City of Springfield v. Rexnord Corp. & Rhi Holdings, Inc.

196 F.R.D. 7, 47 Fed. R. Serv. 3d 791, 2000 U.S. Dist. LEXIS 12553, 2000 WL 1210435
CourtDistrict Court, D. Massachusetts
DecidedAugust 16, 2000
DocketNo. Civ.A.99-30106-MAP
StatusPublished
Cited by15 cases

This text of 196 F.R.D. 7 (City of Springfield v. Rexnord Corp. & Rhi Holdings, Inc.) is published on Counsel Stack Legal Research, covering District Court, D. Massachusetts primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
City of Springfield v. Rexnord Corp. & Rhi Holdings, Inc., 196 F.R.D. 7, 47 Fed. R. Serv. 3d 791, 2000 U.S. Dist. LEXIS 12553, 2000 WL 1210435 (D. Mass. 2000).

Opinion

SUPPLEMENTAL MEMORANDUM AND ORDER WITH REGARD TO PLAINTIFF’S MOTION TO COMPEL (Docket No. 27)

NEIMAN, United States Magistrate Judge.

In response to the City of Springfield (“Plaintiff’)’s request for production, Rexnord Corporation and RHI Holdings, Inc. (“Defendants”) refused to produce certain documents for which they claim protection under either an attorney-client privilege or the work-product doctrine, causing Plaintiff to file a motion to compel. In accord with this court’s order of June 20, 2000 (Docket No. 37), Defendants produced the documents under seal for the court’s in camera review. Having reviewed the documents and the parties’ memoranda and after hearing oral argument, the court will require Defendants to produce some but not all of the documents in question.

STANDARDS

The attorney-client privilege protects communications between client and attorney for the purpose of obtaining legal advice. Upjohn Co. v. United States, 449 U.S. 383, 389, 101 S.Ct. 677, 66 L.Ed.2d 584 (1981). The privilege “exists to protect not only the giving of professional advice to those who can act on it but also the giving of information to the lawyer to enable him to give sound and informed advice.” Id. at 390, 101 S.Ct. 677. “[T]he interest in preserving a durable barrier against disclosure of privileged attorney-client information is shared both by particular litigants and by the public, and it is an interest of considerable magnitude.” Siedle v. Putnam Investments, Inc., 147 F.3d 7, 11 (1st Cir.1998). The shelter afforded by the privilege, however, “only protects disclosure of communication; it does not protect disclosure of the underlying facts by those who communicated with the attorney.” Upjohn Co., 449 U.S. at 395,101 S.Ct. 677. Thus, the scope of the attorney-client privilege is fact sensitive and must be addressed on a case-by-case basis. Id. at 396-97,101 S.Ct. 677.

The work product doctrine, on the other hand, provides a means by which a party may protect its trial preparation materials. See Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947). Although the doctrine is “intertwined” with the attorney-client privilege, Harding v. Dana Transp., Inc., 914 F.Supp. 1084,1089 (D.N.J. 1996) (citing United States v. Nobles, 422 U.S. 225, 238 n. 11, 95 S.Ct. 2160, 45 L.Ed.2d 141 (1975)), its purpose differs: “The attorney-client privilege exists to keep inviolate confidences of clients to their attorneys, thereby presumably enhancing the communication exchange. The work product doctrine, however, seeks to enhance the quality of professionalism within the legal field by preventing attorneys from benefitting from the fruit of an adversary’s labor.” Id. at 1096. See also Hickman, 329 U.S. at 511, 67 S.Ct. 385 (describing fundamentals of work product doctrine).

DISCUSSION

Defendants’ claims of privilege are grounded in their assertion that the documents at issue were prepared by them or their in-house counsel in preparation for or in anticipation of litigation. To be sure, the documents were not prepared in anticipation of the instant litigation. If they were prepared in anticipation of any litigation, and that is somewhat questionable, it was possible litigation with the Massachusetts Department of Environmental Quality Engineering (“DEQE”) nearly twenty years ago.

Moreover, it is not entirely clear that the key lawyer mentioned in the documents, Aaron Hardt (“Hardt”), Defendants’ in-house counsel, was always acting in his capacity as [9]*9an attorney. Of course, a corporation may invoke the attorney-client privilege for in-house counsel. See, e.g., In re Sealed Case, 737 F.2d 94, 99 (D.C.Cir.1984); Borase v. M/A COM, Inc., 171 F.R.D. 10, 14 (D.Mass. 1997); United States v. United Shoe Machinery Corp., 89 F.Supp. 357, 360 (D.Mass.1950). However, an in-house lawyer may wear several other hats (e.g., business advisor, financial consultant) and because the distinctions are often hard to draw, the invocation of the attorney-client privilege may be questionable in many instances. See Texaco Puerto Rico, Inc. v. Dep’t of Consumer Affairs, 60 F.3d 867, 884 (1st Cir.1995); Borase, 171 F.R.D. at 14; Rossi v. Blue Cross & Blue Shield of Greater N.Y., 73 N.Y.2d 588, 542 N.Y.S.2d 508, 540 N.E.2d 703, 705 (1989); North Am. Mortgage Investors v. First Wisconsin Nat’l Bank, 69 F.R.D. 9, 11 (E.D.Wis.1975). The present case presents one such instance.

Defendants formed an in-house team, in which Hardt was involved, to deal with the DEQE investigation. As the above eases indicate, the fact that Hardt may have performed certain legal functions as part of that team does not render privileged each communication made by or copied to him, particularly if the communication could equally well have been made to or by an individual without a law degree. See also F.C. Cycles, Int’l Inc. v. Fila Sport, S.p.A., 184 F.R.D. 64, 71 (D.Md.1998) (holding that “routine, non-privileged communications between corporate officers or employees transacting the general business of the company do not attain privileged statute solely because in-house or outside counsel is ‘copied in’ on correspondence or memoranda”); United States Postal Service v. Phelps Dodge Ref’g Corp., 852 F.Supp. 156, 163-64 (E.D.N.Y.1994) (noting that “[a] corporation cannot be permitted to insulate its files from discovery simply by sending a ‘cc’ to in-house counsel”). In the court’s view, a document must have been intended to be confidential and made for the purpose of giving or obtaining legal advice to be vested with the attorney-client privilege. Moreover, “so long as the communication is primarily or predominantly of a legal character, the privilege is not merely lost by reason of the fact that it also dealt with nonlegal matters.” Rossi, 542 N.Y.S.2d 508, 540 N.E.2d at 706.

With these standards in mind, and after reviewing the documents themselves, the court finds that eight documents which were penned by either Hardt or J.S. East-ham, Defendants’ attorneys, or drafted with Hardt’s assistance, reflect communications protected by the attorney-client privilege:

1. Hardt’s September 23, 1983 handwritten notes;
2. Hardt’s August 30, 1982 - May 2, 1983 handwritten notes;
3. February 15,1983 letter from Hardt to J. Landry;
4. September 30, 1982 memorandum
from J.S. Eastham to Hardt;1
5. September 14,1982 background memorandum by J.R. Luecke;
6. September 15, 1982 memorandum by J.R. Luecke;
7. October 4, 1982 background memorandum by J.R. Luecke; and
8. October 5, 1982 memorandum by J.R. Luecke.

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Cite This Page — Counsel Stack

Bluebook (online)
196 F.R.D. 7, 47 Fed. R. Serv. 3d 791, 2000 U.S. Dist. LEXIS 12553, 2000 WL 1210435, Counsel Stack Legal Research, https://law.counselstack.com/opinion/city-of-springfield-v-rexnord-corp-rhi-holdings-inc-mad-2000.