Heller v. City of Dallas
Paul HELLER v. CITY OF DALLAS
Attorneys
Bruce Anton, Sorrels Udashen & Anton, Anne Katherine Shuttee, Law Office of Anne Shuttee, Dallas, TX, Mary Margaret Pen-rose, Texas Wesleyan School of Law, Fort Worth, TX, for Plaintiffs., Jennifer C. Wang, Christopher David Bowers, Christopher J. Caso, James B. Pinson, Peter B. Haskel, Dallas City Attorneyâs Office, Dallas, TX, for Defendant.
Full Opinion (html_with_citations)
MEMORANDUM OPINION AND ORDER ON DISCOVERY SANCTIONS
Plaintiffs Paul Heller, Diane Baker, Mavis Belisle, Deborah Beltran, Leslie Harris, and Gary Staurd (âPlaintiffsâ) have filed a Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g), see Dkt. No. 42, which United States District Judge Jorge A. Solis has referred to the undersigned magistrate judge for determination, see Dkt. No. 44. During a July 17, 2014 hearing on Plaintiffsâ Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23], the Court previously granted in part and denied in part Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23], after Judge Solis referred that motion along with its accompanying Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] for determination. See Dkt. No. 25; Dkt. No. 37; Dkt. No. 45. Plaintiffsâ latest motion [Dkt. No. 42] renews their request for Federal Rule of Civil Procedure 26(g)(3) sanctions, which remains pending on Plaintiffsâ prior motion [Dkt. No. 23]. In an October 2, 2014 Order on Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 46], the Court previously granted in part and denied in part Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 42] and deferred ruling on Plaintiffsâ requests discovery sanctions [Dkt. Nos. 23 & 42]. See Dkt. No. 46.
The Court will now address the matter of discovery sanctions, if any, to be imposed under Federal Rules of Civil Procedure 26(g)(3) or 37 on Plaintiffsâ Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Dis-
For the reasons and to the extent explained below, Plaintiffsâ requests for sanctions [Dkt. Nos. 23 & 42] are GRANTED in part and DENIED in part.
Background
Plaintiffs served Defendant City of Dallas with two sets of requests for production of documents and one set of interrogatories. See Dkt. Nos. 24-1; Dkt. No. 24-4; Dkt. No. 24-5. Defendant timely served its responses and objections to Plaintiffsâ First Set of Requests for Production but served its responses and objections to Plaintiffsâ Second Set of Requests for Production and Plaintiffsâ First Set of Requests for Interrogatories to Defendant City of Dallas seven days late. See Dkt. No. 33 at 3.
Plaintiffs then filed their Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g). See Dkt. No. 23. In that motion, based on their assertion of âDefendantâs counselâs repeated bad-faith behaviorâincluding a refusal to withdraw all out-of-time objections excepting those relating to attorney-client privilege and the work product doctrine (an offer Plaintiffs made to avoid' filing this Motion to Compel), and continual assertion of invalid privilege claimsâPlaintiffs ... seek their attorneysâ fees in being required to pursueâ their Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and an order âgranting all reasonable and necessary attorneysâ fees related to this Motion pursuant to Rule 26(g).â Dkt. No. 24 at 1, 21; see also Dkt. No. 23 at 2. More specifically, â[b]eeause Plaintiffs believe that Defendantâs conduct was and is intentional and is not substantially justifiedâ surely, they knew that their failure to provide timely discovery responses waived all objections without court intervention and proof of good cause and that a lack of justifiable privilege prevents the global assertion of privilegeâPlaintiffs seek as a sanction attorneysâ fees for all time Plaintiffs counsel spent on drafting this discovery, evaluating Defendantâs responses, preparing two Motions to Compel, participating in two conferences regarding a Motion to Compel and numerous internal conference among Plaintiffsâ counsel.â Dkt. No. 24 at 20.
Defendant offered the following written response:
Plaintiffs have no cause to seek sanctions over the discovery produced in this case. As entailed in this response, the Cityâs objections and responses have been appropriate, reasonable, and made in good faith. Where the City has objected to certain requests as unduly burdensome, it has explained in writing and through multiple verbal conferences its reason for those objections. Where the City has asserted a privilege, it has explained in writing, through its privilege log, and through multiple verbal conferences its reasons for asserting those privileges.
The City has, in fact, produced more than 70 items, including DVDs, multiple large-scale maps, and documents relating to the Original Ordinance that are, arguably, protected by the legislative privilege but not the work product doctrine. Its counsel have spent hours in at least three conferences with Plaintiffs to resolve their differences regarding discovery. The City agreed before Plaintiffs filed their motion that it would continue to produce relevant documents as they are made available. The City intends to do so with the recently pulled statistical data relating to highway crashes within the City. The City also informed Plaintiffs that additional large-scale maps consisting of aerial photographs of the highways enumerated by the Ordinance are still being created through a labor-intensive process, and will be produced as those become available.
With respect to interrogatory responses that Plaintiffs find lacking, the City contends the interrogatory is either improper, or improper at this time, absent any depositions of the Cityâs witnesses.
In support of Plaintiffsâ request for sanctions, Plaintiffs have included as an exhibit an email string between its counsel and the Cityâs attorneys in which the City attorney suggests that Professor Penrose ask one of her law students to research the question posed to him. The City agrees the email*471 could have been more diplomatically worded to state the Cityâs counselâs objection to performing legal research at Plaintiffs counselâs behest. However, the Cityâs conduct in responding to the discovery in this case, including participating in multiple conferences with Plaintiffsâ counsel over many hours, indicates the Cityâs good-faith efforts to address the partiesâ differences regarding discovery. That the parties disagree over the discovery produced thus far is not cause for issuing sanctions. The Cityâs attorneys have also felt frustrated in its dealings with three separate Plaintiffsâ counsel, none of whom practice together or in the same office, and who seemed to assert different positions over various issues. Yet, the City has not accused them of acting in bad faith. Reasonable attorneys should be able to disagree without disparaging the opposing counsel.
Dkt. No. 33 at 12-14 (footnote omitted). Defendant contends that, â[i]n short, Plaintiffs have not shown any intentional or egregious conduct that would warrant the imposition of any sanctions against the City.â Id. at 14.
At the July 17, 2014 hearing, Defendantâs counsel argued that counsel believes that, âthrough the exercise that [the Court has] had to engage in today of going through each and every single one of these requests for production and the interrogatories, [the Court] would agree that [Defendantâs counsel] firmly believe that our objections were in fact valid, that we stood by many of our objections, and in the attempts that we made to converse with them, both in person as well as by telephone, we had no fewer than three long conferences about these discovery disputes.â Dkt. No. 45 at 136. Defendantâs counsel further argued that
we have spent hours in a good faith attempt to resolve some of these issues, some of these questions. And as you heard them say, [Plaintiffsâ counsel have] withdrawn some of them with respect to communications that we contend are protected by the attorney-client privilege. You know, they so said, all right, well, we donât need any of those. To the extent itâs work product protected, they said, all right, fine, you know, we donât need any of those, but we still want these other things. And soâand at each turn, what weâve been met with is, if youâre not going to produce it to us, then we want you to stipulate that you have no such evidence.
If what they wanted us toâwas to put in writing that because we canât produce the documents, we canât produce the actual accident reports, that weâre supposed to enter into a stipulation that we have no such evidence, which is a much broader use of the word, we werenât willing to stipulate to that, you know. And to say that becauseâand they did in fact demand several times that because we were late in our responses that we had to withdraw our objection. And if given the choice between withdrawing our objection and having the Court resolve them, then yes, our answer was in fact we were not willing to withdraw the objections. We believed we had good cause.
But you know, to say that in absence of that, you need to waive all your objections, or in absence of that, you need to stipulate that you have no such evidence, or in absence, you know, thatâor that you need to go through this exercise of pulling all 9,000 accident reports from the lastâfrom 2012. We werenât able to reach an agreement on that, and I donât believe that thatâs a showing of bad faith of any kind, that thatâs aâ that this is a ease where reasonable attorneys agree, and weâve been very disappointed to be labeled as something other than a reasonable attorney when weâve made extraordinary efforts in this case to try to address these concerns, to try to address these issues.
Id. at 137, 139. Defendantâs counsel further argued that âthe fact that this hearing took this long, the fact that the Court sustained, in fact, some of our objections, shows that these were complex, difficult, interwoven issues on what discovery we could or could not provideâ and that, âin a situation like this, we simply believe that these sanctions are inappropriate, whenâare inappropriate to show that we did notâwe failed to act in good faith, to show that we somehow acted in bad faith because we disagreed with the Plaintiffs
At a July 17, 2014 hearing, the Court denied Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23] insofar as it sought a ruling that all of Defendantâs non-privilege-based objections to Plaintiffsâ Second Set of Requests for Production and Plaintiffsâ First Set of Requests for Interrogatories to Defendant City of Dallas were waived due to their tardy service on Plaintiffs. See Dkt. No. 45 at 130-31. The Court also, on the record, during and at the end of the lengthy hearing, granted Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23] as to most of the discovery requests at issue and overruled most, but not all, of Defendantâs objections that it pressed in response to the discovery requests where agreement could not be reached with counsel at the hearing as to an adequate response to each request still at issue. See Dkt. No. 37; Dkt. No. 45 at 130-31, 139-40. The Court deferred ruling on, and took under advisement, Plaintiffsâ request for sanctions. See Dkt. No. 37.
In a Supplemental Brief Supporting Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 40], which the Court partially granted Plaintiffs leave to file, see Dkt. No. 41, Plaintiffs contend that Defendant has failed to comply with the Courtâs July 17, 2014 order granting Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23] and compelling discovery and that Defendant has failed to conduct a complete search for documents responsive to Plaintiffsâ requests for production. On that basis, Plaintiffs urge the Court to grant the sanctions mandated by Rule 26(g)(3) because Defendant has no âsubstantial justificationâ for its continued refusal to respond to Plaintiffsâ discovery requests. See Dkt. No. 40 at 5-6.
Plaintiffs also filed a Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42] that asserts that, because âDefendant failed to comply with Judge Horanâs initial Order compelling discovery, and [for] the further reason that an incomplete search or attempts to respond to discovery were made by Defendant,â the Court should grant âthe mandatory sanctions under Fed.R.Civ.P. 26(g)(3) as Defendant has no âsubstantial justificationâ for its continued refusal to respond to Plaintiffsâ discovery requestsâ and should grant âsanctions against Defendant for failing to comply with Judge Horanâs Order Compelling Discovery no later than August 18, 2014.â Dkt. No. 42 at 7. âPlaintiffs seek all reasonable attorneysâ fees in preparing their original Motion to Compel, in attending the Motion to Compel hearing and in further preparingâ their Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42] and assert that, â[b]ut for Defendantâs continuing refusal to simply answer basic discovery, Plaintiffs could be moving forward with their plansâexpressed to Defendantâto file either a preliminary injunction or Motion for Summary Judgment,â such that Defendantâs alleged âstalling tactics merit the strongest statement that refusal to comply with a federal Courtâs Order is unacceptable.â Id. at 7-8.
