RULE 26. GENERAL PROVISIONS GOVERNING DISCOVERY
1 (a) Discovery Methods. Parties may obtain discovery by one or more of the
2 following methods:
3 (1) depositions on oral examination or written questions;
4 (2) written interrogatories;
5 (3) production of documents or things or permission to enter on land or
6 other property, for inspection and other purposes;
7 (4) physical and mental examinations; and
8 (5) requests for admission.
9 (b) Discovery Scope and Limits.
10 (1) In General.
11 (A) Scope. Unless otherwise limited by court order, the scope of discovery
12 is as follows: Parties may obtain discovery regarding any nonprivileged matter that
13 is relevant to any party's claim or defense, including the existence, description,
14 nature, custody, condition, and location of any documents, electronically stored
15 information, or other tangible things and the identity and location of persons who
16 know of any discoverable matter. For good cause, the court may order the
17 discovery of any matter relevant to the subject matter involved in the action.
18 Relevant information need not be admissible at the trial if the discovery appears
19 reasonably calculated to lead to the discovery of admissible evidence.
purposes of the discovery rules, the phrase "electronically stored
includes reasonably accessible metadata that will enable the discovering
have the ability to access such information as the date sent, date received,
and recipients. The phrase does not include other metadata unless the
otherwise or the court orders otherwise upon motion of a party and a
good cause for the production of certain metadata. All discovery
is subject to the
26 limitations imposed by Rule 26(b)(1)(B)(i).
27 (B) Limitations on Frequency and Extent.
28 (i) When Required. On motion or on its own, the court must limit the
29 frequency or extent of discovery otherwise allowed by these rules if it determines
31 discovery sought is unreasonably cumulative or duplicative, or it can be
32 obtained from some other source that is more convenient, less burdensome, or less
34 the party seeking discovery has had ample opportunity to obtain the
35 information by discovery in the action; or
36 the burden or expense of the proposed discovery outweighs its likely
37 benefit, considering the needs of the case, the amount in controversy, the parties'
38 resources, the importance of the issues at stake in the action, and the importance of
39 the discovery in resolving the issues.
40 (ii) Specific Limitations on Electronically Stored Information. For the
41 purposes of the discovery rules, the phrase "electronically stored information"
42 includes reasonably accessible metadata that will enable the discovering party to
43 have the ability to access such information as the date sent, date received, author,
44 and recipients. The phrase does not include other metadata unless the parties agree
45 otherwise or the court orders otherwise upon motion of a party and a showing of
46 good cause for the production of certain metadata. A party need not provide
47 discovery of electronically stored information from sources that the party identifies
48 as not reasonably accessible because of undue burden or cost. On motion to
49 compel discovery or for a protective order, the party from whom discovery is
50 sought must show that the information is not reasonably accessible because of
51 undue burden or cost. If that showing is made, the court may nonetheless order
52 discovery from such sources if the requesting party shows good cause, considering
53 the limitations of Rule 26(b)(1)(B). The court may specify conditions for the
55 (2) Insurance Agreements. If a person carrying on an insurance business
56 might be liable to satisfy part or all of a judgment in an action or to indemnify or
57 reimburse for payments made to satisfy the judgment, a party may obtain discovery
58 of the existence and contents of the insurance agreement. Disclosure of the
59 insurance agreement is not reason for its admission in evidence at trial. An
60 application for insurance may not be treated as part of an insurance agreement.
61 (3) Trial Preparation Materials.
62 (A) Documents and Tangible Objects. Ordinarily, a party may not discover
63 documents and tangible things that are prepared in anticipation of litigation or for
64 trial by or for another party or its representative (including the other party's
65 attorney, consultant, surety, indemnitor, insurer, or agent). But, subject to Rule
66 26(b)(5), these materials may be discovered if:
67 (i) they are otherwise discoverable under Rule 26(b)(1); and
68 (ii) the party shows that it has substantial need of the materials to prepare its
69 case and cannot, without undue hardship, obtain their substantial equivalent by
70 other means.
71 (B) Protection Against Disclosure. If the court orders discovery of those
72 materials, it must protect against disclosure of the mental impressions, conclusions,
73 opinions, or legal theories of a party's attorney or other representative concerning
74 the litigation.
