Opinion ID: 2050956
Heading Depth: 2
Heading Rank: 2

Heading: Sanctions Under Super.Ct.Civ.R. 37[4]

Text: Among the sanctions that a trial court can impose for failure of a party to comply with discovery orders are dismissal or the entry of a default. Super.Ct.Civ.R. 37(b)(2)(C); Perry, supra, 623 A.2d at 1218 (citing Ungar Motors v. Abdemoulaie, 463 A.2d 686, 687 (D.C.1983)). Such sanctions are extreme, and therefore should be imposed only upon a showing of severe circumstances. Iannucci v. Pearlstein, 629 A.2d 555, 559 (D.C.1993) (citing District of Columbia v. Greene, 539 A.2d 1082, 1083-84 (D.C.1988)) (other citations omitted). In determining whether such circumstances exist, the court considers: 1) whether the opposing party suffered prejudice due to the failure to respond to discovery requests and 2) whether the failure was `willfull'defined as a conscious or intentional failure to act as opposed to accidental or involuntary noncompliance. Perry, 623 A.2d at 1218 (citing Braxton v. Howard Univ., 472 A.2d 1363, 1365 (D.C. 1984)); Iannucci, 629 A.2d at 559 (citing Lyons v. Jordan, 524 A.2d 1199, 1201 (D.C.1987)) (other citations omitted). The court must also consider whether less severe sanctions will not suffice, notwithstanding `the societal preference for a decision on the merits.' Iannucci, 629 A.2d at 559 (citations omitted). Absent evidence of such severe circumstances, the trial court abuses its discretion when it imposes the extreme sanctions of default or dismissal. Perry, 623 A.2d at 1218 (citation omitted). Any sanction imposed should be tailored to the circumstances. See Bussell v. Berkshire Assocs., 626 A.2d 22, 24 (D.C.1993). In other words, the sanction should not be `too strict or unnecessary under the circumstances.' Id. (quoting Himmelfarb v. Greenspoon, 411 A.2d 979, 982 (D.C.1980) (quoting Dodson v. Evans, 204 A.2d 338, 341 (D.C.1964))). We review the trial court's actions and the record in light of these principles. In doing so, we evaluate all pretrial proceedings before the sanctions were imposed. Perry, 623 A.2d at 1218 (citing Hackney v. Sheeskin, 503 A.2d 1249, 1252 (D.C.1986)). The trial court's order imposing sanctions does not indicate that it considered lesser sanctions or why it chose dismissal and default over less severe sanctions. While the court is not required to provide reasons for not choosing less severe sanctions, if it does not provide reasons, appellate scrutiny of that choice will be stricter. Perry, supra, 623 A.2d at 1218 (citing Ungar Motors, supra, 463 A.2d at 689) (other citations omitted). Therefore, we examine its action under that strict standard. Here, the trial court stated that it was granting the motion because of the Smiths' failure to appear for depositions and for mediation. In support of its motion, Fairfax Village cited the Smiths' failure to appear for depositions both before and after the parties reached an agreement resolving their respective discovery complaints. Significantly, prior to the filing of the motion, both sides had discovery disputes, and they worked out an agreement resolving them, which they set forth in a consent motion. The Smiths had provided some discovery, and they claimed that Fairfax Village had failed to comply with some discovery. In the consent motion, the parties acknowledged that it might take several weeks to obtain the documents and information necessary to resolve their outstanding discovery disputes because of the age and inaccessibility of the information. Further, the parties stated that they had agreed to schedule depositions of parties and all material witnesses for November 8, 1995 due to the fact that such date was the first date that all counsel and deponents would be available. In opposition to the motion for sanctions, the Smiths cited as their reasons for failing to go forward with depositions on November 8th as agreed, the refusal of Fairfax Village to make its witnesses available as promised on that date, and the illness of Ms. Smith. The Smiths also indicated that they had provided 33 exhibits as agreed and had responded to interrogatories, which they would supplement if Fairfax Village requested additional information. In assessing prejudice, the trial court should consider whether the failure of one party to provide information interferes with the ability of the other party to prepare for trial and, here, mediation. See Perry, supra, 623 A.2d at 1220. The record suggests that the Smiths had provided significant discovery; therefore, some informed assessment of the