道德意见313
一名澳门赌场官网在担任公职人员或雇员期间，是否可以继续为同一客户在同一事件中代理同一客户
A former defense lawyer with the Navy Judge Advocate General’s Corps may continue, 在私人执业中, 在定罪后的诉讼程序中代表他曾在军事法庭上作为指定澳门赌场官网代表的同一刑事被告. 即使他随后为客户所做的代表是他以公职人员身份亲自参与的同一件事, 他没有接受规则1所指的“其他工作”.11 when he continues to represent the same client in the same matter after leaving military service.
适用的规则
- 规则1.11(历届政府及私人雇员)
调查
一年多来, 咨询澳门赌场官网事务所的一名合伙人曾在美国海军陆战队一名下士的军事法庭诉讼的整个预审和审判阶段担任共同澳门赌场官网. 被告还由一名从海军法官总澳门赌场官网团(“JAG”)任命的刑事辩护澳门赌场官网代表。. 在被告被定罪和判刑之后, 他的法务部刑事辩护澳门赌场官网已被解除现役，并成为本次调查的澳门赌场官网事务所的合伙人. The partner who had served as co-counsel during the court martial 有 left the firm, 被告表示有兴趣请他的前法务部澳门赌场官网, 现在是平民, 继续在各种审判后诉讼中代表他, 其中可能包括上诉, 向海军记录更正委员会提交的请愿书, 还有请求宽大处理的请愿书. 前法务部澳门赌场官网, 谁是哥伦比亚特区澳门赌场官网协会的成员, requested an opinion from the Navy concerning whether his continued representation of the defendant was prohibited by 18 U.S.C. §207，海军的结论是. 根据意见, 因为他作为一名官员“亲自和实质性地”参与了美国参与的一项“特殊事务”, 他不能就同一事项代表同一特定当事方同军事当局联系或出庭.
澳门赌场官网事务所请本委员会就规则1是否.哥伦比亚特区职业行为规则第11条禁止该公司(以及JAG澳门赌场官网本人)代表被告. 在此请求等待处理期间, 美国武装部队上诉法院推翻了海军最初就第207条的适用性所表明的立场. 根据美国军事上诉法院的长期先例，在这种情况下解释第207条的范围, 法院的结论是，被告的民事澳门赌场官网可以在军事法庭程序的进一步审查期间继续代表他.
讨论
《澳门赌场官网》，美国.S.C. §207和规则1.11以类似方式适用于限制政府离职后的就业.1 根据规则1.11, a lawyer may not “accept 其他 employment in connection with a matter which is the same as, 或实质上与…相关, a matter in which the lawyer participated personally and substantially as a public officer or employee.“《澳门赌场官网》也使用了类似的条款来禁止任何人, 离开联邦政府后, from making any communication to or appearance before any officer or employee of any department, 机构, 等. 代表任何其他人士就“一个特殊的问题” (1) in which the United States is a party or 有 a direct and substantial interest, (二)当事人“以这样的官员或雇员的身份亲自参与” and (3) “which involved a specific party or specific parties at the time of such participation.” 18 U.S.C. §207(a)(1)(a) -(C)(重点添加).2
有, 当然, 第207条是一项刑事法规，适用于美国行政部门或哥伦比亚特区的任何前官员或雇员. 规则1.11, by contrast, is a rule of professional conduct that 适用于 only to members of the D.C. 酒吧. 此外, 第207条只禁止受保护人员在知情的情况下与联邦政府或国防部的任何部门或机构进行“任何沟通或露面”.C. 政府.3 规则1.第11条的禁止范围超出了沟通或露面:它禁止该规则所涵盖的任何人“接受与相同或实质上相关的事项有关的其他工作”. 正如评论[5]所解释的，规则1.第11(a)条规定“澳门赌场官网绝对不能参与其亲自和实质性参与的事务”.”4
这不是典型的规则1.11例. Even though the former JAG lawyer was a “public officer or employee” while serving as a lawyer in the military, 他在这件“事情”中的“客户”从来不是美国政府. As an appointed defense counsel, his client was, throughout all relevant periods, the defendant. 规则1.6(j) provides that, “[t]he client of the government lawyer is the 机构 that employs the lawyer unless expressly provided to the contrary by appropriate law, regulation, or order.” The 职业行为准则 governing attorneys in the Navy expressly provide that “[a] covered [United States Government] attorney who 有 been duly assigned to represent an individual who is subject to disciplinary action or administrative proceedings, 或者为个人提供法律援助, 有, 出于这些目的, 澳门赌场官网-客户关系.” 32 C.F.R. § 776.32(a)(6). 此外, “尽管法官辩护人是受委任的官员, 一般, 服从上级的权威, a judge advocate detailed or assigned to represent an individual member or employee of the [Department of the Navy] is expected to exercise unfettered loyalty and professional independence during the representation consistent with these 规则 and remains ultimately responsible for acting in the best interest of the individual client.” Id. § 776.56(a)(1).
