Small-town Star Trek museum teaches American cultural history, limits of fan fair use in copyright law

I have the con at the Star Trek Original Series Set Tour, Ticonderoga, N.Y., Oct. 2025
(all photos RJ Peltz-Steele CC BY-NC-SA 4.0)

The sleepy town of Ticonderoga, nestled between Lake Champlain and Lake George in upstate New York just south of the Adirondacks, is the unexpected home of a treasure of American history. 

I don't mean the historic Fort Ticonderoga of the American revolutionary era. 

The Star Trek Original Series Set Tour offers visitors an incomparable experience in television history and a lesson in intellectual property law along the way.

Though the transporter was conceived to save money on
prop shots of shuttle landings, it still cost (1966) $600
per effect per person. That's one reason why red shirts
didn't beam down unless they had, let's say, business on
the planet. Regular-cast shots could be recycled. The
platform circles were made with glass from old spotlights.
It's wild to see close up how clever prop crew were with
what they had on hand.

Star Trek in a Small Town 

I've written many times about the relevance of Star Trek to American law and public policy from the civil rights era to today. The Set Tour is the passion project of Star Trek superfan and Ticonderoga native James Cawley, an Elvis impersonator by trade. Cawley is someone who deeply appreciates Trek's cultural importance and has played a role in ensuring that the franchise survives and lives up to its legacy.

Inside the inconspicuous shell of a former Family Dollar in downtown Ticonderoga, Cawley has recreated the Desilu Studios set of the original Star Trek series of the 1960s in astonishing detail, down to the illuminated, colorful "gumdrop" buttons of starship Enterprise control panels.

Little survived from the original 1960s set. At that time, creators still thought about television productions as one-off broadcasts. Syndication was known, but shows were not yet designed for it. Moreover, few critics would have picked Star Trek, a curious experiment in sending Wagon Train to space, as a show that would stand the test of time. 

In fact, Star Trek's perceived ephemerality became a challenge in reconstructing the set, a Set Tour guide explained. The original series had no script supervisor in charge of continuity, mostly because no one expected viewers would see a Star Trek episode for a second time to notice details. A prop that was a scary alien computer in one episode was gently repurposed to be an Enterprise control system in another. Budgets were thin, too, so prop supervisors were ingenious recyclers.

Cawley long collected the few artifacts and set fragments that remained. In the early 1990s, he worked his way into an assistantship with legendary costume designer William Ware Theiss, then working on Star Trek's reincarnation in The Next Generation. Theiss had, and gave to Cawley, discarded blueprints of the 1960s set, as well as original series uniform patterns. Cawley found his calling and embarked on recreation of the set with excruciating attention to detail.

Sickbay: My guide was terrific, knowledgeable and full of lore.
Here the medical scanner is CGI, but in the 1960s, a grip was
needed just to move the little white indicators up and down
from behind the wall.

A Golden Age of Fan Fiction 

Homage to the past, though, was not Cawley's sole design. In the early 20-aughts, he became the founding producer and "Captain Kirk" star of a Star Trek fan production, New Voyages, later known as Star Trek: Phase II. The highly regarded fan franchise published online 10 episodes from 2004 to 2016, and many original series talents contributed to the show, such as writer David Gerrold and actors George Takei (Hikaru Sulu), Walter Koenig (Pavel Chekov), and Grace Lee Whitney (Janice Rand).

That's where things get interesting from the intellectual property perspective.

Star Trek brand owners Paramount, CBS, and Viacom—their corporate relationships shifted over the years—had mixed feelings about Star Trek fan productions. There were many, though none besides New Voyages had fixed sets.

When Star Trek's popularity waned, fan fiction kept the franchise alive in public imagination. As long as fan projects were not for profit, the corporations were content to look the other way, even striking an agreement at one time with New Voyages. But when Paramount, et al., were on the verge of a new Star Trek TV or film project, they tightened the reins.

The corporate equivocation, in tandem with a committed and creative fan base, allowed Star Trek fan fiction to thrive in a way that is uncommon in the American entertainment space. Nevertheless, corporate indulgence started to wane after J.J. Abrams took the helm of the 2009 film Star Trek and revitalized the franchise. 

 The recreation of Engineering is two stories high, as was the
original after it was augmented for Original Series season 2.
The warp core is about 12 feet deep but looks deeper
because of a forced-perspective design to fool the camera.

Copyright Showdown

Things came to a head in 2015. Alec Peters, an actor in Phase II, raised money and excitement around a new fan-film project, Star Trek: Axanar, teased by a compelling 2014 short, Prelude to Axanar (IMDb). With advances in technology, the production quality of fan films was by then quite good. Paramount meanwhile was closing in on 2016 release of a new feature film in the reboot universe, Star Trek Beyond, and a new TV series, Star Trek: Discovery, was slated for launch in 2017. In the last days of 2015, Paramount sued Peters and the Axanar project for copyright infringement.

The copyright case, and to a lesser extent the trademark case, on fan fiction is really open and shut. Profitable or not, the take-offs are not permissible without license by the rights-holder. There is a fuzzy line at the outer boundary of copyright, where protection of creative product gives way to "the scènes à faire doctrine." But it's not that fuzzy.

Law school learning on copyright impresses on students that eligible works must be "fixed in a tangible medium of expression." That does not mean, however, that only that which is committed to print or film is what is copyrighted.

Fictional facts and storylines also may come within copyright protection. Thus, the estate of Anne Rice can claim copyright over the story of a young vampire who shacks up with the master who turned him, adopts a vampire child, and later gives a tell-all interview. But the scènes à faire doctrine ensures that copyright does not remove mere tropes from the public domain. The Rice estate cannot claim copyright infringement in all stories about blood-sucking, undead creatures who cannot tolerate sunlight.

To put that in Star Trek terms, anyone is free to write a story about a human-led inter-species alliance of space-faring civilizations that explores the galaxy and maintains uneasy relations with warlike enemies. But the closer the author gets to a San Francisco-headquartered federation of planets with warp-drive starships, transporters, phasers, and emotion-averse characters with pointy ears, the more the risk of copyright infringement. The line is fuzzy, but it's not wide.

The problem for fan fiction always is that the stories fans want to tell are the stories that explore the boundaries of the established narrative, the existing fictional universe, and ideally, of the recognizable characters in it. That's exactly what copyright does not allow. 

Many scholars have argued for more expansive interpretation of fair use to allow for fan creativity in the presence of clear disclaimer. There's a whole book about the problem of fan fiction in historical and multi-national perspective by California Western Law Professor Aaron Schwabach. The last chapter of Schwabach's book is titled tellingly, "Fanfic: The New Voyages."

