Discovery Interrogatories from Defendant to Plaintiff with Production Requests
Note: This summary is not intended to be an all inclusive
summary of discovery law in Pennsylvania, but does include basic and other
information.
Definitions
Discovery:
A procedure designed to allow disclosure
of information between Plaintiffs and Defendants. Written questions, oral
questioning, document production and admissions requests are generally
allowed. Discovery was designed to to prevent trial by ambush.
Interrogatories:
Written questions from Plaintiff to Defendant, or from Defendant to Plaintiff. The questions are mailed to
the Plaintiff, Defendant or the attorney for response in writing.
The answers or responses are usually due between 20-30 days.
Deposition:
A procedure where verbal questions are
asked a Plaintiff or Defendant for immediate response. Depositions
are usually recorded by a court reporter, who swears the person to tell
the truth before questioning begins.
Production of Documents:
The method of obtaining documents from the other party relevant to the case such as all documents a party
intends to introduce at trial.
Requests for Admissions:
Written questions where you request the other party to admit or deny some relevant fact.
Objections:
Objections may be made to all discovery questions if the questions are not relevant, or likely to lead to the discovery
of relevant evidence.
Civil Procedure Rules:
Virtually all states have adopted a version of civil procedure rules which include rules dealing with discovery.
Pennsylvania Rules of Civil Procedure
Pennsylvania has adopted the Pennsylvania Rules of Civil Procedure
which contain rules governing discovery. The discovery rules also
apply in divorce actions.
Discovery Methods:
Subject to the provisions of this chapter,
any party may obtain discovery by one or more of the following methods:
depositions upon oral examination (Rule 4007.1) or written interrogatories
(Rule 4004); written interrogatories to a party (Rule 4005); production
of documents and things and entry for inspection or other purposes (Rule
4009); physical and mental examinations (Rule 4010); and requests for admission
(Rule 4014). Rule 4001
Scope:
Subject to the provisions of Rules 4003.2 to
4003.5 inclusive and Rule 4011, a party may obtain discovery regarding
any matter involved in the pending action, whether it relates to the claim
or defense of the party seeking discovery or to the claim or defense of
any other party, including the existence, description, nature, content,
custody, condition and location of any books, documents, or other tangible
things and the identity and location of persons having knowledge of any
discoverable matter. Rule 4003.1(a)
Experts:
(a) Discovery of facts known and opinions held by an expert, otherwise discoverable under the provisions of Rule 4003.1
and acquired or developed in anticipation of litigation or for trial, may
be obtained as follows:
1. A party may through interrogatories require (a) any other
party to identify each person whom the other party expects to call as an
expert witness at trial and to state the subject matter on which the expert
is expected to testify and (b) the other party to have each expert so identified
by him state the substance of the facts and opinions to which the expert
is expected to testify and a summary of the grounds for each opinion. The
party answering the interrogatories may file as his or her answer a report
of the expert or have the interrogatories answered by the expert. The answer
or separate report shall be signed by the expert.
2. Upon cause shown, the court may order further discovery
by other means, subject to such restrictions as to scope and such provisions
concerning fees and expenses as the court may deem appropriate.
3. A party may not discover facts known or opinions held by an expert
who has been retained or specially employed by another party in anticipation
of litigation or preparation for trial and who is not expected to be called
as a witness at trial, except on order of court as to any other expert
upon a showing of exceptional circumstances under which it is impracticable
for the party seeking discovery to obtain facts or opinions on the same
subject by other means, subject to such restrictions as to scope and such
provisions concerning fees and expenses as the court may deem appropriate.
(b) An expert witness whose identity is not disclosed in compliance
with subdivision (a)(1) of this rule shall not be permitted to testify
on behalf of the defaulting party at the trial of the action. However,
if the failure to disclose the identity of the witness is the result of
extenuating circumstances beyond the control of the defaulting party, the
court may grant a continuance or other appropriate relief.
