Patriarca v. Center for Living & Working, Inc.

778 N.E.2d 877, 438 Mass. 132, 19 I.E.R. Cas. (BNA) 453, 2002 Mass. LEXIS 848
CourtMassachusetts Supreme Judicial Court
DecidedNovember 14, 2002
StatusPublished
Cited by2 cases

This text of 778 N.E.2d 877 (Patriarca v. Center for Living & Working, Inc.) is published on Counsel Stack Legal Research, covering Massachusetts Supreme Judicial Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Patriarca v. Center for Living & Working, Inc., 778 N.E.2d 877, 438 Mass. 132, 19 I.E.R. Cas. (BNA) 453, 2002 Mass. LEXIS 848 (Mass. 2002).

Opinion

Spina, J.

A judge in the Superior Court issued a protective order on the basis of Mass. R. Prof. C. 4.2, 426 Mass. 1402 (1998),3 barring counsel for the plaintiff, Ellen L. Patriarca, from any ex parte contact with former or future employees of the defendant, the Center for Living & Working, Inc. (center), on matters concerning their former employment or the pending litigation unless that contact were made with leave of court or of opposing counsel. A single justice of the Appeals Court granted Patriarca’s petition for interlocutory review and authorized an appeal to a panel of the Appeals Court. We granted the plaintiff’s application for direct appellate review. Because the former employees in question are neither actually represented by the center nor the type of employee covered by rule 4.2, as construed in Messing, Rudavsky & Weliky, P.C. v. President & Fellows of Harvard College, 436 Mass. 347 (2002) [134]*134{Messing), the protective order must be vacated. We do not reach the broader question of the applicability of rule 4.2 to former employees because, based on the record as presently developed, the former employees in question would not be covered by the rule even if they were still employed by the center. See note 8, infra.

Background. Patriarca filed suit against the center, its board of directors, and Robert Bailey, executive director of the center, alleging wrongful termination from her employment as a registered nurse supervising the center’s personal care attendant program. In the course of discovery, Patriarca stated in her answer to an interrogatory that she had contacted four former employees of the center and had “discussed events which had occurred while we were both employed at [the center].” The defendants filed a motion for a protective order seeking to bar Patriarca and her counsel from having ex parte contact with the center’s former employees on matters concerning their employment and the pending litigation. A judge in the Superior Court, who did not have the benefit of our decision in the Messing case, concluded that rule 4.2 may prohibit ex parte contact with former employees. He found that, in this case, the statements of former employees could be potentially admissible against the center, or that the former employees’ acts or omissions could be imputed to the center. He issued an order barring Patriarca’s counsel from “contacting any former employees of the defendant corporation on matters concerning their former employment and this litigation unless defense counsel is present or permission is granted from this [cjourt or from opposing counsel.”4

The defendants argue that rule 4.2 prevents ex parte contact [135]*135with any former employee without first obtaining a ruling from the court in question or permission from the former employer’s counsel. They claim that this degree of oversight is necessary because former employees may be able to divulge confidential or privileged information, and that a judge should be the gatekeeper by deciding in the first instance that the ban should be enforced to the extent to which a former employee’s statements, made during the employment relationship and within the scope of employment, might be admissible in evidence in an action against the employer.

Patriarca argues that a blanket no-contact rule would provide institutional defendants with the power to control any information in the possession of anyone who ever worked at that institution. See Messing, supra at 358 (“Prohibiting contact with all employees of a represented organization restricts informal contacts far more than is necessary to [protect attorney-client privilege, or prevent clients from making ill advised statements without the counsel of their attorney]”); Niesig v. Team I, 76 N.Y.2d 363 (1990) (blanket ban rejected because it would exact high price and be unnecessary to achieve objectives of rule). She suggests that it is the rare case where a former employee would be in a position to make a statement that could bind the former employer and urges the court to place the burden of showing that a former employee might be in a position to make such admissions on the former employer. In the interest of promoting the search for the truth and furthering informal, efficient, and inexpensive information gathering at the discovery stage of a proceeding, she asks the court to allow broad access to former employees by opposing counsel, “subject to appropriate conditions.”

Discussion. A threshold question is whether a particular employee is actually represented by corporate counsel.5 An organization may not assert a preemptive and exclusive [136]*136representation by the organization’s lawyer of all current (or former) employees as a means to invoke rule 4.2 and insulate them all from ex parte communication with the lawyers of potential adversary parties.6 See Messing, supra at 356-357. The American Bar Association Committee on Ethics and Professional Responsibility has stated that Model Rule 4.2, on which our rule 4.2 is based, “does not contemplate that a lawyer representing the entity can invoke the rule’s prohibition to cover all employees of the entity, by asserting a blanket representation of all of them.” ABA Formal Op. 95-396, § VI (1995). See Carter-Herman v. Philadelphia, 897 F. Supp. 899, 903 (E.D. Pa. 1995) (rejecting “the notion that every city employee is automatically a represented party simply by virtue of his or her employment without any initiative on the part of the employee to obtain legal help from the City”); Brown v. St. Joseph County, 148 F.R.D. 246, 250 (N.D. Ind. 1993) (“no attorney has the right to appear as counsel for another without the latter’s consent . . . and it follows that an attorney cannot properly hold himself out as representing a person who has not agreed to the representation” [citation omitted]). Thus, the center may not invoke rule 4.2 to claim that all current and former employees are represented, and therefore the protective order is overbroad. Any analysis must be employee specific. The center has made no factual showing that the former employees in question are actually represented by the center’s (or their own personal) counsel.

We turn to the rule in the Messing case to determine whether the employees in question may be considered represented for purposes of rule 4.2. The purpose of rule 4.2 is to “protect the attorney-client relationship and prevent clients from making ill-[137]*137advised statements without the counsel of their attorney.” Messing, supra at 358. However, we recognized that prohibiting ex parte contact with all employees of a represented organization went beyond the purpose of the rale, which was not to “protect a corporate party from the revelation of prejudicial facts.” Id., quoting Dent v. Kaufman, 185 W.Va. 171, 175 (1991). We sought a balance between the need to discover relevant facts and the competing need to protect the attorney-client relationship. Id. at 358-359. We construed rule 4.2 (and comment [4] thereto) to prohibit an attorney from having ex parte contact only with certain employees of an organization, namely, those “who exercise managerial responsibility in the matter, who are alleged to have committed the wrongful acts at issue in the litigation, or who have authority on behalf of the corporation to make decisions about the course of the litigation.”

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Bluebook (online)
778 N.E.2d 877, 438 Mass. 132, 19 I.E.R. Cas. (BNA) 453, 2002 Mass. LEXIS 848, Counsel Stack Legal Research, https://law.counselstack.com/opinion/patriarca-v-center-for-living-working-inc-mass-2002.