1 Providing effective testimony after pediatric traumatic brain injury Jacobus Donders March 2, 2013
2 Disclosure Speaker has no conflicts of interests to declare. Speaker is not a lawyer, nor a legal scholar, and is not giving legal advice.
3 Objectives Understand differences between clinical and legal roles. Describe the criteria for admissibility of evidence. Understand essential deposition and court procedures. Recognize, and deal with, some common gambits used during such procedures.
4 References I have found helpful*: Mastering expert testimony by Tsushima & Anderson (Erlbaum, 1996) Stanley L. Brodsky s series: Testifying in court (APA, 1991) The expert witness (APA, 1999) Coping with cross-examination (APA, 2004) * And no, I don t get kickbacks for this!
5 More disclosure Medicolegal referrals comprise about 15% of my practice. The vast majority of are from the defense. More than a third of the depositions that I do are based on clinically referred patients. No extra $ for any of this. So, why do I do them? Really, it just comes with the territory.
6 Understand the legal arena When you testify, your primary job is to assist the trier of facts, and you should do so in an objective and evidence-based manner. You may be a treating doctor or an expert witness (although those lines do get blurred). If you do file review only, document the limitations thereof. Understand local standards, including Daubert or Frye admissibility rules.
7 What evidence is admissible? Frye standard: Is the evidence generally accepted within the witness field of expertise?
8 Daubert went further: Has it been peer-reviewed? Can it be submitted to an empirical test? Is the error rate known? Is there a manual or other control procedure?
9 In general, it is best to: Stick to your area of expertise. Make sure that all of your procedures are reliable and well-validated. Understand who your client is. Be aware of your own biases. Always be well-prepared. Accept constructive feedback.
10 Differences in context Clinical Work Legal Arena Requester or service Physician Attorney Professional interaction Collegial / consultative Often adversarial Patient relationship Treating, advocating Objective, just the facts Confidentiality / HIPAA Almost always applicable Typically waived or superseded Handling of raw data Test security Discovery rules Level of certainty required for opinions Clinical judgment; knowledge of C.I. and base rates More likely than not (> 50%) or reasonable certainty (> 90%) Your audience Other professionals Judge and/or jury
11 Before agreeing to do an IME Is the matter within your expertise? Do you have a conflict of interest? Can you get access to all relevant records as well as to the potential examinee? Can you proceed in an unbiased manner? Are fees and contingencies agreed upon? Do they want a call before a report is written? Dealing with requests for tests to be given.
12 Third-party observers Unless sanctioned by state law don t allow it. Use AACN and NAN position papers and empirical evidence in peer-reviewed journals. If you proceed anyway, document the potential threat to validity.
13 During the IME Informed consent / assent Referral source No doctor-patient relationship Usual rules of confidentiality do not apply No feedback session or treatment initiation Importance of truth and effort Opportunities for breaks Stick to standardized, well-validated methods. Objectively document relevant observations.
14 Your report (if not a clinical eval) Remember your audience. Document referral source / reason. Document consent procedures. Note any limitations / reservations. May need more detail on records reviewed. Stick to the facts; avoid inflammatory remarks. Answer the questions that were posed to you. Plain language, for plain people, please.
15 Failure on the TOMM Nerdy doctor The examinee s performance on a standardized forcedchoice performance validity measure was not consistent with veracious effort and therefore indicative of a high probability of symptom magnification. Effective witness On a task where the chance of getting the right answer was equal to the flip of a coin, Mr. Jones answered correctly only 30% of the time. Truly, a person who had never seen the pictures, and just guessed, would likely have done better.
16 Requests for raw data Be familiar with your state s laws. Consult with your state psych association or APA on a PRN basis. Follow the guidelines described by Attix et al. (2007, TCN, vol. 21, pp ).
17 Types of testimony Sworn affidavit Can be used prior to taking the case. Make sure that you carefully read it. Always use peer-reviewed references. Deposition Discovery Trial Court appearance Most cases get settled.
18 In general Come to the deposition or trial fully prepared. Dress in comfortable business attire. First meet with the attorney who retained you. They may be aggressive; it s just business. If they raise their voice, lower yours. Learn to say No and I don t know. Personalize but don t make it about you.
19 In general (continued) Use humor sparingly and only in good spirit. Try not to be repetitive, except to prove a clear point (use sparingly). Don t talk too much. If the attorneys argue amongst themselves, stay out of it. In depositions, simply answer the question after they are done arguing. In court, wait for the judge to instruct you.
20 In general (conclusion) Listen very carefully when comments get rephrased or taken out of context. Look at the attorney during the question but at the camera or jury when you answer. Talk with confidence; try to avoid terms like I believe, I suppose, etc., and watch the body language.
