WPC - ȧ}mCZ6Gj8!P/ԒBeQ~Au}IC{T@32QQw9K ^4Я[.fMs t @uQA<'[.ʇM!1w)E1& jX{D0qժl*ڜSGnxO (^gM1) mº--ÆebF(wosN00@вq,p:lpB zwE~JT9Ժ3M!/_|HCPq^zZ\rNFx$ xo^'\/itTqȃ2ujuo0.OxqTXU< ?\SHh7"i/L׊:ncF#8@\& Jl N!T\hf%y [2qp1\e=QnQ&\# UKN % 0# H U N$ U<r M 8 w 4  mM* 1.UN 0AbDUNR  b 1uM$( 0N0~MU>MMMPG8MMe M 72 0U(2 0Z/NE!G^ hPtU@@a&{ 0 0 0 0j 0J 0' 0 0 0C 0 0 0 0k 09 0! 0! 0" 0@Q# 0# 0e$ 06% 0& 0& 0' 0\( 0)U>))))))))) D5** BN*N*N*N*N*N*N* 0k*k*k*k*k*k*k*k* AS*E+ 0 , 0D,,,,,,,,,,,,,,,,,,, B7,HP LaserJet 4050 Series PCL 60x@ Z6Times New Roman RegularX({$         TRY(3' LetterY3' Letter3' Letter3'8Avery 5266 Asst. File FolderTc:\Corel\Office7\Template\Wp7us.wpt(hH  Z6Times New Roman Regular\  `$Times NewRoman .#8Xd#  R[W+~3|xU(EhCEKQW]cioAutoList21.1.1.1.1.1.1.1.(  Z 6Times New Roman Regular(Vm$0   Page (hH  Z 6Times New Roman Regular 3#37=CIQYag1.a.i.(1)(a)(i)1)a) (O$www.cletn.com\  `&Times New Roman F8/XXdXXd8 =#Xd#      i)*+ (_2623  ..(3$ {!         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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     @  @ ExhibitC 2X2X%  f  g REVISEDf   g FINALREPORT  ofthe   TennesseeBarAssociation   CommitteefortheStudyof c  StandardsofProfessionalConduct   #2X%X2#2X2X%Ԁ Revised ԀCommitteeDraftof  ] ProposedTennesseeRulesofProfessionalConduct  #2X%X2{#2X2X%f  September30,2000 g f  g December3,2001 #2X%X2_#  Z" !] !8%XXdXXd8 !     G8%XXdXXd8B.` hp x (#XB  3c5      NOTE:ThisdraftoftheProposedTennesseeRulesofProfessionalConductincludes, k aftereachProposedRule,Comment,and_Definitional_ԀCross-References,asectionentitled T CommitteeNotes.Thissection,preparedonbehalfoftheCommittee,includesabrief =  comparisonoftheProposedRuleԀ andComment toexistingTennesseeethicsrules,abrief & v comparisonoftheProposedRule Ԁ andComment tothepertinentprovisionsoftheABAModel  _ RulesofProfessionalConduct ;f  and g abriefdescriptionofanychangesmadetotheProposedRule  H andCommentf  _since g f  g after_f   g ԀtheCommitteesPreliminaryDraftf  , g f  g Ԁwasf   g ԀissuedbytheCommitteefor  1  discussionpurposesinNovember1997f  g ,yetbeforethePetitionwasfiledinOctober2000;anda    briefdescriptionofcommentsreceivedbytheTennesseeSupremeCourtortheCommitteeafter   thefilingoftheTBAPetitioninOctober2000,aswellasanyresponseorchangestothe   ProposedRulemadebytheCommitteeinresponsetosuchcommentsf   g .     0H G 08%XXdXXd8  08%XXdXXd8     q.٦4<"TABLEOFCONTENTS    !!G(#Page     Vm  Vm0     PREAMBLE#""J(#. (#(##1Vm݌ T Ќ  Vm  Vm80     SCOPE#""J(#.(#(##2Vm8T݌ & 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#`"`"I(#.(#(##10f   g Vm[w݌ n  Ќ  Vm  Vm=0     f  g #X%XX2X%#f  g 2X%XXX%  PROPOSEDRULE1.2 h  @  ` SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF )y  ` AUTHORITYBETWEENTHELAWYERANDCLIENT#`"`"I(#.;(#(##1f  5f  g Vm=Y݌ b Ќ  Vm  VmR0       PROPOSEDRULE1.3 4  ` DILIGENCE#`"`"I(#. (#(##23VmRn݌  Ќ  Vm  VmK0       PROPOSEDRULE1.4   ` COMMUNICATION#`"`"I(#...!(#(##25VmKg݌  Ќ  Vm  VmI0       PROPOSEDRULE1.5 Z  ` FEES#`"`"I(#.2 2 (#(##28VmIe݌ C Ќ  Vm  Vm>0       PROPOSEDRULE1.6 e  ` CONFIDENTIALITY#`"`"I(#.ee#(#(##35Vm>Z݌ N Ќ  Vm  Vm>0       PROPOSEDRULE1.7 !    ` CONFLICTOFINTEREST:GENERALRULE#`"`"I(#.7(#(##45Vm>Z݌ " ! Ќ  Vm  VmR0       PROPOSEDRULE1.8 $#  ` CONFLICTOFINTEREST:PROHIBITEDTRANSACTIONS#`"`"I(#.B(#(##54VmRn݌ t% $ Ќ  Vm  Vmq0       PROPOSEDRULE1.9 F'"&  ` CONFLICTOFINTEREST:FORMERCLIENT#`"`"I(#.  8(#(##61Vmq݌ /(#' Ќ  Vm  Vm0     f    PROPOSEDRULE1.10 *Q%)  ` IMPUTEDDISQUALIFICATION:GENERALRULE#`"`"I(#.:(#(##66#X%XX2X%#2X%XXX% Vm݌ *:&* Ќ  Vm  Vm0     Vm ݌ (#(# Ќ    _i_ -(-   Vm  Vm 0     f  g   PROPOSEDRULE1.11   ` SUCCESSIVEGOVERNMENTANDPRIVATEEMPLOYMENT#`"`"I(#.