Director of the Office of Thrift Supervision v. Vinson & Elkins, L.L.P.

168 F.R.D. 445, 36 Fed. R. Serv. 3d 959, 1996 U.S. Dist. LEXIS 14177, 1996 WL 549587
CourtDistrict Court, District of Columbia
DecidedSeptember 24, 1996
DocketMisc. No. 96-0196 (TPJ)
StatusPublished
Cited by3 cases

This text of 168 F.R.D. 445 (Director of the Office of Thrift Supervision v. Vinson & Elkins, L.L.P.) is published on Counsel Stack Legal Research, covering District Court, District of Columbia primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Director of the Office of Thrift Supervision v. Vinson & Elkins, L.L.P., 168 F.R.D. 445, 36 Fed. R. Serv. 3d 959, 1996 U.S. Dist. LEXIS 14177, 1996 WL 549587 (D.D.C. 1996).

Opinion

MEMORANDUM AND ORDER

JACKSON, District Judge.

Petitioner Office of Thrift Supervision (“OTS”) brings this action pursuant to 12 U.S.C. § 1818(n) to enforce its administrative subpoenas duces tecum addressed to a respondent law firm, Vinson & Elkins, and two of its attorneys. OTS seeks documents and possibly testimony pertaining to an informal interview of a former client of the law firm, Barry Munitz, conducted by three Federal Deposit Insurance Corporation (“FDIC”) attorneys in September, 1992, at which the Vinson & Elkins attorneys were present.

Specifically, OTS wants to inspect the Vinson & Elkins attorneys’ notes respecting Munitz’ statements, and possibly to probe their recollections on deposition, in connection with OTS’ investigation of the failure in December, 1988, of United Savings Association of Texas (“USAT”), a defunct savings and loan association of which FDIC was then the receiver. Munitz had been an officer and director of USAT. Based on one of the FDIC attorney’s notes, OTS suspects that Munitz’ testimony at the formal deposition he gave the OTS in June, 1995, is inconsistent with what he told the FDIC in September, 1992. OTS hopes to confirm that suspicion by obtaining a corroborative account of what [446]*446Munitz said at the earlier, unrecorded and untranscribed FDIC interview, and expects to find it in the notes and memories of Munitz’ own lawyers. Munitz, currently represented by another law firm, has intervened as a co-respondent to join Vinson & Elkins and its attorneys in opposing further enforcement of the subpoenas.1

Respondents do not challenge the legitimacy of the investigation or the relevance of the information sought to its purpose. They resist production of the attorneys’ notes of the interview of Munitz (and their possible testimony) on the ground of the privilege accorded “attorney work product.”

The “work product” doctrine, and the privilege that attaches thereto, is a concept which originated in the case of Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947), in the early days of pretrial discovery, and is now codified in the Federal Rules of Civil Procedure. It protects generally against forced disclosure of information generated by an attorney on behalf of a client in anticipation of litigation affecting his client. Work product is thus discoverable

only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of the party’s case and that the party is unable without undue hardship to obtain the substantial equivalent of the materials by other means.

Fed.R.Civ.P. 26(b)(3).

The rationale is succinctly summarized by Justice Jackson’s aphorism, concurring in Hickman: “Discovery was hardly intended to enable a learned profession to perform its function either without wits or on wits borrowed from the adversary.” 329 U.S. at 516, 67 S.Ct. at 396. At least as pernicious as the appropriation by one lawyer of his opponent’s intellectual efforts is the corrosive effect work product discovery has upon the role of the lawyer as advocate. The privilege for work product reflects the notion that lawyers generally should not be looked to as sources of evidence to be used against their clients unless they were participants in the transactions underlying the lawsuit.

Courts have come to recognize that attorney work product encompasses a spectrum rather than a single genus, its character as such depending primarily upon the amount of lawyerly thinking involved in its compilation. But in the matter of deciding how much protection from discovery should be extended to work product they have generally divided it into two discrete classes: “ordinary” work product, or essentially unrefined factual information, and “opinion” work product, revealing the lawyer’s mental impressions, legal theories, and conclusions. The former is, as a rule, more accessible to an inquiring adversary than the latter.2

OTS takes the position that the Vinson and Elkins attorneys’ notes of what was said by Munitz in September of 1992 and their residual recollections thereof are, at best, ordinary work product. He was, at the time, under no particular suspicion, and assigning culpability was not of primary concern to the FDIC. His interview produced what was a largely factual account of USAT’s business activities prior to its failure, uninhibited by considerations of self-protection. The Vinson & Elkins attorneys who accompanied him asked no questions. They merely listened, and took notes.3

In the D.C. Circuit, interview notes may not be discovered absent “extraordinary justification,” if at all. In re Sealed Case, 676 F.2d 793, 809-10 (D.C.Cir.1982); see also Fed.R.Civ.P. 26(b)(3). Interview notes, as distinguished from verbatim transcripts or [447]*447first-person statements, are properly treated as opinion work product because, in choosing what to write down and what to omit, a lawyer necessarily reveals his mental processes. He is not, as OTS asserts, a- “mere scrivener.” Both the Supreme Court and D.C. Circuit have recognized the danger of ordering production of an attorney’s notes of a witness’ oral statements. In Upjohn, the Supreme Court noted that “[f]orcing an attorney to disclose [such] notes ... is particularly disfavored because it tends to reveal the attorney’s mental processes.” 449 U.S. at 399,101 S.Ct. at 687. Drawing on this statement, this Circuit has held that the “far stronger showing” referred to in Upjohn must be met before an attorney’s notes and memoranda related to an interview are turned over. See In re Sealed Case, 856 F.2d 268, 273 (D.C.Cir.1988) (“As the work product sought here is based on oral statements from witnesses, a far stronger showing is required than the ‘substantial need’ and ‘without undue hardship’ standard”); United States v. Paxson, 861 F.2d 730, 735-36 (D.C.Cir.1988) (imposing heightened standard for interview notes); Martin v. Office of Special Counsel, 819 F.2d 1181, 1187 (D.C.Cir.1987) (reading Hickman as supporting the proposition that “attorney notes taken during witness interviews are, for all practical purposes, always privileged”) (emphasis in original); Bristol-Meyers Co. v. FTC, 598 F.2d 18, 29 (D.C.Cir.1978) (stating that interview notes can be expected to reveal counsel’s mental impressions).

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168 F.R.D. 445, 36 Fed. R. Serv. 3d 959, 1996 U.S. Dist. LEXIS 14177, 1996 WL 549587, Counsel Stack Legal Research, https://law.counselstack.com/opinion/director-of-the-office-of-thrift-supervision-v-vinson-elkins-llp-dcd-1996.