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Rule 16 – Pretrial conferences, scheduling, management

(through July 14, 2022)

(a) Purposes of a Pretrial Conference. In any action, the court may order the attorneys and any unrepresented parties to appear for one or more pretrial conferences for such purposes as: (1) expediting disposition of the action; (2) establishing early and continuing control so that the case will not be protracted because of lack of management; (3) discouraging wasteful pretrial activities;
(4) improving the quality of the trial through more thorough preparation; and (5) facilitating settlement.

(b) Scheduling. (1) Scheduling Order. Except in categories of actions exempted by local rule, the district judge—or a magistrate judge when authorized by local rule—must issue a scheduling order: (A) after receiving the parties’ report under Rule 26(f); or (B) after consulting with the parties’ attorneys and any unrepresented parties at a scheduling conference. (2) Time to Issue. The judge must issue the scheduling order as soon as practicable, but unless the judge finds good cause for delay, the judge must issue it within the earlier of 90 days after any defendant has been served with the complaint or 60 days after any defendant has appeared. (3) Contents of the Order. (A) Required Contents. The scheduling order must limit the time to join other parties, amend the pleadings, complete discovery, and file motions. (B) Permitted Contents. The scheduling order may: (i) modify the timing of disclosures under Rules 26(a) and 26(e)(1); (ii) modify the extent of discovery; (iii) provide for disclosure, discovery, or preservation of electronically stored information; (iv) include any agreements the parties reach for asserting claims of privilege or of protection as trial-preparation material after information is produced, including agreements reached under Federal Rule of Evidence 502; (v) direct that before moving for an order relating to discovery, the movant must request a conference with the court; (vi) set dates for pretrial conferences and for trial; and (vii) include other appropriate matters. (4) Modifying a Schedule. A schedule may be modified only for good cause and with the judge’s consent.

(c) Attendance and Matters for Consideration at a Pretrial Conference. (1) Attendance. A represented party must authorize at least one of its attorneys to make stipulations and admissions about all matters that can reasonably be anticipated for discussion at a pretrial conference. If appropriate, the court may require that a party or its representative be present or reasonably available by other means to consider possible settlement. (2) Matters for Consideration. At any pretrial conference, the court may consider and take appropriate action on the following matters: (A) formulating and simplifying the issues, and eliminating frivolous claims or defenses; (B) amending the pleadings if necessary or desirable; (C) obtaining admissions and stipulations about facts and documents to avoid unnecessary proof, and ruling in advance on the admissibility of evidence; (D) avoiding unnecessary proof and cumulative evidence, and limiting the use of testimony under Federal Rule of Evidence 702; (E) determining the appropriateness and timing of summary adjudication under Rule 56; (F) controlling and scheduling discovery, including orders affecting disclosures and discovery under Rule 26 and Rules 29 through 37; (G) identifying witnesses and documents, scheduling the filing and exchange of any pretrial briefs, and setting dates for further conferences and for trial; (H) referring matters to a magistrate judge or a master; (I) settling the case and using special procedures to assist in resolving the dispute when authorized by statute or local rule; (J) determining the form and content of the pretrial order; (K) disposing of pending motions; (L) adopting special procedures for managing potentially difficult or protracted actions that may involve complex issues, multiple parties, difficult legal questions, or unusual proof problems; (M) ordering a separate trial under Rule 42(b) of a claim, counterclaim, crossclaim, third-party claim, or particular issue; (N) ordering the presentation of evidence early in the trial on a manageable issue that might, on the evidence, be the basis for a judgment as a matter of law under Rule 50(a) or a judgment on partial findings under Rule 52(c); (O) establishing a reasonable limit on the time allowed to present evidence; and (P) facilitating in other ways the just, speedy, and inexpensive disposition of the action.

(d) Pretrial Orders. After any conference under this rule, the court should issue an order reciting the action taken. This order controls the course of the action unless the court modifies it.

(e) Final Pretrial Conference and Orders. The court may hold a final pretrial conference to formulate a trial plan, including a plan to facilitate the admission of evidence. The conference must be held as close to the start of trial as is reasonable, and must be attended by at least one attorney who will conduct the trial for each party and by any unrepresented party. The court may modify the order issued after a final pretrial conference only to prevent manifest injustice.

(f) Sanctions. (1) In General. On motion or on its own, the court may issue any just orders, including those authorized by Rule 37(b)(2)(A)(ii)–(vii), if a party or its attorney: (A) fails to appear at a scheduling or other pretrial conference; (B) is substantially unprepared to participate—or does not participate in good faith—in the conference; or (C) fails to obey a scheduling or other pretrial order.(2) Imposing Fees and Costs. Instead of or in addition to any other sanction, the court must order the party, its attorney, or both to pay the reasonable expenses—including attorney’s fees—incurred because of any noncompliance with this rule, unless the noncompliance was substantially justified or other circumstances make an award of expenses unjust.

