1 Lawyer Mobility in the Context of Corporate Law Departments Presented by: William H. Roberts, Blank Rome LLP Jeremy A. Rist, Blank Rome LLP Kevin M. Passerini, Blank Rome LLP
2 I. Do corporations need to anticipate ethical issues arising from lawyer mobility? II. Could an entire corporate law department be disqualified?
3 I. Lawyer Mobility: The Law Firm Context Do ethical rules pertaining to lawyers moving from one law firm to another law firm also apply to corporate law departments?
4 Corporate Law Departments and The Rules Pennsylvania s and New York s conflicts rules expressly include corporate law departments within their scope: Pennsylvania RPC 1.0(c) defines a firm" or "law firm" as a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. New York RPC 1.0(h) similarly defines firm" or "law firm as includ[ing], but not limited to, a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a qualified legal assistance organization, a government law office, or the legal department of a corporation or other organization.
5 But how do the conflicts rules apply in the context of corporate law departments?
6 Lawyer Mobility: How the Conflicts Rules Apply in the Traditional Law Firm Context Case #1: Lawyer Moving from Law Firm to Law Firm What s ordinarily done? Conflicts analysis and screening List of the clients the lateral lawyer anticipates may follow and conflicts analysis Information regarding the clients of the previous firm on whose matters the lawyer has recently worked or about whom the lawyer has material information used for screening, consent, and notice purposes
7 Lawyer Mobility: How the Conflicts Rules Apply in the Traditional Law Firm Context Case #1 (continued): Ancillary concepts and practices: Restrict information to the conflict checking staff and the General Counsel s s office Run conflicts checks on the potential new clients Collect information from the lateral and run searches to determine whether the lateral has any material information about the other side of matter the law firm is handling If there s a conflict, get ready to comply with the different versions of Rule 1.10
8 Lawyer Mobility: How the Conflicts Rules Apply in the Traditional Law Firm Context Case #2: Moving from Public Service to a Law Firm RPC 1.11: Special rule regarding lawyers for public agencies and judges (a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government: (1) is subject to Rule 1.9(c); and (2) shall not otherwise represent a private client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives its informed consent to the representation.
9 Lawyer Mobility: Applying the Conflicts Rules in the Traditional Law Firm Context Case #2 (continued): RPC 1.11(b): (b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless: (1) the disqualified lawyer is screened from any participation in the matter and is apportioned no part of the fee therefrom; and (2) written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with provisions of this rule.
10 Lawyer Mobility: How the Conflicts Rules Apply in the Traditional Law Firm Context Case #2 (continued): RPC 1.11(c): (c) As used in this Rule, the term confidential government information means information that has been obtained under governmental authority and which, as the time this Rule is applied, the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is screened from any participation in the matter and is apportioned no part of the fee therefrom.
11 Lawyer Mobility: How the Conflicts Rules Apply in the Traditional Law Firm Context Case #2 (continued): RPC 1.11(e): 11( (e) As used in this Rule, the term matter includes: (1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties; and (2) any other matter covered by the conflict of interest rules of the appropriate government agency.