75 (C) Previous Statement. Any party or other person may, on request and
76 without the required showing, obtain the person's own previous statement about
77 the action or its subject matter. If the request is refused, the person may move for a
78 court order and Rule 37(a)(5) applies to the award of expenses. A previous
79 statement is:
80 (i) a written statement that the person has signed or otherwise adopted or
81 approved; or
82 (ii) a contemporaneous stenographic, mechanical, electrical, or other
83 recording, or a transcription of it, that recites substantially verbatim the person's
84 oral statement.
85 (4) Trial Preparation Experts.
86 (A) Expert Who May Testify. Discovery of facts known and opinions held
87 by experts, otherwise discoverable under Rule 26(b)(1) and acquired or developed
88 in anticipation of litigation or for trial, may be obtained only as follows:
89 (i) a party may through interrogatories require any other party to identify
90 each person whom the other party expects to call as an expert witness at trial; to
91 state the subject matter on which the expert is expected to testify; and to state the
92 substance of the facts and opinions to which the expert is expected to testify and a
93 summary of the grounds for each opinion;
94 (ii) if a person identified as an expert witness is one retained or specially
95 employed to provide expert testimony in the case or one whose duties as the other
96 party's employee regularly involve giving expert testimony, a party may require the
97 witness to provide a report containing:
98 a complete statement of all opinions the witness will express and the basis
99 and reasons for them;
100 the facts or data considered by the witness in forming them;
101 any exhibits that will be used to summarize or support them;
102 the witness's qualifications, including a list of all publications authored in
103 the previous 10 years;
104 a list of all other cases in which, during the previous 4 years, the witness
105 testified as an expert at trial or by deposition; and
106 a statement of the compensation to be paid for the study and testimony in
107 the case.
ii iii) a party may depose any person who has been
identified as an expert
109 witness whose opinions may be presented at trial
unless the court finds,
that the deposition is unnecessary, overly burdensome, or unfairly
111 Rule 26(b)(4)(A)(ii) allows a party to obtain a report from the expert, the
112 deposition may be conducted only after the report is provided.
113 (B) Trial-Preparation Protection for Draft Reports or Disclosures. Rules
114 26(b)(3)(A) and (B) protect drafts of any report required under Rule
115 26(b)(4)(A)(ii), regardless of the form in which the draft is recorded.
116 (C) Trial-Preparation Protection for Communications Between a Party's
117 Attorney and Expert Witnesses. Rules 26(b)(3)(A) and (B) protect communications
118 between the party's attorney and any witness required to provide a report under
119 26(b)(4)(A)(ii), regardless of the form of the communications, except to the extent
120 that the communications:
121 (i) relate to compensation for the expert's study or testimony;
122 (ii) identify facts or data that the party's attorney provided and that the
123 expert considered in forming the opinions to be expressed; or
124 (iii) identify assumptions that the party's attorney provided and that the
125 expert relied on in forming the opinions to be expressed.
B D) Expert Employed Only for Trial
Preparation. Ordinarily, a party may
127 not, by interrogatories or deposition, discover facts known or opinions held by an
128 expert who has been retained or specially employed by another party in
129 anticipation of litigation or to prepare for trial and who is not expected to be called
130 as a witness at trial. But a party may do so only:
131 (i) as provided in Rule 35(b); or
132 (ii) on showing exceptional circumstances under which it is impracticable
133 for the party to obtain facts or opinions on the same subject by other means.
C E) Payment. Unless manifest injustice would result,
the court must
135 require that the party seeking discovery:
136 (i) pay the expert a reasonable fee for time spent in responding to discovery
137 under Rule 26(b)(4)(A) or (
B D); and
138 (ii) for discovery under Rule 26(b)(4)(A) the court may require, and for
139 discovery under Rule 26(b)(4)(
B D) the court must
require the party seeking
140 discovery to pay the other party a fair portion of the fees and expenses it
141 reasonably incurred in obtaining the expert's facts and opinions.
142 (5) Claiming Privilege or Protecting Trial Preparation Materials.
