Majority
Because resolution of the SVP petition often stretches over months or years, the district attorney may request that SDSH evaluators perform an updated evaluation of the alleged SVP. (§ 6603, subd. (c)(1); see Albertson v. Superior Court (2001) 25 Cal.4th 796 , 805, fn. 7, 107 Cal.Rptr.2d 381 , 23 P.3d 611 ( Albertson ).) If the original evaluator is no longer available to testify, the
The Legislature addressed the conflict after we granted review in this case. It added subdivision (j) to section 6603 "to ensure that the prosecuting attorney has access to all the records on which the evaluators have based their evaluations." (Assem. Com. on Public Safety, Analysis of Sen. Bill No. 507, supra , as amended July 2, 2015, p. 7.) The statute now provides: "Notwithstanding any other law, the evaluator performing an updated evaluation shall include with the evaluation a statement listing all records reviewed by the evaluator pursuant to subdivision (c). The court shall issue a subpoena, upon the request of either party, for a certified copy of these records. The records shall be provided to the attorney petitioning for commitment and the counsel for the person subject to this article. The attorneys may use the records in proceedings under this article and shall not disclose them for any other purpose." (§ 6603, subd. (j)(1), italics added.)
We are unpersuaded by Smith's efforts to evade the amended statute. He argues first that the amended statute cannot apply to the records supporting his 2011 evaluations, which predated the amendment to section 6603. Because section 6603, subdivision (j)(1) "does not apply retroactively," it entitles the district attorney (in Smith's view) only to "information and records obtained in the course of providing services performed on or after January 1, 2016," the amendment's effective date. Yet Smith cites nothing to support his contention that application of the expanded discovery rule to the current SVP proceeding would qualify as "retroactive." And, in general, the law is otherwise: "[C]hanges to rules governing pending litigation , for example, frequently have been designated as prospective, because they affect the future; that is, the future proceedings in a trial." ( Quarry v. Doe I (2012) 53 Cal.4th 945 , 956, 139 Cal.Rptr.3d 3 , 272 P.3d 977 .)
Smith argues next for a narrow reading of section 6603, subdivision (j)(1). In his view, the statute should be read to authorize access only to the records reviewed by an evaluator performing an updated evaluation, not to those records reviewed by an evaluator performing a replacement evaluation.[2] Smith correctly points out that section 6603's new subdivision (j)(1) refers only to "the evaluator performing an updated evaluation" and does not mention replacement evaluations - and that subdivision (c)(1), by contrast, refers distinctly to "updated evaluations" and "replacement evaluations." He
1 In this proceeding, Dr. Putnam evaluated Smith in 2002 in connection with the SVP petition and provided an updated evaluation in 2011. Due to Dr. Jackson's unavailability, Dr. Rueschenberg provided a replacement evaluation in 2011.
The legislative history also supports the conclusion that the term "updated evaluation" in subdivision (j)(1) of section 6603 encompasses both types of the evaluations authorized by subdivision (c)(1). Bill analyses
On the question of making treatment records available to the district attorney, the Legislature addressed the issue directly. It provided a straightforward answer through an explicit legislative provision governing these records. In contrast, the Legislature refrained from providing a direct answer to the question whether the district attorney's retained expert could review those records. Yet the Legislature did not include an explicit provision rendering the amendment entirely irrelevant to the latter question. Nor does it seem likely, given how the amendment was drafted and what we know about its history, that the Legislature wanted us to completely ignore the 2015 amendments to section 6603 - that is, to pretend that the district attorney might not have access to these otherwise confidential records and therefore could not possibly share information that it did not possess. So we shall instead construe
In light of the legislative goals embodied in the SVPA, the role of confidentiality in this context is to "encourage[ ] persons with mental problems to seek, accept and undergo treatment and to be open and candid in treatment." ( State Dept. of Public Health v. Superior Court (2015) 60 Cal.4th 940 , 948, 184 Cal.Rptr.3d 60 , 342 P.3d 1217 .) It seems implausible that a person would be dissuaded from initiating or participating fully in treatment simply because his or her treatment records, in addition to being disclosed to the SDSH mental health professionals and the district attorney, might be disclosed to a mental health professional retained by the district attorney.
