KERN, Justice.
[¶ 1.] Defendant was arrested and charged with several offenses, including two counts of simple assault against a law enforcement officer. Defendant served a subpoena duces tecum on the county sheriff requesting "[a]ll disciplinary records/reports, disciplinary actions or complaints" contained within the personnel
[¶ 2.] On April 30, 2014, Minnehaha County Detectives Joe Bosman, Craig Butler, and Ryan Qualseth arrested Joseph Patrick Johnson on a misdemeanor child-support warrant. He was later indicted for several offenses, including two counts of simple assault against a law enforcement officer (Detective Qualseth). Detective Qualseth was the only detective involved in the physical altercation with Johnson. On September 5, 2014, Johnson served a subpoena duces tecum on Minnehaha County Sheriff Mike Milstead requesting production of "[a]ll disciplinary records/reports, disciplinary actions or complaints made against the following Minnehaha County Sheriff Department's employees: Detective Joe Bosman, Detective Craig Butler, and Detective Ryan Qualseth."
[¶ 3.] On November 19, 2014, Sheriff Milstead filed a motion to quash the subpoena, arguing it was "unreasonable and oppressive." The court held a motions hearing on December 3, 2014. A Minnehaha County deputy state's attorney from the civil division represented Sheriff Milstead and a deputy state's attorney from the criminal division represented the State. Johnson argued that access to the requested records was necessary for effective cross-examination under the Sixth Amendment of the United States Constitution in order to present his theory of the case. Johnson informed the court that he was not claiming that he acted in self-defense. Rather, he contended that Detective Qualseth used excessive force against him during his arrest and that Detective Qualseth was the aggressor. Johnson denied assaulting the officers. In response to the discovery request, Sheriff Milstead argued that the subpoena, in addition to being unreasonable and oppressive was nothing more than a "fishing expedition." He further asserted that the
[¶ 4.] The circuit court denied in part Sheriff Milstead's motion to quash the subpoena. The court ordered Sheriff Milstead to produce the following documents for in camera review: 1) "[c]omplaints against Detective Qualseth for excessive force or aggression[,]" 2) "disciplinary records involving the incident for which the Defendant is charged with in this case[,]" and 3) "[d]isciplinary actions taken against any of the three officers because of this matter." In addition to its oral findings of fact and conclusions of law, the circuit court entered written findings of fact, conclusions of law, and an order on January 20, 2015.
[¶ 5.] In February 2015 Sheriff Milstead petitioned this Court for an intermediate appeal from the circuit court's order. We granted the request on April 6, 2015. The State, through the Minnehaha County State's Attorney's Office, filed a brief in support of Sheriff Milstead's position.
[¶ 6.] On appeal, Sheriff Milstead raises two issues:
[¶ 7.] Ordinarily, "[w]e review the [circuit] court's rulings on discovery matters under an abuse of discretion standard." Anderson v. Keller, 2007 S.D. 89, ¶ 5, 739 N.W.2d 35, 37. However, the question whether the circuit court erred when it interpreted SDCL 23A-14-5 to permit discovery raises a question of statutory interpretation and application, which we review de novo. Deadwood Stage Run, LLC v. S.D. Dep't of Revenue, 2014 S.D. 90, ¶ 7, 857 N.W.2d 606, 609.
[¶ 8.] The question whether a law enforcement officer's personnel records are subject to discovery in a criminal prosecution is a question of first impression before this Court.
[¶ 9.] South Dakota lacks detailed legislation specific to the production of law
[¶ 10.] Although personnel records are statutorily protected, that protection is not absolute. A defendant has a fundamental right to proffer a defense. State v. Huber, 2010 S.D. 63, ¶ 37, 789 N.W.2d 283, 294. This includes the right to call witnesses on one's behalf and to confront and cross-examine the prosecution's witnesses for the purpose of challenging their testimony. See U.S. Const. amends. VI, XIV; S.D. Const. art. VI, § 7; State v. Beckley, 2007 S.D. 122, ¶ 9, 742 N.W.2d 841, 844. It is a basic tenant "of American jurisprudence that a statutory provision never be allowed to trump a Constitutional right." State v. Karlen, 1999 S.D. 12, ¶ 39, 589 N.W.2d 594, 602-03. In Pennsylvania v. Ritchie, 480 U.S. 39, 42-43, 107 S.Ct. 989, 993-94, 94 L.Ed.2d 40 (1987), and Davis v. Alaska, 415 U.S. 308, 309, 94 S.Ct. 1105, 1107, 39 L.Ed.2d 347 (1974), the Supreme Court of the United States addressed this interplay between the important constitutional rights of an accused and public policy concerns regarding the protection of documents.
