Are Judicial Rulings Based Only on Facts and Law? Justice, Wheaties and Timeouts.

justice.jpgMost judges, lawyers and anyone that watched an episode of Matlock would suggest that judicial rulings are based solely on law and facts. After all, Justice is blind, and an objective Judiciary must apply facts to the law and render an impartial and unbiased decision.  The Economist’s column, “The Science of Justice,” discussed the findings of a study by Professors Shai Danziger, PhD in Cognitive Neuroscience, and Jonathan Levav, PhD in Marketing that researched extraneous factors in judicial decision making.  They found some startling information.

In order to test whether judges are prone to external influence, Danziger and Levav tested the age-old saying that “justice is what the judge ate for breakfast.”

Danziger and Levav spent 10 months documenting eight Israeli judges’ parole decisions.   After 10 months, the two professors had over 1,000 parole decisions to answer the question whether cereal2.jpgjustice depended on eating Wheaties.  They found that 2/3 of parole applications were granted at the start of the day and then would dramatically decline to zero right before the judges recessed.  It took the judges about 5 minutes to deny parole and over 7 minutes to grant parole. The judges would take a break and eat something, as soon as they returned, prisoners requesting leniency would again have the same statistical chance (2/3) to succeed and, as time progressed, diminish to zero.  The most important factor for those requesting parole was their order on the judges’ daily list.  Neither the severity of the original crime nor the ethnicity or gender of the parolee mattered in the judges’ decision making — only the snack break. 

Lady Justice may be blind but she needs a timeout to catch her breath and eat.

One of the suggested hypotheses, is that hard decisions and attendant thinking takes a toll.  As a result, the judges, like most people, get tired and seek easier solutions to lighten their mental load.  The Israeli judges took longer to render a decision to grant parole and, consistent with being tired,  did not grant parole (which took less time) as they approached a recess. Danziger and Levav suggest implementing mandatory breaks for judges.

The U.S. judicial system has an enormous strain from the volume of criminal and civil matters.  Judges may be evaluated more by a perception of efficiency than being judicious.   For instance,  Judge X has been assigned 100 matters this year and 50 are no longer active; therefore, the judge is doing her job.  Judges then begin to push juries and, equally important, themselves to keep up with the demand for final resolution. 

A timely example of the researchers’ findings:  Last Friday, during the closing arguments of the Galleon Trial, New York Times’ reporters Azhem Ahmed and Peter Lattman describe:

The jury’s patience with the nearly two-month long trial appeared to wear thin.  As Mr. Streeter [the  prosecutor] continued his summation past 5 p.m. — the hour at which the court usually breaks for the day — two jurors groaned.  Another rolled her eyes and put on her coat. 

There is no need to push our mental limits at the expense of justice. Lady Justice can do much better. Even Matlock got a commercial break.

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Posted in Prosecution & Defense

Galleon Trial: Declawing Cross Examination

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Last week during the insider-trading trial of Raj Rajaratnam, the defense called Rick Schutte, Galleon’s former president of U.S. operations.  Chad Bray of the Wall Street Journal wrote an informative article “Questions Over Defense Move: A Witness for Rajaratnam Stands to Gain by Managing the Suspect’s Money” which discussed Schutte’s trial testimony.  Schutte testified that Rajaratnam and his family invested approximately $25 million in Schutte’s investment fund, which has approximately  $35 million in assets under management, making the Rajaratnam family contribution roughly 70% of the total assets.  $15 million was invested by the Rajaratnam family 8 weeks before trial.  Schutte admitted he may earn an annual fee of $500,000 for managing the money.  There is nothing illegal about the investment relationship, it is just curious that the jury first heard about it during the prosecutor’s cross examination.

Typically, you want to volunteer the weaknesses of your case during direct examination.

Asking your witness about obvious credibility issues will declaw the anticipated cross examination.  FRE 607.  Timing is important.  Before you can deal your witness’s credibility you must first establish your witness is credible.  The jury needs to hear about your witness’s personal and professional background, the facts and reasons the witness is offering testimony and how the witness relates to the case. As the jurors are hearing from this witness for the first time, they are evaluating the witness and your witness must develop credibility through your direct examination. 

