Depositions in a nutshell / by Albert J. Moore, David A. Binder, Paul Bergman, Jason Light.
2011
KF8900 .M67 2011 (Map It)
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Details
Author
Title
Depositions in a nutshell / by Albert J. Moore, David A. Binder, Paul Bergman, Jason Light.
Published
St. Paul, MN : West, [2011]
Copyright
©2011
Call Number
KF8900 .M67 2011
Spine Title
Depositions
ISBN
9780314194893 (pbk.)
0314194894 (pbk.)
0314194894 (pbk.)
Description
xl, 595 pages ; 19 cm.
System Control No.
(OCoLC)669262147
Bibliography, etc. Note
Includes bibliographical references and index.
Series
Record Appears in
Added Author
Table of Contents
Acknowledgments
iii
The Scope of this Book
v
Table of Cases
xxxi
pt. ONE
DEPOSING ADVERSE WITNESSES
ch. 1
Three Primary Deposition Goals
2
1.
# 1---Obtain an Adverse Witness' Version of Significant Events
2
A.
The Benefits of Obtaining an Adverse Witness' Version of Events
4
B.
The Risks of Obtaining an Adverse Witness' Version of Events
5
2.
Goal # 2---Searching for an Confirming Helpful Evidence
6
3.
Goal #3---Uncovering and Undermining Harmful Evidence
7
4.
The Order of Inquiry
10
5.
Goals When Deposing "Neutral" Witnesses
10
ch. 2
Obtaining Complete Information: The T-Funnel Questioning Pattern
12
1.
The T-Funnel Questioning Pattern
12
A.
An Illustration of the T-Funnel Pattern
14
B.
Using a Series of T-Funnels
15
C.
T-Funnels and Note Taking
19
2.
Benefits of the T-Funnel Pattern
20
3.
Avoiding Problems in T-Funnel Questioning
22
A.
Problem #1: Failure to Go to the Bottom of a T-Funnel
22
B.
Problem #2: The T-Funnel Is Too Vague or Too Broad
26
4.
Consciously Omitting Closed Questions at the Bottom of the T to Limit Damaging Testimony
27
5.
Inverted T-Funnels
30
6.
Common T-Funnels
32
A.
"Everything That Happened During a given Event" T-Funnels
32
B.
"Clumped Events" T-Funnels
33
C.
"Everything That You Did or Said" T-Funnels
37
D.
"All the Reasons" T-Funnels
38
E.
"Basis for a Conclusion, Opinion or Belief" T-Funnels
38
F.
"Reactions to an Occurrence or Event" T-Funnels
39
G.
"Do You Have Information to Help Prove My Case" T-Funnels
40
H.
"All the Documents" T-Funnels
43
ch. 3
Obtaining Complete Information: The Timeline Questioning Pattern
44
1.
What Are Timelines?
44
2.
The Basic Timeline Questioning Pattern
45
3.
An Illustrative Example of a Timeline Pattern
47
4.
Benefits of Eliciting a Timeline
49
5.
Refining Your Timeline Techniques
51
A.
Problem: The Subject of Your Timeline Is Vague or Too Broad
52
B.
Problem: The Deponent Does Not Understand That You Want a Timeline (i.e. A Chronology About a Specific Subject)
53
C.
Problem: Creating Timeline Gaps When a Deponent Mentions a Future Event
56
D.
Problem: Becoming Sidetracked into Non-Timeline Subjects
57
E.
Problem: Uncertainty About a Time-line's Beginning
59
F.
Problem: Uncertainty About a Timeline's End
60
6.
Eliciting the Details of Timeline Events---Combining Timelines and T-Funnels
61
7.
Abandoning the Timeline When the Deponent Can Not Remember the Order in Which Events Occurred
66
ch. 4
Obtaining Helpful Answers
72
1.
Leading Questions
73
2.
Plausibility Chains
74
A.
An Illustrative Example
74
B.
Common Features of Questions in a Plausibility Chain
77
C.
Accepting Less Than Perfect Answers
79
D.
Plausibility Chains and Prior Statements
80
1.
Deponents' Prior Written Statements
81
2.
Deponents' Prior Oral Statements
85
3.
Statements of Third Persons
87
3.
Exploiting Bias
89
4.
Risks of Plausibility Chains and Exploiting Bias
94
5.
Masking---Obscuring the Significance of Questions
94
A.
Masking During Background Questioning
98
B.
Combining Masking and Plausibility Chains
104
C.
Masking to Create an Opportunity for Impeachment
107
6.
Preparation Versus Seeking Admissions on the Fly
110
ch. 5
Cementing Helpful Answers
112
1.
