伦理意见227

Migratory Paralegals 和 Lawyers/Imputed Disqualification/Screening

如果博彩app助理从a博彩app事务所跳槽到B博彩app事务所, 该博彩app助理在B博彩app事务所处理一件悬而未决的事情，因为该博彩app助理在a博彩app事务所处理了一件实质相关的事情, Law Firm B ordinarily may avoid imputed disqualification by "screening" the paralegal from that matter in Law Firm B. 然而, 据称，博彩app事务所B不允许将博彩app助理从与博彩app助理以前在博彩app事务所A的工作有关的那部分事项中“筛选”出来, 指派博彩app助理处理其他, 同一事物的肯定不相关的方面. 没有A博彩app事务所客户的知情同意, the paralegal must be effectively isolated at Law Firm B from the 整个 matter, 否则博彩app事务所B将面临被取消该事务资格的风险. 在一般情况下, in the case of a migratory 博彩app (as distinguished from a non博彩app), 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(非博彩app助理职责)

调查

A paralegal has recently become employed by Law Firm B (the inquirer) after having worked the previous two years at Law Firm A. Law Firm B represents Wife in her divorce proceeding against Husb和. 丈夫是ABC公司的主要所有人. While at Law Firm A the paralegal worked on matters regarding the pension 和 profit-sharing plans (the "Plans") of the ABC Company. She had access to the terms of the Plans 和 on at least one occasion she assisted in preparing the Summary Plan Descriptions for the Plans. The inquirer represents that the paralegal "does not recall" having access to underlying financial 和 accounting data for the Plans, that Law Firm A did no other legal work f或者ABC公司 或丈夫, 和 that the paralegal never met Husb和 while she was employed by Law Firm A. Law Firm A is not involved in the divorce proceeding brought by Wife against Husb和.

The paralegal is the only litigation paralegal employed by Law Firm B, which wishes to assign her to work on the divorce matter between Wife 和 Husb和. Law Firm B represents that the issues in the divorce case relating to the Plans "are a very small 和 easily segregated part of the [divorce] case.“因此，询问者建议执行一项保护性“筛选”程序，以便将博彩app助理与与《博彩app》有关的离婚案件的所有方面隔离开来, 并且只会在离婚案件的其他方面提供协助，就好像丈夫没有参与任何与离婚案件有关的养恤金或利润分享计划一样.

讨论

在一个非博彩app从一个博彩app事务所到另一个博彩app事务所的情况下, the strict general rule of imputed disqualification reflected in 规则1.第10条不适用，因为规则1.10字面上只指“博彩app”.“不过，规则5.第3(a)条要求博彩app事务所作出合理努力，确保所有非博彩app的行为“符合”博彩app的“职业义务”. 博彩app最基本的义务之一，也是非博彩app必须遵守的，就是为现有客户保密 和 前的客户. 这导致在B博彩app事务所内部考虑在即时案件中“筛选”或“道德墙”，以确保丈夫与计划有关的机密和秘密得到保护.

首先，我们认为博彩app助理对A博彩app事务所的计划所做的工作是规则1意义上的“实质性相关”事项.9和1.10(b)对b博彩app事务所待决的离婚案. 看,e.g.，我们的意见. 158 (9/17/85). 在本调查中，计划和离婚事项之间的关系可能不像第2号意见中在类似情况下讨论的两个事项之间的关系那样密切和直接. 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, 和 from Wife's point of view there is significant economic value associated with, ABC公司的计划.

It may be that at Law Firm A the paralegal did not actually have access to confidential information regarding the Plans 或丈夫's interest therein, 并且，在任何情况下，可能存在的关于丈夫在计划中的利益的敏感和机密信息都必须由他披露，作为离婚案件正常发现程序的一部分. 如果是这样，根据规则1，这些事实仍然是无关的.9, which requires an end to the analysis if the two matters are "substantially related,“我们认为他们是.

