DocketNumber: S243855
Citation Numbers: 251 Cal. Rptr. 3d 320, 447 P.3d 234, 8 Cal. 5th 28
Filed Date: 8/26/2019
Status: Precedential
Modified Date: 10/19/2024
I. FACTUAL AND PROCEDURAL HISTORY
A. The Brady List
In late 2016, the Association counted among its members approximately 7,800 deputy sheriffs. The Department sent a letter to roughly 300 of those deputies, informing them that a review of "individual employees' personnel records" had "identified potential exculpatory or impeachment *326information in your personnel file." Among other things, the letter served to "remind" deputies "about the existence of this material."
According to the letter, "[e]xamples of performance deficiencies" that qualify as potential Brady material "include, but are not limited to, founded administrative investigations involving violations of" any of nearly a dozen sections of the Department's Manual of Policy and Procedures. Those sections concern:
**240(1) "Immoral Conduct"; (2) "Bribes, Rewards, Loans, Gifts, Favors"; (3) "Misappropriation of Property"; (4) "Tampering with Evidence"; (5) "False Statements"; (6) "Failure to make Statements and/or Making False Statements During Departmental Internal Investigations"; (7) "Obstructing an Investigation/Influencing a Witness"; (8) "False Information in Records"; (9) "Policy of Equality - Discriminatory Harassment"; (10) "Unreasonable Force"; and (11) "Family Violence." Notwithstanding the letter's claim that such violations were mere "[e]xamples of performance deficiencies" that might justify inclusion on the Brady list, other materials in the record suggest that the letter was only sent to deputies understood to have violated at least one of those enumerated policies.
The letter further advised deputies that, "in order to comply with our constitutional obligations," the Department is "required to provide the names of employees with potential exculpatory or impeachment material in their personnel file to the District Attorney and other prosecutorial agencies where the employee may be called as a witness." Later correspondence indicated that the deputy's employee number might also be provided. Consistent with that later correspondence, however, the initial letter stressed that "no portion of an investigation or contents of your file will be turned over to either the prosecution or the defense absent a court order." Deputies were also afforded an opportunity to object to their inclusion on the Brady list, by informing the *38Department that "the deputy did not have a founded administrative investigation finding on one of the above policy violations" or that "any such founded investigation had been overturned in a settlement agreement or pursuant to an appeal."
B. Trial Court
As relevant here, the Association filed a petition for writ of mandate and a complaint seeking preliminary and permanent injunctive relief. It sought to prevent the Department from disclosing the identity of deputies on the Brady list absent compliance with Pitchess procedures. The Department agreed to postpone disclosure until the court ruled on the request for a preliminary injunction. ( Association for Los Angeles Deputy Sheriffs v. Superior Court (2017)
The trial court granted the request in part. It agreed with the Association that the identity of peace officers on the Brady list was confidential under the Pitchess statutes because the list linked officers to disciplinary action reflected in their personnel records. The court further agreed that Brady did not authorize disclosure of the list at the Department's discretion, unconnected to any criminal case. Over the Association's objection, however, the court ruled that the Department was "not ... enjoined from disclosing the fact that an individual Deputy Sheriff is listed on the Sheriff's Department's 'Brady List' when a *327criminal prosecution is pending and the Deputy Sheriff at issue is involved in the pending prosecution as a potential witness."
C. Court of Appeal
The Association petitioned the Court of Appeal for a writ of mandate and requested an immediate stay. The court granted the stay request, effectively expanding the trial court's injunction to prevent disclosure of officer identities (outside of the Pitchess process) without regard to whether a prosecution was pending. After issuing an order to show cause, a divided panel of the Court of Appeal granted the writ petition in pertinent part. ( Deputy Sheriffs , supra , 13 Cal.App.5th at p. 448,
The Court of Appeal observed that the Pitchess statutes make confidential certain personnel records and information obtained from those records. ( Deputy Sheriffs , supra , 13 Cal.App.5th at p. 433,
Justice Grimes dissented in pertinent part. She concluded that a Pitchess motion is not "required to transfer, between members of the prosecution team, the identities of officers involved in a pending prosecution who may have Brady materials in their personnel records." ( Deputy Sheriffs , supra , 13 Cal.App.5th at p. 449,
D. Enactment of Senate Bill 1421
We granted review. While this matter was pending before us, Senate Bill No. 1421 (2017-2018 Reg. Sess.) (Senate Bill 1421) amended one of the statutes relevant to the question presented. (See Stats. 2018, ch. 988, § 2, eff. Jan. 1, 2019; see also § 832.7(a).) We obtained supplemental briefing regarding the significance of the enactment.
