道德意见337
澳门赌场官网作为专家证人
作为专家证人代表当事人作证的澳门赌场官网并不因此与当事人建立澳门赌场官网-委托人关系. 因此,维.C. 规则1.9 governing conflicts of interest with former clients would not apply to prohibit a lawyer from subsequently taking an adverse position to the party for whom the lawyer testified as an expert witness, 即使澳门赌场官网作证所涉及的事项和随后的代理所涉及的事项实质上彼此相关. 然而, any firm that hires a lawyer as an expert witness should assure that the lawyer’s role as expert witness is made clear and should obtain the client’s informed consent if the expert’s role changes to that of co-counsel.
适用的规则
- 规则1.4(“通信”)
- 规则1.6(“信息保密”)
- 规则1.7(“一般利益冲突”)
- 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8.4(“不当行为”)
调查
我们收到了一份关于作为专家证人的澳门赌场官网的义务的询问. 询问者是一名澳门赌场官网，曾在涉及银行监管事项的诉讼中担任专家证人. She has been asked to provide expert testimony on behalf of an individual plaintiff who borrowed money from a savings bank that was placed in federal receivership and had its assets (including the loan at issue) sold to another financial institution.
The defendant bank’s attorney has objected to the Inquirer’s serving as an expert witness because one or both of the law firms with whom the Inquirer was formerly employed did legal work for the defendant bank in prior years. 为了本意见的目的，我们被要求假定D.C. 规则 apply and that the prior representation of the defendant bank by the Inquirer’s former law firms involved neither the plaintiff in the current lawsuit (for whom the Inquirer wishes to testify) nor the plaintiff’s loan, 诉讼的唯一主题是什么. 《澳门赌场官方软件》以前从未为被告银行处理过任何事务, 她目前供职的澳门赌场官网事务所也没有.
讨论
A. 仅作为专家证人的澳门赌场官网不会因此建立澳门赌场官网-委托人关系
专门研究某一特定法律主题的澳门赌场官网可能会被聘请作为专家证人，在审判或听证会上作证. 一般来说, 委托人的合理期望和澳门赌场官网未能消除这些期望的结果可以形成客户-澳门赌场官网关系. 看到 D.C. 澳门赌场官网操守行动. 316 (2002) (recognizing that what conduct gives rise to an attorney-client relationship is one of substantive law in the relevant jurisdiction but that "[m]any courts look to the reasonable expectations and reliance of the putative client"); 另请参阅 ABA正式Op. 95-390 at 8. 客户可以合理地期望，他们咨询的澳门赌场官网为他们提供法律服务，他们受到某些基本职业义务的约束, 包括保密义务, 看到 D.C. 规则1.6、避免利益冲突; 看到 D.C. 规则1.7. 自2007年2月1日起，澳门赌场官网也应遵守D.C. 关于提供“与法律有关的服务”的专业行为规则,被定义为“可以合理地与提供法律服务同时提供，并且实质上与提供法律服务有关的服务”." D.C. 规则5.7 (b) (eff. 2月. 1, 2007).
我们相信, 然而, 如果一名澳门赌场官网仅仅代表另一家澳门赌场官网事务所的客户担任专家证人,1 澳门赌场官网事务所在一开始就向客户解释这个角色, 那么专家证人通常不会与她可能被传唤作证的一方有澳门赌场官网-客户关系. 澳门赌场官网:受雇就法律要求或法律实务标准作证的澳门赌场官网, 例如, 表现得像个非澳门赌场官网专家证人. 专家根据训练和经验提供属于其专门知识领域的证据，并有义务向法院提供证据, 代表另一家澳门赌场官网事务所及其客户, 真实准确的信息. 朝着这个方向, 作为专家证人的澳门赌场官网可以审查选定的证据开示材料, 为她预期的证词提供事实支持, 并与澳门赌场官网事务所交换适用于她证词的法律授权. 作证专家还可以帮助澳门赌场官网事务所确定进一步调查的潜在领域.
