The issue in this case is whether, by enacting the public records law, G. L. c. 66, § 10, and G. L. c. 4, § 7,
In accordance with the public records law, Suffolk filed a complaint in the Superior Court for declaratory and injunctive relief. See G. L. c. 66, § 10 (b). The Superior Court judge denied Suffolk’s motion for preliminary injunctive relief and simultaneously reported the following question of law to the Appeals Court: “Do the provisions of the public records law, comprised of G. L. c. 66, § 10[,] and G. L. c. 4, § 7 (26), preclude the protection of the attorney-client privilege from records made or received by any officer or employee of any agency of the Commonwealth?” See G. L. c. 231, § 111; Mass. R. Civ. R 64 (a), as amended,
We answer the reported question in the negative. As we
1. Background. The factual record is uncontested. In 2001, DCAM designated Suffolk and a joint venture partner
In August, 2005, Suffolk filed a verified complaint against DCAM for declaratory and injunctive relief, seeking to compel inspection and review of the withheld documents. See G. L. c. 66, § 10 (b). Simultaneously, Suffolk moved for a preliminary injunction seeking essentially the same relief.
The Superior Court judge hearing the public records law complaint issued four simultaneous rulings. The first denied Suffolk’s motion for preliminary injunction on the grounds that, among other things, “the merits remain arguable, ... the balance of irreparable harm in light of the merits favors the defendant . . . , [and a] preliminary injunction would alter, rather than preserve, the status quo.” See Packaging Indus. Group, Inc. v. Cheney,
In its brief to this court, Suffolk questions whether, under our common law, we recognize an attorney-client privilege in the public sphere. We turn first to this threshold question and, concluding that such a privilege does exist, then consider whether it is abrogated by the public records law.
2. Discussion, a. The attorney-client privilege.
One obvious role served by the attorney-client privilege is to enable clients to make full disclosure to legal counsel of all relevant facts, no matter how embarrassing or damaging these facts might be, so that counsel may render fully informed legal advice. In a society that covets the rule of law, this is an essential function. See, e.g., Hatton v. Robinson,
The individual benefits of the attorney-client privilege mirror its more global functions. By “encouraging] full and frank communication between attorneys and their clients,” the attorney-client privilege “promote[s] broader public interests in the observance of law and administration of justice.” Upjohn Co. v. United States, supra. Paradoxically, this is so even though the attorney-client privilege may impede access to relevant facts. The attorney-client privilege “ ‘creates an inherent tension with society’s need for full and complete disclosure . . . .’ But that is the price that society must pay for the availability of justice to every citizen, which is the value that the privilege is designed to secure.” Matter of a John Doe Grand Jury Investigation, supra at 482, quoting In re Grand Jury Investigation,
Suffolk does not attack the privilege itself but rather maintains that, in this Commonwealth, the application of the privilege in the public realm is “uncertain.” It is not. Our prior decisions have presumed the existence of an attorney-client privilege for public officials and government entities. See, e.g., District Attorney for the Plymouth Dist. v. Selectmen of Middleborough,
We now state explicitly that confidential communications between public officers and employees and governmental entities and their legal counsel undertaken for the purpose of obtaining legal advice or assistance are protected under the normal mies of the attorney-client privilege.
Because the attorney-client privilege serves the same salutary purposes in the public as in the private realm, “it is now well established that communications between government agencies
We turn now to the central issue in this case: whether the public records law extinguishes the attorney-client privilege for government entities and officials subject to that law.
b. Public records law. The public records law opens records made or kept by a broad array of governmental entities
Not every record or document kept or made by the governmental agency is a “public record.” The statute specifies fifteen categories of materials or information that fall outside the definition of a “public record,” either permanently or for a specified duration. See G. L. c. 4, § 7, Twenty-sixth (a)-(p). See generally Cape Cod Times v. Sheriff of Barnstable County,
Nowhere in the public records law is the term “attorney-client privilege” found. In parsing the legal meaning of this statutory silence, we begin with the proposition that a statute is construed to fulfil the Legislature’s intent, as found most obviously in the words of the law itself, interpreted according to their ordinary and approved usage. See, e.g., Milford v. Boyd,
Suffolk claims that our holding in General Elec. Co. requires us to read the public records law as abrogating the attorney-client privilege for government officials and entities within the statute’s purview with regard to written communications. We do not agree. In General Elec. Co., a company contesting the proposed designation of its property as a “Superfund” site pursuant to the Comprehensive Environmental Response, Compensation, and Liability Act, 42 U.S.C. §§ 9601 et seq. (1994), sought public records law disclosure of documents held by the Department of Environmental Protection (department). The department claimed that the documents were protected by the common-law attorney work-product doctrine.