II. BRADY AND PITCHESS
We begin by describing Brady and Pitchess , as an understanding of each is necessary to understanding the relationship between them. (See, e.g., City of Los Angeles v. Superior Court (2002)
A. Brady
The Fourteenth Amendment to the federal Constitution prohibits states from denying any person due process of law. ( U.S. Const., 14th Amend.) This guarantee of due process affords criminal defendants the right to a fair trial, "impos[ing] on States certain duties consistent with their sovereign obligation to ensure 'that "justice shall be done." ' " ( Cone v. Bell (2009)
*328Prosecutors, as agents of the sovereign, must honor these obligations. (See Kyles , supra , 514 U.S. at p. 438,
*40Mooney v. Holohan (1935)
"For Brady purposes, evidence is favorable if it helps the defense or hurts the prosecution, as by impeaching a prosecution witness." ( People v. Zambrano (2007)
This materiality standard applies both after judgment, when evaluating whether Brady was violated, and before judgment, when evaluating whether evidence favorable to the defense must be disclosed. (See Kyles , supra , 514 U.S. at pp. 437-438,
B. Pitchess
Without relying on Brady , our decision in Pitchess "recognized that a criminal defendant may, in some circumstances, compel the discovery of evidence in the arresting law enforcement officer's personnel file that is *41relevant to the defendant's ability to defend against a criminal charge." ( People v. Mooc (2001)
The threshold question under the Pitchess statutes is whether the information requested is confidential. (See Pen. Code, § 832.7, subds. (a) - (b).) If it is, the information may generally be disclosed only "by discovery pursuant to" Evidence Code sections 1043, 1045, and 1046. ( § 832.7(a) ; see Johnson , supra , 61 Cal.4th at p. 712, fn. 2,
A party seeking disclosure under the Pitchess statutes must file a written motion and give notice to the agency with custody and control of the records. ( Evid. Code, § 1043, subd. (a).) Among other things, the motion must identify the officer or officers at issue (
This "good cause" requirement has two components. First, the movant must set forth "the materiality" of the information sought "to the subject matter involved in the pending litigation." ( Evid. Code, § 1043, subd. (b)(3).) The function of this requirement is to "exclude[ ] requests for officer information that are irrelevant to the pending charges." ( Warrick v. Superior Court (2005)
Second, the "good cause" requirement obliges the movant to articulate "a 'reasonable belief' that the agency has the type of information sought." ( City of Santa Cruz , supra , 49 Cal.3d at p. 84,
The function of the "good cause" requirement at this stage of the Pitchess process is not to determine whether documents will be disclosed to the movant; it is to determine whether information will be reviewed in camera. Accordingly, the burden imposed by the requirement "is not high." ( Johnson , supra , 61 Cal.4th at p. 720,
When a court determines that a movant has made a showing sufficient to justify in camera inspection, "the custodian of records should bring to court all documents 'potentially relevant' to the ... motion." ( Mooc , supra , 26 Cal.4th at p. 1226,
After conducting in camera review, a court has discretion regarding which documents, if any, it will disclose to a movant. (See, e.g., People v. Myles (2012)
Finally, the Pitchess statutes protect information that is disclosed to a movant from **244further dissemination. "The court shall, in any case or proceeding permitting the disclosure or discovery of any peace or custodial officer records requested pursuant to [Evidence Code] Section 1043, order that the records disclosed or discovered may not be used for any purpose other than a court proceeding pursuant to applicable law." ( Evid. Code, § 1045, subd. (e) ; see generally *331Chambers v. Superior Court (2007)
III. ANALYSIS
Familiar principles of statutory interpretation guide our analysis of the Pitchess statutes. (See, e.g., People v. Castillolopez (2016)
*44A. The Department's Brady List Is Confidential to the Extent That Officers Were Included on the List Because of Information Obtained from Confidential Records
