In Re: Grand Jury Subpoena
Opinion
The Rhode Island Department of Labor and Training ("Department") petitions us for a writ of advisory mandamus to answer the following question: May a state government successfully invoke the attorney-client privilege in response to a federal grand jury subpoena? The petition comes in response to a holding by a federal district court in the District of Rhode Island that the privilege is categorically unavailable to a state government in receipt of a federal grand jury subpoena. For the reasons discussed below, we grant the writ and explain why such a categorical rule is not appropriate.
I.
Given that portions of the record are sealed, we discuss the factual background of this matter only briefly. A federal grand jury sitting in the District of Rhode Island subpoenaed certain records from the Department. The Department moved to quash the subpoena to the extent it sought to compel the production of documents containing confidential communications between Department staff and Department legal counsel. The district court denied the motion and ordered the Department to turn over the requested communications, holding that, as a categorical matter, "the attorney-client privilege does not shield communications between government lawyers and their clients from a federal grand jury." Order at 2,
In re Grand Jury Subpoena (
R.I. Dep't of Labor and Training)
, No. 18-4 WES (D.R.I. Apr. 25, 2018). The district court declined to certify the issue for appeal under
II.
We consider first whether advisory mandamus is available. The All Writs Act,
We have little trouble concluding that the first two requisites for invoking advisory mandamus are satisfied here. The parties agree that the issue on which our opinion is sought is unsettled in this circuit, while (as we will discuss) other circuits are split. And the degree to which communications between government counsel and public employees may be shielded from a grand jury subpoena is of substantial public importance. Significantly, too, the petition seeks our opinion on a rule of law and not on the manner in which the trial court exercised its discretion.
See
In re Insurers Syndicate
,
The more challenging question is whether refusing to exercise our mandamus jurisdiction "would potentially impair the opportunity for effective review."
Pleau
,
*29
We agree with the Department that the option of perfecting an appeal in ordinary course by triggering a finding of contempt may be materially less attractive -- and thus less readily available -- to a government agency than it might be to a private party. In so concluding, we recognize that we have nevertheless twice found a witness's status as a government employee insufficient to justify foregoing the need to trigger a contempt finding as a predicate to appeal.
See
Bennett
v.
City of Bos.
,
We are also confident that the other requisites are well satisfied. The novelty of the question, its substantial public importance, and its likeliness to recur -- coupled with the strong solicitude the common law has afforded the attorney-client privilege,
see
Upjohn Co.
v.
United States
,
III.
A.
While the federal rules of evidence generally do not apply to grand jury proceedings, an exception exists for privilege rules. Fed. R. Evid. 1101(d)(2). And, pursuant to Fed. R. Evid. 501, "[t]he common law -- as interpreted by the United States courts in the light of reason and experience -- governs a claim of privilege." The rationale for the attorney-client privilege "has long been recognized."
*30
Upjohn
,
Its purpose is to encourage full and frank communication between attorneys and their clients and thereby promote broader public interests in the observance of law and administration of justice. The privilege recognizes that sound legal advice or advocacy serves public ends and that such advice or advocacy depends upon the lawyer's being fully informed by the client. As we stated ... in Trammel v. United States [,445 U.S. 40 ,100 S.Ct. 906 ,63 L.Ed.2d 186 (1980) ], "The lawyer-client privilege rests on the need for the advocate and counselor to know all that relates to the client's reasons for seeking representation if the professional mission is to be carried out." And in Fisher v. United States [,425 U.S. 391 ,96 S.Ct. 1569 ,48 L.Ed.2d 39 (1976) ], we recognized the purpose of the privilege to be "to encourage clients to make full disclosure to their attorneys."
The application of the attorney-client privilege to communications between government officials implicates competing public interests. Confidentiality furthers the public interest by making it more likely that public employees will seek to know the law when contemplating certain actions. On the other hand, in the case of public employees, one might say that the ultimate client is the public and that the public interest in transparent government processes cuts against the robust maintenance of any privilege.