In Defendantâs Consolidated Response to Plaintiffsâ Supplemental Briefing Supporting Request for Sanctions and Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 43], Defendant responded to Plaintiffsâ requests for sanctions:
Plaintiffs have no cause to seek sanctions over the discovery produced in this case. As entailed in the Cityâs prior written response, as well as during the [July 17, 2014] Discovery Hearing, the Cityâs objections and responses have been appropriate, reasonable, and made in good faith. Where the City has objected to certain requests as unduly burdensome, it has explained in writing and through multiple verbal conferences its reason for those objections. Where the City has asserted a privilege, it has explained in writing, through its privilege log, and through multiple verbal conferences its reasons for asserting those privileges.
At this point, the City has produced more than 286 items, including DVDs, multiple large-scale maps, as well as documents relating to the Original Ordinance*473 that are, arguably, protected by the legislative privilege but not the work product doctrine. The City is unsure which of Plaintiffsâ counsel has reviewed all of the production, or whether all three attorneys have actually conferred with each other before filing the supplemental brief and second motion to compel. As the City has previously stated, the Cityâs attorneys have been frustrated in its dealings with three separate Plaintiffsâ counsel, none of whom practice together or in the same office, and who seemed to assert different positions over various issues. For example, the City left one set of large-scale maps in the care and custody of one of the Plaintiffsâ attorneys during Plaintiffsâ depositions. During Chief Brownâs deposition, another of Plaintiffsâ attorneys accused the City of failing to ever produce such maps and had to be corrected by co-counsel.
The City believes no sanctions are justified when it is Plaintiffsâ counsel who have behaved so disappointingly in their dealings with the City by accusing the City of bad conduct at every turn, often without verifying the facts or without a reasonable conference with the City. Indicative of their manner, the City finds it offensive that they have complained to this Court that Chief Brownâs deposition started 25 minutes late (ECF 42 at 5) when they were the ones responsible for most of the delay. Plaintiffs brought a PowerPoint presentation requiring a projector and computer connection in the deposition room without giving any prior notice to the City that they needed such equipment and technical assistance to connect the devices and conduct the deposition. The City had to call Dallas Police officers familiar with the conference roomâs equipment to assist with the set-up, which was done quickly and courteously. Later in the afternoon, because Plaintiffs wanted to use a map as an exhibit they had not prepared, the Cityâs legal assistant helped to pull the map from the internet, then saved it to a memory stick so it could be projected and used, and also given to the court reporter as an exhibit. In short, the City is frustrated that it must defend its conduct at every turn because Plaintiffs have misconstrued even minor details in their effort to besmirch the City when the City has, in fact, made numerous efforts to accommodate Plaintiffs in a courteous and professional manner whenever possible.
Dkt. No. 43 at 10-12. Defendant contends that, â[ujnder such circumstances, Plaintiffs have not shown any conduct on the part of the City that would warrant the imposition of any sanctions against the City.â Id. at 12.
In an October 2, 2014 Order on Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 46], the Court granted in part and denied in part Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 42], requiring that Defendant serve supplemental answers to Plaintiffsâ Interrogatory Nos. 1 and 14, and deferred ruling on Plaintiffsâ Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and Plaintiffsâ Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42]. See Dkt. No. 46. The Court also explained that it would address the matter of discovery sanctions, if any, to be imposed under Federal Rules of Civil Procedure 26(g) or 37 in a separate order to follow. See Dkt. No. 46 at 1.
In a Supplemental Response to Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed. R.Civ.P. 26(g) [Dkt. No. 47], Defendant reported to the Court that â[t]he City has fully complied with the Courtâs orders regarding each of the discovery requests addressed by the Courtâs July 17, 2014 hearing, as well as by the Courtâs Order of Oct. 2, 2014 (ECF doc 46),â and that, â[s]pecifically, the City has provided Plaintiffs with supplemental responses to Interrogatories 1 and 14.â Dkt. No. 47 at 1; see also Dkt. No. 47-1. Defendant also ârespectfully requested] that the Court deny Plaintiffsâ first and second motion for sanctions in all respects.â Dkt. No. 47 at 3.
Legal Standards and Analysis
Federal Rules of Civil Procedure governing discovery responses and objections
Federal Rule of Civil Procedure 33 governs answers and objections to interrogatories and provides:
*474 (a) In General.
(1) Number. Unless otherwise stipulated or ordered by the court, a party may serve on any other party no more than 25 written interrogatories, including all discrete subparts. Leave to serve additional interrogatories may be granted to the extent consistent with [Federal Rule of Civil Procedure] 26(b)(2).
(2) Scope. An interrogatory may relate to any matter that may be inquired into under Rule 26(b). An interrogatory is not objectionable merely because it asks for an opinion or contention that relates to fact or the application of law to fact, but the court may order that the interrogatory need not be answered until designated discovery is complete, or until a pretrial conference or some other time.
(b) Answers and Objections.
(1) Responding Party. The interrogatories must be answered:
(A) by the party to whom they are directed; or
(B) if that paiâty is a public or private corporation, a partnership, an association, or a governmental agency, by any officer or agent, who must furnish the information available to the party.
(2) Time to Respond. The responding party must serve its answers and any objections within 30 days after being served with the interrogatories. A shorter or longer time may be stipulated to under Rule 29 or be ordered by the court.
(3) Answering Each Interrogatory. Each interrogatory must, to the extent it is not objected to, be answered separately and fully in writing under oath.
(4) Objections. The grounds for objecting to an interrogatory must be stated with specificity. Any ground not stated in a timely objection is waived unless the court, for good cause, excuses the failure.
(5) Signature. The person who makes the answers must sign them, and the attorney who objects must sign any objections.
(c) Use. An answer to an interrogatory may be used to the extent allowed by the Federal Rules of Evidence.
Fed. R. Civ. P. 33(a)-(c).
Federal Rule of Civil Procedure 34 governs responses and objections to requests for production of documents, electronically stored information, and tangible things and provides:
(a) In General. A party may serve on any other party a request within the scope of [Federal Rule of Civil Procedure] 26(b):
(1) to produce and permit the requesting party or its representative to inspect, copy, test, or sample the following items in the responding partyâs possession, custody, or control:
(A) any designated documents or electronically stored informationâincluding writings, drawings, graphs, charts, photographs, sound recordings, images, and other data or data compilationsâstored in any medium from which information can be obtained either directly or, if necessary, after translation by the responding party into a reasonably usable form; or
(B) any designated tangible things; or
(2) to permit entry onto designated land or other property possessed or controlled by the responding party, so that the requesting party may inspect, measure, survey, photograph, test, or sample the property or any designated object or operation on it.
(b) Procedure.
(1) Contents of the Request. The request:
(A) must describe with reasonable particularity each item or category of items to be inspected;
(B) must specify a reasonable time, place, and manner for the inspection and for performing the related acts; and
(C) may specify the form or forms in which electronically stored information is to be produced.
(2) Responses and Objections.
*475 (A) Time to Respond. The party to whom the request is directed must respond in writing within 30 days after being served. A shorter or longer time may be stipulated to under Rule 29 or be ordered by the court.
(B) Responding to Each Item. For each item or category, the response must either state that inspection and related activities will be permitted as requested or state an objection to the request, including the reasons.
(C) Objections. An objection to part of a request must specify the part and permit inspection of the rest.
(D) Responding to a Request for Production of Electronically Stored Information. The response may state an objection to a requested form for producing electronically stored information. If the responding party objects to a requested formâor if no form was specified in the requestâthe party must state the form or forms it intends to use.
(E) Producing the Documents or Electronically Stored Information. Unless otherwise stipulated or ordered by the court, these procedures apply to producing documents or electronically stored information:
(i) A party must produce documents as they are kept in the usual course of business or must organize and label them to correspond to the categories in the request;
(ii) If a request does not specify a form for producing electronically stored information, a party must produce it in a form or forms in which it is ordinarily maintained or in a reasonably usable form or forms; and
(iii) A party need not produce the same electronically stored information in more than one form.
Fed. R. Civ. P. 34(a)-(b).
Federal Rule of Civil Procedure 26(b) addresses withholding of documents based on a privilege or attorney work product protection and provides:
(b) Discovery Scope and Limits.
(5) Claiming Privilege or Protecting Trial-Preparation Materials.
(A) Information Withheld. When a party withholds information otherwise discoverable by claiming that the information is privileged or subject to protection as trial-preparation material, the party must:
(i) expressly make the claim; and
(ii) describe the nature of the documents, communications, or tangible things not produced or disclosedâand do so in a manner that, without revealing information itself privileged or protected, will enable other parties to assess the claim.
Fed. R. Civ. P. 26(b)(5)(A).
Federal Rules of Civil Procedure governing discovery sanctions
Federal Rule of Civil Procedure 26(g)(3)
Against the backdrop of these rules, Federal Rule of Civil Procedure 26(g), added in 1983, provides:
(g) Signing Disclosures and Discovery Requests, Responses, and Objections.
(1) Signature Required; Effect of Signature. Every disclosure under Rule 26(a)(1) or (a)(3) and every discovery request, response, or objection must be signed by at least one attorney of record in the attorneyâs own nameâor by the party personally, if unrepresentedâand must state the signerâs address, e-mail address, and telephone number. By signing, an attorney or party certifies that to the best of the personâs knowledge, information, and belief formed after a reasonable inquiry:
(A) with respect to a disclosure, it is complete and correct as of the time it is made; and
(B) with respect to a discovery request, response, or objection, it is:
(i) consistent with these rules and warranted by existing law or by a nonfrivolous argument for extending,*476 modifying, or reversing existing law, or for establishing new law;
(ii) not interposed for any improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the cost of litigation; and
(iii) neither unreasonable nor unduly burdensome or expensive, considering the needs of the case, prior discovery in the case, the amount in controversy, and the importance of the issues at stake in the action.
(2) Failure to Sign. Other parties have no duty to act on an unsigned disclosure, request, response, or objection until it is signed, and the court must strike it unless a signature is promptly supplied after the omission is called to the attorneyâs or partyâs attention.
(3) Sanction for Improper Certification. If a certification violates this rule without substantial justification, the court, on motion or on its own, must impose an appropriate sanction on the signer, the party on whose behalf the signer was acting, or both. The sanction may include an order to pay the reasonable expenses, including attorneyâs fees, caused by the violation.
Fed. R. Civ. P. 26(g).
Plaintiffs seek mandatory sanctions against Defendant under Rule 26(g)(3)âin the form of an award of Plaintiffsâ reasonable and necessary attorneysâ feesâon the basis that Defendant has no âsubstantial justificationâ for its continued refusal to respond to Plaintiffsâ discovery requests. See Dkt. No. 23 at 2; Dkt. No. 24 at 1, 21; Dkt. No. 40 at 5-6; Dkt. No. 42 at 7-8.