@(#(##73Vm ݌  Ќ  Vm  Vm "0       PROPOSEDRULE1.12 T  ` FORMERJUDGEORARBITRATOR#`"`"I(#..(#(##77Vm "("݌ =  Ќ  Vm  Vm#0       PROPOSEDRULE1.13  _  ` ORGANIZATIONALCLIENTS#`"`"I(#.*(#(##79Vm#4#݌  H Ќ  Vm  Vm $0       PROPOSEDRULE1.14     ` CLIENTUNDERADISABILITY#`"`"I(#.\\-(#(##85Vm $<$݌   Ќ  Vm  Vm+%0     0(#(#PROPOSEDRULE1.15   0` (#(#SAFEKEEPINGPROPERTY#`"`"I(#.(` (#` (##89Vm+%G%݌ n  Ќ  Vm  VmA&0     0(#(#PROPOSEDRULE1.16 @ 0` (#(#DECLININGANDTERMINATINGREPRESENTATION#`"`"I(#.OO=` (#` (##94VmA&]&݌ )y Ќ  Vm  Vml'0       PROPOSEDRULE1.17 K  ` SALEOFALAWPRACTICE#!!H(#.ff+(#(##100Vml''݌ 4 Ќ  Vm  Vmu(0     CHAPTER2.THELAWYERASCOUNSELOR, INTERMEDIATOR (Ԁ INTERMEDIARY $),  ANDDISPUTERESOLUTIONNEUTRAL#!!H(#.  -(#(##104Vmu((݌  Ќ  Vm  Vm)0       PROPOSEDRULE2.1 q  ` ADVISOR#!!H(#. (#(##104Vm) *݌ Z Ќ  Vm  Vm*0       PROPOSEDRULE2.2 ,|  ` LAWYERSERVINGASINTERMEDIARYBETWEENCLIENTS#!!H(#.C(#(##106Vm*+݌ e Ќ  Vm  Vm,0       PROPOSEDRULE2.3  7  ` EVALUATIONFORUSEBYTHIRDPERSONS#!!H(#.KK7(#(##113Vm,$,݌ !   Ќ  Vm  Vm-0       PROPOSEDRULE2.4 #"  ` LAWYERASDISPUTERESOLUTIONNEUTRAL#!!H(#.jj9(#(##116Vm-9-݌ $# Ќ  f  CHAPTER3.ADVOCATE!!H(#. 124 ]&!%    PROPOSEDRULE3.1 /(#'    ` MERITORIOUSCLAIMSANDCONTENTIONS!!H(#.cc6124#X%XX2X%#2X%XXX%Ԉ )h$(   ii -(- 4< 4 4  /f  g   PROPOSEDRULE3.2    EXPEDITINGLITIGATION!!H(#.TT$126  Vm  Vm00       PROPOSEDRULE3.3 k  ` CANDORTOWARDTHETRIBUNAL#!!H(#..(#(##128Vm00݌ T Ќ  Vm  Vm10       PROPOSEDRULE3.4 & v  ` FAIRNESSTOOPPOSINGPARTYANDCOUNSEL#!!H(#.:(#(##143Vm11݌  _ Ќ  Vm  Vm20       PROPOSEDRULE3.5  1   ` IMPARTIALITYANDDECORUMOFTHETRIBUNAL#!!H(#.<(#(##147Vm22݌    Ќ  Vm  Vm30       PROPOSEDRULE3.6    ` TRIALPUBLICITY#!!H(#.#(#(##151Vm34݌   Ќ  Vm  Vm40       PROPOSEDRULE3.7 W   ` LAWYERASWITNESS#!!H(#.ww%(#(##156Vm45݌ @ Ќ  Vm  Vm50       PROPOSEDRULE3.8 b  ` SPECIALRESPONSIBILITIESOFAPROSECUTOR#!!H(#.<(#(##158Vm56݌ K Ќ  Vm  Vm70       PROPOSEDRULE3.9   ` ADVOCATEINNONADJUDICATIVEPROCEEDINGS#!!H(#.<(#(##163Vm7/7݌  Ќ  Vm  Vm-80     CHAPTER4.TRANSACTIONSWITHPERSONSOTHERTHANCLIENTS#!!H(#.B(#(##165Vm-8I8݌  Ќ  Vm  Vm90       PROPOSEDRULE4.1 Z  ` TRUTHFULNESSANDCANDORINSTATEMENTSTOOTHERS#!!H(#.wwC(#(##165Vm939݌ C Ќ  Vm  Vm8:0       PROPOSEDRULE4.2 e  ` COMMUNICATIONWITHPERSONREPRESENTEDBYCOUNSEL#!!H(#.D D D(#(##170Vm8:T:݌ N Ќ  Vm  VmZ;0       PROPOSEDRULE4.3 !    ` DEALINGWITHUNREPRESENTEDPERSON#!!H(#.5(#(##174VmZ;v;݌ " ! Ќ    PROPOSEDRULE4.4 $#    ` RESPECTFORRIGHTSOFTHIRDPERSONS!!H(#.7176 t% $ Vm  Vm=0     CHAPTER5.LAWFIRMS,LEGALDEPARTMENTS,ANDLEGAL F'"& SERVICEORGANIZATIONS#!!H(#.$(#(##179Vm=-=݌ /(#' Ќ    iii #X%XX2X%F/#2X%XXX% -(- 5 5 c 5  *>Vm  Vm>0       PROPOSEDRULE5.1   ` RESPONSIBILITIESOFAPARTNER,MANAGINGLAWYEROR  @   ЀSUPERVISORYLAWYER#!!H(#.::-(#(##179#X%XX2X%_>#Vm>?݌ k Ќ  Vm  Vm@0       PROPOSEDRULE5.2 =   ` RESPONSIBILITIESOFA  SUBORDINATELAWYER#!!H(#.:(#(##183Vm@@݌ & v Ќ  Vm  VmA0       PROPOSEDRULE5.3  H  ` RESPONSIBILITIESREGARDING_NONLAWYER_ԀASSISTANTS#!!H(#.C(#(##185VmAA݌  1  Ќ  Vm  Vm C0       PROPOSEDRULE5.4    ` PROFESSIONALINDEPENDENCEOFALAWYER#!!H(#.9(#(##187Vm C%C݌   Ќ  Vm  Vm D0       PROPOSEDRULE5.5 n   ` UNAUTHORIZEDPRACTICEOFLAW#!!H(#.0(#(##190Vm D  ethicalconductandintegrity,anddedicationtojusticeandthepublicgood. ' w a`  *!f  g [2]f   g Alawyerisarepresentativeofclients,anofficerofthelegalsystemandapublic  I citizenhavingspecialresponsibilityforthequalityofjustice.  