MADSEN, C.J.
¶ 1 David Koenig and Thurston County seek review of a decision by the Court of Appeals holding that a special sex offender sentencing alternative (SSOSA) evaluation may be disclosed under the Public Records Act (PRA), chapter 42.56 RCW, but a victim impact statement may not. The Court of Appeals found that both the SSOSA evaluation and victim impact statement are investigative records. The court then determined the victim impact statement is exempt under the essential-to-effective-law-enforcement prong of the investigative records exemption but concluded the SSOSA evaluation was not exempt.
¶ 2 We hold neither the SSOSA evaluation nor the victim impact statement is an investigative record within the meaning of RCW 42.56.240. Accordingly, we reverse in part and affirm in part.
¶ 3 In July 2000, James Lerud pleaded guilty in Thurston County Superior Court to eight counts of voyeurism.
¶ 4 On August 17, 2000, David Koenig sent a PRA request
¶ 5 Subsequently, the prosecutor provided Koenig with a document package that excluded the victim impact statement and SSOSA evaluation. The prosecutor believed the victim impact statement and SSOSA evaluation to be exempt from disclosure because of their sensitive nature and the trial court's ruling to seal the documents.
¶ 6 On September 3, 2004, Koenig filed a public disclosure complaint against Thurston County and the prosecuting attorney. Then, on August 30, 2007, he moved for partial summary judgment on the issue of whether the SSOSA evaluation and victim impact statement were exempt from public disclosure. The trial court ruled that the victim impact statement and SSOSA evaluation were exempt under RCW 42.56.240(1) and rejected Koenig's motion. The parties stipulated that the trial court's order to seal the documents was not binding on Koenig and did not restrict the prosecutor's disclosure of the documents under the PRA.
¶ 7 The Court of Appeals found the victim impact statement exempt and the SSOSA evaluation nonexempt. We granted Thurston County's petition for review.
¶ 8 We review an agency's action under the PRA de novo. RCW 42.56.550(3). An appellate court stands in the same position as the trial court where the record consists only of affidavits, memoranda, and other documentary evidence. Progressive Animal Welfare Soc'y v. Univ. of Wash., 125 Wn.2d 243, 252, 258, 884 P.2d 592 (1994) (PAWS II). Because the relevant portions of the record consist of declarations submitted by Thurston County, this court stands in the same position as did the trial court.
¶ 9 It is well settled that a reviewing court interprets the disclosure provisions of the PRA liberally and exemptions narrowly. Id. at 251, 884 P.2d 592. RCW 42.56.550(3) dictates that "[c]ourts shall take into account the policy of this chapter that free and open examination of public records is in the public interest, even though such examination may cause inconvenience or embarrassment to public officials or others." The agency claiming the exemption bears the burden of proving that the documents requested fall within the scope of the exemption. Cowles Publ'g Co. v. Spokane Police Dep't, 139 Wn.2d 472, 476, 987 P.2d 620 (1999).
¶ 10 Thurston County argues that the victim impact statement and SSOSA evaluation are exempt under the investigative records exemption, RCW 42.56.240, which provides in relevant part:
¶ 11 The investigative records exemption is designed to protect the integrity of law enforcement investigations. See Spokane Police Dep't, 139 Wash.2d at 478, 987 P.2d 620. To be exempt under this provision (1) the record must be investigative in nature;
¶ 12 In Dawson, the documents at issue were compiled by the Snohomish County Prosecutor's Office for use in cross-examining Mr. Daly, an expert witness who frequently testified as a defense witness in child sexual abuse cases prosecuted by Snohomish County. 120 Wash.2d at 787-88, 845 P.2d 995. The county argued that these documents were protected by the investigative records exemption.
¶ 13 This analysis yields the same result with regard to the documents in this case.
¶ 14 The Washington State Constitution article I, section 35 and RCW 7.69.030 grant the victims of crime and their survivors a significant role in the criminal justice system. See State v. Gentry, 125 Wn.2d 570, 624, 888 P.2d 1105 (1995) (discussing legislative history and purpose of victim impact statement). A victim impact statement is a vehicle for a victim to exercise her constitutional and statutory right to address the trial court before it imposes sentence. A victim impact statement gives victims an independent voice and direct access to the court.
¶ 15 A victim impact statement is properly understood as a communication between a victim and the court, not as an investigative record compiled by an investigative, law enforcement, or penology agency. In State v. Carreno-Maldonado, 135 Wn.App. 77, 86, 143 P.3d 343 (2006), the court discussed the victim's control over victim impact statements:
¶ 16 Similar to the situation in Dawson, the county here has not demonstrated that the victim impact statement contains "specific intelligence information" and the county points to nothing in the victim impact statement that relates to "ferreting out" criminal activity or other allegations of misfeasance. A victim impact statement is not an "investigative record" as that term is understood in our cases.
