What Are Interrogatories?
Interrogatories are a formal set of written questions used in the legal discovery phase of litigation to gather information from an opposing party. As a core component of civil procedure, interrogatories help parties uncover facts, identify potential evidence, and understand the other side's positions before a trial. They serve as a crucial tool for both the plaintiff and defendant to prepare their respective cases. Answers to interrogatories are typically made under oath, affirming their truthfulness.28, 29
History and Origin
The concept of formal information exchange in legal disputes has roots in early English common law, particularly within the Court of Chancery. This equitable pleading procedure involved plaintiffs posing "positions," statements of evidence they believed existed and were known to the defendant, which resembled modern requests for admissions. Discovery, however, did not initially exist at common law, leading litigants to file separate bills in equity to obtain information for their common law actions.
A significant turning point for discovery, including interrogatories, in the United States legal system came with the promulgation of the Federal Rules of Civil Procedure (FRCP) in 1938.27 These rules established a comprehensive framework for discovery in U.S. federal courts, providing standardized mechanisms for parties to obtain information from one another. Rule 33 of the FRCP specifically governs interrogatories, outlining their scope and the procedures for their use.26 The adoption of these rules aimed to simplify and clarify legal procedures, ensuring a more transparent and fair fact-finding process prior to trial.25
Key Takeaways
- Interrogatories are written questions served by one party to another in a lawsuit, requiring sworn written answers.
- They are a primary tool in the legal discovery phase, used to uncover facts, identify witnesses, and clarify legal contentions.
- The Federal Rules of Civil Procedure, particularly Rule 33, govern the use and limitations of interrogatories in federal courts.24
- Answers to interrogatories can be used as evidence during trial, provided they comply with the Federal Rules of Evidence.22, 23
- A common limitation is the typical cap of 25 questions, including subparts, though this can vary by jurisdiction or court order.
Formula and Calculation
Interrogatories do not involve a formula or calculation in a financial sense. They are a procedural tool for information gathering in legal contexts. Therefore, this section is not applicable.
Interpreting Interrogatories
Interrogatories are interpreted within the context of the legal dispute. When a party receives interrogatories, they must provide complete and truthful answers to the best of their knowledge and available information.21 If an interrogatory asks for an opinion or contention related to facts or the application of law to fact, it is generally permissible, though a court may defer the answer until later in the pretrial conference or after other discovery is complete.20
Objections to interrogatories must be stated with specificity, and any ground not stated in a timely objection may be waived.19 Common objections include requests for privileged information or material protected by the work product doctrine, overly broad or burdensome requests, or those seeking information equally available to the requesting party.18 The scope of interrogatories is generally broad, allowing inquiry into any matter relevant to the claims or defenses of any party.16, 17 This broad scope is aimed at ensuring that all pertinent evidence is brought to light.
Hypothetical Example
Consider a hypothetical scenario where "Diversification Financial Services Inc." (DFS) is sued by a former employee, Alice, for wrongful termination. As part of the legal discovery process, Alice's attorney serves DFS with a set of interrogatories.
One interrogatory might ask: "Identify all individuals involved in the decision to terminate Alice's employment, including their job titles and a summary of their role in the decision-making process."
DFS's legal team would then compile the necessary information, which might include human resources personnel, Alice's direct manager, and any senior executives involved. The designated corporate representative would then sign the answers under oath, ensuring that the information provided is accurate and complete based on the company's records and knowledge. If DFS believes the request is too vague or seeks confidential information, they might lodge an objection while still providing a partial answer, if possible.
Practical Applications
Interrogatories are widely applied across various types of civil lawsuits, from personal injury and contract disputes to complex financial and corporate litigation. In financial cases, interrogatories are instrumental for:
- Asset Discovery: Identifying all assets, accounts, and financial holdings of a party in divorce proceedings or debt collection cases.
- Business Operations: Understanding the organizational structure, key decision-makers, and relevant policies of a corporate entity involved in a lawsuit.
- Damage Assessment: Eliciting information about financial losses, medical expenses, or other damages claimed by a party.
- Expert Witness Identification: Requiring disclosure of expert witnesses a party intends to call at trial and the substance of their expected testimony.
- E-Discovery Management: In cases involving significant volumes of electronically stored information (ESI), interrogatories can help establish ESI protocols and identify custodians of relevant digital data. This area presents unique challenges due to the volume and complexity of electronic data.14, 15
For instance, in a fraud case, interrogatories might ask the defendant to detail the origin and destination of specific funds, providing a roadmap for further evidence collection. Adhering to proper procedures for handling electronically stored information is vital to avoid disputes and potential sanctions during the discovery process.13
Limitations and Criticisms
Despite their utility, interrogatories have limitations and face criticisms:
- Limited Number: Under federal rules, parties are generally limited to 25 interrogatories, including all discrete subparts, unless otherwise stipulated or ordered by the court.11, 12 This limit can constrain the depth of inquiry in complex cases.
- Formality and Evasion: Because answers are prepared by attorneys and signed by the party, they can sometimes be crafted to reveal as little information as possible while still technically complying. This can make probing for nuanced details challenging compared to live testimony.
- Cost and Burden: Compiling comprehensive answers to numerous interrogatories, especially those requiring the aggregation of extensive financial data or electronically stored information, can be time-consuming and costly for the responding party. Parties can object to requests deemed unduly burdensome.10
- Lack of Spontaneity: Unlike depositions, where follow-up questions can be asked immediately based on previous answers, interrogatories are a static question-and-answer process, limiting dynamic exploration of facts.
- Boilerplate Objections: A common criticism is the use of generic, "boilerplate" objections to interrogatories, which judges often disfavor as unspecific.9
The effectiveness of interrogatories can depend heavily on the specificity of the questions asked and the willingness of parties to genuinely cooperate in the discovery process, often leading to motions to compel if answers are deemed insufficient.8
Interrogatories vs. Requests for Production
Interrogatories and requests for production are both crucial tools in legal discovery, but they serve distinct purposes.
Feature | Interrogatories | Requests for Production |
---|---|---|
Purpose | To obtain written answers to specific questions. | To obtain copies of documents, ESI, or tangible items. |
Form of Response | Sworn written statements. | Physical or electronic copies of items, or access for inspection. |
Scope of Information | Facts, contentions, opinions, identification of people/documents. | Documents, data, or physical evidence. |
Format | Questions. | Demands for items. |
While interrogatories ask "what do you know?" or "who has information?", requests for production ask "show me the evidence." For example, an interrogatory might ask a party to "identify all emails discussing the terms of the contract." A subsequent request for production would then ask for "all emails identified in response to Interrogatory No. 5."7 Both methods are often used synergistically to build a comprehensive understanding of the facts and evidence in a case, helping parties to prepare for potential settlement or trial.6
FAQs
Who can send and receive interrogatories?
Interrogatories can generally be sent by any party in a lawsuit to any other party. They cannot be sent to non-parties; for information from non-parties, a subpoena or deposition may be required.5
How many interrogatories can be asked?
In federal court, a party may serve no more than 25 written interrogatories, including all discrete subparts, on another party, unless the court orders otherwise or the parties stipulate to a different number. State rules may vary.4
What happens if a party refuses to answer interrogatories?
If a party refuses to answer or provides incomplete or evasive answers, the interrogating party can file a motion to compel with the court. If the court grants the motion and the party still refuses to comply, the court may impose sanctions.3
Can interrogatory answers be used in court?
Yes, answers to interrogatories, made under oath, can generally be used at trial to the extent allowed by the Federal Rules of Evidence.1, 2 They can be used to contradict or impeach a witness's testimony or as substantive admissible evidence.