Harrington v. Freedom of Information Commission
Harrington v. Freedom of Information Commission
Opinion
**3 Clients call upon attorneys to provide advice on a range of matters, some that may be purely legal, some that may be purely nonlegal, and others where the line between legal and nonlegal advice is more nuanced. This case provides an opportunity to address the circumstances under which communications relating to both nonlegal and legal advice may be covered by the attorney-client privilege.
The plaintiff, Michael C. Harrington, appeals from the trial court's judgment dismissing his appeal from the decision of the Freedom of Information Commission, 1 which concluded that e-mails that the *409 plaintiff sought from the defendant Connecticut Resources Recovery **4 Authority 2 fall within the exemption from disclosure under the Freedom of Information Act (act) for communications subject to the attorney-client privilege. See General Statutes § 1-210(b)(10). We conclude that the commission failed to apply the proper standard for assessing the communications at issue, which include communications that the commission characterized as containing a mix of business and legal advice. Therefore, the case must be remanded to the commission for further proceedings.
The record reflects the following undisputed facts. The defendant is a public agency for purposes of the act. It assists Connecticut municipalities in managing, recycling and disposing of their solid waste. See generally
New Hartford v. Connecticut Resources Recovery Authority,
**5 The plaintiff filed a complaint with the commission after the defendant failed to promptly produce the communications requested. After preliminary proceedings before the commission, the defendant provided many documents to the plaintiff, but withheld hundreds of others. Evidentiary hearings ensued before a commission hearing officer, where the parties contested whether the withheld documents were exempt from disclosure under the act's exemption relating to the attorney-client privilege.
Although the plaintiff recognized that the defendant bore the burden of proof on this issue, he elected to present his case first. The plaintiff offered exhibits, as well as the testimony of Laurie Hunt, the defendant's director of legal services and the sole attorney on its staff during the periods at issue. Hunt was the only witness at the hearing. The evidence proffered established the following facts. In 2006, the defendant's president, Thomas D. Kirk, sought approval from the defendant's board of directors to enter into an agreement to retain Ritter as the defendant's consultant and community liaison. Kirk informed the board that the defendant previously had been utilizing Ritter's services *410 under a legal services agreement, even though Ritter's services had "not been of a purely legal nature." One of the board members sought clarification whether Ritter was being hired as an attorney or a community liaison. Kirk responded that Ritter was being retained as a consultant and, in particular, a community liaison. Kirk represented that the new arrangement would provide more transparency and accuracy as to the services provided, as well as a cost benefit because Ritter would be retained for a fixed fee rather than being paid at the hourly rate under the legal services agreement. **6 Following the board's approval, the defendant entered into various service agreements with Ritter and Brown Rudnick: a Host Community Liaison Services Agreement in 2006; a Municipal Government Advisor Services Agreement in 2007; and a Municipal Government Liaison Services Agreement in 2009 (collectively, liaison agreements). These liaison agreements designated Brown Rudnick, and Ritter specifically, as the defendant's "consultant." One of these liaison agreements described the scope of the consultant's services as, including, but not limited to, the following:
(a) "Provide [the defendant] with insight and outreach relative to [the defendant] and its interactions with municipalities that are currently and/or that may become hosts to the [the defendant's] facilities and pertinent or related groups and organizations that are and/or may become affected by [the defendant's] facilities...."
(b) "Act as a community liaison for [the defendant] to provide counsel and outreach to current and/or potential host communities in connection with local issues in the community and the state of Connecticut in general."
(c) "Recommend to [the defendant] ways to improve outreach to the current and/or potential host communities ...."
(d) "Provide counsel to [the defendant] to assist [the defendant] with its critical goals in the current and/or potential host communities, as well as develop and enhance [the defendant's] relationships with [these] host communities." 5
**7 With one exception, Ritter's services were billed exclusively under these liaison agreements and were invoiced as "General Business Advice." The only exception was a special agreement, executed in 2011, under which Ritter provided "legislative monitoring and advice" while two bills were pending before the legislature that would have made substantial changes to the operations of the defendant. Accordingly, subsequent to the execution of the liaison agreements, there was no evidence that Ritter ever billed the defendant for providing "legal advice" under the liaison agreements, that he ever billed the defendant under the legal services agreement, or that he billed the defendant under the hourly rate that was prescribed under the legal services agreement.