143 (A) Information Withheld. When a party withholds information otherwise
144 discoverable by claiming that the information is privileged or subject to protection
145 as trial-preparation material, the party must:
146 (i) expressly make the claim; and
147 (ii) describe the nature of the documents, communications, or tangible
148 things not produced or disclosed, and do so in a matter that, without revealing
149 information itself privileged or protected, will enable other parties to assess the
151 (B) Information Produced. If information is produced in discovery that is
152 subject to a claim of privilege or of protection as trial-preparation material, the
153 party making the claim may notify any party that received the information of the
154 claim and the basis for it. After being notified, a receiving party must promptly
155 return, sequester, or destroy the specified information and any copies it has and
156 may not use or disclose the information until the claim is resolved. A receiving
157 party may promptly present the information to the court under seal for
158 determination of the claim. If the receiving party disclosed the information before
159 being notified, it must take reasonable steps to retrieve it. The producing party
160 must preserve the information until the claim is resolved.
161 (c) Protective Orders.
162 (1) In General. A party or any person from whom discovery is sought may
163 move for a protective order in the court where the action is pending, or as an
164 alternative on matters relating to a deposition, in the court in the district where the
165 deposition will be taken. The court may, for good cause shown, issue an order to
166 protect a party or person from annoyance, embarrassment, oppression, or undue
167 burden or expense, including one or more of the following:
168 (A) forbidding the discovery;
169 (B) specifying terms and conditions, including time or place for the
171 (C) prescribing a discovery other than the one selected by the party seeking
173 (D) forbidding inquiry into certain matters, or limiting the scope of
174 discovery to certain matters;
175 (E) designating the persons who may be present while the discovery is
177 (F) requiring that a deposition be sealed and opened only on court order;
178 (G) requiring that a trade secret or other confidential research, development,
179 or commercial information not be revealed or be revealed only in a specified way;
181 (H) requiring that the parties simultaneously file specified sealed documents
182 or information to be opened as the court directs.
183 (2) Ordering Discovery. If a motion for a protective order is wholly or
184 partially denied, the court may, on just terms, order that any party or person
185 provide or permit discovery.
186 (3) Awarding Expenses. Rule 37(a)(5) applies to the award of expenses.
187 (d) Sequence and Timing of Discovery. Unless, on motion, the court orders
188 otherwise for the parties' and witnesses' convenience and in the interests of justice,
189 methods of discovery may be used in any sequence and discovery by one party
190 does not require any other party to delay its discovery.
191 (e) Supplementing Responses.
192 (1) In General. A party who has responded to an interrogatory, request for
193 production, or request for admission, must supplement or correct its response:
194 (A) in a timely manner if the party learns that in some material respect the
195 response is incomplete or incorrect, and if the additional or corrective information
196 has not otherwise been made known to the parties during the discovery process or
197 in writing; or
198 (B) as ordered by the court.
199 (2) Witnesses. A party has a duty to timely supplement a response about:
200 (A) the identity and location of persons having knowledge of discoverable
201 matters, and
202 (B) the identity of each person expected to be called as an expert witness at
203 trial, the subject matter on which the person is expected to testify, and the
204 substance of the person's testimony.
205 (f) Discovery Meeting, Discovery Conference, Discovery Plan.
206 (1) Discovery Meeting. No earlier than 40 days after the complaint is filed
207 in an action, any party's attorney or a self-represented party may request in writing
208 a meeting on the subject of discovery, including the discovery of electronically
209 stored information. If such a request is made, the parties must meet within 21 days,
210 unless agreed otherwise by the parties or their attorneys or another time for the
211 meeting is ordered by the court. Even if the parties or their attorneys do not seek to
212 have a discovery meeting, at any time after the complaint is filed the court may
213 direct the parties or their attorneys to appear before it for a discovery conference.
214 (2) Matters for Consideration. During a discovery meeting held under Rule
215 26(f)(1), the attorneys and any self-represented parties must:
216 (A) consider the nature and basis of the parties' claims and defenses and the
217 possibilities for promptly settling or resolving the case, and
218 (B) discuss the preparation of a discovery plan as set forth in Rule 26 (f)(3).
219 (3) Conduct of Meeting. Attorneys for the parties, and any self-represented
220 parties, that have appeared in the case are jointly responsible for arranging the
221 meeting, for being prepared to discuss a discovery plan, and for attempting in good
222 faith to agree on a discovery plan. The meeting may be held by telephone, by
223 videoconference, or in person, or by a combination of methods, unless the court,
224 on motion, orders the attorneys and the self-represented parties to attend in person.
