Legal Document

524 U.S. 399118 S.Ct. 2081141 L.Ed.2d 379 SWIDLER & BERLIN and James Hamilton, Petitioners,v.UNITED STATES. No. 97-1192. Supreme Court of the United States Argued June 8, 1998. Decided 25, Syllabus * When various investigations 1993 dismissal White House Travel Office employees were beginning, Deputy Counsel Vincent W. Foster, Jr., met with petitioner an attorney at law firm, to seek legal representation. Hamilton took handwritten notes their meeting. Nine days later, Foster committed suicide. Subsequently, a federal grand jury, Independent Counsel's request, issued subpoenas for, inter alia, as part investigation into whether crimes during prior firings. Petitioners moved quash, arguing, among other things, that protected by attorney-client privilege. The District agreed denied enforcement subpoenas. In reversing, Appeals recognized most courts assume privilege survives death, but noted such references usually occur in context well-recognized testamentary exception allowing disclosure for disputes client's heirs. court declared risk posthumous revelation, when confined criminal context, would have little no chilling effect on client communication, costs protecting communications after death high. Concluding is not absolute circumstances, instead, balancing test should apply, held there whose relative importance particular litigation substantial. Held: Petitioner's are This Court's inquiry must be guided "the principles common . interpreted light reason experience.'' Fed. Rule Evid. 501. relevant case demonstrates it has been overwhelmingly, if universally, accepted, well over century, this. While arguments against privilege's survival frivolous, he simply satisfied his burden showing "reason experience'' require departure from common-law rule. His interpretation-that supports termination because practice cases refused apply posthumously; reflects policy judgment interest settling estates outweighs any confidentiality; that, analogy, determining crime trump confidentiality, particularly since estate's financial interests stake-does square law's implicit acceptance its treatment "exception'' or implied "waiver.'' And analogy's premise incorrect, consistently furthers intent, whereas suppose same true respect jury testimony about confidential communications. Knowing will remain even serves weighty encouraging communicate fully frankly counsel; may feared lifetime. suggestion rule chill only clients intent perjury, truthful those asserting Fifth Amendment, incorrectly equates self-incrimination here issue, which much broader purposes. Clients consult attorneys wide variety reasons, many involve confidences admissions crime, nonetheless matters wish divulged. proposed minimal impact cases, information substantial unavailing holding applies differently civil know discloses later matter, let alone importance. Balancing ex post interests, limited introduces uncertainty application therefore rejected. argument existence of, e.g., crime-fraud exceptions makes one more marginal fails empirical evidence support it, established exceptions, unlike exception, consistent Indications v. Nixon, 418 683, 710, 94 3090, 3108, 41 1039, Branzburg Hayes, 408 665, 92 2646, 33 626, privileges strictly construed inconsistent truth seeking inapposite here, dealt creation law, seeks narrow well-established Pp. ____-____. 124 F.3d 230, reversed. REHNQUIST, C. J., delivered opinion Court, STEVENS, KENNEDY, SOUTER, GINSBURG, BREYER, JJ., joined. O'CONNOR, filed dissenting opinion, SCALIA THOMAS, Washington, DC, petitioners. Brett M. Kavanaugh, respondent. Chief Justice REHNQUIST Court. 1 Petitioner, attorney, made initial interview shortly before death. Government, represented Counsel, now use investigation. We hold 2 dispute arises out conducted individuals false statements, obstructed justice, Office. was firings occurred. July, 1993, Swidler Berlin, representation concerning possible congressional During 2-hour meeting, three pages notes. One first entries word "Privileged.'' 3 December 1995, request petitioners Berlin Hamilton's meeting Foster. motion arguing work product examining camera, concluded they both doctrines 4 Columbia Circuit re Sealed Case, 230 (1997). recognizing holdings actually manifesting force rare. Instead, judicial Id., 231-232. It further commentators some measure curtailment 232. thought apply. 233-234. thus 235. acknowledging uncertain disfavored, Jaffee Redmond, 518 1, 17-18, 116 1923, 1932, 135 337 (1996), determined introduced insignificant existing F.3d, also 5 judge affirmed 237. He survived found persuasive depart this accepted rule, given full frank communication. 6 sought review privilege.1 granted certiorari, 523 ----, 118 1358, 140 509 (1998), we reverse. 7 oldest Upjohn Co. States, 449 383, 389, 101 677, 682, 66 584 (1981); Hunt Blackburn, 128 464, 470, 9 125, 127, 32 L.Ed. 488 (1888). intended encourage "full communication between thereby promote public observance administration justice.'' Upjohn, supra, 682. issue presented scope privilege; particularly, extent client. Our interpretation Fed.Rule 501; Funk 290 371, 54 212, 78 369 (1933). 