*1 Before: BOGGS, Chief Judge; MERRITT and COLE, Circuit Judges.
_________________
COUNSEL ON BRIEF: Gregory W. Meyers, Robert K. Lowe, Melissa J. Callais, PUBLIC DEFENDER’S OFFICE, OHIO PUBLIC DEFENDER COMMISSION, Columbus, Ohio, for Petitioner. David A. Singleton, PRISON REFORM ADVOCACY CENTER, Cincinnati, Ohio, Marc R. Kadish, MAYER, BROWN, ROWE & MAW, Chicago, Illinois, Jeffrey M. Gamso, AMERICAN CIVIL LIBERTIES UNION OF OHIO FOUNDATION, Cleveland, Ohio, Eugene P. Whetzel, OHIO STATE BAR ASSOCIATION, Columbus, Ohio, Jason A. Macke, OHIO ASSOCIATION OF CRIMINAL DEFENSE LAWYERS, Columbus, Ohio, for Amici Curiae.
MERRITT, J., delivered the opinion of the court, in which COLE, J., joined. BOGGS, C. J. (pp. 10-16), delivered a separate dissenting opinion.
_________________
OPINION _________________ MERRITT, Circuit Judge. Gregory Lott has petitioned this Court for mandamus relief from a discovery order in which the District Court “waived” his attorney-client privilege because he claims actual innocence. There is no case authority holding that a claim of actual innocence “waives” the attorney-client privilege or similar privileges such as the doctor-patient and priest- penitent privilege.
Lott was convicted and sentenced to death for the 1986 murder of John McGrath, an elderly
resident of East Cleveland, Ohio. Lott is currently in the midst of litigating his second habeas
corpus proceeding pursuant to this Court’s authorization.
See In re Lott
,
In order for Lott to succeed in this second application for habeas relief, he must establish that but for the constitutional errors during his trial, no reasonable factfinder would have found him guilty of the murder. See 28 U.S.C. § 2244(b)(2)(B)(ii). Lott maintains that he is, in fact, innocent of the murder. To counter this claim of innocence, the warden seeks discovery of any evidence that might demonstrate Lott’s guilt, including evidence of an alleged confession that was suppressed during the original criminal trial due to a Miranda violation.
The District Court ruled that through his assertion of actual innocence, Lott has “implicitly waived the attorney-client and work product privileges to the extent necessary for the Respondent to defend the actual innocence claim.” Lott v. Bradshaw , No. 1:04-CV-822 (N.D. Ohio Mar. 29, 2005) (Order granting in part and denying in part Respondent’s Motion for Discovery at 9-11). In accordance with this ruling, the District Court authorized the warden to depose and seek production of documents from Lott’s trial counsel. Specifically, the Court ruled that Lott’s trial counsel must provide any relevant information he has concerning whether Lott is guilty of the murder and whether Lott confessed the murder to the police.
On May 9, 2005, Lott filed a petition for mandamus with this Court and a motion to stay discovery pending the Court’s consideration of his mandamus petition. This Court stayed the discovery proceedings on June 22, 2005. Having now received further briefings from the parties, a response by the District Court Judge, as well as numerous amicus briefs from interested parties, and a response to the briefs from the State, we now turn to the merits of Lott’s mandamus petition. The District Court’s order constitutes a departure from existing law for which we find no precedent. It undermines the historically strong protections of the attorney-client privilege. [1] As the order places the privileged relationship between a client and his attorney in jeopardy, this Court will issue the writ.
I. Jurisdiction
Discovery orders are generally not considered final for purposes of 28 U.S.C. § 1291.
Typically, review of such orders becomes available only when there is a final judgment in the case.
Assuming that this court does not have jurisdiction to review the District Court’s order under
§ 1291, we must determine if there is some other jurisdictional basis for us to conduct immediate
review of the order.
2
Pursuant to 28 U.S.C. § 1292(b), a district judge may certify an order not
1
While our decision is couched in terms of the attorney-client privilege, it applies with equal force to the work
product privilege.