To the extent the Department placed officers on the Brady list based on information found in confidential records, the identities of those officers were "obtained from" the records and are thus also confidential. ( § 832.7(a).) Under legislation enacted while this litigation was pending, however, certain records related to officer misconduct are not confidential. (See Pen. Code, § 832.7, subd. (b) ( section 832.7(b) ).) Because such records are not confidential, information "obtained from" those records is also not confidential. ( § 832.7(a).) With one possible exception not relevant here (see
1. Section 832.7(a) creates three categories of confidential information
In pertinent part, section 832.7(a) instructs that, "[e]xcept as provided in subdivision (b), the personnel records of peace officers and custodial officers 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." (Italics added.) This provision does not merely restrict disclosure in criminal and civil proceedings; it creates a generally applicable condition of confidentiality and recognizes an exception for "discovery pursuant to" certain portions of the Evidence Code. (Ibid. ; see Copley Press, Inc. v. Superior Court (2006)
Absent an exception, the confidentiality afforded by section 832.7(a) extends to three categories of information. (See Copley Press , supra , 39 Cal.4th at p. 1284,
The third and final category of confidential information is "information obtained from" the prior two types of records. ( § 832.7(a) ; see Commission on POST , supra , 42 Cal.4th at p. 289,
2. Senate Bill 1421 excludes certain information from section 832.7(a) 's provision of confidentiality
Senate Bill 1421 amended Penal Code section 832.7. The plain text of the amended statute excludes certain information from the confidentiality afforded by section 832.7(a). As amended, subdivision (a) applies "[e]xcept as provided in subdivision (b)." Subdivision (b) declares in turn that, "[n]otwithstanding ... any other law," certain "peace officer or custodial officer personnel records and records maintained by any state or local agency shall not be confidential and shall be made available for public inspection pursuant to the California Public Records Act." ( Pen. Code, § 832.7, subd. (b)(1), italics added.) It follows that if subdivision (b) deems records "not ... confidential," they are not "confidential" under subdivision (a). And if records are "not ... confidential" because of subdivision (b), it would be nonsensical to conclude that subdivision (a) renders "information obtained from" those nonconfidential records "confidential." Thus, if subdivision (b) deems a record nonconfidential, the record, or information obtained from it, is not confidential.
Senate Bill 1421 deems three types of records nonconfidential. First, records "relating to the report, investigation, or findings" of an incident in which an officer (i) discharged a firearm at a person or (ii) used force against *46a person resulting in death or great bodily injury. ( Pen. Code, § 832.7, subd. (b)(1)(A).) Second, records "relating to an incident in which a sustained finding was made by any law enforcement agency or oversight agency" *333that an officer "engaged in sexual assault involving a member of the public." (
It is true that Senate Bill 1421 does not "affect the discovery or disclosure of information contained in a peace or custodial officer's personnel file pursuant to Section 1043 of the Evidence Code." ( **246Pen. Code, § 832.7, subd. (g).) Nor does it "supersede or affect the criminal discovery process outlined in Chapter 10 (commencing with [Evidence Code] Section 1054) of Title 6 of Part 2, or the admissibility of personnel records pursuant to subdivision (a), which codifies the court decision in Pitchess v. Superior Court (1974)
We do not suggest that nonconfidential records must be fully disclosed, at any time, under the California Public Records Act. As amended, Penal Code section 832.7 contemplates that it may be appropriate for an agency to redact records (
*47( § 832.7(a) ) does not mean that they are invariably open for public inspection over the agency's objection.
With this revised statutory scheme in mind, we turn to the question whether the Department's Brady list is confidential.