Whether someone qualifies as an SVP is determined by a judge or jury at a trial. ( Ibid .) Key to that determination are the opinions of the mental health professionals designated by the State Department of State Hospitals (SDSH) to examine the alleged SVP and to consider, among other things, the factors known to be associated with the risk of reoffending. (§ 6601, subd. (c).) We granted review in this case to decide whether the district attorney prosecuting a civil commitment petition under the SVPA may obtain copies of the treatment records supporting the updated or replacement evaluators' opinions
B.
In March 2002, the Orange County District Attorney filed a petition to commit Richard Anthony Smith, then a prison inmate with a parole date later that month, as an SVP. Attached to the petition were evaluations by mental health professionals Dana Putnam, Ph.D., and Charles Jackson, Ph.D., conducted earlier that year. After a long series of continuances stipulated to or requested by Smith or his attorney, the district attorney in 2006 requested that the SDSH perform updated and replacement evaluations under section 6603, subdivision (c)(1). After another series of stipulated continuances, the trial court granted Smith's request for a new set of updated evaluations. In February 2011, Nancy Rueschenberg, Ph.D., and Dr. Putnam evaluated Smith, and each concluded that he no longer qualified as an SVP. Based on the updated evaluations, Smith filed a motion to enter a plea in abatement and dismiss the petition, which the trial court denied. The Court of Appeal, though, granted Smith's writ petition in an unpublished opinion and directed the trial court to enter a new order dismissing the SVP petition. This court subsequently granted
One such exception applies when the mental health professionals designated by the Director of State Hospitals evaluate an individual and agree that the individual qualifies as an SVP. When this occurs, "[c]opies of the evaluation reports and any other supporting documents shall be made available to the attorney designated by the county ... who may file a petition for commitment." (§ 6601, subds. (d), (h)(1), italics added.) Shortly after the Legislature amended the SVPA in 2000, allowing the district attorney to request updated or replacement evaluations, we concluded that the statutory scheme granted the district attorney "access to treatment record
Indeed, we applied newly amended provisions governing discovery to a pending SVP proceeding involving closely analogous circumstances in Albertson . The issue presented there was whether the SVPA authorized an updated mental health evaluation and the disclosure of the confidential
Yet this recently enacted statutory change contains its own share of nuances. We must read the text of section 6603, subdivision (j)(1) in conjunction with the rest of Senate Bill No. 507, including its uncodified section. Somewhat cryptically, this uncodified section provides: "Nothing in this act is intended to affect the determination by the Supreme Court of California, in People v. Superior Court (Smith) (Docket No. S225562), whether an expert retained by the district attorney in a proceeding under the Sexually Violent Predator Act (Article 4 (commencing with Section 6600) of Chapter 2 of Part 2 of Division 6 of the Welfare and Institutions Code ) is entitled to review otherwise confidential treatment information under Section 5328 of the Welfare and Institutions Code." (Stats. 2015, ch. 576, § 2.) The Legislature's explicit reference to this case in the uncodified section evinces an awareness that we had already granted review to consider these issues. (See Assem. Com. on Public Safety, Analysis of Sen. Bill No. 507, supra , as amended July 2, 2015, p. 10.) What it does not imply is that we should ignore the legislative changes underlying section 6603, subdivision (j)(1) in resolving them.