Cementing Defined
112
2.
Benefits of Cementing
113
3.
Potential Risks of Cementing
115
4.
Basic Cementing Techniques
115
A.
Isolate Cemented Testimony
115
B.
Occasionally Use Non-Leading Questions
122
C.
Obscure Your Purpose by Cementing "Surrounding Evidence"
122
D.
Obscure Your Purpose by Delaying Cementing
124
E.
Cement in the Deponent's Own Words
125
F.
Offer a Neutral Explanation for Cementing
125
G.
Obtain a Foundation
126
5.
Cementing "That's All"
127
6.
Responding to an "Asked and Answered" Objection
128
ch. 6
Undermining Harmful Answers
130
1.
Strategy #1---Challenge Accuracy
130
A.
Inconsistent Behavior
131
B.
Absence of Corroborative Evidence
132
C.
Inability to Recall
133
1.
Routine or Fungible Events
133
2.
"Ancient" Occurrences
136
3.
No Reason to Recall
138
D.
Unable to Provide the Details of Unique Occurrences
138
E.
Inability to Perceive
139
F.
No Reason or Motive for Behavior
140
G.
Special Bias
141
H.
Conclusion
143
2.
Strategy #2---Attack the Inference
143
3.
Strategy #3---Aggrandize the Lie
145
4.
Undermining Opinions and Conclusions
148
5.
Undermining Conclusions About Conditions or Behavior Over Time
150
6.
Delaying Attempts to Undermine Harmful Evidence
152
7.
Undermining With Conflicting Witnesses and Documents
152
ch. 7
Responding to Inconsistent Statements
155
1.
A Deponent's Testimony Conflicts With the Deponent's Prior Statement
155
A.
Option #1---Ask the Deponent for an Explanation
155
B.
Option #2---Ignore the Inconsistency
158
C.
Option #3---Aggrandize the Lie
159
D.
Option #4---Encourage the Deponent to Affirm the Helpful Statement and Recant the Other One
161
2.
Deponent's Deposition Testimony Conflicts With Another Witness' Statement
164
ch. 8
Responding to Implausibilities
169
1.
What Makes Testimony Implausible?
169
2.
Magnifying Implausibilities Through the "Especially When" Technique
170
3.
Defer Inquiries into Topics That Might Magnify an Implausibility
171
4.
Checking for Explanations
172
ch. 9
Responding to Evasive, Forgetful or Uncertain Deponents
175
1.
Evasive Deponents
175
A.
Non-Responsive Answers
175
B.
"Hints" in Lieu of Complete Answers
176
C.
"What Do You Mean By..." Answers
178
D.
Overly Literal or Hyper-Technical Deponents
180
1.
Use a Series of Questions Containing Synonyms
181
2.
Ask for Information From All Sources
183
a.
Ask "Are You Aware of Any Information From Any Source That Might Indicate..."
184
b.
Ask Separately About "See" and "Hear"
185
c.
Potential Risks of Asking for Information From All Sources
186
2.
Forgetful and Uncertain Deponents
186
A.
Probing for Recall
188
1.
Convey an Expectation That Recall Is Possible
188
2.
Bracket to Obtain a Best Estimate
189
3.
Use Documents
192
4.
Use Closed or Leading Questions
193
B.
Probing for Alternative Sources of Information
194
3.
Responding to "I Don't Know" Answers
196
ch. 10
Using Documents and Diagrams
198
1.
Maintaining a Clear Record
198
A.
Use Exhibit Numbers and Precise Segment References
198
B.
Provide Copies of Documents to Opposing Counsel
201
2.
Common Uses of Documents
202
A.
Laying a Foundation for Later Use of Documents in Pre-Trial Motions or at Trial
202
1.
Authentication
202
2.
Satisfying Evidentiary Requirements
204
B.
Memory Stimulation
205
C.
Develop a Deponent's Version of Events
206
D.
Explanations of Words and Phrases
210
E.
Preparation and Distribution History
211
F.
Obtaining Helpful Answers
213
3.
Diagrams
214
ch. 11
Questioning Tips
219
1.
Ask for Hearsay
219
2.
Ask "Why" Questions Concerning Deponents' Own Behavior
220
3.
Ask "Why" Questions Concerning a Third Person's Behavior
222
4.
Ask "Have You Now Told Me Everything?"
224
5.
Elicit the Bases of Conclusions and Opinions
225
6.
Seek Out Opinions
226
7.
Elicit the "Details" Rather Than the "Substance" of Occurrences
228
8.
Don't Conflate Discrete Occurrences
229
9.