3. The record does not support a conclusion that the Brady list is nonconfidential
Putting subdivision (b) aside, there is no serious question that the Department reviewed "the personnel records of peace officers" when creating the Brady list. ( § 832.7(a).) The parties do not dispute that the deputies included on the *334list are "peace officers." (Ibid. ) Nor is there any doubt that the Department created its list by reviewing "the personnel records of" those officers. (Ibid. ) The Department's initial letter to deputies explained that they were being contacted because a review of "personnel records" "identified potential exculpatory or impeachment information in your personnel file." Later correspondence clarified that deputies were contacted "due to a prior FOUNDED allegation of misconduct involving the Manual of Policies and Procedures (MPP), i.e.[,] a sustained finding that reflects moral turpitude, untruthfulness, or bias." This phrasing appears to refer to the statutory definition of " '[s]ustained,' " which "means a final determination ..., following an investigation ... that the actions of the peace officer or custodial officer were found to violate law or department policy." ( Pen. Code, § 832.8, subd. (b) ; see also
This conclusion entails another: The identities of officers on the Brady list constitute "information obtained from" "the personnel records of peace officers." ( § 832.7(a).) The Brady list is a catalog of officers with a particular kind of discipline-related information in their personnel file. It was derived from information in those files. It follows that, barring the applicability of an exception, the Pitchess statutes render confidential the identities of officers on the Brady list. To **247hold otherwise would mean that section 832.7(a) affords the Brady list no protection at all.
An amicus curiae brief contends that the phrase "information obtained from these records" ( § 832.7(a) ) "could reasonably be interpreted to refer *48only to information in the records, and not to the mere fact that certain information may exist." Thus, the argument continues, the Department's "generic" notification that " 'there may be Brady material in the officer's personnel records,' " is not a disclosure of "information obtained from" the records ( § 832.7(a) ).
We disagree. Based on the Department's explanation of how the Brady list at issue in this case was assembled (see ante , pt. I.A), the Department's disclosure that there "may" be Brady material in an officer's personnel records is, in effect, a disclosure that the officer has been found to have committed misconduct. This is not a "generic" disclosure merely because the misconduct could have been one of several kinds of misconduct, nor because evidence of the misconduct might not be "material" within the meaning of Brady in a particular case. (Cf. Copley Press , supra, 39 Cal.4th at p. 1297,
Moreover, information is no less "obtained from" confidential records merely because it is abstracted before it is disclosed. As relevant here, Penal Code Section 832.7, subdivision (d) instructs that, "notwithstanding" the confidentiality created by subdivision (a), "a department or agency that employs peace or custodial officers may disseminate data regarding the number, type, or disposition of complaints (sustained, not sustained, exonerated, or unfounded) made against its officers if that information is in a form which does not identify the individuals involved." (
In light of Senate Bill 1421, however, some of the records reviewed by the Department may not be confidential. (See, e.g., Pen. Code, § 832.7, subd. (b)(1)(C).) If the records are not confidential, then information "obtained from" those records is also not confidential. The record on appeal in this case was not developed with Senate Bill 1421 in mind. Given the many grounds that may have given rise to a deputy's inclusion on the Brady list, we cannot say that the list was derived entirely from records rendered nonconfidential by Senate Bill 1421.
Nor can we say that a Brady list that includes both confidential and *49nonconfidential information melds into a single, nonconfidential whole. It is true that when a Brady list includes both confidential information and nonconfidential information, an officer's presence on the list does not necessarily communicate confidential information about that officer. In such a situation, one cannot infer from the officer's presence on the list that there is impeachment information in the officer's confidential records. (Cf. Long Beach , supra , 59 Cal.4th at p. 73,
Further, because this argument focuses on whether someone can infer information about confidential records from the fact that an officer is on the Brady list, it appears to require one of two dubious approaches. It could be that disclosure of the fact that an officer is on the Brady list is permissible so long as the list is not based entirely on confidential information. That, after all, would be enough to sever the inference that if an officer is on the list, there must be evidence of discipline in the officer's confidential file. But if that is correct, then a Brady list may be created based on almost entirely confidential information, plus one officer whose misconduct is not confidential. We doubt the Legislature intended that result. Alternatively, it might be necessary to determine whether there is a sufficient mix of confidential and nonconfidential information such that it is genuinely unclear on what basis an officer was included on the Brady list. But that line seems challenging to administer - and, again, unmoored from the statutory text, which concerns "information obtained from" confidential records.