See Upjohn Co. v. United States
,
Our Court has continually recognized that mandamus relief is an “extraordinary remedy” that
should be utilized only infrequently. This extraordinary remedy is usually reserved for “questions
of unusual importance necessary to the economical and efficient administration of justice,” or
“important issues of first impression.”
EEOC v. K-Mart Corp.
,
(1) The party seeking the writ has no other adequate means, such as direct appeal, to attain the relief desired.
(2) The petitioner will be damaged or prejudiced in a way not correctable on appeal.
(3) (4) The district court’s order is clearly erroneous as a matter of law.
The district court’s order is an oft-repeated error, or manifests a persistent disregard of the federal rules. The district court’s order raises new and important problems, or issues of law of first impression. (5)
Bendectin
, 749 F.2d at 304. We have never required that every element be met in order for
mandamus to issue: “‘Rarely if ever will a case arise where all the guidelines point in the same
direction or even where each guideline is relevant or applicable.’”
Id.
(quoting
Bauman v. United
States District Court
,
In this case, the first, second, third, and fifth factors all weigh heavily in favor of issuing mandamus. With regard to the first factor, our initial jurisdictional considerations make clear that Lott has no other readily-available means of relief from the discovery order. Mandamus must issue or his counsel will be obliged to obey the binding court order and disclose the privileged communications. Review of that decision will only become available after there is a final judgment. As to the fifth factor, whether an assertion of actual innocence effects an implied waiver of the attorney-client and work product privileges is plainly an issue of first impression in this Circuit, and apparently an issue of first impression in the federal courts. The remaining two factors of the mandamus analysis deserve more extensive examination. whether each and every privilege ruling by a district court necessitates appellate review. This is an area of the law where the use of discretion inherent in our mandamus jurisdiction is more appropriate. As the criteria for mandamus relief are clearly met and our jurisdiction under § 1651 is proper, we see no need to rule on whether or not the District Court’s order is collateral.
The oldest of the privileges, the attorney-client privilege has been recognized since the reign
of Queen Elizabeth.
See, e.g., Hartford v. Lee
, 21 Eng. Rep. 34 (Ch. 1577). And, as Wigmore notes,
the privilege was virtually “unquestioned” even then. 8 J. Wigmore,
Evidence
§ 2290, at 547 (3d ed.
1940). The attorney-client privilege encourages “‘full and frank communication between attorneys
and their clients and thereby promotes broader public interests in the observance of law and the
administration of justice.’”
Swidler & Berlin v. United States
,
If we intend to serve the interests of justice by encouraging consultation with counsel free
from the apprehension of disclosure, then courts must work to delineate the scope of the privilege
in ways that are predictable and certain. “An uncertain privilege–or one which purports to be
certain, but rests in widely varying applications by the courts–is little better than no privilege.”
Rhone-Poulenc Rorer, Inc. v. Home Indem. Co.
,
We find mandamus is appropriate in this case because if the discovery order stands, the
petitioner will be damaged in a way that cannot be corrected through the course of ordinary appeal.
Bendectin
,
The inability to cure an unlawful piercing of the privilege through direct appeal has led
numerous courts of appeals to regularly utilize mandamus when important interests such as privilege
are at issue. “Writ review is rather frequently provided . . . because of the desire to protect against
discovery of information that is claimed to be protected by the Constitution,
privilege
, or more
general interests in privacy.” 16 Charles Alan Wright et al.,
Federal Practice and Procedure
§ 3935.3, at 605-06 (2d ed. 1996 & supp. 2005) (emphasis added);
see id.
at n.6 (citing cases where
mandamus was issued to review claims of privilege);
Hahnemann University Hospital v. Edgar
, 74
F.3d 456, 461 (3d Cir. 1996);
see also In re Regents of University of California
,
These Courts have all found that forcing a party to disclose confidential communications and
seek redress via direct appeal after the court has reached a final judgment is an inadequate remedy.
