ALLISON CLAIRE, Magistrate Judge.
This is an excessive force action brought by the estate of Parminder Singh Shergill (the decedent), Sukhwinder Kaur (decedent's mother), and decedent's two siblings, against the two City of Lodi police officers who shot the decedent to death, along with the City, its police department and the Chief of Police. The case is proceeding on the Second Amended Complaint. ECF No. 47.
Pending are (1) plaintiff Sukhwinder Kaur's motion to compel discovery, and for sanctions against defendants, and (2) defendants' motion for a protective order to prevent the public dissemination of materials they have produced in discovery. The parties have filed separate Joint Statements for each motion. ECF Nos. 59 & 60.
This matter came on for hearing on January 7, 2015 before the undersigned. Mark Merin and Paul Masuhara appeared for plaintiffs. Amie McTavish appeared for City of Lodi, the City of Lodi Police Department, and Mark Helms. Derick Konz appeared for Scott Bratton and Adam Lockie.
According to the Second Amended Complaint, the decedent, Parminder Singh Shergill, was an honorably discharged, disabled Gulf War veteran who suffered from post-traumatic stress disorder and depression. Complaint (ECF No. 47), Introduction at 2. On the morning of January 25, 2014, decedent failed to take his prescribed medication, and became anxious, so his family wanted him to visit the Veteran's Affairs Clinic ("VAC") in French Camp, California for treatment. Complaint, Introduction at 2 & ¶ 18. As they had done in the past, they contacted the City of Lodi Police Department to request assistance for the transportation of the decedent to the VAC. Complaint, Introduction at 2. City of Lodi police officers Scott Bratton and Adam Lockie responded to the call at decedent's residence, but were informed that he had gone for a walk, a morning routine for him.
Bratton and Lockie located the decedent in a park two blocks away.
Plaintiffs filed their original complaint April 3, 2014. ECF No. 1. After two motions to dismiss and partial dismissals with leave to amend, the case is now proceeding on the Second Amended Complaint ("complaint") (ECF No. 47). Plaintiffs are proceeding on their claims under (1) 42 U.S.C. § 1983 for violation of rights guaranteed by the Fourth and Fourteenth Amendments to the U.S. Constitution, (2) Title II of the Americans with Disabilities Act ("ADA"), 42 U.S.C. § 12101 et seq.; and (3) the California State Constitution and other California laws.
The parties have stipulated to an order, pursuant to which (1) the City Defendants (City of Lodi, police department and chief of police), will produce police officer personnel files, and (2) plaintiffs will not publicly disclose those files without first giving defendant notice and an opportunity to file a motion for a protective order prohibiting public disclosure of the files. ECF No. 46.
Two separate motions to dismiss are pending before the Honorable Garland E. Burrell, Jr., one filed by the Officer Defendants and the other by the City of Lodi defendants. ECF Nos. 13-14. Judge Burrell has taken those motions under submission. ECF No. 57.
The discovery deadline is February 18, 2016, and trial is set for September 27, 2016.
The scope of discovery under Federal Rule of Civil Procedure 26(b) is broad: "Parties may obtain discovery regarding any nonprivileged matter that is relevant to any party's claim or defense." Fed. R. Civ. P. 26(b)(1). "Relevant information need not be admissible at trial if the discovery appears reasonably calculated to lead to the discovery of admissible evidence."
Pursuant to Rule 37(a), a party propounding discovery or taking a deposition may seek an order compelling responses when an opposing party has failed to respond or has provided evasive or incomplete responses. Fed. R. Civ. P. 37(a)(3)(B). "[A]n evasive or incomplete disclosure, answer, or response must be treated as a failure to disclose, answer, or respond." Fed. R. Civ. P. 37(a) (4). "It is well established that a failure to object to discovery requests within the time required constitutes a waiver of any objection."
"The party who resists discovery has the burden to show discovery should not be allowed, and has the burden of clarifying, explaining, and supporting its objections."
"[M]atters going to discovery procedural issues are entirely federal in nature."
Plaintiffs seek to compel (a) production of documents responsive to plaintiff Kaur's Requests for Production of Documents, Set One, submitted to the City Defendants, and (b) further responses to the Officer Defendants' deposition questions, which were terminated by their counsel. Plaintiff Kaur served requests for production on the City Defendants and the Officer Defendants requesting, among other things, "[p]ersonnel files" relating to the Officer Defendants.
In their September 22, 2014 initial responses to the discovery requests, defendants asserted that the document requests were "overbroad in terms of both subject matter and time." In addition, defendants asserted that they would not produce any records from the officer defendants' personnel files on the grounds that they are "confidential and privileged information pursuant to [Cal.] Evidence Code § 1040 et seq. and Penal Code § 832.7 and 832.8."
On October 14, 2014, defendants provided a "Privilege Log" which asserted that that the pre-2009 personnel records of the Officer Defendants would not be produced on the grounds of "Relevance," and citing Cal. Evid. Code § 1040, et seq., Cal. Penal Code §§ 832.7 and 832.8, and several district court cases. This privilege log thus clarifies that defendants' claim that the discovery request was "overbroad" as to time, was referring to their view that information more than five years old was not relevant.
