Martin v. Naval Criminal Investigative Service et al
Filing
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ORDER Determining Joint Motion For Discovery Dispute No. 1, Granting In Part And Denying In Part Plaintiff's Motion To Compel (Re Doc. 92 ): The court GRANTS in part and DENIES in part Plaintiff's motion to compel. The USAO shall produce a privilege log by 1/9/2013 in accordance with this order. Signed by Magistrate Judge Nita L. Stormes on 12/14/2012. (mdc)
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UNITED STATES DISTRICT COURT
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SOUTHERN DISTRICT OF CALIFORNIA
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CAROLYN MARTIN,
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Plaintiff,
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v.
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NAVAL CRIMINAL INVESTIGATIVE
SERVICE (NCIS); MARK D. CLOOKIE,
NCIS DIRECTOR; WADE JACOBSON,
NCIS ACTING SPECIAL AGENT IN
CHARGE, MARINE CORPS WEST FIELD
OFFICE; SEAN SULLIVAN, STAFF
JUDGE ADVOCATE, MARINE CORPS
RECRUIT DEPOT SAN DIEGO; GERALD
“JERRY” MARTIN, NCIS SPECIAL
AGENT; RAY MABUS, SECRETARY OF
THE NAVY; JOHN DOES 1-7,
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Defendants.
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Civil No. 10cv1879 WQH (NLS)
ORDER DETERMINING JOINT
MOTION FOR DISCOVERY DISPUTE
NO. 1, GRANTING IN PART AND
DENYING IN PART PLAINTIFF’S
MOTION TO COMPEL
[Doc. No. 92]
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The parties ask this court to determine a discovery dispute regarding the applicability of certain
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privileges and protections to subpoenaed documents. For the following reasons, the court determines
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the discovery dispute and grants in part and denies in part Plaintiff’s motion to compel.
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I.
RELEVANT BACKGROUND
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This civil rights case was filed by a civilian military criminal defense investigator who alleges
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that the Naval Criminal Investigative Service (NCIS) violated her first amendment rights by issuing a
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blanket directive banning her from entering the courtroom at the Marine Corps Recruit Depot (MCRD).
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She also alleges claims under the Federal Tort Claims Act (FTCA) for intentional infliction of emotional
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distress, battery, malicious trespass, abuse of process and false imprisonment because NCIS harassed
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and retaliated against her for her work for criminal defendants in their cases. NCIS denies the
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allegations and says they were conducting a legitimate investigation into Plaintiff’s improper use of
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government credentials to get on base at Camp Pendleton.
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In initial disclosures, defendant NCIS produced documents related to the investigation of
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Plaintiff. The information included documents provided by NCIS and other entities to the U.S.
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Attorney’s Office for the Southern District of California (USAO), and identified a former Assistant
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United States Attorney, Rees Morgan, as a potential witness. NCIS stated, “Rees Morgan, formerly an
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AUSA, U.S. Attorney’s Office, Southern District of California, advised NCIS on the criminal
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prosecution of Plaintiff, [and was] involved in the issuance of a citation to Plaintiff. Mr. Morgan is no
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longer with the U.S. Attorney’s Office.”
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Plaintiff issued a deposition subpoena for Rees Morgan. To prepare for that deposition, Plaintiff
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also issued a subpoena duces tecum on the custodian of records for the USAO seeking all notes,
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memoranda, communications or other documents, whether internal or external, concerning plaintiff
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Carolyn Martin, which were created pursuant to any criminal investigation of her.1 The USAO
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responded that it has seven categories of documents regarding Plaintiff, and has agreed to produce these
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four categories of documents:
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NCIS Reports of Investigation (“ROIs”);
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Pleadings from the instant case;
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Evidence received pursuant to a grand jury subpoena; and
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Communications between NCIS agents and the various AUSAs
assigned to the USAO case.
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The USAO, however, has refused to produce these categories of documents:
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Grand jury materials;
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AUSAs’ research and attorney notes; and,
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Communications between attorneys within the USAO.
