ÿWPCe W#ÁÒUN“ %á 0(ç^ w#4';J mLbcNk 0Jm 1‡· 0T> 0A’ 0^Ó 0h1 0r™ E 0| 0†‰ 1u 72„ 0¶ 1uF 0d» U> B)] 1q† v~÷ vÓu BH˜HP LaserJet 4050 Series PCL 6ÈÈ,,,,ÈÈ0(ÖÃ9 Z‹6Times New Roman RegularX($¡¡t1-s   F–,MISCEL~1¨¨©3|x›ÿU‹ÿÀÀÀ- ù-2 ÿÿ0Indent1Ô2ÔÔ3  Ô(EhCEKQW]cioAutoList21.1.1.1.1.1.1.1.2" ÿÿ0Indent2à0 àÔ2ÔÔ3  Ô(Vm$˜˜Ìà0  àà ° à2, ÿÿ0Indent3à0 àà0 àÔ2ÔÔ3  Ô26 ÿÿ0Indent4à0 àà0 àà0 àÔ2ÔÔ3  Ô2@ ÿÿ0Indent5à0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2J ÿÿ0Indent6à0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô2T ÿÿ0Indent7à0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô3#37=CIQYag­­1.a.i.(1)(a)(i)1)a)i)2^ ÿÿ0Indent8à0 àà0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô ÿÿ?AGMSYaioIndent0I.A.1.a.(1)(a)i)a)P ÿÿ8Mac DefaultMac DefaultÓ ` °šXÓ< Œ 9p`(&Times New Roman% Line 7 d ÿÿ?AGMSY_ekIndent11.1.1.1.1.1.1.1.PtPtHHØ(ÿáÿâùF(üHHØ(d}@Styl{WP}01•ÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃà Ãà Ãà Ãà Ãà ÃÃÃÃÃÃÃÃÃÃÃÐ ÐÐHHÐÐ  ÐÐ2ÐÐÿÿ¸æ$ÿÐÐHHÐÐÐÐÐÐÐÐ  ÐÐ ÐÐ ÐÑÑÑGenevaÑÑ ÑÑ € ÑÑ<Px–ÈÑÒÒÒ443!#4ÒÒ$ *$ÒÒ$*$ÒÒ ÿKK ÒÒ  Geneva ÒÒ  Geneva ÒÓ.,ÓÓÓÓ6ÓÓ ÓßßßßßßßßßßßßßßßßßßÑGenevaÑÑ ÑÒ  eskto Geneva ÒÒ  eskto Geneva Ò dÝ ƒ!ÝÔ . ÔÔ€$ÔÝ  ÝÓ  ÓÔ€$îÔÔ_ÔÑ€ ÑÑ8€ã8XXdìdÈ8ÑÑ  ÑÔ  ÔÑ  ÑIN€THE€SUPREME€COURT€OF€TENNESSEEÌà@ àAT€NASHVILLEÌÔ€$¼ÔJune€6,€2002€SessionÔ€$XÔÌÓ  ÓÌÓ  Óò òÔ€$¼ÔIN€RE:€€TENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTÔ€$XÔó óÌÓ  ÓÌò òà@ àFiled€September€17,€Ô_Ô2002Ô_ÔÌà@ àßA€V) °°` d€÷E<å ` AßÌÌà@ àNo.€M2000„02416„SC„RL„RLÌÌßA€V) °°` dE<¸` AßÌó óÌÌÓ  Óò òAPPENDIX€TO€THE€ORDER€AMENDING€TENNESSEE€SUPREME€COURT€RULE€8€ÌTO€ADOPT€THE€TENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTó óÌÌÌÓ  Óà àOn€August€27,€2002,€the€Court€filed€an€order€adopting€the€Rules€of€Professional€ConductÏas€Tennessee€Supreme€Court€Rule€8;€the€Rules€were€set€out€in€an€appendix€to€that€order.€€TheÏfollowing€is€the€corrected€appendix€entered€pursuant€to€the€supplemental€order€filed€by€the€CourtÏon€September€17,€2002:ÌÌò òRule€8.à àRules€of€Professional€Conduct.€€ð"ð€ó ó€The€ethical€standards€relating€to€the€practiceÏof€law€and€to€the€administration€of€law€in€the€courts€of€this€State€shall€be€as€hereinafter€set€out.€€ÌÌò òÔ  Ôó óÜÜÛÛà@ àò òPREAMBLE€Ô  Ôó óÌÓ  ÓÌÓ  ÓÔf  Ôà àÔg Ô[1]à àA€lawyer€is€an€expert€in€law€pursuing€a€learned€art€in€service€to€clients€and€in€theÏspirit€of€public€service€and€engaging€in€these€pursuits€as€part€of€a€common€calling€to€promoteÏjustice€and€public€good.€€Essential€characteristics€of€the€lawyer€are€knowleÜÜÜÜÜÜÜÜÜÜdge€of€the€law,€skill€inÏapplying€the€applicable€law€to€the€factual€context,€thoroughness€of€preparation,€practical€andÏprudential€wisdom,€ethical€conduct€and€integrity,€and€dedication€to€justice€and€the€public€good.ÌÌà àÙ*ÙÑ , ÑÑ   ÑÑ  ÑÑ€% §u` ÑÔf  ÔÔg Ô[2]à àA€lawyer€is€a€representative€of€clients,€an€officer€of€the€legal€system,€and€a€publicÏcitizen€having€special€responsibility€for€the€quality€of€justice.ÌÌà àÔf  ÔÔg Ô[3]à àAs€a€representative€of€clients,€a€lawyer€performs€various€functions.€€As€an€advisor,€aÏlawyer€provides€a€client€with€an€informed€understanding€of€the€clientððs€legal€rights€and€obligationsÏand€explains€their€practical€implications.€€As€an€advocate,€a€lawyer€zealously€asserts€the€clientððsÏposition€under€the€rules€of€the€adversary€system.€€As€a€negotiator,€a€lawyer€seeks€a€resultÏadvantageous€to€the€client€but€consistent€with€requirements€of€honest€dealing€with€others.€€As€anÏintermediary€between€clients,€a€lawyer€seeks€to€reconcile€their€divergent€interests€as€an€advisor€and,Ïto€a€limited€extent,€as€a€spokesperson€for€each€client.€€A€lawyer€acts€as€an€evaluator€by€examining€aÏclientððs€legal€affairs€and€reporting€about€them€to€the€client€or€to€others.ÌÌà àÔf  ÔÔg Ô[4]à àIn€all€professional€functions€a€lawyer€should€be€competent,€prompt€and€diligent.€€AÏlawyer€should€maintain€communication€with€a€client€concerning€the€representation.€€A€lawyerÏshould€keep€in€confidence€information€relating€to€representation€of€a€client€except€so€far€asÏdisclosure€is€required€or€permitted€by€the€Rules€of€Professional€Conduct€or€other€law.ÌÌà àÔf  ÔÔg Ô[5]à àA€lawyerððs€conduct€should€conform€to€the€requirements€of€the€law,€both€inÏprofessional€service€to€clients€and€in€the€lawyerððs€business€and€personal€affairs.€€A€lawyer€shouldÍuse€the€lawððs€procedures€only€for€legitimate€purposes€and€not€to€harass€or€intimidate€others.€€AÏlawyer€should€demonstrate€respect€for€the€legal€system€and€for€those€who€serve€it,€including€judges,Ïother€lawyers,€and€public€officials.€€While€it€is€a€lawyerððs€duty,€when€necessary,€to€challenge€theÏrectitude€of€official€action,€it€is€also€a€lawyerððs€duty€to€uphold€legal€process.ÌÌà àÔf  ÔÔg Ô[6]à àAs€a€public€citizen,€a€lawyer€should€seek€improvement€of€the€law,€in€theÏadministration€of€justice,€and€in€the€quality€of€service€rendered€by€the€legal€profession.€€As€aÏmember€of€a€learned€profession,€a€lawyer€should€cultivate€knowledge€of€the€law€beyond€its€use€forÏclients,€employ€that€knowledge€in€reform€of€the€law,€and€work€to€strengthen€legal€education.€€AÏlawyer€should€be€mindful€of€deficiencies€in€the€administration€of€justice€and€of€the€fact€that€theÏpoor,€and€sometimes€persons€who€are€not€poor,€cannot€afford€adequate€legal€assistance;€the€lawyerÏshould€therefore€devote€professional€time€and€civic€influence€in€their€behalf.€€A€lawyer€should€alsoÏaid€the€legal€profession€in€pursuing€these€objectives€and€should€help€the€bar€regulate€itself€in€theÏpublic€interest.ÌÌà àÔf  ÔÔg Ô[7]à àMany€of€a€lawyerððs€professional€responsibilities€are€prescribed€in€the€Rules€ofÏProfessional€Conduct,€as€well€as€in€substantive€and€procedural€law.€€However,€a€lawyer€is€alsoÏguided€by€personal€conscience€and€the€approbation€of€professional€peers.€€A€lawyer€should€strive€toÏattain€the€highest€level€of€skill,€to€improve€the€law€and€the€legal€profession,€and€to€exemplify€theÏlegal€professionððs€ideals€of€public€service.ÌÌà àÔf  ÔÔg Ô[8]à àA€lawyerððs€responsibilities€as€a€representative€of€clients,€an€officer€of€the€legalÏsystem,€and€a€public€citizen€are€usually€harmonious.€€Thus,€when€an€opposing€party€is€wellÏrepresented,€a€lawyer€can€be€a€zealous€advocate€on€behalf€of€a€client€and€at€the€same€time€assumeÏthat€justice€is€being€done.€€So€also,€a€lawyer€can€be€sure€that€preserving€client€confidences€ordinarilyÏserves€the€public€interest€because€people€are€more€likely€to€seek€legal€advice,€and€thereby€heed€theirÏlegal€obligations,€when€they€know€their€communications€will€be€private.ÌÌà àÔf  ÔÔg Ô[9]à àIn€the€nature€of€law€practice,€however,€conflicting€responsibilities€are€encountered.€ÏVirtually€all€difficult€ethical€problems€arise€from€conflict€between€a€lawyerððs€responsibilities€toÏclients,€to€the€legal€system,€and€to€the€lawyerððs€own€interest€in€remaining€an€upright€person€whileÏearning€a€satisfactory€living.€€The€Rules€of€Professional€Conduct€prescribe€terms€for€resolving€suchÏconflicts.€€Within€the€framework€of€these€Rules€many€difficult€issues€of€professional€discretion€canÏarise.€€Such€issues€must€be€resolved€through€the€exercise€of€sensitive€professional€and€moralÏjudgment€guided€by€the€basic€principles€underlying€the€Rules.ÌÌâ &ââ &âà àÔf  ÔÔg Ô[10]à àThe€legal€profession€is€largely€self„governing.€€Although€other€professions€alsoÏhave€been€granted€powers€of€self„government,€the€legal€profession€is€unique€in€this€respect€becauseÏof€the€close€relationship€between€the€profession€and€the€processes€of€government€and€lawÏenforcement.€€This€connection€is€manifested€in€the€fact€that€ultimate€authority€over€the€legalÏprofession€is€vested€largely€in€the€courts.ÌÌà àÔf  ÔÔg Ô[11]à àTo€the€extent€that€lawyers€meet€the€obligations€of€their€professional€calling,€theÏoccasion€for€government€regulation€is€obviated.€€Self„regulation€also€helps€maintain€the€legalÏprofessionððs€independence€from€government€domination.€€An€independent€legal€profession€is€anÏimportant€force€in€preserving€government€under€law,€for€abuse€of€legal€authority€is€more€readilyÏchallenged€by€a€profession€whose€members€are€not€dependent€on€government€for€the€right€toÏpractice.ÌÌà àÔf  ÔÔg Ô[12]à àThe€legal€professionððs€relative€autonomy€carries€with€it€special€responsibilities€ofÏself„government.€€The€profession€has€a€responsibility€to€assure€that€its€regulations€are€conceived€inÍthe€public€interest€and€not€in€furtherance€of€parochial€or€self„interested€concerns€of€the€bar.€€EveryÏlawyer€is€responsible€for€observing€the€Rules€of€Professional€Conduct.€€A€lawyer€should€also€aid€inÏsecuring€their€observance€by€other€lawyers.€€Neglect€of€these€responsibilities€compromises€theÏindependence€of€the€profession€and€the€public€interest€that€it€serves.ÌÌà àÔf  ÔÔg Ô[13]à àLawyers€play€a€vital€role€in€the€preservation€of€society.€€The€fulfillment€of€this€roleÏrequires€an€understanding€by€lawyers€of€their€relationship€to€our€legal€system.€€The€Rules€ofÏProfessional€Conduct,€when€properly€applied,€serve€to€define€that€relationship.ÌÌà@ àò òÔ  ÔSCOPEÔ  Ô€ó óÌÌà àÔf  ÔÔg Ô[1]à àThe€Rules€of€Professional€Conduct€are€rules€of€reason.€€They€should€be€interpretedÏwith€reference€to€the€purposes€of€legal€representation€and€of€the€law€itself.€€Some€of€the€Rules€areÏimperatives,€cast€in€the€terms€ð ðshallðð€or€ð ðshall€not.ðð€€These€Rules€define€proper€conduct€forÏpurposes€of€professional€discipline.€€Others,€generally€cast€in€the€term€ð ðmay,ðð€are€permissive€andÏdefine€areas€under€the€Rules€in€which€the€lawyer€has€professional€discretion.€€No€disciplinaryÏaction€should€be€taken€when€the€lawyer€chooses€not€to€act€or€acts€within€the€bounds€of€suchÏdiscretion.€€Other€Rules€define€the€nature€of€relationships€between€the€lawyer€and€others.€€TheÏRules€are€thus€partly€obligatory€and€disciplinary€and€partly€constitutive€and€descriptive€in€that€theyÏdefine€a€lawyerððs€professional€role.€€Many€of€the€Comments€use€the€term€ð ðshould.ðð€€CommentsÏdo€not€add€obligations€to€the€Rules,€but€provide€either€additional€guidance€for€practicing€inÏcompliance€with€the€Rules€or€make€suggestions€about€good€practice,€which€lawyers€would€be€well„advised€to€heed€even€though€the€Rules€do€not€require€them€to€do€so.ÌÌà àÔf  ÔÔg Ô[2]à àThe€Rules€presuppose€a€larger€legal€context€shaping€the€lawyerððs€role.€€That€contextÏincludes€court€rules€and€statutes€relating€to€matters€of€licensure,€laws€defining€specific€obligationsÏof€lawyers,€and€substantive€and€procedural€law€in€general.€€Compliance€with€the€Rules,€as€with€allÏlaw€in€an€open€society,€depends€primarily€upon€understanding€and€voluntary€compliance,Ïsecondarily€upon€reinforcement€by€peer€and€public€opinion,€and€finally,€when€necessary,€uponÏenforcement€through€disciplinary€proceedings.€€The€Rules€do€not,€however,€exhaust€the€moral€andÏethical€considerations€that€should€inform€a€lawyer,€for€no€worthwhile€human€activity€can€beÏcompletely€defined€by€legal€rules.€€The€Rules€simply€provide€a€framework€for€the€ethical€practice€ofÏlaw.ÌÌà àÔf  ÔÔg Ô[3]à àFurthermore,€for€purposes€of€determining€the€lawyerððs€authority€and€responsibility,Ïprinciples€of€substantive€law€external€to€these€Rules€determine€whether€a€client„lawyer€relationshipÏexists.€€Most€of€the€duties€flowing€from€the€client„lawyer€relationship€attach€only€after€the€client€hasÏrequested€the€lawyer€to€render€legal€services€and€the€lawyer€has€agreed€to€do€so.€€But€there€are€someÏduties,€such€as€that€of€confidentiality€Ô_ÔunderÔ_Ô€Ô_ÔRuleÔ_Ô€1.6,€that€may€attach€when€the€lawyer€agrees€toÏconsider€whether€a€client„lawyer€relationship€shall€be€established.€€Whether€a€client„lawyerÏrelationship€exists€for€any€specific€purpose€can€depend€on€the€circumstances€and€may€be€a€questionÏof€fact.ÌÌà àÔf  ÔÔg Ô[4]à àUnder€various€legal€provisions,€including€constitutional,€statutory,€and€common€law,Ïthe€responsibilities€of€government€lawyers€mayÔf  Ô€Ôg ÔÔf  ÔÔg Ôdiffer€from€those€of€lawyersÔf  ÔÔg Ô€in€private€client„lawyerÏrelationships.€€For€example,Ôf  ÔÔg ÔÔf  ÔÔg Ô€in€certain€circumstances,€the€Attorney€General€of€TennesseeÔf  ÔÔg Ô€haÔf  ÔÔg ÔÔf  ÔÔg ÔsÔf  ÔÔg ÔÏauthority€on€behalf€of€the€government€to€decide€upon€settlement€or€whether€to€appeal€from€anÏadverse€judgment.€€Also,€certain€government€lawyers€under€the€supervision€of€these€officers€may€beÏauthorized€to€represent€several€government€agenciesÔf  ÔÔg Ô,€officers,€or€employeesÔf  ÔÔg Ô€inÔf  ÔÔg Ô€legal€controversies€inÏcircumstances€where€a€private€lawyer€could€not€represent€multiple€private€clients.