United States v. International Business Machines Corp.

68 F.R.D. 315, 20 Fed. R. Serv. 2d 1097, 1975 U.S. Dist. LEXIS 11539
District Court, S.D. New York·Decided July 8, 1975·No. No. 69 Civ. 200 (DNE)·Published·Cited by 1 cases

Opinion

MEMORANDUM

EDELSTEIN, Chief Judge:

As revealed by the progress of this trial to date, and particularly by the examinations of Dr. Eckert and Mr. McDonald, there appears to exist a serious problem with respect to the productivity of the depositions taken in this case. Stated slightly differently, the problem concerns the degree to which the parties [316]*316have adhered to the basic purposes and functions of a deposition — discovery program as delineated by the Federal Rules and the courts. Of course, one may use the terms deposition and discovery interchangeably since, under the governing rules, the various discovery devices share the same purposes and objectives.

As evidenced by the many discovery decisions issued in this case, this court believes in a liberal application of the discovery rules. Thus both parties have been permitted to engage in a broad discovery program. The underpinning of this belief has been the principle that the parties, the court, and ultimately the public will all benefit from a complete and expeditious presentation of all the relevant and non-privileged facts of this ease. Toward this objective, the Federal Rules provide an elaborate discovery procedure. And since the rules attempt, where possible, to minimize judicial intercession, the proper functioning of that procedure relies heavily upon the conduct and cooperation of counsel. Recent experiences in this courtroom have compelled me to conclude, however, that the imposition of certain guidelines to structure and frame the additional deposition-discovery sought in this action is now desirable. These guidelines will help effectuate the essential purposes and functions of the deposition-discovery process.

The Advisory Committee’s Notes accompanying the 1946 amendments to Rule 26(b) revealed the broad objectives of discovery: “[t]he purpose of discovery is to allow a broad search for facts, the names of witnesses, or any other matters which may aid a party in the preparation or presentation of his case.” (Emphasis supplied.) These thoughts were echoed by the Supreme Court in the oft-cited case of Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947). Mr. Justice Murphy there stated that

The new rules . . . invest the deposition-discovery process with a vital role in the preparation for trial. The various instruments of discovery now serve (1) as a device, along with the pre-trial hearing under Rule 16, to narrow and clarify the basic issues between the parties, and (2) as a device for ascertaining the facts, or information as to the existence or whereabouts of facts, relative to those issues.

329 U.S. at 501, 67 S.Ct. at 388 (emphasis supplied). It is that latter purpose which must be emphasized — a device for ascertaining the facts. Indeed, the scope of discovery as articulated in Rule 26(b) is cast in terms of seeking information reasonably calculated to lead to the discovery of admissible evidence.

It appears that this principal foundation of discovery, searching for and obtaining those facts which will be useful for trial, has not been accorded the emphasis it deserves. When a witness is asked a question during the trial which was or should have been asked at his deposition (i. e., the question attempts to adduce evidence which counsel should have anticipated prior to trial he would want to place in the record) and in response to the question the witness states that he cannot answer but is capable of readily ascertaining the answer by resorting to his company’s records, it is clear that the “search for the relevant facts” was not at all furthered by that witness’ deposition. Instead, the “search” was delayed until trial — the precise occurrence pretrial discovery is designed to avoid.

This problem is particularly acute where, as here, many of the witnesses represent corporations. As a result, there is the constant threat that each witness will, while conceding that the answer to a question asked of him at trial lies within the corporation, state that he personally does not have the information. Finding out who does have the information so that that individual may be called to the stand is exactly what pretrial discovery is designed to accomplish. This is crystal clear from the principles underlying the rule governing [317]*317the taking of a corporation’s deposition, Fed.R.Civ.P. 30(b)(6). In short, this “merry-go-round” search for the facts is to be avoided at trial, if at all possible, and consigned instead to the pretrial discovery stages.

The general conduct of this trial to date suggests that another vital objective of pretrial discovery may have been disserved: the prevention of unnecessary delays during the course of the trial. As the Chief Judge of this Circuit has stated while on the trial bench “all agree that one of the prime purposes of the federal discovery procedure is to facilitate adequate pretrial preparation, and thereby to avoid subsequent delay at the trial.” United States v. Lever Brothers Co., 193 F.Supp. 254, 258 (S.D.N.Y. 1961), appeal dismissed, Mem., 371 U.S. 207, 83 S.Ct. 304, 9 L.Ed.2d269 (1962) (emphasis supplied).1 But we need not look to what other judges have said to learn that the prevention of delays at trial is a primary purpose of discovery. The very first rule of the rules of procedure directs us to construe those rules “to secure the just, speedy and inexpensive determination of every action.” Fed.R.Civ.P. 1.

As the court has been forced to state time and time again, this objective is not served when witnesses are questioned as to lengthy written memoranda which they are handed for the first time when they take the stand and which they must study carefully if they are to respond accurately. Indeed, the objective appears fully compromised when it is revealed that while the witness was questioned at his deposition as to that very document, it was neither marked for identification nor presented to him. What, then, did such pretrial questioning accomplish? A similar indifference to the prevention of delay is displayed when a witness is asked a question at trial and responds that, to obtain an answer, the examiner must ask someone else. Where it is clear that such a question would be asked, it should have been asked at the witness’ deposition so that the individual who can answer would be available in court.

The court is not asking that counsel divulge in advance their trial strategies. Nor is the court requiring the parties to disclose their plans for cross-examination prior to the direct testimony — although it cannot be gainsaid that the skilled examiner must have most of his cross-examination in mind before the witness takes the stand. It must be said, however, that unnecessary delays at trial and the consequent discontinuity of proof as well as the inability to adduce evidence through the testimony of witnesses either because they do not possess the information sought or because they must refer to company records which could have been subpoenaed by the examining party before trial or simply reviewed by the witness before he was called had he been apprised of the information sought during his deposition can destroy an otherwise effective trial strategy.

Free access — add to your briefcase to read the full text and ask questions with AI

United States v. International Business Machines Corp., 68 F.R.D. 315, 20 Fed. R. Serv. 2d 1097, 1975 U.S. Dist. LEXIS 11539 (S.D.N.Y. 1975).

68 F.R.D. 315 (United States v. International Business Machines Corp.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

Related