In
Hahnemann
, the Court of Appeals for the Second Circuit held that the type of relief afforded by
direct appeal is usually insufficient when a claim of privilege is made.
It has been argued that mandamus is unnecessary as this Court could remedy any harm on
direct appeal.
See In re Lott
,
Privileged communications are not merely withheld from admission against the holder. Instead, the privilege operates to prevent the disclosure itself. In that way, privileges can be distinguished from other rules of admissibility:
[Some] rules of evidence that do not function as privileges . . . are justified on the
ground that they foster some extrinsic policy; e.g., the rule barring evidence of
subsequent repairs. . . . One may object to the introduction of evidence of
subsequent repairs, but one may not legally refuse to disclose whether or not such
repairs have been made.
23 Charles Alan Wright & Kenneth W. Graham, Jr.,
Federal Practice and Procedure
§ 5422, at 668
(1980 & supp. 2005). With privileged communications, in contrast, one may simply refuse to reveal
the confidences communicated to an attorney. Mandatory disclosure of the communications is the
exact harm the privilege is meant to guard against, and this disclosure is not remedied merely
because a disclosed confidence is not used against the holder in a particular case. It “will not suffice
to ensure free and full communications by clients who do not rate highly a privilege that is operative
only at the time of trial.”
Chase Manhattan Bank
,
II. The Merits
Turning now to the merits of the District Court’s privilege ruling, we find that mandamus is justified because the District Court’s order is clear error as a matter of law. Cf. Bendectin , 749 F.2d at 304.
There is no question that the attorney-client privilege remains applicable in habeas proceedings. “The rule with respect to privileges applies at all stages of all actions, cases, and proceedings.” Fed. R. Evid. 1101(c) (emphasis added). The Rules of Evidence make it abundantly clear that the attorney-client privilege stands in all federal judicial proceedings, which would include habeas proceedings where petitioners assert actual innocence. The commentators make clear that the applicability of the privilege rules in all proceedings “means that privileges can apply even in situations where the other rules of evidence are not applicable.” 31 Charles Alan Wright & Victor James Gold, Federal Practice and Procdure § 8076, at 618 (2000); see also id. at 614 (“The policy behind extending privilege law to all proceedings is that the values protected by privileges can be destroyed by permitting disclosure of privileged material in any judicial context.”).
Similarly, the Rules governing discovery indicate that privileged information is not subject to ordinary discovery. Habeas Rule 6(a) permits district courts to authorize discovery in habeas corpus proceedings “if and to the extent that, the judge in the exercise of his discretion and for good cause shown grants leave to do so.” Rules Governing Section 2254 Cases in the United States District Courts, R. 6(a). Rule 6(a) further directs that discovery is to be conducted in accordance with the Federal Rules of Civil Procedure. Id. The Rules of Civil Procedure define the scope of discovery as follows: “Parties may obtain discovery regarding any mater, not privileged , that is relevant to the claim or defense of any party . . . .” Fed. R. Civ. P. 26(b)(1) (emphasis added). The Rules make clear that privileged material, even relevant privileged material, is not discoverable. There are no exceptions to these rules that would permit the discovery of privileged materials in this habeas proceeding. The discovery the District Court has ordered should therefore only proceed if Lott has waived the attorney-client privilege.
In the discovery order, the District Court did not rule that the attorney-client privilege was inapplicable. Instead, the District Court found that through asserting a claim of innocence, Lott should be deemed to have “waived” the privilege — clearly, a legal fiction if “waiver” means a voluntary act.
The privilege may be waived expressly or by implication in several ways. Generally, “the
‘attorney-client privilege is waived by voluntary disclosure of private communications by an
individual or corporation to third parties. In addition, a client may waive the privilege by conduct
which implies a waiver of the privilege or a consent to disclosure.’”