Hunt testified, however, that the defendant had relied on Ritter and Boucher for legal advice and that such advice often had been provided. Hunt opined that legal advice likely was being solicited in communications, even when the only response to the communication came from a person who was not an attorney. Hunt speculated that legal advice may have been provided in response to some e-mails through some channel other than e-mail. In particular, *411 she stated that "it's also possible to solicit advice through an e-mail but to get a response in a phone call. That frequently happens." She further opined that services provided by Ritter for "monitoring legislation" were legal services, explaining that the defendant has a "legal interest" in proposed legislation that may affect it and that seeking advice on pending legislation is a request for legal advice. Hunt opined that an e-mail from Kirk to both Ritter and the defendant's director of public relations, indicating that Kirk was going to have a meeting with legislators, would be a solicitation of legal advice from Ritter but not the director, under the view that "[s]ometimes it's necessary **8 just to keep the lawyers up to speed on what's going on so that they can provide legal advice."
Hunt addressed two particular controversies in which the defendant was involved, one of which had resulted in several arbitration and judicial proceedings over a period of years. She acknowledged that Ritter had never entered an appearance in any case for the defendant, including arbitration and administrative proceedings.
The defendant submitted two "exemption" logs to the hearing officer, one each for the Ritter and Boucher communications being withheld. The logs listed: the author of each communication; the recipients (distinguishing addressees from persons who were copied); attorneys advising the defendant in connection with that communication (including attorneys associated with law firms other than Brown Rudnick and Halloran & Sage); the subject matter; and the statutory exemption(s) that was being claimed. The subject matter was not stated in terms relating to the specific type of legal advice sought, but instead listed general topics such as draft testimony, legislative report, landfill siting study, board member solicitations, or new energy legislation.
Following an in camera review of the documents, the hearing officer found that the documents consisted of: (1) e-mails to/from Ritter or Boucher; and (2) e-mails to/from others on which Ritter or Boucher were copied. The hearing officer issued a proposed decision recommending that the commission find that the documents are exempt from disclosure under the attorney-client privilege.
The commission subsequently voted to adopt the hearing officer's decision, despite some reservations that were expressed about whether all of the documents were privileged. In that decision, the commission determined that its legal analysis was guided by the four
**9
part test set forth in
Shew v. Freedom of Information Commission,
The commission then concluded that, based on Hunt's testimony and a review of the documents, all four prongs of the Shew test had been met as to each communication *412 withheld by the defendant. The commission found that Ritter had provided both municipal liaison services and legal advice, and determined that it was not dispositive that he had been hired and paid pursuant to a contract for the former. As to both Ritter and Boucher, the commission found that "[the defendant] was involved in at least two legal controversies, and was the subject of proposed legislation that potentially would have affected [the defendant's] business, and that such matters are the subject of the Ritter and Boucher e-mails." It further found that, during the four and one-half year span of the communications, "[the defendant's] employees and [b]oard members regularly communicated ... via e-mail, with [the defendant's] **10 legal counsel, including [Ritter and Boucher], for the purposes of (1) seeking legal advice; and (2) keeping counsel apprised of ongoing business developments, with the expectation that the attorney would respond in the event the matter raised a legal issue." In light of these findings, the commission concluded that "each of the communications related to legal advice sought by the [defendant] either from ... Ritter, [Boucher] or another attorney acting on behalf of [the defendant], or both." The commission acknowledged that certain communications contained a mix of legal advice and business advice, but concluded that these communications related to legal advice sought by the agency because they were " 'inextricably linked' to the giving of legal advice."
The plaintiff appealed from the commission's decision to the Superior Court, raising two claims: (1) the commission had improperly substituted the judgment of the hearing officer for its own because, according to the plaintiff, several commissioners indicated that they did not agree that all the documents were privileged but nonetheless adopted the hearing officer's decision; and (2) various factors indicated that the communications were not privileged. The court rejected both the procedural and substantive claims. With respect to the substantive claim, the court indicated that it had conducted an in camera review of the documents and had found substantial evidence to support the commission's findings. The court rejected the plaintiff's claim that the attorney-client privilege would not shield communications between nonlawyers on which Ritter was copied, concluding that there was substantial evidence to support a finding that such communications were made "as part of a design to keep the attorneys involved in [the defendant's] decision-making process." The plaintiff appealed to the Appellate Court, renewing **11 its procedural and substantive claims, and we transferred the appeal to this court.
