伦理意见228

澳门赌场官网-证人参与审前程序

虽然不能担任审判澳门赌场官网, a lawyer who is likely to be a necessary witness at trial ethically may assist substitute counsel in both pre-trial matters and trial preparation and may continue him/herself to represent the party in most pre-trial proceedings.

适用的规则

• 规则3.7(a)(澳门赌场官网作证人)
• 规则1.7(b)(利益冲突)
• 规则1.4 (b)(沟通)

调查

询问者已代表某客户(协会)多年. The association currently is involved in litigation in which opposing counsel successfully sought inquirer's disqualification from representation based on the opposition's intention to call inquirer as a witness. 协会聘请了替代审判澳门赌场官网，询问者协助他准备审判.¹

对方澳门赌场官网反对询问人向代理澳门赌场官网提供的协助. 对方澳门赌场官网认为这种协助违反了规则3.7(a). Inquirer believes the court's disqualification of him as trial counsel does not affect his ability to assist his client in preparation for trial; he is limited only in his ability to represent the association at trial.

讨论

规则3.第7(a)条规定“澳门赌场官网不得在其有可能成为必要证人的审判中担任辩护人. . . .评论[2]解释道, the advocate-witness rule is intended to prevent prejudice that could result from the lawyer's assumption of dual roles at trial: "A witness is required to testify on the basis of personal knowledge, 而辩护人则需要对他人提供的证据进行解释和评论. 辩护人证人的陈述是否应被视为证据或对证据的分析可能并不清楚."

除了这种角色组合可能产生的混乱之外, 该规则至少在三个其他基础上是合理的:(1)有必要防止……的可能性, 在对陪审团讲话时, the lawyer will appear to vouch for his own credibility; (2) it will prevent the difficult situation that occurs when an opposing counsel must cross-examine a lawyer-adversary and seek to impeach his credibility; and (3) the rule also will prevent the implication that the testifying lawyer is distorting the truth for his/her client's benefit. 库莱布拉斯企业公司. v. Rivera-Rios, 846 F.1999年2月1日. 1988年),因 塔罗v. 哈顿的同事, 680 F.295,897(第2章. 1982); 国际电子v. Flanzer, 527 F.2d 1288, 1294 (2d Cir. 1975); 麦克阿瑟v. 纽约银行, 524 F. 增刊. 1205, 1208 (S.D.N.Y. 1981). 另请参阅 A.B.A.《澳门赌场官网》注释，第387-89页(第2版). 1992).

这一规则的所有理由都涉及只有在审判时才可能出现的问题. 确实，规则3.(a)的权限仅限于审判阶段.e., 禁止澳门赌场官网仅在他或她可能成为必要的证人时担任“审判辩护人”. 鉴于该规则的明确限制和它所要达到的试用阶段目的, we conclude that a lawyer who is likely to be a necessary witness at trial may represent a client in most pre-trial matters. 这包括, 但不限于, 听取证人证词, 大多数审前动议的审前发现和辩论, 同时协助庭审准备工作.² 它遵循 更不必说了 澳门赌场官网证人可以在类似事项中协助代理澳门赌场官网.

The American 酒吧 Association Committee on Ethics and Professional Responsibility considered the same issue in 正ormal Opinion 89-1529 (10/20/89). 在实质上相同的规则下得出相同的结论时，³  the ABA committee found several reasons for permitting the lawyer-witness to represent the client advocate during the pre-trial stage: (1) the case may be settled in advance of trial so that the lawyer is not needed to testify; (2) the lawyer's testimony may be replaced with other evidence at trial; (3) the client may choose to forego the lawyer's testimony rather than lose the lawyer's services at trial; (4) there is little likelihood of prejudice to the client or the justice system since the 规则 now permit the lawyer's partner to act as trial counsel; and (5) the lawyer-witness may have the most knowledge about the case, 不允许澳门赌场官网参与审前程序对当事人是不公平的.

我们同意, 并补充说，《澳门赌场官网》不应被解释为不必要地干涉当事人选择澳门赌场官网的权利. 没有规则3的地方.第7条的目的是通过审前取消资格来实现的, such a disqualification of the advocate-witness would serve only to deprive the client of the lawyer or firm which not only knows the case best but with whom the client most likely has an established relationship. 见诺瑞尔公司. v. 联邦百货公司., 450 F. 增刊. 127, 130 (S.D.N.Y. 1978).

法院 considering the issue of advocate-witness participation in pre-trial matters generally have permitted such participation. In 企业将精力, 在上 在1999年，第一巡回法院被明确地要求解释规则3，并明确地拒绝解释规则3.7 broadly: "The question is whether the prohibition against acting as 'advocate at a trial' should be read as broadly prohibiting the rendition of case-related out-of-court services prior to trial. 我们不这么认为."