Counsel have âan obligation, as officers of the court, to assist in the discovery process by making diligent, good-faith responses to legitimate discovery requests.â McLeod, Alexander, Powel & Apffel, P.C. v. Quarles, 894 F.2d 1482, 1486 (5th Cir.1990). The United States Court of Appeals for the Fifth Circuit has further commended the Texas Lawyersâ Creedâs command that an attorney âwill not resist discovery requests which are not objectionableâ and âwill not make objections ... for the purpose of delaying or obstructing the discovery process,â and the Court of Appeals observed that âthe spirit of the Federal Rules of Civil Procedure is served by adherence to similar principles of professionalism and civility.â Id. (internal quotation marks omitted).
More specifically, âRule 26(g) imposes an affirmative duty to engage in pretrial discovery in a responsible manner that is consistent with the spirit and purposes of Rules 26 through 37.â Fed.R.Civ.P. 26(g) advisory committeeâs note (1983). Rule 26(g) specifically ârequires that parties make a reasonable inquiry before conducting or opposing discovery.â Smith v. Our Lady of the Lake Hosp., Inc., 960 F.2d 439, 448 (5th Cir.1992). Rule 26(g) âprovides a deterrent to both excessive discovery and evasion by imposing a certification requirement that obliges each attorney to stop and think about the legitimacy of a discovery request, a response thereto, or an objectionâ and whether it is consistent with the Federal Rules of Civil Procedure and âgrounded on a theory that is reasonable under the precedents or a good faith belief as to what should be the law.â Fed.R.Civ.P. 26(g) advisory committeeâs note (1983). âThis standard is heavily dependent on the circumstances of each ease.â Id.
âAlthough the certification duty requires the lawyer to pause and consider the reasonableness of his request, response, or objection, it is not meant to discourage or restrict necessary and legitimate discovery. The rule simply requires that the attorney make a reasonable inquiry into the factual basis of his response, request, or objection.â Id. â âThe duty to make a âreasonable inquiryâ is satisfied if the investigation undertaken by the attorney and the conclusions drawn therefrom are reasonable under the circumstances. It is an objective standard similar to the one imposed by [Federal Rule of Civil Procedure] 11.... Ultimately what is reasonable is a matter for the court to decide on the totality of the circumstances.â â Chapman & Cole v. Itel Container Intâl B.V., 865 F.2d 676, 686 (5th Cir.1989) (quoting Fed. R.Civ.P. 26(g) advisory committeeâs note (1983)).
A Rule 26(g)(1) âcertification speaks as of the time it is made.â Fed.R.Civ.P. 26(g) advi
The courts are âwell aware of counselâs obligations to act as an advocate for his/her client and to use legal procedure for the fullest benefit of the client. Those obligations, however, must be tempered against counselâs duty not to abuse legal procedure. Thus, even if the client directs counsel to respond to discovery requests in a certain manner, counsel has the ultimate obligation to ensure that the responses and objections are well grounded in fact and law.â McCoo v. Dennyâs, Inc., 192 F.R.D. 675, 697-98 (D.Kan.2000) (citations omitted); see also Bordelon Marine, Inc. v. F/V KENNY BOY, Civ. A. Nos. 09-3209 & 09-6221, 2011 WL 164636, at *6 (E.D.La. Jan. 19, 2011) (âWhile the Court recognizes that counsel need to be zealous advocates for their clients, zealousness has its bounds____â); Dondi Properties Corp. v. Commerce Savings & Loan Assân, 121 F.R.D. 284, 288 (N.D.Tex.1988) (â(F) A client has no right to demand that counsel abuse the opposite party or indulge in offensive conduct----(H) A lawyer should not use any form of discovery, or the scheduling of discovery, as a means of harassing opposing counsel or counselâs client.â).
Rule 26(g) was enacted âto eliminate one of the most prevalent of all discovery abuses: kneejerk discovery requests served without consideration of cost or burden to the responding party.â Mancia v. Mayflower Textile Services. Co., 253 F.R.D. 354, 358 (D.Md. 2008). It was also enacted âto bring an end to the equally abusive practice of objecting to discovery requests reflexivelyâbut not reflectivelyâand without a factual basis.â Id. Rule 26(g) âand its commentary are starkly clear: an objection to requested discovery may not be made until after a lawyer has paused and considered] whether, based on a reasonable inquiry, there is a factual basis [for the] ... objection.â Id. (internal quotation marks omitted).
Rule 26(g) is thus âdesigned to curb discovery abuse by explicitly encouraging the imposition of sanctions.â Fed.R.Civ.P. 26(g) advisory committeeâs note (1983). âBecause of the asserted reluctance to impose sanctions on attorneys who abuse the discovery rules, Rule 26(g) makes explicit the authority judges now have to impose appropriate sanctions and requires them to use it.â Id. (citations omitted).
But, even if an attorney violates Rule 26(g)(1), a court may notâon a partyâs motion or sua sponteâimpose Rule 26(g)(3) sanctions unless the certification violated Rule 26(g)(1) âwithout substantial justification.â Fed. R. Civ. P. 26(g)(3). The United States Supreme Court has defined âsubstantially justifiedâ to mean âjustified in substance or in the mainâthat is, justified to a degree that could satisfy a reasonable person.â Pierce v. Underwood, 487 U.S. 552, 565, 108 S.Ct. 2541, 101 L.Ed.2d 490 (1988). âSubstantial justificationâ entails a âreasonable basis in both law and fact,â such that âthere is a genuine dispute ... or if reasonable people could differ [as to the appropriateness of the contested action].â Id. (internal quotation marks omitted); accord De Angelis v. City of El Paso, 265 Fed.Appx. 390, 398 (5th Cir.2008).
Where Rule 26(g)(3) requires the Court to impose an appropriate sanction, â[t]he nature of the sanction is a matter of judicial discretion to be exercised in light of the particular circumstances.â Fed.R.Civ.P. 26(g) advisory committeeâs note (1983). Although Rule 26(g)(3) sanctions are mandatory, Rule 26(g)(3)âs âmandate ... extends only to whether a court must impose sanctions, not to which sanction it must impose.â Chambers v. NASCO, Inc., 501 U.S. 32, 51, 111 S.Ct. 2123, 115 L.Ed.2d 27 (1991) (emphasis in original). But, â[w]hen invoking Rule 26(g) as a basis for sanctions, the district court must specify which discovery certification was sanetionable.â Ibarra v. Baker, 338 Fed.Appx. 457, 470 (5th Cir.2009).
Plaintiffs have not expressly invoked Federal Rule of Civil Procedure 37(a)(5)(A). This rule provides that, if a motion to compel is granted, âthe court must, after giving an opportunity to be heard, require the party ... whose conduct necessitated the motion, the party or attorney advising that conduct, or both to pay the movantâs reasonable expenses incurred in making the motion, including attorneyâs fees,â except that âthe court must not order this payment if: (i) the movant filed the motion before attempting in good faith to obtain the disclosure or discovery without court action; (ii) the opposing partyâs nondisclosure, response, or objection was substantially justified; or (iii) other circumstances make an award of expenses unjust.â Fed. R. Civ. P. 37(a)(5)(A).
The Court finds that any sanctions to be awarded under Rule 37(a)(5)(A) would be duplicative and redundant of those that Plaintiffs expressly seek under Rule 26(g)(3). Cf DIRECTV, Inc. v. Puccinelli, 224 F.R.D. 677, 694 (D.Kan.2004) (âThe Court is already imposing sanctions against Plaintiff and in favor of both Defendants under Rule 37(a)(4). Thus, any award of sanctions under Rule 26(g) would be duplicative and unnecessary.â). The Court further findsâafter considering all of the relevant circumstances, the extent of the partiesâ conference in advance of Plaintiffsâ filing their Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42J, and the extent to which Defendantâs positions in connection with Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23] and Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 42] were either accepted or resolved by agreement at the July 17, 2014 hearing or were at least substantially justifiedâthat no award of reasonable expenses that the Court would award under Rule 37(a)(5)(A) would be any different than the sanctions that the Court is awarding below under Rule 26(g)(3).
Federal Rule of Civil Procedure 37(b)
Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery and Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42] also seeks âsanctions against Defendant for failing to comply with Judge Horanâs Order Compelling Discovery no later than August 18, 2014.â Dkt. No. 42 at 7. Federal Rule of Civil Procedure 37(b) provides that, â[i]f a party ... fails to obey an order to provide or permit discovery ... the court where the action is pending may issue further just orders,â including, among other sanctions, directing that matters embraced in the order or other designated facts be taken as true; prohibiting the disobedient party from supporting or opposing designated claims or defenses, or from introducing designated matters in evidence; striking pleadings in whole or in part; staying further proceedings until the order is obeyed; dismissing the action or proceeding in whole or in part; rendering a default judgment against the disobedient party; or treating as contempt of court the failure to obey any order except an order to submit to a physical or mental examination. Fed. R. Civ. P. 37(b)(2)(A).
Sanctions available under Rule 37(b) are appropriate where there is willful disobedience or gross indifference but not where failure to comply was outside the partyâs control. See Dorsey v. Academy Moving & Storage, Inc., 423 F.2d 858, 860 (5th Cir. 1970).
Plaintiffsâ requests for Rule 26(g) sanctions
Plaintiffs contend that Rule 26(g) sanctions are appropriate and required because of Defendantâs refusal to respond to Plaintiffsâ requests for production and interrogatories based on various objections or outright refusals to respond.
The Court will address each of the possible factual bases for finding that Defendantâs responses and objections (l)(a) were not consistent with the Federal Rules of Civil Procedure and warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law, or for establishing new law or (b) were interposed for
Interrogatory No. 1 and other matters raised in Plaintiffsâ second motion to compel
Plaintiffsâ Interrogatory No. 1 asked Defendant to â[pjlease identify all persons providing information used to respond to these Interrogatories, setting forth with respect to each such person the Interrogatory response to which he or she is directly responded,â Dkt. No. 24-4 at 2. In response, Defendant objected âto the extent [this Interrogatory] seeks premature disclosure of expert opinion, as the City has not determined at this time which individuals may serve as consulting or testifying expert witnessesâ and âto the extent [this Interrogatory] seeks privileged work product, attorney-client communications, and/or information protected by the legislative privilege.â Id. at 2-3. Defendant then provided this response: âSubject to and without waiving its general and specific objections, these responses include, the public discussions held by members of the Dallas City Council, where noted, as well as the police chiefs or other personnel who spoke before the Council at its meetings. Additionally, these responses were prepared by each of the undersigned counsel in this case.â Id. at 3.
