SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-2854-98T2
ROBERT KLIER, SR. and MARIANNE
KLIER, husband and wife,
Plaintiffs-Appellants,
v.
SORDONI SKANSKA CONSTRUCTION
COMPANY, a Delaware Corporation,
A. G. MAZZOCCHI, INC. (for
Discovery Purposes only), THE
TAUBMAN COMPANY (for Discovery
Purposes only), THE PRUDENTIAL
REALTY COMPANY (for Discovery
Purposes only), HOBBS & BLACK
ASSOCIATES (for Discovery
Purposes only) and SHORT HILLS
ASSOCIATES (for Discovery
Purposes only),
Defendants-Respondents,
and
SORDONI SKANSKA CONSTRUCTION
COMPANY, a Delaware Corporation,
Third-Party Plaintiff,
v.
A. G. MAZZOCCHI, INC.,
Third-Party Defendant.
_____________________________________
Argued: December 6, 2000 - Decided: January 26, 2001
Before Judges Keefe, EichenSee footnote 11 and Steinberg.
On appeal from the Superior Court of New Jersey,
Law Division, Essex County, L-6414-95.
Sidney Shaievitz argued the cause for appellants
(Shaievitz & Berowitz, attorneys; Mr. Shaievitz,
on the brief).
Daniel K. Newman argued the cause for respondent
Sordoni Skanska Construction Company.
Respondents A. G. Mazzocchi, Inc., The Taubman
Company, The Prudential Realty Company, Hobbs &
Black Associates and Short Hills Associates
have not filed a brief.
The opinion of the court was delivered by
STEINBERG, J.A.D.
Plaintiffs, Robert Klier, Sr. and Marianne Klier,See footnote 22 his wife,
appeal from an order dismissing their complaint with prejudice as
to defendant Sordoni Skanska Construction Company (defendant or
Sordoni) "for failure to state a cause of action against
defendant," and from the denial of their subsequent motion seeking
to vacate the prior order and restore the case to the trial list.
They also appeal from a previous interlocutory order that denied
their application to have unrestricted ex parte communications with
all former employees of A. G. Mazzocchi, Inc. (Mazzocchi), Charles
Imbimbo, George Daniel and Robert Gordon, without the express
consent of defendants' attorney. We reverse each order and remand
for further proceedings.
This case arises out of a construction site accident. In
January 1993, defendant entered into a contract with Prutaub Joint
Venture, the owner of the mall at Short Hills, for demolition,
asbestos removal, remodeling and expansion, preparation of three
department store pads and the addition of three parking decks. In
March 1993, defendant entered into a subcontract with Mazzocchi for
certain demolition work.
On January 11, 1994, the day of the accident that led to this
lawsuit, plaintiff was a laborer employed by Mazzocchi. He had
been hired out of Laborer's Local Union 526. Although he had
previously worked at the site for other subcontractors of Sordoni,
it was his first day on the job for Mazzocchi. Plaintiff and
Gordon, a laborer from the same union and local, were directed to
report to Imbimbo, who was Mazzocchi's foreman. They were joined
by Daniel, a carpenter hired out of Carpenter's Union Local 620 by
Mazzocchi about a week and one-half before the accident.
Plaintiff, along with Gordon, Daniel and Imbimbo were demolishing
a large overhang or canopy on the south side of Bloomingdale's
Department Store.See footnote 33 The underside of the canopy was lath and
mortar, with connection stringers wired to structural components.
The demolition procedure involved the cutting of each wire and the
use of wrecking bars, a sawsall, lump hammers and a two-by-four to
pry away the soffit.
When the soffit was loose, partly lying on the ground, Imbimbo
told plaintiff, Gordon and Daniel to remove tools that were lying
under it. While they were doing so, and while plaintiff and Gordon
were under the canopy, Imbimbo, without warning, started prying at
the attached soffit with an eight or ten-foot two-by-four. The
soffit suddenly broke loose and fell, hitting plaintiff, causing
him to sustain serious personal injuries.
