伦理意见279
Availability of Screening as Cure for Imputed Disqualification
*[注:见第279号意见如何受到D .修正案的实质影响.C. 《澳博app下载网》于2007年2月1日生效.]
Screening of a disqualified lawyer can cure imputed disqualification of her law firm only where the disqualified lawyer (1) was not a lawyer when involved in the previous matter on behalf of the now-adverse party, (2)在涉及相关代理时是政府雇员(包括在某些哥伦比亚特区办事处的志愿者服务), 或者(3)从一个没有成为客户的潜在客户那里获得了关于现在的对方的信息. 即使在可行的情况下，筛查也只有在及时建立的情况下才有效.
适用的规则
- 规则1.7 (Conflict of Interest: General Rule)
- 规则1.8(b) (Gifts to 法律yers Not Related to Donor)
- 规则1.9 (Conflict of Interest: Former Client)
- 规则1.10 (Imputed Disqualification: General Rule)
- 规则1.11 (Successive Government 和 Private Employment)
- 规则2.2(中介)
调查
《澳博app》在某些情况下会取消澳博app个人参与案件的资格. 在很多情况下, 一名澳博app被取消资格应归咎于该澳博app事务所的所有其他澳博app. The Committee has received numerous inquiries as to when, 如果有, such imputed disqualification can be cured or avoided by the erection of a screen (sometimes referred to as an “ethical wall”) between the disqualified individual lawyer 和 这件事 in question.
讨论
以下是个别澳博app被取消资格的情况，1 在某些情况下，该澳博app的整个事务所都被取消资格, 三种情况下，归因不合格可以通过筛选治愈, 和 the requisites of such a screen.
1. 个人澳博app资格取消
澳博app个人在下列情况下不得参与
(1)澳博app代表某一委托人的利益冲突, 或者可能会发生冲突, with those of another existing client or of the lawyer, 规则1.7, D.C. 教授规则. 行为(以下简称“D”).C. 规则__”);2
(2) the representation would involve preparation of an instrument giving the lawyer or her relative a substantial gift or legacy from a client who is not her relative, D.C. 规则1.8(b);
(3)澳博app的对方澳博app是她的父母、子女、兄弟姐妹或配偶.C. 规则1.8(h);
(4) the interests that the lawyer would advance on behalf of one client are materially adverse to those of the lawyer’s former client 和 这件事 is the same as, 或实质上与…相关, a matter in which the lawyer represented that former client, D.C. 规则1.9;
(5)事项相同, 或实质上与…相关, 澳博app以政府雇员或志愿者的身份参与的涉及特定当事人或当事人的案件.C. 政府办公室，D.C. 规则1.11(a), (h);
(六)澳博app以中立仲裁员身份亲自并实质上参与同一事项的, D.C. 规则1.12;
(7)该代理将导致违反法律(包括《澳博app下载网》), D.C. 规则1.16(a)(1);
(8)建议的代理是两个或多个客户之间的中间人，符合规则2中的一个或多个条件.2(a) cannot be met; or
(9) the lawyer is likely to be a necessary witness at trial, 在这种情况下澳博app, 除了有限的例外, is disqualified only from serving as an advocate at trial. D.C. 规则3.7; D.C. 澳博app操守行动. 228 (1992).
在充分披露存在后，客户可以放弃其中一些取消资格的原因, 自然, 和 possible consequences of the conflict or other impairment. E.g., D.C. 规则1.7(c); D.C. 规则1.9 & 评论[3].
2. Imputed Disqualification—Currently Associated 法律yers
目前任职澳博app3 are involved 和 an individual lawyer is disqualified under 规则1.7, 1.8(b), 1.9, or 2.2, the disqualification is imputed to the lawyer’s entire firm.4 D.C. 规则1.10(a) & 评论[6]. 因此，算入的取消资格并不适用于上述所有个人取消资格的情况. 在列出的其余情况中, 不能将个别澳博app的资格丧失归咎于事务所的其他成员, 虽然自愿设置一个屏幕可能有助于确保一个不合格的个人澳博app不会无意中参与, or disclose confidences or secrets relating to, a matter from which she is disqualified.
