Berkeley Law Berkeley Law Scholarship Repository Faculty Scholarship 1-1-1978 The Adversary Character of Civil Discovery: A Critique and Proposals for Change Wayne D. Brazil Berkeley Law Follow this and additional works at:https://scholarship.law.berkeley.edu/facpubs Part of theLaw Commons Recommended Citation The Adversary Character of Civil Discovery: A Critique and Proposals for Change, 31 Vand. L. Rev. 1295 (1978) This Article is brought to you for free and open access by Berkeley Law Scholarship Repository. It has been accepted for inclusion in Faculty Scholarship by an authorized administrator of Berkeley Law Scholarship Repository. For more information, please [email protected]. VANDERBILT LAW REVIEW VOLUME 31 NOVEMBER 1978 NUMBER 6 The Adversary Character of Civil Discovery: A Critique and Proposals for Change Wayne D. Brazil* TABLE OF CONTENTS I. INTRODUCTION ................................ 1296 II. THE PURPOSES OF DISCOVERY ................... 1298 III. ADVERSARY INSTINCTS AND THE UNDOING OF THE NONADVERSARIAL ASSUMPTION ........... . 1303 IV. PRIOR STUDIES AND NOTES ON METHODS .......... 1305 V. DISCOVERY'S PSYCHOLOGICAL AND INSTITUTIONAL ENVIRONMENT ................................ 1311 VI. THE USE OF SPECIFIC DISCOVERY TOOLS To LIMIT AND DISTORT THE FLOW OF INFORMATION ......... 1315 A. The Investigation Stage .................. 1315 B. The Formal Discovery Stage ................ 1320 (1) Interrogatories and Document Productions 1320 (2) Depositions ........................... 1328 VII. PENDING PROPOSALS FOR CHANGE ................ 1332 VIII. TOWARD AN ALTERNATIVE ...................... 1348 "[W]e need to study whether our elaborate struggles over discovery ... may be incurable symptoms of pathology inherent in our rigid insistence that the parties control the evidence until it is all 'prepared' and packaged for competi- tive manipulation at the eventual continuous trial."' * Associate Professor of Law, University of Missouri, Columbia. B.A. Stanford Univer- sity, 1966; M.A. 1967, Ph.D., 1975, Harvard University; J.D. University of California, Berke- ley, 1975. 1. Frankel, The Search for Truth: An Umpireal View, 123 U. PA. L. Rv. 1031, 1054 (1975). While Judge Frankel was focusing in the quoted passage on criminal cases, he ob- viously intended his concerns and criticisms to embrace both civil and criminal litigation. 1295 1296 VANDERBILT LAW REVIEW [Vol. 31:1295 I. INTRODUCTION In his Cardozo Lecture to the New York City Bar in December 1974, Judge Marvin E. Frankel2 raised some disturbing and funda- mental questions about the adversary character of American litiga- tion. After years of participating in various roles in our principal system of dispute resolution, Judge Frankel concluded that "our adversary system rates truth too low among the values that institu- tions of justice are meant to serve."3 1 share Judge Frankel's concern about the ways particular aspects of our adversary process militate against fair and efficient resolution of legal disputes.4 This essay is an effort to respond to that concern and, hopefully, to contribute to the "study" of "elaborate struggles over discovery" called for by Judge Frankel. The thesis I explore is that the adversary character of civil discovery,5 with substantial reinforcement from the economic struc- ture of our legal system, promotes practices that systematically impede the attainment of the principal purposes for which discovery was designed. The adversary structure of the discovery machinery creates significant functional difficulties for, and imposes costly economic burdens on, our system of dispute resolution. Because these difficulties and burdens are an inevitable consequence of ad- versary relationships and competitive economic pressures, they can- not be removed by the kind of limited, nonstructural discovery re- 2. District Judge, United States District Court for the Southern District of New York. 3. Frankel, supra note 1, at 1032. 