美国联邦地区法院民事诉讼规则（共五篇）

第一篇：美国联邦地区法院民事诉讼规则

《美国联邦地区法院民事诉讼规则》简称《美国联邦民事诉讼规则》

目录美国联邦民事诉讼规则 导论美国联邦民事诉讼规则

第1章本规则的适用范围和一种诉讼形式 第1条本规则的适用范围和目的 第2条一种诉讼形式

第2章诉讼开始；传唤令状、诉答文书、申请书及命令的送达 第3条诉讼开始 第4条传唤状

第4条之1其他令状的送达

第5条诉答文书和其他文件的送达与提交 第6条期间

第3章诉答文书和申请书

第7条允许提出的诉答文书；申请书的格式 第8条诉答文书的一般规则 第9条诉答文书的特别事项 第10条诉答文书的格式

第11条诉答文书、申请书及其他文件的签名；向法院的陈述；制裁

第12条抗辩和异议——提出的期间和方式—— 通过诉答文书或申请书——基于诉答文书请求判决的申请 第13条反请求和交叉请求 第14条第三当事人诉讼程序 第15条修改和补充诉答文书

第16条审理前会议；日程；管理第4章当事人 第17条原告和被告；当事人能力 第18条请求和救济方法的合并 第19条为公正审判而必要合并的人 第20条当事人的许可合并 第21条当事人的合并错误及不合并 第22条互争权利诉讼 第23条集团诉讼

第23条之1股东的派生诉讼 第23条之2关于非法人团体的诉讼 第24条诉讼参加 第25条替代当事人 第5章庭外证言与发现程序

第26条规范发现程序的一般规定；出示义务 第27条诉讼之前和上诉系属期间的庭外证言 第28条参与作成庭外证言的人员 第29条关于发现程序的约定 第30条口头询问的庭外证言 第31条书面质问的庭外证言

第32条在法院的诉讼程序中庭外证言的使用 第33条对当事人的质问书

第34条提供文件和物件以及为调查或其他目的而进入房地产 第35条身体和精神状态的检查 第36条要求自认

第37条不出示或不协助发现：制裁 第6章开庭审理

第38条要求陪审团审判的权利 第39条陪审团审判或法院审判 第40条为开庭审理而分配案件 第41条撤销诉讼 第42条合并；分开审理 第43条证言的取得 第44条官方记录证明 第44条之1外国法的确定 第45条传票

第46条不需要提出异议 第47条选定陪审团成员

第48条陪审团成员人数——参与裁决 第49条特别裁决和质问书

第50条在陪审团审判的案件中作为法律问题作出的判决；选择重新审理的申请；有条件的裁定

第51条对陪审团的指示：异议

第52条法院认定事实；部分认定事实的判决 第53条主事官第7章判决 第54条判决；费用 第55条缺席 第56条简易判决 第57条宣告判决 第58条登记判决

第59条重新审理；判决的修改 第60条对判决或命令的救济 第61条无害的错误 第62条执行判决程序的中止 第63条法官不能继续执行职务 第8章临时性和终局性财产救济方法 第64条对人或财产的扣押 第65条禁止令

第65条之1担保：对保证人的诉讼程序 第66条被联邦法院任命的财产管理人 第67条向法院提存 第68条判决方案要约 第69条执行

第70条特定行为的判决；赋予权限 第71条有利于或不利于非当事人的第三人的令状 第9章特别程序 第71条之1不动产征收 第72条补助法官；审理前命令

第73条补助法官；同意审判及上诉的选择权 第74条根据《美国法典》

第28编第636条第3款（4）项和本规则

第73条第4 款的规定，对补助法官作出的决定向地区法院法官提起上诉的方式 第75条根据本规则第73条第4款的规定，对补助法官作出的决定向地区法院法官提起上诉的程序

第76条根据本规则第73条第4款的规定向地区法院法官提起上诉案件的判决和诉讼费用

第10章地区法院及其书记官 第77条地区法院及其书记官 第78条申请期日

第79条书记官保管的登记簿和记录以及登记

第80条速记员；用作证据的速记员报告及速记译回文字 第11章一般条款 第81条一般适用性

第82条管辖区域及审判地不受影响 第83条地区法院的规则；法官的指令 第84条诉讼文书格式 第85条本规则的称谓 第86条生效日期 附件一：诉讼文书格式

附件二：《美国联邦民事诉讼规则》中的词汇英中文语义对照表

美国联邦证据规则

导言《美国联邦证据规则》介绍 第1章一般规定 第101条适用范围 第102条目的和结构

第103条关于证据的裁定（a）错误裁定的后果（1）异议（2）提供证明（b）关于提供证据和裁定的记录（c）陪审团审理（d）显见错误

第104条初步询问（a）关于可采性的一般询问（b）以事实为条件的相关性（c）陪审团审理（d）被告人作证（e）重要性和可信性 第105条有限的可采性

第106条书面或录音证词的剩余部分或相关部分 第2章司法认知

第201条关于裁判事实的司法认知（a）适用范围（b）事实种类（c）任意采用（d）强制采用（e）被听证的机会（f）采用司法认知的时间（g）指示陪审团 第3章民事诉讼中的推定

第301条民事诉讼中推定的一般规定

第302条民事诉讼中州法的适用性第4章相关性及其限制 第401条“相关证据”的定义

第402条相关证据一般可以采纳；无相关性的证据不能采纳 第403条因偏见、混淆或浪费时间而排除相关证据

第404条品格证据不能采纳来证明行为；例外；其他犯罪（a）品格证据的一般规定（1）被告人的品格（2）被害人的品格（3）证人的品格（b）其他犯罪、错误或行为

第405条证明品格的方法（a）名声或评价（b）特定行为实例 第406条习惯；日常工作 第407条随后的补救措施 第408条和解和要求和解 第409条支付医疗或类似费用

