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Full Opinion
MEMORANDUM OPINION AND ORDER REGARDING SANCTIONS
TABLE OF CONTENTS
I. PROCEDURAL HISTORY 598
II. ANALYSIS..............................................................598
A. Standards for Deposition Sanctions...................................598
B. Deposition Conduct..................................................600
1. âFormâ Objections...............................................600
2. Witness Coaching................................................604
3. Excessive Interruptions..........................................609
C. Appropriate Sanction................................................609
III. CONCLUSION................... ......................................611
Something is rotten, but contrary to Marcellusâs suggestion to Horatio, itâs not in Denmark.
Discovery â a process intended to facilitate the free flow of information between parties â is now too often mired in obstructionism. Todayâs âlitigatorsâ are quick to dispute discovery requests, slow to produce information, and all-too-eager to object at every stage of the process. They often object using boilerplate language containing every objection imaginable, despite the fact that courts have resoundingly disapproved of such boilerplate objections.
But the litigators and trial lawyers do not deserve all the blame for obstructionist discovery conduct because judges so often ignore this conduct,
While obstructionist tactics pervade all aspects of pretrial discovery, this case involves discovery abuse perpetrated during depositions. Earlier this year, in preparation for a hard-fought product liability jury trial, I was called upon by the parties to rule on numerous objections to deposition transcripts that the parties intended to use at trial. I noticed that the deposition transcripts were littered with what I perceived to be meritless objections made by one of the defendantâs lawyers, whom I refer to here as âCounsel.â I was shocked by what I read. Thus, for the reasons discussed below, I find that Counselâs deposition conduct warrants sanctions.
I do not come to this decision lightly. Counselâs partner, who advocated for Counsel during the sanctions hearing related to this case (and who is one of the best trial lawyers I have ever encountered), urged that sanctions by a federal judge, especially on a lawyer with an outstanding career, like Counsel, should be imposed, if at all, with great hesitation and a full appreciation for how a serious sanction could affect that lawyerâs career. I wholeheartedly agree. I am still able to count each of the sanctions I have imposed on lawyers in my twenty years as a district court judge on less than all the fingers of one hand. Virtually all of those
I. PROCEDURAL HISTORY
This matter arises out of a product liability case tried to a jury in January of 2014. Plaintiff Security National Bank (SNB), acting as conservator for a minor child, J.M.K., sued Defendant Abbott Laboratories (Abbott), claiming that J.M.K. suffered permanent brain damage after consuming baby formula, produced by Abbott, that allegedly contained a dangerous bacteria called enterobacter sakazakii. SNB went to trial against Abbott on design defect, manufacturing defect, and warning defect claims. On January 17, 2014, a jury found in favor of Abbott on SNBâs product liability claims. The Clerk entered judgment in favor of Abbott on January 21, 2014.
During the trial, I addressed Counselâs conduct in defending depositions related to this ease. Specifically, I filed a sua sponte order to show cause as to why I should not sanction Counsel for the âserious pattern of obstructive conductâ that Counsel exhibited during depositions by making hundreds of âformâ objections that ostensibly lacked a valid basis. Because I did not want to burden Counsel with the distraction of a sanctions hearing during trial, I suggested we table any discussion of sanctions until after the trial was over. Thus, the same day the judgment was filed, I entered a supplemental order to show cause, ordering Counsel to address three issues that potentially warrant sanctions: (1) Counselâs excessive use of âformâ objections; (2) Counselâs numerous attempts to coach witnesses; and (3) Counselâs ubiquitous interruptions and attempts to clarify questions posed by opposing counsel. My supplemental order focused on Counselâs conduct in defending two particular depositions â those of Bridget Barrett-Reis and Sharon Bottock â but I noted that I would consider any relevant depositions in deciding whether to impose sanctions. On January 24, 2014, Counsel requested a substantial extension of time to respond to my supplemental order, which I granted. On April 21, 2014, Counsel responded to my supplemental order to show cause. My chambers later contacted Counsel to set this matter for telephonic hearing. Counsel requested another one-month delay, which I granted. Counsel filed an additional brief on July 9, 2014, and the hearing was finally held on July 17, 2014. During the hearing, I requested that Counsel follow up with an e-mail suggesting an appropriate sanction, should I decide to impose one. On July 21, 2014, Counselâs partner sent an e-mail to me declining to suggest a sanction, and urging me not to impose sanctions.
