Mertens v. Hummell, 77-1734
| Decision Date | 21 August 1978 |
| Docket Number | No. 77-1734,77-1734 |
| Parties | Gordon D. MERTENS, Sr., and Marcella Mertens, Plaintiffs-Appellants, v. Ralph HUMMELL, Individually and as Chief of Police of Barrington Hills et al., Defendants-Appellees. |
| Court | U.S. Court of Appeals — Seventh Circuit |
Eliot A. Landau, Woodridge, Ill., for plaintiffs-appellants.
James R. Schirott, David R. Novoselsky, Chicago, Ill., for defendants-appellees.
Before CUMMINGS, SPRECHER and BAUER, Circuit Judges.
The court, having read the briefs, addressed itself to the record, and heard oral arguments, finds no abuse of discretion and no violation of constitutional rights in the lower court's order dismissing the appellants' case under Rule 37(b) for noncompliance with pre-trial discovery orders. Similarly, we find no abuse of discretion in the lower court's denial of leave to file a third amended complaint.
Accordingly, for the reasons set forth in the district court's memorandum opinion, that opinion is affirmed and adopted as the opinion of this court. Costs are awarded to the appellees.
AFFIRMED.
There is pending before the court a motion by certain defendants in this case to dismiss the instant action pursuant to F.R.Civ.P. 37(b)(2)(C) and 37(d).
This motion accords with the report of Magistrate Balog, dated April 6, 1977, which recommended that the action be dismissed. The magistrate's report noted that the plaintiffs had failed to comply with several orders to produce discovery materials. Magistrate Balog also commented that the plaintiffs had failed to comply with an order to prepare a first draft of the final pretrial order for this case.
The record indicates that the defendants repeated their insistence upon compliance with this discovery request by letter and orally at various depositions.
Since the filing of this discovery request, there have been repeated court orders compelling the plaintiffs' compliance. On January 26, 1977, this court ordered "plaintiff to produce records to defendants." On February 11, 1977, Magistrate Balog ordered "(p)laintiff to produce all documents on Defendant's outstanding notice to produce including . . . a list of all potential witnesses who have given statements". On March 3, 1977, the magistrate ordered
"that if the plaintiffs are claiming that any of the statements, transcriptions, records, notes, memoranda or other documents of interviews with witnesses, as requested in paragraph 5 of the November 10, 1976 request for production, are privileged from discovery, that the plaintiffs produce all such statements, transcriptions, records, notes, memoranda or other documents of interviews with witnesses to this court for an in-camera inspection for further disposition by this court." (Emphasis added.)
The plaintiffs acknowledge the entry of these orders but maintain that they have complied with them. Their counsel concedes that he never submitted the list of potential witnesses' statements but maintains this was 1
It is apparently agreed by the parties that an attorney from plaintiffs' counsel's office represented to the magistrate on February 11, 1977, that their office did possess certain notes, but asserted that they were privileged and exempt from discovery. Plaintiffs' lead counsel, who was not present on this occasion asserts that his associate had advised the court that these notes were limited to statements made by the plaintiffs. There is no supporting affidavit from Mr. Pellegrini, the associate who made the disputed representation. Defendants' counsel, who was present in court on February 11th, maintains under oath that Pellegrini "stated in open court that the plaintiffs did have memoranda of interviews with witnesses as sought in paragraph 5." It is also evident that Magistrate Balog was neither persuaded that the materials admittedly in plaintiffs' possession were privileged, nor that plaintiffs did not have materials covered by the discovery request. Thus, he entered on that day the order requiring production of a list of potential witnesses who had given statements, and later required an in camera inspection prior to a determination of the existence of any privilege.
In any event, there can be no dispute that the plaintiff never complied with the order to supply a written list of witnesses who have given statements. 2 Their current denial of the existence of any such witnesses is not sufficient to comply with the magistrate orders. 3
Furthermore, the magistrate expressly stated that he reserved the ultimate determination of the validity of any claimed privilege for notes or statements in the possession of the plaintiffs. There is no dispute that plaintiffs did not submit the notes of plaintiffs' statements in their possession for an in camera inspection, as mandated by the March 3rd order. The court therefore finds that it must sustain the magistrate's finding that the plaintiffs have failed to comply with the orders regarding the production of records. 4
Finally, there appears to be no dispute that the plaintiffs have failed to comply with the order to prepare a first draft of the final pretrial order.
The Federal Rules of Civil Procedure allow the court to enter an order dismissing the action as a sanction where "a party fails to obey an order to provide or permit discovery." F.R.Civ.P. 37(b)(2)(C). Rule 41(b) provides for the dismissal of an action where the plaintiff has failed to comply with "any order of the court." Dismissal is, of course, an extremely harsh sanction. The instant case, however, provides a rare example of a situation in which such a sanction is in fact merited. A review of the extensive docket sheet in this case, a copy of which is attached hereto, underscores the difficulties which this case has already created. The conduct of the plaintiffs has already necessitated the order referring this case to a magistrate. By that order, dated December 22, 1976, Magistrate Balog was given "the power to impose appropriate sanctions upon any party who fails to fully cooperate with the magistrate in the formulation of the pretrial order, or who in any other way fails to comply with the instant order."
A careful consideration of the record in this case, including the briefs of the parties and the exhibits introduced with respect to the instant motion to dismiss, persuades the court that Magistrate Balog was well justified in recommending the dismissal of the instant complaint with prejudice.
The plaintiffs have also sought leave to file their "third amended complaint," as well as a commensurate extension of time for discovery.
Under F.R.Civ.P. 15(a) a party is entitled to only one amended pleading as a matter of course. Subsequent amendments are permitted "only by leave of court or by written consent of the adverse party." The determination of the appropriateness of additional amended pleadings "is within the discretion" of the trial court. Foman v. Davis, 371 U.S. 178, 182, 83 S.Ct. 227, 9 L.Ed.2d 222 (1962) (dictum), cited in Zenith Radio Corp. v. Hazeltine Research, 401 U.S. 321, 330, 91 S.Ct. 795, 28 L.Ed.2d 77 (1971).
The court is aware that the spirit of the rule is tolerant towards such amendments. Rule 15(a) states that "leave shall be freely given when justice so requires." A trial court is obligated to act in this spirit, and may not deny such leave "without any justifying reason." Foman v. Davis, supra.
This does not mean, however, that the right to amend is absolute. "The requirement of judicial approval suggests that...
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