Before we granted review, an earlier version of the bill included a paragraph in subdivision (j) providing that "[t]his subdivision does not create any new rights or limitations regarding the retention of an expert witness by either party or access to records by an expert retained or sought to be retained by either party. The attorney petitioning for commitment shall not provide access to the records obtained under paragraph (1) to any third party, including an expert retained or sought to be retained by that attorney, without the consent of the court upon noticed motion." (Sen. Bill No. 507
We therefore broaden our analysis to encompass the text, structure, and purpose of the entire SVPA as well as section 5328, which makes confidential the information and records obtained in the course of providing services to an alleged SVP. The purpose of the SVPA is to identify, confine, and treat those persons who have mental disorders that render them "a danger to the health and safety of others in that they are likely to engage in acts of sexual violence." (Stats. 1995, ch. 763, § 1, p. 5921; see People v. Yartz (2005) 37 Cal.4th 529 , 540, 36 Cal.Rptr.3d 328 , 123 P.3d 604 .) The primary mechanism for identifying an SVP is assessment of the person by psychiatrists or psychologists using a standardized protocol. (§ 6601, subds. (c), (d).) Although the SVP determination requires proof that the person has been
Finally, we reject Smith's argument that access must be limited to avoid a conflict with section 5328. Smith argues that a conflict with this section arises if the government's retained expert is granted access to the treatment records already reviewed by the SDSH evaluators or by his own retained experts. Section 5328 itself lists 25 separate exceptions, including an exception for disclosure "[t]o the courts, as necessary to the administration of justice." ( § 5328, subd. (a)(6).) Following section 5328 are more than a dozen separate statutes, each allowing disclosure in various circumstances. (See § 5328.01 et seq.) In addition, section 6603 specifies still more exceptions to the confidentiality of these records, including the disclosure of the records used by the SDSH evaluators to the attorney prosecuting the SVP petition. (See § 6603, subd. (j)(1).) Nothing in section 5328 appears to contemplate limiting one member of the prosecution team in an SVP proceeding from sharing these otherwise confidential records with another member of the prosecution team, provided an appropriate protective order is in place. (Cf. People v. Garcia (2017) 2 Cal.5th 792 , 811, 216 Cal.Rptr.3d 75 , 391 P.3d 1153 [the effectiveness of the sex offender management program "depends on ' "open and ongoing communication" ' among the professionals involved in ' "supervising, assessing,
I
What we conclude is that a recent amendment to the SVPA, enacted after we granted review, allows the district attorney to obtain those otherwise confidential records. The district attorney may then disclose those records to its retained expert, subject to an appropriate protective order, to assist in the cross-examination of the SDSH evaluators or mental health professionals retained by the defense and, more generally, in prosecuting the SVP petition. We therefore affirm the Court of Appeal.
A.
The SVPA defines an SVP as "a person who has been convicted of a sexually violent offense against one or more victims and who has a diagnosed mental disorder that makes the person a danger to the health and safety of others in that it is likely that he or she will engage in sexually violent criminal behavior." ( Welf. & Inst. Code § 6600, subd. (a)(1) ; all further undesignated statutory references are to this code.) Once the Department of Corrections and Rehabilitation determines an inmate nearing release from prison may be an SVP, the SDSH designates two psychiatrists or psychologists to examine the person using a standardized assessment protocol. The protocol requires an "assessment of diagnosable mental disorders, as well as various factors known to be associated with the risk of reoffense among sex offenders." (§ 6601, subd. (c).) If the evaluators concur that the person qualifies as an SVP, then the Director of State Hospitals must forward a request that a petition for commitment be filed in the superior
The SVPA provides that following the initial evaluation, "[c]opies of the evaluation reports and any other supporting documents shall be made available" to the district attorney. (§ 6601, subd. (d).) Thereafter, copies of any updated or replacement evaluations shall likewise be provided to the district attorney (§ 6603, subd. (c)(1) ), along with "all records" reviewed by "the evaluator performing an updated evaluation," if requested. ( Id ., subd. (j)(1).)
In 2014, the district attorney requested yet another updated evaluation from Dr. Putnam. The district attorney also asked the court for an order permitting his retained expert, Dawn Starr, Ph.D., to review the SDSH evaluations as well as the documentation and records on which the evaluators had relied. The trial court denied the request, but the Court of Appeal directed the trial court to vacate its prior order and enter a new order granting the request.
