美国律师协会《职业行为示范规则》（4）：“规则1.1 称职”和“规则1.2 代理范围”
2014-04-22 08:51阅读：
ABA Model Rules of Professional
Conduct (4)
美国律师协会《职业行为示范规则》（4）
说明：本英汉对照文本是根据美国律师协会（American Bar
Association，ABA）2004年颁布的文本翻译整理而来，仅供个人作为完善中国律师行为准则参考和法律英语学习资料，请勿用于任何商业目的。
CLIENT-LAWYER RELATIONSHIP
客户-律师关系
Rule 1.1: Competence
规则1.1：称职
A lawyer shall provide competent
representation to a client.
Competent representation requires the
legal knowledge, skill, thoroughness
and preparation reasonably
necessary for the
representation.
律师应当为客户提供称职的代理服务。称职的代理要求具有为完成此等代理所合理必要的法律知识、技能、周密和准备。
Comment - Rule
1.1
评注—规则1.1
Legal Knowledge and Skill
法律知识和技能
[1] In determining whether a
lawyer employs the requisite
knowledge and skill in a
particular matter, relevant factors
include the relative complexity
and specialized nature of the
matter, the lawyer's general
experience, the lawyer's training
and experience in the field
in question, the preparation and
study the lawyer is able
to give the matter and
whether it is feasible to
refer the matter to, or
associate or consult
with, a lawyer of
established competence in the
field in question. In many
instances, the required proficiency
is that of a general
practitioner. Expertise in a
particular field of law may
be required in some
circumstances.
[1]如欲确定律师在办理特定事项时是否使用了必要的知识和技能，应考虑的相关因素包括该事项的相对复杂性和专业性、律师的一般经验、律师在相关领域的训练和经验、律师能够就该事项所做的准备和研究以及是否存在将该事项移交给在相关领域的能力已得到确认的律师办理或者与此等律师协作或向其咨询的合理可行性。在很多情形下，所要求的只是具备一般执业者的熟练程度；而在某些情形下可能要求具备特定法律领域的专门技能。
[2] A lawyer need not
necessarily have special training
or prior experience to handle
legal problems of a type
with which the lawyer is
unfamiliar. A newly admitted
lawyer can be as competent
as a practitioner with long
experience. Some important legal
skills, such as the analysis
of precedent, the evaluation of
evidence and legal drafting, are
required in all legal problems.
Perhaps the most fundamental
legal skill consists of
determining what kind of legal
problems a situation may
involve, a skill that
necessarily transcends any particular
specialized knowledge. A lawyer
can provide adequate representation
in a wholly novel field
through necessary study. Competent
representation can also be
provided through the association
of a lawyer of established
competence in the field in
question.
[2]律师并不一定需要有特别训练或过去经验才能去处理属于自己不熟悉种类的法律问题。一个新入行的律师可能与一个具有长期经验的执业者一样称职。一些重要的法律技能，比如分析判例、评估证据以及起草法律文件等，是处理所有法律问题都需要的。也许最基本的法律技能是确定某个情形可能涉及的是什么法律问题，此等技能理应超越任何具体的法律专业知识。通过必要的研究，律师有可能在一个全新的领域提供充分的代理服务。通过与在相关领域的能力已得到确认的律师协作的方式也能够提供称职的代理。
[3] In an emergency a
lawyer may give advice or
assistance in a matter in
which the lawyer does not
have the skill ordinarily
required where referral to or
consultation or association with
another lawyer would be
impractical. Even in an
emergency, however, assistance should
be limited to that
reasonably necessary
in the circumstances, for
ill-considered action under emergency
conditions can jeopardize the
client's interest.
[3]在紧急情况下，如果不可能移交给另一个律师办理或者与其协作或向其咨询，律师可以就其不具备通常必要技能的事项提供咨询和协助。但是，即使是在紧急情况下，所提供的协助应当仅以当时情形下的合理必要为限，因为在紧急情况下考虑不周的行为可能损害客户的利益。
[4] A lawyer may accept
representation where the requisite
level of competence can be
achieved by reasonable
preparation. This applies as
well to a lawyer who is
appointed as counsel for an
unrepresented person. See also
Rule 6.2.
