[EDITORS' NOTE: THIS PAGE CONTAINS HEADNOTES. HEADNOTES ARE NOT AN OFFICIAL PRODUCT OF THE COURT, THEREFORE THEY ARE NOT DISPLAYED.] *Page 1541 OPINION
We are called upon in this case to balance competing interests. On one side of the scale is a plaintiff's right to pursue a sexual harassment lawsuit uninhibited by concerns that her former employer will retaliate against other employees who are willing to help prove her case. On the other side is the employer's right to discover the identity of a presently unnamed person who stole evidence related to the plaintiff's lawsuit from the employer's files and gave it to the plaintiff. We hold that the plaintiff, to tip the scales in her favor, must present some evidence (not mere speculation) that her fear of retaliation is justified. In this case, the plaintiff's failure to present any proof at all compels a decision in favor of the employer.1 FACTS Kimberly Gonzalez worked for the City of San Fernando Police Department as a radio dispatcher. After she left, she sued the City, its chief of police and others employed by its police department, alleging sexual harassment.
According to the complaint, the "harassment arose out of the display . . . in the men's locker room of the police station of photographs of a semi-nude woman. . . ." The woman in the photographs bore a "striking resemblance to" Gonzalez and an officer asked Gonzalez why photographs of her were hanging in the men's locker room. Several days later, other officers commented to Gonzalez about the pictures and about the woman's resemblance to her.
Gonzalez asked the officers to get the pictures for her. They declined but a few days later she was told the photographs had been removed. "Some time after the photographs were taken down, [Gonzalez] received an envelope containing the two pictures." Gonzalez then filed a complaint with the Department of Fair Employment and Housing and notified her employer. No response was forthcoming, she alleges — no investigation was conducted and no one was disciplined. Instead, she was questioned about the identity of the person who had given her the photographs and complaints were lodged *Page 1543 about her refusal to provide the requested information. Ultimately, she was given "an incomplete and adverse performance evaluation" because she refused to identify the person who gave her the photographs.2 When Gonzalez challenged the evaluation, she was again questioned about the identity of her assistant and, again, threatened with disciplinary action if she did not reveal his identity. "Ultimately, she was compelled to leave her job on a stress disability when the department began to construct an effort to terminate and/or discipline her for failure to do her job properly."
Based on these allegations, Gonzalez sought general, special and punitive damages for sexual harassment in violation of various constitutional and statutory provisions and for the intentional infliction of emotional distress. Defendants answered the complaint and thereafter served Gonzalez with interrogatories which asked, among other things, for the identity of the assistant who handed her "`an envelope containing the two photographs' as alleged" in her complaint. Gonzalez objected and refused to answer this interrogatory on the grounds that it sought "information which is privileged under the California Constitution, Article I, sec[tion] 1 (privacy), that the disclosure of such information would be contrary to the public policy of this state in that it would lead to retaliation for the disclosure of unlawful discrimination and that the information is not likely to lead to the discovery [of] relevant evidence, is cumulative and not necessary to the resolution of this case."
Defendants moved to compel an answer, explaining that the interrogatory properly sought the identity of a person who had knowledge of the facts giving rise to Gonzalez's claims and that Gonzalez's apparent concern that the other person might "be retaliated against" was pure speculation. Gonzalez opposed the motion and asked the trial court to protect the identity of her assistant for the same reasons stated in her objection to the interrogatory. In support of her opposition, Gonzalez submitted a memorandum (which she had obtained through her own discovery efforts) from the patrol commander to the chief of police (the contents of which are undisputed). As pertinent, the memo states: *Page 1544
"On Monday, January 18, 1993, Desk Officer Kimberly Gonzalez was given a direct order by myself to answer a question relevant to an investigation concerning a theft that had occurred from a file cabinet assigned to Sergeant David Harvey. . . . At the time Gonzalez did not want to answer the question and asked for time to seek legal assistance before answering the question. I gave Gonzalez until . . . today [January 22] to respond to the question or be subject to disciplinary action for failing to obey an order.
