1. “Have Ethics, Will Travel – Ethical Road Hazards for the
Traveling and Teleconferencing Lawyer”
April 4, 2009
Presented by: R. Lawrence Ashe, Jr.
Ashe, Rafuse & Hill, LLP
1355 Peachtree Street, N.E., #500
Atlanta, Georgia 30309-3232
(404)253-6001
“SELECTED ETHICS AND PROFFESIONALISM ISSUES IN
LABOR AND EMPLOYMENT CASES”
Author: Dennis P. Duffy
Baker Botts, LLP
910 Louisiana Street
Houston, Texas 77002
(713) 229-1799
___________________________________
American Bar Association
Section of Labor & Employment Law EEO Committee
2009 Mid-Winter Meeting
___________________________________
Orlando, Florida
2. SELECTED ETHICS AND PROFESSIONALISM ISSUES IN
LABOR AND EMPLOYMENT CASES
DENNIS P. DUFFY
BAKER BOTTS L.L.P.
3. TABLE OF CONTENTS
SELECTED ETHICS AND PROFESSIONALISM ISSUES IN LABOR AND EMPLOYMENT
CASES .................................................................................................................... 4
I. CONFLICTS OF INTEREST................................................................................. 4
A. Representing Opposing Sides in the Same Litigation............................................. 4
B. Adverse Representation Against a Current Client .................................................. 4
C. Simultaneous Representation of Potentially Adverse Clients ................................ 5
D. Prospective Waiver of Conflicts of Interests ........................................................ 12
E. Taking Opposing Stances on an Issue―Positional Conflicts............................... 14
F. Imputed Disqualification ...................................................................................... 16
1. Lawyer Changing Firms ........................................................................... 16
2. Screening................................................................................................... 17
3. Paralegals, Secretaries and Other Non-Attorneys..................................... 22
G. Conflicts Involving Insurance............................................................................... 24
H. Conflicts Regarding Former Clients ..................................................................... 31
1. Former Human Resources Managers or Employer Representatives as
Plaintiffs.................................................................................................... 35
2. Former Outside Counsel for Employer Bringing Claims on Behalf of
Plaintiffs.................................................................................................... 39
3. Former In-House Counsel Bringing Claims on Behalf of Plaintiffs
Against the Former Employer................................................................... 41
4. Former In-House Employer Attorney Bringing Personal Employment
Claims Against the Former Employer ...................................................... 42
I. Conflicts Arising From Law Firm “Beauty Contests”.......................................... 45
J. Conflicts of Interest Arising From Pre-Retention Communications with a
Prospective Client ................................................................................................. 48
II. THE LAWYER AS WITNESS ............................................................................ 50
i
4. III. ISSUES IN MATTERS INVOLVING CORPORATE/GOVERNMENTAL
PARTIES .............................................................................................................. 55
A. Attorney-Client Privilege...................................................................................... 55
1. The Tests for Determining Corporate “Client Confidences”.................... 55
2. Only Communications Protected .............................................................. 60
3. Waiver of the Privilege ............................................................................. 60
• disclosure to third parties or others not essential to the representation, such
as ............................................................................................................... 63
• by failing to timely assert the attorney-client privilege when confidential
information was sought through the discovery process or otherwise. ..... 66
4. Attorney-Client Privilege and Former Employees of the Organization ... 79
5. Attorney-Client Privileges and Client-Generated Documents.................. 80
6. Suggestions for Attorney Interviews of Management Employees ........... 80
B. Ex Parte Communications With Organizational Employees ................................ 81
1. Current v. Former Employees................................................................... 84
a) Former employees......................................................................... 84
b) Current Employees........................................................................ 87
2. Contact With Class Members by Counsel ................................................ 91
3. Client Communication With a Represented Party .................................... 92
4. Law or Rule Exception ............................................................................. 93
a) In General...................................................................................... 94
b) Communication About Administrative or Ministerial Matters..... 94
5. Communication With Unrepresented Persons .......................................... 94
6. Remedies for Violation of Ex Parte Communication Rules ..................... 95
IV. SPECIAL ISSUES REGARDING IN-HOUSE COUNSEL ................................ 97
A. Identifying the Corporate/Organizational “Client”............................................... 97
ii
5. B. Clarifying Who the In-House Lawyer Represents................................................ 99
C. Responses to Unlawful Activity ......................................................................... 102
D. Joint Representation of the Organization and Its Constituents........................... 102
E. In-House Counsel Business Advice.................................................................... 103
V. INADVERTENT DISCLOSURE AND IMPROPER ACQUISITION (THEFT,
DECEIT) OF DOCUMENTS AND OTHER INFORMATION OF THE
OPPOSING PARTY.......................................................................................... 104
A. Ethical Obligations of Recipient of Inadvertently or Improperly Obtained
Documents and Information ............................................................................... 104
B. Waiver of Privilege Due to Inadvertent Disclosure............................................ 109
C. Surreptitious/Improper Acquisition and Inspection of Information ................... 116
D. Examination of “Meta Data” Hidden in Electronic Documents Which Reveal
Confidences......................................................................................................... 120
E. Lawyer Participation in Deception by Undercover Investigators and
Discrimination Testers ........................................................................................ 122
VI. ETHICAL OBLIGATIONS IN SETTLEMENT NEGOTIATIONS ................. 124
A. Conditioning Settlement on Waiver of Attorneys’ Fees..................................... 124
B. Settlements Conditioned on an Attorney’s Agreement to Refrain From Future
Lawsuits or Claims Against the Same Defendant............................................... 125
C. Confidentiality Clauses....................................................................................... 126
D. Duty of Candor and “Puffing” in Settlement Negotiations ................................ 126
VII. LAWYER PROFESSIONALISM: CIVILITY AND COURTESY TO
OPPOSING COUNSEL, PARTIES, WITNESSES, AND THE
TRIBUNAL ........................................................................................................ 127
iii