Opinion ID: 497041
Heading Depth: 2
Heading Rank: 1

Heading: Dismissal Factors

Text: 7 The district court relied primarily on Fed.R.Civ.P. 16(f) in ordering dismissal. Rule 16(f) states that for violation of a pretrial order a judge may order sanctions as provided in Fed.R.Civ.P. 37(b)(2)(C). Rule 37(b)(2)(C) provides for the sanction of dismissal. The district court also relied on Fed.R.Civ.P. 41(b), which enables a court to order dismissal [f]or failure of the plaintiff ... to comply with ... any order of [the] court.... The standards governing dismissal for failure to obey a court order are basically the same under either of these rules. See Price v. McGlathery, 792 F.2d 472, 474 (5th Cir.1986). 8 The district court's dismissal of a case with prejudice is reviewed for abuse of discretion. Thompson v. Housing Authority, 782 F.2d 829, 832 (9th Cir.), cert. denied, --- U.S. ----, 107 S.Ct. 112, 93 L.Ed.2d 60 (1986). Dismissal is a harsh penalty and is to be imposed only in extreme circumstances. Henderson v. Duncan, 779 F.2d 1421, 1423 (9th Cir.1986). Nevertheless, we will overturn a dismissal sanction only if we have a definite and firm conviction that it was clearly outside the acceptable range of sanctions. Chism v. National Heritage Life Insurance Co., 637 F.2d 1328, 1331 (9th Cir.1981). 9 A district court must weigh five factors in determining whether to dismiss a case for failure to comply with a court order: (1) the public's interest in expeditious resolution of litigation; (2) the court's need to manage its docket; (3) the risk of prejudice to the defendants; (4) the public policy favoring disposition of cases on their merits; and (5) the availability of less drastic sanctions. Thompson, 782 F.2d at 831. It is not necessary for a district court to make explicit findings to show that it has considered these factors. Henderson, 779 F.2d at 1424. We may review the record independently to determine if the district court has abused its discretion. Id. 10 In the instant case, the district court did not explicitly indicate that it had considered any of the five dismissal factors in rendering its decision. The court explained its decision to dismiss as follows: 11 [The Court] feels that the flagrant disobedience by plaintiff's counsel, her bad faith and her repeated failure to comply in any respect with the Court's pretrial order warrants the sanction of dismissal in this case. The Court's finding in this regard is amplified by the fact that plaintiff's counsel did not communicate in any way with the Court or opposing counsel at any time in an attempt to clarify or modify the Court's pretrial order until April 23, 1985 when plaintiff's counsel ... informed defendants' counsel for the first time that plaintiff would not file any of the requested documents by the Court. 12 The court concluded that the violation of the pretrial order was deliberate and willful. The court also rejected the excuse given by counsel for refusing to comply with the order: that Malone lacked the financial means to meet the order's detailed requirements. 13 Because the district court did not explicitly consider the five dismissal factors set forth in Thompson, we must review the record independently to determine whether the order of dismissal was an abuse of discretion. Henderson, 779 F.2d at 1424. Our independent evaluation of the dismissal factors convinces us that the district court's order was not an abuse of discretion.
14 The first two dismissal factors are the public interest in expeditious resolution of litigation and the trial court's interest in docket control. It is clear that these two factors support the district court's decision to dismiss Malone's case. Malone's dilatory conduct greatly impeded resolution of the case and prevented the district court from adhering to its trial schedule. See Chism, 637 F.2d at 1331-32.
15 In determining whether a defendant has been prejudiced, we examine whether the plaintiff's actions impair the defendant's ability to go to trial or threaten to interfere with the rightful decision of the case. See Rubin v. Belo Broadcasting Corp. (In re Rubin), 769 F.2d 611, 618 (9th Cir.1985). In the instant case, the district court was primarily concerned with counsel's bad faith decision to wait until the last minute before notifying the Government that Malone was not complying with the pretrial order. While Malone did nothing to fulfill her responsibilities under the pretrial order, the Government made a diligent effort to comply with the pretrial order in a timely manner. We have no doubt that Malone's last-minute notification of her decision not to comply with the pretrial order had a prejudicial effect on the Government. See North American Watch Corp. v. Princess Ermine Jewels, 786 F.2d 1447, 1451 (9th Cir.1986) (endorsing district court's finding that willful violation of the discovery order had, given the imminence of the trial date, prejudiced [defendant's] ability to prepare for trial); Scarborough v. Eubanks, 747 F.2d 871, 876 (3d Cir.1984) (prejudice includes irremediable burdens or costs imposed on the opposing party); Chism, 637 F.2d at 1331 (indicating that defendant had been prejudiced by plaintiff's continual flouting of discovery rules, failure to comply with pretrial conference obligations, and repeated violations of local court rules); cf. Henderson, 779 F.2d at 1425 (although no specific showing of prejudice had been made below, [w]here counsel continues to disregard deadlines, warnings, and schedules set by the district court, we cannot find that a lack of prejudice to defendants is determinative in evaluating the propriety of dismissal). 16 We hold that the prejudice to the Government from Malone's actions was sufficient to justify an order of dismissal. In so holding, we place particular reliance on the district court's determination that Malone's excuse for her conduct was groundless. Whether prejudice is sufficient to support an order of dismissal is in part judged with reference to the strength of the plaintiff's excuse for the default. See Nealey v. Transportacion Maritima Mexicana, S.A., 662 F.2d 1275, 1280 (9th Cir.1980). The district court rejected the excuse that Malone lacked the financial resources to comply with the pretrial order. The court found that compliance with the pretrial order was feasible in light of the numerous depositions and interrogatories already taken by Malone's counsel and the numerous alternatives available to [Malone] for compliance. In addition, counsel offered no explanation as to why she waited until April 23 to inform the Government that Malone was unable to comply with the pretrial order. Malone's intentional and unjustified violation of the pretrial order prejudiced the Government in a manner which justifies dismissal. 17
