伦理意见228

Lawyer-Witness Participation in Pre-Trial Proceedings

虽然不能担任审判澳门赌场官网, 在道德上可能成为审判中必要证人的澳门赌场官网可在审前事项和审判准备方面协助替代澳门赌场官网，并可在大多数审前程序中继续代表当事人.

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

The inquirer has represented a client (the association) for several years. 该协会目前正在参与一项诉讼，在该诉讼中，对方澳门赌场官网根据对方传唤询问者作为证人的意图，成功地取消了询问者的代理资格. The association retained substitute trial counsel whom inquirer has assisted in preparing for trial.¹

Opposing counsel objects to the assistance that inquirer has been providing to substitute counsel. Opposing counsel contends that this assistance violates 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3.7(a) provides that "A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness. . . .正如评论[2]所解释的那样, 辩护人-证人规则旨在防止澳门赌场官网在审判中扮演双重角色可能导致的偏见:“证人必须根据个人知识作证, while an advocate is expected to explain and comment on evidence given by others. It may not be clear whether a statement by an advocate-witness should be taken as proof or an analysis of the proof."

Beyond the confusion that this combination of roles might create, the rule is justified on at least three other bases: (1) it is necessary to prevent the possibility that, 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., Annotated Model 职业行为准则, at 387-89 (2d ed. 1992).

All of the reasons underlying the rule relate to concerns that might arise only at trial. 确实，规则3.(a)的权限仅限于审判阶段.e., the lawyer is prohibited from acting only as "advocate at a trial" when he or she is likely to be a necessary witness. Given the Rule's express limitation and the trial-stage purposes it is intended to serve, 我们的结论是，可能成为审判中必要证人的澳门赌场官网可以在大多数审前事项中代表客户. 这包括, 但不限于, 听取证人证词, pre-trial discovery and argument of most pre-trial motions, 同时协助庭审准备工作.² 它遵循 更不必说了 that the lawyer-witness may assist substitute counsel in similar matters.

美国澳门赌场官网协会道德与职业责任委员会在89-1529号非正式意见中审议了同样的问题(1989年10月20日). In reaching the same conclusion under substantially the same rule,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, and it would be unfair to the client not to permit that lawyer to participate in pre-trial proceedings.

我们同意, and add that the 规则 should not be interpreted to interfere unnecessarily with a client's choice of counsel. 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, 取消辩护人证人的资格只会使当事人失去不仅最了解案件，而且与当事人最有可能建立关系的澳门赌场官网或公司. 见诺瑞尔公司. v. 联邦百货公司., 450 F. 增刊. 127, 130 (S.D.N.Y. 1978).

考虑辩护人-证人参与审前事项问题的法院一般都允许这种参与. In 企业将精力, 在上 at 99, the First Circuit squarely was asked and squarely refused to construe 规则3.广泛地说:“问题是禁止在审判中担任辩护人的规定是否应被广泛地理解为禁止在审判前提供与案件有关的庭外服务. 我们不这么认为."

Even under the former and arguably broader rule, DR 5-102(B), 法院 permitted advocate-witnesses⁴  to participate in pre-trial proceedings though disqualified or likely to be disqualified from representation at trial. 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 at 1211 ("The disqualified firm may consult with defendant's substitute counsel and assist in preparing for trial."); Norell公司.,在上. 但是请看《澳门赌场官网》. 金丹国家公司., 697 F. 增刊. 784, 788 (S.D.N.Y. 1988) (interests of justice best served if advocate-witness disqualified from pre-trial proceedings); 通用磨坊供应公司. v. SCA服务, 697 F.2d 704,716(第6章. 1982年)(“在这种情况下，我们可以预见，由于未能执行[DR 5-102]，最严重的危害将发生在审前阶段. . . .")

尽管注意到规则3.7 applies "specifically to service 'as advocate at a trial,’”尽管如此，美国澳门赌场官网协会道德委员会认为，“禁令背后的政策适用于澳门赌场官网(证人)在审前程序中为自己的真实性辩护的任何情况”. 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, 一种审前动议，其中澳门赌场官网的证词既是有争议的，又是对审判前决定的有争议的事项至关重要的. 在一个简单的脚注中，法院在 铁路兄弟会卡门，上 注意20, 还禁止辩护人证人参加要求他就争议事项作证的审前动议. Neither opinion cited an ethics rule or previous judicial opinion.

而在某些情况下，澳门赌场官网证人最好在审前动议中拒绝代表客户对自己的证词进行论证, D.C. 规则3.7(a), by its terms, extends only to prohibit advocacy at a trial. 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. Had the District of Columbia Court of Appeals intended the rule to apply beyond prohibition of courtroom representation, 规则本来可以这么写的⁵  然而, 在任何案件中，澳门赌场官网代表客户的专业判断可能因其作为证人的角色而受到不利影响, the lawyer may not represent the client in pre-trial motions 未经客户同意. 规则1.7(b)(4). 当他/她自己的证词在审前动议中受到质疑时，澳门赌场官网证人应仔细考虑是否存在这种情况.

提出的另一个代表性问题涉及在澳门赌场官网自己的审前证词中代表委托人的澳门赌场官网证人. 而规则3.第7条并不禁止此等陈述, other ethical issues may be raised when a lawyer assumes both roles at his/her own deposition. 这些问题中最主要的是澳门赌场官网证人是否能够勤勉地保护他/她的客户的秘密, 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, thought the "better practice is that another lawyer serve as counsel to the client at that deposition."

Once it becomes apparent that the lawyer likely will be a necessary witness at trial, 它遵循规则1.4(b)⁶  辩护人证人必须将这一事态发展通知其委托人，并征得委托人的知情同意继续进行审前代理. The client should understand the effect that withdrawal prior to trial will have, 包括财务影响, 如果有任何, of retaining new counsel and the point at which new counsel should be retained. As with any withdrawal from employment, the advocate-witness is bound by the requirements of 规则1.16(d).

调查没有. 91-10-38
通过:1992年5月19日

1. The events in this inquiry occurred before the adoption of the 职业行为准则. 根据以前的职业责任守则, the inquirer’s disqualification under DR 5-102(a) was imputed to his law firm. 规则3.7消除了这种推定的不合格. Assuming that the applicable court order would permit, the change effected by 规则3.7 would allow previously-disqualified law firms to resume representations in which a firm member is a necessary witness.
2. This is subject to any applicable rules of court, including rules regarding witnesses.
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), subsections (d) and (e) clearly distinguish between pretrial and trial obligations.
6. 规则1.第4(b)条规定:“澳门赌场官网应在合理必要的范围内解释事项，以允许客户就代理作出知情决定.”