道德意见337

靠谱的滚球平台作为专家证人

A lawyer serving as an expert witness to testify on behalf of a party does not thereby establish an attorney-client relationship with that party. 因此,维.C. 规则1.第9条规定与前客户的利益冲突不适用于禁止靠谱的滚球平台随后对其作为专家证人作证的当事人采取不利立场, even where the matter for which the lawyer testified and the matter involved in the subsequent representation are substantially related to one another. 然而, 任何聘请靠谱的滚球平台作为专家证人的公司都应确保明确靠谱的滚球平台作为专家证人的角色，并在专家的角色变更为共同靠谱的滚球平台时获得客户的知情同意.

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

We have received an inquiry concerning the obligations of a lawyer who acts as an expert witness. The Inquirer is an attorney who has served as an expert witness in litigation involving bank regulatory and supervisory matters. 她被要求代表一名个人原告提供专家证词，该原告从一家被联邦政府接管的储蓄银行借钱，并将其资产(包括有问题的贷款)出售给另一家金融机构. 

被告银行的靠谱的滚球平台反对询问者担任专家证人，因为询问者以前受雇于的一家或两家靠谱的滚球平台事务所在前几年为被告银行做过法律工作. 为了本意见的目的，我们被要求假定D.C. 适用的规则是，询问者以前的靠谱的滚球平台事务所对被告银行的先前代理既不涉及当前诉讼中的原告(询问者希望为其作证)，也不涉及原告的贷款, 诉讼的唯一主题是什么. 《靠谱的滚球平台》以前从未为被告银行处理过任何事务, 她目前供职的靠谱的滚球平台事务所也没有.

讨论

A. A Lawyer Serving Solely as an Expert Witness Does Not Thereby Create an Attorney-Client Relationship 

A lawyer specializing in a particular legal subject may be engaged to serve as an expert witness who is expected to testify at a trial or hearing. 一般来说, a client-lawyer relationship can come into being as a result of reasonable expectations of the client and a failure of the lawyer to dispel these expectations. 看到 D.C. 靠谱的滚球平台操守行动. 316(2002)(承认在相关司法管辖区，导致靠谱的滚球平台-委托人关系的行为属于实体法范畴，但“任何法院都要考虑假定委托人的合理期望和信赖”); 另请参阅 ABA正式Op. 95-390 at 8. Clients can reasonably expect that lawyers whom they consult to perform legal services for them are bound by certain basic professional obligations, 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，靠谱的滚球平台也应遵守D.C. 关于提供“与法律有关的服务”的专业行为规则," which are defined as "services that might reasonably be performed in conjunction with and in substance are related to the provision of legal services." D.C. 规则5.7 (b) (eff. 2月. 1, 2007).

我们相信, 然而, 如果一名靠谱的滚球平台仅仅代表另一家靠谱的滚球平台事务所的客户担任专家证人,¹ 靠谱的滚球平台事务所在一开始就向客户解释这个角色, then the expert witness would not typically have an attorney-client relationship with the party for whom she may be called to testify. 靠谱的滚球平台:受雇就法律要求或法律实务标准作证的靠谱的滚球平台, 例如, 表现得像个非靠谱的滚球平台专家证人. The expert provides evidence that lies within her special area of knowledge by reason of training and experience and has a duty to provide the court, 代表另一家靠谱的滚球平台事务所及其客户, 真实准确的信息. 朝着这个方向, 作为专家证人的靠谱的滚球平台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, 并与靠谱的滚球平台事务所交换适用于她证词的法律授权. The testifying expert also may help the law firm to define potential areas for further inquiry.

She nevertheless is presented as an objective witness and must even provide opinions adverse to the party for whom she expects to testify if frankness so dictates. 有责任通过一切合法手段努力推进客户的目标, 客户-靠谱的滚球平台关系的本质是什么, 看到 D.C. 规则1.3、与专家证人的作用不符. 此外, if an expert may testify at trial and her name has been provided to opposing counsel under procedural rules, 她可能会被反对党罢免. Communications between the expert and the retaining law firm or its client used by the expert in preparing her testimony ordinarily are discoverable.

美国靠谱的滚球平台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, 大多数考虑过这一问题的州靠谱的滚球平台道德委员会都提出了支持以下结论的意见，即聘请作为专家证人的靠谱的滚球平台与她受聘作证的当事人没有形成客户-靠谱的滚球平台关系. 看,e.g.维吉尼亚州靠谱的滚球平台道德操守小组. 1884(1989)(注意到如果靠谱的滚球平台纯粹作为专家证人, 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)(为保险公司A为保险公司B提出的恶意索赔辩护的专家证人靠谱的滚球平台可以代表保险公司B的被保险人对第三方提出不相关的索赔, in part because insurance company A is not the expert witness’s client); Phila. (Pa.)靠谱的滚球平台Ass教授. 指导通讯. Op. 88-34(1988)(宾夕法尼亚州规则允许靠谱的滚球平台为一方当事人担任专家证人，同时在另一起不相关的诉讼中为对方当事人担任专家证人).

