Ethics Opinion 330
Unbundling Legal Services
The provision of legal services through unbundled legal service arrangements is permissible under D.C. Rule 1.2, 前提是客户充分了解代理范围的限制，并且这些限制不妨碍提供合格的服务. 不仅仅是胜任的责任, 但是，澳门赌场官网与客户之间关系的所有义务都将适用于这种安排, including diligence, loyalty, communication, 保密和避免利益冲突. 与正在诉讼的一方当事人打交道的对方澳门赌场官网 pro se 是否应将该方视为无代表，除非该方或该方澳门赌场官网提供合理通知，说明该方已获得法律代表. The D.C. 《澳门赌场官方软件》并没有明确要求澳门赌场官网在向澳门赌场官网提供协助时必须向法院表明自己的身份 pro se 诉讼当事人准备提交法庭的文件, 但是提供这种帮助的澳门赌场官网 pro se 诉讼人应查核有关司法管辖区的其他法律来源是否有披露要求.
应用程序licable Rules
- Rule 1.1 (Competence)
- Rule 1.2 (Scope of Representation)
- Rule 1.3 (Diligence and Zeal)
- Rule 1.4 (Communication)
- Rule 1.6 (Confidentiality)
- Rule 1.7, 1.9(利益冲突规则)
- Rule 3.3(对法庭的坦诚)
- Rule 4.2(澳门赌场官网与对方沟通)
- Rule 4.3(处理无代表人士)
Inquiry
根据这一意见，我们与许多其他司法管辖区的道德委员会一起审查“分拆”法律服务的做法. “拆分”指的是将全面服务澳门赌场官网通常执行的任务拆分为独立的组件, only some of which the client contracts with the lawyer to provide.1
非捆绑服务安排的例子包括由澳门赌场官网起草起诉状或上诉摘要供客户提交 pro se, counsels a client through an uncontested divorce without filing a notice of appearance in the case, 或者就如何建立债务催收程序或为其起草合同向小企业提供建议. 看到 美国澳门赌场官网协会诉讼部, 适度手段工作队的报告, 有限范围法律援助手册16-46(2003年)[以下简称美国澳门赌场官网协会专责小组](举了许多例子). 提倡者认为，这种安排提供了创造性的方法，以解决目前向经济拮据人士提供法律服务的危机. Id. (注意到哥伦比亚特区90%的家庭关系案件中至少有一方没有代表). By paying for only some of the services a full service lawyer would provide, 客户可以省下一大笔钱. Even more importantly, 经济条件一般的当事人可能有能力获得法律服务，否则他们将无法获得这些服务. For example, 客户可能无法签订需要预先支付数千美元定金的全面服务代理协议, 但他们有能力按照相同的收费标准，按现收现付的方式支付澳门赌场官网的费用.
As all commentators who have addressed the increasing popularity of unbundling arrangements have noted, however, 这种做法引发了重大的道德问题. 因此，我们致函就法律服务分拆可能在《澳门赌场官网》下引发的问题提供指引.C. 职业行为准则.
Discussion
The first question is whether the unbundling of legal services is permissible at all under the D.C. Rules. We are convinced that it is. In so concluding, 我们加入我们所知道的所有其他司法管辖区的道德委员会和司法意见，以推断客户可以, 如果完全知情并自愿同意, contract for limited service arrangements with a legal services provider.2 这个结论是基于D.C. Rule 1.2(c), 哪条规定“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?." Unbundling legal services is simply a limiting of the objectives of a lawyer-client relationship. In this sense it is neither particularly novel nor particularly troubling.3
It is likewise clear, however, 通过分拆安排提供法律服务不能抹掉适用的专业行为规则. 我们最近在第316号意见中审议了类似的问题, 其中，我们调查了澳门赌场官网通过网络聊天室提供法律信息的情况. As we noted there, once the provision of even limited legal services gives rise to a client-attorney relationship, D的所有日常职责.C. 职业行为准则是依附于这种关系的.4 D.C. Ethics Op. 316 at 231. 这些职责包括, diligence, communication, 保密和避免利益冲突. Id.
