This appeal arises out of an order for payment of attorney fees and costs by a newspaper publisher to a public agency that complied with a
On the day the District had previously indicated it would begin turning over the requested documents, Crews filed a PRA petition in the superior court to compel production of the promised documents. Although Crews had not received any documents when he filed his PRA petition, he did not serve his petition on the District until after he started receiving the scanned copies of the e-mails. District employees ultimately spent 198 hours in reviewing, printing, scanning, and turning over approximately 60,000 e-mails in portable document format (PDF).
Crews also appealed from (1) the judgment denying his PRA petition and ordering attorney fees and costs to the District for defending against a frivolous PRA petition and (2) the postjudgment order determining the amount of attorney fees and costs. On appeal, Crews contends we must reverse the award of attorney fees and costs because his petition was not frivolous, he was really the prevailing party in this action, and the punitive nature of the award would have an impermissible chilling effect on journalists seeking to investigate governmental wrongdoing.
Our previous denial of Crews's request for an appellate writ of mandate conclusively resolves that the trial court properly denied the PRA petition. (Butt v. City of Richmond (1996) 44 Cal.App.4th 925, 929 [52 Cal.Rptr.2d 232] (Butt); Powers v. City of Richmond (1995) 10 Cal.4th 85, 90-91 [40 Cal.Rptr.2d 839, 893 P.2d 1160].) Nonetheless, Crews's appeal from the judgment properly challenges the award of attorney fees and costs to the District for defending against a frivolous PRA petition. (Motorola Communication & Electronics, Inc. v. Department of General Services (1997) 55 Cal.App.4th 1340, 1344, fn. 2 [64 Cal.Rptr.2d 477] (Motorola).)
The District serves 1,700 students in four schools but employs only five administrators. The low level of staffing requires Olmos, the District's superintendent, to carry out duties that include interacting with the school board, serving as the human resources administrator, serving as principal of one of the schools, handling student expulsions and discipline, engaging in staff and curriculum development, handling special education considerations, and attending extracurricular events at the schools.
On March 5, 2009, Crews requested that the District produce all e-mails to and from Olmos for the preceding year. On March 15, 2009, the District responded that it would comply with the request with the exception of those documents exempt from disclosure. Fifteen days later, the District stated it could begin producing documents on April 28, 2009. The District estimated Crews's request encompassed approximately 60,000 e-mails that would result in approximately 30,000 printed pages.
Olmos undertook the task of reviewing the e-mails subject to the request and sought technical assistance in determining the optimum way to provide the materials to Crews. As the trial court noted, the records request "required Dr. Olmos to personally review his e-mails and then to submit them to the districts [sic] legal staff to insure the protections he is required to provide to the school district, his staff and particularly the students in the district were strictly complied with." The District's director of technology services informed Olmos it did not have the software capable of redacting e-mails that
The District's legal counsel informed Crews of the procedure it planned to use to comply with his records request. On May 6, 2009, Crews's legal counsel informed the District an agreement had been reached to provide the requested materials on compact discs (CDs). The transmission of the requested materials remained a contentious issue. Eventually, Crews's attorney informed the District: "We can agree to disagree over whether or not producing the e-mails in the precise pdf format that [the District is] using is sufficient compliance with the [PRA]. If you commit to produce all remaining e-mails by a reasonable date of your choosing, then the
On April 29, 2009, the District delivered the first CD of e-mails in PDF format to Crews. The rolling production continued with the last CD of e-mails in PDF format delivered on December 3, 2009. The District withheld documents it claimed were exempt from disclosure: drafts, notes, or intra-agency memoranda; pending litigation; student records; personnel matters; and privileged documents under the Evidence Code.
Shortly after noon on April 28, 2009, Crews filed his PRA petition in the Glenn County Superior Court. When he filed his PRA petition, Crews had not yet received any of the requested e-mails from the District. However, by the time Crews served his petition on May 5, 2009, he had received the first of 14 sets of documents on CD.
