Opinion ID: 2515
Heading Depth: 2
Heading Rank: 1

Heading: Standard of Review and Applicability of the Drake Factors

Text: Because Lewis's testimony was to be the only direct evidence introduced in support of his allegation that defendants assaulted him during his transfer to Great Meadow, the district court viewed his refusal to testify as a failure to prosecute. [6] Rule 41(b) of the Federal Rules of Civil Procedure states that [i]f the plaintiff fails to prosecute or to comply with these rules or a court order, a defendant may move to dismiss the action or any claim against it. We review a dismissal for failure to prosecute for abuse of discretion. See, e.g., Ruzsa v. Rubenstein & Sendy Attys at Law, 520 F.3d 176, 177 (2d Cir.2008). This is because the power of a district court to take such action  while explicitly sanctioned by Rule 41(b)  has generally been considered an `inherent power,' governed not by rule or statute but by the control necessarily vested in courts to manage their own affairs so as to achieve the orderly and expeditious disposition of cases. Link v. Wabash R.R. Co., 370 U.S. 626, 630-31, 82 S.Ct. 1386, 8 L.Ed.2d 734 (1962); see also Theilmann v. Rutland Hosp., Inc., 455 F.2d 853, 855 (2d Cir.1972) (noting that, because authority to dismiss for lack of prosecution is inherent power of district courts, the scope of review over an order of dismissal accorded an appellate court is extremely narrow). We identify abuse of discretion when a district court's challenged decision rests on an error of law (such as application of the wrong legal principle) or a clearly erroneous factual finding, or when its ruling cannot be located within the range of permissible decisions. Wynder v. McMahon, 360 F.3d 73, 76 (2d Cir.2004) (internal quotation marks omitted). In this case, Lewis does not charge the district court with errors of law or fact. Rather, he asserts that the dismissal falls outside the range of permissible decisions. [7] In reviewing this argument, we are mindful that dismissal for lack of prosecution is a harsh remedy that should be utilized only in extreme situations. Minnette v. Time Warner, 997 F.2d 1023, 1027 (2d Cir.1993) (internal quotation marks omitted); cf. Gill v. Stolow, 240 F.2d 669, 670 (2d Cir.1957) (In final analysis, a court has the responsibility to do justice between man and man; and general principles cannot justify denial of a party's fair day in court except upon a serious showing of willful default.). In recognition of this principle, [w]e have in fact fashioned guiding rules that limit a trial court's discretion when determining whether dismissal for failure to prosecute is appropriate in a particular case. United States ex rel. Drake v. Norden Sys., Inc., 375 F.3d 248, 254 (2d Cir.2004). We review the trial court's decision by examining five factors, namely, whether (1) the plaintiff's failure to prosecute caused a delay of significant duration; (2) plaintiff was given notice that further delay would result in dismissal; (3) defendant was likely to be prejudiced by further delay; (4) the need to alleviate court calendar congestion was carefully balanced against plaintiff's right to an opportunity for a day in court; and (5) the trial court adequately assessed the efficacy of lesser sanctions. Id.; see also Harding v. Fed. Reserve Bank of N.Y., 707 F.2d 46, 50 (2d Cir.1983) (listing factors). In making use of this test, [n]o one factor is dispositive, and ultimately we must review the dismissal in light of the record as a whole. United States ex rel. Drake v. Norden Sys., Inc., 375 F.3d at 254; see also Palmieri v. Defaria, 88 F.3d 136, 140 (2d Cir.1996) (holding that proper review of dismissal for failure to prosecute requires careful examination of each case in its own factual circumstances (internal quotation marks omitted)). Significantly, however, the cases in which we have announced and applied the Drake factors have almost exclusively concerned instances of litigation misconduct such as the failure to comply with a scheduling order or timely to respond to pending motions. See, e.g., Ruzsa v. Rubenstein & Sendy Attys at Law, 520 F.3d at 177 (missing deadline for filing amended complaint); United States ex rel. Drake v. Norden Sys., Inc., 375 F.3d at 250 (same); LeSane v. Hall's Sec. Analyst, Inc., 239 F.3d 206, 209 (2d Cir.2001) (failing to respond to motion for summary judgment); Lucas v. Miles, 84 F.3d 532, 534-35 (2d Cir.1996) (failure timely to file amended complaint); Nita v. Conn. Dep't of Envtl. Prot., 16 F.3d 482, 485 (2d Cir.1994) (failing to respond to pending motions); Minnette v. Time Warner, 997 F.2d at 1025, 1027 (failing to respond to defendant's motion for dismissal); Peart v. City of New York, 992 F.2d 458, 461 (2d Cir.1993) (failing to comply with two court orders and otherwise demonstra[ting] a lack of respect for the court, culminating in failure to appear at start of trial); Romandette v. Weetabix Co., 807 F.2d 309, 311-12 (2d Cir.1986) (failing to effect timely service); Harding v. Fed. Reserve Bank of N.Y., 707 F.2d at 48-51 (failing timely to file amended complaint and other litigation delays). In such contexts, where dismissal operates as a sanction for dilatory tactics during the course of litigation or for failure to follow a court order, the straightforward application of the factors identified above provides a reasonable means for evaluating the district court's exercise of its discretion under Rule 41(b). This case, however, presents a quite different scenario. Lewis did not miss a filing deadline, fail to comply with a discovery order, overlook a scheduled court date, indulge in dilatory litigation tactics, or engage in any other misconduct. Thus, the factors discussed in Drake for identifying abuse of discretion in a district court's decision to impose the sanction of dismissal in response to a plaintiff's dilatory, contumacious, or forgetful behavior are not particularly helpful to our analysis. Rather, Lewis's refusal to testify while housed at Great Meadow is better viewed as presenting the district court with two questions: (1) whether to grant Lewis the adjournment he requested, and (2) upon denial of that request, whether to dismiss Lewis's case due to his refusal to offer the only direct evidence that could support his claims. We consider each of these issues in turn.