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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     @  @ ExhibitB 2BX2X   f  g REVISEDf  g FINALREPORT  ofthe   TennesseeBarAssociation   CommitteefortheStudyof c  StandardsofProfessionalConduct   #2X X2B#2BX2X ԀRevisedCommitteeDraftof  ] ProposedTennesseeRulesofProfessionalConduct  #2X X2BO#2BX2X f  g f  g December3,2001#2X X2B #  Z" !] !8 XXdXXd8 !     G8 XXdXXd8B.` hp x (#XB  3c5      NOTE:ThisdraftoftheProposedTennesseeRulesofProfessionalConductincludes, k aftereachProposedRule,Comment,and_Definitional_ԀCross-References,asectionentitled T CommitteeNotes.Thissection,preparedonbehalfoftheCommittee,includesabrief =  comparisonoftheProposedRuletoexistingTennesseeethicsrules,abriefcomparisonofthe & v ProposedRuletothepertinentprovisionsoftheABAModelRulesofProfessionalConduct;f  g a  _ briefdescriptionofanychangesmadetotheProposedRuleandCommentf  g f  g afterf  g ԀtheCommittees  H PreliminaryDraftf  ,g f  g Ԁwasf  g ԀissuedbytheCommitteefordiscussionpurposesinNovember1997f  g ,yet  1  beforethePetitionwasfiledinOctober2000;andabriefdescriptionofcommentsreceivedby    theTennesseeSupremeCourtortheCommitteeafterthefilingoftheTBAPetitioninOctober   2000,aswellasanyresponseorchangestotheProposedRulemadebytheCommitteein   responsetosuchcommentsf  g .   {  0H G 08 XXdXXd8  08 XXdXXd8     .٦4<"TABLEOFCONTENTS    !!G(#Page     Vm  VmO0     PREAMBLE#""J(#. (#(##1VmOk݌ T Ќ  Vm  Vm0     SCOPE#""J(#.(#(##2Vm$݌ & v Ќ  Vm  Vm0     CHAPTER1.CLIENTLAWYERRELATIONSHIP#""J(#.0(#(##6  H    PROPOSEDRULE1.0       ` DEFINITIONS""J(#.;;6Vm݌   Ќ  Vm  Vm+0       f  g f  g PROPOSEDRULEf  g Ԁ1.1   f  g f  g  ` COMPETENCE#""J(#.(#(##9f  g Vm+G݌ n  Ќ  Vm  Vm0     f  g #X XX2X #f  g 2X XXX   PROPOSEDRULE1.2 h  @  ` SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF )y  ` AUTHORITYBETWEENTHELAWYERANDCLIENT#`"`"I(#.;(#(##14f  f  g Vm݌ b Ќ  Vm  Vm0       PROPOSEDRULE1.3 4  ` DILIGENCE#`"`"I(#. (#(##22Vm݌  Ќ  Vm  Vm0       PROPOSEDRULE1.4   ` COMMUNICATION#`"`"I(#...!(#(##24Vm݌  Ќ  Vm  Vm0       PROPOSEDRULE1.5 Z  ` FEES#`"`"I(#.2 2 (#(##27Vm݌ C Ќ  Vm  Vm0       PROPOSEDRULE1.6 e  ` CONFIDENTIALITY#`"`"I(#.ee#(#(##34Vm݌ N Ќ  Vm  Vm0       PROPOSEDRULE1.7 !    ` CONFLICTOFINTEREST:GENERALRULE#`"`"I(#.7(#(##44Vm݌ " ! Ќ  Vm  Vm0       PROPOSEDRULE1.8 $#  ` CONFLICTOFINTEREST:PROHIBITEDTRANSACTIONS#`"`"I(#.B(#(##53Vm݌ t% $ Ќ  Vm  Vm0       PROPOSEDRULE1.9 F'"&  ` CONFLICTOFINTEREST:FORMERCLIENT#`"`"I(#.  8(#(##60Vm݌ /(#' Ќ  Vm  Vm0     f    PROPOSEDRULE1.10 *Q%)  ` IMPUTEDDISQUALIFICATION:GENERALRULE#`"`"I(#.:(#(##65#X XX2X M#2X XXX Vm݌ *:&* Ќ  Vm  VmI0     VmIe݌ (#(# Ќ    _i_ -(-  Vm  Vm,0     f  g   PROPOSEDRULE1.11   ` SUCCESSIVEGOVERNMENTANDPRIVATEEMPLOYMENT#`"`"I(#.@(#(##72Vm,H݌  Ќ  Vm  Vm_0       PROPOSEDRULE1.12 T  ` FORMERJUDGEORARBITRATOR#`"`"I(#..(#(##76Vm_{݌ =  Ќ  Vm  Vmk 0       PROPOSEDRULE1.13  _  ` ORGANIZATIONALCLIENTS#`"`"I(#.*(#(##78Vmk ݌  H Ќ  Vm  Vms!0       PROPOSEDRULE1.14     ` CLIENTUNDERADISABILITY#`"`"I(#.\\-(#(##84Vms!!݌   Ќ  Vm  Vm~"0     0(#(#PROPOSEDRULE1.15   0` (#(#SAFEKEEPINGPROPERTY#`"`"I(#.(` (#` (##88Vm~""݌ n  Ќ  Vm  Vm#0     0(#(#PROPOSEDRULE1.16 @ 0` (#(#DECLININGANDTERMINATINGREPRESENTATION#`"`"I(#.OO=` (#` (##93Vm##݌ )y Ќ  Vm  Vm$0       PROPOSEDRULE1.17 K  ` SALEOFALAWPRACTICE#!!H(#.ff+(#(##101Vm$$݌ 4 Ќ  Vm  Vm%0     CHAPTER2.THELAWYERASCOUNSELOR,INTERMEDIARY,ANDDISPUTE  RESOLUTIONNEUTRAL#!!H(#.!(#(##103Vm%%݌  Ќ  Vm  Vm&0       PROPOSEDRULE2.1 q  ` ADVISOR#!!H(#. (#(##103Vm&&݌ Z Ќ  Vm  Vm'0       PROPOSEDRULE2.2 ,|  ` LAWYERSERVINGASINTERMEDIARYBETWEENCLIENTS#!!H(#.C(#(##105Vm''݌ e Ќ  Vm  Vm(0       PROPOSEDRULE2.3  7  ` EVALUATIONFORUSEBYTHIRDPERSONS#!!H(#.KK7(#(##112Vm()݌ !   Ќ  Vm  Vm*0       PROPOSEDRULE2.4 #"  ` LAWYERASDISPUTERESOLUTIONNEUTRAL#!!H(#.jj9(#(##115Vm***݌ $# Ќ  f  CHAPTER3.ADVOCATE!!H(#. 123 ]&!%    PROPOSEDRULE3.1 /(#'    ` MERITORIOUSCLAIMSANDCONTENTIONS!!H(#.cc6123#X XX2X #2X XXX Ԉ )h$(   ii -(- 4< 4 4  p,f  g   PROPOSEDRULE3.2    EXPEDITINGLITIGATION!!H(#.TT$125  Vm  Vm-0       PROPOSEDRULE3.3 k  ` CANDORTOWARDTHETRIBUNAL#!!H(#..(#(##127Vm--݌ T Ќ  Vm  Vm.0       PROPOSEDRULE3.4 & v  ` FAIRNESSTOOPPOSINGPARTYANDCOUNSEL#!!H(#.:(#(##141Vm..݌  _ Ќ  Vm  Vm/0       PROPOSEDRULE3.5  1   ` IMPARTIALITYANDDECORUMOFTHETRIBUNAL#!!H(#.<(#(##145Vm//݌    Ќ  Vm  Vm00       PROPOSEDRULE3.6    ` TRIALPUBLICITY#!!H(#.#(#(##151Vm01݌   Ќ  Vm  Vm10       PROPOSEDRULE3.7 W   ` LAWYERASWITNESS#!!H(#.ww%(#(##154Vm12݌ @ Ќ  Vm  Vm20       PROPOSEDRULE3.8 b  ` SPECIALRESPONSIBILITIESOFAPROSECUTOR#!!H(#.<(#(##156Vm23݌ K Ќ  Vm  Vm40       PROPOSEDRULE3.9   ` ADVOCATEINNONADJUDICATIVEPROCEEDINGS#!!H(#.<(#(##161Vm4 4݌  Ќ  Vm  Vm50     CHAPTER4.TRANSACTIONSWITHPERSONSOTHERTHANCLIENTS#!!H(#.B(#(##163Vm5:5݌  Ќ  Vm  Vm60       PROPOSEDRULE4.1 Z  ` TRUTHFULNESSANDCANDORINSTATEMENTSTOOTHERS#!!H(#.wwC(#(##163Vm6$6݌ C Ќ  Vm  Vm)70       PROPOSEDRULE4.2 e  ` COMMUNICATIONWITHPERSONREPRESENTEDBYCOUNSEL#!!H(#.D D D(#(##167Vm)7E7݌ N Ќ  Vm  VmK80       PROPOSEDRULE4.3 !    ` DEALINGWITHUNREPRESENTEDPERSON#!!H(#.5(#(##171VmK8g8݌ " ! Ќ    PROPOSEDRULE4.4 $#    ` RESPECTFORRIGHTSOFTHIRDPERSONS!!H(#.7173 t% $ Vm  Vm:0     CHAPTER5.LAWFIRMS,LEGALDEPARTMENTS,ANDLEGAL F'"& SERVICEORGANIZATIONS#!!H(#.$(#(##176Vm::݌ /(#' Ќ    iii#X XX2X 7,#2X XXX  -(- 5 5 c 5  ;Vm  Vm;0       PROPOSEDRULE5.1   ` RESPONSIBILITIESOFAPARTNER,MANAGINGLAWYEROR  @   ЀSUPERVISORYLAWYER#!!H(#.::-(#(##176#X XX2X J;#Vm;;݌ k Ќ  Vm  Vmq=0       PROPOSEDRULE5.2 =   ` RESPONSIBILITIESOFA  SUBORDINATELAWYER#!!H(#.:(#(##180Vmq==݌ & v Ќ  Vm  Vm>0       PROPOSEDRULE5.3  H  ` RESPONSIBILITIESREGARDING_NONLAWYER_ԀASSISTANTS#!!H(#.C(#(##182Vm>>݌  1  Ќ  Vm  Vm?0       PROPOSEDRULE5.4    ` PROFESSIONALINDEPENDENCEOFALAWYER#!!H(#.9(#(##184Vm?@݌   Ќ  Vm  Vm A0       PROPOSEDRULE5.5 n   ` UNAUTHORIZEDPRACTICEOFLAW#!!H(#.0(#(##187Vm A'A݌ W  Ќ  Vm  VmB0       PROPOSEDRULE5.6 )y  ` RESTRICTIONSONRIGHTTOPRACTICE#!!H(#.5(#(##189VmB5B݌ b Ќ  Vm  Vm,C0       PROPOSEDRULE5.7 4  ` RESPONSIBILITIESREGARDINGLAWRELATEDSERVICES#!!H(#.C(#(##191Vm,CHC݌  Ќ  Vm  VmMD0     CHAPTER6.PUBLICSERVICE#!!H(#.%(#(##195VmMDiD݌  Ќ  Vm  VmE0       PROPOSEDRULE6.1 q  ` PROBONO_PUBLICO_ԀREPRESENTATION#!!H(#.4(#(##195VmE6E݌ Z Ќ  Vm  VmKF0       PROPOSEDRULE6.2 ,|  ` ACCEPTINGCOURTAPPOINTMENTS#!!H(#.0(#(##199VmKFgF݌ e Ќ  Vm  VmYG0       PROPOSEDRULE6.3  7  ` MEMBERSHIPINLEGALSERVICESORGANIZATION#!!H(#.::=(#(##201VmYGuG݌ !   Ќ  Vm  VmtH0       PROPOSEDRULE6.4 #"  ` LAWREFORMACTIVITIESAFFECTINGCLIENTINTERESTS#!!H(#.D(#(##203VmtHH݌ $# Ќ  2X XXX CHAPTER7.INFORMATIONABOUTLEGALSERVICES!!H(#.aa6204 ]&!% Vm  VmJ0       PROPOSEDRULE7.1 /(#'  ` COMMUNICATIONSCONCERNINGALAWYERSSERVICES#!!H(#.A(#(##204#X XX2X їI#VmJ2J݌ )h$( Ќ  Vm  VmZK0     2X XXX VmZKvK݌ (#(# Ќ  Vm  VmL0     #X XX2X ѬK#VmL"L݌ (#(# Ќ    iv2X XXX  -(-   3c" 38 XXdXXd8 "38 XXdXXd8 "  LVm  VmN0     f  g   PROPOSEDRULE7.2  0` (#(#ADVERTISINGANDOTHERCOMMUNICATIONSNOTDIRECTEDTO @"  @"  @"  @"  @"  @"  @"  @"  @"  @" VmN!N݌` (#` (# Ќ     ` SPECIFICALLYIDENTIFIEDRECIPIENTS!!H(#.6206 k #X XX2X L#g 2X XXX   PROPOSEDRULE7.3 =     ` SOLICITATIONANDOTHERCOMMUNICATIONSDIRECTEDTO  & v    ` SPECIFICALLYIDENTIFIEDRECIPIENTS!!H(#.6211  _ Vm  VmQ0       PROPOSEDRULE7.4  1   ` COMMUNICATIONOFFIELDSOFPRACTICE#!!H(#.^^7(#(##217VmQQ݌    Ќ  Vm  VmR0       PROPOSEDRULE7.5    ` FIRMNAMESANDLETTERHEADS#!!H(#..(#(##220VmRR݌   Ќ  Vm  VmS0       PROPOSEDRULE7.6 W   ` INTERMEDIARYORGANIZATIONS#!!H(#..(#(##223VmSS݌ @ Ќ  Vm  VmT0     CHAPTER8.MAINTAININGTHEINTEGRITYOFTHEPROFESSION#!!H(#.A(#(##234VmTT݌ b Ќ  Vm  VmU0       PROPOSEDRULE8.1 4  ` BARADMISSIONANDDISCIPLINARYMATTERS#!!H(#.:(#(##234VmUU݌  Ќ  Vm  VmV0       PROPOSEDRULE8.2   ` JUDICIALANDLEGALOFFICIALS#!!H(#.0(#(##236VmVV݌  Ќ  Vm  VmW0       PROPOSEDRULE8.3 Z  ` REPORTINGPROFESSIONALMISCONDUCT#!!H(#.666(#(##238VmWW݌ C Ќ  Vm  VmX0       PROPOSEDRULE8.4 e  ` MISCONDUCT#!!H(#.(#(##241VmXX݌ N Ќ  Vm  VmY0       PROPOSEDRULE8.5 !    ` DISCIPLINARYAUTHORITY;CHOICEOFLAW#!!H(#.9(#(##246VmYY݌ " ! Ќ  C  PROPOSEDTRANSITIONRULE $#    ` GOVERNINGIMPLEMENTATIONOFTENNESSEE t% $    ` RULESOFPROFESSIONALCONDUCT!!H(#.1250 ]&!% #X XX2X >P#2X XXX   f  g f  vf  g  -(- .٦ .  .  C\    8 XXdXXd8&OaPREAMBLE ,]   9]f    g [1]f  g Alawyerisanexpertinlawpursuingalearnedartinservicetoclientsandinthespirit  ofpublicserviceandengaginginthesepursuitsaspartofacommoncallingtopromotejusticeand l publicgood.Essentialcharacteristicsofthelawyerareknowledgeofthelaw,skillinapplyingthe U applicablelawtothefactualcontext,thoroughnessofpreparation,practicalandprudentialwisdom, >  ethicalconductandintegrity,anddedicationtojusticeandthepublicgood. ' w ]]  *!f  g [2]f  g Alawyerisarepresentativeofclients,anofficerofthelegalsystemandapublic  I citizenhavingspecialresponsibilityforthequalityofjustice.  2  `ch  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 @Ԁ  +#'+ &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% $ appealfromanadversejudgment.f  g f  g ԀThef  g Ԁsamemaybetrueoff  g Ԁlawyersemployedbythefederal ]&!% government.Also,certaingovernmentlawyersunderthesupervisionoftheseofficersmaybe F'"& authorizedtorepresentseveralgovernmentagenciesf  g ,officersoremployeesf  g Ԁinf  g Ԁlegalcontroversies /(#' incircumstanceswhereaprivatelawyercouldnotrepresentmultipleprivateclients.f  g  )h$( GovernmentlawyersinTennesseearealsosubjecttotheOpenMeetingsActasinterpretedby *Q%) theTennesseecourts.f  g ԀTheyalsomayhaveauthoritytorepresentthe"publicinterest"in *:&* circumstanceswhereaprivatelawyerwouldnotbeauthorizedtodoso.TheseRulesarenot +#'+ intendedtoabrogatethepowersandresponsibilitiesofgovernmentlawyersunderfederallawor  undertheconstitution,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 \#2X XXX  /(#' purposeoftheRule.ThePreambleandthisnoteonScopeprovidegeneralorientation.The )h$( Commentsareintendedeitherasguidestointerpretationorassuggestionsofgoodpractice,but *Q%) thetextofeachRuleisauthoritative. *:&*  +#'+ )bf  CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges  Made #X XX2X 8#ť2X XXX   #X XX2X y#  1.EachparagraphinthePreambleandScopehasbeennumbered.Thisparallelsthe I enumerationintheCommentsandwillfacilitatecitation. 