown may at any time in 
its discretion (1) with or without motion or notice order the period 
enlarged if request therefor is made before the expiration of the period 
originally prescribed or as extended by a previous order, or (2) upon 
motion made after the expiration of the specified period permit the act 
to be done where the failure to act was the result of excusable neglect; 
but it may not extend the time for taking any action under Rules 50(b) 
and (c)(2), 52(b), 59(b), (d) and (e), and 60(b), except to the extent 
and under the conditions stated in them.
    [(c) Unaffected by Expiration of Term.] (Rescinded Feb. 28, 1966, 
eff. July 1, 1966)
    (d) For Motions--Affidavits. A written motion, other than one which 
may be heard ex parte, and notice of the hearing thereof shall be served 
not later than 5 days before the time specified for the hearing, unless 
a different period is fixed by these rules or by order of the court. 
Such an order may for cause shown be made on ex parte application. When 
a motion is supported by affidavit, the affidavit shall be served with 
the motion; and, except as otherwise provided in Rule 59(c), opposing 
affidavits may be served not later than 1 day before the hearing, unless 
the court permits them to be served at some other time.
    (e) Additional Time After Certain Kinds of Service. Whenever a party 
must or may act within a prescribed period after service and service is 
made under Rule 5(b)(2)(B), (C), or (D), 3 days are added after the 
prescribed period would otherwise expire under subdivision (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.)


                       III. PLEADINGS AND MOTIONS

Rule 7
. Pleadings Allowed; Form of Motions______________________________
    (a) Pleadings. There shall be a complaint and an answer; a reply to 
a counterclaim denominated as such; an answer to a cross-claim, if the 
answer contains a cross-claim; a third-party complaint, if a person who 
was not an original party is summoned under the provisions of Rule 14; 
and a third-party answer, if a third-party complaint is served. No other 
pleading shall be allowed, except that the court may order a reply to an 
answer or a third-party answer.
    (b) Motions and Other Papers.
            (1) An application to the court for an order shall be by 
        motion which, unless made during a hearing or trial, shall be 
        made in writing, shall state with particularity the grounds 
        therefor, and shall set forth the relief or order sought. The 
        requirement of writing is fulfilled if the motion is stated in a 
        written notice of the hearing of the motion.
            (2) The rules applicable to captions and other matters of 
        form of pleadings apply to all motions and other papers provided 
        for by these rules.
            (3) All motions shall be signed in accordance with Rule 11.
    (c) Demurrers, Pleas, Etc., Abolished. Demurrers, pleas, and 
exceptions for insufficiency of a pleading shall not be used.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July 
1, 1963; Apr. 28, 1983, eff. Aug. 1, 1983.)
Rule 7.1
. Disclosure Statement____________________________________________
    (a) Who Must File: Nongovernmental Corporate Party. A 
nongovernmental corporate party to an action or proceeding in a district 
court must file two copies of a statement that identifies any parent 
corporation and any publicly held corporation that owns 10% or more of 
its stock or states that there is no such corporation.
    (b) Time for Filing; Supplemental Filing. A party must:
            (1) file the Rule 7.1(a) statement with its first 
        appearance, pleading, petition, motion, response, or other 
        request addressed to the court, and
            (2) promptly file a supplemental statement upon any change 
        in the information that the statement requires.
(As added Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 8
. General Rules of Pleading_______________________________________
    (a) Claims for Relief. A pleading which sets forth a claim for 
relief, whether an original claim, counterclaim, cross-claim, or third-
party claim, shall contain (1) a short and plain statement of the 
grounds upon which the court's jurisdiction depends, unless the court 
already has jurisdiction and the claim needs no new grounds of 
jurisdiction to support it, (2) a short and plain statement of the claim 
showing that the pleader is entitled to relief, and (3) a demand for 
judgment for the relief the pleader seeks. Relief in the alternative or 
of several different types may be demanded.
    (b) Defenses; Form of Denials. A party shall state in short and 
plain terms the party's defenses to each claim asserted and shall admit 
or deny the averments upon which the adverse party relies. If a party is 
without knowledge or information sufficient to form a belief as to the 
truth of an averment, the party shall so state and this has the effect 
of a denial. Denials shall fairly meet the substance of the averments 
denied. When a pleader intends in good faith to deny only a part or a 
qualification of an averment, the pleader shall specify so much of it as 
is true and material and shall deny only the remainder. Unless the 
pleader intends in good faith to controvert all the averments of the 
preceding pleading, the pleader may make denials as specific denials of 
designated averments or paragraphs or may generally deny all the 
averments except such designated averments or paragraphs as the pleader 
expressly admits; but, when the pleader does so intend to controvert all 
its averments, including averments of the grounds upon which the court's 
jurisdiction depends, the pleader may do so by general denial subject to 
the obligations set forth in Rule 11.
    (c) Affirmative Defenses. In pleading to a preceding pleading, a 
party shall set forth affirmatively accord and satisfaction, arbitration 
and award, assumption of risk, contributory negligence, discharge in 
bankruptcy, duress, estoppel, failure of consideration, fraud, 
illegality, injury by fellow servant, laches, license, payment, release, 
res judicata, statute of frauds, statute of limitations, waiver, and any 
other matter constituting an avoidance or affirmative defense. When a 
party has mistakenly designated a defense as a counterclaim or a 
counterclaim as a defense, the court on terms, if justice so requires, 
shall treat the pleading as if there had been a proper designation.
    (d) Effect of Failure To Deny. Averments in a pleading to which a 
responsive pleading is required, other than those as to the amount of 
damage, are admitted when not denied in the responsive pleading. 
Averments in a pleading to which no responsive pleading is required or 
permitted shall be taken as denied or avoided.
    (e) Pleading To Be Concise and Direct; Consistency.
            (1) Each averment of a pleading shall be simple, concise, 
        and direct. No technical forms of pleading or motions are 
        required.
            (2) A party may set forth two or more statements of a claim 
        or defense alternately or hypothetically, either in one count or 
        defense or in separate counts or defenses. When two or more 
        statements are made in the alternative and one of them if made 
        independently would be sufficient, the pleading is not made 
        insufficient by the insufficiency of one or more of the 
        alternative statements. A party may also state as many separate 
        claims or defenses as the party has regardless of consistency 
        and whether based on legal, equitable, or maritime grounds. All 
        statements shall be made subject to the obligations set forth in 
        Rule 11.
    (f) Construction of Pleadings. All pleadings shall be so construed 
as to do substantial justice.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 9
. Pleading Special Matters________________________________________
    (a) Capacity. It is not necessary to aver the capacity of a party to 
sue or be sued or the authority of a party to sue or be sued in a 
representative capacity or the legal existence of an organized 
association of persons that is made a party, except to the extent 
required to show the jurisdiction of the court. When a party desires to 
raise an issue as to the legal existence of any party or the capacity of 
any party to sue or be sued or the authority of a party to sue or be 
sued in a representative capacity, the party desiring to raise the issue 
shall do so by specific negative averment, which shall include such 
supporting particulars as are peculiarly within the pleader's knowledge.
    (b) Fraud, Mistake, Condition of the Mind. In all averments of fraud 
or mistake, the circumstances constituting fraud or mistake shall be 
stated with particularity. Malice, intent, knowledge, and other 
condition of mind of a person may be averred generally.
    (c) Conditions Precedent. In pleading the performance or occurrence 
of conditions precedent, it is sufficient to aver generally that all 
conditions precedent have been performed or have occurred. A denial of 
performance or occurrence shall be made specifically and with 
particularity.
    (d) Official Document or Act. In pleading an official document or 
official act it is sufficient to aver that the document was issued or 
the act done in compliance with law.
    (e) Judgment. In pleading a judgment or decision of a domestic or 
foreign court, judicial or quasi-judicial tribunal, or of a board or 
officer, it is sufficient to aver the judgment or decision without 
setting forth matter showing jurisdiction to render it.
    (f) Time and Place. For the purpose of testing the sufficiency of a 
pleading, averments of time and place are material and shall be 
considered like all other averments of material matter.
    (g) Special Damage. When items of special damage are claimed, they 
shall be specifically stated.
    (h) Admiralty and Maritime Claims. A pleading or count setting forth 
a claim for relief within the admiralty and maritime jurisdiction that 
is also within the jurisdiction of the district court on some other 
ground may contain a statement identifying the claim as an admiralty or 
maritime claim for the purposes of Rules 14(c), 38(e), 82, and the 
Supplemental Rules for Certain Admiralty and Maritime Claims. If the 
claim is cognizable only in admiralty, it is an admiralty or maritime 
claim for those purposes whether so identified or not. The amendment of 
a pleading to add or withdraw an identifying statement is governed by 
the principles of Rule 15. A case that includes an admiralty or maritime 
claim within this subdivision is an admiralty case within 28 U.S.C. 
Sec. 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.)
Rule 10
. Form of Pleadings_______________________________________________
    (a) Caption; Names of Parties. Every pleading shall contain a 
caption setting forth the name of the court, the title of the action, 
the file number, and a designation as in Rule 7(a). In the complaint the 
title of the action shall include the names of all the parties, but in 
other pleadings it is sufficient to state the name of the first party on 
each side with an appropriate indication of other parties.
    (b) Paragraphs; Separate Statements. All averments of claim or 
defense shall be made in numbered paragraphs, the contents of each of 
which shall be limited as far as practicable to a statement of a single 
set of circumstances; and a paragraph may be referred to by number in 
all succeeding pleadings. Each claim founded upon a separate transaction 
or occurrence and each defense other than denials shall be stated in a 
separate count or defense whenever a separation facilitates the clear 
presentation of the matters set forth.
    (c) Adoption by Reference; Exhibits. Statements in a pleading may be 
adopted by reference in a different part of the same pleading or in 
another pleading or in any motion. A copy of any written instrument 
which is an exhibit to a pleading is a part thereof for all purposes.
Rule 11
. Signing of Pleadings, Motions, and Other Papers; Representations 
to Court; Sanctions_____________________________________________________
    (a) Signature. Every pleading, written motion, and other paper shall 
be signed by at least one attorney of record in the attorney's 
individual name, or, if the party is not represented by an attorney, 
shall be signed by the party. Each paper shall state the signer's 
address and telephone number, if any. Except when otherwise specifically 
provided by rule or statute, pleadings need not be verified or 
accompanied by affidavit. An unsigned paper shall be stricken unless 
omission of the signature is corrected promptly after being called to 
the attention of the attorney or party.
    (b) Representations to Court. By presenting to the court (whether by 
signing, filing, submitting, or later advocating) a pleading, written 
motion, or other paper, an attorney or unrepresented party is certifying 
that to the best of the person's knowledge, information, and belief, 
formed after an inquiry reasonable under the circumstances,--
            (1) it is not being presented for any improper purpose, such 
        as to harass or to cause unnecessary delay or needless increase 
        in the cost of litigation;
            (2) the claims, defenses, and other legal contentions 
        therein are warranted by existing law or by a nonfrivolous 
        argument for the extension, modification, or reversal of 
        existing law or the establishment of new law;
            (3) the allegations and other factual contentions have 
        evidentiary support or, if specifically so identified, are 
        likely to have evidentiary support after a reasonable 
        opportunity for further investigation or discovery; and
            (4) the denials of factual contentions are warranted on the 
        evidence or, if specifically so identified, are reasonably based 
        on a lack of information or belief.
    (c) Sanctions. If, after notice and a reasonable opportunity to 
respond, the court determines that subdivision (b) has been violated, 
the court may, subject to the conditions stated below, impose an 
appropriate sanction upon the attorneys, law firms, or parties that have 
violated subdivision (b) or are responsible for the violation.
            (1) How Initiated.
                    (A) By Motion. A motion for sanctions under this 
                rule shall be made separately from other motions or 
                requests and shall describe the specific conduct alleged 
                to violate subdivision (b). It shall be served as 
                provided in Rule 5, but shall not be filed with or 
                presented to the court unless, within 21 days after 
                service of the motion (or such other period as the court 
                may prescribe), the challenged paper, claim, defense, 
                contention, allegation, or denial is not withdrawn or 
                appropriately corrected. If warranted, the court may 
                award to the party prevailing on the motion the 
                reasonable expenses and attorney's fees incurred in 
                presenting or opposing the motion. Absent exceptional 
                circumstances, a law firm shall be held jointly 
                responsible for violations committed by its partners, 
                associates, and employees.
                    (B) On Court's Initiative. On its own initiative, 
                the court may enter an order describing the specific 
                conduct that appears to violate subdivision (b) and 
                directing an attorney, law firm, or party to show cause 
                why it has not violated subdivision (b) with respect 
                thereto.
            (2) Nature of Sanction; Limitations. A sanction imposed for 
        violation of this rule shall be limited to what is sufficient to 
        deter repetition of such conduct or comparable conduct by others 
        similarly situated. Subject to the limitations in subparagraphs 
        (A) and (B), the sanction may consist of, or include, directives 
        of a nonmonetary nature, an order to pay a penalty into court, 
        or, if imposed on motion and warranted for effective deterrence, 
        an order directing payment to the movant of some or all of the 
        reasonable attorneys' fees and other expenses incurred as a 
        direct result of the violation.
                    (A) Monetary sanctions may not be awarded against a 
                represented party for a violation of subdivision (b)(2).
                    (B) Monetary sanctions may not be awarded on the 
                court's initiative unless the court issues its order to 
                show cause before a voluntary dismissal or settlement of 
                the claims made by or against the party which is, or 
                whose attorneys are, to be sanctioned.
            (3) Order. When imposing sanctions, the court shall describe 
        the conduct determined to constitute a violation of this rule 
        and explain the basis for the sanction imposed.
    (d) Inapplicability to Discovery. Subdivisions (a) through (c) of 
this rule do not apply to disclosures and discovery requests, responses, 
objections, and motions that are subject to the provisions of Rules 26 
through 37.
(As amended Apr. 28, 1983, eff. Aug. 1, 1983; Mar. 2, 1987, eff. Aug. 1, 
1987; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 12
. Defenses and Objections--When and How Presented--By Pleading or 
Motion--Motion for Judgment on the Pleadings____________________________
    (a) When Presented.
            (1) Unless a different time is prescribed in a statute of 
        the United States, a defendant shall serve an answer
                    (A) within 20 days after being served with the 
                summons and complaint, or
                    (B) if service of the summons has been timely waived 
                on request under Rule 4(d), within 60 days after the 
                date when the request for waiver was sent, or within 90 
                days after that date if the defendant was addressed 
                outside any judicial district of the United States.
            (2) A party served with a pleading stating a cross-claim 
        against that party shall serve an answer thereto within 20 days 
        after being served. The plaintiff shall serve a reply to a 
        counterclaim in the answer within 20 days after service of the 
        answer, or, if a reply is ordered by the court, within 20 days 
        after service of the order, unless the order otherwise directs.
            (3)(A) The United States, an agency of the United States, or 
        an officer or employee of the United States sued in an official 
        capacity, shall serve an answer to the complaint or cross-
        claim--or a reply to a counterclaim--within 60 days after the 
        United States attorney is served with the pleading asserting the 
        claim.
            (B) An officer or employee of the United States sued in an 
        individual capacity for acts or omissions occurring in 
        connection with the performance of duties on behalf of the 
        United States shall serve an answer to the complaint or cross-
        claim--or a reply to a counterclaim--within 60 days after 
        service on the officer or employee, or service on the United 
        States attorney, whichever is later.
            (4) Unless a different time is fixed by court order, the 
        service of a motion permitted under this rule alters these 
        periods of time as follows:
                    (A) if the court denies the motion or postpones its 
                disposition until the trial on the merits, the 
                responsive pleading shall be served within 10 days after 
                notice of the court's action; or
                    (B) if the court grants a motion for a more definite 
                statement, the responsive pleading shall be served 
                within 10 days after the service of the more definite 
                statement.
    (b) How Presented. Every defense, in law or fact, to a claim for 
relief in any pleading, whether a claim, counterclaim, cross-claim, or 
third-party claim, shall be asserted in the responsive pleading thereto 
if one is required, except that the following defenses may at the option 
of the pleader be made by motion: (1) lack of jurisdiction over the 
subject matter, (2) lack of jurisdiction over the person, (3) improper 
venue, (4) insufficiency of process, (5) insufficiency of service of 
process, (6) failure to state a claim upon which relief can be granted, 
(7) failure to join a party under Rule 19. A motion making any of these 
defenses shall be made before pleading if a further pleading is 
permitted. No defense or objection is waived by being joined with one or 
more other defenses or objections in a responsive pleading or motion. If 
a pleading sets forth a claim for relief to which the adverse party is 
not required to serve a responsive pleading, the adverse party may 
assert at the trial any defense in law or fact to that claim for relief. 
If, on a motion asserting the defense numbered (6) to dismiss for 
failure of the pleading to state a claim upon which relief can be 
granted, matters outside the pleading are presented to and not excluded 
by the court, the motion shall be treated as one for summary judgment 
and disposed of as provided in Rule 56, and all parties shall be given 
reasonable opportunity to present all material made pertinent to such a 
motion by Rule 56.
    (c) Motion for Judgment on the Pleadings. After the pleadings are 
closed but within such time as not to delay the trial, any party may 
move for judgment on the pleadings. If, on a motion for judgment on the 
pleadings, matters outside the pleadings are presented to and not 
excluded by the court, the motion shall be treated as one for summary 
judgment and disposed of as provided in Rule 56, and all parties shall 
be given reasonable opportunity to present all material made pertinent 
to such a motion by Rule 56.
    (d) Preliminary Hearings. The defenses specifically enumerated (1)-
(7) in subdivision (b) of this rule, whether made in a pleading or by 
motion, and the motion for judgment mentioned in subdivision (c) of this 
rule shall be heard and determined before trial on application of any 
party, unless the court orders that the hearing and determination 
thereof be deferred until the trial.
    (e) Motion for More Definite Statement. If a pleading to which a 
responsive pleading is permitted is so vague or ambiguous that a party 
cannot reasonably be required to frame a responsive pleading, the party 
may move for a more definite statement before interposing a responsive 
pleading. The motion shall point out the defects complained of and the 
details desired. If the motion is granted and the order of the court is 
not obeyed within 10 days after notice of the order or within such other 
time as the court may fix, the court may strike the pleading to which 
the motion was directed or make such order as it deems just.
    (f) Motion To Strike. Upon motion made by a party before responding 
to a pleading or, if no responsive pleading is permitted by these rules, 
upon motion made by a party within 20 days after the service of the 
pleading upon the party or upon the court's own initiative at any time, 
the court may order stricken from any pleading any insufficient defense 
or any redundant, immaterial, impertinent, or scandalous matter.
    (g) Consolidation of Defenses in Motion. A party who makes a motion 
under this rule may join with it any other motions herein provided for 
and then available to the party. If a party makes a motion under this 
rule but omits therefrom any defense or objection then available to the 
party which this rule permits to be raised by motion, the party shall 
not thereafter make a motion based on the defense or objection so 
omitted, except a motion as provided in subdivision (h)(2) hereof on any 
of the grounds there stated.
    (h) Waiver or Preservation of Certain Defenses.
            (1) A defense of lack of jurisdiction over the person, 
        improper venue, insufficiency of process, or insufficiency of 
        service of process is waived (A) if omitted from a motion in the 
        circumstances described in subdivision (g), or (B) if it is 
        neither made by motion under this rule nor included in a 
        responsive pleading or an amendment thereof permitted by Rule 
        15(a) to be made as a matter of course.
            (2) A defense of failure to state a claim upon which relief 
        can be granted, a defense of failure to join a party 
        indispensable under Rule 19, and an objection of failure to 
        state a legal defense to a claim may be made in any pleading 
        permitted or ordered under Rule 7(a), or by motion for judgment 
        on the pleadings, or at the trial on the merits.
            (3) Whenever it appears by suggestion of the parties or 
        otherwise that the court lacks jurisdiction of the subject 
        matter, the court shall dismiss the action.
(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.)
Rule 13
. Counterclaim and Cross-Claim____________________________________
    (a) Compulsory Counterclaims. A pleading shall state as a 
counterclaim any claim which at the time of serving the pleading the 
pleader has against any opposing party, if it arises out of the 
transaction or occurrence that is the subject matter of the opposing 
party's claim and does not require for its adjudication the presence of 
third parties of whom the court cannot acquire jurisdiction. But the 
pleader need not state the claim if (1) at the time the action was 
commenced the claim was the subject of another pending action, or (2) 
the opposing party brought suit upon the claim by attachment or other 
process by which the court did not acquire jurisdiction to render a 
personal judgment on that claim, and the pleader is not stating any 
counterclaim under this Rule 13.
    (b) Permissive Counterclaims. A pleading may state as a counterclaim 
any claim against an opposing party not arising out of the transaction 
or occurrence that is the subject matter of the opposing party's claim.
    (c) Counterclaim Exceeding Opposing Claim. A counterclaim may or may 
not diminish or defeat the recovery sought by the opposing party. It may 
claim relief exceeding in amount or different in kind from that sought 
in the pleading of the opposing party.
    (d) Counterclaim Against the United States. These rules shall not be 
construed to enlarge beyond the limits now fixed by law the right to 
assert counterclaims or to claim credits against the United States or an 
officer or agency thereof.
    (e) Counterclaim Maturing or Acquired After Pleading. A claim which 
either matured or was acquired by the pleader after serving a pleading 
may, with the permission of the court, be presented as a counterclaim by 
supplemental pleading.
    (f) Omitted Counterclaim. When a pleader fails to set up a 
counterclaim through oversight, inadvertence, or excusable neglect, or 
when justice requires, the pleader may by leave of court set up the 
counterclaim by amendment.
    (g) Cross-Claim Against Co-Party. A pleading may state as a cross-
claim any claim by one party against a co-party arising out of the 
transaction or occurrence that is the subject matter either of the 
original action or of a counterclaim therein or relating to any property 
that is the subject matter of the original action. Such cross-claim may 
include a claim that the party against whom it is asserted is or may be 
liable to the cross-claimant for all or part of a claim asserted in the 
action against the cross-claimant.
    (h) Joinder of Additional Parties. Persons other than those made 
parties to the original action may be made parties to a counterclaim or 
cross-claim in accordance with the provisions of Rules 19 and 20.
    (i) Separate Trials; Separate Judgments. If the court orders 
separate trials as provided in Rule 42(b), judgment on a counterclaim or 
cross-claim may be rendered in accordance with the terms of Rule 54(b) 
when the court has jurisdiction so to do, even if the claims of the 
opposing party have been dismissed or otherwise disposed of.
(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.)
Rule 14
. Third-Party Practice____________________________________________
    (a) When Defendant May Bring in Third Party. At any time after 
commencement of the action a defending party, as a third-party 
plaintiff, may cause a summons and complaint to be served upon a person 
not a party to the action who is or may be liable to the third-party 
plaintiff for all or part of the plaintiff's claim against the third-
party plaintiff. The third-party plaintiff need not obtain leave to make 
the service if the third-party plaintiff files the third-party complaint 
not later than 10 days after serving the original answer. Otherwise the 
third-party plaintiff must obtain leave on motion upon notice to all 
parties to the action. The person served with the summons and third-
party complaint, hereinafter called the third-party defendant, shall 
make any defenses to the third-party plaintiff's claim as provided in 
Rule 12 and any counterclaims against the third-party plaintiff and 
cross-claims against other third-party defendants as provided in Rule 
13. The third-party defendant may assert against the plaintiff any 
defenses which the third-party plaintiff has to the plaintiff's claim. 
The third-party defendant may also assert any claim against the 
plaintiff arising out of the transaction or occurrence that is the 
subject matter of the plaintiff's claim against the third-party 
plaintiff. The plaintiff may assert any claim against the third-party 
defendant arising out of the transaction or occurrence that is the 
subject matter of the plaintiff's claim against the third-party 
plaintiff, and the third-party defendant thereupon shall assert any 
defenses as provided in Rule 12 and any counterclaims and cross-claims 
as provided in Rule 13. Any party may move to strike the third-party 
claim, or for its severance or separate trial. A third-party defendant 
may proceed under this rule against any person not a party to the action 
who is or may be liable to the third-party defendant for all or part of 
the claim made in the action against the third-party defendant. The 
third-party complaint, if within the admiralty and maritime 
jurisdiction, may be in rem against a vessel, cargo, or other property 
subject to admiralty or maritime process in rem, in which case 
references in this rule to the summons include the warrant of arrest, 
and references to the third-party plaintiff or defendant include, where 
appropriate, a person who asserts a right under Supplemental Rule 
C(6)(b)(i) in the property arrested.
    (b) When Plaintiff May Bring in Third Party. When a counterclaim is 
asserted against a plaintiff, the plaintiff may cause a third party to 
be brought in under circumstances which under this rule would entitle a 
defendant to do so.
    (c) Admiralty and Maritime Claims. When a plaintiff asserts an 
admiralty or maritime claim within the meaning of Rule 9(h), the 
defendant or person who asserts a right under Supplemental Rule 
C(6)(b)(i), as a third-party plaintiff, may bring in a third-party 
defendant who may be wholly or partly liable, either to the plaintiff or 
to the third-party plaintiff, by way of remedy over, contribution, or 
otherwise on account of the same transaction, occurrence, or series of 
transactions or occurrences. In such a case the third-party plaintiff 
may also demand judgment against the third-party defendant in favor of 
the plaintiff, in which event the third-party defendant shall make any 
defenses to the claim of the plaintiff as well as to that of the third-
party plaintiff in the manner provided in Rule 12 and the action shall 
proceed as if the plaintiff had commenced it against the third-party 
defendant as well as 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.)
Rule 15
. Amended and Supplemental Pleadings______________________________
    (a) Amendments. A party may amend the party's pleading once as a 
matter of course at any time before a responsive pleading is served or, 
if the pleading is one to which no responsive pleading is permitted and 
the action has not been placed upon the trial calendar, the party may so 
amend it at any time within 20 days after it is served. Otherwise a 
party may amend the party's pleading only by leave of court or by 
written consent of the adverse party; and leave shall be freely given 
when justice so requires. A party shall plead in response to an amended 
pleading within the time remaining for response to the original pleading 
or within 10 days after service of the amended pleading, whichever 
period may be the longer, unless the court otherwise orders.
    (b) Amendments To Conform to the Evidence. When issues not raised by 
the pleadings are tried by express or implied consent of the parties, 
they shall be treated in all respects as if they had been raised in the 
pleadings. Such amendment of the pleadings as may be necessary to cause 
them to conform to the evidence and to raise these issues may be made 
upon motion of any party at any time, even after judgment; but failure 
so to amend does not affect the result of the trial of these issues. If 
evidence is objected to at the trial on the ground that it is not within 
the issues made by the pleadings, the court may allow the pleadings to 
be amended and shall do so freely when the presentation of the merits of 
the action will be subserved thereby and the objecting party fails to 
satisfy the court that the admission of such evidence would prejudice 
the party in maintaining the party's action or defense upon the merits. 
The court may grant a continuance to enable the objecting party to meet 
such evidence.
    (c) Relation Back of Amendments. An amendment of a pleading relates 
back to the date of the original pleading when
            (1) relation back is permitted by the law that provides the 
        statute of limitations applicable to the action, or
            (2) the claim or defense asserted in the amended pleading 
        arose out of the conduct, transaction, or occurrence set forth 
        or attempted to be set forth in the original pleading, or
            (3) the amendment changes the party or the naming of the 
        party against whom a claim is asserted if the foregoing 
        provision (2) is satisfied and, within the period provided by 
        Rule 4(m) for service of the summons and complaint, the party to 
        be brought in by amendment (A) has received such notice of the 
        institution of the action that the party will not be prejudiced 
        in maintaining a defense on the merits, and (B) knew or should 
        have known that, but for a mistake concerning the identity of 
        the proper party, the action would have been brought against the 
        party.
            The delivery or mailing of process to the United States 
        Attorney, or United States Attorney's designee, or the Attorney 
        General of the United States, or an agency or officer who would 
        have been a proper defendant if named, satisfies the requirement 
        of subparagraphs (A) and (B) of this paragraph (3) with respect 
        to the United States or any agency or officer thereof to be 
        brought into the action as a defendant.
    (d) Supplemental Pleadings. Upon motion of a party the court may, 
upon reasonable notice and upon such terms as are just, permit the party 
to serve a supplemental pleading setting forth transactions or 
occurrences or events which have happened since the date of the pleading 
sought to be supplemented. Permission may be granted even though the 
original pleading is defective in its statement of a claim for relief or 
defense. If the court deems it advisable that the adverse party plead to 
the supplemental pleading, it shall so order, specifying the time 
therefor.
(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; Dec. 9, 1991; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 16
. Pretrial Conferences; Scheduling; Management____________________
    (a) Pretrial Conferences; Objectives. In any action, the court may 
in its discretion direct the attorneys for the parties and any 
unrepresented parties to appear before it for a conference or 
conferences before trial for such purposes as
            (1) expediting the 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 the settlement of the case.
    (b) Scheduling and Planning. Except in categories of actions 
exempted by district court rule as inappropriate, the district judge, or 
a magistrate judge when authorized by district court rule, shall, after 
receiving the report from the parties under Rule 26(f) or after 
consulting with the attorneys for the parties and any unrepresented 
parties by a scheduling conference, telephone, mail, or other suitable 
means, enter a scheduling order that limits the time
            (1) to join other parties and to amend the pleadings;
            (2) to file motions; and
            (3) to complete discovery.
The scheduling order also may include
            (4) modifications of the times for disclosures under Rules 
        26(a) and 26(e)(1) and of the extent of discovery to be 
        permitted;
            (5) the date or dates for conferences before trial, a final 
        pretrial conference, and trial; and
            (6) any other matters appropriate in the circumstances of 
        the case.
The order shall issue as soon as practicable but in any event within 90 
days after the appearance of a defendant and within 120 days after the 
complaint has been served on a defendant. A schedule shall not be 
modified except upon a showing of good cause and by leave of the 
district judge or, when authorized by local rule, by a magistrate judge.
    (c) Subjects for Consideration at Pretrial Conferences. At any 
conference under this rule consideration may be given, and the court may 
take appropriate action, with respect to
            (1) the formulation and simplification of the issues, 
        including the elimination of frivolous claims or defenses;
            (2) the necessity or desirability of amendments to the 
        pleadings;
            (3) the possibility of obtaining admissions of fact and of 
        documents which will avoid unnecessary proof, stipulations 
        regarding the authenticity of documents, and advance rulings 
        from the court on the admissibility of evidence;
            (4) the avoidance of unnecessary proof and of cumulative 
        evidence, and limitations or restrictions on the use of 
        testimony under Rule 702 of the Federal Rules of Evidence;
            (5) the appropriateness and timing of summary adjudication 
        under Rule 56;
            (6) the control and scheduling of discovery, including 
        orders affecting disclosures and discovery pursuant to Rule 26 
        and Rules 29 through 37;
            (7) the identification of witnesses and documents, the need 
        and schedule for filing and exchanging pretrial briefs, and the 
        date or dates for further conferences and for trial;
            (8) the advisability of referring matters to a magistrate 
        judge or master;
            (9) settlement and the use of special procedures to assist 
        in resolving the dispute when authorized by statute or local 
        rule;
            (10) the form and substance of the pretrial order;
            (11) the disposition of pending motions;
            (12) the need for adopting special procedures for managing 
        potentially difficult or protracted actions that may involve 
        complex issues, multiple parties, difficult legal questions, or 
        unusual proof problems;
            (13) an order for a separate trial pursuant to Rule 42(b) 
        with respect to a claim, counterclaim, cross-claim, or third-
        party claim, or with respect to any particular issue in the 
        case;
            (14) an order directing a party or parties to present 
        evidence early in the trial with respect to a manageable issue 
        that could, 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);
            (15) an order establishing a reasonable limit on the time 
        allowed for presenting evidence; and
            (16) such other matters as may facilitate the just, speedy, 
        and inexpensive disposition of the action.
At least one of the attorneys for each party participating in any 
conference before trial shall have authority to enter into stipulations 
and to make admissions regarding all matters that the participants may 
reasonably anticipate may be discussed. If appropriate, the court may 
require that a party or its representative be present or reasonably 
available by telephone in order to consider possible settlement of the 
dispute.
    (d) Final Pretrial Conference. Any final pretrial conference shall 
be held as close to the time of trial as reasonable under the 
circumstances. The participants at any such conference shall formulate a 
plan for trial, including a program for facilitating the admission of 
evidence. The conference shall be attended by at least one of the 
attorneys who will conduct the trial for each of the parties and by any 
unrepresented parties.
    (e) Pretrial Orders. After any conference held pursuant to this 
rule, an order shall be entered reciting the action taken. This order 
shall control the subsequent course of the action unless modified by a 
subsequent order. The order following a final pretrial conference shall 
be modified only to prevent manifest injustice.
    (f) Sanctions. If a party or party's attorney fails to obey a 
scheduling or pretrial order, or if no appearance is made on behalf of a 
party at a scheduling or pretrial conference, or if a party or party's 
attorney is substantially unprepared to participate in the conference, 
or if a party or party's attorney fails to participate in good faith, 
the judge, upon motion or the judge's own initiative, may make such 
orders with regard thereto as are just, and among others any of the 
orders provided in Rule 37(b)(2)(B), (C), (D). In lieu of or in addition 
to any other sanction, the judge shall require the party or the attorney 
representing the party or both to pay the reasonable expenses incurred 
because of any noncompliance with this rule, including attorney's fees, 
unless the judge finds that the noncompliance was substantially 
justified or that 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.)


