Opinion ID: 200029
Heading Depth: 3
Heading Rank: 1

Heading: Untimely Disclosure

Text: 16 The court's exclusion of Dr. Lorenzo's testimony on the ground of untimely disclosure is a discovery sanction under Fed.R.Civ.P. 37(c) 5 for a violation of the mandatory discovery rules under Fed.R.Civ.P. 26(a)(2). 6 We review that ruling under an abuse of discretion standard. See Thibeault v. Square D Co., 960 F.2d 239, 243 (1st Cir.1992) (In reviewing a trial court's sanction order concerning a discovery-related matter, an abuse-of-discretion standard controls.). 17 Rule 26(a)(2) mandates the timely disclosure of the identity of expert witnesses as well as expert reports in accordance with the directions of the trial court. Here, the district court, in its January 26, 2000, scheduling order, directed the parties to identify their expert witnesses and summarize each expert witness's qualifications in a joint proposed pre-trial order to be filed no later than August 18, 2000. In their August pre-trial memorandum, however, plaintiffs listed Dr. Bayard as their only expert witness. It was not until October 26, 2000, barely a week before trial, that plaintiffs disclosed their intention to use Dr. Lorenzo as an expert witness. 7 Until then, Dr. Batlle had no notice of plaintiffs' intention to retain another medical expert witness. Dr. Lorenzo's expert report and curriculum vitae were not provided to Dr. Batlle until the night of October 30, 2000, a mere three days before trial. 18 Plaintiffs argue that their failure to comply with the discovery rules in a more timely manner was justified by the unusual circumstances of the case, described as the likelihood of settlement with all of the defendants. Given that likelihood, they opted not to retain Dr. Lorenzo earlier in the litigation in an effort to keep costs down, thus maximizing the possibility of settlement. Only on October 25 when Dr. Batlle unequivocally rejected the $20,000 settlement demand did they retain Dr. Lorenzo as an expert and expedite the production of expert reports. 19 That justification, however, is woefully inadequate to excuse plaintiffs' tardy disclosures. Litigants routinely engage in settlement negotiations until the eve of trial and beyond. That reality does not excuse them from responding to interrogatories and retaining experts and disclosing them and their reports to opposing counsel in a timely manner pursuant to the discovery rules. Plaintiffs simply chose to postpone the costs associated with retaining an expert in an attempt to increase, in their view, the likelihood of settlement. In doing so, they assumed the risk that their delayed trial preparation would compromise their ability to put on their best case. To excuse their belated disclosures now would relieve them of the consequences of the risk they assumed. 20 Furthermore, we have recognized that [i]n the arena of expert discovery — a setting which often involves complex factual inquiries — Rule 26 increases the quality of trials by better preparing attorneys for cross-examination. Id. at 244. We cannot ignore the real danger that, if Dr. Lorenzo had been allowed to testify, plaintiffs' belated disclosures would have undermined defense counsel's ability to cross-examine her. See id. at 246-47 (Many courts — this court included — have recognized the introduction of new expert testimony on the eve of trial can be seriously prejudicial to the opposing party.). 21 As noted above, district courts have broad discretion in meting out Rule 37(c) sanctions for Rule 26 violations. See Ortiz-Lopez v. Sociedad Espanola de Auxilio Mutuo Y Beneficiencia de Puerto Rico, 248 F.3d 29, 34 (1st Cir.2001). These sanctions range from limited exclusion to dismissal of the case entirely. See id. [E]xclusion of evidence is a standard sanction for a violation of the duty of disclosure under Rule 26(a). Samos Imex Corp. v. Nextel Communications, Inc., 194 F.3d 301, 305 (1st Cir.1999). Given the facts in this case, we could hardly say that the district court exceeded its discretion in excluding Dr. Lorenzo's testimony.