CERTIFICATION TEST STUDY GUIDE

ELECTRONIC / DIGITAL

COURT REPORTER and TRANSCRIBER

AAERT, Inc.
www.aaert.org
 Copyright © 1996, 2003 by AAERT, Inc.

All rights reserved. No part of this publication may be reproduced, stored

in a retrieval system, or transmitted in any form or by any means
electronic or mechanical, or by photocopying, recording, or otherwise,
without the prior permission of AAERT, Inc.
 INTRODUCTION

This manual is primarily for your use in preparing to take the AAERT
electronic (analog and / or digital) court reporting and transcribing
certification tests.

Ours is an industry with a varied clientele. Therefore, no single manual can

address all situations or cover all bases. This covers at least a wide range of
professional skills required for proficient electronic court reporters and
transcribers.

We all share a business and professional goal: turning truly ephemeral

human communications (messy and disorganized as they almost always are)
into a permanently accessible record — on paper, on disk, on tape, on video
— and on what is yet to come!

Sometimes there are no "right" or "wrong" solutions to particularly sticky

problems, and we are left with questions of good judgment — while keeping
in mind that our product must always be an undistorted, reliable reflection of
proceedings, at the same time useful and helpful to our clients.

Those who master a field not only know what they are doing, but also why.
Thus, in the following sections there are remarks on developments over time.
These may even spark your curiosity to delve further into some of the
esoterica people lump together as the law.
 TABLE OF CONTENTS

Section 1. Court Proceedings ......................................... 1-1

Jurisdiction.......................................................................................... 1-2
State Courts .................................................................................. 1-2
Federal Courts ............................................................................... 1-4
Administrative Agency Forums ........................................................ 1-5
Categories of Law ................................................................................ 1-5
Statutory Law................................................................................ 1-5
Common Law ................................................................................ 1-6
Administrative Law......................................................................... 1-7
Law Versus Equity................................................................................ 1-7
Court Opinions ..................................................................................... 1-8
Proceedings Before Trial ........................................................................ 1-9
Discovery .....................................................................................1-11
Court Proceedings .........................................................................1-12
Standard Order of Trial.........................................................................1-15
A Civil Suit in State Court Without a Jury ..............................................1-16
A Criminal Case in State Court..............................................................1-19
Proceedings After Trial...................................................................1-24
A List of Phrases and Meanings ............................................................1-25
Sample Multiple-Choice Questions .........................................................1-35
Answer Key........................................................................................1-39

Section 2. Legal Terminology (Law Latin) ......................... 2-1

Common Construction Forms................................................................. 2-2
List of Common Phrases and Meanings ................................................... 2-4
Two Deductive Examples .....................................................................2-13
Sample Test Questions ........................................................................2-14
Answer Key........................................................................................2-17

Section 3. Proofreading ................................................. 3-1

Punctuation Standards .......................................................................... 3-3
Period ........................................................................................... 3-3
Question Mark ............................................................................... 3-5
Exclamation Point........................................................................... 3-6
Colon............................................................................................ 3-6
Semicolon ....................................................................................3-10
Comma ........................................................................................3-11
Quotation Marks ...........................................................................3-19
Direct Quotation of Other People’s Speech.......................................3-19
 Self-Quoting .................................................................................3-19
Direct Quotation From Documents ..................................................3-19
Quotations Within Quotations .........................................................3-21
Getting Into and Out of Quotations .................................................3-22
Apostrophe ..................................................................................3-25
Dash............................................................................................3-27
Parentheses..................................................................................3-28
Hyphen ........................................................................................3-29
Ellipsis .........................................................................................3-30
Capitalization ......................................................................................3-31
Spelling ..............................................................................................3-33
Homonyms and Homophones................................................................3-35
Paragraphs .........................................................................................3-38

Section 4. Technical (General) ........................................4-1

Assumptions.........................................................................................4-1
Tape Issues ..........................................................................................4-2
Primary Tape Speed Switch..............................................................4-2
Variable Speed Control ....................................................................4-3
Pitch Control ..................................................................................4-3
Tone Control ..................................................................................4-3
"Auto-Reverse" Timing Control .........................................................4-3
Dedicated Transcribing Machines ............................................................4-4
Dual-Purpose Transcriber/Recorder ..........................................................4-4
Maintenance Issues/Cleaning ............................................................4-4
Problems ..............................................................................................4-4
Computer-Related Comments..................................................................4-6
Memory: Ram, Rom, and Your Hard Disk ..........................................4-6
Bits and Bytes ................................................................................4-7
Hard Disk or Drive ...........................................................................4-8
Boot ..............................................................................................4-8
Macros ..........................................................................................4-8

Section 5. Transcript Format Issues.................................5-1

Federal District / Bankruptcy Court Standards ...........................................5-1
Title Page .............................................................................................5-2
An Index Page Sample ...........................................................................5-4
A Proceedings Page Sample....................................................................5-5
Pagination Alternatives ..........................................................................5-6
Swearing / Affirming Witnesses ..............................................................5-7
Headers ...............................................................................................5-8
Parenthetical Comments.........................................................................5-8
Question and Answer (Q/A) Format .........................................................5-9
Moving Between Q/A and Colloquy ...................................................5-9
A Certificate Sample............................................................................5-11
Transcript Certification Issues.........................................................5-11
 Recess / Afternoon or Evening Session ..................................................5-12
Jury In / Out .......................................................................................5-13
Striking From the Record ......................................................................5-13
Exhibits – Marking and Receiving ..........................................................5-14
Exhibit-Related Comments..............................................................5-14
Transcriber Responsibilities...................................................................5-16
Official Record ..............................................................................5-16
Interacting With the Electronic Court Reporter ..................................5-16
Professional Judgment Calls ...........................................................5-17
Your Research Responsibilities ........................................................5-17
Standard References......................................................................5-18
The Internet..................................................................................5-18
Transcribing Situations and Problems .....................................................5-19
Chopped-Down / Slurred Speech....................................................5-20
Standard Contractions ...................................................................5-21
Find Clues to Meaning in Pauses / Word Emphasis ............................5-21
Regional Usage: ............................................................................5-22
Mispronunciation, Non-Standard English, Bad Grammar ....................5-22
Misstatements — [sic] ...................................................................5-23
Playbacks.....................................................................................5-23
Other Recordings or Videotapes Played ............................................5-24
Quoted Materials – Reciting Punctuation Marks ................................5-25
Fractured Quotations .....................................................................5-25
Dialogues .....................................................................................5-26
Quoting From Documents...............................................................5-26
Quoting From Prior Transcripts .......................................................5-27
Quoting Documents Other Than Prior Transcripts ..............................5-28
Editorialized Quotations..................................................................5-29
Interruptions and Double-Dashes .....................................................5-31
Verbal Content....................................................................................5-32
Tics and Mannerisms .....................................................................5-32
Changes of Thought ......................................................................5-33
False Starts May Be Omitted ..........................................................5-34
Stutters Should Be Omitted ............................................................5-34
Private Communications.................................................................5-35
Sidebar / Bench Conference............................................................5-35
Indiscernible Speech ......................................................................5-36
Non-Verbal Considerations....................................................................5-38
Numbers ............................................................................................5-39
Spelling Out Words on the Record .........................................................5-44
Typeface for Style ...............................................................................5-45
Interpreters / Translators ......................................................................5-46

Section 6. Non-Legal Terminology ................................... 6-1

Some Examples From Medicine .............................................................. 6-1
Some Examples From Business / Government .......................................... 6-4
Section 7. Electronic Court Reporting ..............................7-1
Basic Technical Principles .......................................................................7-2
Audio Cassette Tapes ............................................................................7-2
Tape and Cassette Features....................................................................7-3
About Equipment ..................................................................................7-5
Dual-Cassette Recording Machine .....................................................7-5
Function Controls............................................................................7-5
Transcribing Functions .....................................................................7-8
Cables and Connectors ....................................................................7-8
Y-Connectors..................................................................................7-9
Microphones .........................................................................................7-9
Omnidirectional .............................................................................7-10
Directional / Cardioid / Unidirectional ...............................................7-10
Batteries ......................................................................................7-10
Voice-Activated Microphones .........................................................7-10
Microphone Placement .........................................................................7-11
General Considerations ..................................................................7-11
"Live" and "Dead" Rooms ..............................................................7-11
Public Address Systems .................................................................7-11
Human Factors .............................................................................7-12
Channel Distribution / Assignment .........................................................7-12
Standard Formal Hearings ..............................................................7-12
Adding a Podium...........................................................................7-13
Adding an Easel ............................................................................7-13
Jury Trials ....................................................................................7-13
Jury Voir Dire and Sidebar..............................................................7-14
Opening / Closing Statements to a Jury ...........................................7-15
Permanent Installations ..................................................................7-16
Administrative Proceedings; Conferences .........................................7-16
Unconventional Rooms ..................................................................7-17
The Reporter's Work Location.........................................................7-18
Equipment Maintenance .................................................................7-18
Reporter Responsibilities ......................................................................7-19
Preparation: Supplies ....................................................................7-19
Testing the Equipment ...................................................................7-20
Microphone Check ........................................................................7-21
When to Record ............................................................................7-22
Tape Monitoring............................................................................7-23
Monitoring the Participants.............................................................7-23
Getting a Good Recording ..............................................................7-23
Scratching, Tapping, Moving, and Covering Microphones...................7-23
Whispered Off-The-Record Conversations ........................................7-23
Tape Changes .....................................................................................7-24
Sidebar or Bench Conference ................................................................7-24
Jury Voir Dire .....................................................................................7-24
Interpreters.........................................................................................7-24
 Radio Frequency Interference (Rfi): ........................................................7-24
Extraneous Noise.................................................................................7-25
Playbacks ...........................................................................................7-25
Tape Custody .....................................................................................7-29
Log Notes...........................................................................................7-29
Order of Importance ......................................................................7-30
Speaker Identification ....................................................................7-30
The "Notes" Section of the Log ......................................................7-31
Tape Counter Numbers ..................................................................7-31
Times of Important Events .............................................................7-32
Non-Verbal Events.........................................................................7-32
Appearance Sheet .........................................................................7-32
Exhibit / Witness Summary.............................................................7-33
Names / Terms List .......................................................................7-33
Examples of Log Notes ..................................................................7-34
Troubleshooting ..................................................................................7-36
Some Sample Test Questions ...............................................................7-38
Sample Test Answers ..........................................................................7-40

Section 8. A Digital Overview......................................... 8-1

Background ......................................................................................... 8-1
Digital v. Analog ............................................................................ 8-1
The Principle of Sampling ................................................................ 8-1
Some Digital Advantages ................................................................ 8-2
Digital Certification Testing ............................................................. 8-2
The FTR System ............................................................................ 8-3
Sampling Rate................................................................................ 8-3
Compression.................................................................................. 8-3

Section 9. Digital Court Reporting ................................... 9-1

FTR Digital Recording Hardware Requirements......................................... 9-1
Minimum Computer Requirements (4-Channel Recording) .................... 9-1
Additional Required Equipment......................................................... 9-2
FTR Reporter — Getting Started ............................................................. 9-2
Recording Functions ....................................................................... 9-3
Monitor Your Recording .................................................................. 9-5
Reporter's Playback Panel...................................................................... 9-6
Playback Functions......................................................................... 9-7
Playing Back a Portion of the Record ................................................ 9-9
Copying an Audio Recording to CD-ROM..........................................9-10
Troubleshooting FTR Reporter.........................................................9-11
FTR Log Notes ....................................................................................9-12
Log Notes Functions ......................................................................9-12
Transcript Page Estimates Via the Playback Panel .............................9-15
Transferring Audio Files Over the Internet ........................................9-16
Troubleshooting FTR Log Notes ......................................................9-18
Section 10. Digital Transcribing .................................... 10-1
Background ........................................................................................10-1
Digital Transcriber Certification Testing............................................10-1
Transcription Hardware Requirements..............................................10-1
Additional Required Equipment........................................................10-2
Player Plus Functions ...........................................................................10-3
Volume / Speed Controls................................................................10-6
Playback Speed Control .................................................................10-6
Selecting Only a Portion of a Longer Audio Recording........................10-7
Using The Reporter's Digital Log Notes ..................................................10-8
Audio Links ..................................................................................10-8
Functions .....................................................................................10-9
Calculating Transcript Page Estimates..............................................10-9
Transferring Audio Files Over the Internet ......................................10-10
Troubleshooting for Digital Transcribers .........................................10-12

Section 11. References................................................ 11-1

SECTION 0.
SECTION 1. COURT PROCEEDINGS
This section discusses: Background
Jurisdictions
State courts
Federal courts
Administrative agency forums
Categories of law:
statutory
common
administrative
Law versus equity
Court opinions
Processes and proceedings:
Pretrial discovery
Court proceedings:
A civil suit in state court without a jury
A criminal case in state court with a jury
Typical order of trial
A list of phrases and meanings
Sample test questions
(Answer key at the end of this section)

BACKGROUND

Our judicial system is arguably the most complex in the world. Actually, we should
speak of "systems.” One reason for the complexity: ours is a federated country
with its component units sharing some overlapping powers, yet having exclusive
control in other areas.

Another reason is that Americans may well be the most litigious people in the
world: we have more attorneys per capita than anywhere else, and apparently
share a love/hate relationship with laws and lawsuits in general, and appeals in
particular.

Yet a third reason for what, to many lay observers, is confusion, is that we
inherited so much of our jurisprudence from a completely different system:
a non-federal, culturally unitary, parliamentary kingdom which had its own arcane
developmental history long before we built our fifty-one constitutional
superstructures on top.

This section will not qualify anyone as a paralegal, as it is extremely simplified. But
it always helps to have a general survey of what are, after all, the underpinnings of
our professional field.
1-2 Section 1. Court Proceedings

JURISDICTION

Our federated system includes three types of courts:

1) State courts (some of which predated the Constitution, had a long

development during the colonial period, and merely continued in existence
thereafter);

2) Constitution Article I specialized courts, created by Congress; and

3) The Article III Supreme Court and its subordinate judiciary as the coequal
third branch of the federal government.

All courts have two types of jurisdiction: subject matter and territorial.

Thus, the United States Tax Court cannot handle a murder case, as its
subject matter jurisdiction is limited to disputes with the Internal Revenue
Service. Certain lower state courts are limited to cases involving X dollars or
less.

On the other hand, Maryland courts are limited to hearing cases filed in
Maryland, as they lack authority beyond the state line. (Defendants may
reside elsewhere, however, and Maryland can summon them to answer
complaints filed in Maryland.)

Certain higher state courts are often referred to as courts of general

jurisdiction. This simply means they can hear all those cases that lower
courts cannot hear; however, they still operate within their territorial
limitations.

STATE COURTS

These courts differ from state to state, often quite dramatically (as in Louisiana,
with its French legal heritage), because their organizations, functions, and rules are
not subject to federal control — except, of course, that they may not operate in
violation of (1) the federal Constitution or (2) any laws passed by Congress which
specifically preempt state action (for example, matters relating to interstate
commerce).

Cases handled by the state courts may be shifted at some point into the federal
system if there is a "federal question" involved. For example, someone convicted of
a crime in state court may go through the tiers of appeal available within the state,
be stymied by denials, then allege a violation of some constitutional provision or
federal law which grants access to the federal system.
Section 1. Court Proceedings 1-3

The states, however, are generally left alone as sole arbiters of their own
constitutions and laws. But even here there are exceptions. An example is whether
a state can enact term limitations for its congressional delegation. The Supreme
Court has said it cannot, although the decision was not unanimous. The states can,
however, make almost any arrangements they want regarding state-level
officeholders.

State court systems typically have four tiers: at the top a state supreme court;
then an intermediate court of appeals; below that a superior, circuit, or district
court at the county level; and finally, city or municipal courts. The territorial
jurisdiction of county and municipal courts is their venue. The lowest courts may
also have limited subject matter jurisdiction depending on the amount of money
involved in a case or the type of offense being charged.

Some states have yet another threshold level, the justice of the peace, entrusted
with simple matters such as performing marriages. (But justices of the peace are
rapidly going out of fashion in the American system.)

There are also administrative "courts" or forums which hear disputes about specific
regulatory matters, such as appeals of property tax assessments or local zoning
restrictions.

State Supreme Court

Court[s] of Appeal

County X County Y State Agency

District Court District Court Appeals Boards

City A City C Agencies

City B City D
Agencies Agencies

The chart above is a general outline. Remember, at the county level as well as at
the larger cities' levels there would also be specialized courts; i.e., juvenile, family
— although these are often merely divisions of a unified jurisdictional system.
Generally speaking, "small claims courts" are not separate, but are divisions of a
court which is sitting temporarily under simplified rules. Counties and cities also
have administrative agencies.
1-4 Section 1. Court Proceedings

Although the outline is fairly standard, each state can set up its judiciary as it sees
fit, and use whatever names it prefers. (E.g., in New York the "supreme court,
appellate division" is inferior to the "court of appeals," for reasons known only to
New Yorkers.)

FEDERAL COURTS

The federal judiciary is unitary. That is, one system operates throughout the
country under one set of rules. Although they may often receive a larger share of
public attention than the state courts do, federal courts are quite limited in the
kinds of cases they may hear.

The Supreme Court, as the highest tribunal, not only interprets the Constitution,
but has authority to invalidate ("strike down") acts of Congress (or even state
laws) in certain circumstances — a power not explicitly stated in the Constitution,
but first claimed by the Court in 1803 and developed even further since then.

Although people have been heard to vow, "I'll appeal all the way to the Supreme
Court!" the Court may simply refuse to hear a case if it doesn't want to — unless it
has original jurisdiction over the question and, therefore, must hear the case, as
when two states are having a dispute. (E.g., Arizona brings suit against California
over Colorado River water; the Court has no choice but to decide such conflicts.)

When the Supreme Court agrees to consider an appeal, it issues a writ of

certiorari to whatever lower court last ruled in the case. This orders up a
certified record of the prior proceedings for the Court to review.

However, if the Supreme Court refuses to hear a case, the very last ruling
made in the matter stands as the final result. Then the principle of res
judicata ("a decided thing") applies in its ultimate form.

The Supreme Court is usually most reluctant to reverse its prior rulings,
adhering to the doctrine of stare decisis ("let the decision stand"). This
principle is important because people rely heavily on the Court's precedents
when making decisions, whether they do so consciously or not. As society
changes over time, however, the Court may find a different ruling is more
appropriate than what went before. (A classic example is Plessy v. Ferguson
[1896], which established the "separate but equal" doctrine in civil rights
matters, but was reversed in 1954 [Brown v. Board of Education], when the
Court ordered an end "with all deliberate speed" to racial segregation.)

Below the Supreme Court (and under its administrative jurisdiction), Congress has
established various circuit courts of appeal, each responsible for several states, and
each overseen by a Supreme Court justice: eleven numbered circuits and a circuit
for the District of Columbia, a general federal circuit.
Section 1. Court Proceedings 1-5

Occasionally two or more circuit courts will decide appeals in cases which
are substantially similar in nature ("on all fours"), but they may have issued
contradictory rulings. The Supreme Court will nearly always conform such
differences between the circuits in order to keep federal law unitary.

The lowest tier of the federal judiciary is distributed among the states: the federal
district courts. Their general jurisdiction means nearly all actions in federal law
must begin there. Each state has at least one district; more populous states have
several. They are referred to geographically: the Eastern District of Pennsylvania,
for example. Although the federal district courts are on the lowest rung of their
ladder, they exercise formidable authority: they have, for example, the power to
issue writs of mandamus to compel an official or agency to perform a specific duty;
they can also forbid certain acts from being performed, whether temporarily or
permanently, by issuing injunctions.

There are also a number of special federal courts with authority over specific
matters (Tax Court for disputes with the Internal Revenue Service, Court of Federal
Claims for monetary suits against the federal government, Bankruptcy Court) —
and the list is longer than one might expect, extending into the realm of military
tribunals and courtsmartial, and admiralty.

ADMINISTRATIVE AGENCY FORUMS

Congress also allows certain federal regulatory agencies to establish administrative

"courts" or forums which rule in specific regulated areas (as when someone
contests a denial of Social Security benefits or alleges unlawful discrimination in
the workplace). Persons dissatisfied with these administrative rulings can generally
appeal into the higher federal judiciary, beginning at the district court level, but only
after all administrative remedies have been explored and exhausted.

CATEGORIES OF LAW

STATUTORY LAW

We think of law as something enacted by a legislature, and of course that is true,

but only to a point. Both congressional and state enactments are statutory law.
That is, we can point to a positive statement by the law-making branch of
government which either prescribes an action ("Thou shalt") or proscribes it ("Thou
shalt not"). Legislatures have nothing to do with so-called "natural law," and they
never enacted any element of the original "common" or customary law. Statutory
law may deal with civil or criminal matters.
1-6 Section 1. Court Proceedings

Federal statutes are contained in the United States Code, abbreviated U.S.C.
A typical Code citation might be typed as 26 U.S.C. 6652(a)(1)(B).

State enactments are found in their own code books, each with its special
form of reference. And counties and cities may enact their own ordinances.

COMMON LAW

Common law is a body of principles which are authoritative because they are
ancient and customary — the phrase is "from time immemorial" — or because they
are "judge-made law"; i.e., case decisions and opinions which have interpreted
statutes (whether or not the legislature ever had such results in mind).

However, the phrase "common law" is often viewed as encompassing all law
common to everyone, as opposed to special or local rules and regulations.

Remedies available to a winning plaintiff include specific performance, where the

losing defendant must do something (such as deliver promised merchandise), or
pay pecuniary (money) damages (such as for lost wages or for the repair of
damaged property). There may be an award of special damages, as for pain and
suffering due to an injury. The court may also grant punitive damages in an award
of extra money to the plaintiff, designed to punish the tortfeasor ("wrongdoer") and
to warn others not follow the same unwise course.

A large body of common law consists of torts (French for "wrongs" or "injuries"),
including such cases as a neighbor's biting (or endlessly yapping) dog, battery,
negligent damage to property, trespass, public nuisances, slander, libel, invasion of
privacy, and the various commercial torts (as in misrepresentation of products or
unfair business practices). The customary law of contracts comprises another large
branch of common law.

Common law has always been known for drawing nice distinctions, sometimes
even more carefully than statutes do. Not surprising: common law has been
argued about much longer than any statutes have been. (For example, while all
theft is stealing, is all stealing theft? What the common law considered "theft" we
would probably call "shoplifting" at a store or pickpocketing directly from a person,
while entering onto/into property to steal, especially when no one is at home, was
common-law "burglary.") Many of these distinctions are now subsumed in
statutory law, especially in the criminal code.

Major principles of law are called "doctrines," and the doctrines generally have
"elements," each of which must be individually proven before the plaintiff can win.

For example, In the case of misrepresentation (fraud), five typical elements

of proof include a showing that (1) there was some representation made
concerning a material fact, (2) it was false, (3) the person making the
Section 1. Court Proceedings 1-7

representation knew it was false, or at least went ahead and made the
representation while knowing full well [s]he had insufficient information to do
so, (4) the intent was to induce another person to rely upon the
representation, and (5) the other person reasonably did so, to his/her injury
or damage.

At other times very little or no evidence is required. This is the doctrine of res ipsa
loquitur ("the thing speaks for itself"). And here is the case which established the
principle, although some still find it an objectionable twist in common law:

A man was walking in front of a warehouse, when suddenly a barrel fell on

him. The barrel obviously fell from an upper-story window of that building.
He sued, but lost his case at trial (it was declared a nonsuit, or a legal action
which cannot be maintained) because he had absolutely no evidence to show
how or why the barrel fell. He won on appeal, however, because the court
decided that barrels should not normally be falling from windows, and so the
mere fact that it had fallen was clear proof that somebody had been
negligent, whether or not the injured man could prove anything except that
he had been hurt by a falling barrel: the thing spoke for itself, and so the
warehouse owner had to pay.

Prima facie ("at first appearance") is distinguished from res ipsa loquitur. Prima
facie evidence is sufficient to allow plaintiffs to proceed with (and even win) their
cases, unless defendants can produce contrary evidence.

ADMINISTRATIVE LAW

Administrative or regulatory law is quasi-statutory in nature. For example, a

legislature may pass a law simply saying, "We will regulate adoptions," then let a
state agency propose and administer the actual adoption rules: Who, When, How.

Federal agency regulations are found in the Code of Federal Regulations,

abbreviated C.F.R. And each state has its own set of regulations to implement its
statutes. There are county and municipal agency regulations, as well.

LAW VERSUS EQUITY

Statutory law is relatively rigid. That is, if the law says you must perform a certain
act within ninety days (such as filing an appeal), acting on the ninety-first day
means you must lose. But judges occasionally can work around even clear
statutory provisions by interposing principles of equity in cases where someone has
not met a legal standard through no fault of his/her own. However, legislatures tend
to frown on their provisions being unilaterally modified by the courts.
1-8 Section 1. Court Proceedings

The mere fact that common law is customary and/or "judge-made" does not mean
it is endlessly flexible. In fact, some common-law principles are so strict that they
themselves occasionally cause obvious injustices.

A somewhat amusing example comes from a very early standard that

imposed penalties for chopping down someone's trees. But if you chopped
down your neighbor's vines, and he was foolish enough to sue you for
damaging these vines, he could get no remedy at all. Why? Because the
judges had spoken of trees, but not of vines. A plaintiff, therefore, was
forced to call his vines "trees" in order to win. (Thus the phrase "legal
fiction.")

Contract law was particularly rigid, and injustices often ensued:

When automobiles were first made, they had wheels with wooden spokes.
Mrs. MacPherson bought an early Buick from a dealer. A wheel broke apart,
her car crashed, and she was injured. She sued the dealer, who defended
himself by saying, "I didn't build the car; how could I have known the wheel
was defective?" The court agreed with that logic, and MacPherson lost. She
then sued Buick. Buick defended itself by pointing out that it had not sold
the car to her and, therefore, they had no privity of contract relationship —
and she lost again. (She eventually won on appeal, and product liability law
began to develop in the United States.)

Not all courts have equitable powers. That is, the legislature which sets up the
court may narrowly constrain it to the "black letter" of the law (basic principles
found in the statutes). An example is the United States Tax Court, which must
enforce regulations of the Internal Revenue Code no matter how unreasonable or
unfair the result may be to a particular taxpayer.

COURT OPINIONS

Opinions and findings of judges and jury verdicts are said to be published when
read or stated aloud in court. This does not mean, however, that they find their
way into bound books, but is a very specialized use of the word "published."
When we speak of published decisions here, we mean the officially recognized
volumes of printed case law.

State and federal appellate courts, including the Supreme Court, may issue written
opinions or they may decide a matter without any explanatory comments
whatsoever.
Section 1. Court Proceedings 1-9

State appellate opinions are printed in sets of volumes. Several states are lumped
together to form each set (the Atlantic, the Pacific, and so on). Federal appellate
opinions are also compiled and published. The federal decisions tend to be cited
most frequently. When you hear the phrase "fed second," that stands for the
second set of federal volumes, and is transcribed as F.2d. The volume of federal
court business is so large that they are now in their third set, "fed third," F.3d.

When lawyers make specific references to prior case law, they are citing a
precedent. There is an accepted uniform system used for citing these decisions, so
that everybody can find them.

Statutory law, both state and federal, is also cited according to rules. The
laws are named and numbered/lettered differently from jurisdiction to
jurisdiction, and some systems are more complex than others (decimal points
in the midst of numbers, parenthetical small Roman numerals, hyphens in
unexpected places, etc.).

Court opinions, for example, are typically cited by case name, volume number, the
court's name, the page number, and court term (year of decision). So if you see a
citation that reads "Smith v. Thomas, 146 U.S. 1382 (2001)," it means the Smith
decision is printed in Volume 146 of the federal Supreme Court's published
opinions, beginning at page 1382, handed down in 2001. (The "U.S." part of the
citation always refers to that Court only.)

When an opinion includes extraneous comments by way of illustration or

explanation, these dicta [singular, dictum], however enlightening, cannot be
cited as precedents.

Significant rulings are often called benchmark or landmark decisions. These may
affect very large numbers of people, they may change long-established legal
principles, or they may even establish completely new legal standards.

Checking to see whether a prior opinion is still valid or has been changed by a
successful appeal is called Shepardizing. Shepard's Citations is a standard
reference work. Much legal research is now done, however, on computer services
such as Lexis.

PROCEEDINGS BEFORE TRIAL

American law is adversarial; i.e., parties disagree on some matter and appear in
court to resolve the dispute. (Remember, the forum selected must have competent
jurisdiction in both the subject matter and locality [venue].)

However, due to cost, time involved, and complexity of litigation, alternative

dispute resolution (typically by arbitration) is gaining in popularity.
1-10 Section 1. Court Proceedings

But if you "take someone to court," you obviously feel wronged. You believe you
have a valid cause of action. As the plaintiff, you file a complaint, which introduces
your allegation of some wrongdoing ("This is what he did") and requests specific
relief ("And this is what I want done about it"). These are your pleadings.

Now the court knows about the suit, but the defendant isn't officially
notified until the court issues a summons to him. In some places the sheriff
or marshal provides this service; or private process-servers may do so.

By this summons the court is, more or less, telling the defendant "Mary says
you did X, and she wants us to do Y about it. Come next Monday and
explain why we shouldn't agree with her."

In due course the defendant answers the complaint, offering reasons why he
believes no relief should be granted to the plaintiff.

In some situations, such as in administrative hearings, the plaintiff may be

referred to as "petitioner" and the defendant as "respondent."

The defendant may also feel wronged ("Hey, it was the other way around!")
and may file a cross-complaint; now the plaintiff is also a cross-defendant.

The case is assigned a docket number which places it on the court's calendar of
scheduled matters.

Any aggrieved party (or even a group of people, if they share sufficient
interest in the outcome of a cause — a "class action") — may seek redress
by filing a civil lawsuit. Of course, the plaintiff must have standing to do so.

For example, you may not sue a negligent motorist for damages because he
rear-ended your cousin's car; it would have to be your car. A state may also
bring civil actions, as when its banking or other regulations are violated.

Note: in criminal cases the state, as representing the people, is always the
prosecuting complainant, and the person accused of a crime is always the
defendant. (Victims of crime, no matter how personally aggrieved, never
prosecute criminal cases.)

Each side may file initial motions in limine ("on the threshold" of the case). These
can relate to anything affecting a party's cause: divulging of important records
possessed by the opposing party; access to experts or other potential witnesses;
suppression of evidence deemed improper to present in the case; obtaining
protective orders to "seal" certain evidence from public disclosure (such as the
technical details of a company's patents). These motions may take up much court
time before the trial actually begins.
Section 1. Court Proceedings 1-11

DISCOVERY

The parties marshal their evidence during a discovery period.

• Each side may pose questions to the opposing side by means of written
interrogatories which, if left unanswered, may be deemed admitted. The
written answers may be used later during trial.

• Each side gathers documents — not only its own, but also those produced
by the other party. If anyone balks at producing what is requested, a motion
to compel may be filed and, if the court agrees the documents are
necessary, it can issue an order which forces disclosure. However, most
litigants respond without coercion during discovery.

• Of course, neither side wants to be caught off guard by any surprises, so

potential witnesses are deposed in depositions which are reduced to writing
for future reference.

Should a deponent later testify differently in court, he may be impeached by

referring back to what was recorded earlier in the deposition. A witness
whose testimony is impeached may then be rehabilitated by satisfactorily
explaining to the court why the prior statement was incorrect and why what
he is currently saying is true.

Note: We refer to depositions as being out-of-court testimony sworn to

under penalties of perjury. Those with religious or philosophical scruples
against oath-taking may solemnly affirm to tell the truth.

Whether taken under oath or affirmation, a deposition is recorded before a

notary public who is commissioned to act as the state's impartial witness at
such proceedings, and who is empowered to administer oaths

Deponents may read their transcribed depositions, note any substantive

errors (errata) they may find, and sign the deposition. Or they may choose
not to sign and waive this further involvement. In either case, because the
deposition was taken under oath/affirmation in the presence of both sides'
attorneys and a notary, it is an authoritative evidentiary document, should it
ever be needed in court — for example, if the deponent were to die or
otherwise be unavailable, or simply for impeachment purposes.

• Sworn affidavits may be obtained from those having pertinent information.

So-called "sworn statements" are similar to affidavits.

Other individuals may be asked to make unsworn statements outlining what

they know about a matter. Although not taken under oath, such a statement
may still provide a basis for later impeachment of an individual's credibility.
1-12 Section 1. Court Proceedings

There are also declarations, which are statements made by individuals who
have some personal interest in the outcome of the case, not merely
knowledge of relevant facts. Typically, declarations are unsworn documents.

• Expert witnesses may be deposed to give their opinion testimony, or they

may submit reports concerning various issues in the case. Expert testimony
is admitted only as an aid to the court in understanding technical matters.

Regardless of the parties' views and wishes, however, the trial judge alone
decides whether an individual is truly an expert in any field. This decision is
made after the judge hears the expert examined in voir dire (French "to see,
to say") when his/her qualifications are disclosed, or the court has evaluated
the expert's curriculum vitae (Latin "course of life"), a list of the expert's
accomplishments and credentials.

Lay (non-expert) witnesses, on the other hand, are not permitted to express
their opinions, but are restricted to reciting facts — what they did or saw.
(They are the percipient witnesses.) They do not relate what third parties
have told them (hearsay) or what they may have read about a subject.

Despite that principle, however, there are numerous exceptions to this

hearsay rule. Examples of exceptions are references to public records and
reports such as marriage licenses, or a person's general reputation in the
community at large, or data produced in the ordinary course of business.

• The information which each side amasses in order to bolster its case is
exchanged before trial, as are lists of prospective witnesses.

A late-breaking dramatic surprise witness, so dear to scriptwriters, is

generally limited to a plaintiff's rebuttal or a defendant's surrebuttal
evidence, when each side is trying to impeach prior evidence already
presented by the opposing party.

• Many lawsuits are settled before trial, when it becomes clear that reaching
an accommodation is better than incurring the costs and risks of litigation.
Most lawyers and probably all judges prefer settlement to trial as a matter of
judicial economy.

COURT PROCEEDINGS

Because of the complexities involved, courts keep minutes of case-related events

as they occur, beginning when the complaint is first filed. The court's clerks have
day-to-day responsibility for preparing these summaries — what motions were filed
and when, what the judge decided about them, what witnesses were called on the
first actual day of trial, etc. The minutes, however, are not what people call "the
record."
Section 1. Court Proceedings 1-13

The official record is the total body of evidence, whether oral or visual,
documentary or physical, which is the basis for an ultimate decision.

The court's reporters, whether using an electronic, shorthand, Stenographic,

or Stenomask method, are responsible for producing and maintaining the
official verbatim record. However, this may not be reduced to "hard copy"
unless the decision is appealed.

The official documentary evidence (paper exhibits, photographs, videotapes,

or other objects) is generally maintained by the clerks. Physical evidence in
criminal cases (such as guns, drugs, or cash) may be kept in the custody of
law enforcement agents.

Clerks are court employees; recorders or reporters may or may not be. In
addition, most courts have bailiffs or marshals available to help keep order.

Plaintiffs bear a burden of proof to present sufficient evidence to demonstrate the

validity (or at least plausibility) of their complaints.

What if a plaintiff does not carry that burden? What if the evidence is flimsy,
or by the end of his case in chief he has not presented evidence on all the
required elements necessary to support his claims? A defendant may then
move for an outright dismissal or summary judgment based on a plaintiff's
obvious failure to present adequate evidence.

A dismissal may be with or without prejudice. "With prejudice" means this

action against this defendant may not be brought again based upon these
facts, and the matter is thus res judicata ("a decided thing"). "Without
prejudice" means the plaintiff may try it again another day.

Note: Although there are many similarities, there are also significant
differences between civil and criminal trials. One difference is the
presumption of innocence. Defendants accused of a crime are presumed
innocent until proven guilty. Defendants in civil cases do not benefit from
such a presumption, and neither side's position is presumed to be correct in
advance.

Further, there is the question of what degree of certainty is required to reach

an ultimate decision. Civil matters are decided by a preponderance of
evidence, much as when scales begin to tip because one side weighs slightly
more than the other.

However, criminal matters are decided by evidence beyond a reasonable

doubt. That is, the scales have to do more than tip: one side has to come
down convincingly.
1-14 Section 1. Court Proceedings

The courts have struggled for years to clarify, illustrate, and explain these
concepts, with varying degrees of success.

Once all evidence has been presented, it is decision time for the trier of fact. The
trier of fact is either a judge or a jury.

If a jury has been selected (by voir dire examination of their qualifications, just as
happens with expert witnesses), the jury meets in private to decide which facts are
true, which are false, which witnesses are credible, which are not, and how much
weight (if any) should be given to each item of evidence. Only the trier of fact is
allowed to make such judgment calls about the facts and witnesses.

Although it was settled centuries ago in England that a jury should consist of
twelve people, some jurisdictions now permit smaller juries, at least in
certain kinds of cases. And by the way, "juror" means "one who takes an
oath" and "verdict" means "a true statement" of the jury.

In high-profile matters (most often criminal cases) where there is a danger

that the jurors' views may be unduly influenced by publicity or by emotional
responses running high in the community at large, the jury may be
sequestered or kept isolated until they reach their verdict.

Traditionally, juries were instructed to reach unanimous verdicts. Some

jurisdictions now permit less than unanimity. If the jurors cannot reach any
verdict at all, they are popularly called a hung jury, and the judge must
declare a mistrial. (The plaintiff then decides whether to try again with a new
jury.)

However, the jury is not the arbiter of law. That is the sole prerogative of the
judge, who instructs the jury on what the law says. Although jurors are instructed
not to make private judgments about whether the law in question is good, bad, or
indifferent, there still remain some questions whether jurors really put such
considerations entirely out of mind, as they are instructed to do.

After listening to the judge's instructions, the jury retires to deliberate in private,
then applies the law to the facts found to be true, and in due course reaches its
verdict.

Cases may or may not involve a jury. If a case is tried before the court, the judge
wears two hats, both as trier of fact and also as arbiter of law. Whether cases are
tried before a jury or only a judge may depend on the sums involved, as well as the
wishes of the parties — jury trials tend to be longer and more expensive.

Not all types of cases require juries. There are no juries allowed in federal
Tax Court, for example, or in Bankruptcy Court. Many civil matters, as a
matter of law, do not involve juries.
Section 1. Court Proceedings 1-15

Note: Defendants in serious criminal cases always have the right to a jury
trial, although they may waive that right and allow a presiding judge to
decide the matter alone.

Complex cases may be bifurcated ("two-pronged"), where one trial is held to

decide which party is to win, and then a separate hearing is held on the question of
penalty. This is a matter of judicial economy, because if the finding is for the
defendant (or in criminal cases the verdict is acquittal), the question of what
penalty to impose is moot.

STANDARD ORDER OF TRIAL

Note the typical order of events:

DISCOVERY: Investigating, witness depositions, marshaling of evidence. Each

side discloses what evidence it intends to present at trial, the
witnesses it may call, and provides any expert opinion reports it
may wish to use at trial.

TRIAL: Opening statements.

Plaintiff's case in chief:
Each lay witness undergoes:
Direct examination
Cross-examination
Redirect examination
Recross-examination.
Each expert witness undergoes:
Direct examination by way of introduction
Voir dire examination to determine qualifications
Resumed direct examination to provide opinions
Cross-examination
Redirect examination
Recross-examination.
Defendant's case in chief follows the pattern of plaintiff's case.
Plaintiff's rebuttal case (if any).
Defendant's surrebuttal case (if any).
Closing arguments.

DECISION: Finding for plaintiff or defendant.

If for plaintiff, an order is issued for appropriate relief.

Now we will trace a typical civil and then a criminal proceeding through their
various steps and processes. Because most states closely follow federal
procedures, even though they do not have to, we will consider:
1-16 Section 1. Court Proceedings

A CIVIL SUIT IN STATE COURT WITHOUT A JURY

THE FACTS

Bob Smith entered into a private contract with Tom Jones to buy a house. Shortly
after he moved in, there was a heavy rainstorm, and the roof began leaking. Bob
then discovered, far back in the attic, a series of pans placed between ceiling
rafters. He took some photographs of the pans filled with water and the stains on
the ceilings, which he said had appeared only after the rainstorm.

THE SUIT

Bob sues Tom in the district court for his county; all the proper procedures are
followed. The pleading is to rescind the contract, alleging that Tom must have
known the roof was unsound, and should have said something about it. Bob does
not say Tom broke any statute, but bases his suit on the common-law principle of
constructive fraud.

In the alternative, if he should lose on rescinding the contract, Bob asks for money
damages in the amount it will cost him to put on a new roof.

BEFORE TRIAL

Both parties have agreed not to ask for a jury trial. In the discovery phase both
sides found that there were few documents which might shed much light on the
situation, other than the contract itself, which specifically referred to the purchase
of the house "as is." This was a preprinted contract form which Tom had purchased
from a realtor, and the "as is" language was embedded within one of its more
obscure paragraphs.

Various depositions were taken from Bob, his friends, Tom, and a local roofing
contractor who knows the business:

• Bob said he had never seen the pans before the rainstorm forced him to go up into
the attic to see where the water was coming in.

• Bob's friends said there were no stains on the ceilings when they helped him to
move in.

• Tom said the pans were already there when he first bought the house, and that the
roof was only a few years old, according to the man (unfortunately now deceased)
from whom he'd purchased it six years earlier. Tom said the roof had never leaked
while he lived there.

• The contractor said the roof was at the end of its useful fifteen-year lifespan, and
that leaks should come as no surprise.

AT TRIAL

As plaintiff, Bob's case was presented first. In her opening statement, Bob's
attorney outlined the various things which are necessary to prove fraud, and she
promised to present such evidence.
Section 1. Court Proceedings 1-17

Tom's attorney, in his opening statement for the defense, focused on the common-
law principle of caveat emptor, "let the buyer beware," and suggested that the
evidence would show Bob had been negligent in choosing to buy this particular
house.

Bob's attorney now began her case in chief. She called Bob to the stand to give
direct evidence about the sale negotiations, when and how he first discovered the
attic pans, and related matters.

The photographs he had taken were marked as plaintiff's exhibits for identification,
and Bob testified about when he had taken them.

Bob's attorney then moved to have the photographs introduced as exhibits. The
other side had no objection, and the judge admitted them into evidence.

Tom's attorney then cross-examined Bob. He inquired whether Bob had read the
contract.

