Microsoft PowerPoint - public_records_attorney-client_communications

8/22/2012

RecordsInvolvingAttorney‐Client

CommunicationsandWorkProduct

FraydaBluestein

ChrisMcLaughlin

MujeebShah‐Khan

[email protected]

mujeeb.shahkhan@greensboro‐nc.gov

PersonnelRecords(Tuesday,June5,1pmto2:30pm)

2012PublicRecordsLawWebinarSeries

GeneralRecordsLaw(Thursday,March29,1pmto3pm)

RecordsRetention(Tuesday,April24,1pmto3pm)

Finance,Tax, EconomicDevelopmentandContractingRecordsLaw

(Thursday ,June28,10amto12noon)

AttorneyCommunicationsandOpenMeetings

(Wednesday,August22,1pmto2:30pm)

Clickontheiconbelowto

viewadditionalresources

PurchaseOn‐Demand

Today ’sTopics

 Whatarethebasicsoftheattorney‐clientprivilegeand thework

productdoctrine?

 Whatpartsoftheprivilegearepreservedinthepublicrecords

law?

– Recordscontainingcommunicationsfromtheattorneytotheboard

– Trialpreparation(workproduct)records

– Minutesofclosedsessionsinvolvingmatterswithintheattorney‐client

privilege

 Whatethicalobligationsdoattorneyshaveregardingprivileged

information?

 Whatisthestatusofattorneycontracts,billingrecords,and

settlementagreements?

8/22/2012

OverviewoftheAttorneyClientPrivilege

andtheWorkProductDoctrine

ChrisMcLaughlin

AssistantProfessorofPublicLaw

andGovernment

919.843.9167

ChrisMcLaughlin

AssistantProfessorofPublicLaw

andGovernment

919.843.9167

[email protected]

ThreeRelatedConcepts

 DutyofConfidentiality

 A ttorneyClientPrivilege

 WorkProductDoctrine

Dutyofconfidentiality

A/CPrivilege

WorkProduct

ThreeRelatedConcepts

8/22/2012

DutyofConfidentiality

 Extremelybroad:coversanyinformation

obtainedbyattorneyduringrepresentation

 ProfessionalResponsibilityissue(Rule1.6)

 Can’ttalkaboutclientmatterswithout

permission

Attorney–ClientPrivilege

 Muchmorelimitedinscope

 Evidentiaryissue:excludesothersfrom

obtainingdetailsoflegalrepresentationand

usingthosedetailsinlitigation

 Commonlaw–notastatutoryprivilege

• Inre:InvestigationofDeathofEricMiller,357NC316

(2003)

CommonLaw

Attorney–ClientPrivilege

 Communicationmadeinconfidence

 Relatingtoamatteraboutwhichtheattorneyis

beingprofessionallyconsulted

 Whileseeking/givinglegaladviceforproper

purpose

8/22/2012

Attorney‐ClientPrivilegeforEntitiesin

NorthCarolina

 Littleguidancefromcourts

 Twokeyquestions:

– WhocontrolstheACP?(waiver)

– Whomdoesitcover?(scope)

WhocontrolstheACPforentities?

 Con trol=authoritytowaiveACP

 Governingboardofclient

– Corporateboard ofdirectors

– Countyboardofcommissioners

– Citycouncil

TheCorporateMirandaWarning:

BlueDevilCity’sattorneyisinvestigatingallegationsof

misconductagainstthecitymanager.Theattorney

interviewsthecitymanager.Thecitymanagerislater

firedandsuesthecityfordiscrimination.

8/22/2012

TheCorporateMirandaWarning

 Remindemployeeswhomyourepresent

 Keyforlocalgovernmenttoretaincontrolof

confidentiality/ACPratherthanemployee

WhomdoesentityACPcover?

(scope)

 Upjohn(SCOTUS1981)

– Rejected“controlgroup” forfederal ACP

 Othertests:

– Subjectmatterofconversation

– ScopeofEmployment

WhomdoesentityACPcover?

(scope)

 YouareattorneyforBlueDevilCityandhave

beenaskedtoinvestigatepotentialtheftinthe

taxoffice.

 Youfirstmeetwiththecitytaxcollector.The

nextdayyoumeetwiththemanagerofthe

bankbranchwherethecitymakesitsdailycash

deposits.

8/22/2012

Whichtheseconversationsare

coveredbytheACP?