12 What Lawyer Mobility Ethics Compliance Presupposes Key rules: 1.9 (duties to former clients and conflicts) 1.10 (lawyers moving between firms and imputation of conflicts) Conflicts databases listing all existing and former clients and adverse parties in all matters Staff trained to analyze the results of conflicts searches Lawyers assigned to apply the applicable ethical rules to the facts of each case and to resolve conflicts through consents, screens, and notices, where required Imputation ti principles i
13 Parallel Scenarios for the In-House Lawyer or Corporate Law Department Lawyer moving from one corporate law department to another corporate law department: Rule 1.10, Rule 1.9 Lawyer moving from private law practice to a corporate law department: Rule 1.10, Rule 1.9 Lawyer moving from a corporate law department to a private law firm: Rule 1.10, Rule 1.9 Lawyer moving from public service to a corporate law d R l 111 department: Rule 1.11
14 7th Annual Emerging Issues for In-House Counsel How Can Corporate Law Departments Vet Lateral Lawyers under the Conflicts Rules? Parallels with law firm practice BIG DIFFERENCE With corporate law departments, there is only one new client Caveats: What about the members of the corporate family? What about when there is a corporate restructuring restructuring, merger merger, acquisition, or other transaction? Other issues remain
15 What Compliance by a Corporate Law Department Presupposes As Pennsylvania s and New York s Rules define law firm and firm, Rule 1.10 applies to corporate law departments See also PA RPC 1.10, Comment 1; NY RPC 1.10, Comment 1 New York s Rules add an express written record requirement: RPC 1.10(e): A law firm shall make a written record of its engagements, at or near the time of each new engagement, and shall implement and maintain a system by which proposed engagements are checked against current and previous engagements. Although mandatory in New York, a written record may be required under the Pennsylvania Rules, too See PA RPC 1.7 & Comment 3 ( reasonable procedures )
16 But what if there is no actual conflict? 7th Annual Emerging Issues for In-House Counsel Because they fall within the Rules, corporate law departments still must keep abreast of potential conflicts And New York s written record requirement applies regardless of whether there is an actual conflict: RPC 1.10(f): Substantial failure to keep records or to implement or maintain a conflict-checking system that complies with paragraph (e) shall be a violation thereof regardless of whether there is another violation of these rules.
17 7th Annual Emerging Issues for In-House Counsel What Written Record of Its Engagements is Required q for Corporate p Law Department p Compliance? Possibilities: A listing of the identities of current adverse parties in all transactional and litigation matters A listing including similar information for the corporate family
18 Compliance Problems Consent Jurisdictions: What if the lateral l lawyer has already resigned when it develops that t a consent is required? Does the term its engagements mean a record of the corporation s adverse parties? Does it mean only current adverse parties, or could historically adverse parties also be relevant? What happens when there s a corporate restructuring, merger, acquisition, or other transaction?
19 7th Annual Emerging Issues for In-House Counsel What Conflict-Checking, If Any, Should Corporate Law Departments Consider? Process to vet incoming lateral lawyers using a database of matters and adverse parties the company maintains on an ongoing basis If parties are added in litigation or in negotiations, do you need re run the conflicts analysis? to re-run
20 What Conflict-Checking, If Any, Should Corporate Law Departments Consider? Request information from lateral lawyer candidates Screening and notices Caution: Watch out for the New York s consent requirement and issues concerning corporate families of RPC 1.10
21 Corporate Law Department Scenarios Lateral lawyers coming from a corporate law department: Request information from lateral lawyer sufficient to determine whether the former employer is adverse in any current matters, the nature of the lateral lawyer s involvement in the matters, and whether the lateral l lawyer has any "material information about the matters Lateral lawyers coming from a law firm: 7th Annual Emerging Issues for In-House Counsel Request information from lateral lawyer sufficient to determine the nature of the lateral lawyer s involvement in any currently adverse matters and whether the lateral lawyer has material information relating to any currently adverse matters by reason of the lateral lawyer s involvement or the firm's representation of the adverse party
22 International Contexts What if my law department is international in scope and there is no counterpart in Europe or Asia to the duty of loyalty, but there is still sensitivity to misuse of confidential information? Since the RPC 1.10 requirements are also for the purpose of protecting material confidential information, a central concern of foreign lawyer ethics (UK, Hong Kong, et al.), anticipate that there may be an issue under foreign lawyer ethics rules.
23 Analyzing Case #1 in the Context of Corporate Law Departments Play on Case #1: The former in-house counsel of a competitor of the corporation is joining your law department Vetting for conflicts under Rule 1.10 Should you screen and notify? Could a lateral lawyer s contractual non-disclosure obligations limit the disclosures necessary for your company to conduct a conflicts analysis? Example: The potential lateral candidate s employer is preparing a complaint against your company and the candidate has been involved Is consent for the former employer required under any circumstances? What if consent cannot be obtained, and the lateral resigned already? Implications under Rule 1.9(c)
24 Analyzing Case #2 in the Context of Corporate Law Departments Play on Case #2: Your assistant general counsel is joining a private law firm that represents or may, in the future, represent parties adverse to your company If there is currently adversity, has the firm provided notice and screened? Request information regarding screening to ascertain firm s compliance If there is only the potential ti for future adversity, how would you know when adversity arose, and would you know soon enough? If the law firm requests your company s consent, should consent be provided? On what conditions, and what about the scope of the consent?
