LURANA S. SNOW, United States Magistrate Judge.
THIS CAUSE is before the Court on Plaintiffs Motion to Compel Discovery Pursuant to Plaintiffs First Request for Production to Corporate Defendant (ECF No. 30), and Plaintiff's Motion to Compel Discovery Pursuant to Plaintiffs Second Request for Production and First Set of Interrogatories (ECF No. 32) which were referred to Lurana S. Snow, United States Magistrate Judge. Both motions are fully briefed and are ripe for consideration.
This is an action for unpaid minimum wages pursuant to the Fair Labor Standards Act ("FLSA"), 29 U.S.C. § 201 et seq., and for unjust enrichment. The Plaintiff worked for the Defendants selling automobile insurance policies over the telephone. An issue in this litigation is whether the Plaintiff was Defendants' employee or an independent contractor. According to the Plaintiff, the discovery requests at issue are his effort to establish the "economic realities" of the relationship between the Plaintiff and the Defendant.
During the briefing process, the parties resolved their differences with respect to all of the issues raised in the instant motion except with respect to Requests 11 and 27. The Court addresses each in turn.
According to the Plaintiff, contrary to Defendant's assertion, the information requested is relevant for more than certifying this case as a collective action. The personnel files of similarly situated employees will likely contain information concerning how similarly situated employees were paid in comparison to the Plaintiff, will likely contain evidence of how much control the Defendant exercised over similarly situated employees, and may contain evidence demonstrating willfulness for purposes of the FLSA. Plaintiff asserts that because the Defendant claims that the Plaintiff was sometimes paid hourly and sometimes not, depending on his job classification, evidence of how similarly situated employees were actually paid is highly relevant.
Defendant has agreed to provide documents showing that other closers were paid the same as the Plaintiff, but continues to assert that the request is otherwise overbroad. Defendant asserts that Plaintiffs conferral letter limited the request to "information regarding other employees of the Defendant who suffered and/or complained about FLSA violations which ultimately resulted in documents being submitted to the Department of Labor," (DE
The Plaintiff filed a reply brief reiterating that he is merely seeking information which may lead him to individuals with knowledge regarding the Defendant's business and control over the Plaintiff. He is not seeking the information as evidence in support a collective action. Plaintiff disputes that he should be limited to the arguments raised in his conferral letter, pointing out that, as he certified when he filed the motion, he attempted on multiple occasions to confer with Defendants' counsel by phone, and would have discussed his arguments in more detail, but none of the phone calls was returned. Finally, he contends that the Defendant lacks standing to raise privacy concerns with respect to the individual personnel files.
The Court agrees with the Plaintiff that discovery concerning similarly situated individuals who worked for the Defendant may lead to the discovery of admissible evidence and is potentially relevant as broadly defined by the federal rules of civil procedure. Oppenheimer Fund, Inc. v. Sanders, 437 U.S. 340, 351-52, 98 S.Ct. 2380, 57 L.Ed.2d 253 (1978). The parties appear to agree that the Plaintiff worked as both a fronter and a closer during the relevant time period. (DE 36-1, ¶¶ 16, 17; DE 36-2, ¶ 4) Other individuals who have held those positions may be able to provide evidence regarding the level of control the Defendant exerted with respect to the duties Plaintiff performed, which evidence would be a factor to be considered in determining whether Plaintiff should be treated as an employee versus an independent contractor for purposes of the FLSA. See Rutherford Food Corp. v. McComb, 331 U.S. 722, 730, 67 S.Ct. 1473, 91 L.Ed. 1772 (1947).
The Plaintiff is also correct that the Defendant lacks standing in this litigation to assert the privacy rights of third parties. Adelman v. Boy Scouts of America, 276 F.R.D. 681, 694 (S.D.Fla.2011). Further, any privacy concerns raised by the third party's themselves could be addressed via the entry of a stipulated confidentiality order.
Accordingly, regarding Request 11, the Defendant shall produce the personnel files of all other fronters and closers it employed in the Southern District of Florida in the last three years, subject to a confidentiality order which the parties are directed to submit for entry by the Court.
The Defendant offered to produce its one page sales script pursuant to the Plaintiff's draft confidentiality order, subject to certain changes made by the Defendant.
Because the Court agrees that any "scripts" the Plaintiff was required by the Defendant to use during the course of his employment would be reasonably calculated to lead to the discovery of evidence admissible to show the level of control exerted by the Defendant over the Plaintiff, the Defendant's objections based upon relevance are overruled, and all such scripts shall be produced subject to a confidentiality order.
The Plaintiff seeks better responses to Requests for Production 3 and 15 from his Second Request for Production of Documents, and Interrogatories 3, 4, 10 and 17 from his First Set of Interrogatories. The Court addresses each in turn.
The Court has already determined that the personnel files of current and former fronters and closers for the relevant time period shall be produced. The only remaining issue is whether the personnel files of management personnel, corporate officers and Plaintiff's supervisors should also be produced. According to the Plaintiff, he needs the files of his supervisors and of the corporate officers to prove individual liability under the FLSA.
According to the Defendant, the Plaintiff is aware that Defendant has only one officer, Defendant Hale Camerman. Defendant contends that the Plaintiff does not need the contents of Mr. Camerman's entire personnel file.
The FLSA contemplates the imposition of individual liability upon those who control a corporation's day to day functions, including its financial affairs. Lamonica v. Safe Hurricane Shutters, 711 F.3d 1299, 1313 (11th Cir.2013). For a supervisor to qualify as an employer under the FLSA, he or she must have significant involvement in the day to day operation of the business or have some direct responsibility for the supervision of the employee. Id. Such control can be inferred from the exercise of general supervisory powers or the exercise of control over other employees. Id.
