ORDER
This case is before the court for resolution of two discovery disputes. The first of these relates to defendants Franklin, Gumbaytay, Jorgensen and Williams’ motion for determination as to privilege (Doc. #220); defendants Franklin, Gumbaytay, Jorgensen and Williams’ motion to amend their motion for determination as to privilege (Doc. #222); defendants Franklin, Gumbaytay, Jorgensen and Williams’ supplement to their motion for determination as to privilege (Doc. #225); plaintiffs response and cross-motion for protective order (Doc. #226); and plaintiffs motion to seal (Doc. # 227). The court held a hearing on these motions on November 10, 2010.
Defendants seek a determination from this court as to whether the United States may assert what is sometimes referred to as the common interest doctrine to prevent inquiry — during depositions and other discovery— into its communications with the “aggrieved persons”
In the instant case, “[f]ederal privilege law governs the application of the attorney-client privilege because the court has federal question jurisdiction over the subject matter.” Hope For Families & Community Service, Inc. v. Warren,
The common interest doctrine is most often characterized as an exception to waiver of the attorney-client privilege rather than a privilege itself. See, e.g., id. at 7 (“ ‘Although occasionally termed a privilege itself, the
In the instant case, the aggrieved persons on whose behalf the government sues clearly have an interest in common with the United States. Under the Fair Housing Act, once an aggrieved person files a complaint of housing discrimination with the U.S. Department of Housing and Urban Development (HUD) and a formal charge is issued, the “aggrieved person on whose behalf the complaint was filed, may elect to have the claims asserted in that charge decided in a civil action” in federal district court. 42 U.S.C. § 3612(a). If such an election is made, “the Attorney General shall commence and maintain, a civil action on behalf of the aggrieved person in a United States district court seeking relief,” 42 U.S.C. § 3612(o) (emphasis added), and the government may seek actual and punitive damages for that person as well as any permanent or temporary injunction, temporary restraining order, or other order. 42 U.S.C. §§ 3612(o )(3), 3613(c)(1). In short, in this case — as the government notes, and defendants do not appear to dispute — “the government’s interests in large measure coincide with those of aggrieved parties____” See OLC Memorandum (Jan. 20, 1995) (http://www.usdoj.gov/ olc/civrts2mem.htm).
However — as defendants correctly point out, and the government concedes — the aggrieved persons on whose behalf the United States sues in this case are neither clients represented by counsel nor parties to this litigation. Thus, their communications with counsel for the United States do not precisely fit the mold of the common interest rule as it is ordinarily formulated — for example, by the Restatement (Third) of the Law Governing Lawyers:
If two or more clients with a common interest in a litigated or nonlitigated matter are represented by separate lawyers and they agree to exchange information concerning the matter, a communication of any such client that otherwise qualifies as privileged ... that relates to the matter is privileged as against third persons.
REST 3d LGOVL § 76. Nevertheless, two federal district courts have applied the common interest doctrine in the Fair Housing Act context, despite the fact that the aggrieved persons neither were represented by counsel nor were parties to the lawsuits in question.
*675 a privilege which protects communications between a governmental agency and persons on whose behalf the governmental agency brings suit. Although there is no technical attorney-client relationship between [the aggrieved persons] and the Government in this case, counsel for the Government is pursuing this case to enforce the rights of [the aggrieved persons] under the Fair Housing Act. Congress set up the Act to encourage and enable persons, who have been victims of discrimination, to pursue justice when those victimized persons do not have the financial resources to litigate such a claim. It does not follow that persons who choose to utilize this Act give up their right to confidential communications with the attorney representing their interests.
Id. at 2-3.
Further, in a related context, courts have found that a common interest exists between Equal Employment Opportunity Commission (EEOC) attorneys and aggrieved individuals in several cases. See E.E.O.C. v. HBE Corp.,
Accordingly, this court will follow the Northern District of Texas and the Eastern District of Arkansas in recognizing that the
Of course, to qualify for the protection of the common interest rule, the communications at issue must have been made in confidence. See United States v. Schwimmer,
With regard to the United States’ related request for a protective order “to prevent the repetition of a pattern of unprofessional behavior engaged in by Defendant’s counsel during future depositions” (Doc. # 226 at 11), the court declines at this stage to enter such an order, finding both sides (although not all counsel) in this litigation to blame for the generally acrimonious and unpleasant nature of the proceedings thus far in this case. To the extent that defendants’ counsel have engaged in any of the behavior complained of by the United States — mocking witnesses, making inappropriate speaking objections, distracting witnesses during testimony, yelling, and insulting counsel — they are clearly in the wrong, and the court will not tolerate unprofessional conduct of this kind. On the other hand, government counsel have much to learn about working amicably within the culture of local counsel, and their sometimes overly aggressive and punctilious efforts to police the other side have resulted in a great deal of unnecessary frustration and ill will. The court expects future depositions to proceed with a professional manner and courteous tone, without pettiness, bickering or squabbling. Counsel not prepared to abide by the court’s expectation of courtesy and collegiality should look forward to a full-blown evidentiary hearing concerning any al
The second discovery dispute before the court relates to defendant Jamarlo Gumbaytay’s motion to compel compliance with subpoena (Doc. # 231), and the motion to quash subpoena (Doe. #232) filed by third party Central Alabama Fair Housing Center (CAFHC). The court held a hearing on this matter on December 17, 2010.
