State v. Doe, Unpublished Decision (9-19-2002)
State v. Doe, Unpublished Decision (9-19-2002)
Opinion of the Court
OPINION
{¶ 1} Beth Lewis appeals from a judgment of the Montgomery County Court of Common Pleas, which found her in contempt of court for refusing to answer certain questions before a grand jury. Lewis, who is an attorney, refused to testify on the ground that the information sought was protected by the attorney-client privilege.{¶ 2} The background of the case is as follows. In 1999, nine-year-old Erica Baker disappeared in Kettering. At some point during their investigation, the police apparently received information that Jan Marie Franks may have been inside a van that struck and killed Erica and that the people in the van then took the body and disposed of it. No trace of Erica has ever been found. The police sought to question Franks about the information they had received, but she was uncooperative. Lewis, a Federal Public Defender, had represented Franks on unrelated federal offenses. The police apparently suspect that Franks may have confided information about Erica's disappearance to Lewis in the course of their attorney-client relationship. The precise basis for the state's belief that Franks was involved in Erica's disappearance or that Franks had confided in Lewis about involvement in that crime is unclear because we do not have the grand jury testimony of the state's other witnesses.
{¶ 3} Franks died on December 30, 2001. The state subsequently sought to obtain testimony from Lewis before a grand jury about Franks' involvement in Baker's disappearance. A subpoena was issued and, at the state's request, the trial court found that the consent of Franks' surviving spouse to Lewis's testimony constituted a valid waiver of the attorney-client privilege. When Lewis was called before the grand jury, however, she still refused to testify on the ground that doing so would violate the attorney-client privilege. After the trial court repeatedly ordered Lewis to testify, it found her in contempt and ordered her to be held in the Montgomery County Jail. Lewis filed a notice of appeal, and we granted a stay of execution of the trial court's judgment pending appeal.
{¶ 4} Lewis raises one assignment of error.
{¶ 5} "THE TRIAL COURT ERRED, AS A MATTER OF LAW, WHEN IT ORDERED ATTORNEY LEWIS TO DISCLOSE CONFIDENTIAL ATTORNEY-CLIENT COMMUNICATIONS AND WHEN IT HELD HER IN CONTEMPT OF COURT FOR PROTECTING THOSE COMMUNICATIONS."
{¶ 6} The statutory provision at issue in the dispute about whether Lewis must testify is R.C.
{¶ 7} "The following persons shall not testify in certain respects:
{¶ 8} "(A) An attorney, concerning a communication made to the attorney by a client in that relation or the attorney's advice to a client, except that the attorney may testify by express consent of the client or, if the client is deceased, by the express consent of the surviving spouse or the executor or administrator of the estate of the deceased client and except that, if the client voluntarily testifies or is deemed by section
{¶ 9} In this case, it is the consent of Franks' surviving spouse that is at issue and, in the interest of simplicity, we will refer in our discussion only to the surviving spouse, rather than to "the surviving spouse or the executor or administrator of the estate of the deceased client."
{¶ 10} Lewis argues that the language "may testify * * * by the express consent of the surviving spouse" means that where the surviving spouse consents, the decision whether to testify is within the attorney's discretion. She contends that this language does not authorize a court to compel the attorney to testify. She also contends that the language at the end of R.C.
{¶ 11} After studying the statute closely, we conclude that the provision which states that the attorney may testify with the consent of the surviving spouse must be interpreted to mean that the attorney's testimony may be compelled under those circumstances. The statute provides that the attorney "may testify by express consent of the client or, if the client is deceased, by the express consent of the surviving spouse * * * of the deceased client[.]" This statute vests the attorney with no more discretion when the surviving spouse consents to the testimony than when the client himself or herself consents to the testimony. We can envision no situation, however, in which an attorney would have discretion not to testify if the client validly consented to such testimony. It is well settled that the privilege belongs to the client, not to the attorney. See Annotation (1959), 67 A.L.R.2d 1268, 1269. Therefore, where the client has consented, we believe that an attorney would have no choice but to testify about otherwise privileged communications if called upon to do so. There may be compelling policy reasons to differentiate between consent given by a client and consent given by a client's surviving spouse or representative. However, the language of the statute puts the consent of the client and the consent of the client's surviving spouse on equal footing and simply does not allow us to draw such a distinction.
{¶ 12} The supreme court has held that "a lawyer's duty `not to use or disclose confidential client information * * * is superseded when the law specifically requires such use or disclosure.'" (Citations omitted.) In re Original Grand Jury Investigation,
{¶ 13} Lewis also argues that the legislature's use of the language "the attorney may be compelled to testify" in the latter portion of R.C.
{¶ 14} Lewis also characterizes R.C.
{¶ 15} According to The New Wigmore: Evidentiary Privileges § 6.13.2 (2002), California Evidence Code §
{¶ 16} Lewis also contends that the trial court's decision, i.e., forcing her to testify, is contrary to public policy and to the common law attorney-client privilege. We note, however, that "public policy is best left to the legislative branch, where it was entrusted by our Constitution makers." State v. Babcock (1982),
{¶ 17} The question presented in this case is analogous to the question presented in State v. Smorgala, supra. In that case, the supreme court considered whether the courts should create a public policy limitation upon the statutorily created physician-patient privilege in a case involving drunk driving. The state wanted to obtain information about the driver's blood alcohol level, but it had not requested a blood alcohol test as authorized by R.C.
{¶ 18} Finally, Lewis emphasizes the fact that, in this case, there is compelling evidence that the surviving spouse did not effectuate the client's wishes in giving consent to the attorney's testimony. It is undisputed that during Franks' life, she had been unwilling to cooperate with the police or with the Baker family in providing information about Erica's fate or whereabouts, and there is nothing to suggest that Franks would have felt any differently about her attorney assisting in the investigation after her death. The legislature, however, in the statute that it drafted, did not provide for any weighing of the client's wishes. It could have done so, and if it had anticipated a situation in which a surviving spouse's consent would have clearly obviated the client's wishes, perhaps it would have drafted the statute differently. We note, however, that there are many competing interests at play in the protection of the attorney-client privilege. The attorney-client privilege promotes trust in the representational relationship, thereby facilitating the provision of legal services and ultimately the administration of justice. However, "an invocation of the attorney-client privilege should not go unexamined `when it is shown that the interests of the administration of justice can only be frustrated by [its] exercise.'"Swidler Berlin v. United States (1998),
{¶ 19} The assignment of error is overruled.
{¶ 20} The judgment of the trial court is affirmed.
BROGAN, J. and FAIN, J., concur.
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