*1 54,498 No. Collegiate Ath Berst, Dale Smith and The National
David Chip Marion W. Association, Honorable letic Petitioners, 7, 10th District man, Judge, Court Number District Judicial Birmingham Company, Kansas, and Court of Respon dents. 107)
(653 P.2d Opinion 1982. filed November Kitchin, McLareny, Swanson, Gangwere, Midgley, & H. Clarke James cause, Sailler, firm, City, Missouri, L. argued the and Daniel same Kansas Boyle, Payne Jones, Olathe, & were and Robert P. Anderson and Edward M. petitioners. with him for the D.C., Hostetler, cause, Levine, Washington, argued the Lee of Baker & firm, Martin, Moore, Alan P. Blinzler and Peter A. Elizabeth same Lombardi, Olathe, Blackwell, Sanders, Matheny, Weary were & with him for respondents. The of the court was delivered original May This mandamus action filed *2 Schroeder, C.J.: 21,1982, was on in by May heard court resulted May by our
announcement of decision filing opinion our v. Chipman, abbreviated in Berst 231 Kan. is supplemental P.2d 106 This formal by petitioners brought
thereto. The mandamus action was David Berst, Collegiate Dale Smith and the National Athletic Associa- (NCAA), tion in headquarters County, with office Kan- Johnson sas, seeking to set aside the order of the District Court of Johnson County denying petitioners’ protective pursu- motion for order 60-226(c). ant to precise presented K.S.A. The issue is whether the petitioners legal protecting have a interest in information ob- tained in the course of confidential investigations
in a libel action in the they State Alabama to which are not parties.
As by prior related the facts recited in the opinion, documents were sought to the petitioners by be discovered from the Bir- mingham Company Post in connection with its defense of a libel action in filed the Circuit Court County, of Madison Alabama. plaintiff action,
The E. Seal, Edward principal Butler Huntsville, High Alabama, School alleged that Bir- mingham Company published Post defamatory others state- ments in an article the Birmingham newspaper Post-Herald regarding investigations by newspaper and the NCAA into the high player, Bobby Hurt, recruitment of a school basketball Lee by the University Subsequently of Alabama. Hurt filed libel action against the connection with Birmingham alleged defamatory appearing newspaper. statements same The petitioners parties are not to either of the actions. foregoing in question documents were obtained the NCAA in the possible course its investigation violations of NCAA rules which during University occurred Hurt’s recruitment University Alabama. As a result of an article alleging Hurt, Alabama had recruited improperly appearing in the Bir- mingham prior Post-Herald to the article rise giving libel here, Smith, action involved the NCAA directed Dale a member staff, University of Alabama’s investigate conduct. Smith people interviewed several who had information relevant to the investigation, assuring NCAA’s them that the source and confidential. These he received was information
substance Seal, Seal, Hurt’s basketball Hurt, co-workers included sources Uni- other than the coach, from institutions collegiate coaches Hurt, and individuals also recruited other versity of Alabama who to the recruit- had relevant community who information later reduced writ- interviews was ment. The content of these NCAA’s placed which were ten Smith memoranda publication of to the investigation. confidential file on the Prior newspaper’s request the libel the article rise to giving investigation was the NCAA’s denied regarding for information obtained in policy that based on the NCAA’s of an is confidential. course petitioners of the file the nature protect To the confidential in the District Court protective order filed motion for discovery request. The newspaper’s County quash Johnson *3 overbroad, and indefi- request vague was petitioners the alleged totally irrelevant to nite; sought were many of the documents action; and disclosure of such confidential issue the libel persons who are rights on of infringe information would the NCAA had either from whom parties to the libel information, in the file related. or to whom information received petitioners’ An in a court denied the motion. hearing After full file was not conducted. The inspection camera the NCAA’s of court reasoned: by privileges of the created do not come within “4. The movants in this case that trial are claim and the Court holds courts statutes of this state. Plaintiffs Ip supervising scope discovery. course and
vested with broad discretion discretion, private weigh the proper the Court must interests exercise of this may public litigants obtaining against whatever exist in the information relationships. . . . maintaining confidential files is made Plaintiff’s that if the information contained its “6. contention powerless gain regarding public, information that then the NCAA will be rules, by importance outweighed alleged the defendants violations of may needing lead to evidence to relevant that admissible access to allegation that continue to of libel so defendants defend itself from exercise, fear, rights under the First Amendment the Constitution without their (Citations omitted.) of the United States.” decision, subpoenas were order- issued Following the court’s 21, depositions May on 1982. On appear for petitioners ing petitioners in 20,1982, by was filed for mandamus May petition Due protective order be issued. seeking this court an order involved, public arguments of the matter and urgency 21, After an in May conducting were heard this court on 1982. protec- NCAA’s file this issued a inspection
camera of the court 27, May Birmingham tive order on 1982. This order allowed only specified statements made Dale Company to discover employees Smith their fellow and other individ- litigants, uals, which were relevant to the libel action. This specifically decision was based on the considerations. following
At the
that the trial
outset we note
court
vested with broad
scope
supervising
discovery.
