CAROLYN K. DELANEY, Magistrate Judge.
This pro se prisoner action pursuant to 42 U.S.C. § 1983 proceeds against eight defendants represented by two separate attorneys. The complaint concerns an alleged incident of excessive force on June 12, 2012. (ECF No. 9.) Before the court is plaintiff's September 25, 2015 motion to compel further discovery responses. (ECF No. 79.) Both sets of defendants have opposed the motion. (ECF Nos. 82 & 84.) Plaintiff has replied to both oppositions. (ECF Nos. 92 & 99.)
For the reasons set forth below, plaintiff's motion will be granted in part and denied in part.
Under Rule 26 of the Federal Rules of Civil Procedure, "[p]arties may obtain discovery regarding any non-privileged matter that is relevant to any party's claim or defense. Fed.R.Civ.P. 26(b). "Relevant information need not be admissible at trial if the discovery appears reasonably calculated to lead to the discovery of admissible evidence."
With respect to requests for production, a party may propound requests for production of documents that are within the scope of Federal Rule of Civil Procedure 26(b). Fed.R.Civ.P. 34(a). With respect to interrogatories, a party may propound interrogatories related to any matter that may be inquired into under Federal Rule of Civil Procedure 26(b). Fed.R.Civ.P. 33(a)(2).
Under Rule 37 of the Federal Rules of Civil Procedure, "a party seeking discovery may move for an order compelling an answer, designation, production, or inspection." Fed.R.Civ.P. 37(a)(3) (B). The court may order a party to provide further responses to an "evasive or incomplete disclosure, answer, or response." Fed.R.Civ.P. 37(a)(4). "District courts have `broad discretion to manage discovery and to control the course of litigation under Federal Rule of Civil Procedure 16.'"
Plaintiff seeks to compel further responses from defendants regarding three sets of interrogatories, three sets of requests for production of documents (RFPs), and two sets of requests for admission (RFAs). Defendants assert that their responses to these requests are full and adequate.
Under the Federal Rules of Civil Procedure, interrogatories must be "answered separately and fully in writing under oath." Fed.R.Civ.P. 33(b)(3). A party is obligated to respond to the fullest extent possible and state any objections with specificity. Fed.R.Civ.P. 33(b)(3), (b)(4). While extensive research is not required, a reasonable effort to respond must be made.
These interrogatories seek information about the rules and procedures in effect at
California State Prison-Sacramento ("CSP-Sac") in June 2012 for escorting Administrative Segregation ("Ad-Seg") inmates to and from their cells. (ECF No. 79-2 at 6-7.)
Plaintiff argues that the responses by McElroy, Dingfelder, and Lish are inadequate because they explain the procedures for Enhanced Outpatient Program ("EOP") inmates in Ad-Seg, and plaintiff was not an EOP inmate. (ECF No. 79-1 at 3.) He seeks supplemental responses disclosing the procedures used for escorts of General Population inmates in Ad-Seg. (
Plaintiff also argues that Sullivan's response is inadequate. (ECF No. 79-1 at 3.) In opposition to the motion, Sullivan asserts that she is "unable to respond to this request as it is outside her duties and scope of knowledge as a licensed psychologist." (
Upon review, the court will not order supplemental responses to these requests.
These interrogatories request a list of all persons "who may have knowledge of Plaintiff's allegations" as set forth in Counts 1 and 2 of the First Amended Complaint ("FAC"). (ECF No. 79-2 at 7-8.)
Plaintiff argues that the responses by Jochim, Lobato, Perez, Sharp, and Sullivan are inadequate. These defendants responded that, other than the named defendants, they were unaware of any other person who may have knowledge of plaintiff's allegations, but would amend this response if other such persons were identified. (ECF No. 79-2 at 7-8.) Plaintiff argues that this response is "ambiguous" and would allow defendants to introduce witnesses not previously identified. (ECF No. 79-1 at 4.)
In opposition to the motion, defendants argue that their response was unambiguous. Citing Rule 26(a)(1)(B)(iv) of the Federal Rules of Civil Procedure, defendants further argue that they are not required to identify or disclose witnesses in a prisoner case.
Upon review, the court will not order supplemental responses to these requests.
This interrogatory asked defendant Jochim "the name of the person or persons who ordered you to write a supplemental report" about the June 12, 2012 incident. Defendant's counsel inadvertently copied and pasted the wrong response to this interrogatory and offers a supplemental response, essentially stating that Jochim does not recall which sergeant ordered her to write the report. (ECF No. 84 at 9-10.)
As to defendants Lobato, Perez, Sharp, and McElroy, this interrogatory asked "the approximate time on June 12, 2012 at which you returned to escort plaintiff back to the Ad-Seg housing unit." (ECF No. 79-1 at 4.) These defendants responded that they did not recall the time, or even whether they escorted plaintiff back to Ad-Seg on that day. Plaintiff seeks an order requiring these defendants to supplement their responses with specific answers.