The United States Court of Appeals for the Fifth Circuit 有 described the analogous relationship between a Navy JAG lawyer and the individual “clients” to whom he provides legal advice through the Navy’s formal legal-assistance program:
法律援助官员的职能 . . . 与其他政府澳门赌场官网有何显著不同. Rather than being charged with public matters in which the government is the client, a legal assistance attorney owes a preeminent duty to the private individual who, 实际上, 保留他. 根据海军法官总辩护澳门赌场官网手册第1906(c)条, 例如, (法务部澳门赌场官网)被要求“在《澳门赌场官方软件》所颁布的标准范围内代表其委托人进行独立的专业判断…….” 32 C.F.R. § 726.6(c) (1975).5
《澳门赌场官网》承认政府澳门赌场官网的客户不是政府本身而是个人的不寻常情况. 将[38]注释到规则1.6 recognizes that this relationship presents a special set of confidentiality issues:
Government lawyers may also be assigned to provide an individual with counsel or representation in circumstances that make clear that an obligation of confidentiality runs directly to that individual and that subparagraph (d)(2)(A), 不是(d) (2) (B), 适用于.6 . . . 这种代理的例子包括由公设辩护人代理, 一名代表被告的政府澳门赌场官网起诉被告因履行其在政府的工作而受到的损害, 还有一名代表军事法庭被告的军事澳门赌场官网.
D.C. 规则1.6、评论[38](强调添加). 海军的规定承认, 例如, that “a judge advocate is a military officer required by law to obey the lawful orders of superior officers,” 32 C.F.R. § 776.56(b)(1), 而且，“并非给予下级代理澳门赌场官网的所有指示都是试图不正当地影响代理澳门赌场官网的专业判断,” id. § 776.56(b)(2). 然而,, 当一名司法部澳门赌场官网被指派代表个人客户时, 也不是澳门赌场官网的个人利益, 其他客户的利益, nor the interests of third persons should affect loyalty to the individual client,” id. § 776.56(b)(1).
在引发这次调查的案件中, 美国武装部队上诉法院的结论是，在军事法庭进一步审查期间，前法务部澳门赌场官网可以继续代表被告, 引用 美国诉. 安德鲁斯, 21 C.M.A. 165 (1972). In 安德鲁斯, 美国军事上诉法院审议的事实情况与调查人员提出的情况几乎相同. Mr. 安德鲁斯, who had been represented by a JAG lawyer during a general court-martial proceeding, 试图在他退役后聘请同一名澳门赌场官网. 总检察官办公室军事事务司司长的结论是，第207条禁止前法务部澳门赌场官网继续担任澳门赌场官网, 和奥. 安德鲁斯 appealed this decision on the grounds that he had been denied the civilian counsel of his choice, 受到军事司法统一法典的保障. 军事上诉法院对此表示同意, 结论是，“从现役释放的法官澳门赌场官网总队官员可以在被告释放后立即作为平民继续代理被告.” 21 C.M.A. at 168. 法院的理由是，这一“意见符合我们对适用法律的看法”，而且这位前法务部澳门赌场官网“继续参与此案不存在利益冲突”, 因为这种关系的各方保持不变.” Id.7
当然, 有关政府和私营部门连续就业的规定并不局限于前政府雇员“倒岗”的情况.”8 The American Law Institute 有 described three justifications for the prohibition contained in 规则1.11、即使在没有侧面切换的地方:
第一个, 禁止在某一事件中代理的, 即使在符合政府利益的地方, diminishes the risk of subsequent misuse of information obtained by the government. If a former government lawyer could make use of confidential reports to an 机构, 例如, 即使是在与政府立场一致的案件中, 这将超出发布报告的最初目的，使政府更难从公众那里获得自愿披露信息的机会. 第二个, 该规则消除了通过收集只有政府才能获得的信息的方法来获得后期优势的动机, 比如大陪审团的调查. 第三, 该规则消除了作为政府代理人在私人执业中为获得后续利益而启动诉讼的动机, 例如，为后续私人客户提交补充诉讼.
