ABAモデルルール2.3 〔第三者向けの査定書〕
Rule 2.3: 第三者向けの査定書
(a) 弁護士は、査定書を作成することが依頼者との関係性に適合すると合理的に考える場合には、依頼者に関係する案件に関して、依頼者以外の者が使用するための査定書を提供することができる。
(b) 査定書が依頼者の利益に重要かつ不利益な影響を与える可能性があると弁護士が知り又は合理的に知り得べきときは、弁護士は、依頼者の告知に基づく同意がない限りは、その査定書を提供してはならない。
(c) 査定書の報告に関連して開示が許されるものを除き、査定書に関する情報はRule 1.6による保護の対象となる。
Rule 2.3: Evaluation for Use by Third Persons
(a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client.
(b) When the lawyer knows or reasonably should know that the evaluation is likely to affect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent.
(c) Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6.
ABAモデルルール 1.8(h) 〔弁護過誤による責任の制限〕
(h) 弁護士は、以下のことを行ってはならない。
(1) 依頼者が独立した代理人によって代理されて締結するのでない限り、自身の弁護過誤に関する依頼者に対する責任を将来的に制限する契約を締結してはならない。
(2) 独立した弁護士の助言を求めることが望ましいことを書面により助言され、その助言を求める合理的な機会が与えられない限り、代理人でない依頼者または元依頼者との間で、そのような責任に関する請求または請求の可能性を解決すること。
Rule 1.8: Current Clients: Specific Rule
(h) A lawyer shall not:
(1) make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement; or
(2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith.
※将来の弁護過誤による責任を制限するのは、依頼者に独立した別の代理人がついてその代理人と契約する場合に限って認められる。すでに起きた弁護過誤に対する責任を制限するのは、独立した別の弁護士に助言を求めるよう助言し、その機会も十分に与えなければならない。
ABAモデルルール 4.3 〔代理人が就いていない人への対応〕
Rule 4.3: 代理人が就いていない人への対応
依頼者の代理人として、弁護士が代理していない人に対応するときは、弁護士は、明示的に又は黙示的に、自身が公平な立場にある旨を述べてはならない。相手方が当該案件における当該弁護士の役割を誤解していると知り又は合理的に知り得べきときは、当該弁護士は、その誤解を是正するために合理的な努力をしなければならない。弁護士は、弁護士に代理されていない人の利益が自分の依頼者の利益と相反することを知り又は合理的に知り得べきときは、その人に対して、弁護士に相談・依頼すべきであるという助言以外の法的助言をしてはならない。
Rule 4.3: Dealing with Unrepresented Person
In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer’s role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.
※相手方本人（土地の売主）から「買主が代金を支払わなかったら土地は自分に戻ってくるのか」と聞かれて、「自分は買主の代理人でありあなたの代理人ではない、私の見解では買主が代金を支払わなかったら土地はあなたに戻ることになるが、あなたは別の独立した弁護士に相談すべきである」と答えたら、Rule4.3違反になる。
ABAモデルルール 6.3(b) 〔法的サービス組織への参加〕
Rule 6.3: 法的サービス組織への参加
弁護士は、たとえある法的サービス組織が自身の依頼者の利益と相反する利益を有する人々に仕えるものであったとしても、自身が法律事務を行っている法律事務所とは別に、当該組織の取締役、執行役又はメンバーになることができる。この場合、当該弁護士は、以下のいずれかに該当するときは、そのことを知りながら組織の決定又は活動に参加してはならない。
(a) 決定又は活動への参加が、当該弁護士の依頼者に対するRule1.7に基づく義務と両立しないとき
(b) 決定又は活動が、当該弁護士の依頼者の利益と相反する利害関係を有する組織の依頼者に重要な悪影響を及ぼすとき
Rule 6.3: Membership in Legal Services Organization
A lawyer may serve as a director, officer or member of a legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization:
(a) if participating in the decision or action would be incompatible with the lawyer's obligations to a client under Rule 1.7; or
(b) where the decision or action could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer.
ABAモデルルール 1.12 〔元裁判官、仲裁人、調停人など〕
ABA Model Rule of Professional Conduct
Rule 1.12: 元裁判官、仲裁人、調停人又はその他の中立的な第三者
(a) (d)で定める場合を除き、弁護士は、手続の全当事者が書面で告知に基づく同意をしない限り、裁判官若しくはその他の司法官若しくはそれらの者の書記官・事務官、仲裁人、調停人又はその他の中立的な第三者として個人的かつ実質的に参加した事件に関係する者を代理してはならない。
(b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer.
(c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless:
(1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
(2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule.
