伦理意见295

在虐待和忽视儿童案件中，作为诉讼监护人的靠谱的滚球平台对通讯的限制

A lawyer appointed to act as a guardian ad litem in a child abuse and neglect proceeding in the District of Columbia represents the child and the best interests of the child. 在两种利益之间没有冲突的情况下，法定监护人是孩子的靠谱的滚球平台. 孩子的每一位父母都可以由单独的靠谱的滚球平台代表. 根据DC规则4.2, the guardian ad litem may not communicate about the subject of the representation with either of the child’s parents without notification of and consent from the parent’s lawyer. The guardian ad litem may communicate directly with a represented parent if the sole purpose of the communication is to obtain information about how to contact the child or to schedule a meeting with the child. 这种来文将是行政性质的，而不是“关于代表的主题”.”

适用的规则

• 规则3.5 (Impartiality and Decorum of the Tribunal)
• 规则4.2 (Communication Between Lawyer and Opposing Parties)
• 规则8.4 (a)(行为)

调查

The inquirer seeks advice about whether a lawyer appointed to act as guardian ad litem in a child abuse and neglect proceeding may communicate with a parent of the child she represents, who is represented by counsel, without permission from the parent’s lawyer. 调查假设“因为工作的性质, 在没有靠谱的滚球平台事先许可的情况下，有时很难避免所有的沟通. . . . 被指定为诉讼监护人的靠谱的滚球平台必须与被告交谈， . . . because of the respondents age or mental capacity, 司法助理可能别无选择，只能向被告的父母或监护人询问被告的福利情况.”

调查提出了几个可供讨论的假设，总结如下.

1. 女孩和施虐者的父母已经提前到达了初审现场. Counsel for that parent has not yet arrived. 那位家长是在场唯一知道孩子下落的人. 靠谱的滚球平台希望在初次听证前与孩子交谈，并向家长询问孩子的地址和电话号码. GAL可以在不等待父母靠谱的滚球平台到来的情况下这样做吗?

2. 社工/缓刑官/教育倡导者和对方靠谱的滚球平台, 包括GAL, 正在开会. 会议期间, is it permissible for the social worker to call the allegedly abusive parent and ask questions posed by the GAL without the knowledge or permission of the parent’s lawyer?

3. 被告是六岁以下的儿童或精神上无行为能力的人. GAL想要和父母谈谈孩子的进展或状况. 父母可能会向GAL提供对自己不利的信息. 在没有父母靠谱的滚球平台的允许下，GAL是否可以与父母交谈以获取有关孩子福利的信息?

4. 父母的靠谱的滚球平台希望在只有父母在场的情况下与孩子交谈. 当父母的靠谱的滚球平台会见孩子时，GAL是否可以坚持在场?

讨论

在哥伦比亚特区，忽视儿童的指控由高等法院裁决. D.C. 代码规定

高等法院应在涉及被忽视儿童并导致司法程序的每一案件中, . . . 指定一名诉讼监护人，他是一名靠谱的滚球平台，在诉讼中代表孩子. 法定监护人一般应负责代表儿童的最大利益. D.C. Code section 16-2304(b)(3) (1999).

儿童的父母或监护人也可以由靠谱的滚球平台代表. D.C. 上诉法院解释说，儿童的法定监护人具有双重作用, 作为法官中立的事实发现者以及代表孩子最大利益的热心拥护者. S.S. v. D.M., 597 A.2d 870, 875 (1991). Both the statute and the case law make clear that, additional responsibilities notwithstanding, the GAL in neglect proceedings is the child’s lawyer.¹ 像这样, 毫无疑问，作为诉讼监护人的靠谱的滚球平台有义务遵守《靠谱的滚球平台》.²

DC规则4.2(a)在靠谱的滚球平台与由靠谱的滚球平台代理的人之间的沟通方面划了一条相对明确的界线. 规则规定:

During the course of representing a client, a lawyer shall not communicate or cause another to communicate about the subject of the representation with a party known to be represented by another lawyer in the matter, 除非靠谱的滚球平台事先得到代表该另一方当事人的靠谱的滚球平台的同意，或者法律授权靠谱的滚球平台这样做.

This committee has interpreted 规则4.明确禁止靠谱的滚球平台在未经当事人靠谱的滚球平台同意的情况下与当事人沟通. 委员会将该规则解读为适用于在对方由靠谱的滚球平台代理的诉讼中为自己辩护的靠谱的滚球平台, 意见没有. 258 (1995). We also found the rule to require consent of counsel before a lawyer contacted a represented opposing party about a part of a proceeding in which the opposing counsel was not representing his client. 意见没有. 263 (1996).

