Sun Group U.S.A. Harmony City, Inc. v. CRRC Corporation LTD et al

Filing 219

Order by Magistrate Judge Sallie Kim granting 218 Administrative Motion for Letter of Rogatory.(sklc1, COURT STAFF) (Filed on 1/11/2022)

LETTER OF REQUEST
COMMISSION ROGATOIRE
Hague Convention of 18 March 1970 on the
Taking of Evidence Abroad in Civil or Commercial Matters
Convention de La Haye du 18 mars 1970 sur
l’obtention des preuves à l’étranger en matière civile ou commerciale

1.

Sender

2.

Central Authority of the
Requested State

Expéditeur

Autorité centrale de l’État requis

3.

Person to whom the executed
request is to be returned

Personne à qui les pièces constatant
l’exécution de la demande doivent être
renvoyées

4.

The Honorable Sallie Kim
United States Magistrate Judge
United States District Court of the Northern District
of California
Courtroom C—15th Floor
450 Golden Gate Ave.
San Francisco, CA 94102
United States of America
Central Authority of the People’s Republic of
China
Ministry of Justice of China
International Legal Cooperation Center (ILCC)
33, Pinganli Xidajie
Xicheng District
Beijing 100035
China
Tel: [phone]
Fax: [phone]
Email: [e-mail]
Frank Busch
Wagstaffe, von Loewenfeldt, Busch & Radwick
LLP
100 Pine Street, Suite 725
San Francisco, CA 94111 USA
Tel: [phone]
[e-mail]

Specification of the date by which the requesting authority requires receipt of the
response to the Letter of Request
Indiquer la date limite à laquelle l’autorité requérante désire recevoir la réponse à la commission
rogatoire

Date

As soon as practicable

Reason for urgency*

The requested materials are necessary to assist in
the resolution of ongoing litigation.

Date limite

Raison de l’urgence

In conformity with Article 3 of the Convention, the undersigned applicant has the honour to submit
the following request:
En conformité de l’article 3 de la Convention, le requérant soussigné a l’honneur de présenter la demande
suivante :
5. a

Requesting authority
(Art. 3(a))
Autorité requérante
(art. 3(a))

Permanent Bureau July 2017

The Honorable Sallie Kim
United States Magistrate Judge
United States District Court of the Northern District
of California
Courtroom C—15th Floor
450 Golden Gate Ave.

San Francisco, CA 94102
United States of America
b

To the Competent Authority of
(Art. 3(a))

Central Authority of the People’s Republic of
China
Ministry of Justice of China
International Legal Cooperation Center (ILCC)
33, Pinganli Xidajie
Xicheng District
Beijing 100035
China
Tel: [phone]
Fax: [phone]
Email: [e-mail]

Names of the case and any
identifying number

Sun Group U.S.A. Harmony City, Inc. v. CRRC
Corporation LTD, Case No. 3:17-cv-02191-SK

À l’Autorité compétente de
(art. 3(a))

c

Nom de l’affaire et numéro
d’identification de l’affaire

6.

Names and addresses of the parties and their representatives (including representatives in
the Requested State*) (Art. 3(b))

Identité et adresse des parties et de leurs représentants (y compris représentants dans l’État requis) (art. 3(b))

a

Plaintiff

Demandeur

Representatives
Représentants

Sun Group U.S.A. Harmony City, Inc.
1523 O’Farrell Street
San Francisco, CA 94115
Andrew J. Mytelka
Joseph A.C. Fulcher
Joseph Russo
J. Scott Andrews
Greer, Herz & Adams LLP
One Moody Plaza, 18th Floor
Galveson, TX 77550 USA
Tel: [phone]
James M. Wagstaffe
Frank Busch
Wagstaffe, von Loewenfeldt, Busch & Radwick
LLP
100 Pine Street, Suite 725
San Francisco, CA 94111 USA
Tel: [phone]
[e-mail]

b

Defendant
Défendeur

Permanent Bureau July 2017

Gregory S. Smith
Law Offices of Gregory S. Smith
913 East Capitol Street, S.E.
Washington, D.C. 20003
Tel: [phone]
CRRC Corporation LTD.
No. 16 West 4th – Ring Mid Road,
Haidian District, Beijing
Zip Code: 100036
Tel: [phone]