                               IV. PARTIES

Rule 17
. Parties Plaintiff and Defendant; Capacity_______________________
    (a) Real Party in Interest. Every action shall be prosecuted in the 
name of the real party in interest. An executor, administrator, 
guardian, bailee, trustee of an express trust, a party with whom or in 
whose name a contract has been made for the benefit of another, or a 
party authorized by statute may sue in that person's own name without 
joining the party for whose benefit the action is brought; and when a 
statute of the United States so provides, an action for the use or 
benefit of another shall be brought in the name of the United States. No 
action shall be dismissed on the ground that it is not prosecuted in the 
name of the real party in interest until a reasonable time has been 
allowed after objection for ratification of commencement of the action 
by, or joinder or substitution of, the real party in interest; and such 
ratification, joinder, or substitution shall have the same effect as if 
the action had been commenced in the name of the real party in interest.
    (b) Capacity To Sue or Be Sued. The capacity of an individual, other 
than one acting in a representative capacity, to sue or be sued shall be 
determined by the law of the individual's domicile. The capacity of a 
corporation to sue or be sued shall be determined by the law under which 
it was organized. In all other cases capacity to sue or be sued shall be 
determined by the law of the state in which the district court is held, 
except (1) that a partnership or other unincorporated association, which 
has no such capacity by the law of such state, may sue or be sued in its 
common name for the purpose of enforcing for or against it a substantive 
right existing under the Constitution or laws of the United States, and 
(2) that the capacity of a receiver appointed by a court of the United 
States to sue or be sued in a court of the United States is governed by 
Title 28, U.S.C., Sections 754 and 959(a).
    (c) Infants or Incompetent Persons. Whenever an infant or 
incompetent person has a representative, such as a general guardian, 
committee, conservator, or other like fiduciary, the representative may 
sue or defend on behalf of the infant or incompetent person. An infant 
or incompetent person who does not have a duly appointed representative 
may sue by a next friend or by a guardian ad litem. The court shall 
appoint a guardian ad litem for an infant or incompetent person not 
otherwise represented in an action or shall make such other order as it 
deems proper for the protection of the infant or incompetent person.
(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; Nov. 18, 1988.)
Rule 18
. Joinder of Claims and Remedies__________________________________
    (a) Joinder of Claims. A party asserting a claim to relief as an 
original claim, counterclaim, cross-claim, or third-party claim, may 
join, either as independent or as alternate claims, as many claims, 
legal, equitable, or maritime, as the party has against an opposing 
party.
    (b) Joinder of Remedies; Fraudulent Conveyances. Whenever a claim is 
one heretofore cognizable only after another claim has been prosecuted 
to a conclusion, the two claims may be joined in a single action; but 
the court shall grant relief in that action only in accordance with the 
relative substantive rights of the parties. In particular, a plaintiff 
may state a claim for money and a claim to have set aside a conveyance 
fraudulent as to that plaintiff, without first having obtained a 
judgment establishing the claim for money.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 19
. Joinder of Persons Needed for Just Adjudication_________________
    (a) Persons To Be Joined if Feasible. A person who is subject to 
service of process and whose joinder will not deprive the court of 
jurisdiction over the subject matter of the action shall be joined as a 
party in the action if (1) in the person's absence complete relief 
cannot be accorded among those already parties, or (2) the person claims 
an interest relating to the subject of the action and is so situated 
that the disposition of the action in the person's absence may (i) as a 
practical matter impair or impede the person's ability to protect that 
interest or (ii) leave any of the persons already parties subject to a 
substantial risk of incurring double, multiple, or otherwise 
inconsistent obligations by reason of the claimed interest. If the 
person has not been so joined, the court shall order that the person be 
made a party. If the person should join as a plaintiff but refuses to do 
so, the person may be made a defendant, or, in a proper case, an 
involuntary plaintiff. If the joined party objects to venue and joinder 
of that party would render the venue of the action improper, that party 
shall be dismissed from the action.
    (b) Determination by Court Whenever Joinder Not Feasible. If a 
person as described in subdivision (a)(1)-(2) hereof cannot be made a 
party, the court shall determine whether in equity and good conscience 
the action should proceed among the parties before it, or should be 
dismissed, the absent person being thus regarded as indispensable. The 
factors to be considered by the court include: first, to what extent a 
judgment rendered in the person's absence might be prejudicial to the 
person or those already parties; second, the extent to which, by 
protective provisions in the judgment, by the shaping of relief, or 
other measures, the prejudice can be lessened or avoided; third, whether 
a judgment rendered in the person's absence will be adequate; fourth, 
whether the plaintiff will have an adequate remedy if the action is 
dismissed for nonjoinder.
    (c) Pleading Reasons for Nonjoinder. A pleading asserting a claim 
for relief shall state the names, if known to the pleader, of any 
persons as described in subdivision (a)(1)-(2) hereof who are not 
joined, and the reasons why they are not joined.
    (d) Exception of Class Actions. This rule is subject to the 
provisions of Rule 23.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 20
. Permissive Joinder of Parties___________________________________
    (a) Permissive Joinder. All persons may join in one action as 
plaintiffs if they assert any right to relief jointly, severally, or in 
the alternative in respect of or arising out of the same transaction, 
occurrence, or series of transactions or occurrences and if any question 
of law or fact common to all these persons will arise in the action. All 
persons (and any vessel, cargo or other property subject to admiralty 
process in rem) may be joined in one action as defendants if there is 
asserted against them jointly, severally, or in the alternative, any 
right to relief in respect of or arising out of the same transaction, 
occurrence, or series of transactions or occurrences and if any question 
of law or fact common to all defendants will arise in the action. A 
plaintiff or defendant need not be interested in obtaining or defending 
against all the relief demanded. Judgment may be given for one or more 
of the plaintiffs according to their respective rights to relief, and 
against one or more defendants according to their respective 
liabilities.
    (b) Separate Trials. The court may make such orders as will prevent 
a party from being embarrassed, delayed, or put to expense by the 
inclusion of a party against whom the party asserts no claim and who 
asserts no claim against the party, and may order separate trials or 
make other orders to prevent delay or prejudice.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 21
. Misjoinder and Non-Joinder of Parties___________________________
    Misjoinder of parties is not ground for dismissal of an action. 
Parties may be dropped or added by order of the court on motion of any 
party or of its own initiative at any stage of the action and on such 
terms as are just. Any claim against a party may be severed and 
proceeded with separately.
Rule 22
. Interpleader____________________________________________________
    (1) Persons having claims against the plaintiff may be joined as 
defendants and required to interplead when their claims are such that 
the plaintiff is or may be exposed to double or multiple liability. It 
is not ground for objection to the joinder that the claims of the 
several claimants or the titles on which their claims depend do not have 
a common origin or are not identical but are adverse to and independent 
of one another, or that the plaintiff avers that the plaintiff is not 
liable in whole or in part to any or all of the claimants. A defendant 
exposed to similar liability may obtain such interpleader by way of 
cross-claim or counterclaim. The provisions of this rule supplement and 
do not in any way limit the joinder of parties permitted in Rule 20.
    (2) The remedy herein provided is in addition to and in no way 
supersedes or limits the remedy provided by Title 28, U.S.C., 
Sec. Sec. 1335, 1397, and 2361. Actions under those provisions shall be 
conducted in accordance with these rules.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Mar. 2, 1987, eff. Aug. 
1, 1987.)
Rule 23
. Class Actions___________________________________________________
    (a) Prerequisites to a Class Action. One or more members of a class 
may sue or be sued as representative parties on behalf of all 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 protect the interests 
of the class.
    (b) Class Actions Maintainable. An action may be maintained as a 
class action if the prerequisites of subdivision (a) are satisfied, and 
in addition:
            (1) the prosecution of separate actions by or against 
        individual members of the class would create a risk of
                    (A) inconsistent or varying adjudications with 
                respect to individual members of the class which would 
                establish incompatible standards of conduct for the 
                party opposing the class, or
                    (B) adjudications with respect to individual members 
                of the class which would as a practical matter be 
                dispositive of the interests of the other members not 
                parties to the adjudications or substantially impair or 
                impede their ability to protect their interests; or
            (2) the party opposing the class has acted or refused to act 
        on grounds generally applicable to the class, thereby making 
        appropriate final injunctive relief or corresponding declaratory 
        relief with respect to the class as a whole; or
            (3) the court finds that the questions of law or fact common 
        to the members of the class predominate over any questions 
        affecting only individual members, and that a class action is 
        superior to other available methods for the fair and efficient 
        adjudication of the controversy. The matters pertinent to the 
        findings include: (A) the interest of members of the class in 
        individually controlling the prosecution or defense of separate 
        actions; (B) the extent and nature of any litigation concerning 
        the controversy already commenced by or against members of the 
        class; (C) the desirability or undesirability of concentrating 
        the litigation of the claims in the particular forum; (D) the 
        difficulties likely to be encountered in the management of a 
        class action.
    (c) Determining by Order Whether to Certify a Class Action; 
Appointing Class Counsel; Notice and Membership in Class; Judgment; 
Multiple Classes and Subclasses.
            (1)(A) When a person sues or is sued as a representative of 
        a class, the court must--at an early practicable time--determine 
        by order whether to certify the action as a class action.
            (B) An order certifying a class action must define the class 
        and the class claims, issues, or defenses, and must appoint 
        class counsel under Rule 23(g).
            (C) An order under Rule 23(c)(1) may be altered or amended 
        before final judgment.
            (2)(A) For any class certified under Rule 23(b)(1) or (2), 
        the court may direct appropriate notice to the class.
            (B) For any class certified under Rule 23(b)(3), the court 
        must direct to class members the best notice practicable under 
        the circumstances, including individual notice to all members 
        who can be identified through reasonable effort. The notice must 
        concisely and clearly state in plain, easily understood 
        language:
                       the nature of the action,
                       the definition of the class certified,
                       the class claims, issues, or defenses,
                       that a class member may enter an 
                appearance through counsel if the member so desires,
                       that the court will exclude from the 
                class any member who requests exclusion, stating when 
                and how members may elect to be excluded, and
                       the binding effect of a class judgment on 
                class members under Rule 23(c)(3).
            (3) The judgment in an action maintained as a class action 
        under subdivision (b)(1) or (b)(2), whether or not favorable to 
        the class, shall include and describe those whom the court finds 
        to be members of the class. The judgment in an action maintained 
        as a class action under subdivision (b)(3), whether or not 
        favorable to the class, shall include and specify or describe 
        those to whom the notice provided in subdivision (c)(2) was 
        directed, and who have not requested exclusion, and whom the 
        court finds to be members of the class.
            (4) When appropriate (A) an action may be brought or 
        maintained as a class action with respect to particular issues, 
        or (B) a class may be divided into subclasses and each subclass 
        treated as a class, and the provisions of this rule shall then 
        be construed and applied accordingly.
    (d) Orders in Conduct of Actions. In the conduct of actions to which 
this rule applies, the court may make appropriate orders: (1) 
determining the course of proceedings or prescribing measures to prevent 
undue repetition or complication in the presentation of evidence or 
argument; (2) requiring, for the protection of the members of the class 
or otherwise for the fair conduct of the action, that notice be given in 
such manner as the court may direct to some or all of the members of any 
step in the action, or of the proposed extent of the judgment, or of the 
opportunity of members to signify whether they consider the 
representation fair and adequate, to intervene and present claims or 
defenses, or otherwise to come into the action; (3) imposing conditions 
on the representative parties or on intervenors; (4) requiring that the 
pleadings be amended to eliminate therefrom allegations as to 
representation of absent persons, and that the action proceed 
accordingly; (5) dealing with similar procedural matters. The orders may 
be combined with an order under Rule 16, and may be altered or amended 
as may be desirable from time to time.
    (e) Settlement, Voluntary Dismissal, or Compromise.
            (1)(A) The court must approve any settlement, voluntary 
        dismissal, or compromise of the claims, issues, or defenses of a 
        certified class.
            (B) The court must direct notice in a reasonable manner to 
        all class members who would be bound by a proposed settlement, 
        voluntary dismissal, or compromise.
            (C) The court may approve a settlement, voluntary dismissal, 
        or compromise that would bind class members only after a hearing 
        and on finding that the settlement, voluntary dismissal, or 
        compromise is fair, reasonable, and adequate.
            (2) The parties seeking approval of a settlement, voluntary 
        dismissal, or compromise under Rule 23(e)(1) must file a 
        statement identifying any agreement made in connection with the 
        proposed settlement, voluntary dismissal, or compromise.
            (3) In an action previously certified as a class action 
        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 exclusion but did not do so.
            (4)(A) Any class member may object to a proposed settlement, 
        voluntary dismissal, or compromise that requires court approval 
        under Rule 23(e)(1)(A).
            (B) An objection made under Rule 23(e)(4)(A) may be 
        withdrawn only with the court's approval.
    (f) Appeals. A court of appeals may in its discretion permit an 
appeal from an order of a district court granting or denying class 
action certification under this rule if application is made to it within 
ten days after entry of the order. 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.
                    (A) Unless a statute provides otherwise, a court 
                that certifies a class must appoint class counsel.
                    (B) An attorney appointed to serve as class counsel 
                must fairly and adequately represent the interests of 
                the class.
                    (C) In appointing class counsel, the court
                            (i) must consider:

   the work counsel has done in identifying or investigating 
potential claims in the action,

   counsel's experience in handling class actions, other complex 
litigation, and claims of the type asserted in the action,

   counsel's knowledge of the applicable law, and

   the resources counsel will commit to representing the class;

                            (ii) may consider any other matter pertinent 
                        to counsel's ability to fairly and adequately 
                        represent the interests of the class;
                            (iii) may direct potential class counsel to 
                        provide information on any subject pertinent to 
                        the appointment and to propose terms for 
                        attorney fees and nontaxable costs; and
                            (iv) may make further orders in connection 
                        with the appointment.
            (2) Appointment Procedure.
                    (A) The court may designate interim counsel to act 
                on behalf of the putative class before determining 
                whether to certify the action as a class action.
                    (B) When there is one applicant for appointment as 
                class counsel, the court may appoint that applicant only 
                if the applicant is adequate under Rule 23(g)(1)(B) and 
                (C). If more than one adequate applicant seeks 
                appointment as class counsel, the court must appoint the 
                applicant best able to represent the interests of the 
                class.
                    (C) The order appointing class counsel may include 
                provisions about the award of attorney fees or 
                nontaxable costs under Rule 23(h).
    (h) Attorney Fees Award. In an action certified as a class action, 
the court may award reasonable attorney fees and nontaxable costs 
authorized by law or by agreement of the parties as follows:
            (1) Motion for Award of Attorney Fees. A claim for an award 
        of attorney fees and nontaxable costs must be made by motion 
        under Rule 54(d)(2), subject to the provisions of this 
        subdivision, at a time set by the court. 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) Objections to Motion. A class member, or a party from 
        whom payment is sought, may object to the motion.
            (3) Hearing and Findings. The court may hold a hearing and 
        must find the facts and state its conclusions of law on the 
        motion under Rule 52(a).
            (4) Reference to Special Master or Magistrate Judge. The 
        court may refer issues related to the amount of the award to a 
        special master or to 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.)
Rule 23.1
. Derivative Actions by Shareholders______________________________
    In a derivative action brought by one or more shareholders or 
members to enforce a right of a corporation or of an unincorporated 
association, the corporation or association having failed to enforce a 
right which may properly be asserted by it, the complaint shall be 
verified and shall allege (1) that the plaintiff was a shareholder or 
member at the time of the transaction of which the plaintiff complains 
or that the plaintiff's share or membership thereafter devolved on the 
plaintiff by operation of law, and (2) that the action is not a 
collusive one to confer jurisdiction on a court of the United States 
which it would not otherwise have. The complaint shall also allege with 
particularity the efforts, if any, made by the plaintiff to obtain the 
action the plaintiff desires from the directors or comparable authority 
and, if necessary, from the shareholders or members, and the reasons for 
the plaintiff's failure to obtain the action or for not making the 
effort. The derivative action may not be maintained if it appears that 
the plaintiff does not fairly and adequately represent the interests of 
the shareholders or members similarly situated in enforcing the right of 
the corporation or association. The action shall not be dismissed or 
compromised without the approval of the court, and notice of the 
proposed dismissal or compromise shall be given to shareholders or 
members in such manner as the court directs.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Mar. 2, 1987, eff. 
Aug. 1, 1987.)
Rule 23.2
. Actions Relating to Unincorporated Associations_________________
    An action brought by or against the members of an unincorporated 
association as a class by naming certain members as representative 
parties may be maintained only if it appears that the representative 
parties will fairly and adequately protect the interests of the 
association and its members. In the conduct of the action the court may 
make appropriate orders corresponding with those described in Rule 
23(d), and the procedure for dismissal or compromise of the action shall 
correspond with that provided in Rule 23(e).
(As added Feb. 28, 1966, eff. July 1, 1966.)
Rule 24
. Intervention____________________________________________________
    (a) Intervention of Right. Upon timely application anyone shall be 
permitted to intervene in an action: (1) when a statute of the United 
States confers an unconditional right to intervene; or (2) when the 
applicant claims an interest relating to the property or transaction 
which is the subject of the action and the applicant is so situated that 
the disposition of the action may as a practical matter impair or impede 
the applicant's ability to protect that interest, unless the applicant's 
interest is adequately represented by existing parties.
    (b) Permissive Intervention. Upon timely application anyone may be 
permitted to intervene in an action: (1) when a statute of the United 
States confers a conditional right to intervene; or (2) when an 
applicant's claim or defense and the main action have a question of law 
or fact in common. When a party to an action relies for ground of claim 
or defense upon any statute or executive order administered by a federal 
or state governmental officer or agency or upon any regulation, order, 
requirement, or agreement issued or made pursuant to the statute or 
executive order, the officer or agency upon timely application may be 
permitted to intervene in the action. In exercising its discretion the 
court shall consider whether the intervention will unduly delay or 
prejudice the adjudication of the rights of the original parties.
    (c) Procedure. A person desiring to intervene shall serve a motion 
to intervene upon the parties as provided in Rule 5. The motion shall 
state the grounds therefor and shall be accompanied by a pleading 
setting forth the claim or defense for which intervention is sought. The 
same procedure shall be followed when a statute of the United States 
gives a right to intervene. When the constitutionality of an act of 
Congress affecting the public interest is drawn in question in any 
action in which the United States or an officer, agency, or employee 
thereof is not a party, the court shall notify the Attorney General of 
the United States as provided in Title 28, U.S.C., Sec. 2403. When the 
constitutionality of any statute of a State affecting the public 
interest is drawn in question in any action in which that State or any 
agency, officer, or employee thereof is not a party, the court shall 
notify the attorney general of the State as provided in Title 28, U.S.C. 
Sec. 2403. A party challenging the constitutionality of legislation 
should call the attention of the court to its consequential duty, but 
failure to do so is not a waiver of any constitutional right otherwise 
timely asserted.
(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.)
Rule 25
. Substitution of Parties_________________________________________
    (a) Death.
            (1) If a party dies and the claim is not thereby 
        extinguished, the court may order substitution of the proper 
        parties. The motion for substitution may be made by any party or 
        by the successors or representatives of the deceased party and, 
        together with the notice of hearing, shall be served on the 
        parties as provided in Rule 5 and upon persons not parties in 
        the manner provided in Rule 4 for the service of a summons, and 
        may be served in any judicial district. Unless the motion for 
        substitution is made not later than 90 days after the death is 
        suggested upon the record by service of a statement of the fact 
        of the death as provided herein for the service of the motion, 
        the action shall be dismissed as to the deceased party.
            (2) In the event of the death of one or more of the 
        plaintiffs or of one or more of the defendants in an action in 
        which the right sought to be enforced survives only to the 
        surviving plaintiffs or only against the surviving defendants, 
        the action does not abate. The death shall be suggested upon the 
        record and the action shall proceed in favor of or against the 
        surviving parties.
    (b) Incompetency. If a party becomes incompetent, the court upon 
motion served as provided in subdivision (a) of this rule may allow the 
action to be continued by or against the party's representative.
    (c) Transfer of Interest. In case of any transfer of interest, the 
action may be continued by or against the original party, unless the 
court upon motion directs the person to whom the interest is transferred 
to be substituted in the action or joined with the original party. 
Service of the motion shall be made as provided in subdivision (a) of 
this rule.
    (d) Public Officers; Death or Separation From Office.
            (1) When a public officer is a party to an action in his 
        official capacity and during its pendency dies, resigns, or 
        otherwise ceases to hold office, the action does not abate and 
        the officer's successor is automatically substituted as a party. 
        Proceedings following the substitution shall be in the name of 
        the substituted party, but any misnomer not affecting the 
        substantial rights of the parties shall be disregarded. An order 
        of substitution may be entered at any time, but the omission to 
        enter such an order shall not affect the substitution.
            (2) A public officer who sues or is sued in an official 
        capacity may be described as a party by the officer's official 
        title rather than by name; but the court may require the 
        officer's name to be added.
(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.)