2   2.Scope,Paragraph[4],hasbeenmodifiedinresponsetotheCommentfiledwiththe   CourtbytheAttorneyGeneralofTennessee.TheCommitteebelievesthatthischangeis   responsivetotheAttorneyGeneralsconcern,whilealsoacknowledgingthatlawyersforother   governmentalentitiesmayalsohavespecialpowersandresponsibilities.Ratherthancreate o   uniqueandnonuniformTennesseeexceptionsineachofthevariousrulesaboutwhichthe X   AttorneyGeneralvoicedconcern,theCommitteebelievesthatthisrevisionaffordsTennessee A  courtstheflexibilitytorecognizethedistinctivelegalresponsibilitiesandprerogativesofthe *z  AttorneyGeneralandothergovernmentlawyers.2X XXX f  g  c  Ц    CHAPTER1  CLIENTLAWYERRELATIONSHIP  hPROPOSEDRULE1.0 n ޫDEFINITIONS  X  r[O(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,orag Ԁsolepractitionerwho $# 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.j   _   COMMENT  l   2qX2X   #2X X2q:#Incircumstancesinwhichtheserulesrequireeitherconsentinwritingorwrittenconsent,    therequirementmaybesatisfiedbyanelectronictransmissionf  g f  g thatisreasonablycalculatedto   reachtheclient,providedthatf  g Ԁthetransmissioncanbereducedtowritingorpermanentlyretained   inelectronicformat.      COMMITTEENOTES  X  b ComparisonToCurrentTennesseeEthicsRules  +{   TherearenocounterpartstothesedefinitionsintheDisciplinaryRulesexceptasfollows: N 0  (d)FirmorLawFirm: AlawfirmisdefinedintheDisciplinaryRulesasincluding a   professionallegalcorporationandaprofessionallegallimitedliabilitylegalcompany.f     Paragraph(d)broadensthisdefinitionbyreferringmoregenerallytoaprivatefirmand  broadeningonedefinitiontoincludelegaldepartmentsandlegalservicesorganizations  aswellasthetraditionalprivatelawfirm.w(#(#    (m)Tribunal:ThisdefinitionisthesameasDisciplinaryRuleDefinition(8). J   ComparisonToABAModelRules  l   ThedefinitionsareidenticaltotheModelRuledefinitionsexceptasfollows:  ?  f    (b)ConsentsinWriting:ThereisnocounterpartintheModelRules. "" #X XX2X #2X XXX f  g 0  (e)FraudorFraudulent:TheModelRuledefinesthesetermsasdenoting conductthat $$ hasapurposetodeceiveandnotmerelynegligentmisrepresentationorfailureto_apprisf  g f  g f  g e_ |% % anotherofrelevantinformation.Theproposeddefinitionincludesspecificreferenceto e&!& intentionallyfalseandmisleadingstatementsandanintentionalomissionfroma N'"' statementoffactofsuchadditionalinformationaswouldbenecessarytomakethe 7(#( statementsmadenotmateriallymisleading. )p$)(#(# Ѐ   *Y%*  0  (g)Material:Thereisnodefinitionof materialintheModelRules.*B&+(#(#  ++', 0  (h)Partner:TheModelRuledefinitionofa partnerislimitedto amemberofa  partnershipanda shareholderinalawfirmorganizedasaprofessionalcorporation.  TheCommitteehasbroadenedthisdefinitionwhichisusedinRules5.1through5.4  toincludemembersin_PLLCs_Ԁandasolepractitionerwhoemploysotherlawyersor k _nonlawyers_#X XX2X R#2X XXX Ԁinconnectionwithhisorherpractice.T(#(#  0  (l)Substantial:Thedefinitionhasbeenslightlymodifiedtohighlighttherelationship & v betweenmateriality(somethingareasonablelawyerwouldconsiderimportant)and  _ substantiality(somethingthatisofclearandweightyimportance). H(#(#  ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments       Thedefinitionsweretransferredfroma TerminologysectionattheendofthePreamble   toanewRule1.0.     Thefollowingdefinitionsweredeletedasunnecessary: X    Agencydenotesagovernmentalorganizationorentityotherthanatribunal. *z   Employeedenotesapersonwhoisactingonbehalfofalawyerorlawfirmandwho L   hasagreedtobesubjecttoalawyersrighttocontrolwithrespecttoactionstakenon 5   behalfofthelawyerorlawfirm.    "Organizationorotherlegalentity"denotestrusts,estates,partnerships,limited     partnerships,corporations,limitedliabilitycompanies,limitedliabilitypartnerships,and    otherrelationshipsregardedinlawashavingalegalexistenceseparateanddistinctfrom r   thatofthepersonswhoarepartiestotherelationship. [   "Person"denotesanindividual,anorganizationorotherlegalentity,oranagency. -}   Paragraph(b)defining ConsentsinWritingwasadded. O  #X XX2X 1#CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges !!  Made2X XXX  " ! #X XX2X .#  1.AredundantreferencetolimitedliabilitypartnershipsinParagraph(h)sdefinitionof $#  partnerwasdeleted.X XXX  x% $   2.InresponsetoasuggestionfrommembersoftheTBAsTax,Probate,andTrustLaw J'"& Section,Paragraph(b)andComment[1]weremodifiedtoclarifythatawrittenconfirmationof 3(#' anoralconsentmustbetransmittedtotheclientby meansreasonablycalculatedtoreachthe )l$( client.Thisincreasesthelikelihoodthattheclientwillreceivetheconfirmationandprotects *U%) thelawyerwherethelawyerhastransmittedtheconfirmationbyreasonablemeans,buttheclient *>&* doesnotreceiveit.#X XXX &#2X XXX   +''+ f  g   PROPOSEDRULE1.1  COMPETENCE   0Alawyershallprovidecompetentrepresentationtoaclient.Competentrepresentationrequires m thelegalknowledge,skill,thoroughnessandpreparationreasonablynecessaryforthe V representation. ?    