Au New Haven, LLC et al v. YKK Corporation

Filing 975

MEMORANDUM OPINION & ORDER re: 920 MOTION to Quash Trial Subpoenas . filed by YKK Vietnam Co., Ltd., YKK (Thailand) Co., Ltd., Dalian YKK Zipper Co., Ltd., YKK Austria GMBH, YKK Korea Co., Ltd., YKK Fastening Products Sal es Inc., YKK Bangladesh Pte. Ltd., YKK France Sarl, YKK Hong Kong Ltd., P.T. YKK Zipper Indonesia, Shanghai YKK Zipper Co., Ltd., Shanghai YKK Trading Co. Ltd., YKK Canada, YKK (U.S.A.) Inc., YKK Metal Ve Plastik Urunleri Sanayi Ve Ticaret A.S., YKK Zipper (Shenzhen) Co., Ltd., YKK Taiwan Co., Ltd, YKK Italia S.P.A., OOO YKK a/k/a YKK Russia, YKK (UK) Ltd., YKK Corporation, YKK Canada Inc., YKK Deutschland GMBH. For the reasons explained above, Plaintiff's cross-motion is DENIED. The Clerk of Court is directed to terminate the motion pending at Dkt. No. 920. (Signed by Judge Gregory H. Woods on 5/2/2023) (rro)

Case 1:15-cv-03411-GHW-SN Document 975 Filed 05/02/23 Page 1 of 10

U NI T E D S T A T E S DI S T RI C T C O U R T
S O U T H E R N DI S T RI C T O F N E W Y O R K
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A U N E W H A V E N, L L C, et al.,
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Pl ai ntiffs,
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-a g ai nst :
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Y K K C O R P O R A TI O N, et al.,
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D ef e n d a nts . :
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G R E G O R Y H. W O O D S, U nit e d St at es Distri ct J u d g e:

US D C S D N Y
D OC U ME NT
E L E C T R O NI C A L L Y FI L E D
D O C #: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
D A T E FI L E D: 5 / 2 / 2 0 2 3

1: 1 5- c v -3 4 1 1 -G H W
M E M O R A N D U M O PI NI O N &
OR DER

T h e l at est c h a pt er i n t his l o n g -r u n ni n g c as e i n v ol v es a pr etri al dis p ut e a b o ut t h e us e of
wit n ess es. S p e cifi c all y, aft er Pl ai ntiff s A u N e w H a v e n, L L C a n d Tr ell e b or g Co at e d S yst e ms U S, I n c.
s er v e d s u b p o e n as o n t w o of D ef e n d a nts’ pr os p e cti v e wit n ess es f or t his c as e’s u p c o mi n g tri al,
D ef e n d a nts — Y K K C or p or ati o n a n d m a n y of its s u bsi di ari es — m o v e d t o q u as h t h os e s u b p o e n as.
Pl ai ntiffs c o n c e d e d t h at t h e s u b p o e n as w er e i n v ali d, b ut pi v ot e d vi a a cr oss- m oti o n t o a n e w
ar g u m e nt: t h at t his C o urt s h o ul d e x er cis e its p o w er u n d er t h e F e d er al R ul es of E vi d e n c e t o
pr e cl u d e D ef e n d a nts fr o m i ntr o d u ci n g t h e li v e t esti m o n y of wit n ess es t h at D ef e n d a nts will n ot
m a k e a v ail a bl e f or Pl ai ntiffs’ c as e -i n-c hi ef. B e c a us e gr a nti n g Pl ai ntiffs’ r e q u est c o ul d cr e at e a m or al
h a z ar d iss u e a n d l e a d t o tri al i n effi ci e n ci es, a n d b e c a us e t h e C o urt h as b ett er t o ols a v ail a bl e t o e ns ur e
t h at t h e j ur y h e ars pr o b ati v e e vi d e n c e at tri al, Pl ai ntiffs’ cr oss-m oti o n is D E NI E D.
I.

BACK GR O U N D
T h e C o urt r ef ers t h e r e a d er t o t h e C o urt’s pr e vi o us o pi ni o ns f or a c o m pl et e r e cit ati o n of t h e

f a cts. See D kt. N o. 1 7 1 , D kt. N o. 6 1 1 , D kt. N o. 7 9 4 , D kt. N o. 8 3 1 , D kt. N o. 9 1 8 , D kt. N o. 9 5 2.
T h e f a cts i n t his or d er ar e o nl y t h os e p arti c ul arl y p erti n e nt t o t h e p arti es’ c urr e nt dis p ut e.
Tri al i n t his c as e w as bif ur c at e d. See D kt. N o. 8 3 1. At t h e first tri al, w hi c h o c c urr e d i n
J a n u ar y 2 0 2 3, t h e j ur y w as t as k e d wit h i nt er pr eti n g a n a m bi g u o us p hr as e i n a li c e nsi n g a gr e e m e nt

