Rule 11. Signing Pleadings, Motions, and Other
Papers; Representations to the Court;
Sanctions
Rule 12. Defenses and Objections: When and
How Presented; Motion for Judgment
on the Pleadings; Consolidating
Motions; Waiving Defenses; Pretrial
Hearing
(a) Claim for Relief. A pleading that states a claim for
relief must contain:
(1) a short and plain statement of the grounds for
the court's jurisdiction, unless the court already
has jurisdiction and the claim needs no new
jurisdictional support;
(2) a short and plain statement of the claim showing
that the pleader is entitled to relief; and
(3) a demand for the relief sought, which may
include relief in the alternative or different types
of relief.
(b) Defenses; Admissions and Denials.
(1) In General. In responding to a pleading, a
party must:
(A) state in short and plain terms its defenses to
each claim asserted against it; and
(B) admit or deny the allegations asserted
against it by an opposing party.
(2) Denials — Responding to the Substance. A
denial must fairly respond to the substance of
the allegation.
(3) General and Specific Denials. A party that
intends in good faith to deny all the allegations
of a pleading — including the jurisdictional
grounds — may do so by a general denial. A
party that does not intend to deny all the
allegations must either specifically deny
designated allegations or generally deny all
except those specifically admitted.
(4) Denying Part of an Allegation. A party that
intends in good faith to deny only part of an
allegation must admit the part that is true and
deny the rest.
(5) Lacking Knowledge or Information. A party
that lacks knowledge or information sufficient to
form a belief about the truth of an allegation
must so state, and the statement has the effect of
a denial.
(6) Effect of Failing to Deny. An allegation —
other than one relating to the amount of
damages — is admitted if a responsive pleading
is required and the allegation is not denied. If a
responsive pleading is not required, an
allegation is considered denied or avoided.
(c) Affirmative Defenses.
(1) In General. In responding to a pleading, a
party must affirmatively state any avoidance or
affirmative defense, including:
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; and
waiver.
(2) Mistaken Designation. If a party mistakenly
designates a defense as a counterclaim, or a
counterclaim as a defense, the court must, if
justice requires, treat the pleading as though it
were correctly designated, and may impose
terms for doing so.
(d) Pleading to Be Concise and Direct; Alternative
Statements; Inconsistency.
(1) In General. Each allegation must be simple,
concise, and direct. No technical form is
required.
(2) Alternative Statements of a Claim or
Defense. A party may set out two or more
statements of a claim or defense alternatively or
hypothetically, either in a single count or defense
or in separate ones. If a party makes alternative
statements, the pleading is sufficient if any one
of them is sufficient.
(3) Inconsistent Claims or Defenses. A party
may state as many separate claims or defenses
as it has, regardless of consistency.
(e) Construing Pleadings. Pleadings must be
construed so as to do justice.
(a) Capacity or Authority to Sue; Legal Existence.
(1) In General. Except when required to show that
the court has jurisdiction, a pleading need not
allege:
(A) a party's capacity to sue or be sued;
(B) a party's authority to sue or be sued in a
representative capacity; or
(C) the legal existence of an organized
association of persons that is made a party.
(2) Raising Those Issues. To raise any of those
issues, a party must do so by a specific denial,
which must state any supporting facts that are
peculiarly within the party's knowledge.
(b) Fraud or Mistake; Conditions of Mind. In
alleging fraud or mistake, a party must state with
particularity the circumstances constituting fraud or
mistake. Malice, intent, knowledge, and other
conditions of a person's mind may be alleged
generally.
(c) Conditions Precedent. In pleading conditions
precedent, it suffices to allege generally that all
conditions precedent have occurred or been
performed. But when denying that a condition
precedent has occurred or been performed, a party
must do so with particularity.
(d) Official Document or Act. In pleading an official
document or official act, it suffices to allege that the
document was legally issued or the act legally done.
(e) Judgment. In pleading a judgment or decision of a
domestic or foreign court, a judicial or quasi-judicial
tribunal, or a board or officer, it suffices to plead the
judgment or decision without showing jurisdiction to
render it.
