美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則（共五篇）

第一篇：美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則

《美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則》簡稱《美國聯(lián)邦民事訴訟規(guī)則》

目錄美國聯(lián)邦民事訴訟規(guī)則導(dǎo)論美國聯(lián)邦民事訴訟規(guī)則

第1章本規(guī)則的適用范圍和一種訴訟形式第1條本規(guī)則的適用范圍和目的第2條一種訴訟形式

第2章訴訟開始；傳喚令狀、訴答文書、申請(qǐng)書及命令的送達(dá) 第3條訴訟開始第4條傳喚狀

第4條之1其他令狀的送達(dá)

第5條訴答文書和其他文件的送達(dá)與提交第6條期間

第3章訴答文書和申請(qǐng)書

第7條允許提出的訴答文書；申請(qǐng)書的格式第8條訴答文書的一般規(guī)則第9條訴答文書的特別事項(xiàng) 第10條訴答文書的格式

第11條訴答文書、申請(qǐng)書及其他文件的簽名；向法院的陳述；制裁

第12條抗辯和異議——提出的期間和方式—— 通過訴答文書或申請(qǐng)書——基于訴答文書請(qǐng)求判決的申請(qǐng) 第13條反請(qǐng)求和交叉請(qǐng)求第14條第三當(dāng)事人訴訟程序第15條修改和補(bǔ)充訴答文書

第16條審理前會(huì)議；日程；管理第4章當(dāng)事人第17條原告和被告；當(dāng)事人能力第18條請(qǐng)求和救濟(jì)方法的合并第19條為公正審判而必要合并的人第20條當(dāng)事人的許可合并第21條當(dāng)事人的合并錯(cuò)誤及不合并第22條互爭權(quán)利訴訟第23條集團(tuán)訴訟

第23條之1股東的派生訴訟第23條之2關(guān)于非法人團(tuán)體的訴訟第24條訴訟參加第25條替代當(dāng)事人第5章庭外證言與發(fā)現(xiàn)程序

第26條規(guī)范發(fā)現(xiàn)程序的一般規(guī)定；出示義務(wù) 第27條訴訟之前和上訴系屬期間的庭外證言第28條參與作成庭外證言的人員第29條關(guān)于發(fā)現(xiàn)程序的約定第30條口頭詢問的庭外證言第31條書面質(zhì)問的庭外證言

第32條在法院的訴訟程序中庭外證言的使用第33條對(duì)當(dāng)事人的質(zhì)問書

第34條提供文件和物件以及為調(diào)查或其他目的而進(jìn)入房地產(chǎn) 第35條身體和精神狀態(tài)的檢查第36條要求自認(rèn)

第37條不出示或不協(xié)助發(fā)現(xiàn)：制裁第6章開庭審理

第38條要求陪審團(tuán)審判的權(quán)利第39條陪審團(tuán)審判或法院審判第40條為開庭審理而分配案件第41條撤銷訴訟第42條合并；分開審理第43條證言的取得第44條官方記錄證明第44條之1外國法的確定第45條傳票

第46條不需要提出異議第47條選定陪審團(tuán)成員

第48條陪審團(tuán)成員人數(shù)——參與裁決第49條特別裁決和質(zhì)問書

第50條在陪審團(tuán)審判的案件中作為法律問題作出的判決；選擇重新審理的申請(qǐng)；有條件的裁定

第51條對(duì)陪審團(tuán)的指示：異議

第52條法院認(rèn)定事實(shí)；部分認(rèn)定事實(shí)的判決第53條主事官第7章判決第54條判決；費(fèi)用第55條缺席第56條簡易判決第57條宣告判決第58條登記判決

第59條重新審理；判決的修改第60條對(duì)判決或命令的救濟(jì) 第61條無害的錯(cuò)誤第62條執(zhí)行判決程序的中止第63條法官不能繼續(xù)執(zhí)行職務(wù) 第8章臨時(shí)性和終局性財(cái)產(chǎn)救濟(jì)方法第64條對(duì)人或財(cái)產(chǎn)的扣押第65條禁止令

第65條之1擔(dān)保：對(duì)保證人的訴訟程序第66條被聯(lián)邦法院任命的財(cái)產(chǎn)管理人第67條向法院提存第68條判決方案要約第69條執(zhí)行

第70條特定行為的判決；賦予權(quán)限第71條有利于或不利于非當(dāng)事人的第三人的令狀第9章特別程序第71條之1不動(dòng)產(chǎn)征收第72條補(bǔ)助法官；審理前命令

第73條補(bǔ)助法官；同意審判及上訴的選擇權(quán) 第74條根據(jù)《美國法典》

第28編第636條第3款（4）項(xiàng)和本規(guī)則

第73條第4 款的規(guī)定，對(duì)補(bǔ)助法官作出的決定向地區(qū)法院法官提起上訴的方式第75條根據(jù)本規(guī)則第73條第4款的規(guī)定，對(duì)補(bǔ)助法官作出的決定向地區(qū)法院法官提起上訴的程序

第76條根據(jù)本規(guī)則第73條第4款的規(guī)定向地區(qū)法院法官提起上訴案件的判決和訴訟費(fèi)用

第10章地區(qū)法院及其書記官第77條地區(qū)法院及其書記官第78條申請(qǐng)期日

第79條書記官保管的登記簿和記錄以及登記

第80條速記員；用作證據(jù)的速記員報(bào)告及速記譯回文字第11章一般條款第81條一般適用性

第82條管轄區(qū)域及審判地不受影響第83條地區(qū)法院的規(guī)則；法官的指令第84條訴訟文書格式第85條本規(guī)則的稱謂第86條生效日期附件一：訴訟文書格式

附件二：《美國聯(lián)邦民事訴訟規(guī)則》中的詞匯英中文語義對(duì)照表

美國聯(lián)邦證據(jù)規(guī)則

導(dǎo)言《美國聯(lián)邦證據(jù)規(guī)則》介紹第1章一般規(guī)定第101條適用范圍第102條目的和結(jié)構(gòu)

第103條關(guān)于證據(jù)的裁定（a）錯(cuò)誤裁定的后果（1）異議（2）提供證明（b）關(guān)于提供證據(jù)和裁定的記錄（c）陪審團(tuán)審理（d）顯見錯(cuò)誤

第104條初步詢問（a）關(guān)于可采性的一般詢問（b）以事實(shí)為條件的相關(guān)性（c）陪審團(tuán)審理（d）被告人作證（e）重要性和可信性第105條有限的可采性

第106條書面或錄音證詞的剩余部分或相關(guān)部分第2章司法認(rèn)知

第201條關(guān)于裁判事實(shí)的司法認(rèn)知（a）適用范圍（b）事實(shí)種類（c）任意采用（d）強(qiáng)制采用（e）被聽證的機(jī)會(huì)（f）采用司法認(rèn)知的時(shí)間（g）指示陪審團(tuán) 第3章民事訴訟中的推定

第301條民事訴訟中推定的一般規(guī)定

第302條民事訴訟中州法的適用性第4章相關(guān)性及其限制第401條“相關(guān)證據(jù)”的定義

第402條相關(guān)證據(jù)一般可以采納；無相關(guān)性的證據(jù)不能采納第403條因偏見、混淆或浪費(fèi)時(shí)間而排除相關(guān)證據(jù)

