Stanford v. President of Harvard College

12 Mass. L. Rptr. 360
CourtMassachusetts Superior Court
DecidedNovember 1, 2000
DocketNo. CA994042
StatusPublished

This text of 12 Mass. L. Rptr. 360 (Stanford v. President of Harvard College) is published on Counsel Stack Legal Research, covering Massachusetts Superior Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Stanford v. President of Harvard College, 12 Mass. L. Rptr. 360 (Mass. Ct. App. 2000).

Opinion

Cratsley, J.

This case arises out of the former employment relationship between the plaintiff, Kathleen Stanford (“Stanford”), and defendants, Harvard University and Francis D. Riley, Chief and Commanding Officer of the Harvard University Police Department (collectively “Harvard”). Stanford, a former sergeant with the Harvard University Police Department (“HUPD”), alleges that she was denied a promotion to positions for which she was qualified because of her gender. On three occasions, Stanford’s attorneys from the law firm of Messing and Rudavsky, P.C. (“M&R”) contacted five of HUPD’s then current employees and obtained sworn affidavits from them.

Before this court is Harvard’s request for remedial sanctions against M&R for knowingly eliciting information from Harvard employees without consent of Harvard or authorization of the court in violation of Mass.R.Prof.Conduct 4.2 and its predecessor DR 7-104(A). M&R maintains that they did not violate any rules and that their contacts with HUPD employees were at all times proper. For the reasons set forth below, after several non-evidentiary hearings, Harvard’s motion is ALLOWED in part.

BACKGROUND

In January of 1992 Stanford filed a complaint with the Massachusetts Commission Against Discrimination (“MCAD”) under G.L.c. 15 IB, alleging that HUPD had discriminated on the basis of gender by denying her promotional opportunities and compensation afforded to similarly situated male police officers. In its defense, Harvard filed a position statement detailing its defenses. To rebut Harvard’s position statement, Stanford submitted affidavits of five HUPD employees, two were- HUPD’s lieutenants and three were Stanford’s fellow officers.

In November and December of 1997, and again in January of 1998, M&R communicated and obtained these affidavits from the five HUPD employees. Prior to speaking with these employees, M&R neither sought consent from Harvard’s counsel nor notified Harvard that it intended to take the HUPD employee's sworn statements. M&H also failed to seek permission from either a court or the MCAD prior to speaking with the HUPD employees.

Two of the five affiants, John Rooney (“Rooney”) and Edward Sheridan (“Sheridan”), were lieutenants when M&R questioned them. Rooney had held the rank of lieutenant since 1990 and Sheridan since 1991. Both Rooney and Sheridan had significant managerial duties as a function of their rank. Each lieutenant in the HUPD was responsible for managing a division of officers, which included supervision and evaluation of sergeants under their command. Rooney and Sheridan both supervised Stanford by directing and evaluating her work performance.

HUPD has a hierarchical management structure with the Chief at the highest rank. Until the fall of 1996 when two captains were added to the managerial ranks, both lieutenants reported directly to the Chief. At the time M&R communicated with HUPD employees, lieutenants reported to captains who, in turn, reported to the Chief. The other three affiants were Officers Donahue and Morrison, and dispatcher Bonney Louison.

DISCUSSION

Harvard’s motion for sanctions is based on Disciplinary Rule 7-104(A)2 and Rule 4.2 of the Massachusetts Rules of Professional Conduct.3 Rule 4.2 is for all intents and purposes the same as DR 7-104(A)(l). Comment [4] to Rule 4.2, however had no counterpart in DR 7-104(A).4 Defendants claim that these ethical rules prohibited M&R from contacting any current HUPD employees to discuss any subject within the scope of their employment.5 The thrust of Harvard’s argument is that any present [361]*361employee of HUPD who can bind Harvard under Fed.R.Evid. 801 (d)(2)(D), or under the common law, is a “party” for purposes ofDR 7-104(A)( 1) and Rule 4.2. Rule 801(d)(2)(D) of the Federal Rules of Evidence provides as follows:

A statement is not hearsay if-

(2) The statement is offered against a party and is
(D) a statement by his agent or servant concerning a matter within the scope of his agency or employment, made during the existence of the relationship.

Because statements by its current employees may constitute binding admissions upon Harvard pursuant to these rules, as well as under the common law rule of master and servant, Harvard argues that M&R was forbidden from having ex parte communications with HUPD employees without its consent.6 M&R asserts that Massachusetts had not adopted a per se requirement that opposing counsel seek permission from the court prior to conducting ex parte interviews of corporate defendants, but rather employed a balancing test to determine whether to authorize this form of ex parte contact with an organization’s employees.

Historically, courts have justified DR 7-104(A)(1) and Rule 4.2 by “the need to preserve the mediating role of counsel on behalf of their clients and to protect clients from overreaching by counsel for adverse interest.” See Pratt v. National R.R. Passenger Corp., 54 F.Sup. 2d 78, 79 (D.Mass. 1999). Indeed, Massachusetts courts have interpreted the reach of DR 7-104(A) and Rule 4.2 broadly. See Kaveney v. Murphy, 97 F.Sup. 2d 88, 92 (D. Mass. 2000); Rockland Trust Co. v. Computer Assoc. Int'l., Inc., 1999 WL 95722 (D.Mass.). DR 7-104(A) was “measured not by reference to the attorney-client privilege at all, but rather by the scope of the evidentiary rule admitting the statements of an employee in an action against the corporate employer.” Pratt, 54 F.Sup.2d at 79. Under the Massachusetts common law evidentiary rules, courts admit any “statement by the party’s agent or servant concerning a matter within the scope of the agency or employment, made during the existence of the relationship,” against a party opponent. Fed.R.Evid. 801(d)(2)(D); Ruszcyk v. Secretary of Public Safety, 401 Mass. 418, 421-22 (1988); see also Liacos, Handbook of Massachusetts Evidence, Sec. 8.8.6a (1994). In interpreting the scope of DR 7-104 and Rule 4.2, many courts have incorporated the relevant evidentiary rules to define its reach. See Hurley v. Modern Continental Constr. Co., 1999 WL 95723 at * 2 (D.Mass. 1999) (“The breadth of the [relevant evidentiary rules] together with the use of the word ‘may’ in Comment [4] makes it highly likely that any questioning of an opposing corporate party’s current employees on an issue likely to be raised in the lawsuit would be prohibited”); Siguel v. Trustees of Tufts College, 1990 WL 29199 (D.Mass. 1990) (analyzing reach of DR 7-104); Morrison v. Brandeis Univ., 124 F.R.D. 14, 18 (D.Mass. 1989); and Mompoint v. Lotus Dev. Corp., 110 F.R.D. 414, 415-18 (1986). Massachusetts, therefore, follows a rule strikingly protective of corporations regarding employee interviews. This is because Massachusetts common law is strikingly liberal on the admissibility of such interviews if properly held with an employee and if matters relevant to the litigation are discussed.

The parties do not contest that M&R engaged in ex parte contact without seeking prior legal authorization from the court.

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Related

Ruszcyk v. Secretary of Public Safety
517 N.E.2d 152 (Massachusetts Supreme Judicial Court, 1988)
Mompoint v. Lotus Development Corp.
110 F.R.D. 414 (D. Massachusetts, 1986)

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Bluebook (online)
12 Mass. L. Rptr. 360, Counsel Stack Legal Research, https://law.counselstack.com/opinion/stanford-v-president-of-harvard-college-masssuperct-2000.