Complaint Counsel 

Exhibit A 

CCX-A

PUBLIC DOCUMENT
UNITED STATES OF AMERICA

BEFORE THE FEDERAL TRADE COMMISSION

____________________________________ 

 ) 

In the Matter of ) 

 ) 

ECM BioFilms, Inc., ) Docket No. 9358 

a corporation, also d/b/a ) PUBLIC DOCUMENT

Enviroplastics International ) 

 ) 

DECLARATION OF KATHERINE JOHNSON IN SUPPORT OF COMPLAINT 

COUNSEL’S OPPOSITION TO RESPONDENT’S MOTION TO COMPEL

In accordance with 28 U.S.C. § 1746, I declare under penalty of perjury that the 

following is true and correct: 

1. I am over 18 years of age, and I am a citizen of the United States. I am employed

by the Federal Trade Commission (“FTC”) as an attorney in the Division of Enforcement in the 

Bureau of Consumer Protection. I am an attorney of record in the above-captioned matter, and I 

have personal knowledge of the facts set forth herein. 

2. Complaint Counsel advised ECM that serving subpoenas to Complaint Counsel’s 

experts—rather than following the expert discovery procedures and timeline in this Court’s 

Scheduling Order—was improper. Complaint Counsel also informed ECM that its demands 

exceeded the scope of permissible expert discovery and were unduly burdensome. 

3. Attachment 1 hereto is a true and correct copy of the original subpoena 

Respondent issued to Dr. Stephen McCarthy. 

4. Attachment 2 hereto is a true and correct copy of the original subpoena 

Respondent issued to Dr. Thabet Tolaymat. 

5. Attachment 3 hereto is a true and correct copy of the original subpoena 

Respondent issued to Dr. Shane Frederick. 

6. Attachment 4 hereto is a true and correct copy of the revised subpoena 

Respondent issued to Dr. Stephen McCarthy. 

7. Attachment 5 hereto is a true and correct copy the revised subpoena Respondent 

issued to Dr. Thabet Tolaymat. 

8. Attachment 6 hereto is a true and correct copy of the revised subpoena 

Respondent issued to Dr. Shane Frederick. 

9. Attachment 7 hereto is a true and correct copy of the Declaration of Dr. Stephen

McCarthy in Support of Complaint Counsel’s Opposition to Respondent’s Motion to Compel. 

10. Attachment 8 hereto is a true and correct copy of the Declaration of Dr. Thabet 

Tolaymat in Support of Complaint Counsel’s Opposition to Respondent’s Motion to Compel. 

PUBLIC DOCUMENT

Complaint Counsel 

Exhibit A 

Attachment 1 

CCX-A:1

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

April 7, 2014 

VIA UPS

Dr. Stephen McCarthy, PhD 

Dept. of Plastics Engineering

University of Massachusetts Lowell

One University Avenue, Office, Ball 207 

Lowell, MA 01854 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. McCarthy: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests that you 

produce documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than April 25, 2014. We welcome you to 

contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. STEPHEN MCCARTHY

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents that concern ECM BioFilms, Inc., any past and present employee 

or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to, emails, 

documents appended to emails, reports and any other written or electronic document of any kind 

that is communicated from the subpoena recipient or its agents to any and all other persons and 

entities. 

PUBLIC DOCUMENT
4 

3. Regardless of the date, all correspondence, contracts, retainers, engagement letters 

between you and any public or private firm that manufactures and/or produces biodegradable 

and/or compostable products. 

4. Regardless of the date, all reports, analyses, assessments, tests, summaries, and 

conclusions issued to any public or private firm that manufactures and/or produces biodegradable 

and/or compostable products. 

5. Regardless of the date, all correspondence, contracts, retainers, engagement letters 

between you and any public or private firm that manufactures and/or produces a product or 

substance in competition with biodegradable plastics. 

6. Regardless of the date, all reports, analyses, assessments, tests, summaries, and 

conclusions issued to any public or private firm that manufactures and/or produces a product or 

substance in competition with biodegradable plastics. 

7. Regardless of the date, all correspondence, contracts, retainers, and/or agreements 

with the University of Massachusetts, Lowell (“Umass”) concerning research, funding, or grants 

related to biodegradable plastics or polymers. 

8. Regardless of the date, all patents invented and/or owned by you. 

9. Regardless of the date, all pending patents invented and/or sought by you. 

10. All licensing or royalty agreements involving or concerning your patents or 

intellectual property related to biodegradable and compostable products).

11. Copies of the following contract and grant support, all correspondence and 

proposals concerning such contracts and grants, and sources of funding for same: 

a. Metabolix, “Development of Novel of Biodegradable Materials, $1,500,196 

PUBLIC DOCUMENT
5 

b. NSF Center for Biodegradable Polymer Research, $1,200,000 Industrial Members 

(8/93-present), Principal Investigator 

c. Polymer Degradation Research Center, $475,000, Industrial Members (8/89-8/93) 

d. Digital, “Plastics Materials Research”, $458,706

e. Metabolix Inc., Performance of PHA Derived Chemicals and Polyols in 

Polyurethane, $141,465 

f. 3M, “Composting Research”, $155,000 

g. Warner Lambert, “Biodegradable Polymer Research”, $116,591 

h. National Science Foundation, “Biodegradable Polymer Research Center”, 

$110,000 (8/93-8/95) 

i. Department of the Army, “Polymer Degradation Research”, $104,000 

j. Institute for Plastics Innovation, “Injection Molding Research”, $75,000 

k. Massachusetts Centers of Excellence, “Institute for Plastics Innovation”, $75,000 

l. Metabolix Inc., Performance of Polyhydroxyalkanote Derived Chemicals and 

Polyols in Polyurethane, $71,465 

m. Battelle, “Biodegradable Packaging Development”, $59,865 

n. DuPont Corian, $50,000 

o. Invista, “Evaluation of Plasticizers”, $ 28,000 

p. Massachusetts Centers of Excellence, “Polymer Degradation Research”, $25,000

12. All documents and materials concerning your appointment or nomination of any 

position, title. or role with the BioEnvironmental Polymer Society and/or the Society of Plastics 

Engineering.

PUBLIC DOCUMENT
6 

13. All documents concerning any testing or product evaluations involving 

biodegradable and/or compostable plastics in which you participated on behalf of, or as a 

member of, the BioEnvironmental Polymer Society and/or the Society of Plastics Engineers. 

14. All documents and materials that formed the basis of your nominations and/or 

awards from the BioEnvironmental Polymer Society, including, but not limited to, the 2008 Jim 

Hammar Memorial Service Award.

15. All correspondence between you and any employee and/or consultant of the 

Biodegradable Products Institute (“BPI”). 

16. All correspondence with Dr. Ramani Narayan.

17. All correspondence with any employee or contracting employee of O.W.S., Inc. 

related to biodegradable plastics.

18. All correspondence with any employee and/or representative of the Federal Trade 

Commission concerning biodegradable plastics.

19. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case.

20. All documents revealing shares of stock or ownership interests held by you in any 

company. 

21. All documents revealing consultant positions, executive or corporate positions, or 

financial arrangements between you and any company, university, or other financial institution 

concerning work or employment related to biodegradable plastics or polymers. 

22. All correspondence between you and any private company concerning plastics, 

biodegradation, ECM BioFilms, and any other company involved in the manufacture of 

biodegradable products. 

PUBLIC DOCUMENT
7 

23. All documents and correspondence between you and the authors of the article 

Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and natural 

fiber composites during composting, anaerobic digestion and long-term soil incubation” Polymer 

Degradation and Stability. Vol. 98 (December 2013): 2583-2591. 

24. Copies of all scientific publications concerning biodegradable and/or compostable 

polymers that you have authored.

25. Copies of all papers and/or presentations concerning biodegradable and/or 

compostable plastics that you have delivered or presented. 

26. All documents revealing awards, bonuses, stock options, or other accolades 

bestowed upon you and all correspondence associated with each, for work you performed with 

biodegradable polymers. 

27. All conflict of interest forms or agreements completed or signed by you. 

28. All documents concerning ASTM, including, but not limited to, correspondence 

in which you presented a proposal, voted on a proposal, or opposed a proposal then undergoing 

active consideration by the ASTM. 

29. Regardless of the date, if you have ever been a defendant or a plaintiff in a legal 

proceeding, copies of all complaints, answers, motions, and deposition, hearing and trial 

transcripts involving you from that proceeding along with all orders issued by the courts in those 

proceedings.

30. Regardless of the date, if you have ever served as an expert in any other 

proceeding, copies of all expert reports and testimony given by you in those proceedings. 

PUBLIC DOCUMENT
8 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of the University of Massachusetts, Lowell

who have knowledge of such matters, can authenticate the documents and 

materials produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
9 

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 2 

CCX-A:2

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

April 7, 2014 

VIA UPS

Dr. Thabet Tolaymet PhD 

Environmental Protection Agency 

26 Martin Luther King Drive

Cincinnati, OH 45268 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. Tolaymet: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests that you 

produce documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than April 25, 2014. We welcome you to 

contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. THABET TOLAYMET

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena.

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents that concern ECM BioFilms, Inc., any past and present employee 

or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. 

3. All correspondence with any employee and/or consultant of the Biodegradable 

Products Institute (“BPI”). 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

4. All correspondence with Dr. Ramani Narayan. 

5. All correspondence with any employee or contracting employee of O.W.S., Inc. 

6. All correspondence between you and any member, employee, representative, or 

officer of the United States Federal Trade Commission.

7. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case.

8. All documents revealing shares of stock or ownership interests held by you in any 

company. 

9. Regardless of the date, copies of all papers, articles, and publications authored or 

co-authored by you that concern municipal solid waste landfills, bioreactor landfills, waste 

containment performance, construction and demolition waste landfills, transport of 

environmental pollutants, and biodegradable products, and/or that may help form your opinions 

and conclusions in this case.

10. Regardless of the date, all correspondence between you and Dr. Morton Barlaz.

11. Regardless of the date, all conflict of interest forms or agreements signed by you. 

12. Regardless of the date, if you have ever been a defendant or a plaintiff in a legal 

proceeding, copies of all complaints, answers, motions, and deposition, hearing and trial 

transcripts involving you from that proceeding along with all orders issued by the courts in those 

proceedings.

