ÿWPCM/ D#ÁÈU@‰ %É 0(Ïw÷bûEÿ4$ m&e = 0DG 0 l‹ 0D÷ 0[; 0J– 0TàÆ4 0eú 0^_ 0h½ % N- 0r/ 0|¡ 0† 0£ 1u3 M¨ U:¬ Mæ Mê Bî M M M M ( ^ C 0dO U>³ ¢ñ 4“½Ç„˜ô«ÚŸ\y*Õ 1ÿ#Ó0&ù'v~ü'vÓz)˜HP LaserJet 4050 Series PCL 6ÈÈÈÈÈÈÈÈ0x°À`  Z(CG Times RegularX($¡¡ ùq+ú´z3|x#ÿU‹ÿÀÀÀ ($Ó$‘‘òòÚ  Ú0Ú  Úóó((3üÝ$¤¤Ý ƒ!ÝÝ  Ýà  àòòÚ  Ú0Ú  Úóó(#Ã$òòÚ  Ú0Ú  Úóó(3¨à$¥¥Ý ƒ!ÝÝ  ÝÚ  Ú0Ú  Ú.2 ÿÿ0Indent1Ô2ÔÔ3  Ô2" ÿÿ0Indent2à0 àÔ2ÔÔ3  Ô1, 2, 3,Level 1Level 2Level 3Level 4Level 54#,f2Quick 1.ÚƒÚÚ  Ú.à0 àÛ€Û2, ÿÿ0Indent3à0 àà0 àÔ2ÔÔ3  Ô26 ÿÿ0Indent4à0 àà0 àà0 àÔ2ÔÔ3  Ô 2@ ÿÿ0Indent5à0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2J ÿÿ0Indent6à0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2T ÿÿ0Indent7à0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2^ ÿÿ0Indent8à0 àà0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô ÿÿ?AGMSYaioIndent0I.A.1.a.(1)(a)i)a)'A $"MS Sans Serif d¸™œ+s P ÿÿ8Mac DefaultMac DefaultÓ ` °šXÓ< Œ 9p`(&Times New Roman ˜Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€From€its€inception€in€1995€through€June€2000,€the€Committee€charged€with€the€work€thatÏhas€produced€this€petition€was€known€as€the€Committee€for€the€Study€of€Standards€of€ProfessionalÏConduct,€or€sometimes€as€the€ð ðStandards€Committee.ðð€€As€the€Standards€Committee€wasÏcompleting€its€work€on€the€Proposed€Rules€and€as€a€part€of€renewing€its€commitment€to€the€work€ofÏlegal€ethics€in€Tennessee,€the€TBA€reorganized€the€Standards€Committee€into€a€standing€committeeÏof€the€TBA€with€a€broader€mandate€in€this€area.Ì *Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  ÝÔ_Ô€€The€TBA€likewise€plans€to€publish€this€final€proposal€widely,€including€on€its€web€site,Ïand€to€continue€its€solicitation€of€comments.Ì ³Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€From€its€inception€in€1995€through€June€2000,€the€Committee€charged€with€the€work€thatÏhas€produced€this€petition€was€known€as€the€Committee€for€the€Study€of€Standards€of€ProfessionalÏConduct,€or€sometimes€as€the€ð ðStandards€Committee.ðð€€As€the€Standards€Committee€wasÏcompleting€its€work€on€the€Proposed€Rules€and€as€a€part€of€renewing€its€commitment€to€the€work€ofÏlegal€ethics€in€Tennessee,€the€TBA€reorganized€the€Standards€Committee€into€a€standing€committeeÏof€the€TBA€with€a€broader€mandate€in€this€area.€€òòSee€infraóó€at€29„30.Ì Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€Also€accompanying€this€petition€will€be€electronic€versions€of€the€petition€and€Exhibits€AÏand€B€for€use€by€the€Court.Ì Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€For€example,€see€Disciplinary€Rule€2„101(A)€with€respect€to€misleading€advertisements,Ïwhich€is€derived€from€ABA€Model€Rule€7.1;€Disciplinary€Rule€7„101(A)(1)€with€respect€to€diligentÏrepresentation,€which€is€derived€from€ABA€Model€Rule€1.3;€and€Disciplinary€Rule€7„101(A)(2)€andÏ(3)€with€respect€to€communicating€with€the€client,€which€are€derived€from€ABA€Model€Rule€1.4.Ì êÝ ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€òòSee,€e.g.óó,€Tennessee€Formal€Ethics€Opinion€98„F„141€(1998)€(citing€ABA€FormalÏOpinion€93„371);€Tennessee€Formal€Ethics€Opinion€93„F„133€(1993)€(citing€ABA€FormalÏOpinions€287€(1953),€341€(1975),€87„353€(1987),€93„376€(1993)),€òòwithdrawn€byóó€Tennessee€FormalÏEthics€Opinions€87„F„112€(1987)€(citing€ABA€Informal€Opinion€1373€(1976)).Ì ÐÝ ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€In€the€first€months€of€the€Standards€Committeeððs€existence,€the€TBA€President€and€BoardÏof€Governors€asked€the€Committee€to€set€aside€its€work€plan€to€address€two€time„sensitiveÏproposals€for€significant€revisions€to€existing€Disciplinary€Rules€then€pending€before€this€Court.Ìà àThe€first€of€these€tasks€concerned€the€proposed€revisions€to€DR€7„102€concerningÏdisclosure€of€client€perjury.€€The€Committee€prepared€an€elaborate€proposal€on€this€issue,€whichÏwas€submitted€to€the€Court€on€behalf€of€the€TBA.€€This€proposal€was€largely€incorporated€into€theÏanalogous€provisions€of€the€rules€proposed€in€the€Committeeððs€Preliminary€Draft.Ìà àThe€second€of€these€tasks€concerned€a€proposal€to€amend€the€lawyer€advertising€rules€toÏrestrict€in€several€ways€targeted€direct„mail€solicitation€of€clients.€€Again,€the€proposal€prepared€byÏthe€Committee€was€adopted€virtually€completely€by€the€Board€of€Governors€and€submitted€to€thisÏCourt€as€the€TBAððs€proposal.€€A€substantial€portion€of€this€work€was€also€incorporated€in€the€rulesÏproposed€in€the€Preliminary€Draft.Ì RÝ ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€Interestingly,€of€the€eight€states€contiguous€with€Tennessee,€all€have€now€adopted€ethicsÏrules€patterned€after€the€ABA€Model€Rules.€€When€the€Standards€Committee€started€its€work€moreÏthan€five€years€ago,€at€least€two€of€these€states€were€Model€Code€states.€€Thus,€today,€more€thanÏever,€ethics€issues€related€to€cross„border€or€multi„jurisdictional€practice€by€Tennessee€lawyers€canÏoften€implicate€the€language€of€quite€different€ethics€rules.Ì Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€The€TBAððs€website€has€proven€a€remarkable€resource€is€making€the€TBAððs€drafts€ofÏproposed€rules€available€quite€broadly.€€More€than€5,800€copies€of€the€Preliminary€Draft€have€beenÏdownloaded€from€the€TBA€website€in€various€formats.€€In€addition,€this€Preliminary€Draft€wasÏposted€directly€on€the€website€in€full,€and€over€5,200€visitors€to€the€site€viewed€portions€of€the€draftÏin€this€way.€€The€TBA€also€received€more€than€100€requests€for€a€printed€version€of€the€PreliminaryÏDraft€through€its€website.€€Based€on€this€success,€the€TBA€plans€to€post€its€petition€and€theÏProposed€Rules€submitted€to€this€Court€on€the€website€as€soon€as€possible.Ì 'Ý ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€The€ABA€House€of€Delegates€is€the€532„member€legislative€body€that€sets€the€policy€ofÏthe€ABA.€€The€House€includes€representatives€of€ABA€sections€and€divisions,€state€and€local€barÏassociations€(the€TBA€has€four€delegates€to€the€House),€and€other€legal€organizations.€€AnyÏamendments€to€the€ABA€Model€Rules€must€be€approved€by€the€House€at€one€of€its€twice„annualÏmeetings€before€they€become€effective.Ì ÉÝ ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€Albert€C.€Harvey€and€Lucian€T.€Pera,€both€of€Memphis.Ì ïÝ ƒ!ÝÑ#€d#ÑÔ€5ÔÝ  ÝÝ ƒ$Ýà àòòÚ  ÚÚ  ÚóóÝ  Ý€€Professor€Carl€A.€Pierce€of€the€College€of€Law€of€the€University€of€Tennessee€atÏKnoxville.ÌPtPtHHØ(ÿáÿâùFG(üHHØ(d'`Styl{WP}01•ÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃà Ãà Ãà Ãà Ãà ÃÃÃÃÃÃÃÃÃÃÃÐ ÐÐHHÐÐ  ÐÐ2ÐÐÿÿ¸æ$ÿÐÐHHÐÐÐÐÐÐÐÐ  ÐÐ ÐÐ ÐÑÑÑGenevaÑÑ ÑÑ € ÑÑ<Px–ÈÑÒÒÒ443!#4ÒÒ$ *$ÒÒ$*$ÒÒ ÿKK ÒÒ  Geneva ÒÒ  Geneva ÒÓ.,ÓÓÓÓ6ÓÓ ÓßßßßßßßßßßßßßßßßßßÑGenevaÑÑ ÑÒ  eskto Geneva ÒÒ  eskto Geneva ÒÝ ƒ!ÝÔ . ÔÔ€5ÔÝ  ÝÔ€5&ÔÔ_ÔÑ  Ñà@ àIN€THE€SUPREME€COURT€OF€TENNESSEEÌÌßA€') °°xdE°WxAßÌÌà@ à)ÌIN€RE€PROPOSED€TENNESSEE€RULESà@ à)Ì€€€€OF€PROFESSIONAL€CONDUCTà@ à)à0 àNo.____________________Ìà@ à)Ìà@ à)ÌÌßA€') °°xdE°2 xAßÌÌà@ àPETITION€OF€TENNESSEE€BAR€ASSOCIATIONÌà@ àFOR€à@ àTHE€ADOPTION€OFÌà@ àPROPOSED€RULES€OF€PROFESSIONAL€CONDUCTÌÌßA€') °°xdE°exAßÌÌÌÌÌà àà àà àà àà àà àGAIL€Ô_ÔVAUGHNÔ_Ô€Ô_ÔASHWORTHÔ_ÔÌà àà àà àà àà àà àGeneral€Counsel,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àGideon€&€Ô_ÔWisemanÔ_ÔÌà àà àà àà àà àà à414€Union€Street,€Suite€1900Ìà àà àà àà àà àà àNashville,€Tennessee€37219„1782Ìà àà àà àà àà àà à(615)€254„0400ÌÌà àà àà àà àà àà àKATHRYN€REED€EDGEÌà àà àà àà àà àà àPresident,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àMiller€&€Martin€Ô_ÔLLPÔ_Ô€€€Ìà àà àà àà àà àà à1200€First€Union€Tower€Ìà àà àà àà àà àà à150€Fourth€Avenue,€North€Ìà àà àà àà àà àà àNashville,€Tennessee€37219„2433Ìà àà àà àà àà àà à(615)€244„9270ÌÌà àà àà àà àà àà àALLAN€F.€Ô_ÔRAMSAURÔ_ÔÌà àà àà àà àà àà àExecutive€Director,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à3622€West€End€AvenueÌà àà àà àà àà àà àNashville,€Tennessee€37205Ìà àà àà àà àà àà à(615)€383„7421ÌÌà àà àà àà àà àà àLUCIAN€T.€PERAÌà àà àà àà àà àà àChair,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à€€€Standing€Committee€on€EthicsÌà àà àà àà àà àà à€€€and€Professional€ResponsibilityÌà àà àà àà àà àà àArmstrong€Allen,€PLLCÌà àà àà àà àà àà àBrinkley€PlazaÌà àà àà àà àà àà à80€Monroe€Avenue,€Suite€700Ìà àà àà àà àà àà àMemphis,€Tennessee€38103„2467Ìà àà àà àà àà àà à(901)€524„4948ÇÔ_ÔÑ8€rÒXXdédÈ8ÑØØÙ  ÙÑ€ÑÓÓÔ€5XÔà àPetitioner€Tennessee€Bar€Association€(ð ðTBAðð)€petitions€the€Court€to€adopt€as€the€rulesÏgoverning€the€conduct€of€lawyers€practicing€in€Tennessee,€and€in€place€of€the€Code€of€ProfessionalÏResponsibility€codified€as€Rule€8€of€the€Rules€of€this€Court,€the€proposed€Tennessee€Rules€ofÏProfessional€Conduct,€the€text€of€which€is€Exhibit€A€to€this€petition,€and€to€make€such€otherÏconforming€changes€in€the€Rules€of€the€Supreme€Court€as€may€be€appropriate€in€light€of€thisÏamendment.€€In€support€of€the€adoption€of€these€proposed€rules,€the€TBA€states€as€follows:Ìà àFor€more€than€30€years,€the€conduct€of€Tennessee€lawyers€has€been€guided€and€governedÏby€the€Disciplinary€Rules€and€Ethical€Considerations€of€Tennesseeððs€Code€of€ProfessionalÏResponsibility,€patterned€after€the€American€Bar€Associationððs€1969€Model€Code€of€ProfessionalÏResponsibility.€€Now,€after€five€years€of€study,€drafting,€comment,€and€consultation€amongÏinterested€members€of€the€bench,€bar,€and€public,€the€TBA€seeks€to€have€this€Court€bring€TennesseeÏonce€again€into€the€mainstream€of€lawyer€ethics€by€adopting€a€set€of€ethics€rules€patterned€after€theÏABAððs€Model€Rules€of€Professional€Conduct,€which€were€first€promulgated€by€the€ABA€in€1983Ïand€are€now€adopted€in€substantial€part€by€44€American€jurisdictions,€but€modified€to€fit€particularÏTennessee€circumstances.Ìà àAs€demonstrated€more€fully€in€the€memorandum€filed€in€support€of€this€petition,€there€areÏcompelling€reasons€supporting€the€TBAððs€proposal.€€Though€this€Court€has€made€needed,€minorÏchanges€to€Tennesseeððs€lawyer€ethics€rules,€no€thoroughgoing€review€and€revision€of€these€rulesÏhas€occurred€in€Tennessee€since€1970.€€The€practice€of€law,€in€all€its€forms,€has€changedÏdramatically€since€that€time,€with€the€introduction€of€many€new€areas€of€practice€and€the€adoption€ofÏmany€new€procedural€and€substantive€rules€of€law€(including,€for€example,€the€Tennessee€Rules€ofÏCivil€Procedure,€the€Tennessee€Rules€of€Evidence,€court„annexed€mediation,€and€comparative€fault).