NICHOLAS G. GARAUFIS, District Judge.
In this action, Plaintiff Dr. Addagada C. Rao asserts that Defendants Ramon Rodriguez and Wyckoff Heights Medical Center, Inc. ("Wyckoff'), discriminated against him on the basis of race, national origin, and age in violation of federal, state, and municipal law.
Plaintiff seeks to apply the doctrine of judicial estoppel to certain facts concerning a letter allegedly authored by a group of Wyckoff surgical residents (the "Resident's Letter"). Plaintiff's four remaining motions request evidentiary rulings and monetary sanctions based on Defendants' alleged spoliation of evidence and other discovery violations.
Plaintiff's First Motion
The court finds this argument to be without merit. The doctrine of "judicial estoppel[] `generally prevents a party from prevailing in one phase of a case on an argument and then relying on a contradictory argument to prevail in another phase.'"
There is no irreconcilable conflict in this instance. The court agrees with Defendants that the precise date on which Rodriguez received the Residents' Letter "was not at issue" in the Prior Proceedings once it was established that the date of receipt was no later than January 27, 2012. (Defs. Mem. in Opp'n to Pl. Mots. in Lim. ("Defs. Opp'n") (Dkt. 113) at 1.) The parties therefore had no need to conduct "attendant document discovery with e-mail' searches." (
In addition to the judicial estoppel argument, Plaintiff's Second Motion seeks "to preclude the use of the [Residents' Letter] for any [] purpose, including as `after acquired evidence,'" based on Defendants'"very late production and prior withholding of the emails and attachments" pertinent to the letter's drafting history. (Pl. Mem. at 8, 10.) Plaintiff's Second Motion is denied.
Courts are authorized to order preclusion or other sanctions "[i]f a party fails to provide information or identify a witness" in violation of discovery procedures, "unless the failure . . . is
Plaintiff asserts that Defendants spoliated audio recordings of certain meetings of the Wyckoff Board of Trustees (the "Board"). (Pl. Mem. at 10-12.) Plaintiff's Third Motion seeks sanctions relating to recordings of meetings held on October 6, 2011, and January 5, 2012. (Id. at 13-14.) The court denies Plaintiff's Third Motion with regard to both meetings.
Plaintiff seeks an order precluding Defendants from introducing a statement allegedly made by Plaintiff at the October 6, 2011, meeting—a statement that was not included in the meeting minutes—which relates to Defendants' asserted non-discriminatory basis for Plaintiff's termination. (Id. at 13.) Defendants profess that they "have no intention of using any evidence pertaining to the October 2011 and January 2012 Board meetings," arguing that these meetings "are not relevant to any claim or defense in this action." (Defs. Opp'n at 12.) The court therefore denies Plaintiff's request on grounds of mootness.
Second, Plaintiff points to the January 5, 2012, meeting, at which the Board allegedly discussed a complaint against Wyckoff physician Dr. Parvez Mir. (Pl. Mem. at 13-14.) The "anonymous written complaint" (the "Anonymous Complaint") alleged that Mir had "made several racially [] sensitive remarks against physicians and staff at the hospital." (Pl. Opp'n to Wyckoff Mot. for Summ. J. (Dkt. 87) at 21.) Plaintiff alleges that the Anonymous Complaint was brought up at the January 5, 2012, meeting "only to the extent of the trustees not wanting to discuss it on the record." (
A party seeking sanctions for spoliation must show:
The court declines to impose sanctions on Defendants. As discussed below in
Section II.A.1, Plaintiff's claims find no relevant support in either the Anonymous Complaint or in the Board's alleged failure to investigate. The court therefore declines to impose sanctions based on the destruction of allegedly related evidence from the January 5, 2012, Board meeting.
