JENNIFER L. THURSTON, Magistrate Judge.
Defendants assert Arthur Petrosyan
Plaintiff initiated this civil rights action by filing a complaint on April 2, 2009 (Doc. 1), which he amended on June 15, 2009. (Doc. 10). Plaintiff alleges that he injured his
He asserts Dr. Paik, an orthopedic specialist, conducted an examination on January 8, 2007. (Doc. 1 at 5, ¶ 16.) Dr. Paik took a second set of x-rays of Plaintiff's right hand and noted: "The x-rays in our office showed a linear fracture of the proximal phalanx of the finger and also a fracture of the fourth and fifth metacarpal head. There is volar radial displacement. There is also callus formation of the fracture site."
According to Plaintiff, he submitted a health care request form on January 10, 2007, requesting he be seen by Dr. Vasquez because the cast caused additional pain. (Doc. 10 at 6, ¶ 18.) He alleges there was no response to this request.
Plaintiff did not see another physician until February 2, 2007, when he was treated by Dr. Smeath. (Doc. 10 at 6, ¶ 31.) He alleges Dr. Smeath submitted a request for services "requesting `ASAP please' an operation with `K-wire, Rt. hand.'" (Doc. 10 at 6, ¶ 24). In addition, on February 9, 2013, Dr. Vasquez submitted a request for an urgent follow-up, indicating the urgency was due to "loss of use." (Doc. 10 at 6-7, ¶ 25) (emphasis omitted).
On March 21, 2007, Plaintiff was seen by Dr. Marshall Lewis, who Plaintiff alleges is a general practitioner.
Plaintiff alleges that Defendant Youssef, KVSP Chief Medical Officer and Chairman of the KVSP Medical Authorization Review Committee, disapproved the surgery recommended by Dr. Paik.
At the first level of appeal, Defendant Ali responded "that because plaintiff had seen Dr. Paik in January and Dr. Lewis in March, the appeal was `partially granted' and that plaintiff need[ed] no further treatment or any initial surgery requested." (Doc. 10 at 9-10, ¶35) Similarly, on December 20, 2007, Defendant Zamora recited that on March 21, 2007, the orthopedic specialist Plaintiff was taken to see, disagreed that surgery was needed to correct his condition. (Doc. 58 at 16) Zamora noted also Plaintiff had undergone an MRI and a nerve conduction study which were recommended by the doctor at the March 21, 2007 visit.
Plaintiff alleges that on March 6, 2008, Defendant Grannis, Chief of Inmate Appeals, determined there was "no unresolved issue to be reviewed at the Director's Level Review even though plaintiff clearly requested in his appeal that he be given surgery on his right hand . . ." (Doc. 10 at 10, ¶ 37)
On February 19, 2013, Defendants filed the motion to dismiss now pending before the Court. (Doc. 52.) On June 23, 2013, the Honorable Anthony W. Ishii referred the motion to dismiss for resolution pursuant to 28 U.S.C. § 636(b)(1) and Local Rule 72. (Doc. 66).
Defendants support their motion to dismiss with the declarations of L.D. Zamora, L.D. Lozano, and K. Farquhar. (Docs. 52-1, 58, and 70). Zamaora, Farquhar, and Lozano each assert in their respective declarations that Plaintiff has not had a decision rendered at the third level of review that pertains to his complaint. (Doc. 52-1 at 5 ¶ 12; Doc. 58; Doc. 70). Plaintiff, meanwhile, argues that these declarations should be excluded as evidence because they are "replete with: (1) information in which the declarants lack personal knowledge; (2) hearsay; (3) improper lay opinions; (4) unduly prejudicial statements; and (5) evidence lacking authentication and/or foundation." (Doc. 71-4 at 3). Nowhere, however, does Plaintiff provide an explanation for the basis of his objections.
