Under Seal 1 v. United States

870 F.3d 312
CourtCourt of Appeals for the Fourth Circuit
DecidedAugust 18, 2017
Docket16-4096, 16-4099
StatusPublished
Cited by29 cases

This text of 870 F.3d 312 (Under Seal 1 v. United States) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fourth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Under Seal 1 v. United States, 870 F.3d 312 (4th Cir. 2017).

Opinions

Affirmed in part, reversed in part, and remanded with instructions by published per curiam opinion. Judge Niemeyer wrote an opinion concurring in part and dissenting in part.

PER CURIAM:

This case arises from the district court’s denial of a motion to quash grand jury subpoenas demanding testimony of a criminal defendant’s attorney and investigator. As we explain, we find that part of the testimony sought is fact work product that may nonetheless be compelled because it falls under the crime-fraud exception to the work-product privilege. But the government may not ask a general question attempting to reach what we deem to be opinion work product. Accordingly, we affirm in part and reverse in part.

I.

We provide only a general recitation of the facts to preserve the confidentiality of the ongoing grand jury proceedings.

The United States obtained a conviction of a criminal defendant (the “Defendant”) in the Western District of North Carolina. After trial, the government noticed that one of the exhibits introduced by the Defendant—a photocopy of a document—appeared to be a forgery. Upon request, the Defendant’s attorney provided the United States with a better-quality copy of the exhibit. The better-quality copy appeared to confirm the government’s suspicion but also raised new questions, and the United States requested interviews with the defense attorney and her investigator (collectively, the “Defense Team”). The Defense Team declined to be interviewed, and the Grand Jury then issued subpoenas compelling their testimony.

The Defense Team moved to quash the grand jury subpoenas, arguing that the government sought protected work product. The Defendant—represented by new counsel—intervened in support of the Defense Team. In response to the Defense Team’s motion to quash, the United States clarified that it planned to ask the Defense Team three questions: “(1) Who gave you the fraudulent documents? (2) How did they give them to you, specifically? (3) What did [a specific party under investigation] tell you?” J.A. 466. The district court held that the testimony sought constituted fact work product but that the United States had made a prima facie case that the crime-fraud exception applied such that the questions could be asked. The court thus denied the motion to quash.1

This appeal followed.

[316]*316II.

Before us, the Defense Team and Defendant argue that the district court erred in finding that 1) the testimony sought by the government is fact—rather than opinion— work product and 2) the crime-fraud exception applies to compel discovery of the privileged communications.

We review a district court’s ruling on privilege for abuse of discretion, “factual findings as to whether a privilege applies for clear error, and the application of legal principles de novo.” United States v. Hamilton, 701 F.3d 404, 407 (4th Cir. 2012). The determination that the government, has made a prima facie showing of crime or fraud sufficient to vitiate a claim of work product privilege “should be upheld absent a clear showing of abuse of discretion.” In re Grand Jury Proceedings #5 Empanelled January 28, 2004, 401 F.3d 247, 254 (4th Cir. 2005) (internal quotation marks omitted). “A district court by definition abuses its discretion when it makes an error of law.” Koon v. United States, 518 U.S. 81, 100, 116 S.Ct. 2035, 135 L.Ed.2d 392 (1996).

A.

The work-product privilege protects from discovery “an attorney’s work done in preparation for litigation.” In re Grand Jury Proceedings #5, 401 F.3d at 250. Because the privilege protects “not just the attorney-client relationship but the interests of attorneys to their own work product, the attorney, as well as the client, hold the privilege.” Id. (internal citations omitted).

Not all work product is treated equally: We afford greater protection to opinion work product than to fact work product. Fact work product is a “transac-tion of the factual events involved” and may be obtained upon a mere “showing of both a substantial need and an inability to secure the substantial equivalent of the materials by alternate means without undue hardship.” In re Grand Jury Proceedings, John Doe, 102 F.3d 748, 750 (4th Cir. 1996) (quoting In re Grand Jury Proceedings, Thursday Special Grand Jury Sept. Term, 1991, 33 F.3d 342, 348 (4th Cir. 1994)). Opinion work product, on the other hand, “represents the actual thoughts and impressions of the attorney,” and it is “more scrupulously protected.” Id. “[0]pin-ion work product enjoys a nearly absolute immunity and can be discovered only in very rare and extraordinary circumstances.” In re John Doe, 662 F.2d 1073, 1080 (4th Cir. 1981) (quoting In re Murphy, 560 F.2d 326, 336 (8th Cir. 1977)).

A party seeking material that would usually qualify as work product may vitiate the privilege by showing that the material was “made for the purpose of committing or furthering a crime or fraud.” In re Grand Jury Subpoena, 884 F.2d 124, 127 (4th Cir. 1989). The crime-fraud exception provides a separate avenue for compelling production of both fact and opinion work product, but here again opinion work product enjoys greater protection.

A party seeking to compel the production of opinion work product under the crime-fraud exception must demonstrate attorney knowledge of or participation in the client’s crime or fraud, but no such showing is necessary to discover fact-work-product privileged materials related to a client’s crime or fraud. See In re Grand Jury Proceedings #5, 401 F.3d 247 at 252-54; Chaudhry v. Gallerizzo, 174 F.3d 394, 403 (4th Cir. 1999). Because the government does not claim that the De[317]*317fense Team was aware of the'Defendant’s alleged crime or fraud, the reach of the grand jury’s subpoena under the crime-fraud exception is limited to fact work product. The distinction between fact and opinion work product, therefore, bears on the outcome of this case..

B.

In Upjohn Co. v. United States, the Supreme Court developed a framework for analyzing the protection afforded an attorney’s recollection of witness interviews, albeit without diving deeply into the distinction between fact and opinion work product. 449 U.S. 383, 400-01, 101 S.Ct. 677, 66 L.Ed.2d 584 (1981). The Court held that “memoranda based on oral statements of witnesses [that] would reveal the attorney’s mental processes ... deserv[e] special protection” without creating stronger protections for all

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870 F.3d 312, Counsel Stack Legal Research, https://law.counselstack.com/opinion/under-seal-1-v-united-states-ca4-2017.