Opinion
Case No. 1:11-cv-01271-SAB
2013-10-18
BENJAMIN C. OYARZO and NICHOLAS HART, Plaintiffs, v. TUOLUMNE FIRE DISTRICT, KENNETH HOCKETT, and TONEY POWERS, Defendants.
ORDER ON PARTIES' MOTIONS IN
LIMINE
(ECF Nos. 153, 154, 163, 164)
I.
INTRODUCTION
Following resolution of Defendants' motion for summary judgment this action is proceeding against Defendant Tuolumne Fire District ("TFD") on Plaintiff Oyarzo's claim for violation of the Fair Labor Standards Act ("FLSA") by failing to compensate him for all hours worked; and on Plaintiff Hart's claims against Defendants TFD, Hockett and Powers for violation of the First Amendment for his support of Plaintiff Oyarzo, and against Defendant TFD for retaliation in violation of California Labor Code section 6310 and violation of the Firefighter's Procedural Bill of Rights ("FPBR"). This action is set for trial on December 3, 2013.
Plaintiff Oyarzo has abandoned his claim against Defendant TFD for violation of the FPBR. (Joint Pretrial Statement 18, ECF No. 140.)
On September 24, 2013, Defendants and Plaintiffs each filed motions in limine. (ECF Nos. 153, 154.) A motion in limine hearing was held on October 15, 2013. At the hearing, Counsel Shannon Siebert and Joseph Bautista appeared for Plaintiffs and counsel J. Anthony Abbott and Johanne Medina appeared for Defendants.
II.
LEGAL STANDARD
A party may use a motion in limine to exclude inadmissible or prejudicial evidence before it is actually introduced at trial. See Luce v. United States, 469 U.S. 38, 40 n.2 (1984). "[A] motion in limine is an important tool available to the trial judge to ensure the expeditious and evenhanded management of the trial proceedings." Jonasson v. Lutheran Child and Family Services, 115 F.3d 436,440 (7th Cir. 1997). A motion in limine allows the parties to resolve evidentiary disputes before trial and avoids potentially prejudicial evidence being presented in front of the jury, thereby relieving the trial judge from the formidable task of neutralizing the taint of prejudicial evidence. Brodit v. Cambra, 350 F.3d 985, 1004-05 (9th Cir. 2003).
Motions in limine that exclude broad categories of evidence are disfavored, and such issues are better dealt with during trial as the admissibility of evidence arises. Sperberg v. Goodyear Tire & Rubber, Co., 519 F.2d 708, 712 (6th Cir. 1975). Additionally, some evidentiary issues are not accurately and efficiently evaluated by the trial judge in a motion in limine and it is necessary to defer ruling until during trial when the trial judge can better estimate the impact of the evidence on the jury. Jonasson, 115 F.3d at 440.
III.
DISCUSSION
A. Plaintiffs' Motions in Limine
Plaintiffs bring twelve motions in limine to exclude evidence at the trial of this matter.
1. Plaintiffs' Motion in Limine No. 1
Plaintiffs' motion in limine no. 1 seeks to exclude non-party witnesses from the courtroom. Defendants respond that they intend to have each named defendant and a representative of Defendant TFD at trial each day, and request that the representative from TFD be allowed to alternate if necessary should the designated representative be unavailable due to work obligations or conflicts in their schedule.
Federal Rule of Evidence 615 provides that "[a]t a party's request, the court must order witnesses excluded so that they cannot hear other witnesses' testimony." The rule does not authorize excluding a designated representative for a party that is not a natural person. Fed. R. Evid. 615(b). Accordingly, Plaintiff's motion in limine no. 1 is GRANTED. Defendant TFD shall be required to designate a representative and should that representative be unavailable, the Court will allow Defendant TFD, upon a showing that the designated representative is justifiably unavailable, to have an alternate representative designated.
2. Plaintiffs' Motion in Limine No. 2
Plaintiffs' motion in limine no. 2 seeks to exclude evidence that Plaintiffs received income from collateral sources. Plaintiffs claim that Plaintiff Oyarzo's receipt of unemployment benefits and Plaintiff Hart's receipt of unemployment and workers compensation benefits are collateral sources and may not be introduced into evidence. Defendants respond that they do not intend to introduce any evidence of unemployment or workers compensation benefits, however do intend to introduce treatment and examination reports.
Plaintiff's motion in limine no. 2 is GRANTED and evidence of unemployment and workers compensation payments shall be excluded at trial. However, Defendants shall be allowed to introduce medical evidence derived from the workers compensation claim as relevant to the claims proceeding here.
3. Plaintiffs' Motion in Limine No. 3
Plaintiffs' motion in limine no. 3 seeks to exclude evidence of each Plaintiffs' application to the California Employment Development Department ("EDD"). Plaintiffs argue that Defendant TFD received the notices from the EDD and they are not confidential.
California Unemployment Insurance Code section 1094(a) provides that "the information obtained in the administration of this code is confidential, not open to the public, and shall be for the exclusive use and information of the director in discharge of his or her duties." Further, the Code provides that "the information released to authorized entities pursuant to other provisions of the code shall not be admissible in evidence in any action or special proceeding, other than one arising out of the provisions of this code or one described in Section 1095." Cal. Unempl. Ins. Code § 1094(b).
Plaintiffs filed this action which challenges their compensation and termination. Under California law a waiver of a right may occur "(1) by an intentional relinquishment or (2) as 'the result of an act which, according to its natural import, is so inconsistent with an intent to enforce the right as to induce a reasonable belief that such right has been relinquished." Crest Catering Co. v. Superior Court of Los Angeles County, 62 Cal.2d 274, 278 (1965) (quoting Rheem Mfg. Co. v. United States, 47 Cal.2d 621, 626 (1962)). In this instance, Plaintiffs filed this action placing their termination and compensation at issue. Filing this action challenging their termination is an act inconsistent with the intent to enforce the privacy right in Plaintiffs' unemployment claims.
Further, the Court notes that the evidence Plaintiffs seek to exclude is a notice that is designed to be provided to the employer by the Employment Development Department when an employee files a claim for unemployment benefits. The Court finds that no privacy right exists in these documents.
Plaintiffs' motion in limine to exclude their applications to the EDD based upon the right to privacy is DENIED.
4. Plaintiffs' Motions in Limine No. 4
Plaintiffs' motion in limine no. 4 seeks to exclude evidence of complaints against Plaintiff Oyarzo by other employees in 2010. Defendants contend that the allegations are relevant to show that Plaintiff Oyarzo did not work the hours that he is claiming to have worked and to show his disillusionment with Defendant TFD and his motive for post-employment fabrication of his claims. Additionally, Defendants contend that the complaints are relevant to Plaintiff Hart's First Amendment claim to show that Plaintiff Hart did not claim the treatment of Plaintiff Oyarzo was illegal, nor did he have a reasonable belief that the treatment was illegal, and the speech was not a matter of public concern. Defendants argue the complaints are relevant to show that the issues involved were individual personnel disputes and grievances, internal power struggles within the workplace, and disputes concerning management styles that are not protected by the First Amendment.
During the motion in limine hearing the parties argued whether the issue of Plaintiff Hart's motivation or belief is an issue to be decided by the Court or the trier of fact and the parties were ordered to submit further briefing. The Court will address this issue by separate order upon review of the further briefing.
The Court finds that the evidence sought to be excluded in this instance is not accurately and efficiently evaluated in a motion in limine and it is necessary to defer ruling until during trial. Jonasson, 115 F.3d at 440. Plaintiffs' motion in limine no. 4 is DENIED.
5. Plaintiffs' Motion in Limine No. 5
Plaintiffs' motion in limine no. 5 seeks to exclude evidence that Plaintiff Oyarzo or other employees visited adult dating websites. Defendants contend that the improper use of the work computer goes to the substance of the complaints against Plaintiff Oyarzo. Defendants argue this evidence goes to the management style and misconduct of Plaintiff Oyarzo that was at the substance of the complaints and will be used to show that Plaintiff Hart did not speak on a matter of public concern.
"The court may exclude relevant evidence if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence." Fed. R. Evid. 403. The Court finds that the risk of unfair prejudice and confusing the issues by introducing evidence that Plaintiff Oyarzo or other employees visited adult dating websites outweighs any potential relevance to the issues proceeding in this action. Accordingly, Plaintiff's motion in limine no. 5 is GRANTED.
6. Plaintiffs' Motion in Limine No. 6
Plaintiffs' motion in limine no. 6 seeks to exclude evidence to support defenses that were not pled by Defendants in their answer to the complaint. Plaintiff contends that Defendants raised for the first time in the motion for summary judgment the defenses of unclean hands, equitable estoppel, and in pari delicto. Additionally, at the pretrial conference on September 20, 2013, Defendants raised the issue of a defense based upon a managerial exemption for the first time. Plaintiffs contend that they will suffer prejudice because the issues were raised after discovery in this action closed and therefore they were not allowed to conduct discovery on these issues.