Representatives
Représentants

Teresa Michaud
[e-mail]
Baker & McKenzie LLP
1901 Avenue of the Stars, Suite 950
Los Angeles CA 90067
Tel: [phone]

Other parties

Representatives

c

Colin H. Murray
[e-mail]
Alexander G. Davis
[e-mail]
Anne M. Kelts
[e-mail]
Baker & McKenzie LLP
Two Embarcadero Center, 11th Floor
San Francisco, CA 94111-3802
Tel: [phone]
No third parties are relevant to this request.
No third parties are relevant to this request.

Nature of the proceedings
(divorce, paternity, breach of
contract, product liability, etc.)
(Art. 3(c))

Plaintiff filed a civil action based upon breach of
contract on April 19, 2017

Summary of complaint

This is a breach of contract, commercial action.
Defendant CRRC and its predecessors retained
Sun Group to provide marketing, consultation, and
promotional services that Defendant needed to
break into the North American rail market. In
return for Sun Group’s services, Defendant
promised to pay Sun Group 6% cooperation
earnings on those rail contracts, as CRRC’s
exclusive/priority partner. Sun Group diligently
performed its obligations, and indeed was
instrumental in opening doors and removing
barriers for Defendant and its predecessors to
gain entry into the lucrative North American rail
market.
Sun Group’s assistance allowed
Defendant to secure numerous projects and
despite Defendant’s contractual obligation to pay
a cooperation earning of at least 6% on these
contracts (for more than $163 million total),
Defendant instead has paid Sun Group nothing.
Defendant now claims that Sun Group’s
long-time and successful work entitles it to no
money from Defendant.
Defendant’s positions, among others, are
that (1) the terms of the agreement are clear that
Sun Group agreed to bear its own expenses for all
of its activities and was entitled to cooperation

Autres parties

Représentants

7. a

b

c

Nature et objet de l’instance (divorce,
filiation, rupture de contrat,
responsabilité du fait des produits,
etc.) (art. 3(c))
Exposé sommaire de la demande

Summary of defence and
counterclaim*

Exposé sommaire de la défense ou
demande reconventionnelle

Permanent Bureau July 2017

d

Other necessary information or
documents*

earnings only if, among other things, defendant
won a contract to build high-speed rail cars for the
California High-Speed Rail Project, which did not
occur; (2) the agreement does not provide Sun
Group any exclusive representation rights or rights
of first refusal for any rail projects other than
building high-speed long distance rolling stock for
the California High-Speed Rail Project; and (3)
Defendant CRRC Corporation Ltd. Is not as a
matter of California law the legal alter ego of
U.S.A.-based CRRC-MA Corporation.
Please see the enclosed Exhibit A.

Autres renseignements ou documents
Utiles

8. a

Evidence to be obtained or
other judicial act to be
performed (Art. 3(d))

Actes d’instruction ou autres actes
judiciaires à accomplir (art. 3(d))

b

Purpose of the evidence or
judicial act sought
But des actes à accomplir

The evidence requested herein by the Requesting
Court consists of sworn oral testimony by way of
deposition from Defendant’s corporate
representative relating to contracts and projects at
issue in this case, its corporate group structure, its
relationship to its subsidiaries, and other related
matters relevant to the litigation of this action.
The purpose of the requested evidence (sworn
deposition testimony) is for use during pre-trial
and in the trial of these matters. The evidence is
relevant to the parties’ claims and defenses as it
will assist the Court in determining whether the
contract between Sun Group and Defendant
applies to the projects obtained by Defendant,
whether Defendant owes cooperation earnings to
Sun Group, whether Defendant’s subsidiaries are
its alter egos, whether Defendant used it
subsidiaries in violation of the covenant of good
faith and fair dealing, and other issues.
Therefore, the Requesting Court seeks assistance
for this ongoing proceeding via this Letter of
Request.
If any portion of this Request is deemed to be
unacceptable under the laws of China please
advise which portions are unacceptable and
please comply with as much of the Request as is
legally permissible.