Ìà àIndeed,€the€law€governing€lawyers€itself€has€changed€and€developed€dramatically€since€1970,Ïincluding€many€decisions€of€the€appellate€courts€of€Tennessee€concerning€such€matters€as€conflictsÏof€interest€and€attorney€fees,€while€the€underlying€rules€have€not€been€thoroughly€examined€for€theirÏadequacy€to€the€task€of€regulating€relations€between€lawyers€and€clients€in€a€new€century.Ìà àAt€the€same€time,€the€overwhelming€majority€of€American€jurisdictions€have€followed€theÏlead€of€the€ABA€in€patterning€their€rules€after€the€ABA€Model€Rules€in€the€17€years€since€theirÏadoption€in€1983.€€As€of€the€date€of€the€filing€of€this€petition,€some€44€jurisdictions€have€nowÏadopted€a€version€of€the€ABA€Model€Rules.€€Tennesseeððs€failure€to€follow€this€path€has€leftÏTennessee€with€a€set€of€ethics€rules€that€are,€quite€simply,€outdated€and€much€in€need€ofÏimprovement.€€More€significantly,€the€experience€of€these€many€other€jurisdictions€has€allowedÏTennessee€the€luxury€of€assessing€the€propriety€and€utility€of€particular€Model€Rules,€as€well€asÏother€statesðð€amended€versions€of€them,€in€deciding€what€rules€to€propose€to€this€Court€for€adoptionÏin€Tennessee.Ìà àFor€this€reason,€and€after€five€years€of€committee€study€and€consultation,€the€TBA€believesÏthe€time€has€come€for€the€adoption€of€new€lawyer€ethics€rules€by€this€Court.€€The€TBAððs€ProposedÏRules€were€developed€for€the€TBA€by€its€Standing€Committee€on€Ethics€and€ProfessionalÏResponsibility€(formerly€known€as€its€Committee€for€the€Study€of€Standards€of€ProfessionalÏConduct,€or€sometimes€merely€referred€to€as€the€ð ðStandards€Committeeðð× ƒ6 ××  ×).Ìà àThe€TBA€believes€that€the€labor€of€its€Committee€for€more€than€five€years€has€producedÏProposed€Rules€that,€both€in€their€form€and€their€substance,€do€honor€to€Tennessee€€€€€€€traditions€ofÏlaw€and€professionalism€and€move€Tennessee€squarely€into€the€mainstream€of€American€legalÏethics.€€Indeed,€several€aspects€of€these€Proposed€Rules€would€place€Tennessee€at€the€vanguard€ofÏAmerican€legal€ethics.€Ìà àAs€discussed€in€more€detail€in€its€supporting€memorandum,€the€choice€of€the€TBAððsÏCommittee,€and€ultimately€the€TBA,€to€recommend€that€Tennessee€move€to€ethics€rules€patternedÏafter€the€ABA€Model€Rules,€and€thus€to€abandon€its€reliance€on€rules€patterned€after€the€old€ABAÍModel€Code€of€Professional€Responsibility,€was€unanimous€and€quickly€arrived€at.€€If€there€hasÏbeen€any€clear€trend€in€American€legal€ethics€over€the€last€generation,€it€has€been€the€steady€marchÏof€jurisdictions€toward€the€ABA€Model€Rules,€with€44€jurisdictions€now€in€that€camp.€€TheÏCommittee€further€found€compelling€reasons€for€preferring,€on€the€merits,€the€Rule„and„CommentÏformat€of€the€ABA€Model€Rules,€all€of€which€are€detailed€in€the€supporting€memorandum.Ìà àSubstantively,€in€the€long€process€of€drafting€and€re„drafting€its€proposed€rules,€the€TBAÏCommittee€has€neither€slavishly€followed€the€ABA€Model€Rules€nor€lightly€departed€from€them.€€ÏThrough€this€long€process,€three€primary€values€emerged€as€its€guides:€uniformity,€which€mostÏoften€led€the€Committee€to€follow€the€language€of€an€ABA€Model€Rule;€adherence€to€TennesseeÏstatutory€or€decisional€law,€and€even€to€certain€settled€Tennessee€ethical€rules€Ô_Ôand€interpretations,Ïwhich€often€led€the€Committee€to€depart€from€the€language€of€an€€ABA€Model€Rule;€and,€certainlyÏnot€least,€writing€the€best€possible€rule,€even€to€the€point€of€abandoning€an€ABA€Model€Rule€orÏoverruling€Tennessee€rule€or€precedent.€€As€in€any€drafting€process,€these€values€were€often€in€realÏtension,€but€from€that€creative€tension€emerged€a€work€product€that€the€TBA€and€the€Committee€as€aÏwhole€believes€does€justice€to€each€of€these€values.Ìà àUnderstanding€that€the€process€by€which€this€Court€considers€this€petition€must€be€tailoredÏto€the€significance€of€the€task,€the€TBA€respectfully€makes€several€suggestions€to€the€Court.€€First,Ïalthough,€as€described€in€the€memorandum€supporting€this€petition,€the€TBA€has€gone€toÏextraordinary€lengths€to€solicit€and€consider€comments€from€all€quarters€on€these€proposed€rules,Ïthis€Court€should€continue€this€effort€by,€as€is€its€usual€custom€in€similar€matters,€broadlyÏdistributing€this€proposal× ƒ7 ××  ×€and€allowing€a€comment€period€for€members€of€the€bench,€bar,€andÏpublic.€€In€soliciting€comments,€the€TBA€would€also€suggest€that€this€Court€strongly€encourage€allÏthose€who€wish€to€ask€this€Court€to€change€particular€proposed€rules€to€submit€alternative€languageÏto€aid€the€Court€in€assessing€the€appropriateness€of€the€substantive€suggestions.€€As€a€part€of€thisÍprocess,€the€TBA€would€further€respectfully€suggest€that€this€Court€consider€itself€holding€oralÏargument€or€hearings€in€each€of€the€three€grand€divisions€of€the€State,€either€before€the€end€of€theÏcomment€period€or€shortly€afterwards,€with€a€view€toward€allowing€the€widest€possible€discussionÏof€these€Proposed€Rules.€€Finally,€after€the€conclusion€of€the€comment€period,€but€before€the€finalÏargument€or€hearing€that€would€be€held€by€this€Court,€the€TBA€respectfully€requests€theÏopportunity€to€fully€consider€and€respond€to€the€comments€Ô_Ôsubmitted,€with€a€view€towardÏreconsidering€particular€proposed€provisions€that€have€been€subject€to€comment€and€offeringÏintegrated€alternative€drafting€suggestions€arising€from€comments€received.Ìà àWHEREFORE,€the€TBA€respectfully€urges€this€Court€to€grant€its€petition,€to€begin€theÏprocess€of€consideration€of€this€petition€for€the€adoption€of€new€lawyer€ethics€rules€for€TennesseeÏand,€ultimately,€to€grant€this€petition.ÌÔ_ÔÇÌÓÓÔ€5&Ôà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àGAIL€Ô_ÔVAUGHNÔ_Ô€Ô_ÔASHWORTHÔ_ÔÌà àà àà àà àà àà àGeneral€Counsel,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àGideon€&€Ô_ÔWisemanÔ_ÔÌà àà àà àà àà àà à414€Union€Street,€Suite€1900Ìà àà àà àà àà àà àNashville,€Tennessee€37219„1782Ìà àà àà àà àà àà à(615)€254„0400Ìà àà àà àà àà àà àÔ_ÔB.P.R.Ô_Ô€No.€10656ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àKATHRYN€REED€EDGEÌà àà àà àà àà àà àPresident,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àMiller€&€Martin€Ô_ÔLLPÔ_Ô€€€Ìà àà àà àà àà àà à1200€First€Union€Tower€Ìà àà àà àà àà àà à150€Fourth€Avenue,€North€Ìà àà àà àà àà àà àNashville,€Tennessee€37219„2433Ìà àà àà àà àà àà à(615)€244„9270Ìà àà àà àà àà àà àÔ_ÔB.P.R.Ô_Ô€No.€10428ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àALLAN€F.€Ô_ÔRAMSAURÔ_ÔÌà àà àà àà àà àà àExecutive€Director,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à3622€West€End€AvenueÌà àà àà àà àà àà àNashville,€Tennessee€37205Ìà àà àà àà àà àà à(615)€383„7421Ìà àà àà àà àà àà àÔ_ÔB.P.R.Ô_Ô€No.€5764ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àLUCIAN€T.€PERAÌà àà àà àà àà àà àChair,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à€€€Standing€Committee€on€EthicsÌà àà àà àà àà àà à€€€and€Professional€ResponsibilityÌà àà àà àà àà àà àArmstrong€Allen,€PLLCÌà àà àà àà àà àà àBrinkley€PlazaÌà àà àà àà àà àà à80€Monroe€Avenue,€Suite€700Ìà àà àà àà àà àà àMemphis,€Tennessee€38103„2467Ìà àà àà àà àà àà à(901)€524„4948Ìà àà àà àà àà àà àÔ_ÔB.P.R.Ô_Ô€No.€11641ÌÌÌÔ€5XÔÔ_Ôà@ àòòCERTIFICATE€OF€SERVICEóóÌÌà àThe€undersigned€certifies€that€a€true€and€correct€copy€of€the€foregoing€will€be€served,€withinÏ7€days€of€the€filing€of€this€document,€upon€the€individuals€and€organizations€identified€in€Exhibit€FÏto€the€petition€by€regular€U.S.€Mail,€postage€prepaid.ÌÌÌà àà àà àà àà àà à_________________________________________Ìà àà àà àà àà àà àLUCIAN€T.€PERAÌÌÌÔ€5ÂÔÔ.Tƒ DK:\LTP\Bar\CteReport\TBARPCPet.wpdTÔK:\LTP\Bar\CteReport\TBARPCPet.wpdÔ/  ÔÔ€5XÔÇÑ8€rÒXXdéXXdé8ÑÔ€5¼ÔÌÌà@ àò òEXHIBIT€Aó óÌÌà@ àProposed€Tennessee€Rules€of€Professional€ConductÌÌà@ à[filed€separately]ÇÌÌÌà@ àò òEXHIBIT€Bó óÌÌà@ àCommittee€Draft€of€Proposed€Tennessee€Rules€of€Professional€ConductÌÌà@ à[filed€separately]ÇÌÌÌà@ àò òEXHIBIT€Có óÌÌà@ àPreliminary€Draft€Report€of€the€TBA€CommitteeÌÌà@ à[filed€separately]ÇÌÌÌà@ àò òEXHIBIT€Dó óÌÌà@ àComments€Received€by€TBA€CommitteeÌÌà@ à[filed€separately]ÇÌÌÌà@ àò òEXHIBIT€Eó óÌÌà@ àComments€Received€by€TBA€Committee€Organized€by€Topic€or€RuleÌà@ à(provided€in€separate€3„ring€binder)ÌÌà@ à[filed€separately]ÇÌÌÌà@ àò òEXHIBIT€Fó óÌÌà@ àList€of€Individuals€and€Organizations€ServedÌÔ€5XÔÔ_ÔÇÔ€5&Ôà@ àIN€THE€SUPREME€COURT€OF€TENNESSEEÌÌßA€') °°xdE°WxAßÌÌà@ à)ÌIN€RE€PROPOSED€TENNESSEE€RULESà@ à)Ì€€€€OF€PROFESSIONAL€CONDUCTà@ à)à0 àNo.____________________Ìà@ à)Ìà@ à)ÌÌßA€') °°xdE°2 xAßÌÌà@ àMEMORANDUM€IN€SUPPORT€OFÌà@ àPETITION€OF€TENNESSEE€BAR€ASSOCIATIONÌà@ àFOR€à@ àTHE€ADOPTION€OFÌà@ àPROPOSED€RULES€OF€PROFESSIONAL€CONDUCTÌÌßA€') °°xdE°9xAßÌÌÌÌà àà àà àà àà àà àGAIL€Ô_ÔVAUGHNÔ_Ô€Ô_ÔASHWORTHÔ_ÔÌà àà àà àà àà àà àGeneral€Counsel,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àGideon€&€Ô_ÔWisemanÔ_ÔÌà àà àà àà àà àà à414€Union€Street,€Suite€1900Ìà àà àà àà àà àà àNashville,€Tennessee€37219„1782Ìà àà àà àà àà àà à(615)€254„0400ÌÌà àà àà àà àà àà àKATHRYN€REED€EDGEÌà àà àà àà àà àà àPresident,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àMiller€&€Martin€Ô_ÔLLPÔ_Ô€€€Ìà àà àà àà àà àà à1200€First€Union€Tower€Ìà àà àà àà àà àà à150€Fourth€Avenue,€North€Ìà àà àà àà àà àà àNashville,€Tennessee€37219„2433Ìà àà àà àà àà àà à(615)€244„9270ÌÌà àà àà àà àà àà àALLAN€F.€Ô_ÔRAMSAURÔ_ÔÌà àà àà àà àà àà àExecutive€Director,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à3622€West€End€AvenueÌà àà àà àà àà àà àNashville,€Tennessee€37205Ìà àà àà àà àà àà à(615)€383„7421ÌÌà àà àà àà àà àà àLUCIAN€T.€PERAÌà àà àà àà àà àà àChair,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à€€€Standing€Committee€on€EthicsÌà àà àà àà àà àà à€€€and€Professional€ResponsibilityÌà àà àà àà àà àà àArmstrong€Allen,€PLLCÌà àà àà àà àà àà àBrinkley€PlazaÌà àà àà àà àà àà à80€Monroe€Avenue,€Suite€700Ìà àà àà àà àà àà àMemphis,€Tennessee€38103„2467Ìà àà àà àà àà àà à(901)€524„4948ÇØØÙ  ÙÑ8€rÒXXdéXXdé8ÑÔ€5XÔà@ àò òòòTABLE€OF€CONTENTSóóó óÌÌINTRODUCTIONà‚ à1ÌÌTHE€RECENT€HISTORY€OF€TENNESSEE€ETHICS€RULESà‚ à4ÌÌTHE€TBA€STANDARDS€COMMITTEEà‚ à7ÌÌà àOrigin€of€the€TBA€Committeeà‚ à7Ìà àThe€Committeeððs€First€Questionsà‚ à8Ìà àThe€Need€for€Comprehensive€Reformà‚ à8Ìà àThe€Committeeððs€Choice€of€Formatà‚ à10Ìà àThe€Committeeððs€Work€Methodà‚ à13Ìà àThe€Committeeððs€Three€Primary€Valuesà‚ à15Ìà àà àUniformityà‚ à15Ìà àà àAdherence€to€Existing€Tennessee€Lawà‚ à19Ìà àà àDrafting€the€Best€Possible€Ruleà‚ à20ÌÌTHE€TBAððS€EFFORTS€TO€GENERATE€COMMENT€FROM,€AND€CONSENSUS€WITHIN,ÏTHE€PROFESSION€ON€ITS€PROPOSED€RULESà‚ à21ÌÌIMPORTANT€PROVISIONS€OF€THE€PROPOSED€TENNESSEE€RULES€OFÏPROFESSIONAL€CONDUCTà‚ à23ÌÌTHE€NEED€FOR€CONTINUED€EVALUATION€OF€LEGAL€ETHICS€IN€TENNESSEEà‚ à27ÌÌABA€ETHICS€2000à‚ à30ÌÌOFFER€OF€ASSISTANCEà‚ à33ÌÌCONCLUSIONà‚ à34ÌÌÇØØÙ  ÙÔ_Ôà@ àò òINTRODUCTIONó óÌÌÌà0 àòòI€am€certainly€not€an€advocate€for€frequent€and€untried€changes€in€laws€and€constitutions.