第404條品格證據(jù)不能采納來證明行為；例外；其他犯罪（a）品格證據(jù)的一般規(guī)定（1）被告人的品格（2）被害人的品格（3）證人的品格（b）其他犯罪、錯(cuò)誤或行為

第405條證明品格的方法（a）名聲或評(píng)價(jià)（b）特定行為實(shí)例第406條習(xí)慣；日常工作第407條隨后的補(bǔ)救措施第408條和解和要求和解第409條支付醫(yī)療或類似費(fèi)用

第410條答辯、答辯討論和有關(guān)陳述不可采納第411條責(zé)任保險(xiǎn)

第412條性犯罪案件；與被害人過去行為相關(guān) 第5章特權(quán) 第501條一般規(guī)則第6章證人

第601條關(guān)于證人能力的一般規(guī)則第602條缺乏親身體驗(yàn) 第603條宣誓或鄭重聲明第604條譯員

第605條法官作為證人的能力

第606條陪審員作為證人的能力（a）參加審理（b）對(duì)陪審團(tuán)裁決或起訴書合法性的調(diào)查

第607條誰可以提出質(zhì)疑

第608條關(guān)于證人品格和行為的證據(jù)（a）關(guān)于品格的評(píng)價(jià)證據(jù)和名聲證據(jù)（b）行為的具體實(shí)例

第609條以曾被定罪的證據(jù)提出質(zhì)疑（a）一般規(guī)則（b）時(shí)間限制（c）赦免、撤銷或證明恢復(fù)名譽(yù)的效果（d）未成年人的裁判（e）上訴未決第610條宗教信仰或主張

第611條詢問和舉證的方式和次序（a）法庭控制（b）交叉詢問的范圍（c）誘導(dǎo)性問題

第612條使用書面材料來喚醒記憶

第613條證人先前的陳述（a）就證人先前的陳述進(jìn)行詢問（b）有關(guān)證人先前陳述不一致的外部證據(jù)

第614條法庭傳喚和詢問證人（a）法庭傳喚證人（b）法庭詢問（c）異議第615條排除證人第7章意見證據(jù)和專家證詞第701條一般證人的意見證詞第702條專家證詞

第703條專家意見證詞的基礎(chǔ) 第704條關(guān)于最終爭議的意見

第705條公開專家意見所依據(jù)的事實(shí)和數(shù)據(jù)

第706條法庭指定專家（a）指定（b）補(bǔ)償（c）將指定公開（d）當(dāng)事人自己選擇專家第8章傳聞證據(jù) 第801條定義（a）陳述（b）陳述者（c）傳聞（d）不是傳聞的陳述（1）證人的先前陳述（2）為對(duì)立當(dāng)事人承認(rèn) 第802條傳聞證據(jù)規(guī)則

第803條傳聞證據(jù)的例外；陳述者可否作證無關(guān)緊要（1）表達(dá)感覺印象（2）刺激的發(fā)泄（3）當(dāng)時(shí)存在的精神、感情或身體狀態(tài)（4）出于醫(yī)療診斷或治療目的的陳述（5）被記錄的回憶（6）關(guān)于日常行為、活動(dòng)的記錄（7）在第（6）項(xiàng)規(guī)定的記錄中缺乏記載（8）公共記錄或報(bào)告（9）重要統(tǒng)計(jì)資料（10）缺乏公共記錄或沒有記載（11）宗教組織的記錄（12）婚姻、洗禮或類似證明（13）家庭記錄（14）反映財(cái)產(chǎn)利益的文件記錄（15）文件中反映財(cái)產(chǎn)利益的陳述（16）在陳年文件中的陳述（17）市場(chǎng)報(bào)告商業(yè)出版物（18）學(xué)術(shù)論文（19）關(guān)于個(gè)人或家庭歷史的名聲（20）關(guān)于邊界和一般歷史的名聲（21）性格方面的名聲（22）先前定罪的判決（23）關(guān)于個(gè)人、家庭、或一般歷史、或邊界的判決（24）其他例外

第804條傳聞證據(jù)的例外；陳述者不能到庭作證（a）不能出庭的定義（b）傳聞證據(jù)的例外（1）先前證詞（2）臨終陳述（3）對(duì)己不利的陳述（4）關(guān)于個(gè)人或家史的陳述（5）其他例外第805條傳聞中的傳聞…

第806條攻擊和支持陳述者的可信性第9章鑒定和辨認(rèn)

第901條要求鑒定或辨認(rèn)（a）一般規(guī)定（b）說明（1）具有知識(shí)的人的證明（2）對(duì)筆跡的非專家意見（3）由審判者或?qū)＜易C人進(jìn)行比較（4）與眾不同的特征或類似品質(zhì)（5）聲音辨認(rèn)（6）聲音通話（7）公共記錄或報(bào)告（8）陳年文件或數(shù)據(jù)匯編（9）過程或系統(tǒng)（10）法律或規(guī)則規(guī)定的方法

第902條自我鑒定（1）國內(nèi)蓋有印章的公文（2）國內(nèi)未蓋印章的公文（3）外國公文（4）經(jīng)證實(shí)的公共記錄的副本（5）官方出版物（6）報(bào)紙和期刊（7）商品注冊(cè)或類似標(biāo)記（8）被承認(rèn)的文件（9）商業(yè)票據(jù)和相關(guān)文件（10）根據(jù)國會(huì)立法推定

第903條不必要有補(bǔ)強(qiáng)證人證詞第10章文字、錄音和照相的內(nèi)容

第1001條定義（1）文字和錄音（2）照相（3）原件（4）復(fù)制品第1002條要求原件第1003條復(fù)制品的可采性

第1004條其他關(guān)于內(nèi)容的證據(jù)的可采性（1）原件遺失或毀壞（2）原件無法獲得（3）原件在對(duì)方掌握中（4）附屬事項(xiàng) 第1005條公共記錄第1006條摘要

第1007條當(dāng)事人的證詞或書面承認(rèn) 第1008條法庭和陪審團(tuán)的職能第11章綜合規(guī)則

第1101條規(guī)則的適用性（a）法院和治安法院（b）訴訟范圍（c）關(guān)于特權(quán)的規(guī)則（d）不適用規(guī)則的情況（e）部分適用的規(guī)則第1102條修改第1103條標(biāo)題

第二篇：美國聯(lián)邦法院2012年年終報(bào)告

美國聯(lián)邦法院2012年年終報(bào)告

□ 美國聯(lián)邦最高法院首席大法官約翰·羅伯茨

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黃斌代秋影編譯

美國聯(lián)邦最高法院首席大法官羅伯茨在年終報(bào)告中強(qiáng)調(diào)，行政和立法部門應(yīng)關(guān)注聯(lián)邦法院在財(cái)政和人力資源方面的需求。2011年以來，隨著通貨膨脹、預(yù)算赤字和成本增加，聯(lián)邦法院已難以維持足夠的公共服務(wù)，隨著審判的案件不斷增加，聯(lián)邦法院已經(jīng)越來越難以維持其符合“憲法和法律所確認(rèn)”的核心職能。羅伯茨強(qiáng)調(diào)，如果沒有足夠的資金，公正的司法就會(huì)受到損害。本期刊登美國聯(lián)邦法院2012年年終報(bào)告演講全文（包括附錄），敬請(qǐng)關(guān)注?！晌幕芸?/p>