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b et w e e n t h e p arti es. See D kt. N o. 9 1 8 (j ur y v er di ct f or m fr o m first tri al). T h e s e c o n d tri al, t o
d et er mi n e li a bilit y a n d d a m a g es i n t h e c as e, is s et t o b e gi n o n J ul y 3 1, 2 0 2 3. See D kt. N o. 9 5 2.
L e a di n g u p t o t h e first tri a l, d uri n g m ulti pl e c o nf er e n c es a n d h e ari n gs, t h e p arti es ar g u e d at
l e n gt h a b o ut w h et h er t h e C o urt c o ul d c o m p el t h e t esti m o n y a n d att e n d a n c e of D ef e n d a nts’
pr os p e cti v e wit n ess es . F or e x a m pl e, d uri n g a M a y 2 8, 2 0 2 0

h e ari n g o n t h e p arti es’ m oti o ns i n li mi ne,

Pl ai ntiffs att e m pt e d t o c o n vi n c e D ef e n d a nts t o m a k e wit n ess es o n D ef e n d a nts’ “ will -c all ” list, b ut
o utsi d e of t h e C o urt’s s u b p o e n a p o w er, a v ail a bl e f or Pl ai ntiffs’ c as e -i n-c hi ef. D kt. N o. 6 0 9 at
1 5: 1 0 – 1 6: 6. D ef e n d a nts r ef us e d t o d o s o a n d r e as o n e d t h at w hil e t h e wit n ess es w er e o n t h eir willc all list, D ef e n d a nts w er e “ n ot o bli g at e d t o c all a n y b o d y i n [t h eir] c as e u ntil [t h e y] s e e [ Pl ai ntiffs’]
c as e a n d w h at [t h e y] n e e d t o r e b ut. ” I d. at 1 6: 2 1 – 2 2. T h e C o urt a gr e e d a n d st at e d t h at “[t his C o urt]
w o n’t c o m p el [ D] ef e n d a nts t o c all [t h eir wit n ess es] if [ D ef e n d a nts] d o n’t wis h t o d o s o o n t h eir o w n
i niti ati v e. ” I d. at 1 7: 2 4 – 1 8: 1.
At t h e fi n al pr etri al c o nf er e n c e o n D e c e m b er 1 5, 2 0 2 2, t h e p arti es t o o k u p t h e s a m e iss u e.
I n dis c ussi n g t h eir a p pli c ati o n t o s e q u est er f a ct wit n ess es, Pl ai ntiffs c o m pl ai n e d a b o ut D ef e n d a nts’
el usi v e n ess ar o u n d w hi c h wit n ess es t h e y w o ul d c all a n d r e q u est e d t h at D ef e n d a nts m a k e t h eir
wit n ess es a v ail a bl e f or Pl ai ntiffs’ c as e -i n-c hi ef. D e c. 1 5, 2 0 2 2 Hr’ g Tr. at 5 1: 2 1 – 5 2: 2. D ef e n d a nts
i nsist e d t h at “[ a]s t o w h o will b e h er e, w h o w e’r e g oi n g t o c all, w e d o n’t k n o w at t his p oi nt . . .
b e c a us e a l ot d e p e n ds o n t h e c as e [ Pl ai ntiffs] p ut i n. ” I d. at 5 4: 1 1 – 1 4. T h e C o urt c o m m e nt e d t h at
D ef e n d a nts “ h a v e f ull l atit u d e t o ass ess t h e c as e i n c hi ef t h at’s b e e n pr es e nt e d b y t h eir a d v ers ar y a n d
t h e n t o d et er mi n e w h at t h e n at ur e of t h e e vi d e n c e t h at t h e y wis h t o pr es e nt will b e.” I d. at 5 9: 5 – 8.
T h us, t h e C o urt w o ul d n ot “ dir e ct[ ] [ D] ef e n d a nts t o d o a n yt hi n g i n p arti c ul ar. ” I d. at 5 9: 2 1 -2 2. At
t h e first tri al, a n d aft er wit n essi n g Pl ai ntiffs’ c as e -i n-c hi ef, D ef e n d a nts ulti m at el y d e ci d e d t o c all o nl y
Y K K C or p or ati o n C h air m a n M as a y u ki S ar u m ar u — a n d n ot a n y ot h er m a y -c all or will -call
wit n ess es —t o t h e st a n d.

See D kt. N o. 9 4 9 ( “ D efs’ O p p .”) at 8.
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T h e pr o c e d ur al hist or y of t his m oti o n ori gi n at e d wit h Pl ai ntiffs’ att e m pt o n J a n u ar y 2 5,
2 0 2 3 — d uri n g t h e first tri al —t o s er v e tri al s u b p o e n as o n Mr. S ar u m ar u a n d T err e n c e M c C ull o u g h, a
S al e s E n gi n e eri n g M a n a g er at Y K K ( U S A) I n c . a n d Y K K’s c or p or at e r e pr es ent ati v e at tri al. See D kt.
N o. 9 4 4 ¶ 3. Aft er t h e first tri al c o n cl u d e d, D ef e n d a nts m o v e d t o q u as h t h e s u b p o e n as, ar g ui n g t h at
M essrs. S ar u m ar u a n d M c C ull o u g h w er e o utsi d e of t h e C o urt’s s u b p o e n a p o w er u n d er F e d er al R ul e
of Ci vil Pr o c e d ur e 4 5( c). D kt. N o. 9 2 0; see D kt. N o. 9 2 1 ( m e m or a n d u m i n s u p p ort). Pl ai ntiffs
a d mitt e d t h at t h e y c o ul d n ot s u p p ort t h e v ali dit y of t h e s u b p o e n as a n d wit h dr e w t h e m. D kt. N o.
9 4 3 ( “ Cr oss- M oti o n ”) at 1. B ut t h e y als o cr oss- m o v e d, u n d er F e d er al R ul e of E vi d e n c e 6 1 1( a), t o
“ pr e cl u d e [ D ef e n d a nts] fr o m i ntr o d u ci n g li v e t esti m o n y of a n y wit n ess es t h at [ D ef e n d a nts] r ef us e[ ]
t o pr o d u c e t o t estif y li v e as p art of [ Pl ai ntiffs’] c as e-i n-c hi ef .” I d. at 1, 4. D ef e n d a nts o p p os e d t h e
cr oss- m oti o n, ar g ui n g t hat it s h o ul d b e d e ni e d as a n “ u nti m el y m oti o n f or r e c o nsi d er ati o n ” u n d er
L o c al R ul e 6. 3 a n d as a n att e m pt t o cir c u m v e nt R ul e 4 5( c). D efs’ O p p . at 2. Pl ai ntiffs r e pli e d t o
D ef e n d a nts’ o p p ositi o n. D kt. N o. 9 5 3 ( “ R e pl y ”).
II.

