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USUS.,  klbmYE<<CLevel 1Level 2Level 3Level 4Level 5(_3$ H!        USUS.,  ($$   1  3+0 d d d {!         TRY,3' LetterX3' Letter 3' Letter3'T  _f @ g 2X;XXX=;XXdd=8;XXdd8!]0H     @  @ ExhibitA 2X2X;  TennesseeBarAssociation   CommitteefortheStudyof  e StandardsofProfessionalConduct   #2X;X2#2X2X;ProposedTennesseeRulesofProfessionalConduct   #2X;X2#2X2X;f  g December3,2001#2X;X2k#  \ !] !8;XXdXXd8 !     G8;XXdXXd8B.` hp x (#XB3c5.٦4<"TABLEOFCONTENTS    !!G(#Page     Vm  Vm0     PREAMBLE#""J(#. (#(##1Vm݌ T Ќ  Vm  Vm0     SCOPE#""J(#.(#(##2Vm݌ & v Ќ  Vm  Vmo0     CHAPTER1.CLIENTLAWYERRELATIONSHIP#""J(#.0(#(##5  H    PROPOSEDRULE1.0       ` DEFINITIONS""J(#.;;5Vmo݌   Ќ  Vm  Vm 0       f  g f  g PROPOSEDRULEf  g Ԁ1.1   f  g f   ` COMPETENCE#""J(#.(#(##7f  g Vm ݌ n  Ќ  Vm  VmP 0     f  g #X;XX2X;#f  g 2X;XXX;  PROPOSEDRULE1.2 h  @  ` SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF )y  ` AUTHORITYBETWEENTHELAWYERANDCLIENT#""I(#.;(#(##9f  Ԁf  g VmP l ݌ b Ќ  Vm  VmY 0       PROPOSEDRULE1.3 4  ` DILIGENCE#`"`"I(#. (#(##13VmY u ݌  Ќ  Vm  VmR0       PROPOSEDRULE1.4   ` COMMUNICATION#`"`"I(#...!(#(##14VmRn݌  Ќ  Vm  VmP0       PROPOSEDRULE1.5 Z  ` FEES#`"`"I(#.2 2 (#(##16VmPl݌ C Ќ  Vm  VmE0       PROPOSEDRULE1.6 e  ` CONFIDENTIALITY#`"`"I(#.ee#(#(##20VmEa݌ N Ќ  Vm  VmE0       PROPOSEDRULE1.7 !    ` CONFLICTOFINTEREST:GENERALRULE#`"`"I(#.7(#(##26VmEa݌ " ! Ќ  Vm  VmY0       PROPOSEDRULE1.8 $#  ` CONFLICTOFINTEREST:PROHIBITEDTRANSACTIONS#`"`"I(#.B(#(##32VmYu݌ t% $ Ќ  Vm  Vmx0       PROPOSEDRULE1.9 F'"&  ` CONFLICTOFINTEREST:FORMERCLIENT#`"`"I(#.  8(#(##36Vmx݌ /(#' Ќ  Vm  Vm0     f    PROPOSEDRULE1.10 *Q%)  ` IMPUTEDDISQUALIFICATION:GENERALRULE#`"`"I(#.:(#(##40#X;XX2X; #2X;XXX;Vm݌ *:&* Ќ  Vm  Vm0     Vm ݌ (#(# Ќ    _i_ -(-   0H G 08;XXdXXd8  08;XXdXXd8     ~Vm  Vm0     f  g   PROPOSEDRULE1.11   ` SUCCESSIVEGOVERNMENTANDPRIVATEEMPLOYMENT#`"`"I(#.@(#(##44Vm݌  Ќ  Vm  Vm0       PROPOSEDRULE1.12 T  ` FORMERJUDGEORARBITRATOR#`"`"I(#..(#(##47Vm݌ =  Ќ  Vm  Vm0       PROPOSEDRULE1.13  _  ` ORGANIZATIONALCLIENTS#`"`"I(#.*(#(##49Vm݌  H Ќ  Vm  Vm0       PROPOSEDRULE1.14     ` CLIENTUNDERADISABILITY#`"`"I(#.\\-(#(##53Vm ݌   Ќ  Vm  Vm0     0(#(#PROPOSEDRULE1.15   0` (#(#SAFEKEEPINGPROPERTY#`"`"I(#.(` (#` (##55Vm݌ n  Ќ  Vm  Vm0     0(#(#PROPOSEDRULE1.16 @ 0` (#(#DECLININGANDTERMINATINGREPRESENTATION#`"`"I(#.OO=` (#` (##57Vm.݌ )y Ќ  Vm  Vm=0       PROPOSEDRULE1.17 K  ` SALEOFALAWPRACTICE#`"`"I(#.ff+(#(##61Vm=Y݌ 4 Ќ  Vm  VmE0     CHAPTER2.THELAWYERASCOUNSELOR,INTERMEDIARY,ANDDISPUTE  RESOLUTIONNEUTRAL#`"`"I(#.!(#(##65VmEa݌  Ќ  Vm  Vm[ 0       PROPOSEDRULE2.1 q  ` ADVISOR#`"`"I(#. (#(##65Vm[ w ݌ Z Ќ  Vm  VmS!0       PROPOSEDRULE2.2 ,|  ` LAWYERSERVINGASINTERMEDIARYBETWEENCLIENTS#`"`"I(#.C(#(##67VmS!o!݌ e Ќ  Vm  Vms"0       PROPOSEDRULE2.3  7  ` EVALUATIONFORUSEBYTHIRDPERSONS#`"`"I(#.KK7(#(##72Vms""݌ !   Ќ  Vm  Vm#0       PROPOSEDRULE2.4 #"  ` LAWYERASDISPUTERESOLUTIONNEUTRAL#`"`"I(#.jj9(#(##74Vm##݌ $# Ќ  f  CHAPTER3.ADVOCATE`"`"I(#. 79 ]&!%    PROPOSEDRULE3.1 /(#'    ` MERITORIOUSCLAIMSANDCONTENTIONS`"`"I(#.cc679#X;XX2X;#2X;XXX;Ԉ )h$(   ii -(- 4< 4 4  %f  g   PROPOSEDRULE3.2    EXPEDITINGLITIGATION`"`"I(#.TT$81  Vm  Vm'0       PROPOSEDRULE3.3 k  ` CANDORTOWARDTHETRIBUNAL#`"`"I(#..(#(##82Vm'/'݌ T Ќ  Vm  Vm,(0       PROPOSEDRULE3.4 & v  ` FAIRNESSTOOPPOSINGPARTYANDCOUNSEL#`"`"I(#.:(#(##88Vm,(H(݌  _ Ќ  Vm  VmC)0       PROPOSEDRULE3.5  1   ` IMPARTIALITYANDDECORUMOFTHETRIBUNAL#`"`"I(#.<(#(##90VmC)_)݌    Ќ  Vm  Vm\*0       PROPOSEDRULE3.6    ` TRIALPUBLICITY#`"`"I(#.#(#(##92Vm\*x*݌   Ќ  Vm  Vm[+0       PROPOSEDRULE3.7 W   ` LAWYERASWITNESS#`"`"I(#.ww%(#(##95Vm[+w+݌ @ Ќ  Vm  Vm^,0       PROPOSEDRULE3.8 b  ` SPECIALRESPONSIBILITIESOFAPROSECUTOR#`"`"I(#.<(#(##97Vm^,z,݌ K Ќ  Vm  Vmw-0       PROPOSEDRULE3.9   ` ADVOCATEINNONADJUDICATIVEPROCEEDINGS#`"`"I(#.<(#(##99Vmw--݌  Ќ  Vm  Vm.0     CHAPTER4.TRANSACTIONSWITHPERSONSOTHERTHANCLIENTS#!!H(#.B(#(##100Vm..݌  Ќ  Vm  Vmz/0       PROPOSEDRULE4.1 Z  ` TRUTHFULNESSANDCANDORINSTATEMENTSTOOTHERS#!!H(#.wwC(#(##100Vmz//݌ C Ќ  Vm  Vm00       PROPOSEDRULE4.2 e  ` COMMUNICATIONWITHPERSONREPRESENTEDBYCOUNSEL#!!H(#.D D D(#(##103Vm00݌ N Ќ  Vm  Vm10       PROPOSEDRULE4.3 !    ` DEALINGWITHUNREPRESENTEDPERSON#!!H(#.5(#(##105Vm11݌ " ! Ќ    PROPOSEDRULE4.4 $#    ` RESPECTFORRIGHTSOFTHIRDPERSONS!!H(#.7106 t% $ Vm  Vmt30     CHAPTER5.LAWFIRMS,LEGALDEPARTMENTS,ANDLEGAL F'"& SERVICEORGANIZATIONS#!!H(#.$(#(##107Vmt33݌ /(#' Ќ    iii#X;XX2X;%#2X;XXX; -(- 4Vm  Vm50       PROPOSEDRULE5.1   ` RESPONSIBILITIESOFAPARTNER,MANAGINGLAWYEROR  @   ЀSUPERVISORYLAWYER#!!H(#.::-(#(##107#X;XX2X;4#Vm55݌ k Ќ  Vm  Vm60       PROPOSEDRULE5.2 =   ` RESPONSIBILITIESOFA  SUBORDINATELAWYER#!!H(#.:(#(##110Vm66݌ & v Ќ  Vm  Vm70       PROPOSEDRULE5.3  H  ` RESPONSIBILITIESREGARDING_NONLAWYER_ԀASSISTANTS#!!H(#.C(#(##111Vm77݌  1  Ќ  Vm  Vm"90       PROPOSEDRULE5.4    ` PROFESSIONALINDEPENDENCEOFALAWYER#!!H(#.9(#(##113Vm"9>9݌   Ќ  Vm  Vm9:0       PROPOSEDRULE5.5 n   ` UNAUTHORIZEDPRACTICEOFLAW#!!H(#.0(#(##115Vm9:U:݌ W  Ќ  Vm  VmG;0       PROPOSEDRULE5.6 )y  ` RESTRICTIONSONRIGHTTOPRACTICE#!!H(#.5(#(##116VmG;c;݌ b Ќ  Vm  VmZ<0       PROPOSEDRULE5.7 4  ` RESPONSIBILITIESREGARDINGLAWRELATEDSERVICES#!!H(#.C(#(##117VmZ<v<݌  Ќ  Vm  Vm{=0     CHAPTER6.PUBLICSERVICE#!!H(#.%(#(##120Vm{==݌  Ќ  Vm  VmH>0       PROPOSEDRULE6.1 q  ` PROBONO_PUBLICO_ԀREPRESENTATION#!!H(#.4(#(##120VmH>d>݌ Z Ќ  Vm  Vmy?0       PROPOSEDRULE6.2 ,|  ` ACCEPTINGCOURTAPPOINTMENTS#!!H(#.0(#(##123Vmy??݌ e Ќ  Vm  Vm@0       PROPOSEDRULE6.3  7  ` MEMBERSHIPINLEGALSERVICESORGANIZATION#!!H(#.::=(#(##124Vm@@݌ !   Ќ  Vm  VmA0       PROPOSEDRULE6.4 #"  ` LAWREFORMACTIVITIESAFFECTINGCLIENTINTERESTS#!!H(#.D(#(##125VmAA݌ $# Ќ  2X;XXX;CHAPTER7.INFORMATIONABOUTLEGALSERVICES!!H(#.aa6126 ]&!% Vm  VmDC0       PROPOSEDRULE7.1 /(#'  ` COMMUNICATIONSCONCERNINGALAWYERSSERVICES#!!H(#.A(#(##126#X;XX2X;B#VmDC`C݌ )h$( Ќ  Vm  VmD0     2X;XXX;VmDD݌ (#(# Ќ  Vm  Vm4E0     #X;XX2X;D#Vm4EPE݌ (#(# Ќ    iv2X;XXX; -(-  5" 5 c "58;XXdXXd8 "  EVm  VmF0     f  g   PROPOSEDRULE7.2  0` (#(#ADVERTISINGANDOTHERCOMMUNICATIONSNOTDIRECTEDTO @"  @"  @"  @"  @"  @"  @"  @"  @"  @" VmFG݌` (#` (# Ќ     ` SPECIFICALLYIDENTIFIEDRECIPIENTS!!H(#.6127 k #X;XX2X;E#g 2X;XXX;  PROPOSEDRULE7.3 =     ` SOLICITATIONANDOTHERCOMMUNICATIONSDIRECTEDTO  & v    ` SPECIFICALLYIDENTIFIEDRECIPIENTS!!H(#.6130  _ Vm  VmeJ0       PROPOSEDRULE7.4  1   ` COMMUNICATIONOFFIELDSOFPRACTICE#!!H(#.^^7(#(##135VmeJJ݌    Ќ  Vm  VmzK0       PROPOSEDRULE7.5    ` FIRMNAMESANDLETTERHEADS#!!H(#..(#(##137VmzKK݌   Ќ  Vm  VmL0       PROPOSEDRULE7.6 W   ` INTERMEDIARYORGANIZATIONS#!!H(#..(#(##139VmLL݌ @ Ќ  Vm  VmM0     CHAPTER8.MAINTAININGTHEINTEGRITYOFTHEPROFESSION#!!H(#.A(#(##141VmMM݌ b Ќ  Vm  VmzN0       PROPOSEDRULE8.1 4  ` BARADMISSIONANDDISCIPLINARYMATTERS#!!H(#.:(#(##141VmzNN݌  Ќ  Vm  VmO0       PROPOSEDRULE8.2   ` JUDICIALANDLEGALOFFICIALS#!!H(#.0(#(##142VmOO݌  Ќ  Vm  VmP0       PROPOSEDRULE8.3 Z  ` REPORTINGPROFESSIONALMISCONDUCT#!!H(#.666(#(##143VmPP݌ C Ќ  Vm  VmQ0       PROPOSEDRULE8.4 e  ` MISCONDUCT#!!H(#.(#(##145VmQQ݌ N Ќ  Vm  VmR0       PROPOSEDRULE8.5 !    ` DISCIPLINARYAUTHORITY;CHOICEOFLAW#!!H(#.9(#(##148VmRR݌ " ! Ќ    PROPOSEDTRANSITIONRULE $#    ` GOVERNINGIMPLEMENTATIONOFTENNESSEE t% $    ` RULESOFPROFESSIONALCONDUCT!!H(#.1150 ]&!% #X;XX2X;I#2X;XXX;#X;XX2X;T#2X;XXX;  f  g f  vf  g  -(-   3c.٦ 38;XXdXXd8 .3  .  eU    &OaPREAMBLE V   Vf    g [1]f  g Alawyerisanexpertinlawpursuingalearnedartinservicetoclientsandinthespirit  ofpublicserviceandengaginginthesepursuitsaspartofacommoncallingtopromotejusticeand l publicgood.Essentialcharacteristicsofthelawyerareknowledgeofthelaw,skillinapplyingthe U applicablelawtothefactualcontext,thoroughnessofpreparation,practicalandprudentialwisdom, >  ethicalconductandintegrity,anddedicationtojusticeandthepublicgood. ' w NW,W  *!f  g [2]f  g Alawyerisarepresentativeofclients,anofficerofthelegalsystemandapublic  I citizenhavingspecialresponsibilityforthequalityofjustice.  2  3Zch  f  g [3]f  g Asarepresentativeofclients,alawyerperformsvariousfunctions.Asadvisor,a   lawyerprovidesaclientwithaninformedunderstandingoftheclient'slegalrightsand   obligationsandexplainstheirpracticalimplications.Asadvocate,alawyerzealouslyassertsthe   client'spositionundertherulesoftheadversarysystem.Asnegotiator,alawyerseeksaresult o  advantageoustotheclientbutconsistentwithrequirementsofhonestdealingwithothers.As X  intermediarybetweenclients,alawyerseekstoreconciletheirdivergentinterestsasanadvisor A and,toalimitedextent,asaspokespersonforeachclient.Alawyeractsasevaluatorby *z examiningaclient'slegalaffairsandreportingaboutthemtotheclientortoothers. c   f  g [4]f  g Inallprofessionalfunctionsalawyershouldbecompetent,promptanddiligent.A 5 lawyershouldmaintaincommunicationwithaclientconcerningtherepresentation.Alawyer  shouldkeepinconfidenceinformationrelatingtorepresentationofaclientexceptsofaras  disclosureisrequiredorpermittedbytheRulesofProfessionalConductorotherlaw.    f  g [5]f  g Alawyer'sconductshouldconformtotherequirementsofthelaw,bothin r professionalservicetoclientsandinthelawyer'sbusinessandpersonalaffairs.Alawyershould [ usethelaw'sproceduresonlyforlegitimatepurposesandnottoharassorintimidateothers.A D lawyershoulddemonstraterespectforthelegalsystemandforthosewhoserveit,including -} judges,otherlawyersandpublicofficials.Whileitisalawyer'sduty,whennecessary,to f challengetherectitudeofofficialaction,itisalsoalawyer'sdutytoupholdlegalprocess. O   f  g [6]f  g Asapubliccitizen,alawyershouldseekimprovementofthelaw,theadministration !!  ofjusticeandthequalityofservicerenderedbythelegalprofession.Asamemberofalearned " ! profession,alawyershouldcultivateknowledgeofthelawbeyonditsuseforclients,employ #" thatknowledgeinreformofthelawandworktostrengthenlegaleducation.Alawyershouldbe $# mindfulofdeficienciesintheadministrationofjusticeandofthefactthatthepoor,and u% $ sometimespersonswhoarenotpoor,cannotaffordadequatelegalassistance,andshould ^&!% thereforedevoteprofessionaltimeandcivicinfluenceintheirbehalf.Alawyershouldaidthe G'"& legalprofessioninpursuingtheseobjectivesandshouldhelpthebarregulateitselfinthepublic 0(#' interest. )i$(   f  g [7]f  g Manyofalawyer'sprofessionalresponsibilitiesareprescribedintheRulesof *;&* ProfessionalConduct,aswellassubstantiveandprocedurallaw.However,alawyerisalso +$'+ _guidedbypersonalconscienceandtheapprobationofprofessionalpeers.Alawyershouldstrive  toattainthehighestlevelofskill,toimprovethelawandthelegalprofessionandtoexemplify  thelegalprofession'sidealsofpublicservice.    f  g [8]f  g Alawyer'sresponsibilitiesasarepresentativeofclients,anofficerofthelegalsystem T andapubliccitizenareusuallyharmonious.Thus,whenanopposingpartyiswellrepresented,a =  lawyercanbeazealousadvocateonbehalfofaclientandatthesametimeassumethatjusticeis & v beingdone.Soalso,alawyercanbesurethatpreservingclientconfidencesordinarilyservesthe  _ publicinterestbecausepeoplearemorelikelytoseeklegaladvice,andtherebyheedtheirlegal  H obligations,whentheyknowtheircommunicationswillbeprivate.  1    f  g [9]f  g Inthenatureoflawpractice,however,conflictingresponsibilitiesareencountered.   Virtuallyalldifficultethicalproblemsarisefromconflictbetweenalawyer'sresponsibilitiesto   clients,tothelegalsystemandtothelawyer'sowninterestinremaininganuprightpersonwhile   earningasatisfactoryliving.TheRulesofProfessionalConductprescribetermsforresolving n  suchconflicts.WithintheframeworkoftheseRulesmanydifficultissuesofprofessional W  discretioncanarise.Suchissuesmustberesolvedthroughtheexerciseofsensitiveprofessional @ andmoraljudgmentguidedbythebasicprinciplesunderlyingtheRules. )y   f  g [10]f  g Thelegalprofessionislargelyself-governing.Althoughotherprofessionsalsohave K beengrantedpowersofself-government,thelegalprofessionisuniqueinthisrespectbecauseof 4 thecloserelationshipbetweentheprofessionandtheprocessesofgovernmentandlaw  enforcement.Thisconnectionismanifestedinthefactthatultimateauthorityoverthelegal  professionisvestedlargelyinthecourts.    f  g [11]f  g Totheextentthatlawyersmeettheobligationsoftheirprofessionalcalling,the q occasionforgovernmentregulationisobviated.Self-regulationalsohelpsmaintainthelegal Z profession'sindependencefromgovernmentdomination.Anindependentlegalprofessionisan C importantforceinpreservinggovernmentunderlaw,forabuseoflegalauthorityismorereadily ,| challengedbyaprofessionwhosemembersarenotdependentongovernmentfortherightto e practice. N   f  g [12]f  g Thelegalprofession'srelativeautonomycarrieswithitspecialresponsibilitiesof !   self-government.Theprofessionhasaresponsibilitytoassurethatitsregulationsareconceived " ! inthepublicinterestandnotinfurtheranceofparochialorself-interestedconcernsofthebar. #" EverylawyerisresponsibleforobservanceoftheRulesofProfessionalConduct.Alawyer $# shouldalsoaidinsecuringtheirobservancebyotherlawyers.Neglectoftheseresponsibilities t% $ compromisestheindependenceoftheprofessionandthepublicinterestwhichitserves. ]&!%   f  g [13]f  g Lawyersplayavitalroleinthepreservationofsociety.Thefulfillmentofthisrole /(#' requiresanunderstandingbylawyersoftheirrelationshiptoourlegalsystem.TheRulesof )h$( ProfessionalConduct,whenproperlyapplied,servetodefinethatrelationship. *Q%) @'  SCOPE yԀ  +#'+ &Oa  & &    f  g [1]f  g TheRulesofProfessionalConductarerulesofreason.Theyshouldbeinterpreted  withreferencetothepurposesoflegalrepresentationandofthelawitself.SomeoftheRulesare  imperatives,castintheterms"shall"or"shallnot."Thesedefineproperconductforpurposesof k professionaldiscipline.Others,generallycastintheterm"may,"arepermissiveanddefineareas T undertheRulesinwhichthelawyerhasprofessionaldiscretion.Nodisciplinaryactionshouldbe =  takenwhenthelawyerchoosesnottoactoractswithintheboundsofsuchdiscretion.Other & v Rulesdefinethenatureofrelationshipsbetweenthelawyerandothers.TheRulesarethuspartly  _ obligatoryanddisciplinaryandpartlyconstitutiveanddescriptiveinthattheydefinealawyer's  H professionalrole.ManyoftheCommentsusetheterm"should."Commentsdonotadd  1  obligationstotheRulesbutprovideeitheradditionalguidanceforpracticingincompliancewith    theRulesormakesuggestionsaboutgoodpracticewhichlawyerswouldbewelladvisedtoheed   eventhoughtheRulesdonotrequirethemtodoso.     f  g [2]f  g TheRulespresupposealargerlegalcontextshapingthelawyer'srole.Thatcontext n  includescourtrulesandstatutesrelatingtomattersof_licensure_,lawsdefiningspecific W  obligationsoflawyersandsubstantiveandprocedurallawingeneral.Compliancewiththe @ Rules,aswithalllawinanopensociety,dependsprimarilyuponunderstandingandvoluntary )y compliance,secondarilyuponreinforcementbypeerandpublicopinionandfinally,when b necessary,uponenforcementthroughdisciplinaryproceedings.TheRulesdonot,however, K exhaustthemoralandethicalconsiderationsthatshouldinformalawyer,fornoworthwhile 4 humanactivitycanbecompletelydefinedbylegalrules.TheRulessimplyprovideaframework  fortheethicalpracticeoflaw.    f  g [3]f  g Furthermore,forpurposesofdeterminingthelawyer'sauthorityandresponsibility,  principlesofsubstantivelawexternaltotheseRulesdeterminewhetheraclient-lawyer q relationshipexists.Mostofthedutiesflowingfromtheclient-lawyerrelationshipattachonly Z aftertheclienthasrequestedthelawyertorenderlegalservicesandthelawyerhasagreedtodo C so.Buttherearesomeduties,suchasthatofconfidentialityunderRule1.6,thatmayattach ,| whenthelawyeragreestoconsiderwhetheraclient-lawyerrelationshipshallbeestablished. e Whetheraclient-lawyerrelationshipexistsforanyspecificpurposecandependonthe N circumstancesandmaybeaquestionoffact.  7   f  g [4]f  g Undervariouslegalprovisions,includingconstitutional,statutoryandcommonlaw, " ! theresponsibilitiesofgovernmentlawyersmayf  Ԁg f  g differfromthoseoflawyersf  g Ԁinprivate #" client-lawyerrelationships.Forexample,f  g f  g Ԁincertaincircumstances,theAttorneyGeneralof $# Tennesseef  g Ԁhaf  g f  g sf  g Ԁauthorityonbehalfofthegovernmenttodecideuponsettlementorwhetherto t% $ appealfromanadverse_judgmen_Ԁg Ԁlawyersemployedbythefederalgovernment.Also,certain ]&!% governmentlawyersunderthesupervisionoftheseofficersmaybeauthorizedtorepresent F'"& severalgovernmentagenciesf  g ,officersoremployeesf  g Ԁinf  g Ԁlegalcontroversiesincircumstances /(#' whereaprivatelawyercouldnotrepresentmultipleprivateclients.f  g ԀGovernmentlawyersin )h$( TennesseearealsosubjecttotheOpenMeetingsActasinterpretedbytheTennesseecourts.f  g  *Q%) Theyalsomayhaveauthoritytorepresentthe"publicinterest"incircumstanceswhereaprivate *:&* lawyerwouldnotbeauthorizedtodoso.TheseRulesarenotintendedtoabrogatethepowers +#'+ andresponsibilitiesofgovernmentlawyersunderfederallaworundertheconstitution,statutes,  orcommonlawofTennessee.    f  g [5]f  g FailuretocomplywithanobligationorprohibitionimposedbyaRuleisabasisfor k invokingthedisciplinaryprocess.TheRulespresupposethatdisciplinaryassessmentofa T lawyer'sconductwillbemadeonthebasisofthefactsandcircumstancesastheyexistedatthe =  timeoftheconductinquestionandinrecognitionofthefactthatalawyeroftenhastoactupon & v uncertainorincompleteevidenceofthesituation.Moreover,theRulespresupposethatwhether  _ ornotdisciplineshouldbeimposedforaviolation,andtheseverityofasanction,dependonall  H thecircumstances,suchasthewillfulnessandseriousnessoftheviolation,extenuatingfactors  1  andwhethertherehavebeenpreviousviolations.      f  g [6]f  g ViolationofaRuleshouldnotgiverisetoacauseofactionnorshoulditcreateany   presumptionthatalegaldutyhasbeenbreached.TheRulesaredesignedtoprovideguidanceto   lawyersandtoprovideastructureforregulatingconductthroughdisciplinaryagencies.Theyare n  notdesignedtobeabasisforcivilliability.Furthermore,thepurposeoftheRulescanbe W  subvertedwhentheyareinvokedbyopposingpartiesasproceduralweapons.Thefactthata @ Ruleisajustbasisforalawyer'sself-assessment,orforsanctioningalawyerunderthe )y administrationofadisciplinaryauthority,doesnotimplythatanantagonistinacollateral b proceedingortransactionhasstandingtoseekenforcementoftheRule.Accordingly,nothingin K theRulesshouldbedeemedtoaugmentanysubstantivelegaldutyoflawyersorthe 4 extra-disciplinaryconsequencesofviolatingsuchaduty.    f  g [7]f  g Moreover,theseRulesarenotintendedtogovernoraffectjudicialapplicationof  eithertheattorney-clientorworkproductprivilege.Thoseprivilegesweredevelopedtopromote  compliancewithlawandfairnessinlitigation.Inrelianceontheattorney-clientprivilege,clients q areentitledtoexpectthatcommunicationswithinthescopeoftheprivilegewillbeprotected Z againstcompelleddisclosure.Theattorney-clientprivilegeisthatoftheclientandnotofthe C lawyer.ThefactthatinexceptionalsituationsthelawyerundertheRuleshasalimiteddiscretion ,| todiscloseaclientconfidencedoesnotvitiatethepropositionthat,asageneralmatter,theclient e hasareasonableexpectationthatinformationrelatingtotheclientwillnotbevoluntarily N disclosedandthatdisclosureofsuchinformationmaybejudiciallycompelledonlyin  7 accordancewithrecognizedexceptionstotheattorney-clientandworkproductprivileges. !     f  g [8]f  g Thelawyer'sexerciseofdiscretionnottodiscloseinformationwhenpermittedtodo #" sobyRule1.6shouldnotbesubjecttoreexamination.Permittingsuchreexaminationwouldbe $# incompatiblewiththegeneralpolicyofpromotingcompliancewithlawthroughassurancesthat t% $ communicationswillbeprotectedagainstdisclosure. ]&!%   [9]f  g TheCommentaccompanyingeachRuleexplainsandillustratesthemeaningand#X;XX2X;@U#2X;XXX; /(#' purposeoftheRule.ThePreambleandthisnoteonScopeprovidegeneralorientation.The )h$( Commentsareintendedeitherasguidestointerpretationorassuggestionsofgoodpractice,but *Q%) thetextofeachRuleisauthoritative. *:&*  +#'+ [#X;XX2X;]#2X;XXX;    CHAPTER1  CLIENTLAWYERRELATIONSHIP  :PROPOSEDRULE1.0 n DEFINITIONS  X  r-!(a)"Belief"or"Believes"denotesthatthepersoninvolvedactuallysupposedthefactinquestion + { tobetrue.Aperson'sbeliefmaybeinferredfromcircumstances.  d (b) ConsentsinWritingor WrittenConsentdenoteseither(_i_)awrittenconsentexecutedby  6  aclient,or(ii)oralconsentgivenbyaclientwhichthelawyerconfirmsinwritinginamanner    whichcanbeeasilyunderstoodbytheclientandwhichispromptlytransmittedtotheclientf  g Ԁby   meansreasonablycalculatedtoreachtheclientf  g .     (c)"Consult"or"Consultation"denotescommunicationofinformationreasonablysufficientto s  permittheclienttoappreciatethesignificanceofthematterinquestion. \  (d)"Firm"or"LawFirm"denotesalawyerorlawyersinaprivatefirm,lawyersemployedinthe .~ legaldepartmentofacorporation,governmentagency,orotherorganizationandlawyers g employedinalegalservicesorganization.SeeComment,Rule1.10. P   (e)"Fraudor Fraudulent"denotesanintentionallyfalseormisleadingstatementofmaterial " fact,anintentionalomissionfromastatementoffactofsuchadditionalinformationaswouldbe   necessarytomakethestatementsmadenotmateriallymisleading,andsuchotherconductbya  personintendedtodeceiveapersonortribunalwithrespecttoamaterialissueinaproceedingor  othermatter. `  v (f)"Knowingly,""Known,"or"Knows"denotesactualawarenessofthefactinquestion.A H person'sknowledgemaybeinferredfromcircumstances. 1   (g)"Material"denotessomethingwhichareasonablepersonwouldconsiderimportantin  S assessingordetermininghowtoactinamatter.  < (h) Partnerdenotesapartnerinalawfirmorganizedasapartnershiporprofessionallimited "! liabilitypartnership,ashareholderinlawfirmorganizedasaprofessionalcorporation,amember #" inalawfirmorganizedasaprofessionallimitedliabilitycompany,org asolepractitionerwho $# employsotherlawyersor_nonlawyers_Ԁinconnectionwithhisorherpractice. y% $ (_i_)"Reasonable"or"Reasonably"whenusedinrelationtoconductbyalawyerdenotesthe K'"& conductofareasonablyprudentandcompetentlawyer. 4(#'   (j)"Reasonablebelief'or"Reasonablybelieves"whenusedinreferencetoalawyerdenotes *V%) thatthelawyerbelievesthematterinquestionandthatthecircumstancesaresuchthatthebelief *?&* isreasonable. +('+   (k)"Reasonablyshouldknow"whenusedinreferencetoalawyerdenotesthatalawyerof  reasonableprudenceandcompetencewouldascertainthematterinquestion.    (l)"Substantial"denotessomethingthatisnotonlymaterialbutalsoofclearandweighty T importance. =  Ѐ & v (m)"Tribunal"denotesacourtorotheradjudicativebody.<   _   COMMENT  l   Ѯ2qX2X;  #2X;X2q #Incircumstancesinwhichtheserulesrequireeitherconsentinwritingorwrittenconsent,    therequirementmaybesatisfiedbyanelectronictransmissionf  Ԁg f  g thatisreasonablycalculatedto   reachtheclient,providedthatf  g Ԁthetransmissioncanbereducedtowritingorpermanentlyretained   inelectronicformat.   #X;XX2X;#2X;XXX;  X     PROPOSEDRULE1.1  COMPETENCE   Alawyershallprovidecompetentrepresentationtoaclient.Competentrepresentationrequires m thelegalknowledge,skill,thoroughnessandpreparationreasonablynecessaryforthe V representation. ?    Ӏ COMMENT   a    LegalKnowledgeandSkill   7  8  [1]Indeterminingwhetheralawyeremploystherequisiteknowledgeandskillina   particularmatter,relevantfactorsincludetherelativecomplexityandspecializednatureofthe   matter,thelawyer'sgeneralexperience,thelawyer'strainingandexperienceinthefieldin   question,thepreparationandstudythelawyerisabletogivethematterandwhetheritisfeasible u  toreferthematterto,orassociateorconsultwith,alawyerofestablishedcompetenceinthe ^  fieldinquestion.Inmanyinstances,therequiredproficiencyisthatofageneralpractitioner. G Expertiseinaparticularfieldoflawmayberequiredinsomecircumstances. 0   [2]Alawyerneednotnecessarilyhavespecialtrainingorpriorexperiencetohandle R legalproblemsofatypewithwhichthelawyerisunfamiliar.Anewlyadmittedlawyercanbeas ; competentasapractitionerwithlongexperience.Someimportantlegalskills,suchasthe $ analysisofprecedent,theevaluationofevidenceandlegaldrafting,arerequiredinalllegal   problems.Perhapsthemostfundamentallegalskillconsistsofdeterminingwhatkindoflegal  problemsasituationmayinvolve,askillthatnecessarilytranscendsanyparticularspecialized  knowledge.Alawyercanprovideadequaterepresentationinawhollynovelfieldthrough x necessarystudy.Competentrepresentationcanalsobeprovidedthroughtheassociationofa a lawyerofestablishedcompetenceinthefieldinquestion. J   [3]f  Ԁg f  g Inasituationinwhichaclientisthreatenedwithimminentandirreparableharm,f  g Ԁa l lawyermaygiveadviceorassistanceinamatterinwhichthelawyerdoesnothavetheskill  U ordinarilyrequiredwherereferraltoorconsultationorassociationwithanotherlawyerwouldbe  > impractical.Eveninf  g f  g Ԁsuchasituationf  g ,however,assistanceshouldbelimitedtothatreasonably !'  necessaryinthecircumstances,forillconsideredactionf  g canjeopardizetheclient'sinterest. "!   [4]Alawyermayacceptrepresentationwheretherequisitelevelofcompetencecanbe $# achievedbyreasonablepreparation.Thisappliesaswelltoalawyerwhoisappointedascounsel {% $ foranunrepresentedperson.SeealsoRule6.2. d&!%    ThoroughnessandPreparation  6(#'   [5]Competenthandlingofaparticularmatterincludesinquiryintoandanalysisofthe  *Y%) factualandlegalelementsoftheproblem,anduseofmethodsandproceduresmeetingthe *B&* standardsofcompetentpractitioners.Italsoincludesadequatepreparation.Therequired ++'+ attentionandpreparationaredeterminedinpartbywhatisatstake;majorlitigationandcomplex  transactionsordinarilyrequiremoreelaboratetreatmentthanmattersoflesserconsequence.     MaintainingCompetence  k -  [6]Tomaintaintherequisiteknowledgeandskill,alawyershouldengageinregular @  continuingstudyandeducationwhichispertinenttothelawyerspracticeandshould ) y conscientiouslysatisfyallrequirementsforcontinuinglegaleducationinalljurisdictionsin  b whichthelawyerislicensedtopracticelaw.Ifasystemofpeerreviewhasbeenestablished,the  K lawyershouldconsidermakinguseofitinappropriatecircumstances.  4    _DEFINITIONAL_ԀCROSSREFERENCES    ReasonablySeeRule1.0(_i_)   #X;XX2X;T#  \    f  g   @" PROPOSEDRULE1.2    @SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF    AUTHORITYBETWEENTHELAWYERANDCLIENT  w to(a)Subjecttoparagraphs(c)and(d),alawyershallabidebyaclient'sdecisionsconcerningthe W objectivesoftherepresentationandmaytakesuchactiononbehalfoftheclientasisimpliedly @  authorizedtocarryouttherepresentationAlawyershallabidebyaclient'sdecisionwhetherto ) y settleamatter.Inacriminalcase,thelawyershallabidebytheclient'sdecisionastoapleato  b beentered,whethertowaivejurytrial,andwhethertheclientwilltestify.  K (b)Alawyer'srepresentationofaclient,includingrepresentationbyappointment,doesnot    constituteanendorsementoftheclient'spolitical,economic,socialormoralviewsoractivities.   (c)Alawyermaylimitthescopeofaclientsrepresentationifthelimitationisreasonableunder   thecircumstancesandtheclientgivesconsent,preferablyinwriting,afterconsultation. q  (d)Alawyershallnotcounselaclienttoengage,orassistaclient,inconductthatthelawyer C knowsorreasonablyshouldknowiscriminalorfraudulent,butalawyermaydiscussthelegal ,| consequencesofanyproposedcourseofconductwithaclientandmaycounselorassistaclient e tomakeagoodfaithefforttodeterminethevalidity,scope,meaningorapplicationofthelaw. N @' COMMENT       AllocationofAuthorityBetweenClientandLawyer     [1]Bothlawyerandclienthaveauthorityandresponsibilityintheobjectivesandmeans w ofrepresentation.Theclienthasultimateauthoritytodeterminethepurposestobeservedby ` legalrepresentation,withinthelimitsimposedbylawandthelawyer'sprofessionalobligations. I Also,thedecisionsspecifiedinparagraph(a),suchaswhethertosettleacivilmatter,mustbe 2 madebytheclient.Otherdecisionsmaybemadebythelawyerpursuanttothelawyersimplied k authoritytotakeactionnecessarytocarryouttherepresentation,subjecttothelawyersdutyto  T keeptheclientreasonablyinformedaboutthestatusoftherepresentation.SeeRule1.4.Aclear  = distinctionbetweenobjectivesandmeanssometimescannotbedrawn,andinmanycasesthe !&  clientlawyerrelationshippartakesofajointundertaking.Inquestionsofmeans,forexample, "! thelawyernormallywillassumeresponsibilityfortechnicalandlegaltacticalissues,butusually #" willdefertotheclientregardingsuchquestionsastheexpensetobeincurredandconcernfor $# thirdpersonswhomightbeadverselyaffected.Lawdefiningthelawyer'sscopeofauthorityin z% $ litigationvariesamongjurisdictions. c&!%   [2]Paragraph(a)recognizesthatclientsnormallydefertothespecialknowledgeand 3(#' skilloftheirlawyer.Atthesametime,alawyerisnotrequiredtopursueobjectivesoremploy )l$( meanssimplybecauseaclientmayinstructthelawyerdoso.Althoughalawyer,asanagent, *U%) normallymustabidebytheclientsinstructionswithrespecttotherepresentation,alawyermay *>&* alwaysrefusetoengageinconductthatthelawyerreasonablybelievestobeunlawfulor +''+ prohibitedbytheRulesofProfessionalConductandmaytakeactionthatthelawyerreasonably  believestoberequiredbylawortheRulesofProfessionalConduct.Also,ifalawyerhasa  fundamentaldisagreementwiththeclientabouttheclientsobjectivesorthemeanstobeusedto  accomplishthem,thelawyermaywithdrawfromtherepresentation.SeeRule1.16. k   [3]Communicationbetweenthelawyerandtheclientisnecessaryfortheclientto =  effectivelyparticipateindecisionsrelatingtoclientsrepresentation.Thelawyermust, & v therefore,keeptheclientreasonablyinformedaboutthelawyersactionsonbehalfoftheclient.  _ SeeRule1.4.  H   [4]Attheoutsetofarepresentation,theclientmayauthorizethelawyertotakeactionon    theclientsbehalfwithoutfurtherconsultation.Ordinarily,alawyermayrelyonsuchan   advanceauthorization.Theclientmay,however,revokesuchauthorityatanytime,anda   lawyermaynotrelyonanadvanceauthorizationiftherehasbeensuchamaterialchangeinthe   circumstancesknowntothelawyerthattheclientspriorauthorizationcannolongerberegarded n  asanadequatelyinformeddecision. W    [5]Inacaseinwhichtheclientappearstobesufferingmentaldisability,thelawyer's )y dutytoabidebytheclient'sdecisionsistobeguidedbyreferencetoRule1.14. b    IndependenceFromClient'sViewsorActivities 4 6    [6]Legalrepresentationshouldnotbebeingdeniedtopeoplewhoareunabletoafford  legalservices,orwhosecauseiscontroversialorthesubjectofpopulardisapproval.Bythesame  token,representingaclientdoesnotconstituteapprovaloftheclient'sviewsoractivities.     AgreementsLimitingtheScopeoftheRepresentation \     [7]Thescopeofservicestobeprovidedbyalawyermaybelimitedbyagreementwith 0 theclientorbythetermsunderwhichthelawyer'sservicesaremadeavailabletotheclient. i Whenalawyerhasbeenretainedbyaninsurertorepresentaninsured,forexample,the  R representationmaybelimitedtomattersrelatedtotheinsurancecoverage.Alimited  ; representationmaybeappropriatebecausetheclienthaslimitedobjectivesforthe !$  representation.Inaddition,thetermsuponwhichrepresentationisundertakenmayexclude " ! specificmeansthatmightotherwisebeusedtoaccomplishtheclientsobjectives.Such #" limitationsmayexcludeactionsthattheclientthinksaretoocostlyorthatthelawyerregardsas $# repugnantorimprudent. x% $     [8]AlthoughthisRuleaffordsthelawyerandclientsubstantiallatitudetolimitthe J'"& representation,thelimitationmustbereasonableunderthecircumstances.If,forexample,a 3(#' clientsobjectiveislimitedtosecuringgeneralinformationaboutthelawtheclientneedsin )l$( ordertohandleacommonandtypicallyuncomplicatedlegalproblem,thelawyerandclientmay *U%) agreethatthelawyersserviceswillbelimitedtoabrieftelephoneconsultation.Sucha *>&* limitation,however,wouldnotbereasonableifthetimeallottedwasnotsufficienttoyield +''+ adviceuponwhichtheclientcouldrely.Althoughanagreementforalimitedrepresentationdoes  notexemptalawyerfromthedutytoprovidecompetentrepresentation,thelimitationisafactor  tobeconsideredwhendeterminingthelegalknowledge,skill,thoroughnessandpreparation  reasonablynecessaryfortherepresentation.SeeRule1.1. k   [9]Otheragreementsconcerningalawyersrepresentationofaclientmustaccordwith =  theRulesofProfessionalConductandotherlaw.See,e.g.,Rules1.1,1.8,and5.6. & v    Criminal,FraudulentandProhibitedTransactions  H q   [10]Paragraph(d)prohibitsalawyerfromcounselingorassistingaclienttoengagein    conductthatthelawyerknowsorreasonablyshouldknowiscriminalorfraudulent.This   prohibition,however,doesnotprecludethelawyerfromgivinganhonestopinionaboutthe   actualconsequencesthatappearlikelytoresultfromaclient'sconduct.Nordoesthefactthata   clientusesadviceinacourseofactionthatiscriminalorfraudulentofitselfmakealawyera p  partytothecourseofaction.Thereisacriticaldistinctionbetweenpresentingananalysisof Y  legalaspectsofquestionableconductandrecommendingthemeansbywhichacrimeorfraud B mightbecommittedwithimpunity. +{   [11]Whentheclient'scourseofactionhasalreadybegunandiscontinuing,thelawyer's M responsibilityisespeciallydelicate.ThelawyermaybepermittedbutisnotrequiredbyRule1.6 6 torevealtheclient'swrongdoing.Inanycase,however,thelawyerisrequiredtoavoid  furtheringthepurpose,forexample,bysuggestinghowitmightbeconcealed.Alawyermaynot  continueassistingaclientinconductthatthelawyeroriginallysupposedwaslegallyproperbut  thendiscoversiscriminalorfraudulent.Thelawyermust,therefore,withdrawfromthe  representationoftheclientinthematter.SeeRule1.16(a). s   [12]Wheretheclientisafiduciary,thelawyermaybechargedwithspecialobligations E indealingswithabeneficiary. .~   [13]Paragraph(d)applieswhetherornotthedefraudedpartyisapartytothetransaction.  P Hence,alawyermustnotparticipateinashamtransaction;forexample,atransactionto  9 effectuatecriminalorfraudulentescapeoftaxliability.Paragraph(d)doesnotpreclude !"  undertakingacriminaldefenseincidenttoageneralretainerforlegalservicestoalawful " ! enterprise.Thelastclauseofparagraph(d)recognizesthatdeterminingthevalidityor #" interpretationofastatuteorregulationmayrequireacourseofactioninvolvingdisobedienceof $# thestatuteorregulationoroftheinterpretationplaceduponitbygovernmentalauthorities. v% $     [14]Ifalawyercomestoknoworreasonablyshouldknowthataclientexpects H'"& assistancenotpermittedbytheRulesofProfessionalConductorotherlaw,orifthelawyer 1(#' intendstoactcontrarytotheclientsinstructions,thelawyermustconsultwiththeclient )j$( regardingthelimitationsonthelawyersconduct.SeeRule1.4. *S%)    _DEFINITIONAL_ԀCROSSREFERENCES +%'+   ReasonableSeeRule1.0(_i_)   ConsultationSeeRule1.0(c)   KnowsSeeRule1.0(f) k  ReasonablyShouldKnowSeeRule1.0(k) T  FraudulentSeeRule1.0(e) =    & v 2X;XXX;f  g    PROPOSEDRULE1.3  DILIGENCE     Alawyershallactwithreasonablediligenceandpromptnessinrepresentingaclient. n    COMMENT  @    [1]Alawyershouldpursueamatteronbehalfofaclientdespiteopposition,obstruction  c orpersonalinconveniencetothelawyer,andmaytakewhateverlawfulandethicalmeasuresare  L requiredtovindicateaclient'scauseorendeavor.Alawyershouldactwithcommitmentand  5  dedicationtotheinterestsoftheclientandwithzealinadvocacyupontheclient'sbehalf.    However,alawyerisnotboundtopressforeveryadvantagethatmightberealizedforaclient.   Unlessinstructedbyaclienttothecontrary,alawyerhasprofessionaldiscretionindetermining   themeansbywhichamattershouldbepursued,andthelawyerisnotrequiredtoabideby   unreasonableclientinstructions.SeeRule1.2.Alawyer'sworkloadshouldbecontrolledsothat r  eachmattercanbehandledadequately. [    [2]Perhapsnoprofessionalshortcomingismorewidelyresentedthanprocrastination.A -} client'sinterestsoftencanbeadverselyaffectedbythepassageoftimeorthechangeof f conditions;inextremeinstances,aswhenalawyeroverlooksastatuteoflimitations,theclient's O legalpositionmaybedestroyed.Evenwhentheclient'sinterestsarenotaffectedinsubstance, 8 however,unreasonabledelaycancauseaclientneedlessanxietyandundermineconfidencein ! thelawyer'strustworthiness.     [3]UnlesstherelationshipisterminatedasprovidedinRule1.16,alawyershouldcarry  throughtoconclusionallmattersundertakenforaclient.Ifalawyer'semploymentislimitedtoa u specificmatter,therelationshipterminateswhenthematterhasbeenresolved.Ifalawyerhas ^ servedaclientoverasubstantialperiodinavarietyofmatters,theclientsometimesmayassume G thatthelawyerwillcontinuetoserveonacontinuingbasisunlessthelawyergivesnoticeof 0 withdrawal.Doubtaboutwhetheraclientlawyerrelationshipstillexistsshouldbeclarifiedby i thelawyer,preferablyinwriting,sothattheclientwillnotmistakenlysupposethelawyeris  R lookingaftertheclient'saffairswhenthelawyerhasceasedtodoso.Forexample,ifalawyer  ; hashandledajudicialoradministrativeproceedingthatproducedaresultadversetotheclient !$  buthasnotbeenspecificallyinstructedconcerningpursuitofanappeal,thelawyershouldadvise " ! theclientofthepossibilityofappealbeforerelinquishingresponsibilityforthematter. #"    _DEFINITIONAL_ԀCROSSREFERENCES x% $  c ReasonableSeeRule1.0(_i_) K'"&    0#X;XX2X;#2X;XXX;  )n$(    PROPOSEDRULE1.4  COMMUNICATION    (a)Alawyershallkeepaclientreasonablyinformedaboutthestatusofamatterandcomply n withreasonablerequestsforinformationwithinareasonabletime. W (b)Alawyershallexplainamattertotheextentreasonablynecessarytopermittheclientto ) y makeinformeddecisionsregardingtherepresentation.  b    COMMENT   5    KeepingtheClientReasonablyInformed      [1]Reasonablecommunicationbetweenthelawyerandtheclientisnecessaryforthe   clienttoeffectivelyparticipateintherepresentation.Whenadecisionabouttherepresentation t  mustbemadebytheclient,thelawyermustconsultwithandsecuretheclientsconsentpriorto ]  takingaction.Thus,alawyerwhoreceivesfromopposingcounselanofferofsettlementina F civilcontroversyoraprofferedpleabargaininacriminalcaseshouldpromptlyinformtheclient / ofitssubstance,unlesspriordiscussionswiththeclienthaveleftitclearthattheproposalwould h beunacceptable.Withrespecttothedecisionsforwhichtheclientspriorconsentisnot Q requiredbyRule1.2,thelawyersresponsibilityistokeeptheclientreasonablyinformed.In : somesituationsdependingonboththeimportanceoftheactionunderconsiderationandthe # feasibilityofconsultingwiththeclientthisdutywillrequireconsultationpriortotakingthe   action.Inothercircumstances,suchasduringatrialwhenanimmediatedecisionmustbemade,  practicalexigencymayalsorequirealawyertoactforaclientwithoutpriorconsultation.In  suchcases,andinothersituationsinwhichtheclienthasimpliedlyorexpresslydelegated w authoritytothelawyertotakeactionwithoutpriorconsultation,thelawyermustnonethelessact ` reasonablytokeeptheclientinformedofactionsthelawyerhastakenontheclientsbehalf. I   ExplainingMatters  i 8   [2]Theclientshouldhavesufficientinformationtoparticipateintelligentlyindecisions  < concerningtheobjectivesoftherepresentationandthemeansbywhichtheyaretobepursued, !%  totheextenttheclientiswillingandabletodoso.Forexample,alawyernegotiatingonbehalf "! ofaclientshouldprovidetheclientwithfactsrelevanttothematter,informtheclientof #" communicationsfromanotherpartyandtakeotherreasonablestepsthatpermittheclientto $# makeadecisionregardingaseriousofferfromanotherparty. y% $   [3]Ordinarily,theinformationtobeprovidedisthatappropriateforaclientwhoisa K'"& comprehendingandresponsibleadult.However,fullyinformingtheclientaccordingtothis 4(#' standardmaybeimpracticable,forexample,wheretheclientisachildorsuffersfrommental )m$( disability.SeeRule1.14.Whentheclientisanorganizationorgroup,itisoftenimpossibleor *V%) inappropriatetoinformeveryoneofitsmembersaboutitslegalaffairs;ordinarily,thelawyer *?&* shouldaddresscommunicationstotheappropriateofficialsoftheorganization.SeeRule1.13. +('+ Wheremanyroutinemattersareinvolved,asystemoflimitedoroccasionalreportingmaybe  arrangedwiththeclient.Practicalexigencymayalsorequirealawyertoactforaclientwithout  priorconsultation.     WithholdingInformation  T   [4]Insomecircumstances,alawyermaybejustifiedindelayingtransmissionof ' w informationwhentheclientwouldbelikelytoreactimprudentlytoanimmediate  ` communication.Thus,alawyermightwithholdapsychiatricdiagnosisofaclientwhenthe  I examiningpsychiatristindicatesthatdisclosurewouldharmtheclient.Alawyermaynot  2  withholdinformationtoservethelawyer'sowninterestorconvenience.Rulesorcourtorders    governinglitigationmayprovidethatinformationsuppliedtoalawyermaynotbedisclosedto   theclient.Rule3.4(c)directscompliancewithsuchrulesororders.      _DEFINITIONAL_ԀCROSSREFERENCES o  4 Reasonableand ReasonablySeeRule1.0(_i_) C #X;XX2X;p#2X;XXX;    e [   PROPOSEDRULE1.5  FEES    (a)Alawyer'sfeeandchargesforf  Ԁg f  g expensesf  g Ԁshallbereasonable.Thefactorstobeconsideredin n determiningthereasonablenessofafeeincludethefollowing: W   (1)thetimeandlaborrequired,thenoveltyanddifficultyofthequestionsinvolved,and ) y   theskillrequisitetoperformthelegalserviceproperly;  b   (2)thelikelihood,ifapparenttotheclient,thattheacceptanceoftheparticular   4    employmentwillprecludeotheremploymentbythelawyer;      (3)thefeecustomarilychargedinthelocalityforsimilarlegalservices;     (4)theamountinvolvedandtheresultsobtained; q    (5)thetimelimitationsimposedbytheclientorbythecircumstances; C   (6)thenatureandlengthoftheprofessionalrelationshipwiththeclient; e   (7)theexperience,reputation,andabilityofthelawyerorlawyersperformingthe 7   services;       (8)whetherthefeeisfixedorcontingent;    (9)prioradvertisementsorstatementsbythelawyerwithrespecttothefeesthelawyer t   charges;and ]    `   (10)whetherthefeeagreementisinwriting. /  (b)Whenthelawyerhasnotregularlyrepresentedtheclient,thebasisorrateofthefeeshallbe  R communicatedtotheclient,preferablyinwriting,beforeorwithinareasonabletimeafter  ; commencingtherepresentation. !$  (c)Afeemaybecontingentontheoutcomeofthematterforwhichtheserviceisrendered, #" exceptinamatterinwhichacontingentfeeisprohibitedbyparagraph(d)orotherlaw.A $# contingentfeeagreementshallbeinwritingandsignedbytheclientandshallstatethemethod x% $ bywhichthefeeistobedetermined,includingthepercentageorpercentagesthatshallaccrueto a&!% thelawyerintheeventofsettlement,trialorappeal,litigationandotherexpensestobededucted J'"& fromtherecovery,andwhethersuchexpensesaretobedeductedbeforeorafterthecontingent 3(#' feeiscalculated.Uponconclusionofacontingentfeematter,thelawyershallprovidetheclient )l$( withawrittenstatementstatingtheoutcomeofthematterandwhethertherewasarecovery,and *U%) showingtheremittance,ifany,totheclientandthemethodofitsdetermination. *>&*  +''+ (d)Alawyershallnotenterintoanarrangementfor,charge,orcollect:  0   (#(# 0  (1)anyfeeinadomesticrelationsmatter,thepaymentoramountofwhichiscontingent  uponthesecuringofadivorceortheawardofcustodialrights,orupontheamountof k alimonyorsupport,orthevalueofapropertydivisionorsettlement,unlessthematter T relatessolelytothecollectionof_arrearages_Ԁinalimonyorchildsupportorthe =  enforcementofanorderdividingthemaritalestateandthefeearrangementisdisclosed & v tothecourt;or _(#(# ̀  (2)acontingentfeeforrepresentingadefendantinacriminalcase.  1  (e)Adivisionoffeebetweenlawyerswhoarenotinthesamefirmmaybemadeonlyif:   0   (#(#   (1)thedivisionisinproportiontotheservicesperformedbyeachlawyeror,bywritten     consentoftheclient,eachlawyerassumesjointresponsibilityforthe x   n    representation;and W  0   (#(#   (2)theclientisadvisedofanddoesnotobjecttotheparticipationofallthelawyers )y   involved;and b     (3)thetotalfeeisreasonable. 4    COMMENT  BasisorRateofFee   )  [1]Whenthelawyerhasregularlyrepresentedaclient,thereordinarilywillhaveevolved ] anunderstandingconcerningthebasisorrateofthefee.Inanewclient-lawyerrelationship, F however,anunderstandingastothefeeshouldbepromptlyestablished.Itisnotnecessaryto / reciteallthefactorsthatunderliethebasisofthefee,butonlythosethataredirectlyinvolvedin h itscomputation.Itissufficient,forexample,tostatethatthebasicrateisanhourlychargeora  Q fixedamountoranestimatedamount,ortoidentifythefactorsthatmaybetakenintoaccountin  : finallyfixingthefee.Whendevelopmentsoccurduringtherepresentationthatrenderanearlier !#  estimatesubstantiallyinaccurate,arevisedestimateshouldbeprovidedtotheclient.Awritten " ! statementconcerningthefeereducesthepossibilityofmisunderstanding.Furnishingtheclient #" withasimplememorandumoracopyofthelawyer'scustomaryfeescheduleissufficientifthe $# basisorrateofthefeeissetforth. w% $    @ TermsofPayment  I'"& 1/  [2]Alawyermayrequireadvancepaymentofafee,butisobligedtoreturnanyunearned )l$( portion.SeeRule1.16(d).Alawyermayacceptpropertyinpaymentforservices,suchasan *U%) ownershipinterestinanenterprise,providingthisdoesnotinvolveacquisitionofaproprietary *>&* interestinthecauseofactionorsubjectmatterofthelitigationcontrarytoRule1.8(j).However, +''+ afeepaidinpropertyinsteadofmoneymaybesubjecttospecialscrutinybecauseitinvolves  questionsconcerningboththevalueoftheservicesandthelawyer'sspecialknowledgeofthe  valueoftheproperty.Ifthepropertybelongstotheclient,thelawyerwillalsohavetocomply  withtherequirementsofRule1.8(a). k   [3]Anagreementmaynotbemadewhosetermsmightinducethelawyerimproperlyto =  curtailservicesfortheclientorperformtheminawaycontrarytotheclient'sinterest.For & v example,alawyershouldnotenterintoanagreementwherebyservicesaretobeprovidedonly  _ uptoastatedamountwhenitisforeseeablethatmoreextensiveservicesprobablywillbe  H required,unlessthesituationisadequatelyexplainedtotheclient.Otherwise,theclientmight  1  havetobargainforfurtherassistanceinthemidstofaproceedingortransaction.However,itis    propertodefinetheextentofservicesinlightoftheclient'sabilitytopay.Alawyershouldnot   exploitafeearrangementbasedprimarilyonhourlychargesbyusingwastefulprocedures.When   thereisdoubtwhetheracontingentfeeisconsistentwiththeclient'sbestinterest,thelawyer   shouldoffertheclientalternativebasesforthefeeandexplaintheirimplications.Applicablelaw n  mayimposelimitationsoncontingentfees,suchasaceilingonthepercentage. W    [4]Insomecircumstances,otherlawmayregulatethefeesandexpenseschargedby )y lawyers.Forexample,Tennesseelawregulatescontingentfeesinmedicalmalpracticecases. b See,e.g.,Tenn.CodeAnn.2926120(1980).Inthesecircumstances,chargingunlawfulfees K orexpensesmaybeconsideredunreasonableundersection(a)ofthisRulesandmayviolate 4 Rule8.4orotherrules.See,e.g.,Rule8.4(d)(prohibitingconductprejudicialtothe  administrationofjustice).     DivisionofFee   X:  [5]Adivisionoffeeisasinglebillingtoaclientcoveringthefeeoftwoormorelawyers [ whoarenotinthesamefirm.Adivisionoffeefacilitatesassociationofmorethanonelawyerin D amatterinwhichneitheralonecouldservetheclientaswell,andmostoftenisusedwhenthe -} feeiscontingentandthedivisionisbetweenareferringlawyerandatrialspecialist.Paragraph f (e)permitsthelawyerstodivideafeeoneitherthebasisoftheproportionofservicesthey O renderorbyagreementbetweentheparticipatinglawyersifallassumeresponsibilityforthe  8 representationasawholeandtheclientisadvisedanddoesnotobject.Itdoesnotrequire !!  disclosuretotheclientofthesharethateachlawyeristoreceive.Jointresponsibilityforthe " ! representationentailstheobligationsstatedinRule5.1forpurposesofthematterinvolved. #"    DisputesOverFees  u% $ >  [6]Ifaprocedurehasbeenestablishedforresolutionoffeedisputes,suchasan H'"& arbitrationormediationprocedureestablishedbythebar,thelawyershouldconscientiously 1(#' considersubmittingtoit.Lawmayprescribeaprocedurefordeterminingalawyer'sfee,for )j$( example,inrepresentationofanexecutororadministrator,aclassorapersonentitledtoa *S%) reasonablefeeaspartofthemeasureofdamages.Thelawyerentitledtosuchafeeandalawyer *<&* representinganotherpartyconcernedwiththefeeshouldcomplywiththeprescribed_procedure. +%'+ Ї   _DEFINITIONAL_ԀCROSSREFERENCES   A FirmSeeRf  g f  g f  g ule1.0(d)   Reasonableand ReasonablenessSeeRule1.0(_i_) l #X;XX2X;9# 2X;XXX;  >     PROPOSEDRULE1.6  CONFIDENTIALITY rC  {C  (a)Alawyershallnotrevealinformationrelatingtorepresentationofaclientunlesstheclient m consentsafterconsultation,exceptthatthelawyermaymakesuchdisclosuresasareimpliedly V authorizedbytheclientinorderforthelawyertocarryouttherepresentation. ?  Ѐ   ( x (b)Alawyermayrevealinformationrelatingtotherepresentationofaclienttotheextentthe  a lawyerreasonablybelievesdisclosureisnecessary:  J 0   (#(#   (1)topreventreasonablycertaindeathorsubstantialbodilyharm;      (2)topreventtheclientoranotherpersonfromcommittingacrime,unlessdisclosureis     prohibitedorrestrictedbyRule3.3;     (3)torectifyormitigatesubstantialinjurytothefinancialinterestsorpropertyofanother Y    resultingfromtheclientscommissionofacrimeorfraudinfurtheranceofwhichthe B   clienthasusedthelawyersservicesf  g ,unlessdisclosureisprohibitedorrestrictedbyRule#X;XX2X;GC#2X;XXX; +{   3.3;#X;XX2X;-I#2X;XXX; d #X;XX2X;I#2X;XXX;  (4)tosecurelegaladviceaboutthelawyerscompliancewiththeseRules;or 6   (5)toestablishaclaimordefenseonbehalfofthelawyerinacontroversybetweenthe    lawyerandtheclient,toestablishadefensetoacriminalchargeorcivilclaimagainstthe    lawyerbaseduponconductinwhichtheclientwasinvolved,ortorespondtoallegations    inanyproceedingconcerningthelawyer'srepresentationoftheclient. s (c)Alawyershallrevealinformationrelatingtotherepresentationofaclienttotheextentthe E lawyerreasonablybelievesdisclosureisnecessary: .~   (1)tocomplywithanorderofatribunalrequiringdisclosurebutonlyiforderedtodoso  P   bythetribunalafterthelawyerhasassertedonbehalfoftheclientallnonfrivolous  9   claimsthattheinformationsoughtbythetribunalisprotectedagainstdisclosurebythe !"    attorneyclientprivilegeorotherapplicablelaw. p    " !   (2)tocomplywithRules3.3,4.1,orotherlaw. $#    COMMENT _&!%  LO=;XXdXXd=  [1]ThisRulegovernsthedisclosurebyalawyerofinformationrelatingtothe 2(#' representationofaclientduringthelawyersrepresentationoftheclient.SeeRule1.8(b)with )k$( respecttotheuseofsuchinformationtothedisadvantageoftheclient.SeeRule1.9(c)with *T%) respecttodisclosureandadverseuseofinformationrelatingtotherepresentationofaformer *=&* client. +&'+ _ԇ  [2]Theobservanceoftheethicalobligationofalawyertoholdinviolateconfidential  informationoftheclientnotonlyfacilitatesthefulldevelopmentoffactsessentialtoproper  representationoftheclientbutalsoencouragespeopletoseekearlylegalassistance.    [3]Almostwithoutexception,clientscometolawyersinordertodeterminewhattheir T rightsareandwhatis,inthemazeoflawsandregulations,deemedtobelegalandcorrect.The =  commonlawrecognizesthattheclient'sconfidencesmustbeprotectedfromdisclosure.Based & v uponexperience,lawyersknowthatalmostallclientsfollowtheadvicegiven,andthelawis  _ upheld.  H   [4]Afundamentalprincipleintheclient-lawyerrelationshipisthatthelawyermaintain    confidentialityofinformationrelatingtotherepresentation.Thiscontributestothetrustthatis   thehallmarkoftheclientlawyerrelationship.Theclientistherebyencouragedtocommunicate   fullyandfranklywiththelawyerevenastoembarrassingorlegallydamagingsubjectmatter.     [5]Theprincipleoflawyerclientconfidentialityisgiveneffectbyrelatedbodiesoflaw, W  includingtheattorney-clientprivilege,theworkproductdoctrine,andtheruleofconfidentiality @ establishedinprofessionalethics.Theattorney-clientprivilegeappliesinjudicialandother )y proceedingsinwhichalawyermaybecalledasawitnessorotherwiserequiredtoproduce b evidenceconcerningaclient.Theruleofclient-lawyerconfidentialityappliesinsituationsother K thanthosewhereevidenceissoughtfromthelawyerthroughcompulsionoflaw.The 4 confidentialityrule,forexample,appliesnotonlytomatterscommunicatedinconfidencebythe  clientbutalsotoallinformationrelatingtotherepresentation,whateveritssource.Alawyer  maynotdisclosesuchinformationexceptasauthorizedorrequiredbytheRulesofProfessional  Conductorotherlaw.SeealsoScope.    [6]Therequirementofmaintainingconfidentialityofinformationrelatingto Z representationappliestogovernmentlawyerswhomaydisagreewiththepolicygoalsthattheir C representationisdesignedtoadvance. ,|   [7]Paragraph(a)prohibitsalawyerfromrevealinginformationrelatingtothe N representationofaclient.Thisprohibitionalsoappliestodisclosuresbyalawyerthatdonotin  7 themselvesrevealprotectedinformationbutcouldreasonablyleadtothediscoveryofsuch !   informationbyathirdperson.Alawyersuseof_hypotheticals_Ԁtodiscussissuesrelatingtothe " ! representationispermissiblesolongasthereisnoreasonablelikelihoodthatthelistenerwillbe #" abletoascertaintheidentityoftheclientorthesituationinvolved. $#   AuthorizedDisclosure ]&!% _   [8]Alawyerisimpliedlyauthorizedtomakedisclosuresaboutaclientwhenappropriate 0(#' incarryingouttherepresentation,excepttotheextentthattheclient'sinstructionsorspecial )i$( circumstanceslimitthatauthority.Inlitigation,forexample,alawyermaydiscloseinformation *R%) byadmittingafactthatcannotproperlybedisputed,orinnegotiationbymakingadisclosure *;&* thatfacilitatesasatisfactoryconclusion. +$'+ Ї  [9]Lawyersinafirmmay,inthecourseofthefirm'spractice,disclosetoeachother  informationrelatingtoaclientofthefirm,unlesstheclienthasinstructedthatparticular  informationbeconfinedtospecifiedlawyers.      DisclosureAdversetoClient  T b  [10]Althoughthepublicinterestisusuallybestservedbyastrictrulerequiringlawyers ' w topreservetheconfidentialityofinformationrelatingtotherepresentationoftheirclients,the  ` confidentialityruleissubjecttolimitedexceptions.Paragraph(b)(1)recognizestheoverriding  I valueoflifeandphysicalintegrityandpermitsdisclosurereasonablynecessarytoprevent  2  reasonablycertaindeathorsubstantialbodilyharm.Substantialbodilyharmincludeslife    threateninganddebilitatingillnessesandtheconsequencesofchildsexualabuse.Suchinjuries   arereasonablycertaintooccuriftheywillbesufferedimminentlyorifthereisapresentand   substantialthreatthatapersonwillsuffersuchinjuriesatalaterdateifthelawyerfailstotake   actionnecessarytoeliminatethethreat.Thus,alawyerwhoknowsthataclienthasaccidentally o  dischargedtoxicwasteintoatownswatersupplymayrevealthisinformationtotheauthorities X  ifthereisapresentandsubstantialriskthatapersonwhodrinksthewaterwillcontractalife A threateningordebilitatingdiseaseandthelawyersdisclosureisnecessarytoeliminatethethreat *z orreducethenumberofvictims.  c      [11]Paragraph(b)(2)enablesthelawyertorevealinformationtotheextentnecessaryto 5 preventtheclientfromcommittingacrime.Theclientcan,ofcourse,preventsuchdisclosureby  refrainingfromthewrongfulconduct.AlthoughParagraph(b)(2)doesnotrequirethatthe  lawyerrevealtheclientsmisconduct,thelawyermaynotinanywaycounseltheclientto  engage,orassisttheclient,inconductthatthelawyerknowsiscriminalorfraudulent.SeeRule  1.2(d).SeealsoRule1.16withrespecttothelawyersobligationorrighttowithdrawfromthe r representationoftheclientinsuchcircumstances.Wheretheclientisanorganization,the [ lawyermaybeindoubtwhethercontemplatedconductwillactuallybecarriedoutbythe D organizationsconstituents.WherenecessarytoguideconductinconnectionwiththisRule,the -} lawyermaymakeinquirywithintheorganizationasindicatedinRule1.13(b).Rule3.3,rather f thanParagraph(b)(2)governsdisclosureofaclientsintentiontocommitperjuryorothercrimes O inconnectionwithanadjudicativeproceeding.  8   [12]Paragraph(b)(3)addressesthesituationinwhichalawyerserviceshavebeenused " ! bytheclientinfurtheranceoftheclientscommissionofacrimeorfraud,butthelawyerdoes #" notdiscoverthismisuseofthelawyersservicesuntilafterthecrimeorfraudhasbeen $# consummatedandlosshasbeensufferedbythevictim.Althoughtheclientnolongerhasthe u% $ optionofpreventingdisclosurebyrefrainingfromthewrongfulconduct,therewillbesituations ^&!% inwhichasubstantiallosssufferedbytheaffectedpersoncanberectifiedormitigated.Insuch G'"& situations,thelawyermaydiscloseinformationrelatingtorepresentationtotheextentnecessary 0(#' toassisttheaffectedpersonsrecouptheirlosses. )i$(     [13]Alawyersconfidentialityobligationsdonotprecludealawyerfromsecuringlegal *;&* adviceaboutthelawyerspersonalresponsibilitytocomplywiththeseRules.Inmostsituations, +$'+ disclosinginformationtosecuresuchadvicewillbeimpliedlyauthorizedforthelawyertocarry  outtherepresentation.Evenwhenthedisclosureisnotimpliedlyauthorized,paragraph(b)(4)  permitssuchdisclosurebecauseoftheimportanceofalawyerscompliancewiththeRulesof  ProfessionalConduct.Fortheprotectionoftheclient,suchdisclosuresmaybemadeonlyif k theywillbeprotectedbytheattorneyclientprivilege. T   [14]Wherealegalclaimordisciplinarychargeallegescomplicityofthelawyerina & v client'sconductorothermisconductofthelawyerinvolvingrepresentationoftheclient,the  _ lawyermayrespondtotheextentthelawyerreasonablybelievesnecessarytoestablisha  H defense.Thesameistruewithrespecttoaclaiminvolvingtheconductorrepresentationofa  1  formerclient.Suchachargecanariseinacivil,criminalorprofessionaldisciplinaryproceeding,    andcanbebasedonawrongallegedlycommittedbythelawyeragainsttheclient,oronawrong   allegedbyathirdperson;forexample,apersonclaimingtohavebeendefraudedbythelawyer   andclientactingtogether.Thelawyer'srighttorespondariseswhenanassertionofsuch   complicityhasbeenmade.Paragraph(b)(5)doesnotrequirethelawyertoawaitthe n  commencementofanactionorproceedingthatchargessuchcomplicity,sothatthedefensemay W  beestablishedbyrespondingdirectlytoathirdpartywhohasmadesuchanassertion.Theright @ todefend,ofcourse,applieswhereaproceedinghasbeencommenced.Wherepracticableand )y notprejudicialtothelawyer'sabilitytoestablishthedefense,thelawyershouldadvisetheclient b ofthethirdparty'sassertionandrequestthattheclientrespondappropriately.Inanyevent, K disclosureshouldbenogreaterthanthelawyerreasonablybelievesisnecessarytovindicate 4 innocence,thedisclosureshouldbemadeinamannerwhichlimitsaccesstotheinformationto  thetribunalorotherpersonshavinganeedtoknowit,andappropriateprotectiveordersorother  arrangementsshouldbesoughtbythelawyertothefullestextentpracticable.    [15]Alawyerentitledtoafeeispermittedbyparagraph(b)(5)toprovetheservices q renderedinanactiontocollectit.Thisaspectoftheruleexpressestheprinciplethatthe Z beneficiaryofafiduciaryrelationshipmaynotexploitittothedetrimentofthefiduciary.As C statedabove,thelawyermustmakeeveryeffortpracticabletoavoidunnecessarydisclosureof ,| informationrelatingtoarepresentation,tolimitdisclosuretothosehavingtheneedtoknowit, e andtoobtainprotectiveordersormakeotherarrangementsminimizingtheriskofdisclosure. N   [16]Paragraph(b)permitsbutdoesnotrequirethedisclosureoruseofinformation !   relatingtoaclientsrepresentationtoaccomplishthepurposesspecifiedinparagraphs(b)(1) " ! through(5).InexercisingthediscretionconferredbythisRule,thelawyermayconsidersuch #" factorsasthenatureofthelawyer'srelationshipwiththeclientandwiththosewhomightbe $# injuredbytheclient,thelawyer'sowninvolvementinthetransactionandfactorsthatmay t% $ extenuatetheconductinquestion.Wherepractical,thelawyershouldseektopersuadetheclient ]&!% totakesuitableaction.Inanycase,adisclosureadversetotheclient'sinterestshouldbeno F'"& greaterthanthelawyerreasonablybelievesnecessarytothepurpose.Alawyer'sdecisionnotto /(#' takepreventiveactionpermittedbyparagraph(b)doesnotviolatethisRule. )h$(   DisclosureOtherwiseRequiredorAuthorized  *;&*  +%'+   [17]TheRulesofProfessionalConductinvariouscircumstancespermitorrequirea  lawyertodiscloseinformationrelatingtotherepresentation.SeeRules2.2,2.3,3.3and4.1.In  additiontotheseprovisions,alawyermaybeobligatedorpermittedbyotherprovisionsoflaw  togiveinformationaboutaclient.WhetheranotherprovisionoflawsupersedesRule1.6isa k matterofinterpretationbeyondthescopeoftheseRules.f  g f  g  T   [18]Alawyermustalsocomplywithlawfulordersofatribunal,anadministrativeor & v executiveagency,oralegislativebody.Ifalawyeriscalledasawitnesstogivetestimony  _ concerningaclient,orisotherwiseorderedtorevealinformationrelatingtotheclients  H representation,thelawyermust,absentauthorizationfromtheclienttodootherwise,asserton  1  behalfoftheclientallnonfrivolousclaimsthattheinformationsoughtisprotectedagainst    disclosurebytheattorneyclientprivilegeorotherapplicablelaw.Intheeventofanadverse   ruling,thelawyershouldconsultwiththeclientaboutthepossibilityofappealingtheadverse   ruling.SeeRule1.4and1.2.Unlessanappealistaken,thelawyermustcomplywiththeorder.      ActingCompetentlytoPreserveConfidentiality  W    [19]Alawyermustactcompetentlytosafeguardinformationrelatingtothe *z representationofaclientagainstinadvertentorunauthorizeddisclosurebythelawyerorby c otherpersonswhoareparticipatingintherepresentationoftheclientorwhoaresubjecttothe L lawyerssupervision.SeeRules1.1,5.1,and5.3. 5   [20]Whentransmittingacommunicationthatincludesinformationrelatingtothe  representationofaclient,thelawyermusttakereasonableprecautionstopreventtheinformation  fromcomingintothehandsofunintendedrecipients.Thisduty,however,doesnotrequirethat  thelawyerutilizespecialsecuritymeasuresifthemethodofcommunicationaffordsareasonable r expectationofprivacy.Specialcircumstances,however,maywarrantspecialprecautions. [ Factorstobeconsideredindeterminingthereasonablenessofthelawyersexpectationof D confidentialityincludethesensitivityoftheinformationandtheextenttowhichtheprivacyof -} thecommunicationisprotectedbylaworbyaconfidentialityagreement.Aclientmayrequire f thelawyertoimplementspecialsecuritymeasuresnotrequiredbythisRuleormaygive O informedconsenttotheuseofameansofcommunicationthatwouldotherwisebeprohibitedby  8 thisRule. !!  f  g   f  g FormerClients  #" ̐ӂ   [21]Thedutyofconfidentialitycontinuesaftertheclientlawyerrelationshiphasbeen v% $ terminated. SeeRule1.9(c). _&!%    _DEFINITIONAL_ԀCROSSREFERENCES 4(#'   ConsultationSeeRule1.0(c) *W%)  FraudSeeRule1.0(e) *@&*  ReasonablySeeRule1.0(_i_) +)'+  ReasonablyBelievesSeeRule1.0(j)   SubstantialSeeRule1.0(l)   TribunalSeeRule1.0(m)   (#X;XX2X;I#2X;XXX;A;XXdXXdOA    T PROPOSEDRULE1.7  CONFLICTOFINTEREST:GENERALRULE    tu (a)Alawyershallnotrepresentaclientiftherepresentationofthatclientwillbedirectly n adversetoanotherclient,unless: W   (1)thelawyerreasonablybelievestherepresentationwillnotadverselyaffectthe  ) y   relationshipwiththeotherclient;and  b   (2)eachclientconsentsinwritingafterconsultation.  4  (b)Alawyershallnotrepresentaclientiftherepresentationofthatclientmaybematerially   limitedbythelawyer'sresponsibilitiestoanotherclientortoathirdperson,orbythelawyer's   owninterests,unless:     (1)thelawyerreasonablybelievestherepresentationwillnotbeadverselyaffected; Z    and C   (2)theclientconsentsinwritingafterconsultation.Whenrepresentationofmultiple e   clientsinasinglematterisundertaken,theconsultationshallincludeexplanationofthe N   implicationsofthecommonrepresentationandtheadvantagesandrisksinvolved. 7    COMMENT    %   LoyaltytoaClient   d  [1]Loyaltyisanessentialelementinthelawyer'srelationshiptoaclient.An _ impermissibleconflictofinterestmayexistbeforerepresentationisundertaken,inwhichevent H therepresentationshouldbedeclined.Thelawyershouldadoptreasonableprocedures, 1 appropriateforthesizeandtypeoffirmandpractice,todetermineinbothlitigationand j non-litigationmattersthepartiesandissuesinvolvedandtodeterminewhetherthereareactual  S orpotentialconflictsofinterest.  <   [2]Ifsuchaconflictarisesafterrepresentationhasbeenundertaken,thelawyershould "! withdrawfromtherepresentation.SeeRule1.16.Wheremorethanoneclientisinvolvedand #" thelawyerwithdrawsbecauseaconflictarisesafterrepresentation,whetherthelawyermay $# continuetorepresentanyoftheclientsisdeterminedbyRule1.9.Astowhetheraclient-lawyer y% $ relationshipexistsor,havingoncebeenestablished,iscontinuing,seetheCommenttoRule1.3 b&!% andthestatementinthePreambleaboutthescopeoftheseRules. K'"&   [3]Asageneralproposition,loyaltytoaclientprohibitsundertakingrepresentation )m$( directlyadversetothatclientwithoutthatclient'sconsent.Paragraph(a)expressesthatgeneral *V%) rule.Thus,alawyerordinarilymaynotactasadvocateagainstapersonthelawyerrepresentsin *?&* someothermatter,evenifitiswhollyunrelated.Ontheotherhand,simultaneousrepresentation +('+ inunrelatedmattersofclientswhoseinterestsareonlygenerallyadverse,suchascompeting  economicenterprises,doesnotrequireconsentoftherespectiveclients.Paragraph(a)applies  onlywhentherepresentationofoneclientwouldbedirectlyadversetotheother.    [4]Loyaltytoaclientisalsoimpairedwhenalawyercannotconsider,recommendor T carryoutanappropriatecourseofactionfortheclientbecauseofthelawyer'sother =  responsibilitiesorinterests.Theconflictineffectforeclosesalternativesthatwouldotherwisebe & v availabletotheclient.Paragraph(b)addressessuchsituations.Apossibleconflictdoesnotitself  _ precludetherepresentation.Thecriticalquestionsarethelikelihoodthataconflictwilleventuate  H and,ifitdoes,whetheritwillmateriallyinterferewiththelawyer'sindependentprofessional  1  judgmentinconsideringalternativesorforeclosecoursesofactionthatreasonablyshouldbe    pursuedonbehalfoftheclient.Considerationshouldbegiventowhethertheclientwishesto   accommodatetheotherinterestinvolved.      ConsultationandConsent  n  ̦  [5]Aclientmayconsenttorepresentationnotwithstandingaconflict.However,as A indicatedinparagraph(a)(1)withrespecttorepresentationdirectlyadversetoaclient,and *z paragraph(b)(1)withrespecttomateriallimitationsonrepresentationofaclient,whena c disinterestedlawyerwouldconcludethattheclientshouldnotagreetotherepresentationunder L thecircumstances,thelawyerinvolvedcannotproperlyaskforsuchagreementorprovide 5 representationonthebasisoftheclient'sconsent.Whenmorethanoneclientisinvolved,the  questionofconflictmustberesolvedastoeachclient.Moreover,theremaybecircumstances  whereitisimpossibletomakethedisclosurenecessarytoobtainconsent.Forexample,whenthe  lawyerrepresentsdifferentclientsinrelatedmattersandoneoftheclientsrefusestoconsentto  thedisclosurenecessarytopermittheotherclienttomakeaninformeddecision,thelawyer r cannotproperlyaskthelattertoconsent. [   [6]Intheabsenceofotherlawtothecontrary,agovernmentofficialorentity,likeany -} otherclient,maywaiveaconflictofinterestunderthisRule. f Ѐ  [7]ThisRulerequiresthelawyereithertosecureawrittenconsentexecutedbytheclient  8 ortomemorializeanoralconsentgivenbytheclient.SeeRule1.0(b)Terminology(defining !!   ConsentsinWriting).Ifitisnotfeasibletosecureormemorializethewritingeitheratthetime " ! theconflictarisesoratthetimetheclientgivesconsent,thenthelawyermustsecureor #" memorializeitwithinareasonabletimethereafter.Therequirementofawritingdoesnot $# supplanttheneedinmostcasesforthelawyertotalkwiththeclient,toexplaintherisksand u% $ advantages,ifany,ofrepresentationburdenedbyaconflictofinterest,aswellasthereasonably ^&!% availablealternatives,andtoaffordtheclientanopportunitytoraisequestionsandconcerns. G'"& Rather,thewritingisrequiredinordertoimpressuponclientstheseriousnessofthedecision 0(#' theyarebeingaskedtomakeandtoresolvedisputesorambiguitiesthatmightlateroccurby )i$( virtueoftherebeingnowriting.Thewritingneednottakeanyparticularform;itshould, *R%)  however,includedisclosureoftherelevantcircumstancesandreasonablyforeseeablerisksofthe *;&* conflictofinterest,aswellasmemorializationoftheclientsagreementtotherepresentation  despitesuchrisks.     Lawyer'sInterests  k ܲ  [8]Thelawyer'sowninterestsshouldnotbepermittedtohaveanadverseeffectonthe >  representationofaclient.Forexample,alawyer'sneedforincomeshouldnotleadthelawyerto ' w undertakemattersthatcannotbehandledcompetentlyandatareasonablefee.SeeRules1.1and  ` 1.5.Iftheprobityofalawyer'sownconductinatransactionisinseriousquestion,itmaybe  I difficultorimpossibleforthelawyertogiveaclientdetachedadvice.Alawyermaynotallow  2  relatedbusinessintereststoaffectrepresentation,forexample,byreferringclientstoan    enterpriseinwhichthelawyerhasanundisclosedinterest.      ConflictsinLitigation    4  [9]Paragraph(a)prohibitsrepresentationofopposingpartiesinlitigation.Simultaneous Y  representationofpartieswhoseinterestsinlitigationmayconflict,suchasco-plaintiffsor B co-defendants,isgovernedbyparagraph(b).Animpermissibleconflictmayexistbyreasonof +{ substantialdiscrepancyintheparties'testimony,incompatibilityinpositionsinrelationtoan d opposingpartyorthefactthattherearesubstantiallydifferentpossibilitiesofsettlementofthe M claimsorliabilitiesinquestion.Suchconflictscanariseincriminalcasesaswellascivil.The 6 potentialforconflictofinterestinrepresentingmultipledefendantsinacriminalcaseissograve  thatordinarilyalawyershoulddeclinetorepresentmorethanone_codefendant_.Ontheother  hand,commonrepresentationofpersonshavingsimilarinterestsisproperiftheriskofadverse  effectisminimalandtherequirementsofparagraph(b)aremet.CompareRule2.2involving  intermediationbetweenclients. s   [10]Ordinarily,alawyermaynotactasadvocateagainstaclientthelawyerrepresentsin E someothermatter,eveniftheothermatteriswhollyunrelated.However,thereare .~ circumstancesinwhichalawyermayactasadvocateagainstaclient.Forexample,alawyer g representinganenterprisewithdiverseoperationsmayacceptemploymentasanadvocate  P againsttheenterpriseinanunrelatedmatterifdoingsowillnotadverselyaffectthelawyer's  9 relationshipwiththeenterpriseorconductofthesuitandifbothclientsconsentupon !"  consultation.Bythesametoken,governmentlawyersinsomecircumstancesmayrepresent " ! governmentemployeesinproceedingsinwhichagovernmentagencyistheopposingparty.The #" proprietyofconcurrentrepresentationcandependonthenatureofthelitigation.Forexample,a $# suitchargingfraudentailsconflicttoadegreenotinvolvedinasuitforadeclaratoryjudgment v% $ concerningstatutoryinterpretation. _&!%   [11]Ordinarilyalawyermaytakeinconsistentlegalpositionsindifferenttribunalsat 1(#' differenttimesonbehalfofdifferentclients.Themerefactthatadvocatingalegalpositionon )j$( behalfofoneclientmightcreateprecedentadversetotheinterestsofaclientrepresentedbythe *S%) lawyerinanunrelatedmatterdoesnotcreateaconflictofinterest.Aconflictofinterestexists, *<&* however,ifthereisasignificantriskthatalawyersactioninbehalfofoneclientwillmaterially +%'+ limitthelawyerseffectivenessinrepresentinganotherclientinadifferentcase;forexample,  whenadecisionfavoringoneclientwillcreateaprecedentlikelytoseriouslyweakenthe  positiontakenbythelawyeronbehalfoftheotherclient.Factorsrelevantindetermining  whethertheclientsneedtobeadvisedoftheriskinclude:wherethecasesarepending;whether k theissueissubstantiveorprocedural;thetemporalrelationshipbetweenthematters;the T significanceoftheissuetotheimmediateandlongruninterestsoftheclientsinvolved;andthe =  clientsreasonableexpectationsinretainingthelawyer.Ifthereissignificantriskofmaterial & v limitation,thenabsentinformedconsentoftheaffectedclients,thelawyermustrefuseoneofthe  _ representationsorwithdrawfromoneorbothmatters.  H    InterestofPersonPayingforaLawyer'sService     f  [12]Alawyermaybepaidfromasourceotherthantheclient,iftheclientisinformedof   thatfactandconsentsandthearrangementdoesnotcompromisethelawyer'sdutyofloyaltyto   theclient.SeeRule1.8(f).Forexample,whenaninsureranditsinsuredhaveconflicting o  interestsinamatterarisingfromaliabilityinsuranceagreement,andtheinsurerisrequiredto X  providespecialcounselfortheinsured,thearrangementshouldassurethespecialcounsel's A professionalindependence.Soalso,whenacorporationanditsdirectorsoremployeesare *z involvedinacontroversyinwhichtheyhaveconflictinginterests,thecorporationmayprovide c fundsforseparatelegalrepresentationofthedirectorsoremployees,iftheclientsconsentafter L consultationandthearrangementensuresthelawyer'sprofessionalindependence. 5    OtherConflictSituations     [13]Conflictsofinterestincontextsotherthanlitigationsometimesmaybedifficultto  assess.Relevantfactorsindeterminingwhetherthereispotentialforadverseeffectincludethe s durationandintimacyofthelawyer'srelationshipwiththeclientorclientsinvolved,the \ functionsbeingperformedbythelawyer,thelikelihoodthatactualconflictwillariseandthe E likelyprejudicetotheclientfromtheconflictifitdoesarise.Thequestionisoftenoneof .~ proximityanddegree. g   [14]Forexample,alawyermaynotrepresentmultiplepartiestoanegotiationwhose  9 interestsarefundamentallyantagonistictoeachother,butcommonrepresentationispermissible !"  wheretheclientsaregenerallyalignedininteresteventhoughthereissomedifferenceofinterest " ! amongthem.SeeRule2.2withrespecttoalawyerservingtwoormoreclientsasan #" intermediary. $#   [15]f  g Membersofafamilygroupmayreasonablyseekjointrepresentationbyasingle _&!% lawyerinamatteraffectingthefamily.f  g Conflictquestionsmayf  g arise_Ԁinf  g suchcircumstances.For H'"& example,inf  g estateplanningf  g f  g ,af  g Ԁlawyermaybecalledupontopreparewillsforseveralfamily 1(#' members,suchashusbandandwife,and,dependinguponthecircumstances,aconflictof )j$( interestmayarise.f  g Resolutionofconflictsofinterestbetweenfamilymemberspursuanttothis *S%) Rulemustbeconsistentwiththelawyersdutyofundividedloyaltytoeachclient,butthelawyer *<&* maytakeintoaccountthewillingnessofeachindividualclienttoaccommodatetheinterestsof +%'+ thefamilyasawholeortheindividualinterestofotherfamilymembers.f  g Inestate  administration,theidentityoftheclientmaybeunclearf  g f  g .f  g ԀUnderoneview,theclientisthe  fiduciary;underanotherviewtheclientistheestateortrust,includingitsbeneficiaries.The  lawyershouldmakecleartherelationshiptothepartiesinvolved. k   [16]Alawyerforacorporationorotherorganizationwhoisalsoamemberofitsboard =  ofdirectorsshoulddeterminewhethertheresponsibilitiesofthetworolesmayconflict.The & v lawyermaybecalledontoadvisethecorporationinmattersinvolvingactionsofthedirectors.  _ Considerationshouldbegiventothefrequencywithwhichsuchsituationsmayarise,the  H potentialintensityoftheconflict,theeffectofthelawyer'sresignationfromtheboardandthe  1  possibilityofthecorporation'sobtaininglegaladvicefromanotherlawyerinsuchsituations.If    thereismaterialriskthatthedualrolewillcompromisethelawyer'sindependenceof   professionaljudgment,thelawyershouldnotserveasadirector.      ConflictChargedbyanOpposingParty  n    [17]Resolvingquestionsofconflictofinterestisprimarilytheresponsibilityofthe A lawyerundertakingtherepresentation.Inlitigation,acourtmayraisethequestionwhenthereis *z reasontoinferthatthelawyerhasneglectedtheresponsibility.Inacriminalcase,inquirybythe c courtisgenerallyrequiredwhenalawyerrepresentsmultipledefendants.Wheretheconflictis L suchasclearlytocallinquestionthefairorefficientadministrationofjustice,opposingcounsel 5 mayproperlyraisethequestion.Suchanobjectionshouldbeviewedwithcaution,however,for  itcanbemisusedasatechniqueofharassment.     SpecialConsiderationsinJointRepresentation   h  [18]Inconsideringwhethertorepresentclientsjointlyinthesamematter,suchas \ representingcoplaintiffsorcodefendant,alawyershouldbemindfulthatifthejoint E representationfailsbecausethepotentiallyadverseinterestscannotbereconciled,theresultcan .~ beadditionalcost,embarrassment,andrecrimination.Ordinarily,thelawyerwillbeforcedto g withdrawfromrepresentingalloftheclientsifthejointrepresentationfailsf  g ,unlesseachclient  P _consents_Ԁafterconsultationf  g .f  g f  g   9   [19]Aparticularlyimportantfactorindeterminingtheappropriatenessofjoint " ! representationistheeffectonlawyerclientconfidentialityandtheattorneyclientprivilege. #" Withregardtotheevidentiaryattorneyclientprivilege,theprevailingruleisthatasbetween $# commonlyrepresentedclients,theprivilegedoesnotattach.Hence,itmustbeassumedthat,if v% $ litigationeventuatesbetweentheclients,theprivilegewillnotprotectanysuchcommunications, _&!% andtheclientsshouldbesoadvised. H'"&   [20]Astothedutyofconfidentiality,jointrepresentationwillalmostcertainlybe )j$( inadequateifoneclientattemptstokeepsomethinginconfidencebetweenthelawyerandthat *S%) client,whichisnottobedisclosedtotheotherclient.Thisissobecausethelawyerhasanequal *<&* dutyofloyaltytoeachclient,andeachclienthastherighttobeinformedofanythingbearingon +%'+ therepresentationthatmightaffectthatclientsinterestsandtoexpectthatthelawyerwilluse  thatinformationtothatclientsbenefit.SeeRule1.4.Thelawyershould,attheoutsetofthe  jointrepresentationandaspartoftheprocessofobtainingeachclientsf  g consent,adviseeach  clientthattg helawyerwillf  g f  g shareallinformationmaterialtotherepresentationwitheachofthe k jointlyrepresentedclients,unlessspecificallyinstructedbyoneoftheclientsnottodoso.The T lawyershouldalsoadviseeachclientthat,ifanyclientlaterinsistsf  g Ԁthatsomemattermaterialto =  therepresentationshouldbekeptfromtheotherf  g ,thelawyerwillabidebytheclients & v instructionstomaintaintheconfidentialityofthespecifiedinformation,butthatitislikelythat  _ thelawyerwillberequiredtowithdrawfromtherepresentationf  g .f  g f  g ԀInlimitedcircumstancesf  g ,  H howeverf  g ,itmaybeappropriateforthelawyertoproceedwiththerepresentationwhentheclients  1  haveagreef  g ,afterbeingproperlyinformed,thatthelawyerwillkeepcertaininformation    confidential.       [21]Subjecttotheabovelimitations,eachclientinthejointrepresentationhastheright   toloyalanddiligentrepresentationandtheprotectionofRule1.9concerningtheobligationstoa n  formerclient.EachclientalsohastherighttodischargethelawyerasstatedinRule1.16. W     RelationtoOtherRules )y    [22]Whenalawyerrepresentsaclientinapartisanrole,whetherasanadvocate,an L advisor,ortheauthorofalegalopiniontoberenderedonbehalfoftheclientforusebyathird 5 person,thisruleprovidesspecialprotectionsfortheclienttoassurethatthelawyersloyaltywill  notbedilutedbyinterestsofotherclientsorinterestsofthelawyerorthirdpersons.Thisrule,  however,isnotapplicablef  g Ԁtof  g Ԁconflictsofinterestaffectingf  g Ԁclientsthelawyerundertakestoserve  asanintermediary.#X;XX2X;#f  g f  g If,forexample,businesspersonsormembersofafamilyareseekingthe  lawyersadviceorassistanceinanonadversarialefforttoaccomplishacommonobjectivewith r respecttotheformation,conduct,modificationorterminationofaconsensualrelationbetween [ them,suchastheformationofabusinessorapurchaseorsaleofproperty,Rule2.2applies. D Similarly,iftheeffectuationofanestateplanorothergratuitoustransferentailstheformation, -} modificationorterminationofaconsensuallegalrelationshipbetweenclients,andthelawyer f actsasanintermediaryinconnectionwiththetransaction,Rule2.2applies.Otherwise,thisRule O applies.2X;XXX;f  g Noristhisruleapplicabletof  g conflictsofinterestaffectingf  g partiestoadisputewhof  g Ԁa  8 lawyerundertakestoserveasadisputeresolutionneutral.SeeRule2.4. !!     _DEFINITIONAL_ԀCROSSREFERENCES #"  g ReasonablyBelievesSeeRule1.0(j) v% $  ConsentsinWritingSeeRule1.0(b) _&!%  ConsultationSeeRule1.0(c) H'"&  MateriallySeeRule1.0(g) 1(#'   )j$( #X;XX2X;##2X;XXX;f  g    PROPOSEDRULE1.8  CONFLICTOFINTEREST:PROHIBITEDTRANSACTIONS   f ctr (a)Alawyershallnotenterintoabusinesstransactionwithaclientorknowinglyacquirean n ownership,_possessory_,securityorotherpecuniaryinterestadversetoaclientunless: W   (1)thetransactionandtermsonwhichthelawyeracquirestheinterestarefairand ) y   reasonabletotheclientandarefullydisclosedandtransmittedinwritingtotheclient  b   inamannerwhichcanbereasonablyunderstoodbytheclient;and  K 0  (2)theclientisgivenareasonableopportunitytoseektheadviceofindependentcounsel    inthetransaction;and (#(# 0  (3)theclientconsentsthereto,inawritingsignedbytheclient. (#(# (b)Alawyershallnotuseinformationrelatingtorepresentationofaclienttothedisadvantageof Z  theclient,unlesstheclientconsentsafterconsultation,exceptasotherwisepermittedorrequired C byRule1.6orRule3.3. ,| (c)Alawyershallnotprepareaninstrumentgivingthelawyerorapersonrelatedtothelawyer N asparent,child,sibling,orspouseanysubstantialgiftfromaclient,includingatestamentary 7 gift,exceptwheretheclientisrelatedtothedonee.   (d)Priortotheconclusionofrepresentationofaclient,alawyershallnotmakeornegotiatean  agreementgivingthelawyerliteraryormediarightstoaportrayaloraccountbasedin  substantialpartoninformationrelatingtotherepresentation. t (e)Alawyershallnotprovidefinancialassistancetoaclientinconnectionwithpendingor F contemplatedlitigation,exceptthat: /     (1)alawyermayadvancecourtcostsandexpensesoflitigation,therepaymentofwhich  Q   maybecontingentontheoutcomeofthematter;and  : 0   (#(#   (2)alawyerrepresentinganindigentclientmaypaycourtcostsandexpensesof  " !   