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COUNTY OF ORANGE et al., Petitioners,
v.
THE SUPERIOR COURT OF ORANGE COUNTY, Respondent;
FEILONG WU et al., Real Parties in Interest.
No. G023138
In the Court of Appeal of the State of California
Fourth Appellate District
Division Three
(Super. Ct. No. 779098)
Original proceedings; petition for a writ of mandate/prohibition
to challenge an order of the Superior Court of California, County
of Orange, Sheila B. Fell, Temporary Judge. (Pursuant to Cal.
Const., art. VI, ? 21.) Writ issued.
COUNSEL
Franscell, Strickland, Roberts & Lawrence, Tracy Strickland,
Priscilla F. Slocum and Cindy S. Lee for Petitioners.
Thomas F. Casey III, County Counsel, and Miguel A. Marquez,
Deputy County Counsel, California State Association of Counties
and County of San Mateo; Mayer, Coble & Palmer, Martin J.
Mayer and J. Scott Tiedemann for California State Sheriffs Association,
California Police Chiefs Association, and California Peace Officers
Association, Amici Curiae on behalf of Petitioners.
No appearance for Respondent.
Jeffrey Wilens for Real Parties in Interest.
Filed March 30, 2000
The County of Orange, its sheriff, and various employees
of the sheriff' s department (collectively, the County) seek
extraordinary relief from an order allowing suspects in an ongoing
criminal investigation to review the contents of the investigative
file through the medium of civil discovery. The County argues
the trial court abused its discretion in granting discovery of
the file at this time. The County asserts the court should have
stayed the civil action for a reasonable period to allow authorities
to complete the investigation before having to divulge information
that could compromise the investigation and derail a potential
prosecution. We agree that the court erred in the breadth and
timing of the discovery order and grant the writ requested, subject
to specific limitations discussed below.
I
On the morning of August 12, 1996, Edith Marie and Feilong
Wu reported the disappearance of Edith' s two-year-old son, C.
T. Turner. The Wus claimed C. T. had either walked out of or
been abducted from the family' s Mission Viejo home. A large
search party of volunteers and military personnel did not find
the child that day. The next morning, Orange County Sheriff'
s Department investigators questioned the Wus. That afternoon
the boy' s body was discovered under leaves and other debris
in a ravine near their home. An autopsy determined the cause
of death was suffocation.
To date the homicide remains unsolved. But according
to the Wus several newspaper reports, sheriff' s department representatives
have publicly indicated they are suspects.
On May 13, 1997, the Wus filed this action for defamation,
conversion, spoliation of evidence, and various civil rights
violations related to the sheriff' s department' s investigation,
including their initial detention and questioning. The Wus claim
"they were lured to the police station on false pretenses
and then held against their will and subjected to lengthy and
aggressive interrogations, during which they were not free to
leave," all without benefit of Miranda warnings.
With respect to their defamation claim, the Wus assert
sheriff' s department representatives publicly identified them
in four news accounts (and in an additional conversation with
a local attorney) alternately as "among the suspects,"
the sole remaining suspects, and the "focus of the investigation."
Each statement "was equivalent to an accusation plaintiffs
killed C. T., which is false."
Plaintiffs also allege deputies searched their home
pursuant to an invalid search warrant obtained by submitting
a false and misleading affidavit to the magistrate. While searching
the Wus' home pursuant to the invalid warrant, deputies wrongfully
seized certain immigration documents belonging to Feilong Wu
that he needed to apply for a green card and work permit. The
County refused to return these documents, leading to loss of
employment opportunities for Feilong Wu.
Three days after the complaint was served, on
May 28, 1997, the Wus served a request for production, specifying
25 categories of documents and other items. In effect, they requested
the sheriff' s entire investigative file relating to C. T.' s
murder. For example, they sought production of "[a]ll documents
generated by any police agency relating to the death of C. T.
Turner . . . ," including their own statements, autopsy
reports, scientific testing, descriptions of physical evidence,
and witness statements.
The County refused to produce any of the requested items
on the ground that the investigative file is protected by the
official information privilege. (Evid. Code, § 1040, subd.
