This consolidated appeal arises from lawsuits in which 25 plaintiffs sued defendant Franciscan Friars of California, Inc. (the Franciscans), alleging they had been sexually abused by Franciscan brothers. In a settlement of the lawsuits, plaintiffs and the Franciscans asked the court to retain jurisdiction to determine if it was appropriate to publicly release confidential files of the
In 25 separate lawsuits, plaintiffs alleged they had been sexually abused by members of the clergy, including the Individual Friars.
Paragraph 15 of the settlement agreement (Paragraph 15) established a procedure for a hearing officer to decide whether the Franciscans' confidential files concerning the Individual Friars could be released to the public. The Franciscans agreed to produce to plaintiffs and lodge with the court the files of any alleged perpetrator, all documents previously withheld from plaintiffs as identified in privilege logs relating to childhood sexual abuse, deposition testimony, and any new privilege logs reflecting withheld documents. After the Franciscans submitted the documents to the hearing officer, the Franciscans had 15 days to "provide appropriate notice of the potential
Additionally, pursuant to Paragraph 15, no third party privacy rights could be claimed by the Franciscans as to documents deemed to affect "public safety issues relating to childhood sexual abuse" or that reflect "the knowledge of the defendants as to the suspected sexual abuse of a child" or the "cover up" thereof. However, this provision did not limit the rights of third party objectors, including alleged perpetrators such as the Individual Friars, to assert any objections supported by law. The settlement agreement stated the documents "to be produced have been or would have been subject to discovery obligations in the litigation . . . ."
The settlement agreement further provided that it was "a binding agreement, enforceable under California Code of Civil Procedure Section 664.6. The Parties hereto consent and agree that the Superior Court . . . shall retain jurisdiction to enforce the terms and conditions of this Settlement Agreement, including . . . Orders of the Superior Court . . . made under paragraph 15 . . . subject to normal appellate rights and procedures . . . ." After the settlement agreement was executed, the underlying lawsuits were dismissed. The trial coordinating judge designated the Honorable Peter Lichtman as the hearing officer to preside over the enforcement of Paragraph 15.
In September 2006, the Franciscans and plaintiffs began the process of determining which, if any, documents could be released to the public. In addition to those documents previously produced, the Franciscans submitted to the trial court other files and depositions relating to the Individual Friars, along with proposed redactions and objections. The documents included psychiatric reports.
The Franciscans notified the Individual Friars of their rights to object to the publication of the documents. In response, and as permitted by Paragraph 15 of the settlement agreement, most of the Individual Friars served objections to the release of some documents, or parts of documents. Among other objections, the Individual Friars argued the documents were protected from disclosure by their constitutional rights to privacy, the psychotherapist-patient privilege, and the physician-patient privilege. The Individual Friars also
In two hearings, the Franciscans, the Individual Friars, and plaintiffs addressed the threshold issue of whether the Individual Friars had privacy rights to prevent disclosure of their confidential files. In its June 18, 2007 order, the court found it had jurisdiction to "make findings of facts under a Section 664.6 reservation." The court found the Individual Friars' privacy rights "must give way to the State's interest in protecting its children from sexual abuse."
In March 2008, the Individual Friars served additional privilege logs. In September 2008, the Franciscans objected to the disclosure of documents on the basis of the psychotherapist-patient privilege. The Individual Friars also objected that, as nonparties, they could not be bound by the settlement agreement; Paragraph 15 was not enforceable; and their confidential files were protected from disclosure by the psychotherapist-patient and the physician-patient privileges and their constitutional rights of privacy.
The Individual Friars argued the release of their personal psychiatric information to the Franciscans did not waive the privileges because disclosure was reasonably necessary to accomplish the purpose for which the psychotherapists had been consulted. They supported their privilege arguments with a copy of the April 1988 Operating Policies and Procedures in the St. Barbara Province for Friar Conduct. This document detailed the steps the Franciscans were to take when there were accusations of sexual abuse by friars.
On February 10, 2009, Judge Lichtman referred the Individual Friars' jurisdiction challenge to the coordinating trial judge, the Honorable Emilie Elias. On March 17, 2009, Judge Elias overruled the objections to the court's jurisdiction to decide whether to release the Individual Friars' files. Thereafter, proceedings were held before Judge Lichtman to resolve the objections to publication of the Individual Friars' confidential files.