The Court already addressed Defendantâs response to Plaintiffsâ Interrogatory No. 1 in the Courtâs October 2, 2014 Order on Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 46]:
This latest motion raises several specific requests for production or interrogatories that the Court addressed in ruling on Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23] and as to which Plaintiffs assert Defendant City of Dallas has not complied with its obligations under this Courtâs order and the Federal Rules of Civil Procedure.
As to Plaintiffsâ Interrogatory No. 1, during the July 17, 2014 hearing on Plaintiffsâ Motion to Compel Discovery Responses [Dkt. No. 23], the Court ordered Defendant to serve a complete answer to this interrogatory____Specifically, during the hearing, the Court, Plaintiffsâ counsel, and Defendantâs counsel had the following exchange:
THE COURT: All right. Interrogatory # 1. Theyâve responded to this, right? I mean,â
[PLAINTIFFSâ COUNSEL]: Well, yes and no. I mean, where are the names of the people that helped get this information? Because in order to determine who it is we should depose, who it is that might be able to explain to us their interest in the distinction between a han-dheld sign or a person wearing a costume and a flashing billboard that you can see from about a half-mile away, we need to know who to talk to. And the initial disclosures give us four names, and Iâm not sure if all four of those testified during the TRO, but thereâsâ thereâs no names. And I can say, in 21 years of litigating, Iâve never had someone or a party not respond to identifying the persons that helped respond to the interrogatories. Here, it says thatâs privileged work product, attorney-client communication, and protected by the legislative privilege. How do we get the witness names?
THE COURT [to Defendantâs counsel]: ____ Why arenât you turning over the names of who youâve talked to getâpull together the interrogatories? I mean, I certainly understand it was you and [co-counsel] who ultimately put them together. Thatâs the way things go. But you obviously didnât generate the information yourself, soâ
[DEFENDANTâS COUNSEL]: WeâI mean, when I contact a department for information and help in responding, they in turn then contact however many other people that they need to contact in order to respond to me to give me an answer. And so, in that sense, I think I was being protective in not wanting to generate a list of, you know, 30 names, each of whom that they can start requesting depositions of that, you know, we just feel would be, you know, end up being abu*480 sive in nature. But I am perfectly willingâ
THE COURT: I think youâdâ [DEFENDANTâS COUNSEL]:âto supplementâyou know, to say thatâ
THE COURT: I think youâd better supplement and do it. I mean, thatâs not your prerogative to avoid that. Itâs a legitimate interrogatory response. So, Iâm going to order the City to supplement with the names of the individuals who provided information in response to these interrogatories.....
Dkt. No. 45 at 102-03.
After the hearing, Defendant reports that its counsel, based on counselâs notes, did not believe that the Court had ordered Defendant to provide a supplemental response. See Dkt. No. 43 at 3. But Defendantâs response contends that the responsive, supplemental information has been provided in any event because [Defendantâs counsel] and Assistant Chief of Police Mike Genovesi have now verified the interrogatory responses. See id. at 3-4; Dkt. No. 40-1 at 16-17 of 18.
The Court disagrees with that position. Those verifications explain that Defendantâs interrogatory answers âare based upon ... information obtained from other employees of the City of Dallas.â Dkt. No. 40-1 at 16-17 of 18. And, during the July 17, 2014 hearing, Defendantâs counsel likewise explained that, when compiling Defendantâs interrogatory answers, âwhen I contact a department for information and help in responding, they in turn then contact however many other people that they need to contact in order to respond to me to give me an answer.â Dkt. No. 45 at 102- 03.
Plaintiffsâ Interrogatory No. 1âto which the Court ordered Defendant to supplement its answer âwith the names of the individuals who provided information in response to these interrogatories,â id. at 103â asks Defendant to âidentify all persons providing information used to respond to these Interrogatories, setting forth with respect to each such person the Interrogatory response to which he or she is directly responded,â Dkt. No. 24-4 at 2. The verifications of Defendantâs interrogatories answers do not provide that information. The Court ORDERS Defendant to supplement its answer to Plaintiffsâ Interrogatory No. 1 with all of the information that the interrogatory requests by October 14, 2014.
Dkt. No. 46 at 1-4. In response to this order, Defendant further supplemented its response to Interrogatory No. 1 and appears to have provided in its answer the names of the individuals who provided information in response to Plaintiffsâ interrogatories. See Dkt. No. 47 at 1; Dkt. No. 47-1 at 2-5 of 9.
Defendantâs original answer to Interrogatory No. 1 was not consistent with the Federal Rules of Civil Procedure, and counselâs certification of the answer violated the governing discovery rules and therefore violated Rule 26(g)(1) without substantial justification. At the July 17, 2014 hearing, Defendantâs counsel did not assert that a response was not required because this interrogatory âseeks privileged work product, attorney-client communications, and/or information protected by the legislative privilege.â Dkt. No. 24-4 at 2-3; Dkt. No. 45 at 102-03. And, notwithstanding Defendantâs objection focused on possible expert witnesses, Interrogatory No. 1, by its own terms, does not seek the identity of any consulting or testifying expert witnesses that Defendant may seek to use in the future. See Dkt. No. 24-4 at 2-3. But those contingent objectionsâ and the invalid general objections discussed belowâare the only objections that Defendant raised to this interrogatory. See id. Defendant then gave only a very general answerââ[s]ubject to and without waiving its general and specific objectionsâ (again, a topic discussed below)âthat did not âidentify all persons providing information used to respond to these Interrogatories, setting forth with respect to each such person the Interrogatory response to which he or she is directly responded.â Id. Defendantâs counsel then explained at the hearing that Defendant served this answer because Defendant, through its counsel, âwas being protective in not wanting to generate a list of, you know, 30 names, each of whom that they can start requesting depositions of that, you know, we
Defendant opposes Plaintiffsâ sanctions requests by arguing that, â[w]ith respect to interrogatory responses that Plaintiffs find lacking, the City contends the interrogatory is either improper, or improper at this time, absent any depositions of the Cityâs witnesses.â Dkt. No. 33 at 13. The Court disagrees with that position. Interrogatory No. 1 is a legitimate, rather standard interrogatory, and Defendantâs objections and Defendantâs counselâs explanation provide no legitimate or substantially justified basis for refusing to fully answer it. Had Defendantâs counsel paused and considered whether, based on a reasonable inquiry, there is a factual or legal basis for the objections and incomplete answer that Defendant provided, Defendantâs counsel could not have concluded that there was. See Mancia, 253 F.R.D. at 358.
The Court is constrained to find that Defendantâs certification of Defendantâs objections and original answer to Interrogatory No. 1 violated Rule 26(g)(1) because Defendantâs objections and answer were not consistent with the Federal Rules or warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law or for establishing new law and were interposed for an improper purpose. The record makes clear that Defendant answered as it did to unilaterally deny Plaintiffs information in order toâwithout properly seeking a Federal Rule of Civil Procedure 26(c) protective order or other Court interventionâ keep the names of potential witnesses from Plaintiffsâ counsel based on an unsubstantiated concern that, if given a complete answer to this interrogatory, âthey can start requesting depositions [that would] end up being abusive in nature.â Dkt. No. 45 at 103.
Defendant argues that, â[t]o the extent that Plaintiffs believe the City has not appropriately responded to the Courtâs orders from [the July 17, 2014] hearing, Plaintiffs have not conducted a conference with the City in accordance with Local Rule 7.1, requiring the attorneys to first confer,â and âPlaintiffs also did not confer with the City prior to filing their Motion to Compel Compliance with Courtâs Previous Order (ECF 42),â such that âany supplemental or renewed request for sanctions lacks a good faith effort to cooperate with the City, and has no further support than what Plaintiffs have already presented to the Court in its original motion and during the July 17th Discovery Hearing.â Dkt. No. 43 at 2. Although the conference requirement for discovery disputes and filing discovery motions is critically important, see Brown v. Bridges, No. 3:12-cv-4947-P, 2014 WL 2777373, at *1 (N.D.Tex. June 19, 2014), the Court disagrees that, under all of the circumstances, any further prefiling conference as to Interrogatory No. 1 was required here, see Dkt. No. 42 at 3; Dkt. No. 43 at 3-4.
Defendantâs counselâs certification of Defendantâs answer and objections to Interrogatory No. 1, see Dkt. No. 24^4 at 2-3, 15-16, violated Rule 26(g)(1) in a manner that reflected a lack of reasonable inquiry and that was not substantially justified. The Court finds that Defendantâs response to Interrogatory No. 1 was not justified to a degree that could satisfy a reasonable personâthat is, reasonable people could not differ as to the appropriateness of the response as described above. See Hobley v. Burge, No. 03 C 3678, 2003 WL 22359520, *1 (N.D.Ill. Oct. 15, 2003). This requires the Court to impose an appropriate sanction under Rule 26(g)(3).
As to Plaintiffsâ request for sanctions for Defendantâs violating the Courtâs July 17, 2014 order, this is a close call where Defendantâs counsel were responsible for understanding the Courtâs July 17, 2014 order and seeking clarification if necessary. See Dkt. No. 45 at 130 (â[M]y order is going to be short, since this has all been on the record. But I donât know how accessible this recording will be, so I hope everyone has taken notes. If you havenât, if anyone has any questions about my ruling on any of [Plaintiffsâ discovery requests], now would be the
And, where the Court has already largely denied Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery [Dkt. No. 42] other than as to Plaintiffsâ Interrogatory No. 1 and Interrogatory No. 14, the Court finds no basis for Rule 26(g) or Rule 37(b) sanctions as to the other matters raised in that motion. The record before the Court does not support a finding that Defendantâs responses to, and its position regarding any requested supplementation as to, Interrogatory No. 14 and Plaintiffsâ Second Set of Requests for Production Nos. 6, 7, 8, and 9, as well as Plaintiffsâ renewed request to have Defendant search for any citations under the Original and Revised Ordinances and any traffic accidents, meet the standards for Rule 26(g)(3) or Rule 37(b) sanctions.
Defendantâs general and boilerplate objections
Defendantâs Response to Plaintiffsâ First Set of Requests for Production includes a preliminary section entitled âGeneral Objections,â which states:
1. The City objects to the definitions, instructions, and other statements contained in Plaintiffsâ First Set of Requests for Production (the âRequestsâ) to the extent they exceed and/or conflict with the nature and scope of discovery permitted under the Federal Rules of Civil Procedure and any other federal law.
2. The City objects to the terms âDefendant,â âyou,â and âyour,â and âyoursâ as used in Plaintiffsâ Requests in that they include attorneys and purport to seek information that is exempt from discovery under the work product and attorney/client privileges and protections.
3. It is assumed these Requests are not asking for documents that would be privileged and/or protected as work product and/or attorney-client communications. Nonetheless, such information, if any, will be withheld to the extent that they are protected from discovery by such privileges.
4. Nothing contained in any response shall be deemed to be an admission or waiver by The City as to the relevancy, materiality, authenticity, or admissibility of any document.