Crews requested that the trial court order the District to "provide anew all of the e-mails previously requested in the
On March 15, 2010, the trial court issued a tentative decision finding the District did not have the ability to produce the e-mails in native format. The
On September 1, 2010, the trial court "received a `banker's box' of approximately 3200 pages of copies of the emails." The court then "spent an inordinate amount of time in reviewing the documents and ... determined that the [District] has withheld the documents properly under ... § 6254(b)(c) and (k)[
On November 1, 2010, the trial court entered a judgment denying the PRA petition. In the judgment, the court made the following findings: The District consistently responded it would comply with Crews's request to the extent the District could do so without violating any exemptions or privileges. Specifically, the court found that "upon being served with the records request, [the District] launched upon a course of conduct indicative of nothing less than an appropriate response to the request." As the court further noted, "Due to the nature of the business of respondent as a unified school district, [the District] was required to utilize the utmost protection relative to sensitive data that was exempt or privileged from dissemination to the public under the California Education Code." The District, "on a regular basis, provided the latest data as it became available. Due to the sheer volume of e-mails involved, this Court cannot find that the [District] delayed unreasonably the delivery of the CD's to [Crews]." The trial court also reiterated its finding
In its judgment, the trial court also determined the District was entitled to attorney fees and costs for having to defend against Crews's frivolous PRA petition. The court found (1) Crews filed his PRA petition contemporaneously with the District's first delivery of a CD containing the requested documents and (2) Crews served the petition after the District had initiated compliance with his PRA request. The court concluded the service of the petition did not result in any benefit whatsoever to Crews and was therefore frivolous pursuant to section 6259, subdivision (d).
Crews filed a petition for writ of mandate in this court in which he argued the PRA petition had been erroneously denied. We summarily denied the petition for writ of mandate in Crews v. Superior Court, supra, C066514.
The District moved for $104,230 in attorney fees. Crews opposed the motion, arguing no fees should be awarded in order to avoid a chilling effect on PRA requesters. Crews also argued that "virtually any sanction award would subject him to virtually certain financial ruin." In response, the District introduced evidence of a settlement agreement in Crews v. Glenn County Office of Education (Super. Ct. Glenn County, 2007, No. 06CV00399) under which Crews received $100,000 to dismiss another lawsuit against a different public agency.
The trial court awarded $53,926 in attorney fees and $2,669.50 in costs to the District. The court noted it had previously found the PRA petition to be frivolous. The court found: "The only conceivable reason for service of the writ may have been in connection with the documents protected by the claimed privilege. However, it appears to this court that the parties certainly could have agreed to a neutral [party] to resolve any issue presented before application was made to the court through a formal writ proceeding." The amount of time spent by counsel in defending against the PRA petition amounted to $53,926. In determining fees, the court stated it was "concerned with the accuracy of [Crews's] declaration" regarding his income and assets. The court found Crews's "exceptionally self-serving declaration was filed without benefit of any supporting documentation whatsoever. At the very least, the court would expect a financial statement, income/expense statement or a tax return or a profit and loss statement to support his claim of
Crews timely filed notices of appeal from (1) the judgment denying the PRA petition and ordering attorney fees and costs to the District and (2) the postjudgment order determining the amount of attorney fees and costs.
At the outset, we consider the scope of review for the issues raised by Crews's appeal. As we explain, Crews cannot challenge the trial court's denial of his PRA petition. Nonetheless, he may challenge the trial court's order awarding attorney fees and costs because he timely filed a notice of appeal from the judgment.
Appellate challenges to the trial court's denial of a petition under the PRA may be brought only by extraordinary writ. The Government Code provides that "an order of the court, either directing disclosure by a public official or supporting the decision of the public official refusing disclosure, is not a final judgment or order within the meaning of Section 904.1 of the Code of Civil Procedure from which an appeal may be taken, but shall be immediately reviewable by petition to the appellate court for the issuance of an extraordinary writ." (§ 6259, subd. (c).)
