道德意见336

A Lawyer’s Fiduciary Role as a Court-Appointed Guardian of an Incapacitated Individual

被指定为无行为能力个人的监护人的澳门赌场官网(但不作为无行为能力个人的澳门赌场官网)不得故意向法庭就重大事实或法律作出虚假陈述，或从事涉及不诚实或虚假陈述的其他行为. A lawyer acting as a guardian who assists the incapacitated individual in obtaining government benefits, 但随后得知，无行为能力的个人的真实身份并不像它所代表的那样，这很可能是适用法律要求披露正确信息的要求. 此外, a lawyer who receives information clearly establishing that a fraud has been perpetrated on a tribunal must reveal the fraud; there is no duty of confidentiality imposed by the 职业行为准则 that would prevent the lawyer acting solely as a guardian from making such a disclosure.

适用的规则

• 3.3(对法庭的坦诚)
• 8.4(行为)

调查

初学的, 哥伦比亚特区澳门赌场官网协会的会员, 已被哥伦比亚特区高等法院遗嘱认证部指定为无行为能力个人的“永久普通监护人[]”, 行使D . 1所规定的权力和职责.C. 法典§21-2047.¹ He has asked the Committee for guidance on how to proceed on the following set of facts. Prior to 初学的’s appointment 作为监护人 of the incapacitated individual, the incapacitated individual had suffered a stroke that left him partially paralyzed and required that he be hospitalized. He presented a name and social security number at the time of admission to the hospital. The Court acted on the assumption that the name and social security number were legitimate. 初学的 has determined categorically that the incapacitated individual’s identity is false, but he has no way of determining the incapacitated individual’s true identity. 这个无行为能力的人是移民, but 初学的 has been unable to determine his status or to locate any family members. 据推测，他无家可归，病得很重，不能照顾自己. He is totally nonverbal and is unable to write or comprehend communications.

在得知这个人的身份是假的之前, 询问者使用无行为能力个人提供的社会安全号码和其他识别信息来获得医疗补助和社会保障福利，并将无行为能力个人安置在养老院.² 根据D.C. 法典§21-2047, 初学的, 作为监护人, 有照顾的责任吗, 监护权, 以及对无行为能力个体的控制, 包括, 在其他职责中, discretion to take appropriate action to compel performance by any person of a duty to support the incapacitated individual and  pay sums for his welfare; an obligation to maintain sufficient contact with the incapacitated individual to know the incapacitated individual’s capacities, 限制, 需要, 机会, and physical and mental health; an obligation to take care of the incapacitated individual’s personal effects; and an obligation to conserve any excess money for the incapacitated individual’s future 需要. (在这种情况下, the only funds at issue are those that the incapacitated individual has received from government assistance programs). 初学的 has determined that the incapacitated individual cannot be safely discharged from the nursing home.

询问者寻求关于如何解决他在哥伦比亚特区职业行为规则(“规则”)和哥伦比亚特区监护法规下的职责之间的明显冲突的指导. 特别是, 初学的 wants to know whether he may continue to use the name that the incapacitated individual has been using; whether he has any affirmative duty to disclose information about the incapacitated individual’s false identity to third parties; and whether he must follow the District of Columbia guardianship laws or the 规则 whenever a conflict between them arises.

讨论

根据我们对调查事实的了解, 询问者不作为无行为能力个人的澳门赌场官网. 而, 初学的 has the statutory powers and duties enumerated in the guardianship statute under which he was appointed.³ 此外, 初学的 has given no indication that an attorney-client relationship existed prior to the individual’s incapacity.

我们认为，无行为能力的个人从未有能力与询问者沟通或参与有关其福利的决定，这一事实支持了没有形成澳门赌场官网-客户关系的结论. As noted by the ABA Standing Committee on Ethics and Professional Responsibility, a “client-lawyer relationship presumes that there can be effective communication between client and lawyer, 而客户, 在咨询了澳门赌场官网之后, can make considered decisions about the objectives of the representation and the means of achieving those objectives.ABA正式版. 96-404 (1996); 另请参阅 NC酒吧正式道德规范Op. (被指定为监护人的澳门赌场官网 诉讼代理人 for a parent with diminished capacity in a Termination  of Parental Rights action does not have a lawyer-client relationship with the parent). Absent information that would indicate such a relationship ever existed between 初学的 and the incapacitated individual, we believe that it is reasonable to conclude that no such relationship exists.