                      V. DEPOSITIONS AND DISCOVERY

Rule 26
. General Provisions Governing Discovery; Duty of Disclosure______
    (a) Required Disclosures; Methods to Discover Additional Matter.
            (1) Initial Disclosures. Except in categories of proceedings 
        specified in Rule 26(a)(1)(E), or to the extent otherwise 
        stipulated or directed by order, a party must, without awaiting 
        a discovery request, provide to other parties:
                    (A) the name and, if known, the address and 
                telephone number of each individual likely to have 
                discoverable information that the disclosing party may 
                use to support its claims or defenses, unless solely for 
                impeachment, identifying the subjects of the 
                information;
                    (B) a copy of, or a description by category and 
                location of, all documents, data compilations, and 
                tangible things that are in the possession, custody, or 
                control of the party and that the disclosing party may 
                use to support its claims or defenses, unless solely for 
                impeachment;
                    (C) a computation of any category of damages claimed 
                by the disclosing party, making available for inspection 
                and copying as under Rule 34 the documents or other 
                evidentiary material, not privileged or protected from 
                disclosure, on which such computation is based, 
                including materials bearing on the nature and extent of 
                injuries suffered; and
                    (D) for inspection and copying as under Rule 34 any 
                insurance agreement under which any person carrying on 
                an insurance business may be liable to satisfy part or 
                all of a judgment which may be entered in the action or 
                to indemnify or reimburse for payments made to satisfy 
                the judgment.
                    (E) The following categories of proceedings are 
                exempt from initial disclosure under Rule 26(a)(1):
                            (i) an action for review on an 
                        administrative record;
                            (ii) a petition for habeas corpus or other 
                        proceeding to challenge a criminal conviction or 
                        sentence;
                            (iii) an action brought without counsel by a 
                        person in custody of the United States, a state, 
                        or a state subdivision;
                            (iv) an action to enforce or quash an 
                        administrative summons or subpoena;
                            (v) an action by the United States to 
                        recover benefit payments;
                            (vi) an action by the United States to 
                        collect on a student loan guaranteed by the 
                        United States;
                            (vii) a proceeding ancillary to proceedings 
                        in other courts; and
                            (viii) an action to enforce an arbitration 
                        award.
        These disclosures must be made at or within 14 days after the 
        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 appropriate in the 
        circumstances of the action and states the objection in the Rule 
        26(f) discovery plan. In ruling on the objection, the court must 
        determine what disclosures--if any--are to be made, and set the 
        time for disclosure. Any party first served or otherwise joined 
        after the Rule 26(f) conference must make these disclosures 
        within 30 days after being served or joined unless a different 
        time is set by stipulation or court order. A party must make its 
        initial disclosures based on the information then reasonably 
        available to it and is not excused from making its disclosures 
        because it has not fully completed its investigation of the case 
        or because it challenges the sufficiency of another party's 
        disclosures or because another party has not made its 
        disclosures.
            (2) Disclosure of Expert Testimony.
                    (A) In addition to the disclosures required by 
                paragraph (1), a party shall disclose to other parties 
                the identity of any person who may be used at trial to 
                present evidence under Rules 702, 703, or 705 of the 
                Federal Rules of Evidence.
                    (B) Except as otherwise stipulated or directed by 
                the court, this disclosure shall, with respect to a 
                witness who is retained or specially employed to provide 
                expert testimony in the case or whose duties as an 
                employee of the party regularly involve giving expert 
                testimony, be accompanied by a written report prepared 
                and signed by the witness. The report shall contain a 
                complete statement of all opinions to be expressed and 
                the basis and reasons therefor; the data or other 
                information considered by the witness in forming the 
                opinions; any exhibits to be used as a summary of or 
                support for the opinions; the qualifications of the 
                witness, including a list of all publications authored 
                by the witness within the preceding ten years; the 
                compensation to be paid for the study and testimony; and 
                a listing of any other cases in which the witness has 
                testified as an expert at trial or by deposition within 
                the preceding four years.
                    (C) These disclosures shall be made at the times and 
                in the sequence directed by the court. In the absence of 
                other directions from the court or stipulation by the 
                parties, the disclosures shall be made at least 90 days 
                before the trial date or the date the case is to be 
                ready for trial or, if the evidence is intended solely 
                to contradict or rebut evidence on the same subject 
                matter identified by another party under paragraph 
                (2)(B), within 30 days after the disclosure made by the 
                other party. The parties shall supplement these 
                disclosures when required under subdivision (e)(1).
            (3) Pretrial Disclosures. In addition to the disclosures 
        required by Rule 26(a)(1) and (2), a party must provide to other 
        parties and promptly file with the court the following 
        information regarding the evidence that it may present at trial 
        other than solely for impeachment:
                    (A) the name and, if not previously provided, the 
                address and telephone number of each witness, separately 
                identifying those whom the party expects to present and 
                those whom the party may call if the need arises;
                    (B) the designation of those witnesses whose 
                testimony is expected to be presented by means of a 
                deposition and, if not taken stenographically, a 
                transcript of the pertinent portions of the deposition 
                testimony; and
                    (C) an appropriate identification of each document 
                or other exhibit, including summaries of other evidence, 
                separately identifying those which the party expects to 
                offer and those which the party may offer if the need 
                arises.
        Unless otherwise directed by the court, these disclosures must 
        be made at least 30 days before trial. Within 14 days 
        thereafter, unless a different time is specified by the court, a 
        party may serve and promptly file a list disclosing (i) any 
        objections to the use under Rule 32(a) of a deposition 
        designated by another party under Rule 26(a)(3)(B), and (ii) any 
        objection, together with the grounds therefor, that may be made 
        to the admissibility of materials identified under Rule 
        26(a)(3)(C). Objections not so disclosed, other than objections 
        under Rules 402 and 403 of the Federal Rules of Evidence, are 
        waived unless excused by the court for good cause.
            (4) Form of Disclosures. Unless the court orders otherwise, 
        all disclosures under Rules 26(a)(1) through (3) must be made in 
        writing, signed, and served.
            (5) Methods to Discover Additional Matter. Parties may 
        obtain discovery by one or more of the following methods: 
        depositions upon oral examination or written questions; written 
        interrogatories; production of documents or things or permission 
        to enter upon land or other property under Rule 34 or 
        45(a)(1)(C), for inspection and other purposes; physical and 
        mental examinations; and requests for admission.
    (b) Discovery Scope and Limits. Unless otherwise limited by order of 
the court in accordance with these rules, the scope of discovery is as 
follows:
            (1) In General. Parties may obtain discovery regarding any 
        matter, not privileged, that is relevant to the claim or defense 
        of any party, including the existence, description, nature, 
        custody, condition, and location of any books, documents, or 
        other tangible things and the identity and location of persons 
        having knowledge of any discoverable matter. For good cause, the 
        court may order discovery of any matter relevant to the subject 
        matter involved in the action. Relevant information need not be 
        admissible at the trial if the discovery appears reasonably 
        calculated to lead to the discovery of admissible evidence. All 
        discovery is subject to the limitations imposed by Rule 
        26(b)(2)(i), (ii), and (iii).
            (2) Limitations. By order, the court may alter the limits in 
        these rules on the number of depositions and interrogatories or 
        the length of depositions under Rule 30. By order or local rule, 
        the court may also limit the number of requests under Rule 36. 
        The frequency or extent of use of the discovery methods 
        otherwise permitted under these rules and by any local rule 
        shall be limited by the court if it determines that: (i) the 
        discovery sought is unreasonably cumulative or duplicative, or 
        is obtainable from some other source that is more convenient, 
        less burdensome, or less expensive; (ii) the party seeking 
        discovery has had ample opportunity by discovery in the action 
        to obtain the information sought; or (iii) the burden or expense 
        of the proposed discovery outweighs its likely benefit, taking 
        into account the needs of the case, the amount in controversy, 
        the parties' resources, the importance of the issues at stake in 
        the litigation, and the importance of the proposed discovery in 
        resolving the issues. The court may act upon its own initiative 
        after reasonable notice or pursuant to a motion under Rule 
        26(c).
            (3) Trial Preparation: Materials. Subject to the provisions 
        of subdivision (b)(4) of this rule, a party may obtain discovery 
        of documents and tangible things otherwise discoverable under 
        subdivision (b)(1) of this rule and prepared in anticipation of 
        litigation or for trial by or for another party or by or for 
        that other party's representative (including the other party's 
        attorney, consultant, surety, indemnitor, insurer, or agent) 
        only upon a showing that the party seeking discovery has 
        substantial need of the materials in the preparation of the 
        party's case and that the party is unable without undue hardship 
        to obtain the substantial equivalent of the materials by other 
        means. In ordering discovery of such materials when the required 
        showing has been made, the court shall protect against 
        disclosure of the mental impressions, conclusions, opinions, or 
        legal theories of an attorney or other representative of a party 
        concerning the litigation.
            A party may obtain without the required showing a statement 
        concerning the action or its subject matter previously made by 
        that party. Upon request, a person not a party may obtain 
        without the required showing a statement concerning the action 
        or its subject matter previously made by that person. If the 
        request is refused, the person may move for a court order. The 
        provisions of Rule 37(a)(4) apply to the award of expenses 
        incurred in relation to the motion. For purposes of this 
        paragraph, a statement previously made is (A) a written 
        statement signed or otherwise adopted or approved by the person 
        making it, or (B) a stenographic, mechanical, electrical, or 
        other recording, or a transcription thereof, which is a 
        substantially verbatim recital of an oral statement by the 
        person making it and contemporaneously recorded.
            (4) Trial Preparation: Experts.
                    (A) A party may depose any person who has been 
                identified as an expert whose opinions may be presented 
                at trial. If a report from the expert is required under 
                subdivision (a)(2)(B), the deposition shall not be 
                conducted until after the report is provided.
                    (B) A party may, through interrogatories or by 
                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 
                preparation for trial and who is not expected to be 
                called as a witness at trial only as provided in Rule 
                35(b) or upon a showing of exceptional circumstances 
                under which it is impracticable for the party seeking 
                discovery to obtain facts or opinions on the same 
                subject by other means.
                    (C) Unless manifest injustice would result, (i) the 
                court shall require that the party seeking discovery pay 
                the expert a reasonable fee for time spent in responding 
                to discovery under this subdivision; and (ii) with 
                respect to discovery obtained under subdivision 
                (b)(4)(B) of this rule the court shall require the party 
                seeking discovery to pay the other party a fair portion 
                of the fees and expenses reasonably incurred by the 
                latter party in obtaining facts and opinions from the 
                expert.
            (5) Claims of Privilege or Protection of Trial Preparation 
        Materials. When a party withholds information otherwise 
        discoverable under these rules by claiming that it is privileged 
        or subject to protection as trial preparation material, the 
        party shall make the claim expressly and shall describe the 
        nature of the documents, communications, or things not produced 
        or disclosed in a manner that, without revealing information 
        itself privileged or protected, will enable other parties to 
        assess the applicability of the privilege or protection.
    (c) Protective Orders. Upon motion by a party or by the person from 
whom discovery is sought, accompanied by 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, and 
for good cause shown, the court in which the action is pending or 
alternatively, on matters relating to a deposition, the court in the 
district where the deposition is to be taken may make any order which 
justice requires to protect a party or person from annoyance, 
embarrassment, oppression, or undue burden or expense, including one or 
more of the following:
            (1) that the disclosure or discovery not be had;
            (2) that the disclosure or discovery may be had only on 
        specified terms and conditions, including a designation of the 
        time or place;
            (3) that the discovery may be had only by a method of 
        discovery other than that selected by the party seeking 
        discovery;
            (4) that certain matters not be inquired into, or that the 
        scope of the disclosure or discovery be limited to certain 
        matters;
            (5) that discovery be conducted with no one present except 
        persons designated by the court;
            (6) that a deposition, after being sealed, be opened only by 
        order of the court;
            (7) that a trade secret or other confidential research, 
        development, or commercial information not be revealed or be 
        revealed only in a designated way; and
            (8) that the parties simultaneously file specified documents 
        or information enclosed in sealed envelopes to be opened as 
        directed by the court.
If the motion for a protective order is denied in whole or in part, the 
court may, on such terms and conditions as are just, order that any 
party or other person provide or permit discovery. The provisions of 
Rule 37(a)(4) apply to the award of expenses incurred in relation to the 
motion.
    (d) Timing and Sequence of Discovery. Except in categories of 
proceedings exempted from initial disclosure under Rule 26(a)(1)(E), or 
when authorized under these rules or by order or agreement of the 
parties, a party may not seek discovery from any source before the 
parties have conferred as required by Rule 26(f). Unless the court upon 
motion, for the convenience of parties and witnesses and in the 
interests of justice, orders otherwise, methods of discovery may be used 
in any sequence, and the fact that a party is conducting discovery, 
whether by deposition or otherwise, does not operate to delay any other 
party's discovery.
    (e) Supplementation of Disclosures and Responses. A party who has 
made a disclosure under subdivision (a) or responded to a request for 
discovery with a disclosure or response is under a duty to supplement or 
correct the disclosure or response to include information thereafter 
acquired if ordered by the court or in the following circumstances:
            (1) A party is under a duty to supplement at appropriate 
        intervals its disclosures under subdivision (a) if the party 
        learns that in some material respect the information disclosed 
        is incomplete or incorrect and if the additional or corrective 
        information has not otherwise been made known to the other 
        parties during the discovery process or in writing. With respect 
        to testimony of an expert from whom a report is required under 
        subdivision (a)(2)(B) the duty extends both to information 
        contained in the report and to information provided through a 
        deposition of the expert, and any additions or other changes to 
        this information shall be disclosed by the time the party's 
        disclosures under Rule 26(a)(3) are due.
            (2) A party is under a duty seasonably to amend a prior 
        response to an interrogatory, request for production, or request 
        for admission if the party learns that the response is in some 
        material respect incomplete or incorrect and if the additional 
        or corrective information has not otherwise been made known to 
        the other parties during the discovery process or in writing.
    (f) Conference of Parties; Planning for Discovery. Except in 
categories of proceedings exempted from initial disclosure under Rule 
26(a)(1)(E) or when otherwise ordered, the parties must, as soon as 
practicable and in any event at least 21 days before a scheduling 
conference is held or a scheduling order is due under Rule 16(b), confer 
to consider the nature and basis of their claims and defenses and the 
possibilities for a prompt settlement or resolution of the case, to make 
or arrange for the disclosures required by Rule 26(a)(1), and to develop 
a proposed discovery plan that indicates the parties' views and 
proposals concerning:
            (1) what changes should be made in the timing, form, or 
        requirement for disclosures under Rule 26(a), including a 
        statement as to when disclosures under Rule 26(a)(1) were made 
        or will be made;
            (2) 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 upon particular 
        issues;
            (3) 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
            (4) any other orders that should be entered by the court 
        under Rule 26(c) or under Rule 16(b) and (c).
The attorneys of record and all unrepresented parties that have appeared 
in the case are jointly responsible for arranging the conference, for 
attempting in good faith to agree on the proposed discovery plan, and 
for submitting to the court within 14 days after the conference a 
written report outlining the plan. A court may order that the parties or 
attorneys attend the conference in person. If necessary to comply with 
its expedited schedule for Rule 16(b) conferences, a court may by local 
rule (i) require that the conference between the parties occur fewer 
than 21 days before the scheduling conference is held or a scheduling 
order is due under Rule 16(b), and (ii) require that the written report 
outlining the discovery plan be filed fewer than 14 days after the 
conference between the parties, 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 of Disclosures, Discovery Requests, Responses, and 
Objections.
            (1) Every disclosure made pursuant to subdivision (a)(1) or 
        subdivision (a)(3) shall be signed by at least one attorney of 
        record in the attorney's individual name, whose address shall be 
        stated. An unrepresented party shall sign the disclosure and 
        state the party's address. The signature of the attorney or 
        party constitutes a certification that to the best of the 
        signer's knowledge, information, and belief, formed after a 
        reasonable inquiry, the disclosure is complete and correct as of 
        the time it is made.
            (2) Every discovery request, response, or objection made by 
        a party represented by an attorney shall be signed by at least 
        one attorney of record in the attorney's individual name, whose 
        address shall be stated. An unrepresented party shall sign the 
        request, response, or objection and state the party's address. 
        The signature of the attorney or party constitutes a 
        certification that to the best of the signer's knowledge, 
        information, and belief, formed after a reasonable inquiry, the 
        request, response, or objection is:
                    (A) consistent with these rules and warranted by 
                existing law or a good faith argument for the extension, 
                modification, or reversal of existing law;
                    (B) not interposed for any improper purpose, such as 
                to harass or to cause unnecessary delay or needless 
                increase in the cost of litigation; and
                    (C) not unreasonable or unduly burdensome or 
                expensive, given the needs of the case, the discovery 
                already had in the case, the amount in controversy, and 
                the importance of the issues at stake in the litigation.
        If a request, response, or objection is not signed, it shall be 
        stricken unless it is signed promptly after the omission is 
        called to the attention of the party making the request, 
        response, or objection, and a party shall not be obligated to 
        take any action with respect to it until it is signed.
            (3) If without substantial justification a certification is 
        made in violation of the rule, the court, upon motion or upon 
        its own initiative, shall impose upon the person who made the 
        certification, the party on whose behalf the disclosure, 
        request, response, or objection is made, or both, an appropriate 
        sanction, which may include an order to pay the amount of the 
        reasonable expenses incurred because of the violation, including 
        a reasonable attorney's fee.
(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.)
Rule 27
. Depositions Before Action or Pending Appeal_____________________
    (a) Before Action.
            (1) Petition. A person who desires to perpetuate testimony 
        regarding any matter that may be cognizable in any court of the 
        United States may file a verified petition in the United States 
        district court in the district of the residence of any expected 
        adverse party. The petition shall be entitled in the name of the 
        petitioner and shall show: 1, that the petitioner expects to be 
        a party to an action cognizable in a court of the United States 
        but is presently unable to bring it or cause it to be brought, 
        2, the subject matter of the expected action and the 
        petitioner's interest therein, 3, the facts which the petitioner 
        desires to establish by the proposed testimony and the reasons 
        for desiring to perpetuate it, 4, the names or a description of 
        the persons the petitioner expects will be adverse parties and 
        their addresses so far as known, and 5, the names and addresses 
        of the persons to be examined and the substance of the testimony 
        which the petitioner expects to elicit from each, and shall ask 
        for an order authorizing the petitioner to take the depositions 
        of the persons to be examined named in the petition, for the 
        purpose of perpetuating their testimony.
            (2) Notice and Service. At least 20 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 due diligence on an expected 
        adverse party, the court may order service by publication or 
        otherwise. The court must appoint an attorney to represent 
        persons not served in the manner provided by Rule 4 and to 
        cross-examine the deponent if an unserved person is not 
        otherwise represented. Rule 17(c) applies if any expected 
        adverse party is a minor or is incompetent.
            (3) Order and Examination. If the court is satisfied that 
        the perpetuation of the testimony may prevent a failure or delay 
        of justice, it shall make an order designating or describing the 
        persons whose depositions may be taken and specifying the 
        subject matter of the examination and whether the depositions 
        shall be taken upon oral examination or written interrogatories. 
        The depositions may then be taken in accordance with these 
        rules; and the court may make orders of the character provided 
        for by Rules 34 and 35. For the purpose of applying these rules 
        to depositions for perpetuating testimony, each reference 
        therein to the court in which the action is pending shall be 
        deemed to refer to the court in which the petition for such 
        deposition was filed.
            (4) Use of Deposition. If a deposition to perpetuate 
        testimony is taken under these rules or if, although not so 
        taken, it would be admissible in evidence in the courts of the 
        state in which it is taken, it may be used in any action 
        involving the same subject matter subsequently brought in a 
        United States district court, in accordance with the provisions 
        of Rule 32(a).
    (b) Pending Appeal. If an appeal has been taken from a judgment of a 
district court or before the taking of an appeal if the time therefor 
has not expired, the district court in which the judgment was rendered 
may allow the taking of the depositions of witnesses to perpetuate their 
testimony for use in the event of further proceedings in the district 
court. In such case the party who desires to perpetuate the testimony 
may make a motion in the district court for leave to take the 
depositions, upon the same notice and service thereof as if the action 
was pending in the district court. The motion shall show (1) the names 
and addresses of persons to be examined and the substance of the 
testimony which the party expects to elicit from each; (2) the reasons 
for perpetuating their testimony. If the court finds that the 
perpetuation of the testimony is proper to avoid a failure or delay of 
justice, it may make an order allowing the depositions to be taken and 
may make orders of the character provided for by Rules 34 and 35, and 
thereupon the depositions may be taken and used in the same manner and 
under the same conditions as are prescribed in these rules for 
depositions taken in actions pending in the district court.
    (c) Perpetuation by Action. This rule does not limit the power of a 
court 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.)
Rule 28
. Persons Before Whom Depositions May Be Taken____________________
    (a) Within the United States. Within the United States or within a 
territory or insular possession subject to the jurisdiction of the 
United States, depositions shall be taken before an officer authorized 
to administer oaths by the laws of the United States or of the place 
where the examination is held, or before a person appointed by the court 
in which the action is pending. A person so appointed has power to 
administer oaths and take testimony. The term officer as used in Rules 
30, 31 and 32 includes a person appointed by the court or designated by 
the parties under Rule 29.
    (b) In Foreign Countries. Depositions may be taken in a foreign 
country (1) pursuant to any applicable treaty or convention, or (2) 
pursuant to a letter of request (whether or not captioned a letter 
rogatory), or (3) on notice before a person authorized to administer 
oaths in the place where the examination is held, either by the law 
thereof or by the law of the United States, or (4) before a person 
commissioned by the court, and a person so commissioned shall have the 
power by virtue of the commission to administer any necessary oath and 
take testimony. A commission or a letter of request shall be issued on 
application and notice and on terms that are just and appropriate. It is 
not requisite to the issuance of a commission or a letter of request 
that the taking of the deposition in any other manner is impracticable 
or inconvenient; and both a commission and a letter of request may be 
issued in proper cases. A notice or commission may designate the person 
before whom the deposition is to be taken either by name or descriptive 
title. A letter of request may be addressed ``To the Appropriate 
Authority in [here name the country].'' When a letter of request or any 
other device is used pursuant to any applicable treaty or convention, it 
shall be captioned in the form prescribed by that treaty or convention. 
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 
under these rules.
    (c) Disqualification for Interest. No deposition shall be taken 
before a person who is a relative or employee or attorney or counsel of 
any of the parties, or is a relative or employee of such attorney or 
counsel, or is financially 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.)
Rule 29
. Stipulations Regarding Discovery Procedure______________________
    Unless otherwise directed by the court, the parties may by written 
stipulation (1) provide that depositions may be taken before any person, 
at any time or place, upon any notice, and in any manner and when so 
taken may be used like other depositions, and (2) modify other 
procedures governing or limitations placed upon discovery, except that 
stipulations extending the time provided in Rules 33, 34, and 36 for 
responses to discovery may, if they would interfere with any time set 
for completion of discovery, for hearing of a motion, or for trial, be 
made only with the approval of the court.
(As amended Mar. 30, 1970, eff. July 1, 1970; Apr. 22, 1993, eff. Dec. 
1, 1993.)
Rule 30
. Depositions Upon Oral Examination_______________________________
    (a) When Depositions May Be Taken; When Leave Required.
            (1) A party may take the testimony of any person, including 
        a party, by deposition upon oral examination without leave of 
        court except as provided in paragraph (2). The attendance of 
        witnesses may be compelled by subpoena as provided in Rule 45.
            (2) A party must obtain leave of court, which shall be 
        granted to the extent consistent with the principles stated in 
        Rule 26(b)(2), if the person to be examined is confined in 
        prison or if, without the written stipulation of the parties,
                    (A) a proposed deposition would result in more than 
                ten depositions being taken under this rule or Rule 31 
                by the plaintiffs, or by the defendants, or by third-
                party defendants;
                    (B) the person to be examined already has been 
                deposed in the case; or
                    (C) a party seeks to take a deposition before the 
                time specified in Rule 26(d) unless the notice contains 
                a certification, with supporting facts, that the person 
                to be examined is expected to leave the United States 
                and be unavailable for examination in this country 
                unless deposed before that time.
    (b) Notice of Examination: General Requirements; Method of 
Recording; Production of Documents and Things; Deposition of 
Organization; Deposition by Telephone.
            (1) A party desiring to take the deposition of any person 
        upon oral examination shall give reasonable notice in writing to 
        every other party to the action. The notice shall state the time 
        and place for taking the deposition and the name and address of 
        each person to be examined, if known, and, if the name is not 
        known, a general description sufficient to identify the person 
        or the particular class or group to which the person belongs. If 
        a subpoena duces tecum is to be served on the person to be 
        examined, the designation of the materials to be produced as set 
        forth in the subpoena shall be attached to, or included in, the 
        notice.
            (2) The party taking the deposition shall state in the 
        notice the method by which the testimony shall be recorded. 
        Unless the court orders otherwise, it may be recorded by sound, 
        sound-and-visual, or stenographic means, and the party taking 
        the deposition shall bear the cost of the recording. Any party 
        may arrange for a transcription to be made from the recording of 
        a deposition taken by nonstenographic means.
            (3) With prior notice to the deponent and other parties, any 
        party may designate another method to record the deponent's 
        testimony in addition to the method specified by the person 
        taking the deposition. The additional record or transcript shall 
        be made at that party's expense unless the court otherwise 
        orders.
            (4) Unless otherwise agreed by the parties, a deposition 
        shall be conducted before an officer appointed or designated 
        under Rule 28 and shall begin with a statement on the record by 
        the officer that includes (A) the officer's name and business 
        address; (B) the date, time, and place of the deposition; (C) 
        the name of the deponent; (D) the administration of the oath or 
        affirmation to the deponent; and (E) an identification of all 
        persons present. If the deposition is recorded other than 
        stenographically, the officer shall repeat items (A) through (C) 
        at the beginning of each unit of recorded tape or other 
        recording medium. The appearance or demeanor of deponents or 
        attorneys shall not be distorted through camera or sound-
        recording techniques. At the end of the deposition, the officer 
        shall state on the record that the deposition is complete and 
        shall set forth any stipulations made by counsel concerning the 
        custody of the transcript or recording and the exhibits, or 
        concerning other pertinent matters.
            (5) The notice to a party deponent may be accompanied by a 
        request made in compliance with Rule 34 for the production of 
        documents and tangible things at the taking of the deposition. 
        The procedure of Rule 34 shall apply to the request.
            (6) A party may in the party's notice and in a subpoena name 
        as the deponent a public or private corporation or a partnership 
        or association or governmental agency and describe with 
        reasonable particularity the matters on which examination is 
        requested. In that event, the organization so named shall 
        designate one or more officers, directors, or managing agents, 
        or other persons who consent to testify on its behalf, and may 
        set forth, for each person designated, the matters on which the 
        person will testify. A subpoena shall advise a non-party 
        organization of its duty to make such a designation. The persons 
        so designated shall testify as to matters known or reasonably 
        available to the organization. This subdivision (b)(6) does not 
        preclude taking a deposition by any other procedure authorized 
        in these rules.
            (7) The parties may stipulate in writing or the court may 
        upon motion order that a deposition be taken by telephone or 
        other remote electronic means. For the purposes of this rule and 
        Rules 28(a), 37(a)(1), and 37(b)(1), a deposition taken by such 
        means is taken in the district and at the place where the 
        deponent is to answer questions.
    (c) Examination and Cross-Examination; Record of Examination; Oath; 
Objections. Examination and cross-examination of witnesses may proceed 
as permitted at the trial under the provisions of the Federal Rules of 
Evidence except Rules 103 and 615. The officer before whom the 
deposition is to be taken shall put the witness on oath or affirmation 
and shall personally, or by someone acting under the officer's direction 
and in the officer's presence, record the testimony of the witness. The 
testimony shall be taken stenographically or recorded by any other 
method authorized by subdivision (b)(2) of this rule. All objections 
made at the time of the examination to the qualifications of the officer 
taking the deposition, to the manner of taking it, to the evidence 
presented, to the conduct of any party, or to any other aspect of the 
proceedings shall be noted by the officer upon the record of the 
deposition; but the examination shall proceed, with the testimony being 
taken subject to the objections. In lieu of participating in the oral 
examination, parties may serve written questions in a sealed envelope on 
the party taking the deposition and the party taking the deposition 
shall transmit them to the officer, who shall propound them to the 
witness and record the answers verbatim.
    (d) Schedule and Duration; Motion to Terminate or Limit Examination.
            (1) Any objection during a deposition must be stated 
        concisely and in a non-argumentative and non-suggestive manner. 
        A person may instruct a deponent not to answer only when 
        necessary to preserve a privilege, to enforce a limitation 
        directed by the court, or to present a motion under Rule 
        30(d)(4).
            (2) Unless otherwise authorized by the court or stipulated 
        by the parties, a deposition is limited to one day of seven 
        hours. The court must allow additional time consistent with Rule 
        26(b)(2) if needed for a fair examination of the deponent or if 
        the deponent or another person, or other circumstance, impedes 
        or delays the examination.
            (3) If the court finds that any impediment, delay, or other 
        conduct has frustrated the fair examination of the deponent, it 
        may impose upon the persons responsible an appropriate sanction, 
        including the reasonable costs and attorney's fees incurred by 
        any parties as a result thereof.
            (4) At any time during a deposition, on motion of a party or 
        of the deponent and upon a showing that the examination is being 
        conducted in bad faith or in such manner as unreasonably to 
        annoy, embarrass, or oppress the deponent or party, the court in 
        which the action is pending or the court in the district where 
        the deposition is being taken may order the officer conducting 
        the examination to cease forthwith from taking the deposition, 
        or may limit the scope and manner of the taking of the 
        deposition as provided in Rule 26(c). If the order made 
        terminates the examination, it may be resumed thereafter only 
        upon the order of the court in which the action is pending. Upon 
        demand of the objecting party or deponent, the taking of the 
        deposition must be suspended for the time necessary to make a 
        motion for an order. The provisions of Rule 37(a)(4) apply to 
        the award of expenses incurred in relation to the motion.
    (e) Review by Witness; Changes; Signing. If requested by the 
deponent or a party before completion of the deposition, the deponent 
shall have 30 days after being notified by the officer that the 
transcript or recording is available in which to review the transcript 
or recording and, if there are changes in form or substance, to sign a 
statement reciting such changes and the reasons given by the deponent 
for making them. The officer shall indicate in the certificate 
prescribed by subdivision (f)(1) whether any review was requested and, 
if so, shall append any changes made by the deponent during the period 
allowed.
    (f) Certification and Delivery by Officer; Exhibits; Copies.
            (1) The officer must certify that the witness was duly sworn 
        by the officer and that the deposition is a true record of the 
        testimony given by the witness. This certificate must be in 
        writing and accompany the record of the deposition. Unless 
        otherwise ordered by the court, the officer must securely seal 
        the deposition in an envelope or package indorsed with the title 
        of the action and marked ``Deposition of [here insert name of 
        witness]'' and must promptly send it to the attorney who 
        arranged for the transcript or recording, who must store it 
        under conditions that will protect it against loss, destruction, 
        tampering, or deterioration. Documents and things produced for 
        inspection during the examination of the witness, must, upon the 
        request of a party, be marked for identification and annexed to 
        the deposition and may be inspected and copied by any party, 
        except that if the person producing the materials desires to 
        retain them the person may (A) offer copies to be marked for 
        identification and annexed to the deposition and to serve 
        thereafter as originals if the person affords to all parties 
        fair opportunity to verify the copies by comparison with the 
        originals, or (B) offer the originals to be marked for 
        identification, after giving to each party an opportunity to 
        inspect and copy them, in which event the materials may then be 
        used in the same manner as if annexed to the deposition. Any 
        party may move for an order that the original be annexed to and 
        returned with the deposition to the court, pending final 
        disposition of the case.
            (2) Unless otherwise ordered by the court or agreed by the 
        parties, the officer shall retain stenographic notes of any 
        deposition taken stenographically or a copy of the recording of 
        any deposition taken by another method. Upon payment of 
        reasonable charges therefor, the officer shall furnish a copy of 
        the transcript or other recording of the deposition to any party 
        or to the deponent.
            (3) The party taking the deposition shall give prompt notice 
        of its filing to all other parties.
    (g) Failure To Attend or To Serve Subpoena; Expenses.
            (1) If the party giving the notice of the taking of a 
        deposition fails to attend and proceed therewith and another 
        party attends in person or by attorney pursuant to the notice, 
        the court may order the party giving the notice to pay to such 
        other party the reasonable expenses incurred by that party and 
        that party's attorney in attending, including reasonable 
        attorney's fees.
            (2) If the party giving the notice of the taking of a 
        deposition of a witness fails to serve a subpoena upon the 
        witness and the witness because of such failure does not attend, 
        and if another party attends in person or by attorney because 
        that party expects the deposition of that witness to be taken, 
        the court may order the party giving the notice to pay to such 
        other party the reasonable expenses incurred by that party and 
        that party's attorney in attending, including reasonable 
        attorney's fees.
(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.)
Rule 31
. Depositions Upon Written Questions______________________________
    (a) Serving Questions; Notice.
            (1) A party may take the testimony of any person, including 
        a party, by deposition upon written questions without leave of 
        court except as provided in paragraph (2). The attendance of 
        witnesses may be compelled by the use of subpoena as provided in 
        Rule 45.
            (2) A party must obtain leave of court, which shall be 
        granted to the extent consistent with the principles stated in 
        Rule 26(b)(2), if the person to be examined is confined in 
        prison or if, without the written stipulation of the parties,
                    (A) a proposed deposition would result in more than 
                ten depositions being taken under this rule or Rule 30 
                by the plaintiffs, or by the defendants, or by third-
                party defendants;
                    (B) the person to be examined has already been 
                deposed in the case; or
                    (C) a party seeks to take a deposition before the 
                time specified in Rule 26(d).
            (3) A party desiring to take a deposition upon written 
        questions shall serve them upon every other party with a notice 
        stating (1) the name and address of the person who is to answer 
        them, if known, and if the name is not known, a general 
        description sufficient to identify the person or the particular 
        class or group to which the person belongs, and (2) the name or 
        descriptive title and address of the officer before whom the 
        deposition is to be taken. A deposition upon written questions 
        may be taken of a public or private corporation or a partnership 
        or association or governmental agency in accordance with the 
        provisions of Rule 30(b)(6).
            (4) Within 14 days after the notice and written questions 
        are served, a party may serve cross questions upon all other 
        parties. Within 7 days after being served with cross questions, 
        a party may serve redirect questions upon all other parties. 
        Within 7 days after being served with redirect questions, a 
        party may serve recross questions upon all other parties. The 
        court may for cause shown enlarge or shorten the time.
    (b) Officer To Take Responses and Prepare Record. A copy of the 
notice and copies of all questions served shall be delivered by the 
party taking the deposition to the officer designated in the notice, who 
shall proceed promptly, in the manner provided by Rule 30(c), (e), and 
(f), to take the testimony of the witness in response to the questions 
and to prepare, certify, and file or mail the deposition, attaching 
thereto the copy of the notice and the questions received by the 
officer.
    (c) Notice of Filing. When the deposition is filed the party taking 
it shall promptly give notice thereof to all other parties.
(As amended Mar. 30, 1970, eff. July 1, 1970; Mar. 2, 1987, eff. Aug. 1, 
1987; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 32
. Use of Depositions in Court Proceedings_________________________
    (a) Use of Depositions. At the trial or upon the hearing of a motion 
or an interlocutory proceeding, any part or all of a deposition, so far 
as admissible under the rules of evidence applied as though the witness 
were then present and testifying, may be used against any party who was 
present or represented at the taking of the deposition or who had 
reasonable notice thereof, in accordance with any of the following 
provisions:
            (1) Any deposition may be used by any party for the purpose 
        of contradicting or impeaching the testimony of deponent as a 
        witness, or for any other purpose permitted by the Federal Rules 
        of Evidence.
            (2) The deposition of a party or of anyone who at the time 
        of taking the deposition was an officer, director, or managing 
        agent, or a person designated under Rule 30(b)(6) or 31(a) to 
        testify on behalf of a public or private corporation, 
        partnership or association or governmental agency which is a 
        party may be used by an adverse party for any purpose.
            (3) The deposition of a witness, whether or not a party, may 
        be used by any party for any purpose if the court finds:
                    (A) that the witness is dead; or
                    (B) that the witness is at a greater distance than 
                100 miles from the place of trial or hearing, or is out 
                of the United States, unless it appears that the absence 
                of the witness was procured by the party offering the 
                deposition; or
                    (C) that the witness is unable to attend or testify 
                because of age, illness, infirmity, or imprisonment; or
                    (D) that the party offering the deposition has been 
                unable to procure the attendance of the witness by 
                subpoena; or
                    (E) upon application and notice, that such 
                exceptional circumstances exist as to make it desirable, 
                in the interest of justice and with due regard to the 
                importance of presenting the testimony of witnesses 
                orally in open court, to allow the deposition to be 
                used.
        A deposition taken without leave of court pursuant to a notice 
        under Rule 30(a)(2)(C) shall not be used against a party who 
        demonstrates that, when served with the notice, it was unable 
        through the exercise of diligence to obtain counsel to represent 
        it at the taking of the deposition; nor shall a deposition be 
        used against a party who, having received less than 11 days 
        notice of a deposition, has promptly upon receiving such notice 
        filed a motion for a protective order under Rule 26(c)(2) 
        requesting that the deposition not be held or be held at a 
        different time or place and such motion is pending at the time 
        the deposition is held.
            (4) If only part of a deposition is offered in evidence by a 
        party, an adverse party may require the offeror to introduce any 
        other part which ought in fairness to be considered with the 
        part introduced, and any party may introduce any other parts.
            Substitution of parties pursuant to Rule 25 does not affect 
        the right to use depositions previously taken; and, when an 
        action has been brought in any court of the United States or of 
        any State and another action involving the same subject matter 
        is afterward brought between the same parties or their 
        representatives or successors in interest, all depositions 
        lawfully taken and duly filed in the former action may be used 
        in the latter as if originally taken therefor. A deposition 
        previously taken may also be used as permitted by the Federal 
        Rules of Evidence.
    (b) Objections to Admissibility. Subject to the provisions of Rule 
28(b) and subdivision (d)(3) of this rule, objection may be made at the 
trial or hearing to receiving in evidence any deposition or part thereof 
for any reason which would require the exclusion of the evidence if the 
witness were then present and testifying.
    (c) Form of Presentation. Except as otherwise directed by the court, 
a party offering deposition testimony pursuant to this rule may offer it 
in stenographic or nonstenographic form, but, if in nonstenographic 
form, the party shall also provide the court with a transcript of the 
portions so offered. On request of any party in a case tried before a 
jury, deposition testimony offered other than for impeachment purposes 
shall be presented in nonstenographic form, if available, unless the 
court for good cause orders otherwise.
    (d) Effect of Errors and Irregularities in Depositions.
            (1) As to Notice. All errors and irregularities in the 
        notice for taking a deposition are waived unless written 
        objection is promptly served upon the party giving the notice.
            (2) As to Disqualification of Officer. Objection to taking a 
        deposition because of disqualification of the officer before 
        whom it is to be taken is waived unless made before the taking 
        of the deposition begins or as soon thereafter as the 
        disqualification becomes known or could be discovered with 
        reasonable diligence.
            (3) As to Taking of Deposition.
                    (A) Objections to the competency of a witness or to 
                the competency, relevancy, or materiality of testimony 
                are not waived by failure to make them before or during 
                the taking of the deposition, unless the ground of the 
                objection is one which might have been obviated or 
                removed if presented at that time.
                    (B) Errors and irregularities occurring at the oral 
                examination in the manner of taking the deposition, in 
                the form of the questions or answers, in the oath or 
                affirmation, or in the conduct of parties, and errors of 
                any kind which might be obviated, removed, or cured if 
                promptly presented, are waived unless seasonable 
                objection thereto is made at the taking of the 
                deposition.
                    (C) Objections to the form of written questions 
                submitted under Rule 31 are waived unless served in 
                writing upon the party propounding them within the time 
                allowed for serving the succeeding cross or other 
                questions and within 5 days after service of the last 
                questions authorized.
            (4) As to Completion and Return of Deposition. Errors and 
        irregularities in the manner in which the testimony is 
        transcribed or the deposition is prepared, signed, certified, 
        sealed, indorsed, transmitted, filed, or otherwise dealt with by 
        the officer under Rules 30 and 31 are waived unless a motion to 
        suppress the deposition or some part thereof is made with 
        reasonable promptness after such defect is, or with due 
        diligence might have been, ascertained.
(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.)
Rule 33
. Interrogatories to Parties______________________________________
    (a) Availability. Without leave of court or written stipulation, any 
party may serve upon any other party written interrogatories, not 
exceeding 25 in number including all discrete subparts, to be answered 
by the party served or, if the party served is a public or private 
corporation or a partnership or association or governmental agency, by 
any officer or agent, who shall furnish such information as is available 
to the party. Leave to serve additional interrogatories shall be granted 
to the extent consistent with the principles of Rule 26(b)(2). Without 
leave of court or written stipulation, interrogatories may not be served 
before the time specified in Rule 26(d).
    (b) Answers and Objections.
            (1) Each interrogatory shall be answered separately and 
        fully in writing under oath, unless it is objected to, in which 
        event the objecting party shall state the reasons for objection 
        and shall answer to the extent the interrogatory is not 
        objectionable.
            (2) The answers are to be signed by the person making them, 
        and the objections signed by the attorney making them.
            (3) The party upon whom the interrogatories have been served 
        shall serve a copy of the answers, and objections if any, within 
        30 days after the service of the interrogatories. A shorter or 
        longer time may be directed by the court or, in the absence of 
        such an order, agreed to in writing by the parties subject to 
        Rule 29.
            (4) All grounds for an objection to an interrogatory shall 
        be stated with specificity. Any ground not stated in a timely 
        objection is waived unless the party's failure to object is 
        excused by the court for good cause shown.
            (5) The party submitting the interrogatories may move for an 
        order under Rule 37(a) with respect to any objection to or other 
        failure to answer an interrogatory.
    (c) Scope; Use at Trial. Interrogatories may relate to any matters 
which can be inquired into under Rule 26(b)(1), and the answers may be 
used to the extent permitted by the rules of evidence.
    An interrogatory otherwise proper is not necessarily objectionable 
merely because an answer to the interrogatory involves an opinion or 
contention that relates to fact or the application of law to fact, but 
the court may order that such an interrogatory need not be answered 
until after designated discovery has been completed or until a pre-trial 
conference or other later time.
    (d) Option to Produce Business Records. Where the answer to an 
interrogatory may be derived or ascertained from the business records of 
the party upon whom the interrogatory has been served or from an 
examination, audit or inspection of such business records, including a 
compilation, abstract or summary thereof, and the burden of deriving or 
ascertaining the answer is substantially the same for the party serving 
the interrogatory as for the party served, it is a sufficient answer to 
such interrogatory to specify the records from which the answer may be 
derived or ascertained and to afford to the party serving the 
interrogatory reasonable opportunity to examine, audit or inspect such 
records and to make copies, compilations, abstracts or summaries. A 
specification shall be in sufficient detail to permit the interrogating 
party to locate and to identify, as readily as can the party served, the 
records from which the answer may be ascertained.
(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.)
Rule 34
. Production of Documents and Things and Entry Upon Land for 
Inspection and Other Purposes___________________________________________
    (a) Scope. Any party may serve on any other party a request (1) to 
produce and permit the party making the request, or someone acting on 
the requestor's behalf, to inspect and copy, any designated documents 
(including writings, drawings, graphs, charts, photographs, 
phonorecords, and other data compilations from which information can be 
obtained, translated, if necessary, by the respondent through detection 
devices into reasonably usable form), or to inspect and copy, test, or 
sample any tangible things which constitute or contain matters within 
the scope of Rule 26(b) and which are in the possession, custody or 
control of the party upon whom the request is served; or (2) to permit 
entry upon designated land or other property in the possession or 
control of the party upon whom the request is served for the purpose of 
inspection and measuring, surveying, photographing, testing, or sampling 
the property or any designated object or operation thereon, within the 
scope of Rule 26(b).
    (b) Procedure. The request shall set forth, either by individual 
item or by category, the items to be inspected, and describe each with 
reasonable particularity. The request shall specify a reasonable time, 
place, and manner of making the inspection and performing the related 
acts. Without leave of court or written stipulation, a request may not 
be served before the time specified in Rule 26(d).
    The party upon whom the request is served shall serve a written 
response within 30 days after the service of the request. A shorter or 
longer time may be directed by the court or, in the absence of such an 
order, agreed to in writing by the parties, subject to Rule 29. The 
response shall state, with respect to each item or category, that 
inspection and related activities will be permitted as requested, unless 
the request is objected to, in which event the reasons for the objection 
shall be stated. If objection is made to part of an item or category, 
the part shall be specified and inspection permitted of the remaining 
parts. The party submitting the request may move for an order under Rule 
37(a) with respect to any objection to or other failure to respond to 
the request or any part thereof, or any failure to permit inspection as 
requested.
    A party who produces documents for inspection shall produce them as 
they are kept in the usual course of business or shall organize and 
label them to correspond with the categories in the request.
    (c) Persons Not Parties. A person not a party to the action may be 
compelled to produce documents and things or to submit to an inspection 
as provided in Rule 45.
(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.)
Rule 35
. Physical and Mental Examinations of Persons_____________________
    (a) Order for Examination. When the mental or physical condition 
(including the blood group) of a party or of a person in the custody or 
under the legal control of a party, is in controversy, the court in 
which the action is pending may order the party to submit to a physical 
or mental examination by a suitably licensed or certified examiner or to 
produce for examination the person in the party's custody or legal 
control. The order may be made only on motion for good cause shown and 
upon notice to the person to be examined and to all parties and shall 
specify the time, place, manner, conditions, and scope of the 
examination and the person or persons by whom it is to be made.
    (b) Report of Examiner.
            (1) If requested by the party against whom an order is made 
        under Rule 35(a) or the person examined, the party causing the 
        examination to be made shall deliver to the requesting party a 
        copy of the detailed written report of the examiner setting out 
        the examiner's findings, including results of all tests made, 
        diagnoses and conclusions, together with like reports of all 
        earlier examinations of the same condition. After delivery the 
        party causing the examination shall be entitled upon request to 
        receive from the party against whom the order is made a like 
        report of any examination, previously or thereafter made, of the 
        same condition, unless, in the case of a report of examination 
        of a person not a party, the party shows that the party is 
        unable to obtain it. The court on motion may make an order 
        against a party requiring delivery of a report on such terms as 
        are just, and if an examiner fails or refuses to make a report 
        the court may exclude the examiner's testimony if offered at 
        trial.
            (2) By requesting and obtaining a report of the examination 
        so ordered or by taking the deposition of the examiner, the 
        party examined waives any privilege the party may have in that 
        action or any other involving the same controversy, regarding 
        the testimony of every other person who has examined or may 
        thereafter examine the party in respect of the same mental or 
        physical condition.
            (3) This subdivision applies to examinations made by 
        agreement of the parties, unless the agreement expressly 
        provides otherwise. This subdivision does not preclude discovery 
        of a report of an examiner or the taking of a deposition of the 
        examiner in accordance with the provisions of any other rule.
(As amended Mar. 30, 1970, eff. July 1, 1970; Mar. 2, 1987, eff. Aug. 1, 
1987; Nov. 18, 1988; Apr. 30, 1991, eff. Dec. 1, 1991.)
Rule 36
. Requests for Admission__________________________________________
    (a) Request for Admission. A party may serve upon any other party a 
written request for the admission, for purposes of the pending action 
only, of the truth of any matters within the scope of Rule 26(b)(1) set 
forth in the request that relate to statements or opinions of fact or of 
the application of law to fact, including the genuineness of any 
documents described in the request. Copies of documents shall be served 
with the request unless they have been or are otherwise furnished or 
made available for inspection and copying. Without leave of court or 
written stipulation, requests for admission may not be served before the 
time specified in Rule 26(d).
    Each matter of which an admission is requested shall be separately 
set forth. The matter is admitted unless, within 30 days after service 
of the request, or within such shorter or longer time as the court may 
allow or as the parties may agree to in writing, subject to Rule 29, the 
party to whom the request is directed serves upon the party requesting 
the admission a written answer or objection addressed to the matter, 
signed by the party or by the party's attorney. If objection is made, 
the reasons therefor shall be stated. The answer shall specifically deny 
the matter or set forth in detail the reasons why the answering party 
cannot truthfully admit or deny the matter. A denial shall fairly meet 
the substance of the requested admission, and when good faith requires 
that a party qualify an answer or deny only a part of the matter of 
which an admission is requested, the party shall specify so much of it 
as is true and qualify or deny the remainder. An answering party may not 
give lack of information or knowledge as a reason for failure to admit 
or deny unless the party states that the party has made reasonable 
inquiry and that the information known or readily obtainable by the 
party is insufficient to enable the party to admit or deny. A party who 
considers that a matter of which an admission has been requested 
presents a genuine issue for trial may not, on that ground alone, object 
to the request; the party may, subject to the provisions of Rule 37(c), 
deny the matter or set forth reasons why the party cannot admit or deny 
it.
    The party who has requested the admissions may move to determine the 
sufficiency of the answers or objections. Unless the court determines 
that an objection is justified, it shall order that an answer be served. 
If the court determines that an answer does not comply with the 
requirements of this rule, it may order either that the matter is 
admitted or that an amended answer be served. The court may, in lieu of 
these orders, determine that final disposition of the request be made at 
a pre-trial conference or at a designated time prior to trial. The 
provisions of Rule 37(a)(4) apply to the award of expenses incurred in 
relation to the motion.
    (b) Effect of Admission. Any matter admitted under this rule is 
conclusively established unless the court on motion permits withdrawal 
or amendment of the admission. Subject to the provision of Rule 16 
governing amendment of a pre-trial order, the court may permit 
withdrawal or amendment when the presentation of the merits of the 
action will be subserved thereby and the party who obtained the 
admission fails to satisfy the court that withdrawal or amendment will 
prejudice that party in maintaining the action or defense on the merits. 
Any admission made by a party under this rule is for the purpose of the 
pending action only and is not an admission for any other purpose nor 
may it 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.)
Rule 37
. Failure to Make Disclosure or Cooperate in Discovery; Sanctions_
    (a) Motion For Order Compelling Disclosure or Discovery. A party, 
upon reasonable notice to other parties and all persons affected 
thereby, may apply for an order compelling disclosure or discovery as 
follows:
            (1) Appropriate Court. An application for an order to a 
        party shall be made to the court in which the action is pending. 
        An application for an order to a person who is not a party shall 
        be made to the court in the district where the discovery is 
        being, or is to be, taken.
            (2) Motion.
                    (A) If a party fails to make a disclosure required 
                by Rule 26(a), any other party may move to compel 
                disclosure and for appropriate sanctions. The motion 
                must include a certification that the movant has in good 
                faith conferred or attempted to confer with the party 
                not making the disclosure in an effort to secure the 
                disclosure without court action.
                    (B) If a deponent fails to answer a question 
                propounded or submitted under Rules 30 or 31, or a 
                corporation or other entity fails to make a designation 
                under Rule 30(b)(6) or 31(a), or a party fails to answer 
                an interrogatory submitted under Rule 33, or if a party, 
                in response to a request for inspection submitted under 
                Rule 34, fails to respond that inspection will be 
                permitted as requested or fails to permit inspection as 
                requested, the discovering party may move for an order 
                compelling an answer, or a designation, or an order 
                compelling inspection in accordance with the request. 
                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 the discovery in an 
                effort to secure the information or material without 
                court action. When taking a deposition on oral 
                examination, the proponent of the question may complete 
                or adjourn the examination before applying for an order.
            (3) Evasive or Incomplete Disclosure, Answer, or Response. 
        For purposes of this subdivision an evasive or incomplete 
        disclosure, answer, or response is to be treated as a failure to 
        disclose, answer, or respond.
            (4) Expenses and Sanctions.
                    (A) If the motion is granted or if the disclosure or 
                requested discovery is provided after the motion was 
                filed, the court shall, after affording an opportunity 
                to be heard, require the party or deponent whose conduct 
                necessitated the motion or the party or attorney 
                advising such conduct or both of them to pay to the 
                moving party the reasonable expenses incurred in making 
                the motion, including attorney's fees, unless the court 
                finds that the motion was filed without the movant's 
                first making a good faith effort to obtain the 
                disclosure or discovery without court action, or that 
                the opposing party's nondisclosure, response, or 
                objection was substantially justified, or that other 
                circumstances make an award of expenses unjust.
                    (B) If the motion is denied, the court may enter any 
                protective order authorized under Rule 26(c) and shall, 
                after affording an opportunity to be heard, require the 
                moving party or the attorney filing the motion or both 
                of them to pay to the party or deponent who opposed the 
                motion the reasonable expenses incurred in opposing the 
                motion, including attorney's fees, unless the court 
                finds that the making of the motion was substantially 
                justified or that other circumstances make an award of 
                expenses unjust.
                    (C) If the motion is granted in part and denied in 
                part, the court may enter any protective order 
                authorized under Rule 26(c) and may, after affording an 
                opportunity to be heard, apportion the reasonable 
                expenses incurred in relation to the motion among the 
                parties and persons in a just manner.
    (b) Failure To Comply With Order.
            (1) Sanctions by Court in District Where Deposition Is 
        Taken. If a deponent fails to be sworn or to answer a question 
        after being directed to do so by the court in the district in 
        which the deposition is being taken, the failure may be 
        considered a contempt of that court.
            (2) Sanctions by Court in Which Action Is Pending. If a 
        party or an officer, director, or managing agent of a party or a 
        person designated under Rule 30(b)(6) or 31(a) to testify on 
        behalf of a party fails to obey an order to provide or permit 
        discovery, including an order made under subdivision (a) of this 
        rule or Rule 35, or if a party fails to obey an order entered 
        under Rule 26(f), the court in which the action is pending may 
        make such orders in regard to the failure as are just, and among 
        others the following:
                    (A) An order that the matters regarding which the 
                order was made or any other designated facts shall be 
                taken to be established for the purposes of the action 
                in accordance with the claim of the party obtaining the 
                order;
                    (B) An order refusing to allow the disobedient party 
                to support or oppose designated claims or defenses, or 
                prohibiting that party from introducing designated 
                matters in evidence;
                    (C) An order striking out pleadings or parts 
                thereof, or staying further proceedings until the order 
                is obeyed, or dismissing the action or proceeding or any 
                part thereof, or rendering a judgment by default against 
                the disobedient party;
                    (D) In lieu of any of the foregoing orders or in 
                addition thereto, an order treating as a contempt of 
                court the failure to obey any orders except an order to 
                submit to a physical or mental examination;
                    (E) Where a party has failed to comply with an order 
                under Rule 35(a) requiring that party to produce another 
                for examination, such orders as are listed in paragraphs 
                (A), (B), and (C) of this subdivision, unless the party 
                failing to comply shows that that party is unable to 
                produce such person for examination.
                    In lieu of any of the foregoing orders or in 
                addition thereto, the court shall require the party 
                failing to obey the order or the attorney advising that 
                party or both to pay the reasonable expenses, including 
                attorney's fees, caused by the failure, unless the court 
                finds that the failure was substantially justified or 
                that other circumstances make an award of expenses 
                unjust.
    (c) Failure to Disclose; False or Misleading Disclosure; Refusal to 
Admit.
            (1) A party that without substantial justification fails to 
        disclose information required by Rule 26(a) or 26(e)(1), or to 
        amend a prior response to discovery as required by Rule 
        26(e)(2), is not, unless such failure is harmless, permitted to 
        use as evidence at a trial, at a hearing, or on a motion any 
        witness or information not so disclosed. In addition to or in 
        lieu of this sanction, the court, on motion and after affording 
        an opportunity to be heard, may impose other appropriate 
        sanctions. In addition to requiring payment of reasonable 
        expenses, including attorney's fees, caused by the failure, 
        these sanctions may include any of the actions authorized under 
        Rule 37(b)(2)(A), (B), and (C) and may include informing the 
        jury of the failure to make the disclosure.
            (2) If a party fails to admit the genuineness of any 
        document or the truth of any matter as requested under Rule 36, 
        and if the party requesting the admissions thereafter proves the 
        genuineness of the document or the truth of the matter, the 
        requesting party may apply to the court for an order requiring 
        the other party to pay the reasonable expenses incurred in 
        making that proof, including reasonable attorney's fees. The 
        court shall make the order unless it finds that (A) the request 
        was held objectionable pursuant to Rule 36(a), or (B) the 
        admission sought was of no substantial importance, or (C) the 
        party failing to admit had reasonable ground to believe that the 
        party might prevail on the matter, or (D) there was other good 
        reason for the failure to admit.
    (d) Failure of Party to Attend at Own Deposition or Serve Answers to 
Interrogatories or Respond to Request for Inspection. If a party or an 
officer, director, or managing agent of a party or a person designated 
under Rule 30(b)(6) or 31(a) to testify on behalf of a party fails (1) 
to appear before the officer who is to take the deposition, after being 
served with a proper notice, or (2) to serve answers or objections to 
interrogatories submitted under Rule 33, after proper service of the 
interrogatories, or (3) to serve a written response to a request for 
inspection submitted under Rule 34, after proper service of the request, 
the court in which the action is pending on motion may make such orders 
in regard to the failure as are just, and among others it may take any 
action authorized under subparagraphs (A), (B), and (C) of subdivision 
(b)(2) of this rule. Any motion specifying a failure under clause (2) or 
(3) of this subdivision shall include a certification that the movant 
has in good faith conferred or attempted to confer with the party 
failing to answer or respond in an effort to obtain such answer or 
response without court action. In lieu of any order or in addition 
thereto, the court shall require the party failing to act or the 
attorney advising that party or both to pay the reasonable expenses, 
including attorney's fees, caused by the failure unless the court finds 
that the failure was substantially justified or that other circumstances 
make an award of expenses unjust.
    The failure to act described in this subdivision may not be excused 
on the ground that the discovery sought is objectionable unless the 
party failing to act has a pending motion for a protective order as 
provided by Rule 26(c).
    [(e) Subpoena of Person in Foreign Country.] (Abrogated Apr. 29, 
1980, eff. Aug. 1, 1980)
    [(f) Expenses Against United States.] (Repealed Oct. 21, 1980, eff. 
Oct. 1, 1981)
    (g) Failure to Participate in the Framing of a Discovery Plan. If a 
party or a party's attorney fails to participate in good faith in the 
development and submission of a proposed discovery plan as required by 
Rule 26(f), the court may, after opportunity for hearing, require such 
party or attorney to pay to any other party the reasonable expenses, 
including attorney's fees, caused by the failure.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Mar. 30, 1970, eff. July 
1, 1970; Apr. 29, 1980, eff. Aug. 1, 1980; Oct. 21, 1980, eff. Oct. 1, 
1981; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; 
Apr. 17, 2000, eff. Dec. 1, 2000.)