(f) Time and Place. An allegation of time or place is
material when testing the sufficiency of a pleading.
(g) Special Damages. If an item of special damage is
claimed, it must be specifically stated.
(h) Admiralty or Maritime Claim.
(1) How Designated. If a claim for relief is within
the admiralty or maritime jurisdiction and also
within the court's subject-matter jurisdiction on
some other ground, the pleading may designate
the claim as an admiralty or maritime claim for
purposes of Rules 14(c), 38(e), and 82 and the
Supplemental Rules for Admiralty or Maritime
Claims and Asset Forfeiture Actions. A claim
cognizable only in the admiralty or maritime
jurisdiction is an admiralty or maritime claim for
those purposes, whether or not so designated.
(2) Designation for Appeal. A case that includes
an admiralty or maritime claim within this
subdivision (h) is an admiralty case within 28
U.S.C. § 1292(a)(3).
(a) Caption; Names of Parties. Every pleading must
have a caption with the court's name, a title, a file
number, and a Rule 7(a) designation. The title of the
complaint must name all the parties; the title of other
pleadings, after naming the first party on each side,
may refer generally to other parties.
(b) Paragraphs; Separate Statements. A party must
state its claims or defenses in numbered paragraphs,
each limited as far as practicable to a single set of
circumstances. A later pleading may refer by number
to a paragraph in an earlier pleading. If doing so
would promote clarity, each claim founded on a
separate transaction or occurrence — and each
defense other than a denial — must be stated in a
separate count or defense.
(c) Adoption by Reference; Exhibits. A statement in
a pleading may be adopted by reference elsewhere in
the same pleading or in any other pleading or motion.
A copy of a written instrument that is an exhibit to a
pleading is a part of the pleading for all purposes.
Rule 11. Signing Pleadings, Motions, and Other
Papers; Representations to the Court; Sanctions
(a) Signature. Every pleading, written motion, and
other paper must be signed by at least one attorney
of record in the attorney's name — or by a party
personally if the party is unrepresented. The paper
must state the signer's address, e-mail address, and
telephone number. Unless a rule or statute
specifically states otherwise, a pleading need not be
verified or accompanied by an affidavit. The court
must strike an unsigned paper unless the omission is
promptly corrected after being called to the attorney's
or party's attention.
(b) Representations to the Court. By presenting to
the court a pleading, written motion, or other paper
— whether by signing, filing, submitting, or later
advocating it — an attorney or unrepresented party
certifies that to the best of the person's knowledge,
information, and belief, formed after an inquiry
reasonable under the circumstances:
(1) it is not being presented for any improper
purpose, such as to harass, cause unnecessary
delay, or needlessly increase the cost of
litigation;
(2) the claims, defenses, and other legal contentions
are warranted by existing law or by a
nonfrivolous argument for extending, modifying,
or reversing existing law or for establishing new
law;
(3) the factual contentions have evidentiary support
or, if specifically so identified, will likely have
evidentiary support after a reasonable
opportunity for further investigation or
discovery; and
(4) the denials of factual contentions are warranted
on the evidence or, if specifically so identified,
are reasonably based on belief or a lack of
information.
(c) Sanctions.
(1) In General. If, after notice and a reasonable
opportunity to respond, the court determines
that Rule 11(b) has been violated, the court
may impose an appropriate sanction on any
attorney, law firm, or party that violated the rule
or is responsible for the violation. Absent
exceptional circumstances, a law firm must be
held jointly responsible for a violation committed
by its partner, associate, or employee.
(2) Motion for Sanctions. A motion for sanctions
must be made separately from any other motion
and must describe the specific conduct that
allegedly violates Rule 11(b). The motion must
be served under Rule 5, but it must not be filed
or be presented to the court if the challenged
paper, claim, defense, contention, or denial is
withdrawn or appropriately corrected within 21
days after service or within another time the
court sets. If warranted, the court may award to
the prevailing party the reasonable expenses,
including attorney's fees, incurred for the
motion.