Seek Examples of Behavior Over Time
230
10.
Clarify Ambiguous References and Physical Gestures
231
11.
Be Solicitous of the Court Reporter
232
ch. 12
Communicating Arguments
233
1.
Communicating Arguments by Marshaling Evidence With Leading Questions
234
2.
Deciding Which Arguments to Communicate
238
3.
When to Communicate Arguments
243
ch. 13
Beginning and Concluding Depositions
244
1.
Beginning Depositions
244
A.
Stipulations
244
B.
Admonitions
247
C.
Questions Regarding a Deponent's Preparation
260
1.
Documents a Deponent Used to Refresh Recollection
260
2.
Persons With Whom a Deponent Talked
264
D.
Background Questioning
265
1.
Employment History
266
2.
Educational Background
267
2.
Concluding Depositions
267
ch. 14
Professional Demeanor and Rapport Building
271
1.
Maintain a Professional Demeanor With Deponents and Opposing Counsel
271
2.
Building Rapport With the Deponent
273
ch. 15
Responding to Objections and Other Actions of Opposing Counsel
277
1.
Instructions Not to Answer
277
A.
The Propriety of Instructions Not to Answer
277
B.
Responding to Invalid Instructions Not to Answer
278
1.
On the Record, Ask Your Adversary to Withdraw the Instruction
279
2.
Put the Deponent's Refusal to Answer on the Record
280
3.
Complete Your Questioning With Respect to the Subject Matter of the Question the Deponent Refuses to Answer
280
C.
Obtain an Order Compelling an Answer
287
2.
Responding to Objections
290
A.
Step One: Obtain an Answer
291
B.
Step Two: Decide Whether a Valid Objection Is Curable
294
3.
Objections Commonly Raised at Deposition
298
A.
Common Objections That Can Often Be Cured
299
B.
Objections That Usually Need Not Be Cured
306
4.
Objections to Improper Answers
308
A.
The Answer Is Non-Responsive
309
B.
The Objection to the Answer Raises a Potential Problem With the Question
310
5.
Responding to Inappropriate Behavior by Opposing Counsel
311
A.
Disruptive Statements or Objections
312
1.
Ignore the Improper Tactics and Obtain an Answer
314
2.
Cure a Valid Underlying Objection
316
3.
Cite the Rules and Threaten to Seek a Protective Order
316
4.
Offer to Stipulate That "All Objections Are Preserved"
319
5.
Terminate the Deposition and Move for a Protective Order
320
B.
Attempts to Coach the Deponent
321
1.
Speaking Objections
322
2.
Conferences With a Deponent
324
3.
Conferences With the Deponent During a Recess
328
C.
Resolving Disputes Via Telephone
330
D.
Visually Recording Depositions
330
E.
A Cautionary Note About Protective Orders
331
pt. TWO
PREPARING TO DEPOSE ADVERSE WITNESSES
ch. 16
Deposition Preparation
334
1.
Step One---Identify Crucial Factual Contentions
335
2.
Step Two---Identify the Topics, Events and Documents to Explore at the Deposition
338
A.
Technique #1---Review Documents & Deposition Transcripts
338
B.
Technique #2---Review a Case Chronology
340
1.
Create a Case Chronology
341
2.
Review Your Case Chronology
343
C.
Technique #3---Brainstorming
344
1.
Brainstorming With Historical Reconstruction
344
a.
Breaking Historical Reconstruction into Multiple Time Periods
346
2.
Brainstorming With Generalizations
346
D.
Technique #4---Use an Expert
349
E.
Technique #5---Undermine Existing Harmful Evidence
350
F.
Technique #6---Use Direct Inquiries
351
G.
Technique #7---Anticipate Your Cross Examination
353
H.
Technique #8---Anticipate Your Important Arguments
354
I.
Technique #9---Use a Pre-Fab Checklist
355
J.
Technique #10---Computer Searches to Gather Background Information About the Deponent
356
3.
Organize a Deposition Outline
357
A.
How Should You Organize Your Outline?
357
B.
What Questioning Techniques Should You Use for Important Areas of Inquiry?
358
C.
Should You Include Questioning Prompts or Specific Questions in Your Outline?
359
D.
Should You Omit Topics to Avoid Educating Your Opposition?
362
E.
Should You Avoid Putting Harmful Evidence on the Record?
363
F.
Might You Enhance Settlement?
363
G.
Do You Need to Prioritize to Comply With the Seven-Hour Rule?
364
ch. 17
Arranging for Depositions
366
1.
Who May You Depose?
366
2.
Number of Depositions
367
3.