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The parties have postponed the deposition of Mr. Morgan pending the outcome of this discovery
dispute.
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The parties also disagree about the discoverability of Mr. Morgan’s impressions about Plaintiff’s
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investigation.
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II.
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DISCUSSION
A.
Grand Jury Materials.
1.
Legal Standard.
In general, grand jury proceedings remain secret. Fed. R. Crim. Proc. 6(e)(2). They may be
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disclosed in accordance with only a few strict exceptions or pursuant to a court order: “The court may
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authorize disclosure--at a time, in a manner, and subject to any other conditions that it directs--of a
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grand-jury matter: preliminarily to or in connection with a judicial proceeding.” Fed. R. Crim. Proc.
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6(e)(3)(E)(i). To disclose a grand jury matter that is connected to a judicial proceeding,
A petition to disclose . . . must be filed in the district where the grand jury
convened. Unless the hearing is ex parte--as it may be when the
government is the petitioner--the petitioner must serve the petition on, and
the court must afford a reasonable opportunity to appear and be heard to:
(i) an attorney for the government;
(ii) the parties to the judicial proceeding; and
(iii) any other person whom the court may designate.
Fed. R. Crim. Proc. 6(e)(3)(F).
Grand jury material may be disclosed “for civil purposes in appropriate cases.” U.S. v. Dondich,
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460 F. Supp. 849, 857-858 (N.D. Cal. 1978). To break the secrecy of grand jury proceedings, the party
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seeking disclosure has the burden to show:
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[1. T]he material . . . is needed to avoid a possible injustice in another
judicial proceeding, . . . [2] the need for disclosure is greater than the need
for continued secrecy, and . . . [3] the request is structured to cover only
material so needed.
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Douglas Oil Co. v. Petrol Stops Northwest, 441 U.S. 211, 222-223 (1979). To meet this burden the
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petitioner must offer specific facts, as opposed to pure speculation, for why the balance should tip in her
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favor. U.S. v. Walczak, 783 F.2d 852, 857 (9th Cir. 1986) (denying motion to disclose grand jury
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transcripts because defendant did not allege specific facts to support the motion).
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The court must balance the petitioner’s need with “the immediate effects upon a particular grand
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jury [and] also the possible effect upon the functioning of future grand juries.” Douglas Oil, 441 U.S. at
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222-223. Grand jury proceedings must generally remain secret to accomplish these goals:
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(1) . . . prevent the escape of prospective indictees; (2) . .. insure freedom
to the grand jury in its deliberations; (3) . . . prevent subornation of perjury
and tampering with witnesses by targets of the investigation; (4) . . .
encourage free disclosure by witnesses before the grand jury; and (5) . . .
protect those exonerated by the grand jury from disclosure of the fact that
they were under investigation.
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Ballas v. U.S. (In re Grand Jury Proceedings), 62 F.3d 1175, 1180, n.2 (9th Cir. 1995). Where a grand
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jury investigation has been terminated the first three factors become insignificant. Id. (citations
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omitted). Even when an investigation is closed, the fourth factor remains a consideration given “‘the
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possible effect upon the functioning of future grand juries.’” Id. (citing Douglas Oil, 441 U.S. at 223).
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Courts have “substantial discretion” when determining whether grand jury transcripts should be
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released. Id. at 223.
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2.
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Propriety of Petition.
Plaintiff argues that because this discovery motion is made in the district where the grand jury
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convened and involves a government attorney, the court can consider this motion to be a proper petition
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under Federal Rule of Criminal Procedure 6(e)(3)(F). The USAO argues that Plaintiff has not presented
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a proper petition under Rule 6(e) for the court to adjudicate, so the request should be denied on that
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basis.
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This court finds that the request is procedurally proper because Plaintiff served this motion,
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which includes the request for the grand jury materials, on an attorney for the government and on the
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parties to this judicial proceeding. The government and parties have had an opportunity to appear and
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have been heard on the issue of whether these materials should be released.
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3.
Plaintiff’s Need for the Materials Versus the Government’s Interest.