Because the Court agrees with the Plaintiff that individuals with involvement in the day to day operation of Defendants' business, and those with direct responsibility for supervision of the Plaintiff, may be individually liable under the FLSA, the information contained in their personnel files may also lead to the discovery of admissible evidence, and should be produced subject to a confidentiality order to be submitted by the parties for entry by the Court. Accordingly, the Defendant's objections with respect to Request 3 are overruled.
According to the Plaintiff, during the conferral process, the Defendant agreed to provide a privilege log or produce any documents that have not been produced. It has done neither. Defendant asserts it has no additional non-privileged information, and the only remaining privileged documents consist of e-mails between counsel and client from the date Plaintiff filed his initial Charge of Discrimination with the Equal Employment Opportunity Commission on June 29, 2012, to the present. Defendant asserts that preparing a privilege log has been burdensome and time consuming.
The Court notes that in this district, a privilege log is required with respect to all documents, electronically stored information, things and oral communications withheld on the basis of a claim of privilege or work product protection, except written and oral communications of a party and its counsel, and work product material created after commencement of the action. Southern District Local Rule 26.1(g)(3)(C). For purposes of the FLSA, an action commences on the date when the complaint is filed. 29 U.S.C. § 256. According to the Defendant, the only privileged documents it is withholding on the basis of privilege were created after the Plaintiff filed his initial charge of discrimination with the Equal Employment Opportunity Commission. Accordingly, the Defendant shall provide a privilege log for all documents withheld on the basis of privilege created after the initial charge of discrimination and prior to April 16, 2013, the date the Plaintiff filed his complaint.
Because the Court has already determined that this information with respect to employees who had the same job title as the Plaintiff (i.e. fronters and closers), is reasonably calculated to lead to the discovery of admissible evidence, the Defendant shall respond to Interrogatory 3, limited to information pertaining to fronters and closers.
The Plaintiff asks that the Defendant supplement its response by defining "others." Defendant's counsel responds that "others" refers to a failure to obtain correct customer information, falsification of customer information, and/or a failure to place customers in the right coverage. The Defendant shall supplement its response to Interrogatory 4 to reflect this clarification.
The Plaintiff contends, as he did with respect to Request 15, that the Defendant's privilege objection is without merit, and is waived in any case by the failure to provide a privilege log. Plaintiff argues that the objection with respect to the Plaintiff's pending motion to strike amended affirmative defenses is also without merit.
On November 15, 2013, the Court entered an order striking Defendants' second, third, fourth, fifth, sixth, eighth, tenth, thirteenth, fourteenth, fifteenth, sixteenth, and seventeenth, affirmative defenses. The Defendant has been given until November 25, 2013 to file a Second Amended Answer. After it has done so, it shall amend its response to Interrogatory 10, and to the extent that the Defendant intends to rely on privilege to withhold responsive information, it shall produce a privilege log with respect to any communications which occurred prior to the April 16, 2013 commencement of this action. To the extent that Defendant asserts that it has no further facts to provide other than those it sets forth in its Second Amended Answer and Affirmative Defenses, its amended response to Interrogatory 10 shall make this clear.
The Plaintiff contends that a response to this interrogatory would be reasonably calculated to lead to the discovery of evidence demonstrating the level of control exercised by the Defendant over the Plaintiff, supporting Plaintiff's assertion that he was an employee rather than an independent contractor. Defendant characterizes the interrogatory as harassing.
The Court agrees with the Plaintiff that an answer to this interrogatory, if in the affirmative, would provide evidence of the level of control exerted by the Defendant over the Plaintiff, which in turn, would be relevant to whether the Plaintiff should be treated as an employee or independent contractor for purposes of the FLSA. However, the Defendant's reason for making such a requirement would be of less relevance. Accordingly, the Defendant shall serve a response to the first part of Interrogatory 17.
Being fully advised, it is hereby
ORDERED AND ADJUDGED that the Plaintiff's Motion to Compel Discovery Pursuant to Plaintiff's First Request for Production to Corporate Defendant (DE 30) and the Plaintiff's Motion to Compel Discovery Pursuant to Plaintiff's Second Request for Production and First Set of Interrogatories (DE 32) are each GRANED IN PART as follows:
1. The parties shall confer with each other with respect to a Stipulated Confidentiality Order, and, on or before December 4, 2013 submit their proposed order to the Court.
2. Within five days of the entry of a stipulated confidentiality order, the Defendant shall produce the personnel files of the following categories of individuals employed by the Defendant in the Southern District of Florida in the last three years: all fronters, closers, management personnel,
3. Within five days of the entry of a stipulated confidentiality order, the Defendant shall produce all "scripts" the Plaintiff was required to read or use while speaking with customers or prospective customers on the telephone.
4. On or before December 9, 2013, the Defendant shall produce a privilege log for all documents and communications withheld on the basis of privilege created prior to the April 16, 2013 commencement of this action.
5. On or before December 9, 2013, the Defendant shall serve a response to Interrogatory 3.
6. On or before December 9, 2013, the Defendant shall supplement its response to Interrogatory 4 to reflect its clarification of what is meant by "others."
7. After the Defendant files its Second Amended Answer and Affirmative Defenses, it shall amend its response to Interrogatory 10. To the extent that the Defendant intends to rely on privilege to withhold responsive information, it shall produce a privilege log with respect to any communications which occurred prior to the April 16, 2013 commencement of this action. To the extent that the Defendant has no further facts to provide other than those it sets forth in its Second Amended Answer and Affirmative Defenses, Defendant shall, on or before December 9, 2013, amend its response to Interrogatory 10 to make this clear.
8. On or before (ten days) the Defendant shall serve a response to Interrogatory 17.