《澳门赌场官网法》重述§132 cmt. d (2000). 这些都是规则1所载的禁止理由.11 assumes that the former government lawyer was acting as a lawyer whose client was the government itself. 看到id. (describing the prohibition as applying even though “the subsequent representation is not adverse to the interests of the 前政府客户”).
这不是显而易见的, 然而, that it should make any difference whom the former government lawyer had as a client. 前法务部澳门赌场官网的客户是个人被告而不是政府，这一事实并不能改变前法务部澳门赌场官网是个人被告的事实, 当时他是被告的代理澳门赌场官网, “公共雇员或官员”.“本委员会二十多年前就认识到, 解释DR 9-101(B)——规则1的前身.11在D项下.C. Code of Professional Responsibility—that the prohibition on successive government and private employment does not turn on whether the former government employee was acting as a lawyer at the time of his or her government employment:
所呈现的事实模式在某种意义上是不寻常的:询问的澳门赌场官网不是澳门赌场官网，当他受雇于政府时也没有担任澳门赌场官网的职务. [The inquiring attorney was an economist 在为政府工作的时候; after graduating from law school, 他辞去了政府职务，加入了一家澳门赌场官网事务所.不过), DR 9-101(B)涵盖了这种情况, 如果满足其他测试, 因为它指的是作为“公共雇员”而不是“公共澳门赌场官网”服务.“我们认为选择这些术语是经过深思熟虑和适当的, 因为一个更典型的案例可能涉及一位澳门赌场官网，他在政府中担任行政职务，然后离开，继续从事法律工作. 我们毫不怀疑，《澳门赌场官方软件》禁止澳门赌场官网在他作为公职人员行使重大责任的事项中担任代理, 即使那不是澳门赌场官网的责任.
D.C. 酒吧Op. No. 84, at 150 (1980). If it does not matter that the former government employee was acting as a lawyer at all, why might it matter that he was acting as a lawyer for an individual defendant rather than for the government?
我们认为，答案可以在规则1中的“其他就业”一词中找到.11(a). 触发规则1下的禁令.11, it is not enough that a former government employee work on a matter which is the same as 或实质上与…相关 a matter in which he or she participated personally and substantially as a public officer or employee; the former government employee must first have accepted “其他 employment in connection with” the same or substantially related matter.9 在我们看来, under circumstances in which the former government lawyer continues to represent 在私人执业中 the same client with whom the lawyer had established an attorney-client relationship while serving as a public officer or employee and in the same or substantially related matter, 这位前政府澳门赌场官网没有接受其他 “雇用”，属于规则1的含义.11(a).
对规则1的注释.第11条明确指出，在确定前政府澳门赌场官网是否接受“其他工作”时，委托人的身份是一个关键问题:
“其他就业,，如本条第(a)款所述, 包括该澳门赌场官网作为公职人员或雇员受雇的政府机构以外的政府机构的代表, 但在从一个政府机构转到另一个政府机构的情况下，(a)款规定的禁令可由澳门赌场官网以前受雇于的政府机构豁免. 如(a)段所使用, 澳门赌场官网离开某一特定政府机构而受雇于另一政府机构，就不属于“其他就业”.g., (司法部)或与私人澳门赌场官网事务所合作，继续接受该澳门赌场官网以前受雇于的同一政府机构的代表.
D.C. 规则1.11评论[10]. 如果前政府澳门赌场官网继续以私人执业方式代表他或她以前受雇于的同一政府机构，则不属于“其他就业”, it would not constitute “其他 employment” for the former government lawyer to continue to represent 在私人执业中 the same individual client whom he or she represented while employed by the government.
