Toma v. City of Weatherford

846 F.2d 58, 1988 WL 44912
Court of Appeals for the Tenth Circuit·Decided May 11, 1988·No. No. 86-1304·Published·Cited by 13 cases

Opinion

SAFFELS, District Judge.

This appeal provides us with another opportunity to review a district court’s use of dismissal or default as a discovery sanction. This issue has been the subject of several recent decisions. See M.E.N. Co. v. Control Fluidics, Inc., 834 F.2d 869 (10th Cir.1987); Smith v. United States, 834 F.2d 166 (10th Cir.1987); In re Standard Metals Corp., 817 F.2d 625 (10th Cir.), modified on reh’g on other grounds sub nom. Sheftelman v. Standard Metals Corp., 839 F.2d 1383 (10th Cir.1987). On February 7, 1986, the district court dismissed plaintiffs complaint with prejudice for failing to comply with a court scheduling order concerning the orderly progress of discovery and for violation of the discovery provisions of the Federal Rules of Civil Procedure. On appeal, plaintiff contends that discovery sanctions are not warranted but, even if this court finds some penalty is due, dismissal was an abuse of discretion. Based on the standards applied in our recent cases, we find that the district court’s dismissal must be reversed and the case remanded for findings under the appropriate standard.

I.

Plaintiff filed this case on July 1, 1985, alleging a violation of his civil rights under 42 U.S.C. § 1983. On August 16, plaintiff and his counsel received interrogatories and a request for production. Plaintiff did not respond to the request for production (the nature of which is not disclosed in the record), although plaintiff did provide answers to interrogatories on December 17, some three months after receiving them. Pursuant to a pretrial scheduling order dated September 17, 1985, the plaintiff was directed to file his final contentions by December 15,1985, and his witness and exhibit lists by January 1, 1986. Plaintiff filed his final contentions on February 4, and his witness and exhibit lists on January 7. Defendants had filed their witness and exhibit lists on January 2. Also in the September 17, 1985, order was a discovery deadline of January 15, 1986.

While the discovery requests to plaintiff were outstanding in October and November of 1985, defense counsel made informal attempts to expedite compliance. In so doing, defense counsel learned that plaintiff had moved from Oklahoma to California, where he was enrolled in a police academy. This prevented plaintiff from attending any depositions on short notice and also complicated defendants’ attempts to obtain answers to discovery. On January 2, 1986, defendants noticed plaintiff’s deposition. Plaintiff’s counsel received the notice on [60] January 3,1986, and immediately contacted the plaintiff. The deposition was set for January 7, but because plaintiff was in his final week of police training, he could not appear on that date. Plaintiffs counsel did not inform defendants of this fact until the morning of the scheduled deposition.

On January 15, 1986, the date set by the court for the filing of the final pretrial order, plaintiff submitted his proposed pretrial order to defendants. On January 16 and 17, 1986, plaintiff submitted his proposed voir dire and jury instructions, respectively. On January 15, 1986, defendants City of Weatherford, Crum, Bailey and Cox had filed motions to dismiss or for default judgment for violation of discovery rules. The remaining defendant, Larry Williams, filed a motion to dismiss on January 27, 1986. Plaintiff responded to the January 15 motion to dismiss on February 4, 1986, one day late considering Western District of Oklahoma Local Rule 14(A)’s 15-day response time, Federal Rule of Civil Procedure 6(e)’s three-day addition for mailing, and February 2 being a Sunday. On February 6, 1986, the district court dismissed plaintiffs case with prejudice, stating that plaintiff had failed to comply with the court’s order concerning the progress of discovery and had failed to comply with the discovery provisions of the Federal Rules of Civil Procedure. This timely appeal followed.

II.

We recently discussed the authority for sanctions as a penalty for noncompliance with proper discovery requests. In M.E.N. Co. v. Control Fluidics, Inc., 834 F.2d 869 (10th Cir.1987), we noted that default judgment (or dismissal) is one of the enumerated sanctions in Federal Rules of Civil Procedure 37(b)(2)(c) and (d) and 16(f). 834 F.2d at 872. We also noted that “[o]ur review of such sanctions is governed by the abuse of discretion standard ... in the totality of the circumstances.” Id. (citing cases). Because of the harshness of dismissal, considerations of due process require that violation of the discovery rules is a sufficient ground only when it is a result of “ ‘wilfulness, bad faith, or [some] fault of petitioner’ rather than inability to comply.” Id. (quoting National Hockey League v. Metropolitan Hockey Club, Inc., 427 U.S. 639, 640, 96 S.Ct. 2778, 2779, 49 L.Ed.2d 747 (1976)). A willful failure is “ ‘any intentional failure as distinguished from involuntary noncompliance. No wrongful intent need be shown.’ ” M.E.N. Co., 834 F.2d at 872-73 (quoting In re Standard Metals Corp., 817 F.2d 625, 628-29 (10th Cir.), modified on reh’g on other grounds sub nom. Sheftelman v. Standard Metals Corp., 839 F.2d 1383 (10th Cir.1987)). The court will first review each alleged violation relied upon by the trial court separately and then as a whole to determine whether dismissal was within the court’s discretion.

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Toma v. City of Weatherford, 846 F.2d 58, 1988 WL 44912 (10th Cir. 1988).

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Toma v. City of Weatherford
846 F.2d 58 (Tenth Circuit, 1988)