The plaintiff's principal contention before this court is that the commission improperly deemed the communications at issue to be covered by the attorney-client privilege. 6 He contends that the evidence demonstrates that Ritter and Boucher were not consistently acting in a professional capacity as attorneys for the defendant, but rather were providing business advice, legislative advice, or lobbying services, to which the privilege does not apply. He further contends that, to the extent that the communications were motivated by more than one *413 purpose, they would not be shielded because (a) legal advice must be the predominant or primary purpose of the communications for them to be privileged; and (b) any nonlegal advice must be inextricably linked to legal advice, such that redaction of the latter would not be possible. Finally, he contends that the privilege would not extend to communications on which other Brown Rudnick lobbyists were copied.
In considering these contentions, we are mindful that "Connecticut has a long-standing, strong public policy of protecting attorney-client communications."
Metropolitan Life Ins. Co. v. Aetna Casualty & Surety Co.,
Because "the privilege has the effect of withholding relevant information from the [fact finder], it applies only where necessary to achieve its purpose....
Fisher v. United States,
**13
PSE Consulting, Inc. v. Frank Mercede & Sons, Inc.,
The same is true with our construction of exemptions under the act. "[T]he overarching legislative policy of [the act] is one that favors the open conduct of government and free public access to government records.... [I]t is well established that the general rule under the [act] is disclosure, and any exception to that rule will be narrowly construed in light of the general policy of openness expressed in the [act].... [Thus] [t]he burden of proving the applicability of an exception [to disclosure under the act] rests upon the party claiming it." (Citation omitted; internal quotation marks omitted.)
Lieberman
*414
v. Aronow,
When a claim of attorney-client privilege is invoked in an administrative proceeding, our review of a determination as to whether that privilege applies is governed by the Uniform Administrative Procedure Act, General Statutes § 4-166 et seq. "Judicial review of an administrative agency decision requires a court to determine whether there is substantial evidence in the administrative record to support the agency's findings of basic fact and whether the conclusions drawn from those facts are reasonable.... Neither this court nor the trial court may retry the case or substitute its own judgment for that of the administrative agency on the weight of the evidence or questions of fact.... Our ultimate duty is to determine, in view of all of the evidence, whether the agency, in issuing its order, acted unreasonably, arbitrarily, illegally or in abuse of its discretion." (Citations omitted; internal quotation marks omitted.)
**14
Cadlerock Properties Joint Venture, L.P. v. Commissioner of Environmental Protection,
Although the plaintiff raises numerous arguments, our threshold, and ultimately dispositive, consideration is the proper approach for assessing the applicability of the attorney-client privilege when business or other nonlegal professional advice is provided. This is a legal rather than factual question. We therefore must consider whether the commission acted unreasonably, arbitrarily, illegally, or in abuse of its discretion in concluding that all of the communications that the defendant withheld are covered by the attorney-client privilege. See
Lash v. Freedom of Information Commission,
This court has long recognized the principle that "[n]ot every communication between attorney and client falls within the [attorney-client] privilege."
Ullmann v. State,
The line between legal advice and business advice, however, is not always clear. "Fundamentally, legal advice involves the interpretation and application of legal principles to guide future conduct or to assess past conduct. See generally 1[P.] Rice, Attorney Client Privilege in the United States [ (2d Ed. 1999) § 7:9]. It requires a lawyer to rely on legal education and experience to inform judgment.... But it is broader, and
**16
is not demarcated by a bright line.... The modern lawyer almost invariably advises his client upon not only what is permissible but also what is desirable. And it is in the ... public interest that the lawyer should regard himself as more than [a] predicter of legal consequences. His duty to society as well as to his client involves many relevant social, economic, political and philosophical considerations. And the privilege of non-disclosure is not lost merely because relevant nonlegal considerations are expressly stated in a communication which also includes legal advice." (Citation omitted; internal quotation marks omitted.)