(3) On the Court's Initiative. On its own, the
court may order an attorney, law firm, or party
to show cause why conduct specifically described
in the order has not violated Rule 11(b).
(4) Nature of a Sanction. A sanction imposed
under this rule must be limited to what suffices
to deter repetition of the conduct or comparable
conduct by others similarly situated. The
sanction may include nonmonetary directives; an
order to pay a penalty into court; or, if imposed
on motion and warranted for effective
deterrence, an order directing payment to the
movant of part or all of the reasonable attorney's
fees and other expenses directly resulting from
the violation.
(5) Limitations on Monetary Sanctions. The
court must not impose a monetary sanction:
(A) against a represented party for violating
Rule 11(b)(2); or
(B) on its own, unless it issued the show-cause
order under Rule 11(c)(3) before voluntary
dismissal or settlement of the claims made
by or against the party that is, or whose
attorneys are, to be sanctioned.
(6) Requirements for an Order. An order
imposing a sanction must describe the
sanctioned conduct and explain the basis for the
sanction.
(d) Inapplicability to Discovery. This rule does not
apply to disclosures and discovery requests,
responses, objections, and motions under Rules 26
through 37.
Rule 12. Defenses and Objections: When and
How Presented; Motion for Judgment
on the Pleadings; Consolidating
Motions; Waiving Defenses; Pretrial
Hearing
(a) Time to Serve a Responsive Pleading.
(1) In General.
Unless another time is specified by
this rule or a federal statute, the time for serving
a responsive pleading is as follows:
(A) A defendant must serve an answer:
(i) within 20 days after being served with
the summons and complaint; or
(ii) if it has timely waived service under
Rule 4(d), within 60 days after the
request for a waiver was sent, or within
90 days after it was sent to the
defendant outside any judicial district
of the United States.
(B) A party must serve an answer to a
counterclaim or crossclaim within 20 days
after being served with the pleading that
states the counterclaim or crossclaim.
(C) A party must serve a reply to an answer
within 20 days after being served with an
order to reply, unless the order specifies a
different time.
(2) United States and Its Agencies, Officers, or
Employees Sued in an Official Capacity.
The United States, a United States agency, or a
United States officer or employee sued only in an
official capacity must serve an answer to a
complaint, counterclaim, or crossclaim within 60
days after service on the United States attorney.
(3) United States Officers or Employees Sued in
an Individual Capacity. A United States
officer or employee sued in an individual
capacity for an act or omission occurring in
connection with duties performed on the United
States' behalf must serve an answer to a
complaint, counterclaim, or crossclaim within 60
days after service on the officer or employee or
service on the United States attorney, whichever
is later.
(4) Effect of a Motion. Unless the court sets a
different time, serving a motion under this rule
alters these periods as follows:
(A) if the court denies the motion or postpones
its disposition until trial, the responsive
pleading must 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
must be served within 10 days after the
more definite statement is served.
(b) How to Present Defenses. Every defense to a
claim for relief in any pleading must be asserted in
the responsive pleading if one is required. But a
party may assert the following defenses by motion:
(1) lack of subject-matter jurisdiction;
(2) lack of personal jurisdiction;
(3) improper venue;
(4) insufficient process;
(5) insufficient service of process;
(6) failure to state a claim upon which relief can be
granted; and
(7) failure to join a party under Rule 19.
A motion asserting any of these defenses must be made
before pleading if a responsive pleading is allowed. If a
pleading sets out a claim for relief that does not require a
responsive pleading, an opposing party may assert at trial
any defense to that claim. No defense or objection is
waived by joining it with one or more other defenses or
objections in a responsive pleading or in a motion.
(c) Motion for Judgment on the Pleadings. After
the pleadings are closed — but early enough not to
delay trial — a party may move for judgment on the
pleadings.
