Mitzner v. Sobol

136 F.R.D. 359, 1991 U.S. Dist. LEXIS 21570, 1991 WL 68841
CourtDistrict Court, S.D. New York
DecidedApril 8, 1991
DocketNo. 90 Civ. 2379 (VLB)
StatusPublished
Cited by5 cases

This text of 136 F.R.D. 359 (Mitzner v. Sobol) 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
Mitzner v. Sobol, 136 F.R.D. 359, 1991 U.S. Dist. LEXIS 21570, 1991 WL 68841 (S.D.N.Y. 1991).

Opinion

ORDER

JOEL J. TYLER, United States Magistrate Judge.

BACKGROUND

For a factual background and procedural history, we refer to our Report and Recommendation, 90 Civ 2379 (VLB), filed September 5, 1990, familiarity with which is assumed. Since the date of that Report, discovery has been proceeding under our direction. The instant matter concerns certain discovery requests and deposition questions, from which defendants seek a protective order based on their assertion of attorney-client privilege. The primary document at issue is a Memorandum, dated January 20, 1989, from Robert E. Diaz, then State Education Department’s General Counsel, to Lionel Meno, a Department Official. The document was drafted by Charles E. O’Brien, an attorney in the State Education Department Office of Counsel and concerns “allegations made by Iris and Bernard Mitzner of improprieties in the Spring 1988 fifth grade writing test at Goshen Central School.” The Memorandum is headed with the following conspicuous label: “PRIVILEGED AND CONFIDENTIAL ATTORNEYS WORK PRODUCT” and has been submitted to the court for in camera inspection.

ATTORNEY-CLIENT PRIVILEGE

In Upjohn, the Supreme Court broadened the scope of the attorney client privilege to include communications between employees of a corporation and corporate counsel. Upjohn v. United States, 449 U.S. 383, 101 S.Ct. 677, 66 L.Ed.2d 584 (1981).

We decline to lay down a broad rule or series of rules to govern all conceivable future questions in this area, even were we able to do so. We can and do, however, conclude that the attorney-client privilege protects the communications involved in this case from compelled disclosure and that the work-product doctrine does apply in tax summons enforcement proceedings.

Id. at 386, 101 S.Ct. at 681.

The scope of the holding in Upjohn, with respect to the attorney-client privilege, is, thus, expressly limited to employees “responses to questionnaires and any notes reflecting responses to interview ques-tions____” Id., 101 S.Ct. at 686. On the other hand the Court recognized that an uncertain privilege, or one which purports to be certain but results in widely varying applications by the courts, is little better than no privilege at all. Our task is to determine whether Upjohn applies in the instant case and, if so, whether any exceptions to the rule apply. Id. at 393, 101 S.Ct. at 684.

Defendants contend that Upjohn applies to the instant situation and propose an analogy between the state educational hierarchy and a corporation. If we adopt, ar-guendo, defendants’ analogy, Upjohn is not necessarily dispositive of the issues raised in the instant case. The Court did not address the following relevant questions in Upjohn:

1) Whether litigation between the corporation entity and an employee waives the attorney client privilege, particularly [361]*361if the employee is a “whistleblower” and merely one of many employees whose communications to counsel, relevant to the whistleblowing and ensuing investigative report, are at issue.
2) Whether the work-product rule should apply to an investigative report prepared as the result of a whistleblower’s complaint, where the only possible litigation reasonably anticipated, at the time, were retaliatory proceedings brought to discipline the whistleblower, and where the instant civil rights litigation is a direct result of those disciplinary proceedings. In such a case, the work-product can not be said to have been prepared in anticipation of the litigation now in progress and the investigative report is the only direct evidence of certain conduct of the supervisors who brought or condoned the alleged retaliatory disciplinary proceedings.

By broadening the scope of both the attorney-client privilege and protection for work-product utilizing employee communications, the Court has necessarily broadened the potential for waiver of the privilege in litigation involving the corporation, or analogous entity, and those persons included within the broadened scope. In other words, in certain contexts, the employees, i.e., agents of the corporation, are collectively the “client”; corporate counsel, also an agent of the corporation, is the attorney. Once the corporation brings proceedings against an employee there is an adversarial relationship between this ficti-tional “client” and “attorney”. It is, of course, a basic principal of the common law of privilege that litigation between the client and the attorney waives the privilege.

Continuing with the corporate analogy in the instant case, however, the employee against whom action was taken and who is, hence, now suing the corporation, is not one of the employees from whom information was gathered for the preparation of the interim report relevant to the proceedings; however, her information was the impetus for the investigation and is necessarily a part of the interim report. The particular communication of one employee to corporate counsel is not at issue but, rather, the accumulated information gathered from the “client” group of which that person is, otherwise treated as a member.

The question of waiver is, thus, not a simple one. But are we to permit the employees, as a group, to be treated as the “client” so that the privilege can be used as a shield to protect, from third party adversaries, the corporate entity and all those within the broad definition of “client”, as a commonly interested group, and then permit the corporation to single out one member of that same group, when the information—gathered as part of an internal investigation—is ultimately used for a purpose adverse to that member. The expanded privilege is there used as a sword, if not a knife in the back. A fundamental unfairness and double standard seems to emerge from these circumstances.

When this hypothetical corporate environment is superimposed on the background of a state’s educational hierarchy, public policy and public interest in education, and in those responsible for administering it, certainly adds no weight to the argument for nondisclosure. This is not to say that a strong public interest can overcome the absolute attorney-client privilege but, rather, that there is no public interest or policy reason to justify the above-described double standard and unfairness. “The policy of privilege is to protect confidential attorney-client relationships only to the extent that the injury the relationship would suffer is greater than the benefut to be gained thereby.” Hearn v. Rhay, 68 F.R.D. 574 (E.D.Wash.1975) (quoting 8 Wigmore, sec. 2285 at 527). As the scope of the privilege has been broadened, so must be the scope of the circumstances constituting waiver of the privilege. Fortunately, this is not a case of first impression and analogous cases exist to instruct us on the common law of privilege.

Federal courts have held that the filing of suit, by the party asserting a privilege, or an affirmative act, which places the privileged information or communications at issue, waives the privilege so as to allow opposing party access to information for her defense. Hearn, supra, 68 F.R.D. 574 (State prison officials were deemed “clients” for purposes of privileged commu[362]*362nications with attorney general regarding subject of civil rights suit).

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Bluebook (online)
136 F.R.D. 359, 1991 U.S. Dist. LEXIS 21570, 1991 WL 68841, Counsel Stack Legal Research, https://law.counselstack.com/opinion/mitzner-v-sobol-nysd-1991.