该委员会在25年前得出结论，DR 9-101(B)所反映的禁令有两个主要目的:
One is to prevent the appearance that a lawyer in public employment may have been influenced in his actions as a lawyer by the hope of later personal gain in private employment rather than by the best interests of his public client. The second purpose is to prevent the appearance that a lawyer may be utilizing for the benefit of a private client confidential information obtained in a prior attorney-client relationship with a public 机构 having interests in conflict with those of his private client.
D.C. 酒吧Op. No. 16, at 82 (1976).10 我们的结论是，规则1的所有目的都不符合.11 would be served by interpreting the term “其他 employment” to prohibit the former JAG lawyer in this inquiry from continuing to represent his client in subsequent court-martial and 其他 related proceedings. We see no danger that the former JAG lawyer’s conduct as a JAG defense lawyer would appear to be improperly influenced by the prospect that he might one day continue to represent the same defendant in the same matter once he were to become a civilian. 这位前JAG澳门赌场官网的雇主——美国海军部的JAG军团——的最大利益是由他提供的“胜任能力”服务的, 勤奋的, 并及时向[他的]委托人提出申诉”(32 C.F.R. § 776.20(a)). 正是这样的服务使得他的客户很可能会在他退役后寻求留住他. 此外, 我们认为这位前法务部澳门赌场官网不存在利用其公职期间获得的机密信息为私人客户谋利的风险. With respect to the same matter in which he represented the individual defendant, he did not have an attorney-client relationship with the United States government. 因此, 他所获得的有关此事的任何信息都是他会用来为他的委托人谋利益的信息, 不管他是受雇于海军还是私人澳门赌场官网事务所.
此外, 本委员会和美国澳门赌场官网协会的对应机构都认识到，存在大量的反补贴考虑，反对根据规则1进行更广泛的禁止.不必要的:
Some of [these] underlying considerations…are the following: the ability of government to recruit young professionals and competent lawyers should not be interfered with by imposition of harsh restraints upon future practice nor should too great a sacrifice be demanded of the lawyers willing to enter government service …; and 不应允许该规则不必要地干涉诉讼当事人获得自己选择的合格澳门赌场官网的权利, 特别是在需要特殊的专业领域, 技术培训和专业知识.
D.C. 酒吧Op. No. 111，第191页(重点加)(引用美国澳门赌场官网协会第111号正式意见. 342 (1975)). 我们认为，这些考虑在以下方面尤其重要, 因为在这里, 应用这一规则将破坏正在进行的澳门赌场官网-客户关系.
总而言之, 我们的结论是, 政府澳门赌场官网在哪里, 作为他或她的政府工作的一部分, 与个人当事人依法建立澳门赌场官网委托人关系, 一旦该澳门赌场官网不再是政府雇员，该澳门赌场官网继续在相同或实质性相关事项中代表个人客户不构成“其他就业”.11 在这些不寻常的情况下，规则1.第11条不会禁止前政府雇员在该雇员为政府工作期间亲自和实质性地参与的同一事务中代表客户.
调查没有. 01-10-22
通过时间:2002年6月
出版日期:2002年6月
1. 将[2]注释到规则1.第11条明确承认“在哥伦比亚特区, 那里有那么多联邦和民主党的澳门赌场官网.C. 政府及其机构, a number of whom are constantly leaving government and accepting 其他 employment, 必须特别注意联邦利益冲突法规. 看,e.g., 18 U.S.C. 第11章[§§201-225]及其法规和意见.参见D.C. 酒吧Op. No. 297 (discussing “as a threshold matter” the applicability of section 207 before considering the applicability of 规则1.11).