1. 未经对方靠谱的滚球平台的通知和同意，与被代理人的通信

一旦GAL(作为孩子的靠谱的滚球平台)的角色被明确, 上述第一个和第三个假设所提出的主要问题的答案相对简单. 被指控从事虐待或忽视的父母是诉讼的一方，并由靠谱的滚球平台代表. 因此，在未经父母靠谱的滚球平台同意的情况下，GAL不得与该父母就问题的实质进行沟通.³

The GAL has a dual role as advocate and as fact-finder, but the authorizing legislation gives no indication that a GAL is authorized by law to collect information from the child’s parent without the consent of the parent’s lawyer.

In interpreting Model 规则4.2, 美国靠谱的滚球平台协会道德与职业责任委员会表示，该规则的目的是

为被代理人提供保护，防止对方靠谱的滚球平台越权, 保护客户-靠谱的滚球平台关系不受对方靠谱的滚球平台的干扰, 并减少客户泄露特权信息或其他可能损害其利益的信息的可能性. ABA正式Op. 95-396 (1995).

客户是儿童这一事实不能作为靠谱的滚球平台不尊重其他当事人权利的借口. 由于虐待和忽视儿童，儿童的父母可能面临被剥夺父母权利的风险. 那位家长有权得到法律代理的保护. 规则所设定的边界可能不方便或麻烦，但它仍然是一个边界.

未被指控虐待或忽视的父母也可以由靠谱的滚球平台代表. 该家长可能不是诉讼的“一方”，但尽管规则4.2(a)的措词是指由靠谱的滚球平台代表的一方, comment [4] states: “This Rule also covers any person, whether or not a party to a formal proceeding, 谁有靠谱的滚球平台代表他处理有关事宜.所以根据规则4.2, the GAL may not communicate with any parent or guardian who is represented by counsel about anything relating to the child abuse and neglect proceeding without the consent of that person’s lawyer.

2. 关于日程安排或行政事务的沟通

The first hypothetical posed in the inquiry posits a situation in which the GAL wishes to speak to the child’s parent merely to obtain information about how to contact the child. 而规则4.2 .缔约国没有例外，接触仅限于纯粹的行政或部长问题, such contact would not thwart the purpose of the rule, 因为父母并没有被要求提供有关可能寻求法律顾问建议的信息. 作为儿童的靠谱的滚球平台，靠谱的滚球平台必须有权获得有关儿童下落的信息.

对规则4的评论.2 .不要直接回答这个部长信息问题, 但他们确实将规则解释为允许直接接触从组织获取非实质性信息. 评论[5]指出:

This Rule does not apply to the situation in which a lawyer contacts employees of an organization for the purpose of obtaining information generally available to the public, or obtainable under the Freedom of Information Act, 即使所讨论的信息与表示有关. 例如, a lawyer for a plaintiff who has filed suit against an organization represented by a lawyer may telephone the organization to request a copy of a press release regarding the representation, without disclosing the lawyers identity, obtaining the consent of the organization’s lawyer, 或按照本条第(a)及(b)段的规定行事.

对规则4的评论.第2条还规定，靠谱的滚球平台可以就代理事务以外的事项与另一方当事人进行沟通. 虽然请求提供有关儿童位置的信息与代理并非无关, 也不是要求提供与陈述的实质内容有关的资料.

禁止与法官进行单方面沟通的规则在这方面提供了有益的指导. The 1990 Model Code of Judicial Conduct, 佳能3B(7)(a)允许为“调度”进行单方面通信, 不处理实质性事项或是非曲直问题的行政目的或紧急情况. . . .”⁴ DC规则3.5(b), like the Model Rule, says “A lawyer shall not . . . 除非法律允许，否则应单独与[法官]沟通.该规则并未明确阐明“行政事项例外”, 但人们普遍认为，这并不禁止与行政或“日程安排问题”有关的沟通.“反对单方面通信的规则，比如规则4.2, 的目的是确保案件中的两名靠谱的滚球平台都有机会参与与案件有关的实质事项的讨论. 但是，靠谱的滚球平台联系法官办公室以获取地址或查找提交截止日期并不违反规定.