2  -dch  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  includeauthorityconcerninglegalmattersthat #" ordinarilyreposesintheclient g f  g differfromthoseoflawyersf   g Ԁinprivateclient-lawyerrelationships. $# Forexample,f  alawyerforagovernmentagencymay g f  g Ԁincertaincircumstances,theAttorney t% $ GeneralofTennesseef   g Ԁhaf  ve g f  g sf   g Ԁauthorityonbehalfofthegovernmenttodecideuponsettlementor ]&!% whethertoappealfromanadversejudgment.f  Suchauthorityinvariousrespectsisgenerally F'"& vestedintheattorneygeneralandthestate'sattorneyinstategovernment,andtheirfederal /(#' counterparts,andthe g f  g Ԁ_The_f   g Ԁsamemaybetrueoff  Ԁothergovernmentlawofficers.Also, g Ԁlawyers )h$(  employedbythefederalgovernment.Also,certaingovernmentlawyers  underthesupervisionof *Q%) theseofficersmaybeauthorizedtorepresentseveralgovernmentagenciesf  g ,officersoremployeesf   g  *:&* inf  Ԁintragovernmental g Ԁlegalcontroversiesincircumstanceswhereaprivatelawyercouldnot +#'+ representmultipleprivateclients.f  g ԀGovernmentlawyersinTennesseearealsosubjecttotheOpen  MeetingsActasinterpretedbytheTennesseecourts.f   g ԀTheyalsomayhaveauthoritytorepresent  the"publicinterest"incircumstanceswhereaprivatelawyerwouldnotbeauthorizedtodoso.  TheseRules donot ݝԀ arenotintendedto Ԁabrogate anysuchauthority UԀ thepowersand k responsibilitiesofgovernmentlawyersunderfederallaworundertheconstitution,statutes,or T commonlawofTennessee . =    f  g [5]f   g FailuretocomplywithanobligationorprohibitionimposedbyaRuleisabasisfor  _ invokingthedisciplinaryprocess.TheRulespresupposethatdisciplinaryassessmentofa  H lawyer'sconductwillbemadeonthebasisofthefactsandcircumstancesastheyexistedatthe  1  timeoftheconductinquestionandinrecognitionofthefactthatalawyeroftenhastoactupon    uncertainorincompleteevidenceofthesituation.Moreover,theRulespresupposethatwhether   ornotdisciplineshouldbeimposedforaviolation,andtheseverityofasanction,dependonall   thecircumstances,suchasthewillfulnessandseriousnessoftheviolation,extenuatingfactors   andwhethertherehavebeenpreviousviolations. n    f  g [6]f   g ViolationofaRuleshouldnotgiverisetoacauseofactionnorshoulditcreateany @ presumptionthatalegaldutyhasbeenbreached.TheRulesaredesignedtoprovideguidanceto )y lawyersandtoprovideastructureforregulatingconductthroughdisciplinaryagencies.Theyare b notdesignedtobeabasisforcivilliability.Furthermore,thepurposeoftheRulescanbe K subvertedwhentheyareinvokedbyopposingpartiesasproceduralweapons.Thefactthata 4 Ruleisajustbasisforalawyer'sself-assessment,orforsanctioningalawyerunderthe  administrationofadisciplinaryauthority,doesnotimplythatanantagonistinacollateral  proceedingortransactionhasstandingtoseekenforcementoftheRule.Accordingly,nothingin  theRulesshouldbedeemedtoaugmentanysubstantivelegaldutyoflawyersorthe  extra-disciplinaryconsequencesofviolatingsuchaduty. q   f  g [7]f   g Moreover,theseRulesarenotintendedtogovernoraffectjudicialapplicationof C eithertheattorney-clientorworkproductprivilege.Thoseprivilegesweredevelopedtopromote ,| compliancewithlawandfairnessinlitigation.Inrelianceontheattorney-clientprivilege,clients e areentitledtoexpectthatcommunicationswithinthescopeoftheprivilegewillbeprotected N againstcompelleddisclosure.Theattorney-clientprivilegeisthatoftheclientandnotofthe  7 lawyer.ThefactthatinexceptionalsituationsthelawyerundertheRuleshasalimiteddiscretion !   