litigationonbehalfoftheclient. #" (f)Alawyershallnotacceptcompensationordirectionfromoneotherthantheclientunless: w% $   (1)theclientconsentsafterconsultation; I'"&   (2)thereisnointerferencewiththelawyer'sindependenceofprofessionaljudgment )k$(   orwiththeclient-lawyerrelationship;and *T%)     *=&*   (3)informationrelatingtorepresentationofaclientisprotectedasrequiredbyRule     1.6.  (g)Alawyerwhorepresentstwoormoreclientsshallnotparticipateinmakinganaggregate k settlementoftheclaimsoforagainsttheclients,orinacriminalcaseanaggregatedagreement T astoguiltyornolocontenderepleas,unless: =    (1)theclientisgivenareasonableopportunitytoseektheadviceofindependent   _   counselinthetransaction;and  H 0  (2)eachclientconsentsinwritingafterconsultation,includingdisclosureoftheexistence    andnatureofalltheclaimsorpleasinvolvedandoftheparticipationofeachpersonin   thesettlement. (#(# (h)Alawyershallnot: n    (1)enterintoanagreementwithaprospective,current,orformerclientto  @    ` prospectivelylimitthelawyersliabilitytotheclientformalpractice;and )y   (2)shallnotsettleaclaimforsuchliability,unless: K    ` (a)theclientisrepresentedinthematterbyindependentcounsel;or     ` (b)thelawyerfullydisclosesallthetermsoftheagreementtotheclientina     ` mannerwhichcanreasonablybeunderstoodbytheclient,advisestheclient     ` toseektheadviceofindependentcounsel,andaffordstheclientareasonable q    ` opportunitytodoso. Z (_i_)Alawyerrelatedtoanotherlawyerasparent,child,siblingorspouseshallnotrepresenta ,| clientinarepresentationdirectlyadversetoapersonwhomthelawyerknowsisrepresentedby e theotherlawyerf  ,g f  g unlessf  g Ԁtheclientf  g Ԁconsentsinwritingf  g Ԁafterconsultationregardingthe N relationship.  7   (j)Alawyershallnotacquireaproprietaryinterestinthecauseofactionorsubjectmatterof " ! litigationthelawyerisconductingforaclient,exceptthatthelawyermay: #" 0  (1)acquirealiengrantedbylawtosecurethelawyer'sfeeorexpenses;andt% $(#(# 0   (#(#   (2)contractwithaclientforareasonablecontingentfeeinacivilcase. F'"&   COMMENT )h$(    TransactionsBetweenClientandLawyer  *<&*   +&'+   [1]Asageneralprinciple,alltransactionsbetweenclientandlawyershouldbefairand  reasonabletotheclient.Insuchtransactionsareviewbyindependentcounselonbehalfofthe  clientisoftenadvisable.Furthermore,alawyermaynotexploitinformationrelatingtothe  representationtotheclient'sdisadvantage.Forexample,alawyerwhohaslearnedthattheclient k isinvestinginspecificrealestatemaynot,withouttheclient'sconsent,seektoacquirenearby T propertywheredoingsowouldadverselyaffecttheclient'splanforinvestment.Paragraph(a) =  doesnot,however,applytostandardcommercialtransactionsbetweenthelawyerandtheclient & v forproductsorservicesthattheclientgenerallymarketstoothers,forexample,bankingor  _ brokerageservices,medicalservices,productsmanufacturedordistributedbytheclient,and  H utilitiesservices.Insuchtransactions,thelawyerhasnoadvantageindealingwiththeclient,and  1  therestrictionsinparagraph(a)areunnecessaryandimpracticable.      [2]Alawyermayacceptagiftfromaclient,ifthetransactionmeetsgeneralstandardsof   fairness.Forexample,asimplegiftsuchasapresentgivenataholidayorasatokenof   appreciationispermitted.Ifeffectuationofasubstantialgiftrequirespreparingalegal n  instrumentsuchasawillorconveyance,however,theclientshouldhavethedetachedadvice W  thatanotherlawyercanprovide.Paragraph(c)recognizesanexceptionwheretheclientisa @ relativeofthedoneeorthegiftisnotsubstantial. )y    LiteraryRights  K   [3]Anagreementbywhichalawyeracquiresliteraryormediarightsconcerningthe  conductoftherepresentationcreatesaconflictbetweentheinterestsoftheclientandthe  personalinterestsofthelawyer.Measuressuitableintherepresentationoftheclientmaydetract  fromthepublicationvalueofanaccountoftherepresentation.Paragraph(d)doesnotprohibita  lawyerrepresentingaclientinatransactionconcerningliterarypropertyfromagreeingthatthe r lawyer'sfeeshallconsistofashareinownershipintheproperty,ifthearrangementconformsto [ Rule1.5andparagraph(j). D    PersonPayingforLawyer'sServices  f   [4]Rule1.8(f)requiresdisclosureofthefactthatthelawyer'sservicesarebeingpaidfor  9 byathirdparty.SuchanarrangementmustalsoconformtotherequirementsofRule1.6 !"  concerningconfidentialityandRule1.7concerningconflictofinterest.Wheretheclientisa " ! class,consentmaybeobtainedonbehalfoftheclassbycourt-supervisedprocedure. #"    LimitingLiability  v% $   [5]Paragraph(h)isnotintendedtoapplytocustomaryqualificationsandlimitationsin K'"& legalopinionsandmemoranda. 4(#'    RelationshipsBetweenLawyers  *V%)   [6]Rule1.8(_i_)appliesto relatedlawyerswhoareindifferentfirms.Relatedlawyersin#X;XX2X;/#2X;XXX; +)'+ ЇthesamefirmaregovernedbyRules1.7,1.9,and1.10.ThedisqualificationstatedinRule1.8(_i_)  ispersonalandisnotimputedtomembersoffirmswithwhomthelawyersareassociated.See  Rule1.10.     AcquisitionofInterestinLitigation  T \  [7]Paragraph(j)statesthetraditionalgeneralrulethatlawyersareprohibitedfrom ' w acquiringaproprietaryinterestinlitigation.Thisgeneralrule,whichhasitsbasisincommon  ` law_champerty_Ԁandmaintenance,issubjecttospecificexceptionsdevelopedindecisionallaw  I andcontinuedintheseRules,suchastheexceptionforreasonablecontingentfeessetforthin  2  Rule1.5andtheexceptionforcertainadvancesofthecostsoflitigationsetforthinparagraph    (E).      _DEFINITIONAL_ԀCROSSREFERENCES    ;  ConsentsinWritingSeeRule1.0(b) Y   ConsultationSeeRule1.0(c) B  Knowinglyand KnowsSeeRule1.0(f) +{  Reasonableand ReasonablySeeRule1.0(_i_) d  SubstantialSeeRule1.0(l) M   #X;XX2X;#2X;XXX;       PROPOSEDRULE1.9  CONFLICTOFINTEREST:FORMERCLIENT  "Ӏ il" (a)Alawyerwhohasformerlyrepresentedaclientinamattershallnotthereafterrepresent n anotherpersoninthesameorasubstantiallyrelatedmatterinwhichthatpersonsinterestsare W materiallyadversetotheinterestsoftheformerclient,unlesstheformerclientconsentsin @  writingafterconsultation. ) y (b)Unlesstheformerclientconsentsinwritingafterconsultation,alawyershallnotknowingly  K representapersoninthesameorasubstantiallyrelatedmatterinwhichafirmwithwhichthe  4  lawyerformerlywasassociatedhadpreviouslyrepresentedaclientwhoseinterestsare    materiallyadversetothatpersonandaboutwhomthelawyerhadacquiredinformationprotected   byRules1.6and1.9(c)thatismaterialtothematterf  g f  g .f  g    (c)Unlesstheformerclientconsentsafterconsultation,alawyerwhohasformerlyrepresenteda q  clientinamatter,orwhosepresentorformerfirmhasformerlyrepresentedaclientinamatter, Z  shallnotthereafter: C   (1)useinformationrelatingtotherepresentationtothedisadvantageoftheformerclient e   exceptastheseRulesotherwisepermitorrequirewithrespecttoaclient,orwhenthe N   informationhasbecomegenerallyknown;or 7   (2)revealinformationrelatingtotherepresentationoftheformerclientexceptasthese     Rulesotherwisepermitorrequirewithrespecttoaclient.    S*  COMMENT u s*   [1]Afterterminationofaclient-lawyerrelationship,alawyermaynotrepresentanother H clientexceptinconformitywiththisRule,exceptthatinthecaseofagovernmentorformer 1 governmentlawyer,Rule1.11applies,ratherthanparagraphs(a)and(b)ofthisRule. j   [2]Thescopeofa"matter"forpurposesofthisRulewilldependonthefactsofa  < particularsituationortransaction.Theappropriatenessofthesubsequentrepresentationwill !%  dependonthescopeoftherepresentationintheformermatter,thescopeoftheproposed "! representationinthecurrentmatter,anditsrelationshiptotheformermatter. #"   [3]Thecurrentmatterissubstantiallyrelatedtotheformermatterifthecurrentmatter y% $ involvestheworkthelawyerperformedfortheformerclientorthereisasubstantialriskthat b&!% representationofthepresentclientwillinvolvetheuseofinformationacquiredinthecourseof K'"& representingtheformerclient,unlessthatinformationhasbecomegenerallyknown. 4(#' @TT# ChangingSides  *V%)   [4]Representingonesideandthenswitchingtorepresenttheotherinthesamematter +)'+ clearlyimplicatesloyaltytothefirstclientandprotectionofthatclientsconfidences.Similar  considerationsapplyinnonlitigationmatters.Forexample,alawyernegotiatingacomplex  agreementonbehalfofasellercouldnotwithdrawandrepresentthebuyeragainsttheinterests  ofthesellerinthesametransaction.Further,justasalawyermaynorrepresentbothsides k concurrentlyinthesamecase,f  g seeRule1.7(a),thelawyeralsomaynotrepresentthem T consecutively. =    [5]Beyondswitchingsidesinthesamematter,theconceptofsubstantialrelationship  _ appliestolaterdevelopmentsarisingoutoftheoriginalmatter.Amatterissubstantiallyrelated  H ifitinvolvestheworkthelawyerperformedfortheformerclient.Forexample,alawyermay  1  notonbehalfofalaterclientattackthevalidityofadocumentthatthelawyerdraftedifdoingso    wouldmateriallyandadverselyaffecttheformerclient.Similarly,alawyermaynotrepresenta   debtorinbankruptcyinseekingtosetasideasecurityinterestofacreditorthatisembodiedina   documentthatthelawyerpreviouslydraftedforthecreditor.   @ ProtectingConfidentiality  W    [6]Thesubstantialrelationshipstandardisemployedmostfrequentlytoprotectthe *z confidentialinformationoftheformerclient.Asubsequentmatterissubstantiallyrelatedtoan c earliermatterifthereisasubstantialriskthatthesubsequentrepresentationwillinvolvetheuse L ofconfidentialinformationoftheformerclientinviolationoftherestrictionstheseRulesand 5 otherlawplaceondisclosure.Substantialriskexistswhereitisreasonabletoconcludethatit  wouldmateriallyadvancetheclientspositioninthesubsequentmattertouseconfidential  informationobtainedinthepriorrepresentation.    [7]Inquiriesconcerningtheexistence,exchange,andpotentialforuseofsuch r confidentialinformationmaythemselvesraiseconcernsanddifficulties.Aconcerntoprotecta [ formerclientsconfidentialinformationwouldbeselfdefeatingif,inordertoobtainits D protection,theformerclientwererequiredtorevealinapublicproceedingtheparticular -} communicationorotherconfidentialinformationthatcouldbeusedinthesubsequent f representation.Ontheotherhand,closedorincameraproceedingsmayimplicateissuesof O fairnesstootherparties.Further,theinterestsofsubsequentclientsalsomilitateagainst  8 extensiveinquiryintotheprecisenatureofthelawyersrepresentationofthesubsequentclient !!  andthenatureofexchangesbetweenthem " !   [8]Thesubstantialrelationshiptestattemptstoavoidrequiringactualdisclosureof $# confidentialinformationbyfocusinguponthegeneralfeaturesofthemattersinvolvedand u% $ inferencesastothelikelihoodthatconfidenceswereimpartedbytheformerclientthatcouldbe ^&!% usedtoadverseeffectinthesubsequentrepresentation.Theinquiryintotheissuesinvolvedin G'"& thepriorrepresentationshouldbeasspecificaspossiblewithouttherebyrevealingthe 0(#' confidentialclientinformationitselfor#X;XX2X;f"#2X;XXX;Ԁconfidentialinformationconcerningthesecondclient. )i$( Nevertheless,thesubsequentclientsinterestinselectionofcounselofhisorherchoicerequires *R%) thatthelawyerbepermitted,withinappropriatelimits,todefeatanypresumptionorinference *;&* concerningthelawyersreceiptorexchangeofconfidentialinformation. +$'+ Ї  [9]Forexample,alawyerwhohasrepresentedabusinesspersonandlearnedextensive  privatefinancialinformationaboutthatpersonmaynotthenrepresentthatpersonsspousein  seekingadivorce.Similarly,alawyerwhohaspreviouslyrepresentedaclientinsecuring  environmentalpermitstobuildashoppingcenterwouldbeprecludedfromrepresenting k neighborswhosoughttooppose_rezoning_Ԁoftheproperty,butwouldnotbeprecluded,onthe T groundsofasubstantialrelationshipbetweenthetwomatters,fromdefendingatenantofthe =  completedshoppingcenterinresistingevictionfornonpaymentofrent. & v   [10]InformationthatmightbeconfidentialforsomepurposesundertheseRules(sothat,  H forexample,alawyerwouldnotbefreetodiscussitpublicly)mightnonethelessbesogeneral,  1  readilyobservable,oroflittlevalueinthesubsequentlitigationthatitshouldnotbyitselfresult    inasubstantialrelationshipbeingfound.Thus,alawyermaymasteraparticularsubstantive   areaofthelawwhilerepresentingaclient,butthatdoesnotprecludethelawyerfromlater   representinganotherclientadverselytothefirstinamatterinvolvingthesamelegalissues,ifthe   facts#X;XX2X;?#2X;XXX;Ԁarenotsubstantiallyrelated.Alawyermightalsohavelearnedaformerclientspreferred n  approachtobargaininginsettlementdiscussionsornegotiatingbusinesspointsinatransaction, W  willingnessorunwillingnesstobedeposedbyanadversary,andfinancialabilitytowithstand @ extendedlitigationorcontractnegotiations.Onlywhensuchinformationwillbedirectlyin )y issueorofunusualvalueinthesubsequentmatterwillitbeindependentlyrelevantinassessinga b substantialrelationship. K    @ LawyersMovingBetweenFirms   I  [11]Whenlawyershavebeenassociatedwithinafirmbutthenendtheirassociation,the  questionofwhetheralawyershouldundertakerepresentationismorecomplicated.Thereare  severalcompetingconsiderations.First,theclientpreviouslyrepresentedbytheformerfirm r mustbereasonablyassuredthattheprincipleofloyaltytotheclientisnotcompromised.Second, [ theruleshouldnotbesobroadlycastastoprecludeotherpersonsfromhavingreasonablechoice D oflegalcounsel.Third,theruleshouldnotunreasonablyhamperlawyersfromformingnew -} associationsandtakingonnewclientsafterhavingleftapreviousassociation.Inthis f connection,itshouldberecognizedthattodaymanylawyerspracticeinfirms,thatmanylawyers O tosomedegreelimittheirpracticetoonefieldoranother,andthatmanymovefromone  8 associationtoanotherseveraltimesintheircareers.Iftheconceptofimputationwereapplied !!  withunqualifiedrigor,theresultwouldberadicalcurtailmentoftheopportunityoflawyersto " ! movefromonepracticesettingtoanotherandoftheopportunityofclientstochangecounsel. #"   [12]Paragraph(b)operatestodisqualifythelawyeronlywhenthelawyerinvolvedhas u% $ actualknowledgeofinformationprotectedbyRules1.6and1.9(c)#X;XX2X;aG#2X;XXX;.Thus,ifalawyerwhilewith ^&!% onefirmacquirednoknowledgeorinformationrelatingtoaparticularclientofthefirm,andthat G'"& lawyerlaterjoinedanotherfirm,neitherthelawyerindividuallynorthesecondfirmis 0(#' disqualifiedfromrepresentinganotherclientinthesameorarelatedmattereventhoughthe )i$( interestsofthetwoclientsconflict.SeeRule1.10(b)fortherestrictionsonafirmoncealawyer *R%) hasterminatedassociationwiththefirm. *;&*  +$'+   [13]Applicationofparagraph(b)dependsonasituationsparticularfacts,aidedby  inferences,deductionsorworkingpresumptionsthatreasonablymaybemadeaboutthewayin  whichlawyersworktogether.Alawyermayhavegeneralaccesstofilesofallclientsofalaw  firmandmayregularlyparticipateindiscussionsoftheiraffairs;itshouldbeinferredthatsucha k lawyerinfactisprivytoallinformationaboutallthefirms'sclients.Incontrast,anotherlawyer T mayhaveaccesstothefilesofonlyalimitednumberofclientandparticipateindiscussionsof =  theaffairsofnootherclients;intheabsenceofinformationtothecontrary,itshouldbeinferred & v thatsuchalawyerinfactisprivytoinformationabouttheclientsactuallyservedbutnotthoseof  _ otherclients.  H     [14]Independentofthequestionofdisqualificationofafirm,alawyerchanging    professionalassociationhasacontinuingdutytopreserveconfidentialityofinformationabouta   clientformerlyrepresented.SeeRules1.6and1.9(c).      RelationtoOtherRules @  n   9X  [15]ExceptinsituationsgovernedbyRule1.11,Rule1.9appliesinallcircumstancesin B whichalawyerhaspreviouslyrepresentedaclientasanadvocate,advisor,intermediary,or +{ authorofalegalopiniontoberenderedonbehalfofaclientforusebyathirdperson.Exceptas d providedinRule2.4,Rule1.9doesnotapplytopartiesbeingservedbyalawyerasadispute M resolutionneutral.If,however,thelawyer'sserviceasaneutralwillbemateriallyadversetoa 6 formerclientandthedisputeissubstantiallyrelatedtotheformerrepresentation,thelawyer  mustaffordtheformerclienttheprotectionsofRule1.9     _DEFINITIONAL_ԀCROSSREFERENCES   [ ConsentsinWritingSeeRule1.0(b) ]  ConsultationSeeRule1.0(c) F  FirmSeeRule1.0(d) /  KnowinglyandKnownSeeRule1.0(f) h  Materialand MateriallySeeRule1.0(g)  Q  SubstantiallySeeRule1.0(l)  : #X;XX2X;P#2X;XXX;  " !     PROPOSEDRULE1.10  IMPUTEDDISQUALIFICATION:GENERALRULE   ] nc]#X;XX2X;]#PX;XXX;(a)Exceptaspermittedbyparagraph(c),#X;XXPX;^#PX;XXX;whilelawyersareassociatedinafirm,noneofthem m shallknowinglyrepresentaclientwhenanyoneofthempracticingalonewouldbeprohibited V fromdoingso#X;XXPX;!_#PX;XXX;ԀbyRules1.7,1.8(c),1.9(a),1.9(b),or2.2.#X;XXPX;*`#2X;XXX; ?  (b)Whenalawyerhasterminatedanassociationwithafirm,thefirmisnotprohibitedfrom  a thereafterrepresentingapersonwithinterestsmateriallyadversetothoseofaclientrepresented  J bytheformerlyassociatedlawyerandnotcurrentlyrepresentedbythefirm,unless:  3  0  (1)thematteristhesameorsubstantiallyrelatedtothatinwhichtheformerlyassociated   lawyerrepresentedtheclient;and (#(# 0   (#(#   (2)anylawyerremaininginthefirmhasinformationprotectedbyRules1.6and1.9(c) p    thatismaterialtothematter. Y    (c)Ifalawyerispersonallydisqualifiedfromrepresentingapersonwithinterestsadversetoa +{ clientofalawfirmwithwhichthelawyerwasformerlyassociated,otherlawyerscurrently d associatedinafirmwiththepersonallydisqualifiedlawyermaynonethelessrepresenttheperson M ifboththepersonallydisqualifiedlawyerandthelawyerswhowillrepresentthepersonon 6 behalfofthefirmactreasonablyto:    (1)identifythatthepersonallydisqualifiedlawyerisprohibitedfromparticipatingin    therepresentationofthecurrentclient;and  Ѐ s   (2)determinethatnolawyerrepresentingthecurrentclienthasacquiredanyinformation \   fromthepersonallydisqualifiedlawyerthatismaterialtothecurrentmatterandis E   protectedbyRule1.9(c);and .~   (3)promptlyimplementscreeningprocedurestoeffectivelypreventtheflow   P   ofinformationaboutthematterbetweenthepersonallydisqualifiedlawyer   9   andtheotherlawyersinthefirm;and !"    (4)advisetheformerclientinwritingofthecircumstanceswhichwarrantedthe  #"   implementationofthescreeningproceduresrequiredbythisruleandtheactions  $#   whichhavebeentakentocomplywiththisRule. v% $ (d)Adisqualificationprescribedbythisrulemaybewaivedbytheaffectedclientorformer H'"& clientundertheconditionsstatedinRule1.7. 1(#'    COMMENT  *S%)  Definitionof"Firm"  +&'+ "k  [1]ForpurposesoftheRulesofProfessionalConduct,theterm"firm"includeslawyers  inaprivatefirm,andlawyersinthelegaldepartmentofacorporationorotherorganization,orin  alegalservicesorganization.SeeRule1.0(d)(defining Firmor LawFirm).Whethertwoor k morelawyersconstituteafirmwithinthisdefinitioncandependonthespecificfacts.For T example,twopractitionerswhoshareofficespaceandoccasionallyconsultorassisteachother =  ordinarilywouldnotberegardedasconstitutingafirm.However,iftheypresentthemselvesto & v thepublicinawaysuggestingthattheyareafirmorconductthemselvesasafirm,theyshould  _ beregardedasafirmforthepurposesoftheRules.Thetermsofanyformalagreementbetween  H associatedlawyersarerelevantindeterminingwhethertheyareafirm,asisthefactthatthey  1  havemutualaccesstoinformationconcerningtheclientstheyserve.Furthermore,itisrelevant    indoubtfulcasestoconsidertheunderlyingpurposeoftheRulethatisinvolved.Agroupof   lawyerscouldberegardedasafirmforpurposesoftherulethatthesamelawyershouldnot   representopposingpartiesinlitigation,whileitmightnotbesoregardedforpurposesoftherule   thatinformationacquiredbyonelawyerisattributedtotheother. n    [2]Withrespecttothelawdepartmentofanorganization,thereisordinarilynoquestion @ thatthemembersofthedepartmentconstituteafirmwithinthemeaningoftheRulesof )y ProfessionalConduct.However,therecanbeuncertaintyastotheidentityoftheclient.For b example,itmaynotbeclearwhetherthelawdepartmentofacorporationrepresentsasubsidiary K oranaffiliatedcorporation,aswellasthecorporationbywhichthemembersofthedepartment 4 aredirectlyemployed.Asimilarquestioncanariseconcerninganunincorporatedassociation  anditslocalaffiliates.    [3]Similarquestionscanalsoarisewithrespecttolawyersinlegalaid.Lawyers  employedinthesameunitofalegalserviceorganizationconstituteafirm,butnotnecessarily q thoseemployedinseparateunits.Asinthecaseofindependentpractitioners,whetherthe Z lawyersshouldbetreatedasassociatedwitheachothercandependontheparticularrulethatis C involved,andonthespecificfactsofthesituation. ,|     PrinciplesofImputedDisqualification  N v  [4]Theruleofimputeddisqualificationstatedinparagraph(a)recognizesthecommunity !!  ofinterestandsharedloyaltypresumedtoexistamonglawyerswhoareassociatedinlawfirm. " ! Paragraph(a)operatesonlyamongthelawyerscurrentlyassociatedinafirm.Whenalawyer #" movesfromonefirmtoanother,thesituationisgovernedbyparagraphs(b)and(c). $#    LawyersMovingBetweenFirms  _&!% y  [5]Whenalawyerwhoisassociatedinafirmleavesthefirm,thequestionofwhethera 2(#' lawyershouldundertakerepresentationadversetoclientsoftheformerfirmismore )k$( complicated.Thereareseveralcompetingconsiderations.First,theclientpreviouslyrepresented *T%) bytheformerfirmmustbereasonablyassuredthattheprincipleofloyaltytotheclientisnot *=&* compromisedandthatconfidentialinformationrelatedtotherepresentationwillnotbeusedto +&'+ theclientsdisadvantage.Second,theruleshouldnotbecastsobroadlyastoprecludeother  personsfromhavingreasonablechoiceoflegalcounsel.Third,theruleshouldnotunreasonably  hamperlawyersfromformingnewassociationsandtakingonnewclientsafterhavinglefta  previousassociation.Inthisconnection,itshouldberecognizedthattodaymanylawyers k practiceinfirms,thatmanylawyerstosomedegreelimittheirpracticetoonefieldoranother, T andthatmanymovefromoneassociationtoanotherseveraltimesintheircareers.Iftheconcept =  ofimputationwereappliedwithunqualifiedrigor,theresultwouldberadicalcurtailmentofthe & v opportunityoflawyerstomovefromonepracticesettingtoanotherandoftheopportunityof  _ clientstochangecounsel.  H g   [f  g f  g 6f  g ]Paragraphs(a)and(b)governthevicariousdisqualificationofalawfirminthe    situationinwhichalawyerleavesthefirmandcontinuesorundertakestherepresentationofa   clientpreviouslyrepresentedbythefirm,thefirmisnolongerrepresentingtheclientand   lawyerswhohaveremainedinthefirmareaskedtoundertakearepresentationmaterially   adversetothefirmsformerclient.Ifthenewmatterissubstantiallyrelatedtoamatterinwhich n  thefirmpreviouslyrepresentedtheclient,thefirm,absenttheformerclientsconsent,willbe W  precludedbyparagraph(a)fromundertakingtherepresentationifanylawyerremaininginthe @ firmwouldbeprecludedbyRule1.9(a)fromdoingsobecausethelawyerhadparticipatedinthe )y clientspriorrepresentation.Alternatively,paragraph(b)precludesthefirmfromundertaking b therepresentationifanylawyerremaininginthefirmhasinformationprotectedbyRules1.6and K 1.9(c)thatismaterialtothematter.If,ontheotherhand,noremaininglawyerparticipatedin 4 theclientsrepresentationorpossessedconfidentialinformation,thefirmispermittedto  undertaketherepresentationeventhoughitismateriallyadversetotheformerclientina  substantiallyrelatedmatter.    [f  g f  g 7f  g ]Paragraph(c)addressesthesituationinwhichalawyerleavesonelawfirmandjoins q anotherfirmwhichisrepresentingaclientwithinterestsmateriallyadversetoaclientofthenew Z lawyersformerfirm.Thenewlawyermaybepersonallydisqualifiedfromparticipatinginthe C representationofsomeofthenewfirmsclientsbecauseofhispriorrepresentationofor ,| acquisitionofconfidentialinformationaboutclientsofhisorherformerlawfirm.Thispersonal e disqualificationwillnotbeimputedtootherlawyersinthepersonallydisqualifiedlawyersnew N firmiftheyactreasonablytoprotecttheconfidentialityinterestsofthepersonbeingrepresented  7 bythepersonallydisqualifiedlawyersformerfirm. !     [f  g f  g 8f  g ]Paragraph(c)setsforththemeasuresthatmustbetakeninorderprotectthe #" confidentialityinterestsoftheclientbeingrepresentedbythepersonallydisqualifiedlawyers $# formerfirm.Whetherafirmsscreeningproceduresareeffectivetopreventtheflowof t% $ informationaboutthematterbetweenthepersonallydisqualifiedlawyerandtheotherlawyersin ]&!% thefirmisaquestionoffact.Factorstobeconsideredinclude:awrittenaffirmationbythe F'"& personallydisqualifiedlawyerandthelawyersandfirmpersonnelhandlingthematterin /(#' questionthattheyareawareofandwillabidebythescreeningproceduresimplementedbythe )h$( firm,thestructuralorganizationofthelawfirmoroffice,thelikelihoodofcontactbetweenthe *Q%) personallydisqualifiedlawyerandthelawyershandlingthematterinquestion,andtheexistence *:&* offirmrulesandafilingsystemwhichpreventsunauthorizedaccesstofileswithrespecttothe +#'+ matterinquestion.AlthoughthisRuledoesnotrequirethatthepersonallydisqualifiedlawyerbe  prohibitedfromsharinginanyfeegeneratedbytherepresentationinquestion,suchaprohibition  canbeconsideredindeterminingtheeffectivenessofthescreeningproceduresemployedbythe  firm.Thequestiontobeaskedineachcaseiswhetherthescreeningmechanismeffectively k reducestoanacceptablelevelthepotentialformisuseofinformationrelatedtothe T representationofthepersonallydisqualifiedlawyersformerclient. =    [f  g f  g 9f  g ]Wherealawyerhasjoinedaprivatefirmafterhavingrepresentedthegovernment,the  _ situationisgovernedbyRule1.11(a)and(b).Wherealawyerrepresentsthegovernmentafter  H havingservedprivateclients,thesituationisgovernedbyRule1.11(c)(1).Theindividuallawyer  1  involvedisboundbytheRulesgenerally,includingRules1.6,1.7and1.9(c).       _DEFINITIONAL_ԀCROSSREFERENCES     Firmand LawFirmSeeRule1.0(d) o   Materialand MateriallySeeRule1.0(g) X   ReasonablySeeRule1.0(_i_) A  SubstantiallySeeRule1.0(l) *z   #X;XX2X;`#2X;XXX;  M f  g    PROPOSEDRULE1.11  SUCCESSIVEGOVERNMENTANDPRIVATEEMPLOYMENT   , a8=;XXdXXd= (a)Exceptaslawmayotherwiseexpresslypermit,alawyershallnotrepresentaprivateclientin n connectionwithamatterinwhichthelawyerparticipatedpersonallyandsubstantiallyasa W publicofficeroremployee,unlesstheappropriategovernmentagencyconsentsinwritingafter @  consultation.Nolawyerinafirmwithwhichthatlawyerisassociatedmayknowinglyundertake ) y orcontinuerepresentationinsuchamatterunlessboththepersonallydisqualifiedlawyerandthe  b lawyerswhoarerepresentingtheclientinthematteractreasonablyto:  K   (1)ascertainthatthepersonallydisqualifiedlawyerisprohibitedfromparticipatingin      therepresentationofthecurrentclient;and     (2)determinethatnolawyerrepresentingtheclienthasacquiredanymaterial      confidentialgovernmentinformationrelatingtothematter;and q    (3)promptlyimplementscreeningprocedurestoeffectivelypreventtheflow  C   ofinformationaboutthematterbetweenthepersonallydisqualifiedlawyer  ,|   andotherlawyersinthefirm;and e   (4)advisethegovernmentagencyinwritingofthecircumstanceswhichwarrantedthe 7   utilizationofthescreeningproceduresrequiredbythisruleandtheactionswhich    0  havebeentakentocomplywiththisrule. (#(# (b)Exceptaslawmayotherwiseexpresslypermit,alawyerhavinginformationthatthelawyer  knowsisconfidentialgovernmentinformationaboutapersonthelawyeracquiredwhenthe t lawyerwasapublicofficeroremployee,maynotrepresentaprivateclientwhoseinterestsare ] adversetothatpersoninamatterinwhichtheinformationcouldbeusedtothematerial F disadvantageofthatperson.Afirmwithwhichthatlawyerisassociatedmayundertakeor / continuerepresentationinthematteronlyifboththepersonallydisqualifiedlawyerandthe h lawyerswhoarerepresentingtheclientinthemattercomplywiththerequirementssetforthin  Q paragraph(a).  : (c)Exceptaslawmayotherwiseexpresslypermit,alawyerservingasapublicofficeror " ! employeeshallnot: #" 0  (1)participateinamatterinwhichthelawyerparticipatedpersonallyandsubstantially w% $ whileinprivatepracticeor_nongovernmental_Ԁemployment,unlessunderapplicablelaw `&!% nooneis,orbylawfuldelegationmaybe,authorizedtoactinthelawyer'ssteadinthe I'"& matter;or2(#'(#(# 0   (#(# 0  (2)negotiateforprivateemploymentwithanypersonwhoisinvolvedasapartyoras @ "  *T%) lawyerforapartyinamatterinwhichthelawyerisparticipatingpersonallyand  @  *=&* substantially,exceptthatalawyerservingasalawclerktoajudge,otheradjudicative +&'+ officerorarbitratormaynegotiateforprivateemploymentaspermittedbyRule1.12(b)  andsubjecttotheconditionsstatedinRule_1.12(b)._(#(# (d)AsusedinthisRule,theterm"matter"includes: k   (1)anyjudicialorotherproceeding,application,requestforarulingorother  =    determination,contract,claim,controversy,investigation,charge,accusation,arrestor & v   otherparticularmatterinvolvingaspecificpartyorparties;and  _ 0   (#(#   (2)anyothermattercoveredbytheconflictofinterestrulesoftheappropriate   1    governmentagency.      (e)AsusedinthisRule,theterm"confidentialgovernmentinformation"meansinformation   whichhasbeenobtainedundergovernmentalauthorityandwhich,atthetimethisruleis   applied,thegovernmentisprohibitedbylawfromdisclosingtothepublicorhasalegal n  privilegenottodisclose,andwhichisnototherwiseavailabletothepublic. W     COMMENT  )y   [1]ThisRulepreventsalawyerfromexploitingpublicofficefortheadvantageofa L privateclient. 5   [2]Alawyerrepresentingagovernmentagency,whetheremployedorspeciallyretained  bythegovernment,issubjecttotheRulesofProfessionalConduct,includingtheprohibition  againstrepresentingadverseinterestsstatedinRule1.7andtheprotectionsaffordedformer  clientsinRule1.9.Inaddition,suchalawyerissubjecttoRule1.11andtostatutesand r governmentregulationsregardingconflictofinterest.Suchstatutesandregulationsmay [ circumscribetheextenttowhichthegovernmentagencymaygiveconsentunderthisRule. D   [3]Wherethesuccessiveclientsareapublicagencyandaprivateclient,theriskexists f thatpowerordiscretionvestedinpublicauthoritymightbeusedforthespecialbenefitofa O privateclient.Alawyershouldnotbeinapositionwherebenefittoaprivateclientmightaffect  8 performanceofthelawyer'sprofessionalfunctionsonbehalfofpublicauthority.Also,unfair !!  advantagecouldaccruetotheprivateclientbyreasonofaccesstoconfidentialgovernment " ! informationabouttheclient'sadversaryobtainableonlythroughthelawyer'sgovernment #" service.However,therulesgoverninglawyerspresentlyorformerlyemployedbyagovernment $# agencyshouldnotbesorestrictiveastoinhibittransferofemploymenttoandfromthe u% $ government.Thegovernmenthasalegitimateneedtoattractqualifiedlawyersaswellasto ^&!% maintainhighethicalstandards.Theprovisionsforscreeningandwaiverarenecessaryto G'"& preventthedisqualificationrulefromimposingtoosevereadeterrentagainstenteringpublic 0(#' service. )i$(   [4]Whentheclientisanagencyofonegovernment,thatagencyshouldbetreatedasa *;&* privateclientforpurposesofthisRuleifthelawyerthereafterrepresentsanagencyofanother +$'+ government,aswhenalawyerrepresentsacityandsubsequentlyisemployedbyafederal  agency.    [5]Paragraph(a)(2)doesnotrequirethatalawyergivenoticetothegovernmentagency k atatimewhenprematuredisclosurewouldinjuretheclient;arequirementforpremature T disclosuremightprecludeengagementofthelawyer.Suchnoticeis,however,requiredtobe =  givenassoonaspracticableinorderthatthegovernmentagencywillhaveareasonable & v opportunitytoascertainthatthelawyeriscomplyingwithRule1.11andtotakeappropriate  _ actionifitbelievesthelawyerisnotcomplying.  H   [6]Paragraph(b)operatesonlywhenthelawyerinquestionhasknowledgeofthe    information,whichmeansactualknowledge;itdoesnotoperatewithrespecttoinformationthat   merelycouldbeimputedtothelawyer.     [7]Paragraphs(a)and(c)donotprohibitalawyerfromjointlyrepresentingaprivate n  partyandagovernmentagencywhendoingsoispermittedbyRule1.7andisnototherwise W  prohibitedbylaw. @   [8]Paragraph(c)doesnotdisqualifyotherlawyersintheagencywithwhichthelawyer b inquestionhasbecomeassociated. K A;XXdXXdؕA  [9]Intheabsenceofotherlawtothecontrary,agovernmentofficialorentity,likeany  otherclient,maywaiveaconflictofinterestunderthisRule.     _DEFINITIONAL_ԀCROSSREFERENCES   k ConsentsinWritingSeeRule1.0(b) [  ConsultationSeeRule1.0(c) D  FirmSeeRule1.0(d) -}  Knowinglyand KnowsSeeRule1.0(f) f  MaterialSeeRule1.0(g) O  ReasonablySeeRule1.0(_i_)  8  SubstantiallySeeRule1.0(l) !!  #X;XX2X;#  #"     PROPOSEDRULE1.12  FORMERJUDGEORARBITRATOR    er=;XXdXXd=(a)Exceptasstatedinparagraph(d),alawyershallnotrepresentanyoneinconnectionwitha m matterinwhichthelawyerparticipatedpersonallyandsubstantiallyasajudgeorother V adjudicativeofficer,arbitratororlawclerktosuchaperson,unlessallpartiestotheproceeding ?  consentafterconsultation,inawritingorwritingssignedbyallparties. ( x (b)Alawyershallnotnegotiateforemploymentwithanypersonwhoisinvolvedasapartyoras  J lawyerforapartyinamatterinwhichthelawyerisparticipatingpersonallyandsubstantiallyas  3  ajudgeorotheradjudicativeofficer,orarbitrator.Alawyerservingasalawclerktoajudge,    otheradjudicativeofficerorarbitratormaynegotiateforemploymentwithapartyorlawyer   involvedinamatterinwhichtheclerkisparticipatingpersonallyandsubstantially,butonly   afterthelawyerhasnotifiedthejudge,otheradjudicativeofficerorarbitrator.   (c)Ifalawyerisdisqualifiedbyparagraph(a),nolawyerinafirmwithwhichthatlawyeris Y  associatedmayknowinglyundertakeorcontinuerepresentationinthematterunlessboththe B disqualifiedlawyerandthelawyersrepresentingtheclientinthematterhavecompliedwiththe +{ requirementssetforthinRule1.11(a)(1),(2)and(3)andadvisetheappropriatetribunalin d writingofthecircumstanceswhichwarrantedtheutilizationofthescreeningproceduresrequired M bythisruleandtheactionswhichhavebeentakentocomplywiththisrule. 6 (d)Anarbitratorselectedasapartisanofapartyina_multimember_Ԁarbitrationpanelisnot  prohibitedfromsubsequentlyrepresentingthatparty.     COMMENT  s   [1]ThisRulegenerallyparallelsRule1.11.Theterm"personallyandsubstantially" F signifiesthatajudgewhowasamemberofamulti-membercourt,andthereafterleftjudicial / officetopracticelaw,isnotprohibitedfromrepresentingaclientinamatterpendinginthe h court,butinwhichtheformerjudgedidnotparticipate.Soalsothefactthataformerjudge  Q exercisedadministrativeresponsibilityinacourtdoesnotpreventtheformerjudgefromacting  : asalawyerinamatterwherethejudgehadpreviouslyexercisedremoteorincidental !#  administrativeresponsibilitythatdidnotaffectthemerits.ComparetheCommenttoRule1.11. " ! Theterm"adjudicativeofficer"includessuchofficialsasjudgesprotempore,referees,special #" masters,hearingofficersandother_parajudicial_Ԁofficers,andalsolawyerswhoserveaspart-time $# judges.A;XXdXXdA w% $   [2]TheprovisionsofRule10oftheRulesoftheSupremeCourtofTennessee, I'"& concerningtheApplicationoftheCodeofJudicialConduct,providesthatapart-timejudge, 2(#' judgeprotemporeorretiredjudgerecalledtoactiveservicemaynot"actasalawyerinany )k$( proceedinginwhichthejudgehasservedasajudgeorinanyotherproceedingrelatedthereto." *T%) AlthoughphraseddifferentlyfromthisRule,thoserulescorrespondinmeaning. *=&*  +&'+    _DEFINITIONAL_ԀCROSSREFERENCES    ConsultationSeeRule1.0(c)   FirmSeeRule1.0(d) l  KnowinglySeeRule1.0(f) U  SubstantiallySeeRule1.0(l) >   TribunalSeeRule1.0(m) ' w 2X;XXX;   I    PROPOSEDRULE1.13  ORGANIZATIONALCLIENTS    er(a)Alawyeremployedorretainedbyanorganizationrepresentstheorganizationactingthrough m itsdulyauthorizedconstituents. V (b)Ifalawyerforanorganizationknowsthatanofficer,employeeorotherpersonassociated ( x withtheorganizationhasengagedorisengagedinaction,hasrefusedorrefusestoact,or  a intendstoactorrefrainfromactinginamatterrelatedtotherepresentationthatisorwillbea  J violationofalegalobligationtotheorganization,oraviolationoflawwhichreasonablymight  3  beimputedtotheorganization,andislikelytoresultinsubstantialinjurytotheorganization,the    lawyershallproceedasisreasonablynecessaryinthebestinterestoftheorganization.In   determininghowtoproceed,thelawyershallgivedueconsiderationtotheseriousnessofthe   violationanditsconsequences,thescopeandnatureofthelawyer'srepresentation,the   responsibilityintheorganizationandtheapparentmotivationofthepersoninvolved,the p  policiesoftheorganizationconcerningsuchmattersandanyotherrelevantconsiderations.Any Y  measurestakenshallbedesignedtominimizedisruptionoftheorganizationandtheriskof B revealinginformationrelatingtotherepresentationtopersonsoutsidetheorganization.Such +{ measuresmayincludeamongothers: d     (1)askingreconsiderationofthematter; 6 0   `  (#(#   (2)advisingthataseparatelegalopiniononthematterbesoughtforpresentationto    appropriateauthorityintheorganization;and#X;XX2X;T#2X;XXX;  0   `  (#(#   (3)referringthemattertohigherauthorityintheorganization,including,ifwarrantedby s   theseriousnessofthematter,referraltothehighestauthoritythatcanactonbehalfofthe \   organizationasdeterminedbyapplicablelaw. E Ѐ(c)If,despitethelawyerseffortsinaccordancewithparagraph(b),thehighestauthoritythat g canactonbehalfoftheorganizationinsistsuponaction,orarefusaltoact,thatisclearlya  P violationoflawandislikelytoresultinsubstantialinjurytotheorganization,thelawyermay  9 withdrawinaccordancewithRule1.16andmaymakesuchdisclosuresofinformationrelatingto !"  theorganizationsrepresentationonlytotheextentpermittedtodosobyRules1.6and4.1. " ! (d)Indealingwithanorganization'sdirectors,officers,employees,members,shareholdersor $# otherconstituents,alawyershallexplaintheidentityoftheclientwhenitisorbecomesapparent v% $ thattheorganizationsinterestsareadversetothoseoftheconstituentswithwhomthelawyeris _&!% dealing. H'"& (e)Alawyerrepresentinganorganizationmayalsorepresentanyofitsdirectors,officers, )j$( employees,members,shareholdersorotherconstituents,subjecttotheprovisionsofRule1.7 *S%)  and2.2.Iftheorganization'sconsenttothedualrepresentationisrequiredbyRule1.7or2.2, *<&* theconsentshallbegivenbyanappropriateofficialoftheorganizationotherthantheindividual  whoistoberepresentedorbytheshareholders.     COMMENT k     TheEntityastheClient  >    [1]Anorganizationalclientisalegalentity,butitcannotactexceptthroughitsofficers,  a directors,employees,shareholdersandotherconstituents.Officers,directors,employeesand  J shareholdersaretheconstituentsofthecorporateorganizationalclient.Thedutiesdefinedinthis  3  Commentapplyequallytounincorporatedassociations."Otherconstituents"asusedinthis    Commentmeansthepositionsequivalenttoofficers,directors,employeesandshareholdersheld   bypersonsactingfororganizationalclientsthatarenotcorporations.     [2]Whenoneoftheconstituentsofanorganizationalclientcommunicateswiththe p  organization'slawyerinthatperson'sorganizationalcapacity,thecommunicationisprotectedby Y  Rule1.6.Thus,bywayofexample,ifanorganizationalclientrequestsitslawyertoinvestigate B allegationsofwrongdoing,interviewsmadeinthecourseofthatinvestigationbetweenthe +{ lawyerandtheclient'semployeesorotherconstituentsarecoveredbyRule1.6.Thisdoesnot d mean,however,thatconstituentsofanorganizationalclientaretheclientsofthelawyer.The M lawyermaynotdisclosetosuchconstituentsinformationrelatingtotherepresentationexceptfor 6 disclosuresexplicitlyorimpliedlyauthorizedbytheorganizationalclientinordertocarryout  therepresentationorasotherwisepermittedbyRule1.6.    [3]Whenconstituentsoftheorganizationmakedecisionsforit,thedecisionsordinarily  mustbeacceptedbythelawyereveniftheirutilityorprudenceisdoubtful.Decisions s concerningpolicyandoperations,includingonesentailingseriousrisk,arenotassuchinthe \ lawyer'sprovince.However,differentconsiderationsarisewhenthelawyerknowsthatthe E organizationmaybesubstantiallyinjuredbyactionofaconstituentthatisinviolationoflaw.In .~ suchacircumstance,itmaybereasonablynecessaryforthelawyertoasktheconstituentto g reconsiderthematter.Ifthatfails,orifthematterisofsufficientseriousnessandimportanceto  P theorganization,itmaybereasonablynecessaryforthelawyertotakestepstohavethematter  9 reviewedbyahigherauthorityintheorganization.Clearjustificationshouldexistforseeking !"  reviewovertheheadoftheconstituentnormallyresponsibleforit.Thestatedpolicyofthe " ! organizationmaydefinecircumstancesandprescribechannelsforsuchreview,andalawyer #" shouldencouragetheformulationofsuchapolicy.Evenintheabsenceoforganizationpolicy, $# however,thelawyermayhaveanobligationtoreferamattertohigherauthority,dependingon v% $ theseriousnessofthematterandwhethertheconstituentinquestionhasapparentmotivestoact _&!