225 (4) Discovery Plan or Report.
226 (A) In General. If a discovery plan is agreed on, it must be submitted to the
227 court within 14 days after the meeting, and the parties may request a conference
228 with the court regarding the plan. If the parties do not agree on a discovery plan,
229 they must submit to the court within 14 days after the meeting a joint report
230 containing those parts of a discovery plan on which they agree and the position of
231 each of the parties on the parts upon which they disagree. Unless the parties agree
232 otherwise, the attorney for the first plaintiff listed on the complaint is responsible
233 for submitting the discovery plan or joint report.
234 (B) Discovery Plan Contents. A discovery plan must contain the following:
235 (i) a statement of the issues as they then appear;
236 (ii) a proposed plan and schedule of discovery, including the discovery of
237 electronically stored information;
238 (iii) with respect to electronically stored information, and if appropriate
239 under the circumstances of the case, a reference to the preservation of such
240 information, the media form, format, or procedures by which such information will
241 be produced, the allocation of the costs of preservation, production, and, if
242 necessary, restoration, of such information, the method for asserting or preserving
243 claims of privilege or of protection of the information as trial-preparation materials
244 if different from that provided in Rule 26 (b)(5), the method for asserting or
245 preserving confidentiality and proprietary status, and any other matters addressed
246 by the parties;
247 (iv) any limitations proposed to be placed on discovery, including, if
248 appropriate under the circumstances of the case, that discovery be conducted in
249 phases or be limited to or focused on particular issues;
250 (v) when discovery should be completed; and
251 (vi) if appropriate under the circumstances of the case, any limitations or
252 conditions under Rule 26 (c) regarding protective orders.
253 (5) Discovery Conference. If the parties are unable to agree to a discovery
254 plan at a meeting held under Rule 26 (f)(1), they must, on motion of any party,
255 appear before the court for a discovery conference at which the court must order
256 the entry of a discovery plan after consideration of the report required to be
257 submitted under Rule 26 (f)(4)(A) and the position of the parties. The order may
258 address other matters, including the allocation of discovery costs, as are necessary
259 for the proper management of discovery in the action. An order may be altered or
260 amended as justice may require. The court may combine the discovery conference
261 with a pretrial conference authorized by Rule 16.
262 (g) Signing Discovery Request, Responses, and Objections.
263 (1) Signature Required; Effect of Signature. Every discovery request,
264 response, or objection must be signed by at least one attorney of record in the
265 attorney's individual name, or by the party personally, if self-represented, state the
266 signer's address, electronic mail address for electronic service, telephone number,
267 and State Board of Law Examiners identification number, if applicable. By
268 signing, the attorney or party certifies that the signer has read the request,
269 response, or objection, and that to the best of the signer's knowledge, information,
270 and belief formed after a reasonable inquiry it is:
271 (A) consistent with these rules and warranted by existing law or by a good
272 faith argument for extending, modifying or reversing existing law;
273 (B) not interposed for any improper purpose, such as to harass, cause
274 unnecessary delay or needlessly increase the cost of litigation; and
275 (C) neither unreasonable nor unduly burdensome or expensive, considering
276 the needs of the case, prior discovery in the case, the amount in controversy, and
277 the importance of the issues at stake in the litigation.
278 (2) Failure to Sign. Other parties have no duty to act on an unsigned
279 request, response, or objection until it is signed, and the court, on motion or on its
280 own, must strike it unless a signature is promptly supplied after the omission is
281 called to the attorney's or party's attention.
282 (3) Sanction for Improper Certification. If a certification violates this rule,
283 without substantial justification, the court, on motion or its own, must impose an
284 appropriate sanction on the signer, the party on whose behalf the signer was acting,
285 or both. The sanction may include an order to pay the reasonable expenses,
286 including attorney's fees, caused by the violation.
287 EXPLANATORY NOTE
288 Rule 26 was amended, effective July 1, 1981; March 1, 1986; March 1,
289 1990; March 1, 1996; March 1, 2008; March 1, 2011; March 1, 2013; March 1,
291 Rule 26 is derived from Fed.R.Civ.P. 26
292 As amended, effective March 1, 1996, a party deposing another party's
293 expert witness under subdivision (b)(4)(A)(ii) must pay the expert a reasonable fee
294 under subdivision (b)(4)(C), even though a court order has not been obtained
295 authorizing the deposition or commanding payment of expert witness fees.