Plaintiff argues that the grand jury material is needed to avoid a possible injustice in this civil
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case. Thus far, Defendant has selectively disclosed information related to the criminal investigation of
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Plaintiff. Plaintiff’s claim rests on the question of whether the criminal investigation of her “was
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grounded in legitimate and justified concerns or [whether it] was motivated by harassment and
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retaliation.” Pl.’s Mem. Ps&As, p.10. Because she was not charged, Plaintiff argues she is entitled to
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know all the information regarding why charges were not pursued, as that will answer the question at the
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heart of this case, which is whether the investigation was legitimate or improper. Plaintiff argues the
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request is narrow because it is confined to the facts of this case and the only materials sought relate to
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the criminal investigation at issue. Also, Plaintiff argues that Defendant cannot selectively use the
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information from the criminal investigation as both a sword and a shield.
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In considering the argument in favor of disclosure, the court notes that the district judge found
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that Plaintiff stated at least prima facie claims for first amendment violations, intentional infliction of
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emotional distress, battery, trespass, false imprisonment and abuse of process, as all those claims
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survived the motions to dismiss. These claims are all based on the alleged ill-motives of NCIS in their
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criminal investigation before the grand jury. Because the grand jury materials go to the heart of
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Plaintiff’s lawsuit, and are not available from any other source, they are needed to avoid a possible
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injustice. See Goldstein v. City of Long Beach, 603 F. Supp. 2d 1242 (C.D. Cal. 2009) (ordering
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disclosure of grand jury material in a civil rights case where plaintiff alleged prosecutorial misconduct);
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Jernigan v. Richard, 2009 U.S. Dist. LEXIS 84679 (D. Ariz. Sept. 17, 2009) (ordering disclosure of
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grand jury material in a civil rights case where plaintiff alleged that law enforcement failed to present
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exculpatory evidence to grand jury).
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Regarding the government’s interest, the need for secrecy is diminished where a grand jury
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investigation is completed. Douglas Oil, 441 U.S. at 222-223; U.S. v. Fischbach & Moore, 776 F.2d
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839, 843-844 (9th Cir. 1985). Because Plaintiff already knows she was investigated before a grand jury,
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the only relevant government interest in maintaining the secrecy of these proceedings is based on the
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need to encourage full disclosure by witnesses before future grand juries. The court does not see any
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potential grave effects on future grand juries since these materials can be designated as confidential
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under the existing protective order. Disclosure is appropriate where the need for the grand jury
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materials outweighs the public’s interest in maintaining their secrecy. Douglas Oil, 441 U.S. at 222-
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223. The court finds that Plaintiff has met her burden to show the need for the documents outweighs the
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government’s interest in keeping these grand jury materials secret. The court therefore grants Plaintiff’s
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motion to disclose the grand jury materials relating to the criminal investigation of Plaintiff, pursuant to
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the protective order in this case.
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B.
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USAO Research and Communications.
1.
Deliberative Process Privilege.
The deliberative process privilege allows the government “to withhold documents that reflect
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advisory opinions, recommendations and deliberations comprising part of a process by which
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governmental decisions and polices are formulated. Hongsermeier v. Comm'r, 621 F.3d 890, 904 (9th
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Cir. 2010) (internal citations and quotations omitted). Documents that are both “predecisional” and
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“deliberative” qualify for this privilege. A predecisional document is one “prepared in order to assist an
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agency decisionmaker in arriving at his decision.” Id. A deliberative document is one whose “release
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would expose an agency's decisionmaking process in such a way as to discourage candid discussion
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within the agency and thereby undermine the agency's ability to perform its functions.” Id. The purpose
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of this privilege is to protect “certain intraagency communications from disclosure to allow agencies
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freely to explore possibilities, engage in internal debates, or play devil's advocate without fear of public
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scrutiny.” Lahr v. Nat'l Transp. Safety Bd., 569 F.3d 964, 979 (9th Cir. 2009) (citations and quotations
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omitted).
