Gregory A. CHAIMOV, Plaintiff-Respondent, υ. STATE OF OREGON, by and through the Oregon Department of Administrative Services, Defendant-Appellant.
Marion County Circuit Court 18CV39159; A169203
Oregon Court of Appeals
September 9, 2021
314 Or App 253 (2021); 498 P3d 830
Audrey J. Broyles, Judge.
Argued and submitted September 8, 2020, reversed and remanded September 9, 2021, petition for review allowed January 20, 2022 (369 Or 209). See later issue Oregon Reports
Reversed and remanded.
Audrey J. Broyles, Judge.
Jona J. Maukonen, Assistant Attorney General, argued the cause for appellant. Also on the briefs were Ellen F. Rosenblum, Attorney General, and Benjamin Gutman, Solicitor General.
John DiLorenzo, Jr., argued the cause for respondent. Also on the brief were Duane Bosworth, Christopher Swift, Evan R. Christopher, and Davis Wright Tremaine LLP.
Jack L. Orchard, Adele J. Ridenour, and Ball Janik LLP filed the brief amicus curiae for Oregon Newspaper Publishers Association.
Before Armstrong, Presiding Judge, and James, Judge, and Aoyagi, Judge.
ARMSTRONG, P. J.
Reversed and remanded.
ARMSTRONG, P. J.
In this declaratory judgment action, the narrow question presented is whether state agencies that have submitted bill-drafting requests to the Office of Legislative Counsel (LC) are “clients” of LC for purposes of the lawyer-client privilege,
In reviewing a trial court‘s ruling on summary judgment, we apply the ordinary summary judgment standard under
We conclude that LC‘s services to agencies in the drafting of legislation are legal services to a “client” within the meaning of
Under
LC must keep confidential “the contents or nature of any matter before the Legislative Counsel in the official capacity of the Legislative Counsel” that is designated as confidential by the person bringing the matter to LC.
“(1) The Legislative Counsel or any employee of the Legislative Counsel Committee may not reveal to any person not an employee of the committee the contents or nature of any matter before the Legislative Counsel in the official capacity of the Legislative Counsel, if the person bringing the matter before the Legislative Counsel or employee designates the matter as confidential. Matters not designated as confidential may be revealed only as prescribed by the rules of the committee.
“(2) Notwithstanding subsection (1) of this section, the Legislative Counsel may provide a copy of a draft measure to the Legislative Fiscal Officer and the Legislative Revenue Officer.
“(3) The provision by the Legislative Counsel of a copy of a draft measure under subsection (2) of this section is not a waiver of privilege under
ORS 40.225 .”
In anticipation of the 2019 legislative session, the Governor asked state agencies in 2018 to identify problems or issues that they sought to resolve through the adoption of legislation and to propose ways of changing the law to address them. DAS required agencies to submit their proposals on a form entitled “2019 Agency Request to Office of Legislative Counsel for Drafting of Legislation” (the request form). DAS informed state agencies that legislative concepts “will be temporally exempt from disclosure [under the Public Records Law] until Legislative Counsel has submitted bill drafts to the Governor‘s Office for final approval (this should be done by November 30, 2018).”
The “header” on the request form stated, “Confidential and Attorney-Client Privileged.” An italicized paragraph on the form stated:
“This document is a request for legal services. By completing this form, the named agency asks the Office of Legislative Counsel to draft legislation for introduction in the 2019 Legislative Session based on the instructions below. Although it is expected that agencies will have discussed legislative concept ideas with stakeholders, agencies are directed to treat this document as confidential and privileged and, accordingly, not to share the text of this form outside of state government before legislation is drafted and finalized.”
Pursuant to those instructions, agencies created and submitted to the Governor‘s office request forms describing proposed legislative concepts. The request forms included the agencies’ description of the “problem,” the “proposed solution,” and a proposed drafted legislative change. The forms asked whether the concept had previously been introduced, whether it required an amendment of current law, and whether the proposal was related to a legal decision. The forms also asked the agencies to include an “equity analysis” and information concerning known stakeholders, known opposition or support, and any fiscal impact.
