eDiscovery Federal Rules 16(b) and 26(f): Meet and Confer. Rule Pretrial ( A) after receiving the parties' report under rule 26(f); or. (B) after consulting with. The key to a successful meet-and-confer is preparation. Rules 16(B) and 26(F) [Meet & Confer]. Rule Pretrial Conferences; Scheduling; Management. (b) Scheduling and Planning. Except in categories of actions.
The following proceedings are exempt from initial disclosure: In ruling on the objection, the court must determine what disclosures, if any, are to be made and must set the time for disclosure. A party that is first served or otherwise joined after the Rule 26 f conference must make the initial 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. A party is not excused from making its disclosures because it has not fully investigated the case or because it challenges the sufficiency of another party's disclosures or because another party has not made its disclosures. In addition to the disclosures required by Rule 26 a 1a party must disclose to the other parties the identity of any witness it may use at trial to present evidence under Federal Rule of Evidence, or Unless otherwise stipulated or ordered by the court, this disclosure must be accompanied by a written report—prepared and signed by the witness—if the witness is one retained or specially employed to provide expert testimony in the case or one whose duties as the party's employee regularly involve giving expert testimony.
The report must contain: Unless otherwise stipulated or ordered by the court, if the witness is not required to provide a written report, this disclosure must state: D Time to Disclose Expert Testimony. A party must make these disclosures at the times and in the sequence that the court orders. Absent a stipulation or a court order, the disclosures must be made: E Supplementing the Disclosure. The parties must supplement these disclosures when required under Rule 26 e. In addition to the disclosures required by Rule 26 a 1 and 2a party must provide to the other parties and promptly file the following information about the evidence that it may present at trial other than solely for impeachment: B Time for Pretrial Disclosures; Objections.
Unless the court orders otherwise, these disclosures must be made at least 30 days before trial. Within 14 days after they are made, unless the court sets a different time, a party may serve and promptly file a list of the following objections: An objection not so made—except for one under Federal Rule of Evidence or —is waived unless excused by the court for good cause. Unless the court orders otherwise, all disclosures under Rule 26 a must be in writing, signed, and served.
Unless otherwise limited by court order, the scope of discovery is as follows: Information within this scope of discovery need not be admissible in evidence to be discoverable. By order, the court may alter the limits in these rules on the number of depositions and interrogatories or on the length of depositions under Rule By order or local rule, the court may also limit the number of requests under Rule A party need not provide discovery of electronically stored information from sources that the party identifies as not reasonably accessible because of undue burden or cost.
On motion to compel discovery or for a protective order, the party from whom discovery is sought must show that the information is not reasonably accessible because of undue burden or cost. If that showing is made, the court may nonetheless order discovery from such sources if the requesting party shows good cause, considering the limitations of Rule 26 b 2 C.
The court may specify conditions for the discovery. On motion or on its own, the court must limit the frequency or extent of discovery otherwise allowed by these rules or by local rule if it determines that: A Documents and Tangible Things. Ordinarily, a party may not discover documents and tangible things that are prepared in anticipation of litigation or for trial by or for another party or its representative including the other party's attorney, consultant, surety, indemnitor, insurer, or agent.
But, subject to Rule 26 b 4those materials may be discovered if: B Protection Against Disclosure. If the court orders discovery of those materials, it must protect against disclosure of the mental impressions, conclusions, opinions, or legal theories of a party's attorney or other representative concerning the litigation.
Any party or other person may, on request and without the required showing, obtain the person's own previous statement about the action or its subject matter. If the request is refused, the person may move for a court order, and Rule 37 a 5 applies to the award of expenses.
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A previous statement is either: A party may depose any person who has been identified as an expert whose opinions may be presented at trial. If Rule 26 a 2 B requires a report from the expert, the deposition may be conducted only after the report is provided.