8 argues prevent where died proceeding. There authority position. state appellate court, Cohen Jenkintown Cab Co., 238 Pa.Super. 456, 357 A.2d 689 (1976), below subject certain circumstances. Cohen, case, generally could make justice compelling preserving confidence insignificant. 462-464, A.2d, 692-693. But than these two decisions, addressing death-most involving exception-uniformly presume survives, do so hold. See, Mayberry Indiana, 670 N.E.2d 1262 (Ind.1996); Morris Cain, 39 La. Ann. 712, So. 797 (1887); People Modzelewski, 611 N.Y.S.2d 22, 203 A.D.2d 594 (1994). Several State decisions expressly extends beyond client, context. See John Doe Grand Jury Investigation, Mass. 480, 481-483, 562 69, 70 (1990); Doster, 276 S.C. 647, 650-651, 284 S.E.2d 218, 219 Macumber, 112 Ariz. 569, 571, 544 P.2d 1084, 1086 (1976). example, Massachusetts clear implication'' early pronouncements disclosed time. Mass., 483, N.E.2d, 70. "necessarily implied'' waiver disputes. Ibid. 10 Such survives. Osborn, 561 F.2d 1334, 1340 (C.A.9 1977); DeLoach Myers, 215 Ga. 255, 259-260, 109 777, 780-781 (1959); Doyle Reeves, Conn. 521, 152 A. 882 (1931); Russell Jackson, Hare. 387, 68 Eng. Rep. 558 (V.C.1851). They view privilege: " [T]he general privileged testator's lifetime and, also, unless heirs.'' F.2d, 1340. rationale intent. 1340, n. 11.2 11 Indeed, Glover Patten, 165 394, 406-408, 17 411, 416, 760 (1897), assumed continues individual's explained permissible privilege, normally protects impliedly waived order fulfill 407-408, S.Ct., 416 (quoting Blackburn Crawfords, Wall. 175, 18 186 (1865), supra). 12 great body caselaw supports, either considered dicta, position does survive present one. Given language 501, very least show 13 contends posthumously. confidentiality. then reasons analogy proceedings, estate stake. 14 caselaw's recognize see, Glover, supra. matter 15 Commentators Wigmore, Evidence §2323 (McNaughton rev. 1961); Frankel, Attorney-Client Privilege After Death Client, Geo.J.Legal Ethics 45, 78-79 (1992); J. Strong, McCormick §94, p. 348 (4th ed. 1992). Undoubtedly, emphasizes, criticized urging abrogated extreme injustice result, long seriously undermine deterring Mueller L. Kirkpatrick, Federal §199, 380-381 (2d 1994); Restatement (Third) Law Governing Lawyers §127, Comment d (Proposed Final Draft Mar. 29, 1996). critics clearly continuation contrary modification law. 379; Lawyers, c; 24 Wright K. Graham, Practice Procedure §5498, 483 (1986). 16 Despite scholarly criticism, think counsel favor application. encourages counsel. fear disclosure, consequent withholding counsel, reduced seems unreasonable vanishes altogether. concerned reputation, liability, harm friends family. Posthumous suggests, however, willingness confide attorney. intending perjure themselves chilled opposed Amendment latter group, purportedly reveal himself revealed alive. assumes, believe, analogous Amendment's protection self-incrimination. suggested above, involves liability. Many act counselors personal family matters, where, course obtaining desired advice, members problems assure sound advice. owners small businesses who regularly arising business. These come close sort admission wrongdoing, 19 contention being required disclose what odds basis related said loss admittedly caused justified fact without place. Jaffee, U.S., 12, 1929; Fisher 425 391, 403, 96 1569, 1577, 48 Without assurance application, disclosures all, apparent real. hand, quite plausible perhaps already contemplating suicide, advice had assured conversation privileged. 20 additionally suggests or, case.3 However, proposition commentator ventures suggestion, see 380-381. event, time For just reason, rejected defining contours 393, 684; 1932. 21 similar vein, marginal. demonstrate insignificant, point.4 purposes 416; Zolin, 491 554, 562-563, 2619, 2625-2626, 105 469 (1989), while appears goals interests. A "no exception'' contribute erosion reference 22 Finally, relying 1039 (1974), 626 (1972), urges paramount goal seeking. Nixon deal asked, "construe'' weight caselaw. 23 generally, means based large speculation-thoughtful speculation, speculation nonetheless-as diminish area useful, scant inconclusive. 501's direction look mandate once established, endure all 381, 215, sufficient overturn embodied prevailing Interpreted experience, requires case. 25 Reversed. 26 whom THOMAS join, dissenting. 27 Although ordinarily I agree inevitably precludes deceased proceedings. my view, defendant's right exculpatory need may, available sources, override 28 [t]he fundamental upon rules rest-if rest reason-is adaptation successful development truth.'' heavy place search truth, 708-710, 3107-3109, [e]videntiary favored, rooted Constitution give way proper circumstances,'' Herbert Lando, 441 153, 99 1635, 1648, 60 115 (1979). Consequently, construe narrowly. 