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GEORGE TORRES, Petitioner,
v.
THE SUPERIOR COURT OF LOS ANGELES COUNTY, Respondent,
THE PEOPLE, Real Party in Interest.
No. B136652
In the Court of Appeal of the State of California
Second Appellate District
Division Four
(Super. Ct. No. VA034807)
PETITION for Writ of Mandate. Writ granted.
COUNSEL
William P. Imperial; William J. Genego; Nasatir, Hirsch
& Podberesky, Richard G. Hirsch; and Robert W. Eisfelder
for Petitioner.
No appearance for Respondent.
Gil Garcetti, District Attorney (Los Angeles), George
M. Palmer, Head Deputy District Attorney and Brent Riggs, Deputy
District Attorney for Real Party in Interest.
Filed May 11, 2000
In this writ proceeding we consider whether it is proper
for the trial court to conduct an ex parte, in camera hearing
to determine whether the People have a valid claim of privilege
as to the identity of percipient witnesses who are admittedly
not confidential informants. We conclude that an in camera hearing
is not proper on a claim of official privilege unless the party
claiming the privilege explains in open court why the official
privilege applies or declares that it cannot do so without betraying
the privilege. If that showing is made, and the trial court finds
that it is unable to evaluate the claim without disclosure of
information which the party asserts is privileged, the court
is authorized by Evidence Code section 915, subdivision (b)[FOOTNOTE
1] to conduct an in camera hearing to evaluate the existence
of the privilege. We also conclude that no basis was shown in
this case to require that the ex parte, in camera hearing be
conducted by a different judicial officer than the one presiding
over the hearing in which the issue arose.
FACTUAL AND PROCEDURAL SUMMARY
Petitioner was placed on three years of formal probation
in April 1997. One of the conditions of his probation was that
he was not to "own, use or possess any dangerous or deadly
weapons, including any firearms, knives or other concealable
weapons." He also was required to submit to warrantless
searches of his person and property.
On July 13, 1999, law enforcement officers conducted
a series of coordinated searches at six different properties
owned by petitioner, including three Numero Uno markets. They
found firearms at three of the locations. The District Attorney
filed a petition to revoke petitioner' s probation on the ground
that he violated Penal Code section 12021 (felon in possession
of a firearm).
At the probation violation hearing, Downey Police Officer
Paul Hernandez testified that he found four shotguns, four rifles,
and a .380 magazine containing several live rounds in an upstairs
security room at petitioner' s Numero Uno market at 701 E. Jefferson
Avenue. On cross-examination, defense counsel asked Officer Hernandez
whether anyone accompanied him to the location that was searched.
He replied that several people had. Counsel asked, "Who
was with you?" The prosecutor' s objection on relevance
grounds was overruled.
The prosecutor then asked the court to hold an in camera
hearing "pursuant to 1040 through 1042 of the Evidence Code."
[FOOTNOTE 2] Defense counsel objected to this procedure, noting
that he was not seeking disclosure of the identity of confidential
informants, but of percipient witnesses. Hence, he argued, the
People could not assert the privilege against disclosure of an
informant' s identity pursuant to section 1041, nor were they
entitled to an ex parte, in camera hearing for evaluation of
that claim pursuant to section 1042, subdivision (d).
The court concluded that the People' s claim was analogous
to a section 1041 claim of privilege as to the identity of an
informant,[FOOTNOTE 3] and that it would be appropriate to hold
an in camera hearing to evaluate whether the privilege was properly
asserted.
Defense counsel proposed that the hearing be conducted
by another judicial officer to prevent the court from being tainted
by information revealed in the in camera hearing. The court was
willing to accept this proposal, but the prosecutor was not.
The court announced its intention to proceed with the hearing,
and assured defense counsel it would consider only the basis
for the claim of privilege, not any issues of substance during
the ex parte hearing.