In 2018, the Governor approved 234 concepts for development, and DAS forwarded the request forms to LC for drafting as proposed legislation for the 2019 Legislative Assembly.
Plaintiff is an attorney with the firm of Davis Wright Tremaine LLP who practices
As permitted by
“’
ORS 192.355(9)(a) expressly exempts from disclosure “[p]ublic records or information the disclosure of which is prohibited or restricted or otherwise made confidential or privileged under Oregon law.” The lawyer-client privilege provides that “[a] client has a privilege to refuse to disclose and to prevent any other person from disclosing confidential communications made for the purpose of facilitating the rendition of professional legal services to the client.”ORS 40.225(2) . Accordingly,ORS 192.355(9)(a) permits public bodies to decline to disclose public records that are protected by the lawyer-client privilege. See, e.g., Port of Portland v. Ore. Center for Environ. Health, 238 Or App 404, 409, 243 P3d 102 (2011) (predecessor statute toORS 192.355(9)(a) encompasses lawyer-client privileged communications); Klamath County School Dist. v. Teamey, 207 Or App 250, 259, 140 P3d 1152, rev den, 342 Or 46 (2006) (same).“‘The Oregon Supreme Court has held that application of the lawyer-client privilege is contingent upon three findings. See State ex rel OHSU v. Haas, 325 Or 492, 501, 942 P2d 261 (1997). First, the communication must be “confidential” within the meaning of
ORS 40.225(1)(b) (a communication “not intended to be disclosed to third persons” other than to those necessary to facilitate the rendition of professional legal services). Second, the communication must have been made for the purpose of facilitating the rendition of professional legal services. And third, the communication must have been between the parties described in one of the paragraphs ofORS 40.225(2)(a) -(e). Id. If all three elements are satisfied, the lawyer-client privilege applies. Teamey, 207 Or App at 261-62. If an entire communication is deemed confidential, a public body is not required to separate exempt from nonexempt material underORS 192.338 . See Port of Portland, 238 Or App at 413.‘”
Boss then explained that the request forms satisfied each of the three criteria for lawyer-client privileged communications as defined in
The Attorney General‘s order included a paragraph explaining the narrow scope of the claimed privilege. Although the request forms themselves were privileged communications because they were provided “to facilitate professional legal services,” Boss reasoned that the substantive contents of the forms were likely available in a nonprivileged context:
“In adopting this interpretation, we are not suggesting that the privilege generally protects all communications within an agency regarding subjects about which an agency may want legal advice. A discussion about whether to pursue a particular legislative change, or what that legislative
change might look like, is not inherently a conversation to facilitate professional legal services. Nor is the fact that an agency has decided to pursue a legislative change inherently privileged. That is true even though actually pursuing the legislative change may require legal services pursuant to ORS 173.130(2) and (5). The fact that legal services may be necessary or desirable to implement a decision does not mean that discussions about the decision are necessarily discussions to facilitate legal services. As a result, information about the contents of the legislative concept forms may exist in non-privileged communications. Indeed, the general subjects of all of the forms could well be available from non-privileged sources. But our decision deals specifically with a form expressly intended to communicate, to an attorney, confidential information that will facilitate the attorney‘s rendition of legal services. Ultimately, we do not need to resolve any broader question about the confidentiality of proposed legislative concepts, and this decision should not be interpreted as doing so.”
(Emphasis added.)
Thus, as explained by Boss on behalf of the Attorney General, the privilege claimed with respect to the request forms was not for their substantive content. Rather, the claimed privilege related to the communication—the form itself and its transmittal to LC, to facilitate LC‘s drafting services for the particular bill requests.
