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[转贴lawandorder先生博文]纽约律师 “不规行为” (misconduct) 的纪律定义

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纽约律师 “不规行为” (misconduct) 的纪律定义（https://www.sinovision.net/blog/index.php?act=details&id=84872&bcode=lawandorder）

纽约律师 “不规行为” (misconduct) 的纪律定义

(Friday, July 08, 2011. 本文以及所有以前发表的法律文章只代表lawandorder 的本人观点，不构成也不能理解为是法律见解。时间仓促，错别字句法方面问题请谅解。)

《纽约律师职业纪律规则》 (《规则》) ("Rules of Professional Conduct"） (全文见 http://www.nycourts.gov/rules/jointappellate/NY%20Rules%20of%20Prof%20Conduct_09.pdf）（2009年4月1日修订）, 是由纽约州四个中级法院共同采用的统管纽约执业律师的纪律纲领。制定规则的目的是要保护律师这个崇高的职业，保护社会大众对这个职业的信心和尊重。

《规则》条款8.4 对纽约律师不轨行为 (misconduct) 有8项专门定义，一个律师不遵守或违反任何一项定义都构成纪律上的不规行为，应将受到纪律处罚。本条款禁止任何一个律师或律师所--

(a) 违反或试图违反任何《律师职业纪律规则》条例，或者知情协助或指使别人来违反《律师职业纪律规则》条例，或者通过别人的行为来违反《律师职业纪律规则》条例（“violate or attempt to violate the Rules of Professional Conduct, knowingly assist or induce another to do so, or do so through the acts of another;“）

(b) 介入参加任何反映律师不诚实，不可信，不适合做律师的不合法行为 ("engage in illegal conduct that adversely reflects on the lawyer’s honesty, trustworthiness or fitness as a lawyer;")

(d) 介入参加任何有损司法程序实施的行为 ("engage in conduct that is prejudicial to the administration of justice;“)

(e) 宣称或暗示有能力用不正当或不相关的手段来影响任何法院，立法机构或政府官员，或者有能力利用违反律师纪律或其他法律的手段达到某种结果（“state or imply an ability: (1) to influence improperly or upon irrelevant grounds any tribunal, legislative body or public official; or (2) to achieve results using means that violate these Rules or other law;”）

(f) 知情援助任何法官或法院官员作出任何违反《纽约法官纪律准则》（见http://www.nycourts.gov/rules/chiefadmin/100.shtml#pre）或违反其他法律等行为（“knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law;”）

(g) 进行任何歧视行为（“on the basis of age, race, creed, color, national origin, sex, disability, marital status or sexual orientation"）

(h) 介入参加反映不适合做律师的任何其他行为 (" engage in any other conduct that adversely reflects on the lawyer’s fitness as a lawyer").

按照《规则》条款8.4 (a) (见上)，律师违反《规则》中任何条款将构成不轨行为。本文再此选择并介绍以下《规则》条款（建议读者认真通读《规则》全文）：

第一，《规则》条款1.1（a）要求纽约律师在代理当事人的案件要有能力。 “有能力的代理” 要求律师具备和代理案件合理必需的法律知识，技能，透彻力，和准备. (" (a) A lawyer should provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.") 《规则》条款1.1（b）禁止纽约律师知道或应该知道在不依靠另外有能力的律师的情况下本身没有能力来受理的一个案件。（“(b) A lawyer shall not handle a legal matter that the lawyer knows or should know that the lawyer is not competent to handle, without associating with a lawyer who is competent to handle it."）《规则》条款1.1（c）要求纽约律师不可故意不按照法律或律师纪律条例合理存在的手段去争取当事人的利益，也不可再代理期间做出任何损害或有损于当时人的事宜 (" (c) lawyer shall not intentionally: (1) fail to seek the objectives of the client through reasonably available means permitted by law and these Rules; or (2) prejudice or damage the client during the course of the representation except as permitted or required by these Rules.")。

第二，《规则》条款1.6（a）要求纽约律师对“保密信息" 进行严格保密。 “保密信息”定义为“任何在代理或和代理当事人相关的情形下所获得的信息，不管来源方式如何，同时（a）受律师当事人特权保护，或者(b) 如果泄露出来会让当事人窘迫或对当事人不利，或者（c）当事人要求律师不能泄露的任何信息。（保密信息不包括律师的法律和法律研究，或者在当地或在该信息所相连的行业，领域，或职业普遍知晓的信息）（“‘Confidential information' consists of information gained during or relating to the representation of a client, whatever its source, that is (a) protected by the attorney-client privilege, (b) likely to be embarrassing or detrimental to the client if disclosed, or (c) information that the client has requested be kept confidential. 'Confidential information' does not ordinarily include (i) a lawyer’s legal knowledge or legal research or (ii) information that is generally known in the local community or in the trade, field or profession to which the information relates.") 《规则》条款1.6 要求纽约律师不可故意泄漏任何“保密信息，”或利用任何保密信息致使当事人不利处境，或利用任何保密信息对律师本人或第三者获取私利, 除非（1）当事人在知情下同意, (2) 泄漏信息将有利于当事人的利益并且也是合理或者执业惯例，或者(3) 在条款1.6(b)情形下律师可以泄漏。（"(a) A lawyer shall not knowingly reveal confidential information, as defined in this Rule, or use such information to the disadvantage of a client or for the advantage of the lawyer or a third person, unless: (1) the client gives informed consent, as defined in Rule 1.0(j); (2) the disclosure is impliedly authorized to advance the best interests of the client and is either reasonable under the circumstances or customary in the professional community; or (3) the disclosure is permitted by paragraph (b).")