(c) To the extent that the facts known or opinions held by an expert
have been developed in discovery proceedings under subdivision (a)(1) or
(2) of this rule, the direct testimony at the trial may not be inconsistent
with or go beyond the fair scope of his or her testimony in the discovery
proceedings as set forth in his deposition, answer to an interrogatory,
separate report, or supplement thereto. However, he shall not be prevented
from testifying as to facts or opinions on matters on which he has not
been interrogated in the discovery proceedings. Rule 4003.5
Sequence and Timing of Discovery:
Unless the court upon motion, for the convenience of parties and witnesses and in the interests
of justice, orders otherwise, methods of discovery may be used in any sequence
and the fact that a party is conducting discovery, whether by deposition
or otherwise, shall not operate to delay any other party's discovery. Rule
4007.3
Supplementation of Responses:
A party or an expert witness who has responded to a request for discovery with a response that
was complete when made is under no duty to supplement the response to include
information thereafter acquired, except as follows:
1. A party is under a duty seasonably to supplement his response
with respect to any question directly addressed to the identity and location
of persons having knowledge of discoverable matters and the identity of
each person expected to be called as an expert witness at trial, the subject
matter on which he is expected to testify and the substance of his testimony
as provided in Rule 4003.5(a)(1).
2. A party or an expert witness is under a duty seasonably
to amend a prior response if he or she obtains information upon the basis
of which he or she knows that (a) the response was incorrect when made,
or (b) the response though correct when made is no longer true.
3. A duty to supplement responses may be imposed by order
of the court, agreement of the parties, or at any time prior to trial through
new requests to supplement prior responses. Rule 4007.4
Depositions
Procedure in Deposition By Oral Examination:
(a) A party desiring to take the deposition of any person upon oral examination shall
give reasonable notice in writing to every other party to the action, except
that no notice need be given a defendant who was served by publication
and has not appeared in the action. A party noticed to be deposed shall
be required to appear without subpoena.
(b) The notice shall conform with the requirements of subdivision
(c) of this rule and of Rule 4007.2(b) and (c) where appropriate and shall
state the time and place of taking the deposition and the name and address
of each person to be examined if known, and, if the name is not known,
a general description sufficient to identify him or the particular class
or group to which the deponent belongs.
(c) The purpose of the deposition and matters to be inquired into
need not be stated in the notice unless the action has been commenced by
writ of summons and the plaintiff desires to take the deposition of any
person upon oral examination for the purpose of preparing a complaint.
In such case the notice shall include a brief statement of the nature of
the cause of action and of the matters to be inquired into.
(d) 1. If the person to be examined is a party, the notice may include
a request made in compliance with Rule 4009.1 et seq., for the production
of documents and tangible things at the taking of the deposition.
2. If the person to be examined is not a party, and is to be served
with a subpoena duces tecum to produce designated materials, the notice
shall specify the materials to be produced. The materials shall be produced
at the deposition and not earlier, except upon the consent of all parties
to the action.
(e) A party may in the notice and in a subpoena, if issued, name
as the deponent a public or private corporation or a partnership or association
or governmental agency and describe with reasonable particularity the matters
to be inquired into and the materials to be produced. In that event, the
organization so named shall serve a designation of one or more officers,
directors, or managing agents, or other persons who consent to testify
on its behalf, and may set forth, for each person designated, the matters
on which each person will testify. A subpoena shall advise a non-party
organization of its duty to make such a designation. The person or persons
so designated shall testify as to matters known or reasonably available
to the organization. This subdivision (e) does not preclude taking a deposition
by any other procedure authorized in these rules. Rule 4007.1
When Leave of Court Required.
(a) Except as provided by Rules 4001(a) and 4003.5(a)(2) and by
subdivisions (b) and (d) of this rule, a deposition may be taken without
leave of court.
(b) Leave of court must be obtained if a plaintiff's notice schedules
the taking of a deposition prior to the expiration of thirty (30) days
after service of the original process and the defendant has not served
a notice of taking a deposition or otherwise sought discovery, unless the
party or person to be examined is aged or infirm, or about to leave the
county in which the action is pending for a place outside the Commonwealth
or a place more than one hundred (100) miles from the courthouse in which
the action is pending.