discretion
course
v. City
City,
Syl.
Vickers
Kansas
216 Kan.
To the NCAA’s of interest in high degree confidentiality their files and the preserving investigation sources, helpful identities of their it is understand the self- operates. NCAA policing system function of the and how this ap- voluntary composed Briefly, organization the NCAA is the United and universities proximately colleges throughout is to enforce primary One duties of NCAA States. admissions, aid, financial recruiting, regulations governing member aspects collegiate athletics at and academic standards institutions.
Investigations by possible the NCAA of rules infractions are pursuant to internal rules conducted in the strictest confidence investigators rely must on undisputed of the NCAA. It is Generally, of their confidential sources much information. inquiries investigator an comes across his during information investigation. NCAA’s confidential file on that placed in the files allega- one of the NCAA’s there be investigation and an speculation preferences, tions about individual’s sexual use, condition; capacity, drug mental and alcohol financial students, anonymous academic and memoranda records of letters telephone calls, which and internal memoranda of interviews impressions, speculations contain the mental investigator’s conclusions. possi-
Once NCAA verifies that a through occurred, is sent to ble infraction has a notice of allegations thought the institution to be in violation. The institution then attempts all principals ascertain relevant information involved, coaches, employees, including student-athletes being with much of this information obtained the institution secrecy. college university prepares under then pledge under response inquiry, to the NCAA which is also submitted promises confidentiality. All placed this information is NCAA’s file Further taken investigation. action NCAA’s on Infractions also reflected in the Committee file. Once a is made on the an infractions determination merits of case, completed, press and the case has been release is issued only any sanc- disclosing the NCAA the institution involved and imposed. tions All other remains confidential. been policy
The NCAA maintains that its has self-policing system central to of this in effect for the the success past years. strongly argues The NCAA loss of this confiden- tiality destroy system, will athletics to causing intercollegiate suffer. of the extent of interest and involvement Because national athletics, strong* NCAA asserts is a intercollegiate there *5 means which the NCAA can preserving area investigate supervise sports, and level which college outweighs petitioners’ obtaining the information Furthermore, defense in the sought for their libel action. potential
NCAA is concerned about harm persons to innocent not lawsuit, parties to the Alabama who either disclosed information contained in the file or about whom the information relates.
The subpoena duces NCAA, tecum served on the Smith and required Berst them depositions: to make available at their correspondence initiation, relating prosecution “[A]ll documents and to the any investigation by Collegiate results the National Athletic con- Association Hurt, Seal, Huntsville, cerning Bobby School, High Lee Edward Butler Alabama Bobby recruiting University or Lee Hurt of Alabama.” isIt file uncontroverted maintained the NCAA on its the University of Alabama’s conduct contains persons information possibly University about involved in the Hurt, Alabama’s recruitment of per- including about way Hurt, sons no connected with litigants Seal or or the newspaper’s the libel action. defense of A key limitation on litigant’s right to discover material held in
the hands of another is that the information must be sought 60-226(b) relevant to the issues of the lawsuit. provides K.S.A.
pertinent part:
matter,
discovery
regarding
“Parties
privileged,
obtain
not
which is
subject
pending
relevantto the
matter
involved
whether it relates to
party seeking discovery
the claim or
defense
to the
claim or defense of
party
ground
objection
other
....
It is not
that the information
sought
sought appears reasonably
will be inadmissible at trial if the information
discovery
added.)
(Emphasis
calculated to lead to the
of admissible evidence.”
Carlyle,
(1979),
Gleichenhaus
Kan.