€€GovernmentÏlawyers€in€Tennessee€are€also€subject€to€the€Open€Meetings€Act€as€interpreted€by€the€TennesseeÍcourts.€Ôf  ÔÔg Ô€Further,€they€may€have€authority€to€represent€the€ð ðpublic€interestðð€in€circumstances€whereÏa€private€lawyer€would€not€be€authorized€to€do€so.€€These€Rules€do€not€abrogate€the€powers€andÏresponsibilities€of€government€lawyers€as€set€forth€under€federal€law€or€under€the€Constitution,Ïstatutes,€or€common€law€of€Tennessee.€€The€resolution€of€any€conflict€between€these€Rules€and€theÏresponsibilities€or€authority€of€government€lawyers€under€any€such€legal€provisions€is€a€question€ofÏlaw€beyond€the€scope€of€these€Rules.ÌÌà àÔf  ÔÔg Ô[5]à àFailure€to€comply€with€an€obligation€or€prohibition€imposed€by€a€Rule€is€a€basis€forÏinvoking€the€disciplinary€process.€€The€Rules€presuppose€that€disciplinary€assessment€of€a€lawyerððsÏconduct€will€be€made€on€the€basis€of€the€facts€and€circumstances€as€they€existed€at€the€time€of€theÏconduct€in€question€and€in€recognition€of€the€fact€that€a€lawyer€often€has€to€act€upon€uncertain€orÏincomplete€evidence€of€the€situation.€€Moreover,€the€Rules€presuppose€that€whether€or€not€disciplineÏshould€be€imposed€for€a€violation,€and€the€severity€of€a€sanction,€depend€on€all€the€circumstances,Ïsuch€as€the€willfulness€and€seriousness€of€the€violation,€the€presence€of€extenuating€factors,€andÏwhether€there€have€been€previous€violations.ÌÌà àÔf  ÔÔg Ô[6]à àViolation€of€a€Rule€should€not€give€rise€to€a€cause€of€action,€nor€should€it€create€anyÏpresumption€that€a€legal€duty€has€been€breached.€€The€Rules€are€designed€to€provide€guidance€toÏlawyers€and€to€provide€a€structure€for€regulating€conduct€through€disciplinary€agencies.€€They€areÏnot€designed€to€be€a€basis€for€civil€liability.€€Furthermore,€the€purpose€of€the€Rules€can€be€subvertedÏwhen€they€are€invoked€by€opposing€parties€as€procedural€weapons.€€The€fact€that€a€Rule€is€a€justÏbasis€for€a€lawyerððs€self„assessment€or€for€sanctioning€a€lawyer€under€the€administration€of€aÏdisciplinary€authority€does€not€imply€that€an€antagonist€in€a€collateral€proceeding€or€transaction€hasÏstanding€to€seek€enforcement€of€the€Rule.€€Accordingly,€nothing€in€the€Rules€should€be€deemed€toÏaugment€any€substantive€legal€duty€of€lawyers€or€the€extra„disciplinary€consequences€of€violatingÏsuch€a€duty.ÌÌà àÔf  ÔÔg Ô[7]à àMoreover,€these€Rules€are€not€intended€to€govern€or€affect€judicial€application€ofÏeither€the€attorney„client€or€work€product€privilege.€€Those€privileges€were€developed€to€promoteÏcompliance€with€law€and€fairness€in€litigation.€€In€reliance€on€the€attorney„client€privilege,€clients€areÏentitled€to€expect€that€communications€within€the€scope€of€the€privilege€will€be€protected€againstÏcompelled€disclosure.€€The€attorney„client€privilege€is€that€of€the€client€and€not€of€the€lawyer.€€TheÏfact€that€in€exceptional€situations€the€lawyer€under€the€Rules€has€a€limited€discretion€to€disclose€aÏclient€confidence€does€not€vitiate€the€proposition€that,€as€a€general€matter,€the€client€has€a€reasonableÏexpectation€that€information€relating€to€the€client€will€not€be€voluntarily€disclosed€and€thatÏdisclosure€of€such€information€may€be€judicially€compelled€only€in€accordance€with€recognizedÏexceptions€to€the€attorney„client€and€work€product€privileges.ÌÌà àÔf  ÔÔg Ô[8]à àThe€lawyerððs€exercise€of€discretion€not€to€disclose€information€when€permitted€to€doÏso€Ô_ÔbyÔ_Ô€Ô_ÔRuleÔ_Ô€1.6€should€not€be€subject€to€reexamination.€€Permitting€such€reexamination€would€beÏincompatible€with€the€general€policy€of€promoting€compliance€with€law€through€assurances€thatÏcommunications€will€be€protected€against€disclosure.ÌÌà à[9]à àThe€Comment€accompanying€each€Rule€explains€and€illustrates€the€meaning€andÏpurpose€of€the€Rule.€€The€Preamble€and€this€note€on€Scope€provide€general€orientation.€€TheÏComments€are€intended€either€as€guides€to€interpretation€or€as€suggestions€of€good€practice,€but€theÏtext€of€each€Rule€is€Ô_Ôauthoritative.ÌÔ_ÔÔ_ÔÌÔ_ÔÔ_Ôà à[10]à àStandard€Citation€Format:€€Citations€to€each€Rule€of€Professional€ConductÏ(ð ðRPCðð)€shall€be€in€the€following€format:€Tenn.€Sup.€Ct.€R.€8,€RPC€òò€€€€€€óó.Ô_ÔÇà@ àò òANALYSISó óÌÌChapter€1.€€The€Client„Lawyer€RelationshipÌà àÔ_ÔRuleÔ_Ô€1.0€ð"ð€DefinitionsÌà àÔ_ÔRuleÔf  ÔÔg ÔÔ_Ô€1.1€ð"ð€CompetenceÔf  ÔÔg ÔÌà àÔ_ÔRuleÔ_Ô€1.2€ð"ð€Scope€of€the€Representation€and€the€Allocation€of€Authority€Between€theÏLawyer€à0 àà0 àand€ClientÌà àÔ_ÔRuleÔ_Ô€1.3€ð"ð€DiligenceÌà àÔ_ÔRuleÔ_Ô€1.4€ð"ð€CommunicationÌà àÔ_ÔRuleÔ_Ô€1.5€ð"ð€FeesÌà àÔ_ÔRuleÔ_Ô€1.6€ð"ð€ConfidentialityÌà àÔ_ÔRuleÔ_Ô€1.7€ð"ð€Conflict€of€Interest:€General€RuleÌà àÔ_ÔRuleÔ_Ô€1.8€ð"ð€Conflict€of€Interest:€Prohibited€TransactionsÌà àÔ_ÔRuleÔ_Ô€1.9€ð"ð€Conflict€of€Interest:€Former€ClientÌÔf  Ôà àÔ_ÔRuleÔ_Ô€1.10€ð"ð€Imputed€Disqualification:€General€RuleÌÔf  ÔÔg Ôà àÔ_ÔRuleÔ_Ô€1.11€ð"ð€Successive€Government€and€Private€EmploymentÌà àÔ_ÔRuleÔ_Ô€1.12€ð"ð€Former€Judge€or€ArbitratorÌà àÔ_ÔRuleÔ_Ô€1.13€ð"ð€Organizational€ClientsÌà àÔ_ÔRuleÔ_Ô€1.14€ð"ð€Client€Under€a€DisabilityÌà0 àÔ_ÔRuleÔ_Ô€1.15€ð"ð€Safekeeping€PropertyÌà0 àÔ_ÔRuleÔ_Ô€1.16€ð"ð€Declining€and€Terminating€RepresentationÌà àÔ_ÔRuleÔ_Ô€1.17€ð"ð€Sale€of€a€Law€PracticeÌÌChapter€2.€€The€Lawyer€as€Counselor,€Intermediary,€and€Dispute€Resolution€NeutralÌà àÔ_ÔRuleÔ_Ô€2.1€ð"ð€AdvisorÌà àÔ_ÔRuleÔ_Ô€2.2€ð"ð€Lawyer€Serving€as€an€Intermediary€Between€ClientsÌà àÔ_ÔRuleÔ_Ô€2.3€ð"ð€Evaluation€for€Use€by€Third€PersonsÌà àÔ_ÔRuleÔ_Ô€2.4€ð"ð€Lawyer€as€a€Dispute€Resolution€NeutralÌÔf  ÔÌChapter€3.€€AdvocateÌà àÔ_ÔRuleÔ_Ô€3.1€ð"ð€Meritorious€Claims€and€ContentionsÌà àÔ_ÔRuleÔ_Ô€3.2€ð"ð€Expediting€LitigationÌà àÔ_ÔRuleÔ_Ô€3.3€ð"ð€Candor€Toward€the€TribunalÌà àÔ_ÔRuleÔ_Ô€3.4€ð"ð€Fairness€to€the€Opposing€Party€and€CounselÌà àÔ_ÔRuleÔ_Ô€3.5€ð"ð€Impartiality€and€Decorum€of€the€TribunalÌà àÔ_ÔRuleÔ_Ô€3.6€ð"ð€Trial€PublicityÌà àÔ_ÔRuleÔ_Ô€3.7€ð"ð€Lawyer€as€a€WitnessÌà àÔ_ÔRuleÔ_Ô€3.8€ð"ð€Special€Responsibilities€of€a€ProsecutorÌà àÔ_ÔRuleÔ_Ô€3.9€ð"ð€Advocate€in€Non„Adjudicative€ProceedingsÌÌChapter€4.€€Transactions€With€Persons€Other€Than€ClientsÌà àÔ_ÔRuleÔ_Ô€4.1€ð"ð€Truthfulness€and€Candor€in€Statements€to€OthersÌà àÔ_ÔRuleÔ_Ô€4.2€ð"ð€Communication€With€a€Person€Represented€by€CounselÌà àÔ_ÔRuleÔ_Ô€4.3€ð"ð€Dealing€with€an€Unrepresented€PersonÌà àÔ_ÔRuleÔ_Ô€4.4€ð"ð€Respect€for€the€Rights€of€Third€PersonsÌÌChapter€5.€€Law€Firms,€Legal€Departments,€and€Legal€Service€OrganizationsÌà àÔ_ÔRuleÔ_Ô€5.1€ð"ð€Responsibilities€of€a€Partner,€Managing€Lawyer,€or€Supervisory€LawyerÌà àÔ_ÔRuleÔ_Ô€5.2€ð"ð€Responsibilities€of€a€Subordinate€LawyerÌà àÔ_ÔRuleÔ_Ô€5.3€ð"ð€Responsibilities€Regarding€Nonlawyer€AssistantsÌà àÔ_ÔRuleÔ_Ô€5.4€ð"ð€Professional€Independence€of€a€LawyerÌà àÔ_ÔRuleÔ_Ô€5.5€ð"ð€Unauthorized€Practice€of€LawÌà àÔ_ÔRuleÔ_Ô€5.6€ð"ð€Restrictions€on€the€Right€to€PracticeÌà àÔ_ÔRuleÔ_Ô€5.7€ð"ð€Responsibilities€Regarding€Law„Related€ServicesÌÌChapter€6.€€Public€ServiceÌà àÔ_ÔRuleÔ_Ô€6.1€ð"ð€Pro€Bono€Publico€RepresentationÌà àÔ_ÔRuleÔ_Ô€6.2€ð"ð€Accepting€Court€AppointmentsÌà àÔ_ÔRuleÔ_Ô€6.3€ð"ð€Membership€in€Legal€Services€OrganizationÌà àÔ_ÔRuleÔ_Ô€6.4€ð"ð€Law€Reform€Activities€Affecting€Client€InterestsÌÌChapter€7.€€Information€About€Legal€ServicesÌà àÔ_ÔRuleÔ_Ô€7.1€ð"ð€Communications€Concerning€a€Lawyerððs€ServicesÌÔf  ÔÔg Ôà àÔ_ÔRuleÔ_Ô€7.2€ð"ð€Advertising€and€Other€Communications€Not€Directed€to€Specifically€IdentifiedÏà0 àà0 àRecipientsÔg ÔÌà àÔ_ÔRuleÔ_Ô€7.3€ð"ð€Solicitation€and€Other€Communications€Directed€to€Specifically€IdentifiedÏà0 àà0 àRecipientsÌà àÔ_ÔRuleÔ_Ô€7.4€ð"ð€Communication€of€Fields€of€PracticeÌà àÔ_ÔRuleÔ_Ô€7.5€ð"ð€Firm€Names€and€LetterheadsÌà àÔ_ÔRuleÔ_Ô€7.6€ð"ð€Intermediary€OrganizationsÌÌChapter€8.€€Maintaining€the€Integrity€of€the€ProfessionÌà àÔ_ÔRuleÔ_Ô€8.1€ð"ð€Bar€Admission€and€Disciplinary€MattersÌà àÔ_ÔRuleÔ_Ô€8.2€ð"ð€Judicial€and€Legal€OfficialsÌà àÔ_ÔRuleÔ_Ô€8.3€ð"ð€Reporting€Professional€MisconductÌà àÔ_ÔRuleÔ_Ô€8.4€ð"ð€MisconductÌà àÔ_ÔRuleÔ_Ô€8.5€ð"ð€Disciplinary€Authority;€Choice€of€LawÌÌTransition€Rules€Governing€the€Implementation€of€the€Tennessee€Rules€of€Professional€ConductÇò òÔ  Ôó óà@ àò òCHAPTER€1Ìó óà@ àò òTHE€CLIENT„LAWYER€RELATIONSHIPÌÌó óà@ àò òRule€1.0Ìà@ àDEFINITIONSó óÌÔ  ÔÌ(a)à àð ðBeliefðð€or€ð ðBelievesðð€denotes€that€the€person€involved€actually€supposed€the€fact€inÏquestion€to€be€true.€€A€personððs€belief€may€be€inferred€from€circumstances.ÌÌ(b)à àð ðConsents€in€Writingðð€or€ð ðWritten€Consentðð€denotes€either€(Ô_ÔiÔ_Ô)€a€written€consent€executedÏby€a€client,€or€(ii)€oral€consent€given€by€a€client€which€the€lawyer€confirms€in€writing€in€a€mannerÏwhich€can€be€easily€understood€by€the€client€and€which€is€promptly€transmitted€to€the€clientÔf  ÔÔg Ô€byÏmeans€reasonably€calculated€to€reach€the€clientÔf  ÔÔg Ô.Ì€Ì(c)à àð ðConsultðð€or€ð ðConsultationðð€denotes€communication€of€information€reasonably€sufficientÏto€permit€the€client€to€appreciate€the€significance€of€the€matter€in€question.ÌÌ(d)à àð ðFirmðð€or€ð ðLaw€Firmðð€denotes€a€lawyer€or€lawyers€in€a€private€firm,€lawyers€employed€inÏthe€legal€department€of€a€corporation,€government€agency,€or€other€organization€and€lawyersÏemployed€in€a€legal€services€organization.€€òòSee€alsoóó€Comment€[1]€of€Ô_ÔRPCÔ_Ô€1.10.Ì€Ì(e)à àð ðFraudðð€or€ð ðFraudulentðð€denotes€an€intentionally€false€or€misleading€statement€ofÏmaterial€fact,€an€intentional€omission€from€a€statement€of€fact€of€such€additional€information€asÏwould€be€necessary€to€make€the€statements€made€not€materially€misleading,€and€such€other€conductÏby€a€person€intended€to€deceive€a€person€or€tribunal€with€respect€to€a€material€issue€in€a€proceedingÏor€other€matter.ÌÌ(f)à àð ðKnowingly,ðð€ð ðKnown,ðð€or€ð ðKnowsðð€denotes€actual€awareness€of€the€fact€in€question.€ÏA€personððs€knowledge€may€be€inferred€from€circumstances.Ì€Ì(g)à àð ðMaterialðð€or€ð ðMateriallyðð€denotes€something€that€a€reasonable€person€would€considerÏimportant€in€assessing€or€determining€how€to€act€in€a€matter.€€ÌÌ(h)à àð ðPartnerðð€denotes€a€partner€in€a€law€firm€organized€as€a€partnership€or€professional€limitedÏliability€partnership,€a€shareholder€in€a€law€firm€organized€as€a€professional€corporation,€a€memberÏin€a€law€firm€organized€as€a€professional€limited€liability€company,€or€Ôg Ôa€sole€practitioner€whoÏemploys€other€lawyers€or€nonlawyers€in€connection€with€his€or€her€practice.ÌÌ(Ô_ÔiÔ_Ô)à àð ðReasonable,ðð€ð ðReasonably,ðð€or€ð ðReasonablenessðð€when€used€in€relation€to€conduct€byÏa€lawyer€denotes€the€conduct€of€a€reasonably€prudent€and€competent€lawyer.Ì€Ì(j)à àð ðReasonable€Beliefðððð€or€ð ðReasonably€Believesðð€when€used€in€reference€to€a€lawyerÏdenotes€that€the€lawyer€believes€the€matter€in€question€and€that€the€circumstances€are€such€that€theÏbelief€is€reasonable.Ì€Ì(k)à àð ðReasonably€Should€Knowðð€when€used€in€reference€to€a€lawyer€denotes€that€a€lawyer€ofÏreasonable€prudence€and€competence€would€ascertain€the€matter€in€question.Ì€Ì(òòlóó)à àð ðSubstantialðð€or€ð ðSubstantiallyðð€denotes€something€that€is€not€only€material€but€also€ofÏclear€and€weighty€importance.Ì€Ì(m)à àð ðTribunalðð€denotes€a€court€or€other€adjudicative€body.ÌÌ(n)à àð ðUnreasonablyðð€when€used€in€relation€to€conduct€by€a€lawyer€denotes€conduct€contrary€toÏthat€of€a€reasonably€prudent€and€competent€lawyer.ÌÌà@ àò òCOMMENTó óÌÌà àIn€circumstances€in€which€these€rules€require€either€consent€in€writing€or€written€consent,Ïthe€requirement€may€be€satisfied€by€an€electronic€transmissionÔf  Ô€Ôg ÔÔf  ÔÔg Ôthat€is€reasonably€calculated€to€reachÏthe€client,€provided€thatÔf  ÔÔg Ô€the€transmission€can€be€reduced€to€writing€or€permanently€retained€inÏelectronic€format.Çà@ àò òRule€1.1Ìó óà@ àò òCOMPETENCEó óÌÌA€lawyer€shall€provide€competent€representation€to€a€client.€€Competent€representation€requires€theÏlegal€knowledge,€skill,€thoroughness,€and€preparation€reasonably€necessary€for€the€representation.ÌÌà@ àò òCOMMENTSó óÌò òÌó óà@ àò òLegal€Knowledge€and€Skilló óÌÌà à[1]à àIn€determining€whether€a€lawyer€employs€the€requisite€knowledge€and€skill€in€aÏparticular€matter,€relevant€factors€include€the€relative€complexity€and€specialized€nature€of€the€matter,Ïthe€lawyerððs€general€experience,€the€lawyerððs€training€and€experience€in€the€field€in€question,€theÏpreparation€and€study€the€lawyer€is€able€to€give€the€matter,€and€whether€it€is€feasible€to€refer€theÏmatter€to,€or€associate€or€consult€with,€a€lawyer€of€established€competence€in€the€field€in€question.