9.

Identity and address of any
person to be examined
(Art. 3(e))*

CRRC’s designated corporate representative.

Questions to be put to the
persons to be examined or
statement of the subject matter
about which they are to be
examined (Art. 3(f))*

The subject matter on which Defendant’s witness
will be examined are described within the topics
attached hereto in Exhibit A.

Identité et adresse des personnes à
entendre (art. 3(e))

10.

Questions à poser ou faits sur
lesquels les personnes susvisées
doivent être entendues (art. 3(f))

Permanent Bureau July 2017

11.

Documents or other property to
be inspected (Art. 3(g))*

Not applicable for this request.

Any requirement that the
evidence be given on oath or
affirmation and any special
form to be used (Art. 3(h))*

The Requesting Court respectfully requests that prior to the
beginning of testimony, the witness be administered an oath
swearing that the oral testimony given will be the truth, the
whole truth, and nothing but the truth.

Special methods or procedure
to be followed (e.g., oral or in
writing, verbatim transcript or
summary, cross-examination,
etc.) (Arts 3(i) and 9)*

The Requesting Court respectfully requests that
the Chinese court conduct the deposition
according to Plaintiff’s preferred format: (1)
performed orally in a question/answer format by
counsel and witness after opening questions for
each topic are asked by the PRC Judge; (2)
Plaintiff’s counsel be allowed to appear and ask
follow up questions in English via a videoconference platform with a time frame of at least 8
hours with an interpretor for the deposition; (3)
deposition of the witness is taken under sworn
oath to testify truthfully; (4), a verbatim full
transcript be transcribed of the deposition and the
deposition be video recorded; if video recording is
not acceptable that Plaintiff’s counsel be allowed
to record the deposition through the selected
remote video-conference platform (5) Exhibits are
allowed to be used and Plaintiff’s counsel is
allowed to ask questions related to the exhibits;
(6) Defendant’s witness must prepare for the
subject matter of the deposition topics pursuant to
Federal Rule of Civil Procedure Rule 30(b)(6).

Request for notification of the
time and place for the
execution of the Request and
identity and address of any
person to be notified (Art. 7)*

The Requesting Court respectfully requests that it
be informed of the place, date and time for the
execution of the Letter of Request. It is requested
that this information be sent directly to the parties’
legal counsel, as listed above, with a copy to the
Requesting Court.

Request for attendance or
participation of judicial
personnel of the requesting
authority at the execution of the
Letter of Request (Art. 8)*

Not applicable for this request.

Documents ou objets à examiner (art.
3(g))

12.

Demande de recevoir la déposition
sous serment ou avec affirmation et,
le cas échéant, indication de la
formule à utiliser (art. 3(h))

13.

Formes spéciales demandées
(déposition orale ou écrite, procèsverbal sommaire ou intégral, “crossexamination”, etc.) (art. 3(i) et 9)

14.

Demande de notification de la date et
du lieu de l’exécution de la requête, de
l’identité et de l’adresse de la ou des
personnes à informer (art. 7)

15.

Demande d’assistance ou de
participation des magistrats de
l’autorité requérante à l’exécution de
la commission rogatoire (art. 8)

Permanent Bureau July 2017

16.

Specification of privilege or
duty to refuse to give evidence
under the law of the Requesting
State (Art. 11(b))*

Under the laws of the United States, a witness has
a privilege to refuse to provide evidence if the
evidence discloses a confidential communication
between that witness and an attorney for that
witness that was made for the purpose of
obtaining legal advice. United States law also
recognizes a privilege against criminal selfincrimination.