During your examination but neither at the beginning nor the end, you need to let the witness and the jury know you will be asking questions about bias.  You do this by headlining and letting the jury know you are moving to another chapter of the direct exam entitled –  “I want to talk about your financial relationship with Mr. Client”.   By that point, the jury is willing to listen to your witness’s facts and explanation of the relationship.

Galleon - WS Bull.jpgThe fact finder cannot forgive your witness without  a proper foundation of credibility. Ask your witness some  hard questions about the obvious credibility issues.  If you do, you dull the effect of cross examination since the jury will just think your adversary is revisiting a subject that has already been fully explained.  Hopefully, they’ll be yawning on cross from boredom.

On redirect, Schutte testified that Rajaratnam was not a friend and the two men did not golf or dine together.  He also told the jury that he was hired as a consultant by Galleon after the defendant’s arrest and earned $2,000,000 for his work.  He explained that the 2 million he received for 11 months of consulting was “substantially less” than his average compensation.  I hope Schutte fully explained why 2 million was such a discounted wage.  As expected, Schutte testified he was not offered anything in exchange for his testimony. All those obvious areas of inquiry should have been dealt with on direct examination. 

An advocate needs credibility with the jury throughout trial; an advocate’s credibility can flow to her client.  Allowing your adversary to challenge your witness on a point easily addressed on direct exam can damage that credibility.   The jury may believe you, your witness and your client are not credible.

 

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Posted in Trial

Corporate Mutiny of the Whistleblower’s Bounty

 

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Recently, GlaxoSmithKline agreed to pay $750 million to resolve criminal and civil charges brought by the Department of Justice (DOJ).  The case centered on the sale of contaminated products which were manufactured at a factory located in Puerto Rico.  As a result of the settlement, the whistleblower-former employee who provided information to the DOJ stands to be paid $96 million.  In terms of costs, the corporation paid a significant price for poor manufacturing procedures in not only the settlement amount but a drop in stock prices and possibly the confidence of patients and the government.  Similarly, the DOJ paid a king’s ransom to a fact witness with credible information.  Everyone paid a premium for information that was valuable.  One thing is certain, the price of that information should have been substantially less at the time it was first provided.  How much and who should pay?   

Consider this factual scenario: an employee is aware of wrongdoing at his employer’s factory.  The employee remembers from his orientation that his company has an ombudsperson that handles this type of thing.  Indeed, he remembers that the company may pay a “reward” for this type of information. The ombudsperson, has a duty to investigate all potential claims of fraud, misconduct, et al.  The ombudsperson gets a call from the employee stating there is a problem at the factory.  The employee is not a whistle-blower, but merely an honest employee that is following the company’s protocol.  The employee knows that the ombudsperson will take his concerns to management or, if the employee is management, to the Chief Ethics and Compliance Officer.  He also understands that he will not lose his job by reporting another employee’s misconduct.  Rather, the employee knows that reporting is a condition of employment.  The company’s compliance-reporting program is set in motion.  

A thorough and coordinated investigation is conducted by in-house counsel, outside counsel and forensic experts.  As a result, the factory resolves the problem.  The General Counsel reviews the investigation report findings, reports to the Board and a decision is made whether or not there is a need to contact the DOJ.   The company has spent some time and money investigating the information.  A small cost in comparison to the potential fines.   

Let’s assume the company wants to self-report to the DOJ.   The company resolves the matter with the DOJ by reimbursing the government and implementing better quality control procedures at the factory.  The information has resulted in a great outcome for both the company and the government.  The government pays nothing and is compensated fully for its losses. 

The company is grateful not to be on the front page of the Wall Street Journal for its manufacturing problem.  All the company has to do is pay the employee. The employee is rewarded with a merit bonus and raise for the valuable information.  The satisfied employee is commended and paid fairly. 

There is no need for the company or the DOJ to pay a bounty for credible information. 

We will discuss the Dodd-Frank Act in the near future which provides even more bounty to have employees go straight to the DOJ.

 


Comment from The Sidebar

 

To learn more history on the HMS Bounty click here

 

Photograph from http://www.watersportalmanak.nl/files/Image/Bounty.jpg


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Posted in Corporate Compliance

One Last Question.