Length of Depositions
367
4.
Necessity of a Notice
367
5.
Contents of a Notice
369
6.
When You May Take Depositions
370
7.
Where You May Take Depositions
371
8.
Securing a Deponent's Attendance
372
9.
Arranging for Document Production
373
A.
Production at a Deposition
373
B.
Production Prior to a Deposition
374
10.
Ensuring a Presiding Officer's Attendance
376
11.
Ensuring That a Deposition Is Recorded
376
12.
Waiving FRCP Requirements
377
pt. THREE
SPECIAL DEPOSITIONS
ch. 18
FRCP 30(b)(6) "Subject Matter" Depositions
380
1.
Why Take a Subject Matter Deposition?
381
2.
How Many 30(b)(6) Depositions Can You Take?
382
3.
The Importance of Comprehensive 30(b)(6) Notices
382
4.
Questioning 30(b)(6) Designees
383
A.
Is the Designee Knowledgeable?
383
B.
Inquire About an Entity's Actions Rather Than a Designee's
388
5.
Going Beyond the Subjects in a Notice
389
6.
Can You Depose a 30(b)(6) Designee Twice?
390
7.
Using a 30(b)(6) Deposition to Obtain the Bases for an Adverse Party's Contentions
391
ch. 19
Inquiring About Practices and Policies
394
1.
Distinguishing "Practices" From "Policies"
395
2.
Purposes of Practice and Policy Inquiries
396
3.
Who to Depose
397
4.
Questioning Strategies Regarding Practices
399
A.
Responding to "It Depends" Answers
399
B.
Inquire About Exceptions
401
C.
Inquire About Prior and Subsequent Changes
404
D.
Distinguish Between the Entity's Practice and That of the Deponent
405
5.
Questioning Strategies Regarding Policies
405
6.
Inquiring About Discrepancies Between Practices and Policies
408
7.
Inquiring About Discrepancies Between Practices & Policies and What Happened in Your Client's Case
409
ch. 20
Deposing Experts
410
1.
Mandatory Disclosures
411
2.
Beginning Adverse Expert Depositions
412
A.
Give Admonitions
412
B.
Confirm That You Have All Relevant Documents
413
C.
Obtain Background Information
414
3.
Obtain a Chronology of Case Related Activities
416
4.
Obtain All Expert Opinions
422
5.
Obtain the Basis for Each Opinion
423
A.
Obtain the Evidentiary Basis for Each Opinion
424
B.
Obtain the Specialized Knowledge Underlying Each Opinion
426
6.
Undermining an Expert Opinion
427
7.
Challenge #1---An Expert's Specialized Knowledge Is Inadequate
428
8.
Challenge #2---"Exceptions" Detract From an Opinion's Accuracy
432
9.
Challenge #3---Conflicting Authorities Undermine an Opinion
436
10.
Challenge #4---An Opinion Is Based on Inaccurate Information From Third Parties
437
11.
Challenge #5---Undermine the Results of Scientific Tests or Technical Procedures
441
12.
Challenge #6---An Investigation Is Incomplete or Untimely
444
13.
Challenge #7---An Expert Is Biased
445
14.
Garner Support for Your Expert's Opinion
446
15.
Opposing Party's Duty to Supplement Expert's Deposition Testimony
448
16.
Preparing Your Own Expert for Deposition
449
17.
Deposing Percipient Experts
449
ch. 21
Deposing Your Own Witness or a Neutral Witness
452
1.
Pre-Deposition Preparation
453
2.
Questioning Strategies and Techniques
454
A.
Elicit Background Evidence
455
B.
Elicit a Selective Chronology
456
C.
Elicit Important Testimony Through Open Questions
458
D.
Emphasis Techniques
459
1.
Incorporate Important Evidence into Subsequent Questions
459
2.
Front Load Important Testimony
461
3.
Elicit a String of Denials
462
E.
Help Forgetful Deponents
463
1.
Follow a Closed/Open Questioning Sequence
463
2.
Use Documents to Refresh Recollection
467
F.
Consider Steering Around Unfavorable Testimony
469
3.
Redirect Examination
471
4.
Responding to Objections
472
ch. 22
Visually Recorded Depositions
475
1.
Ground Rules for Visually Recorded Depositions Under the FRCP
475
2.
Advantages of Visually Recording Depositions
478
A.
Adds Impact to Impeachment at Trial
478
B.
Adds Impact to an Adverse Party's Helpful Deposition Testimony
479
C.
Adds Impact to Preserved Testimony of a Friendly, Unavailable Witness
480
D.
Adds Impact to Demonstrations or Re-Enactments
480
E.