Competence
D.C. Rule 1.1 provides that lawyers must provide competent representation to their clients, and the unbundling of legal services in no way obviates lawyers’ duties of competence. In other words, the scope of the services may be limited but their quality may not. 受雇诊断法律问题, 在分拆安排下提供服务的澳门赌场官网必须像打算继续处理案件直至结案的澳门赌场官网一样彻底地确定法律问题. 看到 D.C. Rule 1.也许最基本的法律技能包括确定一种情况可能涉及什么样的法律问题。. 当澳门赌场官网发现客户有超出有限服务协议范围的法律问题时，应通知客户该问题, 事实是她并没有代表当事人, and that the client should consider seeking independent legal representation. 看到 Los Angeles County 酒吧 Assoc. Ethics Op. 502, at 1 (Nov. 4, 有限范围安排中的澳门赌场官网有责任提醒客户注意那些相当明显的法律问题, 即使他们不属于留存范围, 并告知客户，代理的限制可能会导致需要获得额外的建议, 包括就该代表的附属事宜提供意见”).5
另一个考虑因素是，是否可以通过有限的服务安排来妥善处理某一事项. 由于这些限制，短期或有限目的的安排可能会限制澳门赌场官网协助客户解决复杂法律问题的能力, 有些情况下可能不适合解绑. 美国职业道德协会2000委员会对示范规则1的修订.因此，第2(c)款规定，只有“在有关情况下，这种限制是合理的”，澳门赌场官网才可以限制代理的范围," and in accompanying comment [6] gives the following explanatory example:
If, for example, 客户的目标仅限于获取有关客户所需法律的一般信息，以便处理常见且通常不复杂的法律问题, 澳门赌场官网和委托人可以约定澳门赌场官网的服务仅限于简短的电话咨询. Such a limitation, however, 如果分配的时间不足以提供客户可以信赖的建议，这是否不合理.
美国澳门赌场官网协会特别工作组给出了以下补充建议:“在决定有限代理是否合适时，澳门赌场官网应考虑几个因素, 包括客户端的容量, 法律问题的性质和重要性, the degree of discretion that decision-makers exercise in resolving the problem, 争端解决机制的类型, and the availability (or not) to the client of other self-help resources." ABA Task Force at 59.6
同样重要的是客户对分拆安排下提供的服务范围的理解. 因为被排除在有限服务协议之外的任务通常会落在客户身上，或者根本不会完成, 客户必须清楚了解有限代理协议下的责任分工. The D.C. Rules generally require only a written statement of the basis of an attorney’s fee, but not individualized written retainers or representation agreements. 看到 D.C. Rule 1.5(b) & comment [2]. Particularly in the context of limited-representation agreements, however, 以书面形式清楚说明提供服务的协议包括哪些内容，不包括哪些内容，将有助于确保双方的相互理解. 看到 D.C. Ethics Op. 第238(1993)条(要求澳门赌场官网以书面说明如何向客户收取额外的咨询时间).
Conflicts of Interest
在有限服务代理的背景下，很少有考虑利益冲突问题的先例, 但纽约市澳门赌场官网协会职业和司法道德委员会(“委员会”)最近的一项意见提供了有益的初步指导. In Opinion 2005-01, 委员会审议了两个澳门赌场官网协会无偿项目，根据这些项目，大型商业澳门赌场官网事务所提供初步法律咨询, 有时还有一些额外的表示, 向个人申请破产保护. 询问者解释说，公益澳门赌场官网在每次咨询之前进行全面的冲突调查，以确定潜在客户的债权人是否为公益澳门赌场官网事务所的客户，这是不可行的. In considering this issue, 委员会审查了有关第7章债务人经常陷入债权人反对清偿债务的争议程序的证据. The statistics showed that such contested Chapter 7 proceedings are rare. 因此，委员会得出结论，参与公益项目的澳门赌场官网有义务避免因代理与本公司现有客户不利的客户而产生的冲突, 但他们一般可以通过确定, 在与债务人的初次面谈中, 是否有任何不寻常的事实表明与某一特定债权人有直接的不利关系，从而需要进一步调查该债权人是否是公司的客户. Moreover, the Committee observed, 在极少数情况下，客户债权人反对债务的解除或以其他方式采取不利于第七章债务人的行动, 公益澳门赌场官网不能代表债务人，除非双方当事人在充分披露后同意双重代理. In other words, 在提出的特定事实下，与另一个客户发生不利情况的可能性较低，因此减少了与初步咨询相关的冲突调查的程度. 哪里更有可能发生这种冲突, however, 规则不会仅仅因为第二个客户的代理涉及有限的服务安排而改变.
In short, attorneys participating in unbundled service arrangements owe the duties of diligence, promptness, loyalty, and communication within the defined scope of the representation as does any lawyer under D.C. Rules 1.3 and 1.4, along with the duties of 保密和避免利益冲突 under D.C. Rules 1.6, 1.7, and 1.9.7 看到 D.C. Ethics Op. 澳门赌场官网在互联网上提供量身定制的法律建议，而不是一般的法律信息，可能会建立一种澳门赌场官网-客户关系, in doing so, 承担与提供面对面法律咨询的澳门赌场官网同样的保密和避免冲突的责任).
与对方沟通
With respect to some issues, however, attorneys’ duties in the context of unbundled service arrangements are less clear. 其中一个问题涉及与反对党的沟通. When an attorney is assisting a client for some purposes but not for others, the question may arise as to whether that client is "represented" for purposes of D.C. Rule 4.2, 这条法律禁止澳门赌场官网在未经当事人的代理澳门赌场官网同意的情况下，直接与当事人“就该案件中已知由另一位澳门赌场官网代理的当事人”进行沟通. D.C. Rule 4.2(a).