[4]如果所要求的称职水平能够通过合理准备达到，律师可以接受代理委托。这一原则也适用于被指定担任一个没有被代理的当事人的辩护律师的律师。另参见“规则6.2”。
Thoroughness and Preparation
周密和准备
[5] Competent handling of a
particular matter includes inquiry
into and analysis of the
factual and legal elements of
the problem, and use of
methods and procedures meeting
the standards of competent
practitioners. It also includes
adequate preparation. The required
attention and preparation are
determined in part by what
is at stake; major litigation
and complex transactions ordinarily
require more extensive treatment
than matters of lesser
complexity and consequence. An
agreement between the lawyer and
the client regarding the scope
of the representation may limit
the matters for which the
lawyer is responsible. See
Rule 1.2(c).
[5]称职地处理特定事项包括对问题的事实和法律要素进行调查和分析以及采用符合称职执业者标准的方法和步骤，此外也包括充分的准备。所要求的注意和准备程度部分取决于所涉及的利害关系；重大诉讼和复杂交易比复杂程度较低和利害关系不大的事项通常要求更多的处理工作。律师与客户之间有关代理服务范围的协议也可能限制律师负责的事项范围。参见“规则1.2(c)”。
Maintaining Competence
保持称职
[6] To maintain the requisite
knowledge and skill, a lawyer
should keep abreast of changes
in the law and its
practice, engage in continuing
study and education and comply
with all continuing legal
education requirements to which
the lawyer is subject.
[6]为了始终具备所要求的知识和技能，律师应当了解法律和实务领域的最新变化，参加继续学习和教育，并遵守适用的所有法律继续教育规定和要求。
Rule 1.2: Scope of
Representation and Allocation of
Authority between Client and
Lawyer
规则1.2：代理范围以及客户与律师之间的权限分配
(a) Subject to paragraphs (c)
and (d), a lawyer shall
abide by a client's decisions
concerning the objectives of
representation and, as required
by Rule 1.4, shall consult
with the client as to the
means by which they are
to be pursued. A lawyer
may take such action on
behalf of the client as
is impliedly authorized to carry
out the representation. A lawyer
shall abide by a client's
decision whether to settle a
matter. In a criminal case,
the lawyer shall abide by
the client's decision, after
consultation with the lawyer, as
to a plea to be entered,
whether to waive jury trial
and whether the client will
testify.
(a)在遵守(c)和(d)款规定的前提下，律师应当遵从客户有关代理目标的决定，并应当如“规则1.4”所要求的那样，就达到目标所应采取的方法和手段与客户商议。律师可以代表客户采取属于执行委托事务而获得的默示授权范围内的行动。律师应当遵从客户是否和解的决定。在刑事案件中，律师应当遵从客户在咨询律师后作出的有关提交的答辩类别、是否放弃有陪审团的审判以及客户是否作证等问题的决定。
(b) A lawyer's representation of
a client, including representation
by appointment, does not
constitute an endorsement of the
client's political, economic, social
or moral views or
activities.
(b)律师为客户提供代理服务，包括指定代理，并不构成对客户政治、经济、社会或道德观点或行为的认可和支持。
(c) A lawyer may limit the
scope of the representation if
the limitation is reasonable
under the circumstances and the
client gives informed
consent.
(c)如果在当时情形下是合理的而且客户给予了知情同意，则律师可以限制代理的范围。
(d) A lawyer shall not
counsel a client to engage,
or assist a client, in
conduct that the lawyer knows
is criminal or fraudulent, but
a lawyer may discuss the
legal consequences of any
proposed course of conduct with
a client and may counsel
or assist a client to
make a good faith effort
to determine the validity,
scope, meaning or application of
the law.