(b)(2).)[FOOTNOTE 1] The Wus moved to compel production. The
superior court conducted an in camera review of the investigative
file and an in camera hearing on the applicability of the privilege.[FOOTNOTE
2] After taking the matter under submission, the court
ruled on March 24, 1998, that the County "failed to meet
[its] burden under Evidence Code [section 1040] and ordered production
of all requested documents to the Wus' counsel, subject to a
protective order. This protective order allows the Wus to review
the documents if their attorney "finds it necessary[,]"
but prohibits anyone else from examining them or otherwise learning
of their contents absent a court order.
The County sought writ relief and a stay. We stayed
the order and issued an alternative writ.
II
The official information privilege set forth in section
1040, subdivision (b)(2) applies to "information acquired
in confidence by a public employee in the course of his duty
and not open, or officially disclosed, to the public prior to
the time the claim of privilege is made." (§ 1040,
subd. (a).) The privilege is conditional and attaches only if
"the court determines, in accordance with precise statutory
standards, that disclosure is against the public interest . .
. ." (Shepherd v. Superior Court (1976) 17 Cal.3d
107, 123.)
The Supreme Court may have exaggerated a bit in referring
to "precise statutory standards." The statute states
only that disclosure is against the public interest where "there
is a necessity for preserving the confidentiality of the information
that outweighs the necessity for disclosure in the interest of
justice . . . ." (§ 1040, subd. (b)(2).) In other words,
application of the privilege involves the always imprecise art
of weighing competing interests.
Before we take up the trial court' s exercise of discretion
in weighing the interests here, we must first consider the Wus'
argument that much of the information contained in the investigative
file was not "acquired in confidence" and is thus not
privileged. (§ 1040, subd. (a).) They argue, for example,
their own statements to the police, as well as statements made
by other witnesses, were not acquired in confidence. Similarly,
they argue that photos, sketches, and police reports concerning
the crime scene were not acquired in confidence because the scene
itself was "a ravine open to the public."
The Wus' emphasis on the manner in which the file' s
contents were gathered misses the point. Viewed individually,
many of the pieces of information in the file may not have been
"acquired in confidence" in the literal sense of that
term. But the logic of the Wus' argument does not withstand close
scrutiny. Simply because the public may observe the police gathering
evidence at a crime scene, or interviewing witnesses, it does
not follow that the information obtained is public.
Evidence gathered by police as part of an ongoing criminal
investigation is by its nature confidential. This notion finds
expression in both case and statutory law. For example, in People
v. Otte (1989) 214 Cal.App.3d 1522, the court made the following
observation concerning the confidentiality of criminal investigative
files in the course of interpreting the section 1041 privilege
as to confidential informants: "' Communications are made
to an officer in official confidence when the investigation is
of such a type that disclosure of the investigation would cause
the public interest to suffer. An apt illustration of this situation
is the investigation of a crime by police officers. [Citations.]
It is not only where a witness requests that his statement be
kept in confidence, but in all cases of crime investigation that
the record and reports are privileged.' (Jessup v. Superior
Court (1957) 151 Cal.App.2d 102, 108.)" (People v.
Otte, supra, 214 Cal.App.3d at p. 1532; see also Rivero
v. Superior Court (1997) 54 Cal.App.4th 1048, 1058-1059 [confidentiality
of criminal investigations must be maintained so that potential
witnesses come forward]; People v. Wilkins (1955) 135
Cal.App.2d 371, 377; People v. Pearson (1952) 111
Cal.App.2d 9, 18, 24.)
The Information Practices Act of 1977 (Civ. Code, §
1798 et seq.) protects information compiled by law enforcement
agencies for the purpose of investigating criminal activities,
including reports of informants and investigators. (Civ. Code,
§ § 1798.40, 1798.41.) Similarly, Penal Code section
11107, which states the obligation of each sheriff or police
chief to report crime data to the Department of Justice, specifically
recognizes the confidential nature of criminal investigations.
That statute includes the proviso that "[t]he Attorney General
may also require that the report shall indicate whether or not
the submitting agency considers the information to be confidential
because it was compiled for the purpose of a criminal investigation
of suspected criminal activities." (Pen. Code, § 11107.)
The Public Records Act (Gov. Code, § 6250 et seq.)
includes a specific exemption from disclosure for law enforcement
investigative files. This exemption permits the state to withhold
"[r]ecords of . . . investigations conducted by, or records
of intelligence information or security procedures of . . . any
state or local police agency, or any such investigatory or security
files compiled by any other state or local police agency . .
