Gouse v. Dist. of Columbia
Gouse v. Dist. of Columbia
Opinion of the Court
RANDOLPH D. MOSS, United States District Judge *53Plaintiff, a former employee of Saint Elizabeths Hospital in Washington, D.C., seeks documents relating to findings contained in a portion of a report issued by the D.C. Office of the Auditor ("Auditor"), which was prepared with the assistance of the Council for Court Excellence ("CCE"). Dkt. 20. Those findings and the investigation on which they were premised arguably bear on Plaintiff's claims that she was not selected to serve as the Chief Executive Officer ("CEO") of Saint Elizabeths and, after having served as the interim CEO, was not reinstated to her prior position as Chief Clinical Officer because of her race and sex and because she had engaged in protected equal employment opportunity activity. Dkt. 1 at 2-3 (Compl. ¶¶ 4-5). The Auditor and CCE ("movants") have filed a joint motion to quash Plaintiff's subpoenas on three grounds. They first, and most extensively, argue that the subpoenas seek documents protected by the District's Speech or Debate Statute, D.C. Code. § 1-301.42, which is modeled on the Speech or Debate Clause of the U.S. Constitution, art. I, § 6, cl. 1. Dkt. 20 at 10-21. Second, they invoke the deliberative process privilege. Id. at 24. Third, they contend that the subpoenas are unduly burdensome and that, at a minimum, Plaintiff should be required to exhaust the ordinary discovery process before burdening non-parties. Id. at 22-25.
As explained below, the Court is unconvinced that the specific documents at issue are protected by the Speech or Debate Statute. At the same time, much of what Plaintiffs seeks might be protected by the deliberative process privilege, and it is also possible that the subpoenas are, at least in part, unduly burdensome or repetitive of discovery that Plaintiff may be able to obtain in the ordinary course. On the present record, however, movants have not carried their burden of demonstrating that any specific documents are privileged or that the subpoenas are unduly burdensome. The Court will, accordingly, deny the pending motion to quash. But, in light of the sensitivities posed by discovery seeking, among other things, notes of interviews of current and former employees expressing their candid assessment of other government employees and officials, the Court will grant movants leave to file an amended motion to quash on grounds of deliberative process privilege and undue burden supported by a more detailed showing.
I. BACKGROUND
A. Factual Background
Plaintiff Beth Gouse, a Caucasian woman, worked as a clinical psychologist at Saint Elizabeths Hospital in Washington, D.C. from 1993 until 2016. Dkt. 1 at 1-2 (Compl. ¶¶ 1-4). During her tenure at Saint Elizabeths, Dr. Gouse received a number of promotions, eventually becoming Chief Clinical Officer in 2013. Id. at 1 (Compl. ¶ 1). In June 2015, Gouse was named interim CEO of the hospital, and one month after starting her interim position, she applied for the permanent CEO
*54position. Id. (Compl. ¶ 1). In February 2016, however, the Director of the D.C. Department of Behavior Health ("DBH") informed Gouse that she had not been selected, id. at 10 (Compl. ¶ 48), and Gouse later learned that the Director had chosen another applicant, Dr. James Kyle, for the CEO position, id. at 11 (Compl. ¶ 52). When Gouse requested to return to her previous role as Chief Clinical Officer, Saint Elizabeths informed Gouse that her employment would be terminated in March 2016. Id. at 11-12 (Compl. ¶¶ 53-55).
Gouse alleges that her treatment was the result of discrimination based on race, sex, and reprisal. Id. at 2-3 (Compl. ¶ 5). She seeks to prove her case by demonstrating, in part, that Dr. Kyle, an African American male, "was not as qualified" as she was for the CEO position, id. at 2 (Compl. ¶ 2), and that the Director of DBH re-assigned several of Gouse's job duties to an African American female, Dr. Johnson, even though Dr. Johnson "had no supervisory authority to provide oversight or management of Saint Elizabeths patients," id. at 7 (Compl. ¶ 34), and was allegedly "investigated for abuse" due to her "behavior towards patients and staff," id. at 6-7 (Compl. ¶¶ 30-31).
B. The D.C. Auditor and the Auditor's Report
The Office of the District of Columbia Auditor is a position that exists pursuant to the District of Columbia's Charter. See
About three months after Plaintiff filed this lawsuit, the Auditor issued a report entitled Improving Mental Health Services and Outcomes for All: The D.C. Department of Behavioral Health and the Justice System ("Report"). See Dkt. 22 at 12-39 (excerpts of the Report).
