Vanmeter v. Briggs

District Court, D. New Mexico·Decided November 25, 2019·No. 1:18-cv-00970·Unknown

Opinion

IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEW MEXICO

JOY VANMETER,

Plaintiff/Counter-Defendant,

v. CV 18-0970 RB/JHR

MICHAEL BRIGGS,

Defendant/Counterclaimant.

MEMORANDUM OPINION AND ORDER

This matter comes before the Court on non-parties Board of Regents of the University of New Mexico (“UNM”) and University President, Garnett S. Stokes; Executive Vice-President and Chancellor for Health Sciences, Dr. Paul Roth; Executive Vice-Chancellor for Health Sciences and Vice-Chancellor for Research, Dr. Richard Larson; Vice President for Human Resources, Dorothy Anderson; and, OEO Director and Interim Chief Compliance Officer, Francie Cordova’s (collectively “UNM Executives”)1 Motion for Protective Order and to Quash Deposition Subpoenas of UNM Executives [Docs. 59 (Motion), 60 (Memorandum Brief in Support)], filed August 19, 2019, and Defendant Michael Briggs’ Motion to Compel Depositions of UNM Witnesses and for Order to Show Cause [Doc. 79], filed September 13, 2019. The Motions address the same issue: whether the Court should compel the depositions of the UNM Executives because they have information which is relevant to the parties’ claims or defenses; or, instead, quash Briggs’ subpoenas and issue a protective order on the basis of the “apex doctrine” because none

1 The Motion was initially also brought on behalf of UNM School of Medicine/Orthopaedic & Rehabilitation Department Administrator, Gail Case. [See Doc. 59, p. 1]. However, on August 27, 2019, Ms. Case filed a notice that she was withdrawing her objections to Mr. Briggs’ request to depose her because he demonstrated that she “has unique personal knowledge regarding the effect that the sexual assault at issue in this case had on Plaintiff VanMeter’s emotional state and work performance.” [Id., p. 2]. As such, this Memorandum Opinion and Order will not address the subpoena to Ms. Case. of the UNM Executives have “unique personal knowledge of the matter in dispute.” [See Doc. 59, p. 1]. Having considered the parties’ arguments and all pertinent authority, the Court will deny the UNM Executives’ Motion and grant Briggs’ Motion in part. I. BACKGROUND Claiming that Briggs drugged and raped her on October 14, 2016, Plaintiff Joy VanMeter

filed suit against Briggs in New Mexico state court. [See generally Doc. 1-1]. In her Complaint, VanMeter raises six claims: Count I - Negligence; Count II - Negligence Per Se; Count III - Battery; Count IV - Intentional Infliction of Emotional Distress; Count V - Negligent Infliction of Emotional Distress; and, Count VI - Loss of Consortium and Household Services. [Id.]. After removing the case to federal court, [Doc. 1], Briggs answered and filed counterclaims against VanMeter. [See generally Doc. 3]. Those counterclaims include: Count I - Defamation; Count II - Malicious Abuse of Process; Count III - Spoliation of Evidence; Count IV - Intentional Interference with Prospective Business Relations; and, Count V - Intentional Infliction of Emotional Distress. [Id.].2 Pertinent here, Briggs states that VanMeter’s allegations and subsequent

actions caused the termination of his employment at UNM, where both worked. [See id., ¶¶ 48, 72, 81]. VanMeter answered Briggs’ counterclaims, asserting inter alia that they are barred by “estoppel, collateral estoppel, res judicata, waiver, and unclean hands” as well as by Briggs’ failure to mitigate his damages. [See Doc. 5]. As is standard practice, the Court issued an Initial Scheduling Order directing the parties to file a Joint Status Report and Provisional Discovery Plan (“JSR”). [Doc. 7]. The parties filed their JSR, and, as directed, listed witnesses they intended to offer in support of their respective claims and defenses. [See Doc. 10, pp. 6-12]. Pertinent here, VanMeter listed as witnesses various