13. Regardless of the date, if you have ever served as an expert in any other 

proceeding, copies of all expert reports and testimony given by you in those proceedings. 

PUBLIC DOCUMENT
5 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of the Environmental Protection Agency who 

have knowledge of such matters, can authenticate the documents and 

materials produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 3

CCX-A:3

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

April 7, 2014 

VIA UPS

Dr. Shane Frederick, PhD

Yale University

Yale School of Management

52 Hillhouse Ave, Room 116 

New Haven, CT 06511 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. Frederick: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests that you 

produce documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than April 25, 2014. We welcome you to 

contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. SHANE FREDERICK

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena.

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents that concern ECM BioFilms, Inc., any past and present employee 

or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. 

3. Regardless of the date, all contracts, retainers, and/or agreements with Yale 

University. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

4. All correspondence with any employee and/or consultant of the Biodegradable 

Products Institute (“BPI”). 

5. All correspondence with Dr. Ramani Narayan. 

6. All correspondence with any employee or contracting employee of O.W.S., Inc. 

7. All correspondence with the American Chemistry Council.

8. All correspondence with APCO Insight. 

9. All correspondence between you and any member, employee, representative, or 

officer of the United States Federal Trade Commission.

10. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case.

11. All documents revealing shares of stock or ownership interests held by you in any 

company. 

12. All documents revealing consultant positions, executive or corporate positions, or 

financial arrangements between you and any company, university, or other financial institution 

concerning work or employment related to consumer perception. 

13. Since January 1, 1999, copies of all papers, articles, dissertations, and 

publications authored by you that concern consumer perception and/or that may help form your 

opinions and conclusions in this case.

14. All conflict of interest forms or agreements signed by you. 

15. Regardless of the date, if you have ever been a defendant or a plaintiff in a legal 

proceeding, copies of all complaints, answers, motions, and deposition, hearing and trial 

transcripts involving you from that proceeding along with all orders issued by the courts in those 

proceedings.

PUBLIC DOCUMENT
5 

16. Regardless of the date, if you have ever served as an expert in any other 

proceeding, copies of all expert reports and testimony given by you in those proceedings. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of Yale University who have knowledge of 

such matters, can authenticate the documents and materials produced, and 

who can testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

[Signature of party executing the declaration]

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 4

CCX-A:4

PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. STEPHEN MCCARTHY

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents received or possessed before you were engaged as an expert 

(consulting or testifying) in FTC Docket No. 9358 that concern ECM BioFilms, Inc., any past 

and present employee or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. Production of all 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to, emails, 

documents appended to emails, reports and any other written or electronic document of any kind 

that is communicated from the subpoena recipient or its agents to any and all other persons and 

entities. 

PUBLIC DOCUMENT
4 

responsive materials should be submitted in accordance with the Commission’s Rules of Practice 

and the ALJ’s Scheduling Order in this matter. 

3. All contracts, retainers, or engagement letters between you and any public or 

private firm that manufactures and/or produces biodegradable and/or compostable products. 

4. All reports, analyses, assessments, tests, data, summaries, and conclusions issued 

to any public or private firm that manufactures and/or produces biodegradable and/or 

compostable products concerning the biodegradability of plastics manufactured by those 

companies.

5. All correspondence between you and any firm that manufactures and/or produces 

a product or substance in competition generally with other biodegradable plastic products (to wit, 

ECM’s additive) concerning the biodegradability of plastics manufactured with plastic additives. 

6. All correspondence and sections of contracts, retainers, and/or agreements with 

the University of Massachusetts, Lowell (“Umass”) concerning funding (including research 

grants) of research related to biodegradable plastics or polymers. 

7. All your pending or existing patents that involve or relate to plastics and or 

biodegradable and compostable substances, products, and technologies, including those patents 

for which you are the assignor. 

8. All licensing or royalty agreements involving or concerning patents identified 

supra in response to Request 7, and all such agreements involving intellectual property related to 

biodegradable and compostable products. 

9. Copies of all contracts, grant documents (including proposals) for the following 

research projects you were involved in: 

a. Metabolix, “Development of Novel of Biodegradable Materials, $1,500,196 

PUBLIC DOCUMENT
5 

b. NSF Center for Biodegradable Polymer Research, $1,200,000 Industrial Members 

(8/93-present), Principal Investigator 

c. Polymer Degradation Research Center, $475,000, Industrial Members (8/89-8/93) 

d. Digital, “Plastics Materials Research”, $458,706

e. Metabolix Inc., Performance of PHA Derived Chemicals and Polyols in 

Polyurethane, $141,465 

f. 3M, “Composting Research”, $155,000 

g. Warner Lambert, “Biodegradable Polymer Research”, $116,591 

h. National Science Foundation, “Biodegradable Polymer Research Center”, 

$110,000 (8/93-8/95) 

i. Department of the Army, “Polymer Degradation Research”, $104,000 

j. Institute for Plastics Innovation, “Injection Molding Research”, $75,000 

k. Massachusetts Centers of Excellence, “Institute for Plastics Innovation”, $75,000 

l. Metabolix Inc., Performance of Polyhydroxyalkanote Derived Chemicals and 

Polyols in Polyurethane, $71,465 

m. Battelle, “Biodegradable Packaging Development”, $59,865 

n. DuPont Corian, $50,000 

o. Invista, “Evaluation of Plasticizers”, $ 28,000 

p. Massachusetts Centers of Excellence, “Polymer Degradation Research”, $25,000

10. All documents concerning any testing or product evaluations involving 

biodegradable and/or compostable plastics in which you participated on behalf of, or as a 

member of, the BioEnvironmental Polymer Society and/or the Society of Plastics Engineers. 

PUBLIC DOCUMENT
6 

11. All correspondence between you and any employee and/or consultant of the 

Biodegradable Products Institute (“BPI”). 

12. All correspondence with Dr. Ramani Narayan. 

13. All correspondence with any employee or contracting employee of O.W.S., Inc. 

related to biodegradable plastics.

14. All correspondence (not subject to attorney client or work-product privilege and 

received before engagement as an expert in FTC Docket No. 9358) with any employee and/or 

representative of the Federal Trade Commission concerning biodegradable plastics.

15. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case. Production of all responsive materials should be submitted in 

accordance with the Commission’s Rules of Practice and the ALJ’s Scheduling Order in this 

matter.

16. All documents revealing shares of stock or ownership interests held by you in any 

company that sells, manufactures, or markets plastics, biodegradable technologies, and/or 

compostable technologies. 

17. A listing of all consultant, executive, or corporate positions you held concerning 

work or employment related to the biodegradability of plastics over the past ten years. 

18. All documents and correspondence between you and the authors of the article 

Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and natural 

fiber composites during composting, anaerobic digestion and long-term soil incubation” Polymer 

Degradation and Stability. Vol. 98 (December 2013): 2583-2591. 

PUBLIC DOCUMENT
7 

19. Copies of all scientific publications, papers, or presentations that you authored 

concerning the rate or extent of biodegradable (including compostable) polymers when measured 

in a laboratory environment or in situ. 

20. All conflict of interest forms or agreements completed or signed by you in 

association with your work at the Umass, or as a testifying witness in this case.

21. All documents concerning ASTM, including correspondence, in which you 

presented a proposal, voted on a proposal, or opposed a proposal concerning biodegradable 

plastics standards or test methods. 

22. If you have ever served as an expert in any other proceeding involving the Federal 

Trade Commission, copies of all expert reports and testimony given by you in those proceedings. 

Production of all responsive materials should be submitted in accordance with the Commission’s 

Rules of Practice and the ALJ’s Scheduling Order in this matter. 

23. If you have ever served as an expert in any other legal proceeding involving 

plastics technologies, produce copies of all expert reports and testimony given by you in those 

proceedings. Production of all responsive materials should be submitted in accordance with the 

Commission’s Rules of Practice and the ALJ’s Scheduling Order in this matter.

PUBLIC DOCUMENT
8 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of the University of Massachusetts, Lowell

who have knowledge of such matters, can authenticate the documents and 

materials produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
9 

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 5

CCX-A:5

PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. THABET TOLAYMET

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents received or possessed before engagement as an expert (consulting 

or testifying) in FTC Docket No. 9358 that concern ECM BioFilms, Inc., any past and present 

employee or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. Production of all 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

responsive materials should be submitted in accordance with the Commission’s Rules of Practice 

and the ALJ’s Scheduling Order in this matter. 

3. All correspondence with any employee and/or consultant of the Biodegradable 

Products Institute (“BPI”). 

4. All correspondence with Dr. Ramani Narayan.

5. All correspondence with any employee or contracting employee of O.W.S., Inc. 

related to biodegradable plastics.

6. All correspondence (not subject to attorney client or work-product privilege and 

received before engagement as an expert in FTC Docket No. 9358) between you and any 

member, employee, representative, or officer of the United States Federal Trade Commission.

7. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case. Production of all responsive materials should be submitted in 

accordance with the Commission’s Rules of Practice and the ALJ’s Scheduling Order in this 

matter.

8. A listing of all shares of stock or ownership interests held by you in any company 

associated with plastics, biodegradable products or technologies, and/or compostable products or 

technologies. 

9. Copies of all papers, articles, and publications that you authored or co-authored

concerning the rates of biodegradation of landfilled waste, including municipal solid waste 

landfills, bioreactor landfills, and commercial composters.

10. Copies of all papers, articles, and publications that you authored or co-authored 

concerning the anaerobic or aerobic biodegradability of plastic polymers. 

PUBLIC DOCUMENT
5 

11. All correspondence between you and Dr. Morton Barlaz concerning rates of 

biodegradation in landfills. 

12. All conflict of interest forms or agreements signed by you in association with 

your employment with the Environmental Protection Agency, or in association with this case. 

13. If you have ever served as an expert in any other proceeding involving the Federal 

Trade Commission, copies of all expert reports and testimony given by you in those proceedings. 