取消某一澳博app作为审判澳博app的资格，因为该澳博app很可能是必要的证人, 看到 D.C. 规则3.7(a); D.C. 澳博app操守行动. 228 (1992), 只有当澳博app个人也因利益冲突而被取消资格时，才会归咎于澳博app事务所.7 or 1.(例如，个别澳博app被期望提供对客户不利的证词). D.C. 规则3.7(b).
3. Imputed Disqualification—法律yers Changing Jobs
Private sector job to private sector job. 当一名澳博app从一个私营部门的职位转到另一个职位时，也可能出现被推定为丧失资格的情况. 第一个, 被取消资格的澳博app新联营的澳博app事务所，在被取消资格的澳博app的事项上，被取消资格 就我个人而言 represented the adverse party while a lawyer at a different firm, 和 the disqualified lawyer actually acquired confidences or secrets of the adverse party in that capacity that are material to 这件事 at the new firm, 和 该事件与前公司的事件相同，或实质上相关. D.C. 规则1.10(b) & 评论[16]，[19].5 第二个, 被取消执业资格的澳博app已离开澳博app事务所的, that firm is disqualified in a new matter that is the same as, 或实质上与…相关, 离职的澳博app代表公司现在不利的前客户的案件. D.C. 规则1.10(c) & 评论[20]. 被取消资格的澳博app在进行事前代理时不是澳博app的情况, there is no imputed disqualification, D.C. 规则1.10(b) & 评论[21], 但是必须在被取消资格的澳博app和事务所的其他澳博app之间建立屏障, D.C. 澳博app操守行动. 227 (1992). 在目前联合澳博app和换工作的澳博app的情况下, imputed disqualification under 规则1.10 can be waived “under the conditions stated in 规则1.(例如，充分披露冲突及其潜在的不利后果). D.C. 规则1.10(d).
从公共部门到私营部门. When the move is from a public sector to a private sector job, imputed disqualification of the private firm occurs where the disqualified lawyer participated 就我个人而言 和 substantially while a public officer or employee (including work as a volunteer for the D.C. 公司法律顾问或D.C. Financial Responsibility 和 Management Assistance Authority)6 在涉及一个或多个特定当事人的相同或实质上相关的事项中, 即使私人公司对澳博app以前的代理公司没有异议. D.C. 规则1.11. Imputed disqualification does not occur, 然而, 如果被取消资格的澳博app仅仅作为司法书记员参与现在的敌对方. D.C. 规则1.11(b) & 评论[6]. 因此，在这种情况下没有筛查要求，D.C. 规则1.评论[6]，尽管安装屏幕可能是谨慎的.
4. Screening as a Cure for Impaired Disqualification7
Screening over the objection of an affected client generally cannot cure a firm’s imputed disqualification where the disqualified individual attorney was in private practice when the disqualifying representation occurred.8 当被取消资格的个人澳博app在被取消资格的代理发生时是政府雇员时，通常可以进行筛选.
根据规则1取消资格.10. 除两个例外情况外，筛选不能避免规则1规定的推定取消资格.10. 第一个异常发生在:
the individual lawyer’s disqualification results solely from the fact that the lawyer consulted with a potential client for the purpose of enabling that potential client 和 the firm to determine whether they desired to form a client-lawyer relationship, but no such relationship was ever formed.
D.C. 规则1.10 (a) (eff. 11月. 1, 1996).9
为避免在这种情况下整个商行被取消资格，商行:
must take affirmative steps—as soon as an actual or potential conflict is suspected—to prevent the 就我个人而言 disqualified lawyers from disseminating any information about the potential client that is protected by 规则1.6, except as necessary to investigate potential conflicts of interest, 给公司里的其他人, 包括非澳博app人员.