[¶ 11.] In Davis, the Court held that a defendant's right to effective cross-examination under the Confrontation Clause required that a defendant be able to question an adverse witness regarding the witness's confidential juvenile record. 415 U.S. at 309, 94 S.Ct. at 1107. The Court stated, "The State's policy interest in protecting the confidentiality of a juvenile offender's record cannot require yielding of so vital a constitutional right as the effective cross-examination for bias of an adverse witness." Id. at 320, 94 S.Ct. at 1112.
[¶ 12.] Similarly, in Ritchie, the Court considered "whether and to what extent a State's interest in the confidentiality of its investigative files concerning child abuse must yield to a criminal defendant's Sixth and Fourteenth Amendment right to discover favorable evidence." 480 U.S. at 42-43, 107 S.Ct. at 993-94. Ritchie was charged with the rape of his minor child and had subpoenaed a file held by Child and Youth Services (CYS) containing information about the charge and other records. CYS refused to produce
Id. at 57, 107 S.Ct. at 1001 (quoting Bagley, 473 U.S. at 682, 105 S.Ct. at 3383).
[¶ 14.] Although this Court has not previously addressed personnel records, we have analyzed requests for production of privileged documents by subpoena duces tecum. In Karlen, the defendant was convicted at trial of several felonies, including rape in the second degree against A.J. 1999 S.D. 12, ¶ 4, 589 N.W.2d at 597. Prior to trial, Karlen sought A.J.'s counseling records, which were protected by the physician-patient privilege. Karlen argued that, at a minimum, such "records should have been reviewed in camera to determine whether exculpatory or contradictory information was present." Id. ¶ 28, 589 N.W.2d at 600. Karlen made a specialized showing contending: (1) that the evidence at trial showed that the victim had provided inconsistent statements regarding the incidents with which Karlen was charged, and (2) that the counseling records may contain evidence which would affect A.J.'s credibility and/or may exonerate Karlen.
[¶ 15.] We reversed the circuit court, relying in part upon Ritchie, finding that in light of the specific facts of the case, Karlen may have been denied information crucial to his defense. Karlen, 1999 S.D. 12, ¶ 46, 589 N.W.2d at 605. In concluding that Karlen was entitled to production of A.J.'s counseling records, we found that Karlen had made a sufficient showing that the evidence he sought was material and not for the purpose of a generalized attack upon A.J.'s credibility. The requested evidence was "directed toward revealing possible biases, prejudices, or ulterior motives as they may relate directly to issues or personalities in the case at hand." Id. ¶ 44, 589 N.W.2d at 604 (quoting State v. Sprik, 520 N.W.2d 595, 600 (S.D.1994)). Finding that Karlen may have been denied his right to effectively cross examine A.J.,
[¶ 16.] It is against this backdrop that we consider the question whether the personnel records of law enforcement officers are discoverable under SDCL 23A-14-5 (Rule 17(c)). The rules of discovery in criminal cases are set forth in SDCL chapter 23A-13 (Rule 16). The rules governing the subpoena and attendance of witnesses are set forth in SDCL chapter 23A-14 (Rule 17). SDCL 23A-14-5 (Rule 17(c)) provides for the production of documents and objects and is substantially similar to the Federal Rule of Criminal Procedure 17(c)(1)-(2).