"[Today,] Gonzalez came into my office and [said] she wanted to tape record the conversation. While she was getting a tape recorder, I also got a tape recorder and recorded the conversation. [¶] . . . I summarized what had led to this point, and again told her that I was giving her an order to answer the question, `Who took the photographs from Sergeant Dave Harvey's file cabinet and gave these photographs to you?'
"Gonzalez replied, `The answer's the same. I'm not going to tell you who gave them to me.' . . .
"I asked her if she understood that she was refusing to obey an order, and she said, `I understand perfectly.' . . .
"CONCLUSION
"In the course of [a] conversation with . . . Gonzalez . . . I became aware that she had photographs that had been taken from the file cabinet assigned to Sergeant David Harvey in the Watch Commander's office; further, that Gonzalez knew who had taken the photographs from the file cabinet and who gave the photographs to her. . . ."The sergeants assigned to the Patrol Division share a common office, the Watch Commander's Office, with each sergeant having a file cabinet assigned for the purpose of maintaining their correspondence necessary to perform their job. In this instance, a supervisor had gone into the file cabinet of another supervisor and, in effect, stole evidence.[3] Not only did a theft occur, but the sergeant violated a basic trust that must exist among the sergeants that share the office. This is intolerable behavior. Gonzalez has direct knowledge of this act.
"San Fernando Police Department Manual of Policies and Procedures Section 10020.35, Compliance with Lawful Orders, states, [¶] The Department has [a] clearly defined hierarchy of authority. An officer must not *Page 1545 question a superior's command. Such obedience is necessary for the safe and expeditious performance of law enforcement operations. The most desirable methods of obtaining compliance are recognition, reward, and positive encouragement; however, discipline may be imposed where orders, commands or directives are disregarded.
"Because she failed to obey an order, she is in violation of San Fernando Manual of Policies and Procedures Section 2-430.25, Legitimate Reasons for Disciplinary Action, subsection b) Failure to obey any order or directive, and Section 2-430.25, subsection gg) Failure to comply with all rules and regulations, general and specific orders, policies and procedures of the Department, written or verbal orders of a superior.
"RECOMMENDATION
"That Desk Officer Kimberly Gonzalez be disciplined for violation of section 2-430.25, subsections b) and gg)."Gonzalez's opposition papers were not, however, supported by a declaration from her or from her assistant or anyone else (other than her attorney, whose declaration did no more than authenticate the memorandum quoted above) and there is no explanation for the basis of her concern about retaliation against her assistant if his identity is disclosed.
The trial court granted defendants' motion and ordered Gonzalez to answer the interrogatory. These writ proceedings followed.
DISCUSSION Gonzalez claims she should not be required to disclose the identity of her assistant because his privacy as a "whistleblower" must be protected and because California's public policy against sexual harassment in the workplace overrides defendants' right to discover the informant's identity. For several reasons, we disagree.4 *Page 1546 A. "Unless otherwise limited by order of the court in accordance with [the discovery statutes], any party may obtain discovery regarding any matter, not privileged, that is relevant to the subject matter involved in the pending action . . . if the matter either is itself admissible in evidence or appears reasonably calculated to lead to the discovery of admissible evidence. Discovery may relate to the claim or defense of the party seeking discovery or of any other party to the action. Discovery may be obtained of the identity and location of persons having knowledge of any discoverable matter. . . ." (Code Civ. Proc., § 2017, subd. (a); see also Smith v. Superior Court (1961)189 Cal.App.2d 6, 11-12 [11 Cal.Rptr. 165, 88 A.L.R.2d 650].)