. for correctional, law enforcement or licensing purposes . .
. ." (Gov. Code, § 6254, subd. (f).)
In Williams v. Superior Court (1993) 5 Cal.4th
337, the Supreme Court interpreted the scope of this Public Records
Act exemption for police investigative files. The court held
that once an investigation has begun, all materials that relate
to the investigation and are thus properly included in the file
remain exempt from disclosure indefinitely. (Id. at pp.
355, 361-362.) Significantly, the court noted that the exemption
"protects materials that, while not on their face exempt
from disclosure, nevertheless become exempt through inclusion
in an investigatory file." (Id. at p. 354.) Though
the provisions of the Public Records Act are inapplicable to
civil discovery proceedings (Gov. Code, § 6260), the Act'
s express exemption of police investigative files from disclosure
reinforces the view that such files are confidential in nature.
Given the broadly recognized confidentiality of investigative
files, we find no need to separately analyze the manner in which
each element of the file was obtained for application of the
official information privilege. Instead, we conclude that the
contents of police investigative files sought in civil discovery
must remain confidential so long as the need for confidentiality
outweighs the benefits of disclosure in any particular case.
(§ 1040, subd. (b)(2).) We thus proceed to that inquiry.
III
In Shepherd v. Superior Court, supra, 17 Cal.3d
107, the court advised that the "weighing procedure will
entail a separate assessment of the ' necessity for disclosure
in the interest of justice' and the ' necessity for preserving
the confidentiality [of the subject information.]' [¶ ]
Implicit in each assessment is a consideration of consequences
- i.e., the consequences to the litigant of nondisclosure, and
the consequences to the public of disclosure. The consideration
of consequences to the litigant will involve matters similar
to those in issue in the determination of materiality and good
cause in the context of Code of Civil Procedure section 1985,
including the importance of the material sought to the fair presentation
of the litigant' s case, the availability of the material to
the litigant by other means, and the effectiveness and relative
difficulty of such other means. The consideration of the consequences
of disclosure to the public will involve matters relative to
the effect of disclosure upon the integrity of public processes
and procedures. . . ." (Id. at p. 126, fn. omitted.)
For its part, the County paints a compelling picture
of the dire consequences that could result from the disclosure
of the contents of an investigative file to the suspects in a
possible murder. The County invokes the powerful public interest
in solving homicides and bringing killers to justice. Undoubtedly,
that interest is at risk if confidential information about the
homicide investigation is released to suspects. There is an obvious
danger that they may learn crucial information that would enable
them to avoid apprehension. More specifically, permitting suspects
to review materials in an investigative file "will enable
them to invent stories, explain away evidence thus far gathered,
and intimidate or otherwise influence potential witnesses."
The County and amici curiae also argue that witnesses
will be fearful of providing incriminating information to police
investigators if their statements may be disclosed to suspects,
while the suspects are still at-large. In Daily Journal Corp.
v. Superior Court (1999) 20 Cal.4th 1117, our Supreme Court
cited similar concerns in affirming the importance of preserving
the secrecy of grand jury proceedings that have concluded without
indictment. The court observed, "In the absence of an indictment,
without the protections of the court process, the innocently
accused and even witnesses are more vulnerable to a risk of adverse
consequences ranging from reputational injury to retaliation."
(Id. at p. 1132.) There is also the concern that disclosure
will encourage frivolous lawsuits by providing suspects with
a tool to avoid criminal prosecution.
The Wus counter with the premise that they are the innocent
victims of police misconduct and their civil case is an attempt
to expose that misconduct. They champion the significant interest
of civil litigants in having their day in court, particularly
where, as here, claims of civil rights violations and defamation
are at stake. The Wus argue they have a compelling need for the
requested information from the investigative file to prove their
case against the County and discount law enforcement' s need
to withhold the information.
The Wus also assert active investigation stopped by
January of 1997, and there is no longer police activity concerning
the homicide. They claim the sheriff' s department, by its own
admission, has exhausted all leads. As a consequence, they argue
the investigation has hit a dead end and there is no need to
maintain the confidentiality of the sheriff' s file.