On April 2, 2009, Judge Lichtman issued an order finding Paragraph 15 valid and enforceable, and the Individual Friars' rights had been preserved as they had been given notice and an opportunity to be heard. The court overruled the Franciscans' and the Individual Friars' objections based on the psychotherapist-patient privilege. The court was not persuaded that disclosure of the Individual Friars' psychological records to various Franciscan clergy was reasonably necessary to accomplish treatment and diagnosis of the alleged perpetrators. Further, the court held the Franciscans failed to submit evidence that they were "rendering psychotherapy to the alleged perpetrators
Moreover, the court found "the alleged perpetrators waived the privilege by attending the therapy treatments knowing that the information provided during the course of the therapy sessions would be shared with members of [the] Franciscan Friars. . . . The Operating Policies [and Procedures in the St. Barbara Province for Friar Conduct] . . . clearly indicated that information relating to the alleged perpetrators' treatment and diagnosis would be disclosed to other members of [the] Franciscan Friars." (Fn. omitted.) The court ordered the confidential files released and provided individual rulings on each document under seal, stating reasons for each document's release.
On April 24, 2009, the Franciscans appealed from the April 2, 2009 order "and any preliminary orders relating thereto, including the Order . . . entered on June 18, 2007" as an appealable order after judgment. The Individual Friars filed a motion to set aside the April 2, 2009 order so they could be added as parties to the litigation for purposes of appeal, pursuant to Code of Civil Procedure section 663. Judge Elias denied the motion. Thereafter, the Individual Friars appealed from the order entered on April 2, 2009, and "any preliminary orders relating thereto, including the order . . . entered on June 18, 2007 . . . ." The Individual Friars filed an amended notice of appeal from the order denying their motion to be added as parties, as well as the orders from which they had previously appealed.
The Franciscans state the documents in issue here are a subset of those submitted to the trial court because the objections as to others have been withdrawn. They state the 154 pages that are the subject of this appeal consist almost entirely of psychological evaluations or progress reports prepared by psychotherapists who examined the Individual Friars. The documents have been lodged with this court under seal. At the heart of this appeal is whether the documents are protected by the constitutional right to privacy and the psychotherapist-patient privilege; the physician-patient privilege is not in dispute on appeal.
Although the Individual Friars were not parties to the underlying lawsuits, Paragraph 15 specifically provided that all alleged perpetrators, including the Individual Friars, had the right to submit objections before a hearing officer decided whether their confidential records could be disclosed. Here, the disclosure orders will affect the personal and pecuniary interests of the Individual Friars, and they will be bound by the effects of res judicata. Thus, the Individual Friars are aggrieved persons with the right to appeal the disclosure orders.
"It is the substance and effect of the adjudication, and not the form, which determine if the order is interlocutory and nonappealable, or final and appealable. [Citation.] If no issues in the action remain for further consideration, the decree is final and appealable. But if further judicial action is required for a final determination of the rights of the parties, the decree is interlocutory. [Citation.] The decree will not be appealable `unless it comes within the statutory classes of appealable interlocutory judgments.' [Citations.]" (Doran v. Magan, supra, 76 Cal.App.4th at p. 1293.)
The June 18, 2007 order was only the first step in proceedings to decide if the Individual Friars' confidential records were to be disclosed. The court neither ordered release of the documents nor ruled they were privileged from disclosure. Rather, the court took the first step in the resolution of the issue in finding the Individual Friars' privacy interests did not preclude disclosure. Unlike those situations in which a court's order was a final resolution of a disclosure dispute, here, after the June 18, 2007 order was issued, additional proceedings were required before any documents could be published. (Compare with Mercury Interactive Corp. v. Klein, supra, 158 Cal.App.4th at pp. 76-77 [order directing unsealing of document appealable]; In re Marriage of Lechowick (1998) 65 Cal.App.4th 1406, 1410-1411 [77 Cal.Rptr.2d 395] [order denying journalist's application to unseal documents appealable]; In re Marriage of Burkle (2006) 135 Cal.App.4th 1045, 1051, fn. 6 [37 Cal.Rptr.3d 805] [order denying sealing of pleadings in divorce proceeding was final order on collateral matter].)
