Scalera v. Electrograph Systems, Inc.
Full Opinion (html_with_citations)
MEMORANDUM AND ORDER
I. Preliminary Statement
Before the Court is Plaintiff Mary Kay Scaleraâs motion seeking sanctions, in the form of an adverse inference instruction,
II. Background
A. The Amended Complaint
Plaintiff commenced this action by filing the original Complaint on January 4, 2008. She subsequently filed an Amended Complaint on September 30, 2008 [DE 23]. Plaintiff brings causes of action under the Americans with Disabilities Act of 1990 (âADAâ) and the New York Human Rights Law (âNYHRLâ) based upon Defendantsâ alleged failure to accommodate her disability. Plaintiff asserts that since about 1995, before she became employed by Defendants, she has suffered from ânoticeable muscular weakness.â Am Compl. ¶ 18. The muscular weakness continued throughout the time she was employed by Defendants and had been initially diagnosed as muscular dystrophy. The diagnosis was eventually revised to Pompe disease. Id. ¶¶ 19-20. Plaintiff suffers from âmuscle weakness and damageâ as well as âlimited mobilityâ in that she has difficulty walking, bending, twisting, reaching, and walking up or down stairs. Id. ¶ 21.
Plaintiff claims that she is disabled within the meaning of the ADA and the NYHRL. Id. ¶ 23. Plaintiff further alleges that during her employment (which commenced in approximately September 2005 and was terminated on October 11, 2006), she requested two reasonable accommodations which Defendants failed to provide. First, Plaintiff claims that Defendants failed to install in the restroom a raised toilet seat suitable for use by handicapped individuals. Id. ¶¶ 29-35. According to Plaintiff, her use of the non-handicapped-aecessible toilet seat left her suffering ânon-operable, left-sided flank pain and experiencing] serious pain along her left side.â Id. ¶ 35. Second, Plaintiff alleges that Defendants failed to accommodate her request for a handrail on the two steps leading out of the side door of the building, which was the only door Plaintiff could use to enter or exit the building due to her medical condition. Id. ¶¶ 36-51. On July 13, 2006 âdue to the absence of a handrail,â Plaintiff states that she fell while exiting the side door of the building. Id. ¶45. The fall purportedly caused âgrave injuriesâ to Plaintiffs spine as well as âradicular back pain and bladder and bowel symptoms.â Id. ¶46. Plaintiff also maintains that the fall âfurther worsened Ms. Scaleraâs left-sided flank pain and resulted in increased muscle weakness.â Id.
Plaintiff alleges that she made âtwo separate requestsâ for a raised handicapped toilet seat to Defendant Kathy Koziol, who is identified as âthe Director of Operations.â Id. ¶ 31. According to Plaintiff, Defendant Ko-ziol told her âthat the main womenâs bathroom would be renovated in February 2006 and that it would be made handicapped accessible,â which, according to Plaintiff, did not happen. Id. ¶¶ 32, 34. With respect to Plaintiffs request for a handrail outside the side door, Plaintiff asserts in the Amended Complaint that after her interview for the job (but before she was officially hired), Joe Koos, the âDirector of Information Technology,â told Plaintiff that âElectrograph should install a handrail if they hired Ms. Sealera. Plaintiff agreed with him.â Id. ¶ 36. Plaintiff alleges that she specifically requested the installation of a handrail in November 2005â after she began her employment â by speaking to Defendant Rose Ann Gordon, the Director of Human Resources. Id. ¶ 41. Defendant Gordon allegedly replied that â âshe would see if it posed a hardship and would get back to Ms. Sealera,ââ but no handrail was ever installed. Id. ¶¶ 41-42. Plaintiff states that she made another request to Defendants to install the handrail in March 2006, but that this request was not acted upon. Id. ¶ 42.
B. Facts Giving Rise to the Instant Motion
On August 13, 2008, Plaintiff served her First Request for Production of Documents
According to Plaintiff, Defendants produced only âa handful of emails relating to Ms. Scalera, maintaining that the emails were stored on backup tapes and that these tapes are corrupted and could not be restored.â PLâs Mot. at 3-4. Specifically, on November 4, 2008, Defendantsâ counsel sent Plaintiffs counsel a letter stating that Elec-trograph had retained an outside vendor to restore the electronic data contained on the backup tapes. PLâs Mot., Ex. F. A copy of a letter from RDA Enterprises, Inc. (the outside vendor retained by Defendants) was attached to defense counselâs letter. The vendorâs letter summarizes the steps the outside vendor took to attempt to restore the data contained on Electrographâs email backup tapes. According to the outside vendor, Defendants provided RDA Enterprises with a total of sixteen backup tapes. First, the vendor ran an inventory process to see if the tapes âmet the criteria with restorable data.â Id. Only two of the tapes met that criteria. Id. However, the vendor was not able to restore the data on either of those two email backup tapes. Id. Plaintiff argues that Defendantsâ loss of this information amounts to spoliation and, as a result, the Court should impose sanctions in the form of an adverse inference against Defendants. PLâs Mot. at 5.
III. The Partiesâ Contentions
The partiesâ arguments mirror the analytical framework articulated by the court in Toussie v. County of Suffolk, 2007 WL 4565160, at *6 (E.D.N.Y. Dec.21, 2007), which sets forth the three elements that must be shown by a party seeking sanctions for spoliation. A party seeking an adverse inference instruction as a sanction for the spoliation of evidence must establish that: (1) âthe party having control over the evidence had an obligation to preserve it at the time it was destroyed,â (2) âthe records were destroyed with a âculpable state of mind,â â and (3) âthe destroyed evidence was ârelevantâ to the partyâs claim or defense such that a reasonable trier of fact could find that it would support that claim or defense.â Id.
