Preview
1 KATHRYN A. STEBNER (SBN 121088)
KARMAN GUADAGNI (SBN 267631)
2 DEENA ZACHARIN (SBN 141249)
KELSEY CRAVEN (SBN 337179)
3 BRIAN UMPIERRE (SBN 236399)
STEBNER GERTLER GUADAGNI & KAWAMOTO
4 A Professional Law Corporation
870 Market Street, Suite 1285
5 San Francisco, CA 94102
Tel: (415) 362-9800
6 Fax: (415) 362-9801
7 KIRSTEN FISH (SB #217940)
NEEDHAM KEPNER & FISH LLP
8 1960 The Alameda, Suite 210
San Jose, CA 95126
9
Tel: (408) 244-2166
10 Fax: (408) 244-7815
11 Attorneys for Plaintiffs
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SUPERIOR COURT OF THE STATE OF CALIFORNIA
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IN AND FOR THE COUNTY OF KERN
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BILLY CATES, Individually and as CASE NO. BCV-22-102864
15 Successor-In-Interest to the Estate of LOIS
CATES; BARBARA NEWTON, Individually; DECLARATION OF BRIAN UMPIERRE IN
16 and PAUL CATES, Individually, SUPPORT OF PLAINTIFFS’ MOTION TO
COMPEL DEFENDANT THE VILLAGE AT
17 Plaintiffs, SEVEN OAKS AL MC, LLC dba THE
VILLAGE AT SEVEN OAKS ASSISTED
18 vs. LIVING AND MEMORY CARE’S FURTHER
RESPONSE AND DOCUMENT
19 THE VILLAGE AT SEVEN OAKS AL MC, PRODUCTION TO PLAINTIFFS’
LLC dba THE VILLAGE AT SEVEN OAKS REQUESTS FOR PRODUCTION OF
20 ASSISTED LIVING AND MEMORY CARE; DOCUMENTS, SET ONE
SEVEN OAKS AL & MC; FRONTIER
21 MANAGEMENT LLC; FRONTIER SENIOR
LIVING, LLC; SAMANTHA DAVIDSON; Date: December 1, 2023
22 and DOES 1-50, Inclusive, Time: 8:30 a.m.
Place: Dept. 17
23 Defendants. Judge: Hon. Thomas S. Clark
Complaint filed: October 26, 2022
24 FAC filed: January 18, 2023
Preferential Trial Date: January 8, 2024
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JURY TRIAL DEMANDED
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28 1
DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE
VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND
DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE
1 I, BRIAN UMPIERRE, declare:
2 1. I am an attorney at law duly admitted to practice before all courts of the State of
3 California and am an associate with the law firm of Stebner Gertler Guadagni & Kawamoto, attorneys
4 of record for Plaintiffs Billy Cates, Barbara Newton, and Paul Cates (“Plaintiffs”). I have personal
5 knowledge of the facts set forth herein. If called upon to testify, I would do so competently.
6 2. Plaintiffs filed their Complaint on October 26, 2022 and filed their First Amended
7 Complaint on January 18, 2023. On January 17, 2023, Plaintiffs dismissed defendants Oakmont
8 Management Group, LLC and Oakmont Senior Living, LLC, and on July 24, 2023, Plaintiffs dismissed
9 defendant Kelland Lancaster. The Court subsequently set this matter for preferential trial to commence
10 on January 8, 2024.
11 3. On April 17, 2023, Plaintiffs served their first set of discovery requests on Defendant
12 The Village at Seven Oaks AL MC, LLC dba The Village at Seven Oaks Assisted Living and Memory
13 Care ( herein “Defendant”), including Plaintiffs’ Request for Production of Documents, Set One
14 (“RFPD-Set 1”). A true and correct copy of the relevant portions of Plaintiffs’ RFPD-Set 1 is attached
15 hereto as Exhibit 1.
16 4. On June 16, 2023, Defendant served its verified responses to Plaintiffs’ RFPD-Set 1 and
17 produced some responsive documents to Plaintiffs’ RFPD-Set 1, Request Nos. 1, 3, 5, 7, 9-11, 13-15,
18 21, 24, 27, 33-37, 39, and 42. A true and correct copy of the relevant portions of Defendant’s verified
19 response to Plaintiff’s RFPD-Set 1 is attached hereto as Exhibit 2.
20 5. On July 25, 2023, I sent a meet and confer letter to Defendant’s counsel outlining
21 Defendant’s inadequate written responses and document production in response to Plaintiffs’ RFPD-Set
22 1. I stated that I would like to further discuss the matters addressed in my letter at a mutually agreeable
23 time the following week and requested a three-week extension for Plaintiffs to move to compel
24 responses for the first set of document requests to August 21, 2023. Mr. Wilson and Mr. Tsumura then
25 granted the three-week extension and agreed to extend the motion to compel deadline by 21 days to
26 August 21, 2023. A true and correct copy of my meet and confer correspondence dated July 25, 2023 is
27 attached hereto as Exhibit 3. A true and correct copy of my subsequent email correspondence
28 2
DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE
VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND
DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE
1 regarding the extension on the time to move to compel is attached hereto as Exhibit 4.
2 6. On August 17, 2023, defense counsel agreed to extend the deadline by an additional
3 forty-five (45) days per my colleague Karman Guadagni’s request, which pushed the motion to compel
4 deadline to October 5, 2023. A true and correct copy of the email correspondence between Ms.
5 Guadagni and Defendant's counsel dated August 16-17, 2023 is attached hereto as Exhibit 5.
6 7. On August 16, 2023, Defendants served on Plaintiffs their Petition to Compel
7 Arbitration and Stay Proceedings and supporting papers.
8 8. On August 22, 2023, the parties agreed to stay all non-arbitration related discovery
9 until after the hearing on Defendants’ motion to compel arbitration on September 21, 2023. Thus,
10 given the 30-day agreed-upon discovery stay (from August 22, 2023 to September 21, 2023),
11 Plaintiffs calculate the new deadline for Plaintiffs’ motion to compel to be November 1, 2023.
12 9. On October 4, 2023, I sent an email to Defendant’s counsel setting forth the calculation
13 for the new deadline for Plaintiffs’ Motion to Compel on November 1, 2023, and asked Defendant’s
14 counsel to advise whether they had a different understanding. I also asked that Defendant provide any
15 documents or supplemental responses by October 18, 2023 in order to permit Plaintiffs adequate time
16 to prepare a motion, if necessary. I did not receive a response to my email correspondence. A true and
17 correct copy of my email correspondence dated October 4, 2023 is attached hereto as Exhibit 6.
18 10. To date, Defendant has not provided adequate verified written responses and all
19 responsive documents to Plaintiffs’ RFPD-Set 1, Request Nos. 1, 5-6, 8, 11-12, 16-19, 21-23, 25-26,
20 28-32, 38, and 40. Defendant’s continued refusal to provide responsive documents and adequate
21 discovery responses on topics that are relevant and discoverable is meritless and without substantial
22 justification. The requested documents and further responses must be provided so that Plaintiffs can
23 adequately and properly evaluate this matter for preferential trial set for January 8, 2024; therefore,
24 Plaintiffs had no choice but to bring this motion to compel.
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DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE
VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND
DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE
1 I declare under penalty of perjury under the laws of the state of California that the foregoing is
2 true and correct. Executed this 30th day of October 2023 at San Francisco, California.
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5 BRIAN UMPIERRE
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DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE
VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND
DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE
EXHIBIT 1
1 KATHRYN A. STEBNER (SBN 121088)
KARMAN GUADAGNI (SBN 267631)
2 DEENA ZACHARIN (SBN 141249)
3 KELSEY CRAVEN (SBN 337179)
STEBNER GERTLER GUADAGNI & KAWAMOTO
4 A Professional Law Corporation
870 Market Street, Suite 1285
5 San Francisco, CA 94102
Tel: (415) 362-9800
6
Fax: (415) 362-9801
7
KIRSTEN FISH (SB #217940)
8 NEEDHAM, KEPNER & FISH, LLP
1960 The Alameda, Suite 210
9 San Jose, CA 95126
Tel: (408) 244-2166
10
Fax: (408) 244-7815
11
Attorneys for Plaintiffs
12
13 SUPERIOR COURT OF THE STATE OF CALIFORNIA
14 IN AND FOR THE COUNTY OF KERN
15
BILLY CATES, Individually and as CASE NO. BCV-22-102864
16 Successor-In-Interest to the Estate of LOIS
CATES; BARBARA NEWTON, Individually; PLAINTIFFS’ REQUEST FOR
17 and PAUL CATES, Individually, PRODUCTION OF DOCUMENTS TO
18 Plaintiffs, DEFENDANT THE VILLAGE AT SEVEN
vs. OAKS AL MC, LLC DBA THE VILLAGE
19 THE VILLAGE AT SEVEN OAKS AL MC, AT SEVEN OAKS ASSISTED LIVING
LLC dba THE VILLAGE AT SEVEN OAKS AND MEMORY CARE, SET ONE
20 ASSISTED LIVING AND MEMORY CARE;
SEVEN OAKS AL & MC; FRONTIER
21 MANAGEMENT LLC; FRONTIER SENIOR
22 LIVING, LLC; SAMANTHA DAVIDSON;
KELLAND LANCASTER and DOES 1-50,
23 Inclusive,
Defendants.