€ÏI€think€moderate€imperfections€had€better€be€borne€with;€because,€when€once€known,€weÏaccommodate€ourselves€to€them,€and€find€practical€means€of€correcting€their€ill€effects.€ÏBut€I€know€also,€that€laws€and€institutions€must€go€hand€in€hand€with€the€progress€of€theÏhuman€mind.€€As€that€becomes€more€developed,€more€enlightened,€as€new€discoveries€areÏmade,€new€truths€discovered,€and€manners€and€opinions€change€with€the€change€ofÏcircumstances,€institutions€must€advance€also,€and€keep€pace€with€the€times.€€We€might€asÏwell€require€a€man€to€wear€still€the€coat€which€fitted€him€when€a€boy,€as€civilized€society€toÏremain€ever€under€the€regimen€of€their€barbarous€ancestors.ÌÌà àà àà àà àà àà àThomas€Jefferson,€Letter€to€Samuel€Kercheval,Ïà àà àà àà àà àà àJuly€12,€1816,€Concerning€Possible€Changes€in€theÏà àà àà àà àà àà àConstitution€of€VirginiaóóÌÓÓÌà àFor€more€than€30€years,€the€conduct€of€Tennessee€lawyers€has€been€guided€and€governedÏby€the€Disciplinary€Rules€and€Ethical€Considerations€of€Tennesseeððs€Code€of€ProfessionalÏResponsibility,€patterned€after€the€American€Bar€Associationððs€1969€Model€Code€of€ProfessionalÏResponsibility.€€After€five€years€of€study,€drafting,€comment,€and€consultation€among€interestedÏmembers€of€the€bench,€bar,€and€public,€the€TBA€now€seeks€to€have€this€Court€bring€Tennessee€onceÏagain€into€the€mainstream€of€lawyer€ethics€by€adopting€a€set€of€ethics€rules€patterned€after€theÏABAððs€Model€Rules€of€Professional€Conduct,€which€were€first€promulgated€by€the€ABA€in€1983Ïand€now€adopted€in€substantial€part€by€44€American€jurisdictions.€€While€there€doubtless€wereÏgood€reasons€for€Tennessee€not€to€adopt€a€version€of€the€Model€Rules€shortly€after€their€initialÏ1983€promulgation€by€the€ABA,€the€TBA€believes€that€the€time€has€now€come.Ìà àThe€TBAððs€Proposed€Rules,€developed€for€the€TBA€by€its€Standing€Committee€on€EthicsÏand€Professional€Responsibility€(formerly€known€as€its€Committee€for€the€Study€of€Standards€ofÏProfessional€Conduct,€or€sometimes€merely€referred€to€as€the€ð ðStandards€CommitteeððØØ× ƒ8 ××  ×),€areÍclosely€patterned€after€the€ABA€Model€Rules.€€These€Proposed€Rules€offer,€however,€a€fullyÏintegrated€set€of€ethics€rules€for€Tennessee,€conforming€these€Rules€to€other€Tennessee€law€whereÏappropriate,€on€occasion€codifying€Tennessee€practice€not€reflected€in€the€ABA€Model€Rules,€andÏon€occasion€carrying€forward€existing€Tennessee€rules€thought€by€the€TBA€to€be€so€well€settled€asÏto€merit€continued€adherence€by€this€Court.€€Nevertheless,€the€overwhelming€majority€of€the€RulesÏand€Comments€proposed€by€the€TBA€find€their€origin€in€and€closely€track€the€ABA€Model€Rules.Ìà àIn€this€petition,€the€history€of€the€TBAððs€efforts€to€develop€these€Proposed€Rules€will€beÏsummarized,€followed€by€a€brief€overview€of€the€substantive€approach€of€the€TBAððs€StandardsÏCommittee€to€its€work.€€In€addition,€this€petition€will€recount€for€the€Court€the€extraordinary€effortsÏof€the€Standards€Committee€to€obtain€comment€from€all€quarters€on€its€work,€and€to€work€towardÏconsensus€on€them€where€possible,€through€the€publication€of€extensive€drafts,€solicitation€of€andÏconsideration€of€comments,€discussions€with€individual€practitioners€and€judges,€seminars,€and,Ïmost€importantly,€extensive€reconsideration€and€revision€of€its€work€product€once€published.Ìà àFiled€with€this€petition€are€several€sets€of€attachments€(some€filed€separately€due€to€theirÏsize),€which€together€are€quite€voluminous,€but€which€nevertheless€are€thought€to€be€necessary€toÏprovide€the€Court€with€the€tools€to€address€this€proposal.€€These€attachments€are€as€follows:ÓÓ× ƒ9 ××  ×ÌÌÌà àExhibit€Aà àà0 àà àProposed€Tennessee€Rules€of€Professional€ConductÌÌà àà àà àà0 àà àòòThis€document€contains€the€proposed€black„letter€Rules€and€Comments€inÏthe€form€the€TBA€proposes€for€adoption€by€this€Court.óóÌÌà àExhibit€Bà àà0 àà àCommittee€Draft€of€Proposed€Tennessee€Rules€of€Professional€ConductÌÌà àà àà àà0 àà àòòIn€addition€to€the€proposed€black„letter€Rules€and€Comments,€thisÏdocument€includes€the€Standards€Committeeððs€notes€concerningÏeach€Proposed€Rule.€€Thus,€after€each€individual€Proposed€RuleÏand€Comment,€the€Committee€has€provided€short€sections€(1)Ïcomparing€the€Proposed€Rule€and€Comment€to€Tennesseeððs€currentÏethics€rules,€(2)€comparing€the€proposal€to€the€relevant€ABA€ModelÏRule,€and€(3)€comparing€the€proposal€to€the€Preliminary€DraftÍissued€by€the€Committee€for€discussion€purposes€in€NovemberÏ1997.óóÌÌà àExhibit€Cà àà0 àà àPreliminary€Draft€Report€of€the€TBA€CommitteeÌÌà àà àà àà0 àà àòòThis€is€the€discussion€draft,€including€proposed€rules,€comments,€andÏextensive€committee€notes,€issued€by€the€Standards€Committee€forÏpublic€comment€in€November€1997€and€published€in€the€FebruaryÏ17,€1998,€edition€of€óó€Westððs€Tennessee€Decisions.ÌÌà àExhibit€Dà àà0 àà àComments€Received€by€TBA€CommitteeÌÌà àà àà àà0 àà àòòThese€documents€include€virtually€all€the€written€comments€received€by€theÏStandards€Committee€concerning€its€proposed€rules,€most€of€themÏfocusing€on€proposal€made€by€the€Committee€in€November€1997ÏPreliminary€Draft.óóÌÌà àExhibit€Eà àà0 àà àComments€Received€by€TBA€Committee€Organized€by€Topic€or€RuleÌÌà àà àà àà0 àà àòòThese€documents€are€the€same€documents€included€in€Exhibit€D,€except€thatÏthey€are€organized€by€reference€to€the€particular€rule€or€topic€toÏwhich€they€refer.óóÓÓÌÌà@ àò òTHE€RECENT€HISTORY€OF€TENNESSEE€ETHICS€RULESó óÌà àSince€1970,€Tennesseeððs€lawyers€have€been€governed€by€the€Disciplinary€Rules€and€EthicalÏConsiderations€contained€in€the€Code€of€Professional€Responsibility,€patterned€after€the€AmericanÏBar€Associationððs€1969€Model€Code€of€Professional€Responsibility€(the€ð ðModel€Codeðð).€€Today,Ï30€years€later,€44€states€have€adopted€some€version€of€the€ABAððs€1983€Model€Rules.€€Thus,€todayÏTennessee€stands€in€a€dwindling€minority€of€states€employing€the€format€and€substance€of€the€ABAÏModel€Code,€and€more€than€a€generation€has€passed€since€any€thoroughgoing€revision€ofÏTennesseeððs€ethics€rules.Ìà àFrom€at€least€1938€to€1970,€Tennessee€lawyers€were€required€to€conduct€themselves€inÏaccordance€with€the€Canons€of€Ethics€promulgated€by€the€American€Bar€Association€in€1908.Ìà àIn€1970,€the€Tennessee€Supreme€Court€replaced€the€Canons€with€the€Code€of€ProfessionalÏResponsibility,€closely€based€upon€the€ABA€Model€Code€of€Professional€Responsibility€(theÏð ðABA€Model€Codeðð),€which€the€ABA€had€adopted€just€a€year€earlier.€€Every€other€AmericanÍjurisdiction€likewise€adopted€versions€of€the€Model€Code€as€the€foundation€for€its€own€regulationÏof€the€practice€of€law.Ìà àBy€the€end€of€the€1970s,€however,€leaders€of€the€legal€profession€had€begun€to€question€theÏadequacy€of€the€ABA€Model€Code€as€a€blueprint€for€lawyer€regulation,€raising€concerns€both€aboutÏits€structure€and€its€substance.€€This€dialogue€led€to€the€appointment€by€the€ABA€of€a€CommissionÏon€Evaluation€of€Professional€Standards€(later€known€as€the€ð ðKutak€Commissionðð)€and€to€theÏeventual€approval€by€the€ABA€House€of€Delegates€in€1983€of€the€Model€Rules€of€ProfessionalÏConduct€(the€ð ðABA€Model€Rulesðð).€€The€ABA€Model€Rules€differ€sharply€from€the€ABA€ModelÏCode€in€organization,€utilizing€a€black„letter€Rule€and€Comment€format€rather€than€the€structure€ofÏthe€ABA€Model€Code€with€its€Canons,€Ethical€Considerations,€and€Disciplinary€Rules.€€The€ABAÏModel€Rules€also€contained€a€significant€number€of€new€and€different€rules,€many€covering€topicsÏnot€covered€in€the€ABA€Model€Code.Ìà àIn€response€to€this€ABA€initiative,€many€state€bar€associations,€including€the€TBA,€convenedÏstudy€groups€to€review€and€evaluate€the€ABA€Model€Rules€and€make€recommendations€as€toÏwhether€their€states€should€replace€their€versions€of€the€ABA€Model€Code€with€a€version€of€theÏABA€Model€Rules.€€Indeed,€a€special€TBA€committee,€the€Committee€on€the€Code€of€ProfessionalÏConduct€worked€from€1981€through€1985,€carefully€reviewed€the€ABA€Model€Rules,€issued€twoÏreports€in€which€the€Committee€twice€approved€the€Rule€and€Comment€format€of€the€Model€Rules,Ïapproved€most€of€the€specific€Rules,€but€also€noted€concerns€about€or€disapproval€of€andÏsuggestions€for€modification€of€some€of€the€Rules.ÓÓÌÌà àIn€December€1985,€however,€that€committee€finally€concluded€that€ÌÌà0 àabsent€the€call€of€Tennessee€legal€trumpets,€which€we€had€not€heard,€the€current€Code€ofÏProfessional€Responsibility,€as€adopted€in€Tennessee,€should€not€be€significantly€changed€atÏthis€time.€€There€are€aspects€of€the€Model€Rules€of€Professional€Conduct€which€can€beÏincorporated€into€the€Code€of€Professional€Responsibility.€€Such€incorporation€into€theÏexisting€Code€format€would€be€preferable.ÓÓÌRecommending€further€study€of€the€Model€Rules,€that€committee€concluded€its€work€with€aÏprediction€that€the€ð ðtime€for€the€Model€Rules€of€Professional€Conduct€may€come€in€Tennessee,€butÍthat€time€is€not€now€or€very€near.ððÌà àThe€majority€of€Tennesseeððs€sister€jurisdictions,€however,€came€to€a€different€conclusion.€ÏAs€of€1987,€23€jurisdictions€had€completed€a€comprehensive€revision€of€their€ethics€rules,€with€21Ïmodeling€new€ethics€rules€after€the€ABA€Model€Rules€and€several€others€amending€their€versionsÏof€the€ABA€Model€Code€to€incorporate€some€of€the€substantive€provisions€of€the€ABA€ModelÏRules.€€Since€1987,€another€21€jurisdictions€have€become€ð ðModel€Rule€jurisdictions,ðð€leavingÏTennessee€as€one€of€a€diminishing€handful€of€jurisdictions€that€have€not€thoroughly€revised€theirÏethics€rules€in€response€to€the€1983€promulgation€of€the€ABA€Model€Rules.Ìà àThough€the€structure,€format,€and€basic€content€of€Tennesseeððs€lawyer€ethics€rules€have€thusÏremained€unchanged€for€more€than€a€generation€as€the€mainstream€has€changed€around€them,€on€aÏnumber€of€occasions€since€1970,€this€Court€has€amended€the€Code,€and€some€of€those€amendmentsÏare€indeed€identical€to€provisions€in€the€ABA€Model€Rules.× ƒ: ××  ×€€The€Board€of€ProfessionalÏResponsibility€has€also€issued€a€number€of€Formal€Ethics€Opinions€that€have€drawn€on€ABA€ethicsÏopinions€primarily€based€on€the€ABA€Model€Rules.