5. The City incorporates these objections by reference in its responses to the Requests below as if fully set forth therein.
6. The City reserves the right to amend and supplement any responses.
Dkt. No. 24-1 at 1-2. Defendantâs Response to Plaintiffsâ Second Set of Requests for Production begin with the same âGeneral Objectionsâ section. See Dkt. No. 24-5 at 1-2. And Defendantâs Objections and Response to Plaintiffsâ First Set of Interrogatories to Defendant City of Dallas similarly begins with the following âGeneral Objectionsâ section:
The Cityâs responses are subject to, qualified by, and limited by the following General Objections, which apply to each specific interrogatory as if incorporated and set forth in full in response to each:
1. The City objects to Plaintiffs interrogatories, definitions, and instructions to the extent they exceed or seek to impose discovery obligations on the City that exceed and conflict with the nature and scope of discovery permitted under the Federal Rules of Civil Procedure and any other federal law, including but not limited to asking the City to prematurely marshall its evidence in preparation for trial.
2. The City objects to Plaintiffs interrogatories, definitions, and instructions to the extent they seek disclosure [of] matters protected by attorney-client privilege, work product doctrine, legislative privilege, or other exemptions or privileges recognized, among other things, by applicable law and/or rules of evidence and civil procedure.
*483 4. The City makes no admissions of any nature, and no admissions may be implied by, or inferred from, these objections and responses. Nothing contained in any response shall be deemed to be an admission, concession, or waiver by the City as to the relevance, materiality, or admissibility of any information provided in response to Plaintiffsâ discovery requests.
5. These general objections apply to each interrogatory response. Where the City cites certain general objections in response to a particular interrogatory, it does so because the objections are especially applicable. The citation of general objections should not be construed as a waiver of any other general objection falling within the interrogatory.
Dkt. No. 24-4 at 1-2.
Plaintiffs assert that these general, generic objections violate the Federal Rules and are invalid. The Court agrees.
The âprohibition against general [or blanket] objections to discovery requests has been long established.â Hall v. La., Civ. A. No. 12-657-BAJ-RLB, 2014 WL 2560579, at *1 (M.D.La. June 6, 2014). Rule 33(b)(4) requires that âgrounds for an objection to an interrogatory shall be stated with specificity.â Fed. R. Civ. P. 33(b)(4). And Rule 34(b) requires that a response to a request for production of documents, electronically stored information, and tangible things âmust either state that inspection and related activities will be permitted as requested or state an objection to the request, including the reasons.â Fed. R. Civ. P. 34(b)(2)(B). In short, â[objections to discovery must be made with specificity, and the responding party has the obligation to explain and support its objections.â Cartel Asset Mgmt. v. Ocwen Fin. Corp., No. 01-cv-01644-REB-CBS, 2010 WL 502721, at *10 (D.Colo. Feb. 8, 2010).
Another court has put the matter at hand well: âGeneral objections such as the ones asserted by [Defendant] are meaningless and constitute a waste of time for opposing counsel and the court. In the face of such objections, it is impossible to know whether information has been withheld and, if so, why. This is particularly true in cases like this where multiple âgeneral objectionsâ are incorporated into many of the responses with no attempt to show the application of each objection to the particular request.â Weems v. Hodnett, No. 10-cv-1452, 2011 WL 3100554, at *1 (W.D.La. July 25, 2011).
In that case, the court determined that âPlaintiffs general objections violate the letter and spirit of Rule 26(g). Plaintiff made no attempt to explain the applicability of the general objections to the discovery requests. In every response, Plaintiff asserted a general objection for privileged or proprietary information, yet Plaintiff does not explain (in a privileged document log or otherwise) what, if any, information was withheld.â Id. at *2. And another court has persuasively explained:
This Court has on several occasions âdisapproved [of] the practice of asserting a general objection âto the extentâ it may apply to particular requests for discovery.â This Court has characterized these types of objections as âworthless for anything beyond delay of the discovery.â Such objections are considered mere âhypothetical or contingent possibilities,â where the objecting party makes â âno meaningful effort to show the application of any such theoretical objectionâ to any request for discovery.â Thus, this Court has deemed such âostensibleâ objections waived, or declined to consider them as objections.
Sonnino v. Univ. of Kan. Hosp. Auth., 221 F.R.D. 661, 666-67 (D.Kan.2004) (footnotes and citations omitted).
So-called boilerplate or unsupported objectionsâeven when asserted in response to a specific discovery request and not as part of a general list of generic objections preceding any responses to specific discovery requestsâare likewise improper and ineffective and may rise (or fall) to the level of what the Fifth Circuit has described as âan all-too-common example of the sort of âRambo tacticsâ that have brought disrepute upon attorneys and the legal system.â McLeod, 894 F.2d at 1484-86 (holding that simply objecting to requests as âoverly broad, burdensome, oppressive and irrelevant,â without
Another court has observed that â[the] failure to particularize [overbreadth, undue burden, and relevance] objections as required leads to one of two conclusions: either the [responding parties] lacked a factual basis to make the objections that they did, which would violate Rule 26(g), or they complied with Rule 26(g), made a reasonable inquiry before answering and discovered facts that would support a legitimate objection, but they were waived for failure to specify them as required.â Mancia, 253 F.R.D. at 364.
In this ease, Defendant, in its responses to each of Plaintiffsâ sets of document requests and their Interrogatories, raised a list of âGeneral Objectionsâ before any addressing specific discovery requests and purported to incorporate by reference all of those objections into every response to every discovery request. See Dkt. No. 24-1 at 1-2; Dkt. No. 24-4 at 1-2; Dkt. No. 24-5 at 1-2. At the July 17, 2014 hearing, however, Defendantâs counsel did not attempt to rely on those âGeneral Objections.â See Dkt. No. at 17, 69.
Counsel should cease and desist from raising these free-standing and purportedly universally applicable âgeneral objectionsâ in responding to discovery requests. Deploying these general objections in this manner is, for the reasons explained above, inconsistent with the Federal Rules and is not warranted by existing law.
As to the particular general objections that Defendant raised in this case, the objection to all requests to the extent that they exceed or conflict with the scope of permissible discovery is an off-the-shelf and decidedly nonspecific objection that gains the responding party nothing without tying it to a particular discovery request and explaining precisely how that request exceeds or conflicts with the scope of permissible discovery. And the Court agrees with Plaintiffsâ counsel that disavowing interrogatory responses as âadmissions of any nature,â Dkt. No. 24-4 at 2, flies in the face of Rule 33(c)âs provision that â[a]n answer to an interrogatory may be used to the extent allowed by the Federal Rules of Evidence.â Fed. R. Crv. P. 33(c). Finally, any statement reserving the ârightâ to supplement discovery responses âmerely reflects an already existing duty, pursuant to Fed. R.Civ.P. 26(e).â Zapata v. IBP, Inc., Civ. A No. 93-2366-EEO, 1995 WL 293931, at *1 (D.Kan. May 10,1995).
Nevertheless, the existing legal authority is not entirely consistent across the federal courts and has not always been clear as to the propriety of raising these kinds of general objections and has been rather limited within this circuit. See, e.g., Hager v. Graham, 267 F.R.D. 486, 492 (N.D.W.Va.2010); Grider v. Keystone Health Plan Central, Inc., 580 F.3d 119, 139-40 (3d Cir.2009).
Accordingly, under the particular circumstances here, the Court finds that no sanction is warranted or required under Rule 26(g)(3) based on Defendantâs counselâs certifying the general objections to Plaintiffsâ discovery requests. See Dkt. No. 24-1 at 1-2; Dkt. No. 24-4 at 1-2; Dkt. No. 24-5 at 1-2.
The Court will address below Defendantâs boilerplate objections asserted in response to Plaintiffsâ specific discovery requests.
Defendantâs privilege and work product objections
In addition to its âGeneral Objectionsâ addressing privilege and work product protection, Defendant also raised the following objection to many of the document requests in Plaintiffsâ First Set of Requests for
Here, then, Defendant did not rely entirely on a general privilege and work product objection stated once in its âGeneral Objectionsâ as if it is applicable to every discovery requestâDefendant also raised âto the extentâ objections as to privilege and work product protection in its responses to specific interrogatories and document requests. But, while the matter may be worse if a privilege and work product objection is raised only as a general objection, objecting, without more, to a particular interrogatory or document request only âto the extentâ that it seeks privileged or work product material and then responding âsubject to and without waivingâ that contingent objection still leaves the requesting party wondering if there are any responsive documents being withheld as privileged or attorney work product.
And that was the case here, where Plaintiffsâ original motion to compel sought an order ârequiring full responses to each and every Request for Production and Interrogatory, even if such response simply reveals that no documents exist.â Dkt. No. 24 at 21. Plaintiffsâ counsel complained that Defendantâs responses to document requests subject to objections, including privilege objections, left them wondering if any responsive documents existed in Defendantâs possession, custody, or control and were being withheld. Much of the Courtâs discussions with Defendantâs counsel at the July 17, 2014 hearing then involved confirming whether Defendant was withholding from production to Plaintiffs any documents responsive to specific document requests based on Defendantâs objections. See, e.g., Dkt. No. 45 at 17-18, 19, 20, 21, 26, 27-28, 31-32, 33, 49-50, 54, 57-60, 62-63, 69-70.
The Court believes that the following is a correct statement of how to properly respond to discovery requests:
⢠A party served with written discovery must fully answer each interrogatory or document request to the full extent that it is not objectionable and affirmatively explain what portion of an interrogatory or document request is objectionable and why, affirmatively explain what portion of the interrogatory or document request is not objectionable and the subject of the answer or response, and affirmatively explain whether any responsive information or documents have been withheld.
⢠âIn responding to [Rule 34] discovery requests, a reasonable inquiry must be made, and if no responsive documents or tangible things exist, Fed. R. Civ. P. 26(g)(1), the responding party should so state with sufficient specificity to allow the Court to determine whether the party made a reasonable inquiry and exercised due diligence.â Atcherley v. Clark, No. 1:12cv00225 LJO DLB (PC), 2014 WL 4660842, at *1 (E.D.Cal. Sept. 17, 2014) (citation omitted); accord Kennedy v. Baldwin, No. 2:11-cv-604-DN-EJF, 2014 WL 549529, at *2 (D.Utah Feb. 11, 2014) (âIf no other responsive documents exist, [the responding party should have stated as much in its response.â) (citing case holding that it is improper to assert boilerplate objections to discovery requests when there are no documents responsive to the request); Cartel, 2010 WL 502721, at *14 (âIt is well-settled that a responding partyâs obligations under Rule 34 do not extend to non-existent materials.â) (citing cases regarding Rule 34âs not requiring a responding party to create new or nonexistent documents).