24 PROPOUNDING PARTY: Plaintiffs
25 RESPONDING PARTY: Defendant THE VILLAGE AT SEVEN OAKS AL MC, LLC
DBA THE VILLAGE AT SEVEN OAKS ASSISTED
26 LIVING AND MEMORY CARE
27 SET NUMBER: ONE
-1-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE
2 AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE AND TO ITS ATTORNEYS OF
3 RECORD:
4 Plaintiffs hereby request pursuant to Section 2031.010 of the Code of Civil Procedure that
5 Responding Party produce the documents described below for inspection at the offices of Stebner
6 Gertler Guadagni & Kawamoto, 870 Market Street, Suite 1285, San Francisco, California 94102,
7 and serve upon Plaintiffs the verified written responses required by Code of Civil Procedure section
8 2031.260 within 30 days after service of this Request.
9 In lieu of personal appearance and production on the above date, compliance with this
10 Request for Production of Documents may be accomplished by mailing to counsel at the above
11 address, full, true, and correct copies of the requested documents, verified by you as such, in a
12 manner prescribed for written response to the demand for inspection of documents pursuant to Code
13 of Civil Procedure section 2031.260.
14 DEFINITIONS
15 The following definitions shall apply to this Request:
16 1. “WRITINGS” or “RECORDINGS” consist of letters, words, or numbers, or their
17 equivalent, set down by handwriting, typewriting, printing, photostating, photographing, magnetic
18 impulse, mechanical or electronic recording, or other form of data compilation.
19 2. “ORIGINAL” or “ORIGINALS” means the writing or recording itself or any
20 counterpart intended to have the same effect by a person executing or issuing it. An “original” of a
21 photograph includes the negative or any print therefrom. If data are stored in a computer or similar
22 device, any printout or other output readable by sight, shown to reflect the data accurately, is an
23 “original”.
24 3. “DUPLICATE” or “DUPLICATES” is a counterpart produced by the same
25 impression as the original, or from the same matrix, or by means of photography, including
26 enlargements and miniatures, or by mechanical or electronic re-recording, or by chemical
27 reproduction, or by other equivalent techniques which accurately reproduce the original.
-2-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 4. “PHOTOGRAPH” or “PHOTOGRAPHS” include still photographs, X-ray films,
2 video tapes, and motion pictures.
3 5. “DOCUMENT” or “DOCUMENTS”, “VIDEOTAPE”, “AUDIOTAPES”,
4 “COMPUTER-GENERATED MATERIALS, AND/OR OTHER THINGS”, mean and include any
5 medium upon which intelligence or information can be recorded, maintained, or retrieved,
6 including, without limitations, ORIGINAL and DUPLICATES, regardless of origin and location, of
7 any correspondence (including any written memorandum of a telephone conversation, other
8 communication, discussion, agreement, and any other act, transaction or activity), file, book,
9 pamphlet, periodical, letter, manual, memorandum (including, but not limited to, any memorandum
10 or report of a meeting or conversation), contract, agreement, study, report, analysis, invoice, bill,
11 time sheet, expense voucher, receipt, book of account (including cash disbursement journal, income
12 statement, or reconciliation), financial statement, order form, record, bond, requisition, plan,
13 drawing, specification, sound recording, minutes, diary, calendar, telegram, message, handwritten
14 note, draft working paper, photostat, microfilm, film, photograph, comparison, print, graph,
15 drawing, sketch, chart, summary data sheet, data processing card, tape, (magnetic or otherwise),
16 ELECTRONICALLY STORED INFORMATION, COMPUTER-GENERATED MATERIAL
17 (including relevant access, codes, instructional, logistics, and/or software materials required to
18 access, retrieve, and/or assemble all related data), and any other written, recorded, transcribed,
19 punched, taped, filmed, or graphic, photographic, or electronic matter of any kind or nature
20 (including any marginal comments appearing on any DOCUMENTS or any other WRITING)
21 however produced or reproduced, which are in the deponent’s possession, custody or control, or
22 which the deponent has a right or privilege to examine upon request or demand.
23 6. “ELECTRONICALLY STORED INFORMATION” (also referred to as “ESI”)
24 includes but is not limited to electronic files generated by office productivity software such as word-
25 processing software, e-mail software, spreadsheet software, project planning software, presentation
26 software, graphs and charts software, database software, employee time clock software (such as, but
27 not limited to, Kronos), calendaring and task data, computer aided design data, databases of any
-3-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 kind along with applications which created, modify or read data within the databases, logs of all
2 electronic systems, voice mail, transcriptions of voice mail, e-mail, text messages, online postings,
3 and all meta-data and/or native data associated with any “ESI,” along with the software applications
4 used to create, modify or read the “ESI,” and any other written, recorded, transcribed, punched,
5 taped, filmed, or graphic, photographic, or electronic matter of any kind or nature (including any
6 marginal comments appearing on any “DOCUMENTS” or any other “WRITING”) however
7 produced or reproduced.
8 7. “PERSON” means any natural person, and includes additionally any firm,
9 partnership, joint venture, corporation, or other entity.
10 8. “YOU” or “YOUR” refers to Responding Party and any agent thereof.
11 9. “FACILITY” means THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND
12 MEMORY CARE, a licensed Residential Care Facility for the Elderly (“RCFE”) as defined in
13 Health and Safety Code Section 1564, et seq., located at 4301 Buena Vista Rd, Bakersfield, CA
14 93311.
15 INSTRUCTIONS
16 The following instructions shall apply to this Request:
17 1. YOUR WRITTEN RESPONSE TO THIS INSPECTION DEMAND must respond
18 (Code of Civil Procedure section 2031.210 separately to each numbered demand for inspection
19 below by:
20 a. A statement that YOU will comply with the particular demand;
21 b. A statement that YOU lack the ability to comply with the particular demand;
22 or
23 c. Any objection to the particular demand.
24 2. If YOUR response to a particular demand is a statement that YOU will comply with
25 that demand, YOU must state in YOUR response whether the production will be allowed in whole
26 or in part, and YOU must state that all DOCUMENTS or things in the demanded category that are
27 in YOUR possession, custody or control and to which no objection is being made will be included
-4-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 in the production. (Code of Civil Procedure section 2031.220).
2 3. If YOUR response to a particular demand is a statement that YOU lack the ability to
3 comply with that demand, YOU must affirm in YOUR response that a diligent search and a
4 reasonable inquiry have been made in an effort to comply with that demand. This statement shall
5 also specify whether the inability to comply is because the particular item or category never existed,
6 has been destroyed, has been lost, misplaced, or stolen, or has never been, or is no longer, in YOUR
7 possession, custody or control, in which case the name and address of any PERSON or entity known
8 or believed by YOU to have possession, custody or control of that DOCUMENT or category of
9 DOCUMENTS should be identified. (Code of Civil Procedure section 2031.230).
10 4. If YOUR response to a particular demand is an objection, YOU must set forth in
11 YOUR response the extent of, and the specific ground for, the objection. In YOUR response, YOU
12 must also identify with particularity any DOCUMENT responsive to the particular demand that is
13 being withheld from production based upon a claim of privilege or other protection and state the
14 particular privilege or protection being invoked. (Code of Civil Procedure section 2031.240). To
15 identify with particularity DOCUMENTS withheld from production, YOU should provide, for each
16 DOCUMENT withheld, the following information if known or available to YOU:
17 a. Title or subject matter of DOCUMENT;
18 b. The date composed or date appearing on the DOCUMENT;
19 c. Author and Addressee;
20 d. Number of Pages;
21 e. Identity of all PERSONS or entities who saw or received a copy of such
22 DOCUMENT, including the job titles of each such PERSON;
23 f. The present location of the item; and
24 g. The identity of the PERSON or PERSONS who have custody, control, or
25 possession thereof.
26 5. This request requires the production of DOCUMENTS as they are kept in the usual
27 course of business or organized and labeled to correspond with the particular demands set forth
-5-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 below. If YOU choose the former method, the DOCUMENTS are to be produced in the boxes, file
2 folders, bindings or other containers in which the DOCUMENTS are found. The titles, labels, or
3 other descriptions on the boxes, file folders, bindings or other containers are to be left intact.
4 6. Plaintiffs hereby request that YOU de-duplicate any DOCUMENTS that are
5 produced in response to this Request for Production of Documents.
6 7. Plaintiffs hereby request that any electronic DOCUMENTS, including
7 ELECTRONICALLY STORED INFORMATION and/or COMPUTER-GENERATED
8 MATERIAL, be produced in word-searchable format.
9 DOCUMENT REQUEST
10 REQUEST NO. 1.:
11 Any and all DOCUMENTS concerning the care and treatment provided to LOIS CATES at
12 the FACILITY. This includes, but is not limited to, her entire resident file, aide’s notes, needs and
13 services plans, assessments, caregiver task lists, evaluations, ADL documentation, medication
14 administration records and logs of any kind (including, but not limited to, communication logs,
15 activity logs, change of shift logs and daily logs), individual task sheets, individual resident needs
16 assessments and re-assessments, personal service plan assessment forms, individual resident service
17 plans, individual resident schedules, shower schedules, skin check forms, activity logs, notice of
18 move-in forms, pre-admission assessment forms, residence and services agreements, resident
19 handbook, documents reflecting times that LOIS CATES used her personal help button and/or
20 pendant at the FACILITY and YOUR response to LOIS CATES’s use of her personal help button
21 and/or pendant, and any and all appendices thereto. Third party resident information may be
22 redacted.