Defendants respond that Plaintiffs have had notice that they intended to introduce such defenses and will not be prejudiced by the presentation of the defenses at trial. Defendants state that they only intend to introduce a jury instruction on the affirmative defense of estoppel and Plaintiffs have received fair notice because from the beginning of discovery the issues that Plaintiff Oyarzo was the Fire Chief, had responsibility for ensuring that all hours worked were recorded, his responsibility for payroll, and that he did not record the hours he now claims to have worked have been addressed in the written discovery and depositions that have been taken.
Federal Rule of Civil Procedure 8(b)(c)(1) provides that "[i]n responding to a pleading, a party must affirmatively state any avoidance or affirmative defense. . . ." In Owens v. Kaiser Foundation Health Plan, Inc., 244 F.3d 708 (9th Cir. 2001), the Ninth Circuit recognized that the requirement that defendants raise their affirmative offenses in their initial pleadings has been liberalized. Id. at 713. "The key to determining the sufficiency of pleading an affirmative defense is whether it gives plaintiff fair notice of the defense." Simmons v. Navajo County, Ariz., 609 F.3d 1011, 1023 (9th Cir. 2010) (citations omitted).
While Rule 8 requires that affirmative defenses be pled in the responsive pleading, the court has discretion to allow an affirmative defense to be raised in a subsequent motion if it does not prejudice the plaintiff. Simmons, 609 F.3d at 1023 (allowing affirmative defense where facts were alleged in motion to amend answer to place plaintiff on notice of the claimed defense).
a. Equitable Estoppel
The Court has reviewed Defendants affirmative defenses set forth in the amended answer filed April 12, 2013. (ECF No. 60.) The amended answer is devoid of any mention of the defenses of unclean hands, equitable estoppel, and in pari delicto or facts to support such defenses. Defendants conceded at the hearing that neither these defenses, nor facts to support them, were included in their amended answer. While Defendants raised these issues in the motion for summary judgment and Plaintiffs did not object at that time, Defendants did not move to file an amended answer to correct this deficiency in the pleading.
Supreme Court decisions addressing the FLSA "have frequently emphasized the nonwaivable nature of an individual employee's right to a minimum wage and to overtime pay under the Act." Barrentine v. Arkansas-Best Freight System, Inc., 450 U.S. 728, 740 (1981). Thus, the Supreme Court has held that "FLSA rights cannot be abridged by contract or otherwise waived because this would 'nullify the purposes' of the statute and thwart the legislative policies it was designed to effectuate." Barrentine, 450 U.S. at 740 (citations omitted).
In Forrester v. Roth's I.G.A. Foodliner, Inc., 646 F.2d 413, 414 (9th Cir. 1981), the Ninth Circuit declined to address the issue of whether estoppel is an affirmative defense to an action under the FLSA. Forrester, 646 F.2d at 414. The appellate court affirmed the granting of a motion for summary judgment on the basis that an employer who is aware that an employee is working uncompensated overtime "cannot stand idly by and allow an employee to perform overtime work without proper compensation, even if the employee does not make a claim for the overtime compensation." Id. However, the court also found that"[w]here an employer has no knowledge that an employee is engaging in overtime work and that employee fails to notify the employer or deliberately prevents the employer from acquiring knowledge of the overtime work, the employer's failure to pay for the overtime hours is not a violation of [Section] 207." Id.
During the motion in limine hearing, Defendants made an oral motion to amend their answer at this time to add the affirmative defense of estoppel. "Rule 15(a) is very liberal and leave to amend 'shall be freely given when justice so requires.'" Amerisource Bergen Corp. v. Dialysis West, Inc., 465 F.3d 946, 951 (9th Cir. 2006) (quoting Fed. R. Civ. P. 15(a)). However, courts "need not grant leave to amend where the amendment: (1) prejudices the opposing party; (2) is sought in bad faith; (3) produces an undue delay in the litigation; or (4) is futile." Id. The factor of "'[u]ndue delay by itself . . . is insufficient to justify denying a motion to amend.'" Owens v. Kaiser Foundation Health Plan, Inc., 244 F.3d 708, 712 (9th Cir. 2001) (quoting Bowles v. Reade, 198 F.3d 752, 757-58 (9th Cir. 1999)).
In this instance, the Court finds that Plaintiff would be prejudiced by allowing Defendants to proceed on a theory of estoppel asserted this late in the action. Discovery in this action closed on March 15, 2013. (Amended Scheduling Order 1, ECF No. 42.) Defendants raised the issue for the first time in their motions for summary judgment which were filed in April 2013, after the discovery cut-off date. Allowing Defendants to amend their answer at this stage in the proceedings would require reopening discovery on this issue and would require the trial, currently set for December 3, 2013, to be vacated causing undue delay in the litigation.
Additionally, since Defendants are seeking to amend the answer after the deadline established by the scheduling order, granting the relief requested requires modification of the scheduling order. Modification of a scheduling order requires a showing of good cause, Fed. R. Civ. P. 16(b), and good cause requires a showing of due diligence, Johnson v. Mammoth Recreations, Inc., 975 F.2d 604, 609 (9th Cir. 1992). If the party seeking to amend the scheduling order fails to show due diligence the inquiry should end and the court should not grant the motion to modify. Zivkovic v. Southern California Edison, Co., 302 F.3d 1080, 1087 (9th Cir. 2002). To allow a modification of the scheduling order without good cause would render scheduling orders essentially meaningless, and directly interfere with courts' attempts to manage their dockets and with the standard course of litigation in actions such as this. Johnson, 975 F.2d at 610 ("A scheduling order is not a frivolous piece of paper, idly entered . . . ." (internal quotations and citation omitted)).
Pursuant to the November 1, 2012 scheduling order, the motion to amend should have been filed by March 15, 2013. Defendants were aware of this affirmative defense in April 2013 when the motions for summary judgment were filed, but did not move to amend the answer until the motion in limine hearing on October 15, 2013. Defendants have failed to demonstrate due diligence and the motion to amend the answer is denied.
Plaintiff Oyarzo's motion in limine to preclude the affirmative defense of estoppel is GRANTED.
b. Plaintiff Oyarzo's position as management
Plaintiff Oyarzo also seeks to exclude the defense that Plaintiff Oyarzo was management. Defendants contend that they seek to introduce a "novel facts where Oyarzo acted for the 'employer' for the purposes of the FLSA."
To the extent that Defendants appear to be arguing a new exception to the FLSA they have presented no legal authority for such an exception and the law is clear that the overtime provisions of the FLSA cannot be waived by an employee. Barrentine, 450 U.S. at 740. Plaintiff's motion in limine is GRANTED as the proposed "management exception" does not exist under the FLSA. However, these rulings do not preclude Defendants from offering evidence that Plaintiff Oyarzo did not inform them he was working overtime or of Plaintiff Oyarzo's duties in respect to scheduling employees' shifts or processing payroll.
7. Plaintiffs' Motion in Limine No. 7
Plaintiffs' motion in limine no. 7 seeks to exclude the introduction of evidence to support defenses that do not exist as a matter of law.
a. Plaintiff Oyarzo's Motion
Plaintiffs contend that Defendants intend to introduce evidence that Plaintiff Hart intended to volunteer his time and that he is not entitled to paid due to his position in management, and these are not defenses to a claim for unpaid wages under the FLSA. Defendants respond that evidence that Plaintiff Oyarzo did not consider the activities he now claims were not compensated to be compensable at the time that he engaged in them support Defendant TFD's position.
i. Evidence that Plaintiff Oyarzo volunteered his services
An employer is required to pay overtime when he "suffers" or "permits" an employee to work in excess of 40 hours. 29 U.S.C. §§ 203(g), 207(a). The terms "suffer" or "permit" have been interpreted to require knowledge by the employer. Lindow v. U.S., 738 F.2d 1057, 1060 (9th Cir. 1984) (citing Fox v. Summit King Mines, 143 F.2d 926 (9th Cir. 1944)). Therefore, when an employer knows or should have known that an employee is or was working overtime, the employer must comply with the provisions of section 207. Forrester, 646 F.2d at 414. However, the definition of employee is "not intended to stamp all persons as employees who, without any express or implied compensation agreement, might work for their own advantage on the premises of another," nor should it be interpreted so as to "sweep under the Act each person who, without promise or expectation of compensation, but solely for his personal purpose or pleasure, work[s] in activities carried on by other persons either for their pleasure or profit." Walling v. Portland Terminal Co., 330 U.S. 148, 152, 67 S.Ct. 639, 91 L.Ed. 809 (1947).
