Estrada v. Macias et al

Filing 132

ORDER DENYING Plaintiff's First 114 Motion to Compel, Filed August 2, 2017 signed by Magistrate Judge Stanley A. Boone on 9/19/2017. (Sant Agata, S)

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UNITED STATES DISTRICT COURT

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EASTERN DISTRICT OF CALIFORNIA

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DAVID ESTRADA,

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Plaintiff,
v.
TERESA MACIS, et al.,

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Defendants.

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Case No.: 1:15-cv-01292-AWI-SAB (PC)
ORDER DENYING PLAINTIFF’S FIRST
MOTION TO COMPEL, FILED AUGUST 2, 2017
[ECF No. 114]

Plaintiff David Estrada is appearing pro se and in forma pauperis in this civil rights action
pursuant to 42 U.S.C. § 1983.
Currently before the Court is Plaintiff’s first motion to compel, filed August 2, 2017.
Defendants filed a timely opposition on August 30, 2017.

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I.

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DISCUSSION

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A.

Legal Standard

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Plaintiff is proceeding pro se and he is a state prisoner challenging his conditions of

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confinement.

As a result, the parties were relieved of some of the requirements which would

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otherwise apply, including initial disclosure and the need to meet and confer in good faith prior to

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involving the Court in a discovery dispute. Fed. R. Civ. P. 26(a)(1); Fed. R. Civ. P. 26(c); Fed. R. Civ.

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P. 37(a)(1); Local Rules 240, 251; ECF No. 34, Discovery and Scheduling Order, &4. Further, where
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otherwise discoverable information would pose a threat to the safety and security of the prison or

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infringe upon a protected privacy interest, a need may arise for the Court to balance interests in

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determining whether disclosure should occur.

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Rhinehart, 467 U.S. 20, 35 n.21 (1984) (privacy rights or interests implicit in broad purpose and

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language of Rule 26(c)); Burlington N. & Santa Fe Ry. Co. v. United States Dist. Court for the Dist. of

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Montana, 408 F.3d 1142, 1149 (9th Cir. 2005) (discussing assertion of privilege); Soto v. City of

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Concord, 162 F.R.D. 603, 616 (N.D. Cal. 1995) (recognizing a constitutionally-based right of privacy

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that can be raised in discovery); see also Garcia v. Clark, No. 1:10-CV-00447-LJO-DLB PC, 2012

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WL 1232315, at *6 n.5 (E.D. Cal. Apr. 12, 2012) (noting inmate=s entitlement to inspect discoverable

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information may be accommodated in ways which mitigate institutional safety concerns); Robinson v.

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Adams, No. 1:08-cv-01380-AWI-BAM PC, 2012 WL 912746, at *2-3 (E.D. Cal. Mar. 16, 2012)

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(issuing protective order regarding documents containing information which implicated the safety and

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security of the prison); Orr v. Hernandez, No. CV-08-0472-JLQ, 2012 WL 761355, at *1-2 (E.D. Cal.

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Mar. 7, 2012) (addressing requests for protective order and for redaction of information asserted to

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risk jeopardizing safety and security of inmates or the institution if released); Womack v. Virga, No.

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CIV S-11-1030 MCE EFB P, 2011 WL 6703958, at *5-6 (E.D. Cal. Dec. 21, 2011) (requiring

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defendants to submit withheld documents for in camera review or move for a protective order).

See Fed. R. Civ. P. 26(c); Seattle Times Co. v.

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However, this is a civil action to which the Federal Rules of Civil Procedure apply. The

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discovery process is subject to the overriding limitation of good faith, and callous disregard of

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discovery responsibilities cannot be condoned. Asea, Inc. v. Southern Pac. Transp. Co., 669 F.2d

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1242, 1246 (9th Cir. 1981) (quotation marks and citation omitted). “Parties may obtain discovery

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regarding any nonprivileged matter that is relevant to any party’s claim or defense and proportional to

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the needs of the case, considering the importance of the issues at stake in the action, the amount in

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controversy, the parties’ relative access to relevant information, the parties’ resources, the importance

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of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery

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outweighs its likely benefit.” Fed R. Civ. P. 26(b)(1).