In re Columbia/HCA
Healthcare Corp. Billing Practices Litigation,
The privilege is held to be waived when a client attacks the quality of his attorney’s
advice through, for example, a civil defendant’s pleading of an advice-of-counsel
defense or a criminal defendant’s appeal on grounds of inadequate legal
representation. The doctrine is also invoked to waive a personal injury plaintiff’s
physician-patient privilege and to waive the psychiatrist-patient privilege of a
criminal defendant pleading an insanity defense. These allegations have one thing
in common: the pleading places at issue the subject matter of a privileged
communication in such a way that the party holding the privilege will be forced to
draw upon the privileged material at trial in order to prevail.
Developments in the Law–Privileged Communications, Implied Waiver, 98 Harv. L. Rev. 1629,
1638 (1985);
see also U.S. Fire Insurance Co. v. Asbestospray, Inc.
,
Similarly, in the habeas context, courts have found implied waiver of these privileges when
the petitioner “injects into [the] litigation an issue that requires testimony from its attorneys or
testimony concerning the reasonableness of its attorneys’ conduct.”
Johnson v. Alabama,
256 F.3d
1156, 1178 (11th Cir. 2001). The implied waiver in habeas proceedings has typically been the
result of a petitioner’s assertion of his own counsel’s ineffectiveness.
See id
. (“By alleging that his
attorneys provided ineffective assistance of counsel in their choice of a defense strategy, [the
petitioner] put at issue–and thereby waived–any privilege that might apply to the contents of his
conversations with those attorneys to the extent those conversations bore on his attorneys’ strategic
choices.”);
Bittaker v. Woodford
,
Implied waivers are consistently construed narrowly. Courts “must impose a waiver no
broader than needed to ensure the fairness of the proceedings before it.”
Bittaker
,
To be sure, litigants cannot hide behind the privilege if they are relying upon privileged
communications to make their case. “[T]he attorney-client privilege cannot at once be used as a
shield and a sword.”
United States v. Blizerian
,
In this case, the District Court applies implied waiver in a completely new context. Rather than finding that Lott had put his attorney’s performance or strategic decisions at issue and determining that he took the affirmative action to waive the privilege, the court finds waiver in Lott’s assertion that the police invented the confession and in his assertion that he is innocent. Neither of Lott’s assertions relate to what his attorney knew or did in this case. Instead, they are assertions about Lott’s actions, i.e, whether he killed McGrath and whether he confessed to the killing to the police. We have not been able to discover a single case where a court has found that implied waiver applied in a similar fashion.
Likewise, in her response to Lott’s petition for mandamus, the District Court cites no authority for her implied waiver ruling. In accounting for her order, she writes: “A habeas court may imply a waiver of privilege to the extent necessary for the State to defend the claims a habeas petitioner raises.” This broad statement does not take into account necessary distinctions. The standard for implied waiver is not lower in habeas cases than it is in any other type of case. The privilege remains the client’s, and the client must take some affirmative step to waive it. While raising certain claims in habeas proceedings might require petitioners to make a limited waiver of the privilege, implied waiver is limited to situations where the petitioner has made the confidential relationship the subject of a constitutional inquiry. Importantly, the waiver is implied from the nature of the claim, not from the nature of the proceeding.
The court’s ruling on implied waiver was not based in any way on Lott’s injection of his communications with his attorney into the proceedings All agree that Lott has put neither the performance of his attorney nor the content of their confidential communications before the court. Instead, the court suggests that the assertion of actual innocence itself amounts to an implied waiver of the attorney-client privilege. In essence, the District Court ruled that the attorney-client privilege is simply not applicable in this peculiar, little area of the law where a habeas petitioner asserts his actual innocence of the crime for which he was convicted.
In his dissenting opinion from this Court’s order issuing a stay of discovery, Chief Judge
Boggs indicates that the District Court might find support in the Supreme Court’s opinion in
Schlup
v. Delo
,
In assessing the adequacy of petitioner’s showing [of actual innocence], the district court is not bound by the rules of admissibility that would govern at trial. Instead, the emphasis on “actual innocence” allows the reviewing tribunal also to consider the probative force of relevant evidence that was either excluded or unavailable at trial.