Plaintiffs Fourth Motion accuses Defendants of failing to timely produce and accurately label back-up audio recordings of certain Board meetings in February 2012. (Pl. Mem. at 14-15.) Based on these alleged discovery violations, Plaintiff "seeks an order compelling production of these audio files before the trial"; a preclusion order "barring defendants from using any of these back-up audio files at trial for any purpose, without affecting plaintiffs right to use these audio files"; an order directing that Plaintiffs version of any related disputed facts "be taken as established"; and "payment of reasonable expenses including attorney's fees." (
Plaintiff's Fourth Motion is denied. Plaintiff was present for two of the three cited meetings, but alleges only that "statements were made la him" and
Plaintiff was not present for the Board meeting on February 16, 2012, but he alleges that, based on a "prefatory email," the meeting "appears . . . to have been very much about [him] to a significant degree." (
Plaintiffs Fifth Motion alleges that Defendants impermissibly withheld Wyckoff term sheets for certain physicians employed both at Wyckoff and at Plaintiff's private medical practice. (Pl. Mem. at 17-22.) Plaintiff characterizes Defendants' actions as "presumptive spoliation." (
Plaintiff has offered a concerning narrative: not only did Defendants allegedly fail to produce certain employment-related documents, despite testimony from former Wyckoff employees that such documentation is preserved as a matter of course, but an arguably responsive document later appeared in state proceedings involving the same parties. (
Even so, the court agrees with Defendants that Plaintiff's requested relief is overly punitive.
This ruling does not undermine Defendants' ability to argue that any material difference between the term sheets and the signed employment agreements should be resolved in favor of the employment agreements, or that, whatever the parties' contractual obligations, "the relevant issue in this case is whether Mr. Rodriguez believed, at the time of the alleged adverse employment decision, that Dr. Rao was enriching himself at the expense of the hospital." (Defs. Mem. at 18.) Moreover, the term sheets may not even surface at trial: Plaintiff does not plan to discuss billing arrangements during his case in chief, and only intends to raise the issue as relevant for rebuttal or impeachment purposes. (Pl. Mem. in Opp'n to Defs. Mots. in Lim. ("Pl. Opp'n") (Did. 109) at 17.) To the extent that the term sheets play a role in the case, however, Plaintiff is entitled to the inference that, at all relevant times, any unavailable term sheets for physicians employed both at Wyckoff and at Plaintiff's private medical practice contained Part B billing terms similar to the available term sheets.
Defendants bring 14 motions
Defendants seek to preclude Plaintiff from introducing evidence of the Anonymous Complaint against Mir "(or any similar allegations against a non-decisionmaker in this case) or from introducing any evidence regarding whether such alleged complaints were investigated." (Defs. Mem. at 3.) "In addition to being inadmissible hearsay, remarks by a non-decisionmaker about subjects other than Plaintiffs alleged termination are inadmissible."
Plaintiff does not appear to contest that the Anonymous Complaint constitutes hearsay for the purposes of establishing that Mir
Even if the allegation is true, it would have little probative value given that: (1) Mir was not empowered to make decisions regarding Plaintiff's employment; (2) Plaintiff has not alleged that Mir made comments specifically about Plaintiff or in connection with decisions about Plaintiff's employment; and (3) the Anonymous Complaint mentioned "racially sensitive" remarks without specifying the race or national origin at issue, and Plaintiff can only surmise that Mir was targeting Indian individuals based on Mir's known political beliefs about Indian-Kashmiri relations. (Rao Aff. in Opp'n to Defs. Mot. for Summ. J. (Dkt. 86-5) ¶¶ 9-10.)
Plaintiff contends that "[t]he failure of an employer to conduct an adequate investigation or to undertake an appropriate response can constitute evidence in support of a Title VII plaintiff's allegations." (Pl. Opp'n at 1 (alteration in original) (quoting
Finally, Plaintiff argues that evidence related to the Anonymous Complaint should be admissible "to impeach Dr. Mir if he testifies against [P]laintiff, on the basis of [Mir's] own alleged anti-Indian bias plus the fact that he is beholden to defendants for not investigating or reporting the said written complaint." (Pl. Opp'n at 2.)