A. Duty to Preserve
1. When Did the Duty to Preserve Arise?
As to the first element, Plaintiff argues that Defendants had a duty to preserve the destroyed information and also asserts various theories as to when this duty attached. First, Plaintiff contends that Defendantsâ obligation to preserve the information arose immediately following Plaintiffs July 13, 2006 fall down the steps outside Electro-graphâs side entrance PLâs Mot. at 6. According to Plaintiff, Electrographâs July 14, 2006 accident report acknowledges that âhad a railing been installed, Ms. Scalera might not have fallen.â Id. Plaintiff maintains that if Defendants were aware of Plaintiffs disability,
Second, Plaintiff argues that âwithin two weeks of Ms. Sealeraâs fall, she had hired an attorney and filed for workerâs compensation.â Id. According to Plaintiff, because Defendants knew about Plaintiffs pending workerâs compensation case, âEleetrograph was under a duty to retain documents relating to Ms. Sealeraâs disability and injury.â Id.
Third, Plaintiff contends that âeven if litigation was not reasonably foreseeable to Defendant[s] ... Defendants] had a duty to retain all documents relating to Ms. Sealeraâs employment, disability and requests for accommodations, pursuant to ADA regulations.â Id. (citing 29 C.F.R. § 1602.14). Plaintiff relies on the Second Circuitâs decision in Bymie v. Town of Cromwell Board of Education, which states that: â[W]here, as here, a party has violated an EEOC record-retention regulation, a violation of that regulation can amount to a breach of the duty necessary to justify a spoliation inference in an employment discrimination action.â Byr-nie v. Town of Cromwell Bd. of Educ., 243 F.3d 93, 109 (2d Cir.2001). Finally, Plaintiff claims that âeven if the Court were to find that Eleetrograph did not have an obligation to retain relevant documents at the time of Ms. Sealeraâs injury, it is clear that Electro-graph had actual knowledge of the likely litigation no later than November 2006, when Ms. Scalera filed her EEOC Charge.â Pl.âs Mot. at 8.
In opposing the motion, Defendants contend that âEleetrograph first anticipated litigation regarding any claim of discrimination when it received the Notice of Claim from the EEOC,â which was sometime in late November or early December 2006. Defs.â Oppân at 4. Defendants argue that a letter sent by Plaintiffs attorney to the building landlord â not Eleetrograph â âmaking a claim for negligence in maintaining the stair and personal injuryâ did not put Electro-graph on notice that Plaintiff intended to bring a discrimination claim against the company. Id.
2. The Information Allegedly Destroyed
Plaintiff asserts that only a âhandful of emailsâ were produced by Defendants when, by her own account, Plaintiff âregularly utilized [her] email to communicate with coworkers and supervisors at Eleetrographâ during the tenure of her employment. This fact demonstrates on its face, according to Plaintiff, that Defendants have failed to produce numerous emails sent or received by Plaintiff. See Reply at 3; Deck of Mary Kay Scalera (âScalera Deckâ) ¶¶ 2, 4. During oral argument, Plaintiffs counsel highlighted a statement made by one of Plaintiffs coworkers, Carolyn Reutter, that emails she received on her Eleetrograph email system âwould stay in [her] inbox ... unless [she] deleted it or the technical support employees purged the emails,â and that this apparently only happened âonce every couple of years.â See Deck of Carolyn Reutter (âReutter Deckâ) ¶¶34, 35. Moreover, Erich Liendo, the Internal Support Manager of Electro-graphâs IT department stated that âdocuments can be stored locally on the hard drives of individual computers assigned to specific employees at Eleetrograph,â and that such documents âmay or may not also be backed up as âESI,â depending on whether the document was created on the network or only locally at a particular end-userâs com
Plaintiff points to specific examples of documents produced during discovery which Plaintiff claims demonstrate the existence of certain emails that Defendants failed to produce. For example, Defendants produced the second pages of two different emails âconcerning Ms. Scaleraâs disability and resulting injuryâ but did not produce the first pages. See PLâs Mot., Ex. A at 000000341, 000000342. Moreover, Plaintiff points out that one of those emails is clearly a âstring email,â but Defendants did not âproduce the underlying email correspondence.â Reply at 3; PLâs Mot, Ex. A at 000000341. Furthermore, Plaintiff asserts that although Defendants touted their production of emails regarding their provision of a raised chair to Plaintiff as an accommodation for her physical condition, Defendants never actually produced any such emails â the only emails in the record regarding this topic were produced by Plaintiff. Reply at 3; PLâs Mot., Ex. D at 00635-637. Thus, according to Plaintiff, these documents demonstrate that additional emails did exist at one time but were never produced by Defendants.
Next, Plaintiff claims that the hard drive on the computer of Defendant Rose Ann Gordon, the former Director of Human Resources for Electrograph, was wiped clean. Reply at 3-4. According to Defendant Gordonâs Declaration, she maintained all employee personnel files and â[a]ll materials received via email or other electronic means in Human Resources were promptly printed and placed in the appropriate employeeâs file.â Decl. of Rose Ann Gordon (âGordon Decl.â) ¶ 3. In addition, Defendant Gordon claims that all documents in the personnel file were scanned into a computer program called DocStar. Id. Human Resources maintained âall documents relating to oneâs employment, termination, disability, requested accommodations, workplace accidents and workers compensation claims,â according to Defendant Gordon Id. ¶ 4. In addition, â[a]ny request for accommodation for any reason had to be made through Human Resources.â Id. ¶ 5. Defendant Gordon denies that Plaintiff (or any other employee on her behalf) ever requested that a handrail be installed on the steps outside the side door of the building â â[a]ny such request for accommodation would come to Human Resources.â Id. ¶ 6.
