伦理意见227

移民靠谱的滚球平台助理和靠谱的滚球平台/归咎取消资格/筛选

如果靠谱的滚球平台助理从a靠谱的滚球平台事务所跳槽到B靠谱的滚球平台事务所, 和 that paralegal is personally disqualified from a matter pending in Law Firm B because the paralegal worked on a substantially related matter at Law Firm A, 靠谱的滚球平台事务所B通常可以通过“筛选”靠谱的滚球平台助理来避免被推定为丧失资格. 然而, it is not permissible for Law Firm B purportedly to "screen" the paralegal from only that portion of the matter that is related to the paralegal's previous work at Law Firm A, 指派靠谱的滚球平台助理处理其他, 同一事物的肯定不相关的方面. 没有A靠谱的滚球平台事务所客户的知情同意, 靠谱的滚球平台助理必须在B靠谱的滚球平台事务所与整个事件有效隔离, 否则靠谱的滚球平台事务所B将面临被取消该事务资格的风险. 在一般情况下, 在移民靠谱的滚球平台的案例中(区别于非靠谱的滚球平台), 筛选加上前客户的同意是必需的.

适用的规则

• 规则1.9(利益冲突:前客户)
• 规则1.10(推定取消资格:一般规则)
• 规则5.3(非靠谱的滚球平台助理职责)

调查

一位靠谱的滚球平台助理在A靠谱的滚球平台事务所工作了两年，最近受雇于B靠谱的滚球平台事务所(询问者). B靠谱的滚球平台事务所代理妻子对丈夫的离婚诉讼. 丈夫是ABC公司的主要所有人. 在A靠谱的滚球平台事务所工作期间，该靠谱的滚球平台助理负责ABC公司的养老金和利润分享计划(以下简称“计划”). 她可以查阅计划的条款，并至少有一次协助编制计划的概要计划说明. 询问者表示，该靠谱的滚球平台助理“不记得”曾访问过该计划的基础财务和会计数据, A靠谱的滚球平台事务所没有为ABC公司或丈夫做过其他法律工作, 靠谱的滚球平台助理在A靠谱的滚球平台事务所工作期间从未见过丈夫. A靠谱的滚球平台事务所没有参与妻子起诉丈夫的离婚诉讼.

该靠谱的滚球平台助理是B靠谱的滚球平台事务所唯一聘用的诉讼靠谱的滚球平台助理, 希望指派她处理夫妻离婚的事宜. B靠谱的滚球平台事务所表示，离婚案件中与计划有关的问题“是[离婚]案件中非常小且容易分离的部分。." The inquirer therefore proposes to implement a protective "screening" procedure so that the paralegal would be isolated from all aspects of the divorce case relating to the Plans, 和 would assist only on the other aspects of the divorce case as if Husb和 was not involved in any pension or profit-sharing plans relevant to the divorce case.

讨论

在一个非靠谱的滚球平台从一个靠谱的滚球平台事务所到另一个靠谱的滚球平台事务所的情况下, 规则1所反映的关于推定取消资格的严格一般规则.第10条不适用，因为规则1.10字面上只指“靠谱的滚球平台”.“不过，规则5.3(a) requires a law firm to make reasonable efforts to ensure that the conduct of all non靠谱的滚球平台s "is compatible with the professional obligations of" the 靠谱的滚球平台s. One of the most fundamental obligations of the 靠谱的滚球平台s that must also be adhered to by the non靠谱的滚球平台s is the preservation of confidences 和 secrets of current clients 和 前的客户. That leads to a consideration of "screening" or an "ethical wall" in the instant case within Law Firm B as a means of ensuring that Husb和's confidences 和 secrets relating to the Plans will be preserved.

At the outset we hold that the work performed by the paralegal on the Plans at Law Firm A is a matter that is "substantially related" within the meaning of 规则 1.9和1.10(b)对b靠谱的滚球平台事务所待决的离婚案. 看,e.g.，我们的意见. 158 (9/17/85). The relationship between the Plans 和 the divorce matter in this inquiry may not be quite as close 和 direct as the relationship between the two matters discussed in a similar context in Opinion No. 158. 不过, 很明显，丈夫, 作为ABC公司的主要所有人, 有重大的兴趣, 从妻子的角度来看，这有很大的经济价值, ABC公司的计划.

可能在A靠谱的滚球平台事务所，靠谱的滚球平台助理实际上并没有接触到有关计划的机密信息或丈夫在其中的权益, 和 that in any event such sensitive 和 confidential information as may exist regarding Husb和's interest in the Plans will be required to be disclosed by him as part of the normal discovery process in the divorce matter. 如果是这样，根据规则1，这些事实仍然是无关的.9, 如果这两件事“实质相关”，那么哪一项要求结束分析,“我们认为他们是.

The inquirer appears to recognize the foregoing principle by its proposal to cure the problem by screening the paralegal from all aspects of the divorce matter (namely, (计划)与靠谱的滚球平台助理之前在A靠谱的滚球平台事务所的工作有实质性关系. 我们的结论是，在本调查所提出的情况下，筛选机制是允许的，只有当它有效地将靠谱的滚球平台助理与当事人隔离开来 整个 B靠谱的滚球平台事务所的离婚案件.