[¶ 17.] The Supreme Court of the United States first addressed production of documents under Rule 17(c) in Bowman Dairy Co. v. United States, where it considered the denial of a motion to quash a subpoena duces tecum. 341 U.S. 214, 217, 71 S.Ct. 675, 677, 95 L.Ed. 879 (1951). In its analysis, the Court differentiated Federal Rule of Criminal Procedure 16 from Rule 17(c). "Rule 16 deals with documents and other materials that are in the possession of the Government and provides how they may be made available to the defendant for his information." Id. at 219, 71 S.Ct. at 678. Rule 17(c), in contrast, provides a method for the defendant to subpoena such documents and materials for
[¶ 18.] Roughly one year later, in United States v. Iozia, the United States District Court for the Southern District of New York held that "there must be a showing of good cause to entitle the defendant to production and inspection of documents under Rule 17(c)." 13 F.R.D. 335, 338 (S.D.N.Y.1952). The court identified a four-part test to assist trial courts in ruling on requests under Rule 17(c). The test required the defendant to establish:
Id.
[¶ 19.] In 1974, the Supreme Court of the United States again addressed the use of subpoenas under Rule 17(c) in United States v. Nixon, 418 U.S. 683, 94 S.Ct. 3090, 41 L.Ed.2d 1039 (1974). The prosecutor filed a motion under Rule 17(c) for a subpoena duces tecum ordering the production of certain tapes and documents relating to "precisely identified" meetings and conversations involving the President and others. Id. at 687-88, 94 S.Ct. at 3097. The Court discussed the factors set forth in Iozia and distilled them, requiring the prosecutor to "clear three hurdles: (1) relevancy; (2) admissibility; [and] (3) specificity" for production of the documents. Id. at 700, 94 S.Ct. at 3103. In denying the President's motion to quash the subpoena, the Court noted that "[a] subpoena for documents may be quashed if their production would be `unreasonable or oppressive,' but not otherwise." Id. at 698, 94 S.Ct. at 3103. The Court found that the prosecutor was permitted to obtain the requested audio tapes because he had shown "there was a sufficient likelihood that each of the tapes contain[ed] conversations relevant to the offenses charged in the indictment." Id. at 700, 94 S.Ct. at 3103. The prosecutor met this burden by offering sworn testimony of participants in the recorded conversations or by giving reasons that permitted a rational inference of relevance, as well as by making a sufficient preliminary showing of admissibility.
[¶ 20.] The Nixon test is well reasoned. Many state and federal jurisdictions have adopted the test, including the Eighth Circuit Court of Appeals, providing numerous decisions to reference for guidance.
[¶ 21.] Sheriff Milstead and the State argue that upon application of the Nixon test, no court could reasonably conclude that the subpoenaed personnel records should be produced for an in camera review. In contrast, Johnson contends that the circuit court did not abuse its discretion in ordering an in camera review as he satisfied the four-part test set forth in Iozia. Johnson concedes that the records are not open to inspection and copying by the public. But he claims the records are discoverable as they are relevant to the primary issue in this case — whether the true aggressor was Detective Qualseth or Johnson. These records, he argues, may be necessary to afford him the opportunity to present a defense and fully cross-examine the State's witnesses. We review the parties' arguments in light of the Nixon test.
[¶ 22.] "Evidence is relevant if: (a) It has any tendency to make a fact more or less probable than it would be without the evidence; and (b) The fact is of consequence in determining the action." SDCL 19-19-401. In determining the relevancy of law enforcement personnel files, we find persuasive the often-cited reasoning of the Court of Appeals of New York in People v. Gissendanner, 48 N.Y.2d 543, 423 N.Y.S.2d 893, 399 N.E.2d 924 (1979). In Gissendanner, the court reviewed a lower court's denial of a defendant's request to issue a subpoena for the police personnel files of prosecution witnesses. In performing its analysis, the court discussed the competing constitutional guarantees of compulsory process and confrontation with the need to safeguard the confidentiality of personnel records. The court concluded that, before production of such documents, a defendant must set forth a good-faith, factual predicate demonstrating that it is reasonably likely that the contents of the personnel file are material and "directly bear on the hard issue of guilt or innocence[.]" Id. 423 N.Y.S.2d 893, 399 N.E.2d at 928. The court explained that "when a defendant shows a likelihood that the witness' prior criminal or disciplinary record may provide a motive to falsify" or "when prior bad acts allegedly contained within disciplinary or personnel records bear peculiar relevance to the circumstances of the defendant's case, detailed cross-examination and disclosure, usually after an in camera inspection, have been permitted." Id. Access to personnel files however "has been denied [where] the defendant failed to demonstrate any theory of relevancy and materiality, but, instead, merely desired the opportunity for an unrestrained foray into confidential records in the hope that the unearthing of some unspecified information would enable him to impeach the witness." Id.
