A preliminary statement in legal documents is the opening section of a filing that gives the judge a short, plain overview of who the parties are, what the dispute is about, and what the filer wants the court to do. It functions as the executive summary of a brief, motion, or complaint, framing everything the judge is about to read. In practice, lawyers and courts use “preliminary statement” and “introduction” to mean the same thing, and which label applies depends on the court and its local rules.
What a Preliminary Statement Includes
A strong preliminary statement orients the judge quickly. It covers a handful of core elements and leaves the detailed proof for later sections.
The Parties and Their Capacity
Say who is suing whom. Under Federal Rule of Civil Procedure 9(a), you generally don’t need to allege a party’s authority to sue or be sued in a representative capacity unless the other side raises it as an issue.1Legal Information Institute. Rule 9 Pleading Special Matters If a party is appearing as an executor, trustee, or guardian, note that role so the court immediately sees who has standing.
The Nature of the Action and Jurisdiction
Describe the type of case: a contract dispute, a personal injury claim, a civil rights action under 42 U.S.C. ยง 1983, and so on.2Office of the Law Revision Counsel. 42 USC 1983 – Civil Action for Deprivation of Rights Briefly state why the court has jurisdiction, whether that rests on a federal question, diversity of citizenship, or another statutory basis. Naming the type of case up front tells the judge which legal standards govern.
The Key Facts
Pick only the facts that drive your primary legal theory. The preliminary statement is not a factual narrative. Stick to the who, what, and why: what happened, who was harmed, and what legal wrong was committed. The complete chronology, with record citations, belongs in the statement of facts.
The Relief Sought
Close by telling the court what you want. That might be monetary damages, an injunction ordering someone to stop certain conduct, or specific performance requiring a party to fulfill a contract obligation. Naming the remedy early signals what is at stake and what kind of ruling you’re asking for.
How It Differs From the Statement of Facts
Confusing these two sections is a common drafting mistake. The preliminary statement is short, selective, and persuasive. It frames the case and introduces the core issues in a few paragraphs.
The statement of facts is different in purpose and tone. It is a detailed, chronological account of what happened, drawn from the record and cited to it. It includes facts that cut against you as well as facts that help, and the tone is neutral. Where the preliminary statement argues, the statement of facts documents.
Put another way: the preliminary statement tells the judge what the case is about. The statement of facts gives the judge the evidentiary foundation to evaluate the argument that follows.
Where Preliminary Statements Appear
Not every filing needs one. The three places you’ll see them most often are civil complaints, summary judgment motions, and appellate briefs.
Civil Complaints
A complaint often opens with a preliminary statement identifying the plaintiff’s injuries and the legal basis for the suit. Federal Rule of Civil Procedure 8 requires “a short and plain statement of the claim showing that the pleader is entitled to relief,” along with a jurisdictional statement and a demand for relief.3Legal Information Institute. Rule 8 General Rules of Pleading The preliminary statement bridges the caption and the detailed allegations below.
Motions for Summary Judgment
In a summary judgment motion, the preliminary statement tells the court why the case can be decided without a trial. Federal Rule of Civil Procedure 56 requires a court to grant summary judgment when the movant shows “no genuine dispute as to any material fact” and that it is “entitled to judgment as a matter of law.”4Legal Information Institute. Rule 56 Summary Judgment The preliminary statement points the judge to the key undisputed evidence and explains why trial would add nothing.
Appellate Briefs
On appeal, the preliminary statement identifies the specific errors the lower court allegedly made. Federal Rule of Appellate Procedure 28 lists required components of an appellant’s brief, including a jurisdictional statement, statement of issues, and statement of the case, but does not formally require a section labeled “preliminary statement.”5Legal Information Institute. Rule 28 Briefs Most appellate practitioners include one anyway because it gives the court an immediate sense of what went wrong and why.
Drafting Rules That Trip People Up
The substance can be sound and the filing still cause problems if it ignores the rules on length, citation, and appearance.
Keep It Short
A preliminary statement typically runs no more than a few pages. It also counts against your overall limits. Federal Rule of Appellate Procedure 32 caps a principal brief at 13,000 words, or 30 pages under the page-limit alternative.6Legal Information Institute. Rule 32 Form of Briefs, Appendices, and Other Papers District courts often set their own memorandum limits by local rule, commonly 15 pages for non-dispositive motions and 25 pages for dispositive ones. Every page you spend introducing is a page you can’t spend arguing.
Use Citations Sparingly
A common best practice is to keep legal citations out of the preliminary statement, or use them very lightly. The purpose of this section is readable narrative flow, not a case-by-case walkthrough. You can name a decision that is central to the argument, but save the full citations and record cites for the argument section.
Follow the Court’s Formatting Rules
Most courts require 12-point type and double spacing for the body of filings, and that is the safe default. Specifics vary: the U.S. Supreme Court, for example, requires 12-point Century family type with at least 2-point leading for booklet-format documents.7Legal Information Institute. Supreme Court Rule 33 – Document Preparation Always check the local rules of the specific court where you’re filing.
Ethical Limits on What You Can Leave Out
Selecting facts for persuasion is normal advocacy. Hiding material ones is not. Under the Model Rules of Professional Conduct, a lawyer may not knowingly make a false statement of fact or law to a court, and must correct a false statement already made in a filing, even when doing so requires disclosing information the client would rather keep confidential.8American Bar Association. Rule 3.3 Candor Toward the Tribunal
In ex parte proceedings, where only one side appears before the judge, the duty expands. The lawyer must disclose all material facts known to them, including facts that cut against the client, so the court can rule with full information.8American Bar Association. Rule 3.3 Candor Toward the Tribunal Deliberately omitting facts you know would change the outcome crosses the line from advocacy into misrepresentation.
What Happens When It’s Done Badly
A preliminary statement that breaks the rules or oversteps can draw real consequences.
The Court Can Strike Material
Under Federal Rule of Civil Procedure 12(f), a court can strike material from a pleading that is “redundant, immaterial, impertinent, or scandalous,” either on its own or on an opposing party’s motion.9Legal Information Institute. Rule 12 Defenses and Objections When and How Presented A preliminary statement loaded with inflammatory language or argument that belongs in the brief’s body is a natural target. Getting material struck means refiling, and it costs credibility.
The Court Can Order You to Refile
If the preliminary statement is too vague or missing required information, the court may order amendment and refiling. That delays the case and may involve additional fees. In some appellate courts, missing a deadline to file a required prehearing or preliminary appeal statement can trigger attorney’s fees, costs, or dismissal of the appeal.
You Lose Credibility With the Judge
Beyond formal sanctions, a sloppy preliminary statement tells the judge that the attorney either doesn’t know the rules or doesn’t care. A clear, well-organized one does the opposite: it signals that you’ve thought carefully about the case and respect the court’s time. The first few paragraphs of a filing set the tone for everything the judge reads after.