On November 24, 2014, defendants made supplemental responses to the document requests. They renewed their objections based on over breadth in "subject matter and time," and on grounds that the officer Defendants' personnel records were confidential and privileged pursuant to Cal. Evid. Code §§ 1040, et seq., Cal. Penal Code §§ 832.7 & 832.8. However, they produced additional documents pursuant to the parties' stipulated protective order (ECF No. 40). In addition, defendants produced a detailed "Privilege Log" of the specific personnel documents they were withholding. ECF No. 60-1 at 180-83. The sole asserted ground for objection in the privilege log was "Relevance," although it also cited the California statutes defendants had previously cited as supporting their claim that the documents were "confidential and privileged." All the documents listed as withheld pre-dated 2009.
On December 19, 2014, defendants served their second supplemental responses to the document requests. They renewed the same state law based objections, but produced additional documents pursuant to the stipulated protective order.
Among the documents that defendants have withheld on grounds of remoteness and lack of relevance are documents relating to an incident in the early 2000's in which Officer Bratton "shot a criminal suspect," and which prompted an investigation by the City of Lodi. ECF No. 60 at 32. Defendants have also withheld documents relating to Officer Bratton's decision to stop using a taser prior to 2010, because he disagreed with the City's policy relating to its use.
Consistent with their view that personnel records more than five years old are not "relevant," counsel for the officer defendants instructed their clients not to answer questions if the answer would disclose information from their personnel files that was over five years old.
Plaintiffs seek compelled production of these withheld documents, as well as a "verification" that defendants have produced or identified every responsive document called for in the document requests.
Even without making reference to the specific documents that are known to be responsive and relevant, defendants' blanket refusal to produce any and all documents solely because they are more than five years old, and without any analysis of their relevance, is misplaced. Plaintiff Kaur requested, among other things, training, discipline and performance records, examinations and testing, weapons qualifications, policies regarding use of force and interactions with mentally ill persons, and use of force reports. ECF No. 60-1 ¶¶ 3(a), 4-9, 12 and 14.
It is a matter of common experience that a person's professional training — even the training received immediately upon hiring — may inform his later performance on the job, a matter plainly relevant to these defendants' performances during the shooting of the decedent. Unless defendants intend to argue that all training over five years old is somehow wiped from the officers' brains, there is no obvious basis for concluding that these records are not relevant. Similarly, the officer defendants' qualifications to use the weapons they used to kill decedent, any prior shootings of citizens, any discipline the officer defendants may have received regarding use of force, their prior interactions with mentally ill persons, and any number of other matters potentially contained in these withheld documents, are plainly relevant to this lawsuit, no matter the age of the document.
In any event, it is defendants' burden to show why admittedly responsive documents are not subject to discovery.
Defendants also assert that withholding "remote personnel records [is] consistent with local practice." ECF No. 60 at 54. However, the cases defendants cite do not support the proposition that responsive and relevant documents may be withheld because of their age. In
In
However, the court also stated: "The undersigned has found the proviso of § 1045 that information will be deemed per se irrelevant if it includes `complaints concerning conduct occurring more than five years before the event or transaction which is the subject of the litigation,' too rigid to comport with federal law, in which `remoteness' is a matter generally weighed in determining the relevance of particular information." Rather, in deciding on whether to permit discovery of internal affairs investigations, the court stated that "relevance is the dispositive factor in directing disclosure of internal affairs investigations."
Moreover,
Moreover, as to the California statute relating specifically to the personnel records of police officers, the statute does not preclude discovery, even if the court were to apply it. Rather, it provides, "Peace officer or custodial officer personnel records and records maintained by any state or local agency pursuant to Section 832.5, or information obtained from these records, are confidential and shall not be disclosed in any criminal or civil proceeding
The court is particularly reluctant to permit the use of state privileges that were enacted by the state specifically to protect its own local police officers, when this civil rights action "was instituted in federal court under a federal statute, 42 U.S.C. § 1983, which was enacted particularly to vindicate federal rights against deprivation by state action."
The court concludes that defendants have failed to justify their blanket withholding of personnel records that are older than five years. The court will order production of the withheld documents, and the withheld deposition answers, with the proviso that defendants may withhold specific documents or information only if they provide specific information about why the documents or answers are not relevant to this case, and are not likely to lead to the discovery of admissible evidence. Defendants are cautioned that the court will not accept a simple statement of "relevance" or the use of case string cites, as they have done thus far.
Other than the withholding of "remote" documents, plaintiffs assert that they do not know what they are moving to compel because they cannot tell what additional documents, if any, the City Defendants are withholding. Therefore, plaintiffs seek to compel production of each and every document they have requested, and a "verification" from the City Defendants that they have produced everything responsive to the Set One requests, or have identified all responsive documents which they are withholding.
A verification may be warranted and useful under certain conditions.