Four circuits have weighed in on the subject of grand jury subpoenas seeking confidential communications between government attorneys and government officials. Of those, three have found that the privilege does not apply to such communications,
see
In re A Witness Before the Special Grand Jury 2000-2
,
B.
Turning to our own analysis, we consider first the related arguments that a government lawyer should not be able to assert the privilege because the lawyer's ultimate duty is to the public, that the governmental entity need not fear prosecution, and that the privilege need be overborne by the public interest in transparent government.
See
In re A Witness Before the Special Grand Jury 2000-2
,
*31 state agency, however, cannot be held criminally liable by either the state itself or the federal government."). Were these arguments dispositive, it should follow that a government could not assert the attorney-client privilege in response to a civil subpoena or a discovery request on a matter of public importance. Yet federal common law is directly to the contrary. As the Supreme Court explained in United States v. Jicarilla Apache Nation :
The objectives of the attorney-client privilege apply to governmental clients. "The privilege aids government entities and employees in obtaining legal advice founded on a complete and accurate factual picture." Unless applicable law provides otherwise, the Government may invoke the attorney-client privilege in civil litigation to protect confidential communications between Government officials and Government attorneys.
We take from this precedent the conclusion that the public nature of the Department cannot itself deem the privilege inapplicable. Something more is needed. That something more, according to the United States, is the fact that the subpoena here comes from a criminal grand jury seeking evidence of a crime. But neither can that justification by itself be enough to sustain the United States' position. After all, subpoenas in criminal investigations are routinely served on private entities, yet those entities can successfully assert the attorney-client privilege.
See, e.g.
,
In re Grand Jury Subpoena
,
C.
So none of the United States' principal arguments for sustaining the broad "no privilege" rule that the district court adopted can carry the day on their own. The United States is therefore left to argue that its arguments can do the trick when combined;
i.e.
, if the proceeding is criminal and the witness is a government employee or entity, then the privilege does not apply. As for why the United States' arguments might accomplish together what none can do on its own, the United States does not say. Rather, it points to cases applying federal law to federal actors.
See
In re Bruce R. Lindsey (Grand Jury Testimony)
,
Moreover, the federal-state conflict that the availability of the attorney-client privilege implicates may cut in favor of respecting the state's view of the best balance between the public's interest in government transparency and the beneficial aspects of the privilege.
See
In re Grand Jury Investigation
,
On the other hand, the United States' argument gathers much more force when the federal grand jury is investigating potential crimes that state officials or employees may have committed themselves. The public interest in uncovering and stopping
*32
crime grows substantially when crime invades the very institutions that establish and preserve our balance of order and freedom. In the face of such an invasion, the government and its powers and fisc may become instruments for facilitating rather than deterring crime. And, in such circumstances, the benefit of federalism may well rest more in its checking function than in its deference to the state. For these reasons, it is perhaps not surprising that in all of the cases in which any of our fellow circuits have rejected otherwise valid assertions of the attorney-client privilege by government entities or persons, the search for information was aimed at suspected wrongdoing within the government.
See
In re A Witness Before the Special Grand Jury 2000-2
,
Here, though, the United States made no attempt to persuade the district court that the grand jury's subpoena is targeted at wrongdoing by government officials themselves. And, at oral argument, Rhode Island's Attorney General stated that as a matter of practice, the state would not assert the privilege if the investigation were targeted at state misconduct. So we have no reason to decide whether and on what type of showing a subpoena targeted at wrongdoing by state officials might overbear any privilege that might otherwise be asserted. Instead, on the record as it now stands, we need simply reject the categorical rule that a state government has no attorney-client privilege that can be invoked in response to a grand jury subpoena.
IV.
We cannot fault the district court for adopting what it viewed to be the majority position on a difficult issue of first impression in this circuit. Nonetheless, the petition for a writ of mandamus is granted . The writ shall issue in accordance with this opinion directing the district court to vacate its denial of the motion to quash.
Reference
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- In Re: Grand Jury Subpoena V.
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