然而，她作为一个客观的证人出现，甚至必须提供与她期望作证的一方相反的意见，如果坦率地要求这样做的话. 有责任通过一切合法手段努力推进客户的目标, 客户-澳门赌场官网关系的本质是什么, 看到 D.C. 规则1.3、与专家证人的作用不符. 此外, 如果专家可以在审判中作证，并且根据程序规则已将其姓名提供给对方澳门赌场官网, 她可能会被反对党罢免. 专家在准备证言时使用的与聘请澳门赌场官网事务所或其客户之间的通信通常是可以发现的.
美国澳门赌场官网协会发表了与这一结论一致的意见. 看到 ABA正式Op. 97-407. 类似的, most state bar ethics committees that have considered the issue have rendered opinions that support the conclusion that a lawyer employed as an expert witness does not form a client-lawyer relationship with the party for whom she is engaged to testify. 看,e.g.维吉尼亚州澳门赌场官网道德操守小组. 1884(1989)(注意到如果澳门赌场官网纯粹作为专家证人, the Code of Professional Responsibility is inapplicable and does not preclude service as an expert witness on different issues for both parties of an action); State 酒吧 of S.D.、道德通讯员. Op. 91-22 (1992) (lawyer serving as expert witness for insurance company A defending a bad faith claim brought by insurance company B may represent an insured of insurance company B in an unrelated claim against a third party, in part because insurance company A is not the expert witness’s client); Phila. (Pa.)澳门赌场官网Ass教授. 指导通讯. Op. 88-34 (1988) (it is permissible under Pennsylvania’s 规则 for a lawyer to serve as an expert witness for a party while at the same time serving as an expert witness for the party’s opponent in another unrelated suit).
D.C. 规则1.9 states that “a lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person’s interests are materially adverse to the interests of the former client unless the former client consents after consultation.” Id. 我们已经讨论过了, 由于询问者作为专家证人而不存在客户-澳门赌场官网关系. 因此，规则1.9不是由本次质询触发的.2
B. 明确澳门赌场官网/专家的角色
The law firm that hires a lawyer as an expert witness should take care to avoid confusion in the mind of its client as to the different role a lawyer plays as an expert witness. 为了避免任何关于客户-澳门赌场官网关系是否建立的误解, 例如，澳门赌场官网事务所应在业务开始时就明确专家的角色, 通过一份确定双方关系的书面聘书, 包括它的范围和局限性, 以及专家证人的职责. It is also the responsibility of the law firm that has engaged the expert witness to assure that its client is fully informed as to the nature of the expert’s role, 看到 D.C. 规则1.4, 特别是因为客户和澳门赌场官网专家之间的任何通信都可能被发现.3
在实际操作中, 作为专家证人的澳门赌场官网和以代表身份行事的澳门赌场官网之间的区别可能会变得模糊. 最简单的情况, 我们上面已经讨论过了吗, is when the lawyer is hired as an expert witness and the lawyer expert forms no attorney-client relationship with either the hiring law firm or the law firm’s client.
当在案件中担任共同澳门赌场官网的澳门赌场官网成为专家证人时，可能会出现更复杂的情况. 在这种情况下, 《澳门赌场官网》明确适用, 客户需要对澳门赌场官网角色的改变给予知情同意. 例如, 如果案件中的澳门赌场官网成为专家证人, the client needs to understand that whatever confidences and secrets may have been revealed to the lawyer may be subject to discovery now that the lawyer has become a witness. D.C. 规则1.6(e)(1)要求在使用或披露任何此类机密或秘密之前获得客户的知情同意.