Here, the record revealed that friars in Santa Barbara had sexually abused 54 victims since 1958. Plaintiffs identified 41 child-abusing clergy who were transferred to, or allowed to live in, Santa Barbara at various times since 1960. Of those, 24 were Franciscans, including nine of the perpetrators subject to the settlement. The trial court found that all Individual Friars had either admitted to sexual molestation of a minor or conceded such conduct, or
Surely, all members of the Santa Barbara Franciscan province, as well as members of the Catholic Church throughout California, have a compelling interest in knowing what treatment the Individual Friars received, if any, for their predatory proclivities, and whether it was adequate to protect young parishioners whom they may have encountered in their ministries. Plaintiffs, former members of the Santa Barbara Franciscan province who have suffered the lifelong effects of childhood abuse, have the same interests as other members of the province and society in having the documents of their abusers released. Indeed, all citizens have a compelling interest in knowing if a prominent and powerful institution has cloaked in secrecy decades of sexual abuse revealed in the psychiatric records of counselors who continued to have intimate contact with vulnerable children while receiving treatment for their tendencies toward child molestation.
"`[A] judge hearing a section 664.6 motion may receive evidence, determine disputed facts, and enter the terms of a settlement agreement as a judgment [citations], [but] nothing in section 664.6 authorizes a judge to create the material terms of a settlement, as opposed to deciding what terms the parties themselves have previously agreed upon.' [Citation.]" (Hernandez v. Board of Education (2004) 126 Cal.App.4th 1161, 1176 [25 Cal.Rptr.3d 1].) The term "`parties to pending litigation'" means the litigants themselves. (Kirby v. Southern Cal. Edison Co. (2000) 78 Cal.App.4th 840, 844 [93 Cal.Rptr.2d 223]; Elnekave v. Via Dolce Homeowners Assn. (2006) 142 Cal.App.4th 1193, 1198 [48 Cal.Rptr.3d 663].) It "means the specific person or entity by or against whom an action was brought. [Citation.]" (Elnekave, at p. 1198.)
Here, the settlement agreement specifically authorized the court to retain jurisdiction to decide the disclosure of documents pursuant to the procedures detailed in Paragraph 15. The Franciscans had produced many confidential records of the Individual Friars in discovery and were in possession of more such records not produced but listed on privilege logs. Plaintiffs were entitled to bargain for unrestricted disclosure of these records, and the Franciscans were entitled to agree to a procedure by which the court retained jurisdiction to decide whether the documents could be disclosed over the objections of any friar.
The Individual Friars argue the trial court did not have jurisdiction to address the dissemination of their confidential records because they were not parties to the lawsuits nor parties to the settlement agreement. However, it is immaterial that the Individual Friars were not parties to the litigation; what is material is that the court and the parties possessed documents produced by the Franciscans in discovery or listed on privilege logs, and the parties had every right to agree upon the means to determine if those documents were to be made public.
Even though the Individual Friars were not parties to the lawsuits or the settlement agreement, the agreement preserved their rights to assert any lawful objection to the publication of their confidential files. The settlement agreement and the procedures established by Judge Lichtman provided the Individual Friars with notice and an opportunity for their privacy interests to be heard. The court protected the Individual Friars' rights by balancing their interests against the need for disclosure.
The Individual Friars raise a number of unpersuasive arguments premised upon the Civil Discovery Act (Code Civ. Proc., § 2016.010 et seq.). They argue the Civil Discovery Act could not be used in the Section 664.6 proceedings. However, they cite no authority stating that parties to a settlement agreement cannot provide procedures to enforce their agreement modeled on the Civil Discovery Act. (Compare with San Diego Unified Port Dist. v. Douglas E. Barnhart, Inc. (2002) 95 Cal.App.4th 1400, 1405 [116 Cal.Rptr.2d 65] [courts have no inherent power to create new or modified methods of discovery]; Pillsbury, Madison & Sutro v. Schectman (1997) 55 Cal.App.4th 1279, 1288 [64 Cal.Rptr.2d 698] [parties to an action cannot operate outside the parameters of the Civil Discovery Act to obtain discovery].)
The court had jurisdiction under Section 664.6 to decide what documents could be published and the concomitant power to decide what procedures to use to ensure fair process in the decisionmaking. The court did not have to consider the Civil Discovery Act in enforcing the settlement agreement and could have devised its own procedures, but it was free to adapt discovery act procedures that are familiar and routinely applied by lawyers and courts. This case is not analogous to Department of Fair Employment & Housing v. Superior Court (1990) 225 Cal.App.3d 728 [275 Cal.Rptr. 156], in which discovery could not be taken after summary judgment had finally disposed of the action. The court here had jurisdiction to order the unprotected disclosure of documents and prudently adopted the procedures of the Civil Discovery Act in exercising its discretion to do so.
