KATHERINE P. NELSON, Magistrate Judge.
This action is before the Court on the Plaintiff's motion for reasonable expenses under Federal Rule of Civil Procedure 37(a)(5). (Doc. 58). The Defendants have timely filed a response (Doc. 65) in opposition to the motion, and the Plaintiff has timely filed a reply (Doc. 66). The Plaintiff subsequently filed a corrected supplemental motion for expenses under Rule 37(a)(5) (Doc. 71), to which the Defendants filed no response.
On September 27, 2018, the Plaintiff file a renewed motion to compel disclosures and discovery responses from the Defendants under Federal Rule of Civil Procedure 37(a). (Doc. 39). Following briefing (Docs. 42, 43, 45), the Court set a hearing on the motion, which was continued several times. (See Docs. 46, 47, 51, 52). In the meantime, the Plaintiff filed three additional motions to compel (Docs. 48, 53, 54), with the Defendants responding to one (see Doc. 50). A hearing addressing all motions to compel was held with counsel for the parties on November 30, 2018. On December 11, 2018, the Court entered an order granting the motions to compel in part, finding that the Plaintiff was entitled to relief on certain issues, and otherwise mooting the motions due to supplemental discovery responses served by the Defendants after the motions to compel were filed. (See Doc. 60). On the Plaintiff's motion, an amended version of that order was entered December 18, 2018, granting additional relief. (See Docs. 62, 63, 64). The Plaintiff now seeks an award of reasonable expenses under Rule 37(a)(5) in connection with the motions to compel.
If a Rule 37(a) motion to compel "is granted—or if the disclosure or requested discovery is provided after the motion was filed—the court must, after giving an opportunity to be heard, require the party or deponent whose conduct necessitated the motion, the party or attorney advising that conduct, or both to pay the movant's reasonable expenses incurred in making the motion, including attorney's fees. But the court must not order this payment if: (i) the movant filed the motion before attempting in good faith to obtain the disclosure or discovery without court action; (ii) the opposing party's nondisclosure, response, or objection was substantially justified; or (iii) other circumstances make an award of expenses unjust." Fed. R. Civ. P. 37(a)(5)(A). The Plaintiff's initial motion seeks an award of $8,186.80 in reasonable expenses under Rule 37(a)(5), consisting of $8,140 in attorney fees and $46.80 in copy fees. Her corrected supplemental motion seeks an additional $2,559.50 in attorney and copy fees expended litigating the initial motion for Rule 37(a)(5) expenses.
The Defendants first argue that the Plaintiff should not be awarded any expenses because their objections to the Plaintiff's "vague, unduly burdensome, and overbroad interrogatories" discovery requests were substantially justified.
The Defendants also argue that the Plaintiff's motion for expenses should be denied because "the Plaintiff never attempted to dispute or work through the Defendant's objections without court assistance. . ." (Doc. 65 at 4). However, the Plaintiff's three subject motions to compel, when considered together,
The Defendants also claim that the following "other circumstances" would "make an award of expenses unjust": "the Defendants acted in good faith and dutifully attempted to work with Plaintiff's counsel to insure amicable discovery was completed;" "Plaintiff's counsel previously and unsuccessfully filed a previous motion to compel;" "Plaintiff's counsel's issue with discovery was a matter of form over substance;" and "the Plaintiff has not been prejudiced in any manner by the delay." (Doc. 65 at 4). The Court disagrees.
The Defendants' claim that the Plaintiff has not been prejudiced by any delay caused by their deficient responses is doubtful. Regardless, in making this argument, the Defendants diminish the primary purpose of Rule 37(a)(5)'s fee-shifting provisions, which is to minimize courts becoming involved in the discovery process and encourage all parties to be as forthcoming as possible during the discovery process. See 8B The Late Charles Alan Wright, et al., Fed. Prac. & Proc. Civ. § 2288 (3d ed.) ("A major purpose of the 1970 revision of the discovery rules was to encourage extrajudicial discovery with a minimum of court intervention. One means of accomplishing that was to tighten the judicial sanctions with respect to unjustified insistence upon or objection to discovery." (footnote omitted)); Fed. R. Civ. P. 37(a) advisory committee's note to 1970 amendment ("the potential or actual imposition of expenses is virtually the sole formal sanction in the rules to deter a party from pressing to a court hearing frivolous requests for or objections to discovery" and is "the most important available sanction to deter abusive resort to the judiciary"). Cf. McCarthy v. Ameritech Pub., Inc., 763 F.3d 488, 494 (6th Cir. 2014) ("an `important purpose' of the expense-shifting sanction codified in Rule 37(c)(2) is to establish incentives for litigants `to respond reasonably and in good faith to appropriate requests for admissions'" (quoting 7 Moore's Federal Practice § 37.70 (3d ed. 2013)). "Prejudice to the merits of the party's cause is not required" to be entitled to Rule 37(a)(5) expenses. Cal Dive Int'l, Inc. v. M/V Tzimin (ex Stena Seahorse), 127 F.R.D. 213, 217 (S.D. Ala. 1989). Indeed, forcing parties to resort to the courts to resolve discovery disputes, and forcing courts to do so, are their own "prejudices" that Rule 37(a)(5) sought to deter. Similarly, the Defendants' assertions that they "acted in good faith" in attempting to resolve the discovery disputes does not absolve them from liability under Rule 37(a)(5). See Marquis v. Chrysler Corp., 577 F.2d 624, 642 (9th Cir. 1978) ("Although the failure to produce may not have been in bad faith, the presence or absence of bad faith is relevant to the choice of sanctions rather than to the question whether a sanction should have been imposed. In view of the range of sanctions available, even negligent failures to allow reasonable discovery may be punished."); Tamari v. Bache & Co. (Lebanon) S.A.L., 729 F.2d 469, 473-74 (7th Cir. 1984) ("The Firm next contends that a court may not impose Rule 37(b) sanctions on a party unless that party violates a court order because of wilfullness, bad faith, or fault. The weight of authority, however, holds that the culpability of a party who fails to comply with a court order determines only which sanctions the court should impose and not whether any sanctions are appropriate at all. Courts thus have held that negligent failure to follow discovery proceedings may trigger sanctions." (citations omitted)).