(c) If the plaintiff proceeds under subdivision (b)(1) or (2) of
this rule the notice of taking the deposition shall set forth the facts
which support taking it without leave of court. The plaintiff's attorney
shall sign the notice and this signature shall constitute a certification
by him that to the best of the attorney's knowledge, information and belief
the statement of facts is true.
(d) The deposition of a person confined in prison may be taken only
by leave of court on such terms as the court prescribes. Rule 4007.2
Oral Examination Limitation:
If a deposition is to be taken by oral examination more than one hundred miles from the courthouse,
the court upon motion may make an order requiring the payment of reasonable
expenses, including attorney's fees, as the court shall deem proper.
Rule 4008
Limitation Of Scope Of Discovery and Deposition:
No discovery or deposition shall be permitted which:
(a) is sought in bad faith;
(b) would cause unreasonable annoyance, embarrassment, oppression,
burden or expense to the deponent or any person or party;
(c) is beyond the scope of discovery as set forth in Rules 4003.1
through 4003.6; or
(d) [Rescinded];
(e) would require the making of an unreasonable investigation by
the deponent or any party or witness.
(f) [Rescinded.] Rule 4011
Videotaped Depositions:
(a) Any deposition taken upon oral examination may be recorded by videotape. Except as provided by this
rule, the rules of this chapter governing the practice and procedure in
depositions and discovery shall apply.
1. Any party may have a videotape deposition recorded simultaneously
by stenographic means as provided by this chapter.
2. A videotape deposition may be used in court only if accompanied
by a transcript of the deposition.
(b) Every notice or subpoena for the taking of a videotape deposition
shall state:
1. that it is to be videotaped,
2. the name and address of the person whose deposition is to be
taken,
3. the name and address of the officer before whom it is to be taken,
4. whether the deposition is to be simultaneously recorded by stenographic
means, and
5. the name and address of the videotape operator and of his employer.
The operator may be an employee of the attorney taking the deposition.
(c) The deposition shall begin by the operator stating on camera
(1) his or her name and address, (2) the name and address of his or her
employer, (3) the date, time and place of the deposition, (4) the caption
of the case, (5) the name of the witness, and (6) the party on whose behalf
the deposition is being taken. The officer before whom the deposition is
taken shall then identify himself or herself and swear the witness on camera.
At the conclusion of the deposition the operator shall state on camera
that the deposition is concluded. When the length of the deposition requires
the use of more than one tape, the end of each tape and the beginning of
each succeeding tape shall be announced on camera by the operator.
(d) The deposition shall be timed by a digital clock on camera which
shall show continually each hour, minute and second of each tape of the
deposition.
(e) No signature of the witness shall be required.
(f) The attorney for the party taking the deposition shall take
custody of and be responsible for the safeguarding of the videotape and
shall permit the viewing of and shall provide a copy of the videotape or
the audio portion thereof upon the request and at the cost of a party.
(g) In addition to the uses permitted by Rule 4020 a videotape deposition
of a medical witness or any witness called as an expert, other than a party,
may be used at trial for any purpose whether or not the witness is available
to testify.
(h) At a trial or hearing that part of the audio portion of a videotape
deposition which is offered in evidence and admitted, or which is excluded
on objection, shall be transcribed in the same manner as the testimony
of other witnesses. The videotape shall be marked as an exhibit and may
remain in the custody of the court. Rule 4017.1
Interrogatories
(a) 1. A party taking a deposition by written interrogatories shall serve
a copy of the interrogatories upon each party or the attorney of record
of each party. Within thirty days thereafter the party so served may serve
cross interrogatories upon each party or the attorney of record of each
party. Subsequent interrogatories shall be similarly served within ten
days.
2. The interrogatories shall contain a notice stating the name or
descriptive title and address of the officer before whom the deposition
is to be taken, the time and place of taking the deposition and the name
and address of each person to be examined if known, and, if the name is
not known, a general description sufficient to identify each person to
be examined or the particular class or group to which each person belongs.