The County responds that there is no limitations period
for murder. (Pen. Code, § 799.) Homicide cases remain open
until they are solved, which sometimes occurs years after the
crime with the help of new technology (e.g., DNA) or witnesses
who become willing to provide new information because of some
change of circumstances or because they no longer feel threatened
by the suspect. The investigators remain hopeful for a break
in the case. It is approaching four years since C. T.' s death,
but an investigation of that length is common enough.
The Wus argue Rider v. Superior Court (1988)
199 Cal.App.3d 278 supports their claim to discovery of the investigative
file. Rider involved a defamation action filed by a man
against his former employer for allegedly falsely accusing him
of raping the employer' s minor daughter. At issue in Rider
was whether the girl' s statements to the police concerning
the alleged rape were discoverable by the plaintiff. The court
held they were: "[A] plaintiff in a defamation action who
claims he was wrongfully accused of rape is entitled to the same
discovery as a defendant accused of rape in a criminal action."
(Id. at p. 281.)
The Rider decision is not dispositive. The police
in Rider objected to production of their notes of the
girl' s interview to protect her privacy. (Id. at pp.
282-283.) While certainly important, a rape victim' s privacy
interest is not as weighty a concern as the need to apprehend
and convict a child killer. Rider was correctly decided,
we think, but it is not this case.
We conclude on the record before us that the public
interest in solving C. T. Turner' s homicide and bringing the
perpetrator(s) to justice outweighed the Wus' interest in obtaining
the discovery sought, at least at the time this matter was considered
below. We recognize the rather arbitrary nature of this conclusion,
but the order we review was made less than a year after this
civil action was filed. (And it is still less than three years
since it was filed.) When one reflects that the lives of other
children may be at risk with the killer(s) still at large, the
important interests in vindicating wronged plaintiffs and clearing
dockets do not seem quite so important. Consequently, we find
the superior court abused its discretion in ordering production
of the investigative file to the Wus' attorney. And, parenthetically,
we think that most reasonable parents in the Wus' position would
concur that the interest in apprehending a child killer must
continue to take priority over any civil action of theirs.
This is not to say, however, that the Wus can never
obtain the requested discovery. Law enforcement investigative
files are not on equal footing with grand jury proceedings which,
except in very limited circumstances, remain forever secret where
no indictment is returned. (Compare Daily Journal Corp. v.
Superior Court, supra, 20 Cal.4th at pp. 1127-1128 [only
under three narrow exceptions will grand jury proceedings be
made public] with Swanner v. United States (5th Cir. 1969)
406 F.2d 716, 719 ["while pendency of a criminal investigation
is a reason for denying discovery of investigative reports, this
privilege would not apply indefinitely" ] and Jabara
v. Kelley (E.D. Mich. 1977) 75 F.R.D. 475, 493-494 [the qualified
privilege to prevent disclosure expires after a reasonable time];
see also, Brown v. Thompson (5th Cir. 1970 430 F.2d 1214,
1215; Kinoy v. Mitchell (S.D. N.Y. 1975) 67 F.R.D. 1,
12; Capitol Vending Co. v. Baker (D.D.C.1964) 35 F.R.D.
510, 591.)
The appropriate remedy in this case is for the trial
court to stay discovery of investigative information in the civil
action for in order to allow the sheriff' s department the necessary
time to investigate. (Pacers, Inc. v. Superior Court (1984)
162 Cal.App.3d 686, 690.) And, should that become necessary,
the trial court should stay the entire action in the interest
of justice to avoid a potential statutory dismissal. (See Code
Civ. Proc., § 583.110 et seq.) We are cognizant of the Wus'
concern that the County not be allowed to "immunize [itself
from] any lawsuit by the Wus forever simply by keeping the case
open." Our order is intended to preserve the confidentiality
of the investigative file for some reasonable period of time,
but not forever.[FOOTNOTE 3]
In the future the trial court may determine that there
has not been enough progress in the investigation to justify
protecting most of the investigative file any longer. For example,
the court may find the trail has grown cold and there is no reasonable
probability the case will be solved. As noted above, we think
it was simply to soon to have made that determination when the
order under review was made. At that point the court may conclude
the risk to the investigation from releasing confidential information
from the investigative file is no longer a compelling concern.