引子：“憲法號(hào)”傳奇

遙想兩百年前，一位年輕的海軍士兵正在一艘美國軍艦上執(zhí)行夜巡任務(wù)。獨(dú)立戰(zhàn)爭甫定，美國又再度與海上霸主英國交惡。這位海軍士兵忐忑不安，理由不言自明。英國皇家海軍擁有115艘一線作戰(zhàn)軍艦和126艘護(hù)衛(wèi)艦，而美國海軍只有17艘軍艦?；蛟S支撐海軍士兵的信念源自這

突的結(jié)果起到?jīng)Q定性的作用。不過，在面對(duì)各種處境時(shí)，憲法號(hào)軍艦很好地完成了自己的使命，“老鐵殼”的勝利提振了戰(zhàn)爭初期美國海軍低落的士氣。憲法號(hào)軍艦的功績體現(xiàn)在托馬斯·伯奇的畫中、奧利弗·霍姆斯的詩歌中以及詹姆斯·芬尼莫爾·柯柏的散文中。在過去的兩個(gè)世紀(jì)里，憲法號(hào)軍艦代表著美國的堅(jiān)強(qiáng)、勇敢和能力。憲法號(hào)軍艦現(xiàn)在停泊在波士頓港口，至今仍可航行，并以世界上最古老的現(xiàn)役軍艦而自豪。

美國主權(quán)債務(wù)危機(jī)背景下的司法成本控制

1812年戰(zhàn)爭的兩百年后，美國面臨著新的挑戰(zhàn)，包括廣為人知的“財(cái)政懸崖”以及長期存在過度浪費(fèi)和新出現(xiàn)的國家債務(wù)問題。公眾都期望總統(tǒng)能夠提出周密的解決方案。站在司法機(jī)構(gòu)的立場(chǎng)，我們置身于政治舞臺(tái)之外，不過，我們可以繼續(xù)從自身的角度提出應(yīng)對(duì)財(cái)政危機(jī)的方案。8年前，司法機(jī)構(gòu)就擔(dān)負(fù)起了這項(xiàng)職責(zé)，當(dāng)時(shí)在首席大法官倫奎斯特的領(lǐng)導(dǎo)下，司法聯(lián)合會(huì)率先實(shí)施了一項(xiàng)有效的成本控制戰(zhàn)略。4年前，我在2008年年終報(bào)告中對(duì)司法機(jī)構(gòu)所付出的努力進(jìn)行了概述。現(xiàn)在是時(shí)候重提這個(gè)主題了。

一如既往的是，司法機(jī)構(gòu)的支出仍然只占聯(lián)邦預(yù)算中極微小的一部分。在2012財(cái)政中，包括聯(lián)邦最高法院、識(shí)別并消除超支的情況。然后我們采取了增長上限的方式規(guī)定法官等司法機(jī)構(gòu)人員的辦公面積，并緩建新項(xiàng)目。在2005財(cái)政，辦公租金預(yù)計(jì)平均每年增長6%，到2013年將超過14億美元。我們努力進(jìn)行成本控制的成果是，2013財(cái)政美國聯(lián)邦事務(wù)管理局暫定的司法機(jī)構(gòu)辦公租金總額將少于11億美元。也就是說，自2005年實(shí)施成本控制戰(zhàn)略以來，辦公租金費(fèi)用減少了近3.22億美元。辦公租金現(xiàn)在占司法機(jī)構(gòu)工資和費(fèi)用支出的21%。

不過，我們不能止步于此。我們努力去查明可利用的辦公用房提供給司法工作人員，比如緩刑和審前服務(wù)官，目前他們?nèi)匀皇亲饨柁k公用房。如果他們能夠搬出租借用房，那么就可以減少租金成本。此外，我們不斷采取其他方式以更好地利用空間，比如精簡圖書館，利用數(shù)字圖書館進(jìn)行收藏，為減少總體的預(yù)算支出做貢獻(xiàn)。

司法成本控制之司法人員工資

我們也在采取措施控制司法人員工資的增長，這項(xiàng)成本支出占2005財(cái)政司法預(yù)算的62%。司法人員預(yù)算中近85%是用來支付包括書記員、秘書和行政人員的工資。在這方面，進(jìn)一步節(jié)約的辦法是有限的。在過去的三年中，司法人員的工資沒有發(fā)生變化：和其他聯(lián)邦機(jī)構(gòu)的雇員一

制的設(shè)置。

司法成本控制之信息技術(shù)的運(yùn)用

此外，我們還通過加強(qiáng)信息技術(shù)的運(yùn)用來節(jié)約支出，該部分費(fèi)用占2005年法院財(cái)政預(yù)算的6%。通過采取配置計(jì)算機(jī)系統(tǒng)管理備審案件目錄、管理財(cái)務(wù)和輔助人員工資與福利等降低成本、提高效率的措施，法院節(jié)約了更多的成本。例如，法院已經(jīng)采取了合并服務(wù)器和其他信息技術(shù)基礎(chǔ)設(shè)施的節(jié)約措施。這些合并措施將擴(kuò)展到陪審團(tuán)管理系統(tǒng)、緩刑案件管理系統(tǒng)和聯(lián)邦法院財(cái)務(wù)系統(tǒng)，這樣，從2014財(cái)政開始，每年可節(jié)省幾百萬美元的支出。作為司法機(jī)構(gòu)全國數(shù)據(jù)和通訊系統(tǒng)的一部分，法院正在推行一個(gè)覆蓋全國的“IP語音電話”系統(tǒng)，通過在同一個(gè)網(wǎng)絡(luò)平臺(tái)上提供數(shù)據(jù)、語音和視頻服務(wù)來減少支出。同時(shí)，我們不斷提高電子數(shù)據(jù)庫利用率以降低購買法律專業(yè)書籍和維護(hù)傳統(tǒng)圖書館的費(fèi)用。

司法成本控制新舉措

聯(lián)邦最高法院將繼續(xù)帶頭控制司法成本。自2004年以來，法院一直在探索如何節(jié)約納稅人的錢。在2012財(cái)政年

述空缺。

財(cái)政困境中堅(jiān)守司法職責(zé)

盡管有財(cái)政和資源方面的困難，法院系統(tǒng)依然堅(jiān)持在最困難的環(huán)境下履行職責(zé)。我們法院一貫?zāi)茉谧罹咛魬?zhàn)性的時(shí)刻表現(xiàn)出堅(jiān)韌不拔和剛毅的精神。當(dāng)颶風(fēng)桑迪襲擊東部沿海時(shí)，對(duì)公私財(cái)產(chǎn)造成了毀滅性破壞，并摧毀了大量必要的通訊和交通基礎(chǔ)設(shè)施。作為回應(yīng)，聯(lián)邦法院迅速行動(dòng)起來確保司法功能正常運(yùn)行。不顧個(gè)人處境，司法人員堅(jiān)守工作，并且與陪審員、律師和工作人員保持聯(lián)絡(luò)及時(shí)處理緊急司法事件。例如，在颶風(fēng)襲擊的第二天，在沒有正常暖氣和熱水供給，僅靠應(yīng)急燃?xì)獍l(fā)電機(jī)提供能源的工作環(huán)境下，紐約南部的聯(lián)邦地區(qū)法院依然在下曼哈頓區(qū)召開緊急聽證會(huì)。