todiscloseaclientconfidencedoesnotvitiatethepropositionthat,asageneralmatter,theclient " ! hasareasonableexpectationthatinformationrelatingtotheclientwillnotbevoluntarily #" disclosedandthatdisclosureofsuchinformationmaybejudiciallycompelledonlyin $# accordancewithrecognizedexceptionstotheattorney-clientandworkproductprivileges. t% $   f  g [8]f   g Thelawyer'sexerciseofdiscretionnottodiscloseinformationwhenpermittedtodo F'"& sobyRule1.6shouldnotbesubjecttoreexamination.Permittingsuchreexaminationwouldbe /(#' incompatiblewiththegeneralpolicyofpromotingcompliancewithlawthroughassurancesthat )h$( communicationswillbeprotectedagainstdisclosure. *Q%)     [9] Ԁf  g TheCommentaccompanyingeachRuleexplainsandillustratesthemeaningand#X%XX2X%8_#2X%XXX% +#'+ purposeoftheRule.ThePreambleandthisnoteonScopeprovidegeneralorientation.The  Commentsareintendedeitherasguidestointerpretationorassuggestionsofgoodpractice,but  thetextofeachRuleisauthoritative.    ef  CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges T Made #X%XX2X%#2X%XXX% >  #X%XX2X%ͱ#   1.EachparagraphinthePreambleandScopehasbeennumbered.Thisparallelsthe   enumerationintheCommentsandwillfacilitatecitation.     2.Scope,Paragraph[4],hasbeenmodifiedinresponsetotheCommentfiledwiththe X   CourtbytheAttorneyGeneralofTennessee.TheCommitteebelievesthatthischangeis A  responsivetotheAttorneyGeneralsconcern,whilealsoacknowledgingthatlawyersforother *z  governmentalentitiesmayalsohavespecialpowersandresponsibilities.Ratherthancreate c  uniqueandnonuniformTennesseeexceptionsineachofthevariousrulesaboutwhichthe L  AttorneyGeneralvoicedconcern,theCommitteebelievesthatthisrevisionaffordsTennessee 5  courtstheflexibilitytorecognizethedistinctivelegalresponsibilitiesandprerogativesofthe  AttorneyGeneralandothergovernmentlawyers. 2X%XXX%f  g   $    CHAPTER1  CLIENTLAWYERRELATIONSHIP  ŶPROPOSEDRULE1.0 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,orf  professionallimited $# liabilitypartnership,or g asolepractitionerwhoemploysotherlawyersor_nonlawyers_Ԁin y% $ connectionwithhisorherpractice. b&!% (_i_)"Reasonable"or"Reasonably"whenusedinrelationtoconductbyalawyerdenotesthe 4(#' conductofareasonablyprudentandcompetentlawyer. )m$(   (j)"Reasonablebelief'or"Reasonablybelieves"whenusedinreferencetoalawyerdenotes#X%XX2X%J#2X%XXX% *?&*  +('+ thatthelawyerbelievesthematterinquestionandthatthecircumstancesaresuchthatthebelief  isreasonable.    (k)"Reasonablyshouldknow"whenusedinreferencetoalawyerdenotesthatalawyerof k reasonableprudenceandcompetencewouldascertainthematterinquestion. T   (l)"Substantial"denotessomethingthatisnotonlymaterialbutalsoofclearandweighty & v importance.  _ Ѐ  H (m)"Tribunal"denotesacourtorotheradjudicativebody.Ǹ   1    COMMENT  >  S21X2X%  #2X%X21# [1] ԀIncircumstancesinwhichtheserulesrequireeitherconsentinwritingorwritten   consent,therequirementmaybesatisfiedbyanelectronictransmissionf  if g f  g thatisreasonably   calculatedtoreachtheclient,providedthatf   g Ԁthetransmissioncanbereducedtowritingor o  permanentlyretainedinelectronicformat. X     COMMITTEENOTES  *z * ComparisonToCurrentTennesseeEthicsRules  M   TherearenocounterpartstothesedefinitionsintheDisciplinaryRulesexceptasfollows:   0  (d)FirmorLawFirm: AlawfirmisdefinedintheDisciplinaryRulesasincluding a  professionallegalcorporationandaprofessionallegallimitedliabilitylegalcompany.f     Paragraph(d)broadensthisdefinitionbyreferringmoregenerallytoaprivatefirmand w broadeningonedefinitiontoincludelegaldepartmentsandlegalservicesorganizations ` aswellasthetraditionalprivatelawfirm.I(#(#    (m)Tribunal:ThisdefinitionisthesameasDisciplinaryRuleDefinition(8). l   ComparisonToABAModelRules   >    ThedefinitionsareidenticaltotheModelRuledefinitionsexceptasfollows: "" f    (b)ConsentsinWriting:ThereisnocounterpartintheModelRules. $$ #X%XX2X%x#2X%XXX%f  g 0  (e)FraudorFraudulent:TheModelRuledefinesthesetermsasdenoting conductthat e&!