296 Rule 26 was amended, effective March 1, 2008, to implement changes
297 related to discovery of electronically stored information. The changes reflect the
298 2006 amendments to Fed.R.Civ.P. 26. Subdivision (b) was amended to incorporate
299 a new subparagraph (b)(2)(B) on limitations to discovery of electronic information.
300 A new paragraph (b)(6) was also added to address claims of privilege or protection
301 of trial preparation materials.
302 Rule 26 was amended, effective March 1, 2011, in response to the
303 December 1, 2007, revision of the Federal Rules of Civil Procedure. The language
304 and organization of the rule were changed to make the rule more easily understood
305 and to make style and terminology consistent throughout the rules.
306 Subparagraph (b)(1)(A) was amended, effective March 1, 2013, to include a
307 definition of "electronically stored information" and to designate what types of
308 metadata may be discovered. Effective_________, this language was transferred
309 to subparagraph (b)(1)(B)(ii).
310 Subparagraph (b)(4)(A)(ii) was added, effective_____________, to allow a
311 party to request an expert witness report in certain situations. Subparagraph
312 (b)(4)(A)(iii) was amended to allow a deposition of an expert witness from whom
313 a reporte was requested to be conducted only after the report is provided.
314 Subparagraphs (b)(4)(B) and (b)(4)(C) were added,
315 effective_____________, to protect draft reports and trial preparation
317 Subparagraph (c)(1)(H) was amended, effective March 1, 2015, to remove a
318 reference to filing documents in a sealed paper envelope. Items are filed with the
319 court electronically, and may be designated as sealed when submitted.
320 Subdivision (f) was amended, effective March 1, 2013, to provide a
321 procedure for discovery meetings and conferences and for the formulation of
322 discovery plans and reports, with an emphasis on discussing and planning for the
323 discovery of electronic information.
324 Paragraph (g)(1) was amended, effective March 1, 2015, to specify that the
325 attorney's electronic mail address for electronic service must be included with the
327 SOURCES: Joint Procedure Committee Minutes of
328 ___________________; January 28-29, 2016, pages 13-14; April 24-25, 2014,
329 page 25; January 26-27, 2012, page 17-19; January 29-30, 2009, page 6;
330 September 25, 2008, pages 21-22; January 25, 2007, pages 9-10; September 28-29,
331 2006, pages 18-20; January 26-27, 1995, pages 10-12; September 29-30, 1994,
332 pages 21-22; April 20, 1989, page 2; December 3, 1987, page 11; April 26, 1984,
333 page 28; January 20, 1984, pages 23-31; December 11-12, 1980, page 2; October
334 30-31, 1980, pages 9-10; September 20-21, 1979, page 19; Fed.R.Civ.P. 26.
335 CROSS REFERENCE: N.D.R.Civ.P. 16 (Pretrial Procedure-Formulating
336 Issues), N.D.R.Civ.P. 28 (Persons Before Whom Depositions May Be Taken),
337 N.D.R.Civ.P. 29 (Stipulations Regarding Discovery Procedure), N.D.R.Civ.P. 30
338 (Depositions Upon Oral Examination), N.D.R.Civ.P. 30.1 (Uniform Audio-Visual
339 Deposition Rule), N.D.R.Civ.P. 31 (Depositions of Witnesses Upon Written
340 Questions), N.D.R.Civ.P. 33 (Interrogatories to Parties), N.D.R.Civ.P. 34
341 (Production of Documents and Things and Entry Upon Land for Inspection and
342 Other Purposes), N.D.R.Civ.P. 35 (Physical and Mental Examination of Persons),
343 N.D.R.Civ.P. 36 (Requests for Admission), and N.D.R.Civ.P. 37 (Failure to Make
344 Discovery-Sanctions); N.D.R.Ev. 507 (Trade Secrets), N.D.R.Ev. 510 (Waiver of
345 Privilege by Voluntary Disclosure), and N.D.R.Ev. 706 (Court-Appointed