4. Since I use terms like "fairness," "justice," and "truth" with some frequency in this essay, a few words about what I intend to communicate through the use of these terms are in order. I appreciate that terms like these carry numerous value connotations and contain no self-evident meaning. The meaning I ascribe to these terms, however, is identical, relatively simple, and grounded in fundamentals of the existing system of dispute resolution. "Fairness," "justice," or "truth" in any given case is a functional concept. It is whatever result a duly constituted trier of fact (jury or judge) would reach if it had full access to all the evidence and law that is arguably relevant to the issues in question. "Justice," then, like "fairness" or "truth" is a social product, a product that can result only from a process that reliably exposes all the potentially relevant data. 5. My focus is on the discovery stage of civil litigation. Discovery in criminal matters is an altogether different question. The values and institutions that are relevant and some- times in conflict in criminal litigation are so different from those pertaining to civil suits that the two systems cannot be evaluated intelligently and constructively within one analytical framework. Since criminal procedure already has developed into an independent body of law, there is no need to treat "litigation" monolithically and to insist that all reforms proceed in tandem in both the civil and criminal arenas. It is worth noting that both of the contemporaneously published responses to Judge Frankel's Cardozo Lecture found the primary weapons for their attacks in arsenals of concerns about criminal litigation. See Freedman, Judge Frankel'sS earchf or Truth, 123 U. PA. L. REv. 1060 (1975); Uviller, The Advocate, the Truth, and JudicialH ackles: A Reaction to Judge Frankel's Idea, 123 U. PA. L. Rlv. 1067 (1975). 1978] CIVIL DISCOVERY 1297 forms that have been made in the past and are once again under consideration.' To come to terms with these problems will require an assault on their sources; effective reform consequently must in- clude institutional changes that will curtail substantially the im- pact of adversary forces in the pretrial stage of litigation.7 In the final section of this essay I propose the tentative outlines of an 6. This essay will discuss in detail the major efforts that have been made in discovery reform. One should be aware at the outset, however, that a major review of the federal rules of discovery is presently underway and could result in at least modest changes. The current reform effort was formally launched after the 1976 National Conference on the Causes of Popular Dissatisfaction with the Administration of Justice. Members of the Conference had noted that abuse of discovery techniques was widespread, resulting in escalation of litigation costs, delays in adjudication, and coercion of unfair settlements. Responding to these criti- cisms, the American Bar Association's Section of Litigation appointed a Special Committee for the Study of Discovery Abuse. The Special Committee published its report in October 1977. The American Bar Association, acting through its Board of Governors, officially ap- proved the report on December 2, 1977. A second revised printing of the report appeared in that month [hereinafter cited as Report of the Special Committee]. The Section of Litigation presented the Report of the Special Committee to the Advisory Committee on Civil Rules (which had been appointed by the Chief Justice of the United States Supreme Court as part of the Judicial Conference program). After considering the Special Committee's proposals, the Advisory Committee submitted a PreliminaryD raft of Proposed Amendments to the Federal Rules of Civil Procedure to the Standing Committee on Rules of Practice and Procedure of the Judicial Conference of the United States. Because the Standing Committee wanted to receive comments on these proposals before considering them, it published the PreliminaryD raft of ProposedA mendments in March 1978.77 F.R.D. 613 [hereinafter cited as PreliminaryD raft]. The Standing Committee established a Novem- ber 30, 1978, deadline for submission of written comments on the proposed changes. The Standing Committee indicated that detailed consideration of the proposals would commence sometime after November 30, 1978, and that whatever proposals emerged from that body would be evaluated in turn by the Judicial Conference of the United States and the United States Supreme Court. While the Advisory Committee's PreliminaryD raft adopts most of the Special Commit- tee's recommendations, its proposals differ in two major respects. The Advisory Committee "particularly" has invited responses from the professional community about these "points of disagreement between it and the Section of Litigation." Preliminary Draft, supra, at 627. Because most of the Advisory Committee's proposals substantially are identical to the recom- mendations of the Special Committee, however, most of the discussion in this essay of the reforms currently under consideration will focus on the Special Committee's report. In addi- tion, I will identify and evaluate the two potentially significant differences between the Advisory Committee's proposals and those made by the Special Committee. 