& hasapurposetodeceiveandnotmerelynegligentmisrepresentationorfailureto_apprisf  g f  g f  g e_ N'"' anotherofrelevantinformation. Theproposeddefinitionincludesspecificreferenceto 7(#( intentionallyfalseandmisleadingstatementsandanintentionalomissionfroma  )p$) statementoffactofsuchadditionalinformationaswouldbenecessarytomakethe  *Y%* statementsmadenotmateriallymisleading. *B&+(#(# Ѐ  ++',  0  (g)Material:Thereisnodefinitionof materialintheModelRules. (#(# 0  (h)Partner:TheModelRuledefinitionofa partnerislimitedto amemberofa  partnershipanda shareholderinalawfirmorganizedasaprofessionalcorporation. k TheCommitteehasbroadenedthisdefinitionwhichisusedinRules5.1through5.4 T toincludemembersin_PLLCs_Ԁandasolepractitionerwhoemploysotherlawyersor =   _nonlawyers_#X%XX2X%## 2X%XXX%Ԁinconnectionwithhisorherpractice.& v(#(#  0  (l)Substantial:Thedefinitionhasbeenslightlymodifiedtohighlighttherelationship  H betweenmateriality(somethingareasonablelawyerwouldconsiderimportant)and  1  substantiality(somethingthatisofclearandweightyimportance).  (#(#  ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments      Thedefinitionsweretransferredfroma TerminologysectionattheendofthePreamble o  toanewRule1.0. X    Thefollowingdefinitionsweredeletedasunnecessary: *z   Agencydenotesagovernmentalorganizationorentityotherthanatribunal. L   Employeedenotesapersonwhoisactingonbehalfofalawyerorlawfirmandwho    hasagreedtobesubjecttoalawyersrighttocontrolwithrespecttoactionstakenon    behalfofthelawyerorlawfirm.    "Organizationorotherlegalentity"denotestrusts,estates,partnerships,limited  r   partnerships,corporations,limitedliabilitycompanies,limitedliabilitypartnerships,and [   otherrelationshipsregardedinlawashavingalegalexistenceseparateanddistinctfrom D   thatofthepersonswhoarepartiestotherelationship. -}   "Person"denotesanindividual,anorganizationorotherlegalentity,oranagency. O   Paragraph(b)defining ConsentsinWritingwasadded. !!   #X%XX2X%%#CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges #" Made2X%XXX% $# #X%XX2X%.#  1.AredundantreferencetolimitedliabilitypartnershipsinParagraph(h)sdefinitionof a&!%  partnerwasdeleted.X%XXX% J'"&   2.InresponsetoasuggestionfrommembersoftheTBAsTax,Probate,andTrustLaw )l$( Section,Paragraph(b)andComment[1]weremodifiedtoclarifythatawrittenconfirmationof *U%) anoralconsentmustbetransmittedtotheclientby meansreasonablycalculatedtoreachthe *>&* client.Thisincreasesthelikelihoodthattheclientwillreceivetheconfirmationandprotects +''+ thelawyerwherethelawyerhastransmittedtheconfirmationbyreasonablemeans,buttheclient  doesnotreceiveit.#X%XXX%&#2X%XXX%   f  g  k    PROPOSEDRULE1.1  COMPETENCE   LAlawyershallprovidecompetentrepresentationtoaclient.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]f  Inanemergency g f  g Inasituationinwhichaclientisthreatenedwithimminentand l irreparableharm,f   g Ԁalawyermaygiveadviceorassistanceinamatterinwhichthelawyerdoes  U nothavetheskillordinarilyrequiredwherereferraltoorconsultationorassociationwithanother  > lawyerwouldbeimpractical.Eveninf  anemergency g f  g suchasituationf   g ,however,assistanceshould !'  belimitedtothatreasonablynecessaryinthecircumstances,forillconsideredactionf  Ԁunder "! emergencyconditions g Ԁcanjeopardizetheclient'sinterest. #"   [4]Alawyermayacceptrepresentationwheretherequisitelevelofcompetencecanbe {% $ achievedbyreasonablepreparation.Thisappliesaswelltoalawyerwhoisappointedascounsel d&!