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I recently attended a large event with a room filled with lawyers and judges.  One of the award recipients made the mistake of telling the audience that his acceptance speech was going to be quick and short.  It wasn’t.  Judges started to talk amongst themselves, glad-handing politicos started working the room and lawyers pulled out blackberries under the table.  So many attorneys bowed their heads that I thought it was a moment of silence or prayer.  Ultimately, the speech was well written but the speaker broke his promise to the audience.  

The event reminded me of how often a trial attorney tells the judge and jury that they have “one last question” or promises to be “brief” on rebuttal or re-direct.  In the history of jurisprudence, no lawyer has asked that 1 question.  I exaggerate, but it rarely happens. My guess is that every lawyer, before becoming a lawyer, watched a Hollywood movie in which Tom Cruise or Gregory Peck asked permission for “one last question” followed by a scripted, perfect answer. 

There are a few problems with saying you only have a single question or that you are interested in brevity.  First, you should never start by suggesting your examination should be limited by a certain number of questions.  You may have 50 questions depending on the witness’ answer!  Take the time necessary  — don’t self-hinder your ability to fully question a witness.  You don’t need to rush the witness off the stand.  There is no stop watch.  Second, the jury will be annoyed with you for not keeping your promise.  After asking your inevitable 2nd question, 3rd, 4th …  a bored juror will start to count the number of questions.  That juror will invariably find other jurors to participate in the counting game as your trial continues.  Manage the jury’s expectations with your advocacy not how much time you expect to take. 

Take your time and ask as many questions as you need. 

 

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Posted in Trial

Client Costs and Litigation Expenses: Ticket to Toledo

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I need to get to Toledo.  I can fly PennAir or OhioJet, same flight times.  I am a preferred member on PennAir and receive “free” upgrades, bonus miles, and all the things which make me believe PennAir prefers me.  PennAir wants to charge me $1,000 for the privilege of flying to the home of the Mud Hens while OhioJet will get me to the Glass City for only $200.

I came across Tim Harford’s column, Dear Economist: Do Loyalty Schemes Damage the Economy?, in the Financial Times. Harford discussed frequent-flyer programs that incentivize an employee selecting their preferred airline rather than the cheaper alternative to the detriment of their employer.  I got curious.  

Do I, as a lawyer, have an ethical obligation to find the lowest airfare? 

The ABA Model Rules of Professional Conduct were silent on the matter.  Rule 1.5 discussed the deduction of “expenses” from contingency fees and Rule 3.2 talked about a lawyer making reasonable efforts to “expedite” litigation.  Neither rule provided any guidance to whether I needed to check with OhioJet before booking on PennAir.  Am I less than zealous by not going to Priceline and obeying William Shatner?  My engagement letter to the client does refer to “reasonable costs” associated with the case.  Maybe I have a contractual duty to fly on the $200 ticket.  In rendering advice to my client, Rule 2.1 allows me to consider not only law but moral, economic, social and political factors relevant to my client’s situation. Should I apply the same factors to my purchase?

I may not have an ethical duty to do comparison shopping.  However, providing the best service to my client also means being efficient. Ultimately, my self interest in accumulating frequent-flyer miles on PennAir is contrary to my client’s financial interest not necessarily their legal interest. If the client raised a concern about my travel expenses, I would be hard-pressed to provide a satisfactory answer.  I could lose not only the trust of my client but my personal integrity.  If a family member told you that they would buy you a plane ticket, I expect the choice would be obvious.  Assuming you like that particular family member.  In the end, I have an obligation to my professional and personal reputation to buy the $200 ticket.  

Now that I’ve landed safely in Toledo, I just need to figure out what hotel I’m going to stay at, where I’m going to eat dinner and if the Mud Hens are playing.  Getting here was the easy part.

 


 COMMENT FROM THE SIDEBAR

What’s a Mud Hen?

According to Baseball-Reference.com  “The name Mud Hens caught on as a nickname during the 1896 season. Due to the City of Toledo’s Blue Laws, the team had to play its Sunday games at Bay View Park outside the city limits. Bay View Park was situated in a marsh that was heavily populated by the American Coot. Coots were commmonly known as Mud Hens, and the name stuck.”

