Document: 518 U.S. 1116 S.Ct. 1923135 L.Ed.2d 337 JAFFEE, SPECIAL ADMINISTRATOR FOR ALLEN, DECEASEDv.REDMOND et al.Certiorari to the United States Court of Appeals for Seventh Circuit. No. 95-266. Argued February 26, 1996 Decided June 13, Syllabus Petitioner, administrator decedent Allen's estate, filed this action alleging that constitutional rights were violated when he was killed by respondent Redmond, an on-duty police officer employed village. The court ordered respondents give petitioner notes made Karen Beyer, a licensed clinical social worker, during counseling sessions with Redmond after shooting, rejecting their argument psychotherapist-patient privilege protected contents conversations. Neither Beyer nor complied order. At trial, jury awarded damages being instructed refusal turn over legally unjustified and could presume would have been unfavorable respondents. reversed remanded, finding "reason experience," touchstones acceptance under Federal Rule Evidence 501, compelled recognition privilege. However, it found not apply if in interests justice, evidentiary need disclosure outweighed patient's privacy interests. Balancing those interests, concluded Beyer's should protected. Held: conversations between her therapist taken are from 501. Pp. 5-17. (a) 501 authorizes federal courts define new privileges interpreting "the principles common law . light reason experience." thus did freeze governing at particular point history, but rather directed "continue evolutionary development testimonial privileges." Trammel v. States, 445 U. S. 40, 47. An exception general rule disfavoring is justified proposed "promotes sufficiently important outweigh probative evidence ." 51. 5-7. (b) Significant private support psychotherapist Effective psychotherapy depends upon atmosphere confidence trust, therefore mere possibility confidential communications may impede relationship necessary successful treatment. also serves public interest, since mental health Nation's citizenry, no less than its physical health, good transcendent importance. In contrast, likely benefit result denial modest. That appropriate recognize confirmed fact all 50 District Columbia enacted into some form privilege, see S., 48-50, reinforced among specific recommended rules rejected favor more open-ended language present 7-13. (c) privelege, which clearly applies psychiatrists psychologists, extends workers course psychotherapy. reasons recognizing treatment psychologists equal force workers, vast majority explicitly extend them. balancing component implemented few rejected, eviscerate effectiveness making impossible participants predict whether will be Because first case has recognized neither feasible delineate full contours way govern future questions. 13-16. 51 F. 3d 1346, affirmed. Stevens, J., delivered opinion Court, O'Connor, Kennedy, Souter, Thomas, Ginsburg, Breyer, JJ., joined. Scalia, dissenting opinion, Rehnquist, C. joined as Part III. NOTICE: This subject formal revision before publication preliminary print Reports. Readers requested notify Reporter Decisions, Supreme Washington, D.C. 20543, any typographical or other errors, order corrections goes press. Justice Stevens Court. 1 After traumatic incident she shot man, received extensive worker. question we address statements civil brought family deceased. Stated otherwise, "psychotherapist privilege" Rules Evidence. I. 2 Petitioner estate Ricky Allen. Respondents Mary Lu former officer, Village Hoffman Estates, Illinois, employer time served on force.1 commenced against Allen while patrol duty. 3 On 27, 1991, respond "fight progress" call apartment complex. As arrived scene, two sisters ran toward squad car, waving arms shouting there had stabbing one apartments. testified trial relayed information dispatcher ambulance. She then exited car walked building. Before reached building, several men out, pipe. When ignored get ground, drew service revolver. Two burst out one, Allen, chasing other. According brandishing butcher knife disregarded repeated commands drop weapon. believed about stab man chasing. died scene. officers provide support, "people came pouring buildings," App. 134, threatening confrontation crowd ensued. 