Lutz v. Ethicon, Inc. et al
Filing
8
ORDER denying 5 MOTION by Ethicon, Inc., Johnson & Johnson for Sanctions for Failure to Timely Serve Plaintiff Profile Form; the plaintiff has 30 business days from the entry of this Order to submit to Ethicon a completed PPF and failure to compl y with this Order will result in dismissal with prejudice upon motion by the defendant; plaintiffs counsel is directed to send a copy of this Order to the plaintiff via certified mail, return receipt requested, and file a copy of the receipt. Signed by Judge Joseph R. Goodwin on 10/20/2015. (cc: counsel of record; any unrepresented party) (ts)
IN THE UNITED STATES DISTRICT COURT
FOR THE SOUTHERN DISTRICT OF WEST VIRGINIA
CHARLESTON DIVISION
IN RE:
ETHICON, INC.,
PELVIC REPAIR SYSTEM
PRODUCTS LIABILITY LITIGATION
MDL No. 2327
______
THIS DOCUMENT RELATES TO:
Kimberly Lutz v. Ethicon, Inc., et al.
Civil Action No. 2:14-cv-19963
ORDER
Pending before the court is Ethicon, Inc., Ethicon, LLC, and Johnson & Johnson’s
(collectively “Ethicon”) Motion for Sanctions [ECF No. 5]. For the reasons stated below, Ethicon’s
Motion for Sanctions [ECF No. 5] is DENIED.
I.
Background
This case resides in one of seven MDLs assigned to me by the Judicial Panel on
Multidistrict Litigation concerning the use of transvaginal surgical mesh to treat pelvic organ
prolapse and stress urinary incontinence. In the seven MDLs, there are nearly 70,000 cases
currently pending, approximately 25,000 of which are in the Ethicon, Inc. MDL, MDL 2327.
Managing multidistrict litigation requires the court to streamline certain litigation procedures in
order to improve efficiency for the parties and the court. Some of these management techniques
simplify the parties’ discovery responsibilities. Pretrial Order (“PTO”) # 17, for example, provides
that each plaintiff in this MDL must submit a Plaintiff Profile Form (“PPF”) to act as interrogator y
answers under Federal Rule of Civil Procedure 33 and responses to requests for production under
Federal Rule of Civil Procedure 34. (See PTO # 17, In re: Ethicon, Inc., Pelvic Repair System
Prods.
Liab.
Litig.,
No.
2:12-md-2327,
entered
Oct.
4,
2012,
available
at
http://www.wvsd.uscourts.gov/MDL/ethicon/orders.html).
The
parties
jointly
drafted
the
requirements for PTO # 17, and I entered it as applicable to every one of the thousands of cases in
this MDL. The instant plaintiff, however, did not comply with PTO # 17 in that she wholly failed
to submit a completed PPF, and on this basis, Ethicon now moves for sanctions against the
plaintiff. Specifically, Ethicon asks for a reasonable monetary sanction and/or dismissal.
II.
Legal Standard
Federal Rule of Civil Procedure 37(b)(2) allows a court to sanction a party for failing to
comply with discovery orders. See Fed. R. Civ. P. 37(b)(2) (stating that a court “may issue further
just orders” when a party “fails to obey an order to provide or permit discovery”). Before levying
a harsh sanction under Rule 37, such as dismissal or default, a court must first consider the
following four factors identified by the Fourth Circuit Court of Appeals:
(1) Whether the noncomplying party acted in bad faith; (2) the amount of prejudice
his noncompliance caused his adversary, which necessarily includes an inquiry into
the materiality of the evidence he failed to produce; (3) the need for deterrence of
the particular sort of noncompliance; and (4) the effectiveness of less drastic
sanctions.
Mut. Fed. Sav. & Loan Ass’n v. Richards & Assocs., Inc., 872 F.2d 88, 92 (4th Cir. 1989) (citing
Wilson v. Volkswagen of Am., Inc., 561 F.2d 494, 503–06 (4th Cir. 1977)).1
In applying these factors to the case at bar, I must be particularly cognizant of the realities
of multidistrict litigation and the unique problems an MDL judge faces. Specifically, when
handling seven MDLs, each containing thousands of individual cases, case management becomes
of utmost importance. See In re Phenylpropanolamine Prods. Liab. Litig., 460 F.3d 1217, 1231
(9th Cir. 2006) (emphasizing the “enormous” task of an MDL court in “figur[ing] out a way to
move thousands of cases toward resolution on the merits while at the same time respecting their
1I
find the Wilson factors instructive and applicable to the instant motion, given the possibility, as explained below,
that if the plaintiff does not comply with this Order, Ethicon may move for dismissal with prejudice.