× ƒ; ××  ×ÌÌà@ àò òTHE€TBA€STANDARDS€COMMITTEEÌOrigin€of€the€TBA€Committeeó óÌà àIn€Spring€1995,€TBA€President€Howard€H.€Vogel€of€Knoxville€(1995„96)€appointed€theÏCommittee€for€the€Study€of€Standards€of€Professional€Conduct€(the€ð ðStandards€Committeeðð).€€ForÏmore€than€five€years,€this€Committee€has€worked€to€develop€the€draft€the€ethics€rules€now€offered€toÍthis€Court€by€the€TBA.Ìà àThe€Committee€included€lawyers€from€across€the€state€and€from€all€walks€of€the€profession.€ÏThis€was€a€working€Committee,€and€each€member€listed€below€actively€contributed€to€the€work€ofÏthe€Committee.€€Thanks€are€also€due€to€Chancellor€Ellen€Hobbs€Lyle€of€Nashville,€who€contributedÏto€the€early€work€of€the€Committee,€but€whose€other€commitments€unfortunately€did€not€permit€herÏto€participate€in€the€Committeeððs€later€efforts.ÓÓÌÌà@ àòòCommittee€RosteróóÌÌà@ àPaul€Campbell,€III,€ChairÌà@ àLucian€T.€Pera,€Vice„ChairÌà@ àCarl€A.€Pierce,€ReporterÌÌà àThomas€C.€Binkleyà àà àà àà àà àKathy€L.€LaizureÌà àGeorge€W.€Bishop,€IIIà àà àà àà àErnest€F.€Lidge,€IIIÌà àJohn€T.€Blankenshipà àà àà àà àà àMary€Frances€LyleÌà àLance€B.€Bracyà àà àà àà àà àNancy€C.€Miller„HerronÌà àRobert€E.€Cooper,€Jr.à àà àà àà àà àBarbara€J.€MossÌà àW.€Thomas€Dillardà àà àà àà àà àGeorge€H.€NolanÌà àJef€Feibelmanà àà àà àà àà àà àFrank€J.€Runyon,€IIÌà àJohn€W.€Gill,€Jr.à àà àà àà àà àWilliam€Stewart€RutchowÌà àAlbert€C.€Harveyà àà àà àà àà àMatthew€J.€Sweeney,€IIIÌà àF.€Evans€Harvillà àà àà àà àà àDalton€L.€TownsendÌà àCharles€A.€High,€Jr.à àà àà àà àà àCharles€L.€Trotter,€Jr.Ìà àWilliam€Lewis€Jenkins,€Jr.à àà àà àà àFrankie€E.€WadeÓÓÌò òÌThe€Committeeððs€First€Questionsó óÌà àAt€its€initial€meeting,€the€Standards€Committee€directly€addressed€two€overarchingÏquestions,€both€of€which€this€petition€squarely€presents€for€this€Court€as€preliminary€questions:€ÏFirst,€has€the€time€come€for€a€thoroughgoing€revision€of€the€substance€of€Tennesseeððs€ethics€rules;Ïand,€second,€should€Tennesseeððs€ethics€rules€move€to€the€format€of€the€ABA€Model€Rules?€€AÏpowerful€consensus€quickly€emerged€that€the€answer€to€both€questions€was,€ð ðyes.ðð€€While€not€allÏCommittee€members€necessarily€agreed€on€each€and€every€reason€supporting€this€consensus,€veryÏsubstantial€reasons€support€these€two€fundamental€premises€of€the€Committeeððs€work.Ìò òThe€Need€for€Comprehensive€Revisionó óÌà àWith€respect€to€the€need€for€a€comprehensive€revision€of€Tennesseeððs€ethics€rules,€theÏcalendar€and€the€behavior€of€other€jurisdictions€offer€much€support:€€Fifteen€years€have€now€passedÏsince€the€1980s€TBA€committee€submitted€its€final€report,€and€30€years€have€now€passed€since€thisÏCourt€adopted€the€Code.€€Also,€since€the€1983€promulgation€of€the€ABA€Model€Rules,€44Ïjurisdictions€have€adopted€them€in€substantial€part.Ìà àWhile€popularity€cannot€be€the€touchstone€of€a€decision€as€to€what€ethics€rules€to€adopt,Ïthere€can€be€no€doubt€that€the€widespread€adoption€of€the€ABA€Model€Rules,€even€with€variations,Ïindeed€reflects€a€broad€and€deep€consensus€within€the€legal€profession,€and€among€the€supremeÏcourts€that€regulate€it,€as€to€the€appropriate€norms€of€behavior€and€rules€governing€misconduct€andÏthe€general€effectiveness€of€the€ABA€Model€Rules€in€capturing€this€consensus.Ìà àMore€practically,€Tennesseeððs€membership€in€a€diminishing€minority€of€ABA€Model€CodeÏjurisdictions€means€that€the€everyday€working€Tennessee€lawyer€or€judge€who€wants€and€needs€aÏprompt,€accurate,€and€reliable€answer€to€an€ethical€question€that€is€not€easily€answered€by€the€plainÏlanguage€of€Tennesseeððs€Code€today€has€less€and€less€analogous€authority€from€other€jurisdictionsÏon€which€to€draw€for€help.Ìà àOf€greater€significance€to€the€Standards€Committee,€however,€was€the€fact€that,€since€theÏABAððs€1969€adoption€of€its€Model€Code,€there€have€been€vast€changes€in€the€practice€of€law€thatÏhave€raised€new€questions€for€which€the€ABA€Model€Code€ð"ð€and,€hence,€Tennesseeððs€ethics€rulesÏð"ð€simply€provides€no€answers.€€Some€of€these€new€questions€have€been€answered€in€the€ABAÏModel€Rules,€although€admittedly€others€are€not€yet€answered€even€by€them.€€Some€of€theÏTennessee€ð ðanswersðð€to€these€questions€can€be€found€by€the€diligent€lawyer€in€the€Board€ofÏProfessional€Responsibilityððs€Formal€Ethics€Opinions€or€in€case€law,€but€values€of€education€andÏguidance€of€practicing€lawyers€and€judges€suggest€that,€where€possible,€these€ð ðanswersðð€shouldÏproperly€be€incorporated€in€the€ethics€rules€themselves.Ìà àMoreover,€many€Tennessee€lawyers€have€come€to€question€some€of€the€answers€that€areÏactually€provided€by€our€current€Code.€€Further,€some€members€of€the€Standards€Committee€wereÍalso€concerned€that€some€of€the€current€Disciplinary€Rules€arguably€prohibit€constitutionally„protected€conduct€of€lawyers€and€clients,€while€statutory€enactments€and€judicial€decisions€alsoÏsuggest€the€need€for€a€rethinking€of€some€of€the€Codeððs€rules.Ìà àNone€of€these€developments€might€separately€mandate€that€the€rules€be€changed€(exceptÏperhaps€the€existence€of€unconstitutional€rules),€but€all€of€these€developments€taken€together€led€theÏCommittee€to€firmly€and€unanimously€conclude€that€the€time€had€indeed€come€for€a€comprehensiveÏreevaluation€of€the€standards€of€professional€conduct€for€lawyers€in€Tennessee.ÌÌò òThe€Committeeððs€Choice€of€Formató óÌà àWhy€should€Tennessee€move€toward€the€format€of€the€Model€Rules€for€its€ethics€rules?€ÏThe€Standards€Committee€felt€the€answers€were€quite€clear€and€compelling.Ìà àPatterned€after€the€ABA€Model€Code,€Tennesseeððs€Code€consists€of€Canons,€EthicalÏConsiderations,€and€Disciplinary€Rules.€€The€Canons€are€ð ðstatements€of€axiomatic€norms,Ïexpressing€in€general€terms€the€standards€of€professional€conduct€expected€of€lawyers€in€theirÏrelationship€with€the€public,€with€the€legal€system,€and€with€the€legal€profession.ðð€€The€Canons€are:ÓÓÌÌà àà0 àà àCanon€1:€A€Lawyer€Should€Assist€in€Maintaining€the€Integrity€and€Competence€of€theÏLegal€Profession.€Ìà àà0 àà àCanon€2:€A€Lawyer€Should€Assist€the€Legal€Profession€in€Fulfilling€Its€Duty€to€MakeÏLegal€Counsel€Available.Ìà àà0 àà àCanon€3:€A€Lawyer€Should€Assist€in€Preventing€the€Unauthorized€Practice€of€Law.Ìà àCanon€4:€A€Lawyer€Should€Preserve€the€Confidences€and€Secrets€of€a€Client.Ìà àà0 àà àCanon€5:€A€Lawyer€Should€Exercise€Independent€Professional€Judgment€on€Behalf€of€aÏClient.Ìà àCanon€6:€A€Lawyer€Should€Represent€a€Client€Competently.Ìà àà0 àà àCanon€7:€A€Lawyer€Should€Represent€a€Client€Zealously€Within€the€Bounds€of€the€Law.€Ìà àCanon€8:€A€Lawyer€Should€Assist€in€Improving€the€Legal€System.Ìà àCanon€9:€A€Lawyer€Should€Avoid€Even€the€Appearance€of€Impropriety.ÓÓÌ€à àImmediately€following€each€individual€Canon€is€a€group€of€related€Ethical€Considerations,Ïwhich€are€ð ðaspirational€in€character€and€represent€the€objectives€toward€which€every€member€of€theÏprofession€should€strive.ðð€€Following€each€group€of€Ethical€Considerations€comes€a€group€ofÏDisciplinary€Rules€that€are€ð ðmandatory€in€characterðð€and€ð ðstate€the€minimum€level€of€conductÍbelow€which€no€lawyer€can€fall€without€being€subject€to€disciplinary€action.ðð€€Having€soÏdifferentiated€between€the€three€types€of€prescriptive€norms€contained€in€the€Model€Code,€theÏPreliminary€Statement€to€the€Code€concludes€that€ð ðan€enforcing€agency,€in€applying€theÏDisciplinary€Rules,€may€find€interpretive€guidance€in€the€basic€principles€embodied€in€the€CanonsÏand€in€the€objectives€reflected€in€the€Ethical€Considerations.ððÌà àBy€contrast,€the€TBAððs€Proposed€Rules,€like€the€ABA€Model€Rules,€consists€ofÏapproximately€56€discrete€Rules,€each€of€which€is€followed€by€a€Comment.€€The€Comments,€likeÏthose€comments€to€various€uniform€acts€such€as€the€Uniform€Commercial€Code,€explain€andÏillustrate€the€meaning€and€purpose€of€the€Rule€and€are€intended€as€guides€to€interpretation,€but€theÏtext€of€each€Rule€is€authoritative.€€Like€the€ABA€Model€Rules,€the€Proposed€Rules€are€organizedÏinto€8€separately€titled€sections:ÓÓÌÌà àà àRules€1.1€„€1.17à0 àClient„Lawyer€RelationshipÌà àà àRules€2.1€„€2.4à0 àCounselorÌà àà àRules€3.1€„€3.9à0 àAdvocateÌà àà àRules€4.1€„€4.4à0 àTransactions€with€Persons€Other€Than€ClientsÌà àà àRules€5.1€„€5.7à0 àLaw€Firms€and€AssociationsÌà àà àRules€6.1€„€6.4à0 àPublic€ServiceÌà àà àRules€7.1€„€7.6à0 àInformation€About€Legal€ServicesÌà àà àRules€8.1€„€8.5à0 àMaintaining€the€Integrity€of€the€ProfessionÌÌÓÓà àThe€Standards€Committee€consciously€and€deliberately€chose€to€follow€the€organization€andÏformat€of€the€ABA€Model€Rules€for€a€variety€of€compelling€reasons.€€First,€the€ABA€Model€RulesÏare€organized€more€practically€by€reference€to€things€lawyers€do€rather€than€by€reference€to€abstractÏprofessional€ideals.€€It€seems€sensible€to€organize€rules€of€conduct€by€reference€to€what€lawyers€doÏð"ð€òòe.g.óó,€representing€clients€both€generally€and€more€particularly€in€one€of€the€various€roles€lawyersÏmay€play€on€behalf€of€their€clients,€interacting€with€third€parties,€working€with€other€lawyers€andÏnon„lawyers€in€law€firms,€rendering€public€service,€marketing€their€practices,€or€more€generallyÏengaging€in€conduct€that€might€either€undermine€or€enhance€the€integrity€of€the€profession.€€ItÏseems€more€logical,€for€example,€to€include€the€rules€with€respect€to€fees€and€safeguarding€clientÏproperty€in€an€article€setting€forth€the€lawyer's€general€duties€with€respect€to€her€representation€of€aÍclient,€rather€than€having€the€fee€and€client€property€rules€in€separate€Canons€and€the€fee€rules€in€aÏCanon€that€also€contains€the€rules€governing€advertising€and€solicitation.Ìà àThe€Rule„Comment€format€also€properly€focuses€the€readerððs€primary€attention€on€theÏRules€themselves.€€Unlike€the€Code,€in€which€the€Disciplinary€Rules€are€presented€after€the€CanonsÏand€the€Ethical€Considerations,€the€ABA€Model€Rule€format€places€the€Rule€first.€€The€Rule„Comment€format€also€makes€it€clear€that€there€is€only€one€set€of€Rules€and€that€the€Comments€areÏsubordinate€to€the€text€of€the€rule€it€follows.€€With€the€Canons€and€Ethical€Considerations€of€theÏCode€formulated€in€prescriptive€terms,€it€is€too€easy€(and€has€been€too€easy€for€the€courts€andÏlawyers)€to€accord€both€Canons€and€Ethical€Considerations€more€independent,€authoritative€legalÏweight€than€would€be€the€case€if€they€were€formulated€as€Comments€to€a€particular€Rules.