A deposition upon written interrogatories may be taken of a public or private
corporation or a partnership or association or governmental agency in accordance
with the provisions of Rule 4007.1(e).
(b) Objections to the form of interrogatories are waived unless
filed and served upon the party propounding them within the time allowed
for serving the succeeding cross or other interrogatories or within ten
(10) days after service of the last interrogatories. All other objections
may be made at the trial except as otherwise provided by Rule 4016.
(c) A copy of all interrogatories for the taking of a deposition
shall be transmitted to the person designated to take the deposition, who
shall promptly give notice to the witness and thereafter propound the interrogatories
to the witness and complete, certify and send the deposition by registered
mail to the party taking the deposition, attaching thereto the copy of
the interrogatories.
(d) When the deposition is received by the party taking the deposition,
the party shall promptly give notice thereof to all other parties.
(e) After the service of interrogatories and prior to the taking
of the testimony of the deponent, the court in which the action is pending,
on motion promptly made by a party or a deponent, may make an order in
accordance with Rule 4012, or an order that the deposition shall not be
taken before the officer designated in the notice, or that it not be taken
except upon oral examination. Rule 4004
Written Interrogatories to a Party.
(a) Subject to the limitations provided by Rule 4011, any party may
serve upon any other party written interrogatories to be answered by the
party served or, if the party served is a public or private corporation
or similar entity or a partnership or association, by any officer or agent,
who shall furnish such information as is available to the party. Interrogatories
may be served upon any party at the time of service of the original process
or at any time thereafter. Interrogatories which are to be served prior
to service of the complaint shall be limited to the purpose of preparing
a complaint and shall contain a brief statement of the nature of the cause
of action. Interrogatories shall be prepared in such fashion that sufficient
space is provided immediately after each interrogatory or subsection thereof
for insertion of the answer or objection.
(b) [Rescinded.]
(c) Interrogatories may relate to any matters which can be inquired
into under Rules 4003.1 through 4003.5 inclusive and the answers may be
used to the same extent as provided in Rule 4020 for the use of the deposition
of a party. Interrogatories may be served after a deposition has been taken,
and a deposition may be taken after interrogatories have been answered,
but the court, on motion of the party interrogated, may make such protective
order as justice requires. The number of interrogatories or of sets of
interrogatories to be served may be limited as justice requires to protect
the party from unreasonable annoyance, embarrassment, oppression, burden
or expense. Rule 4005
Answers to Written Interrogatories by a Party.
(a) 1. Answers to interrogatories shall be in writing and verified. The
answers shall be inserted in the spaces provided in the interrogatories.
If there is insufficient space to answer an interrogatory, the remainder
of the answer shall follow on a supplemental sheet.
2. Each interrogatory shall be answered fully and completely unless
objected to, in which event the reasons for the objection shall be stated
in lieu of an answer. The answers shall be signed by the person making
them, and the objections shall be signed by the attorney making them. The
statement of an objection shall not excuse the answering party from answering
all remaining interrogatories to which no objection is stated. The answering
party shall serve a copy of the answers, and objections if any, within
thirty days after the service of the interrogatories. The party submitting
the interrogatories may move the court to dismiss an objection and direct
that the interrogatory be answered.
(b) Where the answer to an interrogatory may be derived or ascertained
from the records of the party upon whom the interrogatory has been served
or from an examination, audit or inspection of that party's records, or
from a compilation, abstract or summary based thereon, and the burden of
deriving or ascertaining the answer would be substantially the same for
the party serving the interrogatory as for the party served, a sufficient
answer to such an interrogatory shall be to specify the records from which
the answer may be derived or ascertained and to afford the party serving
the interrogatory reasonable opportunity to examine, audit or inspect those
records and to obtain copies, compilations, abstracts or summaries. Rule
4006
Production
Any party may serve a request upon a party pursuant to Rules 4009.11
and 4009.12 or a subpoena upon a person not a party pursuant to Rules 4009.21
through 4009.27 to produce and permit the requesting party, or someone
acting on the party's behalf, to inspect and copy any designated documents
(including writings, drawings, graphs, charts, photographs, electronically
created data, and other compilations of data from which information can
be obtained, translated, if necessary, by the respondent party or person
upon whom the request or subpoena is served through detection or recovery
devices into reasonably usable form), or to inspect, copy, test or sample
any tangible things which constitute or contain matters within the scope
of Rules 4003.1 through 4003.6 inclusive and which are in the possession,
custody or control of the party or person upon whom the request or subpoena
is served; and may do so one or more times. Rule 4009.1
Request Upon a Party for Production of Documents and Things.