% foranunrepresentedperson.SeealsoRule6.2. M'"& _______ _  ThoroughnessandPreparation  )o$(   [5]Competenthandlingofaparticularmatterincludesinquiryintoandanalysisofthe *B&* factualandlegalelementsoftheproblem,anduseofmethodsandproceduresmeetingthe ++'+ standardsofcompetentpractitioners.Italsoincludesadequatepreparation.Therequired  attentionandpreparationaredeterminedinpartbywhatisatstake;majorlitigationandcomplex  transactionsordinarilyrequiremoreelaboratetreatmentthanmattersoflesserconsequence.     MaintainingCompetence  T q  [6]Tomaintaintherequisiteknowledgeandskill,alawyershouldengageinregular ) y continuingstudyandeducationwhichispertinenttothelawyerspracticeandshould  b conscientiouslysatisfyallrequirementsforcontinuinglegaleducationinalljurisdictionsin  K whichthelawyerislicensedtopracticelaw.Ifasystemofpeerreviewhasbeenestablished,the  4  lawyershouldconsidermakinguseofitinappropriatecircumstances.      _DEFINITIONAL_ԀCROSSREFERENCES    ReasonablySeeRule1.0(_i_) s     COMMITTEENOTES E ComparisonToCurrentTennesseeEthicsRules  i   DR6101(A)(1)providesthatalawyershallnothandleamatter"whichheknowsor > 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 󀀀 M   ProposedRule1.1isidenticaltoABAModelRule1.1. "r  ChangesMadeto1997CommitteePreliminaryDraftInResponsetoComments  E    TheCommitteemodifiedComment[1]bydeletingthetwoexamplesofwhenalawyer "! mightbeheldtothestandardofaspecialist whenalawyerispracticinginafieldoflaw #" regardedbylawyersasrequiringspecialexpertise,orinwhichlawyersmaybecertifiedas $# specialistsbytheCommissiononSpecializationandContinuingLegalEducationand whena % $ lawyerclaimstohavespecialexpertise. l&!% _  TheCommitteemodifiedComment[2]bydeletingthestatementthat alawyershould >(#' notundertaketherepresentationofaclientinamatterthelawyerisnotpersonallycompetentto ')w$( handleunlesstheclientisfirstadvisedthatthelawyerwillneedtoassociateanotherlawyerin *`%) thematter. *I&* ? +2'+   TheCommitteedeletedComments[7]through[10],whichreadasfollows:  0   ` [7]InordertobecertifiedasaspecialistbytheCommissiononSpecialization  andContinuingLegalEducation,alawyermustcarryatleast$500,000malpractice k insurance.Althoughthereisnorulerequiringlawyerstocarrymalpracticeinsurance,a T lawyershouldcarrysuchmalpracticeinsurance,orhaveinreservesufficientassets,as =  willenablethelawyertocompensatethelawyersclientsforreasonablyforeseeable & v lossesthatmaybecausedbythefailureofthelawyertorepresenttheclientin  _ accordancewiththestandardsofreasonablelawyersinthisTennessee. H(#(# 0   ` [8]Althoughthedutysetforthinthisruleisonlyadutytoprovidecompetent    representationtoapersonalawyerisrepresentingasaclient,alawyershouldalsoact   reasonablytopreventaprospectiveclientwhothelawyerdeclinestorepresentina   matterfromerroneouslyassumingthatthelawyersdecisionnottoundertakethe   representationconstitutesadvicewithrespecttothemeritsofthemattertheclienthas n  discussedwiththelawyer.Itisparticularlyimportantthatthelawyerdosoifthe W  prospectiveclienthasconsultedwiththelawyeraboutthematteratthelawyersoffice,at @ amutuallyprearrangedmeeting,oratameetinginitiatedbythelawyer.Upondeciding )y nottorepresenttheprospectiveclientinthematter,thelawyershould,priortoorwithin b areasonabletimeaftertheconclusionoftheconsultation,communicatewiththe K prospectiveclientinawayreasonablycalculatedtoinformtheprospectiveclientthatthe 4 lawyerisnotundertakingtherepresentationandthattheprospectiveclientshould  promptlyconsultanotherlawyerifheorsheisstillinterestedinpursuingthematter.In  manyinstancesalawyerwhodeclinestorepresentaprospectiveclientinamatterwillbe  welladvisedtocommunicatethisinformationtotheprospectiveclientinwriting.