Federal Testimonial Privileges
by Mud A. Larkin
Jack Maddox Professor of Law, Texas Tech University
Clark Boardman Company, Ltd.
New York, New York 1988
(Release # 6, 8/88)
Table of Contents
Chapter 1.
Evidential Privileges Under Federal "Common Law"
§ 1.01.
§ 1.02.
1-1
Introduction
Background of Present Law
1-4.1
Chapter 2.
The Attorney-Client Privilege
§ 2.01.
§ 2.02.
§ 2.03.
§ 2.04.
§ 2.05.
§ 2.06.
§ 2.07.
§ 2.08.
§ 2.09.
2-1
Introduction
The Attorney-Client Relationship
2-7
2-8
[1] The Purposes of the Consultation
[2] Other Circumstances Affecting the
Relationship
2-19
The Communication of Information
2-27
The Requirement of Confidentiality
2-48
Claiming the Privilege
2-60
[1] Who May Claim
2-60
[2] The Claim of Privilege
2-70
Waiver of the Privilege
2-77
Exceptions to the Privilege
2-95
[1] The Crime or Fraud Exception
2-95
[2] The Client's Charge Against the Attorney
Exception
2-106
[3] The Common Representation
Exception
2-106.2
[4] The Fiduciary-Beneficiary Exception
2-106.3
2-109
Miscellaneous Aspects of the Privilege
The Supreme Court Rule
2-113
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Table of Contents
Table of Contents
Chapter 3.
The Physician-Patient Privilege
§
§
§
§
3.01.
3.02.
3.03.
3.04.
The Common Law
3-1
The Constitutional Right to Privacy
Federal Statutory Law
3-7
The Supreme Court Rule
3-8
§ 5.03.
3-4
§ 5.04.
Chapter 4.
Husband-Wife Privileges
§ 4.01.
§ 4.02.
§ 4.03.
§ 4.04.
Introduction
4-1
The Privilege That Covers Anti-Spousal
4-1
Testimony
4-1
[1] General
[2] The Husband-Wife Relationship
4-4
[3] The Scope of the Privilege
4-8.1
[4] Who May Claim the Privilege
4-12
[5] Exception to the Privilege
4-14
[6] Waiver of the Privilege
4-17
4-18
[7] Other Aspects of the Privilege
[8] The Supreme Court Rule
4-18
The Privilege That Covers Confidential
4-19
Communications Between Spouses
4-19
[1] General
[2] The Husband-Wife Relationship
4-20
[3] The Scope of the Privilege
4-23
[4] The Requirement of Confidentiality
4-26
[5] Who May Claim the Privilege
4-28
[6] Waiver of the Privilege 4-29
[7] Other Aspects of the Privilege
4-30
[8] The Supreme Court Approach
4-31
Testimony as to Nonaccess
4-32
Chapter 5.
Executive Privileges
§ 5.01.
§ 5.02.
iv
Introduction
5-1
Purposes and Scope of Executive Privileges
[1] State Secrets
5-9
[2] Inter- and Intraagency Deliberative
Communications
5-14
5-9
§ 5.05.
§ 5.06.
§ 5.07.
[3] Investigatory Files and Reports
5-33
5-53
Conclusiveness of Executive Privileges
[1] State Secrets
5-53
[2] Other Executive Privileges
5-55
Procedural Requirements
5-62
[1] Who May Claim the Privileges and How They
May Be Claimed
5-62
[2] Procedural Burdens
5-70
[3] Authority of the Court
5-84.2
Waiver of the Privileges
5-84.4
The Supreme Court Rule
5-86
Mental Processes of Government Officials
Privilege
5-87
[1] General
5-87
[2] Scope of the Privilege
5-88
Chapter 6.
Presidential and Congressional Privileges
§ 6.01.
§ 6.02.
The
[1]
[2]
[3]
The
Presidential Privilege
6-1
General
6-1
The Nature of the Privilege
6-2
Procedures
6-5
Congressional Privilege
6-7
Chapter 7.