€ÏIn€many€instances,€the€required€proficiency€is€that€of€a€general€practitioner.€€Expertise€in€a€particularÏfield€of€law€may€be€required€in€some€circumstances.ÌÌà à[2]à àA€lawyer€need€not€necessarily€have€special€training€or€prior€experience€to€handleÏlegal€problems€of€a€type€with€which€the€lawyer€is€unfamiliar.€€A€newly€admitted€lawyer€can€be€asÏcompetent€as€a€practitioner€with€long€experience.€€Some€important€legal€skills,€such€as€the€analysisÏof€precedent,€the€evaluation€of€evidence,€and€legal€drafting,€are€required€in€all€legal€problems.€ÏPerhaps€the€most€fundamental€legal€skill€consists€of€determining€what€kind€of€legal€problems€aÏsituation€may€involve,€a€skill€that€necessarily€transcends€any€particular€specialized€knowledge.€€AÏlawyer€can€provide€adequate€representation€in€a€wholly€novel€field€through€necessary€study.€ÏCompetent€representation€can€also€be€provided€through€the€association€of€a€lawyer€of€establishedÏcompetence€in€the€field€in€question.ÌÌà à[3]Ôf  Ôà àIn€a€situation€in€which€a€client€is€threatened€with€imminent€and€irreparable€harm,Ôf  ÔÔg Ô€aÏlawyer€may€give€advice€or€assistance€in€a€matter€in€which€the€lawyer€does€not€have€the€skillÏordinarily€required€where€referral€to,€or€consultation€or€association€with,€another€lawyer€would€beÏimpractical.€€Even€inÔf  ÔÔg ÔÔf  ÔÔg Ô€such€a€situationÔf  ÔÔg Ô,€however,€assistance€should€be€limited€to€that€reasonablyÏnecessary€in€the€circumstances,€for€ill„considered€action€Ôf  ÔÔg Ôcan€jeopardize€the€clientððs€interest.ÌÌà à[4]à àA€lawyer€may€accept€representation€where€the€requisite€level€of€competence€can€beÏachieved€by€reasonable€preparation.€€This€principle€applies€as€well€to€a€lawyer€who€is€appointed€asÏcounsel€for€an€unrepresented€person.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€6.2.ÌÌà@ àò òThoroughness€and€Preparationó óÌÌà à[5]à àCompetent€handling€of€a€particular€matter€includes€inquiry€into€and€analysis€of€theÏfactual€and€legal€elements€of€the€problem,€and€the€use€of€methods€and€procedures€meeting€theÏstandards€of€competent€practitioners.€€It€also€includes€adequate€preparation.€€The€required€attentionÏand€preparation€are€determined€in€part€by€what€is€at€stake;€major€litigation€and€complex€transactionsÏordinarily€require€more€elaborate€treatment€than€matters€of€lesser€consequence.ÌÌà@ àò òMaintaining€Competenceó óÌÌà à[6]à àTo€maintain€the€requisite€knowledge€and€skill,€a€lawyer€should€engage€in€regularÏcontinuing€study€and€education€that€is€pertinent€to€the€lawyerððs€practice€and€should€conscientiouslyÏsatisfy€all€requirements€for€continuing€legal€education€in€all€jurisdictions€in€which€the€lawyer€isÍlicensed€to€practice€law.€€If€a€system€of€peer€review€has€been€established,€the€lawyer€should€considerÏmaking€use€of€it€in€appropriate€circumstances.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌÌó óð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)ÇÔ  ÔÔf  ÔÔg Ôà@ àò òRule€1.2€Ìà@ àSCOPE€OF€THE€REPRESENTATION€AND€THE€ALLOCATION€OF€Ìó óà@ àò òAUTHORITY€BETWEEN€THE€LAWYER€AND€CLIENTÌó óÔ  ÔÌ(a)à àSubject€to€paragraphs€(c)€and€(d),€a€lawyer€shall€abide€by€a€clientððs€decisions€concerning€theÏobjectives€of€the€representation€and€may€take€such€action€on€behalf€of€the€client€as€is€impliedlyÏauthorized€to€carry€out€the€representation.€€A€lawyer€shall€abide€by€a€clientððs€decision€whether€toÏsettle€a€matter.€€In€a€criminal€case,€the€lawyer€shall€abide€by€the€clientððs€decision€as€to€a€plea€to€beÏentered,€whether€to€waive€jury€trial,€and€whether€the€client€will€testify.ÌÌ(b)à àA€lawyerððs€representation€of€a€client,€including€representation€by€appointment,€does€notÏconstitute€an€endorsement€of€the€clientððs€political,€economic,€social,€or€moral€views€or€activities.€ÌÌ(c)à àA€lawyer€may€limit€the€scope€of€a€clientððs€representation€if€the€limitation€is€reasonable€underÏthe€circumstances€and€the€client€gives€consent,€preferably€in€writing,€after€consultation.€ÌÌ(d)à àA€lawyer€shall€not€counsel€a€client€to€engage,€or€assist€a€client,€in€conduct€that€the€lawyerÏknows€or€reasonably€should€know€is€criminal€or€fraudulent,€but€a€lawyer€may€discuss€the€legalÏconsequences€of€any€proposed€course€of€conduct€with€a€client€and€may€counsel€or€assist€a€client€toÏmake€a€good€faith€effort€to€determine€the€validity,€scope,€meaning,€or€application€of€the€law.ÌÌà@ àò òCOMMENTSó óÌÌà@ àò òAllocation€of€Authority€Between€Client€and€LawyerÌÌó óà à[1]à àBoth€lawyer€and€client€have€authority€and€responsibility€in€the€objectives€and€meansÏof€the€representation.€€The€client€has€ultimate€authority€to€determine€the€purposes€to€be€served€byÏlegal€representation,€within€the€limits€imposed€by€law€and€the€lawyerððs€professional€obligations.€ÏAlso,€the€decisions€specified€in€paragraph€(a),€such€as€whether€to€settle€a€civil€matter,€must€be€madeÏby€the€client.€€Other€decisions€may€be€made€by€the€lawyer€pursuant€to€the€lawyerððs€impliedÏauthority€to€take€action€necessary€to€carry€out€the€representation,€subject€to€the€lawyerððs€duty€toÏkeep€the€client€reasonably€informed€about€the€status€of€the€representation.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.4.òò€€óóA€clearÏdistinction€between€objectives€and€means€sometimes€cannot€be€drawn,€and€in€many€cases€the€client„lawyer€relationship€partakes€of€a€joint€undertaking.€€In€questions€of€means,€for€example,€the€lawyerÏnormally€will€assume€responsibility€for€technical€and€legal€tactical€issues,€but€the€lawyer€usually€willÏdefer€to€the€client€regarding€such€questions€as€the€expense€to€be€incurred€and€concern€for€thirdÏpersons€who€might€be€adversely€affected.€€Law€defining€the€lawyerððs€scope€of€authority€in€litigationÏvaries€among€jurisdictions.€€òòÌÌóóà à[2]à àParagraph€(a)€recognizes€that€clients€normally€defer€to€the€special€knowledge€andÏskill€of€their€lawyer.€€At€the€same€time,€a€lawyer€is€not€required€to€pursue€objectives€or€employÏmeans€simply€because€a€client€may€instruct€the€lawyer€do€so.€€Although€a€lawyer,€as€an€agent,Ïnormally€must€abide€by€the€clientððs€instructions€with€respect€to€the€representation,€a€lawyer€mayÏalways€refuse€to€engage€in€conduct€that€the€lawyer€reasonably€believes€to€be€unlawful€or€prohibitedÏby€the€Rules€of€Professional€Conduct€and€may€take€action€that€the€lawyer€reasonably€believes€to€beÏrequired€by€law€or€the€Rules€of€Professional€Conduct.€€Also,€if€a€lawyer€has€a€fundamentalÏdisagreement€with€the€client€about€the€clientððs€objectives€or€the€means€to€be€used€to€accomplishÏthem,€the€lawyer€may€withdraw€from€the€representation.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.16.ÌÌà à[3]à àCommunication€between€the€lawyer€and€the€client€is€necessary€for€the€client€toÏeffectively€participate€in€decisions€relating€to€clientððs€representation.€€The€lawyer€must,€therefore,Íkeep€the€client€reasonably€informed€about€the€lawyerððs€actions€on€behalf€of€the€client.€€òòSeeóó€Ô_ÔRPCÔ_ÔÏ1.4.€ÌÌà à[4]à àAt€the€outset€of€a€representation,€the€client€may€authorize€the€lawyer€to€take€action€onÏthe€clientððs€behalf€without€further€consultation.€€Ordinarily,€a€lawyer€may€rely€on€such€an€advanceÏauthorization.€€The€client€may,€however,€revoke€such€authority€at€any€time,€and€a€lawyer€may€notÏrely€on€an€advance€authorization€if€there€has€been€such€a€material€change€in€the€circumstancesÏknown€to€the€lawyer€that€the€clientððs€prior€authorization€can€no€longer€be€regarded€as€an€adequatelyÏinformed€decision.€ÌÌà à[5]à àIn€a€case€in€which€the€client€appears€to€have€a€mental€disability,€the€lawyerððs€duty€toÏabide€by€the€clientððs€decisions€is€to€be€guided€by€reference€to€Ô_ÔRuleÔ_Ô€1.14.ÌÌà@ àò òIndependence€From€Clientððs€Views€or€ActivitiesÌÌó óà à[6]à àLegal€representation€should€not€be€denied€to€people€who€are€unable€to€afford€legalÏservices,€or€whose€cause€is€controversial€or€the€subject€of€popular€disapproval.€€By€the€same€token,Ïrepresenting€a€client€does€not€constitute€approval€of€the€clientððs€views€or€activities.ÌÌà@ àò òAgreements€Limiting€the€Scope€of€the€RepresentationÌÌó óà à[7]à àThe€scope€of€services€to€be€provided€by€a€lawyer€may€be€limited€by€agreement€withÏthe€client€or€by€the€terms€under€which€the€lawyerððs€services€are€made€available€to€the€client.€€WhenÏa€lawyer€has€been€retained€by€an€insurer€to€represent€an€insured,€for€example,€the€representationÏmay€be€limited€to€matters€related€to€the€insurance€coverage.€€A€limited€representation€may€beÏappropriate€because€the€client€has€limited€objectives€for€the€representation.€€In€addition,€the€termsÏupon€which€representation€is€undertaken€may€exclude€specific€means€that€might€otherwise€be€usedÏto€accomplish€the€clientððs€objectives.€€Such€limitations€may€exclude€actions€that€the€client€thinks€areÏtoo€costly€or€that€the€lawyer€regards€as€repugnant€or€imprudent.Ì€Ìà à[8]à àAlthough€this€Rule€affords€the€lawyer€and€client€substantial€latitude€to€limit€theÏrepresentation,€the€limitation€must€be€reasonable€under€the€circumstances.€€If,€for€example,€a€clientððsÏobjective€is€limited€to€securing€general€information€about€the€law€the€client€needs€in€order€to€handleÏa€common€and€typically€uncomplicated€legal€problem,€the€lawyer€and€client€may€agree€that€theÏlawyerððs€services€will€be€limited€to€a€brief€telephone€consultation.€€Such€a€limitation,€however,Ïwould€not€be€reasonable€if€the€time€allotted€was€not€sufficient€to€yield€advice€upon€which€the€clientÏcould€rely.€€Although€an€agreement€for€a€limited€representation€does€not€exempt€a€lawyer€from€theÏduty€to€provide€competent€representation,€the€limitation€is€a€factor€to€be€considered€whenÏdetermining€the€legal€knowledge,€skill,€thoroughness,€and€preparation€reasonably€necessary€for€theÏrepresentation.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.1.ÌÌà à[9]à àOther€agreements€concerning€a€lawyerððs€representation€of€a€client€must€accord€withÏthe€Rules€of€Professional€Conduct€and€other€law.€€òòSee,€e.g.óó,€Ô_ÔRPCsÔ_Ô€1.1,€1.8,€and€5.6.ÌÌà@ àò òCriminal,€Fraudulent,€and€Prohibited€Transactions€ÌÌó óà à[10]à àParagraph€(d)€prohibits€a€lawyer€from€counseling€or€assisting€a€client€to€engage€inÏconduct€that€the€lawyer€knows€or€reasonably€should€know€is€criminal€or€fraudulent.€€ThisÏprohibition,€however,€does€not€preclude€the€lawyer€from€giving€an€honest€opinion€about€the€actualÏconsequences€that€appear€likely€to€result€from€a€clientððs€conduct.€€Nor€does€the€fact€that€a€clientÏuses€advice€in€a€course€of€action€that€is€criminal€or€fraudulent€of€itself€make€a€lawyer€a€party€to€theÍcourse€of€action.€€There€is€a€critical€distinction€between€presenting€an€analysis€of€legal€aspects€ofÏquestionable€conduct€and€recommending€the€means€by€which€a€crime€or€fraud€might€be€committedÏwith€impunity.ÌÌà à[11]à àWhen€the€clientððs€course€of€action€has€already€begun€and€is€continuing,€theÏlawyerððs€responsibility€is€especially€delicate.€€The€lawyer€may€be€permitted,€but€is€not€required,€byÏÔ_ÔRuleÔ_Ô€1.6€to€reveal€the€clientððs€wrongdoing.€€In€any€case,€however,€the€lawyer€is€required€to€avoidÏfurthering€the€purpose,€for€example,€by€suggesting€how€it€might€be€concealed.€€A€lawyer€may€notÏcontinue€assisting€a€client€in€conduct€that€the€lawyer€originally€supposed€was€legally€proper€butÏthen€discovers€is€criminal€or€fraudulent.€€The€lawyer€must,€therefore,€withdraw€from€theÏrepresentation€of€the€client€in€the€matter.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.16(a).€€ÌÌà à[12]à àWhere€the€client€is€a€fiduciary,€the€lawyer€may€be€charged€with€special€obligations€inÏdealings€with€a€beneficiary.ÌÌà à[13]à àParagraph€(d)€applies€whether€or€not€the€defrauded€party€is€a€party€to€theÏtransaction.€€Hence,€a€lawyer€must€not€participate€in€a€sham€transaction;€for€example,€a€transactionÏto€effectuate€criminal€or€fraudulent€escape€of€tax€liability.€€Paragraph€(d)€does€not€precludeÏundertaking€a€criminal€defense€incident€to€a€general€retainer€for€legal€services€to€a€lawful€enterprise.€ÏThe€last€clause€of€paragraph€(d)€recognizes€that€determining€the€validity€or€interpretation€of€a€statuteÏor€regulation€may€require€a€course€of€action€involving€disobedience€of€the€statute€or€regulation€or€ofÏthe€interpretation€placed€upon€it€by€governmental€authorities.Ì€Ìà à[14]à àIf€a€lawyer€comes€to€know€or€reasonably€should€know€that€a€client€expectsÏassistance€not€permitted€by€the€Rules€of€Professional€Conduct€or€other€law,€or€if€the€lawyer€intendsÏto€act€contrary€to€the€clientððs€instructions,€the€lawyer€must€consult€with€the€client€regarding€theÏlimitations€on€the€lawyerððs€conduct.