DI S C U S SI O N
B e c a us e Pl ai ntiffs’ ar g u m e nt a b o ut D ef e n d a nts’ wit n ess es is disti n ct fr o m t h os e pr e vi o usl y

pr es e nt e d t o or e x a mi n e d b y t h e C o urt, Pl ai ntiffs’ cr oss- m oti o n d o es n ot r e pr es e nt a m oti o n f or
r e c o nsi d er ati o n. B ut b e c a us e gr a nti n g Pl ai ntiffs’ cr oss- m oti o n c o ul d u n d er mi n e t h e dis c o v er y
pr o c ess a n d l e a d t o tri al i n effi ci e n ci es, a n d b e c a us e t h e C o urt c a n ot h er wis e e ns ur e t h at pr o b ati v e
e vi d e n c e is pr es e nt e d t o t h e j ur y, Pl ai ntiffs’ cr oss - m oti o n will b e d e ni e d.
A．

M oti o n for R e c o n si d er ati o n

Pl ai ntiffs’ cr oss- m oti o n is n ot a m oti o n f or r e c o nsi d er ati o n b e c a us e it r ais es a disti n ct iss u e
t h at t h e C o urt h as n ot e x a mi n e d i n pr e vi o us pr o c e e di n gs. O nl y iss u es pr e vi o usl y liti g at e d a n d
d e ci d e d ar e s u bj e ct t o m oti o n s f or r e c o nsi d er ati o n. See Pil ki ngto n N. A., I nc. v. Mits ui S u mito mo I ns. Co.
of A m., 4 6 0 F. S u p p. 3 d 4 8 1, 5 0 1 ( S. D. N. Y. 2 0 2 0) (r ef usi n g t o tr e at a p art y’s m oti o n as a m oti o n f or
3

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r e c o nsi d er ati o n u n d er R ul e 5 9 b e c a us e t h e c o urt h a d n ot pr e vi o usl y e x a mi n e d t h e iss u e r ais e d).
D ef e n d a nts ar g u e t h at Pl ai ntiffs’ m oti o n t o pr e cl u d e t esti m o n y u n d er F e d er al R ul e of E vi d e n c e
6 1 1( a) is a m oti o n f or r e c o nsi d er ati o n of t h e C o urt’s pri or or d ers d e cli ni n g, u n d er F e d er al R ul e of
Ci vil Pr o c e d ur e 4 5( c), t o c o m p el t h e att e n d a n c e or p arti ci p ati o n at tri al of s o m e of D ef e n d a nts’
wit n ess es. See D efs’ O p p. at 6 – 8; see also, e.g., D kt. N o. 6 0 9 at 1 7: 2 4– 1 8: 1 (t his C o urt st ati n g t h at it
w o ul d n ot c o m p el D ef e n d a nts t o c all a n y p arti c ul ar wit n ess es) .
B ut t h e C o urt’s p o w er t o c o m p el wit n ess att e n d a n c e u n d er R ul e 4 5( c) pr es e nts a disti n ct
iss u e fr o m its p o w er t o c o ntr ol t h e pr es e nt ati o n of e vi d e n c e a n d wit n ess es u n d er R ul e 6 1 1( a) — a n d,
s p e cifi c all y, fr o m its p o w er t o pr e cl u d e D ef e n d a nts fr o m c alli n g c ert ai n wit n ess es if t h e y d e cli n e t o
m a k e t h e m a v ail a bl e t o Pl ai ntiffs . See B uc h w al d v. Re nco Gr p., I nc., N o. 1 3 -c v -7 9 4 8, 2 0 1 4 W L 4 2 0 7 1 1 3,
at * 2 ( S. D. N. Y. A u g. 2 5, 2 0 1 4) ( N at h a n, J.) (r e c o g ni zi n g t h e c o urt’s p o w er t o c o m p el wit n ess
t esti m o n y at tri al pr es e nts a “ v er y diff er e nt iss u e ” fr o m “ a c o urt’s a ut h orit y t o c o ntr ol t h e t esti m o n y
of wit n ess es w h o will alr e a d y b e at tri al ”) ; Iorio v. Alli a n z Life I ns. Co., N o. 0 5-c v -6 3 3, 2 0 0 9 W L
3 4 1 5 6 8 9, at * 2 – 6 ( S. D . C al. O ct. 2 1, 2 0 0 9) ( q u as hi n g, u n d er R ul e 4 5( c), pl ai ntiffs’ s u b p o e n as t o
c o m p el att e n d a n c e of c ert ai n of d ef e n d a nts’ wit n ess es, b ut n o n et h el ess gr a nti n g pl ai ntiffs’ r e q u est t o
pr e cl u d e d ef e n d a nts’ fr o m usi n g li v e t esti m o n y of t h os e wit n ess es if d ef e n d a nts r ef us e t o pr o d u c e
t h e m f or pl ai ntiffs’ c as e-i n-c hi ef); see also R e pl y at 1 ( Pl ai ntiffs h er e ar e “ n ot s e e ki n g t o co m pel t h e
t esti m o n y of a n y Y K K-affili at e d wit n ess es, b ut r at h er t o precl u de Y K K fr o m pr es e nti n g li v e a n y
wit n ess it will n ot m a k e a v ail a bl e f or [ Pl ai ntiffs’] c as e -i n-c hi ef ”).