% atvariancewiththeorganization'sinterest.Reviewbythechiefexecutiveofficerorbytheboard H'"& ofdirectorsmayberequiredwhenthematterisofimportancecommensuratewiththeirauthori 1(#' ty.Atsomepointitmaybeusefuloressentialtoobtainanindependentlegalopinion. )j$(   [4]Inanextremecase,itmaybereasonablynecessaryforthelawyertoreferthematter *<&* totheorganization'shighestauthority.Ordinarily,thatistheboardofdirectorsorsimilar +%'+ governingbody.However,applicablelawmayprescribethatundercertainconditionshighest  authorityreposeselsewhere;forexample,intheindependentdirectorsofacorporation.     RelationtoOtherRules  k %  [5]Theauthorityandresponsibilityprovidedinparagraph(b)areconcurrentwiththe >  authorityandresponsibilityprovidedinotherRules.Inparticular,thisRuledoesnotlimitor ' w expandthelawyer'sresponsibilityunderRules1.6,1.8,1.16,3.3or4.1.Ifthelawyer'sservices  ` arebeingusedbyanorganizationtofurtheracrimeorfraudbytheorganization,Rule1.2(d)can  I beapplicable.Thelawyersrighttowithdrawfromtherepresentationofanorganizationalclient  2  inthecircumstancesspecifiedinparagraph(c)isinadditiontotherighttowithdrawinthe    variouscircumstancesspecifiedinRule1.16(b).      GovernmentAgency      [6]ThedutydefinedinthisRuleappliestogovernmentalorganizations.However,when Z  theclientisagovernmentalorganization,adifferentbalancemaybeappropriatebetween C maintainingconfidentialityandassuringthatthewrongfulofficialactispreventedorrectified, ,| forpublicbusinessisinvolved.Inaddition,dutiesoflawyersemployedbythegovernmentor e lawyersinmilitaryservicemaybedefinedbystatutesandregulations.Therefore,defining N preciselytheidentityoftheclientandprescribingtheresultingobligationsofsuchlawyersmay 7 bemoredifficultinthegovernmentcontext.Althoughinsomecircumstancestheclientmaybea   specificagency,itisgenerallythegovernmentasawhole.Forexample,iftheactionorfailureto   actinvolvestheheadofabureau,eitherthedepartmentofwhichthebureauisapartorthe  governmentasawholemaybetheclientforpurposesofthisRule.Moreover,inamatter  involvingtheconductofgovernmentofficials,agovernmentlawyermayhaveauthorityto t questionsuchconductmoreextensivelythanthatofalawyerforaprivateorganizationinsimilar ] circumstances.ThisRuledoesnotlimitthatauthority.SeenoteonScope. F    ClarifyingtheLawyer'sRole  h   [7]Therearetimeswhentheorganization'sinterestmaybeorbecomeadversetothoseof  ; oneormoreofitsconstituents.Insuchcircumstancesthelawyershouldadviseanyconstituent, !$  whoseinterestthelawyerfindsadversetothatoftheorganizationoftheconflictorpotential " ! conflictofinterest,thatthelawyercannotrepresentsuchconstituent,andthatsuchpersonmay #" wishtoobtainindependentrepresentation.Caremustbetakentoassurethattheindividual $# understandsthat,whenthereissuchadversityofinterest,thelawyerfortheorganizationcannot x% $ providelegalrepresentationforthatconstituentindividual,andthatdiscussionsbetweenthe a&!% lawyerfortheorganizationandtheindividualmaynotbeprivileged. J'"&   [8]Whethersuchawarningshouldbegivenbythelawyerfortheorganizationtoany )l$( constituentindividualmayturnonthefactsofeachcase. *U%)    DualRepresentation  +''+ :  [9]Paragraph(e)recognizesthatalawyerforanorganizationmayalsorepresenta  principalofficerormajorshareholder.     DerivativeActions  T 6  [10]Undergenerallyprevailinglaw,theshareholdersormembersofacorporationmay ' w bringsuittocompelthedirectorstoperformtheirlegalobligationsinthesupervisionofthe  ` organization.Membersofunincorporatedassociationshaveessentiallythesameright.Suchan  I actionmaybebroughtnominallybytheorganization,butusuallyis,infact,alegalcontroversy  2  overmanagementoftheorganization.      [11]Thequestioncanarisewhethercounselfortheorganizationmaydefendsuchan   action.Thepropositionthattheorganizationisthelawyer'sclientdoesnotaloneresolvethe   issue.Mostderivativeactionsareanormalincidentofanorganization'saffairs,tobedefended o  bytheorganization'slawyerlikeanyothersuit.However,iftheclaiminvolvesseriouscharges X  ofwrongdoingbythoseincontroloftheorganization,aconflictmayarisebetweenthelawyer's A dutytotheorganizationandthelawyer'srelationshipwiththeboard.Inthosecircumstances, *z Rule1.7governswhoshouldrepresentthedirectorsandtheorganization. c    _DEFINITIONAL_ԀCROSSREFERENCES 5   KnowsSeeRule1.0(f)   ReasonablySeeRule1.0(k)   SubstantialSeeRule1.0(l)  #X;XX2X;#f  g  \ 2X;XXX;    PROPOSEDRULE1.14  CLIENTUNDERADISABILITY    ,E9(a)Whenaclient'sabilitytomakeadequatelyconsidereddecisionsinconnectionwiththe m representationisimpaired,whetherbecauseofminority,mentaldisabilityorforsomeother V reason,thelawyershall,asfarasreasonablypossible,maintainanormalclientlawyer ?  relationshipwiththeclient. ( x (b)Alawyermayseektheappointmentofaguardianortakeotherprotectiveactionwithrespect  J toaclient,onlywhenthelawyerreasonablybelievesthattheclientcannotadequatelyactinthe  3  client'sowninterest.       COMMENT    l  [1]Thenormalclient-lawyerrelationshipisbasedontheassumptionthattheclient,when q  properlyadvisedandassisted,iscapableofmakingdecisionsaboutimportantmatters.Whenthe Z  clientisaminororsuffersfromamentaldisorderordisability,however,maintainingthe C ordinaryclient-lawyerrelationshipmaynotbepossibleinallrespects.Inparticular,an ,| incapacitatedpersonmayhavenopowertomakelegallybindingdecisions.Nevertheless,a e clientlackinglegalcompetenceoftenhastheabilitytounderstand,deliberateupon,andreach N conclusionsaboutmattersaffectingtheclient'sownwell-being.Furthermore,toanincreasing 7 extentthelawrecognizesintermediatedegreesofcompetence.Forexample,childrenasyoung   asfiveorsixyearsofage,andcertainlythoseoftenortwelve,areregardedashavingopinions   thatareentitledtoweightinlegalproceedingsconcerningtheircustody.Soalso,itisrecognized  thatsomepersonsofadvancedagecanbequitecapableofhandlingroutinefinancialmatters  whileneedingspeciallegalprotectionconcerningmajortransactions. t   [2]Thefactthataclientsuffersadisabilitydoesnotdiminishthelawyer'sobligationto F treattheclientwithattentionandrespect.Ifthepersonhasnoguardianorlegalrepresentative, / thelawyeroftenmustactasdefactoguardian.Evenifthepersondoeshavealegal h representative,thelawyershouldasfaraspossibleaccordtherepresentedpersonthestatusof  Q client,particularlyinmaintainingcommunication.  :   [3]Ifalegalrepresentativehasalreadybeenappointedfortheclient,thelawyershould " ! ordinarilylooktotherepresentativefordecisionsonbehalfoftheclient.Ifalegalrepresentative #" hasnotbeenappointed,thelawyershouldseetosuchanappointmentwhereitwouldservethe $# client'sbestinterests.Thus,ifadisabledclienthassubstantialpropertythatshouldbesoldfor w% $ theclient'sbenefit,effectivecompletionofthetransactionordinarilyrequiresappointmentofa `&!% legalrepresentative.Inmanycircumstances,however,appointmentofalegalrepresentativemay I'"& beexpensiveortraumaticfortheclient.Evaluationoftheseconsiderationsisamatterof 2(#' professionaljudgmentonthelawyer'spart. )k$(    [4]Ifthelawyerrepresentstheguardianasdistinctfromtheward,andisawarethatthe#X;XX2X;#2X;XXX; *=&* guardianisactingadverselytotheward'sinterest,thelawyermayhaveanobligationtoprevent   orrectifytheguardian'smisconduct.f  g f  g Seef  g f  g ԀRule1.2(f  g f  g df  g ).     DisclosureoftheClient'sCondition  k   [5]Rulesofprocedureinlitigationgenerallyprovidethatminorsorpersonssuffering >  mentaldisabilityshallberepresentedbyaguardianornextfriendiftheydonothaveageneral ' w guardian.However,disclosureoftheclient'sdisabilitycanadverselyaffecttheclient'sinterests.  ` Forexample,raisingthequestionofdisabilitycould,insomecircumstances,leadtoproceedings  I forinvoluntarycommitment.Thelawyer'spositioninsuchcasesisanunavoidablydifficultone.  2  Thelawyermayseekguidancefromanappropriatediagnostician.      EmergencyLegalAssistance     [6]f  Ԁg f  g Iff  g Ԁthehealth,safetyorfinancialinterestofapersonunderadisabilityisthreatened r  withimminentandirreparableharm,alawyermaytakelegalactiononbehalfofsuchaperson [  eventhoughthepersonisunabletoestablishaclientlawyerrelationshiportomakeorexpress D consideredjudgmentsaboutthematter,whenthedisabledpersonoranotheractingingoodfaith -} onthepersonsbehalfhasconsultedthelawyer.Eveninsuchf  Ԁg f  g asituationf  g ,however,thelawyer f shouldnotactunlessthelawyerreasonablybelievesthatthepersonhasnootherlawyer,agentor O otherrepresentativeavailable.Thelawyershouldtakelegalactiononbehalfofthedisabled 8 persononlytotheextentreasonablynecessarytomaintainthestatusquoorotherwiseavoid ! imminentandirreparableharm.Alawyerwhoundertakestorepresentapersoninsuchan   exigentsituationhasthesamedutiesundertheseRulesasthelawyerwouldwithrespecttoa  client.    [7]Alawyerwhoactsonbehalfofadisabledpersong f  g threatenedwithimminentand ^ f  g f  g f  g irreparableharmf  g Ԁshouldkeeptheconfidencesofthedisabledpersonasifdealingwithaclient, G disclosingthemonlytotheextentnecessarytoaccomplishtheintendedprotectiveaction.The 0 lawyershoulddisclosetoanytribunalinvolvedandtoanyothercounselinvolvedthenatureof i hisorherrelationshipwiththedisabledperson.Thelawyershouldtakestepstoregularizethe  R relationshiporimplementotherprotectivesolutionsassoonaspossible.Normally,alawyer  ; wouldnotseekcompensationforsuchf  g actionstakenonbehalfofadisabledperson. !$     _DEFINITIONAL_ԀCROSSREFERENCES #"    ReasonablySeeRule1.0(_i_) y% $  ReasonablyBelievesSeeRule1.0(j) b&!% #X;XX2X;##2X;XXX;  4(#'    @@55"d PROPOSEDRULE1.15  @@]]!dSAFEKEEPINGPROPERTY    rM"A"(a)Alawyershallholdpropertyandfundsofclientsorthirdpersonsthatareinalawyer's m possessioninconnectionwitharepresentationseparatefromthelawyer'sownpropertyand V funds. ?  0  (1)Fundsbelongingtoclientsorthirdpersonsshallbekeptinaseparateaccount  a maintainedinaninsureddepositoryinstitutionwhichislocatedinthestatewherethe  J lawyersofficeissituated(orelsewherewiththeconsentoftheclientorthirdperson)  3  andwhichparticipatesintheoverdraftnotificationprogramasrequiredbySupreme    CourtRule9.Alawyermaydepositthelawyersownfundsinsuchanaccountforthe   solepurposeofpayingbankservicechargesonthataccount,butonlyinanamount   necessaryforthatpurpose. (#(#   0 ` (_i_)Exceptasprovidedbysubparagraph(a)(1)(ii),interestearnedonaccountsin Y  whichthefundsofclientsaredepositedlessanydeductionforservicecharges, B feesofthedepositoryinstitution,andintangibletaxescollectedwithrespecttothe +{ depositedfundsshallbelongtotheclientswhosefundsaredepositedandthe d lawyershallhavenorightorclaimtosuchinterest.M` (#` (# 0  0` (#(#(ii)Alawyershalldepositfundsofclientsandthirdpersonsthatarenominalin  amountorexpectedtobeheldforashortperiodoftimeinapooledaccount @Y!  @Y! that  participatesintheInterestOnLawyersTrustAccounts("_IOLTA_")program,  whichprovidesthatallinterestearnedbepaidtotheTennesseeBarFoundationin  accordancewiththerequirementsofSupremeCourtRule.Thedeterminationof s whetherfundsarenominalinamountoraretobeheldforashortperiodoftime \ restsinthesounddiscretionofthelawyerandnochargeofethicalimproprietyor E otherbreachofprofessionalconductshallattendanattorneysexerciseofgood .~ faithjudgmentinthatregard.g` (#` (#    ` (iii)Alawyermaydeclinetoparticipateinthe_IOLTA_Ԁprogrambynotifying  9 0  0` (#(#theChiefJusticeoftheSupremeCourtandtheBoardofProfessional  @  !"  ResponsibilityaspermittedbySupremeCourtRule_____." !` (#` (# (b)Uponreceivingfundsorotherpropertyinwhichaclientorthirdpersonhasaninterest,a $# lawyershallpromptlynotifytheclientorthirdperson.Exceptasstatedinthisruleorotherwise v% $ permittedbylaworbyagreementwiththeclient,alawyershallpromptlydelivertotheclientor _&!% thirdpersonanyfundsorotherpropertythattheclientorthirdpersonisentitledtoreceiveand, H'"& uponrequestbytheclientorthirdperson,shallpromptlyrenderafullaccountingregardingsuch 1(#' property.Ifadisputearisesbetweentheclientandathirdpersonwithrespecttotheirrespective )j$( interestsinthefundsorpropertyheldbythelawyer,theportionindisputeshallbekeptseparate *S%) andsafeguardedbythelawyeruntilthedisputeisresolved. *<&*  +%'+ (c)Wheninthecourseofrepresentationalawyerisinpossessionofpropertyinwhichboththe  lawyerandanotherpersonclaiminterests,thepropertyshallbekeptseparatebythelawyeruntil  thereisanaccountingandseveranceoftheirinterest.     COMMENT T  3  [1]Alawyershouldholdpropertyofotherswiththecarerequiredofaprofessional ' w fiduciary.Securitiesshouldbekeptinasafedepositbox,exceptwhensomeotherformof  ` safekeepingiswarrantedbyspecialcircumstances.Allpropertyofclientsorthirdpersonsshould  I bekeptseparatefromthelawyer'sbusinessandpersonalpropertyand,ifmonies,inoneormore  2  trustaccounts.Separatetrustaccountsmaybewarrantedwhenadministeringestatemoniesor    actinginsimilarfiduciarycapacities.     [2]Lawyersoftenreceivefundsfromthirdpartiesfromwhichthelawyer'sfeewillbe   paid.Ifthereisriskthattheclientmaydivertthefundswithoutpayingthefee,thelawyerisnot o  requiredtoremittheportionfromwhichthefeeistobepaid.However,alawyermaynothold X  fundstocoerceaclientintoacceptingthelawyer'scontentioninadisputewiththeclient.The A disputedportionofthefundsshouldbekeptintrustandthelawyershouldsuggestmeansfor *z promptresolutionofthedispute,suchasarbitration.Theundisputedportionofthefundsshallbe c promptlydistributed. L   [3]Thirdparties,suchasaclient'screditors,mayhavejustclaimsagainstfundsorother  propertyinalawyer'scustody.Alawyermayhaveadutyunderapplicablelawtoprotectsuch  third-partyclaimsagainstwrongfulinterferencebytheclient,andaccordinglymayrefuseto  surrenderthepropertytotheclient.However,alawyershouldnotunilaterallyassumeto  arbitrateadisputebetweentheclientandthethirdparty.Ifnotinconsistentwiththeinterestsof r theclient,thelawyermayfileaninterpleaderactionconcerningfundsindisputebetweenthe [ clientandathirdparty. D   [4]TheobligationsofalawyerunderthisRuleareindependentofthosearisingfrom f activityotherthanrenderinglegalservices.Forexample,alawyerwhoservesasanescrow O agentisgovernedbytheapplicablelawrelatingtofiduciarieseventhoughthelawyerdoesnot  8 renderlegalservicesinthetransaction. !!  B.` hp x (#XB  [5]Incertaincircumstances,Tennesseelawgoverningabandonedpropertymayapplyto #" moniesinlawyertrustaccountsorotherpropertyleftinthehandsoflawyersandmaygovernits $# disposition.SeeTenn.CodeAnn.66-29-101through204(1993andSupp.1999)(Uniform u% $ DispositionofUnclaimedPropertyAct). ^&!%    _DEFINITIONAL_ԀCROSSREFERENCES 0(#'  (?Ӏ )j$(   None. *S%) #X;XX2X; "#  *<&* 2X;XXX;    PROPOSEDRULE1.16  DECLININGANDTERMINATINGREPRESENTATION   L@ tyX@(a)Exceptasstatedinparagraph(c),alawyershallnotrepresentaclientor,where o representationhascommenced,shallwithdrawfromtherepresentationoftheclientif: X   (1)therepresentationwillresultinaviolationoftheRulesofProfessionalConductor * z   otherlaw;or  c 50 `  ` (#` (# (2)thelawyersphysicalormentalconditionmateriallyimpairsthelawyersabilityto  5  representtheclient;or    (3)thelawyerisdischarged.   tB҂  (b)Exceptasstatedinparagraph(c),alawyermaywithdrawfromtherepresentationofaclient r  ifthewithdrawalcanbeaccomplishedwithoutmaterialadverseeffectontheinterestsofthe [  clientorif: D (1)theclientpersistsinacourseofactioninvolvingthelawyer'sservicesthatthelawyer f reasonablybelievesiscriminalorfraudulent; O 0 `  ` (#` (# (2)theclienthasusedthelawyer'sservicestoperpetrateacrimeorfraud;#X;XX2X;*@#2X;XXX; ! (3)aclientinsistsuponpursuinganobjectiveortakingactionthatthelawyerconsiders  repugnantorimprudent;#X;XX2X;E#2X;XXX;  0 `  ` (#` (# (4)theclientfailssubstantiallytofulfillanobligationtothelawyerregardingthe ^ lawyer'sservicesandhasbeengivenreasonablewarningthatthelawyerwillwithdraw G unlesstheobligationisfulfilled;#X;XX2X;F#2X;XXX; 0 0 `  ` (#` (# (5)therepresentationwillresultinanunanticipatedandsubstantialfinancialburdenon  R thelawyerorhasbeenrenderedunreasonablydifficultbytheclient;#X;XX2X;RH#2X;XXX;  ; 0 `   ` (#` (# (6)othergoodcauseforwithdrawalexists;or " ! (7)afterconsultationwiththelawyer,theclientconsentsinwritingtothewithdrawalof $# thelawyer. x% $ D(c)Whenorderedtodosobyatribunal,alawyershallcontinuerepresentationnotwithstanding J'"& goodcauseforterminatingtherepresentation. 3(#' (d)Uponterminationoftherepresentationofaclient,alawyershalltakestepstotheextent *U%) reasonablypracticabletoprotectaclient'sinterests,including: *>&*  +''+   (1)givingreasonablenoticetotheclientaswillallowtimefortheemploymentofother    _counsel;#X;XX2X;I#2X;XXX;_  M ` (2)promptlysurrenderingpapersandpropertyoftheclientandanyworkproduct k preparedbythelawyerfortheclientandforwhichthelawyerhasbeencompensated; T  ` (3)promptlysurrenderinganyotherworkproductpreparedbythelawyerfortheclient, & v provided,however,thatthelawyermayretainsuchworkproducttotheextentpermitted  _ byotherlawbutonlyiftheretentionoftheworkproductwillnothaveamaterially  H adverseaffectontheclientwithrespecttothesubjectmatteroftherepresentation;#X;XX2X;&M#2X;XXX;  1  (4)promptlyrefundingtotheclientanyadvancepaymentforexpenseswhichhavenot   beenincurredbythelawyer;and   jM  (5)promptlyrefundinganyadvancepaymentforfeesthathavenotbeenearned. n       COMMENT A  Q  [1]Alawyershouldnotacceptrepresentationinamatterunlessitcanbeperformed d competently,promptly,withoutimproperconflictofinterestandtocompletion. M    MandatoryWithdrawal    R  [2]Alawyerordinarilymustdeclineorwithdrawfromrepresentationiftheclient  demandsthatthelawyerengageinconductthatisillegalorviolatestheRulesofProfessional  Conductorotherlaw.Thelawyerisnotobligedtodeclineorwithdrawsimplybecausetheclient u suggestssuchacourseofconduct;aclientmaymakesuchasuggestioninthehopethatalawyer ^ willnotbeconstrainedbyaprofessionalobligation. G   [3]Whenalawyerhasbeenappointedtorepresentaclient,withdrawalordinarily i requiresapprovaloftheappointingauthority.SeealsoRule6.2.Difficultymaybeencountered  R ifwithdrawalisbasedontheclient'sdemandthatthelawyerengageinunprofessionalconduct.  ; Thecourtmaywishanexplanationforthewithdrawal,whilethelawyermaybeboundtokeep !$  confidentialthefactsthatwouldconstitutesuchanexplanation.Thelawyer'sstatementthat " ! professionalconsiderationsrequireterminationoftherepresentationordinarilyshouldbe #" acceptedassufficient. $#    Discharge  b&!% W  [4]Aclienthasarighttodischargealawyeratanytime,withorwithoutcause,subject 5(#' toliabilityforpaymentforthelawyer'sservices.Wherefuturedisputeaboutthewithdrawalmay )n$( beanticipated,itmaybeadvisabletoprepareawrittenstatementrecitingthecircumstances. *W%)   *@&*   [5]Whetheraclientcandischargeappointedcounselmaydependonapplicablelaw.A   clientseekingtodososhouldbegivenafullexplanationoftheconsequences.These  consequencesmayincludeadecisionbytheappointingauthoritythatappointmentofsuccessor  counselisunjustified,thusrequiringtheclienttoproceedwithoutassistanceofcounsel. k   [6]Iftheclientismentallyincompetent,theclientmaylackthelegalcapacityto =  dischargethelawyer,andinanyeventthedischargemaybeseriouslyadversetotheclient's & v interests.Thelawyershouldmakespecialefforttohelptheclientconsidertheconsequencesand,  _ inanextremecase,mayinitiateproceedingsforaconservatorshiporsimilarprotectionofthe  H client.SeeRule1.14.  1     OptionalWithdrawal    q]  [7]Alawyermaywithdrawfromrepresentationinsomecircumstances.Thelawyerhas   theoptiontowithdrawifitcanbeaccomplishedwithoutmaterialadverseeffectontheclient's p  interests.Withdrawalisalsojustifiediftheclientpersistsinacourseofactionthatthelawyer Y  reasonablybelievesiscriminalorfraudulent,foralawyerisnotrequiredtobeassociatedwith B suchconductevenifthelawyerdoesnotfurtherit.Withdrawalisalsopermittedifthelawyer's +{ servicesweremisusedinthepastevenifthatwouldmateriallyprejudicetheclient.Thelawyer d alsomaywithdrawwheretheclientinsistsonarepugnantorimprudentobjectiveoraction. M   [8]Alawyermaywithdrawiftheclientrefusestoabidebythetermsofanagreement  relatingtotherepresentation,suchasanagreementconcerningfeesorcourtcostsoran  agreementlimitingtheobjectivesoftherepresentation.Thelawyermust,however,givethe  clientreasonablenoticeofthelawyersintentiontowithdraw.     AssistingtheClientUponWithdrawal  \ b  [9]Evenifthelawyerhasbeenunfairlydischargedbytheclient,alawyermusttakeall / reasonablestepstomitigatetheconsequencestotheclient.Thelawyermayretainpapersas h securityforafeeonlytotheextentpermittedbylaw.  Q   [10]Whetherornotalawyerforanorganizationmayundercertainunusual !#  circumstanceshavealegalobligationtotheorganizationafterwithdrawingorbeingdischarged " ! bytheorganization'shighestauthorityisbeyondthescopeoftheseRules. #"    _DEFINITIONAL_ԀCROSSREFERENCES w% $  te ConsentsinWritingSeeRule1.0(b) J'"&  ConsultationSeeRule1.0(c) 3(#'  Fraudand FraudulentSeeRule1.0(e) )l$(  MaterialandMateriallySeeRule1.0(g) *U%)  ReasonableSeeRule1.0(_i_) *>&*  ReasonablyBelievesSeeRule1.0(j) +''+  SubstantialSeeRule1.0(l)   SubstantiallySeeRule1.0(l)   TribunalSeeRule1.0(m)  Ѐ k #X;XX2X;P#2X;XXX;   T h    PROPOSEDRULE1.17  SALEOFALAWPRACTICE  h  h Alawyeroralawfirmmaysellorpurchasealawpractice,includinggoodwill,ifthefollowing n conditionsaresatisfied: W 0  (a)Thesellerceasestoengageintheprivatepracticeoflawinthegeographicareain ) y whichthepracticehasbeenconducted;and b(#(# 0  (b)Thepracticeissoldasanentiretytoanotherlawyerorlawfirmandtheseller  4  providesthebuyerwithwrittennoticeofthefeeagreementwitheachofthesellers    clientsandanyotheragreementsrelatingtoeachclientsrepresentation;and (#(# Ѐ0  (c)Writtennoticeisgiventoeachoftheseller'sclientsregardingtheproposedsale,the   client'srighttoretainothercounselortotakepossessionofthefile,andthefactthatthe q  clientsconsenttorepresentationbythepurchaserwillbepresumediftheclientdoesnot Z  takeanyactionordoesnototherwiseobjectwithinthirty(30)daysofreceiptofthe C notice.,|(#(# 0  (d)Ifaclientcannotbegivennotice,therepresentationofthatclientmaybetransferred N tothepurchaseronlyuponentryofanordersoauthorizingbyacourthavingjurisdiction 7 orbythepresidingjudgeinthejudicialdistrictinwhichthesellerresides.Theseller   maydisclosetothecourtincamerainformationrelatingtotherepresentationonlytothe   extentnecessarytoobtainanorderauthorizingthetransferofafile.(#(# 0  (e)Unlesstheclientconsentsinwritingafterconsultation,thefeesandexpensescharged t aclientshallnotbeincreasedbyreasonofthesale,andthepurchasinglawyershallabide ] byanyagreementsbetweenthesellinglawyerandtheclientwithrespecttothe F representationasarepermittedbytheserulesandofwhichthepurchasinglawyerwas / givennoticepriortothetransferoftherepresentation.h(#(#     `     h COMMENT   ;   [1]Thepracticeoflawisaprofession,notmerelyabusiness.Clientsarenot "! commoditiesthatcanbepurchasedandsoldatwill.PursuanttothisRule,whenalawyeroran #" entirefirmceasestopracticeandanotherlawyerorfirmtakesovertherepresentation,theselling $# lawyerorfirmmayobtaincompensationforthereasonablevalueofthepracticeasmay y% $ withdrawingpartnersoflawfirms.SeeRules5.4and5.6. b&!%    TerminationofPracticebytheSeller  4(#' t  [2]Therequirementthatalloftheprivatepracticebesoldissatisfiediftheselleringood *W%) faithmakestheentirepracticeavailableforsaletothepurchaser.Thefactthatanumberofthe *@&* seller'sclientsdecidenottoberepresentedbythepurchaserbuttaketheirmatterselsewhere, +)'+ therefore,doesnotresultinaviolation.Neitherdoesareturntoprivatepracticeasaresultofan  unanticipatedchangeincircumstancesresultinaviolation.Forexample,alawyerwhohassold  thepracticetoacceptanappointmenttojudicialofficedoesnotviolatetherequirementthatthe  salebeattendanttocessationofpracticeifthelawyerlaterresumesprivatepracticeuponbeing k defeatedinacontestedoraretentionelectionfortheoffice. T   [3]Therequirementthatthesellerceasetoengageintheprivatepracticeoflawdoesnot & v prohibitemploymentasalawyeronthestaffofapublicagencyoralegalservicesentitywhich  _ provideslegalservicestothepoor,orasin-housecounseltoabusiness.  H   [4]TheRulepermitsasaleattendantuponretirementfromtheprivatepracticeoflaw    withinthejurisdiction.Itsprovisions,therefore,accommodatethelawyerwhosellsthepractice   upontheoccasionofmovingtoanotherstate.Tennesseeissufficientlylargethatamovefrom   onelocalethereintoanotheristantamounttoleavingthejurisdictioninwhichthelawyerhas   engagedinthepracticeoflaw.Toalsoaccommodatelawyerssosituated,theRulepermitsthe n  saleofthepracticewhenthelawyerleavesthegeographicareainwhichheorsheispracticing W  aswellaswhenthelawyerleavesthestate. @    SinglePurchaser  b )}  [5]TheRulerequiresasinglepurchaser.Theprohibitionagainstpiecemealsaleofa 5 practiceprotectsthoseclientswhosemattersarelesslucrativeandwhomightfinditdifficultto  secureothercounselifasalecouldbelimitedtosubstantialfee-generatingmatters.The  purchaserisrequiredtoundertakeallclientmattersinthepractice,subjecttoclientconsent.If,  however,thepurchaserisunabletoundertakeallclientmattersbecauseofaconflictofinterest  inaspecificmatterrespectingwhichthepurchaserisnotpermittedbyRule1.7oranotherruleto r representtheclient,therequirementthattherebeasinglepurchaserisneverthelesssatisfied. [    ClientConfidences,ConsentandNotice  -}   [6]Negotiationsbetweensellerandprospectivepurchaserpriortodisclosureof  P informationrelatingtoaspecificrepresentationofanidentifiableclientnomoreviolatethe  9 confidentialityprovisionsofModelRule1.6thandopreliminarydiscussionsconcerningthe !"  possibleassociationofanotherlawyerormergersbetweenfirms,withrespecttowhichclient " ! consentisnotrequired.Providingthepurchaseraccesstoclient-specificinformationrelatingto #" therepresentationandtothefile,however,requiresclientconsent.TheRuleprovidesthatbefore $# suchinformationcanbedisclosedbythesellertothepurchasertheclientmustbegivenactual v% $ writtennoticeofthecontemplatedsale,includingtheidentityofthepurchaserandanyproposed _&!% changeinthetermsoffuturerepresentation,andmustbetoldthatthedecisiontoconsentor H'"& makeotherarrangementsmustbemadewithin30days.Ifnothingisheardfromtheclientwithin 1(#' thattime,consenttothesaleispresumed. )j$(   [7]Alawyerorlawfirmceasingtopracticecannotberequiredtoremaininpractice *<&* becausesomeclientscannotbegivenactualnoticeoftheproposedpurchase.Sincetheseclients +%'+ cannotthemselvesconsenttothepurchaseordirectanyotherdispositionoftheirfiles,theRule  requiresanorderfromacourthavingjurisdictionauthorizingtheirtransferorotherdisposition.  TheCourtcanbeexpectedtodeterminewhetherreasonableeffortstolocatetheclienthavebeen  exhausted,andwhethertheabsentclient'slegitimateinterestswillbeservedbyauthorizingthe k transferofthefilesothatthepurchasermaycontinuetherepresentation.Preservationofclient T confidencesrequiresthatthepetitionforacourtorderbeconsideredincamera. =    [8]Alltheelementsofclientautonomy,includingtheclient'sabsoluterighttodischarge  _ alawyerandtransfertherepresentationtoanother,survivethesaleofthepractice.  H    FeeArrangementsBetweenClientandPurchaser     i  [9]Thesalemaynotbefinancedbyincreasesinfeeschargedtheclientsofthepractice.   Existingagreementsbetweenthesellerandtheclientastofeesandthescopeoftheworkmust   behonoredbythepurchaser,unlesstheclientconsentsafterconsultation. o     OtherApplicableEthicalStandards  B   [10]Lawyersparticipatinginthesaleofalawpracticearesubjecttotheethicalstandards e applicabletoinvolvinganotherlawyerintherepresentationofaclient.Theseinclude,for N example,theseller'sobligationtoexercisecompetenceinidentifyingapurchaserqualifiedto 7 assumethepracticeandthepurchaser'sobligationtoundertaketherepresentationcompetently   (seeRule1.1);theobligationtoavoiddisqualifyingconflicts,andtosecureclientconsentafter   consultationforthoseconflictswhichcanbeagreedto(seeRule1.7);andtheobligationto  protectinformationrelatingtotherepresentation(seeRules1.6and1.9).    [11]Ifapprovalofthesubstitutionofthepurchasingattorneyforthesellingattorneyis ] requiredbytherulesofanytribunalinwhichamatterispending,suchapprovalmustbe F obtainedbeforethemattercanbeincludedinthesale(seeRule1.16). /    ApplicabilityoftheRule   Q   [12]ThisRuleappliestothesaleofalawpracticebyrepresentativesofadeceased, !$  disabledordisappearedlawyer.Thus,thesellermayberepresentedbyanon-lawyer " ! representativenotsubjecttotheseRules.Since,however,nolawyermayparticipateinasaleof #" alawpracticewhichdoesnotconformtotherequirementsofthisRule,therepresentativesofthe $# selleraswellasthepurchasinglawyercanbeexpectedtoseetoitthattherequirementsaremet. x% $   [13]Admissiontoorretirementfromalawpartnershiporprofessionalassociation, J'"& retirementplansandsimilararrangements,andasaleoftangibleassetsofalawpractice,donot 3(#' constituteasaleorpurchasegovernedbythisRule. )l$(   [14]ThisRuledoesnotapplytothetransfersoflegalrepresentationbetweenlawyers *>&* whensuchtransfersareunrelatedtothesaleofapractice. +''+ Ї   _DEFINITIONAL_ԀCROSSREFERENCES   u ConsentsinWritingSeeRule1.0(b)   ConsultationSeeRule1.0(c) l  LawFirmSeeRule1.0(d) U  #X;XX2X;h#2X;XXX;f  g #X;XX2X;#2X;XXX;   b     CHAPTER2  THELAWYERASCOUNSELOR,INTERMEDIARY,  ANDDISPUTERESOLUTIONNEUTRAL   ]Q   PROPOSEDRULE2.1 X ADVISOR & B    Inrepresentingaclient,alawyershallexerciseindependentprofessionaljudgmentandrender  f candidadvice.Inrenderingadvice,alawyermayrefernotonlytolawbuttoother  O considerationssuchasmoral,economic,socialandpoliticalfactors,thatmayberelevanttothe  8  client'ssituation.  !     COMMENT     ScopeofAdvice  w  '  [1]Aclientisentitledtostraightforwardadviceexpressingthelawyer'shonest J assessment.Legaladviceofteninvolvesunpleasantfactsandalternativesthataclientmaybe 3 disinclinedtoconfront.Inpresentingadvice,alawyerendeavorstosustaintheclient'smorale l andmayputadviceinasacceptableaformashonestypermits.However,alawyershouldnotbe U deterredfromgivingcandidadvicebytheprospectthattheadvicewillbeunpalatabletothe > client. '   [2]Advicecouchedinnarrowlylegaltermsmaybeoflittlevaluetoaclient,especially  wherepracticalconsiderations,suchascostoreffectsonotherpeople,arepredominant.Purely  technicallegaladvice,therefore,cansometimesbeinadequate.Itisproperforalawyertorefer { torelevantmoralandethicalconsiderationsingivingadvice.Althoughalawyerisnotamoral d advisorassuch,moralandethicalconsiderationsimpingeuponmostlegalquestionsandmay M decisivelyinfluencehowthelawwillbeapplied. 6   [3]Aclientmayexpresslyorimpliedlyaskthelawyerforpurelytechnicaladvice.When  X sucharequestismadebyaclientexperiencedinlegalmatters,thelawyermayacceptitatface  A value.Whensucharequestismadebyaclientinexperiencedinlegalmatters,however,the !*  lawyer'sresponsibilityasadvisormayincludeindicatingthatmoremaybeinvolvedthanstrictly "! legalconsiderations. #"   [4]Mattersthatgobeyondstrictlylegalquestionsmayalsobeinthedomainofanother ~% $ profession.Familymatterscaninvolveproblemswithintheprofessionalcompetenceof g&!% psychiatry,clinicalpsychologyorsocialwork;businessmatterscaninvolveproblemswithinthe P'"& competenceoftheaccountingprofessionoroffinancialspecialists.Whereconsultationwitha 9(#' professionalinanotherfieldisitselfsomethingacompetentlawyerwouldrecommend,the ")r$( lawyershouldmakesucharecommendation.Atthesametime,alawyer'sadviceatitsbestoften  *[%) consistsofrecommendingacourseofactioninthefaceofconflictingrecommendationsof *D&* experts. +-'+ Ї   OfferingAdvice     [5]Ingeneral,alawyerisnotexpectedtogiveadviceuntilaskedbytheclient.However,  whenalawyerknowsthataclientproposesacourseofactionthatislikelytoresultin l substantialadverselegalconsequencestotheclient,dutytotheclientunderRule1.4may U requirethatthelawyeractiftheclient'scourseofactionisrelatedtotherepresentation.A >  lawyerordinarilyhasnodutytoinitiateinvestigationofaclient'saffairsortogiveadvicethat ' w theclienthasindicatedisunwanted,butalawyermayinitiateadvicetoaclientwhendoingso  ` appearstobeintheclient'sinterest.  I    _DEFINITIONAL_ԀCROSSREFERENCES       None.      #X;XX2X;#2X;XXX;f  g  q      PROPOSEDRULE2.2  LAWYERSERVINGASINTERMEDIARYBETWEENCLIENTS  & 2  B.` hp x (#XB     (a)Alawyerrepresentsclientsasanintermediarywhenthelawyerprovidesimpartiallegal n adviceandassistancetotwoormoreclientswhoareengagedinacandidandnon-adversarial W efforttoaccomplishacommonobjectivewithrespecttotheformation,conduct,modification,or @  terminationofaconsensuallegalrelationbetweenthem. ) y   (b)Alawyerf  g f  g shallnotf  g Ԁrepresenttwoormoreclientsasanintermediaryinamatterf  g f  g unlessf  g :  K   (1)asbetweentheclients,thelawyerreasonablybelievesthatthemattercanbe       resolvedontermscompatiblewitheachoftheclients'bestinterests,thateachclient     willbeabletomakeadequatelyinformeddecisionsinthematter,thatthereislittle     riskofmaterialprejudicetotheinterestofanyoftheclientsifthecontemplated      resolutionisunsuccessful,andthattheintermediationcanbeundertakenimpartially; q      (2)thelawyersrepresentationofeachoftheclients,orthelawyersrelationshipwith C   each,willnotbeadverselyaffectedbythelawyer'sresponsibilitiestootherclientsor ,|   thirdpersons,orbythelawyer'sowninterests;#X;XX2X;ڨ#2X;XXX; e   (3)thelawyerconsultswitheachclientabout: 7    ` (_i_)thelawyersresponsibilitiesasanintermediary;#X;XX2X;#2X;XXX;      ` (ii)theimplicationsoftheintermediation(includingtheadvantagesandrisks     ` involvedandtheeffectontheattorneyclientprivilegeandanyother  t    ` obligationofconfidentialitythelawyermayhave);#X;XX2X;ű#2X;XXX; ]  ?+` ` hp x (#X?(iii)anycircumstancesthatwillmateriallyaffectthelawyersimpartiality / betweentheclients;and#X;XX2X;g#2X;XXX; h  B.` hp x (#` XB   ` (iv)thelawyersrepresentationinanothermatterofaclientwhoseinterests  :    ` aredirectlyadversetotheinterestsofanyoneoftheclients;andanyinterests !#     ` ofthelawyer,thelawyersotherclients,orthirdpersonsthatwillmaterially " !    ` limitthelawyersrepresentationofoneoftheclients;and #"   (4)eachclientconsentsinwritingtothelawyersrepresentationandeachclient  w% $   authorizesthelawyertodisclosetoeachoftheotherclientsbeingrepresentedinthe `&!%   matteranyinformationrelatingtotherepresentationthedisclosureofwhichthe  I'"&   lawyerreasonablybelievesisrequiredbyRule1.4. 2(#' (c)Whilerepresentingclientsasanintermediary,thelawyershall: *T%)   (1)actimpartiallytoassisttheclientsinaccomplishingtheircommonobjective; +&'+ Ї  (2)asbetweentheclients,treatinformationrelatingtotheintermediationas     informationprotectedbyRule1.6thatthelawyerhasbeenauthorizedbyeachclient    todisclosetotheotherclientstotheextentthelawyerreasonablybelievesnecessary    forthelawyertocomplywithRule1.4;and k   (3)shallconsultwitheachclientconcerningthedecisionstobemadewithrespectto =    theintermediationandconsiderationsrelevantinmakingthem,sothateachclientcan & v   makeadequatelyinformeddecisions.  _ (d)Alawyershallwithdrawfromserviceasanintermediaryif:  1    (1)anyoftheclientssorequests;    X?+ ` hp x (#X?(2)anyoftheclientsrevokesthelawyersauthoritytodisclosetotheotherclientsany   informationthatthelawyerwouldberequiredbyRule1.4torevealtothem;or n   XB.` hp x (#XB  (3)anyoftheotherconditionsstatedinparagraph(b)arenolongersatisfied. @ (e)Ifthelawyerswithdrawalisrequiredbyparagraph(d)(2)thelawyershallsoadviseeach b clientofthewithdrawal,butshalldosowithoutanyfurtherdisclosureofinformationprotected K byRule1.6. 4 +   COMMENT  T^  [1]AlawyeractsasanintermediaryunderthisRulewhenthelawyerrepresentstwoor  moreclientswhoarecooperativelytryingtoaccomplishacommonobjectivewithrespecttothe s formation,conduct,modification,orterminationofaconsensuallegalrelationbetweenthem. \ Thehallmarksofanintermediationincludetheimpartialityofthelawyerwhoservesas E intermediary,theopen,candid,andnon-adversarialnatureoftheclientspursuitofacommon .~ objective,andthelimitedsubjectmattersinwhichalawyermayservemultipleclientsasan g intermediary(i.e.,theadjustmentofaconsensuallegalrelationshipamongorbetweenthe  P clients).#X;XX2X;#X;XXX;f  Ԁg f  g Becauseintermediationdifferssignificantlyfromthepartisanrolenormallyplayedby  9 lawyers,andrequiresthatthelawyerbeimpartialasbetweentheclientsratherthananadvocate !"  onbehalfofeach,alawyershouldonlyundertakethisrolewithclientconsentafterconsultation " ! aboutthedistinctivefeaturesofthisrole.#X;XXX;#2X;XXX;ԀAlso,giventherisksf  g Ԁassociatedwithjoint #" representationofpartieswhoseinterestsmaypotentiallybeinconflict,theRuleprovidesa $# numberofsafeguardsdesignedtolimititsapplicabilityandtoprotecttheinterestsoftheseveral v% $ clients. _&!%   [2]Paragraph(b)specifiesthecircumstancesinwhichalawyermayservemultiple 1(#' clientsasanintermediary.Withrespecttotheclientsbeingservedasanintermediary,thisRule, )j$( andnotRule1.7,applies.Rule1.7remainsapplicable,however,toprotectotherclientsthe *S%) lawyermayberepresentingormaywishtorepresentinothermatters.Forexample,ifthe *<&* lawyersrepresentationoftwoclientsasanintermediaryinamatterwillmateriallylimitthe +%'+ lawyersrepresentationofanotherclientthelawyerisrepresentingasanadvocate,thelawyer  mustaffordthatclienttheprotectionsofRule1.7.f  g ԀSimilarly,ifthelawyersrepresentationof  twoclientsasanintermediarywouldbemateriallyadversetooneofthelawyersformerclients,  andthemattersaresubstantiallyrelated,thelawyermustaffordtheformerclienttheprotection k ofRule1.9. T   [3]Rule2.2doesnotapplytoalawyeractingasadisputeresolutionneutral,suchasan & v arbitratororamediator,asthepartiestoadisputeresolutionproceedingarenotclientsofthe  _ lawyer,evenwherethelawyerhasbeenappointedwiththeconcurrenceoftheparties.Other  H rulesofconductgovernalawyersserviceasadisputeresolutionneutral.SeeRule2.4and  1  TennesseeSupremeCourtRule31.    f  g   [4]#X;XX2X;#BecausethisRuleonlyappliestotheformation,conduct,modificationortermination   ofconsensuallegalrelationshipsbetweenclients,itdoesnotapplytotherepresentationof   multipleclientsinconnectionwithgratuitoustransfersorothermattersinwhichthereisnota n  quidproquoexchange.Thus,forexample,conflictsofinterestarisingfromtherepresentation W  ofmultipleclientsinestateplanningortheadministrationofanestatearegovernedbyRule1.7 @ ratherthanbythisRule.If,however,theeffectuationofanestateplanorothergratuitous )y transferentailstheformation,modificationorterminationofaconsensuallegalrelationship b betweenclients,andthelawyeractsasanintermediaryinconnectionwiththetransaction,this K Rule,andnotRule1.7,willapply.2X;XXX; 4 f  g   [f  g f  g 5f  g ]Alawyermayactasanintermediaryinseekingtoestablishoradjustaconsensual  legalrelationshipamongorbetweenclientsonanamicableandmutuallyadvantageousbasis:for  example,inhelpingtoorganizeabusinessinwhichtwoormoreclientsareentrepreneurs,  workingoutthefinancialreorganizationofanenterpriseinwhichtwoormoreclientshavean q interest.f  g Aspartoftheworkofanintermediary,thelawyermayseektoachievetheclients Z commonobjectiveortoresolvepotentiallyconflictinginterestsbydevelopingtheparties'mutual C interests.Thealternativemaybethateachpartymayhavetoobtainseparaterepresentation,with ,| thepossibilityinsomesituationsofincurringadditionalcost,complications,orevenlitigation. e Giventheseandotherrelevantfactors,eachclientmayprefertohaveonelawyeractasan N intermediaryforallratherthanhiringaseparatelawyertoserveashisorherpartisan.  7   [f  g f  g 6f  g ]Inconsideringwhethertoactasintermediarybetweenclients,alawyershouldbe " ! mindfulthat,iftheintermediationfails,theresultcanbeadditionalcost,embarrassment,and #" recrimination.Insomesituations,theriskoffailureissogreatthatintermediationisplainly $# impossibleorimprudentforthelawyerortheclients.Forexample,alawyercannotundertake t% $ commonrepresentationofclientsbetweenwhomcontentiouslitigationisimminentorwho ]&!% contemplatecontentiousnegotiations,asisoftenthecasewhendissolutionofamarriageis F'"& involved.Moregenerally,iftherelationshipbetweenthepartieshasalreadyassumeddefinite /(#' antagonism,thepossibilitythattheclients'interestscanbeadjustedbyintermediationordinarily )h$( isnotverygood. *Q%)   *:&*   [f  g f  g 7f  g ]Theappropriatenessofintermediationcandependonitsform.Formsof   intermediationrangefromaninformal"facilitation"inwhichthelawyersresponsibilitiesare  limitedtopresentingalternativesfromwhichtheclientswillchoosetoafull-blown  representationinwhichthelawyerprovidesalllegalservicesneededinconnectionwiththe k proposedtransaction.Oneformmaybeappropriateincircumstanceswhereanotherwouldnot. T Otherrelevantfactorsarewhetherthelawyersubsequentlywillrepresentbothpartiesona =  continuingbasisf  g f  g ,f  g Ԁwhetherthesituationinvolvescreatingarelationshipbetweenthepartiesor & v terminatingonef  g ,andtherelativeexperience,sophistication,andeconomicbargainingpowerof  _ theclients,ortheexistenceofpriorfamilial,business,orlegalrelationshipsf  g .  