newfinalred-c

NOTE:This draft of the Proposed Tennessee Rules of Professional Conduct includes,
after each Proposed Rule, Comment, and Definitional Cross-References, a section entitled
Committee Notes. This section, prepared on behalf of the Committee, includes a brief comparison
of the Proposed Ruleand Comment

to existing Tennessee ethics rules, a brief comparison of the
Proposed Ruleand Commentto the pertinent provisions of the ABA Model Rules of Professional

Conduct; and

a brief description of any changes made to the Proposed Rule and Comment

since

afterthe Committee’s Preliminary Draft,wasissued by the Committee for discussion
purposes in November 1997, yet before the Petition was filed in October 2000; and a brief
description of comments received by the Tennessee Supreme Court or the Committee after the
filing of the TBA Petition in October 2000, as well as any response or changes to the Proposed
Rule made by the Committee in response to such comments.

TABLE OF CONTENTS

Page

PREAMBLE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

SCOPE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

CHAPTER 1. CLIENT-LAWYER RELATIONSHIP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
PROPOSED RULE 1.0 DEFINITIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

PROPOSED RULE1.1

COMPETENCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

PROPOSED RULE 1.2SCOPE OF THE REPRESENTATION AND THE
ALLOCATION OF AUTHORITY BETWEEN THE LAWYER AND CLIENT . . . . 15

PROPOSED RULE 1.3

DILIGENCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

PROPOSED RULE 1.4

COMMUNICATION . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

PROPOSED RULE 1.5

FEES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

PROPOSED RULE 1.6

CONFIDENTIALITY . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

PROPOSED RULE 1.7

CONFLICT OF INTEREST:GENERAL RULE. . . . . 45

PROPOSED RULE 1.8 CONFLICT OF INTEREST:PROHIBITED
TRANSACTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

PROPOSED RULE 1.9

CONFLICT OF INTEREST: FORMER CLIENT

. . . . 61

PROPOSED RULE 1.10

IMPUTED DISQUALIFICATION: GENERAL RULE

PROPOSED RULE 1.11 SUCCESSIVE GOVERNMENT AND PRIVATE
EMPLOYMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73

PROPOSED RULE 1.12

FORMER JUDGE OR ARBITRATOR . . . . . . . . . . . . . 77

PROPOSED RULE 1.13

ORGANIZATIONAL CLIENTS . . . . . . . . . . . . . . . . . . 79

PROPOSED RULE 1.14

CLIENT UNDER A DISABILITY . . . . . . . . . . . . . . . . . 85

PROPOSED RULE 1.15

SAFEKEEPING PROPERTY . . . . . . . . . . . . . . . . . . . . . 89

PROPOSED RULE 1.16

DECLINING AND TERMINATING REPRESENTATION
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94

PROPOSED RULE 1.17

SALE OF A LAW PRACTICE

. . . . . . . . . . . . . . . . . . 100

CHAPTER 2. THE LAWYER AS COUNSELOR, INTERMEDIATOR

INTERMEDIARY, AND
DISPUTE RESOLUTION NEUTRAL. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

PROPOSED RULE 2.1

ADVISOR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

PROPOSED RULE 2.2 LAWYER SERVING AS INTERMEDIARY BETWEEN
CLIENTS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

PROPOSED RULE 2.3

EVALUATION FOR USE BY THIRD PERSONS . . . 113

PROPOSED RULE 2.4

LAWYER AS DISPUTE RESOLUTION NEUTRAL

116

CHAPTER 3. ADVOCATE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
PROPOSED RULE 3.1 MERITORIOUS CLAIMS AND CONTENTIONS . . 124

ii
EXPEDITING LITIGATION . . . . . . . . . . . . . . . . . . . . 126

PROPOSED RULE 3.2

PROPOSED RULE 3.3

CANDOR TOWARD THE TRIBUNAL . . . . . . . . . . . 128

PROPOSED RULE 3.4

FAIRNESS TO OPPOSING PARTY AND COUNSEL 143

PROPOSED RULE 3.5

IMPARTIALITY AND DECORUM OF THE TRIBUNAL147

PROPOSED RULE 3.6

TRIAL PUBLICITY . . . . . . . . . . . . . . . . . . . . . . . . . . . 151

PROPOSED RULE 3.7

LAWYER AS WITNESS . . . . . . . . . . . . . . . . . . . . . . . 156

PROPOSED RULE 3.8

SPECIAL RESPONSIBILITIES OF A PROSECUTOR158

PROPOSED RULE 3.9

ADVOCATE IN NON-ADJUDICATIVE PROCEEDINGS163

CHAPTER 4. TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS . . . . . . . . . 165