The case was scheduled for trial on September 29, 1998. On
that date, immediately prior to trial, the judge to whom the case
had been assigned stated that he had "serious concerns about the
cause of action." Noting that the case would take approximately
two weeks to try, the judge said, "[i]t seems to me that it would
be good administration to determine whether there is a cause of
action. At least in my view." The judge stated that he recognized
that he could require the plaintiff to present his case, and, if
there was a motion at the conclusion of plaintiff's case, he would
"accept the truth of oral statements made on behalf of the
plaintiff and . . . draw all inferences which may reasonably be
drawn against the motion to dismiss." He proposed to "shortcut
that procedure and to have [plaintiff's attorney] put on the record
the best case that he hopes to produce here. And I will apply the
rule that I _ - that is applied at the conclusion of the
plaintiff's case which I have already enunciated. And I will hear
argument and make a determination as to whether or not, in my view,
there is something which should go to the jury."
The judge said that he had used that procedure before and he
felt, "[i]t is good administration from the judicial point of view.
I also think it is good from the parties' point of view," since the
trial would be long and expensive.
Although there appears to have been a discussion in chambers,
off the record, regarding the procedure proposed by the judge, on
the record plaintiff's attorney began to state his case without
objection to the procedure. However, in the course of his
argument, he stated that he was not "prepared to argue this motion"
because he had not brought his file or the report of his expert.
The argument was postponed to afford counsel an opportunity to
prepare, and to submit his expert's report. On October 1, 1988,
after hearing further argument, the motion judge refused to hold
defendant, the general contractor, liable for the "egregiously
stupid" act of Imbimbo, who was an employee of Mazzocchi, the
subcontractor, who caused the canopy to collapse by prying at its
soffit.
Plaintiffs filed a motion seeking reconsideration, supported
by a supplemental engineering report. The judge heard oral
argument on the motion, and noted that, "It strikes me that this
[report] . . . is a net opinion." The judge reserved decision and,
without any further opinion, later entered an order denying the
motion.
On this appeal, plaintiffs raise the following arguments:
POINT I THE TRIAL COURT'S PROCEDURE IN
INITIATING AND CONDUCTING, SUA
SPONTE, A PROCEDURE TO DISMISS
PLAINTIFFS' CASE FOR FAILURE TO
STATE A CLAIM UPON WHICH RELIEF CAN
BE GRANTED WAS IMPROPER AND IS
GROUNDS FOR REVERSAL
POINT II PLAINTIFFS' LIABILITY EXPERT'S
REPORT AND SUPPLEMENTAL REPORT DID
NOT CONSTITUTE NET OPINIONS
POINT III THE DISMISSAL OF THIS SUIT FOR
FAILURE TO STATE A CAUSE OF ACTION
SHOULD BE REVERSED WHERE:
A. THE RISK OF INJURY TO KLIER WAS
REASONABLY FORESEEABLE
B. THE RELATIONSHIP OF THE PARTIES
IMPLICATED WORKPLACE SAFETY
CONCERNS
C. THERE WERE VIOLATIONS OF OSHA
SAFETY REGULATIONS WHICH
PROXIMATELY CAUSED PLAINTIFF'S
ACCIDENT
D. THERE WERE OPPORTUNITIES TO
TAKE CORRECTIVE MEASURES
E. THERE WERE VIOLATIONS OF SAFETY
CODES AND STANDARDS WHICH
PROXIMATELY CAUSED PLAINTIFF'S
ACCIDENT
F. NEGLIGENT INSPECTION BY SORDONI
WAS A PROXIMATE CAUSE OF
PLAINTIFF'S ACCIDENT
G. SORDONI, AS THE SINGLE
REPOSITORY OF RESPONSIBILITY
FOR THE SAFETY OF ALL WORKERS
ON THE PROJECT, HAD A
NON-DELEGABLE DUTY TO MAINTAIN
A SAFE WORKPLACE AND BORE
RESPONSIBILITY FOR ALL OSHA
VIOLATIONS ON THE JOB;
VIOLATION OF AN OBLIGATION
IMPOSED BY OSHA PERTAINING TO
SAFETY SUPPORTS A TORT CLAIM
We first consider plaintiffs' contention that the trial judge
erred in sua sponte instituting the summary procedure and
dismissing their complaint. We agree. Our rules of court must be
"construed to secure a just determination, simplicity in procedure,
fairness in administration and the elimination of unjustifiable
expense and delay." R. 1:1-2. The cornerstone of our judicial
system is that justice is the polestar and the procedures utilized
by the courts must "be moulded and applied with that in mind."
