Opinion ID: 2287366
Heading Depth: 1
Heading Rank: 3

Heading: 1035(e) Continuance/Outstanding Discovery

Text: The Kerns contend that the trial court erred in proceeding to rule on the motion for summary judgment because an order extending the period for discovery had previously been entered, and two proper discovery requests remained outstanding at the time summary judgment was granted. We find no merit in the contention. The Hospital and the Security Firm respond initially that we need not reach this issue, as the Kerns failed to file the affidavits of necessity for further discovery required to trigger consideration of a continuance pursuant to Pa.R. C.P. 1035(d) and Pa.R.C.P. 1035(e): (d) Supporting and opposing affidavits shall be made on personal knowledge, shall set forth such facts as would be admissible in evidence, and shall show affirmatively that the signer is competent to testify to the matters stated therein. Verified or certified copies of all papers or parts thereof referred to in an affidavit shall be attached thereto or served therewith. The court may permit affidavits to be supplemented or opposed by depositions, answers to interrogatories, or further affidavits. When a motion for summary judgment is made and supported as provided in this rule, an adverse party may not rest upon the mere allegations or denials of his pleading, but his response, by affidavits or as otherwise provided in this rule, must set forth specific facts showing that there is a genuine issue for trial. If he does not so respond, summary judgment, if appropriate, shall be entered against him. (e) Should it appear from the affidavits of a party opposing the motion that he cannot for reasons stated present by affidavit facts essential to justify his opposition, the court may refuse the application for judgment or may order a continuance to permit affidavits to be obtained or depositions to be taken or discovery to be had or may make such other order as is just. (Emphasis added). In this case, the Kerns responded to the motion for summary judgment by filing an answer and memorandum of law in opposition to the motion for summary judgment which asserted, among other things, that summary judgment was premature in light of outstanding discovery requests directed toward material issues of fact. Attached to the memorandum as exhibits were copies of the signed discovery requests. Counsel also signed a verification indicating that the contents of the answer and memorandum were true and correct to the best of his knowledge, information, and belief, and that the verification was being made subject to the penalties of 18 Pa.C.S.A. § 4904. Exhibits attached to a memorandum of law filed in opposition to summary judgment are not affidavits made on personal knowledge (as opposed to information and belief) as required by Pa.R.C.P. 1035(d) and Pa.R.C.P. 1035(e). See Zepp v. Nationwide Ins., 290 Pa.Super. 28, 32, 434 A.2d 112, 114 n. 3 (1981); Irrera v. SEPTA, 231 Pa.Super. 508, 331 A.2d 705 (1974). The critical distinction is that a verification based on information and belief, does not meet the requirement of an affidavit based on personal knowledge. See Phaff v. Gerner, 451 Pa. 146, 303 A.2d 826 (1973). The Kerns thus failed to file a proper affidavit in opposition to summary judgment. The failure to comply with Pa.R.C.P. 1035(d) and Pa.R. C.P. 1035(e) may result in a determination that any claimed prematurity of summary judgment was waived. In Curran v. Philadelphia Newspapers, 497 Pa. 163, 439 A.2d 652 (1981), our Supreme Court held that where affidavits submitted under Pa.R.C.P. 1035(d) addressed solely the merits of the summary judgment claim, a subsequent claim that a continuance to complete further discovery should have been granted must be deemed to have been waived. 439 A.2d at 658; Ruditsky v. Orben, 121 Pa.Cmwlth. 215, 550 A.2d 836 (1988) (same, citing Curran ). Here, however, the defect is one of form, rather than content. In Thomas v. Duquesne Light, 347 Pa.Super. 492, 500 A.2d 1163 (1985), this Court held that when the party opposing summary judgment expressly declined a trial court request that the party file the required counter affidavits and outstanding discovery requests could not have produced information in support of the party's opposition to summary judgment, the existence of outstanding discovery requests did not preclude summary judgment. 