23 REQUEST NO. 2.:
24 Any and all DOCUMENTS concerning the care and treatment provided to Defendant
25 KELLAND LANCASTER at the FACILITY. This includes, but is not limited to, her entire resident
26 file, aide’s notes, needs and services plans, assessments, caregiver task lists, evaluations, ADL
27 documentation, medication administration records and logs of any kind (including, but not limited
-6-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 to, communication logs, activity logs, change of shift logs and daily logs), individual task sheets,
2 individual resident needs assessments and re-assessments, personal service plan assessment forms,
3 individual resident service plans, individual resident schedules, shower schedules, skin check forms,
4 activity logs, notice of move-in forms, pre-admission assessment forms, residence and services
5 agreements, resident handbook, documents reflecting times that LOIS CATES used her personal
6 help button and/or pendant at the FACILITY and YOUR response to LOIS CATES’s use of her
7 personal help button and/or pendant, and any and all appendices thereto. Third party resident
8 information may be redacted.
9 REQUEST NO. 3.:
10 Any and all billings for services charged by YOU for any and all services or items provided
11 to LOIS CATES.
12 REQUEST NO. 4.:
13 Any and all surveillance records, including video footage, photographs or other images of
14 the FACILITY taken at the FACILITY depicting LOIS CATES.
15 REQUEST NO. 5.:
16 Any and all DOCUMENTS reflecting communications made to or made by YOU regarding
17 or concerning LOIS CATES, including, but not limited to, communications between YOU and
18 LOIS CATES and/or her family members or personal representative and communications between
19 YOU and any other defendant. This request includes, but is not limited to, emails, text messages,
20 conversations facilitated through chat software, communication logs, handwritten notes,
21 memoranda, faxes, and other written correspondence.
22 REQUEST NO. 6.:
23 Any and all DOCUMENTS or other reports sent by the FACILITY or by the FACILITY’s
24 managing agents, including the FACILITY’s Administrator/Executive Director and Resident
25 Services Director, to the regional or corporate office regarding or concerning LOIS CATES.
26 ///
27 ///
-7-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 REQUEST NO. 7.:
2 Any and all DOCUMENTS provided to LOIS CATES and/or her family and/or personal
3 representative(s) prior to, or at the time of, the date the original contractual agreement was entered
4 into between LOIS CATES and/or her family and/or her personal representative(s) and the
5 FACILITY.
6 REQUEST NO. 8.:
7 If an in-house investigation was conducted by YOU or on YOUR behalf in the ordinary
8 course of business subsequent to the occurrence in question and before YOU received formal notice
9 of this lawsuit, relating to the occurrence in question or the subject matter of this suit, provide any
10 and all documentation relating to such investigation, including but not limited to:
11 a. All documents, drawings, films models or other items generated or obtained by YOU
12 or on YOUR behalf, which are relevant or contain information relevant to the death of LOIS
13 CATES, and YOUR affirmative defenses to the plaintiffs’ cause of action.
14 b. All statements obtained by YOU or on YOUR behalf.
15 c. All physical and/or tangible items and/or potentially usable evidence obtained by
16 YOU or on YOUR behalf from the scene of the occurrence in question.
17 d. Any quality assurance report, study, complaint or incident investigation or
18 investigation of alleged substandard care or abuse which in any way refers to or concerns YOU.
19 REQUEST NO. 9.:
20 Any and all DOCUMENTS, including reports, letters, correspondence, memoranda and/or
21 computer transmissions sent to, or prepared by, agents and/or employees of YOU which concern, in
22 whole or in part, the level of staffing in the units at the FACILITY during any part of the time
23 period from January 1, 2019 through and including the date of YOUR response to this request.
24 Staffing documents include, but are not limited to, timecards, electronic time detail reports,
25 electronic payroll data, schedules, staff rosters, documents reflecting the actual number of hours
26 worked by the FACILITY’s staff and managing agents, including the FACILITY’s
27 Administrator/Executive Director and Resident Services Director, “missed punch” or “time clock
-8-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 adjustment” sheets that reflect the basis for adjustments made to electronic time detail records or
2 other electronic staffing data at the FACILITY, daily assignment sheets, documentation from
3 Quickbooks, employee sign-in sheets, documents reflecting the resident census, daily resident acuity
4 calculations, calculations of aggregate minutes generated by resident functional needs assessment
5 forms, documents showing the facility-wide total of personal care minutes generated by the resident
6 functional needs assessments and used to determine the residents’ personal care levels at the
7 FACILITY, and shift schedules for all RNs, LVNs, CNAs, physical therapists, and occupational
8 therapists employed by FACILITY on all shifts during the specified time period. Redacted
9 documents may be produced to preserve privacy rights of other residents, and information regarding
10 rates of employee pay may be redacted.
11 REQUEST NO. 10.:
12 Any and all DOCUMENTS reflecting job descriptions for all direct care, marketing and
13 administrative staff at the FACILITY during the time period from January 1, 2019 through and
14 including the date of YOUR response to this Request.
15 REQUEST NO. 11.:
16 Complete legal copies of any and all FACILITY operational manuals including but not
17 limited to nursing and administrative manual, policies and procedures manual, resident records
18 policy manual (including but not limited to the electronic management of resident records) and
19 abuse manuals used by the FACILITY in effect during LOIS CATES’s admission to the
20 FACILITY, including the table of contents and including any and all appendixes thereto. This
21 request includes, but is not limited to, documentation that sets forth policies and procedures in the
22 following areas: resident assessments; resident re-assessments; personal care levels; resident
23 monitoring; resident-on-resident abuse, dementia, residents with dementia, assistance with resident
24 ambulation; pain assessment and treatment; checking residents every two hours; resident
25 supervision; physician orders; changes in resident condition; incident reporting; admission, transfer,
26 and discharge of residents; responding to call lights; the emergency call system at the FACILITY;
27 the Pre-Admission Assessment form at the FACILITY; the Personal Service Plan Assessment form
-9-
PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 at the FACILITY; needs and services plans; general staffing; staffing to acuity; family notification
2 of changes in resident condition; changes to the resident service plan; the response time of nurses
3 and staff to call lights; all resident care protocols for the units where LOIS CATES was a resident;
4 responding to complaints from residents and residents’ family members; ancillary diagnostic and
5 therapeutic services (such as laboratory, radiology and physical therapy); ensuring resident safety;
6 resident records; resident care protocols; resident rights; charting; emergency medical/health care,
7 the FACILITY’s budget, and variations in the FACILITY’s labor budget. Additionally, with
8 respect to any policy that has been revised or updated, you are requested to produce the original
9 version, prior to change.
10 REQUEST NO. 12.:
11 Any and all DOCUMENTS received by YOU from residents, family members of residents,
12 employees, and/or third parties concerning the level(s) of staffing of the FACILITY from January 1,
13 2019 through and including the date of your response to this request.
14 REQUEST NO. 13.:
15 The written organizational chart showing the major programs of FACILITY, the person in
16 charge of each program, the lines of authority, responsibility and communication in effect from
17 January 1, 2019 through and including the date of YOUR response to this request.
18 REQUEST NO. 14.:
19 All insurance agreements and/or policies in their entirety which afford protection to YOU
20 and/or YOUR governing body for the acts and omissions set forth by Plaintiff in the above-entitled
21 case, including, but not limited to primary, umbrella, and excess policies which may obligate any
22 respective insurance company to satisfy part or all of the judgment which may be rendered in this
23 action against the YOU and/or against any member of the governing body, arising out of the acts or
24 omissions of any such member.
25 REQUEST NO. 15.:
26 All insurance agreements and/or policies in their entirety which pertain to any management
27 company engaged by YOU to operate the FACILITY including, but not limited to, primary
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 umbrella and excess policies, which may obligate any respective insurance company to satisfy part
2 or all of a judgment which may be rendered in an action against the said management company
3 arising out of its acts or omissions.
4 REQUEST NO. 16.:
5 Any and all advertisements, representations or the documentation made available to the
6 public by YOU during the time period of January 1, 2019 to and including the date of this request
7 which contain claims about the quality, characteristic, type, and standard of care provided to the
8 residents of the FACILITY or the approved status of said FACILITY. This request includes, but is
9 not limited to all brochures, yellow page advertisements, newspaper advertisements, statements of
10 care philosophy, statements of policies or care objectives, billboard advertisements, magazine
11 advertisements, flyers, marketing materials, statements, representations and claims about the type
12 and/or amount of care provided to residents of the FACILITY or the approved status of the
13 FACILITY made in connection with any event sponsored by YOU or any other documentation
14 created to promote the FACILITY.
15 REQUEST NO. 17.:
16 Any and all written complaints received by YOU concerning insufficient staffing,
17 inadequate training of staff, and/or the inadequate services provided at the FACILITY from January
18 1, 2019 through and including the date of your response to this request.
19 REQUEST NO. 18.:
20 Any and all DOCUMENTS regarding resident council meetings at the FACILITY for the
21 time period from January 1, 2019 through and including the date of your response to this request.
22 This request includes, but is not limited to, minutes of resident council meetings at the FACILITY
23 and DOCUMENTS sent to or received by the resident council at the FACILITY.
24 REQUEST NO. 19.:
25 Any and all DOCUMENTS regarding family council meetings at the FACILITY for the time
26 period from January 1, 2019 through and including the date of your response to this request. This
27 request includes, but is not limited to, minutes of family council meetings at the FACILITY and
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 DOCUMENTS sent to or received by the family council at the FACILITY.
2 REQUEST NO. 20.:
3 Any and all correspondence and/or newsletters distributed to residents of the FACILITY for
4 the time period from January 1, 2019 through and including the date of your response to this
5 request.
