Source: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-cand-3_11-cv-03828/USCOURTS-cand-3_11-cv-03828-13/pdf.json

Nature of Suit Code: 791
Nature of Suit: Employee Retirement Income Security Act (ERISA)
Cause of Action: 29:1001 E.R.I.S.A.: Employee Retirement

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United States District Court

For the Northern District of California

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

JOHN SENDER,

Plaintiff,

v.

FRANKLIN RESOURCES INC,

Defendant.

Case No. 11-cv-03828-EMC 

ORDER RE PARTIES’ JOINT LETTER 

BRIEF OF JANUARY 6, 2016 

REGARDING ERISA DISCOVERY 

DISPUTE

Docket No. 179

On January 6, 2016, the parties filed a letter brief regarding an ERISA discovery dispute. 

Docket No. 179. Because the parties dispute the extent of discovery ordered by the Court, the 

Court clarifies its prior order.

At the hearing on Plaintiff’s motion to augment the ERISA record, Plaintiff agreed that the 

motion to augment was better characterized as a request for “discovery with an eye towards 

augmenting the record,” and that “the discovery [Plaintiff] want[s] are those 20 something boxes 

that [Plaintiff] say[s] were pulled.” Docket No. 173 at 27:4-9; see also Docket No. 173 at 13:17; 

16:20-22; 23:15-24:3. Based on these representations, the Court granted Plaintiff’s motion to 

augment, focusing on the twenty boxes Plaintiff indicated was the extent of the discovery sought. 

Docket No. 167. Defendant has since been in the process of producing the number of boxes 

sought, which far exceeds the number Plaintiff represented to the Court (over fifty). Docket No. 

179 at 8. 

Plaintiff now seeks discovery of Electronically Stored Information (ESI) of over seventy 

individuals, based on six search terms, and depositions of ten individuals, id. at 3-4, even though 

he did not ask for such at the conclusion of the hearing.

Nonetheless, the Court finds that discovery of the ESI may be appropriate, given that the 

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United States District Court

For the Northern District of California

regulations define “relevant” documents as any document that was submitted, considered, or 

generated in the course of making the benefits determination. See C.F.R. § 2560.503-1(m)(8)(ii). 

The e-mails may be relevant to the extent of a conflict of interest, if any. However, the search 

terms proposed by Plaintiff appears broad, particularly with the proposed term “Sender.” 

Discovery of such records must be reasonably tailored and in keeping with the purpose of ERISA 

to establish an economical and expeditious process of appeal. See Wilcox v. Metro. Life Ins. Co., 

2009 U.S. Dist. LEXIS 2977 (balancing ERISA’s primary goal “to provide a means for workers 

and beneficiaries to resolve disputes over benefits inexpensively and expeditiously” with the need 

for discovery to allow the Court to “fully evaluate the nature and effect of a structural conflict” to 

permit limited discovery into specified areas). Thus, while the Court will permit some discovery 

of the e-mails, the parties should meet and confer as to the appropriate search terms. If the parties 

are unable to agree on reasonably tailored search terms, the parties should bring their dispute to 

Judge Kim for resolution.

Second, the Court notes that while discovery into a conflict of interest is permitted, it too

“must be narrowly tailored to reveal the nature and extent of the conflict, and must not be a fishing 

expedition.” Zewdu v. Citigroup Long Term Disability Plan, 264 F.R.D. 622, 626 (N.D. Cal. 

2010). Particularly in the context of ERISA, the use of depositions is an extraordinary measure 

that goes beyond the normal framework of ERISA appeals, and the record contains no specific 

justification to resort to such discovery. The Court does not foreclose the possibility that Plaintiff 

can make such a showing, but at this point, Plaintiff has not demonstrated a need for such 

discovery or any legal authority that suggests that such extraordinary measures are permissible in 

this case. If Plaintiff believes he can make such a showing, the parties shall meet and confer, and 

if necessary, submit any unresolved disputes to Judge Kim.

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United States District Court

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Based on the following guidance, the parties are ORDERED to meet and confer as to the 

proposed search terms and whether depositions are appropriate in this case (and if so, the scope of 

such depositions). Any further discovery disputes should be submitted to Judge Kim for 

resolution, in compliance with her Standing Order. See Docket No. 168.

IT IS SO ORDERED.

Dated: January 14, 2016

______________________________________

EDWARD M. CHEN

United States District Judge

Case 3:11-cv-03828-EMC Document 181 Filed 01/14/16 Page 3 of 3