Archivist and professor emeritus in cinema studies at NYU, formerly at UCLA, Howard Besser made the case as to Star Trek in particular, besides other popular properties, such as Harry Potter, that the public commons should be larger. He called out corporate owners such as Viacom and Paramount for overreach with unjustifiably aggressive cease-and-desist letters.

But the fact and law remain, protection of fan work that plainly takes place in the same universe as copyrighted works, even when disclaiming ownership and avoiding recognizable names of fictional places and characters, and omitting trademarked titles, still is a non-starter. The analysis is of the totality. Nena may invoke Captain Kirk passingly in "99 Luftballons," but a fan film in the Star Trek universe treads too far.

The Treaty of Axanar 

It was no surprise, then, that the federal court in Paramount Pictures Corp. and CBS Studios, Inc. v. Axanar Productions, Inc. and Alec Peters refused the defendants' motion to dismiss in May 2016. The case over Axanar was careening toward a jury trial, the parties arguing heatedly over evidence and jury instructions, when suddenly, in the third week of January 2017, Paramount and Peters settled.

Out of the Axanar settlement came a remarkable new document, which articulated and still states the boundaries around what Paramount and CBS will tolerate in Star Trek fan fiction. The guidelines stated severe new limits, including:

• The duration of a fan production is limited to 15 minutes, or one story in two parts for 30 minutes, "with no additional seasons, episodes, parts, sequels or remakes."
• The work may not have "Star Trek" in the main title and must be subtitled, "A STAR TREK FAN PRODUCTION."
• No Star Trek content content may be used, and Star Trek-recognizable costumes and props must be official Star Trek merchandise.
• No creator or actor ever employed in a licensed Star Trek production may work on the project, and no one working on the project may be paid.
• A production must be non-commercial with a budget from fundraising limited to $50,000.

Described by fan fiction enthusiasts as "draconian," the new guidelines made impossible the production of projects fans had come to love. It seemed that no film such as Axanar could proceed. Serial projects such as Phase II had to call it quits. The golden age of streaming Star Trek fan fiction was over.

Prelude to Axanar
movie poster
(presumed ©; illustrative use)

Axanar Fal-Tor-Pan?

Yet, for better or worse, the Paramount-CBS guidelines were far from the last word on Axanar. Secret arbitration over money raised for Axanar followed the 2017 settlement. In 2023, Paramount sued Peters in California Superior Court in Los Angeles, alleging that he never stopped raising money for an Axanar film, and asking the court to affirm the outcome of the arbitration. 

Peters did not appear, and the court entered Paramount's desired order in February 2024. Rights-holder copyright consultant Jonathan Bailey, founder of CopyByte, wrote about the case for his Plagiarism Today. Fans follow developments around Peters and Axanar in the public Facebook group page, AxaMonitor.

Meanwhile, production on Axanar most definitely continued. Six days after Paramount had its way in court in Los Angeles, Axanar wrapped filming on its set, Jonathan Lane reported on his Fan Film Factor. Peters himself gives monthly updates on Axanar on YouTube. 

In the October 2025 Axanar update, posted on October 17, Peters reported on post-production progress on the latest installment of Axanar, to follow Prelude. He referenced the lawsuit, thereby suggesting that subsequent "episodes" (not "films") might comply with the Paramount-CBS guidelines. If that's what he meant, then a single episode of Axanar cannot exceed 15 minutes, shorter than Prelude's 21 minutes, and there can be only two. Yet Peters described Prelude as mere "proof of concept." Confirming Paramount's 2015 fears, Peters said that Prelude was designed to demonstrate that a fan work could be of such high quality as to be technically indistinguishable from an official studio product.

The ultimate extent of Peters's fealty to the guidelines is unclear. I wonder whether he regards them indeed as mere "guidelines"—like the 1976 copyright fair use guidelines that, in my opinion, courts have too often misapplied as hard lines. In the October update, Peters talked about beta testing a new fundraising website. I wonder further whether he's exceeded the cap of the guidelines. He encouraged fan financial support at the Axanar website.

There was really only one corridor for every corridor shot.
Signs and wall fixtures could be changed, and it curved
(behind camera here) for an illusion of more space.

A New New Voyage

The Axanar debacle in 2016 left Cawley in an awkward spot. His one-of-a-kind set reconstruction had little remaining practical use for filming after Phase II folded. Yet adoring fans would bask in the extravagance of the work. He conceived of the Set Tour. Still, without official imprimatur, he would risk legal jeopardy by opening to the public. 

Cawley invited Paramount execs to Ticonderoga to have a look. No doubt, they were skeptical going in. But, at least as a Set Tour guide told the story, the execs were so impressed with Cawley's loving attention to detail that they agreed to license the Star Trek name. Thus, the Star Trek Original Series Set Tour is not, as I had first suspected, a trademark infringement flying under the radar in tiny Ticonderoga. Set Tour tour guides will not volunteer information about Phase II or other fan productions. Whether they're just playing it safe, or that was an agreement with Paramount, I do not know. But guides will answer questions about Phase II if asked.

The Star Trek Set Tour has a deceptively modest exterior.

To Cawley's credit, he always played ball with Star Trek owners. Remember, it was New Voyages that reached an express understanding with Paramount, before Axanar came along. Cawley came by the 1960s set plans honestly, by all accounts, while working for Theiss on the official franchise. And the Captain Kirk of eight New Voyages episodes even scored a cameo as a bridge officer in J.J. Abrams's Star Trek. The Set Tour has hosted original series cast members as guest tour guides. The original Captain Kirk, ninety-four-year-old William Shatner, is expected back in November 2025.

There is, by the way, a USS Ticonderoga in Star Trek, though accounts differ over whether the name is a nod to Cawley, American history, a real-life Ticonderoga, or all of the above. Five U.S. Navy ships have borne the name Ticonderoga, including an aircraft carrier that distinguished itself in World War II and the Vietnam War. In the 1970 epic war film Tora! Tora! Tora!, the Essex-class Ticonderoga served as a set for the slightly smaller Yorktown-class aircraft carrier Enterprise (CV-6, not the later, nuclear-powered Enterprise carrier built in 1961). A great many other Navy carriers lent their names to Star Trek starships, including the Lexington, Saratoga, and Yorktown in The Original Series.

I had a (phaser) blast of a good time at the Star Trek Original Set Tour earlier this month. On my way home from the American Society of Comparative Law annual conference in Montreal, walking through a wonderland of Gene Roddenberry optimism about humanity's future was a welcome antidote to Professor James Q. Whitman's gloomy prognosis for rule of law in the United States.

Set Tour visitors get a turn in the captain's chair amid Cawley's breathtaking recreation of the classic bridge of the starship Enterprise. Ironically in revolutionary-historical Ticonderoga, amid relics from an imaginary future, I've never felt more a part of American history.