W hil e t h e C o urt a d dr ess e d its

li mit e d p o w er t o c o m p el wit n ess att e n d a n c e u n d er R ul e 4 5( c) d uri n g t h e M a y 2 0 2 0 H e ari n g a n d
D e c e m b er 2 0 2 2 C o nf er e n c e, t h e C o urt h as n ot c o nsi d er e d t h e C o urt’s a ut h orit y u n d er R ul e 6 1 1( a).

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S ee D kt. N o. 6 0 9 at 1 7: 2 4 – 1 8: 1; D e c. 1 5, 2 0 2 2 Hr’ g Tr. at 5 9: 1 – 2 2. 1

As a r es ult, Pl ai ntiffs’ cr oss-

m oti o n is n ot a m oti o n f or r e c o nsi d er ati o n, a n d t h e C o urt will c o nsi d er it de novo .2
B.

Pr e cl u si o n of Wit n e s s e s’ Li v e T e sti m o n y

T h o u g h Pl ai ntiffs’ cr oss- m oti o n is n ot a m oti o n f or r e c o nsi d er ati o n, t h e C o urt n o n et h el ess
d e cli n e s t o gr a nt it. Pl ai ntiffs as k t h e C o urt t o pr e cl u d e D ef e n d a nts fr o m pr es e nti n g li v e t esti m o n y
of a n y wit n ess t h at D ef e n d a nts will n ot m a k e a v ail a bl e t o Pl ai ntiffs f or dir e ct e x a mi n ati o n d uri n g
Pl ai ntiffs’ c as e. See Cr oss- M oti o n at 4.

T o b e s ur e, t his C o urt — as ot h er c o urts b ot h i n t his Cir c uit

a n d els e w h er e h a v e r e c o g ni z e d — h as t h e a ut h orit y t o gr a nt t h at r e q u est . See B uc h w al d , 2 0 1 4 W L
4 2 0 7 1 1 3, at * 1 ( c oll e ct i n g c as es). T h at a ut h orit y st e ms fr o m F e d er al R ul e of E vi d e n c e 6 1 1( a), w hi c h
gr a nts tri al j u d g es p o w er o v er “t h e m o d e a n d or d er of i nt err o g ati n g wit n ess es a n d pr es e nti n g
e vi d e n c e s o as t o : ( 1) m a k e t h os e pr o c e d ur es eff e cti v e f or d et er mi ni n g t h e tr ut h; ( 2) a v oi d w asti n g
ti m e; a n d ( 3) pr ot e ct wit n ess es fr o m h ar ass m e nt or u n d u e e m b arr ass m e nt. ” F e d. R. E vi d. 6 1 1( a).
C o urts h a v e e x er cis e d t h eir dis cr eti o n u n d er t his r ul e t o “ pr e cl u d e p arti es w h o r ef us e t o h o n or a
r e as o n a bl e r e q u est f or pr o d u cti o n of a k e y wit n ess s u bj e ct t o t h eir c o ntr ol, a n d t h er e b y f or c e a n
o p p o n e nt t o us e a d e p ositi o n, fr o m c alli n g t h e wit n ess t o t estif y p ers o n all y d uri n g t h eir pr es e nt ati o n
of e vi d e n c e. ” I n re G ulf Oil / Cities Serv. Te n der Offer Litig., 7 7 6 F. S u p p. 8 3 8, 8 3 9 ( S. D.N. Y. 1 9 9 1)
( citi n g 1 M o or e’s F e d er al Pr a cti c e, M a n u al for Co m ple x Litig atio n 2 d § 2 2. 2 3 at 1 2 7 ( 1 9 8 6 e d.) ).
B ut t h at t h e C o urt h as t h e p o w er t o gr a nt Pl ai ntiffs’ r e q u est d o es n ot m e a n t h at t h e C o urt
o u g ht t o e x er cis e t h at p o w er. A n d t h e C o urt c o n cl u d es t h at gr a nti n g Pl ai ntiffs’ cr oss-m oti o n i n t his
c as e w o ul d b e u n wis e. As a n i niti al m att er, r o uti n el y gr a nti n g r e q u ests li k e Pl ai ntiffs’ h er e c o ul d
N or d o es t h e C o urt’s r uli n g o n a n a d v ers e wit n ess i nstr u cti o n, see D efs’ O p p. at 4, r e pr es e nt a r uli n g o n t h e iss u e
pr es e nt e d h er e.
2 T h e C o urt als o q u esti o ns w h et h er its c o m m e nts at t h e Ma y 2 0 2 0 H e ari n g or D e c e m b er 2 0 2 2 C o nf er e n c e c o ul d
pr o p erl y b e c o nsi d er e d “ a c o urt or d er d et er mi ni n g a m oti o n ” or a n “ or d er r es ulti n g i n a j u d g m e nt ” s u bj e ct t o t h e l o c al
r ul e o n r e c o nsi d er ati o n, or a n e nt er e d “j u d g m e nt ” s u bj e ct t o t h e a n al o g o us f e d er al r ul e. See S o ut h er n Distri ct of N e w
Y or k L o c al R ul e 6. 3; F e d. R. Ci v. P. 5 9( e). I n a n y e v e nt, b e c a us e Pl ai ntiffs’ m oti o n pr es e nts a disti n ct iss u e fr o m w hat
w as c o nsi d er e d at t h e Ma y 2 0 2 0 H e ari n g a n d D e c e m b er 2 0 2 2 c o nf er e n c es, it is n ot pr o p erl y vi e w e d as a m oti o n f or
r e c o nsi d er ati o n.
1