我们没有找到判例法, 法律伦理意见, 或者其他法律权威支持这个概念, 在什么情况下，筛查适合于治疗某一特定事件的推定不合格, 屏幕可能只存在于该问题的一部分, 和 that the personally disqualified individual may participate in other portions of that matter that are assertedly unrelated to that individual's prior work for the former client. 事实上, in the District of Columbia 和 elsewhere there is considerable controversy regarding the propriety 和 practical effectiveness in general of a "screen" (also sometimes referred to as an "ethical wall" or "cone of silence") as a cure for imputed disqualification. 如果没有前客户(在这个案例中是丈夫)的同意，我们拒绝批准对某一事件的一部分进行部分筛选的新概念.

在迁徙的情况下 non靠谱的滚球平台s 一般, we approve the pro-screening approach reflected in Informal Opinion 88-1526 (6/22/88) of the ABA St和ing Committee on Ethics 和 Professional Responsibility, 官方简介如下:

A law firm that employs a non靠谱的滚球平台 who formerly was employed by another firm may continue representing clients whose interests conflict with the interests of clients of the former employer on whose matters the non靠谱的滚球平台 has worked, as long as the employing firm screens the non靠谱的滚球平台 from information about or participating in matters involving those clients 和 strictly adheres to the screening process described in this opinion 和 as long as no information relating to the representation of the clients of the former employer is revealed by the non靠谱的滚球平台 to any person in the employing firm. 除了, the non靠谱的滚球平台's former employer must admonish the non靠谱的滚球平台 against revelation of information relating to the representation of clients of the former employer.

因此, 如果靠谱的滚球平台事务所B的靠谱的滚球平台助理被有效地隔离在夫妻离婚事务的各个方面, 靠谱的滚球平台事务所B可以继续作为妻子的靠谱的滚球平台处理此事, 不管丈夫是否同意. 在这方面, 我们建议靠谱的滚球平台事务所B考虑以下一种或多种预防措施，以履行规则5规定的义务.确保靠谱的滚球平台助理与离婚事务有效隔离;

(a)该靠谱的滚球平台助理到B靠谱的滚球平台事务所报到工作之日或之前, (i)书面指示靠谱的滚球平台助理不得与靠谱的滚球平台事务所B的任何合伙人或雇员讨论离婚事宜或计划, (ii)反之, 以书面形式指示B靠谱的滚球平台事务所的每一位合伙人和雇员不得与靠谱的滚球平台助理讨论离婚事宜或计划.
(b) All of Law Firm B's files relating to the divorce matter could be "stickered" with a legend containing the substance of the restrictions described in (a) above.
(c)调查该靠谱的滚球平台助理是否从A靠谱的滚球平台事务所带来了任何与计划有关的文件或其他资料, 或者ABC公司, 或丈夫.

我们注意到, if the facts were otherwise the same as described above except that the person who was a paralegal at Law Firm A had subsequently attended law school 和 become a member of the 酒吧 by the time she reported to work at Law Firm B, 规则1中有一个特殊的规定——哥伦比亚特区独有的规定.10(b) that would cause our holding to be the same notwithst和ing the fact that the person involved is actually a member of the 酒吧 upon reporting for work at Law Firm B:

根据规则1，该公司被取消资格的情况不适用.(十)靠谱的滚球平台参加过先前的代理或者在本条第一款规定的情形下获得信息的.6(g).

规则1.6(g) explicitly extends the obligation of confidentiality imposed upon a 靠谱的滚球平台 to confidences 和 secrets obtained by a 靠谱的滚球平台 prior to becoming a member of the 酒吧 "in the course of providing assistance to another 靠谱的滚球平台."

进一步, 我们观察到, 如果事实与上述情况相同，但涉及的人在a靠谱的滚球平台事务所从事计划工作时是靠谱的滚球平台协会的成员, 在B靠谱的滚球平台事务所报到工作时，她是一名靠谱的滚球平台, a screening process of the kind approved above is not in itself effective to avoid the imputation of that individual's personal disqualification to the 整个 Law Firm B. 按照规则1的措辞.10, (a)及(b)段, 靠谱的滚球平台事务所B只有在获得丈夫的同意后才可以雇用(和筛选)该人，才能避免被推定为不符合离婚事务的资格. 本委员会在第2号意见中也是这样认为的. 第174条(1986年6月17日), 以及哥伦比亚特区上诉法院根据规则1的评注[15].10日已明确确认进行筛选, 没有更多的, 是否足以避免根据规则1的规定被判取消资格.10(b)移徙者 靠谱的滚球平台. 除了筛选外，还需要获得前客户的同意. The willingness of the former client to give such consent presumably will depend primarily on the extent to which that former client is satisfied that the migratory 靠谱的滚球平台 和 his or her new firm are trustworthy, 这种屏蔽是有效的. 最后, 在前政府靠谱的滚球平台和其他公职人员转到私人靠谱的滚球平台事务所的背景下, 包括法官, 见规则1.11，一般允许在一定条件下进行筛选.

 调查没有. 91-10-45
批准:1992年4月21日