(#(#        ` [9]SeeRule1.8(H)withrespecttothevalidityofagreementsbetweenalawyer Z   andaclientwhichprospectivelylimitthelawyersliabilityformalpracticeorsettleclient C   claimsthatthelawyerdidnotprovidethemwithcompetentrepresentation.Although ,|   Rule1.2(D)permitsalawyerandclienttoagreetolimittheobjectivesorscopeofthe e   lawyersrepresentation,thelawyerisprohibitedfromenteringintoanysuchagreement N   aswouldpreventthelawyerfromprovidingtheclientwiththecompetentrepresentation  7   requiredbythisRule. !   0   ` [10]Ifalawyercomestoknowthatheorshehasnotprovidedcompetent #" representationtoaclientandthatthefailuretodosoislikelytohaveorhashada $# materialadverseeffectontherepresentationoftheclient,thelawyershouldtryto t% $ preventorrectifytheadverseeffect.Ifunabletodoso,thelawyershouldconsult_with ]&!% theclientabouttheproblemandactreasonablytocompensateclientforlossescausedby F'"& thefailureofthelawyertoprovidethecompetentrepresentationrequiredbythisrule./(#'(#(#   AlldeletionsweremadetobringProposedTennesseeRule1.1intoconformitywith *Q%)  ABAModelRule1.1.AlthoughtheCommitteeapprovedthesubstanceofthedeletedmaterial, *:&* itwastheconclusionthatitwasnotsufficientlyimportanttowarrantsacrificingtheuniformity  thatcomeswithadoptionoftheABAModelRule.   #X%XX2X%# CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges k Made 2X%XXX% U #X%XX2X%#2X%XXX%#X%XX2X%]#  1.InlightoftheCommitteesapprovalofasuggestionfrommembersoftheTBAsTax, ( x ProbateandTrustLawSectionthatComments[6]and[7]toRule1.14bemodifiedtoreplace  a theconceptofan emergencywithamorespecificreferencetosituationsinwhichaclientwill  J suffer imminentandirreparableharm,theCommitteeconcludedthatComment[3]tothisRule  3  shouldbesimilarlymodified.Inbothsituations,theCommitteewasconcernedthattheconcept    ofanemergencymightbetoonarrowlyconstruedsothatitwouldonlyembraceunexpectedand   suddenlyoccurringsituations,ratherthanallsituationsinwhichaclientneedsalawyershelpto   preventimminentandirreparableharm.Thischangeisalsoconsistentwiththesuggestionofthe   ProfessionalismCommitteeoftheKnoxvilleBarAssociationthatComment[3]sreferencetoan p   emergencybedefined.  Y    2.TheTBACommitteeconsidered,butdidnotapprove,therecommendationofthe ,| BoardofProfessionalResponsibilitythatProposedRule1.1bereplacedwiththesubstanceof e DR6101(A).TheBoardcontendsthatDR6101(A)(1)affordsclientsmoreprotection,willbe N easiertoenforce,andgivesmoreguidancetolawyers.Forthefollowingreasons,theTBA 7 CommitteedisagreeswiththeBoardsconclusionsforanumberofreasons:      ` a.ReplacingProposedRule1.1withDR6101wouldbeinconsistentwiththe    Committeesgoalofpromotinguniformityamongstateethicsrules.     ` b.ProposedRule1.1affordsclientsprotectionidenticaltotheprotection  ] 0  affordedbyDR6101(A)(2)and(3).Thereisnoquestionthatalawyerwho  @  F violatesDR6 101(A)(2)( alawyershallnothandlealegalmatterwithout  @  / preparationadequateinthecircumstances)willhavefailedtoprovide competent @6!  h representationtoaclientasdefinedinProposedRules1.1toinclude preparation @(!   Q reasonablynecessaryforthe h representation.Comment[5]reinforcesthispointby @b!   : repeatingthatreasonablycompetentrepresentation alsoincludesadequatepreparation. @#  !#  TheCommentprovidesfurtherguidancebystatingthat requiredattentionand  " ! preparationaredeterminedinpartbywhatisatstake;majorlitigationandcomplex @R!  #" transactionsordinarilyrequiremore  elaboratetreatmentthanmattersoflesser  $# consequence.Similarly,alawyerwhoviolatesDR6101(A)(3)( alawyershallnot @!  