For example, if an individual is a "volunteer" instead of an "employee," Congress created an exemption to the FLSA's coverage applicable in the public employment context. In particular, Congress provided that "any individual who volunteers to perform services for a public agency" is exempt from FLSA coverage if:Purdham v. Fairfax County School Bd., 637 F.3d 421, 427-28 (4th Cir. 2011).
(i) the individual receives no compensation or is paid expenses, reasonable benefits, or a nominal fee to perform the services for which the individual volunteered; and (ii) such services are not the same type of services which the individual is employed to perform for such public agency.
29 U.S.C. § 203(e)(4)(A). Thus, where a public employee engages in services different from those he or she is normally employed to perform, and receives "no compensation," or only a "nominal fee," such work is exempt from the FLSA and the public employee is deemed a volunteer.
The FLSA does not itself define "volunteer," but pursuant to a Department of Labor regulation promulgated under the FLSA, a "volunteer" is an "individual who performs hours of service for a public agency for civic, charitable, or humanitarian reasons, without promise, expectation or receipt of compensation for services rendered." 29 C.F.R. § 553.101(a). At the same time, "[v]olunteers may be paid expenses, reasonable benefits, a nominal fee, or any combination thereof, for their service without losing their status as volunteers." 29 C.F.R. § 553.106(a). It is critical that the facts show the volunteer offers his or her services "freely and without pressure or coercion, direct or implied, from an employer." 29 C.F.R. § 553.101(c). Finally, an individual may not be deemed a "volunteer" if the individual is "otherwise employed by the same public agency to perform the same type of services as those for which the individual proposes to volunteer." 29 C.F.R. § 553.101(d). This latter provision reflects the unmistakable intention of the Department of Labor (and no doubt of Congress) to prohibit "any manipulation or abuse of minimum wage or overtime requirements through coercion or undue pressure upon individuals to 'volunteer' their services." 29 C.F.R. § 553.101(b).
In this instance, the Court is unable to determine whether the time allegedly not compensated would fall under the volunteer exception of the FLSA. The Court finds that the issue of whether Plaintiff Oyarzo's time was volunteered is an issue that will need to be addressed in the context of the trial of this action. Accordingly, Plaintiffs' motion in limine to preclude Defendants from presenting evidence that Plaintiff Oyarzo was working as a volunteer is DENIED without prejudice.
ii. Evidence that Plaintiff Oyarzo did not intend to be paid for the activities
The purpose of the FLSA requires it to be applied even when individuals decline its protection. Tony and Susan Alamo Foundation v. Secretary of Labor, 471 U.S. 290, 302 (1985). The issue here is not whether Plaintiff Oyarzo considered the activities that he was engaged in to be compensable but, as discussed above, whether Plaintiff Oyarzo's activities were the same type of services for which he was paid to perform. 29 C.F.R. § 553.101(d).
Accordingly, Plaintiffs' motion in limine no. 7 is GRANTED in part, and Defendants are precluded from introducing evidence that Plaintiff Oyarzo did not believe the activities were compensable or intend to be paid for the overtime hours at issue here absent a showing that the activities in which he was engaged were not of the same type for which he was paid to perform.
iii. Evidence that a management exemption applies to Plaintiff Oyarzo
Defendants appear to contend that Plaintiff Oyarzo was management and was therefore responsible to report his time. An executive exception to the FLSA applies to executive employees who are 1) paid on a salary basis; 2) paid at a rate of not less than $455 per week; 3) primary duties consist of management of the department; and 4) the primary duty includes the customary and regular direction of the work of two or more other employees; and has authority to hire and fire other employees or whose suggestions regarding hiring, firing, or promoting other employees is given particular weight. 29 C.F.R. § 541.100; Baldwin v. Trailer Inns, Inc., 266 .3d 1104, 1112 (9th Cir. 2001).
In this instance, Plaintiff Oyarzo was not a salaried employee and therefore will not fall under the professional exemption to the FLSA. Accordingly, absent Defendants establishing such foundation, Defendants may not argue that a management exemption applies to preclude Plaintiff Oyarzo's claims. Plaintiffs' motion in limine is GRANTED to preclude Defendants from arguing that a management exemption would apply to Plaintiff Oyarzo's claims.
b. Plaintiff Hart's Motion
Additionally, Plaintiffs contend that Defendants intend to introduce allegations regarding the impropriety of Defendant Oyarzo's actions to demonstrate what Plaintiff Hart supported and how he supported it. Plaintiffs claim the allegations against Defendant Oyarzo are irrelevant to Plaintiff Hart's First Amendment claim because Defendant Hart believed that the actions against Defendant Oyarzo were illegal. Defendants contend that the evidence is relevant to show that Plaintiff Hart did not engage in protected speech or activity but on issues involving individual personnel disputes and grievances, internal power struggles within the department, and disputes concerning management styles which are not protected.
The evidence sought to be excluded in this instance is not accurately and efficiently evaluated in a motion in limine and it is necessary to defer ruling until during trial. Jonasson, 115 F.3d at 440. Accordingly, Plaintiffs' motion in limine regarding Oyarzo's actions and allegations against him is DENIED without prejudice.
8. Plaintiffs' Motion in Limine No. 8
Plaintiffs' motion in limine no. 8 seeks to exclude evidence regarding other litigation between the parties, specifically that Plaintiff Oyarzo brought a validation claim against Defendant TFD in the summer of 2010 or that Plaintiff Hart filed a Workers Compensation claim against Defendant TFD. Defendants contend that the fact that Plaintiff Oyarzo filed the validation claim is relevant as he allegedly had already worked all the hours claimed to be uncompensated overtime in this action and the fact that he did not seek overtime wages in his suit tends to show that he did not work the hours and they were not performed at Defendant TFD's request or for their benefit. Additionally, Defendants argue that Plaintiff Hart's workers compensation claim is relevant to the issue of damages he can receive should he prevail in this action.
The Court is not persuaded by Defendants argument that the validation action is relevant because Plaintiff Oyarzo should have brought his overtime claim in the same suit. The fact that Plaintiff Oyarzo filed a validation claim against Defendant TFD is not relevant to the claim that he is entitled to unpaid wages, and the Court does not find any relevance to Plaintiff Hart's claims. Further, reference to or evidence of Plaintiff Oyarzo's involvement in this prior lawsuit would be prejudicial to Plaintiff Oyarzo. See Henderson v. Peterson, No. 4:07-cv-02838-SBA (PR), 2011 WL 2838169, at *5 (N.D. Cal. July 15, 2011) ("As a general matter, unless the prior lawsuits have been shown to be fraudulent, the probative value of evidence pertaining to a plaintiff's litigation history is substantially outweighed by the danger of jury bias."). Plaintiffs' motion shall be GRANTED in respect to Plaintiff Oyarzo's validation claim.
As the Court found in the July 22, 2013 order granting Plaintiffs' motion for leave to supplement expert disclosures, evidence of Plaintiff Hart's workers compensation claim may be relevant to the damages that he is able to receive in this action. However, the workers compensation claim is not admissible to show that Plaintiff Hart is litigious and any attempt to admit the evidence for such purpose is not permissible. Plaintiffs' motion shall be DENIED in respect to Plaintiff Hart's workers compensation claim.
9. Plaintiffs' Motion in Limine No. 9
Plaintiffs' motion in limine no. 9 seeks to exclude evidence of the claims dismissed due to the granting of Defendants' motion for summary judgment. Defendants object to preclusion of this evidence in that it is still relevant to the claims that are proceeding in this action.
At the motion in limine hearing, Plaintiffs clarified that they are moving to preclude Defendants from mentioning that any claims or defendants have been dismissed from this action due to the motion for summary judgment. The fact that Defendants motion for summary judgment has been granted in respect to certain claim or defendants is irrelevant and the admission of such evidence is highly prejudicial. Accordingly, Plaintiffs' motion in limine no. 9 is GRANTED and Defendants shall not mention that claims or defendants have been dismissed from this action due to their motion for summary judgment.
10. Plaintiffs' Motion in Limine No. 10
Plaintiffs' motion in limine no. 10 seeks to exclude any reference to Plaintiffs' claim for attorney fees or expenses. Defendants do not object to this motion in limine as long as it is made reciprocal. Whether the prevailing party is entitled to an award of attorney fees or expenses following the jury's verdict in this action is irrelevant to the claims proceeding here. Accordingly, Plaintiffs' motion in limine no. 10 is GRANTED and neither party shall make any reference to attorney fees or expenses.