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Generally, if the responding party objects to a discovery request, the party moving to compel

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bears the burden of demonstrating why the objections are not justified. Grabek v. Dickinson, No. CIV
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S-10-2892 GGH P, 2012 WL 113799, at *1 (E.D. Cal. Jan. 13, 2012); Womack, 2011 WL 6703958, at

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*3; Mitchell v. Felker, No. CV 08-119RAJ, 2010 WL 3835765, at *2 (E.D. Cal. Sep. 29, 2010); Ellis

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v. Cambra, No. 1:02-cv-05646-AWI-SMS PC, 2008 WL 860523, at *4 (E.D. Cal. Mar. 27, 2008).

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This requires the moving party to inform the Court which discovery requests are the subject of the

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motion to compel, and, for each disputed response, why the information sought is relevant and why

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the responding party=s objections are not meritorious. Grabek, 2012 WL 113799, at *1; Womack,

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2011 WL 6703958, at *3; Mitchell, 2010 WL 3835765, at *2; Ellis, 2008 WL 860523, at *4.

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However, the Court is vested with broad discretion to manage discovery and notwithstanding these

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procedures, Plaintiff is entitled to leniency as a pro se litigant; therefore, to the extent possible, the

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Court endeavors to resolve his motion to compel on its merits. Hunt v. County of Orange, 672 F.3d

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606, 616 (9th Cir. 2012); Surfvivor Media, Inc. v. Survivor Productions, 406 F.3d 625, 635 (9th Cir.

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2005); Hallett v. Morgan, 296 F.3d 732, 751 (9th Cir. 2002).

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B.

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Plaintiff seeks to compel Defendant Flores to provide additional responsive documentation to

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Motion to Compel

his requests for production, set four (erroneously labeled as set five).
A party may serve on any other party a request within the scope of Rule 26(b) to produce and

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permit the requesting party or its representative to inspect, copy, test, or sample the following items in

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the responding party=s possession, custody or control: any designated documents or tangible things.

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Fed. R. Civ. P. 34(a)(1) (quotation marks omitted). AProperty is deemed within a party=s >possession,

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custody, or control= if the party has actual possession, custody, or control thereof or the legal right to

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obtain the property on demand.@ Allen v. Woodford, No. CV-F-05-1104 OWW LJO, 2007 WL

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309945, *2 (E.D. Cal. Jan. 30, 2007) (citing In re Bankers Trust Co., 61 F.3d 465, 469 (6th Cir.

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1995)); accord Bovarie v. Schwarzenegger, No. 08cv1661 LAB (NLS), 2011 WL 719206, at *4 (S.D.

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Cal. Feb. 22, 2011); Evans v. Tilton, No. 1:07CV01814 DLB PC, 2010 WL 1136216, at *1 (E.D. Cal.

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Mar. 19, 2010).

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In responding to discovery requests, a reasonable inquiry must be made, and if no responsive

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documents or tangible things exist, Fed. R. Civ. P. 26(g)(1), the responding party should so state with

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sufficient specificity to allow the Court to determine whether the party made a reasonable inquiry and
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exercised due diligence, Uribe v. McKesson, No. 08cv1285 DMS (NLS), 2010 WL 892093, at *2-3

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(E.D. Cal. Mar. 9, 2010). If responsive documents do exist but the responsive party claims lack of

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possession, control, or custody, the party must so state with sufficient specificity to allow the Court (1)

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to conclude that the responses were made after a case-specific evaluation and (2) to evaluate the merit

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of that response. Ochotorena v. Adams, No. 1:05-cv-01525-LJO-DLB (PC), 2010 WL 1035774, at

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*3-4 (E.D. Cal. Mar. 19, 2010).

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In the first amended complaint, Plaintiff alleges that Defendant Flores, a special agent for the

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California Department of Corrections and Rehabilitation’s (CDCR) Office of Internal Affairs (OIA),

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conducted an investigation in 2012 regarding Plaintiff’s complaints about licensed vocational nurse

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(LVN) D. Tassey misappropriating his medications. (FAC, ECF No. 16 at 8-9, 21.) Plaintiff contends

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Defendant Flores promised Plaintiff that she would look into Plaintiff being transferred out of the

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prison and away from LVN Tassey. (Id.) However, Plaintiff was never transferred and contends

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Flores conducted an incompetent investigation resulting in deliberate indifference to his serious

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medical needs. (Id.)
Defendants submits that during discovery she admitted that on or around January 12, 2012, she

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was assigned to conduct a criminal investigation into LVN Tassey and other correctional staff to

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determine whether or not they were smuggling contraband into the prison. (Decl. of E. Rhoan (Rhoan

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Decl.) Ex. A.) The OIA criminal investigation concluded on April 16, 2012, for lack of evidence.