(All photos RJ Peltz-Steele CC BY-NC-SA 4.0.)

The Set Tour has tons of artifacts, including ship models, props, and uniforms. Some of the props are recreations, but made so well that they were used in throwback, time-travel episodes, such as Deep Space Nine's 30th anniversary "Trials and Tribble-ations"—besides fan shows such as Phase II.

Foul-ball injuries persist at baseball games

Pixabay CC0 1.0 via Get Archive

The American Museum of Tort Law (AMTL) hosted a Zoom panel Thursday on the problem of foul balls injuring baseball fans.

(UPDATE: Video posted, Feb. 27.)

American tort law students usually are acquainted with the so-called "baseball rule." The "rule" represents the legal supposition that fans who attend baseball games understand and accept the risk that a foul ball might fly into the stands and cause injury. More accurately stated in contemporary terms in American tort law, the "rule" is that a professional baseball enterprise does not have a duty to avert injuries that are part of the game of baseball.

You can tell from my quote marks that I don't like the characterization of "the baseball rule" as a rule, because it's not. The "rule" is oft stated as such in popular culture and too often in law. But it does not represent a consistent "rule" of decision in tort cases. Plaintiff lawyers have circumnavigated it many times, justifiably so. And if the "rule" were a rule, it would be a bad one. Horrific injuries happen too often, such as shattered eye sockets and blinding. Two children were critically injured in the minor leagues in the past season.

You can see the problems even on the face of the "rule." Not everyone who goes to a baseball game knows that there is a danger of being hit by a foul ball, especially the risk of substantial bodily harm in a line drive with a 100-mph exit velocity. Baseball clubs put up some nets specifically to protect fans from these injuries in some places, such as behind home plate, but the nets fall far short of full coverage. Fans sitting in unprotected seats might not see the difference. Certainly fans might not know the scope of potential injury. Finally, the assumption-of-risk doctrine that animates the "baseball rule" was crafted to preclude lawsuits by sport participants. The doctrine has been extended tentatively and sometimes dubiously to fans.

As in many tort cases, the functioning of the tort system in foul-ball cases is being disrupted by arbitration clauses in baseball ticket terms and conditions, and by non-disclosure agreements in settlements. Secrecy impedes tort's norm-setting and deterrence functions. If fans don't understand the danger and frequency of foul ball injuries, they're unlikely to find out from reported cases.

Hosted by Melissa Bird for the AMTL, the panel comprised Ken Reed, Jordan Skopp, and Greg Wilkowski. Reed is Sports Policy Director for League of Fans, a Ralph Nader project that covers the foul-ball problem. Skopp, a New York realtor, is the activist-founder of the grassroots Foul Ball Safety Now!, which hosts a trove of information. Wilkowski is a Chicago lawyer presently representing plaintiffs in a class action against the Peoria Chiefs (e.g., Journal Star).

Sherman speaks on lawyering, Spotlight investigation

Ambassador Robert Sherman
RJ Peltz-Steele CC BY-NC-SA 4.0

Attorney Robert A. Sherman, U.S. ambassador to Portugal from 2014 to 2017, spoke to students, staff, and faculty at the University of Massachusetts Law School today about his experience as a lawyer and diplomat.

Sherman's work experience spans criminal and civil practice, as well as politics and diplomacy. In a tort vein, from 2002 to 2004, Sherman was lead counsel for plaintiffs in sex abuse claims against the Roman Catholic Archdiocese of Boston. Those were among the cases investigated by the Boston Globe "Spotlight" team, whose work was dramatized in the 2015 feature film, Spotlight.

Early in the wave of sex-abuse litigation against the church, Sherman said, plaintiff attorneys faced daunting hurdles, such as statutes of limitations and charitable immunity for the church in state law. Another problem was simply identifying victims. Many victims self-blamed, and a powerful stigma attached to the first persons who came forward. 

As is problematically common in American tort litigation, secrecy in negotiated dispute resolution and non-disclosure agreements in settlements prevented the public from knowing who the perpetrators were and from understanding the scope of the wrongs. The same conditions impeded the Spotlight investigation.

Sherman said that he's spoken publicly only recently about his connection to Globe editor Walter V. Robinson and the Spotlight team. Because of his work on the cases, Sherman said, he knew more than the public, and more than the Spotlight team, about the magnitude of the problem. And he knew who the perpetrators were. Yet bound by attorney-client confidentiality, Sherman said, he could not speak freely. He wrestled with his ethical responsibilities, he said.

Occasionally, Sherman met Robinson on a park bench—like in a spy thriller. Robinson wanted names. Sherman couldn't give them. But Robinson might say, for example, "Our sources tell us to look into Father Shanley." Sherman would respond, "I've heard of Father Shanley." That was all Robinson needed to hear to know that his lead was good.

Sherman and his law firm resolved 385 of 525 victim claims against the church in arbitration, he said.

Law school and working as an attorney well prepared Sherman to be an ambassador, he said, because the job of ambassador boils down to resolving conflicts, if between nations rather than between people.

AI can make law better and more accessible; it won't

Gencraft AI image

Artificial intelligence is changing the legal profession, and the supply of legal services is growing even more disconnected from demand.

The latter proposition is my assessment, but experts agreed at a national bar conference last week that AI will change the face of legal practice for attorneys and clients, as well as law students and professors.

Lexis and Westlaw each recently launched a generative AI product, Lexis+ AI Legal Assistant and AI-Assisted Research on Westlaw Precision. One might fairly expect that these tools will make legal work faster and more efficient, which in turn would make legal services accessible to more people. I fear the opposite will happen.

The endangered first-year associate. The problem boils down to the elimination of entry-level jobs in legal practice. Panelists at The Next Generation and the Future of Business Litigation conference of the Tort Trial Insurance Practice Section (TIPS) of the American Bar Association (ABA) at the ABA Midyear Meeting in Louisville, Kentucky, last week told audience members that AI now performs the work of first- and second-year associates in legal practice.

The change might or might not be revolutionary. Popular wisdom routinely describes generative AI as a turning point on the evolutionary scale. But panelists pointed out that legal research has seen sea change before, and the sky did not fall. Indeed, doomsayers once predicted the end of responsible legal practice upon the very advent of Lexis and Westlaw in displacement of books and paper—a transformation contemporary with my career. Law practice adapted, if not for the better in every respect.

It's in the work of junior attorneys that AI is having the greatest impact now. It can do the background legal research that a senior lawyer might assign to a junior lawyer upon acquisition of a new client or case. AI also can do the grunt work on which new lawyers cut their teeth, such as pleadings, motions, and discovery.