Bob's attorney objected that this was beyond the scope of her direct examination,
as she had not asked about the contract. She also pointed out that any language
within the four corners of the document would speak for itself.

Tom's attorney replied that by going into the sale negotiations which had occurred
between Bob and Tom, she had opened the door to this line of questioning, as the
contract was the ultimate result of those very same negotiations.

The judge overruled the objection and permitted the questioning to continue.

The contract was marked as a defense exhibit.

Then Bob was asked if he had read it before signing. Bob said he had skimmed
through it. Now the question was posed: "Did you read the 'as is' language of the
contract?" Bob couldn't remember.

The defense moved the contract into evidence; without objection, it was received.

Now the question was whether Bob had inquired about the roof's condition. Bob
testified that he had not. Tom's attorney aggressively pursued this matter, wanting
to know why Bob had not crawled into the attic before buying the house to inspect
for possible roof problems. He got Bob to admit that he probably should have done
that.

Bob's attorney did not object to Tom's aggressive cross-examination; she decided to
wait until her redirect examination period.

Of course, Bob's attorney wanted to minimize the effects of that admission. She did
not want the judge to believe that Bob was in any way responsible, by neglecting to
examine the attic, for the roof repair expense he now faces. So on redirect
examination she asked if Bob had trusted Tom, and why. Bob testified that, yes, he
had trusted Tom, because Tom had voluntarily told him about pesky moles in the
lawn when they were first discussing a possible sale.

Tom's attorney objected on the ground that talking about moles in the lawn had
nothing to do with leaks in the roof and was, therefore, irrelevant.
1-18 Section 1. Court Proceedings

Bob's attorney noted that there might be a pattern in Tom's revealing certain flaws
in the property (probably rather obvious ones anyway, such as molehills), while not
revealing other flaws which were hidden.

The objection was overruled.

Now Bob's friends were called by his attorney to testify, and during direct
examination they repeated exactly what they had sworn to in their depositions: they
had helped Bob move in, and at that time had seen no water stains on the ceilings.

When cross-examining these people, Tom's attorney focused on how long they had
been Bob's friends and how much they liked him. He asked whether they had really
inspected each ceiling in the house with a specific view to checking for stains.

Finally, Bob's lawyer called the contractor as an expert witness on the expected
lifespans of roofs.

Tom's attorney interrupted with a voir dire examination to challenge this man's
qualifications, but the court accepted the contractor's many years of experience as
sufficient to render him an expert on the subject of roofs.

Direct examination was resumed after this voir dire, and the contractor gave his
opinion that a roof of that material, if only a few years old, would not normally leak.

Having no further evidence to present, Bob's attorney rested his case.

As defendant, Tom's case was presented next. His attorney called him to testify on
direct examination that the roof had never leaked while he lived there, and that he
was unaware of any problems in that area. Tom said he told Bob everything he knew
about flaws in the property, and that Bob had asked very few questions about
anything, and nothing at all about the roof.

On cross-examination, Bob's attorney asked whether Tom knew there were pans in
the attic. Tom said, yes, the pans were there when he first bought the house, but
they had never had water in them, as far as he ever knew. Asked why he had not
removed the pans if they weren't needed, Tom said he just hadn't bothered to.

Tom's attorney then rested.

When the judge asked if there was any further evidence, Bob's attorney called a
local painter to rebut some of Tom's statements.

Tom's attorney objected that this was surprise testimony from someone he had not
had an opportunity to depose during the discovery phase, and that painters have
nothing to do with roof repair, so it could not possibly be impeachment on rebuttal.

Bob's attorney pointed out that photographs of ceiling stains were in evidence, and
that painters have a great deal to do with ceilings which need paint.

The judge agreed. He also noted that just because he puts on his judicial robe in
chambers doesn't mean he has to leave common sense at the door. He ruled that
this was, indeed, a rebuttal witness intended to impeach Tom.

The painter testified that six weeks before this sale Tom had hired him to paint
several ceilings in the house to cover up unsightly water marks.
Section 1. Court Proceedings 1-19

Tom's attorney had no cross-examination questions for the painter.

As it was now noon, the judge recessed the case, calling for closing arguments that
afternoon.

During the recess Tom and his attorney conferred. In his attorney's opinion, they
were likely to lose the case, and Tom would be ordered either to take back the
property (refunding the down payment, less rent while Bob had lived there), or
perhaps the judge might order Tom to pay for a new roof. Tom definitely did not
want the house back; he had already moved into another property, and resuming
mortgage payments on the first house could bankrupt him. He authorized his
attorney to present a settlement offer to Bob.

Tom agreed to pay for a new roof, to be installed by a contractor mutually agreed
upon. He also agreed to pay court costs and Bob's attorney's fees.

When court reconvened that afternoon, both attorneys asked the judge to approve
their settlement.

A CRIMINAL CASE IN STATE COURT

THE FACTS

John Johnson was suspected of narcotics trafficking. A police officer, Barbara

Bates, went under cover to purchase several grams of crack cocaine from Bob,
paying with marked bills. Over a period of several weeks she arranged a number of
subsequent "buys," each for a larger amount. The police hoped that John would
grow to trust Barbara enough to eventually reveal his supplier — a far more
important target. Unfortunately, John never even hinted at his source, so it was
decided to close the sting operation and arrest him.

The police believed John had a large store of drugs in his apartment, so they first
presented an affidavit to one of the county district court magistrates, declaring they
had probable cause to believe drugs were in the apartment, and specifying what
they wished to look for and seize, if any drugs would be found. The magistrate
issued a warrant allowing a search of the apartment for illegal substances and any
documents or other paraphernalia related to drug trafficking.

The search was conducted while John was not at home, and the officers had to
break into the apartment. They seized a small quantity of cocaine, a set of metric
weights and scales, a box of small plastic bags, two cellular phones, and a diary.
They also confiscated $2,400 in cash and a small handgun. Each item seized was
put in a separate evidence bag and sealed. The supervising officer put her initials on
each bag's label.

John arrived home while the officers were inside his apartment. He was very
surprised to see Barbara. He was read his Miranda rights (the famous "You have the
right to remain silent" information). An officer searched through John's pockets,
then went down to the street where John's car was parked at curbside. They
searched the car and found a packet of white powder hidden in a false compartment
in the glove box. John was arrested and taken into custody.
1-20 Section 1. Court Proceedings

INTERIM PROCEEDINGS

John, although suspected of a felony, could not be kept in custody for very long
without some official action, so the district attorney's office immediately arranged
for the county's grand jury to consider the evidence that had been seized. The grand
jury decided that the evidence was sufficiently weighty to warrant a trial, and
returned a bill of indictment. This contained the official charges against John, and
listed the statutes he was accused of breaking. Each charge was recited in a
separate count.

John had to answer to the charges (plead guilty or not guilty), so he was arraigned
in order to lodge his plea with the court. As he had no funds to retain a lawyer, an
attorney from the county public defender's office had been appointed to represent
him. Had John refused to enter any plea at all, the court would have entered an
automatic "not guilty" plea for him. (Remember the presumption of innocence.)

Because John was still in custody, a bail hearing was necessary to determine
whether he should be set free on his own recognizance or held in custody pending
trial. At the hearing, the prosecutor argued that John might leave the state to avoid
possible conviction — he had no job, none of his relatives lived nearby, and he
owned no property. The magistrate agreed that there was a risk of flight, and set a
bail amount that would ensure John's return to court.

John did not have the funds to "make bail," so he was remanded to custody. (Had he
deposited the necessary bail money with the court, he would have been released. Of
course, he still could have fled prosecution ("jumped bail"), but in that case he would
forfeit the money, and might still be liable to extradition from the other state.)

John was entitled to a speedy trial, so a trial date in the near future was set.

DISCOVERY

The discovery phase in criminal cases is similar to that in civil suits, q.v., but it often
presents added complexities. For example, there may be forensic evidence needed —
in John's case, a chemical identification of the white powder found in his apartment
and car's glove box, and the exact weight of each seizure.

There will still be interviews, statements, and depositions, the gathering of other
evidence and weighing any potential value. Of particular interest to the prosecution
will be the gun, cellular phones, small plastic bags, and weighing devices. Expert
testimony (probably from an experienced detective) will be needed to show that
these are typical paraphernalia used by drug traffickers, and that large amounts of
cash lying about is not unusual for them.

From a certain standpoint, the search of John's apartment could also be considered
part of the discovery in this affair, as the officers discovered and seized quite a
number of things useful for their trial position.

FURTHER PROCEEDINGS

It is clearly beyond the scope of this guide to do more than outline a few of the
considerations which will face the court as matters progress in John's case. Some of
these questions will be subjects of pretrial motions and hearings. Others will arise at
appropriate points during trial. Some may be easy for the court to decide; others may
not be:
Section 1. Court Proceedings 1-21

• Did Barbara, acting in her undercover capacity, entrap John into getting drugs for
her? Would John likely have sold drugs to anyone other than Barbara?

• What had made the police suspect John in the first place? If the police had acted on
tips from unidentified informants, should they be identified so John could exercise
his right to confront his accusers?

• Did the police really have probable cause to believe drugs were stored in John's
apartment, just because he had sold them "on the street" to Barbara?

• Should the officers have waited until John was home to conduct the search? Was
their forced entry into his apartment justified?

• Did the search conducted in John's car exceed the scope of the warrant which had
only specified a search of the apartment?

• Was the chain of custody unbroken? That is, was there any time when the evidence
was outside the control of law enforcement and could have been tampered with?
How was it transported back and forth between the evidence locker and the testing
laboratory downtown?
1-22 Section 1. Court Proceedings

JURY SELECTION

A panel of citizens is randomly selected to undergo voir dire examination to

determine their individual qualifications to sit as jurors in a case. All are asked
standard questions, such as their occupations, where they live, their marital status,
and other simple background information.

The attorneys and the court agree in advance on the more substantive voir dire
questions, such as whether any of the potential jurors' friends or relatives are
employed in law enforcement, and other issues particularly relevant to the case.
These are phrased in such a way that potential bias toward one side or the other
will come to light. (For example, some citizens honestly feel the police often tamper
with or plant evidence; while others believe they almost never do.)

Each side may challenge a potential juror's qualification to sit on the jury.

Each side has a set number of peremptory challenges, where a person can be
dismissed from further consideration without the challenging attorney having
to tell the court why. However, there are unlimited challenges for cause,
where the attorney must inform the court why the person is challenged.

For example, if a potential juror stated that her son had died of a drug
overdose, she might well be challenged, with the reason given that
she would no doubt greatly dislike anyone accused of drug-dealing,
and would not be able to keep the presumption of innocence in mind.

Also, many citizens have difficulty distinguishing arrest and indictment

from guilt, reasoning that people who get arrested must at least have
done something wrong — perhaps akin to the "where there's smoke,
there's fire" theory. Although jury voir dire is designed to weed out
people who hold such misconceptions about our system, this is
not always successful.

When a sufficient number of jurors and alternates have been approved by the
parties and the court, the trial may begin.

TRIAL

The general order of presenting evidence is the same in both criminal and civil
trials: opening statements; the prosecutor's case in chief with direct and cross-
examination of witnesses and introduction of exhibits; the defendant's case in chief
with direct and cross-examination of witnesses and introduction of exhibits.
Section 1. Court Proceedings 1-23

Note: As the defendant is presumed innocent and the prosecution bears the
entire burden of proving otherwise, it is not necessary for the defendant to
take the stand to testify on his own behalf.

He does not have to explain what he did not do; that would be trying
to prove a negative. It is for the prosecution to explain to the jury's
satisfaction, beyond a reasonable doubt, what, when, where, and how
the defendant did do it — and, if the prosecution can do so, why he
did it. This is a much higher standard than applied in civil trials. Civil
cases involve money; criminal cases involve liberty, and in some
states may involve life itself.

Jurors are instructed not to draw any inferences, favorable or otherwise,

from the fact that a defendant did not take the stand and speak directly to
them. (Some think this is counsel of perfection, and jurors may unwittingly
feel the defendant must have something to hide if he does not speak up for
himself.)

The trial concludes with any prosecutorial rebuttal, any defense surrebuttal, and
then closing arguments.

The judge instructs the jury on the law they must apply to any facts they find to be
true, the standards of proof they must consider, the meaning of "weight of
evidence" and “beyond a reasonable doubt," and related legal issues peculiar to the
case. The jurors are also given instructions on how they are to conduct their
deliberations, and usually are given a verdict form to fill out which lists the
indictments and asks them to reach a decision concerning each one.

The jurors deliberate in private until a verdict is reached on each charge, or the jury
is unable to agree. In cases of inability to agree, court may reconvene so the judge
can encourage them to attempt diligently to fulfill their role in the process.

If the jury cannot agree and further deliberation would no doubt prove
fruitless, the judge must declare a mistrial, and the defendant is released.
The prosecution may begin the process again by refiling its charges.

But if the jury has reached a verdict, the judge and parties are informed, and court
is then reconvened for receipt of the verdict.

• If not guilty, the former defendant is free to leave.

• If guilty, the defendant is usually remanded to custody to await any further

proceedings that are necessary. Sentence is not usually imposed immediately
upon dismissing the jury.
1-24 Section 1. Court Proceedings

PROCEEDINGS AFTER TRIAL

SENTENCING

Many jurisdictions require their probation departments to conduct a pre-sentencing

investigation. This is to explore the convicted defendant's background, with a view
to aiding the judge in determining a just sentence. When the probation report is
available, a sentencing hearing is convened.

Some jurisdictions have established sentencing guidelines which the judge

must follow, unless there are significant mitigating circumstances which
might lead to a "downward departure" from the standard sentence (a lighter
one), or perhaps aggravating circumstances which might lead to an increase
the severity of the standard sentence ("a departure upwards").

The federal judiciary is uniformly subject to sentencing guidelines, and

possible mitigating/aggravating circumstances are well defined.

At the conclusion of this final hearing the judge imposes the sentence and instructs
law enforcement officials present to execute it.

APPEAL

Although an appeal from the verdict and/or sentence is possible, these proceedings
involve only the lawyers and the appellate body. The system is still an adversarial
one, but much, if not all, of the activity on this level is conducted by means of
documents, briefs, and responses to briefs. The appellate panel may schedule oral
argument, or it may issue its decision based solely upon the record placed before it.
Section 1. Court Proceedings 1-25

A LIST OF PHRASES AND MEANINGS

NOTE: These are simplified definitions, but represent what is typically meant in
common legal parlance:

action
lawsuit, case
adverse witness
witness whose testimony is prejudicial to the case of the party calling him
affidavit — affiant
written statement of facts made under oath; an affiant signs the affidavit
affirm
declare solemnly and formally, but not under oath
aggravating — mitigating circumstances
considerations that increase (aggravate) or decrease (mitigate) a sentence
imposed in criminal cases under sentencing guidelines
allocution
formal statement by convicted defendant as to whether there is any reason
why judgment should not be rendered against him/her
amendment
change or correction, whether beneficial or not, whether an addition or a
subtraction
answer — complaint
response by defendant denying plaintiff's complaint
arbitration
dispute mediation by impartial third party
arraignment
bringing an accused person to court to plead to a criminal charge
arrest — custody
restraint and detention of a person suspected of crime (temporary holding at
scene of crime for questioning is not arrest)
bail — own recognizance
technically, bail is the person who becomes surety for an accused person
that [s]he will appear in court; commonly, it is used to refer to the amount of
money pledged to the same end; release on one's own recognizance is the
simple promise to do so
bench conference
discussion between attorneys and the judge outside the hearing of the jury
or courtroom audience; such a discussion may or may not be on the record
bench warrant
authority to find and bring to court someone who has failed to appear
beyond a reasonable doubt — preponderance of evidence
beyond a reasonable doubt is the standard for conviction in a criminal trial;
preponderance of evidence is the standard for winning in a civil matter
1-26 Section 1. Court Proceedings

bifurcation
trial of certain issues separately, as guilt/penalty or complaint/damages
black letter law
basic principles of law, especially when published in statutes
Black's Law Dictionary
Important legal reference work including, at its end, a list of standard
abbreviations and other materials
briefs
papers submitted by attorneys either pre- or post-trial, explaining or
defending positions
burden of proof — standard of evidence
the burden of proof is the obligation to provide affirmative proof on an issue;
the standard of evidence is how much evidence (or what type) is required to
bear that burden
calendar
court schedule
case in chief
primary presentation of evidence by a party
case law
printed decisions and opinions of appellate jurisdictions
cause of action
situation causing a lawsuit
certiorari, writ of
appellate court order (especially from the Supreme Court) granting a hearing
to an appellant; if hearing is denied, the prior ruling stands; if hearing is
granted, the lower court is ordered to provide a certified record for the
appellate court to consider
chain of custody
record showing maintenance of "real" evidence, such as seized narcotics or
weapons, as opposed to mere documents
challenge
objection to including a prospective juror in the jury panel
chambers
a judge's office within a courthouse
charge to the jury
instructions from the judge concerning the law governing a case
chattel
an article of personal or movable property
circuit courts of appeal
federal appellate level immediately below Supreme Court
class action
suit joined in by a group of people, sometimes quite a large number, who
share significant interest in the outcome of a matter
Section 1. Court Proceedings 1-27

cloud on title — quiet title

a cloud on title is a valid claim or lien which impairs an owner's otherwise
free right to dispose of property; to remove such a claim, an action is
brought to quiet title
Code of Federal Regulations — C.F.R.
federal regulatory agency rules and regulations which implement federal law
collateral estoppel
a bar to relitigating an issue already been tried between the same parties
common law
customary, old, or "judge-made" law, as opposed to statutory law
complaint — answer
plaintiff's initial pleading which a defendant initially answers
concurrent sentences
two or more sentences served at the same time
conflict of interest
conflict between the private interests and public obligations of someone in a
position of authority
confront accusers
right of a person accused of crime to face those making the accusation
consecutive sentences
two or more sentences which must be served one after the other
contempt
willful act which disobeys court order; also, obstructing a court's functions,
or lessening its dignity
counter-claim
defendant's claim against a plaintiff
court minutes
summary records of events in a case, kept by the court clerk
cross-examination
questioning by opposing party after the side calling the witness has posed its
questions
deadlocked
a jury is unable to agree on a verdict
declarant — declaration
one having an interest in a matter who makes an unsworn statement; such a
statement is the declaration
defendant
person against whom a lawsuit is filed
deposition — deponent — deposed
questioning by attorneys of a party or witness under oath; the person being
questioned is the deponent, who then is said to be deposed
direct examination
questioning by the attorney who called the witness
direct testimony
answers given to questions posed by the attorney who calls the witness;
also, testimony given under oath by a person appearing pro se
1-28 Section 1. Court Proceedings

discovery
pretrial gathering and subsequent exchange of evidence
dismissed with prejudice — without prejudice
case dismissal: with prejudice, it cannot be brought again; without
prejudice, it can be brought again when appropriate
docket number
identifying number assigned when case is filed with court
emend
change or correct to improve the quality of a document
entrap
induce a person to commit a crime who otherwise would not commit one
equity
branch of law dealing with just results, not strict rules
errata (singular: erratum)
substantive errors found in a deposition or other document
estoppel — collateral estoppel
impediment to relitigating an issue which has already been tried between the
same parties
evidence
proof, written, oral, or visual, presented to support allegations in a case
examination
questions posed to a witness
execute
sign, complete, perform
exhibit
tangible item of evidence, a document or other object
expert — lay witness
one having special expertise which may assist a court, but who is not
connected with the case; lay witnesses are all others
extradition
bringing someone in custody from one jurisdiction to another, as from one
state to another state
F.2d, F.3d
second and third sets of published federal appellate decisions; the Federal
Reporter series of volumes
federal question
cases or issues which involve constitutional or federal law
forum
venue, tribunal
grand jury
special jury in criminal law which determines whether evidence is sufficient
to warrant trial; if the evidence is sufficient, the grand jury issues an
indictment
gravamen
the part of a charge that weighs most heavily against the accused
Section 1. Court Proceedings 1-29

hearsay — hearsay rule — exceptions

statement made by someone other than the witness who is testifying, or
third-party statements; set of rules defining hearsay; set of rules indicating
what is not hearsay
hypothecate
to pledge property as collateral for a debt
hostile witness
a witness called by one side, but whose interests lie with the other party, or
a reluctant witness who appears unwillingly in response to subpoena
impeached — rehabilitated
testimony contradicted with sufficient proof as to affect a witness's
credibility; reestablishing that credibility with further evidence
indictment — charges — counts
formal criminal charge laid against a person; the counts of the indictment are
the individual acts alleged to have broken the law
inference
logical conclusion drawn from a basis assumed or known to be true
informant
someone who gives information, especially against someone else
injunction
an order either forbidding or, in some circumstances, compelling an action
interlocutory
provisional, temporary, not yet finalized
interrogatories
questions posed in writing to a party before trial; the written answers may
be used during trial
intervenor
person voluntarily joining an action, with permission of the court
intestate
dying without having prepared a valid will
joinder
joining lawsuits together, or joining parties together in a single suit
judgment
official court decision
junior mortgage
a mortgage second in lien to a previous mortgage
jurisdiction — subject matter
questions a court is permitted to hear
jurisdiction — geographic (territorial)
area within which a court may exercise its authority to hear cases
jurisdiction — limited and general
limited jurisdiction: a court may consider only certain matters; general
jurisdiction: a court may hear any matter constitutionally permitted
jurisdiction — original
no court other than the specific one holding original jurisdiction may initially
consider the matter in question
1-30 Section 1. Court Proceedings

jury instructions
the court's explanation of the law provided to the jury before it begins its
deliberations
juror challenge — peremptory — for cause
either party may challenge a prospective juror; peremptory means no reason
must be given; for cause means some rational reason underlies the challenge
landmark or benchmark decision
particularly important holding or ruling that affects large segments of society,
establishes important new legal principles, or changes established ones
lay — expert witness
a lay witness is one without special knowledge or expertise; generally, any
fact witness is considered lay
lien
legal right or claim on specific property which attaches to the property until
the debt is satisfied
mechanic's lien
statutory claim created to ensure payment to contractors and suppliers on
construction projects
minutes
chronological record of court proceedings
mistrial
inability of a jury to reach a verdict results in mistrial; mistrial is also declared
when certain technical violations of court rules are deemed to be of such
significance as to threaten a possible miscarriage of justice
mitigating — aggravating circumstances
considerations that decrease (mitigate) or increase (aggravate) a sentence
imposed in criminal cases under sentencing guidelines
motion
application made for some action to be taken or ruling made by a court
motion in limine
motion brought during pretrial hearings or at the very beginning of trial, often
associated with technical matters relating to the case
motion to compel
often a motion in limine, in the nature of an injunction requiring a party to
comply with some court ruling
nonsuit
an action which is insufficient on its face to permit trial
oath — swear — affirm
a witness's formal promise to tell the truth during testimony
official record
the transcript of court proceedings, exhibits, and all physical evidence
on all fours — on point
cases whose underlying facts are similar
opinion testimony
provided by expert witnesses who have special expertise and, therefore, are
qualified to consider hypothetical situtions to aid the court's understanding
Section 1. Court Proceedings 1-31

own recognizance
a defendant in a criminal case who is released from custody, not by posting
bond, but on his simple promise to appear in court as required
parity
relative equality, as in status, amount, or value
pecuniary damages
a money award in compensation for damages sustained
percipient witness
a fact witness who has firsthand knowledge of a matter
plaintiff
person bringing an action against another party
plea — pleadings — prayer
document presented to a court by a plaintiff which cites alleged wrongdoing
on the part of a defendant and requests specific relief
precedent
a prior court ruling or opinion, whether by the same court or another
prejudice
bias or preconceived opinion formed before the evidence is heard
presumption of innocence
principle that a defendant in a criminal matter is considered innocent of crime
until sufficient evidence to the contrary has been presented in court
preponderance of evidence — beyond a reasonable doubt
preponderance of evidence is the standard for winning in a civil matter;
beyond a reasonable doubt is the standard for conviction in a criminal trial
privity of contract
contractual relationship between parties
probable cause
sufficient reason for law enforcement agents to obtain a search warrant or
to detain someone suspected of committing a crime
probation
releasing a person found guilty of an offense, but under strict supervision
proof hearing
after a default judgment, hearing where plaintiff presents the actual evidence
supporting his/her position
punitive damages
a money award to a plaintiff above and beyond actual damages [s]he may
have suffered, designed both to punish the tortfeasor/defendant and to warn
others against pursuing such a course of action
rebut — rebuttal — surrebuttal
a plaintiff presents rebuttal evidence to contradict points made in the
defendant's case; a defendant may then present surrebuttal evidence to
counteract the plaintiff's rebuttal
recant
formal retraction of a previous statement
recidivism — recidivist
a recidivist is a habitual, repeat criminal; the tendency is recidivism
1-32 Section 1. Court Proceedings

recission
cancellation or annulment, especially of a contract
recuse — recusal
to disqualify; a judge generally recuses her/himself when [s]he has a conflict
of interest or is otherwise biased in a matter toward either side
redact
to edit or revise, as in preparing a document for publication
remainder man
person who is to receive property after the death of a life tenant
remitter
operation of law which restores an earlier valid title, thus replacing a later
defective title
remittitur
a court's order reducing the amount of a grossly excessive jury award
riparian
relating to water rights and access to rivers and streams
ruling
court's decision on a legal question raised in a case
search warrant
judicial permission given to law enforcement agents to search premises or
persons for evidence of a suspected crime
scofflaw
one who not only breaks the law, but holds it in contempt
sealed
not open to public scrutiny
sentencing hearing — sentence
procedure after a criminal trial when the severity of the sentence is decided
and imposed
sequester
to remove or set apart, as a jury during deliberations or witnesses during trial
settlement
an agreement between parties, usually one which disposes of a lawsuit
Shepardizing
legal research into the ultimate outcome of a case after appeals
sidebar
counsel and judge discuss matters outside the hearing of the jury
standard of evidence — burden of proof
a standard of evidence is how much evidence (or what type) is required to
prevail; the burden of proof is the obligation to provide affirmative evidence
standing (to sue) doctrine
having sufficient interest in the outcome of an issue to permit filing a lawsuit
or participating in an action
statutory law — positive law
law enacted by a legislature
statement — declaration
written statement of facts, generally not made under oath
Section 1. Court Proceedings 1-33

suborn
to induce commission of an unlawful act, particularly to encourage perjured
testimony
subpoena — subpoena duces tecum — subpoena ad testificandum
formal order to appear in court; duces tecum means to supply specified
documents; ad testificandum means to come prepared to testify
strike — stricken
to remove a portion of the record from consideration by a fact-finder; the
material stricken remains physically in existence, however, in the event the
ruling to strike is found to be in error upon appeal
summary judgment
a procedure in civil cases where a party is entitled to prevail as a matter of
law, there being no genuine issue of material fact in dispute; the court's
decision is rendered before completion of a full trial
summons
official notice served upon a defendant that an action has been brought and
that [s]he must appear in court to answer the complaint; also, an order in an
administrative proceeding (such as an IRS tax audit) for production of
records, as by a financial institution
surplusage
irrelevant matter in a proceeding; excessive verbiage
surrebut — surrebuttal — rebuttal
a defendant presents surrebuttal evidence to contradict points made in the
plaintiff's rebuttal case
temporary restraining order
forbids a person from taking an action which, if performed, may cause
irreparable harm; it lasts until a hearing is held on the merits of the issue
(abbreviated TRO)
tenancy in common — joint tenancy
ownership of real property by two or more persons, each of whom has an
undivided interest with right of survivorship
testimony
evidence given by a witness under oath
tort — tortfeasor
a tort is a civil wrong; a tortfeasor is a defendant who is alleged or is
actually found to have committed such a wrong
transcript
verbatim record of what is said in court or deposition
trier of fact
one with responsibility to decide what evidence is true or which witnesses
are to be believed
United States Code — U.S.C.
the body of federal legislation enacted by Congress
venue
the place where something occurs; place where a crime is committed;
geographic area from which a jury is selected; jurisdiction in which a case is
heard
1-34 Section 1. Court Proceedings

verdict — verdict form

the decision made by a jury in a criminal matter; the official form presented
by a jury to the court proffering its findings
voir dire
examination of a witness, particularly an expert witness, as to his/her
qualifications to testify on a matter; examination of prospective jurors to
determine qualifications to sit on the jury panel
warrant — search
judicial permission to law enforcement agents to conduct a search of
premises or persons to identify evidence of possible crime
within the four corners — document speaks for itself
the actual contents of documents which require no special interpretation
writ
order issued by a court requiring an act be performed or granting authority to
perform an act
writ of certiorari
appellate court order (especially from the Supreme Court) granting a hearing
to an appellant; if hearing is denied, the prior ruling stands; if hearing is
granted, the lower court is ordered to provide a certified record for the
appellate court to consider
Section 1. Court Proceedings 1-35

SAMPLE MULTIPLE-CHOICE QUESTIONS

Circle the letter which best represents of the following typical court topics/events:

1. official record A. audiotapes and notes of proceedings

B. set of documentary exhibits
C. entire body of evidence in a case
D. transcript of oral testimony

2. sequester A. isolate unruly press reporters in civil trials

B. isolate jurors or witnesses
C. isolate crime victims to protect defendants
D. isolate panel of jurors before voir dire

3. minutes A. clerk's summary record of daily proceedings

B. general time allowed for bench conference
C. period for changing audiotapes
D. proceedings

4. deposition A. affidavit
B. declaration to prove attorney's fees
C. expert report submitted under notarial seal
D. sworn out-of-court testimony

5. venue A. place of trial

B. residence of a witness
C. sale of transcript
D. subpoena

6. punitive damages A. property damage caused by vandals

B. award granted to punish wrongdoing
C. fees paid to reward whistle-blowers
D. lost wages due to on-the-job injury

7. summary judgment A. adds punitive damages to plaintiff's award

B. issued in lieu of grand jury indictment
C. opinion issued during summer term
D. case dismissed for lack of evidence

8. opinion testimony A. given by a lay witness

B. hearsay testimony
C. given by expert witness
D. statements of third-party witnesses
1-36 Section 1. Court Proceedings

9. interrogatories A. answers provided to plaintiff's questions

B. demands made for withheld documents
C. examination of prospective jurors
D. questions asked by one party of another

10. U.S.C. A. Internal Revenue regulations

B. compilation of federal statues
C. laboratory doing forensic police work
D. University of Southern California

11. mistrial A. crucial witness cannot be located

B. exhibits are illegible
C. jury cannot reach a verdict
D. misbehavior by court employees

12. on all fours A. all appeal levels have been exhausted

B. plea for mercy from criminal defendant
C. witness after aggressive cross-examination
D. cases substantially similar one another

13. relief A. result desired by plaintiff

B. repair tarnished reputation
C. injunction to prevent tampering with evidence
D. result desired by defendant

14. percipient witness A. saw or did the things testified about

B. cleverly avoids answering questions
C. has a conflict of interest with plaintiff
D. responds with only Yes and No answers

15. docket number A. court calendar

B. number of cases on court calendar
C. position on court calendar
D. random selection of motions to be heard

16. chain of evidence A. all exhibits admitted in evidence

B. records evidence custody in criminal cases
C. exhibits sealed and not part of public record
D. logical order of presentation

17. motion in limine A. filed before or at beginning of trial

B. denied due to lack of supporting data
C. limit put on number of character witnesses
D. to interrupt proceedings for attorney's illness
Section 1. Court Proceedings 1-37

18. subpoena A. order to show cause why absent from court

B. penalty for perjury
C. summons; appear to plea guilty or not guilty
D. order to appear and testify

19. subject matter jurisdiction

A. proper venue for issue to be heard
B. competent to hear issue, but venue is improper
C. competent to hear issue
D. selection of evidence by proper authority

20. impeach A. removal of impediments to bring suit

B. demonstrate errors in testimony
C. removal from office
D. synonym for impaneling jurors

21. case in chief A. filing claim against superior officer

B. most important elements of a claim
C. primary presentation of evidence
D. rebuttal evidence added to first presentation
22. citation
A. ticket to an bar association function
B. money offered for apprehending a criminal
C. gift provided to long-term employee
D. reference to a published case
23. bifurcation
A. division of a case into two segments
B. asexual reproduction in plants
C. division of community property in a divorce
D. joinder of at least two complainants

24. case law A. verdict

B. published rulings and decisions
C. instructions to jury
D. judge-made common law

25. indictment A. finding fault with character of a witness

B. probable cause to believe evidence is tainted
C. official charges against criminal defendant
D. subornation of a witness

26. voir dire A. challenging a prospective juror

B. examination to test competence
C. "show and tell" perjured testimony
D. "show and tell" what illegible exhibits say
1-38 Section 1. Court Proceedings

27. pecuniary damages A. money award to successful plaintiff

B. funds obtained by felons from crime victims
C. the effect of bribes on the public sector
D. harm caused by unchecked materialism

28. rebuttal A. closing argument summarizing testimony

B. objection to admission of damaging exhibits
C. refusal to appear in court after summons
D. to refute by presenting contrary evidence

29. nonsuit A. not wearing formal attire in court

B. action that cannot be (or is not) maintained
C. settled case
D. failure to pay child support

30. beyond reasonable

doubt A. dogmatic
B. uncontradicted belief system
C. standard of judgment in criminal case
D. standard of judgment in civil case
Section 1. Court Proceedings 1-39

ANSWER KEY

1. official record C. entire body of evidence in a case

2. sequester B. isolate jurors or witnesses
3. minutes A. clerk's summary record of daily proceedings
4. deposition D. sworn out-of-court testimony
5. venue A. place of trial
6. punitive damages B. award granted to punish wrongdoing
7. summary judgment D. case dismissed for lack of evidence
8. opinion testimony C. given by expert witness
9. interrogatories D. questions asked by one party another
10. U.S.C. B. compilation of federal statutes
11. mistrial C. jury cannot reach a verdict
12. on all fours D. cases substantially similar one to another
13. relief A. result desired by plaintiff
14. percipient witness A. saw or did the things testified about
15. docket number C. position on court calendar
16. chain of evidence B. records evidence custody in criminal cases
17. motion in limine A. filed before or at beginning of trial
18. subpoena D. order to appear and testify
19. subject matter jurisdiction C. competent to hear issue
20. impeach B. demonstrate errors in testimony
21. case in chief C. primary presentation of evidence
22. citation D. reference to a published case
23. bifurcation A. division of a case into two segments
24. case law B. published rulings and decisions
25. indictment C. official charges against criminal defendant
26. voir dire B. examination to test competence
27. pecuniary damages A. money award to successful plaintiff
28. rebuttal D. to refute by presenting contrary evidence
29. nonsuit B. action that cannot be (or is not) maintained
30. beyond reasonable doubt C. standard of judgment in criminal case
SECTION 2. LEGAL TERMINOLOGY (Law Latin)
This section discusses: Background
Some common construction forms
Two analytical examples
List of phrases and meanings
Sample questions/answers

BACKGROUND

For most purposes, English law before the Norman-French conquest was a matter
of clan and regional custom. There were few principles that might qualify as a
national body of law such as we understand today. The Normans, however,
brought with them a system, more or less ready-made, mostly drawn from their
own customary feudal code, partly drawn from Roman law, largely in Latin (with
generous French admixtures) — and almost overnight England was surprised to find
itself with a national body of law. These strands of Anglo-Saxon customary law
and Norman Latin law gradually melded together, were refined and added to,
becoming in due course English and American common law.

Everything that can be said with those pithy legal Latinisms can also be said in
simple English — it just takes more words to do so with the same precise, agreed-
upon meanings. The day may come when lawyers who resort to these phrases may
be viewed as anachronistic, but now we hear a good number of them very
frequently. This is simply an institutional issue, as with the medical profession.
(Indeed, the U.S. Supreme Court still opens each session when the clerk calls out
“Oyez! Oyez! Oyez!” [“Hear ye! Hear ye! Hear ye!”], brought to us from Normandy
after 1066, and still going strong.)

One key to greater facility with law Latin, as well as complex English, lies in getting
a feel for prefixes tacked onto the beginnings of words, the roots to which they are
added, and suffixes trailing at their ends. At least we get helpful clues as to what
they might mean. Many of these are well known and easy, but others may not be.
2-2 Section 2. Legal Terminology

COMMON CONSTRUCTION FORMS

This list, obviously a partial one, gives common forms, their basic meanings, some
examples of their use in English, and then examples of their possible use in court.

Form Meaning Examples

ab- from, abscond, absolve, abdicate, absent

away from ab ovo ("from the egg")
in absentia ("not present, away")

ad- to, toward, for adhere, admit, adjudge, adduce, adverse. advertise
ad infinitum ("to infinity," without end)
ad nauseam ("to the point of inducing illness")

ante- before antedate, antecedent

ante litem ("before a lawsuit begins")
status quo ante ("the way things were before")

anti- against antidote, antipathy

com- with, beside companion, compare, comprise, cumulative

-cum- subpoena duces tecum ("bring it with you")

de- about, from, depart, deduct, deduce, deactivate

concerning de minimis ("about trivial things"
"a bare minimum")
de facto ("concerning actual facts")
de jure ("concerning legal status")
de novo ("from the beginning, anew")

ex- out of, extract, expunge, exonerate

away from ex parte ("from one side only")
ex post facto ("after the fact, retroactive")

in- in, on, upon infiltrate, induce, impose, impinge

im- in camera ("in chambers, in private")
in limine ("on the threshold, at the beginning")
in memoriam ("in the memory of")
in re ("in the matter of, concerning")
in rem ("in a matter concerning property")
in toto ("in the whole," total, complete)
Section 2. Legal Terminology 2-3

FORM MEANING EXAMPLES

infra- below, infrastructure, infrared, infraction, inferior

infer- beneath

inter- between, interfere, interpolate, interject, interpose, interpret

among inter alia ("between or among other things")
inter se ("among themselves")
inter vivos ("between living persons")

intra- within, to introvert, introduce, intervene, interfere, intramural

intro- intra vires ("within one's power to act")

mal- bad maladjusted, malice, malcontent, malfeasance

malum in se ("wrong in itself, amoral")
mala prohibita ("things forbidden by law")

non- not, no, none nonsense, nonconformist, nonentity

non compos mentis ("of unsound mind")
non sequitur ("it does not logically follow")

per- by, through permit, perceive, percolate, persuade

per curiam ("by or through the court")
per se ("by itself, in and of itself")

post- after, postpone, postscript, posterior

following post hoc ("after this time, hereafter")
postmortem ("examination after death")

pro- for, toward propel, produce, propose, probate, promise

pro forma ("for the sake of form")
pro hac vice ("for this time only, this once")
nunc pro tunc ("now for then," having a
retroactive effect)

sine without sine die ("without a set day" to resume)

sine quâ non ("without which there is
nothing," indispensible)

sub- under, below, subjugate, subject, subordinate, subsume

beneath subpoena ("under threat of a penalty,"
come to court)
sub rosa ("under the rose," hidden, secret)
2-4 Section 2. Legal Terminology

FORM MEANING EXAMPLES

super- above, superior, supervise, superintend, supersonic,

supra- in addition to superfluous, superlative, supranational
supra (see "the above,
referring to an earlier citation)

ultra- beyond ultraviolet, ultramodern

ultra vires ("acts beyond one's authority")
ne plus ultra ("not beyond this point")

LIST OF COMMON PHRASES AND MEANINGS

A selection of words and phrases follows, mostly Latin, some French, and some
even Old English, with short translations and definitions or examples, if required for
further clarity.

ab ovo
from the egg – at the beginning, from the start
ad curiam
to [at] court
ad inifinitum
to infinity – without limit, indefinitely
ad litem
to the suit – for the purposes of a lawsuit, pending a lawsuit.
A guardian ad litem is appointed to act on behalf of an incompetent
ad nauseam
to the point of nausea
ad testificandum
for testifying – subpoena to appear in court and testify
alter ego
another self – doctrine that a corporation may not be used as a sham to
insulate shareholders from liability for their own private actions
amicus curiae
friend of the court – third party permitted to file a position statement or
brief in a case, usually upon appeal
ante litem
before trial
Section 2. Legal Terminology 2-5

arguendo
arguing; for the sake of argument
Assuming, arguendo, that my learned friend is correct, I will defer
to his representations.
bona fide
in good faith – open, sincere
caveat
beware – warning
caveat emptor
let the buyer beware
caveat venditor
let the seller beware
certiorari
to be informed of – writ from a higher to a lower court, ordering a
transcript of proceedings for review
chattel
cattle [Old English] – an article of personal or movable property
compos mentis
sane, of sound mind
corpus
body – any set of materials; total assets in an estate or trust
corpus delecti
body of a crime – item upon which a crime has been committed.
In murder, the corpus delecti is the murder victim's body;
in arson, the corpus delecti is the burnt property.
culpa
fault – negligence
cum laude
with praise – an honor granted with a college degree
curriculum vitae
course of life – a short résumé of one's career, summarizing education,
professional history, and job qualifications
de facto
in fact – actual, real
Edward VIII was de facto king, but was never crowned.
de jure
in law – legal, proper, legitimate
Charles was de jure king, having been crowned, but he was
imprisoned and was never permitted to rule.
de juris
of the law
2-6 Section 2. Legal Terminology

de minimis
of only a tiny amount – trivial, inconsequential
demurrer
defendant's assertion that plaintiff's complaint is insufficient, or does not
state a cause of action upon which relief can be granted
de novo
anew, afresh – a new or second hearing; to hear a case from the
beginning
dictum [singular] — dicta [plural]
comments within a published opinion which do not relate directly to the
case at hand, but illustrate or explain; dicta cannot be cited as precedent
duces tecum
bring with you – subpoena to bring items of evidence, such as
documents
e.g. [exempli gratia; always italicized]
thus, for example
en banc
in [on] the bench – the entire membership of an appellate court, as
opposed to a mere quorum or subset of its member judges
en bloc
in a block – as a unit, as a whole, completely
ergo
therefore
His clothes were soaked; ergo, he was out in the rain.
escheat
to fall out [back] – reversion of property to the state because there are no
legal heirs
estoppel
stopped up – an legal impediment to bringing or maintaining an action
et al. [et alii, plural]
and another, or others – referring to other parties involved but not
specifically named
et seq. [et sequentes]
and the following – reference to further material immediately after a
citation, particularly page enumerations
et ux. [et uxor]
and wife – joining a wife to a husband in a contract or action
ex contractu
from the contract – arising from a contractual promise
ex curia
out of court
Section 2. Legal Terminology 2-7

ex delicto
from a crime –resulting from a crime, tort, malfeasance, or contracutal
duty
ex parte
from one part, on one side – something done by or for one party only
ex post facto
after the fact – an act performed or law passed with retroactive effect
forum
place – venue, tribunal, place of trial
forum non conveniens
inconvenient forum – authority of a court to refuse to exercise its
jurisdiction
habeas corpus
you have the body – a writ issued to release someone from improper
imprisonment
idem
same – the same as above, particularly previously cited material
i.e. [id est; always italicized]
that is
Don't keep doing that; i.e., stop it right now!
in absentia
in the absence of
The military junta sentenced him in absentia, as he had fled.
in camera
in a room – in chambers, in private
indicia
signs – identifying marks, badges, or characteristics
in forma pauperis
as a pauper – permission granted to a poor litigant to proceed without
having to pay court costs or fees
infra
below – referring to material coming later, particularly in a document
in limine
on the threshold – immediately before or at the very beginning of a case
in loco parentis
in the place of a parent – a guardian, someone granted parental
responsibilities over a minor
The school principal acts In loco parentis.
in medias res
in the middle of things – without preface or introduction,
right in the middle
2-8 Section 2. Legal Terminology

in personam
on the person – action or jurisdiction involving a person him/herself,
as opposed to merely his or her property
in pro per. [in propria persona]
for oneself – pleading a case on one's own behalf without an attorney
in re
in the thing – in the matter of, particularly when there is only one party
We will now hear the case of in re estate of Mobius.
in rem
on the thing – action brought against property, such as a ship, rather than
against its owner
inter alia [always italicized]
among other things
inter alios [always italicized]
among other persons
in toto
in all – entirely, completely, totally
inter se [always italicized]
between themselves
inter vivos
among the living – gift or property passing from one person to another,
but not by means of a will or in anticipation of death
intra vires
within the power – an act which a person or corporation has authority to
perform
ipse dixit
he said it himself – a bare assertion resting only on a person's own word
ipso facto
by the fact itself – the mere effect of an act or a fact
I saw him; ipso facto, he must have been there!
jurat
[s]he swears – the clause at the end of a sworn statement showing when,
where, and by whom the statement was signed, under penalty of perjury
laches
lax, loose, slack – omissions, neglect, or failure to perform a duty or to
assert a right
lex scripta
written law – statutory law as opposed to common law or customs
lis pendens
pending lawsuit
Section 2. Legal Terminology 2-9

magna cum laude

with great praise – an honor granted with a college degree
malum in se [singular], mala in se [plural]
bad [wrong] by itself – acts which are morally wrong, against
conscience, which may or may not be forbidden by law
malum prohibitum [singular], mala prohibita [plural]
forbidden wrong[s] – acts forbidden by statutory law
mea culpa
my fault – an admission of negligence
mens
mind – intention, knowledge, meaning
mens rea
a guilty mind – criminal intent
mens sana in corpore sano
a healthy mind in a healthy body
minutia [singular], minutiae [plural]
small – trivial or insignificant details
ne plus ultra
no further beyond this point
nolo contendere
I will not fight [contest] it – criminal plea neither admitting nor denying the
charges, but which may result in a fine or sentence anyway; this avoids
future liability in any civil action brought on the same facts
non compos mentis
not of sound mind
non sequitur
it is not followed – a conclusion which does not follow logically from
what it is based on, or an assertion which does not flow from a
preceding fact
nunc pro tunc
now for then – phrase applied to acts performed with retroactive effect,
often to cure an obvious defect, such as a date error, February 30.
parol
a word – expressed by speech only, as opposed to evidenced by
documents [distinguish this from the word parole]
pendente lite
during suit – during litigation
per capita
by the heads – according to the number of people involved, equal shares
per centum [per cent.]
by a hundred – a percentage
2-10 Section 2. Legal Terminology

per curiam
by the court – brief announcement of a case disposition not accompanied
by a written opinion; also, opinion of an appellate court en banc, as
opposed to an opinion written by a single judge
per se
in and of itself
post hac
after this – after this time, hereafter
post mortem
after death – postmortem [autopsy] by a coroner
prima facie
first appearance – at first sight, on the face of it, something which
appears to be so
pro bono [pro bono publico]
for the good [for the public good] – services performed free of charge
pro forma
for the sake of form – a formality, a perfunctory act or a standard
document
pro hac vice
for this turn – for a particular occasion, only for this time
pro rata
according to [by] calculation – in proportion, a proportional division
pro se
for himself – representing him/herself without an attorney
pro tem. [pro tempore]
for a time – a temporary substitute, a provisional act
qua [always italicized]
who – considered as, acting in the capacity of
A husband, qua husband, cannot be made to testify against his
wife.
quaere [always italicized]
question – open to doubt; a rule or decision considered questionable
quantum
amount
Quantum physics investigates amounts of energy within atoms.
quantum meruit
as much as he deserves – extent of contractual liability implied by equity
He only bid $100 for the job, but it took three days, so I think he
deserves to be paid more.
quasi
as if – term indicating a resemblance, having a likeness to something
Section 2. Legal Terminology 2-11

Q.E.D. [quod erat demonstrandum.]