Rules 26 b 3 A and B protect drafts of any report or disclosure required under Rule 26 a 2regardless of the form in which the draft is recorded. Rules 26 b 3 A and B protect communications between the party's attorney and any witness required to provide a report under Rule 26 a 2 Bregardless of the form of the communications, except to the extent that the communications: Ordinarily, a party may not, by interrogatories or deposition, discover facts known or opinions held by an expert who has been retained or specially employed by another party in anticipation of litigation or to prepare for trial and who is not expected to be called as a witness at trial.Initial Disclosures Pursuant to Federal Rule of Civil Procedure Rule 26(a)
But a party may do so only: Unless manifest injustice would result, the court must require that the party seeking discovery: When a party withholds information otherwise discoverable by claiming that the information is privileged or subject to protection as trial-preparation material, the party must: If information produced in discovery is subject to a claim of privilege or of protection as trial-preparation material, the party making the claim may notify any party that received the information of the claim and the basis for it.
After being notified, a party must promptly return, sequester, or destroy the specified information and any copies it has; must not use or disclose the information until the claim is resolved; must take reasonable steps to retrieve the information if the party disclosed it before being notified; and may promptly present the information to the court under seal for a determination of the claim. The producing party must preserve the information until the claim is resolved.
A party or any person from whom discovery is sought may move for a protective order in the court where the action is pending—or as an alternative on matters relating to a deposition, in the court for the district where the deposition will be taken. The motion must include a certification that the movant has in good faith conferred or attempted to confer with other affected parties in an effort to resolve the dispute without court action.
The court may, for good cause, issue an order to protect a party or person from annoyance, embarrassment, oppression, or undue burden or expense, including one or more of the following: A forbidding the disclosure or discovery; B specifying terms, including time and place or the allocation of expenses, for the disclosure or discovery; C prescribing a discovery method other than the one selected by the party seeking discovery; D forbidding inquiry into certain matters, or limiting the scope of disclosure or discovery to certain matters; E designating the persons who may be present while the discovery is conducted; F requiring that a deposition be sealed and opened only on court order; G requiring that a trade secret or other confidential research, development, or commercial information not be revealed or be revealed only in a specified way; and H requiring that the parties simultaneously file specified documents or information in sealed envelopes, to be opened as the court directs.
If a motion for a protective order is wholly or partly denied, the court may, on just terms, order that any party or person provide or permit discovery. Rule 37 a 5 applies to the award of expenses. A party may not seek discovery from any source before the parties have conferred as required by Rule 26 fexcept in a proceeding exempted from initial disclosure under Rule 26 a 1 Bor when authorized by these rules, by stipulation, or by court order.
Rules 16(B) and 26(F) [Meet & Confer] | SDS Discovery
More than 21 days after the summons and complaint are served on a party, a request under Rule 34 may be delivered: B When Considered Served. The request is considered to have been served at the first Rule 26 f conference. A methods of discovery may be used in any sequence; and B discovery by one party does not require any other party to delay its discovery.
A party who has made a disclosure under Rule 26 a —or who has responded to an interrogatory, request for production, or request for admission—must supplement or correct its disclosure or response: A in a timely manner if the party learns that in some material respect the disclosure or response is incomplete or incorrect, and if the additional or corrective information has not otherwise been made known to the other parties during the discovery process or in writing; or B as ordered by the court.
For an expert whose report must be disclosed under Rule 26 a 2 Bthe party's duty to supplement extends both to information included in the report and to information given during the expert's deposition. Any additions or changes to this information must be disclosed by the time the party's pretrial disclosures under Rule 26 a 3 are due. Except in a proceeding exempted from initial disclosure under Rule 26 a 1 B or when the court orders otherwise, the parties must confer as soon as practicable—and in any event at least 21 days before a scheduling conference is to be held or a scheduling order is due under Rule 16 b.
In conferring, the parties must consider the nature and basis of their claims and defenses and the possibilities for promptly settling or resolving the case; make or arrange for the disclosures required by Rule 26 a 1 ; discuss any issues about preserving discoverable information; and develop a proposed discovery plan.
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. The court may order the parties or attorneys to attend the conference in person.