Instead, the balance will have swung in favor of giving the Wus
limited access to that information in the file which may
help develop their case against the County. In other words, with
the passage of time, changing circumstances will inevitably reverse
the balance of competing interests under section 1040, subdivision
(b)(2). (Rubin v. City of Los Angeles (1987) 190 Cal.App.3d
560, 587.)
What parts or how much of the file to disclose to the
Wus is a question for the trial court.[FOOTNOTE 4] The court
will have to carefully assess the Wus' actual need for the information
against the public' s continuing need for confidentiality. That
assessment must involve the requisite factors of "materiality
and good cause . . . including the importance of the material
sought to the fair presentation of the litigant' s case, [and]
the availability of the material to the litigant by other means
. . . ." (Shepherd v. Superior Court, supra, 17 Cal.3d
at p. 126.) [FOOTNOTE 5]
Let a peremptory writ of mandate issue directing the
trial court to vacate its order compelling the production of
the investigative file and reconsider in light of the views expressed
above. Should the court withhold discovery of the entire investigative
file, it shall reconsider the matter at reasonable intervals
at plaintiffs' request and continue in that fashion until such
time as it may conclude that the Wus' interest in disclosure
outweighs any further public interest in retaining the entire
file in confidence. When discovery is permitted, it shall be
limited to those documents reasonably necessary to plaintiffs'
prosecution of their action. The alternative writ is discharged.
Each side shall bear its own costs in this proceeding.
CROSBY, J.
WE CONCUR: SILLS, P.J., and RYLAARSDAM, J.
::::::::::::::::::::::::::::: FOOTNOTE(S):::::::::::::::::::::::::::::
FN1. All further statutory references are to the Evidence
Code unless otherwise indicated.
FN2. We have declined to examine the file to avoid
compromising the investigation. We do not need to look at it
to understand, for example, that it contains details only the
killer(s) would know. The more people who are aware of those
details the less weighty would be any future confession or slip
of the tongue by a suspect and the more likely that such information
might end up in unauthorized hands or the press. And any effort
we might make to describe the fruits of the investigation to
date would simply provide potentially useful information to the
perpetrator(s).
This is not to say that we would never review
the file in assessing a lower court ruling. That time may come.
But for now we find disclosure was premature in any event and,
thus, there was no reason to examine the file in this proceeding.
FN3. At any time the Wus could request the trial court
to lift a stay of the action and proceed to trial without discovery
of the investigative file. Privilege issues certain to arise
at trial would simply have to be dealt with as they might come
up, including the knotty problem of the County attempting to
rely on the investigative file in its defense.
FN4. Obviously, the file may contain sensitive information
that should not be disclosed preindictment. Or there may be material
relevant to the Wus' civil action that could possibly be safely
confided to their attorney only subject to a stringent protective
order. In that event the trial court may choose to look for guidance
from trade secret cases in fashioning a remedy that preserves
confidentiality as much as possible. There will likely be relevant
information that can be released without jeopardizing the investigation
at all.
FN5. An evaluation of the legal sufficiency of the
Wus' various causes of action will be relevant to the weighing
of the Wus' need for the requested information. For example,
as to the defamation claim, the court may consider whether the
absolute privilege for acts in performance of official duty applies
to a sheriff' s department representative' s act of discussing
the status of a murder investigation. (See Kilgore v. Younger
(1982) 30 Cal.3d 770, 779 [attorney general performed "official
duty" at press conference].) Along the same line, the court
may consider whether the Government Code section 821.6 absolute
immunity for a public employee who causes injury by "instituting
or prosecuting any judicial or administrative proceeding within
the scope of his employment, even if he acts maliciously and
without probable cause" encompasses the act of publicly
naming someone as a suspect in an ongoing criminal investigation.
(See Baughman v. State of California (1995) 38 Cal.App.4th
182, 191-192, citing Amylou R. v. County of Riverside
(1994) 28 Cal.App.4th 1205, 1209-1210 [investigation is an essential
step in instituting a judicial proceeding, so investigative acts
are included in § 821.6 protection]; Cappuccio, Inc.
v. Harmon (1989) 208 Cal.App.3d 1496 [issuing press release
about prosecution is part of the judicial proceeding and thus
included within the statutory immunity]; Citizens Capital
Corp. v. Spohn (1982) 133 Cal.App.3d 887 [immunity under
this statute extends to charges made in the press on investigations
leading to license revocation proceedings].)
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