2008 D e c i sion s O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit 3-4-2008 

# S mith v . S h a dy P r e c e de nt i al or N on-P r e c e de nt i al : N on-P r e c e de nt i al D ocke t N o . 07-4536

F o llow thi s and a dd it ion al work s at : http://d i git alc ommon s .l a w . vi ll anova . e du/thir dc ir c uit_2008

Thi s de c i sion i s br ou ght t o you for f r e e and ope n a c c e s s b y the O p inion s of the U nit e d S t at e s C our t of Appe al s for the Thir d C ir c uit at V i ll anova U nive r sity S choo l of L a

w Di git al Reposit ory

. It h as be e n a c c ept e d for inclusion in 2008 D e c i sion s b y an authori z e d a dmini s tr at or of V i ll anova U nive r sity S choo l of L a

w Di git al Reposit ory

. F or mor e inform at ion, p le as e c ont a ct Be n j amin . C arl s on@l a

w . vi ll anova . e du . Re c omme nde d C it at ion " S mith v . S h a dy " (2008). 2008 D e cisio n s . P ape r 1475. http://d i git alc ommon s .l a

w . vi ll anova . e du/thir dc ir c uit_2008/1475A m ended C L D - 131 NOT P RE CE DE NT I AL UN I TED STATES CO UR T OF A PP EALS F O R T H E T H IR D C IR C U IT

___________ N o. 07- 4536

___________ BE NJ AM I N S M I T H, A ppel l ant

v. OFFI CER SHA DY ; SGT. KA RCH NER ; LT. KN EPP ; LT. DA LE; M R. KE S T E T T E R; L T . KE AR N; M UHAMM AD AJ J E H- CH AP L AI N; C A P T A IN E A T O N ; M R . D IC K S O N ; FR A N C IS D O U G H E R T Y ; FR A N K L IN TENN I S; DA VI D V AU GH N; J EFF REY BEA RD ; EAR L W ALK ER

____________________________________ O n A p p ea l from the U n it ed S tat es D istri ct C o u rt f o r th e M id d le D istric t o f P e n n sy lv a n ia ( D . C . C i vi l N o. 05- cv- 02663) D istri ct Ju d g e: H o n o rab le Jo h n E . Jo n es III

____________________________________ Subm i t t ed forPoss i bl e D i s m i s s al D ue t o a J ur i s di ct i onal D efe ct o r P u rsu a n t to 2 8 U .S .C . § 1 9 1 5 (e )(2 )(B ) o r S u m m a ryA c tio n P u rsu a n t to T h ird C irc u it L A R 2 7 .4 a n d I.O .P . 1 0 .6 February14, 2008 B efor e: A M B R O , FU E N T E S and J O R D A N , C i r cui tJ udges

( O pi ni on fi l ed: M ar ch 4, 2008)

_________ OP I NI ON

_________ P E R C UR I AM B e n ja m in S m ith a p p e a ls th e D is tr ic t C o u rt ’s o rd e r d is m is s in g h is § 1 9 8 3 a c tio n .2

T he pr ocedur al hi s t oryof thi s cas e and the det ai l s of Sm i th’ s cl ai m s ar e w el l know n t o t he part i es , s etfor th i n t he D i s tr i ctC our t ’ s thor ough opi ni on, and nee d notbe di s cus s ed at l ength. B r i efl y , Sm i th fi l ed a c om pl ai ntal l egi ng s exual as s aul t , i nadequa t e i nves t i gat i on, and r et al i at i on. O n M ay1, 2007, Sm i th r efus ed t o be depos ed byappel l ees ’ couns el despit e cou nsel ’s w arni ng that appell ees w ou l d m ov e t o h ave the case di sm i ssed as a sa n c tio n . T h e D istric t C o u rt d e n ied a p p e llee s’ m o tio n f o r sa n c tio n s to th e e x ten t th a t it s oughtdi s m i s s al butw arned Sm i th thata fa i l ur e t o be depos ed w oul d r es ul ti n the d ism iss a l o f

h is c a se . O n Ju n e 1 1 , 2 0 0 7 , S m ith a p p e a re d f o r th e d e p o sitio n b u t re f u se d to part i ci pate and g ave n on -r espon si ve an sw ers . T he D i stri ctC ou rtgrant ed ap pell ees’ m o tio n f o r s a n c tio n s a n d d is m is s e d th e a c tio n b yo rd e r e n te re d O c to b e r 2 5 , 2 0 0 7 . Sm i th’ s not i ce of

appea l , dat ed N ovember25, 2007, w as r ece i ved bythe D i s tr i ctC our ton D ece m ber3, 2007. S mi th ’ s n o t i c e o f

a p p e a l wa s n o tr e c e i v e d b yth e Di s tr i c tCo u r tu n t i l a f t e rth e t i me t o appea l expi r ed on M onday , N ovember26, 2007. H ow ever , beca us e Sm i th s w or e under penal tyof per

j urythati tw as gi ven t o pr i s on offi ci al s form ai l i ng on N ovember26, 2007, we f i n d th a tth e n o t i c e o f