Although the 175-page Report addresses a wide range of topics, including "[f]unding [i]ssues," "[m]ethods of [d]elivery," and "[f]orensic [p]rocesses,"
[A]s reported to CCE by several interviewees, one of the most notable actions by the current Directors was their termination of and request for the resignation of several members of DBH and [Saint Elizabeths Hospital] upper management who had helped see the Department through significant improvements, including exiting federal oversight. For example, in early 2016, the Mayor and the Director of DBH replaced the interim CEO [Gouse], a forensic psychologist with 20 years of experience at the hospital who had helped see the hospital through the U.S. Department of Justice (DOJ) oversight, with a candidate who seriously misrepresented his credentials and was not qualified for the position. In fact, D.C. regulators had previously found the candidate unqualified to work at the University of the District of Columbia as the "[Registered Nurse] director of nursing for non-credit programs," a position to which the Executive Office of the Mayor also appointed him.
Almost everyone with whom CCE spoke raised concerns about the management style and behavior of the Director of DFS. Current and former DBH staff, stakeholders, CSA staff, and consumer advocates described the management style and behavior as "vindictive," "punitive," "volatile," and "adversarial." Many expressed concerns about the number of staff and patient complaints filed against the Director. Many DFS staff agreed to speak with CCE only on the condition of anonymity, asserting a fear of retribution from the DFS Director.
....
Moreover, after investigating six complaints filed against the Director in 2008 ranging from lack of professional deportment to verbal abuse of staff and patients, DBH's Office of Accountability issued a 10-page report that reached the following conclusions:
... the overall findings of this report support the position that [the current Director of DFS] behaved in a manner towards patients and staff members that could reasonably be considered to be argumentative, loud, offensive, abusive, and unprofessional....
*56Despite the findings of that report, the Director of DFS was promoted to their current position. Court records further show that in FY 2017, the Director of DFS was the target of two Equal Employment Opportunity (EEO) complaints, which DBH asserted were both unsubstantiated.
C. Procedural History
After discovery commenced, Plaintiff served subpoenas on both CCE and the Auditor. The subpoena served on the Auditor sought thirteen categories of records, Dkt. 20-2 at 6-8, and the subpoena directed to CCE sought "[c]ommunications and documents that relate to the allegations and findings contained" in the above sections of the report, "including [their] investigative report, notes, witness statements, interviews, etc.," Dkt. 20-3 at 1. Subsequently, as part of the meet and confer process, Plaintiff agreed to narrow the Auditor's subpoena to seek the same documents she seeks from CCE. Dkt. 22 at 41.
CCE and the Auditor move to quash the subpoenas pursuant to Fed. R. Civ. P. 26(b)(1) and 45(d)(3), on grounds of the District's Speech or Debate Statute, the deliberative process privilege, and undue burden. Dkt. 20.
II. LEGAL STANDARD
Federal Rule of Civil Procedure 45 mandates that a district court quash an otherwise valid third-party subpoena if the subpoena "requires disclosure of privileged or other protected matter, if no exception or waiver applies" or "subjects a person to undue burden." Fed. R. Civ. P. 45(d)(3)(A)(iii)-(iv). In considering whether a subpoena subjects a person to an "undue burden," courts must also consider Rule 26, which provides, in relevant part, that parties may seek "discovery regarding any nonprivileged matter that is relevant to any party's claim or defense and proportional to the needs of the case." Fed. R. Civ. P. 26(b)(1). "If a subpoena compels disclosure of information that is not properly discoverable, then the burden it imposes, however slight, is necessarily undue." AF Holdings, LLC v. Does 1-1058 ,
III. ANALYSIS
The Auditor and CCE move to quash the subpoenas at issue on three grounds. First, they argue that they are entitled to legislative immunity under the District's Speech or Debate Statute. Second, they contend that the documents are protected from disclosure under the deliberative process privilege. Third, they argue that the subpoenas are unduly burdensome. The Court will address each argument in turn.