Upon review, the court will not order supplemental responses to this request.
These interrogatories seek information about the June 2012 policy at CSP-Sac concerning an Ad-Seg inmate's medical emergency, including complaints of chest pains and/or request for medical treatment. (ECF No. 79-2 at 9.)
Plaintiff seeks to compel supplemental responses from Sullivan, who responded that the requests were outside her duties and scope of knowledge as a licensed psychologist. (
As with Set One, Interrogatory Nos. 4-6, the court will not order supplemental responses to these requests.
These interrogatories ask defendants to "state the procedure(s) in effect, if any, during
June 2012 at CSP-Sac" for Ad-Seg inmates to conduct legal phone calls. The requests seek the procedures for scheduling calls, telephone access, and time allotted for such calls. (ECF No. 79-2 at 108.)
Defendants responded by citing the state regulations governing inmate telephone calls. (
Plaintiff seeks to compel McElroy, Dingfelder, and Lish to supplement their responses, arguing that the cited provisions "do not specifically address the procedure for scheduling and/or conducting legal phone calls for Ad-Seg inmates." (ECF No. 79-1 at 6.) In opposition, defendants assert that the cited provisions "are the only written policies of which defendants are aware regarding legal phone calls." (ECF No. 82 at 3.)
Upon review, the court will not order supplemental responses to these requests.
In this interrogatory, plaintiff asked Sullivan to "state the reason or reasons you did not complete a report documenting your personal knowledge of the June 12, 2012 incident involving Plaintiff and Defendants prior to the completion of your shift." (ECF No. 79-2 at 210.)
Sullivan responded that she was not involved in the incident, was in the restroom when the alarm sounded, and when she exited, became exposed to chemical agents and immediately left the building. (
Plaintiff seeks to compel a supplemental response from Sullivan. He believes she did provide a statement or write a report based on her observation of the incident. (ECF No. 79-1 at 6-7.) In opposition, Sullivan asserts that, to the best of her belief and recollection, she did not write a report, and no such report was included in the incident packet. (ECF No. 84 at 12.)
In the version of this interrogatory served on Lish, plaintiff sought "the names of each CSP-Sac staff member who responded" to the June 12, 2012 incident. (ECF No. 79-2 at 220.) Lish responded that those names are contained in the incident report produced to plaintiff. (
Plaintiff seeks to compel a supplemental response from Lish, who reasserts that plaintiff already has the official document containing this information.
Upon review, the court will not order supplemental responses to this request.
The responding party may be asked to admit the truth of any fact, application of law to fact, or opinions about either, and the genuineness of any documents. Fed.R.Civ.P. 36(a). If a matter is not admitted, the responding party must specifically deny the matter or state in detail why the matter cannot be truthfully admitted or denied.
Requests for admission are intended to eliminate those issues on which there are no genuine disputes between the parties.
Plaintiff asked defendants to "admit or deny that prior to June 12, 2012, any defendant named in [the FAC] was inflicting cruel and unusual punishment upon inmates housed in Facility B4/Ad-Seg." (ECF No. 79-2 at 55.)
Defendants McElroy, Dingfelder, and Lish neither admitted nor denied the RFA, but objected on various grounds, including that the request was vague, ambiguous, and overly broad as to time. (
Upon review, the court will not compel supplemental responses to this request.
Plaintiff asked defendants to admit or deny that "on June 12, 2012 at approximately 1155 hours, Ad-Seg Correctional Staff did, in fact, violate CDCR's policy and the appropriate administrative action was taken." (ECF No. 79-2 at 63.)
Defendants Perez, Sharp, and Sullivan neither admitted nor denied the RFA, but objected on various grounds, including the official information privilege. (
In opposition, these defendants supplement their response to state that "no Defendant violated CDCR's use of force policy with regard to the June 12, 2012 incident involving plaintiff." (ECF No. 84 at 13-14.) They maintain that any other information sought is irrelevant and thus subject to a qualified privilege.
"Federal common law recognizes a qualified privilege for official information."
As defendants have denied the RFA to the extent it is relevant to this action, the court will not compel a further response to this request.
Plaintiff asked defendants to admit or deny that "your Rules Violation Report Log No. A/S-12-06-0365 is based on personal knowledge." (ECF No. 79-2 at 54.)
Defendants McElroy, Dingfelder, and Lish objected on various grounds, but responded: "I witnessed the incident." (
Upon review, the court will not order supplemental responses to this request.
Plaintiff asked defendants to admit or deny "that CDCR's policy and/or procedure mandate that all Administrative Segregation (Ad-Seg) inmates are properly handcuffed, as prerequisite, to opening any and all cell doors and holding cage." (ECF No. 79-2 at 122-23.)