¶ 17 Thurston County argues, though, that the victim impact statement serves an additional investigatory function in helping the prosecutor and the court determine the seriousness
¶ 18 We do not see the similarity between a mitigation package, presented pretrial for the purpose of assisting the prosecutor in deciding whether to seek the death penalty by filing a notice of special proceedings, and a victim impact statement. Once a person is charged with aggravated first degree murder, a prosecutor may seek the death penalty by filing and serving a notice of special sentencing proceedings within thirty days after the defendant's arraignment.
¶ 19 The decision to seek the death penalty is properly considered a charging decision. State v. Bartholomew, 104 Wn.2d 844, 848-49, 710 P.2d 196 (1985); Dictado, 102 Wash.2d at 297-98, 687 P.2d 172. In contrast, a victim impact statement is not part of a charging decision. It is considered after the charging phase of a case is closed and the investigation is complete. See Spokane Police Dep't, 139 Wash.2d at 483-84, 987 P.2d 620 (Talmadge, J., concurring). Further, there is no statute similar to RCW 10.95.040(1) requiring the prosecutor to consider mitigation evidence in a noncapital case.
¶ 20 Victim advocates may send out victim impact statement forms to victims. However, this action does not make a victim impact statement a part of a criminal investigation.
¶ 21 Moreover, defining "investigative records" to include all documents that may affect sentencing or penalty decisions regardless of whether they further a prosecutor's investigatory function ignores the limited nature of the PRA's exemptions. See PAWS II, 125 Wash.2d at 251, 258, 884 P.2d 592. In addition, that a document lies within a prosecutor's file cannot transform a document into an investigative record. Assuming a document in a prosecutor's file can qualify as an investigative record, it must be part of an investigation that the prosecutor conducts. See, e.g., Pierce County Prosecutor's Office, 111 Wash.App. at 508, 45 P.3d 620.
¶ 22 Because the victim impact statement is not part of a prosecutor's investigation into criminal activity or alleged malfeasance, the investigative records exemption does not apply.
¶ 23 The county also argues that the SSOSA evaluation plays an important role in law enforcement. It claims that the evaluation is an effective tool in plea negotiations and in rehabilitating sex offenders. The county is concerned that disclosure of SSOSA evaluations will discourage defendants from pursuing this sentencing alternative, to the detriment of community safety.
¶ 24 We do not doubt the value of SSOSA evaluations. Indeed, we have recognized that the legislature developed this sentencing alternative for first time offenders to prevent future crimes and protect society. State v. Young, 125 Wn.2d 688, 693, 888 P.2d 142 (1995). However, while a SSOSA evaluation serves many important functions, the question we must decide is whether a SSOSA evaluation is "specific intelligence information" or a "specific investigative record."
¶ 25 For largely the same reasons that a victim impact statement is not exempt under the investigative records exemption, a SSOSA evaluation also is not exempt. The evaluation is not prepared in an effort to "`ferret out criminal activity'" or to "`shed light on some other allegation of malfeasance.'" Dawson, 120 Wash.2d at 793, 845 P.2d 995 (quoting Columbia Publ'g Co., 36 Wash.App. at 31, 671 P.2d 280). Instead, the evaluation is a useful tool after a criminal investigation has been conducted.
¶ 26 As with the victim impact statement, a prosecutor may, but need not, have a role in a SSOSA evaluation being prepared and subsequently used by the court. RCW 9.94A.670(3). The evaluation is a requirement for consideration of a SSOSA alternative. RCW 9.94A.670(3). It is used by a sentencing court to determine whether a defendant charged with a sex offense is amenable to treatment. Id. The evaluation also assists the court in determining whether the community will benefit from use of the SSOSA alternative, which requires treatment but allows for a reduced jail term. RCW 9.94A.670(4)-(5).
¶ 27 Although a prosecutor may bring a motion to order an examination, it is within the court's discretion to determine whether to grant the motion. RCW 9.94A.670(3). The sentencing court also may order a SSOSA evaluation on its own motion. Id. Regardless of the prosecutor's preference, the judge may then impose a SSOSA sentence. RCW 9.94A.670(4). As the SSOSA statutes make clear, the extent of a prosecutor's participation in a SSOSA evaluation differs greatly from the discretion exercised in deciding whether to file a notice of special proceedings. In the latter case, a mitigation package provides a prosecutor essential information necessary to decide whether a defendant will face the death penalty, a charging decision that the prosecutor must make after investigation. A SSOSA evaluation is not analogous. The prosecutor here did not conduct the important investigation into Lerud's capacity for treatment and the prosecutor
¶ 28 A SSOSA evaluation is not an investigative record.