2 Briggs also originally brought a claim for “Prima Facie Tort,” which has since been dismissed by presiding District Judge Brack. [See Doc. 56]. UNM employees, including Ms. Cordova and President Stokes. [Id., pp. 9-10]. VanMeter represented in the JSR that Ms. Cordova and President Stokes would be able to testify about the complaint VanMeter made to the UNM OEO regarding Briggs’ conduct, the investigation that was conducted, the findings made by OEO, the outcome of the investigation, and the outcome of VanMeter’s appeal to President Stokes. [Id.].

At this juncture, some background is necessary. As stated by the UNM Executives in their Motion, on October 27, 2016, VanMeter complained to the UNM OEO that Briggs had “subjected her to non-consensual sexual conduct in violation of UNM’s Sexual Misconduct Policy.” [Doc. 60, p. 7]. UNM OEO investigator Laura Vele Buchs (who no longer works for UNM) investigated VanMeter’s claims through in-person interviews of VanMeter, Briggs and other witnesses. [Id.]. After conducting her investigation, Ms. Vele Buchs concluded that it was more likely than not that Briggs engaged in non-consensual sexual conduct with VanMeter on October 14, 2016, but that such conduct did not create a hostile work environment for VanMeter and so did not violate UNM policy. [Id.]. Ms. Cordova, in her capacity as OEO director, reviewed and approved Ms. Vele

Buchs’ findings and conclusions. [Id.]. Ostensibly unsatisfied with this result, and in apparent “accordance with UNM policy,” VanMeter appealed Ms. Cordova’s decision to President Stokes. [Id.]. President Stokes reviewed the written record and reversed the OEO’s determination that Briggs’ conduct did not violate UNM policy. [Id.]. Specifically, “President Stokes instructed the OEO to find such conduct did result in a hostile work environment for Plaintiff VanMeter in violation of UNM policy.” [Id.]. Briggs did not appeal President Stokes’ decision, and the OEO matter closed. [Id., p. 8]. In light of President Stokes’ decision, Briggs’ policy violation was referred to Dr. Roth – the Executive Vice President and Chancellor for Health Services and the top of Briggs’ supervisory chain – to determine whether disciplinary action was appropriate and, if so, the appropriate level of discipline. [Id.]. Dr. Roth, aided by Ms. Anderson (the Vice President for Human Resources), made the ultimate decision to terminate Briggs’ employment with UNM. [Id.]. Briggs has since appealed his termination resulting in a Peer Review Hearing (for which there is no formal discovery process), which was conducted the week of September 16-20, 2019. [Id., p. 9].

Briggs now seeks to depose all of the aforementioned UNM Executives, as well as Executive Vice-Chancellor for Health Sciences and Vice Chancellor for Research, Dr. Richard Larson, who was Mr. Briggs’ direct supervisor at the time of the alleged assault. [Id., p. 8]. To this end, Mr. Briggs served subpoenas on the UNM Executives, as well as other UNM employees.3 [Id., pp. 9-11]. The UNM Executives responded by filing their Motion for Protective Order and to Quash on August 19, 2019. [See generally id.]. In their Motion, the UNM Executives assert that they are entitled to protection under the “apex doctrine” as high-level UNM employees who have no unique personal knowledge of any matter at issue in this lawsuit. [Id., pp. 14-15]. Alternatively, the UNM executives argue that their

knowledge is irrelevant to the issues in this lawsuit. [Id., pp. 17-19]. Finally, the UNM executives contend that Briggs “seeks to depose the UNM Executives for improper purposes[,]” [id., p. 19], specifically, that Briggs is attempting to improperly use the discovery process in this case to prepare for his Peer Review Hearing or in anticipation of filing a wrongful termination lawsuit against UNM. [Id., pp. 19-22]. Finally, the UNM Executives assert that “sitting for depositions

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