19, 1932-1933, (1996) (SCALIA, dissenting); University Pennsylvania EEOC, 493 182, 189, 110 577, 582, 107 571 (1990). reluctant read expansively serve "public good transcending predominant principle utilizing rational ascertaining Trammel 445 40, 50, 100 906, 912, 63 (1980) (internal quotation marks omitted). 29 promotes trust representational relationship, facilitating provision services ultimately justice. (1981). systemic benefits commonly understood outweigh excluding critical evidence. operate, "necessary achieve purpose,'' invocation go unexamined "when shown can frustrated [its] exercise,'' 689, 693-694 30 retain personal, reputational, economic ante, __. But, potential greatly diminished, criminally liable abated Thus, suggest terminating "could degree lessen encouragement free purpose.'' 350 1992); diminished coupled heightened urgency discovery "protect[] underlying facts communicated attorney,'' 395, 685, living, prosecutors grant immunity compel testimony. testifying stead, complete "loss crucial information'' often 484 31 As observed, inordinately 233-234 (C.A.D.C.1997). Extreme occur, defendant confession offense. (1976); cf. Matter 486, 72 (1990) (Nolan, dissenting). value our system places innocent confidences. Schlup Delo, 513 298, 324-325, 851, 865, 130 808 (1995); Winship, 397 358, 90 1068, 1076, 368 (1970) (Harlan, concurring). acknowledges appropriate constitutional rights An likewise warranted face information. [O]ur historic commitment nowhere profoundly manifest twofold aim guilt shall escape innocence suffer.'' 709, 3108 omitted); Herrera Collins, 506 390, 398, 113 853, 859, 122 (1993). exclusion trial distort record, mislead factfinder, central truth-seeking function courts, believe bar asserted contain necessary factual otherwise available, permitted assess fairness accuracy justifications number qualify protections, "who tells expected absolutely forever oversimplifying bit.'' situation frequently arises-a heirs decedent's will-the widely estate. (1897). moreover, invoked decedent chosen waive "a might want provide illegitimate child prefer relationship undisclosed.'' 234. Among rationales broad construction assertion [m]any divulged.'' Ante, That reasoning, equal force. Nor privilege-for claims relating competence compensation-necessarily "encouraging communication'' "protecting interests,'' Rather, reflect understanding ""ceases operate''' safeguard functioning adversary system.'' (1989). remains monolithic precedent. merely "presume survives,'' __, relies "implicit acceptance'' continuous Opinions squarely "are relatively rare.'' typically engage detailed rather conclude construing imply ("Those eternal duration seldom justifying terms policy''). 34 Moreover, concedes, revealed, circumstances outside California's Code, provides until finally distributed, noting "there preserve secrecy expense wound up representative discharged.'' Cal. Code §954, comment, 232, §952 (West 1995). admitted attorney's "balanc[ing] necessity revealing substance [attorney-client conversation] unlikelihood cognizable injury rights, memory [the client].'' 693. American Institute, recently recommended "bears litigated pivotal significance'' "balance confidentiality exceptional communication.'' 431, d; Evidence, 380 1994) (" [I]f confessed acts charged another, surely latter's sometimes confidences''). 35 Where exoneration stake, precluding unavailable disincentive forthright cost silence warrants although disagree Appeals' notion affects applicability doctrine, doctrine material concerns longer party adversarial litigation. 36 Accordingly, affirm Appeals. examined documents opportunity balance competing considerations decide trumped decision remand determination portion disclosed. 37 With respect, dissent. syllabus constitutes prepared Reporter Decisions convenience reader. Detroit Timber Lumber 200 321, 337, 282, 287, 50 499. Because sustain claim reach About half codified providing devisees through (as parties claiming estate, waived). Ala.Rule 502 (1996); Ark.Code §16-41-101, (Supp.1997); Neb.Rev.Stat. §27-503, 503 (1995). statutes address disputes, allow assert behalf apparently temporal limit. 502(c) (Supp.1997). refute presumption statute allows holder (the representative) exists, suggesting terminates up. Cal.Code Evid.Ann. §§954, 957 followed lead regard. opposing wholesale abrogation concedes implicating warrant breaching not, here. Empirical limited. Three studies firm conclusions limiting discourage Alexander, Corporate Attorney Client Privilege: Study Participants, St. John's L.Rev. 191 (1989); Zacharias, Rethinking Confidentiality, 74 Iowa 352 Comment, Functional Overlap Between Lawyer Other Professionals: Its Implications Privileged Communications Doctrine, 71 Yale L.J. 1226 (1962). articles note uninformed mistaken candor. Two enhances open 244-246, 261, absence detrimental 1236. third article instead perceived important 382, 386. Similarly, few discuss assumption survives-if testify discussing exist.

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