第410条答辩、答辩讨论和有关陈述不可采纳 第411条责任保险

第412条性犯罪案件；与被害人过去行为相关 第5章特权 第501条一般规则 第6章证人

第601条关于证人能力的一般规则 第602条缺乏亲身体验 第603条宣誓或郑重声明 第604条译员

第605条法官作为证人的能力

第606条陪审员作为证人的能力（a）参加审理（b）对陪审团裁决或起诉书合法性的调查

第607条谁可以提出质疑

第608条关于证人品格和行为的证据（a）关于品格的评价证据和名声证据（b）行为的具体实例

第609条以曾被定罪的证据提出质疑（a）一般规则（b）时间限制（c）赦免、撤销或证明恢复名誉的效果（d）未成年人的裁判（e）上诉未决 第610条宗教信仰或主张

第611条询问和举证的方式和次序（a）法庭控制（b）交叉询问的范围（c）诱导性问题

第612条使用书面材料来唤醒记忆

第613条证人先前的陈述（a）就证人先前的陈述进行询问（b）有关证人先前陈述不一致的外部证据

第614条法庭传唤和询问证人（a）法庭传唤证人（b）法庭询问（c）异议 第615条排除证人 第7章意见证据和专家证词 第701条一般证人的意见证词 第702条专家证词

第703条专家意见证词的基础 第704条关于最终争议的意见

第705条公开专家意见所依据的事实和数据

第706条法庭指定专家（a）指定（b）补偿（c）将指定公开（d）当事人自己选择专家 第8章传闻证据 第801条定义（a）陈述（b）陈述者（c）传闻（d）不是传闻的陈述（1）证人的先前陈述（2）为对立当事人承认 第802条传闻证据规则

第803条传闻证据的例外；陈述者可否作证无关紧要（1）表达感觉印象（2）刺激的发泄（3）当时存在的精神、感情或身体状态（4）出于医疗诊断或治疗目的的陈述（5）被记录的回忆（6）关于日常行为、活动的记录（7）在第（6）项规定的记录中缺乏记载（8）公共记录或报告（9）重要统计资料（10）缺乏公共记录或没有记载（11）宗教组织的记录（12）婚姻、洗礼或类似证明（13）家庭记录（14）反映财产利益的文件记录（15）文件中反映财产利益的陈述（16）在陈年文件中的陈述（17）市场报告商业出版物（18）学术论文（19）关于个人或家庭历史的名声（20）关于边界和一般历史的名声（21）性格方面的名声（22）先前定罪的判决（23）关于个人、家庭、或一般历史、或边界的判决（24）其他例外

第804条传闻证据的例外；陈述者不能到庭作证（a）不能出庭的定义（b）传闻证据的例外（1）先前证词（2）临终陈述（3）对己不利的陈述（4）关于个人或家史的陈述（5）其他例外 第805条传闻中的传闻…

第806条攻击和支持陈述者的可信性 第9章鉴定和辨认

第901条要求鉴定或辨认（a）一般规定（b）说明（1）具有知识的人的证明（2）对笔迹的非专家意见（3）由审判者或专家证人进行比较（4）与众不同的特征或类似品质（5）声音辨认（6）声音通话（7）公共记录或报告（8）陈年文件或数据汇编（9）过程或系统（10）法律或规则规定的方法

第902条自我鉴定（1）国内盖有印章的公文（2）国内未盖印章的公文（3）外国公文（4）经证实的公共记录的副本（5）官方出版物（6）报纸和期刊（7）商品注册或类似标记（8）被承认的文件（9）商业票据和相关文件（10）根据国会立法推定

第903条不必要有补强证人证词 第10章文字、录音和照相的内容

第1001条定义（1）文字和录音（2）照相（3）原件（4）复制品 第1002条要求原件 第1003条复制品的可采性

第1004条其他关于内容的证据的可采性（1）原件遗失或毁坏（2）原件无法获得（3）原件在对方掌握中（4）附属事项 第1005条公共记录 第1006条摘要

第1007条当事人的证词或书面承认 第1008条法庭和陪审团的职能 第11章综合规则

第1101条规则的适用性（a）法院和治安法院（b）诉讼范围（c）关于特权的规则（d）不适用规则的情况（e）部分适用的规则 第1102条修改 第1103条标题

第二篇：美国联邦法院2012年年终报告

美国联邦法院2012年年终报告

□ 美国联邦最高法院首席大法官 约翰·罗伯茨

□

黄 斌 代秋影 编 译

美国联邦最高法院首席大法官罗伯茨在年终报告中强调，行政和立法部门应关注联邦法院在财政和人力资源方面的需求。2011年以来，随着通货膨胀、预算赤字和成本增加，联邦法院已难以维持足够的公共服务，随着审判的案件不断增加，联邦法院已经越来越难以维持其符合“宪法和法律所确认”的核心职能。罗伯茨强调，如果没有足够的资金，公正的司法就会受到损害。本期刊登美国联邦法院2012年年终报告演讲全文（包括附录），敬请关注。——法律文化周刊

引子：“宪法号”传奇

遥想两百年前，一位年轻的海军士兵正在一艘美国军舰上执行夜巡任务。独立战争甫定，美国又再度与海上霸主英国交恶。这位海军士兵忐忑不安，理由不言自明。英国皇家海军拥有115艘一线作战军舰和126艘护卫舰，而美国海军只有17艘军舰。或许支撑海军士兵的信念源自这