L.Ed.2d
annoyance,
or undue
burden
26(c).
hand,
authority
judges
hesitate
With this
should not
Fed. Rule Civ. Proc.
discovery process.”
appropriate
over the
to exercise
control
Gleichenhaus,
In the libel action the raised the affirmative defense story complained and statements of are true.” that “the news Thus, in the article appearing giving the truth of statements Information given to the action is central issue. rise libel by specifically written memoranda him Smith and reduced to subject matter of the article concerning litigants and primary and clearly newspaper’s were relevant to defense could have led to other evidence. out,
However, petitioners point many as con- documents totally irrelevant to tained in the NCAA’s file are issue only into the the NCAA’s pertaining libel conduct, any way University relating of Alabama’s These latter litigants or the issues involved action. not fall within the ambit of discoverable documents therefore do 60-226(b) have been excluded evidence under and should limiting discovery in an order trial court. failing erred in to conduct
For this reason the trial court to determine which docu- inspection camera NCAA’s file An in camera ments were not relevant and thus not discoverable. proceeding and useful to ensure inspection appropriate is an petitioner’s claim of properly struck between balance plaintiff’s for the docu- need privilege, irrelevance and Court, 426 District U.S. ments. See Kerr United States (1976), 405-06, 725, 96 and cases cited S.Ct. L.Ed.2d (5th therein; 1107, 1112 Cir. 654 F.2d Application Eisenberg, production of confidential rec- 1981). aWhen trial court orders availability and use of documents ords, duty limit the it has Jepsen See Florida carefully protective provisions. drawn (5th Cir. We believe 610 F.2d Regents, Bd. of confidentiality or irrelevance is raised a claim privilege, when inspection an in camera duty has a to conduct the court documents, only the relevant permit separate unnecessary and disclosure thereby damaging protecting against material. of irrelevant confidential file which are relevant to in the NCAA’s
As to documents whether, action, a must be made as the libel determination petitioners maintaining the interest argue, the interest and need of the Bir outweighs
of the NCAA’s file *7 Company Although to discover these documents. mingham by the protective for a order was denied petitioners’ motion within part court in because the movants “do come district of this state” we any by of the created the statutes privileges necessary a in order to privilege the existence of is not recognize supervisory discovery. limit This is done under court’s 60-226. powers discovery pursuant over to K.S.A. Richards of 388, (N.D. Elec., 71 F.R.D. 389 Inc. v. Gas & Rockford, Pacific Graham, 1976); Federal Practice and Procedure: Wright Cal. 23 & (1980). 5431, p. Evidence 823 § 60-226(c) pertinent part: provides
K.S.A. party person Upon “Protective orders. motion a or from whom shown, discovery sought, good in which the action is is cause the court for deposition, relating pending alternatively, a the court or on matters to may justice make order which deposition is to be taken district where the embarrassment, oppression, protect person annoyance, requires party to a or following: expense, including burden or one or more or undue into, scope inquired “(4) that the of the be or that certain matters not (Emphasis added.) limited to certain matters.” be in material sought interests parties conflicting Where the have discovered, power of the court be protective be and the court must balance party provision, under this information with the obtaining requested litigant’s in main- interest, public interest party’s as well as the resisting Smith, See Zerilli v. the material. taining 1981); Keyes Rhyne v. Lenoir (D.C. Cir. F.2d 712 656 1977); Gray v. (4th Cir. Board 552 F.2d 581 College, York, (S.D.N.Y. 90-91 Ed., F.R.D. New City Higher Elec., v. Gas & Inc. Rockford, Richards 1981); Pacific Laboratories, Inc., 66 F.R.D. v. McNeil 389; Apicella F.R.D. at Miller, 547, 555, In Alseike v. 196 Kan. (E.D.N.Y. 78, 82 provisions (1966), of K.S.A. discussing while 412 P.2d 60-226(c), we 60-230(h) (Corrick) which since become stated: as, appear, [60-230(6)] significant countervailing if considerations such “Under qualified example, privilege as therein something in the of a mentioned
for
nature
power
(to
protective
distinguished
privilege),
from testimonial
be
interests,
competing
play
a fair
of the
brought
to strike
balance
court
prevent annoyance,
expense,
power may
undue
embar-
such
also be used
oppression.”
rassment
herein it must be rec-
the interests involved
balancing
parties
great
involved in the lawsuit have a
ognized
an
pertinent
oft-quoted
all
facts. It is
doctrine
the revelation of
evidence;
is a
every
man’s
there
right
that the
has
capable
of and
duty
what information one
general
give
derogation
positive
exemptions
exceptional, being
are
2192, p.
Evidence
general
(McNaughton
rule. 8
Wigmore
§
Bryan,
1961);
U.S.