Production of all responsive materials should be submitted in accordance with the Commission’s 

Rules of Practice and the ALJ’s Scheduling Order in this matter. 

14. If you have ever served as an expert in any other legal proceeding involving 

environmental claims or technologies, produce copies of all expert reports and testimony given 

by you in those proceedings. Production of all responsive materials should be submitted in 

accordance with the Commission’s Rules of Practice and the ALJ’s Scheduling Order in this 

matter.

PUBLIC DOCUMENT
6 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of the Environmental Protection Agency who 

have knowledge of such matters, can authenticate the documents and 

materials produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration] 

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
7 

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 6

CCX-A:6

PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. SHANE FREDERICK

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

PUBLIC DOCUMENT
2 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

PUBLIC DOCUMENT
3 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents received or possessed before engagement as an expert (consulting 

or testifying) in FTC Docket No. 9358 that concern ECM BioFilms, Inc., any past and present 

employee or principal of ECM, and/or the ECM additive. 

2. All documents, materials, correspondence, forms, marketing material, and testing 

used or referenced to form any and all opinions you may offer in this case. Production of all 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

responsive materials should be submitted in accordance with the Commission’s Rules of Practice 

and the ALJ’s Scheduling Order in this matter. 

3. Regardless of the date, all sections of contracts, retainers, and/or agreements with 

Yale University concerning conflicts of interest and/or supplemental employment (such as 

consultation services in litigation).

4. All correspondence with any employee and/or consultant of the Biodegradable 

Products Institute (“BPI”). 

5. All correspondence with Dr. Ramani Narayan. 

6. All correspondence (not subject to attorney client or work-product privilege and 

exchanged before engagement as an expert in FTC Docket No. 9358) between you and any 

member, employee, representative, or officer of the United States Federal Trade Commission.

7. All correspondence with any witness, person, and/or consultant used to help form 

any opinion you have in this case. Production of all responsive materials should be submitted in 

accordance with the Commission’s Rules of Practice and the ALJ’s Scheduling Order in this 

matter.

8. A listing of all shares of stock or ownership interests held by you in any company

associated with plastics, biodegradable products or technologies, and/or compostable products or 

technologies. 

9. All documents, including papers, articles, dissertations, and publications that you 

authored, co-authored, or contributed to that concerned work related to marketing research 

(including consumer perception) of trade consumers, e.g., corporate entities, distributors, 

wholesalers, etc., as opposed to end-consumers.

PUBLIC DOCUMENT
5 

10. Since January 1, 1999, copies of all papers, articles, dissertations, and 

publications authored by you that concern consumer perception that may help form your 

opinions and conclusions in this case. Production of all responsive materials should be 

submitted in accordance with the Commission’s Rules of Practice and the ALJ’s Scheduling 

Order in this matter.

11. All conflict of interest forms or agreements signed by you. 

12. Regardless of the date, if you have ever been a defendant or a plaintiff in a legal 

proceeding, copies of all complaints, answers, motions, and transcripts (deposition, hearing and 

trial) involving you in your professional capacity, along with all orders issued by the courts in 

those proceedings. 

13. If you have ever served as an expert in any other proceeding involving the Federal 

Trade Commission, copies of all expert reports and testimony given by you in those proceedings. 

Production of all responsive materials should be submitted in accordance with the Commission’s 

Rules of Practice and the ALJ’s Scheduling Order in this matter.

14. If you have ever served as an expert in any other legal proceeding involving 

environmental claims, produce copies of all expert reports and testimony given by you in those 

proceedings. Production of all responsive materials should be submitted in accordance with the 

Commission’s Rules of Practice and the ALJ’s Scheduling Order in this matter.

PUBLIC DOCUMENT
6 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of Yale University who have knowledge of 

such matters, can authenticate the documents and materials produced, and 

who can testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
7 

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 7

CCX-A:7

PUBLIC DOCUMENT
UNITED STATES OF AMERICA

BEFORE THE FEDERAL TRADE COMMISSION

____________________________________ 

 ) 

In the Matter of ) 

 ) 

ECM BioFilms, Inc., ) Docket No. 9358 

a corporation, also d/b/a ) PUBLIC DOCUMENT

Enviroplastics International ) 

 ) 

DECLARATION OF DR. STEPHEN MCCARTHY IN OPPOSITION TO 

RESPONDENT’S MOTION TO ENFORCE SUBPOENA

In accordance with 28 U.S.C. § 1746, I declare under penalty of perjury under the laws of 

the United States of America that the following is true and correct: 

1. I am over 18 years of age, and I am a citizen of the United States. I have personal 

knowledge of the facts stated herein. 

2. I am a Professor of Plastics Engineering at the University of Massachusetts 

Lowell (the “University”) where I teach graduate level courses in Plastics Engineering, including 

the “Mechanical Behavior of Polymers” and “Polymers and the Environment.” In addition, I am 

the Director of the University’s Biodegradable Polymer Research Center, where I orchestrate 

research on biodegradable polymers. I am the Principal Investigator for studies on plastics 

engineering and polymer research. My research has led to numerous patents. I am an inventor 

on seven patents related to polymers or plastics engineering. Complaint Counsel engaged me to 

provide expert analysis and testimony in the above-captioned matter.

3. Based upon my education, training, and experience, I consider myself an expert in 

the fields of plastics engineering, polymer science, and biodegradable polymers. Thus, most of 

the documents in my possession over the past 20 years touch on some aspect of biodegradable 

plastics. 

4. I received and reviewed a copy of the Revised Subpoena Respondent ECM 

Biofilms, Inc. (“ECM”) issued to me. My records are extremely extensive, and searching them 

for potentially responsive material would substantially burden my ability to conduct my regular 

PUBLIC DOCUMENT
2 

professional activities, including research. Searching my files also substantially burden my 

ability to support Complaint Counsel, and to provide the Court with expert opinion and analysis. 

5. Many of my records are stored in hard copy form and consist of, among other 

things, draft articles and other materials related to my research. I have four, three-foot wide 

three-drawer cabinets filled with pages of hard copy documents. 

6. I also have many electronic documents, which include e-mail, draft articles, 

presentations, memoranda, and other materials related to biodegradable plastics. I have 

electronic files both on my work computer and my personal laptop. 

7. Many of these materials will have to be segregated and marked confidential 

because they relate to work performed for private research grants.

8. Some of the documents requested, e.g., conflict of interest forms and grant 

contracts, are not in my possession, but reside with the University. Others are publicly available 

on the University’s website, such as the University’s Intellectual Property Policy, which governs 

the distribution of income generated from commercialization of intellectual property deriving 

from the licensing of University-owned intellectual property. 

9. Even assuming that I find ways to review materials efficiently, eliminate certain 

materials from the review, and implement other time-saving measures, I estimate that reviewing 

my files for potentially responsive materials would take approximately three 8-hour days, if not 

more. 

EXECUTED: May 28, 2014 

in Tel Aviv, Israel. 

 /s/ Stephen McCarthy Stephen McCarthy, Ph.D. 

PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 8

CCX-A:8

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 9

CCX-A:9

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 10

CCX-A:10

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

January 24, 2014 

VIA UPS

Mr. James A. Thomas, ASTM President

ASTM International

100 Barr Harbor Drive 

West Conshohocken, PA 19428 

 Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Mr. Thomas: 

Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum to ASTM International. This 

subpoena requests the production of documents and other materials. Included with the subpoena 

is Schedule A, which describes the instructions and specific requests of Respondent and a copy 

of the Protective Order issued in this matter.

 Please provide all requested documents no later than March 3. We welcome you to 

contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO ASTM 

INTERNATIONAL (“ASTM”) 

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein. 

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C. 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

PUBLIC DOCUMENT
2 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process.

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena.

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

PUBLIC DOCUMENT
3 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning2 or related to the development, adoption, and 

promulgation of ASTM D5511, including but not limited to: 

a. Documents that concern and/or relate to the amendment of any provision 

contained in ASTM D5511, Section 1 enacted on and/or introduced or before 

January 1, 1994. 

b. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 1 of ASTM D5511-11 and ASTM D5511-12. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena. 

PUBLIC DOCUMENT
4 

c. Documents that concern and/or relate to Section 13.3 and Section 13.4 contained 

in Section 13 of ASTM D5511-11 and ASTM D5511-12, including explanations 

or discussions of how, why, and under what circumstances Section 13.3 and 

Section 13.4 were created and included in any version or reproduction of ASTM 

D5511. 

d. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 13.3 and Section 13.4 of ASTM D5511-12. 

e. Documents that concern and or relate to Section 14.1.3 and Section 14.1.4 of 

ASTM D5511-11 and ASTM D5511-12. Production must include how, why, and 

under what circumstances Section 14.1.3 and Section 14.1.4 were created and 

included in ASTM D5511-11 and ASTM D5511-12. 

f. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 14.1.3 and Section 14.1..4 of ASTM D5511-12. 

2. All documents concerning or related to the adoption, promulgation, revision, or 

amendment of ASTM D5526, enacted on and/or introduced or before January 1, 1994, as 

follows: 

a. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 1 of ASTM D5526-94 and ASTM D5526-12 and 

revisions of those versions. 

PUBLIC DOCUMENT
5 

b. Documents that concern and/or relate to the amendment of any provision 

contained in ASTM D5526, Section 5 enacted on and/or introduced on or about 

January 1, 1994. 

c. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 5 of ASTM D5526-94 and ASTM D5526-12 and 

any revisions of those versions. 

d. Documents that concern and/or relate to Section 14.1.3 and Section 14.1.4 of 

ASTM D5511-11 and ASTM D5511-12. Production must include how, why, and 

under what circumstances Section 14.1.3 and Section 14.1.4 were created and 

included in ASTM D5511-11 and ASTM D5511-12. 

e. Correspondence with any employee, representative, associate, contractor, person, 

or any other individual working with or on behalf of the Federal Trade 

Commission concerning Section 14.1.3 and Section 14.1..4 of ASTM D5511-12. 

3. Regardless of the date on which such documents were created, documents 

concerning or related to the definition of “biologically active landfill,” “biologically inactive 

landfill” as the terms are used in any and all versions and reproductions of ASTM D5511 and 

D5526. 