General Elec. Co. provides no guidance for our analysis of the question at hand. First, there is no merit in Suffolk’s premise that, for purposes of construing the public records law, the attorney-client privilege and the work-product doctrine are “virtually indistinguishable.” The two doctrines are readily differentiated. As one leading authority has noted:
“The protection given both attorney-client communications and ‘work product’ arise from a common assumption*456 — that an attorney cannot provide full and adequate representation unless certain matters are kept beyond the knowledge of adversaries. The foci of the two doctrines are different, however. With the attorney-client privilege, the principal focus is on encouraging the client to communicate freely with the attorney; with work-product, it is on encouraging careful and thorough preparation by the attorney. As a result, there are differences in the scope of the protection. For example, the privilege extends only to client communications, while work product encompasses much that has its source outside client communications. At the same time, the privilege extends to client-attorney communications whenever any sort of legal services are being provided, but the work-product protection is limited to preparations for litigation.”
E.S. Epstein, The Attorney-Client Privilege and the Work-Product Doctrine 477 (4th ed. 2001). The attorney-client privilege has deep roots in the common law and is firmly established as a critical component of the rule of law in our democratic society. See Upjohn Co. v. United States,
Second, the deliberative process privilege is a “sub-species of work-product privilege that covers documents reflecting advisory opinions, recommendations and deliberations comprising part of a process by which governmental decisions and policies are formulated.” In re the County of Erie,
We reject Suffolk’s argument that construing the attorney-
Nor do we have cause to presume that governmental entities and their counsel will have difficulty winnowing unprivileged from privileged information in response to a public records request. In an era in which public entities are regularly subject to litigation and discovery by private parties, responding to document requests and differentiating among discoverable and undiscoverable material are routine parts of doing business.
“Governments must not only follow the laws, but are under additional constitutional and ethical obligations to their citizens. The [attorney-client] privilege helps insure that conversations between [government] officials and attorneys will be honest and complete. In so doing, it encourages and facilitates the fulfillment of those obligations. . . . ‘Upholding the privilege furthers a culture in which consultation with government lawyers is accepted as a normal, desirable, and even indispensable part of conducting public business. Abrogating the privilege undermines that culture and thereby impairs the public interest.’ ” Ross v. Memphis,
3. Conclusion. For the reasons stated above, we answer the reported question in the negative and remand the case to the Superior Court for further proceedings consistent with our decision.
So ordered.
Notes
The full name of the defendant entity is the division of capital asset management and maintenance (DCAM). DCAM is an agency within the executive office of administration and finance charged with, among other things, maintaining public capital facilities in the Commonwealth. See G. L. c. 7, § 39A (/).
We acknowledge amicus briefs submitted by the Massachusetts Port Authority, the Boston Bar Association, and the City Solicitors and Town Counsel Association.
This case arose in the context of a civil dispute, and the parties’ briefs confined themselves to that arena. However, it became clear from a colloquy at oral argument that Suffolk would have us construe the public records law as abrogating the attorney-client privilege in the criminal context as well.
The joint venture partner is not a party to this case.
Suffolk contended that the proposed change orders were occasioned by inadequacies in the construction documentation it received from DCAM that resulted in extensive and unanticipated additional work.
Among other things, Suffolk alleged that access to the documents was critical to its defense of multiple subcontractors’ claims for compensation.
The order also required DCAM to produce to Suffolk seventy-five documents originally withheld pursuant to the “deliberative process” exemption, see G. L. c. 4, § 7, Twenty-sixth (d), but since acknowledged by DCAM to be outside of the coverage of subsection (d) because the relevant policy-making process had concluded and the formal litigation between the parties had commenced. See id. On appeal, DCAM asserts that although it has produced the documents previously withheld pursuant to subsection (d), it does not agree as a legal matter that it was obligated to do so. DCAM’s assertion is tangential to the question before us, and we express no opinion on it.
Suffolk argues that we need not reach the question whether the attorney-client privilege applies to government entities because this case concerns only the disclosure of documents trader the public records law and “does not raise any question about compelling an attorney (or client) to testify about privileged communications under the Massachusetts Rules of Civil Procedure.” However, the reported question specifically asks us to decide whether the attorney-client privilege applies in the context of the public records law. Moreover, although the rules of civil procedure govern privileged materials in the context of civil litigation, the attorney-client privilege is applicable as well to transactional legal matters and criminal legal proceedings.