According to (aptly named) Oregon attorney Justice J. Brooks, lawyers are under huge pressure from clients and insurers to use AI, regardless of the opportunity cost in bringing up new attorneys. Fortune 500 companies are demanding that AI be part of a lawyer's services as a condition of retention. The corporate client will not pay for the five hours it takes an associate to draft discovery requests when AI can do it in 1.5.

Observers of law and technology, as well as the courts, have wrung their hands recently amid high-profile reports of AI-using lawyers behaving badly, for example, filing briefs citing sources that do not exist. Brooks said that a lawyer must review with a "critical eye" the research memorandum that AI produces. Insofar as there have been ethical lapses, "we've always had the problem of lawyers not reading cases," Illinois lawyer Jayne R. Reardon observed.

Faster and cheaper, but not always better, AI. There's the rub for newly minted associates: senior lawyers must bring the same scrutiny to bear on AI work that they bring to the toddling memo of the first-year associate. And AI works faster and cheaper.

Meanwhile, AI performs some mundane tasks better than a human lawyer. More than cutting corners, AI sometimes sees a new angle for interrogatories in discovery, Brooks said. Sometimes AI comes up with an inventive compromise for a problem in mediation, Kentucky attorney Stephen Embry said. AI can analyze dialogs to trace points of agreements and disagreement in negotiation, Illinois lawyer Svetlana Gitman reported.

AI does a quick and superb job on the odd request for boilerplate, North Carolina attorney Victoria Alvarez said. For example, "I need a North Carolina contract venue clause." And AI can organize quickly large data sets, she said, generating spreadsheets, tables, and graphics.

What AI cannot yet do well is good jobs news for senior lawyers and professors such as me: AI cannot make complex arguments, Brooks said. In fact, he likes to receive AI-drafted memoranda from legal opponents. They're easily recognizable, he said, and it's easy to pick apart their arguments, which are on par with the sophistication of a college freshman.

Similarly, Brooks said, AI is especially bad at working out solutions to problems in unsettled areas of law. It is confused when its training materials—all of the law and most of the commentary on it—point in different directions. 

In a way, AI is hampered by its own sweeping knowledge. It has so much information that it cannot readily discern what is important and what is not. A lawyer might readily understand, for example, that a trending theory in Ninth Circuit jurisprudence is the peculiar result of concurring philosophical leanings among involved judges and likely will be rejected when the issue arises in the Fifth Circuit, where philosophical leanings tend to the contrary. AI doesn't see that. That's where human insight still marks a peculiar distinction—for now, at least, and until I retire, I hope.

It's that lack of discernment that has caused AI to make up sources, Brandeis Law Professor Susan Tanner said. AI wants to please its user, Oregon lawyer Laura Caldera Loera explained. So if a lawyer queries AI, "Give me a case that says X," AI does what was asked. The questioner presumes the case exists, and the AI follows that lead. If it can't find the case, it extrapolates from known sources. And weirdly, as Tanner explained it, "[AI] wants to convince you that it's right" and is good at doing so.

Client confidences. The panelists discussed other issue with AI in legal practice, such as the importance of protecting client confidences. Information fed into an open AI in asking a question becomes part of the AI's knowledge base. A careless lawyer might reveal confidential information that the AI later discloses in response to someone else's different query.

Some law firms and commercial services are using closed AIs to manage the confidentiality problem. For example, a firm might train a closed AI system on an internal bank of previously drafted transactional documents. Lexis and Westlaw AIs are trained similarly on the full data sets of those proprietary databases, but not, like ChatGPT, on the open internet—Pornhub included, clinical psychologist Dan Jolivet said.

But any limited or closed AI system is then limited correspondingly in its ability to formulate responses. And closed systems still might compromise confidentiality around ethical walls within a firm. Tanner said that a questioner cannot instruct AI simply to disregard some information; such an instruction is fundamentally contrary to how generative AI works.

Law schools in the lurch.  Every panelist who addressed the problem of employment and training for new lawyers insisted that the profession must take responsibility for the gap that AI will create at the entry level. Brooks said he pushes back, if sometimes futilely, on client demands to eliminate people from the service chain. Some panelists echoed the tantalean promise of billing models that will replace the billable hour. But no one could map a path forward in which there would be other than idealistic incentives for law firms to hire and train new lawyers.

And that's a merry-go-round I've been on for decades. For the entirety of my academic career, the bar has bemoaned the lack of "practice ready" lawyers. And where have practitioners placed blame? Not on their bottom-line-driven, profit-making business models, but on law schools and law professors.

And law schools, under the yoke of ABA accreditation, have yielded. The law curriculum today is loaded with practice course requirements, bar prep requirements, field placement requirements, and pro bono requirements. We have as well, of course, dedicated faculty and administrative positions to meet these needs.

That's not bad in of itself, of course. The problem arises, though, in that the curriculum and staffing are zero-sum games. When law students load up on practice-oriented hours, they're not doing things that law students used to do. When finite employment lines are dedicated to practice roles, there are other kinds of teachers absent who used to be there.

No one pauses to ask what we're missing.

My friend and mentor Professor Andrew McClurg, retired from the University of Memphis, famously told students that they should make the most of law school, because for most of them, it would be the last time in their careers that they would be able to think about the law.

Take the elective in the thing that stimulates your mind, McClurg advised students (and I have followed suit as an academic adviser). Explore law with a not-nuts-and-bolts seminar, such as law and literature or international human rights. Embrace the theory and philosophy of law—even in, say, your 1L torts class.

When, like my wife once was, you're a legal services attorney struggling to pay on your educational debt and have a home and a family while trying to maintain some semblance of professional responsibility in managing an impossible load of 70 cases and clients pulling 24/7 in every direction, you're not going to have the luxury of thinking about the law.

Profit machines. What I learned from law's last great leap forward was that the "profession" will not take responsibility for training new lawyers. Lawyer salaries at the top will reach ever more for the heavens, while those same lawyers demand ever more of legal education, and of vastly less well compensated legal educators, to transform and give of themselves to be more trade school and less graduate education.

Tanner put words to what the powers-that-be in practice want for law schools to do with law students today: "Train them so that they're profitable."  In other words, make billing machines, not professionals.

Insofar as that has already happened, the result has been a widening, not narrowing, of the gap between supply and demand for legal services. Wealthy persons and corporations have the resources to secure bespoke legal services. They always will. In an AI world, bespoke legal services means humans capable of discernment and complex argument, "critical eyes." 

Ordinary people have ever less access to legal services. What law schools have to do is expensive, and debt-burdened students cannot afford to work for what ordinary people are able to pay.

A lack of in-practice training and failure of inculcation to law as historic profession rather than workaday trade will mean more lawyers who are minimally, but not more, competent; lawyers who can fill out forms, but not conceive new theories; lawyers who have been trained on simulations and pro bono hours, but were never taught or afforded an opportunity to think about the law. 