4. Regardless of the date on which such documents were created, documents 

concerning or related to how ASTM creates and organizes its committees, including: 

a. All documents concerning how individuals are chosen, assigned, volunteered, 

elected, and/or transferred to a committee.

PUBLIC DOCUMENT
6 

b. All documents concerning or related to the creation, organization, and rules of 

operation for ASTM committee D20 

c. All documents concerning or related to the creation, organization, and rules of 

operation for ASTM committee D20.92 

d. All documents concerning or related to the creation, organization, and rules of 

operation for ASTM committee D20.96 

e. All documents concerning or related to Dr. Ramani Narayan. 

5. All documents concerning any and all discussion of the term “additive products” 

that may be included in a plastic product as they concern and or relate to any ASTM standard. 

6. All documents concerning, relating to, or describing correspondence between any 

and all ASTM members and any and all individuals associated or acting on behalf of or with the 

Federal Trade Commission. 

PUBLIC DOCUMENT
7 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents3, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made and kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of BPI who have knowledge of such matters 

and who can testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

. 

 3 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 11

CCX-A:11

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

January 24, 2014 

VIA UPS

Mr. Steve Mojo, Executive Director 

Biodegradable Products Institute 

331 West 57th Street, Suite 415 

New York, NY 10019 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Mr. Mojo: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum to Biodegradable Products Institute. 

This subpoena requests the production of documents and other materials. Included with the 

subpoena is Schedule A, which describes the instructions and specific requests of Respondent; 

Attachment A, which is referenced in Respondent’s requests; and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than March 3. We welcome you to 

contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600 

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

BIODEGRADABLE PRODUCTS INSTITUTE (“BPI”) 

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

PUBLIC DOCUMENT
2 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

PUBLIC DOCUMENT
3 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning2 the biodegradability of plastics generally and in 

Municipal Solid Waste Landfills in particular whether or not in the presence of other 

biodegradable material. 

2. All documents concerning ECM BioFilms, Inc. 

3. All correspondence from any BPI employee, member, representative, BPI 

Executive Director Steve Mojo, or Dr. Ramani Narayan, of or concerning ECM BioFilms, Inc. or 

any of ECM’s employees, officers, and representatives. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena. 

PUBLIC DOCUMENT
4 

4. All documents concerning the Federal Trade Commission’s (“FTC”) “Revised 

Green Guides” published in October 2012 

5. All correspondence between any BPI employee, member, representative of BPI, 

BPI Executive Director Steve Mojo, or Dr. Ramani Narayan, of, concerning, to, or from the 

Federal Trade Commission or any Federal Trade Commission employee or agent. 

6. All documents concerning or related to any version of the American Society of 

Testing and Materials’ (“ASTM”) testing methods D5511 and D5526. 

7. All correspondence between any BPI employee, member, or representative and 

the American Chemistry Council (“ACC”). 

8. All documents concerning the study performed in 2006 by APCO Insight 

(“APCO Study”) for the ACC concerning public perception of the term “biodegradable” and 

related topics.

9. All documents concerning or supporting the following statement from the BPI 

website: “The key point is that only a portion of the additive will biodegrade and there is no data 

to show that the remaining 95 to 99% of the plastic package will also biodegrade.” See

Attachment A (BPI webpage: “Background on Biodegradable Additives” at 2.

3

10. All documents concerning or supporting the following statement from the BPI 

website: “Extrapolation of test data should not be a basis for meeting these criteria.” See

Attachment A at 4

11. All documents specifically identifying sources for the following statement and of, 

concerning or supporting the following statement, from the BPI website: “Further, based on a 

study by the American Chemistry Council, when consumers see the word ‘biodegradable’ on a 

 3 Available at http://tinylink.net/070xo (last checked January 21, 2014). 

PUBLIC DOCUMENT
5 

package, they believe that the package will completely disappear in 12 to 18 months...” See

Attachment A at 3. 

12. All documents concerning or related to the definition of “biologically active 

landfill,” “biologically inactive landfill” as the terms are used in any and all versions and 

reproductions of ASTM D5511 and D5526. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents4, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made and kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of BPI who have knowledge of such matters 

and who can testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

 4 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
 

Page 1 February 12, 2010 

Background on 

Biodegradable Additives

This document summarizes the Biodegradable Products Institute’s comments on 

the use of additives to promote “biodegradation” in traditional polymers, such as 

PE, PP, PS and PVC. 

Background 

There are a number of manufacturers who claim that when their products are 

mixed at 1-5% concentrations with traditional polymers, the resultant 

formulation/s become “biodegradable”. Further, these manufacturers maintain 

that their additives will make polymers “biodegradable” in aerobic environments 

(such as composting and litter), as well as anaerobic environments (typically 

found in landfills). 

Today, these additives fall into two broad classes , “oxo-biodegradables” and 

“additives with organic materials”: 

1. Oxo-biodegradables: These consist of transition metals (some of which are 

regulated) that theoretically foster oxidation and chain scission in plastics 

when exposed to heat, air and/or light. Based over 20 analyses over the past 

4 years by the BPI, these metals include but are not limited to cobalt, 

manganese, magnesium, iron and zinc. The theory behind chain scission is 

that it is supposed to shorten the polymer chains to the point where they can 

be consumed by microorganisms found in the disposal environment and used 

as a food source. 

Research has shown that moisture retards the oxidation process, delaying the 

potential onset of biodegradation. In addition, for landfills, no data has been 

presented to support complete biodegradation in anaerobic environments. 

Testing has shown that in arid climates with sunlight and high heat, oxobiodegradable additives will accelerate the fragmentation of traditional 

polymers. Data has shown that at high temperatures in conjunction with UV 

in arid conditions, that fragmentation can be achieved in 2 to 3 months. 

However, fragmentation is not a sign of “biodegradation” and there is 

no data to show how long these plastic fragments will persist in the soils or 

marine environments. Further, data has also shown that moisture will retard 

this fragmentation process for months or longer. 

From a practical perspective, this means that a plastic bag that is littered in 

the desert will probably fragment in a few months. Yet, these fragments will 

persist for years or longer. Moreover, if the same bag is littered in a cold, 

dark wet forest, it is unlikely that the bag will fragment for months or years. 

Attachment A, ECM BioFilms, Inc. Subpoena to BPI PUBLIC DOCUMENT
Page 2 February 12, 2010 

EPI (EPI Environmental Technologies), Wells/Bioxo, Addiflex, Symphony are 

some of the suppliers of oxo-biodegradable additives. However, some 

converters using these additives do not cite specific manufacturers. Rather, 

they may say that they are using “oxo-biodegradable” concentrates or 

additives. 

2. Additives with Organic Materials: In this class of materials, some portion 

of the additive itself will biodegrade and generate carbon dioxide or methane. 

The biodegradable portion of the additive pellets can be natural materials, 

such as cellulose and starch or it can consist of resins, which are known to 

biodegrade, such as EVA or PVOH. The key point is that only a portion of the 

additive will biodegrade and there is no data to show that the remaining 95 

to 99% of the plastic package will also biodegrade. In some ways, this class 

of additives is similar to the original “biodegradable plastics” where the starch 

would biodegrade and the remaining plastic just fragmented. 

Based on data that the BPI has reviewed, manufacturers with this type of 

technology include (but are not limited to) ECM BioFilms, Bio-Tec 

Environmental’s EcoPure, BioBatch, Green Films and Good Earth.

Latest Labeling Developments: 

Claims by additive suppliers are difficult to interpret, as they typically quote a 

variety of ASTM tests and other documents. 

 

Given the increasing level of claims, (many of which are unsupported), the State 

of California has decided to step in, by passing 2 pieces of legislation. These 

pertain to plastic bags and foodservice items (both paper and plastic) and 

became effective in January, 2009. The impact of this legislation is to make the 

use of the labels “biodegradable” and “degradable” more rigorous. Further, in 

order to use the term “compostable” plastic bags and foodservice items must 

meet either ASTM D6400 or D6868. 

 ASTM D6400: Standard Specification for Compostable Plastics 

 ASTM D6868: Standard Specification for Biodegradable Plastics 

Used as Coatings on Paper and Other Compostable Substrates 

Additionally, the Federal Trade Commission (FTC) requires that prior to making 

any unqualified “biodegradable” claims, that suppliers have scientific data to 

prove: 

1) That the entire product (not just the additive) will biodegrade into 

elements found in nature; 

2) In a short period time after customary disposal (which is landfilling for 

most plastics). 

Attachment A, ECM BioFilms, Inc. Subpoena to BPI PUBLIC DOCUMENT
Page 3 February 12, 2010 

Additionally on June 9, 2009, the FTC found that Kmart’s claims of 

biodegradability of paper plates was misleading. Further, they questioned the 

ability of any materials to biodegrade in a landfill. 

“Mr. Davis of the F.T.C. raised doubts. “Maybe a piece of produce could 

be labeled biodegradable if it’s customarily disposed of through 

composting,” he said, “but the statistics show that most household trash 

goes to landfills. So even a piece of produce might not biodegrade” in a 

reasonable period of time, he explained.” 

Source: http://greeninc.blogs.nytimes.com/2009/06/11/ftc-sends-stern-warning-on-biodegradable-marketingclaims/?scp=3&sq=biodegradable%20ftc&st=Search

Further, based on a study by the American Chemistry Council, when consumers 

see the word “biodegradable” on a package, they believe that the package will 

completely disappear in 12 to 18 months, no matter where it is thrown away 

(either in landfills, streams or as litter). Consumers think nothing will be left at 

the end of the process. 

Science of Biodegradation: 

Biodegradation takes place when microorganisms utilize carbon substrates to 

extract chemical energy that drives their life processes. The carbon substrates 

become “food”, which microorganisms use to sustain themselves. Under aerobic 

conditions, the carbon is biologically oxidized to carbon dioxide inside the cell 

releasing energy that is harnessed by the microorganisms for its life processes. 