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.4.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðFraudulentðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)Ìð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Should€Knowðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(k)ò òÇÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€1.3Ìó óà@ àò òDILIGENCEÔ  Ôó óÌò òÌó óA€lawyer€shall€act€with€reasonable€diligence€and€promptness€in€representing€a€client.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àA€lawyer€should€pursue€a€matter€on€behalf€of€a€client€despite€opposition,Ïobstruction,€or€personal€inconvenience€to€the€lawyer€and€may€take€whatever€lawful€and€ethicalÏmeasures€are€required€to€vindicate€a€clientððs€cause€or€endeavor.€€A€lawyer€should€act€withÏcommitment€and€dedication€to€the€interests€of€the€client€and€with€zeal€in€advocacy€upon€the€clientððsÏbehalf.€€However,€a€lawyer€is€not€bound€to€press€for€every€advantage€that€might€be€realized€for€aÏclient.€€Unless€instructed€by€a€client€to€the€contrary,€a€lawyer€has€professional€discretion€inÏdetermining€the€means€by€which€a€matter€should€be€pursued,€and€the€lawyer€is€not€required€to€abideÏby€unreasonable€client€instructions.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.2.€€A€lawyerððs€work€load€should€be€controlled€soÏthat€each€matter€can€be€handled€adequately.ÌÌà à[2]à àPerhaps€no€professional€shortcoming€is€more€widely€resented€than€procrastination.€ÏA€clientððs€interests€often€can€be€adversely€affected€by€the€passage€of€time€or€the€change€ofÏconditions;€in€extreme€instances,€as€when€a€lawyer€overlooks€a€statute€of€limitations,€the€clientððsÏlegal€position€may€be€destroyed.€€Even€when€the€clientððs€interests€are€not€affected€in€substance,Ïhowever,€unreasonable€delay€can€cause€a€client€needless€anxiety€and€undermine€confidence€in€theÏlawyerððs€trustworthiness.ÌÌà à[3]à àUnless€the€relationship€is€terminated€as€provided€in€Ô_ÔRuleÔ_Ô€1.16,€a€lawyer€should€carryÏthrough€to€conclusion€all€matters€undertaken€for€a€client.€€If€a€lawyerððs€employment€is€limited€to€aÏspecific€matter,€the€relationship€terminates€when€the€matter€has€been€resolved.€€If€a€lawyer€hasÏserved€a€client€over€a€substantial€period€in€a€variety€of€matters,€the€client€sometimes€may€assume€thatÏthe€lawyer€will€continue€to€serve€on€a€continuing€basis€unless€the€lawyer€gives€notice€of€withdrawal.€ÏDoubt€about€whether€a€client„lawyer€relationship€still€exists€should€be€clarified€by€the€lawyer,Ïpreferably€in€writing,€so€that€the€client€will€not€mistakenly€suppose€the€lawyer€is€looking€after€theÏclientððs€affairs€when€the€lawyer€has€ceased€to€do€so.€€For€example,€if€a€lawyer€has€handled€a€judicialÏor€administrative€proceeding€that€produced€a€result€adverse€to€the€client€but€has€not€been€specificallyÏinstructed€concerning€pursuit€of€an€appeal,€the€lawyer€should€advise€the€client€of€the€possibility€ofÏappeal€before€relinquishing€responsibility€for€the€matter.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)ÇÔ  Ôà@ àò òRule€1.4€Ìó óà@ àò òCOMMUNICATIONó óÌÔ  ÔÌ(a)à àA€lawyer€shall€keep€a€client€reasonably€informed€about€the€status€of€a€matter€and€complyÏwith€reasonable€requests€for€information€within€a€reasonable€time.ÌÌ(b)à àA€lawyer€shall€explain€a€matter€to€the€extent€reasonably€necessary€to€permit€the€client€toÏmake€informed€decisions€regarding€the€representation.Ìò òÌó óà@ àò òCOMMENTSó óÌÌà@ àò òKeeping€the€Client€Reasonably€Informedó óÌÌà à[1]à àReasonable€communication€between€the€lawyer€and€the€client€is€necessary€for€theÏclient€to€effectively€participate€in€the€representation.€€When€a€decision€about€the€representation€mustÏbe€made€by€the€client,€the€lawyer€must€consult€with€and€secure€the€clientððs€consent€prior€to€takingÏaction.€€Thus,€a€lawyer€who€receives€from€opposing€counsel€an€offer€of€settlement€in€a€civilÏcontroversy€or€a€proffered€plea€bargain€in€a€criminal€case€should€promptly€inform€the€client€of€itsÏsubstance,€unless€prior€discussions€with€the€client€have€left€it€clear€that€the€proposal€would€beÏunacceptable.€€With€respect€to€the€decisions€for€which€the€clientððs€prior€consent€is€not€required€byÏÔ_ÔRuleÔ_Ô€1.2,€the€lawyerððs€responsibility€is€to€keep€the€client€reasonably€informed.€€In€someÏsituationsð"ðdepending€on€both€the€importance€of€the€action€under€consideration€and€the€feasibilityÏof€consulting€with€the€clientð"ðthis€duty€will€require€consultation€prior€to€taking€the€action.€€In€otherÏcircumstances,€such€as€during€a€trial€when€an€immediate€decision€must€be€made,€practical€exigencyÏmay€also€require€a€lawyer€to€act€for€a€client€without€prior€consultation.€€In€such€cases,€and€in€otherÏsituations€in€which€the€client€has€impliedly€or€expressly€delegated€authority€to€the€lawyer€to€takeÏaction€without€prior€consultation,€the€lawyer€must€nonetheless€act€reasonably€to€keep€the€clientÏinformed€of€actions€the€lawyer€has€taken€on€the€clientððs€behalf.ÌòòÌóóà@ àò òExplaining€Mattersó óÌÌà à[2]à àThe€client€should€have€sufficient€information€to€participate€intelligently€in€decisionsÏconcerning€the€objectives€of€the€representation€and€the€means€by€which€they€are€to€be€pursued,€toÏthe€extent€the€client€is€willing€and€able€to€do€so.€€For€example,€a€lawyer€negotiating€on€behalf€of€aÏclient€should€provide€the€client€with€facts€relevant€to€the€matter,€inform€the€client€of€communicationsÏfrom€another€party,€and€take€other€reasonable€steps€that€permit€the€client€to€make€a€decisionÏregarding€a€serious€offer€from€another€party.€ÌÌà à[3]à àOrdinarily,€the€information€to€be€provided€is€that€appropriate€for€a€client€who€is€aÏcomprehending€and€responsible€adult.€€However,€fully€informing€the€client€according€to€thisÏstandard€may€be€impracticable,€for€example,€where€the€client€is€a€child€or€has€a€mental€disability.€ÏòòSeeóó€Ô_ÔRPCÔ_Ô€1.14.€€When€the€client€is€an€organization€or€group,€it€is€often€impossible€or€inappropriateÏto€inform€every€one€of€its€members€about€its€legal€affairs,€and€ordinarily,€the€lawyer€should€addressÏcommunications€to€the€appropriate€officials€of€the€organization.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.13.€€Where€manyÏroutine€matters€are€involved,€a€system€of€limited€or€occasional€reporting€may€be€arranged€with€theÏclient.€€Practical€exigency€may€also€require€a€lawyer€to€act€for€a€client€without€prior€consultation.ÌÌà@ àò òWithholding€Informationó óÌÌà à[4]à àIn€some€circumstances,€a€lawyer€may€be€justified€in€delaying€transmission€ofÏinformation€when€the€client€would€be€likely€to€react€imprudently€to€an€immediate€communication.€ÍThus,€a€lawyer€might€withhold€a€psychiatric€diagnosis€of€a€client€when€the€examining€psychiatristÏindicates€that€disclosure€would€harm€the€client.€€A€lawyer€may€not€withhold€information€to€serve€theÏlawyerððs€own€interest€or€convenience.€€Rules€or€court€orders€governing€litigation€may€provide€thatÏinformation€supplied€to€a€lawyer€may€not€be€disclosed€to€the€client.€€Ô_ÔRuleÔ_Ô€3.4(c)€directs€complianceÏwith€such€rules€or€orders.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌÌó óð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)ò òÇÔ  Ôó óà@ àò òRule€1.5Ìó óà@ àò òFEESÌÔ  ÔÌó ó(a)à àA€lawyerððs€fee€and€charges€forÔf  Ô€Ôg ÔÔf  ÔÔg ÔexpensesÔf  ÔÔg Ô€shall€be€reasonable.€€The€factors€to€be€consideredÏin€determining€the€reasonableness€of€a€fee€include€the€following:ÌÌà0 à(1)à àthe€time€and€labor€required,€the€novelty€and€difficulty€of€the€questions€involved,€andÏthe€skill€requisite€to€perform€the€legal€service€properly;ÌÌà0 à(2)à àthe€likelihood,€if€apparent€to€the€client,€that€the€acceptance€of€the€particularÏemployment€will€preclude€other€employment€by€the€lawyer;ÌÌà à(3)à àthe€fee€customarily€charged€in€the€locality€for€similar€legal€services;ÌÌà à(4)à àthe€amount€involved€and€the€results€obtained;ÌÌà à(5)à àthe€time€limitations€imposed€by€the€client€or€by€the€circumstances;ÌÌà à(6)à àthe€nature€and€length€of€the€professional€relationship€with€the€client;ÌÌà0 à(7)à àthe€experience,€reputation,€and€ability€of€the€lawyer€or€lawyers€performing€theÏservices;Ì€Ìà à(8)à àwhether€the€fee€is€fixed€or€contingent;ÌÌà0 à(9)à àprior€advertisements€or€statements€by€the€lawyer€with€respect€to€the€fees€the€lawyerÏcharges;€andÌ€Ìà à(10)à àwhether€the€fee€agreement€is€in€writing.€ÌÌ(b)à àWhen€the€lawyer€has€not€regularly€represented€the€client,€the€basis€or€rate€of€the€fee€shall€beÏcommunicated€to€the€client,€preferably€in€writing,€before€or€within€a€reasonable€time€afterÏcommencing€the€representation.ÌÌ(c)à àA€fee€may€be€contingent€on€the€outcome€of€the€matter€for€which€the€service€is€rendered,Ïexcept€in€a€matter€in€which€a€contingent€fee€is€prohibited€by€paragraph€(d)€or€other€law.€€AÏcontingent€fee€agreement€shall€be€in€writing,€signed€by€the€client,€and€shall€state€the€method€byÏwhich€the€fee€is€to€be€determined,€including€the€percentage€or€percentages€that€shall€accrue€to€theÏlawyer€in€the€event€of€litigation,€settlement,€trial,€or€appeal;€other€expenses€to€be€deducted€from€theÏrecovery;€and€whether€such€expenses€are€to€be€deducted€before€or€after€the€contingent€fee€isÏcalculated.€€Upon€conclusion€of€a€contingent€fee€matter,€the€lawyer€shall€provide€the€client€with€aÏwritten€statement€stating€the€outcome€of€the€matter€and€whether€there€was€a€recovery,€and€showingÏthe€remittance,€if€any,€to€the€client€and€the€method€of€its€determination.ÌÌ(d)à àA€lawyer€shall€not€enter€into€an€arrangement€for,€charge,€or€collect:Ìà0 àÌà0 à(1)à àany€fee€in€a€domestic€relations€matter,€the€payment€or€amount€of€which€is€contingentÏupon€the€securing€of€a€divorce€or€the€award€of€custodial€rights,€or€upon€the€amount€ofÏalimony€or€support,€or€the€value€of€a€property€division€or€settlement,€unless€the€matterÏrelates€solely€to€the€collection€of€arrearages€in€alimony€or€child€support€or€the€enforcementÏof€an€order€dividing€the€marital€estate€and€the€fee€arrangement€is€disclosed€to€the€court;€or€ÌÌà0 à(2)à àa€contingent€fee€for€representing€a€defendant€in€a€criminal€case.ÌÌ(e)à àA€division€of€a€fee€between€lawyers€who€are€not€in€the€same€firm€may€be€made€only€if:Ìà0 àÌà0 à(1)à àthe€division€is€in€proportion€to€the€services€performed€by€each€lawyer€or,€by€writtenÏconsent€of€the€client,€each€lawyer€assumes€joint€responsibility€for€the€representation;€andÌà0 àÌà0 à(2)à àthe€client€is€advised€of€and€does€not€object€to€the€participation€of€all€the€lawyersÏinvolved;€andÌ€Ìà à(3)à àthe€total€fee€is€reasonable.ÌÌÓ  Óò òCOMMENTSÌÓ  ÓÌó óà@ àò òBasis€or€Rate€of€Feeó óÌÌà à[1]à àWhen€the€lawyer€has€regularly€represented€a€client,€there€ordinarily€will€have€evolvedÏan€understanding€concerning€the€basis€or€rate€of€the€fee.€€In€a€new€client„lawyer€relationship,Ïhowever,€an€understanding€as€to€the€fee€should€be€promptly€established.€€It€is€not€necessary€to€reciteÏall€the€factors€that€underlie€the€basis€of€the€fee,€but€only€those€that€are€directly€involved€in€itsÏcomputation.€€It€is€sufficient,€for€example,€to€state€that€the€basic€rate€is€an€hourly€charge€or€a€fixedÏamount€or€an€estimated€amount,€or€to€identify€the€factors€that€may€be€taken€into€account€in€finallyÏfixing€the€fee.€€When€developments€occur€during€the€representation€that€render€an€earlier€estimateÏsubstantially€inaccurate,€a€revised€estimate€should€be€provided€to€the€client.€€A€written€statementÏconcerning€the€fee€reduces€the€possibility€of€misunderstanding.€€Furnishing€the€client€with€a€simpleÏmemorandum€or€a€copy€of€the€lawyerððs€customary€fee€schedule€is€sufficient€if€the€basis€or€rate€ofÏthe€fee€is€set€forth.ÌÌà@ àò òTerms€of€Paymentó óÌÌà à[2]à àA€lawyer€may€require€advance€payment€of€a€fee,€but€he€or€she€is€obliged€to€returnÏany€unearned€portion.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.16(d).€€A€lawyer€may€accept€property€in€payment€for€services,Ïsuch€as€an€ownership€interest€in€an€enterprise,€providing€this€does€not€involve€acquisition€of€aÏproprietary€interest€in€the€cause€of€action€or€subject€matter€of€the€litigation€contrary€to€Ô_ÔRuleÔ_Ô€1.8(j).€ÏHowever,€a€fee€paid€in€property€instead€of€money€may€be€subject€to€special€scrutiny€because€itÏinvolves€questions€concerning€both€the€value€of€the€services€and€the€lawyerððs€special€knowledge€ofÏthe€value€of€the€property.€€If€the€property€belongs€to€the€client,€the€lawyer€will€also€have€to€complyÏwith€the€requirements€of€Ô_ÔRuleÔ_Ô€1.8(a).ÌÌà à[3]à àAn€agreement€may€not€be€made€whose€terms€might€induce€the€lawyer€improperly€toÏcurtail€services€for€the€client€or€perform€them€in€a€way€contrary€to€the€clientððs€interest.