WorkProductDoctrine

 St atutoryexceptiontodiscoveryrules

 NCRuleofCiv.Proc.26(b)(3):

– documentsandtangiblethings...preparedin

anticipationoflitigationorfortrialbyorfor[a]party

orbyorforthatparty'sconsultant,surety,

indemnitor,insurer,oragent

WorkProductDoctrine

 Ascityattorney,youarerepresentingthecityin

alawsuitbroughtbytwoindividualswhowere

hurtwhentheelevatorinCityHall

malfunctionedlastmonth.

8/22/2012

WorkProductDoctrine

 Thecity’selevatorsareinspectedannuallyby

Mike’sMechanicalEngineering,Inc.Thelast

regularinspectionreportwasfrom3months

beforetheaccident.

 Immediatelyaftertheaccident,youhiredEddie

Engineertoinspecttheelevatorinquestionand

produceareport.

Aretheinspectionreportscoveredby

theworkproductdoctrine?

Attorneys’EthicalObligationsre:

Privileges

 Yourclient’sprivilege:

– Dutytoraiseallnon‐frivolousclaimsofprivilege

– Comment13toABARule1.6(confidentiality)

 Opposingparty’sprivilege:

– Dutynottoknowinglyinterfere

– Rule8.4(prejudicialtoadministrationofjustice)

– Blogpostre:employeeemail

8/22/2012

Questions?

FraydaBluestein

ProfessorofPublicLawandGovernment

919.966.4203

FraydaBluestein

ProfessorofPublicLawandGovernment

919.966.4203

PublicRecordsExceptions

bluest[email protected]

DutyofConfidentialityin

PublicAgencies

Privilege

Public

Access

8/22/2012

NCSupremeCourtsays:

 Recordsthatareprivilegedunderthecommon

laworstatutesarepublicrecordsunlessthe

publicrecordslawspecificallyexemptsthem.

N&Ov.Poole,330N.C.465(1992)

 St atutoryExemptions

– Writtencommunicationsbetweenattorneyand

board

– Trialpreparationmaterials(asdefinedinstate

discoverylaw)

– Closedsessionminutes

DutyofConfidentiality

ConversationsConversations

InformationInformation

RecordsRecords

 Obligationofconfidentiality

appliestoalltypesof

communicationsand

informationtheattorneyhas.

 PublicRecordsActappliesto

records andinsomecaseslike

personnelrecords,information

thatexistsinrecords

AttorneyConfidentialityand

PublicRecords

Acitizenrequestsacopyofamemothecity

attorneypreparedforthefinanceofficer

regardingtheconsequencesoffailingtoinclude

apreaudit statementonacontract.

8/22/2012

AttorneyMemo

 Clearly,thismemowouldbeprivilegedunder

thecommonlawattorney‐clientprivilege.

 Thepublicrecordslawoverridesthecommon

law.Therecordmustbeprovided

Afterreceivingtherecord,thecitizenhassome

followupquestionsfortheattorneyaboutthe

circumstancesthatledtothewritingofthememo.

FollowUpQuestions

 Clearly,thisinformationwouldbeprivileged

underthecommonlawattorney‐clientprivilege.

 Thepublicrecordslawdoesn’toverridethe

privilegeastothisinformationbecausethe

publicrecordslawappliesonlytorecords.

8/22/2012

PublicRecordsandtheDutyof

Confidentiality

Dutyofconfidentiality

A/CPrivilege

WorkProduct

P/RExceptions

Acityhasreceivedamassiverequestforemails

toorfromthemanager,anydepartmenthead,

andeachmemberofthegoverningboardfor

thepastsixmonths.Thecityhasidentified

numerousemailstoandfromthecityattorney.

Anyemailtoorfromthecityattorneyis

privileged

andmaybewithheld.

ConfidentialCommunications(G.S.

132‐1.1(a)

 Protectswrittencommunicationstothe

governingbody,madewithintheattorneyclient

privilege.

 Mustbefromattorneytoclient

 Mustrelatetoclaimorlitigation;judicialor

administrativeaction

 Doesnotprotectallcommunicationsinvolving

theattorney;onlythosethatfallwithinthe

statute.

8/22/2012

Three‐yearlimit

 Recordsbecomepublicthreeyearsfromthe

datethecommunicationwasreceivedbythe

entity

– Thislimitappliesevenifthematterwasresolved

beforethreeyears,orisongoingatthethree‐year

mark.

– Recordscoveredbyadifferentexceptionmaystillbe

exempt(suchas,personnelrecords)

 Recordsarenotpublicrecords,butreleaseis

notprohibited

Thecountymanagerhasreceivedrequestfor

informationaboutarecentdisciplinaryaction

ofanemployee.Considerthestatusofthe

following records:

Questions?