¶ 29 Because we conclude that neither a victim impact statement nor a SSOSA evaluation comes within the investigative records exemption, we do not consider whether these documents are essential to effective law enforcement or for the protection of any individual's right to privacy.
¶ 30 When applying the investigatory records exemption, a court must find that an investigative entity is compiling and using the relevant record to perform an investigative function. RCW 42.56.240(1). It is not enough that a prosecutor consider a document or even that the document may be useful in making a sentencing recommendation to the court. A victim impact statement is primarily a communication between a victim and a judge and the SSOSA evaluation principally provides a basis for the court to impose sentencing alternatives. Const. art. I, § 35; RCW 7.69.030; RCW 9.94A.670(3)-(5). Neither of these records is part of an investigation into criminal activity or an allegation of malfeasance.
¶ 31 Because the PRA requires that exemptions be narrowly construed, we decline to protect documents that are created to aid a court in its sentencing decision. We reverse the Court of Appeals decision that the victim impact statement is an investigative record and affirm its decision that a SSOSA evaluation is not.
WE CONCUR: CHARLES W. JOHNSON, SUSAN OWENS, MARY E. FAIRHURST, and DEBRA L. STEPHENS, Justices, and GERRY L. ALEXANDER, Justice Pro Tem.
CHAMBERS, J. (dissenting).
¶ 32 I do not believe the people or the legislature intended that the most sensitive information of victims of a crime, especially a sex crime, should be revealed to newspapers and the public, causing victims to be victimized all over again. But the majority holds that a victim impact statement (VIS) and a special sex offender sentencing alternative (SSOSA) evaluation are not investigative records and therefore have no protection at all under the Public Records Act (PRA), chapter 42.56 RCW. As a result, the information cannot even be redacted to protect a victim from publication of the victim's identity and sordid details of the crime. Because I think this holding goes too far, I respectfully dissent.
¶ 33 The PRA exempts from disclosure investigative records compiled by law enforcement agencies. RCW 42.56.240(1). Such records are exempt if nondisclosure is essential (1) to effective law enforcement or (2) for the protection of any person's privacy. Id. A person's privacy is violated by disclosure if the information "(1) [w]ould be highly offensive to a reasonable person" and "(2) is not of legitimate concern to the public." RCW 42.56.050.
¶ 34 Instead of engaging in an analysis of either the effective law enforcement or privacy prongs of the PRA investigative records exception, the majority holds that the VIS and SSOSA evaluation are not investigative records. The majority first attempts to distinguish the VIS. It states that a VIS is not an investigative record because it does not relate to ferreting out criminal activity and because it is not like a mitigation package. Majority at 526-27. Neither of these arguments holds up to scrutiny.
¶ 35 As the majority points out, we have held that a cross-examination of a defense witness prepared by the prosecution was not an investigative record. Dawson v. Daly, 120 Wn.2d 782, 792-93, 845 P.2d 995 (1993), abrogated on other grounds by Progressive Animal Welfare Soc'y v. Univ. of Wash., 125 Wn.2d 243, 257-58, 884 P.2d 592 (1994). We explained that an investigative record was a record "`compiled as a result of a specific investigation focusing with special intensity upon a particular party.'" Dawson, 120 Wash.2d at 792-93, 845 P.2d 995 (quoting Laborers Int'l Union of N. Am., Local No. 374 v. City of Aberdeen, 31 Wn.App. 445,
¶ 36 Dawson is factually distinct from this case. In Dawson, the documents were not investigative because they had no specific connection to the case against the defendant. Rather, the documents were "compiled for use in cross-examining an `expert' witness (the requesting citizen) who frequently testifies as a defense witness in child sexual abuse cases prosecuted in Snohomish County." Id. at 786-87, 845 P.2d 995. They were prepared by the Snohomish County prosecutor's office "for use in challenging his qualifications, in cross-examining him, and in attempting to impeach him when he appears as a defense witness in child sexual abuse prosecutions." Id. at 787, 845 P.2d 995. One of the requested files, for example, had been used "in preparing for two previous prosecutions." Id. The Dawson documents thus did not fit the definition because they were not prepared as a result of any particular investigation but as a result of dealing with a particular expert witness over the course of multiple cases. The VIS at issue here, on the other hand, was created as a result of a specific investigation focusing on a particular party. That is how we have defined "investigative record." Id. at 792-93, 845 P.2d 995.