Plaintiff complains that Zamora's and Farquhar's general description of the inmate appeals process and regulations establishing the procedures are irrelevant. (Doc. 71-4 at 3-4; 8-9). Given that the crux of Defendants' motion to dismiss is that Plaintiff failed to exhaust his administrative remedy, Plaintiff's objection is fundamentally flawed. The description of the inmate appeals system, particularly the institutional system at KVSP, has a direct bearing on whether Plaintiff may proceed on his claim. Thus, Plaintiff's evidentiary objections to Zamora's Declaration, paragraphs 3-6, and objections to Farquhar's Declaration, paragraphs 2 and 4 are
Plaintiff argues that Zamora's and Farquhar's description of Plaintiff's inmate grievance history and the databases used to track inmate appeals are irrelevant. A review of their declarations, however, reveals otherwise. First, Zamora, as the Chief of the Inmates Correspondence and Appeals Branch ("ICAB") of the California Correctional Heath Care Services, indicates that inmate appeals are recorded in a database known as the Health Care Appeals and Risk Tracking System ("HCARTS"). (Doc. 52-1 at 1, 3). Similarly, Farquhar, as the Medical Appeals Coordinator at KVSP, indicates that timely submitted inmate appeals relating to medical issues at KVSP are logged into a Medical Appeal Tracking System ("MATS"). (Doc. 58 at 1-2). Zamora and Farquhar then proceed to summarize Plaintiff's grievance history based on the information contained in the HCARTS and the MATS. The information contained in their analysis has a direct bearing on whether Plaintiff exhausted his administrative remedies. Thus, Plaintiff's argument is meritless.
Next, Plaintiff argues that Zamora's and Farquhar's statements constitute hearsay. (Doc. 71-4 at 5-7, 9-15). The regular practice of recording inmate grievances in either the HCART or the MATS clearly falls within the business records exception to the hearsay rule. Fed. R. Evid. 803(6). As head of their respective departments, Zamora and Farquhar are logically qualified as witnesses to testify to the manner in which the records are kept and to summarize the information contained in those business records. See Fed. R. Evid. 803(6).
Plaintiff also contends that Zamora and Farquhar lack personal knowledge regarding Plaintiff's inmate grievance documents. As Plaintiff fails to explain the basis for this objection, the Court presumes that Plaintiff believes Zamora and Farquhar lack personal knowledge because they did not draft the documents or physically enter data into the HCART or the MATS. Nonetheless, the Court notes that Zamora and Farquhar merely summarized the information contained in the database and personal knowledge of the actual appeal is not required.
Similarly, Plaintiff's contention that Zamora and Farquhar failed to authenticate the documents contained in the HCARTS and the MATS databases pertaining to Plaintiff is without merit. Zamora and Farquhar both describe in detail the manner in which the records are gathered and maintained. (Doc. 52-1 at 2; Doc. 58 at 2). Next, they indicate the purpose for which they reviewed the documents, namely, to ascertain whether Plaintiff exhausted his administrative remedy. (Doc. 52-1 at 3; Doc. 58 at 1). Finally, Zamora and Farquhar attach a "true and accurate copy" of the documents from the HCARTS and MATS databases. (Doc. 52-1 at 3; Doc. 58 at 3). These documents appear to accurately reflect the Zamora's and Farquhar's summary of Plaintiff's grievances. Thus, Zamora and Farquhar have adequately "produce[d] evidence sufficient to support a finding that the item is what the proponent claims it is," as required by Fed. R. Evid. 901.
Finally, Plaintiff argues that Zamora and Farquhar present improper testimony in analyzing whether Plaintiff properly exhausted his administrative remedies pursuant to Fed. R. Evid. 701, but fails to explain his objection. Fed. R. Evid. 701 limits a lay witnesses' opinion testimony to opinions which are "(a) rationally based on the witness's perception; (b) helpful to clearly understanding the witness's testimony or to determining a fact in issue; and (c) not based on scientific, technical, or other specialized knowledge." Fed. R. Evid. 701. An opinion as to whether Plaintiff exhausted his administrative remedy requires an understanding of the grievance scheme outlined by the CCR as well as the purposes behind the PLRA. Such opinions state legal conclusions. Thus, their opinions regarding whether Plaintiff has exhausted his administrative remedies is of no value to the Court. Accordingly, Plaintiff's evidentiary objections to Zamora's Declaration, paragraphs 5-12, and objections to Farquhar's Declaration, paragraphs 7-9 on this basis are
Lozano's declaration is substantially similar to Zamora's and Farquhar's declarations. Lozano indicates that he is the Chief of the Office of Appeals for the CDCR, which receives all inmate appeals submitted to the third level of review. (Doc. 70 at 1). Lozano then describes the process by which all non-medical appeals were handled prior to August of 2008, but explains that all medical appeals are now handled through the ICAB.
Like his objections to Zamora and Farquhar's declarations, Plaintiff objects to the Lozano's declarations on the grounds of relevance, lack of personal knowledge, improper opinion testimony, hearsay, and lack of authentication. (Doc. 71-4 at 12-19). Notably, Plaintiff again fails to explain the rationale behind his objections and has failed to identify which of Lozano's statements he believes constitute opinion testimony. Thus, the objection on this basis is
The Prison Litigation Reform Act places constraints on inmates' ability to sue. Toward this end, inmates must exhaust the prison's administrative remedies before they can file an action. See 42 U.S.C. § 1997e(a);
Exhaustion serves two purposes.