As allowed by
In its motion for summary judgment, the state noted that the Public Records Law,
In his motion for summary judgment, plaintiff focused on the attorney-client relationship. Plaintiff asserted, in essence, that the Legislative Assembly has an exclusive attorney-client relationship with LC, that agencies have an exclusive attorney-client relationship with the Attorney General, see
Plaintiff responded that LC‘s attorney-client relationship is with the legislature and that bill-drafting services that are provided to other branches of the government are for the benefit of the legislature. Plaintiff noted that, in serving the interests of their clients, attorneys often perform work for third parties—such as reviewing deeds, insurance policies or other contracts of a business to be acquired by the attorney‘s client—but doing so neither creates a lawyer-client relationship with those third parties nor brings those
The trial court was persuaded by plaintiff‘s argument that LC and state agencies cannot have an attorney-client relationship and, for that reason, concluded that the request forms were not subject to an exemption from the Public Records Law as privileged attorney-client communications. The court issued a ruling from the bench granting plaintiff‘s summary judgment motion and denying the state‘s motion and entered a judgment declaring that the request forms were not subject to
On appeal, the state reprises its arguments made in its summary judgment motion. It is undisputed that the request forms are public records. The asserted basis for exemption from disclosure is that the forms are a communication subject to the lawyer-client privilege. See
As the Supreme Court said in Crimson Trace Corp. v. Davis Wright Tremaine LLP, 355 Or 476, 487-88, 326 P3d 1181 (2014), although the statutory privilege “requires the existence of an ‘attorney-client relationship’ in some sense” (emphasis added), the existence of a sufficient relationship for the privilege is determined exclusively by reference to the statutory privilege rule itself—not by reference to other sources of law defining an attorney-client relationship. As we view the dispositive question on appeal, contrary to
plaintiff‘s assumption, the existence of the privilege provided by
In Haas, citing State v. Jancsek, 302 Or 270, 274, 730 P2d 14 (1986), the Supreme Court noted that the determination whether the lawyer-client privilege exists under
“First, the communication must be ‘confidential’ within the meaning of
OEC 503(1)(b) . Second, the communication must be made for the purpose of facilitating the rendition of professional legal services to the client. Third, the communication must have been between persons described in one of the paragraphs ofOEC 503(2)(a) through (e).”
Exemptions from disclosure under the Public Records Law are narrowly construed. Guard Publishing Co. v. Lane County School Dist., 310 Or 32, 39, 791 P2d 854 (1990) (“A public body may not exempt itself from its responsibilities under the Inspection of Public Records law by adopting a policy that seeks to deprive citizens of their right under the law to inspect public records. Disclosure is the norm; exclusion is the exception that must be justified by the public body.“).
When an exemption is claimed, it is the public body‘s burden to justify it. In Defense of Animals v. OHSU, 199 Or App 160, 168, 112 P3d 1114 (2005);
The parties agree that LC‘s bill-drafting services are legal services, and they do not dispute that DAS sent the request forms to LC for the purpose of facilitating those services.
It is not disputed that DAS expressed the intention to keep the request forms confidential and that LC treated the request forms as confidential, and we conclude that the record on summary judgment requires the finding that they were intended to be confidential. But the attorney-client privilege can be waived if the holder of the privilege “voluntarily discloses or consents to disclosure of any significant part of the matter or communication.”
The remaining question is whether the communications were between persons described in
If the requirements of the privilege are met, the documents are unconditionally exempt from disclosure. Teamey, 207 Or App at 260-61.
We have rejected plaintiff‘s contentions that, because DAS initially intended to disclose the request forms after the bills were drafted and submitted pre-session, the communications were not confidential or that any privilege was waived by the agencies. Thus, we conclude that the request forms are exempt from disclosure under the lawyer-client privilege described in
Reversed and remanded.
Notes
“(1) As used in this section, unless the context requires otherwise:
“(a) ‘Client’ means:
“(A) A person, public officer, corporation, association or other organization or entity, either public or private, who is rendered professional legal services by a lawyer, or who consults a lawyer with a view to obtaining professional legal services from the lawyer.
“*****
“(b) ‘Confidential communication’ means a communication not intended to be disclosed to third persons other than those to whom disclosure is in furtherance of the rendition of professional legal services to the client or those reasonably necessary for the transmission of the communication.