(d)律师不得建议客户或者协助客户从事律师知道是犯罪的或者欺诈性的行为，但是律师可以与客户讨论任何建议的行动方案的法律后果，并且可以建议或者协助客户真诚努力地确定法律的有效性、范围、含义或适用。
Comment - Rule
1.2
评注—规则1.2
Allocation of Authority between
Client and Lawyer
客户与律师之间权限的分配
[1] Paragraph (a) confers
upon the client the ultimate
authority to determine the
purposes to be served by
legal representation, within the
limits imposed by law and
the lawyer's professional obligations.
The decisions specified in
paragraph (a), such as whether
to settle a civil matter,
must also be made by the
client. See Rule
1.4(a)(1) for the lawyer's
duty to communicate with the
client about such decisions.
With respect to the means
by which the client's objectives
are to be pursued, the
lawyer shall consult
with the client as
required by Rule
1.4(a)(2) and may take
such action as is impliedly
authorized to carry out the
representation.
[1]就代理所要达到的目的而言，(a)款在法律规定的限制以及律师承担的职业义务的限度内赋予了客户最终决定权。(a)款中具体指明的决定，比如是否就一项民事纠纷和解，也必须由客户作出。关于律师就此等决定与客户沟通交流的义务，请参见“规则1.4(a)(1)”。至于为达到客户目标所应采取的手段和方法，律师应当根据“规则1.4(a)(2)”的要求与客户协商，并且律师可以采取属于执行委托事务而获得的默示授权范围内的行动。
[2] On occasion, however, a
lawyer and a client may
disagree about the means to
be used to accomplish the
client's objectives. Clients normally
defer to the special knowledge
and skill of their lawyer
with respect to the means
to be used to accomplish
their objectives, particularly with
respect to technical, legal and
tactical matters. Conversely, lawyers
usually defer to the client
regarding such questions as the
expense to be incurred and
concern for third persons who
might be adversely affected.
Because of the varied nature
of the matters about which
a lawyer and client might
disagree and because the actions
in question may implicate the
interests of a
tribunal or other
persons, this Rule does not
prescribe how such disagreements
are to be resolved. Other
law, however, may be applicable
and should be consulted by
the lawyer. The lawyer should
also consult with
the client and seek a
mutually acceptable resolution of
the disagreement. If such
efforts are unavailing and the
lawyer has a fundamental
disagreement with the client,
the lawyer may withdraw from
the representation. See
Rule 1.16(b)(4).
Conversely, the client may
resolve the disagreement by
discharging the lawyer. See
Rule
1.16(a)(3).
[2]但是，律师与客户有时候可能会在应采取何种手段和方法以达到客户目标的问题上发生分歧。客户通常会在达到客户目标应采取的手段和方法方面尊重其律师的专业知识和技能，特别是在涉及到技术、法律和策略问题时。反过来，律师一般也会在诸如要招致的费用以及顾及可能受到不利影响的第三人等问题方面尊重客户的意见。由于律师与客户可能发生分歧的事项的各种不同性质，而且有关行动可能牵涉到裁判机构或其他人的利益，本规则并没有规定此等分歧应当如何解决。然而，其他法律可能是适用的，律师应当去查阅。律师还应当与客户协商，寻求双方都能接受的分歧解决办法。如果此等努力不能成功而且律师与客户之间存在原则性分歧，律师可以辞去代理工作。参见“规则1.16(b)(4)”。反过来，客户也可以通过解除律师代理权的方式解决分歧。参见“规则1.16(a)(3)”。
[3] At the outset of a
representation, the client may
authorize the lawyer to take
specific action on the client's
behalf without further consultation.
Absent a material change in
circumstances and subject to
Rule 1.4, a
lawyer may rely on such
an advance authorization. The
client may, however, revoke such
authority at any time.
[3]在代理工作开始时，客户可以授权律师不经过进一步商议即可代表客户采取特定行动。如果没有发生重大情势变更并且在遵守“规则1.4”规定前提下，律师可以信赖此等预先授权。当然，客户可以在任何时候撤销此等授权。
[4] In a case in which
the client appears to be
suffering diminished capacity, the
lawyer's duty to abide by
the client's decisions is to
be guided by reference to
Rule 1.14.