¶ 37 The majority also distinguishes the VIS from a mitigation package, which our Court of Appeals has held is an investigative record. Cowles Publ'g Co. v. Pierce County Prosecutor's Office, 111 Wn.App. 502, 508, 45 P.3d 620 (2002). The majority implies that a prosecutor is required to consider a mitigation package in capital cases before making a decision whether to seek the death penalty. Majority at 526-27. On the contrary, although a prosecutor is required to make an individualized determination, there is no requirement that a prosecutor must consider a mitigation package. State v. Pirtle, 127 Wn.2d 628, 642, 904 P.2d 245 (1995). Like the VIS, the evidence in a mitigation package may be considered at the penalty phase, after the prosecutor has made a charging decision. See id. at 671, 904 P.2d 245 (defendant may introduce mitigating evidence at the special sentencing proceeding). In reality, there is little practical difference for PRA purposes between a mitigation package, wherein a defendant collects information intended to affect sentencing, and a VIS, which a court "shall consider" during the sentencing phase. RCW 9.94A.500(1). Both are compiled as a result of an investigation of criminal activity focusing on a particular party. Dawson, 120 Wash.2d at 792-93, 845 P.2d 995. Ultimately both are intended to affect the sentence. I would therefore hold both are investigative records.
¶ 38 Concluding the VIS in this case is an investigative record does not end the inquiry. Investigative records are exempt only if nondisclosure is essential either to effective law enforcement or for the protection of any person's privacy. RCW 42.56.240(1). Disclosure is prohibited under the privacy prong if disclosure of the information would be highly offensive to a reasonable person and the information is not of legitimate concern to the public. RCW 42.56.050. There is no doubt that disclosure to the public of the victim's identifying information and the impact of sex related crime on the victim's personal life would be highly offensive to a reasonable person. The first prong of the privacy test is satisfied under these circumstances.
¶ 39 We have said that to determine the second prong — whether the information is of legitimate concern to the public — courts must weigh the public interest in efficient government against the public interest in disclosure. Dawson, 120 Wash.2d at 798-99, 845 P.2d 995. This analysis is not always easy. The public interest in disclosure arises because the public has an interest "`in knowing what their public officers are doing in the discharge of public duties.'" Id. (quoting Stone v. Consol. Publ'g Co., 404 So.2d 678, 681 (Ala.1981)). But the VIS is only tangentially
¶ 40 Some parties in this case have argued the public has a legitimate interest in monitoring how a VIS impacts sentencing. E.g., Br. of Appellant at 22. But even if a VIS contained some information in which the public has a legitimate interest, the PRA provides for redaction of other information that is not of legitimate interest. RCW 42.56.210. Information in the VIS that identifies or enables identification of the victim is plainly exempt and must at the very least be redacted.
¶ 41 A similar analysis applies to the SSOSA evaluation. The majority states that a SSOSA evaluation is not an investigative record because it was not prepared in an effort to ferret out criminal activity. Majority at 528. But, again, that is not our definition of an investigative record. An investigative record is one that is created as a result of a specific investigation focusing on a particular party. Dawson, 120 Wash.2d at 792-93, 845 P.2d 995. It is the investigation, not the record itself, we require to be for the purpose of ferreting out criminal activity. Id. at 793, 845 P.2d 995. Further, the similarities between a SSOSA evaluation and a mitigation package are even more striking than in the case of a VIS. Both a SSOSA evaluation and a mitigation package are prepared by digging deep into the personal life of the defendant, and both are presented to the prosecutor and the court for the purpose of affecting the sentence in a manner favorable to the defendant. I would hold that the SSOSA evaluation is also an investigative record.
¶ 42 Like the VIS, serious privacy concerns are implicated by the release of a SSOSA evaluation to the public. These SSOSA evaluations contain, among other things: a detailed sexual history section; mental health history; medical history; drug and alcohol history; a social history section which may contain details of "abuse the individual may have suffered in the past, including physical, sexual, and emotional abuse;" results of a polygraph examination, which may be "extremely detailed" regarding past and current sexual practices; and results of a phallometric test that measures the defendant's arousal response to a variety of pornography. Clerk's Papers at 112 (Decl. of Amy Muth). Making public much of this information would be highly offensive to a reasonable person, and the legitimacy of the public's interest in this information is minimal. See RCW 42.56.050.
¶ 43 The problems that arise when we attempt to apply the PRA to ever expanding types of information and documents are well illustrated by the present case. The PRA was a great idea. Unfortunately, too many terms are undefined. This court has followed the legislative command to interpret the PRA liberally and its exceptions narrowly, and the result is that the few protections found in the PRA have been steadily eroded. We have now reached the point where it is not even possible to redact the name of a sex crime victim from material provided to the public. This dissent does not have the force of law. Only the legislature can amend the act and establish appropriate protections. I urge the legislature to do so.
J.M. JOHNSON, J. (dissenting).
¶ 44 Our legislature has recognized that effective law enforcement and individual privacy rights outweigh the public's interest in the disclosure of certain information. Accordingly, the Public Records Act (PRA)
¶ 45 Protection of the VIS is also required by Amendment 84 to the Washington Constitution, which was adopted just to protect victims and ensure their participation in the criminal process.