4 suit using excessive encounter complaint sought Rev. Stat. Section(s) 1979, 42 1983 Illinois wrongful death statute, Ill. Comp. Stat., ch. 740, 180/1 seq. (1994). presented testimony members conflicted Redmond's version respects. They testified, example, gun exiting unarmed emerged 5 During pretrial discovery learned shooting participated worker State Estates. access concerning use cross-examining Redmond. vigorously resisted discovery. asserted involuntary district judge argument. however, his disclose notes. depositions witness stand both either refused answer certain questions professed inability recall details 6 instructions end advised "legal justification" respondents.2 $45,000 claim $500,000 state-law claim. 7 Circuit remanded trial. Addressing issue time, Evidence, privilege.3 1355 (1995). "Reason tells us psychotherapists patients share unique relationship, ability communicate freely without fear key treatment." 1355-1356. experience, observed adopted 1356. attached significance expressly such like Beyer.4 1357. noted that, exception, decisions five years old "need demand services skyrocketed past years." 8 qualified stating "in outweighs interests." conflicting observed, hand, diminished because numerous eyewitnesses and, Officer substantial.5 1358. Based assessment, erred refusing afford protection Beyer. 9 appeals do uniformly agree Compare re Doe, 964 2d 1325 (CA2 1992) (recognizing privilege); Zuniga, 714 632 (CA6), cert. denied, 464 983 (1983) (same), Burtrum, 17 1299 (CA10), 513 ___ (1994) (declining Grand Jury Proceedings, 867 562 (CA9), denied sub nom. Doe 493 906 (1989) (same); Corona, 849 (CA11 1988), 489 1084 Meagher, 531 752 (CA5), 429 853 (1976) (same). conflict importance question, granted certiorari. 516 We affirm. II. 10 "common authors borrowed phrase our Wolfle 291 7, 12 (1934),6 referred oft-repeated observation immutable flexible, own adapts itself varying conditions." Funk 290 371, 383 (1933). See Hawkins 358 74, 79 (1958) (changes "dictated `reason experience'"). Senate Report accompanying 1975 adoption indicates "should understood reflecting view based determined case-by-case basis." Rep. 93- 1277, p. 13 (1974).7 witnesses trials 47 (1980); University Pennsylvania EEOC, 182, 189 (1990). 11 common-law underlying can stated simply. "`For three centuries now fundamental maxim right every man's evidence. come examine various claims exemption, start primary assumption duty what capable giving, exemptions exist distinctly exceptional, so many derogations positive rule.'" Bryan, 339 323, 331 (1950) (quoting J. Wigmore, 2192, 64 (3d ed. 1940)).8 Nixon, 418 683, 709 (1974). Exceptions justified, "`public transcending normally predominant principle utilizing rational means ascertaining truth.'" Trammel, 50, quoting Elkins 364 206, 234 (1960) (Frankfurter, dissenting). Guided these principles, today protecting patient Both experience" persuade does. Like spousal attorney-client privileges, "rooted imperative trust." Treatment physician ailments often proceed successfully basis examination, objective supplied patient, results diagnostic tests. psychotherapy, trust willing make frank complete facts, emotions, memories, fears. sensitive nature problems individuals consult psychotherapists, cause embarrassment disgrace. For reason, treatment.9 Judicial Conference Advisory Committee 1972 Congress part Proposed psychiatrist's help 14 "is completely dependent [the patients'] willingness talk freely. makes difficult [a psychiatrist] function able assure confidentiality indeed, privileged communication. Where exceptions ., wide agreement sine qua non psychiatric Committee's Notes Rules, 56 R. D. 183, 242 (1972) Group Advancement Psychiatry, 45, Confidentiality Privileged Communication Practice Psychiatry 92 (June 1960)). 15 By disclosure, 16 Our cases clear must "serv[e] ends." Upjohn Co. 449 383, 389 (1981). Thus, purpose "encourage communication attorneys clients thereby promote broader observance administration justice." Ibid. And modified "furthers interest marital harmony," 53. 705; 14. facilitating provision suffering effects emotional problem. importance.10 contrast significant supporting If surely chilled, particularly obvious circumstances rise probably litigation. Without much desirable litigants seek access-for admissions party-is unlikely being. unspoken "evidence" serve greater truth-seeking spoken privileged. 18 privilege.11 previously policy bear amend coverage existing one. 48-50; Gillock, 360, 368, n. (1980). state legislatures fully aware protect integrity factfinding functions courts, existence consensus addition, given understanding publicly disclosed, State's promise little value honored court.12 Denial frustrate purposes legislation foster communications. 