N.J. Highway Authority v. Renner,
18 N.J. 485, 495 (1955). Our
ultimate goal is not, and should not be, swift disposition of cases
at the expense of fairness and justice. Rather, our ultimate goal
is the fair resolution of controversies and disputes. R. H. Lytle
Co. v. Swing-Rite Door Co., Inc.,
287 N.J. Super. 510, 513 (App.
Div. 1996). Eagerness to move cases must defer to our paramount
duty to administer justice in the individual case. Audubon
Volunteer Fire Co. No. 1 v. Church Constr. Co.,
206 N.J. Super. 405, 406 (App. Div. 1986). Stated another way, while the concepts
of "judicial administration" and fairness are not necessarily
incompatible, the desire to facilitate judicial administration must
take a back seat to our primary goal which is to adjudicate cases
fairly and impartially. Shortcuts should not be utilized at the
expense of justice.
The minimum requirements of due process of law are notice and
an opportunity to be heard. Doe v. Poritz,
142 N.J. 1, 106 (1995).
The opportunity to be heard contemplated by the concept of due
process means an opportunity to be heard at a meaningful time and
in a meaningful manner. Ibid. Indeed, our rules of court
contemplate that motions be made in writing. R. 1:6-2(a).
Moreover, ordinarily, motions must be filed and served not later
than sixteen days before a specified return date. R. 1:6-3(a).
Our summary judgment rule requires a motion seeking that relief to
be filed not later than twenty-eight days before the time specified
for the return date. R. 4:46-1. In addition, a party seeking
summary judgment must file a brief and, at the very minimum, a
statement of material facts in support of the motion. R.
4:46-2(a). The purpose of these rules is obvious, that is, to
afford the party against whom relief is sought notice of the
application, together with a meaningful opportunity to respond.
The procedure resorted to by the trial judge in this case defeated
those purposes. For example, had defendants filed a motion,
plaintiffs would have had the opportunity to respond to the
objection to their expert's opinion. Instead, plaintiff came to
court prepared to pick a jury, but rather, was required to defend
a motion, brought by the court sua sponte, to dismiss his
complaint.
We recognize that the judge gave plaintiffs' attorney two days
to produce his expert's report and further argue against the
motion.See footnote 44 We conclude that that opportunity was insufficient to
remedy the defect in the judge's procedure. Had plaintiffs'
attorney been given sufficient advance notice of the application
for dismissal, he would have had a meaningful opportunity to
contact his expert and supply a supplemental report, as he did on
his motion for reconsideration. We cannot condone a procedure
whereby a judge sua sponte, without notice to a party, resorts to
a "shortcut" for the purposes of "good administration" and
circumvents the basic requirements of notice and opportunity to be
heard.
Defendants' reliance on Enourato v. New Jersey Building
Authority,
182 N.J. Super. 58 (App. Div. 1981), aff'd,
90 N.J. 396
(1982), is misplaced. Although we held in Enourato that a Law
Division judge has the power to dismiss a case on the same day the
complaint was filed, we also observed that "only an extraordinary
situation could justify such a procedure." Enourato, supra, 182
N.J. Super. at 64-5. We cautioned that "[o]rdinarily a trial judge
should not dismiss an action as summarily" as was done in that
case. Id. at 64. Only because the situation before the judge was
truly emergent in nature, coupled with the public importance of the
question involved, including the large amount in controversy, did
we conclude that the trial judge properly exercised his discretion
in dismissing a complaint challenging legislation establishing the
New Jersey Building Authority that threatened a proposed bond sale
the next day. Id. at 65-66. Simply put, we conclude that the mere
fact that the trial in this case may be long and expensive is not
an extraordinary situation justifying the summary procedure
instituted by the judge.