A. Legislative Immunity
1. The District's Speech or Debate Statute
Movants devote the bulk of their motion to the contention that the subpoenas seek discovery of documents that are protected by the D.C. Speech or Debate Statute. Dkt. 20 at 4. That statute provides: "For any speech or debate made in the course of their legislative duties, the members of the Council shall not be questioned in any other place." D.C. Code. § 1-301.42. As the text reflects, the statute is "modelled upon the 'speech and debate' clause of the Constitution of the United *57States," Gross v. Winter ,
The Framers adopted the Speech or Debate Clause to "reinforc[e] the separation of powers" by "insur[ing] that the legislative function ... allocate[d] to Congress may be performed independently." Eastland v. U.S. Servicemen's Fund ,
"The 'broad' reading given to the Speech or Debate Clause, however, is not boundless." Williams v. Johnson ,
The D.C. Circuit has articulated a "nonexhaustive list" of protected actions, including, "at the least ... delivering an opinion, uttering a speech, or haranguing in debate; proposing legislation; voting on *58legislation; making, publishing, presenting, and using legislative reports; authorizing investigations and issuing subpoenas; and holding hearings and introducing material at Committee hearings." Jewish War Veterans of the U.S., Inc. v. Gates ,
With this framework in mind, the Court now turns to the D.C. Auditor's report.
2. The Documents Used to Draft the Auditor's Report
The subpoenas at issue here seek notes, witness statements, interviews, and other documents that relate to the findings contained on pages 32-36 of the Report. According to movants, these documents are just the type of materials that are protected by the D.C. Speech or Debate Statute. Although the Court assumes (but need not decide) that some of the materials collected or created in the course of preparing the Report are protected, it is not convinced that the specific findings presently at issue implicate the Speech or Debate Statute.
Movants first contend that because "[t]he Auditor is a component of the legislative branch of the District government[,] its investigations are ... inherently tied to the legislative process" and thus immune from discovery. Dkt. 25 at 2. As they correctly observe, the Report declares that the "mission" of the Office of the District of Columbia Auditor "is to support the Council of the District of Columbia by making sound recommendations that improve the economy, efficiency, and accountability of the District government." Dkt. 22 at 13; see also Dkt. 25 at 2 (quoting Auditor's Policy and Procedure Manual at 2-3) (noting that the Auditor is required to "[s]upport the Council of the District of Columbia in its legislative and oversight roles with timely and comprehensive audits and special reports that help the Council make sound policy and protect the District's financial health"). The statute creating the Office of the District of Columbia Auditor, moreover, vests the Chairman of the Council with the authority to appoint the Auditor, subject to the approval of a majority of the Council.
This, however, tells only part of the story. To be sure, the Auditor at times-and, perhaps, most of the time-operates on behalf of the Council, conducting audits and preparing reports to aid the Council in the discharge of its legislative duties. But the Auditor's statutory charge extends beyond that: the Auditor is also required to "submit h[er] audit reports to the ... the Mayor," to include information and comments in those reports that she deems "necessary to keep" the Mayor apprised about the "operations to which the reports relate," and to make recommendations to the Mayor as she "deem[s] advisable." D.C. Code. § 1-204.55(d). After receiving such a recommendation, moreover, the Mayor is required to "state in writing to the Council ... what action [s]he has taken to effectuate the recommendation[.]"
That is precisely what the Auditor did in this case-she made recommendations to both branches of the D.C. government. As movants stress, and as Plaintiff concedes, the Report includes numerous recommendations to the Council. Dkt. 25 at 2-3 & n.2. The Report, for example, recommends that the Council "elevat[e] the position of Director of DFS to that of a mayoral-level appointment," Report at 7, "increas[e] DFS funding,"
What matters for present purposes is whether the Auditor was acting in the "legislative sphere" (or as an extension of the Council) with respect to the narrow slice of the investigation and Report that interests Plaintiff. The relevant findings and recommendations show that she was not. The Auditor's discussion of the Mayor and DBH's decision to "replace" Plaintiff as CEO of Saint Elizabeths Hospital, notwithstanding her "20 years of experience at the hospital," for example, contains no legislative recommendations or proposals. Dkt. 22 at 32-34. It, instead, questions the judgment of "the current director" of DBH in making particular decisions relating to the "termination of and request for the resignation of several members of DBH and [Saint Elizatheths Hospital] upper management," and it recommends that the *60Executive Office of the Mayor "conduct a thorough review of the performance of the current Director of DBH."
Movants contend that the lack of any legislative recommendation or proposal relating to these findings is not dispositive because the Report does include legislative recommendations that "subsume[ ] the entirety of the report." Dkt. 25 at 4. They stress, in particular, that the Report makes the broad recommendations that the "Council require DBH to produce strategic plans addressing the systemic and institutional failures mentioned in this and other reports," and that the "Council require DBH to produce annual reports detailing progress in carrying out those plans." Dkt. 25 at 4 (quoting Report at 27). The suggestion that DBH be required to produce, and to follow, a "strategic plan," however, bears no discernible relationship to the Report's findings regarding the deficient hiring decisions that interest Plaintiff. As the commentary accompanying the "strategic plan" recommendation explains, these recommendations are intended to address "systemic and institutional failures pertaining to justice-involved consumers that have persisted for years, including DBH's inability to stem the flow of forensic inpatient admissions for [Saint Elizabeths Hospital] for competency evaluations and restoration, to improve forensic outpatient programs, and to provide for the timely discharge of patients within the most integrated, least-restrictive appropriate setting." Report at 27. A "strategic plan" is necessary, according to the Report, because, after years of "judicial and [Department of Justice] oversight ... DBH has largely functioned reactively, responding to standards established by others."