Defendants' Second Motion similarly seeks to preclude evidence of Wyckoff s policies and procedures for investigating employee complaints, as well as evidence of Defendants' alleged failures to investigate complaints made by Plaintiff and by another Indian physician, Dr. John Riggs. (Defs. Mem. at 3-5.) The court reserves ruling on these issues.
The court is conscious of the Second Circuit's directive that "[t]he failure of an employer to conduct an adequate investigation" into a claim of discrimination "can constitute evidence in support of a Title VII plaintiff's allegations," although such failure is not, "standing alone, sufficient to support an inference of discriminatory intent."
The court declines, at this time, to preclude the targeted evidence, but cautions Plaintiff that unduly prejudicial or cumulative evidence may be curtailed under Rules 402 and 403, particularly if Plaintiff fails to establish a meaningful comparator.
Defendants' Third Motion argues that "[i]nformation regarding the size of the law firms representing Defendants, including in comparison to the size of the firm representing Plaintiff, the amount Defendants have paid in attorney's fees, or any other similar information must [] be precluded" as "irrelevant and highly prejudicial." (Defs. Mem. at 5-6.) Plaintiff responds that he has "no intention . . . to introduce [such] evidence in his case in chief." (Pl. Opp'n at 6.) Plaintiff may, however, seek to discuss such topics if "defendants [] `open the door' . . . by introducing testimony (presumably for sympathy) of Wyckoff's `financial distress.' In that event, the information should be presented to the jury in rebuttal." (
Defendants' Fourth Motion seeks to preclude Plaintiff or other Wyckoff physicians from testifying that "certain other Indian doctors were fired for discriminatory reasons." (Defs. Mem. at 7.) Defendants argue that Rule 701 prohibits such lay opinion testimony. (Id.) Plaintiff anticipates, however, that eyewitnesses will testify that Rodriguez made statements about terminating physicians based on race or national origin. (Pl. Opp'n at 9-10.) In that event, the court agrees that Rodriguez's "credibility may be attacked, and then supported, by any evidence that would be admissible for those purposes if the declarant had testified as a witness." Fed. R. Evid. 806. Plaintiff merely intends to engage in "traditional cross-examination" with questions regarding "the list of the subsequently terminated, demoted, or `voluntarily' resigned Indian doctors," recognizing that "the Court can curtail the impeachment questioning of this nature after whatever point the Court deems appropriate." (Id. at 10.)
The court therefore denies Defendants' Fourth Motion, but cautions Plaintiff that Rule 701 may limit testimony that falls outside the ambit of Rule 806.
Defendants' Fifth Motion seeks to preclude "any evidence regarding a statement in which Mr. Rodriguez purportedly referred to Plaintiff as `brown monkey.'" (Defs. Mem. at 8.) Defendants argue that "the alleged statement is . . . highly prejudicial," but "of low probative value" because it was made more than a year after Plaintiff's departure from Wyckoff. (Id. at 8-11.) Plaintiff responds that, "when `other indicia of discrimination are properly presented, the remarks can no longer be deemed "stray," and the jury has a right to conclude that they bear a more ominous significance.' (Pl. Opp'n at 11 (quoting
The court acknowledges Defendants' concern that the alleged "brown monkey" remark may be highly prejudicial, even though it is the most temporally remote of Rodriguez's alleged statements. Nonetheless, a jury could reasonably find that the remark is probative of Rodriguez's general attitude about certain demographic groups, which may have affected his decisions in Plaintiff's case, particularly since the alleged remark arose in a discussion of Plaintiff's discrimination claims. The court denies Defendants' Fifth Motion, but invites Defendants to propose an appropriate limiting instruction, should they so desire.