We next consider defendants' contention that plaintiffs'
attorney consented to the procedure adopted by the judge. While
this appeal was pending, based upon conflicting affidavits and
certifications of opposing counsel as to whether plaintiffs'
attorney consented to the procedure, we "remanded to the trial
court for the purpose of resolving the issue of whether plaintiffs'
attorney consented to the procedure followed by the trial court."
We intended that the remand proceeding be conducted by the same
judge who originated the procedure. Instead, the remand was
presided over by a different judge who reviewed the transcripts,
and the conflicting certifications and concluded that plaintiffs'
attorney implicitly consented to the proceedings by failing to
voice an objection. We disagree. Initially, at the very least, in
light of the conflicting certifications and affidavits the judge
should have conducted a plenary hearing. However, we decline to
remand at this time for a plenary hearing. To do so would give our
tacit approval to the procedure utilized. In addition, we are
persuaded by the certification of plaintiffs' attorney that the
judge "did not request consent; he merely explained what he was
about to do and we then proceeded to the courtroom to go on the
record. It was not for me to consent or protest." Plaintiffs'
attorney was placed in a difficult position in light of the
unorthodox procedure utilized by the judge, and, under these
circumstances, we decline to hold that he tacitly consented to this
procedure.
We also note that the prior remand was necessitated, in part,
because there appeared to be an unrecorded discussion in the
judge's chambers regarding the procedure proposed by the judge. We
have previously noted that "[c]ounsel and the trial judge have a
mutual obligation to make a record and to request and provide for
the record a notation of events occurring in chambers, either by
way of actual transcript, or summarization on the record so that a
reviewing court will have the benefit thereof." State v. Green,
318 N.J. Super. 361, 380 (App. Div. 1999), aff'd. o.b.
163 N.J. 140
(2000), citing Fehnel v. Fehnel,
186 N.J. Super. 209, 217 (App.
Div. 1982). While we recognize that it is impractical to require
a record, or transcript of mundane, innocuous in-chambers
discussions, we hold that when the discussion concerns important
subjects such as the procedure to be utilized, a record must be
made or a summary placed on the record as to what transpired in
chambers. Only then is effective appellate review insured.
We next consider plaintiffs' contention that the motion judge
erred in denying their motion to allow ex parte communication with
Imbimbo, Gordon and Daniel, who were former employees of Mazzocchi,
without notice to counsel for defendant. The motion judge
concluded that the acts of the employees could be imputed to
Mazzocchi, and, in turn to defendant, as the general contractor,
under agency principles; and also concluded that they "may have
been significantly involved in the determination of [Mazzocchi's]
legal position," and their involvement "was greater than simply
eyewitnesses to the accident" since "they were actively involved in
the work . . . which gave rise to the events in question . . .."
The standard for an attorney's communication with a person
represented by counsel is set forth in R.P.C. 4.2, which provides,
in pertinent part, as follows:
In representing a client, a lawyer shall not
communicate about the subject of the
representation with a person the lawyer knows,
or by the exercise of reasonable diligence
should know, to be represented by another
lawyer in the matter, including members of the
organization's litigation control group as
defined by R.P.C. 1.13, unless the lawyer has
the consent of the other lawyer.
The rule governing representation by an attorney when the
client is an organization is set forth in R.P.C. 1:13(a), which
provides, in pertinent part, as follows:
For the purposes of R.P.C. 4.2 . . . the
organization's lawyer shall be deemed to
represent not only the organizational entity
but also the members of its litigation control
group. Members of the litigation control
group shall be deemed to include current
agents and employees responsible for, or
significantly involved in, the determination
of the organization's legal position in the
matter whether or not in litigation, provided,
however, that "significant involvement"
requires involvement greater, and other than,
the supplying of factual information or data
respecting the matter. Former agents and
employees who were members of the litigation
control group shall presumptively be deemed to
be represented in the matter by the
organization's lawyer but may at any time
disavow such representation.