18 Malone argues that in ordering dismissal the district court did not consider the feasibility of alternatives to dismissal. We disagree. 19 The district court abuses its discretion if it imposes a sanction of dismissal without first considering the impact of the sanction and the adequacy of less drastic sanctions. United States v. National Medical Enterprises, Inc., 792 F.2d 906, 912 (9th Cir.1986). 1 Our case law reveals that the following factors are of particular relevance in determining whether a district court has considered alternatives to dismissal: (1) Did the court explicitly discuss the feasibility of less drastic sanctions and explain why alternative sanctions would be inadequate? (2) Did the court implement alternative methods of sanctioning or curing the malfeasance before ordering dismissal? (3) Did the court warn the plaintiff of the possibility of dismissal before actually ordering dismissal? 20 The district court did not explicitly discuss the feasibility of alternatives to dismissal. The Government argues that the court did explicitly consider alternatives, citing to part of the transcript of the hearing regarding whether to dismiss the case. In the passage cited by the Government, the district court discussed counsel's excuse that Malone was unable to afford the extensive preparation necessary to comply with the pretrial order. The court refused to accept this excuse, stating that the alternative suggested by counsel would be to allow every indigent plaintiff to conduct[ ] a fishing expedition at trial. This discussion of an alternative by the court is not a discussion of an alternative to dismissal. Rather, it is a justification for rejecting the proffered excuse for noncompliance with the pretrial order. 21 We have indicated a preference for explicit discussion by the district court of the feasibility of alternatives when ordering dismissal. See, e.g., People v. Reyes, 800 F.2d 940, 944 (9th Cir.1986); Rubin, 769 F.2d at 617. However, we have never held that explicit discussion of alternatives is necessary for an order of dismissal to be upheld. Under the egregious circumstances present here, where the plaintiff has purposefully and defiantly violated a court order, it is unnecessary (although still helpful) for a district court to discuss why alternatives to dismissal are infeasible. See G-K Properties v. Redevelopment Agency, 577 F.2d 645, 647-48 (9th Cir.1978). 22 Moreover, explicit discussion of alternatives is unnecessary if the district court actually tries alternatives before employing the ultimate sanction of dismissal. See Callip v. Harris County Child Welfare Department, 757 F.2d 1513, 1522 (5th Cir.1985); United Artists Corp. v. La Cage Aux Folles, Inc., 771 F.2d 1265, 1271 (9th Cir.1985); Nevijel v. North Coast Life Insurance Co., 651 F.2d 671, 674 (9th Cir.1981); Huey v. Teledyne, Inc., 608 F.2d 1234, 1238 (9th Cir.1979); Von Poppenheim v. Portland Boxing & Wrestling Commission, 442 F.2d 1047, 1053 (9th Cir.1971), cert. denied, 404 U.S. 1039, 92 S.Ct. 715, 30 L.Ed.2d 731 (1972). We conclude that the district court's November 16, 1984, declaration of mistrial and subsequent pretrial order constituted attempts at less drastic alternatives to dismissal. The mistrial, pretrial order, and order of dismissal were all instituted in response to the lack of preparation on the part of Malone and her counsel. The district court's imposition of less drastic measures for lack of preparation during the aborted first trial is sufficient indication to us that alternatives were considered prior to dismissal of Malone's case for lack of preparation. See Callip, 757 F.2d at 1522. 23 Finally, the case law suggests that warning a plaintiff that failure to obey a court order will result in dismissal can suffice to meet the consideration of alternatives requirement. See Buss v. Western Airlines, Inc., 738 F.2d 1053, 1054 (9th Cir.1984), cert. denied, 469 U.S. 1192, 105 S.Ct. 968, 83 L.Ed.2d 972 (1985); Titus v. Mercedes Benz of North America, 695 F.2d 746, 749 n. 6 (3d Cir.1982) (listing warning as alternative sanction). Failure to warn has frequently been a contributing factor in our decisions to reverse orders of dismissal. See, e.g., Hamilton, 811 F.2d at 500; National Medical Enterprises, 792 F.2d at 913; Rubin, 769 F.2d at 617; Mir v. Fosburg, 706 F.2d 916, 919 (9th Cir.1983); Tolbert v.Leighton, 623 F.2d 585, 587 (9th Cir.1980). Although in the instant case the district court did not explicitly warn Malone that dismissal would follow violation of the pretrial order, the court made it clear that no continuances would be accepted. Moreover, we find a warning to be unnecessary here. A plaintiff can hardly be surprised by a harsh sanction in response to willful violation of a pretrial order. Rules 16(f) and 41(b) explicitly state that dismissal may be ordered for violation of a court order. 24 Under the circumstances in this case, the district court satisfied the consideration of alternatives requirement by implementing alternative measures prior to ordering dismissal for willful failure to prepare for trial. We conclude that, pursuant to the five dismissal factors, the district court's order of dismissal was not an abuse of discretion. 2