Which was to be demonstrated – a term applied to anything obviously
true or something which requires very little evidence
I said if he jumped off the bridge, he'd die. He did, Q.E.D.
q.v. [quod vide]
which see – a reference or citation to another item of source material
re [a form of res]
a thing – concerning about, in the matter of, particularly when only one
party is involved
Have you reached a decision in re estate of Mobius?
remittitur
it is sent back – a court's order reducing the amount of a grossly
excessive jury award
res
things – subject matter in a civil case
res gestae
thing shown – things done, deeds, certain facts admitted into evidence
which, under other circumstances, would constitute hearsay
res ipsa loquitur
the thing speaks for itself
res judicata
decided thing – matter acted upon or decided finally, a conclusive decision
on a matter by a court
res publica
public thing – a state, republic, or commonwealth
semble [always italicized]
it seems, it appears – a word used in printed summaries of court opinions
where a point of law was not directly decided, or the ruling was obscure
seriatim
in a series – one by one, one after another, separately, individually
sic [best italicized]
thus – a word used, usually parenthetically, to indicate that what appears
on the record actually was said, even though it is obviously a blatant error
She was born in 1803 [sic] and she is now eight years old.
sine die
without a day – adjournment without a specified time to reconvene
sine qua non
without which there is nothing – an essential ingredient or condition
A ripe banana is the sine qua non of a banana split.
situs
place – location, particularly in determining jurisdiction, but also of a crime
2-12 Section 2. Legal Terminology

sotto voce
under the voice – in soft tones, whispered, not intended to be overheard,
as at a sidebar
status quo ante
status as it was earlier – a return to a previous situation or condition
The battle gained nothing; all boundaries remained as they had
been status quo ante.
stare decisis
let the decision stand – principle that prior court rulings should be
followed unless there are truly significant reasons to overturn them
sua sponte
by his own will – without prompting, voluntary; used to refer to a court
acting on its own motion
sub nom. [sub nomine; always italicized]
under the name – in the name of, under the title of
sub rosa
under the rose – confidential, secret, unpublished
subpoena
under penalty [of law]
summa cum laude
with high praise – highest honor granted with a college degree
supra
above – referring to material coming earlier, particularly in a document
ultra vires
beyond the power – an act beyond the authority of a person or
corporation to perform
ux. [uxor]
wife
venue
come [to a place] – particularly used of court jurisdiction
verbatim
word for word
viva voce
with the living voice – oral testimony, as opposed to documentary
evidence
voir dire
to see, to say – examination of a witness, particularly an expert, to
establish his/her qualifications; also to determine a prospective juror's
qualifications to be a member of the jury panel
Section 2. Legal Terminology 2-13

Take heart. At the end of the road, these are things which simply need slow
absorption over time. Occasionally flipping through Black's Law Dictionary doesn't
hurt either, although a little of that can go a long way.

Whenever you find you need to look up one of these words or phrases, take a
moment to create your own examples — preferably amusing ones — and that may
help it lodge in your memory bank, thus adding to your professional repertoire.

TWO DEDUCTIVE EXAMPLES

When test-taking, pondering the possibilities of a phrase is helpful, especially if

faced with multiple-choice questions — or in the case of matching phrases with
meanings, when only a few items are left to choose from. Sometimes it works,
sometimes it doesn't. If what you now see infra looks discouraging, just ignore it.

Under penalty
punishment you

subpoena duces tecum = under penalty [of law ], bring [documents] with you

bring (produce) with

beyond

ultra vires = acts beyond someone's authority to perform

power (virility)

It may also be good to remember that Latin usually forms plurals in these ways:

Words ending in -A add an -E: larva, one grub

larvae, two grubs

Words ending in -OR add an -ES: auctor, one author

auctores, two authors

Words ending in -UM become -A: aquarium, water tank

aquaria, two water tanks

Words ending in -US become -I: servus, one servant

servi, two servants
2-14 Section 2. Legal Terminology

SAMPLE TEST QUESTIONS

For this to be of benefit, please consider it a “closed book” exercise, including the
various items discussed supra and the answer key infra.

Circle the letter which represents the best answer:

1. corpus delecti A. The entire body of English common law

B. An unidentified murder victim
C. The body or essence of a crime
D. Permission by next of kin for an autopsy

2. ex contractu A. The period of time in which a contract is valid

B. Specifications in a government contract
C. Not party to a contract
D. Arising out of a contract

3. sic A. An error in a court's ruling

B. Incompetent
C. In such a manner, thusly
D. Above, in addition to

4. res judicata A. Geographic jurisdiction of a court

B. Subject matter jurisdiction of a court
C. A thing definitely settled by judicial decision
D. The reading of a will

5. viva voce A. Aloud, by the living voice

B. Adding a codicil to a will
C. Formal opening of a court in plenary session
D. A percipient witness who testifies

6. pro tempore A. At no time, never

B. For the time being, temporarily
C. For all time, always
D. The time when a divorce decree is final

7. in rem A. Vehicular homicide

B. Concerning a thing, not a person
C. Pertaining to orphans
D. When an objection is overruled by the court
Section 2. Legal Terminology 2-15

8. mens A. Mind
B. Intention
C. conscience
D. All of the above

9. ipso facto A. By the fact itself

B. Facts shown by uncontradicted evidence
C. Proof of an evil intent
D. None of the above

10. inter alia A. A family's closely-held corporation

B. Between friends
C. Among other things
D. Subsidiary rights in property

11. parol evidence A. Evidenced by speech only, not in writing

B. Demonstration of good behavior by a prisoner
C. Written evidence of an intent to defraud
D. Proof of an invalid will

12. in toto A. Having qualities of virtue

B. Forever
C. An unclaimed dog in a pound
D. Complete, in total, in sum

13. idem A. Instruction to see a citation in a footnote

B. The same, the same as above
C. An act which is legal, yet remains amoral
D. Service of subpoena

14. arguendo A. Irreconcilable differences in a divorce

B. Consideration paid for a home mortgage
C. For the sake of argument
D. Lack of jurisdiction

15. compos mentis A. Let the buyer beware

B. Sane, of sound mind
C. Water rights reserved for agriculture
D. A boundary line or marker

16. caveat A. Notice of caution, warning, opposition

B. Pertaining to mineral rights
C. Refusal to apologize when legally wrong
D. Disturbing the peace
2-16 Section 2. Legal Terminology

17. en bloc A. As a whole, as a unit

B. “Separate but equal" doctrine in Plessy
C. Property illegally dismantled and removed
D. Opposition to a motion

18. dictum A. Forced entry into a residence

B. Long-established, decided law
C. This is a trick entry here, and not a legal term
D. Judicial opinion unrelated to the issue at hand

19. pro se A. Selfish withholding of child support

B. Failure to appear in court
C. Representing oneself without an attorney
D. Forfeiture of one's bond

20. in propria persona A. For practical purposes, a synonym for pro se

B. Acting on one's own behalf
C. Property or possessions forfeited by default
D. Answers A. and B. above

21. in forma pauperis A. Homeless

B. Permission for an indigent to avoid court fees
C. Foreclosure on property for non-payment
D. None of the above

22. voir dire A. Answers C. and D. below

B. Having the right to express an expert opinion
C. Examining to determine competence of a juror
D. Examining to determine competence to testify

23. quasi contract A. Statutorily invalid contract

B. Contract implied in law; constructive contract
C. Null and void
D. Negotiation period for creation of a contract

24. habeas corpus A. Writ to bring a person before a judge so the

validity of detention can be determined
B. Old English common law term now obsolete
C. Criminally negligent manslaughter
D. The entire body of the Bill of Rights

25. lex scripta A. The condition of being illiterate

B. Bound to perform a written contract
C. Without merit in law
D. Written or statutory law
Section 2. Legal Terminology 2-17

ANSWER KEY

1. corpus delecti C. The body or essence of a crime

2. ex contractu D. Arising out of a contract
3. sic C. In such a manner, thusly
4. res judicata C. A thing definitely settled by judicial decision
5. viva voce A. Aloud, by the living voice
6. pro tempore B. For the time being
7. in rem B. Concerning a thing, not a person
8. mens D. All of the above
9. ipso facto A. By the fact itself
10. inter alia C. Among other things
11. parol evidence A. Evidenced by speech only, not in writing
12. in toto D. Complete, in total, in sum
13. idem B. The same, the same as above
14. arguendo C. For the sake of argument
15. compos mentis B. Sane, of sound mind
16. caveat A. Notice of caution, warning, opposition
17. en bloc A. As a whole, as a unit
18. dictum D. Judicial opinion unrelated to the issue at hand
19. pro se C. Representing oneself without an attorney
20. in propria persona D. Answers A. and B. above
21. in forma pauperis B. Permission for an indigent to avoid court fees
22. voir dire A. Answers C. and D. below
23. quasi contract B. Contract implied in law; constructive contract
24. habeas corpus A. Writ to bring a person before a judge so the
validity of detention can be determined
25. lex scripta D. Written or statutory law
SECTION 3. PROOFREADING
This section discusses: Background
Punctuation, spelling and capitalization

BACKGROUND

Strange as it may seem, punctuation is something of a latecomer to written

language. English has been decided about it (more or less) for only a few
generations — the rules your grandparents learned are not those you were taught

If you read early editions of our great literature, for example, you may be surprised
to find commas, semicolons, or other marks in the most unusual places, not to
mention entire arrays of truly bizarre capitalizations.

Even inserting spaces between words took awhile to catch on. Before European
paper was widely available, parchment was sufficiently expensive that unnecessary
“white space” was dispensed with. And an alphabet with both upper- and
lowercase letters was a notion that took some time as well. Consider what it might
have been like to achieve literacy without even the simplest of these conventions:

WHENSHESAIDYOUWERETHEREBOBIKNEWSHEHADSEENMETHENIRAN

Inventing lowercase letters helped, but not much:

WhenshesaidYouwerethereBobIknewshehadseenmeThenIran

Deciding words might be separated by spaces was a great improvement:

When she said You were there Bob I knew she had seen me Then I ran

Having periods separate completed thoughts was even better:

When she said You were there Bob I knew she had seen me. Then I ran

Showing natural pauses by a simple device, commas, eased things further:

When she said, You were there, Bob, I knew she had seen me. Then I ran.

And introducing quote marks to show speakers brought clarity at last.

When she said, “You were there, Bob,” I knew she had seen me. Then I ran.

And those are all one-syllable words. Imagine how difficult it was to comprehend
technical material.
3-2 Section 3. Proofreading

Because we deal with the spoken language, not documents, we face a problem:
how to turn the arbitrary, mechanical rules which standardize "correct" literary
English into working principles which reflect real life.

We rarely speak the way we are supposed to write, and almost never speak in a
way that might pass an English test. We regress, we change thoughts in
midstream, we take liberties with grammar, we litter our speech with mindless
"throw-away" words (Like I mean, you know, what we're going to do now is,
we're going to eat), and we speak in fragments (Never heard of her).

OUR PROOFREADING IS NOT TRADITIONAL EDITING

In the above example, verbatim transcribers cannot omit the Like I mean, you know
and retain only the We’re going to eat, nor can we add the implied I to Never heard
of her, as editors might demand. We do not have the privilege of saying, "Wait;
that phrase should go over here" or "This verb should be in the past tense." We
work in the realm of "What you hear is what you get." But the challenge is more
than reproducing the words we hear. That's only part of the job. The other part is
fitting them into a framework that

(1) Reflects the speaker's intention without distortion and

(2) Allows a reader to grasp the message as quickly as possible.

Of course, simple sentences pose no problems. But when people slip into stream-
of-consciousness narratives, and especially when two or more speak at the same
time, complications arise. So achieving the goal of skillfully transferring what is
heard into what can be read requires, therefore, more than understanding
hidebound rules. Sometimes there just aren't any rules which work. Fortunately,
however, there are helpful principles.

The primary elements which make speech intelligible to readers are, in debatable
order of importance:

PUNCTUATION, SPELLING, and CAPITALIZATION.

English is slowly simplifying both punctuation and capitalization, although less so in

spelling.

For example, well into the 1950s the word today was hyphenated: to-day.
And authoritative stylebooks now permit such constructions as

The president said senators should vote for the bill, instead of the older
The President said Senators should vote for the bill.
Section 3. Proofreading 3-3

It is doubtful, however, that we will ever accept tonite for tonight.

In addition, some groups have adopted unique conventions which we cannot

ignore. (An example is the variability associated with numbers — when they are
best written out and when Arabic numerals are preferred.) We can refer to these
as contract or format requirements.

In this section we will assume that proofreaders have access to the recordings and
are not merely scrolling text on a monitor or reading a prepared draft version. Thus,
some of the examples show a phonetic construction AS HEARD and then what it
might best look like IN TEXT.

PUNCTUATION STANDARDS

Punctuation marks come in various weights. Heaviest are the period and question
mark: they close sentences. The colon approaches a period in weight: it divides
related thoughts with almost as much emphasis. The semicolon is a middleweight,
in between a period and a comma. The comma is a very light mark, usually
showing important turning points in a sentence. (And being a lightweight, it is
often abused.)

The specialized marks (quotation, single quotation, apostrophe, hyphen, dash,

parentheses, and exclamation point), which have special uses, should not be
overworked.

When two punctuation marks may satisfy a situation and you're debating which to
use, opt for the lighter of the two. Thus, when possible, prefer a comma to a
semicolon, or a comma to a dash. The lightest punctuation of all is none at all. If a
mark isn't needed, don't use it. And remember that some of the most vigorous
debates among English professors revolve around differing opinions on punctuation.

PERIOD

The period's role in concluding a thought needs no further comment:

Read this. Certainly.

Periods typically follow abbreviated words, especially if they are capitalized:

Boston, Mass. is the home of baked beans and cod.

Of course, had the speaker said the full state name, we would never
"correct" it to an abbreviation.
3-4 Section 3. Proofreading

Terms such as 1st, 2nd, and 3rd are not true abbreviations and need no periods:

She arrived on May 31st by car.

Periods are not normally used with acronyms of compound names:

I worked for NATO in Belgium, then UNESCO in New York.

She is an SEC investigator.

USA is now preferred to U.S.A. However, it is conventional to use U.S.

when United States is meant; otherwise, it might be confused with us.
Likewise, to be consistent, use U.K. when the United Kingdom is meant.

Omit periods from accepted conventions:

dB for decibel (assuming the speaker actually said dee bee).

Isolated or hyphenated letters of the alphabet do not require periods:

I think, A, he was there, and B, he doesn't want to admit it.

They refined radioactive U-235 at Hanford.

Exhibit R is admitted.

We mark right angles with a T-square.

Of course, periods also serve in decimal notation (although Europeans use

commas):

HEAR he toted a forty five magnum

IN TEXT He toted a .45 Magnum.

HEAR the fish weighed in at nine point six pounds

IN TEXT The fish weighed in at 9.6 pounds.

But money is always tricky:

Section 3. Proofreading 3-5

HEAR the salary is twelve seventy five per hour

IN TEXT The salary is 12.75 per hour.

HEAR the salary is twelve dollars and seventy five cents per hour

IN TEXT The salary is $12.75 per hour.

There is a school of thought which prefers spelling out such "dollars and cents"
phrases in their entirety. (More about numbers in the Transcription section below.)

QUESTION MARK

The question mark's standard role is hard to get wrong:

Did you know that? Why didn't you think so?

But question marks are not generally used with courtesy expressions such as:

Would you please swear the witness.

Will you now turn to Exhibit R and read it to yourself.

(Using the question marks in these cases is not unthinkable, however.

A question mark which is required in direct quotation is placed where a period or

comma would go, just as if the quoted material were standing by itself:

HEAR he wrote the title what is the third estate and then stopped

IN TEXT He wrote the title "What is the Third Estate?"

and then stopped.

HEAR the query was where were you sue but i could be wrong

IN TEXT The query was "Where were you, Sue?" but I could
be wrong.

POOR The query was, "Where were you, Sue?", but I

could be wrong.

A question mark which is required for the main sentence (itself a question), but is
NOT part of the directly quoted material, is placed outside the quotation:
3-6 Section 3. Proofreading

HEAR did you hear him say i didnt do it

IN TEXT Did you hear him say, "I didn't do it"?

WRONG Did you hear him say, "I didn't do it?"

When a question is asked about a question, one mark serves for both, if that's the
end of the matter:

YES: Did you know she had written "Whither Europe?"

NO: Did you know she had written "Whither Europe?"?

Of course, if the main question continues afterward, two marks will eventually be
needed:
Didn't she write "Whither Europe?" and then win a prize for it?

EXCLAMATION POINT

This is a heavy, powerful period. Because it represents an emphatic stress, it is

subjective, and should be avoided if possible. We are not in the business of
interpreting such nuances, although a situation can be imagined:

HEAR then i heard her screaming hurry we need help

IN TEXT Then I heard her screaming, "Hurry! We need

help!"

Beyond use in such direct quotations, exclamation points should be rare birds
indeed. When in doubt, leave 'em out:

HEAR im mad as hell and i wont take it anymore

IN TEXT I'm mad as hell and I won't take it anymore.

AVOID I'm mad as hell! And I won't take it anymore!

COLON

A colon is a purely mechanical mark, as nobody has its rules in mind while
speaking. Typically, what precedes a colon is general and what follows is more
specific: We found three items: a bell, a book, and a candle.
Section 3. Proofreading 3-7

Colons are thus supplementary marks which serve several purposes, such as
defining, balancing, and introducing lists of things. Because even English professors
get into arguments over using colons, don't despair. (Note that the old rule about
capitalizing the first word after any colon has simply gone by the boards.)

Colons which DEFINE a previous phrase:

HEAR they vigorously oppose regulation that is arbitrary rules

IN TEXT They vigorously oppose regulation: that is,

arbitrary rules.

OR They vigorously oppose regulation -- that is,

arbitrary rules.

Colons which ELABORATE on a previous thought:

HEAR the same choice appears on public referenda the voter cannot
approve some parts and disapprove other

IN TEXT The same choice appears on public referenda:

the voter cannot approve some parts and
disapprove others.

Colons which BALANCE phrases of equal weight:

HEAR his ambition must be stirred his greed must be played upon

IN TEXT His ambition must be stirred: his greed must be

played upon.

Dividing these phrases into two sentences with a period also works:

His ambition must be stirred. His greed must be played upon.

A comma may work, but is weak:

His ambition must be stirred, his greed must be played upon.

3-8 Section 3. Proofreading

Colons which INTRODUCE LISTS:

HEAR ambassadors from four countries attended france germany italy

and switzerland

IN TEXT Ambassadors from four countries attended:

France, Germany, Italy, and Switzerland.

Colons which RESTATE THE POINT, but in different words:

HEAR she never exaggerates she sticks to the bare facts

IN TEXT She never exaggerates: she sticks to the bare

facts.

Here again, a period, semicolon, or comma can work, a comma being by

far the weakest:

She never exaggerates. She sticks to the bare facts.

She never exaggerates; she sticks to the bare facts.
She never exaggerates, she sticks to the bare facts.

Colons which SHOW CONTRAST or CONTRADICTION:

HEAR he was not impeached he was encouraged to resign

IN TEXT He was not impeached: he was encouraged to

resign.

And again, a period or comma can work:

He was not impeached. He was encouraged to resign.

He was not impeached, he was encouraged to resign.

Colons which SUMMARIZE, especially by means of a pithy final word or two:

HEAR his death forced the rebels into the final solution war

IN TEXT His death forced the rebels into the final

solution: war.
Section 3. Proofreading 3-9

Colons which EXPLAIN:

HEAR my question is this will you permit her testimony or not

IN TEXT My question is this: will you permit her

testimony or not?

Colons which are CONVENTIONAL:

• A colon is conventionally used when a book has both a title and a subtitle:

HEAR refer now to grapes of wrath a short history of bakersfield

IN TEXT Refer now to Grapes of Wrath: a Short History of

Bakersfield.

• Colons are typically used in telling precise time:

HEAR we arrived between two thirty three and two thirty five

IN TEXT We arrived between 2:33 and 2:35.

• They serve as mechanical devices in set formulas and ratios:

HEAR demography shows a similar male female proportion

IN TEXT Demography shows a similar male : female

proportion.

Of course, here a hyphen or slash can work as well:

Demography shows a similar male-female proportion.

Demography shows a similar male/female proportion.

• Colons often, but not always, introduce direct quotations when there is no
linking word to make another sort of connection:
3-10 Section 3. Proofreading

HEAR she then quoted lord acton all power corrupts

IN TEXT She quoted Lord Acton: "All power corrupts."

OR She quoted Lord Acton, "All power corrupts."

• A colon separates a speaker's identification from the spoken text:

MS. WHITLEY: Your Honor, I object.

SEMICOLON

This punctuation mark is a hybrid between a weak period and a strong comma, and
thus can generally be replaced by either without committing a major blunder.

Semicolons separate related thoughts, where a conjunction (such as and, but, or

while) is implied and clearly understood, although not stated:

HEAR never surrender [but] resist until the bitter end

IN TEXT Never surrender; resist until the bitter end.

HEAR fools rush in [while] the wise await developments

IN TEXT Fools rush in; the wise await developments.

A semicolon also separates thoughts when the second phrase begins with one of
the standard "sentence connectors" (accordingly, furthermore, however, indeed,
moreover, nevertheless, otherwise, therefore, thus):

HEAR you called this witness therefore i will hear him

IN TEXT You called this witness; therefore, I will hear

him.

HEAR his conduct is exemplary however i will not grant bail

IN TEXT His conduct is exemplary; however, I will not

grant bail.
Section 3. Proofreading 3-11

Semicolons separate clauses that are themselves broken up by internal

punctuation, especially when these clauses have been introduced by a colon:

HEAR factories are in three states los angeles california trenton new
jersey and two sites in florida tampa and orlando

IN TEXT Factories are in three states: Los Angeles,

California; Trenton, New Jersey; and two sites in
Florida, Tampa and Orlando.

HEAR the women were mary alice formerly married to steve jane now
steve's wife and joanna

IN TEXT The women were Mary; Alice, formerly married to

Steve; Jane, now Steve's wife; and Joanna.

Of course, the two women, Mary and Alice, at the beginning of that series
may be only one woman named Mary Alice. The other semicolons would still
be appropriate, because another clause in the series is internally punctuated.

Obviously, in such compound cases the semicolons add greatly to a clear

understanding of which descriptions go with what phrases.

Semicolons are also used in lengthy narratives where elements in a series are
introduced with the word that — especially if they are not particularly related:

We understand that you are American; that you play the trombone; that you
have never been married; that you are an avid Braves fan, attending all home
games; that you are suing Franklin for breach of contract; that you vacation in
Bermuda; and that you insist upon being called Tommy.

COMMA

Commas, being the lightest marks in English punctuation, are difficult to control,
easily forgotten, and even more easily tossed about with abandon. Their basic
function is to set apart groups of words. They should not be taken too lightly,
however, as a single comma can dramatically change the meaning of a sentence.
The current tendency in English is to use fewer commas now than before, and
certain "old rules" can be profitably forgotten. Others cannot.
3-12 Section 3. Proofreading

NOTE: Just because a person takes a breath does not mean you should toss in a
comma there. And some people simply speak with unusual, plodding deliberation:

HEAR i saw … two men over by the … counter and … by the door

IN TEXT I saw two men over by the counter and by the

door.

WRONG I saw, two men over by the, counter and, by the

door.

Speakers' phrasings may indicate punctuation, but are not necessarily dispositive.

Setting off parenthetical thoughts: "comma pairs" are properly used if the phrase
which they set off could have been simply not spoken, without changing the basic
meaning of the sentence:

HEAR john went to town unaware of an impending storm and had

dinner at chez pierre

IN TEXT John went to town, unaware of an impending storm,

and had dinner at Chez Pierre.

IF NOT John went to town and had dinner at Chez Pierre

SPOKEN

The point of that sentence is John / town / dinner. The impending storm may
be important later, but is clearly a subordinate "aside comment" here.

Limping along with only one of a required comma pair just doesn't work:

John went to town unaware of an impending storm, and had dinner...

John went to town, unaware of an impending storm and had dinner…

So if you wish to omit one of the "comma pair," by all means leave out both:

John went to town unaware of an impending storm and had dinner…

As you can see, paired commas which set off secondary sentence parts serve
much the same function as parentheses or double-dashes:

John went to town, unaware of an impending storm, and had dinner...

John went to town (unaware of an impending storm) and had dinner…
John went to town — unaware of an impending storm — and had dinner…

Indeed, this "parenthetical" use of commas is very common.

Section 3. Proofreading 3-13

Commas may show that the speaker has gotten the cart before the horse:

HEAR there stood mary smiling faintly to herself

IN TEXT There stood Mary, smiling faintly to herself.

The standard English word order (subject : verb : object : indirect object
would properly be: Mary stood there smiling faintly to herself.
Although we cannot reverse the speaker's word order, we can
punctuate it for clarity's sake.

Commas distinguish between items in a related series:

HEAR trees trees trees were all that i could see

IN TEXT Trees, trees, trees were all that I could see.

HEAR the defendant will not talk he refuses to eat and he pounds te
table constantly

IN TEXT The defendant will not talk, he refuses to eat,

and he pounds the table constantly.

This brings up the thorny question of any series with three or more items

Traditionally, commas separate all the elements of a series:

We ate soup, salad, a fine roast, and strawberries.

A growing number of sources permit (albeit grudgingly):

We ate soup, a salad. a fine roast and strawberries.

(but a roast with strawberries?)

In business English, firms with multiple names may often omit the final comma:

I'm with Smith, Klein, Robertson, Peckinpaugh and James.

Indeed, the and is usually replaced with an ampersand:

I'm with Smith, Klein, Robertson, Peckinpaugh & James.

When in doubt, follow the preferred usage of the individual firm, which may be to
use NO commas at all:

I'm with Smith Klein Robertson Peckinpaugh & James.

3-14 Section 3. Proofreading

We must comprehend the context in order to place commas properly. Consider

these examples of drastic differences arising from simple comma placements:

1. We looked for Tom, the acrobat James, the musician Mary, and Bob.

2. We looked for Tom the acrobat, James, the musician Mary, and Bob.

3. We looked for Tom the acrobat, James the musician, Mary, and Bob.

So who is what in that mess?

1. Tom is Tom, James is an acrobat, Mary is a musician, and Bob is Bob.

2. Tom is an acrobat, James is James, Mary is a musician, and Bob is Bob.

3. Tom is an acrobat, James is a musician, and Mary and Bob are —

well, Mary and Bob.

Identifying which words properly go with which other words is not always so
difficult. People naturally tend to pause, however slightly, between the groupings
they have in mind — but again, remember that their patterns are indicative, but not
dispositive. It may be clear from the prior record who is what — don't confuse the
transcript because somebody inhaled at a critical juncture.

Going further with such an expression as the musician Mary (or its mirror image,
Mary the musician), we come upon differences of opinion about comma usage:

ONE Mary, the musician, came to lunch

SCHOOL His friend, George, deserted him.

ANOTHER Mary the musician came to lunch.

SCHOOL His friend George deserted him.

Why is His friend George deserted him acceptable? Because it is a restrictive

identification: George is his friend, yes, but George isn't his only friend. One
might go on to speak of his friend Tom, his friend Martha, and his friend
Wally. If that were written as his friend, Tom, his friend, Martha, and his
friend, Wally, we find too many commas interrupting the flow — and adding
nothing to comprehension.

Another example of restrictive identification is They shot Billy the Kid dead.
We hope nobody would transcribe it as They shot Billy, the Kid, dead.
Section 3. Proofreading 3-15

If William, the Conqueror, invaded England is unthinkable, then so is

We heard the poet, Judy Fontana, recite — "the poet Judy Fontana" is fine.

Those are instances of restrictive constructions. Consider another:

Students sitting in the upper balcony couldn't hear.

(Those particular students were the ones who could not hear.)

Observe how unnecessarily cumbersome commas make that sentence:

Students, sitting in the upper balcony, couldn't hear.

Commas and unrestrictive clauses. An unrestrictive clause is one that neither

identifies nor defines what went before, and generally needs a set of commas:

HEAR the jury which at first was indifferent snapped to attention

IN TEXT The jury, which at first was indifferent, snapped

to attention

The clause which at first was indifferent DESCRIBES the jury at a point
in time, yes. But it neither IDENTIFIES nor DEFINES the jury. It is merely a
parenthetical comment which can be left unread without changing the basic
meaning of the sentence: The jury [...] snapped to attention.

Here is a another restrictive identification or definition, then with a twist:

The jury of five men and seven women voted to acquit.

(It is this jury with these specific types of members being discussed.)

However, in a longer construction with additional descriptive elements, we end up

with a series which does need commas:

The jury of five men and seven women, nine whites and three blacks,
voted to acquit.

And if the word of were not said, both clauses become truly parenthetical:

The jury — five men and seven women, nine whites and three blacks —
voted to acquit.
3-16 Section 3. Proofreading

Commas are useful in two-part sentences, especially when the second part is
introduced by words such as but, for, or, nor and while:

HEAR i think i recognize him but i cant be sure

IN TEXT I think I recognize him, but I can't be sure.

HEAR you must testify for your life depends on it

IN TEXT You must testify, for your life depends on it.

HEAR dont give in nor complain

IN TEXT Don't give in, nor complain.

HEAR she wanted to dance while he preferred to stay at home

IN TEXT She wanted to dance, while he preferred to stay

at home.

However, two-part sentences joined by and are normally written without a comma
if there is some obvious relationship between the two parts:

HEAR he is well known in town and is widely respected

IN TEXT He is well known in town and is widely respected.

But if the two parts joined by and have little or no relationship to each other, a
comma will demonstrate the difference:

HEAR she is well known in town and loves apple pie

IN TEXT She is well known in town, and loves apple pie.

Remember that commas can be abused to create unnecessarily long, clumsy

sentences — to be avoided when possible. It is better to group items that logically
go together in separate sentences:
Section 3. Proofreading 3-17

POOR You testified that nobody was home, you returned late and
went straight to bed, you woke up very early, were hungry,
and you had breakfast, you dressed in gray slacks, you decided
it might rain, so got your umbrella, and John was nowhere to
be seen, correct?

BETTER You testified that nobody was home.

You returned late and went straight to bed.
You woke up early, were hungry, and you had breakfast.
You dressed in gray slacks.
You decided it might rain, so got your umbrella.
And John was nowhere to be seen. Correct?

And don't be misled by the notion that English sentences may never start with
"And." They most certainly can, and do — and not only in spoken English. The
masterpiece King James version of the Bible is replete with "And it came to
pass…."

Although nicely balanced clauses in two-part sentences tend to want semicolons, if

a sentence is short and pithy, or a multi-part sentence follows a logical sequence,
commas work equally well, if not better, and are preferred:

Here today, gone tomorrow.

The president proposes, the Congress disposes.

The tree grew tall, flowers budded open and bloomed, fruit ripened on its
branches, leaves turned color and fell.

Commas often introduce direct quotations, usually with words such as say.
(Also see the discussion under QUOTATION MARKS below.)

HEAR i told him i said you dirty rotten liar i know thats not so

IN TEXT I told him, I said, "You dirty rotten liar, I

know that's not so."

But a colon is better in such constructions as:

The Court's words: "The Constitution means what we say it means."

3-18 Section 3. Proofreading

No comma is necessary, however, when a direct quotation is introduced by the

word that — a bad practice, but people do it anyway:

HEAR the sentence says that i wont put up with it anymore

IN TEXT The sentence says that "I won't put up with it

anymore."

POOR The sentence says that, "I won't put up with it

anymore."

Commas are also used in the parenthetical adding of degrees to names:

We are pleased to know that Malvira Shabbatu, Ph.D., presided.

His name is Robert Townsend, M.D.
His name is Robert Townsend, M.D., and his specialty is pathology.

Commas are used within dates:

February 6, 2002
Wednesday, February 6th, 2002
Wednesday, February the 6th, 2002 — but no commas in 3 March 2002.

An older rule required a comma in such constructions as July, 2002, but

July 2002 is now viewed as equally proper.

A final word: Americans, for whatever reason, have developed a bizarre habit of
saying, "What it is is" — and commas help retrieve sense from nonsense:

HEARD what it is is an apple

MEANING It's an apple.

IN TEXT What it is, is an apple.

HEARD what youre going to do now is youre going to lie

MEANING Now you're going to lie.

IN TEXT What you're going to do now is, you're going to

lie.
Section 3. Proofreading 3-19

QUOTATION MARKS

The issue here is whether or not words are really direct quotations from someone
else's speech or are being read from a document. And let's not forget quotes
within quotes.

DIRECT QUOTATION OF OTHER PEOPLE’S SPEECH

She said, "Leave me alone."

Then he repeated Tennyson's "Now is the time for action, not for words."

"I refuse to accept that," she said, "because it isn't true."

"No, ma'am," he drawled, "I ain't been there today."

"No, ma'am, I ain't been there today," he drawled.

SELF-QUOTING

When people quote themselves, especially their inner thoughts or impressions,

marks may not be required:

PREFERRED: I thought, well, I'd better get down there pronto.

ACCEPTABLE: I thought, "Well, I'd better get down there pronto."

DIRECT QUOTATION FROM DOCUMENTS

Do you see where "Column" appears in the upper left-hand corner?

Is that your signature in the "I swear under penalty of perjury" box?

Rule 17: "All determinations under subparagraph (b) herein are void."

Often the nature of the language indicates a direct quotation, simply because
people don't normally speak in the ponderous "fine print" cadences of law:

Please let me finish my question: "Notwithstanding any and all provisions

hereinabove cited or incorporated by reference, the party of the second part
agrees to hold bearer of said note harmless in the event of default under this
contract," correct?
3-20 Section 3. Proofreading

Of course, care is required when using quotation marks. When in doubt, it is often
better to omit them — assuming the full context still reflects the speaker's sense.

Quotation marks are generally not used with very commonly known phrases:

To err is human.

Ben Franklin said a stitch in time saves nine.

The word that often introduces indirect quotations, no marks being used:

He said that I was lying.

She said that Gerald owes me money.

In long quotations the marks are placed at the start of each paragraph included
from the quoted material, and the quotation concludes with a final mark at the end.
Notice the following example contains three quoted paragraphs, yet requires only
four quotation marks:

3 MR. DOE: Your Honor, may I cite Schultz again?

4 "If there is any fixed star in our constitutional

5 firmament, it is this: no official, exalted or petty,

6 may ordain what citizens must think or believe.

7 "Accordingly, we find Robards overstepped his

8 administrative authority in suspending Schultz.

9 "Judgment for plaintiff Schultz affirmed."

And, of course, quotation marks come before OR after question marks, depending
on whether the question is or is not a part of the quoted material itself:

The quote is itself a question: I heard her ask, "What is your number?"

The quote is not itself a question: Was she saying, "Take a number"?
Section 3. Proofreading 3-21

QUOTATIONS WITHIN QUOTATIONS

Quotations within quotations are similar to ultimate hearsay, and can be

extraordinarily awkward. The primary rule is to maintain each set as a "nested
pair": 12 21:

1 2 2 1
And I quote: "John had the words 'Never say die' tattooed on his arm."

1
When I spoke with her, Mary said, "I couldn't believe it. Susan actually
called out to Roberta, 'Bobbie, why did you say, "Get lost, Peter"?'"
2 3 321

Those nested pairs reflect who said what in this sequence:

Bobbie (Roberta) started it off when she said, "Get lost, Peter."
Susan called out "Bobbie, why did you say, 'Get lost, Peter'?"
Then came Mary: "I couldn't believe Susan actually called out to Roberta
'Bobbie, why did you say, "Get lost, Peter"?'"
(And now the witness is reciting all that to yet others!)

Note the placement of the other punctuation marks. Periods and commas usually
appear inside quotation marks, while colons and semicolons typically appear
outside:

PERIODS, COMMAS -- INSIDE THE QUOTE MARKS:

The package is labeled "This Side Up."

If I hear him say, "But I told you so," once more, I'll strangle him.

COLONS, SEMICOLONS -- OUTSIDE THE QUOTE MARKS:

"Do unto others before they do unto you": the best advice I ever got.

"Fame is proof that people are gullible"; with this, he sat down.

Quotation marks may not be needed in very short, common expressions, although
these are judgment calls for you to make. Consider:

Was that a yes? Was that a Yes? Was that a "Yes"?

Whichever you prefer, be consistent within a transcript.

3-22 Section 3. Proofreading

Or consider this common situation, shown here getting progressively worse, then
with an elegant option:

PROBABLY BEST You have to answer yes or no.

GOOD You have to answer Yes or No.

ACCEPTABLE You have to answer "Yes" or "No."

POOR You have to answer, "Yes," or "No."

QUITE BAD You have to answer, "Yes," or, "No."

COMPLICATED You have to answer. "Yes" or "No"?

ANOTHER OPTION You have to answer. Yes or no?

GETTING INTO AND OUT OF QUOTATIONS

A rule of thumb is that verbs introducing quotations only need commas if they are
verbs primarily related to speaking. Most common are say, said, says, of course,
and their close relatives. Other verbs, prepositions, and conjunctions generally do
not need to be "comma'd," and nouns and pronouns almost never do.

WITH "NON-SPEAKING" WORDS, generally omit commas:

VERBS:

SIMPLE: The package is labeled "This Side Up."

FUSSY: The package is labeled, "This Side Up."

PREFER: Did you read "Aliens Snatch Baby" in today's Enquirer?