In seeking access to Imbimbo, Gordon and Daniel, plaintiffs
assert that they are fact witnesses, and are not members of an
organization's litigation control group. Defendant counters that
plaintiffs should not be permitted access to Imbimbo, Gordon and
Daniel because the statements of these witnesses could be imputed
to Mazzocchi for the purpose of liability.See footnote 55 The judge determined
that under "traditional agency principles" the acts of Imbimbo,
Gordon and Daniel "conceivably" could have been imputed to
Mazzocchi.See footnote 66 The judge concluded that there was "a very genuine
factual issue as to the risk of imputed liability to Mazzocchi as
a result of the actions taken by Imbimbo, CooperSee footnote 77 and Daniel at the
scene on that particular occasion." The judge then determined that
Imbimbo and Cooper [sic], "were or may have been significantly
involved in the determination of [Mazzocchi's] legal position in
this matter, that their involvement . . . was greater than simply
eyewitnesses to the accident, that they were actively involved
in . . . the demolition work . . . which gave rise to . . . the
injuries to the plaintiff." He then determined that there was "a
reasonable basis to conclude that [defendant] may be
held . . . liable along with [Mazzocchi] for the acts or omissions
of the employees of [Mazzocchi], and thereby the acts or omissions
of the employees of [Mazzocchi] are imputable to [defendant]."
Without providing any legal analysis, he ultimately concluded that
Imbimbo, Gordon and Daniel, as former employees of Mazzocchi,
"shall be deemed to be part of the litigation control group of
Mazzocchi and of [defendant]." The record on plaintiff's motion
consisted of a certification of his attorney stating that Grace
Mazzocchi had advised the attorney that it had terminated Imbimbo
and that Gordon had also left the company. The attorney further
certified that at their depositions, Imbimbo and Gordon were not
represented, and Imbimbo stated that he was not represented by an
attorney.
Prior to 1996, R.P.C. 4.2 provided as follows:
In representing a client, a lawyer shall not
communicate about the subject of the
representation with a party the lawyer knows
to be represented by another lawyer in the
matter, unless the lawyer has the consent of
the other lawyer or is authorized by law to do
so.
In 1993, the Supreme Court, when called upon to interpret that
rule, elected to refer the question of which organizational
employees should be accessible to opposing counsel to a special
committee to "fully assess the policy implications" in varied
contexts. In the Matter of Opinion 668 of the Advisory Comm. on
Prof'l. Ethics,
134 N.J. 294, 303-04 (1993). The Special Committee
on R.P.C. 4.2 issued its report on March 20, 1995, Rep. of Special
Committee Rep. on R.P.C. 4.2,
139 N.J.L.J. 1161, 1193 (1995)
(Committee Rep.) After the Committee rendered its report, R.P.C.
1.13, 4.2 and 4.3 were amended, effective September 1, 1996. The
amendments reflected the recommendations made by the Committee.
Michaels v. Woodland,
988 F. Supp. 468, 470 (D.N.J. 1997).
The current rules prohibit communication only with employees
who are members of the organization's litigation control group, or
are represented by another lawyer in the matter. R.P.C. 4.2. This
is in accord with the Committee's recommendation that the
prohibition against ex parte communication should not extend to
employees who were only fact witnesses or involved with the subject
matter of the litigation. Committee Rep., supra,
139 N.J.L.J. at
1195-96. The Committee explained that extending the prohibition
against ex parte communication to employees who were only involved
in the subject matter of the litigation would include too many
people "whose interests are most likely not only not congruent with
the organization's but also, in many cases, in conflict with it."