6 REQUEST NO. 21.:
7 Any and all DOCUMENTS regarding in-service or training programs given to staff and
8 managing agents at the FACILITY from January 1, 2019 through and including the date of your
9 response to this request regarding or concerning resident assessments; resident re-assessments;
10 personal care levels; resident monitoring; supervision of residents that are fall risks; fall prevention;
11 fall risk assessment; assistance with resident ambulation; pain assessment and treatment; checking
12 residents every two hours; resident supervision; physician orders; changes in resident condition;
13 incident reporting; admission, transfer, and discharge of residents; responding to call lights; the
14 emergency call system at the FACILITY; the Pre-Admission Assessment form at the FACILITY;
15 the Personal Service Plan Assessment form at the FACILITY; needs and services plans; general
16 staffing; staffing to acuity; family notification of changes in resident condition; changes to the
17 resident service plan; the response time of nurses and staff to call lights; all resident care protocols
18 for the units where LOIS CATES was a resident; responding to complaints from residents and
19 residents’ family members; ancillary diagnostic and therapeutic services (such as laboratory,
20 radiology and physical therapy); ensuring resident safety; resident records; resident care protocols;
21 resident rights; charting; emergency medical/health care; staffing; budgeting for staffing, staffing
22 ratios; calculation of resident acuity; staff recruitment and retention; staff training; resident
23 assessments; resident management; incident reports; root cause analysis; and sentinel events.
24 REQUEST NO. 22.:
25 Any and all DOCUMENTS regarding daily meetings at the FACILITY during the time
26 period from January 1, 2019 through and including the date of YOUR response to this request (third
27 party resident names and other identifying information may be redacted). This request includes, but
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 is not limited to, DOCUMENTS created by or on behalf of the FACILITY in anticipation of daily
2 meetings and minutes of daily stand up meetings held at the FACILITY.
3 REQUEST NO. 23.:
4 Any and all DOCUMENTS regarding variations in the labor budget at the FACILITY during
5 the time period from January 1, 2019 through and including the date of your response to this
6 request, including, but not limited to, any and all requests for changes to the labor budget, YOUR
7 response to any request to increase or decrease the labor budget, documents concerning the reasons
8 for budget variances, and/or documents regarding the consequences of budget variances.
9 REQUEST NO. 24.:
10 Any and all forms submitted by YOU to the State of California, Department of Social
11 Services, Community Care Licensing Division regarding or concerning the FACILITY, including
12 forms LIC 200- Application for a Community Care Facility or Residential Care Facility for the
13 Elderly License, LIC 309-Administrative Organization, LIC 401- Monthly Operating Statement, and
14 INS 025- Certificate of Liability Insurance
15 REQUEST NO. 25.:
16 Any and all correspondence, including, but not limited to, e-mails, letters or other
17 memoranda, between YOU and staff of the FACILITY during the time period from January 1, 2019
18 through and including the date of your response to this request, regarding the level of staffing, the
19 adequacy of services, and/or the budget at the FACILITY.
20 REQUEST NO. 26.:
21 All WRITINGS and correspondence between State government agents and/or employees,
22 including agents and/or employees of the Ombudsman's office and/or the Department of Social
23 Services, Community Care Licensing Division, and agents and/or employees of the FACILITY
24 during the time period from January 1, 2019 through and including the date of your response to this
25 request. This request includes, but is not limited to, all WRITINGS and correspondence between
26 State government agents and/or employees and agents and/or employees of the FACILITY
27 concerning LOIS CATES.
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 REQUEST NO. 27.:
2 Any and all contracts and/or agreements between YOU and any other Defendant or entity,
3 including operating agreements, management agreements, and lease agreements for the FACILITY.
4 This request includes, but is not limited to, contracts between YOU and the provider of any
5 surveying and/or quality management company in use at the FACILITY.
6 REQUEST NO. 28.:
7 Any and all documents reflecting the annual budget for the FACILITY during the time
8 period from January 1, 2019 through and including the date of YOUR response to this request.
9 REQUEST NO. 29.:
10 All annual financial statements and reports prepared by or for YOU. This includes
11 WRITINGS which describe and/or summarize, in any way, the annual gross revenues received, the
12 total annual expenses incurred, all profit and loss statements prepared by or for the YOU, all
13 WRITINGS which reflect YOUR total net worth and W-2 and 1099 forms for YOU from January 1,
14 2019 through and including the date of your response to this request.
15 REQUEST NO. 30.:
16 Any and all Unusual Incident/Occurrence reports completed by staff at the FACILITY on
17 the date of the incident, as described in Plaintiffs’ Complaint for Damages (third-party resident
18 names and other identifying information may be redacted).
19 REQUEST NO. 31.:
20 Any and all incident reports created by YOU concerning LOIS CATES.
21 REQUEST NO. 32.:
22 Any and all incident reports created by YOU concerning Defendant KELLAND
23 LANCASTER.
24 REQUEST NO. 33.:
25 Any and all DOCUMENTS created by YOU on a periodic basis from the time period of
26 LOIS CATES’s admission to the FACILITY, which relate to the FACILITY’s rate of occupancy,
27 the number of beds filled or empty during any report period, the level of care required for each
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 member of the patient population, occupancy goals, objectives and strategies for the FACILITY.
2 This request includes any evaluation by management regarding the relative success of the
3 occupancy goals, objectives and strategies established for the FACILITY.
4 REQUEST NO. 34.:
5 Any blueprint, layout, floor plan, drawing graphical representation or illustration which
6 accurately illustrates the floor plan of the FACILITY for the time period from January 1, 2019
7 through and including the date of your response to this request.
8 REQUEST NO. 35.:
9 Any documentation which discloses or contains the name of each person who directly or
10 indirectly owned an interest of five percent (5%) or more in the FACILITY from January 1, 2019
11 through and including the date of your response to this request.
12 REQUEST NO. 36.:
13 Any and all documents reflecting YOUR corporate hierarchy and/or organizational structure
14 during the time period from January 1, 2019 through and including the date of YOUR response to
15 this request. This request includes, but is not limited to, any and all writings provided to any state or
16 federal agency to show YOUR ownership structure.
17 REQUEST NO. 37.:
18 Any and all non-privileged DOCUMENTS, including but not limited to reports, letters,
19 memoranda, texts, and/or emails sent to, or prepared by, YOU or YOUR agents and/or employees
20 which relate to, in whole or in part, LOIS CATES.
21 REQUEST NO. 38.:
22 Any and all DOCUMENTS, including but not limited to emails, correspondence,
23 memoranda, notifications, alerts, scorecards and/or survey results from any external third party
24 surveying or quality management company regarding or concerning the FACILITY during any time
25 from January 1, 2019 to and including the present.
26 REQUEST NO. 39.:
27 Any and all of YOUR employee handbooks for the time period from January 1, 2019,
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
1 through the present.
2 REQUEST NO. 40.:
3 Any and all DOCUMENTS reflecting the minutes of meetings of YOUR governing body
4 and/or YOUR board of managers or directors from January 1, 2019 through and including the date
5 of YOUR response to this request.