w% $ neglectalegalmatterentrustedtothelawyerwill p violateProposedRule1.1'sdutyto @"  `&!% providecompetentrepresentationasdefinedtoinclude thoroughnessandpreparation @1"  I'"& reasonablynecessaryfortherepresentation.)Neglectingamatterwouldalsoviolate @!  2(#' Rule1.3'srequirementthatthelawyeractwith reasonable  diligence.)k$((#(# 0   ` c.TheTBACommitteeacknowledgesthatProposedRule1.1differsfromDR6 *=&* 101(A)(1)inthatitdoesspecificallyprecludealawyerfrom handlingamatterthatthe +&'+ lawyerknowsorshouldknowthelawyerisnotcompetenttohandle.Alawyercannot  violateRule1.1byundertakingacasethatlawyerisnotcompetenttohandle.Rather,  Rule1.1willonlybeviolatedifthelawyer,havingundertakenacasethelawyerwasnot  competenttohandle,thereafterfailstoprovidecompetentrepresentation.Concurringin k thereasoningsetforthinComment[2],theCommitteebelievesthat,forpurposesof T discipline,thelawyershouldbejudgednotbywhatcompetenceheorsheisthoughtto =  havewhenacaseisundertaken,butratherbythequalityoftherepresentationactually & v providedtotheclientbyvirtueofthelawyerspreparationorassociationofanother  _ lawyer.Also,theTBACommitteedoesnotbelieveitmakessenseforalawyerwho  H competentlyrepresentedaclienttobeexposedtoariskofdisciplinebecausethelawyer  1  wasnotcompetenttohandlethematterwhentherepresentationwasundertaken.  (#(#    ` d.TheProposedRuleaffordsthepublicgreaterprotectionthanDR6101(A)     becauseitpermitsdisciplineofalawyerwhodoesnotneglectamatter,butwho      nonethelessfailstoprovidecompetentrepresentationbecauseofadefectineitherthe n    lawyersknowledgeorskillaswouldbereasonablynecessaryfortherepresentation. W     )y    f  g   @" PROPOSEDRULE1.2    @SCOPEOFTHEREPRESENTATIONANDTHEALLOCATIONOF    AUTHORITYBETWEENTHELAWYERANDCLIENT  ' 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]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 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 +%'+  [U ReasonableSeeRule1.0(_i_)   ConsultationSeeRule1.0(c)   KnowsSeeRule1.0(f) k  ReasonablyShouldKnowSeeRule1.0(k) T  FraudulentSeeRule1.0(e) =     COMMITTEENOTES  ` W h 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%  gWf  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  i 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 { 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%e# CommentsReceivedAfterSeptember2000Draft,CommitteeResponse,andChanges   Made 2X%XXX%   #X%XX2X%I#  TheAttorneyGeneralhasvoicedconcernabouttheinconsistencybetweenRule1.2(a) p  andthestatutoryauthorityoftheAttorneyGeneralpursuanttoTenn.CodeAnn.86 Y  109(b)(1)and2013103.TheCommitteebelievesthatithasadequatelyaddressedthisproblem B inScope,Paragraph[4]. +{   d 2X%XXX%f  g f    PROPOSEDRULE1.3  DILIGENCE     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%) ComparisonToCurrentTennesseeEthicsRules  ++'+ 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%#  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  ζ ڶ (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 e  [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  d Reasonableand ReasonablySeeRule1.0(_i_) C    COMMITTEENOTES e  I 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: "!   (A)Beforeorwithinareasonabletimeafteragreeingtorepresentaclientina $#   matter, ` alawyershallconsultwiththeclientabouttherepresentationasmaybe }% $   requiredbytheRulesofProfessionalConduct.  f&!%   (B)Duringthecourseoftherepresentation,alawyershall ;(#'    ` (2)initiateaconsultationwiththeclientwithinareasonabletime  *]%)  _ *F&*    `  (a)priort