我们的结论是，GAL可能会联系孩子的父母以获取联系信息, to schedule a meeting with the child, or for other administrative purposes. 否则解读该规则会给在虐待和忽视诉讼中代表儿童这一本已困难的任务增加不必要的负担.

3. Communication Through a Third Party

如果没有父母靠谱的滚球平台的许可，GAL不得与父母谈论任何实质性问题, GAL是否可以在未经允许的情况下通过社工将问题传递给家长? Again, the answer is clearly “no.规则四.第2条规定:“在代理客户的过程中, a lawyer shall not communicate or cause another to communicate about the subject of the representation with a party known to be represented by counsel” absent consent of the lawyer for the other party or other legal authority. 规则8.第4条规定:“靠谱的滚球平台的职业行为不端:(a)违反或企图违反职业行为规则, knowingly assist or induce another to do so, or do so through the acts of another.“女性不得利用社工或任何其他第三方作为中间人来规避规则4.2.

如果一个社会工作者在会议期间打电话给家长，问一些社会工作者需要回答的问题, 规则4.2(a)不适用. 在这种情况下, 靠谱的滚球平台可能会了解到未经父母靠谱的滚球平台同意，她无权直接向父母寻求的信息. Child neglect proceedings are intended to be less adversarial and to involve more sharing of information than most proceedings that involve only adults. 规则4.第2条并不禁止靠谱的滚球平台通过该过程了解信息, only from “communicat[ing] or caus[ing] another to communicate about the subject of the representation with a party known to be represented by another lawyer” without the consent of the other lawyer. GAL不得发起或指示其他人这样做.

If during a meeting between a GAL and a social worker, GAL提出问题，社工打电话给孩子的一位父母问问题, the GAL has violated 规则4.通过他人的行为做一些GAL禁止做的事情. 如果靠谱的滚球平台和社会工作者都认为靠谱的滚球平台的问题实际上是社会工作者的问题，这并不能解决这个问题. In fact if the social worker calls a parent during the meeting to ask a question raised by the lawyer at the meeting and reports the conversation to the GAL, 规则4.2已被规避. 看到 阿坝通讯. on Ethics and Professional Responsibility, Formal Op. 95-396 (1995) (stating that a lawyer would be responsible for ex parte contacts made by an investigator under her supervision if she had not made reasonable efforts to prevent the contacts, if she had directed the investigator to make them, 或者如果她知道调查员要进行接触，却没有指示他不要这样做).

4. 与父母沟通幼童或智障儿童

调查询问，如果当事人非常年幼或精神上无行为能力，与父母直接接触的障碍是否较低. 同样，答案是否定的，除非是出于管理或日程安排目的的联系. GAL可能无法与年幼或智障儿童直接沟通, and might need to get information through the parent. 令人沮丧的是，在此基础上又增加了一个障碍——GAL不能联系父母，但必须先联系父母的靠谱的滚球平台. 仍然, 父母由靠谱的滚球平台代表，并有权让GAL在联系父母之前联系父母的靠谱的滚球平台.

5. Communication with the Child by Opposing Counsel

另一个问题是父母的靠谱的滚球平台是否可以在父母不在场的情况下与孩子面谈. 答案仍然是否定的, 除非父母的靠谱的滚球平台联系GAL请求允许在GAL不在场的情况下与孩子面谈, GAL决定允许进行这次采访. 如果女孩说不, 父母的靠谱的滚球平台不得与孩子沟通，除非在GAL在场或通过GAL. 规则4.2同样适用于保护儿童客户和成人客户. 看到 南卡罗来纳州咨询意见97-15(1997年12月)(结论认为，根据规则4.2, parent’s lawyer must notify the guardian ad litem and her or his counsel and gain consent prior to communicating with a child in a child abuse proceeding); North Carolina Ethics Opinion RPC 249 (April 3, 1997) (concluding that a lawyer representing a parent in a child abuse proceeding may not communicate with a child who is represented by a GAL and an attorney advocate unless the lawyer obtains the consent of the attorney advocate); New York Ethics Opinion 656 (1993) (concluding that a parent’s attorney in a child custody proceeding may not communicate with a child for whom the court has appointed a law guardian without the law guardian’s consent).

