|
KRISTOPHER EBBERT, Petitioner,
v.
THE SUPERIOR COURT OF SAN DIEGO COUNTY, Respondent;
CITY OF SAN DIEGO, Real Party in Interest.
No. D042600
In the Court of Appeal for the State of California
Fourth Appellate District
Division One
(San Diego County Super. Ct. No. M875068)
Petition for Writ of Mandate from an order of the Superior
Court of San Diego County, Janet I. Kintner, Judge. Petition
granted.
COUNSEL
Steven J. Carroll, Public Defender, Matthew Braner and
Myra Garcia, Deputy Public Defenders, for Petitioner.
No appearance for Respondent.
Casey Gwinn, City Attorney, and Simon Silva, Deputy
City Attorney, for Real Party in Interest.
Filed February 18, 2003
When a Pitchess[FOOTNOTE 1] motion is
granted under Evidence Code section 1045,[FOOTNOTE 2] the use
of information received by the moving party is subject to a mandatory
protective order. ( 1045, subd. (e).) In Alford v. Superior
Court (2003) 29 Cal.4th 1033 (Alford), the Supreme Court
held that the scope of the section 1045, subdivision (e) protective
order precludes the recipient from using the disclosed information
for any purpose other than in connection with the court proceeding
in which the Pitchess motion was granted. (Alford,
at pp. 1039-1043.)
However, the majority in Alford expressly limited
its holding to "the information disclosed pursuant to a
Pitchess motion . . . [and] express[ed] no views [concerning]
the treatment of information developed as a result of the receipt
of information disclosed pursuant to a Pitchess motion."
(Id. at p. 1037, fn. 2.) Justice Moreno, in his concurring
and dissenting opinion in Alford, pointed out that the
Alford holding left open:
" whether a section 1045(e) protective order (a) may
only restrict the use of the actual information disclosed by
the trial court-i.e., the complainant's and witness's name, address,
telephone number and the date of the incident; or (b) may also
encompass the direct fruits of the information developed during
this independent investigation-e.g., a complainant's or disclosed
witness's statement; or (c) may encompass other information obtained
during this independent investigation-e.g., physical evidence
(such as a photograph of injuries), or a statement obtained from
a newly discovered witness. Until the threshold question of what
constitutes Pitchess information is answered, the majority's
decision leaves trial courts, city attorneys, and defense attorneys,
with little guidance." (Id. at p. 1063.)
This writ proceeding requires us to address Justice
Moreno's query because this case does not involve the status
of the information within Justice Moreno's category (a)--information
actually disclosed by the trial court--but instead involves the
status of information within Justice Moreno's category (b)--witness
statements derived from the information disclosed by the trial
court. Petitioner Kristopher Ebbert contends the section 1045,
subdivision (e) protective order encompasses only the former,
and when an independent investigation results in a statement
from the disclosed witness, that statement is outside the ambit
of the protective order even though the source of the statement
was the disclosed information subject to the protective order.
Ebbert alternately contends that once a trial court granted his
Pitchess motion and disclosed to him the identifying information
of witnesses, a prior Pitchess protective order does not
prevent the prior successful Pitchess movant from disclosing
to him, or prevent him from examining, statements of the same
witnesses previously obtained by the prior Pitchess movant's
investigative efforts.
We conclude the protective order envisioned by section
1045, subdivision (e), limiting use of the information disclosed
on grant of the Pitchess motion to the proceeding in which
the motion was granted, does not encompass the derivative information
obtained from use of the Pitchess motion information.
We further conclude that when a trial court in an unrelated subsequent
proceeding grants a second litigant's independent Pitchess
motion as to the same peace officer who was the subject of a
prior litigant's successful Pitchess motion, and orders
disclosure to that second litigant of Pitchess information
duplicative of that disclosed to the first litigant, the section
1045, subdivision (e) protective order in the prior proceeding
does not prohibit the second litigant from obtaining from the
prior litigant the duplicative Pitchess information previously
given to the prior litigant.