19 It consequence product legislative judicial decision. Although rulings once source developments law, longer case. 371 (1933), treat consistent body determinations "reason" "experience." 376-381. properly respectful same reflects legislature opportunity creation protection. history illustrates latter point. "had indicated disposition began moving field." D., (citation omitted). unanimous shows lawmakers moved quickly. developed faster legislatively demonstrates only rapidly wisdom field developed.13 20 uniform judgment nine rules. 367-368 (1980), holding include relied, part, included draft. reasoning Gillock supports opposite conclusion draft specifically identified each substituting Judiciary disapproving psychiatrist-patient privileg[e] contained [proposed] rules." 93-1277, 13. 21 "public truth," hold diagnosis Evidence.14 IV. 22 All covers psychologists. hesitation concluding Beyer.15 Today, amount See, e.g., Dept. Health Human Services, Center Mental Health, 1994 pp. 85-87, 107-114; Brief National Association Social Workers al. Amici Curiae 5-7 (citing authorities). Their poor modest who assistance psychiatrist psychologist, 6-7 authorities), whose goals.16 Perhaps circumstances, workers.17 "[d]rawing distinction provided costly readily accessible discernible purpose." 3d, 1358, 19. 23 company separate reject small number States.18 Making contingent judge's later evaluation relative explained Upjohn, served, conversation "must degree certainty discussions uncertain purports widely applications better all." 393. 24 These considerations decision A manner. "govern conceivable area." 386.19 V. 25 26 ordered. 27 djq whom Chief joins III, dissenting. 28 discussed length purchased case: encouragement psychoanalytic counseling. mentioned purchase price: occasional injustice. cost excludes reliable evidence-or least categorical enough achieve announced objective. rules, excluding confessions "Mirandized," Miranda Arizona, 384 436 (1966), victim injustice always impersonal faceless large." here, individual prevented proving valid claim-or (worse still) establishing defense. unpalatable love causes merely let wrong, become themselves instruments wrong. 29 past, well distinctively charged preserving-justice-is severely harmed contravention `"the evidence."'" (1980) Testimonial said, "are lightly created expansively construed, they derogation search truth." 710 (1974) (emphasis added). Adherence caused us, considered date, 182 (1990) (privilege academic peer review materials); 360 "legislative acts" member legislature), even construe narrowly scope see, Zolin, 491 554, 568-570 (permitting camera documents alleged within crime-fraud supra (holding voluntary spouse covered husband-wife privilege). ignores traditional preference truth, ends up creating new, vast, ill-defined. I respectfully dissent. 30 involves state-licensed psychotherapeutic proceeding legal analysis case, observe task deceptively simple manner proceeds. begins characterizing "whether `psychotherapist privilege,'" ante, 1, devotes almost question. Having answered (to satisfaction) affirmative, page text answering affirmative remaining psychotherapy," 31 Of prototypical analogous here-the lawyer-client privilege-is broad area advice-giving practiced person given, professional status person. Hence, seems long step tax advisor-client accountant-client But recharacterizes advisor" extension most natural thing world. illusion produced here: frames overly ("Should privilege?") negative office consultations (i.e., doctors) then, having comes facts worker-client regard counseling?") seemingly foregone conclusion. point, conclude subscribe proposition, "Yes, worker." Relegating actually posed afterthought possible wonderful ways. enables strong holding, whereas counsel directly it. indeed recommend sorts; precisely, relevantly, conducted "a authorized practice medicine" certified psychologist," 504, 240 (1972), say here. condemnation obscured, converted endorsement, pushing center ring. figures prominently Court's explanation why deserves recognition, 12-13, single devoted sideshow happens decision, 13-14. 32 egregious explainable example how misdirection seem easy; others apparent social-worker fuller consideration deserves. My initial very methodology-giving serious general, easier, question-is violation cautiously erecting barriers truth. 