2
individuality”). I must define rules for discovery and then strictly adhere to those rules, with the
purpose of ensuring that pretrial litigation flows as smoothly and efficiently as possible. See id. at
1232 (“[T]he district judge must establish schedules with firm cutoff dates if the coordinated cases
are to move in a diligent fashion toward resolution by motion, settlement, or trial.”); see also Fed.
R. Civ. P. 1 (stating that the Federal Rules of Civil Procedure “should be construed and
administered to secure the just, speedy, and inexpensive determination of every action and
proceeding”). In turn, counsel must collaborate with the court “in fashioning workable
programmatic
procedures”
and
cooperate
with
these
procedures
thereafter.
In
re
Phenylpropanolamine, 460 F.3d at 1231–32. Pretrial orders—and the parties’ compliance with
those orders and the deadlines set forth therein—“are the engine that drives disposition on the
merits.” Id. at 1232. And a “willingness to resort to sanctions” in the event of noncompliance can
ensure that the engine remains in tune, resulting in better administration of the vehicle of
multidistrict litigation. Id.; see also Freeman v. Wyeth, 764 F.3d 806, 810 (8th Cir. 2014) (“The
MDL judge must be given ‘greater discretion’ to create and enforce deadlines in order to
administrate the litigation effectively. This necessarily includes the power to dismiss cases where
litigants do not follow the court’s orders.”).
III.
Discussion
Pursuant to PTO # 17, each plaintiff is required to submit a completed PPF within 60 days
of filing a Short Form Complaint. (PTO # 17 ¶ 1b). The purpose of the PPF, as was the case in In
re Phenylpropanolamine, is “to give each defendant the specific information necessary to defend
the case against it . . . [and] without this device, a defendant [is] unable to mount its defense
because it [has] no information about the plaintiff or the plaintiff’s injuries outside the allegatio ns
of the complaint.” 460 F.3d at 1234. To this end, PTO # 17 provided that “[a]ny plaintiff who fails
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to comply with the PPF obligations under this Order may, for good cause shown, be subject to
sanctions, to be determined by the court, upon motion of the defendants.” (PTO # 17 ¶ 1i).
Here, the plaintiff filed her complaint on July 1, 2014, and her PPF was due to Ethicon by
August 30, 2014. As of the date of this Order, the plaintiff has not submitted a PPF, making it 417
days late. Accordingly, pursuant to PTO # 17, Ethicon seeks remedy from the court for this
discovery failure in the form of monetary sanctions or dismissal. The plaintiff acknowledges that
the PPF has not been timely filed, but insists monetary sanctions are inappropriate. Rather, the
plaintiff says the case should be dismissed without prejudice because the plaintiff is pursuing her
case with another firm. Pls.’ Mem. in Opp. to Defs.’ Mot. for Sanctions 8-9 [ECF No. 6]. It does
not appear, however, that the plaintiff has another case pending in this MDL that would make
dismissal without prejudice appropriate.2 Applying the Wilson factors to these facts and bearing
in mind the unique context of multidistrict litigation, I conclude that although recourse under Rule
37 is justified, the plaintiff should be afforded one more chance to comply with discovery before
further sanctions are imposed.
The first factor, bad faith, is difficult to ascertain, given that the reason for discovery
deficiency is counsel’s difficulty communicating with the plaintiff and plaintiff’s confusion over
the status and representation of her case. However, counsel’s difficulty contacting the plaintiff is
not an excuse and instead indicates a failing on the part of the plaintiff, who has an obligation to
provide counsel with any information needed to prosecute her case. See Link v. Wabash R.R. Co.,
370 U.S. 626, 634 n.10 (1962) (“[A] civil plaintiff may be deprived of his claim if he failed to see
to it that his lawyer acted with dispatch in the prosecution of his lawsuit.”). Furthermore, as set
2
The docket reflects that the plaintiff filed a complaint on August 6, 2015 in Civil Action No. 2:15-cv-11860 against
the same defendants in the same MDL as the instant action. However the case was voluntarily dismissed without
prejudice about a week later on the basis that the plaintiff was represented by other counsel. [ECF No. 4].
4
forth in PTO # 4, “[a]ll attorneys representing parties to this litigation . . . bear the responsibility
to represent their individual client or clients.” (PTO # 4 ¶ C, In re: Ethicon Pelvic Repair System
Prods.
Liab.
Litig.,
No.
2:12-md-002327,
entered
Apr.