(d) Result of Presenting Matters Outside the
Pleadings. If, on a motion under Rule 12(b)(6) or
12(c), matters outside the pleadings are presented to
and not excluded by the court, the motion must be
treated as one for summary judgment under Rule 56.
All parties must be given a reasonable opportunity to
present all the material that is pertinent to the
motion.
(e) Motion for a More Definite Statement. A party
may move for a more definite statement of a pleading
to which a responsive pleading is allowed but which
is so vague or ambiguous that the party cannot
reasonably prepare a response. The motion must be
made before filing a responsive pleading and must
point out the defects complained of and the details
desired. If the court orders a more definite statement
and the order is not obeyed within 10 days after
notice of the order or within the time the court sets,
the court may strike the pleading or issue any other
appropriate order.
(f) Motion to Strike. The court may strike from a
pleading an insufficient defense or any redundant,
immaterial, impertinent, or scandalous matter. The
court may act:
(1) on its own; or
(2) on motion made by a party either before
responding to the pleading or, if a response is not
allowed, within 20 days after being served with
the pleading.
(g) Joining Motions.
(1) Right to Join. A motion under this rule may be
joined with any other motion allowed by this
rule.
(2) Limitation on Further Motions. Except as
provided in Rule 12(h)(2) or (3), a party that
makes a motion under this rule must not make
another motion under this rule raising a defense
or objection that was available to the party but
omitted from its earlier motion.
(h) Waiving and Preserving Certain Defenses.
(1) When Some Are Waived. A party waives any
defense listed in Rule 12(b)(2)-(5) by:
(A) omitting it from a motion in the
circumstances described in Rule 12(g)(2); or
(B) failing to either:
(i) make it by motion under this rule; or
(ii) include it in a responsive pleading or in
an amendment allowed by Rule 15(a)(1)
as a matter of course.
(2) When to Raise Others. Failure to state a claim
upon which relief can be granted, to join a person
required by Rule 19(b), or to state a legal defense
to a claim may be raised:
(A) in any pleading allowed or ordered under
Rule 7(a);
(B) by a motion under Rule 12(c); or
(C) at trial.
(3) Lack of Subject-Matter Jurisdiction. If the
court determines at any time that it lacks
subject-matter jurisdiction, the court must
dismiss the action.
(i) Hearing Before Trial. If a party so moves, any
defense listed in Rule 12(b)(1)-(7) — whether made in
a pleading or by motion — and a motion under Rule
12(c) must be heard and decided before trial unless
the court orders a deferral until trial.
(1) In General. A pleading must state as a
counterclaim any claim that — at the time of its
service — the pleader has against an opposing
party if the claim:
(A) arises out of the transaction or occurrence
that is the subject matter of the opposing
party's claim; and
(B) does not require adding another party over
whom the court cannot acquire jurisdiction.
(2) Exceptions. The pleader need not state the
claim if:
(A) when the action was commenced, the claim
was the subject of another pending action;
or
(B) the opposing party sued on its claim by
attachment or other process that did not
establish personal jurisdiction over the
pleader on that claim, and the pleader does
not assert any counterclaim under this rule.
(b) Permissive Counterclaim. A pleading may state
as a counterclaim against an opposing party any
claim that is not compulsory.
(c) Relief Sought in a Counterclaim. A counterclaim
need not diminish or defeat the recovery sought by
the opposing party. It may request relief that
exceeds in amount or differs in kind from the relief
sought by the opposing party.
(d) Counterclaim Against the United States. These
rules do not expand the right to assert a counterclaim
— or to claim a credit — against the United States or
a United States officer or agency.
(e) Counterclaim Maturing or Acquired After
Pleading. The court may permit a party to file a
supplemental pleading asserting a counterclaim that
matured or was acquired by the party after serving
an earlier pleading.
(f) Omitted Counterclaim. The court may permit a
party to amend a pleading to add a counterclaim if it
was omitted through oversight, inadvertence, or
excusable neglect or if justice so requires.
