Burton v. R.J. Reynolds Tobacco Co.

203 F.R.D. 624, 2001 U.S. Dist. LEXIS 23295, 2001 WL 1433965
District Court, D. Kansas·Decided October 4, 2001·No. No. 94-2202-JWL·Published·Cited by 6 cases

Opinion

MEMORANDUM AND ORDER

O’HARA, United States Magistrate Judge.

I. INTRODUCTION.

From approximately 1950 until 1993, the plaintiff, David Burton, claims that he smoked Camel-brand cigarettes made by defendant R.J. Reynolds Tobacco Co. (Reynolds) and, to a lesser extent, Lucky Strike-brand cigarettes made by The American Tobacco Co. (American).1 Plaintiff claims in this products liability suit that as a result of his smoking defendants’ cigarettes, he developed peripheral vascular disease, which ultimately led to the amputation of both of his legs.

There are four pending motions. First, pursuant to Fed.R.Civ.P. 37, plaintiff has moved to sanction defendants for failing to provide sufficient initial disclosures pursuant to Fed.R.Civ.P. 26(a), and for not supplementing those disclosures appropriately pursuant to Fed.R.Civ.P. 26(e) (doc. 423). Second, plaintiff seeks leave to add one witness to his purportedly final witness list, and to take the deposition of that witness, namely, David Goerlitz, who is a former Reynolds advertising model (doc. 432). Third, plaintiff wishes to re-depose Reynolds’ former senior vice-president of research and development, G. Robert DiMarco, and to require Reynolds to show cause why it should not be held in civil contempt with regard to certain conduct during DiMarco’s first deposition on August 14, 2001 (doc. 433). Fourth, plaintiff seeks to compel further deposition testimony by Arnold Henson, former counsel for American’s parent corporation (doc. 450).

During the final pretrial conference in this case on September 28, 2001, the court inquired of counsel concerning the above-referenced motions. The court tentatively stated and explained its proposed rulings. The [626]*626court’s comments on the record during the pretrial conference are incorporated herein by reference. In that context, and as will be explained in more detail below, plaintiffs second motion (concerning witness Goerlitz) will be granted. The other motions will be denied.

II. Defendants’ Discoveiy Disclosures.

On September 1, 1994 (shortly after this case was filed), in accordance with an order entered by the Hon. John W. Lungstrum, District Judge (doc. 9), Reynolds and American filed their initial discovery disclosures pursuant to Rule 26(a)(1) (docs. 17 and 19, respectively). Consistent with the undersigned magistrate judge’s directive during a status conference on April 23, 2001 (doc. 386), Reynolds and American supplemented those disclosures pursuant to Rule 26(e) in May 2001 (see docs. 394 and 396, respectively).

The gist of the instant motion for sanctions is that defendants’ September 1994 and May 2001 disclosure pleadings, when compared and examined, clearly demonstrate that defendants “stonewalled” plaintiff during the protracted discovery phase of this case. On that basis, plaintiff now asks the court to “punish” defendants. Plaintiff requests that the court impose sanctions as follows: (1) prohibit defendants from utilizing at trial any information not identified in their initial disclosures; (2) inform the jury of defendants’ failure to meet their disclosure requirements; (3) require defendants to pay plaintiffs reasonable expenses (including attorneys’ fees) caused by the allegedly untimely disclosures; and/or (4) any other sanctions deemed appropriate by the court.

Plaintiff relies on Rule 37(c)(1), which provides:

A party that without substantial justification fails to disclose information required by Rule 26(a) ... is not, unless such failure is harmless, permitted to use as evidence at a trial ... any witness or information not so disclosed. In addition or in lieu of this sanction, the court, on motion and after affording an opportunity to be heard, may impose other appropriate sanctions. In addition to requiring payment of reasonable expenses, including attorneys’ fees caused by the failure, these sanctions may include any of the actions authorized under Rule 37(b)(2)(A), (B) and (C) and may include informing the jury of the failure to make the disclosure.

Under Fed.R.Civ.P. 37(a)(2)(A), a motion for sanctions based on a failure to make disclosures required by Rule 26(a) “must [i.e., shall] include a certification that the movant has in good faith conferred or attempted to confer with the party not making the disclosure in an effort to secure the disclosure without court action” (emphasis added). Further, this court’s rules provide:

The court will [i.e., shall] not entertain any motion to resolve a discovery dispute pursuant to Fed.R.Civ.P. 26 through 37 ... unless counsel for the moving party has conferred or made a reasonable effort to confer with opposing counsel concerning the matter in dispute prior to the filing of the motion. Every certification required by Fed. R. Civ. P ____ 37 and this rule related to the efforts of the parties to resolve discovery or disclosure disputes shall describe with particularity the steps taken by all counsel to resolve the issues, in dispute.
A “reasonable effort to confer” ... requires that the parties in good faith converse, confer, compare views, consult and deliberate, or in good faith attempt to do so.

D. Kan. Rule 37.2 (emphasis added).

Plaintiffs motion for sanctions is unaccompanied by any statement, let alone the required certification, concerning what efforts he or his attorneys made to resolve this dispute before involving the court. During the September 28, 2001 pretrial conference in this case, plaintiffs counsel conceded that his motion was not preceded by any attempt to confer. Without citing any authority, he argued that the circumstances of this case were unique and thus there was nothing to confer about, i.e., any such conference among counsel would have been futile, because in effect it was plaintiffs belief that the only complete remedy would include defendants reimbursing plaintiff for all of the substantial fees and expenses incurred in the prosecution of this case. The court respectfully disagrees. The [627]*627state of the record clearly precludes the court from even considering whether to grant plaintiff any relief. That is, the requirement that counsel confer about discovery disputes before filing such motions is mandatory under Fed.R.Civ.P. 37(a)(2)(A) and D. Kan. R. 37.2. Accordingly, plaintiffs motion for sanctions must be denied on that basis.

This case is approaching trial fairly soon. Lest plaintiff be inclined to re-file the instant motion after engaging in some token effort to resolve his previously stated complaints, the court will proceed to reach the merits of this motion.

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Burton v. R.J. Reynolds Tobacco Co., 203 F.R.D. 624, 2001 U.S. Dist. LEXIS 23295, 2001 WL 1433965 (D. Kan. 2001).

203 F.R.D. 624 (Burton v. R.J. Reynolds Tobacco Co.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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