6 REQUEST NO. 41.:
7 Any and all DOCUMENTS referenced in YOUR responses to Special Interrogatories, Set
8 One.
9 REQUEST NO. 42.:
10 Any and all documents referenced in YOUR responses to Form Interrogatories, Set One.
11 Dated: April 17, 2023 STEBNER GERTLER GUADAGNI & KAWAMOTO
12
13
By:
14 Kathryn Stebner
Karman Guadagni
15
Deena Zacharin
16 Kelsey Craven
17 Attorneys for Plaintiffs
18
19
20
21
22
23
24
25
26
27
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PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN
OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET
ONE
EXHIBIT 2
1 William C. Wilson, SBN: 149683
John T. Tsumura, SBN: 224119
2 WILSON GETTY LLP
12555 High Bluff Drive, Suite 270
3 San Diego, California 92130
Telephone: 858.847.3237
4 Facsimile: 858.847.3365
5 Attorneys for Defendants THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT
SEVEN OAKS ASSISTED LIVING AND MEMORY CARE; SEVEN OAKS ASSISTED LIVING
6 AND MEMORY CARE LLC (erroneously sued and served as SEVEN OAKS AL & MC); FRONTIER
MANAGEMENT LLC; FRONTIER SENIOR LIVING, LLC; and SAMANTHA DAVIDSON
7
8 SUPERIOR COURT OF THE STATE OF CALIFORNIA
9 FOR THE COUNTY OF KERN
10 BILLY CATES, Individually and as Successor- Case No. BCV-22-102864
In-Interest to the Estate of LOIS CATES;
11 BARBARA NEWTON, Individually; and DEFENDANT THE VILLAGE AT SEVEN
PAUL CATES, Individually, OAKS AL MC, LLC dba THE VILLAGE AT
12 SEVEN OAKS ASSISTED LIVING AND
Plaintiffs, MEMORY CARE’S RESPONSES TO
13 REQUEST FOR PRODUCTION OF
vs. DOCUMENTS PROPOUNDED BY
14 PLAINTIFFS, SET ONE
THE VILLAGE AT SEVEN OAKS AL MC,
15 LLC dba THE VILLAGE AT SEVEN OAKS Action Filed: October 26, 2022
ASSISTED LIVING AND MEMORY CARE;
16 SEVEN OAKS AL & MC; OAKMONT Judge: Hon. Thomas S. Clark
MANAGEMENT GROUP, LLC; OAKMONT Dept.: 17
17 SENIOR LIVING, LLC; SAMANTHA Trial Date: Not Set
D
Preview
1 KATHRYN A. STEBNER (SBN 121088) KARMAN GUADAGNI (SBN 267631) 2 DEENA ZACHARIN (SBN 141249) KELSEY CRAVEN (SBN 337179) 3 BRIAN UMPIERRE (SBN 236399) STEBNER GERTLER GUADAGNI & KAWAMOTO 4 A Professional Law Corporation 870 Market Street, Suite 1285 5 San Francisco, CA 94102 Tel: (415) 362-9800 6 Fax: (415) 362-9801 7 KIRSTEN FISH (SB #217940) NEEDHAM KEPNER & FISH LLP 8 1960 The Alameda, Suite 210 San Jose, CA 95126 9 Tel: (408) 244-2166 10 Fax: (408) 244-7815 11 Attorneys for Plaintiffs 12 SUPERIOR COURT OF THE STATE OF CALIFORNIA 13 IN AND FOR THE COUNTY OF KERN 14 BILLY CATES, Individually and as CASE NO. BCV-22-102864 15 Successor-In-Interest to the Estate of LOIS CATES; BARBARA NEWTON, Individually; DECLARATION OF BRIAN UMPIERRE IN 16 and PAUL CATES, Individually, SUPPORT OF PLAINTIFFS’ MOTION TO COMPEL DEFENDANT THE VILLAGE AT 17 Plaintiffs, SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED 18 vs. LIVING AND MEMORY CARE’S FURTHER RESPONSE AND DOCUMENT 19 THE VILLAGE AT SEVEN OAKS AL MC, PRODUCTION TO PLAINTIFFS’ LLC dba THE VILLAGE AT SEVEN OAKS REQUESTS FOR PRODUCTION OF 20 ASSISTED LIVING AND MEMORY CARE; DOCUMENTS, SET ONE SEVEN OAKS AL & MC; FRONTIER 21 MANAGEMENT LLC; FRONTIER SENIOR LIVING, LLC; SAMANTHA DAVIDSON; Date: December 1, 2023 22 and DOES 1-50, Inclusive, Time: 8:30 a.m. Place: Dept. 17 23 Defendants. Judge: Hon. Thomas S. Clark Complaint filed: October 26, 2022 24 FAC filed: January 18, 2023 Preferential Trial Date: January 8, 2024 25 JURY TRIAL DEMANDED 26 27 28 1 DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE 1 I, BRIAN UMPIERRE, declare: 2 1. I am an attorney at law duly admitted to practice before all courts of the State of 3 California and am an associate with the law firm of Stebner Gertler Guadagni & Kawamoto, attorneys 4 of record for Plaintiffs Billy Cates, Barbara Newton, and Paul Cates (“Plaintiffs”). I have personal 5 knowledge of the facts set forth herein. If called upon to testify, I would do so competently. 6 2. Plaintiffs filed their Complaint on October 26, 2022 and filed their First Amended 7 Complaint on January 18, 2023. On January 17, 2023, Plaintiffs dismissed defendants Oakmont 8 Management Group, LLC and Oakmont Senior Living, LLC, and on July 24, 2023, Plaintiffs dismissed 9 defendant Kelland Lancaster. The Court subsequently set this matter for preferential trial to commence 10 on January 8, 2024. 11 3. On April 17, 2023, Plaintiffs served their first set of discovery requests on Defendant 12 The Village at Seven Oaks AL MC, LLC dba The Village at Seven Oaks Assisted Living and Memory 13 Care ( herein “Defendant”), including Plaintiffs’ Request for Production of Documents, Set One 14 (“RFPD-Set 1”). A true and correct copy of the relevant portions of Plaintiffs’ RFPD-Set 1 is attached 15 hereto as Exhibit 1. 16 4. On June 16, 2023, Defendant served its verified responses to Plaintiffs’ RFPD-Set 1 and 17 produced some responsive documents to Plaintiffs’ RFPD-Set 1, Request Nos. 1, 3, 5, 7, 9-11, 13-15, 18 21, 24, 27, 33-37, 39, and 42. A true and correct copy of the relevant portions of Defendant’s verified 19 response to Plaintiff’s RFPD-Set 1 is attached hereto as Exhibit 2. 20 5. On July 25, 2023, I sent a meet and confer letter to Defendant’s counsel outlining 21 Defendant’s inadequate written responses and document production in response to Plaintiffs’ RFPD-Set 22 1. I stated that I would like to further discuss the matters addressed in my letter at a mutually agreeable 23 time the following week and requested a three-week extension for Plaintiffs to move to compel 24 responses for the first set of document requests to August 21, 2023. Mr. Wilson and Mr. Tsumura then 25 granted the three-week extension and agreed to extend the motion to compel deadline by 21 days to 26 August 21, 2023. A true and correct copy of my meet and confer correspondence dated July 25, 2023 is 27 attached hereto as Exhibit 3. A true and correct copy of my subsequent email correspondence 28 2 DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE 1 regarding the extension on the time to move to compel is attached hereto as Exhibit 4. 2 6. On August 17, 2023, defense counsel agreed to extend the deadline by an additional 3 forty-five (45) days per my colleague Karman Guadagni’s request, which pushed the motion to compel 4 deadline to October 5, 2023. A true and correct copy of the email correspondence between Ms. 5 Guadagni and Defendant's counsel dated August 16-17, 2023 is attached hereto as Exhibit 5. 6 7. On August 16, 2023, Defendants served on Plaintiffs their Petition to Compel 7 Arbitration and Stay Proceedings and supporting papers. 8 8. On August 22, 2023, the parties agreed to stay all non-arbitration related discovery 9 until after the hearing on Defendants’ motion to compel arbitration on September 21, 2023. Thus, 10 given the 30-day agreed-upon discovery stay (from August 22, 2023 to September 21, 2023), 11 Plaintiffs calculate the new deadline for Plaintiffs’ motion to compel to be November 1, 2023. 12 9. On October 4, 2023, I sent an email to Defendant’s counsel setting forth the calculation 13 for the new deadline for Plaintiffs’ Motion to Compel on November 1, 2023, and asked Defendant’s 14 counsel to advise whether they had a different understanding. I also asked that Defendant provide any 15 documents or supplemental responses by October 18, 2023 in order to permit Plaintiffs adequate time 16 to prepare a motion, if necessary. I did not receive a response to my email correspondence. A true and 17 correct copy of my email correspondence dated October 4, 2023 is attached hereto as Exhibit 6. 18 10. To date, Defendant has not provided adequate verified written responses and all 19 responsive documents to Plaintiffs’ RFPD-Set 1, Request Nos. 1, 5-6, 8, 11-12, 16-19, 21-23, 25-26, 20 28-32, 38, and 40. Defendant’s continued refusal to provide responsive documents and adequate 21 discovery responses on topics that are relevant and discoverable is meritless and without substantial 22 justification. The requested documents and further responses must be provided so that Plaintiffs can 23 adequately and properly evaluate this matter for preferential trial set for January 8, 2024; therefore, 24 Plaintiffs had no choice but to bring this motion to compel. 25 /// 26 /// 27 /// 28 3 DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE 1 I declare under penalty of perjury under the laws of the state of California that the foregoing is 2 true and correct. Executed this 30th day of October 2023 at San Francisco, California. 3 4 ____________________________________ 5 BRIAN UMPIERRE 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4 DECL. OF BRIAN UMPIERRE ISO PLTFS’ MTC DEF THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE’S FURTHER RESPONSE AND DOCUMENT PRODUCTION TO PLTFS’ RFPD, SET ONE EXHIBIT 1 1 KATHRYN A. STEBNER (SBN 121088) KARMAN GUADAGNI (SBN 267631) 2 DEENA ZACHARIN (SBN 141249) 3 KELSEY CRAVEN (SBN 337179) STEBNER GERTLER GUADAGNI & KAWAMOTO 4 A Professional Law Corporation 870 Market Street, Suite 1285 5 San Francisco, CA 94102 Tel: (415) 362-9800 6 Fax: (415) 362-9801 7 KIRSTEN FISH (SB #217940) 8 NEEDHAM, KEPNER & FISH, LLP 1960 The Alameda, Suite 210 9 San Jose, CA 95126 Tel: (408) 244-2166 10 Fax: (408) 244-7815 11 Attorneys for Plaintiffs 12 13 SUPERIOR COURT OF THE STATE OF CALIFORNIA 14 IN AND FOR THE COUNTY OF KERN 15 BILLY CATES, Individually and as CASE NO. BCV-22-102864 16 Successor-In-Interest to the Estate of LOIS CATES; BARBARA NEWTON, Individually; PLAINTIFFS’ REQUEST FOR 17 and PAUL CATES, Individually, PRODUCTION OF DOCUMENTS TO 18 Plaintiffs, DEFENDANT THE VILLAGE AT SEVEN vs. OAKS AL MC, LLC DBA THE VILLAGE 19 THE VILLAGE AT SEVEN OAKS AL MC, AT SEVEN OAKS ASSISTED LIVING LLC dba THE VILLAGE AT SEVEN OAKS AND MEMORY CARE, SET ONE 20 ASSISTED LIVING AND MEMORY CARE; SEVEN OAKS AL & MC; FRONTIER 21 MANAGEMENT LLC; FRONTIER SENIOR 22 LIVING, LLC; SAMANTHA DAVIDSON; KELLAND LANCASTER and DOES 1-50, 23 Inclusive, Defendants. 24 PROPOUNDING PARTY: Plaintiffs 25 RESPONDING PARTY: Defendant THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED 26 LIVING AND MEMORY CARE 27 SET NUMBER: ONE -1- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE 2 AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE AND TO ITS ATTORNEYS OF 3 RECORD: 4 Plaintiffs hereby request pursuant to Section 2031.010 of the Code of Civil Procedure that 5 Responding Party produce the documents described below for inspection at the offices of Stebner 6 Gertler Guadagni & Kawamoto, 870 Market Street, Suite 1285, San Francisco, California 94102, 7 and serve upon Plaintiffs the verified written responses required by Code of Civil Procedure section 8 2031.260 within 30 days after service of this Request. 