Ìà àThe€Standards€Committee€was€also€concerned€that€the€juxtaposition€in€the€Code€of€EthicalÏConsiderations€and€Disciplinary€Rules€leaves€a€lawyer€who€fully€complies€with€every€DisciplinaryÏRule€open€to€the€charge€that€he€has€somehow€fallen€short€of€the€expectations€of€his€profession.€ÏRules€governing€the€ethical€conduct€of€lawyers€should€clearly€specify€the€conduct€expected€of€aÏprofessionally€responsible€lawyer€and€should€not€suggest€that€lawyer's€need€to€do€more€or€less€toÏbe€regarded€as€a€ð ðtrueðð€professional.€€Ethical€exhortation€is€important,€but,€to€the€extent€it€is€neededÏor€undertaken,€it€should€not€be€confused€with€rules€the€violation€of€which€may€result€in€disbarmentÏor€other€lawyer€discipline.Ìà àThe€Standards€Committee€also€had€a€very€practical€reason€for€preferring€the€organizationÏand€format€of€the€Model€Rules:€€Adopting€the€organization€and€format€of€the€ABA€Model€RulesÏwill€make€it€dramatically€easier€for€Tennessee€lawyers€to€clearly€understand€and€comply€with€theirÏprofessional€responsibility.€€The€vast€majority€of€other€jurisdictions,€including€most€of€thoseÏcontiguous€to€Tennessee,€have€adopted€the€organization,€format,€and€orientation€of€the€ABA€ModelÏRules.€€As€a€direct€result,€most€of€the€secondary€literature,€ethics€opinions,€and€case€law€about€theÏprofessional€responsibilities€of€lawyers€now€focus€on€the€ABA€Model€Rules,€and€the€ABA€ModelÏRules€have€become€the€unquestioned€centerpiece€of€the€ongoing€dialogue€within€America€(insideÍand€outside€the€profession)€about€the€professional€responsibilities€of€lawyers.€€By€embracing€theÏorganization€and€format€of€the€ABA€Model€Rules,€it€will€be€easier€for€Tennessee€lawyers€toÏparticipate€in€and€benefit€from€this€dialogue€to€ascertain€their€professional€responsibilities.€€ThisÏwill€be€increasingly€important€as€more€and€more€of€the€practice€of€law€occurs€across€stateÏboundaries€and€more€and€more€lawyers€become€licensed€to€practice€in€more€than€one€state.Ìò òThe€Committeeððs€Work€Methodó óÌà àIn€order€to€accomplish€its€work,€the€Committee€divided€itself€into€ten€smaller,€overlappingÏworking€groups,€each€of€which€was€assigned€the€responsibility€of€working€with€the€Reporter€toÏgenerate€proposals€for€the€adoption€or€modification€of€a€topically€related€set€of€rules.€€TheÏStandards€Committee€as€a€whole€generally€met€monthly€in€person.Ìà àAt€these€meetings,€the€Committee€would€consider€the€proposals€submitted€by€the€workingÏgroups.€€A€particular€Proposed€Rule€might€exactly€parallel€the€ABA€Model€Rule,€or€it€might€be€theÏthird€draft€of€a€rule€intended€to€carefully€engraft€a€particular€Tennessee€decision€on€an€ABA€ModelÏRule,€or€it€might€address€an€issue€about€which€both€the€ABA€Model€Rules€and€the€ABA€ModelÏCode€were€both€silent.€€The€Committee€then€closely€examined,€discussed,€and€debated€the€workingÏgroupððs€proposal€and€sometimes€referred€the€draft€rule€back€to€the€working€group€or€the€ReporterÏfor€revision.€€This€process€repeated€itself€until€the€Committee€thought€it€was€ready€for€a€vote€on€aÏProposed€Rule€or€alternative€formulations€of€a€Proposed€Rule.€€This€laborious€process€of€drafting,Ïrevision,€discussion,€and€debate€continued€for€almost€two€years.× ƒ< ××  ×Ìà àAt€the€conclusion€of€its€work€on€all€of€the€individual€rules,€the€Committee€met€in€retreat€forÏtwo€days€in€June€1997€in€Clarksville€to€review€the€entire€set€of€Proposed€Rules€for€consistency€andÏto€reconsider€particular€rules€of€concern€to€individual€Committee€members.Ìà àAt€its€July€1997€meeting,€the€TBA€Board€of€Governors€approved€the€distribution€of€thisÏPreliminary€Draft€for€comment.Ìò òÌÌThe€Committeeððs€Three€Primary€Valuesó óÌà àIn€the€long€process€of€drafting€the€substance€of€the€Proposed€Rules,€three€primary€values€ofÏthe€Committee€emerged€as€its€guides:€uniformity,€which€most€often€led€the€Committee€to€follow€theÏlanguage€of€an€ABA€Model€Rule;€adherence€to€Tennessee€substantive€law,€whether€statutory€orÏdecisional,€and€even€to€certain€settled€Tennessee€ethical€rules€and€interpretations,€which€often€led€theÏCommittee€to€depart€from€the€language€of€an€€ABA€Model€Rule;€and,€certainly€not€least,€writing€theÏbest€possible€rule,€even€to€the€point€of€abandoning€an€ABA€Model€Rule€or€overruling€TennesseeÏrule€or€precedent.€€As€in€any€drafting€process,€these€values€were€often€in€real€tension,€but€from€thatÏcreative€tension€emerged€a€work€product€that€the€Committee€as€a€whole€believes€does€justice€to€eachÏof€these€values.Ìà@ àòòUniformityóóÌà àUniformity€was€most€often€the€Committeeððs€primary€value,€and€this€predisposition€mostÏoften€led€it€to€show€great€deference€to€the€approval€of€individual€Model€Rules€without€modification.€ÏOperationally,€this€generally€led€the€Committee€to€look€at€the€language€of€the€Model€Rule€first€andÏthen€to€require€good€cause€to€be€shown€for€departures€from€this€language.Ìà àAdmittedly,€there€is€today€less€uniformity€among€the€various€jurisdictions€with€respect€to€theÏrules€governing€professional€conduct€than€there€was€prior€to€the€promulgation€of€the€Model€Rules.€ÏA€few€states,€like€Tennessee,€are€still€using€the€ABA€Model€Code,€and€there€are€significantÏsubstantive€and€language€differences€between€the€ABA€Model€Rules€and€the€ABA€Model€Code.€ÍAlso,€because€the€ABA€no€longer€ð ðmaintainsðð€or€updates€its€Model€Code,€Model€Code€states€likeÏTennessee€have€been€left€largely€to€their€own€devices€when€they€have€attempted€to€update€particularÏportions€of€the€Disciplinary€Rules€to€accommodate€critical€needs,€leading€to€even€more€non„uniformity.€€In€addition,€those€states€that€have€adopted€versions€of€the€ABA€Model€Rules€haveÏgenerally€enacted€more€variations€than€were€previously€seen€in€the€adoption€of€the€Model€Code.Ìà àOf€course,€complete€uniformity€among€the€jurisdictions€is€impossible,€but€the€CommitteeÏwas€clearly€motivated€in€moving€toward€the€ABA€Model€Rules€by€the€desire€to€reduce€the€obviousÏnon„uniformity€of€Tennesseeððs€legal€ethics€rules.€€Despite€the€number€of€instances€in€which€theÏCommitteeððs€Proposed€Rules€do,€in€fact,€differ€from€the€ABA€Model€Rules,€the€Committee€workedÏfrom€a€strong€presumption€in€favor€of€adopting€the€ABA€Model€Rules€where€possible,€particularlyÏthose€Rules€that€have€been€adopted€without€significant€modification€by€most€other€jurisdictions.€ÏRather€than€seeing€this€as€blindly€following€the€herd,€the€Committee€viewed€this€as€leadingÏTennessee€down€well„traveled€paths€to€a€sensible€destination.Ìà àSeveral€reasons€supported€this€predisposition.€€In€part,€the€Committee€came€to€think€of€theÏABA€Model€Code€as€a€good€first€draft€and€the€ABA€Model€Rules€as€an€improved€second€draft.€ÏNot€only€were€the€ABA€Model€Rules€the€product€of€painstaking€and€thoughtful€analysis€by€theÏKutak€Commission€which€drafted€them,€but€they€were€also€distilled€through€a€lengthy€process€ofÏnationwide€debate€and€revision€leading€up€to€the€final€vote€in€the€ABA€House€of€Delegates.€€TheÏKutak€Commission€and€the€House€of€Delegates€that€approved€the€Model€Rules€possessed€moreÏcurrent,€complete,€and€accurate€information€about€the€social€circumstances€in€which€law€is€practicedÏand€were€able€to€draw€upon€more€than€a€decade€of€experience€under€the€ABA€Model€Code.€€TheyÏhad€access€to€a€substantial€literature€about€the€Code,€much€of€it€raising€questions€about€theÏcomprehensiveness€and€clarity€of€the€ABA€Model€Code.Ìà àThe€Standards€Committee€was€also€cognizant€of€the€fact€that€the€ABA€Model€Rules€haveÏnow€been€reviewed€and€many€of€its€rules€and€comments€have€been€widely€adopted€withoutÏmodification.€€Although€few,€if€any,€jurisdictions€have€adopted€the€ABA€Model€Rules€in€toto,Íwithout€modification,€they€do€now€undoubtedly€serve€as€the€backbone€for€the€self„regulation€of€theÏbar€throughout€the€country€because€the€profession€and€the€courts€have€consciously€chosen€themÏrepeatedly.€€Although€the€Standards€Committee€never€felt€bound€to€blindly€follow€the€herd,€itÏseemed€sensible€to€least€track€the€herd€for€a€while,€and€to€assume€at€the€outset€that€the€herd€might€beÏheaded€in€the€right€direction.Ìà àFurther,€any€lack€of€uniformity€in€the€rules€governing€a€lawyerððs€conduct€presents€obviousÏproblems€for€lawyers€who€are€licensed€and€practicing€in€more€than€one€jurisdiction,€lawyersÏlicensed€in€one€jurisdiction€who€have€been€admitted€to€practice€in€another€jurisdiction€pro€hac€vice,Ïand€lawyers€who€are€representing€parties€in€multi„state€transactions€or€litigation€with€implications€inÏa€number€of€states.€€Tennesseeððs€geography× ƒ= ××  ×€and€the€great€uncertainty€about€choice€of€law€issuesÏgoverning€the€practice€of€law€argue€particularly€strongly€in€favor€of€moving€in€the€direction€ofÏuniformity€and€in€the€direction€of€the€ABA€Model€Rules.Ìà àStill€another€reason€for€generally€preferring€the€ABA€Model€Rules€to€the€current€Code€isÏthe€fact€that€the€Model€Rules€address€at€least€30€issues€that€are€not€specifically€addressed€in€theÏABA€Model€Code.€€Although,€as€stated€in€the€Preamble€to€the€ABA€Model€Code,€ð ða€lawyer€.€.€.Ïassumes€many€roles€that€require€the€performance€of€many€difficult€tasksðð€and€ð ðnot€every€situationÏa€lawyer€may€encounter€can€be€foreseen,ðð€the€Committee€strongly€felt€that€our€rules€of€professionalÏconduct€should€address€most€if€not€all€of€those€situations€which€can€be€foreseen€as€likely€to€arise€inÏthe€practice€of€law€as€it€is€being€practiced€today€and€is€likely€to€be€practiced€in€the€days€to€come.Ìà àThe€Standards€Committee€also€noted€that€the€ABA€Model€Rules€take€a€more€realisticÏapproach€to€the€fact€that€lawyers€play€many€different€roles€in€their€representation€of€clients.€€TheÏABA€Model€Code€is€a€unitary€set€of€rules€to€be€ð ðuniformly€applied€to€all€lawyers,€regardless€of€theÍnature€of€their€professional€activities.ðð€€The€Disciplinary€Rules€are€not€tailored€to€account€for€theÏdifferent€roles€lawyers€play€on€behalf€of€clients.€€The€ABA€Model€Rules,€on€the€other€hand,€takes€aÏdifferent€approach€to€professional€self„regulation.Ìà àAt€the€outset,€the€Preamble€alternatively€pictures€a€lawyer€in€three€distinct€roles€ð"ð€€as€ð ðaÏrepresentative€of€clients,€an€officer€of€the€legal€system,€and€a€public€citizen€having€specialÏresponsibility€for€the€quality€of€justice.ðð€€The€ABA€Model€Rules€also€identify€five€distinct€rolesÏlawyers€may€play€when€acting€as€representatives€of€their€clients€ð"ð€advisor,€advocate,€negotiator,Ïintermediary,€and€evaluator€ð"ð€and€the€Rules€themselves€address€the€differing€demands€of€theseÏroles.€€It€is€now€easier€to€imagine€how€the€rights€and€duties€of€the€lawyers€might€vary€with€the€roleÏthey€are€playing.