To be certain, the Schlup Court indicates that the rules of admissibility do not limit the evidence that can be considered by a court evaluating a claim of actual innocence. Confidential statements made to attorneys are generally not admitted into evidence, but that is not because those statements are “inadmissible” in the normal sense. It is because those statements are protected by the attorney-client privilege, and that privilege enables the holder of that privilege to bar disclosure of otherwise admissible, confidential communications. If Lott made statements to his attorney concerning his guilt or innocence, those statements are unquestionably relevant to the determination of whether or not he is innocent. Moreover, his statements to his attorney if not privileged are admissible against him and would have been admissible against him in his original trial. No rule of evidence forbids the admission of statements by a criminal defendant made voluntarily to an attorney. If the privilege had been intentionally waived, the statements could certainly have been admitted.
By freeing district courts of the strictures of the rules of admissibility, the
Schlup
Court
makes no suggestion that courts are likewise unbound by the rules of privilege. It can hardly be said
that the Court would take such a large leap silently. The distinction between admissibility and
privilege is no stranger to the Supreme Court or any other. Suspending the rules of admissibility
while preserving the rules of privilege is not an unusual event. The Federal Rules of Evidence direct
courts to do just that in almost every single judicial proceeding: “Preliminary questions concerning
the qualification of a person to be a witness, the existence of a privilege, or the admissibility of
evidence shall be determined by the court . . . . In making its determination, it is not bound by the
rules of evidence
except those with respect to privileges
.” Fed. R. Evid. 104(a) (emphasis added);
see also
Fed. R. Evid 1101(d);
Bourjaily v. United States
,
The policies underlying privilege counsel strongly against expanding the scope of implied waiver. It is important to cabin the implied waiver of privileges to instances where the holder of the privilege has taken some affirmative step to place the content of the confidential communication into the litigation. The District Court’s order would require that the privilege yield to reveal whether Lott ever made any statement inconsistent with that of an innocent man. Permitting this order to stand would place in jeopardy not only the attorney-client privilege, but also other important privileges such as the privilege between husband and wife, the privilege between patient and psychiatrist, or even the privilege between the penitent and their clergy. Since there is no linkage *9 between the implied waiver ruling and the nature of the privileged relationship, there would be no logical reason to limit the ruling solely to the attorney-client relationship. A petitioner’s discussions with his wife, his psychiatrist, or his priest would similarly be fair game when a petitioner asserts innocence. Demanding that a person waive any of these privileges in order to assert that he is innocent of a crime is inconsistent with society’s historical insistence that these confidential relationships deserve protection.
It should also be noted that the contention of a habeas petitioner that he is innocent is not all that different from a criminal defendant’s assertion that he is not guilty of a crime. If the attorney- client privilege should fail due to the assertion of innocence by a man who has confessed to his attorney, it is difficult to conceive why the privilege determination would be different for a criminal defendant who pleads not guilty. Breaking down the privilege in this case where the content or consequence of the confidential communications is not at issue would undermine the privilege at other stages of the proceedings where the party asserts innocence as a defense. The privilege would also be waived at trial after a plea of not guilty. The focus on actual innocence “does not modify the essential meaning of ‘innocence.’” , 513 U.S . at 328 (noting that it is firmly established that “the line between innocence and guilt is drawn with reference to a reasonable doubt”). The fact that the habeas petitioner is proceeding in civil rather than criminal court and now bears the burden of proof is largely insignificant to the rules of privilege. Swidler & Berlin v. United States , 524 U.S. 399, 408-09 (1998) (“[T]here is no case authority for the proposition that the privilege applies differently in criminal and civil cases.”). Our dissenting colleague apparently does not see that this unity of civil and criminal law in respect to the privilege is a significant inconsistency in his argument in favor of piecemeal erosion of the privilege.
