HomeMy WebLinkAbout2006-2411 Civil
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8
ELIZABETH L. SMITH, : IN THE COURT OF COMMON PLEAS OF
(N.K.A. Elizabeth L. Shunk) : CUMBERLAND COUNTY, PENNSYLVANIA
PLAINTIFF :
:
V. :
:
DANIEL J. SMITH :
DEFENDANT : NO. 06-2411 CIVIL
IN RE: OPINION PURSUANT TO PA.R.A.P. 1925
Ebert, J., November 25, 2008 –
Procedural History
This case began with the Mother, Elizabeth L. Smith, Appellant herein, filing a
Petition for Modification of Custody on March 7, 2008. The basis for the request for
modification of custody was that Daniel J. Smith, the Father of L.S., the child in
question, and Plaintiff’s former husband, refused to return L.S. to Mother as a result of
allegations of sexual abuse. On May 19, 2008, Appellant filed Motion for Rule to
Compel Discovery which requested that a Rule be issued upon the District Attorney’s
Office to show cause “why the investigation should not be deemed concluded and the
video tapes provided to the District Attorney’s Office regarding L. S. and all other reports
in their possession pertaining to L. S. whether generated in house by the District
Attorney’s Office or provide[d] sic to them from another source be provided to petitioner
herein.”
On May 28, 2008, the Court issued a Rule upon the District Attorney to show
cause why the requested discovery should not be provided. The District Attorney’s
Office filed an Answer to the Rule with New Matter on June 17, 2008. Both parties then
filed briefs and after argument the Court denied the Motion to Compel Discovery on
July 31, 2008. Appellant then filed her notice of Appeal to the Superior Court on
August 29, 2008.
Factual Summary
On April 21, 2007, a report was received by Cumberland County Children and
Youth Services from the ChildLine Abuse Reporting Systems that L.S. (date of birth:
4/01/03), the daughter of Appellant, may have been sexually abused. Cumberland
County Children and Youth Services immediately began the required civil investigation.
The matter was also referred to both the Cumberland County District Attorney and the
Upper Allen Township Police Department who began official criminal investigations on
or about April 25, 2007. During the course of the criminal investigation, the child was
interviewed and video taped at the Children’s Resource Center in Harrisburg. Police
reports relative to the investigation and polygraph reports of polygraphs given to the
Appellant and her current husband, Gary Shunk were prepared.
On October 10, 2007, Cumberland County Children and Youth completed its
child protective service investigation and filed Form CY48-6/95 with the Department of
Welfare. The report “indicated” that the Appellant was a perpetrator of sexual assault.
Being “indicated” the report was required to be maintained pursuant to the Child
Protective Services Law. 23 Pa.C.S.A. §6301 et. seq. Appellant then requested the
Department of Public Welfare to expunge the report of child abuse against her.
The Department of Public Welfare, Office of Children, Youth and Families,
completed its review of Appellant’s request to expunge on or about March 19, 2008, and
stated that they found the report to be accurate and that it would be maintained in their
records as originally reported. Subsequently, on March 25, 2008, the Appellant
requested a hearing before the Secretary of the Department of Public Welfare or his
designee. From a review of the records currently in the possession of Cumberland
County Children and Youth, it appears that that hearing is now scheduled for
January 14, 2009.
2
DISCUSSION
The issue presented here is whether criminal investigation materials in the hands
of the elected District Attorney of Cumberland County are required to be disclosed to a
party in a civil custody action. In briefing the issue, neither party has provided this Court
with any controlling case law.
Initially, we note that in custody cases, “There shall be no discovery unless
authorized by special order of court.” Pa.R.C.P. No. 1915.5(c). Both parties note that
th
the only reported case involving Rule 1915.5(c) is Ford v. Ford, 1 Pa. D.&C. 4 98
(1988) from the Court of Common Pleas of Monroe County. While Appellant points out
that that case involved a request for a deposition and not disclosure of investigative
materials in the hands of a District Attorney, Judge O’Brien concluded that discovery in
custody proceedings is not presently permitted by the Pennsylvania Rules of Civil
Procedure.