Defendants McElroy, Dingfelder, and Lish objected on various grounds. They also asserted the request was duplicative of prior requests which had been answered. Plaintiff seeks to compel supplemental responses from these defendants.
In opposition, these defendants note that, in response to Set One, RFA No. 11, they admitted "that policy states that Ad-Seg inmates are to be handcuffed when moved from a secure area." (ECF No. 79-2 at 57.) They argue that the instant request is duplicative.
As plaintiff's request is more specific than defendants' admission in response to RFA No. 11, this request will be granted as follows: Defendants McElroy, Dingfelder and Lish shall admit or deny whether CDCR policy requires Ad-Seg inmates to be handcuffed before correctional officers open the door to the cell or holding cage in which the inmate is housed.
Plaintiff asked defendants to admit or deny "that CDCR's policy and/or procedure mandate that staff, specifically Incident Commanders, secure and preserve all relevant use-of-force evidence." (ECF No. 79-2 at 123.)
Defendants McElroy, Dingfelder, and Lish objected on grounds of vagueness, ambiguity, and irrelevance. (
Upon review, the court will not order supplemental responses to this request.
Plaintiff asked defendants to admit or deny that, during the relevant period on June 12, 2012, plaintiff was handcuffed before the Ad-Seg holding cage cell door was opened, before exiting the Ad-Seg holding cage, and before exiting his assigned cell. (ECF No. 79-2 at 132.)
Defendants Lobato, Sharp, and Sullivan responded that they were without sufficient information or knowledge to admit or deny and, on that basis, denied the RFAs. (
Upon review, the court will not order supplemental responses to this request.
The reach of Federal Rule of Civil Procedure 34, which governs requests for production, "extends to all relevant documents, tangible things and entry upon designated land or other property."
In these requests, plaintiff asked defendants to produce:
(ECF No. 79-2 at 83-84.)
As to RFP No. 11, defendants Jochim, Lobato, Perez, Sharp, and Sullivan responded that the use-of-force video "could not be located" and they would amend their response if it were located. (ECF No. 79-2 at 84.) Defendants McElroy, Dingfelder and Lish responded: "It is my understanding that this videotape has been misplaced by CDCR and is not available." (ECF No. 79-2 at 103.)
In his motion to compel, plaintiff argues that monetary sanctions for spoliation of evidence should be imposed on defendants if they do not produce the use-of-force videotape requested in RFP No. 11. (ECF No. 79-1 at 10.) Defendants argue that the videotape "was not preserved by CDCR at the time of the incident" and that they have "no control over the preservation of these videotapes" and cannot produce something they cannot obtain. (ECF No. 82 at 7.) Defendants further argue that sanctions are not warranted, as they have made a good-faith effort to locate the requested videotape but cannot do so. (ECF No. 84 at 15.)
This court cannot order a defendant to produce documents that do not exist or are not in the defendant's possession or control.
As to sanctions, it is unclear whether the use-of-force videotape was destroyed or lost. If the former, it is not clear when or under what circumstances the tape was destroyed. "A party seeking sanctions for spoliation of evidence must prove the following elements: (1) the party having control over the evidence had an obligation to preserve it when it was destroyed or altered; (2) the destruction or loss was accompanied by a `culpable state of mind;' and (3) the evidence that was destroyed or altered was `relevant' to the claims or defenses of the party that sought the discovery of the spoliated evidence[.]"
Similarly, as to RFP No. 12, defendants responded that the surveillance videotape does not exist because it was not preserved by CDCR. As above, defendants argue that they had no control over the preservation of the surveillance footage and cannot produce it. For the reasons set forth above, the court will deny plaintiff's motion to compel as to RFP No. 11 and also deny his request for spoliation sanctions.
As to RFP No. 13, seeking a list of inmates housed in Ad-Seg on the day of the incident, defendants Lobato, Sharp, Jochim, Perez, and Sullivan objected that the request was overbroad, sought information that could raise safety concerns for other inmates, and sought irrelevant information not reasonably calculated to lead to the discovery of admissible evidence. Apart from these objections, defendants did not respond. (ECF No. 79-2 at 88-89.) In their response, defendants McElroy, Dingfelder, and Lish referred plaintiff to the response by Lobato et al., represented by the Deputy Attorney General. (
In his motion, plaintiff asserts that he is "only interested in [these] inmates' prior and pending grievances, appeals, and complaints involving incidents of a similar nature" to the alleged excessive use of force. He further states that he is amenable to defendants redacting sensitive information from the list of names. (ECF No. 79-1 at 11.)