In re County of Erie,
Nonetheless, it is not enough for the party invoking the privilege to show that a communication to legal counsel relayed information that "might become relevant to the future rendering of legal advice. Instead, the communication must also either explicitly or implicitly seek specific legal advice about that factual information."
Valente v. Lincoln National Corp.,
Docket No. 3:09cv693 (MRK),
Just as this court has never specifically distinguished business advice offered by an attorney from legal advice, it has not addressed the application of the privilege to communications containing or seeking both legal and business advice, as was found to exist in the present case. The primary flaw in the commission's approach to this question lies in its exclusive reliance on the "inextricably linked" standard. That language,
*416
however, originates from a case in which this court stated that, "[a] communication from attorney to client
solely regarding a matter of fact
would not ordinarily be privileged,
unless it were shown to be inextricably linked to the giving of legal advice.
" (Emphasis added.)
Ullmann v. State,
supra,
There is broad consensus in other jurisdictions that, "if the non-legal aspects of the consultation are integral to the legal assistance given and the legal assistance is the
primary purpose
of the consultation, both the client's communications and the lawyer's advice and assistance that reveals the substance of those communications
**18
will be afforded the protection of the privilege."
7
(Emphasis in original; footnotes omitted.) 1 P. Rice, Attorney-Client Privilege in the United States (Rev. 2015) § 7:4, pp. 1191-92; see also
Lindley v. Life Investors Ins. Co. of America,
When the legal aspects of the communication are incidental or subject to separation, the proponent of the privilege may be entitled to redact those portions of the communication. See
In re County of Erie,
"Lest a non-legal element become the tail that wags the dog, a clear and significant nexus between attorney-client communications and legal advice or assistance is rightly expected. In classifying the character of the communication, the crucial inquiry is whether the intent of the client, in deciding to approach the lawyer, is to obtain legal counsel, even if other dimensions of a matter are addressed as well." G. Sisk & P. Abbate, supra, 23 Geo. J. Legal Ethics at 219-20.
This court has signaled our approval of the primary purpose standard applied by other courts. See
Olson v. Accessory Controls & Equipment Corp.,
supra,
In the present case, the commission's decision cited to cases from other jurisdictions that apply this standard, but it did not determine whether the primary purpose of the communications was seeking or providing legal advice. Nor did it consider whether incidentally privileged matters could be redacted to allow disclosure of nonprivileged matters. Indeed, Hunt stated that redaction would have been possible as to some documents, but she lacked sufficient time to do so. Our review of a sample of the communications reveals that proper application of these considerations undoubtedly would yield a different result as to a substantial number of the communications examined. 8 Indeed, some of the **22 e-mails exclusively addressed nonlegal matters, such as eliciting employment opportunities, facilitating business connections or opportunities, and burnishing the defendant's public image, that could not reasonably be found to have been inextricably connected to legal advice. Nor were they all inextricably connected to certain legal controversies or proposed legislation, as the commission's decision suggested.
Therefore, the case must be remanded to the commission for further proceedings. See
Lash v. Freedom of Information Commission,
supra,
*419
In reconsidering this matter, we draw the commission's attention to other concerns about certain aspects of its decision. The commission concluded that the privilege would attach to communications spanning more than a four year period that were made to keep "counsel apprised of ongoing business developments, with the expectation that the attorney would respond in the event the matter raised a legal issue." As we previously indicated, it is not enough for the party invoking the privilege to show that factual information "might become relevant to the future rendering of legal advice. Instead, the communication must also either explicitly or implicitly seek specific legal advice about that factual information."