Defendants' Sixth and Seventh Motions seek to bar Plaintiff from referencing the alleged spoliation of evidence and other discovery infractions discussed above in Section
Defendants seek to preclude "evidence regarding the operation and billing practices of [Plaintiffs] private practice and its relationship to Wyckoff," asserting that "[t]his evidence is irrelevant, or at best needlessly cumulative, especially in light of the fact that Defendants[] have withdrawn their faithless servant defenses and attendant set-offs." (Defs. Mem. at 14.) Plaintiff responds that "none of [the cited exhibits] are listed for use during plaintiffs case in chief." (Pl. Opp'n at 17.) Rather, the evidence is "listed for possible rebuttal or impeachment purposes" regarding Defendants' anticipated theory of "enrichment" as a non-discriminatory basis for Plaintiff's termination.
Defendants' Eighth Motion is therefore granted insofar as it pertains to Plaintiff's case in chief. Plaintiff is not barred from introducing otherwise admissible evidence for rebuttal or impeachment purposes, however. In light of Plaintiffs voluminous exhibit list, the court advises Plaintiff to be mindful of evidentiary guardrails concerning relevance and cumulative impact. The court acknowledges Defendants' reminder that Plaintiff bears the burden of demonstrating
Defendants' Eleventh Motion seeks to preclude "any evidence that [Plaintiff] was constructively discharged and/or had no choice but to resign" on the grounds that Plaintiff "did not assert a constructive discharge claim before the EEOC or in his Complaint." (Defs. Mem. at 18.) Plaintiff avers that he "will not introduce evidence that he was constructively discharged." (Pl. Opp'n at 21.) Defendants' Eleventh Motion is therefore denied as moot as to this issue; the court will exclude as irrelevant any evidence that would only be pertinent to a "constructive discharge" claim.
Defendants also seek to preclude as inadmissible hearsay any testimony "regarding [the] alleged `terrifying rumors' that were allegedly circulating in the hospital beginning on December 30, 2011 regarding [Plaintiff s] alleged termination." (Defs. Mot. at 18.) Plaintiff responds that these rumors are supported by deposition testimony, and that he may seek to "introduce at least two documented, pre-termination instances in which Rodriguez personally spread `terrifying rumors' about plaintiff." (Pl. Opp'n at 20.) The court reserves ruling on the questions of (1) whether any such testimony would constitute hearsay, and, if not, (2) whether the testimony is sufficiently relevant absent any claim of constructive discharge.
Defendants' Fourteenth Motion seeks to preclude Plaintiff "from introducing evidence relating to damages Plaintiff allegedly incurred beyond the date on which he would have `stepped down' from Wyckoff if he had been allowed to continue as Acting Chairman of the Department of Surgery." (Defs. Mot. at 20.) Plaintiff wrote a letter dated December 30, 2011, to Dr. Mounzer Tchelebi, Wyckoff's Chief Medical Officer.
Plaintiff concedes that he is not seeking front pay because he has now reached Wyckoff s mandatory retirement age. (Pl. Opp'n at 23.) With regard to back pay, Plaintiff argues that Defendants' Fourteenth Motion "is derivative of the factual dispute over whether plaintiff's `resignation' letter was rejected, rescinded, cancelled, and/or nullified during the eight-minute telephone conversation between plaintiff and Tchelebi" on the day the letter was delivered. (Id.;
Plaintiff misconstrues the material factual issues in this case. The jury must examine the events of December 30, 2011, and decide whether or not Plaintiff resigned. That question is potentially dispositive. Though the Second Circuit has not addressed the issue, this court joins federal courts from multiple jurisdictions in holding that "the refusal to allow rescission of a voluntary resignation does not constitute an adverse [employment] action."
If, on the other hand, the jury finds that Plaintiff did not resign on December 30, 2011, then Plaintiff's subsequent termination would constitute an adverse action. In that event, Plaintiff remains bound by his deposition testimony interpreting the December 30, 2011, letter as stating his intention to "step down," a process that he said would take no more than a year. Absent a claim of constructive discharge, Plaintiff's letter and deposition testimony limit his back-pay damages calculation to the period ending December 30, 2012, the maximum length of time he expected to remain in his position.