€€ForÏexample,€a€lawyer€should€not€enter€into€an€agreement€whereby€services€are€to€be€provided€only€upÏto€a€stated€amount€when€it€is€foreseeable€that€more€extensive€services€probably€will€be€required,Ïunless€the€situation€is€adequately€explained€to€the€client.€€Otherwise,€the€client€might€have€to€bargainÏfor€further€assistance€in€the€midst€of€a€proceeding€or€transaction.€€However,€it€is€proper€to€define€theÏextent€of€services€in€light€of€the€clientððs€ability€to€pay.€€A€lawyer€should€not€exploit€a€feeÏarrangement€based€primarily€on€hourly€charges€by€using€wasteful€procedures.€€When€there€is€doubtÏwhether€a€contingent€fee€is€consistent€with€the€clientððs€best€interest,€the€lawyer€should€offer€theÏclient€alternative€bases€for€the€fee€and€explain€their€implications.€€Applicable€law€may€imposeÏlimitations€on€contingent€fees,€such€as€a€ceiling€on€the€percentage.ÌÌà à[4]à àIn€some€circumstances,€other€law€may€regulate€the€fees€and€expenses€charged€byÏlawyers.€€For€example,€Tennessee€law€regulates€contingent€fees€in€medical€malpractice€cases.€€òòSeeóóÏTenn.€Code€Ann.€ðð€29„26„120€(1980).€€In€these€circumstances,€charging€unlawful€fees€or€expensesÏmay€be€considered€unreasonable€under€section€(a)€of€this€Rules€and€may€violate€Ô_ÔRuleÔ_Ô€8.4€or€otherÏrules.€€òòSeeóó€Ô_ÔRPCÔ_Ô€8.4(d)€(prohibiting€conduct€prejudicial€to€the€administration€of€justice).ÌÌà@ àò òDivision€of€Feeó óÌÌà à[5]à àA€division€of€fee€is€a€single€billing€to€a€client€covering€the€fee€of€two€or€moreÏlawyers€who€are€not€in€the€same€firm.€€A€division€of€fee€facilitates€association€of€more€than€oneÏlawyer€in€a€matter€in€which€neither€alone€could€serve€the€client€as€well,€and€most€often€is€used€whenÏthe€fee€is€contingent€and€the€division€is€between€a€referring€lawyer€and€a€trial€specialist.€€ParagraphÏ(e)€permits€the€lawyers€to€divide€a€fee€on€either€the€basis€of€the€proportion€of€services€they€render€orÏby€agreement€between€the€participating€lawyers€if€all€assume€responsibility€for€the€representation€asÏa€whole€and€the€client€is€advised€and€does€not€object.€€It€does€not€require€disclosure€to€the€client€ofÏthe€share€that€each€lawyer€is€to€receive.€€Joint€responsibility€for€the€representation€entails€theÏobligations€stated€in€Ô_ÔRuleÔ_Ô€5.1€for€purposes€of€the€matter€involved.ÌÌà@ àò òDisputes€Over€Feesó óÌÌà à[6]à àIf€a€procedure€has€been€established€for€resolution€of€fee€disputes,€such€as€anÏarbitration€or€mediation€procedure€established€by€the€bar,€the€lawyer€should€conscientiouslyÏconsider€submitting€to€it.€€Law€may€prescribe€a€procedure€for€determining€a€lawyerððs€fee,€forÏexample,€in€representation€of€an€executor€or€administrator,€a€class€or€a€person€entitled€to€aÏreasonable€fee€as€part€of€the€measure€of€damages.€€The€lawyer€entitled€to€such€a€fee€and€a€lawyerÏrepresenting€another€party€concerned€with€the€fee€should€comply€with€the€prescribed€procedure.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðReasonableðð€and€ð ðReasonablenessðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)ò òÇÔ  Ôà@ àRule€1.6Ìó óà@ àò òCONFIDENTIALITYÔ  ÔÌ€ó óÌ(a)à àExcept€as€provided€below,€a€lawyer€shall€not€reveal€information€relating€to€representation€ofÏa€client€unless€the€client€consents€after€consultation,€except€that€the€lawyer€may€make€suchÏdisclosures€as€are€impliedly€authorized€by€the€client€in€order€for€the€lawyer€to€carry€out€theÏrepresentation.Ì€Ì(b)à àA€lawyer€may€reveal€information€relating€to€the€representation€of€a€client€to€the€extent€theÏlawyer€reasonably€believes€disclosure€is€necessary:ÌÌà0 à(1)à àto€prevent€the€client€or€another€person€from€committing€a€crime,€including€a€crimeÏthat€is€reasonably€certain€to€result€in€substantial€injury€to€the€financial€interest€or€property€ofÏanother,€unless€disclosure€is€prohibited€or€restricted€by€Ô_ÔRuleÔ_Ô€3.3;ÌÌà0 à(2)à àto€secure€legal€advice€about€the€lawyerððs€compliance€with€these€Rules;€orÌÌà0 à(3)à àto€establish€a€claim€or€defense€on€behalf€of€the€lawyer€in€a€controversy€between€theÏlawyer€and€the€client,€to€establish€a€defense€to€a€criminal€charge€or€civil€claim€against€theÏlawyer€based€upon€conduct€in€which€the€client€was€involved,€or€to€respond€to€allegations€inÏany€proceeding€concerning€the€lawyerððs€representation€of€the€client.ÌÌ(c)à àA€lawyer€shall€reveal€information€relating€to€the€representation€of€a€client€to€the€extent€theÏlawyer€reasonably€believes€disclosure€is€necessary:ÌÌà0 à(1)à àto€prevent€reasonably€certain€death€or€substantial€bodily€harm;ÌÌ€à0 à(2)à àto€comply€with€an€order€of€a€tribunal€requiring€disclosure,€but€only€if€ordered€to€doÏso€by€the€tribunal€after€the€lawyer€has€asserted€on€behalf€of€the€client€all€non„frivolousÏclaims€that€the€information€sought€by€the€tribunal€is€protected€against€disclosure€by€theÏattorney„client€privilege€or€other€applicable€law;€orÌÌà à(3)à àto€comply€with€Ô_ÔRulesÔ_Ô€3.3,€4.1,€or€other€law.ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àThis€Rule€governs€the€disclosure€by€a€lawyer€of€information€relating€to€theÏrepresentation€of€a€client€during€the€lawyerððs€representation€of€the€client.€€With€respect€to€the€use€ofÏsuch€information€to€the€disadvantage€of€the€client,€see€Ô_ÔRuleÔ_Ô€1.8(b).€€With€respect€to€disclosure€andÏadverse€use€of€information€relating€to€the€representation€of€a€former€client,€see€Ô_ÔRuleÔ_Ô€1.9(c).ÌÌà à[2]à àThe€observance€of€the€ethical€obligation€of€a€lawyer€to€hold€inviolate€confidentialÏinformation€of€the€client€not€only€facilitates€the€full€development€of€facts€essential€to€properÏrepresentation€of€the€client,€but€it€also€encourages€people€to€seek€early€legal€assistance.ÌÌà à[3]à àAlmost€without€exception,€clients€come€to€lawyers€in€order€to€determine€what€theirÏrights€are€and€what€is,€in€the€maze€of€laws€and€regulations,€deemed€to€be€legal€and€correct.€€TheÏcommon€law€recognizes€that€the€clientððs€confidences€must€be€protected€from€disclosure.€€BasedÏupon€experience,€lawyers€know€that€almost€all€clients€follow€the€advice€given,€and€the€law€is€upheld.ÌÌà à[4]à àA€fundamental€principle€in€the€client„lawyer€relationship€is€that€the€lawyer€maintainÏconfidentiality€of€information€relating€to€the€representation.€€This€contributes€to€the€trust€that€is€theÏhallmark€of€the€client„lawyer€relationship.€€The€client€is€thereby€encouraged€to€communicate€fullyÏand€frankly€with€the€lawyer€even€as€to€embarrassing€or€legally€damaging€subject€matter.ÌÌà à[5]à àThe€principle€of€lawyer„client€confidentiality€is€given€effect€by€related€bodies€of€law,Ïincluding€the€attorney„client€privilege,€the€work„product€doctrine,€and€the€rule€of€confidentialityÏestablished€in€professional€ethics.€€The€attorney„client€privilege€applies€in€judicial€and€otherÏproceedings€in€which€a€lawyer€may€be€called€as€a€witness€or€otherwise€required€to€produce€evidenceÏconcerning€a€client.€€The€rule€of€client„lawyer€confidentiality€applies€in€situations€other€than€thoseÏwhere€evidence€is€sought€from€the€lawyer€through€compulsion€of€law.€€The€confidentiality€rule,€forÏexample,€applies€not€only€to€matters€communicated€in€confidence€by€the€client,€but€also€to€allÏinformation€relating€to€the€representation,€whatever€its€source.€€A€lawyer€may€not€disclose€suchÏinformation€except€as€authorized€or€as€required€by€the€Rules€of€Professional€Conduct€or€other€law.€ÏòòSee€alsoóó€Scope€Comment€[7].€ÌÌà à[6]à àThe€requirement€of€maintaining€confidentiality€of€information€relating€toÏrepresentation€applies€to€government€lawyers€who€may€disagree€with€the€policy€goals€that€theirÏrepresentation€is€designed€to€advance.ÌÌà à[7]à àParagraph€(a)€prohibits€a€lawyer€from€revealing€information€relating€to€theÏrepresentation€of€a€client.€€This€prohibition€also€applies€to€disclosures€by€a€lawyer€that€do€not€inÏthemselves€reveal€protected€information€but€could€reasonably€lead€to€the€discovery€of€suchÏinformation€by€a€third€person.€€A€lawyerððs€use€of€hypotheticals€to€discuss€issues€relating€to€theÏrepresentation€is€permissible€so€long€as€there€is€no€reasonable€likelihood€that€the€listener€will€beÏable€to€ascertain€the€identity€of€the€client€or€the€situation€involved.ÌÌà@ àò òAuthorized€DisclosureÌó óÌà à[8]à àA€lawyer€is€impliedly€authorized€to€make€disclosures€about€a€client€whenÏappropriate€in€carrying€out€the€representation,€except€to€the€extent€that€the€clientððs€instructions€orÏspecial€circumstances€limit€that€authority.€€In€litigation,€for€example,€a€lawyer€may€discloseÏinformation€by€admitting€a€fact€that€cannot€properly€be€disputed,€or€in€negotiation€by€making€aÏdisclosure€that€facilitates€a€satisfactory€conclusion.ÌÌà à[9]à àLawyers€in€a€firm€may,€in€the€course€of€the€firmððs€practice,€disclose€to€each€otherÏinformation€relating€to€a€client€of€the€firm,€unless€the€client€has€instructed€that€particular€informationÏbe€confined€to€specified€lawyers.ÌÌà@ àò òDisclosure€Adverse€to€Clientó óÌÌà à[10]à àAlthough€the€public€interest€is€usually€best€served€by€a€strict€rule€requiring€lawyersÏto€preserve€the€confidentiality€of€information€relating€to€the€representation€of€their€clients,€theÏconfidentiality€rule€is€subject€to€limited€exceptions.€€For€example,€paragraph€(b)(1)€enables€theÏlawyer€to€reveal€information€to€the€extent€necessary€to€prevent€the€client€from€committing€a€crime.€ÏThe€client€can,€of€course,€prevent€such€disclosure€by€refraining€from€the€wrongful€conduct.€ÏAlthough€Paragraph€(b)(1)€does€not€require€that€the€lawyer€reveal€the€clientððs€misconduct,€theÏlawyer€may€not€in€any€way€counsel€the€client€to€engage,€or€assist€the€client,€in€conduct€that€theÏlawyer€knows€is€criminal€or€fraudulent.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.2(d);€òòsee€alsoóó€Ô_ÔRPCÔ_Ô€1.16€(respecting€theÏlawyerððs€obligation€or€right€to€withdraw€from€the€representation€of€the€client€in€suchÏcircumstances).€€Where€the€client€is€an€organization,€the€lawyer€may€be€in€doubt€whetherÍcontemplated€conduct€will€actually€be€carried€out€by€the€organizationððs€constituents.€€WhereÏnecessary€to€guide€conduct€in€connection€with€this€Rule,€the€lawyer€may€make€inquiry€within€theÏorganization€as€indicated€in€Ô_ÔRuleÔ_Ô€1.13(b).€€Ô_ÔRuleÔ_Ô€3.3,€rather€than€paragraph€(b)(1)€of€this€RuleÏgoverns€disclosure€of€a€clientððs€intention€to€commit€perjury€or€other€crimes€in€connection€with€anÏadjudicative€proceeding.€€ÌÌà à[11]à àIn€addition,€paragraph€(b)(2)€states€that€a€lawyerððs€confidentiality€obligations€do€notÏpreclude€a€lawyer€from€securing€legal€advice€about€the€lawyerððs€personal€responsibility€to€complyÏwith€these€Rules.€€In€most€situations,€disclosing€information€to€secure€such€advice€will€be€impliedlyÏauthorized€for€the€lawyer€to€carry€out€the€representation.€€Even€when€the€disclosure€is€not€impliedlyÏauthorized,€paragraph€(b)(2)€permits€such€disclosure€because€of€the€importance€of€a€lawyerððsÏcompliance€with€the€Rules€of€Professional€Conduct.€€For€the€protection€of€the€client,€suchÏdisclosures€may€be€made€only€if€they€will€be€protected€by€the€attorney„client€privilege.ÌÌà à[12]à àWhere€a€legal€claim€or€disciplinary€charge€alleges€complicity€of€the€lawyer€in€aÏclientððs€conduct€or€other€misconduct€of€the€lawyer€involving€representation€of€the€client,€the€lawyerÏmay€respond€to€the€extent€the€lawyer€reasonably€believes€necessary€to€establish€a€defense.€Ôf  Ôò òÔg Ô€Ôf  Ôó óÔg ÔTheÏsame€is€true€with€respect€to€a€claim€brought€by€the€lawyer€involving€the€conduct€or€representation€ofÏa€former€clientÔf  Ô,€such€as€when€in„house€counsel€brings€suit€to€redress€his€or€her€discharge€from€anÏorganizational€employer€in€retaliation€for€abiding€by,€or€refusing€to€violate,€a€clear€expression€ofÏpublic€policy€in€the€Rules€of€Professional€Conduct.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€1.16€Comment€[4].€€OtherÏchargesÔf  ÔÔg Ô€can€arise€in€a€civil,€criminalÔf  ÔÔg Ô,Ôf  ÔÔg Ô€or€professional€disciplinary€proceeding€andÔf  ÔÔg ÔÔf  ÔÔg Ô€can€be€based€on€aÏwrong€allegedly€committed€by€the€lawyer€against€the€clientÔf  ÔÔg Ô€or€on€a€wrong€alleged€by€a€third€person,Ïsuch€as€a€person€claiming€to€have€been€defrauded€by€the€lawyer€and€client€acting€together.€€TheÏlawyerððs€right€to€respond€under€these€circumstances€arises€when€an€assertion€of€such€complicityÏhas€been€made.€Ôf  ÔÔg Ô€Ôf  ÔÔg ÔParagraph€(b)(Ôf  ÔÔg ÔÔf  ÔÔg Ô3Ôg Ô)€does€not€require€the€lawyer€to€await€the€commencement€of€anÏaction€or€proceeding€that€charges€such€complicity,€so€that€the€defense€may€be€established€byÏresponding€directly€to€a€third€party€who€has€made€such€an€assertion.