These new generations of lawyers will lack discernment. They will not be able to make complex arguments or to pioneer understanding in unsettled areas of law. They will be little different from and no more capable than the AIs that clients pay them to access, little better than a human equivalent to a Staples legal form pack.

These lawyers will be hopelessly outmatched by their bespoke brethren. The ordinary person's lawyer will be employed only because the economically protectionist bar will forbid direct lay access to AI for legal services.

The bar will comprise two tribes: a sparsely populated sect of elite lawyer-professionals, and a mass of lawyer-tradespeople who keep the factory drums of legal education churning out form wills and contracts to keep the rabble at bay.

The haves and the have nots. 

It's a brave new world, and there is nothing new under the sun.

The first ABA TIPS panel comprised Victoria Alvarez, Troutman Pepper, Charlotte, N.C., moderator; Laura Caldera Loera and Amanda Bryan, Bullivant Houser Bailey, Portland, Ore.; Professor Susan Tanner, Louis D. Brandeis School of Law, Louisville, Ky.; and Justice J. Brooks, Foster Garvey, Portland, Ore. The second ABA TIPS panel referenced here comprised Svetlana Gitman, American Arbitration Association-International Center for Dispute Resolution, Chicago, Ill., moderator; Stephen Embry, EmbryLaw LLC and TechLaw Crossroads, Louisville, Ky.; Reginald A. Holmes, arbitrator, mediator, tech entrepreneur, and engineer, Los Angeles, Cal.; and Jayne R. Reardon, Fisher Broyles, Chicago, Ill.

Consumers turn tables against corporate defense in compelled arbitration of information privacy claims

Image via www.vpnsrus.com by Mike MacKenzie CC BY 2.0

Consumer plaintiffs turned the usual tables on corporate defense in the fall when a federal court in Illinois ordered Samsung Electronics to pay millions of dollars in arbitration fees in a biometric privacy case.

In the underlying arbitration demand, 50,000 users of Samsung mobile devices accuse the company of violating the Illinois Biometric Information Privacy Act (BIPA). BIPA is a tough state privacy law that has made trans-Atlantic waves as it fills the gap of Congress's refusal to regulate the American Wild West of consumer privacy.

Typically of American service providers, Samsung endeavored to protect itself from tort liability through terms and conditions that divert claims from the courts to arbitration. The (private) U.S. Chamber of Commerce champions the strategy. Arbitration is reliably defense-friendly. Rumor has it that arbitrators who don't see cases corporations' way don't have long careers. And companies bask in the secrecy that shields them from public accountability. (Read more.)

Resistance to compelled arbitration has been a rallying cause of consumer advocates and the plaintiff bar. For the most part, resistance has been futile. But consumer plaintiffs appear to have a new strategy. The Chamber is not happy.

In the instant case, consumers alleging BIPA violation were aiming for arbitration. Arbitration rules, endorsed by Samsung's terms, require both sides to pay toward initial filing fees, a sum that adds up when 50,000 claims are in play. The consumers' attorneys fronted their share, but Samsung refused. The company weakly asserted that it was being scammed, because some of the claimants were deceased or not Illinois residents, both BIPA disqualifiers.

Samsung must pay its share of arbitration filing fees for living Illinois residents, the district court answered, at least those living in the court's jurisdiction. Many of those consumer claimants were identified with Samsung's own customer records. A few whom Samsung challenged, the claimants dropped from their number. Even when the court pared the list to consumers in Illinois's federal Northern District, roughly 35,000 were still standing.

"Alas, Samsung was hoist with its own petard," the court wrote, quoting Shakespeare. The court opined:

Samsung was surely thinking about money when it wrote its Terms & Conditions. The company may not have expected so many would seek arbitration against it, but neither should it be allowed to “blanch[] at the cost of the filing fees it agreed to pay in the arbitration clause.” Abernathy v. Doordash, Inc., 438 F.Supp. 3d 1062, 1068 (N.D. Cal. 2020) (describing the company’s refusal to pay fees associated with its own-drafted arbitration clause as “hypocrisy” and “irony upon irony”).

The American Arbitration Association, the entity with which the claimants filed pursuant to Samsung's terms, estimated Samsung's tab at $4.125 million when the number was still 50,000 claims.

Attorneys Gerald L. Maatman, Jr., Rebecca S. Bjork, and Derek Franklin for corporate defense firm DuaneMorris warned:

As corporations who employ large numbers of individuals in their workforces know, agreements to arbitrate claims related to employment-related disputes are common. They serve the important strategic function of minimizing class action litigation risks. But corporate counsel also are aware that increasingly, plaintiffs’ attorneys have come to understand that arbitration agreements can be used to create leverage points for their clients. Mass arbitrations seek to put pressure on respondents to settle claims on behalf of large numbers of people, even though not via the procedural vehicle of filing a class or collective action lawsuit. As a result, corporate counsel should carefully review arbitration agreement language with an eye towards mitigating the risks of mass arbitrations as well as class actions.

Samsung wasted no time appealing to the Seventh Circuit. The case has drawn a spate of amici with dueling briefs from the Chamber and associates, favoring Samsung, and from Public Justice, et al., favoring the consumer claimants.

The district court case is Wallrich v. Samsung Electronics America, Inc. (N.D. Ill. Sept. 12, 2023), opinion by Senior U.S. District Judge Harry D. Leinenweber. The appeal is Wallrich v. Samsung Electronics America, Inc. (7th Cir. filed Sept. 25, 2023).

Can Arsenal supporter be impartial in football inquiry?

A curious story of lawyering ethics and football allegiance broke in mid-May, just after I went off contract with UMass Law and left the States for a chunk of the summer.

Manchester City Football Club (City, or MCFC), my team, won a historic "treble" over the summer, topping the Premier League, FA Cup, and UEFA Champions League.

Thomas Jefferson, me, and a City kit
at Hofstra University, 2016
Morgan Steele CC BY-NC-SA 4.0

While City was on its spring tear, a modest shadow was cast by allegations of violations of "fair play" financial regulations in the Premier League for transactions dating to 2009 to 2018. From as much as is publicly known, the allegations focus on financial transparency requirements. Any ultimate finding of violation can have consequences going forward, ranging from fines to relegation from top-tier play.

City denies any misfeasance. In 2020, the Court of Arbitration for Sport (CAS) reversed a UEFA suspension of City for alleged violation of the financial regulations related to transactions from 2012 to 2016. The CAS decision was based principally on the exclusion of dated evidence, so the matter was not resolved on the merits. City then also denied any wrongdoing.