Creates Illustrative Exhibits for Trial or Settlement
481
F.
Discourages Inappropriate Behavior by Opposing Counsel
482
G.
Reduces Deposition Costs
482
H.
Improves Feedback From Mock Jury Trials
483
I.
Improves Your Witness' Trial Testimony
483
3.
Disadvantages of Visually Recording Depositions
484
A.
The Visual Recording of Your Witness Will Be Available for Your Adversary's Use at Trial
484
B.
The Visually Recording of an Adverse Witness May Be Available for Your Adversary's Use at Trial
485
C.
Technological Risks
486
D.
Increased Expense
486
E.
Inconvenient to Review
487
4.
Strategies for Preparing Friendly Deponents
488
A.
Visually Record a Practice Session
488
B.
Show a "Good" Performance
489
C.
Discuss What to Wear
489
5.
Strategies for Taking Visually Recorded Depositions Effectively
489
A.
Complying With FRCP 30(b)(4)
489
B.
Bring an Assistant to the Deposition
492
C.
Monitoring Your Own Conduct
493
6.
Strategies for Defending Visually Recorded Depositions
493
A.
Visually Record a Practice Session
493
B.
Ensuring Fair Visually Recordings
494
C.
Avoid Conferences While on the Record
496
D.
Make Objections as You Would Before a Jury
497
E.
Take Adequate Breaks
498
F.
Prohibit Improper Use of the Recording
498
pt. FOUR
DEFENDING DEPOSITIONS
ch. 23
Preparing Deponents
500
1.
Your Pre-Meeting Preparation
500
A.
Review the Validity of Document Requests
500
B.
Review Pertinent Documents
501
C.
Prepare a Case Chronology
501
D.
Help Identify FRCP 30(b)(6) Deponents
501
E.
Arrange to Meet the Client
502
2.
Tell Clients What Documents to Review
503
3.
Conducting Preparation Meetings
505
A.
Explain What a Meeting Entails
505
B.
Review a Client's Version of Events
506
C.
Briefly Explain What Will Occur During the Deposition
507
D.
Conduct a Practice Session
508
1.
Devote Practice Questioning to Selected Topics
509
2.
Explain the "Golden Rules" for Answering Questions
509
3.
Ask Questions as Deposing Counsel
513
4.
Improve Answers With Feedback and Advice
514
E.
Concluding Preparation Sessions
519
1.
Explain Objections and Instructions Not to Answer
520
2.
Final Instructions
520
4.
Preparation Meetings With Non-Clients
520
ch. 24
Defending Depositions
524
1.
Defending Depositions of Your Witnesses
525
A.
Objections
525
1.
Purpose of Objections
525
2.
"Curable" and "Non-Curable" Objections
529
a.
Objections That Commonly Are Curable
530
b.
Common "Incurable" Objections That You Can Raise Later Even if You Don't Make Them at Deposition
538
3.
Objections to Deponent's Improper Answer
540
4.
Objecting to Improve a Deponent's Answers
542
5.
Forgoing Objections
543
6.
Phrasing Objections Properly
545
B.
Instructions Not to Answer
547
1.
Instructions Not to Answer to Preserve a Privilege
548
2.
Instructions Not to Answer Based on a Prior Court Order
550
3.
Instructions Not to Answer to Suspend a Deposition to Seek a Protective Order
550
4.
Risks of Improper Instructions Not to Answer
551
5.
An "Early Warning System" Alternative Strategy
553
C.
Consulting With Deponents
556
1.
Conferences During Deposing Counsel's Examination
556
2.
Conferences During a Recess or Break
559
D.
Resolving Disputes Via Telephone
560
E.
Should You Ask Questions?
560
1.
The Deponent May Be Unavailable at Trial
561
2.
The Deponent's Answers Have Been Inaccurate
561
a.
Explicit Reference to Incorrect Testimony
563
b.
Cover Same Subject Matter
564
3.
Bringing Out Helpful Evidence
566
2.
Defending Non-Party Clients
567
3.
Defending Depositions When You Do Not Represent the Deponent
569
A.
Making Objections
569
B.
Instructions Not to Answer
570
C.
Consulting With a Neutral Witness During the Deposition
571
D.
Should You Question a Neutral Witness?
571
4.
Defending an Adversary's Deposition to Preserve Testimony
573
5.
Terminating a Deposition That Exceeds the "One Day of Seven Hours" Time Limit
574
6.
Requesting That the Deponent Have a Right to Review the Transcript
578
7.
Supplementing Deposition Testimony After the Deposition Is Signed
579
Index
583