Epling v. UCB Films, Inc.

204 F.R.D. 691, 2001 WL 1715820
CourtDistrict Court, D. Kansas
DecidedDecember 14, 2001
DocketNos. 98-4226-RDR, 00-4186-RDR, 98-4227-RDR, 00-4062-RDR
StatusPublished
Cited by4 cases

This text of 204 F.R.D. 691 (Epling v. UCB Films, Inc.) is published on Counsel Stack Legal Research, covering District Court, D. Kansas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Epling v. UCB Films, Inc., 204 F.R.D. 691, 2001 WL 1715820 (D. Kan. 2001).

Opinion

MEMORANDUM AND ORDER

WAXSE, United States Magistrate Judge.

Pending before the Court are the following motions: (1) Defendants’ Motion for Protective Order (Case No. 00-4062-RDR, doc. 51); and (2) Plaintiffs’ Motion to Take Telephonic Deposition of Joe Wilbanks (Case No. 98-4226-RDR, doc. 256).

I. Defendants’ Motion for Protective Order

Defendants’ counsel has informed the Court that most of the issues raised in the Motion for Protective Order are now moot. The only issue that remains for the Court’s resolution pertains to the deposition of Joe Gaynor. Plaintiffs have issued a notice of deposition duces tecum for Joe Gaynor, who is in-house counsel for Defendant UCB, Inc (“UCB”). Plaintiffs seek to depose Mr. Gay-[693]*693nor about his involvement in certain conferences regarding employment at Defendant UCB Films, Inc. (“UCB Films”), a subsidiary of UCB, and to inquire as to the relationship between UCB Films and UCB. Defendants ask the Court to enter a protective order to prevent the deposition of Mr. Gaynor from going forward. They assert that the knowledge Mr. Gaynor possesses regarding this litigation was obtained in his role as an attorney providing legal advice to Defendants in anticipation of, and in connection with, these consolidated lawsuits.

A. The Law Regarding Attorney Depositions

Special rules apply to the depositions of a party’s counsel. In Simmons Foods, Inc. v. Willis, 191 F.R.D. 625 (D.Kan.2000), this Court set forth the standard for determining when the deposition of a party’s attorney should be allowed. The Court first summarized the general rules regarding such depositions:

An attorney, even an attorney for a party to the suit, is subject to being deposed. Courts do not favor thwarting a deposition. Barring extraordinary circumstances, courts rarely will grant a protective order which totally prohibits a deposition. A request to take the deposition of an attorney for a party may, however, constitute an extraordinary circumstance justifying departure from the normal rule. While the Federal Rules do not prohibit the deposition of an attorney for a party, experience teaches that countenancing unbridled depositions of attorneys often invites delay, disruption of the case, harassment, and unnecessary distractions into collateral matters.

Id. at 630 (citations and quotations omitted).

The Court then held that depositions of “opposing counsel” should be limited to those circumstances where the party seeking to take the deposition has shown the following:

(1) no other means exist to obtain the information except to depose opposing counsel; (2) the information sought is relevant and nonprivileged; and (3) the information is crucial to the preparation of the case.

Id. (citing Shelton v. American Motors Corp., 805 F.2d 1323, 1326 (8th Cir.1986)). The burden is on the party seeking the attorney’s deposition to establish that each of these three criteria is met. Id.

B. Application of the Law to This Case

1. Is Mr. Gaynor “opposing counsel’’ for purposes of applying Simmons?

Before the Court may proceed to determine whether the Simmons criteria have been met here, the Court must determine, as a threshold matter, that Mr. Gaynor is in fact “opposing counsel.” Plaintiffs contend that Mr. Gaynor is not “opposing counsel” because he is merely UCB’s in-house counsel and he is not counsel of record in this case. They also contend he is not “opposing counsel” because he allegedly has acted in an administrative role rather than as a legal advisor to Defendants. Plaintiffs assert that “[tjestimony from a prior deposition indicates that Mr. Gaynor was involved in the conferences” that concerned “employment of employees at UCB Films, specifically Paula Hladky.” Doc. 58 at 4. Plaintiffs further assert that “Mr. Gaynor had input into the hiring or declination to employ Paula Hladky” and that he participated in conferences “which bear a direct influence upon the disposition of applications with UCB Films.” Id. (citing Michael Machell depo. at pp. 1, 96). They claim that these conferences were “administrative in nature.” Id.

Defendants, on the other hand, argue that Mr. Gaynor should be deemed “opposing counsel.” Although he is not counsel of record, he is, according to Defendants, “in charge of managing this litigation.” Doc. 63 at 9. Defendants deny that Mr. Gaynor had any part in the decision not to hire Ms. Hladky or that he has played an administrative role in making employment decisions. They assert that it was not until Ms. Hladky filed.her initial failure-to-hire discrimination charge that he became involved in any events related to this litigation.

The Court holds that Mr. Gaynor should be treated as “opposing counsel” for purposes of applying the Simmons rule. This is [694]*694true for two reasons. First, the fact that he is not counsel of record is not determinative. The Court declines to adopt a per se rule that in-house counsel who are not of record in the lawsuit are not “opposing counsel” for purposes of applying the Simmons rule. Instead, the Court will examine the circumstances surrounding the in-house counsel’s involvement in the litigation and the underlying events giving rise to the litigation. This is consistent with our decision in Rahn v. Junction City Foundry, Inc., No. 00-2128-KHV, 2000 WL 1679419 (D.Kan. Nov.3, 2000), in which an in-house attorney was deemed to be “opposing counsel” for purposes of applying the Simmons criteria despite that fact that he was not of record in the lawsuit. There, the in-house attorney was retained by the defendant employer to advise it regarding the plaintiffs internal sexual harassment allegations and to participate in the defendant’s investigation of her complaints. Later, when the plaintiff filed suit, she sought to depose the in-house counsel, The Court applied Simmons, deeming the in-house attorney to be “opposing counsel” based on his involvement as a legal advisor to the employer. Id. at *2. The fact that the in-house attorney was not counsel of record in the lawsuit was not determinative.

Similarly, in Boughton v. Cotter Corp., 65 F.3d 823 (10th Cir.1995), the Tenth Circuit held that

the lower court correctly treated in-house counsel as “opposing counsel” for purposes of determining whether his deposition could be taken. The plaintiffs in Boughton argued that the defendant’s in-house counsel should not be deemed “opposing counsel,” asserting that he had acted as a spokesperson for the defendant and had given business advice rather than legal advice. The Tenth Circuit held that the lower court properly rejected the plaintiffs’ argument and affirmed the district court’s holding that the attorney was “opposing counsel” based on the lower court’s finding that he operated solely as an attorney and made no operating decisions. Id. at 828-29. Again, the fact that the attorney was not counsel of record in the lawsuit was of no import.1

Secondly, the Court does not find that Mr. Gaynor has acted in an administrative role here.

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204 F.R.D. 691, 2001 WL 1715820, Counsel Stack Legal Research, https://law.counselstack.com/opinion/epling-v-ucb-films-inc-ksd-2001.