(a) The request may be served without leave of court upon the plaintiff
after commencement of the action and upon any other party with or after
service of the original process upon that party.
(b) The request shall set forth in numbered paragraphs the items
to be produced either by individual item or by category, and describe each
item or category with reasonable particularity. Each paragraph shall seek
only a single item or a single category of items. The request shall be
prepared in such fashion that sufficient space is provided immediately
after each paragraph for insertion of the answer. Rule 4009.11
Answer to Request Upon a Party for Production of Documents and Things.
(a) The party upon whom the request is served shall within thirty days
after the service of the request:
1. serve an answer including objections to each numbered paragraph
in the request, and
2. produce or make available to the party submitting the request
those documents and things described in the request to which there is no
objection.
i. Where the documents may be identified only after review of a
larger group of documents, and the burden of identifying the documents
would be substantially the same for the party serving the request as for
the party served, the party served may afford the party serving the request
reasonable opportunity to identify the documents, to examine or inspect
them and to obtain copies.
(b) The answer shall be in the form of a paragraph-by-paragraph
response which shall:
2. identify all documents or things not produced or made available
because of the objection that they are not within the scope of permissible
discovery under Rule 4003.2 through Rule 4003.6 inclusive and Rule 4011(c).
Documents or things not produced shall be identified with reasonable particularity
together with the basis for non-production;
3. specify a larger group of documents or things from which the
documents or things to be produced or made available may be identified
as provided by subdivision (a)(2)(I);
4. object to the request on the grounds set forth in Rule 4011(a),
(b), and (e) or on the ground that the request does not meet the requirements
of Rule 4009.11;
5. state that after reasonable investigation, it has been determined
that there are no documents responsive to the request.
(c) The answer shall be signed and verified by the party making
it and signed also by the attorney making an objection if one is set forth.
(d) If a request is reasonably susceptible to one construction under
which documents sought to be produced are within the scope of the request
and another construction under which the documents are outside the scope
of the request, the answering party shall either produce the documents
or identify with reasonable particularity the documents not produced together
with the basis for non-production.
Rule 4009.12
Physical and Mental Examination of Persons
(a) (1) As used in this rule, "examiner" means a licensed physician, licensed
dentist or licensed psychologist.
(2)(a) When the mental or physical condition of a party, or of a person
in the custody or under the legal control of a party, is in controversy,
the court in which the action is pending may order the party to submit
to a physical or mental examination by an examiner or to produce for examination
the person in the party's custody or legal control.
(3) The order may be made only on motion for good cause shown and
upon notice to the person to be examined and to all parties and shall specify
the time, place, manner, conditions and scope of the examination and the
person or persons by whom it is to be made.
(4) (i) The person to be examined shall have the right to have control
or other representative present during the examination. The examiner's
oral interrogation of the person to be examined shall be limited to matters
specifically relevant to the scope of the examination.
(5) (i) The party who is being examined or who is producing for examination
a person in the party's custody or legal control may have made upon reasonable
notice and at the party's expense a stenographic or audio recording of
the examination. Upon request and payment of reasonable cost, the party
who caused the recording to be made shall provide each other party with
a copy of the recording.