兩百年來，很多事情一以貫之，沒有改變。一直以來，國家感激那些順應(yīng)國家需要并為造福美國民眾提供忠誠且無私奉獻(xiàn)的人們。類似的例子在司法系統(tǒng)舉不勝舉，在此我只列舉其中之一。

康涅狄克州聯(lián)邦地區(qū)法院法官馬克·R·克拉維茨，因肌萎縮側(cè)索硬化癥——葛雷克氏癥于2012年9月30日辭世，享年62歲。他不僅是一名優(yōu)秀的初審法官，同時(shí)也是一位

件。被監(jiān)管的罪犯數(shù)量上升了2%，共132340人。聯(lián)邦地區(qū)法院受理的案件數(shù)量下降了5%，共372563件。受到審前程序的案件下降了4%，共109242件。破產(chǎn)法院受理的案件數(shù)量下降了14%，共1261140件。

聯(lián)邦最高法院——

起訴到最高法院的案件總數(shù)從2010司法的7857件下降到2011司法的7713件，下降了1.8％。司法援助案件總數(shù)從2010司法的6299件下降到2011司法的6160件,下降了2.2％。收取訴訟費(fèi)的案件從2010司法的1558件下降到2011司法的1553件，下降了0.3％。在2011司法，共討論案件79件，73件得到處理，64件簽署了正式判決，而2010司法討論了86起案件，處理了83起案件，75件簽署了正式判決。

聯(lián)邦上訴法院——

聯(lián)邦地區(qū)上訴法院受理的案件上升了4％，共57501件。除民事上訴案件的數(shù)量下降1%外，其他各種類型的上訴案件數(shù)量均上升了。刑事上訴案件的數(shù)量上升了12%。初審案件和破產(chǎn)上訴案件的數(shù)量也上升了，隨著針對(duì)移民

破產(chǎn)法院受理的案件數(shù)量下降了14%，為1261140件。破產(chǎn)案件數(shù)量在90個(gè)地區(qū)中有89個(gè)地區(qū)下降了。非商業(yè)案件下降了14%，商業(yè)案件下降了16%。與《2005防止濫用破產(chǎn)與消費(fèi)者保護(hù)法》第七章有關(guān)的案件下降了16％，與第十一章有關(guān)的案件下降了12％，與第十三章有關(guān)的案件下降了10％。這是自該法生效后，2007年至2010年積聚了大量破產(chǎn)案件后出現(xiàn)的明顯下降。

聯(lián)邦緩刑與審前程序——

2012年9月30日，被監(jiān)管的罪犯數(shù)是132340人，比上一年的總數(shù)上升了2％。從矯正機(jī)構(gòu)釋放后接受釋放監(jiān)管的人數(shù)增長了3％，達(dá)到108372人，是被監(jiān)管罪犯總?cè)藬?shù)的82％。2012年，包括審前程序分流案件在內(nèi)的審前程序案件下降了4％，共109242件。

（譯者單位：中國應(yīng)用法學(xué)研究所）

第三篇：美國聯(lián)邦民事訴訟規(guī)則(內(nèi)含中文目錄)

《美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則》簡稱《美國聯(lián)邦民事訴訟規(guī)則》

目錄美國聯(lián)邦民事訴訟規(guī)則

導(dǎo)論美國聯(lián)邦民事訴訟規(guī)則

第1章本規(guī)則的適用范圍和一種訴訟形式

第1條本規(guī)則的適用范圍和目的第2條一種訴訟形式

第2章訴訟開始；傳喚令狀、訴答文書、申請(qǐng)書及命令的送達(dá)

第3條訴訟開始

第4條傳喚狀

第4條之1其他令狀的送達(dá)

第5條訴答文書和其他文件的送達(dá)與提交

第6條期間

第3章訴答文書和申請(qǐng)書

第7條允許提出的訴答文書；申請(qǐng)書的格式

第8條訴答文書的一般規(guī)則

第9條訴答文書的特別事項(xiàng)

第10條訴答文書的格式

第11條訴答文書、申請(qǐng)書及其他文件的簽名；向法院的陳述；制裁

第12條抗辯和異議——提出的期間和方式—— 通過訴答文書或申請(qǐng)書——基于訴答文書請(qǐng)求判決的申請(qǐng)

第13條反請(qǐng)求和交叉請(qǐng)求

第14條第三當(dāng)事人訴訟程序

第15條修改和補(bǔ)充訴答文書

第16條審理前會(huì)議；日程；管理第4章當(dāng)事人

第17條原告和被告；當(dāng)事人能力

第18條請(qǐng)求和救濟(jì)方法的合并

第19條為公正審判而必要合并的人

第20條當(dāng)事人的許可合并

第21條當(dāng)事人的合并錯(cuò)誤及不合并

第22條互爭權(quán)利訴訟

第23條集團(tuán)訴訟第23條之1股東的派生訴訟

第23條之2關(guān)于非法人團(tuán)體的訴訟

第24條訴訟參加

第25條替代當(dāng)事人

第5章庭外證言與發(fā)現(xiàn)程序

第26條規(guī)范發(fā)現(xiàn)程序的一般規(guī)定；出示義務(wù)

第27條訴訟之前和上訴系屬期間的庭外證言

第28條參與作成庭外證言的人員

第29條關(guān)于發(fā)現(xiàn)程序的約定

第30條口頭詢問的庭外證言

第31條書面質(zhì)問的庭外證言

第32條在法院的訴訟程序中庭外證言的使用

第33條對(duì)當(dāng)事人的質(zhì)問書

第34條提供文件和物件以及為調(diào)查或其他目的而進(jìn)入房地產(chǎn)

第35條身體和精神狀態(tài)的檢查

第36條要求自認(rèn)

第37條不出示或不協(xié)助發(fā)現(xiàn)：制裁

第6章開庭審理

第38條要求陪審團(tuán)審判的權(quán)利

第39條陪審團(tuán)審判或法院審判

第40條為開庭審理而分配案件

第41條撤銷訴訟

第42條合并；分開審理

第43條證言的取得

第44條官方記錄證明

第44條之1外國法的確定

第45條傳票

第46條不需要提出異議

第47條選定陪審團(tuán)成員

第48條陪審團(tuán)成員人數(shù)——參與裁決

第49條特別裁決和質(zhì)問書

第50條在陪審團(tuán)審判的案件中作為法律問題作出的判決；選擇重新審理的申請(qǐng)；有條件的裁定

第51條對(duì)陪審團(tuán)的指示：異議

第52條法院認(rèn)定事實(shí)；部分認(rèn)定事實(shí)的判決

第53條主事官第7章判決

第54條判決；費(fèi)用

第55條缺席

第56條簡易判決

第57條宣告判決

第58條登記判決

第59條重新審理；判決的修改

第60條對(duì)判決或命令的救濟(jì)

第61條無害的錯(cuò)誤

第62條執(zhí)行判決程序的中止

第63條法官不能繼續(xù)執(zhí)行職務(wù)