When a lawyer provides only limited or behind-the-scenes assistance to a litigant who has filed pro se, opposing counsel cannot be expected to be aware of the lawyer’s involvement. In such a situation, opposing counsel acts reasonably in proceeding as if the opposing party is not represented, 至少在另行通知之前.8 即使澳门赌场官网有理由知道 pro se 当事人正在接受一些幕后的法律帮助, 如果让该澳门赌场官网承担确定涉事范围和性质的责任，那将是过分繁重的. 因此，我们认为澳门赌场官网处理诉讼当事人的最合理做法是 pro se 是将当事人视为无法定代理人吗, 除非当事人或当事人的澳门赌场官网提供合理的通知，说明当事人已获得法律代理.
Disclosure of Involvement
法院和道德委员会评价与法律服务分拆有关的做法时最难以达成一致意见的问题是，澳门赌场官网在为诉讼当事人起草将提交法庭的文件提供实质性协助时，必须在多大程度上披露其参与情况. 一些意见认为，澳门赌场官网不需要披露他们参与准备法庭文件的情况;9 others have concluded that attorneys should disclose their involvement.10
在仔细检查了D.C. Rules and opinions from various jurisdictions, we conclude that nothing in the D.C. 《澳门赌场官方软件》要求澳门赌场官网提供协助 pro se 诉讼人准备法庭文件，以便在这些文件上署名或以其他方式披露他们的参与. 提供有限服务协助的澳门赌场官网通常不会将文件的准备工作进行到底，因此无法控制澳门赌场官网提交的最终文件中的内容 pro se litigant. 看到 ABA Task Force at 75 (listing this and other concerns identified in a lawyer focus-group study). Some opponents of the practice of "ghostwriting" court documents, as it is frequently called, 认为这种做法的主要罪过是，它误导法院认为当事人是在没有法律援助的情况下进行诉讼，从而给予当事人特别关怀. This, however, is an issue for the courts to identify if they perceive a problem with the practice. 一些司法管辖区对规则进行了具体修改，以解决澳门赌场官网在提供有限起草协助方面的义务 pro se litigants,11 但是，在D中没有任何此类指令的情况下.C. Rules, we decline to read into them an obligation concerning disclosure of limited assistance.
In sum, 我们认为，在D . 1项下，通过非捆绑法律服务安排提供法律服务是允许的.C. Rule 1.2, 前提是客户充分了解代理范围的限制，并且这些限制不妨碍提供合格的服务. The duties that generally attach to lawyer-client relationships, 包括那些有能力的, diligence, loyalty, communication, 保密和避免利益冲突, apply to such relationships. If a party is proceeding pro se, 对方澳门赌场官网应将该方视为无代表，除非该澳门赌场官网收到该方或其澳门赌场官网的合理代理通知. Attorneys who provide substantial assistance in the preparation of documents to be filed in court or other tribunal should check the rules of the relevant forum to determine the extent of their disclosure obligations; the D.C. 《澳门赌场官方软件》没有解决这个问题.
Adopted: July 2005
Published: July 2005
1. 一位主要的支持者是这样解释拆分的:
[L]澳门赌场官网通常提供一整套服务，包括传统的法律代理. More specifically, 澳门赌场官网代表委托人含蓄或者明确地承担下列业务:(一)收集事实, (2) advising the client, (三)发现对方当事人的事实, (4) researching the law, (五)起草函件和文件, (6) negotiating, (七)出庭代理委托人.
When a client hires a lawyer, 一般情况下，委托人和澳门赌场官网都认为澳门赌场官网将以全套服务的形式提供这些服务. . . . 分拆这些不同的服务意味着客户可以负责从澳门赌场官网的服务中选择全部服务的一部分，并相应地与澳门赌场官网签订合同.
Forrest S. Mosten, Unbundling of Legal Services and the Family Lawyer, 28 Fam. L. Q. 421 (1994). A recent symposium also considers the ethical issues involved in unbundling arrangements. 参见《澳门赌场官网实务》，2004，第59-106页.
2. 这些观点的样本包括勒纳v. Laufer, 359 N.J. Super. 201, 217, 819 A.2d 471, 482 (N.J. Super. Ct. 应用程序. Div. 2003年)(“法律从来没有剥夺过当事人的权利, informed citizens to resolve their own disputes in whatever way may suit them"); Alaska 酒吧 Assoc. Ethics Op. No. 93-1 (May 25, 1993) (lawyer may ethically limit the scope of his representation but must notify client clearly of the limitations on the representation and the potential risks the client is taking by not having full representation); Arizona State 酒吧 Assoc. Ethics Op. No. 91-03, at 4 (Jan. 15, 1991) (lawyer may agree to represent a client on a limited basis as long as the client consents after consultation and representation is not so limited in scope as to violate ethics rules); ABA Informal Op. 1414 (June 6, (澳门赌场官网可为自行诉讼的当事人提供意见和协助准备诉状).
