Federal Rules of Civil Procedure (FRCP)
Overview
The FRCP comprises 86 rules governing procedure in U.S. district courts. Promulgated by the Supreme Court under the Rules Enabling Act (28 U.S.C. § 2072), they cannot abridge, enlarge, or modify substantive rights. First adopted in 1938; periodically restyled and amended.
Key Rules by Stage
Pleading (Rules 7–15)
Rule 8(a) — General Pleading Standard Requires a “short and plain statement” showing entitlement to relief. Governed by the Twombly/Iqbal plausibility standard: factual allegations must be sufficient to state a claim that is plausible on its face; threadbare recitals of elements supported only by conclusory statements are insufficient.
Rule 9(b) — Heightened Pleading Fraud and mistake must be pled with particularity (who, what, when, where, how). Special damages must also be specifically stated.
Rule 11 — Attorney Certification and Sanctions Attorney or pro se party certifies that pleading is not frivolous, legally warranted, and factually supported after reasonable inquiry. Sanctions require a 21-day safe harbor (opposing party must serve motion before filing with court, allowing withdrawal or correction).
Rule 12(b) — Pre-Answer Motions to Dismiss
- 12(b)(1): Lack of subject matter jurisdiction
- 12(b)(2): Lack of personal jurisdiction
- 12(b)(3): Improper venue
- 12(b)(4)/(5): Insufficient process/service
- 12(b)(6): Failure to state a claim upon which relief can be granted
- 12(b)(7): Failure to join a required party under Rule 19
Waiver rules: 12(b)(2), (3), (4), (5) are waived if not raised in first responsive pleading or pre-answer motion. 12(b)(1) and (7) may be raised at any time. 12(b)(6) may be raised through trial.
Rule 15 — Amended Pleadings
- Amendment as of right: once within 21 days of service, or within 21 days after service of responsive pleading or Rule 12(b)/(e)/(f) motion.
- Thereafter: leave of court freely given when justice so requires.
- Rule 15(c) — Relation Back: amended pleading relates back to original if it arises out of the same conduct, transaction, or occurrence, and (for party changes) the new party received notice within the Rule 4(m) period and knew or should have known the action would have been brought against it but for a mistake concerning identity.
Parties and Joinder (Rules 13–23)
Rule 13 — Counterclaims
- Compulsory counterclaims: same transaction or occurrence as opposing party’s claim; must be asserted or it is waived (res judicata effect).
- Permissive counterclaims: any claim against opposing party not arising from same transaction/occurrence; may be asserted but not required.
Rule 14 — Third-Party Practice (Impleader) Defendant may bring in a third party who is or may be liable to the defendant for all or part of plaintiff’s claim against defendant. Requires leave if more than 14 days after serving answer.
Rule 19 — Required Joinder of Parties A party is necessary if: (1) complete relief cannot be accorded among existing parties in its absence; (2) its absence may impair or impede its ability to protect its interest; or (3) its absence may subject existing parties to double or inconsistent obligations. If a necessary party cannot be joined, the court applies Rule 19(b) to determine if the party is indispensable — whether in equity and good conscience the action should proceed or be dismissed.
Rule 20 — Permissive Joinder Parties may join as plaintiffs or be joined as defendants if: (1) the claims arise out of the same transaction or occurrence (or series thereof); and (2) there is at least one common question of law or fact.
Rule 23 — Class Actions
- Rule 23(a) prerequisites: numerosity (class so large that joinder is impracticable), commonality (common questions of law or fact), typicality (representative claims typical of class), adequacy of representation (representative and counsel adequately protect class interests).
- Rule 23(b) types:
- 23(b)(1): Risk of incompatible standards or adjudication would as a practical matter dispose of interests of absent members.
- 23(b)(2): Party opposing class has acted on grounds generally applicable to the class; injunctive or declaratory relief appropriate.
- 23(b)(3): Common questions predominate over individual questions; class action is superior to other methods (damages class). Requires opt-out notice.
Discovery (Rules 26–37)
Rule 26(a) — Automatic Disclosures Without a request, parties must disclose: (1) witnesses likely to have discoverable information; (2) documents supporting claims/defenses; (3) computation of each category of damages; (4) insurance agreements.
Rule 26(b)(1) — Scope of Discovery Parties may obtain discovery of any nonprivileged matter relevant to any party’s claim or defense and proportional to the needs of the case. Proportionality factors: importance of issues, amount in controversy, parties’ relative access to information, resources, importance of discovery, and burden/expense vs. benefit.
Rule 26(b)(3) — Work Product Protection Documents and tangible things prepared in anticipation of litigation or trial by or for a party or its representative are protected. Can be overcome by showing substantial need and inability to obtain equivalent without undue hardship. Opinion work product (mental impressions, conclusions, opinions, legal theories of attorney) is near-absolute protection.
Rule 26(c) — Protective Orders Court may issue to protect party from annoyance, embarrassment, oppression, or undue burden/expense.
Other Discovery Devices
- Rule 30: Oral depositions; no limit absent court order; each deposition limited to 7 hours.
- Rule 33: Interrogatories; limited to 25 (including subparts) without leave.
- Rule 34: Requests to produce documents or inspect tangible things.
- Rule 36: Requests for admission; admitted matters are conclusively established.
Rule 37 — Failure to Make Disclosures; Sanctions Court may order sanctions including: dismissal, default judgment, adverse inference instruction, striking pleadings, preclusion of evidence, contempt, and attorneys’ fees.
Trial (Rules 38–53)
Rule 38 — Right to Jury Trial Jury trial demand must be made no later than 14 days after service of last pleading directed to the issue. Seventh Amendment preserves jury trial right for suits at common law where value in controversy exceeds $20.
Rule 50 — Judgment as a Matter of Law (JMOL) A party may move for JMOL after the other side has been fully heard on an issue if there is no legally sufficient evidentiary basis for a reasonable jury to find for that party. Renewed JMOL (formerly JNOV) may be filed within 28 days after judgment.
Rule 56 — Summary Judgment Court shall grant summary judgment if movant shows there is no genuine dispute as to any material fact and movant is entitled to judgment as a matter of law. Evidence must be viewed in the light most favorable to the nonmovant. Governed by the Celotex trilogy: Celotex Corp. v. Catrett (movant need not produce affirmative evidence of absence of fact if nonmovant bears burden; may simply show nonmovant lacks sufficient evidence), Anderson v. Liberty Lobby (genuine dispute requires more than a scintilla), Matsushita Electric (implausible inference insufficient).
Post-Judgment (Rules 58–61)
Rule 59 — New Trial Court may grant new trial for any reason for which new trial has historically been granted (e.g., verdict against weight of evidence, error in jury instructions, newly discovered evidence). Must be filed within 28 days of entry of judgment.
Rule 60(b) — Relief from Final Judgment Court may relieve party from final judgment for: (1) mistake, inadvertence, surprise, excusable neglect; (2) newly discovered evidence; (3) fraud, misrepresentation, or misconduct; (4) void judgment; (5) satisfied, released, or discharged judgment; (6) any other reason justifying relief. Motions (1)–(3) must be made within 1 year; (4)–(6) within reasonable time.