Ӏ COMMENT   a    LegalKnowledgeandSkill   7    [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]g f  g Inasituationinwhichaclientisthreatenedwithimminentandirreparableharm,f  g Ԁa l lawyermaygiveadviceorassistanceinamatterinwhichthelawyerdoesnothavetheskill  U ordinarilyrequiredwherereferraltoorconsultationorassociationwithanotherlawyerwouldbe  > impractical.Eveninf  g f  g Ԁsuchasituationf  g ,however,assistanceshouldbelimitedtothatreasonably !'  necessaryinthecircumstances,forillconsideredactionf  g Ԁcanjeopardizetheclient'sinterest. "!   [4]Alawyermayacceptrepresentationwheretherequisitelevelofcompetencecanbe $# achievedbyreasonablepreparation.Thisappliesaswelltoalawyerwhoisappointedascounsel {% $ foranunrepresentedperson.SeealsoRule6.2. d&!%    ThoroughnessandPreparation  6(#' 7  [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_)      COMMITTEENOTES \   ComparisonToCurrentTennesseeEthicsRules  0   DR6101(A)(1)providesthatalawyershallnothandleamatter"whichheknowsor U shouldknowthatheisnotcompetenttohandle,withoutassociatinghimselfwithalawyerwho > iscompetenttohandleit."DR6101(A)(2)requires"preparationadequateinthe ' circumstances."Rule1.1morefullyparticularizestheelementsofcompetence.WhereasDR6  101(A)(3)prohibitsthe"[_n]eglect_Ԁofalegalmatter,"Rule1.1doesnotcontainsucha  prohibition.Instead,Rule1.1affirmativelyrequiresthelawyertobecompetent.   ComparisonToABAModelRules 󀀀 d   ProposedRule1.1isidenticaltoABAModelRule1.1. 9  ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments  \    TheCommitteemodifiedComment[1]bydeletingthetwoexamplesofwhenalawyer !/  mightbeheldtothestandardofaspecialist whenalawyerispracticinginafieldoflaw "! regardedbylawyersasrequiringspecialexpertise,orinwhichlawyersmaybecertifiedas #" specialistsbytheCommissiononSpecializationandContinuingLegalEducationand whena $# lawyerclaimstohavespecialexpertise. % $ ]  TheCommitteemodifiedComment[2]bydeletingthestatementthat alawyershould U'"& notundertaketherepresentationofaclientinamatterthelawyerisnotpersonallycompetentto >(#' handleunlesstheclientisfirstadvisedthatthelawyerwillneedtoassociateanotherlawyerin ')w$( thematter. *`%)   TheCommitteedeletedComments[7]through[10],whichreadasfollows: +2'+ Ї0   ` [7]InordertobecertifiedasaspecialistbytheCommissiononSpecialization  andContinuingLegalEducation,alawyermustcarryatleast$500,000malpractice  insurance.Althoughthereisnorulerequiringlawyerstocarrymalpracticeinsurance,a  lawyershouldcarrysuchmalpracticeinsurance,orhaveinreservesufficientassets,as k willenablethelawyertocompensatethelawyersclientsforreasonablyforeseeable T lossesthatmaybecausedbythefailureofthelawyertorepresenttheclientin =  accordancewiththestandardsofreasonablelawyersinthisTennessee.& v(#(# 0   ` [8]Althoughthedutysetforthinthisruleisonlyadutytoprovidecompetent  H representationtoapersonalawyerisrepresentingasaclient,alawyershouldalsoact  1  reasonablytopreventaprospectiveclientwhothelawyerdeclinestorepresentina    matterfromerroneouslyassumingthatthelawyersdecisionnottoundertakethe   representationconstitutesadvicewithrespecttothemeritsofthemattertheclienthas   discussedwiththelawyer.Itisparticularlyimportantthatthelawyerdosoifthe   prospectiveclienthasconsultedwiththelawyeraboutthematteratthelawyersoffice,at n  amutuallyprearrangedmeeting,oratameetinginitiatedbythelawyer.Upondeciding W  nottorepresenttheprospectiveclientinthematter,thelawyershould,priortoorwithin @ areasonabletimeaftertheconclusionoftheconsultation,communicatewiththe )y prospectiveclientinawayreasonablycalculatedtoinformtheprospectiveclientthatthe b lawyerisnotundertakingtherepresentationandthattheprospectiveclientshould K promptlyconsultanotherlawyerifheorsheisstillinterestedinpursuingthematter.In 4 manyinstancesalawyerwhodeclinestorepresentaprospectiveclientinamatterwillbe  welladvisedtocommunicatethisinformationtotheprospectiveclientinwriting.(#(#        ` [9]SeeRule1.8(H)withrespecttothevalidityofagreementsbetweenalawyer    andaclientwhichprospectivelylimitthelawyersliabilityformalpracticeorsettleclient q   claimsthatthelawyerdidnotprovidethemwithcompetentrepresentation.Although Z   Rule1.2(D)permitsalawyerandclienttoagreetolimittheobjectivesorscopeofthe C   lawyersrepresentation,thelawyerisprohibitedfromenteringintoanysuchagreement ,|   aswouldpreventthelawyerfromprovidingtheclientwiththecompetentrepresentation e   requiredbythisRule. N 0   ` [10]Ifalawyercomestoknowthatheorshehasnotprovidedcompetent !   representationtoaclientandthatthefailuretodosoislikelytohaveorhashada " ! materialadverseeffectontherepresentationoftheclient,thelawyershouldtryto #" preventorrectifytheadverseeffect.Ifunabletodoso,thelawyershouldconsultwith $# theclientabouttheproblemandactreasonablytocompensateclientforlossescausedby t% $ thefailureofthelawyertoprovidethecompetentrepresentationrequiredbythisrule.]&!%(#(#   AlldeletionsweremadetobringProposedTennesseeRule1.1intoconformitywith /(#' ABAModelRule1.1.AlthoughtheCommitteeapprovedthesubstanceofthedeletedmaterial, )h$( itwastheconclusionthatitwasnotsufficientlyimportanttowarrantsacrificingtheuniformity *Q%) thatcomeswithadoptionoftheABAModelRule. *:&*  +#'+ #X XX2X # CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges  Made 2X XXX   #X XX2X )#2X XXX #X XX2X р#  1.InlightoftheCommitteesapprovalofasuggestionfrommembersoftheTBAsTax, m ProbateandTrustLawSectionthatComments[6]and[7]toRule1.14bemodifiedtoreplace V theconceptofan emergencywithamorespecificreferencetosituationsinwhichaclientwill ?  