询问者似乎承认上述原则，建议通过在离婚事务的各个方面筛选博彩app助理来解决问题(即, the Plans) that are substantially related to the paralegal's previous work at Law Firm A on the Plans. We conclude that a screening mechanism in the circumstances presented by this inquiry is permissible only if it effectively isolates the paralegal from the 整个 B博彩app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, where screening is appropriate to cure imputed disqualification in a particular matter, 屏幕可能只存在于该问题的一部分, 而且，个人不合格的个人可能会参与该案件的其他部分，而这些部分显然与该个人之前为前客户所做的工作无关. 事实上, 在哥伦比亚特区和其他地方，关于“屏蔽”(有时也被称为“道德墙”或“沉默之锥”)作为一种治疗被认为不合格的方法的合规性和实际有效性，存在相当大的争议. We decline to approve the novel concept of a partial screen as to a portion of a matter without the former client's (in this case the Husb和's) consent.

在迁徙的情况下 non博彩apps 一般, 我们赞同美国博彩app协会道德与职业责任常务委员会第88-1526号非正式意见(6/22/88)中所反映的支持筛选的方法, 官方简介如下:

如果博彩app事务所聘用的非博彩app曾受雇于另一家博彩app事务所，则该博彩app事务所可以继续代理与该非博彩app曾处理过的前雇主的客户的利益相冲突的客户, 只要雇主公司严格遵守本意见中所述的筛选程序，并对非博彩app人员进行筛选，使其不了解有关这些客户的信息或参与涉及这些客户的事务，只要非博彩app人员不向雇主公司的任何人透露与前雇主的客户代表有关的信息. 除了, 非博彩app的前雇主必须告诫非博彩app不得透露与前雇主的客户代理有关的信息.

因此, if the paralegal at Law Firm B is effectively isolated from all aspects of the divorce matter between Wife 和 Husb和, 博彩app事务所B可以继续作为妻子的博彩app处理此事, 不管丈夫是否同意. 在这方面, we suggest that Law Firm B consider one or more of the following precautionary techniques in order to satisfy its obligation under 规则5.3 to ensure that the paralegal is effectively isolated from the divorce matter:

(a) On or before the date on which the paralegal reports for work at Law Firm B, (i) instruct the paralegal in writing not to discuss the divorce matter or the Plans with any partner or employee of Law Firm B, (ii)反之, instruct every partner 和 employee of Law Firm B in writing not to discuss the divorce matter or the Plans with the paralegal.
(b) b博彩app事务所与离婚事项有关的所有档案都可以“贴上”注明上文(a)所述限制的实质内容的说明.
(c) Investigate whether the paralegal has brought with her from Law Firm A any files or other information relating to the Plans, 或者ABC公司, 或丈夫.

我们注意到, 如果事实与上述相同，只是a博彩app事务所的博彩app助理后来进入法学院，并在她报到到B博彩app事务所工作时成为了博彩app协会的一员, there is a special provision—unique to the District of Columbia—included in 规则1.10(b)尽管当事人在报到到博彩app事务所b工作时实际上是博彩app协会的成员，但仍会导致我方持有相同的股份;

The [imputed] disqualification of the firm does not apply [under 规则1.10] if the 博彩app participated in a previous representation or acquired information under the circumstances covered by 规则1.6(g).

规则1.6(g)明确将对博彩app的保密义务扩大到博彩app在成为博彩app协会会员之前“在向另一博彩app提供协助的过程中”所获得的保密和秘密."

进一步, 我们观察到, if the facts were otherwise the same as described above except that the person involved was a member of the 酒吧 while working on the Plans at Law Firm A, 和 was a member of the 酒吧 when she reported for work at Law Firm B, 上述批准的筛选程序本身并不能有效地避免将该个人的资格取消归咎于整个博彩app事务所B. 按照规则1的措辞.10, (a)及(b)段, Law Firm B could avoid imputed disqualification from the divorce matter only by obtaining Husb和's consent to its hiring (和 screening) of that person. 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), 和 the District of Columbia Court of Appeals in Comment [15] under 规则1.10日已明确确认进行筛选, 没有更多的, is not sufficient to avoid imputed disqualification under 规则1.10(b)移徙者 博彩app. 除了 to screening, consent of the former client is required. 前客户是否愿意给予这种同意，大概主要取决于该前客户对移民博彩app及其新事务所值得信赖的程度感到满意, 这种屏蔽是有效的. 最后, in the context of movement to a private law firm by former government 博彩apps 和 other public officials, 包括法官, 见规则1.11, which 一般 permits screening subject to certain conditions.

 调查没有. 91-10-45
批准:1992年4月21日