Photo from Baseball-reference.com 

 


 

 

  

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Posted in Ethics & Professional Conduct

In Brief: 10 Qs to Jeff Davidson at Sun Studio, Memphis, TN

 

Interview with Jeff Davidson, Counsel and Supervising Producer

at Sun Studio Sessions, Memphis, TN

 

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1.   Why is Sun Studio called the “Birthplace of Rock N’ Roll”?

Sun Studio is called the “Birthplace of Rock’n’Roll for it’s unique and unparalleled contribution to American music history. In 1950, founder and rock and roll Hall of Famer Sam Phillips opened the studio and actively recruited blues musicians from Memphis’ famed Beale Street including a very young B.B. King and the legendary Howlin’ Wolf.  Those and other sounds led a group named Jackie Brentson and his Delta Cats to come to Sun in March of 1951 to record a song called “Rocket 88” – although the song went to number 1 on the R&B charts, a busted guitar amplifier over what became a standard rock back beat gave it the sound that many historians point to as the first ever “rock and roll” song.  This hit, and other sounds from the studio, caused a young Elvis Presley to walk in off the street to add his spin to the nascent genre.

 

2.   Do aspiring musicians still walk in off the street to be recorded at Sun?

Yes, anyone and everyone are welcome to come record.  People come from around the world to try to capture a little of the room’s magic.  Even U2 came back in the late 80s, to pay homage to the room’s history, and recorded three songs for their Rattle & Hum record including megahit “Angel of Harlem.”   Of course, they were already big stars by then.

 

3.   What is Sun Studio Sessions?

Sun Studio Sessions is a half hour television show featuring today’s rising artists performing in the very room where all that history was made.   Season 1 aired on 200+ stations in 2010 and Season 2 is distributing now. We’ve aired in many major markets like NYC, L.A., S.F., Dallas and of course Philadelphia.  WHYY and WHYY Arts have given great support and we expect to be back on their schedule for Season 2 later this spring.  

 

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Jakob Dylan and Jeff Davidson at Sun Studio
4.   How did you go from being a lawyer at the Federal Trade Commission to the music industry?

I had worked on the fringes of the industry helping out some bands and during my federal clerkship used my weekends to launch a small indie record  label that saw mixed results, but provided a great learning experience.

5.   What types of legal issues does Sun Studio deal with?

On a daily basis I’m reviewing, drafting and negotiating anything from artist appearance agreements, content licensing and distribution contracts to independent contractor agreements for various consultants. 

 

6.   How do you choose a lawyer to handle a matter for Sun?

Sun already had an outside counsel for primarily copyright issues when I arrived.  However, like any business today you need to look for a blend of competence and affordability.  It is tough for many businesses to keep up with large size legal fees of years gone by.   

 

7.   Any examples of lawyers behaving badly? Something that resonated with you that made you think “jerk” or “I’ll never do that.”

While at the Federal Trade Commission, I once deposed a partner from a prominent firm who was represented by a former state Attorney General.  The evasiveness and obfuscation were epic and ridiculous.  Good lawyers will deal with the facts they have and not try to hide the ball by bending the rules.  

 

8.   Where should we go to listen to live music in Memphis?

Beale Street still has great traditional blues music pretty much any night of the week and is right next to the heart of the business district. Great food too!

 

9.   Sun Studio has an incredible history, but what’s its future?

Sun does very well as an international tourist destination and the cycle of new artists coming through the doors via the Sun Studio Sessions show, along with others coming in to do the traditional paid recordings, keeps introducing the place to new generations of fans and musicians.   

 

10.   What do you want us to listen to right now?

Truth & Salvage, Co. – “She Really Does It For Me”.  