400 A.2d at 1167. Here, the trial court mentioned neither the defect in form, nor the outstanding discovery requests, when granting summary judgment, or in its opinion filed pursuant to Pa.R.A.P. 1925(a). We do not construe the prior case law to mandate a finding of procedural default with regard to the failure to file a proper affidavit of opposition. Zepp v. Nationwide Ins., supra , was decided on other grounds and merely noted the defect in form to prevent repetition of the error on remand. 434 A.2d at 114 n. 3. In Irrera v. SEPTA, supra , this Court expressly declined to rest on the procedural ground, and instead went on to determine that summary judgment was proper even if the improper exhibits were considered. 331 A.2d at 707-08. Likewise, despite the absence of a proper affidavit of opposition in Thomas v. Duquesne Light, supra , this Court nonetheless went on to consider whether the outstanding discovery requests could have led to evidence which might enable the party to withstand summary judgment. 500 A.2d at 1166-67. Here, the fact and relevance of the outstanding discovery requests are uncontested. Both the Hospital and the Security Firm conceded in their briefs to this Court that the Kerns, in fact, had made the discovery requests as had been indicated in the Kerns' memorandum of opposition filed in the trial court. ( See Hospital's Brief at 3-4; Security Firm's Brief at 4). Cf. Phaff v. Gerner, supra, 303 A.2d at 829 (affidavits are not required for undisputed facts). Consequently, we find that defect challenged to be one of form, rather than substance. Had the defect been noted in the trial court, it could have been corrected with ease by the substitution of an affidavit on personal knowledge for counsel's insufficient verification on information and belief. It is true that some federal courts have strictly construed the federal equivalents of Pa.R.C.P. 1035(d) and 1035(e), and have denied review on the merits in circumstances arguably similar to those presented here. See e.g. Falcone v. Columbia Pictures, 805 F.2d 115, 117 & n. 2 (3rd Cir. 1986). Other federal courts, however, have held that pleadings and outstanding discovery requests may provide sufficient specificity as to the discovery sought and need for such discovery to constitute sufficient compliance with the affidavit requirement to warrant a continuance to complete discovery. See e.g. Hotel & Restaurant Emp. Union v. Attorney General, 804 F.2d 1256, 1269 (D.C.Cir. 1986). We embrace the latter position. In doing so, we note that we in no way restrict the trial court's discretion to direct strict compliance with the rules. Rather, we merely hold that when the defect is not substantive, and the trial court does not elect to direct strict compliance, then substantial compliance may be deemed sufficient compliance. See Pa. R.C.P. 126. Our decision to review on the merits the Kerns' contention that summary judgment was premature will be of little solace to the Kerns. On the merits, we find no abuse of discretion in the trial court's decision to deny a continuance to complete further discovery. The parties have relied exclusively upon federal cases in support of their arguments on the merits of this contention. We shall consider relevant Pennsylvania case law first, and then address briefly the federal authorities cited. It is well-settled that Pa.R.C.P. 1035(e) controls claims that summary judgment was improvidently granted prior to the completion of necessary discovery. See Curran v. Philadelphia Newspapers, supra ; Ruditsky v. Orben, supra . It is equally well-settled that the standard of review for an appellate court reviewing a decision to grant or deny a continuance to complete further discovery under Pa.R. C.P. 1035(e) is whether the trial court abused its discretion. See Wertz v. Kephart, 374 Pa.Super. 274, 279, 542 A.2d 1019, 1022 (1988); District Council 33 v. Philadelphia, 354 Pa.Super. 176, 185, 511 A.2d 818, 823 (1986) reversed on other grounds, 517 Pa. 401, 537 A.2d 1367 (1988); Lombardo v. DeMarco, 350 Pa.Super. 490, 495, 504 A.2d 1256, 1258-59 (1985). The Kerns complain that they were not given an adequate opportunity for discovery. The applicable rules provide no timetable for discovery; rather, the parties are permitted to engage in the various types of discovery simultaneously, subject to the supervision of the trial court. In supervising discovery, the trial court has broad discretion to take such action as it deems appropriate to insure prompt and adequate discovery. See Wertz v. Kephart, supra ; Cavanaugh v. Allegheny Ludlum Steel, 364 Pa.Super. 