I
FACTS
A. The Prior Unrelated Case
In early 2003 defense counsel in an unrelated criminal
proceeding (the Cruz matter) invoked the Pitchess statutes
to obtain information concerning three peace officers, including
Officer Michael T. The Cruz court entered a "Disclosure
and Protective Order" pursuant to which certain "information
[was] ordered disclosed from the officers' personnel files,"
and various limitations were placed on use of the information
ordered disclosed.[FOOTNOTE 3] An investigator for Cruz apparently
interviewed several witnesses connected to complaints lodged
against Officer Michael T., and obtained some form of statement
from these witnesses.
B. The Ebbert Case
Also in early 2003, defense counsel in this criminal
proceeding sought information concerning three peace officers,
one of whom was Officer Michael T., by a Pitchess motion.
The court granted Ebbert's Pitchess motion and entered
a "Disclosure and Protective Order" that was, as to
Officer Michael T., essentially the same as the order entered
in the Cruz matter.
In June 2003 Ebbert's attorney learned that some of
the witnesses whose identities had been disclosed to Ebbert in
response to his Pitchess motion had also been disclosed
to Cruz, Cruz's investigator had interviewed some of these witnesses,
and there existed some form of reports by Cruz's investigator
concerning those interviews (the Cruz reports). Ebbert's attorney
moved for an order clarifying whether Ebbert could inspect and
use the Cruz reports without violating the Cruz protective order.
The court ruled the Cruz protective order barred Ebbert from
any inspection or use of the Cruz reports, and held Ebbert was
required to reinterview the witnesses. Ebbert then filed this
petition for writ of mandate seeking review of the trial court
order. We issued an order to show cause, received a response
from real party in interest The City of San Diego (City) and
held oral argument.
Ebbert's petition contends that the products of a defense
investigation are not within the ambit of the automatic protective
order required by section 1045, subdivision (e), or the protective
order entered in the Cruz matter. He alternately contends that
because he complied with Pitchess and successfully obtained
the same witness identifying information given to Cruz, he should
not be barred from examining the Cruz reports derived from that
information. City argues the trial court correctly ruled that
the Cruz reports are covered by the automatic protective order
and Ebbert may not have access to them.
II
ANALYSIS
A. City's Procedural Objections
We preliminarily address City's procedural objections
to Ebbert's petition. City asserts writ relief should be denied
if a petitioner has a plain, speedy and adequate remedy at law
(Code Civ. Proc., 1086), and Ebbert has two adequate legal remedies:
he could reinterview the witnesses or he could move to modify
the prior protective order in the Cruz matter to permit him to
use the Cruz reports. However, neither suggested legal remedy
presents an adequate remedy because both presume the validity
of the trial court's order barring him from examining the Cruz
reports, which is the order Ebbert challenges as invalid.
City also asserts Ebbert should be denied relief under
the doctrine of unclean hands because he learned of the Cruz
reports in violation of the Cruz protective order. This contention
assumes the issue to be decided--whether the Cruz protective
order was violated when Ebbert learned Cruz had interviewed specific
witnesses. Moreover, we are convinced that Ebbert's counsel,
caught between the Scylla of his obligation to provide effective
assistance to his client and the Charybdis of a statutory scheme
whose ambiguities perplexed even Justice Moreno, properly sought
guidance from the trial court and therefore was not guilty of
unclean hands.
City finally asserts Ebbert did not preserve the issue
raised in this writ petition because the arguments he now raises
were not articulated to the trial court at the time of his request
for clarification. However, the issue of whether Ebbert could
use the Cruz reports, considering Alford and the scope
of protective orders entered in the Cruz matter pursuant to the
Pitchess statutes, was the precise issue raised before
the trial court, and therefore the issue was preserved.
B. The Merits
Ebbert argues that witness statements obtained by defense
investigators are outside the scope of the protective order mandated
by section 1045, subdivision (e), and therefore he may examine
the statements obtained by the Cruz investigators without transgressing
the Cruz protective order.[FOOTNOTE 4] Ebbert alternately asserts
it would be illogical to construe the legislatively mandated
section 1045, subdivision (e) protective order to prevent a different
Pitchess litigant, who has separately and independently
satisfied the threshold determinations under the Pitchess
statutes and has received the same identifying information about
the same complaining witness, from examining statements from
the complaining witness obtained by a prior successful Pitchess
litigant.[FOOTNOTE 4] Ebbert argues that construction is unreasonable
because it would require each new litigant to expend scarce resources
to reinvent the wheel by reinterviewing the same witness; it
would unnecessarily burden the complaining witness with repetitive
intrusions into his or her privacy; and the added burden thus
placed on litigants and witnesses is unaccompanied by any corresponding
enhancement of the peace officer's privacy interests. Because
Ebbert's arguments arise in the context of the Pitchess
statutes as construed by Alford, we examine the statutory
scheme and the holding in Alford.
