Untitled California Attorney General Opinion

California Attorney General Reports·Decided January 30, 1987·No. 86-704·Published

Opinion

TO BE PUBLISHED IN THE OFFICIAL REPORTS

OFFICE OF THE ATTORNEY GENERAL

State of California

JOHN K. VAN DE KAMP

Attorney General

_________________________

:

OPINION : No. 86-704

:

of : JANUARY 30, 1987 :

JOHN K. VAN DE KAMP :

Attorney General :

:

RODNEY O. LILYQUIST :

Deputy Attorney General :

:

________________________________________________________________________

THE HONORABLE DWIGHT L. HERR, COUNTY COUNSEL, COUNTY OF SANTA CRUZ, has requested an opinion on the following questions:

1. Is the lawyer-client privilege or the work- product rule available in a grand jury proceeding to prevent disclosure of requested information?

2. Is a public officer entitled to claim the lawyer-client privilege or rely upon the work-product rule to prevent disclosure of requested information?

CONCLUSIONS

1. The lawyer-client privilege and the work- product rule are available in a grand jury proceeding to prevent disclosure of requested information.

2. A public officer is entitled to claim the lawyer-client privilege and rely upon the work-product rule to prevent disclosure of requested information.

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ANALYSIS

The two questions presented for analysis concern certain documents prepared by city officers evaluating personal injury claims filed against the city. A county grand jury has subpoenaed the documents. May the city officers claim the lawyer-client privilege or rely upon the work-product rule in order to prevent disclosure of some or all of the documents to the grand jury?

1. Grand Jury Proceedings

The first question to be resolved is whether as a general matter the lawyer- client privilege or work-product rule is available to be claimed by a witness in a grand jury proceeding. We conclude that both are generally available in such a proceeding.

Preliminarily, we note that "the grand jury is a 'judicial body' [citation], 'an instrumentality of the courts of this state . . . .' [citations]." (People v. Superior Court (1975) 12 Cal.3d 430, 438.) It performs both a criminal and civil function—indicting persons for crimes and investigating and reporting upon matters of local government. (Gillett-Hanes-Duranceau & Associates, Inc. v. Kemple (1978) 83 Cal.App.3d 214, 221; 64 Ops.Cal.Atty.Gen. 900, 901-902 (1981).) It may summon witnesses and subpoena records. Its "power is analogous to that of an administrative inquiry." (People v. Sperl (1976) 54 Cal.App.3d 640, 654; see 67 Ops.Cal.Atty.Gen. 58, 63 (1984).)

A. Lawyer-Client Privilege

Evidence Code section 9541 states in part:

"Subject to Section 921[2] and except as otherwise provided in this article, the client whether or not a party, has a privilege to refuse to disclose, and to prevent from disclosing, a confidential communication between client and lawyer if the privilege is claimed by:

"(a) The holder of the privilege;

"(b) A person who is authorized to claim the privilege by the holder of the privilege; or

1 All references to the Evidence Code are by section number only. 2 Section 921 concerns the manner in which certain privileges may be waived by the holder.

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"(c) The person who was the lawyer at the time of the confidential communication, but such person may not claim the privilege if there is no holder of the privilege in existence or if he is otherwise instructed by a person authorized to permit disclosure."

The lawyer-client privilege covers not only private conversations held between lawyer and client but also disclosures made through intermediaries reasonably necessary to accomplish the purpose for which the lawyer is consulted. (§ 951; 2 Witkin, Cal. Evidence (3d ed. 1986) § 1107, pp. 1047-1048; 2 Jefferson, Cal. Evidence Benchbook (2d ed. 1982) § 40.1, p. 1419.) The privilege is provided in order to promote full disclosure in the relationship between lawyer an client. (City & County of S.F. v. Superior Court (1951) 37 Cal.2d 227, 235.) "'[T]he absence of the privilege would convert the attorney habitually and inevitably into a mere informer for the benefit of the opponent.'" (Ibid.; see Mitchell v. Superior Court (1984) 37 Cal.3d 591, 599; American Mut. Liab. Ins. Co. v. Superior Court (1974) 38 Cal.App.3d 579, 593.)

The lawyer-client privilege is contained in division 8 (§§ 900-1070) of the Evidence Code which deals with a wide variety of privileges. While these provisions would be applicable with respect to the admissibility of evidence in a court action, would they control what evidence may be obtained in a grand jury proceeding? The answer is found in section 910, which provides:

"Except as otherwise provided by statute, the provisions of this division apply in all proceedings. The provisions of any statute making rules of evidence inapplicable in particular proceedings, or limiting the applicability of rules of evidence in particular proceedings, do not make this division inapplicable to such proceedings."

"Proceedings" is defined in section 901 as follows:

"'Proceeding' means any action, hearing, investigation, inquest, or inquiry (whether conducted by a court, administrative agency, hearing officer, arbitrator, legislative body, or any other person authorized by law) in which pursuant to law, testimony can be compelled to be given."

As commented by the California Law Revision Commission ("Commission"):

"'Proceeding' is defined to mean all proceedings of whatever kind in which testimony can be compelled by law to be given. It includes civil and criminal actions and proceedings, administrative proceedings, legislative hearings, grand jury proceedings, coroners' inquests, arbitration

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proceedings, and any other kind of proceeding in which a person can be compelled by law to appear and give evidence. This broad definition is necessary in order that Division 8 may be made applicable to all situations where a person can be compelled to testify." (Cal. Law Revision Com. com., Deering's Ann. Evid. Code, § 901, p. 66, emphasis added.)3

Several reasons have been noted by the Commission for granting the use of these privileges in proceedings other than court actions:

"If confidentiality is to be protected effectively by a privilege, the privilege must be recognized in proceedings other than judicial proceedings. The protection afforded by a privilege would be insufficient if a court were the only place where the privilege could be invoked. Every officer with power to issue subpoenas for investigative purposes, every administrative agency, every local governing board and many more persons could pry into the protected information if the privilege rules were applicable only in judicial proceedings." (Cal. Law Revision Com., com., Deering's Ann. Evid. Code, § 910, p. 69.)

Section 910, however, does allow for "exceptions" -- where a specific privilege will not be available in a particular proceeding. The Commission has commented:

"Statutes that relax the rules of evidence in particular proceedings do not have the effect of making privileges inapplicable in such proceedings. For example, Labor Code Section 5708, which provides that the officer conducting an Industrial Accident Commission proceeding 'shall not be bound by the common law or statutory rules of evidence,' does not make privileges inapplicable in such proceedings. Thus, the lawyer-client privilege must be recognized in an Industrial Accident proceeding. On the other hand, Division 8 and other statutes provide exceptions to particular privileges for particular types of proceedings.

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