7. Before alienating all loyalists to the adversary system, I hasten to add that the purpose of the changes I propose is limited. They would not remove all vestiges of adversary proceedings from discovery, but they would seek to confine adversary forces to those aspects of discovery where they have uniquely valuable contributions to make. Moreover, the changes would leave the adversary heart of civil trials firmly in its traditional place. The adversarial process seems particularly well-suited to the following crucial trial-stage endeavors: (1) determining which components of the data that were collected and organized during the pretrial stage constitute admissible evidence; (2) determining the ultimate facts from the admissible evidence; and (3) determining the legal implications of those ultimate facts. A vigorous dialectic between adversary minds is most likely to produce reliable resolu- tion of the issues these endeavors generate. 1298 VANDERBILT LAW REVIEW [Vol. 31:1295 alternative system for gathering evidence and defining issues-a system designed to accomplish the purposes for which civil discov- ery was intended, while lowering the social cost of our current dis- covery process. II. THE PURPOSES OF DiscovERY The purposes that modern civil discovery is designed to accom- plish are crucial to a system of dispute resolution committed to justice. In its seminal opinion about the scope of discovery, the United States Supreme Court declared that "[m]utual knowledge of all the relevant facts gathered by both parties is essential to proper litigation."'8 Discovery is designed to serve as the principal mechanism by which such "[m]utual knowledge of all the relevant facts" will be achieved.' As the Supreme Court of Illinois forth- rightly stated, the overriding purpose of discovery is nothing less than to promote "the ascertainment of the truth and ultimate dis- position of the lawsuit in accordance therewith . . . ."' Six years earlier Judge Irving R. Kaufman had articulated this same view in noting that "[t]he federal rules are designed to find the truth and to prepare for the disposition of the case in favor of the party who is justly deserving of a judgment."" The means the discovery rules provided for achieving this end was the mutual disclosure of evidence or information regarding the existence of relevant facts.2 In the words of Judge Kaufman, "[t]he clear policy of the rules is toward full disclosure.' 3 Nor are these views about the primary purposes of discovery confined to the courts. 4 The draftsmen of and commentators on the original federal rules of discovery shared the conviction that the overriding objective civil discovery was designed to accomplish was the location and disclosure of all the unprivileged evidentiary data that might prove 8. Hickman v. Taylor, 329 U.S. 495, 507 (1947) (emphasis added). 9. Id. at 501. 10. Monier v. Chamberlain, 35 Ill. 2d 351, 361, 221 N.E.2d 410, 417 (1966). 11. Kaufman, Judicial Control Over Discovery, 28 F.R.D. 111, 125 (1962). At the time he wrote the quoted material, Judge Kaufman, who currently sits on the United States Court of Appeals for the Second Circuit, was a judge in the United States District Court for the Southern District of New York. 12. 329 U.S. at 501. 13. Kaufman, supra note 11, at 119. 14. For similarly premised judicial pronouncements on the role of discovery, see United States v. Proctor & Gamble Co., 356 U.S. 677, 682 (1958), and Nichols v. Sanborn Co., 24 F. Supp. 908, 910 (D. Mass. 1938). The latter case is especially noteworthy because of its close proximity in time to the promulgation of the federal rules and its express reference to the intentions of the drafters. 1978] CIVIL DISCOVERY 1299 useful in resolving a given dispute.15 Minimal reflection reveals a fundamental antagonism between the goal of truth through disclosure and the protective and competi- tive impulses that are at the center of the traditional adversary system of dispute resolution. While drafters and early proponents of the rules of discovery were not oblivious to that antagonism, they seem to have assumed that the rules themselves would reduce the size of the litigation arena in which adversary instincts and tactics would predominate. They apparently believed the discovery ma- chinery would reduce the role of adversary pressures and tactics in the pretrial process of