Legal Framework
Penal Code section 832.7, subdivision (a) provides:
"Peace officer . . . personnel records and records maintained
by any state or local agency pursuant to [Penal Code] Section
832.5, or information obtained from these records, are confidential
and shall not be disclosed in any criminal or civil proceeding
except by discovery pursuant to Sections 1043 and 1046 of the
Evidence Code." Sections 1043 and 1045 prescribe the procedures
for discovery and require the moving party file a written motion
that includes an affidavit showing "good cause" for
the disclosure sought and the "materiality [of the records]
to the subject matter involved in the pending litigation."
( 1043, subd. (b).)
If the court finds good cause for disclosure, section
1045 requires the court to examine the information in camera
in conformity with section 915.[FOOTNOTE 6] If the court rules
in favor of disclosing confidential information, which ordinarily
involves revealing only the name, address and telephone number
of any prior complainants and witnesses and the dates of the
incidents in question (City of Santa Cruz v. Municipal Court (1989)
49 Cal.3d 74, 84), section 1045 mandates entry of a protective
order providing that the information "disclosed or discovered
may not be used for any purpose other than a court proceeding
pursuant to applicable law." ( 1045, subd. (e); Alford,
supra, 29 Cal.4th at pp. 1037-1039.)
In Alford, the appellate court ordered the Pitchess
information be disclosed on condition the defense not disseminate
the information disclosed beyond the criminal proceeding in which
the Pitchess motion was granted. The defendant argued
this condition was not authorized by section 1045, subdivision
(e) because that subdivision allowed use of the disclosed information
in any court proceeding. (Alford, supra, 29 Cal.4th at
pp. 1037, 1040.) The Supreme Court, rejecting this argument,
reasoned that section 1045, subdivision (e) must be construed
in the context of the statutory scheme of which it is a part.
The statutory scheme is designed to protect the peace officer's
privacy interests, and allows those interests to be traversed
only when the information is shown to be material to a particular
defendant's case, and therefore Alford concluded the statute
was intended to limit use of the disclosed information to the
case in which disclosure was ordered. Alford held the
defendant's contrary interpretation, which would allow him to
use the information in any proceeding, would conflict both with
the confidentiality accorded peace officer records under Penal
Code section 832.7 and with the procedural requirements for disclosure
of that information under sections 1043 and 1045, subdivisions
(a) through (c). (Alford, at pp. 1042-1043.)
Analysis
Under the Pitchess statutes as construed by Alford,
a successful litigant is authorized to have access to certain
information, but the information "may not be used for any
purpose" ( 1045, subd. (e)) beyond the court proceeding
in which the information was ordered disclosed by the grant of
the Pitchess motion. However, because of the limited
information given to a litigant pursuant to a Pitchess
disclosure, the litigant is given information to enable him to
conduct further investigation in anticipation of developing evidence
material to the pending litigation.[FOOTNOTE 7] Although section
1045, subdivision (e) places limits on the litigant's use of
the disclosed information, we conclude any evidence developed
as the result of the use of the disclosed information is the
work product of the successful Pitchess movant and section
1045, subdivision (e) does not limit use of the developed
information to the case in which the Pitchess motion was
granted. The simple basis of this conclusion is that the statements
obtained by the litigant from the disclosed complainant or witness
are not materials obtained from the peace officer's personnel
records maintained by any state or local agency, although a statement
of the witness may be included in those records. Rather, the
statements obtained by investigation following a successful Pitchess
motion are part of the information available to anyone should
the complainant be willing to discuss the matter. Only the identity
of the complainant is secreted in the personnel records and the
substance of interviews that complainant gives to a litigant
is not and does not become part of the peace officer's personnel
record maintained by the employer. The contrary construction
of subdivision (e) urged by City that all information derived
from the information disclosed by the successful Pitchess
motion is included within the section 1045, subdivision (e)
protective order would make information not part of or taken
from the peace officer's personnel records confidential. Although
a court may have broad powers to prevent a litigant from disseminating
information obtained by compelled discovery, its ability to prevent
a litigant from disseminating information independently acquired
is more constrained. (In re Marriage of Candiotti (1995)
34 Cal.App.4th 718, 723-726.) This principle is true even though
the statements obtained by the Cruz defense were derivative of
the Pitchess discovery.