AVOID: Did you read, "Aliens Snatch Baby," in today's Enquirer?

YES: Did you prefer "Rhoda" to the classic "What's My Line?"

NO: Did you prefer, "Rhoda," to the classic, "What's My Line?"

Only rarely will any form of "to be" require a comma to introduce a quotation:

YES: I couldn't tell if it was "Enter Here" or "Exit Here," so I went in.
NO: I couldn't tell if it was, "Enter Here," or, "Exit Here," so I went in.

YES: The title of this poem is "Sandbars."

NO: The title of this poem is, "Sandbars."
Section 3. Proofreading 3-23

YES: I bet Tom's next words will be "No way, man."

NO: I bet Tom's next words will be, "No way, man."

In very short, clear sentences even the speaking verbs can be left uncomma'd:

PROBABLY YES: I said "Phooey."

PROBABLY NO: I said, "Phooey."

NOUNS AND PRONOUNS:

YES: We saw the signs "Smith Yes, Jones No" and got out of there.
NO: We saw the signs, "Smith Yes, Jones No," and got out of there.
NO!! We saw the signs, "Smith, Yes," "Jones, No," and got out of there

That's probably taking commas further than they ought to go.

YES: We loved your "What, me worry?" Alfred E. Newman impression.

OKAY: We loved your "What? Me worry?" Alfred E. Newman impression.
NO: We loved your, "What, me worry?", Alfred E. Newman impression.

PREPOSITIONS AND CONJUNCTIONS:

YES: What did you think of "Quo Vadis?"

NO: What did you think of, "Quo Vadis?"

THE SPECIAL CASE OF THAT:

Of course, the word that usually introduces an indirect quotation, which requires
neither quotation marks nor a comma:

Tom said that Robert said she was never there.

Direct quotations introduced by that do want their quotation marks, but still do not
need a comma. Consider if the preceding example was part of Tom's affidavit
being read in court, and line 15 of the statement actually has the words "Robert
said she was never there." Now the proper transcription is:

On line 15, Tom said that "Robert said she was never there."

This can be tricky. If the speaker is merely announcing her own thoughts, the
simplest of all constructions is nearly always correct: no quotes:

I thought that I'd better get out of here pronto.

3-24 Section 3. Proofreading

Quotation marks also indicate titles of articles appearing in magazines, newspapers,

and other periodicals, television and radio programs, songs, plays, films, poems,
chapter headings within books, and various brochures. But full book titles and the
masthead names of periodicals or newspapers are generally underlined or italicized:

Did you read the story "Governor to Appoint Commission" in today's paper?

Do you generally watch "Omega Horizon"?

Poe's "The Gold Bug" is typical of the genre.

She wrote "Understanding Adolescence," the third chapter in his book.

Please turn to page 17 of "Libby Corporation Annual Report, 2003."

But:

Our congressman is quoted in today's Wall Street Journal.

They can't afford a subscription to The New York Times.

Human Development by Marbury is a recognized authority in sociology.

"Understanding Adolescence" is chapter 3 in Human Development.

And what to do with the The in such titles as that important street's
Journal and that big city's Times? Answer the question: do people
generally say it as an integral part of the title? If so, include it.
If not, don't.

Few would say, "I read it in Wall Street Journal"; they always include
the The, and the same goes for The New York Times. But these are
really style questions more than "right" or "wrong" issues.

To test whether using quotation marks or underlining is more appropriate, answer

the question: does the item rise to the level of a free-standing, seriously published
work which is sold to the public [underline], or is it something less than that, such
as a company's quarterly employee newsletter [use quotation marks]?

NOTE: Word processors permit easy italicization, which for decades has been the
standard in publishing as a substitute for underlining:

She wrote Grapes of Wrath while living near Atlanta.

The titles of religious scriptures (the Bible, Koran [or Qur'an], Vedas, Talmud, etc.)
are generally neither underlined, placed within quotation marks, nor italicized.
Section 3. Proofreading 3-25

APOSTROPHE

The commonest use of apostrophes is in verbal contractions: can't, don't, won't,

and so on — including the lamentable ain't.

Some verbal contractions in common speech are difficult, but can be worked out:

HEAR if iduv had my druthers iduv left

IN TEXT If I'd have had my druthers, I'd have left.

NO If I'd of had my druthers, I'd of left.

Obviously, putting the extremely double-contracted iduv into a

construction such as I'd've asks too much of apostrophes. (An English
word with more than one apostrophe is fo'c's'le, part of a sailing ship.)

NOTE: Unnecessary apostrophes just to catch the full flavor of certain types of
American speech may not be warranted.

HEAR i seen em and i caught em and i brung em on home

PREFER I seen them and I caught them and I brung them

on home.

AVOID I seen 'em and I caught 'em and I brung 'em on

home.

HEAR yall was fixin to gwan ovah dare an gonna seer

PREFER Y'all was fixing to go on over there and going

to see her?

AVOID Y'all was fixin' to gwan over der an' goin' to

see 'er?

This is not to denigrate any English variant — and there are many. We speak a rich
language with significant regional differences, none more "correct" than another.

That said, a long transcript filled to the brim with doin' for every doing, goin' for
every going, an' for and, 'em for them, or 'er and 'im for her and him, may be
unsatisfactory, and will be difficult to read. Keep in mind someone has to actually
read and understand our products — without reference to code books.
3-26 Section 3. Proofreading

Of course, an occasional use of such forms as 'em for them may be

appropriate, especially in proverbial sayings:

When in doubt, leave 'em out.

The test is two-pronged: first, whether your choice is going to be intelligible to a

typical reader; and second, whether you are changing the speaker's style beyond
all recognition. We must do our best, when transferring "street language" to text,
to avoid unacceptable editorializing. You are the judge.

Omit apostrophes from contractions which have passed into common use:

POOR BETTER INTENDED WORD

doc' or doc's doc or docs document, documents

pro' or pro's pro or pros professional, professionals

revs' revs revolutions (as of a motor)

spec' spec specification

stip' or stip's stip or stips stipulation, stipulations

ump' or ump's ump or umps umpire, umpires

However, when such words are used as verbs, especially in the past tense,
apostrophes can help:

Is she ump'ing again? She ump'd the last inning.

He ref'd several boxing matches.

I think we may have stip'd to all those points.

But they aren't always necessary: He revved the engine to 7,000 rpm.

Again, the test is whether your choice is going to be intelligible to a typical reader

APOSTROPHES AS POSSESSIVE FORMS

The standard 's form shows possession. It is simple to apply — except occasionally
with words already ending in an s sound (or z, sh, zh, ch, or j). Then there is some
division between schools of thought.
Section 3. Proofreading 3-27

The simplest solution is to answer the question: "What did [s]he ACTUALLY
SAY?" and let the formal rules for edited literary texts be whatever they may be.

HEAR the witnessz answer was indistinct

IN TEXT The witness's answer was indistinct.

HEAR we went to the jonesz house for dinner

IN TEXT We went to the Jones's house for dinner.

Of course, We went to the Jeffords house for dinner may be acceptable

if the intent is similar to We went to the famous Jeffords mansion.

Reflecting what is actually said will never lead you astray:

the class's recitation a fox's tail

the press's description King Charles's reign

This is because whether or not the speaker follows the rules is irrelevant. Either
she said James {use James' ] or Jamesez [use James's].

Apostrophes also show when parts of dates have been elided: '91 for 1991.

DASH

The full dash [ — em-dash or – en-dash ] or double-hyphen dashes [ -- ]

serve three main purposes. Dashes show:

• interruptions,

• changes of thought, and

• parenthetical asides.

INTERRUPTIONS

3 Q. Now let me draw your attention to --

4 A. Wait a minute. I'm not there yet.
3-28 Section 3. Proofreading

CHANGES OF THOUGHT

The old saw about changing horses in midstream applies, alas, to us all when
speaking extemporaneously. (The hand may not really be quicker than the eye, but
the brain is certainly quicker than the tongue.) The dash indicates abrupt changes
of thought:

I'm not really -- well, tell us about your school background.

PARENTHETICAL ASIDES

A pair of dashes can set off extraneous material within a sentence. They become,
in fact, substitutes for parentheses:

I'm sure Your Honor knows the holding in Barclay -- and

remember, this is a Third Circuit case as recent as 1994 --
that an estate in bankruptcy is exempt from this liability.

That was a lengthy parenthetical thought. Others are quite brief. Nonetheless, they
remain parenthetical in nature. Be careful not to overindulge in dashes:

PREFER I'm sure Your Honor knows the holding in Barclay,

Third Circuit, that an estate in bankruptcy is exempt
-- I repeat, exempt -- from this liability.

DASHED TO I'm sure Your Honor knows the holding in Barclay --

DEATH Third Circuit -- that an estate in bankruptcy is
exempt -- I repeat, exempt -- from this liability.

PARENTHESES

Beware of parentheses in text. They are a strong statement that the parenthetical
material is supplementary or explanatory. The paired dash set serves this function
less obtrusively, and is preferred. Compare the following with the first example of
Barclay on the preceding page, and see the stronger "editorial" effect implied by
formal parentheses:

I'm sure Your Honor knows the holding in Barclay (and

remember, this is a Third Circuit case as recent as 1994)
that an estate in bankruptcy is not exempt from this
liability.
Section 3. Proofreading 3-29

Of course, parentheses do have their place in transcripts, generally as mechanical

devices to set off formal case citations, exhibits, and references to rules or laws:

Let's look at Rule 803(21), "Reputation as to Character."

We propose sanctions be imposed pursuant to 6653(a)(1)(C).

Exhibit 1(a) is received in evidence.

You can read that in Smith v. Commissioner, 163 F.2d 792,

795 (8th Cir. 1994).

Parentheses also set off the word sic to show a speaker's egregious error, or to
give notice that what the reader sees is not a simple typographical error:

He was confused and disorientifulated (sic).

I was born in 1853 (sic), Your Honor, in Cleveland.

Square brackets may also be used, [sic], and sic is preferably italicized.

HYPHEN

Hyphens are integral to hyphenated words and certain multi-part constructions.

They also may help clarify otherwise obscure constructions.

HYPHENATED WORDS

English is slowly losing its hyphens. For example, the formerly hyphenated to-day
and to-night slipped into today / tonight some years back, and the trend continues.
Incredibly, the City of New-York once used a hyphen. Farm co-operatives have
become farm cooperatives — although in its shorter version, farm coop, a reader
might think of a chicken coop instead of co-op. A dictionary will inform whether
hyphens are necessary or merely preferred; common sense will inform whether
they are helpful.

Often the test is whether the unhyphenated form has become so familiar that a
reader will not stumble over it, trying to figure out what is meant.

Widely known and acceptable: preemptive strike

Rarely used and hard to read: preembargo sale (prefer pre-embargo)

Hyphens are used in repetitive compound phrases:

3-30 Section 3. Proofreading

Buick once made eight- and six-, now they only build four-cylinder engines.

Our pipes come in two-, three-, four-, six-, and eight-inch diameters.

Hyphens serve to distinguish between simple noun or verb forms and their more
complex adjectival forms:

He only worked part time.

His part-time job was in Chicago.

Did you go to the beach fully dressed?

The fully-dressed and the not-so-fully-dressed went to the beach.

The devil may care; I don't.

Your devil-may-care attitude is unacceptable.

Hyphens also divide words into their component letters:

3 Q. Have I been spelling that wrong all along?

4 A. It's B-a-r-t-h-l-e-e-m.
5 Q. B-a-r-t-h- --
6 A. Right; -l-e-e-m.

(See the Transcription Section for comments on the use of all-uppercase

versus upper- and lowercase letters when spelling names on the record.)

ELLIPSIS

When speakers omit words from a sentence without changing its meaning and the
result is still understandable, they have performed the feat of ellipsis. (Of course,
we do not omit actually spoken words.) Simple ellipsis is shown by a set of three
periods . . . and should be restricted primarily to quotations from documents where
you have access to the complete form (as in a case citation or exhibit) so you can
check to see what is omitted. This will probably occur very rarely in your work.
(People do not generally speak in ellipses.)

Your Honor, it's in the rule's own words: "A court may order
any party . . . to appear and show cause."
Section 3. Proofreading 3-31

CAPITALIZATION

Although basic rules for using capitals with proper nouns will probably never
change, English is slowly tending toward simplification in this area. Examples:

The Congressional Review discusses congressional actions weekly.

Most senators dislike it, but House staff and representatives rejoice.

We do not feel your constitutional arguments have merit.

If you prefer Constitutional here, you may then be faced with the very
awkward Unconstitutional — or even worse, unConstitutional.

JOB TITLES

Try to keep it simple. General rules of thunb:

Does the title come before the name? Capitalize:

Professor Smith will be our next witness.

Is the title modified by other words? Don't capitalize:

Smith, the associate professor of anatomy, never said that.

Also consider just how formal the reference is and how "important" or unique the
job title is.

Each school board member voted for this budget.

(School Board Member may be proper in German, but not English.)

The outgoing president, Jim, handed the gavel to Bob.

(The outgoing President, Jim may be too formal for the context.)

Thank you, Professor Smith, for your fine paper.

John Smith, a professor of anatomy at Cornell, spoke yesterday.

We now call Officer Barbara White to the stand.

(But Police Officer Barbara White begins to look somewhat awkward.)

Barbara White, a police officer serving in Trenton, will now testify.

Remember that not all job titles rise to a level of "importance" or "uniqueness" that
requires capitalization:
3-32 Section 3. Proofreading

Please listen now to Secretary Smith.

This is fine for Secretary of the Treasury Smith, but is it appropriate

for someone in the word-processing unit? If you do use Secretary Smith
in such a case, you may then be faced with the question of Box Boy
Jones or Waiter Barnes. This isn't a question of snobbery, but of
awkward forms.

What about federal / state and city / county? Omitting capitals is acceptable:

All federal government agencies close on national holidays.

Each state court system differs.
The Pensacola city charter was drafted in 1846.

Many still prefer, however:

The State of Nebraska will sue the Federal Government over this issue.

This is for consistency. If you use federal government, you could also
use state of Nebraska in appropriate balance.

He owned property in the City of El Segundo, County of Orange.

She was born and raised in the South. (BUT: Go south on Main Street.)

CAPITALIZATION CONVENTIONS

Certain titles are both capitalized and abbreviated, unless they stand alone:

Please welcome Dr. Fisher.

Well, doctor, what do you have to say about that?

Now Drs. Lorenz and Shumann will address us.

Welcome, doctors.

I wish Mr. Black would explain this.

I've just about had it with you, mister.

And we still hear the somewhat rare messieurs (plural of mister):

My partners are Messrs. Doyle and Callahan.

They never thought Ms. Thompson would retire.

Yes, Maybelle is his missus.
Section 3. Proofreading 3-33

Generic adjectives merely derived from proper names are usually not capitalized:

Hercules was a Greek demigod.

It was a herculean task to get the bill passed.

The whole affair was a cheap, mickey-mousey deal.

However, very specific adjectives drawn from geography or people's names, tend
to want capitals::

The Edwardian period had faded into fond memory by 1918.

She had a typical New-Yorky attitude.

His manners were quaintly Victorian.

It is conventional to use all capitals for speaker identification in transcripts,

followed by a colon and two spaces:

THE COURT: MR. BLACK:

THE WITNESS: JUDGE THOMPSON:

Although a speaker identification such as DR. SMITH: is acceptable, it is always

proper to use the generic MR. for all male and MS. for all female speakers,
regardless of their marital status or professional achievements.

It is also conventional to use all capitals with names of ships: He survived the
sinking of HMS DREADNAUGHT. The EXXON VALDEZ is again for sale.

SPELLING

Rather than including here a lengthy recap of the complex rules of English spelling,
we will assume you possess a word-processing program which includes a spell-
checking dictionary. (If your dictionary includes word roots and etymologies, you
can also learn fascinating things about English.)

But beware of letting your word-processing spell-checker do all the work. It will
happily pass by valid English words which are both nonsensical and embarrassing
in any context. Getting letters somehow reversed, leaving one out or slipping
another one in, or even spacing at the wrong point, when the result is also valid,
is a common pitfall.

I saw them at noon. Did you love your two months in Paris?
I say the mat noon. Dud you live our tow moths in Par is?
3-34 Section 3. Proofreading

Look at public statute 95-01. I want to buy some realty.

Look at pubic statue 95-01. I want to bug sum reality.

She was signing the contract. I think she missed the filing date.
She was singing the contact. I thing she mussed the fling data.

PHONETIC

When it comes to names, the reporter bears the burden of providing the transcriber
with spellings. This is sometimes difficult, as when a witness who has rattled off
many names and much jargon manages to flee the courtroom before the reporter
can make appropriate inquiries.

BUT many resources are available for transcribers to consult before even
considering the use of [phonetic]. And the Internet provides help with even
obscure inquiries.

A podunk place name in Vermont?

Consult an atlas.

A medical term or a drug name nobody seems to know how to spell?

Consult a medical dictionary or Physicians' Desk Reference.

Legal jargon?
Consult Black's Law Dictionary
(By the way, Black's has a series of appendices often
overlooked, including many pages of standard abbreviations
and what they mean.)

When reference resources fail, asking another transcriber or reporter (or someone
who always seems to win at trivia games) may help.

Go to an on-line White Pages directory to see if you can identify

Consider making a quick phone call to a local firm in the industry to inquire what a
particular "it sounds like" phrase is all about. People really do like being of
assistance: "I'm hoping you can help me. I've come across an accounting phrase
that sounds like 'retrained earrings'; do you know what that might be?" "Well, it's
probably 'retained earnings.'" "Thank you so much; goodbye."

Just don't give up and resort to [phonetic] until further inquiry is clearly a matter of
diminishing returns.
Section 3. Proofreading 3-35

HOMONYMS and HOMOPHONES

Words which sound the same and are spelled the same cause no problems:

She lived in town and banked regularly at First Savings.

The planes veered and banked suddenly to the right.
Engineering staff had banked the levee with concrete slabs.

He was acrophobic and couldn't bear heights.

We expect to see at least one bear in Yellowstone.

But when words sound the same but are not spelled the same, difficulties arise:

He was acrophobic and couldn't bear heights.

We were told to expect frequent bare sightings at Yellowstone.

There is a third class: words which sound almost the same (indeed, with most
people, definitely the same), but which are spelled differently:

We buy only beige stationery for office use.

Not moving, she appeared stationary as a rock.

English is richly endowed with words in all three categories. Here are just a few
examples, some with brief illustrations:

accept / except
accept = receive
Will you accept his gift?
He accepted the blame.
except = exclude
They excepted him from all further responsibility, and he resigned.
affect / effect
affect = influence
This law will affect savings. (= perhaps increase, perhaps decrease)
effect = cause
This law will effect savings. (= save money)
alter / altar
amend / emend
amend = to change, for better or worse
Please amend your schedule to include lunch with John.
emend = to improve by making a change
I think if you emend your letter by signing it "Sincerely yours,"
she'll like it a lot better.
birth / berth
bore / boar
3-36 Section 3. Proofreading

born / borne
caret / carat / karat
caret = a proofreading symbol (^) pointing out where insertions are made
carat = a unit measuring the weight of precious stones
karat = a unit measuring the purity of gold; carat is also acceptable here
compliment / complement
compliment = an expression of praise, admiration, or congratulation
complement = something which completes or perfects
The library had a full complement of reference works.
council / counsel
discreet / discrete
discreet = prudent, modest
This is an explosive situation; please make discreet inquiries.
discrete = distinctly separate, unconnected
We bifurcated our argument into two discrete elements of proof.
eminent / imminent / immanent
eminent = outstanding
They were eminent scientists who won Nobel prizes.
imminent = impending, about to occur
I can see cracks in the dam; a flood is imminent.
immanent =inherent
Jefferson believed virtue was immanent in all human beings.
fair / fare
grate / great
hair / hare
hear / here
its / it's
its = possessive form of it
The company placed its ads in the paper.
it's = it is [contraction]
It's [it is] hard to understand.
lean / lien
peel / peal
pear / pair / pare
parol / parole
parol = oral
But we had an oral agreement, and I invoke the parol evidence rule!
parole = release from confinement
They refused to grant him parole, as he showed no remorse.
peer / pier
pore / pour / poor
plane / plain
principal / principle
principal = primary
The principal thing the principal said was to never give up.
principal = money [capital investment]
We paid off the principal, but still owed them a lot of interest.
Section 3. Proofreading 3-37

principle = basic rule or standard

He may spout these fine principles, but I doubt he's sincere.
residents / residence
rite / right / -right / -wright
rite = ceremony
right = privilege
right = correct
Only the initiated have the right to observe that rite, right?
-right = ownership [suffix]
-wright = builder [suffix]
A playwright owns the right to her play via the rite of copyright.
sew / so / sow
there / their / they're
there = location
"The trouble with Oakland is, there's no there there.”
their = possessive form for they
They took their books and went home.
they're = they are [contraction]
I think they're [they are] the nicest people I've met there.
therefor / therefore
therefor = something given for something else
I am ordering these goods and enclosing payment therefor.
therefore = thus, consequently
He was scared; therefore, he ran.
She bought the car and fully paid therefor; therefore, she owns it.
there's / theirs
there's = there is [contraction]
Don't tell me there's [there is] cause for alarm.
theirs = plural possessive form for they
Our car is red; theirs is blue.
whole / hole / wholly / holy
who's / whose
who's = who is [contraction]
Guess who's [who is] coming for dinner?
You may find them listed in Who's Who.
whose = possessive form of who
Can you tell me whose books these are?
This is the contestant whose lasagna won all those prizes.
whore / hoar
whore = a prostitute
hoar = frost
won / one
wrote / rote
wrote = written
rote = memorizing; repeating something without understanding it.
3-38 Section 3. Proofreading

PARAGRAPHS

Traditionally, paragraphs break lengthy narratives into coherent thought groups.

However, just when a speaker has changed topics is often a matter of
interpretation.

Use paragraphs to help readers separate important elements, as when reciting a

series of legal points such as we hear in opening statements:

3 MS. ROE: We will prove by uncontroverted evidence

4 that he was told the plane was airworthy;

5 That the plane was, in fact, long overdue for an

6 overhaul, and was thus by no means in good condition;

7 That the sellers knew all along such representations

8 were at least misleading, if not out-and-out false;

9 That they wanted him to believe the craft was in

10 tip-top shape so he would pay a high price;

11 And that he bought the airplane, relying fully and

12 entirely on their reputation for honest dealing –- and

13 not to put too fine a point on it, Your Honor, got stung.

Yes, that could also be squeezed into a long "wall-to-wall" sentence, but it
certainly would be harder for readers to slog through and discern the main points:

MS. ROE: We will prove by uncontroverted evidence that he was told the
plane was airworthy; that the plane was, in fact, long overdue for an
overhaul, and was thus by no means in good condition; that the sellers knew
all along such representations were at least misleading, if not out-and-out
false; that they wanted him to believe the craft was in tip-top shape so he
would pay a high price; and that he bought the airplane, relying fully and
entirely on their reputation for honest dealing — and not to put too fine a
point on it, Your Honor, got stung.
Section 3. Proofreading 3-39

It is wise to begin a new paragraph each time a speaker addresses a different

person, to avoid confusion:

3 MR. DOE: Here is a copy, Your Honor.

4 THE COURT: Thank you, Mr. Doe.

5 Have you seen this already, Ms. Roe?

6 Oh, and be sure, Mr. Reporter, we have one here.

7 Ms. Roe, did you say you have one?

8 MS. ROE: Yes, I do.

Paragraphs also can divide a witness's responsive answer to a question from

further unrelated narrative:

12 Q. When did you buy the house?

13 A. I bought it in 1995. End of responsive answer

14 You know, I always hated that place. It was in

15 very bad shape, and we spent a fortune on it. We even

16 had to fix the --

17 MS. ROE: Move to strike. All he asked was when,

18 and now we're going to hear about a bunch of repairs?

19 THE COURT: Granted; strike all after "1995."

SECTION 4. TECHNICAL (General)
This section discusses: Transcriber audiotape equipment
Troubleshooting
Computer- and communication-related comments

ASSUMPTIONS

We assume you are using a FOUR-CHANNEL TRANSCRIBING MACHINE.

Try to purge your vocabulary of the common phrase "four-track"; this is a

misnomer. All cassettes have four tracks. The difference is that "normal"
recordings, such as pre-recorded music tapes, use only two tracks for side A of the
tape, then the remaining two for side B. Four-channel recording uses all four tracks
at once — and obviously cannot be turned over for further recording. To illustrate:

Standard "2-channel" bi-directional Preferred "four-channel":

[stereo]:

1 A 1
2 2
3
2 4
1 B

Half the tape width (two channels) Entire tape width (four channels)
used for each side's separate recording used for a single recording

AAERT does not generally recommend specific purchases of equipment by brand

name. Whichever equipment you use, there remain a number of advantages to
four-channel recording.

The primary advantage to four-channel recording is voice separation. The reporter/

recorder can assign one microphone and its channel to the judge, a second
microphone and channel to the witness stand, a third to plaintiff's counsel, and a
fourth to defendant's counsel. This is far superior for producing verbatim
transcripts than trying to ferret out individual voices from recordings which have
commingled multiple voices.

True, when attorneys are both polite and experienced (and also in most deposition
situations), this is less crucial, as the parties are not talking simultaneously.
4-2 Section 4. Technical

Unhappily, such serenity is not always found. Indeed, with the advent of so-called
talk-TV and talk-radio, Americans are slowly being conditioned to blithely forge
ahead regardless of who else is speaking.

Most judges, however, knowing they are ultimately responsible for what happens
in their courtrooms, usually try to prevent proceedings from turning into circuses,
and insist that parties not interrupt or "talk over" each other.

Four-channel machines have selection buttons which let you listen to all four
channels simultaneously, two channels together, or only one at a time. Listening to
all four together tends to defeat the purpose of four-channel recording, and is not
recommended unless the pace of what's going on is relatively slow, or the parties
speak clearly and are considerate of each other.

A disadvantage with four-channel machines is that individual channel selection

buttons must be picked in order to move from speaker to speaker. (As with most
things, however, this soon becomes a matter of second nature.) Fortunately, most
transcription machines have channel indicators that show which microphones are
picking up significant sounds.

TAPE ISSUES

PRIMARY TAPE SPEED SWITCH

Sounds are initially recorded (and then are played back) electromagnetically as the
tape passes across the recording head. The faster the tape moves, the clearer the
recording. Of course, the reporter/recorder controls this issue; transcribers deal
with what is provided to them.

All cassettes come in a standardized case size. Their labels, however, indicate they
are expected to play for 60 minutes, 90 minutes, etc. These printed numbers are
somewhat irrelevant, because the recording machine can operate at different
speeds.

A very widely used speed is 2.4 centimeters per second (15/16 inch per second).
Some reporters use a slower 1.2 centimeters per second (15/32 inch per second),
apparently to reduce the number of times they must change tapes, or simply to use
up fewer tapes. But remember, the faster the speed, the better the sound.

If you have a 90-minute tape which is recorded at the 2.4 speed, the playback time
is a true 90 minutes, or 1½ hours. The same "90"-minute tape recorded at the 1.2
speed will play for 3 hours!

In estimating how many transcript pages may result from a given playback time,
remember that an hour of playback time at the 2.4 cps speed produces about 40
pages, while 90 minutes of playback time produces about 60 pages of transcript.
Section 4. Technical 4-3

VARIABLE SPEED CONTROL

The variable speed control allows you to adjust the tape speed in very small
increments. (Remember the primary tape speed switch merely jumps between the
2.4 and 1.2 settings, and stops at nothing in between.)

The variable control is helpful with speakers who apparently learned to talk at a
machine gun academy, and who view pausing to breathe as a sign of weakness.
These voices can be slowed down somewhat. Alternatively, a very slow-droning
speaker can be speeded up just to save transcribing time.

A problem with this useful tool is that "slowed down" voices sound lower and less
distinct, whereas "speeded up" voices sound higher and tend to become garbled.
This is corrected, at least to some degree, by using the machine's pitch control.

PITCH CONTROL

This adjustment is used together with the variable speed control to improve speech
clarity: a "speeded up" voice tone can be lowered into the bass range, and a
"slowed down" voice tone can be raised into the treble range.

TONE CONTROL

Voice tone is also related to pitch. The difference between the pitch control, as
discussed above, and the tone control is simply that here the tone can be adjusted
independently, without changing the tape speed one bit.

If you set the tone control on "low" [bass], you minimize the sss sounds [sibilants]
in words. This also tends to reduce certain background noises [hiss].

By setting the tone control on "high” [treble], you maximize the sss sounds-but
simultaneously emphasize any tape hiss.

"AUTO-REVERSE" TIMING CONTROL

Whenever you stop/start tape play, the machine takes an instant to respond. The
"auto-reverse" timer allows you to choose just how much of the recording (if any)
you wish to hear again automatically at each stop/start. This is useful in assuring
that you do not accidentally omit words. (Remember that omissions occur more
frequently than additions.) A caveat, however: take care not to inadvertently
transcribe the twice-heard phrase as though it were the speaker's own regression!
4-4 Section 4. Technical

DEDICATED TRANSCRIBING MACHINES

Transcribing machines which can neither record nor erase tapes are, by definition,
dedicated to playback or transcription functions only.

DUAL-PURPOSE TRANSCRIBER/RECORDER

More elaborate transcribing machines also have recording functions, but we will not
deal with tape recorder issues here. (See Section 7, Electronic Court Reporting.)

MAINTENANCE ISSUES/CLEANING

The playback heads of your machine are constantly rubbed by tape, and over time
a residue of magnetic dust will collect on the playback head and other internal
moving parts. This accumulation impairs sound quality and must occasionally be
removed.

When to clean the heads is more a matter of experience than rule. Some prefer
doing it after about forty hours of actual operation, others wait longer. Your
manufacturer's handbook may have both instructions and suggestions.

Heads are cleaned by using a simple cotton-tip swab dipped in a fluid solvent.
There are commercial head-cleaning fluids available, but any drug store sells 99%
isopropyl alcohol (USP), which works fine and is far less expensive. (Isopropyl
alcohol is NOT standard "rubbing alcohol," which may contain talc.)

First disconnect the foot pedal cable. With power on, but no cassette in the
machine, press the play or listen button. The head assembly will move forward
slightly (fully expecting to find a tape to press against). As no cassette is
encountered, however, approximately five seconds later the head assembly will
withdraw and the play/listen mode will click off. This sequence can be repeated, of
course, to give you sufficient time to clean.

Take care not to leave behind any lint from the cotton-tip swab.

PROBLEMS

Trouble-shooting skills come with experience, but here are some common
situations and possible causes. (Problems caused by a flawed recording machine
may not always have solutions available by these simple machine adjustments.)
Section 4. Technical 4-5

SITUATION / WHAT YOU HEAR POSSIBLE CAUSE / REMEDY

Voices are unnaturally fast The variable speed control is ON but is

not properly adjusted.
("chipmunks" talking).

Voices are unnaturally slow The tape playback speed selected does
not match the speed of the recording.
(low, growling, drawn-out)

Extremely fast speaker Engage variable speed control to slow

down the tape speed, then adjust pitch
("machine-gun" mannerism).
control to restore voice quality.

Volume varies greatly The cassette may be missing the small

felt pad which helps press the tape up
(fade-in / fade-out).
against the playback head. Inserting a
pad taken from another tape may help.

Sound quality is variable ("warbling"). Many stops/starts may have resulted in

the tape being wound unevenly on the
cassette spool. Complete rewinding or
fast-forwarding to the end, then back,
may restore its uniformity.

Voices are generally muffled. Head assembly may need cleaning.

Progressive slowing of tape while Check cassette to ensure neither tape

listening. spool is jammed or sticking. A stuck or
jammed tape may be freed by holding it
(voices gradually get lower and
horizontally and sharply rapping it
lower, growling more and more).
against a table top.

If the halves of the cassette case are

held together by a set of small screws,
loosening them very slightly may release
excessive binding tension.

Obvious gap in recording when You may have been provided only copies
switching from tape 1 to 2: of the original tapes, and the duplication
process failed to "overlap" sufficiently.
(words clearly missing, or someone
else is suddenly speaking). Consult the backup tape, if available. If
it is also flawed in this respect or is
unavailable, you may need to ask for a
replacement copy with adequate
"overlap."
4-6 Section 4. Technical

SITUATION / WHAT YOU HEAR POSSIBLE CAUSE / REMEDY

Cassette is cracked or otherwise broken. You may very carefully transfer the tape
into another case.

No voices are heard, yet channel No channel button has been selected.
indicators are working.
Headset cable may be incompletely or
insecurely plugged in.

Rarely, the cable may need replacing.

If you are using a dual-cassette machine,

the wrong deck bay may be selected.

Volume control may be set too low.

COMPUTER-RELATED COMMENTS

Because as yet there are few standards for computer hardware, not all systems can
use the same software programs. We will not attempt, therefore, to discuss the
unique aspects of different brands. Nevertheless, much technical information is
interchangeable, as the underlying principles are universal-after all, every
programmer in every computer company in every country is still dealing with one
thing: electricity, which runs on its own immutable principles, not IBM's, Apple's,
or Microsoft's rules.

MEMORY: RAM, ROM, and your HARD DISK

First, a caveat: MEMORY is a word normally reserved for random access memory
(see RAM below). When you say your computer has 16 megabytes (megs) of
memory, the reference is always to RAM, not to the size of your hard disk, nor to
your machine's ROM. Train yourself to reserve this word memory for RAM.

RAM = random access memory. These are the memory chips in your computer
which you use as you transcribe — or enter data while using any program, for that
matter. If power is interrupted, all the data entered into RAM is lost; thus, RAM is
described as "volatile." Of course, if you have periodically "saved" your work to
disk or made a backup copy, your labors are not lost and can be retrieved.

You can increase your computer's memory (RAM) by adding memory chips.
Section 4. Technical 4-7

ROM = read-only memory. ROM is permanent memory (unlike RAM, which loses
all data when power is interrupted). Typical desktop computers contain far less
ROM than RAM (usually between 128 to 256 kilobytes [KB] of ROM, as compared
with 128 or more megabytes [MB] of RAM.) ROM is mostly used to store the
permanent instructions that let the computer start (boot) when turned on, as well
as other very basic functions, such as interpreting your keyboard strokes.

BITS and BYTES

BIT. This is a created word that has nothing to do with small pieces of things.
Instead, it is a blend of Binary and digIT. It is a single character in a computer's
language, and serves much the same purpose as a letter in our alphabet or a
number in our mathematics.

But a computer language alphabet does not have twenty-six letters A-Z and ten
numbers 0-9 to work with. Because electricity can only be on or off, it has just
two. (Imagine writing an encyclopedia with with only A and B to use in various
multiple combinations, or having a conversation with someone whose entire
vocabulary is two words: yes or no, but never yes and no!

This is why computer "languages" are called binary [two-part]. The word digital
means the so-called language is really a series of only two numbers, 0 and 1, in
various multiple combinations. (You could think of the 0 as the off/NO, and 1 as
the on/YES electrical state.)

BYTE. Early on, it was decided to group eight bits (eight 0s or 1s) into a unit
(a computer "language word") called a byte. This isn't as limiting as it sounds.
Each byte of 8 bits permits 256 possible combinations of those puny 0s and 1s -
and no English word has yet managed to string 256 letters together! Thus, bytes
can express a vast array of information.

Bytes are arrayed like this: 00000000

10000000
01000000
00100000…and so on until…
11111111
thus creating the 256 possibilities.

So every time you type the letters i and n for our English word in, your keystrokes
send these two actual bytes into RAM:

01101001 = i
01101110 = n
4-8 Section 4. Technical

The only reason this works at all is because electricity zips through these forests of
digits at inconceivable speed. And all this juggling of bits and bytes is performed in
your computer's central processing unit (CPU).

HARD DISK or DRIVE

The HARD DISK is a storage area for lodging software programs and all the saved
files you have created with them. It can have enormous capacity, measured in
gigabytes (GB), and ultimately in terabytes (TB)! (These words represent lots and
lots of zeros.)

It is one or more metal (or glass) disks which are coated with a magnetic
substance. They are hermetically sealed inside a casing along with a motor which
spins them very fast (over 4,500 rotations per minute). There are also read/write
heads on movable arms, and another motor to position the read/ write arms just
barely above (but never touching) the spinning disks. Read heads retrieve bytes
from the disk; write heads transfer bytes to the disk. A 200- megabyte hard disk
can record more than 1.5 billion bits of information.

BOOT

Getting your computer started boots it into service. After power has been off, this
is called a cold boot. Merely resetting the computer while it is running is called a
warm boot. By the way, it is quite a strain on the disks to move almost instantly
from a full stop to 4,500 rpm, so if you use your computer daily it is wise to simply
leave it permanently on.

The danger with power interruptions from an outside source (storm-related power
outage, "brown-out") is the return of power, not its going off. Returning power
may be accompanied by a damaging voltage surge. This danger can be minimized
by installing a surge protector device between the computer and your wall outlets.

MACROS

A short group of keystrokes (or even one stroke) that send coded messages
instructing your CPU to execute a series of prearranged instructions. Thus, with a
simple two- or three-stroke macro, you may order your computer to retrieve
lengthy boilerplate language and insert it in your text anywhere you direct. Macros
can also be used to perform other functions, such as retrieving pre-set document
format codes. These are invaluable time-saving shortcuts.
SECTION 5. TRANSCRIPT FORMAT ISSUES
Jurisdictions differ in their requirements for transcript production, and clients have
their individual preferences. These differences range from how long a line should
be number of characters or spaces to how many lines should appear on a page,
from tab placements to positioning of page numbers, from page-to-page headers
that show who is on the stand (and/or what is going on) to whether the presiding
official is to be identified as THE COURT, MS. HEARING OFFICER, JUDGE SMITH, or THE
ADMINISTRATIVE LAW JUDGE. And we haven't even spoken yet of title page format,
certificate pages, or indices.

FEDERAL DISTRICT / BANKRUPTCY COURT STANDARDS

The good news is that a large number of jurisdictions and contracts follow the
federal lead in formatting issues. Therefore, they can serve as a useful model for
our purposes here, and we believe this federal court format will not appear overly
foreign to most AAERT members. Even so, remember that there is an understood
"generally" or "typically" associated with the various suggestions in this guide.

We will occasionally present partial transcript pages as illustrations. Unfortunately,

to make the illustrations also fit on these pages, the line length available to show
sample text is a bit shorter than the normal number of spaces. Nonetheless, we
trust the points will be adequately demonstrated.

Paper edge Paper edge

Left margin line Right margin line
7
8 Begin text here

1 3/4" 3/8"

Solid margin lines are needed on the left and right, but are optional at the top and
bottom. Place them so your text can begin 1 3/4 inches from the left paper edge
and can end 3/8 inch from the right paper edge. (A little math reveals this means
that text should extend across a maximum line length of up to 63 characters,
using a fixed-spaced font such as 12-point COURIER or COURIER NEW.

There are 25 numbered lines of actual text per page, and these line numbers appear
just to the left of the left-hand margin line, as shown above.
5-2 Section 5. Transcripts

TABS

District court tab settings are at the fifth and tenth spaces.

TITLE PAGE

The title page is a brief summary of the transcript which follows it: what, when,
where, and who. Title page elements form the basis for filing and later retrieving
the transcript. Thus, the title page information is critical. Taking a bit longer to
create an error-free title page is well worth the effort.

Reporters/recorders are generally responsible for providing these data for

transcribers.

Of course, it is common practice to have a standard title page prepared in

computer memory in the form of a template or macro, onto which variable entries
are made in the appropriate places. It is the transcriber's responsibility to make
sure that no "macro devils" creep onto the title page.

The title page can also be thought of as a snapshot of the case at the very point
in time shown (in our sample here, Monday, June 11, 2002, at 8:45 a.m.). Thus,
even though by the time you are preparing the transcript a party may have
obtained a new lawyer, or some attorneys shown on the title page may have
moved their offices or gotten new telephone numbers, or parties may have been
joined in the case and yet others dismissed from it, the title page should show
things as they were then.

In complex cases with several attorneys appearing for various parties, an

additional page may be required. This usually begins with

APPEARANCES (Continued):

on the first text line at the left margin, then spacing down to provide the further
appearance information needed.

The page number [1] for a single-volume title page is not actually printed (See
PAGINATION below.)

MULTIPLE TRIAL DAYS

If a case is carried over from one day to another, it is referred to as a multi-

volume case, and each title page is assigned a volume number. Although it is
customary to use full Roman numerals for such volume numbering (I, II, III), in
very long cases using Arabic numbers may be wiser, as few of us quickly or
comfortably read the higher Roman numerals (XLVIII, for example, for 48).
Section 5. Transcripts 5-3

A TITLE PAGE SAMPLE

1 UNITED STATES DISTRICT COURT

WESTERN DISTRICT OF ALASKA
2 EASTERN DIVISION

3 UNITED STATES OF AMERICA, . Case No. A01-9912 CR

.
4 Plaintiff, . Anchorage, Alaska
. Monday, June 11, 2002
5 v. . 8:45 A.M.
.
6 JOSEPH BROWN, .
.
7 Defendant. .
.
8 . . . . . . . . . . . . . . .

9 VOLUME III
TRANSCRIPT OF TRIAL
10 BEFORE THE HONORABLE SPENCER CALDERON
UNITED STATES DISTRICT JUDGE, and a jury.
11

12 APPEARANCES:

13 For the Plaintiff: RANDALL KRAMER, Esq.

Office of the U.S. Attorney
14 973 West Spears Street
Anchorage, Alaska 99531
15 (907) 721-7150

16 For the Defendant: PATRICIA MARGOLIS, Esq.

Hart, Shaftner & Marx
17 551 Q Street, Suite 3600
Fairbanks, Alaska 99772
18 (907) 227-7722

19 Court Recorder: Roberta Graham

Clerk of Court
20 Federal Building & Courthouse
1177 Santa Marta Avenue
21 Anchorage, Alaska 99531-6475

22 Transcription Service: XYZ Court Services, Inc.

1716 Valley Forge Drive
23 Seward, Alaska 99662
(907) 848-5724
24
Proceedings recorded by electronic sound recording;
25 transcript produced by transcription service.
5-4 Section 5. Transcripts

AN INDEX PAGE SAMPLE

Major events in a trial or hearing are almost always indexed.

