H.L. Hayden Co. v. Siemens Medical Sys., Inc.

108 F.R.D. 686, 4 Fed. R. Serv. 3d 196, 1985 U.S. Dist. LEXIS 12815
CourtDistrict Court, S.D. New York
DecidedDecember 13, 1985
DocketNo. 84 Civ. 0306 (GLG)
StatusPublished
Cited by8 cases

This text of 108 F.R.D. 686 (H.L. Hayden Co. v. Siemens Medical Sys., Inc.) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
H.L. Hayden Co. v. Siemens Medical Sys., Inc., 108 F.R.D. 686, 4 Fed. R. Serv. 3d 196, 1985 U.S. Dist. LEXIS 12815 (S.D.N.Y. 1985).

Opinion

MEMORANDUM OPINION

SHARON E. GRUBIN, United States Magistrate:

Defendant Healthco, Inc. has applied to the court for an order requiring plaintiffs to produce all tape recordings and other documents constituting communications between plaintiffs and two non-party witnesses or, in the alternative, to submit such materials to the court for in camera review with respect to plaintiffs’ claims of privilege.

BACKGROUND

Events leading to this application are apparently as follows.1 Plaintiffs served deposition subpoenas on Frank McDonald and Benjamin Laughter, former employees of Healthco and co-defendant Patterson Dental Co., respectively. Healthco thereupon served its “Third Request for Production of Documents,” which apparently contained only the one following request:

“All documents, including, without limitation, tape recordings and written transcriptions thereof, prepared or created from January 1, 1982 to and including the date of plaintiffs’ response hereto, which constitute, refer or relate to any communication between any employee or representative of plaintiffs and any of the following: (i) Frank McDonald, or (ii) Benjamin Laughter.”

Plaintiffs’ response to the request was, in its entirety, as follows:

“Plaintiffs object, to the extent any responsive material exists, on the basis of attorney client privilege, and attorney work product.”

The deposition of Frank McDonald, the former Healthco employee, was taken a week prior to Healthco’s instant application. Healthco’s counsel states that plaintiffs’ [688]*688principal, Marvin Schein, had initiated several telephone calls to Mr. McDonald. Presumably Healthco’s counsel learned of these calls from Mr. McDonald prior to rather than during the deposition, as it was Healthco’s counsel who represented Mr. McDonald at the deposition. In any event, Healthco believes that “surreptitious” tape recordings of the telephone conversations may have occurred — a belief based on the fact that Mr. Schein has been found in this litigation to have recorded phone calls to other individuals — and, despite the broader language of the document request, it seems that Healthco is primarily seeking production only of any such tapes as it is only production of tapes for which its letter of November 11 and “reply” letter of November 25 argue. Healthco’s argument for production is that “[i]t is inconceivable that any privilege can attach to the surreptitious tape recordings of the statements of a third party, particularly when such recordings were made in contemplation of requiring the testimony of such third party in this case.” Healthco cites no authority whatsoever to support this emphatic, conclusory statement.

Plaintiffs’ response to Healthco’s application consists of an eleven-page letter to the court from plaintiffs’ counsel dated November 22, 1985. This response is remarkable in several respects. First, it does not reveal whether any tapes or other materials responsive to the document request exist. The letter states:

“Materials (which may or may not exist) that could be responsive to the Third Request would appear to fall into four general types: (1) tape recordings that may have been made of conversations with Messrs. McDonald or Laughter; (2) transcripts of tapes of such conversations; (3) written communications relating to the aforesaid conversations that were prepared by Mr. Schein; and (4) written communications prepared by counsel relating to the aforesaid conversations.”

In a footnote counsel states: “Plaintiffs’ response is framed in a hypothetical fashion to ensure that unwarranted disclosure is not made of current privileged or work product materials.” The court is thus asked to rule on whether materials are privileged without identification of the materials and without even knowing whether any materials exist. Second, plaintiffs then argue that any tapes which may exist of conversations Mr. Schein had with these third parties and any transcripts of such tapes would be protected from production by the attorney-client privilege. They further argue that any material would be protected by the work product doctrine.

DISCUSSION

Violation of Local Civil Rule 46(e)(2)

Civil Rule 46(e)(2) of the United States District Courts for the Southern and Eastern Districts of New York, which became effective February 1, 1985, provides that when an objection on a ground of privilege, including the work product doctrine, is made to a document request, the objecting party must set forth certain identifying and descriptive information concerning responsive documents unless such information itself would reveal allegedly privileged information.2 (Requirements [689]*689similar to those of this rule were applicable in this case even before the rule existed.) The reason for the rule is obvious: sufficient preliminary information is generally necessary for opposing counsel and the court to be able to determine whether a privilege objection is well-founded. Such information as the existence of a privileged document, its date, its recipients and the nature of its general subject matter is generally not privileged in itself. In rare circumstances, such identifying information may itself constitute privileged matter, but such is not the case here. Plaintiffs’ conclusory objection is unacceptable, and the subsequent failure in their letter to correct the omission compounds the impropriety. Despite plaintiffs’ gratuitous footnote quoted above, the court cannot conceive of why disclosure of whether or not tape recordings exist of conversations which all know to have taken place would constitute privileged material or work product. Indeed, the court is being asked to rule on a hypothetical situation, and even the hypothetical does not contain enough information to enable a determination. Thus, whether a tape recording is entitled to the protection of the work product doctrine or whether a written communication relating thereto between Mr. Schein and his counsel is subject to the attorney-client privilege may depend on numerous factors, such as when the recording occurred, whether the conversation was had in anticipation of litigation or for trial, whether the writing was prepared for counsel or whether a waiver was effected by other persons having been shown an otherwise privileged document. The court cannot speculate as to the multitude of possible circumstances surrounding the preparation and dissemination of documents upon which the validity of the claim of privilege could depend. Although I view it as highly unlikely, if plaintiffs’ counsel believed in good faith that providing the preliminary information, including the mere fact of whether tapes or other documents exist, would possibly waive an otherwise valid claim of privilege, he should have so informed the court and offered to make an in camera presentation. Ignoring Rule 46(e) and submitting an eleven-page speculative letter, which conclusorily claims that if documents exist they must be privileged, simply wastes the time of the court. Plaintiffs’ counsel is hereby sanctioned under Federal Rule of Civil Procedure 37 in the amount of $250.

Attorney-client privilege

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Bluebook (online)
108 F.R.D. 686, 4 Fed. R. Serv. 3d 196, 1985 U.S. Dist. LEXIS 12815, Counsel Stack Legal Research, https://law.counselstack.com/opinion/hl-hayden-co-v-siemens-medical-sys-inc-nysd-1985.