Our conclusion is consistent with the overall purpose
of the Pitchess statutory scheme, which is to preserve
to the peace officer as much privacy as possible considering
the competing need of a defendant to gather evidence relevant
to his or her defense. (Alford, supra, 29 Cal.4th at p.
1042.) By deeming statements gathered as the result of the disclosed
information outside the ambit of the protective order, the defendant's
ability to prepare a defense is enhanced and the officer's privacy
interest in the data contained in his personnel file suffers
no additional denigration beyond that which inured when the Pitchess
disclosure was ordered. Accordingly, we conclude section 1045,
subdivision (e)'s protective order, which requires that the records
disclosed to a litigant shall not be used for any purpose other
than the court proceeding in which disclosure was ordered, must
be construed to exclude any statements gathered by the defense
derived from witnesses whose names were disclosed by the court
order granting the Pitchess motion.
Although we conclude that derivative information obtained
from the use of disclosed Pitchess information is not
confidential information subject to the section 1045, subdivision
(e) protective order, an issue remains: the extent of the material
a prior litigant may disclose to other persons, including later
litigants, considering Alford' s holding that the complainant's
identifying information remains subject to nondisclosure except
in the first litigation. This issue may arise in at least two
situations: (1) When the person to whom disclosure is contemplated
has not made a successful Pitchess motion in a subsequent
case; and (2) When the person to whom disclosure is contemplated
has made a successful Pitchess motion in a subsequent case
and obtained Pitchess information from the personnel file
of the same peace officer that duplicates the Pitchess information
provided to the prior litigant.
In the first situation, the derivative Pitchess information
is not subject to the protective order and may be disclosed because
it is the work product of the successful Pitchess movant.
However, to comply with Alford in this situation, the litigant
must first redact from the derivative information any Pitchess
information (the complainant's name, address, and phone number,
the date of the incident, and any other information taken from
the personnel files and disclosed to the litigant) before disclosing
the balance of the derivative information.
However, we conclude that in the second circumstance
listed above--e.g. disclosure to a litigant who has separately
prevailed on a Pitchess motion and obtained Pitchess
information duplicative of that obtained by the first litigant--the
first litigant may disclose the derivative information without
redacting the duplicative Pitchess information. In our
view the granting of the subsequent Pitchess motion that
discloses Pitchess information duplicative of the prior
Pitchess motion permits the sharing of the confidential
Pitchess information between the successful Pitchess
movants that otherwise would be limited to use only in the
action in which the motion was granted.
The Pitchess statutes presume that specific information
about peace officers will remain confidential. (Pen. Code, 832.7.)
However, when a trial court, acting as gatekeeper, makes a particularized
determination that a specific defendant has a "need to know"
this information, it in effect licenses that defendant to learn
who has complained about an officer and to learn or investigate
the underlying details and facts of that complaint from any available
source. Because this license is rooted in the particularized
need-to-know determination, the required protective order limits
the information the trial court determines the licensee needs
to know to use only in the court proceeding in which a need-to-know
determination has been made.
However, when a later court independently exercises
its gatekeeper role and concludes another defendant has shown
the need to know the same information (the same complainants)
about the same peace officer, it has effectively admitted a new
member into the circle of licensees who are entitled to learn
who has complained about the officer. The new licensee is endowed
with the same authorization to learn or investigate the underlying
details and facts of that complaint from any source available
to the licensee, and is subject to the same limitations that
constrain other licensees to use the information learned only
for the purpose of the court proceeding in which the license
was issued. Section 1045, subdivision (e) is not designed to
delimit the sources from which the information may be obtained
but is instead designed to assure that use of the information
so obtained is limited to the proceeding in which the need-to-know
determination was entered. We conclude that a litigant who has
independently satisfied the Pitchess need-to-know
requirements as to specific complainants with respect to a peace
officer is authorized to learn the identity of the complainants
in the possession of other successful Pitchess litigants.