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706 Union Avenue, Memphis, TN 38103

 

 

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Posted in Interviews

CON MAN CLIENT

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New York Times reporters Eric Lichtblau and James Risen wrote a front-page article about Dennis Montgomery, a computer programmer, who received $20 million from the US Government for software that was supposed to thwart terrorism.  The article suggests that Mr. Montgomery’s technology may have been a hoax and that the DOJ has been obtaining protective orders to prevent disclosure.  Mr. Montgomery’s former lawyer was interviewed for the article.  His ex-counsel described Montgomery as a “con man.”  He then went on to say that “[t]he government knew the technology was bogus, but these guys got paid millions for it.”  I was curious whether Montgomery’s lawyer had, at best, a lapse in judgment and, at worst, violated his professional duties to his ex-client. 

ABA Model Rule of Professional Conduct 1.6 relating to confidentiality provides that a lawyer “shall not reveal information relating to the representation of a client.”  A lawyer is obligated to maintain that confidentiality to her former clients.  Rule 1.6 (a) and 1.9.  In addition,  a lawyer shall not “use information relating to the representation to the disadvantage of the former client.” Rule 1.9 (c)(2).  There are certain circumstances where a lawyer’s continued duty may be waived or permitted such as a claim of legal malpractice or ineffective assistance of counsel.  Rule 1.6 (b)(5).  Also, a client may give her lawyer informed consent to reveal confidential information.  Rule 1.6 (a).  These are pretty obvious and basic rules of our profession.  That is why I was surprised to read such an apparent gaffe with my morning coffee.

In all likelihood, the lawyer’s opinion that his ex-client is a “con man” was formed as a result of many privileged conversations.  If the attorney tried to use these words at trial, he would be offering an opinion about his past client’s character.  Federal Rule of Evidence 404 (a)(1) and 405 (a).  Counsel is not saying that his ex-client has a reputation in the community as being a con man. The attorney offers an opinion, a negative one, that his client is a con man.  If the lawyer was asked what foundation he had for such opinion evidence, the facts would come from the attorney-client relationship.  There is no way to isolate the attorney’s opinion from the relationship.  For example, assume the attorney believes his ex-client is a con man because he watched him toss weighted dice at the Bellagio.  His opinion would then be derived from personal knowledge unassociated with his legal representation.  Arguably, counsel’s demeaning con man comment was a breach of his duty to confidentiality since he did not formulate the opinion without talking to his ex-client as part of his legal representation.  His commentary that the technology was “bogus” clearly would not be advantageous to his ex-client if anyone involved with the contracts- especially the federal government– alleges fraud. 

I suppose you could apologize to your former client and explain that your front-page quote was a mistake made out of anger and frustration.  Maybe your ex-client owes you a substantial sum of money and is willing to forgive your grave error if you quit sending bills for past services rendered.  A very public and very demeaning comment about your ex-client may or may not cross the lines of legal ethics.  Regardless, there is an internet-search engine called “Google” and your potential clients use it to decide who to hire. 

Do you want to be on the front-page?  Of course you do!  Your comments to the media about former clients should be, at the very least, well-reasoned and preserve confidentiality.  At worst, make sure they are neutral and comport with your duties as a lawyer.   

Branding your ex-client as a criminal is professional seppuku.          Sevenm Samurai.jpg


  COMMENT FROM THE SIDEBAR

In Gotham: A History of New York City to 1898, Edwin G. Burrows and Mike Wallace explain the origin of the term “con man.”  In 1849, William Thompson started a conversation with a complete stranger and suggested that he knew him.  The stranger was embarrassed he did not remember Mr. Thompson.  Thompson asked the stranger if he could borrow the man’s watch for a night.  The embarrassed man, in an attempt to save face, gave Thompson the watch.  Thompson left with the watch.  Subsequently, the victim recognized Thompson on Broadway and had him arrested.  After hearing the story, a journalist called Thompson a “confidence-man”.  The term stuck.    


Photo http://uh.edu/engines/Seven_Samurai.jpg 

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Posted in Ethics & Professional Conduct

The King’s Speech – A Trial Lawyer’s Stutter

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By Dave Walton

The King’s Speech just won the Academy Award for Best Picture.  People are now interested in the story about King George VI who had a speech impediment (a stutter) and his fight to overcome his stutter and lead Great Britain during World War II.  This story hits home for me because I stutter.  My father, my brother both stutter too.  No one has been able to tell us why we do it or really how we even fix it.