第8章臨時(shí)性和終局性財(cái)產(chǎn)救濟(jì)方法

第64條對(duì)人或財(cái)產(chǎn)的扣押

第65條禁止令

第65條之1擔(dān)保：對(duì)保證人的訴訟程序

第66條被聯(lián)邦法院任命的財(cái)產(chǎn)管理人

第67條向法院提存

第68條判決方案要約

第69條執(zhí)行

第70條特定行為的判決；賦予權(quán)限

第71條有利于或不利于非當(dāng)事人的第三人的令狀

第9章特別程序

第71條之1不動(dòng)產(chǎn)征收

第72條補(bǔ)助法官；審理前命令

第73條補(bǔ)助法官；同意審判及上訴的選擇權(quán)

第74條根據(jù)《美國法典》

第28編第636條第3款（4）項(xiàng)和本規(guī)則

第73條第4 款的規(guī)定，對(duì)補(bǔ)助法官作出的決定向地區(qū)法院法官提起上訴的方式

第75條根據(jù)本規(guī)則第73條第4款的規(guī)定，對(duì)補(bǔ)助法官作出的決定向地區(qū)法院法官提起上訴的程序第76條根據(jù)本規(guī)則第73條第4款的規(guī)定向地區(qū)法院法官提起上訴案件的判決和訴訟費(fèi)用

第10章地區(qū)法院及其書記官

第77條地區(qū)法院及其書記官

第78條申請(qǐng)期日

第79條書記官保管的登記簿和記錄以及登記

第80條速記員；用作證據(jù)的速記員報(bào)告及速記譯回文字

第11章一般條款

第81條一般適用性

第82條管轄區(qū)域及審判地不受影響

第83條地區(qū)法院的規(guī)則；法官的指令

第84條訴訟文書格式

第85條本規(guī)則的稱謂

第86條生效日期

附件一：訴訟文書格式

附件二：《美國聯(lián)邦民事訴訟規(guī)則》中的詞匯英中文語義對(duì)照表

美國聯(lián)邦證據(jù)規(guī)則

導(dǎo)言《美國聯(lián)邦證據(jù)規(guī)則》介紹

第1章一般規(guī)定

第101條適用范圍

第102條目的和結(jié)構(gòu)

第104條初步詢問（a）關(guān)于可采性的一般詢問（b）以事實(shí)為條件的相關(guān)性（c）陪審團(tuán)審理（d）被告人作證（e）重要性和可信性

第105條有限的可采性

第106條書面或錄音證詞的剩余部分或相關(guān) 部分

第2章司法認(rèn)知

第201條關(guān)于裁判事實(shí)的司法認(rèn)知（a）適用范圍（b）事實(shí)種類（c）任意采用（d）強(qiáng)制采用（e）被聽證的機(jī)會(huì)（f）采用司法認(rèn)知的時(shí)間（g）指示陪審團(tuán)

第3章民事訴訟中的推定

第301條民事訴訟中推定的一般規(guī)定

第302條民事訴訟中州法的適用性第4章相關(guān)性及其限制第401條“相關(guān)證據(jù)”的定義

第402條相關(guān)證據(jù)一般可以采納；無相關(guān)性的證據(jù)不能采納

第403條因偏見、混淆或浪費(fèi)時(shí)間而排除相關(guān) 證據(jù)

第405條證明品格的方法（a）名聲或評(píng)價(jià)（b）特定行為實(shí)例

第406條習(xí)慣；日常工作

第407條隨后的補(bǔ)救措施

第408條和解和要求和解

第409條支付醫(yī)療或類似費(fèi)用

第410條答辯、答辯討論和有關(guān)陳述不可采納

第411條責(zé)任保險(xiǎn)

第412條性犯罪案件；與被害人過去行為相關(guān)

第5章特權(quán)

第501條一般規(guī)則

第6章證人

第601條關(guān)于證人能力的一般規(guī)則

第602條缺乏親身體驗(yàn)

第603條宣誓或鄭重聲明

第604條譯員

第605條法官作為證人的能力

第606條陪審員作為證人的能力（a）參加審理（b）對(duì)陪審團(tuán)裁決或起訴書合法性的調(diào)查

第607條誰可以提出質(zhì)疑

第608條關(guān)于證人品格和行為的證據(jù)（a）關(guān)于品格的評(píng)價(jià)證據(jù)和名聲證據(jù)（b）行為的具體實(shí)例

第609條以曾被定罪的證據(jù)提出質(zhì)疑（a）一般規(guī)則（b）時(shí)間限制（c）赦免、撤銷或證明恢復(fù)名譽(yù)的效果（d）未成年人的裁判（e）上訴未決

第610條宗教信仰或主張

第611條詢問和舉證的方式和次序（a）法庭控制（b）交叉詢問的范圍（c）誘導(dǎo)性問題

第612條使用書面材料來喚醒記憶

第613條證人先前的陳述（a）就證人先前的陳述進(jìn)行詢問（b）有關(guān)證人先前陳述不一致的外部證據(jù)

第614條法庭傳喚和詢問證人（a）法庭傳喚證人（b）法庭詢問（c）異議

第615條排除證人第7章意見證據(jù)和專家證詞

第701條一般證人的意見證詞

第702條專家證詞

第703條專家意見證詞的基礎(chǔ)

第704條關(guān)于最終爭議的意見

第705條公開專家意見所依據(jù)的事實(shí)和數(shù)據(jù)

第706條法庭指定專家（a）指定（b）補(bǔ)償（c）將指定公開（d）當(dāng)事人自己選擇專家

第8章傳聞證據(jù)

第801條定義（a）陳述（b）陳述者（c）傳聞（d）不是傳聞的陳述（1）證人的先前陳述（2）為對(duì)立當(dāng)事人承認(rèn)

第802條傳聞證據(jù)規(guī)則

第803條傳聞證據(jù)的例外；陳述者可否作證無關(guān) 緊要（1）表達(dá)感覺印象（2）刺激的發(fā)泄（3）當(dāng)時(shí)存在的精神、感情或身體狀態(tài)（4）出于醫(yī)療診斷或治療目的的陳述（5）被記錄的回憶（6）關(guān)于日常行為、活動(dòng)的記錄（7）在第（6）項(xiàng)規(guī)定的記錄中缺乏記載（8）公共記錄或報(bào)告（9）重要統(tǒng)計(jì)資料（10）缺乏公共記錄或沒有記載（11）宗教組織的記錄（12）婚姻、洗禮或類似證明（13）家庭記錄（14）反映財(cái)產(chǎn)利益的文件記錄（15）文件中反映財(cái)產(chǎn)利益的陳述（16）在陳年文件中的陳述（17）市場(chǎng)報(bào)告商業(yè)出版物（18）學(xué)術(shù)論文（19）關(guān)于個(gè)人或家庭歷史的名聲（20）關(guān)于邊界和一般歷史的名聲（21）性格方面的名聲（22）先前定罪的判決（23）關(guān)于個(gè)人、家庭、或一般歷史、或邊界的判決（24）其他例外

第804條傳聞證據(jù)的例外；陳述者不能到庭作證（a）不能出庭的定義（b）傳聞證據(jù)的例外（1）先前證詞（2）臨終陳述（3）對(duì)己不利的陳述（4）關(guān)于個(gè)人或家史的陳述（5）其他例外