PROPOSED RULE 4.1 TRUTHFULNESS AND CANDOR IN STATEMENTS
TO OTHERS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165

PROPOSED RULE 4.2 COMMUNICATION WITH PERSON REPRESENTED
BY COUNSEL . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 170

PROPOSED RULE 4.3

DEALING WITH UNREPRESENTED PERSON . . . 174

PROPOSED RULE 4.4

RESPECT FOR RIGHTS OF THIRD PERSONS176

CHAPTER 5. LAW FIRMS, LEGAL DEPARTMENTS, AND LEGAL SERVICE
ORGANIZATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

iii

PROPOSED RULE 5.1
LAWYER OR

RESPONSIBILITIES OF A PARTNER, MANAGING
SUPERVISORY LAWYER. . . . . . . . 179

PROPOSED RULE 5.2

RESPONSIBILITIES OF A

SUBORDINATE LAWYER183

PROPOSED RULE 5.3 RESPONSIBILITIES REGARDING NONLAWYER
ASSISTANTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

PROPOSED RULE 5.4

PROFESSIONAL INDEPENDENCE OF A LAWYER 187

PROPOSED RULE 5.5

UNAUTHORIZED PRACTICE OF LAW . . . . . . . . . . 190

PROPOSED RULE 5.6

RESTRICTIONS ON RIGHT TO PRACTICE . . . . . . 192

PROPOSED RULE 5.7 RESPONSIBILITIES REGARDING LAW-RELATED
SERVICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194

CHAPTER 6. PUBLIC SERVICE

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198

PROPOSED RULE 6.1

PRO BONO PUBLICO REPRESENTATION. . . . . . 198

PROPOSED RULE 6.2

ACCEPTING COURT APPOINTMENTS . . . . . . . . . 202

PROPOSED RULE 6.3 MEMBERSHIP IN LEGAL SERVICES
ORGANIZATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204

PROPOSED RULE 6.4 LAW REFORM ACTIVITIES AFFECTING CLIENT
INTERESTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

CHAPTER 7. INFORMATION ABOUT LEGAL SERVICES. . . . . . . . . . . . . . . . . . . . . . . 207

PROPOSED RULE 7.1COMMUNICATIONS CONCERNING A LAWYER’S
SERVICES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207

PROPOSED RULE 7.2ADVERTISING AND OTHER COMMUNICATIONS
NOT DIRECTED TO
SPECIFICALLY IDENTIFIED RECIPIENTS . . . . . . . . . . . . . . . . . . . . . . . . . 210

PROPOSED RULE 7.3
SOLICITATION AND OTHER COMMUNICATIONS DIRECTED TO
SPECIFICALLY IDENTIFIED RECIPIENTS . . . . . . . . . . . . . . . . . . . 215

PROPOSED RULE 7.4

COMMUNICATION OF FIELDS OF PRACTICE . . 221

PROPOSED RULE 7.5

FIRM NAMES AND LETTERHEADS . . . . . . . . . . . . 224

PROPOSED RULE 7.6

INTERMEDIARY ORGANIZATIONS . . . . . . . . . . . . 227

CHAPTER 8. MAINTAINING THE INTEGRITY OF THE PROFESSION. . . . . . . . . . . . 238

PROPOSED RULE 8.1

BAR ADMISSION AND DISCIPLINARY MATTERS 238

PROPOSED RULE 8.2

JUDICIAL AND LEGAL OFFICIALS . . . . . . . . . . . . 240

PROPOSED RULE 8.3

REPORTING PROFESSIONAL MISCONDUCT

. . 242

PROPOSED RULE 8.4

MISCONDUCT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245

PROPOSED RULE 8.5

DISCIPLINARY AUTHORITY; CHOICE OF LAW. 250

PROPOSED TRANSITION RULEGOVERNING
IMPLEMENTATION OF TENNESSEE
RULES OF PROFESSIONAL CONDUCT. . . . . . . . . . . . . . . . . . . . . . . . . . 254