The fees and costs incurred
which are reimbursable under
the second paragraph of Article
14 or under Article 26 of the
Convention will be borne by:*

The Requesting Court understands that any fees
and costs incurred in the execution of this Letter of
Request are reimbursable under the second
paragraph of Article 14 or under Article 26 of the
Hague Evidence Convention. These fees and
costs, if any, will be re-imbursed by Sun Group.
Any requests for reimbursement shall be sent to
Sun Group’s legal representatives, as listed
above.

Spécification des dispenses ou
interdictions de déposer prévues par
la loi de l’État requérant (art. 11(b))

17.

Les taxes et frais donnant lieu à
remboursement en vertu de l’article
14, alinéa 2 et de l’article 26 seront
réglés par :

Date of request

Date de la requête

05 November 2021

Signature and seal of the requesting
authority
Signature et sceau de l’autorité requérante

U.S. Magistrate Judge Sallie Kim

*Omit if not applicable / Ne remplir qu’en cas de nécessité

Permanent Bureau July 2017

EXHIBIT A TO HAGUE REQUEST 2
Sun Group U.S.A. Harmony City, Inc. v. CRRC Corporation Ltd., No. 3:17-cv-02191-SK, U.S.
District Court Northern District of California, San Francisco Division
INTRODUCTION
This is a request for an oral deposition to be taken under oath of a representative of CRRC
Corporation Ltd. (中国中车股份有限公司) that can testify on behalf of CRRC Corporation Ltd.
(中国中车股份有限公司) with respect to the subject matter described herein pursuant to Article
3 of the Convention on the Taking of Evidence Abroad in Civil or Commercial Matters. The
underlying action in U.S. federal court is a breach of contract and breach of implied warranty of
good faith and fair dealing action against Defendant, CRRC Corporation Ltd. (中国中车股份有
限公司), the successor entity to China CNR Corporation Limited (中国北车股份有限公司) and
CSR Corporation Limited, (中国南车股份有限公司). CRRC Corporation Ltd. (中国中车股份
有限公司) was formed as a merger between China CNR Corporation Limited (中国北车股份有
限公司) and CSR Corporation Limited, (中国南车股份有限公司) and expressly assumed all
existing contracts, nationally and internationally upon its formation on June 1, 2015.
Circumstances surrounding the formation of the various agreements at issue in this matter are
highly relevant to the claims asserted by the Plaintiff, as are questions concerning the corporate
structure of the Defendant and its subsidiaries/affiliates. The sworn deposition testimony
requested in this Hague Request 2 is the result of extensive discussions between the counsel for
the parties in the captioned litigation and the Defendant has affirmed that it will not object to
providing sworn oral testimony in its custody and control responsive, to the extent required by the
U.S. Federal Rules of Civil Procedure, to each of the requested subject matter topics identified
herein.
DEFINITIONS APPLICABLE TO THIS REQUEST DIRECTED TO DEFENDANT
1. “CRRC”, “YOU” and “YOUR” means CRRC Corporation Ltd. (中国中车股份有限公
司 ), individually, and collectively, including all predecessors (including China CNR
Corporation Limited (中国北车股份有限公司) and CSR Corporation Limited (中国南车
股 份 有 限 公 司 )), and all directors, officers, agents, representatives, employees,
consultants, attorneys, and other persons acting or purporting to act on its behalf.
2. “CRRC MA” means CRRC MA Corporation Ltd. individually, and collectively, including
without limitation its predecessors (including CNR MA Corporation), and all directors,

1

officers, agents, representatives, employees, consultants, attorneys, and other persons
acting or purporting to act on its behalf.
3. “CRRC SIFANG AMERICA” means CRRC Sifang America Inc. individually, and
collectively, including without limitation its predecessors (CSR America, Inc.) and all
directors, officers, agents, representatives, employees, consultants, attorneys, and other
persons acting or purporting to act on its behalf.
4. “CRRC QINGDAO SIFANG” means CRRC Qingdao Sifang Co., Ltd. (中车青岛四方机
车车辆股份有限公司) individually, and collectively, including without limitation its
predecessors, and all directors, officers, agents, representatives, employees, consultants,
attorneys, and other persons acting or purporting to act on its behalf.
5.