11. Plaintiffs' Motion in Limine No. 11
Plaintiffs' motion in limine no. 11 seeks to preclude Defendants from any reference or mention of the effect that a verdict in favor of either Plaintiff could have on the public agency. Defendants oppose this motion on the ground that Plaintiffs have not identified any evidence to be excluded and merely are requesting an order that defense counsel not engage in misconduct.
The effect that any verdict would have on TFD is irrelevant to the issue of whether Plaintiff Oyarzo is entitled to overtime pay or Plaintiff Hart was retaliated against or his rights under the FPBR were violated. Accordingly, Plaintiffs' motion in limine no. 11 is GRANTED. However, this does not preclude Defendants from presenting evidence of Defendant TFD's financial condition during the time period relevant in this action.
12. Plaintiffs' Motion in Limine No. 12
Plaintiffs' motion in limine no. 12 seeks to exclude cumulative evidence regarding Defendant TFD's financial condition. Defendants contend that Plaintiffs' motion is too broad and abstract and should be denied.
Prior to the presentation of evidence the Court is unable to rule on whether evidence is cumulative. Plaintiffs' motion in limine encompasses a matter that is appropriately raised during the trial. Accordingly, Plaintiffs' motion in limine to exclude cumulative evidence is DENIED and Plaintiff is required to object on the basis that evidence is cumulative during the trial.
B. Defendants' Motions in Limine
Defendants bring thirteen motions in limine to exclude evidence during the trial of this matter.
1. Defendants' Motion in Limine No. 1
Defendants' motion in limine no. 1 seeks to exclude the testimony of David Moore and other evidence that certain documents contain a "forged" signature of Joseph Turner or Marcie Wells. Plaintiffs contend that the introduction of the evidence is relevant to Plaintiff Hart's claims of retaliation in violation of the First Amendment as Defendants are expected to argue that the retaliation against Plaintiff Oyarzo, and by implication Plaintiff Hart, ceased in September 2010. Plaintiffs assert the documents are relevant to show that Defendants continued to retaliate against Plaintiff Oyarzo until his employment terminated.
Plaintiff Oyarzo's claims for retaliation have been dismissed from this action and, therefore, evidence that he was retaliated against are irrelevant to his claim that he was not paid for overtime hours worked. Further, "[t]he court may exclude relevant evidence if its probative value is substantially outweighed by a danger of one or more of the following: unfair prejudice, confusing the issues, misleading the jury, undue delay, wasting time, or needlessly presenting cumulative evidence." Fed. R. Evid. 403.
In this instance, the danger of confusing the issues and misleading the jury by presenting evidence of these allegedly false signatures on documents significantly outweighs any relevance that the issue could have to Plaintiff Hart's First Amendment claims. Therefore, Defendants' motion in limine no. 1 is GRANTED. To the extent that Plaintiff believes that during the trial of this matter Defendants have elicited evidence that makes this evidence relevant, the matter shall be brought up for reconsideration outside the presence of the jury.
2. Defendants' Motions in Limine to Exclude Certain Documents
Defendants' motions in limine nos. 2, 3, 5, 6, and 7 seek to exclude certain documents that show that individuals had animosity toward Plaintiffs Oyarzo or Hart. Plaintiff claims that these documents are necessary to show the defendants' motivation and is directly relevant to their credibility.
Evidence that is helpful in determining the credibility of a witness is of consequence to the determination of the action. Madrid v. Apache County, No. 03-cv-00172-PCT-RCB, 2006 WL 1273945, * 3 (D. Ariz. May 9, 2006). Evidence is relevant if it has a mere tendency to impeach a witness' credibility by a showing of bias or coercion. Id. Bias, a relationship between a party and the witness that might lead the witness to slant his testimony in favor of or against a party, is almost always relevant. United States v. Hankey, 203 F.3d 1160, 1171 (9th Cir. 2000). "Evidence tending to show a substantial reason for bias or interest in an important witness is never collateral or irrelevant." Barnard v. U.S., 342 F.2d 309, 317 (9th Cir. 1965).
However, such evidence is only admissible should the credibility of the witness be in issue. In other words, the witness would need to testify before bias would be able to be shown and the statements would only be admissible to show bias and not for the truth of the matter asserted.
a. Defendants' Motion in Limine No. 2
Defendants seek to exclude a letter written by Darlene Hutchins to Defendant Hockett on March 19, 2011, contending that it is not relevant as it merely addresses a personal conflict she had with Defendant Hockett and has no probative value in this action. Plaintiff contends that the letter is relevant because it shows that Defendant Hockett spoke with Ms. Hutchins which he denies.
The Court has reviewed the letter, which addresses a personal conflict between Ms. Hutchins and Defendant Hockett (ECF No. 164-2) and finds that it is not relevant to the issues that are proceeding in this action. Further, the personal dispute and the issues addressed by Ms. Hutchins are likely to introduce improper character evidence against Defendant Hockett and such prejudice would substantially outweigh any potential probative value.
To the extent that Plaintiff contends that this evidence is admissible to show that Defendant Hockett spoke with Ms. Hutchins regarding TFD, the only reference in the letter is that Ms. Hutchins contacted Defendant Hockett to discuss the concerns she had with him and he had with her, which is clearly a reference to the personal dispute between them. This does not contradict Defendant Hockett's statement that he did not speak with any newly elected board member regarding TFD prior to December 13, 2010. Additionally, Ms. Hutchins allegations regarding documents in Plaintiff Oyarzo's personnel file have no relevance to the claims proceeding in this action and, as discussed at Sections III.B.1 and 3, are excluded under Rule 403. Accordingly, Defendants' motion in limine to exclude the letter written by Ms. Hutchins is GRANTED.
b. Defendants' Motion in Limine No. 3
Defendants seek to exclude e-mail correspondence written by Darlene Hutchins regarding Defendant Oyarzo which they contend is not relevant in this action. Plaintiffs contend that these e-mails are relevant as Ms. Hutchins remained active in communicating with individuals at Defendant TFD after she resigned from the Board and was reinstated on December 13, 2010, the night the Board voted to terminate Plaintiff Hart and demote Plaintiff Oyarzo.
Defendants seek to exclude a November 11, 2010 e-mail from Darlene Hutchins to Marcella Wells expressing her animosity toward Plaintiff Oyarzo. (ECF No. 153 at 51-52.) The fact that Darlene Hutchins maintained animosity toward Plaintiff Oyarzo is irrelevant to the claim that he was not paid overtime. While Plaintiff Hart contends that this document demonstrates animosity toward Plaintiff Hart, a review of the document clearly contradicts this assessment. While the e-mail addresses Ms. Hutchins feelings regarding Plaintiff Oyarzo, the only mention of Plaintiff Hart is that she received a call that Plaintiffs Oyarzo and Hart were out in front of the fire station washing trucks and the individual wanted to know why TFD allowed them to do whatever they want.
Furthermore, the Court is not persuaded by Plaintiff Hart's argument that Ms. Hutchins animosity toward Plaintiff Oyarzo is relevant to Plaintiff Hart's First Amendment claims. Given the limited if any relevance of this e-mail to Plaintiff Harts claims the Court finds that the probative value is significantly outweighed by the danger of confusing the issues, misleading the jury, and wasting time. The motion is GRANTED in respect to the November 11, 2010 e-mail.
Defendants seek to exclude a September 25, 2010 e-mail from Darlene Hutchins to Marcie Wells. (ECF No. 153 at 56-57.) Plaintiffs contend that the e-mail is relevant because Ms. Hutchins describes documents that were improperly placed in Plaintiff Oyarzo's personnel file. However, as discussed in Section III.B.1 and 3, the Court finds that the documents placed in Plaintiff Oyarzo's personnel file are not relevant to any claims proceeding in this action. Defendants' motion to exclude the September 25, 2010 e-mail is GRANTED.
Finally, Defendants seek to exclude a November 13, 2010 e-mail from Ms. Hutchins to Defendant Hockett as irrelevant. (ECF No. 153 at 58.) Plaintiff contends that the November 13, 2010 e-mail is relevant to show that Ms. Hutchins and Defendant Hockett were attempting to meet before the December 13, 2010 Board meeting. The Court finds that this specific e-mail could be relevant to the issues presented here and Defendants' motion to exclude the November 13, 2010 e-mail is DENIED. However, the Court notes that the e-mail string includes the November 11, 2010 e-mail which the Court has found to be irrelevant and only the November 11, 2010 e-mail may be admissible. Therefore, if Plaintiffs attempt to introduce this e-mail, it must be removed from the e-mail string.
To the extent that Plaintiffs believe that any excluded e-mail has become relevant at trial should Ms. Hutchins testify, the matter shall be brought up for reconsideration outside the presence of the jury.
c. Defendants' Motion in Limine No. 5, 6, and 7
Defendants seek to exclude evidence of Virginia Van Bolt, Marcie Wells, and Nicholas Ohler's animosity toward Plaintiffs Oyarzo and Hart. Plaintiffs contend that such evidence is relevant to establishing the continued animosity and targeting of Plaintiff Oyarzo and subsequently Plaintiff Hart. The Court will not address the documents that have previously been addressed in motion in limine no. 3, and the prior ruling stands.