Plaintiff notes that according to Defendant Gordonâs Declaration, she retired from her position at Electrograph in January 2007â some two months after Plaintiff filed her EEOC Charge. Gordon Decl. ¶ 2. According to the Liendo Affidavit, however, it was ânot possibleâ to search Defendant Gordonâs local hard drive. Liendo Aff. ¶ 7. Liendo explains that:
[CJomputers at Electrograph are not tagged or otherwise catalogued. Hence, after an employeeâs workspace is cleared, it is generally not possible to track a given computer to a specific prior employee. In addition, once an employee leaves Electro-graph, all data on the hard-drive of the computer assigned to such employee is removed. For âexecutiveâ employees, this occurs as a matter of course within 30 days of the last day of employment. For ânon-executiveâ employees, data on the hard drive is removed immediately prior to the computer being re-assigned to another employee at the company.
Id. Plaintiff argues that despite (1) Defendant Gordonâs job responsibilities and the nature of the documents that would have come through her office, and (2) the fact that Defendant Gordon retired two months after Plaintiffs EEOC charge was filed, Defendants failed to prevent Defendant Gordonâs hard drive from being erased. Reply at 3-4.
Finally, a search of the hard drive of Plaintiffs own computer was also ânot possibleâ for the same reason that a search of Defendant Gordonâs computer could not be completed â after Plaintiffs employment with Electrograph ended, her hard drive was erased. See Liendo Deck ¶ 7. Plaintiff maintains that â[djespite the fact that Defendants should have known that documents needed to be retained prior to Ms. Scaleraâs termination, Defendants allowed all data, including
In opposition, Defendants argue that âEleetrograph had in place certain procedures and practices regarding computers and information stored on those computers.â Defs.â Oppân at 2. Specifically, Liendo states that all electronically stored information (âESIâ) sent or received by Eleetrograph employees âwas preserved on back-up tapes stored off-site.â Liendo Decl. ¶ 3. According to Liendo, such backup tapes were only meant to be used for âdisaster recovery purposes,â and therefore âinformation on the tapes is accessible, but only after the tapes are ârestored.â â Id. Liendo states that ESI is backed up on a daily basis. Id. ¶4. In addition, as noted above, Eleetrograph employees can store documents on the hard drives of their individual computers and these documents âmay or may not be backed up as âESI,â depending on whether the document was created on the network or only locally at a particular end-userâs computer.â Id. Liendo hired an outside vendor (RDA Enterprises) to review ESI backup tapes containing emails from the time period relevant to this litigation. Id. ¶¶ 9,10. As noted above, RDA Enterprises was not able to successfully review the ESI backup tapes. Id. ¶ 10.
With respect to Plaintiffs arguments regarding the erasure of the hard drive on Defendant Gordonâs computer, Defendants claim, essentially, that there were no relevant documents or emails on Defendant Gordonâs hard drive. Defs.â Oppân at 2. According to Defendant Gordonâs Declaration, every relevant email she received was printed out and placed in the employeeâs paper personnel file or was scanned onto the DoeStar system. See id.; Gordon Decl. ¶ 3. Defendant Gordon stated that she copied Plaintiffs entire personnel file and provided it to Electrographâs General Counsel, Jeanne Raffiani. Id. ¶ 9; see also Decl. of Jeanne Raffiani (âRaffiani Deckâ) ¶ 5 (âI obtained a full and complete copy of the HR file for Mary Sealera.â). During oral argument, Defendantsâ counsel maintained that both the entire HR folder and the documents on the DoeStar system were produced to Plaintiff.
Defendants admitted during oral argument that the three emails regarding Plaintiffs request for an accommodation in the form of a raised chair were produced by Plaintiff, but Defendantsâ counsel proffered as explanation the fact that those emails predated the start of Plaintiffs employment â apparently, the emails were exchanged after an offer of employment had been extended to Plaintiff but before she began work.
Finally, with respect to the erasure of Plaintiffs hard drive, Defendants contend that Plaintiffs employment was terminated on October 16, 2006 âand her computer was removed and erased thereafterâ in accordance with Electrographâs general practices as noted Defs.â Oppân at 2; Liendo Aff. ¶ 7. According to Defendants, âit is beyond question that more than thirty days expired prior to Eleetrograph [receiving] notice from the EEOC.â Id. Defendants maintain, therefore, that Plaintiffs computer contents were erased in conjunction with company practices before Eleetrograph ever received a communication from the EEOC triggering any duty to preserve.
B. Culpable State of Mind
Plaintiff contends that Defendants acted âat leastâ negligently and, in actuality, acted with gross negligence or recklessness. Pis.â Mot. at 8-9. Plaintiff contends that the following actions evidence Defendants having acted with a culpable state of mind: (1) Electrographâs General Counsel failed to issue a âformal litigation hold,â (2) Defendants did not make any effort to stop the destruction of the contents of Defendant Gordonâs hard drive after she retired in January 2007, (3) Defendants âdid not suspend Electro-graphâs routine document destruction procedures,â (4) âEleetrograph made no effort to ensure that electronic documents and emails were stored separately from backup tapes,â and (5) Defendants did not âensure that documents on individual computers were retained.â Id. at 9. According to Plaintiff, even if Eleetrographâs General Counsel â âbelievedâ that she was in compliance with her duties to retain documents, Defendants still acted negligently in failing to retain documents.â Reply at 4. During oral argument, Plaintiff
Defendants point to the Declaration of Electrographâs General Counsel, Jeanne Raf-fiani, which outlines the steps she took to preserve documents. Upon her receipt of the EEOC Notice of Charge of Discrimination and attached Document Retention Notice, which she stated she received sometime in âlate November or early December 2006,â Raffiani spoke to several employees âwho would have dealt with Ms. Scalera while she was employed at Eleetrograph,â including Rose Ann Gordon and Erich Liendo. Raffia-ni Decl. ¶¶ 2-4. Raffiani informed each of those individuals âto retain any relevant documents.â Id. ¶4. Raffiani also âcollected copies of documents from Human Resources, where [she] believed all relevant documents would be kept.â Id. Raffiani also learned from her conversations with Liendo âthat all documents, including emails were backed up and that Eleetrograph did not have a document destruction policy. Knowing of these back-ups in place, [she] was confident that Eleetrograph had retained the necessary documents.â Id. Defendants argue that âafter the initial production of the Human Resources file to the EEOC, there was no request from EEOC for any additional documents, which would lead Eleetrograph to believe it had complied with its obligations to preserve documents.â Defs.â Oppân at 3.