Petitioner sought a writ of mandate for relief from
the trial court' s order for an in camera hearing. He also asked
that if we permit the in camera hearing to go forward, we order
that it be conducted by a different judicial officer than the
one who is conducting the probation violation hearing. We issued
an alternative writ and stayed the in camera hearing. After consideration
of the matter, we grant the writ of mandate and direct the trial
court to vacate its order for an in camera hearing.
DISCUSSION
I
The People admit that the percipient witnesses whose
disclosure they oppose are not confidential informants. The privilege
recognized in section 1041 preventing disclosure of the identity
of a confidential informant does not apply. For that reason,
the People are not entitled to the in camera procedure available
to oppose disclosure of the identity of confidential informants
which is set out in subdivision (d) of section 1042.
The applicable privilege, they argue, is for "official
information." Under section 1040, a public entity has a
privilege to refuse to disclose official information and to prevent
another from disclosing it if disclosure of the information is
against the public interest because there is a necessity for
preserving the confidentiality of the information that outweighs
the necessity for disclosure. (§ 1040, subd. (b)(2).) Subdivision
(a) defines official information as "information acquired
in confidence by a public employee in the course of his or her
duty and not open, or officially disclosed, to the public prior
to the time the claim of privilege is made."
Petitioner disputes the applicability of this privilege.
He is seeking the names of the people who accompanied Detective
Hernandez on the probation search, and the prosecutor has admitted
that the people in question are not confidential informants.
If a person is not a confidential informant, petitioner argues,
"there is no plausible basis to believe that Detective Hernandez
could have ' acquired [the person' s name] in confidence . .
. in the course of his or her duty . . . ."
Petitioner cites no authority for this conclusion, and
we find his argument unpersuasive. A person' s identity can be
revealed to a public employee in confidence, whether or not that
person also provides information to the public employee. For
example, the name of an undercover officer from a different law
enforcement agency, or of an individual in a witness protection
program, could be provided to a police officer in confidence.
There is at least an arguable basis for the prosecutor' s assertion
that the identity of the individuals who accompanied Detective
Hernandez is official information and therefore privileged.
Anticipating this conclusion, petitioner next argues:
"[T]he fact that the privilege may apply does not entitle
the District Attorney to an in camera hearing to argue for non-disclosure.
Nor does the fact that privilege may apply mean the Respondent
Court is authorized to conduct an in camera hearing." Petitioner
is correct in his claim that the district attorney is not entitled
to an in camera hearing just for the asking. But as we shall
explain, the court has the authority to hold an in camera hearing
on a proper showing that the hearing is necessary to determine
the claim of privilege.
Section 915, subdivision (b), provides: "When a
court is ruling on a claim of privilege under Article 9 (commencing
with Section 1040) of Chapter 4 (official information and identity
of informer) or under Section 1060 (trade secret) and is unable
to do so without requiring disclosure of the information claimed
to be privileged, the court may require the person from whom
disclosure is sought or the person authorized to claim the privilege,
or both, to disclose the information in chambers out of the presence
and hearing of all persons except the person authorized to claim
the privilege and such other persons as the person authorized
to claim the privilege is willing to have present. If the judge
determines that the information is privileged, neither he nor
any other person may ever disclose, without the consent of a
person authorized to permit disclosure, what was disclosed in
the course of the proceedings in chambers."
The issue is not whether the court can utilize the in
camera procedure authorized by section 915, subdivision (b) to
determine applicability of a claim of privilege; it plainly has
that authority. The real question is what showing must be made
before the court exercises its authority to do so.
The official information privilege, once asserted, should
not be sustained unless the court is presented with a showing
that the information sought to be protected is covered by the
privilege. There are, no doubt, circumstances where this is self-evident,
or nearly so. (See, e.g., People v. Walker (1991) 230
Cal.App.3d 230 [point of surveillance].) But if it is not, the
party claiming the privilege must either show in open court why
the matter is privileged, or declare that doing so would compromise
the privilege. If it appears to the trial court, based on this
representation, that the claim cannot be determined in open court
without "disclosure of the information claimed to be privileged,"
the court may call for that disclosure in camera, pursuant to
section 915, subdivision (b).