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cr e at e a m or al h a z ar d c o n c er ni n g t h e dis c o v er y a n d d e p ositi o n pr o c ess. “ M o d er n dis c o v er y r ul es
ar e m e a nt t o f a cilit at e ‘f air a n d e x p e diti o us pr e p ar ati o n of c as es.’ ” Sc hiller v. City of Ne w Yor k , N os.
0 4 -c v -7 9 2 1, 0 4 -c v -7 9 2 2, 2 0 0 8 W L 4 5 2 5 3 4 1, at * 5 ( S. D. N. Y. O ct. 9, 2 0 0 8) ( q u oti n g Die nst ag v.
Bro nse n , 4 9 F. R. D. 3 2 7, 3 2 9 ( S. D. N. Y. 1 9 7 0)); see also Hic k m a n v. T aylor , 3 2 9 U. S. 4 9 5, 5 0 0 ( 1 9 4 7)
( n oti n g t h at d e p ositi o ns a n d ot h er r el at e d dis c o v er y r ul es s er v e “( 1) as [ ] d e vi c e[s] . . . t o n arr o w a n d
cl arif y t h e b asi c iss u es b et w e e n t h e p arti es, a n d ( 2) as [ ] d e vi c e[s] f or as c ert ai ni n g t h e f a cts . . .
r el ati v e t o t h os e iss u es ”). A n d p arti es k n o w, s p e cifi c all y, t h at t h e y ar e s u bj e ct t o F e d er al R ul e of
Ci vil Pr o c e d ur e 4 5( c)’s li mit ati o ns s u c h t h at a co urt c a n c o m p el o nl y t h e att e n d a n c e of t h os e
wit n ess es w h o li v e, r esi d e, or r e g ul arl y tr a ns a c t b usi n ess wit hi n 1 0 0 mil es of t h e c o urt h o us e ( or, i n
li mit e d cir c u mst a n c es, t h os e w h o li v e, r esi d e, or r e g ul arl y tr a ns a ct b usi n ess i n t h e s a m e st at e as t h e
c o urt h o us e). F e d. R. Ci v. P. 4 5( c)( 1). As a r es ult, a p art y b e ari n g t h e b ur d e n of pr o of at tri al — li k e
Pl ai ntiffs h er e — m ust n or m all y b e pr e p ar e d t o m e et its b ur d e n wit h a c o m bi n ati o n of ( a) t h e
i nf or m ati o n it h as g at h er e d d uri n g dis c o v er y, ( b) wit n ess t esti m o n y it c a n e x p e ct t o us e c o nsist e nt
wit h R ul e 4 5( c), a n d ( c) a n y sti p ul at e d f a cts .
If c o urts w er e t o r o uti n el y a p pr o v e r e q u ests li k e Pl ai ntiffs’ h er e, b y c o ntr ast, p arti es w o ul d
b e i n c e nti vi z e d t o eit h er n ot t a k e d e p ositi o ns or n ot t a k e t h e m s eri o usl y; t h e y c o ul d i nst e a d r el y o n
R ul e 6 1 1( a) t o g et a c c ess t o t h e i n- p ers o n t esti m o n y of wit n ess es t h e y k n o w t h eir a d v ers ar y is li k el y
or c ert ai n t o c all at tri al. In t h at w a y, p arti es c o ul d f u n cti o n all y e v a d e t h e g e o gr a p hi c l i mits of R ul e
4 5 — w hi c h is w h at pr o v o k e d Pl ai ntiffs’ pi v o t h er e. It w o ul d e x c us e t h e p art y’s f ail ur e t o s e c ur e
t esti m o n y, t hr o u g h d e p ositi o ns, of wit n ess es w h o li v e f ar fr o m t h e c o urt h o us e . I n s o m e c as es, t h e
eff e ct c o ul d b e si g nifi c a nt, p arti c ul arl y if i n t h e a bs e n c e of t h e t esti m o n y a p art y c o ul d n ot m e et its
b ur d e n of pr o of a n d w o ul d l os e a R ul e 5 0 m oti o n at t h e cl os e of its c as e- i n-c hi e f. I n s h ort, if a p art y
c o ul d r el y o n R ul e 6 1 1( a) t o g u ar a nt e e a c c ess t o its a d v ers ar y’s wit n ess es at tri al as a m att er of