Because we cannot say that the Brady list at issue in this case is entirely nonconfidential, *336and because partial nonconfidentiality would not strip the remainder of the list of its confidential status, we next consider whether the Department may disclose confidential information on its Brady list to prosecutors. *50B. The Department May Share Even Confidential Portions of Its Brady List with Prosecutors
Our conclusion that portions of the Department's Brady list may be confidential raises the further question whether sharing alerts based on such information with prosecutors would be a violation of confidentiality. We conclude that the confidentiality created by the Pitchess statutes does not forbid the limited disclosure to prosecutors at issue in this case.
1. Section 832.7(a) permits the Department to share Brady alerts with prosecutors
As noted, section 832.7(a) instructs that certain information is "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." We made clear in Copley Press that it is the condition of confidentiality that restricts information sharing, not the "shall not be disclosed" provision. (See Copley Press , supra , 39 Cal.4th at p. 1285,
The statutory text alone provides no clear answer to this question. "In common usage, confidentiality is not limited to complete anonymity or secrecy. A statement can be made 'in confidence' even if the speaker knows the communication will be shared with limited others, as long as the speaker expects that the information will not be published indiscriminately." ( Department of Justice v. Landano (1993)
**249*51Viewing the Pitchess statutes "against the larger background of the prosecution's [ Brady ] obligation" ( Mooc , supra , 26 Cal.4th at p. 1225,
There can be no serious doubt that confidential personnel records may contain Brady material. An officer may provide important testimony in a criminal prosecution. Confidential personnel records may cast doubt on that officer's veracity. Such records can constitute material impeachment evidence. (See, e.g., Giglio,
Because confidential records may contain Brady material, construing the Pitchess statutes to permit Brady alerts best "harmonize[s]" Brady and Pitchess . ( Deputy Sheriffs , supra , 13 Cal.App.5th at p. 450,
Indeed, to interpret "confidential" as forbidding the sharing of information with prosecutors would do more than forbid the formal Brady - list-and-alert practice at issue here. Even without formal procedures, conscientious prosecutors have conferred with law enforcement agencies to identify confidential files that may contain impeachment material. (See, e.g., Johnson , supra , 61 Cal.4th at p. 707,
Of course, no one suggests that the Pitchess statutes completely prevent prosecutors from accessing confidential personnel records. Section 832.7(a) includes an exception for "investigations ... concerning the conduct of peace officers or custodial officers ... conducted by ... a district attorney's office, *52or the Attorney General's office." And prosecutors may file Pitchess motions as appropriate. But the "investigations" exception ( § 832.7(a) ) does not apply merely because "[a] police officer" is "a witness in a criminal case" ( Johnson , supra , 61 Cal.4th at p. 714,
It would also put deputies in a precarious position. The Fourteenth Amendment underlying Brady imposes obligations on states and their agents - not just, derivatively, on prosecutors. Law enforcement personnel are required to share Brady material with the prosecution. (See, e.g., Carrillo v. County of Los Angeles (9th Cir. 2015)
The Association's contrary view that " Brady relates only to the prosecutor" and that " Brady ... does not impose obligations on **250law enforcement" is distressing and wrong. The prosecution may bear ultimate responsibility for ensuring that necessary disclosures are made to the defense (see In re Brown , supra , 17 Cal.4th at p. 881,
The Association further disputes that confidential personnel records may contain Brady material. It argues that "when a law enforcement agency maintains information about a peace officer in [the officer's] personnel file, it is acting in an administrative, not an investigative, capacity, and such information is not within the purview of the prosecutor's duty under Brady ."
This argument rests on a logical error. To be sure, although the federal Constitution imposes a duty on states to afford defendants a fair trial, a prosecutor is not responsible for disclosing all information known to any part of a state. Instead, if an "agency ... has no connection to the investigation or prosecution of the criminal charge against the defendant," the agency is not part of "the prosecution team," and "the prosecutor does not have the duty to search for or to disclose" "information possessed by [that] agency." ( In re Steele (2004)
The Association also suggests that confidential records fall outside the Brady duty to disclose because that duty extends only "to information obtained during an investigation about a criminal matter against a defendant." (Italics added.) This, too, is mistaken. What matters for Brady purposes is what the prosecution team knows, not how the prosecution team knows it. Suppose, for example, that a prosecutor is personally aware (based on an earlier case) that a key witness in a pending prosecution is a habitual liar who has been repeatedly convicted of perjury. To say that the prosecutor need not disclose that information *339merely because it was not "obtained during" investigation of the defendant's case would be irreconcilable with the right to a fair trial underlying Brady ; it would "cast[ ] the prosecutor in the role of an architect of a proceeding that does not comport with standards of justice." ( Brady , supra , 373 U.S. at p. 88,
To be clear, we do not suggest that permitting Brady alerts completely resolves the tension between Brady and the Pitchess statutes. Not all departments maintain Brady lists. And nothing guarantees that a Brady list will reflect all information that might prove "material" in each particular case. ( Brady ,
2. Johnson does not require a contrary conclusion
The Court of Appeal relied on our decision in Johnson to reach a contrary conclusion. We decline to extend that decision to this context.