gathering relevant evidentiary data. The literature that emanated from the academic and judicial proponents of discovery during the decades surrounding the 1938 adoption of the Federal Rules of Civil Procedure is replete with optimistic forecasts about the beneficial changes discovery would bring to the adversary system. Edson R. Sunderland, who is cred- ited with drafting the discovery components of the 1938 Federal Rules,'6 wrote that the new procedural rules: mark the highest point so far reached in the English speaking world in the elimination of secrecy in the preparation for trial. Each party may in effect be called upon by his adversary or by the judge to lay all his cards upon the table, the important consideration being who has the stronger hand, not who can play the cleverer game." Six years earlier, while advocating the discovery reforms that culmi- nated in the Federal Rules, Sunderland had declared that: Lawyers who constantly employ [discovery] in their practice find it an ex- ceedingly valuable aid in promotingj ustice. Discovery procedure serves much the same function in the field of law as the X-Ray in the field of medicine and surgery; and if its use can be sufficiently extended and its methods simplified, litigation will largely cease to be a game of chance." 15. J. MoORE & J. FRIEDMAN, 2 MooRs's FEDERAL PRACTICE UNDER THE NEw FEDERAL RULES § 26.01, at 2441-45 (1938) [hereinafter cited as MOORE & FRIEDMAN]; Holtzhoff, Instruments of Discovery Under FederalR ules of Civil Procedure,4 1 MICH.L . REv. 205 (1942) [hereinafter cited as Instruments]; Pike & Willis, The New Federal Deposition-Discovery Procedure( pts. 1-2), 38 COLUM. L.REv. 1179, 1436 (1938); Sunderland, Discovery Before Trial Under the New Federal Rules, 15 TENN. L. REv. 737 (1939) [hereinafter cited as Discovery Before Trial]; Sunderland, Improving the Administration of Justice, 167 ANNALS 60 (1933) [hereinafter cited as Improving the Administration]; Sunderland, Scope and Method of Discovery Before Trial, 42 YALE L.J. 863 (1933). See also W. GLASER, PiRrmL DIScovERY AND THE ADVERSARY SYsTEM 8-12, 18-37 (1968); Holtzhoff, The Elimination of Surprise in Federal Practice, 7 VAND. L. REv. 576 (1954) [hereinafter cited as The Elimination of Surprise]; Rosenberg, Changes Ahead in Federal PretrialD iscovery, 45 F.R.D. 481 (1969); Speck, The Use of Discovery in United States DistrictC ourts, 60 YALE L.J. 1132 (1951). 16. W. GLASER, supra note 15, at 11. 17. Discovery Before Trial, supra note 15, at 739. 18. Improving the Administration, supra note 15, at 76 (emphasis added). 1300 VANDERBILT LAW REVIEW [Vol. 31:1295 Similarly, James A. Pike and John W. Willis stated during the year the Federal Rules were promulgated that the federal discovery pro- cedure constituted a major contribution to "the general course of procedural reform" in that it would "strongly stamp the entire fed- eral judicial process with a charactero f frankness and fairness that will go far in aiding our legal system to overcome the effects of its rather crude heredity" 1' James William Moore and Joseph Friedman, co-authors of the first major treatise elucidating the new Federal Rules of Civil Proce- dure, were equally optimistic about the salutary effects discovery would have on the troublesome features of traditional adversary litigation. Among the benefits anticipated from the mutual discov- ery provisions of the Rules were "great assistance in ascertaining the truth," "safeguards against surprise at the trial," and detection of "false, fraudulent, and sham claims and defenses."2 Moore and Friedman also reported optimistically that "abuses of the discovery procedure in jurisdictions where full and equal mutual discovery is permitted appear to be quite exceptional and isolated. 2 1 Alexander Holtzhoff, who in 1939 and 1940 was Special Assist- ant to the Attorney General charged with responsibility for monitor- ing all federal court decisions interpreting the new Federal Rules of Civil Procedure,2 declared that the "extremely liberal provisions for discovery" were formulated "with a view to departing as far as possible from 'the sporting theory' of justice and to fulfilling that concept of litigation which conceives a lawsuit as a means for ascer- taining the truth, irrespective of who may be temporarily in posses- sion of the pertinent facts."" Fourteen years later and from the vantage point of the federal bench,2 Holtzhoff reiterated these views with even less restraint. The Federal Rules of Civil Procedure, he wrote, had "entirely demolished" the "ancient walls" that had been erected in the adversary system of litigation to protect relevant evidence from disclosure. The new procedure, he declared enthu- siastically, effectively carried out the basic concept that the purpose of litigation is not to conduct a contest or to oversee a game of skill but to do justice as between 19. Pike & Willis, supra note 15, at 1459 (emphasis added). 