suffer imminentandirreparableharm,theCommitteeconcludedthatComment[3]tothisRule ( x shouldbesimilarlymodified.Inbothsituations,theCommitteewasconcernedthattheconcept  a ofanemergencymightbetoonarrowlyconstruedsothatitwouldonlyembraceunexpectedand  J suddenlyoccurringsituations,ratherthanallsituationsinwhichaclientneedsalawyershelpto  3  preventimminentandirreparableharm.Thischangeisalsoconsistentwiththesuggestionofthe    ProfessionalismCommitteeoftheKnoxvilleBarAssociationthatComment[3]sreferencetoan    emergencybedefined.      2.TheTBACommitteeconsidered,butdidnotapprove,therecommendationofthe q  BoardofProfessionalResponsibilitythatProposedRule1.1bereplacedwiththesubstanceof Z  DR6101(A).TheBoardcontendsthatDR6101(A)(1)affordsclientsmoreprotection,willbe C easiertoenforce,andgivesmoreguidancetolawyers.Forthefollowingreasons,theTBA ,| CommitteedisagreeswiththeBoardsconclusionsforanumberofreasons: e    ` a.ReplacingProposedRule1.1withDR6101wouldbeinconsistentwiththe 7   Committeesgoalofpromotinguniformityamongstateethicsrules.      ` b.ProposedRule1.1affordsclientsprotectionidenticaltotheprotection   0  affordedbyDR6101(A)(2)and(3).Thereisnoquestionthatalawyerwho  @   violatesDR6 101(A)(2)( alawyershallnothandlealegalmatterwithout  @  t preparationadequateinthecircumstances)willhavefailedtoprovide competent @6!  ] representationtoaclientasdefinedinProposedRules1.1toinclude preparation @(!  F reasonablynecessaryforthe h representation.Comment[5]reinforcesthispointby @b!  / repeatingthatreasonablycompetentrepresentation alsoincludesadequatepreparation. @#  h TheCommentprovidesfurtherguidancebystatingthat requiredattentionand   Q preparationaredeterminedinpartbywhatisatstake;majorlitigationandcomplex @R!   : transactionsordinarilyrequiremore  elaboratetreatmentthanmattersoflesser  !#  consequence.Similarly,alawyerwhoviolatesDR6101(A)(3)( alawyershallnot @!  " ! neglectalegalmatterentrustedtothelawyerwill p violateProposedRule1.1'sdutyto @"  #" providecompetentrepresentationasdefinedtoinclude thoroughnessandpreparation @1"  $# reasonablynecessaryfortherepresentation.)Neglectingamatterwouldalsoviolate @!  w% $ Rule1.3'srequirementthatthelawyeractwith reasonable  diligence.`&!%(#(# 0   ` c.TheTBACommitteeacknowledgesthatProposedRule1.1differsfromDR6 2(#' 101(A)(1)inthatitdoesspecificallyprecludealawyerfrom handlingamatterthatthe )k$( lawyerknowsorshouldknowthelawyerisnotcompetenttohandle.Alawyercannot *T%) violateRule1.1byundertakingacasethatlawyerisnotcompetenttohandle.Rather, *=&* Rule1.1willonlybeviolatedifthelawyer,havingundertakenacasethelawyerwasnot +&'+ competenttohandle,thereafterfailstoprovidecompetentrepresentation.Concurringin  thereasoningsetforthinComment[2],theCommitteebelievesthat,forpurposesof  discipline,thelawyershouldbejudgednotbywhatcompetenceheorsheisthoughtto  havewhenacaseisundertaken,butratherbythequalityoftherepresentationactually k providedtotheclientbyvirtueofthelawyerspreparationorassociationofanother T lawyer.Also,theTBACommitteedoesnotbelieveitmakessenseforalawyerwho =  competentlyrepresentedaclienttobeexposedtoariskofdisciplinebecausethelawyer & v wasnotcompetenttohandlethematterwhentherepresentationwasundertaken. _(#(#    ` d.TheProposedRuleaffordsthepublicgreaterprotectionthanDR6101(A)  1    becauseitpermitsdisciplineofalawyerwhodoesnotneglectamatter,butwho       nonethelessfailstoprovidecompetentrepresentationbecauseofadefectineitherthe     lawyersknowledgeorskillaswouldbereasonablynecessaryfortherepresentation.      n      f  g   @" PROPOSEDRULE1.2    @SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF    AUTHORITYBETWEENTHELAWYERANDCLIENT   toJ(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]Legalrepresentationshouldnotbebeingdeniedtopeoplewhoareunabletoafford  legalservices,orwhosecauseiscontroversialorthesubjectofpopulardisapproval.Bythesame  token,representingaclientdoesnotconstituteapprovaloftheclient'sviewsoractivities.     AgreementsLimitingtheScopeoftheRepresentation \ 0   [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  :   [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 +%'+  ~F ReasonableSeeRule1.0(_i_)   ConsultationSeeRule1.0(c)   KnowsSeeRule1.0(f) k  ReasonablyShouldKnowSeeRule1.0(k) T  FraudulentSeeRule1.0(e) =     COMMITTEENOTES  ` 4H  ComparisonToCurrentTennesseeEthicsRules   3    ThereisnodirectcounterparttothisRuleintheTennesseeRules.     Paragraph(a):ThereisnodirectcounterparttoParagraph(a)intheTennesseeRules,but   DR7-101(A)(f  4f  )providesthatalawyer"shallnotintentionally...failtoseekthelawful q  objectivesofhisclientthroughreasonablyavailablemeanspermittedbylawandDR Z  7-101(B)(f  g 4f  )providesthatalawyermay,"wherepermissible,exercisehisprofessionaljudgment C towaiveorfailtoassertarightorpositionofhisclient."