437, 528 A.2d 236 (1987); District Council 33 v. Philadelphia, supra ; Lombardo v. DeMarco, supra ; Granthum v. Textile Machine Works, 230 Pa.Super. 199, 326 A.2d 449 (1974). It may be an abuse of discretion to deny a continuance to complete further discovery when the party opposing summary judgment has been denied an adequate opportunity to conduct reasonable discovery. In Granthum v. Textile Machine Works, supra , this Court held that the trial court erred in failing to apply Pa.R.C.P. 1035(e) and in granting summary judgment when the moving party had failed to disclose necessary documents and records. We concluded by noting that the opposing party was entitled to an opportunity to conduct appropriate discovery. 326 A.2d at 451-52. Similarly, in Cavanaugh v. Allegheny Ludlum Steel, supra , this Court held that the trial court had abused its discretion in scheduling a class certification hearing, sua sponte, less than five months after the filing of a complicated class action suit, despite the fact that the plaintiff was still pursuing timely discovery on the very issue to be decided in the certification hearing. 528 A.2d at 240. On the other hand, appellate courts of this Commonwealth have found no abuse of discretion in denying a continuance to pursue further discovery pursuant to Pa.R. C.P. 1035(e) when a reasonable period for discovery had expired, and the opposing party failed to demonstrate the materiality of the outstanding discovery or the opposing party failed to demonstrate that it had proceeded in a timely manner with respect to the discovery sought. In Thomas v. Duquesne Light Co., supra , this Court found no abuse of discretion in denying a continuance because the outstanding discovery requests could not have provided material evidence sufficient to withstand summary judgment had the continuance sought been granted. In Wertz v. Kephart, supra , this Court held that the trial court had abused its discretion in permitting an eleventh-hour deposition of a material witness whose identity and whereabouts had been known for more than four years. 542 A.2d at 1022. In Lombardo v. DeMarco, supra , this Court rejected a claim that an inadequate discovery period had been permitted. We noted that counsel had failed to commence discovery until after the pleadings were closed, the three and one half months available for discovery after pleadings were closed was more than sufficient given the uncomplicated nature of the case, and the efficacy of the further discovery requested was wholly speculative. 504 A.2d at 1258-59. [1] The parties cited various federal cases construing Fed.R. Civ.P. 56(f) which is the federal equivalent of Pa.R.C.P. 1035(e). The Kerns cited cases in which the trial court was held to have abused its discretion in denying a continuance to complete discovery directed toward material issues which had been pursued in a timely manner. See Garrett v. San Francisco, 818 F.2d 1515 (9th Cir. 1987); Hotel & Restaurant Employees Union v. Attorney General, 804 F.2d 1256 (D.C.Cir. 1986); Visa International Service Association v. Bankcard Holders of America, 784 F.2d 1472 (9th Cir. 1986); Glen Eden Hospital v. Blue Cross & Blue Shield, 740 F.2d 423 (6th Cir. 1984); Ward v. United States, 471 F.2d 667 (3rd Cir. 1973). The Hospital and the Security Firm, on the other hand, cited cases in which the trial court was found not to have abused its discretion because a reasonable time for discovery had expired and the discovery sought was deemed too speculative or the discovery had not been pursued in a timely manner. See Koplove v. Ford Motor Corp., 795 F.2d 15 (3rd Cir. 1986); Mid-South Grizzlies v. N.F.L., 720 F.2d 772 (3rd Cir. 1983); see also Landmark Development v. Chambers Corp., 752 F.2d 369 (9th Cir. 1985); Pfeil v. Rodgers, 757 F.2d 850 (7th Cir. 1985), cert. denied, 475 U.S. 1107, 106 S.Ct. 1513, 89 L.Ed.2d 912 (1985). Review of the federal cases cited indicates that they are in harmony with the Pennsylvania case law and merely present different aspects of a relatively uniform approach to such motions, rather than divergent viewpoints as the parties' briefs suggest. From the foregoing authorities we glean the following general rules. Parties must be given a reasonable period of time to pursue proper discovery, and if a summary judgment motion is filed prematurely, the trial court must grant a continuance if the opposing party specifies proper discovery to be sought in a timely manner. On the other hand, if an adequate time for discovery has already expired when a continuance is