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The INSTITUTE FOR the DEVELOPMENT OF EARTH AWARENESS, Plaintiff, v. PEOPLE FOR the ETHICAL TREATMENT OF ANIMALS, Defendant; People for the Ethical Treatment of Animals, Counterclaim-Plaintiff, v. The Institute for the Development of Earth Awareness and Marjorie Spiegel, Counterclaim-Defendants

United States District Court for the Southern District of New York2011-01-03No. No. 08 Civ. 6195(PKC)
272 F.R.D. 124

Summary

Holding. IDEA's motion to compel production of draft affidavits and related materials is denied. Draft affidavits remain protected as attorney work product even after the final executed versions are filed, and IDEA has not shown substantial need to overcome that protection.

The Institute for the Development of Earth Awareness sought discovery of draft affidavits and communications between PETA's counsel and two non-party witnesses, Alice Walker and Laura Amaz-zone. PETA claimed these materials were protected as attorney work product under Federal Rule of Civil Procedure 26(b)(3). IDEA argued that the protection was waived once PETA filed the final executed versions of the affidavits in connection with a summary judgment motion.

The court rejected IDEA's position. The court held that draft affidavits prepared in anticipation of litigation remain work product even after a final version is filed, provided the drafts have not been adopted or executed by the witness. The drafts remain protected whether they contain factual material that counsel chose not to include in the final version or reflect abandoned legal theories and strategies. Since the non-party witnesses were available for deposition and IDEA did not pursue that avenue during discovery, IDEA failed to demonstrate the substantial need required to overcome work product protection.

Summary generated by law.co from the public-domain opinion. The opinion text itself is public domain.

Key issues

  • Whether work product protection extends to draft affidavits after final versions are filed
  • Whether filing an executed affidavit waives work product protection for earlier drafts
  • Whether substantial need exists to compel production of materials reflecting attorney mental impressions and abandoned strategies

Procedural posture

IDEA moved to compel discovery of draft affidavits and counsel communications, which PETA opposed on work product grounds.

Authorities cited

No cited authorities resolved to law.co cases yet.

Opinion

majority opinion

MEMORANDUM AND ORDER

P. KEVIN CASTEL, District Judge:

Contentious discovery disputes between the parties have continued unabated. On this round, plaintiff The Institute for the Development of Earth Awareness (“IDEA”) asserts that it is entitled to production of drafts of two affidavits and other materials exchanged between counsel and two non-party affiants. Defendant People for the Ethical Treatment of Animals (“PETA”) asserts attorney work product protection for all such material. Rule 26(b)(3), Fed.R.Civ.P.; Hickman v. Taylor, 329 U.S. 495, 67 S.Ct. 385, 91 L.Ed. 451 (1947). IDEA asserts that any such protection was waived by the service and filing of the final executed version of the affidavit. In essence, IDEA seeks discovery of the evolution of the affidavits.

The existence of a non-party witness may be discoverable through Rule 26(a)(1)(A), Fed.R.Civ.P., or interrogatories. Here the two affiants, Alice Walker and Laura Amaz-zone, were disclosed in IDEA’S Rule 26(a)(1) statement and also either in PETA’s Rule 26(a)(1) initial statement or supplemental statement. Counsel for each side was free to privately interview the witnesses or notice their depositions.

A lawyer’s notes of an interview of a non-party witness is classic work product and may contain both facts and mental impressions of the lawyer. Rule 26(b)(3)(A) provides that “[ojrdinarily, a party may not discover documents and tangible things that are prepared in anticipation of litigation or for trial by or for another party or its representative (including the other party’s attorney. ...” A Court may order production of work product falling within Rule 26(b)(3) upon a showing of substantial need. Documents that reflect the “mental impressions, conclusions, opinions, or legal theories of a party’s attorney ... concerning the litigation” fall outside the substantial need exception. Rule 26(b)(3)(B).

An affidavit for use on a summary judgment motion is required to contain facts that would be admissible at trial. Rule 56(e), Fed.R.Civ.P. Undisputedly, these affidavits were drafted for possible use on a summary judgment motion. Here, the executed affidavits of non-party witnesses remained work product until the lawyer elected to serve and file them. Until the moment of service and filing, the lawyer reserves the right to reverse course and refrain from using the affidavits. The lawyer’s drafts, which have not been adopted or executed by the non-party witness, do not lose their character as work product because a final executed version has been affirmatively used in the litigation. In this case, to the extent that drafts contained facts or supposed facts which PETA’s lawyer elected to include in an earlier draft but decided not to include in the version which was served and filed, IDEA has made no showing of substantial need; this is because the witnesses have been available to be examined at deposition and no other special circumstance exist. IDEA elected not to take the depositions of these witnesses during the discovery period. To the extent that drafts reflect theories once held by PETA’s counsel or strategies considered by counsel and abandoned, they are immune under Rule 26(b)(3)(B). See Kyoei Fire & Marine Ins. Co., Ltd. v. M/V Maritime Antalya, 248 F.R.D. 126, 155 (S.D.N.Y.2007). See also Wright & Miller, Federal Practice & Procedure § 2024 n. 23 (“Recent cases have generally held that draft affidavits, and communications with counsel relating to affidavits, are covered by the work — product rule.”) (citing Randleman v. Fidelity Nat’l Title Insur. Co., 251 F.R.D. 281, 284-86 (N.D.Ohio 2008).)

IDEA’S motion to compel is denied.

. I respectfully disagree with Sequa Corp. v. Gelmin, 91 Civ. 8675(CSH), 1993 WL 276081 (S.D.N.Y. July 16, 1993) (Memorandum and Order of Magistrate Judge).