2. In 1986, this Committee acknowledged that it had proposed certain modifications to 规则1.上诉法院接受的第11项修改-“目的是使纪律规则的语言与18 U.S.C. 207(a)，《澳门赌场官网》. The Committee did not intend the change in language to have a significant, practical effect. 因此, what the Committee stated in interpreting ‘substantial responsibility’ still is relevant in determining whether the inquirer here ‘participated personally and substantially’ in the cases described by her inquiry.” D.C. 酒吧Op. No. 177, at 294 (1986). 从那时起, both the Court of Appeals and this Committee have sought guidance on the meaning of 规则1.11参考解释第207条的条例和意见. 看,e.g.，《澳门赌场官网》，728年.2d 625, 643 (D.C. 1999)(解释规则1下条件的含义.第11(a)条规定，前政府澳门赌场官网通过寻求联邦法规的指导来“亲自和实质性地”参与政府事务.S.C. § 207); D.C. 酒吧Op. No. 297，在177n处.3(认识到“个人和实质性参与”已由政府道德办公室在解释第207条第5条C时定义.F.R. § 2637.201(d)(1))
3. 参见5c.F.R. § 2637.201(b)(3) (“An appearance occurs when an individual is physically present before the United States in either a formal or informal setting or conveys material to the United States in connection with a formal proceeding or application. 交流比外表更广泛，包括例如, 对应, 或者打电话.”); In re Sofaer, 728 A.2d at 641 (recognizing that the Office of Government Ethics “concluded that because Respondent had not yet contacted any government officials with the intent to influence them in connection with his Libyan representation, 他没有违反[18 .美国宪法].S.C. § 207]”).
4. 与美国澳门赌场官网协会的模型规则1相反.11, D.C. 规则1.11没有豁免条款.
5. 伍兹v. 卡温顿哭. 银行，537楼.2d 804,815(第5期. 1976).
6. Subparagraph (d)(2) provides that, “A lawyer may use or reveal client confidences or secrets . . . (A) when permitted by these rules or required by law or court order; and (B) [i]f a government lawyer, 当法律允许或授权时.” D.C. 规则1.6(d)(2).
7. For the most recent expression of the court’s position on this issue, see 美国诉. Nguyen, 56岁.J. 252, 252 (C.A.A.F. 2001).
8. 看,e.g.通用汽车公司. v. 纽约市，501 F.2d 639 (2d Cir. 1974) (in suit by city against bus manufacturer alleging nationwide conspiracy, city’s private lawyer who had substantial responsibility for investigating same conspiracy while at the Justice Department was disqualified); Allied Realty, 公司. v. 汇兑银行，283楼. 增刊. 464 (D. 明尼苏达州. 1968)， aff 'd, 408 F.2d 1099(第八章. 前美国特别助理.S. 涉及抵押交易的刑事案件的澳门赌场官网被取消代表原告在民事诉讼中撤销交易的资格。.
9. 我们注意到规则1.11 of the ABA’s Model 职业行为准则 does not use the same formulation. 《澳门赌场官方软件》, “澳门赌场官网不得就其以公职人员或雇员身份亲自参与的事项代表私人客户. . . .“这只是D.C. 规则1.11不同于美国澳门赌场官网协会的示范规则. 参见Grant Dawson, Conflict of Interest: Working Guidelines for Successive Conflicts of Interest Involving Government and Private Employment, 11地理. J. 法律伦理329,338-39 (1998).C. Rule and the Model Rule); id. 第338页(“哥伦比亚特区第一版示范规则”).第11条很重要，因为它与美国澳门赌场官网协会的对应条款有很大不同，因为它可能比其他任何非联邦规则都更能管理澳门赌场官网。.
10. The ABA’s Standing Committee on Ethics and Professional Responsibility described these same two purposes as follows: “规则1.因此，11所关心的是:1)限制澳门赌场官网在离开政府服务后，利用公职权力为自己谋求利润丰厚的私人就业的可能性, and be distracted from her current public duties by the prospect of eventually going to work for the 其他 side; and 2) to ensure against the possibility that ‘substantial unfair advantage could accrue to the private client by reason of access to information about the client’s adversary obtainable only through the use of public resources available during the lawyer’s government service.’”美国澳门赌场官网协会第一号正式意见. 409 (1997) (citations omitted; quoting from Model 规则1.11、76岁时的法律背景(1981年5月30日建议定稿).
11. 这一结论不仅适用于前法务部澳门赌场官网, but also to former public defenders and to former federal officers and employees who were authorized, 在为政府工作的时候, 代表特定的个人或群体, 参见18 U.S.C. § 205.