                               VI. TRIALS

Rule 38
. Jury Trial of Right_____________________________________________
    (a) Right Preserved. The right of trial by jury as declared by the 
Seventh Amendment to the Constitution or as given by a statute of the 
United States shall be preserved to the parties inviolate.
    (b) Demand. Any party may demand a trial by jury of any issue 
triable of right by a jury by (1) serving upon the other parties a 
demand therefor in writing at any time after the commencement of the 
action and not later than 10 days after the service of the last pleading 
directed to such issue, and (2) filing the demand as required by Rule 
5(d). Such demand may be indorsed upon a pleading of the party.
    (c) Same: Specification of Issues. In the demand a party may specify 
the issues which the party wishes so tried; otherwise the party shall be 
deemed to have demanded trial by jury for all the issues so triable. If 
the party has demanded trial by jury for only some of the issues, any 
other party within 10 days after service of the demand or such lesser 
time as the court may order, may serve a demand for trial by jury of any 
other or all of the issues of fact in the action.
    (d) Waiver. The failure of a party to serve and file a demand as 
required by this rule constitutes a waiver by the party of trial by 
jury. A demand for trial by jury made as herein provided may not be 
withdrawn without the consent of the parties.
    (e) Admiralty and Maritime Claims. These rules shall not be 
construed to create a right to trial by jury of the issues in an 
admiralty or maritime claim within the meaning of Rule 9(h).
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 39
. Trial by Jury or by the Court___________________________________
    (a) By Jury. When trial by jury has been demanded as provided in 
Rule 38, the action shall be designated upon the docket as a jury 
action. The trial of all issues so demanded shall be by jury, unless (1) 
the parties or their attorneys of record, by written stipulation filed 
with the court or by an oral stipulation made in open court and entered 
in the record, consent to trial by the court sitting without a jury or 
(2) the court upon motion or of its own initiative finds that a right of 
trial by jury of some or all of those issues does not exist under the 
Constitution or statutes of the United States.
    (b) By the Court. Issues not demanded for trial by jury as provided 
in Rule 38 shall be tried by the court; but, notwithstanding the failure 
of a party to demand a jury in an action in which such a demand might 
have been made of right, the court in its discretion upon motion may 
order a trial by a jury of any or all issues.
    (c) Advisory Jury and Trial by Consent. In all actions not triable 
of right by a jury the court upon motion or of its own initiative may 
try any issue with an advisory jury or, except in actions against the 
United States when a statute of the United States provides for trial 
without a jury, the court, with the consent of both parties, may order a 
trial with a jury whose verdict has the same effect as if trial by jury 
had been a matter of right.
Rule 40
. Assignment of Cases for Trial___________________________________
    The district courts shall provide by rule for the placing of actions 
upon the trial calendar (1) without request of the parties or (2) upon 
request of a party and notice to the other parties or (3) in such other 
manner as the courts deem expedient. Precedence shall be given to 
actions entitled thereto by any statute of the United States.
Rule 41
. Dismissal of Actions____________________________________________
    (a) Voluntary Dismissal: Effect Thereof.
            (1) By Plaintiff; by Stipulation. Subject to the provisions 
        of Rule 23(e), of Rule 66, and of any statute of the United 
        States, an action may be dismissed by the plaintiff without 
        order of court (i) by filing a notice of dismissal at any time 
        before service by the adverse party of an answer or of a motion 
        for summary judgment, whichever first occurs, or (ii) by filing 
        a stipulation of dismissal signed by all parties who have 
        appeared in the action. Unless otherwise stated in the notice of 
        dismissal or stipulation, the dismissal is without prejudice, 
        except that a notice of dismissal operates as an adjudication 
        upon the merits when filed by a plaintiff who has once dismissed 
        in any court of the United States or of any state an action 
        based on or including the same claim.
            (2) By Order of Court. Except as provided in paragraph (1) 
        of this subdivision of this rule, an action shall not be 
        dismissed at the plaintiff's instance save upon order of the 
        court and upon such terms and conditions as the court deems 
        proper. If a counterclaim has been pleaded by a defendant prior 
        to the service upon the defendant of the plaintiff's motion to 
        dismiss, the action shall not be dismissed against the 
        defendant's objection unless the counterclaim can remain pending 
        for independent adjudication by the court. Unless otherwise 
        specified in the order, a dismissal under this paragraph is 
        without prejudice.
    (b) Involuntary Dismissal: Effect Thereof. For failure of the 
plaintiff to prosecute or to comply with these rules or any order of 
court, a defendant may move for dismissal of an action or of any claim 
against the defendant. Unless the court in its order for dismissal 
otherwise specifies, a dismissal under this subdivision and any 
dismissal not provided for in this rule, other than a dismissal for lack 
of jurisdiction, for improper venue, or for failure to join a party 
under Rule 19, operates as an adjudication upon the merits.
    (c) Dismissal of Counterclaim, Cross-Claim, or Third-Party Claim. 
The provisions of this rule apply to the dismissal of any counterclaim, 
cross-claim, or third-party claim. A voluntary dismissal by the claimant 
alone pursuant to paragraph (1) of subdivision (a) of this rule shall be 
made before a responsive pleading is served or, if there is none, before 
the introduction of evidence at the trial or hearing.
    (d) Costs of Previously-Dismissed Action. If a plaintiff who has 
once dismissed an action in any court commences an action based upon or 
including the same claim against the same defendant, the court may make 
such order for the payment of costs of the action previously dismissed 
as it may deem proper and may stay the proceedings in the action until 
the plaintiff has complied with the order.
(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. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 
1991.)
Rule 42
. Consolidation; Separate Trials__________________________________
    (a) Consolidation. When actions involving a common question of law 
or fact are pending before the court, it may order a joint hearing or 
trial of any or all the matters in issue in the actions; it may order 
all the actions consolidated; and it may make such orders concerning 
proceedings therein as may tend to avoid unnecessary costs or delay.
    (b) Separate Trials. The court, in furtherance of convenience or to 
avoid prejudice, or when separate trials will be conducive to expedition 
and economy, may order a separate trial of any claim, cross-claim, 
counterclaim, or third-party claim, or of any separate issue or of any 
number of claims, cross-claims, counterclaims, third-party claims, or 
issues, always preserving inviolate the right of trial by jury as 
declared by the Seventh Amendment to the Constitution or as given by a 
statute of the United States.
(As amended Feb. 28, 1966, eff. July 1, 1966.)
Rule 43
. Taking of Testimony_____________________________________________
    (a) Form. In every trial, the testimony of witnesses shall be taken 
in open court, unless a federal law, these rules, the Federal Rules of 
Evidence, or other rules adopted by the Supreme Court provide otherwise. 
The court may, for good cause shown in compelling circumstances and upon 
appropriate safeguards, permit presentation of testimony in open court 
by contemporaneous transmission from a different location.
    [(b) Scope of Examination and Cross-Examination.] (Abrogated Nov. 
20, 1972, and Dec. 18, 1972, eff. July 1, 1975)
    [(c) Record of Excluded Evidence.] (Abrogated Nov. 20, 1972, and 
Dec. 18, 1972, eff. July 1, 1975)
    (d) Affirmation in Lieu of Oath. Whenever under these rules an oath 
is required to be taken, a solemn affirmation may be accepted in lieu 
thereof.
    (e) Evidence on Motions. When a motion is based on facts not 
appearing of record the court may hear the matter on affidavits 
presented by the respective parties, but the court may direct that the 
matter be heard wholly or partly on oral testimony or depositions.
    (f) Interpreters. The court may appoint an interpreter of its own 
selection and may fix the interpreter's reasonable compensation. The 
compensation shall be paid out of funds provided by law or by one or 
more of the parties as the court may direct, and may be taxed ultimately 
as costs, in the discretion of the court.
(As amended Feb. 28, 1966, eff. July 1, 1966; Nov. 20, 1972, and Dec. 
18, 1972, eff. July 1, 1975; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 23, 
1996, eff. Dec. 1, 1996.)
Rule 44
. Proof of Official Record________________________________________
    (a) Authentication.
            (1) Domestic. An official record kept within the United 
        States, or any state, district, or commonwealth, or within a 
        territory subject to the administrative or judicial jurisdiction 
        of the United States, or an entry therein, when admissible for 
        any purpose, may be evidenced by an official publication thereof 
        or by a copy attested by the officer having the legal custody of 
        the record, or by the officer's deputy, and accompanied by a 
        certificate that such officer has the custody. The certificate 
        may be made by a judge of a court of record of the district or 
        political subdivision in which the record is kept, authenticated 
        by the seal of the court, or may be made by any public officer 
        having a seal of office and having official duties in the 
        district or political subdivision in which the record is kept, 
        authenticated by the seal of the officer's office.
            (2) Foreign. A foreign official record, or an entry therein, 
        when admissible for any purpose, may be evidenced by an official 
        publication thereof; or a copy thereof, attested by a person 
        authorized to make the attestation, and accompanied by a final 
        certification as to the genuineness of the signature and 
        official position (i) of the attesting person, or (ii) of any 
        foreign official whose certificate of genuineness of signature 
        and official position relates to the attestation or is in a 
        chain of certificates of genuineness of signature and official 
        position relating to the attestation. A final certification may 
        be made by a secretary of embassy or legation, consul general, 
        vice consul, or consular agent of the United States, or a 
        diplomatic or consular official of the foreign country assigned 
        or accredited to the United States. If reasonable opportunity 
        has been given to all parties to investigate the authenticity 
        and accuracy of the documents, the court may, for good cause 
        shown, (i) admit an attested copy without final certification or 
        (ii) permit the foreign official record to be evidenced by an 
        attested summary with or without a final certification. The 
        final certification is unnecessary if the record and the 
        attestation are certified as provided in a treaty or convention 
        to which the United States and the foreign country in which the 
        official record is located are parties.
    (b) Lack of Record. A written statement that after diligent search 
no record or entry of a specified tenor is found to exist in the records 
designated by the statement, authenticated as provided in subdivision 
(a)(1) of this rule in the case of a domestic record, or complying with 
the requirements of subdivision (a)(2) of this rule for a summary in the 
case of a foreign record, is admissible as evidence that the records 
contain no such record or entry.
    (c) Other Proof. This rule does not prevent the proof of official 
records or of entry or lack of entry therein by any other method 
authorized by law.
(As amended Feb. 28, 1966, eff. July 1, 1966; Mar. 2, 1987, eff. Aug. 1, 
1987; Apr. 30, 1991, eff. Dec. 1, 1991.)
Rule 44.1
. Determination of Foreign Law____________________________________
    A party who intends to raise an issue concerning the law of a 
foreign country shall give notice by pleadings or other reasonable 
written notice. The court, in determining foreign law, may consider any 
relevant material or source, including testimony, whether or not 
submitted by a party or admissible under the Federal Rules of Evidence. 
The court's determination shall be treated as a ruling on a question of 
law.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Nov. 20, 1972, eff. 
July 1, 1975; Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 45
. Subpoena________________________________________________________
    (a) Form; Issuance.
            (1) Every subpoena shall
            (A) state the name of the court from which it is issued; and
            (B) state the title of the action, the name of the court in 
        which it is pending, and its civil action number; and
            (C) command each person to whom it is directed to attend and 
        give testimony or to produce and permit inspection and copying 
        of designated books, documents or tangible things in the 
        possession, custody or control of that person, or to permit 
        inspection of premises, at a time and place therein specified; 
        and
            (D) set forth the text of subdivisions (c) and (d) of this 
        rule.
            A command to produce evidence or to permit inspection may be 
        joined with a command to appear at trial or hearing or at 
        deposition, or may be issued separately.
            (2) A subpoena must issue as follows:
            (A) for attendance at a trial or hearing, from the court for 
        the district where the trial or hearing is to be held;
            (B) for attendance at a deposition, from the court for the 
        district where the deposition is to be taken, stating the method 
        for recording the testimony; and
            (C) for prodution and inspection, if separate from a 
        subpoena commanding a person's attendance, from the court for 
        the district where the production or inspection is to be made.
            (3) The clerk shall issue a subpoena, signed but otherwise 
        in blank, to a party requesting it, who shall complete it before 
        service. An attorney as officer of the court may also issue and 
        sign a subpoena on behalf of
            (A) a court in which the attorney is authorized to practice; 
        or
            (B) a court for a district in which a deposition or 
        production is compelled by the subpoena, if the deposition or 
        production pertains to an action pending in a court in which the 
        attorney is authorized to practice.
    (b) Service.
            (1) A subpoena may be served by any person who is not a 
        party and is not less than 18 years of age. Service of a 
        subpoena upon a person named therein shall be made by delivering 
        a copy thereof to such person and, if the person's attendance is 
        commanded, by tendering to that person the fees for one day's 
        attendance and the mileage allowed by law. When the subpoena is 
        issued on behalf of the United States or an officer or agency 
        thereof, fees and mileage need not be tendered. Prior notice of 
        any commanded production of documents and things or inspection 
        of premises before trial shall be served on each party in the 
        manner prescribed by Rule 5(b).
            (2) Subject to the provisions of clause (ii) of subparagraph 
        (c)(3)(A) of this rule, a subpoena may be served at any place 
        within the district of the court by which it is issued, or at 
        any place without the district that is within 100 miles of the 
        place of the deposition, hearing, trial, production, or 
        inspection specified in the subpoena or at any place within the 
        state where a state statute or rule of court permits service of 
        a subpoena issued by a state court of general jurisdiction 
        sitting in the place of the deposition, hearing, trial, 
        production, or inspection specified in the subpoena. When a 
        statute of the United States provides therefor, the court upon 
        proper application and cause shown may authorize the service of 
        a subpoena at any other place. A subpoena directed to a witness 
        in a foreign country who is a national or resident of the United 
        States shall issue under the circumstances and in the manner and 
        be served as provided in Title 28, U.S.C. Sec. 1783.
            (3) Proof of service when necessary shall be made by filing 
        with the clerk of the court by which the subpoena is issued a 
        statement of the date and manner of service and of the names of 
        the persons served, certified by the person who made the 
        service.
    (c) Protection of Persons Subject to Subpoenas.
            (1) A party or an attorney responsible for the issuance and 
        service of a subpoena shall take reasonable steps to avoid 
        imposing undue burden or expense on a person subject to that 
        subpoena. The court on behalf of which the subpoena was issued 
        shall enforce this duty and impose upon the party or attorney in 
        breach of this duty an appropriate sanction, which may include, 
        but is not limited to, lost earnings and a reasonable attorney's 
        fee.
            (2)(A) A person commanded to produce and permit inspection 
        and copying of designated books, papers, documents or tangible 
        things, or inspection of premises need not appear in person at 
        the place of production or inspection unless commanded to appear 
        for deposition, hearing or trial.
            (B) Subject to paragraph (d)(2) of this rule, a person 
        commanded to produce and permit inspection and copying may, 
        within 14 days after service of the subpoena or before the time 
        specified for compliance if such time is less than 14 days after 
        service, serve upon the party or attorney designated in the 
        subpoena written objection to inspection or copying of any or 
        all of the designated materials or of the premises. If objection 
        is made, the party serving the subpoena shall not be entitled to 
        inspect and copy the materials or inspect the premises except 
        pursuant to an order of the court by which the subpoena was 
        issued. If objection has been made, the party serving the 
        subpoena may, upon notice to the person commanded to produce, 
        move at any time for an order to compel the production. Such an 
        order to compel production shall protect any person who is not a 
        party or an officer of a party from significant expense 
        resulting from the inspection and copying commanded.
            (3)(A) On timely motion, the court by which a subpoena was 
        issued shall quash or modify the subpoena if it
                    (i) fails to allow reasonable time for compliance;
                    (ii) requires a person who is not a party or an 
                officer of a party to travel to a place more than 100 
                miles from the place where that person resides, is 
                employed or regularly transacts business in person, 
                except that, subject to the provisions of clause 
                (c)(3)(B)(iii) of this rule, such a person may in order 
                to attend trial be commanded to travel from any such 
                place within the state in which the trial is held, or
                    (iii) requires disclosure of privileged or other 
                protected matter and no exception or waiver applies, or
                    (iv) subjects a person to undue burden.
            (B) If a subpoena
                    (i) requires disclosure of a trade secret or other 
                confidential research, development, or commercial 
                information, or
                    (ii) requires disclosure of an unretained expert's 
                opinion or information not describing specific events or 
                occurrences in dispute and resulting from the expert's 
                study made not at the request of any party, or
                    (iii) requires a person who is not a party or an 
                officer of a party to incur substantial expense to 
                travel more than 100 miles to attend trial, the court 
                may, to protect a person subject to or affected by the 
                subpoena, quash or modify the subpoena or, if the party 
                in whose behalf the subpoena is issued shows a 
                substantial need for the testimony or material that 
                cannot be otherwise met without undue hardship and 
                assures that the person to whom the subpoena is 
                addressed will be reasonably compensated, the court may 
                order appearance or production only upon specified 
                conditions.
    (d) Duties in Responding to Subpoena.
            (1) A person responding to a subpoena to produce documents 
        shall produce them as they are kept in the usual course of 
        business or shall organize and label them to correspond with the 
        categories in the demand.
            (2) When information subject to a subpoena is withheld on a 
        claim that it is privileged or subject to protection as trial 
        preparation materials, the claim shall be made expressly and 
        shall be supported by a description of the nature of the 
        documents, communications, or things not produced that is 
        sufficient to enable the demanding party to contest the claim.
    (e) Contempt. Failure by any person without adequate excuse to obey 
a subpoena served upon that person may be deemed a contempt of the court 
from which the subpoena issued. An adequate cause for failure to obey 
exists when a subpoena purports to require a non-party to attend or 
produce at a place not within the limits provided by clause (ii) of 
subparagraph (c)(3)(A).
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949; Mar. 30, 1970, eff. July 1, 1970; Apr. 29, 1980, eff. Aug. 1, 
1980; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 1, 1987; 
Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.)
Rule 46
. Exceptions Unnecessary__________________________________________
    Formal exceptions to rulings or orders of the court are unnecessary; 
but for all purposes for which an exception has heretofore been 
necessary it is sufficient that a party, at the time the ruling or order 
of the court is made or sought, makes known to the court the action 
which the party desires the court to take or the party's objection to 
the action of the court and the grounds therefor; and, if a party has no 
opportunity to object to a ruling or order at the time it is made, the 
absence of an objection does not thereafter prejudice the party.
(As amended Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 47
. Selection of Jurors_____________________________________________
    (a) Examination of Jurors. The court may permit the parties or their 
attorneys to conduct the examination of prospective jurors or may itself 
conduct the examination. In the latter event, the court shall permit the 
parties or their attorneys to supplement the examination by such further 
inquiry as it deems proper or shall itself submit to the prospective 
jurors such additional questions of the parties or their attorneys as it 
deems proper.
    (b) Peremptory Challenges. The court shall allow the number of 
peremptory challenges provided by 28 U.S.C. Sec. 1870.
    (c) Excuse. The court may for good cause excuse a juror from service 
during trial or deliberation.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 30, 1991, eff. Dec. 
1, 1991.)
Rule 48
. Number of Jurors--Participation in Verdict______________________
    The court shall seat a jury of not fewer than six and not more than 
twelve members and all jurors shall participate in the verdict unless 
excused from service by the court pursuant to Rule 47(c). Unless the 
parties otherwise stipulate, (1) the verdict shall be unanimous and (2) 
no verdict shall be taken from a jury reduced in size to fewer than six 
members.
(As amended Apr. 30, 1991, eff. Dec. 1, 1991.)
Rule 49
. Special Verdicts and Interrogatories____________________________
    (a) Special Verdicts. The court may require a jury to return only a 
special verdict in the form of a special written finding upon each issue 
of fact. In that event the court may submit to the jury written 
questions susceptible of categorical or other brief answer or may submit 
written forms of the several special findings which might properly be 
made under the pleadings and evidence; or it may use such other method 
of submitting the issues and requiring the written findings thereon as 
it deems most appropriate. The court shall give to the jury such 
explanation and instruction concerning the matter thus submitted as may 
be necessary to enable the jury to make its findings upon each issue. If 
in so doing the court omits any issue of fact raised by the pleadings or 
by the evidence, each party waives the right to a trial by jury of the 
issue so omitted unless before the jury retires the party demands its 
submission to the jury. As to an issue omitted without such demand the 
court may make a finding; or, if it fails to do so, it shall be deemed 
to have made a finding in accord with the judgment on the special 
verdict.
    (b) General Verdict Accompanied by Answer to Interrogatories. The 
court may submit to the jury, together with appropriate forms for a 
general verdict, written interrogatories upon one or more issues of fact 
the decision of which is necessary to a verdict. The court shall give 
such explanation or instruction as may be necessary to enable the jury 
both to make answers to the interrogatories and to render a general 
verdict, and the court shall direct the jury both to make written 
answers and to render a general verdict. When the general verdict and 
the answers are harmonious, the appropriate judgment upon the verdict 
and answers shall be entered pursuant to Rule 58. When the answers are 
consistent with each other but one or more is inconsistent with the 
general verdict, judgment may be entered pursuant to Rule 58 in 
accordance with the answers, notwithstanding the general verdict, or the 
court may return the jury for further consideration of its answers and 
verdict or may order a new trial. When the answers are inconsistent with 
each other and one or more is likewise inconsistent with the general 
verdict, judgment shall not be entered, but the court shall return the 
jury for further consideration of its answers and verdict or shall order 
a new trial.
(As amended Jan. 21, 1963, eff. July 1, 1963; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 50
. Judgment as a Matter of Law in Jury Trials; Alternative Motion 
for New Trial; Conditional Rulings______________________________________
    (a) Judgment as a Matter of Law.
            (1) If during a trial by jury a party has been fully heard 
        on an issue and there is no legally sufficient evidentiary basis 
        for a reasonable jury to find for that party on that issue, the 
        court may determine the issue against that party and may grant a 
        motion for judgment as a matter of law against that party with 
        respect to a claim or defense that cannot under the controlling 
        law be maintained or defeated without a favorable finding on 
        that issue.
            (2) Motions for judgment as a matter of law may be made at 
        any time before submission of the case to the jury. Such a 
        motion shall specify the judgment sought and the law and the 
        facts on which the moving party is entitled to the judgment.
    (b) Renewing Motion for Judgment After Trial; Alternative Motion for 
New Trial. If, for any reason, the court does not grant a motion for 
judgment as a matter of law made at the close of all the evidence, the 
court is considered to have submitted the action to the jury subject to 
the court's later deciding the legal questions raised by the motion. The 
movant may renew its request for judgment as a matter of law by filing a 
motion no later than 10 days after entry of judgment--and may 
alternatively request a new trial or join a motion for a new trial under 
Rule 59. In ruling on a renewed motion, the court may:
            (1) if a verdict was returned:
                    (A) allow the judgment to stand,
                    (B) order a new trial, or
                    (C) direct entry of judgment as a matter of law; or
            (2) if no verdict was returned:
                    (A) order a new trial, or
                    (B) direct entry of judgment as a matter of law.
    (c) Granting Renewed Motion for Judgment as a Matter of Law; 
Conditional Rulings; New Trial Motion.
            (1) If the renewed motion for judgment as a matter of law is 
        granted, the court shall also rule on the motion for a new 
        trial, if any, by determining whether it should be granted if 
        the judgment is thereafter vacated or reversed, and shall 
        specify the grounds for granting or denying the motion for the 
        new trial. If the motion for a new trial is thus conditionally 
        granted, the order thereon does not affect the finality of the 
        judgment. In case the motion for a new trial has been 
        conditionally granted and the judgment is reversed on appeal, 
        the new trial shall proceed unless the appellate court has 
        otherwise ordered. In case the motion for a new trial has been 
        conditionally denied, the appellee on appeal may assert error in 
        that denial; and if the judgment is reversed on appeal, 
        subsequent proceedings shall be in accordance with the order of 
        the appellate court.
            (2) Any motion for a new trial under Rule 59 by a party 
        against whom judgment as a matter of law is rendered shall be 
        filed no later than 10 days after entry of the judgment.
    (d) Same: Denial of Motion for Judgment as a Matter of Law. If the 
motion for judgment as a matter of law is denied, the party who 
prevailed on that motion may, as appellee, assert grounds entitling the 
party to a new trial in the event the appellate court concludes that the 
trial court erred in denying the motion for judgment. If the appellate 
court reverses the judgment, nothing in this rule precludes it from 
determining that the appellee is entitled to a new trial, or from 
directing the trial court to determine whether a new trial shall be 
granted.
(As amended Jan. 21, 1963, eff. July 1, 1963; Mar. 2, 1987, eff. Aug. 1, 
1987; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 27, 1995, eff. Dec. 1, 1995.)
Rule 51
. Instructions to Jury; Objections; Preserving a Claim of Error___
    (a) Requests.
            (1) A party may, at the close of the evidence or at an 
        earlier reasonable time that the court directs, file and furnish 
        to every other party written requests that the court instruct 
        the jury on the law as set forth in the requests.
            (2) After the close of the evidence, a party may:
                    (A) file requests for instructions on issues that 
                could not reasonably have been anticipated at an earlier 
                time for requests set under Rule 51(a)(1), and
                    (B) with the court's permission file untimely 
                requests for instructions on any issue.
    (b) Instructions. The court:
            (1) must inform the parties of its proposed instructions and 
        proposed action on the requests before instructing the jury and 
        before final jury arguments;
            (2) must give the parties an opportunity to object on the 
        record and out of the jury's hearing to the proposed 
        instructions and actions on requests before the instructions and 
        arguments are delivered; and
            (3) may instruct the jury at any time after trial begins and 
        before the jury is discharged.
    (c) Objections.
            (1) A party who objects to an instruction or the failure to 
        give an instruction must do so on the record, stating distinctly 
        the matter objected to and the grounds of the objection.
            (2) An objection is timely if:
                    (A) a party that has been informed of an instruction 
                or action on a request before the jury is instructed and 
                before final jury arguments, as provided by Rule 
                51(b)(1), objects at the opportunity for objection 
                required by Rule 51(b)(2); or
                    (B) a party that has not been informed of an 
                instruction or action on a request before the time for 
                objection provided under Rule 51(b)(2) objects promptly 
                after learning that the instruction or request will be, 
                or has been, given or refused.
    (d) Assigning Error; Plain Error.
            (1) A party may assign as error:
                    (A) an error in an instruction actually given if 
                that party made a proper objection under Rule 51(c), or
                    (B) a failure to give an instruction if that party 
                made a proper request under Rule 51(a), and--unless the 
                court made a definitive ruling on the record rejecting 
                the request--also made a proper objection under Rule 
                51(c).
            (2) A court may consider a plain error in the instructions 
        affecting substantial rights that has not been preserved as 
        required by Rule 51(d)(1)(A) or (B).
(As amended Mar. 2, 1987, eff. Aug. 1, 1987; Mar. 27, 2003, eff. Dec. 1, 
2003.)
Rule 52
. Findings by the Court; Judgment on Partial Findings_____________
    (a) Effect. In all actions tried upon the facts without a jury or 
with an advisory jury, the court shall find the facts specially and 
state separately its conclusions of law thereon, and judgment shall be 
entered pursuant to Rule 58; and in granting or refusing interlocutory 
injunctions the court shall similarly set forth the findings of fact and 
conclusions of law which constitute the grounds of its action. Requests 
for findings are not necessary for purposes of review. Findings of fact, 
whether based on oral or documentary evidence, shall not be set aside 
unless clearly erroneous, and due regard shall be given to the 
opportunity of the trial court to judge of the credibility of the 
witnesses. The findings of a master, to the extent that the court adopts 
them, shall be considered as the findings of the court. It will be 
sufficient if the findings of fact and conclusions of law are stated 
orally and recorded in open court following the close of the evidence or 
appear in an opinion or memorandum of decision filed by the court. 
Findings of fact and conclusions of law are unnecessary on decisions of 
motions under Rules 12 or 56 or any other motion except as provided in 
subdivision (c) of this rule.
    (b) Amendment. On a party's motion filed no later than 10 days after 
entry of judgment, the court may amend its findings--or make additional 
findings--and may amend the judgment accordingly. The motion may 
accompany a motion for a new trial under Rule 59. When findings of fact 
are made in actions tried without a jury, the sufficiency of the 
evidence supporting the findings may be later questioned whether or not 
in the district court the party raising the question objected to the 
findings, moved to amend them, or moved for partial findings.
    (c) Judgment on Partial Findings. If during a trial without a jury a 
party has been fully heard on an issue and the court finds against the 
party on that issue, the court may enter judgment as a matter of law 
against that party with respect to a claim or defense that cannot under 
the controlling law be maintained or defeated without a favorable 
finding on that issue, or the court may decline to render any judgment 
until the close of all the evidence. Such a judgment shall be supported 
by findings of fact and conclusions of law as required by subdivision 
(a) of this rule.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July 
1, 1963; Apr. 28, 1983, eff. Aug. 1, 1983; Apr. 29, 1985, eff. Aug. 1, 
1985; Apr. 30, 1991, eff. Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 27, 1995, eff. Dec. 1, 1995.)
Rule 53
. Masters_________________________________________________________
    (a) Appointment.
            (1) Unless a statute provides otherwise, a court may appoint 
        a master only to:
                    (A) perform duties consented to by the parties;
                    (B) hold trial proceedings and make or recommend 
                findings of fact on issues to be decided by the court 
                without a jury if appointment is warranted by
                            (i) some exceptional condition, or
                            (ii) the need to perform an accounting or 
                        resolve a difficult computation of damages; or
                    (C) address pretrial and post-trial matters that 
                cannot be addressed effectively and timely by an 
                available district judge or magistrate judge of the 
                district.
            (2) A master must not have a relationship to the parties, 
        counsel, action, or court that would require disqualification of 
        a judge under 28 U.S.C. Sec. 455 unless the parties consent with 
        the court's approval to appointment of a particular person after 
        disclosure of any potential grounds for disqualification.
            (3) In appointing a master, the court must consider the 
        fairness of imposing the likely expenses on the parties and must 
        protect against unreasonable expense or delay.
    (b) Order Appointing Master.
            (1) Notice. The court must give the parties notice and an 
        opportunity to be heard before appointing a master. A party may 
        suggest candidates for appointment.
            (2) Contents. The order appointing a master must direct the 
        master to proceed with all reasonable diligence and must state:
                    (A) the master's duties, including any investigation 
                or enforcement duties, and any limits on the master's 
                authority under Rule 53(c);
                    (B) the circumstances--if any--in which the master 
                may communicate ex parte with the court or a party;
                    (C) the nature of the materials to be preserved and 
                filed as the record of the master's activities;
                    (D) the time limits, method of filing the record, 
                other procedures, and standards for reviewing the 
                master's orders, findings, and recommendations; and
                    (E) the basis, terms, and procedure for fixing the 
                master's compensation under Rule 53(h).
            (3) Entry of Order. The court may enter the order appointing 
        a master only after the master has filed an affidavit disclosing 
        whether there is any ground for disqualification under 28 U.S.C. 
        Sec. 455 and, if a ground for disqualification is disclosed, 
        after the parties have consented with the court's approval to 
        waive the disqualification.
            (4) Amendment. The order appointing a master may be amended 
        at any time after notice to the parties, and an opportunity to 
        be heard.
    (c) Master's Authority. Unless the appointing order expressly 
directs otherwise, a master has authority to regulate all proceedings 
and take all appropriate measures to perform fairly and efficiently the 
assigned duties. The master may by order impose upon a party any 
noncontempt sanction provided by Rule 37 or 45, and may recommend a 
contempt sanction against a party and sanctions against a nonparty.
    (d) Evidentiary Hearings. Unless the appointing order expressly 
directs otherwise, a master conducting an evidentiary hearing may 
exercise the power of the appointing court to compel, take, and record 
evidence.
    (e) Master's Orders. A master who makes an order must file the order 
and promptly serve a copy on each party. The clerk must enter the order 
on the docket.
    (f) Master's Reports. A master must report to the court as required 
by the order of appointment. The master must file the report and 
promptly serve a copy of the report on each party unless the court 
directs otherwise.
    (g) Action on Master's Order, Report, or Recommendations.
            (1) Action. In acting on a master's order, report, or 
        recommendations, the court must afford an opportunity to be 
        heard and may receive evidence, and may: adopt or affirm; 
        modify; wholly or partly reject or reverse; or resubmit to the 
        master with instructions.
            (2) Time To Object or Move. A party may file objections to--
        or a motion to adopt or modify--the master's order, report, or 
        recommendations no later than 20 days from the time the master's 
        order, report, or recommendations are served, unless the court 
        sets a different time.
            (3) Fact Findings. The court must decide de novo all 
        objections to findings of fact made or recommended by a master 
        unless the parties stipulate with the court's consent that:
                    (A) the master's findings will be reviewed for clear 
                error, or
                    (B) the findings of a master appointed under Rule 
                53(a)(1)(A) or (C) will be final.
            (4) Legal Conclusions. The court must decide de novo all 
        objections to conclusions of law made or recommended by a 
        master.
            (5) Procedural Matters. Unless the order of appointment 
        establishes a different standard of review, the court may set 
        aside a master's ruling on a procedural matter only for an abuse 
        of discretion.
    (h) Compensation.
            (1) Fixing Compensation. The court must fix the master's 
        compensation before or after judgment on the basis and terms 
        stated in the order of appointment, but the court may set a new 
        basis and terms after notice and an opportunity to be heard.
            (2) Payment. The compensation fixed under Rule 53(h)(1) must 
        be paid either:
                    (A) by a party or parties; or
                    (B) from a fund or subject matter of the action 
                within the court's control.
            (3) Allocation. The court must allocate payment of the 
        master's compensation among the parties after considering the 
        nature and amount of the controversy, the means of the parties, 
        and the extent to which any party is more responsible than other 
        parties for the reference to a master. An interim allocation may 
        be amended to reflect a decision on the merits.
    (i) Appointment of Magistrate Judge. A magistrate judge is subject 
to this rule only when the order referring a matter to the magistrate 
judge expressly provides that the reference is made under this rule.
(As amended Feb. 28, 1966, eff. July 1, 1966; Apr. 28, 1983, eff. Aug. 
1, 1983; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 
1991; Apr. 22, 1993, eff. Dec. 1, 1993; Mar. 27, 2003, eff. Dec. 1, 
2003.)