The present allegations, which themselves are reported to arise from a four-year investigation, have been referred to an independent commission. Its behind-closed-doors work will take a while. And City can be expected to litigate any adverse result.

The piece of the story that caused me to scratch my chin in May was the report that City had filed objection to the appointment of an Arsenal FC supporter, Murray Rosen KC, as chair of the independent commission.

Under rules of professional conduct in American law practice, being a fan of a sport team would not preclude a lawyer from representing a competitor. American Bar Association (ABA) Model Rule 1.7 focuses on conflicts in legal representation, not matters of social affiliation. Of course, the question comes down to the lawyer's ability to do the job "competent[ly]" and "diligent[ly]," so it's always possible for a lawyer to be compromised by sporting fervor. The best course is disclosure and client consent.

For a judge, ABA Model Code of Judicial Conduct Rule 2.11 similarly, probably, would not demand a sport-fan judge's recusal from a matter involving a competitor. The requisite "personal bias or prejudice" is usually indicated by concrete evidence such as financial interest, familial affiliation, or former representation, not social preference.

More than lawyer ethics, the judicial canons give weight to public perception, testing expressly for objective perception of impartiality. But being a sport fan, absent economic investment, doesn't move that needle.

For example, in a fraud lawsuit settled confidentially five years ago, plaintiffs accused the New York Giants and players, including quarterback Eli Manning, of American football, of passing off memorabilia falsely as game worn. The plaintiffs asked New Jersey Superior Court Judge James J. DeLuca to recuse, because he was a Giants fan and, with his son, owned professional seat licenses—that's something, economically—to attend Giants games. DeLuca declined to recuse and pledged on the record his ability to remain impartial. All good, legal commentators opined. (E.g., NJ.com.)

JAMS guidelines for arbitrators are at least as permissive. Like the judicial canons, the guidelines look to both actual conflict and objective appearance of conflict. JAMS guidelines expressly condone "social or professional relationships with lawyers and members of other professions" as long as they do not "impair impartiality."

I don't know what ethics constraints pertain to Rosen, but I'm doubtful they are any more demanding. I also don't know, though, how deeply Rosen bleeds Arsenal red and white. City's filing is secret, so it's possible there's evidence of conflict that the public can't see.

Nothing in Rosen's public record raises a red flag. Based in London, he's a CAS-certified arbitrator and mediator. Any European professional, especially a Brit, and especially someone working in sport law, can be expected to favor a club or two in association football. Rosen was called to the bar in 1976. He's practiced media, sport, and art law and has served in a wide range of offices, even once chairman of the board of appeal of English Table Tennis.

A biography of Rosen at 4 Square Chambers, pre-dating the City matter, reported:

He is a strong believer in fairness and in the power and benefits of sport and has a keen appreciation of its social, political and financial aspects. He has participated in sport all his life, is a member of the MCC [I presume, Marylebone Cricket Club] and Arsenal FC, and still regularly plays real tennis and ping pong.

A 2019 biography at Herbert Smith Freehills mentioned in parentheses that Rosen "is an Arsenal season ticket holder." Arsenal of course was a contender for trophies City won in the end in its treble. But, at least upon what is publicly known, Arsenal has no direct interest in the financial regulatory matters, any more than another competing club.

The objection to Rosen might be part of a kitchen-sink litigation strategy, or, more likely, a public relations strategy. It's frustrating not being able to know the substance of the objection (or nearly anything about sport governance matters that wind up before CAS). On the public record, at least, the objection on ethics grounds doesn't seem to hold water.

In any event, the allegations against City do nothing to dampen my celebration of the treble! I wore my Erling Haaland kit to law school orientation just last week.

FOI seminar shines light on transparency research

In fall 2022, students in my freedom-of-information (FOI) law seminar produced another range of compelling research papers in which they inquired into hot issues in the law of access to government.

It's been my privilege to teach a law school seminar in FOI since 2004. For other teachers who might like to include FOI in the higher ed curriculum, my 2012 casebook and companion teaching notes are now available in full on my SSRN page. Please contact me if my contemporary syllabus or other materials can be of help. I teach the law of access broadly, from state law to federal, and in all branches of government. Students moreover are encouraged to pursue research projects in any vein of transparency and accountability, including access to the private sector, which has been a focus in my research, too.

In fall 2022, my students had the fabulous opportunity to participate contemporaneously in the online National FOI Summit of the National Freedom of Information Coalition (NFOIC).  I'm grateful to NFOIC President David Cuillier and Summit Organizer Erika Benton for making our participation possible.

My fall class was joined by a number of guest speakers who vastly enhanced students' exposure to FOI law, research, and practice. I am especially grateful to Professor Alasdair Roberts, UMass Amherst, who joined us live to talk about all things FOI, from his classic book Blacked Out (Cambridge 2012) to the implications for transparency and accountability of the research in his latest book, Superstates (Wiley 2022).

I thank Professor Robert Steinbuch, Arkansas Little Rock, who joined us to discuss his tireless work as an advocate in the legislature for transparency. He now writes powerfully about transparency and accountability as a regular columnist for The Arkansas Democrat-Gazette, and he is author of the treatise, The Arkansas Freedom of Information Act (LexisNexis 8th ed. 2022). I thank Professor Margaret Kwoka, Ohio State, who took time away from her ongoing FOI research in Mexico to join us to talk about that work and her recent book, Saving the Freedom of Information Act (Cambridge 2021).

I also thank attorney Alyssa Petroff and current law student Megan Winkeler, who joined us via Zoom to talk about their FOI research.  An alumna of my FOI seminar (as well as Comparative Law) and now a judicial law clerk for the Maine Supreme Court, Petroff discussed her recent article in The Journal of Civic Information on access to information about private prisons in Arizona.  An alumna of my 1L Torts classes, Winkeler has four years' experience in negotiation and mediation training and currently is researching negotiated rule-making in administrative law.

Here are the students' ambitious projects.

Madison Boudreau, The Benefits and Drawbacks of Reform Targeting Police Misconduct. The movement to increase public access to police misconduct and disciplinary records has proven to be a beneficial and necessary step toward heightened transparency and accountability of police departments and officers. However, states that have taken strides to open up access to these records continue to grapple with the ongoing barriers to public access despite their efforts. States seeking to implement similar changes to their open records laws will benefit by remaining aware of potential drawbacks to access despite reform. In the absence of impactful reform that effectively mandates the disclosure of these records, police departments have shown to prefer to remain under a cover of darkness, their internal personnel procedures left unchecked. As a result, the cycle of police secrecy is bound to viciously repeat itself.