9 In lieu of personal appearance and production on the above date, compliance with this 10 Request for Production of Documents may be accomplished by mailing to counsel at the above 11 address, full, true, and correct copies of the requested documents, verified by you as such, in a 12 manner prescribed for written response to the demand for inspection of documents pursuant to Code 13 of Civil Procedure section 2031.260. 14 DEFINITIONS 15 The following definitions shall apply to this Request: 16 1. “WRITINGS” or “RECORDINGS” consist of letters, words, or numbers, or their 17 equivalent, set down by handwriting, typewriting, printing, photostating, photographing, magnetic 18 impulse, mechanical or electronic recording, or other form of data compilation. 19 2. “ORIGINAL” or “ORIGINALS” means the writing or recording itself or any 20 counterpart intended to have the same effect by a person executing or issuing it. An “original” of a 21 photograph includes the negative or any print therefrom. If data are stored in a computer or similar 22 device, any printout or other output readable by sight, shown to reflect the data accurately, is an 23 “original”. 24 3. “DUPLICATE” or “DUPLICATES” is a counterpart produced by the same 25 impression as the original, or from the same matrix, or by means of photography, including 26 enlargements and miniatures, or by mechanical or electronic re-recording, or by chemical 27 reproduction, or by other equivalent techniques which accurately reproduce the original. -2- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 4. “PHOTOGRAPH” or “PHOTOGRAPHS” include still photographs, X-ray films, 2 video tapes, and motion pictures. 3 5. “DOCUMENT” or “DOCUMENTS”, “VIDEOTAPE”, “AUDIOTAPES”, 4 “COMPUTER-GENERATED MATERIALS, AND/OR OTHER THINGS”, mean and include any 5 medium upon which intelligence or information can be recorded, maintained, or retrieved, 6 including, without limitations, ORIGINAL and DUPLICATES, regardless of origin and location, of 7 any correspondence (including any written memorandum of a telephone conversation, other 8 communication, discussion, agreement, and any other act, transaction or activity), file, book, 9 pamphlet, periodical, letter, manual, memorandum (including, but not limited to, any memorandum 10 or report of a meeting or conversation), contract, agreement, study, report, analysis, invoice, bill, 11 time sheet, expense voucher, receipt, book of account (including cash disbursement journal, income 12 statement, or reconciliation), financial statement, order form, record, bond, requisition, plan, 13 drawing, specification, sound recording, minutes, diary, calendar, telegram, message, handwritten 14 note, draft working paper, photostat, microfilm, film, photograph, comparison, print, graph, 15 drawing, sketch, chart, summary data sheet, data processing card, tape, (magnetic or otherwise), 16 ELECTRONICALLY STORED INFORMATION, COMPUTER-GENERATED MATERIAL 17 (including relevant access, codes, instructional, logistics, and/or software materials required to 18 access, retrieve, and/or assemble all related data), and any other written, recorded, transcribed, 19 punched, taped, filmed, or graphic, photographic, or electronic matter of any kind or nature 20 (including any marginal comments appearing on any DOCUMENTS or any other WRITING) 21 however produced or reproduced, which are in the deponent’s possession, custody or control, or 22 which the deponent has a right or privilege to examine upon request or demand. 23 6. “ELECTRONICALLY STORED INFORMATION” (also referred to as “ESI”) 24 includes but is not limited to electronic files generated by office productivity software such as word- 25 processing software, e-mail software, spreadsheet software, project planning software, presentation 26 software, graphs and charts software, database software, employee time clock software (such as, but 27 not limited to, Kronos), calendaring and task data, computer aided design data, databases of any -3- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 kind along with applications which created, modify or read data within the databases, logs of all 2 electronic systems, voice mail, transcriptions of voice mail, e-mail, text messages, online postings, 3 and all meta-data and/or native data associated with any “ESI,” along with the software applications 4 used to create, modify or read the “ESI,” and any other written, recorded, transcribed, punched, 5 taped, filmed, or graphic, photographic, or electronic matter of any kind or nature (including any 6 marginal comments appearing on any “DOCUMENTS” or any other “WRITING”) however 7 produced or reproduced. 8 7. “PERSON” means any natural person, and includes additionally any firm, 9 partnership, joint venture, corporation, or other entity. 10 8. “YOU” or “YOUR” refers to Responding Party and any agent thereof. 11 9. “FACILITY” means THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND 12 MEMORY CARE, a licensed Residential Care Facility for the Elderly (“RCFE”) as defined in 13 Health and Safety Code Section 1564, et seq., located at 4301 Buena Vista Rd, Bakersfield, CA 14 93311. 15 INSTRUCTIONS 16 The following instructions shall apply to this Request: 17 1. YOUR WRITTEN RESPONSE TO THIS INSPECTION DEMAND must respond 18 (Code of Civil Procedure section 2031.210 separately to each numbered demand for inspection 19 below by: 20 a. A statement that YOU will comply with the particular demand; 21 b. A statement that YOU lack the ability to comply with the particular demand; 22 or 23 c. Any objection to the particular demand. 24 2. If YOUR response to a particular demand is a statement that YOU will comply with 25 that demand, YOU must state in YOUR response whether the production will be allowed in whole 26 or in part, and YOU must state that all DOCUMENTS or things in the demanded category that are 27 in YOUR possession, custody or control and to which no objection is being made will be included -4- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 in the production. (Code of Civil Procedure section 2031.220). 2 3. If YOUR response to a particular demand is a statement that YOU lack the ability to 3 comply with that demand, YOU must affirm in YOUR response that a diligent search and a 4 reasonable inquiry have been made in an effort to comply with that demand. This statement shall 5 also specify whether the inability to comply is because the particular item or category never existed, 6 has been destroyed, has been lost, misplaced, or stolen, or has never been, or is no longer, in YOUR 7 possession, custody or control, in which case the name and address of any PERSON or entity known 8 or believed by YOU to have possession, custody or control of that DOCUMENT or category of 9 DOCUMENTS should be identified. (Code of Civil Procedure section 2031.230). 10 4. If YOUR response to a particular demand is an objection, YOU must set forth in 11 YOUR response the extent of, and the specific ground for, the objection. In YOUR response, YOU 12 must also identify with particularity any DOCUMENT responsive to the particular demand that is 13 being withheld from production based upon a claim of privilege or other protection and state the 14 particular privilege or protection being invoked. (Code of Civil Procedure section 2031.240). To 15 identify with particularity DOCUMENTS withheld from production, YOU should provide, for each 16 DOCUMENT withheld, the following information if known or available to YOU: 17 a. Title or subject matter of DOCUMENT; 18 b. The date composed or date appearing on the DOCUMENT; 19 c. Author and Addressee; 20 d. Number of Pages; 21 e. Identity of all PERSONS or entities who saw or received a copy of such 22 DOCUMENT, including the job titles of each such PERSON; 23 f. The present location of the item; and 24 g. The identity of the PERSON or PERSONS who have custody, control, or 25 possession thereof. 26 5. This request requires the production of DOCUMENTS as they are kept in the usual 27 course of business or organized and labeled to correspond with the particular demands set forth -5- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 below. If YOU choose the former method, the DOCUMENTS are to be produced in the boxes, file 2 folders, bindings or other containers in which the DOCUMENTS are found. The titles, labels, or 3 other descriptions on the boxes, file folders, bindings or other containers are to be left intact. 4 6. Plaintiffs hereby request that YOU de-duplicate any DOCUMENTS that are 5 produced in response to this Request for Production of Documents. 6 7. Plaintiffs hereby request that any electronic DOCUMENTS, including 7 ELECTRONICALLY STORED INFORMATION and/or COMPUTER-GENERATED 8 MATERIAL, be produced in word-searchable format. 9 DOCUMENT REQUEST 10 REQUEST NO. 1.: 11 Any and all DOCUMENTS concerning the care and treatment provided to LOIS CATES at 12 the FACILITY. This includes, but is not limited to, her entire resident file, aide’s notes, needs and 13 services plans, assessments, caregiver task lists, evaluations, ADL documentation, medication 14 administration records and logs of any kind (including, but not limited to, communication logs, 15 activity logs, change of shift logs and daily logs), individual task sheets, individual resident needs 16 assessments and re-assessments, personal service plan assessment forms, individual resident service 17 plans, individual resident schedules, shower schedules, skin check forms, activity logs, notice of 18 move-in forms, pre-admission assessment forms, residence and services agreements, resident 19 handbook, documents reflecting times that LOIS CATES used her personal help button and/or 20 pendant at the FACILITY and YOUR response to LOIS CATES’s use of her personal help button 21 and/or pendant, and any and all appendices thereto. Third party resident information may be 22 redacted. 23 REQUEST NO. 2.: 24 Any and all DOCUMENTS concerning the care and treatment provided to Defendant 25 KELLAND LANCASTER at the FACILITY. This includes, but is not limited to, her entire resident 26 file, aide’s notes, needs and services plans, assessments, caregiver task lists, evaluations, ADL 27 documentation, medication administration records and logs of any kind (including, but not limited -6- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 to, communication logs, activity logs, change of shift logs and daily logs), individual task sheets, 2 individual resident needs assessments and re-assessments, personal service plan assessment forms, 3 individual resident service plans, individual resident schedules, shower schedules, skin check forms, 4 activity logs, notice of move-in forms, pre-admission assessment forms, residence and services 5 agreements, resident handbook, documents reflecting times that LOIS CATES used her personal 6 help button and/or pendant at the FACILITY and YOUR response to LOIS CATES’s use of her 7 personal help button and/or pendant, and any and all appendices thereto. Third party resident 8 information may be redacted. 