Frey v. Department of Health & Human Services

106 F.R.D. 32, 50 Fair Empl. Prac. Cas. (BNA) 1381, 1985 U.S. Dist. LEXIS 20790
District Court, E.D. New York·Decided April 12, 1985·No. No. CV-83-4215·Published·Cited by 35 cases

Opinion

DISCOVERY ORDER

JOHN L. CADEN, United States Magistrate.

Defendant, Social Security Administration (“SSA”), requests this court to enter a protective order pursuant to F.R.Civ.P. 26(c) to prevent plaintiff’s counsel from contacting and conducting interviews with any potential witnesses who are SSA employees unless such action is taken through formal discovery procedures.

The underlying law suit is a sex discrimination claim brought by plaintiff, Vivian Frey, against the SSA pursuant to Title 42 U.S.C. § 2000e. Plaintiff is a GS-14 employee presently employed as the Assistant [34]*34Director of Management at SSA’s Northeastern Program Service Center (“NEPSC”) in Rego Park, New York and contends that she was denied a promotion to the GS-15 position of Director of Management in 1981 because of her sex. A male GS-14 employee was selected for this position instead of plaintiff.

The controversy which is the subject of this discovery dispute arose when plaintiff contacted Harlan Barbe, a GS-13 employee employed as Administrative Assistant to the Director of the Office of Program Service Center at the SSA’s Baltimore office. The contact took place during the course of an ordinary business discussion and the substance of it was that Mrs. Frey asked Mr. Barbe to speak with her attorney about her case. (Letter from William B. Peterson to Magistrate Caden dated March 19, 1985).

On February 4, 1985, defendant’s counsel, William B. Peterson, an Assistant United States Attorney, wrote a letter to plaintiff’s counsel, Katherine Levitan, requesting that plaintiff refrain from “any further such contacts” because the Code of Professional Responsibility DR 7-104(A) mandates that all contacts with SSA employees about this case should be confined to formal discovery procedures. Mrs. Levitan responded on February 8, 1985 by refusing to cease this activity and rejecting this interpretation of the disciplinary rule. Defendant’s counsel then moved for a protective order prohibiting the aforementioned activity.

The parties have each submitted their positions on the issue. Plaintiff, Mrs. Frey, has agreed not to have any ex parte communication with the high level managerial employees responsible for the employment decision at issue, but asserts that she has the right to informal ex parte contact with all other current and former SSA employees who could provide relevant evidence in this case. (Plaintiff’s Memorandum of Law at 1, undated, “Plaintiff’s Brief”). Defendant’s counsel argues that the SSA is represented by counsel and that all of its current employees are parties within the meaning of CPR DR 7-104(A)(l), so that plaintiff and her counsel should not be able to contact any SSA employees on an ex parte basis. In the alternative, defendant’s counsel argues that if contacts with SSA employees are allowed ex parte, those contacts should not extend to SSA employees at GS-12 and above employed in the Office of the Commissioner, and all Offices of Program Service Centers. (Defendant’s Letter Brief at 5, March 15, 1985 “Defendant’s Brief”). Defendant further requests that plaintiff and her counsel be ordered to inform all SSA employees whom they contact: The reason for the interview; the fact that the employee can speak to defendant’s counsel and have that counsel present at the interview; and that 5 U.S.C. § 552a, the Privacy Act of 1974 prohibits disclosure of SSA records. Id.

DISCUSSION

CPR DR 7-104(A) (“Rule”) provides as follows:

During the course of his representation of a client a lawyer shall not:

(1) Communicate or cause another to communicate on the subject of the representation with a party he knows to be represented by a lawyer in that matter unless he has the prior consent of the lawyer representing such other party or is authorized by law to do so. (Emphasis added).

The historical purposes of the Rule have been characterized as “preserving the proper functioning of the legal system and shielding the adverse party from improper approaches.” Wright By Wright v. Group Health Hosp., 103 Wash.2d 192, 691 P.2d 564, 467 (1984), citing ABA Comm, on Professional Ethics and Grievances, Formal Op. 108 (1934). While others have characterized the original intent of the Rule somewhat differently, in recent years, both courts and commentators have emphasized that the Rule is meant “to prevent situations in which a represented party may be taken advantage of by adverse counsel; the presence of the party’s attorney theoretically neutralizes the contact.” Wright, 691 P.2d at 567; see Kurlantzik, The Prohi[35]*35bition on Communication with an Adverse Party, 51 Conn.B.J. 136, 145-46 (1977). See also, Leubsdorf, Communication with Another Lawyer’s Client: The Lawyer’s Veto and the Client’s Interest, 127 U.Pa.L.Rev. 683 (1979) (“Leubsdorf”).

While the identity of who is a party is easily discernable in litigation between private parties, the scope of the Rule protecting approaches by adverse counsel is unclear when one party is a government agency.

A review of the case law shows a dearth of authority on this specific issue. However, in an analogous context, in Vega v. Bloomsburgh, 427 F.Supp. 593, 595 (D.Mass. 1977), where plaintiffs sued certain state officials who administered the state medicaid program, the court held that employees of the defendant state officials were not parties to the action within the meaning of DR 7-104. The court reasoned that no showing was made that the individual employees were represented by the Attorney General or that their interests were adverse to plaintiffs’ or consistent with defendants’. Id. at 595.

In N.Y.S. Ass’n. for Retarded Children v. Carey, 706 F.2d 956, 960 n. 5 (2d Cir. 1983), one of a series of cases involving mentally retarded persons and defendants, state officials, the Second Circuit approved Vega to the extent that it upheld a similar denial of an order seeking to prevent plaintiffs’ counsel from questioning employees of the Willowbrook State School for the Mentally Retarded, a state institution. The court acknowledged that in such cases the burdens and danger of informal interrogation of employees should be balanced against the degree to which the proposed questioning will aid in the search for truth. 706 F.2d at 961. Cf. Belcher v. Bassett Furniture Indus., Inc., 588 F.2d 904 (4th Cir.1978).

The most thorough discussion of the problem identifying the scope of DR 7-104 is found in Wright, supra where plaintiff in a malpractice action sought the right to interview ex parte current and former employees of defendant health maintenance organization, a private corporation. The court held that defendant’s current employees were parties for the purposes of the Rule if under applicable state law, they had managing authority sufficient to give them the right to speak for, and bind, the corporation. 691 P.2d at 569. This “managing-speaking” agency test was found to be consistent with (1) the American Bar Association’s most recent approach on the subject, see

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Frey v. Department of Health & Human Services, 106 F.R.D. 32, 50 Fair Empl. Prac. Cas. (BNA) 1381, 1985 U.S. Dist. LEXIS 20790 (E.D.N.Y. 1985).

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