                              VII. JUDGMENT

Rule 54
. Judgments; Costs________________________________________________
    (a) Definition; Form. ``Judgment'' as used in these rules includes a 
decree and any order from which an appeal lies. A judgment shall not 
contain a recital of pleadings, the report of a master, or the record of 
prior proceedings.
    (b) Judgment Upon Multiple Claims or Involving Multiple Parties. 
When more than one claim for relief is presented in an action, whether 
as a claim, counterclaim, cross-claim, or third-party claim, or when 
multiple parties are involved, the court may direct the entry of a final 
judgment as to one or more but fewer than all of the claims or parties 
only upon an express determination that there is no just reason for 
delay and upon an express direction for the entry of judgment. In the 
absence of such determination and direction, any order or other form of 
decision, however designated, which adjudicates fewer than all the 
claims or the rights and liabilities of fewer than all the parties shall 
not terminate the action as to any of the claims or parties, and the 
order or other form of decision is subject to revision at any time 
before the entry of judgment adjudicating all the claims and the rights 
and liabilities of all the parties.
    (c) Demand for Judgment. A judgment by default shall not be 
different in kind from or exceed in amount that prayed for in the demand 
for judgment. Except as to a party against whom a judgment is entered by 
default, every final judgment shall grant the relief to which the party 
in whose favor it is rendered is entitled, even if the party has not 
demanded such relief in the party's pleadings.
    (d) Costs; Attorneys' Fees.
            (1) Costs Other than Attorneys' Fees. Except when express 
        provision therefor is made either in a statute of the United 
        States or in these rules, costs other than attorneys' fees shall 
        be allowed as of course to the prevailing party unless the court 
        otherwise directs; but costs against the United States, its 
        officers, and agencies shall be imposed only to the extent 
        permitted by law. Such costs may be taxed by the clerk on one 
        day's notice. On motion served within 5 days thereafter, the 
        action of the clerk may be reviewed by the court.
            (2) Attorneys' Fees.
                    (A) Claims for attorneys' fees and related 
                nontaxable expenses shall be made by motion unless the 
                substantive law governing the action provides for the 
                recovery of such fees as an element of damages to be 
                proved at trial.
                    (B) Unless otherwise provided by statute or order of 
                the court, the motion must be filed no later than 14 
                days after entry of judgment; must specify the judgment 
                and the statute, rule, or other grounds entitling the 
                moving party to the award; and must state the amount or 
                provide a fair estimate of the amount sought. If 
                directed by the court, the motion shall also disclose 
                the terms of any agreement with respect to fees to be 
                paid for the services for which claim is made.
                    (C) On request of a party or class member, the court 
                shall afford an opportunity for adversary submissions 
                with respect to the motion in accordance with Rule 43(e) 
                or Rule 78. The court may determine issues of liability 
                for fees before receiving submissions bearing on issues 
                of evaluation of services for which liability is imposed 
                by the court. The court shall find the facts and state 
                its conclusions of law as provided in Rule 52(a).
                    (D) By local rule the court may establish special 
                procedures by which issues relating to such fees may be 
                resolved without extensive evidentiary hearings. In 
                addition, the court may refer issues relating to the 
                value of services to a special master under Rule 53 
                without regard to the provisions of Rule 53(a)(1) and 
                may refer a motion for attorneys' fees to a magistrate 
                judge under Rule 72(b) as if it were a dispositive 
                pretrial matter.
                    (E) The provisions of subparagraphs (A) through (D) 
                do not apply to claims for fees and expenses as 
                sanctions for violations of these rules or under 28 
                U.S.C. Sec. 1927.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Apr. 17, 1961, eff. July 
19, 1961; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 
1993; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 27, 2003, eff. Dec. 1, 
2003.)
Rule 55
. Default_________________________________________________________
    (a) Entry. When a party against whom a judgment for affirmative 
relief is sought has failed to plead or otherwise defend as provided by 
these rules and that fact is made to appear by affidavit or otherwise, 
the clerk shall enter the party's default.
    (b) Judgment. Judgment by default may be entered as follows:
            (1) By the Clerk. When the plaintiff's claim against a 
        defendant is for a sum certain or for a sum which can by 
        computation be made certain, the clerk upon request of the 
        plaintiff and upon affidavit of the amount due shall enter 
        judgment for that amount and costs against the defendant, if the 
        defendant has been defaulted for failure to appear and is not an 
        infant or incompetent person.
            (2) By the Court. In all other cases the party entitled to a 
        judgment by default shall apply to the court therefor; but no 
        judgment by default shall be entered against an infant or 
        incompetent person unless represented in the action by a general 
        guardian, committee, conservator, or other such representative 
        who has appeared therein. If the party against whom judgment by 
        default is sought has appeared in the action, the party (or, if 
        appearing by representative, the party's representative) shall 
        be served with written notice of the application for judgment at 
        least 3 days prior to the hearing on such application. If, in 
        order to enable the court to enter judgment or to carry it into 
        effect, it is necessary to take an account or to determine the 
        amount of damages or to establish the truth of any averment by 
        evidence or to make an investigation of any other matter, the 
        court may conduct such hearings or order such references as it 
        deems necessary and proper and shall accord a right of trial by 
        jury to the parties when and as required by any statute of the 
        United States.
    (c) Setting Aside Default. For good cause shown the court may set 
aside an entry of default and, if a judgment by default has been 
entered, may likewise set it aside in accordance with Rule 60(b).
    (d) Plaintiffs, Counterclaimants, Cross-Claimants. The provisions of 
this rule apply whether the party entitled to the judgment by default is 
a plaintiff, a third-party plaintiff, or a party who has pleaded a 
cross-claim or counterclaim. In all cases a judgment by default is 
subject to the limitations of Rule 54(c).
    (e) Judgment Against the United States. No judgment by default shall 
be entered against the United States or an officer or agency thereof 
unless the claimant establishes a claim or right to relief by evidence 
satisfactory to the court.
(As amended Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 56
. Summary Judgment________________________________________________
    (a) For Claimant. A party seeking to recover upon a claim, 
counterclaim, or cross-claim or to obtain a declaratory judgment may, at 
any time after the expiration of 20 days from the commencement of the 
action or after service of a motion for summary judgment by the adverse 
party, move with or without supporting affidavits for a summary judgment 
in the party's favor upon all or any part thereof.
    (b) For Defending Party. A party against whom a claim, counterclaim, 
or cross-claim is asserted or a declaratory judgment is sought may, at 
any time, move with or without supporting affidavits for a summary 
judgment in the party's favor as to all or any part thereof.
    (c) Motion and Proceedings Thereon. The motion shall be served at 
least 10 days before the time fixed for the hearing. The adverse party 
prior to the day of hearing may serve opposing affidavits. The judgment 
sought shall be rendered forthwith if the pleadings, depositions, 
answers to interrogatories, and admissions on file, together with the 
affidavits, if any, show that there is no genuine issue as to any 
material fact and that the moving party is entitled to a judgment as a 
matter of law. A summary judgment, interlocutory in character, may be 
rendered on the issue of liability alone although there is a genuine 
issue as to the amount of damages.
    (d) Case Not Fully Adjudicated on Motion. If on motion under this 
rule judgment is not rendered upon the whole case or for all the relief 
asked and a trial is necessary, the court at the hearing of the motion, 
by examining the pleadings and the evidence before it and by 
interrogating counsel, shall if practicable ascertain what material 
facts exist without substantial controversy and what material facts are 
actually and in good faith controverted. It shall thereupon make an 
order specifying the facts that appear without substantial controversy, 
including the extent to which the amount of damages or other relief is 
not in controversy, and directing such further proceedings in the action 
as are just. Upon the trial of the action the facts so specified shall 
be deemed established, and the trial shall be conducted accordingly.
    (e) Form of Affidavits; Further Testimony; Defense Required. 
Supporting and opposing affidavits shall be made on personal knowledge, 
shall set forth such facts as would be admissible in evidence, and shall 
show affirmatively that the affiant is competent to testify to the 
matters stated therein. Sworn or certified copies of all papers or parts 
thereof referred to in an affidavit shall be attached thereto or served 
therewith. The court may permit affidavits to be supplemented or opposed 
by depositions, answers to interrogatories, or further affidavits. When 
a motion for summary judgment is made and supported as provided in this 
rule, an adverse party may not rest upon the mere allegations or denials 
of the adverse party's pleading, but the adverse party's response, by 
affidavits or as otherwise provided in this rule, must set forth 
specific facts showing that there is a genuine issue for trial. If the 
adverse party does not so respond, summary judgment, if appropriate, 
shall be entered against the adverse party.
    (f) When Affidavits Are Unavailable. Should it appear from the 
affidavits of a party opposing the motion that the party cannot for 
reasons stated present by affidavit facts essential to justify the 
party's opposition, the court may refuse the application for judgment or 
may order a continuance to permit affidavits to be obtained or 
depositions to be taken or discovery to be had or may make such other 
order as is just.
    (g) Affidavits Made in Bad Faith. Should it appear to the 
satisfaction of the court at any time that any of the affidavits 
presented pursuant to this rule are presented in bad faith or solely for 
the purpose of delay, the court shall forthwith order the party 
employing them to pay to the other party the amount of the reasonable 
expenses which the filing of the affidavits caused the other party to 
incur, including reasonable attorney's fees, and any offending party or 
attorney may be adjudged guilty of contempt.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July 
1, 1963; Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 57
. Declaratory Judgments___________________________________________
    The procedure for obtaining a declaratory judgment pursuant to Title 
28, U.S.C., Sec. 2201, shall be in accordance with these rules, and the 
right to trial by jury may be demanded under the circumstances and in 
the manner provided in Rules 38 and 39. The existence of another 
adequate remedy does not preclude a judgment for declaratory relief in 
cases where it is appropriate. The court may order a speedy hearing of 
an action for a declaratory judgment and may advance it on the calendar.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949.)
Rule 58
. Entry of Judgment_______________________________________________
    (a) Separate Document.
            (1) Every judgment and amended judgment must be set forth on 
        a separate document, but a separate document is not required for 
        an order disposing of a motion:
                    (A) for judgment under Rule 50(b);
                    (B) to amend or make additional findings of fact 
                under Rule 52(b);
                    (C) for attorney fees under Rule 54;
                    (D) for a new trial, or to alter or amend the 
                judgment, under Rule 59; or
                    (E) for relief under Rule 60.
            (2) Subject to Rule 54(b):
                    (A) unless the court orders otherwise, the clerk 
                must, without awaiting the court's direction, promptly 
                prepare, sign, and enter the judgment when:
                            (i) the jury returns a general verdict,
                            (ii) the court awards only costs or a sum 
                        certain, or
                            (iii) the court denies all relief;
                    (B) the court must promptly approve the form of the 
                judgment, which the clerk must promptly enter, when:
                            (i) the jury returns a special verdict or a 
                        general verdict accompanied by interrogatories, 
                        or
                            (ii) the court grants other relief not 
                        described in Rule 58(a)(2).
    (b) Time of Entry. Judgment is entered for purposes of these rules:
            (1) if Rule 58(a)(1) does not require a separate document, 
        when it is entered in the civil docket under Rule 79(a), and
            (2) if Rule 58(a)(1) requires a separate document, when it 
        is entered in the civil docket under Rule 79(a) and when the 
        earlier of these events occurs:
                    (A) when it is set forth on a separate document, or
                    (B) when 150 days have run from entry in the civil 
                docket under Rule 79(a).
    (c) Cost or Fee Awards.
            (1) Entry of judgment may not be delayed, nor the time for 
        appeal extended, in order to tax costs or award fees, except as 
        provided in Rule 58(c)(2).
            (2) When a timely motion for attorney fees is made under 
        Rule 54(d)(2), the court may act before a notice of appeal has 
        been filed and has become effective to order that the motion 
        have the same effect under Federal Rule of Appellate Procedure 
        4(a)(4) as a timely motion under Rule 59.
    (d) Request for Entry. A party may request that judgment be set 
forth on a separate document as required by Rule 58(a)(1).
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July 
1, 1963; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 29, 2002, eff. Dec. 1, 
2002.)
Rule 59
. New Trials; Amendment of Judgments______________________________
    (a) Grounds. A new trial may be granted to all or any of the parties 
and on all or part of the issues (1) in an action in which there has 
been a trial by jury, for any of the reasons for which new trials have 
heretofore been granted in actions at law in the courts of the United 
States; and (2) in an action tried without a jury, for any of the 
reasons for which rehearings have heretofore been granted in suits in 
equity in the courts of the United States. On a motion for a new trial 
in an action tried without a jury, the court may open the judgment if 
one has been entered, take additional testimony, amend findings of fact 
and conclusions of law or make new findings and conclusions, and direct 
the entry of a new judgment.
    (b) Time for Motion. Any motion for a new trial shall be filed no 
later than 10 days after entry of the judgment.
    (c) Time for Serving Affidavits. When a motion for new trial is 
based on affidavits, they shall be filed with the motion. The opposing 
party has 10 days after service to file opposing affidavits, but that 
period may be extended for up to 20 days, either by the court for good 
cause or by the parties' written stipulation. The court may permit reply 
affidavits.
    (d) On Court's Initiative; Notice; Specifying Grounds. No later than 
10 days after entry of judgment the court, on its own, may order a new 
trial for any reason that would justify granting one on a party's 
motion. After giving the parties notice and an opportunity to be heard, 
the court may grant a timely motion for a new trial for a reason not 
stated in the motion. When granting a new trial on its own initiative or 
for a reason not stated in a motion, the court shall specify the grounds 
in its order.
    (e) Motion to Alter or Amend Judgment. Any motion to alter or amend 
a judgment shall be filed no later than 10 days after entry of the 
judgment.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Feb. 28, 1966, eff. July 
1, 1966; Apr. 27, 1995, eff. Dec. 1, 1995.)
Rule 60
. Relief From Judgment or Order___________________________________
    (a) Clerical Mistakes. Clerical mistakes in judgments, orders or 
other parts of the record and errors therein arising from oversight or 
omission may be corrected by the court at any time of its own initiative 
or on the motion of any party and after such notice, if any, as the 
court orders. During the pendency of an appeal, such mistakes may be so 
corrected before the appeal is docketed in the appellate court, and 
thereafter while the appeal is pending may be so corrected with leave of 
the appellate court.
    (b) Mistakes; Inadvertence; Excusable Neglect; Newly Discovered 
Evidence; Fraud, Etc. On motion and upon such terms as are just, the 
court may relieve a party or a party's legal representative from a final 
judgment, order, or proceeding for the following reasons: (1) mistake, 
inadvertence, surprise, or excusable neglect; (2) newly discovered 
evidence which by due diligence could not have been discovered in time 
to move for a new trial under Rule 59(b); (3) fraud (whether heretofore 
denominated intrinsic or extrinsic), misrepresentation, or other 
misconduct of an adverse party; (4) the judgment is void; (5) the 
judgment has been satisfied, released, or discharged, or a prior 
judgment upon which it is based has been reversed or otherwise vacated, 
or it is no longer equitable that the judgment should have prospective 
application; or (6) any other reason justifying relief from the 
operation of the judgment. The motion shall be made within a reasonable 
time, and for reasons (1), (2), and (3) not more than one year after the 
judgment, order, or proceeding was entered or taken. A motion under this 
subdivision (b) does not affect the finality of a judgment or suspend 
its operation. This rule does not limit the power of a court to 
entertain an independent action to relieve a party from a judgment, 
order, or proceeding, or to grant relief to a defendant not actually 
personally notified as provided in Title 28, U.S.C., Sec. 1655, or to 
set aside a judgment for fraud upon the court. Writs of coram nobis, 
coram vobis, audita querela, and bills of review and bills in the nature 
of a bill of review, are abolished, and the procedure for obtaining any 
relief from a judgment shall be by motion as prescribed in these rules 
or by an independent action.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949; Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 61
. Harmless Error__________________________________________________
    No error in either the admission or the exclusion of evidence and no 
error or defect in any ruling or order or in anything done or omitted by 
the court or by any of the parties is ground for granting a new trial or 
for setting aside a verdict or for vacating, modifying, or otherwise 
disturbing a judgment or order, unless refusal to take such action 
appears to the court inconsistent with substantial justice. The court at 
every stage of the proceeding must disregard any error or defect in the 
proceeding which does not affect the substantial rights of the parties.
Rule 62
. Stay of Proceedings To Enforce a Judgment_______________________
    (a) Automatic Stay; Exceptions--Injunctions, Receiverships, and 
Patent Accountings. Except as stated herein, no execution shall issue 
upon a judgment nor shall proceedings be taken for its enforcement until 
the expiration of 10 days after its entry. Unless otherwise ordered by 
the court, an interlocutory or final judgment in an action for an 
injunction or in a receivership action, or a judgment or order directing 
an accounting in an action for infringement of letters patent, shall not 
be stayed during the period after its entry and until an appeal is taken 
or during the pendency of an appeal. The provisions of subdivision (c) 
of this rule govern the suspending, modifying, restoring, or granting of 
an injunction during the pendency of an appeal.
    (b) Stay on Motion for New Trial or for Judgment. In its discretion 
and on such conditions for the security of the adverse party as are 
proper, the court may stay the execution of or any proceedings to 
enforce a judgment pending the disposition of a motion for a new trial 
or to alter or amend a judgment made pursuant to Rule 59, or of a motion 
for relief from a judgment or order made pursuant to Rule 60, or of a 
motion for judgment in accordance with a motion for a directed verdict 
made pursuant to Rule 50, or of a motion for amendment to the findings 
or for additional findings made pursuant to Rule 52(b).
    (c) Injunction Pending Appeal. When an appeal is taken from an 
interlocutory or final judgment granting, dissolving, or denying an 
injunction, the court in its discretion may suspend, modify, restore, or 
grant an injunction during the pendency of the appeal upon such terms as 
to bond or otherwise as it considers proper for the security of the 
rights of the adverse party. If the judgment appealed from is rendered 
by a district court of three judges specially constituted pursuant to a 
statute of the United States, no such order shall be made except (1) by 
such court sitting in open court or (2) by the assent of all the judges 
of such court evidenced by their signatures to the order.
    (d) Stay Upon Appeal. When an appeal is taken the appellant by 
giving a supersedeas bond may obtain a stay subject to the exceptions 
contained in subdivision (a) of this rule. The bond may be given at or 
after the time of filing the notice of appeal or of procuring the order 
allowing the appeal, as the case may be. The stay is effective when the 
supersedeas bond is approved by the court.
    (e) Stay in Favor of the United States or Agency Thereof. When an 
appeal is taken by the United States or an officer or agency thereof or 
by direction of any department of the Government of the United States 
and the operation or enforcement of the judgment is stayed, no bond, 
obligation, or other security shall be required from the appellant.
    (f) Stay According to State Law. In any state in which a judgment is 
a lien upon the property of the judgment debtor and in which the 
judgment debtor is entitled to a stay of execution, a judgment debtor is 
entitled, in the district court held therein, to such stay as would be 
accorded the judgment debtor had the action been maintained in the 
courts of that state.
    (g) Power of Appellate Court Not Limited. The provisions in this 
rule do not limit any power of an appellate court or of a judge or 
justice thereof to stay proceedings during the pendency of an appeal or 
to suspend, modify, restore, or grant an injunction during the pendency 
of an appeal or to make any order appropriate to preserve the status quo 
or the effectiveness of the judgment subsequently to be entered.
    (h) Stay of Judgment as to Multiple Claims or Multiple Parties. When 
a court has ordered a final judgment under the conditions stated in Rule 
54(b), the court may stay enforcement of that judgment until the 
entering of a subsequent judgment or judgments and may prescribe such 
conditions as are necessary to secure the benefit thereof to the party 
in whose favor the judgment is entered.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949; Apr. 17, 1961, eff. July 19, 1961; Mar. 2, 1987, eff. Aug. 1, 
1987.)
Rule 63
. Inability of a Judge to Proceed_________________________________
    If a trial or hearing has been commenced and the judge is unable to 
proceed, any other judge may proceed with it upon certifying familiarity 
with the record and determining that the proceedings in the case may be 
completed without prejudice to the parties. In a hearing or trial 
without a jury, the successor judge shall at the request of a party 
recall any witness whose testimony is material and disputed and who is 
available to testify again without undue burden. The successor judge may 
also recall any other witness.
(As amended Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 
1991.)


                  VIII. PROVISIONAL AND FINAL REMEDIES

Rule 64
. Seizure of Person or Property___________________________________
    At the commencement of and during the course of an action, all 
remedies providing for seizure of person or property for the purpose of 
securing satisfaction of the judgment ultimately to be entered in the 
action are available under the circumstances and in the manner provided 
by the law of the state in which the district court is held, existing at 
the time the remedy is sought, subject to the following qualifications: 
(1) any existing statute of the United States governs to the extent to 
which it is applicable; (2) the action in which any of the foregoing 
remedies is used shall be commenced and prosecuted or, if removed from a 
state court, shall be prosecuted after removal, pursuant to these rules. 
The remedies thus available include arrest, attachment, garnishment, 
replevin, sequestration, and other corresponding or equivalent remedies, 
however designated and regardless of whether by state procedure the 
remedy is ancillary to an action or must be obtained by an independent 
action.
Rule 65
. Injunctions_____________________________________________________
    (a) Preliminary Injunction.
            (1) Notice. No preliminary injunction shall be issued 
        without notice to the adverse party.
            (2) Consolidation of Hearing With Trial on Merits. Before or 
        after the commencement of the hearing of an application for a 
        preliminary injunction, the court may order the trial of the 
        action on the merits to be advanced and consolidated with the 
        hearing of the application. Even when this consolidation is not 
        ordered, any evidence received upon an application for a 
        preliminary injunction which would be admissible upon the trial 
        on the merits becomes part of the record on the trial and need 
        not be repeated upon the trial. This subdivision (a)(2) shall be 
        so construed and applied as to save to the parties any rights 
        they may have to trial by jury.
    (b) Temporary Restraining Order; Notice; Hearing; Duration. A 
temporary restraining order may be granted without written or oral 
notice to the adverse party or that party's attorney only if (1) it 
clearly appears from specific facts shown by affidavit or by the 
verified complaint that immediate and irreparable injury, loss, or 
damage will result to the applicant before the adverse party or that 
party's attorney can be heard in opposition, and (2) the applicant's 
attorney certifies to the court in writing the efforts, if any, which 
have been made to give the notice and the reasons supporting the claim 
that notice should not be required. Every temporary restraining order 
granted without notice shall be indorsed with the date and hour of 
issuance; shall be filed forthwith in the clerk's office and entered of 
record; shall define the injury and state why it is irreparable and why 
the order was granted without notice; and shall expire by its terms 
within such time after entry, not to exceed 10 days, as the court fixes, 
unless within the time so fixed the order, for good cause shown, is 
extended for a like period or unless the party against whom the order is 
directed consents that it may be extended for a longer period. The 
reasons for the extension shall be entered of record. In case a 
temporary restraining order is granted without notice, the motion for a 
preliminary injunction shall be set down for hearing at the earliest 
possible time and takes precedence of all matters except older matters 
of the same character; and when the motion comes on for hearing the 
party who obtained the temporary restraining order shall proceed with 
the application for a preliminary injunction and, if the party does not 
do so, the court shall dissolve the temporary restraining order. On 2 
days' notice to the party who obtained the temporary restraining order 
without notice or on such shorter notice to that party as the court may 
prescribe, the adverse party may appear and move its dissolution or 
modification and in that event the court shall proceed to hear and 
determine such motion as expeditiously as the ends of justice require.
    (c) Security. No restraining order or preliminary injunction shall 
issue except upon the giving of security by the applicant, in such sum 
as the court deems proper, for the payment of such costs and damages as 
may be incurred or suffered by any party who is found to have been 
wrongfully enjoined or restrained. No such security shall be required of 
the United States or of an officer or agency thereof.
    The provisions of Rule 65.1 apply to a surety upon a bond or 
undertaking under this rule.
    (d) Form and Scope of Injunction or Restraining Order. Every order 
granting an injunction and every restraining order shall set forth the 
reasons for its issuance; shall be specific in terms; shall describe in 
reasonable detail, and not by reference to the complaint or other 
document, the act or acts sought to be restrained; and is binding only 
upon the parties to the action, their officers, agents, servants, 
employees, and attorneys, and upon those persons in active concert or 
participation with them who receive actual notice of the order by 
personal service or otherwise.
    (e) Employer and Employee; Interpleader; Constitutional Cases. These 
rules do not modify any statute of the United States relating to 
temporary restraining orders and preliminary injunctions in actions 
affecting employer and employee; or the provisions of Title 28, U.S.C., 
Sec. 2361, relating to preliminary injunctions in actions of 
interpleader or in the nature of interpleader; or Title 28, U.S.C., 
Sec. 2284, relating to actions required by Act of Congress to be heard 
and determined by a district court of three judges.
    (f) Copyright Impoundment. This rule applies to copyright 
impoundment proceedings.
(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. 23, 2001, eff. Dec. 1, 2001.)
Rule 65.1
. Security: Proceedings Against Sureties__________________________
    Whenever these rules, including the Supplemental Rules for Certain 
Admiralty and Maritime Claims, require or permit the giving of security 
by a party, and security is given in the form of a bond or stipulation 
or other undertaking with one or more sureties, each surety submits to 
the jurisdiction of the court and irrevocably appoints the clerk of the 
court as the surety's agent upon whom any papers affecting the surety's 
liability on the bond or undertaking may be served. The surety's 
liability may be enforced on motion without the necessity of an 
independent action. The motion and such notice of the motion as the 
court prescribes may be served on the clerk of the court, who shall 
forthwith mail copies to the sureties if their addresses are known.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Mar. 2, 1987, eff. 
Aug. 1, 1987.)
Rule 66
. Receivers Appointed by Federal Courts___________________________
    An action wherein a receiver has been appointed shall not be 
dismissed except by order of the court. The practice in the 
administration of estates by receivers or by other similar officers 
appointed by the court shall be in accordance with the practice 
heretofore followed in the courts of the United States or as provided in 
rules promulgated by the district courts. In all other respects the 
action in which the appointment of a receiver is sought or which is 
brought by or against a receiver is governed by these rules.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949.)
Rule 67
. Deposit in Court________________________________________________
    In an action in which any part of the relief sought is a judgment 
for a sum of money or the disposition of a sum of money or the 
disposition of any other thing capable of delivery, a party, upon notice 
to every other party, and by leave of court, may deposit with the court 
all or any part of such sum or thing, whether or not that party claims 
all or any part of the sum or thing. The party making the deposit shall 
serve the order permitting deposit on the clerk of the court. Money paid 
into court under this rule shall be deposited and withdrawn in 
accordance with the provisions of Title 28, U.S.C., Sec. Sec. 2041, and 
2042; the Act of June 26, 1934, c. 756, Sec. 23, as amended (48 Stat. 
1236, 58 Stat. 845), U.S.C., Title 31, Sec. 725v; \1\ or any like 
statute. The fund shall be deposited in an interest-bearing account or 
invested in an interest-bearing instrument approved by the court.
---------------------------------------------------------------------------
    \1\ Repealed and reenacted as 28 U.S.C. Sec. Sec. 572a and 2043 by 
Public Law 97-258, Sec. Sec. 2(g)(3)(B), (4)(E), 5(b), Sept. 13, 1982, 
96 Stat. 1061, 1068.
---------------------------------------------------------------------------
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Apr. 28, 1983, eff. Aug. 
1, 1983.)
Rule 68
. Offer of Judgment_______________________________________________
    At any time more than 10 days before the trial begins, a party 
defending against a claim may serve upon the adverse party an offer to 
allow judgment to be taken against the defending party for the money or 
property or to the effect specified in the offer, with costs then 
accrued. If within 10 days after the service of the offer the adverse 
party serves written notice that the offer is accepted, either party may 
then file the offer and notice of acceptance together with proof of 
service thereof and thereupon the clerk shall enter judgment. An offer 
not accepted shall be deemed withdrawn and evidence thereof is not 
admissible except in a proceeding to determine costs. If the judgment 
finally obtained by the offeree is not more favorable than the offer, 
the offeree must pay the costs incurred after the making of the offer. 
The fact that an offer is made but not accepted does not preclude a 
subsequent offer. When the liability of one party to another has been 
determined by verdict or order or judgment, but the amount or extent of 
the liability remains to be determined by further proceedings, the party 
adjudged liable may make an offer of judgment, which shall have the same 
effect as an offer made before trial if it is served within a reasonable 
time not less than 10 days prior to the commencement of hearings to 
determine the amount or extent of liability.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Feb. 28, 1966, eff. July 
1, 1966; Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 69
. Execution_______________________________________________________
    (a) In General. Process to enforce a judgment for the payment of 
money shall be a writ of execution, unless the court directs otherwise. 
The procedure on execution, in proceedings supplementary to and in aid 
of a judgment, and in proceedings on and in aid of execution shall be in 
accordance with the practice and procedure of the state in which the 
district court is held, existing at the time the remedy is sought, 
except that any statute of the United States governs to the extent that 
it is applicable. In aid of the judgment or execution, the judgment 
creditor or a successor in interest when that interest appears of 
record, may obtain discovery from any person, including the judgment 
debtor, in the manner provided in these rules or in the manner provided 
by the practice of the state in which the district court is held.
    (b) Against Certain Public Officers. When a judgment has been 
entered against a collector or other officer of revenue under the 
circumstances stated in Title 28, U.S.C., Sec. 2006, or against an 
officer of Congress in an action mentioned in the Act of March 3, 1875, 
ch. 130, Sec. 8 (18 Stat. 401), U.S.C., Title 2, Sec. 118, and when the 
court has given the certificate of probable cause for the officer's act 
as provided in those statutes, execution shall not issue against the 
officer or the officer's property but the final judgment shall be 
satisfied as provided in such statutes.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Mar. 30, 1970, eff. July 
1, 1970; Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 70
. Judgment for Specific Acts; Vesting Title_______________________
    If a judgment directs a party to execute a conveyance of land or to 
deliver deeds or other documents or to perform any other specific act 
and the party fails to comply within the time specified, the court may 
direct the act to be done at the cost of the disobedient party by some 
other person appointed by the court and the act when so done has like 
effect as if done by the party. On application of the party entitled to 
performance, the clerk shall issue a writ of attachment or sequestration 
against the property of the disobedient party to compel obedience to the 
judgment. The court may also in proper cases adjudge the party in 
contempt. If real or personal property is within the district, the court 
in lieu of directing a conveyance thereof may enter a judgment divesting 
the title of any party and vesting it in others and such judgment has 
the effect of a conveyance executed in due form of law. When any order 
or judgment is for the delivery of possession, the party in whose favor 
it is entered is entitled to a writ of execution or assistance upon 
application to the clerk.
Rule 71
. Process in Behalf of and Against Persons Not Parties____________
    When an order is made in favor of a person who is not a party to the 
action, that person may enforce obedience to the order by the same 
process as if a party; and, when obedience to an order may be lawfully 
enforced against a person who is not a party, that person is liable to 
the same process for enforcing obedience to the order as if a party.
(As amended Mar. 2, 1987, eff. Aug. 1, 1987.)