突的结果起到决定性的作用。不过，在面对各种处境时，宪法号军舰很好地完成了自己的使命，“老铁壳”的胜利提振了战争初期美国海军低落的士气。宪法号军舰的功绩体现在托马斯·伯奇的画中、奥利弗·霍姆斯的诗歌中以及詹姆斯·芬尼莫尔·柯柏的散文中。在过去的两个世纪里，宪法号军舰代表着美国的坚强、勇敢和能力。宪法号军舰现在停泊在波士顿港口，至今仍可航行，并以世界上最古老的现役军舰而自豪。

美国主权债务危机背景下的司法成本控制

1812年战争的两百年后，美国面临着新的挑战，包括广为人知的“财政悬崖”以及长期存在过度浪费和新出现的国家债务问题。公众都期望总统能够提出周密的解决方案。站在司法机构的立场，我们置身于政治舞台之外，不过，我们可以继续从自身的角度提出应对财政危机的方案。8年前，司法机构就担负起了这项职责，当时在首席大法官伦奎斯特的领导下，司法联合会率先实施了一项有效的成本控制战略。4年前，我在2008年年终报告中对司法机构所付出的努力进行了概述。现在是时候重提这个主题了。

一如既往的是，司法机构的支出仍然只占联邦预算中极微小的一部分。在2012财政中，包括联邦最高法院、识别并消除超支的情况。然后我们采取了增长上限的方式规定法官等司法机构人员的办公面积，并缓建新项目。在2005财政，办公租金预计平均每年增长6%，到2013年将超过14亿美元。我们努力进行成本控制的成果是，2013财政美国联邦事务管理局暂定的司法机构办公租金总额将少于11亿美元。也就是说，自2005年实施成本控制战略以来，办公租金费用减少了近3.22亿美元。办公租金现在占司法机构工资和费用支出的21%。

不过，我们不能止步于此。我们努力去查明可利用的办公用房提供给司法工作人员，比如缓刑和审前服务官，目前他们仍然是租借办公用房。如果他们能够搬出租借用房，那么就可以减少租金成本。此外，我们不断采取其他方式以更好地利用空间，比如精简图书馆，利用数字图书馆进行收藏，为减少总体的预算支出做贡献。

司法成本控制之司法人员工资

我们也在采取措施控制司法人员工资的增长，这项成本支出占2005财政司法预算的62%。司法人员预算中近85%是用来支付包括书记员、秘书和行政人员的工资。在这方面，进一步节约的办法是有限的。在过去的三年中，司法人员的工资没有发生变化：和其他联邦机构的雇员一

制的设置。

司法成本控制之信息技术的运用

此外，我们还通过加强信息技术的运用来节约支出，该部分费用占2005年法院财政预算的6%。通过采取配置计算机系统管理备审案件目录、管理财务和辅助人员工资与福利等降低成本、提高效率的措施，法院节约了更多的成本。例如，法院已经采取了合并服务器和其他信息技术基础设施的节约措施。这些合并措施将扩展到陪审团管理系统、缓刑案件管理系统和联邦法院财务系统，这样，从2014财政开始，每年可节省几百万美元的支出。作为司法机构全国数据和通讯系统的一部分，法院正在推行一个覆盖全国的“IP语音电话”系统，通过在同一个网络平台上提供数据、语音和视频服务来减少支出。同时，我们不断提高电子数据库利用率以降低购买法律专业书籍和维护传统图书馆的费用。

司法成本控制新举措

联邦最高法院将继续带头控制司法成本。自2004年以来，法院一直在探索如何节约纳税人的钱。在2012财政年

述空缺。

财政困境中坚守司法职责

尽管有财政和资源方面的困难，法院系统依然坚持在最困难的环境下履行职责。我们法院一贯能在最具挑战性的时刻表现出坚韧不拔和刚毅的精神。当飓风桑迪袭击东部沿海时，对公私财产造成了毁灭性破坏，并摧毁了大量必要的通讯和交通基础设施。作为回应，联邦法院迅速行动起来确保司法功能正常运行。不顾个人处境，司法人员坚守工作，并且与陪审员、律师和工作人员保持联络及时处理紧急司法事件。例如，在飓风袭击的第二天，在没有正常暖气和热水供给，仅靠应急燃气发电机提供能源的工作环境下，纽约南部的联邦地区法院依然在下曼哈顿区召开紧急听证会。

两百年来，很多事情一以贯之，没有改变。一直以来，国家感激那些顺应国家需要并为造福美国民众提供忠诚且无私奉献的人们。类似的例子在司法系统举不胜举，在此我只列举其中之一。

康涅狄克州联邦地区法院法官马克·R·克拉维茨，因肌萎缩侧索硬化症——葛雷克氏症于2012年9月30日辞世，享年62岁。他不仅是一名优秀的初审法官，同时也是一位

件。被监管的罪犯数量上升了2%，共132340人。联邦地区法院受理的案件数量下降了5%，共372563件。受到审前程序的案件下降了4%，共109242件。破产法院受理的案件数量下降了14%，共1261140件。

联邦最高法院——

起诉到最高法院的案件总数从2010司法的7857件下降到2011司法的7713件，下降了1.8％。司法援助案件总数从2010司法的6299件下降到2011司法的6160件,下降了2.2％。收取诉讼费的案件从2010司法的1558件下降到2011司法的1553件，下降了0.3％。在2011司法，共讨论案件79件，73件得到处理，64件签署了正式判决，而2010司法讨论了86起案件，处理了83起案件，75件签署了正式判决。

联邦上诉法院——

联邦地区上诉法院受理的案件上升了4％，共57501件。除民事上诉案件的数量下降1%外，其他各种类型的上诉案件数量均上升了。刑事上诉案件的数量上升了12%。初审案件和破产上诉案件的数量也上升了，随着针对移民