“CRC” means CRRC Changchun Railway Vehicles Co., Ltd. (中车长春轨道客车股份
有限公司), individually, and collectively, including without limitation its predecessors
(such as CNR Changchun Railway Vehicles Co., Ltd. (长春轨道客车股份有限公司), the
joint venture partner of China CNR Corporation Limited (中国北车股份有限公司) for
the formation of CNR MA Corporation ), and all directors, officers, agents ,representatives,
employees, consultants, attorneys, and other persons acting or purporting to act on its
behalf.

6. “TRC” means Tangshan Railway Vehicle Co., Ltd. (唐山轨道客车有限责任公司)
individually, and collectively, including without limitation its predecessors, and all
directors, officers, agents, representatives, employees, consultants, attorneys, and other
persons acting or purporting to act on its behalf.
7. “CRRC TANGSHAN” means CRRC Tangshan Co., Ltd. (中车唐山机车车辆有限公司)
individually, and collectively, including without limitation its predecessors, and all
directors, officers, agents, representatives, employees, consultants, attorneys, and other
persons acting or purporting to act on its behalf.
8. The “CRRC AFFILIATES & SUBSIDIARIES” means CRRC MA, CRRC SIFANG
AMERICA, CRRC QINGDAO SIFANG, TRC, CRC, and CRRC TANGSHAN.
2

9. “SUN GROUP” means Sun Group U.S.A. Harmony City, Inc., d/b/a Sun Group U.S.A.
(Translated in simplified Chinese characters as “美国太阳集团” or “太阳集团”) including
its directors, officers, agents, representatives, employees, consultants, attorneys,
subsidiaries, and affiliates.
10. The “2011 AGREEMENT” means the November 15, 2011 agreement entered into between
TRC and Sun Group entitled “Exclusive Sales Representation Agreement for California
High Speed Train Project” and attached as Exhibit 1 to Sun Group’s Third Amended
Complaint.
11. The “2013 COOPERATION AGREEMENT” means the October 18, 2013 agreement
entered into between TRC and Sun Group entitled “Cooperation Agreement for California
High Speed Train Project” and attached as Exhibit 2 to Sun Group’s Third Amended
Complaint.
12. The “2014 COOPERATION AGREEMENT” means the April 26, 2014 agreement entered
into between CNR Company Ltd. and Sun Group entitled “Cooperation Agreement” and
attached as Exhibit 5 to Sun Group’s Third Amended Complaint.
13. The “CRRC/SUN GROUP AGREEMENTS” means the 2011 AGREEMENT, the 2013
COOPERATION AGREEMENT, and the 2014 COOPERATION AGREEMENT.
14. The “CALIFORNIA HIGH SPEED RAIL PROJECT” means the development and
construction of California’s statewide high-speed rail system. This definition specifically
includes, but is not limited to, other rail systems interconnected with the high-speed rail
system or for which high-speed rail funds are utilized.
15. The “LOS ANGELES METRO CONTRACT” means the contract awarded to CRRC MA
in 2016 (and any additional contracts awarded thereafter) from the Los Angeles County
Metropolitan Transit authority and related to rolling stock. This definition specifically
includes the bidding process related to the contract.
16. The “BOSTON METRO TRAIN CONTRACT” means the contract awarded to CRRC MA
in 2014 (and any additional contracts awarded thereafter) from the Massachusetts
3

Department of Transportation and related to rolling stock. This definition specifically
includes the bidding process related to the contract.
17. The “PHILADELPHIA TRAIN CONTRACT” means the contract awarded to CRRC MA
in 2017 (and any additional contracts awarded thereafter) from the Southeastern
Pennsylvania Transportation Authority and related to rolling stock.