After reviewing Counselâs submissions, I find that Counselâs conduct during depositions warrants sanctions. I discuss below the basis for imposing sanctions and the particular sanction that I deem appropriate in this case.
II. ANALYSIS
A. Standards for Deposition Sanctions
âIt is well established that a federal court may consider collateral issues [like sanctions] after an action is no longer pending.â Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 395, 110 S.Ct. 2447, 110 L.Ed.2d 359 (1990). Because Counselâs deposition conduct is at issue here, Federal Rule of Civil Procedure 30 applies. Rule 30(d)(2) provides: âThe court may impose an appropriate sanction â including the reasonable expenses and attorneyâs fees incurred by any party â on a person who impedes, delays, or
District courts also have a â âwell-acknowledgedâ inherent power ... to levy sanctions in response to abusive litigation practices.â Roadway Exp., Inc. v. Piper, 447 U.S. 752, 765, 100 S.Ct. 2455, 65 L.Ed.2d 488 (1980). âA primary aspect of that [power] is the ability to fashion an appropriate sanction for conduct which abuses the judicial process.â Chambers v. NASCO, Inc., 501 U.S. 32, 44-45, 111 S.Ct. 2123, 115 L.Ed.2d 27 (1991). â[T]he inherent power of a court can be invoked even if procedural rules exist which sanction the same conduct.â Id. at 49, 111 S.Ct. 2123.
Counsel incorrectly argues â -without citing to any dispositive authority- â that I may not impose sanctions sua sponte under Rule 30(d)(2). Because SNBâs lawyers did not file a motion for sanctions, Counsel argues that I am without power to impose them under the Federal Rules.
The rule also explicitly authorizes the court to impose the cost resulting from obstructive tactics that unreasonably prolong a deposition on the person engaged in such obstruction. This sanction may be imposed on a non-party witness as well as a party or attorney, but is otherwise congruent with Rule 26(g).
Fed.R.Civ.P. 30, advisory committee notes (1993 amendments). Under Rule 26(g), courts may issue sanctions sua sponte: âIf a certification violates this rule without substantial justification, the court, on motion or on its own, must impose an appropriate sanction on the signer, the party on whose behalf the signer was acting, or both.â Fed. R. Civ.P. 26(g)(3) (emphasis added). In addition to Rule 30(d)âs text and the advisory committee notes, the United States Supreme Court has noted that âcourt[s] generally may act sua sponte in imposing sanctions under the Rules.â Chambers, 501 U.S. at 43 n. 8, 111 S.Ct. 2123; see also Jurczenko v. Fast Prop. Solutions, Inc., No. 1:09 CV 1127, 2010 WL 2891584, at *2-4 (N.D.Ohio July 20, 2010) (imposing sanctions under Rule 30(d)(2) where party moved for sanctions only under Rule 37(d)). And even if I lacked the power to issue sanctions under Rule 30(d), I would retain the authority to sanction Counsel under my inherent power. See In re Itel Sec. Litig., 791 F.2d 672, 675 (9th Cir. 1986) (âSanctions may also be awarded sua sponte under the courtâs inherent power.â (citing Roadway Exp., 447 U.S. at 765, 100 S. Ct. 2455)).
Counsel also claims to have acted in good faith during the depositions related to this case. Even if that is true, it is inapposite. In imposing sanctions under either Rule 30(d)(2) or my inherent power, I need not find that Counsel acted in bad faith. â[T]he imposition of sanctions under Federal Rule[ ] of Civil Procedure 30(d)(2) ... does
The Eighth Circuit Court of Appeals âreview[s] the imposition of discovery sanctions for an abuse of discretion.â Craig v. St. Anthonyâs Med. Ctr., 384 Fed.Appx. 531, 532 (8th Cir.2010).