(g) Crossclaim Against a Coparty. A pleading may
state as a crossclaim any claim by one party against a
coparty if the claim arises out of the transaction or
occurrence that is the subject matter of the original
action or of a counterclaim, or if the claim relates to
any property that is the subject matter of the original
action. The crossclaim may include a claim that the
coparty is or may be liable to the crossclaimant for all
or part of a claim asserted in the action against the
crossclaimant.
(h) Joining Additional Parties. Rules 19 and 20
govern the addition of a person as a party to a
counterclaim or crossclaim.
(i) Separate Trials; Separate Judgments. If the
court orders separate trials under Rule 42(b), it may
enter judgment on a counterclaim or crossclaim
under Rule 54(b) when it has jurisdiction to do so,
even if the opposing party's claims have been
dismissed or otherwise resolved.
(a) When a Defending Party May Bring in a Third
Party.
(1) Timing of the Summons and Complaint. A
defending party may, as third-party plaintiff,
serve a summons and complaint on a nonparty
who is or may be liable to it for all or part of the
claim against it. But the third-party plaintiff
must, by motion, obtain the court's leave if it
files the third-party complaint more than 10
days after serving its original answer.
(2) Third-Party Defendant's Claims and
Defenses. The person served with the summons
and third-party complaint — the "third-party
defendant":
(A) must assert any defense against the thirdparty
plaintiff's claim under Rule 12;
(B) must assert any counterclaim against the
third-party plaintiff under Rule 13(a), and
may assert any counterclaim against the
third-party plaintiff under Rule 13(b) or any
crossclaim against another third-party
defendant under Rule 13(g);
(C) may assert against the plaintiff any defense
that the third-party plaintiff has to the
plaintiff's claim; and
(D) may also assert against the plaintiff any
claim arising out of the transaction or
occurrence that is the subject matter of the
plaintiff's claim against the third-party
plaintiff.
(3) Plaintiff's Claims Against a Third-Party
Defendant. The plaintiff may assert against
the third-party defendant any claim arising out
of the transaction or occurrence that is the
subject matter of the plaintiff's claim against the
third-party plaintiff. The third-party defendant
must then assert any defense under Rule 12 and
any counterclaim under Rule 13(a), and may
assert any counterclaim under Rule 13(b) or any
crossclaim under Rule 13(g).
(4) Motion to Strike, Sever, or Try Separately.
Any party may move to strike the third-party
claim, to sever it, or to try it separately.
(5) Third-Party Defendant's Claim Against a
Nonparty. A third-party defendant may
proceed under this rule against a nonparty who
is or may be liable to the third-party defendant
for all or part of any claim against it.
(6) Third-Party Complaint In Rem. If it is within
the admiralty or maritime jurisdiction, a thirdparty
complaint may be in rem. In that event, a
reference in this rule to the "summons" includes
the warrant of arrest, and a reference to the
defendant or third-party plaintiff includes, when
appropriate, a person who asserts a right under
Supplemental Rule C(6)(a)(i) in the property
arrested.
(b) When a Plaintiff May Bring in a Third Party.
When a claim is asserted against a plaintiff, the
plaintiff may bring in a third party if this rule would
allow a defendant to do so.
(c) Admiralty or Maritime Claim.
(1) Scope of Impleader. If a plaintiff asserts an
admiralty or maritime claim under Rule 9(h), the
defendant or a person who asserts a right under
Supplemental Rule C(6)(a)(i) may, as a thirdparty
plaintiff, bring in a third-party defendant
who may be wholly or partly liable — either to
the plaintiff or to the third-party plaintiff — for
remedy over, contribution, or otherwise on
account of the same transaction, occurrence, or
series of transactions or occurrences.
(2) Defending Against a Demand for Judgment
for the Plaintiff. The third-party plaintiff may
demand judgment in the plaintiff's favor against
the third-party defendant. In that event, the
third-party defendant must defend under Rule
12 against the plaintiff's claim as well as the
third-party plaintiff's claim; and the action
proceeds as if the plaintiff had sued both the
third-party defendant and the third-party
plaintiff.
