Banks v. Office of the Senate Sergeant-At-Arms

471 F.3d 1341, 374 U.S. App. D.C. 93, 2006 U.S. App. LEXIS 30823, 89 Empl. Prac. Dec. (CCH) 42,667, 99 Fair Empl. Prac. Cas. (BNA) 801, 2006 WL 3687761
CourtCourt of Appeals for the D.C. Circuit
DecidedDecember 15, 2006
Docket05-5322, 05-5323, 05-5324, 05-5335
StatusPublished
Cited by28 cases

This text of 471 F.3d 1341 (Banks v. Office of the Senate Sergeant-At-Arms) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Banks v. Office of the Senate Sergeant-At-Arms, 471 F.3d 1341, 374 U.S. App. D.C. 93, 2006 U.S. App. LEXIS 30823, 89 Empl. Prac. Dec. (CCH) 42,667, 99 Fair Empl. Prac. Cas. (BNA) 801, 2006 WL 3687761 (D.C. Cir. 2006).

Opinion

Opinion for the Court filed by Circuit Judge GRIFFITH.

On Petition for Writ of Mandamus

GRIFFITH, Circuit Judge.

This interlocutory appeal of a discovery sanction arises out of a suit brought by a former employee of the Office of the Senate Sergeant-at-Arms and Doorkeeper of the United States Senate (“SAA”) alleging employment discrimination in violation of Title VII. During discovery, the SAA repeatedly failed to timely produce a privilege log in response to numerous appropriate requests from the plaintiff and without court permission. A magistrate judge ordered the SAA to pay plaintiffs attorney’s *1343 fees incurred in his efforts to obtain the privilege log. The district court affirmed the sanction, and the SAA appeals asserting sovereign immunity from discovery sanctions. In the alternative, the SAA asks us to issue a writ of mandamus reversing the award. We dismiss the appeal because we lack jurisdiction under the collateral order doctrine to review a discovery sanction until the district court enters a final judgment. We deny the petition because the circumstances of this appeal are not extraordinary — alternative adequate relief is available to the SAA by way of appeal from a final judgment.

I.

This case came before the district court under § 1408 of the Congressional Accountability Act of 1995, as amended, 2 U.S.C. §§ 1301-1438 (“CAA”). See 2 U.S.C. § 1408(a) (2000). The CAA applies select provisions of eleven federal employment laws to congressional offices, see id. § 1302(a), including the SAA. The plaintiff, Roy Banks, a former employee of the SAA covered by the CAA, see id § 1301(3)(b) and (4), alleged employment discrimination that violated Title VII of the Civil Rights Act of 1964.

The issue before us arose out of a dispute over the delayed production of a privilege log. Between July 2003 and January 2004, Banks served three document requests on the SAA. See Banks v. Office of Senate Sergeant-at-Arms, 222 F.R.D. 7, 18 (D.D.C.2004) (“May Opinion”). To each, the SAA refused to provide any documents, asserting that any responsive documents would be covered by the attorney-client privilege. Id. Rule 26(b)(5) of the Federal Rules of Civil Procedure requires that a party claiming privilege as a reason to withhold documents must produce a privilege log. ‘When a party withholds information otherwise discoverable under [the Federal Rules] by claiming that it is privileged ... the party shall ... describe the nature of the documents, communications, or things not produced or disclosed in a manner that, without revealing information itself privileged or protected, will enable other parties to assess the applicability of the privilege or protection.” fed. R. Civ. P. 26(b)(5). The SAA faded to comply with this requirement. See May Opinion at 18. Rather than seek a protective order relieving it of this obligation or granting it more time to create one, the SAA merely promised by letters to Banks that a log was in preparation. See id. After several months of correspondence with the SAA, Banks turned to the court for help and filed a motion to compel production of the log, which was produced shortly thereafter. See Banks v. Office of Senate Sergeant-at-Arms, 226 F.R.D. 113, 115 (D.D.C.2005) (“February Opinion”). Banks then moved for sanctions against the SAA. See id. The magistrate judge found no reason in the record for the SAA’s unapproved delay and ordered it to show cause why Banks should not be awarded attorney’s fees and costs for having to file a motion to compel in the first instance. May Opinion at 21 (citing fed R. Civ. P. 37(a)(4)).

In response to the show cause order, the SAA argued that its obligation to file a privilege log did not arise until the court had first ruled on other objections to the production sought, see February Opinion at 113. The magistrate judge rejected this argument, describing it as a “post hoc rationalization” unsupported by law, id., and ordered the SAA to pay Banks’ attorney’s fees. Id. at 117. In his opinion, the magistrate judge observed that

case law would have alerted any lawyer with a healthy respect for his own skin to either produce the privilege log with the [non-privileged] documents her [sic] *1344 client was producing, negotiate some other arrangement with opposing counsel, or seek judicial relief from the obligation to produce a privilege log until a date certain or until some other event .... What a lawyer cannot do is ignore the obligation to produce a privilege log when the opposing party has repeatedly demanded it for several months, and then, without judicial approval, further delay its production once opposing counsel formally demanded the privilege log by a letter. Id.

The SAA filed a motion for reconsideration of the magistrate judge’s order with the district court, arguing that Congress enjoys sovereign immunity from Rule 37 sanctions, Defendant’s Motion for Reconsideration at 2 (Mar. 3, 2005), thus leaving the federal courts without authority to award attorney’s fees to litigants who suffer from the misconduct of congressional lawyers. The district court summarily denied the SAA’s motion on July 4, 2005. Order Denying Motion for Reconsideration (July 4, 2005). The SAA makes the same argument on appeal.

II.

Before we can examine the issue raised by the SAA — whether the district court has authority to impose Rule 37 sanctions on an office of the legislative branch — we must first determine our own authority to consider this appeal, which is being made prior to the entry of a final judgment in the district court. “Jurisdiction is, of necessity, the first issue for an Article III court.” Tuck v. Pan Am. Health Org., 668 F.2d 547, 549 (D.C.Cir.1981). Both parties acknowledge that the contested interim award of attorney’s fees is not a final judgment and that we have no jurisdiction to review the sanction unless it falls within the narrow confínes of the collateral order doctrine, which, as we discuss below, allows us in some instances to conduct immediate review of interlocutory orders. Following clear and settled precedent, we conclude that the decision to award Banks’ attorney’s fees under Rule 37 is renewable on appeal from final judgment and is therefore not within our jurisdiction for review at this stage of the litigation. We do not grant mandamus relief for the same reason: the appellant has an adequate remedy at law and may appeal the contested decision following a final judgment. We find no threat to sovereign immunity sufficient to change this result.

Congress has limited our jurisdiction under 28 U.S.C. § 1291 to review of final district court decisions so that “[ajppeal gives the upper court a power of review, not one of intervention,” Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 546, 69 S.Ct. 1221, 93 L.Ed. 1528 (1949).

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Bluebook (online)
471 F.3d 1341, 374 U.S. App. D.C. 93, 2006 U.S. App. LEXIS 30823, 89 Empl. Prac. Dec. (CCH) 42,667, 99 Fair Empl. Prac. Cas. (BNA) 801, 2006 WL 3687761, Counsel Stack Legal Research, https://law.counselstack.com/opinion/banks-v-office-of-the-senate-sergeant-at-arms-cadc-2006.