伦理意见250

Duty to Turn Over Files of Former Client to New Lawyer When Unpaid 费用 Are Outstanding

主张对工作产品保留留置权以确保前客户支付未付费用是不赞成的，只有在明确符合规则1的所有条件的情况下才应进行.已满足第8(i)条.

适用的规则

• 规则1.8(i)(客户档案留置权)
• 规则1.16(d) (Termination of Representation)

调查

从1988年到1993年, Inquirer was a partner or counsel to a law firm in the District of Columbia, specializing in representing clients before the Federal Communications Commission (FCC). In 1993, he left that law firm and established a practice as a sole practitioner. 询问者在他的前澳门赌场官网事务所服务的许多客户都“跟随”他到他的新澳门赌场官网事务所，并授权询问者告诉他的前澳门赌场官网事务所，他们指示该事务所将他们的文件交给询问者. 然而, 这些客户中至少有一些还欠着《澳门赌场官方软件》前律所的未付费用.

询问者提出了一些问题，即是否必须将欠公司未付费用的客户档案中的特定类型的文件交给他, 根据客户的要求, 根据规则1.16(d), 或者他的前公司是否有权根据规则1扣留这些材料作为“工作产品”.8(i).

讨论

代理终止时处理客户文件的规则是相当清楚的. 根据规则1.16(d)就终止代理事宜，澳门赌场官网须“在合理可行的范围内及时采取措施保护客户的利益”, including “surrendering papers and property to which the client is entitled.规则1.16(d)还规定, 然而, that the lawyer “may retain papers relating to the client to the extent permitted by 规则1.8(i).”

规则1.8(i), 反过来, permits a lawyer to impose a lien (often c所有ed a “retaining lien”) upon a client’s files1 to secure payment of fees—but only to a very limited extent. Under DR 5-103(A) of the Code of Professional Responsibility, in effect in the District of Columbia through 1990, 澳门赌场官网被广泛允许对客户的档案主张留置权，以确保支付费用. But even this rule was interpreted narrowly by this Committee, 这句话的意思是, 有一种观点认为, that retaining liens should not be permitted. 看到 意见没有. 59(未注明日期)，注13. 另请参阅 意见没有. 119(四月十九日), 1988), in which we described the retaining lien as “an unattractive and potenti所有y quite harmful tool.”

这些关切反映在哥伦比亚特区通过的《澳门赌场官方软件》中, 1991年生效. 规则1.美国澳门赌场官网协会《澳门赌场官方软件》第8(j)条广泛允许在客户档案中主张留置权，以确保支付费用, D .的平行规定.C. 职业行为规则，规则1.8(i)要窄得多. It bars imposition of a lawyer’s lien on a client’s files, “except upon the lawyer’s own work product, and only to the extent that the work product has not been paid for.规则1.第8(i)条进一步规定，允许澳门赌场官网向客户扣留工作成果的例外情况不适用于客户已无法支付未付费用或扣留工作成果“将对客户造成无法弥补的损害的重大风险”的情况.” As discussed in our recent 意见没有. 230(1992)，对规则1的评论.第8(i)条及其“立法历史”强调，一般规则是在代理终止时将所有档案交给客户, and that the work product exception should be construed narrowly. 因此Comment[9]强调只有“澳门赌场官网自己努力产生的材料”才包括在工作产品例外中，而不是 所有 work product can be withheld “merely because a portion of the lawyer’s fees had not been paid.“同样, 评论[10]指出，客户“可能因扣留工作产品而不可挽回地失去一项重要权利或承担重大责任”的可能性构成了不可挽回的损害, requiring that the work product be surrendered even if the fees are unpaid.

总而言之, 在我们看来，保留客户档案留置权现在在哥伦比亚特区非常不受澳门赌场官网, that the work product exception permitting such liens should be construed narrowly, 澳门赌场官网只有在例外明确适用的情况下，以及澳门赌场官网的经济利益“明显超过其前客户受到不利影响的利益”时，才应该对与前客户有关的工作成果主张留置权.” D.C. 酒吧Op. 59, 在上.

With these principles in mind, we turn to the specific questions raised by the Inquirer.

询问者首先询问客户文件的特定类别是否属于规则1的工作产品例外.8(i). 我们同意询问者的观点，即包含向FCC提交的申请副本以及与这些申请相关的修订和通信(也向FCC提交)的文件不属于工作产品例外. 不管它们的初始状态如何, once such materials are filed with a public agency, 它们不是工作产品. 类似的, 我们同意询问者的意见，即包含向FCC提交的诉状和FCC发布的授权的文件不构成工作产品. We also agree that documents prepared by persons outside the law firm (e.g., 其他当事人提出的诉状, 报纸上的文章, 澳门赌场官网稿)和客户或第三方给澳门赌场官网事务所的信件显然不构成工作成果, since they were not prepared by lawyers or other personnel of the law firm. 最后, copies of correspondence previously sent to the client should not be withheld, 在我们看来, even though such copies might be considered work product in a technical sense.2

另一方面, we believe that materials such as drafts of pleadings, 申请或其他文件, 会议记录、研究备忘录和材料构成符合规则1的工作成果.8(i) exception so long as they were prepared by a lawyer or other employee of the law firm.

The Inquirer also asks about the scope of the work product lien when a client, at the time of termination of the representation, has paid some but not 所有 of the lawyer’s or law firm’s fees. 正如评论[9]所言, 并不是所有的工作成果都可以仅仅因为没有支付澳门赌场官网费的一部分而被扣留. 如果未支付的费用可以在时间基础上确定，则相对容易适用规则1.8(i):只有在未付费用期间产生的工作成果才可予以扣留. 因此, 例如, if a terminated client has paid fees through 1992, and outstanding fees relate only to work done in 1993, the law firm may withhold only work product produced in 1993. Where the time period covered by unpaid fees cannot be clearly identified, the lawyer may withhold only work product that clearly has not been paid for.

最后, the Inquirer notes that some of his clients have advised his former firm that, 因为询问者“继续需要(代表客户)及时回应FCC的询问和要求”。, 你对[客户]文件的任何工作成果的隐瞒都将对我的利益造成无法弥补的重大损害.” The Inquirer asks whether this assertion by the client is binding on the former firm, 排除它调用规则1.(i)留置权未付的工作产品. 我们相信, while such an assertion by a former client must be given great weight by the firm, 这不是决定性的. 澳门赌场官网必须自己判断，如果工作成果被扣留，客户是否会受到不可弥补的伤害. 当然，如果这个问题是一个亲密的问题，澳门赌场官网必须给予客户怀疑的好处.

调查没有. 93-6-13
通过:1994年10月18日

1. 规则1.8(i) does not address the question of when a lawyer may assert a retaining lien against client property other than files in the lawyer’s possession; that issue is presumably governed by statutory or common law of the jurisdiction.
2. If the lawyer wishes to keep copies of files sent to a former client, the lawyer must bear the cost of making such copies. 看到维.C. 酒吧Op. 168(1986年4月15日).