3. 看到, e.g., Colo. 酒吧 Ass’n Ethics Comm., Formal Op. 101, at 2 (Jan. 17, (注意到客户要求其澳门赌场官网“提供离散的法律服务”的“常见和传统”安排的例子, 而不是处理整个项目的所有方面。”).
4. 看到 also ABA Task Force, 7分(提供有限服务援助的澳门赌场官网“与他们所帮助的人建立澳门赌场官网-客户关系”).
5. 看到 also ABA Task Force, at 25 ("although representation may be limited to an interview and advice, the interview must be at least as thorough as full-service representation").
6. 参见纽约城市酒吧屁股的行动. 2005-01(“澳门赌场官网应独立评估案件的复杂性或客户的局限性是否使客户不可能有效地进行法律程序”).
7. 我们还注意到，根据目前提议的对D.C. Rule 6.5, D.C. Rules 1.7 and 1.第9条将适用于“在非营利组织或法院赞助的项目下”为客户提供“短期有限法律服务”的澳门赌场官网，前提是该澳门赌场官网知道代理客户涉及利益冲突," and D.C. Rule 1.只有当该澳门赌场官网知道与该澳门赌场官网有关联的另一名澳门赌场官网因规则1而被取消资格时，第10条才适用.7 or 1.9 with respect to the matter." 看到 District of Columbia 酒吧 职业行为准则 Review Committee, 哥伦比亚特区职业行为规则的拟议修正案:报告和建议. 31, 2005).
8. 一些司法管辖区修改了其规则，以便更直接地处理澳门赌场官网与接受有限法律援助的一方的沟通问题. 看到, e.g., Colo. RPC 4.2 comment ("a pro se party to whom limited representation has been provided . . . is considered to be unrepresented for purposes of this Rule unless the lawyer has knowledge to the contrary"); Colo. RPC 4.3 comment ("pro se parties to whom limited representation has been provided . . . are considered to be unrepresented for purposes of this Rule"); Me. 酒吧. R. 3.6 (f) (party being provided with limited representation "is considered to be unrepresented" except to extent the limited-representation attorney provides written notice to opposing counsel of the time period in which counsel should communicate only with the limited-representation attorney); Wash. RPC 4.2 (b); 4.3 (b) (similar to Maine).
9. 看到, e.g.他是洛杉矶县澳门赌场官网事务所的澳门赌场官网. 502 (1999) (attorneys assisting pro se litigants need not disclose their involvement); Professional Ethics Commission, Op. No. 89(2003)(澳门赌场官网在起草起诉状供当事人存档并自行进行诉讼时没有不道德行为).
10. 看到, e.g., Duran v. Carris, 238 F.3d 1268 (10th Cir. 2001) (participation by attorney in drafting pro se appellate brief must be acknowledged by signature); Lerner, 在上, 819 A.2d at 483 n.2 (suggesting that "any party’s consent to limit the attorney’s scope of representation . . . should be fully disclosed to the court"); Ricotta v. State, 4 F. 增刊.2d 961, 986-88 (S.D. 加州. 澳门赌场官网未能揭示她在起草辩护人对被告驳回动议的冗长反对意见中所起的广泛作用是不恰当的, but court would not hold counsel in contempt because rules of professional conduct and court rules failed to provide clear guidance); New York State 酒吧 Ethics Op. 613, at 5 (April 1990) (lawyer who assists pro se litigant in preparation of documents to be filed in court must disclose her name); Del. 酒吧 Ass’n Ethics Op. 1994-2, at 2 (May 6, 1994) (if an organization prepares documents other than initial pleadings, the extent of the organization’s participation should be disclosed by means of a letter to opposing counsel and the court); Kentucky 酒吧 Assoc., Ethics Op. E-343 (Jan. 1991) (counsel may limit representation of a pro se litigant to preparation of initial pleadings, 而且“大多数人认为澳门赌场官网的名字应该出现在诉状上”)。.
11. The State of Washington, for example, has adopted rules that authorize lawyers to help otherwise self-represented persons to draft pleadings, 在法庭上提交的动议和文件，并依赖于其他自我代表的人对事实的陈述，除非澳门赌场官网有理由相信这种陈述是虚假的或严重不足的." Wash. Super. Ct. R. 11(b). 科罗拉多州要求澳门赌场官网“告知辩护人，澳门赌场官网提供起草协助的辩护书或文件必须包括澳门赌场官网的姓名。, address, 电话号码和注册号," but provides that this disclosure does not "constitute entry of appearance by the attorney." Colo. R. 文明. P. 11(b).