(1) Amending as a Matter of Course. A party
may amend its pleading once as a matter of course:
(A) before being served with a responsive
pleading; or
(B) within 20 days after serving the pleading if
a responsive pleading is not allowed and the
action is not yet on the trial calendar.
(2) Other Amendments. In all other cases, a party
may amend its pleading only with the opposing
party's written consent or the court's leave. The
court should freely give leave when justice so
requires.
(3) Time to Respond. Unless the court orders
otherwise, any required response to an amended
pleading must be made within the time
remaining to respond to the original pleading or
within 10 days after service of the amended
pleading, whichever is later.
(b) Amendments During and After Trial.
(1) Based on an Objection at Trial. If, at trial, a
party objects that evidence is not within the
issues raised in the pleadings, the court may
permit the pleadings to be amended. The court
should freely permit an amendment when doing
so will aid in presenting the merits and the
objecting party fails to satisfy the court that the
evidence would prejudice that party's action or
defense on the merits. The court may grant a
continuance to enable the objecting party to meet
the evidence.
(2) For Issues Tried by Consent. When an issue
not raised by the pleadings is tried by the
parties' express or implied consent, it must be
treated in all respects as if raised in the
pleadings. A party may move — at any time,
even after judgment — to amend the pleadings
to conform them to the evidence and to raise an
unpleaded issue. But failure to amend does not
affect the result of the trial of that issue.
(c) Relation Back of Amendments.
(1) When an Amendment Relates Back. An
amendment to a pleading relates back to the
date of the original pleading when:
(A) the law that provides the applicable statute
of limitations allows relation back;
(B) the amendment asserts a claim or defense
that arose out of the conduct, transaction, or
occurrence set out — or attempted to be set
out — in the original pleading; or
(C) the amendment changes the party or the
naming of the party against whom a claim is
asserted, if Rule 15(c)(1)(B) is satisfied and
if, within the period provided by Rule 4(m)
for serving the summons and complaint, the
party to be brought in by amendment:
(i) received such notice of the action that it
will not be prejudiced in defending on
the merits; and
(ii) knew or should have known that the
action would have been brought against
it, but for a mistake concerning the
proper party's identity.
(2) Notice to the United States. When the United
States or a United States officer or agency is
added as a defendant by amendment, the notice
requirements of Rule 15(c)(1)(C)(i) and (ii) are
satisfied if, during the stated period, process was
delivered or mailed to the United States attorney
or the United States attorney's designee, to the
Attorney General of the United States, or to the
officer or agency.
(d) Supplemental Pleadings. On motion and
reasonable notice, the court may, on just terms,
permit a party to serve a supplemental pleading
setting out any transaction, occurrence, or event that
happened after the date of the pleading to be
supplemented. The court may permit
supplementation even though the original pleading is
defective in stating a claim or defense. The court
may order that the opposing party plead to the
supplemental pleading within a specified time.
(a) Purposes of a Pretrial Conference. In any action,
the court may order the attorneys and any
unrepresented parties to appear for one or more
pretrial conferences for such purposes as:
(1) expediting disposition of the action;
(2) establishing early and continuing control so that
the case will not be protracted because of lack of
management;
(3) discouraging wasteful pretrial activities;
(4) improving the quality of the trial through more
thorough preparation; and
(5) facilitating settlement.
(b) Scheduling.
(1) Scheduling Order. Except in categories of
actions exempted by local rule, the district judge
— or a magistrate judge when authorized by
local rule — must issue a scheduling order:
(A) after receiving the parties' report under
Rule 26(f); or
(B) after consulting with the parties' attorneys
and any unrepresented parties at a
scheduling conference or by telephone, mail,
or other means.
(2) Time to Issue. The judge must issue the
scheduling order as soon as practicable, but in
any event within the earlier of 120 days after
any defendant has been served with the
complaint or 90 days after any defendant has
appeared.
(3) Contents of the Order.