20. MOORE & FRIEDMAN, supra note 15, § 26.01, at 2443-44. 21. Id. at 2444. 22. Tolman, Foreword to A. HoLTzHosr, NEW FEDERAL PROCEDURE AND THE COURTS iii- iv (1940). 23. A. HoLTzHzo, supra note 22, at 7 (emphasis added). See also Instruments, supra note 15, at 205, 224. 24. In the interim, Holtzhoff was appointed United States District Judge for the Dis- trict of Columbia. 1978] CIVIL DISCOVERY 1301 the parties and to decide controversies on their merits. For this purpose the courts are entitled to have laid before them all available and pertinent mate- rial.n This array of quotations suggests that the scholars who drafted, critiqued, and promoted the modern rules of discovery expected those rules to reduce dramatically the impact of adversary forces in the trial preparation stage of litigation. As William Glaser noted, the "authors of the Federal Rules consequently, intended to use discovery to reform the adversary system; they intended litigation to proceed with both sides in full possession of all facts and with each aware of the other's tactical strengths and weaknesses. 216 These lofty visions of the primary purpose of discovery were not confined to scholars and commentators, but were shared by the courts as well. As early as September 30, 1938, only two weeks after the Fed- eral Rules of Civil Procedure became effective,27 the United States District Court for Massachusetts stated that the rules had been framed for the purpose of helping to "secure the just, speedy, and inexpensive determination of every action, and [assuring] that cases might be settled on their merits . . . ."2 Since 1938, the courts of many jurisdictions have adopted similar views. The Su- preme Court of Illinois, for example, has declared that one of mod- ern discovery's primary purposes is to reduce the power of doctrines that, in the past, "unduly emphasized the adversary quality of liti- gation ... The California Supreme Court sounded a similar ",29 theme when it insisted that the rules of discovery were intended to "take the 'game' element out of trial preparation" and "to do away with the sporting theory of litigation-namely, surprise at trial . . -" The court observed that while discovery procedures con- templated "retaining the adversary nature of the trial itself," they were designed to make that trial "more a fair contest with the basic issues disclosed to the fullest possible extent. '31 Thus, according to both the intentions of the framers and the interpretations of the courts, the primary purpose of the modern rules of discovery was to secure complete disclosure of all relevant evidentiary information and to do so by altering the nature of the 25. The Eliminationo f Surprise, supra note 15, at 577. 26. W. GLASER, supra note 15, at 30. 27. A. HOLTZHOFF, supra note 22, at 6. 28. Nichols v. Sanborn Co., 24 F. Supp. 908, 910 (D. Mass. 1938). 29. Krupp v. Chicago Transit Auth., 8 Ill2.d 37, 41, 132 N.E.2d 532, 535 (1956). 30. Greyhound Corp. v. Superior Court, 56 Cal. 2d 355, 376, 364 P.2d 266, 275, 15 Cal. Rptr. 90, 99 (1961). 31. Id. See also United States v. Proctor & Gamble Co., 356 U.S. 677, 682 (1958). 1302 VANDERBILT LAW REVIEW [Vol. 31:1295 relationship between the parties during the trial preparation period. While even the most utopian of the reformers could not have ex- pected to root out all vestiges of adversary behavior during this stage of a civil dispute, it seems fair to infer that both the framers and the courts expected litigators to undertake a more elevated, less competitive, and less self-protective stylistic approach during dis- covery. The unarticulated premise that seems to underlie much of the work of discovery's most vocal proponents is that the process of gathering, organizing, and sharing evidentiary information should take place in an essentially nonadversarial context. While disclosing the data needed to ascertain the truth was clearly the paramount objective of the discovery process, its propo- nents expected discovery to promote other ends as well. Perhaps the most important of these goals was "the realization of just settle- ments without the necessity of protracted litigation .... ,,"T2h