25 Analyzing Case #2 in the Context of Corporate Law Departments t Variation: Rather than joining a law firm, your assistant general counsel joins the law department of a company that is or, the future, may be on the other side of commercial transactions or litigation involving your company Concerns under Rule 1.9(c) Parallels with Case #2
26 Back to the Written Record What kind of record-keeping must a corporate law department have in order to comply with the Rules? What written record system might be appropriate? Is it practical for the company? What are the potential ti remedies for failure to comply? Discipline Suits by former clients (or employers) against the lawyer for breach of the duties of confidentiality and for breach of fiduciary duty/malpractice Suits against the corporate employer of the lateral lawyer for aiding and abetting breach of fiduciary duty or tortious interference? Disqualification of a law department? How would disqualification actually play out in the matter?
27 Insurance Coverage? Would you be protected by insurance if you were sued in a situation like those we have discussed? No insurance coverage under the former law firm s professional liability insurance policy because policies i normally only cover acts committed while at the law firm Coverage would depend on whether your new corporate employer has professional liability insurance coverage or another form of coverage that would cover these violations Is the corporation covered against claims by third parties arising from mishandling of lawyer mobility issues?
28 II. Any Risk of Corporate Law Department Disqualification? Law firms are frequently subject to motions to disqualify, and they are sometimes granted Typical grounds for disqualification of a law firm: Concurrent conflict of interest under Rule 1.7 Conflicts with former client under Rule 1.9
29 What about Non-Law-Firm Law Departments and Corporate Law Departments? THE RESTATEMENT (THIRD) OF THE LAW GOVERNING LAWYERS 123: Comment d(i): Corporate Legal Offices. No case authority has been found. The Comment agrees with and follows the doctrine suggested in the ABA Model Rules of Professional Conduct (1983). Rule 1.10, Comment 2. Comment d(ii): The position taken in the Section and Comment is that imputation is appropriate if either organization or physical working relationships warrant.
30 What about Non-Law-Firm Law Departments and Corporate Law Departments? As to other kinds of in-house law departments, however, especially government legal offices, imputation has been found, and effective disqualification or its equivalent has occurred Government legal offices in general: See, e.g., State v. Dean Foods, Prod. Co., 605 F.2d 380 (8th Cir. 1979) (lawyer moving to state office from private practice personally disqualified and disqualification imputed to the government office)
31 What about Non-Law-Firm Law Departments and Corporate Law Departments? Prosecutors offices: Compare United States v. Caggiano, 660 F.2d 184 (6th Cir. 1981) (defense attorney joined U.S. Attorney s office; no imputation and no disqualification) with State v. Tippecanoe County Court, 432 N.E. 2d 1377 (Ind. 1982) (office disqualified when elected chief prosecutor had represented defendant in prior convictions) and State v. Chambers, 524 P.2d 999 (N.M. Ct. App. 1974) (entire office disqualified) Public defenders offices: See, e.g., Commonwealth v. Westbrook, 400 A. 2d 160 (Pa. 1979) (imputation) Nonprofit legal services offices: See, eg e.g., Flores v. Flores, 598 P.2d 893 (Alaska 1979) (Alaska Legal Services failed to ensure sufficient separation)
32 Anticipating and Defending against Potential Disqualification Typical grounds for defense under Rules 1.9 (former clients) and 1.10 (imputation): Lateral lawyer had no involvement in adverse matters Lateral lawyer had involvement, but lateral lawyer did not have access to material information in adverse matters or regarding adverse party Proper screening and notice
33 Offensive Use of Disqualification against Opposing Counsel and Other Law Departments Keep an eye out for where your former lawyers end up: Are they in an opposing law firm? Are they in an opposing corporate law department? Promptly pyinform outside counsel of potential adversity of former inhouse lawyers Litigation i i and transactional What about also informing the other law department or the adversary s counsel?
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