(A) Required Contents. The scheduling order
must limit the time to join other parties,
amend the pleadings, complete discovery,
and file motions.
(B) Permitted Contents. The scheduling order may:
(i) modify the timing of disclosures under
Rules 26(a) and 26(e)(1);
(ii) modify the extent of discovery;
(iii) provide for disclosure or discovery of
electronically stored information;
(iv) include any agreements the parties
reach for asserting claims of privilege or
of protection as trial-preparation
material after information is produced;
(v) set dates for pretrial conferences and
for trial; and
(vi) include other appropriate matters.
(4) Modifying a Schedule. A schedule may be
modified only for good cause and with the judge's
consent.
(c) Attendance and Matters for Consideration at a
Pretrial Conference.
(1) Attendance. A represented party must
authorize at least one of its attorneys to make
stipulations and admissions about all matters
that can reasonably be anticipated for discussion
at a pretrial conference. If appropriate, the court
may require that a party or its representative be
present or reasonably available by other means
to consider possible settlement.
(2) Matters for Consideration. At any pretrial
conference, the court may consider and take
appropriate action on the following matters:
(A) formulating and simplifying the issues, and
eliminating frivolous claims or defenses;
(B) amending the pleadings if necessary or
desirable;
(C) obtaining admissions and stipulations about
facts and documents to avoid unnecessary
proof, and ruling in advance on the
admissibility of evidence;
(D) avoiding unnecessary proof and cumulative
evidence, and limiting the use of testimony
under Federal Rule of Evidence 702;
(E) determining the appropriateness and timing
of summary adjudication under Rule 56;
(F) controlling and scheduling discovery,
including orders affecting disclosures and
discovery under Rule 26 and Rules 29
through 37;
(G) identifying witnesses and documents,
scheduling the filing and exchange of any
pretrial briefs, and setting dates for further
conferences and for trial;
(H) referring matters to a magistrate judge or a
master;
(I) settling the case and using special
procedures to assist in resolving the dispute
when authorized by statute or local rule;
(J) determining the form and content of the
pretrial order;
(K) disposing of pending motions;
(L) adopting special procedures for managing
potentially difficult or protracted actions
that may involve complex issues, multiple
parties, difficult legal questions, or unusual
proof problems;
(M) ordering a separate trial under Rule 42(b) of
a claim, counterclaim, crossclaim, thirdparty
claim, or particular issue;
(N) ordering the presentation of evidence early
in the trial on a manageable issue that
might, on the evidence, be the basis for a
judgment as a matter of law under Rule
50(a) or a judgment on partial findings
under Rule 52(c);
(O) establishing a reasonable limit on the time
allowed to present evidence; and
(P) facilitating in other ways the just, speedy,
and inexpensive disposition of the action.
(d) Pretrial Orders. After any conference under this
rule, the court should issue an order reciting the
action taken. This order controls the course of the
action unless the court modifies it.
(e) Final Pretrial Conference and Orders. The court
may hold a final pretrial conference to formulate a
trial plan, including a plan to facilitate the admission
of evidence. The conference must be held as close to
the start of trial as is reasonable, and must be
attended by at least one attorney who will conduct
the trial for each party and by any unrepresented
party. The court may modify the order issued after a
final pretrial conference only to prevent manifest
injustice.
(f) Sanctions.
(1) In General. On motion or on its own, the court
may issue any just orders, including those
authorized by Rule 37(b)(2)(A)(ii)-(vii), if a party
or its attorney:
(A) fails to appear at a scheduling or other
pretrial conference;
(B) is substantially unprepared to participate —
or does not participate in good faith — in
the conference; or
(C) fails to obey a scheduling or other pretrial
order.
(2) Imposing Fees and Costs. Instead of or in
addition to any other sanction, the court must
order the party, its attorney, or both to pay the
reasonable expenses — including attorney's fees
— incurred because of any noncompliance with
this rule, unless the noncompliance was
substantially justified or other circumstances
make an award of expenses unjust.