e theory was that if opposing parties and counsel knew before trial what the evidence would be with respect to all important issues, they would feel capable of predicting reasonably the outcome of the litigation. Therefore, the parties would decide to settle their dispute in order to avoid the expense, inconvenience, and risk of the trial itselfYs The crucial premise on which this theory rests is that discov- ery would result in full disclosure of the relevant evidence. If disclo- sure was only partial, or if there was reason to fear it was only partial, opposing parties and counsel would either miscalculate the strength of their positions or feel incapable of predicting reasonably what the outcome at trial would be. Although at least one commen- tator has suggested that greater uncertainty about the outcome would increase the parties' interest in settlement," the proponents of broad discovery have clearly rejected that view and have con- cluded that a realistic assessment of the likelihood of success gener- ally will be a much stronger inducement to settle than would be fear of the unknown.3 This conclusion is supported by the obvious fact that fear is not the only response to uncertainty; lack of information also can provoke an interest in gambling. While uncertainty may intimidate some litigants into settlement, it will inspire others to gamble for victory. 32. Monier v. Chamberlain, 35 Ill2.d 351, 359, 221 N.E.2d 410, 416 (1966). See also People ex rel. Terry v. Fisher, 12 111. 2d 231, 239, 145 N.E.2d 588, 593 (1957); Watson, The Settlement Theory of Discovery, 55 ILL. B.J. 480 (1967). 33. W. GLASER, supra note 15, at 11-12; MooRE & FRImAN, supra note 15, § 26.01, at 2444; Speck, supra note 15, at 1132. 34. Watson, supra note 32, at 489,490. See also Frank, PretrialC onferences and Discov- ery-Disclosure or Surprise?, 1965 INs. L.J. 661. 35. W. GLAsER, supra note 15, at 91 & n.4. 1978] CIVIL DISCOVERY 1303 Regardless of the outcome of this debate about the psychology of settlement, there is an overriding policy consideration in this area that commands full disclosure. Discovery was not intended to pro- mote settlements of all kinds. It was intended instead to promote only "just" settlements. Partial, highly manipulated disclosure can provide no assurance that the settlements it generates will be just. That assurance can arise only in the context of full disclosure. Proponents of discovery have identified an additional purpose they expect discovery to serve. By making all the potential unprivi- leged evidence available to both sides well in advance of trial, dis- covery predictably would shorten and streamline the trial process by narrowing the issues and organizing the "mass of undigested and undifferentiated data"'" into an orderly package for efficient and meaningful presentation.3 7 These improvements simultaneously would promote the ascertainment of truth and the conservation of the resources of both litigants and the courts. Thus it was expected that discovery would contribute significantly to the protection of ever-precious judicial resources both by encouraging settlement and by making trials more efficient. Ill. ADVERSARY INSTINCTS AND THE UNDOING OF THE NONADvERsARIAL ASSUMPTION The academic and judicial proponents of the modern rules of discovery apparently failed to appreciate how tenaciously litigators would hold to their adversarial ways and the magnitude of the an- tagonism between the principal purpose of discovery (the ascertain- ment of truth through disclosure) and the protective and competi- tive instincts that dominate adversary litigation. Neither the archi- tects of the discovery machinery nor the judges who embraced their work would have endorsed the central premise of this essay: that adversary pressures and competitive economic impulses inevitably work to impair significantly, if not to frustrate completely, the at- tainment of the discovery system's primary objectives. As previously noted, the unarticulated assumption underlying the modem discovery reform movement was that the gathering and sharing of evidentiary information should (and would) take place in an essentially nonadversarial environment. That assumption was not well made. Instead of reducing the sway of adversary forces in 36. Kaufman, supra note 11, at 125. 37. Id. See also Hickman v. Taylor, 329 U.S. 495, 501 (1947); MooRs & FMIEDMAN, supra note 15, § 26.01, at 2442-45; Instruments, supra note 15, at 205-06; Pike & Willis, supra note 15, at 1459; Discovery Before Trial, supra note 15, at 737-39.