破产法院受理的案件数量下降了14%，为1261140件。破产案件数量在90个地区中有89个地区下降了。非商业案件下降了14%，商业案件下降了16%。与《2005防止滥用破产与消费者保护法》第七章有关的案件下降了16％，与第十一章有关的案件下降了12％，与第十三章有关的案件下降了10％。这是自该法生效后，2007年至2010年积聚了大量破产案件后出现的明显下降。

联邦缓刑与审前程序——

2012年9月30日，被监管的罪犯数是132340人，比上一年的总数上升了2％。从矫正机构释放后接受释放监管的人数增长了3％，达到108372人，是被监管罪犯总人数的82％。2012年，包括审前程序分流案件在内的审前程序案件下降了4％，共109242件。

（译者单位：中国应用法学研究所）

第三篇：美国联邦民事诉讼规则(内含中文目录)

《美国联邦地区法院民事诉讼规则》简称《美国联邦民事诉讼规则》

目录 美国联邦民事诉讼规则

导论 美国联邦民事诉讼规则

第1章本规则的适用范围和一种诉讼形式

第1条本规则的适用范围和目的第2条一种诉讼形式

第2章诉讼开始；传唤令状、诉答文书、申请书及 命令的送达

第3条诉讼开始

第4条传唤状

第4条之1其他令状的送达

第5条诉答文书和其他文件的送达与提交

第6条期间

第3章诉答文书和申请书

第7条允许提出的诉答文书；申请书的格式

第8条诉答文书的一般规则

第9条诉答文书的特别事项

第10条诉答文书的格式

第11条诉答文书、申请书及其他文件的签名； 向法院的陈述；制裁

第12条抗辩和异议——提出的期间和方式—— 通过诉答文书或申请书——基于诉答文 书请求判决的申请

第13条反请求和交叉请求

第14条第三当事人诉讼程序

第15条修改和补充诉答文书

第16条审理前会议；日程；管理 第4章当事人

第17条原告和被告；当事人能力

第18条请求和救济方法的合并

第19条为公正审判而必要合并的人

第20条当事人的许可合并

第21条当事人的合并错误及不合并

第22条互争权利诉讼

第23条集团诉讼 第23条之1股东的派生诉讼

第23条之2关于非法人团体的诉讼

第24条诉讼参加

第25条替代当事人

第5章庭外证言与发现程序

第26条规范发现程序的一般规定；出示义务

第27条诉讼之前和上诉系属期间的庭外证言

第28条参与作成庭外证言的人员

第29条关于发现程序的约定

第30条口头询问的庭外证言

第31条书面质问的庭外证言

第32条在法院的诉讼程序中庭外证言的使用

第33条对当事人的质问书

第34条提供文件和物件以及为调查或其他目 的而进入房地产

第35条身体和精神状态的检查

第36条要求自认

第37条不出示或不协助发现：制裁

第6章开庭审理

第38条要求陪审团审判的权利

第39条陪审团审判或法院审判

第40条为开庭审理而分配案件

第41条撤销诉讼

第42条合并；分开审理

第43条证言的取得

第44条官方记录证明

第44条之1外国法的确定

第45条传票

第46条不需要提出异议

第47条选定陪审团成员

第48条陪审团成员人数——参与裁决

第49条特别裁决和质问书

第50条在陪审团审判的案件中作为法律问题 作出的判决；选择重新审理的申请；有条件的裁定

第51条对陪审团的指示：异议

第52条法院认定事实；部分认定事实的判决

第53条主事官 第7章判决

第54条判决；费用

第55条缺席

第56条简易判决

第57条宣告判决

第58条登记判决

第59条重新审理；判决的修改

第60条对判决或命令的救济

第61条无害的错误

第62条执行判决程序的中止

第63条法官不能继续执行职务

第8章临时性和终局性财产救济方法

第64条对人或财产的扣押

第65条禁止令

第65条之1担保：对保证人的诉讼程序

第66条被联邦法院任命的财产管理人

第67条向法院提存

第68条判决方案要约

第69条执行

第70条特定行为的判决；赋予权限

第71条有利于或不利于非当事人的第三人的 令状

第9章特别程序

第71条之1不动产征收

第72条补助法官；审理前命令

第73条补助法官；同意审判及上诉的选择权

第74条根据《美国法典》

第28编第636条 第3款（4）项和本规则

第73条第4 款的规定，对补助法官作出的决定向 地区法院法官提起上诉的方式

第75条根据本规则第73条第4款的规定，对补助法官作出的决定向地区法院 法官提起上诉的程序 第76条根据本规则第73条第4款的规定向 地区法院法官提起上诉案件的判决 和诉讼费用