A compelled verification is not called for on the present circumstances of this case. Defendants' counsel's signature on the discovery responses constitutes a "certification" that they have provided all the relevant, non-privileged documents, except those specifically listed as being withheld for one reason or another.
Plaintiffs seek sanctions for defendants' withholding of documents older than 5 years old. The Federal Rules of Civil Procedure provide for sanctions against the party resisting discovery if the motion to compel is granted. Fed. R. Civ. P. 37(a)(5). However, the rules preclude sanctions if there are circumstances making the award of sanctions unjust. Fed. R. Civ. P. 37(a)(5)(A)(iii). Defendants' blanket refusal to provide any discovery over five years old, without apparent regard for whether it is responsive or relevant, comes very close to being sanctionable conduct. However, the court acknowledges that defendants could, possibly, consider that their cited cases were a basis for limiting their responses to the five year period. Even though those cases do not, in fact, justify the resistance, the court finds that sanctions at this point are not warranted.
As previously noted above, and in the court's prior ruling on defendants' earlier motion for a protective order, the scope of discovery under Fed. R. Civ. P. 26(b) is broad. Under Fed. R. Civ. P. 26(c)(1), however, the court may, for good cause, nonetheless issue an order to protect a party from "annoyance, embarrassment, oppression, or undue burden or expense, including . . . specifying terms . . . for the disclosure or discovery . . ." Fed. R. Civ. P. 26(c)(1)(B). When a party seeks an order protecting from public disclosure information that has been produced in discovery but not filed in court, the Rule 26(c) good cause standard applies.
To establish good cause, the party seeking a protective order in this context bears the burden of showing that specific prejudice or harm will result if no protective order is granted.
Defendants seek a protective order to prevent the public dissemination of the following categories of produced documents:
Request For Production No. 1
Request For Production No. 2
Request for Production No. 3
Request for Production No. 4
Request for Production No. 5
Request for Production No. 12
Request for Production No. 13
Request for Production No. 14
Any and all records of use of force reported by Defendants Lockie and Bratton.
Request for Production No. 15
Request for Production No. 16
The court does not address each category of documents separately, because defendants do not do so. Rather, defendants refer to all ten categories of documents as "private personnel information," and the "confidential personnel file." ECF No. 59 at 12. They make two blanket arguments covering all ten categories.
ECF No. 59 at 11-12.
ECF No. 59 at 12.
These arguments are entirely non-specific. Defendants fail to state what information is contained in each category of information, apparently relying instead on the descriptions in the document requests themselves. But the court cannot tell what information private to the officer defendants is contained in the investigative reports, for example RFP # 1. They might well contain witness statements, among other things, that do not seem to be "private" or "personal" or "confidential" materials like the officers' social security numbers.
As another example, RFP # 4 asks for "Peace Officer Standards and Training (`POST') examination and/or certifications, if any, for Defendants Lockie and Bratton." Defendants offer no explanation for how an examination, presumably given to officers other than the defendants, is "private," "personal" or "confidential" to these defendants. As for any certifications these defendants have received in relation to the POST, there is no explanation for why this needs to be kept secret.
In any event, this court has already rejected defendants' argument the last time defendants made it in this case. The last time around, defendants argued that they were entitled to a protective order of investigative files, and made similar broad arguments.
Also, defendants seek an even broader protective order than before. Previously, they only sought to protect the internal investigative files. Now, they seek to protect
In addition, plaintiffs point to no specific harms that would result from public dissemination. This is a basic showing that must be made before a protective order will issue.
Defendants cite many cases which they say indicate that it is routine to produce police officer personnel records under a protective order. However, most of the cases cited involved defendants who invoked federal privileges, which defendants here do not assert or even mention in any of their discovery responses, nor show that they qualify for.
Accordingly, defendants' request for a protective order will be denied. However, there are some things that plainly should not be subject to public disclosure, and which plaintiff agrees not to disseminate. In addition, defendants should have the opportunity to make the specific showings they have thus far failed to make.
For the reasons set forth above, IT IS HEREBY ORDERED that:
1. Plaintiff's motion to compel (ECF No. 50) is GRANTED, to the extent it seeks to compel the production of documents and further deposition testimony, and DENIED to the extent it seeks sanctions. Plaintiffs' request for a "verification" from defendants is DENIED. Defendants shall produce to plaintiffs all requested documents which defendants withheld solely on the basis that they are more than five years old. Defendants shall also permit the Officer Defendants to answer deposition questions calling for information more than five years old. Defendants may withhold specific documents or answers only if they are not responsive, or if defendants explain, in writing, why the specific responsive document or answer is not relevant to this lawsuit. The court will not accept the simple explanation that the document or answer is "remote," that it is "more than five years old," or similar explanations.
2. Defendants' motion for a protective order (ECF No. 58) is DENIED, without prejudice to renewal as to individual documents or specific information contained in individual documents. If defendants renew their motion, they are cautioned that they must show, "for each particular document" they seek to protect, "that specific prejudice or harm will result if no protective order is granted."