33 To bulk easier convincing. bottom, "successful [psychotherapeutic] treatment" "important interests" (namely undergoing psychotherapy) good" "[t]he citizenry." Ante, 7-9. quarrel premises. undoubtedly beneficial problems, larger maintaining mentally stable society. mentioning values does critical question: importance, contribution them distinctive, application normal destructive justify injustice? central find insufficiently convincing satisfy high standard set 710. 34 it, wonder, play indispensable role maintenance citizenry's health? women worked difficulties talking to, inter alios, parents, siblings, best friends bartenders-none testifying court. Ask average citizen: Would your significantly impaired preventing you seeing psychotherapist, getting advice mom? doubt be. Yet mother-child 35 How deterred seeking psychological counseling, truthful litigation? pertinent today's extent reduce deterrent? try questions; cannot possibly notion second, entirely amazingly finds "neither delineate," 16. If, assurance "A me tell me, unless harmful act," all. fanciful respect workers. Del. Code Ann., Tit. 24, 3913(2) (1987); Idaho 54-3213(2) 36 Even where absence inhibit information, unacceptable affairs. Let assume worst troubling her, confess wounded innocent man. (again worst) act constituted crime negligent wounding absolute admit criminal enabled (as citizen should), benefits admitting anyone else. deny guilt trial-or negligence-while yet obtaining confessing testify. fair wishes telling truth accept adverse consequences. sure, marginally relevant, (though relied Court) simply spare needless intrusion privacy, expenditure deposition achieved short direct conclusive effect. 37 confidently asserts truth-finding capacity destroyed anyway, "[w]ithout being." 10. so, got thriving invented? Were paying money lie analysts years? evidence-generating effect (if any) scope, steadfastly declines consider. assumes broadest possible, really true most, many, worry litigation back minds? provides 38 suggests last justification: statutes failure "would communications." 11. novel indeed. sort inverse pre-emption: adjusted policies States. squared declined Tennessee legislators prosecutions, though Constitution guaranteed proceedings. 368. Moreover, since, shall discuss, regarding vary considerably State, honor furtherance name game, la Erie. 39 put forward justification perhaps excused relying reasoned law. apart legislation.20 What relies upon, instead, [1] [2] privilege." consider verb object: argues for, against, adopting judicially. matter lend treatment-perhaps pros cons giving another shape, clear; evolving uses flexibility provide. commends decisionmaking bodies tempered, speak, political pressure organized groups (such workers), overwhelmingly concerned be) justice. 40 "some multitude difficulties. concedes "divergence types therapy relationships recognized." 12, rest newly assertable day States' appropriate," ibid. added), announcing immediately applicable, torts, "unanimous judgment" tort appropriate. other, laws parties lower judges confronted law" barely clue content might 41 Turning involved is: persuasive. approaching seen fit enact form" elected 15, 17, ought pause. So similarly discriminating conferral 504 supra. "no extend" 13-and prove polishing off topic sentence sentences discussion, follows (omitting citations nongermane footnote): "The goals." 43 construed. 44 brief analysis-like earlier, extensive, discussion privilege-contains price considers respects providing therapeutic similar psychologists; word different. psychologist expert psychotherapy-and suffice think judgment) extraordinary encourage him, opposed one's rabbi, minister, friends. One bring greatly heightened skill bear, alone encouraging consultation generously. Does skill-more minister example? idea, "licensed worker" 18, job title training requirements consist "master's work approved program," "3,000 hours satisfactory, supervised 225, 20/9 requires "clinical apparently impart training, vaguest sort, judging Code's definition "[c]linical practice," viz., evaluation, treatment, prevention disorders individuals, families knowledge theory psychosocial development, behavior, psychopathology, unconscious motivation, interpersonal relationships, environmental stress." Ch. 20/3(5). announces today-like respect, 20/16.21-is limited workers," includes workers." "Licensed workers" "mental services" described 20/3(5), done supervision requirement consists graduate program work" undergraduate program" plus "3 20/9A. With due comparable rigor (or precision subject) experts (lawyers) accorded (psychiatrists psychologists) 1972. Illinois' "social Those know, demanding. Indeed, am sure nationally accepted worker," psychologist. quite irresponsible so-called nationwide, exploring issues. 