What the appellate court observed at the outset is that the documents on which the experts relied were already in the lawful possession of the district attorney, citing sections 6601, subdivision (h) and 6603, subdivision (c)(1). The court then weighed Smith's privacy interest against the government's interest in protecting the public from SVPs (as well as the judicial system's interest in providing accurate information to the trier of fact who is making the SVP determination). Its assessment led the court to conclude that "the district attorney's retained expert should be able to review Smith's section 6603(c)(1) evaluations and the mental health records and documents relied upon by the evaluators and Smith's retained experts," with an appropriate protective order.
We granted Smith's petition for review to decide whether the district attorney is entitled to review the confidential medical and psychological records on which the evaluators had relied, and, if so, whether those records may be shared with an expert who has been retained by the district attorney for the purpose of assisting with the SVP proceeding.
II.
We begin by resolving whether the alleged SVP's mental health records may be provided to the district attorney. Generally, such
The appellate courts split following our decision in Albertson. The crux of their disagreement was whether the records subject to discovery were limited to the specific excerpts contained in an updated or replacement evaluation, or whether the district attorney could instead be " 'granted direct access to the records' " themselves. (Assem. Com. on Public Safety, Analysis of Sen. Bill No. 507 (2015-2016 Reg. Sess.) as amended July 2, 2015, p. 4; see id . at p. 8 [" 'In the last few years, Los
True: Courts often presume that a word used in more than one provision of a statute has precisely the same meaning throughout -- a logical inference rooted not only in how people ordinarily use language, but also in how one generally might expect legislative bodies to draft statutory provisions. ( People v. Hernandez (1981) 30 Cal.3d 462 , 468, 179 Cal.Rptr. 239 , 637 P.2d 706 .) Yet this is merely a presumption, not an inflexible rule. ( People v. Jones (1988) 46 Cal.3d 585 , 595, 250 Cal.Rptr. 635 , 758 P.2d 1165 .) Just as people sometimes use the same word to convey different meanings even in the same sentence, so too have we held that certain statutes are sometimes best read in context to assign different meanings to the same word used in different portions of a statute. (See, e.g., Jones , at pp. 594-595, 250 Cal.Rptr. 635 , 758 P.2d 1165 [assigning different meanings for the word "crimes" in Pen. Code § 667.6, subds. (c) and (d) ].) Our interpretive task is not necessarily to slavishly assign a word precisely the same meaning every time it is used in a statute - regardless of the context - but to accord it the meaning best suited to effectuating the statute's intended purpose. ( Hernandez , at p. 468, 179 Cal.Rptr. 239 , 637 P.2d 706 .) When we take account of the relevant provisions and structure of the law, and the SVPA's broad purpose of identifying dangerous sex offenders so that they may receive treatment, we conclude that the best understanding of "an updated evaluation" within the meaning of section 6603, subdivision (j)(1) encompasses all evaluations that update previous SDSH evaluations.