The Informer's Privilege
§ 7.01.
§ 7.02.
§
§
§
§
§
§
7.03.
7.04.
7.05.
7.06.
7.07.
7.08.
Introduction
7-1
The Impact of the Freedom of Information
Act
7-4
Who May Claim the Privilege
7-5
Scope of the Privilege
7-7
Limitations on the Privilege
7-15
Procedures
7-28
Other Aspects of the Privilege
7-34.1
The Supreme Court Rule
7-36
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§ 8.01.
§ 8.02.
§ 8.03.
The Privilege Protecting Confidential Information and
8-1
Sources
[1] General
8-1
[2] Scope of the Privilege
8-5
[3] Who May Claim the Privilege
8-8.1
[4] Limitations on the Privilege
8-9
[5] Procedures
8-16.1
[6] Other Aspects of the Privilege
8-16.2
The Privilege Protecting the Editorial Process
8-17
The Supreme Court Approach
8-19
§ 10.03.
Chapter 9.
Trade Secret and Confidential Commercial or
Financial Information Privilege
§ 9.01.
§ 9.02.
§ 9.03 .
Introduction
9-1
The Scope of the Privilege
The Supreme Court Rule
Lender-Borrower Privilege
10-13
Settlement Negotiations Privilege
10-13
Social Worker-Client Privilege
10-13
Archival Privilege
10-14
State Legislative Speech or Debate
Privilege
10-14
[19] Citizen-Prison Ombudsman Confidential
10-14
Communication Privilege
[20] Personnel Files Privilege
10-14
Privileges or Privilege-Type Situations with Substantial
10-15
Authority for Recognition
10-15
[1] Political Vote Privilege
[2] Intrainstitutional Confidential Communication
Privilege
10-16
[3] Limited-Access Documents and Records
10-18.3
Quasi-Privilege
[4] Clergyman-Communicant Privilege
10-19
[a] The Common Law
10-19
[b] The Supreme Court Rule
10-23
[5] Judicial Confidential Communications
Privilege
10-23
Special Situations
10-24.1
[14]
[15]
[16]
[17]
[18]
Chapter 8.
The Reporter's Privilege
9-5
9-15
Chapter 10.
Other Recognized and Nonrecognized Privileges
§ 10.04.
§ 10.01.
§ 10.02.
Chapter 11.
The Work Product Doctrine
vi
Introduction
10-1
Privileges Not Generally Recognized
10-1
[1] Accountant-Client Privilege
10-1
[2] Banker-Customer Privilege
10-3
[a] National Bank Examiners Reports
10-4
Privilege
[3] Broker-Client Privilege
10-4
10-4
[4] Partner-Partner Privilege
[5] Insurer-Insured Privilege
10-4
[6] Employer-Employee Privilege
10-5
[7] Parole Officer-Parolee Privilege
10-5
[8] Familial Privileges
10-5
[9] Academic Freedom Privilege
10-8
[10] Patent Agent-Client Privilege
10-9
[11] Prosecutorial Discretion Privilege
10-9
[12] Surveillance Location Privilege
10-10
[13] Freedom of Association Privilege
10-11
11-1 .
§ 11.01. Introduction
§ 11.02. Scope of the Doctrine
11-6
§ 11.03. Who May Claim the Benefits of the
11-34
Doctrine
§ 11.04. Limitations on the Protection Afforded by the
11-38.1
Doctrine
§ 11.05. Waiver of Protections Afforded by the
11-57
Doctrine
§ 11.06. The Crime or Fraud Exception to Applicability of the
11-65
Doctrine
11-71
§ 11.07. Miscellaneous Aspects of the Doctrine
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Table of Contents
Appendix A.
Rules Concerning Testimonial Privileges Prescribed
by the Supreme Court But Not Enacted into Law by
the Congress, with Advisory Committee Notes
App. A-I
Table of Cases
General Index
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TC-I
Ind.-l