sought, the party opposing summary judgment must establish both materiality and due diligence with regard to the further discovery sought. Applying these rules in the instant case, we find no abuse of discretion in the trial court's denial of a continuance to complete further discovery. Here, the summary judgment motion was filed November 15, 1988, 3 years, 7 months, and 27 days since the initial complaint was filed on March 18, 1985. Both discovery requests outstanding at the time summary judgment was granted were initiated after the summary judgment motion had been filed. On December 5, 1988, the Kerns sent a subpoena to the Philadelphia Police Department requesting any records indicating the occurrence of criminal assaults in the area of the Hospital between April 2, 1981 and April 2, 1984. While this request was directed toward the discovery of evidence which might be material to the Kerns' claims, if the evidence sought was available and favorable, the discovery request was unquestionably speculative. Moreover, there is absolutely no indication why this request could not have been made during the preceding 3 years, 8 months, and 17 days since the complaint was filed on March 18, 1985. On December 8, 1988, the Kerns sent a letter to counsel for the Hospital requesting production of all the Hospital's security log books for time periods prior to April 2, 1984. While this request was also directed toward the discovery of evidence which might be material to the Kerns' claims if the logs existed and contained favorable evidence, this discovery request was likewise unquestionably speculative. Moreover, the Hospital formally disclosed the existence of security logs in answers to interrogatories dated July 2, 1985, which were filed in the trial court on August 7, 1985. The record discloses further that the Kerns' counsel had a copy of an excerpt of the report of the underlying incident from the security log on December 11, 1985 during the deposition of Gloria Rivers. (R.R. at 153a, 168a). Indeed, the letter requesting this discovery, dated December 8, 1988, stated that the excerpt containing the report of the underlying incident had been provided two years earlier (by then it actually had been at least 2 years and 362 days since the excerpt from the security log had been provided). Again, the Kerns provide no explanation for why the discovery sought could not have been completed in the 3 years, 4 months, and 1 day since formal notice of the existence of security logs had been formally filed in the trial court in the answers to interrogatories. The Kerns argue that the discovery was required to resolve doubts left by Ms. Gloria Rivers allegedly equivocal deposition testimony concerning the Hospital's and the Security Firm's notice of prior criminal activity. Upon careful review of the deposition testimony, we find it to be un equivocal. While Ms. Rivers did state that counsel's broad inquiry as to the occurrence of prior criminal incidents was pretty hard to answer, she responded unequivocally to follow-up questions by explaining that while no assault or property crimes had occurred previously, the Hospital did have a problem with neighbors committing non-violent trespass offenses by attempting to use private areas of the Hospital grounds as a short cut through the neighborhood. (R.R. at 222a-226a). Rather than suggesting a need for further discovery on the subject, Ms. Rivers' unequivocal testimony underscores the speculative nature of both of the Kerns' eleventh-hour, broad-net, fishing-expedition-style discovery requests. Moreover, Ms. Rivers' deposition was taken on December 11, 1985. (R.R. at 153a). The Kerns again have failed to indicate why any discovery required as the result of Ms. Rivers' deposition could not have been completed in the 2 years, 11 months, and 24 days which preceded their eleventh-hour discovery request on December 5, 1988, or the 2 years, 11 months, and 27 days which preceded their second eleventh-hour discovery request on December 8, 1988. Applying the standard previously set forth, we find no abuse of discretion in the trial court's implicit decision not to grant a continuance to complete further discovery under Pa.R.C.P. 1035(e), and to proceed instead to decide the merits of the summary judgment motion. An ample period for discovery had already passed, and the Kerns failed to establish either materiality or due diligence with respect to the discovery sought. Hence, we find no merit in the Kerns' first contention on appeal. [2]