即使在前一种更广泛的规则，DR 5-102(B)下，法院也允许辩护证人⁴  参加预审程序虽然已被取消资格或可能被取消资格，但仍参加预审程序. 参见Moyer v. 第十九街1330号., 597 F. 增刊. 14, 17 (D.D.C. 1984); 兄弟铁路卡门v. Delpro有限公司., 549 F. 增刊. 780, 790 (D. Del. 1982); 麦克阿瑟v. 纽约银行, 在上 在1211(“被取消资格的澳门赌场官网事务所可以咨询被告的替代澳门赌场官网并协助准备审判."); Norell公司.,在上. 但是请看《澳门赌场官方软件》. 金丹国家公司., 697 F. 增刊. 784, 788 (S.D.N.Y. 1988年)(如果辩护人证人被取消审前程序资格，则最有利于司法利益); 通用磨坊供应公司. v. SCA服务, 697 F.2d 704,716(第6章. 1982) ("The most acute evils we would foresee from failure to enforce [DR 5-102] in this instance would occur in the pretrial period. . . .")

尽管注意到规则3.第7条“特别适用于服务”作为审判中的辩护澳门赌场官网,'" the ABA ethics committee nonetheless believed "the policy behind the prohibition applies to any situation where the lawyer[-witness] is placed in the position of arguing the lawyer's own veracity" in a pre-trial proceeding. 正. Op. 89-1529, 在上 注1. 因此，美国澳门赌场官网协会认为澳门赌场官网不应该争辩, 未经客户同意, a pre-trial motion where the lawyer's testimony is both disputed and material to a contested matter being decided before trial. 在一个简单的脚注中，法院在 铁路兄弟会卡门，上 注意20, also precluded the advocate-witness from participating in pre-trial motions that required him to testify to the matter at issue. 这两项意见都没有引用道德准则或以前的司法意见.

While in some instances it may be best for a lawyer-witness to decline representation of a client in a pre-trial motion requiring argument of his/her own testimony, D.C. 规则3.7(a)的规定只适用于禁止在审判中辩护. 虽然它与ABA模型规则3相同.我们拒绝延长信用证期限.C. 超出规定范围的规则. 哥伦比亚特区上诉法院是否打算将该规则的适用范围扩大到禁止法庭代理之外, 规则本来可以这么写的⁵  然而, in any case in which the lawyer's professional judgment on behalf of a client may be adversely affected by his/her role as a witness, 未经当事人同意，澳门赌场官网不得在审前动议中代表当事人. 规则1.7(b)(4). A lawyer-witness should carefully consider whether this is the case when his/her own testimony is at issue in a pre-trial motion.

Another representational issue that is raised concerns the lawyer-witness representing the client at the lawyer's own pre-trial deposition. 而规则3.第7条并不禁止此等陈述, 当澳门赌场官网在他/她自己的证词中同时承担这两种角色时，可能会提出其他道德问题. Chief among these issues is whether the lawyer-witness will be able to protect his/her client's confidences and secrets diligently, 按照规则1的要求.6. 美国澳门赌场官网协会委员会, 提醒大家不要这样做, 我认为更好的做法是让另一名澳门赌场官网在证词中担任客户的澳门赌场官网."

一旦情况变得明显，澳门赌场官网很可能成为审判中必要的证人, 它遵循规则1.4(b)⁶  that the advocate-witness must inform his/her client of this development and seek the client's informed consent to the continued pre-trial representation. 客户应了解在审判前撤回诉讼将产生的影响, 包括财务影响, 如果有任何, 聘请新澳门赌场官网的问题以及聘请新澳门赌场官网的问题. 与任何退出雇佣一样，辩护人证人受规则1要求的约束.16(d).

调查没有. 91-10-38
通过:1992年5月19日

1. 这次调查的事件发生在《澳门赌场官网》通过之前. 根据以前的职业责任守则, 根据DR 5-102(a)的规定，询问者的资格被取消归咎于他的澳门赌场官网事务所. 规则3.7消除了这种推定的不合格. 假定适用的法院命令允许规则3所造成的改变.第7条将允许先前被取消资格的澳门赌场官网事务所在有澳门赌场官网事务所成员作为必要证人的情况下恢复代理.
2. 这取决于任何适用的法院规则，包括关于证人的规则.
3. D.C. 和示范规则3.7(a) are identical; subsection (b) of each rule is substantially the same.
4. DR-5-102(A) provided that a lawyer “shall withdraw from the conduct of the trial” if the lawyer learns or it is obvious that the lawyer ought to be called as a witness; the lawyer’s firm “shall not continue representation in the trial.”
5. 例如，在规则3中.4(对对方和澳门赌场官网的公正), (d)和(e)小节明确区分了审前义务和审判义务.
6. 规则1.4(b) states: “A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation.”