If necessary to comply with its expedited schedule for Rule 16 b conferences, a court may by local rule: Every disclosure under Rule 26 a 1 or a 3 and every discovery request, response, or objection must be signed by at least one attorney of record in the attorney's own name—or by the party personally, if unrepresented—and must state the signer's address, e-mail address, and telephone number. By signing, an attorney or party certifies that to the best of the person's knowledge, information, and belief formed after a reasonable inquiry: A with respect to a disclosure, it is complete and correct as of the time it is made; and B with respect to a discovery request, response, or objection, it is: Other parties have no duty to act on an unsigned disclosure, request, response, or objection until it is signed, and the court must strike it unless a signature is promptly supplied after the omission is called to the attorney's or party's attention.
If a certification violates this rule without substantial justification, the court, on motion or on its own, must impose an appropriate sanction on the signer, the party on whose behalf the signer was acting, or both. The sanction may include an order to pay the reasonable expenses, including attorney's fees, caused by the violation.
Notes As amended Dec. July 1, ; Feb. July 1, ; Mar. July 1, ; Apr. This rule freely authorizes the taking of depositions under the same circumstances and by the same methods whether for the purpose of discovery or for the purpose of obtaining evidence. Many states have adopted this practice on account of its simplicity and effectiveness, safeguarding it by imposing such restrictions upon the subsequent use of the deposition at the trial or hearing as are deemed advisable.
Codes Carroll, Civ. Rules of Practice adopted by the Supreme Ct. This and subsequent rules incorporate, modify, and broaden the provisions for depositions under U. These statutes are superseded insofar as they differ from this and subsequent rules. While a number of states permit discovery only from parties or their agents, others either make no distinction between parties or agents of parties and ordinary witnesses, or authorize the taking of ordinary depositions, without restriction, from any persons who have knowledge of relevant facts.
Code Bagby, Art. Rules of Practice adopted by Supreme Ct. The more common practice in the United States is to take depositions on notice by the party desiring them, without any order from the court, and this has been followed in these rules. Note to Subdivision b. While the old chancery practice limited discovery to facts supporting the case of the party seeking it, this limitation has been largely abandoned by modern legislation. Note to Subdivisions deand f. The restrictions here placed upon the use of depositions at the trial or hearing are substantially the same as those provided in U.
The amendment eliminates the requirement of leave of court for the taking of a deposition except where a plaintiff seeks to take a deposition within 20 days after the commencement of the action. The retention of the requirement where a deposition is sought by a plaintiff within 20 days of the commencement of the action protects a defendant who has not had an opportunity to retain counsel and inform himself as to the nature of the suit; the plaintiff, of course, needs no such protection.
The present rule forbids the plaintiff to take a deposition, without leave of court, before the answer is served.
Sometimes the defendant delays the serving of an answer for more than 20 days, but as 20 days are sufficient time for him to obtain a lawyer, there is no reason to forbid the plaintiff to take a deposition without leave merely because the answer has not been served.
In all cases, Rule 30 a empowers the court, for cause shown, to alter the time of the taking of a deposition, and Rule 30 b contains provisions giving ample protection to persons who are unreasonably pressed.
The modified practice here adopted is along the line of that followed in various states. The amendments to subdivision b make clear the broad scope of examination and that it may cover not only evidence for use at the trial but also inquiry into matters in themselves inadmissible as evidence but which will lead to the discovery of such evidence.
The purpose of discovery is to allow a broad search for facts, the names of witnesses, or any other matters which may aid a party in the preparation or presentation of his case.
In such a preliminary inquiry admissibility at trial should not be the test as to whether the information sought is within the scope of proper examination. Such a standard unnecessarily curtails the utility of discovery practice.
Of course, matters entirely without bearing either as direct evidence or as leads to evidence are not within the scope of inquiry, but to the extent that the examination develops useful information, it functions successfully as an instrument of discovery, even if it produces no testimony directly admissible.
United Air Lines Transportation Corp. Thus hearsay, while inadmissible itself, may suggest testimony which properly may be proved. Thus it has been said that inquiry might not be made into statements or other matters which, when disclosed, amounted only to hearsay. See Maryland for use of Montvila v. Pan-American Bus Lines, Inc.
