Limitations to The Rule Making Power.

The principal func- tion of court rules is that of regulating the practice of courts as regards forms, the operation and effect of process, and the mode and time of proceedings. However, rules are sometimes employed to state in convenient form principles of substantive law previously established by statutes or decisions. But no such rule “can enlarge or restrict jurisdiction. Nor can a rule abrogate or modify the substantive law.” This rule is applicable equally to courts of law, equity, and admiralty, to rules prescribed by the Supreme Court for the guidance of lower courts, and to rules “which lower courts make for their own guidance under authority conferred.”339 As incident to the judicial power, courts of the United States possess inherent authority to supervise the conduct of their officers, parties, witnesses, counsel, and jurors by self-preserving rules for the protection of the rights of litigants and the orderly administration of justice.340

The courts of the United States possess inherent equitable powers over their process to prevent abuse, oppression, and injustice, and to protect their jurisdiction and officers in the protection of property in the custody of law.341 Such powers are said to be essential to and inherent in the organization of courts of justice.342 While the Court has not “precisely delineated the outer boundaries” of a federal court’s inherent powers to manage its own internal affairs, the Court has recognized two limits on the exercise of such authority.343 First, a court, in exercising its inherent powers over its own processes, must act reasonably in response to a specific problem or issue “confronting the court’s fair administration of justice.”344 Second, any exercise of an inherent power cannot conflict with any express grant of or limitation on the district court’s power as contained in a statute or rule, such as the Federal Rules of Civil Procedure.345 In applying these two standards, the Court has recognized that a district court, as an exercise of its inherent powers, can in limited circumstances rescind an order to discharge a jury and recall that jury in a civil case.346 The Supreme Court has also acknowledged that federal courts possess the inherent power to control other aspects of regulating internal court proceedings, including having the inherent power to (1) hear a motion in limine;347 (2) dismiss a case for the convenience of the parties or witnesses because of the availability of an alternative forum348 ; and (3) stay proceedings pending the resolution of parallel actions in other courts.349 The courts of the United States also possess inherent power to amend their records, correct the errors of the clerk or other court officers, and to rectify defects or omissions in their records even after the lapse of a term, subject, however, to the qualification that the power to amend records conveys no power to create a record or re-create one of which no evidence exists.350 Nonetheless, while the exercise of an inherent power can, at times, allow for departures from even long-established, judicially crafted common law rules,351 courts are not “generally free to discover new inherent powers that are contrary to civil practice as recognized in the common laws.”352

Footnotes

339
Washington-Southern Nav. Co. v. Baltimore & P.S.B.C. Co., 263 U.S. 629, 635, 636 (1924). It is not for the Supreme Court to prescribe how the discretion vested in a Court of Appeals should be exercised. As long as the latter court keeps within the bounds of judicial discretion, its action is not reviewable. In re Burwell, 350 U.S. 521 (1956). [Back to text]
340
McDonald v. Pless, 238 U.S. 264, 266 (1915); Griffin v. Thompson, 43 U.S. (2 How.) 244, 257 (1844). See Thomas v. Arn, 474 U.S. 140 (1985) (court of appeal rule conditioning appeal on having filed with the district court timely objections to a master’s report). In Rea v. United States, 350 U.S. 214, 218 (1956), the Court, citing McNabb v. United States, 318 U.S. 332 (1943), asserted that this supervisory power extends to policing the requirements of the Court’s rules with respect to the law enforcement practices of federal agents. But compare United States v. Payner, 447 U.S. 727 (1980). [Back to text]
341
Gumbel v. Pitkin, 124 U.S. 131 (1888); Covell v. Heyman, 111 U.S. 176 (1884); Buck v. Colbath, 70 U.S. (3 Wall.) 334 (1866). [Back to text]
342
Eberly v. Moore, 65 U.S. (24 How.) 147 (1861); Arkadelphia Co. v. St. Louis S.W. Ry., 249 U.S. 134 (1919). [Back to text]
343
See Dietz v. Bouldin, 579 U.S. ___, No. 15–458, slip op. at 4 (2016). [Back to text]
344
Id. at 4–5. [Back to text]
345
Id. at 4. [Back to text]
346
Id. at 5–7 (acknowledging that while it is “reasonable” to allow a jury to reconvene after a formal discharge to correct an error and while such an exercise of authority does not conflict with a rule or statute, the exercise of the inherent power to rescind a discharge order needs to be “carefully circumscribed” to guarantee the existence of an impartial jury); see also id. at 9–10 (holding that a court, in exercising an inherent power to rescind a discharge order, must consider, among other factors, (1) the length of delay between discharge and recall; (2) whether jurors have spoken to anyone after discharge; (3) any reaction to the verdict in the courtroom; and (4) any access jurors may have had to outside materials after discharge). The rule provided in Dietz extends only to civil cases, as additional constitutional concerns— namely, the attachment of the double jeopardy bar—may arise if a court were to recall a jury after discharge in a criminal case. See id. at 10. [Back to text]
347
See Luce v. United States, 469 U.S. 38, 41 n.4 (1984). A motion in limine is a preliminary motion resolved by a court prior to trial and generally regards the admissibility of evidence. See BLACKS LAW DICTIONARY 1171 (10th ed. 2014). [Back to text]
348
See Gulf Oil Corp. v. Gilbert, 330 U.S. 501, 507–08 (1947). This doctrine is called forum non conveniens. See BLACKS LAW DICTIONARY 770 (10th ed. 2014) (defining forum non conveniens as the “doctrine that an appropriate forum—even though competent under the law—may divest itself of jurisdiction if, for the convenience of the litigants and the witnesses, it appears that the action should proceed in another forum in which the action might also have been properly brought in the first place.”). [Back to text]
349
See Landis v. N. Am. Co., 299 U.S. 248, 254 (1936). [Back to text]
350
Gagnon v. United States, 193 U.S. 451, 458 (1904). [Back to text]
351
See Dietz, slip op. at 11 (assuming that, even if courts at common law lacked the inherent power to rescind a jury discharge order, a court’s exercise of its inherent powers can depart from the common law). The term “common law” refers to the body of English law that was “adopted as the law of the American colonies and supplemented with local enactments and judgments.” See BLACKS LAW DICTIONARY 334 (10th ed. 2014). [Back to text]
352
See Dietz, slip op. at 12. [Back to text]