B. Deposition Conduct
In defending depositions related to this case, Counsel proliferated hundreds of unnecessary objections and interruptions during the examinerâs questioning. Most of these objections completely lacked merit and often ended up influencing how the witnesses responded to questions. In particular, Counsel engaged in three broad categories of improper conduct. First, Counsel interposed an astounding number of âformâ objections, many of which stated no recognized basis for objection. Second, Counsel repeatedly objected and interjected in ways that coached the witness to give a particular answer or to unnecessarily quibble with the examiner. Finally, Counsel excessively interrupted the depositions that Counsel defended, frustrating and delaying the fair examination of witnesses. I will address each category of conduct in turn.
1. âFormâ Objections
In the two depositions I asked Counsel to review in my order to show cause, Counsel objected to the. âformâ of the examinerâs question at least 115 times. That means that Counselâs âformâ objections can be found on roughly 50% of the pages
In addition to the sheer number of âformâ objections Counsel interposed, Counsel also demonstrated the âformâ objectionâs considerable range, using it for a number of purposes. For example, Counsel used âformâ objections to quibble with the questionerâs word choice (for no apparent reason, other than, perhaps, to coach the witness to give a desired answer):
*601 Q. Would it be fair to say that in your career, work with human milk fortifier has been a significant part of your job? COUNSEL: Object to the form of the question. âSignificant,â itâs vague and ambiguous. You can answer it.
A. Yeah, I canât really say itâs been a significant part. Itâs been a part of my job, but âsignificantâ is rather difficult because I have a wide range of things that I do there.
(Barrett-Reis Depo. 56:19 to 57:4).
Q. Are there certain levels that one can get, that have catwalks or some similar apparatus so I can get to the dryer?
A. The dryer is totally enclosed. You cannot get into the dryer from any of the levels.
Q. Can I get on the outside of the dryer? COUNSEL: Object to the form of the question; outside of the dryer? Everything is â I mean, outside of the dryer is a huge expanse of space; anything thatâs not inside the dryer is outside the dryer, so I object to it as vague and ambiguous. Object to the form of the question.
A. Rephrase the question.
(Bottock Depo. 130:3-15). Counsel also used âformâ objections to break new ground, inventing novel objections not grounded in the rules of evidence or common law:
Q. Are you familiar with the term âimmunocompromisedâ?
A. Yes.
Q. And that would include premature babies?
COUNSEL: Object to the form of the question, âthat would include premature babies?â Itâs a non sequitur.12
(Barrett-Reis Depo. 54:15-21). (In case there is any doubt, non sequitur is not a proper objection.) But, whatever their purpose, Counselâs âformâ objections rarely, if ever, followed a truly objectionable question.
In my view, objecting to âformâ is like objecting to âimproperâ â it does no more than vaguely suggest that the objector takes issue with the question. It is not itself a ground for objection, nor does it preserve any objection. Instead, âformâ objections refer to a category of objections, which includes objections to âleading questions, lack of foundation, assuming facts not in evidence, miseharacterization or misleading question, non-responsive answer, lack of personal knowledge, testimony by counsel, speculation, asked and answered, argumentative question, and witnessâ answers that were beyond the scope of the question.â NGM Ins. Co. v. Walker Const. & Dev., LLC, No. 1:11-CV-146, 2012 WL 6553272, at *2 (E.D.Tenn. Dec. 13, 2012). At trial, when I asked Counsel to define what âformâ objections entail, Counsel gave an even broader definition. Counsel first stated simply, âI know it when I hear it.â Counsel then settled on the barely narrower definition that âformâ objections include âanything that can be remedied at the time of the deposition so that you do not waive the objection if the deposition is used at a hearing or trial.â Given that âformâ may refer to any number of objections, saying âformâ to challenge a leading question is as useful as saying âexceptionâ to admit an excited utterance.
