Ethics Opinion 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.8(i) have been met.

Applicable 规则

• 规则1.8(i) (Lien on Client Files)
• 规则1.16(d) (Termination of Representation)

调查

From 1988 until 1993, 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. 询问者在他的前靠谱的滚球平台事务所服务的许多客户都“跟随”他到他的新靠谱的滚球平台事务所，并授权询问者告诉他的前靠谱的滚球平台事务所，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《靠谱的滚球平台》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, per the client’s request, under 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).

Discussion

代理终止时处理客户文件的规则是相当清楚的. Under 规则1.16(d)就终止代理事宜，靠谱的滚球平台须“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) also provides, 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, 靠谱的滚球平台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, which went so far as to suggest, in one opinion, that retaining liens should not be permitted. 看到 Opinion No. 59 (undated), note 13. 另请参阅 Opinion No. 119 (April 19, 1988), 我们将留置权描述为“一种没有吸引力且潜在相当有害的工具”.”

这些关切反映在哥伦比亚特区通过的《靠谱的足球滚球平台》中, effective in 1991. While 规则1.美国靠谱的滚球平台协会《靠谱的滚球平台》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, the par所有el provision of the D.C. 规则 of Professional Conduct, 规则1.8(i), is much narrower. 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，允许靠谱的滚球平台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 Opinion No. 230 (1992), the comments to 规则1.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“靠谱的滚球平台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.” 类似的, 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靠谱的滚球平台, that the work product exception permitting such liens should be construed narrowly, 靠谱的滚球平台只有在例外明确适用的情况下，以及靠谱的滚球平台的经济利益“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. Regardless of their initial status, once such materials are filed with a public agency, they are not work product. 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., pleadings filed by other parties, newspaper articles, 靠谱的滚球平台稿)和客户或第三方给靠谱的滚球平台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, in our view, even though such copies might be considered work product in a technical sense.2

On the other hand, we believe that materials such as drafts of pleadings, applications or other documents, 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. As Comment [9] makes clear, 并不是所有的工作成果都可以仅仅因为没有支付靠谱的滚球平台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): only work product produced during the period for which fees remain unpaid may be withheld. 因此, for example, 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, precluding it from invoking a 规则1.8(i) lien on unpaid work product. We believe that, while such an assertion by a former client must be given great weight by the firm, it is not conclusive. 靠谱的滚球平台必须自己判断，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，靠谱的滚球平台必须给予客户怀疑的好处.

调查 No. 93-6-13
Adopted: October 18, 1994

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 (April 15, 1986).