Gumbaytay’s subpoena duces tecum, dated October 13, 2010, seeks production from CAFHC of “[t]he complete files or writings of any description, including but not limited to all letters, notes, complaints, memoranda, e-mails or telephone records to, from or in any way concerning” some 29 individuals listed in the subpoena. CAFHC’s brief in opposition to motion to compel indicates that the Center has a number of documents responsive to Gumbaytay’s subpoena, which fall into eight categories:
1. Notes made by John Pollock of telephone conversations with persons who called in response to CAFHC’s form letter.
2. Declarations signed by various individuals.
3. Cover letter to HUD referring cases for administrative action.
4. Complaint filed by HUD.
5. Records of meetings and conversations with counsel from ACLU and Legal Services Corporation of Alabama.
6. Preliminary drafts of pleadings.
7. Documents subpoenaed from Montgomery Housing Authority.
8. Documents received from clients, including letters to and from one or more defendants, ren[t] receipts, transcripts of telephone conversations, and an audio tape containing evidence of sexual harassment.
CAFHC brief (Doe. #248) at 1-2. During the motions hearing on December 17, 2010, counsel represented that the documents in categories 2, 3, 4, and 8 either previously have been or will be provided to defendant. In turn, Gumbaytay indicated that he does not seek production of categories 5,
CAFHC’s brief does not indicate specifically which persons listed in the subpoena actually responded to the form letter by engaging in telephone conversations with John Pollock for which he kept notes. Its motion to quash lists the following individuals as making some kind of contact with Pollock which resulted in “investigative notes”: Aurpy Burt, Rotonia Edwards, Rita Julian, Valerie Manning, and Maggie Williams. In addition, according to the motion, Pollock’s contact with Valisha Jones, Sheila Scroggins, Lois Webb, Tamekia Kemp, and Bennettia Morris yielded “attorney and paralegal notes,” and CAFHC also has “documents and notes related to its initial interview” with Letisha Williams. CAFHC motion to quash (Doc. # 232) at 1-5. At the hearing, CAFHC confirmed that it has notes relating to conversations between Pollock and Burt, Edwards, Jones, Manning, Scroggins, Webb, Maggie Williams, Kemp, Morris, Letitia Williams and Julian.
CAFHC maintains that it had an attorney-client relationship with each of the women referenced above at the time that the notes were made. According to the motion to quash, CAFHC represented Burt, Edwards, Julian, Manning, Scroggins, and Williams in HUD administrative proceedings, CAFHC motion to quash (Doc. # 232) at 1-3, and CAFHC’s supplemental response attaches copies of letters signed by Burt, Edwards, Julian, Manning, Scroggins, and Maggie Williams in March 2008 which informed HUD that each of these individuals “wish[ed]
As noted above, federal privilege law governs the application of the attorney-client privilege because the court has federal question jurisdiction over the subject matter in the instant case. Hope For Families & Community Service,
In the instant case, CAFHC seeks protection from discovery of notes made by a paralegal, John Pollock,
If you or others you know have had or are having this problem with Mr. Gumbaytay and would like to contact us, we will not disclose any of the information you provide us to anyone unless ordered by a court. You should know that the federal Fair Housing Act protects those who complain against acts of retaliation, such as a tenant’s lease being terminated because of the fact that she reported sexual harassment. If you would like to speak with us, please call (334) 263-4463 and ask for John. If you do not reach us, please leave a number where you can be reached and an estimate of the best time to reach you.
Doc. # 242 (Exhibit B).
Defendant contends that, because Pollock is a paralegal and “[a] paralegal does not give legal advice,” the attorney-client privilege cannot apply to communications made by tenants to him in response to the letter. Doc. # 242 at 5. The court cannot agree, for two reasons. First, as noted above, although Pollock is not licensed to practice as a lawyer
it is not necessary that the attorney be admitted to practice in the jurisdiction where the services are rendered, the communications are made, or the court determining the privilege claim sits. As long as the attorney is permitted by law to render legal advice, the privilege will attach regardless of where the communications are made.