Under anaerobic conditions, CO2 + Methane are produced. Thus, a measure of 

the rate and amount of CO2 or CO2+CH4 evolved as a function of total carbon 

input to the process is a direct measure of the amount of carbon substrate being 

utilized by the microorganism (percent biodegradation). This forms the basis for 

various National (ASTM, EN) and international (ISO) standards for measuring 

biodegradability or microbial utilization of chemicals, and biodegradable plastics 

Recommendations for purchasing and packaging professionals 

Given consumer expectations, the FTC’s direction and new California legislation, 

the BPI recommends that organizations wishing to use “biodegradable additives” 

ask the suppliers for the “scientific data” to address the following questions: 

1) For “compostable” products, does the entire application (film or package) 

meet all the requirements of ASTM D6400 or ASTM D6868? 

2) For “marine biodegradable", does the entire application (film or package) 

meet all the requirements of ASTM 7081? 

3) There are no ASTM specifications that dictate the overall level of 

biodegradation that must be achieved to make other “biodegradable” 

claims. However, the BPI recommends that the supplier demonstrate that 

90% of the entire plastic film or package (not just the additive) be 

converted to carbon dioxide under aerobic conditions (like soil burial) or 

carbon dioxide and methane under anaerobic conditions (as in an 

anaerobic digestor, or a landfill) based upon weight and carbon content 

Attachment A, ECM BioFilms, Inc. Subpoena to BPI PUBLIC DOCUMENT
Page 4 February 12, 2010 

relative to the positive control using the following internationally 

recognized test methods as shown below: 

Claim Appropriate 

Test 

Methods 

Recommended Pass/Fail Threshold Time 

Limit 

“Biodegradable” 

or “Biodegrades 

in a Landfill” 

(anaerobic 

environment) 

ASTM D5526 

or 

ASTM D5511 

or 

ASTM D6776 

Based on correspondence to the BPI from the FTC, it is likely that 

any unqualified “biodegradable” claim will be judged as deceptive, 

regardless of the testing data. 

http://www.ftc.gov/os/adjpro/d9336/091218dynaletter.pdf

“Biodegrades in landfills” claims are not recommended given recent FTC findings.

“Biodegrades in 

Soils” or as 

Litter 

Aerobic 

environment 

ASTM D5988 90% conversion of test materials carbon to carbon dioxide 

relative to the positive control in the test 

12-18 

months

Note: Only one of the test methods needs to be used to verify the “biodegrades” or landfill 

claims. 

The 90% threshold relative to the positive control will insure that the entire 

plastic product can be consumed by the microbes (i.e. biodegraded) with no 

persistent residues. Additionally, the following conditions must be met: 

 The positive control shall reach a minimum of 70% biodegradation as 

specified in the test method. 

 Both the test and control samples must reach plateaus during the test. 

These plateaus represent the maximum level of biodegradation achieved. 

 Extrapolation of test data should not be a basis for meeting these criteria. 

 Test samples should not be subjected to “pre-conditioning” to promote or 

accelerate oxidation or degradation (such as high heat under dry 

conditions for long periods of time), especially for landfill claims. 

 Manufacturers shall make all test reports available for review by interested 

parties. 

Below are 2 charts the depict examples of what is expected when data is 

presented. 

Attachment A, ECM BioFilms, Inc. Subpoena to BPI PUBLIC DOCUMENT
Page 5 February 12, 2010 

Comments on Biodegradation in Landfills 

Manufacturers should understand that biodegradation that takes place in landfills 

can generate fugitive methane emissions which contribute to greenhouse gas 

production and climate change. Methane is 25 times more powerful as a 

greenhouse gas than carbon dioxide. 

Additionally, the US Federal Trade Commission ruled on June 9, 2009 that 

“biodegradable” claims on paper plates were misleading, as noted earlier in this 

document. This direction was reinforced in a letter to the BPI in December, 2010, 

which stated it is likely that any unqualified “biodegradable” claim will be judged 

as deceptive, regardless of the testing data. The complete letter can be found at 

the link below: 

http://www.ftc.gov/os/adjpro/d9336/091218dynaletter.pdf

For these reasons, the BPI supports the diversion from landfills of all potentially 

“biodegradable” materials. 

Where to turn if you have questions: 

The BPI will be happy to review and comment on any data provided to buyers, 

or packaging professionals by additive suppliers. (email: info@bpiworld.org). 

Attachment A, ECM BioFilms, Inc. Subpoena to BPI PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 12

CCX-A:12

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 28, 2014 

VIA UPS

Dr. Eva Almenar

School of Packaging 

Michigan State University

130 Packaging Building 

East Lansing, MI 48824 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. Almenar: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests the 

production of documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter. 

 Please provide all requested documents no later than March 17, 2014. We welcome you 

to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO

DR. EVA ALMENAR

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena.

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning Michigan State University’s (“MSU’s”) conflict of 

interest policies and requirements for faculty effective March 25, 2010. 

2. All documents concerning your determination that there existed a conflict of 

interest as explained in your email to Ron Thompson, dated between March 23-25, 2010, 

concerning analysis and certification of biodegradable products. 

3. All correspondence concerning any conflict of interest as explained in your email 

to Ron Thompson, dated between March 23-25, 2010, concerning analysis and certification of 

biodegradable products. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

4. All documents concerning2 ECM BioFilms, Inc.

5. All documents sent or received by you and any other employee of MSU making 

reference to ECM BioFilms, Robert Sinclair, or ECM BioFilms MasterBatch Pellets. 

6. All documents concerning any test or report (including any and all notes, drafts, 

and raw data) performed or written about a product or substance containing any product of ECM 

BioFilms, Inc., including “ECM MasterBatch Pellets.”

7. All correspondence involving you and/or Dr. Ramani Narayan concerning:

• Biodegradable products and/or substances 

• Articles, reports, and any versions, drafts, or notes concerning biodegradable 

products 

• ECM BioFilms

• The Biodegradable Products Institute (“BPI”).

• The Federal Trade Commission

• All findings of conflict of interest related to Dr. Ramani Narayan

8. All correspondence between you and the BPI. 

9. All correspondence between any employee, representative, and/or officer of MSU

and the BPI. 

10. All correspondence between you and any employee of Johnsonville Sausage, 

LLC.

11. All correspondence between any employee, representative, and/or officer of MSU 

and Johnsonville Sausage, LLC. 

 2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena.

PUBLIC DOCUMENT
5 

12. All correspondence between you and the Federal Trade Commission.

13. All correspondence between any employee, representative, and/or officer of MSU 

and the Federal Trade Commission.

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents3, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of the Michigan State University who have 

knowledge of such matters, can authenticate the documents and materials 

produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

 3 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

[Signature of party executing the declaration]

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc.

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 13

CCX-A:13

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 28, 2014 

VIA UPS

Eddie F. Gómez

Ohio State University

207 Hayden Hall 

1680 Madison Avenue 

Wooster, Ohio 44691 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Mr. Gómez: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests the 

production of documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter. 

 Please provide all requested documents no later than March 17, 2014. We welcome you 

to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

EDDIE F. GÓMEZ 

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning2 ECM BioFilms, Inc.

2. All correspondence between you and ECM BioFilms, Inc.

3. All documents sent or received by you making reference to ECM BioFilms, 

Robert Sinclair, or ECM BioFilms MasterBatch Pellets. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena.

PUBLIC DOCUMENT
4 

4. All documents concerning any test or report (including any and all notes and raw 

data) performed or written about a product or substance containing any product of ECM 

BioFilms, Inc., including “ECM MasterBatch Pellets.”

5. All documents concerning the article, Gómez, EF, Michel Jr., FC. 

“Biodegradability of conventional and bio-based plastics and natural fiber composites during 

composting, anaerobic digestion and long-term soil incubation” Polymer Degradation and 

Stability. Vol. 98 (December 2013): 2583-2591.

6. All drafts and notes concerning the article, Gómez, EF, Michel Jr., FC. 

“Biodegradability of conventional and bio-based plastics and natural fiber composites during 

composting, anaerobic digestion and long-term soil incubation” Polymer Degradation and 

Stability. Vol. 98 (December 2013): 2583-2591.

7. All documents concerning the involvement of any and all individuals with the 

article, Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and 

natural fiber composites during composting, anaerobic digestion and long-term soil incubation” 

Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591, and/or the tests and 

procedures described in such article.

8. All documents concerning the actual tests and procedures (including any and all 

notes, drafts, protocols, identity and sources of the ECM additives received and used, and all raw 

data) described in “Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based 

plastics and natural fiber composites during composting, anaerobic digestion and long-term soil 

incubation” Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591. 

9. Reserve samples of all plastics allegedly containing the ECM additive that are 

referenced in the article, “Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bioPUBLIC DOCUMENT
5 

based plastics and natural fiber composites during composting, anaerobic digestion and longterm soil incubation” Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591. 

10. All documents specifically concerning all funding and sources of funding for the 

article, Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and 

natural fiber composites during composting, anaerobic digestion and long-term soil incubation” 

Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591.

11. All documents and correspondence concerning Ohio State University’s 

knowledge and/or approval of the article, Gómez, EF, Michel Jr., FC. “Biodegradability of 

conventional and bio-based plastics and natural fiber composites during composting, anaerobic 

digestion and long-term soil incubation” Polymer Degradation and Stability. Vol. 98 (December 

2013): 2583-2591.

12. All documents concerning any presentations, official discussions, lectures, 

interviews and/or publications in which the article Gómez, EF, Michel Jr., FC. “Biodegradability 

of conventional and bio-based plastics and natural fiber composites during composting, 

anaerobic digestion and long-term soil incubation” Polymer Degradation and Stability. Vol. 98 

(December 2013): 2583-2591 was discussed.

13. All documents concerning any other test, article, report, and/or project involving 

ASTM International standards D5511, and D5526. 

14. All correspondence between you and Frederick C Michel Jr. concerning 

biodegradable products; biodegradable plastic products; compostable products; compostable 

plastic products; ECM BioFilms; ECM additives and/or plastic products allegedly containing 

ECM additives; Dr. Ramani Narayan; all versions of ASTM D5511, D5526, D5338, D6400; 

and/or Biodegradable Products Institute (“BPI”). 