(d) 一方当事者の支持者（partisan）として複数の仲裁人のうちの１人に選任された者は、その後にその当事者の代理人となることを禁止されない。
Rule 1.12: Former Judge, Arbitrator, Mediator or Other Third-Party Neutral
(a) Except as stated in paragraph (d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding give informed consent, confirmed in writing.
(b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer.
(c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless:
(1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and
(2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this Rule.
(d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party.
※裁判官として法廷の変更の決定をしただけであれば、その裁判官は実質的にその事件に参加したとはいえないので、裁判官を辞めた後にその事件の一報当事者の代理人になることができる。
ABAモデルルール 1.17 〔法律事務所の売却〕
ABA Model Rule of Professional Conduct
Rule 1.17: 法律事務の売却
弁護士又は法律事務所は、以下の条件が満たされるときは、その法律事務の全部又は一部（のれんを含む）を売買することができる。
(a) 売主が、当該法律実務が行われていた［地理的地域］［管轄地域］において法律事務に従事するのを止めること。
(b) 当該法律実務が一人又は複数の弁護士又は法律事務所に対して売却されたこと
(c) 売主が、その依頼者らに対して、文書で、以下の事項を通知すること
(1) 売却の提案
(2) 依頼者には他の弁護士に依頼し、事件記録の返還を受ける権利があること
(3) 依頼者が通知受領後９０日以内に何らの行動も取らず異議も述べないときは、事件記録の譲渡に同意したとみなされること。依頼者が通知を受け取ることができないときは、
依頼者が通知を受けることができないときは、管轄を有する裁判所の承認が命じられたときに限り、当該依頼者の代理を買主に移転させることができる。売主は、ファイルの移転の承認を得るために必要な範囲で、インカメラにより、裁判所に当該代理に関する情報を開示することができる。
(d) 依頼者に対して請求される報酬は、法律事務の売買を理由に増額されてはならない。
Rule 1.17: Sale of Law Practice
A lawyer or a law firm may sell or purchase a law practice, or an area of law practice, including good will, if the following conditions are satisfied:
(a) The seller ceases to engage in the private practice of law, or in the area of practice that has been sold, [in the geographic area] [in the jurisdiction] (a jurisdiction may elect either version) in which the practice has been conducted;
(b) The entire practice, or the entire area of practice, is sold to one or more lawyers or law firms;
(c) The seller gives written notice to each of the seller's clients regarding:
(1) the proposed sale;
(2) the client's right to retain other counsel or to take possession of the file; and
(3) the fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days of receipt of the notice.
If a client cannot be given notice, the representation of that client may be transferred to the purchaser only upon entry of an order so authorizing by a court having jurisdiction. The seller may disclose to the court in camera information relating to the representation only to the extent necessary to obtain an order authorizing the transfer of a file.
(d) The fees charged clients shall not be increased by reason of the sale.
コメント[2]によれば、売主は買主が法律事務を入手可能な状態に置けばよく、依頼者の大半が買主への依頼を辞めて他の弁護士に依頼することを選択したとしても、売主は契約違反にはならない。また、売主が予期しない状況の変化によって法律事務に戻ってきたとしても、売主は必ずしも契約違反となるわけではない。例えば、裁判官への就任を受諾するために法律事務を売却した弁護士が新任又は再任の選挙に負けたり裁判官を辞任したために法律事務を再開したとしても、売主は、法律事務中止の義務に違反したことにはならない。
[3] 売主による法律事務の中止義務は、貧困層への法的サービスを提供する公的な組織・団体に弁護士として雇用されることや、企業にインハウス弁護士として雇用されることの禁止まで求めるものではない。
ABAモデルルール 1.6 〔守秘義務〕
Rule 1.6: 情報の秘密性
(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).
(b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:
(1) to prevent reasonably certain death or substantial bodily harm;
(2) to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer's services;
(3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services;
(4) to secure legal advice about the lawyer's compliance with these Rules;
(5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client;
(6) to comply with other law or a court order; or
(7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client.
(c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.
Rule 1.6: Confidentiality of Information
(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).
(b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:
(1) to prevent reasonably certain death or substantial bodily harm;
(2) to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer's services;
(3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services;
(4) to secure legal advice about the lawyer's compliance with these Rules;
(5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client;
(6) to comply with other law or a court order; or
(7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client.
(c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.
依頼者が会社である場合は、以下の要件を満たすときは、その会社の従業員との間のコミュニケーションも秘匿特権の対象となる。
(1) 当該従業員がその上司の指示によって弁護士とコミュニケーションを取ったこと
(2) 当該従業員が、当該コミュニケーションが会社が法的助言を得る目的で行われているものであることを知っていたこと
(3) 当該コミュニケーションが、当該従業員の職務の範囲内であること
