Scarminach v. Goldwell GmbH

140 Misc. 2d 103, 531 N.Y.S.2d 188, 1988 N.Y. Misc. LEXIS 359
CourtNew York Supreme Court
DecidedJune 22, 1988
StatusPublished
Cited by4 cases

This text of 140 Misc. 2d 103 (Scarminach v. Goldwell GmbH) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Scarminach v. Goldwell GmbH, 140 Misc. 2d 103, 531 N.Y.S.2d 188, 1988 N.Y. Misc. LEXIS 359 (N.Y. Super. Ct. 1988).

Opinion

OPINION OF THE COURT

David O. Boehm, J.

Whether discovery against a defendant, West German cor[104]*104poration, should proceed in accordance with the procedures of the Hague Convention on the Taking of Evidence Abroad in Civil or Commercial Matters (opened for signature, Mar. 18, 1970, 23 UST 2555, TIAS No. 7444 [hereinafter Hague Convention or Convention]) or New York’s Civil Practice Law and Rules, raises an issue of first impression, given the recent interpretation of the Convention by the United States Supreme Court in Societe National Industrielle Aerospatiale v United States Dist. Ct. (482 US 522, 107 S Ct 2542).

Plaintiff commenced this action to recover for personal injuries she sustained after receiving a hair permanent from defendant, Linda Condon, a hairdresser at the beauty salon of defendant, C.J. Betteridge, Ltd., on January 6, 1986. The permanent solution was manufactured by defendant, Goldwell GmbH, a corporation organized under the laws of the Federal Republic of Germany (West Germany) and marketed in this country and State by defendants, Goldwell International and Goldwell of New York, respectively.

On January 29, 1988 plaintiff served interrogatories, which included a demand for documents, upon Goldwell GmbH by service upon its American consul pursuant to the CPLR. After receipt of the interrogatories Goldwell GmbH brought this motion for a protective order to require plaintiff to employ the procedures of the Hague Convention. In addition, Goldwell GmbH also seeks a protective order prohibiting the other litigants in this action from disclosure of confidential proprietary information to third parties.

Plaintiff cross-moves to compel Goldwell GmbH to answer the interrogatories and satisfy the document requests, and to strike the first affirmative defense of Goldwell GmbH, which asserts lack of personal jurisdiction. The motion of Goldwell GmbH seeking resort to Hague Convention procedures is also opposed by defendant, Goldwell of New York.

Recently, in Societe Nationale Industrielle Aerospatiale v United States Dist. Ct. (482 US 522, 107 S Ct 2542, supra), the Supreme Court decided the question of the interplay between the Hague Convention and the Federal Rules of Civil Procedure, and concluded that the Convention was intended to establish an optional mechanism to facilitate the taking of evidence abroad (supra, 482 US, at —, 107 S Ct, at 2553). In so holding, the court rejected the argument that the Convention provides exclusive and mandatory procedures for obtaining documents and information located within the territory of a [105]*105foreign signatory to the treaty (supra, 482 US, at —, 107 S Ct, at 2548, 2550-2551), and also rejected the contention that first resort to Convention procedures is required whenever discovery is sought from a foreign litigant (supra, 482 US, at —, 107 S Ct, at 2550-2551, 2554-2555). "[T]he Convention was intended as a permissive supplement”, the court held, "not a preemptive replacement, for other means of obtaining evidence located abroad” (supra, 482 US, at —, 107 S Ct, at 2551), and was to be employed at the election of the trial court whenever it would facilitate the gathering of evidence (supra, 482 US, at —, 107 S Ct, at 2554).

In rejecting the argument that international comity required first resort to Convention procedures, the court stated that each case should be evaluated as to "the particular facts, sovereign interests, and likelihood that resort to those procedures will prove effective” (supra, 482 US, at —, 107 S Ct, at 2556) and, in supervising pretrial disclosure, courts should seek to minimize costs and inconvenience, and prevent improper uses of discovery requests (supra, 482 US, at —, 107 S Ct, at 2557). Regrettably, the court declined to set forth specific rules to guide such exercise of judicial discretion.

Prior to the Supreme Court’s decision in Aerospatiale (supra), two reported cases in this State considered the applicability of the Hague Convention. In Wilson v Lufthansa German Airlines (108 AD2d 393), where plaintiff was injured at John F. Kennedy International Airport, allegedly due to the negligence of defendant, Lufthansa, the court held that resort to Hague Convention procedures was not required, principally because the documents and information sought were probably located in New York where the accident occurred. In Green v Kautex Machs. (112 AD2d 21), where plaintiff sought to depose West German witnesses, the court held that the applicability of the Convention need not be considered because, inter alia, plaintiff did not seek to depose witnesses in Germany.

In this case, however, it is uncertain whether the information sought to be disclosed is located in the United States or West Germany. The attorney for Goldwell GmbH states that the documents requested are located in West Germany, and that the Goldwell GmbH officials who will respond to the interrogatories reside in West Germany. However, plaintiff is of the view that, due to the extensive marketing efforts by Goldwell GmbH in this country, many of the documents may be located in the United States. Given this uncertainty, combined with the fact that the discovery seeks information [106]*106regarding the manufacturing processes and marketing operations of Goldwell GmbH, it will be assumed that the evidence sought by the interrogatories is located in West Germany.

The first argument advanced by Goldwell GmbH is that the Aerospatiale decision is not controlling because that case dealt with the interaction of two Federal laws, whereas here, since State law only is involved, the Supremacy Clause of the United States Constitution (art VI, cl 2) causes the CPLR to be preempted by the Hague Convention.

Although State law must yield when it is inconsistent with the provisions of a treaty (United States v Pink, 315 US 203, 231), the CPLR is not inconsistent with the Hague Convention. As the Supreme Court pointed out in Aerospatiale (supra), the Convention was intended to establish an optional mechanism to facilitate the taking of evidence abroad. The preemption argument of Goldwell GmbH would require that the Convention procedures provide the exclusive, rather than an optional, method to obtain evidence abroad, a conclusion expressly rejected by the Supreme Court.

The same argument was also recently rejected by a Texas Court of Appeals, which stated: "Realtor is advocating an untenable position, asserting that a Federal treaty is binding on respondent, but that the Supreme Court’s interpretation of that treaty is not binding. In construing a treaty, however, this Court is duty bound to follow Supreme Court precedent. Federal supremacy in treaty-making would be ill-served by state courts following a different tack than the United States Supreme Court in the interpretation of a treaty” (Sandsend Fin. Consultants v Wood, 743 SW2d 364, 366 [Tex]).

Alternatively, Goldwell GmbH argues that plaintiff should be required to follow Convention procedures in the interests of international comity.

Before such an analysis is begun, however, it must be determined which party bears the burden of proof. The majority opinion in Aerospatiale (supra) is not entirely clear on this issue, and there is a split of authority in two subsequent Federal District Court opinions

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Bluebook (online)
140 Misc. 2d 103, 531 N.Y.S.2d 188, 1988 N.Y. Misc. LEXIS 359, Counsel Stack Legal Research, https://law.counselstack.com/opinion/scarminach-v-goldwell-gmbh-nysupct-1988.