94 L.Ed.
United States
rev.
Alseike
this court noted in
Accordingly,
189
with the need for
include
degree
disclosure
of harm that
be
type
controversy
would
caused
disclosure and the
before
Smith,
713-14;
Gray
court. See Zerilli v.
656 F.2d at
v. Board
Ed., City
York,
Also,
New
Wigmore identified four fundamental necessary conditions qualified establish a privilege against disclosure of confidential communications: “(1) originate they The in a communications must that will not be confidence disclosed. “(2) satisfactory This element of must be essential to the full and parties. maintenance of the relation between the “(3) community The must ought relation be one which in the sedulously fostered. “(4) injury inure would to the relation the disclosure of the greater thereby gained communications must be than the for the correct benefit disposal litigation.” Wigmore p. (McNaughton on Evidence § rev. 1961). (Emphasis original.)
Applying principles, these number of recent decisions have communications, refused to order the disclosure of confidential based either on the of a finding qualified privilege pursuant supervisory powers 26(c). court’s under Fed. R. Civ. P. A brief purpose overview of these cases for the illustration war- ranted.
The failure to exhaust available alternative sources of informa- tion was the compel determinative factor in the refusal to dis- covery confidential material in several cases. Zerilli See v.
Smith, 656
(nonparty reporter’s
F.2d
714-15
source sought in
an action
under the
brought
Privacy Act
Fourth Amend-
ment); Apicella
Inc.,
Laboratories,
McNeil
A public second interest in maintaining confi- 190 has been held reports inquiries,
dentiality types of of certain example, For discovery in several decisions. deny sufficient improve in the continued public interest” “overwhelming outweigh the has been deemed sufficient to hospital of care ment reports. See hospital evaluation discovery of need for confidential (minutes Inc., F.R.D. at 250-51 Hospital, 50 v. Doctors Bredice discoverable); committee not medical staff review reports hospital 316, States, 53 F.R.D. 318-19 v. United man Gill patient suicide (S.D.N.Y. 1971) (report hospital inquiry testimony personnel taken however, hospital discoverable; discoverable). was See also inquiry regarding suicide board Graham, Evidence Practice and Procedure: Federal Wright & 5431, 835-40 pp. § prepared businesses
Similarly, reports self-evaluation under Title VII have development programs action of affirmative reports foster an discovery because such protected been in frank evaluations conducive to interest important government v. Com- Lockheed-Georgia law. See Banks compliance with the 1971); Chrysler v. 283, (N.D. Ga. O’Connor 53 F.R.D. pany, 211, (D. Mack 1980); McClain v. 86 F.R.D. 218 Mass. Corp., (E.D. 1979). See also 23 Trucks, Inc., 85 Pa. F.R.D. 58-59 Graham, and Procedure: Evidence Federal Practice Wright & 5431, p. (1981 Supp.). § files personnel nondisclosure of public welfare served
The
outweigh
also
held to
the interest
has
been
public employees
Court,
App.
204 Cal.
2d
discovery.
Superior
Council v.
City
See
(1962);
Rptr.
Publishing
21 Cal.
Wisher News-Press
(Fla.
App.
Dist. Ct.
See also Evans
Co., 310 So. 2d
States, 446 F.2d
Transportation
United
Department
pilot’s
airline
(5th
1971) (identity
person questioning
Cir.
public safety
as
would be
held not discoverable
mental health
not call attention to certain
seriously jeopardized
people
if
could
Administration, which is
to Federal Aviation
facts
confidence
pilots).
health of
investigating
entrusted with
relationships
confidential
maintaining
outweighed
and their sources
between academic researchers
request in Richards
plaintiff’s
satisfying
Inc.,
court held a
71 F.R.D.
where the
Rockford,
not be
in a
action could
nonparty deponent
breach
contract
inter-
concerning confidential
compelled
produce
documents
*10
Wright
&
employees
views with
of the defendant. See also
Graham,
Evidence
Federal Practice and Procedure:
§
in
freedom has also been
The societal value
academic
faculty
of confidential
outweigh
found sufficient to
disclosure
Ed., City
v.
reports.
Gray
Higher
tenure evaluation
See
Board of
York,
92-94;
at
v.
Univer-
McKillop Regents
New
92 F.R.D.
v.
Keyes
See also
sity
Supp.
386 F.
at 1275-78.