第10章地区法院及其书记官

第77条地区法院及其书记官

第78条申请期日

第79条书记官保管的登记簿和记录以及登记

第80条速记员；用作证据的速记员报告及速 记译回文字

第11章一般条款

第81条一般适用性

第82条管辖区域及审判地不受影响

第83条地区法院的规则；法官的指令

第84条诉讼文书格式

第85条本规则的称谓

第86条生效日期

附件一：诉讼文书格式

附件二：《美国联邦民事诉讼规则》 中的词汇英中文语义对照表

美国联邦证据规则

导言 《美国联邦证据规则》介绍

第1章一般规定

第101条适用范围

第102条目的和结构

第103条关于证据的裁定（a）错误裁定的后果（1）异议（2）提供证明（b）关于提供证据和裁定的记录（c）陪审团审理（d）显见错误

第104条初步询问（a）关于可采性的一般询问（b）以事实为条件的相关性（c）陪审团审理（d）被告人作证（e）重要性和可信性

第105条有限的可采性

第106条书面或录音证词的剩余部分或相关 部分

第2章司法认知

第201条关于裁判事实的司法认知（a）适用范围（b）事实种类（c）任意采用（d）强制采用（e）被听证的机会（f）采用司法认知的时间（g）指示陪审团

第3章民事诉讼中的推定

第301条民事诉讼中推定的一般规定

第302条民事诉讼中州法的适用性 第4章相关性及其限制 第401条“相关证据”的定义

第402条相关证据一般可以采纳；无相关性的 证据不能采纳

第403条因偏见、混淆或浪费时间而排除相关 证据

第404条品格证据不能采纳来证明行为；例外； 其他犯罪（a）品格证据的一般规定（1）被告人的品格（2）被害人的品格（3）证人的品格（b）其他犯罪、错误或行为

第405条证明品格的方法（a）名声或评价（b）特定行为实例

第406条习惯；日常工作

第407条随后的补救措施

第408条和解和要求和解

第409条支付医疗或类似费用

第410条答辩、答辩讨论和有关陈述不可采纳

第411条责任保险

第412条性犯罪案件；与被害人过去行为相关

第5章特权

第501条一般规则

第6章证人

第601条关于证人能力的一般规则

第602条缺乏亲身体验

第603条宣誓或郑重声明

第604条译员

第605条法官作为证人的能力

第606条陪审员作为证人的能力（a）参加审理（b）对陪审团裁决或起诉书合法性的调查

第607条谁可以提出质疑

第608条关于证人品格和行为的证据（a）关于品格的评价证据和名声证据（b）行为的具体实例

第609条以曾被定罪的证据提出质疑（a）一般规则（b）时间限制（c）赦免、撤销或证明恢复名誉的效果（d）未成年人的裁判（e）上诉未决

第610条宗教信仰或主张

第611条询问和举证的方式和次序（a）法庭控制（b）交叉询问的范围（c）诱导性问题

第612条使用书面材料来唤醒记忆

第613条证人先前的陈述（a）就证人先前的陈述进行询问（b）有关证人先前陈述不一致的外部证据

第614条法庭传唤和询问证人（a）法庭传唤证人（b）法庭询问（c）异议

第615条排除证人 第7章意见证据和专家证词

第701条一般证人的意见证词

第702条专家证词

第703条专家意见证词的基础

第704条关于最终争议的意见

第705条公开专家意见所依据的事实和数据

第706条法庭指定专家（a）指定（b）补偿（c）将指定公开（d）当事人自己选择专家

第8章传闻证据

第801条定义（a）陈述（b）陈述者（c）传闻（d）不是传闻的陈述（1）证人的先前陈述（2）为对立当事人承认

第802条传闻证据规则

第803条传闻证据的例外；陈述者可否作证无关 紧要（1）表达感觉印象（2）刺激的发泄（3）当时存在的精神、感情或身体状态（4）出于医疗诊断或治疗目的的陈述（5）被记录的回忆（6）关于日常行为、活动的记录（7）在第（6）项规定的记录中缺乏记载（8）公共记录或报告（9）重要统计资料（10）缺乏公共记录或没有记载（11）宗教组织的记录（12）婚姻、洗礼或类似证明（13）家庭记录（14）反映财产利益的文件记录（15）文件中反映财产利益的陈述（16）在陈年文件中的陈述（17）市场报告商业出版物（18）学术论文（19）关于个人或家庭历史的名声（20）关于边界和一般历史的名声（21）性格方面的名声（22）先前定罪的判决（23）关于个人、家庭、或一般历史、或边界的 判决（24）其他例外

第804条传闻证据的例外；陈述者不能到庭作证（a）不能出庭的定义（b）传闻证据的例外（1）先前证词（2）临终陈述（3）对己不利的陈述（4）关于个人或家史的陈述（5）其他例外

第805条传闻中的传闻…

第806条攻击和支持陈述者的可信性

第9章鉴定和辨认

第901条要求鉴定或辨认（a）一般规定（b）说明（1）具有知识的人的证明（2）对笔迹的非专家意见（3）由审判者或专家证人进行比较（4）与众不同的特征或类似品质（5）声音辨认（6）声音通话（7）公共记录或报告（8）陈年文件或数据汇编（9）过程或系统（10）法律或规则规定的方法

第902条自我鉴定（1）国内盖有印章的公文（2）国内未盖印章的公文（3）外国公文（4）经证实的公共记录的副本（5）官方出版物（6）报纸和期刊（7）商品注册或类似标记（8）被承认的文件（9）商业票据和相关文件（10）根据国会立法推定

第903条不必要有补强证人证词

第10章文字、录音和照相的内容

第1001条定义（1）文字和录音（2）照相（3）原件（4）复制品

第1002条要求原件

第1003条复制品的可采性 第1004条其他关于内容的证据的可采性（1）原件遗失或毁坏（2）原件无法获得（3）原件在对方掌握中（4）附属事项

第1005条公共记录

第1006条摘要

第1007条当事人的证词或书面承认

第1008条法庭和陪审团的职能

第11章综合规则

第1101条规则的适用性（a）法院和治安法院（b）诉讼范围（c）关于特权的规则（d）不适用规则的情况（e）部分适用的规则第1102条修改

第1103条标题

FEDERAL RULES OF CIVIL PROCEDURE I.SCOPE OF RULES ONE FORM OF ACTION Rule1 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.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 the purpose.Such an appointment must be made when the plaintiff is authorized to proceed in forma pauperis pursuant to28 U.S.C.§1915 or is authorized to proceed as a seaman under 28 U.S.C.§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 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 proofs 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 Person.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 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.§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.§ 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 than 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.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(1).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.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)Same: How Made.Whenever under these rules service is required or permitted to be made upon a party represented by an attorney the service shall be made upon the attorney unless service upon the party is ordered by the court.Service upon the attorney or upon a party shall be made by delivering a copy to the attorney or party or by mailing it to the attorney or party at the attorney's or party's last known address or, if no address is known, by leaving it with the clerk of the court.Delivery of a copy within this rule means: handing it to the attorney or to the party;or leaving it at the attorney's or party's office with a clerk or other person in charge thereof;or, if there is no one in charge, leaving it in a conspicuous place therein;or, if the office is closed or the person to be served has no office, leaving it at the person's dwelling house or usual place of abode with some person of suitable age and discretion then residing therein.Service by mail is complete upon mailing.(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.Prospective amendment:

Amendment of Rule 5, effective December 1, 2001.By order dated April 23, 2001, the Supreme Court of the United States approved the following amendments to Rule 5, effective December 1, 2001, and authorized their transmission to Congress in accordance with 28 USCS § 2072

Rule 5.Service and Filing of Pleadings and Other Papers(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.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 of 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 Service by Mail.Whenever a party has the right or is required to do some act or take some proceedings within a prescribed period after the service of a notice or other paper upon the party and the notice or paper is served upon the party by mail, 3 days shall be added to the prescribed period.Prospective amendment:

Amendment of Rule 6, effective December 1, 2001.By order dated April 23, 2001, the Supreme Court of the United States approved the following amendments to Rule 6, effective December 1, 2001, and authorized their transmission to Congress in accordance with 28 USCS§ 2072

Rule 6.Time

(e)Additional Time After Service under Rule 5(B)(2)(B),(C), or(D).Whenever a party has the right or is required to do some act or take some proceedings within a prescribed period after the service of a notice or other paper upon the party and the notice or paper is served upon the party under Rule 5(b)(2)(B),(C), or(D), 3 days shall be added to the prescribed period.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.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.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 Rule 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.§1292(a)(3).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 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.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 the 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)(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.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.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, USC §§ 1335, 1397, and 2361.Actions under those provisions shall be conducted in accordance with these rules.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)Determination by Order Whether Class Action to be Maintained;Notice;Judgment;Actions Conducted Partially as Class Actions.(1)As soon as practicable after the commencement of an action brought as a class action, the court shall determine by order whether it is to be so maintained.An order under this subdivision may be conditional, and may be altered or amended before the decision on the merits.(2)In any class action maintained under subdivision(b)(3), the court shall direct to the members of the class the best notice practicable under the circumstances, including individual notice to all members who can be identified through reasonable effort.The notice shall advise each member that(A)the court will exclude the member from the class if the member so requests by a specified date;(B)the judgment, whether favorable or not, will include all members who do not request exclusion;and(C)any member who does not request exclusion may, if the member desires, enter an appearance through counsel.(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)Dismissal or Compromise.A class 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 all members of the class in such manner as the court directs.(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.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.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).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.§ 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.§ 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.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 an 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.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.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.The petitioner shall thereafter serve a notice upon each person named in the petition as an expected adverse party, together with a copy of the petition, stating that the petitioner will apply to the court, at a time and place named therein, for the order described in the petition.At least 20 days before the date of hearing the notice shall be served either within or without the district or state in the manner provided in Rule 4(d)for service of summons;but if such service cannot with due diligence be made upon any expected adverse party named in the petition, the court may make such order as is just for service by publication or otherwise, and shall appoint, for persons not served in the manner provided in Rule 4(d), an attorney who shall represent them, and, in case they are not otherwise represented, shall cross-examine the deponent.If any expected adverse party is a minor or incompetent the provisions of Rule 17(c)apply.(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.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.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.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 sub-division(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 Filing by Officer;Exhibits;Copies;Notices of Filing.(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.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.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.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.

第四篇：美国联邦法院行政管理局简介及启示

美国联邦法院行政管理局简介及启示

一、基本介绍

美国联邦法院是根据美国宪法和美国法律成立的法院，行使美国的司法权，同时受总统和国会的制约。总统可以通过涉及司法工作的提案影响国会，国会对提案进行审批，直接作用于联邦法院。同时，法官要由总统任命，国会参议院批准，国会亦有权对法官提出弹劾。

在管理组织架构上，美国联邦法院可以分为10个管理模块，分别在各自的职权范围内行使管理职能。分别有：

1、最高法院（作为管理的，下同），2、上诉法院，3、区法院，4、特别国家性法院，5、美国首席大法官，6、美国司法委员会，7、巡回司法委员会，8、巡回执行委员会，9、国家司法辅助部门。（包括：a.多种区域诉讼司法委员会，b.美国量刑委员会，c.联邦司法中心，d.美国联邦法院行政管理局。）

美国联邦法院行政管理局，英文名称为“ADMINISTRATIVE OFFICE OF THE UNITED STATES COURTS”于1939年由美国国会成立，其目的是为美国法院提供行政支持。行政管理局的主任是美国法院的首席行政官，由司法委员会选拨，并由美国首席大法官任命，其法定职责和其他职责主要受美国司法的主要决策机构——美国司法委员会监督和指导。行政管理局拥有大约1000名员工，为联邦法院2400名司法人员和近29000个法院员工提 供行政支持，其作为司法部门与国会的联络纽带，确保司法部门的拨款和司法机关的预算得到贯彻执行。

二、主要职责和机构构成

（一）主要职责

联邦法院行政管理局的主要职责包括以下：

1、保障美国司法会议的运作，保障其与24个委员会（包括咨询和专门委员会）的联系顺畅，向司法会议提供工作人员、计划会议、组织会议议程、准备报告问题、为提案项目提供实质性的分析支持和建议。