[4]在客户行为能力似乎在不断降低的情形下，律师遵从客户决定的义务应当参照“规则1.14”的规定确定。
Independence from Client's Views
or Activities
独立于客户的观点或行为
[5] Legal representation should
not be denied to people
who are unable to afford
legal services, or whose cause
is controversial or the subject
of popular disapproval. By the
same token, representing a
client does not constitute
approval of the client's views
or activities.
[5]不应拒绝向无力负担法律服务费用或者其诉因是有争议的或是公众普遍反对的人士提供法律代理服务。同样的道理，代理一个客户并不构成对该客户观点或行为的赞同。
Agreements Limiting Scope of
Representation
限制代理范围的协议
[6] The scope of services
to be provided by a
lawyer may be limited by
agreement with the client or
by the terms under which
the lawyer's services are made
available to the client. When
a lawyer has been retained
by an insurer to represent
an insured, for example, the
representation may be limited to
matters related to the insurance
coverage. A limited representation
may be appropriate because the
client has limited objectives
for the representation. In
addition, the terms upon which
representation is undertaken may
exclude specific means that
might otherwise be used to
accomplish the client's objectives.
Such limitations may exclude
actions that the client thinks
are too costly or that
the lawyer regards as repugnant
or imprudent.
[6]律师提供服务的范围可以通过与客户之间的协议或者律师据以向客户提供服务的条款加以限制。例如，当律师受保险人聘用代理被保险人时，代理服务内容可以仅限于保险覆盖范围的相关事项。受限制的代理服务可能是恰当的，因为客户通过代理所要达到的目的是有限的。此外，承接代理工作的条款中可以排除本来是可能被用来达到客户目的的特定手段和方法。此等限制条款可以排除客户认为成本太高或者律师认为令人反感或者轻率的行为。
[7] Although this Rule affords
the lawyer and client
substantial latitude
to limit the representation, the
limitation must be
reasonable under the
circumstances. If, for example,
a client's objective is limited
to securing general information
about the law the client
needs in order to handle
a common and typically
uncomplicated legal problem, the
lawyer and client may agree
that the lawyer's services will
be limited to a brief
telephone consultation. Such a
limitation, however, would not
be reasonable if the time
allotted was not sufficient to
yield advice upon which the
client could rely. Although an
agreement for a limited
representation does not exempt a
lawyer from the duty to
provide competent representation, the
limitation is a factor to
be considered when determining
the legal knowledge, skill,
thoroughness and preparation reasonably
necessary for the representation.
See Rule
1.1.
[7]尽管本规则为律师和客户提供了限制代理范围的大量自由空间，但是在特定情形下的限制必须是合理的。例如，如果客户的目的仅限于获得处理一个普通和典型的简单法律问题所需要的一般性法律知识，那么律师和客户就可能同意，律师的服务将仅限于简短的电话咨询。但是，如果安排的时间不足以提供客户能够信赖的咨询意见，则此等限制就可能是不合理的。尽管限制代理范围的协议并不免除律师提供称职代理的义务，但相关限制是在确定完成代理所合理必要的法律知识、技能、周密和准备时的一个考虑因素。参见“规则1.1”。
[8] All agreements concerning a
lawyer's representation of a
client must accord with the
Rules of Professional Conduct
and other law. See, e.g.,
Rules 1.1,
1.8 and
5.6.
[8]关于律师为客户提供代理的所有协议必须符合《职业行为规则》和其他法律。参见“规则1.1、1.8和5.6”等。
Criminal, Fraudulent and Prohibited
Transactions
犯罪的、欺诈性的和被禁止的交易
[9] Paragraph (d) prohibits a
lawyer from knowingly
counseling or assisting a
client to commit a crime
or fraud. This
prohibition, however, does not
preclude the lawyer from giving
an honest opinion about the
actual consequences that appear
likely to result from a
client's conduct. Nor does the
fact that a client uses
advice in a course of
action that is criminal or
fraudulent of itself
make a lawyer a party to
the course of action. There
is a critical distinction
between presenting an analysis
of legal aspects of questionable
conduct and recommending the
means by which a crime or
fraud might be committed with
impunity.