Epstein, Edna S., The Attorney-Client Privilege and the Work Product Doctrine, 136 (4th ed. 2001); see also Boca Investerings Partnership v. United States,
Defendant also contends that the calls were not made for the purpose of seeking legal advice. However, given the nature of the letter to which the calls responded, it is clear that the contacts were not, for example, simply social or business calls. The callers contacted CAFHC to explore the possibility of raising potential Fair Housing Act claims, whether or not they were fully knowledgeable about such claims or the particulars of the Act, and whether or not they ultimately agreed to be represented. Preliminary consultations of this kind are protected by the attorney-client privilege. See, e.g., United States v. Bennett,
Thus, CAFHC has succeeded in establishing the existence of an attorney-client relationship between the callers and John Pollock as an attorney and/or the agent of an attorney. The court further finds — based on CAFHC’s representation in the letter that it would “not disclose any of the information you provide us to anyone unless ordered by a court” — that the callers’ communications were intended to remain confidential and reasonably expected and understood to be confidential. Accordingly, the notes recording those conversations are privileged.
Again, the court cannot agree. Nothing before it suggests that Pollock forwarded the notes themselves to either federal agency, so his communications with the callers were never directly disclosed. Instead, Pollock apparently sent forms — specifically, according to counsel’s representation at the hearing, administrative complaints — to HUD on behalf of some of the callers which contained alleged facts reported to him during the calls. No privilege is claimed as to these forms or the facts reported in them; the only privilege asserted relates to Pollock’s notes recording the underlying communications. The court cannot conclude that Pollock’s use of these notes to assist him in filling out agency forms waives the privilege as to the notes.
For the foregoing reasons, it is
ORDERED as follows:
1. Defendants’ motion for determination as to privilege (Doc. # 220), which the court construes as a motion to compel, is DENIED to the extent that the motion seeks to compel testimony concerning privileged matters and requests a “protective order to preclude future violation of the Court’s Guidelines to Civil Discovery Practice.” The motion is
2. The United States’ cross-motion for protective order (Doc. #226) is GRANTED to the extent that defendants may not inquire into the United States’ communications with aggrieved persons in this lawsuit. In all other respects, the motion is DENIED.
3. Defendants’ motion to amend their motion for determination as to privilege (Doc. # 222) is GRANTED.
4. Plaintiffs motion to seal (Doc. #227) is GRANTED.
5. Defendant’s motion to compel compliance with subpoena (Doe. #231) is DENIED.
6. The motion to quash subpoena (Doc. # 232) filed by third party Central Aabama Fair Housing Center (CAFHC) is GRANTED.
7. The court’s stay of further depositions in this case is hereby LIFTED.
Notes
. An "aggrieved person” is anyone who claims to have been injured by a discriminatory housing practice or who believes he will be injured by a discriminatory housing practice that is about to occur. 42 U.S.C. § 3602(i).
. The relevant orders are attached in Exhibit B to the United States' response (Doc. # 226).
. The aggrieved persons in this case are potential co-parties in the sense that they have a statutory right to intervene in this action. 42 U.S.C. § 3612(c) (“Any aggrieved person may intervene as a party in the proceeding.”). If they exercised that right, the common interest privilege would apply without question to their communications with government counsel unless the interests of the two parties diverged substantially. The court declines to construe the common interest doctrine to require aggrieved persons to forgo suit by the Attorney General on their behalf in order to secure the protection of that doctrine.
. In one instance addressed in defendant’s motion, assistant U.S. Attorneys asserted the privilege as to communications with aggrieved persons during a break from a deposition. At the hearing on the motion, defendants indicated that this matter is moot.
. At the hearing, counsel for defendant sought production of records of meetings and conversations among counsel for CAFHC, ACLU, and Legal Services Corporation of Alabama relating to any HUD proceedings. Subsequently, CAFHC notified the court that it had no such records. Response to the Court’s Verbal Order (Doc. # 252) at 1.
. Counsel for the United States represented during the hearing that she had previously provided the documents in category 7 to Gumbaytay.
. According to counsel at the December 17 hearing, Pollock is an attorney licensed to practice in two other states, but not in the state of Alabama.
. At the hearing, attorney Cooper appeared to indicate that some or all of the women also came personally to the CAFHC office for further discussion. However, she did not indicate, and CAFHC's listing of responsive discovery in its brief does not suggest, that Pollock made notes of such discussions.
. Such a ruling would, by extension, strip all client communications used to draft an administrative or court complaint of their privileged status as soon as that complaint was filed.
. Fed.R.Evid. 502 does not compel a different result. That rule provides, in relevant part, that when a disclosure is made to a Federal agency "and waives the attorney-client privilege ..., the waiver extends to an undisclosed communication or information in a Federal or State proceeding only if: (1) the waiver is intentional; (2) the disclosed and undisclosed communications or information concern the same subject matter; and (3) they ought in fairness to be considered together.” Fed.R.Evid. 502(a). Here, no waiver of the privilege has occurred.
. Because the notes are protected by the attorney-client privilege, the court does not reach the question of whether the common interest rule applies or whether the work product doctrine offers an additional source of privilege.