€€A€duty€to€ð ðzealouslyðð€represent€a€client,€for€example€may€make€some€sense€for€aÏlawyer€serving€as€an€advocate€or€even€as€a€negotiator,€but€makes€little€sense€when€applied€to€theÏlawyer€who€is€serving€as€an€advisor,€intermediary,€or€evaluator.€€One€can€also€imagine€someÏconflicts€arising€when€a€lawyer€attempts€to€play€more€than€one€of€these€roles€at€the€same€time.€€TheÏStandards€Committee€concluded€that€the€ABA€Model€Rules€better€account€for€the€fact€that€lawyersÏplay€many€different€roles€and€different€roles€may€call€for€different€rules.€Ìà àFinally,€absolutely€critical€to€the€predisposition€of€many€Committee€members€to€deferÏgenerally€to€the€language€of€the€ABA€Model€Rules€was€the€view€that€greater€uniformity€would€allowÏconscientious€Tennessee€lawyers€and€judges€to€more€quickly€and€easily€find€real€answers€to€realÏquestions€about€what€is€expected€of€a€lawyer.€€Compliance€with€important€ethics€rules,€just€as€withÏother€laws€and€rules,€depends€in€large€part€on€clarity€and€accessibility.€€The€ABA€Model€Rules€nowÏoccupy€center€stage€in€the€growing€literature€about€lawyersðð€professional€responsibilities.€€At€best,Ïthe€ABA€Model€Code€is€currently€on€the€side€of€the€stage€and€headed€offstage,€almost€certainlyÏnever€to€return.€€Moving€toward€the€ABA€Model€Rules€will€enable€Tennessee€lawyers€faced€withÏdifficult€questions€to€easily€draw€upon€very€useful€authorities€that€focus€their€analysis€on€the€ModelÏRules.Ìà@ àòòAdherence€to€Existing€Tennessee€LawóóÌà àAlthough€strongly€predisposed€to€approve€the€Model€Rules,€the€Standards€Committee€wasÏalso€predisposed€to€incorporate€into€the€Proposed€Rules€norms€of€professional€conduct€possiblyÏunique€to€Tennessee,€but€well„settled€or€recently€settled€by€Tennessee€courts,€or€apparently€meetingÏwith€the€general€approval€of€the€bench,€bar,€and€informed€public€opinion.€€Indeed,€the€CommitteeÏsometimes€chose€to€value€such€adherence€to€Tennessee€law€over€uniformity.Ìà àOperationally,€this€meant€that€the€Committee€always€sought€to€determine€whether€and€howÏcurrent€Tennessee€law€differed€from€an€ABA€Model€Rule€under€consideration€and€to€carefullyÏconsider€whether€the€Tennessee€status€quo€should€be€retained.€€Where€the€General€Assembly€orÏthis€Court€had€firmly€or€recently€decided€a€question€of€law€or€written€another€rule€directly€relevantÏto€an€ethics€rule,€the€Committee,€like€many€similar€committees€in€other€states€adopting€the€ABAÏModel€Rules,€often€felt€that€certainty€of€result€was€more€important€than€uniformity.€€Indeed,€in€someÏinstances,€some€Committee€members€even€felt€this€value€more€important€even€than€correcting€whatÏthey€might€have€thought€was€an€incorrect,€though€settled,€rule.Ìà@ àòòDrafting€the€Best€Possible€RuleóóÌà àBut€simply€writing€the€best€possible€rule€was€also€a€value€that€the€Standards€CommitteeÏsometimes€honored€most,€even€to€the€point€of€abandoning€a€Model€Rule€or€overruling€decisionalÏprecedent.€€The€Committee€recognized€that€its€work€represents€a€rare€opportunity,€the€first€suchÏopportunity€in€a€generation,€to€write€on€a€cleaner€slate,€understanding€that€strenuous€comments€toÏthe€contrary€or,€ultimately,€the€views€of€this€Court€might€overrule€this€judgment.€€Thus,€theÏCommittee€concluded€that€it€could€not€always€responsibly€limit€itself€to€a€choice€between€the€ABAÏModel€Rule€and€the€current€Tennessee€rule.Ìà àAlthough€generally€disinclined€to€depart€from€an€ABA€Model€Rule€or€to€overrule€decisionalÏprecedent,€the€Committee€has€not€hesitated€to€recommend€a€departure€from€both€the€Model€RuleÏand€the€Tennessee€status€quo€in€cases€where€the€Committee€felt€quite€certain€that€it€had€a€better€idea.€ÏThe€Committee,€therefore,€was€also€predisposed€to€get€it€right.Ìà àThough€these€values€were€often€in€real€tension,€the€Committee€feels€strongly€that€from€thatÍtension€has€emerged€a€work€product€that€does€justice€to€these€values.ÌÌÓÓÌà@ àò òTHE€TBAððS€EFFORTS€TO€GENERATE€COMMENT€FROM,Ìà@ àAND€CONSENSUS€WITHIN,€THE€PROFESSION€ON€ITS€PROPOSED€RULESó óÓÓÌà àFollowing€the€release€of€its€Preliminary€Draft€in€November€1991,€and€continuing€even€untilÏthe€last€few€weeks,€the€TBA€has€worked€to€educate€the€bench€and€bar€about€its€proposals,€hasÏsolicited€comments€on€the€work€of€the€Standards€Committee,€and€has€carefully€considered€them€inÏframing€this€proposal.Ìà àAs€a€part€of€its€effort€at€outreach,€the€Standards€Committee€has:ÓÓÌÌà àà0 àà àððDistributed€more€than€2,500€hard€copies€of€the€Preliminary€Draft€of€its€proposed€rules€toÏTennessee€lawyers,€judges,€and€others.Ìà àà0 àà àððDistributed€more€than€5,800€copies€of€the€Preliminary€Draft€electronically€through€theÏTBAððs€website,€TBALink,€to€Tennessee€lawyers,€judges,€and€others.× ƒ> ××  ×Ìà àà0 àà àððSolicited€comments€through€forms€distributed€with€every€copy€of€the€Preliminary€DraftÏand€through€the€TBA€website.Ìà àà0 àà àððPublished€articles€in€the€òòTennessee€Bar€Journalóó€and€other€publications€about€the€substanceÏof€the€proposed€rules.Ìà àà0 àà àððPresented€or€participated€in€numerous€CLE€seminars€across€Tennessee€concerning€theÏproposed€rules.Ìà àà0 àà àððAttended€numerous€ethics€committee€and€board€meetings€of€local€and€state€bar€groupsÏacross€the€state.ÌÌÓÓBy€these€and€other€informal€means,€the€Committee€generated€great€discussion€of€the€proposed€rulesÏand,€as€a€result,€received€dozens€of€substantive,€constructive€comments€about€the€proposed€rulesÏcontained€in€its€Preliminary€Draft.€€(Copies€of€the€voluminous€comments€received€by€theÏCommittee€are€attached€as€Exhibits€D€and€E€to€the€petition.)€Ìà àThen,€beginning€in€1998€and€running€for€more€than€a€year,€the€Standards€CommitteeÏresumed€its€meetings€and€reviewed€carefully€each€and€every€comment€submitted,€returning€to€eachÍProposed€Rule€and€reconsidering€its€original€judgment€concerning€each€Proposed€Rule€andÏComment.€€During€this€process,€and€as€reflected€in€the€Committee€Notes€section€following€eachÏProposed€Rule€and€Comment€in€Exhibit€B,€the€Committee€revised€and€changed€a€number€of€itsÏprior€judgments,€improving€its€work€product€tremendously€as€a€result€of€the€intense€participation€ofÏlawyers,€judges,€and€bar€organizations€from€all€across€the€state.Ìà àPerhaps€most€interestingly,€the€majority€of€the€changes€made€by€the€Committee€from€itsÏPreliminary€Draft€to€the€draft€presently€before€the€Court€were€changes€to€conform€the€proposal€toÏthe€text€of€the€ABA€Model€Rules.Ìà àÓ ` ` ŒXÓÔ€5ÔÔ€#Ô€€Ô€#XÔÔ€5ÔContinuing€its€efforts€to€expose€widely€its€drafts€of€these€proposed€rules€and€to€garnerÏsupport€for€them,€in€February€2000,€after€the€TBA€Board€of€Governors€had€approved€theseÏproposed€rules€in€substantially€their€current€form,€the€President€of€the€TBA€circulated€this€draft€toÏall€state„wide€bar€associations,€all€local€bar€associations,€this€Court's€adjunct€bodies,€and€otherÏinterested€bodies,€seeking€final€comments€before€filing.Ô€#ÔÔ€#ÔÌÔ€#XÔÔ€5Ôà àFinally,€continuing€these€efforts,€in€addition€to€serving€copies€of€this€petition€and€theÏrelevant€exhibits€upon€an€extensive€list€of€organizations€and€individuals€with€an€interest€in€theÏregulation€of€the€profession€(including€all€state€and€local€bar€associations€and€adjunct€bodies€of€thisÏCourt€(òòseeóó€Exhibit€F€to€Petition,€List€of€Individuals€and€Organizations€Served),€the€TBA€will€postÏthis€petition€and€all€its€exhibits€(with€the€possible€exception€of€the€comments€contained€in€ExhibitsÏD€and€E)€on€its€web€site,€,€within€the€next€few€weeks,€so€that€members€of€the€bench,Ïbar,€and€public€may€continue€to€study€and€comment€on€this€proposal.ÌÌÓÓà@ àò òIMPORTANT€PROVISIONS€OFÌà@ àTHE€PROPOSED€TENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTó óÓÓÌà àAs€an€aid€to€the€Court€in€reviewing€and€considering€these€extensive€Proposed€Rules,€theÏTBA€would€particularly€draw€the€Courtððs€attention€to€the€following€portions€of€the€proposal€that€areÏnew,€different€from€the€current€rules,€or€have€generated€significant€comment€within€the€CommitteeÍor€by€those€who€submitted€comments€to€the€Committee:ÓÓÌÌà@ àò òCHAPTER€1ó óÌÌà àò òRule€1.2.€€Scope€of€Representation€and€Decisionmaking€Authority€ó óÌà àà àà0 àà àRule€1.2€(a)€ð"ð€allocation€of€authority€between€lawyer€and€client;€and€decisions€thatÏmust€be€made€by€client.Ìà àà àà0 àà àRule€1.2(c)€ð"ð€agreements€between€lawyer€and€client€providing€for€a€limitedÏrepresentation€of€the€client.€ÌÌà àò òRule€1.5.€€Feesó óÌà àà àRule€1.5(a)€ð"ð€attorney€charges€for€fees€and€costs€must€be€reasonable.Ìà àà àRule€1.5(c)€ð"ð€contingent€fee€agreements€must€be€in€writing.Ìà àà àRule€1.5(d)€ð"ð€contingent€fees€in€domestic€relations€cases.Ìà àà àà0 àà àRule€1.5(e)€ð"ð€fee„splitting€between€lawyers€not€in€proportion€to€service€rendered.ÌÌà àò òRule€1.6.€€Confidentialityó óÌà àà àà0 àà àRule€1.6(a)€ð"ð€confidentiality€duty€applies€to€all€ð ðinformation€relating€to€theÏrepresentation€of€the€client;ðð€disclosure€permitted€if€impliedly€authorized€toÏcarry€out€the€representation.Ìà àà àà0 àà àRule€1.6(b)(1)€and€Comment€[10]€ð"ð€disclosure€permitted€to€prevent€reasonablyÏcertain€death€or€substantial€bodily€harm.Ìà àà àà0 àà àRule€1.6(b)(2)€ð"ð€disclosure€permitted€to€prevent€client€from€committing€a€crime.Ìà àà àà0 àà àRule€1.6(b)(3)€ð"ð€disclosure€permitted€to€rectify€substantial€injury€resulting€fromÏclientððs€crime€or€fraud€in€which€client€used€lawyerððs€services€in€furtheranceÏof€the€crime€or€fraud.€Ìà àà àà0 àà àRule€1.6(b)(4)€ð"ð€disclosure€permitted€for€the€lawyer€to€secure€legal€advice€aboutÏlawyerððs€duties.€€ÌÌò òà àRule€1.7.€€Conflict€of€Interests:€General€Ruleó óÌà àà àRule€1.7€and€Comment€[7]€ð"ð€consent€in€writing€by€client€required.Ìà àà àà àà0 àà àComment€[6]€ð"ð€government€clients€may€give€consent€to€conflicts€ofÏinterest.Ìà àà àà àComment€[11]€ð"ð€positional€conflicts.ÌÌà àò òRule€1.8.€€Conflict€of€Interest:€Prohibited€Transactionsó óÌà àà àRule€1.8(a)€ð"ð€heightened€duties€in€all€business€transactions€with€clients.Ìà àà àà0 àà àRule€1.8(e)€ð"ð€lawyer€may€advance€of€expenses€of€litigation€with€repaymentÏcontingent€on€outcome.Ìà àà àRule€1.8(f)€€ð"ð€lawyer€may€not€accept€compensation€or€direction€from€third„à àà àà àpartyÏfee€payor.Ìà àà àRule€1.8(g)€ð"ð€heightened€duties€and€written€consent€in€aggregate€settlements.Ìà àà àà0 àà àRule€1.8(i)€ð"ð€€conflicts€involving€opposing€lawyers€related€to€each€other€as€spouse,Ïsibling,€or€child;€written€client€consent€always€required,€but€no€vicariousÏdisqualification.ÌÌà àò òRule€1.9.€€Conflict€of€Interest:€Former€Clientó óÌà àà àà0 àà àRule€1.9(a)€ð"ð€bars€materially€adverse€representation€in€same€or€substantially€relatedÏmatter.