8/22/2012

TrialPreparationMaterials

Mujeeb Shah‐Khan

CityAttorney ,Greensboro

336‐373‐2695

Mujeeb Shah‐Khan

CityAttorney ,Greensboro

336‐373‐2695

mujeeb.shahkhan@greensboro‐nc.gov

TrialPreparationMaterials

 Before2005,thepublicrecordsstatutesdidnot

containanexceptionfortrialpreparation

materialsorworkproduct.

– McCormickv.HensonAggregatesSoutheast,Inc

(2004N.C.COA)– heldnoworkproductprivilegein

publicrecordsrequests

 So,in2005,wegetG.S.§132‐1.9whichpermits

governmentstodenyaccesstootherwisepublic

recordsthataretrialpreparationmaterials.

TrialPreparationMaterials

 Protectioncanbeassertedforactivecasesor

proceedingsthathavenotyetcommenced

 Canbeassertedforlitigation,orfor

administrativeorquasi‐judicialproceedings

 Materialsprotectedaredefinedasthosealso

protectedbyCivilProcedureRule26(b)(3)and

comparablematerials.

8/22/2012

TrialPreparationMaterials

 PracticePointers:

– Makesurethatyouprotectonlythematerialsthat

youcanlegitimatelyprotect–narrowdownand

don’ttrytoprotectmarginaldocuments

• Youcanprotectdocumentscontainingmental

impressions,legaltheories,conclusionsoropinionsof

attorneysortheiragents

– Layoutacompellingjustificationinthe132‐1.9(b)

letterforwhytherecordsshouldbeprotected

• Maykeepyououtofattorneysfeeslandunder132‐9.

Questions?

ClosedSessionMinutes

 Closedsessionstoprotecttheattorneyclient

privilege.G.S.143‐318(a)(3)

– Includesanyconsultationwiththeattorney,

includingconsultationaboutlitigation.

– Authorizestheboardtoinstructtheattorneyabout

thehandlingorsettlementofaclaim,settlement,

judicialaction,mediation,arbitration,or

administrativeprocedure.

8/22/2012

StatusUnderasPublicRecords

G.S.143‐318.10(e)

 Minutesandaccountsofclosedsessionsmaybe

withheldfrompublicinspectionsolongas

publicinspectionwouldfrustratethepurposeof

theclosedsession.

 BlogPost:ClosedSessionMinutesandGeneral

AccountsUnderthePublicRecordsLaw

QuestionstoConsiderinApplyingthe

Exception

1. Wastheclosedsessionvalidlyheld?

2. Whatisthenatureofthematterthatwasthe

subjectofthesessionandwhatisitsstatusat

thetimeoftherequestforordecisionto

release?

3. Whatspecificinformationisincludedinthe

minutes/accountandwhatisitsstatusatthe

timeoftherequestforordecisiontorelease?

WhatFrustratesthePurpose?

 Probablymustreleasewhenactionistakenor

matterisresolved.

 Openquestiononmeetingstopreserve

attorney‐clientprivilege:

– Whenmatteriscomplete?

– Co‐extensivewithdurationofprivilege:forever?

8/22/2012

Acountyboardofcommissionersgoesintoclosedsessionona

motionunderG.S.143‐318.11(a)(4)todiscusspossible

incentivesforabusinessprospect.Theboardaskstheattorney

toattend,andthediscussionincludesadvicefromtheattorney

onthelegalityofseveralincentivesthecountywantedto

consider.The

businessdecidesnottocomeandthecounty

receivesarequestfortheminutesofthemeeting.

WordofAdvice

 Makesuretoincludepreservationofattorney‐

clientprivilegeasareasonforaclosedsessionif

youwanttoprotectthatpartoftheminutes

fromdisclosure.

AttorneyBillingandTimeRecords

 Billingstatementsarefinancialrecords;not

privilegedandnotworkproduct

 Someinformationmayfallwithintheclient

communicationorworkproductexceptions

 Confidentialinformationonrecordsmaybe

redacted(personnel,trialpreparation)

8/22/2012

SettlementRecords

G.S.132‐1.3

 Wouldalreadybepublicunderthebasicpublicrecords

definition.

 Appliestopublicrecordsinactionsagainstthepublic

entity,andallowsthemtobesealedincertain

circumstances.

 Includesdraftsandotherdocumentsthataremadeor

usedinconnectionwiththesettlement.

 Doesnotincludeconfidentialcommunicationsunder

G.S.132‐1.1,andpossiblyrecordscoveredbyother

exceptions(personnel,trialpreparation)

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