B. We begin, therefore, with relevancy. (1) For discovery purposes, information is relevant if it "might reasonably assist a party in evaluating the case, preparing for trial, orfacilitating settlement. . . ." (Weil Brown, Cal. Practice Guide: Civil Procedure Before Trial (The Rutter Group 1994) Discovery, ¶ 8:66.1, p. 8C-1.) Admissibility is not the test and information, unless privileged, is discoverable if it might reasonably lead to admissible evidence. (Davies v. SuperiorCourt (1984) 36 Cal.3d 291, 301 [204 Cal.Rptr. 154,682 P.2d 349].) These rules are applied liberally in favor of discovery (Colonial Life Accident Ins. Co. v. Superior Court (1982)31 Cal.3d 785, 790 [183 Cal.Rptr. 810, 647 P.2d 86]), and (contrary to popular belief), fishing expeditions are permissible in some cases. (Greyhound Corp. v. Superior Court (1961) 56 Cal.2d 355, 385 [15 Cal.Rptr. 90, 364 P.2d 266] [although fishing may be improper or abused in some cases, that "is not of itself an indictment of the fishing expedition perse"].) More specifically, the identity of witnesses must be disclosed if the witness has "knowledge of any discoverable matter," including fact, opinion and any information regarding the credibility of a witness (including bias and other grounds for impeachment). (Code Civ. Proc., § 2017, subd. (a); Weil Brown, Cal. Practice Guide: Civil Procedure Before Trial,supra, ¶¶ 8:82-8:83, pp. 8C to 4-5.)
(2a) On the record before us, the relevancy of the assistant's identity is clear. First, the "assistant" may not exist at all — Gonzalez may have invented him so she would not have to admit that she took the photographs *Page 1547 from Sergeant Harvey's file. Second, although defendants are assuming the assistant is not only an employee but, more specifically, a supervisor, we have no evidence one way or the other. If Gonzalez arranged for an outsider to have access to defendants' files, defendants are entitled to know who it was. Third, the assistant is the only person (other than Gonzalez) who can say whether it was his idea to take the photographs from Detective Harvey's file or whether Gonzalez put him up to it. At a minimum, this information is relevant to Gonzalez's credibility.5
Moreover, if she establishes sexual harassment, evidence of Gonzalez's misconduct (by her own theft or by encouraging her assistant's theft) would be admissible to limit the kind and quantity of damages recoverable in this action. (McKennon v.Nashville Banner Pub. Co. (1995) 513 U.S. ___ [130 L.Ed.2d 852, 115 S.Ct. 879] [although an employee's wrongdoing will not bar her action when her suit "serves important public purposes," her wrongdoing does bear on the specific remedy to be ordered and the amount of damages she may recover]; on damages in sexual harassment actions generally, see Commodore Home Systems, Inc. v. Superior Court (1982) 32 Cal.3d 211, 215, 221 [185 Cal.Rptr. 270,649 P.2d 912]; Kelly-Zurian v. Wohl Shoe Co. (1994)22 Cal.App.4th 397, 409-410 [27 Cal.Rptr.2d 457]; Bihun v. ATTInformation Systems, Inc. (1993) 13 Cal.App.4th 976, 995-997 [16 Cal.Rptr.2d 787], disapproved on another point in Lakin v.Watkins Associated Industries (1993) 6 Cal.4th 644, 664 [25 Cal.Rptr.2d 109, 863 P.2d 179].)
C. No recognized privilege applies to this case. (3) As used in Code of Civil Procedure section 2017, subdivision (a), "privileged" means the constitutional and statutory privileges (self-incrimination [Evid. Code, § 940], attorney-client [id., § 950 et seq.], spousal communication [id., § 980], doctor-patient [id., §§ 990 et seq., 1010 et seq.], clergyman-penitent (id., § 1030 et seq.), sexual assault victim-counselor [id., § 1035 et seq.], and official information [id., § 1040]) and the "qualified privileges" for such things as trade secrets (id., § 1060 et seq.), police personnel files (id., § 1043) and tax returns (Webb v.Standard Oil Co. (1957) 49 Cal.2d 509 [319 P.2d 621]), none of which apply in this situation.
(2b) The result is the same if we treat Gonzalez's assistant as a "whistleblower" — because there is no such thing as a "whistleblower's privilege." *Page 1548 When confidentiality is provided to a whistleblower, it is not on the basis of a privacy privilege but rather as a matter of public policy, usually according to standards best described as an undefined conditional privilege. (See e.g., John Z. v.Superior Court, supra, 1 Cal.App.4th 789 [relying on Code Civ. Proc., § 2025, subd. (i), which authorizes a protective order to prevent unwarranted embarrassment or oppression of a deponent];U.S. v. Garde (D.D.C. 1987) 673 F. Supp. 604, 606 [relying on the First Amendment's protection of associational rights to protect the identity of whistleblowers]; see also AlyeskaPipeline Service Co. v. U.S.E.P.A. (1988) 856 F.2d 309, 311-313 [272 App.D.C. 355] [applying a similar analysis to documents used in an investigation].)6 In our case, the assistant's identity is protected, if at all, as a matter of public policy.
