A preliminary statement in legal filings is the opening section that gives the court a short, plain-English overview of the case before the detailed allegations or arguments begin. It identifies the parties, sketches the dispute, explains why the court has authority to hear it, and tells the judge what you want. Some filings label this section “Introduction” instead, but the function is the same: an executive summary that frames everything that follows.
No Federal Rule of Civil Procedure requires a section called “preliminary statement” by name. Rule 8(a) requires every complaint to contain “a short and plain statement of the claim showing that the pleader is entitled to relief,” and Rule 7(b) requires motions to “state with particularity the grounds for seeking the order.”1Cornell Law School. Federal Rules of Civil Procedure Rule 8 – General Rules of Pleading Those rules set the floor. The preliminary statement as a distinct, labeled section comes from local court rules, individual judges’ preferences, and long-standing attorney practice. Leaving it out is almost always a missed opportunity, because judges manage heavy caseloads and a well-written opening lets the court grasp the stakes in under a minute.
What a Preliminary Statement Should Contain
Think of this section as answering four questions a stranger would ask if you described your case in an elevator: Who’s involved? What happened? Why is this court the right place? What do you want?
- Parties and their relationship. Identify the plaintiff and defendant and explain the connection between them, whether that’s a business contract, an employment relationship, a landlord-tenant arrangement, or something else.
- Nature of the dispute. Summarize the core conflict in a few sentences. A breach-of-contract complaint might note the contract date, the specific obligation the defendant failed to perform, and the approximate dollar amount at stake. A negligence claim might identify the incident, the injury, and how the defendant’s conduct caused it.
- Jurisdictional basis. Briefly explain why this court has authority. In federal court that often means pointing to federal-question jurisdiction or diversity jurisdiction, which requires that the parties be citizens of different states and the amount in controversy exceed $75,000.2Office of the Law Revision Counsel. 28 USC 1332 – Diversity of Citizenship; Amount in Controversy; Costs
- Relief sought. State what you’re asking the court to do: award money damages, issue an injunction, declare the parties’ rights under a contract, or something else specific.
- Legal theories. Name the causes of action or the legal rule that entitles you to relief. You don’t need to build the full argument here. Just signal the framework so the judge knows what’s coming.
Keep citations minimal. The argument section is where case law belongs. Loading a preliminary statement with string citations breaks the narrative and undercuts the whole point of writing a readable summary.
Preliminary Statement vs. Statement of Facts
These two sections do different jobs, and confusing them is one of the most common drafting mistakes. The preliminary statement is a high-altitude overview that tells the reader what the case is about and why the filing exists. The statement of facts is a ground-level account that presents the specific events, evidence, and timeline supporting your claims or defenses in detail.
A preliminary statement might say that the defendant breached a five-year supply agreement by failing to deliver contracted quantities, causing the plaintiff more than $2 million in losses. The statement of facts would then walk through the contract execution date, the specific delivery shortfalls month by month, the communications between the parties, and the financial records documenting the losses. One frames; the other proves.
The statement of facts also carries a heavier procedural burden. On appeal, Federal Rule of Appellate Procedure 28(a)(6) requires a “concise statement of the case” that describes the relevant facts, procedural history, and the rulings being challenged, with specific references to the record.3Cornell Law School. Federal Rules of Appellate Procedure Rule 28 – Briefs No comparable rule imposes that level of specificity on a preliminary statement.
Where It Goes and How It’s Formatted
The preliminary statement sits immediately after the case caption and before the statement of facts or the numbered allegations.
Formatting varies by court. Federal courts generally require 12-point type, one-inch margins on all sides, and double-spaced text, though footnotes and block quotations may be single-spaced. Local rules in your district may add requirements, so check before filing. Some state courts, notably in California, require consecutively numbered lines along the left margin of every page. That is not a federal requirement and is not universal across states.