虐待和忽视儿童的诉讼涉及多方当事人, 通常是多位靠谱的滚球平台, and some non-lawyer participants. Each parent may have a separate lawyer. Another lawyer represents the government. 可能会有社会工作者、缓刑官或教育倡导者. In addition to the multiplicity of parties, 虐待和忽视儿童事宜包括正式听证会和非正式会议. The barrier imposed by 规则4.可能会造成丧失非正式性的代价，有时甚至丧失直接沟通的机会.

一个更令人担忧的问题是，女孩可能会请求父母的靠谱的滚球平台允许她与父母交谈, and consent might be denied, 或者父母的靠谱的滚球平台可能不会回应请求. 本委员会在第1号意见中处理了与民事保护令程序中代表客户的靠谱的滚球平台有关的问题. 263 (1996). The committee stated that a lawyer may not

使用4.2(a) . . . 为了防止任何 . . . 申诉人靠谱的滚球平台与答辩人之间的通信. 上诉人的靠谱的滚球平台需要能够以某种方式与被告沟通 . . . be it directly or through counsel. . . . 被申请人的靠谱的滚球平台拒绝与被申请人直接沟通的, 然后，靠谱的滚球平台必须接受申诉人靠谱的滚球平台的来文，并采取适当步骤予以答复, 例如，将信息传递给他的客户，并按照客户的意愿行事. . . . 我们认为，如果不这样做，就构成违反规则1.(要求靠谱的滚球平台随时向当事人通报事情的进展情况).

The same point might be made here; that while 规则4.2 imposes a barrier on one lawyer, Rule 1.第4条规定另一靠谱的滚球平台有义务在儿童靠谱的滚球平台提出联系请求时及时与当事人沟通. 还有规则4.第4条规定:“靠谱的滚球平台不得使用除使人难堪外无实质目的的手段。, 延迟, or burden a third person…” The comment to rule 4.第4条指出，尽管他人的利益服从于委托人的利益, “对委托人的责任”并不意味着靠谱的滚球平台可以无视第三人的权利.“这一点在玩忽职守诉讼中尤其重要，因为在某些情况下(例如.g., 如果客户非常年轻)，GAL除了从代理方获得有关其客户的任何信息外，无法获得有关其客户的任何信息. 在任何情况下, 政府执法部门有义务与所有掌握有关确定儿童最大利益信息的人交谈. 父母的靠谱的滚球平台在回应同意请求时的勤勉对这一过程的运作至关重要. Lawyers for parents in neglect proceedings should be conscientious in responding to requests from GAL’s to communicate with the parents of the children they represent.

调查没有. 99-1-4
Adopted: February 15, 2000

1. The one exception to the assertion that the GAL is the child’s lawyer is if there is a conflict between the child’s preferences and the child’s best interests. 在没有冲突的情况下，GAL可以代表孩子和她的最大利益. 如果有冲突, 那么靠谱的滚球平台应代表孩子的最大利益，并应要求法院为孩子指定另一名靠谱的滚球平台. 在re - L.H., 634 A.2d 1230 (1993). 在我看来, 我们讨论GAL的义务，其职责包括作为孩子的靠谱的滚球平台.
2. 看到的年代.S. v. D.M., 597 A.2d 870, 877(1991)(讨论规则3的适用).7 to a GAL); 意见没有. 252 (1995) (addressing the obligations of a lawyer appointed as a guardian ad litem in a child abuse and neglect proceeding with respect to potential tort claims of the child).
3. 被忽视儿童诉讼的靠谱的滚球平台GAL 's的任命是由D.C. Code section 16-2304(a) (1999) and by D.C. SCR-Neglect Rule 27 (1999). 两者都没有规定法定监护人的具体权力或义务. The duties are spelled out in a set of informal guidelines issued by the Superior Court called “Practice Standards for Attorneys in Neglect Cases in the District of Columbia Superior Court”. 这些标准描述了GAL作为儿童靠谱的滚球平台的职责, 解释在儿童的愿望与GAL对儿童最大利益的看法发生冲突的情况下GAL应该怎么做, and describes the GAL’s fact-finding duties. 其中包括与客户和“所有掌握家庭信息的重要人士”(包括孩子的父母)面谈的义务. 在没有明确声明GAL可以在未经对方靠谱的滚球平台同意的情况下进行这些面谈的情况下, 该准则不能免除GAL的遵守规则. 4.2.
4. 美国靠谱的滚球平台协会的《靠谱的滚球平台》尚未被哥伦比亚特区上诉法院采纳, but is referred to as guidance in the D.C. 规则 of Professional Conduct, 规则3.5、评论[1].