Our examination of the language and purpose of section
1045, subdivision (e) reveals no statutory inhibition barring
the second Pitchess licensee from examining the results
of the first Pitchess licensee's motion to the extent
the disclosed information is duplicative. Permitting the second
licensee to examine this information causes no offense to the
purpose of the Pitchess statutes, because the second licensee
obtains nothing beyond that which the statutory scheme contemplates
the second licensee is entitled to obtain, and the first licensee
has not permitted the information of his or her license to be
used for any court proceeding lacking a Pitchess license
with its accompanying restrictions.
We therefore conclude that when there is a successful
Pitchess motion in a subsequent case that discloses duplicative
Pitchess information from the personnel file of the same
peace officer who was the subject of a prior successful Pitchess
motion, the duplicative Pitchess information in the
two cases (the identities, addresses and telephone numbers of
complainants) may be shared between the litigants in the two
cases without violating the section 1045, subdivision (e) protective
order in either case.
DISPOSITION
Let a writ of mandate issue directing the trial court
to vacate its order of June 10, 2003, and to enter a new and
different order (1) permitting Cruz to disclose to Ebbert the
results of Cruz's investigation of witnesses derived from the
identifying information disclosed to Cruz under the court's "Disclosure
and Protective Order" in the Cruz matter, and (2) permitting
Cruz to disclose to Ebbert the Pitchess information in
the Cruz matter to the extent duplicative identifying information
was disclosed to Ebbert under the court's "Disclosure and
Protective Order" in the Ebbert matter. The stay of proceedings
below issued by this court on August 21, 2003, is vacated on
issue of the remittitur.
McDONALD, J.
WE CONCUR: McCONNELL, P. J., HALLER, J.
::::::::::::::::::::::::::::: FOOTNOTE(S):::::::::::::::::::::::::::::
FN1.. Pitchess v. Superior Court (1974) 11 Cal.3d
531.
FN2. All further statutory references are to the Evidence
Code unless otherwise specified.
FN3. The order provided that the information disclosed
could not be copied or distributed except to the parties and
attorneys in the Cruz matter; the information could only be used
to defend in the Cruz criminal proceeding and could not be used
in any other criminal or civil proceeding; and the information
could only be disclosed to persons involved in the defense of
the Cruz criminal proceeding. The order did not refer to the
derivative information developed by using the disclosed information,
including witness statements.
FN4. We note that section 1045, subdivision (d) provides
a court with discretion to "make any order which justice
requires to protect the officer or agency from unnecessary annoyance,
embarrassment or oppression." However, there is no suggestion
that the Cruz court's order was intended to invoke its discretionary
authority to order that subsequently gathered witness statements
be sealed, or that there was any particularized showing in the
Cruz matter to support a discretionary protective order. We therefore
proceed on the assumption that the Cruz order was based solely
on section 1045, subdivision (e).
FN4. Here we examine a case in which the defense that
gathered the statements was apparently willing to share the statements
with another Pitchess litigant but was barred from doing
so by the trial court's construction of the scope of the Cruz
protective order. We do not address a situation in which the
defense that gathered the derivative statements is unwilling,
for whatever reasons, to share the statements.
FN6. The in camera inspection aids in determining whether
certain enumerated categories of information will remain confidential,
including (1) complaints more than five years old, (2) the "conclusions
of any officer investigating a complaint," and (3) facts
"so remote as to make disclosure of little or no practical
benefit." ( 1045, subd. (b).)
FN7. The Alford majority implicitly acknowledged
the limited information disclosed by a Pitchess motion (Alford,
supra, 29 Cal.4th at p. 1039), and Justice Moreno was more
explicit, stating that considering the bare-bones information
given to a litigant, "a trial court's Pitchess disclosure
necessarily presupposes an independent investigation by defense
counsel." (Alford, supra, at pp. 1062-1063, conc.
& dis. opn. of Moreno, J.)
|