第805條傳聞中的傳聞…

第806條攻擊和支持陳述者的可信性

第9章鑒定和辨認(rèn)

第903條不必要有補(bǔ)強(qiáng)證人證詞

第10章文字、錄音和照相的內(nèi)容

第1001條定義（1）文字和錄音（2）照相（3）原件（4）復(fù)制品

第1002條要求原件

第1003條復(fù)制品的可采性第1004條其他關(guān)于內(nèi)容的證據(jù)的可采性（1）原件遺失或毀壞（2）原件無法獲得（3）原件在對(duì)方掌握中（4）附屬事項(xiàng)

第1005條公共記錄

第1006條摘要

第1007條當(dāng)事人的證詞或書面承認(rèn)

第1008條法庭和陪審團(tuán)的職能

第11章綜合規(guī)則

第1101條規(guī)則的適用性（a）法院和治安法院（b）訴訟范圍（c）關(guān)于特權(quán)的規(guī)則（d）不適用規(guī)則的情況（e）部分適用的規(guī)則第1102條修改

第1103條標(biāo)題

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：美國聯(lián)邦法院行政管理局簡介及啟示

美國聯(lián)邦法院行政管理局簡介及啟示

一、基本介紹

美國聯(lián)邦法院是根據(jù)美國憲法和美國法律成立的法院，行使美國的司法權(quán)，同時(shí)受總統(tǒng)和國會(huì)的制約?？偨y(tǒng)可以通過涉及司法工作的提案影響國會(huì)，國會(huì)對(duì)提案進(jìn)行審批，直接作用于聯(lián)邦法院。同時(shí)，法官要由總統(tǒng)任命，國會(huì)參議院批準(zhǔn)，國會(huì)亦有權(quán)對(duì)法官提出彈劾。

在管理組織架構(gòu)上，美國聯(lián)邦法院可以分為10個(gè)管理模塊，分別在各自的職權(quán)范圍內(nèi)行使管理職能。分別有：

1、最高法院（作為管理的，下同），2、上訴法院，3、區(qū)法院，4、特別國家性法院，5、美國首席大法官，6、美國司法委員會(huì)，7、巡回司法委員會(huì)，8、巡回執(zhí)行委員會(huì)，9、國家司法輔助部門。（包括：a.多種區(qū)域訴訟司法委員會(huì)，b.美國量刑委員會(huì)，c.聯(lián)邦司法中心，d.美國聯(lián)邦法院行政管理局。）

美國聯(lián)邦法院行政管理局，英文名稱為“ADMINISTRATIVE OFFICE OF THE UNITED STATES COURTS”于1939年由美國國會(huì)成立，其目的是為美國法院提供行政支持。行政管理局的主任是美國法院的首席行政官，由司法委員會(huì)選撥，并由美國首席大法官任命，其法定職責(zé)和其他職責(zé)主要受美國司法的主要決策機(jī)構(gòu)——美國司法委員會(huì)監(jiān)督和指導(dǎo)。行政管理局擁有大約1000名員工，為聯(lián)邦法院2400名司法人員和近29000個(gè)法院員工提供行政支持，其作為司法部門與國會(huì)的聯(lián)絡(luò)紐帶，確保司法部門的撥款和司法機(jī)關(guān)的預(yù)算得到貫徹執(zhí)行。

二、主要職責(zé)和機(jī)構(gòu)構(gòu)成

（一）主要職責(zé)

聯(lián)邦法院行政管理局的主要職責(zé)包括以下：

1、保障美國司法會(huì)議的運(yùn)作，保障其與24個(gè)委員會(huì)（包括咨詢和專門委員會(huì)）的聯(lián)系順暢，向司法會(huì)議提供工作人員、計(jì)劃會(huì)議、組織會(huì)議議程、準(zhǔn)備報(bào)告問題、為提案項(xiàng)目提供實(shí)質(zhì)性的分析支持和建議。

2、支持2000名司法人員，包括上訴法院和地區(qū)法院法官、破產(chǎn)法院法官。

3、為法院管理事務(wù)提供建議。

4、為巡回執(zhí)行委員會(huì)、法院職員、員工辯護(hù)律師、緩刑和審前服務(wù)人員、聯(lián)邦辯護(hù)、CAJ panel律師、調(diào)解員、破產(chǎn)管理人和其他法院的員工，提供工作流程的管理和支持。

5、集中提供核心管理的功能，如工資、人員和會(huì)計(jì)服務(wù)。

6、管理獨(dú)特的司法人事制度和監(jiān)控其公平就業(yè)計(jì)劃。

7、制定和執(zhí)行預(yù)算、指導(dǎo)地方法院預(yù)算的執(zhí)行。

8、預(yù)測(cè)案件數(shù)量、分析工作量、測(cè)量工作程序的變化、評(píng)估個(gè)別法院要求等，從而決定各地法院的資源需求。

9、為司法委員會(huì)提供法律顧問服務(wù)；作為立法和行政部門的聯(lián)絡(luò)紐帶。

10、準(zhǔn)備手冊(cè)和各種其他出版物。

11、收集和分析數(shù)據(jù)，對(duì)法院的工作量進(jìn)行詳細(xì)統(tǒng)計(jì)。

12、監(jiān)視和審查軟件程序的性能和信息資源利用。

13、開展對(duì)行政責(zé)任了解和掌握的教育培訓(xùn)。

14、審計(jì)法院金融業(yè)務(wù)和提供管理監(jiān)督，并就管理問題提出指導(dǎo)意見。

15、處理司法機(jī)關(guān)的公共事務(wù)，負(fù)責(zé)應(yīng)對(duì)來自國會(huì)、媒體和公眾的眾多詢問。

16、研究法院業(yè)務(wù)工作發(fā)展的新途徑，協(xié)助法院的職員實(shí)現(xiàn)方案和改進(jìn)工作方式。

17、發(fā)展和支持在法庭使用的自動(dòng)化系統(tǒng)和技術(shù)。

18、協(xié)調(diào)與聯(lián)邦政府總務(wù)管理局的關(guān)系，建設(shè)和管理司法的空間設(shè)施。

19、監(jiān)視司法設(shè)施的安全，保障服務(wù)美國法警的需求，落實(shí)法庭的保安人員，并執(zhí)行司法安保政策。

（二）部門機(jī)構(gòu)構(gòu)成

聯(lián)邦法院行政管理局下設(shè)9個(gè)分支部門機(jī)構(gòu)，分別有：

1、項(xiàng)目服務(wù)部

項(xiàng)目服務(wù)部的職能范圍主要為負(fù)責(zé)提供一系列廣泛的程序和服務(wù)來支持聯(lián)邦法官和法院職員；試用審前服務(wù)人員、聯(lián)邦辯護(hù)律師、CAJpanel律師及他們的員工；開發(fā)和維護(hù)計(jì)算機(jī)應(yīng)用程序，包括案例管理系統(tǒng)，以滿足各類司法活動(dòng)的要求；維護(hù)數(shù) 據(jù)、分析和撰寫報(bào)告，以滿足司法的需要。