Generally, we review an award of fees and costs by the trial court for abuse of discretion. (Carver v. Chevron U.S.A., Inc. (2002) 97 Cal.App.4th 132, 142 [118 Cal.Rptr.2d 569] (Carver).) "However, de novo review of such a trial court order is warranted where the determination of whether the criteria for an award of attorney fees and costs in this context have been satisfied amounts to statutory construction and a question of law. (Wilson v. Wal-Mart Stores, Inc. (1999) 72 Cal.App.4th 382, 389 [85 Cal.Rptr.2d 4]; City of Sacramento v. Drew (1989) 207 Cal.App.3d 1287, 1297 [255 Cal.Rptr. 704].)" (Carver, supra, at p. 142.) Here, we consider whether Crews's PRA petition was frivolous within the meaning of the Government Code section governing fee awards for PRA requests. (See § 6259, subd. (d).) In other words, we must determine whether the action totally lacked merit, i.e., that any reasonable attorney would agree it lacked merit. (See Moore v. Shaw (2004) 116 Cal.App.4th 182, 199 [10 Cal.Rptr.3d 154].) Consequently, we independently review Crews's challenge to the legal basis for the attorney fees and costs award. (Connerly v. State Personnel Bd. (2006) 37 Cal.4th 1169, 1175-1176 [39 Cal.Rptr.3d 788, 129 P.3d 1]; Roybal v. Governing Bd. of Salinas City Elementary School Dist. (2008) 159 Cal.App.4th 1143, 1148 [72 Cal.Rptr.3d 146].) However, factual findings made by the trial court are upheld if they are supported by substantial evidence. (Sacramento County Employees' Retirement System v. Superior Court (2011) 195 Cal.App.4th 440, 454 [125 Cal.Rptr.3d 655].)
Crews contends his PRA request was not frivolous. Moreover, Crews asserts he was the prevailing party in this action. He further argues sanctions should not be imposed in any event due to the potential chilling effect on investigative journalists in California. We are not persuaded Crews was the prevailing party, but nonetheless conclude the PRA petition was not frivolous.
To support the policy of disclosure, section 6259, subdivision (d), provides the trial court "shall award court costs and reasonable attorney fees to the plaintiff should the plaintiff prevail in litigation filed pursuant to this section." However, public agencies are ordinarily not entitled to attorney fees and costs from a requester who has failed to secure documents under the PRA. Public agencies may recover attorney fees and costs only "[i]f the court finds that the plaintiff's case is clearly frivolous." (§ 6259, subd. (d).)
Section 6259 does not define the term "clearly frivolous." Thus, we turn to the guidance of the California Supreme Court in In re Marriage of Flaherty (1982) 31 Cal.3d 637 [183 Cal.Rptr. 508, 646 P.2d 179] (Flaherty). In Flaherty, the court articulated the test for determining whether an appeal is frivolous. In formulating the test, the Flaherty court explained that "[a]n appeal that is simply without merit is not by definition frivolous and should not incur sanctions. Counsel should not be deterred from filing such appeals
The same test — with its objective and subjective prongs — has been applied in determining whether an action is frivolous from the start. (E.g., Jones v. Jones (1986) 179 Cal.App.3d 1011, 1018 [225 Cal.Rptr. 95] [citing Flaherty]; Lavine v. Hospital of the Good Samaritan (1985) 169 Cal.App.3d 1019, 1029 [215 Cal.Rptr. 708]; see Code Civ. Proc. § 128.5, subd. (b)(2) [defining a frivolous action to be one that is "(A) totally and completely without merit or (B) for the sole purpose of harassing an opposing party"].) The addition of the adverb "clearly" to frivolous does not change the test for purposes of section 6259, subdivision (d). Since a frivolous action is one entirely lacking in merit, there can be no lower standard for a "clearly frivolous" action. (See Flaherty, supra, 31 Cal.3d at pp. 650-651; State of California ex rel. Standard Elevator Co., Inc. v. West Bay Builders, Inc. (2011) 197 Cal.App.4th 963, 982 [130 Cal.Rptr.3d 99] ["clearly frivolous" action under the False Claims Act (§ 12650 et seq.) is one devoid of merit].)