C. Relevance of Emails
Plaintiff reminds the Court that â â[relevanceâ in this context means that the destroyed evidence would have been favorable to the partyâs case.â PLâs Mot. at 9 (citing Toussie, 2007 WL 4565160, at *8). Plaintiff argues initially that âif the Court finds that Defendants acted with gross negligence in failing to retain the documents, this alone is âsufficient to permitâ a conclusion of relevance.â Reply at 5. However, Plaintiff asserts that even if the Court finds that Defendants acted negligently, there is sufficient extrinsic evidence to show that the destroyed emails would have been relevant to Plaintiffâs case. PLâs Mot. at 10. According to Plaintiff, Defendants have already produced emails âwhich show that the company was aware of Ms. Scaleraâs disability and her need for accommodations,â as well as emails regarding her July 2006 injury, her workerâs compensation claim, and her termination. Id. Moreover, Plaintiff has produced emails ârelating to Ms. Scaleraâs hire and an office chair to accommodate Ms. Scaleraâs disability.â Id. According to Plaintiff, the destroyed emails would have shown that (1) Plaintiff made requests for an accommodation in the form of a handrail outside the side door, (2) Defendants knew of Plaintiffs âlimitations in walking and using stairs,â which would have supported the obviousness of Plaintiffs disability and Defendantsâ resulting duty to accommodate her, and (3) Defendants had knowledge of Plaintiffs need for a handrail through additional emails regarding her July 2006 fall and subsequent workerâs compensation correspondence. Reply at 5.
Defendants argue in opposition that the extrinsic evidence available does not establish that any destroyed emails would be ârelevantâ because the emails produced thus farâ do not support Plaintiffs claim but, rather, support Defendantsâ position. Defs.â Oppân at 6. According to Defendants, the emails produced thus far show that âin circumstances where plaintiff requested an accommodation, Eleetrograph granted it.â Id. Defendants contend that âthere is no reason to believe that any âother emailsâ would support plaintiffs position that additional requests [for accommodation] were ignored or denied.â Id.
IV. Legal Standard
âSpoliation is âthe destruction or significant alteration of evidence, or the failure to preserve property for anotherâs use as evidence in pending or reasonably foreseeable litigation.ââ In re WRT Energy Sec. Litig., 246 F.R.D. 185, 194 (S.D.N.Y.2007) (quoting Byrnie v. Town of Cromwell, 243 F.3d 93, 107 (2d Cir.2001)). A party seeking sanctions for spoliation must show:
(1) that the party having control over the evidence had an obligation to preserve it at*171 the time it was destroyed; (2) that the records were destroyed with a âculpable state of mindâ; and (3) that the destroyed evidence was ârelevantâ to the partyâs claim or defense such that a reasonable trier of fact could find that it would support that claim or defense.
Residential Funding Corp. v. DeGeorge Fin. Corp., 306 F.3d 99, 107 (2d Cir.2002) (quoting Byrnie, 243 F.3d at 107-12); Toussie, 2007 WL 4565160, at *6. âA party seeking sanctions for spoliation has the burden of proving that the alleged spoliator had an obligation to preserve evidence, acted culpably in destroying it, and that the evidence would have been relevant to the aggrieved partyâs case.â Ramirez v. Pride Dev. & Constr., 244 F.R.D. 162, 164 (E.D.N.Y.2007).
The court has the inherent power to impose sanctions for the spoliation of evidence, even where there has been no explicit order requiring the production of the missing evidence. See Residential Funding, 306 F.3d. at 106-07 (âEven in the absence of a discovery order, a court may impose sanctions on a party for misconduct in discovery under its inherent power to manage its own affairsâ). âThe determination of an appropriate sanction for spoliation, if any, is confined to the sound discretion of the trial judge and is assessed on a case-by-case basis.â Fujitsu Ltd. v. Fed. Express Corp., 247 F.3d 423, 436 (2d Cir.2001) (citation omitted). A sanction in the form of âan adverse inference instruction is an extreme sanction and should not be imposed lightly.â Treppel v. Biovail Corp., 249 F.R.D. 111, 121 (S.D.N.Y. 2008).
V. Discussion
A. Duty to Preserve
The Second Circuit has held that â[t]he obligation to preserve evidence arises when the party has notice that the evidence is relevant to litigation or when a party should have known that the evidence may be relevant to future litigation.â Fujitsu Ltd., 247 F.3d at 436 (citing Kronisch v. United States, 150 F.3d 112, 126 (2d Cir.1998)). Pursuant to this obligation, âanyone who anticipates being a party or is a party to a lawsuit must not destroy unique, relevant evidence that might be useful to an adversary.â Zubulake v. UBS Warburg LLC, 220 F.R.D. 212, 217 (S.D.N.Y.2003). â âWhile a litigant is under no duty to keep or retain every document in its possession ... it is under a duty to preserve what it knows, or reasonably should know, is relevant in the action, is reasonably calculated to lead to the discovery of admissible evidence, is reasonably likely to be requested during discovery and/or is the subject of a pending discovery request.â â Id. (quoting Turner v. Hudson Transit Lines, Inc., 142 F.R.D. 68, 72 (S.D.N.Y.1991)). This obligation to preserve relevant evidence exists whether or not the evidence has been specifically requested in a demand for discovery. See Barsoum v. N.Y.C. Hous. Auth., 202 F.R.D. 396, 399 (S.D.N.Y.2001).
Courts have recognized âthat there are many ways to preserve electronic data and a litigant is free to choose how to do so.â Toussie, 2007 WL 4565160, at *7 (citing Zu-bulake, 220 F.R.D. at 218). âHowever, once the duty to preserve attaches, at a minimum, a litigant is expected to âsuspend its routine document and retention/destruction policy and to put in place a litigation hold.â â Id. (quoting Zubulake, 220 F.R.D. at 218).