Ibid. (quoted in Michaels, supra, 988 F. Supp. at 471). The
Committee determined that the bar against ex parte communications
should only apply in those situations where the employee is not
only a fact witness, but also is significantly involved in
determining the organization's legal position as opposed to merely
supplying information. Committee Rep., supra,
139 N.J.L.J. at
1195-96. In its recommendation, the Committee specifically
provided that "[s]ignificant involvement requires involvement
greater than merely supplying factual information regarding the
matter in question." Id. at 1195. Moreover, in its comment on
proposed R.P.C. 1:13, the Committee specifically noted that the bar
"does not include persons whose actions bind the organization or
are imputable to the organization or who are responsible for other
aspects of organizational policy unless they meet the 'legal
position' test." Committee Rep., supra,
139 N.J.L.J. at 1196.
Thus, the first determination that must be made by a court in
considering whether to allow ex parte interviews of current and
former employees of an organization is whether the witness is a
current or former employee. R.P.C. 1:13(a); Michaels, supra, 988
F. Supp. at 472. If the witness is a current employee, the judge
must determine whether the person is within the litigation control
group as defined by R.P.C. 1:13(a), and, if not, whether the person
has obtained other representation. R.P.C. 4.2; Michaels, supra,
988 F. Supp. at 472. R.P.C. 4.2 prohibits an adverse attorney from
having ex parte contact with any current employee who is within the
litigation control group. Ibid. On the other hand, if the current
employee is not within the litigation control group and has not
obtained other representation, ex parte contact is permitted
consistent with R.P.C. 4.2 and R.P.C. 4.3. In addition, a former
employee who was within the litigation control group is
presumptively represented by the organization. R.P.C. 1:13(a);
Michaels, supra, 988 F. Supp. at 472. However, pursuant to R.P.C.
1.13(a) and R.P.C. 4.2, the lawyer may interview a former employee
who was within the litigation control group, if he or she disavows
that representation. Hence, nothing in the Rules prohibits ex
parte communication with a former employee who was not within the
litigation control group and who was not otherwise represented by
counsel. Michaels, supra, 988 F. Supp. at 472.
As previously noted in footnote four of this opinion, the
record on appeal does not include the certification of defendant's
attorney filed in opposition to the motion. We assume that it did
not assert that Imbimbo, Gordon and Daniel were members of
defendant's litigation control group, since defendant does not
argue in its appellate brief that they were members of the
litigation control group. The judge, in generally concluding that
they "were or may have been significantly involved in the
determination of [Mazzocchi's] legal position in this matter" did
not make findings of fact or state his legal conclusions that
flowed from those factual determinations. See R. 1:7-4(a) (The
judge, in deciding a motion that is appealable as of right, must
find the facts and state his conclusions of law thereon).
Since defendant does not contend on appeal that Imbimbo,
Gordon and Daniel were members of its or Mazzocchi's litigation
control group, we limit our consideration to defendant's contention
that ex parte contact is prohibited since the acts of Imbimbo,
Daniel and Gordon could be imputed to defendant. In support of
that position, defendant relies upon Pub. Serv. Elect. & Gas Co. v.
Associated Elec. & Gas Ins. Services, Ltd., et al,
745 F. Supp. 1037 (D.N.J. 1990) and Erickson v. Winthrop Laboratories,
249 N.J.
Super. 137 (Law Div. 1991). We conclude that those authorities are
inapposite in light of the fact that they were decided before the
amendments to the R.P.C.'s. Accordingly, to the extent they hold
that the court must consider whether the acts of former employees
could be imputed to the corporate employer, they have been
superseded by the amendments. "The fact that an agent or employee
may impute liability, in and of itself, does not determine whether
he or she is represented by the organization's counsel, thus
implicating the ex parte communication bar." Committee Rep.,
supra,
129 N.J.L.J. at 1196. In addition, we conclude that the
motion judge incorrectly relied on Curley v. Cumberland Farms,
Inc.,
134 F.R.D. 77 (D.N.J. 1991), because that case was also
decided before the 1996 Rule amendments, and involved consideration
of agency principles.
The record presented to us on appeal does not permit a
definitive conclusion as to whether Imbimbo, Daniel and Gordon are,
or were, members of the litigation control group. In addition, the
judge has not provided sufficient findings of fact and conclusions
of law which allows us to review his conclusion that they "were or
may have been significantly involved in the determination of
[Mazzocchi's] legal position." Moreover, as previously noted, the
judge incorrectly determined that ex parte interviews were
prohibited because the acts of Imbimbo, Gordon or Daniel may
ultimately be imputed to Mazzocchi or defendant. Accordingly, we
reverse the interlocutory order, and remand for further
proceedings. At the remand proceedings, the judge must determine
whether the specific person sought to be interviewed is a current
employee. If the person is a current employee, the judge must
determine whether the person is within the litigation control
group, and, if not, whether the person has obtained other
representation. If the person has obtained other representation,
obviously an ex parte interview is not permitted.