_EC_Ԁ7-7reads:"Incertainareasoflegal ,| representationnotaffectingthemeritsofthecauseorsubstantiallyprejudicingtherightsofa e client,alawyerisentitledtomakedecisionsonhisown.Butotherwisetheauthoritytomake N decisionsisexclusivelythatoftheclient...."_EC_Ԁ78alsostatesthat,"[g _i]f  g n_Ԁthefinalanalysis, 7 however,the...decisionwhethertoforegolegallyavailableobjectivesormethodsbecauseof   nonlegalfactorsisultimatelyfortheclient....      Paragraph(b):ThereisnocounterparttoParagraph(b)intheTennesseeRules.     Paragraph(c):ThereisnocounterparttoParagraph(c)intheTennesseeRules.DR ] 7-101(A)(g 4f  g ),however,providesthatalawyer"shallnotintentionally...failtoseekthelawful F objectivesofhisclientthroughreasonablyavailablemeanspermittedbylaw...,leaving / unaddressedtheextenttowhichlawyersandclientsmayagreethatthelawyerwillprovidea h limitedrepresentation.  Q    Paragraph(d): DR7-102(A)(7)morebroadlyprovidesthatalawyershallnot"f  g [_c]ounsel_f  g  !#  orassisthisclientinconductthatthelawyerknowstobeillegalorfraudulent." "!  ComparisonToABAModelRules  $# Ѐ  Paragraph(a):g Exceptforthesecondf  Ԁhalfofthefirstsentence,f  ԀProposedRule1.2(a) d&!% tracksABAf  ԀModelRule1.2(a)f  .g f  Thef  Ԁsecondhalfofthefirstsentenceing thef  g ԀModelRuleg Ԁrequires M'"& thelawyertoconsultwithclientaboutthemeanstobeusedtopursuetheclientsobjectivesf  . 6(#' TheCommitteehaschangedthissothatthedutytoconsultaboutmeanswillbeaddressedin )o$( Rule1.4asanaspectofthelawyersdutytof  g Ԁkeeptheclientreasonablyinformedaboutthestatus *X%) oftherepresentations.Also,theProposedRuleexpresslyg f  g recognizesthelawyersimplied *A&* authoritytotakeactiontocarryouttherepresentation,but,inrecognitionthatimpliedauthority +*'+ canberevoked,Comment[1]discussestheresolutionofdisagreementsbetweenlawyerand  clientaboutthemeanstobeusedtocarryouttherepresentation.2X XXX   Hf  g   Paragraph(b)isidenticaltoABAModelRule1.2(b). k Ѐ T   Paragraph(c):Paragraph(c)isrelatedtobutsignificantlymodifiesModelRule1.2(c) =  whichprovidesthat alawyermaylimittheobjectivesoftherepresentationiftheclientconsents & v afterconsultation.TheProposedRulemakesclearthatlawyersandclientsarefreetolimitthe  _ scopeofthelawyersrepresentationoftheclientsolongasthelimitedrepresentationf  is  H reasonableunderthecircumstances.f  g   1         Paragraph(d):Paragraph(d)isidenticaltoModelRule1.2(d)exceptthatwealso   requirethelawyertorefusetocounselorassisttheclientifthelawyer reasonablyshouldknow   thattheclientsconductiscriminalorfraudulent.     g TheCommitteehasmovedABAModelRule1.2(e)toComment[14]. W   ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments  )y B.` hp x (#XB    c   g TheCommitteesubstantiallyrevisedProposedRule1.2g Ԁsothatitwouldmoreclosely M tracktheABAModelRule. 6   TheCommitteedeletedParagraph(B)ofthePreliminaryDraft,whichread:  ?+ ` hp x (#X?   ` (B)Beforeorwithinareasonabletimeafteragreeingtorepresentaclientina    matter,alawyerwhohasnotregularlyrepresentedtheclientinsimilarmattersshall s   consultwiththeclientaboutthescopeandobjectivesoftherepresentationandthe \   allocationofdecision-makingauthoritybetweenthelawyerandclient. E B.` hp x (#XB  TheCommitteeconcludedthatsuchconsultation,whiledesirable,shouldnotbe  g mandatedunderpainofprofessionaldisciplinebecauseofthedifficultyofascertainingthe  P properextentoftheconsultationinaparticularcase.  9   Paragraph(a)replacesParagraph(C)inf  g ԀthePreliminaryDraftthatf  readasfollowsf  : " ! f  g   g (C)Unlessrequiredorpermittedtodootherwisebyparagraph(E)orbyan  $#   agreementwiththeclientpermittedbyparagraph(D),alawyer v% $ B.` hp x (#XB ?+` ` hp x (#X?(1)shallprovidesuchservicesaswouldreasonablybeexpectedbytheclient H'"& underthecircumstances;and 1(#'  B.` hp x (#` XB   ` (2)shallabidebytheinstructionsoftheclientwithrespecttotheobjectivesofthe *S%)    ` representationandthemeansbywhichtheyaretobepursued;and *<&*  X?+ ` hp x (#X? +%'+  X?+` ` hp x (#X?(3)shallconsultwiththeclientandabidebytheclient'sspecificinstructions,if  any,withrespecttotheobjectivesoftherepresentationandanyofthefollowing  actions:   B.` hp x (#` XB ?+ ` hp x (#X?(a)inacivilproceedingthefilingofacomplaint,theoffer,acceptance,or T rejectionofaproposalforsettlementofthematter,orthefilingofan =  appealfromanadversedecision,or & v  B.` hp x (# XB X<( hp x (#(#X<0 ` 0 ` (#` (#(b)inacriminalproceedingtheentryofaplea,theoffer,acceptanceor  H rejectionofaproposalwithrespecttothepleatobeenteredorsentenceto  1  beimposed,thewaiverofaconstitutionalrightortestimonialprivilegeof    theclient,orthefilingofanappealofaconvictionorsentence,or  (# (#  XB+` ` hp x (#(#  X(#B B+ ` hp x (#` ` X(#B(c)anyotheractionthatthelawyerreasonablybelieveswillsubjectthe   clienttoamaterialriskofcivilorcriminalliabilityorwillcause n  substantialharmtoanotherperson;and W  @Z B.` hp x (# XB ?+` ` hp x (#X?(4)intheabsenceofinstructionsfromtheclienttothecontrary,thelawyermay, )y withoutpriorconsultationwiththeclient,takeanyotheractionthelawyer b reasonablybelieveswillcontributetotheachievementoftheclientsobjectives. K  B.