1. Defendantsâ Duty Arose at the Time the EEOC Charge Was Received
For the reasons outlined below, the Court finds that any duty to preserve relevant emails arose as of the time Defendants received Plaintiffs EEOC Charge.
a. The Obviousness of Plaintiffâs Disability
Plaintiffs relies upon the rule articulated in Brady v. Wal-Mart Stores, Inc., namely, that â[application of [the] general rule [that a request for an accommodation is a prerequisite to liability for failure to accommodate] is not warranted ... where the disability is obvious or otherwise known to the employer without notice from the employee.â 531 F.3d 127, 135 (2d Cir.2008) (quoting Felix v. N.Y. City Transit Auth., 154 F.Supp.2d 640, 657 (S.D.N.Y.2001)) (alteration in the original). Defendants have acknowledged that they
Here, the parties vigorously dispute whether Plaintiff actually requested of the company the installation of a handrail on the steps outside the side door as an accommodation for her disability. Plaintiff maintains that she made this specific request of Defendant Gordon after starting employment in November of 2005. Defendant Gordon vehemently denies that Plaintiff ever made such a request herself of through another employee. Gordon Deel. ¶ 6. In addition, Defendant Gordon maintains that (1) when Plaintiff requested a desk chair higher than normal, the accommodation was granted and the company purchased the chair that Plaintiff selected; (2) the company accommodated Plaintiffs request to use the side entrance of the building when such access was about to be restricted to emergency access only; and (3) the company permitted Plaintiff to park in a designated visitor parking space to shorten her walk from her car to the office. Id. ¶ 5. Plaintiff does not dispute these contentions. Moreover, Plaintiffs letter making a claim for injuries and asserting negligence after her fall was sent by her attorney to the landlord of the building and not to Electro-graph.
In view of all these circumstances, Plaintiffs argument that (1) because Defendants knew of Plaintiffs âdisabilityâ (the exact contours of which have not been defined), they knew or should have known that she needed the specific accommodation of a handrail at the side door, and (2) because they knew that her injury was caused by a lack of that handrail should have led Defendants to conclude that Plaintiff would bring a disability discrimination lawsuit against them, pushes the logic of such argument, in the Courtâs view, beyond the boundary of reasonableness.
b. The Filing of Plaintiffâs Workerâs Compensation Claim
The Court finds that Plaintiffs filing of a workerâs compensation claim did not put Defendants on sufficient notice that she would be commencing a disability discrimination lawsuit such that a duty to preserve evidence attached. Initially, the Court does not find controlling Defendantsâ argument that Plaintiffs choice to bring a claim under workerâs compensation implied that she would not be bringing a claim under the ADA. See, e.g., Fowler v. Kohlâs Depât Stores, Inc., 2009 WL 2155481, at *3 (N.D.N.Y. July 16, 2009) (âInitially, the court notes that § 11 of the Workersâ Compensation law is not an automatic bar on either ADA or NYHRL actions.â); Liss v. County of Nassau, 425 F.Supp.2d 335, 342 (E.D.N.Y.2006) (âThe New York State Workerâs Compensation [law] does not bar an employee from suing his employer under federal civil rights laws.â). However, Plaintiff has not provided any case law to support her argument (and its rather broad implications) that an employer should reasonably anticipate a forthcoming disability discrimination action each time an employee files a workerâs compensation claim in circumstances similar to those cited
c. The ADA Regulations
Finally, Plaintiff contends that the regulations accompanying the ADA required Defendants to retain and preserve certain documents. In Byrnie v. Town of Cromwell, 243 F.3d 93 (2d Cir.2001), a rejected candidate for a high school teaching position sued the school system and board of education, alleging that they failed to hire her because of unlawful age and gender discrimination. The plaintiff sought an adverse inference in connection with a summary judgment motion because the defendant had destroyed the ballot and ranking forms used by the screening committee members and notes made by the interviewers during the first and second round of interviews. The record included testimony that these documents were destroyed sometime following the conclusion of the teacher job search as part of a routine process.
The Second Circuit found that the defendants were ârequired by federal regulations implementing Title VII and the Americans with Disabilities Act to retain all records pertaining to employment decisions for a period of two years.â Id. at 108 (citing 29 C.F.R. § 1602.40). The court held that âwhere, as here, a party has violated an EEOC record-retention regulation, a violation of that regulation can amount to a breach of duty necessary to justify a spoliation inference in an employment discrimination case.â Id. at 109. The court found plaintiff had demonstrated that the records were destroyed with a culpable state of mind (the defendant admitted to the destruction as part of its regular policy) and that the documents were relevant to the plaintiffs case, particularly because the interviewerâs notes âwould clarify what aspects of [the plaintiffs] interview performance were reflected in the poor subjective evaluation he received from the Search Committee and whether that evaluation adhered to permissible criteria.â Id.
Here, the relevant records-retention regulation at issue in this matter provides:
Any personnel or employment record made or kept by an employer (including but not necessarily limited to requests for reasonable accommodation ... and other records having to do with hiring ... or termination ...) shall be preserved by the employer for a period of one year from the date of the making of the record or the personnel action involved, whichever occurs later. In the ease of involuntary termination of an employee, the personnel records of the individual terminated shall be kept for a period of one year from the date of termination. Where a charge of discrimination has been filed ... against an employer under [T]itle VII or the ADA, the respondent employer shall preserve all personnel records relevant to the charge or action until final disposition of the charge or the action ... The date of final disposition of the charge or the action means the date of expiration of the statutory period within which the aggrieved person may bring an action in a U.S. District Court or, where an action is brought against an employer either by the aggrieved person, the Commission, or by the Attorney General, the date on which such litigation is terminated.