There is no way to affirm the District Court’s ruling without abandoning centuries of jurisprudence concerning the scope of the attorney-client privilege and endangering the full and frank communication between clients and attorneys.
We therefore GRANT mandamus relief and SET ASIDE those portions of the District Court’s order which hold that Lott’s assertion of actual innocence effects an implied waiver of the attorney-client privilege and those portions of the order directing discovery in accordance with that holding. The case is REMANDED to the District Court with instructions to VACATE the order insofar as it is inconsistent with this opinion.
_________________
DISSENT _________________ BOGGS, Chief Judge, dissenting. By concluding both that the loss of confidentiality is itself sufficient to warrant mandamus relief and that Lott’s claim of actual innocence does not impliedly waive his attorney-client privilege, today’s decision upsets this court’s mandamus jurisprudence and elevates the privilege above trial protections guaranteed by the Constitution or other rules of evidence. It does so, I believe, in disregard of the Supreme Court’s decision in Schlup v. Delo , 513 U.S. 298 (1995). I cannot agree with the course the court now charts, which is yet another step in transforming the extraordinary instance of a claim of actual innocence into an everyday litigation tactic, and I therefore respectfully dissent.
Lott is before this court on a petition for mandamus relief, which is “a drastic remedy, to be
invoked only in extraordinary situations where the petitioner can show a clear and indisputable right
to the relief sought.”
In re Parker
,
I
The novel issue in this case is whether a petitioner who asserts his actual innocence impliedly waives the attorney-client privilege he holds as to his trial counsel. I would conclude that he does based on the extraordinary nature of the actual innocence inquiry under Schlup , 513 U.S. 298. [1] I would accordingly deny Lott’s mandamus petition.
To be clear, the sole reason that Lott should not enjoy the attorney-client privilege in his
second pursuit of habeas relief is that he presents a claim of actual innocence, invoking
Schlup v.
Delo
,
A
As other courts have observed, “‘[t]he doctrine of implied waiver allocates control of the
privilege between the judicial system and the party holding the privilege.’”
Bittaker v. Woodford
,
331 F.3d 715, 720 (9th Cir. 2003) (en banc) (quoting
Developments in the Law–Privileged
Communications
, 98 Harv. L. Rev. 1450, 1630 (1985)). Thus, “the privilege may implicitly be
waived when defendant asserts a claim that in fairness requires examination of protected
communications.”
United States v. Bilzerian
,
But there is no reason to believe that the typical circumstance is also the only circumstance
in which a petitioner will impliedly waive privilege. Lott presents a claim of actual innocence under
Schlup
, which is “factual innocence, not mere legal insufficiency.”
Bousley v. United States
, 523
U.S. 614, 623 (1998). The district court is required to determine if Lott in fact committed the
murder.
See Sawyer v. Whitley
,
In assessing the adequacy of petitioner's showing, therefore, the district court is not bound by the rules of admissibility that would govern at trial . Instead, the emphasis on ‘actual innocence’ allows the reviewing tribunal also to consider the probative force of relevant evidence that was either excluded or unavailable at trial . Indeed, . . . we believe that Judge Friendly’s description of the inquiry is appropriate: The habeas court must make its determination concerning the petitioner's innocence ‘ in light of all the evidence , including that alleged to have been illegally admitted (but with due regard to any unreliability of it) and evidence tenably claimed to have been wrongly excluded or to have become available only after the trial.’” Id. at 327-28 (emphases added) (quoting Henry J. Friendly, Is Innocence Irrelevant? Collateral Attack on Criminal Judgments , 38 U. Chi. L. Rev. 142, 160 (1970)). When adjudicating a claim of actual innocence, both the court and the parties are “through the looking glass.” They engage in a fundamentally new inquiry where previous limitations on evidence do not apply.
Fairness thus requires that a petitioner who asserts that he is innocent “‘in light of all the
evidence”’ have his claim evaluated “‘in light of all the evidence.’”
