Stern v. Supreme Judicial Court

184 F.R.D. 10, 1999 U.S. Dist. LEXIS 558, 1999 WL 53032
CourtDistrict Court, D. Maine
DecidedJanuary 20, 1999
DocketNo. CIV. 98-CV-10896-B
StatusPublished
Cited by3 cases

This text of 184 F.R.D. 10 (Stern v. Supreme Judicial Court) is published on Counsel Stack Legal Research, covering District Court, D. Maine primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Stern v. Supreme Judicial Court, 184 F.R.D. 10, 1999 U.S. Dist. LEXIS 558, 1999 WL 53032 (D. Me. 1999).

Opinion

ORDER AND MEMORANDUM OF DECISION

BRODY, District Judge.

In this action for declaratory and injunctive relief, Plaintiff Donald K. Stern, United States Attorney for the District of Massachusetts, seeks to prevent enforcement of Rule 3.8(f) of the Massachusetts Rules of Professional Conduct (“Rule 3.8(f)” or “the Rule”).1 Defendants are the United States District Court for the District of Massachusetts (“District Court”), the United States District Court Judges for the District of Massachusetts (“District Court Judges”), and Arnold R. Rosenfeld, Bar Counsel for the Board of Bar Overseers (“Rosenfeld”).2 Currently before the Court are Plaintiffs Motion for Preliminary Injunction and Defendants District Court and District Court Judges’ Motion to Dismiss for lack of ripeness. At an October 6,1998 hearing on these motions, the parties agreed that resolution of Plaintiffs claims for permanent and declaratory relief also was appropriate at this time and that they be consolidated for disposition. For the reasons set forth below, Defendants’ Motion to Dismiss is DENIED and Plaintiffs requests for preliminary and permanent injunction and declaratory judgment also are DENIED.

I. BACKGROUND

Rule 3.8(f) was promulgated by the Supreme Judicial Court of Massachusetts as an amendment to the Massachusetts Rules of Professional Conduct. The Rule governs the conduct of prosecutors who seek to subpoena a lawyer to testify about a client. It provides as follows:

The prosecutor in a criminal ease shall ... [12]*12(f) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless:

1) the prosecutor reasonably believes:
(i) the information sought is not protected from disclosure by any applicable privilege;
(ii) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and
(iii) there is no other feasible alternative to obtain the information; and
2) the prosecutor obtains prior judicial approval after an opportunity for a prior adversarial proceeding.

Mass. R. Prof. Conduct 3.8(f).

The United States District Court for the District of Massachusetts adopted Rule 3.8(f) pursuant to Local Rule 83.6(4) of that court, which provides that the Massachusetts Rules of Professional Conduct govern the conduct of lawyers appearing before the United States District Court for the District of Massachusetts “except as otherwise provided by specific rule of this court after consideration of comments by representatives of bar associations within the Commonwealth.” Local R. 83.6(4)(b) of the United States District Court for the District of Massachusetts. In a letter to the District Court dated November 17, 1998, Plaintiff Stern requested that it decline to adopt Rule 3.8(f). Chief Judge Tauro responded by letter stating that after extensive discussion of the issue among the District Judges, “the court declines at this time to modify Local Rule 83.6” so as to except Rule 3.8(f) from its reach. (Compl.li 10.) He also noted that “to the degree that the issues discussed in your letter of November 17 may require resolution, the court anticipates that this will be done in particular eases or controversies appropriate for judicial determination.” Id.

Rule 3.8(f) subsequently took effect in the Commonwealth of Massachusetts and in the United States District Court for the District of Massachusetts on January 1, 1998. It applies to all state and federal prosecutors who are members of the Bar of the Supreme Judicial Court of Massachusetts and to all federal prosecutors appearing before the United States District Court for the District of Massachusetts.3

Prior to the adoption of Rule 3.8(f), service of subpoenas on lawyers by federal and state prosecutors in Massachusetts was governed by Supreme Judicial Court Rule 3.08, PF 15 (“Rule 3.08”).4 While former Rule 3.08 simply required prosecutors to seek judicial approval before subpoenaing lawyers to testify about their clients in front of a grand jury, Rule 3.8(f) additionally provides for the opportunity for an adversarial hearing and sets forth three criteria about which a prosecutor must have a reasonable belief. The First Circuit upheld former Rule 3.08 against a challenge by federal prosecutors much like the one raised here. See United States v. Klubock, 832 F.2d 664, 667-68 (1st Cir.1987) (en banc) (evenly divided court).

Just as under prior practice pursuant to former Rule 3.08, federal prosecutors seeking to subpoena a lawyer regarding a client in a 3.8(f) regime are subject to guidelines pro[13]*13mulgated by the Department of Justice. The guidelines provide that before approving such a subpoena, the Assistant Attorney General for the Criminal Division must apply the following principles:

• The information sought shall not be protected by a valid claim of privilege.
• All reasonable attempts to obtain the information from alternative sources shall have proved to be unsuccessful.
• In a criminal investigation or prosecution, there must be reasonable grounds to believe that a crime has been or is being committed, and that the information sought is reasonably needed for the successful completion of the investigation or prosecution. The subpoena must not be used to obtain peripheral or speculative information....
• The need for the information must outweigh the potential adverse effects upon the attorney-client relationship. In particular, the need for the information must outweigh the risk that the attorney may be disqualified from representation of the client as a result of having to testify against the client.
The subpoena must be narrowly drawn and directed at material information regarding a limited subject matter and shall cover a reasonable, limited period of time.

United States Attorney’s Manual § 9-13.410.

In support of his Motion for Preliminary Injunction, Plaintiff asserts that from November 1993 to September 1997, the United States Attorney for the District of Massachusetts sought authorization from the Department of Justice to serve approximately 199 subpoenas on lawyers concerning their present or former clients. Plaintiff also represents that when Rule 3.8(f) took effect he ordered a moratorium on all subpoenas to lawyers pending the outcome of this action. At this time, Plaintiff states that his office has at least 26 subpoenas to lawyers awaiting issuance. (Stern Aff. ! 15.)

II. MOTION TO DISMISS

The District Court and the District Court Judges move this Court to dismiss Plaintiffs claim for lack of subject matter jurisdiction on the ground that it is unripe or, in the alternative, to decline to decide the case in an exercise of its discretion under the Declaratory Judgment Act, 28 U.S.C. § 2201-2202 (1994). The Court finds Defendants’ arguments sound, and acknowledges that under some circumstances, they might be dispositive.

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184 F.R.D. 10, 1999 U.S. Dist. LEXIS 558, 1999 WL 53032, Counsel Stack Legal Research, https://law.counselstack.com/opinion/stern-v-supreme-judicial-court-med-1999.