To the extent that Defendants seek to exclude evidence of animosity to Defendant Hart such evidence would go to the issue of bias and bias is almost always relevant. Hankey, 203 F.3d at 1171. However, the evidence of bias would only become an issue should the witness testify. Because the animosity of a witness would be relevant on the issue of bias, Defendants' motion in limine nos. 5, 6, and 7 are DENIED should these witnesses testify. However, to the extent that said evidence attempts to introduce evidence that this Court has found to be irrelevant or prejudicial, such as evidence specific to animosity against Plaintiff Oyarzo, the parties shall address such evidence with the Court outside the presence of the jury, prior to bringing it up in front of the jury.
3. Defendants' Motion in Limine No. 4
Defendants' motion in limine no. 4 seeks to exclude any reference to documents placed in Plaintiff Oyarzo's personnel file in the fall of 2010. Plaintiff Hart argues that this evidence is relevant to his First Amendment claim that he refused to assist in discrimination against Plaintiff Oyarzo. However, as Plaintiff Hart argues in his motion in limine, the issue is whether Plaintiff Hart believed that Defendants were treating Plaintiff Oyarzo illegally, not whether they were actually treating him illegally.
Further, Plaintiff Oyarzo's retaliation claims have been dismissed from this action. The issue to be decided is whether Defendants were retaliating against Plaintiff Hart and whether documents were placed in Plaintiff Oyarzo's personnel file in the fall of 2010 has very little relevance, if any, to Plaintiff Hart's claims. Additionally, the probative value of this evidence is substantially outweighed by the danger confusing the issues and misleading the jury. Fed. R. Evid. 403. Accordingly, Defendants' motion to exclude evidence of documents placed in
Plaintiff Oyarzo's personnel file in the fall of 2010 is GRANTED.
4. Defendants' Motions in Limine to Exclude Plaintiffs' Expert Witnesses
Defendants' motions in limine Nos. 8, 9, and 10 seek to exclude expert witness testimony. Plaintiffs oppose the motions to exclude their expert witnesses.
The Federal Rules of Evidence provide for the testimony of an expert witness who is "qualified as an expert by knowledge, skill, experience, training, or education." Fed. R. Evid. 702. The witness "may testify in the form of an opinion or otherwise if: (a) the expert's scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue; (b) the testimony is based on sufficient facts or data; (c) the testimony is the product of reliable principles and methods; and (d) the expert has reliably applied the principles and methods to the facts of the case." Fed. R. Evid. 702.
Expert testimony that is both relevant and reliable is admissible pursuant to Rule 702. Elsayed Mukhtar ("Mukhtar") v. California State University, Hayward, 299 F.3d 1053, 1063 (9th Cir. 2002). Under the Federal Rules, the trial court has the role of gatekeeper to ensure that the twin concerns of reliability and helpfulness are met and must exclude testimony that does not achieve these goals. Stilwell v. Smith & Nephew, Inc., 482 F.3d 1187, 1192 (9th Cir. 2007).
a. Defendants' Motion in Limine No. 8
Defendants seek to exclude the testimony of Beth De Lima arguing that she is not qualified to testify in this action because she has no experience with fire departments in general, much less fire departments the size of Defendant TFD; her testimony is not reliable or relevant to the claims proceeding in this action; and will not be helpful to the trier of fact. Plaintiffs contend that Ms. De Lima is clearly qualified under Daubert v. Merrell Dow Pharms., Inc., 509 U.S. 579, 593-94 (1993) to testify on the issue of whether Defendant TFD failed to meet the human resources standard of care in implementing the reduction in workforce and failed to follow their own policies in disciplining Plaintiff Hart.
Ms. De Lima has a Master's Degree in Business Administration. (Curriculum Vitae of Beth De Lima 4, ECF No. 164-9.) She has been assisting corporate, non-profit, and governmental clients with human resources policy development and implementation since 1992 and founded her consulting firm in 1993. (Id. at 3.) Ms. De Lima is certified as a senior professional in human resources by the Human Resource Certification Institute with state specific certification in California. (Id. at 4.) Ms. De Lima is a senior professional member of the Society for Human Resource Management, (id. at 5), which is the largest human resources organization in the world, (ECF No. 153 at 85). Ms. De Lima is experienced in management training, employee policy handbook development and modification, organizational development, hiring and termination procedures, and performance management systems. (ECF No. 164-9 at 3.) Based upon Ms. De Lima's education, experience and training, the Court finds that Ms. De Lima is qualified to testify as an expert in human resources.
While Defendants argue that Ms. De Lima is not qualified in this action because she has not worked with a small fire department, Ms. De Lima has worked with the County of Calaveras, Utica Power Authority in Calaveras County, Calaveras County Health and Human Services Agency, Tuolumne County Utility District, and Murphy's Sanitary District. (Depo. of Beth De Lima 3-4, ECF no. 165-1.) The Court finds that this experience is sufficient to qualify her to testify in this action. Further, Defendants have provided no argument as to why the lack of experience working with fire departments changes the analysis. Clearly, Defendants can address the issues regarding the application of the standard to fire departments under cross examination.
Defendants contend that Ms. De Lima could not specifically identify the sources for the human resource industry standard of care and should therefore her testimony is not reliable. In her deposition Ms. De Lima testified:
human resource industry standards . . . is, unfortunately, not just one source.(ECF No. 153 at 84.) Ms. De Lima then referred to her bibliography which gave a comprehensive list of the sources that she has utilized over the years to develop the industry standard of care. (Id. at 84-85.)
It's what the industry strives - - the industry uses as reference sources to establish the standard, and so sources like the National Employment Law Institute, the Calaveras Chamber of Commerce, the Federal Chamber of Commerce, the Society for Human Resources Management, which is an international organization, as well as many of the larger law firms have many sources on-line that we utilize for referral basis to identify what the standard is for our profession.
Q. Okay. And are -- are the sources in your bibliography, do they establish the human resource industry standard for determining which employees to terminate, promote, or demote under the premise of a reduction in force?(ECF No. 165-1 at 46.)
A. Well, the standard is the procedure, not the who, so in other words, from an industry standard, how do you -- what criteria will you use to determine who, not -- the standards don't tell you who you're going to demote or RIF off, reduction in force off, and separate from the employee. It's going to give you the standards that you use to objectively form that function.
Q. Again, those standards that you believe should be employed have applied to reductions in force are set forth in the materials that have been collected in your bibliography?
A. I would represent that, yes.
Rule 702 does not require that expert testimony be based upon science, but allows an expert opinion that is the product of reliable principles and methods. Fed. R. Evid. 702(c). The Court finds that Plaintiff has shown that Ms. De Lima's testimony is reliable.
Defendants also contend that Ms. De Lima's testimony will not be helpful to the jury and should be excluded on that basis. Plaintiff Hart is contending that Defendants retaliated against him in violation of the First Amendment and seeks to introduce evidence that Defendant Hart's discipline and termination were based upon pretextual reasons. Whether Defendants acted within the acceptable human resource standard is relevant to the issues to be presented here and Ms. De Lima's opinion will assist the jury in determining whether Defendants actions were pretextual.
At the motion in limine hearing, defense counsel argued that Defendants had no way to be familiar with the human resources standard of care which Ms. De Lima has created based upon her experience over the years. However, Daubert does not require the Court to consider whether the defendants were knowledgeable regarding the area in which the expert will testify, but whether the expert's testimony is reliable and will assist the jury.
While Defendants argue that Ms. De Lima is not qualified because she is not familiar with labor laws applicable to fire districts, the FLSA as it applies to fire districts or the FPBR, and failed to consider relevant facts in coming to her opinion, these are suitable grounds for cross examination, not a reason to exclude her testimony as to the human resources standard of care. However, as Ms. De Lima is not an expert in the FPBR or FLSA (ECF No. 153 at 83), she may not offer an opinion on whether Defendants actions violated such statutes.
Defendants' motion in limine no. 8 is DENIED and Ms. De Lima may testify as an expert witness on the issue of whether Defendant TFD failed to meet the human resources standard of care in implementing the reduction in workforce as it applies to Plaintiff Hart and failed to follow their own policies in disciplining Plaintiff Hart. However, Ms. De Lima may not testify to any matters regarding Plaintiff Oyarzo's discipline or termination as they are irrelevant to the issues proceeding in this action.
b. Defendants' Motion in Limine No. 9
Defendants seek to exclude certain testimony of Paul Stein who has been retained as an expert witness by Plaintiffs. Plaintiffs contend that Mr. Stein is clearly qualified to submit expert testimony in this matter.