The contrary and better view, however, has often been stated. United Air Lines Transport Corp. Case 2; DeSeversky v. Republic Aviation Corp E. See also discussion as to the broad scope of discovery in Hoffman v. See the next-to-last paragraph of the Advisory Committee's Note to that amendment. Notes of Advisory Committee on Rules— Amendment The requirement that the plaintiff obtain leave of court in order to serve notice of taking of a deposition within 20 days after commencement of the action gives rises to difficulties when the prospective deponent is about to become unavailable for examination.
The problem is not confined to admiralty, but has been of special concern in that context because of the mobility of vessels and their personnel. When Rule 26 was adopted as Admiralty Rule 30A inthe problem was alleviated by permitting depositions de bene esse, for which leave of court is not required. A continuing study is being made in the effort to devise a modification of the day rule appropriate to both the civil and admiralty practice to the end that Rule 26 a shall state a uniform rule applicable alike to what are now civil actions and suits in admiralty.
Meanwhile, the exigencies of maritime litigation require preservation, for the time being at least, of the traditional de bene esse procedure for the post-unification counterpart of the present suit in admiralty.
Accordingly, the amendment provides for continued availability of that procedure in admiralty and maritime claims within the meaning of Rule 9 h. Notes of Advisory Committee on Rules— Amendment A limited rearrangement of the discovery rules is made, whereby certain rule provisions are transferred, as follows: Existing Rule 26 a is transferred to Rules 30 a and 31 a.
Existing Rule 26 c is transferred to Rule 30 c. Existing Rules 26 deand f are transferred to Rule Revisions of the transferred provisions, if any, are discussed in the notes appended to Rules 30, 31, and In addition, Rule 30 b is transferred to Rule 26 c. The purpose of this rearrangement is to establish Rule 26 as a rule governing discovery in general. The reasons are set out in the Advisory Committee's explanatory statement. Subdivision a —Discovery Devices.
This is a new subdivision listing all of the discovery devices provided in the discovery rules and establishing the relationship between the general provisions of Rule 26 and the specific rules for particular discovery devices. The provision that the frequency of use of these methods is not limited confirms existing law. It incorporates in general form a provision now found in Rule Subdivision b —Scope of Discovery.
This subdivision is recast to cover the scope of discovery generally. It regulates the discovery obtainable through any of the discovery devices listed in Rule 26 a.
All provisions as to scope of discovery are subject to the initial qualification that the court may limit discovery in accordance with these rules. Rule 26 c transferred from 30 b confers broad powers on the courts to regulate or prevent discovery even though the materials sought are within the scope of 26 band these powers have always been freely exercised.
Similarly, the courts have in appropriate circumstances protected materials that are primarily of an impeaching character. These two types of materials merely illustrate the many situations, not capable of governance by precise rule, in which courts must exercise judgment. The new subsections in Rule 26 d do not change existing law with respect to such situations. Subdivision b 1 —In General. The language is changed to provide for the scope of discovery in general terms.
The existing subdivision, although in terms applicable only to depositions, is incorporated by reference in existing Rules 33 and Since decisions as to relevance to the subject matter of the action are made for discovery purposes well in advance of trial, a flexible treatment of relevance is required and the making of discovery, whether voluntary or under court order, is not a concession or determination of relevance for purposes of trial. Subdivision b 2 —Insurance Policies.
Both cases and commentators are sharply in conflict on the question whether defendant's liability insurance coverage is subject to discovery in the usual situation when the insurance coverage is not itself admissible and does not bear on another issue on the case. Examples of Federal cases requiring disclosure and supporting comments: Examples of Federal cases refusing disclosure and supporting comments: The division in reported cases is close.
State decisions based on provisions similar to the federal rules are similarly divided. It appears to be difficult if not impossible to obtain appellate review of the issue. Resolution by rule amendment is indicated. The question is essentially procedural in that it bears upon preparation for trial and settlement before trial, and courts confronting the question, however, they have decided it, have generally treated it as procedural and governed by the rules. The amendment resolves this issue in favor of disclosure.