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c o urs e, t h e li mit ati o ns of R ul e 4 5 a n d t h e dis c o v er y pr o c ess c e ntr al t o m o d er n liti g ati o n c o ul d b e
si g nifi c a ntl y u n d er mi n e d.
T his c as e is a n e x e m pl ar. Dis c o v er y h er e w as e xtr a or di n aril y l e n gt h y . See , e.g., D kt . N o. 3 0
(i niti al c as e m a n a g e m e nt pl a n, s etti n g a d e a dli n e of J ul y 1, 2 0 1 6 f or t h e cl os e of f a ct dis c o v er y a n d
A u g ust 1 5, 2 0 1 6 f or t h e cl os e of e x p ert dis c o v er y); D kt. N o. 2 1 8 ( aft er s e v er al e xt e nsi o ns, f urt h er
e xt e n di n g s o m e f a ct dis c o v er y t o J ul y 3 1, 2 0 1 7 — o v er a y e ar aft er t h e i niti al d e a dli n e — a n d e xt e n di n g
e x p ert dis c o v er y t o S e pt e m b er 1 5, 2 0 1 7 ( a d e a dli n e t h at w o ul d b e e xt e n d e d o n c e m or e t o l at e
S e pt e m b er 2 0 1 7)) . It w as als o r e o p e n e d t o all o w Pl ai ntiffs t o c o n d u ct f urt h er d e p ositi o ns aft er
D ef e n d a nts i m pr o p erl y wit h h el d c ert ai n d o c u m e nts. D es pit e t his a m pl e p eri o d t o c o n d u ct
d e p ositi o ns or ot h er wis e g e n er at e a d missi bl e e vi d e n c e , it h as b e e n a p p ar e nt f or s o m e ti m e t h at
Pl ai ntiffs

m a y n ot h a v e pr o p erl y l ai d t h e f o u n d ati o n f or all of t h e d o c u m e nts t h e y n o w s e e k t o

i ntr o d u c e at tri al. See, e.g. , D kt. N o. 6 3 2 ( d e n yi n g Pl ai ntiffs’ r e q u est t o r e o p e n dis c o v er y f or t h e
p ur p os e of c o n d u cti n g d e p ositi o ns t o est a blis h t h e f o u n d ati o n of c ert ai n d o c u m e nts); D kt. N o. 6 3 0
at 3 – 4 ( s h o wi n g t h at, d uri n g d e p ositi ons, Pl ai ntiffs w er e o n n oti c e t h at t h er e m a y b e f o u n d ati o n
iss u es wit h t h eir e vi d e n c e). Gr a nti n g Pl ai ntiffs’ m oti o n n o w w o ul d p ut D ef e n d a nts t o t h e c h oi c e of
( a) eit h er n ot c alli n g k e y wit n ess es or ( b) k n o wi n g t h at a n y c all e d wit n ess c o ul d b e us e d b y Pl ai ntiffs
i n t h eir c as e-i n- c hi ef t o fill g a ps i n Pl ai ntiffs’ d e v el o p m e nt of a d missi bl e e vi d e n c e d uri n g dis c o v er y.
T h e us e of t h e C o urt’s a ut h orit y u n d er R ul e 6 1 1( a) i n t his w a y w o ul d n ot b e f air, as Pl ai ntiffs’ ar g u e;
it w o ul d u nf airl y pr o vi d e o n e p art y t h e o p p ort u nit y t o c ur e d efi ci e n ci es i n t h e d e v el o p m e nt of c as e
f or tri al. T h e C o urt w o ul d ess e nti all y b e c o v eri n g f or Pl ai ntiffs’ t a cti c al err ors d uri n g t h e dis c o v er y
p eri o d — w hi c h is n ot t h e C o urt’s pr o p er r ol e.
A n d t h er e ar e ot h er c as e -s p e cifi c r e as o ns w h y t h e C o urt is disi n cli n e d t o gr a nt Pl ai ntiffs’
r e q u est. First, t h e br e a dt h of Pl ai ntiffs’ r e q u est diff ers fr o m c as es w h er e c o urts h a v e gr a nt e d si mil ar
m oti o ns u n d er R ul e 6 1 1( a). I n t h os e c as es — u nli k e h er e — a p art y w as r e q u esti n g a c o urt t o eit h er
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pr e cl u d e t h e t esti m o n y of or m a k e a v ail a bl e a s p e cifi e d s et of i d e ntifi e d wit n ess es.