In complaints, paragraphs within the preliminary statement are typically numbered to match the sequential numbering used throughout the rest of the pleading, consistent with Rule 10(b)’s requirement that claims and defenses appear in numbered paragraphs limited to a single set of circumstances.4Cornell Law School. Federal Rules of Civil Procedure Rule 10 – Form of Pleadings In motions and briefs, where numbered paragraphs are less common, the preliminary statement usually appears in standard prose paragraphs with descriptive headings.
How to Write One That Works
The single most important sentence you write is the first one. It should tell the court exactly what the case is about and why your client should win. Treat it as the theme of the entire filing. If the judge remembers nothing else, that sentence should stick. Avoid throat-clearing openings like “This is an action brought pursuant to…” and go straight to the substance.
After the opening, tell the court what you want. State the specific relief within the first paragraph so the judge immediately understands the stakes. Then, in two or three short paragraphs, lay out the core reasons your position should prevail. Each paragraph should address one reason and explain it in plain terms. That structure gives the court an outline of the arguments to expect in the rest of the filing.
Resist the urge to turn this section into a mini-brief. The goal is to frame, not to argue. Save detailed legal analysis for the argument section and granular facts for the statement of facts. Three pages is a reasonable ceiling for most filings, and experienced litigators frequently keep it to one or two.
Mistakes That Can Hurt Your Case
The most damaging mistake is loading the preliminary statement with argumentative language, inflammatory characterizations, or unsupported accusations. Under Federal Rule of Civil Procedure 12(f), a court can strike material from a pleading that is “redundant, immaterial, impertinent, or scandalous.”5Cornell Law School. Federal Rules of Civil Procedure Rule 12 – Defenses and Objections: When and How Presented Overheated rhetoric in your opening invites a motion to strike and signals that you don’t trust the strength of your underlying arguments.
Factual carelessness is equally dangerous. Statements made in pleadings can be used as admissions against the party that made them. Not every allegation automatically becomes a binding judicial admission, but courts take factual assertions in filed documents seriously. If you overstate your damages, misidentify a party’s role, or describe events inaccurately in the preliminary statement, opposing counsel will hold you to those words later in the case. Write only what you can back up.
Other patterns that weaken a preliminary statement:
- Excessive length. A section that runs five or six pages defeats its purpose as a summary.
- Legalese and jargon. Latin phrases, complex vocabulary, and long sentences make the section harder to read. Simple, direct language is more persuasive.
- String citations. Citing a dozen cases in your opening summary disrupts the narrative. Save case law for the argument section.
- Vague generalities. Saying “Defendant engaged in wrongful conduct” without specifics tells the court nothing useful. Include enough concrete detail to make the summary meaningful.
Filings That Typically Include One
Almost any document filed with a court can benefit from an introductory summary, but a few filings rely on one more heavily than others.
Complaints and Petitions
The complaint is often the first document a judge reads in a case. A preliminary statement at the top sets the tone for the entire lawsuit and gives the court context before it encounters numbered paragraphs of factual allegations.
Motions
Motions for summary judgment, motions to dismiss, and motions for injunctive relief all benefit from a preliminary statement. Summary judgment motions in particular need one because they typically involve extensive exhibits, declarations, and statements of undisputed facts. Without an upfront summary, a judge can lose the thread. The preliminary statement explains why the undisputed facts entitle the moving party to judgment as a matter of law.
Appellate Briefs
Federal appellate rules don’t use the label “preliminary statement,” but the function exists under other names. Rule 28(a) of the Federal Rules of Appellate Procedure requires the appellant’s brief to include a statement of the issues, a concise statement of the case, and a summary of the argument.3Cornell Law School. Federal Rules of Appellate Procedure Rule 28 – Briefs Many appellate practitioners also add a separate “Introduction” or “Preliminary Statement” before the formal sections to frame the appeal’s central theme.
Notices of Removal
When a defendant removes a case from state court to federal court, the notice of removal must contain “a short and plain statement of the grounds for removal.”6Office of the Law Revision Counsel. 28 USC 1446 – Procedure for Removal of Civil Actions That statutory requirement functions as a built-in preliminary statement, explaining what the state-court case involves, why federal jurisdiction exists, and why removal is timely.