Selected Committee Notes 

The provision for consulting at a scheduling conference by “telephone, mail, or other means” is deleted. A scheduling conference is more effective if the court and parties engage in direct simultaneous communication. The conference may be held in person, by telephone, or by more sophisticated electronic means.

The time to issue the scheduling order is reduced to the earlier of 90 days (not 120 days) after any defendant has been served, or 60 days (not 90 days) after any defendant has appeared. This change, together with the shortened time for making service under Rule 4(m), will reduce delay at the beginning of litigation. At the same time, a new provision recognizes that the court may find good cause to extend the time to issue the scheduling order. In some cases it may be that the parties cannot prepare adequately for a meaningful Rule 26(f) conference and then a scheduling conference in the time allowed. Litigation involving complex issues, multiple parties, and large organizations, public or private, may be more likely to need extra time to establish meaningful collaboration between counsel and the people who can supply the information needed to participate in a useful way. Because the time for the Rule 26(f) conference is geared to the time for the scheduling conference or order, an order extending the time for the scheduling conference will also extend the time for the Rule 26(f) conference. But in most cases it will be desirable to hold at least a first scheduling conference in the time set by the rule.

Three items are added to the list of permitted contents in Rule 16(b)(3)(B).

The order may provide for preservation of electronically stored information, a topic also added to the provisions of a discovery plan under Rule 26(f)(3)(C). Parallel amendments of Rule 37(e) recognize that a duty to preserve discoverable information may arise before an action is filed.

The order also may include agreements incorporated in a court order under Evidence Rule 502 controlling the effects of disclosure of information covered by attorney-client privilege or work-product protection, a topic also added to the provisions of a discovery plan under Rule 26(f)(3)(D).

Finally, the order may direct that before filing a motion for an order relating to discovery the movant must request a conference with the court. Many judges who hold such conferences find them an efficient way to resolve most discovery disputes without the delay and burdens attending a formal motion, but the decision whether to require such conferences is left to the discretion of the judge in each case.

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Key Civ Pro Laws (MBE/MEE)

Constitutional Provisions

• Article III, section 2
• Fifth Amendment
• Seventh Amendment
• Fourteenth Amendment

U.S. Code

• Section 1291 – Final decisions of district courts
• Section 1292 – Interlocutory decisions
• Section 1331 – Federal question
• Section 1332 – Diversity
• Section 1335 – Interpleader
• Section 1338 – Intellectual Property
• Section 1359 – Parties collusively joined or made
• Section 1367 – Supplemental jurisdiction
• Section 1391 – Venue generally
• Section 1397 – Interpleader
• Section 1404 – Change of venue
• Section 1406 – Cure or waiver of defects
• Section 1407 – Multidistrict litigation
• Section 1441 – Removal generally
• Section 1446 – Removal procedure
• Section 1447 – Post-removal procedure
• Section 1738 – Full faith and credit
• Section 1870 – Challenges
• Section 2072 – Rules of procedure and evidence; power to subscribe
• Section 2361 – Process and procedure

FRCP

• Rule 3 – Commencing an action
• Rule 4 – Summons
• Rule 6 – Computing and extending time
• Rule 7 – Pleadings allowed
• Rule 8 – General pleading rules
• Rule 9 – Pleading special matters
• Rule 10 – Form of pleadings
• Rule 11 – Signing pleadings, motions, and other papers
• Rule 12 – Defenses and objections
• Rule 13 – Counterclaim and crossclaim
• Rule 14 – Third-party practice
• Rule 15 – Amended and supplemental pleadings
• Rule 16 – Pretrial conferences, scheduling, management
• Rule 19 – Required joinder of parties
• Rule 20 – Permissive joinder of parties
• Rule 22 – Interpleader
• Rule 23 – Class actions
• Rule 24 – Intervention
• Rule 25 – Substitution
• Rule 26 – Duty to disclose
• Rule 30 – Depositions by oral examination
• Rule 31 – Depositions by written questions
• Rule 33 – Interrogatories
• Rule 34 – Producing documents, electronically stored information, and tangible things
• Rule 35 – Physical and mental examinations
• Rule 36 – Requests for admission
• Rule 37 – Failure to make disclosures or to cooperate in discovery
• Rule 38 – Right to a jury trial
• Rule 41 – Dismissal of actions
• Rule 42 – Consolidation; separate trials
• Rule 45 – Subpoena
• Rule 47 – Selecting jurors
• Rule 48 – Number of jurors; verdict; polling
• Rule 49 – Special verdict; general verdict and questions
• Rule 50 – Judgment as a matter of law in a jury trial
• Rule 51 – Instructions to the jury; objections; preserving a claim of error
• Rule 52 – Findings and conclusions by the court; judgment on partial findings
• Rule 54 – Judgment, costs
• Rule 55 – Default
• Rule 56 – Summary judgment
• Rule 59 – New trial; altering or amending a judgment
• Rule 60 – Relief from a judgment or order
• Rule 65 – Injunctions and restraining orders

FRAP

• Rule 4 – Appeal as of right
• Rule 21 – Extraordinary writs