€Ôf  ÔÔg Ô€Ôf  ÔÔg ÔThe€right€to€defend,€of€course,Ïapplies€where€a€proceeding€has€been€commenced.Ôf  ÔÔg Ô€Ôf  ÔÔg Ô€Where€practicable€and€not€prejudicial€to€theÏlawyerððs€ability€to€establish€the€defense,€the€lawyer€should€advise€the€client€of€the€third€partyððsÏassertion€and€request€that€the€client€respond€appropriately.Ôf  ÔÔg Ô€Ôf  ÔÔg Ô€In€any€event,€disclosure€should€be€noÏgreater€than€the€lawyer€reasonably€believes€is€necessary€to€vindicate€innocence,€the€disclosureÏshould€be€made€in€a€manner€that€limits€access€to€the€information€to€the€tribunal€or€other€personsÏhaving€a€need€to€know€it,€and€appropriate€protective€orders€or€other€arrangements€should€be€soughtÏby€the€lawyer€to€the€fullest€extent€practicable.ÌÌà à[13]à àA€lawyer€entitled€to€a€fee€is€permitted€by€paragraph€(b)(3)€to€prove€the€servicesÏrendered€in€an€action€to€collect€it.€€This€aspect€of€the€Rule€expresses€the€principle€that€theÏbeneficiary€of€a€fiduciary€relationship€may€not€exploit€it€to€the€detriment€of€the€fiduciary.€€As€statedÏabove,€the€lawyer€must€make€every€effort€practicable€to€avoid€unnecessary€disclosure€of€informationÏrelating€to€a€representation,€to€limit€disclosure€to€those€having€the€need€to€know€it,€and€to€obtainÏprotective€orders€or€make€other€arrangements€minimizing€the€risk€of€disclosure.ÌÌà à[14]à àParagraph€(b)€permits€but€does€not€require€the€disclosure€or€use€of€informationÏrelating€to€a€clientððs€representation€to€accomplish€the€purposes€specified€in€paragraphs€(b)(1)Ïthrough€(3).€€In€exercising€the€discretion€conferred€by€this€Rule,€the€lawyer€may€consider€suchÏfactors€as€the€nature€of€the€lawyerððs€relationship€with€the€client€and€with€those€who€might€be€injuredÏby€the€client,€the€lawyerððs€own€involvement€in€the€transaction,€and€any€other€factors€that€mayÏextenuate€the€conduct€in€question.€€Where€practical,€the€lawyer€should€seek€to€persuade€the€client€toÏtake€suitable€action.€€In€any€case,€a€disclosure€adverse€to€the€clientððs€interest€should€be€no€greaterÍthan€the€lawyer€reasonably€believes€necessary€to€the€purpose.€€A€lawyerððs€decision€not€to€takeÏpreventive€action€permitted€by€paragraph€(b)€does€not€violate€this€Rule.ÌÌà@ àò òDisclosure€Otherwise€Required€or€Authorizedó óÌÌà à[15]à àThe€Rules€of€Professional€Conduct€in€various€circumstances€permit€or€require€aÏlawyer€to€disclose€information€relating€to€the€representation.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€2.2,€2.3,€3.3,€and€4.1.€€InÏaddition€to€these€provisions,€a€lawyer€may€be€obligated€or€permitted€by€other€provisions€of€law€toÏgive€information€about€a€client.€€Whether€another€provision€of€law€supersedes€Ô_ÔRuleÔ_Ô€1.6€is€a€matterÏof€interpretation€beyond€the€scope€of€these€Rules.Ôf  ÔÔg ÔÔf  ÔÔg ÔÌÌà à[16]à àParagraph€(c)(1)€recognizes€the€overriding€value€of€life€and€physical€integrity€andÏrequires€disclosure€reasonably€necessary€to€prevent€reasonably€certain€death€or€substantial€bodilyÏharm.€€Substantial€bodily€harm€includes€life€threatening€and€debilitating€illnesses€and€theÏconsequences€of€child€sexual€abuse.€€Such€injuries€are€reasonably€certain€to€occur€if€they€will€beÏsuffered€imminently€or€if€there€is€a€present€and€substantial€threat€that€a€person€will€suffer€suchÏinjuries€at€a€later€date€if€the€lawyer€fails€to€take€action€necessary€to€eliminate€the€threat.€€Thus,€aÏlawyer€who€knows€that€a€client€has€accidentally€discharged€toxic€waste€into€a€townððs€water€supplyÏmust€reveal€this€information€to€the€authorities€if€there€is€a€present€and€substantial€risk€that€a€personÏwho€drinks€the€water€will€contract€a€life„threatening€or€debilitating€disease€and€the€lawyerððsÏdisclosure€is€necessary€to€eliminate€the€threat€or€reduce€the€number€of€victims.€€ÌÔ_ÔÔ_ÔÔ_ÔÔ_ÔÔ_ÔÔ_ÔÔ_ÔÌÔ_Ôà à[17]à àAs€provided€by€paragraph€(c)(2),€a€lawyer€must€also€comply€with€lawful€orders€of€aÏtribunal,€an€administrative€or€executive€agency,€or€a€legislative€body.€€If€a€lawyer€is€called€as€aÏwitness€to€give€testimony€concerning€a€client,€or€is€otherwise€ordered€to€reveal€information€relatingÏto€the€clientððs€representation,€the€lawyer€must,€absent€authorization€from€the€client€to€do€otherwise,Ïassert€on€behalf€of€the€client€all€non„frivolous€claims€that€the€information€sought€is€protectedÏagainst€disclosure€by€the€attorney„client€privilege€or€other€applicable€law.€€In€the€event€of€an€adverseÏruling,€the€lawyer€should€consult€with€the€client€about€the€possibility€of€appealing€the€adverseÏruling.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€1.4€and€1.2.€€Unless€an€appeal€is€taken,€the€lawyer€must€comply€with€the€order.€ÌÌÓ  Óò òActing€Competently€to€Preserve€Confidentialityó óÌÓ  ÓÌà à[18]à àA€lawyer€must€act€competently€to€safeguard€information€relating€to€theÏrepresentation€of€a€client€against€inadvertent€or€unauthorized€disclosure€by€the€lawyer€or€by€otherÏpersons€who€are€participating€in€the€representation€of€the€client€or€who€are€subject€to€the€lawyerððsÏsupervision.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€1.1,€5.1,€and€5.3.€€ÌÌà à[19]à àWhen€transmitting€a€communication€that€includes€information€relating€to€theÏrepresentation€of€a€client,€the€lawyer€must€take€reasonable€precautions€to€prevent€the€informationÏfrom€coming€into€the€hands€of€unintended€recipients.€€This€duty,€however,€does€not€require€that€theÏlawyer€utilize€special€security€measures€if€the€method€of€communication€affords€a€reasonableÏexpectation€of€privacy.€€Special€circumstances,€however,€may€warrant€special€precautions.€€FactorsÏto€be€considered€in€determining€the€reasonableness€of€the€lawyerððs€expectation€of€confidentialityÏinclude€the€sensitivity€of€the€information€and€the€extent€to€which€the€privacy€of€the€communicationÏis€protected€by€law€or€by€a€confidentiality€agreement.€€A€client€may€require€the€lawyer€to€implementÏspecial€security€measures€not€required€by€this€Rule€or€may€give€informed€consent€to€the€use€of€aÏmeans€of€communication€that€would€otherwise€be€prohibited€by€this€Rule.€€ÌÔf  ÔÔg ÔÌÔf  ÔÔg Ôà@ àò òFormer€Clientsó óÌÌà à[20]à àThe€duty€of€confidentiality€continues€after€the€client„lawyer€relationship€has€beenÏterminated.ò ò€ó ó€òòSeeóó€Ô_ÔRPCÔ_Ô€1.9(c).ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðFraudðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)€Ìð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)€Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)ò òÔ  ÔÇà@ àRule€1.7€Ìó óà@ àò òCONFLICT€OF€INTEREST:€€GENERAL€RULEó óÌÔ  ÔÌ(a)à àA€lawyer€shall€not€represent€a€client€if€the€representation€of€that€client€will€be€directlyÏadverse€to€another€client,€unless:ÌÌà0 à(1)à àthe€lawyer€reasonably€believes€the€representation€will€not€adversely€affect€theÏrelationship€with€the€other€client;€and€ÌÌà0 à(2)à àeach€client€consents€in€writing€after€consultation.ÌÌ(b)à àA€lawyer€shall€not€represent€a€client€if€the€representation€of€that€client€may€be€materiallyÏlimited€by€the€lawyerððs€responsibilities€to€another€client€or€to€a€third€person,€or€by€the€lawyerððs€ownÏinterests,€unless:€ÌÌà0 à(1)à àthe€lawyer€reasonably€believes€the€representation€will€not€be€adversely€affected;€and€ÌÌà0 à(2)à àthe€client€consents€in€writing€after€consultation.€€When€representation€of€multipleÏclients€in€a€single€matter€is€undertaken,€the€consultation€shall€include€explanation€of€theÏimplications€of€the€common€representation€and€the€advantages€and€risks€involved.ÌÌ(c)à àA€lawyer€shall€not€represent€more€than€one€client€in€the€same€criminal€case,€unless€ÌÌà0 à(1)à àthe€lawyer€demonstrates€to€the€tribunal€that€good€cause€exists€to€believe€that€noÏconflict€of€interest€prohibited€under€this€Rule€presently€exists€or€is€likely€to€exist;€and€ÌÌà0 à(2)à àeach€client€consents€in€writing€after€consultation€concerning€the€implications€of€theÏcommon€representation,€along€with€the€advantages€and€risks€involved.ÌÌà@ àò òCOMMENTSÌó óÌà@ àò òLoyalty€to€a€Clientó óÌÌà à[1]à àLoyalty€is€an€essential€element€in€the€lawyerððs€relationship€to€a€client.€€AnÏimpermissible€conflict€of€interest€may€exist€before€representation€is€undertaken,€in€which€event€theÏrepresentation€should€be€declined.€€The€lawyer€should€adopt€reasonable€procedures,€appropriate€forÏthe€size€and€type€of€firm€and€practice,€to€determine€in€both€litigation€and€non„litigation€matters€theÏparties€and€issues€involved€and€to€determine€whether€actual€or€potential€conflicts€of€interest€exist.ÌÌà à[2]à àIf€such€a€conflict€arises€after€representation€has€been€undertaken,€the€lawyer€shouldÏwithdraw€from€the€representation.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.16.€€Where€more€than€one€client€is€involved€and€theÏlawyer€withdraws€because€a€conflict€arises€after€representation,€whether€the€lawyer€may€continue€toÏrepresent€any€of€the€clients€is€determined€by€Ô_ÔRuleÔ_Ô€1.9.€€As€to€whether€a€client„lawyer€relationshipÏexists€or,€having€once€been€established,€is€continuing,€see€the€Comment€to€Ô_ÔRuleÔ_Ô€1.3€and€theÏstatement€in€the€Preamble€about€the€Scope€of€these€Rules.ÌÌà à[3]à àAs€a€general€proposition,€loyalty€to€a€client€prohibits€undertaking€representationÏdirectly€adverse€to€that€client€without€that€clientððs€consent.€€Paragraph€(a)€expresses€that€generalÏrule.€€Thus,€a€lawyer€ordinarily€may€not€act€as€an€advocate€against€a€person€the€lawyer€represents€inÏsome€other€matter,€even€if€it€is€wholly€unrelated.€€On€the€other€hand,€simultaneous€representation€inÏunrelated€matters€of€clients€whose€interests€are€only€generally€adverse,€such€as€competing€economicÍenterprises,€does€not€require€consent€of€the€respective€clients.€€Paragraph€(a)€applies€only€when€theÏrepresentation€of€one€client€would€be€directly€adverse€to€the€other.ÌÌà à[4]à àLoyalty€to€a€client€is€also€impaired€when€a€lawyer€cannot€consider,€recommend,€orÏcarry€out€an€appropriate€course€of€action€for€the€client€because€of€the€lawyerððs€other€responsibilitiesÏor€interests.€€The€conflict€in€effect€forecloses€alternatives€that€would€otherwise€be€available€to€theÏclient.€€Paragraph€(b)€addresses€such€situations.€€A€possible€conflict€does€not€itself€preclude€theÏrepresentation.€€The€critical€questions€are€the€likelihood€that€a€conflict€will€eventuate€and,€if€it€does,Ïwhether€it€will€materially€interfere€with€the€lawyerððs€independent€professional€judgment€inÏconsidering€alternatives€or€otherwise€foreclose€courses€of€action€that€reasonably€should€be€pursuedÏon€behalf€of€the€client.€€Consideration€should€be€given€to€whether€the€client€wishes€to€accommodateÏthe€other€interest€involved.ÌÌà@ àò òConsultation€and€Consentó óÌÌà à[5]à àA€client€may€consent€to€representation€notwithstanding€a€conflict.€€However,€asÏindicated€in€paragraph€(a)(1)€with€respect€to€representation€directly€adverse€to€a€client,€andÏparagraph€(b)(1)€with€respect€to€material€limitations€on€representation€of€a€client,€when€aÏdisinterested€lawyer€would€conclude€that€the€client€should€not€agree€to€the€representation€under€theÏcircumstances,€the€lawyer€involved€cannot€properly€ask€for€such€an€agreement€or€provideÏrepresentation€on€the€basis€of€the€clientððs€consent.€€When€more€than€one€client€is€involved,€theÏquestion€of€conflict€must€be€resolved€as€to€each€client.€€Moreover,€there€may€be€circumstancesÏwhere€it€is€impossible€to€make€the€disclosure€necessary€to€obtain€consent.€€For€example,€when€theÏlawyer€represents€different€clients€in€related€matters€and€one€of€the€clients€refuses€to€consent€to€theÏdisclosure€necessary€to€permit€the€other€client€to€make€an€informed€decision,€the€lawyer€cannotÏproperly€ask€the€latter€to€consent.ÌÌà à[6]à àIn€the€absence€of€other€law€to€the€contrary,€a€government€official€or€entity,€like€anyÏother€client,€may€waive€a€conflict€of€interest€under€this€Rule.€Ì€Ìà à[7]à àThis€Rule€requires€the€lawyer€either€to€secure€a€written€consent€executed€by€theÏclient€or€to€memorialize€an€oral€consent€given€by€the€client.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)€Definitions€(definingÏð ðConsents€in€Writingðð).€€If€it€is€not€feasible€to€secure€or€memorialize€the€writing€either€at€the€timeÏthe€conflict€arises€or€at€the€time€the€client€gives€consent,€then€the€lawyer€must€secure€or€memorializeÏit€within€a€reasonable€time€thereafter.€€The€requirement€of€a€writing€does€not€supplant€the€need€inÏmost€cases€for€the€lawyer€to€talk€with€the€client,€to€explain€the€risks€and€advantages,€if€any,€ofÏrepresentation€burdened€by€a€conflict€of€interest,€to€explain€the€reasonably€available€alternatives,€andÏto€afford€the€client€an€opportunity€to€raise€questions€and€concerns.