D.C. 规则1.第9条规定:“曾经在一件事情上代表客户的靠谱的滚球平台，此后不得在同一件或实质性相关的事情上代表另一个人，如果该人的利益与前客户的利益有重大不利关系，除非前客户在咨询后同意。.” Id. 我们已经讨论过了, a client-lawyer relationship will not exist by virtue of the Inquirer’s serving as an expert witness. 因此，规则1.9不是由本次质询触发的.²

B. 明确靠谱的滚球平台/专家的角色

聘请靠谱的滚球平台作为专家证人的靠谱的滚球平台事务所应注意避免委托人对靠谱的滚球平台作为专家证人所扮演的不同角色产生混淆. 为了避免任何关于客户-靠谱的滚球平台关系是否建立的误解, the law firm should make the expert’s role clear at the outset of the engagement - 例如, 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. 聘请专家证人的靠谱的滚球平台事务所也有责任确保其客户充分了解专家作用的性质, 看到 D.C. 规则1.4, especially because any communications between the client and lawyer expert are likely to be discoverable.³

在实际操作中, the distinction between the role of a lawyer acting as an expert witness and a lawyer acting in a representational capacity can become blurred. 最简单的情况, 我们上面已经讨论过了吗, 当靠谱的滚球平台被聘为专家证人时，靠谱的滚球平台专家与聘请靠谱的滚球平台事务所或靠谱的滚球平台事务所的客户没有靠谱的滚球平台-客户关系吗.

A more complicated situation can arise when a lawyer serving as co-counsel in the case becomes an expert witness. 在这种情况下, 《靠谱的滚球平台》明确适用, 客户需要对靠谱的滚球平台角色的改变给予知情同意. 例如, 如果案件中的靠谱的滚球平台成为专家证人, 委托人需要明白，无论向靠谱的滚球平台透露了什么机密和秘密，现在靠谱的滚球平台已经成为证人，可能会被发现. D.C. 规则1.6(e)(1) requires a client’s informed consent before any such confidences or secretes may be used or revealed.

第三种情况是，原本被聘为专家证人的靠谱的滚球平台被要求成为案件不同方面的顾问或联合靠谱的滚球平台，这增加了一些额外的复杂性. 专家证人会变成协理靠谱的滚球平台吗, 专家证人必须特别小心，以确保靠谱的滚球平台事务所和客户充分了解情况，并明确同意靠谱的滚球平台继续就案件中的某些问题担任专家证人. 看到 D.C. 规则1.2(c) (stating that a “lawyer may limit the objectives of the representation if the client consents after consultation.”)担任顾问或协理靠谱的滚球平台的靠谱的滚球平台，显然受《靠谱的滚球平台条例》的约束.C. 职业行为准则 relating to conflicts of interest and imputed disqualification with respect to such service.

C. 额外的注意事项

Even though the lawyer’s role as an expert witness does not form a client-lawyer relationship with the party on whose behalf she is to be called, 作为专家证人的靠谱的滚球平台仍受D.C. 一般管理靠谱的滚球平台的职业行为规则. 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) may impose certain limitations upon the lawyer and her law firm as a result of her serving as an expert witness. 例如, if she were asked to represent a client in a matter adverse to the party for whom she currently is serving as an expert, 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 And if she were asked to represent a client after the conclusion of her service as an expert witness, she might be bound by a confidentiality agreement with the party for whom she testified that could preclude her from zealously representing the new client. 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), 靠谱的滚球平台只有在“合理地相信(她)能够为每一位受影响的客户提供称职和勤勉的代理”的情况下，才能代表客户。).

批准日期:2006年12月19日
出版日期:2007年2月

1. This question is distinct from a consultant providing expert legal advice to a firm and/or its client. 法律顾问可以作为代表客户的靠谱的滚球平台，而不是证人. The lawyer as expert consultant may act in the role of co-counsel in the matter as to the area upon which she is consulted and as such is subject to all of the D.C. 职业行为准则. There are a wide variety of circumstances in which a lawyer acts as a consultant and may thereby be undertaking a representation. 参见D.C. 规则1.6 (e) (6) (eff. 2月. 1, (允许与另一名靠谱的滚球平台进行咨询的靠谱的滚球平台“在获得法律咨询的合理必要范围内”使用或泄露客户的机密和秘密).
2. 我们注意到, 即使询问者代表某一特定当事方作为专家证人构成该当事方的“代表”，足以触发丁方的义务.C. 规则1.她和她的新靠谱的滚球平台事务所都不会因为这些事实而被取消资格. The Inquirer never personally represented the defendant bank while working at her prior law firms, 而且她的新律所从未代理过被告银行. Because the defendant bank is not a client “about whom the [Inquirer] has in fact acquired information protected by 规则1.那是重要的,“新成立的靠谱的滚球平台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. 26 was amended to make information “considered” by an expert witness discoverable (previously, 这是一个狭义的“信赖”标准。). The comments to this amendment state that its disclosure requirements were intended to overcome privilege claims, 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, 传统上由意见、工作成果和靠谱的滚球平台-委托人特权提供的保护在很大程度上已经让位于一项有利于强制披露提供给专家证人的信息的政策.
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靠谱的滚球平台可能有财务, 业务, 某一特定当事人的财产或个人利益并不总是意味着她的整个事务所将因此被排除在代理与该当事人不利的客户之外.