Mr. Stein has an associate of arts degree in fire science and a bachelor of arts degree in management. (Curriculum Vitae of Paul Stein 9, ECF No. 164-10.) Mr. Stein worked for the Santa Monica Fire Department from 1969 to 1999 and worked as an interim fire chief for the Lakeside Fire Department during 2003 and 2004. (Id.; Depo. of Paul Stein 144-46, ECF No. 153.) Mr. Stein has twenty-five years of experience as a captain and chief officer, has extensive experience training other firefighters, and has written numerous published articles. (ECF No. 164-10 at 9, 11.) Mr. Stein consults in the areas of officer development, organizational design, hierarchy, methodology, firefighting strategy and tactics, incident mitigation and teaching instructors how to teach. (ECF No. 164-11 at 3.) The Court finds that Mr. Stein is qualified to testify as an expert in this action based upon his education, training, and experience and his testimony is reliable and relevant to the issues in this action.
i. Expert Testimony as to meaning of statutes
Defendants request that the Court preclude Mr. Stein from offering an opinion that allowing single person staffing of a fire station is a violation of Cal OSHA and contends that 8 C.C.R. § 5144(g), 29 C.F.R. § 1910.134, and NFPA 1500, section 8.5.17 are irrelevant to this action. Plaintiff Hart contends that when reading these documents in conjunction they set the standard for engaging in an interior attack on a structure fire.
Defendants cite United States v. Moran, 482 F.3d 1101 (9th Cir. 2007) for the proposition that an expert may not testify to the legal conclusion that certain conduct would violate a statute or regulation. Moran involved a criminal defendant appealing his conviction. The Ninth Circuit stated "an expert witness cannot give an opinion as to her legal conclusion, i.e., an opinion on an ultimate issue of law. Similarly, instructing the jury as to the applicable law is the distinct and exclusive province of the court." Id. at 1105-06 (quoting Hangarter v. Provident Life and Acc. Ins. Co., 373 F.3d 998, 1016 (9th Cir. 2004)).
In a civil action, an expert opinion is not objectionable because it embraces an ultimate issue. Fed. R. Evid. 704(a). Whether allowing single staffing of a fire station is a violation of Cal OSHA is not the ultimate issue in this action, however, it is relevant to Plaintiff Hart's claim that Defendants retaliated against him. Mr. Stein has been employed to state his opinion regarding whether the conditions at TFD were safety violations and such testimony is relevant and permissible in this action.
To the extent that Defendants disagree with Mr. Stein's opinion, that is a proper subject to be dealt with on cross examination or by delving into the subject with Defendants' expert witnesses who are qualified on this issue. Defendants' motion in limine is DENIED as to Mr. Stein's ability to testify on these issues.
ii. Testimony as to safety violations related to Plaintiff Oyarzo's complaint
Defendants move to preclude testimony regarding safety violations reported by Plaintiff Oyarzo as those claims are no longer proceeding in this action. Plaintiff Oyarzo's claim that he was retaliated against for reporting safety violations has been dismissed from this action and are no longer relevant. The only relevant safety violations are those which Plaintiff Hart claims to have reported and for which he claims that he was subjected to retaliation. Defendants' motion in limine is GRANTED as it relates to any safety violations that were not reported by Plaintiff Hart.
iii. Testimony regarding reduction in force procedure
While Mr. Stein is qualified to testify as an expert in the subject of firefighting, he has not been qualified as a human resources expert, nor does he have any experience in the area of reduction of force. (ECF No. 164-11 at 12-14.) Defendants' motion in limine is GRANTED in this respect and Mr. Stein may not provide an opinion regarding the manner in which a reduction in force should be conducted.
iv. Testimony regarding the qualifications of firefighters
Defendants contend that Mr. Stein's opinions on the qualifications of the firefighters within TFD is not supported by reliable facts because he did not interview the individuals and his review did not include their personnel files or complete training records. Plaintiff contends that Mr. Stein is qualified to testify to the qualifications of the firefighters, and the propriety of letting the most qualified individual go and granting promotions to the remaining firefighters.
Mr. Stein is clearly qualified as an expert on the qualifications of the firefighters and Defendants argument regarding the scope of his review goes to the weight of his opinion, not whether it is admissible.
Defendants' motion in limine is DENIED as to Mr. Stein's testimony regarding the qualifications of firefighters. However, as discussed above, Plaintiffs have not shown that Mr. Stein is qualified to testify as to the manner in which a fire department should conduct a reduction in workforce and, for that reason, Mr. Stein may not opine regarding who should have been terminated, how the reduction in workforce should have proceeded, or the propriety of promoting the remaining firefighters.
c. Defendants' Motion in Limine No. 10
Defendants' motion in limine no. 10 seeks to exclude certain testimony of Plaintiffs' expert witness, Dr. Mahla. Plaintiffs oppose the motion.
i. Plaintiff Oyarzo's Damages
Defendants argue that Plaintiff Oyarzo's only remaining claim is for failure to pay overtime wages from March 1, 2009 through June 8, 2010 and Dr. Mahla's testimony should be limited to this time period. Plaintiff Oyarzo argues that he is entitled to unpaid wages from March 18, 2008 through June 8, 2010 and Defendants have been on notice that this is the time period for which he is claiming unpaid wages since Plaintiff Oyarzo's April 2010 deposition.
The issue here is whether Defendants will suffer prejudice if the Court allows that amendment to Plaintiff Oyarzo's damage claim. See U.S. v. Pend Oreille Public Utility Dist. No. 1, 926 F.2d 1502, 1511-12 (9th Cir. 1991). Defendants do not set forth any argument that they will be prejudiced by allowing Plaintiff to amend the time period for which he is seeking damages.
In the deposition of Plaintiff Oyarzo on April 25, 2012, Plaintiff Oyarzo was asked if he worked time for which he was not compensated prior to March 1, 2009, and Plaintiff Oyarzo stated that he had. (Depo. of Oyarzo 3-4, ECF No. 164-5.) In response to Defendant Machado's interrogatories, Plaintiff Oyarzo stated that he was seeking uncompensated hours from March 18, 2008 through June 7, 2010. (Plaintiff Benjamin Oyarzo's Response to Defendant Brian Machado's Interrogatories 3, ECF No. 164-6.) Finally, Defendants' expert report contains a summary which includes the period from March 2008 through June 2010. (Summary of Analysis by Mahla with Enos Totals and Analysis 5-33, ECF No. 164-7.)
The Court finds that since Defendants have been on notice that the overtime claim encompassed the period from May 18, 2008 through June 8, 2010 and have conducted discovery on this issue, there is no prejudice to Defendants by allowing Plaintiff Oyarzo to seek damages from May 18, 2008 through June 8, 2010. However, Dr. Mahla is limited to testimony regarding Plaintiff Oyarzo's damages from May 18, 2008 through June 8, 2010, the date of damages calculated in his report.
Defendants' motion in limine is DENIED and Dr. Mahla shall be allowed to testify to the damages included in his expert report from May 18, 2008 through June 8, 2010.
ii. Plaintiff Hart's Damages
Defendants contend the order on the motion for summary judgment limited Plaintiff Hart's remaining claims and the only remaining cause of action for which he could seek post termination wages is for a violation of California Labor Code section 6310 which does not allow for any post termination economic loss. Defendants seek to preclude Dr. Mahla from i ntroducing expert testimony regarding any post termination economic losses as this remedy is not allowed under California Labor Code section 6310. Plaintiff Hart contends that his First Amendment claims are not limited as described by Defendants and he is entitled to post termination wages under California Labor Code section 6310.
Defendants contend that Plaintiff's First Amendment claim is limited to those claims which were denied in the order for summary judgment and because the only adverse action remaining is not for the termination of Plaintiff Hart, he is not entitled to future economic loss for his First Amendment claim. Plaintiff Hart contends that he is not limited to presenting evidence of adverse actions that were considered in the motion for summary judgment.
Plaintiff is correct that he is not limited to only those adverse actions raised in the motion for summary judgment. However, he is limited by those issues that have previously been decided in this action. As with many of the issues in this action, the parties hotly dispute whether Plaintiff Hart can present evidence that his termination was adverse action in support of his First Amendment claims or whether the termination was precluded as an adverse action by the order on Defendants' motion for summary judgment.
In the order partially granting summary judgment, United States District Judge Lawrence J. O'Neill found that Defendants Hockett and Hutchins were previously found to be entitled to absolute immunity for their vote to reorganize Defendant TFD and summary judgment was granted for the First Amendment claim based upon this conduct. (ECF No. 107 at 9:20-10:3.) Therefore, the question is whether Defendant Hockett's absolute immunity for his vote to reorganize Defendant TFD extends to the decision to terminate Plaintiff Hart.