An objection at the time of the examination â whether to evidence, to a partyâs conduct, to the officerâs qualifications, to the manner of taking the deposition, or to any other aspect of the deposition â must be noted on the record, but the examination still proceeds; the testimony is taken subject to any objection. An objection must be stated concisely in a nonargumentative and nonsuggestive manner.
The advisory committee notes clarify the types of objections that must be noted on a deposition record:
While objections may, under the revised rule, be made during a deposition, they ordinarily should be limited to those that under Rule 32(d)(3) might be waived if not made at that time, i.e., objections on grounds that might be immediately obviated, removed, or cured, such as to the form of a question or the responsiveness of an answer.
Fed.R.Civ.P. 30, advisory committee notes (1993 amendments) (emphasis added). These notes refer to Rule 32(d)(3), which provides that certain objections are waived if not made during a deposition:
An objection to an error or irregularity at an oral examination is waived if:
(i) it relates to the manner of taking the deposition, the form of a question or answer, the oath or affirmation, a partyâs conduct, or other matters that might have been corrected at that time; and
(ii) it is not timely made during the deposition.
Fed.R.Civ.P. 32(d)(3)(B) (emphasis added). Together, these rules provide that any objection to the form of a question must be made on the record at a deposition, or that objection is waived.
But these rules do not endorse the notion that âformâ is a freestanding objection. They simply describe categories of objections â like those to the form of a questionâ that must be noted during a deposition. Nothing about the text of Rules 30 or 32 suggests that a lawyer preserves the universe of âformâ objections simply by objecting to âform.â I agree with my colleague, Magistrate Judge Scoles, in his analysis of this issue:
[Some] contend that the objection should be limited to the words âI object to the form of the question.â The Rule, however, is not so restrictive. Rather, it simply provides that the objection must be âstated concisely in a nonargumentative and non-suggestive manner.â ... [T]he general practice in Iowa permits an objector to state in a few words the manner in which the question is defective as to form (e.g., compound, vague as to time, misstates the record, etc.). This process alerts the questioner to the alleged defect, and affords an opportunity to cure the objection.
Rakes v. Life Investors Ins. Co. of Am., No. C06-0099, 2008 WL 429060, at *5 (N.D.Iowa Feb. 14, 2008); see also Cincinnati Ins. Co. v. Serrano, No. 11-2075-JAR, 2012 WL 28071, at *5 (D.Kan. Jan. 5, 2012) (âAlthough the [rules] talk about objections based on the âformâ of the question (or responsiveness of the answer), this does not mean that an objection may not briefly specify the nature of the form objection (e.g. âcompound,â âleading,â âassumes facts not in evidenceâ).â). I would go further, however, and note that lawyers are required, not just permitted, to state the basis for their objections.
Moreover, âformâ objections are inefficient and frustrate the goals underlying the Federal Rules. The Rules contemplate that objections should be concise and afford the examiner the opportunity to cure the objection. See Fed.R.Civ.P. 30(c)(2) (noting that âobjection[s] must be stated conciselyâ); id., advisory committee notes (1993 amendments) (noting that â[depositions frequently have been unduly prolonged ... by lengthy objections and colloquyâ and that objections âordinarily should be limited to those ... grounds that might be immediately obviated, removed, or cured, such as to the form of a questionâ). While unspecified âformâ objections are certainly concise, they do nothing to alert the examiner to a questionâs alleged defect. Because they lack specificity, âformâ
Additionally, it is difficult, if not impossible, for courts to judge the validity of unspecified âformâ objections:
[Ujnless an objector states with some specificity the nature of his objection, rather than mimicking the general language of the rule, i.e., âobjection to the form of the question,â it is impossible to determine, based upon the transcript of the deposition itself, whether the objection was proper when made or merely frivolous.
Mayor & City Council of Baltimore v. Theiss, 354 Md. 234, 729 A.2d 965, 976 (1999). When called upon to rule on an unspecified âformâ objection, a judge either must be clairvoyant or must guess as to the objectionâs basis. Neither option is particularly realistic or satisfying. This is reason enough to require a specific objection.