Ìà àà àComment€[4]€ð"ð€description€of€a€ð ðsubstantially€related€matter.ððÌà àà àà0 àà àRule€1.9(b)€ð"ð€lawyer€who€leaves€firm€and€who€did€not€participate€in€representationÍof€a€firm€client€may€represents€interests€adverse€to€the€former€firmððs€clientÏso€long€as€the€lawyer€did€not€acquire€information€relating€to€the€clientððsÏrepresentation.€Ìà àà àRule€1.9(c)€ð"ð€specification€of€confidentiality€obligation€to€former€client.€ÌÌà àò òRule€1.10.€€Imputed€Disqualification:€General€Ruleó óÌà àà àà0 àà àRule€1.10(b)€ð"ð€no€disqualification€of€firm€if€lawyer€has€left€firm,€takes€firm€client,Ïand€no€€lawyer€still€in€firm€participated€in€the€representation€or€possessesÏinformation€relating€thereto.€€€Ìà àà àà0 àà àRule€1.10(c)€ð"ð€screening€permitted€when€lawyer€moves€from€one€firm€to€another,Ïsubject€to€four€safeguards.ÌÌà àò òà0 àà àRule€1.11.€€Successive€Government€and€Private€Employmentó ó€ð"ð€special€rules€reÏconflicts€for€moving€government€lawyers.ÌÌà àò òRule€1.13.€€Organizational€Clients€ÌÌà àRule€1.14.€€Client€Under€a€Disability€ó óÌÌà àà0 àà àò òRule€1.17.€€Sale€of€a€Law€Practiceó ó€ð"ð€permitted,€subject€to€conditions€and€safeguards€forÏclients.ÌÌÌà@ àò òCHAPTER€2ó óÌÌà àà0 àà àò òRule€2.2.€€Lawyer€Serving€as€Intermediary€Between€Clientsó ó€ð"ð€special€rule€specifyingÏlawyer€duties€when€serving€as€intermediary€between€client€in€transactional€setting.ÌÌà àà0 àà àò òRule€2.4.€€Lawyer€as€Dispute€Resolution€Neutraló ó€ð"ð€special€rule€specifying€lawyerÏduties€when€serving€as€neutral.ÌÌà@ àò òCHAPTER€3ó óÌÌà àà0 àà àò òRule€3.1.€€Meritorious€Claims€and€Contentionsó ó€ð"ð€Frivolous€contentions;€disciplinaryÏcounterpart€to€Tenn.€R.€Civ.€P.€11.ÌÌà àà0 àà àò òRule€3.2.€€Expediting€Litigationó ó€ð"ð€affirmative€duty€to€expedite€litigation€consistent€withÏclient€interests.ÌÌà àò òRule€3.3.€€Candor€toward€the€Tribunal€ó óÌà àà àà0 àà àRule€3.3(c)€through€(h)€ð"ð€duties€re€perjury€and€other€misconduct€by€clients€andÏothers.€ÌÌà àò òRule€3.4.€€Fairness€to€Opposing€Party€and€Counseló óÌà àà àRule€3.4(d)€ð"ð€lawyer€duties€re€conduct€of€discovery.Ìà àà àà0 àà àRule€3.4(f)€ð"ð€cannot€request€person€other€then€client,€family€member€of€client€orÏemployee€of€client€to€refrain€from€voluntarily€cooperating€with€opposingÏcounsel.ÌÌà àò òRule€3.6.€€Trial€Publicityó óÌà àà àà0 àà àRule€3.6(c)€ð"ð€extrajudicial€response€permitted€to€undue€prejudicial€extrajudicialÍstatements€by€others.ÌÌà àà0 àà àò òRule€3.7.€€Lawyer€as€Witnessó ó€ð"ð€substantial€liberalization€of€current€advocate€witnessÏrules).ÌÌà àò òRule€3.8.€€Special€Responsibilities€of€a€Prosecutoró óÌà àà àRule€3.8(b)€ð"ð€reasonable€effort€to€assure€accused€is€advised€of€rights.Ìà àà àRule€3.8(f)€ð"ð€requirement€of€judicial€approval€before€subpoenaing€lawyer.Ìà àà àRule€3.8(g)€ð"ð€broader€restraint€on€prosecutorial€extrajudicial€speech.ÌÌà@ àò òCHAPTER€4ó óÌÌà àò òRule€4.1.€€Truthfulness€and€Candor€in€Statements€to€Others€ó óÌà àà àà0 àà àRule€4.1€(b)€and€(c)€ð"ð€mandatory€noisy€withdrawal€or€disaffirmance€of€work„product€to€disassociate€lawyer€from€transactional€fraud.ÌÌà àò òRule€4.2.€€Communication€with€Person€Represented€By€Counseló óÌà àà àComments€[3]€and€[4]€ð"ð€contacts€with€employees€of€represented€organization.Ìà àà àComment€[7]€ð"ð€prosecutorial€pre„arrest,€pre„indictment€communication.ÌÌà àà0 àà àò òRule€4.4.€€Respect€for€Rights€of€Third€Personsó ó€ð"ð€€see€Committee€Notes€reÏsurreptitious€taping.ÌÌà@ àò òCHAPTER€5ó óÌÌà àà0 àà àò òRule€5.1.€€Responsibilities€of€a€Partner,€Managing€Lawyer€or€Supervisory€Lawyeró óÌÌà ààHàà0 àà àò òRule€5.2.€€Responsibilities€of€a€SubordinateÏLawyeró óÌÌà àà0 àà àò òRule€5.3.€€Responsibilities€Regarding€Nonlawyer€Assistantsó ó€ð"ð€lawyerððs€dutyÏapplicable€with€respect€to€persons€ð ðassociatedðð€with€lawyer,€not€merely€thoseÏemployed€by€the€lawyer.ÌÌà àò òRule€5.4.€€Professional€Independence€of€a€Lawyeró óÌà àà àà0 àà àRules€5.4(a)(4)(5)€and€(6)€ð"ð€new€circumstances€in€which€fee€splitting€with€non„lawyers€is€permitted.ÌÌà àà0 àà àò òRule€5.7.€€Responsibilities€Regarding€Law„Related€Servicesó ó€ð"ð€substantialÏmodification€of€current€lawò ò€ó óconcerning€law„related€services.ÌÌà@ àò òCHAPTER€6ó óÌÌà àà0 àà àò òRule€6.1.€€Pro€Bono€Publico€Representationó ó€ð"ð€lawyerððs€responsibility€to€do€pro€bonoÏservice.ÌÌà@ àò òCHAPTER€7ó óÌÌà àà0 àà àò òRule€7.1.€€Communications€Concerning€a€Lawyerððs€Servicesó óÌà àà àRule€7.1(d)€ð"ð€disclaimer€required€when€advertising€fees.ÌÌà àà0 àà àò òRule€7.3.€€Solicitation€and€Other€Communications€Directed€to€SpecificallyÏIdentified€Recipientsó ó€ð"ð€targeted€e„mail€and€chat„rooms€treated€as€writtenÏcommunication€and,€therefore,€not€prohibited€as€is€in„person€or€telephonicÏsolicitation.ÌÌà àà0 àà àò òRule€7.4.€€Communication€of€Fields€of€Practiceó ó€ð"ð€elimination€of€disclaimers€whenÏlisting€practice€areas.ÌÌà àò òRule€7.5.€€Firm€Names€and€Letterheadsó ó€ð"ð€use€of€law€firm€trade€names€permitted.ÌÌà àà0 àà àò òRule€7.6.€€Intermediary€Organizationsó ó€ð"ð€lawyer€acceptance€of€referrals€or€paymentÏfrom€advertising€cooperatives,€lawyer€referral€services,€prepaid€legal€insuranceÏprograms€and€other€such€intermediary€organizations.ÌÌà@ àò òCHAPTER€8ó óÌÌà àà0 àà àò òRule€8.3.€€Reporting€Professional€Misconductó ó€ð"ð€duty€to€report€lawyer€misconductÏlimited€to€misconduct€that€raises€a€substantial€question€about€the€lawyerððs€honesty,Ïtrustworthiness,€or€fitness€to€practice€law€in€other€respects.ÌÌà àò òRule€8.4.€€Misconductó óÌà àà àà0 àà àRule€8.4(g)€ð"ð€modification€of€the€current€rule€with€respect€to€lawyer€complianceÏwith€court€orders€in€proceedings€in€which€they€are€a€party.€Ìà àà àà0 àà àComment€[2]€ð"ð€prohibition€of€discriminatory€speech€and€conduct€may€beÏprejudicial€to€the€administration€of€justice.€ÌÌÌÌà@ àò òTHE€NEED€FOR€CONTINUED€EVALUATIONÌà@ àOF€LEGAL€ETHICS€IN€TENNESSEEó óÓÓÌà àThrough€its€five€years€of€deliberations€and€its€thorough€examination€of€the€law€and€ethicsÏrules€governing€lawyers€in€Tennessee,€the€Standards€Committee€came€to€the€firm€conviction€thatÏstrong€steps€must€be€taken€by€the€Tennessee€bar€and€bench€to€more€permanently€establish€thisÏprocess€of€evaluation€and€reform€for€the€rules€governing€the€conduct€of€lawyers.Ìà àIn€1970,€along€with€every€other€American€jurisdiction,€Tennessee€stepped€into€the€modernÏera€of€legal€ethics€by€adopting€its€version€of€the€ABA€Model€Code.€€But€then,€for€the€next€thirtyÏyears,€no€thoroughgoing€review€of€legal€ethics€was€successfully€completed,€although€sporadic€andÏisolated€attempts€were€made€along€these€lines.€€During€these€thirty€years,€the€ABA€completed€aÏcomplete€revision€of€the€model€ethics€rules€in€this€country,€and€more€than€40€states€and€jurisdictionsÏhave€now€adopted€versions€of€the€ABA€Model€Rules.€€Though€the€TBAððs€proposal€aims€to€bringÍTennessee€into€this€broad€mainstream,€for€too€long€Tennessee€has€remained€on€a€less€and€lessÏtraveled€byroad€or€ethics€in€this€nation,€leaving€Tennessee€lawyers€and€judges€with€less€guidanceÏthan€they€should€have€had€and€clients€with€less€protection€than€they€have€deserved.Ìà àLest€this€Court€believe€that€the€work€of€the€Standards€Committee,€of€which€the€CommitteeÏand€the€TBA€are€justly€proud,€brings€Tennessee€so€far€current€in€the€developing€law€of€ethics€inÏAmerica€that€prompt€attention€to€this€need€for€continuing€re„evaluation€is€not€needed,€the€TBAÏwould€offer€to€the€Court€the€following€list€of€issues€arising€from€its€work€that€it€has€felt€itÏinappropriate€for€a€variety€of€reasons€to€address€in€this€proposal.€€A€partial€list€of€these€issues€thatÏwill€need€to€be€addressed€by€this€Court€in€the€years€to€come€includes:ÓÓÌÌà àà0 àà àððProposed€Rule€1.10:€€Consider€expressly€addressing€whether€conflicts€of€interest€arisingÏfrom€personal€interest€of€lawyer€should€be€imputed€to€others€in€law€firm€or€office.Ìà àà0 àà àððProposed€Rule€2.4:€€Consider€applicability€of€ethics€rules€to€arbitrators€and€possible€needÏfor€special€rule;€consider€applicability€of€ethics€rules€to€lawyers€representing€partiesÏto€dispute€resolution€proceedings€and€possible€need€for€special€rule.Ìà àà0 àà àððProposed€Rule€5.1:€€Consider€possibility€of€discipline€of€law€firms€for€misconduct€of€itsÏlawyers.Ìà àà0 àà àððProposed€Rule€5.4:€€Within€the€context€of€multi„disciplinary€practice€issues,€considerÏpossibility€of€permitting€fee„sharing€with€non„lawyer€professionals€and€possibilityÏof€ownership€of€interests€in€law€firm€by€non„lawyer€professionals.Ìà àà0 àà àððProposed€Rule€5.5:€€Consider€possible€adoption€of€express€definition€in€ethics€rule€ofÏunauthorized€practice€of€law€or€adoption€of€safe„harbor€ethics€rule€for€lawyersÏlicensed€in€other€states€in€certain€situations;€consider€other€changes€to€facilitate€andÏregulate€multi„jurisdictional€practice.Ìà àà0 àà àððProposed€Rule€5.7:€€Consider€changes€in€rule€in€light€of€changing€models€delivery€of€legalÏservices,€including€emergence€of€multi„disciplinary€professional€service€firms.Ìà àà0 àà àððProposed€Rule€7.1:€€Consider€need€for€amendment€of€advertising€and€communication€rulesÏin€light€of€technological€developments,€including€the€internet€and€the€world€wideÏweb.Ìà àà0 àà àððProposed€Rule€8.5:€€Consider€applicability€of€ethics€rules€to€lawyers€engaged€in€the€multi„jurisdictional€practice€of€law€(for€example,€possible€application€to€lawyer€licensedÏonly€in€Tennessee€of€ethics€rules€of€another€jurisdiction€for€lawyer€conduct€inÏanother€jurisdiction;€possible€pro€hac€vice€procedure€for€transactional€practitioners;Ïchoice€of€applicable€ethics€rules€for€lawyers€licensed€in€multiple€jurisdictions€jointlyÏrepresenting€client).€ÌÌÓÓà àThe€ABA€is,€of€course,€deeply€aware€of€this€long€list€of€issues€pressing€on€the€professionÏand,€for€that€reason,€appointed€in€1997€its€Special€Commission€on€the€Evaluation€of€the€ModelÏRules€of€Professional€Conduct€(also€known€as€the€ð ðEthics€2000"€Commission)€to€perform€aÏthoroughgoing€review€of€the€ABA€Model€Rules€of€Professional€Conduct€and€offer€amendments€toÍthem.€€That€report€should€be€forthcoming€in€late€2000,€but€will€not€likely€be€adopted€by€ABAÏHouse€of€Delegates€until€2001€at€the€earliest,€and€almost€certainly€later.€€The€possible€adoption€ofÏamendments€to€the€ABA€Model€Rules,€and€the€subsequent€reaction€of€other€states€in€determiningÏwhether€to€accept,€reject,€or€modify€any€such€amendments€should€be€a€matter€of€concern€toÏTennessee€and€the€future€of€its€regulation€of€lawyers.€€òòSee€alsoóó€òòinfraóó€at€30„33.