Niesig v. Team I

149 A.D.2d 94, 545 N.Y.S.2d 153, 1989 N.Y. App. Div. LEXIS 10705
CourtAppellate Division of the Supreme Court of the State of New York
DecidedAugust 7, 1989
StatusPublished
Cited by14 cases

This text of 149 A.D.2d 94 (Niesig v. Team I) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Niesig v. Team I, 149 A.D.2d 94, 545 N.Y.S.2d 153, 1989 N.Y. App. Div. LEXIS 10705 (N.Y. Ct. App. 1989).

Opinion

OPINION OF THE COURT

Bracken, J. P.

Subject to certain exceptions not relevant to this case, DR 7-104 (A) (1) of the Code of Professional Responsibility prohibits a lawyer from communicating with an adverse party whom he knows to be represented by an attorney in connection with the subject matter of that representation. The principal question presented on this appeal is whether the plaintiffs attorney may, consistent with the prohibition contained in DR 7-104 (A) (1), communicate on an ex parte basis with certain individuals who, as employees of the corporate third-party defendant, are presumptively within the scope of the representation afforded by the attorneys who appeared on behalf of that corporation. We agree with those authorities which have expressed the view that such communications should not be permitted (see, e.g., Hewlett-Packard Co. v [96]*96Superior Ct. [Jensen], 252 Cal Rptr 14; Miller and Calfo, Ex parte Contact with Employees and Former Employees of a Corporate Adversary: Is It Ethical?, 42 Bus Law 1053 [1987]), and we reject, for both theoretical and practical reasons, the position adopted by other authorities, which is that under certain ill-defined circumstances, depending on the particular employee-witness’s status with the corporation, such communications may be allowed (see, e.g., Wright v Group Health Hosp., 103 Wash 2d 192, 691 P2d 564; Chancellor v Boeing Co., 678 F Supp 250 [D Kan]; Comment, 82 Nw U L Rev 1274 [1988]).

This appeal also presents the question of whether the plaintiff, in an action based in part on strict liability pursuant to the Labor Law, may seek pretrial disclosure from the defendants both by conducting depositions and by serving interrogatories. We hold that there is no statutory or other prohibition against conducting pretrial discovery in such a manner.

I

The plaintiff claims that on December 17, 1986, he was injured when he fell from scaffolding adjacent to a building under construction in Plainview, New York. In his complaint, he alleges that the accident occurred on property owned by the defendant Team I, a partnership consisting of the five individual codefendants. He also alleges that defendant J.M. Frederick Construction of New York, Inc. (hereinafter J.M. Frederick), was the general contractor on the site. The plaintiff, in seeking a money judgment against these defendants, advances two separate causes of action, one premised on common-law negligence, and one premised on strict liability pursuant to Labor Law § 240.

A third-party action was later brought against the third-party defendant, DeTrae Enterprises, Inc. (hereinafter De-Trae); however, the pleadings served in connection with this third-party action have been omitted from the record. The plaintiff claims that he was employed by DeTrae at the time of the accident.

On July 31, 1987, during the course of pretrial discovery, the plaintiff’s attorney served a set of interrogatories upon the attorneys who at that time represented the defendant J.M. Frederick. A response to at least some of these interrogatories was later served upon the plaintiff’s attorney at a preliminary [97]*97conference held on November 5, 1987. A separate set of interrogatories was also served by the plaintiff on the attorneys for the third-party defendant DeTrae. These interrogatories, however, have never been answered.

A deposition of a witness for J.M. Frederick was scheduled for February 18, 1988. In connection with this deposition, J.M. Frederick’s attorney was of the opinion that, since his client had already responded to the plaintiff’s written questions, it was relieved of any obligation to produce a witness to respond to the plaintiff’s oral questions as well. Thus, at the deposition held on February 18, 1988, the witness produced by J.M. Frederick was instructed to refuse to answer any questions put to him by the plaintiff’s attorney. Although this witness was deposed by counsel for DeTrae, this questioning was not satisfactory to the attorney for the plaintiff.

At the conclusion of the deposition on February 18, 1988, the attorney for the third-party defendant DeTrae advised the attorney for the plaintiff that DeTrae did not consider it necessary to respond to the interrogatories which had been served on it several months earlier. His position was that a party whose deposition upon oral questions has been demanded need not respond to written questions as well.

DeTrae’s attorney has thus taken a position similar to that of J.M. Frederick’s; that is, that a party to a personal injury action based on, among other things, a claimed violation of the Labor Law, need not, during pretrial discovery, submit to both oral and written questions. Since J.M. Frederick has already answered the plaintiff’s interrogatories, it now refuses to allow its witness to be orally deposed by plaintiff’s attorney; conversely, since DeTrae has made a witness available for an oral deposition, it now refuses to answer the plaintiff’s interrogatories.

The dispute between the parties concerning the scope of pretrial discovery could not be resolved at a second conference held on April 18, 1988, and the Supreme Court, Nassau County, suggested that the plaintiff make a formal written motion for the relief sought. The plaintiff did so, and by notice of motion dated May 18, 1988, sought, inter alia: (1) to compel the defendant J.M. Frederick to produce its witness to be deposed by the attorney for the plaintiff, and (2) to compel the third-party defendant DeTrae to respond to the interrogatories served by the plaintiff.

In this motion, the plaintiff also sought to compel DeTrae to [98]*98respond_to_ a demand for the names and addresses of all "employees present at 8:00 a.m. on December 17, 1986 at the DuPont Road, Plainview, construction site”. The plaintiff also sought authorization for its "counsel [to] contact the individuals [to be identified by DeTrae as potential witnesses to the occurrence] on an ex parte basis”. In support of this branch of the motion the plaintiff’s attorney averred that a former employee of DeTrae had testified at a deposition that several DeTrae employees had been present at the site on the day of the accident. The plaintiff’s attorney argued that since these employees could not be called "managerial” or "controlling”, the plaintiff’s attorneys should be permitted to have "ex parte” contact with them.

J.M. Frederick opposed the plaintiff’s motion, and its attorney argued, among other things, that pursuant to CPLR 3130, his client could not properly be required to submit to a deposition by the plaintiff, since it had already served responses to the plaintiff’s interrogatories. The third-party defendant DeTrae also opposed the plaintiff’s motion, and cross-moved for a protective order. In support of the cross motion, the attorney for DeTrae argued that the plaintiff’s attorney had already conducted depositions of two of DeTrae’s employees, as well as a deposition of a nonparty former employee of DeTrae. Under these circumstances, DeTrae’s attorney argued, DeTrae should not be required to respond to the plaintiff’s interrogatories. DeTrae’s attorneys also opposed so much of the plaintiff’s motion as sought permission to conduct ex parte interviews with DeTrae’s employees.

In its order disposing of this motion and cross motion, the Supreme Court, among other things, (1) denied that branch of the plaintiff’s motion which was to compel J.M.

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Cite This Page — Counsel Stack

Bluebook (online)
149 A.D.2d 94, 545 N.Y.S.2d 153, 1989 N.Y. App. Div. LEXIS 10705, Counsel Stack Legal Research, https://law.counselstack.com/opinion/niesig-v-team-i-nyappdiv-1989.