PUBLIC DOCUMENT
6 

15. All documents concerning Dr. Ramani Narayan. 

16. All correspondence between you and Dr. Ramani Narayan. 

17. All documents concerning the BPI.

18. All correspondence between you and the BPI. 

19. All correspondence between you and any member, employee, or representative of 

ASTM International.

20. All correspondence between you and any member, employee, representative, or 

officer of the United States Federal Trade Commission.

21. All documents concerning your education, training, and experience, including a 

list of all current and pending articles and written works that you have authored or co-authored. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents3, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of Ohio State University who have knowledge 

of such matters, can authenticate the documents and materials produced, and 

who can testify to such matters.

 3 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
7 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 14

CCX-A:14

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 28, 2014 

VIA UPS

Frederick C Michel Jr.

Ohio State University

207 Hayden Hall 

1680 Madison Avenue 

Wooster, Ohio 44691 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Mr. Michel: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests the 

production of documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter. 

 Please provide all requested documents no later than March 17, 2014. We welcome you 

to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

FREDERICK C MICHEL JR. 

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena.

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning2 ECM BioFilms, Inc.

2. All correspondence between you and ECM BioFilms, Inc.

3. All documents sent or received by you making reference to ECM BioFilms, 

Robert Sinclair, or ECM BioFilms Master Batch Pellets. 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena.

PUBLIC DOCUMENT
4 

4. All documents concerning any test or report (including any and all notes and raw 

data) performed or written about a product or substance containing any product of ECM 

BioFilms, Inc., including “ECM Masterbatch Pellets.” 

5. All documents concerning the article, Gómez, EF, Michel Jr., FC. 

“Biodegradability of conventional and bio-based plastics and natural fiber composites during 

composting, anaerobic digestion and long-term soil incubation” Polymer Degradation and 

Stability. Vol. 98 (December 2013): 2583-2591.

6. All drafts and notes concerning the article, Gómez, EF, Michel Jr., FC. 

“Biodegradability of conventional and bio-based plastics and natural fiber composites during 

composting, anaerobic digestion and long-term soil incubation” Polymer Degradation and 

Stability. Vol. 98 (December 2013): 2583-2591.

7. All documents concerning the involvement of any and all individuals with the 

article, Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and 

natural fiber composites during composting, anaerobic digestion and long-term soil incubation” 

Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591, and/or the tests and 

procedures described in such article.

8. All documents concerning the actual tests and procedures (including any and all 

notes, drafts, protocols, identity and sources of the ECM additives received and used, and all raw 

data) described in “Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based 

plastics and natural fiber composites during composting, anaerobic digestion and long-term soil 

incubation” Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591.

9. Reserve samples of all plastics allegedly containing the ECM additive that are 

referenced in the article, “Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bioPUBLIC DOCUMENT
5 

based plastics and natural fiber composites during composting, anaerobic digestion and longterm soil incubation” Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591. 

10. All documents specifically concerning all funding and sources of funding for the 

article, Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and 

natural fiber composites during composting, anaerobic digestion and long-term soil incubation” 

Polymer Degradation and Stability. Vol. 98 (December 2013): 2583-2591.

11. All documents and correspondence concerning Ohio State University’s 

knowledge and/or approval of the article, Gómez, EF, Michel Jr., FC. “Biodegradability of 

conventional and bio-based plastics and natural fiber composites during composting, anaerobic 

digestion and long-term soil incubation” Polymer Degradation and Stability. Vol. 98 (December 

2013): 2583-2591.

12. All documents concerning any presentations, official discussions, lectures, 

interviews and/or publications in which the article Gómez, EF, Michel Jr., FC. “Biodegradability 

of conventional and bio-based plastics and natural fiber composites during composting, 

anaerobic digestion and long-term soil incubation” Polymer Degradation and Stability. Vol. 98 

(December 2013): 2583-2591 was discussed.

13. All documents concerning any other test, article, report, and/or project involving 

all versions of ASTM International standard D5511. 

14. All correspondence between you and Eddie F. Gómez concerning biodegradable 

products; biodegradable plastic products; compostable products; compostable plastic products; 

ECM BioFilms; ECM additives and/or plastic products allegedly containing ECM additives; Dr. 

Ramani Narayan; all versions of ASTM D5511, D5526, D5338, D6400; and/or Biodegradable 

Products Institute (“BPI”). 

PUBLIC DOCUMENT
6 

15. All documents concerning Dr. Ramani Narayan. 

16. All correspondence between you and Dr. Ramani Narayan. 

17. All documents concerning the BPI.

18. All correspondence between you and the BPI. 

19. All correspondence between you and any member, employee, or representative of 

ASTM International.

20. All correspondence between you and any member, employee, representative, or 

officer of the United States Federal Trade Commission.

21. All documents concerning your education, training, and experience, including a 

list of all current and pending articles and written works that you have authored or co-authored. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents3, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents.

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of Ohio State University who have knowledge 

of such matters, can authenticate the documents and materials produced, and 

who can testify to such matters.

 3

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
7 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 15

CCX-A:15

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 13, 2014 

VIA UPS

Dr. Ramani Narayan

2527 Engineering Building / C-10 Engineering Research Complex

Michigan State University

East Lansing, MI 48824 

(e) narayan@msu.org 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. Narayan: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests that you 

produce documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than February 28, 2014. We welcome 

you to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

DR. RAMANI NARAYAN

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All document in your possession concerning2 the biodegradability of plastics 

generally and in Municipal Solid Waste Landfills in particular whether or not in the presence of 

other biodegradable material. 

2. Regardless of the date of such document, all documents concerning ECM 

BioFilms, Inc.

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena. 

PUBLIC DOCUMENT
4 

3. Regardless of the date of such correspondence, all correspondence between you 

and any member, employee, representative, or officer of ECM BioFilms, Inc.

4. Regardless of the date of such correspondence, all correspondence between you 

and any BPI employee, member, representative, of or concerning ECM BioFilms, Inc. or any of 

ECM’s employees, officers, and representatives. 

5. All documents concerning the Federal Trade Commission’s (“FTC”) “Revised 

Green Guides” published in October 2012. 

6. All correspondence between you and the Federal Trade Commission or any 

Federal Trade Commission employee or agent. 

7. All documents concerning or related to any version of the American Society of 

Testing and Materials’ (“ASTM”) testing methods D5511 and D5526. 

8. All documents concerning or related to any amendment or proposed amendment 

of any version of ASTM D5511 and D5526. 

9. All documents concerning or related to ASTM committees and subcommittees 

D20, D20.92, D20.96. 

10. All documents concerning any comments and/or “negatives” associated with any 

version of ASTM D5511 and D5526. 

11. All correspondence between you ASTM International or any employee or 

representative of ASTM International concerning testing methods D5511 and D5526, and all 

committees and subcommittees that are associated with, work on, relate to, or concern testing 

methods D5511 and D5526. 

PUBLIC DOCUMENT
5 

12. Since January 1, 2006, all documents concerning the study performed in 2006 by 

APCO Insight (“APCO Study”) for the American Chemistry Council concerning public 

perception of the term “biodegradable” and related topics.

13. All documents concerning the theory that it is scientifically invalid and/or 

inaccurate and/or improper to extrapolate from results obtained from tests modeled after or 

following ASTM D5511 and/or D5526 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents3, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees who have knowledge of such matters, can 

authenticate the documents and materials produced, and who can testify to 

such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

 3 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 16

CCX-A:16

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 28, 2014 

VIA UPS

Dr. Ramani Narayan

2527 Engineering Building / C-10 Engineering Research Complex

Michigan State University

East Lansing, MI 48824 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Dr. Narayan: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum. This subpoena requests that you 

produce documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than March 17, 2014. We welcome you 

to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUPPLEMENTAL SUBPOENA DUCES TECUM DIRECTED 

TO 

DR. RAMANI NARAYAN

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 1998 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. Documents that were responsive to, and produced in accordance with, the original subpoena 

duces tecum sent to you on February 13, 2014 need not be submitted again. However, your 

supplemental response should indicate, for each document s previously submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

H. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

PUBLIC DOCUMENT
2 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program.

I. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

J. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

K. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

L. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

PUBLIC DOCUMENT
3 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

M. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1

, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. Regardless of the date, all contracts, retainers, engagement letters between you

and any public or private firm. 

2. Regardless of the date, all contracts, retainers, and/or agreements with Michigan 

State University (“MSU”). 

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

PUBLIC DOCUMENT
4 

3. All documents concerning all grants with which you are involved and/or 

associated with, including, but not limited to the source of all funding for said grants. 

4. Regardless of the date, all contracts, retainers, and/or engagement letters between 

you and the Biodegradable Products Institute (“BPI”). 

5. All documents revealing shares of stock or ownership interests held by you in any 

company. 

6. All documents revealing consultancies, officer or director positions, and financial 

arrangements between you and any company, university, or other financial institution. 

7. All correspondence between you and any private company concerning plastics, 

biodegradation, ECM BioFilms, and any other company involved in the manufacture of 

biodegradable products 

8. All documents and correspondence between you and the authors of the article 

Gómez, EF, Michel Jr., FC. “Biodegradability of conventional and bio-based plastics and natural 

fiber composites during composting, anaerobic digestion and long-term soil incubation” Polymer 

Degradation and Stability. Vol. 98 (December 2013): 2583-2591.

9. All scientific publications authored by you. 

10. All papers delivered by you at speaking events 

11. All documents revealing awards, bonuses, stock options, or other accolades 

bestowed upon you and all correspondence associated with each.

12. All correspondence in which you presented a proposal, voted on a proposal, or 

opposed a proposal then undergoing active consideration by the ASTM. 

PUBLIC DOCUMENT
5 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents2, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of Michigan State University who have 

knowledge of such matters, can authenticate the documents and materials 

produced, and who can testify to such matters. 

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 2

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 17

CCX-A:17

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 13, 2014 

VIA UPS

Organic Waste Systems, Inc.

7155 Five Mile Road 

Cincinnati, OH 45230 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Sir or Madam: 

 Pursuant to the Federal Trade Commission’s Rules of Practice, please find enclosed 

Respondent ECM BioFilms, Inc.’s subpoena duces tecum to O.W.S. This subpoena requests the 

production of documents and other materials. Included with the subpoena is Schedule A, which 

describes the instructions and specific requests of Respondent and a copy of the Protective Order 

issued in this matter.