某些专业行为规则适用于询问者的行为，尽管询问者并非作为无行为能力个人的澳门赌场官网行事. Although some 规则 apply only if a client-lawyer relationship has been formed, 看,e.g., 规则1.2; 1.6; 1.16, others apply to members of the bar regardless of whether they are engaged in professional activities. 具体来说,维.C. 规则3.3(a)(1), 3.3(d)，和8.(c)约束询问者的行为, even though he is not functioning as counsel to the incapacitated individual.

规则3.3(a)(1), which mandates candor to a tribunal, provides that “a lawyer shall not knowingly . . . 向法庭对重要事实或法律作虚假陈述.对规则3的评论[2].第3条规定, “[t]here may be circumstances where failure to make a disclosure is the equivalent of an affirmative misrepresentation.规则三.第3(d)款在有关部分规定:“澳门赌场官网在收到明确证实法庭遭受欺诈行为的资料时，应立即向法庭披露欺诈行为，除非履行这项义务需要披露受规则1保护的资料.6, in which case the lawyer shall promptly call upon the client to rectify the fraud.”⁴ 规则8.第4(c)条规定:“澳门赌场官网……是职业上的不端行为。 . . 从事涉及不诚实、欺诈、欺骗或虚假陈述的行为.”

The 规则 define “tribunal” broadly to include regulatory agencies that render decisions of a judicial or quasi-judicial nature, 不论诉讼程序的正式或非正式程度. D.C. 规则、术语. 相应的, 如果询问者, 履行他作为监护人的职责, finds it necessary to appear at a hearing before an agency that determines entitlement to benefits, 规则3.第3(a)(1)条适用于询问者在该审裁处的行为.

根据监护法规，询问者有义务“以书面形式报告被监护人和无行为能力个人的遗产状况” . . . 至少半年一次.” D.C. 法典§21-2047. Even though there has been no finding that the incapacitated individual has the requisite state of mind to have committed fraud or a crime, 初学的 has obtained “conclusive” evidence that the incapacitated individual is not who he purports to be. 相应的, 初学的 has an affirmative duty to “reveal the fraud to the tribunal.” D.C. 规则3.3(d). 事实上, 隐瞒无行为能力的个人使用虚假姓名和社会安全号码获得利益的事实可能构成“未披露信息相当于肯定失实陈述的情况[]”.” D.C. 规则3.3、评论[2].

是否出庭受审, 完成文书工作以继续享受福利, 证明无行为能力个人的监护权, 或者兑现无行为能力个人的福利支票, 询问者必须, 在任何时候, 符合规则8的要求.4(c), which prohibits conduct involving dishonesty, fraud, 欺骗, 或歪曲. 实际上，询问者依赖或以其他方式使用他明知是虚假的信息的任何行为都将构成不诚实, 欺骗, 或歪曲, 即使这种行为在法律上不属于欺诈.

结论

初学的 may not continue to use the name that the incapacitated individual is using; we believe that failure to disclose the false identity would be the equivalent of misrepresentation. This matter presents no conflict between District of Columbia guardianship law and the 职业行为准则.

批准日期:2006年5月
出版日期:2006年9月

1. Letter of Guardianship Issued Pursuant to Original Order of Appointment under Guardianship and Protective Proceeding Act of 1986, 9月30日生效, 1989.
2. It is not clear from the inquiry to whom the incapacitated individual initially provided this information. 初学的 says he presumed the individual had “borrowed” the identifying information.
3. 指定澳门赌场官网为无行为能力人的监护人，并不构成先前不存在的澳门赌场官网-委托人关系, and a guardian under the District of Columbia statute is not required to be a lawyer. 看到维.C. 法典§21-2043, which provides that “any qualified person may be appointed guardian of an incapacitated individual.” The statute also lists as priority for consideration for guardianship appointment qualified spouses, 成年子女, 父母, and relatives of the incapacitated individual; it does include a prerequisite that a guardian be qualified to serve as counsel for the incapacitated individual or any requirement that a guardian serve as counsel. This is different from the situation where a lawyer is appointed as a guardian 诉讼代理人. 在D.C. 道德Op. 295 (2000), 我们的结论是，在儿童虐待和忽视诉讼中被指定为监护人的澳门赌场官网被恰当地视为儿童的澳门赌场官网.
4. 无论无行为能力的个人在最初提出他的假身份时是否犯了欺诈罪- -这个问题我们没有必要在此讨论- -调查者已经收到了“明确证明法庭犯有欺诈罪的资料”,我必须, 因此, 向仲裁庭披露欺诈行为，除非披露会违反规则1.6. 然而，正如我们上面所解释的，规则1.6 does not apply here because the incapacitated individual is not 初学的’s client.