Rule 1.11.Successive Government and Private
Employment
(a)Except as law may otherwise expressly permit, a lawyer shall
not represent a private client in connection with a matter in which the
lawyer participated personally and substantially as a public officer or
employee, unless the appropriate government agency consents after
consultation. No lawyer in a firm with which that lawyer is associated
may knowingly undertake or continue representation in such a matter
unless:
(1)the disqualified lawyer is 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 appropriate
government agency to enable it to ascertain compliance with the
provisions of this rule.
(b)Except as law may otherwise expressly permit, a lawyer
having information that the lawyer knows is confidential government
information about a person acquired when the lawyer was a public officer
or employee, may not represent a private client whose interests are
adverse to that person in a matter in which the information could be
used to the material disadvantage of that person. A firm with which
that lawyer is associated may undertake or continue representation in
the matter only if the disqualified lawyer is screened from any
participation in the matter and is apportioned no part of the fee
therefrom.
(c)Except as law may otherwise expressly permit, a lawyer
serving as a public officer or employee shall not:
(1)participate in a matter in which the lawyer participated
personally and substantially while in private practice or
nongovernmental employment, unless under applicable law no one is, or by
lawful delegation may be, authorized to act in the lawyer's stead in the
matter; or
(2)negotiate for private employment with any person who is
involved as party or as attorney for a party in a matter in which the
lawyer is participating personally and substantially, except that a
lawyer serving as a law clerk to a judge, other adjudicative officer or
arbitrator may negotiate for private employment as permitted by Rule
1.12(b) and subject to the conditions stated in Rule 1.12(b).
(d)As used in this Rule, the term "matter" includes:
(1)any judicial or other proceeding, application, request for a
ruling or other determination, contract, claim, controversy,
investigation, charge, accusation, arrest or other particular matter
involving a specific party or parties, and
(2)any other matter covered by the conflict of interest rules
of the appropriate government agency.
(e)As used in this Rule, the Term "confidential government
information" means information which has been obtained under
governmental authority and which, at the time this rule is applied, the
government is prohibited by law from disclosing to the public or has a legal
privilege not to disclose, and which is not otherwise available to
the public.
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ANNOTATIONSCOMMENT
This Rule prevents a lawyer from exploiting public office for the
advantage of a private client. It is a counterpart of Rule 1.10(b),
which applies to lawyers moving from one firm to another.
A lawyer representing a government agency, whether employed or
specially retained by the government, is subject to the Rules of
Professional Conduct, including the prohibition against representing
adverse interests stated in Rule 1.7 and the protections afforded former
clients in Rule 1.9. In addition, such a lawyer is subject to Rule 1.11
and to statutes and government regulations regarding conflict of
interest. Such statutes and regulations may circumscribe the extent to
which the government agency may give consent under this Rule.
Where the successive clients are a public agency and a private
client, the risk exists that power or discretion vested in public
authority might be used for the special benefit of a private client. A
lawyer should not be in a position where benefit to a private client
might affect performance of the lawyer's professional functions on
behalf of public authority. Also, unfair advantage could accrue to the
private client by reason of access to confidential government
information about the client's adversary obtainable only through the
lawyer's government service. However, the rules governing lawyers
presently or formerly employed by a government agency should not be so
restrictive as to inhibit transfer of employment to and from the
government. The government has a legitimate need to attract qualified
lawyers as well as to maintain high ethical standards. The provisions
for screening and waiver are necessary to prevent the disqualification
rule from imposing too severe a deterrent against entering public
service.
When the client is an agency of one government, that agency should
be treated as a private client for purposes of this Rule if the lawyer
thereafter represents an agency of another government, as when a lawyer
represents a city and subsequently is employed by a federal agency.
Paragraphs (a)(1) and (b) do not prohibit a lawyer from receiving
a salary or partnership share established by prior independent
agreement. They prohibit directly relating the attorney's compensation
to the fee in the matter in which the lawyer is disqualified.
Paragraph (a)(2) does not require that a lawyer give notice to the
government agency at a time when premature disclosure would injure the
client; a requirement for premature disclosure might preclude engagement
of the lawyer. Such notice is, however, required to be given as soon as
practicable in order that the government agency will have a reasonable
opportunity to ascertain that the lawyer is complying with Rule 1.11 and
to take appropriate action if it believes the lawyer is not complying.
Paragraph (b) operates only when the lawyer in question has
knowledge of the information, which means actual knowledge; it does not
operate with respect to information that merely could be imputed to the
lawyer.
Paragraphs (a) and (c) do not prohibit a lawyer from jointly
representing a private party and a government agency when doing so is
permitted by Rule 1.7 and is not otherwise prohibited by law.
Paragraph (c) does not disqualify other lawyers in the agency with which
the lawyer in question has become associated.
COMMITTEE COMMENT
The Committee recommends adoption of this Model Rule. It is a
substantial improvement over the related Rule in the Code because it
provides more specific guidance in recurring situations which are not
directly addressed in the Code. Further, this Model Rule actually was
developed in response to and codifies suggestions originally made by the
Colorado Bar's comments regarding omissions in the preliminary draft of
the Model Rules in 1980.
ANNOTATION
Annotator's note.
Rule 1.11 is similar to
DR 9-101 as it
existed prior to the 1992 repeal and reenactment of the Code of
Professional Responsibility.
Relevant cases construing
that provision have been included in the annotations to Rule 1.2.
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