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The deliberative process privilege is a qualified one, so courts may order discovery even if the
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government meets its burden to show the document is predecisional and deliberative. F.T.C. v. Warner
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Communications Inc., 742 F.2d 1156, 1161 (9th Cir. 1984). The privilege can be overcome if the
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requesting party’s need for the information outweigh’s the government’s interest in not disclosing it. Id.
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Once the government meets its burden to show the documents are predecisional and deliberative, the
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burden shifts to the requesting party to show that the privilege should be waived. De Abadia-Peixoto v.
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United States Dep't of Homeland Security, 2012 U.S. Dist. LEXIS 164388, *5-*6 (N.D. Cal. Nov. 16,
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2012) (citation omitted). The factors to consider in evaluating the requesting party’s burden are:
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1) the relevance of the evidence; 2) the availability of other evidence; 3) the government's role in the
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litigation; and 4) the extent to which disclosure would hinder frank and independent discussion
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regarding contemplated policies and decisions." F.T.C., 742 F.2d at 1161. The privilege applies
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narrowly, and should exclude purely factual information, summaries or commentaries on past decisions.
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Price v. County of San Diego, 165 F.R.D. 614, 620 (S.D. Cal. 1996).
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The USAO argues that because all documents generated within the office would have addressed
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the decision of whether to prosecute Plaintiff, they are necessarily predecisional. Also, because those
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documents would contain opinions, recommendations or advice about the possibility of prosecuting
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Plaintiff, they are therefore deliberative. Plaintiff argues that her need for the information requires
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disclosure of that information because her cause of action turns on the government’s intent, as this
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action turns squarely on whether NCIS engaged in a legitimate investigation or a campaign of
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harassment and retaliation.
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The court finds that there is not enough information before it to determine the availability of the
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deliberative process privilege. The USAO has not provided a privilege log to help determine which
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items are predecisional and deliberative. While it might sound reasonable to assume that all the
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documents are predecisional because they concern the question of whether to prosecute Plaintiff, and
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deliberative because they include attorney opinions about such a decision, it also sounds reasonable that
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those documents might include factual information, summaries or commentary on previous decisions, or
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postdecisional documents. The court therefore denies without prejudice the USAO’s assertion of this
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defense. See Cal. Native Plant Soc'y v. United States EPA, 251 F.R.D. 408 (N.D. Cal. 2008) (finding
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privilege logs did not include sufficient detail to identify deliberative material); De Abadia-Peixoto,
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2012 U.S. Dist. LEXIS 164388 (finding privilege log insufficient and ordering in camera review of all
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documents asserted to be protected by deliberative process privilege).
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2.
Work Product Doctrine.
“Unlike issues of attorney-client privilege, issues concerning the work-product doctrine are
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procedural and thus governed by Federal Rule of Civil Procedure 26(b)(3).” Great American Assur. Co.
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v. Liberty Surplus Ins. Corp., 669 F.Supp.2d 1084, 1090 (N.D. Cal. 2009). The attorney who prepared
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the work is entitled to the immunity. Bozzuto v. Cox, 255 F.R.D. 673, 678 (C.D. Cal. 2009).
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The work product doctrine affords a qualified protection from discovery for all material obtained
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and prepared by an attorney or an attorney’s agent “in anticipation of litigation.” Hickman v. Taylor, 329
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U.S. 495 (1947); Fed.R.Civ.P. 26(b)(3)(A). It is a qualified immunity rather than a privilege and is
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determined by a showing of necessity or good cause. Bozzuto, 255 F.R.D. at 677. It is meant “to guard
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against the divulging of attorney's strategies and legal impressions, it does not protect facts concerning
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the creation of work product or facts contained within the work product.” Garcia v. City of El Centro,
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214 F.R.D. 587, 591 (S.D. Cal. 2003) (emphasis in original) (citations omitted). Opinion work product,
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though, “containing an attorney's mental impressions or legal strategies, enjoys nearly absolute
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immunity and can be discovered only in very rare circumstances.” Id. Where the discovery of certain
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facts would inherently reveal an attorney’s mental impressions, work product protection extends to those
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facts. Id.; Gen-Probe v. Becton, Dickinson & Co., 2011 U.S. Dist. LEXIS 27961, *7 (S.D. Cal. 2011)
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(Stormes, J.) (extending work product protection to contact information for witnesses because it would
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reveal which witnesses counsel interviewed).