On the other hand, if the current employee is not within the
litigation control group and has not obtained other representation,
ex parte contact is permitted consistent with R.P.C. 4.3. If
plaintiff's attorney seeks to interview a former employee who was
within the litigation control group, that person is presumptively
represented by the organization and plaintiff's attorney, pursuant
to R.P.C. 4.2, may not interview the person unless that person has
disavowed that representation. If the person sought to be
interviewed is a former employee who was not within the litigation
control group, and is not otherwise represented by counsel, ex
parte communication is to be allowed. Finally, the mere fact that
liability may be imputed to the corporation by virtue of the act
of the present or former employee does not mean that the employee
may not be interviewed so long as the employee is not or was not a
member of the litigation control group and is not represented by
counsel.
Although not raised by the parties, we deem it appropriate to
comment on the procedure utilized by plaintiff's attorney in
seeking judicial approval prior to attempting to contact Imbimbo,
Gordon or Daniel. We do not suggest or imply that when an attorney
seeks to conduct an ex parte interview with a current or former
employee of an adversary, notice to the adversary or judicial
approval is required. Andrews v. Goodyear Tire & Rubber Co., Inc.,
191 F.R.D. 59, 77 (D.N.J. 2000). An attorney may contact a current
or former employee ex parte in an effort to determine whether that
person is represented by counsel, or is included in the
organization's litigation control group. R.P.C. 4.2; Andrews,
supra, 19 F.R.D. at 77. At that point, the attorney must exercise
reasonable diligence and attempt to determine whether the person is
represented, or is a member of the litigation control group.
R.P.C. 4.2. In addition, the attorney must comply in all respects
with R.P.C. 1.13, R.P.C. 4.2 and R.P.C. 4.3. However, we remand in
this case because here, plaintiff sought judicial approval prior to
attempting to contact Imbimbo, Gordon or Daniel.
In light of our conclusion that the summary proceeding
instituted by the trial judge sua sponte was improper and
necessitates a reversal of the order dismissing plaintiff's
complaint for failure to state a claim upon which relief may be
granted, we do not reach the arguments raised by plaintiff in
Points II and III of his brief. Our decision not to consider those
issues should not be viewed as an indication as to how we perceive
the merits of those claims, or the position taken by the trial
judge.
Reversed and remanded for further proceedings not inconsistent
with this opinion. In light of our disposition of this appeal, we
need not consider the contention raised in plaintiff's reply brief
to this court asking that we strike defendants' brief due to the
inclusion "of documents not in the record below and of
misrepresentations of the record."
Footnote: 1 1Judge Eichen did not participate in oral argument. However, the parties consented to her participation in the decision. Footnote: 2 2Marianne Klier's claim is a derivative per quod claim. Accordingly, all references to plaintiffs in this opinion shall refer to Robert Klier, Sr. Footnote: 3 3The description of the accident was taken from the report of plaintiff's engineer, William Poznak. The record contains no eyewitness account of the accident. Footnote: 4 4In that two day period, a religious holiday intervened. Footnote: 5 5In opposition to the motion, apparently defendants' attorney filed a certification dated December 27, 1996. Unfortunately, and contrary to R. 2:6-1(a)(1)(H), plaintiffs' attorney has not included that certification in his appendix. If defendants' attorney considered that certification necessary to the proper consideration of the issues, he could have included it in his appendix. R. 2:6-3. He has not done so. We note that the motion judge did not refer to the certification in determining the motion. Footnote: 6 6Since Mazzocchi was plaintiff's employer, plaintiff is barred by the exclusivity provisions of the Workers' Compensation Act, particularly N.J.S.A. 34:15-8, from asserting a claim for personal injuries against Mazzocchi, or his fellow employees, Imbimbo, Daniel and Gordon. Footnote: 7 7We assume that the reference to Cooper was inadvertent and the judge meant Gordon.