€€Rather,€the€writing€is€required€inÏorder€to€impress€upon€clients€the€seriousness€of€the€decision€they€are€being€asked€to€make€and€toÏresolve€disputes€or€ambiguities€that€might€later€occur€by€virtue€of€there€being€no€writing.€€TheÏwriting€need€not€take€any€particular€form;€it€should,€however,€include€disclosure€of€the€relevantÏcircumstances€and€reasonably€foreseeable€risks€of€the€conflict€of€interest,€as€well€as€memorializationÏof€the€clientððs€agreement€to€the€representation€despite€such€risks.€ÌÌà@ àò òLawyerððs€Interestsó óÌÌà à[8]à àThe€lawyerððs€own€interests€should€not€be€permitted€to€have€an€adverse€effect€on€theÏrepresentation€of€a€client.€€For€example,€a€lawyerððs€need€for€income€should€not€lead€the€lawyer€toÏundertake€matters€that€cannot€be€handled€competently€and€at€a€reasonable€fee.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€1.1€andÏ1.5.€€If€the€probity€of€a€lawyerððs€own€conduct€in€a€transaction€is€in€serious€question,€it€may€beÏdifficult€or€impossible€for€the€lawyer€to€give€a€client€detached€advice.€€A€lawyer€may€not€allowÍrelated€business€interests€to€affect€representation,€for€example,€by€referring€clients€to€an€enterpriseÏin€which€the€lawyer€has€an€undisclosed€interest.ÌÌà@ àò òConflicts€in€Litigationó óÌÌà à[9]à à€Paragraph€(a)€prohibits€representation€of€opposing€parties€in€litigation.€ÏSimultaneous€representation€of€parties€whose€interests€in€litigation€may€conflict,€such€as€co„plaintiffs€or€co„defendants,€is€governed€by€paragraph€(b).€€An€impermissible€conflict€may€exist€byÏreason€of€substantial€discrepancy€in€the€partiesðð€testimony,€by€an€incompatibility€in€positions€inÏrelation€to€an€opposing€party,€or€by€the€fact€that€there€are€substantially€different€possibilities€ofÏsettlement€of€the€claims€or€liabilities€in€question.€€Such€conflicts€can€arise€in€both€civil€and€criminalÏcases.€€However,€common€representation€of€persons€having€similar€interests€is€proper€if€the€risk€ofÏadverse€effect€is€minimal€and€the€requirements€of€paragraph€(b)€are€met.€€òòCompareóó€Ô_ÔRPCÔ_Ô€2.2Ï(involving€intermediation€between€clients).ÌÌà à[10]€à àThe€potential€for€conflict€of€interest€in€representing€multiple€defendants€in€a€criminalÏcase€is€so€grave€that€ordinarily€a€lawyer€should€decline€to€represent€more€than€one€co„defendant.€ÏHowever,€where€the€lawyer€chooses€to€undertake€such€a€joint€representation,€paragraph€(c)€requiresÏthat€the€lawyer€demonstrate€to€the€satisfaction€of€the€tribunal€that€good€cause€exists€to€believe€thatÏno€conflict€of€interest€prohibited€by€paragraph€(b)€presently€exists€or€is€likely€to€exist€in€the€future.€ÏThis€showing€reflects€the€same€standard€currently€required€by€Tennessee€Rule€of€CriminalÏProcedure€44(c).ÌÌà à[11]à àHowever,€to€avoid€the€premature€disclosure€of€defense€tactics,€strategy,€or€otherÏinformation€relating€to€the€representation,€defense€counsel€may€request€that€the€tribunal€hold€an€òòexÏparteóó€hearing€to€determine€the€propriety€of€the€joint€representation.€€òòSeeóó€Ô_ÔRPCÔ_Ô€3.3(a)(3)€(settingÏforth€a€lawyerððs€duty€of€candor€in€an€òòex€parteóó€hearing);€òòsee€alsoóó€Ô_ÔRPCÔ_Ô€3.5(b)€(permitting€a€lawyer€toÏspeak€òòex€parteóó€to€a€judge€when€permitted€to€do€so€by€law).€€Once€the€tribunal€is€satisfied€that€noÏgood€cause€exists€to€believe€that€a€conflict€of€interest€currently€exists€or€is€likely€to€exist,€aÏrebuttable€presumption€arises€throughout€the€proceedings€that€the€joint€representation€comportsÏwith€the€requirements€of€this€Rule.€€However,€this€presumption€in€no€way€relieves€counsel€of€anyÏduty€imposed€under€these€Rules€should€such€an€actual€conflict€of€interest€later€arise.ÌÌà à[12]à àOrdinarily,€a€lawyer€may€not€act€as€an€advocate€against€a€client€the€lawyer€representsÏin€some€other€matter,€even€if€the€other€matter€is€wholly€unrelated.€€However,€there€are€circumstancesÏin€which€a€lawyer€may€act€as€an€advocate€against€a€client.€€For€example,€a€lawyer€representing€anÏenterprise€with€diverse€operations€may€accept€employment€as€an€advocate€against€the€enterprise€inÏan€unrelated€matter€if€doing€so€will€not€adversely€affect€the€lawyerððs€relationship€with€the€enterpriseÏor€conduct€of€the€suit€and€if€both€clients€consent€upon€consultation.€€By€the€same€token,Ïgovernment€lawyers€in€some€circumstances€may€represent€government€employees€in€proceedings€inÏwhich€a€government€agency€is€the€opposing€party.€€The€propriety€of€concurrent€representation€canÏdepend€on€the€nature€of€the€litigation.€€For€example,€a€suit€charging€fraud€entails€conflict€to€a€degreeÏnot€involved€in€a€suit€for€a€declaratory€judgment€concerning€statutory€interpretation.ÌÌà à[13]à àOrdinarily€a€lawyer€may€take€inconsistent€legal€positions€in€different€tribunals€atÏdifferent€times€on€behalf€of€different€clients.€€The€mere€fact€that€advocating€a€legal€position€onÏbehalf€of€one€client€might€create€precedent€adverse€to€the€interests€of€a€client€represented€by€theÏlawyer€in€an€unrelated€matter€does€not€create€a€conflict€of€interest.€€A€conflict€of€interest€exists,Ïhowever,€if€there€is€a€significant€risk€that€a€lawyerððs€action€in€behalf€of€one€client€will€materiallyÏlimit€the€lawyerððs€effectiveness€in€representing€another€client€in€a€different€case;€for€example,€whenÏa€decision€favoring€one€client€will€create€a€precedent€likely€to€seriously€weaken€the€position€takenÍby€the€lawyer€on€behalf€of€the€other€client.€€Factors€relevant€in€determining€whether€the€clients€needÏto€be€advised€of€the€risk€include€where€the€cases€are€pending;€whether€the€issue€is€substantive€orÏprocedural;€the€temporal€relationship€between€the€matters;€the€significance€of€the€issue€to€theÏimmediate€and€long„run€interests€of€the€clients€involved;€and€the€clientsðð€reasonable€expectations€inÏretaining€the€lawyer.€€If€there€is€significant€risk€of€material€limitation,€then€absent€informed€consentÏof€the€affected€clients,€the€lawyer€must€refuse€one€of€the€representations€or€withdraw€from€one€orÏboth€matters.ÌÌà@ àò òInterest€of€Person€Paying€for€a€Lawyerððs€Serviceó óÌÌà à[14]à àA€lawyer€may€be€paid€from€a€source€other€than€the€client€if€the€client€is€informed€ofÏthat€fact€and€consents€and€if€the€arrangement€does€not€compromise€the€lawyerððs€duty€of€loyalty€toÏthe€client.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.8(f).€€For€example,€when€an€insurer€and€its€insured€have€conflicting€interestsÏin€a€matter€arising€from€a€liability€insurance€agreement,€and€the€insurer€is€required€to€provide€specialÏcounsel€for€the€insured,€the€arrangement€should€assure€the€special€counselððs€professionalÏindependence.€€So€also,€when€a€corporation€and€its€directors€or€employees€are€involved€in€aÏcontroversy€in€which€they€have€conflicting€interests,€the€corporation€may€provide€funds€for€separateÏlegal€representation€of€the€directors€or€employees€if€the€clients€consent€after€consultation€and€theÏarrangement€ensures€the€lawyerððs€professional€independence.ÌÌà@ àò òOther€Conflict€Situationsó óÌÌà à[15]à àConflicts€of€interest€in€contexts€other€than€litigation€sometimes€may€be€difficult€toÏassess.€€Relevant€factors€in€determining€whether€there€is€potential€for€an€adverse€effect€include€theÏduration€and€intimacy€of€the€lawyerððs€relationship€with€the€client€or€clients€involved,€the€functionsÏbeing€performed€by€the€lawyer,€the€likelihood€that€actual€conflict€will€arise,€and€the€likely€prejudiceÏto€the€client€from€the€conflict€if€it€does€arise.€€The€question€is€often€one€of€proximity€and€degree.ÌÌà à[16]à àFor€example,€a€lawyer€may€not€represent€multiple€parties€to€a€negotiation€whoseÏinterests€are€fundamentally€antagonistic€to€each€other,€but€common€representation€is€permissibleÏwhere€the€clients€are€generally€aligned€in€interest€even€though€there€is€some€difference€of€interestÏamong€them.€€See€Ô_ÔRuleÔ_Ô€2.2€with€respect€to€a€lawyer€serving€two€or€more€clients€as€an€intermediary.ÌÌà à[17]à àÔf  ÔÔg ÔMembers€of€a€family€may€reasonably€seek€joint€representation€by€a€single€lawyer€inÏa€matter€affecting€the€family.€€Ôf  ÔÔg ÔConflict€questions€may€Ôf  ÔÔg Ôarise€in€Ôf  ÔÔg Ôsuch€circumstances.€€For€example,€inÏÔf  ÔÔg Ôestate€planningÔf  ÔÔg ÔÔf  ÔÔg Ô,€aÔf  ÔÔg Ô€lawyer€may€be€called€upon€to€prepare€wills€for€family€members,€such€as€husbandÏand€wife,€and,€depending€upon€the€circumstances,€a€conflict€of€interest€may€arise.€€Resolution€ofÏconflicts€of€interest€between€family€members€pursuant€to€this€Rule€must€be€consistent€with€theÏlawyerððs€duty€of€undivided€loyalty€to€each€client,€but€the€lawyer€may€take€into€account€theÏwillingness€of€each€individual€client€to€accommodate€the€interests€of€the€family€as€a€whole€or€theÏindividual€interests€of€other€family€members.€€Ôf  ÔÔg ÔIn€estate€administration,€the€identity€of€the€client€mayÏbe€unclearÔf  ÔÔg ÔÔf  ÔÔg Ô.€Ôf  ÔÔg Ô€Under€one€view,€the€client€is€the€fiduciary;€under€another€view,€the€client€is€the€estate€orÏtrust,€including€its€beneficiaries.€€The€lawyer€should€make€clear€the€relationship€to€the€partiesÏinvolved.ÌÌà à[18]à àA€lawyer€for€a€corporation€or€other€organization€who€is€also€a€member€of€its€boardÏof€directors€should€determine€whether€the€responsibilities€of€the€two€roles€may€conflict.€€The€lawyerÏmay€be€called€on€to€advise€the€corporation€in€matters€involving€actions€of€the€directors.€ÏConsideration€should€be€given€to€the€frequency€with€which€such€situations€may€arise,€the€potentialÏintensity€of€the€conflict,€the€effect€of€the€lawyerððs€resignation€from€the€board€and€the€possibility€ofÏthe€corporationððs€obtaining€legal€advice€from€another€lawyer€in€such€situations.€€If€there€is€materialÍrisk€that€the€dual€role€will€compromise€the€lawyerððs€independence€of€professional€judgment,€theÏlawyer€should€not€serve€as€a€director.ÌÌà@ àò òConflict€Charged€by€an€Opposing€Partyó óÌÌà à[19]à àResolving€questions€of€conflict€of€interest€is€primarily€the€responsibility€of€theÏlawyer€undertaking€the€representation.€€In€litigation,€a€court€may€raise€the€question€when€there€isÏreason€to€infer€that€the€lawyer€has€neglected€the€responsibility.€€Where€the€conflict€is€such€as€clearlyÏto€call€in€question€the€fair€or€efficient€administration€of€justice,€opposing€counsel€may€properly€raiseÏthe€question.€€Such€an€objection€should€be€viewed€with€caution,€however,€for€it€can€be€misused€as€aÏtechnique€of€harassment.€ÌÌà@ àò òSpecial€Considerations€in€Joint€Representationó óÌÌà à[20]à àIn€considering€whether€to€represent€clients€jointly€in€the€same€matter,€such€asÏrepresenting€co„plaintiffs€or€co„defendants,€a€lawyer€should€be€mindful€that€if€the€jointÏrepresentation€fails€because€the€potentially€adverse€interests€cannot€be€reconciled,€the€result€can€beÏadditional€cost,€embarrassment,€and€recrimination.€€Ordinarily,€the€lawyer€will€be€forced€to€withdrawÏfrom€representing€all€of€the€clients€if€the€joint€representation€failsÔf  ÔÔg Ô,€unless€each€client€consents€afterÏconsultationÔf  ÔÔg Ô.Ôf  ÔÔg ÔÔf  ÔÔg ÔÌÌà à[21]à àA€particularly€important€factor€in€determining€the€appropriateness€of€jointÏrepresentation€is€the€effect€on€lawyer„client€confidentiality€and€the€attorney„client€privilege.€€WithÏregard€to€the€evidentiary€attorney„client€privilege,€the€prevailing€rule€is€that€as€between€commonlyÏrepresented€clients,€the€privilege€does€not€attach.€€Hence,€it€must€be€assumed€that€the€privilege€willÏnot€protect€any€such€communications€if€litigation€eventuates€between€the€clients,€and€the€clientsÏshould€be€so€advised.ÌÌà à[22]à àAs€to€the€duty€of€confidentiality,€joint€representation€will€almost€certainly€beÏinadequate€if€one€client€attempts€to€keep€something€in€confidence€between€the€lawyer€and€that€client,Ïwhich€is€not€to€be€disclosed€to€the€other€client.€€This€is€so€because€the€lawyer€has€an€equal€duty€ofÏloyalty€to€each€client,€and€each€client€has€the€right€to€be€informed€of€anything€bearing€on€theÏrepresentation€that€might€affect€that€clientððs€interests€and€to€expect€that€the€lawyer€will€use€thatÏinformation€to€that€clientððs€benefit.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.4.€€The€lawyer€should,€at€the€outset€of€the€jointÏrepresentation€and€as€part€of€the€process€of€obtaining€each€clientððs€Ôf  ÔÔg Ôconsent,€advise€each€client€thatÏtÔg Ôhe€lawyer€will€Ôf  ÔÔg ÔÔf  ÔÔg Ôshare€all€information€material€to€the€representation€with€each€of€the€jointlyÏrepresented€clients,€unless€specifically€instructed€by€one€of€the€clients€not€to€do€so.