This Court is not prepared to go quite that far. To do so would totally negate the
phrase in the rule “unless authorized by special order of court” which obviously
contemplates that allowing discovery is a matter within the discretion of the Court. In
other types of civil cases involving a demand for discovery, it has often been said that
“discovery matters are within the discretion of the trial court and the Appellate Court
employs an abuse of discretion standard of review.” Luckett v. Blaine, 850 A.2d 811
(Pa. Cmwlth. 2004).
In denying the Appellant’s request for discovery, this Court takes into account
that the District Attorney of a county is by law designated “the Chief Law Enforcement
Officer for the County in which he is elected.” 71 Pa.C.S.A. §732-206(a). Accordingly,
he alone can determine when to initiate a criminal investigation, the scope of the
investigation, what evidence to collect during the investigation and when and if any
3
criminal charges will be filed against any person. The Appellant in her Motion for Rule
to Compel Discovery requests that this Court issue a Rule to Show Cause upon the
District Attorney why his investigation should not be deemed concluded. Such a
request is beyond the constitutional powers of this Court.
An examination of the information included in the ChildLine report, indicate that
criminal charges could be filed at minimum for aggravated indecent assault of a child, a
felony of the first degree, 18 Pa.C.S.A. §3125. Given the fact that the child in question
is currently only 5 years old, the statute of limitations for this offense will not expire until
April 1, 2053. 42 Pa.C.S.A. §5552(c) (3). The Appellant herself states in her brief that
the child was of such tender years that “she was barely verbal.” This being the case, it
is not unusual for a District Attorney to wait until the child is older and perhaps better
able to testify before completing his investigation or filing charges. Thus, the District
Attorney’s position that the requested video tapes and investigatory reports are not
sought out of need to resolve a custody issue, but rather to formulate a defense to
allegations of sexual crimes cannot be dismissed out of hand.
The Court notes that at this stage, this matter remains a custody battle between
two parents. The District Attorney, an executive branch investigative agency, is not a
party to the custody action. If the District Attorney does not release the requested
materials to either party, no party will gain any advantage at the custody hearing.
Equally important is the fact that nothing in this decision would prohibit the petitioner
and her husband from testifying as to what he told the police or the polygraphist. Along
the same lines, Appellant’s expert psychologist or psychiatrist could certainly opine that
children are often misled, have been tainted, or manipulated during custody
proceedings. In examining the Appellant’s pre-hearing memorandum in the custody
4
matter currently scheduled to be heard before this Court on December 1, 2008, she lists
no less than 15 witnesses, at least three of which are experts.
In short, this court finds that the Appellant is not unduly hampered in the
presentation of evidence regarding what is in the best interest of her child. At this
stage, it would appear that Father will be unable to prove conclusively that the child was
molested. Therefore, each party comes before the Custody Court on equal footing. As
a matter of public policy, (1) given the general rule against discovery in custody cases,
(2) the important constitutional consideration of separation of powers between this Court
and the District Attorney’s Office, and (3) the District Attorney’s fundamentally sound
rationale for not disclosing these investigative materials, this Court did not abuse its
discretion in denying Appellant’s request to compel.
Interestingly, Appellant relies on the case of John M. v. Paula T., 546 A.2d 1162
(Pa. Super. 1988), for the proposition that discovery in custody cases “should be freely
given where it is essential to a just disposition of the matter.” Id. at 1166. Unfortunately,
for the Appellant, as pointed out by the District Attorney, this decision was overturned by
the Supreme Court at John M. v. Paula T., 571 A.2d 1380 (Pa. 1990). While the case is
not directly on point, in that it dealt with a request to compel an individual to submit to a
blood test to determine paternity, it does involve a family law case. The Court decided
the matter by balancing the respective interests of the parties to determine whether the
requesting party had a compelling need to justify the discovery request. The Supreme
Court weighed the evidentiary value of the blood test and considered other public policy
considerations. In John M. v. Paula T., the Court stated that while blood tests are useful
in establishing the likelihood of paternity they are not conclusive and that a public policy
existed which outweighed the value of the request for the blood test.