D. (4) Where there is a prima facie showing of relevance, the party opposing disclosure on the basis of a conditional privilege has the burden to establish the preliminary facts essential to the claim of privilege. (Cf. Bridgestone/Firestone, Inc. v.Superior Court (1992) 7 Cal.App.4th 1384, 1391 [9 Cal.Rptr.2d 709] [a party relying on the qualified privilege afforded to trade secrets who refuses to respond to a discovery request must establish the existence of a trade secret and his ownership thereof, at which point the burden shifts to the party seeking disclosure to show why the information is necessary to a fair resolution of the lawsuit].)
Gonzalez's reliance on Britt v. Superior Court, supra, 20 Cal. 3d at page 859, is misplaced. In Britt, where the defendant's right to discovery of the plaintiffs' political affiliations turned on an implied waiver of the plaintiffs' "constitutional right of associational privacy," the court imposed upon the defendant the burden to show the information sought was "directly relevant" to the case. (Ibid.) In our case, we are not dealing with a constitutional right to privacy. And, of course, in Britt the question itself demonstrated the existence of the right to privacy. Stated differently, to ask for a party's political affiliation is, necessarily, to implicate that party's First Amendment associational rights.
But where, as here, the question calls for information which may or may not be privileged, the party asserting the privilege must establish its application before the interrogator is required to show more than basic discovery *Page 1549 relevance. (See Alpha Beta Co. v. Superior Court (1984)157 Cal.App.3d 818, 824-825 [203 Cal.Rptr. 752] [party claiming the attorney-client privilege must prove the attorney-client relationship existed at the time the requested information was communicated and, only after that showing is made, does the burden shift to the other party to show waiver or some other exception]; see also Brotsky v. State Bar (1962) 57 Cal.2d 287, 302-303 [19 Cal.Rptr. 153, 368 P.2d 697, 94 A.L.R.2d 1310] [when discovery is sought of confidential files, "a declaration that public interest would suffer by disclosure is of no avail when [the] prerequisite [that the particular communication was made in confidence] does not exist[, and s]ince the claim of privilege is an affirmative objection to a request for material otherwise discoverable, the burden of proving the same is on the party making that claim"].)
(2c) Gonzalez, of course, offered no evidence at all to support her claim of privilege. Instead, she simply argues that, because Defendants took disciplinary action against her, we must assume they will retaliate against her assistant because he helped her by giving her the photographs. She conveniently ignores the fact that she has presented no evidence at all to establish her assistant's status (as noted, we do not know if he is a coworker), nor does she ever say what sort of retaliation she fears. There is not even any evidence that the photographs were given to her in confidence, with the expectation that the assistant's identity would not be disclosed. (Cf. Evid. Code, § 1041, subds. (b), (c).) The most that can be said based upon evidence (rather than mere speculation) is that, at about the same time Gonzalez began making complaints about sexual harassment but before she filed suit, defendants asked her for information about a theft from a police department file. She refused to answer, discipline was recommended and she was "compelled" to quit because of stress.