“(c) ‘Lawyer’ means a person authorized, or reasonably believed by the client to be authorized, to practice law in any state or nation.
“*****
“(2) A client has a privilege to refuse to disclose and to prevent any other person from disclosing confidential communications made for the purpose of facilitating the rendition of professional legal services[.]
“*****
“(7) Notwithstanding
ORS 40.280 , a privilege is maintained under this section for a communication ordered to be disclosed underORS 192.311 to 192.478.”
(Emphasis added.) We note that
“On or before December 15 of an even-numbered year, or at any time in advance of a special session as may be fixed by joint rules of both houses of the Legislative Assembly, the following may file a proposed legislative measure with the Legislative Counsel:
“(a) The Oregon Department of Administrative Services, to implement the fiscal recommendations of the Governor contained in the Governor‘s budget.
“(b) The person who will serve as Governor during the session.
“(c) The Secretary of State, the State Treasurer, the Attorney General and the Commissioner of the Bureau of Labor and Industries.
“(d) The Judicial Department.”
“(1) The Legislative Counsel shall prepare or assist in the preparation of legislative measures when requested to do so by a member or committee of the Legislative Assembly.
“(2) Upon the written request of a state agency, the Legislative Counsel may prepare or assist in the preparation of legislative measures that have been approved for preparation in writing by the Governor or the Governor‘s designated representative. The Legislative Counsel may also prepare or assist in the preparation of legislative measures that are requested in writing by the Judicial Department, the Governor, the Secretary of State, the State Treasurer, the Attorney General or the Commissioner of the Bureau of Labor and Industries. In accordance with
“(3) The Legislative Counsel shall give such consideration to and service concerning any measure or other legislative matter before the Legislative Assembly as is requested by the House of Representatives, the Senate or any committee of the Legislative Assembly that has the measure or other matter under consideration.
“(4) The Legislative Counsel, pursuant to the policies and directions of the Legislative Counsel Committee and in conformity with any applicable rules of the House of Representatives or Senate, shall perform or cause to be performed research service requested by any member or committee of the Legislative Assembly in connection with the performance of legislative functions. Research assignments made by joint or concurrent resolution of the Legislative Assembly shall be given priority over other research requests received by the Legislative Counsel. The research service to be performed includes the administrative services incident to the accomplishment of the research requests or assignments.
“(5) The Legislative Counsel shall give an opinion in writing upon any question of law in which the Legislative Assembly or any member or committee of the Legislative Assembly may have an interest when the Legislative Assembly or any member or committee of the Legislative Assembly requests the opinion. Except as provided in subsection (2) of this section and
“(6) The Legislative Counsel may enter into contracts to carry out the functions of the Legislative Counsel.”
“(1) The Department of Justice shall have:
“(a) General control and supervision of all civil actions and legal proceedings in which the State of Oregon may be a party or may be interested.
“(b) Full charge and control of all the legal business of all departments, commissions and bureaus of the state, or of any office thereof, which requires the services of an attorney or counsel in order to protect the interests of the state.
“(2) No state officer, board, commission, or the head of a department or institution of the state shall employ or be represented by any other counsel or attorney at law.”
We recently addressed the interplay of the Public Records Law and the attorney-client privilege in a slightly different context in City of Portland v. Bartlett, 304 Or App 580, 468 P3d 980 (2020). There, the plaintiff sought disclosure under the Public Records Law of communications more than 25 years old between the city and its attorneys.
”
OEC 503 protects attorney-client privileged information andORS 192.355 (9)(a) provides that public bodies are exempt from disclosing privileged information.ORS 192.355(9) expressly recognizes that attorney-client privileged records are exempt from public disclosure. SeeORS 192.355(9)(b) (referring to theOEC 503 attorney-client privilege and the treatment of factual information compiled in an otherwise attorney-client privileged public record).”
304 Or App at 589. We held, however, that those privileged communications were subject to the 25-year ultimate repose of