This definition

specifically includes the bidding process related to the contract.
18. The “MONTREAL TRAIN CONTRACT” means the contract awarded to CRRC
TANGSHAN in 2017 (and any additional contracts awarded thereafter) from the Agence
Metropolitaine de Transport Montreal and related to rolling stock.

This definition

specifically includes the bidding process related to the contract.
19. The “CHICAGO METRO TRAIN CONTRACT” means the contract awarded to CRRC
SIFANG AMERICA in 2016 (and any additional contracts awarded thereafter) from the
Chicago Transit Authority and related to rolling stock. This definition specifically includes
the bidding process related to the contract.
20. The “CRRC TRAIN CONTRACTS” means the LOS ANGELES METRO CONTRACT,
the

BOSTON

METRO

TRAIN

CONTRACT,

the

PHILADELPHIA

TRAIN

CONTRACT, MONTREAL TRAIN CONTRACT, and the CHICAGO METRO TRAIN
CONTRACT.
21. "DOCUMENT" is defined broadly to be given the full scope of that term contemplated in
Federal Rule of Civil Procedure 34, and includes all tangible things, all originals (or, if
originals are not available, identical copies thereof), all non-identical copies of a document,
all drafts of final documents, all other written, printed, or recorded matter of any kind, and
all other data compilations from which information can be obtained and translated if
necessary, that are or have been in your actual or constructive possession or control,
regardless of the medium on which they are produced, reproduced, or stored (including
without limitation, electronically stored information, electronic messages, computer
programs and files containing any requested information), and any recording or writing, as
4

these terms are defined in Rule 1001, Federal Rules of Evidence. Any document bearing
marks, including without limitation, initials, stamped initials, comments, or notations not
a part of the original text or photographic reproduction thereof, is a separate document.
22. “ELECTRONICALLY STORED INFORMATION” or “ESI” means electronic
information that is stored in a medium from which it can be retrieved and examined. It
includes, but it not limited to, all electronic files that are electronically stored in an
electronic storage medium.
23. “ELECTRONIC FILE” includes, but is not limited to, the following: e-mail messages and
files; voice-mail messages and files; text messages and files; deleted files; temporary files;
system-history files; Internet- or web-browser-generated information stored in textual,
graphical, or audio format, including history files, caches, and cookies; computer-activity
logs; metadata.
24. “ELECTRONIC STORAGE” refers to electronic files contained on magnetic, optical, or
other storage media, such as hard drives, flash drives, DVDs, CDs, tapes, cartridges, floppy
diskettes, smart cards, integrated-circuit cards (e.g. SIM cards), and flash drives.
25. "RELATES TO", "RELATING TO" and "RELATED TO" mean describing, discussing,
concerning, evidencing, reflecting, comprising, illustrating, containing, embodying,
constituting, analyzing, stating, identifying, referring to, dealing with, or in any way
pertaining to.
26. "COMMUNICATION" means any form of transmittal of information without limitation
as to means of transmittal, including documents, meetings, telephone conversations,
correspondence, electronic messages or ESI, memoranda, contracts, agreements, and
verbal or nonverbal actions intended to or actually conveying information.