Most of the decisions denying discovery, some explicitly, reason from the text of Rule 26 b that it permits discovery only of matters which will be admissible in evidence or appear reasonably calculated to lead to such evidence; they avoid considerations of policy, regarding them as foreclosed. Some note also that facts about a defendant's financial status are not discoverable as such, prior to judgment with execution unsatisfied, and fear that, if courts hold insurance coverage discoverable, they must extend the principle to other aspects of the defendant's financial status.
The cases favoring disclosure rely heavily on the practical significance of insurance in the decisions lawyers make about settlement and trial preparation. Disclosure of insurance coverage will enable counsel for both sides to make the same realistic appraisal of the case, so that settlement and litigation strategy are based on knowledge and not speculation. It will conduce to settlement and avoid protracted litigation in some cases, though in others it may have an opposite effect.
The amendment is limited to insurance coverage, which should be distinguished from any other facts concerning defendant's financial status 1 because insurance is an asset created specifically to satisfy the claim; 2 because the insurance company ordinarily controls the litigation; 3 because information about coverage is available only from defendant or his insurer; and 4 because disclosure does not involve a significant invasion of privacy. Thus, an insurance company must disclose even when it contests liability under the policy, and such disclosure does not constitute a waiver of its claim.
It is immaterial whether the liability is to satisfy the judgment directly or merely to indemnify or reimburse another after he pays the judgment. Thus, the provision makes no change in existing law on discovery of indemnity agreements other than insurance agreements by persons carrying on an insurance business. Similarly, the provision does not cover the business concern that creates a reserve fund for purposes of self-insurance.
For some purposes other than discovery, an application for insurance is treated as a part of the insurance agreement. The provision makes clear that, for discovery purposes, the application is not to be so treated. The insurance application may contain personal and financial information concerning the insured, discovery of which is beyond the purpose of this provision. In no instance does disclosure make the facts concerning insurance coverage admissible in evidence.
Subdivision b 3 —Trial Preparation: Some of the most controversial and vexing problems to emerge from the discovery rules have arisen out of requests for the production of documents or things prepared in anticipation of litigation or for trial. The existing rules make no explicit provision for such materials. In deciding the Hickman case, the Supreme Court appears to have expressed a preference in for an approach to the problem of trial preparation materials by judicial decision rather than by rule.
Sufficient experience has accumulated, however, with lower court applications of the Hickman decision to warrant a reappraisal. When the facts of the cases are studied, however, a distinction emerges based upon the type of materials.
Commonwealth Oil Refining Co. When lawyers have prepared or obtained the materials for trial, all courts require more than relevance; so much is clearly commanded by Hickman. In Guilford Nat'l Bank v. See also Mitchell v. United States, 32 F. These issues, among others, help the parties prepare a report, which is given to the Judge before his scheduling conference.
Consequently, it is required that the parties participate in the conference in good faith. Actual text of FRCP 26 f: Except in a proceeding exempted from initial disclosure under Rule 26 a 1 B or when the court orders otherwise, the parties must confer as soon as practicable — and in any event at least 21 days before a scheduling conference is to be held or a scheduling order is due under Rule 16 b. In conferring, the parties must consider the nature and basis of their claims and defenses and the possibilities for promptly settling or resolving the case; make or arrange for the disclosures required by Rule 26 a 1 ; discuss any issues about preserving discoverable information; and develop a proposed discovery plan.
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.
The court may order the parties or attorneys to attend the conference in person. A what changes should be made in the timing, form, or requirement for disclosures under Rule 26 aincluding a statement of when initial disclosures were made or will be made; B the subjects on which discovery may be needed, when discovery should be completed, and whether discovery should be conducted in phases or be limited to or focused on particular issues; C any issues about disclosure or discovery of electronically stored information, including the form or forms in which it should be produced; D any issues about claims of privilege or of protection as trial-preparation materials, including — if the parties agree on a procedure to assert these claims after production — whether to ask the court to include their agreement in an order; E what changes should be made in the limitations on discovery imposed under these rules or by local rule, and what other limitations should be imposed; and F any other orders that the court should issue under Rule 26 c or under Rule 16 b and c.
If necessary to comply with its expedited schedule for Rule 16 b conferences, a court may by local rule: A special thanks to Sean Gajewski for helping with this post.