The exhaustion requirement of § 1997e(a) does not impose a pleading requirement, but rather is an affirmative defense, under which defendants have the burden of raising and proving the plaintiff failed to exhaust the available administrative remedies prior to filing a complaint in the District Court. Bock, 549 U.S. at 216. The proper pretrial motion for raising the defense of exhaustion is an unenumerated Fed.R.Civ.P 12(b) motion because exhaustion is a matter of abatement that does not go to the merits of the claims.
The California Department of Corrections and Rehabilitation established an administrative system for prisoner's grievances. See Cal. Code Regs., tit. 15 § 3084, et seq. To exhaust the administrative remedies, a prisoner must comply with the deadlines and other applicable procedural rules.
Prior to January 28, 2011, the administrative system required three levels of review of the inmate's complaints. Id. at § 3084.7(a)-(c).
According to the Ninth Circuit, an inmate exhausts his administrative remedies when no pertinent relief remains available to him through the prison appeal process.
As a preliminary matter, the parties agree that Plaintiff submitted an appeal in Institutional Log No. KVSP-O-07-02123 ("Log No. 02123") to the third level. (Doc. 71 at 5; 72 at 2-3).
Citing to Cal. Dep't of Corrections Operations Manual, § 54100.11 ("Levels of Review), Defendants argue that an inmate exhausts his or her administrative review process "only after the inmate receives "a decision from the Director." (Doc 52 at 7; Doc. 52-1 at 2).
Plaintiff fails to rebut Defendants' explanation for the absence in IATS of a determination of Log No. 02123 at the third level.
Contrary to Plaintiff's explanation that his appeal was "denied," the language used that "There is no unresolved issue to be reviewed" mirrors the grounds upon which appeals may be "screened-out" or "cancelled."
Plaintiff does not claim he appealed the March 2008 cancellation despite that he was plainly dissatisfied with the refusal to conduct the third level Review and despite that it failed to provide him the relief he sought. (Doc. 10 at 10 ¶ 37) On the other hand, Plaintiff was allowed also to resubmit his cancelled third level appeal (Doc. 70 at 2-3) but he does not claim he did so to point out to prison officials that he had not received the relief he sought—the surgery.
The PLRA makes clear that a determination whether exhaustion has occurred is dictated, not by the PLRA, but by the procedures set forth by the prison. 42 U.S.C. § 1997(e)(a). Thus, until the procedures set forth by the internal grievance system set forth by the CDCR are satisfied, the inmate has not exhausted the administrative remedies.
To the contrary, when considering whether an inmate must exhaust the administrative procedures even though the relief he sought could not be granted by prison officials, in
Here, it is undisputed that Plaintiff reported on the face of his grievance, that he had not received the proper medical treatment and needed surgery to correct how the hand had healed. (Doc. 58 at 12) Likewise, it is clear that Plaintiff described the relief sought as, "I request to be referd [sic] to a specialist who can treat my injury."
Similarly, the second level review was granted for the same reason. Doc. 58 at 16-17. Though Plaintiff asserts that he provided a 4-page explanation indicating he never received the surgery Dr. Paik had recommended, the request for the surgery was not addressed. Thus, the second level decision rests upon the provision of the specialist visits recited above and another August 2007 consultation with a specialist who recommended against surgery and against further follow-up. (Doc. 58 at 17) At the third level, again, the grievance was not, apparently, considered in totality but, instead, only the explicit relief sought was considered. Because Plaintiff, indisputably, had seen a specialist, Grannis noted that all relief sought in the original grievance had been provided and cancelled the appeal.
Nevertheless, Plaintiff failed to appeal this cancellation and, seemingly, argues that any response at the third level constitutes exhaustion. In making this argument, he ignores the explicit instruction that a cancellation does not exhaust for purposes of the PLRA. 15 CCR §§ 3084.7(c)(1) and § 3084.6(e). In this same vein, this Court has held that,
If staff grants only some of the relief requested in the inmate's appeal, or
Plaintiff asserts he did not know that he could appeal the cancellation of his third level appeal in, seemingly, arguing that administrative remedies were unavailable. However, this would excuse the further appeal only if prison officials actively mislead Plaintiff or the information about tbe next step to be taken was not knowable to Plaintiff. See
Accordingly, for the reasons set forth above,
These findings and recommendations are submitted to the United States District Judge assigned to the case pursuant to the provisions of 28 U.S.C. § 636(b)(1)(B). Within