Aaron Druyvestein, The Rise of Vexatious Requester Laws: Useful Regulation or Evasive Government Practice? The concept of freedom of information allows anyone to request any agency record for any reason, a model that has been replicated around the world and celebrated as a necessity for promoting democracy. The underlying goals of FOI to promote accountability are contingent on the government providing a strong and efficient FOI system. However, with the dramatic increase in FOI requests in the country, brought about in large part by better utilization of technology in FOI processes, there has been an increase in the burden on administrative agencies as a result of excessive, repetitive, or vindictive FOIA requests. Since 2010, governments' responses to these burdensome requests have resulted in the creation of so-called vexatious requester laws, which are intended to mitigate the effect of these requests on agencies.

Critics of vexatious requester laws argue that the laws are nothing more than a feeble attempt by the government to undermine otherwise valid records requests under the guise of improving government efficiency and reducing requester harassment. Concerns have been expressed that the laws' reliance on ambiguous terminology such as "vexatiousness" will give agencies discretion to deny requests based on subjective and unverifiable agency determinations of the requester's intent or motives for requesting. This paper analyzes the rise and application of vexatious requester laws as seen in the three states—Illinois, Connecticut, and Kentucky—that have passed statutory provisions permitting administrative agencies to deny requests to vexatious requesters. In addition, this paper investigates the policy implications of such laws on the broader FOIA system.

Alise Greco, Read It Before You Eat It: An Explicatory Review of the 2016 Nutrition Facts Label and Balancing FDA Transparency with Consumer Comprehension and the Food Industry. As the nation recovers from the COVID-19 pandemic, it is difficult to ignore how drastically the American lifestyle has changed, especially with regard to diet and exercise. The Nutrition Facts Label (NFL), largely meant to influence and assist consumer decision-making for food and beverages, was last updated by the U.S. Food and Drug Administration (FDA) in 2016. This paper explains the 2016 NFL regulation in greater detail in light of a current need by many Americans to make informed, healthier choices based on science rather than social media or misleading, corporate-designed packaging. The FDA is put under the microscope and evaluated on its ability to balance the needs of consumers to be provided transparent, useful information and the demands from industry to make a profit.

Nicholas Hansen, Only Those Who Count The Vote Matter: A Comparative Examination of Arizona and Federal Transparency Regulations Pertaining to Election Data and Procedure and Their Impact on Citizen Confidence in Democracy. This analysis details the protections afforded under the state of Arizona’s election data exemptions under both the Arizona Open Meetings Act and the Arizona Open Records Act, and provides comparisons to the protections afforded under similar exemptions provided at the federal level. Characterizations of the election data and procedural protections for both levels of government are offered, and examinations of what information is permitted for provision under FOIA requests substantiate these characterizations. This analysis proceeds with an understanding that examinations must be confined to information that is both the subject of and relevant to either historical or ongoing FOIA requests, rather than the information made available to the public through the procedures associated with courtroom disclosures. 

This author posits that Arizona’s trend toward enforcing relative transparency when courts are compelled to examine the efficacy and validity of local election procedures might serve as a model for states whose courts are less inclined toward making such information available to the public at large. Recent lawsuits, including those associated with the largely settled controversies alleged pertaining to the 2020 Presidential election, and those suits pertaining to the use of Dominion Voting System’s voting machines substantiate this advocacy.

This analysis concludes with a determination as to whether or not Arizona’s FOIA exemptions as they pertain to election data and procedural information inspire greater public confidence than those utilized at the federal level. Also offered are policy recommendations as to how the Arizona judiciary might be able to better handle future election data and procedural controversies by utilizing the already extant tools within the FOIA rules, as well as policy recommendations for legislative reform in other states and the federal level, should local legislators and Congress see fit to implement a more transparent, more accessible system of legal procedures to deal with future election controversies.

Mitchell Johnson, Transparency and Tragedy: How the Texas Public Information Act is Being Weaponized After Uvalde, Yet Can Be Used for Good. This comment examines the Texas "law enforcement exception" under the Texas Public Information Act (PIA) regarding the mandamus lawsuit that several media outlets filed to obtain records from the Department of Public Safety (DPS) after the Robb Elementary shooting on May 24, 2022. The paper focused on the DPS, and not on another law enforcement agency at the scene of the shooting on May 24, because of the actions of Colonel Steven McCraw. Colonel McCraw, the highest ranking official in the DPS, has provided inconsistent accounts to the public of what occurred on May 24. This comment also examines the specific exceptions that the DPS claims. The DPS claims that the records that are sought for disclosure are either (1) records relating to an active investigation, or (2) records that relate to the purposes of law enforcement. The DPS’s current utilization of these exceptions is not grounded in law. No criminal investigation is taking place because the shooter is deceased. Furthermore, while Colonel McCraw has stated that his agency is reviewing his troopers’ and rangers’ actions to determine whether there should be a referral to prosecutors, criminal charges might be futile because of governmental immunity. Also, many of the records requested pertain to "basic information" of a crime that must be disclosed under the PIA. Last, the comment proposes that the PIA should be amended to incorporate case law and create a "criminality showing" if a law enforcement agency wishes to withhold documents under an active investigation exception.

Ashley Martinez-Sanchez, The New Jersey Open Public Records Act and the Public Interest in a Narrow Statutory Interpretation of the "Criminal Investigatory" Exemption. The New Jersey Open Public Records Act (OPRA) expresses a strong public policy in favor of open and transparent government. OPRA champions the idea of a citizen's right of access to government records to ensure an informed public. However, transparency is not absolute. The OPRA permits secrecy for ongoing law enforcement investigations.  Courts should narrowly read the "criminal investigatory" exemption. This paper analyzes the evolution of the exemption over the years. It further examines what the future looks like for it in the legislative and judicial context.  I reference New Jersey case law and recent events in the state to contextualize the importance of narrowly reading the exemption. Inversely, the paper suggests that a narrow interpretation of the exemption not only would impede transparency efforts, but would raise civil rights concerns, particularly for marginalized and vulnerable communities in New Jersey. 

Marikate Reese, Police Accountability: Does it Really Exist? This paper demonstrates the power of police unions, and their contracts, in limiting accountability, transparency, and access.  The contracts are the catalyst to shielding officers from disciplinary actions, limiting civilian oversight, and restricting access to misconduct records. While states, such as New York, have become more transparent with their records, the unions still dictate a large part of police procedure.  This procedure includes, but is not limited to, delay of officer interrogations, obstructing investigations of misconduct, and destroying disciplinary records.  The procedures are safeguards put in place by collective bargaining practices, law enforcement bills of rights, and civil labor law protections.  The overall purpose of these safeguards is to establish rights, protections, and provisions for law enforcement officers including the arbitration process, training standards, and process of investigation. This paper provides a brief coverage of the protections afforded by collective bargaining, police bills of rights, and civil labor laws that stand in the way of the public transparency barriers and racial injustice.  Furthermore, this paper addresses how these procedural protections limit accountability while taking a look at the existing laws among various states.  This paper suggests several ways states have made strides for accountability and what limitations might arise as a result.