5
Here, the requested interview tapes and investigative reports might assist the
Appellant, but on the other hand, if these materials were presented to the Court and the
Court concluded, as did the Children and Youth investigation and the Department of
Public Welfare, that the allegations of abuse were substantiated, it would most certainly
have a negative impact on Appellant’s right to custody or visitation. Since these
evidentiary materials sought from the District Attorney cannot be used by either party,
the governmental interest of the District Attorney in properly conducting a child abuse
investigation outweighs the need for the Appellant to obtain these materials. This is
especially true in light of the fact that she has other evidence and numerous witnesses
available to establish that the best interest of the child will be served by granting some
custody or visitation to her, the natural mother.
The District Attorney maintains that the Pennsylvania Right-to-Know Act, 65 P.S.
§ 66.1(2) prohibits the disclosure of these investigative materials. Of course, the
Appellant insists that she has not made this application under the Right-to-Know Act but
believes that Pa.R.C.P. 1915.5 (c) allowing discovery by special Order of Court in a
custody case trumps the prohibition of the Pennsylvania Right-to-Know Act that
investigative materials shall not be disclosed. Again, neither party has provided any
controlling precedent directly on point.
The case of Amro v. Office of Attorney General, 783 A.2d 897 (Pa. Cmwlth.
2001), provides some guidance. In Amro v. Office of Attorney General, 783 A.2d 897
(Pa. Cmwlth. 2001), plaintiff, a physician, challenged the Office of the Attorney
General’s denial of access to certain records. Specifically, the Attorney General refused
to disclose information that was part of a criminal investigation of the physician for drug
offenses. No charges were ever filed against the doctor. The court ruled in favor of the
Attorney General, holding that disclosure was not required because of the investigatory
6
exception to the Right-to-Know Act. The Office of the Attorney General was not
required to give the plaintiff access to the investigative records.
In Amro, the Appellant, Dr. Amro, much like the Appellant in the case at bar,
maintained that he was “an innocent victim of orchestrated entrapment attempts and
widespread misinformation.” Id. at 898. Here, Appellant maintains that her former
husband falsely instigated the District Attorney’s criminal investigation, and that just like
Amro she wants the investigative files to prove her “innocence.” In these
circumstances, public policy favors protection of the criminal investigation files. The
Right-to-Know Act, 65 P.S. § 66.1(2) defines what are public records, and accordingly
what documents are subject to disclosure. This section of the statute expressly
excludes, however, “any report, communication or other paper, the publication of which
would disclose the institution, progress, or result of an investigation undertaken by an
agency in the performance of its official duties.” Documents, reports, video, and other
information pertaining to a criminal investigation by the Office of the Attorney General or
the Office of the District Attorney would fall within this exception.
In Amro, the requested file was prepared by the Office of the Attorney General as
part of a “predecisional, internal deliberative process for determining whether to
prosecute Amro.” Amro, 783 A.2d 900. The reports requested by Elizabeth Smith, in
the instant case, also appear to be part of the “predecisional, internal deliberative
process for determining whether to prosecute” her. Id at 900. Elizabeth Smith requests
video tapes and “all other reports” from the District Attorney’s office pertaining to the
investigation of her daughter’s alleged abuse. This request must be judged in light of
the general rule that there shall be no discovery in custody cases unless allowed by a
special order of court. Pa.R.C.P. No. 1915.5(c).
7
In a proper exercise of its discretion, this Court concludes that no special order
authorizing discovery of these materials is warranted. This decision is based on the fact
(1) that the District Attorney has a legitimate reason for not disclosing the investigative
materials, (2) that the Appellant has no compelling need for these investigative
materials because she has adequate evidence and witnesses available to present at
her custody hearing, and (3) that the constitutionally required separation of powers
between this Court and the Chief Law Enforcement Officer of the executive branch of
government must be observed.
Accordingly, the Appellant’s Motion to Compel Discovery was properly denied.
By the Court,
M. L. Ebert, Jr., J.
Mary A. Etter Dissinger, Esquire
Attorney for Plaintiff
Mark F. Bayley, Esquire
Barbara Sumple-Sullivan, Esquire
Lindsay Maclay, Esquire
Christin Mehrtens-Carlin, Esquire
Senior Assistant District Attorney
bas
8