¶ 46 The majority claims both these documents were not "created" as part of an "investigation." Majority at 528-29. This disregards David Koenig's express characterization of these records as "investigative files" in his written public records request. The majority's analysis also demonstrates a fundamental misunderstanding of the elements that make records "investigative" by focusing on the reason for the records' creation rather than the purpose for which they were compiled.
¶ 47 Continuing this erroneous analysis, the majority puts forth a shortsighted definition of an "investigation." Under the majority's reasoning, a criminal investigation terminates when the defendant has been convicted and does not include sentencing proceedings. Yet, a criminal prosecution is not finalized until the entry of a judgment and sentence. I dissent because our law embraces a more comprehensive view of a criminal investigation and encompasses the determination of a proper sentence. I would therefore hold that the PRA exemptions contained in RCW 42.56.240(1) extend to documents held by the prosecutor for the purpose of evaluating an appropriate penalty, such as the VIS and SSOSA evaluation at issue here. This dissent would protect the private crime statement of victims as our law (and constitution) intends, preserving the balance of rights suggested by Amendment 84.
¶ 48 I agree with Justice Chambers in dissent that both the VIS and the SSOSA evaluation are investigative records. I write separately on this topic to emphasize additional errors I perceive in the majority's reasoning.
¶ 49 First of all, Koenig did not even dispute that the SSOSA evaluation is an investigative record. In fact, his initial PRA request asked for "Investigative files associated with Case #00103360." Clerk's Papers (CP) at 37 (emphasis added). Koenig's trial briefing indicated an "agree[ment] that the SSOSA psychological evaluation is an `investigative record.'" CP at 257. In his appellate brief, Koenig stated he "[a]ssume[d], arguendo" that the SSOSA evaluation is investigative and did not make any argument to the contrary. Br. of Appellant at 29. The Court of Appeals agreed with Koenig that the SSOSA evaluation is investigative. Koenig v. Thurston County, 155 Wn.App. 398, 412-13, 229 P.3d 910 (2010) ("Koenig assumes that a SSOSA evaluation is an investigative record compiled by law enforcement.... We agree."). Koenig did not assign error to this conclusion nor did he raise the issue in his answer and cross petition for review.
¶ 50 Under RAP 13.7(b), this court will not consider issues not raised in the petition for review or the answer: "If the Supreme Court accepts review of a Court of Appeals decision, the Supreme Court will review only the questions raised in ... the petition for review and the answer." See also Wood v. Postelthwaite, 82 Wn.2d 387, 388-89, 510 P.2d 1109 (1973). We also decline to address issues that are not adequately briefed by the parties. State v. Thomas, 150 Wn.2d 821, 868-69, 83 P.3d 970 (2004) (This court "will not review issues for which inadequate argument has been briefed or only passing treatment has been made."). Because Koenig conceded that the SSOSA evaluation is an investigative record, Thurston County did not have reason or opportunity to brief the issue. Nor did the court request additional briefing on the matter. See RAP 12.1(b). Nevertheless, the majority concludes the SSOSA evaluation is not exempt from disclosure
¶ 51 If the issue were appropriately before us, we must conclude the SSOSA evaluation is an investigative record. I agree with Justice Chambers that, for PRA purposes, there is little difference between the SSOSA evaluation at issue here and the sentencing mitigation package in Cowles Publishing Co. v. Pierce County Prosecutor's Office, 111 Wn.App. 502, 508, 45 P.3d 620 (2002). Both were compiled by the prosecutor's office to use in its investigation into an appropriate sentence for incorporation into a final judgment and sentence.
¶ 52 Amendment 84 enshrined the rights of victims in the Washington State Constitution. Article I, section 35 declares, "Effective law enforcement depends on cooperation from victims of crime" and demands that victims of crime be treated with "due dignity and respect." Wash. Const. art. I, § 35. To implement this constitutional objective, RCW 7.69.030(13) provides victims the right to prepare a VIS, with assistance from the prosecutor's office if requested. Courts are required to consider the victim's statement at sentencing. See RCW 9.94A.500(1) ("The court shall consider ... any victim impact statement."). The VIS typically reveals personal details showing the extent of harm caused by the defendant and the crime's effect on the victim. In this case, the record shows the Thurston County Prosecutor's Office routinely requested a VIS from victims for its own sentencing investigations. CP at 278.