 Please provide all requested documents no later than February 28, 2014. We welcome 

you to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

ORGANIC WASTE SYSTEMS, INC. (UNITED STATES HQ)

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents concerning2 ECM BioFilms, Inc.3

2. All correspondence between O.W.S. and any employee, representative, or 

distributor of ECM BioFilms, Inc. 

3. All documents sent or received by OWS employees making reference to ECM 

BioFilms, Robert Sinclair, or ECM BioFilms Master Batch Pellets

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2

 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena. 

3 ECM BioFilms Inc. is an American corporation with its principal place of business at 

Victoria Place – Suite 225, 100 South Park Place, Painesville, Ohio 44077, United States.

PUBLIC DOCUMENT
4 

4. All documents concerning Gary Plastic Packaging Corporation4 (GPPC) and/or 

any test or report (including any and all notes and raw data) performed or written for GPPC, 

including, but not limited to, “Study GLH-2: Review of Several Documents, Reports and 

Statements on Biodegradation of ECM Masterbatch Pellets.” 

5. All documents concerning any test or report (including any and all notes and raw 

data) performed or written about a product or substance containing any product of ECM 

BioFilms, Inc., including “ECM Masterbatch Pellets.” 

6. All documents concerning any test or report (including any and all notes and raw 

data) performed or written about products or substances claims to be biodegradable. 

7. All correspondence between O.W.S. and any employee or representative or 

officer of GPPC.

8. All correspondence between O.W.S. and any member, employee, representative, 

or officer of the United States Federal Trade Commission.

9. All documents concerning the education, training, and experience of Mr. Bruno 

de Wilde.

10. A list of all tests and reports authored by Mr. de Wilde.

11. All employee evaluations of Mr. de Wilde.

12. All documents written or authored by Mr. de Wilde concerning biodegradable 

plastics.

13. All documents concerning the education, training, and experience of Mr. Richard 

Tillinger.

14. All employee evaluations of Mr. Tillinger.

 4 Gary Plastic Packaging is an American company located at 1340 Viele Avenue, Bronx, 

NY 10474, United States. 

PUBLIC DOCUMENT
5 

15. A list of all tests and reports authored by Mr. Tillinger.

16. All documents written or authored by Mr. Tillinger concerning biodegradable 

plastics.

17. All documents concerning or related to any version of the American Society of 

Testing and Materials’ (“ASTM”) testing methods D5511 and D5526. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents5, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents. 

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of O.W.S who have knowledge of such 

matters, can authenticate the documents and materials produced, and who can 

testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

 5

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

 Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 18

CCX-A:18

PUBLIC DOCUMENT
 EMORD & ASSOCIATES, P.C. (202) 466-6937/FAX (202) 466-6938

WASHINGTON, D.C. | VIRGINIA | ARIZONA WWW.EMORD.COM

February 28, 2014 

VIA EMAIL

Christine Haaker, Counsel to 

O.W.S, Inc.

(e): Christine.Haaker@thompsonhine.com 

Re: In the Matter of ECM BioFilms, Inc., Docket No. 9358 

Dear Ms. Haaker: 

 We understand that you represent O.W.S., Inc. and have agreed to accept service on 

behalf of O.W.S., Inc. Pursuant to the Federal Trade Commission’s Rules of Practice, please 

find enclosed Respondent ECM BioFilms, Inc.’s amended subpoena duces tecum to O.W.S. 

This subpoena requests the production of documents and other materials. Included with the 

subpoena is Schedule A, which describes the instructions and specific requests of Respondent 

and a copy of the Protective Order issued in this matter. 

 Please provide all requested documents no later than March 14, 2014. We welcome you 

to contact us with questions.

 Sincerely,

 

 Jonathan W. Emord 

Peter A. Arhangelsky

 Lou F. Caputo 

11808 WOLF RUN LANE

CLIFTON, VA 20124

3210 S. GILBERT ROAD

SUITE 4 

CHANDLER, AZ 85286

(602) 388-8899 | FAX (602) 393-4361

1050 SEVENTEENTH STREET, N.W.

SUITE 600

WASHINGTON, D.C. 20036

(202) 466-6937 | FAX (202) 466-6938

Lou F. Caputo, Esq.

602.388.8901

lcaputo@emord.com

A Professional Corporation

WASHINGTON | VIRGINIA | PHOENIX

PUBLIC DOCUMENT
PUBLIC DOCUMENT
1 

SCHEDULE “A” TO SUBPOENA DUCES TECUM DIRECTED TO 

O.W.S., INC.

INSTRUCTIONS

A. Unless otherwise specified, the time period covered by a numbered request shall be limited to 

the time period extending from January 1, 2007 until the present date, unless differently 

stated therein.

B. Documents must be delivered to Counsel for Respondent at the following address: 

Emord & Associates, P.C., 

3210 South Gilbert Road, Suite 4 

Chandler, AZ 85286 

C. A complete copy of each document should be submitted even if only a portion of the 

document is within the terms of the numbered request. The document shall not be edited, cut 

or expunged and shall include all covering letters and memoranda, transmittal slips, 

appendices, tables or other attachments.

D. All information submitted shall be clearly and precisely identified as to the numbered 

request(s) to which it is responsive. Pages in the submission should be numbered 

consecutively, and each page should be marked with a unique “Bates” document tracking 

number. 

E. Documents covered by these numbered requests are those which are in your possession or 

under your actual or constructive custody or control, whether or not such documents were 

received from or disseminated to any other person or entity, including attorneys, accountants, 

directors, officers and employees. 

F. Documents that may be responsive to more than one numbered request need not be submitted 

more than once. However, your response should indicate, for each document submitted, each 

numbered request to which the document is responsive. Identification shall be by the Bates 

number if the documents(s) were so numbered when submitted or by author and subject 

matter if not so numbered. 

G. If any of the documentary materials requested in these numbered requests are available in 

machine-readable form (such as floppy or hard disks, drums, core storage, magnetic tapes or 

punch cards), state the form in which it is available and describe the type of computer or 

other machinery required to read the documents involved. If the information requested is 

stored in a computer or a file or record generated by a computer, indicate whether you have 

an existing program that will print the information in readable form and state the name, title, 

business address and telephone number of each person who is familiar with the program. 

H. All objections to these numbered requests, or to any individual request, must be raised in the 

initial response or otherwise waived. 

PUBLIC DOCUMENT
2 

I. The Federal Trade Commission’s Rules of Practice describes withholding requested material 

responsive to a subpoena under Rule 3.38A For your convenience, Rule 3.38A states: 

(a) Any person withholding material responsive to a subpoena 

issued pursuant to §3.34 or §3.36, written interrogatories requested 

pursuant to §3.35, a request for production or access pursuant to 

§3.37, or any other request for the production of materials under 

this part, shall assert a claim of privilege or any similar claim not 

later than the date set for production of the material. Such person 

shall, if so directed in the subpoena or other request for production, 

submit, together with such claim, a schedule which describes the 

nature of the documents, communications, or tangible things not 

produced or disclosed - and does so in a manner that, without 

revealing information itself privileged or protected, will enable 

other parties to assess the claim. The schedule need not describe 

any material outside the scope of the duty to search set forth in 

§3.31(c)(2) except to the extent that the Administrative Law Judge 

has authorized additional discovery as provided in that paragraph. 

(b) A person withholding material for reasons described in 

§3.38A(a) shall comply with the requirements of that subsection in 

lieu of filing a motion to limit or quash compulsory process. 

J. The Federal Trade Commission’s Rules of Practice describes motions to quash and/or limit 

subpoenas under Rule 3.34(c). For your convenience, Rule 3.34 states in relevant part: 

(c) Motions to quash; limitation on subpoenas. Any motion by the 

subject of a subpoena to limit or quash the subpoena shall be filed 

within the earlier of 10 days after service thereof or the time for 

compliance therewith. Such motions shall set forth all assertions of 

privilege or other factual and legal objections to the subpoena, 

including all appropriate arguments, affidavits and other 

supporting documentation, and shall include the statement required 

by §3.22(g). Nothing in paragraphs (a) and (b) of this section 

authorizes the issuance of subpoenas except in accordance with 

§§3.31(c)(2) and 3.36. 

K. Some documents that you are requested to provide may be confidential. In the Protective 

Order dated October 22, 2013, Chief Administrative Law Judge D. Michael Chappell ordered 

that a party conducting discovery from third parties shall provide such third parties a copy of 

the Protective Order so as to inform third parties of his, her, or its rights. See ALJ Protective 

Order at 2, ¶4. Accordingly, a copy of the Protective Order is attached with this subpoena. 

L. If any requested material is withheld based on a claim of privilege, submit together with such 

claim a schedule of the items withheld. For each item withheld, the schedule should state: (a) 

the item’s type, title, specific subject matter and date; (b) the names, addresses, positions and 

organizations of all authors or recipients of the item; and (c) the specific grounds for 

PUBLIC DOCUMENT
3 

claiming that the item is privileged. If only part of a responsive document is privileged, all 

non-privileged portions of the document must be submitted. 

DESCRIPTION OF DOCUMENTS REQUESTED

Please produce the original or copies of the following documents (the term ”documents” 

shall include all records, books of account, worksheets, checks, instructions, specifications, 

manuals, reports, books, periodicals, pamphlets, publications, raw and refined data, memoranda, 

graphs, drawings, notes, lab books, advertisements, list studies, meeting minutes, working 

papers, transcripts, magnetic tapes or discs, punch cards, computer printouts, letters, 

correspondence1, agreements, drafts of agreements, telegrams, email, drafts, proposals, employee 

records, customer records, log files recommendations, and any other data recorded in readable 

and/or retrievable form, whether typed, handwritten, reproduced, magnetically recorded, coded, 

or in any other ay made readable or retrievable): 

1. All documents and correspondence concerning2 ECM BioFilms, Inc.,

3

 Robert 

Sinclair, and/or ECM BioFilms Master BatchPellets

2. All documents and correspondence concerning any test or report (including any 

and all notes and raw data) performed or written for Gary Plastic Packaging Corporation4

 1 The term “correspondence” is intended, used, and defined in its broadest sense 

allowable under the FTC Rules of Practice. Such term includes, but is not limited to embrace 

emails, documents appended to emails, reports and any other written or electronic document of 

any kind that is communicated from the subpoena recipient or its agents to any and all other 

persons and entities. 