Requiring lawyers to state the basis for their objections is not the same thing as requiring âspeaking objectionsâ in which lawyers amplify or argue the basis for their objections. For example, âObjection, hearsayâ is a proper objection. By contrast, âObjection, the last assertion by Mr. Jones was an out-of-court statement by Ms. Day, said in the hotel room, that Mr. Jones allegedly heard, that he never testified to in a deposition, and that is now being offered for the truth of Ms. Dayâs statementâ is an improper speaking objection. I have always required the former and barred the latter.
I recognize, however, that not all courts share my views regarding âformâ objections. In fact, some courts explicitly require lawyers to state nothing more than unspecified âformâ objections during depositions. See Offshore Marine Contractors, Inc. v. Palm Energy Offshore, L.L.C., No. CIV.A. 10-4151, 2013 WL 1412197, at *4 (E.D.La. Apr. 8, 2013) (âThe Court finds that the behavior of counsel for OMC does not warrant sanctions here. Indeed, most of the objections by OMCâs counsel are simple form objections with no unwarranted, lengthy speaking objections.â); Serrano, 2012 WL 28071, at *5 (âBut such an objection [to a vague question] to avoid a suggestive speaking objection should be limited to an objection âto form,â unless opposing counsel requests further clarification of the objection.â); Druck Corp. v. Macro Fund (U.S.) Ltd., No. 02 CIV. 6164(RO)(DFE), 2005 WL 1949519, at *4 (S.D.N.Y. Aug. 12, 2005) (âAny âobjection as to formâ must say only those four words, unless the questioner asks the objector to state a reason.â); Turner v. Glock, Inc., No. CIV.A. L02CV825, 2004 WL 5511620, at *1 (E.D.Tex. Mar. 29, 2004) (âAll other objections to questions during an oral deposition must be limited to âObjection, leadingâ and âObjection, form.â These particular objections are waived if not stated as phrased above during the oral deposition.â); Auscape Intâl v. Natâl Geographic Socây, No. 02 CIV. 6441(LAK), 2002 WL 31014829, at *1 (S.D.N.Y. Sept. 6, 2002) (âOnce counsel representing any party states, âObjectionâ following a question, then all parties have preserved all possible objections to the form of the question unless the objector states a particular ground or grounds of objection, in which case that ground or those grounds alone are preserved.â); In re St. Jude Med., Inc., No. 1396, 2002 WL 1050311, at *5 (D.Minn. May 24, 2002) (âObjecting counsel shall say simply the word âobjectionâ, and no more, to preserve all objections as to form.â).
But, because there is authority validating âformâ objections, I do not impose sanctions based on the fact that Counsel used these objections while defending depositions. Counselâs âformâ objections, however, amplified two other issues: witness coaching and
2. Witness Coaching
While there appears to be disagreement about the validity of âformâ objections, the law clearly prohibits a lawyer from coaching a witness during a deposition. Under Rule 30(c)(2), deposition âobjection[s] must be stated concisely in a nonargumentative and nonsuggestive manner.â See also Fed. R.Civ.P. 30, advisory committee notes (1993 amendments) (âDepositions frequently have been ... unfairly frustrated, by lengthy objections and colloquy, often suggesting how the deponent should respond.â). This clause mandates what should already be obviousâ lawyers may not comment on questions in any way that might affect the witnessâs answer:
The Federal Rules of Evidence contain no provision allowing lawyers to interrupt the trial testimony of a witness to make a statement. Such behavior should likewise be prohibited at depositions, since it tends to obstruct the taking of the witnessâs testimony. It should go without saying that lawyers are strictly prohibited from making any comments, either on or off the record, which might suggest or limit a witnessâs answer to an unobjectionable question.
Hall v. Clifton Precision, 150 F.R.D. 525, 530-31 (E.D.Pa.1993); see also Specht v. Google, Inc., 268 F.R.D. 596, 598 (N.D.Ill. 2010) (âObjections that are argumentative or that suggest an answer to a witness are called âspeaking objectionsâ and are improper under Rule 30(c)(2).â).