€Ìà àThe€mechanism€by€which€this€Court€accomplishes€an€institutionalization€of€this€evaluationÏprocess€is,€of€course,€a€matter€peculiarly€committed€to€the€discretion€of€the€Court,€which€isÏconstitutionally€endowed€with€the€responsibility€for€regulating€the€legal€profession.€€The€work€ofÏthe€Standards€Committee,€however,€has€demonstrated€the€ability€and€commitment€of€the€TBA€toÏcontribute€to€this€ongoing€effort.Ìà àThe€TBA€has€firmly€committed,€as€a€part€of€its€adoption€of€the€Committeeððs€proposal,€to€theÏcreation€and€maintenance€of€a€permanent€Standing€Committee€on€Ethics€and€ProfessionalÏResponsibility,€with€an€appropriate€budget€and€staff€to€carry€on€the€functions€described€above.€€ThisÏTBA€Committee,€now€the€successor€to€the€Standards€Committee,€has€a€diverse€membershipÏappointed€for€three„year€overlapping€terms,€and€with€a€mandate€to€continuously€review€and€proposeÏrevisions€to€the€rules€governing€the€practice€of€law€in€Tennessee.€€The€TBA€stands€ready€to€workÏwith€this€Court,€formally€or€informally,€to€carry€out€such€a€mandate€from€this€Court€through€such€aÏcommittee.Ìà àThe€Court€also€has€other€tools€at€its€disposal€that€may€assist€in€this€necessary€effort.€€OneÏof€the€great€successes€of€the€Court€over€the€last€generation€has€been€the€work€of€the€AdvisoryÏCommission€of€Civil€and€Criminal€Rules€in€continuously€and€conscientiously€updating€the€rules€ofÏprocedure€governing€practice€in€Tennessee€courts€of€record,€in€much€the€same€way€thatÏTennesseeððs€lawyer€ethics€rules€should€be€updated€and€maintained.€€A€possible€solution€to€theÏproblem€identified€by€the€Standards€Committee,€potentially€complementary€to€additional€efforts€byÏthe€TBA,€would€be€the€creation€of€an€adjunct€body€of€the€Court€mandated€to€be€the€guardian€ofÏlawyer€ethics€rules€in€Tennessee.Ìà àRegardless€of€the€precise€solution€crafted€by€the€Court,€perhaps€in€consultation€with€theÏTBA,€this€is€an€effort€that€should€not€be€neglected.ÌÌà@ àò òABA€ETHICS€2000ó óÌà àOne€legitimate€question€that€has€recurred€in€the€last€several€years€and€months€of€theÏStandards€Committeeððs€work€is€whether€the€TBA€should€have,€or€whether€this€Court€should,€delayÏconsideration€of€this€petition€until€the€ABA€Special€Commission€on€the€Evaluation€of€the€ModelÏRules€of€Professional€Conduct€(also€known€as€the€ð ðEthics€2000"€Commission)€completes€itsÏwork.€€The€Standards€Committee€and€the€TBA€have€thoroughly€considered€this€question€and€feelÏstrongly€that€this€petition€should€be€presented€to€this€Court€despite€the€somewhat€parallel€efforts€ofÏthe€ABA€and,€more€importantly,€the€TBA€and€its€Standards€Committee€urge€this€Court€to€moveÏahead€forthwith€to€start€the€process€of€its€consideration€of€the€important€issues€presented€by€thisÏpetition.Ìà àABA€Ethics€2000,€appointed€in€1997€(as€the€Standards€Committee€was€releasing€itsÏPreliminary€Draft),€is€a€thirteen„person€ABA€special€commission€that€has€been€charged€withÏreviewing€the€current€ABA€Model€Rules€and€proposing€possible€amendments€to€them€to€the€ABAÏHouse€of€Delegates.× ƒ? ××  ×€€Tennessee€is€fortunate€in€that€two€members€of€Ethics€2000€are€also€membersÏof€the€Standards€Committee,× ƒ@ ××  ×€and€the€Reporter€for€the€Standards€Committee€has€also€served€as€oneÏof€the€two€Reporters€for€Ethics€2000,× ƒA ××  ×€thus€allowing€Tennessee€the€closest€possible€look€at€theÍwork€product€and€process€of€Ethics€2000.€€Having€worked€at€possible€revisions€to€the€ABA€ModelÏRules€for€more€than€three€years,€Ethics€2000€expects€to€release€its€first€full€report€on€its€proposedÏchanges€to€the€Model€Rules€in€the€fall€of€2000.Ìà àThe€reasons€favoring€this€Courtððs€prompt€commencement€of€its€process€for€considerationÏof€the€TBAððs€proposed€rules,€notwithstanding€the€work€of€Ethics€2000,€are€compelling.€€First,€theÏProposed€Rules€and€Comments€now€offered€to€this€Court€by€the€TBA€include€a€number€of€theÏmost€helpful€efforts€by€the€ABA€to€codify€existing€law€under€the€ABA€Model€Rules.€€òòSee,€e.g.óó,ÏProposed€Rule€1.6(b)(1),€(b)(3),€and€(b)(4)€(confidentiality);€Proposed€Rule€1.7,€Comments€[18]„[20]€(conflicts€in€joint€representation);€Proposed€Rule€3.6€(trial€publicity).€€While€the€StandardsÏCommittee€has€consciously€avoided€adopting€any€portions€of€the€work€of€Ethics€2000€that€wouldÏtake€Tennessee€outside€the€mainstream€of€ethics€rules.€€Ìà àIn€reviewing,€but€only€selectively€adopting,€portions€of€ABA€Ethics€2000's€interim€workÏproduct,€The€Committee€felt€that€it€was€critically€important€to€allow€the€process€of€the€ABA€to€workÏto€produce€final€amendments€to€the€Model€Rules:€€The€ABAððs€many€practice„area„specific€sectionsÏand€entities€are€always€invaluable€sources€of€opinion€in€this€process,€and€it€is€clear€beyond€doubtÏthat€whatever€proposed€amendments€Ethics€2000€issues€will€be€improved€by€debate€at€the€ABA,Ïwhich€has€not€even€seriously€begun.Ìà àMoreover,€even€if€the€ABA€amends€the€ABA€Model€Rules€in€a€particular€way,€it€would€serveÏTennessee€well€to€allow€the€collective€wisdom€of€other€states€to€consider€the€wisdom€and€utility€ofÏthe€amendments€before€committing€to€them.€€In€this€sense,€the€17€years€of€practical€experience€byÏthe€adopting€jurisdictions€with€the€ABA€Model€Rules€since€their€1983€adoption€has€provenÏinvaluable€to€the€Committee€in€making€intelligent€recommendations€to€this€Court.Ìà àSecond,€the€timing€of€the€possible€adoption€of€any€amendments€to€the€Model€RulesÏproposed€by€Ethics€2000€is€uncertain€at€best.€€The€earliest€possible€meeting€of€the€ABA€House€ofÏDelegates€at€which€these€proposed€amendments€might€be€debated€is€August€2001,€and€the€currentÏexpectation€is€that€consideration€of€these€amendments€by€the€House€will€require€at€least€twoÍmeetings€to€accomplish.€€Seasoned€observers€of€the€ABAððs€political€process€believe€that€it€isÏunlikely€for€the€House€to€begin€its€consideration€of€Ethics€2000's€work€until€February€2002.€€Thus,Ïthere€is€reason€to€believe€that€the€promptest€possible€consideration€of€Ethics€2000's€work€would€notÏbe€concluded€until€August€2002.€€Without€intruding€into€the€province€of€this€CourtððsÏdecisionmaking€process,€the€TBA€respectfully€suggests€that€proceedings€on€this€petition€couldÏeasily€proceed€in€such€a€way€that€the€matter€could€be€briefed,€fully€commented€on€by€members€ofÏthe€bench,€bar,€and€public,€and€ripe€for€decision€many€months€before€that€time.Ìà àThird,€Ethics€2000€has€made€abundantly€clear€that€it€will€propose€retaining€the€structure€andÏformat€of€the€ABA€Model€Rules,€and€that€it€will€attempt€in€its€proposed€amendments€to€beÏð ðminimalist,ðð€proposing€changes€only€where€needed€and€avoiding€unnecessary€changes€that€mightÏlead€to€more€non„uniformity€among€the€adopting€jurisdictions.Ìà àFinally,€and€most€persuasive€to€the€Standards€Committee,€while€the€TBA€in€now€wayÏminimizes€the€importance€of€the€work€of€Ethics€2000,€the€TBA€and€its€Standards€Committee€believeÏthat€Tennesseeððs€move€to€the€format,€structure,€and€substance€of€the€ABA€Model€Rules€as€theyÏcurrently€are€adopted€in€44€American€jurisdictions€is€vastly€more€important€and€will€likely€be€moreÏdifficult€for€Tennessee€lawyers,€judges,€and€clients€than€any€possible€future€adoption€of€any€EthicsÏ2000€amendments€after€the€ABA€has€approved€them€and€the€states€have€begun€to€consider€them.ÌÌà@ àò òOFFER€OF€ASSISTANCEó óÌà àThe€TBA€understands€fully€the€complexity€of€the€task€it€has€requested€that€this€CourtÏundertake€in€considering€this€proposal,€and€the€TBA€and€its€Standing€Committee€on€Ethics€andÏProfessional€Responsibility€stand€ready€to€assist€the€Court€in€this€task€in€whatever€ways€the€CourtÏmay€deem€appropriate.€€For€example,€having€drafted€a€set€of€rules€and€comments€that€are€deeplyÏinterrelated€and€complex,€the€Committee€is€willing€and€able€to€provide€the€Court€with€appropriatelyÏdrafted€alternative€formulations€of€particular€rules€should€the€Court€wish€to€consider€them.€€Also,Ïshould€this€Court€feel€that€further€explanatory€materials€or€comparative€information€would€heÍhelpful,€the€Committee€would€be€happy€to€develop€and€provide€them€to€the€Court.ÌÌà@ àò òCONCLUSIONó óÌà àWith€humility€in€the€face€of€the€scope€and€importance€of€the€task€of€reforming€TennesseeððsÏlawyer€ethics€rules,€the€TBA€asks€that€this€Court€consider€and€ultimately€grant€this€petition€in€theÏJeffersonian€spirit€that€understands€that,€while€ð ðfrequent€changes€in€laws€and€Constitutionsðð€areÏnot€to€be€favored,€ð ðlaws€and€institutions€must€go€hand€in€hand€with€the€progress€of€the€humanÏmind.ððÌÇÓÓÔ€5&ÔÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àGAIL€VAUGHN€ASHWORTHÌà àà àà àà àà àà àGeneral€Counsel,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àGideon€&€WisemanÌà àà àà àà àà àà à414€Union€Street,€Suite€1900Ìà àà àà àà àà àà àNashville,€Tennessee€37219„1782Ìà àà àà àà àà àà à(615)€254„0400Ìà àà àà àà àà àà àB.P.R.€No.€10656ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àKATHRYN€REED€EDGEÌà àà àà àà àà àà àPresident,€Tennessee€Bar€AssociationÌà àà àà àà àà àà àMiller€&€Martin€LLP€€€Ìà àà àà àà àà àà à1200€First€Union€Tower€Ìà àà àà àà àà àà à150€Fourth€Avenue,€North€Ìà àà àà àà àà àà àNashville,€Tennessee€37219„2433Ìà àà àà àà àà àà à(615)€244„9270Ìà àà àà àà àà àà àB.P.R.€No.€10428ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àALLAN€F.€RAMSAURÌà àà àà àà àà àà àExecutive€Director,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à3622€West€End€AvenueÌà àà àà àà àà àà àNashville,€Tennessee€37205Ìà àà àà àà àà àà à(615)€383„7421Ìà àà àà àà àà àà àB.P.R.€No.€5764€ÌÌÌÌà àà àà àà àà àà à__________________________________________Ìà àà àà àà àà àà àLUCIAN€T.€PERAÌà àà àà àà àà àà àChair,€Tennessee€Bar€AssociationÌà àà àà àà àà àà à€€€Standing€Committee€on€EthicsÌà àà àà àà àà àà à€€€and€Professional€ResponsibilityÌà àà àà àà àà àà àArmstrong€Allen,€PLLCÌà àà àà àà àà àà àBrinkley€PlazaÌà àà àà àà àà àà à80€Monroe€Avenue,€Suite€700Ìà àà àà àà àà àà àMemphis,€Tennessee€38103„2467Ìà àà àà àà àà àà à(901)€524„4948Ìà àà àà àà àà àà àB.P.R.€No.€11641ÌÌÔ€5XÔÌà@ àòòCERTIFICATE€OF€SERVICEóóÌÌà àThe€undersigned€certifies€that€a€true€and€correct€copy€of€the€foregoing€will€be€served,€withinÏ7€days€of€the€filing€of€this€document,€upon€the€individuals€and€organizations€identified€in€Exhibit€FÏto€the€petition€by€regular€U.S.€Mail,€postage€prepaid.ÌÌÌà àà àà àà àà àà à_________________________________________Ìà àà àà àà àà àà àLUCIAN€T.€PERAÌÌÌÔ€5ÂÔÔ.Tƒ DK:\LTP\Bar\CteReport\TBARPCPet.wpdTÔK:\LTP\Bar\CteReport\TBARPCPet.wpdÔ/  ÔÔ€5XÔ