a p p e a l wa s t i me l yf

i l e d . S e e F e d . R. Ap p . P . 4 ( c ) . T h u s , we h a v e ju risd ictio n o v e r th e a p p e a l. B e c a u se a p p e llan t is p ro c e e d in g in f o rm a p a u p e ris on thi s appea l , w e mustanal y ze h is ap p ea l fo r po ssible d ism issal pu rsua n t t o 2 8 U . S . C . § 1 9 1 5 (e)(2)(B ). U n d er § 1 9 1 5 (e )(2 )(B ), w e m u st d ism iss a n a p p e a l if th e a c tio n (i) is f riv o lo u s o r m a licio u s, (ii)3

fai l s t o s t at e a c l ai m upon w hi ch r el i ef maybe gr ant ed, or( i i i ) s eeks m onet arydamages fr om a def

endantw i th i m m uni ty . A n act i on orappea l can be fr i vol ous forei therl egal or fa ctua l r ea so n s. N eit zk e v . W il li am s, 4 9 0 U . S . 3 1 9 , 3 2 5 (19 8 9 ). W e r evi ew the D i s tr i ctC our t ’ s or derdi s m i s s i ng the ac t i on foras a s anct i on foran ab u se o f d iscreti o n . P o u li s v . S tat e F arm F ir e & C asu altyC o . , 7 4 7 F . 2 d 8 6 3 , 8 6 8 (3d C ir . 1984) . “D i s m i s s al s w i th pr ej udi ce ordefa ul t s ar e dr as t i c s anct i ons , t erm ed ‘ extr eme’ by the Supr eme C our t , and ar e t o be r es erved forcompar abl e ca s es . ” Poul i s , 747 F. 2d at 867- 8 ( ci t at i on om i t t ed) . I n Poul i s , w e s etfor th s i x fac t or s t o be bal ance d i n deci di ng w h e th e r to d ism iss a c a se a s a sa n c tio n : ( 1) the ext entof the party ’ s per s onal r es pons i bi l i ty ; ( 2) the pr ej udi ce t o the a d v e rsa ryc a u se d b yth e f a ilu re to m e e t sc h e d u lin g o rd e rs a n d re sp o n d to di s covery ; ( 3) a hi s t oryof di l at or i nes s ; ( 4) w hetherthe conduc tof the partyort he att orneyw as w i l l ful ori n bad fa i th; ( 5) the ef fec t i venes s of s anct i ons otherthan di s m i s s al , w hi ch ent ai l s an ana l y s i s of al t ernat i ve s anct i ons ; and ( 6) the m er i t or i ous nes s of the cl ai m ordefe ns e. Id . at 8 6 8 (e m p h a sis o m itt e d ). In d e ter m in in g w h e th e r th e D istric t C o u rt h a s a b u se d its d iscreti o n , w e e x am ine its ba lanc ing o f th ese fa ctors a n d w h ethe r i ts find ing s are s uppor t ed bythe r ecor d. W e a g re e w ith th e D istric t C o u rt th a t S m ith w a s p e rso n a llyre sp o n sib le f o r h is re f u s a l to s u b m it to th e d e p o s itio n a n d th a t th e a p p e lle e s w e re p re ju d ic e d b yh is c o n d u c t. Sm i th’ s bad fa i th w as evi dence d bythe l ack of m er i tof hi s r eas ons forr efus i ng and the verbal games he pl ay ed atthe s econd de pos i t i on. H i s pr i orr efus al t o s ubm i tt o a depos i t i on demonstr at es hi s hi s t oryof di l at or i nes s . A s forthe ef fec t i venes s of otherW hi l e w e do notr eac h t he mer i t s of Sm i th’ s cl ai m s , w e not e thathi s al l egat i ons t hat 1 a n a p p e l l e e s c r a t c h e d h i s p e n i s c a u s i n g i tt o b l e e d i n f o u rp l a c e s a n d h u r tf

o rt e n d a ys w e re n o t m e n tio n e d in h is g rie v a n c e o r o rig in a l co m p lain t. A s f o r S m ith ’s c laim s th a t h is cabl e s ervi ce w as turned off i n r et al i at i on forcompl ai ni ng aboutthe al l eged s exual as s aul t , w e not e thati tappea r s fr om hi s ow n gr i evanc es thatthe s ervi ce w as turned off beca us e he di d nothave s uffi ci entfunds i n hi s acc ount . A s forhi s cl ai m s thathi s l egal m ai l w as opened i n r et al i at i on, i tappea r s thathi s m ai l w as opened a ccor di ng t o pr i s on p o l i c y. 4 san cti o n s, the D istri ct C o u rtn o ted th at i ts prior w arn ing an d d isal low an ce o f S m ith ’s dis cov eryrequest s w ere i neff ect i ve sanc t i on s for hi s r efusal t o p art i ci pate i n h i s fi rs t depos i t i on. T he D i s tr i ctC our tnot ed that , bas ed on the pl eadi ngs , Sm i th’ s cl ai m s m ay h av e m erit . H o w ev er, th e D istri ct C o u rtfo u n d that the b alan ce o f th e P o u li s fa ctors

1 w ei ghed i n favorof di s m i s s al . W e agr ee. F o r th e a b o v e re a so n s a s w e ll as th o se se t f o rth b yth e D istric t C o u rt, w e w ill d ism iss th e a p p ea l un d er 2 8 U . S . C . § 1 9 1 5 (e)(2)(B ).