D.C. 规则1.10评论[9]. 11月. 1, 1996).10
The disqualification of individual lawyers will extend not only to those who met with the potential client but also to all firm lawyers who have received confidences or secrets of the potential client. Id. 评论[8]. 在某些情况下, 如果一家律所的相当一部分澳博app被取消资格，可能会导致整个律所被取消资格. 看到 D.C. 澳博app操守行动. 275 (1997); 卡拉v. 铝冶炼 & 炼油有限公司.公司.俄亥俄州街81号. 3d 1, 10, 688 N.E.2d 258， __ (1998); 沃森v. Ameredes, C.A. No. 03- a -01-9704- cv - 00129,1997田纳西州. 应用程序. Lexis 884 (Ct. 应用程序. 12月. 10, 1997) (small size of firm increases chances of inadvertent breach of screen) (alternative holding); Mass. 教授规则. 进行1.10评论[10]. 1月. 1, 1998)(可能很难在小公司成功筛选信息).
第2种情况，即根据第1条进行筛选可消除推定的取消资格的情况.10是指被剥夺资格的人在获得现在的对方的机密或秘密时不是澳博app. D.C. 规则1.10(b)(交叉参照)D.C. 规则1.6(g) & 评论[21]). 被取消资格的人是否后来成为澳博app，需要进行筛选.C. 规则1.10(b) & 评论[21], or remains a nonlawyer (e.g., a summer law clerk, a paralegal, or a clerical employee), D.C. 澳博app操守行动. 227(1992)(引用美国澳博app协会非正式文件). 88-1526 (1988)). 在后一种情况下，需要进行筛选以保护客户的机密和秘密. In the former case, issues regarding loyalty are present as well.
规则1.10没有说明哪些具体行动构成充分的筛选. 我们的意见227建议使用一种或多种技术，这些技术将在本意见后面讨论. A screen created under this exception generally must be erected at or before the time the conflict—whether caused by the arrival of a lateral lawyer or nonlawyer or by the acceptance of a new matter—occurs. 拉萨尔Nat孩子们. 银行v. 莱克郡, 703 F.2d 252, 259(第七章. 1983); Schiessle v. 史蒂芬斯, 717 F.2d 417,421(第七章. 1983); 纳尔逊v. 绿色建筑公司., 823 F. 增刊. 1439, 1451 (E.D. 威斯康星州. 1993).
根据规则1取消资格.11. Disqualification of a former government employee, including someone who worked as a volunteer for the D.C. 公司法律顾问或D.C. Financial Responsibility 和 Management Assistance Authority, 只有在她的公司没有遵守规则1 (c)至(f)段的规定时，才会被归咎于她.11. D.C. 规则1.11(b) & 评论[3]. 第一个, 个人被取消资格的澳博app必须“禁止以任何形式参与此事” . . . 和 from sharing in any fees resulting therefrom.” D.C. 规则1.11(c). 这“并不禁止澳博app接受事先独立协议确定的工资或合伙份额,” but it does prohibit a firm from “directly relating the attorney’s compensation in any way to the fee in 这件事 in which the lawyer is disqualified.” D.C. 规则1.11评论[11]. 这是, 澳博app在公司利润中所占的比例是在事后决定的吗, the total firm profits need not be recalculated by subtracting the fee for the particular matter but the determination of her percentage should not take that fee into account.
第二个, the disqualified lawyer 和 her firm must notify the lawyer’s former agency 和 the parties to 这件事 in writing before the firm begins the representation. D.C. 规则1.11(d) & 评论[6]. 被个别取消资格的澳博app必须声明她将不参加, discuss with any other lawyer in her firm, 或分享任何费用, 这件事. D.C. 规则1.11(d)(1). One other firm lawyer must state that all affiliated lawyers are aware of the screen 和 must “describ[e] the procedures being taken to screen the 就我个人而言 disqualified lawyer.” D.C. 规则1.11(d)(2). Paragraphs (e) 和 (f) prescribe an alternate procedure for instances where the client “requests in writing that the fact 和 subject matter of a representation” not be disclosed as required by paragraph (d).