T h e c or e

dis p ut e d iss u es m a d e it e as y f or t h e c o urt a n d p arti es t o d e d u c e w hi c h wit n ess es w o ul d h a v e t o b e
c all e d b y e a c h si d e. See, e.g., I n re G ulf Oil / Cities, 7 7 6 F. S u p p. a t 8 3 9 (i nt er pr eti n g R ul e 6 1 1( a) as
p ot e nti all y a p pl yi n g t o “ p arti es w h o r ef us e t o h o n or a r e as o n a bl e r e q u est f or pr o d u cti o n of a key
wit ness s u bject to t heir co ntrol ” ( e m p h asis a d d e d)); B uc h w al d , 2 0 1 4 W L 4 2 0 7 1 1 3, at * 1 (r e q uiri n g
d ef e n d a nts t o eit h er “ p er mit its o p p o n e nt t o dir e ctl y e x a mi n e ” “fi v e [i d e ntifi e d] wit n ess es ” t h at
d ef e n d a nts “i n di c at e[ d] t h at t h e y ‘ pr es e ntl y i nt e n d[ e d]’ t o c all ” a n d w h o w er e “ alr e a d y b e b e ari n g t h e
b ur d e n a n d e x p e ns e of tr a v eli n g t o N e w Y or k f or tri al, ” or ot h er wis e t o “r el y [t h e ms el v es] o n t h e
wit n ess[ es] d e p ositi o n t esti m o n y ”); M ar a n Co al Cor p. v. Societe Ge ner al De S urveill a nce S. A. , N o. 9 2-c v 8 7 2 8, 1 9 9 6 W L 1 1 2 3 0, at * 1 ( S. D. N. Y. J a n. 1 0, 1 9 9 6) ( pr e cl u di n g o n e p art y fr o m i ntr o d u ci n g t h e li v e
t esti m o n y of t w o i d e ntifi e d wit n ess es if t h e y w er e n ot pr o d u c e d t o t estif y li v e f or t h e ot h er p art y);
Iorio, 2 0 0 9 W L 3 4 1 5 6 8 9, at * 6 ( d oi n g t h e s a m e wit h r es p e ct t o ei g ht i d e ntifi e d wit n ess es). I n t h os e
c as es, b e c a us e t h er e w er e c ert ai n i d e ntifi e d wit n ess es w h o m c o ul d b e eit h er pr e cl u d e d fr o m
t estif yi n g or pr o d u c e d t o t h e ot h er p art y, t h e c o urts gr a nti n g t h e r e q u ests k n e w, at l e ast r o u g hl y, t h e
m a g nit u d e of t h e i m p a ct t h at t h eir or d er s w o ul d h a v e o n t h e p arti es a n d t h e tri al. H er e, b y c o ntr ast,
Pl ai ntiffs ’ h a v e as k e d t h e C o urt t o “ pr e cl u d e [ D ef e n d a nts] fr o m pr es e nti n g a ny li v e wit n ess it
wit h h ol ds fr o m [ Pl ai ntiffs] f or its c as e- i n- c hi ef. ” Cr oss-M oti o n at 4 ( e m p h asis a d d e d). As a r es ult,
wit h n eit h er p art y h a vi n g c o m mitt e d t o c all ( or n ot c all) a n y s p e cifi c wit n ess es, it is diffi c ult t o ass ess
t h e i m p a ct t h at gr a nti n g Pl ai ntiffs’ cr oss- m oti o n w o ul d h a v e at tri al — w hi c h m a k es t h e C o urt
r el u ct a nt t o gr a nt Pl ai ntiffs’ r e q u est .
S e c o n d, gr a nti n g Pl ai ntiffs’ cr oss-m oti o n

w o ul d li k el y l e a d t o pr a cti c a l i n effi ci e n ci es at tri al.

T his tri al, as t h e p arti es ar e a w ar e, i m pli c at es m ulti pl e t o pi cs, a n d c ert ai n wit n ess es m a y h a v e
k n o wl e d g e of m or e t h a n o n e of t h e m. As a r es ult, t h e C o urt d o es n ot b eli e v e t h at it c o ul d str u ct ur e
tri al effi ci e ntl y c o nsist e nt wit h Pl ai ntiffs’ r e q u est. F or i nst a n c e, su p p os e a c ert ai n wit n ess h as
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k n o wl e d g e of “ T o pi c A ” a n d “ T o pi c B. ” S u p p os e f urt h er t h at, d uri n g t h eir c as e- i n-c hi ef, Pl ai ntiffs
c h o os e o nl y t o q u esti o n t h at wit n ess a b o ut T o pi c A . A n d fi n all y, s u p p os e t h at D ef e n d a nts wis h t o
eli cit t esti m o n y fr o m t his wit n ess a b o ut T o pi c B. T h e C o urt w o ul d b e l eft wit h t w o o pti o ns, n eit h er
of w hi c h w o ul d b e effi ci e nt. T h e C o urt c o ul d li mit D ef e n d a nts’ cr oss -e x a mi n ati o n of t h e wit n ess
d uri n g Pl ai ntiffs’ c as e- i n-c hi ef t o T o pi c A a nd h a v e D ef e n d a nts’ r e -c all t h e wit n ess d uri n g t h eir c as e i n-c hi ef t o dis c uss T o pi c B. B ut t h at s c e n ari o w o ul d r e q uir e c alli n g a wit n ess t wi c e, w hi c h — gi v e n
t h at a l e n gt hy tri al is alr e a d y li k el y—t h e C o urt wis h es t o a v oi d. As a n alt er n ati v e, t h e C o urt c o ul d
p er mit D ef e n d a nts, d uri n g Pl ai ntiffs’ cas e- i n- c hi ef, t o n ot o nl y cr oss-e x a mi n e t h e wit n ess a b o ut
T o pi c A, b ut als o t o c o n d u ct dir e ct e x a mi n ati o n a b o ut T o pi c B. Cf. B uc h w al d , 2 0 1 4 W L 4 2 0 7 1 1 3, at
* 2 ( a d o pti n g t his a p pr o a c h i n w h at a p p e ars t o h a v e b e e n a l ess c o m pl e x c as e b y h a vi n g “ e a c h
wit n ess ” “t a k e t h e st a n d o nl y o n c e, ” a n d all o wi n g pl ai ntiff a n d d ef e n d a nts t o “ eli cit t esti m o n y f or
t h eir c as es i n c hi ef ”). B ut w hil e t h at str u ct ur e w o ul d a v oi d h a vi n g t o c all t h e wit n ess t wi c e, it w o ul d
h a v e t h e eff e ct of m o vi n g m u c h of D ef e n d a nts’ affir m ati v e c as e i nt o Pl ai ntiffs’ c as e -i n-c hi ef, w hi c h
c o ul d b e b ot h u nf air t o Pl ai ntiffs a n d c o nf usi n g t o t h e j ur y.
T his c o n c er n is f ar fr o m h y p ot h eti c al.