Valente v. Lincoln National Corp.,
supra,
In addition, the commission appears to have assumed that communications relating to "proposed legislation that potentially would have affected [the defendant's] business" related to legal advice. An authoritative treatise has noted that "[i]t is unresolved whether legal advice should be interpreted differently when it is given in the context of the creation of laws (or regulations in the context of government agencies), as opposed to when it is given [in] the context of existing law. It is not apparent how the attorney-client privilege's policy of effectuating greater compliance with the law through the encouragement of more open communications to the attorney is furthered in the legislative context." 1 P. Rice, Attorney-Client Privilege in the United States (Rev. 2015) § 7:20, pp. 1276-77. Nonetheless, without expressing any opinion as to whether either Ritter or Boucher had been acting as a lobbyist, or merely aiding someone else acting in that capacity, we set forth the following principles to guide the commission on
**24
remand. "[I]f a lawyer happens to act as a lobbyist, matters conveyed to the attorney for the purpose of having the attorney fulfill the lobbyist role do not become privileged by virtue of the fact that the lobbyist has a law degree or may under other circumstances give legal advice to the client, including advice on matters that may also be the subject of the lobbying efforts." (Internal quotation marks omitted.)
In re Grand Jury Subpoenas Dated March 9, 2001,
The judgment is reversed and the case is remanded with direction to sustain the plaintiff's appeal and to **26 remand the matter to the commission for further proceedings consistent with this opinion.
In this opinion the other justices concurred.
Although the commission is the named defendant, for convenience, we refer to the defendant Connecticut Resources Recovery Authority, the entity from whom the records were sought, as the defendant, and refer to the commission by name. The commission has not filed an appellate brief, and has joined in the brief of the defendant.
In 2014, the legislature renamed the Connecticut Resources Recovery Authority as the Materials Innovation and Recycling Authority. Public Acts 2014, No. 14-94, § 1; see General Statutes § 22a-260a.
Halloran & Sage was contracted to provide general counsel as its primary legal service to the defendant. Brown Rudnick was contracted to provide legal services in the following specific areas under its contract effective July, 2005: environmental; real estate/planning and zoning; energy/Department of Public Utility Control; and litigation. Ritter is a partner in the Government Law & Strategies practice group of Brown Rudnick.
By statute, the defendant is barred from hiring outside lobbyists but it may lobby through its own employees. See General Statutes § 1-101bb ; see also General Statutes § 1-91(11) (defining lobbying). We agree with the commission's hearing officer that, despite the plaintiff's assertion that Ritter and Boucher were lobbying on behalf of the defendant, such a fact, even if true, would not necessarily be determinative of the question of privilege.
In an e-mail to Paul Nonnenmacher, the defendant's director of public affairs, Ritter similarly described his role as formulating strategy and interacting with others to help advance the defendant's business goals. Ritter made no mention of his availability for legal advice.
In light of our conclusion that the case must be remanded to the commission for further proceedings due to a substantive defect in the decision adopted by the commission, we need not address the plaintiff's contention that the commission failed to exercise its judgment by adopting the hearing officer's decision. We consider it both speculative and doubtful that the concern raised is likely to arise on remand. Cf.
MSO, LLC v. DeSimone,
See 1 P. Rice, Attorney-Client Privilege in the United States (2d Ed. Rev. 2010) § 7:6, p. 7-78 ("there is general agreement that the protection of the privilege applies only if the
primary or predominate purpose
of the attorney-client consultation is to seek legal advice or assistance" [emphasis in original] ); 24 C. Wright & K. Graham, Federal Practice and Procedure (1986) § 5490, p. 444 (majority rule is " 'dominant purpose' doctrine"); see, e.g.,
Alomari v. Ohio Dept. of Public Safety,
We note that the level of generality in the commission's decision would have failed to provide a meaningful and workable framework to evaluate the hundreds of communications at issue, spanning a four and one-half year period, had we needed to undertake an in camera review to decide whether the commission's findings and conclusions were proper. The commission's decision makes the conclusory assertion that each of the communications "relate[s] to legal advice sought by the [defendant]" and broadly characterizes an unspecified subset of those communications as containing "a mix of legal and business advice." We contrast this approach with those applied in other cases, such as where the fact finder has, by reference to specific document numbers, distinguished communications that expressly seek legal advice from those that do not, and, after scrutinizing the latter category, distinguishing those that implicitly seek legal advice from those that do not. See, e.g.,
Valente v. Lincoln National Corp.,
supra,
Reference
- Full Case Name
- Michael C. HARRINGTON v. FREEDOM OF INFORMATION COMMISSION Et Al.
- Cited By
- 9 cases
- Status
- Published