In opposition, defendants argue that they do not have a duty to create a list of inmate names such as plaintiff requests and that neither the list of names nor grievances are likely to lead to the discovery of admissible evidence. The court agrees that the sought-after inmate grievances about "similar incidents" are too attenuated from this action to likely lead to the discovery of admissible evidence.
Thus the court will deny plaintiff's request to compel further responses to RFP No. 13.
In these requests, plaintiff sought the production of
(ECF No. 79-1; see ECF No. 79-2 at 150-156.)
Defendants objected on various grounds, including overbreadth, irrelevance, confidentiality, and privilege.
Under
Here, the court finds that defendants have not demonstrated a complete statutory or privacy bar to disclosure of the requested information, to the extent it is relevant to this action.
Disclosed documents are subject to a protective order limiting the use of the records and information to the instant action and ordering defense counsel to redact identifying personal information such as the defendants' home addresses, social security numbers, telephone numbers, etc.
Plaintiff's motion is denied as to Set Two, RFP Nos. 4 and 6-10.
In these requests, plaintiff sought the production of
(ECF No. 79-1 at 13-14; see ECF No. 79-2 at 222-227.) Defendants objected on grounds of confidentiality and irrelevance.
As to RFPs No. 1-4, without waiving their objections, defendants Jochim, Lobato, Sharp, Sullivan, and Perez produced documents identifying the training they completed from June 12, 2011 to June 12, 2012. (See ECF No. 84 at 23.) They also provided a privilege log listing two documents: (1) Use of Force Policy PowerPoint, a training aid potentially responsive to RFP Nos. 1-3, and (2) Application of Restraints PDF, potentially responsive to RFP No. 4. (
These defendants responded that they had no responsive documents to RFP Nos. 5-8 and 10-11. In response to RFP No. 9, they produced a slide from a PowerPoint training aid concerning decontamination from O.C. pepper spray. (
Defendants McElroy, Dingfelder, and Lish responded that identical requests were served on the Deputy Attorney General "who has better access to the requested documents and who has already filed objections." (ECF No. 79-2 at 262-270.) They stated that they would "produce the documents showing the training they have undergone but otherwise do not have any responsive documents in their possession, custody, or control." (
In his motion, plaintiff seeks to compel defendants to supplement their responses.
In opposition, defendants argue that the requests seek "confidential officer training documents, the disclosure of which could create a hazard to the safety and security of the institution." (ECF No. 82 at 8-9.)
"[W]here otherwise discoverable information would pose a threat to the safety and security of a prison . . ., a need may arise for the Court to balance interests in determining disclosure should occur."
Defendants submit the declaration of J. Prentice, the In-Service Training Lieutenant at CSP-Sac. (ECF No. 84-2.) Prentice declares that the responsive documents identified in the privilege log are kept confidential by CDCR and not disclosed to inmates, parolees, or their families, as their release would endanger individuals and threaten the security of the institution. (
(
Based on the above, defendants have made a substantial threshold showing that the training materials are privileged. "If the court concludes that a defendant's submissions are not sufficient to meet the threshold burden, it will order disclosure of the documents in issue. If a defendant meets the threshold requirements, the court will order an
Here, the court concludes that the Application of Restraints PDF — "a 53-page self-study lesson plan that teaches proper use of restraint gear" (ECF No. 84-2) — is minimally relevant to this action, such that the balancing test weighs against disclosure.
As to the Use of Force training PowerPoint, the court will conduct an in camera review
In sum, the court will grant plaintiff's motion as to RFP Nos. 1-3 as set forth above and deny the motion as to RFP Nos. 4-11.
Also before the court is plaintiff's November 16, 2015 motion seeking to serve additional discovery requests on defendants. (ECF No. 98.) Defendants have opposed the motion. (ECF No. 101.) As plaintiff has served several sets of discovery requests on defendants and not shown good cause to modify the schedule in this action, his motion will be denied.
Accordingly, IT IS HEREBY ORDERED that:
1. Plaintiff's motion to compel (ECF No. 79) is granted in part and denied in part as follows:
b. Granted as to Set Two, RFP Nos. 1-3 and 5: All defendants shall produce responsive documents, including documents from their personnel files, concerning (1) administrative findings of misconduct involving the use of excessive force against inmates and (2) administrative findings of misconduct involving dishonesty, during defendants' past five years of employment at CDCR (i.e., February 2011 to the present day). If no such documents exist, defendants shall so inform plaintiff;
c. Granted as to Set Three, RFP Nos. 1-3: Defendants shall submit for in camera review the Use of Force Policy training PowerPoint, along with a motion to file this document under seal pursuant to L.R. 141;
d. Defendants shall make the above disclosures no later than 21 days from the date of this order; and
e. Plaintiff's motion to compel is otherwise denied.
2. Plaintiff's motion to serve defendants (ECF No. 98) is denied.