B.H. v. Gold Fields Mining Corp.

239 F.R.D. 652, 2005 U.S. Dist. LEXIS 44800, 2005 WL 4991851
CourtDistrict Court, N.D. Oklahoma
DecidedDecember 7, 2005
DocketNo. 04CV564 JOEPJC
StatusPublished
Cited by3 cases

This text of 239 F.R.D. 652 (B.H. v. Gold Fields Mining Corp.) is published on Counsel Stack Legal Research, covering District Court, N.D. Oklahoma primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
B.H. v. Gold Fields Mining Corp., 239 F.R.D. 652, 2005 U.S. Dist. LEXIS 44800, 2005 WL 4991851 (N.D. Okla. 2005).

Opinion

ORDER

CLEARY, United States Magistrate Judge.

This matter came before the Court for hearing on September 26, 2005, on Plaintiffs’ Motions [Dkt. ## 265 & 269] to Compel Production of Documents Based on Testamentary (sic) Use of Work Product.1 At the hear[654]*654ing, Plaintiffs for the first time presented the Court and Defendants with 14 exhibits to be used in their presentation to the Court. Defendants objected thereto. The Court allowed Plaintiffs’ counsel to use the documents as an aid in organizing and presenting his arguments, but because of their untimely submission, these exhibits will not be filed of record and will not be considered for substantive purposes. Subsequent to the hearing, both sides submitted supplemental legal authority on the issue before the Court.

Plaintiffs contend that by listing certain consultants as witnesses on their Preliminary Witness List, Defendants Blue Tee Corp. (“Blue Tee”), Gold Fields Mining Corp. (“Gold Fields”) (together, “BT/GF”) and The Doe Run Resources Co. (“Doe Run”) waived work-product protection on documents reviewed and/or authored by those witnesses on topics related to their proposed testimony. Defendants assert that merely listing these individuals as possible witnesses does not waive work-product protection, and that any waiver would not occur until the witness actually testifies at trial in a way that implicates or discloses work-product material.

Plaintiffs’ motion targeted ten individuals whom Defendants listed as possible witnesses: Gary Krieger, David Hinrichs, Gary Uphoff, John Aronson, Carey Foulk, David Jackson, David Stewart, Richard Adams, Terrance Faye and Walter Nowotny. Defendants have since removed six of these individuals from their subsequent Witness List [Dkt. # 278] and Amended Preliminary Witness List [Dkt. # 335].2 In addition, Defendants’ Response to Plaintiffs Motion to Compel clarified that the Richard Adams listed as a potential witness is not the “Adams” shown as a recipient of various privileged documents on Defendants’ Privilege Logs. Thus, the Motion to Compel has been narrowed to the direct testimony of Gary Uphoff (“Uphoff’), Terrance Faye (“Faye”) and Walter Nowotny (“Nowotny”).3

DISCUSSION

A. Applicable Law

In a diversity case such as this, issues related to the attorney-client privilege are controlled by state law while issues related to work product are controlled by federal law. Frontier Refining, Inc. v. Gorman-Rupp Co., 136 F.3d 695, 702 n. 10 (10th Cir.1998).

Attorney-client privilege must be analyzed under applicable Oklahoma law. Under that provision:

B. A client has a privilege to refuse to disclose and to prevent any other person from disclosing confidential communications made for the purpose of facilitating the rendition of professional legal services to the client:
1. Between the client or a representative of the client and the client’s attorney or a representative of the attorney;
2. Between the attorney and a representative of the attorney;
3. By the client or a representative of the client or the client’s attorney or a representative of the attorney to an attorney or a representative of an attorney representing another party or a representative of an attorney representing another party in a pending action and concerning a matter of common interest therein;
4. Between representatives of the client or between the client and a representative of the client; or
5. Among attorneys and their representatives representing the same client.

12 Okla. Stat. § 2502(B) (2002).

Under Oklahoma law, the party claiming attorney-client privilege must establish that a privilege applies and that the documents are protected from production. Sinclair Oil Corp. v. Texaco, Inc., 208 F.R.D. 329, 331-32 (N.D.Okla.2002). Because courts [655]*655generally require the proponent of the privilege to establish each element of the privilege, in theory this would require the proponent to establish lack of waiver. Edna S. Epstein, The Attorney-Client Privilege and the Work-Product Doctrine 37-38 (American Bar Assoc. 4th ed.2001). “As a practical matter, however, it is generally assumed that no waiver has occurred unless the party seeking discovery contends that it has.” Id at 38.

Work-product is analyzed under federal law. Frontier Refining, 136 F.3d at 702, n. 10. The U.S. Supreme Court recognized work-product protection based on the theory that “it is essential that a lawyer work with a certain degree of privacy, free from unnecessary intrusion by opposing parties and their counsel.” Hickman v. Taylor, 329 U.S. 495, 510, 67 S.Ct. 385, 91 L.Ed. 451 (1947). The work-product doctrine protects materials prepared by attorneys themselves, and also by their agents. United States v. Nobles, 422 U.S. 225, 238-39, 95 S.Ct. 2160, 45 L.Ed.2d 141 (1975).

Work-product protection is not absolute. For example, Rule 26(b)(3) of the Federal Rules of Civil Procedure permits discovery of work-product materials where the party seeking discovery “has substantial need of the materials in the preparation of the party’s case” and is “unable without undue hardship to obtain the substantial equivalent of the materials by other means.” Fed.R.Civ.P. 26(b)(3). This provision applies to “ordinary” work-product; discovery of the “mental impressions, conclusions, opinions or legal theories of an attorney or other representative of a party concerning the litigation” is afforded greater protection. Id; see Resolution Trust Corp. v. Mass. Mut. Life Ins. Co., 200 F.R.D. 183, 190-91 (W.D.N.Y.2001). Work-product protection may also be waived. Nobles, 422 U.S. at 239, 95 S.Ct. 2160. This waiver may come in many different circumstances. See, Resolution Trust, 200 F.R.D. at 191-96. See generally, Epstein, supra, at 607-41.

Some courts have held that the party claiming work-product protection must establish both that the protection exists and that it has not been waived. E.g., Resolution Trust, 200 F.R.D. at 191; Granite Partners, L.P. v. Bear, Stearns & Co., Inc., 184 F.R.D. 49, 52 (S.D.N.Y.1999). However, the majority view is that the party claiming waiver has the burden of proof on that issue. Johnson v. Gmeinder, 191 F.R.D. 638, 643 (D.Kan. 2000) (Party asserting waiver of work-product immunity, rather than the party asserting the work-product protection, should have the burden to establish waiver.); Maldonado v. New Jersey ex rel. Admin. Office of the Courts—Probation Div., 225 F.R.D. 120, 132 (D.N.J.2004); S.E.C. v. Buntrock, 217 F.R.D. 441, 447 (N.D.Ill.2003); Ferko v. National Ass’n for Stock Car Auto Racing, Inc., 218 F.R.D. 125, 136 (E.D.Tex.2003); Monsanto Co. v. Aventis Cropscience, N.V., 214 F.R.D.

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239 F.R.D. 652, 2005 U.S. Dist. LEXIS 44800, 2005 WL 4991851, Counsel Stack Legal Research, https://law.counselstack.com/opinion/bh-v-gold-fields-mining-corp-oknd-2005.