With regard to the Plaintiff's first motion to compel, which was denied without prejudice 4 days after it was filed for failure to include an adequate good-faith conferencing certification (see Docs. 21, 22), the Defendants complain that, because the Court did not award them reasonable expenses under Rule 37(a)(5)(B) in connection with the denial,
The Defendants' assertion that the Plaintiff's complaints about their discovery responses was "a matter of the form of the answers rather than the substance of the Defendants' answers" is unconvincing. The Defendants claim that, because the additional discovery they were compelled by the Court to produce "did not provide new information or discovery to the Plaintiff[, and] since the Plaintiff's [sic] already possessed all information necessary to answer the Plaintiff's interrogatories[,]" the Plaintiff should not be awarded reasonable expenses. (Doc. 65 at 6). However, as the Defendants' counsel was informed at the hearing, a "document dump" does not satisfy a party's obligation to provide clear responses to discovery requests, and it was not the Plaintiff's responsibility to piece together the Defendants' interrogatory responses for them. See Fed. R. Civ. P. 37(a)(4) ("For purposes of this subdivision (a), an evasive or incomplete disclosure, answer, or response must be treated as a failure to disclose, answer, or respond."). Moreover, what a discovery response does not say can be just as important as what it does. See Fed. R. Civ. P. 33(b)(3) ("Each interrogatory must, to the extent it is not objected to, be answered separately and
The Defendants also claim that the Plaintiff was "only forty-five percent successful" on the relief requested in her motions to compel, and that therefore she should only be awarded a similar proportion in reasonable expenses. (Doc. 65 at 9). The Court disagrees, as it did not deny any of the Plaintiff's requested relief in its order ruling on the motions; rather, the motions were "
Finally, the Defendants challenge the reasonableness of various time entries and other expenses billed by Plaintiff's counsel, Henry Brewster, Esq., and S. Joshua Briskman, Esq. (See Doc. 65 at 9-13 [Section IV of "Argument," Defendants' Response Brief])).
As for the expenses requested in the Plaintiff's initial motion (Doc. 58), Brewster billed a total of 18.2 hours and $46.80 in copy fees ($0.10 per page)
However, the Court overrules the Defendants' other objections and finds that the remaining expenses billed by Brewster and Briskman — 4.95 hours at $300/hour ($1,485.00) by Briskman, and $40.70 in copy expenses and 16.4 hours at $350/hour by Brewster ($5,740.00), for a total of $7,265.70 — were "incurred in making the [subject] motion[s]" to compel and are "reasonable." Moreover, the undersigned finds that the conduct necessitating the filing of the motions to compel is attributable solely to the Defendants' counsel of record; therefore, only the Defendants' counsel will be ordered to pay the reasonable expenses awarded herein.
Accordingly, the Plaintiff's motion for reasonable expenses under Federal Rule of Civil Procedure 37(a)(5) (Doc. 58) is
Moreover, whatever persuasive value that authority might once have had on the issue of allowing fees for fee-defense litigation under Rule 37(a)(5) has been diminished in light of the Supreme Court's more recent admonition in Baker Botts that courts "should not deviate from the American Rule absent explicit statutory authority." 135 S. Ct. at 2164. In that case, for instance, the Court held that 11 U.S.C. § 330(a)(1), which states that a bankruptcy court "may award . . . reasonable compensation for actual, necessary services rendered by" professionals hired by bankruptcy trustees to assist them in their statutory duties, "cannot displace the American Rule with respect to fee-defense litigation" because fee-defense litigation was not a "necessary service" for the trustee. Id. at 2165. Similarly, it is not clear that fees for fee-defense litigation are "incurred in making the motion" to compel. But see McCarthy v. Ameritech Pub., Inc., 763 F.3d 488, 494 (6th Cir. 2014) ("To harmonize Rule 37(c)(2) with other Rule 37 provisions serving a substantially similar purpose, we interpret the scope of Rule 37(c)(2) to encompass reasonable attorney's fees and costs associated with the preparation and presentation of the fee application."), and In re Stauffer Seeds, Inc., 817 F.2d 47, 50 (8th Cir. 1987) ("The magistrate's scrutiny on remand should extend also to hours reasonably spent by Booker's local counsel in seeking the discovery sanctions. See Poulis v. State Farm Fire & Casualty Co., 747 F.2d 863, 869 (3d Cir.1984). Rule 37, interpreted consistent with its purposes, authorizes an award encompassing `all expenses, whenever incurred, that would not have been sustained had the opponent conducted itself properly.' Aerwey Laboratories v. Arco Polymers, 90 F.R.D. 563, 565-66 (N.D.Ill.1981), cited in Tamari v. Bache & Co., 729 F.2d 469, 475 (7th Cir.1984) (allowing fees and expenses incurred in defending award of sanctions on appeal). Absent the discovery abuses, Booker would not have incurred the expense of the sanctions motion, and failure to allow him this expense would undermine the Rule's operation because Booker's award would be offset by his cost in seeking it and he would not be fully reimbursed for the extra work caused by the discovery abuse.").