[¶ 23.] A number of courts across the country similarly require that the defendant establish a good-faith, factual predicate making it reasonably likely that the records would yield information that will be relevant and material to the defense. See State v. Jones, 140 Conn.App. 455, 59 A.3d 320, 333 (2013), aff'd, 314 Conn. 410,
[¶ 24.] The Supreme Court of Washington adopted the requirement of a factual predicate in Blackwell, 845 P.2d at 1022. Defendant sought production of officers' service records arguing they could lead to exculpatory evidence of improper police conduct and/or arrests based on race and excessive force. In reversing the trial court for ordering an in camera review, the supreme court noted that "[d]efense counsels' broad, unsupported claim that police officers' personnel files may lead to material information does not justify automatic disclosure of the documents." Id. at 1021 (citing State v. Kaszubinski, 177 N.J.Super. 136, 425 A.2d 711 (Ct. Law Div.1980)). The court held that the "defendant must advance some factual predicate which makes it reasonably likely the requested file will bear information material to his or her defense. A bare assertion that a document `might' bear such fruit is insufficient." Id. at 1022.
[¶ 25.] We endorse the analysis in Gissendanner and Blackwell and require that Johnson establish a factual predicate showing that it is reasonably likely that the requested file will bear information both relevant and material to his defense. This is consistent with the approach we took in Karlen, where we required a case-specific showing of material evidence as a prerequisite for in camera review.
[¶ 26.] Johnson's showing of relevance is lacking. Johnson simply argues that Detective Qualseth used unnecessary force against him and that the requested information in the personnel records might produce information useful to impeach his credibility. It is well established however that "the need for evidence to impeach witnesses is [generally] insufficient to require its production in advance of trial." Nixon, 418 U.S. at 701, 94 S.Ct at 3104. Johnson submitted no affidavit, no evidence of prior conduct, no eye-witness corroboration, no statement upon information or belief, or offer of proof. His mere allegations are insufficient to subject the law enforcement officers' personnel records to a general, non-specific fishing expedition. Accordingly, he has failed to clear the first hurdle of the three-part test.
[¶ 27.] The requirement of specificity "ensures that the subpoenas are used only to secure for trial certain documents or sharply defined groups of documents." United States v. Jackson, 155 F.R.D. 664,
[¶ 28.] The circuit court's findings of fact provide that Johnson's subpoena duces tecum requests "[a]ll disciplinary records/reports, disciplinary actions or complaints made against the following Minnehaha County Sheriff Department's employees: Detective Joe Bosman, Detective Craig Butler, and Detective Ryan Qualseth[.]" While the subpoena did identify the types of documents, which Johnson requested from the personnel records of Detectives Bosman, Butler, and Qualseth, it failed to limit the requested documents to a particular time frame. Further, Johnson's request for "all" disciplinary records does little to narrow the scope of the subpoena. Such broad language could require production of completely irrelevant materials and falls far short of the specificity necessary for production. See Arditti, 955 F.2d at 345. Johnson was unable to specify the information contained in or believed to be contained in the requested documents. As the court noted in United States v. Noriega, "If the moving party cannot reasonably specify the information contained or believed to be contained in the documents sought but merely hopes that something useful will turn up, this is a sure sign that the subpoena is being misused." 764 F.Supp. 1480, 1493 (S.D.Fla.1991).
[¶ 29.] Johnson has failed to establish that the subpoena satisfies the necessary requirement of specificity. The "specificity and relevance elements require more than the title of a document and conjecture as to its contents." Hardy, 224 F.3d at 755 (quoting Arditti, 955 F.2d at 346). A subpoena may not issue based upon a party's "mere hope" that it will result in the production of favorable evidence. Hang, 75 F.3d at 1283; United States v. Libby, 432 F.Supp.2d 26, 31-32 (D.D.C.2006). To hold otherwise would permit review of personnel records of arresting officers in every case involving an assault upon an officer.