29 C.F.R. § 1602.14. As noted above, there is a factual dispute as to whether Plaintiff actually requested an accommodation in the form of the installation of a handrail â although it appears undisputed that she requested other accommodations, including a raised chair, access to the building through the side door, and a parking slot. However, it is unclear from the record whether Plaintiffs alleged requests for the installation of a handrail were made in writing. The Amended Complaint recites three instances in which Plaintiff allegedly requested a handrail: (1) during a conversation with Joe Koos (who is
In addition, Plaintiffs EEOC Charge is dated November 7, 2006 and is marked received by the EEOC on November 13, 2006. PLâs Mot., Ex. D.
2. Defendantsâ Breaches Of Their Duty to Preserve
a. Plaintiffâs Hard Drive
Liendo stated that when executive employees left their employment with Electrograph, their computers were erased within thirty days, while the computers of non-executive employees were erased âimmediately prior to the computer being re-assigned.â Liendo Aff. ¶ 7. According to these representations, since Plaintiffs last day of employment at Electrograph was October 11, 2006, it follows that her computer was erased immediately or, in any event, by November 11, 2006.
b. Rose Ann Gordonâs Hard Drive
Rose Ann Gordon, in contrast, retired in January 2007 â at least one and perhaps two months after Defendants received Plaintiffs EEOC Charge. See Gordon Deck ¶ 2. By the time Liendo conducted a search of relevant employeesâ hard drives, Defendant Gordon was no longer employed with Electrograph and, therefore, a search of her hard drive was ânot possible.â Liendo Aff. ¶ 7. Based on the representations contained in the Liendo Affidavit, the Court presumes that the search was not possible because Defendant Gordonâs hard drive had been wiped clean and her computer was re-assigned to another employee. See id. As
Defendantsâ argument that the destruction of Defendant Gordonâs hard drive did not amount to a breach of a duty to preserve because Defendant Gordon printed all relevant documents and maintained them in Plaintiffs Human Resources fide does not get them off the hook. See Treppel, 233 F.R.D. at 372 n. 4 (â[PJermitting the downgrading of data to a less accessible form â which systematically hinders future discovery by making the recovery of information more costly and burdensome â is a violation of the preservation obligation.â). As is discussed more fully below, Plaintiffs production of (and Defendantsâ failure to produce) emails regarding her requests for a raised chair as an accommodation raises an issue regarding Defendant Gordonâs statement that all requests for accommodations came through Human Resources, were printed and/or scanned, and were saved in personnel files. Plaintiff has the right to test the accuracy of Defendantsâ representations of facts and is not obligated to simply take Defendantsâ word for it that all relevant emails and documents that were on Defendant Gordonâs hard drive actually made their way into Plaintiffs personnel file.
c. Other Emails
Plaintiff points to two partial emails that were produced by Defendants (Pl.âs Mot., Ex. A at 000000341, 342). The first, dated December 19, 2005, contains the second page of a string email and shows at least part of a discussion among Electrograph employees about making a âreasonable accommodationâ for Plaintiff in the form of permitting her to use a private bathroom located closer to her workspace. Id. at 000000341. The second, dated August 1, 2006, is a portion of an email chain that includes a message from Rose Ann Gordon to an individual named âPaulâ regarding Plaintiffs FMLA leave. Id. at 000000342. The Court finds that, pursuant to the ADA regulation described above, these documents fall within the meaning of a âpersonnel or employment recordâ that should have been preserved for one year after their creation. See 29 C.F.R. § 1602.14 (defining âpersonnel or employment recordâ as including a request for a reasonable accommodation and other records relating to hiring, transfer, lay-off, and termination). If these emails had been preserved in their entirety for the requisite one year period, they would still have been in existence at the time that Defendants received Plaintiffs EEOC Charge. As noted above, once Defendantsâ received notice of Plaintiffs EEOC Charge the ADA regulations would have required Defendants to preserve these documents âuntil the final disposition of the charge or the action,â which would include the pendency of this litigation. See 29 C.F.R. § 1602.14. Defendants did not keep copies of these emails in their entirety and, thus, failed to preserve them.
With respect to the emails produced by Plaintiff (but not Defendants) regarding Plaintiffs request for a raised chair as an accommodation of her physical condition (Pl.âs Mot., Ex. D at 00635-637), the Court finds Defendantsâ argument that these emails were not produced because they were created before Plaintiff began working at Electro-graph to be unconvincing. Defendants rely almost exclusively on Defendant Gordonâs Declaration which states that â[a]ny employee request for accommodation for any reason had to made through Human Resourcesâ and that â[a]ll materials received via email ... in Human Resources were promptly printed and placed in the appropriate employeeâs fileâ (see Gordon Decl. ¶ 3) â a declaration that is undermined by the emails Plaintiff produced. The emails produced by Plaintiff clearly reflect an employee request for an accommodation. The Court is left to conclude, then, that either (a) this request did not go through Human Resources
Putting aside the fact that these circumstances call into question the accuracy of Defendantsâ assertions regarding the completeness of the Human Resources file that was produced, the Court finds that the ADA regulations would have required Defendants to preserve these emails for one year from the time they were created, namely, in September 2005. Even if Defendants had done so, the obligation to preserve these emails would have expired in September 2006 â a month and a half before Plaintiffs EEOC Charge was filed. Therefore, Defendants have not breached any duty by failing to preserve these documents.
B. Culpable State of Mind
âEven where the preservation obligation has been breached, sanctions will only be warranted if the party responsible for the loss had a sufficiently culpable state of mind.â WRT Sec. Litig., 246 F.R.D. at 195. âThe preservation obligation runs first to counsel, who has a âduty to advise his client of the type of information potentially relevant to the lawsuit and of the necessity of preventing its destruction.â â Chan v. Triple 8 Palace, Inc., 2005 WL 1925579, at *6 (S.D.N.Y. Aug.ll, 2005) (quoting Turner, 142 F.R.D. at 73). âThe culpable state of mind requirement is satisfied in this circuit by a showing of ordinary negligence.â In re NTL, Inc. Securities Litig. (Gordon Partners v. Blumenthal), 244 F.R.D. 179, 198 (S.D.N.Y.2007) (quoting Phoenix Four, Inc. v. Strategic Res. Corp., 2006 WL 1409413, at *4 (S.D.N.Y. May 23, 2006)) (quotation marks omitted).