¶ 53 The majority rejects any similarities between the sentencing mitigation package in Pierce County Prosecutor's Office and the VIS in this case. Admittedly, both were submitted to the prosecutor for the same reason. In the majority's words, in Pierce County Prosecutor's Office "[t]he prosecutor relied on the mitigation package to investigate the defendant's background and family as part of a larger investigation into an appropriate penalty." Majority at 527 (emphasis added). Inexplicably, the majority can discern the investigative nature of determining an appropriate penalty in the context of a capital case but not in a sexual assault case. It appears to reach this conclusion based on rigid adherence to a timeline under which only pretrial activities can be "investigative." See id. According to the majority, because the decision to seek the death penalty is a "charging decision" made before trial, files related thereto are investigative. Majority at 527. Records related to any lesser penalty are apparently not "investigative" because they may be considered postconviction. This distinction is nonsensical; the VIS and the mitigation package are compiled and used by the prosecutor for the very same purpose — to investigate an appropriate penalty. The VIS undoubtedly may also affect the charging of a crime and whether to accept a guilty plea to a lesser crime. I join Justice Chambers' opinion that both the VIS and the SSOSA evaluation must be viewed as investigative records. See dissent (Chambers, J.) at 530.
¶ 54 The majority concludes, "when applying the investigatory records exemption, a court must find that an investigative entity is compiling and using the relevant record to perform an investigative function." Majority at 529 (emphasis added). This statement illustrates the confusion leading the majority to its conclusion. "Specific investigative records" are not defined as such based on their use. Rather, a record is deemed investigatory solely based on the purpose for which it is compiled. See Dawson v. Daly, 120 Wn.2d 782, 792-93, 845 P.2d 995 (defining "specific investigative records" as those "`compiled as a result of a specific investigation focusing with special intensity upon a particular party'" (emphasis added) (quoting Laborers Int'l Union of N. Am., Local No. 374 v. City of Aberdeen, 31 Wn.App. 445, 448, 642 P.2d 418 (1982)), abrogated on other grounds by Progressive Animal Welfare Soc'y v. Univ. of Wash., 125 Wn.2d 243, 257-58, 884 P.2d 592 (1994)). If a record is compiled as part of a specific investigation, it is considered a
¶ 55 Furthermore, a document created for one purpose may be compiled for a different, investigatory purpose. Newman v. King County, 133 Wn.2d 565, 572-73, 947 P.2d 712 (1997). The majority fails to distinguish the reasons SSOSA evaluations and VISs are created in the abstract from the reasons they were compiled by the prosecutor's office in this case. True, a VIS can be a mode of catharsis for the victim, giving the victim a voice in the sentencing process. A SSOSA evaluation informs the sentencing court whether a defendant is eligible for treatment and reduced jail time as part of the SSOSA program. See RCW 9.94A.670(4), (5). Yet, despite some noninvestigatory functions of the VIS and SSOSA evaluation, the copies of the VIS and SSOSA evaluation compiled by the prosecutor's office were investigatory in purpose: They were sought out and collected as part of the prosecutor's sentencing investigation. When the focus is properly shifted to the motivation for compiling the documents, the SSOSA evaluation and VIS cannot be seen as anything other than investigatory.
¶ 56 Justice Chambers' dissent concludes disclosure of an unredacted VIS would violate victims' privacy rights.
¶ 57 The legislature has not specifically defined the parameters of the "essential to law enforcement" exception. When interpreting a statute, our aim is to give effect to the intent of the legislature, beginning with the statute's plain language. Nat'l Elec. Contractors Ass'n v. Riveland, 138 Wn.2d 9, 19, 978 P.2d 481 (1999). The plain language of RCW 42.56.240(1) does not convey that the exemption only applies if law enforcement would cease to function were the documents in question disclosed. If this were the standard, the provision would simply exempt records, the nondisclosure of which is "essential to law enforcement." Instead, the exemption asks whether nondisclosure is "essential to effective law enforcement." RCW 42.56.240(1) (emphasis added). In other words, it matters whether the effectiveness of law enforcement would be compromised by disclosure.
¶ 58 Effective law enforcement is thwarted without victim cooperation. The people amended our constitution, in part, to make this clear. Article I, section 35 of the Washington State Constitution now provides, "Effective law enforcement depends on cooperation from victims of crime." (Emphasis added.) In Brouillet v. Cowles Publishing Co., this court defined "law enforcement" to include the "imposition of sanctions for illegal conduct" or the "imposition of a fine or prison term." 114 Wn.2d 788, 795-96, 791 P.2d 526 (1990) (quoting in part Black's Law Dictionary 474 (5th ed. 1979)). Simply put, law enforcement includes sentencing, and a criminal case is not final until the entry of a judgment and sentence. Effective sentencing requires information regarding the severity of the crime, including its effect on the victim. See RCW
¶ 59 To ascertain whether a record is essential to law enforcement, a court must consider affidavits submitted by those with knowledge of and responsibility for an investigation. Newman, 133 Wash.2d at 573, 947 P.2d 712. The county submitted a number of sworn statements attesting that VISs would not be complete and accurate or available at all if they were publically accessible. These sworn statements were not controverted. Elizabeth Timm Andersen, the author of the VIS that Koenig sought in this case, unequivocally stated:
CP at 126. Catherine A. Carroll, legal director at the Washington Coalition of Sexual Assault Programs, stated:
CP at 117. According to David L. Johnson, executive director of the Washington Coalition of Crime Victim Advocates:
CP at 123. Jon Tunheim, Thurston County prosecuting attorney, declared:
CP at 105-06. Kim H. Carroll, victim advocate for the Thurston County Prosecuting Attorney's Office, presented a similar view:
CP at 277-78.