Absolute immunity in this instance extends to Defendant Hockett's legislative, as distinct from ministerial, duties. Bogan v. Scott-Harris, 523 U.S. 44, 52 (1998). Whether an act is legislative in nature depends on the "character and effect" of the act, and not upon the motive or intent of the individual actor. Community House, Inc. v. City of Boise, Idaho, 623 F.3d 945, 960 (9th Cir. 2010), Bogan, 523 U.S. at 54. In determining whether an act is legislative in character and effect, the court is to consider "(1) whether the act involves ad hoc decisionmaking, or the formulation of policy; (2) whether the act applies to a few individuals, or to the public at large; (3) whether the act is formally legislative in character; and (4) whether it bears all the hallmarks of traditional legislation." Community House, Inc., 623 F.3d at 960 (quoting Kaahumanu v. County of Maui, 315 F.3d 1215, 1220 (9th Cir. 2003)). In considering whether the Board members were entitled to absolute immunity for Plaintiff Hart's termination, in Hart v. Tuolumne Fire Dist., 1:11-cv-01272-LJO-DLB (E.D. Cal.), Judge O'Neill found that:
Here, "stripped of all considerations of intent and motive," the individuals' action in voting to release plaintiff from employment was legislative. See Bogan, 523 U.S. at 55. The act of bringing a motion and voting on the motion are part of the formal legislative duties of the Board for TFD and bears the hall marks of traditional legislation. The individuals' conduct also is a formulation of policy, as the motion and vote named specific fire personnel and impacted the entirety of the TFD personnel. This court does not inquire into the motives of legislative acts. "[I]t simply is "not consonant with our scheme of government for a court to inquire into the motives of legislators." Bogan, 523 U.S. at 54-55. The acts alleged in paragraphs 40-41 are formal legislative functions and are entitled to absolute immunity. Therefore, to the extent plaintiff seeks liability against the individuals for any legislative act, including the motion and the subsequent vote (regardless of motive), the individuals are immune. (See FAC ¶40-41.)(Order on Motion to Dismiss 11:23-12:5, ECF No. 24). Because Judge O'Neill has previously ruled that Defendant Hockett was entitled to absolute immunity for the decision to terminate Plaintiff Hart's employment, Plaintiff's termination may not be used as an adverse action in support of his First Amendment claim against Defendant Hockett.
Plaintiff Hart's amended complaint at paragraphs 40 and 41 stated:
40. The first meeting of the newly elected Board of Directors occurred on December 13, 2010. At this meeting, Defendant MACHADO brought a motion to lay off the least senior firefighter and reclassify the remaining firefighting staff as Engineers with a pay rate of $12 per hour. The Board of Directors voted 4-1 in favor of the motion.(ECF No. 10.)
41. The Board's vote resulted in the following:
a. Mr. HART was terminated, effective January 1, 2011.
b. Mr. Oyarzo was demoted one rank and his pay reduced 43 percent. Mr. Oyarzo refused the demotion and was terminated, effective January 1, 2011.
c. Defendant POWERS remained at the same rank, and his pay was reduced 25 percent. Defendant POWERS remained employed with Defendant TFD.
d. Mr. Ohler was promoted one rank and his pay remained unchanged. Mr. Ohler remained employed with Defendant TFD.
e. Mr. Podesta was promoted one rank and his pay remained unchanged. Mr. Podesta remained employed with Defendant TFD.
However, the issue of whether Plaintiff Hart's termination can be evidence of adverse action by Defendant Powers has not been decided. Because Plaintiff could still prevail on the claim that his termination was retaliation in violation of the First Amendment, Defendants' motion to exclude the testimony of Plaintiff's expert regarding future damages is DENIED. The Court will address the issue of damages as it applies to Labor Code Section 6310 as raised below.
5. Defendants' Motion in Limine No. 11
Defendants' motion in limine No. 11 seeks to exclude evidence of any uncompensated time for Defendant Oyarzo outside the period of March 18, 2008 through June 8, 2010 as this was the only period pled in the complaint. Defendants previously raised this issue in motion in limine no. 10 and the Court DENIES this motion in limine for the reasons discussed above.
6. Defendants' Motion in Limine No. 12
Defendants' motion in limine No. 12 seeks to exclude any reference to future lost wages and benefits in relation to Plaintiff Hart's California Labor Code Section 6310 claim.
The parties disagree on whether Plaintiff Hart can obtain post termination economic losses pursuant to California Labor Code section 6310. Section 6310(b) provides that
Any employee who is discharged, threatened with discharge, demoted, suspended, or in any other manner discriminated against in the terms and conditions of employment by his or her employer because the employee has made a bona fide oral or written complaint . . . of unsafe working conditions, or work practices, in his or her employment or place of employment, or has participated in an employer-employee occupational health and safety committee, shall be entitled to reinstatement and reimbursement for lost wages and work benefits caused by the acts of the employer. (Emphasis added.)
The purpose of section 6310 is not only to ensure the reporting of safety violations, but is to prevent retaliation against employees who report working conditions they believe to be unsafe. Freund v. Nycomed Amersham, 347 F.3d 752, 759 (9th Cir. 2003). "The California Supreme Court has made it clear that damages for wrongful discharge in violation of public policy are not limited to those specified in the underlying statute that was violated." Freund, 347 at 760. Therefore, regardless of the interpretation this Court adopts on the damages allowed by section 6310, Plaintiff Hart may receive front pay should he prevail on his claim that his termination was retaliation in violation of the First Amendment.
Plaintiffs cite cases finding that where reinstatement is not a viable option, courts have awarded front pay as a substitute for reinstatement. However the cases on which Plaintiffs rely have construed the damages available under the Age Discrimination in Employment Act ("ADEA"). See Cancellier v. Federated Dept. Stores, 672 F.2d 1312 (9th Cir. 1982), Whittlesey v. Union Carbide Corp., 742 F.2d 724 (2nd Cir. 1984); Blum v. Witco Chemical Corp., 829 F.2d 367 (3d Cir. 1987). The ADEA provides that "[i]n any action brought to enforce this chapter the court shall have jurisdiction to grant such legal or equitable relief as may be appropriate to effectuate the purposes of this chapter, including without limitation judgments compelling employment, reinstatement or promotion, or enforcing the liability for amounts deemed to be unpaid minimum wages or unpaid overtime compensation under this section." 29 U.S.C. § 626(b). The ADEA provides for a much broader range of remedies than those specified in section 6310.
Section 6310 specifically limits damages to "reinstatement and reimbursement for lost wages and work benefits" and does not provide for a broad range of legal and equitable remedies. "The statute's plain meaning controls the court's interpretation unless its words are ambiguous." White v. Ultramar, Inc., 21 Cal.4th 563, 572 (1999) (quoting Kobzoff v. Los Angeles County/UCLA Med. Ctr., 19 Cal.4th 851, 861 (1998)). The wording of this statute is not ambiguous, but specifically states those remedies available under section 6310.
The Court finds that had the California Legislature had intended to allow a wider range of remedies for a violation of section 6310, they would have so stated. Therefore, under section 6310, Plaintiff is entitled to reimbursement from the date that he would receive reinstatement to the date of his termination. Accordingly, Plaintiff may present evidence of lost wages and work benefits for this period of time. Plaintiff Hart's damages under California Labor Code Section 6310 do not include future wages and Defendants' motion in limine no. 12 is GRANTED.
7. Defendants' Motion in Limine No. 13
Defendants' motion in Limine No. 13 seeks to exclude any evidence pertaining to issues disposed of by the order granting in part Defendants' motion for summary judgment.
a. Plaintiff Oyarzo's Rank from May 12, 2008 through September 6, 2010
Defendants seek to preclude any evidence that Plaintiff Oyarzo was not the Fire Chief from May 12, 2008 through September 6, 2010, citing the memorandum issued on the motion for summary judgment. Plaintiffs contend that Defendants mischaracterize the order and he may present evidence of the duties he performed in support of his FLSA claim.
In opposition to the motion for summary judgment, Plaintiff Oyarzo argued that he was not the Fire Chief because the Board that appointed him did not satisfy the requirements for Board membership. More than two years after being appointed, Plaintiff Oyarzo filed a validation action challenging several Board members which resulted in the resignation of one of the Board members. (Memorandum and Order 14, ECF No. 107.) The memorandum and order issued July 1, 2008, states:
There is simply no evidence that Oyarzo was anything other than the "Fire Chief" from the time of his promotion to that position in 2008 through his placement on administrative leave in late June 2010. He did not file his validation action until July 2010, which was far too late to invalidate his promotion to Chief. He was treated as the Chief and acted as the Chief. He cannot now escape the plain language of the Fire Chief's job description, which describes a Fire Chief's general duties to include "plan[ning], organiz[ing], direct[ing], supervis[ing], coordinat[ing], and review[ing] all the activities and operations of the Fire District...." (Pltf. Ex. D6.) Specific duties "include[e]" but are "not limited to" "provid[ing] highly responsible and complex administrative support to the Board of Directors," "coordinat[ing] Fire District activities with other departments and outside agencies, [and] ... act[ing] as public and intergovernmental relations representative...." Id.