General Counsel Raffiani stated that she received Plaintiffs EEOC Charge in âlate November or early December 2006,â and â[a]fter reviewing the EEOC documents on retention requirements I spoke to those employees who would have dealt with Ms. Sealera while she was employed at Electro-graph.â Raffiani Deck ¶¶ 2, 4. In particular, Raffiani âspoke toâ six employees: Defendant Rose Ann Gordon, Defendant Kathy Koziol, Defendant Alan Smith,
Liendo stated that he became aware of âthe above-captioned litigationâ in âearly 2007,â and although he does not so state, the Court presumes that he learned this through Attorney Raffiani. See Liendo Aff. ¶ 3; see also Raffiani Deck ¶ 4. Liendo searched âthe hard drives for the computers assigned to the individually-named defendants who are currently employed by Electrograph (Kathy Koziol and Alan Smith) looking specifically for documents containing the specific word âSealera.â â Liendo Aff. ¶ 5. Importantly, Liendo ran this search â[i]n order to determine whether Electrograph might be in possession of documents relevant to the ease, but not stored as ESI.â Id. Apparently, Liendo found such documents because he stated that â[c]opies of any responsive documents located were forwarded to counsel.â Id. Again, these statements tend to undercut Defendantsâ general assertions that all emails would have been stored on backup tapes.
Liendo also searched the hard drive of an employee named Elaine Capel, who was specifically identified in Plaintiffs document requests, and forwarded responsive documents to counsel. Id. ¶ 6. Liendo does not state that he (or anyone else) searched the hard drives of Carol Dinow or Paul Battersonâ
Given all of these facts, I find that Defendants acted in a manner that was negligent. Taking the Raffiani Declaration and Liendo Affirmation together, the Court concludes that no one at Electrograph took any active steps to preserve electronic documents until early 2007 â almost two months after Plaintiffs EEOC Charge was filed and Defendantsâ duty to preserve attached. In particular, searches of key employeesâ hard drives were either never completed at all or were not completed for some time after the EEOC Charge was received. As evidence of this, Raffiani stated that she spoke with Defendant Gordon in person to advise her to preserve documents but Liendo stated that by the time he began searching hard drives, Defendant Gordon was no longer an Elec-trograph employee. In addition, although Raffiani considered Carol Dinow and Paul Batterson to be important enough to the litigation to speak to in person, for whatever reason, the message was never communicated to the IT department to search the hard drives of Dinow and Battersonâs computers. Moreover, Liendoâs Affirmation demonstrates that there was some information located on the hard drives that were searched, which data was not backed up as ESI. Thus, the Court recognizes the potential that Defendantsâ failure to search the hard drives of Defendant Gordon, Dinow and Batterson may have resulted in the loss of some otherwise-recoverable information. Finally, although Raffiani âspoke toâ several key employees, no formal written litigation hold was ever implemented.
After reviewing these facts as well as the relevant case law, the Court concludes that Defendants acted negligently but not with gross negligence. See, e.g., Metrokane, Inc. v. Built NY, Inc., 2008 WL 4185865, at **4-5 (S.D.N.Y. Sept. 3, 2008) (after considering evidence that defendant destroyed emails after it became aware of potential for litigation, and given the defendantâs âcomplete silence ... as to why it failed to produce the e-mails in question, we infer at a minimum that it was negligent either in failing to produce documents available to it or in failing to preserve documents that it was obliged to safeguard,â but the court declined to âfind any greater degree of faultâ).
âA partyâs discovery obligations do not end with the implementation of a âlitigation holdâ â to the contrary, thatâs only the beginning. Counsel must oversee compliance with the litigation hold, monitoring the partyâs efforts to retain and produce the relevant documents.â Zubulake v. UBS Warburg LLC, 229 F.R.D. 422, 432 (S.D.N.Y. 2004). The court in Zubulake set forth several steps that counsel should take âto ensure compliance with the preservation obligationâ: (1) issue a litigation hold at the outset of litigation or whenever litigation is reasonably anticipated, (2) clearly communicate the preservation duty to âkey players,â and (3) âinstruct all employees to produce electronic copies of the their relevant active filesâ and âseparate relevant backup tapes from others.â Id. at 433-34. As the Zubulake court noted, â[o]ne of the primary reasons that electronic data is lost is ineffective communication with information technology personnel.â Id. at 434.
Here, although Raffiani communicated the preservation duty verbally to most of the âkey players,â there was no effective timely communication with Liendo and others in the IT department. In addition, had clearer instructions been provided, Defendant Gordonâs hard drive would have been searched (rather than erased) at or before the time she retired. More effective communication might also have led Raffiani to learn from Liendo that individuals could have information on their hard drives that was not backed up as ESI. In that event, Raffiani would likely have instructed those six employees with whom she spoke to âproduce electronic copies of all their relevant active files,â rather than simply rely on the ESI backup system. See id. at 434. Finally, if specific information had been communicated that Di-now and Batterson were also considered âkey
In sum, the Court finds that the companyâs omissions and ineffective communication directly resulted in the loss of some electronic data, though that data was likely very limited based upon the specific circumstances concerning the accommodations purportedly requested by Plaintiff. These actions and omissions constitute negligence.