⢠âIf responsive documents do exist but the responsive party claims lack of possession, control, or custody, the party must so state with sufficient specificity to allow the Court (1) to conclude that the responses were made after a ease-specific evaluation and (2) to evaluate the merit of that response.â Atcherley, 2014 WL*486 4660842, at *1 (citation omitted); accord XL Specialty Ins. Co. v. Bollinger Shipyards, Inc., Civ. A. No. 12-2071, 2014 WL 2155242, at *2 (E.D.La. May 22, 2014) (âA party need not produce documents or tangible things that are not ... within its control. In the face of a denial by a party that it has possession, custody or control of documents, the [requesting] party must make an adequate showing to overcome this assertion.â (internal quotation marks and citations omitted)); Gray v. Faulkner, 148 F.R.D. 220, 223 (N.D.Ind. 1992) (âWith respect to Request Nos. 33 and 34, Mr. Gray apparently does not believe defendantsâ claims that the documentation requested in these items is non-existent or as minimal as defendants have indicated. The fact that a party may disbelieve or disagree with a response to a discovery request, however, is not a recognized ground for compelling discovery, absent some indication beyond mere suspicion that the response is incomplete or incorrect. Should it later appear that requested information was not revealed or was deliberately concealed, a responding party or attorney would be subject to appropriate sanctions.â).
⢠To comply with the requirements to support withholding any responsive document or information as privileged or protected work product, a privilege log or equivalent document complying with Federal Rule of Civil Procedure 26(b)(5)(A)âs requirements must be produced for any documents, communications, or other materials withheld from production on the grounds of attorney-client privilege, work product, or other privilege, immunity, or protection. See Fed. R. Civ. P. 26(b)(5); see also In re Santa Fe Intâl Corp., 272 F.3d 705, 710 (5th Cir.2001) (holding that the âparty asserting a privilege exemption from discovery bears the burden of demonstrating its applicabilityâ).
Accordingly, a party may properly raise and preserve an objection to production of documents in response to a specific document request or interrogatory by objecting âto the extentâ that the requests seeks privileged materials or work product, so long as the responding party also provides the information required by Rule 26(b)(5)(A).
After considering all of the particular circumstances here, the Court finds that no sanction is warranted or required under Rule 26(g)(3) based on Defendantâs counselâs certifying the privilege and work product objections to Plaintiffsâ discovery requests and later serving a privilege log. See Dkt. No. 24-1; Dkt. No. 24-4; Dkt. No. 24-5.
Defendantâs responses made âsubject to and without waivingâ its objections
Defendant responded to almost all of Plaintiffsâ document requests and interrogatories â[s]ubject to and without waiving its general and specific objections.â Dkt. No. 24-1; Dkt. No. 24-4; Dkt. No. 24-5. Plaintiffs do not explicitly raise this manner of responding as a basis for sanctions, and the Court, like many other judges, ârecognizes that it has become common practice among many practitioners to respond to discovery requests by asserting objections and then answering âsubject toâ or âwithout waivingâ their objections.â Sprint Communications Co., L.P. v. Comcast Cable Communications, LLC, Nos. 11-2684-JWL, 11-2685-JWL, & 11-2686-JWL, 2014 WL 545544, at *2 (D.Kan. Feb. 11,2014).
But, while not a basis for sanctions in this instance, this practice should not escape comment and is inextricably intertwined with the related practice of raising boilerplate objections without the specificity that the Federal Rules require and about which Plaintiffs do complain. The practice of asserting objections and then answering âsubject toâ and/or âwithout waivingâ the objectionsâlike the practice of including a stand-alone list of general or blanket objections that precede any responses to specific discovery requestsâmay have developed as a reflexive habit passed on from one attorney to another without any attorney giving serious thought or reflection as to what this manner of responding means or could hope to accomplish as to a particular discovery request.
Having reflected on it, the Court agrees with judges in this circuit and other jurisdictions that the practice of responding to interrogatories and documents requests âsubject
The Court concludes that, outside of the privilege and work product context as discussed above, responding to a document request or interrogatory âsubject toâ and âwithout waivingâ objections is not consistent with the Federal Rules or warranted by existing law or by a nonfrivolous argument for extending, modifying, or reversing existing law or for establishing new law. The governing Federal Rules themselves prohibitâand make clear the problem withâthis practice. Rule 33(b)(3) requires that the responding party must answer each interrogatory âto the extent it is not objected to.â Fed. R. Civ. P. 33(b)(3). Similarly, Rule 34(b)(2)(B) requires that a response to a document request âmust either state that inspection and related activities will be permitted as requested or state an objection to the request, including the reasons,â and Rule 34(b)(2)(C) requires that â[a]n objection to part of a [document] request must specify the part and permit inspection of the rest.â Fed. R. Civ. P. 34(b)(2)(B), (C). Rule 34(b) âis structured in this way so that, in combination with [Rule 26(g)(1) ], both the requesting party and the court may be assured that all responsive, non-privileged materials are being produced, except to the extent a valid objection has been made.â Evans v. United Fire & Cas. Ins. Co., Civ. A. No. 06-6783, 2007 WL 2323363, at *2 (E.D.La. Aug. 9, 2007) (emphasis in original). Rule 33(b)(3) does the same for interrogatory responses.
Accordingly, a responding party has a duty to respond to or answer a discovery request to the extent that it is not objectionable. As discussed above, the Federal Rules dictate that a responding party must describe what portions of the interrogatory or document request it is, and what portions it is not, answering or responding to based on its objections and why. But if the request is truly objectionableâthat is, the information or documents sought are not properly discoverable under the Federal Rulesâthe responding party should stand on an objection so far as it goes.
Otherwise, as a general matter, if an objection does not preclude or prevent a response or answer, at least in part, the objection is improper and should not be made. To make such an objection in the face of these considerations is to engage in the âabusive practice of objecting to discovery requests reflexivelyâbut not reflectivelyâand without a factual [or legal] basisâ that Rule 26(g) was enacted to stop. Mancia, 253 F.R.D. at 358.
If a responding party makes such an objection but answers or responds âsubject toâ and âwithout waivingâ the objection, â[s]uch objection and answer preserves nothing and serves only to waste the time and resources of both the Parties and the Court.â Consumer Electronics, 2008 WL 4327253, at *3. Some of the reasons for this have been explained by another court:
*488 [I]f an objection to a discovery request is raised, and then the question is answered âsubject toâ or âwithout waivingâ the objection, this court is reluctant to sustain the objection. Although this seems to be an increasingly common approach to discovery, it raises a fairly straightforward question: if a party objects to a question or request but then answers, has the objection been waived despite the claimed reservation of the objection? This court cannot logically conclude that the objection survives the answer. First, the rules do not on their face give a party that option. Rule 33, relating to interrogatories, states: âEach interrogatory must, to the extent it is not objected to, be answered separately and fully in writing under oath.â Fed. R.Civ.P. 33(b)(3) (emphasis added). Similarly, Rule 34(b)(2), relating to RFPs, provides that a responding party shall state in writing what documents will be produced, and that if objection is made to part of the request, the objection must specify the part and permit inspection of the rest. Rule 36(a), relating to requests for admission, contains substantially the same language. Thus, a responding party is given only two choices: to answer or to object. Objecting but answering subject to the objection is not one of the allowed choices.
Mann v. Island Resorts Dev., Inc., No. 3:08cv297/RS/EMT, 2009 WL 6409113, at *3 (N.D.Fla. Feb. 21, 2009). The court further explained that,
[sjecond, although the practice is common, the only reported decision this court has found that directly addresses the question is Meese v. Eaton Mfg. Co., 35 F.R.D. 162, 166 (N.D.Ohio 1964), which held that â[wjhenever an answer accompanies an objection, the objection is deemed waived, and the answer, if responsive, stands.â See also, Wright, Miller & Marcus, Federal Practice and Procedure: Civil § 2173: âA voluntary answer to an interrogatory is also a waiver of the objection.â
Id. Finally, the court observed that,
[tjhird, answering subject to an objection lacks any rational basis. There is either a sustainable objection to a question or request or there is not. What this response really says is that counsel does not know for sure whether the objection is sustainable, that it probably is not, but thinks it is wise to cover all bets anyway, just in case. In this court, however, no objections are âreservedâ under the rules; they are either raised or they are waived.
Id.; see also Sherwin-Williams Co. v. JB Collision Servs., Inc., Nos. 13-CV-1946-LAB (WVG) & 13-CV-1947-LAB (WVG), 2014 WL 3388871, at *2-*3 (S.D.Cal. July 9, 2014); Estridge v. Target Corp., No. 11-61490-CIV, 2012 WL 527051, at *2 (S.D.Fla. Feb. 16, 2012).
Accordingly, for example, if part or all of an interrogatory is allegedly vague and ambiguous, the responding party, to comply with the Federal Rules, must, if possible, explain its understanding of the allegedly vague and ambiguous terms or phrases and explicitly state that its answer is based on that understanding. See generally Cartel, 2010 WL 502721, at *10; McCoo, 192 F.R.D. at 694. If an entire interrogatory or document request is truly so vague and ambiguous that the responding party cannot understand its meaning and what information it seeks, the party should stand on its objection and provide no answer at all or promise no production of responsive documents on the ground that the responding party simply cannot do so based on the discovery requestâs wording. But making an objection to a request as vague and ambiguous, without more, and then fully answering the interrogatory or promising production of all documents responsive to the request âsubject toâ the vagueness and ambiguity objection betrays that the objection was made reflexively and without a factual basis.
A similar analysis applies to an objection to a request as being overbroad in its scope or as imposing an undue burden on the responding party to answer or respond. If a discovery request is overbroad, the responding party must, to comply with Rule 33 or Rule 34, explain the extent to which it is overbroad and answer or respond to the extent that it is notâand explain the scope of what the responding party is answering or responding to. See Consumer Electronics, 2008 WL 4327253, at *2 (âIf there is an
Another related practice is a partyâs making an objection that is not directed to the discovery of the information or documents under Federal Rule of Civil Procedure 26(b) but rather to the informationâs or documentâs admissibility at trial or on summary judgment. The United States Supreme Court has recognized that the discovery rules âare to be accorded a broad and liberal treatment.â Hickman v. Taylor, 329 U.S. 495, 507-508, 67 S.Ct. 385, 91 L.Ed. 451 (1947). Rule 26(b) allows a party to obtain discovery âregarding any nonprivileged matter that is relevant to any partyâs claim or defense.â Fed. R. Civ. P. 26(b)(1). The information sought need not be admissible at trial âif the discovery appears reasonably calculated to lead to the discovery of admissible evidence.â Id. That a requested document or information will not be admissible or relevant to the merits of a claim or defense is not a proper objection to discovery of the document or information under the Federal Rules if the discovery request is reasonably calculated to lead to the discovery of admissible evidence. See McLeod, 894 F.2d at 1484-85.