3-2

1 INDEX
Further
2 Direct Cross Redirect Recross Redirect

3 WITNESSES FOR THE

PLAINTIFF:
4
Roy Smith 3-3 3-79
5

6 WITNESSES FOR THE

DEFENDANT:
7
Rosalie Perkins 3-83 3-101 3-146 3-155
8

9 MOTION: Ms. Margolis 3-81 Denied 3-82

10

11 EXHIBITS: Marked Received

12 P-1 Bank Records 1/15/01 3-12 3-13

13 D-1 IRA Account 1298835-B 3-85 3-100

14 D-2 Canceled checks [withdrawn, p. 3-87] 3-86 –-

15

16 ARGUMENT: Mr. Kramer 3-162

17 RESPONSE: Ms. Margolis 3-167

18 THE COURT: Finding 3-171

19

Other, non-federal formats may require far less elaborate indexing, particularly
regarding exhibit identifications.
Section 5. Transcripts 5-5

A PROCEEDINGS PAGE SAMPLE

3-3

1 ANCHORAGE, ALASKA, MONDAY, JUNE 11, 2002, 8:45 A.M.

2 (Call to Order of the Court)

3 THE COURT: Welcome back again. Please state your

4 appearances again for today's record.

5 MR. KRAMER: Randall Kramer for the government.

6 MS. MARGOLIS: Pat Margolis for defendant Brown.

7 THE COURT: I believe we are – yes, you are now

8 going to resume cross-examination of Roy Smith, counsel.

9 Mr. Smith, remember you are still under oath.

10 ROY SMITH, PLAINTIFF'S WITNESS, RESUMED

11 CROSS-EXAMINATION (Resumed)

12 BY MS. MARGOLIS:

13 Q Mr. Smith, when we last spoke, I believe early last week,

14 you were telling us about your first encounter with Ms.

15 Brown. Tell us again – excuse me; is that correct?

16 A Yeah, I think so. Yes.

17 Q Tell us again when you first saw her.

18 A Well, I think I was watching television and –

19 Q No; what date? Do you remember?

20 A Oh, no. No, I don't.

21 Q Well, do you remember the month, or perhaps the time of

22 year?

23 A No.

24 Q Well, was it in the spring?

25 MR. KRAMER: Your Honor, he already said that he does

5-6 Section 5. Transcripts

HYPHENATION

District court's preference for hyphenation was established long before word-
processing programs were widely available. Industry practice has moved toward
turning auto-hyphenation OFF, however, as this element is often a cause for failure
when converting between programs which use different hyphenation protocols.

RIGHT-JUSTIFICATION

District court format does NOT require right-hand text justification.

PAGINATION ALTERNATIVES

ALTERNATIVE 1: District court format permits consecutive pagination (1 to

infinity) for multi-volume cases. Each day's proceedings, of course, constitutes one
bound transcript volume:

Day 1: Volume I, pages 1 through 148

Day 2: Volume II, pages 149 through 247.

This poses a logistics problem: if other transcribers are working on subsequent

volumes, they must wait until earlier days are finished before they can know what
their first page number should be.

ALTERNATIVE 2: Thus, it is much easier to use the second method allowed:

individual day-by-day pagination (volume number - page number), beginning anew
with page 1 for each day's volume:

Day 1: Volume I, pages 1-1 through 1-148

Day 2: Volume II, pages 2-1 through 2-247.

In either case, the page number is placed above text line 1, and to the right-hand
side of the page.
Section 5. Transcripts 5-7

SWEARING / AFFIRMING WITNESSES

Colloquy leading up to the actual swearing of a witness is transcribed, although

the actual swearing language itself is subsumed in a special comment or
"swearing blurb."

Once an individual is sworn, [s]he is deemed to be THE WITNESS in any post-

swearing colloquy, whether or not actual Q/A in direct examination has begun.

Swearing witnesses in federal district court is extremely simple:

10 MR. DOE: We call Ronald Bennett.

11 THE CLERK: Please raise your right hand.

12 RONALD BENNETT, DEFENDANT'S WITNESS, SWORN Swearing

13 THE CLERK: State your name and address.

14 THE WITNESS: Ronald Bennett, 1214 Oak Lane, in

15 Shreveport.

14 THE CLERK: Thank you, sir. Be seated, please.

15 THE WITNESS: You're entirely welcome.

16 DIRECT EXAMINATION

17 BY MR. DOE:

18 Q Mr. Bennett, are you related to the defendant?

19 A No.

Of course, if a witness affirms rather than swears, simply change the word
SWORN, as at the end of line 12 above, to AFFIRMED:

RONALD BENNETT, DEFENDANT'S WITNESS, AFFIRMED

Subsequent colloquy identifies the individual as THE WITNESS: until actual

attorney examination in Q/A format begins. Of course, before being sworn, should
the prospective witness say anything on the record, [s]he is MR. X: or MS. Y:
until sworn/affirmed. (Merely being called to the stand does not turn Mr. X into a
witness.)
5-8 Section 5. Transcripts

HEADERS

District court format requires a centered running header at the top of each page
during the course of witness testimony. In the example below, page 6-2's header
would appear above the first line of text, along with the page number. This is for
the reader of the record to easily know that witness Smith is on the stand, and is
being cross-examined:

RUNNING HEADER

Smith - Cross 152

1 not remember when he first saw her.

2 THE COURT: Sustained. Let's move along, please.

3 BY MS. MARGOLIS:

4 Q Mr. Smith, tell us what happened when you first met

The header appears on each page until the type of examination changes — in this
case, the next logical step would be Smith - Redirect. However, if lengthy,
pages-long colloquy intervenes between an examining attorney's "Nothing further,
Your Honor," and the start of opposing counsel's questioning, the header may be
omitted during that interval.

And of course, in jury trials evidentiary testimony CANNOT be taken outside the
presence of the jury, so regardless of what is going on in the courtroom, if the jury
is not present, headers should be interrupted until the jury returns and further
evidence is taken.

Sometimes many witnesses bear the same last name. You may simply add the
witnesses' initials to distinguish them: R. Smith - Redirect.

PARENTHETICAL COMMENTS

When needed, these appear at the FIRST tab:

(Prospective witnesses sequestered.)

Also see EXHIBITS, MARKING AND RECEIVING, below.

Section 5. Transcripts 5-9

QUESTION AND ANSWER (Q/A) FORMAT

The Q/A format, by definition, always begin with a question. (One can hardly
answer before being questioned.) You could think of it as being like a light switch:
it's either on or off, but the lights come on only by an "on" act: a question. The
most common practice is to begin any section of Q/A with a speaker
identification: A period after each Q or A is optional.

1 THE COURT: You may begin your questioning.

2 CROSS-EXAMINATION

3 BY MR. JONES: Q/A is now ON

4 Q Are you presently employed?

5 A Yes.

MOVING BETWEEN Q/A and COLLOQUY

When a Q/A series is interrupted by colloquy, Q/A resumes (turns "on" again) only
at another question — whether or not the witness manages to squeeze in a reply
to a previous question. (That separated response is best shown in colloquy,
allowing the Q/A format to resume, as it should, with another question.)

11 Q Are you telling the jury that you didn't go there?

12 MR. ZOE: Objection, Your Honor. Q/A is now OFF

13 THE WITNESS: That's exactly what I said.

14 MR. ZOE: Vague as to time. When?

15 THE WITNESS: Yeah, when?

16 THE COURT: Add a time frame, counsel.

17 BY MS. OLIPHANT: Q/A is now back ON

18 Q Are you telling us that during July 2001 you never

19 set foot once in Joe's Pizzeria?

20 A I already said that.

5-10 Section 5. Transcripts

Sometimes switching back and forth between a colloquy format and question and
answer format (Q/A) can occur with astonishing rapidity. It depends on whom
the speaker is addressing, and is made obvious by what is said.
Consider lawyer Jones cross-examining a defendant, whose alert attorney Smith
is ready to pounce in objection, while the court is equally eager to rule:

2 BY MR. JONES: Jones has resumed

3 Q You filed taxes in 2001, didn't you?

4 A Yes, indeed.

5 Q And isn't it true that you told Irene –-

6 MR. JONES: And by the way, Your Honor, I'm referring

7 to Exhibit 2-B, the first page. Jones leaves Q/A to

speak to the judge,
8 BY MR. JONES: then resumes Q/A
9 Q –- told Irene that you said you got a kick out of

10 defrauding the government?

11 MS. SMITH: Objection; self-incrimination. Smith interrupts Q/A

12 THE COURT: Sustained.

13 BY MR. JONES: Jones resumes

14 Q Isn't it true you defrauded the government?

15 A Well –-
Smith again objects,
16 MS. SMITH: Same objection, Your Honor. then speaks to Jones

17 Come on, Tom; you know you can't do that.

18 THE WITNESS: I have to answer him? The witness speaks

19 THE COURT: No, you don't have to answer.

20 BY MR. JONES: And now back into Q/A yet again

21 Q Well, let's try this, sir: were you ever shown a copy

Now that we've reviewed the basic structural issues relating to district court
formatting, the final piece of a transcript arrives: CERTIFICATION.
Section 5. Transcripts 5-11

A CERTIFICATE SAMPLE

The federal district court requires only a brief transcriber's certification at the end
of the transcript. Its language differs between electronic reporters and Stenotype
machine operators; here is the form for E-Reporting:

6-135

1 MS. FENNE: Petitioners rest, Your Honor.

2 MR. ZUMWALT: And I have lengthy rebuttal.

3 THE COURT: We'll resume tomorrow morning at the

4 usual time.

5 THE CLERK: All rise. Court stands in recess.

6 (Proceedings adjourned at 4:50 p.m.)

C
7 I certify that the foregoing is a correct E
R
8 transcript from the electronic sound recording of the
T
9 proceedings in the above-entitled matter. I
F
10 I
11
C
A
12 T
E
13 August 17, 2002

14 Janie Doe, AAERT CET**00831

TRANSCRIPT CERTIFICATION ISSUES

On occasion, a recording is of such poor quality that even repeated attempts to

understand what is said fail, requiring a parenthetical comment. If you must
resort to such an entry, AVOID using [unintelligible] or [incomprehensible] and
other creative language. If you cannot transcribe it, [indiscernible] can serve for
nearly all such situations. (See Indiscernible Speech below.)

An [indiscernible], of course, is used as a last resort. But should it occur, then the
question arises, can the transcript be fully certified as "true," "complete,"
"accurate," or "verbatim"?
5-12 Section 5. Transcripts

The certification language may be altered to reflect the actual situation, such as
"certified to the best of my ability."

You will be signing the certificate to verify the accuracy of the product. If you
cannot certify it to one level of accuracy, you may certify it to another, as long as
whatever you say about the transcript is accurate.

RECESS / AFTERNOON OR EVENING SESSION

If the times of a recess are known, this standard district court method, whether
for a mid-morning break or luncheon recess, may be used:

3 THE COURT: Fifteen minutes, please.

4 THE CLERK: All rise.

5 (Recess at 11:45 a.m.)

6 AFTER RECESS

7 (Call to Order of the Court at 1:05 p.m., jury present.)

8 THE COURT: All right, let's continue now.

An alternate one-line method is also permitted:

3 THE COURT: Fifteen minutes, please.

4 THE CLERK: All rise.

5 (Recess at 11:45 a.m. to 1:05 p.m., jury present.)

6 THE COURT: All right, let's continue now.

Section 5. Transcripts 5-13

JURY IN / OUT

In jury trials, when proceedings begin and also when reconvening after a recess,
it is important to include a statement in the record as to the presence or absence
of the jurors — and in criminal cases, also the defendant[s]. Various
parentheticals are available to fit the situation:

(Call to order of the court, jury present.)

(Call to order of the court, jury and defendant present.)

(Proceedings continued outside the presence of the jury.)

(Jury retired for deliberation.)

Reserve (Jury excused.) for when the jurors have returned a verdict and they
are sent home for good.

STRIKING FROM THE RECORD

When a judge orders a portion of testimony stricken from the record, the material
is NOT PHYSICALLY DELETED from the transcript. "Striking" testimony merely
means that it will not be considered as evidence when it comes time to judge the
facts.

Why is the material not physically deleted? Because the ruling to strike may be an
erroneous one, and upon appeal the stricken material may be ordered "reinstated"
as valid evidence, perhaps during a remand for a new trial. If you have actually
taken the "stricken" portion out, the appellate court will have nothing upon which
to base a possible reversal of the trial judge's ruling.

What to do? Nothing, except transcribe all the words into the transcript just as
though they were in any other portion of courtroom proceedings.
5-14 Section 5. Transcripts

EXHIBITS – MARKING AND RECEIVING

Not all documents related to a case are officially exhibits. Stipulations may be
entered into and signed, and they may be lodged with the court [inserted in the
case file] without ever being marked with an exhibit number or being received as
evidence.

Judges may take judicial notice of a document, particularly a statute, regulation,

or prior ruling in the same or a different court — and again, that item may not be
received as an evidentiary exhibit.

Several things can happen to TRUE EXHIBITS, but they always at least get
marked or identified — otherwise, they wouldn't be exhibits. Unless received
(admitted into evidence), they remain just ordinary marked pieces of paper with
no evidentiary impact in the case. And what happens to a single exhibit can
happen to more than one at the same time. Exhibits may be:

Marked now but received in evidence later;

Marked and received at the same time;

Marked but later withdrawn by the offering party;

Marked and later rejected by the court;

Marked and proffered, objected to, and the judge reserves ruling until later;

Marked but later re-marked differently, either before or after receipt;

Marked and/or received, then later amended or substituted;

Marked and never received at all, perhaps through oversight.

EXHIBIT-RELATED COMMENTS

Remember, an exhibit can be marked before trial (and many are), but it can be
received in evidence only when the presiding official says so. Each such event
deserves its own parenthetical comment (ditty or blurb) — just be sure the
comment fits the facts.

For example, instead of a document being referred to, it may be a

photograph or a videotape. You may change "document" to fit the item
being considered.
Section 5. Transcripts 5-15

As with all parenthetical remarks in the district court format , exhibit ditties begin
at the first tab:

18 and will now mark that for identification.

19 (Joint Exhibit 17 marked for identification.)

MARKING
20 MR. JONES: Thank you, Your Honor.

18 and is received in evidence, over objection.

19 (Defendant's Exhibit 17 received in evidence.) RECEIVING

20 MR. JONES: Thank you, Your Honor.

Of course, if space permits, helper verbs may be added: "was marked," "were
received," as appropriate.

Using No. for "number": There is nothing wrong with Exhibit No. 17, but
remember that 17 remains a number whether we tell them it's a number or let
them read it as a number for themselves. Omit the No. it if it forces the exhibit
blurb onto a second line, perhaps orphaning a single word there:

ACCEPTABLE:

19 (Defendant's Exhibit No. 17 was marked for

20 identification.)

21 MR. JONES: Thank you, Your Honor.

BUT BETTER:

19 (Defendant's Exhibit 17 marked for identification.)

20 MR. JONES: Thank you, Your Honor.

Keeping a parenthetical on one line also avoids the awkwardness of having it

straddle from the bottom of one page to the top of the next — which also makes
indexing difficult.

Other blurbs, of course, fit other situations:

(Defendant's Exhibit B was withdrawn.)

(Plaintiff's Exhibit 37(a) was amended.)

(Complainant's Exhibit 7-C was rejected.)

5-16 Section 5. Transcripts

Formats other than federal district court may permit exhibit-related comments in
block form, beginning at the center of the page (also called a center-hanging
indent), often with rather elaborate language, such as "(The document referred to,
previously marked for identification as X, was received in evidence)" — which can
occupy whole chunks of a page. This is not appropriate in the federal format,
which considers it "padding.".

TRANSCRIBER RESPONSIBILITIES

OFFICIAL RECORD

Your transcript, once you have signed the certification, becomes part of the court's
official record. Thus, you are acting as an impartial officer of the court in providing
a verbatim transcription of the recorded proceedings

Those in attendance during the live testimony had the obvious and
significant benefit of watching speakers' faces and body language and
hearing them speak — the tools of SIGHT and SOUND — to arrive at their
understanding of what occurred that day in court.

Someone merely listening to the audio recording LOSES all the helpful visual
elements, but STILL HEARS the voices and intonations.

However, a reader of your transcription is limited to ONLY the words you

type, when trying to reconstruct a picture of what actually went on. Simply
put, YOU BECOME THE FILTER for the reader of the record.

Keep in mind that these are legal matters involving real people's time, money, and
perhaps even freedom in criminal cases, and these court proceedings are FAR
MORE IMPORTANT than mere business letters dictated in a calm office.

Obviously, electronic court reporting captures all sound in the courtroom, including
coughs, slammed doors, buzzing pagers, ringing cell phones, and sometimes even
private comments not heard in real life by people sitting just across the room.
Thus, NOT EVERYTHING WE HEAR ON TAPE IS PART OF THE OFFICIAL RECORD.
We are not preparing a screenplay, but are re-presenting legal proceedings in a
written form, and our transcript will be pored over, analyzed, and relied upon by
professionals.

INTERACTING WITH THE ELECTRONIC COURT REPORTER

LOG NOTES AND DIRECTIONS FROM REPORTERS should be followed, based upon
the simple premise that they were there, and you were not. Courts consider the
reporters' log notes, together with the audiotapes, as much a part of the official
record as your transcription.
Section 5. Transcripts 5-17

Thus, if the reporter notes that a recorded segment is "off the record," follow that
direction:
(Discussion held off the record.)

FEEDBACK TO THE REPORTER is important, so inform and consult when deciding

to depart from your instructions.

Feedback is also essential to hone the reporter skills. Together, you comprise a
professional team, so your factual observations are helpful, and wise reporters will
heed them:

"I kept hearing a loud buzz on channel 3."

"Aha, my cable must have been loose there; I'll watch out for that."

"Channel 1 was good, then sometimes it got strangely muffled."

"You know, the judge tends to prop papers against her mike; next time I'll
let her know that's interfering."

PROFESSIONAL JUDGMENT CALLS

When a reporter simply errs, you may make a professional judgment call to
disregard a particular note. Example: when name-spellings are involved, of course
you would use the standard spelling for Brazil, even if the notes had Brasil.

THE REPORTER IS PRIMARILY RESPONSIBLE FOR SPEAKER IDENTIFICATIONS.

Nonetheless, when proceedings are fast and furious, and speaker identifications are
missing or have become confused, you may decide to preempt the noted IDs. You
have the luxury of listening again (and even again) to the exchanges, and your prior
familiarity with the parties' voices, accents, and mannerisms may lead you to
conclude that the exchange was between Ms. Doe and Mr. Smith, NOT Ms. Roe
and Mr. Smith. Some identifications are obvious, whether noted or not —
witnesses do not rule on objections, for example, and an attorney rarely objects to
her own question.

YOUR RESEARCH RESPONSIBILITIES

The spelling of proper names is always an important issue. Although it is the

reporter's responsibility to provide a verified names list, this is not always possible
in the real world. If the reporter notes that Mr. Smith's name is really spelled
Smythe, use the reporter's spelling unless you have some authoritative reason to
alter it. If a name appears more than once in the notes, and its spelling is
inconsistent, you will need to resolve the issue. SPEAK TO THE REPORTER; [s]he
may recall that the first instance is wrong, and the second version is correct.
5-18 Section 5. Transcripts

AVOID using a parenthetical [phonetic] unless absolutely necessary. ("I don't have
time to look it up" is not a professional attitude.) If you must resort to [phonetic],
place it at the word's first occurrence in text, then continue using that construction
consistently without further notations.

Consider whether the speaker's accent is making something sound more difficult
than it really is:

EXAMPLE: An expert witness with an exaggerated southern drawl says he

attended Lafitte College in River City. The log notes show Lafitte, but it is not
checked off as verified. Your wide range of trivial knowledge nags at you: is it
likely that a college would be named after a pirate? What do do? Check to see
what colleges are in that city — and lo, you discover there is no Lafitte College, but
there is a Lafayette College.

BE WILLING TO ADMIT that a supposedly "indiscernible" phrase may be quite clear

to another transcriber, one who is perhaps more familiar with the subject matter,
but may simply be something you have never heard before. Ask for a second
opinion.

DO NOT CONFUSE WHISPERED ASIDES with what is intended for the record.
Electronic reporting "hears" far more than Stenograph machine operators do. Just
because someone is murmuring near an open mike is no reason to insert an
[indiscernible]. It may simply be what we call an "inadvertently recorded aside."
Likewise, background chatter in the courtroom audience should not result in a
transcript peppered with [indiscernible].

STANDARD REFERENCES

You should invest in more than your word-processor's built-in spell-check

dictionary. Black's Law Dictionary should be on your shelf, along with an atlas and
a medical dictionary.

THE INTERNET

We assume you have access to the Internet. Those with full-time hook-ups
[DSL/cable] can go on- and off-line repeatedly without waiting for pesky dial-ups
and connections. But if your access is limited, SAVE UP YOUR RESEARCH
QUESTIONS and solve them during one on-line session.

Of course, www.aaert.org is a quick jumping-off point for legal, medical, and

political resources, or you can bookmark your own favorites. Martindale-Hubbell's
"lawyer search" engine, for example, can even find attorneys who are not
members of the ABA.
Section 5. Transcripts 5-19

TRANSCRIBING SITUATIONS AND PROBLEMS

COMPREHENDING THE CASE is a significant transcriber duty. It isn't enough to

fall back on "Well, that's what I heard," when simply reading a section makes no
sense, or the sense is wildly contradictory to what has gone on before.

HEAR then i decided to drawp m'planz

IN TEXT (1) Then I decided to draw up my plans.

OR

IN TEXT (2) Then I decided to drop my plans.

NOTE that either (1) or (2) above will be the proper transcription, depending upon
whether the speaker's plans are in development ["draw up"] OR are being
abandoned ["drop"].

So, just what plans are being discussed? If you don't already know, make
yourself a mental note to revisit that word or phrase when matters are clearer.
WHAT YOU THINK YOU CLEARLY HEARD MAY NOT BE WHAT WAS SAID.

These word differences may bring substantive and diametrically opposed results.
Good transcription helps the reader reach the same conclusion those in the
courtroom reached, not the opposite one.

Or consider simple homophone problems:

HEAR lemme see those gimme those too

IN TEXT (1) Let me see those. Give me those, too.

OR

IN TEXT (2) Let me see those. Give me those two.

Only attention to what's going on can solve this too v. two dilemma. True, that
example may be insoluble — so what to do then? USE THE CONSTRUCTION
MOST LIKELY TO WORK FOR EITHER CHOICE: "Give me those, too." Using
"two" when, in fact, there may have been dozens, is implying we know more
than we do. Of course, if they've already talked about two documents in
particular, "Give me those two" may well be the better choice.
5-20 Section 5. Transcripts

Remember that you certify, not only the correct order of words, but their
presentation in context. That's why you punctuate carefully so phrases which
logically belong together stay together, and those which are unrelated are not
forced into strained relationships.

We all speak in fragments. Keeping the subject matter or line of thought in mind
makes our work much easier, because we are following what they're talking
about, NOT just transcribing a string of unrelated words.

CHOPPED-DOWN / SLURRED SPEECH

When people lapse into chatty English, they may commingle words or elide sounds
into a series of slurred phrases — but remember that they are, no doubt, still
making sense. Use the English structure which conveys the obvious meaning.

HEAR weeduv gone home by then

IN TEXT We'd have gone home by then.

POOR We'd of gone home by then.

HEAR innit strange she left

IN TEXT Isn't it strange she left?

WRONG In it strange she left? [a nonsense construction]

HEAR zit ever bin dun before

IN TEXT Has it ever been done before?

ALL 3 As it ever been done before.

WRONG
Is it ever been done before?

Does it ever been done before?

[And, obviously, that sentence has nothing to do with bins or duns.]

Section 5. Transcripts 5-21

HEAR ile 'cept thiz zevidence

IN TEXT I'll accept this as evidence.

POOR I'll accept this has evidence

WRONG I'll except this as evidence.

Even when speaking slowly, most of us shorten common phrases, which should
be typed correctly, NOT as chopped down: I dunno should be I don't know, and
He's gonna should be He's going to.

Page after page of I'm doin and we wanna and he shoulda and she coulda soon
becomes a distraction — and insisting on it misses an important point of court
transcription: readers of the record should not be fatigued by our attempts at
"screenplay dialogue." Our product is not intended to reproduce all the colorful
tones of America's delightfully varied accents, but to convey essential meanings.

And consider, if you use such shortenings, WHAT WILL YOU DO WITH THEIR
NEGATIVE FORMS? He woun'n'a said that for "He wouldn't have said that" or
It cun'n'na happened for "It couldn't have happened" approaches the grotesque.
Be kind to your readers, and use such forms sparingly, if at all.

STANDARD CONTRACTIONS

We do, of course, use don't, can't, won't, wouldn't and other standard
contractions commonly seen everywhere.

It may be best to spell out because when you hear coz / cuz, 'cause 'cause can
cause problems, especially when starting sentences with 'Cause.

FIND CLUES TO MEANING IN PAUSES / WORD EMPHASIS

Conveying meaning requires also developing a feel for rhythm or cadence — both
pauses and word groupings. Even short, simple phrases deserve to be rendered
correctly in context. Don't lead the reader astray by latching onto the first
possibility that comes to mind, thus mangling what the speaker really intended.

Consider the question "Do you still beat your wife?"

The witness replies, "I don't know."

5-22 Section 5. Transcripts

Or did he really say that? (How could he not know?)

NO pause, as though it's a single word, I dunno, is, indeed, "I don't know."

A SHORT pause turns it into "I don't, no."

A LONGER pause expands it into a stronger statement: "I don't. No."

Consider:

She was a pretty cautious kid. [rather timid?]

She was a pretty, cautious kid. [cute and timid?]

Or is the speaker merely mispronouncing: She was a precocious kid.

If it suddenly stops making sense to you, check it out.

REGIONAL USAGE:
MISPRONUNCIATION, NON-STANDARD ENGLISH, BAD GRAMMAR

Develop an ear for regional differences in ordinary speech. Midwesterners may

say, "We felt just like that we were being robbed." We do not pare down such a
word group to "We felt just like we were being robbed" — or even worse, impose
our preference for "We felt that we were being robbed," by dropping both the just
and the like. That is editing, not transcription.

Don't insist on transcribing mispronunciations when the intended word is clear.

Some of us grew up speaking of WARshington; it would be unprofessional to
insist on keeping that regional R in there just because we can hear it.

HEAR fer sumody dint grajate high school yer a purty shop binnuzman

IN TEXT For somebody didn't graduate high school, you're a

pretty sharp businessman

HEAR wen juh git to da bank and saw dis man

IN TEXT When did you get to the bank and saw this man?

BAD When'ja get to da bank and saw dis man?

(Insisting on dis for this and dat for that could be merely insulting.)
Section 5. Transcripts 5-23

Standard English may not really exist anywhere, and large groups of Americans
pronounce words which, if we relax our attention from the context of the case,
we may transcribe incorrectly.

A case in point is axed for asked. Few witnesses will admit they axed their aunt,
so here we WILL supply the correct form of the intended verb, asked — and this
is NOT EDITING the speech. (If we make her say she axed her aunt, only because
we can hear that X, it means we've allowed the minutiae of phonemes to
overcome our normal good sense.) Whenever possible, use the standard form of
the word which the speaker intended.

None of this means we correct simple bad grammar. We do not force people
who say ain't to start using isn't, and we do not sit in judgment over people's
preferred word choices. Thus, we do not force verb tense or person / number
conformity on people:

Plurals and singulars should also not be conformed: She have many dollar in
many bank account in United State is fine, if that is the speaker's level of English.

MISSTATEMENTS — [sic]

When something impossible is said — "I was born in 1843" — and it is not
immediately corrected by someone on the record, you may need to insert [sic] after
the error. Sic is Latin for "thus," and merely points out that what the reader sees
is what was actually said, and is not a transcription mistake. You may think of it
as a self-protection device, as well as an aid for the reader, who otherwise might
be left believing the transcription was sloppy, and wondering what ELSE might be
wrong.

DO NOT USE [sic] merely to point out someone's inartful English. Reserve it for
items which could reflect on the accuracy of the transcript. NOT ALL ERRORS
need [sic]; use it sparingly.

PLAYBACKS

When a portion of the record is played back, select the appropriate solution: If the
playback point will appear ON THE SAME PAGE as the portion being listened to a
second time, you may use a simple parenthetical to refer back to it:

(The previous question was played back.)

(The previous question and answer were played back.)
(The previous answer was played back.)
5-24 Section 5. Transcripts

If the playback point will appear ON A DIFFERENT PAGE of the transcript, perhaps
far from the portion being listened to a second time, you may retype the playback
itself in full:

1 MS. DOE: Play that question and answer again,

2 please, if you will.

3 (The previous record was played back:)

NB 4 "Q Didn't you tell her to show you the jewelry?

5 "A Never did. I knowed it weren't there nohow, so it just

6 weren't like her going and getting it off a shelf." Stops

playback
7 MS. DOE: Thank you; I thought I'd misheard.

OTHER RECORDINGS or VIDEOTAPES PLAYED

Tape recordings and videotapes played in open court are generally entered as
exhibits and, therefore, are automatically part of the official record. The judge
may, however, direct that the material played in court also appear in the
transcript. If it is short, you may follow the simple format of the last example.

If the material is lengthy or is interrupted by extraneous comments or discussion,

you may use separate opening and concluding parentheticals. Do maintain proper
use of quotation marks as needed, however.
Section 5. Transcripts 5-25

QUOTED MATERIALS – RECITING PUNCTUATION MARKS

Occasionally speakers will recite punctuation marks aloud. A standard practice is

simply to USE the mark instead of spelling it out, especially when the speaker is
reading from a document.

HEAR this paragraph says quote whereas comma all votes having been
counted comma the motion is agreed to period close quote

IN TEXT This paragraph says, "Whereas, all votes having

been counted, the motion is agreed to."

Of course, should you wish to write out the recited punctuation marks as
well as use them, the meanings are not altered, but the construction may
become complex.

And sometimes speakers will very deliberately voice punctuation marks to

make a specific point. Your experience and good judgment will readily
discern that:

I have nothing more to say on that subject, period.

FRACTURED QUOTATIONS

People often interrupt themselves to comment on their own quotations, thus

creating a seesaw effect. Standard punctuation suffices:

17 A "John," I told him, "John," I said real nice,

18 "don't do that again."

Of course, if you omit the quotation marks, the reader will still understand:

17 A John, I told him, John, I said real nice, don't do

18 that again.
5-26 Section 5. Transcripts

DIALOGUES

People often recite two-party dialogues:

3 A "John," I told him, "John," I says, "did you shoot at

4 that bird?" "Yeah." "Why would you want to go and do a

5 darn thing like that for?" I said. "Just did."

You may prefer to begin each subsequent speaker's words on a separate line,
which is a standard publishing practice, although this can take up a lot of space
— and assumes you are confident about who really said what, and to whom, in
the narrative answer:

3 A "John," I told him, "John," I says, "did you shoot at

4 that bird?"

5 "Yeah."

5 "Why would you want to go and do a darn thing like

6 that for?" I said.

7 "Just did."

QUOTING FROM DOCUMENTS

It is sometimes hard to determine whether a speaker is really quoting a document

(or part of one) or not. When in doubt, it is better not to mislead the reader into
expecting to find certain words and phrases in the exhibits.

BEST Now refer to the signature block on the last page.

EXCESSIVE Now refer to the "Signature" block on the last page.

NO Now refer to the "Signature Block" on the last page.

Section 5. Transcripts 5-27

But sometimes quotation marks are really needed to clarify what is going on:

UNCLEAR Now tell us if the subtotal in the total column is what you
see under John '95 commission and then John sales on the
next page or If it is a different number

CLEARER Now tell us if the subtotal in the "Total" column is what you
find under "John '95 Commission" and then "John Sales" on
the next page, or if it is a different number.

QUOTING FROM PRIOR TRANSCRIPTS

Here is a quote from a witness's prior testimony. Note the placement of the
quotation marks if you write out the full words "Question" and "Answer":

3 Q Let me now read from page 11 of your deposition:

4 Question: "Did you believe the contract was valid?"

5 Your answer was "I had no reason not to."

6 Then my question: "But had he signed it?"

7 Answer: "I was sure he did."

8 Are those your words? Did you say that?

9 A If that's what it says, that's what it says.

BETTER, and assuming the attorney's reading permits it, the "Question" and
"Answer" may be replaced by the simpler Q/A format:

3 Q Let me now read from page 11 of your deposition:

4 "Q Did you believe the contract was valid?

5 "A I had no reason not to.

6 "Q But had he signed it?

7 "A I was sure he did."

8 Are those your words? Did you say that?

9 A If that's what it says, that's what it says.

5-28 Section 5. Transcripts

QUOTING DOCUMENTS OTHER THAN PRIOR TRANSCRIPTS

Federal district court format requires a HANGING INDENT FROM THE LEFT when
quoting more than just a sentence or two from documents other than prior
depositions or court testimony. There is no right-hand side corresponding indent,
and the quoted material is entered double-spaced as usual, not single-spaced.
(Other jurisdictions may not require such treatment.) A widely used criterion for
when to indent is fifty words or more of continuous quoted material.

Here a lawyer quotes more then one paragraph from a court opinion, and the
transcriber follows the district court's "hanging indent" rule:

2 MS. RYE: Your Honor, may I cite Brady again? I

3 think you will find it most helpful. And I quote:

4 "If there is any fixed star in our constitutional

1
5 firmament, it is this: no official, exalted or

6 petty, may ordain what a citizen must think or

7 believe.

8 2 "Accordingly, we find Smith surely overstepped

9 his ministerial authority in issuing a suspension

10 order because of Brady's unorthodox views on

11 contemporary music.

12 "Judgment for plaintiff Brady affirmed." 4

3
13 You see, Your Honor, if Brady had not brought his

14 complaint against this outrageous behavior on the part of

Note the placement of the quotation marks (shown as 1 through 4 above), which
suffice to cover the three separate paragraphs excerpted from the opinion.
Section 5. Transcripts 5-29

EDITORIALIZED QUOTATIONS

Perhaps the most difficult challenge comes when a speaker is busily quoting,
especially from a document, and interrupts the reading to insert editorial
comments, or is interrupted by others. There are solutions which, once you are
familiar with them, can speed up a decision on what to do about it.

A speaker interrupts himself with a simple clarification related to the quote:

3 Q I will quote the words you wrote in your diary: "Then

4 I saw him," meaning your husband, "out on the patio. They

5 were talking."

6 Who are the "they" there?

7 A Jim, my husband, was talking to his friend Bob.

A speaker interrupts herself with editorial comments unrelated to the quote:

3 MS. ROE: Your Honor, this is from their article:

4 "Visiting dignitaries watched yesterday" –- and,

5 Your Honor, the newspaper reporter was right there in the

6 crowd -– "as ground was broken for the new physics

7 laboratory. This was the first" –- and may I say probably

8 the last -– "evidence of the plan for further campus

9 expansion.

10 "All present agreed that the future of the college

11 looked bright, and the assembly rose in a standing ovation"

12 –- and just why, Your Honor, I can't for the life of me

13 understand –- "for the generosity of the Lankershams, who

14 made it all possible."

15 This is clearly self-seeking claptrap, and we all

5-30 Section 5. Transcripts

Again, note the placement of quotation marks in that example. Commas could be
used just as well to set off most of those parenthetical comments.

Now a speaker is interrupted by someone else (in this case opposing counsel).
This can not only create an interrupted quote, but can force a switch from
standard Q/A format into colloquy, and perhaps then back again:

3 Q Sir, tell me if you have ever read this before:

4 "Visiting dignitaries watched yesterday" –- Quote interrupted

5 MS. DUNN: Excuse me, Your Honor. I object to

6 counsel reading from a newspaper article. Hearsay.

7 THE COURT: I'll permit it as background.

8 BY MR. DOE: Quote resumed

9 Q –- "watched yesterday as ground was broken for the new

10 physics laboratory."

11 You've read that before, haven't you, Mr. Daly?

12 A Yes.

Notice that the interruption was ended by the attorney regressing a couple of
words to repeat the "watched yesterday" (line 9). If he had resumed from the
beginning with the "Visiting dignitaries," no initial dash would then be required.

A very formal way to resume quoted material in mid-sentence, especially after a

lengthy interruption, is to use SQUARE BRACKETS and to provide the
capitalization which is needed to get the question going again, but which was
NOT in the original material:

9 Q "[W]atched yesterday as ground was broken for the new

Section 5. Transcripts 5-31

EXAMPLE: correcting an error in reading:

3 MR. DOE: I will quote the text: "Visiting

4 dignitaries watched yesterday as ground was broken for the

5 new physical laboratory and" –-

6 MS. DUNN: Excuse me; shouldn't that word be

7 "physics" instead of "physical"?

Of course, these are merely suggestions on how to handle awkward situations.

Your jurisdiction or contract format requirements may suggest other solutions, but
at least these can be read and understood without difficulty.

INTERRUPTIONS and DOUBLE-DASHES

SIMPLE:

3 Q Now let me draw your attention to –-

4 A Wait a minute. I'm not there yet.

MORE COMPLEX:

3 Q Now let me draw your attention to –-

4 A Wait a minute. I'm not there yet.

5 Q –- to the fourth paragraph –-

6 A Hold it. Hold it.

7 Q –- in what we have previously marked –-

8 THE COURT: Counsel, please do not forge ahead

9 when the witness isn't keeping up with you.

5-32 Section 5. Transcripts

VERBAL CONTENT

TICS and MANNERISMS

Some people have an irritating habit of murmuring aloud while others speak. It is
up to you to determine whether such intrusions are substantive, like the "Wait a
minute" and "Hold it" above, or whether they are mannerisms or vocal tics that
add no meaning, but are really intended merely to encourage others to keep
talking. The most common of these annoyances are uh-huh, huh-uh, and hmm.
(There are variant spellings for such throw-away manneristic expressions, none
any more "right" than another.)

EXAMPLE: why is the following transcription bizarre?

7 Q Mr. Doe, I'm interested –-

8 A Uh-huh.

9 Q –- in whether you have ever –-

10 A Uh-huh.

11 Q –- seen this photograph –-

12 A Uh-huh.

13 Q –- before and –-

14 A Uh-huh.

15 Q –- if you know when it –-

16 A Uh-huh.

17 Q –- was taken.

18 A Huh-uh. The only substantive

interjection in this
19 Q No, are you saying? whole mess
20 A No.

The example is bizarre because those repetitive, manneristic Uh-huhs merely "pad
the transcript" and add nothing to anyone's understanding of anything. Further,
they chop what is otherwise a straightforward, simple question into a vertical
sentence — hard to read, and pointlessly broken up.
Section 5. Transcripts 5-33

But do NOT discount all of them! The Huh-uh at line 18 above is substantive, as
shown by the query at line 19 and the witness's clearer No at line 20.

Use good judgment. Here is a perfectly acceptable version of that portion of the
record, only now not padded:

7 Q Mr. Doe, I'm interested in whether you have ever seen

8 this photograph before, and if you know when it was taken.

9 A Huh-uh.

10 Q No, are you saying?

11 A No.

CHANGES OF THOUGHT

The old saw about changing horses in midstream applies, alas, to everyone when
speaking extemporaneously. (The hand may not really be quicker than the eye,
but the brain is certainly quicker than the tongue.) The em-dash [—] or double-
dash [--] indicates such abrupt changes of thought.

CHANGES OF THOUGHT ARE TRANSCRIBED:

Did you ever go to — why did she speak to you, anyway?

I'm not really interested in — tell us about your educational background.

I don't think — I can't believe she said that.

They went to — she went to town that night to be with him.

MAKING A DECISION: The question we need to answer is whether sentence

fragments rise to the level of a midstream course change, or whether they are so
brief and innocuous that they sink to the level of a mere stutter.

Although these are judgment calls, remember that some jurisdictions or contracts
require such inclusions. If so, include them. If not, consider the important
question of transcript readability.

Distinguish between changes of thought, which are transcribed, and mere FALSE
STARTS / STUTTERS and REGRESSIONS, which generally are NOT transcribed.
5-34 Section 5. Transcripts

FALSE STARTS MAY BE OMITTED

Attorneys often start off with the word "The" merely to "hold the floor," so to
speak, while they pause to gather their thoughts. Use your good judgment;
generally, omit it. It's a false start:

HEAR the … and where did you say you saw her run to?

IN TEXT And where did you say you saw her run to?

Or they may begin with a word and immediately correct its form — again, a false
start:

HEAR don't … didn't you see her there?

IN TEXT Didn't you see her there?

Or a false start may take the form of a stutter:

HEAR well i … well i suppose that's true

IN TEXT Well, I suppose that's true.

BUT NOTE: In that last example, the repeated "Well, I" MAY be substantive,
revealing a mendacious witness who pauses awhile to fabricate an answer. If it
was rapid-fire on the audio, it's most likely just a false start. A long pause implies
you should probably transcribe both. Making these decisions is part of your
professional good judgment.

STUTTERS SHOULD BE OMITTED

I – I – I – I – I see.

We — we — we didn't know anything about that.

Nothing is learned by reading [we] three times in a row — or four, or five, or

however many times the stutterer stutters. If it doesn't add anything, leaving it
out doesn't subtract anything. Of course, we are NOT speaking of a repeated
phrase, but merely a one- or possibly two-word stutter.
Section 5. Transcripts 5-35

And a stutter may also occur in mid-sentence:

They weren't really intending to — to — to sell that, were they?

I don't see — see where — where you're reading from.

On the other hand, when it involves more than just one or two words, it has
probably crossed back over the line to a properly transcribed CHANGE OF
THOUGHT:

I don't see where it's — just where are you reading from?

Why is that example a change of thought and not a false start or stutter?
Because it starts as a declaration [I don't see] and ends in a question [where are
you?].

PRIVATE COMMUNICATIONS

Because recordings include whatever arrives through the microphone, you will
occasionally be able to hear attorneys whispering to each other or to their clients.
These are considered inadvertently recorded aside comments, and should NOT be
transcribed.

It would be most unfortunate if, due to zeal and good hearing, we were to include
in the record an attorney's comment to his client, "Don't worry; this judge is a
dork." Always ask the question, "Is this intended for hearing in open court?"
Just because we may hear "Get me a paper clip, Sue" doesn't mean that such an
aside is part of the case.

SIDEBAR / BENCH CONFERENCE

Particularly in jury trials, attorneys may wish to speak briefly to the judge or
confer among themselves in a bench conference or sidebar. The judge should
indicate whether such a discussion is to be on or off the record, but if no
statement to that effect is made, you should attempt the transcription unless the
reporter's log notes show it as intended to be off the record.