45 Another professionals, patients, nothing interview people reasons. "[l]icensed follows: 46 holds license authorizing work, communities fields casework, group community organization welfare, research, welfare education." 20/3(9). applying variant "psychotherapist" determine him organizer, etc. Worse still, desired (and mislead client), presumably caseworker advise, client proceeds, portions not. 48 analysis, invokes, considering "experience" States-once again experience irrelevant counter-indicative) says 15. There elements impressive statistic, reveal. 49 First-and utterly irrelevance supposed us-the accord subpart confidences imparted just psychotherapy.22 Oklahoma, social-worker-privilege statute prohibits disclosing, disclose, "any acquired persons consulting capacity" (with infra). Okla. 59, 1261.6 (1991) worker's "professional expansive, "practice Oklahoma defined as: "[T]he activity helping groups, enhance restore physical, economic functioning values, techniques areas administration, planning, research following ends: Helping obtain tangible services; groups; improve participating relevant action. human behavior; cultural institutions forces; interaction factors. teaching conducting behavior conflict." 1250.1(2) (1991). derivative piece special accountants, Miss. Ann. 73-33-16(2) (1995) (certified accountant "shall required voluntarily disclose" information), detectives, Mich. Laws 338.840 (1979) ("Any furnished [licensed detective], secured connection assignment client, deemed authority dignity state").23 therefore, (importance rests disposition. 52 Second, reveal enormous disagreement four gaping "`little all,'" appropriately categorized contradict today. add illusory. Wash. 18.19.180 (disclosure "[i]n response subpoena law"). contradicting 53 turning appreciable diversity vast. Wisconsin, pertains homicide, 110/10(a)(9) (1994); Wis. 905.04(4)(d) (1993-1994), "inflicting injuries" persons, 14-307(a)(1) Missouri, suspended act, Mo. 337.636(2) (1994), Texas prosecution, compare Tex. Civ. Evid. 510(d) Crim. Kansas yields "violations law," Kan. 65-6315(a)(2) (Supp. 1990); 1261.6(2) (1991); Indiana, reveals "serious Ind. 25-23.6-6-1(2) (1995); Delaware Idaho, "harmful Oregon, state-employed loses supervisor determines performance employee." Ore. 40.250(5) South Carolina, forced "when statutory shown care illness condition reasonably proceeding." 19-11-95(D)(1) 1995). declare inapplicable relating child abuse.24 fall above categories commitment proceedings, proceedings element defense, court-ordered examination patient.25 54 although technically correct uniformity exists superficial level. No restriction; restrictions varies enormously jurisdiction jurisdiction; reiterate, effectively entirely. scant national propriety none whatever scope. words, demonstrate convincingly Congress. 55 services. should. (1) clear, (2) evident, craft fashion, writing clean slate, clear. precedent truth" created," 710, gives inexplicable. beneficiary fewer amicus briefs respondents, organizations American Psychiatric Association, Psychoanalytic Work Boards, Employee Assistance Professionals Inc., Counseling Workers. Not petitioner. surprise. self-interested pursuit courts. expectation is, prominently-indeed, primarily-in mind. Today failed expectation, responsibility. cases, tools unearth available found. instances tolerable. tolerable assuredly mind clarity suppressing pronounced honorable left department events lawsuit. Pet. Cert. 67. "Except otherwise Act Congress, prescribed pursuant authority, witness, person, government, subdivision thereof governed interpreted experience. actions defense supplies accordance law." Developmental Disabilities Act, 110/1-110/17 "Her ability, through pain anguish probability depended great deal counselor placed unfortunate entitled desire mortally line troubled participation violent tragic event, this, displays commendable life well-suited `to serve.'" competence necessarily restricted local admission Union takes place, applied 371." 12-13. transmitted Courts Magistrates. 183 (hereinafter Rules). formulated including exclusive absent mandate, Rules. 