[¶ 30.] Johnson as the moving party must also make a preliminary showing that the requested material contains admissible evidence regarding the offenses charged. Nixon, 418 U.S. at 700, 94 S.Ct. at 3104. Sheriff Milstead argues that an in camera review of documents, where "there is no likelihood that the requested information ever becomes relevant or admissible in the underlying criminal case, ... is unnecessary and burdensome."
[¶ 31.] The parties spend considerable time in their briefs to this Court arguing about the potential admissibility of various types of evidence under Federal Rules of Evidence 404(a), 404(b), 405, and 608. As we have found that Johnson has failed to satisfy the first two prongs of the Nixon test, we decline to address this factor.
[¶ 32.] While the circuit court correctly determined that in certain circumstances personnel records of law enforcement officers are subject to review, it erred when it ordered production of the records in this case. In fairness to the circuit court, it was faced with a question of first impression and required to resolve the issue without direction from this Court as to what standard should be applied. A defendant
[¶ 33.] The circuit court erred in ordering an in camera review of the personnel records in this case. This is because Johnson failed to satisfy the requirements of the Nixon test. In the future, if a court should determine that a party has made an adequate showing under Nixon, an in camera review by the circuit court is a necessary step before release of any records to the parties. Sheriff Milstead contends that, if an in camera review occurs, "there is nothing to prevent the trial court from providing the documents to opposing counsel without review." We affirm the important public policy interest in protecting the privacy and safety of law enforcement officers by preventing unfettered access to the release of information contained within their personnel files.
[¶ 34.] We have discussed the parameters for in camera reviews in several cases involving production of alleged victims' psychological records. In Maynard v. Heeren, we considered an intermediate appeal from a circuit court's order requiring production of a plaintiff's psychotherapy records. 1997 S.D. 60, ¶ 1, 563 N.W.2d 830, 832. Plaintiff's claims involved negligent misrepresentation, slander, invasion of privacy, and intentional infliction of emotional distress. In ordering full disclosure of the records, we required that an "in camera hearing must be held in the presence of both parties, both parties must have access to the contested information, and both parties must be allowed to make their record." Id. ¶ 15, 563 N.W.2d at 836. Two years later we adopted a more circumscribed approach. See Karlen, 1999 S.D. 12, ¶¶ 45-46, 589 N.W.2d at 604-05. We directed that upon remand the in camera review should be conducted solely by the circuit court, with only the relevant portions of the record being turned over to the parties for review. We continue to adhere to the more circumscribed approach because it balances the privacy concerns of the officer while protecting the rights of the accused.
[¶ 35.] Should an in camera review be deemed proper under Nixon, it is within the sound discretion of the circuit court to determine what restrictions are appropriate for use and dissemination of the records. If the court concludes that portions of the records are discoverable, the court shall place "reasonable restrictions upon dissemination and use of the sought-after material." Maynard, 1997 S.D. 60, ¶ 15, 563 N.W.2d at 835. The disclosure of such information must be carefully tailored to the legitimate need for the information in the case. Januszewski, 438 A.2d at 694. As the Court found in Nixon, "in camera inspection of evidence is always a procedure calling for scrupulous protection against any release or publication of material not found by the court, at that stage, probably admissible in evidence
[¶ 36.] The personnel records of law enforcement officers are confidential, but not shielded from discovery when a constitutional right of an accused is implicated. Even so, Rule 17(c) was not intended as a tool for discovery in criminal cases. When a party seeks production of documents under Rule 17(c), that party must first establish that the requested evidence is (1) relevant, (2) admissible, and (3) requested with adequate specificity. A circuit court may modify or quash a subpoena if it determines production of the documents is oppressive or unreasonable. If the requisite showing for production of documents is made, the circuit court shall order the documents produced for in camera review. If the court determines that portions of the record are discoverable, it shall carefully tailor necessary restrictions on the use and dissemination of the records to maintain privacy.
[¶ 37.] As Johnson failed to meet his burden of establishing the elements of the Nixon test, the circuit court erred in ordering Sheriff Milstead to produce portions of the personnel records of Detectives Bosman, Butler, and Qualseth for in camera review. We reverse.
[¶ 38.] GILBERTSON, Chief Justice, and ZINTER, SEVERSON, and WILBUR, Justices, concur.
(c) Producing Documents and Objects.