The April 1988 Operating Policies and Procedures in the St. Barbara Province for Friar Conduct were discussed at length in the trial court and on appeal. The document acknowledged that "[i]n recent times there have arisen not infrequently accusations against members of religious communities . . . regarding misconduct in their ministry . . . ." It then set forth procedures to be implemented to deal with such accusations, including psychological counseling and treatment.
The Individual Friars offered to prove that given their vows of poverty and obedience, "the treatment would not have been possible without the Franciscans paying for the treatment and that treaters requested the Franciscans' input and oversight regarding the Friars' backgrounds, and ongoing consultation regarding the progress of the Friars." Counsel for the Franciscans explained that when they received a report of abuse, the Franciscans sent the alleged perpetrator for a psychological evaluation. The Franciscans received a report from the psychotherapist which they used to decide what restrictions to put on the friar's ministry and what treatment he needed.
A number of cases illustrate when communications to third persons preserve the psychotherapist-patient privilege because the communications were "reasonably necessary" to accomplish the purpose for which the psychotherapist was consulted. (E.g., Grosslight v. Superior Court (1977) 72 Cal.App.3d 502, 506 [140 Cal.Rptr. 278] [communications between parent and hospital were made to assist in the diagnosis and treatment of the minor]; People v. Gomez (1982) 134 Cal.App.3d 874, 881 [185 Cal.Rptr. 155] [statements made to student interns with the family court services office not privileged because interns not included in Evid. Code, former § 1010's definition of a psychotherapist]; Luhdorff v. Superior Court (1985) 166 Cal.App.3d 485, 490 [212 Cal.Rptr. 516] [conversations between criminal defendant and clinical social worker who worked under a therapist were privileged]; Farrell L. v. Superior Court (1988) 203 Cal.App.3d 521 [250 Cal.Rptr. 25] [communications among patients in group therapy session privileged because made in confidence to facilitate patient's treatment].)
In Roman Catholic Archbishop of Los Angeles v. Superior Court (2005) 131 Cal.App.4th 417 [32 Cal.Rptr.3d 209] (Roman Catholic Archbishop), Division Three of this district held that almost all documents in another clergy-abuse case were not shielded by the psychotherapist-patient privilege. As an example, the court found a copy of a psychotherapeutic evaluation sent by a priest's therapists to a member of the Vicar for Clergy's staff was not privileged because the Vicar for Clergy's staff was not involved in rendering psychotherapy to the priest, not was staff being supervised by a treating psychotherapist. (Id. at p. 455.)
The Franciscans analogize their role to that of a physician reporting adverse drug reactions to a drug manufacturer (Rudnick v. Superior Court (1974) 11 Cal.3d 924 [114 Cal.Rptr. 603, 523 P.2d 643]) and the disclosure of information to an insurance company so physicians will get paid (Blue Cross v. Superior Court (1976) 61 Cal.App.3d 798 [132 Cal.Rptr. 635].). The Rudnick court found there was no waiver of the privilege if the doctor revealed confidential patient information about adverse drug reactions to the drug manufacturer to obtain assistance in using the drug to treat the patient. In Blue Cross, there was no waiver of the privilege when the doctor sent confidential patient information to the insurer because "disclosure to accomplish payment is reasonably necessary to achieve the consultation's diagnostic and treatment purposes." (61 Cal.App.3d at p. 801.) Thus, in both Rudnick and Blue Cross, the patient's treatment was or may have benefited by the disclosure. Here, in contrast, substantial evidence supports the trial court's finding that the disclosure of the Individual Friars' psychological records to the Franciscans did not achieve the purpose of diagnosis or treatment.
The Franciscans also argue the trial court's analysis was faulty as it conflated the definition of the purpose for which a patient consults a therapist by stating it in the conjunctive, i.e., for "diagnosis and treatment," rather than in the disjunctive, i.e., "diagnosis or treatment." However, the trial court plainly analyzed the facts in the disjunctive, finding the communications to the Franciscans were not for diagnosis or treatment.
We affirm all the orders of the trial court challenged in this appeal and consequently hold that the documents in the possession of the Franciscans concerning the Individual Friars may be publicly released. Plaintiffs are awarded costs on appeal.
Rubin, Acting P. J., and Flier, J., concurred.