In the decision on summary judgment, Plaintiff Oyarzo was found to have been the Fire Chief during the time period relevant to the allegations in the complaint. Defendants' motion in limine is GRANTED and Plaintiff Oyarzo is precluded from presenting evidence to show or arguing that he was not the Fire Chief from May 2008 through September 6, 2010.
b. Plaintiff Hart's support of Plaintiff Oyarzo in summer and fall of 2010
Defendants move to preclude Plaintiff Hart from presenting evidence of any activity other than his support of Oyarzo in presentation of his claims under the First Amendment. Plaintiff Hart contends that he is not precluded from presenting evidence that was not ruled upon in the motion for summary judgment.
In the amended complaint, Plaintiff Hart alleged that he was retaliated against for his support of the annexation effort and for his support of Plaintiff Oyarzo. Judge O'Neill granted summary judgment on Plaintiff Hart's claim that he was retaliated against for his support of the annexation effort. (ECF No. 107 at 10-11.) Plaintiff Hart's First Amendment claims are proceeding only on his claims of retaliation and deterrence for his support of Plaintiff Oyarzo, and evidence of retaliation for any other acts by Plaintiff Hart are irrelevant. To the extent that Plaintiff Hart contends that he may present evidence that he "refused to engage in retaliatory acts against Plaintiff Oyarzo," the Count finds this to be evidence of his support for Plaintiff Oyarzo and it would therefore be admissible. Defendants' motion in limine is GRANTED and Plaintiff Hart may only present evidence of retaliation due to his support of Plaintiff Oyarzo in the summer and fall of 2010.
c. Evidence of adverse actions taken by Defendant Powers
Defendants move to exclude evidence of any adverse actions taken against Plaintiff Hart by Defendant Powers other than transferring Plaintiff Hart to Defendant Powers shift in Plaintiff Oyarzo's absence or transferring job responsibilities from Plaintiff Hart to interns. Plaintiff Hart argues that he is not limited to only those actions addressed in the motion for summary judgment.
As previously stated, Plaintiff is limited to the allegations made in the first amended complaint that have not been decided in the order granting in part summary judgment. Plaintiff Hart is precluded from offering evidence on the alleged retaliatory acts by Defendant Powers on which the district court granted summary judgment. Defendants' motion is GRANTED to the extent that Plaintiff Hart may not introduce evidence that he was mocked and ostracized by his co-workers at the direction of Defendant Powers; that he was forced to work 48-hour shifts on his own by Defendant Powers; or that Defendant Powers failed to communicate the funeral request to Plaintiff Hart.
d. Evidence of adverse actions taken by Defendant Hockett
Defendants move to exclude evidence of adverse action taken against Plaintiff Hart by Defendant Hockett other than requiring Plaintiff Hart to work shifts alone while Plaintiff Oyarzo was on medical leave and disciplining Plaintiff Hart for allowing Nick Burns to volunteer at TFD and for failing to attend the funeral on October 25, 2010. Plaintiff makes the same argument that he made in opposing the above motion in limine.
While Defendants argue that the motion for summary judgment was granted for Plaintiff's allegation that Defendant Hockett joined in the retaliation against Plaintiff Hart, the order does not state such. Government officials may not be held liable for the actions of their subordinates under a theory of respondeat superior. Ashcroft v. Iqbal, 556 U.S. 662, 676 (2009). Since a government official cannot be held liable under a theory of vicarious liability for section 1983 actions, Plaintiff must show that the official has violated the Constitution through his own individual actions. Iqbal, 556 U.S. at 677; OSU Student Alliance v. Ray, 699 F.3d 1053, 1069 (9th Cir. 2012).
In the order on the motion for summary judgment, Judge O'Neill found that Plaintiff "Hart's generic accusation that Hockett 'joined in the retaliation' against Hart cannot be sustained. Hockett's conduct must be examined based upon Hockett's own affirmative conduct." (ECF No. 107 at 39.) While Plaintiff Hart may not argue that Defendant Hockett was liable for failing to prevent the retaliation due to his supervisory position, Plaintiff Hart is not precluded from presenting evidence of Defendant Hockett's own affirmative conduct. Defendants' motion in limine is DENIED in this respect.
e. Evidence that Defendant TFD has a policy, custom, or practice of tolerating, encouraging, or approving violations of employees' constitutional rights
Defendant moves to exclude evidence that Defendant TFD had an official policy, custom, or practice of tolerating, encouraging, or approving violations of employee's constitutional rights to engage in political activity and due process of law based upon the granting of the motion for summary judgment. Plaintiff Hart argues that this does not preclude him from offering evidence of previous terminations to show that Defendants had knowledge of the FPBR and to establish malice for the violations of Plaintiff Hart's rights under the FPBR.
Judge O'Neill granted summary judgment on Plaintiffs' claims regarding a policy, custom, or practice of approving violations of employee's constitutional rights to engage in political activity and to due process of law. (ECF No. 107 at 52.) Plaintiffs are precluded from introducing evidence of such a policy, custom or practice.
Defendants' motion in limine in GRANTED and Plaintiffs may not introduce evidence that TFD has a policy, custom, or practice of tolerating, encouraging, or approving violations of employees' constitutional rights. To the extent that Plaintiffs intend to offer evidence for another purpose, Defendants may offer the relevant objection at trial.
f. Reference to Plaintiff Hart's lay off as punitive action under the FPBR
Defendants move to exclude any reference to Plaintiff Hart's lay off as punitive action under the FPBR. Plaintiffs oppose this on the ground that they were seeking relief from the ruling on the motion for summary judgment.
On September 26, 2013, this Court issued an order denying Plaintiffs' motion for reconsideration of the memorandum and order on motion for summary judgment. (Order Denying Pls.' Mot. to Amend the Compl., Mot. for Reconsideration, and Mot. for Separate Trials 9, ECF No. 160.) Accordingly, Defendants' motion in limine is GRANTED and Plaintiff Hart may not refer to his lay off as punitive action under the FPBR.
IV.
CONCLUSION AND ORDER
Based on the foregoing, IT IS HEREBY ORDERED that:
1. Plaintiffs' motions in limine are GRANTED IN PART AND DENIED IN PART as follows:IT IS SO ORDERED.
a. Plaintiffs' motions in limine nos. 1, 2, 5, 6, 7, 9, 10, and 12 are GRANTED;
b. Plaintiffs' motions in limine nos. 3, 4, and 11 are DENIED;
c. Plaintiff's motion in limine no. 7 is GRANTED IN PART and DENIED IN PART as follows:
i. Defendants may not introduce evidence that Plaintiff Oyarzo did not believe the activities were compensable or intend to be paid for the overtime hours at issue here absent a showing the activities were not of the same type he was paid to perform;
ii. Defendants may not argue that a management exception applies to Plaintiff Oyarzo;
d. Plaintiffs' motion in limine no. 8 is GRANTED in respect Plaintiff Oyarzo' validation claim, and DENIED in respect to Plaintiff Hart's Workers Compensation claim.
2. Defendants' motions in limine are GRANTED IN PART AND DENIED IN PART as follows:
a. Defendants' motions in limine nos. 1, 2, 4, are GRANTED;
b. Defendants' motions in limine nos. 5, 6, 7, 8, 10, and 11 are DENIED;
c. Defendants' motion in limine no. 3 is GRANTED in respect to the November 11, 2010, and September 25, 2010 e-mails and DENIED in respect to the November 13, 2010 e-mail;
d. Defendants' motion in limine no. 9 is GRANTED in respect to Mr. Stein testifying to safety violations reported by Plaintiff Oyarzo and the manner the reduction in force should have occurred; and DENIED in respect to Mr. Stein testifying as to safety issues and the qualifications of the firefighters; and
e. Defendants' motion in limine no. 13 is GRANTED in respect to Plaintiff Oyarzo's rank, evidence of retaliation in support of Plaintiff Oyarzo, adverse actions taken by Defendant Powers, evidence of a custom, policy, or practice within TFD, and reference to Plaintiff Hart's lay off as punitive action under the FPBR; and DENIED in respect to evidence of Defendant Hockett's affirmative conduct.
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UNITED STATES MAGISTRATE JUDGE