                         IX. SPECIAL PROCEEDINGS

Rule 71A
. Condemnation of Property________________________________________
    (a) Applicability of Other Rules. The Rules of Civil Procedure for 
the United States District Courts govern the procedure for the 
condemnation of real and personal property under the power of eminent 
domain, except as otherwise provided in this rule.
    (b) Joinder of Properties. The plaintiff may join in the same action 
one or more separate pieces of property, whether in the same or 
different ownership and whether or not sought for the same use.
    (c) Complaint.
            (1) Caption. The complaint shall contain a caption as 
        provided in Rule 10(a), except that the plaintiff shall name as 
        defendants the property, designated generally by kind, quantity, 
        and location, and at least one of the owners of some part of or 
        interest in the property.
            (2) Contents. The complaint shall contain a short and plain 
        statement of the authority for the taking, the use for which the 
        property is to be taken, a description of the property 
        sufficient for its identification, the interests to be acquired, 
        and as to each separate piece of property a designation of the 
        defendants who have been joined as owners thereof or of some 
        interest therein. Upon the commencement of the action, the 
        plaintiff need join as defendants only the persons having or 
        claiming an interest in the property whose names are then known, 
        but prior to any hearing involving the compensation to be paid 
        for a piece of property, the plaintiff shall add as defendants 
        all persons having or claiming an interest in that property 
        whose names can be ascertained by a reasonably diligent search 
        of the records, considering the character and value of the 
        property involved and the interests to be acquired, and also 
        those whose names have otherwise been learned. All others may be 
        made defendants under the designation ``Unknown Owners.'' 
        Process shall be served as provided in subdivision (d) of this 
        rule upon all defendants, whether named as defendants at the 
        time of the commencement of the action or subsequently added, 
        and a defendant may answer as provided in subdivision (e) of 
        this rule. The court meanwhile may order such distribution of a 
        deposit as the facts warrant.
            (3) Filing. In addition to filing the complaint with the 
        court, the plaintiff shall furnish to the clerk at least one 
        copy thereof for the use of the defendants and additional copies 
        at the request of the clerk or of a defendant.
    (d) Process.
            (1) Notice; Delivery. Upon the filing of the complaint the 
        plaintiff shall forthwith deliver to the clerk joint or several 
        notices directed to the defendants named or designated in the 
        complaint. Additional notices directed to defendants 
        subsequently added shall be so delivered. The delivery of the 
        notice and its service have the same effect as the delivery and 
        service of the summons under Rule 4.
            (2) Same; Form. Each notice shall state the court, the title 
        of the action, the name of the defendant to whom it is directed, 
        that the action is to condemn property, a description of the 
        defendant's property sufficient for its identification, the 
        interest to be taken, the authority for the taking, the uses for 
        which the property is to be taken, that the defendant may serve 
        upon the plaintiff's attorney an answer within 20 days after 
        service of the notice, and that the failure so to serve an 
        answer constitutes a consent to the taking and to the authority 
        of the court to proceed to hear the action and to fix the 
        compensation. The notice shall conclude with the name of the 
        plaintiff's attorney and an address within the district in which 
        action is brought where the attorney may be served. The notice 
        need contain a description of no other property than that to be 
        taken from the defendants to whom it is directed.
            (3) Service of Notice.
                    (A) Personal Service. Personal service of the notice 
                (but without copies of the complaint) shall be made in 
                accordance with Rule 4 upon a defendant whose residence 
                is known and who resides within the United States or a 
                territory subject to the administrative or judicial 
                jurisdiction of the United States.
                    (B) Service by Publication. Upon the filing of a 
                certificate of the plaintiff's attorney stating that the 
                attorney believes a defendant cannot be personally 
                served, because after diligent inquiry within the state 
                in which the complaint is filed the defendant's place of 
                residence cannot be ascertained by the plaintiff or, if 
                ascertained, that it is beyond the territorial limits of 
                personal service as provided in this rule, service of 
                the notice shall be made on this defendant by 
                publication in a newspaper published in the county where 
                the property is located, or if there is no such 
                newspaper, then in a newspaper having a general 
                circulation where the property is located, once a week 
                for not less than three successive weeks. Prior to the 
                last publication, a copy of the notice shall also be 
                mailed to a defendant who cannot be personally served as 
                provided in this rule but whose place of residence is 
                then known. Unknown owners may be served by publication 
                in like manner by a notice addressed to ``Unknown 
                Owners.''
                    Service by publication is complete upon the date of 
                the last publication. Proof of publication and mailing 
                shall be made by certificate of the plaintiff's 
                attorney, to which shall be attached a printed copy of 
                the published notice with the name and dates of the 
                newspaper marked thereon.
            (4) Return; Amendment. Proof of service of the notice shall 
        be made and amendment of the notice or proof of its service 
        allowed in the manner provided for the return and amendment of 
        the summons under Rule 4.
    (e) Appearance or Answer. If a defendant has no objection or defense 
to the taking of the defendant's property, the defendant may serve a 
notice of appearance designating the property in which the defendant 
claims to be interested. Thereafter, the defendant shall receive notice 
of all proceedings affecting it. If a defendant has any objection or 
defense to the taking of the property, the defendant shall serve an 
answer within 20 days after the service of notice upon the defendant. 
The answer shall identify the property in which the defendant claims to 
have an interest, state the nature and extent of the interest claimed, 
and state all the defendant's objections and defenses to the taking of 
the property. A defendant waives all defenses and objections not so 
presented, but at the trial of the issue of just compensation, whether 
or not the defendant has previously appeared or answered, the defendant 
may present evidence as to the amount of the compensation to be paid for 
the property, and the defendant may share in the distribution of the 
award. No other pleading or motion asserting any additional defense or 
objection shall be allowed.
    (f) Amendment of Pleadings. Without leave of court, the plaintiff 
may amend the complaint at any time before the trial of the issue of 
compensation and as many times as desired, but no amendment shall be 
made which will result in a dismissal forbidden by subdivision (i) of 
this rule. The plaintiff need not serve a copy of an amendment, but 
shall serve notice of the filing, as provided in Rule 5(b), upon any 
party affected thereby who has appeared and, in the manner provided in 
subdivision (d) of this rule, upon any party affected thereby who has 
not appeared. The plaintiff shall furnish to the clerk of the court for 
the use of the defendants at least one copy of each amendment and shall 
furnish additional copies on the request of the clerk or of a defendant. 
Within the time allowed by subdivision (e) of this rule a defendant may 
serve an answer to the amended pleading, in the form and manner and with 
the same effect as there provided.
    (g) Substitution of Parties. If a defendant dies or becomes 
incompetent or transfers an interest after the defendant's joinder, the 
court may order substitution of the proper party upon motion and notice 
of hearing. If the motion and notice of hearing are to be served upon a 
person not already a party, service shall be made as provided in 
subdivision (d)(3) of this rule.
    (h) Trial. If the action involves the exercise of the power of 
eminent domain under the law of the United States, any tribunal 
specially constituted by an Act of Congress governing the case for the 
trial of the issue of just compensation shall be the tribunal for the 
determination of that issue; but if there is no such specially 
constituted tribunal any party may have a trial by jury of the issue of 
just compensation by filing a demand therefor within the time allowed 
for answer or within such further time as the court may fix, unless the 
court in its discretion orders that, because of the character, location, 
or quantity of the property to be condemned, or for other reasons in the 
interest of justice, the issue of compensation shall be determined by a 
commission of three persons appointed by it.
    In the event that a commission is appointed the court may direct 
that not more than two additional persons serve as alternate 
commissioners to hear the case and replace commissioners who, prior to 
the time when a decision is filed, are found by the court to be unable 
or disqualified to perform their duties. An alternate who does not 
replace a regular commissioner shall be discharged after the commission 
renders its final decision. Before appointing the members of the 
commission and alternates the court shall advise the parties of the 
identity and qualifications of each prospective commissioner and 
alternate and may permit the parties to examine each such designee. The 
parties shall not be permitted or required by the court to suggest 
nominees. Each party shall have the right to object for valid cause to 
the appointment of any person as a commissioner or alternate. If a 
commission is appointed it shall have the authority of a master provided 
in Rule 53(c) and proceedings before it shall be governed by the 
provisions of Rule 53(d). Its action and report shall be determined by a 
majority and its findings and report shall have the effect, and be dealt 
with by the court in accordance with the practice, prescribed in Rule 
53(e), (f), and (g). Trial of all issues shall otherwise be by the 
court.
    (i) Dismissal of Action.
            (1) As of Right. If no hearing has begun to determine the 
        compensation to be paid for a piece of property and the 
        plaintiff has not acquired the title or a lesser interest in or 
        taken possession, the plaintiff may dismiss the action as to 
        that property, without an order of the court, by filing a notice 
        of dismissal setting forth a brief description of the property 
        as to which the action is dismissed.
            (2) By Stipulation. Before the entry of any judgment vesting 
        the plaintiff with title or a lesser interest in or possession 
        of property, the action may be dismissed in whole or in part, 
        without an order of the court, as to any property by filing a 
        stipulation of dismissal by the plaintiff and the defendant 
        affected thereby; and, if the parties so stipulate, the court 
        may vacate any judgment that has been entered.
            (3) By Order of the Court. At any time before compensation 
        for a piece of property has been determined and paid and after 
        motion and hearing, the court may dismiss the action as to that 
        property, except that it shall not dismiss the action as to any 
        part of the property of which the plaintiff has taken possession 
        or in which the plaintiff has taken title or a lesser interest, 
        but shall award just compensation for the possession, title or 
        lesser interest so taken. The court at any time may drop a 
        defendant unnecessarily or improperly joined.
            (4) Effect. Except as otherwise provided in the notice, or 
        stipulation of dismissal, or order of the court, any dismissal 
        is without prejudice.
    (j) Deposit and Its Distribution. The plaintiff shall deposit with 
the court any money required by law as a condition to the exercise of 
the power of eminent domain; and, although not so required, may make a 
deposit when permitted by statute. In such cases the court and attorneys 
shall expedite the proceedings for the distribution of the money so 
deposited and for the ascertainment and payment of just compensation. If 
the compensation finally awarded to any defendant exceeds the amount 
which has been paid to that defendant on distribution of the deposit, 
the court shall enter judgment against the plaintiff and in favor of 
that defendant for the deficiency. If the compensation finally awarded 
to any defendant is less than the amount which has been paid to that 
defendant, the court shall enter judgment against that defendant and in 
favor of the plaintiff for the overpayment.
    (k) Condemnation Under a State's Power of Eminent Domain. The 
practice as herein prescribed governs in actions involving the exercise 
of the power of eminent domain under the law of a state, provided that 
if the state law makes provision for trial of any issue by jury, or for 
trial of the issue of compensation by jury or commission or both, that 
provision shall be followed.
    (l) Costs. Costs are not subject to Rule 54(d).
(As added Apr. 30, 1951, eff. Aug. 1, 1951; amended Jan. 21, 1963, eff. 
July 1, 1963; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 
1, 1987; Apr. 25, 1988, eff. Aug. 1, 1988; Nov. 18, 1988; Apr. 22, 1993, 
eff. Dec. 1, 1993; Mar. 27, 2003, eff. Dec. 1, 2003.)
Rule 72
. Magistrate Judges; Pretrial Orders______________________________
    (a) Nondispositive Matters. A magistrate judge to whom a pretrial 
matter not dispositive of a claim or defense of a party is referred to 
hear and determine shall promptly conduct such proceedings as are 
required and when appropriate enter into the record a written order 
setting forth the disposition of the matter. Within 10 days after being 
served with a copy of the magistrate judge's order, a party may serve 
and file objections to the order; a party may not thereafter assign as 
error a defect in the magistrate judge's order to which objection was 
not timely made. The district judge to whom the case is assigned shall 
consider such objections and shall modify or set aside any portion of 
the magistrate judge's order found to be clearly erroneous or contrary 
to law.
    (b) Dispositive Motions and Prisoner Petitions. A magistrate judge 
assigned without consent of the parties to hear a pretrial matter 
dispositive of a claim or defense of a party or a prisoner petition 
challenging the conditions of confinement shall promptly conduct such 
proceedings as are required. A record shall be made of all evidentiary 
proceedings before the magistrate judge, and a record may be made of 
such other proceedings as the magistrate judge deems necessary. The 
magistrate judge shall enter into the record a recommendation for 
disposition of the matter, including proposed findings of fact when 
appropriate. The clerk shall forthwith mail copies to all parties.
    A party objecting to the recommended disposition of the matter shall 
promptly arrange for the transcription of the record, or portions of it 
as all parties may agree upon or the magistrate judge deems sufficient, 
unless the district judge otherwise directs. Within 10 days after being 
served with a copy of the recommended disposition, a party may serve and 
file specific, written objections to the proposed findings and 
recommendations. A party may respond to another party's objections 
within 10 days after being served with a copy thereof. The district 
judge to whom the case is assigned shall make a de novo determination 
upon the record, or after additional evidence, of any portion of the 
magistrate judge's disposition to which specific written objection has 
been made in accordance with this rule. The district judge may accept, 
reject, or modify the recommended decision, receive further evidence, or 
recommit the matter to the magistrate judge with instructions.
(As added Apr. 28, 1983, eff. Aug. 1, 1983; amended Apr. 30, 1991, eff. 
Dec. 1, 1991; Apr. 22, 1993, eff. Dec. 1, 1993.)
Rule 73
. Magistrate Judges; Trial by Consent and Appeal__________________
    (a) Powers; Procedure. When specially designated to exercise such 
jurisdiction by local rule or order of the district court and when all 
parties consent thereto, a magistrate judge may exercise the authority 
provided by Title 28, U.S.C. Sec. 636(c) and may conduct any or all 
proceedings, including a jury or nonjury trial, in a civil case. A 
record of the proceedings shall be made in accordance with the 
requirements of Title 28, U.S.C. Sec. 636(c)(5).
    (b) Consent. When a magistrate judge has been designated to exercise 
civil trial jurisdiction, the clerk shall give written notice to the 
parties of their opportunity to consent to the exercise by a magistrate 
judge of civil jurisdiction over the case, as authorized by Title 28, 
U.S.C. Sec. 636(c). If, within the period specified by local rule, the 
parties agree to a magistrate judge's exercise of such authority, they 
shall execute and file a joint form of consent or separate forms of 
consent setting forth such election.
    A district judge, magistrate judge, or other court official may 
again advise the parties of the availability of the magistrate judge, 
but, in so doing, shall also advise the parties that they are free to 
withhold consent without adverse substantive consequences. A district 
judge or magistrate judge shall not be informed of a party's response to 
the clerk's notification, unless all parties have consented to the 
referral of the matter to a magistrate judge.
    The district judge, for good cause shown on the judge's own 
initiative, or under extraordinary circumstances shown by a party, may 
vacate a reference of a civil matter to a magistrate judge under this 
subdivision.
    (c) Appeal. In accordance with Title 28, U.S.C. Sec. 636(c)(3), 
appeal from a judgment entered upon direction of a magistrate judge in 
proceedings under this rule will lie to the court of appeals as it would 
from a judgment of the district court.
    [(d) Optional Appeal Route.] (Abrogated Apr. 11, 1997, eff. Dec. 1, 
1997)
(As added Apr. 28, 1983, eff. Aug. 1, 1983; amended Mar. 2, 1987, eff. 
Aug. 1, 1987; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 11, 1997, eff. Dec. 
1, 1997.)

Rule 74

[Rule 74
. Method of Appeal From Magistrate Judge to District Judge Under 
Title 28, U.S.C. Sec. 636(c)(4) and Rule 73(d)] (Abrogated Apr. 11, 
1997, eff. Dec. 1, 1997)________________________________________________
[Rule 75
. Proceedings on Appeal From Magistrate Judge to District Judge 
Under Rule 73(d)] (Abrogated Apr. 11, 1997, eff. Dec. 1, 1997)__________
[Rule 76
. Judgment of the District Judge on the Appeal Under Rule 73(d) 
and Costs] (Abrogated Apr. 11, 1997, eff. Dec. 1, 1997)_________________


                      X. DISTRICT COURTS AND CLERKS

Rule 77
. District Courts and Clerks______________________________________
    (a) District Courts Always Open. The district courts shall be deemed 
always open for the purpose of filing any pleading or other proper 
paper, of issuing and returning mesne and final process, and of making 
and directing all interlocutory motions, orders, and rules.
    (b) Trials and Hearings; Orders in Chambers. All trials upon the 
merits shall be conducted in open court and so far as convenient in a 
regular court room. All other acts or proceedings may be done or 
conducted by a judge in chambers, without the attendance of the clerk or 
other court officials and at any place either within or without the 
district; but no hearing, other than one ex parte, shall be conducted 
outside the district without the consent of all parties affected 
thereby.
    (c) Clerk's Office and Orders by Clerk. The clerk's office with the 
clerk or a deputy in attendance shall be open during business hours on 
all days except Saturdays, Sundays, and legal holidays, but a district 
court may provide by local rule or order that its clerk's office shall 
be open for specified hours on Saturdays or particular legal holidays 
other than New Year's Day, Birthday of Martin Luther King, Jr., 
Washington's Birthday, Memorial Day, Independence Day, Labor Day, 
Columbus Day, Veterans Day, Thanksgiving Day, and Christmas Day. All 
motions and applications in the clerk's office for issuing mesne 
process, for issuing final process to enforce and execute judgments, for 
entering defaults or judgments by default, and for other proceedings 
which do not require allowance or order of the court are grantable of 
course by the clerk; but the clerk's action may be suspended or altered 
or rescinded by the court upon cause shown.
    (d) Notice of Orders or Judgments. Immediately upon the entry of an 
order or judgment the clerk shall serve a notice of the entry in the 
manner provided for in Rule 5(b) upon each party who is not in default 
for failure to appear, and shall make a note in the docket of the 
service. Any party may in addition serve a notice of such entry in the 
manner provided in Rule 5(b) for the service of papers. Lack of notice 
of the entry by the clerk does not affect the time to appeal or relieve 
or authorize the court to relieve a party for failure to appeal within 
the time allowed, except as permitted in Rule 4(a) of the Federal Rules 
of Appellate Procedure.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Jan. 21, 1963, eff. July 
1, 1963; Dec. 4, 1967, eff. July 1, 1968; Mar. 1, 1971, eff. July 1, 
1971; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 1, 1991; 
Apr. 23, 2001, eff. Dec. 1, 2001.)
Rule 78
. Motion Day______________________________________________________
    Unless local conditions make it impracticable, each district court 
shall establish regular times and places, at intervals sufficiently 
frequent for the prompt dispatch of business, at which motions requiring 
notice and hearing may be heard and disposed of; but the judge at any 
time or place and on such notice, if any, as the judge considers 
reasonable may make orders for the advancement, conduct, and hearing of 
actions.
    To expedite its business, the court may make provision by rule or 
order for the submission and determination of motions without oral 
hearing upon brief written statements of reasons in support and 
opposition.
(As amended Mar. 2, 1987, eff. Aug. 1, 1987.)
Rule 79
. Books and Records Kept by the Clerk and Entries Therein_________
    (a) Civil Docket. The clerk shall keep a book known as ``civil 
docket'' of such form and style as may be prescribed by the Director of 
the Administrative Office of the United States Courts with the approval 
of the Judicial Conference of the United States, and shall enter therein 
each civil action to which these rules are made applicable. Actions 
shall be assigned consecutive file numbers. The file number of each 
action shall be noted on the folio of the docket whereon the first entry 
of the action is made. All papers filed with the clerk, all process 
issued and returns made thereon, all appearances, orders, verdicts, and 
judgments shall be entered chronologically in the civil docket on the 
folio assigned to the action and shall be marked with its file number. 
These entries shall be brief but shall show the nature of each paper 
filed or writ issued and the substance of each order or judgment of the 
court and of the returns showing execution of process. The entry of an 
order or judgment shall show the date the entry is made. When in an 
action trial by jury has been properly demanded or ordered the clerk 
shall enter the word ``jury'' on the folio assigned to that action.
    (b) Civil Judgments and Orders. The clerk shall keep, in such form 
and manner as the Director of the Administrative Office of the United 
States Courts with the approval of the Judicial Conference of the United 
States may prescribe, a correct copy of every final judgment or 
appealable order, or order affecting title to or lien upon real or 
personal property, and any other order which the court may direct to be 
kept.
    (c) Indices; Calendars. Suitable indices of the civil docket and of 
every civil judgment and order referred to in subdivision (b) of this 
rule shall be kept by the clerk under the direction of the court. There 
shall be prepared under the direction of the court calendars of all 
actions ready for trial, which shall distinguish ``jury actions'' from 
``court actions.''
    (d) Other Books and Records of the Clerk. The clerk shall also keep 
such other books and records as may be required from time to time by the 
Director of the Administrative Office of the United States Courts with 
the approval of the Judicial Conference of the United States.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949; Jan. 21, 1963, eff. July 1, 1963.)
Rule 80
. Stenographer; Stenographic Report or Transcript as Evidence_____
    [(a) Stenographer.] (Abrogated Dec. 27, 1946, eff. Mar. 19, 1948)
    [(b) Official Stenographer.] (Abrogated Dec. 27, 1946, eff. Mar. 19, 
1948)
    (c) Stenographic Report or Transcript as Evidence. Whenever the 
testimony of a witness at a trial or hearing which was stenographically 
reported is admissible in evidence at a later trial, it may be proved by 
the transcript thereof duly certified by the person who reported the 
testimony.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948.)


                         XI. GENERAL PROVISIONS

Rule 81
. Applicability in General________________________________________
    (a) To What Proceedings Applicable.
            (1) These rules do not apply to prize proceedings in 
        admiralty governed by Title 10, U.S.C., Sec. Sec. 7651-7681. 
        They do apply to proceedings in bankruptcy to the extent 
        provided by the Federal Rules of Bankruptcy Procedure.
            (2) These rules are applicable to proceedings for admission 
        to citizenship, habeas corpus, and quo warranto, to the extent 
        that the practice in such proceedings is not set forth in 
        statutes of the United States, the Rules Governing Section 2254 
        Cases, or the Rules Governing Section 2255 Proceedings, and has 
        heretofore conformed to the practice in civil actions.
            (3) In proceedings under Title 9, U.S.C., relating to 
        arbitration, or under the Act of May 20, 1926, ch. 347, Sec. 9 
        (44 Stat. 585), U.S.C., Title 45, Sec. 159, relating to boards 
        of arbitration of railway labor disputes, these rules apply only 
        to the extent that matters of procedure are not provided for in 
        those statutes. These rules apply to proceedings to compel the 
        giving of testimony or production of documents in accordance 
        with a subpoena issued by an officer or agency of the United 
        States under any statute of the United States except as 
        otherwise provided by statute or by rules of the district court 
        or by order of the court in the proceedings.
            (4) These rules do not alter the method prescribed by the 
        Act of February 18, 1922, ch. 57, Sec. 2 (42 Stat. 388), U.S.C., 
        Title 7, Sec. 292; or by the Act of June 10, 1930, ch. 436, 
        Sec. 7 (46 Stat. 534), as amended, U.S.C., Title 7, 
        Sec. 499g(c), for instituting proceedings in the United States 
        district courts to review orders of the Secretary of 
        Agriculture; or prescribed by the Act of June 25, 1934, ch. 742, 
        Sec. 2 (48 Stat. 1214), U.S.C., Title 15, Sec. 522, for 
        instituting proceedings to review orders of the Secretary of the 
        Interior; or prescribed by the Act of February 22, 1935, ch. 18, 
        Sec. 5 (49 Stat. 31), U.S.C., Title 15, Sec. 715d(c), as 
        extended, for instituting proceedings to review orders of 
        petroleum control boards; but the conduct of such proceedings in 
        the district courts shall be made to conform to these rules so 
        far as applicable.
            (5) These rules do not alter the practice in the United 
        States district courts prescribed in the Act of July 5, 1935, 
        ch. 372, Sec. Sec. 9 and 10 (49 Stat. 453), as amended, U.S.C., 
        Title 29, Sec. Sec. 159 and 160, for beginning and conducting 
        proceedings to enforce orders of the National Labor Relations 
        Board; and in respects not covered by those statutes, the 
        practice in the district courts shall conform to these rules so 
        far as applicable.
            (6) These rules apply to proceedings for enforcement or 
        review of compensation orders under the Longshoremen's and 
        Harbor Workers' Compensation Act, Act of March 4, 1927, c. 509, 
        Sec. Sec. 18, 21 (44 Stat. 1434, 1436), as amended, U.S.C., 
        Title 33, Sec. Sec. 918, 921, except to the extent that matters 
        of procedure are provided for in that Act. The provisions for 
        service by publication and for answer in proceedings to cancel 
        certificates of citizenship under the Act of June 27, 1952, c. 
        477, Title III, c. 2, Sec. 340 (66 Stat. 260), U.S.C., Title 8, 
        Sec. 1451, remain in effect.
            [(7)] (Abrogated Apr. 30, 1951, eff. Aug. 1, 1951)
    (b) Scire Facias and Mandamus. The writs of scire facias and 
mandamus are abolished. Relief heretofore available by mandamus or scire 
facias may be obtained by appropriate action or by appropriate motion 
under the practice prescribed in these rules.
    (c) Removed Actions. These rules apply to civil actions removed to 
the United States district courts from the state courts and govern 
procedure after removal. Repleading is not necessary unless the court so 
orders. In a removed action in which the defendant has not answered, the 
defendant shall answer or present the other defenses or objections 
available under these rules within 20 days after the receipt through 
service or otherwise of a copy of the initial pleading setting forth the 
claim for relief upon which the action or proceeding is based, or within 
20 days after the service of summons upon such initial pleading, then 
filed, or within 5 days after the filing of the petition for removal, 
whichever period is longest. If at the time of removal all necessary 
pleadings have been served, a party entitled to trial by jury under Rule 
38 shall be accorded it, if the party's demand therefor is served within 
10 days after the petition for removal is filed if the party is the 
petitioner, or if not the petitioner within 10 days after service on the 
party of the notice of filing the petition. A party who, prior to 
removal, has made an express demand for trial by jury in accordance with 
state law, need not make a demand after removal. If state law applicable 
in the court from which the case is removed does not require the parties 
to make express demands in order to claim trial by jury, they need not 
make demands after removal unless the court directs that they do so 
within a specified time if they desire to claim trial by jury. The court 
may make this direction on its own motion and shall do so as a matter of 
course at the request of any party. The failure of a party to make 
demand as directed constitutes a waiver by that party of trial by jury.
    [(d) District of Columbia; Courts and Judges.] (Abrogated Dec. 29, 
1948, eff. Oct. 20, 1949)
    (e) Law Applicable. Whenever in these rules the law of the state in 
which the district court is held is made applicable, the law applied in 
the District of Columbia governs proceedings in the United States 
District Court for the District of Columbia. When the word ``state'' is 
used, it includes, if appropriate, the District of Columbia. When the 
term ``statute of the United States'' is used, it includes, so far as 
concerns proceedings in the United States District Court for the 
District of Columbia, any Act of Congress locally applicable to and in 
force in the District of Columbia. When the law of a state is referred 
to, the word ``law'' includes the statutes of that state and the state 
judicial decisions construing them.
    (f) References to Officer of the United States. Under any rule in 
which reference is made to an officer or agency of the United States, 
the term ``officer'' includes a district director of internal revenue, a 
former district director or collector of internal revenue, or the 
personal representative of a deceased district director or collector of 
internal revenue.
(As amended Dec. 28, 1939, eff. Apr. 3, 1941; Dec. 27, 1946, eff. Mar. 
19, 1948; Dec. 29, 1948, eff. Oct. 20, 1949; Apr. 30, 1951, eff. Aug. 1, 
1951; 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; 
Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 
29, 2002, eff. Dec. 1, 2002.)
Rule 82
. Jurisdiction and Venue Unaffected_______________________________
    These rules shall not be construed to extend or limit the 
jurisdiction of the United States district courts or the venue of 
actions therein. An admiralty or maritime claim within the meaning of 
Rule 9(h) shall not be treated as a civil action for the purposes of 
Title 28, U.S.C., Sec. Sec. 1391-1392.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Feb. 28, 1966, eff. July 
1, 1966; Apr. 23, 2001, eff. Dec. 1, 2001.)
Rule 83
. Rules by District Courts; Judge's Directives____________________
    (a) Local Rules.
            (1) Each district court, acting by a majority of its 
        district judges, may, after giving appropriate public notice and 
        an opportunity for comment, make and amend rules governing its 
        practice. A local rule shall be consistent with--but not 
        duplicative of--Acts of Congress and rules adopted under 28 
        U.S.C. Sec. Sec. 2072 and 2075, and shall conform to any uniform 
        numbering system prescribed by the Judicial Conference of the 
        United States. A local rule takes effect on the date specified 
        by the district court and remains in effect unless amended by 
        the court or abrogated by the judicial council of the circuit. 
        Copies of rules and amendments shall, upon their promulgation, 
        be furnished to the judicial council and the Administrative 
        Office of the United States Courts and be made available to the 
        public.
            (2) A local rule imposing a requirement of form shall not be 
        enforced in a manner that causes a party to lose rights because 
        of a nonwillful failure to comply with the requirement.
    (b) Procedures When There is No Controlling Law. A judge may 
regulate practice in any manner consistent with federal law, rules 
adopted under 28 U.S.C. Sec. Sec. 2072 and 2075, and local rules of the 
district. No sanction or other disadvantage may be imposed for 
noncompliance with any requirement not in federal law, federal rules, or 
the local district rules unless the alleged violator has been furnished 
in the particular case with actual notice of the requirement.
(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 27, 1995, eff. Dec. 
1, 1995.)
Rule 84
. Forms___________________________________________________________
    The forms contained in the Appendix of Forms are sufficient under 
the rules and are intended to indicate the simplicity and brevity of 
statement which the rules contemplate.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948.)
Rule 85
. Title___________________________________________________________
    These rules may be known and cited as the Federal Rules of Civil 
Procedure.
Rule 86
. Effective Date__________________________________________________
    (a) \1\ [Effective Date of Original Rules.] These rules will take 
effect on the day which is 3 months subsequent to the adjournment of the 
second regular session of the 75th Congress, but if that day is prior to 
September 1, 1938, then these rules will take effect on September 1, 
1938. They govern all proceedings in actions brought after they take 
effect and also all further proceedings in actions then pending, except 
to the extent that in the opinion of the court their application in a 
particular action pending when the rules take effect would not be 
feasible or would work injustice, in which event the former procedure 
applies.
---------------------------------------------------------------------------
    \1\ Subdivision heading supplied editorially.
---------------------------------------------------------------------------
    (b) Effective Date of Amendments. The amendments adopted by the 
Supreme Court on December 27, 1946, and transmitted to the Attorney 
General on January 2, 1947, shall take effect on the day which is three 
months subsequent to the adjournment of the first regular session of the 
80th Congress, but, if that day is prior to September 1, 1947, then 
these amendments shall take effect on September 1, 1947. They govern all 
proceedings in actions brought after they take effect and also all 
further proceedings in actions then pending, except to the extent that 
in the opinion of the court their application in a particular action 
pending when the amendments take effect would not be feasible or would 
work injustice, in which event the former procedure applies.
    (c) Effective Date of Amendments. The amendments adopted by the 
Supreme Court on December 29, 1948, and transmitted to the Attorney 
General on December 31, 1948, shall take effect on the day following the 
adjournment of the first regular session of the 81st Congress.
    (d) Effective Date of Amendments. The amendments adopted by the 
Supreme Court on April 17, 1961, and transmitted to the Congress on 
April 18, 1961, shall take effect on July 19, 1961. They govern all 
proceedings in actions brought after they take effect and also all 
further proceedings in actions then pending, except to the extent that 
in the opinion of the court their application in a particular action 
pending when the amendments take effect would not be feasible or would 
work injustice, in which event the former procedure applies.
    (e) Effective Date of Amendments. The amendments adopted by the 
Supreme Court on January 21, 1963, and transmitted to the Congress on 
January 21, 1963, shall take effect on July 1, 1963. They govern all 
proceedings in actions brought after they take effect and also all 
further proceedings in actions then pending, except to the extent that 
in the opinion of the court their application in a particular action 
pending when the amendments take effect would not be feasible or would 
work injustice, in which event the former procedure applies.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948; Dec. 29, 1948, eff. Oct. 
20, 1949; Apr. 17, 1961, eff. July 19, 1961; Jan. 21 and Mar. 18, 1963, 
eff. July 1, 1963.)

                    FEDERAL RULES OF CIVIL PROCEDURE

                            APPENDIX OF FORMS

                              (See Rule 84)

                         Introductory Statement

    1. The following forms are intended for illustration only. They are 
limited in number. No attempt is made to furnish a manual of forms. Each 
form assumes the action to be brought in the Southern District of New 
York. If the district in which an action is brought has divisions, the 
division should be indicated in the caption.
    2. Except where otherwise indicated each pleading, motion, and other 
paper should have a caption similar to that of the summons, with the 
designation of the particular paper substituted for the word 
``Summons''. In the caption of the summons and in the caption of the 
complaint all parties must be named but in other pleadings and papers, 
it is sufficient to state the name of the first party on either side, 
with an appropriate indication of other parties. See Rules 4(b) [now 
(a)], 7(b)(2), and 10(a).
    3. In Form 3 and the forms following, the words, ``Allegation of 
jurisdiction,'' are used to indicate the appropriate allegation in Form 
2.
    4. Each pleading, motion, and other paper is to be signed in his 
individual name by at least one attorney of record (Rule 11). The 
attorney's name is to be followed by his address as indicated in Form 3. 
In forms following Form 3 the signature and address are not indicated.
    5. If a party is not represented by an attorney, the signature and 
address of the party are required in place of those of the attorney.
Form 1
. Summons_________________________________________________________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number ____

                 A. B., Plaintiff

                        v.

<5-ln }>

                                                      Summons
                 C. D., Defendant

To the above-named Defendant:
    You are hereby summoned and required to serve upon _____, 
plaintiff's attorney, whose address is ________, an answer to the 
complaint which is herewith served upon you, within 20 \1\ days after 
service of this summons upon you, exclusive of the day of service. If 
you fail to do so, judgment by default will be taken against you for the 
relief demanded in the complaint.
                                                        ___________,    
                                                         Clerk of Court.
    [Seal of the U.S. District Court]
    Dated ____________

    (This summons is issued pursuant to Rule 4 of the Federal Rules of 
Civil Procedure)

    \1\ If the United States or an officer or agency thereof is a 
defendant, the time to be inserted as to it is 60 days.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949.)
Form 1A
. Notice of Lawsuit and Request for Waiver of Service of Summons__
TO: ______(A)______ [as ______(B)______ of ______(C)______]
    A lawsuit has been commenced against you (or the entity on whose 
behalf you are addressed). A copy of the complaint is attached to this 
notice. It has been filed in the United States District Court for the 
______(D)______ and has been assigned docket number ______(E)______.
    This is not a formal summons or notification from the court, but 
rather my request that you sign and return the enclosed waiver of 
service in order to save the cost of serving you with a judicial summons 
and an additional copy of the complaint. The cost of service will be 
avoided if I receive a signed copy of the waiver within ______(F)______ 
days after the date designated below as the date on which this Notice 
and Request is sent. I enclose a stamped and addressed envelope (or 
other means of cost-free return) for your use. An extra copy of the 
waiver is also attached for your records.
    If you comply with this request and return the signed waiver, it 
will be filed with the court and no summons will be served on you. The 
action will then proceed as if you had been served on the date the 
waiver is filed, except that you will not be obligated to answer the 
complaint before 60 days from the date designated below as the date on 
which this notice is sent (or before 90 days from that date if your 
address is not in any judicial district of the United States).
    If you do not return the signed waiver within the time indicated, I 
will take appropriate steps to effect formal service in a manner 
authorized by the Federal Rules of Civil Procedure and will then, to the 
extent authorized by those Rules, ask the court to require you (or the 
party on whose behalf you are addressed) to pay the full costs of such 
service. In that connection, please read the statement concerning the 
duty of parties to waive the service of the summons, which is set forth 
on the reverse side (or at the foot) of the waiver form.
    I affirm that this request is being sent to you on behalf of the 
plaintiff, this __ day of ____, __.
                                                ________________________
                                    Signature of Plaintiff's Attorney or
                                     Unrepresented Plaintiff            

                                  Notes

    A--Name of individual defendant (or name of officer or agent of 
corporate defendant)
    B--Title, or other relationship of individual to corporate defendant
    C--Name of corporate defendant, if any
    D--District
    E--Docket number of action
    F--Addressee must be given at least 30 days (60 days if located in 
foreign country) in which to return waiver
(As added Apr. 22, 1993, eff. Dec. 1, 1993.)
Form 1B
. Waiver of Service of Summons____________________________________
TO: ___(name of plaintiff's attorney or unrepresented plaintiff)___
    I acknowledge receipt of your request that I waive service of a 
summons in the action of ____(caption of action)____, which is case 
number ____(docket number)____ in the United States District Court for 
the ____(district)____. I have also received a copy of the complaint in 
the action, two copies of this instrument, and a means by which I can 
return the signed waiver to you without cost to me.
    I agree to save the cost of service of a summons and an additional 
copy of the complaint in this lawsuit by not requiring that I (or the 
entity on whose behalf I am acting) be served with judicial process in 
the manner provided by Rule 4.
    I (or the entity on whose behalf I am acting) will retain all 
defenses or objections to the lawsuit or to the jurisdiction or venue of 
the court except for objections based on a defect in the summons or in 
the service of the summons.
    I understand that a judgment may be entered against me (or the party 
on whose behalf I am acting) if an answer or motion under Rule 12 is not 
served upon you within 60 days after ____(date request was sent)____, or 
within 90 days after that date if the request was sent outside the 
United States.
______    _______________
Date           Signature
                                    Printed/typed name: ________________
                                           [as ____________________]    
                                           [of ____________________]    

  To be printed on reverse side of the waiver form or set forth at the 
                            foot of the form:

          Duty to Avoid Unnecessary Costs of Service of Summons

    Rule 4 of the Federal Rules of Civil Procedure requires certain 
parties to cooperate in saving unnecessary costs of service of the 
summons and complaint. A defendant located in the United States who, 
after being notified of an action and asked by a plaintiff located in 
the United States to waive service of a summons, fails to do so will be 
required to bear the cost of such service unless good cause be shown for 
its failure to sign and return the waiver.
    It is not good cause for a failure to waive service that a party 
believes that the complaint is unfounded, or that the action has been 
brought in an improper place or in a court that lacks jurisdiction over 
the subject matter of the action or over its person or property. A party 
who waives service of the summons retains all defenses and objections 
(except any relating to the summons or to the service of the summons), 
and may later object to the jurisdiction of the court or to the place 
where the action has been brought.
    A defendant who waives service must within the time specified on the 
waiver form serve on the plaintiff's attorney (or unrepresented 
plaintiff) a response to the complaint and must also file a signed copy 
of the response with the court. If the answer or motion is not served 
within this time, a default judgment may be taken against that 
defendant. By waiving service, a defendant is allowed more time to 
answer than if the summons had been actually served when the request for 
waiver of service was received.
(As added Apr. 22, 1993, eff. Dec. 1, 1993.)
Form 2
. Allegation of Jurisdiction______________________________________
    (a) Jurisdiction founded on diversity of citizenship and amount.
    Plaintiff is a [citizen of the State of Connecticut] \1\ 
[corporation incorporated under the laws of the State of Connecticut 
having its principal place of business in the State of Connecticut] and 
defendant is a corporation incorporated under the laws of the State of 
New York having its principal place of business in a State other than 
the State of Connecticut. The matter in controversy exceeds, exclusive 
of interest and costs, the sum specified by 28 U.S.C. Sec. 1332.
    (b) Jurisdiction founded on the existence of a Federal question.
    The action arises under [the Constitution of the United States, 
Article _, Section _]; [the _ Amendment to the Constitution of the 
United States, Section _]; [the Act of _, _ Stat. _; U.S.C., Title _, 
Sec. _]; [the Treaty of the United States (here describe the treaty)] 
\2\ as hereinafter more fully appears.
    (c) Jurisdiction founded on the existence of a question arising 
under particular statutes.
    The action arises under the Act of _, _ Stat. _; U.S.C., Title _, 
Sec. _, as hereinafter more fully appears.
    (d) Jurisdiction founded on the admiralty or maritime character of 
the claim.
    This is a case of admiralty and maritime jurisdiction, as 
hereinafter more fully appears. [If the pleader wishes to invoke the 
distinctively maritime procedures referred to in Rule 9(h), add the 
following or its substantial equivalent: This is an admiralty or 
maritime claim within the meaning of Rule 9(h).]