Similarly, a party cannot refuse to produce a requested document or information simply because it is relevant to a claim or defense on which the producing party believes that it will prevail. See Third Pentacle, LLC v. Interactive Life Forms, LLC, No. 3:10cv00238, 2012 WL 27473, at *3 (S.D.Ohio Jan. 5, 2012) (even if a party âpresently holds a strong belief in the merits of [the partyâs] litigation positions, [the partyâs] strong beliefâwhether ultimately justified or notâprovides no basis for avoiding [the partyâs] discovery obligations created by the Federal Rules of Civil Procedureâ).
Correspondingly, producing a document or information that falls within Rule 26(b)âs broad scope does not waive or affect, at trial or on summary judgment, an objection to the documentâs or informationâs admissibility, including based on relevance, under the Federal Rules of Evidence or Federal Rule of Civil Procedure 56. Neither does production affect or undermine the responding partyâs position on the merits of the claim or defense as to which, under the Rule 26(b)âs broad standard, the document or information is discoverable.
Accordingly, if a discovery request otherwise complies with Rule 26(b)âs standards for what is discoverable, there is no reason or need to raise an objection to a discovery request based on the merits of a claim or defense or to the requested documentâs or informationâs ultimate relevance or admissibility at trial or on summary judgment and to then respond or answer to the request âsubject toâ that objection. But, if all or part of a discovery request seeks documents or information not even reasonably calculated to lead to the discovery of admissible evidence, the responding party should make a specific objection explaining how and to what extent the requested documents or information are not relevant and discoverable under the Rule 26(b) standard and stand on that objection as
In light of the relative sparsity of case law in this circuit on responding to discovery requests âsubject toâ and âwithout waivingâ objections and of Plaintiffsâ not raising this as a ground for sanctions, the Court finds that Rule 26(g)(3) sanctions are not warranted in this instance for Defendantâs responding to many of the discovery requests â[s]ub-ject to and without waiving its general and specific objections.â See Dkt. No. 24-1; Dkt. No. 24-4; Dkt. No. 24-5. These responses subject to objections were not, at the time that Defendantâs counsel certified the responses, so clearly objectively unreasonable under existing law in this jurisdiction as to find that Defendantâs counselâs Rule 26(g)(1) certification was not substantially justified at that time. But counsel are warned that that may not be true going forward.
Defendantâs undue burden and overbreadth objections
As the Court noted above, Defendant raised undue burden and overbreadth objections to many of Plaintiffsâ document requests and interrogatories. See Dkt. No. 24-1; Dkt. No. 24-4; Dkt. No. 24-5. Plaintiffs report that, in response to their First Set of Requests for Production, âDefendant interposed the ... overbroad ... objection in 32 instancesâraising this objection to every Request excepting Request Nos. 15, 16 and 25ââand âinterposed the unduly burdensome objection in 31 instances, to every Request excepting Request Nos. 1, 15, 16 and 25.â Dkt. No. 24 at 5-6. Defendantâs undue burden and overbreadth objections in response to Plaintiffsâ Second Set of Requests for Production and Plaintiffsâ First Set of Requests for Interrogatories to Defendant City of Dallas, see Dkt. No. 24-4; Dkt. No. 24-5, often provided some, minimal explanation for the objection. But Defendant did not do so for the same objections raised to almost every document request in Plaintiffsâ First Set of Requests for Production, see Dkt. No. 24-1.
By the time of Defendantâs response to Plaintiffsâ Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and then the July 17, 2014 hearing on that motion, Defendant did not press any overbreadth or undue burden objection to most requests, including most of the objected-to documents requests in Plaintiffsâ First Set of Requests for Production, other than the undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8. See Dkt. No. 33; Dkt. No. 45. And, as the Court observed at the July 17, 2014 hearing, as to those discovery requests on which Defendant relied on an undue burden and overbreadth objection, Defendant produced no actual evidence to support their undue burden or overbreadth objections, see Dkt. No. 45 at 33, 99âat least not until Defendant filed its Supplemental Response to Plaintiffsâ Motion to Compel Compliance with Courtâs Previous Order Compelling Discovery And Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 47] on October 15, 2014, see Dkt. No. 47-2.
A party resisting discovery must show specifically how each interrogatory or document request is overly broad, unduly burdensome, or oppressive. See McLeod, 894 F.2d at 1485. This requires the party resisting discovery to show how the requested discovery was overly broad, unduly burdensome, or oppressive by submitting affidavits or offering evidence revealing the nature of the burden. See Merrill v. Waffle House, Inc., 227 F.R.D. 475, 477 (N.D.Tex.2005); accord S.E.C. v. Brady, 238 F.R.D. 429, 437-38 (N.D.Tex.2006). Failing to do so, as a general matter, makes such an unsupported objection nothing more than unsustainable boilerplate. See McLeod, 894 F.2d at 1484-86; Merrill, 227 F.R.D. at 477. And another court has observed that â[i]t would be difficult to dispute the notion that the very act of making such boilerplate objections is prima facie evidence of a Rule 26(g) violation, because if the lawyer had paused, made a reasonable inquiry, and discovered facts that demonstrated the burdensomeness or excessive cost of the discovery request, he or she should have disclosed them in the objection, as both Rule 33 and 34 responses must state
Defendant opposes Plaintiffsâ sanctions requests by arguing that, â[wjhere the City has objected to certain requests as unduly burdensome and overly broad, it has explained in writing and through multiple verbal conferences its reason for those objections.â Dkt. No. 33 at 12; see also Dkt. No. 43 at 10. For the reasons explained above, the Court cannot and does not accept that position. As to almost every discovery request that Defendant objected was unduly burdensome and overbroad, particularly in Plaintiffsâ First Set of Requests for Production, the Court adopts the findings and conclusions of another court faced with similar objections: âDespite this Districtâs well established authority on the level of detail needed to support an undue burden objection, [Defendant] did not submit an affidavit or otherwise at> tempt to describe how the discovery requests were unduly burdensome in terms of time, expense, or procedure. In short, [Defendant] provided the Court with no information about the burden involved in responding to these discovery requests.â Presbyterian Manors, Inc. v. Simplexgrinnel, L.P., No. 09-2656-KHV, 2010 WL 4942110, at *2 (D.Kan. Nov. 30, 2010).
The circumstances here lead the Court to find that Defendantâs undue burden and overbreadth objections, at least in response to most of the requests in Plaintiffsâ First Set of Requests for Production, were simply boilerplate objections made without Defendantâs counselâs pausing and considering whether, based on a reasonable inquiry, there is a factual basis for an objection. Although Defendantâs response briefs and arguments at the hearing provided some factual detail applicable to the undue burden objections to a few document requests in Plaintiffsâ First Set of Requests for Productionâspecifically, Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8âDefendant has never offered any factual support for its undue burden and overbreadth objections to most of the requests in Plaintiffsâ First Set of Requests for Production. And, as such, there is no basis to find that Defendantâs undue burden and overbreadth objections to most of the document requests in Plaintiffsâ First Set of Requests for Productionâother than the undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8âwas substantially justified. âOn the contrary, [Defendantâs] reliance on what amounted to a boilerplate objection was not reasonable.â Id.
The Couiât finds that Defendantâs counselâs certification of Defendantâs undue burden and overbreadth objections to the document requests in Plaintiffsâ First Set of Requests for Production, other than Defendantâs undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8, see Dkt. No. 24-1, violated Rule 26(g)(1) in a manner that reflected a lack of reasonable inquiry and that was not substantially justified. This requires the Court to impose an appropriate sanction under Rule 26(g)(3).
Defendantâs objections to Plaintijfsâ discovery requests as vague and ambiguous
Defendant objected to most of Plaintiffsâ document requests as vague and ambiguous. See Dkt. No. 24-1; Dkt. No. 24-5. Plaintiffs report that, in response to their First Set of Requests for Production, âDefendant interposed the vague ... and ambiguous objection in 32 instancesâraising this objection to every Request excepting Request Nos. 15, 16 and 25.â Dkt. No. 24 at 5.
âThe party objecting to discovery as vague or ambiguous has the burden to show such vagueness or ambiguity.â McCoo, 192 F.R.D. at 694. âA party objecting on these grounds must explain the specific and particular way in which a request is vague.â Consumer Electronics, 2008 WL 4327253, at *2. The responding party âshould exercise reason and common sense to attribute ordinary definitions to terms and phrases utilized in interrogatories. If necessary to clarify its answers, the responding party may include any reasonable definition of the term or phrase at issue.â McCoo, 192 F.R.D. at 694 (internal quotation marks and citations omitted); accord Cartel, 2010 WL 502721, at *10 (âDiscovery requests must be given a reasonable construction, and a responding party is not permitted to conjure up ambiguity where there is none.â).
Defendantâs vague and ambiguous objections in response to Plaintiffsâ Second Set of Requests for Production, see Dkt. No. 24-5, often provided some, minimal explanation for the objection. But Defendant failed to do so as to the same objections raised to almost every document request in Plaintiffsâ First Set of Requests for Production. See Dkt. No. 24-1. And, by the time of Defendantâs response to Plaintiffsâ Motion to Compel Discovery Responses and Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and then the July 17, 2014 hearing on that motion, Defendant did not rely on any vague or ambiguous objections except as to a few discovery requests. See Dkt. No. 33; Dkt. No. 45 at 18,19,124-25.
The Court has reviewed Plaintiffsâ objected-to document requests. Overwhelmingly, they are not vague and ambiguous and certainly are not so vague or ambiguous as to be incapable of reasonable interpretation and to prohibit Plaintiffsâ responses. At least as to Defendantâs vague and ambiguous objections to most of the requests in Plaintiffsâ First Set of Requests for Production, Defendantâs objections included no explanation for the specific and particular way in which a particular requestâs wording was vague or ambiguous, and the circumstances here lead the Court to find that Defendantâs vague and ambiguous objections, at least in response to the requests in Plaintiffsâ First Set of Requests for Production, were made without Defendantâs counselâs pausing and considering whether, based on a reasonable inquiry, there is a factual basis for an objection. And, based on a review of the many document requests in Plaintiffsâ First Set of Requests for Production to which these objections were raised, the Court finds that these were simply boilerplate objections for which there was no substantial justification.
As such, Defendantâs counselâs certification of Defendantâs vague and ambiguous objections to the document requests in Plaintiffsâ First Set of Requests for Production, see Dkt. No. 24-1, violated Rule 26(g)(1) in a manner that reflected a lack of reasonable inquiry and that was not substantially justified. This requires the Court to impose an appropriate sanction under Rule 26(g)(3).