Mere receipt of documents does not necessarily mean the plaintiff prevailed in a PRA case because the request alone might have caused the documents to be released. "A plaintiff prevails within the meaning of section
In this case, the trial court found "[t]he service of [Crews's PRA] writ did not result in any benefit whatsoever to [Crews]." The record supports the trial court's finding. Upon receiving Crews's request, the District responded it would comply with his request but would withhold documents exempt from disclosure. Although the District indicated its limited resources would require time to produce the documents, it did not refuse to comply with the PRA request. Crews ultimately received all of the records to which he was entitled. The trial court found the District had not erred in withholding even a single document among the thousands for which an exemption or privilege was claimed. Although the District inadvertently omitted a small number of attachments to the e-mails, the oversight appears to have been corrected promptly and voluntarily. In short, the trial court's finding that the PRA petition did not cause the release of any documents is well supported. Consequently, Crews is not the prevailing party in the PRA action.
When Crews filed his PRA petition, he had not yet received any documents pursuant to his request — even though the documents had been promised to him that day. His petition alleged he had requested documents from the District to which he was entitled under the PRA. That claim to documents was legally sound, as the District itself acknowledged. The trial court's finding that the PRA petition was frivolous was not based on Crews's filing of the PRA petition but on the service of the petition after the District had started providing the requested documents.
By the time Crews served his petition, he had already received the first batch of documents from the District. However, the District — from the beginning — asserted it would withhold documents subject to an exemption or privilege. Crews's focus in the PRA case appears to have changed from securing any documents to testing whether the District had properly withheld documents. Here, no reasonable attorney could have declared the PRA action to have been frivolous in challenging the propriety of withholding documents claimed to be exempt or privileged. The District withheld documents without enumerating those documents or the particular exemption or privilege that applied to each document. Thus, there was the potential that the trial court's in camera review would reveal Crews was entitled to at least some withheld documents. Although Crews was ultimately unsuccessful in securing any withheld documents, his efforts were not frivolous.
Finally, Crews renews his argument the PRA action was an attempt to secure the e-mails in their native format for the information that might have been revealed by their metadata. The format of the e-mails was a vigorously contested issue. Crews argued he conditionally agreed to accept e-mails in a PDF format only to the extent the District agreed to expedite production of all the requested e-mails. As rolling production progressed, Crews argued the District was not timely producing the requested e-mails. By contrast, the District believed it was complying with the condition to produce the remaining e-mails by a reasonable date. The parties' agreement to produce the requested e-mails "by a reasonable date" lacked any definition of what a reasonable timeline would be. Thus, it remained uncertain whether the scanned e-mails were received in a timely manner (and therefore in a permissible PDF format) until the trial court resolved the issue in the District's favor. Until the trial court's finding, no attorney could have been certain about the outcome of the issue. Consequently, Crews's pursuit of e-mails in native format was ultimately unsuccessful, but not frivolous.
As to improper motive, we note the District does not allege, and the trial court did not find, that Crews brought his request under the PRA to harass Olmos or the District. Here, the record shows Crews's PRA request was based on his decision to engage in a journalistic investigation of whether Olmos or the District misused public property. The record does not indicate any intent to harass Olmos or the District.
The judgment is reversed to the extent it orders Tim Crews to pay attorney fees and costs under Government Code section 6259. Tim Crews's appeal from the postjudgment order determining the amount of attorney fees and costs, filed October 11, 2011, is dismissed. Tim Crews shall recover his costs on appeal. (Cal. Rules of Court, rule 8.278(a)(1) & (2).)
Blease, Acting P. J., and Butz, J., concurred.
Native format refers to the form of the original electronic file. Native format will include any metadata associated with the electronic file.
Metadata refers to information about an electronic document that is not visible when normally displayed or printed. "Many types of programs, including most wordprocessors and spreadsheets, automatically track information relating to the editing history of the files they create. This history normally includes the name of the person who created the document, the date and time it was created, how many times it has been edited, the name of the last person to edit the document, and the date and time of the last revision." (Overly on Electronic Evidence in Cal. (2012-2013 ed.) § 2:9, pp. 46-47.)
Although an alternative exists for in camera review of withheld documents (see, e.g., American Civil Liberties Union of Northern California v. Superior Court (2011) 202 Cal.App.4th 55, 82-87 [134 Cal.Rptr.3d 472] [noting availability of procedure in which the responding public agency may be required to produce an index of withheld documents that includes an enumeration of exemptions claimed for each document]), it is not mandatory. (§ 6259, subds. (a) & (b).)