H    ConfidentialityandPrivilege      [f  g f  g 8f  g ]Aparticularlyimportantfactorindeterminingtheappropriatenessofintermediationis   theeffectonclientlawyerconfidentialityandtheattorneyclientprivilege.Inacommon   representation,thelawyerisstillrequiredbothtokeepeachclientadequatelyinformedandto p  maintainconfidentialityofinformationrelatingtotherepresentation.SeeRules1.4and1.6. Y  Complyingwithbothrequirementswhileactingasintermediaryrequiresadelicatebalance.If B thebalancecannotbemaintained,thecommonrepresentationisimproper. +{   [f  g f  g 9f  g ]Paragraph(b)(4)and(c)(2)makesclearthattheobligationsofattorney-client M confidentialityapplytoclientsbeingservedbyalawyerasanintermediary,butthat,asbetween 6 theclientsbeingsoserved,confidentialityisinappropriateandmustbewaivedbyeachofthe  clients.Thus,whilethelawyermustmaintainconfidentialityasagainststrangerstothe  relationship,thelawyerhasnosuchdutytokeepinformationprovidedtothelawyerbyone  clientconfidentialfromtheotherclients.Moreover,thelawyermaywell,dependingonthe  circumstances,haveanaffirmativeobligationtodisclosesuchinformationobtainedfromone s clienttootherclients.Obviously,thisimportantimplicationofthelawyersresponsibilitiesas \ anintermediarymustbedisclosedandexplainedtotheclients. E   [f  g f  g 10f  g ]Sincethelawyerisrequiredtobeimpartialbetweencommonlyrepresentedclients, g intermediationisimproperwhenthatimpartialitycannotbemaintained.Forexample,alawyer  P whohasrepresentedoneoftheclientsforalongperiodandinavarietyofmattersmighthave  9 difficultybeingimpartialbetweenthatclientandonetowhomthelawyerhasonlyrecentlybeen !"  introduced. " !   Consultation $# i  [1f  g f  g 1f  g ]Inactingasintermediarybetweenclients,thelawyerisrequiredtoconsultwiththe a&!% clientsontheimplicationsofdoingso,andproceedonlyuponconsentbasedonsucha J'"& consultation.Theconsultationshouldmakeclearthatthelawyer'sroleisnotthatofpartisanship 3(#' normallyexpectedinothercircumstances.Thisconsentmustbeinwriting.  )l$(     *V%)   [1f  g f  g 2f  g ]Paragraph(c)(3)isanapplicationoftheprincipleexpressedinRule1.4.Wherethe  lawyerisintermediary,theclientsordinarilymustassumegreaterresponsibilityfordecisions  thanwheneachclientisindependentlyrepresented.     Withdrawal T a  [1f  g f  g 3f  g ]Commonrepresentationdoesnotdiminishtherightsofeachclientintheclient ( x lawyerrelationship.Eachclienthastherighttoloyalanddiligentrepresentation,therightto  a dischargethelawyerasstatedinRule1.16,andtheprotectionofRule1.9concerningobligations  J toaformerclient.  3    [1f  g f  g 4f  g ]Becauseoftheobligationsofalawyerservingasanintermediarytothe   intermediationclients,thelawyermustwithdrawfromtherepresentationifanyofthe   intermediationclientssorequests;ifoneormoreoftheclientsdeniesthelawyertheauthorityto   disclosecertaininformationtoanyoftheremainingclients,therebypreventingthelawyerfrom p  beingabletodischargethelawyersdutiestotheremainingclientstocommunicatewiththem Y  anddiscloseinformationtothem;orifanyofthevariouspredicaterequirementsfor B intermediationcannolongerbesatisfied. +{   [1f  g f  g 5f  g ]Uponwithdrawalfromtheroleofintermediaryorcompletionofanintermediation, M thelawyermustaffordalloftheclientsformerlyservedasanintermediarytheprotectionsof 6 Rules1.9and1.10.     _DEFINITIONAL_ԀCROSS-REFERENCES   "ConsentsinWriting"SeeRule1.0(b) u "Consults"SeeRule1.0(c) ^ "Material"and MateriallySeeRule1.0(g) G "ReasonablyBelieves"SeeRule1.0(j) 0 #X;XX2X;#2X;XXX;   R     PROPOSEDRULE2.3  EVALUATIONFORUSEBYTHIRDPERSONS   aw (a)Alawyermayundertakeanevaluationofamatteraffectingaclientfortheuseofsomeone n otherthantheclientif: W 0  (1)thelawyerreasonablybelievesthatmakingtheevaluationiscompatiblewithother ) y aspectsofthelawyer'srelationshipwiththeclient;and b(#(# 0  (2)theclientconsentsafterconsultation. 4 (#(# (b)Exceptasdisclosureisrequiredinconnectionwithareportofanevaluation,information   relatingtotheevaluationisotherwiseprotectedbyRule1.6.      COMMENT  q     Definition  E   [1]Anevaluationmaybeperformedattheclient'sdirectionbutfortheprimarypurpose h ofestablishinginformationforthebenefitofthirdparties;forexample,anopinionconcerning Q thetitleofpropertyrenderedatthebehestofavendorfortheinformationofaprospective : purchaser,oratthebehestofaborrowerfortheinformationofaprospectivelender.Insome # situations,theevaluationmayberequiredbyagovernmentagency;forexample,anopinion   concerningthelegalityofthesecuritiesregisteredforsaleunderthesecuritieslaws.Inother  instances,theevaluationmayberequiredbyathirdperson,suchasapurchaserofabusiness.    [2]Lawyersforthegovernmentmaybecalledupontogiveaformalopiniononthe ` legalityofcontemplatedgovernmentagencyaction.Inmakingsuchanevaluation,the I governmentlawyeractsatthebehestofthegovernmentastheclientbutforthepurposeof 2 establishingthelimitsoftheagency'sauthorizedactivity.Suchanopinionistobedistinguished k fromconfidentiallegaladvicegivenagencyofficials.Thecriticalquestioniswhetherthe  T opinionistobemadepublic.  =   [3]Alegalevaluationshouldbedistinguishedfromaninvestigationofapersonwith "! whomthelawyerdoesnothaveaclient-lawyerrelationship.Forexample,alawyerretainedbya #" purchasertoanalyzeavendor'stitletopropertydoesnothaveaclient-lawyerrelationshipwith $# thevendor.Soalso,aninvestigationintoaperson'saffairsbyagovernmentlawyer,orbyspecial z% $ counselemployedbythegovernment,isnotanevaluationasthattermisusedinthisRule.The c&!% questioniswhetherthelawyerisretainedbythepersonwhoseaffairsarebeingexamined.When L'"& thelawyerisretainedbythatperson,thegeneralrulesconcerningloyaltytoclientand 5(#' preservationofconfidencesapply,whichisnotthecaseifthelawyerisretainedbysomeone )n$( else.Forthisreason,itisessentialtoidentifythepersonbywhomthelawyerisretained.This *W%) shouldbemadeclearnotonlytothepersonunderexamination,butalsotootherstowhomthe *@&* resultsaretobemadeavailable. +)'+    DutytoThirdPerson     [4]Whentheevaluationisintendedfortheinformationoruseofathirdperson,alegal m dutytothatpersonmayormaynotarise.ThatlegalquestionisbeyondthescopeoftheseRules. V However,sincesuchanevaluationinvolvesadeparturefromthenormalclient-lawyer ?  relationship,carefulanalysisofthesituationisrequired.Thelawyermustbesatisfiedasamatter ( x ofprofessionaljudgmentthatmakingtheevaluationiscompatiblewithotherfunctions  a undertakeninbehalfoftheclient.Forexample,ifthelawyerisactingasadvocateindefending  J theclientagainstchargesoffraud,itwouldnormallybeincompatiblewiththatresponsibilityfor  3  thelawyertoperformanevaluationforothersconcerningthesameorarelatedtransaction.    Assumingnosuchimpedimentisapparent,however,thelawyershouldadvisetheclientofthe   implicationsoftheevaluation,particularlythelawyer'sresponsibilitiestothirdpersonsandthe   dutytodisseminatethefindings.      AccesstoandDisclosureofInformation  Y    [5]Thequalityofanevaluationdependsonthefreedomandextentoftheinvestigation ,| uponwhichitisbased.Ordinarilyalawyershouldhavewhateverlatitudeofinvestigationseems e necessaryasamatterofprofessionaljudgment.Undersomecircumstances,however,theterms N oftheevaluationmaybelimited.Forexample,certainissuesorsourcesmaybecategorically 7 excluded,orthescopeofsearchmaybelimitedbytimeconstraintsorthe_noncooperation_Ԁof   personshavingrelevantinformation.Anysuchlimitationswhicharematerialtotheevaluation   shouldbedescribedinthereport.Ifafteralawyerhascommencedanevaluation,theclient  refusestocomplywiththetermsuponwhichitwasunderstoodtheevaluationwastohavebeen  made,thelawyer'sobligationsaredeterminedbylaw,havingreferencetothetermsofthe t client'sagreementandthesurroundingcircumstances. ]    FinancialAuditors'RequestsforInformation  /    [6]Whenaquestionconcerningthelegalsituationofaclientarisesattheinstanceofthe  R client'sfinancialauditorandthequestionisreferredtothelawyer,thelawyer'sresponsemaybe  ; madeinaccordancewithproceduresrecognizedinthelegalprofession.Suchaprocedureisset !$  forthintheAmericanBarAssociationStatementofPolicyRegardingLawyers'Responsesto " ! Auditors'RequestsforInformation,adoptedin1975.  #"   _DEFINITIONAL_ԀCROSSREFERENCES  y% $   ConsultationSeeRule1.0(c) L'"&  ReasonablyBelievesSeeRule1.0(j) 5(#' #X;XX2X;n#2X;XXX;  *W%)    PROPOSEDRULE2.4  LAWYERASDISPUTERESOLUTIONNEUTRAL   O aw^(a)Alawyerservesasadisputeresolutionneutralwhenthelawyerimpartiallyassiststwoor m morepersonswhoarenotclientsofthelawyertoreacharesolutionofdisputesthathavearisen V betweenthem.Serviceasadisputeresolutionneutralmayincludeserviceasamediator,an ?  arbitratorwhosedecisiondoesnotbindtheparties,acaseevaluator,orajudgeorjurorina ( x minitrialorsummaryjurytrialasdescribedinSupremeCourtRule31,orinsuchothercapacity  a aswillenablethelawyertoimpartiallyassistthepartiesresolvetheirdispute. x    J (b)Alawyermayserveasadisputeresolutionneutralinamatterif:      (1)thelawyeriscompetenttohandlethematter;      `   (2)thelawyercanhandlethematterwithoutunduedelay;#X;XX2X;#2X;XXX; p    (3)thelawyerreasonablybelievesheorshecanbeimpartialasbetweenthe  B   parties;#X;XX2X;#2X;XXX; +{ ` ` (4)noneofthepartiestothedisputeisbeingrepresentedbythelawyerinothermatters;#X;XX2X;#2X;XXX; M '(5)thelawyersserviceasadisputeresolutionneutralinthematterwillnotbeadversely  affectedbytherepresentationofclientswithinterestsdirectlyadversetoanyofthe  partiestothedispute,orbythelawyersresponsibilitiestoaclientorathirdperson,or  bythelawyersowninterests;#X;XX2X;#2X;XXX;     ` (6)thelawyerconsultswitheachofthepartiestothedispute,ortheirattorneys,aboutthe \ lawyersqualificationsandexperienceasadisputeresolutionneutral,therulesand E procedureswhichwillbefollowedintheproceeding,andthelawyersresponsibilitiesas .~ adisputeresolutionneutral,provided,however,thatanypartytothedisputewhois g representedbyalawyermaywaivehisorherrighttoallorpartoftheconsultation  P requiredbythisparagraph;#X;XX2X;#2X;XXX;Ԁ  9 (7)thelawyerconsultswitheachoftheparties,ortheirlawyers,aboutanyinterestsof " ! thelawyer,thelawyersclients,theclientsofotherlawyerswithwhomthelawyeris #" associatedinafirm,orthirdpersonswhichmaymateriallyaffectthelawyers $# impartialityinthematter;#X;XX2X;t#2X;XXX; v% $  `    (8)unlesstheserviceispursuanttoSupremeCourtRule31,eachoftheparties,ortheir H'"& attorneys,consentsinwritingtothelawyersserviceasadisputeresolutionneutralinthe 1(#' matter;and )j$(   (9)iftheserviceispursuanttoSupremeCourtRule31,thelawyerisqualifiedtoservein *<&*   accordancewiththerequirementsofthatRule. +%'+ Ї(c)Whileservingasadisputeresolutionneutral,alawyershall:  (1)actreasonablytoassurethatthepartiesunderstandtherulesandprocedureswhich  willbefollowedintheproceedingandthelawyersresponsibilitiesasadispute k resolutionneutral;#X;XX2X;-#2X;XXX; T  Ҁ0  (2)actimpartially,competentlyandexpeditiouslytoassistthepartiesresolvethematters & v indispute;#X;XX2X;!#2X;XXX; _(#(# 0  (3)promotemutualrespectamongthepartiesforthedisputeresolutionprocess;#X;XX2X;"#2X;XXX; 1 (#(#    ` 0  (4)asbetweenthepartiestothedisputeandthirdpersons,treatallinformationrelatedto   thedisputeasifitwereinformationprotectedbyRules1.6,f  g f  g Ԁandf  g Ԁ1.8(b),f  #X;XX2X;##2X;XXX;g  (#(# 0  (5)asbetweenthepartiestothedispute,treatallinformationobtainedinanindividual n  caucuswithapartyorapartyslawyerasifitwereinformationrelatedtothe W  representationofaclientprotectedbyRules1.6,f  g Ԁand1.f  g f  g 8f  g (b);#X;XX2X;%#2X;XXX;f  g @(#(# Ѐ0  (6)rendernolegaladvicetoanypartytothedispute,but,ifthelawyerbelievesthatan b unrepresentedpartydoesnotunderstandhowaproposedagreementmightf  g affecthisor K herlegalrightsorobligations,thelawyershalladvisethatpartytoseektheadviceof 4 independentcounsel;#X;XX2X;&#2X;XXX;(#(#    ` 0  (7)acceptnothingofvalue,otherthanfullydisclosedreasonablecompensationfor  servicesrenderedasthedisputeresolutionneutral,fromaparty,apartyslawyer,orany  otherpersoninvolvedorinterestedinthedisputeresolutionprocess;#X;XX2X;(#2X;XXX;q(#(#    ` 0  (8)notseektocoerceorunfairlyinfluenceapartytoacceptaproposalforresolutionofa C matterindisputeandshallnotmakeanysubstantivedecisionsonbehalfofaparty;and,|(#(#    ` 0  (9)iftheserviceispursuanttoSupremeCourtRule31,complywithallotherdutiesofa N disputeresolutionneutralassetforthintheRule. 7(#(#    ` (d)Alawyershallwithdrawfromserviceasadisputeresolutionneutralor,ifappointedbya " ! court,shallseekthecourtspermissiontowithdrawfromserviceasadisputeresolutionneutral #" if: $# (1)anyofthepartiessorequests;#X;XX2X;*#2X;XXX; ]&!% -0  (2)thelawyerreasonablybelievesthatfurtherdisputef  Ԁf  g resolutionserviceswillnotleadto /(#' anagreementresolvingthematterindisputeorthatanyofthepartiesisunwillingor )h$( unabletocooperatewiththelawyersdisputeresolutioninitiatives;or*Q%)(#(#    ` 0  (3)anyoftheconditionsstatedinparagraph(b)arenolongersatisfied.+#'+(#(# Ї(e)Uponterminationofalawyersserviceasadisputeresolutionneutral,thelawyer:  (1)may,withtheconsentofallthepartiestothedispute,incompliancewiththe  requirementsofRules1.2(c)and2.2,#X;XX2X;@.#2X;XXX;draftasettlementagreementthatresultsfromthe k disputeresolutionprocess,butshallnototherwiserepresentanyorallofpartiesin T connectionwiththematter,and =  0(2)shallaffordeachpartytothedisputetheprotectionsaffordedaclientbyRules1.6,  _ 1.8(b),and1.9.  H 2  COMMENT     3  3  [1]Mediation,arbitration,andotherformsofalternativedisputeresolutionhavebeenin   useformanyyears,butincreasingdemandsinrecentyearsformorepromptandefficientmeans   ofresolvingdisputesofallkindshaveledtoanincreaseinthedemandfortheservicesofdispute o  resolutionneutralsskilledintheanalysisofdisputesandinconflictresolution.Lawyersareoften X  particularlywellsuitedtoperformthisroleandshouldbeencouragedtodoso. A   [2]Althoughserviceasadisputeresolutionneutralisconsideredalawrelatedservice c governedgenerallybytheseRules(seeRule5.7),theuniquenatureofalawyersrolewhen L servingasadisputeresolutionneutraldemandsseparate,morespecific,treatmentinthisRulefor 5 theguidanceoftheprofessionandthepublic.    [3]ThisRuleprovidesthatalawyermayserveasadisputeresolutionneutral,whetheras  amediator,nonbindingarbitrator,acaseevaluator,orjudgeorjurorinaminitrialorsummary  jurytrial.Thescopeofalawyerspossibleserviceasaneutralisintendedtobegenerallythe r sameasthatadoptedinTennesseeSupremeCourtRule31governingcourtannexedalternative [ disputeresolution.WhileRule31coversonlycourtannexedalternativedisputeresolution, D however,thisRulecoversservicesasadisputeresolutionneutralwhetherrenderedin -} connectionwithcourtannexeddisputeresolutionproceedingsorinanother,perhapswholly f privatecontextnotcoveredbyRule31. O   [4]ThisRuledoesnotcovertherenderingbyalawyerofservicesrelatedtoalternative !!  disputeresolutionthatarenotneutralinnature,butaremorejudicialinnature,suchasserviceas " ! anarbitratorinabindingarbitration.AlthoughRule5.7mayaddressalawyersobligationsin #" suchacontext,thisRuledoesnotpurporttoaddressthem. $#   [5]AlthoughalawyerwhoservesasadisputeresolutionneutralissubjecttotheRulesof ^&!% ProfessionalConduct(seeRule5.7),manyoftheRulesdonotdirectlyapplytosuchservice G'"& becausetheparticipantsinadisputeresolutionproceedingarenotthelawyersclients.Other 0(#' Rulesdoapply,however,andthisRulefurtherprovidesspecificapplicationsofcertainrulesthat )i$( mustapplydifferentlyinthiscontext(including,forexample,theapplicationofrulesgoverning *R%) conflictsofinterest). *;&*  +$'+   [6]AlthoughtherequirementsofthisRulearegenerallyintendedtobeconsistentwith  thoseimposedondisputeresolutionneutralsunderRule31,therearedutiesadditionaltothose  setoutinRule31thatareimposedonlawyerswhoserveinthisrole.SeealsoStandardsof  ProfessionalConductforRule31Mediators.Eventhough_nonlawyers_#X;XX2X;1#2X;XXX;ԀcertifiedbytheSupreme k CourtunderRule31asdisputeresolutionneutralsmaynotbesubjecttotheseRulesandthe T partiestothedisputearenotdeemedtobetheclientsofthelawyerservingastheirdispute =  resolutionneutral,thepartiesareproperlyentitledtoassumethatlawyersservinginthiscapacity & v arelargelysubjecttothesamebroadstandardsofconductasareapplicabletolawyerswhenthey  _ areprovidinglegalservicestoclients.  H   [7]TheCourthassetforthinRule31rulesandstandardsofprofessionalconduct    applicabletoallRule31neutrals,includingbothlawyersand_nonlawyers_.Thus,paragraph(b)   contemplatesthatalawyermayserveasaRule31neutralifthelawyercomplieswiththese   requirements.Paragraph(b)(9)requiresthatalawyerservingasadisputeresolutionneutral   pursuanttoSupremeCourtRule31mustcomplyfullywiththerequirementsofthatRule. n  ?+ 4 <DL!X?  [8]Paragraph(b)specifiesthecircumstancesinwhichalawyermayservepartiestoa @ disputeasadisputeresolutionneutral.Withrespecttothepartiestothedispute,Rule1.7is )y inapplicablebecausethereisnoattorneyclientrelationshipbetweentheneutralandtheparties b tothedispute.Rule1.7remainsapplicable,however,toprotectaclient,asdistinctfromparties K thelawyerisservingasaneutral,ifthelawyersserviceasaneutralwillmateriallylimitthe 4 lawyersrepresentationoftheclient.Similarly,ifthelawyersserviceasaneutralwouldbe  materiallyadversetooneofthelawyersformerclients,andthemattersaresubstantiallyrelated,  thelawyermustaffordtheformerclienttheprotectionofRule1.9.?+ 4 <DL!X?2qX2X;  #2X;X2q6J#  [9]Conflictsofinterestforlawyersservingasdisputeresolutionneutralsarespecifically %u addressed,giventhefactthat,althoughpartiestoadisputeresolutionproceedingarenotthe ^ clientsofthedisputeresolutionneutral,thelawyerservingasneutralmustbeimpartial,must G fullydiscloseanypertinentrelationshipstothepartiestotheproceeding,andmustobtaintheir 0 consenttothelawyersservicebasedonthesedisclosures.Notethat,althoughparagraph(b)(4)  doesnotprovideformandatoryvicariousdisqualificationbasedonalawyerscurrentor  prospectiveserviceasadisputeresolutionneutral,thefactthat,forexample,alawyeraskedto   serveasaneutralhasapartnerwhocurrentlyrepresentsoneofthepartiestothedisputeinother !  matterswouldobviouslyhavetodisclosethisfacttothepartiesunder(b)(7)andobtainconsent m"! toserviceasaneutral.Ofcourse,thislawyerwouldalsohavetohaveareasonablebeliefthat V#" impartialitywaspossibledespitethisandothersuchpertinentrelationships.f  g Ԁ#X;XX2X;pA#ԀIfalawyermaynot ?$# makethedisclosuresrequiredbyparagraph(b)(7)becauseofhisconfidentialityobligationstoa (%x $ client,thenthelawyermaynotserveasadisputeneutral.2X;XXX;f  g  &a!%   [10]Paragraph(c)furtherprovidesvariousstandardsofconductparticulartoservicebya '3#' lawyerasadisputeresolutionneutral.Again,theserulesofconductareintendedtobe ($( consistentwithRule31andtoaddresstheparticularsituationofaneutral,whooccupiesa )%) significantlydifferentrelationshiptoparticipantsinadisputeresolutionproceedingthana *%* lawyerdoeswithclients.Paragraphs(c)(4)and(c)(5)treattheconfidentialityofallinformation +&+ relatedtothedispute(includingthatobtainedinindividualcaucuseswiththeparties)byanalogy  totheRulesconcerningtheconfidentialityofclientinformation.Thus,forexample,any  questionconcerningthepotentialdisclosureoffraudbyaparticipantinadisputeresolution  proceedingwouldbeaddressedunderRules1.6,3.3or4.1asthoughtheparticipantwere,in k fact,aclientofthelawyer.Otherportionsofparagraph(c),suchasthebanonundisclosed T compensationbyoneoftheparticipantsinparagraph(c)(7),theprohibitiononcoercionor =  decisionmakingonbehalfofpartiesinparagraph(c)(8),andthebanongivinglegaladviceto & v theparticipantsinparagraph(c)(6),imposerestrictionsneededtoinsureandreinforcethe  _ necessaryimpartialityofthelawyerservingasadisputeresolutionneutral.  H   [11]Paragraph(d)requiresthatalawyerservingasadisputeresolutionneutralwithdraw    orseekanappointingcourtspermissiontowithdrawincertainspecifiedcircumstances,suchas   arequestbyapartytodosoorthelawyersreasonablebeliefthatthelawyersservicewillnot   befruitful.     [12]Paragraph(e)establishesalawyersdutiestowardparticipantsinadispute W  resolutionproceedingupontheterminationofthelawyersserviceasaneutralforanyreason, @ whetherbecauseasettlementisachievedorbecauseapartyrequeststhelawyerswithdrawal. )y Giventheimpartialroleofadisputeresolutionneutral,itisinappropriateforalawyerwhohad b servedasadisputeresolutionneutraltolaterrepresentanyofthepartiestothedisputein K connectionwiththesubjectmatterofthatdisputeresolutionproceeding.f  g Thisf  g disqualification, 4 however,doesnotextendtootherlawyersassociatedinalawfirmwiththedisputeresolution  neutral.f  g Ԁ#X;XX2X;P#If,however,thepartieshavesuccessfullyresolvedtheirdispute,paragraph(e)(1)  permitsthelawyerneutraltodrafttheagreementsettlingtheirdispute,butthismustbedonein  conformitywithRules1.2(c)and2.2.2X;XXX;Ԁ    [13]f  g ԀFurther,paragraph(e)(2)providesthat,eventhoughtheparticipantstoaconcluded Z disputeresolutionproceedingwerenottheclientsofthelawyerwhoservedasadispute C resolutionneutralinthatproceeding,theseparticipantsareneverthelessentitledtothe ,| protectionsrelatingtoconfidentialityandconflictsofinterestaffordedbyf  g ԀRules1.6,1.8(b),and e 1.9f  g Ԁasiftheywereformerclientsf  g .f  g Ԁf   N    _DEFINITIONAL_ԀCROSSREFERENCES  !   ` ConsentsinWritingSeeRule1.0(b) #"  Consultationand ConsultsSeeRule1.0(c) $#  FirmSeeRule1.0(d) u% $  MateriallySeeRule1.0(g) ^&!%  Reasonableand ReasonablySeeRule1.0(_i_) G'"&  ReasonablyBelievesSeeRule1.0(j) 0(#'   %b#X;XX2X;P]#2X;XXX;  *R%)     CHAPTER3  ADVOCATE  PROPOSEDRULE3.1 n MERITORIOUSCLAIMSANDCONTENTIONS  X b dvb  Alawyershallnotbringordefend,orcontinuewiththeprosecutionordefenseofa + { proceeding,orassertorcontrovert,orcontinuetoassertorcontrovert,anissuethereinunless,  d afterreasonableinquiry,thelawyerhasabasisfordoingsothatisnotfrivolous,whichincludes  M agoodfaithargumentforanextension,modification,orreversalofexistinglaw.Alawyerfor  6  thedefendantinacriminalproceeding,ortherespondentinaproceedingthatcouldresultin    incarceration,mayneverthelesssodefendtheproceedingastorequirethateveryelementofthe   casebeestablished.      COMMENT  s  ff  [1]Theadvocatehasadutytouselegalprocedureforthefullestbenefitoftheclient's F cause,butalsoadutynottoabuselegalprocedure.Thelawbothproceduralandsubstantive, / establishesthelimitswithinwhichanadvocatemayproceed.However,thelawisnotalways h clearandneverisstatic.Accordingly,indeterminingtheproperscopeofadvocacy,account Q mustbetakenofthelaw'sambiguitiesandpotentialforchange. :   [2]Thefilingofanactionordefenseorsimilaractiontakenforaclientisnotfrivolous   merelybecausethefactshavenotfirstbeenfullysubstantiatedorbecausethelawyerexpectsto  developvitalevidenceonlybydiscovery.Whatisrequiredoflawyers,however,isthattheyact  reasonablytoinformthemselvesaboutthefactsoftheirclientscaseandthelawapplicableto w thecaseandthenactreasonablyindeterminingthattheycanmakenonfrivolousargumentsin ` supportoftheirclientsposition.Suchanactionisnotfrivolouseventhoughthelawyerbelieves I thattheclient'spositionultimatelywillnotprevail.Theactionisfrivolous,however,iftheclient 2 desirestohavetheactiontakenprimarilyforthepurposeofharassingormaliciouslyinjuringa k personorifthelawyerisunableeithertomakeanonfrivolousargumentonthemeritsofthe  T actiontakenortosupporttheactiontakenbyanonfrivolousargumentforanextension,  = modificationorreversalofexistinglaw. !&    [3]AlthoughthisRuledoesnotprecludealawyerforadefendantinacriminalmatter #" fromdefendingtheproceedingsoastorequirethateveryelementofthecasebeestablished,the $# defenseattorneymustnotfilefrivolousmotionsandmustgivenoticetotheprosecutionifthe z% $ lawyerdecidestoabandonanaffirmativedefensethatthelawyerhadpreviouslyindicatedwould c&!% bepresentedinthecase. L'"&   [4]Priortofilingacomplaintinacivilmatter,alawyershouldactreasonablytopromote )n$( settlementofthematterindispute,includingconsultationwiththeclientabouttheuseof *W%) mediationorotheralternativemeansofdisputeresolution. *@&*  +)'+    _DEFINITIONAL_ԀCROSSREFERENCES   q ReasonableSeeRule1.0(_i_)    l _#X;XX2X;eb#2X;XXX;f  g _   PROPOSEDRULE3.2  EXPEDITINGLITIGATION   ^r dvjr Alawyershallmakereasonableeffortstoexpeditelitigationconsistentwiththeinterestsofthe n client. W    COMMENT  ) y s  [1]Dilatorypracticesbringtheadministrationofjusticeintodisrepute.Althoughthere  L willbeoccasionswhenalawyermayproperlyseekapostponementforpersonalreasons,suchas  5  illnessoraconflictwithanimportantfamilyengagement,itisnotproperforalawyerto    routinelyfailtoexpeditelitigationsolelyfortheconvenienceoftheadvocates.Norwillafailure   toexpeditebereasonableifdonefortheprimarypurposeoffrustratinganopposingparty's   attempttoobtainrightfulredressorrepose.Itisnotajustificationthatsimilarconductisoften   toleratedbythebenchandbar.Thequestioniswhetherareasonablelawyerwouldregardthe r  courseofactionashavingsomesubstantialpurposeotherthandelay.Realizingfinancialor [  otherbenefitfromotherwiseimproperdelayinlitigationisnotalegitimateinterestoftheclient. D   [2]Evenifalawyerisjustifiedinseekingtodelayaproceeding,thelawyermaynotdo f sobymeansotherwiseprohibitedbytheserules.See,e.g.,Rules3.1and3.4. O    _DEFINITIONAL_ԀCROSSREFERENCES !  x ReasonableSeeRule1.0(_i_)  _#X;XX2X;r#2X;XXX;f  g _  v #X;XX2X;y# 2X;XXX;  PROPOSEDRULE3.3  hz  CANDORTOWARDTHETRIBUNAL   z(a)Alawyershallnotknowingly: m   (1)makeafalsestatementoffactorlawtoatribunal;or ?    (2)failtodisclosetothetribunallegalauthorityinthecontrollingjurisdictionknown  a   tothelawyertobedirectlyadversetothepositionoftheclientandnotdisclosedby  J   opposingcounsel;or  3    (3)inanexparteproceeding,failtoinformthetribunalofallmaterialfactsknownto     thelawyerwhichwillenablethetribunaltomakeaninformeddecision,whetherornot   Ѐthefactsareadverse.   f  #X;XX2X;Iz#2X;XXX;(b)f  Ag f  g f  g Ԁlawyershallnotf  g offerf  g evidencef  g f  g thelawyerknowstobefalse,exceptthatalawyerwho Y  representsadefendantinacriminalproceeding,andwhohasbeendeniedpermissionto B withdrawfromthedefendantsrepresentationaftercompliancewithparagraph(f),mayallowthe +{ clienttotestifybywayofanundirectednarrativeortakesuchotheractionasisnecessaryto d honorthedefendantsconstitutionalrightsinconnectionwiththeproceeding.#X;XX2X; ~#2X;XXX; M (c)Alawyershallnotaffirmthevalidityof,orotherwiseuse,anyevidencethelawyerknowsto  befalse.  #X;XX2X;#2X;XXX;(d)Alawyerf  g Ԁmayrefusetoofferoruseevidence,otherthanthetestimonyofaclientwhoisa  defendantinacriminalmatter,thatthelawyerreasonablybelievesisfalse,misleading, s fraudulentorillegallyobtained.#X;XX2X;#2X;XXX;Ԁ \ #X;XX2X;V#2X;XXX;(e)Ifalawyerknowsthatthelawyersclientintendstoperpetrateafrauduponthetribunalf  g Ԁor .~ otherwisecommitanoffenseagainsttheadministrationofjusticeinconnectionwiththe g proceeding,includingimproperconducttowardajurororamemberofthejurypool,#X;XX2X;#2X;XXX;Ԁorcomesto  P know,priortotheconclusionoftheproceeding,thattheclienthas,duringthecourseofthe  9 lawyersrepresentation,f  g perpetratedsuchacrimeorfraud,#X;XX2X;?#thelawyershalladvisetheclientto !"  refrainfrom,ortodiscloseorotherwiserectify,thecrimeorfraudandshallconsultwiththe " ! clientabouttheconsequencesoftheclient'sfailuretodoso.2X;XXX; #" (f)Ifalawyer,afterconsultationwiththeclientasrequiredbyparagraph(e),knowsthatthe v% $ clientstillintendstof  g perpetratethecrimeorfraud,f  g #X;XX2X;W#orrefusesorisunabletodiscloseorotherwise _&!% rectifythecrimeorfraud,2X;XXX;thelawyershallf  g f  g Ԁseekpermissionofthetribunaltowithdrawfromthe H'"& representationf  g oftheclientandshallinformthetribunal,withoutfurtherdisclosureof 1(#' informationprotectedbyRule1.6,thatthelawyer'srequesttowithdrawisrequiredbytheRules )j$( ofProfessionalConduct. *S%) (g)Alawyerwho,priortoconclusionoftheproceeding,comestoknow#X;XX2X;#2X;XXX;Ԁthatthelawyerhas#X;XX2X;#2X;XXX; +%'+ Ї#X;XX2X;q#2X;XXX;offeredfalsetangibleordocumentaryevidenceshallwithdrawor_disaffirm_Ԁsuchevidence  withoutfurtherdisclosureofinformationprotectedbyRulef  g f  g 1.6.#X;XX2X;ɋ#2X;XXX;  #X;XX2X;#2X;XXX;(h)Alawyerwho,priortotheconclusionoftheproceeding,comestoknowthatapersonother k thantheclienthasf  g perpetratedafrauduponthetribunalf  Ԁorotherwisecommittedanoffense T againsttheadministrationofjusticeinconnectionwiththeproceeding,andinwhichthe =  lawyersclientwasnotimplicated,shallf  Ԁpromptlyreporttheimproperconducttothetribunal, & v f  g evenifsodoingrequiresthedisclosureofinformationotherwiseprotectedbyRule1.6.  _ #X;XX2X;[#2X;XXX;(_i_)Alawyerwho,priortoconclusionoftheproceeding,comestoknowofimproperconductby  1  ortowardajurororamemberofthejurypoolshallreporttheimproperconducttothetribunal,    evenifsodoingrequiresthedisclosureofinformationotherwiseprotectedbyRule1.6.   f  g #X;XX2X;#2X;XXX;#X;XX2X;#2X;XXX;f  g (j)f  g f  g f  g If,inresponsetoalawyer'srequesttowithdrawfromtherepresentationoftheclientorthe   lawyer'sreportofaperjury,fraud,oroffenseagainsttheadministrationofjusticebyaperson n  otherthanthelawyer'sclient,atribunalrequestsadditionalinformationwhichthelawyercan W  onlyprovidebydisclosinginformationprotectedbyRule1.6or1.9(c),thelawyershallcomply @ withtherequest,butonlyiffinallyorderedtodosobythetribunalafterthelawyerhasasserted )y onbehalfoftheclientallnonfrivolousclaimsthattheinformationsoughtbythetribunalis b protectedbytheattorneyclientprivilege. K f  #X;XX2X;## 2X;XXX;g   COMMENT     [1]ThisRulegovernstheconductofalawyerwhoisrepresentingaclientinconnection  withtheproceedingsofatribunal,suchasacourtoranadministrativeagencyactinginan  adjudicativecapacity.Itappliesnotonlywhenthelawyerappearsbeforethetribunal,butalso r whenthelawyerparticipatesinactivitiesconductedpursuanttothetribunalsauthority,suchas [ pretrialdiscoveryinacivilmatter. D   [2]Theadvocate'staskistopresenttheclient'scasewithpersuasiveforce.Performance f ofthatdutywhilemaintainingconfidencesoftheclientisqualifiedbytheadvocate'sdutyto O refrainfromassistingaclienttoperpetrateafrauduponthetribunal.However,anadvocatedoes  8 notvouchfortheevidencesubmittedinacause;thetribunalisresponsibleforassessingits !!  probativevalue. " !    RepresentationsbyaLawyer  $# N  [3]Anadvocateisresponsibleforpleadingsandotherdocumentspreparedforlitigation, _&!% butisusuallynotrequiredtohavepersonalknowledgeofmattersassertedtherein,forlitigation H'"& documentsordinarilypresentassertionsbytheclient,orbysomeoneontheclient'sbehalf,and 1(#' notassertionsbythelawyer.CompareRule3.1.However,anassertionpurportingtobeonthe )j$( lawyer'sownknowledge,asinanaffidavitbythelawyerorinastatementinopencourt,may *S%) properlybemadeonlywhenthelawyerknowstheassertionistrueorbelievesittobetrueonthe *<&* basisofareasonablydiligentinquiry.Therearecircumstanceswherefailuretomakea +%'+ disclosureistheequivalentofanaffirmativemisrepresentation.Theobligationprescribedin  Rule1.2(d)nottocounselaclienttocommit,orassisttheclientincommittingafraud,appliesin  litigation.RegardingcompliancewithRule1.2(d),seetheCommenttothatRule.Seealsothe  CommenttoRule8.4(b). k    MisleadingLegalArgument  =  ^  [4]Legalargumentbasedonaknowinglyfalserepresentationoflawconstitutes  ` dishonestytowardthetribunal.Alawyerisnotrequiredtomakeadisinterestedexpositionofthe  I law,butmustrecognizetheexistenceofpertinentlegalauthorities.Furthermore,asstatedin  2  paragraph(a)(2),anadvocatehasadutytodisclosedirectlyadverseauthorityinthecontrolling    jurisdictionwhichhasnotbeendisclosedbytheopposingparty.Theunderlyingconceptisthat   legalargumentisadiscussionseekingtodeterminethelegalpremisesproperlyapplicabletothe   case.      f  ExParteProceedings  o    [5]Ordinarily,anadvocatehasthelimitedresponsibilityofpresentingonesideofthe B mattersthatatribunalshouldconsiderinreachingadecision;theconflictingpositionisexpected +{ tobepresentedbytheopposingparty.However,inanexparteproceeding,suchasan d applicationforatemporaryrestrainingorder,thereisnobalanceofpresentationbyopposing M advocates.Theobjectofanexparteproceedingisneverthelesstoyieldasubstantiallyjustresult. 6 Thejudgehasanaffirmativeresponsibilitytoaccordtheabsentpartyjustconsideration.As  providedinparagraph(a)(3),thelawyerfortherepresentedpartyhasthecorrelativedutyto  makedisclosuresofmaterialfactsknowntothelawyerandthatthelawyerreasonablybelieves  arenecessarytoaninformeddecision.#X;XX2X;ѕ#2X;XXX;  g )  @  @`  @  @ RefusingtoOfferorUseFalseEvidence  ]    [6]Whenevidencethatalawyerknowstobefalseisprovidedbyapersonwhoisnotthe 0 client,thelawyermustrefusetoofferitregardlessoftheclient'swishes.Thelawyermust i similarlyrefusetoofferaclientstestimonythatthelawyerknowstobefalse,exceptthat  R paragraph(b)permitsthelawyertoallowacriminaldefendanttotestifybywayofnarrativeif  ; thelawyersrequesttowithdraw,asrequiredbyparagraph(f),isdenied.b  Paragraph(c) !$  precludesalawyerbũfromaffirmingthevalidityof,orotherwiseusing,anyevidencethelawyer " ! knowstobefalse,includingthenarrativetestimonyofacriminaldefendant. #" #X;XX2X;˦#2X;XXX;  [7]Asprovidedinparagraph(d),alawyerhasauthoritytorefusetoofferoruse x% $ testimonyorotherproofthatthelawyerbelievesisuntrustworthy.Offeringsuchproofmay a&!% reflectadverselyonthelawyer'sabilitytodiscriminateinthequalityofevidenceandthusimpair J'"& thelawyer'seffectivenessasanadvocate.Becauseofthespecialprotectionshistorically 3(#' providedcriminaldefendants,however,thisruledoesnotpermitalawyertorefusetoofferor )l$( usethetestimonyofsuchaclientbecausethelawyerreasonablybelievesthetestimonytobe *U%) false.Unlessthelawyerknowsthetestimonywillbefalse,thelawyermusthonortheclients *>&* decisiontotestify. +''+     `    WrongdoinginAdjudicativeProceedingsbyClientsandOthers     [8]Alawyerwhoisrepresentingaclientinanadjudicativeproceedingandcomesto l knowpriortothecompletionoftheproceedingthattheclienthasperpetratedafraudor U committedperjuryoranotheroffenseagainsttheadministrationofjustice,orintendstodoso >  beforetheendoftheproceeding,isinadifficultpositioninwhichthelawyermuststrikea ' w professionallyresponsiblebalancebetweenthelawyer'sdutiesofloyaltyandconfidentiality  ` owedtotheclientandtheequallyimportantdutyofthelawyertoavoidassistingtheclientwith  I theconsummationofthefraudorperjury.Inallsuchcasesf  g ,paragraph(e)requiresthef  g lawyerf  g f  g tof  g   2  advisetheclienttodesistfromortorectifythecrimeorfraudandinformtheclientofthe    consequencesofafailuretodoso.Thehardquestionscomeinthoserarecasesinwhichthe   clientrefusestorevealthemisconductandprohibitsthelawyerfromdoingso.     [9]Paragraph(f)setsforththelawyersresponsibilitiesinsituationsinwhichthe o  lawyersclientisimplicatedinthemisconduct.f  ԀInthesesituations,theRulesdonotpermitthe X  lawyertoreporttheclientsoffense.ConfidentialityunderRule1.6prevailsoverthelawyers A dutyofcandortothetribunal.Onlyiftheclientisimplicatedinmisconductbyortowarda *z jurororamemberofthejurypooldoesthelawyersdutyofcandortothetribunalprevailover c confidentiality.Seeparagraph(_i_). L   [10]#X;XX2X;#2X;XXX;Althoughthelawyermaynotrevealtheclientsmisconduct,thelawyermustnot  voluntarilycontinuetorepresenttheclient,fortodosowithoutdisclosureofthemisconduct  thatwouldassisttheclienttoconsummatetheoffense.TheRule,therefore,requiresthelawyer  toseekpermissionofthetribunaltowithdrawfromtherepresentationoftheclient.Toincrease  thelikelihoodthatthetribunalwillpermitthelawyertowithdraw,thelawyerisalsorequiredto r informthecourtthattherequestforpermissiontowithdrawisrequiredbytheRulesof [ ProfessionalConduct.Thisstatementalsoservestoadvisethetribunalthatsomethingisamiss D withoutprovidingthetribunalwithanyoftheinformationrelatedtotherepresentationthatis -} protectedbyRule1.6.TheseRules,therefore,areintendedtopreserveconfidentialitywhile f requiringthelawyertoactsoasnottoassisttheclientwiththeconsummationofthefraud.This O reflectsajudgmentthatthelegalsystemwillbebestservedbyrulesthatencourageclientsto  8 confideintheirlawyerswhof  g inturnf  g willadvisethemtorectifythefraud.Many,ifnotmost, !!  clientswillabidebytheirlawyersadvice,particularlyifthelawyerspellsouttheconsequences " ! offailingtodoso.Atthesametime,ourlegalsystemandprofessioncannotpermitlawyersto #" assistclientswhorefusetofollowtheiradviceandinsistonconsummatinganongoingfraud. $#   [11]#X;XX2X;#2X;XXX;Oncethelawyerhasmadearequestforpermissiontowithdraw,thetribunalmay ^&!% grantordenytherequesttowithdrawwithoutfurtherinquiryormayseekmoreinformationfrom G'"& thelawyersaboutthereasonsforthelawyersrequest.Ifthejudgeseeksmoreinformation,the 0(#' lawyermustresistdisclosureofinformationprotectedbyRule1.6,butonlytotheextentthatthe )i$( lawyermaydosoincompliancewithRule3.1.Ifthelawyercannotmakeanonfrivolous *R%) argumentthattheinformationsoughtbythetribunalisprotectedbytheattorneyclientprivilege, *;&* thelawyermustrespondtruthfullytotheinquiry.If,however,thereisanonfrivolousargument +$'+ thattheinformationsoughtisprivileged,paragraph(h)requiresthelawyertoinvokethe  privilege.Whethertoseekaninterlocutoryappealfromanadversedecisionwithrespecttothe  claimofprivilegeisgovernedbyRule1.2and3.1.    [12]#X;XX2X;5#2X;XXX;Ifalawyerisrequiredtoseekpermissionfromatribunaltowithdrawfromthe T representationofaclientineitheracivilorcriminalproceedingbecausetheclienthasrefusedto =  rectifyaperjuryorfraud,itisultimatelytheresponsibilityofthetribunaltodeterminewhether & v thelawyerwillbepermittedtowithdrawfromtherepresentation.Inacriminalproceeding,  _ however,adecisiontopermitthelawyer'swithdrawalmayimplicatetheconstitutionalrightsof  H theaccusedandmayevenhavetheeffectofprecludingfurtherprosecutionoftheclient.  1  Notwithstandingthispossibility,thelawyermustseekpermissiontowithdraw,leavingittothe    prosecutortoobjecttotherequestandtothetribunaltoultimatelydeterminewhetherwithdrawal   ispermitted.Ifpermissiontowithdrawisnotgranted,thelawyermustcontinuetorepresentthe   clientbutcannotassisttheclientinconsummatingthefraudorperjurybydirectlyorindirectly   usingtheperjuredtestimonyorfalseevidenceduringthecurrentoranysubsequentstageofthe n  proceeding.Adefenseattorneywhocomplieswiththeserulesisactingprofessionallywithout W  regardtotheeffectofthelawyer'scomplianceontheoutcomeoftheproceeding. @    FalseDocumentaryorTangibleEvidence b    [13]Ifalawyercomestoknowthattangibleitemsordocumentsthatthelawyerhas 4 previouslyofferedintoevidencehavebeenalteredorfalsified,paragraph(g)requiresthatthe  lawyerwithdrawor_disaffirm_Ԁtheevidencebutdoesnototherwisepermitdisclosureof  informationprotectedbyRule1.6.Because_disaffirmance_,likewithdrawal,canbe  accomplishedwithoutdisclosureofinformationprotectedbyRule1.6,itisrequiredwhen  necessaryforthelawyertoavoidassistingafraudonthetribunal. q #X;XX2X;#2X;XXX;f  g   CrimesorFraudsbyPersonsOtherthantheClient  C SӀ  [14]#X;XX2X;#2X;XXX;Paragraph(h)f  g appliesifthelawyercomestoknowthatapersonotherthantheclient f hasengagedinmisconductinconnectionwiththeproceeding.f  g Uponlearningpriortothe O completionoftheproceedingthatsuchmisconducthasoccurred,f  g thelawyerisrequiredby  8 paragraph(e)topromptlyrevealtheoffensetothetribunal.Theclientsinterestinprotectingthe !!  wrongdoerisnotsufficientlyimportantastooverridethelawyersdutyofcandortothecourt " ! andtotakeaffirmativestepstopreventtheadministrationofjusticefrombeingtaintedby #" perjury,fraudorotherimproperconduct. $#   MisconductByofTowardJurorsorMembersofJuryPool  ^&!