按照1.6(b)条款，律师在以下情形下可以泄漏保密信息: (1) 避免合理确定的死亡或巨大的人身伤害; (2) 阻止当事人犯罪; (3) 律师本人撤回以前所作出的书面或口头但还有第三者继续依赖的见解，如果律师发现该见解是建立在性质上不准确信息或该见解被用来从事犯罪或欺诈; (4) 律师本人或律师楼来获取执行律师纪律规则或其他法律相关的法律见解; (5）在律师或律师职员被指控为有不规行为用来辩护，或来证明或收取律师费; (6）如果本规则其他条款允许或遵守法律或法庭法令。（(b) A lawyer may reveal or use confidential information to the extent that the lawyer reasonably believes necessary: (1) to prevent reasonably certain death or substantial bodily harm; (2) to prevent the client from committing a crime; (3) to withdraw a written or oral opinion or representation previously given by the lawyer and reasonably believed by the lawyer still to be relied upon by a third person, where the lawyer has discovered that the opinion or representation was based on materially inaccurate information or is being used to further a crime or fraud; (4) to secure legal advice about compliance with these Rules or other law by the lawyer, another lawyer associated with the lawyer’s firm or the law firm; (5) (i) to defend the lawyer or the lawyer’s employees and associates against an accusation of wrongful conduct; or (ii) to establish or collect a fee; or (6) when permitted or required under these Rules or to comply with other law or court order.")

[评论1：律师和当事人交流的内容在法律上进行全面保护的法律最早来自英国的16世纪。见 Bead v. Lovelace，21 Eng. Rep. 33 (1577)。其目的是达到“律师有效力的代理所必需的律师当事人之间开诚布公的交流。” 这个保护的用意就是“要鼓励律师当事人之间全部公开和坦诚的交流，以提高在遵守法律和司法程序实施上的大众利益。” （to encourage “full and frank communication between attorneys and their clients and thereby promote broader public interests in the observance of law and the administration of justice”） Upjohn Co. v. United States, 449 U.S. 383, 389 (1989). 因此，法院对律师保密当事人信息的例外有非常严格要求。特别是针对1，2， 3 种例外，一个律师如果认为有泄漏保密信息的例外时，一般要请求法院预先审阅是否例外有效（in camera review），然后由法官作出决定是否保密信息应该泄漏。还有，即使一个律师可以泄漏保密信息，律师也要做到只泄漏必须的相关信息。］

[评论2：律师和当事人之间所签订的代理协议书的内容，包括收费方式等，是保密信息，是受 1.6(a)条全保密的，不应随便在外泄漏。 [注：纽约法院不认为这个信息总是受“律师当事人特权所”保护。]

[评论3：律师在当事人正式解除代理关系之前必须像往常一样保护保密信息，不可在外泄漏。即使律师必须通过法院批准解除代理时，其请求文书也要对当事人相关保密信息保密，如果有人和对当事人不利的信息，要采取单独递交法官 ( ex parte in camera review)，不让对方律师或大众得知具体的解除原因，以来保护当事人的利益]

第三，《规则》条款3.1 要求纽约律师不可以递交或辩护一个指控无事实法律无依据的"轻浮” (frivolous) 案件。（“(a) A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous. ..."）如果一个律师提出一个在现有法律不能支持的法律要求或辩护，或者其行为除了拖延诉讼或骚扰或恶意损伤别人之外没有其他合理目的，或者该律师在知情的情况下做虚假事实陈述，那么这个律师的行为就是“轻浮。” ( (b) A lawyer’s conduct is “frivolous” for purposes of this Rule if: (1) the lawyer knowingly advances a claim or defense that is unwarranted under existing law, except that the lawyer may advance such claim or defense if it can be supported by good faith argument for an extension, modification, or reversal of existing law; (2) the conduct has no reasonable purpose other than to delay or prolong the resolution of litigation, in violation of Rule 3.2, or serves merely to harass or maliciously injure another; or (3) the lawyer knowingly assert s material factual statements that are false.") 。

第四，《规则》条款3.3 (a) 要求律师在法庭上不可以知情做出任何虚假事实或法律陈述，或知情的情况下不去改正已做出的虚假事实或法律陈述（“(1) make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer”）; 不可隐藏任何和其当事人的立场相反的法律根据（“(2) fail to disclose to the tribunal controlling legal authority known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel”）; 不可递交任何律师本人知道是虚假的证据。如果律师的当事人或其证人向法院递交了任何虚假不真的证据，律师必须采取合理的纠正措施，包括告知法庭（“(3) offer or use evidence that the lawyer knows to be false. If a lawyer, the lawyer’s client, or a witness called by the lawyer has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal..."）。