下設(shè)有6個(gè)子部門，分別是：a.司法服務(wù)辦公室、b.緩刑和審前服務(wù)辦公室、c.法庭服務(wù)辦公室、d.司法數(shù)據(jù)和分析辦公室、5.辯護(hù)服務(wù)辦公室、6.案件管理系統(tǒng)辦公室。

2、行政服務(wù)部

行政服務(wù)部的職能范圍主要為負(fù)責(zé)司法機(jī)關(guān)的預(yù)算，會(huì)計(jì)和采購職能；人力資源管理；法院工作空間和設(shè)施項(xiàng)目，包括法院的設(shè)計(jì)和技術(shù)協(xié)調(diào)，遠(yuǎn)程設(shè)施的規(guī)劃和法院的安保。開發(fā)和維護(hù)自動(dòng)化管理系統(tǒng)，使之服務(wù)于行政管理局和司法機(jī)構(gòu)，包括自動(dòng)化管理系統(tǒng)的解決方案和財(cái)務(wù)管理支持、人事和工資處理、數(shù)據(jù)集成等。

下設(shè)有4個(gè)子部門，分別是：a.人力資源辦公室、b.預(yù)算會(huì)計(jì)和采購辦公室、c.設(shè)施和安全辦公室、d.管理系統(tǒng)辦公室。

3、技術(shù)服務(wù)部

技術(shù)服務(wù)部的職能范圍主要為負(fù)責(zé)司法的IT系統(tǒng)支持和部署，基礎(chǔ)設(shè)施管理；作為行政管理局的技術(shù)辦公室，保障云技術(shù)和主機(jī)，提供解決方案和維護(hù)信息安全；計(jì)劃和協(xié)調(diào)國家信息政策、制定信息標(biāo)準(zhǔn)體系結(jié)構(gòu)，提供技術(shù)培訓(xùn)和司法信息安全保障。

下設(shè)有6個(gè)子部門，分別是：a.技術(shù)解決辦公室、b.云技術(shù)和托管辦公室、c.系統(tǒng)部署和支持辦公室、d.基礎(chǔ)設(shè)施管理辦公室、e.IT安全辦公室、f.AO技術(shù)辦公室。

4、法律顧問辦公室法律顧問辦公室的職能范圍主要為負(fù)責(zé)為行政管理局主任、工作人員和聯(lián)邦司法會(huì)議提供法律咨詢和服務(wù)；向法官和法院官員涉及法院工作的提供法律問題意見；代理應(yīng)對(duì)投標(biāo)抗議和其它行政訴訟；協(xié)調(diào)和支持聯(lián)邦法規(guī)的實(shí)施。

5、司法會(huì)議秘書處

司法會(huì)議秘書處的職能范圍主要為保障司法會(huì)議的運(yùn)行，協(xié)調(diào)司法會(huì)議及委員會(huì)所需的工作人員；維護(hù)司法會(huì)議正式記錄；服務(wù)出席會(huì)議的法官和法院人員；協(xié)調(diào)會(huì)議咨詢進(jìn)程。

6、公共事務(wù)辦公室

公共事務(wù)辦公室的職能范圍主要為負(fù)責(zé)公共信息發(fā)布，回答咨詢，維護(hù)行政管理局的網(wǎng)站，制作宣傳視頻，創(chuàng)建面對(duì)公眾、宣傳司法的社交網(wǎng)絡(luò)。

7、立法事務(wù)辦公室

立法事務(wù)辦公室的職能范圍主要為司法提供法律顧問服務(wù)；保持與立法部門的聯(lián)絡(luò)；管理影響司法的狀態(tài)事項(xiàng)，組織協(xié)調(diào)法律實(shí)體和其他組織去研究司法的影響。

8、審計(jì)辦公室

審計(jì)辦公室主要職能為審計(jì)法院金融業(yè)務(wù)和提供管理監(jiān)督，并就管理問題提出指導(dǎo)意見。

9、公平就業(yè)辦公室

公平就業(yè)辦公室主要職能為監(jiān)督法院內(nèi)部公平就業(yè)計(jì)劃的實(shí)施。

三、對(duì)我國法院的啟示

美國聯(lián)邦法院行政管理局成立已經(jīng)有75年，作為美國聯(lián)邦法院的獨(dú)立行政管理部門，其在法院審判與行政管理劃分的機(jī)構(gòu)設(shè)置和職能劃分上，對(duì)我國法院當(dāng)前進(jìn)行的司法體制改革有一定的借鑒意義。

（一）法院行政管理部門的獨(dú)立設(shè)置

我國當(dāng)前對(duì)法院人員分類改革的探索，將法院內(nèi)設(shè)機(jī)構(gòu)劃分為審判部門和非審判部門的嘗試，從長遠(yuǎn)來看，會(huì)逐步發(fā)展到類似美國聯(lián)邦法院那樣，逐漸將行政綜合部門進(jìn)行整合，從法院體系獨(dú)立出來，成為一個(gè)專門的法院行政管理機(jī)構(gòu)，對(duì)法院的司法行政事務(wù)進(jìn)行統(tǒng)籌安排，以使法院回歸專業(yè)的審判職能。美國聯(lián)邦法院的行政管理局在功能設(shè)置上，其實(shí)就相當(dāng)于我們法院內(nèi)部的審判管理辦公室、宣傳處、政治部、信息中心、行裝處的整合。而我們法院內(nèi)部設(shè)立的研究室和法官學(xué)院，其職能就相當(dāng)于美國聯(lián)邦法院的司法中心。美國法院的機(jī)構(gòu)設(shè)置可以作為我們機(jī)構(gòu)改革的一個(gè)借鑒。

同時(shí)，當(dāng)前的司法體制改革，也面臨著審判管理辦公室如何定位，需涵括何種職能、如何設(shè)置的問題。其實(shí)，審判管理辦公室功能設(shè)置可以參考美國聯(lián)邦法院行政管理局的項(xiàng)目服務(wù)部，主要包括三項(xiàng)職能，一是涉及到審判的服務(wù)職能，包括：司法服務(wù)、審前服務(wù)、法庭服務(wù)和辯護(hù)服務(wù)；二是保障法院順利運(yùn)作的職能，包括：信息化軟件的維護(hù)開發(fā)（硬件交給行政服務(wù)部）；案件管理系統(tǒng)的維護(hù)（文員辦公系統(tǒng)交給技術(shù)服務(wù)部）；三是司法統(tǒng)計(jì)數(shù)據(jù)維護(hù)和分析。針對(duì)這些，各省亦有法院正在類似的整合嘗試，可以作為樣本經(jīng)驗(yàn)參考。