` hp x (#` XBf  g   f  TheCommitteeconcludedthatthespecificationofthescopeofarepresentationin  Paragraph(C)(1)wasunnecessaryandthattherequirementinParagraph(C)(2)thatthelawyer  abidebyclientinstructionswasilladvisedinlightofthevarietyofsituationsinwhichsucha  dutymightbeimplicatedandtheimportanceoflawyersretainingindependenceofprofessional  judgment.TheCommitteealsoconcludedthatthelistofdecisionsinParagraph(C)(3)thatmust q bemadebytheclientshouldbeconformedwithABAModelRule1.2(a). Z   Withrespecttodisagreementsbetweenthelawyerandtheclientastothemeanstobe ,| usedtoaccomplishtheclientsobjectives,thefinaldraftreflectstheCommitteesjudgmentthat e suchdisagreementsshouldberesolvedbythelawyerandtheclientwiththeclienthavingthe N righttodischargethelawyeriftheycannotreachagreementandthelawyerhavingasimilar  7 righttowithdrawfromtherepresentation(subject,ofcourse,tothepowerofthecourttodenya !   requestforpermissiontowithdrawwherewithdrawalwouldinterferewiththedue " ! administrationofjustice). #"   Paragraph(b)f  g ԀisidenticaltoParagraph(A)ofthePreliminaryDraft.Itwasmovedso t% $ thattheparagraphingintheTennesseerulewouldbethesameasintheABAModelRule. ]&!%   Paragraph(c)f  g f  g ԀreplacesParagraph(D)ofthePreliminaryDraft,whichread: /(#'  X?+ ` hp x (#X?(D)Afterconsultationbythelawyerwiththeclient,alawyerandclientmaybywritten *Q%) agreementlimitthescopeandobjectivesoftherepresentation,limitthemeansthelawyer *:&* willemployinrepresentingtheclient,orallocatetoeitherthelawyerorclientauthority +#'+ tomakedecisionswithrespecttotherepresentation,provided,however,thatnosuch  agreementshallbeeffectiveto   XB.` hp x (#XB ?+` ` hp x (#X?(1)conferuponthelawyerunrestrictedauthoritytoofferortoacceptorrejectan k offerofasettlementinacivilproceedingorapleaagreementinacriminal T prosecution,or =   ?+` ` hp x (#` X?(2)conferuponthelawyeranirrevocableauthoritytotakeactiononbehalfofthe  _ client,or  H l B.` hp x (#` XB ?+` ` hp x (#X?(3)conferuponthelawyerauthoritytotakeactioniftherehasbeenamaterial    changeincircumstancesrelatingtotheactionthatthelawyerhasreasonto   believewasnotanticipatedbytheclientatthetimethelawyerwasauthorizedto   taketheaction,or    X<(` ` hp x (#` X< ` (4)toconferuponthelawyertheauthoritytotakeanactioniflawortherulesofa W   ` tribunalrequirethattheactionbetakenpersonallyorbespecificallyapprovedby @  ` theclient. )y  XB.` hp x (#` ` XBӀ b f  g f    g TheCommitteeconcludedthattheeffectivenessofadelegationofauthoritybytheclient K tothelawyerwasmoreappropriatelyaddressedintheComments.TheCommitteealso 4 concluded,however,thatagreementslimitingthescopeofarepresentationshouldonlybe  permittedifreasonableunderthecircumstances.    Paragraph(d)replacesParagraph(E)ofthePreliminaryDraftthatread:   X?+ ` hp x (#X?(E)Notwithstandinganyagreementorinstructionstothecontrary,alawyer Z  XB.` hp x (#XB ?+` ` hp x (#X?(1)shallnotcounseltheclienttoengageinorassisttheclientinconduct,or ,| otherwisetakeactiononbehalfoftheclientwhichthelawyerknowsor e reasonablyshouldknowisillegal,fraudulent,orprohibitedbytheRulesof N ProfessionalConduct,exceptthatthelawyermaydiscussthelegalconsequences  7 ofanyproposedcourseofconductwithaclientandmaycounselorassistaclient !   tomakeagoodfaithefforttodeterminethevalidity,scope,meaningor " ! applicationofthelaw;and #"    ?+` ` hp x (#` X?(2)mayrefusetotakeanyactionthelawyerbelievesisillegal,fraudulent,or t% $ prohibitedbytheRulesofProfessionalConduct;and ]&!%  B.` hp x (#` XB ?+` ` hp x (#X?(3)mayrefusetotakeanyactionthelawyerreasonablybelievesis /(#' unprofessional;and )h$(  B.` hp x (#` XB ?+` ` hp x (#X?(4)maytakeanyactionthatlaw,theRulesofProfessionalConduct,ortheorder *:&* ofatribunalrequiresthelawyertotake;and +#'+  B.` hp x (#` XB ?+` ` hp x (#X?(5)maytakeanyactionwithouttheconsentoftheclientwhenlaworanorderof  atribunalrequiressuchimmediateactionthatthelawyerreasonablybelievesthat  theconsentoftheclientcannotbeobtainedpriortotakingaction. k  B.` hp x (#` XB X?+ ` hp x (#X?BecauseProposedRule1.2nolongerrequiresthelawyertoabidebyclientinstructions =   XB.` hp x (#XBaboutthemeanstobeusedtoaccomplishtheclientsobjectives,theCommitteeconcludedthat & v paragraphs(2)through(5)-whichwereexceptionstothedutytoabidebyclientinstructions-  _ werenolongernecessaryandthatthepointmadebytheseparagraphscouldbeincorporatedinto  H theComment.  1  #X XX2X !W# CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges   Made 2X XXX    #X XX2X #  TheAttorneyGeneralhasvoicedconcernabouttheinconsistencybetweenRule1.2(a) p  andthestatutoryauthorityoftheAttorneyGeneralpursuanttoTenn.CodeAnn.86 Y  109(b)(1)and2013103.TheCommitteebelievesthatithasadequatelyaddressedthisproblem B inScope,Paragraph[4]. +{   d 2X XXX f  g W    PROPOSEDRULE1.3  DILIGENCE q   e Alawyershallactwithreasonablediligenceandpromptnessinrepresentingaclient. W    COMMENT  ) y ]  [1]Alawyershouldpursueamatteronbehalfofaclientdespiteopposition,obstruction  L orpersonalinconveniencetothelawyer,andmaytakewhateverlawfulandethicalmeasuresare  5  requiredtovindicateaclient'scauseorendeavor.Alawyershouldactwithcommitmentand    dedicationtotheinterestsoftheclientandwithzealinadvocacyupontheclient'sbehalf.   However,alawyerisnotboundtopressforeveryadvantagethatmightberealizedforaclient.   