Id.
at 328 (quoting Friendly,
38 U. Chi. L. Rev. at 160). Therefore, I would conclude that Lott’s implied waiver of the
attorney-client privilege is “essential to achieving a just resolution of the case.”
United States v.
Exxon Corp.
,
The court attempts to evade this passage by distinguishing the protections afforded by
privilege and the protections afforded by other rules of evidence. Of course, it is true that, unlike
most rules of evidence, the rules of privilege insulate communications from both discovery and
admission in court.
See
Fed. R. Civ. P. 26(b)(1) (excluding from discovery privileged
communications). However, the court’s distinction, while correctly drawn, is between one kind of
evidence and other kinds of evidence.
See
Fed. R. Evid. 501 (federal rule concerning privileges).
Schlup
, on the other hand, is concerned with any “relevant evidence,”
The court continues by arguing that the Supreme Court is aware of the difference between
the rules of admissibility and those concerning privilege. It therefore notes that “[s]uspending the
rules of admissibility while preserving the rules of privilege is not an unusual event.” Slip Op. at
8. Agreed. But the Supreme Court’s familiarity with the distinction today’s opinion now draws
speaks volumes for the Court’s decision not to draw the distinction itself. While
Schlup
’s discussion
of relevant evidence is short, at no point does Justice Stevens exclude any evidence from the
consideration.
A broader reading of Schlup confirms that the investigation into all evidence should include evidence otherwise protected by privilege. Actual innocence serves as an exception for otherwise procedurally defaulted claims on the basis that the petitioner is “entirely innocent.” Schlup , 513 U.S. at 325. The petitioner is therefore arguing it is a “fundamental miscarriage of justice” for him to remain incarcerated. See id. at 324-25. Actual innocence claims are meant for the “truly deserving,” and thus also the “extraordinary case.” Id. at 321. For a petitioner to show he is entirely innocent, and that he is truly deserving of extraordinary relief, one would think he must be willing to test his innocence against literally all the evidence, including whatever is protected by privilege.
Though this conclusion may seem unduly harsh, one must remember what a petitioner
waives by placing his actual innocence at issue. The attorney-client privilege, even compared to
other privileges, has an exalted place in our jurisprudence.
See Philip Morris
,
Thus, the fact that the attorney-client privilege already has a doctrine of implied waiver
weakens, rather than strengthens, the court’s position. There is no doctrine of implied waiver of
rights guaranteed by the Constitution and yet this court has seen fit to waive, in this very hearing,
a protection created by Lott’s Sixth Amendment rights. The rationales expressed in most implied-
waiver cases speak of doing fairness to the opposing party.
See Bittaker
,
B
Contrary to the reasoning of the court, I further believe that the principles surrounding
attorney-client privilege favor extending implied waiver to the assertion of actual innocence. The
district court found only that petitioner had waived attorney-client privilege as to his trial counsel
in asserting his actual innocence under
Schlup
. While my reasoning would likely lead me to
conclude that a petitioner asserting actual innocence would also waive other privileges, that fact
does not give me pause. It is a necessarily result of an assertion that one is actually innocent and
a victim of a fundamental miscarriage of justice. Moreover, the attorney-client privilege is more
critical to our system of justice than other privileges.
See Jaffee v. Redmond
,
However, I cannot state strongly enough that the district court’s judgment does no violence
to claims of attorney-client privilege in other contexts. I must admit to being baffled by the court’s
suggestion that the district court’s judgment or the opinions expressed in this dissent will lead to an
unraveling of the attorney-client privilege.
See
Slip Op. at 9. Any fair reading of the Court’s actual-
innocence jurisprudence makes clear the error in this assertion. While the determination is still
made with reference to innocence, it is “factual innocence” that the court considers based on all
relevant evidence.
Bousley
,
Despite the attorney-client privilege’s pedigree, it is to be narrowly construed because, like
all other privileges, it is “in derogation of the search for truth.”
United States v. Nixon
, 418 U.S.