2、支持2000名司法人员，包括上诉法院和地区法院法官、破产法院法官。

3、为法院管理事务提供建议。

4、为巡回执行委员会、法院职员、员工辩护律师、缓刑和审前服务人员、联邦辩护、CAJ panel律师、调解员、破产管理人和其他法院的员工，提供工作流程的管理和支持。

5、集中提供核心管理的功能，如工资、人员和会计服务。

6、管理独特的司法人事制度和监控其公平就业计划。

7、制定和执行预算、指导地方法院预算的执行。

8、预测案件数量、分析工作量、测量工作程序的变化、评估个别法院要求等，从而决定各地法院的资源需求。

9、为司法委员会提供法律顾问服务；作为立法和行政部门的联络纽带。

10、准备手册和各种其他出版物。

11、收集和分析数据，对法院的工作量进行详细统计。

12、监视和审查软件程序的性能和信息资源利用。

13、开展对行政责任了解和掌握的教育培训。

14、审计法院金融业务和提供管理监督，并就管理问题提出指导意见。

15、处理司法机关的公共事务，负责应对来自国会、媒体和公众的众多询问。

16、研究法院业务工作发展的新途径，协助法院的职员实现方案和改进工作方式。

17、发展和支持在法庭使用的自动化系统和技术。

18、协调与联邦政府总务管理局的关系，建设和管理司法的空间设施。

19、监视司法设施的安全，保障服务美国法警的需求，落实法庭的保安人员，并执行司法安保政策。

（二）部门机构构成

联邦法院行政管理局下设9个分支部门机构，分别有：

1、项目服务部

项目服务部的职能范围主要为负责提供一系列广泛的程序和服务来支持联邦法官和法院职员；试用审前服务人员、联邦辩护律师、CAJpanel律师及他们的员工；开发和维护计算机应用程序，包括案例管理系统，以满足各类司法活动的要求；维护数 据、分析和撰写报告，以满足司法的需要。

下设有6个子部门，分别是：a.司法服务办公室、b.缓刑和审前服务办公室、c.法庭服务办公室、d.司法数据和分析办公室、5.辩护服务办公室、6.案件管理系统办公室。

2、行政服务部

行政服务部的职能范围主要为负责司法机关的预算，会计和采购职能；人力资源管理；法院工作空间和设施项目，包括法院的设计和技术协调，远程设施的规划和法院的安保。开发和维护自动化管理系统，使之服务于行政管理局和司法机构，包括自动化管理系统的解决方案和财务管理支持、人事和工资处理、数据集成等。

下设有4个子部门，分别是：a.人力资源办公室、b.预算会计和采购办公室、c.设施和安全办公室、d.管理系统办公室。

3、技术服务部

技术服务部的职能范围主要为负责司法的IT系统支持和部署，基础设施管理；作为行政管理局的技术办公室，保障云技术和主机，提供解决方案和维护信息安全；计划和协调国家信息政策、制定信息标准体系结构，提供技术培训和司法信息安全保障。

下设有6个子部门，分别是：a.技术解决办公室、b.云技术和托管办公室、c.系统部署和支持办公室、d.基础设施管理办公室、e.IT安全办公室、f.AO技术办公室。

4、法律顾问办公室 法律顾问办公室的职能范围主要为负责为行政管理局主任、工作人员和联邦司法会议提供法律咨询和服务；向法官和法院官员涉及法院工作的提供法律问题意见；代理应对投标抗议和其它行政诉讼；协调和支持联邦法规的实施。

5、司法会议秘书处

司法会议秘书处的职能范围主要为保障司法会议的运行，协调司法会议及委员会所需的工作人员；维护司法会议正式记录；服务出席会议的法官和法院人员；协调会议咨询进程。

6、公共事务办公室

公共事务办公室的职能范围主要为负责公共信息发布，回答咨询，维护行政管理局的网站，制作宣传视频，创建面对公众、宣传司法的社交网络。

7、立法事务办公室

立法事务办公室的职能范围主要为司法提供法律顾问服务；保持与立法部门的联络；管理影响司法的状态事项，组织协调法律实体和其他组织去研究司法的影响。

8、审计办公室

审计办公室主要职能为审计法院金融业务和提供管理监督，并就管理问题提出指导意见。

9、公平就业办公室

公平就业办公室主要职能为监督法院内部公平就业计划的实施。

三、对我国法院的启示

美国联邦法院行政管理局成立已经有75年，作为美国联邦法院的独立行政管理部门，其在法院审判与行政管理划分的机构设置和职能划分上，对我国法院当前进行的司法体制改革有一定的借鉴意义。

（一）法院行政管理部门的独立设置

我国当前对法院人员分类改革的探索，将法院内设机构划分为审判部门和非审判部门的尝试，从长远来看，会逐步发展到类似美国联邦法院那样，逐渐将行政综合部门进行整合，从法院体系独立出来，成为一个专门的法院行政管理机构，对法院的司法行政事务进行统筹安排，以使法院回归专业的审判职能。美国联邦法院的行政管理局在功能设置上，其实就相当于我们法院内部的审判管理办公室、宣传处、政治部、信息中心、行装处的整合。而我们法院内部设立的研究室和法官学院，其职能就相当于美国联邦法院的司法中心。美国法院的机构设置可以作为我们机构改革的一个借鉴。

