Bogan v. Northwestern Mutual Life Insurance

144 F.R.D. 51, 1992 U.S. Dist. LEXIS 16150, 1992 WL 296445
District Court, S.D. New York·Decided October 16, 1992·No. No. 91 Civ. 2221 (VLB)·Published·Cited by 10 cases

Opinion

MEMORANDUM ORDER UPON RECONSIDERATION AND ON 28 USC § 1292 APPLICATION

VINCENT L. BRODERICK, Senior District Judge.

In this litigation growing out of a failed business relationship between plaintiffs and the insurer-defendant, plaintiffs objected to rulings of United States Magistrate Judge Mark D. Fox requiring plaintiffs to produce in discovery:

(1) tape recordings of conversations of non-parties in anticipation of litigation,

(2) verbatim transcripts of conversations with defendants’ representatives made for use in litigation,

(3) subsequently prepared verbatim transcripts — which I interpret to mean transcripts of the above kinds, and

(4) a recording made by plaintiffs of a medical interview conducted by a doctor selected by the insurer.

On April 2, 1992, the Magistrate Judge Fox’s ruling was upheld on appeal to this court. Plaintiffs request permission to file motions which are attached to the request, for reconsideration or for certification of this discovery dispute as a novel and important issue warranting immediate interlocutory appeal under 28 U.S.C. § 1292(b).

Permission to file each of the motions is granted as requested by plaintiffs. Reconsideration of the April 2,1992 order upholding the Magistrate Judge’s rulings that discovery of the items described above is required, is likewise granted.

Upon reconsideration, the decision of April 2, 1992 sustaining the Magistrate Judge’s action is adhered to, 'for the reasons set forth in the April 2, 1992 memorandum order and for the additional reasons described below. The motion for certification under 28 U.S.C. § 1292(b) is denied for reasons also discussed below.

[53]*53The Magistrate Judge’s rulings were sustained in the April 2, 1992 decision essentially for the following reasons:

(a) It appears from the transcripts of discovery conferences conducted by the Magistrate Judge that many of the objections now pressed were late-blooming, back-up positions developed after initial rulings or agreements on the subject matter. Discovery cannot work effectively as a tool for the swift, inexpensive and just determination of the action pursuant to the second sentence of Rule 1 of the Federal Rules of Civil Procedure, if this is permitted.

(b) Tape recordings of interviews with third parties, made without their knowledge, prepared as claimed by plaintiffs in connection with litigation, must be subject to supervision of the court to prevent abuse, both in general and specifically where, as here, findings were made by the Magistrate Judge who was able to judge the entire atmosphere of the discovery process.

(c) While taping of conversations may not be illegal if one party to the conversation consents, surprise production of such tapes at trial would lead to delay and confusion; moreover, known, claimed or suspected contents of such tapes in the hands of one party might lead to distortion of witnesses’ testimony because of concern over how the tapes might be used.

(d) Even if the tapes were prepared in connection with the litigation, attorney involvement in encouraging taping of this type raises questions of legal ethics justifying, at the least, provision of the tapes to the adversary so that any relevant issues can be explored.1

(e) Even if the work product privilege were properly invoked subsequent to the initial resolution of the matter, moreover, verbatim tapes do not involve the absolutely protected kind of work product — “mental impressions, opinions, or legal theories of a attorney,” Federal Rules of Civil Procedure, Rule 26(b)(3). On the other hand, the taping practices of plaintiffs and statements, if any, of plaintiffs on their own tapes may be highly relevant under Federal Rule of Evidence 401 and admissible under Rule 801(d)(2). This relevance may relate both to the underlying facts and to plaintiffs’ credibility should they testify, providing vital information not otherwise obtainable, and thus may satisfy the requirements of FRCP 26(b)(3) for production.

(f) The court has broad authority to supervise discovery in the interests of justice. The Magistrate Judge, having conducted lengthy conferences with the parties in an effort to resolve discovery disputes, was in the best position to have the proper feel for the appropriate resolution of the problem presented by the tapes, and unless clearly unreasonable, the Magistrate Judge’s ruling on points of this type should be upheld.2

(g) The medical examination recorded was conducted by one of the defendant insurer’s agents; the physician-patient privilege did not apply. Moreover, the objection was initially waived before Magistrate Judge Fox.

In a letter dated April 13, 1992 accompanying plaintiffs’ motion, plaintiffs’ counsel states in part:

“In effect, the decision [of the Magistrate Judge upheld by this court on April 2, 1992] will require any tapes of interviews of non-parties made while investigating a case to be shared with the other side. We believe that in the past the Second Circuit has forbidden similar attempts to interfere with the right to interview witnesses without access to the other side. IBM v. Edelstein, 526 F.2d 37 (2d Cir.1985) [1975] (Mandamus).
[54]*54“Perhaps most importantly, the non-parties on these tapes have not been given a chance to object to production, and could very well be injured by these disclosures, since some are subject to economic retaliation for talking to plaintiffs.
* * * * sfc *
[Ujnless this Court grants our request for reconsideration or Section 1292 certification, our only opportunity to obtain review to decide these novel and important issues and to protect these important privileges will be through criminal contempt or an extraordinary writ.”

I disagree with each of these arguments.

The Magistrate Judge’s decision calls for discovery of tapes surreptitiously made by the plaintiffs (not counsel) without the knowledge of the other parties to the conversations. This in no way interferes with the right of plaintiffs or plaintiffs’ counsel to interview witnesses, except where surreptitious taping without the consent of the interviewee is involved. Even there, the Magistrate Judge’s rulings do not ban such practices and are limited to allowing discovery of such tapes.

The IBM case is thus entirely mis-cited. IBM involved affirmative requirements concerning how interviews of witnesses must be conducted, not remotely involved here.

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Bogan v. Northwestern Mutual Life Insurance, 144 F.R.D. 51, 1992 U.S. Dist. LEXIS 16150, 1992 WL 296445 (S.D.N.Y. 1992).

144 F.R.D. 51 (Bogan v. Northwestern Mutual Life Insurance) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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