683, 710 (1974). It “‘applies only where necessary to achieve its purpose and protects only those
communications necessary to obtain legal advice.’”
In re Columbia/HCA Healthcare Corp. Billing
Practices Litigation
,
In addition, even if the values animating the privilege were incrementally diminished by this
reasoning, Rule 501 of the Federal Rules of Evidence authorizes federal courts to determine the
scope of privilege “in the light of reason and experience.” Courts have thus been willing to limit
the privilege’s applicability when policy considerations counsel otherwise.
See In re Witness Before
Special Grand Jury 2000-2
,
II
The second factor for determining if a petitioner is entitled to mandamus relief is whether
the petitioner “will be damaged or prejudiced in a way not correctable on appeal.”
Chimenti
, 79
F.3d at 540
.
The court’s conclusion that Lott will be irreparably harmed by his loss of
confidentiality he enjoyed in communications with his trial counsel is a departure from both this
court’s and our sister courts’ examinations of the issue and will weaken the flexibility central to our
mandamus jurisprudence.
In re Perrigo Co.
,
Petitioner's case differs substantially from the complex commercial suits in which discovery
orders have been deemed grounds for mandamus review.
See
,
e.g.
,
United States v. Philip Morris
,
That concern is not present in this case, where nearly twenty years of litigation in state and federal courts have crystallized the points of contention between the parties. We already know the evidence that the state seeks to extract from Lott’s trial attorneys: that Lott admitted to them either that he committed the murder or that he confessed to police. They seek to extract this evidence for one reason only: to convince the district court that Lott is not actually innocent of the crime for which he was convicted. Were this case then to reach us on appeal, and Lott were to press the claim on which the court now grants relief, our position would be a familiar one to any appellate court. Were we to agree with Lott’s position, we would exclude the evidence and remand to the district court, following the same procedure we do in any evidentiary dispute. That is, we could remedy any error, if indeed there were error, on direct appeal.
Instead of disagreeing with this analysis, the court focuses instead on a different harm, the
inherent harm of losing confidentiality.
See
Slip Op. at 5 (“The damage to the attorney-client
relationship will have already been done by the disclosure itself.”). No case from our sister circuits,
however, focuses on that harm divorced from its practical consequences to the litigants. In
Chase
Manhattan Bank
, cited by the court,
ibid.
, the Second Circuit emphasized that disclosure of
confidential documents to opposing counsel, even if not used at trial, would still cause practical
harms to the party asserting privilege.
Chase Manhattan Bank
,
More important, however, is the court’s marked departure from our own court’s mandamus
jurisprudence. In this court, mandamus relief is “an extraordinary remedy, only infrequently
utilized.”
Perrigo
,
Today’s departure from our previous mandamus jurisprudence will have deleterious effects.
whether a litigant will be harmed.
[5]
Our court will inevitably see more petitions for writs of
As to this factor in the mandamus balancing, this court is now without any flexibility in addressing
mandamus, but will have fewer tools with which to distinguish the extraordinary from the mundane.
With the rise in mandamus petitions will come accompanying delays in the orderly administration
of justice, which our mandamus jurisdiction is supposed to further, not weaken.
Perrigo
, 128 F.3d
at 435 (citing
EEOC v. K-Mart Corp.
,
III
For these reasons, I would conclude that petitioner, by asserting his actual innocence, has
impliedly waived the attorney-client privilege as to his trial counsel. While I believe a fair reading
of requires this conclusion, the conclusion is further confirmed by the policies surrounding
claims of actual innocence and consideration of the other evidence that will be admitted.
Furthermore, I cannot agree with the court’s reasoning in finding that Lott will endure any
irreparable harm if we were to consider his claim only following a final judgment by the district
court. I therefore respectfully dissent.
Perhaps the court wishes to adopt the positions of two of our sister circuits and allow immediate appeals under
the collateral order doctrine,
see
Slip Op. at 2 n.2, but that is not and has never been the law in this circuit.
See FDIC
v. Ernst & Whinney
,