5

SUBJECT MATTER TOPICS OF INQUIRY
1. The allegations contained in SUN GROUP’s Third Amended Complaint that were not dismissed
by the U.S. Court’s April 18, 2019 Order Granting in Part and Denying in Part CRRC’s Motion to
Dismiss.
2. The factual bases for the defenses and denials alleged in YOUR answer to this lawsuit.
3. The corporate history, ownership (including ownership stake in the CRRC entities referred to in
the Third Amended Complaint), structure and organizational chart of CRRC.
4. Contracts, interactions, and COMMUNICATIONS during years 2010-2013 between CRRC
and/or TRC and SUN GROUP, including any related DOCUMENTS.
5. Dr. Yu Weiping’s March 16, 2010 letter to Jonathan Sun of SUN GROUP, and its meaning as
understood by CRRC.
6. Any evaluations by CRRC of the benefits SUN GROUP’s provided to CRRC, either individually
or collectively over the years.
7. CRRC’s efforts, directly or indirectly, to enter and expand within North American rail markets,
including all companies with which CRRC claims it partnered with in such efforts.
8. The 2011 AGREEMENT, including, but not limited to: The negotiation of, terms used in, people
involved in negotiating, drafting, or implementing, drafts of, and/or any COMMUNICATIONS or
DOCUMENTS relating to the 2011 AGREEMENT.
9. The 2013 COOPERATION AGREEMENT, including, but not limited to: The negotiation of,
terms used in, people involved in negotiating, drafting, or implementing, drafts of, and/or any
COMMUNICATIONS or DOCUMENTS relating to the 2013 COOPERATION AGREEMENT..
10. The 2014 COOPERATION AGREEMENT, including, but not limited to: The negotiation of,
terms used in, people involved in negotiating, drafting, or implementing, drafts of, and/or any
COMMUNICATIONS or DOCUMENTS relating to the 2014 COOPERATION AGREEMENT.
6

11. The meetings held in New York, NY on or about April 24-26, 2014, including, but not limited to,
any discussions between SUN GROUP and CRRC.
12. Whether CRRC maintains that any of its subsidiaries or joint ventures were its “partners” in its
efforts to enter and expand within North American rail markets, or whether the involvement of
those subsidiaries or joint ventures in the North American rail markets represented CRRC utilizing
its “resources as an advantage” under the 2014 COOPERATION AGREEMENT.
13. Yu Weiping’s conversations with Jonathan Sun in year 2014 about SUN GROUP assisting CRRC
in advancing the interests and/or bidding efforts of its subsidiary, CRRC MA, in its efforts to win
the BOSTON METRO TRAIN CONTRACT.
14. All events surrounding the CRRC delegation sent to San Francisco on or about May 11-12, 2014
at the invitation of SUN GROUP, including all CRRC representatives who attended various events
that took place, and comments made by CRRC President Xi Guohua at these events organized by
SUN GROUP.
15. Information concerning the decision to create and incorporate CRRC MA as an entity inside the
United States, its officers and directors, its initial capital and how that was sufficient to the
BOSTON METRO TRAIN CONTRACT, any financial guarantees and/or loans made by CRRC
on behalf of or to assist CRRC MA in its MBTA bidding, and any transfers of assets or liabilities
between CRRC MA and CRRC, in 2014 or later.
16. The names and titles of corporate officers or directors of CRRC who also served as corporate
officers or directors of CRRC MA between January 2014 and December 2017.
17. Any filings, submissions, and/or COMMUNICATIONS sent by CRRC to the MBTA, and any
meetings or COMMUNICATIONS any official at CRRC held with any public official involved in
the MBTA project in 2014 or later.

7

18. CRRC’s awareness, involvement or facilitation of efforts by CRRC MA to win the “BOSTON
METRO TRAIN CONTRACT”, and all information concerning how and why CRRC itself
publicly claimed credit, on its Social Responsibility Report or otherwise, for being awarded the
“BOSTON METRO TRAIN CONTRACT”.
19. Whether CRRC assumed CNR’s obligations under the 2014 Cooperation Agreement when CNR
and CSR merged to become CRRC.
20. Whether CRRC considered establishing a facility in Vallejo, CA in 2015, and CRRC Vice
President Yu Weiping’s announcement in September 2015 that CRRC’s subsidiary’s new facility
in Springfield, Massachusetts would serve as CRRC’s U.S. headquarters for seeking additional
U.S. business, with CRRC expected to double its overseas sales, and the U.S. described as a “huge
market”.
21. CRRC’s awareness, involvement or facilitation of efforts by CRRC MA to win the
PHILADELPHIA TRAIN CONTRACT, and all information concerning how and why CRRC
itself publicly claimed credit, on its Social Responsibility Report or otherwise, for being awarded
the PHILADELPHIA TRAIN CONTRACT.
22. All circumstances surrounding CRRC Director Zhang Xin’s September 27, 2016 email sent to
Jonathan Sun of SUN GROUP, including why this email was sent, whether anyone else was
involved in reviewing this email or making the decisions expressed therein, as well as the meaning
of its terms, including but not limited to who was CRRC’s unnamed “partner” on the New York
project, who was the “US company” referenced, and who were “our cooperation partners.”
23. CRRC’s awareness, involvement or facilitation of efforts by CRRC MA to win the LOS
ANGELES METRO CONTRACT, and all information concerning how and why CRRC itself