Defendants' Ninth Motion seeks to preclude as hearsay a 2013 newspaper article (designated as PX86) that "discusses the allegations in this lawsuit and another lawsuit filed by Plaintiff against the same Defendants," as well as "other newspaper articles Plaintiff may seek to introduce." (Defs. Mem. at 16-17.) Plaintiff responds that, depending on Defendants' strategy at trial, Plaintiff "may need to call a number of contingency witnesses . . . for possible rebuttal purposes," and the cited article "may be used to refresh [certain witnesses'] recollection, given that the event in question is over four years old." (Pl. Opp'n at 19.)
Plaintiff does not contest Defendants' general hearsay argument, and so Defendants' Ninth Motion is granted. Plaintiffs proffered newspaper articles are deemed inadmissible hearsay, and are therefore excluded unless a hearsay exception applies.
Defendants' Tenth Motion seeks to preclude "performance review and evaluation documents for Plaintiff going back to 1999." (Defs. Mem. at 17.) Defendants do not "disput[e] that Plaintiff was a qualified surgeon," and assert that "Plaintiffs competency as a surgeon has never been an issue in this case." (Id.) Defendants argue that the performance evaluation documents "are of little probative value," are "cumulative," and are "likely to confuse the jury, who may be inclined to assign undue significance" to Plaintiffs positive evaluations. (Id.)
Plaintiff responds that a prima facie discrimination claim requires a showing that Plaintiff "was qualified for the employment position he held." (Pl. Opp'n at 19 (citations omitted).) Plaintiff further argues that the older evaluations are necessary "because Wyckoff did not produce [evaluations] covering the four years immediately preceding plaintiffs termination as Chairman, i.e., for 2008, 2009, 2010, and 2011." (Id. at 20.) Plaintiff therefore invokes the presumption of continuance, seeking "to introduce the 2003-2007 evaluations . . . to establish a
The court reserves ruling on Defendants' Tenth Motion. Plaintiff is correct as to his prima facie burden, and must be afforded some leeway to accommodate missing documents. That said, the court will not permit irrelevant or needlessly cumulative evidence offered in support of uncontested premises.
Defendants' Twelfth Motion seeks to exclude "evidence of E-ZPass records from the account of Dr. Mounzer Tchelebi," the addressee of Plaintiff's letter of December 30, 2011, which, as discussed above in Section MD, either constituted a resignation or merely expressed Plaintiffs desire to step down in the future. (Defs. Mem. at 19.) Defendants argue that Plaintiff has no legitimate reason for contesting Tchelebi's physical location on the day of the letter's delivery: "the manner in which Dr. Rao's resignation letter was delivered to Mr. Rodriguez is irrelevant because Plaintiff does not dispute that the letter was in fact provided to him. Thus, whether or not Dr. Tchelebi was in the hospital that day [] is not relevant to any issue in this case." (
Defendants' Twelfth Motion is denied. The proper interpretation of the December 30, 2011, letter is material to the existence of an actionable adverse employment action, and therefore represents a key question of fact. The court is not, at this time, prepared to limit potentially relevant evidence concerning the circumstances of Tchelebi's receipt of the letter, his conversations with Plaintiff regarding the letter, and Rodriguez's knowledge or receipt of the letter. At the very least, the court agrees with Plaintiff that the E-ZPass records may have impeachment value insofar as they tend to disprove Tchelebi's "sworn deposition testimony that he was working in the hospital on Friday morning." (Pl. Opp'n at 21.)
Defendants' Thirteenth Motion seeks to exclude several exhibits on the grounds that "Plaintiff has not designated [them] as for impeachment or rebuttal purpose." (Defs. Mem. at 19.) Defendants appear to assert that these exhibits would constitute hearsay if they were proffered as substantive evidence, but do not offer any analysis to that effect. The court reserves ruling on Defendants' Thirteenth Motion. Defendants have not pointed to any rule requiring Plaintiff to preemptively designate exhibits as limited to impeachment or rebuttal purposes. Defendants are, of course, free to object at trial if Plaintiff attempts to introduce an exhibit for an impermissible purpose.
For the reasons stated above, Plaintiff's motions
SO ORDERED.