2

 The term “concerning” is intended, used, and defined in its broadest sense allowable 

under the FTC Rules of Practice and should be considered to be synonymous with regarding, 

relating to, mentioning, discussing, referencing, implicating, explaining, or about the documents 

subject to any and all individual requests in this subpoena. 

3 ECM BioFilms Inc. is an American corporation with its principal place of business at 

Victoria Place – Suite 225, 100 South Park Place, Painesville, Ohio 44077, United States.

4 Gary Plastic Packaging is an American company located at 1340 Viele Avenue, Bronx, 

NY 10474, United States. 

PUBLIC DOCUMENT
4 

(GPPC) including, but not limited to, “Study GLH-2: Review of Several Documents, Reports 

and Statements on Biodegradation of ECM MasterBatch Pellets.” 

3. All correspondence between O.W.S. and any member, employee, representative, 

or officer of the United States Federal Trade Commission.

4. All correspondence between O.W.S. and any member, employee, and/or 

representative of the Biodegradable Products Institute (“BPI”). 

5. All documents concerning any test or report (including any and all notes and raw 

data) performed or written related to the biodegradability of plastic products under ASTM 

standards D5511, D5526, and D5338 or equivalent standard.

6. All documents concerning the education, training, experience, and employee 

evaluations of Mr. Bruno de Wilde. 

7. All documents written or authored by Mr. de Wilde concerning plastic products 

claiming to be biodegradable with the use of an additive product, including, but not limited to 

ECM’s additive (MasterBatch Pellets).

8. All documents concerning the education, training, experience, and employee 

evaluations of Mr. Richard Tillinger. 

9. All documents, including tests and reports, written or authored by Mr. Tillinger 

concerning plastic products claiming to be biodegradable with the use of an additive product, 

including, but not limited to ECM’s additive (MasterBatch Pellets).

10. All documents and correspondence concerning any amendments, vote(s), and/or 

“negatives” related to ASTM standards D5511, D5526, and D5338. 

INSTRUCTIONS FOR COMPLIANCE BY DELIVERY OF DOCUMENTS

If documents are delivered by hand, overnight delivery service, certified mail, or any other 

means your response shall be accompanied by an affidavit, executed by you that provides: 

PUBLIC DOCUMENT
5 

The names, addresses, positions, and organizations of all persons whose files 

were searched and all persons who participated in or supervised the collection 

of the documents5, and a brief description of the nature of the work that each 

person performed in connection with the collecting the documents.

A statement that the search was complete and that responsive documents are 

being produced. 

A statement as to whether the documents were made at or near the time of the 

occurrence of the matters set forth in such documents, kept in the course of 

your regularly conducted business, whether it was your regular practice to 

make and keep such documents, and the custodian of records and/or other 

executive(s) and/or employees of O.W.S. who have knowledge of such 

matters, can authenticate the documents and materials produced, and who can 

testify to such matters.

A statement as to whether any document called for by the subpoena has been 

misplaced, lost or destroyed. If any document has been misplaced, lost, or 

destroyed, identify: type of documents the date (or approximate date) of the 

documents, subject matter of the documents, all persons to whom it was 

addressed, circulated, or shown; its date of destruction, or when it was lost or 

misplaced; the reason it was destroyed, lost or misplaced; and the custodian of 

the documents on the date of its destruction, loss, or misplacement. 

A declaration that states:

I declare (or certify, verify, or state) under penalty of perjury that the forgoing 

is true and correct. 

Executed on [date].

[Signature of party executing the declaration]

 Respectfully submitted,

 /s/ Jonathan W. Emord____

 Jonathan W. Emord, Esq. 

 EMORD & ASSOCIATES, P.C.

 11808 Wolf Rune Lane 

 Clifton, VA 20124 

 5

 “Document” and “documents” as used in this Attachment are defined in this subpoena’s 

“Description of Documents Requested” section. 

PUBLIC DOCUMENT
6 

 Ph: 202-466-6937 

 Fx: 202-466-6938 

Em: jemord@emord.com 

Counsel to ECM BioFilms, Inc. 

PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
PUBLIC DOCUMENT
Complaint Counsel 

Exhibit A 

Attachment 19 

CCX-A:19

PUBLIC DOCUMENT
   

1 

UNITED STATES OF AMERICA 

BEFORE THE FEDERAL TRADE COMMISSION 

OFFICE OF THE ADMINISTRATIVE LAW JUDGES 

Washington, D.C. 

In the Matter of 

ECM BioFilms, Inc., 

a corporation, also d/b/a 

Enviroplastics International, 

Respondent. 

 

Docket No. 9358 

 

RESPONDENT ECM BIOFILM’S EXPERT WITNESS LIST

 Respondent ECM BioFilms, Inc. (“ECM”), pursuant to the Court’s November 21, 2013 

Scheduling Order, hereby identifies those experts upon whom Respondent may call to testify in 

response to Complaint Counsel’s case-in-chief, in defense of Respondent generally, or in support 

of Respondent’s affirmative defenses. 

1. Dr. Ranajit Sahu, Ph.D. 

311 North Story Place 

Alhambra, CA 91801 

Dr. Sahu’s anticipated testimony will be described in his expert report, which Respondent 

will produce to Complaint Counsel by the date set in the Court’s Scheduling Order. The 

general subject matter of his anticipated testimony includes, but is not limited to, 

biodegradation of plastic polymers with and without ECM’s additive; ASTM testing 

protocols and standards; and an evaluation of science related to, and ECM’s 

substantiation for, ECM’s biodegradability claims. 

2. Dr. Ryan N. Burnette, Ph.D. 

Alliance Biosciences 

9011 Arboretum Parkway, Suite 310 

Richmond, VA 23236 

Dr. Burnette’s anticipated testimony will be described in his expert report, which 

Respondent will produce to Complaint Counsel by the date set in the Court’s Scheduling 

Order. The general subject matter of his anticipated testimony includes, but is not limited 

to, biodegradation of organic and inorganic matter, including plastic polymers; 

PUBLIC DOCUMENT
   

2 

microbiological metabolism, life cycles, colonization, and procreation in laboratory and 

environmental biota; testing protocols and standards; biochemical principles involved in 

plastics degradation; and an evaluation of Respondent’s substantiation. 

3. Dr. David W. Stewart, Ph.D. 

Loyola Marymount University 

College of Business Administration 

1 LMU Drive 

Los Angeles, CA 90045 

Dr. Stewart’s anticipated testimony will be described in his expert report, which 

Respondent will produce to Complaint Counsel by the date set in the Court’s Scheduling 

Order. The general subject matter of his anticipated testimony includes, but is not limited 

to, consumer perception of biodegradable marketing claims and Respondent’s 

biodegradability claims; materiality of Respondent’s biodegradable marketing claims; 

and the Federal Trade Commission’s reliance on consumer perception data in the field of 

biodegradable marketing claims. 

4. Dr. Morton A. Barlaz, Ph.D., P.E. 

North Carolina State University 

Dept. of Civil, Construction & Environmental Engineering 

Campus Box 7908 

Raleigh, NC 27695-7908 

Dr. Barlaz’s anticipated testimony will be described in his expert report, which 

Respondent will produce to Complaint Counsel by the date set in the Court’s Scheduling 

Order. The general subject matter of his anticipated testimony includes, but is not limited 

to, biodegradation of municipal solid waste under specific landfill conditions; conditions 

in various categories of municipal solid waste landfills, biodigestors, and bioreactors; and 

waste composition. 

5. Dr. Alexander Volokh, Ph.D., J.D. 

Emory Law School 

1301 Clifton Rd. 

Atlanta, GA 30322 

Dr. Volokh’s anticipated testimony will be described in his expert report, which 

Respondent will produce to Complaint Counsel by the date set forth in the Court’s 

Scheduling Order. The general subject matter of his anticipated testimony includes, but 

is not limited to, the nature, extent, and importance of conflicts of interest present; the 

nature and extent of economic damages suffered by ECM; the materiality and economic 

significance of ECM’s marketing claims. 

PUBLIC DOCUMENT
   

3 

DATED: March 12, 2014 

Respectfully submitted, 

 /s/ Jonathan W. Emord 

 Jonathan W. Emord (jemord@emord.com) 

 EMORD & ASSOCIATES, P.C. 

 11808 Wolf Run Lane 

 Clifton, VA 20124 

 Telephone: 202-466-6937 

Facsimile: 202-466-6938 

 

PUBLIC DOCUMENT
   

4 

CERTIFICATE OF SERVICE 

I hereby certify that on March 12, 2014, I caused a true and correct copy of the foregoing 

Respondent’s Expert Witness List to be served on Complaint Counsel as follows: 

One electronic copy to Counsel for Complainant: 

Katherine Johnson (kjohnson3@ftc.gov) 

Federal Trade Commission 

600 Pennsylvania Avenue, NW 

Mail stop M-8102B 

Washington, D.C. 20580 

Elisa Jillson (ejillson@ftc.gov) 

Federal Trade Commission 

600 Pennsylvania Avenue, NW 

Mail stop M-8102B 

Washington, D.C. 20580 

 Jonathan Cohen (jcohen2@ftc.gov) 

Federal Trade Commission 

600 Pennsylvania Avenue, NW 

Mail stop M-8102B 

Washington, D.C. 20580 

I further certify that I retain a paper copy of the signed original of the foregoing 

document that is available for review by the parties and adjudicator consistent with the 

Commission’s Rules. 

      

   

DATED: March 12, 2014 

        /s/ Jonathan W. Emord 

 Jonathan W. Emord 

 EMORD & ASSOCIATES, P.C. 

 11808 Wolf Run Lane 

 Clifton, VA 20124 

 Telephone: 202-466-6937

PUBLIC DOCUMENT