California,
Rhyne
Lenoir
at v. 83 F.R.D. Pa. Magovern, Robinson Ass’n., 161, 164 (S.D.N.Y. Benev. 72 F.R.D. Wright Patrolmen’s particularly This is true in a libel where informa a claim raised. tion held another be crucial to or defense Hume, 636-37; Torre, at Carey v. 492 F.2d at Garland v. 259 F.2d Garland, 551. In Garland an action Judy brought against actress defamatory ap statements Broadcasting System Columbia for had by respondent allegedly in an article Torre which pearing by a executive. Torre refused to disclose been made CBS network source, and that it her the information was confidential claiming The protected by privilege. was a First Amendment newsmen’s information was held to be discoverable because the information claim,” and therefore plaintiff’s “went to the heart of the First Amendment involved. 259 F.2d outweighed the concerns 550. interest to confidentiality cases holdings finding two involved particularly are relevant to situation outweighed Ass’n, 72 F.R.D.
here. In v. Patrolmen’s Benev. Wright nonparty City New York Bar Asso- information gathered went the central issue ciation was discoverable because it lawsuit, protests preserving despite the Association’s its function of the information was essential to judicial reporting concerning on matters investigating “powerful system. Similarly, there was although because of confidentiality” hospital proceedings for review care, the court important improving state interest in health plaintiff’s need 83 F.R.D. at held Robinson Magovern, disclosure of the information required relevant evidence very it essence of the issue case. sought where went a conflict presents highly We this case between recognize valued On the hand there is confi- interests. one prevent persons embarrassment to who have dentiality, both to pledges secrecy disclosing relied information to the relate, in the file and to NCAA about whom information promote supervision interest in the of intercollegiate *11 in area and retain a clear line prevent corruption athletics to professional sports. college of demarcation between athletics and relevant of all facts the is the interest in disclosure On other hand which will con- in libel action respondent’s the defense the in that case. of the issues a full fair determination tribute to and must compromise solution presents a situation where a This case sufficiently the interests both will serve be reached which parties. necessary respon- the protect liability it was for
To itself acquire sup- information to Company Birmingham dent published newspaper the port its claim that the statements investigation Because of its Seal and Hurt were true. concerning the NCAA had obtained information the recruitment of Hurt into in activities. Hurt and Seal various the involvement both about respondent gather the on possible it have been While which was litigants its own the same information about newspaper investigation, through obtained NCAA who, if expedition” to discover “fishing have had to go reported which were in the anyone, knowledge had of the events also had a limited respondent article. The alleged libelous depose an and amount time in which to conduct information, as a trial was scheduled persons with relevant those 16, 1982, approximately three August in the action for libel motion was made the trial court. months after this per- contained in the NCAA’s file which Of the information action, we subject and the matter of the libel litigants tained to the comments statements and required the disclosure oral from Butler employees High and fellow litigants, employers their School, by telephone to Dale Smith person made in or typed signature bearing memoranda reduced to written directly relating These memoranda contain information Smith. falsity lawsuit, or that of truth a central issue in the Alabama reported subject publications. of the cases emphasize strong cited above that even interest in confiden- tiality sought goes is when the information outweighed very essence, “heart,” of the issues the case. This presented Therefore, situation here. while we the in- recognize in preserving terest the confidential nature of these memoranda substantial, it way must to assure all facts will be give available for a fair determination the issues the libel action.
We think the result fair reached here is to the interests of both parties, degree protective each relief. A affording some order specifically documents we enumerating those found to be dis- Supreme coverable was filed with the Clerk Court of May Kansas on our original when abbre- viated form was filed our announcing limiting discovery decision entering judgment petitioners. for the
Herd, J., When I dissenting: weigh conflicting interests discovered, the material to be I come down on the side public protecting interest. The has overwhelming interest in fostering supporting the self-regulation engaged colleges and under auspices universities of the NCAA. injected large money Television has college such amount of *12 programs temptation athletic cheat recuitment of athletes overwhelming. the absence of NCAA and sanc- regulations tions, the so-called “athlete consisting factories” twenty thirty major talent, all universities would outbid others for then pay for it with exposure. television Such would ring death presently knell of as I college athletics constituted. consider the present system maintaining. accomplished worth This can be only sanctions, through regulation, either NCAA government. or the power,
Since the NCAA subpoena investiga- does complaints upon confidentiality. tion of dependent pledge majority successfully technique removes will NCAA ultimately regulation eliminate or force it to obtain subpoena power. I prefer self-regulation options, to other there- fore I dissent.
Fromme, J., dissenting.