Movants also argue that the absence of any legislative proposal or response to an investigation does not take the investigation outside the legislative sphere. That assertion is undoubtedly correct-and, indeed, the Court assumes that most legislative investigations do not ultimately lead to legislation. Framed in this manner, however, movants' argument begs the question whether the investigation fell within the legislative sphere to start. In support of their argument, movants point to this Court's decision in Williams v. Johnson ,
In most cases, deciding which side of the line an investigation falls upon will not be difficult. In Williams , for example, the investigation was both initiated and conducted by a councilmember and his staff, and it was unrelated to any executive function. Here, however, the analysis is not so easy because the Auditor is charged by statute with making recommendations both to the Council and to the Mayor, and because the investigation and Report supported both legislative and executive functions. There is no basis to conclude, moreover, that the relevant portions of the investigation and the Report were "undertaken within the 'legislative sphere.' " All. for Glob.Justice ,
Movants attempt to counter this by noting that, "[d]uring the pendency of the investigation," they "made preliminary information available to Councilmember[s]" Gray and Allen; that upon release of the Report, they "transmitted it directly to Councilmembers Gray and Allen, who then held a joint oversight hearing;" that during the hearing, "CCE appeared and responded *62to questions on behalf of the Auditor and there was extensive discussion of the Report's findings;" and that "[t]hose findings were further addressed at DBH's subsequent budgetary hearings before the Council's Committee on Health, at which CCE again reported on and answered questions regarding the Report." Dkt. 25 at 6-7. There is no dispute, however, that portions of the investigation and Report fall within the "legislative sphere." But because the Report covered both legislative and executive ground, the Court must decide whether the portions of the investigation and Report that Plaintiff seeks fall within that sphere, and the Auditor and CCE fail to offer any evidence that they do. The "preliminary information" made available to members of the Council, for example, addressed "current and past year commitments and spending by the Department of Behavioral Health," and offered "to set up a briefing ... on the project on DBH underway by" CCE. Dkt. 20-5 at 1-2. Nothing in that correspondence or otherwise in the record includes any mention of the portions of the investigation and Report at issue here. Nor do movants point to any discussion of the relevant issues at the oversight or budgetary hearings. Although movants provide timestamps in a thirteen-hour video of the joint oversight committee and a six-hour video of the budget oversight hearing, the cited portions of the hearings feature CCE staff presenting high-level findings and policy recommendations. See Dkt. 25 at 6-7. If other portions of the hearings addressed the aspects of the Report at issue here, movants have not identified those portions for the Court.
Finally, movants' efforts to distinguish this Court's decision in Payne v. District of Columbia ,
According to movants, Payne is inapposite for two reasons. First, "the investigation here was undertaken primarily for the benefit of the Council in the performance of its legislative responsibilities and ... only 'part of the audit report objectives involve[ ] recommendations for the executive branch.' " Dkt. 25 at 7 (quoting Dkt. 22 at 6 n.4). But that argument amounts to little more than ipse dixit, and, in fact, a large portion of the Report-including the portion at issue here-involved recommendations for the executive branch. Second, movants contend that the recommendations at issue here "in no way represent an effort to 'cajole' specific agency action with respect to a particular matter, as opposed *63to the more general 'pursu[it of] legislative business.' " Id. at 8 (quoting Payne ,
Finally, movants contend that the recommendations at issue here might well entail legislative action. They assert, for example, that implementing the recommendations that the Executive Office of the Mayor review the performance of the current Director of DBH and the performance of DFS management would "require Council funding and implementing legislation at the outset." Dkt. 25 at 8. All executive action, to be sure, requires funding. But the Report contains no suggestion that any special funding would be required to permit the Mayor to review the performance of the identified officials, and it proves too much to suggest that every executive action-or recommendation for executive action-falls within the legislative sphere merely because the action requires the executive to use generally available appropriations. Nor is the Court convinced that the recommendations are legislative in nature because the Council might decide to legislate "in the event the executive fails to take" the recommended "action."