It does not help Gonzalez if we assume her assistant is a former coworker still employed by defendants, because her arguments fail to distinguish between (a) defendants' recognized legitimate interests in protecting themselves from a dishonest employee and (b) the possibility of their improper retaliatory discipline or discharge of the same employee. We are not the first ones to note this distinction. As the United States Supreme Court recently explained in McKennon v. Nashville Banner Pub.Co., supra, 513 U.S. ___ [130 L.Ed.2d 852, 862, 115 S.Ct. 879, 886], ". . . we must recognize the duality between the legitimate interests of the employer and the important claims of the employee" and "take due account of the lawful prerogatives of the employer in the usual course of its business and the corresponding equities that it has arising from the employee's wrongdoing. [¶] . . . Once an employer learns about employee wrongdoing that would lead to a legitimate discharge, we cannot require the employer to ignore the information. . . ." *Page 1550 (5) Indeed, even where a statute protects a whistleblower from retaliation (e.g., title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq., and the Age Discrimination in Employment Act, 29 U.S.C. § 621 et seq.), the employee's action in opposition to discrimination "must be lawful and reasonable. For example, employers may discipline or discharge an employee who copies the employer's confidential documents even though the copies are to be used in opposing the employer's discriminatory practices. Employees' statutory rights to oppose discrimination are not to be construed as a general license to be insubordinate." (Malin, Protecting the Whistleblower FromRetaliatory Discharge (1982) 16 U. Mich. J.L. Ref. 277, 292-295, citing Silver v. KCA, Inc. (9th Cir. 1978) 586 F.2d 138 [employer may fire an employee who forced a coworker to apologize to another employee for a racial slur]; Jefferies v. HarrisCty. Community Action Ass'n (5th Cir. 1980) 615 F.2d 1025;Green v. McDonnell Douglas Corporation (8th Cir. 1972)463 F.2d 337, vacated on other grounds, 411 U.S. 792 [36 L.Ed.2d 668, 93 S.Ct. 1817]; King v. Illinois Bell Tel. Co. (N.D.Ill. 1978) 476 F. Supp. 495; Monteiro v. Poole Silver Co. (1st Cir. 1980) 615 F.2d 4.)
Instead of addressing these issues, Gonzalez attempts to sidestep her failure of proof by contending the strong public policies opposing sexual harassment in the workplace and protecting whistleblowers, without more, support her refusal to disclose the name of her assistant. We disagree.
1. Gonzalez's generalities are beyond dispute.7 (6) It is true, as she points out, that California has a strong public policy against sexual harassment. (Rojo v. Kliger (1990)52 Cal.3d 65, 90 [276 Cal.Rptr. 130, 801 P.2d 373]; Gov. Code, § 12920 et seq.) In some situations, it is also true, as Gonzalez claims, that it is against public policy for an employer to retaliate against an employee for lending assistance to a coworker's efforts to stop sexual harassment. (Gantt v. SentryInsurance (1992) 1 Cal.4th 1083, 1096 [4 Cal.Rptr.2d 874,824 P.2d 680] [it is against public policy for an employer to constructively discharge an employee in retaliation for his refusal to testify untruthfully in favor of the employer in proceedings involving a coworker's sexual harassment claim because this is, in effect, a discharge based upon the employee's refusal to commit a criminal act to further the employer's interests]; Flait v. North American Watch Corp. (1992)3 Cal.App.4th 467, 477 [4 Cal.Rptr.2d 522] [an employer may not fire an employee because he opposed discrimination against a fellow employee, even if he was mistaken and there was no discrimination].) *Page 1551 2d These cases do not support Gonzalez's claim. Assuming the existence of sexual harassment, no case has ever held that a plaintiff who sues her former employer to vindicate public policy has a right to keep confidential the identity of a coworker (or anyone else) who, by theft from the employer, provides information to the plaintiff.8 In Gantt, the employer constructively discharged the plaintiff after he refused the employer's request to change his testimony at a hearing involving a coworker's claim of sexual harassment. (Gantt v. SentryInsurance, supra, 1 Cal.4th at p. 1088.) In Flait, the employer discharged the plaintiff after he attempted to stop one subordinate from sexually harassing another subordinate. (Flait v. North American Watch Corp., supra, 3 Cal.App.4th at p. 472.) These cases do not involve illegal conduct or the violation of rules and regulations by the employees who came to the aid of their colleagues. And, of course, there is no issue in either case about the identity of the coworker.