% F#X;XX2X;#2X;XXX;  [15]Becausejurytamperingunderminestheinstitutionalmechanismouradversary 3(#' systemofjusticeusestodeterminethetruthorfalsityoftestimonyorevidence,paragraph(_i_) )l$( requiresalawyerwholearnspriortothecompletionoftheproceedingthattherehasbeen *U%) misconductbyordirectedtowardajurororprospectivejurormustrevealthemisconductandthe *>&* identityoftheperpetratortothetribunal,evenifsodoingrequiresdisclosureofinformation +''+ protectedbyRule1.6.Paragraph(_i_)doesnot_f  g f  g requiref  g _Ԁthatthelawyerseekpermissionto  withdrawfromthefurtherrepresentationoftheclientintheproceeding,butincasesinwhichthe  clientisimplicatedinthejurytampering,thelawyerscontinuedrepresentationoftheclientmay  violateRule1.7.Rule1.16(a)(1)wouldthenrequirethelawyertoseekpermissiontowithdraw k fromthecase. T    CrimeorFraudDiscoveredAfterConclusionofProceeding  & v     [16]_#X;XX2X;#2X;XXX;_ԀIncasesinwhichthelawyerlearnsoftheclientsmisconductafterthetermination  K oftheproceedinginwhichthemisconductoccurred,thelawyerisprohibitedfromreportingthe  4  clientsmisconducttothetribunal.Eventhoughthelawyermayhaveinnocentlyassistedthe    clienttoperpetratetheoffense,thelawyershouldtreatthisinformationasthelawyerwouldtreat   informationwithrespecttoanypastcrimeaclientmighthavecommitted.Theclientsoffense   willbedeemedcompletedasoftheconclusionoftheproceeding.Anoffensewhichoccursatan   earlierstageintheproceedingwillbedeemedanongoingoffenseuntilthefinalstageofthe q  proceedingiscompleted.AproceedinghasconcludedwithinthemeaningofthisRulewhena Z  finaljudgmentintheproceedinghasbeenaffirmedonappealorthetimeforanappealhas C passed.#X;XX2X;#2X;XXX;  ,|   ConstitutionalRequirements  O 8  [17]_#X;XX2X;#2X;XXX;_ԀTheseRulesapplytodefensecounselincriminalcases,aswellasinother " instances.However,thedefinitionofthelawyer'sethicaldutyinsuchasituationmaybe   qualifiedbyconstitutionalprovisionsfordueprocessandtherighttocounselincriminalcases.  TheobligationoftheadvocateundertheseRulesissubordinatetoanysuchconstitutional  requirement. v f  g   _DEFINITIONAL_ԀCROSSREFERENCES  H  Consultand ConsultationSeeRule1.0(c) k  Fraudand FraudulentSeeRule1.0(e)  T  Knowingly, Knownand KnowsSeeRule1.0(f)  =  MaterialSeeRule1.0(g) !&   ReasonablyBelievesSeeRule1.0(j) "!  TribunalSeeRule1.0(m) #" #X;XX2X;#2X;XXX;#X;XX2X;#X;XXX;qXX;  z% $ #X;Xq##X;XXX;`#2X;XXX;f  g    PROPOSEDRULE3.4  FAIRNESSTOOPPOSINGPARTYANDCOUNSEL   0 p< Alawyershallnot:  n 0  (a)unlawfullyobstructanotherparty'saccesstoevidenceorunlawfullyalter,destroyor A  concealadocumentorothermaterialhavingpotentialevidentiaryvalue.Alawyershall * z notcounselorassistanotherpersontodoanysuchact;or c(#(# 0  (b)falsifyevidence,counselorassistawitnesstoofferfalseormisleadingtestimony;or 5 (#(# 0  (c)knowinglydisobeyanobligationundertherulesofatribunalexceptforanopen   refusalbasedonanassertionthatnovalidobligationexists;or (#(# 0  (d)inpretrialprocedure,makeafrivolousdiscoveryrequestorfailtomakeareasonably r  diligentefforttocomplywithalegallyproperdiscoveryrequestbyanopposingparty;or[ (#(# 0  (e)intrial,-}(#(# 0 ` (1)alludetoanymatterthatthelawyerdoesnotreasonablybelieveisrelevantor O thatwillnotbesupportedbyadmissibleevidence;__8` (#` (# 0 ` (2)assertpersonalknowledgeoffactsinissueexceptwhentestifyingasa   witness;or` (#` (# 0 ` (3)stateapersonalopinionastothejustnessofacause,thecredibilityofa u witness,theculpabilityofacivillitigantortheguiltorinnocenceofanaccused; ^ orG` (#` (# 0  (f)request_af  g _Ԁpersonotherthanaclienttorefrainfromvoluntarilygivingrelevant i informationtoanotherpartyunless: R(#(# 0  f   ` g f  g (1)thepersonisarelativeoranemployeeorotheragentofaclient;and!$ (#(# f  g f  g    ` (2)thelawyerreasonablybelievesthattheperson'sinterestswillnotbeadverselyf  g f  g  #"    ` affectedbyrefrainingfromgivingsuchinformation. $# f    g (g)requestorassistanypersontotakeactionthatwillrenderthepersonunavailableto a&!%   appearasawitnessbywayofdepositionorattrialor J'"& f  g   (f  g f  g hf  g )offeraninducementtoawitnessthatisprohibitedbylaw;orpay,offertopay,or )l$(   acquiesceinthepaymentofcompensationtoawitnesscontingentonthecontentofhis *U%)   testimonyortheoutcomeofthecase.Alawyermayadvance,guaranteeoracquiescein *>&*   thepaymentof: +''+ Ї ` (1)expensesreasonablyincurredbyawitnessinattendingortestifying;  !   ` (2)reasonablecompensationtoawitnessforhislossoftimeinattendingor     ` testifying;or k    ` (3)areasonablefeefortheprofessionalservicesofanexpertwitness. =     COMMENT   _   [1]Theprocedureoftheadversarysystemcontemplatesthattheevidenceinacaseisto  2  bemarshaledcompetitivelybythecontendingparties.Faircompetitionintheadversarysystem    issecuredbyprohibitionsagainstdestructionorconcealmentofevidence,improperly   influencingwitnesses,obstructivetacticsindiscoveryprocedure,andthelike.     [2]Documentsandotheritemsofevidenceareoftenessentialtoestablishaclaimor o  defense.Subjecttoevidentiaryprivileges,therightofanopposingparty,includingthe X  government,toobtainevidencethroughdiscoveryorsubpoenaisanimportantproceduralright. A Theexerciseofthatrightcanbefrustratedifrelevantmaterialisaltered,concealedordestroyed. *z Applicablelawinmanyjurisdictionsmakesitanoffensetodestroymaterialforthepurposeof c impairingitsavailabilityinapendingproceedingoraproceedingthecommencementofwhich L canbeforeseen.Falsifyingevidenceisalsogenerallyacriminaloffense.Paragraph(a)appliesto 5 evidentiarymaterialgenerally,includingcomputerizedinformation.  f  g   [f  g f  g 3f  g ]Althoughparagraph(f)broadlyprohibitslawyersfromtakingextrajudicialactionto  impedeinformalfactgathering,itdoespermitthelawyertorequestthatthelawyersclient,and  relativesoremployeesoragentsoftheclient,refrainfromvoluntarilygivinginformationto r anotherparty.Thisisbecausesuchrelativesandemployeeswillnormallyidentifytheirinterests [ withthoseoftheclient.SeealsoRule4.2. D #X;XX2X;#f    [f  g f  g 4f  g ]Withregardtoparagraph(f  g f  g hf  g ),itisnotimpropertopayawitness'sexpensesorto f compensateanexpertwitnessontermspermittedbylaw.Thecommonlawruleinmost O jurisdictionsisthatitisimpropertopayanoccurrencewitnessanyfeefortestifyingandthatitis  8 impropertopayanexpertwitnessacontingentfee.X;XXX; !!  #X;XXX;#f  g f  g f    g _DEFINITIONAL_ԀCROSSREFERENCES #"   KnowinglySeeRule1.0(f) v% $  MaterialSeeRule1.0(g) _&!%  Reasonableand ReasonablySeeRule1.0(_i_) H'"&  ReasonablyBelievesSeeRule1.0(j) 1(#'  TribunalSeeRule1.0(m) )j$( 2X;XXX;  *<&*    PROPOSEDRULE3.5  IMPARTIALITYANDDECORUMOFTHETRIBUNAL    is Alawyershallnot: n 0  (a)seektoinfluenceajudge,juror,amemberofthejurypool,orotherofficialbymeans @  prohibitedby_law;_) y(#(# 0  (b)communicateexpartewithajudge,juror,oramemberofthejurypool,priortoor  K duringaproceeding,exceptaspermittedby_law;#X;XX2X;#2X;XXX;_ 4 (#(# 0  (c)communicatewithajuroraftercompletionofthejurorstermofserviceifthe   communicationisprohibitedbylaworisreasonablylikelytoharassorembarrassthe   jurororinfluencethejurorsactionsinfuturejury_service;#X;XX2X;C#2X;XXX;_ (#(# 0  (d)conductavexatiousorharassinginvestigationofajurororamemberofthejurypool; Z  orC(#(# 0  (e)engageinconductintendedtodisruptaproceedingbeforeorconductedpursuantto e theauthorityofatribunal.N(#(#    ӀCOMMENT      [1]Manyformsofimproperinfluenceuponatribunalareproscribedbycriminallawor  stateorlocalrulesofprocedure.OthersarespecifiedintheTennesseeCodeofJudicialConduct,  withwhichanadvocateshouldbefamiliar.Forexample,alawyershallnotgiveorlend u anythingofvaluetoajudge,judicialofficeroremployeeofatribunal,exceptaspermittedby ^ Section(C)(4)ofCanon5oftheCodeofJudicialConduct.Alawyer,however,maymakea G contributiontothecampaignfundofacandidateforjudicialofficeinconformitywithSection 0 (B)(2)ofCanon7oftheCodeofJudicialConduct. i   [2]Paragraph(b)doesnotprohibitcommunicatingwithajudgeonthemeritsofthe  ; causeinwritingifthelawyerpromptlydeliversacopyofthewritingtoopposingcounselandto !$  partieswhoarenotrepresentedbycounsel.Oralcommunicationispermitteduponadequate " ! noticetoopposingcounselandpartieswhoarenotrepresentedbycounsel. #"   [3]Acommunicationwithoraninvestigationofthespouse,child,parentorsiblingofa x% $ jurororamemberofthejurypoolwillbedeemedacommunicationwithoraninvestigationof a&!% thejuror.  J'"&    [4]Theadvocate'sfunctionistopresentevidenceandargumentsothatthecausemaybe )l$( decidedaccordingtolaw.Refrainingfromabusiveorobstreperousconductisacorollaryofthe *U%) advocate'srighttospeakonbehalfoflitigants.Alawyermaystandfirmagainstabusebyajudge *>&* butshouldavoidreciprocation;thejudge'sdefaultisnojustificationforsimilarderelictionbyan +''+ advocate.Anadvocatecanpresentthecause,protecttherecordforsubsequentreviewand  preserveprofessionalintegritybypatientfirmnessnolesseffectivelythanbybelligerenceor  theatrics.    [5]Paragraph(e)prohibitsalawyerfromengaginginconductintendedtodisrupta T depositionaswellasatrial. =     _DEFINITIONAL_ԀCROSSREFERENCES   _   ReasonablySeeRule1.0(_i_)  2   TribunalSeeRule1.0(m)    #X;XX2X;#    2X;XXX;   PROPOSEDRULE3.6  TRIALPUBLICITY    in v (a)Alawyerwhoisparticipatingorhasparticipatedintheinvestigationorlitigationofamatter m shallnotmakeanextrajudicialstatementthatthelawyerknowsorreasonablyshouldknowwill V bedisseminatedbymeansofpubliccommunicationandwillhaveasubstantiallikelihoodof ?  materiallyprejudicinganadjudicativeproceeding. ( x (b)Notwithstandingparagraph(a),alawyermaystate:  J 0  (1)theclaim,offenseordefenseinvolved,and,exceptwhenprohibitedbylaw,the    identityofthepersonsinvolved; (#(#   (2)informationcontainedinapublicrecord;     (3)thataninvestigationofamatterisinprogress; Y    (4)theschedulingorresultofanystepinlitigation; +{ 0  (5)arequestforassistanceinobtainingevidenceandinformationnecessarythereto;M(#(# 0  (6)awarningofdangerconcerningthebehaviorofapersoninvolved,whenthereis  reasontobelievethatthereexiststhelikelihoodofsubstantialharmtoanindividualorto  thepublicinterest;and(#(# 0  (7)inacriminalcase,inadditiontosubparagraphs(1)through(6):s(#(#   0 ` (_i_)theidentity,residence,occupationandfamilystatusoftheaccused;E` (#` (#   0 ` (ii)iftheaccusedhasnotbeenapprehended,informationnecessarytoaidin g apprehensionofthatperson; P` (#` (#   0 ` (iii)thefact,timeandplaceofarrest;and!" ` (#` (#   0 ` (iv)theidentityofinvestigatingandarrestingofficersoragenciesandthelength #" oftheinvestigation.$#` (#` (# (c)Notwithstandingparagraph(a),alawyermaymakeastatementthatareasonablelawyer _&!% wouldbelieveisrequiredtoprotectaclientfromthesubstantialundueprejudicialeffectof H'"& recentpublicitynotinitiatedbythelawyerorthelawyer'sclient.Astatementmadepursuantto 1(#' thisparagraphshallbelimitedtosuchinformationasisnecessarytomitigatetherecentadverse )j$( publicity. *S%) (d)Nolawyerassociatedinafirmorgovernmentagencywithalawyersubjecttoparagraph(a)#X;XX2X;W #2X;XXX; +%'+ shallmakeastatementprohibitedbyparagraph(a).    COMMENT     [1]Itisdifficulttostrikeabalancebetweenprotectingtherighttoafairtrialand U safeguardingtherightoffreeexpression.Preservingtherighttoafairtrialnecessarilyentails >  somecurtailmentoftheinformationthatmaybedisseminatedaboutapartypriortotrial, ' w particularlywheretrialbyjuryisinvolved.Iftherewerenosuchlimits,theresultwouldbethe  ` practicalnullificationoftheprotectiveeffectoftherulesofforensicdecorumandthe  I exclusionaryrulesofevidence.Ontheotherhand,therearevitalsocialinterestsservedbythe  2  freedisseminationofinformationabouteventshavinglegalconsequencesandaboutlegal    proceedingsthemselves.Thepublichasarighttoknowaboutthreatstoitssafetyandmeasures   aimedatassuringitssecurity.Italsohasalegitimateinterestintheconductofjudicialproceed   ings,particularlyinmattersofgeneralpublicconcern.Furthermore,thesubjectmatteroflegal   proceedingsisoftenofdirectsignificanceindebateanddeliberationoverquestionsofpublic o  policy. X    [2]Specialrulesofconfidentialitymayvalidlygovernproceedingsinjuvenile,domestic *z relationsandmentaldisabilityproceedings,andperhapsothertypesoflitigation.Rule3.4(c) c requirescompliancewithsuchRules. L   [3]TheRulesetsforthabasicgeneralprohibitionagainstalawyer'smakingstatements  thatthelawyerknowsorshouldknowwillhaveasubstantiallikelihoodofmateriallyprejudicing  anadjudicativeproceeding.Recognizingthatthepublicvalueofinformedcommentaryisgreat  andthelikelihoodofprejudicetoaproceedingbythecommentaryofalawyerwhoisnot  involvedintheproceedingissmall,theruleappliesonlytolawyerswhoare,orwhohavebeen r involvedintheinvestigationorlitigationofacase,andtheirassociates. [   [4]Paragraph(b)identifiesspecificmattersaboutwhichalawyer'sstatementswouldnot -} ordinarilybeconsideredtopresentasubstantiallikelihoodofmaterialprejudice,andshouldnot f inanyeventbeconsideredprohibitedbythegeneralprohibitionofparagraph(a).Paragraph(b) O isnotintendedtobeanexhaustivelistingofthesubjectsuponwhichalawyermaymakea  8 statement,butstatementsonothermatterswillbegovernedbyparagraph(a). !!    [5]Thereare,ontheotherhand,certainsubjectswhicharemorelikelythannottohavea #" materialprejudicialeffectonaproceeding,particularlywhentheyrefertoacivilmattertriable $# toajury,acriminalmatter,oranyotherproceedingthatcouldresultinincarceration.These u% $ subjectsrelateto: ^&!% 0  (1)thecharacter,credibility,reputationorcriminalrecordofaparty,suspectina 0(#' criminalinvestigationorwitness,ortheidentityofawitness,ortheexpectedtestimony )i$( ofapartyorwitness;*R%)(#(#   (2)inacriminalcaseorproceedingthatcouldresultinincarceration,thepossibilityofa#X;XX2X;#2X;XXX; +$'+ 0  pleaofguiltytotheoffenseortheexistenceorcontentsofanyconfession,admission,or  statementgivenbyadefendantorsuspectorthatperson'srefusalorfailuretomakea  statement;(#(#   (3)theperformanceorresultsofanyexaminationortestortherefusalorfailureofa T   persontosubmittoanexaminationortest,ortheidentityornatureofphysicalevidence =    expectedtobepresented; & v   (4)anyopinionastotheguiltorinnocenceofadefendantorsuspectinacriminalcaseor  H   proceedingthatcouldresultinincarceration;or  1  0  (5)informationthatthelawyerknowsorreasonablyshouldknowislikelytobe   inadmissibleasevidenceinatrialandthatwould,ifdisclosed,createasubstantialriskof   prejudicinganimpartialtrial. (#(#   0 `  ` (#` (#   [6]Anotherrelevantfactorindeterminingprejudiceisthenatureoftheproceeding W  involved.Criminaljurytrialswillbemostsensitivetoextrajudicialspeech.Civiltrialsmaybe @ lesssensitive._Nonjury_Ԁhearingsandarbitrationproceedingsmaybeevenlessaffected.TheRule )y willstillplacelimitationsonprejudicialcommentsinthesecases,butthelikelihoodofprejudice b maybedifferentdependingonthetypeofproceeding. K   [7]Finally,extrajudicialstatementsthatmightotherwiseraiseaquestionunderthisRule  maybepermissiblewhentheyaremadeinresponsetostatementsmadepubliclybyanother  party,anotherparty'slawyer,orthirdpersons,butonlyifareasonablelawyerwouldbelievea  publicresponseisrequiredinordertoavoidsubstantialprejudicetothelawyer'sclient.Insome  situations,prejudicialstatementshavebeenpubliclymadebyothers,responsivestatementsmay q havethesalutaryeffectoflesseninganyresultingadverseimpactontheadjudicativeproceeding. Z Suchresponsivestatementsshouldbelimitedtocontainonlysuchinformationasisnecessaryto C mitigateundueprejudicecreatedbythestatementsmadebyothers. ,|   [8]SeeRules3.8(e)_f  g for_Ԁadditionaldutiesofprosecutorsinconnectionwithextrajudicial N statementsaboutcriminalproceedings.  7    _DEFINITIONAL_ԀCROSSREFERENCES  " ! 3 FirmSeeRule1.0(d) $#  KnowsSeeRule1.0(f) u% $  MateriallySeeRule1.0(g) ^&!%  ReasonablyShouldKnowSeeRule1.0(k) G'"&  ReasonableSeeRule1.0(_i_) 0(#'  SubstantialSeeRule1.0(l) )i$( #X;XX2X;'#2X;XXX;  *;&*     PROPOSEDRULE3.7  LAWYERASWITNESS   f5 eer5(a)Alawyershallnotactasadvocateatatrialinwhichthelawyerislikelytobeanecessary m witnessexceptwhere: V   (1)thetestimonyrelatestoanuncontestedissue; ( x   (2)thetestimonyrelatestothenatureandvalueoflegalservicesrenderedinthecase;or  J 0   `  (#(#   (3)disqualificationofthelawyerwouldworksubstantialhardshipontheclient.      (b)Alawyermayactasadvocateinatrialinwhichanotherlawyerinthelawyer'sfirmislikely   tobecalledasawitnessunlessprecludedfromdoingsobyRule1.7orRule1.9.      COMMENT  Z  8    [1]Combiningtherolesofadvocateandwitnesscanprejudicetheopposingpartyand -} caninvolveaconflictofinterestbetweenthelawyerandclient. f     [2]Theopposingpartyhasproperobjectionwherethecombinationofrolesmay 8 prejudicethatparty'srightsinthelitigation.Awitnessisrequiredtotestifyonthebasisof ! personalknowledge,whileanadvocateisexpectedtoexplainandcommentonevidencegiven   byothers.Itmaynotbeclearwhetherastatementbyanadvocate-witnessshouldbetakenas  prooforasananalysisoftheproof.    [3]Paragraph(a)(1)recognizesthatifthetestimonywillbeuncontested,theambiguities ^ inthedualrolearepurelytheoretical.Paragraph(a)(2)recognizesthatwherethetestimony G concernstheextentandvalueoflegalservicesrenderedintheactioninwhichthetestimonyis 0 offered,permittingthelawyerstotestifyavoidstheneedforasecondtrialwithnewcounselto i resolvethatissue.Moreover,insuchasituationthejudgehasfirsthandknowledgeofthematter  R inissue;hence,thereislessdependenceontheadversaryprocesstotestthecredibilityofthe  ; testimony. !$    [4]Apartfromthesetwoexceptions,paragraph(a)(3)recognizesthatabalancingis #" requiredbetweentheinterestsoftheclientandthoseoftheopposingparty.Whetherthe $# opposingpartyislikelytosufferprejudicedependsonthenatureofthecase,theimportanceand x% $ probabletenorofthelawyer'stestimony,andtheprobabilitythatthelawyer'stestimonywill a&!% conflictwiththatofotherwitnesses.Evenifthereisriskofsuchprejudice,indetermining J'"& whetherthelawyershouldbedisqualifieddueregardmustbegiventotheeffectof 3(#' disqualificationonthelawyer'sclient.Itisrelevantthatoneorbothpartiescouldreasonably )l$( foreseethatthelawyerwouldprobablybeawitness.Theprincipleofimputeddisqualification *U%) statedinRule1.10hasnoapplicationtothisaspectoftheproblem. *>&*  +''+   [5]Whetherthecombinationofrolesinvolvesanimproperconflictofinterestwith  respecttotheclientisdeterminedbyRule1.7or1.9.Forexample,ifthereislikelytobe  substantialconflictbetweenthetestimonyoftheclientandthatofthelawyeroramemberofthe  lawyer'sfirm,therepresentationisimproper.Theproblemcanarisewhetherthelawyeriscalled k asawitnessonbehalfoftheclientoriscalledbytheopposingparty.Determiningwhetheror T notsuchaconflictexistsisprimarilytheresponsibilityofthelawyerinvolved.SeeCommentto =  Rule1.7.Ifalawyerwhoisamemberofafirmmaynotactasbothadvocateandwitnessby & v reasonofconflictofinterest,Rule1.10disqualifiesthefirmalso.  _   _DEFINITIONAL_ԀCROSSREFERENCES  1  F FirmSeeRule1.0(d)    SubstantialSeeRule1.0(l)       #X;XX2X;/5#2X;XXX;f  g    PROPOSEDRULE3.8  SPECIALRESPONSIBILITIESOFAPROSECUTOR   G ibG Theprosecutorinacriminalmatter: n 0  (a)shallrefrainfromprosecutingachargethattheprosecutorknowsisnotsupportedby @  probablecause;and) y(#(# 0  (b)shallmakereasonableeffortstoassurethattheaccusedhasbeenadvisedoftheright  K to,andtheprocedureforobtainingcounsel,andhasbeengivenreasonableopportunityto  4  obtaincounsel;and  (#(# 0  (c)shallnotadviseanunrepresentedaccusedtowaiveimportantpretrialrights;and (#(# 0  (d)shallmaketimelydisclosuretothedefenseofallevidenceorinformationknownto q  theprosecutorthattendstonegatetheguiltoftheaccusedormitigatestheoffense,and, Z  inconnectionwithsentencing,disclosetothedefenseandf  g ,ifthedefendantisproceeding C prose,f  g Ԁtothetribunalallunprivilegedmitigatinginformationknowntotheprosecutor, ,| exceptwhentheprosecutorisrelievedofthisresponsibilitybyaprotectiveorderofthe e tribunal;andN(#(# 0  (e)shall: (#(# 0 ` (1)exercisereasonablecaretopreventemployeesoftheprosecutorsofficefrom  makinganextrajudicialstatementthattheprosecutorwouldbeprohibitedfrom  makingunderRule3.6;andt` (#` (# 0 ` (2)discourageinvestigators,lawenforcementpersonnel,andotherpersons F assistingorassociatedwiththeprosecutorinacriminalmatterfrommakingan / extrajudicialstatementthattheprosecutorwouldbeprohibitedfrommaking h underRule3.6;and Q` (#` (# M0  (f)shallnotsubpoenaalawyerinagrandjuryorothercriminalproceedingtopresent !#  evidenceaboutaclientorformerclientunlesstheprosecutorreasonablybelieves:" !(#(# 0  0` (#(#(1)theinformationsoughtisnotprotectedfromdisclosurebyanyapplicable $# privilege;__w% $` (#` (# 0  0` (#(#(2)theevidencesoughtisessentialtothesuccessfulcompletionofanongoing I'"& investigationorprosecution;and2(#'` (#` (# 0  0` (#(#(3)thereisnootherfeasiblealternativetoobtaintheinformationf  g f  g .f  g *T%)` (#` (#   0 `  ` (#` (# f  g   COMMENT +&'+  S  [1]Aprosecutorhastheresponsibilityofaministerofjusticeandnotsimplythatofan  advocate.Thisresponsibilitycarrieswithitspecificobligationstoseethatthedefendantis  accordedproceduraljusticeandthatguiltisdecideduponthebasisofsufficientevidence. k Preciselyhowfartheprosecutorisrequiredtogointhisdirectionisamatterofdebateandvaries T indifferentjurisdictions.f  g ԀApplicablelawmayrequireothermeasuresbytheprosecutorand =  knowingdisregardofthoseobligationsorasystematicabuseofprosecutorialdiscretioncould & v constituteaviolationofRule8.4.  _   [2]Paragraph(c)doesnotapplytoanaccusedappearingprosewiththeapprovalofthe  1  tribunal.Nordoesitforbidthelawfulquestioningofasuspectwhohasknowinglywaivedthe    rightstocounselandsilence.     [3]Theexceptioninparagraph(d)recognizesthataprosecutormayseekanappropriate   protectiveorderfromthetribunalifdisclosureofinformationtothedefensecouldresultin n  substantialharmtoanindividualortothepublicinterest. W    [4]Paragraph(f)isintendedtolimittheissuanceoflawyersubpoenasingrandjuryand )y othercriminalproceedingstothosesituationsinwhichthereisagenuineneedtointrudeintothe b client-lawyerrelationship. K f    [5]SeeRule3.6(c)fortherulesgoverningextrajudicialstatementsbyprosecutorsand  otherlawyersparticipatingintheinvestigationorlitigationofamatter.  g   _DEFINITIONAL_ԀCROSSREFERENCES   [ Knownand KnowsSeeRule1.0(f) [  ReasonableSeeRule1.0(_i_) D  ReasonablyBelievesSeeRule1.0(j) -}  SubstantialSeeRule1.0(l) f  TribunalSeeRule1.0(m) O #X;XX2X;G#  !!     PROPOSEDRULE3.9  ADVOCATEINNONADJUDICATIVEPROCEEDINGS  ] ]  Alawyerrepresentingaclientbeforealegislativebodyoradministrativeagencyina n nonadjudicativeproceedingshalldisclosethattheappearanceisinarepresentativecapacityand W shallconformtotheprovisionsofRules3.3(a)(1)and(2),(b),(c),and(d),3.4(a)through(c), @  3.5(a),(b)and(e),and4.1. ) y    COMMENT   K _  [1]Inrepresentationbeforebodiessuchaslegislatures,municipalcouncils,and    executiveandadministrativeagenciesactinginarule-makingorpolicy-makingcapacity,   lawyerspresentfacts,formulateissuesandadvanceargumentinthemattersunderconsideration.   Thedecision-makingbody,likeacourt,shouldbeabletorelyontheintegrityofthesubmissions   madetoit.Alawyerappearingbeforesuchabodyshoulddealwiththetribunalhonestlyandin r  conformitywithapplicablerulesofprocedure. [    [2]Lawyershavenoexclusiverighttoappearbeforenonadjudicativebodies,astheydo -} beforeacourt.TherequirementsofthisRulethereforemaysubjectlawyerstoregulations f inapplicabletoadvocateswhoarenotlawyers.However,exceptforthefactthatlawyersneed O notsecurethepermissionofalegislativebodyoradministrativeagencytowithdrawfromthe 8 representationofaclientinanonadjudicativematterandthatcertainoftherulesgoverningthe ! conductoflawyersinadjudicativemattersarenotpertinenttononadjudicativematters,   legislaturesandadministrativeagencieshavearighttoexpectlawyerstodealwiththemasthey  dealwithcourts.    [3]ThisRuledoesnotapplytorepresentationofaclientinanegotiationorother ^ bilateraltransactionwithagovernmentalagency;representationinsuchatransactionis G governedbyRules4.1through4.4. 0   [4]SeeRule4.1forthedutiesofalawyerwhocomestoknowthatthelawyersclientor  R awitnesswhosetestimonyispresentedbythelawyerhastestifiedfalselyorotherwisepresented  ; falseevidenceinanonadjudicativeproceedingconductedbyalegislativebodyor !$  administrativeagency.  " !   _DEFINITIONAL_ԀCROSSREFERENCES  $# h0  None.c&!%(#(# 2X;XXX;  5(#'     CHAPTER4  TRANSACTIONSWITHPERSONSOTHERTHANCLIENTS  i aii   PROPOSEDRULE4.1 n TRUTHFULNESSANDCANDORINSTATEMENTSTOOTHERS ai/j  X #j (a)Inthecourseofrepresentingaclient,alawyershallnotknowinglymakeafalsestatementof , | materialfactorlawtoathirdperson.  e (b)Iff  g f  g ,inthecourseoff  g Ԁrepresentingaclientina_nonadjudicative_Ԁmatterf  g ,alawyerf  g Ԁknowsthator  7  herg f  g thef  g Ԁclientintendstoperpetrateacrimeorfraud,thelawyershallpromptlyadvisetheclientto   refrainfromf  Ԁg f  g doingsoandshallf  g Ԁconsultwiththeclientabouttheconsequencesoftheclient's   f  g conductf  g f  g .If  g ff  g Ԁaftersuchconsultation,thelawyerknowsthattheclientstillintendstoengageinthe   wrongfulconduct,thelawyershall:   Ѐ   t    (1)withdrawfromtherepresentationoftheclientinthematter;and ]  (2)givenoticeofthewithdrawaltoanypersonwhothelawyerknowsisawareofthe / lawyersrepresentationoftheclientinthematterandwhosefinancialorproperty h interestsarelikelytobeinjuredbytheclientscriminalorfraudulentconduct.f  g Ԁ#X;XX2X;Pi#The Q lawyershallalsogivenoticetoanysuchpersonofthelawyers_disaffirmance_Ԁofany : writtenstatements,opinions,orothermaterialpreparedbythelawyeronbehalfofthe # clientandwhichthelawyerreasonablybelievesmaybeusedbytheclientinfurtherance   ofthecrimeorfraud.2X;XXX;  of  g   (c)Ifalawyerwhoisrepresentingorhasrepresentedaclientina_nonadjudicative_Ԁmattercomes w toknow,priortotheconclusionofthematter,thattheclienthas,duringthecourseofthe ` lawyer'srepresentationoftheclientf  g ,perpetratedacrimeorfraudf  g ,thelawyershallpromptly I advisetheclienttorectifythecrimeorfraud,f  g f  g andf  g Ԁconsultwiththeclientabouttheconsequences 2 oftheclient'sfailuretof  g f  g doso.I#X;XX2X;r#2X;XXX;f  g ftheclientrefusesorisunabletorectifythef  g Ԁcrimeorf  g Ԁfraud,the k lawyershall:  T Ѐ    =   (1)ifcurrentlyrepresentingtheclientinthematter,withdrawfromtherepresentation !&    andgivenoticeofthewithdrawaltoanypersonwhothelawyerknowsisawareofthe "!   lawyersrepresentationoftheclientinthematterandwhosefinancialorproperty f   #"   g interestsarelikelytobeinjuredbytheclientscriminalorfraudulentconduct;and $# (2)givenoticetof  g anyf  g suchpersonofthelawyers_disaffirmance_Ԁofanywritten c&!% statements,opinionsorothermaterialpreparedbythelawyeronbehalfoftheclientand L'"& whichthelawyerreasonablybelievesmaybeusedbytheclientinfurtheranceofthe 5(#' crimeorfraud. )n$( xg   COMMENT  *@&* z    +*'+ Misrepresentation   z  [1]Alawyerisrequiredtobetruthfulwhendealingwithothersonaclient'sbehalf,but  generallyhasnoaffirmativedutytoinformanopposingpartyofrelevantfactsorlaw.A l misrepresentationcanoccurifthelawyerincorporatesoraffirmsastatementofanotherperson U thatthelawyerknowsisfalse.Misrepresentationscanalsooccurbyfailuretoact. >    }  [2]ThisRulereferstostatementsoffact.Whetheraparticularstatementshouldbe  ` regardedasoneoffactcandependonthecircumstances.Undergenerallyacceptedconventions  I innegotiation,certaintypesofstatementsordinarilyarenottakenasstatementsofmaterialfact.  2  Estimatesofpriceorvalueplacedonthesubjectofatransactionandaparty'sintentionsastoan    acceptablesettlementofaclaimareinthiscategory,andsoistheexistenceofanundisclosed   principalexceptwhere_nondisclosure_Ԁoftheprincipalwouldconstitutefraud.      CrimeorFraudbyClient  o   ! ! (Eh83  [3]Paragraphs(b)and(c)provideguidanceforlawyerswhodiscoverthataclient B intendstoorisengagingincriminalorfraudulentconduct,andinsomecasesmayevenhave +{ usedthelawyer'sservicestoassistthemcommitthecrimeorfraud.Toavoidassistingtheclient d withthecrimeorfraud,thelawyermustadvisetheclienttorefrainfromortorectifythe M consequencesofthecriminalorfraudulentact.Iftheclientrefusesorisunabletodoso,the 6 lawyermustwithdrawfromtherepresentationoftheclientinthematter.Additionally,thisRule  mandateslimiteddisclosuresnoticeofwithdrawalor_disaffirmance_Ԁofwrittenworkproduct  inf  g circumstancesinwhichsuchdisclosureisnecessaryforthelawyertopreventtheclientfrom  usingthelawyer'sservicesg f  g infurtheranceoff  g Ԁthef  g Ԁcrimeorfraud.Tothislimitedextent,then,this  Ruleoverridesthelawyer'sdutiesinRules1.6,1.8(b)and1.9(c)prohibitingdisclosureoruseto s thedisadvantageoftheclientofinformationrelatingtotherepresentation.f  g ԀOtherthanthe \ disclosuremandatedbythisrule,however,thelawyermustnotrevealinformationrelatingtothe E representationunlesspermittedtodosobyRule1.6.f  g  .~   [4]Ifalawyerlearnsthataclientintendstocommitacrimeorfraudunder  P circumstancesinwhichthelawyerwillnotassisttheoffensebyremainingsilent,paragraph(b)  9 requiresremonstrationwiththeclientagainstthecrimeorfraud,andrequireswithdrawalifthe !"  clientdoesnotdesistfromthecourseofconductinquestion.Althoughthelawyerisnot " ! f  g f  g requiredf  g Ԁtorevealtheclient'sintendedorongoingfraud,thelawyerisrequiredtocommunicate #" thefactthatheorshehaswithdrawnfromtherepresentationoftheclienttoanypersonwhothe $# lawyerreasonablybelievesknowsofthelawyer'sinvolvementinthematterandwhosefinancial v% $ orpropertyinterestsarelikelytobedamagedbytheclient'sintendedorongoingmisconduct. _&!% Thiscommunicationisnecessarytofullydistancethelawyerfromtheclient'smisconduct.Ifthe H'"& client'sintendedconductisacrime,fulldisclosureofthecrimeispermittedbyRule1.6(b),but 1(#' isnotrequiredbyparagraph(b)ofthisRule. )j$(   [5]Insomecases,alawyerwilllearnaboutaclient'scrimeorfraudafterheorshehas *<&* innocentlypreparedandsubmittedstatements,opinionsorothermaterialstothirdpartieswho +%'+ willbeadverselyaffectediftheclientpersistswithhisorhermisconduct.Ifthelawyerwas  misledbyf  g f  g thef  g Ԁclient,someofthesestatements,opinionsormaterialsmaybefalseormisleading.  Eventhoughaccurate,theymaybenecessaryfortheaccomplishmentoftheclient'scrimeor  fraud.Thispresentsthelawyerwithadilemma.Withouttheconsentoftheclient,thelawyer k maynotcorrectthestatements,opinionsormaterials.Thatwouldviolatetheprohibitionagainst T revealinginformationrelatedtotherepresentationoftheclient.Yettodonothingwouldallow =  theclienttousethelawyer'sworkintheclient'songoingefforttoconsummatethefraud.To & v resolvethisdilemma,f  g f  g paragraphs(b)andf  g Ԁ(c)f  g Ԁdof  g Ԁnotrequiredisclosureofthecrimeorfraudbut  _ onlyrequiresthatthelawyereffectivelydisengagefromthecrimeorfraudbygivingnoticeto  H affectedpersonsofthelawyer's_disaffirmance_Ԁofthelawyer'sworkproductthatthelawyer  1  reasonablybelievesmaybeusedbytheclientinfurtheranceofthecrimeorfraud.SeeRule    1.6(b)forthecircumstancesinwhichthelawyermaybepermittedtomorefullyreveal   informationforthepurposesorpreventingorrectifyingtheclient'scrimeorfraud.     [6]If,aftertheconclusionofamatterinwhichalawyerhasrepresentedaclient,the n  lawyerlearnsthattheclienthasperpetratedacrimeorfraudduringthecourseofthelawyers W  representation,thelawyermaynotrevealthecrimeorfraudunlesspermittedtodosoby @ Rule1.6(b)(3). )y    _DEFINITIONAL_ԀCROSSREFERENCES  K  Knowinglyand KnowsSeeRule1.0(f)   MaterialSeeRule1.0(g)   FraudandFraudulentSeeRule1.0(e)   Consultand ConsultationSeeRule1.0(c)   ReasonablyBelievesSeeRule1.0(j) r #X;XX2X;u#2X;XXX;  -}     PROPOSEDRULE4.2  ӗ  COMMUNICATIONWITHPERSONREPRESENTEDBYCOUNSEL   # ߗInrepresentingaclient,alawyershallnotcommunicateaboutthesubjectoftherepresentation m withapersonthelawyerknowstoberepresentedbyanotherlawyerinthematter,unlessthe V lawyerhastheconsentoftheotherlawyerorisauthorizedbylawtodoso. ?    COMMENT   a    [1]ThisRulecontributestotheproperfunctioningofthelegalsystembyprotectinga  4  personwhohaschosentoberepresentedbyalawyerinamatteragainstpossibleoverreaching    byotherlawyerswhoareparticipatinginthematter,interferencebythoselawyerswiththe   clientlawyerrelationship,andthe_uncounseled_Ԁdisclosureofinformationrelatingtothe   representation.     [2]Thisruleappliestocommunicationswithanyperson,whetherornotapartytoa Z  formaladjudicativeproceeding,contractornegotiation,whoisrepresentedbycounsel C concerningthemattertowhichthecommunicationrelates.TheRuleapplieseventhoughthe ,| representedpersoninitiatesorconsentstothecommunication.Alawyermustimmediately e terminatecommunicationwithapersonif,aftercommencingcommunication,thelawyerlearns N thatthecommunicationisnotpermittedbythisRule. 7   [3]Inthecaseofarepresentedorganization,thisRuleprohibitscommunicationsbya   lawyerforanotherpersonorentityconcerningthematterinrepresentationwithamemberofthe  governingboard,anofficerormanagerialagentoremployee,oranagentoremployeewho  supervisesordirectstheorganizationslawyerconcerningthematter,hasauthorityto t contractuallyobligatetheorganizationwithrespecttothematter,orotherwiseparticipates ] substantiallyinthedeterminationoftheorganizationspositioninthematter. F   [4]Ifanagentoremployeeofanorganizationisrepresentedinthematterbyhisorher h owncounsel,consentbythatcounselwillbesufficientforpurposesofthisRule.Norisconsent  Q oftheorganizationslawyerrequiredforcommunicationwithaformeragentoremployee.  : SeeRule4.4regardingthelawyersdutynottoviolatetheorganizationslegalrightsby !#  inquiringaboutinformationprotectedbytheorganizationsattorneyclientprivilegeoraswork " ! productoftheorganizationslawyer.Incommunicatingwithacurrentorformeragentor #" employeeofanorganization,alawyershallnotsolicitorassistinthebreachofanydutyof $# confidentialityowedbytheagenttotheorganization.SeeRule4.4. w% $   [5]ThisRuledoesnotprohibitcommunicationwitharepresentedperson,oran I'"& employeeoragentofsuchaperson,concerningmattersoutsidethesubjectmatterofthe 2(#' representation.Forexample,theexistenceofacontroversybetweenagovernmentagencyanda )k$( privateparty,orbetweentwoprivateparties,doesnotprohibitalawyerforeitherfrom *T%) communicatingwith_nonlawyers_#X;XX2X;#2X;XXX;Ԁrepresentativesoftheotherregardingaseparatematter,suchas *=&* additionalordifferentunlawfulconduct.NordoesthisRuleprecludealawyerfrom +&'+ communicatingwithapersonwhoseeksasecondopinionaboutamatterinwhichthepersonis  representedbyanotherlawyer.Also,partiestoamattermaycommunicatedirectlywitheach  other.      [6]Communicationswithrepresentedpersonsmaybeauthorizedbyspecific T constitutionalorstatutoryprovisions,byrulesgoverningtheconductofproceedings,orby =  applicablejudicialprecedentf  g Ԁorbycourtorderf  g .Communicationsauthorizedbylaw,for & v example,mayincludecommunicationsbyalawyeronbehalfofaclientwhoisexercisinga  _ constitutionalorotherlegalrighttocommunicatewithagovernmentalofficialhavingthepower  H toredresstheclientsgrievances.  1  ̀  [7]Byvirtueofitsexemptionofcommunicationsauthorizedbylaw,thisRulepermitsa   prosecutororagovernmentlawyerengagedinacriminalorcivillawenforcementinvestigation   tocommunicatewithordirectinvestigativeagentstocommunicatewitharepresentedperson   priortothecommencementofacriminalorcivillawenforcementproceedingagainstthe n  representedperson.Acivillawenforcementinvestigationisoneconductedunderthe W  governmentspoliceorregulatorypowertoenforcethelaw.Oncearepresentedpersonhasbeen @ arrested,indicted,charged,ornamedasadefendantinacriminalorcivillawenforcement )y proceeding,however,prosecutorsandgovernmentlawyersmustcomplywiththisRule.A b representedpersonswaiveroftheconstitutionalrighttocounseldoesnotexempttheprosecutor K fromthedutytocomplywiththisRule. 4   [8]Intheeventthepersonwithwhomthelawyercommunicatesisnotknowntobe  representedbycounselinthematter,thelawyer'scommunicationsaresubjecttoRule4.3.     _DEFINITIONAL_ԀCROSSREFERENCES  q  KnowsSeeRule1.0(f) D #X;XX2X;#2X;XXX;  f     PROPOSEDRULE4.3  DEALINGWITHUNREPRESENTEDPERSON    esIndealingonbehalfofaclientwithapersonwhoisnotrepresentedbycounsel,alawyershall m notstateorimplythatthelawyerisdisinterested.Whenthelawyerknowsorreasonablyshould V knowthattheunrepresentedpersonmisunderstandsthelawyer'sroleinthematter,thelawyer ?  shallmakereasonableeffortstocorrectthemisunderstanding.#X;XX2X;a#X;XXX;f  g f  g Thef  g Ԁlawyershallnotf  g f  g givef  g Ԁlegal ( x advicetof  g f  g anf  g Ԁunrepresentedpersonf  g ,f  g Ԁotherthantheadvicetosecure#X;XXX;#X;XXX;Ԁcounsel,g f  g ifthelawyerknows  a orreasonablyshouldknowthattheinterestsofsuchapersonareorhaveareasonablepossibility  J ofbeinginconflictwiththeinterestsoftheclient.#X;XXX;#2X;XXX;Ԁ  3     COMMENT       [1]f  g ԀAnunrepresentedperson,particularlyonenotexperiencedindealingwithlegal   matters,mightassumethatalawyerisdisinterestedinloyaltiesorisadisinterestedauthorityon q  thelawevenwhenthelawyerrepresentsaclient.g Ԁ#X;XX2X;Ҷ#X;XXX;Inordertoavoidamisunderstanding,alawyer Z  willtypicallyneedtoidentifythelawyersclientand,wherenecessary,explainthattheclient C hasinterestsopposedtothoseoftheunrepresentedperson.Formisunderstandingsthat ,| sometimesarisewhenalawyerforanorganizationdealswithanunrepresentedconstituent,see e Rule1.13(d).#X;XXX;#X;XXX; N #X;XXX;#2X;XXX;#X;XX2X;#X;XXX;  [2]TheRuledistinguishesbetweensituationsinvolvingunrepresentedpersonswhose   interestsmaybeadversetothoseofthelawyersclientandthoseinwhichthepersonsinterests   arenotinconflictwiththeclients.Intheformersituation,thepossibilitythatthelawyerwill  compromisetheunrepresentedpersonsinterestsissogreatthattheRuleprohibitsthegivingof  anyadvice,apartfromtheadvicetoobtaincounsel.Whetheralawyerisgivingimpermissible t advicemaydependontheexperienceandsophisticationoftheunrepresentedperson,aswellas ] thesettinginwhichthebehaviorandcommentsoccur.ThisRuledoesnotprohibitalawyerfrom F negotiatingthetermsofatransactionorsettlingadisputewithanunrepresentedperson.Solong / asthelawyerhasexplainedthatthelawyerrepresentsanadversepartyandisnotrepresenting h theperson,thelawyermayinformthepersonofthetermsonwhichthelawyer'sclientwillenter  Q intoanagreementorsettleamatter,preparedocumentsthatrequiretheperson'ssignatureand  : explainthelawyer'sownviewofthemeaningofthedocumentorthelawyer'sviewofthe !#  underlyinglegalobligations. " ! #X;XXX;/#2X;XXX;   _DEFINITIONAL_ԀCROSSREFERENCES  $# G KnowsSeeRule1.0(f) b&!%  ReasonableSeeRule1.0(_i_) K'"&  ReasonablyShouldKnowSeeRule1.0(k) 4(#' #X;XX2X;%#2X;XXX;  *V%)    PROPOSEDRULE4.4    RESPECTFORRIGHTSOFTHIRDPERSONS    esInrepresentingaclient,alawyershallnot: o 0  (a)usemeansthathavenosubstantialpurposeotherthantoembarrass,delay,orburdena A  thirdpersonorknowinglyusemethodsofobtainingevidencethatviolatethelegalrights * z ofsuchaperson;or c(#(# 0  (b)threatentopresentacriminalcharge,ortoofferortoagreetorefrainfromfilingsuch  5  acharge,forthepurposeofobtaininganadvantageinacivilmatter.  (#(#    COMMENT      Responsibilitytoaclientrequiresalawyertosubordinatetheinterestsofotherstothose s  oftheclient,butthatresponsibilitydoesnotimplythatalawyermaydisregardtherightsofthird \  persons.Itisimpracticaltocatalogueallsuchrights,buttheyincludelegalrestrictionson E methodsofobtainingevidencefromthirdpersons.f  g Ԁ#X;XX2X;#Forexample,alawyermaynotsecretly .~ recordaconversationortheactivitiesofanotherpersonifdoingsowouldviolatestateorfederal g lawspecificallyprohibitingsuchrecording.Otherwise,thisRuledoesnotprohibitsecret P recordingsolongasthelawyerhasasubstantialpurposeotherthantoembarrassorburdenthe 9 personsbeingrecorded.ItwouldbeaviolationofRule4.1orRule8.4(c),however,ifthe " lawyerstatedfalselyoraffirmativelymisledanothertobelievethataconversationoranactivity   wasnotbeingrecorded.Byitself,however,secrettapingdoesnotviolateeitherRule8.4(c)  (prohibitionagainstdishonestordeceitfulconduct)orRule8.4(d)(prohibitionagainstconduct  prejudicialtotheadministrationofjustice.) v 2X;XXX;f  g   _DEFINITIONAL_ԀCROSSREFERENCES H   KnowinglySeeRule1.0(f) k  SubstantialSeeRule1.0(l)  T #X;XX2X;#  !&  2X;XXX;f  g    f  g CHAPTER5  LAWFIRMS,LEGALDEPARTMENTS,ANDLEGAL  SERVICEORGANIZATIONS    ig&    PROPOSEDRULE5.1 W RESPONSIBILITIESOFAPARTNER,MANAGINGLAWYERORSUPERVISORY A  LAWYER  + {  ig (a)Apartnerinalawfirmanda#X;XX2X;#2X;XXX;Ԁlawyerwhoindividuallyortogetherwithotherlawyers  O possessescomparable#X;XX2X;#2X;XXX;Ԁmanagerialauthorityinalawfirm#X;XX2X;#2X;XXX;Ԁshallmakereasonableeffortstoensure  8  thatthefirmhasineffectmeasuresgivingreasonableassurancethatalllawyersinthefirm  !  conformtotheRulesofProfessionalConduct.   (b)Alawyerhavingdirectsupervisoryauthorityoveranotherlawyershallmakereasonable   effortstoensurethattheotherlawyerconformstotheRulesofProfessionalConduct. u  (c)Alawyershallberesponsibleforanotherlawyer'sviolationoftheRulesofProfessional G Conductif: 0   (1)thelawyerordersor,withknowledgeofthespecificconduct,ratifiestheconduct R   involved;or ; 0   (#(#   (2)thelawyer:      ` (_i_)isapartnerorhascomparablemanagerialauthorityinthelawfirmin      ` whichtheotherlawyerpractices,hasdirectsupervisoryauthorityovertheother x    ` lawyer,isservingascocounselwiththeotherlawyerinthematter,orissharing a    ` feesfromthematterwiththeotherlawyer;and J    ` (ii)#X;XX2X;#2X;XXX;Ԁknowsoftheconductatatimewhenitsconsequencescanbeavoidedor l    ` mitigatedbutfailstotakereasonableremedialaction.  U    COMMENT  !'    [1]Paragraph(a)appliestolawyerswhohavemanagerialauthorityovertheprofessional #" workofalawfirm.SeeRule_1.0(d)_Ԁ(defininglawfirmtoincludenotonlyaprivatelawfirm, $# butalsoalegaldepartmentofacorporation,governmentagency,orotherorganizationanda |% $ legalservicesorganization).#X;XX2X;#2X;XXX;ԀEachpartnerinalawpartnership,ortheircounterpartsinfirms e&!% organizedasprofessionalcorporations,professionallimitedliabilitycompanies,orprofessional N'"& limitedliabilitypartnershipswillbedeemedtopossessmanagerialauthorityforallaspectsofthe 7(#' firmspractice.AlawfirmorotherorganizationoflawyersdescribedinthisRulemay,  )p$( however,agreethatthemanagerialauthorityfortheconductofthefirmororganizationwillbe  *Y%) centralizedinsomebutnotallofthepartnersormanaginglawyers.Insuchacase,onlythe *B&* partnersormanaginglawyerspossessingsuchmanagerialauthoritywillbesubjecttotheduty ++'+ imposedbyparagraph(a).Ontheotherhand,however,paragraph(a)maybeapplicablewhena  lawyerinafirmorotherorganizationoflawyersdescribedinthisRule,whetherornotapartner  oramanaginglawyer,isassignedintermediatelevelmanagerialresponsibilitiesforadepartment  oranofficewithinthefirm.Becausemanylawyersdonotpracticeintraditionallawfirms,but k ratherpracticelawinlegaldepartmentsofbusinessfirms,legalservicesorganizations,orin T legaldepartmentsofgovernmentalagencies,thisrulealsoappliestolawyerspossessing =  managerialauthorityinsuchorganizations. & v   [2]Themeasuresrequiredtofulfilltheresponsibilityprescribedinparagraph(a)can  H dependontheorganizationsstructureandthenatureofitspractice.Inasmalllawfirmorlegal  1  department,forexample,informalsupervisionandoccasionaladmonitionordinarilymightbe    sufficient.Inlargefirmsorlegaldepartments,however,orinpracticesituationsinwhich   intenselydifficultethicalproblemsfrequentlyarise,moreelaborateproceduresmaybe   necessary.Somefirms,forexample,haveaprocedurewherebyjuniorlawyerscanmake   confidentialreferralofethicalproblemsdirectlytoadesignatedseniorpartnerorspecial n  committee.SeeRule5.2.Firmsandlegaldepartments,whetherlargeorsmall,mayalsorelyon W  continuinglegaleducationinprofessionalethics.Inanyevent,theethicalatmosphereofafirm @ ororganizationcaninfluencetheconductofallitsmembersandalawyerhavingauthorityover )y theworkofanothermaynotassumethatthesubordinatelawyerwillinevitablyconformtothe b Rules. K   [3]Paragraph(b)appliestolawyers,withoutregardtotheirstatusinafirmorother  organizationoflawyersdescribedinthisRule,whoassumedirectsupervisoryresponsibilityfor  theoversightoftheworkofanotherlawyer.f  g     [4]Paragraph(c)(1)expressesageneralprincipleofresponsibilityforactsofanother. q SeealsoRule8.4(a). Z   [5]Paragraph(c)(2)specifiesthecircumstancesinwhichonelawyerwillbeheld ,| accountablefortheprofessionalmisconductofanotherlawyerbecauseheorsheknowstheother e lawyerhasengagedinprofessionalmisconductandfailstotakereasonableactiontopreventor N mitigatetheharmcausedbytheprofessionalmisconduct.Whetheralawyerhassuchsupervisory  7 authorityinparticularcircumstancesisaquestionoffact.Partnersofaprivatefirmhaveatleast !   indirectresponsibilityforallworkbeingdonebythefirm,whileapartnerinchargeofa " ! particularmatterordinarilyhasdirectauthorityoverotherfirmlawyersengagedinthematter. #" Appropriateremedialactionbyapartnerwoulddependontheimmediacyofthepartner's $# involvementandtheseriousnessofthemisconduct.Thesupervisorisrequiredtointerveneto t% $ preventavoidableconsequencesofmisconductifthesupervisorknowsthatthemisconduct ]&!% occurred.If,forexample,apartnerinalawfirmknowsthatanotherlawyerinthefirm F'"& misrepresentedamattertoanopposingpartyinanegotiation,thepartneraswellasthe /(#' subordinatehasadutytocorrecttheresultingmisapprehension.Suchwouldalsobethecaseifa )h$( lawyerwhowasassociatedwithanotherlawyerasadirectsupervisor,cocounsel,orasaparty *Q%) toafeesharingagreementlearnedthattheotherlawyerhadengagedinmisconductin *:&* connectionwiththerepresentation.ThisdutyisinadditiontothelawyersRule8.3(a)dutyto +#'+ reportprofessionalmisconducttotheOfficeofDisciplinaryCounsel.Theobligationtotake  reasonableremedialaction,however,doesnotrequirethelawyertotakeanyactionwhichwould  violatetheserules,e.g.,disclosinginformationrelatedtotherepresentationofaclientin  violationofRule1.6.Nordoesthedutytomitigateharmrequirethelawyertocompensatea k personforlossessufferedbyvirtueofthemisconductthelawyerknowshasoccurred. T   [6]Professionalmisconductbyalawyerinafirmorotherorganizationoflawyers & v describedinthisRule,oralawyerwhoisworkingunderthedirectsupervisionofanotherlawyer  _ couldrevealaviolationofparagraph(a)or(b)onthepartofthepartnerorthesupervisory  H lawyereventhoughitdoesnotentailaviolationofparagraph(c)bythepartner,themanaging  1  lawyer,orsupervisorylawyerbecausetherewasnodirection,ratification,orknowledgeofthe    violation.     [7]ApartfromthisRuleandRule8.4(a),alawyerdoesnothavedisciplinaryliabilityfor   theconductofapartner,associateoranotherlawyerwithwhomthelawyerisassociatedin n  connectionwiththerepresentationofaclient.Whetheralawyermaybeheldcivillyor W  criminallyliableforanotherlawyer'sconductisaquestionoflawbeyondthescopeofthese @ Rules.ThisRuleisonlyintendedtoprovideabasisforprofessionaldisciplineandisnot )y intendedtoalterthelegalrightsandresponsibilitiesofpartners,supervisorylawyers,cocounsel, b orpartiestofeesharingagreementswithrespecttotheconductofotherlawyerswithwhomthey K areassociated. 4    _DEFINITIONAL_ԀCROSSREFERENCES    Firmand LawFirmSeeRule1.0(d)   KnowsSeeRule1.0(f) r  PartnerSeeRule1.0(h) [  ReasonableSeeRule1.0(_i_) D #X;XX2X;#2X;XXX;  f     PROPOSEDRULE5.2  B.` hp x (#XBRESPONSIBILITIESOFA@..SUBORDINATELAWYER    no    (a)AlawyerisboundbytheRulesofProfessionalConductnotwithstandingthatthelawyer n actedatthedirectionofanotherperson. W (b)AsubordinatelawyerdoesnotviolatetheRulesofProfessionalConductifthatlawyeracts ) y inaccordancewithasupervisorylawyer'sreasonableresolutionofanarguablequestionof  b professionalduty.  K  COMMENT      [1]Althoughalawyerisnotrelievedofresponsibilityforaviolationbythefactthatthe   lawyeractedatthedirectionofasupervisor,thatfactmayberelevantindeterminingwhethera   lawyerhadtheknowledgerequiredtorenderconductaviolationoftheRules.Forexample,ifa s  subordinatefiledafrivolouspleadingatthedirectionofasupervisor,thesubordinatewouldnot \  beguiltyofaprofessionalviolationunlessthesubordinateknewofthedocument'sfrivolous E character. .~   [2]Whenlawyersinasupervisorsubordinaterelationshipencounteramatterinvolving P professionaljudgmentastoethicalduty,thesupervisormayassumeresponsibilityformaking 9 thejudgment.Otherwiseaconsistentcourseofactionorpositioncouldnotbetaken.Ifthe " questioncanreasonablybeansweredonlyoneway,thedutyofbothlawyersisclearandtheyare   equallyresponsibleforfulfillingit.However,ifthequestionisreasonablyarguable,someone  hastodecideuponthecourseofaction.Thatauthorityordinarilyreposesinthesubordinate  lawyerssupervisor,anotherlawyerwhohasprimaryresponsibilityfortherepresentation,ora v lawyerwhohasauthoritytoresolvesuchmattersonbehalfofthefirm,andasubordinatemaybe _ guidedaccordingly.Forexample,ifaquestionariseswhethertheinterestsoftwoclients H conflictunderRule1.7,thesupervisor'sreasonableresolutionofthequestionshouldprotectthe 1 subordinateprofessionallyiftheresolutionissubsequentlychallenged. j    _DEFINITIONAL_ԀCROSSREFERENCES  <  A ReasonableSeeRule1.0(_i_) "! #X;XX2X;#2X;XXX;f  g  $#     ,OaPROPOSEDRULE5.3  RESPONSIBILITIESREGARDING_NONLAWYER_#X;XX2X;/#2X;XXX;ԀASSISTANTS   { il Withrespecttoa_nonlawyer_#X;XX2X;3#2X;XXX;Ԁemployedorretainedbyorassociatedwithalawyer:#X;XX2X;#2X;XXX;  n Ѐ   W 0  (a)apartnerandalawyerwhoindividuallyortogetherwithotherlawyerspossesses A  comparablemanagerialauthorityinalawfirmshallmakereasonableeffortstoensure * z thatthefirmhasineffectmeasuresgivingreasonableassurancethatthe_nonlawyer_s#X;XX2X;u#2X;XXX;  c conductiscompatiblewiththeseRules; L(#(# Ѐ0  (b)alawyerhavingdirectsupervisoryauthorityovera_nonlawyer_#X;XX2X;M#2X;XXX;Ԁshallmakereasonable    effortstoensurethattheperson'sconductiscompatiblewiththeseRules;and (#(# 0  (c)alawyershallberesponsiblefortheconductofa_nonlawyer_#X;XX2X;\#2X;XXX;Ԁiftheconductwouldbea   violationoftheseRulesifengagedinbyalawyerandif:r (#(# 0 ` (1)thelawyerordersor,withknowledgeofthespecificconduct,ratifiesthe D conductinvolved;or-}` (#` (# 0 `  ` (#` (# 0 ` (2)thelawyer:O` (#` (# 0 `  (_i_)isapartnerorhascomparable#X;XX2X;#2X;XXX;Ԁmanagerialauthorityinalawfirm,#X;XX2X; #2X;XXX;Ԁin0@("` (#` (# ! whichthepersonisemployedorhasdirectsupervisoryauthorityoverthe  @  @  @  @    _nonlawyer_#X;XX2X;= #,2X;XXX;Ԁand` (#` (#  `  (ii)knowsofthe_nonlawyer_s#X;XX2X;q #2X;XXX;Ԁconductatatimewhenits u  `  consequencescanbeavoidedormitigatedbutfailstotakereasonable ^  `  remedialaction. G L    COMMENT  j F  [1]Lawyersgenerallyemploy_nonlawyers_#X;XX2X;0 #2X;XXX;Ԁintheirpractice,includingsecretaries,  = investigators,lawstudentinterns,and_paraprofessionals_.Suchemployeesactforthelawyerin !&  renditionofthelawyer'sprofessionalservices.Alawyershouldgivesuchemployeesappropriate "! instructionandsupervisionconcerningtheethicalaspectsoftheiremployment,particularly #" regardingtheobligationnottodiscloseinformationrelatingtorepresentationoftheclient,and $# shouldberesponsiblefortheirworkproduct.Themeasuresemployedinsupervising_nonlawyers_#X;XX2X;#2X;XXX; z% $ shouldtakeaccountofthefactthattheydonothavelegaltrainingandarenotsubjectto c&!% professionaldiscipline. L'"&    _DEFINITIONAL_ԀCROSSREFERENCES )n$(   Firmand LawFirmSeeRule1.0(d) *A&*  KnowsSeeRule1.0(f) +*'+ ,Oav , ,  PartnerSeeRule1.0(h)   ReasonableSeeRule1.0(_i_)     #X;XX2X;#2X;XXX;    PROPOSEDRULE5.4  PROFESSIONALINDEPENDENCEOFALAWYER    il (a)Alawyerorlawfirmshallnotsharelegalfeeswitha_nonlawyer_,#X;XX2X;#2X;XXX;Ԁthat: n   (1)anagreementbyalawyerwiththelawyer'sfirm,partner,orassociatemay  @    provideforthepaymentofmoney,overareasonableperiodoftimeafterthe  ) y   lawyer'sdeath,tothelawyer'sestateortooneormorespecifiedpersons;  b 0  (2)alawyerwhopurchasesthepracticeofadeceased,disabled,ordisappearedlawyer  4  may,pursuanttotheprovisionsofRule1.17,paytotheestateorotherrepresentativeof    thatlawyertheagreed-uponpurchaseprice;#X;XX2X;#2X;XXX; (#(# 0  (3)alawyerorlawfirmmayinclude_nonlawyer_#X;XX2X;#2X;XXX;Ԁemployeesinacompensationor   retirementplan,eventhoughtheplanisbasedinwholeorinpartonaprofit-sharing q  arrangement;#X;XX2X;#2X;XXX;Z (#(#   (4)alawyermayshareacourtawardedfeewithaclientrepresentedinthematterfor ,| 0  whichthefeewasawardedorwithanonprofitorganizationwhichemployedorretained e thelawyerinthematterforwhichthefeewasawarded;#X;XX2X;#2X;XXX;N(#(#   (5)alawyerwhoisafulltimeemployeeofaclientmaysharealegalfeewiththe     clienttotheextentnecessarytoreimbursetheclientfortheactualcosttotheclientof     permittingthelawyertorepresentanotherclientwhilecontinuinginthefulltimeemploy    oftheclientwithwhomthefeewillbeshared;and    (6)alawyermaypaytoaregisterednonprofitintermediaryorganizationareferralfee ]   calculatedbyreferencetoareasonablepercentageofthefeepaidtothelawyerbythe F   clientreferredtothelawyerbytheintermediaryorganization. / (b)Alawyershallnotformapartnershipwitha_nonlawyer_#X;XX2X; #2X;XXX;Ԁifanyoftheactivitiesofthe  Q partnershipconsistofthepracticeoflaw.  : (c)Alawyershallnotpermitapersonwhorecommends,employs,orpaysthelawyertorender " ! legalservicesforanothertodirectorregulatethelawyer'sprofessionaljudgmentinrendering #" suchlegalservices. $# (d)Alawyershallnotpracticewithorintheformofaprofessionalcorporationorprofessional `&!% limitedliabilitycompanyauthorizedtopracticelawforaprofit,if: I'"&   (1)a_nonlawyer_#X;XX2X;#2X;XXX;Ԁownsanyinteresttherein,exceptthatafiduciaryrepresentativeofthe )k$( 0  estateofalawyermayholdthestockorownershipinterestofthelawyerfora  *T%) reasonabletimeduringadministration;or#X;XX2X;"#2X;XXX;*=&*(#(# 0  +&'+(#(#   (2)a_nonlawyer_#X;XX2X;##2X;XXX;Ԁisamemberofthegoverningboardoranofficerthereof;or  0   (#(#   (3)a_nonlawyer_#X;XX2X;$#2X;XXX;Ԁhastherighttodirectorcontroltheprofessionaljudgmentofalawyer.     COMMENT  T ;&  [1]TheprovisionsofthisRulelargelyexpressthetraditionallimitationsonsharingfees ' w andthecoownershipoflawpracticesby_nonlawyers_#X;XX2X;%#2X;XXX;.Theselimitationsaretoprotectthe  ` lawyer'sprofessionalindependenceofjudgment.Therulerecognizesseveralexceptionstothe  I generalprohibitionagainstfeesplittingwith_nonlawyers_#X;XX2X;j'#2X;XXX;.Thesearesituationsinwhichthereis  2  littleriskofharmresultingfromlayattemptstointerferewiththeindependentprofessional    judgmentofthelawyer.     [2]Wheresomeoneotherthantheclientpaysthelawyer'sfeeorsalary,orrecommends   employmentofthelawyer,thatarrangementdoesnotmodifythelawyer'sobligationtothe o  client.Asstatedinparagraph(c),sucharrangementsmustnotinterferewiththelawyer's X  professionaljudgment. A    _DEFINITIONAL_ԀCROSSREFERENCES c  2+ Firmand LawFirmSeeRue1.0(d) 6  PartnerSeeRule1.0(h)   ReasonableSeeRule1.0(_i_)     z,#X;XX2X;(#2X;XXX;   #X;XX2X;,#2X;XXX;f  g    PROPOSEDRULE5.5  UNAUTHORIZEDPRACTICEOFLAW   K- W-̀Alawyershallnot: m   (a)practicelawinajurisdictionwheredoingsoviolatestheregulationofthelegal ?    professioninthatjurisdiction;or ( x   (b)assistapersonintheperformanceofactivitythatconstitutestheunauthorized   J   practiceoflaw.  3  #X;XX2X;-#   `     h COMMENT      [1]Thedefinitionofthepracticeoflawisestablishedbylawandvariesfromone   jurisdictiontoanother.Whateverthedefinition,limitingthepracticeoflawtomembersofthe q  barprotectsthepublicagainstrenditionoflegalservicesbyunqualifiedpersons. Z    [2]Paragraph(b)doesnotprohibitalawyerfromemployingtheservicesof ,| _paraprofessionals_Ԁanddelegatingfunctionstothem,solongasthelawyersupervisesthe e delegatedworkandretainsresponsibilityfortheirwork.SeeRule5.3.Likewise,itdoesnot N prohibitlawyersfromprovidingprofessionaladviceandinstructionto_nonlawyers_2X;XXX;Ԁwhose 7 employmentrequiresknowledgeoflaw;forexample,claimsadjusters,employeesoffinancialor   commercialinstitutions,socialworkers,accountantsandpersonsemployedingovernment   agencies.Inaddition,alawyermaycounsel_nonlawyers_#X;XX2X;23#2X;XXX;Ԁwhowishtoproceedprose.    [3]Alawyerdoesnotassisttheunauthorizedpracticeoflawifheorsheadvisesaclient t withrespecttowhetheranactivityconstitutestheunauthorizedpracticeoflaw,acceptsan ] unsolicitedreferralofaclientfromapersonwhosepriorinvolvementinthematterconstituted F theunauthorizedpracticeoflaw,ordefendsapersonagainstchargesthatheorshehasengaged / intheunauthorizedpracticeoflaw. h #X;XX2X;4#2X;XXX;   _DEFINITIONAL_ԀCROSSREFERENCES  :  l70  None." !(#(# #X;XX2X;J7#2X;XXX;f  g  $#     PROPOSEDRULE5.6  RESTRICTIONSONRIGHTTOPRACTICE   ~8  8 Alawyershallnotparticipateinofferingormaking: X   (a)apartnershiporemploymentagreementthatrestrictstherightofalawyertopractice * z   afterterminationoftherelationship,exceptanagreementconcerningbenefitsupon  c   retirement;or  L   (b)anagreementinwhicharestrictiononthelawyer'srighttopracticeispartofthe      settlementofacontroversybetweenprivateparties.      COMMENT    a;    [1]Anagreementrestrictingtherightofalawyertopracticeafterleavingafirmnotonly \  limitsthelawyersprofessionalautonomy,butalsolimitsthefreedomofclientstochoosea E lawyer.Paragraph(a)prohibitssuchagreementsexceptforrestrictionsincidenttoprovisions .~ concerningretirementbenefitsforservicewiththefirm. g   [2]Paragraph(b)prohibitsalawyerfromagreeingnottorepresentotherpersonsin 9 connectionwithsettlingaclaimonbehalfofaclient. "   [3]ThisRuledoesnotapplytoprohibitrestrictionsthatmaybeincludedinthetermsof  thesaleofalawpracticepursuanttoRule1.17.     _DEFINITIONAL_ԀCROSSREFERENCES _  >  None. 2    ?#X;XX2X;28#2X;XXX;f  g   U     PROPOSEDRULE5.7  RESPONSIBILITIESREGARDINGLAWRELATEDSERVICES   @  @ (a)AlawyershallbesubjecttotheRulesofProfessionalConductwithrespecttotheprovision n oflaw-relatedservices,asdefinedinparagraph(b),ifthelaw-relatedservicesareprovided: W   (1)bythelawyerincircumstancesthatarenotdistinctfromthelawyer'sprovisionof ) y   legalservicestoclients;or  b 0  (2)byaseparateentitycontrolledbythelawyerindividuallyorwithothersifthelawyer  4  failstotakereasonablemeasurestoassurethatapersonobtainingthelaw-related    servicesknowsthattheservicesoftheseparateentityarenotlegalservicesandthatthe   protectionsoftheclient-lawyerrelationshipdonotexist. (#(# (b)Theterm"law-relatedservices"denotesservicesthatmightreasonablybeperformedin q  conjunctionwithandinsubstancearerelatedtotheprovisionoflegalservices,andthatarenot Z  prohibitedasunauthorizedpracticeoflawwhenprovidedbya_nonlawyer_.#X;XX2X;?#2X;XXX; C    COMMENT f  E  [1]Whenalawyerperformslaw-relatedservicesorcontrolsanorganizationthatdoesso, 9 thereexiststhepotentialforethicalproblems.Principalamongtheseisthepossibilitythatthe " personforwhomthelaw-relatedservicesareperformedfailstounderstandthattheservicesmay   notcarrywiththemtheprotectionsnormallyaffordedaspartoftheclient-lawyerrelationship.  Therecipientofthelaw-relatedservicesmayexpect,forexample,thattheprotectionofclient  confidences,prohibitionsagainstrepresentationofpersonswithconflictinginterests,and v obligationsofalawyertomaintainprofessionalindependenceapplytotheprovisionof _ law-relatedserviceswhenthatmaynotbethecase. H   [2]Rule5.7appliestotheprovisionoflaw-relatedservicesbyalawyerevenwhenthe j lawyerdoesnotprovideanylegalservicestothepersonforwhomthelaw-relatedservicesare  S performed.TheRuleidentifiesthecircumstancesinwhichalloftheRulesofProfessional  < Conductapplytotheprovisionoflaw-relatedservices.Evenwhenthosecircumstancesdonot !%  exist,however,theconductofalawyerinvolvedintheprovisionoflaw-relatedservicesis "! subjecttothoseRulesthatapplygenerallytolawyerconduct,regardlessofwhethertheconduct #" involvestheprovisionoflegalservices.See,e.g.,Rule8.4. $#   [3]Whenlaw-relatedservicesareprovidedbyalawyerundercircumstancesthatarenot b&!% distinctfromthelawyer'sprovisionoflegalservicestoclients,thelawyerinprovidingthe K'"& law-relatedservicesmustadheretotherequirementsoftheRulesofProfessionalConductas 4(#' providedinRule5.7(a)(1). )m$(   [4]Law-relatedservicesalsomaybeprovidedthroughanentitythatisdistinctfromthat *?&* throughwhichthelawyerprovideslegalservices.Ifthelawyerindividuallyorwithothershas +('+ controlofsuchanentity'soperations,theRulerequiresthelawyertotakereasonablemeasures  toassurethateachpersonusingtheservicesoftheentityknowsthattheservicesprovidedbythe  entityarenotlegalservicesandthattheRulesofProfessionalConductthatrelatetothe  client-lawyerrelationshipdonotapply.Alawyer'scontrolofanentityextendstotheabilityto k directitsoperation.Whetheralawyerhassuchcontrolwilldependuponthecircumstancesof T theparticularcase. =    [5]Whenaclient-lawyerrelationshipexistswithapersonwhoisreferredbyalawyerto  _ aseparatelaw-relatedserviceentitycontrolledbythelawyer,individuallyorwithothers,the  H lawyermustcomplywithRule1.8(a).  1    [6]Intakingthereasonablemeasuresreferredtoinparagraph(a)(2)toassurethata   personusinglaw-relatedservicesunderstandsthepracticaleffectorsignificanceofthe   inapplicabilityoftheRulesofProfessionalConduct,thelawyershouldcommunicatetothe   personreceivingthelaw-relatedservices,inamannersufficienttoassurethattheperson n  understandsthesignificanceofthefact,thattherelationshipofthepersontothebusinessentity W  willnotbeaclient-lawyerrelationship.Thecommunicationshouldbemadebeforeenteringinto @ anagreementforprovisionoforprovidinglaw-relatedservices,andpreferablyshouldbein )y writing. b   [7]Theburdenisuponthelawyertoshowthatthelawyerhastakenreasonablemeasures 4 underthecircumstancestocommunicatethedesiredunderstanding.Forinstance,asophisticated  useroflaw-relatedservices,suchasapubliclyheldcorporation,mayrequirealesserexplanation  thansomeoneunaccustomedtomakingdistinctionsbetweenlegalservicesandlaw-related  services,suchasanindividualseekingtaxadvicefromalawyer-accountantorinvestigative  servicesinconnectionwithalawsuit. q   [8]Regardlessofthesophisticationofpotentialrecipientsoflaw-relatedservices,a C lawyershouldtakespecialcaretokeepseparatetheprovisionoflaw-relatedandlegalservicesin ,| ordertominimizetheriskthattherecipientwillassumethatthelaw-relatedservicesarelegal e services.Theriskofsuchconfusionisespeciallyacutewhenthelawyerrendersbothtypesof N serviceswithrespecttothesamematter.Undersomecircumstancesthelegalandlaw-related  7 servicesmaybesocloselyentwinedthattheycannotbedistinguishedfromeachother,andthe !   requirementofdisclosureandconsultationimposedbyparagraph(a)(2)oftheRulecannotbe " ! met.Insuchacasealawyerwillberesponsibleforassuringthatboththelawyer'sconductand, #" totheextentrequiredbyRule5.3,thatof_nonlawyer_Ԁ#X;XX2X;E#2X;XXX;employeesinthedistinctentitywhichthe $# lawyercontrolscompliesinallrespectswiththeRulesofProfessionalConduct. t% $   [9]Abroadrangeofeconomicandotherinterestsofclientsmaybeservedbylawyers' F'"& engaginginthedeliveryoflaw-relatedservices.Examplesoflaw-relatedservicesinclude /(#' providingtitleinsurance,financialplanning,accounting,trustservices,realestatecounseling, )h$( legislativelobbying,economicanalysis,socialwork,psychologicalcounseling,taxpreparation, *Q%) andpatent,medicalorenvironmentalconsulting. *:&*  +#'+   [10]Whenalawyerisobligedtoaccordtherecipientsofsuchservicestheprotectionsof  thoseRulesthatapplytotheclient-lawyerrelationship,thelawyermusttakespecialcaretoheed  theproscriptionsoftheRulesaddressingconflictofinterest(Rules1.7through1.11,especially  Rules1.7(b)and1.8(a),(b),and(f)),andtoscrupulouslyadheretotherequirementsofRule1.6 k relatingtodisclosureofconfidentialinformation.Thepromotionofthelaw-relatedservices T mustalsoinallrespectscomplywithRules7.1through7.3,dealingwithadvertisingand =  solicitation.Inthatregard,lawyersshouldtakespecialcaretoidentifytheobligationsthatmay & v beimposedasaresultofajurisdiction'sdecisionallaw.  _   [11]WhenthefullprotectionsofalloftheRulesofProfessionalConductdonotapplyto  1  theprovisionoflaw-relatedservices,principlesoflawexternaltotheRules,forexample,the    lawofprincipalandagent,governthelegaldutiesowedtothosereceivingtheservices.Those   otherlegalprinciplesmayestablishadifferentdegreeofprotectionfortherecipientwithrespect   toconfidentialityofinformation,conflictsofinterestandpermissiblebusinessrelationshipswith   clients.SeealsoRule8.4(Misconduct). n     _DEFINITIONAL_ԀCROSSREFERENCES @  e KnowsSeeRule1.0(f) c  Reasonablyand ReasonableSeeRule1.0(_i_) L #X;XX2X;n\#2X;XXX;       CHAPTER6  PUBLICSERVICE   f  rafcg   PROPOSEDRULE6.1 p PROBONO_PUBLICO_ԀREPRESENTATION rag Z g Alawyershouldrenderprobono_publico_Ԁlegalservices.Infulfillingthisresponsibility,the . ~ lawyershould:  g   (a)provideasubstantialportionofsuchserviceswithoutfeeorexpectationoffeeto:  9     ` (1)personsoflimitedmeans;or        ` (2)charitable,religious,civic,community,governmentalandeducational       ` organizationsinmatterswhicharedesignedprimarilytoaddresstheneedsof v     ` personsoflimitedmeans;and _      (b)provideanyadditionalservicesthrough: 1 0   (#(#    ` (1)deliveryoflegalservicesatnofeeorsubstantiallyreducedfeetoindividuals, S    ` groups ororganizationsseekingtosecureorprotectcivilrights,civillibertiesor <    ` publicrights,orcharitablereligious,civic,community,governmentaland %    ` educationalorganizationsinmattersinfurtheranceoftheirorganizational      ` purposes,wherethepaymentofstandardlegalfeeswouldsignificantlydeplete     ` theorganization'seconomicresourcesorwouldbeotherwiseinappropriate;  0   (#(#    ` (2)deliveryoflegalservicesatasubstantiallyreducedfeetopersonsoflimited b    ` means;or K    ` (3)participationinactivitiesforimprovingthelaw,thelegalsystemorthelegal m    ` profession.  V   (c)Inadditiontoprovidingprobonolegalservices,alawyershouldvoluntarily  !(    contributefinancialsupporttoorganizationsthatprovidelegalservicestopersonsof "!   limitedmeans. #"    COMMENT  |% $ gq  [1]Everylawyer,regardlessofprofessionalprominenceorprofessionalworkload,hasa O'"& responsibilitytoprovidelegalservicestothoseunabletopay,andpersonalinvolvementinthe 8(#' problemsofthedisadvantagedcanbeoneofthemostrewardingexperiencesinthelifeofa !)q$( lawyer.Theactualamountofprobonolegalservicealawyerprovidesislefttothesound  *Z%) professionaljudgmentofeachlawyer,buteverylawyershouldrenderareasonableamountof *C&* probonolegalserviceeachyear.Servicescanbeperformedincivilmattersorincriminalor +,'+ quasi-criminalmattersforwhichthereisnogovernmentobligationtoprovidefundsforlegal  representation,suchaspost-convictiondeathpenaltyappeals.    [2]Paragraphs(a)(1)and(2)recognizethecriticalneedforlegalservicesthatexists k amongpersonsoflimitedmeansbyprovidingthatasubstantialmajorityofthelegalservices T renderedannuallytothedisadvantagedbefurnishedwithoutfeeorexpectationoffee.Legal =  servicesundertheseparagraphsconsistofafullrangeofactivities,includingindividualand & v classrepresentation,theprovisionoflegaladvice,legislativelobbying,administrativerule  _ makingandtheprovisionoffreetrainingor_mentoring_Ԁtothosewhorepresentpersonsoflimited  H means.Thevarietyoftheseactivitiesshouldfacilitateparticipationbygovernmentlawyers,even  1  whenrestrictionsexistontheirengagingintheoutsidepracticeoflaw.        [3]Personseligibleforlegalservicesunderparagraphs(a)(1)and(2)arethosewho   qualifyforparticipationinprogramsfundedbytheLegalServicesCorporationandthosewhose   incomesandfinancialresourcesareslightlyabovetheguidelinesutilizedbysuchprogramsbut, n  nevertheless,cannotaffordcounsel.Legalservicescanberenderedtoindividualsortoorganiza W  tionssuchashomelessshelters,batteredwomen'scentersandfoodpantriesthatservethoseof @ limitedmeans.Theterm"governmentalorganizations"includes,butisnotlimitedto,public )y protectionprogramsandsectionsofgovernmentalorpublicsectoragencies. b   [4]Becauseservicemustbeprovidedwithoutfeeorexpectationoffee,theintentofthe 4 lawyertorenderfreelegalservicesisessentialfortheworkperformedtofallwithinthemeaning  ofparagraphs(a)(1)and(2).Accordingly,servicesrenderedcannotbeconsideredprobonoifan  anticipatedfeeisuncollected,buttheawardofstatutoryattorneysfeesinacaseoriginally  acceptedasprobonowouldnotdisqualifysuchservicesfrominclusionunderthissection.  Lawyerswhodoreceivefeesinsuchcasesareencouragedtocontributeanappropriateportion q ofsuchfeestoorganizationsorprojectsthatbenefitpersonsoflimitedmeans.Insomecases,a Z feepaidbythegovernmenttoanappointedlawyerwillbesolowrelativetowhatwouldhave C beenareasonablefeeasinpostconvictiondeathpenaltycasesthatthelawyershouldbe ,| creditedforthepurposeofthisruleashavingrenderedtheserviceswithoutfee. e   [5]Whileitispossibleforalawyertofulfilltheannualresponsibilitytoperformpro  7 bonoservicesexclusivelythroughactivitiesdescribedinparagraphs(a)(1)and(2),totheextent !   thatanyhoursofserviceremainedunfulfilled,theremainingcommitmentcanbemetinavariety " ! ofwaysassetforthinparagraph(b).Constitutional,statutoryorregulatoryrestrictionsmay #" prohibitorimpedegovernmentandpublicsectorlawyersandjudgesfromperformingservices $# theprobonoservicesoutlinedinparagraphs(a)(1)and(2).Accordingly,wherethose t% $ restrictionsapply,governmentandpublicsectorlawyersandjudgesmayfulfilltheirprobono ]&!% responsibilitybyperformingservicesoutlinedinparagraph(b). F'"&   [6]Paragraph(b)(1)includestheprovisionofcertaintypesoflegalservicestothose )h$( whoseincomesandfinancialresourcesplacethemabovelimitedmeans.Italsopermitsthepro *Q%) bonoattorneytoacceptasubstantiallyreducedfeeforservices.Examplesofthetypesofissues *:&* thatmaybeaddressedunderthisparagraphincludeFirstAmendmentclaims,TitleVIIclaims +#'+ andenvironmentalprotectionclaims.Additionally,awiderangeoforganizationsmaybe  represented,includingsocialservice,medicalresearch,culturalandreligiousgroups.    [7]Paragraph(b)(2)coversinstancesinwhichattorneysagreetoandreceiveamodest k feeforfurnishinglegalservicestopersonsoflimitedmeans.Participationin_judicare_Ԁprograms T andacceptanceofcourtappointmentsinwhichthefeeissubstantiallybelowalawyer'susual =  rateareencouragedunderthissection. & v   [8]Paragraph(b)(3)recognizesthevalueoflawyersengaginginactivitiesthatimprove  H thelaw,thelegalsystemorthelegalprofession.Servingonbarassociationcommittees,serving  1  onboardsofprobonoorlegalservicesprograms,takingpartinLawDayactivities,actingasa    continuinglegaleducationinstructor,amediatororanarbitratorandengaginginlegislative   lobbyingtoimprovethelaw,thelegalsystemortheprofessionareafewexamplesofthemany   activitiesthatfallwithinthisparagraph.     [9]Becausetheprovisionofprobonoservicesisaprofessionalresponsibility,itisthe W  individualethicalcommitmentofeachlawyer.Nevertheless,theremaybetimeswhenitisnot @ feasibleforalawyertoengageinprobonoservices.Atsuchtimesalawyermaydischargethe )y probonoresponsibilitybyprovidingfinancialsupporttoorganizationsprovidingfreelegal b servicestopersonsoflimitedmeans.Suchfinancialsupportshouldbereasonablyequivalentto K thevalueofthehoursofservicethatwouldhaveotherwisebeenprovided.Inaddition,attimesit 4 maybemorefeasibletosatisfytheprobonoresponsibilitycollectively,asbyafirm'saggregate  probonoactivities.  __  [10]Becausetheeffortsofindividuallawyersarenotenoughtomeettheneedforfree  legalservicesthatexistsamongpersonsoflimitedmeans,thegovernmentandtheprofession q haveinstitutedadditionalprogramstoprovidethoseservices.Everylawyershouldfinancially Z supportsuchprograms,inadditiontoeitherprovidingdirectprobonoservicesormaking C financialcontributionswhenprobonoserviceisnotfeasible. ,|   [11]f  g f  g BecausethisRulestatesanaspirationratherthanaduty,f  g Ԁf  g f  g f  g itisnotintendedtobe N enforcedthroughdisciplinaryprocess.  7    _DEFINITIONAL_ԀCROSSREFERENCES " !  Ñ Substantiallyand SubstantialSeeRule1.0(l) $# #X;XX2X;f#2X;XXX; f  g  _&!%    PROPOSEDRULE6.2  ACCEPTINGCOURTAPPOINTMENTS   ov Alawyershallnotseektoavoidappointmentbyatribunaltorepresentapersonexceptforgood n cause,suchas: W (a)representingtheclientislikelytoresultinviolationoftheRulesofProfessional ) y Conductorotherlaw;  b (b)representingtheclientislikelytoresultinanunreasonablefinancialburdenonthe  4  lawyer;or    (c)theclientorthecauseissorepugnanttothelawyerastobelikelytoimpairthe   client-lawyerrelationshiporthelawyer'sabilitytorepresenttheclient.   *   COMMENT  [  C  [1]Alawyerordinarilyisnotobligedtoacceptaclientwhosecharacterorcausethe .~ lawyerregardsasrepugnant.Thelawyer'sfreedomtoselectclientsis,however,qualified.All g lawyershavearesponsibilitytoassistinprovidingprobono_publico_service.SeeRule6.1.An P individuallawyerfulfillsthisresponsibilitybyacceptingafairshareofunpopularmattersor 9 indigentorunpopularclients.Alawyermayalsobesubjecttoappointmentbyacourttoserve " unpopularclientsorpersonsunabletoaffordlegalservices.      AppointedCounsel   G  [2]Forgoodcausealawyermayseektodeclineanappointmenttorepresentaperson ` whocannotaffordtoretaincounselorwhosecauseisunpopular.Goodcauseexistsifthe I lawyercouldnothandlethemattercompetently,seeRule1.1,orifundertakingthe 2 representationwouldresultinanimproperconflictofinterest,forexample,whentheclientor k thecauseissorepugnanttothelawyerastobelikelytoimpairtheclient-lawyerrelationshipor  T thelawyer'sabilitytorepresenttheclient.Alawyermayalsoseektodeclineanappointmentif  = acceptancewouldbeunreasonablyburdensome,forexample,whenitwouldimposeafinancial !&  sacrificesogreatastobeunjust. "!   [3]Anappointedlawyerhasthesameobligationstotheclientasretainedcounsel, $# includingtheobligationsofloyaltyandconfidentiality,andissubjecttothesamelimitationson z% $ theclient-lawyerrelationship,suchastheobligationtorefrainfromassistingtheclientin c&!% violationoftheRules. L'"&    _DEFINITIONAL_ԀCROSSREFERENCES )n$(  t TribunalSeeRule1.0(m) *A&*  UnreasonableSeeRule1.0(_i_) +*'+ Ї#X;XX2X;# 2X;XXX;   PROPOSEDRULE6.3  MEMBERSHIPINLEGALSERVICESORGANIZATION    ovȟ =;XXdXXd=Alawyermayserveasadirector,officerormemberofalegalservicesorganization,apartfrom n thelawfirminwhichthelawyerpractices,notwithstandingthattheorganizationservespersons W havinginterestsadversetoaclientofthelawyer.Thelawyershallnotknowinglyparticipateina @  decisionoractionoftheorganization: ) y   (a)ifparticipatinginthedecisionoractionwouldbeincompatiblewiththelawyer's  K   obligationstoaclientunderRule1.7;or  4    (b)wherethedecisionoractioncouldhaveamaterialadverseeffectonthe      representation ofaclientoftheorganizationwhoseinterestsareadversetoaclientofthe     lawyer.      COMMENT  Z  9  [1]Lawyersshouldbeencouragedtosupportandparticipateinlegalservice -} organizations.Alawyerwhoisanofficeroramemberofsuchanorganizationdoesnotthereby f haveaclient-lawyerrelationshipwithpersonsservedbytheorganization.However,thereis O potentialconflictbetweentheinterestsofsuchpersonsandtheinterestsofthelawyer'sclients.If 8 thepossibilityofsuchconflictdisqualifiedalawyerfromservingontheboardofalegalservices ! organization,theprofession'sinvolvementinsuchorganizationswouldbeseverelycurtailed.     [2]Itmaybenecessaryinappropriatecasestoreassureaclientoftheorganizationthat  therepresentationwillnotbeaffectedbyconflictingloyaltiesofamemberoftheboard. u Established,writtenpoliciesinthisrespectcanenhancethecredibilityofsuchassurances. ^    _DEFINITIONAL_ԀCROSSREFERENCES  0  KnowinglySeeRule1.0(f)  S  LawFirmSeeRule1.0(d)  <  MaterialSeeRule1.0(g) !%  A;XXdXXdgA  #X;XX2X;#2X;XXX;  #"     PROPOSEDRULE6.4  LAWREFORMACTIVITIESAFFECTINGCLIENTINTERESTS   a ovm =;XXdXXd=Alawyermayserveasadirector,officerormemberofanorganizationinvolvedinreformofthe n laworitsadministrationnotwithstandingthatthereformmayaffecttheinterestsofaclientof W thelawyer.Whenthelawyerknowsthattheinterestsofaclientmaybemateriallybenefittedby @  adecisioninwhichthelawyerparticipates,thelawyershalldisclosethatfactbutneednot ) y identifytheclient.  b    COMMENT   K N  Lawyersinvolvedinorganizationsseekinglawreformgenerallydonothavea    client-lawyerrelationshipwiththeorganization.Otherwise,itmightfollowthatalawyercould   notbeinvolvedinabarassociationlawreformprogramthatmightindirectlyaffectaclient.See   alsoRule1.2(B).Forexample,alawyerspecializinginantitrustlitigationmightberegardedas   disqualifiedfromparticipatingindraftingrevisionsofrulesgoverningthatsubject.In r  determiningthenatureandscopeofparticipationinsuchactivities,alawyershouldbemindful [  ofobligationstoclientsunderotherRules,particularlyRule1.7.Alawyerisprofessionally D obligatedtoprotecttheintegrityoftheprogrambymakinganappropriatedisclosurewithinthe -} organizationwhenthelawyerknowsaprivateclientmightbemateriallybenefitted. f A;XXdXXdA   _DEFINITIONAL_ԀCROSSREFERENCES 8  ѱ KnowsSeeRule1.0(f)    MateriallySeeRule1.0(g)  #X;XX2X;*#2X;XXX;f  g     @&CHAPTER7  @  INFORMATIONABOUTLEGALSERVICES   e@"  PROPOSEDRULE7.1 n Ѐ@COMMUNICATIONSCONCERNINGALAWYERSSERVICES eɳ  X Alawyershallnotmakeafalseormisleadingcommunicationaboutthelawyer,thelawyers + { services,thelawyerschargesforfeesorcosts,orthelawasrelatestotheservicesthelawyer  d willprovide.Acommunicationisfalseormisleadingifit:  M   (a)containsamaterialmisrepresentationoffactorlaw,omitsafactnecessarytomake      thestatementconsideredasawholenotmateriallymisleading;or     (b)islikelytocreateanunjustifiedexpectationaboutresultsthelawyercanachieve,or     statesorimpliesthatthelawyercanachieveresultsbymeansthatviolatetheRulesof s    ProfessionalConductorotherlaw;or \    (c)comparesthelawyer'sservicesf  g orfeesf  g withotherlawyersservicesf  g Ԁorfeesf  g ,unlessthef  g  .~   f  g comparisonf  g canbefactuallysubstantiatedf  g f  g .f  g   f   p g  g @' COMMENT  9   [1]ThisRulegovernsallcommunicationsaboutalawyer'sservices,including   advertisingpermittedbyRule7.2andsolicitationsdirectedtospecificrecipientspermittedby  Rule7.3.Whatevermeansareusedtomakeknownalawyer'sservices,statementsaboutthem  shouldbetruthful.Theprohibitioninparagraph(b)ofstatementsthatmaycreatean"unjustified w expectation"wouldordinarilyprecludeadvertisementsaboutresultsobtainedonbehalfofa ` client,suchastheamountofadamageawardorthelawyer'srecordinobtainingfavorable I verdicts,andadvertisementscontainingclientendorsements.Suchinformationmaycreatethe 2 unjustifiedexpectationthatsimilarresultscanbeobtainedforotherswithoutreferencetothe k specificfactualandlegalcircumstances.f  g   T    _DEFINITIONAL_ԀCROSSREFERENCES !&    Consultand ConsultationSeeRule1.0(c) #"  Materialand MateriallySeeRule1.0(g) $#  ReasonableSeeRule1.0(_i_) {% $ #X;XX2X;Ѳ#2X;XXX;  M'"&   @"PROPOSEDRULE7.2    ADVERTISINGANDOTHERCOMMUNICATIONSNOTDIRECTEDTO  SPECIFICALLYIDENTIFIEDRECIPIENTS    ez(a)Subjecttotherequirementsofparagraphs(b)through(e)belowandRules7.1,7.4,and7.5,a W lawyermayadvertiseprofessionalservicesorseekreferralsthroughpublicmedia,suchasa @  telephonedirectory,legaldirectory,newspaperorotherperiodical,outdooradvertising,radioor ) y television,worldwidewebsite,orotherformsofcommunicationnotdirectedtospecifically  b identifiedrecipients.  K (b)Withinthreedaysafterthepublication,distribution,ordispatchofanadvertisementora    communicationnotdirectedtoaspecificallyidentifiedrecipient,thelawyershallfileacopyof   theadvertisementorcommunicationwiththeBoardofProfessionalResponsibility,provided,   however,thatsuchfilingisnotrequiredforanycommunicationthatonlyincludesthename,   addressandprofessionofthelawyerorhasbeenexemptedfromthefilingrequirementbythe q  BoardofProfessionalResponsibility. Z  (1)Ifcommunicationswhicharesimilarinallmaterialrespectsarepublishedor  ,| displayedmorethanonceordistributedtomorethanoneperson,thelawyermaycomply e withthisrequirementbyfilingasinglecopyofthecommunication. N (2)IfacommunicationwhichhaspreviouslybeenfiledwiththeBoardischangedinany   materialrespect,noticeofthechangesshallbefiledwiththeBoardwithinthreedays   afteritspublication,distribution,ordispatch.  (c)Alawyershallnotgiveanythingofvaluetoapersonforrecommendingorpublicizingthe t lawyer'sservicesexceptthatalawyermay: ]   (1)paythereasonablecostsofadvertisementsorothercommunicationspermittedbythis /   Rule,Rule7.3or7.5; h 0  (2)paytheusualchargesofaregisteredintermediaryorganizationaspermittedbyRule  : 7.6;!# (#(# 0  (3)payasponsorshipfeeormakeacontributiontoacharitableorothernonprofit #" organizationinreturnforwhichthelawyerwillbegivenpublicityasalawyer;$#(#(# 0   (#(#   (4)payforalawpracticeinaccordancewithRule1.17. `&!