[9](d)款禁止律师在明知的情形下建议或协助客户实施犯罪或欺诈。但是该禁止性规定并不妨碍律师就客户行为可能会导致的实际后果发表坦诚的意见。客户在本身就是犯罪的或欺诈性的行动中采用了律师建议这一事实也并不会使得律师成为行动参与方。就可疑行为的法律方面提供分析意见与推荐可能被用于实施犯罪或欺诈而不受惩罚的方法之间存在着关键的区别。
[10] When the client's course
of action has already begun
and is continuing, the lawyer's
responsibility is especially delicate.
The lawyer is required to
avoid assisting the client, for
example, by drafting or
delivering documents that the
lawyer knows are
fraudulent or by
suggesting how the wrongdoing
might be concealed. A lawyer
may not continue assisting a
client in conduct that the
lawyer originally supposed was
legally proper but then
discovers is criminal or
fraudulent. The lawyer must,
therefore, withdraw from the
representation of the client in
the matter. See Rule
1.16(a). In some cases,
withdrawal alone might be
insufficient. It may be
necessary for the lawyer to
give notice of the fact
of withdrawal and to disaffirm
any opinion, document, affirmation
or the like. See
Rule 4.1.
[10]如果客户的行为已经开始而且正在持续之中，律师的责任尤为微妙。此时要求律师避免协助客户，比如通过起草或交付律师明知是欺诈性的文件或者提示可能用于隐瞒不当行为的方法等方式。律师不得继续协助客户实施律师最初认为具有法律正当性但后来发现是犯罪的或欺诈性的行为。因此，律师必须从相关事项的代理中撤出。参见“规则1.16(a)”。在某些情形下，仅仅撤出可能还不够。律师可能有必要就撤出的事实发出通知并撤销任何观点、文件、确认等等。参见“规则4.1”。
[11] Where the client is a
fiduciary, the lawyer may be
charged with special obligations
in dealings with a
beneficiary.
[11]如果客户是受信托人，律师在与信托受益人打交道时可能负有特别的义务。
[12] Paragraph (d) applies
whether or not the defrauded
party is a party to the
transaction. Hence, a lawyer
must not participate in a
transaction to effectuate criminal
or fraudulent
avoidance of tax liability.
Paragraph (d) does not preclude
undertaking a criminal defense
incident to a general retainer
for legal services to a
lawful enterprise. The last
clause of paragraph (d)
recognizes that determining the
validity or interpretation of a
statute or regulation may
require a course of action
involving disobedience of the
statute or regulation or of
the interpretation placed upon
it by governmental
authorities.
[12]不论遭受欺诈一方是否是交易的当事人，(d)款都是适用的。因此，律师不得参与为实施具有刑事犯罪性或欺诈性的避税行为而进行的交易。(d)款规定并不妨碍律师承担附属于为合法企业所提供的综合法律服务的刑事辩护工作。(d)款最后一句条文确认了这样一种情形，即为了确定一部法令或规定的有效性或解释，可能需要采取违反该法令或规定或者政府权威部门对其的解释的行为。（这里指故意违反某一项法律规定，以便在随后的法律程序中挑战相关法律规定的有效性，如确定该法律规定是否违宪，这在美国司法实践中比较常见——译者注。）
[13] If a lawyer comes to
know or
reasonably should know
that a client expects
assistance not permitted by the
Rules of Professional Conduct or
other law or if the
lawyer intends to act contrary
to the client's instructions,
the lawyer must consult with
the client regarding the
limitations on the lawyer's
conduct. See Rule
1.4(a)(5).
[13]如果律师已知道或者理应知道客户希望获得《职业行为规则》或其他法律不允许的协助，或者如果律师有意实施违背客户指示的行为，律师必须与客户就律师行为受到的限制沟通协商。参见“规则1.4(a)(5)”。