同时，当前的司法体制改革，也面临着审判管理办公室如何定位，需涵括何种职能、如何设置的问题。其实，审判管理办公室功能设置可以参考美国联邦法院行政管理局的项目服务部，主要包括三项职能，一是涉及到审判的服务职能，包括：司法服务、审前服务、法庭服务和辩护服务；二是保障法院顺利运作的职能，包括：信息化软件的维护开发（硬件交给行政服务部）；案件管 理系统的维护（文员办公系统交给技术服务部）；三是司法统计数据维护和分析。针对这些，各省亦有法院正在类似的整合尝试，可以作为样本经验参考。

（二）基于法官员额的预算管理制度

美国联邦法院行政管理局的最重要、最有影响力的职能是编撰各地法院的预算计划，提交司法委员会审议，并提交国会批准。美国的法官员额基本固定，最高法院的法官员额自1869年确定为9名后，145年间经历了经济总量增加、案件大幅增长的情况亦从来没有改变过。并非说这9名大法官都是超人，能处理众多的上诉案件，而是他们身边配备有众多的辅助人员，既有法官助理、又有书记官，还有行政秘书、行政助理等等。美国联邦法院行政管理局每年都要向国会去提交预算报告，预算报告以预算年为时间区间进行。通过分析衡量美国联邦法院的法官工作量，提出明年的预算计划，从而决定不同的法院需要或者减少人员。例如2013年的美国联邦法院报告写到，“2013年司法会议审议的预算比2012年下降3%，这将意味着将使法院裁员1000名左右”。“司法会议修正的拨款请求包括全国法院法官工资和法院日常运转支出共50.5亿美元，这比众议院提交批准的支出高出0.49亿美元，比参议院提交批准的支出低了0.41亿美元。该项请求将用来补充一些法院书记员、缓刑官和审前程序工作人员的职位。”美国通过预算制度的设置，能够相应增减司法辅助人员，灵活应对案件数量的变化，从而维护法官员额的基本稳定。

（三）裁判文书上网机制建设

美国联邦法院的案件管理与电子文书系统（简称：CM/ECF）, 彻底改变了联邦法院与公众互动的方式。这种易于使用的系统允许律师将诉讼文件直接与法院在互联网登记，并允许法院文件以公开透明的方式存储在一个易于访问和管理的案件档案。目前，联邦法院已经建立专门的“法院电子档案公开网”，方便公众查询法院案件信息（网址是：www.xiexiebang.com），所有诉讼文件都以pdf文件的方式储存，并且可以包含音频、视频，公众可以自由下载打印法庭的审判意见。

2008年，美国司法委员会通过了《关于开放案件电子档案的私人查阅和公开的规定》，要求所有案件的电子卷宗必须对外公开，方便查询。根据《电子政务法》的要求，涉及国家秘密、国家安全和当事人隐私的信息不得公开。联邦最高法院和各州最高法院应当制定专门条例，隐去电子文档中涉及个人信息的部分，以保护个人隐私和安全。法院制定的专门条例应当包括与当事人协商公开范围的内容，但当事人不得滥用隐私权，要求法院隐去包括个人姓名（未成年人或性犯罪受害人除外）或企业名称在内的必要性内容。

这些裁判文书中涉及到一些隐私部分在当事人（律师）登录系统时就提醒需进行适当处理，并由律师确认，不确认是难以完成登录过程，从而有助于形成可以向公众公布的版本。我国法院正在推进裁判文书上网的进程，但是较多的文书处理工作由法院 自行承担，牵扯的工作量较多。事实上，可以将系统打造成一个交互系统，允许当事人在系统内进行相应权限的操作，例如修正隐私事项和文书确认上传等；同时，探索将法院的部分行政事务，更多的外包于外界的商业公司进行处理,释放法院内部被行政事务牵扯的劳动力。

第五篇：美国联邦法院的层级与管辖

美国联邦法院的层级与管辖

美国联邦法院（America federal court）是根据美国宪法和美国法律成立的法院。其中美国宪法只指明要成立最高法院，其余法院由美国国会（America Congress）授权成立。美国联邦法院系统由94个联邦地区法院、13个联邦上诉法院和1个最高法院组成。

联邦法院的层级（Hierarchy）：普通法院和专门法院

一、普通法院(common court)： 普通法院分为三级，从下到上分别是：

地区法院（The District Court）

上诉法院（除了联邦区域上诉法院）（The Appeal court）最高法院(Areopagus)

二、专门法院（special court）： 专门法院有：

破产法庭(The bankruptcy court)税务法庭(The tax court)国际贸易法庭(International Trade Tribunal)联邦区域上诉法院(The Federal appeals courts)联邦法院的组成人员：

地方法官 642名 上诉法官 179名 最高法院大法官 9名 共840名联邦法官，均为终身制（Lifelong system）。

联邦法院的管辖(Jurisdiction)：

一、地区法院

地区法院是初审（The trial）管辖法院，只有联邦的司法管辖权（right of jurisdiction）。经联邦地方法院判决的案件，大多数可以上诉到联邦上诉法院，有少数几种可以直接上诉到最高法院。

二、上诉法院

上诉法院只有上诉管辖权，受理经辖区内联邦地区法院判决的案件的上诉，也审查联邦贸易委员会（The Federal Trade Commission）之类的独立管理机构的行动。

三、最高法院

联邦法院是最后上诉法院。

美国联邦最高法院的管辖权分初审管辖权和上诉管辖权。其初审管辖权只适用于两类案件：一是涉及大使（Ambassador）、其他公使（minister）和领事（Consul）的案件，另一类是一州为一方当事人的一切案件。第二类案件中，州与州之间的法律争执，初审管辖权为最高法院所专有。而一个州与联邦政府之间的诉讼，或者一个州与另一州的政治实体（Political entity）、法人团体（Body corporate）或公民之间的诉讼，最高法院虽然拥有初审管辖权，但最高法院也可以让联邦下级法院去初审。