（二）基于法官員額的預(yù)算管理制度

美國聯(lián)邦法院行政管理局的最重要、最有影響力的職能是編撰各地法院的預(yù)算計(jì)劃，提交司法委員會(huì)審議，并提交國會(huì)批準(zhǔn)。美國的法官員額基本固定，最高法院的法官員額自1869年確定為9名后，145年間經(jīng)歷了經(jīng)濟(jì)總量增加、案件大幅增長的情況亦從來沒有改變過。并非說這9名大法官都是超人，能處理眾多的上訴案件，而是他們身邊配備有眾多的輔助人員，既有法官助理、又有書記官，還有行政秘書、行政助理等等。美國聯(lián)邦法院行政管理局每年都要向國會(huì)去提交預(yù)算報(bào)告，預(yù)算報(bào)告以預(yù)算年為時(shí)間區(qū)間進(jìn)行。通過分析衡量美國聯(lián)邦法院的法官工作量，提出明年的預(yù)算計(jì)劃，從而決定不同的法院需要或者減少人員。例如2013年的美國聯(lián)邦法院報(bào)告寫到，“2013年司法會(huì)議審議的預(yù)算比2012年下降3%，這將意味著將使法院裁員1000名左右”。“司法會(huì)議修正的撥款請(qǐng)求包括全國法院法官工資和法院日常運(yùn)轉(zhuǎn)支出共50.5億美元，這比眾議院提交批準(zhǔn)的支出高出0.49億美元，比參議院提交批準(zhǔn)的支出低了0.41億美元。該項(xiàng)請(qǐng)求將用來補(bǔ)充一些法院書記員、緩刑官和審前程序工作人員的職位?！泵绹ㄟ^預(yù)算制度的設(shè)置，能夠相應(yīng)增減司法輔助人員，靈活應(yīng)對(duì)案件數(shù)量的變化，從而維護(hù)法官員額的基本穩(wěn)定。

（三）裁判文書上網(wǎng)機(jī)制建設(shè)

美國聯(lián)邦法院的案件管理與電子文書系統(tǒng)（簡稱：CM/ECF）, 徹底改變了聯(lián)邦法院與公眾互動(dòng)的方式。這種易于使用的系統(tǒng)允許律師將訴訟文件直接與法院在互聯(lián)網(wǎng)登記，并允許法院文件以公開透明的方式存儲(chǔ)在一個(gè)易于訪問和管理的案件檔案。目前，聯(lián)邦法院已經(jīng)建立專門的“法院電子檔案公開網(wǎng)”，方便公眾查詢法院案件信息（網(wǎng)址是：004km.cn），所有訴訟文件都以pdf文件的方式儲(chǔ)存，并且可以包含音頻、視頻，公眾可以自由下載打印法庭的審判意見。

2008年，美國司法委員會(huì)通過了《關(guān)于開放案件電子檔案的私人查閱和公開的規(guī)定》，要求所有案件的電子卷宗必須對(duì)外公開，方便查詢。根據(jù)《電子政務(wù)法》的要求，涉及國家秘密、國家安全和當(dāng)事人隱私的信息不得公開。聯(lián)邦最高法院和各州最高法院應(yīng)當(dāng)制定專門條例，隱去電子文檔中涉及個(gè)人信息的部分，以保護(hù)個(gè)人隱私和安全。法院制定的專門條例應(yīng)當(dāng)包括與當(dāng)事人協(xié)商公開范圍的內(nèi)容，但當(dāng)事人不得濫用隱私權(quán)，要求法院隱去包括個(gè)人姓名（未成年人或性犯罪受害人除外）或企業(yè)名稱在內(nèi)的必要性內(nèi)容。

這些裁判文書中涉及到一些隱私部分在當(dāng)事人（律師）登錄系統(tǒng)時(shí)就提醒需進(jìn)行適當(dāng)處理，并由律師確認(rèn)，不確認(rèn)是難以完成登錄過程，從而有助于形成可以向公眾公布的版本。我國法院正在推進(jìn)裁判文書上網(wǎng)的進(jìn)程，但是較多的文書處理工作由法院自行承擔(dān)，牽扯的工作量較多。事實(shí)上，可以將系統(tǒng)打造成一個(gè)交互系統(tǒng)，允許當(dāng)事人在系統(tǒng)內(nèi)進(jìn)行相應(yīng)權(quán)限的操作，例如修正隱私事項(xiàng)和文書確認(rèn)上傳等；同時(shí)，探索將法院的部分行政事務(wù)，更多的外包于外界的商業(yè)公司進(jìn)行處理,釋放法院內(nèi)部被行政事務(wù)牽扯的勞動(dòng)力。

第五篇：美國聯(lián)邦法院的層級(jí)與管轄

美國聯(lián)邦法院的層級(jí)與管轄

美國聯(lián)邦法院（America federal court）是根據(jù)美國憲法和美國法律成立的法院。其中美國憲法只指明要成立最高法院，其余法院由美國國會(huì)（America Congress）授權(quán)成立。美國聯(lián)邦法院系統(tǒng)由94個(gè)聯(lián)邦地區(qū)法院、13個(gè)聯(lián)邦上訴法院和1個(gè)最高法院組成。

聯(lián)邦法院的層級(jí)（Hierarchy）：普通法院和專門法院

一、普通法院(common court)：普通法院分為三級(jí)，從下到上分別是：

地區(qū)法院（The District Court）

上訴法院（除了聯(lián)邦區(qū)域上訴法院）（The Appeal court）最高法院(Areopagus)

二、專門法院（special court）：專門法院有：

破產(chǎn)法庭(The bankruptcy court)稅務(wù)法庭(The tax court)國際貿(mào)易法庭(International Trade Tribunal)聯(lián)邦區(qū)域上訴法院(The Federal appeals courts)聯(lián)邦法院的組成人員：

地方法官 642名上訴法官 179名最高法院大法官 9名共840名聯(lián)邦法官，均為終身制（Lifelong system）。

聯(lián)邦法院的管轄(Jurisdiction)：

一、地區(qū)法院

地區(qū)法院是初審（The trial）管轄法院，只有聯(lián)邦的司法管轄權(quán)（right of jurisdiction）。經(jīng)聯(lián)邦地方法院判決的案件，大多數(shù)可以上訴到聯(lián)邦上訴法院，有少數(shù)幾種可以直接上訴到最高法院。

二、上訴法院

上訴法院只有上訴管轄權(quán)，受理經(jīng)轄區(qū)內(nèi)聯(lián)邦地區(qū)法院判決的案件的上訴，也審查聯(lián)邦貿(mào)易委員會(huì)（The Federal Trade Commission）之類的獨(dú)立管理機(jī)構(gòu)的行動(dòng)。

三、最高法院

聯(lián)邦法院是最后上訴法院。

美國聯(lián)邦最高法院的管轄權(quán)分初審管轄權(quán)和上訴管轄權(quán)。其初審管轄權(quán)只適用于兩類案件：一是涉及大使（Ambassador）、其他公使（minister）和領(lǐng)事（Consul）的案件，另一類是一州為一方當(dāng)事人的一切案件。第二類案件中，州與州之間的法律爭執(zhí)，初審管轄權(quán)為最高法院所專有。而一個(gè)州與聯(lián)邦政府之間的訴訟，或者一個(gè)州與另一州的政治實(shí)體（Political entity）、法人團(tuán)體（Body corporate）或公民之間的訴訟，最高法院雖然擁有初審管轄權(quán)，但最高法院也可以讓聯(lián)邦下級(jí)法院去初審。

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美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則（共五篇）

第一篇：美國聯(lián)邦地區(qū)法院民事訴訟規(guī)則

第二篇：美國聯(lián)邦法院2012年年終報(bào)告

第三篇：美國聯(lián)邦民事訴訟規(guī)則(內(nèi)含中文目錄)

第四篇：美國聯(lián)邦法院行政管理局簡介及啟示

第五篇：美國聯(lián)邦法院的層級(jí)與管轄

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