21 General procedures Swearing in Direct and cross examinations Credentials review / voire dire Objections to counsel Foundation Leading / badgering Compound Argumentative Objections to witness Hearsay Non-responsive Irrelevant Speculative
22 Your credentials Keep it short and sweet. Delineate relevant expertise. Don t engage in self-inflation. Don t get into board / turf issues. Don t disparage other witnesses. No need to claim universal knowledge. Constructive offense is the best defense.
23 Credibility of a treating doctor: You would say anything to help your patient, right? I am her doctor and I have been taking care of her for years, so of course I want what s best for her! I have sworn to tell the truth, and I take that oath seriously. I will answer any reasonable questions to the best of my ability.
24 Credibility of an expert witness: You re being paid for your opinion here, right? Well, yeah, I guess I mean, I hope so. And there s nothing wrong with charging more for depositions! I expect to get paid today for my time. I have been hired for my expertise, not for my opinion which is not for sale.
25 The hired-gun insinuation Doctor, of all the times that you have testified, how often has that been for the plaintiff? And how often for the defense?
26 The contrary % In all the depositions over the last 3 years, I testified as a treating doctor by plaintiff request 12 times, and as an expert witness upon request by the defense 21 times. Keep in mind that when, as an expert witness, I arrive at an opinion that does not support their side, they often settle the case instead of having me testify. That happens about 1 in every 4 times.
27 Learned treatise: Is it authoritative? Well, everybody I know has that book. It s a classic. So, yeah, I agree that it is the go-to guide on how to do a good assessment. I am know and respect that work but that does not mean I agree with everything in it. What specific portion do you want me to comment on?
28 Isn t it possible to have significant mental problems after a mild TBI? Well yes. But they would be even worse with a severe TBI. That is unlikely. Some transient symptoms such as headache or irritability can occur in the short run but they are typically not severe and do not last.
29 The binary question If you can answer in a straightforward manner, then do so. If not, you do not have to. I am not comfortable answering that with a simple Yes or No. I am afraid that it might be confusing or misleading to the jury / court. For that reason, I would like a brief moment to explain my opinion.
30 Can children with TBI have problems with a b c d etc.? Yes, they can. Yes, that too. Yes. Yes. Yes. Let s be clear what we re talking about; severe TBI, or mild TBI like in this child? Because the answer would be different.
31 Is it not true that most children recover well from early brain injury? Well, I am not sure that it is most but I must admit that I have seen good recovery in some cases. No. In fact, the opposite is true. The earlier the brain injury, the higher the chances for longerterm problems.
32 The use of dependent clauses (admit / deny) Although it is indeed possible for children to have cognitive problems in the absence of any brain injury, my review of this child s school records both before and after the accident clearly suggest a considerable drop in test scores. Given the fact that there were no other complicating factors, I consider it most likely that the TBI was responsible for that decline.
33 The use of dependent clauses (more admit / deny) Whereas there may be some children who continue to have emotional issues for many months after a mild traumatic brain injury, the literature as well as my own experience strongly suggests that the vast majority of those children have other complicating issues. In this case, it is important to note that the parents were in the midst of a messy divorce when that car accident occurred in which the child sustained minor injuries.
34 Trying to make you defensive: You saw this child only once. Did you talk to the child s best friend? To her coach? To any of a dozen other people who have known her for years and saw her many times? Did you?
35 The push & pull technique Heavens, no! Not only did I not talk to this child s best friend or her coach, I also did not talk to her great-grandmother, her next-door neighbor, or her brownie scouts leader. I talked to her, to her mother, and I read her school and medical records. Just like I would with any regular clinical patient.
36 Subjectivity Doctor, when you interpret those test results, that is just your subjective opinion, right? No, that is my objective, professional opinion. Are you telling me that every other doctor would agree with you? If they just look at the facts, and know what they are doing, then most likely yes.
37 Opposing experts So, then why does Dr. X not agree with you? Because she obviously does not know what she is talking about. I gave more than twice as many tests as she did, so that should tell you something.
38 Opposing experts So, then why does Dr. X not agree with you? You re going to have to ask her for the basis of her opinion. It is not clear from her report, it is not supported by any facts, and it does not fit with the consensus in the literature.
39 About that literature You need to have a sound understanding of the literature; preferably before you accept a case, and definitely before you start testifying. Make only references that are specific; don t confabulate or speculate. Emphasize consensus papers in well-respected, peer- reviewed journals.
40 The worst witnesses Come unprepared. Become defensive fast. Or become too arrogant. Talk way, way too much. Make things up on the go. Go beyond their own competence. Act as if it is their job to win the case.
41 The best witnesses Come fully, thoroughly prepared. Are comfortable with what they know and what they don t know. Talk in a concise, clear manner, in a language that ordinary people can understand, yet is still evidence-based. Focus on the facts, not on personal ego. Maintain a calm, professional composure.
42 In the end Always leave in a dignified manner. Don t go out of your way to try to find out who won or how much money they got. Remember: It s not about you. It really is just business. Just stay honest and objective. The most important thing: Be yourself.
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