Zapata v. IBP, Inc.

175 F.R.D. 574, 39 Fed. R. Serv. 3d 1261, 1997 U.S. Dist. LEXIS 11853, 1997 WL 449897
CourtDistrict Court, D. Kansas
DecidedJuly 15, 1997
DocketCivil Action Nos. 93-2366-EEO, 96-2242-EEO
StatusPublished
Cited by10 cases

This text of 175 F.R.D. 574 (Zapata v. IBP, Inc.) is published on Counsel Stack Legal Research, covering District Court, D. Kansas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Zapata v. IBP, Inc., 175 F.R.D. 574, 39 Fed. R. Serv. 3d 1261, 1997 U.S. Dist. LEXIS 11853, 1997 WL 449897 (D. Kan. 1997).

Opinion

MEMORANDUM AND ORDER

EARL E. O’CONNOR, District Judge.

This matter is before the court on the motion of defendant IBP, Inc., for protective order (Doc. # 536). The motion concerns the Expert Witness Report of plaintiffs expert, Dr. Charles Craypo, which contains handwritten notes of defendant’s attorneys (“the Craypo Report”). Defendant contends that the handwritten notes constitute attorney-client privilege, and were inadvertently produced to plaintiffs’ counsel. Defendant seeks an order from the court requiring plaintiffs’ attorneys to return all copies of the Craypo Report, and preventing any use by plaintiffs of the attorneys’ handwritten annotations on the Craypo Report. Defendant seeks to substitute a copy of Dr. Craypo’s report that does not contain IBP’s attorneys’ notes. Plaintiffs object to defendant’s motion, and have refused to return the document at issue. For the reasons stated below, the motion for protective order is granted.

I. Factual Background.

The following constitutes a brief summary of the relevant facts, as related by defendant and uncontested by plaintiffs. On March 13, 1997, Michele Baird, an attorney for IBP, spoke by telephone with Dr. Keith Chauvin, an expert witness for IBP. Dr. Chauvin advised Ms. Baird that he had misplaced the copy of Dr. Craypo’s report he had received several months earlier, and requested that [576]*576Ms. Baird send him another copy of Dr. Craypo’s expert report. Later that day, Ms. Baird requested her secretary to send a copy of Dr. Craypo’s expert report to Dr. Chauvin. A copy of the report was sent to Dr. Chauvin on that day. On March 19,1997, IBP discovered that Ms. Baird’s secretary had sent Dr. Chauvin a copy of Dr. Craypo’s report containing handwritten notations of Ms. Baird and another IBP attorney, Michelle Dreibelbis. None of the attorneys’ notations are located on the first page of the Craypo report.

On March 18, 1997, plaintiffs’ counsel deposed Dr. Chauvin. In response to the document request attached to his deposition notice, Dr. Chauvin produced his file, which contained the Craypo report annotated with the attorneys’ notes. Dr. Chauvin’s file included over one thousand documents. Shelly Freeman, IBP’s local counsel, defended Dr. Chauvin’s deposition. Because she did not know who had written the notations on Dr. Craypo’s report, she did not object when the report was produced to the plaintiffs’ attorney during the deposition. Dr. Chauvin testified in his deposition that he did not pay attention to the notes when he reviewed the Craypo report.

Subsequently, on March 19, 1997, Ms. Freeman asked Ms. Baird about the notations on Dr. Craypo’s report. According to Ms. Baird, this was the first time she had any knowledge that the copy of Dr. Craypo’s report sent to Dr. Chauvin on March 13, 1997, contained the attorneys’ notations. That same day, Ms. Baird faxed a letter to plaintiffs’ counsel, notifying them that “the production of the report containing attorney’s [sic] notes was inadvertent and unintentional,” and requesting that they return all copies of the report containing attorneys’ notations. Plaintiffs’ counsel have refused to comply with Ms. Baird’s request.