¶ 60 As these declarations establish, VISs would not be painfully accurate and some would not be available for sentencing purposes if available to the public at large. Effective law enforcement demands that these important sentencing tools be obtainable and that victims be encouraged to engage in the criminal justice system. See Cowles Publ'g Co. v. State Patrol, 109 Wn.2d 712, 736, 748 P.2d 597 (1988) (holding the names of officers under investigation were exempt as "essential to law enforcement" because disclosure would have a chilling effect on reporting of misconduct); Tacoma News, Inc. v. Tacoma-Pierce
¶ 61 Koenig submitted no evidence to counter the county's declarations regarding the role of VISs in sentencing. Instead, he argues nondisclosure of VISs is not essential because a victim has discretion over what to include in her statement — if the victim does not want certain information released, she can leave it out (even if it is relevant and important). This argument ignores the important role of a candid VIS in sentencing. Even more importantly, requiring victims to censor their statements to eliminate the most chilling — and likely the most important — details would not show them the "due dignity and respect" required by our constitution. Wash. Const. art. I, § 35; see also RCW 7.69.010 (declaring the legislature's intent that crime victims be treated with "dignity, respect, courtesy, and sensitivity" and that victim's rights are "honored and protected by law enforcement agencies, prosecutors, and judges").
¶ 62 Koenig also contends the confidentiality of a VIS is not essential because the victim may ultimately make a statement in open court. However, the VIS may contain additional details not shared in court and may be the only vehicle through which the victim will candidly explain the crime's impact. Koenig's "open courts" argument also ignores the distinction between court records — to which the public has a common law right of access — and records compiled by the prosecutor's office for an investigatory purpose — which are exempt from disclosure under the PRA. See Nast v. Michels, 107 Wn.2d 300, 303, 730 P.2d 54 (1986).
¶ 63 The county argues complete nondisclosure of the VIS is required. Koenig counters, even if the VIS contains some exempt information, the public must have access to a redacted version. RCW 42.56.210(1) provides that PRA exemptions "are inapplicable to the extent that information, the disclosure of which would violate personal privacy or vital governmental interests, can be deleted from the specific records sought."
¶ 64 In Koenig v. City of Des Moines, a case involving records of child sexual abuse, we held only the victim identifying information could be redacted. 158 Wn.2d 173, 189, 142 P.3d 162 (2006). The remainder of the records, including "sexually explicit details," was subject to disclosure. Id. We explained:
Id. at 187, 142 P.3d 162. Release of redacted records was required even though a victim's identity could conceivably be established through other sources:
Id.; see also Tacoma News, 55 Wash.App. at 524, 778 P.2d 1066 ("So long as the identities of complainants and witnesses are not revealed, disclosure of the facts alone will not have a `chilling effect' on the investigation and enforcement process.").
¶ 65 It may be that disclosure of a carefully redacted VIS would not always thwart effective law enforcement. The chilling effect of expected public disclosure will remain, only slightly ameliorated, by removing identifying details. See Koenig v. City of Des Moines, 158 Wash.2d at 187, 142 P.3d 162. Therefore, in some cases, while redaction of victim identifying information from VISs may help ensure the victim participation that is essential to law enforcement, some portions could be disclosed. Clearly, however, the majority opinion — by requiring disclosure of a complete and unredacted VIS — will impermissibly deter the victim contribution to law enforcement that our constitution deems essential.
¶ 66 Whether nondisclosure of a SSOSA evaluation is essential to effective law enforcement leaves more room for dispute. As Koenig and the Court of Appeals recognized, defendants have considerable incentives to participate in the SSOSA program, including the possibility of receiving a significantly reduced jail term. Koenig v. Thurston County, 155 Wash.App. at 415-16, 229 P.3d 910; RCW 9.94A.670(5). These incentives could outweigh any chilling effect that would result from disclosure. Moreover, the success of the SSOSA program is still a matter of debate. But, because disclosure of a SSOSA evaluation implicates the privacy rights of other parties and contains private information regarding sexual or personal matters, I join Justice Chambers' conclusion that portions of the SSOSA evaluation are exempt under the privacy prong of RCW 42.56.240(1). Dissent (Chambers, J.) at 531.