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(Id.)

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1.

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Request Number 1: Produce all documents, electronically stored information, e-mails,

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correspondence, collected, referenced, shared and or relayed in any format, including memorandums,

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chrono’s, reports, which have been inquired on, investigated, assessed, and or compiled on or against

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this plaintiff, David Estrada, and his involvement in the investigation of LVN Delorise Tassey,

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amongst all CDCR staff for the years 2015-2017.

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Request for Production Number 1

Response: Defendant Flores objects to this request on the grounds that it potentially seeks

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information that is deemed confidential under California Code of Regulations, Title 15, section 3321,

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the disclosure of which could: (1) endanger the safety of other inmates and staff of the CDCR, or (2)
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jeopardize the security of the institution. Additionally, the production of confidential information is

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improper on the grounds that an inmate shall not have access to information designated confidential.

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Cal. Code Regs. tit. 15, ¶ 3370(d).
Without waiving these objections, Defendant Flores responds that she does not have any

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responsive documents within her possession, custody, or control, that pertain to any Office of Internal

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Affairs investigation that was conducted into Licensed Vocational Nurse D. Tassey between 2015 and

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2017.

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Ruling: Plaintiff’s motion to compel must be denied. Plaintiff’s claim against Defendant

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Flores is based on her alleged failure to conduct a competent criminal OIA investigation into LVN D.

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Tassey in 2012. (FAC at 8-9, 21.) The criminal investigation ended on April 16, 2012. (Rhoan Decl.,

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Ex. A.) Defendant Flores response was not evasive, given the broad request by Plaintiff. Defendant

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Flores stated that she does not have additional records for the years 2015 to 2017 regarding “the

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investigation” within her possession, custody, or control because none exist. Plaintiff cannot seek to

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compel documents that do not exist. Absent evidence to the contrary, not present here, Plaintiff is

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required to accept defendant’s representation that such documentation either does not exist or cannot

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be located, and Defendant cannot be compelled to provide copies of documents that do not exist.

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Further, Plaintiff has failed to demonstrate the relevance of his discovery requests. Plaintiff merely

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states that he needs these documents to “litigate this civil action,” and without them, his ability to do

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so is “severely hinder[ed].” (Pl.’s MTC, ECF No. 114 at 1-2.) However, Plaintiff’s vague and

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conclusory allegations do not provide a basis to warrant a motion to compel. See Valenzuela v. City

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of Calexico, No. 14-cv-481-BAS-PCL, 2015 WL 2184304, at *3 (S.D. Cal. May 11, 2015). In

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addition, the Court cannot ascertain the relevancy of such documentation because it concerns an

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alleged investigation that took place well after the incident at issue in this case. Accordingly,

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Plaintiff’s motion to compel a further response to request for production number one is denied.

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2.

Request for Production Number 2

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Request Number 2: Produce the names and corresponding dates of those CDCR staff

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members who have requested to review this plaintiff’s confidential file(s) at CSP-Corcoran and

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Pelican Bay State Prison (PBSP) for the years 2016 and 2017.
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Response: Defendant Flores objects to this request on the grounds that it is vague and

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ambiguous, overbroad as to time, calls for speculation, seeks information that is not relevant to any

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party’s claims or defenses, and seeks information that is not proportionate to the needs of this case.

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Defendant Flores also objects to this request on the grounds that it potentially seeks

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information that is deemed confidential under California Code of Regulations, title 15, § 3321, the

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disclosure of which could: (1) endanger the safety of other inmates and staff of the CDCR, or (2)

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jeopardize the security of the institution. Additionally, the production of confidential information is

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improper on the grounds that an inmate shall not have access to information designated confidential.

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Cal. Code Regs. tit. 15, § 3370(d).

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Without waiving these objections, Defendant Flores responds that she does not have any

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responsive documents within her possession, custody, or control, pertaining to which CDCR staff

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members who may or may not have reviewed Plaintiff’s Central File while he was at California State

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Prison, Corcoran, or Pelican Bay State Prison, between 2016 and 2017.