Most fundamentally, the question for the Court is whether the subpoenas even remotely threaten "the integrity of the legislative process" or the "independence" of the Council to investigate and legislate as it sees fit. Brewster , 408 U.S. at 507,
The Court, accordingly, must reject movants' invocation of legislative immunity to quash the subpoenas in their entirety.
B. Deliberative Process Privilege and Undue Burden
That conclusion, however, does not end the Court's inquiry. Movants make two additional arguments, albeit only briefly. First, they invoke the deliberative process *64privilege as alternative grounds for quashing the subpoena. Second, they argue that-regardless of any specific privilege-the subpoena is overly burdensome. As the record currently stands, however, the Court lacks sufficient information to determine whether either objection applies.
The deliberative process privilege protects "documents 'reflecting advisory opinions, recommendations and deliberations comprising part of a process by which governmental decisions and policies are formulated.' " N.L.R.B. v. Sears, Roebuck & Co. ,
Movants stress that courts have applied the deliberative process privilege to governmental entities that perform investigative and recommendatory functions similar to those performed by the D.C. Auditor, including the Government Accountability Office (GAO)-the office on which the Office of the Auditor is modelled. See Ctr. For Medicare Advocacy, Inc. v. U.S. Dep't of Health & Human Servs. ,
The Court does not doubt that some-and conceivably all-of the subpoenaed documents fall within the deliberative process privilege. "[T]he deliberative process privilege," however, "does not protect documents in their entirety," and, "[f]or the ... privilege to apply, the material must be 'predecisional' and 'deliberative.' " Loving v. Dep't of Defense,
Based on this submission, the Court cannot determine whether all of the documents at issue reflect predecisional deliberations and whether portions of any such documents can be redacted. Do notes of a conversation with a former employee, for example, reflect internal, agency deliberations? Are the interview notes verbatim or do they include the deliberative impressions of the interviewer? If so, are there portions of the notes that can be produced that do not reflect those impressions? Why are notes of a court hearing deliberative? Are there any responsive documents other than "notes" taken by the CCE investigators? Without answers to these and similar questions, the Court cannot determine which documents, and which portions of those documents, are potentially privileged.
The same is true with respect to movants' contention that the subpoenas are unduly burdensome. The Court can understand the argument, for example, that it would "unduly" burden the auditor to require compliance because "interviews were conducted with the assurance of confidentiality," and releasing the "notes to the Plaintiff, and potentially the public, will likely diminish [the Auditor's] ability to acquire information for future audits." Dkt. 25-1 at 2 (Patterson Decl. ¶ 8). Movants do not indicate, however, which witnesses affirmatively requested confidentiality or whether portions of the notes could be produced with names redacted or pursuant to a suitable protective order. They do not explain whether or how this rationale extends to notes of a court hearing. And neither movants nor Plaintiff address whether the information at issue is "unreasonably cumulative or duplicative, or can be obtained from some other source that is more convenient, less burdensome, or less expensive." Fed. R. Civ. P. 26(b)(2)(C).
These considerations are particularly important when considering the potential "unwanted burden thrust upon non-parties." Watts v. S.E.C. ,
The Court is mindful of the sensitivities posed by Plaintiff's discovery requests. Accordingly, although the current record cannot support movants' request that the Court quash the subpoenas, the Court will allow movants to re-file an amended motion that is supported by a more detailed showing.
CONCLUSION
It is hereby ORDERED that the joint motion to quash Plaintiff's subpoena, Dkt. 20, is hereby DENIED . Movants shall meet and confer with Plaintiff within 14 days and, if unable to reach a resolution, they may refile an amended motion to *66quash within 28 days. It is further ORDERED that Plaintiff and movants shall appear for a status conference on February 4, 2019, at 10:00 a.m. in Courtroom 21 to address the issues left open by this decision.
SO ORDERED .
The Court takes judicial notice of the report, Improving Mental Health Services and Outcomes for All: The D.C. Department of Behavioral Health and the Justice System , available at http://dcauditor.org/wp-content/uploads/2018/09/DBH.Report.2.26.18.pdf (hereinafter "Report"). Although the entire report was not filed with the Court, both parties cite to portions of the report, and there is no reason to doubt the authenticity of the full report contained on the Auditor's website.
The statute also contemplates that the Auditor will provide information and make recommendations to the U.S. Congress. That duty, however, is not at issue in this case.
Reference
- Full Case Name
- Beth GOUSE v. DISTRICT OF COLUMBIA
- Cited By
- 1 case
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- Published