Mr. S ar u m ar u, f or i nst a n c e, is a wit n ess w h o m t h e

C o urt e x p e cts h as k n o wl e d g e o n m ulti pl e t o pi cs r el e v a nt t o t h e tri al. S o str u ct uri n g his t esti m o n y —
if t h e C o urt gr a nt e d Pl ai ntiffs’ m oti o n a n d D ef e n d a nts c h os e t o p ut hi m o n t h e st a n d — w o ul d l e a d
t o t h e i n effi ci en ci es j ust d es cri b e d.

M or e o v er, t h e C o urt e x p e cts t h at Pl ai ntiffs w o ul d us e a n y

o p p ort u nit y t o q u esti o n wit n ess es d uri n g t h eir c as e- i n-c hi ef t hat ar os e fr o m t his or d er as a s u p ple me nt
to, r at h er t h a n a re pl ace me nt for, t h e d e p ositi o n t esti m o n y t h at t h e y h a v e alr e a d y o bt ai n e d. T h at r e alit y
si g n als a n ot h er p ot e nti al i n effi ci e n c y t h at c o ul d r es ult fr o m gr a nti n g Pl ai ntiffs’ m oti o n, a n d f urt h er
c o u ns els a g ai nst d oi n g s o.
T hir d a n d fi n all y, t his r es p o ns e t o Pl ai ntiffs’ m oti o n d o es n ot u n d er mi n e t h e tr ut h-fi n di n g
f u n cti o n of t h e tri al. Pl ai ntiffs will b e a bl e t o cr oss-e x a mi n e a n y wit n ess es c all e d b y D ef e n d a nts.
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T h e y will h a v e t o o p p ort u nit y t o e x a mi n e t h e m wit h r es p e ct t o t h eir dir e ct t esti m o n y. A n d u n d er
F e d er al R ul e of E vi d e n c e 6 1 1( b), w hil e “[ c]r oss - e x a mi n ati o n s h o ul d n ot g o b e y o n d t h e m att ers of
dir e ct e x a mi n ati o n a n d m att ers aff e cti n g t h e wit n ess’s cr e di bilit y, ” “[t] h e c o urt m a y all o w ” —i n its
dis cr eti o n — “i n q uir y i nt o a d diti o n al m att ers as if o n di r e ct e x a mi n ati o n. ” F e d. R. E vi d. 6 1 1( b); see
also R e pl y at 6 n. 3 ( n oti n g t h e C o urt’s a bilit y t o p er mit cr oss -e x a mi n ati o n b e y o n d t h e s c o p e of dir e ct
e x a mi n ati o n). T h e C o urt r e c o g ni z es t h e p ossi bilit y t h at D ef e n d a nts m a y c h o os e, i n t h eir c as e -i nc hi ef, n ot t o eli cit i nf or m ati o n fr o m t h eir wit n ess es t h at is cr u ci al t o t h e j ur y’s e v al u ati o n of t h e
iss u es pr es e nt e d. T o t h e e xt e nt t h at t his h a p p e ns, it c o ul d j ustif y t h e C o urt p er mitti n g Pl ai ntiffs, i n
e x a mi ni n g D ef e n d a nts’ wit n ess es d uri n g D ef e n d a nts’ c as e -i n-c hi ef, t o e n g a g e i n i n q uir y i nt o t h os e
cr u ci al m att ers b e y o n d t h e s c o p e of D ef e n d a nts’ dir e ct e x a mi n ati o n . See M ar a n , 1 9 9 6 W L 1 1 2 3 0 at
* 2 ( n oti n g t h e i m p ort a n c e of h e ari n g “t h e t esti m o n y of [ c ert ai n] wit n ess es ” t h at w as “ criti c al t o t h e
j ur y’s u n d erst a n di n g of t h e iss u es ”). All o wi n g Pl ai ntiffs t o eli cit k e y t esti m o n y t his w a y — r at h er t h a n
b y p ot e nti all y h a vi n g a c c ess t o D ef e n d a nts’ wit n ess es d uri n g t h eir o w n c as e -i n-c hi ef t o b olst er t h eir
cl ai ms b ef or e R ul e 5 0 m oti o n pr a cti c e at t h e cl os e of t h eir c as e-i n-c hi ef — is b ot h m or e effi ci e nt t h a n
t h e alt er n ati v e a n d eli mi n at es t h e m or al h a z ar d i d e ntifi e d b y t h e C o urt a b o v e.
III.

C O N C L U SI O N
F or t h e r e as o ns e x pl ai n e d a b o v e, Pl ai ntiffs’ cr oss- m oti o n is D E NI E D . T h e Cl er k of C o urt

is dir e ct e d t o t er mi n at e t h e m oti o n p e n di ng at D kt. N o. 9 2 0.
S O O R D E R E D.
D at e d: M a y 2, 2 0 2 3
N e w Y or k, N e w Y or k

_____________________________________
G R E G O R Y H. W O O D S
U nit e d St at es Distri ct J u d g e

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