Consider, for instance, the similar roles of updated and replacement evaluations. A replacement
Finally, we reject Smith's contention that granting the district attorney access to his treatment records would violate his right to equal protection of the law under the state and federal Constitutions. Smith contends that the amended SVPA gives the district attorney access "to the confidential therapy records of alleged SVPs, but not to the confidential therapy records of any other recipient of those services, including similarly situated mentally disordered offenders (MDOs) and mentally disordered sex offenders (MDSOs)" - yet "the government has not shown why only SVPs should lose the right to keep their treatment records confidential from prosecutors." Smith does not identify in what way, if any, the statutory schemes associated with designation as either an MDO or MDSO operate differently from the SVPA with respect to discovery of these types of records. His submission thus fails to satisfy "the required threshold" for an equal protection claim - i.e., "a credible showing of different treatment." ( United States v. Armstrong (1996) 517 U.S. 456 , 470, 116 S.Ct. 1480 , 134 L.Ed.2d 687 .) Whether the particular dangers
III
Under new subdivision (j)(1) of section 6603, attorneys for either side "may use the
We have been unable to find another instance in which a statute included a provision
Unfortunately, as the legislative history suggests, the SDSH " 'has not ensured that it conducts these evaluations in a consistent manner' " and sometimes " 'evaluators did not demonstrate that they considered all relevant information.' " (Sen. Com. on Public Safety, Analysis of Sen. Bill No. 507 (2015-2016 Reg. Sess.) as amended Apr. 30, 2015, p. 3, quoting Cal. State Auditor, Cal. Dept. of State Hospitals Report No. 2014-125 (Mar. 2015) p. 1.) A key way in which one party counters an opposing expert's opinion is to uncover and challenge the expert about the bases for his or her opinion. (See People v. Smith (2007) 40 Cal.4th 483 , 509, 54 Cal.Rptr.3d 245 , 150 P.3d 1224 ; People v. Visciotti (1992) 2 Cal.4th 1 , 81, 5 Cal.Rptr.2d 495 , 825 P.2d 388 .) This is particularly true for a mental health professional's assessment of whether an individual qualifies as an SVP. Because an evaluator exercises professional judgment within the legal framework specified by the SVPA, the evaluator's "legally accurate understanding of the statutory criteria is crucial to the Act's proper operation." ( People v. Superior Court (Ghilotti) (2002) 27 Cal.4th 888 , 910, 119 Cal.Rptr.2d 1 , 44 P.3d 949 .)
Cross-examination may assist the trier of fact in determining whether the evaluator has "accurately understood the statutory criteria." ( Ibid . ) But that opportunity would be a hollow one if the district attorney does not have the assistance of an expert to interpret and explain the significance of the specialized information at issue. (See Bonds v. Roy (1999) 20 Cal.4th 140 , 146-147, 83 Cal.Rptr.2d 289 , 973 P.2d 66 ; accord, Addington v. Texas (1979) 441 U.S. 418 , 429, 99 S.Ct. 1804 , 60 L.Ed.2d 323 ["Whether the individual is mentally ill and dangerous to either himself or others and is in need of confined therapy turns on the meaning of the facts which must be interpreted by expert psychiatrists and psychologists"].) Without an expert's assistance in preparing the cross-examination of adverse witnesses, "the risk of an inaccurate resolution ... is extremely high." (See Ake , supra , 470 U.S. at p. 82, 105 S.Ct. 1087 .) An
IV
We Concur:
CANTIL-SAKAUYE, C. J.
CHIN, J.
CORRIGAN, J.
LIU, J.
KRUGER, J.
SEGAL, J.[1]
* Associate Justice of the Court of Appeal, Second Appellate District, Division Seven assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Cases cited
- Albertson v. Superior Court 25 Cal.4th 796 at 805 p. 4
- Reilly v. Superior Court 57 Cal.4th 641 p. 5
- Quarry v. Doe I 53 Cal.4th 945 p. 6
- State Department of Public Health v. Superior Court 60 Cal.4th 940 p. 12
- Hubbart v. Superior Court 19 Cal.4th 1138 p. 143
- People v. McKee 47 Cal.4th 1172 p. 148
- People v. Yartz 37 Cal.4th 529 p. 149
- People v. Garcia 2 Cal.5th 792 p. 150
- People v. Gonzales 56 Cal.4th 353 at 380 p. 465
- People v. Hernandez 30 Cal.3d 462 p. 467
- People v. Jones 46 Cal.3d 585 p. 467
- United States v. Armstrong 517 U.S. 456 p. 468
- People v. Murtishaw 29 Cal.3d 733 p. 471
- Ake v. Oklahoma 470 U.S. 68 p. 471
- People v. Smith 40 Cal.4th 483 p. 471
- People v. Visciotti 2 Cal.4th 1 p. 471
- People v. Superior Court 27 Cal.4th 888 p. 471
- Bonds v. Roy 20 Cal.4th 140 p. 471
- Addington v. Texas 441 U.S. 418 p. 471
- People v. Burroughs 6 Cal.App.5th 378 p. 472