Despite the Federal Rulesâ prohibition on witness coaching, Counselâs repeated interjections frequently prompted witnesses to give particular, desired answers to the examinerâs questions. This happened in a number of ways. To start, Counsel often made âclarification-inducingâ obj ections â obj eetions that prompted witnesses to request that the examiner clarify otherwise cogent questions. For example, Counsel regularly objected that questions were âvague,â called for âspeculation,â were âambiguous,â or were âhypothetical.â These objections usually followed completely reasonable questions. But, after hearing these objections, the witness would usually ask for clarification, or even refuse to answer the question:
Q. Is there â do you believe that thereâs â if thereâs any kind of a correlation that could be drawn from OAL environmental samples to the quality of the finished product?
COUNSEL: Objection; vague and ambiguous.
A. That would be speculation.
Q. Well, if there were high numbers of OAL, Eb samples in the factory, wouldnât that be a cause for concern about the microbiological quality of the finished product?
COUNSEL: Object to the form of the question. Itâs a hypothetical; lacks facts. A. Yeah, those are hypotheticals.
Q. Would that be a concern of yours? COUNSEL: Same objection.
A. Not going to answer.
Q. Youâre not going to answer?
A. Yeah, I mean, itâs speculation. It would be guessing.
COUNSEL: You donât have to guess. (Bottock Depo. 106:24 to 108:2). While it is impossible to know for certain what a witness would have said absent Counselâs objections, I find it inconceivable that the witnesses deposed in this case would so regularly request clarification were they not tipped-off by Counselâs objections. See McDonough v. Keniston, 188 F.R.D. 22, 24 (D.N.H.1998) (âThe effectiveness of [witness] coaching is clearly demonstrated when the [witness] subsequently adopts his lawyerâs coaching and complains of the broadness of the question .... â); Cordova v. United States, No. CIV.05 563 JB/LFG, 2006 WL 4109659, at *3 (D.N.M. July 30, 2006) (awarding sanctions
These same objections spilled over into the trial. The following colloquy occurred during the plaintiffs cross-examination of Counselâs expert:
Q. ... Isnât [J.M.K.âs mother] saying that every time she used a bottle she boiled it first?
COUNSEL: Your Honor, I would just object that in the â itâs not clear from the context of this one page or several pages what it is theyâre talking about in terms of which feedings, if he can point it out to him.
THE COURT: And so what is the nature of that objection? I havenât ever heard that one before.
COUNSEL: Itâs confusing.
THE COURT: Well, it may be confusing to you, but he didnât ask the question to you. He asked it of the witness.
COUNSEL: Okay. Might be confusing to the witness.
THE COURT: Yeah, thatâs suggesting an answer which is exactly the problem I had with your depositions.
COUNSEL: I would just object to the form of the question then, Your Honor.
THE COURT: Thatâs not a proper objection, so itâs overruled.
A. As I read this, I canât be certain as to what exactly sheâs referring to at what point here.
Once again, after Counselâs objection suggested that the question âmightâ confuse the witness, the witness replied that he â[couldnât] be certainâ as to what was being asked.
But perhaps the most egregious examples of clarification-inducing objections arose when Counsel defended the deposition of Sharon Bottock. During that deposition, Counsel lodged no fewer than 65 âformâ objections, many of which did not specify any particular basis. Immediately after most of these âformâ objections, the witness gave the seemingly Pavlovian response, âRephrase.â At times, the transcript feels like a tag-team match, with Counsel and witness delivering the one-two punch of âobjectionâ â ârephraseâ:
Q. ... Iâm wondering if you could perhaps in a ... little bit less technical language explain to me what theyâre talking about in that portion of the exhibit. COUNSEL: Object to the form of the question.
A. So rephrase.
Q. Could you tell me what theyâre saying here?
COUNSEL: Same objection.
A. Rephrase it again.
Q. So it â thatâs what theyâre talking about, the two types, the finished product and the overs? Does it separate those two things?