17,
2012,
available
at
http://www.wvsd.uscourts.gov/MDL/ethicon/ orders.html). This includes awareness of and good
faith attempts at compliance with all PTOs and other court orders. PTO # 17—which was jointly
drafted by the leadership counsel of both parties—expressly states that failure to timely submit a
PPF could result in sanctions. The plaintiff nevertheless failed to comply. Although these failures
do not appear to be callous, the fact that they were blatant and in full knowledge of the court’s
orders and discovery deadlines leads me to weigh the first factor against the plaintiff. See In re
Guidant Corp. Implantable Defibrillators Prods. Liab. Litig., 496 F.3d 863, 867 (8th Cir. 2007)
(“While not contumacious, perhaps, this is a blatant disregard for the deadlines and procedure
imposed by the court, [and t]herefore, we conclude that the [plaintiffs] did not act in good faith.”).
The second factor—prejudice caused by noncompliance—also leans toward the order of
sanctions. Without a PPF, Ethicon is “unable to mount its defense because it [has] no informa tio n
about the plaintiff or the plaintiff’s injuries outside the allegations of the complaint.” In re
Phenylpropanolamine, 460 F.3d at 1234. Furthermore, because Ethicon has had to divert its
attention away from timely plaintiffs and onto Ms. Lutz, the delay has unfairly impacted the
progress of the remaining plaintiffs in MDL 2327.
The adverse effect on the management of the MDL as a whole segues to the third factor,
the need to deter this sort of noncompliance. When parties fail to comply with deadlines provided
in pretrial orders, a domino effect develops, resulting in the disruption of other MDL cases. From
the representations of Ethicon’s counsel, more than 800 plaintiffs have failed to supply Ethicon
with a timely PPF. In fact, of the motions filed by Ethicon to date, the majority of these plaintif fs,
5
including Ms. Lutz, have failed to supply a PPF at all. Consequently, the court expects to have to
evaluate and dispose of 800 motions similar to the one at bar, thereby directing its time and
resources to noncompliant plaintiffs at the expense of other plaintiffs in this MDL. This
cumbersome pattern goes against the purpose of MDL procedure, and I must deter any behavior
that would allow it to continue. See H.R. Rep. No. 90-1130, at 1 (1967), reprinted in 1968
U.S.C.C.A.N. 1898, 1901 (stating that the purpose of establishing MDLs is to “assure the unifor m
and expeditious treatment” of the included cases).
Application of the first three factors demonstrates that this court is justified in sanctioning
the plaintiff. Wilson’s fourth factor directs the court to consider the effectiveness of lesser
sanctions. Accordingly, rather than imposing monetary sanctions or dismissal at this time, the court
opts for a lesser sanction and allows Ms. Lutz one more chance to comply with PTO # 17 subject
to dismissal with prejudice, upon motion by the defendant, if she fails to do so. This course of
action is consistent with PTO # 17, which warned plaintiffs of the possibility of dismissal upon
failure to submit a timely PPF. (See PTO # 17 ¶ 1g (“If a plaintiff does not submit a PPF within
the time specified in this Order, defendants may move immediately to dismiss that plaintiff’s case
without first resorting to [] deficiency cure procedures.”)).
Alternative lesser sanctions, such as the ones proposed in Rule 37(b)(2)(i–iv), are simply
impracticable, and therefore ineffective, in the context of an MDL containing nearly 25,000 cases.
The court cannot spare its already limited resources enforcing and monitoring sanctions that are
qualified by the individual circumstances of each case, nor would it be fair for the court to place
this responsibility on Ethicon. Therefore, considering the administrative and economic realities of
multidistrict litigation, I conclude that affording Ms. Lutz a final chance to comply with discovery,
subject to dismissal with prejudice if she fails to do so, is a “just order” under Rule 37 and in line
6
with the Federal Rules of Civil Procedure as a whole. See Fed. R. Civ. P. 1 (stating that the Federal
Rules of Civil Procedure “should be construed and administered to secure the just, speedy, and
inexpensive determination of every action and proceeding”).
IV.
Conclusion
It is ORDERED that Ethicon’s Motion for Sanctions [ECF No. 5] is DENIED. It is further
ORDERED that the plaintiff has 30 business days from the entry of this Order to submit to
Ethicon a completed PPF. Failure to comply with this Order will result in dismissal with prejudice
upon motion by the defendant. Finally, it is ORDERED that plaintiff’s counsel send a copy of this
Order to the plaintiff via certified mail, return receipt requested, and file a copy of the receipt.
The court DIRECTS the Clerk to send a copy of this Order to counsel of record and any
unrepresented party.
ENTER:
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October 20, 2015
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