James Stark, What's the Deal with Doxing? Doxing is an entropic issue plaguing today’s society. Defining what it means to be “doxed” has been a problem that’s compounded by the fact that not all forms of doxing are equal. Some play a useful role in public discourse, while other forms of doxing enable harassment of private citizens. The current anti-doxing laws can be summed up in three categories. First are the “incidentals,” which tend be older laws that just incidentally happen to address doxing in some way due to the language used. The second category is “Daniel’s Law,” which is a law that has picked up traction for trying to protect public officials from doxing and its harms. Lastly are the “general” statutes, which were crafted to specifically fight doxing in general and protect as many people as possible from doxing. In order to properly combat doxing, legislatures need to agree that doxing is the unwanted release of personal or identifying information about an individual as a form of punishment or revenge, and that it can affect anyone, in government or not. The legislatures must focus on creating “general” statutes, and tailor the laws to protect the individuals, while allowing discourse around public officials. A poorly written anti-doxing law will result in either censorship or inadequate protection of individual Americans.

Marco Verch Professional Photographer via Flickr CC BY 2.0

Chad Tworek, Public But Private Athletic Departments. This paper address the Florida state policy that allows public universities to designate their athletic departments as private, thus evading the records requests for which compliance is required for any other public agency. In Florida, there are athletic departments at public universities that are private. While they are not funded by the university, they still act as an agent of the university and are afforded the same protections as public universities. If anyone is to sue these departments and seek to claim damages, there is a statutory cap on damages, $200,000. The cap pertains because courts find them to be mere components of the public entities they serve. Yet protection from public records requests allows these departments to accumulate money in secret and to spend without accountability. Such organization of athletic departments is moreover occurring elsewhere in the United States. The impact is to keep the public in the dark about how these arms of government do business.

In shadow of Ukraine war, webinar tells story of UN Genocide Convention, Polish-Jewish jurist Lemkin

The Jagiellonian Law Society and its President Elizabeth Zechenter, a visiting scholar at Emory, have put together another superb program prompted by the legal implications of the war in Ukraine.

"Lemkin, Genocide, and the Modern World" will run on Zoom in two parts, the first on December 1, 2022, at 12 noon U.S. EST, 1700 GMT, and the second in January, TBA. Free registration is required.

Here is a summary:

You are invited to a webinar on Raphael Lemkin, the UN Genocide Convention, and the likelihood of prosecution of the crime of genocide. Distinguished academics will discuss Lemkin and the Genocide Convention in light of the recent Russian aggression in Ukraine. Lemkin was Polish and Jewish and survived WWII. He had complex, divided loyalties and life experiences that influenced his work. He is often portrayed as a lone ranger, but he was effective in gaining support for his ideas, especially among women groups, who made the convention possible. Lemkin had a complex relationship with Stalin, which influenced his approach to the convention.

The Holocaust Encyclopedia has more on Raphael Lemkin.

Speakers include:

• Professor Donna Lee-Frieze, Deakin University, Melbourne, Australia, a genocide studies scholar specializing in memory and aftermath; 
• Professor Doug Irvin-Erickson, Carter School Director of the Genocide Prevention Program at George Mason University;
• Professor A. Dirk Moses, Australian historian teaching in political science at the City College of New York, CUNY;
• Professor Roman Kwiecien, Department of International Law at Jagiellonian University, arbitrator at the Permanent Court of Arbitration in the Hague) and the Court of Conciliation and Arbitration within the OSCE in Geneva;
• Professor Marcin Marcinko, Jagiellonian University Law School, chair of the National Commission for Dissemination of International Humanitarian Law at the Main Board of the Polish Red Cross, and co-organizer of the Polish School of International Humanitarian Law of Armed Conflict.

The Jagiellonian Law Society hopes also to feature contributions from Ukrainian scholars, arrangements pending.

The program is a result of the collaboration of the Jagiellonian Law Society with support from the International Human Rights and Women Interest Committees of the American Bar Association; the New York State Bar, New York City Bar, and New Jersey Bar; the Department of Russian and East European Studies at the University of Pennsylvania; and the School of Diplomacy and International Relations at Seton Hall University.

Again, registration is free.

EEOC withholds records in arbitration matters; corporate frustration with secret justice is ironic

Janet Dhillon

According to employers' lawyers, the Equal Employment Opportunity Commission (EEOC) is denying public access to investigation files in matters committed to arbitration, even while conceding that files in litigation matters must be disclosed under the federal Freedom of Information Act (FOIA).

Yesterday the Labor and Employment Law Practice Group of the Federalist Society held a teleforum with the provocative title, "Is the EEOC misusing the Freedom of Information Act to penalize employers that adopt mandatory employment arbitration programs?" Here is the description:

The EEOC is denying employers' FOIA requests for the EEOC's charge investigation files when resulting employment claims are proceeding in arbitration rather than litigation. Our panel will discuss whether the EEOC's justifications for denying such FOIA requests are consistent with FOIA and other governing federal statutes. We will consider a number of related issues. What is the EEOC's basis for treating litigation and arbitration differently in responding to employers' FOIA requests?  How long has the EEOC been making this distinction between litigation and arbitration? In light of the increasing prevalence of employment arbitration, should employers challenge the EEOC's FOIA practices and, if so, how?

Speakers included EEOC Commissioner Janet Dhillon and Jones Day attorney Eric Dreiband.

I regret, I didn't make it. My guess is that the EEOC is denying access on basis of the various exemptions for law enforcement investigation records, besides deliberative process. Without having heard either side of the debate, my inclination, probably like Dreiband's, is to doubt seriously the viability of any asserted distinction between arbitration and litigation.

What I find compelling about the case, though, is less the effort at FOIA exemption and more the irony of corporations being stymied on transparency and accountability when mandatory arbitration is a choice of their own design.

I wrote just yesterday about the problem of arbitration superseding litigation as our principal means of dispute resolution. And the fact that arbitration happens in secrecy is a big part of that problem. In litigation, the tort system achieves the important objectives of norm-setting and deterrence, besides the anti-vigilantism I mentioned yesterday. Norm-setting and deterrence, in turn, avert tortious conduct by the same respondent and other actors in the future. Secret justice undermines these objectives. Even the same bad actor can persist in its misconduct without risk of punitive consequences.

I don't approve of selective opacity by EEOC. But there's a scrumptious hypocrisy in companies wanting transparency and accountability in public enforcement mechanisms while they jealously secret their own dirty laundry against the public functions of the courts.