9 REQUEST NO. 3.: 10 Any and all billings for services charged by YOU for any and all services or items provided 11 to LOIS CATES. 12 REQUEST NO. 4.: 13 Any and all surveillance records, including video footage, photographs or other images of 14 the FACILITY taken at the FACILITY depicting LOIS CATES. 15 REQUEST NO. 5.: 16 Any and all DOCUMENTS reflecting communications made to or made by YOU regarding 17 or concerning LOIS CATES, including, but not limited to, communications between YOU and 18 LOIS CATES and/or her family members or personal representative and communications between 19 YOU and any other defendant. This request includes, but is not limited to, emails, text messages, 20 conversations facilitated through chat software, communication logs, handwritten notes, 21 memoranda, faxes, and other written correspondence. 22 REQUEST NO. 6.: 23 Any and all DOCUMENTS or other reports sent by the FACILITY or by the FACILITY’s 24 managing agents, including the FACILITY’s Administrator/Executive Director and Resident 25 Services Director, to the regional or corporate office regarding or concerning LOIS CATES. 26 /// 27 /// -7- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 REQUEST NO. 7.: 2 Any and all DOCUMENTS provided to LOIS CATES and/or her family and/or personal 3 representative(s) prior to, or at the time of, the date the original contractual agreement was entered 4 into between LOIS CATES and/or her family and/or her personal representative(s) and the 5 FACILITY. 6 REQUEST NO. 8.: 7 If an in-house investigation was conducted by YOU or on YOUR behalf in the ordinary 8 course of business subsequent to the occurrence in question and before YOU received formal notice 9 of this lawsuit, relating to the occurrence in question or the subject matter of this suit, provide any 10 and all documentation relating to such investigation, including but not limited to: 11 a. All documents, drawings, films models or other items generated or obtained by YOU 12 or on YOUR behalf, which are relevant or contain information relevant to the death of LOIS 13 CATES, and YOUR affirmative defenses to the plaintiffs’ cause of action. 14 b. All statements obtained by YOU or on YOUR behalf. 15 c. All physical and/or tangible items and/or potentially usable evidence obtained by 16 YOU or on YOUR behalf from the scene of the occurrence in question. 17 d. Any quality assurance report, study, complaint or incident investigation or 18 investigation of alleged substandard care or abuse which in any way refers to or concerns YOU. 19 REQUEST NO. 9.: 20 Any and all DOCUMENTS, including reports, letters, correspondence, memoranda and/or 21 computer transmissions sent to, or prepared by, agents and/or employees of YOU which concern, in 22 whole or in part, the level of staffing in the units at the FACILITY during any part of the time 23 period from January 1, 2019 through and including the date of YOUR response to this request. 24 Staffing documents include, but are not limited to, timecards, electronic time detail reports, 25 electronic payroll data, schedules, staff rosters, documents reflecting the actual number of hours 26 worked by the FACILITY’s staff and managing agents, including the FACILITY’s 27 Administrator/Executive Director and Resident Services Director, “missed punch” or “time clock -8- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 adjustment” sheets that reflect the basis for adjustments made to electronic time detail records or 2 other electronic staffing data at the FACILITY, daily assignment sheets, documentation from 3 Quickbooks, employee sign-in sheets, documents reflecting the resident census, daily resident acuity 4 calculations, calculations of aggregate minutes generated by resident functional needs assessment 5 forms, documents showing the facility-wide total of personal care minutes generated by the resident 6 functional needs assessments and used to determine the residents’ personal care levels at the 7 FACILITY, and shift schedules for all RNs, LVNs, CNAs, physical therapists, and occupational 8 therapists employed by FACILITY on all shifts during the specified time period. Redacted 9 documents may be produced to preserve privacy rights of other residents, and information regarding 10 rates of employee pay may be redacted. 11 REQUEST NO. 10.: 12 Any and all DOCUMENTS reflecting job descriptions for all direct care, marketing and 13 administrative staff at the FACILITY during the time period from January 1, 2019 through and 14 including the date of YOUR response to this Request. 15 REQUEST NO. 11.: 16 Complete legal copies of any and all FACILITY operational manuals including but not 17 limited to nursing and administrative manual, policies and procedures manual, resident records 18 policy manual (including but not limited to the electronic management of resident records) and 19 abuse manuals used by the FACILITY in effect during LOIS CATES’s admission to the 20 FACILITY, including the table of contents and including any and all appendixes thereto. This 21 request includes, but is not limited to, documentation that sets forth policies and procedures in the 22 following areas: resident assessments; resident re-assessments; personal care levels; resident 23 monitoring; resident-on-resident abuse, dementia, residents with dementia, assistance with resident 24 ambulation; pain assessment and treatment; checking residents every two hours; resident 25 supervision; physician orders; changes in resident condition; incident reporting; admission, transfer, 26 and discharge of residents; responding to call lights; the emergency call system at the FACILITY; 27 the Pre-Admission Assessment form at the FACILITY; the Personal Service Plan Assessment form -9- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 at the FACILITY; needs and services plans; general staffing; staffing to acuity; family notification 2 of changes in resident condition; changes to the resident service plan; the response time of nurses 3 and staff to call lights; all resident care protocols for the units where LOIS CATES was a resident; 4 responding to complaints from residents and residents’ family members; ancillary diagnostic and 5 therapeutic services (such as laboratory, radiology and physical therapy); ensuring resident safety; 6 resident records; resident care protocols; resident rights; charting; emergency medical/health care, 7 the FACILITY’s budget, and variations in the FACILITY’s labor budget. Additionally, with 8 respect to any policy that has been revised or updated, you are requested to produce the original 9 version, prior to change. 10 REQUEST NO. 12.: 11 Any and all DOCUMENTS received by YOU from residents, family members of residents, 12 employees, and/or third parties concerning the level(s) of staffing of the FACILITY from January 1, 13 2019 through and including the date of your response to this request. 14 REQUEST NO. 13.: 15 The written organizational chart showing the major programs of FACILITY, the person in 16 charge of each program, the lines of authority, responsibility and communication in effect from 17 January 1, 2019 through and including the date of YOUR response to this request. 18 REQUEST NO. 14.: 19 All insurance agreements and/or policies in their entirety which afford protection to YOU 20 and/or YOUR governing body for the acts and omissions set forth by Plaintiff in the above-entitled 21 case, including, but not limited to primary, umbrella, and excess policies which may obligate any 22 respective insurance company to satisfy part or all of the judgment which may be rendered in this 23 action against the YOU and/or against any member of the governing body, arising out of the acts or 24 omissions of any such member. 25 REQUEST NO. 15.: 26 All insurance agreements and/or policies in their entirety which pertain to any management 27 company engaged by YOU to operate the FACILITY including, but not limited to, primary -10- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 umbrella and excess policies, which may obligate any respective insurance company to satisfy part 2 or all of a judgment which may be rendered in an action against the said management company 3 arising out of its acts or omissions. 4 REQUEST NO. 16.: 5 Any and all advertisements, representations or the documentation made available to the 6 public by YOU during the time period of January 1, 2019 to and including the date of this request 7 which contain claims about the quality, characteristic, type, and standard of care provided to the 8 residents of the FACILITY or the approved status of said FACILITY. This request includes, but is 9 not limited to all brochures, yellow page advertisements, newspaper advertisements, statements of 10 care philosophy, statements of policies or care objectives, billboard advertisements, magazine 11 advertisements, flyers, marketing materials, statements, representations and claims about the type 12 and/or amount of care provided to residents of the FACILITY or the approved status of the 13 FACILITY made in connection with any event sponsored by YOU or any other documentation 14 created to promote the FACILITY. 15 REQUEST NO. 17.: 16 Any and all written complaints received by YOU concerning insufficient staffing, 17 inadequate training of staff, and/or the inadequate services provided at the FACILITY from January 18 1, 2019 through and including the date of your response to this request. 19 REQUEST NO. 18.: 20 Any and all DOCUMENTS regarding resident council meetings at the FACILITY for the 21 time period from January 1, 2019 through and including the date of your response to this request. 22 This request includes, but is not limited to, minutes of resident council meetings at the FACILITY 23 and DOCUMENTS sent to or received by the resident council at the FACILITY. 