    \1\ Form for natural person.
    \2\ Use the appropriate phrase or phrases. The general allegation of 
the existence of a Federal question is ineffective unless the matters 
constituting the claim for relief as set forth in the complaint raise a 
Federal question.

                            Explanatory Notes

    1. Diversity of Citizenship. U.S.C., Title 28, Sec. 1332 (Diversity 
of citizenship; amount in controversy; costs), as amended by P.L. 85-
554, 72 Stat. 415, July 25, 1958, states in subsection (c) that ``For 
the purposes of this section and section 1441 of this title [removable 
actions], a corporation shall be deemed a citizen of any State by which 
it has been incorporated and of the State where it has its principal 
place of business.'' Thus if the defendant corporation in Form 2(a) had 
its principal place of business in Connecticut, diversity of citizenship 
would not exist. An allegation regarding the principal place of business 
of each corporate party must be made in addition to an allegation 
regarding its place of incorporation.
    2. Jurisdictional Amount. U.S.C., Title 28, Sec. 1331 (Federal 
question; amount in controversy; costs) and Sec. 1332 (Diversity of 
citizenship; amount in controversy; costs), as amended by P.L. 85-554, 
72 Stat. 415, July 25, 1958, require that the amount in controversy, 
exclusive of interest and costs, be in excess of $10,000. The allegation 
as to the amount in controversy may be omitted in any case where by law 
no jurisdictional amount is required. See, for example, U.S.C., Title 
28, Sec. 1338 (Patents, copyrights, trade-marks, and unfair 
competition), Sec. 1343 (Civil rights and elective franchise).
    3. Pleading Venue. Since improper venue is a matter of defense, it 
is not necessary for plaintiff to include allegations showing the venue 
to be proper. See 1 Moore's Federal Practice, par. 0.140 [1.--4] (2d ed. 
1959).
(As amended Apr. 17, 1961, eff. July 19, 1961; Feb. 28, 1966, eff. July 
1, 1966; Apr. 22, 1993, eff. Dec. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 
1999.)
Form 3
. Complaint on a Promissory Note__________________________________
    1. Allegation of jurisdiction.
    2. Defendant on or about June 1, 1935, executed and delivered to 
plaintiff a promissory note [in the following words and figures: (here 
set out the note verbatim)]; [a copy of which is hereto annexed as 
Exhibit A]; [whereby defendant promised to pay to plaintiff or order on 
June 1, 1936 the sum of _____ dollars with interest thereon at the rate 
of six percent. per annum].
    3. Defendant owes to plaintiff the amount of said note and interest.
    Wherefore plaintiff demands judgment against defendant for the sum 
of _____ dollars, interest, and costs.
Signed: ________________________
                                                 Attorney for Plaintiff.
Address: _______________________

                                  Notes

    1. The pleader may use the material in one of the three sets of 
brackets. His choice will depend upon whether he desires to plead the 
document verbatim, or by exhibit, or according to its legal effect.
    2. Under the rules free joinder of claims is permitted. See Rules 
8(e) and 18. Consequently the claims set forth in each and all of the 
following forms may be joined with this complaint or with each other. 
Ordinarily each claim should be stated in a separate division of the 
complaint, and the divisions should be designated as counts successively 
numbered. In particular the rules permit alternative and inconsistent 
pleading. See Form 10.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 4
. Complaint on an Account_________________________________________
    1. Allegation of jurisdiction.
    2. Defendant owes plaintiff _____ dollars according to the account 
hereto annexed as Exhibit A.
    Wherefore (etc. as in Form 3).
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 5
. Complaint for Goods Sold and Delivered__________________________
    1. Allegation of jurisdiction.
    2. Defendant owes plaintiff ________ dollars for goods sold and 
delivered by plaintiff to defendant between June 1, 1936 and December 1, 
1936.
    Wherefore (etc. as in Form 3).

                                  Note

    This form may be used where the action is for an agreed price or for 
the reasonable value of the goods.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 6
. Complaint for Money Lent________________________________________
    1. Allegation of jurisdiction.
    2. Defendant owes plaintiff ___ dollars for money lent by plaintiff 
to defendant on June 1, 1936.
    Wherefore (etc. as in Form 3).
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 7
. Complaint for Money Paid by Mistake_____________________________
    1. Allegation of jurisdiction.
    2. Defendant owes plaintiff ___ dollars for money paid by plaintiff 
to defendant by mistake on June 1, 1936, under the following 
circumstances: [here state the circumstances with particularity--see 
Rule 9(b)].
    Wherefore (etc. as in Form 3).
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 8
. Complaint for Money Had and Received____________________________
    1. Allegation of jurisdiction.
    2. Defendant owes plaintiff ___ dollars for money had and received 
from one G. H. on June 1, 1936, to be paid by defendant to plaintiff.
    Wherefore (etc. as in Form 3).
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 9
. Complaint for Negligence________________________________________
    1. Allegation of jurisdiction.
    2. On June 1, 1936, in a public highway called Boylston Street in 
Boston, Massachusetts, defendant negligently drove a motor vehicle 
against plaintiff who was then crossing said highway.
    3. As a result plaintiff was thrown down and had his leg broken and 
was otherwise injured, was prevented from transacting his business, 
suffered great pain of body and mind, and incurred expenses for medical 
attention and hospitalization in the sum of one thousand dollars.
    Wherefore plaintiff demands judgment against defendant in the sum of 
___ dollars and costs.

                                  Note

    Since contributory negligence is an affirmative defense, the 
complaint need contain no allegation of due care of plaintiff.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 10
. Complaint for Negligence Where Plaintiff Is Unable To Determine 
Definitely Whether the Person Responsible Is C. D. or E. F. or Whether 
Both Are Responsible and Where His Evidence May Justify a Finding of 
Wilfulness or of Recklessness or of Negligence__________________________

                 A. B., Plaintiff

                        v.

<5-ln }>

                                                      Complaint
            C. D. and E. F., Defendants

    1. Allegation of jurisdiction.
    2. On June 1, 1936, in a public highway called Boylston Street in 
Boston, Massachusetts, defendant C. D. or defendant E. F., or both 
defendants C. D. and E. F. wilfully or recklessly or negligently drove 
or caused to be driven a motor vehicle against plaintiff who was then 
crossing said highway.
    3. As a result plaintiff was thrown down and had his leg broken and 
was otherwise injured, was prevented from transacting his business, 
suffered great pain of body and mind, and incurred expenses for medical 
attention and hospitalization in the sum of one thousand dollars.
    Wherefore plaintiff demands judgment against C. D. or against E. F. 
or against both in the sum of _______ dollars and costs.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 11
. Complaint for Conversion________________________________________
    1. Allegation of jurisdiction.
    2. On or about December 1, 1936, defendant converted to his own use 
ten bonds of the _____ Company (here insert brief identification as by 
number and issue) of the value of _____ dollars, the property of 
plaintiff.
    Wherefore plaintiff demands judgment against defendant in the sum of 
_____ dollars, interest, and costs.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 12
. Complaint for Specific Performance of Contract To Convey Land___
    1. Allegation of jurisdiction.
    2. On or about December 1, 1936, plaintiff and defendant entered 
into an agreement in writing a copy of which is hereto annexed as 
Exhibit A.
    3. In accord with the provisions of said agreement plaintiff 
tendered to defendant the purchase price and requested a conveyance of 
the land, but defendant refused to accept the tender and refused to make 
the conveyance.
    4. Plaintiff now offers to pay the purchase price.
    Wherefore plaintiff demands (1) that defendant be required 
specifically to perform said agreement, (2) damages in the sum of one 
thousand dollars, and (3) that if specific performance is not granted 
plaintiff have judgment against defendant in the sum of _____ dollars.

                                  Note

    Here, as in Form 3, plaintiff may set forth the contract verbatim in 
the complaint or plead it, as indicated, by exhibit, or plead it 
according to its legal effect. Furthermore, plaintiff may seek legal or 
equitable relief or both even though this was impossible under the 
system in operation before these rules.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 13
. Complaint on Claim for Debt and To Set Aside Fraudulent 
Conveyance Under Rule 18(b)_____________________________________________

                 A. B., Plaintiff

                        v.

<5-ln }>

                                                      Complaint
            C. D. and E. F., Defendants

    1. Allegation of jurisdiction.
    2. Defendant C. D. on or about ___ executed and delivered to 
plaintiff a promissory note [in the following words and figures: (here 
set out the note verbatim)]; [a copy of which is hereto annexed as 
Exhibit A]; [whereby defendant C. D. promised to pay to plaintiff or 
order on ___ the sum of five thousand dollars with interest thereon at 
the rate of ___ percent. per annum].
    3. Defendant C. D. owes to plaintiff the amount of said note and 
interest.
    4. Defendant C. D. on or about ___ conveyed all his property, real 
and personal [or specify and describe] to defendant E. F. for the 
purpose of defrauding plaintiff and hindering and delaying the 
collection of the indebtedness evidenced by the note above referred to.
    Wherefore plaintiff demands:
    (1) That plaintiff have judgment against defendant C. D. for ___ 
dollars and interest; (2) that the aforesaid conveyance to defendant E. 
F. be declared void and the judgment herein be declared a lien on said 
property; (3) that plaintiff have judgment against the defendants for 
costs.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 14
. Complaint for Negligence Under Federal Employer's Liability Act_
    1. Allegation of jurisdiction.
    2. During all the times herein mentioned defendant owned and 
operated in interstate commerce a railroad which passed through a tunnel 
located at ___ and known as Tunnel No. ___.
    3. On or about June 1, 1936, defendant was repairing and enlarging 
the tunnel in order to protect interstate trains and passengers and 
freight from injury and in order to make the tunnel more conveniently 
usable for interstate commerce.
    4. In the course of thus repairing and enlarging the tunnel on said 
day defendant employed plaintiff as one of its workmen, and negligently 
put plaintiff to work in a portion of the tunnel which defendant had 
left unprotected and unsupported.
    5. By reason of defendant's negligence in thus putting plaintiff to 
work in that portion of the tunnel, plaintiff was, while so working 
pursuant to defendant's orders, struck and crushed by a rock, which fell 
from the unsupported portion of the tunnel, and was (here describe 
plaintiff's injuries).
    6. Prior to these injuries, plaintiff was a strong, able-bodied man, 
capable of earning and actually earning ___ dollars per day. By these 
injuries he has been made incapable of any gainful activity, has 
suffered great physical and mental pain, and has incurred expense in the 
amount of ___ dollars for medicine, medical attendance, and 
hospitalization.
    Wherefore plaintiff demands judgment against defendant in the sum of 
___ dollars and costs.
Form 15
. Complaint for Damages Under Merchant Marine Act_________________
    1. Allegation of jurisdiction. [If the pleader wishes to invoke the 
distinctively maritime procedures referred to in Rule 9(h), add the 
following or its substantial equivalent: This is an admiralty or 
maritime claim within the meaning of Rule 9(h).]
    2. During all the times herein mentioned defendant was the owner of 
the steamship ___ and used it in the transportation of freight for hire 
by water in interstate and foreign commerce.
    3. During the first part of (month and year) at ___ plaintiff 
entered the employ of defendant as an able seaman on said steamship 
under seamen's articles of customary form for a voyage from ___ ports to 
the Orient and return at a wage of ___ dollars per month and found, 
which is equal to a wage of ___ dollars per month as a shore worker.
    4. On June 1, 1936, said steamship was about ___ days out of the 
port of ___ and was being navigated by the master and crew on the return 
voyage to ___ ports. (Here describe weather conditions and the condition 
of the ship and state as in an ordinary complaint for personal injuries 
the negligent conduct of defendant.)
    5. By reason of defendant's negligence in thus (brief statement of 
defendant's negligent conduct) and the unseaworthiness of said 
steamship, plaintiff was (here describe plaintiff's injuries).
    6. Prior to these injuries, plaintiff was a strong, able-bodied man, 
capable of earning and actually earning ___ dollars per day. By these 
injuries he has been made incapable of any gainful activity; has 
suffered great physical and mental pain, and has incurred expense in the 
amount of ___ dollars for medicine, medical attendance, and 
hospitalization.
    Wherefore plaintiff demands judgment against defendant in the sum of 
___ dollars and costs.
(As amended Feb. 28, 1966, eff. July 1, 1966.)
Form 16
. Complaint for Infringement of Patent____________________________
    1. Allegation of jurisdiction.
    2. On May 16, 1934, United States Letters Patent No. ___ were duly 
and legally issued to plaintiff for an invention in an electric motor; 
and since that date plaintiff has been and still is the owner of those 
Letters Patent.
    3. Defendant has for a long time past been and still is infringing 
those Letters Patent by making, selling, and using electric motors 
embodying the patented invention, and will continue to do so unless 
enjoined by this court.
    4. Plaintiff has placed the required statutory notice on all 
electric motors manufactured and sold by him under said Letters Patent, 
and has given written notice to defendant of his said infringement.
    Wherefore plaintiff demands a preliminary and final injunction 
against continued infringement, an accounting for damages, and an 
assessment of interest and costs against defendant.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
Form 17
. Complaint for Infringement of Copyright and Unfair Competition__
    1. Allegation of jurisdiction.
    2. Prior to March, 1936, plaintiff, who then was and ever since has 
been a citizen of the United States, created and wrote an original book, 
entitled __________.
    3. This book contains a large amount of material wholly original 
with plaintiff and is copyrightable subject matter under the laws of the 
United States.
    4. Between March 2, 1936, and March 10, 1936, plaintiff complied in 
all respects with the Act of (give citation) and all other laws 
governing copyright, and secured the exclusive rights and privileges in 
and to the copyright of said book, and received from the Register of 
Copyrights a certificate of registration, dated and identified as 
follows: ``March 10, 1936, Class ______, No. ______.''
    5. Since March 10, 1936, said book has been published by plaintiff 
and all copies of it made by plaintiff or under his authority or license 
have been printed, bound, and published in strict conformity with the 
provisions of the Act of __________ and all other laws governing 
copyright.
    6. Since March 10, 1936, plaintiff has been and still is the sole 
proprietor of all rights, title, and interest in and to the copyright in 
said book.
    7. After March 10, 1936, defendant infringed said copyright by 
publishing and placing upon the market a book entitled ______ 
___________, which was copied largely from plaintiff's copyrighted book, 
entitled __________.
    8. A copy of plaintiff's copyrighted book is hereto attached as 
``Exhibit 1''; and a copy of defendant's infringing book is hereto 
attached as ``Exhibit 2.''
    9. Plaintiff has notified defendant that defendant has infringed the 
copyright of plaintiff, and defendant has continued to infringe the 
copyright.
    10. After March 10, 1936, and continuously since about _____ ______, 
defendant has been publishing, selling and otherwise marketing the book 
entitled __________, and has thereby been engaging in unfair trade 
practices and unfair competition against plaintiff to plaintiff's 
irreparable damage.
    Wherefore plaintiff demands:
    (1) That defendant, his agents, and servants be enjoined during the 
pendency of this action and permanently from infringing said copyright 
of said plaintiff in any manner, and from publishing, selling, marketing 
or otherwise disposing of any copies of the book entitled __________.
    (2) That defendant be required to pay to plaintiff such damages as 
plaintiff has sustained in consequence of defendant's infringement of 
said copyright and said unfair trade practices and unfair competition 
and to account for
    (a) all gains, profits and advantages derived by defendant by said 
trade practices and unfair competition and
    (b) all gains, profits, and advantages derived by defendant by his 
infringement of plaintiff's copyright or such damages as to the court 
shall appear proper within the provisions of the copyright statutes, but 
not less than two hundred and fifty dollars.
    (3) That defendant be required to deliver up to be impounded during 
the pendency of this action all copies of said book entitled __________ 
in his possession or under his control and to deliver up for destruction 
all infringing copies and all plates, molds, and other matter for making 
such infringing copies.
    (4) That defendant pay to plaintiff the costs of this action and 
reasonable attorney's fees to be allowed to the plaintiff by the court.
    (5) That plaintiff have such other and further relief as is just.
(As amended Dec. 27, 1946, eff. Mar. 19, 1948.)
Form 18
. Complaint for Interpleader and Declaratory Relief_______________
    1. Allegation of jurisdiction.
    2. On or about June 1, 1935, plaintiff issued to G. H. a policy of 
life insurance whereby plaintiff promised to pay to K. L. as beneficiary 
the sum of ______________ dollars upon the death of G. H. The policy 
required the payment by G. H. of a stipulated premium on June 1, 1936, 
and annually thereafter as a condition precedent to its continuance in 
force.
    3. No part of the premium due June 1, 1936, was ever paid and the 
policy ceased to have any force or effect on July 1, 1936.
    4. Thereafter, on September 1, 1936, G. H. and K. L. died as the 
result of a collision between a locomotive and the automobile in which 
G. H. and K. L. were riding.
    5. Defendant C. D. is the duly appointed and acting executor of the 
will of G. H.; defendant E. F. is the duly appointed and acting executor 
of the will of K. L.; defendant X. Y. claims to have been duly 
designated as beneficiary of said policy in place of K. L.
    6. Each of defendants, C. D., E. F., and X. Y. is claiming that the 
above-mentioned policy was in full force and effect at the time of the 
death of G. H.; each of them is claiming to be the only person entitled 
to receive payment of the amount of the policy and has made demand for 
payment thereof.
    7. By reason of these conflicting claims of the defendants, 
plaintiff is in great doubt as to which defendant is entitled to be paid 
the amount of the policy, if it was in force at the death of G. H.
    Wherefore plaintiff demands that the court adjudge:
    (1) That none of the defendants is entitled to recover from 
plaintiff the amount of said policy or any part thereof.
    (2) That each of the defendants be restrained from instituting any 
action against plaintiff for the recovery of the amount of said policy 
or any part thereof.
    (3) That, if the court shall determine that said policy was in force 
at the death of G. H., the defendants be required to interplead and 
settle between themselves their rights to the money due under said 
policy, and that plaintiff be discharged from all liability in the 
premises except to the person whom the court shall adjudge entitled to 
the amount of said policy.
    (4) That plaintiff recover its costs.
(As amended Jan. 21, 1963, eff. July 1, 1963.)
[Form 18-A
. Notice and Acknowledgment for Service by Mail] (Abrogated Apr. 
22, 1993, eff. Dec. 1, 1993.)___________________________________________
Form 19
. Motion To Dismiss, Presenting Defenses of Failure To State a 
Claim, of Lack of Service of Process, of Improper Venue, and of Lack of 
Jurisdiction Under Rule 12(b)___________________________________________
    The defendant moves the court as follows:
    1. To dismiss the action because the complaint fails to state a 
claim against defendant upon which relief can be granted.
    2. To dismiss the action or in lieu thereof to quash the return of 
service of summons on the grounds (a) that the defendant is a 
corporation organized under the laws of Delaware and was not and is not 
subject to service of process within the Southern District of New York, 
and (b) that the defendant has not been properly served with process in 
this action, all of which more clearly appears in the affidavits of M. 
N. and X. Y. hereto annexed as Exhibit A and Exhibit B respectively.
    3. To dismiss the action on the ground that it is in the wrong 
district because (a) the jurisdiction of this court is invoked solely on 
the ground that the action arises under the Constitution and laws of the 
United States and (b) the defendant is a corporation incorporated under 
the laws of the State of Delaware and is not licensed to do or doing 
business in the Southern District of New York, all of which more clearly 
appears in the affidavits of K. L. and V. W. hereto annexed as Exhibits 
C and D, respectively.
    4. To dismiss the action on the ground that the court lacks 
jurisdiction because the amount actually in controversy is less than ten 
thousand dollars exclusive of interest and costs.
                                                    Signed: ________    
                                                 Attorney for Defendant.
                                                   Address: ________    

                            Notice of Motion

To: _________________
                            Attorney for Plaintiff.

_______________
    Please take notice, that the undersigned will bring the above motion 
on for hearing before this Court at Room ___, United States Court House, 
Foley Square, City of New York, on the ___ day of _____, 20_, at 10 
o'clock in the forenoon of that day or as soon thereafter as counsel can 
be heard.
                                                    Signed: ________    
                                                 Attorney for Defendant.
                                                   Address: ________    

                            Explanatory Notes

    1. The above motion and notice of motion may be combined and 
denominated Notice of Motion. See Rule 7(b).
    2. As to paragraph 3, see U.S.C., Title 28, Sec. 1391 (Venue 
generally), subsections (b) and (c).
    3. As to paragraph 4, see U.S.C., Title 28, Sec. 1331 (Federal 
question; amount in controversy; costs), as amended by P.L. 85-554, 72 
Stat. 415, July 25, 1958, requiring that the amount in controversy, 
exclusive of interest and costs, be in excess of $10,000.
(As amended Dec. 29, 1948, eff. Oct. 20, 1949; Apr. 17, 1961, eff. July 
19, 1961; Mar. 27, 2003, eff. Dec. 1, 2003.)
Form 20
. Answer Presenting Defenses Under Rule 12(b)_____________________

                              First Defense

    The complaint fails to state a claim against defendant upon which 
relief can be granted.

                             Second Defense

    If defendant is indebted to plaintiffs for the goods mentioned in 
the complaint, he is indebted to them jointly with G. H. G. H. is alive; 
is a citizen of the State of New York and a resident of this district, 
is subject to the jurisdiction of this court, as to both service of 
process and venue; can be made a party without depriving this court of 
jurisdiction of the present parties, and has not been made a party.

                              Third Defense

    Defendant admits the allegation contained in paragraphs 1 and 4 of 
the complaint; alleges that he is without knowledge or information 
sufficient to form a belief as to the truth of the allegations contained 
in paragraph 2 of the complaint; and denies each and every other 
allegation contained in the complaint.

                             Fourth Defense

    The right of action set forth in the complaint did not accrue within 
six years next before the commencement of this action.

                              Counterclaim

    (Here set forth any claim as a counterclaim in the manner in which a 
claim is pleaded in a complaint. No statement of the grounds on which 
the court's jurisdiction depends need be made unless the counterclaim 
requires independent grounds of jurisdiction.)

                   Cross-Claim Against Defendant M. N.

    (Here set forth the claim constituting a cross-claim against 
defendant M. N. in the manner in which a claim is pleaded in a 
complaint. The statement of grounds upon which the court's jurisdiction 
depends need not be made unless the cross-claim requires independent 
grounds of jurisdiction.)

                                  Note

    The above form contains examples of certain defenses provided for in 
Rule 12(b). The first defense challenges the legal sufficiency of the 
complaint. It is a substitute for a general demurrer or a motion to 
dismiss.
    The second defense embodies the old plea in abatement; the decision 
thereon, however, may well provide under Rules 19 and 21 for the citing 
in of the party rather than an abatement of the action.
    The third defense is an answer on the merits.
    The fourth defense is one of the affirmative defenses provided for 
in Rule 8(c).
    The answer also includes a counterclaim and a cross-claim.
Form 21
. Answer to Complaint Set Forth in Form 8, With Counterclaim for 
Interpleader____________________________________________________________

                                 Defense

    Defendant admits the allegations stated in paragraph 1 of the 
complaint; and denies the allegations stated in paragraph 2 to the 
extent set forth in the counterclaim herein.

                      Counterclaim for Interpleader

    1. Defendant received the sum of ______ dollars as a deposit from E. 
F.
    2. Plaintiff has demanded the payment of such deposit to him by 
virtue of an assignment of it which he claims to have received from E. 
F.
    3. E. F. has notified the defendant that he claims such deposit, 
that the purported assignment is not valid, and that he holds the 
defendant responsible for the deposit.
    Wherefore defendant demands:
    (1) That the court order E. F. to be made a party defendant to 
respond to the complaint and to this counterclaim.\1\
    (2) That the court order the plaintiff and E. F. to interplead their 
respective claims.
    (3) That the court adjudge whether the plaintiff or E. F. is 
entitled to the sum of money.
    (4) That the court discharge defendant from all liability in the 
premises except to the person it shall adjudge entitled to the sum of 
money.
    (5) That the court award to the defendant its costs and attorney's 
fees.

    \1\ Rule 13(h) provides for the court ordering parties to a 
counterclaim, but who are not parties to the original action, to be 
brought in as defendants.
(As amended Jan. 21, 1963, eff. July 1, 1963.)

Form 22

[Form 22
. Motion To Bring in Third-Party Defendant] (Eliminated Jan. 21, 
1963, eff. July 1, 1963)________________________________________________
Form 22-A
. Summons and Complaint Against Third-Party Defendant_____________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number ____


To the above-named Third-Party Defendant:

    You are hereby summoned and required to serve upon ___________, 
plaintiff's attorney whose address is ___________, and upon 
____________, who is attorney for C. D., defendant and third-party 
plaintiff, and whose address is _______, an answer to the third-party 
complaint which is herewith served upon you within 20 days after the 
service of this summons upon you exclusive of the day of service. If you 
fail to do so, judgment by default will be taken against you for the 
relief demanded in the third-party complaint. There is also served upon 
you herewith a copy of the complaint of the plaintiff which you may but 
are not required to answer.
                                                          _________,    
                                                         Clerk of Court.
    [Seal of District Court]
    Dated _________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number ____


    1. Plaintiff A. B. has filed against defendant C. D. a complaint, a 
copy of which is hereto attached as ``Exhibit A.''
    2. (Here state the grounds upon which C. D. is entitled to recover 
from E. F., all or part of what A. B. may recover from C. D. The 
statement should be framed as in an original complaint.)
    Wherefore C. D. demands judgment against third-party defendant E. F. 
for all sums \1\ that may be adjudged against defendant C. D. in favor 
of plaintiff A. B.
                                                  Signed: _________,    
                              Attorney for C. D., Third-Party Plaintiff.
                                                    Address: ___________

    \1\ Make appropriate change where C. D. is entitled to only partial 
recovery-over against E. F.
(As added Jan. 21, 1963, eff. July 1, 1963.)
Form 22-B
. Motion To Bring in Third-Party Defendant________________________
    Defendant moves for leave, as third-party plaintiff, to cause to be 
served upon E. F. a summons and third-party complaint, copies of which 
are hereto attached as Exhibit X.
                                                  Signed: _________,    
                                            Attorney for Defendant C. D.
                                                  Address: ________.    

                            Notice of Motion

    (Contents the same as in Form 19. The notice should be addressed to 
all parties to the action.)

                                Exhibit X

    (Contents the same as in Form 22-A.)
(As added Jan. 21, 1963, eff. July 1, 1963.)
Form 23
. Motion To Intervene as a Defendant Under Rule 24________________

                   (Based upon the complaint, Form 16)

              United States District Court for the Southern

                          District of New York

                      Civil Action, File Number __


    E. F. moves for leave to intervene as a defendant in this action, in 
order to assert the defenses set forth in his proposed answer, of which 
a copy is hereto attached, on the ground that he is the manufacturer and 
vendor to the defendant, as well as to others, of the articles alleged 
in the complaint to be an infringement of plaintiff's patent, and as 
such has a defense to plaintiff's claim presenting both questions of law 
and of fact which are common to the main action.\1\
                                               Signed: ____________,    
                         Attorney for E. F., Applicant for Intervention.
                                               Address: ___________.    

                            Notice of Motion

                    (Contents the same as in Form 19)

    \1\ For other grounds of intervention, either of right or in the 
discretion of the court, see Rule 24(a) and (b).

              United States District Court for the Southern

                          District of New York

                      Civil Action, File Number __


                              First Defense

    Intervener admits the allegations stated in paragraphs 1 and 4 of 
the complaint; denies the allegations in paragraph 3, and denies the 
allegations in paragraph 2 in so far as they assert the legality of the 
issuance of the Letters Patent to plaintiff.

                             Second Defense

    Plaintiff is not the first inventor of the articles covered by the 
Letters Patent specified in his complaint, since articles substantially 
identical in character were previously patented in Letters Patent 
granted to intervener on January 5, 1920.
                                               Signed: ____________,    
                                         Attorney for E. F., Intervener.
                                               Address: ___________.    
(As amended Dec. 29, 1948, eff. Oct. 20, 1949.)
Form 24
. Request for Production of Documents, etc., Under Rule 34________
    Plaintiff A. B. requests defendant C. D. to respond within __ days 
to the following requests:
    (1) That defendant produce and permit plaintiff to inspect and to 
copy each of the following documents:
    (Here list the documents either individually or by category and 
describe each of them.)
    (Here state the time, place, and manner of making the inspection and 
performance of any related acts.)
    (2) That defendant produce and permit plaintiff to inspect and to 
copy, test, or sample each of the following objects:
    (Here list the objects either individually or by category and 
describe each of them.)
    (Here state the time, place, and manner of making the inspection and 
performance of any related acts.)
    (3) That defendant permit plaintiff to enter (here describe property 
to be entered) and to inspect and to photograph, test or sample (here 
describe the portion of the real property and the objects to be 
inspected).
    (Here state the time, place, and manner of making the inspection and 
performance of any related acts.)
                                               Signed: ____________,    
                                                 Attorney for Plaintiff.
                                               Address: ___________.    
(As amended Mar. 30, 1970, eff. July 1, 1970.)
Form 25
. Request for Admission Under Rule 36_____________________________
    Plaintiff A. B. requests defendant C. D. within _____ days after 
service of this request to make the following admissions for the purpose 
of this action only and subject to all pertinent objections to 
admissibility which may be interposed at the trial:
    1. That each of the following documents, exhibited with this 
request, is genuine.
    (Here list the documents and describe each document.)
    2. That each of the following statements is true.
    (Here list the statements.)
                                               Signed: ____________,    
                                                 Attorney for Plaintiff.
                                               Address: ___________.    
(As amended Dec. 27, 1946, eff. Mar. 19, 1948.)
Form 26
. Allegation of Reason for Omitting Party_________________________
    When it is necessary, under Rule 19(c), for the pleader to set forth 
in his pleading the names of persons who ought to be made parties, but 
who are not so made, there should be an allegation such as the one set 
out below:
    John Doe named in this complaint is not made a party to this action 
[because he is not subject to the jurisdiction of this court]; [because 
he cannot be made a party to this action without depriving this court of 
jurisdiction].

Form 27

[Form 27
. Notice of Appeal to Court of Appeals Under Rule 73(b)] 
(Abrogated Dec. 4, 1967, eff. July 1, 1968)_____________________________
Form 28
. Notice: Condemnation____________________________________________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number _____


To (here insert the names of the defendants to whom the notice is 
        directed):
    You are hereby notified that a complaint in condemnation has 
heretofore been filed in the office of the clerk of the United States 
District Court for the Southern District of New York, in the United 
States Court House in New York City, New York, for the taking (here 
state the interest to be acquired, as ``an estate in fee simple'') for 
use (here state briefly the use, ``as a site for a post-office 
building'') of the following described property in which you have or 
claim an interest.
            (Here insert brief description of the property in which the 
        defendants, to whom the notice is directed, have or claim an 
        interest.)
    The authority for the taking is (here state briefly, as ``the Act of 
___, ___ Stat. ___, U.S.C., Title ___, Sec.  ___''.) \1\
    You are further notified that if you desire to present any objection 
or defense to the taking of your property you are required to serve your 
answer on the plaintiff's attorney at the address herein designated 
within twenty days after ______________.\2\
    Your answer shall identify the property in which you claim to have 
an interest, state the nature and extent of the interest you claim, and 
state all of your objections and defenses to the taking of your 
property. All defenses and objections not so presented are waived. And 
in case of your failure so to answer the complaint, judgment of 
condemnation of that part of the above-described property in which you 
have or claim an interest will be rendered.
    But without answering, you may serve on the plaintiff's attorney a 
notice of appearance designating the property in which you claim to be 
interested. Thereafter you will receive notice of all proceedings 
affecting it. At the trial of the issue of just compensation, whether or 
not you have previously appeared or answered, you may present evidence 
as to the amount of the compensation to be paid for your property, and 
you may share in the distribution of the award.
                                                          __________    
                                                 United States Attorney.
                                                 Address ___________    
            (Here state an address within the district where the United 
        States Attorney may be served as ``United States Court House, 
        New York, N.Y.''.)
Dated __________

    \1\ And where appropriate add a citation to any applicable Executive 
Order.
    \2\ Here insert the words ``personal service of this notice upon 
you,'' if personal service is to be made pursuant to subdivision 
(d)(3)(i) of this rule [Rule 71A]; or, insert the date of the last 
publication of notice, if service by publication is to be made pursuant 
to subdivision (d)(3)(ii) of this rule.
(As added May 1, 1951, eff. Aug. 1, 1951.)
Form 29
. Complaint: Condemnation_________________________________________

              United States District Court for the Southern

                          District of New York


    1. This is an action of a civil nature brought by the United States 
of America for the taking of property under the power of eminent domain 
and for the ascertainment and award of just compensation to the owners 
and parties in interest.\1\
    2. The authority for the taking is (here state briefly, as ``the Act 
of _____, _____ Stat. _____, U.S.C., Title _____, Sec. _____'').\2\
    3. The use for which the property is to be taken is (here state 
briefly the use, ``as a site for a post-office building'').
    4. The interest to be acquired in the property is (here state the 
interest as ``an estate in fee simple'').
    5. The property so to be taken is (here set forth a description of 
the property sufficient for its identification) or (described in Exhibit 
A hereto attached and made a part hereof).
    6. The persons known to the plaintiff to have or claim an interest 
in the property \3\ are:
            (Here set forth the names of such persons and the interests 
        claimed.) \4\
    7. In addition to the persons named, there are or may be others who 
have or may claim some interest in the property to be taken, whose names 
are unknown to the plaintiff and on diligent inquiry have not been 
ascertained. They are made parties to the action under the designation 
``Unknown Owners.''
    Wherefore the plaintiff demands judgment that the property be 
condemned and that just compensation for the taking be ascertained and 
awarded and for such other relief as may be lawful and proper.
                                                           _________    
                                                 United States Attorney.
                                                   Address _________    

            (Here state an address within the district where the United 
        States Attorney may be served, as ``United States Court House, 
        New York, N.Y.''.)

    \1\ If the plaintiff is not the United States, but is, for example, 
a corporation invoking the power of eminent domain delegated to it by 
the state, then this paragraph 1 of the complaint should be 
appropriately modified and should be preceded by a paragraph 
appropriately alleging federal jurisdiction for the action, such as 
diversity. See Form 2.
    \2\ And where appropriate add a citation to any applicable Executive 
Order.
    \3\ At the commencement of the action the plaintiff need name as 
defendants only the persons having or claiming an interest in the 
property whose names are then known, but prior to any hearing involving 
the compensation to be paid for a particular piece of property the 
plaintiff must add as defendants all persons having or claiming an 
interest in that property whose names can be ascertained by an 
appropriate search of the records and also those whose names have 
otherwise been learned. See Rule 71A(c)(2).
    \4\ The plaintiff should designate, as to each separate piece of 
property, the defendants who have been joined as owners thereof or of 
some interest therein. See Rule 71A(c)(2).
(As added May 1, 1951, eff. Aug. 1, 1951.)
Form 30
. Suggestion of Death Upon the Record Under Rule 25(a)(1)_________
    A. B. [describe as a party, or as executor, administrator, or other 
representative or successor of C. D., the deceased party] suggests upon 
the record, pursuant to Rule 25(a)(1), the death of C. D. [describe as 
party] during the pendency of this action.
(As added Jan. 21, 1963, eff. July 1, 1963.)
Form 31
. Judgment on Jury Verdict________________________________________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number ____

                 A. B., Plaintiff

                        v.

<5-ln }>

                                                      Judgment
                 C. D., Defendant

    This action came on for trial before the Court and a jury, Honorable 
John Marshall, District Judge, presiding, and the issues having been 
duly tried and the jury having duly rendered its verdict,
    It is Ordered and Adjudged
    [that the plaintiff A. B. recover of the defendant C. D. the sum of 
_____, with interest thereon at the rate of _______ percent as provided 
by law, and his costs of action.]
    [that the plaintiff take nothing, that the action be dismissed on 
the merits, and that the defendant C. D. recover of the plaintiff A. B. 
his costs of action.]
    Dated at New York, New York, this _____ day of _____, 20_.
                                                         ___________    
                                                         Clerk of Court.