8

publicly claimed credit, on its Social Responsibility Report or otherwise, for being awarded the
LOS ANGELES METRO CONTRACT.
24. CRRC’s awareness, involvement or facilitation of efforts by CRRC SIFANG AMERICA to win
the CHICAGO METRO TRAIN CONTRACT, and all information concerning how and why
CRRC itself publicly claimed credit, on its Social Responsibility Report or otherwise, for being
awarded the CHICAGO METRO TRAIN CONTRACT.
25. CRRC’s awareness, involvement or facilitation of efforts by CRRC TANGSHAN to win the
MONTREAL TRAIN CONTRACT, and all information concerning how and why CRRC itself
publicly claimed credit, on its Social Responsibility Report or otherwise, for being awarded the
MONTREAL TRAIN CONTRACT.
26. Any direct or indirect involvement by CRRC in submitting bids for any of the CRRC TRAIN
CONTRACTS.
27. All COMMUNICATIONS and/or meetings between or among CRRC and SUN GROUP
regarding the CALIFORNIA HIGH SPEED RAIL PROJECT.
28. CRRC’s bidding efforts, whether directly or indirectly, related to the CRRC TRAIN
CONTRACTS.
29. All payments received by CRRC directly and/or indirectly, from the CRRC TRAIN
CONTRACTS.
30. All COMMUNICATIONS by CRRC with any public agencies regarding the CRRC TRAIN
CONTRACTS.
31. All COMMUNICATIONS within CRRC referencing Jonathan Sun or SUN GROUP.
32. Any and all drafts of the 2014 COOPERATION AGREEMENT.
33. The initial capitalization of CRRC MA.

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34. CRRC’s joint ventures involved with submitting bids for the CRRC TRAIN CONTRACTS.
35. CRRC’s ownership interests in the CRRC entities identified in the Third Amended Complaint.
36. Monetary or asset transfers related to any of the CRRC TRAIN CONTRACTS, including whether
and to what extent CRRC has received or will receive direct or indirect financial benefits from the
CRRC TRAIN CONTRACTS.
37. Any real property or other assets owned in the United States by CRRC, including but not limited
to any real property or assets held by any joint venture in which CRRC is a participant.
38. Any real property or other assets owned in the United States by CRRC MA.
39. Any loans or financial guarantees provided by CRRC to the CRRC entities identified in the Third
Amended Complaint related to the CRRC TRAIN CONTRACTS.
40. CRRC’s

process

for

preserving

and/or

collecting

information

(including

ESI),

COMMUNICATIONS, and/or DOCUMENTS related to this lawsuit, including but not limited to,
people involved in collecting materials responsive to Hague Request 1 and the methodologies
employed for preserving and collecting responsive materials..
41. Materials produced in response to Hague Request 1, including, but not limited to, the substance of
any COMMUNICATION or DOCUMENT produced, the identity of the sender/recipient/copied
individual on a piece of electronic mail, and/or the date the email was sent or received.
42. The process and specific means utilized by YOU to collect the ESI considered relevant to the
above captioned matter
43. The process and specific means utilized by YOU to process the ESI considered relevant to the
above captioned matter for privilege/responsiveness/relevance review.
44. The process and specific means utilized by YOU to collect the ESI considered responsive
to Plaintiff’s Hague Requests in the above captioned matter.

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