24 REQUEST NO. 19.: 25 Any and all DOCUMENTS regarding family council meetings at the FACILITY for the time 26 period from January 1, 2019 through and including the date of your response to this request. This 27 request includes, but is not limited to, minutes of family council meetings at the FACILITY and -11- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 DOCUMENTS sent to or received by the family council at the FACILITY. 2 REQUEST NO. 20.: 3 Any and all correspondence and/or newsletters distributed to residents of the FACILITY for 4 the time period from January 1, 2019 through and including the date of your response to this 5 request. 6 REQUEST NO. 21.: 7 Any and all DOCUMENTS regarding in-service or training programs given to staff and 8 managing agents at the FACILITY from January 1, 2019 through and including the date of your 9 response to this request regarding or concerning resident assessments; resident re-assessments; 10 personal care levels; resident monitoring; supervision of residents that are fall risks; fall prevention; 11 fall risk assessment; assistance with resident ambulation; pain assessment and treatment; checking 12 residents every two hours; resident supervision; physician orders; changes in resident condition; 13 incident reporting; admission, transfer, and discharge of residents; responding to call lights; the 14 emergency call system at the FACILITY; the Pre-Admission Assessment form at the FACILITY; 15 the Personal Service Plan Assessment form at the FACILITY; needs and services plans; general 16 staffing; staffing to acuity; family notification of changes in resident condition; changes to the 17 resident service plan; the response time of nurses and staff to call lights; all resident care protocols 18 for the units where LOIS CATES was a resident; responding to complaints from residents and 19 residents’ family members; ancillary diagnostic and therapeutic services (such as laboratory, 20 radiology and physical therapy); ensuring resident safety; resident records; resident care protocols; 21 resident rights; charting; emergency medical/health care; staffing; budgeting for staffing, staffing 22 ratios; calculation of resident acuity; staff recruitment and retention; staff training; resident 23 assessments; resident management; incident reports; root cause analysis; and sentinel events. 24 REQUEST NO. 22.: 25 Any and all DOCUMENTS regarding daily meetings at the FACILITY during the time 26 period from January 1, 2019 through and including the date of YOUR response to this request (third 27 party resident names and other identifying information may be redacted). This request includes, but -12- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 is not limited to, DOCUMENTS created by or on behalf of the FACILITY in anticipation of daily 2 meetings and minutes of daily stand up meetings held at the FACILITY. 3 REQUEST NO. 23.: 4 Any and all DOCUMENTS regarding variations in the labor budget at the FACILITY during 5 the time period from January 1, 2019 through and including the date of your response to this 6 request, including, but not limited to, any and all requests for changes to the labor budget, YOUR 7 response to any request to increase or decrease the labor budget, documents concerning the reasons 8 for budget variances, and/or documents regarding the consequences of budget variances. 9 REQUEST NO. 24.: 10 Any and all forms submitted by YOU to the State of California, Department of Social 11 Services, Community Care Licensing Division regarding or concerning the FACILITY, including 12 forms LIC 200- Application for a Community Care Facility or Residential Care Facility for the 13 Elderly License, LIC 309-Administrative Organization, LIC 401- Monthly Operating Statement, and 14 INS 025- Certificate of Liability Insurance 15 REQUEST NO. 25.: 16 Any and all correspondence, including, but not limited to, e-mails, letters or other 17 memoranda, between YOU and staff of the FACILITY during the time period from January 1, 2019 18 through and including the date of your response to this request, regarding the level of staffing, the 19 adequacy of services, and/or the budget at the FACILITY. 20 REQUEST NO. 26.: 21 All WRITINGS and correspondence between State government agents and/or employees, 22 including agents and/or employees of the Ombudsman's office and/or the Department of Social 23 Services, Community Care Licensing Division, and agents and/or employees of the FACILITY 24 during the time period from January 1, 2019 through and including the date of your response to this 25 request. This request includes, but is not limited to, all WRITINGS and correspondence between 26 State government agents and/or employees and agents and/or employees of the FACILITY 27 concerning LOIS CATES. -13- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 REQUEST NO. 27.: 2 Any and all contracts and/or agreements between YOU and any other Defendant or entity, 3 including operating agreements, management agreements, and lease agreements for the FACILITY. 4 This request includes, but is not limited to, contracts between YOU and the provider of any 5 surveying and/or quality management company in use at the FACILITY. 6 REQUEST NO. 28.: 7 Any and all documents reflecting the annual budget for the FACILITY during the time 8 period from January 1, 2019 through and including the date of YOUR response to this request. 9 REQUEST NO. 29.: 10 All annual financial statements and reports prepared by or for YOU. This includes 11 WRITINGS which describe and/or summarize, in any way, the annual gross revenues received, the 12 total annual expenses incurred, all profit and loss statements prepared by or for the YOU, all 13 WRITINGS which reflect YOUR total net worth and W-2 and 1099 forms for YOU from January 1, 14 2019 through and including the date of your response to this request. 15 REQUEST NO. 30.: 16 Any and all Unusual Incident/Occurrence reports completed by staff at the FACILITY on 17 the date of the incident, as described in Plaintiffs’ Complaint for Damages (third-party resident 18 names and other identifying information may be redacted). 19 REQUEST NO. 31.: 20 Any and all incident reports created by YOU concerning LOIS CATES. 21 REQUEST NO. 32.: 22 Any and all incident reports created by YOU concerning Defendant KELLAND 23 LANCASTER. 24 REQUEST NO. 33.: 25 Any and all DOCUMENTS created by YOU on a periodic basis from the time period of 26 LOIS CATES’s admission to the FACILITY, which relate to the FACILITY’s rate of occupancy, 27 the number of beds filled or empty during any report period, the level of care required for each -14- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 member of the patient population, occupancy goals, objectives and strategies for the FACILITY. 2 This request includes any evaluation by management regarding the relative success of the 3 occupancy goals, objectives and strategies established for the FACILITY. 4 REQUEST NO. 34.: 5 Any blueprint, layout, floor plan, drawing graphical representation or illustration which 6 accurately illustrates the floor plan of the FACILITY for the time period from January 1, 2019 7 through and including the date of your response to this request. 8 REQUEST NO. 35.: 9 Any documentation which discloses or contains the name of each person who directly or 10 indirectly owned an interest of five percent (5%) or more in the FACILITY from January 1, 2019 11 through and including the date of your response to this request. 12 REQUEST NO. 36.: 13 Any and all documents reflecting YOUR corporate hierarchy and/or organizational structure 14 during the time period from January 1, 2019 through and including the date of YOUR response to 15 this request. This request includes, but is not limited to, any and all writings provided to any state or 16 federal agency to show YOUR ownership structure. 17 REQUEST NO. 37.: 18 Any and all non-privileged DOCUMENTS, including but not limited to reports, letters, 19 memoranda, texts, and/or emails sent to, or prepared by, YOU or YOUR agents and/or employees 20 which relate to, in whole or in part, LOIS CATES. 21 REQUEST NO. 38.: 22 Any and all DOCUMENTS, including but not limited to emails, correspondence, 23 memoranda, notifications, alerts, scorecards and/or survey results from any external third party 24 surveying or quality management company regarding or concerning the FACILITY during any time 25 from January 1, 2019 to and including the present. 26 REQUEST NO. 39.: 27 Any and all of YOUR employee handbooks for the time period from January 1, 2019, -15- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE 1 through the present. 2 REQUEST NO. 40.: 3 Any and all DOCUMENTS reflecting the minutes of meetings of YOUR governing body 4 and/or YOUR board of managers or directors from January 1, 2019 through and including the date 5 of YOUR response to this request. 6 REQUEST NO. 41.: 7 Any and all DOCUMENTS referenced in YOUR responses to Special Interrogatories, Set 8 One. 9 REQUEST NO. 42.: 10 Any and all documents referenced in YOUR responses to Form Interrogatories, Set One. 11 Dated: April 17, 2023 STEBNER GERTLER GUADAGNI & KAWAMOTO 12 13 By: 14 Kathryn Stebner Karman Guadagni 15 Deena Zacharin 16 Kelsey Craven 17 Attorneys for Plaintiffs 18 19 20 21 22 23 24 25 26 27 -16- PLAINTIFFS’ REQUEST FOR PRODUCTION OF DOCUMENTS TO DEFENDANT THE VILLAGE AT SEVEN OAKS AL MC, LLC DBA THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE, SET ONE EXHIBIT 2 1 William C. Wilson, SBN: 149683 John T. Tsumura, SBN: 224119 2 WILSON GETTY LLP 12555 High Bluff Drive, Suite 270 3 San Diego, California 92130 Telephone: 858.847.3237 4 Facsimile: 858.847.3365 5 Attorneys for Defendants THE VILLAGE AT SEVEN OAKS AL MC, LLC dba THE VILLAGE AT SEVEN OAKS ASSISTED LIVING AND MEMORY CARE; SEVEN OAKS ASSISTED LIVING 6 AND MEMORY CARE LLC (erroneously sued and served as SEVEN OAKS AL & MC); FRONTIER MANAGEMENT LLC; FRONTIER SENIOR LIVING, LLC; and SAMANTHA DAVIDSON 7 8 SUPERIOR COURT OF THE STATE OF CALIFORNIA 9 FOR THE COUNTY OF KERN 10 BILLY CATES, Individually and as Successor- Case No. BCV-22-102864 In-Interest to the Estate of LOIS CATES; 11 BARBARA NEWTON, Individually; and DEFENDANT THE VILLAGE AT SEVEN PAUL CATES, Individually, OAKS AL MC, LLC dba THE VILLAGE AT 12 SEVEN OAKS ASSISTED LIVING AND Plaintiffs, MEMORY CARE’S RESPONSES TO 13 REQUEST FOR PRODUCTION OF vs. DOCUMENTS PROPOUNDED BY 14 PLAINTIFFS, SET ONE THE VILLAGE AT SEVEN OAKS AL MC, 15 LLC dba THE VILLAGE AT SEVEN OAKS Action Filed: October 26, 2022 ASSISTED LIVING AND MEMORY CARE; 16 SEVEN OAKS AL & MC; OAKMONT Judge: Hon. Thomas S. Clark MANAGEMENT GROUP, LLC; OAKMONT Dept.: 17 17 SENIOR LIVING, LLC; SAMANTHA Trial Date: Not Set D