For sidebars or bench conferences NOT to be included in the transcript, use:

(At sidebar off the record.)

(Discussion at sidebar off the record.)

5-36 Section 5. Transcripts

NOTE: On-the-record sidebars may be difficult to transcribe, as the participants

tend to whisper, and thus all voices may sound alike. (See INDISCERNIBLE
SPEECH below.)

You may use an introductory parenthetical to begin the sidebar, and another
concluding parenthetical when it is over:

(At sidebar on the record:)

Then transcribe the conference, concluding with:

(End of discussion at sidebar.)

If not all attorneys are participating, the parenthetical should indicate that:

(Bench conference on the record with Mr. Doe and Ms. Roe:)

INDISCERNIBLE SPEECH

Properly recorded and transcribed, an E-Reporter's record can be far more accurate
than even the best and speediest Stenograph machine operators'. Although the
Stenograph lobby tends to seize upon unfortunate examples (while studiously
ignoring their own), it is not unusual for professional E-Reporting teams to regularly
produce many hundreds of pages of transcript each month with NO need for any
[indiscernible] entries whatsoever.

Thus, when a word or phrase appears impossible to discern, this may not
necessarily be the case. It may be simply that you have not heard the expression
before and, therefore, cannot make it out. Have another person listen to get a
second opinion. If no one is there to actually listen with you, recreate the exact
phonetic expression you hear, and give a call to one of your peers — [s]he may
instantly say, "Oh, yes, that's such-and-such." Do some research on the subject
matter to find out if the word or phrase, as best you can hear it, may simply be
some industry's jargon. If the government is involved, it may be an agency
acronym.

HEAR it was a fo ya request

IN TEXT It was a FOIA request.

WRONG It was, uh, for your request.

(FOIA = Freedom of Information Act.)

Section 5. Transcripts 5-37

MAKE EVERY EFFORT to complete the transcription. Using a parenthetical

[indiscernible] is HIGHLY UNDESIRABLE, and should be used rarely, and only
when it is truly impossible to transcribe the record.

AVOID [inaudible], which actually means you heard nothing.

AVOID [incomprehensible], which means you heard just fine, but it was gibberish
— a highly insulting inference.

DISTINGUISH between [indiscernible], where something is said but you cannot

make it out, and [No audible response.], which is an appropriate entry where the
answer is by gesture only, and NO SOUND was made.

However, you may substitute [Affirmative nod.] or [Negative head shake.] ONLY if
attention is drawn to it on the record: "Is that a Yes?" "Is that a No?" "Your
Honor, I believe the witness has nodded Yes" — or when the reporter indicates it
in the notes.

When a witness is asked to read a document to him / herself, and does so with
occasional murmured [sotto voce] sentence fragments, this is merely a private
internal conversation, inadvertently recorded, which need not be transcribed.

EXAMPLE: These sotto voce murmurings should be ignored, unless perhaps you
are transcribing a black-box flight recorder for the National Transportation Safety
Board:

8 Q Read that to yourself, please.

9 A Okay. [Whispering] "was going" [indiscernible]

10 "John" [indiscernible] "and then Marilyn said"

11 [indiscernible].

12 Okay, I've read it. What about it?

This is the proper transcription of that example:

8 Q Read that to yourself, please.

9 A Okay. Okay, I've read it. What about it?

5-38 Section 5. Transcripts

NON-VERBAL CONSIDERATIONS

Because we are not preparing screenplays, we do not generally take it upon

ourselves to provide parenthetical commentaries on the physical activities of a
witness or attorney, unless brought to the attention of the record. It is the
responsibility of the court and attorneys to ensure an understandable record in
this regard. If the reporter's log notes refer to such matters, we may also then
include a parenthetical reflecting what occurred. But it is never wrong to wait for
the court or attorneys to draw attention to non-verbal events in the courtroom.

The following example is excessive, and does approach a screenplay:

9 Q Look at the map and show us what you did.

10 A Well, I started out here [indicating] and then went down

11 there [pointing]. and eventually ended up over by the big old

12 barn up here [indicating with right index finger].

Here, an attentive attorney's remark forms the basis for the transcript's
[indicating]:

9 Q Look at the map and show us what you did.

10 A Well, I started out here [indicating] and then –-

11 MR. DOE: Your Honor, let the record reflect the

12 witness is pointing to the circled letter A on the map.

Why? Because attention has now been drawn to the non-verbal behavior. Of
course, as the point is made verbally, the [indicating] could also be simply omitted
as duplicative.
Section 5. Transcripts 5-39

NUMBERS

There are several systems for handling numbers in text. Although each has its
merits and advocates, none is more "right" than another. If your jurisdiction
and/or contract requirements are specific in this area, of course you must conform
to those rules. Just be consistent within a given transcript.

One very common system is to write out the numbers zero through nine as
words, using Arabic notation for numbers 10 and higher. This system has stood
the test of time, and has the added advantage of great simplicity.

But it is not the only system for handling numbers in text. An often-consulted
authority is Harvard Law School's stylebook, which simply states:

"6:3. In general, spell out the numbers zero to ninety-nine in text . . .;

for larger numbers use numerals."

(Of course, it then goes ahead to present exceptions.) Harvard relegates the "spell
out one through nine, then use numerals for 10 and above" system to footnotes.

For reference purposes, here is the Harvard system, with some quick examples:

1. Generally, you can choose to spell out numbers one through

ninety-nine:

Tom ate five, Roberta ate nine, and John ate sixteen shrimp.

2. Generally, a number that begins a sentence is spelled out:

Eighteen people got sick.

BUT: Q What exhibit [or page number] are you on?

A 18.

3. Hundred, thousand, and any round number may be spelled out,

if done so consistently:

YES: We saw four hundred, six hundred, and then eight hundred
zebra on three successive days in Kenya.

NO: We saw four hundred, 600, and then 800 zebra in three days.
5-40 Section 5. Transcripts

4. In a series of numbers where any one of them is higher than

ninety-nine, use numerals for the entire series:

They burned, respectively, 7, 127, and 40 homes during the raids.

5. In a series of numbers where none is above ninety-nine, spell them all

out:

She sold three in April, nine in May, and twenty-six in June.

6. Use numerals if the number includes a decimal point:

He bought his shares for 5.50 and sold them at 7.25.

7. Where material repeatedly refers directly or indirectly to percentages or

dollars, use numerals for those amounts:

Apprentices make 9 an hour, journeymen make 12, and supervisors

a whopping 15.

8. Use numerals for code section and other subdivision citations:

Refer to section 3, paragraph (a), subparagraph (2).

9. And a final point: if the speaker actually says dollars or percent and
numbers are used, you may include the dollar sign [$] or percent
symbol [%]. But if you have decided to spell out the amount, spell out
dollars or percent as well:

She sold it for $500.

She sold it for five hundred dollars.

The rocket reached 93% of its estimated thrust.

The rocket reached ninety-three percent of its estimated thrust.

Of course, you may choose to spell out "dollars" and "percent" in any
case, especifally when needed to avoid awkwardness or confusion.

Remember that the Harvard stylebook is designed primarily for documents such as
textbooks or legal briefs. However you choose to handle numerals, be consistent
within a transcript.
Section 5. Transcripts 5-41

DEALING WITH THINGS WHICH ACTUALLY BEAR NUMBERS

One school of thought has simplified Harvard's system into this simple
expression: use Arabic numbers wherever money, percentages, sizes, distances,
OR things which have numbers actually appearing on them are involved.

References to numbered pages and lines should be actual numerals (and watch
out for Roman numerals in some documents):

Please turn to page 5, line 22 in your deposition.

Go to paragraph 8.
Go to paragraph Roman VIII.
[Most speakers will say eight, not vee-eye-eye-eye.]
Go to paragraph small Roman viii.

References to exhibits are also shown as actual numerals:

I would like this marked as Respondent's Exhibit 14.

When the word number is added to the actual number, it may be abbreviated:

CAVEAT: Beginning a sentence with No. can appear at first glance to be the
word No. If it is the first word, you might prefer to spell it out: Number 18,
instead of No. 18.

Distinguish CARDINAL from ORDINAL numbers. Cardinal numbers are whole

integers (one to infinity, shown in Arabic form 1, 2, 3...), while ordinal numbers
indicate order or rank (as first, second, third). Generally, use the actual words for
ordinal references:

Please turn to the fifth page of your deposition, the twenty-second line.

DATES, whether actual or implied, may require some thought:

Come on the 3rd; we'll buy fireworks for the 4th.

Come on the 3rd; we'll buy fireworks for the Fourth.
We must have our bills paid by the 15th.
Oh, I think we bought it somewhere around the first of the year.

In the last example the speaker means early January, not the actual 1st of
January, New Year's Day. This is similar to speaking of the first [part] of the
week or the generic first [part] of the month. The context will aid your
decision.
5-42 Section 5. Transcripts

Years which are abbreviated use initial apostrophes:

HEAR it was about ninety three or ninety four no three

IN TEXT It was about '93 or '94 — no, '3.

When years are in the plural, the plural forms are generally shown by adding
s without an apostrophe: '80s, '90s. ('s is a possessive or a contraction form,
not generally a plural.)

HEAR in the eighties and nineties we used to eat there

IN TEXT In the '80s and '90s we used to eat there.

(Although typing eighties and nineties in that example is acceptable,

it is not usually required. On the other hand, if it were referring to
decades in a person's life, not dates, spelling the words out would be
fine, considering the Harvard rules 1 and 3 above:

In her forties she was lovely; in her fifties, beautiful.

THINGS NOT ACTUALLY NUMBERED

Distinguish numbers from words in phrases such as:

Number one, I was at home when it happened; number two, I was asleep.

The speaker clearly isn't referring to anything that bears a 1 or a 2.

This is just the same as saying, "In the first place...in the second
place."

(In the last example you would never type "In the 1st place..." — why?
Because those are hypothetical numbers keeping track of hypothetical
"places" as an aid to memory.

HYPHENS AND COMPLEX NUMBERS

People have an unfortunate tendency to use "shorthand numbers," especially

when reciting a series, and accountants and appraisers are notorious in this
regard. Hyphens can help clarify their obscure enumerations.

Several devices are equally acceptable, as long as the meaning remains clear.
Section 5. Transcripts 5-43

Your jurisdiction may have rules about such constructions. If so, by all means
follow them. Otherwise, you may find the following devices both elegant and
helpful. Remember, these are suggestions, not prescriptions. The bottom line is
always whether a reader will be informed or confused. (The speaker knew what
[s]he intended — will anyone else?)

HEAR one house sold for ninety thousand another one for ninety five

IN TEXT One house sold for 90,000, another one for 95-.

Why a hyphen following 95? It shows that the word "thousand" (and thus.
its corresponding ,000) has been elided.
Typing out ninety thousand and ninety-five is also acceptable, of course.
However, a plain 95 implies somebody got the real estate deal of the
century; it was 95 thousand, not 95 even.

HEAR she bid six million two but we wanted seven four

IN TEXT She bid 6 million-2, but we wanted 7-4.

We could type that out as 6,200,000 and 7,400,000, but

this supplies extraneous words — nobody said the words hundred
thousand, implied by all those zeros.

HEAR one was thirty nine one was forty two and one was a hundred

If AGES One was thirty-nine, one was forty-two, and one

was a hundred.
or
PRICES in
the One was 39, one was 42, and one was 100.
hundreds

If PRICES One was 39-, one was 42-, and one was 100-.
in the
thousands

HEAR i made forty five or fifty thousand no it was fifty two last year

IN TEXT I made 45- or 50,000 – no, it was 52- last year.

5-44 Section 5. Transcripts

Occasionally a series of numbers is rattled off so quickly that, even upon mature
reflection, you will not be able to decide whether they're dollars and cents,
hundreds, thousands, hundreds of thousands — or even which numbers go
together, or if any of them do. Context often comes to the rescue, or you may
have exhibit documents to consult. But should that fail, you may simply write out
the entire series and permit readers to draw their own conclusions:

HEAR bids were five ninety two eleven forty seven thirty six twelve

The range of possibilities there is actually quite surprising:

5, 90, 2, 11, 40, 7, 30, 6, 12

5, 92, 11, 47, 36, 12
590, 211, 47, 30, 612 — and other combinations, as well.

FRACTIONAL NUMBERS

Distinguish whether a phrase involving fractions is ADJECTIVAL. If so, it requires

a hyphen.

We ate one fourth of the pie.

She owns a one-fourth share in the company. [adjectival phrase]

Unusual fractions may be handled with simple numbers or spelled out for clarity:

The H-beam was 12/32 inches thick.

The H-beam was twelve thirty-seconds inches thick.

We agreed to share 50/50.

We agreed to share fifty/fifty.
We agreed to share fifty-fifty.

SPELLING OUT WORDS ON THE RECORD

Hyphens divide words into their component letters when spelled on the record:

3 Q I never did get that spelling right. Do you know it?

4 A That's B-a-r-t-h-l-e-e-m.

5 Q B-a-r-t-h- –- and how does it end?

6 A -l-e-e-m.
Section 5. Transcripts 5-45

Although some formats require words to be spelled in all capital letters, as

D-U-P-O-N-T, that does present the disadvantge of not being able to distinguish
possible internal capitalization: D-u-P-o-n-t. In addition, using all caps can be
visually jarring, almost as if the speaker had suddenly begun to shout.

TYPEFACE FOR STYLE

District court uses a fixed, non-proportional font, Courier or Courier New.

Before computerized printing there were few choices anyway, and transcripts
were unable to conform to the typesetting conventions used in textbooks and law
review articles. About the only distinction available was underlining, as for book
titles, even though publishers preferred to use italics for that purpose, as well as
in foreign-language phrases.

Of course, underlining remains acceptable. But unless you work under specific
instructions otherwise, you may prefer italics in certain situations.

If you choose italics, here are some stylistic suggestions adopted by Harvard Law
School, although the final choice is best left to good judgment.

A. Italicize capital letters used to represent hypothetical people, places,

or amounts:

Mr. X went to his bank Y in state Z.

Suppose you had X dollars in that account. What would you do?

B. Italicize the lower-case letter L ( l ) in citations, to avoid confusion with

the number 1:

Read section 39(l) and see for yourself.

C. Italicize foreign words and phrases that are not commonly adopted in
English.

However, just because a word comes from another language doesn't mean we
haven't accepted it as full-fledged English. Quick examples are role, pronto,
vis-à-vis, .

There is a strong presumption that common Latin or French phrases have been
incorporated into standard English and, therefore, should NOT be italicized:
5-46 Section 5. Transcripts

duces tecum
et cetera
subpoena ad testificandum
sine die
voir dire
bona fide, bona fides
prima facie
faux pas [and its plural, which is the same, faux pas]
foyer
salon
moi.

Do italicize or at least underline, however, e.g. and i.e. in text.

INTERPRETERS / TRANSLATORS

The increasing diversity of American society means we will more and more often
deal with cases involving witnesses who speak languages other than English, so
skill in interpretation issues will become ever more valuable.

Witnesses may bring a relative to translate, and these helpers may or may not
perform adequately. Professional interpreters may undergo qualifying voir dire,
much as is done with expert witnesses.

Once translation has begun, a witness's answers are deemed to be in English via
the interpreter — the translator acting merely as a mouthpiece for the witness.

Witnesses may bring a relative to translate for them; these courtroom helpers may
or may not perform adequately. Professional interpreter services exist in larger
cities, and their qualifications may be noted by the court, much as is done with
expert witnesses.

GETTING AN INTERPRETER ON THE RECORD

Use the centered one-line format used for witness swearing, adapted to fit the
situation:

CARLA DURANGO SWORN TO TRANSLATE BETWEEN ENGLISH AND SPANISH

Because the interpreter's function can be viewed as a toggle, speaking either as

the witness's mouthpiece or speaking on her own behalf, you may insert a text
parenthetical toggle where such role changes occur:

When speaking on his / her own behalf, as when asking for clarification of a
question before translating it for the witness, use: THE INTERPRETER:
Section 5. Transcripts 5-47

Inexperienced interpreters may fall into the habit of replying on behalf of the
witness in the third person, speaking about the witness ["She said"] instead of
speaking as the witness ["I said"]. Then the interpreter has abandoned his proper
role and is not responding as though he were merely the witness speaking. One
solution is to switch to a colloquy mode between questioner and interpreter.

5 DIRECT EXAMINATION [Through Interpreter]

6 BY MR. SMITH: Interpreter's role begins

7 Q Let's begin with your name and address, please.

8 A Maria Gonsalves. I live at 101 First in Ames, Iowa.

9 Q When did you begin your liaison with the defendant?

10 THE INTERPRETER: Sorry; what was that? Role changes

11 MR. SMITH: Liaison; a close relationship.

12 BY MR. SMITH:

13 Q When did you begin your close relationship with Ramon?

14 THE INTERPRETER: She says she doesn't know him.

15 MR. SMITH: Did she say, "She"? Attorney sees the problem

16 Didn't she say something more like "I don't know him"?

17 THE INTERPRETER: I'm sorry; excuse me.

18 "I don't know him." Now quotes witness's actual words

Some witnesses with limited English ability may preempt the translator and try to
respond in English anyway. Use text parenthetical phrases as needed:

3 Q And where do you work? Witness replies before translation

4 A [In English] I work clerk, store, downtown store.

5 [Through Interpreter] I work as a clerk in a store,

6 a downtown store.

7 Q Which one? Note Off / On toggles

8 A I work at Macy's downtown.

5-48 Section 5. Transcripts

An alternative is to have the interpreter quote the witness in colloquy, which

achieves the same goal, but this presents the drawback of meandering out of and
back into Q/A:

3 Q And what do you do for a living?

4 A [In English] I work clerk, store, downtown store.

5 THE INTERPRETER: "I work as a clerk in a store,

6 a downtown store."

7 BY MR. JONES:

8 Q Which one?

9 A [Through interpreter] I work at Macy's downtown.

Often the decision whether to show a witness is attempting to reply in English is

a judgment call.

Because English is a world language, many of our words are commonplace

expressions elsewhere. The mere occurrence of a single English word or phrase in
a witness's reply, otherwise couched in a foreign tongue, does not necessarily
mean you must show that word or phrase separately from the interpreter's
translation — which, by definition, should also include it at some point, if the
translator is doing a good job.

Consider this example of a French-speaking witness sprinkling English words

in the midst of what is otherwise thoroughly French:

HEAR J'ai appris les affairs du business et du stock market à l'école.

Wait for
translation
I learned business and stock market affairs in school.
IN TEXT
SECTION 6. NON-LEGAL TERMINOLOGY
The certification exam may include questions to test your fund of general
knowledge concerning terms encountered in business, government and/or
medicine. Remember that lists of terms uniquely related to the law are found in
Sections 1 and 2, Court Proceedings and Legal Terminology [Law Latin].

SOME EXAMPLES FROM MEDICINE

While many legal terms are Latin in origin, a good deal of medical terminology is
drawn from Greek: prefixes, suffixes and infixes. (An infix is a root appearing in
the midst of a word.) Some typical examples follow. Even cursory familiarity with
these constructions is helpful in figuring out what people are referring to —
especially considering the fact that lay speakers frequently mangle these
pronunciations. (Try asking someone to say "spondylolisthesis," for example,
commonly heard in cases involving low back pain.)

Below, prefixes are shown [cyto-], suffixes are shown [-plasm], and infixes are
shown [-morph-]. Most prefixes can also serve as suffixes: cytoplasm /
leukocyte.

Thus, the Greek root -blast- ["flower bud"; relating to cell formation] can appear
variably in words such as blastoderm, retinoblastosis, or osteoblast — but
always having something to do with cellular development. Vowels such as -o- and
-a- are often exchanged to help with pronunciation: hemorrhage, hematocrit.

ROOT MEANING EXAMPLES_______________ ____________

algi- pain neuralgia

andro- man androgen
angio- blood angiogram, angioplasty
-blast- bud, cell osteoblast, retinoblastosis
carcino- cancer carcinoma, carcinogen
-cardio- heart cardiology, cardiac arrest, electrocardiogram
cephal- head microcephalic, encephalitis
cerebro- brain cerebrum, cerebellum, cerebral cortex
chole- bile [fat] cholesterol
-coccus seed streptococcus [a germ]; streptococci [germs]
6-2 Section 6. Non-Legal Terminology

ROOT MEANING EXAMPLES_______________ ____________

-cyst- bag hematocyst, cystocele, cystoscopy

-cyte- cell cytoplasm, leukocyte
-cuta- skin cuticle, subcutaneous
-derma- skin dermatitis, dermabrasion, epidermis
-dont- tooth orthodontist, periodontal
ecto- outer ectoderm, ectomorphic
-ectomy cutting out appendectomy, tonsillectomy, gastrectomy
-encephal- brain encephalitis, pneumoencephalogram
endo- within endometriosis, endorphin, endocrine glands
epi- on, above epidermis, epiglottis, epidural
erythro- red erythrocyte [red blood cell], erythematous
estro- female estrogen, estrus
exo- outside exoskeleton, exogamy
gastro- stomach gastritis, gastrectomy
-gen- produce genetic, androgen/estrogen, oxygenated
-gram written electrocardiogram
-graph- writing polygraph
gyno- woman gynecology, gynecomastia
hemo- blood hemorrhage, hemophilia, hematocrit
hydro- water hydrogen, hydrophobia, hydration, dehydration
hyper- above hyperactive, hyperacidity
hypo- below hypochondriac, hypodermic
intra- within intracranial, intrauterine, introversion
-itis inflamed appendicitis, dermatitis, encephalitis
leuko- white leukocyte [white blood cell]
lipo- fat lipoma, lipids, liposuction
-logy study of cardiology, neurology, pathology
-lysis loosen hydrolysis
melano- dark melancholia, melanoma, melanin
-meso- middle mesomorphic, mesoderm
meta- changing metabolism, metastasis, metamorphosis
micro- small microscope, microcephaly
mono- one monomania, mononucleosis
morpho- shape morphology, morphogenic, endomorph
Section 6. Non-Legal Terminology 6-3

ROOT MEANING EXAMPLES_______________ ____________

neuro- nerve neurology, neuralgia, neurasthenia

nucleo- center nucleotide, nuclear, nucleus, mononucleosis
-oma tumor melanoma, carcinoma, lipoma, sarcoma
onco- tumor oncology
ortho- straight orthopedic, orthodontics
-osis ondition halitosis, osteoporosis
-osteo- bone osteoporosis, periosteum, osteopathic
-ostomy opening colostomy, tracheostomy
-otomy cutting tracheotomy, osteotomy, laparotomy
-path- feeling sociopath, pathological, empathetic, sympathy
-peri- around pericarditis, periosteum
-philia tendency hydrophilia, hemophilia, necrophilia
-phobe- fear phobic, hydrophobia, claustrophobia
photo- light photophobia
pneumo- air pneumonia, pneumothorax, pneumatic
-poly- many polycarbonate
retro- backward retrovirus, retrogression
sarco- flesh sarcoma, sarcoplasm
-scopy seeing endoscopy, microscope
spondylo- the spine spondylolisthesis, spondylosis
-stasis stable homeostasis, stasis
-sym- together sympathy, symphysis
thoraco- chest thorax, pneumothorax, thoracotomy
-tome[y] cutting dermatome, osteotomy, tracheotomy
vaso- vessel vasodilator, vascular

Medicine also uses abbreviations extensively for drugs, procedures, and symptoms.
However, although CAT stands for computerized axial tomography, for example,
you need not know that in advance of transcribing, as long as the abbreviation is
noted / transcribed accurately.
6-4 Section 6. Non-Legal Terminology

SOME EXAMPLES FROM BUSINESS / GOVERNMENT

AAA rating
a rating applied to bonds issued by the most creditworthy companies;
the system includes less favorable ratings of AA, A; BBB, BB, B; etc.
appreciation
an increase in any item's value over time
asset
an item which has intrinsic value, such as real estate or bonds
balance of trade
the difference between the value of a country's exports and imports
broker
one acting as a middleman between buyers and sellers
commodities
raw material products, such as soybeans, wheat, or oil, as opposed to
manufactured products
copyright
legal ownership and sole control over their creations granted to
authors, artists, and certain others for a specific length of time
deficit
an excess of spending over income
deflation
fewer dollars buy more goods; lower prices = increased value of currency
discount rate
the interest rate charged by the Federal Reserve to its members
(commercial banks)
due diligence
efforts made by investors to determine the legitimacy of securities
depreciation
reduction in value over time, due to age or use
Dun & Bradstreet
publishers of selected stock market prices
escrow
funds held in trust by a third party while transactions are in progress
fair market value
the price which most willing sellers and willing buyers would agree upon
during sale negotiations
Federal Reserve
the central banking system of the United States, controlling the value of the
dollar by setting interest rates, and loaning funds to commercial banks
Fortune 500
a publication which reports on certain important corporations; by extension,
any large, profitable enterprise: "It was a Fortune 500 operation."
FTC
Federal Trade Commission
Section 6. Non-Legal Terminology 6-5

futures
estimates of commodity values at a future point in time; for example,
what investors expect wheat will be selling for next August
general domain
publications, musical compositions, or other items whose copyright
protection has lapsed
gubernatorial
referring to a governor, particularly of an American state
Hill, the
relating to Congress, but not the executive or judicial branches
inflation
more dollars buy fewer goods; higher prices = decreased value of currency
LEI (formerly GNP, gross national product)
leading economic indicators; one measure of a nation's economic
performance over a period of time
liquidity
assets available for immediate use, such as cash, versus assets held for
investment or other purposes, such as real estate or fine art
mayoral
relating to the mayor of a city
NASD
National Association of Securities Dealers
NASDAQ
stock price quotations published by NASD
NYSE
New York Stock Exchange
patent
legal ownership and sole control over their productions granted to
inventors and certain others for a specific length of time
prime rate
the interest rate charged by banks to their preferred business
customers
SEC
Securities and Exchange Commission
securities
documents which show ownership of stocks or bonds
Standard & Poor's
publishers of selected stock market prices
T-bill
a U.S. Treasury note, widely considered a risk-free investment
trademark
similar to copyright, but limited to names, symbols or other product
identification marks or company logos
SECTION 7. ELECTRONIC COURT REPORTING
(Analog)
This section discusses: Background
Recording equipment, tapes, equipment, and cables
Microphone types and placement
Equipment maintenance
Reporter responsibilities
etiquette
log notes
archives
BACKGROUND

Mechanical devices for reporting court proceedings, meetings, or hearings had to

await the fullness of the industrial revolution. In all earlier ages reducing speech to
writing was limited to how fast people could scrawl with reeds or quills dipped in
ink, or other markers. (The invention of better writing utensils from the 16th
century [pencils, fountain pens] did not change matters very much; however,
improved shorthand codes did speed things along.)

The first successful attempts at mechanical reporting in the early 20th century
were stiffly opposed by traditional shorthand writers, who feared the new-fangled
Stenotype machine might disturb an ancient monopoly. The Stenomask method,
where a reporter repeats speakers' words into a shielded microphone and thus
onto tape, began bridging the gap between a purely mechanical and at least a
partly electronic-based reporting system.

Direct sound recording onto a preserving medium (now most commonly

audiotape) completed that movement to a fully electronic base. Coupling cameras
to microphones, whether the preserving medium is film, videotape, or disk, is a
further technical evolution undreamed of by earlier generations, although still not
fully accepted in all jurisdictions. And digital encoding of sound by laser beam
onto a preserving medium (CD) is now common.

Surprisingly, the first microphone to transmit sounds came along as an integral

part of the telephone, even before electric lights were invented. Although crude,
these early microphones worked — and as soon as a medium was developed to
preserve sounds, it was possible to eliminate the human error factor inherent in
non-electronic systems.

Early recordings were preserved on foil, wax, or resin cylinders, then disks of
harder materials — a mechanical engraving process. The first purely
electronic preserving medium was a long wire coiled onto a spool.
7-2 Section 7. Electronic Reporting

But all elements of electronic recording evolved explosively when radio, cinema,
the press, and then television/video increased the demand for ever-better tools.

PURPOSE

This manual section is for your use in preparing for the AAERT electronic court
reporter certification test. The test focuses on four-channel technology. Although
we acknowledge that there are other multi-channel technologies in use, four-
channel machines are most commonly used in the courts.

The test emphasizes channel separation concepts and standard operating

procedures, regardless of equipment brand names. The log notes portion of the
analog reporter test will be handwritten. Although computer log programs exist,
handwritten logs are most commonly used in the courts.

BASIC TECHNICAL PRINCIPLES

How do sounds get recorded? It helps to have this basic understanding, because
experienced reporters can use these principles in troubleshooting and solving
certain technical difficulties.

Quite simply, sound waves pass through air in subtle patterns. A microphone
detects these air pressure or vibration patterns and translates them into a
corresponding electrical "code." (We do exactly the same thing when we listen —
our ears are organic microphones, after all — and then we can write down what
we have heard in our English code.)

The audiotape is coated with a metallic oxide film which stores the electronic
message. Your machine's recording head uses a magnet to arrange the molecules
of this oxide coating so they exactly duplicate and preserve the electronic pattern
first created by the microphone.

Now the playback head can "read" this magnetic code captured on the tape,
change it back into an electronic signal, and send it to a device (the speaker)
which reverses what the microphone originally did, and translates the electronic
code back into audible sound waves.

AUDIO CASSETTE TAPES

Four-channel tape recorders are used in the electronic court reporting industry
because they can record separate speakers on different channels, using all four
tracks simultaneously on the audio cassette tape. This allows the transcriber to
hear a recording that will separate voices when simultaneous speaking occurs.
Section 7. Electronic Reporting 7-3

Try to purge your vocabulary of the common phrase "four-track"; this is

something of a misnomer. All standard cassettes have four tracks, or separate
recording zones across the width of the tape. The difference is that "normal"
recordings, such as pre-recorded commercial music tapes, use only two of these
tracks for side A of the tape, then the remaining two for side B. Four-channel
recording uses all four tracks at once.

Standard "2-channel" bi-directional Preferred "four-channel":

[stereo]:

1 A 1
2 2
3
2 4
1 B

Half the tape width (two channels) Entire tape width (four channels)
used for each side's separate recording used for a single recording

As all four tape tracks are used in four-channel recording, the tape cannot be
turned over to record on the other side, and "side B" simply does not exist

TAPE AND CASSETTE FEATURES

TAPE CHARACTERISTICS

Our standard is the Phillips cassette containing Type I tape. This is a high grade,
low noise tape, with low shedding properties. (Type II tape, commonly used for
home music recording, requires special circuitry not normally included in our four-
channel recorders. It is NOT RECOMMENDED for our purposes, and should not be
used in courtroom equipment.)

The quality of tape is important, as inferior tapes produce inferior results.

"Shedding" refers to a gradual loss of the magnetic oxide coating. Obviously,
you do not want tapes which quickly or easily lose the very medium which
holds the electronic code. Tapes which shed also result in more frequent
equipment cleaning, and faster wear and tear on the recording heads.

LENGTH

C90, the industry standard, runs 90 minutes at the optimum recording speed
(2.4 centimeters per second).
7-4 Section 7. Electronic Reporting

CASSETTE CASE

Screws should join the plastic case halves. (Also known as a five-screw casing.)

Less expensive cassettes are typically glued together, so the audiotape is not
accessible without breaking the casing. With screw bonding, the casing is
held together by five Phillips-type screws and can easily be taken apart.
Although it happens rarely, sometimes the audiotape becomes unspooled or
becomes tangled. If you must break the case to fix the problem, you risk
damaging the tape.

PRESSURE PAD

The felt pad visible just behind the tape maintains its proper position relative to
the recording head.

The pressure pad is critical, as a good contact between the recording head
and moving tape is fundamental to the transfer of the electronic signal.
(And experienced reporters always glance at the tape before use to make
sure this pad is there and undamaged.)

LEADER

A length of non-magnetic plastic attaching the tape ends to the spools.

If you must use tapes with leaders, be sure to advance the tape beyond the
leader before recording. Do this by inserting a pencil through the spool wheel
and turning it to advance the tape past the leader until "true tape" is fully
visible in the open area of the pressure pad. Although tapes with leader may
be less expensive than the leaderless variety, courts tend to prefer leaderless
tapes because there is no danger of forgetting about the leader, and thus
missing a portion of the proceedings.

LABEL

There are preprinted tape labels available which make full use of all the available
writing space on a tape casing. Individual file-folder labels can be used as well.
The label must allow enough room to include essential information about the
recording, and must not impinge upon the spool wheels.

STORAGE BOX

We recommend using cassette boxes at all times in shipping and storage. This
protects against damage to the cassette casing.
Section 7. Electronic Reporting 7-5

ABOUT EQUIPMENT

No matter when or where we record, there are two invariables in electronic

reporting — beyond the fact that someone must speak and the equipment must
function:

A. The microphones must detect sound, which is a function of their

pickup pattern AND microphone placement; and

B. The microphones' signals must get to the recording head, a function of

the cables and connectors joining the microphones to other equipment.

DUAL-CASSETTE RECORDING MACHINE

We assume you use standard FOUR-CHANNEL recording equipment, the standard

used most commonly in our industry, with these general features:

Two separate cassette decks built into a single machine, labeled Deck A
and Deck B. Each deck records independently — thus, you can use them
simultaneously or consecutively;

They share eight cable jacks (hookup points or inputs), two for each of the
audiotape's four channels;

Standard primary controls: Record, Stop, Rewind, Fast Forward, Play;

A display window showing digit/counter numbers which lets you go to a

specific point on the tape by calling up its corresponding counter number;

A warning alarm/automatic stop feature which prevents re-recording over

previously recorded material; and

Channel selection buttons which permit monitoring of individual channels.

FUNCTION CONTROLS

Some controls and functions are duplicated, one for each deck, such as the tape
eject button. Other controls and functions require you to make a deck selection
before they can be used.

MICROPHONE INPUTS. There are eight female cable inputs or jacks (connection
points) for microphones. Of course, as the tape itself records only four
channels, this means there are two inputs available per channel, allowing
7-6 Section 7. Electronic Reporting

eight microphones to be placed in the room (or even more, with certain cable
enhancements). These inputs are generally labeled Channel 1, microphones
A and B, etc. You must be familiar with how to apportion the microphones
among these input jacks to maintain proper channel/voice separation.

EARPHONE JACK. The reporter's headset is connected here for tape monitoring.

TAPE SPEED SELECTOR. There are three tape speeds used in the industry. "Tape
speed" refers to how much tape passes across the recording head in one
second: ips means inches per second; cms means centimeters per
second. (The metric system is now standard on recording equipment, so
centimeters per second [cms] is the more common term.)

Depending upon the manufacturer, the three speed selections available are:

METRIC - cms AMERICAN - ips

1.2 15/32
2.4 15/16
4.8 1 7/8

OUR INDUSTRY'S STANDARD is 2.4 centimeters per second.

DUAL CASSETTE DECKS (decks or tape wells are usually labeled A and B).

DECK SELECTION BUTTONS. Use these to select Deck A or Deck B when

searching, resetting the counter number, or using the REC END function.

TAPE EJECT BUTTON. Each deck has its own tape eject button.

DIGITAL DISPLAY. This counter measures tape movement and lets you know
where you are on the tape, usually shown by four digits (0000 through
9999). The display has many common names: "index," "tape counter,"
"tape clicks," and just plain "digits."

Some units may display numbers while consecutive recording is under way.
Also in this display area is an alarm indicator. Error messages (usually shown
as ERR) will appear in this window.

DIGIT/COUNTER RESET BUTTON. This resets the counter number to zero.

Some brands use this button, in conjunction with other functions, to set
the counter display to a specific number.

EXTERNAL DISPLAY CONNECTOR. This allows others in the room to see

your recorder's digit / index counter numbers. Thus, parties may jot down
the exact position on the tape where they can find material of special
interest to them, should they obtain a taped copy of the proceedings.
Section 7. Electronic Reporting 7-7

CHANNEL LIGHT INDICATORS. There are four display lights corresponding to

Channels 1 through 4. They light up when the channel is recording sound
and during playback.

STOP, REWIND [REW], PLAY, FAST FORWARD [FF], RECORD [REC] BUTTONS.
These are the primary equipment function buttons. Each deck usually has its
own primary controls.

ON/OFF SWITCH. (Usually with a key which locks the decks in the closed
position when turned off.)

AUTO-CHANGE. This allows you to record with both decks simultaneously

[select off] or consecutively, as each deck finishes recording a full tape
[select on].

NUMERIC BUTTONS. This is a numeric keypad which specifies the start of a

tape location search, and can reset the digit/counter.

SEARCH BUTTON. This begins the search function to find a specific digit/counter
location on the tape.

REC END BUTTON. This is used to locate the last recorded point on the tape,
and lets you resume recording at that point — usually invoked after a tape
search. This function works only with the tape you are currently recording.
You cannot insert a previously recorded tape to find its last recorded point.

PA ON SWITCH. This allows you to use a room's public address system,

assuming you are connected to it.

PLAYBACK SPEED CONTROL. This operates only when the machine is in

transcribing mode. Depending upon the brand, this can be a series of levers
which control pitch and tone on playback. Do not confuse this with the
speed control button which designates the recording speed.

VOLUME CONTROL. This adjusts the volume on playback or monitoring. It does

not adjust the recording volume. Recording volume is either a separate
function on the recording unit, or the unit has a preset internal recording
volume control.

TAPE/SOURCE SELECTOR

TAPE selects the audiotape recording. When this is chosen, there is a slight
delay between the live "real time" sound and its recording on the tape.
This is the correct selection for monitoring while recording. All four channels
are heard simultaneously in this mode.
7-8 Section 7. Electronic Reporting

SOURCE selects the sound signal coming directly from the microphones.
There is no delay between the "real-time" sound and the recording. Each
channel may be heard separately by using the channel-select buttons. This is
helpful in detecting microphone or cable malfunctions. Do not, however,
regularly use SOURCE in monitoring the recording because it will not alert
you to tape malfunctioning.

CHANNEL SELECT BUTTONS. These correspond to Channels 1 through 4.

They allow you to monitor each channel individually.

DECK SELECTOR. Some machines may require you to select which of the two
decks to monitor, A or B.

ALARM FUNCTIONS. Depending upon the manufacturer, an alarm will sound and
the machine will stop under certain circumstances. It is your responsibility to
know your equipment well enough to be able to correct errors which
jeopardize recording. Some common reasons why an alarm sounds:
Tape is broken;
No cassette is in the tape deck you have selected;
Pre-recorded material is on the tape [over-record protection];
Three-minute warning to auto-tape change.

TRANSCRIBING FUNCTIONS

Many recording machines also have transcriber functions (Auto-Reverse, Transcribe,

foot pedal connectors, and additional speed controls — functions not covered here.)
The Transcribe mode must be turned OFF before you can record.

CABLES AND CONNECTORS

For clarity and simplicity, we will uniformly use connector in this discussion,
although people regularly speak of jacks, hookups, plugs, outputs and inputs,
often without including the defining words male or female. All connectors are
either male (plug) or female (jack or socket).

Microphone and cable connectors must be compatible with the tape recorder's
input receptacles/jacks. Adapters are available, but are wisely avoided wherever
possible.

Some mikes have a factory-attached cable, but others have a separate cable. In
either case, there are two types of connector plugs common in our industry:

(1) the 1/4" phone connector;

(2) the XLR [Cannon] connector:
Section 7. Electronic Reporting 7-9

1/4" phone connector XLR connector

If the only connectors available to you are incompatible, either microphone-to-

cable, cable-to-cable, or cable-to-machine, you can use adapters. It is always
best, however, to have corresponding connectors. This reduces the risk of adapter
problems or reduced audio quality.

Y-CONNECTORS

If you need more microphone cables than there are connections into the recorder,
use Y-connectors. They begin with a single male connector and divide into two
female connectors for use in attaching to microphones.

Microphone A

CHANNEL 1

Microphone B

Caution: each Y-connector splits the recording signal, thus reducing the volume
each microphone would otherwise send to the recorder.

MICROPHONES

SOUND PICKUP PATTERNS

Each microphone has a physical zone within which it can detect sound. Some
pickup patterns are better for our purposes than others, given the primary goal of
four-channel recording with adequate voice separation. Understandably, we all
tend to favor what is most familiar. But the fact remains that not all pickup
patterns are created equal.
7-10 Section 7. Electronic Reporting

Because the general consuming public does not demand the same technical
performance as do sound recording professionals, some imprecision exists when
describing sound pickup patterns. And manufacturers' ads may not help much;
caveat emptor. For example, "cardioid" or "heart-shaped" and "unidirectional" are
common terms often used interchangeably for microphones with a directional
pattern — that is, those which pick up sounds coming from one direction
significantly better than other directions. The degree of "directionality" is often a
function of price.

We are basically concerned with omnidirectional and directional microphones.

OMNIDIRECTIONAL

As the name implies, an omnidirectional microphone picks up sounds quite evenly

from all directions — or think of it as a sphere, including sounds from above and
below.

You can test your own mike patterns. If you speak while five feet away from an
omnidirectional microphone, walking around it in a complete circle as you
continue speaking, the recorded volume of your voice will remain constant.
(Of course, the further you move away from the microphone in any direction, the
lower the volume will be.)

DIRECTIONAL / CARDIOID / UNIDIRECTIONAL

A directional (cardioid, unidirectional) microphone's pattern is most sensitive to

sounds coming directly toward it, less sensitive to sounds coming from the sides,
and much less sensitive to sounds coming from behind. Directionality is a
desirable microphone feature, more likely to assure that only the speaker you wish
to record onto a particular tape channel will be heard there.

BATTERIES

Some microphones are battery-powered. Caution: if battery microphones are

used, be sure to carry extra batteries.

VOICE-ACTIVATED MICROPHONES

Regardless of what other features they may possess, voice-activated microphones

are not recommended. These microphones automatically turn on the recording
mode when sound reaching a certain signal level is detected, versus microphones
which remain on (and the recording continues) even when the courtroom is silent.

Voice-activated microphones are commonly installed in conjunction with

permanent sound systems controlled by a mixer which acts as a "signal gate"
Section 7. Electronic Reporting 7-11

switching on and off and regulating volume controls. Difficulties with voice-
activated microphones occur when the "gate" doesn't open quickly enough to
record the beginnings of sentences, and it closes before sentences actually end —
as when a speaker's voice trails off. This is commonly referred to as "clipping"
sentences. Voice-activated microphones simply do not react quickly enough. Be
advised to avoid them if you have any choice in the matter.