A third scenario – where a lawyer originally hired as an expert witness is asked to become a consultant or co-counsel on a different aspect of the case – raises some additional complications. 专家证人会变成协理澳门赌场官网吗, the expert witness must exercise special care to assure that the law firm and the client are fully informed and expressly consent to the lawyer’s continuing to serve as an expert witness with respect to some issues in the case. 看到 D.C. 规则1.2(c)(说明“如果客户在咨询后同意，澳门赌场官网可以限制代理的目标.”)担任顾问或协理澳门赌场官网的澳门赌场官网，显然受《澳门赌场官网条例》的约束.C. 与这类服务的利益冲突和推定取消资格有关的专业行为规则.
C. 额外的注意事项
即使澳门赌场官网作为专家证人的角色不会与她被传唤的当事人形成客户-澳门赌场官网关系, 作为专家证人的澳门赌场官网仍受D.C. 一般管理澳门赌场官网的职业行为规则. 例如，被专家证人作伪证，纪律处分下D.C. 规则8.4是有保证的. 看到一般 ABA正式Op. 336 (1974); ABA正式Op. 97-407.
此外,维.C. 规则1.7(b)(4)可因该澳门赌场官网担任专家证人而对其及其澳门赌场官网事务所施加某些限制. 例如, 如果她被要求在对她目前作为专家服务的当事人不利的事情中代表客户, 她对那个政党的责任, 还有她自己的财务状况, 业务, 或者个人利益可能会完全排除这种代表.4 如果她在服务结束后被要求作为专家证人代表客户, 她可能受到她所代表的当事人的保密协议的约束，这可能使她无法热心地代表新客户. 看到 D.C. 规则1.7 (c) (2) (eff. 2月. 1, (即使在客户知情同意的情况下), a lawyer may only represent a client if she “reasonably believes that [she] will be able to provide competent and diligent representation to each affected client”).
批准日期:2006年12月19日
出版日期:2007年2月
1. 这个问题不同于向公司和/或其客户提供专业法律意见的顾问. 法律顾问可以作为代表客户的澳门赌场官网，而不是证人. 作为专家顾问的澳门赌场官网可以在其被咨询的领域内以协理澳门赌场官网的角色行事，因此受所有D.C. 职业行为准则. 澳门赌场官网在许多不同的情况下担任顾问，因此可能承担代理责任. 参见D.C. 规则1.6 (e) (6) (eff. 2月. 1, 2007) (permitting a lawyer who consults with another lawyer to use or reveal client confidences and secrets “to the extent reasonably necessary to secure legal advice”).
2. 我们注意到, even if the Inquirer’s serving as an expert witness on behalf of a particular party constituted a “representation” of that party sufficient to trigger the obligations of D.C. 规则1.她和她的新澳门赌场官网事务所都不会因为这些事实而被取消资格. 询问者在她以前的澳门赌场官网事务所工作时从未亲自代表被告银行, 而且她的新律所从未代理过被告银行. 因为被告银行并非客户，“(询问者)事实上已获得受规则1保护的信息”.那是重要的,“新成立的澳门赌场官网事务所不存在任何利益冲突. 看到维.C. 规则1.10(b).
3. 1993年，美联储. R. 文明. P. 第26条经修订，使专家证人“考虑”的资料可被发现(以前为, 这是一个狭义的“信赖”标准。). 对该修正案的评论指出，其披露要求旨在克服特权要求, 每一个联邦法院都是这样裁决的. 参见《Fidelity Nat Title Ins. Co. v. 国际Nat Title in. Co., 412 F.3d 745(第7章. 2005); In re Pioneer Hi-Bred Int’l, Inc., 238 F.3d 1370(美联储. 圆形的. 2001). 因此, the traditional protection afforded by the opinion work product and attorney-client privileges has largely given way to a policy favoring mandatory disclosure of information provided to expert witnesses.
4. 如果冲突只在规则1下发生.7(b)(4), 那么修订后的规则就不一定会把取消资格的责任推给她的整个公司. 看到维.C. 规则1.10 (a) (1) (eff. 2月. 1, 2007). 仅仅因为作为专家的澳门赌场官网可能有财务, 业务, property or personal interest in a particular party does not always mean that her entire firm would thereby be precluded from representing a client adverse to that party.