Like the private claimant, the public claimant of the privilege bears the burden of proof, see, e.g., Matter of the Reorganization of Elec. Mut. Liab. Ins. Co. Ltd. (Bermuda),
Restatement (Third) of the Law Governing Lawyers § 74 comment b also notes: “The objectives of the attorney-client privilege . . . , including the special objectives relevant to organizational clients . . . , apply in general to governmental clients. The [attorney-client] privilege aids government entities and employees in obtaining legal advice founded on a complete and accurate factual picture. Communications from such persons should be correspondingly privileged.”
See In re the County of Erie,
There is no merit in Suffolk’s claim that Proposed Mass. R. Evid. 502 (d) (6) and Mass. R. Prof. C. 1.13 comment 6, as appearing in
Similarly, comment 6 to Mass. R. Prof. C. 1.13, which governs lawyers’ responsibilities to organizational clients, merely restates what we have held in other contexts, namely that where a government agency is the client, the Legislature may prescribe different laws and regulations concerning client confidentiality. See, e.g., General Elec. Co. v. Department of Envtl. Protection,
The requirement to disclose public records is directed to “any officer or employee of any agency, executive office, department, board, commission, bureau, division or authority of the commonwealth, or of any political subdivision thereof, or of any authority established by the general court to serve a public purpose . . . .” G. L. c. 4, § 7, Twenty-sixth. The supervisor of public
Although Massachusetts has had a public records law since 1851, the earlier laws were limited and “disappointingly vague.” A.J. Celia, Administrative Law and Practice § 1161, at 488 (1986). See generally Hastings & Sons Publ. Co. v. Treasurer of Lynn,
The public records law defines “public records” as “all books, papers, maps, photographs, recorded tapes, financial statements, statistical tabulations, or other documentary materials or data, regardless of physical form or characteristics, made or received by” any public officer or employee or government agency covered by the statute, and not falling within the statute’s enumerated exemptions. G. L. c. 4, § 7, Twenty-sixth. See 950 Code Mass. Regs. § 32.03 (defining “public records”).
The work-product doctrine, as stated in Mass. R. Civ. P. 26 (b) (3),
General Laws c. 4, § 7, Twenty-sixth (d), provides a public records law exemption for “inter-agency or intra-agency memoranda or letters relating to policy positions being developed by the agency; but this subclause shall not apply to reasonably completed factual studies or reports on which the development of such policy positions has been or may be based.”
Nor does Suffolk’s appeal to legislative history lend weight to its argument. There is little merit in Suffolk’s contention that the Legislature’s affirmative rejection of proposed exemption (k) from the public records law as enacted in 1973 reflects an intent to abrogate the attorney-client privilege for government officials. Proposed exemption (k) would have added to the public records law a “civil litigation” exemption. See General Elec. Co., supra at" 802-803. Congress included such an exemption in the Federal Freedom of Information Act (FOIA). Id. at 803-804. The proposed civil litigation exemption is at once narrower (because it is focused only on litigation) and broader (because it encompasses material other than confidential attorney-client communications) than the attorney-client privilege and is therefore not comparable to the privilege for purposes of this analysis. Nor can the rejection of proposed exemption (k) be seen, as Suffolk asserts, as a conscious decision to deviate from Congress’s embrace of the attorney-client privilege in FOIA, 5 U.S.C.
We are equally unmoved by Suffolk’s contention that legislative events following our decision in General Elec. Co., supra, bear on our analysis. The Legislature several times has considered but has not enacted proposed amendments to the public records law that would specifically exempt attorney-client materials from the public records laws. See, e.g., 2007 Sen. Doc. No. 832 (amending exemption provision, G. L. c. 4, § 7, Twenty-sixth, by inserting a new exemption for “attorney work product and attorney-client privileged material”); 2007 House Doc. No. 1624 (same); 2005 Sen. Doc. No. 927 (same); 2005 House Doc. No. 758 (same). Contrary to Suffolk’s contention, ' “ [legislative inaction gives no instructive signal concerning the construction of a statute enacted by a prior Legislature . . . .” Klingel v. Reill,
See County of Bristol v. Secretary of the Commonwealth,
Nor does Suffolk, as it asserts, find support for the result it seeks in two cases preceding General Elec. Co. In Babets v. Secretary of Human Servs.,
Similarly, in District Attorney for the Plymouth Dist. v. Selectmen of Middleborough,
In light of our holding today, we do not address the question, raised sua sponte by the Superior Court judge, whether adopting Suffolk’s proposed construction of the public records law would, in the judge’s words, “intrude so deeply into the work of the executive branch of the Commonwealth as to violate the doctrine of separation of powers embodied in Article 30” of the Declaration of Rights of the Massachusetts Constitution.