As with the second exception under 规则1.10、a规则.11 screen should be in place not later than the time the conflict—whether occasioned by the arrival of a lateral lawyer or nonlawyer or by the acceptance of a new matter—occurs. D.C. 规则1.11评论[7]; 拉萨尔纳特银行, 703 F.2d在259; Schiessle, 717 F.2d在421; 纳尔逊, 823 F. 增刊. at 1451.
“Compliance with the 职业行为准则 does not necessarily constitute compliance with all of the obligations imposed by conflict of interest statutes or regulations.” D.C. 规则1.11评论[13]. 《澳博app下载网》注意到《澳博app下载网》第18条其他法律规定的可能适用性.S.C. §§ 207 和 208 to the conduct of former government employees. D.C. 规则1.11评论[13]. Some agencies also have their own separate rules. E.g., 16 C.F.R. § 4.1(b)(1997)(联邦贸易委员会).
5. 屏幕的特定元素
超出规则1的要求.11(d)(1)不允许被取消资格的个人澳博app参与此事, discuss 这件事 with her colleagues, or share in the fees for 这件事, 也没有报道哥伦比亚特区上诉法院的任何裁决11 也不是D.C. 职业行为准则12 在规则要求或允许的情况下，指明屏幕的特定元素.
Our Opinion 227 和 court decisions elsewhere, 然而, 建议屏蔽应禁止(1)个别被取消资格的澳博app参与此事, (二)被取消资格的澳博app与参与代理的事务所人员之间的讨论, (3)被取消资格的澳博app有权查阅她被筛选的案件的任何文件(包括电子存储的文件), (4)从事该事项的澳博app有权查阅被取消资格的澳博app与该事项有关的任何档案. 看,e.g.拉萨尔纳特银行, 703 F.2d在259; 阿姆斯特朗v. McAlpin, 625 F.2d 433, 442-43 (2d Cir. 1980年)(全体会议); 因其他原因腾空, 449 U.S. 1106 (1981); Kesselhaut v. 美国, 214 Ct. Cl. 124, 555 F.2d 791 (Ct. Cl. 1977); 规则1.10 (e),质量. 教授规则. 行为(eff. 1月. 1, 1998); 规则1.10(e)，教授规则. 行为,你.S. 经销. Ct., N.D. 生病了.;13 D.C. 澳博app操守行动. 227 (1992). 除了, 应书面通知事务所的所有人员和客户有关屏幕的事实和元素. 卡拉俄亥俄州街81号. 10 688北纬的3d.E.2d at __; 看到 规则1.10 (e),质量. 教授规则. 行为(eff. 1月. 1, 1998); D.C. 澳博app操守行动. 227 (1992). 在适当的情况下, 例如，被取消资格的澳博app工作地点离办理该事务的人员较近, 文件保护元素可以包括标记文件以反映访问禁止, 看到 D.C. 澳博app操守行动. 227 (1992), or even maintaining files in a secure location, e.g., Kesselhaut, 214 Ct. Cl. 127- 28,555华氏度.2d 793(文件保存在上锁的柜子里，钥匙由两个伙伴控制，只在需要知道的基础上发放); 戴尔-瓦尔金融公司. 证券诉讼, 158 F.R.D. 270, 273 (S.D.N.Y. 1994) (locked, limited-access room).14
通过:1998年3月18日
调查没有. 97-10-47
1. 这一意见并不涉及即使在冲突情况下澳博app个人也不丧失资格的情况. 看,e.g., D.C. 规则1.7(d) (midstream conflicts); D.C. 澳博app操守行动. 272(1997)(可以终止一个客户的代理以避免与另一个客户发生冲突的情况).
2. 因这一原因而被取消资格的情况包括澳博app的无能力(由于规则1的结构).6) to impart or make use of secrets or confidences gained from another client or potential client substantially inhibits the lawyer’s ability to represent her client. 看到维.C. 规则1.10 cmt. [7]; D.C. 澳博app操守行动. 237 (1992).
