Antonio Andon, &c., et al.,
Respondents,
v.
302-304 Mott Street Associates,
et al.,
Appellants.
(And a third-party action.)
2000 NY Int. 54
We are called upon to decide whether, in this action for damages resulting from alleged lead-paint injuries to an infant plaintiff, the plaintiff-mother can be compelled to submit to an IQ examination in compliance with defendants' discovery demand under our civil action disclosure rules as a matter of law. We conclude, under the circumstances presented here, she cannot.
Plaintiff Prudencia Andon commenced this action on
Plaintiffs opposed defendants' motion, arguing that the information sought bore only a "hypothetical relevance" to the cause of the infant plaintiff's injuries. Plaintiffs noted that there was no factual demonstration of relevance, that the mother's mental abilities were not in issue, and that Dr. Adesman failed to supply any scientific literature to support his conclusions. Plaintiffs further noted that defendants had already subjected the infant plaintiff to a battery of tests, and that defendants' own expert concluded that the child's deficiencies were not due to lead-based paint, but environmental influences.
Supreme Court granted defendants' motion and directed that an IQ test be administered by defendants' expert, Dr. Carlos Flores, in accordance with the procedures set forth in his affidavit. The court ordered that the results not be used for purposes other than this litigation, reserving for trial decision on the admissibility of the test results. On plaintiffs' appeal, the Appellate Division reversed. The court concluded that the information sought was not discoverable under CPLR 3121(a) , since the mother's mental condition was not "in controversy" (Andon v 302-304 Mott St. Assocs., 257 AD2d 37, 39 [internal quotations omitted]). It also concluded that the information was not discoverable under CPLR 3101 , New York's general discovery provision. Although the court acknowledged the statute's policy of "far-reaching" pretrial discovery, it concluded that the test result would "hardly aid in the resolution of the question of causality" (id., at 40). The court added that, if the test of the mother's IQ were compelled, it would unnecessarily broaden the scope of the litigation and invite extraneous inquiries into the factors contributing to her IQ (id., at 40-41).
The Appellate Division granted defendants leave to appeal and certified the following question to us: "Was the order of this Court, which reversed the order of the Supreme Court, properly made?" We answer that question in the affirmative.
While discovery determinations rest within the sound
discretion of the trial court, the Appellate Division is vested
Although the Appellate Division's certification order
states that its decision was "made as a matter of law and not in
the exercise of discretion," we are not bound by that
characterization. Rather, we look to see whether the Appellate
Division's decision, regardless of its characterization,
nonetheless reflects a discretionary balancing of interests (see,
e.g., Small v Lorillard Tobacco Co., , 94 NY2d 43, 53; Brady v
Ottaway Newspapers, Inc.,
Nor did the Appellate Division abuse its discretion as a matter of law. CPLR 3101(a) entitles parties to "full disclosure of all evidence material and necessary in the prosecution or defense of an action, regardless of the burden of proof." What is "material and necessary" is left to the sound discretion of the lower courts and includes "any facts bearing on the controversy which will assist preparation for trial by sharpening the issues and reducing delay and prolixity. The test is one of usefulness and reason" (Allen v Crowell-Collier Pub. Co., , 21 NY2d 403, 406).
Here, the Appellate Division did not abuse its
discretion in holding that Dr. Adesman's affidavit -- on which
defendants' request was based -- was insufficient to justify
Upon reviewing the scientific basis for defendants'
request, the Appellate Division was within its discretion in
determining that the information sought was speculative and would
delay the proceedings by "turning the fact-finding process into a
Finally, the Appellate Division was entitled to
consider the burden imposed by an IQ examination and the personal
nature of the information sought. Although New York's discovery
provisions have been liberally construed to favor disclosure,
"litigants are not without protection against [their]
unnecessarily onerous application * * * 'Under our discovery
statutes and case law, competing interests must always be
balanced; the need for discovery must be weighed against any
special burden to be borne by the opposing party'" (Kavanagh v
Ogden Allied Maintenance Corp.,
To the extent defendants rely on cases permitting discovery (see, e.g., Anderson v Seigel, 255 AD2d 409; Salkey v Mott, 237 AD2d 504), we emphasize that discovery determinations are discretionary; each request must be evaluated on a case-by- case basis with due regard for the strong policy supporting open disclosure (see, Williams v Roosevelt Hosp., , 66 NY2d 391, 397). Absent an abuse of discretion as a matter of law, this Court will not disturb such determinations.
Accordingly, the order of the Appellate Division should be affirmed, with costs, and the certified question answered in the affirmative.