In this case, the People asked for an in camera hearing.
But they said nothing more. The request by itself was not sufficient.
The People were required to go further and explain why the official
privilege applies to the requested information, or declare that
they cannot provide that explanation in open court without betraying
the privilege. In the absence of the explanation or the declaration,
the court erred in setting an ex parte, in camera hearing.
If the court sets an ex parte, in camera hearing following
a proper assertion of privilege by the People, and a finding
of need by the court, petitioner should be given an opportunity
to propose questions to be asked at the in camera hearing. (People
v. Montgomery (1988) 205 Cal.App.3d 1011, 1021.) In order
to protect petitioner' s right to appellate review, "[t]he
trial court can and should exercise its inherent power to order
that the proceedings be recorded and transcribed and that the
transcript be sealed." (Ibid., fn. 4.)
The in camera proceeding is to be only a preliminary
inquiry into the question of disclosure. As the court explained
in People v. Superior Court (1971) 19 Cal.App.3d 522,
the in camera hearing provided by section 915, subdivision (b)
"offers the judge a guarded look into the government' s
secrets as a prelude to a more extended inquiry. Although it
may furnish a fairly accurate measure of the government' s claim,
it supplies no more than a tentative, strictly provisional notion
of the defendant' s need. It does not place the court in readiness
to rule on the claim of privilege. The court should continue
its inquiry in an adversary setting, probing the information'
s relevance to the defense, exploring with counsel the availability
of other alternatives and, if necessary, hearing testimony voir
dire. Only at the conclusion of an adversary inquiry is the
court in a position to assess the counter-balancing weight of
the defendant' s need, to appraise the possibility of reasonable
alternatives and to determine what cost shall be exacted of the
prosecution. Only at the conclusion of an adversary inquiry is
the court qualified to rule for or against the government' s
claim of privilege." (Id. at p. 531; see also §
1042, subd. (d).)
II
Petitioner also argues that the in camera hearing should
be conducted by a different judicial officer than the one who
will preside over his probation revocation hearing. He acknowledges
that a judge' s receipt of information through an ex parte, in
camera hearing with one of the parties ordinarily does not constitute
grounds to reasonably question the judge' s impartiality. He
claims this case is different because the judge who will receive
the ex parte information is also the trier of fact on the ultimate
issue of whether petitioner violated his probation. According
to petitioner, "Given that dual role, a reasonable person
with knowledge of all the facts might reasonably question the
judge' s impartiality."
The People expressed the intent to limit the court'
s exposure to substantive information during the ex parte hearing.
The judge stated he would limit the ex parte hearing to "why
the claim of privilege is being made so I can attempt to evaluate
whether it is a valid claim or not." The circumstances in
this case do not suggest that the judge' s receipt of information
during an ex parte hearing would create any actual or apparent
bias.
If, upon a proper showing by the People, the court determines
that an ex parte, in camera hearing is necessary in order to
determine the existence of the official information privilege,
it would not be an abuse of discretion for the court to hold
the hearing rather than have it conducted by a different judicial
officer.
DISPOSITION
The petition for writ of mandate is granted, and the
trial court is ordered to vacate its order setting an in camera
hearing on the People' s claim of privilege.
EPSTEIN, Acting P.J.
We concur: HASTINGS, J., and CURRY, J.
::::::::::::::::::::::::::::: FOOTNOTE(S):::::::::::::::::::::::::::::
FN1. All further statutory references are to the Evidence
Code unless otherwise indicated.
FN2. We deem the prosecutor' s reference to section
1040 adequate to invoke the official information privilege.
FN3. The court' s statement that the privilege being
asserted is analogous to the informant privilege demonstrates
its understanding that it was dealing with the official information
privilege rather than the informant privilege.
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