A. Yes.
Q. Whatâs an âoverâ?
COUNSEL: Object to the form. He doesnât want you to characterize it. He wants to know whatâs it made out of, I think.14
Q. I mean, is it too big?
COUNSEL: Object to the form of the question.
A. Rephrase.
(Bottock Depo. 58:20 to 59:25). Note the witnessâs first answer in this colloquy: So rephrase. The witnessâs language makes clear that she is requesting â actually, commanding â the examiner to rephrase based on Counselâs objection.
These clarification-inducing objections are improper. Unless a question is truly so vague or ambiguous that the defending lawyer cannot possibly discern its subject matter, the defending lawyer may not suggest to the witness that the lawyer deems the question to be unclear. Lawyers may not object simply because they find a question to be vague, nor may they assume that the witness will not understand the question. The witness â not the lawyer â gets to decide whether he or she understands a particular question:
*606 Only the witness knows whether she understands a question, and the witness has a duty to request clarification if needed. This duty is traditionally explained to the witness by the questioner before the deposition. If defending counsel feels that an answer evidences a failure to understand a question, this may be remedied on cross-examination.
Serrano, 2012 WL 28071, at *5; see also Hall, 150 F.R.D. at 528-29 (âIf the witness does not understand the question, or needs some language further defined or some documents further explained, the witness can ask the deposing lawyer to clarify or further explain the question. After all, the lawyer who asked the question is in a better position to explain the question than is the witnessâs own lawyer.â (footnote omitted)); Peter M. Panken & Mirande Valbrune, Enforcing the Prohibitions Against Coaching Deposition Witnesses, Prac. Litig., Sept. 2006, at 15, 16 (âIt is improper for an attorney to interpret that the witness does not understand a question because the lawyer doesnât understand a question. And the lawyer certainly shouldnât suggest a response. If the witness needs clarification, the witness may ask the deposing lawyer for clarification. A lawyerâs purported lack of understanding is not a proper reason to interrupt a deposition.â).
Counselâs clarification-inducing objections are reminiscent of the improper objections at issue in Phillips v. Manufacturers Hanover Trust Co., No. 92 CIV. 8527(KTD), 1994 WL 116078 (S.D.N.Y. Mar. 29, 1994). In Phillips, a lawyer
objected or otherwise interjected during [the examinerâs] questioning of the deponent at least 49 times though the deposition lasted only an hour and a half. Indeed, approximately 60 percent of the pages of the transcript contain such interruptions. Many of these were objections as to form, which are waived if not made at the deposition, Fed.R.Civ.P. 32(d)(3)(B), but on numerous occasions [the lawyerâs] objections appeared to have no basis____ Moreover, after 21 of [the lawyerâs] objections as to form, the deponent asked for clarification or claimed he did not understand the question____ [The lawyer] objected as to form, and the deponent then stated he did not understand the question, subsequently asking that it be narrowed.
Id. at *3. In considering whether to impose sanctions, the court described the lawyerâs conduct as âinappropriateâ and âobnoxious.â Id. The court also noted that the lawyerâs conduct frustrated the deposition:
Such interplay clearly did hamper the free flow of the deposition. Rather than answer [the examinerâs] questions to the best of his ability, the deponent hesitated, asking for clarification of apparently unambiguous questions____ In addition, the deponent asked for such clarifications almost exclusively after [the lawyer] objected or interrupted in some fashion.
Id. Finally, the court recognized that the lawyerâs conduct violated Rule 30, but chose not to impose sanctions because, at the time, Rule 30 was newly amended and because the examiner was able to finish the deposition. Id. at *4. The court warned, however, that âa repeat performance [would] result in sanctions.â Id.
Like the lawyer in Phillips, Counselâs endless âvagueâ and âformâ objections (and their variants described above) frustrated the free flow of the depositions Counsel defended. They frequently induced witnesses to request clarification to otherwise unambiguous questions. Counselâs âformâ objections also emboldened witnesses to quibble abou