Pizza Hut of Santa Fe, Inc. v. Branch

552 P.2d 227, 89 N.M. 325
New Mexico Court of Appeals·Decided June 8, 1976·No. No. 2372·Published·Cited by 29 cases

Opinions

OPINION

SUTIN, Judge.

Plaintiff sued defendants to recover damages for breach of contract and for violation of fiduciary duties by certain of the defendants who acted as attorneys for plaintiff. The court entered an Order dismissing plaintiff’s complaint with prejudice, for failure of the plaintiff to answer interrogatories submitted by defendant Dickson & DuBois, P.A. (Dickson). The court entered a second Order denying plaintiff’s motion to vacate the first Order. Plaintiff appeals from both final Orders. We affirm.

A. Statement of Proceedings.

On April 15, 1975, plaintiff filed its complaint against all defendants. On June 26, 1975, Dickson filed interrogatories directed to plaintiff who made no objections thereto. On September 3, 1975, plaintiff filed its late response. On September 4, 1975, Dickson moved to compel plaintiff to answer interrogatories “completely and responsively”. On September 8, 1975, notice of hearing was sent by the court to all counsel that Dickson’s motion would be heard on September 29, 1975. Plaintiff did not appear at this hearing although it received the notice. On September 29, 1975, an Order was entered directing the plaintiff to answer “fully and completely” certain interrogatories and to serve answers on Dickson by October 7, 1975; that failure to comply would result in dismissal of plaintiffs complaint with prejudice. Further answers to interrogatories were not served on Dickson by October 7, 1975 or thereafter. On October 20, 1975, Dickson moved to dismiss plaintiff’s complaint under Rule 37(b) (2) (iii) of the Rules of Civil Procedure for failure of plaintiff to comply with the court’s Order of September 29, 1975. Notice of hearing on the motion, to be held November 3, 1975, was mailed by the court to all counsel of record. On this date, plaintiff, again, did not appear at the hearing and the court entered its Order dismissing plaintiff’s complaint with prejudice.

On November 7, 1975, plaintiff, by present counsel, filed a motion to vacate the Order of Dismissal. At a hearing on November 24, 1975, plaintiff made various claims relating to excusability, and on December 2, 1975, the court modified its previous Order; that the Order of Dismissal would be vacated conditioned on payment by plaintiff to defendants Dickson and Villa of various costs, expenses and attorneys’ fees incurred. No objection was made to this form of the Order.

Plaintiff chose not to comply with the modified provisions of the Order.

B. Introduction to Rule 37 of the Rules of Civil Procedure.

Rule 37 of the Rules of Civil Procedure was derived from Rule 37 of the Federal Rules of Civil Procedure. Flaws in Rule 37, and the court’s administration of the rule, are set forth in Rosenberg, Sanctions to Effectuate Pretrial Discovery, 58 Col-um.L.Rev. 480 (1958); Developments in the law, 74 Harv.L.Rev. 940, 985-988 (1961). Effective July 1, 1970, the federal rule was amended. The New Mexico rule has not been amended.

Rules 37(a) and (b)(2) (iii) are the only rules with which we are confronted in arriving at a decision. The primary question is the extent of sanctions to which a district court can go in punishment for failure of a party to comply with a court’s order in pretrial discovery proceedings. There is a diversity of opinion dependent on the facts and circumstances of each case.

Rule 37(d), which is not applicable, applies to the willful failure of a party to attend a deposition or serve answers to interrogatories. Under this rule, we have held that the mere failure of a party to attend his deposition is adequate in itself to allow a dismissal with prejudice. Chalmers v. Hughes, 83 N.M. 314, 491 P.2d 531 (1971). Also, it is not improper to dismiss the action where the conduct of corporation plaintiff’s president was tantamount to a refusal to appear for his deposition. Doanbuy Lease And Co. v. Melcher, 83 N. M. 82, 488 P.2d 339 (1971). See also, Miller v. City of Albuquerque, 88 N.M. 324, 540 P.2d 254 (Ct.App.1975); Rio Grande Gas Company v. Gilbert, 83 N.M. 274, 491 P.2d 162 (1971).

The philosophy behind the drastic remedy was stated in Doanbuy, supra:

When a plaintiff in a civil action files a lawsuit, his adversaries are entitled to generally understand that he will proceed in a lawful manner and that compliance will be had with the Rules of Civil Procedure, including those relating to discovery.
In cases of this sort, depositions may go on for weeks or even months, involving substantial expense. The progress of cases is hampered and delayed, the court dockets clogged and the beneficent purposes of discovery defeated by contumacious witnesses who refuse to be governed by the rules. [83 N.M. at 84-85, 488 P.2d at 341]

To make this concept effective, we have held that trial courts have supervisory control over their dockets and inherent power to manage their own affairs so as to achieve the orderly and expeditious disposition of cases. The trial judge has such inherent supervisory control .that he can initiate proceedings under Rule 37. Miller, supra, 540 P.2d at 259. District courts have the inherent power to dismiss for lack of compliance with a rule or order of court. In Re C. S. Crawford & Co., 423 F.2d 1322 (9th Cir.1970).

Whether the trial court can dismiss an action under Rule 37 (b) (2) (iii) for refusal of a plaintiff to obey an order of the court is a matter of first impression in New Mexico.

If it is proper for a trial court to dismiss an action for failure of the plaintiff to ap- ■ pear for deposition under Rule 37(d), then it is proper for a trial court to dismiss an action for failure of a plaintiff to comply with an Order of the court.

Although a finding of willfulness is required by 37(d) when no court order has been entered, the absence of such a requirement seems justifiable here [Rule 37(b)] because the court has already heard argument and determined the propriety of issuing an order compelling discovery. Furthermore, the broad discretion of the court to enter such sanctions “as are just” is sufficient to allow for the rare case of excusable disobedience. [74 Harv.L.Rev. at 988].

C. The Order of Dismissal of November 3, 1975 and the modified Order of December 2, 1975 were not erroneous.

(1) The Order of Dismissal of November 3, 1975 was proper.

Plaintiff’s complaint was dismissed with prejudice for failure of plaintiff to comply with the court’s order of September 29, 1975.

The order of September 29, 1975 provided in part:

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Pizza Hut of Santa Fe, Inc. v. Branch, 552 P.2d 227, 89 N.M. 325 (N.M. Ct. App. 1976).

552 P.2d 227 (Pizza Hut of Santa Fe, Inc. v. Branch) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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