3. 关于取消资格的规则区分了澳博app和非澳博app.g., D.C. 规则1.10(b); D.C. 规则1.6(g); D.C. 澳博app操守行动. 227(1992)，但不区分合伙人、助理和澳博app. 对被取消资格的澳博app为临时澳博app或合同澳博app的归责讨论, 见我们的意见255.
4. Outside the private practice context, a “firm” includes the legal department of a corporation or other organization 和 the lawyers in a given unit of a legal services organization (though not necessarily the entire legal services organization), 但不一定是整个政府或整个政府机构. D.C. 规则1.10 CMTS [1]-[4].
5. We address the treatment of this issue under the now-superseded D.C. 《澳博app》164(1986)及174 (1986).
6. 规则1.不论政府职位是否名义上是澳博app，第11条都适用.
7. 如上所述, 受影响的客户可以放弃某些个人和归因的取消资格. D.C. 规则1.10(d). 公司有时会自愿设置与此类豁免相关的屏幕.
8. This is the rule in most 美国 jurisdictions. Task Force on Conflicts of Interests, Section on Business 法律, A.B.A., Conflicts of Interest Issues, 50 BUS. 法律. 1381, 1402 (1995). 最近的一项调查显示，只有伊利诺斯州的情况可能正好相反, 密歇根, 俄勒冈州, 宾西法尼亚, 和华盛顿, 和 possibly is the case in Louisiana, 俄亥俄州和田纳西州. 托马斯·D. 摩根 & 罗纳德·D. 圆形大厅，1998年《澳博app》143-53. 马萨诸塞州最近修改了其规则，允许在“没有受规则1保护的实质性信息”的情况下进行横向到达(a)的筛选.6或规则1.或(b)在她以前的公司工作期间既没有实质性参与也没有获得有关该事项的实质性重要信息. 规则1.10 (d),质量. 教授规则. 行为(eff. 1月. 1, 1998). The draft Restatement of the 法律 Governing 法律yers would permit screening where the client confidences or secrets communicated to the individually disqualified lawyer are “unlikely to be significant” in the new matter. Restatement of the 法律 Governing 法律yers § 204(2) & cmt. d(道具. 定稿号. 1, 1996). The Comments concede that this is not the majority rule, id. cmt. d., but a Reporter’s Note contends that “[t]he developing case law . . . 看到ms to be consistent” with the proposed Restatement rule. Id. 记者给CMT的笔记. d.
9. 这种例外情况也适用于个别被取消资格的澳博app在与另一家澳博app事务所合作时获得知识的情况. D.C. 规则1.10 (b) (eff. 11月. 1, 1996).
10. 目前的重述草案将允许在这方面进行筛选. Restatement of the 法律 Governing 法律yers, § 27(1)(b) (Prop. 定稿号. 1, 1996).
11. One decision suggests that where a screen is permitted, 个别被取消资格的澳博app必须被禁止参与咨询和赔偿安排.” Committee for Washington’s Riverfront Parks v. 汤普森，公元前451年.2d 1177, 1192 (D.C. 1982). A 美国 经销rict Court ruling ordered the disqualified lawyer not to “discuss with [his partner representing the codefendant] any information” that the disqualified lawyer received from his former client. 美国诉. 柴尔德里斯，731 F. 增刊. 547, 554 (D.D.C. 1990).
12. Cmt. [9]到规则1.10 requires that protected confidences 和 secrets not pass in either direction between the disqualified lawyer 和 others in the firm but does not offer further particulars.
13. 这条地方法规还要求被取消资格的澳博app“与客户或任何代理人隔绝”, 客户的官员或雇员以及支持或反对客户的证人.规则1.10(e)(2)，教授规则. 行为,你.S. 经销. Ct., N.D. 生病了.
14. 筛选表格的示例见《澳博app下载网》，商业法部分，A.B.A., Conflicts of Interest Issues, 50 Bus. 法律. 1381, 1402-21 (1995).
