In the Matter of Grand Jury Empanelled October 18, 1979. Appeal of Edwin J. Hughes and Alfred C. Decotiis

633 F.2d 282
CourtCourt of Appeals for the Third Circuit
DecidedOctober 8, 1980
Docket80-1356
StatusPublished
Cited by34 cases

This text of 633 F.2d 282 (In the Matter of Grand Jury Empanelled October 18, 1979. Appeal of Edwin J. Hughes and Alfred C. Decotiis) is published on Counsel Stack Legal Research, covering Court of Appeals for the Third Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In the Matter of Grand Jury Empanelled October 18, 1979. Appeal of Edwin J. Hughes and Alfred C. Decotiis, 633 F.2d 282 (3d Cir. 1980).

Opinions

OPINION OF THE COURT

GIBBONS, Circuit Judge.

These appeals present questions of some delicacy concerning the extent to which, by resort to a grand jury subpoena, the federal government may intrude upon the efforts of defense counsel in their preparation for the representation of potential criminal defendants. The subpoena duces tecum which gave rise to the orders appealed from was addressed to Edwin J. Hughes, a licensed private investigator. It directed Hughes:

to testify before the Grand Jury and bring with [him] all records concerning all investigative endeavors in Port Newark and Port Elizabeth; including original contracts for investigative work, original reports of interviews, original reports of investigative efforts, billing records, checks, receipts, expense account statements, investigative notes and memoran-da.

At the time the subpoena was served Hughes was retained by Alfred C. DeCotiis, Esq., a member of the New Jersey bar, to assist DeCotiis in defending a client who, the government concedes, is a target of a grand jury investigation, the geographic focus of which is the Port Newark-Port Elizabeth area. DeCotiis promptly moved on behalf of Hughes for an order quashing the subpoena. He also moved to intervene in the district court proceedings in order to raise “all claims that can be raised by myself as an attorney and by my client, including specifically, all claims based on either the attorney-client or the attorney work-product privileges.”1 Both Hughes and DeCotiis filed affidavits in support of these motions, which are uncontradicted. The United States filed two affidavits in opposition: one was disclosed to Hughes and De-Cotiis; the other was considered by the court in camera and sealed. After argument the trial court ruled orally: (1) that the sealed affidavit would not be disclosed; (2) that Hughes’ motion to quash the subpoena would be denied; (3) that the court would pass on the assertion of any attorney-client privilege or work-product claim only with respect to specific questions addressed to Hughes; (4) that Hughes must appear and answer seventeen specific questions which, the parties stipulated, would be asked;2 345678and (5) that DeCotiis would not be permitted to intervene. Subsequently, Hughes appeared before the grand jury. [285]*285As he had previously represented, he refused to answer all but three of the government’s questions, asserting the attorney-client privilege and work product protection. The trial court then entered an order holding Hughes in civil contempt. Hughes and DeCotiis appeal the district court’s orders. We affirm in part and reverse in part.

I. DeCotiis’ Motion to Intervene

In support of his motion to intervene DeCotiis filed two affidavits. These affidavits represented: that Hughes was an investigator retained by DeCotiis to assist in the defense of a grand jury target; that the testimony sought related to Hughes’ investigative efforts on behalf of that target; that the subpoena amounted to “an improper attempt to utilize the grand jury to discover work product”; and that the subpoena demanded production of records of all investigative endeavors, reports of interviews, investigative notes, and the retainer agreement with Hughes. These documents, it was contended, reflected protected work product. When the motion to intervene was argued the government stated that it was withdrawing the bulk of the subpoena for documents. It still sought, however, Hughes’ testimony, without restrictions, and a list of the persons interviewed. The Assistant United States Attorney took the position that he should be free to ask Hughes, before the grand jury, any relevant questions. He contended that Hughes might, or might not, assert a claim of privilege and that if he did the court could rule on each question at that time. DeCotiis’ attorney pointed out that the court was dealing with a witness protecting a privilege belonging to someone other than himself. The court, nevertheless, denied the motion to intervene.

While the court’s initial order directing Hughes to appear and testify was limited to the production of a list of witnesses interviewed and seventeen specific questions, it was the government’s position that the subpoena remained operative and that the grand jury could ask Hughes any question it deemed relevant. The trial court stated that it would not rule in advance on any additional questions, but would await an assertion by the witness of a claim of privilege. No provision was made for participation by Mr. DeCotiis in the questioning before the grand jury. Thus, DeCotiis was forced to rely upon Hughes’ ability to recognize questions directed at discovery of what might be protected work product, Hughes’ willingness to assert that claim on DeCotiis’ behalf, and Hughes’ further willingness to stand in contempt should the court overrule the claim of privilege.

Our consideration of the propriety of the trial court’s intervention ruling commences with the observation that the work product doctrine applies to criminal, as well as civil, litigation. United States v. Nobles, 422 U.S. 225, 236, 95 S.Ct. 2160, 2169, 45 L.Ed.2d 141 (1975). Moreover, as the Court in Nobles observed:

[T]he doctrine is an intensely practical one, grounded in the realities of litigation in our adversary system. One of those realities is that attorneys often must rely on the assistance of investigators and other agents in the compilation of materials in preparation for trial. It is therefore necessary that the doctrine protect material prepared by agents for the attorney as well as those prepared by the attorney himself.

Id. at 238-39, 95 S.Ct. at 2170. (footnote omitted). Nor is it significant that DeCo-tiis’ client has not yet been indicted, for we have held that the doctrine applies to material prepared or collected in advance of litigation. In re Grand Jury Investigation (Sun Company, Inc.), 599 F.2d 1224, 1229 (3d Cir. 1979). It is not disputed that DeCo-tiis represents a grand jury target likely to be indicted. The likelihood of litigation, therefore, is at least as strong as in Sun Company, Inc. DeCotiis properly asserted the protection of the work product doctrine, both on his own behalf, and on behalf of his client. In re Grand Jury Proceedings (FMC I), 604 F.2d 798, 801 (3d Cir. 1979). And unlike the situation in Nobles, where by proposing to use the testimony of the agent at trial the attorney waived the privilege of [286]*286nondisclosure derived from the work product doctrine, in this case DeCotiis has done nothing amounting to a waiver.

We are dealing, then, with a valid claim for work product protection of materials sought, not directly from the attorney, whose factual and legal theories and trial strategies might be reflected therein, but from his agent. In Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947), the attorney was in a position fully to protect the privilege of nondisclosure provided by the work product doctrine by refusing to produce the material sought and standing in contempt.

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Bluebook (online)
633 F.2d 282, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-the-matter-of-grand-jury-empanelled-october-18-1979-appeal-of-edwin-j-ca3-1980.