(b) (1) If requested by the party against whom an order is made under
this rule or the person examined, the party causing the examination to
be made shall deliver to the requesting party or person a copy of a detailed
written report of the examiner setting out the examiner's findings, including
results of all tests made, diagnoses and conclusions, together with like
reports of all earlier examinations of the same condition. After delivery
the party causing the examination shall be entitled upon request to receive
from the party against whom the order is made a like report of any examination,
previously or thereafter made, of the same condition, unless, in the case
of a report of examination of a person not a party, the party shows inability
to obtain it. The court on motion may make an order against a party requiring
delivery of a report on such terms as are just, and if an examiner fails
or refuses to make a report the court shall exclude the examiner's testimony
if offered at the trial.
(2) By requesting and obtaining a report of the examination so ordered
or by taking the deposition of the examiner, the party examined waives
any privilege the party may have in that action or any other involving
the same controversy, regarding the testimony of every other person who
has examined or may thereafter examine the party in respect of the same
mental or physical condition.
(3) Subdivision (b) applies to an examination made by agreement of
the parties, unless the agreement expressly provides otherwise. It does
not preclude discovery of a report of an examiner or the taking of a deposition
of the examiner in accordance with the provisions of any other rule. Rule
4010
Requests for Admissions
(a) A party may serve upon any other party a written request for
the admission, for purposes of the pending action only, of the truth of
any matters within the scope of Rules 4003.1 through 4003.5 inclusive set
forth in the request that relate to statements or opinions of fact or of
the application of law to fact, including the genuineness, authenticity,
correctness, execution, signing, delivery, mailing or receipt of any document
described in the request. Copies of documents shall be served with the
request unless they have been or are otherwise furnished or available for
inspection and copying in the county. The request may, without leave of
court, be served upon the plaintiff after commencement of the action and
upon any other party with or after service of the original process upon
that party.
(b) Each matter of which an admission is requested shall be separately
set forth. The matter is admitted unless, within thirty days after service
of the request, or within such shorter or longer time as the court may
allow, the party to whom the request is directed serves upon the party
requesting the admission an answer verified by the party or an objection,
signed by the party or by his attorney; but, unless the court shortens
the time, a defendant shall not be required to serve answers or objections
before the expiration of forty-five days after service of the original
process upon him or her. If objection is made, the reasons therefor shall
be stated. The answer shall admit or deny the matter or set forth in detail
the reasons why the answering party cannot truthfully do so. A denial shall
fairly meet the substance of the requested admission, and when good faith
requires that a party qualify his answer or deny only a part of the matter
of which an admission is requested, the party shall specify so much of
it as true and qualify or deny the remainder. An answering party may not
give lack of information or knowledge as a reason for failure to admit
or deny unless the answering party states that he or she has made reasonable
inquiry and that the information known or readily obtainable by him or
her is insufficient to enable him or her to admit or deny. A party who
considers that a matter of which an admission has been requested presents
a genuine issue for trial may not, on that ground alone, object to the
request. That party may, subject to the provisions of Rule 4019(d), deny
the matter or set forth reasons why he or she cannot admit or deny it.
(c) The party who has requested the admission may move to determine
the sufficiency of the answer or objection. Unless the court determines
that an objection is justified, it shall order that an answer be served.
If the court determines that an answer does not comply with the requirements
of this rule, it may order either that the matter is admitted or that an
amended answer be served. The court may, in lieu of these orders, determine
that final disposition of the request be made at a pre-trial conference
or at a designated time prior to trial.
(d) Any matter admitted under this rule is conclusively established
unless the court on motion permits withdrawal or amendment of the admission.
Subject to the provisions of Rule 212.3 governing pre-trial conferences,
the court may permit withdrawal or amendment when the presentation of the
merits of the action will be subserved thereby and the party who obtained
the admission fails to satisfy the court that withdrawal or amendment will
prejudice him in maintaining his action or defense on the merits. Any admission
by a party under this rule is for the purpose of the pending action only
and is not an admission by him for any other purpose nor may it be used
against him in any other proceeding. Rule 4014
Domestic Actions Discovery Notes
If you require extra time to respond to discovery, you should ask
the other side for an extension in writing. It may also be necessary
to enter an order granting the extension to protect your rights.
Discovery questions are limited in number so select the most important
questions to ask the other side. Don't waste your requests writing
questions that you already know the answer to.