II. Discussion.

Although defendant characterizes the issue as whether the Craypo Report is a document protected by the attorney-client privilege, the court finds the facts more properly invoke the work product doctrine. An attorney’s “work product" protection is something separate and apart from the attorney-client privilege. Mike v. Dymon, 1996 WL 674007, *8 (D.Kan.1996) (citing Great Plains Mut. Ins. Co. v. Mutual Reins. Bureau, 150 F.R.D. 193, 196 (D.Kan.1993)). See also Annot., Development, Since Hickman v. Taylor, of Attorney’s “Work Product” Doctrine, 35 ALR 3d 412, § 2[a] (1971). The mental impressions prepared or formed by an attorney in the course of his legal duties for his own use in prosecuting his client’s case and contained in his files fall outside the scope of the attorney-client privilege, and hence are not protected from discovery on that basis; nevertheless, they are protected as the “work product” of an attorney. Id. In the instant case, the court has reviewed the annotations to the Craypo report, identified as attorneys’ notes, and finds that the notations contain the attorneys’ mental impressions, conclusions, opinions, or legal theories, made with an eye toward litigation. Hickman v. Taylor, 329 U.S. 495, 511, 67 S.Ct. 385, 393-94, 91 L.Ed. 451 (1947). The court also finds, based upon the facts presented, that the disclosure of the annotated Craypo report was inadvertent, inasmuch as such disclosure was not intended by IBP’s attorneys.

In order to be protected by work product immunity, the party asserting the doctrine must show (1) that the material is a document or tangible thing, (2) that the material was prepared in anticipation of litigation, and (3) that the material was prepared by or for a party or by or for the party’s representative. Burton v. R.J. Reynolds Tobacco Co., 167 F.R.D. 134, 139 (1996) (citing Jones v. Boeing Co., 163 F.R.D. 15, 17 (D.Kan.1995)). The facts presented are sufficient to establish each of the foregoing requirements. Thus, the issue before the court is whether defendant’s production of the Craypo Report constitutes a waiver of the work product protection.

The courts in this district employ a five-factor test to determine if inadvertent disclosure of documents effects a waiver of the attorney-client privilege. See Monarch Cement Co. v. Lone Star Industries, Inc., 132 F.R.D. 558, 559 (D.Kan.1990); Kansas City Power & Light Co. v. Pittsburg & Midway Coal Mining Co., 133 F.R.D. 171, 172 [577]*577(D.Kan.1989) (both citing Hartford Fire Ins. Co. v. Garvey, 109 F.R.D. 323 (N.D.Cal. 1985)). This same five-factor test also is used to assess whether inadvertent disclosure of documents results in a waiver of the work product protection. In re Wyoming Tight Sands Antitrust Cases, No. 85-2349-S, 1987 WL 93812 (D.Kan.1987). The factors are as follows:

1. The reasonableness of the precautions taken to prevent inadvertent disclosure;
2. The time taken to rectify the error;
3. The scope of discovery;
4. The extent of disclosure; and
5. The overriding issue of fairness.

Id. at *4 (citing Hartford Fire Ins., 109 F.R.D. at 332). We shall consider each of these five factors in turn.

With respect to the precautions taken, defendant contends that its attorneys diligently attempted to protect confidential information by carefully screening documents. While the court observes that defendant’s attorney could have been more careful by personally inspecting the Craypo report before sending it out, on balance, this factor weighs in favor of finding the work product protection was not waived. The court finds evidence of precautionary measures in the fact that the Craypo Report is the only document of which defendant or the court is aware that has been inadvertently produced to plaintiffs’ counsel during the three and one-half years of litigation.

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Bluebook (online)
175 F.R.D. 574, 39 Fed. R. Serv. 3d 1261, 1997 U.S. Dist. LEXIS 11853, 1997 WL 449897, Counsel Stack Legal Research, https://law.counselstack.com/opinion/zapata-v-ibp-inc-ksd-1997.