If your microphones have on/off switches, be very careful that the switch is in the
"on" position when the microphone is used.

Caution: people love to fiddle with microphones, and may turn them off.
Remember to check them after each recess.

MICROPHONE PLACEMENT

GENERAL CONSIDERATIONS

Reporters who regularly work in one or perhaps two courtrooms, especially with
permanently installed equipment, may have few decisions to make about
microphone placement.

Those who regularly set up for work in different locations must consider several
factors: the size and character of the room, the number and location of
anticipated speakers — and not least, the types of microphones available for use.

"LIVE" AND "DEAD" ROOMS

Rooms are said to be "live" or "dead" as far as their acoustical characteristics are
concerned. Although modern architects consider such questions, many older
courtrooms, although impressively beautiful, are acoustical nightmares.

Plaster, marble, and wood paneling result in an acoustically live room. They
provide hard reflective surfaces which permit sounds to bounce and echo around
the room. Acoustic ceiling tiles, wall panels, and draperies absorb sounds, reduce
echoes, and produce an acoustically dead room — much preferred for electronic
reporting.

To test whether a room is "live" or not, simply clap your hands. If the sound is
very sharp and loud, or echoes, the room is live. If you can detect an underlying
"thud" in the sound, the room is relatively dead.

PUBLIC ADDRESS SYSTEMS

Whether the room is live or dead, a PA system in use can have exactly the same
effect as echoes, blurring the speech and reducing intelligibility. Unidirectional
7-12 Section 7. Electronic Reporting

mikes tend to reduce room echo and PA system interference at counsel tables,
the podium, the bench, and the witness stand.

HUMAN FACTORS

But there is another, more human consideration: maximum freedom of

movement. Ideally, speakers should be reasonably unaware of (and unhampered
by) the pure mechanics of whatever system is used to memorialize the
proceedings. (Some resistance to E-Reporting may stem from attorneys feeling
they are tethered to one spot — after all, "Perry Mason" was never told to stay
near a microphone.)

In any event, the fewer microphones you can use, yet still provide voice
separation, the clearer and more intelligible the recording will be.

CHANNEL DISTRIBUTION / ASSIGNMENT

The number and location of speakers is the primary consideration when deciding
which microphones should be combined onto which audiotape channels.
Adequate speaker separation within the four audiotape channels is the goal.

Design your channel distribution so that parties who are likely to be speaking at
the same time are not commingled on the same channel.

STANDARD FORMAL HEARINGS

Here the term formal hearing means a proceeding with a judge, witness[es],
plaintiff's attorney, defendant's attorney. This is the simplest distribution of the
four available recording channels:

CHANNEL SPEAKER or PARTY

1 Judge

2A Witness

2B Clerk

3 Defendant's Counsel

4 Plaintiff's Counsel

The judge, the witness, and each of the two counsel tables should always be
assigned to different channels, never lumped together or combined.
Section 7. Electronic Reporting 7-13

For example, no experienced reporter would ever assign both the judge and
witness to channel 1. And we have all encountered "misappropriation" of
channels — a clerk, for instance, who receives an entire channel all to him/
herself, yet rarely speaks.

If you need to add more microphones, as at a podium or an easel, these additions

must be combined somehow into the already-assigned four channels. Use care,
though, in deciding which additional mikes to combine into which channels
.

ADDING A PODIUM

Counsel at a podium will be addressing either the judge (who is on channel 1) or

the witness (who is on channel 2), so we must NOT use 1 or 2. Choose 3 or 4
instead. This is because when either counsel is speaking at the podium, his/her
corresponding counsel table channel is not in use.

The transcriber should be able to listen to channels 2 and 3 (or 4)

simultaneously and clearly hear both speakers.

ADDING AN EASEL

Discussions at an easel will most likely occur between counsel and the witness.
You may wish to treat the easel as a secondary podium location, and assign it to
that channel. Ideally, you should be able to switch the easel microphone on and
off at will, to avoid its picking up extraneous sounds when no one is using it.

JURY TRIALS

Now there is a jury present, in addition to the standard scenario of a judge, jury,
witness[es], plaintiff's attorney, defendant's attorney, court clerk, and reporter.
7-14 Section 7. Electronic Reporting

Consider the following illustration of a typical jury trial courtroom.

The represents a microphone. The numbers assigned to the microphone

locations are to identify their channels; the letters denote which microphones
are linked together on those channels.

SIDEBAR 1-B
JUDGE

1-A WITNESS
REPORTER
2-A
CLERK

2-B

JURORS
2-C
2-D
1-C
1-D 4-A

PODIUM

4-B 3-A

PLAINTIFF DEFENDANT

COURTROOM AUDIENCE

JURY VOIR DIRE and SIDEBAR

Selecting a jury from a panel of eligible citizens [veniremen] is called jury voir dire.
The number of people to be questioned will vary.
Section 7. Electronic Reporting 7-15

JURY VOIR DIRE

Channel 2 is always available for jury voir dire, as no witness will be on the stand
at that time.

If your jurisdiction typically restricts jury voir dire to the judge asking the
questions submitted by counsel, you may also distribute the jury panel between
channels 3 and 4, because counsel will not be involved. But if counsel themselves
conduct all or the majority of jury voir dire, distribute the panel between channels
1 and 2, leaving the attorneys' channels 3 and 4 for their use.

When jury voir dire is concluded, there is no further need for live
microphones at the jury box, as jurors remain silent during trial. Indeed,
leaving jury box microphones live almost guarantees a noisy recording —
coughs, echoes, etc. — no matter what channel these mikes are on.

Note: Because jurors are often nervous or timid (especially in a grandiose

courtroom), and can be expected to speak softly, a hand-held microphone
passed from juror to juror may be the best way to assure a clear and
intelligible voir dire recording.

SIDEBAR

A jury trial brings up the question of accommodating sidebars. The usual practice
in your courtroom will control how you handle them. For example, if attorneys
usually approach directly in front of the judge, and if you have given the judge an
omnidirectional mike, simply repositioning it may suffice.

If the judge and counsel move together away from "front and center," though,
such as to the far side of the bench away from the jury box, you should provide
an omnidirectional microphone there. The judge's channel 1 is the logical
assignment for a sidebar mike.

Note: The sidebar microphone should not be left on permanently. This can
interfere with the pickup on the judge's channel 1, especially as it is probably
quite close to the judge's mike. Because the reporter should be able join the
parties during sidebars in order to keep a proper log, this is an excellent
opportunity to switch the microphone on and off when needed.

OPENING / CLOSING STATEMENTS TO A JURY

If counsel give their opening and/or closing statements to the jury from a position
directly in front of the jury box, a floor-stand microphone works well, assigned to
the same channel the podium mike is on, 3 or 4.
7-16 Section 7. Electronic Reporting

Note: A unidirectional microphone restricts counsels' movement somewhat,

but is better here than an omni. Omnidirectionals risk picking up coughs and
other extraneous noises. Again, the reporter should be able to turn this mike
off; it should not remain "live" when not needed by counsel.

PERMANENT INSTALLATIONS

Many electronic reporters work in courtrooms or other forums which are

permanently set up and equipped for such use. Here the reporter has no control
over equipment brands or microphone types, and perhaps only limited authority
over microphone placements.

But many general principles and concepts discussed thus far still apply, inasmuch
as all electronic reporters have the ultimate goal of recording and preserving an
accurate record. However, we will not specifically discuss permanent installation
and sound amplification issues due to the variety of equipment and configurations
available and in use.

Of course, these reporters should become familiar with their individual

systems in order to troubleshoot when problems arise.

Reporters who contract independently, on the other hand, face engagements in

places never designed with E-Reporting in mind — i.e., public meetings convened
in high school gymnasiums, or depositions held lawyers-only-know where. These
reporters have an advantage in being able to select their own equipment and
decide on their own microphone placements — as well as a disadvantage in
having to make such choices in the first place.

ADMINISTRATIVE PROCEEDINGS; CONFERENCES

In large proceedings with more microphones than usual, we suggest you alternate
channel designations so that people sitting next to each other are not recorded on
the same channel. Given the four tape channels available, and the possibility of
four microphones feeding into each channel (using Y-adapters, of course), 16
mikes can be accommodated. (Further adapting of the cables can permit even
larger arrays for truly big gatherings.)

In the following illustration you can see how this regular alternation preserves
speaker separation. Beginning with the presiding official on channel/microphone
1-A, the series runs (to the left) 2-A, 3-A, 4-A, then resumes the alternation with
channel/microphone 1-B, 2-B, 3-B, 4B, etc.
Section 7. Electronic Reporting 7-17

Presiding Official

1-A

2-A 4-D

3-A 3-D

4-A 2-D

1-B 1-D

2-B 4-C

3-B 3-C

4-B 2-C

1-C

Note the distribution of Channel 1's microphones. This illustrates how to

maintain channel separation in this type of setting. Log the microphone
designations as the meeting progresses. You should also provide the transcriber
with a seating chart, perhaps one sketched out as above, including the names of
roundtable participants.

UNCONVENTIONAL ROOMS

Reporters engaged to record proceedings in an unconventional room — that is,

one never designed for public speaking — must go through the same analysis as
when deciding on microphone types and placements in more standard
courtrooms.

1. What is the room like? "Live" or "dead"?

2. How many speakers are expected?
3. Where will they be located?
4. Am I going to have a clear view of things?
7-18 Section 7. Electronic Reporting

THE REPORTER'S WORK LOCATION

In addition to selecting microphone types, placements, and channel assignments

which will result in the best recording, there remains the question: "Where will
I sit?" — assuming no permanent reporter work station was designed into the
room.

Of course, you need to be placed where you can see all the participants. This is
critical for taking accurate log notes, especially in situations such as the
conference illustrated above.

1. Can I see the participants?

2. Am I near a sufficient number of electrical outlets?
Are extension cords needed?
3. Will my cables reach the microphones without cable extensions?

When venturing into unfamiliar territory, always assume you may need more such
recording accessories than in a dedicated courtroom where such considerations
were built into the floor plan.

EQUIPMENT MAINTENANCE

Equipment manufacturers provide recommended maintenance procedures, which

should be followed as closely as possible. But we can make these suggestions:

MICROPHONES. Move microphones in their original containers or use

"bubble pack" wrap to prevent scratches and other damage.

CONNECTING CABLES. Do not wind or bend cables too tightly when packing.
If cable wiring is kinked or broken, it may transmit more static than usable
sound.

CASSETTES. Store in a cool place, preferably in separate plastic storage boxes.

In an abundance of caution, avoid passing recorded tapes through metal
detectors, if possible. Although it is held that metal detectors do not erase
tapes, remember that magnetic forces both create — and destroy —
recordings. Never store tapes near magnets or bulk tape erasers.

RECORDING/PLAYBACK HEADS. Clean these with a cotton swab and 99 percent

alcohol (not rubbing alcohol) at least once a week or an equivalent operation
time.
Section 7. Electronic Reporting 7-19

REPORTER RESPONSIBILITIES

There is more to being an electronic reporter than managing equipment to produce

the clearest possible taped dialogue. It requires more than appropriate courtroom
attire and demeanor.

The reporter is responsible for:

1. Maintaining the recording equipment;

2. Monitoring the audiotape during recording;
3. Playback of portions of the record as requested;
4. Preparing log notes to aid transcription;
5. Verifying the spellings of proper names and unusual terms;
6. Providing other information the transcriber will need, such as attorneys'
names and addresses; and
7. Maintaining custody of tapes and notes prior to transcription.

PREPARATION: SUPPLIES

1. Fresh, blank tape supply.

Be sure you have enough audio cassette tapes for the day. How many will depend
on whether or not you are making a simultaneous backup recording. This guide
focuses on the single primary recording, without using backup equipment. If you
use backup equipment (or a dual-deck recorder with both decks running
simultaneously), be sure to double the number of fresh tapes you bring.

Experienced reporters find that, as a rule of thumb, it is wise to have six blank
tapes available for a full day's recording. Proceedings infrequently last more than
nine hours, so the six tapes should suffice. If you know in advance that the
proceedings will last more than nine hours, allow for the additional tapes required.

"Daily" transcript orders require more tapes. Depending on how many transcribers
are engaged on the project, you will be recording at shorter than 90-minute
intervals — probably providing a tape to the transcription team at least every 30
minutes. Here, tapes of shorter length could be purchased. However you plan it,
the end result is: the number of tapes needed for a "daily" is at least double, if
not triple what is required for standard recording.

2. Getting the tape supply ready.

If the tape has leader, now is the time to wind each tape beyond leader, as
described earlier. Do this for the day's entire tape supply, to avoid any rush or
mistake during tape changes.
7-20 Section 7. Electronic Reporting

Before recording, it is also wise to check blank tapes for visible defects. This may
seem overly cautious, but a little extra time invested here may save
embarrassment and delay later, should a tape fail while recording. It is simple to
check the felt pressure pad, tape spools, and outer casing. Experienced reporters
tap the blank cassette on a flat surface to loosen the tape pack. If a tape is
wound too tightly, the recorder will reject the tape.

The tape label should have the following information for clear identification:

A. Tape number
B. Case name/number
C. Date of proceedings
D. Name of court/agency/judge.

Note: some jurisdictions require the reporter to certify the tape

by initialing the label.

Tape labeling is important because many proceedings are transcribed, if ever,

long after the trial date. Tapes must be labeled adequately for systematic
archiving and retrieval. Remember, in the absence of an official transcript, the
tape is the record — and in many jurisdictions the tape is always the record.

3. Logging supplies.

Although it may seem condescending to remind you to have enough working pens
and paper on hand, these are such important elements in making a complete
record that we will proceed to remind you. Logs serve several purposes, as
discussed later, but it is best to have an abundance of note paper should the
proceedings run long or require extensive term lists and appearance sheets.

TESTING THE EQUIPMENT

Reporters who work with permanently installed equipment must perform certain
tests at the start of each day's work, and monitor throughout the session to
guard against malfunctions. Without monitoring, microphone or other equipment
failure can go unnoticed. Of course, reporters who set up for individual
engagements also test and monitor.

While the previous day's recording may have passed without incident, you do not
know what may have happened overnight. If the equipment was left installed in a
room that was cleaned overnight, it is possible that the cleaning crew may have
unplugged or loosened a connection — or even played with the recorder and
mikes.

If you have traveled out of town, rough-and-tumble baggage handling may have
resulted in equipment that worked well back home, but may now be damaged.
Section 7. Electronic Reporting 7-21

In any event, if you are away from your equipment for a significant length of time,
test it before further use. This means even after the lunch hour, if you leave the
equipment unattended. Why? It takes only one curious person to inadvertently
turn off microphones, unplug equipment, or otherwise interfere with your setup.

Test both decks of your dual-deck recorder before proceedings begin. Some
reporters forget this (to their peril) when the machine switches decks in auto
mode, only to find the second deck non-operational.

Although equipment varies, here is a standard procedure for equipment checks:

1. Make sure the recorder is plugged into the AC outlet and that all
microphones are plugged into the proper channel.

2. Turn the recorder on.

3. Check for the proper speed selection [2.4 cm].

4. If the unit has a Transcribe On/Off switch, make sure it is off.

The recorder will not record in Transcribe mode.

5. Select the type of recording procedure you desire. If you want

automatic changing from deck to deck, make that selection. If you wish
to record simultaneously on both decks (thus creating a backup
recording) make that selection.

6. Make sure the monitor button is on Tape, not Source. This lets you
monitor the actual recorded tape results. Of course, you need to select
the correct deck for monitoring. Generally, in Auto-Select mode, this
will be Deck A. When the tape switches, select Deck B.

7. Load the tapes into tape decks. It is a good idea to load both decks at
this time, making sure you have numbered the tapes sequentially.

8. Press REC on both decks and begin your microphone check.

MICROPHONE CHECK

The best test for microphones has two parts: record your speaking into the mike
and identifying it ("Testing judge's mike 1"), and lightly scrape its metal grating,
perhaps with your fingernail. Immediately thereafter listen to your recorded test
results. Remember that the "Testing judge's mike 1" part may be picked up by
another microphone, even though the one you said "Testing" into is not working
properly. The added "scratch test" cannot "bleed into" another mike — and you
will have positive proof that all is well.
7-22 Section 7. Electronic Reporting

During the first check of the day it is a good idea to recite the date into the first
microphone tested. This is a quick and easy double-check with the tape label,
should there ever be confusion on this issue.

After you have recorded the microphone check, stop the recording and play it
back on each deck individually, checking for the following:

1. Select the channel button for the assigned microphone. Listen on this
channel and look at the indicator light. Do several other lights blink
simultaneously? If so, you may have sound bleeding into other
channels, and this may interfere with channel separation. If the channel
indicator light is neither blinking nor remaining steadily lit, a microphone
may not be working.

2. Is there static on a channel? If so, check the cable connection.

3. Is there a steady hum or buzz? If so, check the cable connection. There
may be a loose or broken wire in the cable, and it may need replacing.

4. Are all microphones heard on their appropriate channels? If not, a mike

may not be recording, and its connection should be checked. The mike
may be faulty and need replacing. Generally, when a microphone is not
working, the channel will be "dead."

When the test is completed, be sure to fast-forward several digits past the
recorded test. This avoids encountering the machine's over-record protection
feature when proceedings begin.

WHEN TO RECORD

Generally, the official record begins when the clerk or presiding official calls the
case to be heard. This is true in formal hearings, although the recorder may begin
prior to that. Each jurisdiction has its own protocol as to when the official record
begins, so be prepared to record as soon as the parties have assembled.

You are responsible for interruptions or gaps in the recording. The recorder should
be on unless the judge or presiding official's order to stop the machine can be
heard on the tape. Some discussions are considered to be off the record, but you
should never go off the record unless at the specific direction of the judge or
presiding official. If anyone else says, "Off the record," you must confirm with the
judge whether you should turn off the recorder.

Off-the-record discussions can be tricky. The parties and the judge may forget to
announce when they are ready to go back on the record. Listen carefully to what
is being said and, if in doubt, ask "Are we on the record?"
Section 7. Electronic Reporting 7-23

TAPE MONITORING

It is critical to ensure that recording occurs throughout the proceeding and that
any equipment malfunction is detected and corrected immediately. The headset
should be plugged in and the monitoring conducted with Tape, not Source.
Occasionally you may switch briefly to Source if there is a microphone that needs
instant monitoring for a potential problem. But the crucial monitoring question is
"What is being captured on tape?" When monitoring on Tape, you will notice a
very slight built-in delay as compared to what is heard live in the courtroom.

MONITORING THE PARTICIPANTS

Participants in the proceeding are engrossed in their part of the legal process.
They are not aware of what our recording needs are. It is the reporter's duty to
advise participants, politely, but firmly, to refrain from (1) wandering away from
microphones, (2) talking simultaneously, (3) whispering and mumbling, or (5)
gesturing instead of making verbal responses. While we have listed the most
common impediments to a good recording, if other important events occur that
are not captured on the tape, the reporter must address the situation so that the
record is preserved — loud outside noise, such as sirens, for example.

GETTING A GOOD RECORDING

Obtaining a high quality recording is the primary responsibility of the electronic

reporter. If at any time the audio level of the recording is not adequate, the
reporter must solve this immediately by moving microphones, asking to have
things clarified, or even stopping the proceedings to correct equipment failure.

SCRATCHING, TAPPING, MOVING, AND COVERING MICROPHONES

Some people have a habit of scratching or tapping the microphone in front of

them to see if it is really on or not. Remind these inquisitive folk that the
microphones do not amplify — unless you are connected to an amplification
system — and politely ask that microphones not be touched. When papers are
shuffled excessively or cover up low-profile microphones, be sure to ask
participants to correct this.

WHISPERED OFF-THE-RECORD CONVERSATIONS

At times counsel confer in whispers and these whispered comments are

inadvertently recorded. If they are going onto the recording, ask them to pull back
from the mike, and note in your log "Counsel conferring off record."
7-24 Section 7. Electronic Reporting

TAPE CHANGES

With dual-deck technology, tape changes occur automatically, unless the reporter
opts to simultaneously record on both decks. Although this happens
automatically, the reporter should be aware of the approximate digit/index/counter
number this change will occur. Manufacturers use different numbering systems,
so become very familiar with your equipment. If the auto-change doesn't work,
you must be prepared to engage the next deck manually. You also need to know
this when simultaneously making a backup, so that you can make tape changes
smoothly during the proceeding.

SIDEBAR OR BENCH CONFERENCE

Unless the judge advises otherwise, sidebar and bench conferences are part of the
official record. Because attorneys and judges will whisper, it is important the
reporter monitor the volume of the recording to ensure it is being recorded. Logs
are very important here, because whispered voices are usually indistinguishable.
Be diligent to remind participants to speak up if the volume gets too low.
Omnidirectional microphones must be used to pick up all participants.

JURY VOIR DIRE

This can be awkward because there are many people in the jury box or gallery,
and they have a decided tendency to speak softly. The best solution is to pass a
microphone to each prospective juror as questions are asked. If this is not
possible, several standing microphones are necessary, placed so that the furthest
person in the box can be recorded. The reporter will probably need to ask jurors to
speak up. Proper name spellings will be an important part of log notes, if the clerk
does not provide a prepared jury panel list.

INTERPRETERS

When a witness speaks little or no English, an interpreter will literally translate the
questions and answers between English and the foreign language. The interpreter
should be supplied with a microphone assigned to a channel other than the
witness's, to avoid mixing on the same channel. Monitor carefully to ensure the
witness is not drowning out his / her own interpreter, or vice-versa.

RADIO FREQUENCY INTERFERENCE (RFI):

Radio frequency interference may occur if parts of your system are acting as an
antenna — headset, cables, etc. Determine if you can continue recording after
Section 7. Electronic Reporting 7-25

eliminating the parts that are apparently picking up the RFI. Try replacement parts
to correct the problem. This is a rare circumstance and can sometimes be
corrected by the operator. If not, it may have to be corrected by special shielding
devices inserted by the service technician.

EXTRANEOUS NOISE

Air conditioning noise may be reduced by adjusting the air flow vents. Outside
construction noises may require you to reposition the microphones closer to the
persons speaking. The key is to try to correct the problem. A one-time occurrence
will probably not obliterate the record, but continued extraneous noise must be
controlled by the reporter. If chairs squeak, oil should correct this problem.

PLAYBACKS

This is a challenging aspect of reporting, especially if the portion of the

proceedings to be replayed occurs on a tape other than the one you currently
have in the machine. With practice and experience, playbacks will become
second-nature. Many courts/proceedings rarely make the request; nonetheless,
playbacks are an important part of our court reporting services. Of course, this
guide can only present generic playback procedures.

When a specific portion of the record is to be played back, if you have been
logging the proceedings carefully, your notes should make it easy for you to find
the tape location where the desired testimony was recorded. Because attorneys
often ask several preliminary questions leading up to a key point, it is important
that you note key phrases in the line of inquiry to help in locating specific portions
of testimony. If you are asked to play back testimony on a topic that was touched
on several times, you may need to ask for clarification regarding the examination
during which the desired portion occurred.

Playbacks are usually requested to clear up a specific point raised in an objection.

Often it is the question immediately prior to an objection that needs to be played
back in open court. Log the tape counter number at each objection. In time and
with experience, you will become familiar with the types of exchanges which
most often lead to playback requests, and may be able to anticipate them with a
good deal of accuracy.

• Material to be played back is on the CURRENT CASSETTE in use:

1. Press REC and STOP simultaneously to stop recording. Mark on your log
the tape counter number at which you stopped, and note the playback
request.
7-26 Section 7. Electronic Reporting

2. Be sure the playback tape deck is selected, and use the numeric keypad
to enter the index number of the portion you want to play back. (If you
enter the wrong number, press RESET and try again.

3. Press SEARCH. The recorder will find the tape location you selected.

4. Once you have determined, by listening through your headset, that you
have found the requested material, unplug your headset, and press
PLAY. The playback will occur through the external speaker.
(Remember, the external speaker will not work while the headset is
plugged in.)

5. After the playback, press STOP and then the REC END key. The recorder
will automatically go to a point on the tape just beyond where you
stopped. Press REC to resume recording. (If your machine doesn't have
this REC END feature, search for the last recorded index digit, or fast-
forward there.) Remember to log that proceedings have resumed.

6. Announce that you are back on the record.

NB: It is natural that people will want to resume speaking immediately after
playback, before you have taken the final steps to resume the
proceedings. Politely make sure this does not happen.

• Material to be played back is on ANOTHER CASSETTE, not the one in use:

1. Press REC and STOP simultaneously to stop recording. Log the index
number at which you stopped, and note that a playback was requested.

2. Use your log to locate the cassette and index number where the
requested material was recorded.

3. Remove the blank cassette from the deck you are not currently recording
on, then insert the playback tape. Rewind to the beginning of the
playback tape, if not already rewound.

4. Be sure the playback tape deck is selected, and use the numeric keypad
to enter the index number of the portion you want to play back. (RESET
lets you correct an incorrect entry.)

5. Press SEARCH. The recorder will find the tape location you selected.

6. Once you have determined, by listening through your headset, that you
have found the requested material, unplug your headset and press PLAY.
The playback will occur through the external speaker. (Remember, the
external speaker will not work while the headset is plugged in.)
Section 7. Electronic Reporting 7-27

7. After playback, press STOP and remove the playback cassette. While the
deck lid is up, press RESET and enter the tape index number appropriate
to resume recording on the cassette currently in use. Close the lid.

8. Return to the RECORD mode for the cassette currently in use.

9. Announce that you are back on the record.

• If the requested playback is on ANOTHER cassette AND you are asked to

RECORD the actual playback:

1. Press REC and STOP simultaneously to stop recording. Log the index
number at which you stopped, and note that a playback was requested.

2. Use your log to locate the cassette and index number where the
requested material was recorded.

3. Remove the blank cassette from the deck you are not currently recording
on, then insert the playback. Rewind to the beginning of the playback
tape, if not already rewound.

4. Be sure the playback tape deck is selected, and use the numeric keypad
to enter the index number of the portion you want to play back. (RESET
lets you correct an incorrect entry.)

5. Press SEARCH. The recorder will find the tape location you selected.

6. Once you have determined, by listening through your headset, that you
have found the requested material, press RECORD on the deck you are
recording the playback on. Then unplug your headset, and press PLAY on
the playback deck. The prior material will be currently recorded, and will
be heard over the external speaker at the same time.

7. After the playback, press STOP on the playback deck, and REC and
STOP simultaneously on the recording deck.

8. Remove the playback cassette and insert a blank cassette. While the
cassette deck lid is up, press RESET and enter the tape counter (index)
number appropriate to resume recording on the cassette currently in use.
Close the lid.

9. Return to the RECORD mode for the cassette currently in use.

10. Announce that you are back on the record.

7-28 Section 7. Electronic Reporting

• If the requested playback portion is on the SAME cassette you're currently

recording on AND you are asked to RECORD the actual playback as well:

1. Press REC and STOP simultaneously to stop recording. Log the index
number at which you stopped, note that a playback was requested, and
note a tape change.

2. Use your log to locate the index number where the requested material
was recorded on the playback tape.

3. Be sure the playback tape deck is selected, and use the numeric keypad
to enter the index number of the portion you want to play back. (If you
enter the wrong number, press RESET and try again.)

4. Press SEARCH. The recorder will find the tape location you selected for
playback.

5. Determine that you have found the requested material by listening

through your headset.

(If the other deck does not already contain a fresh blank tape, mark
one as next in order and insert it. This deck is now used for recording
the playback AND for continuing the proceedings when the playback
is completed.)

6. Unplug your headset, press REC on the deck you are recording the
playback on, and announce that you are back on the record.

7. Press PLAY on the playback deck. The prior material will be heard over
the external speaker, and will simultaneously be recorded on your fresh
tape.

8. After the playback, press STOP on the playback deck, plug in your
headset, and continue recording on the new tape. (Remember to select
the correct deck for monitoring.)

9. Remove the cassette containing the original playback material and

replace it with a reserve blank tape.

10. Announce that you are back on the record.

Switching to a fresh tape as described above is important to save court time.

Retiring the playback tape now, even though only partially full, is appropriate, as
you will want to be ready with a new tape for subsequent recording.
Section 7. Electronic Reporting 7-29

TAPE CUSTODY

Prior to permanent storage, the reporter is responsible for the original audiotape.
This means if you leave the recorder, you should keep the tapes in your personal
custody until they are ready for the archives. The original record must be
protected and should not be put in jeopardy of loss or damage. Keeping tapes on
your person while temporarily away from the courtroom is the best insurance
against tampering or theft.

LOG NOTES

Reporters are responsible for a written log which helps the transcriber produce a
verbatim transcript. The transcriber will look to the log for speaker identification,
unusual phrases or jargon, and the spelling of proper nouns.

The log also lets anyone find particular portions of proceedings, such as the entire
testimony of Witness X, or only the cross-examination of Witness Y.

The first page of the log shows attorneys' appearances, and outlines for the
transcriber whatever speaker identification codes you have decided to use for
participants. Your jurisdiction may require a certain log sheet format, but most
permit acceptable variations, as long as they ensure logging of the essentials.
Here is a typical preprinted (partial) log sheet:

DATE ________ CASE ___________________RECORDER ___________ TAPE____ PAGE ___

TIME COUNTER SPEAKER NOTES

Enter the time of important events (recess, etc.)

Enter the counter number corresponding to major events/items noted

Identify speakers

Opening words, important phrases and names,

exhibit marking/receipt, swearing in witnesses,
start of direct/cross-examinations, attorneys’
objections, court rulings, etc.
7-30 Section 7. Electronic Reporting

ORDER OF IMPORTANCE

When the proceedings are moving along so fast that you simply cannot "do it all,"
such as when multiple attorneys are speaking in rapid-fire colloquy with the judge,
what is most important for an accurate transcription? SPEAKER IDENTIFICATION.
At least log the speakers in order, if nothing else is possible: Brown, then Smith,
the judge, Brown again, then Jones, the judge, then Smith, Brown again, etc. (Try
also to log the counter number as often as possible to help the transcriber keep up
with rapid colloquy.)

The "Notes" section is next in importance. It is designed to help the transcriber

with key words, proper nouns, unusual phrases or jargon, and specifies attorney
objections and court rulings.

Next in general importance are tape counter numbers corresponding to "Notes"

section entries.

Finally come the times when events occur.

SPEAKER IDENTIFICATION

Four-channel recording is designed to maintain voice separation for each primary

speaker (judge, witness, plaintiff's attorney, and defendant's attorney) on a
separate channel, so transcribers can identify who is speaking simply by channel
number.

Parties often have more than one attorney. Further, various speakers may go to the
podium to address the court or conduct examination. At sidebar conferences all
speakers will be heard on one channel. These situations put a transcriber in an
unacceptable position ("Who is it now?") — unless you log proper speaker IDs.

Determine a code to identify each speaker, and indicate your selection at the
beginning of the case log where the attorneys make their appearances. Avoid single
initials, as this may be confusing — although a permanently reserved initial, such as
J for the judge, X for the clerk, etc., works well. (And remember that your
jurisdiction may have already decided that all reporters will use C for the court, for
example, and W1 for the first witness, I for an interpreter, etc.)

Base your code on the speaker's last name, not first name. Thus, Rob for attorney
Roberta Smith is unwise; using Smi to identify her is wiser. Once a code or other
abbreviation is determined, BE CONSISTENT in using it.

Of course, in sections where a witness is being examined, simply identifying the

questioner and adding a Q and A will show the exchange. Further identification is
not necessary until a third speaker intervenes.
Section 7. Electronic Reporting 7-31

THE "NOTES" SECTION OF THE LOG

Enter key words here. Transcribers particularly need the spellings of proper nouns,
unusual phrases, and technical jargon. If you are hearing something for the first
time yourself, assume it will also be new to the transcriber.

Reporters quickly learn to judge the relative reliability of sources for spellings.
A witness who has difficulty with English is probably not the best source to consult
for the spelling of "acetylsalicylic acid." A witness who spells her own name on the
record as Smyth is clearly more authoritative on that question than any document
which spells it Smith.

The "Notes" section is also where you enter the calling and swearing in of
witnesses, the beginning of each type of examination, all attorney objections and
court rulings, exhibit marking and/or receipt, references to statutes and rules, and
whatever you believe will assist in the production of a verbatim transcript.

Abbreviations are acceptable for commonly understood standard terms: obj =

objection; O/R = overruled; sust = sustained; YH = Your Honor; TY = thank you.
Just be sure your abbreviations are not so esoteric that they might as well never
have been jotted down at all. Everyone knows ASAP = as soon as possible;
nobody will decipher PEM as meaning "Please excuse me."

Few things are more frustrating to transcribers than log notes which are internally
inconsistent. Remember, transcribers rely on you, their professional colleague, to
provide the data necessary for them to do their work. The reporter has access to
the exhibits and court documents related to the case. The reporter can approach —
however fleetingly — the witnesses and attorneys involved. So when the log notes
show on page 4 "Del Vecio" and on page 6 "Del Vecchio," the transcriber is placed
in an untenable position.

TAPE COUNTER NUMBERS

The tape counter number should be regularly entered. This allows the transcriber to
follow proceedings more easily and locate specific events in the record.

Entering counter numbers permits playback of previously recorded material.

Without such references, the reporter can only guess how far to rewind the tape
for playbacks — a time-consuming, interruptive, and perhaps embarrassing project.

Most reporters regularly jot down the counter number at each objection, because
such a digression, especially if lengthy, is the most frequent reason why portions of
the record need to be played back.
7-32 Section 7. Electronic Reporting

TIMES OF IMPORTANT EVENTS

Transcripts generally indicate when proceedings began and ended and times of
recesses, and the transcriber can get this information only from the log notes. Your
jurisdiction may also require time entries for such events as the beginning of each
type of examination (direct, cross, voir dire, etc.), off-the-record discussions, or
when the jury enters and leaves the courtroom.

NON-VERBAL EVENTS

The presiding official generally cautions speakers to respond audibly, should they
fall into the habit of nodding or murmuring "Uh-huh." If this continues uncorrected,
you should caution the speaker.

Note non-verbal occurrences appropriate in your jurisdiction. (Remember, some limit

such parentheticals to events specifically remarked upon by the judge or attorneys.)

Nods affirmatively (negative head shake)

Indicating / marking / demonstrating / pointing
Document proffered to witness / clerk / counsel
No audible response
Laughter

Such indicators can clarify the record. If the record is already clear, they are
redundant. Thus, if an attorney says, "I now hand you Exhibit A," typing a
parenthetical [Document proffered to witness] is unnecessary.

APPEARANCE SHEET

Not everyone present in the courtroom is actually "appearing" there. "Appearance"

is a term of art limited to the attorneys representing the parties — or the parties
themselves, if appearing pro se. Witnesses may speak for hours, but they do not
"appear," as they are not legal counsel for the parties.

Transcribers need sufficient appearance information for the title page. We suggest:

Full name in upper and lower case letters (not in all capitals)
Firm name or government agency
Street address
City/state, zip code
Phone number (including area code)
Speaker ID code selected for your log notes: i.e., Smith = SMI
Channel designation: i.e., SMI on channel 4.
Section 7. Electronic Reporting 7-33

Some reporters note this information on one sheet which also presents a seating
chart for the parties, their log ID code, and the channel assigned. While this
appears redundant, remember that transcribers can hear, but cannot see what you
can.

EXHIBIT / WITNESS SUMMARY

It helps transcribers if you summarize all the exhibits marked and received during
the proceeding. Sometimes presiding officials do not comment on the record, but
the clerk is seen marking or receiving documents. If you know an exhibit is marked
or received, a notation should be made in the logs, and a list of all exhibits should
be maintained on a summary sheet. This is especially helpful in depositions when
the reporter may be the custodian of exhibits, both marking and storing them.

A short summary of witnesses is also helpful, showing which of the parties called
them and the type of examination conducted — direct, cross, voir dire, etc.
Especially when a witness testifies on different days, the transcriber should not be
left to ponder "What is this now, recross? Further redirect?"

NAMES / TERMS LIST

Preparing a separate names/terms list may also appear redundant, but is highly
recommended. Putting proper nouns and technical jargon/industry phrases on a
terms list is not only handy for transcribers to consult, but can show whether
spellings are verified or are merely phonetic approximations. In either case,
transcribers can presume this carefully prepared list represents the reporter's most
authoritative findings.

When a proceeding is several days long, the reporter has a list to refer to for
further log notes.
7-34 Section 7. Electronic Reporting

EXAMPLES OF LOG NOTES

TIME COUNTER SPEAKER NOTES

9:45 311 Smi Obj / Hearsay

J O/R
Per Q Go / Mon
A Yes / Ok now / Buick
Where / pizza / Il Trovatore
342 Smi Hear
J Pls speak

Those notes might result in this actual transcription:

3 MR. SMITH: Objection, Your Honor. Hearsay.

4 THE COURT: Overruled. Continue, please.
5 BY MS. PERKINS:
6 Q Did you go to town the Monday after you met Bob?
7 A Yes.
8 Q Okay. Now, you testified earlier you had bought
9 Bob's Buick.
10 A Yes.
11 Q Where were you when you bought it from him?
12 A We were having a pizza.
13 Q Where?
14 A Il Trovatore's, or something like that.
15 MR. SMITH: I can't hear the witness, Your
16 Honor. Could he please speak up?
17 THE COURT: Please speak louder, sir.
Section 7. Electronic Reporting 7-35

As you can see by comparing the previous notes with the transcript, here Smi =
attorney Smith, J = the judge, and Per = attorney Perkins. The vertical "squiggle"
indicates a period of continued exchange between two already-identified speakers
— in this case Perkins and the witness engaged in Q/A.

Naturally, the notes do not include everything said. (If they did, they would
constitute shorthand reporting.) They are a guide; they provide mileposts and
general directions for transcription. Given this sort of framework or outline of the
record, it is the transcriber's responsibility to flesh it out from the taped record.

Note in the prior example the reporter provided the spelling of both Buick and Il
Trovatore. "Buick" could have been omitted without causing any problem at all
— but it is (ultimately and generically) the reporter's responsibility to give
"Il Trovatore," not the transcriber's duty to look it up in a phone book.

Consider now an example in reverse: first look at a transcribed portion, then an

example of how it might have been logged:

2 Q How do you know that?

3 A Bob Shelton told me that.
4 Q No, I didn't – excuse me, sir. That's hearsay.
5 A But that's the only thing he said about it.
6 MR. DOE: Your Honor, I ask that the answer
7 be stricken. It's hearsay, and it was unresponsive
8 to my question.
9 THE WITNESS: I don't recall him saying
10 anything more.
11 THE COURT: Yes, the answer is hearsay.
12 BY MR. DOE:
13 Q Do you know if Uribe was to bring his equipment
14 to the site on October 20, 1995?
15 A No, I don't know that.
16 Q Did you have any direct conversation with anyone
17 about that?
18 A I don't recall any.
19 Q Okay.
20 A Except attending meetings, I don't recall any.
7-36 Section 7. Electronic Reporting

Here are possible log notes for those exchanges:

TIME COUNTER SPEAKER NOTES

Doe Q How
A Shelton
No /hearsay /only thing
2975 Doe YH stricken/ hearsay /unresponsive
W Don't recall
J Yes, hearsay
Doe Q Know Uribe /Oct 20 95
A No
Direct /don't recall / meetings

There is no need to make an entry for each and every Q/A exchange, as the
vertical "squiggle" shows that the exchange between between Doe and the
witness continues. It is sufficient to indicate KEY expressions.

TROUBLESHOOTING

RECORDER DOES NOT TURN ON:

1. Is key switch turned on (not on standby)?

2. Is recorder plugged in properly?
3. Is wall socket "live"? (The outlet may be controlled by a wall switch.)

CANNOT GET RECORDER INTO ANY MODE:

1. Is cassette seated properly?

2. Is STANDBY key switch turned on?
3. If EJECT indicator is lit, the cassette may be jammed.
Remove cassette, examine closely, turn sprocket hubs with a
pencil, and replace in recorder.
Section 7. Electronic Reporting 7-37

WHEN PLAYING A TAPE PORTION IN OPEN COURT, I GET NO SOUND FROM

EXTERNAL SPEAKER:

1. Are volume controls properly set?

2. Is headset plugged in? If it is, unplug it.
3. Have you selected an unrecorded channel?
Press ALL switch to select all four channels; try individual channels.
4. Cassette may be blank. (Try a cassette known to be recorded.)
5. Is PLAY indicator lit?
6. Playback head may be dirty.

WILL NOT GO INTO "RECORD" MODE:

1. Unit must be in Stop mode prior to Record mode.

2. Tape may be already recorded.
Put unit in Playback mode and verify tape is blank.
3. Check that the Transcribe button is at Off.

NO MONITOR OUTPUT DURING "RECORD":

1. Is headset plugged in properly?

2. Are volume controls properly set?
3. Are microphones connected and not loose?
4. Have you pressed the Monitor button or a channel selection button?

STATIC:

1. Are microphones connected and not loose?

2. Are cables connected properly? (Replace if necessary.)

HUM:

1. If hum is constant, the problem is likely a defective cable or,

less frequently, a defective microphone.
There may be a grounding problem.
2. Hum may be inducted by courtroom visual aid equipment.
Move microphone away from the device and see whether an
adequate recording is possible via other microphones.
7-38 Section 7. Electronic Reporting

SOME SAMPLE TEST QUESTIONS

1. What is the optimum tape speed at which to record? __________________

2. No sound is coming through the headset during recording. What three items
should you check?

3. The Transcribe switch should be ON while you record.

Yes No

4. To record on both decks simultaneously, the Auto Change must be OFF.

Yes No

5. You have been requested to play material from a cassette recorded on a

previous day. You are attempting to locate the requested portion and verify
it through the headset. The channel lights are lighting and you know the
recording is on the tape, but you cannot hear it. What would you check?

6. When you press the Record button, the CAS light comes on and you hear
a tone. What does this mean?
________________________________________________________
7. To change the tape index number you must:

8. When inserting a new cassette into the recorder, the fully-rolled tape pack
should be on the right-hand side of the cassette.