In Johnson , we rejected the view that prosecutors "may always review the confidential personnel records of police officers who are witnesses in a criminal case to determine whether the records contain Brady material." ( Johnson , supra , 61 Cal.4th at p. 712,
We acknowledge the argument that this analysis applies to Brady alerts. Brady alerts communicate information obtained from confidential records. That information, like the underlying records, is "confidential." ( § 832.7(a).) And nothing in section 832.7(a) - including the investigations exception - explicitly declares that different kinds of confidential information should be treated differently. (See also Johnson , supra , 61 Cal.4th at p. 714,
That said, there is no question that our decision in Johnson was based on an understanding that Brady alerts were permissible. We viewed Brady alerts as so "laudabl[e]" ( *340Johnson , supra , 61 Cal.4th at p. 721,
Nor is the relationship between the term "confidential" and the investigations exception beyond debate. ( Johnson , supra , 61 Cal.4th at p. 714,
In any event, even if the investigations exception is the only basis on which prosecutors may directly access underlying confidential records without a Pitchess motion, it does not follow that the Department is forbidden to transmit the Brady alerts at issue in this case. The Pitchess statutes reflect a balance between "a litigant's discovery interest" and "an officer's confidentiality interest." ( Stiglitz , supra , 60 Cal.4th at p. 639,
For these reasons, we decline to extend Johnson 's conclusion regarding "direct access to peace officer personnel records" to forbid the Brady alerts at issue here. ( Johnson , supra , 61 Cal.4th at p. 713,
IV. CONCLUSION AND DISPOSITION
The question presented in this case concerns whether the Department may share confidential Brady alerts with prosecutors. We do not address *56whether it would violate confidentiality for a prosecutor to share an alert with the defense. (See *341Johnson , supra , 61 Cal.4th at p. 722,
We reverse the judgment of the Court of Appeal and remand the matter for further proceedings consistent with this opinion.
We Concur:
CHIN, J.
CORRIGAN, J.
LIU, J.
CUÉLLAR, J.
KRUGER, J.
GROBAN, J.
The Association sought relief against several other individuals or entities, including then-Sheriff Jim McDonnell and the County of Los Angeles. For ease of reference, and because these real parties in interest are similarly situated, we refer to the Department throughout.
The affidavit may be executed by an attorney based on information and belief; personal knowledge is not required. (See Garcia v. Superior Court (2007)
We express no view regarding whether an agency "release[s]" records concerning frivolous or unfounded civilian complaints "pursuant to this section" when it shares them only with a prosecutor's office. (Pen. Code, § 832.7, subd. (b)(8).)
We express no view concerning whether Senate Bill 1421 affects the confidentiality of records that existed before the legislation's effective date.
If anything, the recent amendment to section 832.7(a) tends to indicate that the condition of confidentiality is meant to shield information from the public's eyes - not from the eyes of government officials who may need that information to satisfy a constitutional obligation. (See Pen. Code, § 832.7, subd. (b)(1) [certain records "shall not be confidential and shall be made available for public inspection pursuant to the California Public Records Act"]; cf. Copley Press , supra , 39 Cal.4th at p. 1285,
We need not hold that all information known to officers is necessarily within the scope of the Brady duty. For now, it is enough to say that records connected to officers' discipline cannot be categorically excluded from that duty.
To permit Brady alerts is not to require that Pitchess motions be supported by such alerts; there may be good cause for in camera inspection even if officers have been omitted from a Brady list maintained by their department.