Defendantâs objections to interrogatories as better addressed by deposition testimony
Defendant objected to several of Plaintiffs Interrogatories on the basis that the subject matter would be âmore appropriately addressed by way of deposition testimony.â E.g., Dkt. No. 24-4 at 5, 11, 12, 13, 15. Plaintiffs contend that these are not proper
Rule 26(d) provides that â[a] party may not seek discovery from any source before the parties have conferred as required by Rule 26(f), except in a proceeding exempted from initial disclosure under Rule 26(a)(1)(B), or when authorized by these rules, by stipulation, or by court order,â and that, once discovery is authorized by rule, stipulation, or court order or because the parties have conferred as Rule 26(f) required, â[ujnless, on motion, the court orders otherwise for the partiesâ and witnessesâ convenience and in the interests of justice: (A) methods of discovery may be used in any sequence; and (B) discovery by one party does not require any other party to delay its discovery.â Fed. R. Civ. P. 26(d)(l)-(2).
Rule 26(d) generally governs the sequencing of discovery unless the Court enters a protective order under Rule 26(c) or another order governing the sequence of conducting discovery under Federal Rule of Civil Procedure 16(b) or 26(d) or the parties make a stipulation under Federal Rule of Civil Procedure 29. Absent a court order providing otherwise or a binding stipulation, Rule 26(d)(2)(A) generally dictates that Plaintiffs may seek information through an interrogatory even if Defendant believes the subject matter would be better explored through a deposition. Cf. Southern Filter Media, LLC v. Halter, Civ. A. No. 13-116-JJB-RLB, 2014 WL 715727, at *3 (M.D.La. Feb. 21, 2014); Archie v. Frank Cockrell Body Shop, Inc., Civ. A No. 12-0046-CG-M, 2012 WL 4211080, at *2 n. 2 (S.D.Ala. Sept. 17, 2012) (âA litigant may not treat a set of interrogatories like an a la carte menu and determine for itself which requests to honor and which to ignore.â).
But, while, as a general matter, under Rule 26, a party may seek discovery through any permitted method in any sequence, as the Court noted at the July 17, 2014 hearing, âthereâs certainly case law where there are some kinds of contention interrogatories where courts have felt that, in their discretion, they could say it ought to be a deposition instead, like a 30(b)(6) deposition.â Dkt. No. 45 at 107; see also, e.g., IBP, Inc. v. Mercantile Bank of Topeka, 179 F.R.D. 316, 321 (D.Kan.1998) (sustaining objections to contention interrogatories where â[o]ther discovery procedures, such as depositions and production of documents, better address whatever need there be for [any] kind of [requested] secondary detailâ).
In light of that authority, the Court cannot say that Defendantâs objections based on its assertion that a subject is âmore appropriately addressed by way of deposition testimonyâ were made in violation of Rule 26(g)(1) or, even if they were, were not substantially justified. Accordingly, under the particular circumstances here, the Court finds that no sanction is warranted or required under Rule 26(g)(3) based on Defendantâs counselâs certifying these objections to Plaintiffsâ First Set of Interrogatories to Defendant City of Dallas. See Dkt. No. 24-4.
An appropriate sanction
Plaintiffsâ counsel observed at the July 17, 2014 hearing that counsel understands that âthe Court is very loath to impose sanctions on attorneysâ and that âsanctions are a very difficult thing for judges to determine whether to employ.â Dkt. 45 at 133-34, 135. In fact, the Court takes no pleasure in imposing sanctions on, or making an example of, any attorney or litigant. But neither will the Courtânor can or should itâignore what is clearly presented to it where âRule 26(g) makes explicit the authority judges now have to impose appropriate sanctions and requires them to use it.â Fed. R.Civ.P. 26(g) advisory committeeâs note (1983). And, as another court has aptly observed, â[t]he costs associated with adversarial conduct in discovery have become a serious burden not only on the parties but on this Court as well.â Gipson v. Sw. Bell Tel. Co., Civ. A No. 08-2017-EFM-DJW, 2009 WL 790203, at *21 (D.Kan. Mar. 24, 2009), obj. granted in part & denied in part on other grounds, 2009 WL 4157948 (D.Kan. Nov. 23, 2009).
The undersigned practiced civil litigation, had substantial experience with propounding and responding to discovery requests, and understands well the difficulties and challenges involved in both. But that experience only serves to make the Court hopeful that
As explained above, âRule 26(g) imposes an affirmative duty to engage in pretrial discovery in a responsible manner that is consistent with the spirit and purposes of Rules 26 through 37,â and âRule 26(g) is designed to curb discovery abuse by explicitly encouraging the imposition of sanctions.â Fed.R.Civ.P. 26(g) advisory committeeâs note (1983). Accordingly, it is generally no defense to a Rule 26(g)(3) sanctions request to assert that many litigants and their counsel are similarly conducting themselves in discovery. Rather, that simply highlights the need to call this conduct out when it is presented and to provide a deterrent through a sanction, as the Federal Rules mandate here.
In sum, the Court finds that Defendantâs counsel certified objections and an incomplete answer to Plaintiffsâ Interrogatory No. 1 and certified Defendantâs undue burden, overbreadth, vague, and ambiguous objections to most of the document requests in Plaintiffsâ First Set of Requests for Production, see Dkt. No. 24-1 at 20-21; Dkt. No. 24-4 at 15-16, and, for the reasons explained above, those certifications (other than as to the undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8) violated Rule 26(g)(1) in a manner that reflected a lack of reasonable inquiry and that was not substantially justified. Those Rule 26(g) violations require the Court to impose an appropriate sanction under Rule 26(g)(3).
In the face of Rule 26(g)âs purposes and mandates, Defendant opposes Plaintiffsâ sanctions requests because the fact â[tjhat the parties disagree over the discovery produced thus far is not cause for issuing sanctionsâ; because Defendantâs âattorneys have also felt frustrated in its dealings with three separate Plaintiffsâ counsel, none of whom practice together or in the same office, and who seemed to assert different positions over various issues, but âthe City has not accused them of acting in bad faithâ; because â[r]ea-sonable attorneys should be able to disagree without disparaging the opposing counselâ; and because âPlaintiffs have not shown any intentional or egregious conduct that would warrant the imposition of any sanctions against the Cityâ; and because âPlaintiffs have not shown any conduct on the part of the City that would warrant the imposition of any sanctions against the City.â Dkt. No. 33 at 14; Dkt. No. 43 at 12.
The Court cannot agree. The facts that Defendantâs counsel is frustrated with Plaintiffsâ counsel, that some of Defendantâs objections to some of Plaintiffsâ discovery requests were sustained, and that some of the discovery disputes in this case may be characterized as reasonable disagreements between counsel do not change or undermine the Courtâs finding that Defendantâs counselâs certifications of certain discovery responses and objections, as described above, were made, at the least, apparently without the required reasonable inquiry and violated Rule 26(g)(1) without substantial justification. And that finding requires that the Court âmust impose an appropriate sanction on the signer, the party on whose behalf the signer was acting, or both.â Fed. R. Civ. P. 26(g)(3).
Here, because this Court has not previously warned counsel that Rule 26(g) will be more rigorously enforced, and to deter future violations by any counsel in this case, the Court finds that the sanction should be imposed on the party and not the specific attorney or attorneys who signed the discovery responses and objections.
The Court, in an exercise of its discretion in light of the particular circumstances in this case, will sanction Defendant City of Dallas by requiring it to pay Plaintiffs Paul Heller, Diane Baker, Mavis Belisle, Deborah Bel-tran, Leslie Harris, and Gary Staurd, jointly and severally, their reasonable attorneysâ fees incurred in connection with opposing Defendantâs vague, ambiguous, overbreadth, and undue burden objections to Plaintiffsâ First Set of Requests for Production (other than Defendantâs undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8) and seeking full responses to Plaintiffsâ discovery requests in Plaintiffsâ First Set of Requests for Production in the face of those objections and in
Further, as part of the Rule 26(g)(3) sanctions, the Court will order Defendant City of Dallas to require that every attorney who represents the City of Dallas in litigation in federal court receive and review a copy of this Memorandum Opinion and Order on Discovery Sanctions.
The Court also endorses another courtâs observation in resolving a Rule 26(g) sanctions matter: âTo avoid further and more substantial sanctions, the Court strongly encourages counsel, when conducting further discovery in this case, to pause and consider the reasonableness of their discovery requests, responses, or objections before serving them and to take all steps necessary to ensure that the requests and responses comply with Rule 26(g) standards. The Court will not hesitate to impose substantial Rule 26(g) sanctionsââincluding on the signing attorneyââif it finds further violations of the Rule.â Anderson v. United Parcel Service, Inc., Civ. A. No. 09-2526-KHV-DJW, 2010 WL 4822564, at *14 (D.Kan. Nov. 22, 2010).
Conclusion
Plaintiffsâ requests for sanctions [Dkt. Nos. 23 & 42] are GRANTED in part and DENIED in part.
The Court, under Federal Rule of Civil Procedure 26(g)(3), imposes the following sanctions on Defendant City of Dallas:
1. Defendant City of Dallas must pay Plaintiffs Paul Heller, Diane Baker, Mavis Belisle, Deborah Beltran, Leslie Hams, and Gary Staurd, jointly and severally, their reasonable attorneysâ fees incurred (as described above) in connection with opposing Defendantâs vague, ambiguous, overbreadth, and undue burden objections to Plaintiffsâ First Set of Requests for Production (other than Defendantâs undue burden objections to Plaintiffsâ First Set of Requests for Production Nos. 6, 7, and 8) and seeking full responses to Plaintiffsâ discovery requests in Plaintiffsâ First Set of Requests for Production in the face of those objections and in connection with seeking a complete answer to Plaintiffsâ Interrogatory No. 1; and
2. Defendant City of Dallas is ordered to require that every attorney who represents the City of Dallas in litigation in federal court receive and review a copy of this Memorandum Opinion and Order on Discovery Sanctions.
Plaintiffs may file an application for their reasonable attorneysâ fees as described above. But Local Civil Rule 7.1 requires that parties confer before filing an application for attorneysâ fees. Plaintiffsâ counsel and Defendantâs counsel are therefore directed to meet face-to-face and confer about the reasonable amount of these attorneysâ fees awarded as Rule 26(g)(3) sanction. This face-to-face requirement is not satisfied by a telephonic conference. Any attorney refusing to appear for this meeting or to confer as directed in this Memorandum Opinion and Order on Discovery Sanctions will be subject to sanctions. By no later than December 10, 2014, the parties must file a joint status report notifying the Court of the results of the conference. If all disputed issues as to the amount of fees to be awarded to Plaintiffs have been resolved, Plaintiffs must also send an agreed proposed order to the Court at Horan_Orders@txnd.uscourts.gov.
If the parties do not reach an agreement as to the amount of fees to be awarded to Plaintiffs, Plaintiffs may, by no later than December 17, 2014, file an application for attorneysâ fees that is accompanied by supporting evidence establishing the amount of the attorneysâ fees (as described above) to be awarded as Rule 26(g)(3) sanction. The fee application must be supported by documenta
Plaintiffsâ Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 23] and Plaintiffsâ Renewed Request for Sanctions Under Fed.R.Civ.P. 26(g) [Dkt. No. 42] are otherwise denied.
SO ORDERED.