prejudicial impact of the outstanding discovery on Fairfax Village should have been, but was not, made. Moreover, in this case Fairfax Village appears to have been in default on some of the discovery, and neither side was in a position to proceed with completion of discovery when Fairfax Village filed its sanctions motion. It was for that reason that they agreed to a delayed discovery schedule and postponement of mediation. In such circumstances, to lay sole blame upon one party for the . . . delay through a dismissal with prejudice would seem justified only by egregious conduct by that party; otherwise, the windfall to an otherwise potentially liable [party] might be deemed disproportionate. Van Man v. District of Columbia, 663 A.2d 1245, 1248 (D.C.1995). We do not believe that such egregious conduct is present here. The parties had worked out various discovery disputes, embodied their agreement in a consent motion, and requested an extension of time for discovery and mediation, but the trial court rejected it. The court's action, which was taken formally only after the scheduled mediation date, left the parties in a position where they could not complete discovery before the mediation date, according to their consent motion. While it may be the fault of the parties for not having resolved their disagreements well in advance of the date set by the court, given the developments here, it cannot be said that the Smiths' conduct was egregious. Fairfax Village contends that it is obvious that they suffered the prejudice of incurring attorney's fees and costs for the scheduled depositions. Such prejudice could be addressed by the award of costs and attorney's fees. However, there is no indication that the court considered this lesser sanction. Of course, the court must consider prejudice not only to the immediate parties, but also to the court system as a whole. Van Man, supra, 663 A.2d at 1247. `When a plaintiff is personally responsible for this type of delay, he or she prejudices not only the defendant but also the ability of other persons . . . to utilize the system.' Id. (citations omitted). However, even considering that kind of prejudice, it would be unfair to impose the whole burden through dismissal on one party where the other party is not free from blame. See id. at 1248. That does not mean that the Smiths' violation of discovery orders must go unsanctioned. See Van Man, supra, 663 A.2d at 1248. There are lesser sanctions which can be considered. See id. A proper exercise of discretion in ruling upon a sanctions motion requires consideration of lesser sanctions, particularly in order to tailor the sanction to the transgression. See Iannucci, supra, 629 A.2d at 559. There is no indication that the trial court actually considered lesser sanctions in this case. Fairfax Village requested in its motion the most severe sanctions, and upon consideration of that motion, the trial court granted the request. Finally, the court must consider whether the default of the party failing to make discovery is willful. Perry, supra, 623 A.2d at 1218. The trial court did not indicate in its order whether it deemed the Smiths' conduct to be willful. However, since it imposed the most extreme sanction, we will assume that it did. To show willfulness within the context of a failure to make discovery requires only a conscious failure to provide the requested information or to appear for deposition as opposed to accidental or involuntary noncompliance. Chapman v. Norwind, 653 A.2d 383, 386 (D.C.1995) (citing Perry, supra, 623 A.2d at 1218). The Smiths claimed that they could not appear for their depositions on November 8th because Fairfax Village had refused to make its witnesses available at the same time as required by their agreement. [5] While the reason explains the Smiths' failure, it does not excuse their failure to comply with a properly noticed deposition. They should have appeared or sought court intervention under the rules for any failure of Fairfax Village to make discovery. Whether this amounts to sufficiently willful conduct on the part of the Smiths warranting extreme sanctions, where it is contended that the moving party was in violation of the same agreement, is debatable. [6] However, even assuming willfulness, in the particular circumstances of this case, where the court made no finding of prejudice and where there is no indication that lesser sanctions were considered, we hold that the trial court's order entering a default and dismissing the Smiths' claims must be vacated.