C. Relevance
â[A] party seeking sanctions for spoliation must demonstrate that the evidence destroyed was ârelevantâ to its claims or defenses. At least where more severe sanctions are at issue, this means that the moving party must show that the lost information would have been favorable to it.â Chan, 2005 WL 1925579, at *7. In the context of a motion seeking sanctions in the form of an adverse inference, the term ârelevanceâ âmeans something more than sufficiently probative to satisfy Rule 401 of the Federal Rules of Evidence. Rather, the party seeking an adverse inference must adduce sufficient evidence from which a reasonable trier of fact could infer that the destroyed or unavailable evidence would have been of the nature alleged by the party affected by its destruction.â Residential Funding, 306 F.3d at 108-09 (quotation marks, citations, and alterations omitted); see also Toussie, 2007 WL 4565160, at *8 (âIn other words, the plaintiffs here must present extrinsic evidence tending to show that the destroyed emails would have been favorable to their case.â).
Relevance may be established in one of two ways. First, relevance âmay be inferred if the spoliator is shown to have a sufficiently culpable state of mind.â Chan, 2005 WL 1925579, at *8 (noting that bad faith or gross negligence, standing alone, can support a finding of relevance as a matter of law). In the alternative, âthe moving party may submit extrinsic evidence tending to demonstrate that the missing evidence would have been favorable to it.â Id.
Plaintiff contends that relevance has been established as a matter of law because Defendants have acted with gross negligence. However, the Court has determined that while Defendants acted negligently, their actions and omissions do not amount to gross negligence. In any event, the Court does not find that Defendantsâ conduct here amounts to a finding of relevance as a matter of law. See id. Obviously, Electrographâs General Counsel did not issue a formal litigation hold, but she did speak about preserving documents to key employees who would likely have had dealings with Plaintiffs request(s) for accommodation. Unfortunately, that approach was not timely expanded, as it should have been, to personnel in the IT Department as soon as the EEOC Charge was received. And, as noted above, had Raffiani communicated more quickly and effectively with both the key employees and with Lien-do, certain electronic data might not have been lost as part of the destruction of Defendant Gordonâs hard drive or the failure to search Dinow or Battersonâs hard drive. The Court finds that â[t]his conduct, however, does not rise to the egregious level seen in cases where relevance is determined as a matter of law.â Toussie, 2007 WL 4565160, at *8; compare NTL Sec. Litig., 244 F.R.D. at 198 (finding relevance as a matter of law when not all key employees received the litigation hold memoranda, employees were not reminded to preserve documents, the IT system at issue was outsourced and no litigation hold instructions were ever conveyed); Doe v. Norwalk Cmty. Coll., 248 F.R.D. 372, 380 (D.Conn.2007) (finding relevance as a matter of law when defendants did not stop the routine destruction of backup tapes after duty to preserve attached, there appeared to have been evidence tampering, and defendants destroyed key witnessâs computer one month after litigation filed). What the record does show here is that Defendantsâ total reliance on the backup tape system was short-sighted.
I further find that Plaintiff has not submitted extrinsic evidence tending to demonstrate that the destroyed emails would have been favorable to her case. The emails that Plaintiff relies on as extrinsic evidence are, if anything, more favorable to Defendantsâ position. See Pl.âs Mot., Ex. A at 000000341, Ex. C, Ex. 00635-637. These emails each show that Defendants provided Plaintiff with reasonable accommodations â by allowing her to use a different bathroom (Ex. A at
V. Conclusion
Thus, while Defendants have unquestionably breached a duty to preserve emails in this case, Plaintiff has ultimately failed to demonstrate that any destroyed emails would have been favorable to her position. Accordingly, Plaintiffs motion for sanctions in the form of an adverse inference instruction is DENIED.
The parties are directed to participate in a telephone conference with the Court on October 15, 2009 at 2 p.m. to discuss completion of the pre-trial phase of this case. Plaintiffs counsel is requested to initiate the call to Chambers with Defendantsâ counsel on the line.
SO ORDERED.
. The Courtâs use of the word "disabilityâ throughout this Memorandum and Order does not constitute a judgment as to whether Plaintiff's medical condition constitutes a "disabilityâ as that term is defined under the ADA or the NYHRL.
. As far as the Court can tell, Plaintiff does not address this letter in her moving papers. During oral argument, Defendantsâ counsel indicated that the letter was dated August 7, 2006 and was Bates-stamped as Document 134. Although there is a document attached to Plaintiff's moving papers that is dated August 7, 2006 and is Bates-stamped ES 000000134, that letter appears to be a communication from Plaintiff (not her attorney) to Defendant Rose Ann Gordon (not the building landlord). See Pl.âs Mot, Ex. A.
. Broccoli v. Echostar Communications Corporation, 229 F.R.D. 506 (D.Md.2005), which Plaintiff relies on to support her argument, is distinguishable. In Broccoli, there was ample evidence that the plaintiff had complained about alleged sexual harassment during her employment and, thus, the court found that the defendant should have anticipated litigation as early as the time of the plaintiffâs first internal complaint. Id. at 510-11. Here, as noted above, the evidence is in dispute whether Plaintiff actually requested the installation of a handrail as an accommodation for her disability.
. None of the cases cited by Plaintiff deal with the notion that the filing of a workerâs compensation claim should cause an employer to reasonably foresee subsequent employment discrimination litigation.
. As Plaintiff notes, the Amended Complaint states that the EEOC Charge was filed on January 29, 2007, but she now contends that this date is incorrect. See Am. Compl. II15; PLâs Mot. at 3 n. 7.
. There is nothing in tlte record to suggest that Plaintiffs hard drive was erased more than thirty days after her termination.
. Two of the emails reflect an exchange between Plaintiff and Joe Koos regarding her request for a raised chair. See Pl.âs Mot., Ex. D at 00635, 00637. Elaine Capel is copied on that email. The third email shows an exchanged between Plaintiff and Carol Dinow. Id. at 00636. It is
. Gordon, Koziol, and Smith, while Defendants in this federal litigation, do not appear to have been named as respondents in Plaintiff's EEOC Charge. See Am. Comph, Ex. 1.