                                  Note

    1. This Form is illustrative of the judgment to be entered upon the 
general verdict of a jury. It deals with the cases where there is a 
general jury verdict awarding the plaintiff money damages or finding for 
the defendant, but is adaptable to other situations of jury verdicts.
    2. The clerk, unless the court otherwise orders, is required 
forthwith to prepare, sign, and enter the judgment upon a general jury 
verdict without awaiting any direction by the court. The form of the 
judgment upon a special verdict or a general verdict accompanied by 
answers to interrogatories shall be promptly approved by the court, and 
the clerk shall thereupon enter it. See Rule 58, as amended.
    3. The Rules contemplate a simple judgment promptly entered. See 
Rule 54(a). Every judgment shall be set forth on a separate document. 
See Rule 58, as amended.
    4. Attorneys are not to submit forms of judgment unless directed in 
exceptional cases to do so by the court. See Rule 58, as amended.
(As added Jan. 21, 1963, eff. July 1, 1963; amended Mar. 27, 2003, eff. 
Dec. 1, 2003.)
Form 32
. Judgment on Decision by the Court_______________________________

              United States District Court for the Southern

                          District of New York

                     Civil Action, File Number ____

                 A. B., Plaintiff

                        v.

<5-ln }>

                                                      Judgment
                 C. D., Defendant

    This action came on for [trial] [hearing] before the Court, 
Honorable John Marshall, District Judge, presiding, and the issues 
having been duly [tried] [heard] and a decision having been duly 
rendered,
    It is Ordered and Adjudged
    [that the plaintiff A. B. recover of the defendant C. D. the sum of 
______, with interest thereon at the rate of _____ percent as provided 
by law, and his costs of action.]
    [that the plaintiff take nothing, that the action be dismissed on 
the merits, and that the defendant C. D. recover of the plaintiff A. B. 
his costs of action.]
    Dated at New York, New York, this _________ day of __________, 20_.
                                                         ___________    
                                                         Clerk of Court.

                                  Notes

    1. This Form is illustrative of the judgment to be entered upon a 
decision of the court. It deals with the cases of decisions by the court 
awarding a party only money damages or costs, but is adaptable to other 
decisions by the court.
    2. The clerk, unless the court otherwise orders, is required 
forthwith, without awaiting any direction by the court, to prepare, 
sign, and enter the judgment upon a decision by the court that a party 
shall recover only a sum certain or costs or that all relief shall be 
denied. The form of the judgment upon a decision by the court granting 
other relief shall be promptly approved by the court, and the clerk 
shall thereupon enter it. See Rule 58, as amended.
    3. See also paragraphs 3-4 of the Explanatory Note to Form 31.
(As added Jan. 21, 1963, eff. July 1, 1963; amended Mar. 27, 2003, eff. 
Dec. 1, 2003.)
Form 33
. Notice of Availability of Magistrate Judge to Exercise 
Jurisdiction____________________________________________________________
    In accordance with the provisions of Title 28, U.S.C. Sec. 636(c), 
you are hereby notified that a United States magistrate judge of this 
district court is available to exercise the court's jurisdiction and to 
conduct any or all proceedings in this case including a jury or nonjury 
trial, and entry of a final judgment. Exercise of this jurisdiction by a 
magistrate judge is, however, permitted only if all parties voluntarily 
consent.
    You may, without adverse substantive consequences, withhold your 
consent, but this will prevent the court's jurisdiction from being 
exercised by a magistrate judge. If any party withholds consent, the 
identity of the parties consenting or withholding consent will not be 
communicated to any magistrate judge or to the district judge to whom 
the case has been assigned.
    An appeal from a judgment entered by a magistrate judge may be taken 
directly to the United States court of appeals for this judicial circuit 
in the same manner as an appeal from any other judgment of a district 
court.
    Copies of the Form for the ``Consent to Jurisdiction by a United 
States Magistrate Judge'' are available from the clerk of the court.
(As added Apr. 28, 1983, eff. Aug. 1, 1983; amended Apr. 22, 1993, eff. 
Dec. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997.)
Form 34
. Consent to Exercise of Jurisdiction by a United States 
Magistrate Judge________________________________________________________

                      UNITED STATES DISTRICT COURT

                      ________ DISTRICT OF ________

                      Plaintiff,

                    vs.        

<5-ln }>

                                                      Docket No. ____
                      Defendant.

       CONSENT TO JURISDICTION BY A UNITED STATES MAGISTRATE JUDGE

    In accordance with the provisions of Title 28, U.S.C. Sec. 636(c), 
the undersigned party or parties to the above-captioned civil matter 
hereby voluntarily consent to have a United States magistrate judge 
conduct any and all further proceedings in the case, including trial, 
and order the entry of a final judgment.
__________      ____________________
    Date                    Signature
Note: Return this form to the Clerk of the Court if you consent to 
        jurisdiction by a magistrate judge. Do not send a copy of this 
        form to any district judge or magistrate judge.
(As added Apr. 28, 1983, eff. Aug. 1, 1983; amended Apr. 22, 1993, eff. 
Dec. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997.)
Form 34A
. Order of Reference______________________________________________

                      UNITED STATES DISTRICT COURT

                      ________ DISTRICT OF ________

                      Plaintiff,

                    vs.        

<5-ln }>

                                                      Docket No. ____
                      Defendant.

                           ORDER OF REFERENCE

    IT IS HEREBY ORDERED that the above-captioned matter be referred to 
United States Magistrate Judge ________ for all further proceedings and 
entry of judgment in accordance with Title 28, U.S.C. Sec. 636(c) and 
the consent of the parties.
                                                            ____________
                                                     U.S. District Judge
(As added Apr. 22, 1993, eff. Dec. 1, 1993.)
Form 35
. Report of Parties' Planning Meeting_____________________________

                     [Caption and Names of Parties]

    1. Pursuant to Fed. R. Civ. P. 26(f), a meeting was held on 
___(date)___ at ___(place)___ and was attended by:
    ___(name)___ for plaintiff(s)
    ___(name)___ for defendant(s) ___(party name)___
    ___(name)___ for defendant(s) ___(party name)___
    2. Pre-Discovery Disclosures. The parties [have exchanged] [will 
exchange by ___(date)___] the information required by [Fed. R. Civ. P. 
26(a)(1)] [local rule __].
    3. Discovery Plan. The parties jointly propose to the court the 
following discovery plan: [Use separate paragraphs or subparagraphs as 
necessary if parties disagree.]

Discovery will be needed on the following subjects: ___(brief description 
of subjects on which discovery will be needed)___

All discovery commenced in time to be completed by ___(date)___. [Discovery 
on ___(issue for early discovery)___ to be completed by ___(date)___.]

Maximum of __ interrogatories by each party to any other party. [Responses 
due __ days after service.]

Maximum of __ requests for admission by each party to any other party. 
[Responses due __ days after service.]

Maximum of ___ depositions by plaintiff(s) and __ by defendant(s).

Each deposition [other than of ______] limited to maximum of __ hours 
unless extended by agreement of parties.

Reports from retained experts under Rule 26(a)(2) due:

  from plaintiff(s) by ___(date)___

  from defendant(s) by ___(date)___

Supplementations under Rule 26(e) due ___(time(s) or interval(s))___.

    4. Other Items. [Use separate paragraphs or subparagraphs as 
necessary if parties disagree.]

The parties [request] [do not request] a conference with the court before 
entry of the scheduling order.

The parties request a pretrial conference in ___(month and year)___.

Plaintiff(s) should be allowed until ___(date)___ to join additional 
parties and until ___(date)___ to amend the pleadings.

Defendant(s) should be allowed until ___(date)___ to join additional 
parties and until ___(date)___ to amend the pleadings.

All potentially dispositive motions should be filed by ___(date)___.

Settlement [is likely] [is unlikely] [cannot be evaluated prior to 
___(date)___] [may be enhanced by use of the following alternative dispute 
resolution procedure: [____________].

Final lists of witnesses and exhibits under Rule 26(a)(3) should be due

  from plaintiff(s) by ___(date)___

  from defendant(s) by ___(date)___

Parties should have __ days after service of final lists of witnesses and 
exhibits to list objections under Rule 26(a)(3).

The case should be ready for trial by ___(date)___ [and at this time is 
expected to take approximately ___(length of time)___].

[Other matters.]

Date: ________
(As added Apr. 22, 1993, eff. Dec. 1, 1993.)


      SUPPLEMENTAL RULES FOR CERTAIN ADMIRALTY AND MARITIME CLAIMS

Rule A
. Scope of Rules__________________________________________________
    These Supplemental Rules apply to the procedure in admiralty and 
maritime claims within the meaning of Rule 9(h) with respect to the 
following remedies:
            (1) Maritime attachment and garnishment;
            (2) Actions in rem;
            (3) Possessory, petitory, and partition actions;
            (4) Actions for exoneration from or limitation of liability.
    These rules also apply to the procedure in statutory condemnation 
proceedings analogous to maritime actions in rem, whether within the 
admiralty and maritime jurisdiction or not. Except as otherwise 
provided, references in these Supplemental Rules to actions in rem 
include such analogous statutory condemnation proceedings.
    The general Rules of Civil Procedure for the United States District 
Courts are also applicable to the foregoing proceedings except to the 
extent that they are inconsistent with these Supplemental Rules.
(As added Feb. 28, 1966, eff. July 1, 1966.)
Rule B
. In Personam Actions: Attachment and Garnishment_________________
    (1) When Available; Complaint, Affidavit, Judicial Authorization, 
and Process. In an in personam action:
            (a) If a defendant is not found within the district when a 
        verified complaint praying for attachment and the affidavit 
        required by Rule B(1)(b) are filed, a verified complaint may 
        contain a prayer for process to attach the defendant's tangible 
        or intangible personal property--up to the amount sued for--in 
        the hands of garnishees named in the process.
            (b) The plaintiff or the plaintiff's attorney must sign and 
        file with the complaint an affidavit stating that, to the 
        affiant's knowledge, or on information and belief, the defendant 
        cannot be found within the district. The court must review the 
        complaint and affidavit and, if the conditions of this Rule B 
        appear to exist, enter an order so stating and authorizing 
        process of attachment and garnishment. The clerk may issue 
        supplemental process enforcing the court's order upon 
        application without further court order.
            (c) If the plaintiff or the plaintiff's attorney certifies 
        that exigent circumstances make court review impracticable, the 
        clerk must issue the summons and process of attachment and 
        garnishment. The plaintiff has the burden in any post-attachment 
        hearing under Rule E(4)(f) to show that exigent circumstances 
        existed.
            (d)(i) If the property is a vessel or tangible property on 
        board a vessel, the summons, process, and any supplemental 
        process must be delivered to the marshal for service.
            (ii) If the property is other tangible or intangible 
        property, the summons, process, and any supplemental process 
        must be delivered to a person or organization authorized to 
        serve it, who may be (A) a marshal; (B) someone under contract 
        with the United States; (C) someone specially appointed by the 
        court for that purpose; or, (D) in an action brought by the 
        United States, any officer or employee of the United States.
            (e) The plaintiff may invoke state-law remedies under Rule 
        64 for seizure of person or property for the purpose of securing 
        satisfaction of the judgment.
    (2) Notice to Defendant. No default judgment may be entered except 
upon proof--which may be by affidavit--that:
            (a) the complaint, summons, and process of attachment or 
        garnishment have been served on the defendant in a manner 
        authorized by Rule 4;
            (b) the plaintiff or the garnishee has mailed to the 
        defendant the complaint, summons, and process of attachment or 
        garnishment, using any form of mail requiring a return receipt; 
        or
            (c) the plaintiff or the garnishee has tried diligently to 
        give notice of the action to the defendant but could not do so.
    (3) Answer.
            (a) By Garnishee. The garnishee shall serve an answer, 
        together with answers to any interrogatories served with the 
        complaint, within 20 days after service of process upon the 
        garnishee. Interrogatories to the garnishee may be served with 
        the complaint without leave of court. If the garnishee refuses 
        or neglects to answer on oath as to the debts, credits, or 
        effects of the defendant in the garnishee's hands, or any 
        interrogatories concerning such debts, credits, and effects that 
        may be propounded by the plaintiff, the court may award 
        compulsory process against the garnishee. If the garnishee 
        admits any debts, credits, or effects, they shall be held in the 
        garnishee's hands or paid into the registry of the court, and 
        shall be held in either case subject to the further order of the 
        court.
            (b) By Defendant. The defendant shall serve an answer within 
        30 days after process has been executed, whether by attachment 
        of property or service on the garnishee.
(As added Feb. 28, 1966; eff. July 1, 1966; amended Apr. 29, 1985, eff. 
Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 17, 2000, eff. Dec. 
1, 2000; Apr. 25, 2005, eff. Dec. 1, 2005.)
Rule C
. In Rem Actions: Special Provisions______________________________
    (1) When Available. An action in rem may be brought:
            (a) To enforce any maritime lien;
            (b) Whenever a statute of the United States provides for a 
        maritime action in rem or a proceeding analogous thereto.
    Except as otherwise provided by law a party who may proceed in rem 
may also, or in the alternative, proceed in personam against any person 
who may be liable.
    Statutory provisions exempting vessels or other property owned or 
possessed by or operated by or for the United States from arrest or 
seizure are not affected by this rule. When a statute so provides, an 
action against the United States or an instrumentality thereof may 
proceed on in rem principles.
    (2) Complaint. In an action in rem the complaint must:
            (a) be verified;
            (b) describe with reasonable particularity the property that 
        is the subject of the action;
            (c) in an admiralty and maritime proceeding, state that the 
        property is within the district or will be within the district 
        while the action is pending;
            (d) in a forfeiture proceeding for violation of a federal 
        statute, state:
                    (i) the place of seizure and whether it was on land 
                or on navigable waters;
                    (ii) whether the property is within the district, 
                and if the property is not within the district the 
                statutory basis for the court's exercise of jurisdiction 
                over the property; and
                    (iii) all allegations required by the statute under 
                which the action is brought.
    (3) Judicial Authorization and Process.
            (a) Arrest Warrant.
                    (i) When the United States files a complaint 
                demanding a forfeiture for violation of a federal 
                statute, the clerk must promptly issue a summons and a 
                warrant for the arrest of the vessel or other property 
                without requiring a certification of exigent 
                circumstances, but if the property is real property the 
                United States must proceed under applicable statutory 
                procedures.
                    (ii)(A) In other actions, the court must review the 
                complaint and any supporting papers. If the conditions 
                for an in rem action appear to exist, the court must 
                issue an order directing the clerk to issue a warrant 
                for the arrest of the vessel or other property that is 
                the subject of the action.
                    (B) If the plaintiff or the plaintiff's attorney 
                certifies that exigent circumstances make court review 
                impracticable, the clerk must promptly issue a summons 
                and a warrant for the arrest of the vessel or other 
                property that is the subject of the action. The 
                plaintiff has the burden in any postarrest hearing under 
                Rule E(4)(f) to show that exigent circumstances existed.
            (b) Service.
                    (i) If the property that is the subject of the 
                action is a vessel or tangible property on board a 
                vessel, the warrant and any supplemental process must be 
                delivered to the marshal for service.
                    (ii) If the property that is the subject of the 
                action is other property, tangible or intangible, the 
                warrant and any supplemental process must be delivered 
                to a person or organization authorized to enforce it, 
                who may be: (A) a marshal; (B) someone under contract 
                with the United States; (C) someone specially appointed 
                by the court for that purpose; or, (D) in an action 
                brought by the United States, any officer or employee of 
                the United States.
            (c) Deposit in Court. If the property that is the subject of 
        the action consists in whole or in part of freight, the proceeds 
        of property sold, or other intangible property, the clerk must 
        issue--in addition to the warrant--a summons directing any 
        person controlling the property to show cause why it should not 
        be deposited in court to abide the judgment.
            (d) Supplemental Process. The clerk may upon application 
        issue supplemental process to enforce the court's order without 
        further court order.
    (4) Notice. No notice other than execution of process is required 
when the property that is the subject of the action has been released 
under Rule E(5). If the property is not released within 10 days after 
execution, the plaintiff must promptly--or within the time that the 
court allows--give public notice of the action and arrest in a newspaper 
designated by court order and having general circulation in the 
district, but publication may be terminated if the property is released 
before publication is completed. The notice must specify the time under 
Rule C(6) to file a statement of interest in or right against the seized 
property and to answer. This rule does not affect the notice 
requirements in an action to foreclose a preferred ship mortgage under 
46 U.S.C. Sec. Sec. 31301 et seq., as amended.
    (5) Ancillary Process. In any action in rem in which process has 
been served as provided by this rule, if any part of the property that 
is the subject of the action has not been brought within the control of 
the court because it has been removed or sold, or because it is 
intangible property in the hands of a person who has not been served 
with process, the court may, on motion, order any person having 
possession or control of such property or its proceeds to show cause why 
it should not be delivered into the custody of the marshal or other 
person or organization having a warrant for the arrest of the property, 
or paid into court to abide the judgment; and, after hearing, the court 
may enter such judgment as law and justice may require.
    (6) Responsive Pleading; Interrogatories.
            (a) Civil Forfeiture. In an in rem forfeiture action for 
        violation of a federal statute:
                    (i) a person who asserts an interest in or right 
                against the property that is the subject of the action 
                must file a verified statement identifying the interest 
                or right:
                            (A) within 30 days after the earlier of (1) 
                        the date of service of the Government's 
                        complaint or (2) completed publication of notice 
                        under Rule C(4), or
                            (B) within the time that the court allows.
                    (ii) an agent, bailee, or attorney must state the 
                authority to file a statement of interest in or right 
                against the property on behalf of another; and
                    (iii) a person who files a statement of interest in 
                or right against the property must serve and file an 
                answer within 20 days after filing the statement.
            (b) Maritime Arrests and Other Proceedings. In an in rem 
        action not governed by Rule C(6)(a):
                    (i) a person who asserts a right of possession or 
                any ownership interest in the property that is the 
                subject of the action must file a verified statement of 
                right or interest:
                            (A) within 10 days after the execution of 
                        process, or
                            (B) within the time that the court allows;
                    (ii) the statement of right or interest must 
                describe the interest in the property that supports the 
                person's demand for its restitution or right to defend 
                the action;
                    (iii) an agent, bailee, or attorney must state the 
                authority to file a statement of right or interest on 
                behalf of another; and
                    (iv) a person who asserts a right of possession or 
                any ownership interest must serve an answer within 20 
                days after filing the statement of interest or right.
            (c) Interrogatories. Interrogatories may be served with the 
        complaint in an in rem action without leave of court. Answers to 
        the interrogatories must be served with the answer to the 
        complaint.
(As added Feb. 28, 1966; eff. July 1, 1966; amended Apr. 29, 1985, eff. 
Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 
1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 
2002; Apr. 25, 2005, eff. Dec. 1, 2005.)
Rule D
. Possessory, Petitory, and Partition Actions_____________________
    In all actions for possession, partition, and to try title 
maintainable according to the course of the admiralty practice with 
respect to a vessel, in all actions so maintainable with respect to the 
possession of cargo or other maritime property, and in all actions by 
one or more part owners against the others to obtain security for the 
return of the vessel from any voyage undertaken without their consent, 
or by one or more part owners against the others to obtain possession of 
the vessel for any voyage on giving security for its safe return, the 
process shall be by a warrant of arrest of the vessel, cargo, or other 
property, and by notice in the manner provided by Rule B(2) to the 
adverse party or parties.
(As added Feb. 28, 1966, eff. July 1, 1966.)
Rule E
. Actions in Rem and Quasi in Rem: General Provisions_____________
    (1) Applicability. Except as otherwise provided, this rule applies 
to actions in personam with process of maritime attachment and 
garnishment, actions in rem, and petitory, possessory, and partition 
actions, supplementing Rules B, C, and D.
    (2) Complaint; Security.
            (a) Complaint. In actions to which this rule is applicable 
        the complaint shall state the circumstances from which the claim 
        arises with such particularity that the defendant or claimant 
        will be able, without moving for a more definite statement, to 
        commence an investigation of the facts and to frame a responsive 
        pleading.
            (b) Security for Costs. Subject to the provisions of Rule 
        54(d) and of relevant statutes, the court may, on the filing of 
        the complaint or on the appearance of any defendant, claimant, 
        or any other party, or at any later time, require the plaintiff, 
        defendant, claimant, or other party to give security, or 
        additional security, in such sum as the court shall direct to 
        pay all costs and expenses that shall be awarded against the 
        party by any interlocutory order or by the final judgment, or on 
        appeal by any appellate court.
    (3) Process.
            (a) In admiralty and maritime proceedings process in rem or 
        of maritime attachment and garnishment may be served only within 
        the district.
            (b) In forfeiture cases process in rem may be served within 
        the district or outside the district when authorized by statute.
            (c) Issuance and Delivery. Issuance and delivery of process 
        in rem, or of maritime attachment and garnishment, shall be held 
        in abeyance if the plaintiff so requests.
    (4) Execution of Process; Marshal's Return; Custody of Property; 
Procedures for Release.
            (a) In General. Upon issuance and delivery of the process, 
        or, in the case of summons with process of attachment and 
        garnishment, when it appears that the defendant cannot be found 
        within the district, the marshal or other person or organization 
        having a warrant shall forthwith execute the process in 
        accordance with this subdivision (4), making due and prompt 
        return.
            (b) Tangible Property. If tangible property is to be 
        attached or arrested, the marshal or other person or 
        organization having the warrant shall take it into the marshal's 
        possession for safe custody. If the character or situation of 
        the property is such that the taking of actual possession is 
        impracticable, the marshal or other person executing the process 
        shall affix a copy thereof to the property in a conspicuous 
        place and leave a copy of the complaint and process with the 
        person having possession or the person's agent. In furtherance 
        of the marshal's custody of any vessel the marshal is authorized 
        to make a written request to the collector of customs not to 
        grant clearance to such vessel until notified by the marshal or 
        deputy marshal or by the clerk that the vessel has been released 
        in accordance with these rules.
            (c) Intangible Property. If intangible property is to be 
        attached or arrested the marshal or other person or organization 
        having the warrant shall execute the process by leaving with the 
        garnishee or other obligor a copy of the complaint and process 
        requiring the garnishee or other obligor to answer as provided 
        in Rules B(3)(a) and C(6); or the marshal may accept for payment 
        into the registry of the court the amount owed to the extent of 
        the amount claimed by the plaintiff with interest and costs, in 
        which event the garnishee or other obligor shall not be required 
        to answer unless alias process shall be served.
            (d) Directions With Respect to Property in Custody. The 
        marshal or other person or organization having the warrant may 
        at any time apply to the court for directions with respect to 
        property that has been attached or arrested, and shall give 
        notice of such application to any or all of the parties as the 
        court may direct.
            (e) Expenses of Seizing and Keeping Property; Deposit. These 
        rules do not alter the provisions of Title 28, U.S.C., 
        Sec. 1921, as amended, relative to the expenses of seizing and 
        keeping property attached or arrested and to the requirement of 
        deposits to cover such expenses.
            (f) Procedure for Release From Arrest or Attachment. 
        Whenever property is arrested or attached, any person claiming 
        an interest in it shall be entitled to a prompt hearing at which 
        the plaintiff shall be required to show why the arrest or 
        attachment should not be vacated or other relief granted 
        consistent with these rules. This subdivision shall have no 
        application to suits for seamen's wages when process is issued 
        upon a certification of sufficient cause filed pursuant to Title 
        46, U.S.C. Sec. Sec. 603 and 604 \1\ or to actions by the United 
        States for forfeitures for violation of any statute of the 
        United States.
---------------------------------------------------------------------------
    \1\ Repealed by Pub. L. 98-89, Sec. 4(b), Aug. 26, 1983, 97 Stat. 
600, section 1 of which enacted Title 46, Shipping.
---------------------------------------------------------------------------
    (5) Release of Property.
            (a) Special Bond. Except in cases of seizures for forfeiture 
        under any law of the United States, whenever process of maritime 
        attachment and garnishment or process in rem is issued the 
        execution of such process shall be stayed, or the property 
        released, on the giving of security, to be approved by the court 
        or clerk, or by stipulation of the parties, conditioned to 
        answer the judgment of the court or of any appellate court. The 
        parties may stipulate the amount and nature of such security. In 
        the event of the inability or refusal of the parties so to 
        stipulate the court shall fix the principal sum of the bond or 
        stipulation at an amount sufficient to cover the amount of the 
        plaintiff's claim fairly stated with accrued interest and costs; 
        but the principal sum shall in no event exceed (i) twice the 
        amount of the plaintiff's claim or (ii) the value of the 
        property on due appraisement, whichever is smaller. The bond or 
        stipulation shall be conditioned for the payment of the 
        principal sum and interest thereon at 6 per cent per annum.
            (b) General Bond. The owner of any vessel may file a general 
        bond or stipulation, with sufficient surety, to be approved by 
        the court, conditioned to answer the judgment of such court in 
        all or any actions that may be brought thereafter in such court 
        in which the vessel is attached or arrested. Thereupon the 
        execution of all such process against such vessel shall be 
        stayed so long as the amount secured by such bond or stipulation 
        is at least double the aggregate amount claimed by plaintiffs in 
        all actions begun and pending in which such vessel has been 
        attached or arrested. Judgments and remedies may be had on such 
        bond or stipulation as if a special bond or stipulation had been 
        filed in each of such actions. The district court may make 
        necessary orders to carry this rule into effect, particularly as 
        to the giving of proper notice of any action against or 
        attachment of a vessel for which a general bond has been filed. 
        Such bond or stipulation shall be indorsed by the clerk with a 
        minute of the actions wherein process is so stayed. Further 
        security may be required by the court at any time.
            If a special bond or stipulation is given in a particular 
        case, the liability on the general bond or stipulation shall 
        cease as to that case.
            (c) Release by Consent or Stipulation; Order of Court or 
        Clerk; Costs. Any vessel, cargo, or other property in the 
        custody of the marshal or other person or organization having 
        the warrant may be released forthwith upon the marshal's 
        acceptance and approval of a stipulation, bond, or other 
        security, signed by the party on whose behalf the property is 
        detained or the party's attorney and expressly authorizing such 
        release, if all costs and charges of the court and its officers 
        shall have first been paid. Otherwise no property in the custody 
        of the marshal, other person or organization having the warrant, 
        or other officer of the court shall be released without an order 
        of the court; but such order may be entered as of course by the 
        clerk, upon the giving of approved security as provided by law 
        and these rules, or upon the dismissal or discontinuance of the 
        action; but the marshal or other person or organization having 
        the warrant shall not deliver any property so released until the 
        costs and charges of the officers of the court shall first have 
        been paid.
            (d) Possessory, Petitory, and Partition Actions. The 
        foregoing provisions of this subdivision (5) do not apply to 
        petitory, possessory, and partition actions. In such cases the 
        property arrested shall be released only by order of the court, 
        on such terms and conditions and on the giving of such security 
        as the court may require.
    (6) Reduction or Impairment of Security. Whenever security is taken 
the court may, on motion and hearing, for good cause shown, reduce the 
amount of security given; and if the surety shall be or become 
insufficient, new or additional sureties may be required on motion and 
hearing.
    (7) Security on Counterclaim.
            (a) When a person who has given security for damages in the 
        original action asserts a counterclaim that arises from the 
        transaction or occurrence that is the subject of the original 
        action, a plaintiff for whose benefit the security has been 
        given must give security for damages demanded in the 
        counterclaim unless the court, for cause shown, directs 
        otherwise. Proceedings on the original claim must be stayed 
        until this security is given, unless the court directs 
        otherwise.
            (b) The plaintiff is required to give security under Rule 
        E(7)(a) when the United States or its corporate instrumentality 
        counterclaims and would have been required to give security to 
        respond in damages if a private party but is relieved by law 
        from giving security.
    (8) Restricted Appearance. An appearance to defend against an 
admiralty and maritime claim with respect to which there has issued 
process in rem, or process of attachment and garnishment, may be 
expressly restricted to the defense of such claim, and in that event is 
not an appearance for the purposes of any other claim with respect to 
which such process is not available or has not been served.
    (9) Disposition of Property; Sales.
            (a) Actions for Forfeitures. In any action in rem to enforce 
        a forfeiture for violation of a statute of the United States the 
        property shall be disposed of as provided by statute.
            (b) Interlocutory Sales; Delivery.
                    (i) On application of a party, the marshal, or other 
                person having custody of the property, the court may 
                order all or part of the property sold--with the sales 
                proceeds, or as much of them as will satisfy the 
                judgment, paid into court to await further orders of the 
                court--if:
                            (A) the attached or arrested property is 
                        perishable, or liable to deterioration, decay, 
                        or injury by being detained in custody pending 
                        the action;
                            (B) the expense of keeping the property is 
                        excessive or disproportionate; or
                            (C) there is an unreasonable delay in 
                        securing release of the property.
                    (ii) In the circumstances described in Rule 
                E(9)(b)(i), the court, on motion by a defendant or a 
                person filing a statement of interest or right under 
                Rule C(6), may order that the property, rather than 
                being sold, be delivered to the movant upon giving 
                security under these rules.
            (c) Sales, Proceeds. All sales of property shall be made by 
        the marshal or a deputy marshal, or by other person or 
        organization having the warrant, or by any other person assigned 
        by the court where the marshal or other person or organization 
        having the warrant is a party in interest; and the proceeds of 
        sale shall be forthwith paid into the registry of the court to 
        be disposed of according to law.
    (10) Preservation of Property. When the owner or another person 
remains in possession of property attached or arrested under the 
provisions of Rule E(4)(b) that permit execution of process without 
taking actual possession, the court, on a party's motion or on its own, 
may enter any order necessary to preserve the property and to prevent 
its removal.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Apr. 29, 1985, eff. 
Aug. 1, 1985; Mar. 2, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Dec. 
1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000.)
Rule F
. Limitation of Liability_________________________________________
    (1) Time for Filing Complaint; Security. Not later than six months 
after receipt of a claim in writing, any vessel owner may file a 
complaint in the appropriate district court, as provided in subdivision 
(9) of this rule, for limitation of liability pursuant to statute. The 
owner (a) shall deposit with the court, for the benefit of claimants, a 
sum equal to the amount or value of the owner's interest in the vessel 
and pending freight, or approved security therefor, and in addition such 
sums, or approved security therefor, as the court may from time to time 
fix as necessary to carry out the provisions of the statutes as amended; 
or (b) at the owner's option shall transfer to a trustee to be appointed 
by the court, for the benefit of claimants, the owner's interest in the 
vessel and pending freight, together with such sums, or approved 
security therefor, as the court may from time to time fix as necessary 
to carry out the provisions of the statutes as amended. The plaintiff 
shall also give security for costs and, if the plaintiff elects to give 
security, for interest at the rate of 6 percent per annum from the date 
of the security.
    (2) Complaint. The complaint shall set forth the facts on the basis 
of which the right to limit liability is asserted and all facts 
necessary to enable the court to determine the amount to which the 
owner's liability shall be limited. The complaint may demand exoneration 
from as well as limitation of liability. It shall state the voyage if 
any, on which the demands sought to be limited arose, with the date and 
place of its termination; the amount of all demands including all 
unsatisfied liens or claims of lien, in contract or in tort or 
otherwise, arising on that voyage, so far as known to the plaintiff, and 
what actions and proceedings, if any, are pending thereon; whether the 
vessel was damaged, lost, or abandoned, and, if so, when and where; the 
value of the vessel at the close of the voyage or, in case of wreck, the 
value of her wreckage, strippings, or proceeds, if any, and where and in 
whose possession they are; and the amount of any pending freight 
recovered or recoverable. If the plaintiff elects to transfer the 
plaintiff's interest in the vessel to a trustee, the complaint must 
further show any prior paramount liens thereon, and what voyages or 
trips, if any, she has made since the voyage or trip on which the claims 
sought to be limited arose, and any existing liens arising upon any such 
subsequent voyage or trip, with the amounts and causes thereof, and the 
names and addresses of the lienors, so far as known; and whether the 
vessel sustained any injury upon or by reason of such subsequent voyage 
or trip.
    (3) Claims Against Owner; Injunction. Upon compliance by the owner 
with the requirements of subdivision (1) of this rule all claims and 
proceedings against the owner or the owner's property with respect to 
the matter in question shall cease. On application of the plaintiff the 
court shall enjoin the further prosecution of any action or proceeding 
against the plaintiff or the plaintiff's property with respect to any 
claim subject to limitation in the action.
    (4) Notice to Claimants. Upon the owner's compliance with 
subdivision (1) of this rule the court shall issue a notice to all 
persons asserting claims with respect to which the complaint seeks 
limitation, admonishing them to file their respective claims with the 
clerk of the court and to serve on the attorneys for the plaintiff a 
copy thereof on or before a date to be named in the notice. The date so 
fixed shall not be less than 30 days after issuance of the notice. For 
cause shown, the court may enlarge the time within which claims may be 
filed. The notice shall be published in such newspaper or newspapers as 
the court may direct once a week for four successive weeks prior to the 
date fixed for the filing of claims. The plaintiff not later than the 
day of second publication shall also mail a copy of the notice to every 
person known to have made any claim against the vessel or the plaintiff 
arising out of the voyage or trip on which the claims sought to be 
limited arose. In cases involving death a copy of such notice shall be 
mailed to the decedent at the decedent's last known address, and also to 
any person who shall be known to have made any claim on account of such 
death.
    (5) Claims and Answer. Claims shall be filed and served on or before 
the date specified in the notice provided for in subdivision (4) of this 
rule. Each claim shall specify the facts upon which the claimant relies 
in support of the claim, the items thereof, and the dates on which the 
same accrued. If a claimant desires to contest either the right to 
exoneration from or the right to limitation of liability the claimant 
shall file and serve an answer to the complaint unless the claim has 
included an answer.
    (6) Information To Be Given Claimants. Within 30 days after the date 
specified in the notice for filing claims, or within such time as the 
court thereafter may allow, the plaintiff shall mail to the attorney for 
each claimant (or if the claimant has no attorney to the claimant) a 
list setting forth (a) the name of each claimant, (b) the name and 
address of the claimant's attorney (if the claimant is known to have 
one), (c) the nature of the claim, i.e., whether property loss, property 
damage, death, personal injury etc., and (d) the amount thereof.
    (7) Insufficiency of Fund or Security. Any claimant may by motion 
demand that the funds deposited in court or the security given by the 
plaintiff be increased on the ground that they are less than the value 
of the plaintiff's interest in the vessel and pending freight. Thereupon 
the court shall cause due appraisement to be made of the value of the 
plaintiff's interest in the vessel and pending freight; and if the court 
finds that the deposit or security is either insufficient or excessive 
it shall order its increase or reduction. In like manner any claimant 
may demand that the deposit or security be increased on the ground that 
it is insufficient to carry out the provisions of the statutes relating 
to claims in respect of loss of life or bodily injury; and, after notice 
and hearing, the court may similarly order that the deposit or security 
be increased or reduced.
    (8) Objections to Claims: Distribution of Fund. Any interested party 
may question or controvert any claim without filing an objection 
thereto. Upon determination of liability the fund deposited or secured, 
or the proceeds of the vessel and pending freight, shall be divided pro 
rata, subject to all relevant provisions of law, among the several 
claimants in proportion to the amounts of their respective claims, duly 
proved, saving, however, to all parties any priority to which they may 
be legally entitled.
    (9) Venue; Transfer. The complaint shall be filed in any district in 
which the vessel has been attached or arrested to answer for any claim 
with respect to which the plaintiff seeks to limit liability; or, if the 
vessel has not been attached or arrested, then in any district in which 
the owner has been sued with respect to any such claim. When the vessel 
has not been attached or arrested to answer the matters aforesaid, and 
suit has not been commenced against the owner, the proceedings may be 
had in the district in which the vessel may be, but if the vessel is not 
within any district and no suit has been commenced in any district, then 
the complaint may be filed in any district. For the convenience of 
parties and witnesses, in the interest of justice, the court may 
transfer the action to any district; if venue is wrongly laid the court 
shall dismiss or, if it be in the interest of justice, transfer the 
action to any district in which it could have been brought. If the 
vessel shall have been sold, the proceeds shall represent the vessel for 
the purposes of these rules.
(As added Feb. 28, 1966, eff. July 1, 1966; amended Mar. 2, 1987, eff. 
Aug. 1, 1987.)

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