Simmons v. Hedgpeth

Filing 186

ORDER Denying Plaintiff's Motion for Sanctions against Defendants, signed by Magistrate Judge Stanley A. Boone on 6/3/16. (Verduzco, M)

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UNITED STATES DISTRICT COURT

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EASTERN DISTRICT OF CALIFORNIA

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CHRISTOPHER I. SIMMONS,

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Plaintiff,

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v.

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GRISSOM, et al.,

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Defendants.

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Case No.: 1:07-cv-01058-DAD-SAB (PC)
ORDER DENYING PLAINTIFF’S MOTION FOR
SANCTIONS AGAINST DEFENDANTS
[ECF No. 181]

Plaintiff Christopher I. Simmons is appearing pro se and in forma pauperis in this civil rights
action pursuant to 42 U.S.C. § 1983.

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On May 12, 2016, Plaintiff filed objections and a demand for sanctions for Defendants’

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purported unauthorized breach of his confidential medical records. (ECF No. 176.) Defendants

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Grissom, St. Lucia, Keiley, and Rients filed an opposition on May 19, 2016. Plaintiff did not file a

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reply, and the motion is submitted for review without oral argument pursuant to Local Rule 230(l).

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I.

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DISCUSSION

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In the instant motion, Plaintiff challenges the Office of the Attorney General’s receipt of 561

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pages of Plaintiff’s medical and mental health records from California Correctional Health Care

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Services on November 22, 2013. Plaintiff claims Defendants improperly assessed these records.

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Plaintiff’s motion for sanctions must be denied.
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In the operative complaint, Plaintiff alleges that he is an “individual with physical and mental

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impairments at all times relevant.” (1st Am. Compl. at 4, ECF No. 45.) Plaintiff further indicates he

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is a “high risk” patient who received “inadequate medical care.” (Id.) Plaintiff elaborated that his

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physical and mental disabilities are well documented in his unit health record (UHR) maintained by

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CDCR which provided notice to medical personnel. (Id.) Plaintiff stated that he was identified as a

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“high risk” patient as a result of his medications to treat his psychiatric disability and hypertension.

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(Id. at 6.) Plaintiff’s complaint raised allegations for violations of his rights under the Eighth

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Amendment for adequate medical treatment.
Defendants submit that based on Plaintiff’s allegations, defense counsel requested records from

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Plaintiff’s electronic Unit Health Record (eUHR). The records included Plaintiff’s mental health

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records, due to his allegations of heat sensitivity caused by a psychiatric condition. (ECF No. 176 at

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5; ECF No. 45 at 6.) Defendants limited the scope of the request to eliminate irrelevant records such

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as HIV/AIDS tests, alcohol/drug abuse, and dental records. Defendants obtained the medical records

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on November 22, 2013. (ECF No. 176 at 5.)

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A.

Authorization to Access Medical Records

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Here, the California Attorney General’s office has obtained a copy of Plaintiff’s relevant

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medical documents to defend against the claims raised by Plaintiff in his complaint. The California

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Attorney General is the “chief law officer of the state.” Cal. Const., Art. 5, § 13. “The Attorney

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General has charge, as attorney, of all legal matters in which the state is interested…” Cal. Gov’t.

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Code § 12511. The State owes a mandatory duty of indemnity for public employees. Cal. Gov’t.

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Code § 825. Disclosure of Plaintiff’s medical records was provided to the Office of the Attorney

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General, which is entirely proper to defend against Plaintiff’s medical claim. See, e.g., Seaton v.

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Mayberg, 610 F.3d 530, 534 (9th Cir. 2010) (inmate plaintiffs “do not have a constitutionally

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protected expectation of privacy in prison treatment records when the state has a legitimate

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penological interest in access to them.”) Simply stated, by filing a complaint for monetary damages,

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Plaintiff has put his medical condition at issue.

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B.

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Regarding Plaintiff’s HIPAA argument, Plaintiff is advised that federal courts have found that

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HIPAA created no private right of action. U.S. v. Streich, 560 F.3d 926 (9th Cir. 2009) (“HIPAA does

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not provide any private right of action.”); Webb v. Smart Document Solutions, LLC, 499 F.3d 1078,

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1081 (9th Cir. 2007)(“HIPAA itself provides no right of action.”); University of Colorado Hosp. v.

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Denver Publ’g Co., 350 F.Supp.2d 1142, 1145 (D. Colo. 2004) (holding that HIPAA statutory text and

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structure display no intent to create a private right of action, and noting that Act expressly provides a

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method for enforcing prohibitions, i.e., punitive fines and/or imprisonment, which indicates Congress

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did not intend to allow an additional private remedy). Put another way, only the government can bring

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Health Insurance Portability and Accountability Act (HIPAA)

a claim against a medical provider for violation of HIPAA.

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C.

Federal Rule of Civil Procedure 11 Sanctions

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Federal Rule of Civil Procedure 11 sanctions are justified if a party or their attorney submits a

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pleading to the court which is submitted for an improper purpose, is frivolous, has no evidentiary

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support or not warranted by the evidence. A party moving for Rule 11 sanctions bear the burden to

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show why sanctions are justified. See Tom Growney Equip., v. Shelley Irr. Dev., Inc., 834 F.2d 833,

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837 (9th Cir. 1987). The Ninth Circuit has stated that Rule 11 sanctions are “an extraordinary remedy,

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one to be exercised with extreme caution.” Operating Eng’rs Pension Trust v. A-C Co., 859 F.2d

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1336, 1345 (9th Cir. 1988).

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Before filing a motion for sanctions with the court, however, the party must first serve it on the

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opposing party and allow the opposing party a “safe harbor” of 21 days in which to withdraw or

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correct the challenged filing. Fed. R. Civ. P. 11(c)(2); see also Retail Flooring Dealers of Am., Inc. v.

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Beaulieu of Am., LLC, 339 F.3d 1146, 1150 (9th Cir. 2003). The safe harbor provision is mandatory.

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Truesdell v. S. Cal. Permanente Med. Grp., 293 F.3d 1146, 1152 (9th Cir. 2002). A party that fails to

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comply with the safe harbor provision, e.g., by filing a motion for sanctions fewer than 21 days after

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serving it on the opposing party, is not entitled to sanctions. Holgate v. Baldwin, 425 F.3d 671, 678-

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679 (9th Cir. 2005).

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In this instance, Rule 11 sanctions are not warranted. Defendants have not filed any pleadings
which are “baseless.” Furthermore, Plaintiff did not comply with the safe harbor provision of Rule 11.
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The motion was filed on May 9, 2016, and files stamped by the Court on May 12, 2016. (ECF No.

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176). Accordingly, Plaintiff’s motion for Rule 11 sanctions must be DENIED, both as procedurally

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defective and for lack of merit.

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II.

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ORDER
Based on the foregoing, it is HEREBY ORDERED that Plaintiff’s motion for sanctions is

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DENIED in its entirety.

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IT IS SO ORDERED.
Dated:

June 3, 2016
UNITED STATES MAGISTRATE JUDGE

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