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To show entitlement to work product protection, the responding party must “(1) expressly make
the claim; and (2) describe the nature of the documents, communications, or tangible things not
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produced or disclosed -- and do so in a manner that, without revealing information itself privileged or
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protected, will enable other parties to assess the claim." Id. (citing Fed. R. Civ. P. 26(b)(5)(A)). A
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requesting party can overcome the immunity by showing “that it has substantial need for the materials to
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prepare its case and cannot, without undue hardship, obtain their substantial equivalent by other means.”
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Fed. R. Civ. P. 26(b)(3); Bozzuto, 255 F.R.D. at 678.
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The USAO argues that a government attorney’s report, memoranda, email or other internal
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documents made in connection with investigating or prosecuting a case is exempted from disclosure. It
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describes the documents at issue as centering on the issue of whether to prosecute Plaintiff and if so, for
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what crimes. While this general description may be accurate, the court finds that a privilege log would
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be more useful here. See Bozzuto v. Cox, 255 F.R.D. at 677. In any event, because Plaintiff does not
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focus on her substantial need for the materials and inability to obtain them without undue hardship, the
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USAO’s general assertion of work product immunity remains unrebutted.
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The court finds that the USAO has made an initial claim of work product immunity. The USAO
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must now provide a privilege log to Plaintiff to legitimize that claim so that Plaintiff can assess it. The
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court finds, though, that any document that includes opinion work product, i.e. any one of the USAO
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attorney's strategies, legal impressions or mental impressions, or a compilation of any facts that would
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reveal those strategies or impressions, is entitled to work product immunity. Similarly, the mental
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impressions of former AUSA Rees Morgan are not subject to discovery during the deposition. The
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court now turns to whether the USAO waived its work product immunity.
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3.
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Waiver.
Plaintiff argues that because “the government” waived privilege it cannot now claim work
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product: “the government cannot invoke privilege to withhold additional materials that provide context
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for understanding the disclosed information.” Pl.’s Mem.Ps&As, p.8.
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There are several problems with Plaintiff’s argument. First, she conflates the roles of attorney
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and client and confuses attorney-client privilege with work product immunity. For example, Plaintiff
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uses the word “government” interchangeably with defendant NCIS, and Defendant’s attorney, the
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USAO. Defendant NCIS apparently waived certain aspects of its attorney-client privilege held between
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it and the USAO, when it produced communications between it and the USAO regarding the criminal
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investigation of Plaintiff. NCIS turned over those files because the motives of NCIS are at the center of
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Plaintiff’s complaint, and such documents could reflect the motives of NCIS. But defendant NCIS held
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that privilege, not the USAO.
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By NCIS waiving attorney client privilege, that waiver never extended as a waiver to the
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USAO’s work product immunity, which Plaintiff argues. The USAO is the only one with authority over
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its own work product. The USAO has never waived work product immunity. NCIS’s disclosure of its
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attorney-client privileged information cannot operate as a waiver of the USAO’s work product.
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Second, the USAO is not a defendant here. Plaintiff did not file any claims against the USAO,
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and the USAO has not asserted any defenses to the substance of the claims against NCIS. Therefore, the
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USAO has never “placed its advice to NCIS at issue.” Further, NCIS has not invoked an “advice of
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counsel” defense. Because the advice from the USAO is not at issue, there is no waiver of work product
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immunity.
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III.
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ORDER
For the foregoing reasons, the court GRANT in part and DENIES in part Plaintiff’s motion to
compel. The USAO shall produce a privilege log by January 9, 2013 in accordance with this order.
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IT IS SO ORDERED.
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DATED: December 14, 2012
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Hon. Nita L. Stormes
U.S. Magistrate Judge
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