501-513, 230-261. recommendation 501's mandate. familiar expression "every evidence" well-known early mid-18th century. Duke Argyll Lord Chancellor Hardwicke invoked May 25, 1742, debate House Lords bill grant immunity Sir Robert Walpole, Earl Orford. T. Hansard, Parliamentary History England 643, 675, 693, 697 (1812). defeated soundly. 711. studies authorities cited 14-17, Psychological Amicus 12-17. amply allowing receive Police engaged dangerous tasks associated safety confront risk harm face stressful anxiety, depression, fear, anger. entire suffer effective incidents, trained leave profession prematurely remain job. Ala. 34-26-2 (1975); Alaska 504; Ariz. 32-2085 (1992); Ark. 503; Cal. 1010, 1012, 1014 Colo. 13-90-107(g)(1) Conn. Gen. 52-146c Uniform 14-307 Fla. 90.503 1992); Ga. 24-9-21 Haw. 504.1; 225 15/5 25-33-1-17 (1993); Iowa 622.10 74-5323 (1985); Ky. 507; La. Art. 510 (West 1995); Me. Md. Cts. & Jud. Proc. 9-109 Mass. 233:20B 333.18237 1996); Minn. 595.02 (1988 Supp. 491.060 Mont. 26-1-807 Neb. 27-504 Nev. 49.209 N. H. 45:14B-28 M. 11-504; Y. Prac. Law 4507 (McKinney 8-53.3 Ohio 2317.02 2503 Pa. Cons. 5944 (1982); 5-37.3-3, 5-37.3-4 19-11-95 Codified 19-13-6 19-13-11 Tenn. 24-1-207 509, 510; Utah 506; Vt. Va. 8.01-400.2 18.83.110 W. 27-3-1 905.04 (1993-1994); Wyo. 33-27-123 outset ethical limits confidentiality." Ethical Principles Psychologists Conduct, Standard 5.01 (Dec. 1992). Federation Societies Clinical Work, Ethics V(a) (May 1988); Standards A.3.a (effective July acknowledges nevertheless discounts relevance pointing divergence recognized. statutes, broadly. 504.1 503 physicians psychotherapists), 32-3283 (1992) "behavioral professional[s]"); 510(a)(1) diagnosis, disorder" "involved drug abusers"); 506 protects marriage therapists, counselors, nurse specialists). range varied. 17-46-107 (1987) (narrow exceptions); 1016-1027 1995) (broad (1956) variations too undermine waive court, respondents' upheld, proceeding. 110/10 term "therapist" broadly encompass professionals 110/2. satisfied strict standards licensure, qualifies Illinois. (CA7 second extended note proper Wright K. Graham, Procedure 5434 raise resolution depend express matter. medical doctors F.R.D., 240. limitation practicing quarter-century recommendations, changed domains generally 5-13 cited). While regulated 1972, Board Regulations: Comparison Study 29, (1996). Over period, portion increased substantially. 1994, 107-114. 13-90-107 52-146q 3913 54-3213 20/16 25-23.6-6-1 65-6315 32, 7005 (1988); 9-121 112:135A 339.1610 595.02(g) 73-53-29 (1972); 337.636 37-22-401 71-1,335 49.215, 49.225, 49.235 330-A:19 45:15BB-13 61-31-24 4508 8-53.7 (1986); 40.250 36-26-30 63-23-107 (1990); 30-30-12 33-38-109 (1964); (1992). premature speculate situations way, threat averted therapist. observes: "In `had field.' omitted)." 12. sole student Note Confidential Communications Psychotherapist: New Privilege, Nw. L. (1952). source, turn, cites discusses) privilege: unpublished Cook County, Binder Ruvell, 52-C-2535 1952)-which, cases. substantial assertion stems want trying. amici pointed state-court supposedly 8, 5; 15-16; 8. surprising thinks worth trouble cite them: "B", 482 471, 394 A. 419 (1978), opinions seven Justices nonstatutory privilege; recognized, (mirabile dictu) "constitutionally based," "emanat[ing] penumbras guarantees Bill Rights, Commonwealth." 484, 2d, 425. Allred 554 P. 411 (Alaska 1976), held purest dictum. (3) Falcon Pub. Offices Comm'n, 570 469 (1977), proves statement. names physician's consisted psychotherapy; mention Allred's dictum existed relevant), proposition 473, finally, (4) Evans, 104 434, 454 976 (1969), applicable examinations competency tracked defendant's examination. dearth support-from down county-court level-it revised read: after) Section Statutes show "explicitly extend[ed] 17. elsewhere observes respondent's Statutes, 14, conferred ill-defined class: nurses, prohibited [mental developmental disabilities] himself recipient believes permitted so." 154C.5 1994); 2317.02(G)(1) 59 ever-multiplying evidentiary-privilege emulates, original meaning "privilege." composite derived Latin words "privus" "lex": 17-46-107(3) 1027 19-3-304 503(d)(4); 510(B)(2)(k) 9-121(e)(4) Laws, 119:51A 722.623 (1992 Pamph.); 595.02.2(a) 73-53-29(e) 37-22-401(3) 28-711 4508(a)(3) 2317.02(G)(1)(a) 40.250(4) 5-37.3-4(b)(4) 36-26-30(3) 63-23-107(b) 503(d)(5); 30-30-12(a)(4) 14-3-205 90.503(4) (all 507(c) three); 49.245 (1993) 506(d) 52-146q(c)(1) (commitment issue); (proceedings issue).

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