¶ 67 This conclusion is bolstered by the fact a SSOSA evaluation contains private "health care information" in which the public has no legitimate interest. RCW 70.02.010(7) ("`Health care information' means any information ... that identifies or can readily be associated with the identity of a patient and directly relates to the patient's health care.").
¶ 68 To qualify as health care information, a record must contain two elements — patient identity and information about the patient's health care. Prison Legal News, Inc. v. Dep't of Corr., 154 Wn.2d 628, 645, 115 P.3d 316 (2005). The SSOSA evaluation meets these criteria. Obviously, a SSOSA evaluation is linked to a specific patient — the sex offender. Others may also be discussed — including children. The SSOSA evaluation record also relates to the patient's health care, defined as "any care, service, or procedure provided by a health care provider... [t]o diagnose, treat, or maintain a patient's physical or mental condition." RCW 70.02.010(5)(a). The SSOSA evaluation is conducted by a certified sex offender treatment provider to diagnose the offender's mental and physical condition and propose a treatment plan. See CP at 100-03.
¶ 69 There is no dispute that disclosure of information in a SSOSA evaluation would be highly offensive to a reasonable person. The critical question is whether the public has a legitimate interest in the details of a SSOSA evaluation. Public interest in a given piece of information is not legitimate "where `the public interest in efficient government could be harmed significantly more than the public would be served by disclosure.'" Koenig v. City of Des Moines, 158 Wash.2d at 185, 142 P.3d 162 (quoting Dawson, 120 Wash.2d at 798, 845 P.2d 995).
¶ 70 In order for a SSOSA evaluation to be accurate, the patient must feel free to reveal highly personal information to a treatment provider. The sex offender treatment provider who conducted the SSOSA evaluation in this case avowed:
CP at 103. The SSOSA program, the effective treatment of sex offenders, and the public interest in preserving the confidentiality of medical records would be significantly undermined by the threat of disclosure. These harms render any public interest in health care information contained in a SSOSA evaluation unreasonable. See Dawson, 120 Wash.2d at 799, 845 P.2d 995 ("[I]n light of the potential harm disclosure could cause, we hold that legitimate public concern is lacking in this case.... [D]isclosure could cause even greater harm to the public by making supervisors reluctant to give candid evaluations.").
¶ 71 A SSOSA evaluation may also identify the sex offender's current and past sexual partners, prior victims, and family members. CP at 101. The public has no legitimate interest in information identifying these third parties. See Pierce County Prosecutor's Office, 111 Wash.App. at 510, 45 P.3d 620 ("[T]he family's privacy interests outweigh any public interest in the basis for the prosecutor's decision."). Furthermore, as discussed above in the context of VISs, disclosure of victim identities would have an intolerable chilling effect on victim cooperation with law enforcement. See also Daniel M. Murdock, Comment, A Compelling State Interest: Constructing a Statutory Framework for Protecting the Identity of Rape Victims, 58 Ala. L.Rev. 1177, 1177 (2007) (Rape is underreported largely because victims fear the public disclosure of their identities.). Thus, information in the SSOSA evaluation that reveals the identities of innocent third parties is not subject to disclosure.
¶ 72 The county argues nondisclosure of the entire SSOSA record is required because redaction of the exempt information would leave "little to disclose," citing Pierce County Prosecutor's Office, 111 Wash.App. at 511, 45 P.3d 620. As addressed above, the PRA demands that exempt information be redacted if possible. While exempt information may make up the majority of the SSOSA report, any other information is subject to disclosure. The public has a legitimate interest in the ultimate disposition of a SSOSA evaluation but not in the defendant's specific, detailed health care information or the identities of third parties. I would therefore hold the county may redact these particulars from the SSOSA evaluation to protect defendants' and third parties' privacy rights.
¶ 73 The PRA ensures agency accountability by demanding that the public be able to bear witness to the inner workings of government through public access to most records. This policy is not furthered by public disclosure of highly private information regarding nongovernment actors, especially victims of crime specifically protected by our constitution. By failing to appreciate this distinction, the majority orders disclosure of extremely sensitive information, including the identities of victims and specifics of their victimization. This is especially important for victims of violence and sexual abuse who are brave enough to assist law enforcement. Through purported adherence to the PRA's directive that exemptions be "narrowly construed," the majority nearly reads the investigative records exemptions out of existence. Ironically, the majority also disregards Koenig's express characterization of these documents he requested as "investigative records." The majority's decision will discourage victims of crime from participating in law enforcement and compel government agencies to commit gross privacy violations. The PRA does not require this result, but since it is the result reached by the majority, it is up to the legislature to make the investigative records exemptions to the PRA even clearer. I dissent.
I CONCUR: CHARLES K. WIGGINS, Justice.