2. Gonzalez's reliance on John Z. v. Superior Court, supra,1 Cal.App.4th 789, is misplaced. In John Z., an informant told Pacific Gas and Electric Company that some of its contractors were receiving payment for services not actually performed. The informant had no direct proof of his allegations but PGE conducted an investigation, confirmed the tip and then sued the contractors for fraud. (Id. at p. 791.) During discovery, the contractors learned about the informant and asked for his identity. PGE refused to answer. On the motion of one of the contractors, the trial court ordered disclosure. The Court of Appeal disagreed and, on the facts of that case, protected the informant's identity.
Without reference to any privilege or public policy, Division Three of the First District relied on the general authority of the trial court "to protect [a witness] from `unwarranted annoyance, embarrassment, or oppression.'" (John Z. v.Superior Court, supra, 1 Cal.App.4th at p. 791.)9 After noting that the informant had filed a sealed declaration describing the threat to his life, the court went on: "This authority necessarily includes the authority to *Page 1552 protect the identity of an informant whose safety would bejeopardized by disclosure. But the informant's interests must be balanced against the litigant's need for the information. Thus, the question before us is whether the court abused its discretion when it impliedly found that [the contractor's] showing of [his] need to know [the] informant's identity outweighed [the] informant's showing of danger from disclosure. . . .
"In a sealed . . . brief, [the contractor] presents his reasons for disclosure of [the] informant's identity. Briefly, [the contractor] suggests that [the] informant may know something negative about PGE, such as that it failed to fully mitigate damage or that it expressed a desire to put one or more of the contractors out of business. . . . [The i]nformant might have evidence to support the libel allegations in [the contractor's] cross-complaint, or [the contractor's] action for breach of the covenant of good faith and fair dealing. [¶] We . . . find [the contractor's reasons] far from compelling. . . . [Thecontractor] merely seeks a short cut through normal discoveryprocedures. Had PGE investigated without a tip or had [the]informant presented his/her tip anonymously, [the contractor]would be no worse off than he is now. He has no compelling need to learn who blew the whistle.
"[The i]nformant presented a four-page declaration recitingthe threat he/she received from one of the contractors andhis/her reason for treating the threat as serious. The court's memorandum of decision gave reasons for finding that the declaration did not make the prerequisite showing of good cause for a protective order [but t]he court did not find that the threat was not made or was inherently unbelievable. Rather, the court merely discounted the seriousness of the danger. [¶] The factors mentioned by the court, which do undercut somewhat the danger, might have tipped the balance for disclosure had [the contractor] presented a compelling reason for disclosure. But with [the contractor's] meager showing, the court abused its discretion in failing to protect [the] informant from the danger inherent in disclosing his/her identity. The danger, though somewhat speculative, was based on a communicated threat which was taken seriously by its recipient. The court was in no position to totally discount it. . . ." (John Z. v. SuperiorCourt, supra, 1 Cal.App.4th at pp. 791-792, italics added.)
There are three significant differences between John Z. and our case. First, the informant in John Z. was a traditional whistleblower — he notified PGE that some of its contractors were being paid for work they had not performed. As we have explained, Gonzalez's assistant was not a whistleblower.Second, there is not a hint that the informant in John Z. was guilty of *Page 1553 any wrongdoing of any kind. In our case, it is undisputed that Gonzalez's assistant stole the photographs from Sergeant Harvey's file and there are, therefore, "compelling reasons for disclosure." Third, the informant in John Z. filed a lengthy declaration detailing the threats to his life. In our case, Gonzalez did not file a declaration from her assistant or even her own declaration. Instead, she simply speculates that her assistant, if identified, will be disciplined. For these reasons,John Z. lends no support to Gonzalez's position.
E. For the foregoing reasons, we hold that Gonzalez did not satisfy her burden of proof. We reject her claimed concern about what will happen to her assistant if his identity is disclosed, on the ground that mere speculation is insufficient to invoke a conditional privilege where, as here, the person whose identity is sought (1) may or may not be a former coworker still employed by defendants but, even assuming he is, (2) he is not someone who has spoken out about improper practices, either to an employer or to a regulatory agency but (3) is, instead, someone who has wrongfully appropriated evidence from his employer's files and turned it over to a coworker and (4) is not, therefore, a true whistleblower.
DISPOSITION The petition is denied.
Ortega, J., concurred.