True False

9. On a four-channel recording, you can turn the tape over and record on the
second side.

True False

10. Monitor your ongoing recording by selecting:

Source Tape

11. While recording, the end-of-tape tone begins approximately _____ minutes
before the tape runs out.

12. The END indicator light means either: _____________ or _____________

___________________________________________________________
Section 7. Electronic Reporting 7-39

13. You have pressed Play, Fast Forward, Rewind, Stop and Record, but the
CAS light remains lit. This means ______________________________________

14. There is no tape number showing for either Deck A or B.

What would cause this? _________________________

15. When you try to select Record mode, you see the ERR light.
What does this mean? ______________________

16. You have been recording on Deck B, and are now playing back a portion of
the same tape. (You are not recording the actual playback.) How do you
resume recording on the same tape?
______________________________________________________
17. To monitor the recording or listen to the tape after it has been recorded,
circle the proper position for each item below:

Deck A: Up Down

Deck B: Up Down

Tape: Up Down

Source: Up Down

18. You are recording on Deck A and the Auto Change cuts in to begin recording
on Deck B, but the ERR message shows for Deck B, and it is not recording.
What do you do?
_________________________
19. For random resetting of the tape counter number, the Auto Change must be:

On Off

20. The recorder heads should be cleaned (select one):

Once a month
Every day
Once a week
Twice a month

21. Eject is not working and you cannot get the tapes out of Deck A or B.
What could cause this? _______________________
7-40 Section 7. Electronic Reporting

SAMPLE TEST ANSWERS

1. What is the optimum tape speed at which to record? 2.4 cm

2. No sound is coming through the headset during recording. What three items
should you check?

Channel selection buttons

Deck selection
Volume control / headset

3. The Transcribe switch should be ON while you record. No

4. To record on both decks simultaneously, the Auto Change must be OFF.

Yes

5. You have been requested to play material from a cassette recorded on a

previous day. You are attempting to locate the requested portion and verify
same through the headset. The channel lights are lighting and you know the
recording is on the tape, but you cannot hear it. What would you check?

A. Deck selection must be the same as the deck you wish to listen to.
B. Volume control must be on.
C. Channel selection button must be depressed.
D. Headset must be disconnected to use external speaker.
E. Tape/Source selector must be on tape.

6. When you press the Record button, the CAS light comes on and you hear
a tone. What does this mean?

No cassette is in the cassette compartment.

7. To change the tape index number you must:

Press Eject and leave the deck lid up. Press Reset and, while holding
it down, enter the desired index numbers on the keypad.

8. When inserting a new cassette into the recorder, the fully-rolled tape pack
should be on the right-hand side of the cassette. False

9. On a four-channel recording, you can turn the tape over and record on the
second side. False

10. Monitor your ongoing recording by selecting: Tape

Section 7. Electronic Reporting 7-41

11. While recording, the end-of-tape tone begins approximately 3 minutes

before the tape runs out.

12. The END indicator light means either:

The tape has run to its end OR it is broken.

13. You have pressed Play, Fast Forward, Rewind, Stop and Record, but the
CAS light remains lit. This means:

No cassette is in the compartment.

14. There is no tape number showing for either Deck A or B.

What would cause this?

Auto changeover is not on.

15. When you try to select Record mode, you see the ERR light.
What does this mean?

Pre-recorded material is on the tape.

16. You have been recording on Deck B, and are now playing back a portion of
the same tape. (You are not recording the actual playback.) How do you
resume recording on the same tape?

Press STOP to end the playback. Press REC END. When the counter
stops flashing, press REC.

17. To monitor the recording or listen to the tape after it has been recorded,
circle the proper position for each item below:

Deck A: Down
Deck B: Up
Tape: Down
Source: Up

18. You are recording on Deck A and the Auto Change cuts in to begin recording
on Deck B, but the ERR message shows for Deck B, and it is not recording.
What do you do?

Insert a new tape into deck B.

7-42 Section 7. Electronic Reporting

19. For random resetting of the tape counter number, the Auto Change must be:

Off

20. The recorder heads should be cleaned: Once a week.

21. The Eject is not working and you cannot get the tapes out of Deck A or B.
What could cause this?

The machine is in security (locked) position.

SECTION 8. A DIGITAL OVERVIEW
Section 8 discusses generic material of importance to both reporters and transcribers.

BACKGROUND
Digital systems are increasingly replacing standard tape recording equipment.
Recording or transcribing digitally requires a computer and proprietary software.
These applications continue to evolve rapidly. Thus, periodic updating / upgrading
of both equipment and software will be important as further time-saving and
record-enhancing features become available.

DIGITAL v. ANALOG
All audio recording begins at microphones, which detect sound waves and
transform them into electrical signals. Cables (or more rarely, radio transmitters, as
in lapel microphones) send these signals to a mixer. The mixer organizes inputs
from multiple microphones. What happens next is where audiotape-based (analog)
recording diverges from computer-based (digital) recording.

Digital recording systems regularly sample the signals arriving from the mixer, and
assign a binary code number, a digit, to each sample — hence "digital."

THE PRINCIPLE OF SAMPLING

Think of a strobe light, and you will understand the principle of sampling.
Occasional strobe flashes reveal jerky motion. As the flashes speed up, movement
smooths, and the flickering effect diminishes, eventually disappearing.

Digital court reporting programs sample at a rate fast enough, thousands of times a
second, so speech sounds are smooth and correctly represented.

Smooth real-time sound wave Low sampling rate = approximation High sampling rate = smooth

Your computer's sound card, which performs the actual sampling and conversion
into a digital format, is controlled by a software program. The result is an audio file
on a computer or CD, instead of a cassette tape in its box.
8-2 Section 8. A Digital Overview

SOME DIGITAL ADVANTAGES

• The reporter can automatically link computer log notes to their corresponding
points in the digital recording, which enhances a reporter's ability to play back
portions of the record when requested.

• Both log notes and audio files can be transmitted over the Internet, thus
eliminating shipping costs and delivery delays. Such electronic transfers make it
easy for work teams to closely collaborate on large or expedited projects, even
when transcribers are at different locations.

• The sound quality of a digital copy is identical to the original. Courts can retain
their original audio files, yet provide exact duplicates for transcribers, eliminating
any possible degradation due to the extra step of tape duplication.

• You can adjust the individual sound volume on each channel, thus balancing a
soft-spoken witness with a bombastic attorney.

• Storage and archiving are efficient and compact When the audio and log notes
are saved as computer files, there are no bulky cassettes to store, nor files of
reporters' paper notes to maintain.

• Digital recording is the basis for further enhancements in the areas of speech-to-
text, word / phrase searches ("audio mining"), transcript links to documents,
and other continuing developments.

DIGITAL CERTIFICATION TESTING

Digital installations in many courts are networked, but the AAERT examinations
focus primarily on the individual who is using a stand-alone, non-networked
computer. The primary difference between stand-alone and networked systems is
whether the simultaneously recorded archival copy ("the back-up") is saved to a
CD-ROM (stand-alone reporters) or to another, networked computer. Of course,
basic recording procedures, note-taking skills, reporter responsibilities, and
transcription principles remain the same in either case. (See Section 7, page 8,
et seq.)

Just as there are different word-processing formats for transcribing language (think
of the familiar .DOC or .WPD program identifers), there are also different audio-
sampling formats. That being said, because the FTR 4-channel system is widely
installed in courts throughout the United States and is broadly used by individual
reporters, AAERT uses FTR products as the test standards for digital court reporter
and digital transcriber certification.
Section 8. A Digital Overview 8-3

The discussions which follow are by no means a complete introduction to or

analysis of the FTR system, and are not intended to be an exhaustive training
manual, but touch generally on its most important features. Certain FTR
illustrations are used here with permission.

THE FTR SYSTEM

The FTR system includes three basic proprietary program elements:

FTR REPORTER (Section 9.),

to perform the digital recording and permit playbacks,
FTR LOG NOTES (Sections 9 and 10),
which reporters use to create notes linked to the digital audio file, and
FTR PLAYER PLUS (Sections 9 and 10),
a dedicated transcribing-only program.

SAMPLING RATE

FTR samples each incoming channel at a rate of 22,000 (22K) times per second,
and saves its audio files in the WAV format. ("WAV" stands for "waveform," a
format developed by IBM and Microsoft

COMPRESSION

This sampling rate of 22K on each of four channels produces very large audio files,
so these WAV files are compressed — which also makes file sizes manageable on
your computer. (The FTR compression system, named MPEG-2, is the same one
used for DVD movies.)

FTR permits two compression rates, "Optimize for Quality" and "Optimize for
Storage." These settings affect the sizes of the audio files. A standard CD-ROM
holds 14.5 hours of actual 4-channel recording time at the "Optimize for Quality"
setting. This is the preferred setting, as it produces the better sound quality. A
CD holds about 23 hours of recording in the "Optimize for Storage" mode.

FILE MANAGEMENT INTERNAL TO THE PROGRAM

FTR saves its audio files in five-minute segments, then links these together to make
a seamless, whole recording. This occurs behind the scenes, so to speak.
SECTION 9. DIGITAL COURT REPORTING

FTR DIGITAL RECORDING HARDWARE REQUIREMENTS

Because all equipment elements up through the sound mixer — microphones,

cables, etc. — are the same in both digital and audiotape recording, a digital
court reporter must be familiar with the discussions in Section 7 touching on
those subjects.

MINIMUM COMPUTER REQUIREMENTS (4-Channel Recording)

Be aware that these are minimum specifications. It is important to know that

running additional programs simultaneously, such as FTR Log Notes, Word,
WordPerfect, etc., may require a faster processor and additional computer memory
(RAM).

FTR’s latest generation of recording software requires:

• Windows 2000 SP3 or XP Professional SP1 for 4-channel recording.

(Note: Windows 98SE may be used if your system is limited to 2-channel
recording.)

• The recommended hardware specification for your operating system, or a

450MHz processor, whichever is higher.

• An additional 32MB RAM.

• 256-color, 800 x 600 display adapter and monitor.

• Windows- and FTR-compatible 4-channel sound card.

• Windows-compatible stereo (2-channel) sound card, in addition to the 4-channel

card. (Note: Your computer's standard 2-channel sound card is necessary for
confidence monitoring. "Confidence monitoring" refers to the reporter's
checking the quality of the audio file while recording is in progress.)

• CD Read-Write drive with a version of DirectCD (by Roxio) which is compatible

with your CD-RW drive and operating system.

• Game port or USB port for an optional FTR-compatible foot pedal, if you wish to
transcribe using Reporter's Playback Panel.
9-2 Section 9. Digital Court Reporting

ADDITIONAL REQUIRED EQUIPMENT

AUDIO MIXER: Audio mixers are available with up to 32 or more microphone input
connections. FTR sound mixers have either four or eight, expandable to sixteen
microphone inputs. The mixer sends these multiple signals to the recording
computer as four distinct channels.

MICROPHONES and CABLES: See Section 7 for discussions of proper microphone

selection and use, which apply to both analog and digital reporters.

STEREO HEADSET: Even when recording in four channels, the reporter monitors
the recorded product in stereo (two channels). You will hear the four channels in
your left or right ear as follows:

CHANNEL LEFT EAR RIGHT EAR

1 100% -0-

2 66% 33%

3 33% 66%

4 -0- 100%

Of course, you can select individual channels (or any combination) for playback.

FTR REPORTER — Getting Started

SETTINGS WIZARD

When installing FTR Reporter, a configuration tool called Settings Wizard asks you
for some information about your computer, and lets you make choices about how
to name your audio files, the number of channels you will record on, sound levels,
and time (external clock) settings. Here is also where you indicate whether you are
working within a network, and where your files will be stored. Of course, you may
change these settings as needed from time to time.

Setting the Archive ("Back-Up") Storage Location

FTR Reporter makes two audio files simultaneously, an original and a copy.
Settings Wizard lets you specify where you want to file your archival or back-up
copy — usually to the CD-ROM — while the original is stored on your computer's
hard drive.
Section 9. Digital Court Reporting 9-3

FTR Reporter: The Recording Panel

RECORDING FUNCTIONS

Location / Date Display

(aka Recorded Audio Label)

Use the Settings Wizard or the Properties menu, discussed below, to identify
the location where you are recording — perhaps the courtroom number
and/or judge's name, or the law firm where you are taking a deposition. The
program supplies the current date.

Current Recording Time Display

This window shows the current recording time (hours, minutes, and
seconds) As you make entries in Log Notes, the time of each entry is linked
to the current recording.

Available Space Remaining on Your Hard Drive

Here is a display of how much space remains on your hard drive to hold the
original audio copy you are making.
9-4 Section 9. Digital Court Reporting

In the preceding illustration, 287.81MB (megabytes) remain, which in the

"Optimize for Quality" mode is being consumed at 44MB per hour. Thus,
6.5 hours of recording time remain before you will need to finalize your
archive copy on the CD and start afresh by removing files from the hard
drive.

You may toggle this display to show the time instead of the space remaining.

Record

When this button is selected, it turns bright red and recording begins. When
the Record function is off, the color is a dark, muted red.

Stop Record

When you wish to stop recording and select this button, a dialog box will
ask, "Are you sure you want to stop the recording?" Yes stops, No
continues. This important feature means you cannot accidentally interrupt a
recording.

Normal View / Compact View

When using FTR Log Notes while recording, you will probably wish to see
only Reporter's time and channel indicators. The Normal / Compact View
button toggles between the full-scale panel (normal view) and this handy,
abbreviated version (compact view):

Toggle

Always on Top

Similarly, this selection toggles the Recording Panel on top of Log Notes or
any other program simultaneously in use.
Section 9. Digital Court Reporting 9-5

MONITOR YOUR RECORDING

Digital reporters must use the confidence monitoring selection to verify the
proceedings are being adequately recorded. Only in this way can you detect
problems with your microphones, cables, or mixer. Confidence monitoring is
turned ON via the Properties menu, shown below.

Confidence monitoring lets you confirm that the audio has been written to the
computer's hard drive. Although you can record with the confidence monitoring
feature turned off, this is unwise.

Channel Indicators for CONFIDENCE MONITORING

There are four indicator buttons, one for each channel. To "listen in" on the final
product on any channel, select it with the mouse, or use a keyboard shortcut. The
channel indicators toggle on and off: green equals On, and red is Off.

Notice that a slide bar is just to the left of the channel indicator array. Use it to
adjust your headset's sound volume.

Be aware that the audio you hear through your earphones while monitoring
quality is slightly delayed, about half a second behind real time. This delay is
due to compressing and writing to the hard drive's audio file.

NB
9-6 Section 9. Digital Court Reporting

Properties Button

Click this button to display the Properties menu shown above. The menu
selections not only let you turn on confidence monitoring, but permit you to change
the location name, delete archive files, or specify search paths to find previously
recorded audio files.

Help, Screen Minimizer, and Close Program

These last three buttons near the top right corner of the panel perform standard
Windows functions, and need no discussion here — EXCEPT that you cannot close
FTR Reporter while a recording is in progress. If you try to close while recording, a
dialog box appears as a reminder to end your recording session properly. This is a
failsafe measure to preclude accidentally stopping the recording.

REPORTER'S PLAYBACK PANEL

The Playback Panel is the Recording Panel's alter ego. It is used to play back the
audio, or when selecting audio files to copy to a CD, and in transcription.

Panel Change Button

Click on the Panel Change button at the top of the reporter panel to toggle
between the Playback Panel and Recording Panel. You can switch to the Playback
Panel without interrupting your current recording.

FTR Reporter: The Playback Panel

Section 9. Digital Court Reporting 9-7

PLAYBACK FUNCTIONS

Current Play Time Display

This is the current play time within a selected recording. Of course, a newly
opened audio file always displays the start time of the recording. You may
click on the hour, minutes, or seconds portion of the display to type in a new
setting. Because no tape is being rewound, the program goes immediately
to that point in the audio file.

Current Play Time buttons permit time adjustments in small increments..

Open Audio

Click on this button to open an already saved recording.

When asked to perform a playback, select the current recording from the file
listing. (See Playbacks below.)

Save Audio

This is a “save-as” feature that saves the currently open audio to a location
of your choice, such as a CD. Additionally, this button is used in association
with FTR's optional Save-To-Format and Save-To-Tape plug-in
enhancements. (See "Copying an Audio File to CD-ROM" below.)

Stop Play

Rewind Fast Forward

These features perform the same functions they do in the Recorder panel.

Playback Channel Selection Buttons

When replaying a recording, you may select individual channels to listen to

separately, or you can select two, three, or even all four channels for
simultaneous playback. Use this feature to troubleshoot recording problems
on individual channels, or to play back a question or answer.
9-8 Section 9. Digital Court Reporting

Playback Volume and Speed Controls

Ctl Alt

Master Volume Playback Speed

Ctl Alt

Individual Channel Volume

Volume Control

To adjust each channel's volume up or down, louder or softer, use the slider
bars. This feature permits individual channel volume control, which can
enhance the playback of a soft-spoken witness by making that channel
louder, or reduce balance problems with a particularly loud speaker by
reducing that channel's volume.

The Master Volume Control slider bar (or Control-Arrow keys) sets an overall
sound level for all channels at the same time.

Speed Control

To the right of the individual channel volume controls is the playback speed
slider bar. The zero setting, as shown above, is the normal real-time speed.
Moving the slider up toward the + sign speeds voices up, while moving it
down toward the — sign slows voices down. (Your Alt-Arrow keys do the
same thing.) This feature is used mainly in transcription, to assist
comprehension of difficult speakers or phrases.

Be sure that the playback speed is returned to zero when requested to play
back in court.
Section 9. Digital Court Reporting 9-9

PLAYING BACK A PORTION OF THE RECORD

Digital reporters can easily replay a portion of the record when asked to do so —
most often involving a previous question or answer after a lengthy objection.

Simply click on the Panel Change button to reach the Playback screen.

Then find the requested playback point in your Log Notes, and click its time stamp.
(Or click on the Current Play Time display to manually enter the desired time.)

Note that FTR continues to record in real time, even while you are playing a
prior portion of the record. Thus, when you return to the Reporter panel,
proceedings may continue without any need for you to re-cue the program.

Selecting Only a Portion of a Longer Recording

Time Range Start / End Displays

The "inward-pointing arrows" or "half diamonds" on the top line can be

moved to select a start and end point within a longer recording. In the
example above, audio between 10:27:32 and 10:36:44 has been selected,
and can be listened to or copied to CD as needed.

The controls allow small time adjustments to either the start or end
point of your selection. Or simply click on the hours / minutes / seconds
displays to enter specific times.

Selected Audio Display

This shows the total amount of time you have included in your selected
audio range. Click on this display to toggle between time and size, if you
want to know how big the range is (in megabytes).
9-10 Section 9. Digital Court Reporting

Loaded ("Open") Audio Label

This indicates the location and recording date of the currently open
("loaded") recording. The location name and date are initially defined with
the Settings Wizard, and you can adjust them at the Properties menu.

COPYING AN AUDIO RECORDING TO CD-ROM

An FTR 4-channel recording can be copied straight to a CD-ROM in the

same way you copy a word processing file from your hard drive to CD. The person
receiving this CD copy will need to download the free FTR Player Plus program
from FTR’s website, www.fortherecord.com.

However, some parties may wish to listen to the file in another audio format.
FTR's Save-to-Format software module presents four possible format choices:

• Audio CD

This is a 2-channel WAV file format which can be listened to on any standard
CD player. The audio files are not compressed, so such a CD can only hold up
to 80 minutes of audio.

• Mix FTR to a Single Channel

This combines all channels into one in FTR format. FTR Player Plus is needed to
listen to these files.

• Separate FTR Channels

This creates an individual file for each channel, in FTR format. FTR Player Plus
is needed to listen to these files.

• Windows Audio

Windows Audio reformats FTR 4-channel audio file into a combined single-
channel Windows Media Audio file (.WMA). This reformatted audio can be
played using Windows Media Player 7.0 or higher.
Section 9. Digital Court Reporting 9-11

TROUBLESHOOTING FTR REPORTER

Situation Possible Explanations

I can't hear all the voices in my headset Make sure confidence monitoring is
while I'm recording. checked On via the Properties menu.

Are your earphones stereo (2-channel)?

Are they securely plugged in?

I can't hear all the voices in my headset Have you selected a channel to listen
while I'm doing a playback. to?

Are your earphones stereo (2-channel),

and are they securely plugged in?

My transcriptionist cannot open the The CD may not be "finalized."

audio file on the CD I provided.
FTR Player Plus is needed to listen to
your 4-channel audio.

The quality of my recording is See the troubleshooting

deteriorating. recommendations for microphones and
cables, static and hum, in Section 7.
Remember that digital recording still
depends on those elements being in
good working order.
9-12 Section 9. Digital Court Reporting

FTR LOG NOTES

Digital recording does not absolutely require that log notations be made with a
companion program such as FTR Log Notes, but doing so provides access to the
full power of digital reporting. In addition, AAERT's digital court reporter
certification test is focused on the Log Notes software.

TIME STAMPS
FTR LOG NOTES PANEL

Log Notes supplies automatic links to the audio being recorded. This linkage is
created by means of "time stamps" which appear automatically as each notation is
entered. Simply clicking on the log's time stamp will load and cue the audio for
immediate playback.

Three elements link the audio to its corresponding log notation, and all three must
match before linkage is possible:

1. The date the recording was made,

2. The time stamp was produced while the audio was being recorded, and
3. The location names match.

LOG NOTES FUNCTIONS

Tools

Clicking this button displays a drop-down list for Glossaries, Pick Lists, Merge, and
Filter. These advanced tools let you create macro-type keystroke combinations to
insert text, to include information from third-party programs into the log, to merge
multiple log sheets into one (while maintaining the original separate log), and to
extract specific notations from one log sheet to create a new one.
Section 9. Digital Court Reporting 9-13

Glossaries (via the Tools button)

The Glossary menu lets you program keystrokes to speed up note-taking.

For example, [Alt]-Z could be defined to insert Mr. Zaruslavsky whenever you wish
to note him speaking.

You can customize a glossary for each case, and can edit or reassign its keystroke
definitions as often as desired.

A glossary can be left open while you record, and log entries made by clicking on
the desired item.

Pick Lists (via the Tools button)

You can select and enter into your log notes various pre-defined items, such as
case numbers, parties' and attorneys' names, by double-clicking from the list.

Merge (via the Tools button)

When more than one note-taker is independently using Log Notes, this function lets
you combine their separate entries into one log. This may occur when a judge
and/or clerk is also taking notes, yet the final desired result in the case is a single
log.
9-14 Section 9. Digital Court Reporting

Filter (via the Tools button)

Specific log entries can be filtered from one log sheet to create a new one. For
example, all noted references to Salazar could be filtered into a new set of log
notes dealing only with that person throughout the course of the recording.

Edit / Read-Only

This selection allows you to edit the log sheet, perhaps to correct spellings, or to
write-protect it so it is available for reference only.

New

Click this button to create a new log sheet.

Open Print

Save Copy As Find Text

• The Open button lets you choose a previously saved Log Notes file.

• Save Copy As lets you save the log file with its current name (a simple Save),
or you can assign a new file name or choose a different format (Copy As). Log
notes can be saved in Word or HTML format, which provides flexibility when
submitting log copies to ordering parties.

• Use the Print button to print out either the entire log file or selected portions.

• The Find Text button is a search feature used to look for a specific term.

Always on Top

This selection places the Log Notes program on top of any other program running
at the same time
Section 9. Digital Court Reporting 9-15

Properties

Here you will enter the "save location" or computer path where you want to save
your log notes. Here, too, you can make housekeeping selections such as window
size and position, the time stamp offset, and the column titles.

A note about the "time stamp offset": The default is zero, which means the
time you actually enter your note is the time displayed and linked to the
audio. But you may adjust the time stamp to allow for the few seconds
between the actual sound recording and your entering a completed log note
about it. This is both handy and important for more accurate playbacks.

Description, Date, Location

These fields identify a log sheet. The judge's name, the case number, the calendar
type, (i.e., motions calendar) are common descriptions. The location is usually the
courtroom number / judge’s name, or the law firm where a deposition is taken.

TRANSCRIPT PAGE ESTIMATES via the PLAYBACK PANEL

Cases vary, often depending on whether documents are referred to extensively, but
a common rule of thumb is that one hour of recording generates about 40 pages of
25-line text. This ratio holds true no matter what recording method is used, and
assumes the use of a Courier-style 12pt font, up to 63 characters per line.

To estimate how many pages of transcript a recording will produce, take the total
number of minutes involved, divide by 60, then multiply by 40.

Total Minutes divided by 60 times 40 = estimated pages

Example 1: Log notes show a start time at 01:38:12 and an end time at
05:35:06, a total of 3 hours, 23 minutes and 30 seconds. (Ignore the seconds!)
That adds to 203 minutes, which divided by 60 gives 3.38 hours, which times 40
equals about 135 transcript pages.
9-16 Section 9. Digital Court Reporting

Example 2: You receive a "partial transcript" order for just the cross-examination
of Mr. Smith, and your log notes show that his cross began at 02:33:15 and ended
at 03:59:35. In order to save the audio for the transcriptionist and to estimate the
pages involved, you will need to select the requested audio portion of the trial.

Recess Indicator

Here, the audio portion you select (between the "inward-pointing arrows" or "half
diamonds") starts a few seconds before the cross-examination does, and ends just
a bit after cross is concluded, to provide a safety margin for your transcriptionist —
a total recording time of about1 hour, 7 minutes, or 67 minutes. To calculate the
pages, 67 minutes divided by 60, times 40 pages = 45 pages.

But it's an hour and 27 minutes between 2:33 and 4:00, so why isn't the
calculation 87 minutes divided by 60, times 40 = 58 pages?

Notice the small vertical line or "tick mark" within the selected block of
audio. This indicates the recording was stopped, as during a recess. (Place
your cursor on the line at that point, and FTR will reveal the recess start /
end times, so you will know how long they were off the record — in this
example, they took a 20-minute recess.)

TRANSFERRING AUDIO FILES OVER THE INTERNET

Computer files are commonly emailed over the Internet. All 4-channel audio files,
however, are quite large even after compression. Most Internet service providers
place restrictions on how much can be emailed in a file, often as little as 4MB or
so. Therefore, simply emailing 4-channel digital audio files is not practical.

Uploading / downloading large files onto the Internet via a website avoids that
restriction
Section 9. Digital Court Reporting 9-17

RECOMMENDATIONS

• A standard telephone ("dial-up") line transmits data quite slowly, and cannot be
recommended for audio file transfers.

• A TV cable connection is superior to dial-up because of its faster data transfer

rate. Unfortunately, as more and more of your neighbors join this cable service,
its speed may decrease noticeably.

• A DSL ("digital subscriber line") connection through your phone line also has a
fast data transfer rate, but remains unaffected if others in your neighborhood
obtain Internet connections. Unhappily, DSL is not available in all areas.

Those lines — (and remember, all three are literally wires!) — connect your
computer to an Internet Service Provider.

Internet Service Provider (ISP)

Whether you subscribe to AOL, Earthlink, or another company, Internet service

providers use specific data transmission rates for uploading and downloading.
More of their resources are devoted to download speed, as that's what most
people are doing — downloading stuff from the Internet. Thus, downloading often
zips along twice or even three times faster than uploading.

Downloading an hour-long file can take as little as 10 minutes. Uploading an

identical hour-long file can take up to 40 minutes. These figures vary, of course,
among service providers, and are also heavily dependent upon your own Internet
connection.

FTP Internet Transfer

Because digital 4-channel audio files are too large to simply email, FTP (File
Transfer Protocol) is one way to exchange audio files between computers via the
Net. This is not email. For example, your Web browser can make FTP requests to
download large programs you select from a Web page. There are many FTP
services that, for a fee, will let you upload / download large files.

www.fortherecord.com
FTR maintains a website that makes FTR audio and log notes available to
subscribers. By connecting to www.fortherecord.com, subscribers can upload and
download audio and log note files at their convenience.
9-18 Section 9. Digital Court Reporting

TROUBLESHOOTING FTR LOG NOTES

As this is a software program, there are no screws to tighten, knobs to fiddle with,
or other paraphernalia to work on. Rejoice that this list is so short.

Situation Possible Explanations

Log Notes is not letting me edit my Check to make sure Log Notes is in "edit"
current log sheet. mode.

I'm clicking on a time stamp, but Log Make sure these three elements match:
Notes is not linking to the audio file.
Date of log = audio recording date,

Time stamp is included within audio, and

Location is the same on both.

SECTION 10. DIGITAL TRANSCRIBING
Section 8 begins with a general discussion of the principles underlying digital audio
recording. Although you may have no desire to do court reporting, the material
outlined in Section 8's few pages is important for digital transcribers as well.

BACKGROUND

Transcription of trial records and depositions occurs in various settings, primarily

within court clerks' offices, at transcription services, and certainly not least, in
home offices around the country.

Digital transcribers in large office settings are often networked, and must conform
to internal protocols to perform their work. The discussions below focus on the
individual transcriber who is using a stand-alone, non-networked computer. Of
course, basic transcription principles and skills remain the same in any case.

DIGITAL TRANSCRIBER CERTIFICATION TESTING

As discussed in Section 8, AAERT uses FTR's Player Plus transcription software as

the standard for digital transcriber certification. This program is available as a free
download at www.fortherecord.com, and its features are outlined below.

TRANSCRIPTION HARDWARE REQUIREMENTS

The latest version of FTR Player Plus requires:

• Windows 98SE, 2000 SP3, XP Home SP1, or XP Professional SP1.

• Recommended hardware specification for your operating system
or 166MHz processor (whichever is higher).
• An additional 16MB RAM.
• 256-color, 800 x 600 display adapter, and monitor.
• Windows-compatible stereo (2-channel) sound card.
• Game port or USB port for an optional FTR-compatible foot pedal.

Be aware that these are minimum requirements for FTR Player Plus with no other
programs running. You will be using a word processor, and you may also wish to
run FTR Log Notes. Speedy typing can interrupt the audio playback unless you
have a considerably faster processor and more memory than specified above.
10-2 Section 10. Digital Transcribing

ADDITIONAL REQUIRED EQUIPMENT

STEREO HEADSET:

Your computer's two-channel sound card has a stereo output jack, unlike the
monaural output of most tape transcribing machines. You must use a stereo
headset to realize all the benefits afforded by digital recordings. FTR Player Plus
distributes the channels of a four-channel recording to the stereo headset as
follows:

CHANNEL LEFT EAR RIGHT EAR

1 100% -0-

2 66% 33%

3 33% 66%

4 -0- 100%

Of course, you can select individual channels (in any combination) for playback.
This is an important digital feature: now you can easily listen to THREE of the four
channels at the same time, not merely two.

FOOT PEDAL:

The foot pedal must be able to plug into either the USB port of your computer or its
gaming (joystick) port. The USB port is more common on newer computers. The
gaming port is usually a feature of the sound card. In addition, the foot pedal
should have "left," "middle," and "right" control functions for rewind, play, and
fast-forward.
Section 10. Digital Transcribing 10-3

PLAYER PLUS FUNCTIONS

THE FTR PLAYER PLUS PANEL

NOTE: Many program functions discussed here are also reproducible with
keyboard strokes, and a complete list of them appears in the free, downloadable
instruction manual available at www.ftrgold.com.

Loaded ("Open") Audio Label

This label shows the place and date of the currently open ("loaded") audio file.

Current Play Time Display

This is the current play time within a selected recording. Of course, a newly
opened audio file always displays the start time of the recording. You may click on
the hour, minutes, or seconds portion of the display to type in a new setting.
Because no tape is being rewound, the program goes immediately to that point in
the audio file.

Current Play Time's buttons permit time adjustments in small increments.

Open Audio

Click on this button to open an audio recording.

10-4 Section 10. Digital Transcribing

Save Audio

This is a “save-as” feature that saves the selected range of audio to your CD.

Stop Play

Rewind Fast Forward

These buttons perform the same functions as the foot pedal.

Compact View

You will probably need to see only the time and channel indicators while
transcribing. Click on this button to toggle between the full-scale panel and this
abbreviated, handy version:

Control-Alt-V on the keyboard toggles between the Normal / Compact views.

Always on Top

This button is a toggle that keeps the Player Plus display always visible on top of
your word processor or any other program simultaneously in use.

Properties Menu
Section 10. Digital Transcribing 10-5

The Properties Menu's Mono setting plays all channels equally in both ears, while
the Stereo setting distributes the channels as shown in the "Stereo Headset" table
above.

Notice that the Properties menu includes Foot Control Backspace, which sets the
number of seconds the playback will automatically backspace or "rewind"
whenever the foot pedal's Play control is released. If you do not care for such a
feature, set this to zero.

Playback Channel Selection Buttons

When playing a recording, you may select individual channels to listen to

separately, or you can select two, three, or even all four channels for simultaneous
playback. A green light means the channel is on; red means off.

Or use CONTROL and NUMBER keys 1 through 5 to change / add channel

selections:

Control-5 selects all channels to listen to simultaneously.

Control-1 through 4 selects channels 1 through 4 correspondingly.

Add Channels

If you are listening to channel 1 and wish to ADD channel 2,

simply type Control-2.

Similarly, if you are listening to channels 1 and 2 together,

and wish to ADD channel 3, type Control-3.

Switch Channels

To switch FROM channel 1 TO channel 2, type Control-2 twice.

To switch FROM a channel 1+2 combination and listen now

ONLY to channel 2, type Control-2 once.
10-6 Section 10. Digital Transcribing

Volume / Speed Controls

Ctl Alt
Master Volume Control Playback Speed Control
Ctl Alt

Individual Channel Volume Sliders

To adjust each channel's volume up or down, louder or softer, use its slider bar.
This feature allows for individual channel volume control, which can enhance the
playback of a soft-spoken witness by making that channel louder, or reduce
balance problems with a particularly loud speaker by reducing that channel's
volume.

To the left of the individual channel volume controls is a slider bar which sets a
general playback volume for all channels

Simple keyboard strokes also control the master volume slider bar. Use
Control - Up Arrow to increase volume, and Control - Down Arrow to
decrease it.

Playback Speed Control

To the right of the individual channel volume controls is the playback speed slider
bar. The zero setting, as shown above, is the normal real-time speed. Moving the
slider up toward the + sign speeds voices up, while moving it down toward the —
sign slows voices down. This feature may assist comprehension of difficult
speakers or phrases.

NOTE: ALT - Up Arrow or ALT - Down Arrow controls speed from the
keyboard.

See your Player Plus "Help" function or instruction manual for a full list of keyboard
shortcuts which can replace moving the mouse. The manual is available as a free
.PDF download.
Section 10. Digital Transcribing 10-7

Selecting Only a Portion of a Longer Audio Recording

Time Range Start / End Displays

The "inward-pointing arrows" or "half diamonds" on the top line can be moved to
select a start and end point within a longer recording. In the example above, audio
between 10:27:32 and 10:36:44 has been selected, and can be listened to or
copied to CD as needed.

Notice the "full diamond" to the left on the bottom line. This is simply a visual
marker to show you where you are within the selected audio portion. As you
transcribe, this diamond moves to the right, and reaches its end point when you
are done transcribing the selected audio. Move the diamond to any point on the
line to listen to that specific portion.

The buttons permit small time adjustments to either the start or end point
of your selection. Or simply click on the hours / minutes / seconds displays to
manually enter specific times.

Selected Audio Display

This shows the total length of time you have included in your selected audio range.
Click on this display to toggle between time and size, if you want to know how big
the range is (in megabytes).
10-8 Section 10. Digital Transcribing

USING THE REPORTER'S DIGITAL LOG NOTES

Digital recording does not absolutely require that log notations be made with a
companion program such as FTR Log Notes, but doing so provides access to the
full power of digital reporting. In addition, AAERT's digital court transcriber
certification test is focused on the Log Notes software.

TIME STAMPS
FTR LOG NOTES

FTR Log Notes main features were developed to aid rapid and efficient note-taking,
with instant linkage to the audio recording for reporter playbacks, and to permit
easy review and editing of reporter notes. These features are covered for reporters
in more detail in Section 9.

However, transcribers will find the following features useful:

AUDIO LINKS

Log Notes supplies automatic links to the digital audio file by means of "time
stamps" at each note's entry point. Simply clicking on the log's time stamp will
load and cue the audio for immediate playback.

Three elements link the audio to its corresponding log notation, and all three must
match before linkage is possible:

The date the recording was made,

The time stamp is within the range of the audio which is open, and
The location names match.
Section 10. Digital Transcribing 10-9

AUTOMATIC SCROLLING

As you play the audio, Log Notes automatically scrolls to the corresponding time-
stamped note entry.

FUNCTIONS

Open Print

Save Copy As Find Text

The Open button lets you choose a previously saved Log Notes file.

Save Copy As lets you save the log file with its current name (a simple Save), or
you can assign a new file name or choose a different format (Copy As). Log notes
can be saved in Word or HTML format.

Use the Print button to print out either the entire log file or selected portions.

The Find Text button is a search feature used to look for a specific term.

Always on Top

This selection places the Log Notes program on top of any other program running
at the same time.

CALCULATING TRANSCRIPT PAGE ESTIMATES

Cases vary, depending on speakers, subject matters, and whether documents are
referred to extensively. That being said, a widely used rule of thumb is that each
hour of recording generates approximately 40 pages of 25-line text. This ratio
holds true no matter what recording method is used. Of course, this assumes the
transcript will use a Courier-style 12pt font, up to 63 characters per line.

To estimate how many pages of transcript a recording will produce, take the total
number of minutes involved, divide by 60, then multiply by 40.

Total Minutes divided by 60 times 40 = estimated pages

10-10 Section 10. Digital Transcribing

Example:
Your log notes have a start time at 01:38:12 and an end time at 05:35:06. This is
a total of 3 hours, 23 minutes and 30 seconds. (Feel free to ignore the seconds!)
That adds to 203 minutes, which divided by 60 gives 3.38 hours, which times 40
equals about 135 transcript pages.

Recess Indicator

Here, the audio portion selected (between the "inward-pointing arrows" or "half
diamonds") starts a few seconds before the cross-examination does, and ends just
a bit after cross is concluded, to provide a safety margin for your transcriptionist —
a total recording time of 1 hour, 6 minutes, 50 seconds, or about 67 minutes. To
calculate the pages, 67 minutes divided by 60, times 40 pages = 45 pages.

But it's really an hour and 27 minutes between 2:33 and 4:00. So why isn't
the calculation 87 minutes divided by 60, times 40 = 58 pages?

Note the small vertical line or "tick mark" within the selected block of audio.
This shows the recording was stopped, as during a recess. (Place your
cursor on the line at that point, and the recess start / end times are revealed
— in this example, they took a 20-minute recess.)

TRANSFERRING AUDIO FILES OVER THE INTERNET

Computer files are commonly emailed over the Internet. FTR 4-channel audio files,
however, are quite large even after compression. Most Internet service providers
place restrictions on how much can be emailed in a file, often as little as 4MB or
so. Therefore, simply emailing 4-channel digital audio files is not practical.

Uploading / downloading large files onto the Internet via a website avoids that
restriction.
Section 10. Digital Transcribing 10-11

RECOMMENDATIONS

• A standard telephone ("dial-up") line transmits data quite slowly, and cannot be
recommended for audio file transfers.

• A TV cable connection is superior to dial-up because of its faster data transfer

rate. Unfortunately, as more and more of your neighbors join this cable service,
its speed may decrease noticeably.

• A DSL ("digital subscriber line") connection through your phone line also has a
fast data transfer rate, but remains unaffected if others in your neighborhood
obtain Internet connections. Unhappily, DSL is not available in all areas.

Those lines — (and remember, all three are literally wires!) — connect your
computer to an Internet service provider.

Internet Service Provider (ISP)

Whether you subscribe to AOL, Earthlink, or another company, Internet service

providers use specific data transmission rates for uploading and downloading.
More of their resources are devoted to download speed, as that's what most
people are doing — downloading stuff from the Internet. Thus, downloading often
zips along twice or even three times faster than uploading.

Downloading an hour-long file can take as little as 10 minutes. Uploading an

identical hour-long file can take up to 40 minutes. These figures vary, of course,
among service providers, and are also heavily dependent upon your own Internet
connection.

FTP Internet Transfer

Because digital 4-channel audio files are too large to simply email, FTP (File
Transfer Protocol) is one way to exchange audio files between computers via the
Net. This is not email. For example, your Web browser can make FTP requests to
download large programs you select from a Web page. There are many FTP
services that, for a fee, will let you upload / download large files.

www.fortherecord.com
FTR maintains a website that makes FTR audio and log notes available to
subscribers. By connecting to www.fortherecord.com, subscribers can upload and
download audio and log note files at their convenience.
10-12 Section 10. Digital Transcribing

TROUBLESHOOTING FOR DIGITAL TRANSCRIBERS

As these are software programs, there are no screws to tighten, knobs to fiddle
with, or other paraphernalia to work on. Rejoice that this list is so short.

Situation Possible Explanations

I'm not able to download the audio Examine the settings on your virus-
files assigned to me. checker OR your "firewall." Their
sensitivity levels may be rejecting the
incoming transmission as something
potentially dangerous.

I can't save the audio I've just Try using the buttons to the right of the
downloaded. time range display to move the right-hand
"half-diamond" indicator to the left just a
few seconds, then back all the way to the
right.

I seem to be "out-typing" the audio, Transfer the audio file from your CD-ROM
and it occasionally balks. I knew I drive directly to your hard drive, and load
was fast, but…. that audio instead of the one on the CD..
This will speed up access to the audio
file. Hard drives are many times faster
and more responsive than CD-ROM
drives.

I'm clicking on a time stamp, but Log Make sure these three elements match:
Notes is not linking to the audio.
Date of log = audio recording date,

Time stamp is included within audio, and

Location is the same on both.

SECTION 11. REFERENCES

Materials have been drawn from these sources, among other standard reference
works commonly available, and equipment manufacturers' technical specifications:

A Uniform System of Citation,

Harvard Law Review Association; Gannett House, Cambridge, MA

Black's Law Dictionary,

West Publishing Co., St. Paul, MN

Cases and Materials on Contracts,

John Edward Murray, Jr.; Bobbs-Merrill Co., Indianapolis, IN

Cases and Materials on Pleading and Procedure, State and Federal,

D.W. Louisell and G.C. Hazard, Jr.; Foundaton Press, Mineola, NY

The Elements of Style,

W. Strunk and E.B. White; MacMillan, New York, NY
[full text available on the Internet]

Encyclopædia Britannica,
University of Chicago Press, Chicago, IL

Federal Rules of Civil Procedure,

West Publishing Co., St. Paul, MN

The Torts Process,

J. Henderson and R. Pearson; Little, Brown & Co., Boston, MA