Although I have mostly been able to reduce my stuttering, I still stutter.  After college, I tried to get several sales jobs and was told I shouldn’t be involved in sales because of my stutter.  When I told my family and friends I was going to law school, many of them raised their eyebrows.  Most assumed I would not do trial work.

In law school, during my first mock appellate argument, I remember being exhausted and I stuttered a lot more than normal.  The lawyer serving as the mock judge started crying in the middle of my argument.  Not a good sign since appellate advocking george - court room.jpgacy rarely evokes such emotion from the Bench.  I wondered if my argument was so poor that I brought her to tears. Turns out, she felt bad for me.  After this, I spoke to my professor about my oral argument.  He set me straight.  My professor said my stutter will be an advantage and a jury will listen more closely to me.  He explained that my stutter will help me connect with a jury.  He was right. 

Like a lot of lawyers in large firms, I wanted trial experience, but the opportunities were rare.  A number of years ago, I was lucky enough to get the chance.  I tried a lengthy jury trial and have tried many since. After the trial, a group of jury members walked over to me.  I didn’t know what to expect  and was a little nervous.  One juror told me that they really respected me because they knew that I had a stutter.  They stressed that my stutter was minor but that they noticed it and that they talked about it.  The jurors said they admired my courage in being a trial lawyer.  I was surprised and a little embarrassed by the jurors’ comments.  My first thought was, I don’t remember stuttering that much.  As the jurors walked away from me, I realized that I had something that was natural and genuine.  It was an epiphany – my stutter was a great gift.

This might be a feel-good story, but what does it mean for you?  I am not suggesting that you should develop a stutter as a form of jury persuasion.  If you do anything fake or insincere the jury will see through it.  Never underestimate a jury’s power of perception.  They “see” everything.  Be yourself.  Everything about you and your personal style can be a strength.  It doesn’t mean you shouldn’t identify your weaknesses and work on them – but don’t obsess about them.  Instead, develop an unshakable strong belief in yourself.   

I wouldn’t change a thing about my stutter.  It has made me tough; it has taught me how to fight through adversity.  Yet, everyone who is reading has something in their life like stuttering that they’ve had to overcome. The key is to use those experiences as strengths in a courtroom and provide the confidence to be yourself.  So if you’re like me and you’re not a silver-tongued lawyer, just know it doesn’t matter.  It does not matter one iota. 

By the way, the jury did return a verdict in favor of my client in the case. At the time, it was the largest trade-secret verdict in the Commonwealth of Pennsylvania.  

 

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Dave Walton is a partner in Cozen O’Connor’s Labor & Employment Practice Group and co-chair of the firm’s E-Discovery Task Force. 


 

 Comment From the Sidebar

If you are interested in listening to King George’s broadcast speech to the British Empire at the outbreak of war with Germany on September 3, 1939 click the link below: http://www.bbc.co.uk/archive/ww2outbreak/7918.shtml


 

Photograph of King George VI http://historical.ws/king_george_vi.htm

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Posted in Trial

Changes, Cha-Cha-Changes – Deponent review and signature

Judge Martin C. Carlson of the Middle District of PA, sanctioned two non-party witnesses for providing false and misleading deposition testimony. According to Judge Carlson’s opinion the witnesses’ lies were not revealed until errata sheets were submitted by defense counsel.  It reminded me of how often lawyers provide inadequate instructions to a witness about reviewing his or her transcript.  Many lawyers will tell a deposition witness that they can review the transcript for any inaccuracies, mistakes or typographical errors.   Such instructions are a mistake in law and advocacy.  You want the deponent to sign the transcript and you are not afraid of any changes the deponent may make to his testimony.

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Rule 30(e)(1) of the Federal Rules of Civil Procedure requires that the deponent or party must request that the transcript be reviewed for any changes.  Once the request has been made at the deposition, the deponent has thirty days, after being notified by the court reporter, to review the transcript. Pursuant to Rule 30 (e)(1)(B), the deponent must sign a statement (i.e. errata sheet) listing any changes in form or substance and the reasons for making the changes.