Unlessinstructedbyaclienttothecontrary,alawyerhasprofessionaldiscretionindetermining   themeansbywhichamattershouldbepursued,andthelawyerisnotrequiredtoabideby r  unreasonableclientinstructions.SeeRule1.2.Alawyer'sworkloadshouldbecontrolledsothat [  eachmattercanbehandledadequately. D   [2]Perhapsnoprofessionalshortcomingismorewidelyresentedthanprocrastination.A f client'sinterestsoftencanbeadverselyaffectedbythepassageoftimeorthechangeof O conditions;inextremeinstances,aswhenalawyeroverlooksastatuteoflimitations,theclient's 8 legalpositionmaybedestroyed.Evenwhentheclient'sinterestsarenotaffectedinsubstance, ! however,unreasonabledelaycancauseaclientneedlessanxietyandundermineconfidencein   thelawyer'strustworthiness.    [3]UnlesstherelationshipisterminatedasprovidedinRule1.16,alawyershouldcarry u throughtoconclusionallmattersundertakenforaclient.Ifalawyer'semploymentislimitedtoa ^ specificmatter,therelationshipterminateswhenthematterhasbeenresolved.Ifalawyerhas G servedaclientoverasubstantialperiodinavarietyofmatters,theclientsometimesmayassume 0 thatthelawyerwillcontinuetoserveonacontinuingbasisunlessthelawyergivesnoticeof i withdrawal.Doubtaboutwhetheraclientlawyerrelationshipstillexistsshouldbeclarifiedby  R thelawyer,preferablyinwriting,sothattheclientwillnotmistakenlysupposethelawyeris  ; lookingaftertheclient'saffairswhenthelawyerhasceasedtodoso.Forexample,ifalawyer !$  hashandledajudicialoradministrativeproceedingthatproducedaresultadversetotheclient " ! buthasnotbeenspecificallyinstructedconcerningpursuitofanappeal,thelawyershouldadvise #" theclientofthepossibilityofappealbeforerelinquishingresponsibilityforthematter. $#    _DEFINITIONAL_ԀCROSSREFERENCES a&!%   ReasonableSeeRule1.0(_i_) 4(#'    COMMITTEENOTES *W%) ȜComparisonToCurrentTennesseeEthicsRules  ++'+ Ї  TheProposedRuleisidenticaltoDR710f  1f  g (A)(1).DR6101(A)(3)alsorequiresthata  lawyernot"neglectamatterentrustedtohim."   ComparisonToABAModelRules  l   TheProposedRuleisidenticaltoABAModelRule1.3. A   ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments   d   Nochanges.  9   #X XX2X #CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges   Made2X XXX     #X XX2X ߟ#  1.TheBoardofProfessionalResponsibilityhasaskedtheCourttoaddasecondsentence x  totheRulethatwouldstate: Alawyershallnotneglectalegalmatterentrustedtothelawyer. a  ThiswordingcomesfromDR6103(A)(3).TheCommitteebelievesthatthisadditionis J unnecessarybecause___a_ԀlawyerwhoneglectsamatterhasviolatedRule1.3byfailingtoprovide 3 diligentandpromptrepresentation.If,however,theCourtbelievesthereshouldbeaspecific l referencetoneglect,theCommitteerecommendsthatthispointbemadeinanewfirstsentence U toComment[1],ratherthanintheRuletext,soastomaintaintheconsistencyofthisRulewith > theABAModelRule,whichhasbeenwidelyadopted. '   2.TheAttorneyGeneralhasvoicedaconcernaboutthatportionofComment[1]that  referstotherightoftheclienttodeterminethemeansbywhichamattershouldbepursued.Such  arightissaidtobeinconsistentwiththeAttorneyGeneralsresponsibilitytomakedecisions { aboutlitigatedmattersintheinterestsoftheStateofTennessee,notwithstandingthedictatesor d wishesofagencyofficials.AsexplainedintheCommitteesresponsetotheAttorneyGenerals M concernsaboutRule1.2,whichspecificallyaddressestheallocationofauthoritybetweenlawyer 6 andclient,theCommitteebelievesthattheseconcernsareadequatelyaddressedinScope, o Paragraph[4].2X XXX  f  g   X    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 &  [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  5 Reasonableand ReasonablySeeRule1.0(_i_) C    COMMITTEENOTES e   ComparisonToCurrentTennesseeEthicsRules  8   TheproposalisidenticaltoDR7101(A)(2)and(3)f  ,exceptthat withinareasonable   timeisadded.f  f     ComparisonToABAModelRules  x   TheproposalisidenticaltoModelRule1.4f  ,exceptthat withinareasonabletimeis K addedf  g .f  g  4  ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments   V   ToconformtheproposaltothecurrentTennesseeRulesandABAModelRule1.4,the !)  followingparagraphscontainedinthePreliminaryDraftweredeleted: "! W  (A)Beforeorwithinareasonabletimeafteragreeingtorepresentaclientina $#   matter, ` alawyershallconsultwiththeclientabouttherepresentationasmaybe }% $   requiredbytheRulesofProfessionalConduct.  f&!%   (B)Duringthecourseoftherepresentation,alawyershall ;(#'    ` (2)initiateaconsultationwiththeclientwithinareasonabletime  *]%)  _ *F&*    `  (a)priortotakinganyactionrequiringthespecificconsentofthe      `  client;or  0  0`   0 ` ` (b)afterthelawyercomestoknowthattheclientexpects k assistancenotpermittedbytheRulesofProfessionalConductor T otherlaworthatthelawyerisotherwiseunwillingtoprovide.=     TheCommitteeconcludedthatparagraph(A)wasunnecessaryandthatthematterscoveredin  ` Paragraph(B)(2)areadequatelyaddressedinRule1.2.  I #X XX2X C# CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges    Made 2X XXX    f    Nocommentorchanges.f  g    Ѐ1     .~ 0   PROPOSEDRULE1.5  FEES  p | (a)Alawyer'sfeeandchargesforf  g 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,thelawyersha