% (d)Exceptforcommunicationsbyregisteredintermediaryorganizations,anycommunication 2(#' subjecttothisRuleorRule7.3(b)shallincludethenameandofficeaddressofatleastone )k$( lawyerorlawfirmassumingresponsibilityforthecommunication. *T%)     +''+ COMMENT       [1]ThisRulegovernsgeneraladvertisingthroughpublicmediaandother  communicationsthatarenotdirectedtospecificallyidentifiedindividuals.TheRule l encompassesallpossiblemediathroughwhichsuchcommunicationsmaybedirected,including U print,broadcasting,andcomputerdriventechnology.Communicationsthataredirectedto >  specificallyidentifiedrecipientsaregovernedbyRule7.3. ' w   [2]Toassistthepublicinobtaininglegalservices,lawyersshouldbeallowedtomake  I knowntheirservicesnotonlythroughreputationbutalsothroughorganizedinformation  2  campaignsintheformofadvertising.Advertisinginvolvesanactivequestforclients,contraryto    thetraditionthatalawyershouldnotseekclientele.However,thepublic'sneedtoknowabout   legalservicescanbefulfilledinpartthroughadvertising.Thisneedisparticularlyacuteinthe   caseofpersonsofmoderatemeanswhohavenotmadeextensiveuseoflegalservices.The   interestinexpandingpublicinformationaboutlegalservicesoughttoprevailoverconsiderations o  oftradition.Nevertheless,advertisingbylawyersentailstheriskofpracticesthataremisleading X  oroverreaching. A   [3]ThisRulepermitspublicdisseminationofinformationconcerningalawyer'snameor c firmname,addressandtelephonenumber;thekindsofservicesthelawyerwillundertake;the L basisonwhichthelawyer'sfeesaredetermined,includingpricesforspecificservicesand 5 paymentandcreditarrangements;alawyer'sforeignlanguageability;namesofreferencesand,  withtheirconsent,namesofclientsregularlyrepresented;andotherinformationthatmight  invitetheattentionofthoseseekinglegalassistance.    [4]Questionsofeffectivenessandtasteinadvertisingaremattersofspeculationand r subjectivejudgment.Somejurisdictionshavehadextensiveprohibitionsagainsttelevision [ advertising,againstadvertisinggoingbeyondspecifiedfactsaboutalawyer,oragainst D "undignified"advertising.Televisionisnowoneofthemostpowerfulmediaforgetting -} informationtothepublic,particularlypersonsoflowandmoderateincome;prohibitingtelevi f sionadvertising,therefore,wouldimpedetheflowofinformationaboutlegalservicestomany O sectorsofthepublic.Limitingtheinformationthatmaybeadvertisedhasasimilareffectand  8 assumesthatthebarcanaccuratelyforecastthekindofinformationthatthepublicwouldregard !!  asrelevant. " !   [5]NeitherthisRulenorRule7.3prohibitscommunicationsauthorizedbylaw,suchas $# noticetomembersofaclassinclassactionlitigation. u% $    RecordofAdvertising  G'"&     [6]Paragraph(b)requiresthatalawyerfileacopyofanyadvertisementorother )j$( communicationgovernedbythisRulewiththeBoardofProfessionalResponsibilitywithinthree *S%) daysafterpublication,distribution,ordispatch.Alawyermaycomplywiththefiling *<&* requirementofparagraph(b)bycomplyingwithguidelinesthatmaybeadoptedbytheBoardof +%'+ ProfessionalResponsibilityconcerningappropriatemethodsbywhichalawyermayprovidethe  Boardwithnoticeofcommunicationsmadebywayofwebsites,email,orotherelectronic  formsofcommunicationorofchangestosuchcommunications.ThisRuledoesnotrequirethat  communicationsbesubjecttoreviewpriortodissemination,althoughalawyerisfreetorequest k suchareviewfromtheBoard.ThisRuleprovidestheBoardanopportunitytomonitorlawyer T communicationstothepublicwhilenotplacinganysortofpriorrestraintonpublication. =  @@ @  PayingOtherstoRecommendaLawyer   _   [7]AlawyerisallowedtopayforadvertisingpermittedbythisRuleandforthe  2  purchaseofalawpracticeinaccordancewiththeprovisionsofRule1.17,butotherwiseisnot    permittedtopayanotherpersonforchannelingprofessionalwork.Thisrestrictiondoesnot   preventanorganizationorpersonotherthanthelawyerfromadvertisingorrecommendingthe   lawyer'sservices.Thus,alegalaidagencyorprepaidlegalservicesplanmaypaytoadvertise   legalservicesprovidedunderitsauspices.Likewise,alawyermayparticipateinnot-for-profit o  lawyerreferralprogramsandpaytheusualfeeschargedbysuchprograms.Paragraph(c)does X  notprohibitpayingregularcompensationtoanassistant,suchasasecretary,toprepare A communicationspermittedbythisRule. *z    _DEFINITIONAL_ԀCROSSREFERENCES L   LawFirmSeeRule1.0(d)   MaterialSeeRule1.0(g)   ReasonableSeeRule1.0(_i_)   #X;XX2X;C#2X;XXX;  @" PROPOSEDRULE7.3    @@SOLICITATIONANDOTHERCOMMUNICATIONSDIRECTEDTO  SPECIFICALLYIDENTIFIEDRECIPIENTS m  u (a)Ifasignificantmotiveforthesolicitationisthelawyerspecuniarygain,alawyershallnot A  solicitprofessionalemploymentbyinperson,livetelephone,orrealtimeelectroniccontact * z fromaprospectiveclientwhohasnotinitiatedthecontactwiththelawyerandwithwhomthe  c lawyerhasnofamilyorpriorprofessionalrelationship.  L (b)Alawyershallnotsolicitprofessionalemploymentbyinperson,livetelephone,orrealtime    electroniccontact,orbyawriting,recording,telegram,facsimile,computertransmissionor   othermodeofcommunicationdirectedtoaspecificallyidentifiedrecipientwhohasnotinitiated   thecontactwiththelawyerif:       (1)thepersonsolicitedhasmadeknowntothelawyeradesirenottobecontacted [    bythe ` lawyer; D   (2)thecommunicationconstitutesoverreaching,coercion,duress,harassment,undue f   influence,intimidation,orfraud;or O   (3)asignificantmotiveforthesolicitationisthelawyerspecuniarygainandthe  !   communicationconcernsanactionforpersonalinjury,worker'scompensationor      wrongfuldeathorotherwiserelatestoanaccidentordisasterinvolvingthepersonto    whomthecommunicationisaddressedoramemberofthatperson'sfamily,unlessthe    accidentordisasteroccurredmorethan30dayspriortothemailingortransmissionof u   thecommunicationorthelawyerhasafamilyorpriorprofessionalrelationshipwiththe ^   personsolicited. G (c)Ifasignificantmotiveforthesolicitationisthelawyerspecuniarygain,alawyershallnot i sendordispatchacommunicationsolicitingprofessionalemploymentfromaspecifically  R identifiedrecipientwhohasnotinitiatedacontactwiththelawyerandwithwhomthelawyer  ; hasnofamilyorpriorprofessionalrelationshipunlessthecommunicationcomplieswiththe !$  followingrequirements: " !   (1)Eachcommunication,includingenvelopesandselfmailingbrochuresorpamphlets, $#   shallincludethewords"Thisisanadvertisement"asfollows: x% $ ` (a)inwrittencommunicationssentbymail,telegraph,facsimile,orcomputer J'"& transmission,therequiredwordingshallappearinconspicuousprintsizeonthe 3(#' outsideenvelope,ifany,andatthebeginningandendofthewrittenmaterial.If )l$( thewrittencommunicationisaselfmailingbrochureorpamphlet,therequired *U%) wordingshallappearontheaddresspanelofthebrochureorpamphlet. *>&* `  +''+    ` (b)Invideocommunicationstherequiredwordingshallappearconspicuouslyin#X;XX2X;V#2X;XXX;  0  0` (#(#thecommunicationforatleastfivesecondsatthebeginningandfivesecondsat  theendofthecommunicationandtherequiredwordingoftheaudioportionof  thevideocommunicationshallbepresentedasrequiredinsubsection(c)below.k` (#` (# 0  0` (#(#(c)Inaudiocommunications,therequiredwordingshallbepresentedatboththe =  beginningandendofthecommunicationinatone,volume,clarityandspeedof & v deliveryatleastequivalenttotheclearestqualitytone,volume,clarityandspeed  _ usedelsewhereinthecommunication. H` (#` (# (2)Alawyershallnotstateorimplythatacommunicationotherwisepermittedbythese    ruleshasbeenapprovedbytheTennesseeSupremeCourtoritsBoardofProfessional   Responsibility.   (3)Ifacontractforrepresentationismailedwiththecommunication,thetopofeach n  pageofthecontractshallbemarked"SAMPLE"andthewords"DONOTSIGN"shall W  appearontheclientsignatureline. @ (4)Writtencommunicationsshallnotbeintheformoforincludelegalpleadingsorother b formallegaldocuments. K (5)CommunicationsdeliveredtoprospectiveclientsshallbesentonlybyregularU.S.  mailandnotbyregistered,certified,orotherformsofrestricteddelivery,express  deliveryorcourier.  (6)Anycommunicationseekingemploymentbyaspecificprospectiveclientinaspecific q mattershallcomplywiththefollowingadditionalrequirements: Z ` (_i_)Thecommunicationshalldisclosehowthelawyerobtainedtheinformation ,| promptingthecommunication; e (ii)Thesubjectmatteroftheproposedrepresentationshallnotbedisclosedonthe  7 outsideoftheenvelope(orselfmailingbrochure)inwhichthecommunicationis !   delivered;and " ! (iii)Thefirstsentenceofthecommunicationshallstate Ifyouhavealready $# hiredorretainedalawyerinthismatter,pleasedisregardthis t% $ message. ]&!% ` (7)Acopyofeachwritten,audio,videoorelectronicallytransmittedcommunicationsent /(#' toaspecificrecipientshallbefiledwiththeBoardofProfessionalResponsibilitywithin )h$( threedaysafterthedispatchofthecommunication.Atthesametime,thelawyer *Q%) dispatchingthecommunicationshallalsofilethenameofthepersoncontactedandthe *:&* personsaddress,telephone,ortelecommunicationaddresstowhichthecommunication +#'+ wassent.Ifcommunicationsidenticalincontentaresenttotwoormorepersons,the  lawyermaycomplywiththisrequirementbyfilingasinglecopyofthecommunication  togetherwithalistofthenamesandaddressesofthepersonstowhomthe  communicationwassent.Ifthelawyerperiodicallysendstheidenticalcommunicationto k additionalpersons,listsoftheadditionalnamesandaddressesshallbefiledwiththe T BoardofProfessionalResponsibilitynolessfrequentlythanmonthly. =  Ѐ(d)Unlessthesubjectmatterofthecommunicationisrestrictedtomattersofgenerallegal  _ interestoranannouncementofanassociationoraffiliationwithanotherlawyerwhichcomplies  H withtherequirementsofRule7.5,alawyerwhosendsnewsletters,brochuresandothersimilar  1  communicationstopersonswhohavenotrequestedthecommunicationorwithwhomthelawyer    hasnofamilyorpriorprofessionalrelationshipshallcomplywiththerequirementsofparagraph   (c)above.   @' COMMENT  n    [1]Thereisapotentialforabuseinherentindirectin-personorlivetelephonecontactby A alawyerwithaprospectiveclientknowntoneedlegalservices.Theseformsofcontactbetween *z alawyerandaspecificallytargetedrecipientsubjectthelaypersontotheprivateimportuningof c thetrainedadvocateinadirectinterpersonalencounter.Theprospectiveclient,whomayalready L feeloverwhelmedbythecircumstancesgivingrisetotheneedforlegalservices,mayfindit 5 difficultfullytoevaluateallavailablealternativeswithreasonedjudgmentandappropriate  self-interestinthefaceofthelawyer'spresenceandinsistenceuponbeingretainedimmediately.  Thesituationisfraughtwiththepossibilityofundueinfluence,intimidation,andoverreaching.    [2]Thispotentialforabuseinherentindirectin-personf  g f  g ,f  g Ԁlivetelephonef  g ,orrealtime r electronicf  g Ԁsolicitationofprospectiveclientsjustifiesitsprohibition,particularlysincelawyer [ advertisingandwrittenandrecordedcommunicationpermittedunderthisRuleofferalternative D meansofconveyingnecessaryinformationtothosewhomaybeinneedoflegalservices. -} Writtenandrecordedcommunicationswhichmaybemailedorelectronicallytransmittedmakeit f possibleforaprospectiveclienttobeinformedabouttheneedforlegalservices,andaboutthe O qualificationsofavailablelawyersandlawfirms,withoutsubjectingtheprospectiveclientto  8 directin-personf  g f  g g Ԁlive#X;XX2X;#2X;XXX;Ԁtelephonef  g ,orrealtimeelectronicf  g Ԁpersuasionthatmayoverwhelmthe !!  client'sjudgment. " !   [3]Theuseofwrittenandrecordedcommunicationstotransmitinformationfromlawyer $# toaspecificallyidentifiedrecipient,ratherthandirectin-personorlivetelephonecontact,will u% $ helptoassurethattheinformationflowscleanlyaswellasfreely.Thecontentsof ^&!% communicationspermittedunderthisRulearepermanentlyrecordedandfiledwiththeBoardof G'"& ProfessionalResponsibility.Thecontentsofdirectin-personorlivetelephoneconversations 0(#' betweenalawyertoaprospectiveclientcanbedisputedandarenotsubjecttothird-party )i$( scrutiny.Consequently,theyaremuchmorelikelytoapproach(andoccasionallycross)the *R%) dividinglinebetweenaccuraterepresentationsandthosethatarefalseandmisleading. *;&*  +$'+   [4]Thereisfarlesslikelihoodthatalawyerwouldengageinabusivepracticesagainstan  individualwithwhomthelawyerhasapriorpersonalorprofessionalrelationshiporwherethe  lawyerismotivatedbyconsiderationsotherthanthelawyer'specuniarygain.Consequently,the  prohibitionsinRule7.3(a)and(b)(3)arenotapplicableinthosesituations. k   [5]Butevenpermittedformsofsolicitationcanbeabused.Thus,anysolicitationwhich =  containsinformationwhichisfalseormisleadingwithinthemeaningofRule7.1,which & v involvescoercion,duressorharassmentwithinthemeaningofRule7.3(b)(2),whichinvolves  _ contactwithaprospectiveclientwhohasmadeknowntothelawyeradesirenottobesolicited  H bythelawyerwithinthemeaningofRule7.3(b)(2),orwhichoccurswithin30daysafteran  1  accidentofdisasterinvolvingtheindividualofamemberoftheindividualsfamily,is    prohibited.Moreover,ifaftersendingaletterorothercommunicationtoaclientaspermittedby   Rule7.2thelawyerreceivesnoresponse,anyfurtherefforttocommunicatewiththeprospective   clientmayviolatetheprovisionsofRule7.3(b)(1).Communicationsdirectedtospecifically   identifiedrecipientsmustbeidentifiedasadvertisements,mayneedtobemarkedwithother n  disclaimers,andcannotbeformattedordeliveredinsuchamannerastomisleadtherecipient W  aboutthenatureofthecommunication. @   [6]ThisRuleisnotintendedtoprohibitalawyerfromcontactingrepresentativesof b organizationsorgroupsthatmaybeinterestedinestablishingagrouporprepaidlegalplanfor K theirmembers,_insureds_,beneficiariesorotherthirdpartiesifthelawyerspurposeistoinform 4 suchentitiesofthelawyerswillingnesstocooperatewiththeplanincompliancewithRule7.6.  Thisformofcommunicationisnotdirectedtoaprospectiveclient.Rather,itisusually  addressedtoanindividualactinginafiduciarycapacityseekingasupplieroflegalservicesfor  otherswhomay,iftheychoose,becomeprospectiveclientsofthelawyer.Underthesecircum  stances,theactivitywhichthelawyerundertakesincommunicatingwithsuchrepresentatives q andthetypeofinformationtransmittedtotheindividualarefunctionallysimilartoandservethe Z samepurposeasadvertisingpermittedunderRule7.2. C   [7]TherequirementsinRule7.3(c)thatcertaincommunicationsbemarkedas e advertisementsandcontainotherdisclaimersdonotapplytocommunicationssentinresponseto N requestsofpotentialclientsortheirspokespersonsorsponsors.Generalannouncementsby  7 lawyers,includingchangesinpersonnelorofficelocation,donotconstitutecommunications !   solicitingprofessionalemploymentfromaclientknowntobeinneedoflegalserviceswithinthe " ! meaningofthisRule. #"   [8]Rule7.3isnotintendedtoapplytocommunicationssuchasgeneralinterest t% $ newslettersorannouncementsofassociationoraffiliationthatcomplywithRule7.5.Other ]&!% typesofnewsletters,brochuresandsimilarcommunicationssenttospecificallyidentified F'"& recipientsmustcomplywithRule7.3. /(#'    _DEFINITIONAL_ԀCROSSREFERENCES *Q%)   FraudSeeRule1.0(e) +$'+  KnownSeeRule1.0(f)   MaterialSeeRule1.0(g)  #X;XX2X; #2X;XXX;  k   Ԁ@" PROPOSEDRULE7.4  Ѐ@g g COMMUNICATIONOFFIELDSOFPRACTICE    tr SubjecttotherequirementsofRule7.1,7.2,and7.3, o 0  (a)Alawyermaycommunicatethefactthatthelawyerdoesordoesnotpracticein A  particularfieldsoflaw.* z(#(# 0  (b)Exceptaspermittedbyparagraphs(c)and(d),alawyershallnotstatethatthelawyer  L isaspecialist,specializesoriscertifiedorrecognizedasaspecialistinaparticularfield  5  oflaw.  (#(# 0  (c)AlawyeradmittedtoengageinpatentpracticebeforetheUnitedStatesPatentand   TrademarkOfficemayusethedesignation"PatentAttorney"orasubstantiallysimilar   designation.r (#(# 0  (d)AlawyerwhohasbeencertifiedasaspecialistinafieldoflawbytheTennessee D SupremeCourtoritsCommissiononContinuingLegalEducationandSpecialization -} maystatethatthelawyer iscertifiedasaspecialistin[fieldoflaw]bytheTennessee f SupremeCourt.Alawyersocertifiedmayalsostatethatthelawyeriscertifiedasa O specialistinthatfieldoflawbyanorganizationrecognizedoraccreditedbythe 8 TennesseeSupremeCourtoritsCommissiononContinuingLegalEducationand ! Specializationascomplyingwithitsrequirements,providedthestatementismadeinthe   followingformat: [Lawyer]iscertifiedasaspecialistin[fieldoflaw]by  [organization].(#(# @' COMMENT  ^   [1]ThisRulepermitsalawyertoindicateareasofpracticeincommunicationsaboutthe 1 lawyer'sservices.Ifalawyerpracticesonlyincertainfields,orwillnotacceptmattersina j specifiedfieldorfields,thelawyerispermittedtosoindicate.  S   [2]However,alawyermaynotcommunicatethatthelawyerisa specialist,practicesa !%   speciality, specializesinaparticularfield,orthatthelawyerhasbeenrecognizedorcertified "! asaspecialistinaparticularfieldoflaw,exceptasprovidedbythisRule.Recognitionof #" specializationinpatentmattersisamatteroflong-establishedpolicyofthePatentand $# TrademarkOffice,asreflectedinparagraph(c). y% $   [3]Paragraph(d)permitsalawyertocommunicatethatheorsheisaspecialistorhas K'"& beencertifiedorrecognizedasaspecialistonlywhenthelawyerhasbeensocertifiedor 4(#' recognizedbytheSupremeCourtoritsCommissiononContinuingLegalEducationand )m$( Specialization.Thecertificationproceduresaredesignedtorequirethatthelawyerdemonstrate *V%) higherdegreeofspecializedabilityandexperiencethanissuggestedbygeneral_licensure_Ԁto *?&* practicelaw. +('+ Ї   _DEFINITIONAL_ԀCROSSREFERENCES   - SubstantiallySeeRule1.0(l)    U #X;XX2X;#2X;XXX;  @" PROPOSEDRULE7.5  @j j FIRMNAMESANDLETTERHEADS    .(a)Alawyershallnotuseafirmname,letterheadorotherprofessionaldesignationthatviolates m Rule7.1.Atradenamemaybeusedbyalawyerinprivatepracticeifitdoesnotimplya V connectionwithagovernmentagencyorwithapublicorcharitablelegalservicesorganization ?  andisnototherwiseinviolationofRule7.1. ( x (b)Alawfirmwithofficesinmorethanonejurisdictionmayusethesamenameineach  J jurisdiction,butidentificationofthelawyersinanofficeofthefirmshallindicatethe  3  jurisdictionallimitationsonthosenotlicensedtopracticeinthejurisdictionwheretheofficeis    located.   (c)Thenameofalawyerholdingapublicofficeshallnotbeusedinthenameofalawfirm,or   incommunicationsonitsbehalf,duringanysubstantialperiodinwhichthelawyerisnot p  activelyandregularlypracticingwiththefirm. Y  (d)Lawyersmaystateorimplythattheypracticeinapartnershiporotherorganizationonly +{ whenthatisthefact. d    COMMENT  7     [1]Afirmmaybedesignatedbythenamesofallorsomeofitsmembers,bythenames   ofdeceasedorretiredmemberswheretherehasbeenacontinuingsuccessioninthefirm's  identityorbyatradenamesuchasthe"ABCLegalClinic."f  g Alawyerorlawfirmmayalsobe  designatedbyadistinctivewebsiteaddressorcomparableprofessionaldesignation.f  g Although u theUnitedStatesSupremeCourthasheldthatlegislationmayprohibittheuseoftradenamesin ^ professionalpractice,useofsuchnamesinlawpracticeisacceptablesolongasitisnot G misleading.Ifaprivatefirmusesatradenamethatincludesageographicalnamesuchas 0 "SpringfieldLegalClinic,"anexpressdisclaimerthatitisapubliclegalaidagencymaybe i requiredtoavoidamisleadingimplication.Itmaybeobservedthatanyfirmnameincludingthe  R nameofadeceasedpartneris,strictlyspeaking,atradename.Theuseofsuchnamesto  ; designatelawfirmshasprovenausefulmeansofidentification.However,itismisleadingtouse !$  thenameofalawyernotassociatedwiththefirmorapredecessorofthefirm. " !   [2]Paragraph(c)doesnotrequireachangeinalawfirmsnameorletterheadwhena $# memberofthefirminterruptshisorherpracticetoserve,forexample,asanelectedmemberof x% $ theTennesseeGeneralAssemblysolongasthelawyerreasonablyexpectstoresumeactiveand a&!% regularpracticewiththefirmattheendofthelegislativesession.Suchahiatusfrompracticeis J'"& notforasubstantialperiodoftime.If,however,alawyerweretocurtailhisorherpracticeand 3(#' enterpublicserviceforalongerperiodoftime,orforanindefiniteperiodoftime,thelawyers )l$( firmwouldhavetoalteritsnameandletterhead. *U%)   [3]Withregardtoparagraph(d),lawyerssharingofficefacilities,butwhoarenotinfact#X;XX2X;.#2X;XXX; +''+ partners,maynotdenominatethemselvesas,forexample,"SmithandJones,"forthattitle  suggestspartnershipinthepracticeoflaw.     _DEFINITIONAL_ԀCROSSREFERENCES k  O> Firmand LawFirmSeeRule1.0(d) >   SubstantialSeeRule1.0(l) ' w #X;XX2X;g=#2X;XXX;   I   PROPOSEDRULE7.6  INTERMEDIARYORGANIZATIONS   ??(a)Anintermediaryorganizationisanlawyeradvertisingcooperative,lawyerreferralservice, m prepaidlegalinsuranceproviderorasimilarorganizationthebusinessoractivitiesofwhich V includesthereferralofitscustomers,members,orbeneficiariestolawyersorthepaymentforor ?  provisionoflegalservicestotheorganization'scustomers,membersorbeneficiariesinmatters ( x forwhichtheorganizationdoesnotbearultimateresponsibility.  a (b)Alawyershallnotseekoracceptareferralofaclient,orcompensationforrepresentinga  3  client,fromanintermediaryorganizationifthelawyerknowsorreasonablyshouldknowthat:      (1)theorganization:   0  0` (#(#(_i_)isownedorcontrolledbythelawyer,alawfirmwithwhichthelawyeris p  associated,oralawyerwithwhomthelawyerisassociatedinafirm;Y ` (#` (#   0 ` (ii)isengagedintheunauthorizedpracticeoflaw;#X;XX2X;t?#2X;XXX;+{` (#` (#   0 ` (iii)#X;XX2X;E#2X;XXX;Ԁengagesinmarketingactivitiesthatarefalseormisleadingorareotherwise M prohibitedbytheBoardofProfessionalResponsibility;or6` (#` (#   0 ` (iv)#X;XX2X;E#2X;XXX;hasnotregisteredwiththeBoardofProfessionalResponsibilityandcomplied  withall#X;XX2X;F#2X;XXX;requirementsimposedbytheBoard;or` (#` (# 0  (2)thelawyerwillbeunabletorepresenttheclientincompliancewiththeseRules.s(#(# @' COMMENT  E   [1]Fortheretobeequalaccesstojustice,theremustbeequalaccesstolawyers.For h theretobeequalaccesstolawyers,potentialclientsmustbeabletofindlawyersandhavethe  Q economicresourcesneededtopaythelawyersareasonablefeefortheirservices.Inaneffortto  : assistprospectiveclientstofindandbeabletoretaincompetentlawyers,lawyersand !#  #X;XX2X;RG#2X;XXX;_nonlawyers_#X;XX2X;cJ#2X;XXX;Ԁalikehaveformedavarietyoforganizationsdesignedtobringclientsandlawyers " ! togetherandtoprovideavehiclethroughwhichthelawyerscanbefairlycompensatedandthe #" clientscanaffordtheservicestheyneed.Someoftheseintermediaryorganizationsoperateas $# charities.Othersoperateasbusinesses.Becausetheyultimatelybeartheliabilityoftheir w% $ _insureds_,liabilityinsurancecompanieswhichpayfororotherwiseprovidelawyerstodefend `&!% their_insureds_ԀarenotintermediaryorganizationswithinthemeaningofthisRule. I'"&   [2]Therequirementssetforthinparagraph(b)areintendedtoprotecttheclientswhoare )k$( representedbylawyerstowhomtheyhavebeenreferredorassignedbyanintermediary *T%) organization.Itistheresponsibilityofeachlawyerwhowouldparticipateintheactivitiesofan *=&* intermediaryorganizationtoactreasonablytoascertainthattheorganizationmeetsthestandards +&'+ setforthinparagraph(b).Normallyitwillbesufficientforthelawyertoascertainthatthe  organizationhasregisteredwiththeBoardofProfessionalResponsibilityandtoreviewthe  materialstheorganizationhasfiledwiththeBoardincompliancewiththeBoardsreporting  requirements.If,however,byvirtueofhisorherparticipationintheactivitiesofan k intermediaryorganization,alawyercomestoknowthattheorganizationdoesnotmeetthe T standardssetforthinparagraph(b),thelawyershallterminatehisorherparticipationinthe =  activitiesoftheorganizationandshouldsoadvisetheBoardofProfessionalResponsibility. & v    _DEFINITIONAL_ԀCROSSREFERENCES  I  R Firmand LawFirmSeeRule1.0(d)     KnowsSeeRule1.0(f)    ReasonablyShouldKnowSeeRule1.0(k)    #X;XX2X;J#2X;XXX;  q     CHAPTER8  MAINTAININGTHEINTEGRITYOFTHEPROFESSION   wST  PROPOSEDRULE8.1 n BARADMISSIONANDDISCIPLINARYMATTERS X GT wT Anapplicantforadmissiontothebar,oralawyerinconnectionwithabaradmissionapplication , | orinconnectionwithadisciplinarymatter,shallnot:  e 0  (a)knowinglymakeafalsestatementofmaterialfact;or 7 (#(# 0  (b)failtodiscloseafactnecessarytocorrectamisapprehensionofmaterialfactknown   bythepersontohaveariseninthematter,orknowinglyfailtorespondtoalawful   demandforinformationfromanadmissionsordisciplinaryauthority,exceptthatthis   RuledoesnotrequiredisclosureofinformationotherwiseprotectedbyRule1.6.t (#(#    COMMENT  F PX  [1]ThedutyimposedbythisRuleextendstopersonsseekingadmissiontothebaras i wellastolawyers.Hence,ifapersonmakesamaterialfalsestatementinconnectionwithan R applicationforadmission,itmaybethebasisforsubsequentdisciplinaryactionifthepersonis ; admitted,andinanyeventmayberelevantinasubsequentadmissionapplication.Theduty $ imposedbythisRuleappliestoalawyer'sownadmissionordisciplineaswellasthatofothers.   Thus,itisaseparateprofessionaloffenseforalawyertoknowinglymakeamisrepresentationor  omissioninconnectionwithadisciplinaryinvestigationofthelawyer'sownconduct.ThisRule  alsorequiresaffirmativeclarificationofanymisunderstandingonthepartoftheadmissionsor x disciplinaryauthorityofwhichthepersoninvolvedbecomesaware. a   [2]ThisRuleissubjecttotheprovisionsoftheFifthAmendmenttotheUnitedStates 3 ConstitutionandArticleI,Section9,oftheConstitutionofTennessee.Apersonrelyingonsuch l aprovisioninresponsetoaquestion,however,shoulddosoopenlyandnotusetherightofnon  U disclosureasajustificationforfailuretocomplywiththisRule.  >   [3]Alawyerrepresentinganapplicantforadmissiontothebar,orrepresentingalawyer "! whoisthesubjectofadisciplinaryinquiryorproceeding,isgovernedbytherulesapplicableto #" theclientlawyerrelationship. $#    _DEFINITIONAL_ԀCROSSREFERENCES d&!%  󀀀 N'"& n_ Knowinglyor KnownSeeRule1.0(f) 7(#'  MaterialSeeRule1.0(g)  )p$( #X;XX2X;T# 2X;XXX;  ++'+    PROPOSEDRULE8.2  JUDICIALANDLEGALOFFICIALS  ` w` (a)Alawyershallnotmakeastatementthatthelawyerknowstobefalseorwithreckless n disregardastoitstruthorfalsityconcerningthequalificationsorintegrityofajudge, W adjudicatoryofficerorpubliclegalofficer,orofacandidateforelectionorappointmentto @  judicialorlegaloffice. ) y (b)Alawyerwhoisacandidateforjudicialofficeshallcomplywiththeapplicableprovisionsof  K theCodeofJudicialConduct.  4     COMMENT    c  [1]Assessmentsbylawyersarereliedoninevaluatingtheprofessionalorpersonal   fitnessofpersonsbeingconsideredforelectionorappointmenttojudicialofficeandtopublic r  legaloffices,suchasattorneygeneral,prosecutingattorneyandpublicdefender.Expressing [  honestandcandidopinionsonsuchmatterscontributestoimprovingtheadministrationof D justice.Conversely,falsestatementsbyalawyercanunfairlyunderminepublicconfidenceinthe -} administrationofjustice. f   [2]Whenalawyerseeksjudicialoffice,thelawyershouldbeboundbyapplicable 8 limitationsonpoliticalactivity. !   [3]Tomaintainthefairandindependentadministrationofjustice,lawyersare  encouragedtocontinuetraditionaleffortstodefendjudgesandcourtsunjustlycriticizedandto  responsiblyspeakoutwhennecessarytopreventorrectifyinjusticeortopromoteneeded u improvementsinthejudicialsystem. ^    _DEFINITIONAL_ԀCROSSREFERENCES 0  h KnowsSeeRule1.0(f)   S   @i#X;XX2X;`#2X;XXX;  !&      PROPOSEDRULE8.3  REPORTINGPROFESSIONALMISCONDUCT  i wi(a)AlawyerhavingknowledgethatanotherlawyerhascommittedaviolationoftheRulesof m ProfessionalConductthatraisesasubstantialquestionastothatlawyer'shonesty, V trustworthinessorfitnessasalawyerinotherrespects,shallinformtheDisciplinaryCounselof ?  theBoardofProfessionalResponsibility. ( x (b)Alawyerhavingknowledgethatajudgehascommittedaviolationofapplicablerulesof  J judicialconductthatraisesasubstantialquestionastothejudge'sfitnessforofficeshallinform  3  theDisciplinaryCounseloftheCourtoftheJudiciary.    (c)ThisRuledoesnotrequiredisclosureofinformationotherwiseprotectedbyRule1.6or   informationgainedbyalawyerorjudgewhileservingasamemberofalawyerassistance   programapprovedbytheSupremeCourtofTennesseeorbytheBoardofProfessional p  Responsibilitytotheextentthatsuchinformationwouldbeconfidentialifitwerecommunicated Y  subjecttotheattorneyclientprivilege. B    COMMENT  d o  [1]Selfregulationofthelegalprofessionrequiresthatmembersoftheprofessioninitiate 7 disciplinaryinvestigationwhentheyknowofaviolationoftheRulesofProfessionalConduct.   Lawyershaveasimilarobligationwithrespecttojudicialmisconduct.Anapparentlyisolated   violationmayindicateapatternofmisconductthatonlyadisciplinaryinvestigationcanuncover.  Reportingaviolationisespeciallyimportantwherethevictimisunlikelytodiscovertheoffense.    [2]AreportaboutmisconductisnotrequiredwhereitwouldinvolveviolationofRule ] 1.6.However,alawyershouldencourageaclienttoconsenttodisclosurewhereprosecution F wouldnotsubstantiallyprejudicetheclient'sinterests. /   [3]IfalawyerwereobligedtoreporteveryviolationoftheRules,thefailuretoreport  Q anyviolationwoulditselfbeaprofessionaloffense.Sucharequirementexistedinmany  : jurisdictionsbutprovedtobeunenforceable.ThisRulelimitsthereportingobligationtothose !#  offensesthataselfregulatingprofessionmustvigorouslyendeavortoprevent.Ameasureof " ! judgmentis,therefore,requiredincomplyingwiththeprovisionsofthisRule.Theterm #" "substantial"referstotheseriousnessofthepossibleoffenseandnotthequantumofevidenceof $# whichthelawyerisaware.Similarconsiderationsapplytothereportingofjudicialmisconduct. w% $   [4]Thedutytoreportprofessionalmisconductdoesnotapplytoalawyerretainedto I'"& representalawyerwhoseprofessionalconductisinquestion.Suchasituationisgovernedby 2(#' therulesapplicabletotheclientlawyerrelationship. )k$( _  [5]Informationaboutalawyer'sorjudge'smisconductorfitnessmaybereceivedbya *=&* lawyerinthecourseofthatlawyer'sparticipationinanapprovedlawyers'orjudges'assistance +&'+ program.Inthatcircumstance,providingfortheconfidentialityofsuchinformationencourages  lawyersandjudgestoseektreatmentthroughsuchprogram.Conversely,withoutsuch  confidentiality,lawyersandjudgesmayhesitatetoseekassistancefromtheseprograms,which  maythenresultinadditionalharmtotheirprofessionalcareersandadditionalinjurytothe k welfareofclientsandthepublic.TheRulethereforeexemptsthelawyerfromthereporting T requirementsofparagraphs(a)and(b)withrespecttoinformationthatwouldbeprivilegedifthe =  relationshipbetweentheimpairedlawyerorjudgeandtherecipientoftheinformationwerethat & v ofaclientandalawyer.Ontheotherhand,alawyerwhoreceivessuchinformationwould  _ neverthelessberequiredtocomplywiththeRule8.3reportingprovisionstoreportmisconductif  H theimpairedlawyerorjudgeindicatesanintenttoengageinillegalactivity,forexample,the  1  conversionofclientfundstohisorheruse.       _DEFINITIONAL_ԀCROSSREFERENCES    } SubstantialSeeRule1.0(l) o  #X;XX2X;i#2X;XXX;#X;XX2X;}#2X;XXX;f  g ̀   L   5     PROPOSEDRULE8.4  MISCONDUCT  ~ l~ Itisprofessionalmisconductforalawyerto: n 0  (a)violateorattempttoviolatetheRulesofProfessionalConduct,knowinglyassistor @  induceanothertodoso,ordosothroughtheactsofanother;) y(#(# 0  (b)commitacriminalactthatreflectsadverselyonthelawyer'shonesty,trustworthiness,  K orfitnessasalawyerinotherrespects; 4 (#(# 0  (c)engageinconductinvolvingdishonesty,fraud,deceitormisrepresentation; (#(# 0  (d)engageinconductthatisprejudicialtotheadministrationofjustice;0x(#(# x(#x(# 0  (e)attemptto,orstateorimplyanabilitytoinfluenceatribunaloragovernmental Z  agencyorofficialongroundsunrelatedtothemeritsof,ortheproceduresgoverning,the C matterunderconsideration;f  g ,|(#(# 0  (f)knowinglyassistajudgeorjudicialofficerinconductthatisaviolationofapplicable N rulesofjudicialconductorotherlawf  g f  g ;orf  g 7(#(# 0  (g)knowinglyfailtocomplywithafinalcourtorderenteredinaproceedinginwhichthe   lawyerisaparty,unlessthelawyerisunabletocomplywiththeorderorisseekingin  goodfaithtodeterminethevalidity,scope,meaningorapplicationofthelawuponwhich  theorderisbased.t(#(#    COMMENT G  ą  [1]Manykindsofillegalconductreflectadverselyonfitnesstopracticelaw,suchas j offensesinvolvingfraudandtheoffenseofwillfulfailuretofileanincometaxreturn.However,  S somekindsofoffensecarrynosuchimplication.Traditionally,thedistinctionwasdrawnin  < termsofoffensesinvolving"moralturpitude."Thatconceptcanbeconstruedtoincludeoffenses !%  concerningsomemattersofpersonalmorality,suchasadulteryandcomparableoffenses,that "! havenospecificconnectiontofitnessforthepracticeoflaw.Althoughalawyerispersonally #" answerabletotheentirecriminallaw,alawyershouldbeprofessionallyanswerableonlyfor $# offensesthatindicatelackofthosecharacteristicsrelevanttolawpractice.Offensesinvolving y% $ violence,dishonestyorbreachoftrust,orseriousinterferencewiththeadministrationofjustice b&!% areinthatcategory.Althoughundercertaincircumstancesasingleoffensereflectingadversely K'"& onalawyersfitnesstopracticesuchasaminorassaultmaynotbesufficientlyseriousto 4(#' warrantdiscipline,apatternofrepeatedoffenses,evenonesofminorsignificancewhen )m$( consideredseparately,canindicateindifferencetolegalobligation. *V%)   *?&*   [2]Alawyerwho,inthecourseofrepresentingaclient,knowinglymanifestsbywords   orconduct,biasorprejudicebasedonrace,sex,religion,nationalorigin,disability,age,sexual  orientation,or_socio_Ԅeconomicstatus,mayviolateparagraph(d)ifsuchactionsareprejudicialto  theadministrationofjustice.Legitimateadvocacyrespectingtheforegoingfactorsdoesnot k violateparagraph(d). T   [3]Alawyermayrefusetocomplywithanobligationimposedbylawuponagoodfaith & v beliefthatnovalidobligationexists.TheprovisionsofRule1.2(d)concerningagoodfaith  _ challengetothevalidity,scope,meaningorapplicationofthelawapplytochallengesoflegal  H regulationofthepracticeoflaw.  1  f  g f  g #X;XX2X;~#  [4]Paragraph[c]prohibitslawyersfromengaginginconductinvolvingdishonesty,   fraud,deceitormisrepresentation.Suchconductreflectsadverselyonthelawyersfitnessto   practicelaw.Insomecircumstances,however,prosecutorsareauthorizedbylawtouse,orto   directinvestigativeagentstouse,investigativetechniquesthatmightberegardedasdeceitful. n  ThisRuledoenotprohibitsuchconduct.Also,secretrecordingofaconversationortheactions W  ofanotherforthepurposeofobtainingorpreservingevidencedoesnot,byitself,constitute @ conductinvolvingdeceitordishonesty.SeeRule4.4. )y 2X;XXX;  [5f  g ]Lawyersholdingpublicofficeassumelegalresponsibilitiesgoingbeyondthoseof K othercitizens.Alawyer'sabuseofpublicofficecansuggestaninabilitytofulfillthe 4 professionalroleofattorney.Thesameistrueofabuseofpositionsofprivatetrustsuchas  trustee,executor,administrator,guardian,agentandofficer,directorormanagerofacorporation  orotherorganization.  #X;XX2X;#f  g   [6]Paragraph(f)precludesalawyerfromassistingajudgeorjudicialofficerinconduct q thatisaviolationoftherulesofjudicialconduct.Alawyercannot,forexample,makeagift, Z bequest,favor,orloantoajudge,oramembersofthejudgesfamilywhoresidesinthe C judgeshousehold,unlessthejudgewouldbepermittedtoaccept,oracquiesceintheacceptance ,| ofsuchagift,favorbequestorloaninaccordancewithCanon4,SectionD(5)ofTennessee e SupremeCourtRule10(CodeofJudicialConduct). N 2X;XXX;f  g   [f  g f  g 7f  g ]Inboththeirprofessionalandpersonalactivities,lawyershavespecialobligationsto !   demonstraterespectforthelawandlegalinstitutions.Normally,alawyerwhoknowinglyfails " ! toobeyacourtorderdemonstratesadisrespectforthelawthatisprejudicialtothe #" administrationofjustice.Failuretocomplywithacourtorderisnotadisciplinaryoffense, $# however,whenitdoesnotevidencedisrespectforthelaweitherbecausethelawyerisunableto t% $ complywiththeorderorthelawyerisseekingingoodfaithtodeterminethevalidity,scope, ]&!% meaningorapplicationofthelawuponwhichtheorderisbased. F'"&    _DEFINITIONAL_ԀCROSSREFERENCES )h$(   FraudSeeRule1.0(e) *;&*  KnowinglySeeRule1.0(f) +$'+  TribunalSeeRule1.0(m)    #X;XX2X;#  T  2X;XXX;) f  g  PROPOSEDRULE8.5  DISCIPLINARYAUTHORITY;CHOICEOFLAW  # uaH =;XXdXXd=(a)DisciplinaryAuthority.AlawyeradmittedtopracticeinTennesseeissubjecttothe W disciplinaryauthorityofthe_the_ԀSupremeCourtofTennesseeregardlessofwherethelawyers @  conductoccurs.Alawyerwhoengagesinmisconductmaybesubjecttothedisciplinary ) y authorityofboththeSupremeCourtofTennessee#X;XX2X;#2X;XXX;Ԁandthedisciplinaryauthorityofanother  b jurisdictionwherethelawyerisadmittedtopracticeforthesameconduct.  K (b)ChoiceofLaw.InanyexerciseofthedisciplinaryauthorityoftheSupremeCourtof    Tennessee,therulesofprofessionalconducttobeappliedshallbeasfollows:   (1)forconductinconnectionwithaproceedinginacourtbeforewhichalawyerhas   beenadmittedtopractice(eithergenerallyorforpurposesofthatproceeding),therules q  tobeappliedshallbetherulesofthejurisdictioninwhichthecourtsits,unlesstherules Z  ofthecourtprovideotherwise;and C l0   (#(#   (2)foranyotherconduct, e ` (_i_)ifthelawyerislicensedtopracticeonlyinTennessee#X;XX2X;۟#2X;XXX;,therulestobeapplied 7 shallbetheTennesseeRulesofProfessionalConduct;and    0   (#(# ` n0  0` (#(#(ii)ifthelawyerislicensedtopracticeinTennessee#X;XX2X;#2X;XXX;Ԁandanotherjurisdiction,the  rulestobeappliedshallbetherulesoftheadmittingjurisdictioninwhichthe  lawyerprincipallypractices;provided,however,thatifparticularconductclearly t hasitspredominanteffectinanotherjurisdictioninwhichthelawyerislicensed ] topractice,therulesofthatjurisdictionshallbeappliedtothatconduct.F` (#` (#    COMMENT  h G   DisciplinaryAuthority  <      [1]Paragraph(a)restateslongstandinglaw. "!    ChoiceofLaw  $# /  [2]Alawyermaybepotentiallysubjecttomorethanonesetofrulesofprofessional e&!% conductwhichimposedifferentobligations.Thelawyermaybelicensedtopracticeinmore N'"& thanonejurisdictionwithdifferingrules,ormaybeadmittedtopracticebeforeaparticularcourt 7(#' withrulesthatdifferfromthoseofthejurisdictionorjurisdictionsinwhichthelawyeris  )p$( licensedtopractice.Inthepast,decisionshavenotdevelopedclearorconsistentguidanceasto  *Y%) whichrulesapplyinsuchcircumstances. *B&*  ++'+   [3]Paragraph(b)seekstoresolvesuchpotentialconflicts.Itspremiseisthatminimizing  conflictsbetweenrules,aswellasuncertaintyaboutwhichrulesareapplicable,isinthebest  interestofbothclientsandtheprofession(aswellasthebodieshavingauthoritytoregulatethe  profession).Accordingly,ittakestheapproachof(_i_)providingthatanyparticularconductofan k attorneyshallbesubjecttoonlyonesetofrulesorprofessionalconduct,and(ii)makingthe T determinationofwhichsetofrulesappliestoparticularconductasstraightforwardaspossible, =  consistentwithrecognitionofappropriateregulatoryinterestsofrelevantjurisdictions. & v   [4]Paragraph(b)providesthatastoalawyer'sconductrelatingtoaproceedingina  H courtbeforewhichthelawyerisadmittedtopractice(eithergenerallyorpro_hac_Ԁvice),the  1  lawyershallbesubjectonlytotherulesofprofessionalconductofthatcourt.Astoallother    conduct,paragraph(b)providesthatalawyerlicensedtopracticeonlyin#X;XX2X;P#2X;XXX;ԀTennesseeshallbe   subjectto#X;XX2X;W#2X;XXX;ԀTennesseeRulesofProfessionalConduct,andthatalawyerlicensedinmultiple   jurisdictionsshallbesubjectonlytotherulesofthejurisdictionwhereheorshe(asan   individual,nothisorherfirm)principallypractices,butwithoneexception:ifparticular n  conductclearlyhasitspredominanteffectinanotheradmittingjurisdiction,thenonlytherulesof W  thatjurisdictionshallapply.Theintentionisforthelatterexceptiontobeanarrowone.It @ wouldbeappropriatelyapplied,forexample,toasituationinwhichalawyeradmittedin,and )y principallypracticingin,StateA,butalsoadmittedinStateB,handledanacquisitionbya b companywhoseheadquartersandoperationswereinStateBofanother,similarsuchcompany. K Theexceptionwouldnotappropriatelybeapplied,ontheotherhand,ifthelawyerhandledan 4 acquisitionbyacompanywhoseheadquartersandoperationswereinStateAofacompany  whoseheadquartersandmainoperationswereinStateA,butwhichalsohadsomeoperationsin  StateB.    [5]Iftwoadmittingjurisdictionsweretoproceedagainstalawyerforthesameconduct, q theyshould,applyingthisrule,identifythesamegoverningethicsrules.Theyshouldtakeall Z appropriatestepstoseethattheydoapplythesameruletothesameconduct,andinallevents C shouldavoidproceedingagainstalawyeronthebasisoftwoinconsistentrules. ,|   [6]Thechoiceoflawprovisionisnotintendedtoapplytotransnationalpractice.Choice N oflawinthiscontextshouldbethesubjectofagreementsbetweenjurisdictionsorofappropriate  7 internationallaw. !   A;XXdXXdޝA   _DEFINITIONAL_ԀCROSSREFERENCES #"    None.  v% $  #X;XX2X;˰#2X;XXX;  2(#' @   PROPOSEDTRANSITIONRULE  @  GOVERNINGIMPLEMENTATIONOF  @d d TENNESSEERULESOFPROFESSIONALCONDUCT  m   TheforegoingRulesshallbecomeeffectiveasofthedateoftheentryofthisOrder, @  exceptthat: ) y 0  (a)Rule1.5(c)(governingcontingentfeeagreements)shallapplyonlytocontingentfee  K agreementsenteredintooramendedonoraftertheeffectivedateoftheseRules. 4 (#(#   (b)TherequirementofawritingcontainedinRules1.7,f  g 1.8(g)#X;XX2X;ѹ#2X;XXX;,1.9f  g f  g f  g ,and1.12f  g g shall     applyg onlytog conflictsofinterestthatariseonoraftertheeffectivedateoff  f  g theseRules.     (c)Rulef  g sf  g Ԁ1.8(a)f  g and(_i_)#X;XX2X;#2X;XXX;f  g f  g Ԁshallapplyonlytotransactionsenteredintooramendedf  g f  g onorf   q    g aftertheeffectivedateoftheseRules. Z    #X;XX2X;#f  g 2X;XXX; +2qX2X;.b%RK:\LTP\Bar\CteReport\newfinalred(exa).wpdbK:\LTP\Bar\CteReport\newfinalred(exa).wpd/  2X;X2q#X;XX2X;^#