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Ruling: Plaintiff’s motion to compel must be denied. Defendant Flores responded that she had

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no relevant documents in her possession, custody, or control. Further, Defendant correctly objected on

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the ground of the request being vague and overbroad making it difficult to ascertain the documents

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that Plaintiff sought to receive. Notwithstanding the objections, Defendant responded that she did not

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possess such documentation. In seeking to compel a further response, Plaintiff merely contends that

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Defendant Flores failed to produce relevant documents. However, Plaintiff’s conclusory contention

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does not identify the relevant of such documentation in order to meet his burden to compel a further

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response. Accordingly, Plaintiff’s motion to compel is denied.

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3.

Request for Production Number 3

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Request for Production Number 3: “Produce all electronically stored information (Fed. R.

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Civ. Proc. 34(a)(1).) memorandums, chronos, reports, inquiries, stored on any CDCR database(s). [sic]

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That references or alleges any familiarity or over-familiarity between this plaintiff and any staff

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member, all names of these staff are also requested in their entirety”

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Response: Defendant Flores objects to this request on the grounds that it is vague and
ambiguous, overbroad as to time, calls for speculation, seeks information that is not relevant to any
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party’s claims or defenses, and seeks information that is not proportionate to the needs of this case.

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Defendant Flores further objects to this request on the ground that it is unduly burdensome because it

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requires Defendant Flores to somehow locate, identify, and review an unknown and potentially

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unlimited scope of years’ worth of confidential documentation regarding any number of CDCR staff

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that may or may not have been over-familiar with Plaintiff.

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Defendant Flores also objects to this request on the grounds that it potentially seeks

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information that is deemed confidential under California Code of Regulations, Title 15, section 3321,

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the disclosure of which could: (1) endanger the safety of other inmates and staff of the CDCR, or (2)

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jeopardize the security of the institution. Additionally, the production of confidential information is

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improper on the grounds that an inmate shall not have access to information designated confidential.

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Cal. Code Regs. tit. 15, § 3370(d). Defendant Flores further objects on the grounds that this request

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potentially seeks private information belonging to third-party CDCR staff members, whose right to

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privacy cannot be waived by Defendant Flores. Cal. Civ. Code § 1798.24.

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Without waiving these objections, Defendant Flores responds that she does not have any

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responsive documents within her possession, custody, or control, that pertain to CDCR staff members

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who may or may not have interviewed Plaintiff while he was at California State Prison, Corcoran, or

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Pelican Bay State Prison between 2016 and 2017.

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Ruling: Plaintiff’s motion to compel must be denied. Plaintiff contends that these documents

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are relevant because they may disprove “allegations” that Plaintiff was over-familiar with staff and

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will also show how “investigations” are conducted at CDCR, including whether these investigations

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demonstrate indifference towards inmates. (Pl.’s MTC, ECF No. 114 at 3.) First, the Court fails to

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ascertain the relevancy of Plaintiff’s request, as his claim against Defendant Flores does not involve an

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allegation that he was over-familiar with her. (FAC, ECF No. 16 at 8-9, 21.) Nor was Defendant

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Flores investigating whether Plaintiff was being over-familiar with CDCR staff. (Id.; Rhoan Decl. Ex.

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A.) Plaintiff fails to demonstrate how any allegation of over-familiarity is relevant to Defendant

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Flores’ criminal OIA investigation in 2012. Furthermore, Plaintiff’s request is unduly burdensome

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because it would require Defendant Flores to locate, identify, and review an unknown and potentially

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unlimited scope of years’ worth of confidential documentation regarding any of CDCR staff that may
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or may not have been over-familiar with Plaintiff. In addition, Plaintiff’s request seeks information

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regarding third-party CDCR staff members which may involve confidential information that is

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protected. Although Plaintiff contends that the unknown staff members’ names would not be private

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because they are “collected through normal business records and investigations,” Plaintiff fails to

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identify any “normal business records” or how these “investigations” would not be considered

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confidential. Accordingly, Plaintiff’s motion to compel must be denied.

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II.

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ORDER
Based on the foregoing, it is HEREBY ORDERED that Plaintiff’s motion to compel is denied

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in its entirety.

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IT IS SO ORDERED.

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Dated:

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September 19, 2017
UNITED STATES MAGISTRATE JUDGE

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