A fair and complete Rule 30 (e) request goes something like this: 

The court reporter has transcribed every question I asked and every answer you provided during this deposition.  The court reporter will send your lawyer a transcript of this deposition.jpgdeposition.  Once your lawyer receives the transcript, you have 30 days to review the transcript with your lawyer and make ­any changes you want to your answers.  You will make those changes on something called an errata sheet.  I’m showing you an example of an errata sheet. On this side of the form you can change your answer and explain the reason you made your changes. After you have completed your review, you must sign the bottom of the errata sheet.  Do you have any questions about your review of the transcript?   

Your Rule 30 (e) deponent-review request is imperative.  Your ability to effectively impeach at trial will include letting the jury know that the witness had ample opportunity to cure his inconsistent statement.  Bring a sample errata sheet to the deposition to show the witness when you are providing the above Rule 30 (e) request.  Also, invite the deponent to make changes – as an advocate, you welcome two different answers to the same question! 

A deponent’s answers will not necessarily end at the conclusion of the deposition.

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Posted in Depositions

Impeachment on Direct – How to deal with unexpected testimony on direct examination – Part 2

Impeachment on Direct

How to deal with unexpected testimony on direct examination – Part 2

lady of justice - unexpected testimony (use this one).JPGYou call your last witness and things are going great.  A verdict in your client’s favor will be soon to follow.  All you have to do is establish that there was moonlight. 

Counsel: Was there moonlight at the time you saw the accident?

Opposing Counsel: Objection.  Leading and lacks foundation.

Court:  Overruled.

Witness: It was the sun.

Counsel:  Are you sure?

Opposing Counsel: Objection.  Asked and answered and leading.

Court: Sustained.                                                                                                                                                                                                                                                                                                               

The witness had previously said there was moonlight.  Invariably, your next question is “didn’t you testify that” and before you can finish the question your adversary stands up and objects.  The objection is sustained followed by deafening courtroom silence.  Before you say another word, you need to decide whether the witness:  (1) forgot that there was moonlight or; (2) believes it is the sun. 

• Impeachment •

We previously discussed helping the witness remember under FRE 612. Alternatively, If the witness insists that there was sunlight, you need to impeach.  At the moment the witness gives you an unexpected and inconsistent answer, she is hostile to you.  Your instinct is to pounce and ask leading questions. Your adversary is grinning like a Cheshire cat waiting to object to your next question.  You call a sidebar and tell the judge that the witness is a dirty-rotten scoundrel!  Meanwhile, the jury is chewing on the witness’s last answer while watching you squirm.  

It is a common mistake to believe that impeachment is solely reserved for cross examination.  You may impeach on direct.  Federal Rule of Evidence 607 provides that: “the credibility of a witness may be attacked by any party, including the party calling the witness.”  The manner in which you impeach, at least to start, must be with non-leading questions pursuant to Federal Rule of Evidence 611 (c).  If you want to ask leading questions, you need to establish through non-leading questions, that the witness is actually hostile towards you or your client.  A typical example is a former employee of your client that has an axe to grind.  If you cannot get the witness to openly express antagonism, just impeach with non-leading questions.  Below are examples of questions you should ask the witness:

  • Mrs. Witness, did you provide a statement to the police an hour after the accident?
  • Did you want to provide the police officer with accurate details of the accident?
  • Did you provide the police officer with honest answers?
  • Did you review your statement with the police officer?
  • Did you read your statement to make sure you provided an accurate account of the accident?
  • Did you sign the statement after you reviewed it?
  • Your honor, may I approach the witness?  Witness, showing you what has been previously marked as Exhibit X.  Is that your signature?
  • What is the date next to your signature?
  • Directing your attention to paragraph 3 of Exhibit X.  Did you tell the police officer there was moonlight at the time of the accident?       

You have impeached the credibility of your witness on direct with the use of a prior inconsistent statement pursuant to Federal Rule of Evidence 613 (a).  The moon is still full and your case is still bright.    

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Posted in Trial
About the Editor
Hayes Hunt concentrates his practice in the representation of individuals, corporations and executives in a wide variety of federal and state criminal law and regulatory enforcement matters as well as complex civil litigation. Hayes is a partner in the firm's Commercial Litigation Department as well as its Criminal Defense and Governmental Investigations Group.
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