€€The€lawyerÏshould€also€advise€each€client€that€the€lawyer€will€abide€by€the€clientððs€instructions€to€maintain€theÏconfidentiality€of€the€specified€information€if€any€client€later€insistsÔf  ÔÔg Ô€that€some€matter€material€to€theÏrepresentation€should€be€kept€from€the€otherÔf  ÔÔg Ô,€but€that€it€is€likely€that€the€lawyer€will€be€required€toÏwithdraw€from€the€representationÔf  ÔÔg Ô.€Ôf  ÔÔg ÔÔf  ÔÔg Ô€In€limited€circumstancesÔf  ÔÔg Ô,€howeverÔf  ÔÔg Ô,€it€may€be€appropriate€for€theÏlawyer€to€proceed€with€the€representation€when€the€clients€have€agreedÔf  ÔÔg Ô,€after€being€properlyÏinformed,€that€the€lawyer€will€keep€certain€information€confidential.Ì€Ìà à[23]à àSubject€to€the€above€limitations,€each€client€in€the€joint€representation€has€the€right€toÏloyal€and€diligent€representation€and€the€protection€of€Ô_ÔRuleÔ_Ô€1.9€concerning€the€obligations€to€aÏformer€client.€€Each€client€also€has€the€right€to€discharge€the€lawyer€as€stated€in€Ô_ÔRuleÔ_Ô€1.16.ÌÌà@ àò òRelation€to€Other€RulesÌó óÌà à[24]à àWhen€a€lawyer€represents€a€client€in€a€partisan€role,€whether€as€an€advocate,€anÏadvisor,€or€the€author€of€a€legal€opinion€to€be€rendered€on€behalf€of€the€client€for€use€by€a€thirdÏperson,€this€Rule€provides€special€protections€for€the€client€to€assure€that€the€lawyerððs€loyalty€willÏnot€be€diluted€by€interests€of€other€clients,€the€lawyer,€or€third€persons.€€This€Rule,€however,€is€notÏapplicableÔf  ÔÔg Ô€toÔf  ÔÔg Ô€conflicts€of€interest€affectingÔf  ÔÔg Ô€clients€the€lawyer€undertakes€to€serve€as€an€intermediary.€ÏÔf  ÔÔg ÔÔf  ÔÔg ÔIf,€for€example,€business€persons€or€members€of€a€family€are€seeking€the€lawyerððs€advice€orÏassistance€in€a€non„adversarial€effort€to€accomplish€a€common€objective€with€respect€to€theÏformation,€conduct,€modification,€or€termination€of€a€consensual€relation€between€them,€such€as€theÏformation€of€a€business€or€a€purchase€or€sale€of€property,€Ô_ÔRuleÔ_Ô€2.2€applies.€€Similarly,€if€theÏeffectuation€of€an€estate€plan€or€other€gratuitous€transfer€entails€the€formation,€modification,€orÏtermination€of€a€consensual€legal€relationship€between€clients,€and€the€lawyer€acts€as€anÏintermediary€in€connection€with€the€transaction,€Ô_ÔRuleÔ_Ô€2.2€applies.€€Otherwise,€this€Rule€applies.€€NorÏis€this€Rule€applicable€to€Ôf  ÔÔg Ôconflicts€of€interest€affecting€Ôf  ÔÔg Ôparties€whoÔf  ÔÔg Ô€a€lawyer€undertakes€to€serve€as€aÏdispute€resolution€neutral.€€òòSeeóó€Ô_ÔRPCÔ_Ô€2.4.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)€Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€1.8Ìó óà@ àò òCONFLICT€OF€INTEREST:€€PROHIBITED€TRANSACTIONSó óÌÔ  ÔÌ(a)à àA€lawyer€shall€not€enter€into€a€business€transaction€with€a€client€or€knowingly€acquire€anÏownership,€possessory,€security€or€other€pecuniary€interest€adverse€to€a€client€unless:ÌÌà0 à(1)à àthe€transaction€and€terms€on€which€the€lawyer€acquires€the€interest€are€fair€andÏreasonable€to€the€client€and€are€fully€disclosed€and€transmitted€in€writing€to€the€client€in€aÏmanner€that€can€be€reasonably€understood€by€the€client;€and€ÌÌà0 à(2)à àthe€client€is€given€a€reasonable€opportunity€to€seek€the€advice€of€independentÏcounsel€in€the€transaction;€andÌÌà0 à(3)à àthe€client€consents€thereto€in€a€writing€signed€by€the€client.ÌÌ(b)à àA€lawyer€shall€not€use€information€relating€to€representation€of€a€client€to€the€disadvantageÏof€the€client,€unless€the€client€consents€after€consultation,€except€as€otherwise€permitted€or€requiredÏby€Ô_ÔRuleÔ_Ô€1.6€or€Ô_ÔRuleÔ_Ô€3.3.ÌÌ(c)à àA€lawyer€shall€not€prepare€an€instrument€giving€the€lawyer€or€a€person€related€to€the€lawyerÏas€parent,€child,€sibling,€or€spouse€any€substantial€gift€from€a€client,€including€a€testamentary€gift,Ïexcept€where€the€client€is€related€to€the€donee.ÌÌ(d)à àPrior€to€the€conclusion€of€the€representation€of€a€client,€a€lawyer€shall€not€make€or€negotiateÏan€agreement€giving€the€lawyer€literary€or€media€rights€to€a€portrayal€or€account€based€in€substantialÏpart€on€information€relating€to€the€representation.ÌÌ(e)à àA€lawyer€shall€not€provide€financial€assistance€to€a€client€in€connection€with€pending€orÏcontemplated€litigation,€except€that:Ì€Ìà0 à(1)à àa€lawyer€may€advance€court€costs€and€expenses€of€litigation,€the€repayment€of€whichÏmay€be€contingent€on€the€outcome€of€the€matter;€andÌà0 àÌà0 à(2)à àa€lawyer€representing€an€indigent€client€may€pay€court€costs€and€expenses€ofÏlitigation€on€behalf€of€the€client.ÌÌ(f)à àA€lawyer€shall€not€accept€compensation€or€direction€from€one€other€than€the€client€unless:ÌÌà0 à(1)à àthe€client€consents€after€consultation;ÌÌà0 à(2)à àthere€is€no€interference€with€the€lawyerððs€independence€of€professional€judgment€orÏwith€the€client„lawyer€relationship;€andÌ€Ìà0 à(3)à àinformation€relating€to€representation€of€a€client€is€protected€as€required€by€Ô_ÔRuleÔ_Ô€1.6.ÌÌ(g)à àA€lawyer€who€represents€two€or€more€clients€shall€not€participate€in€making€an€aggregateÏsettlement€of€the€claims€of€or€against€the€clients,€or€in€a€criminal€case€an€aggregated€agreement€as€toÏguilty€or€nolo€contendere€pleas,€unless:ÌÌà0 à(1)à àthe€client€is€given€a€reasonable€opportunity€to€seek€the€advice€of€independentÏcounsel€in€the€transaction;€andÌÌà0 à(2)à àeach€client€consents€in€writing€after€consultation,€including€disclosure€of€theÏexistence€and€nature€of€all€the€claims€or€pleas€involved€and€of€the€participation€of€eachÏperson€in€the€settlement.ÌÌ(h)à àA€lawyer€shall€not:ÌÌà0 à(1)à àenter€into€an€agreement€with€a€prospective,€current,€or€former€client€to€prospectivelyÏlimit€the€lawyerððs€liability€to€the€client€for€malpractice;€orÌÌà0 à(2)à àsettle€a€claim€for€such€liability,€unless:ÌÌà0 àà0 à(a)à àthe€client€is€represented€in€the€matter€by€independent€counsel;€or€ÌÌà0 àà0 à(b)à àthe€lawyer€fully€discloses€all€the€terms€of€the€agreement€to€the€client€in€aÏmanner€that€can€reasonably€be€understood€by€the€client,€advises€the€client€to€seek€theÏadvice€of€independent€counsel,€and€affords€the€client€a€reasonable€opportunity€to€doÏso.ÌÌ(i)à àA€lawyer€related€to€another€lawyer€as€parent,€child,€sibling,€or€spouse€shall€not€represent€aÏclient€in€a€representation€directly€adverse€to€a€person€whom€the€lawyer€knows€is€represented€by€theÏother€lawyerÔf  Ô,€Ôg ÔÔf  ÔÔg ÔunlessÔf  ÔÔg Ô€the€clientÔf  ÔÔg Ô€consents€in€writingÔf  ÔÔg Ô€after€consultation€regarding€the€relationship.Ì€Ì(j)à àA€lawyer€shall€not€acquire€a€proprietary€interest€in€the€cause€of€action€or€subject€matter€ofÏlitigation€the€lawyer€is€conducting€for€a€client,€except€that€the€lawyer€may:ÌÌà0 à(1)à àacquire€a€lien€granted€by€law€to€secure€the€lawyerððs€fee€or€expenses;€andÌà0 àÌà0 à(2)à àcontract€with€a€client€for€a€reasonable€contingent€fee€in€a€civil€case.ÌÌà@ àò òCOMMENTSÌÌó óà@ àò òTransactions€Between€Client€and€Lawyeró óÌÌà à[1]à àAs€a€general€principle,€all€transactions€between€client€and€lawyer€should€be€fair€andÏreasonable€to€the€client.€€In€such€transactions,€a€review€by€independent€counsel€on€behalf€of€theÏclient€is€often€advisable.€€Furthermore,€a€lawyer€may€not€exploit€information€relating€to€theÏrepresentation€to€the€clientððs€disadvantage.€€For€example,€a€lawyer€who€has€learned€that€the€client€isÏinvesting€in€specific€real€estate€may€not,€without€the€clientððs€consent,€seek€to€acquire€nearbyÏproperty€where€doing€so€would€adversely€affect€the€clientððs€plan€for€investment.€€Paragraph€(a)Ïdoes€not,€however,€apply€to€standard€commercial€transactions€between€the€lawyer€and€the€client€forÏproducts€or€services€that€the€client€generally€markets€to€others,€such€as€banking€or€brokerageÏservices,€medical€services,€products€manufactured€or€distributed€by€the€client,€and€utilities€services.€ÏIn€such€transactions,€the€lawyer€has€no€advantage€in€dealing€with€the€client,€and€the€restrictions€inÏparagraph€(a)€are€unnecessary€and€impracticable.ÌÌà à[2]à àA€lawyer€may€accept€a€gift€from€a€client€if€the€transaction€meets€general€standards€ofÏfairness.€€For€example,€a€simple€gift€such€as€a€present€given€at€a€holiday€or€as€a€token€ofÏappreciation€is€permitted.€€If€effectuation€of€a€substantial€gift€requires€preparing€a€legal€instrumentÏsuch€as€a€will€or€conveyance,€however,€the€client€should€have€the€detached€advice€that€another€lawyerÍcan€provide.€€Paragraph€(c)€recognizes€an€exception€where€the€client€is€a€relative€of€the€donee€or€theÏgift€is€not€substantial.ÌÌà@ àò òLiterary€Rightsó óÌÌà à[3]à àAn€agreement€by€which€a€lawyer€acquires€literary€or€media€rights€concerning€theÏconduct€of€the€representation€creates€a€conflict€between€the€interests€of€the€client€and€the€personalÏinterests€of€the€lawyer.€€Measures€suitable€in€the€representation€of€the€client€may€detract€from€theÏpublication€value€of€an€account€of€the€representation.€€Paragraph€(d)€does€not€prohibit€a€lawyerÏrepresenting€a€client€in€a€transaction€concerning€literary€property€from€agreeing€that€the€lawyerððsÏfee€shall€consist€of€a€share€in€ownership€in€the€property,€if€the€arrangement€conforms€to€Ô_ÔRuleÔ_Ô€1.5Ïand€paragraph€(j).ÌÌà@ àò òPerson€Paying€for€Lawyerððs€Servicesó óÌÌà à[4]à àÔ_ÔRuleÔ_Ô€1.8(f)€requires€disclosure€of€the€fact€that€the€lawyerððs€services€are€being€paidÏfor€by€a€third€party.€€Such€an€arrangement€must€also€conform€to€the€requirements€of€Ô_ÔRuleÔ_Ô€1.6Ïconcerning€confidentiality€and€Ô_ÔRuleÔ_Ô€1.7€concerning€conflicts€of€interest.€€Where€the€client€is€a€class,Ïconsent€may€be€obtained€on€behalf€of€the€class€by€court„supervised€procedure.ÌÌà@ àò òLimiting€Liabilityó óÌÌà à[5]à àParagraph€(h)€is€not€intended€to€apply€to€customary€qualifications€and€limitations€inÏlegal€opinions€and€memoranda.ÌÌà@ àò òRelationships€Between€Lawyersó óÌÌà à[6]à àÔ_ÔRuleÔ_Ô€1.8(i)€applies€to€ð ðrelatedðð€lawyers€who€are€in€different€firms.€€Related€lawyersÏin€the€same€firm€are€governed€by€Ô_ÔRulesÔ_Ô€1.7,€1.9,€and€1.10.€€The€disqualification€stated€in€Ô_ÔRuleÔ_Ô€1.8(i)Ïis€personal€and€is€not€imputed€to€members€of€firms€with€whom€the€lawyers€are€associated.€€òòSeeóóÏÔ_ÔRPCÔ_Ô€1.10.€ÌÌà@ àò òAcquisition€of€Interest€in€Litigationó óÌÌà à[7]à àParagraph€(j)€states€the€traditional€general€rule€that€lawyers€are€prohibited€fromÏacquiring€a€proprietary€interest€in€litigation.€€This€general€rule,€which€has€its€basis€in€common€lawÏchamperty€and€maintenance,€is€subject€to€specific€exceptions€developed€in€decisional€law€andÏcontinued€in€these€Rules,€such€as€the€exception€for€reasonable€contingent€fees€set€forth€in€Ô_ÔRuleÔ_Ô€1.5Ïand€the€exception€for€certain€advances€of€the€costs€of€litigation€set€forth€in€paragraph€(e).ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðKnowinglyðð€and€ð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)ÇÔ  Ôà@ àò òRule€1.9Ìó óà@ àò òCONFLICT€OF€INTEREST:€FORMER€CLIENTó óÌ€Ô  ÔÌ(a)à àA€lawyer€who€has€formerly€represented€a€client€in€a€matter€shall€not€thereafter€representÏanother€person€in€the€same€or€a€substantially€related€matter€in€which€that€personððs€interests€areÏmaterially€adverse€to€the€interests€of€the€former€client,€unless€the€former€client€consents€in€writingÏafter€consultation.€ÌÌ(b)à àUnless€the€former€client€consents€in€writing€after€consultation,€a€lawyer€shall€not€knowinglyÏrepresent€a€person€in€the€same€or€a€substantially€related€matter€in€which€a€firm€with€which€theÏlawyer€formerly€was€associated€had€previously€represented€a€client€whose€interests€are€materiallyÏadverse€to€that€person€and€about€whom€the€lawyer€had€acquired€information€protected€by€Ô_ÔRulesÔ_Ô€1.6Ïand€1.9(c)€that€is€material€to€the€matterÔf  ÔÔg ÔÔf  ÔÔg Ô.Ôf  ÔÔg ÔÌÌ(c)à àUnless€the€former€client€consents€after€consultation,€a€lawyer€who€has€formerly€representedÏa€client€in€a€matter,€or€whose€present€or€former€firm€has€formerly€represented€a€client€in€a€matter,Ïshall€not€thereafter:ÌÌà0 à(1)à àuse€information€relating€to€the€representation€to€the€disadvantage€of€the€former€clientÏexcept€as€these€Rules€otherwise€permit€or€require€with€respect€to€a€client,€or€when€theÏinformation€has€become€generally€known;€orÌÌà0 à(2)à àreveal€information€relating€to€the€representation€of€the€former€client€except€as€theseÏRules€otherwise€permit€or€require€with€respect€to€a€client.Ìò òÌó óà@ àò òCOMMENTSÌó óÌà à[1]à àAfter€termination€of€a€client„lawyer€relationship,€a€lawyer€may€not€represent€anotherÏclient€other€than€in€conformity€with€this€Rule,€except€that€in€the€case€of€a€government€or€formerÏgovernment€lawyer,€Ô_ÔRuleÔ_Ô€1.11€applies€rather€than€paragraphs€(a)€and€(b)€of€this€Rule.ÌÌà à[2]à àThe€scope€of€a€ð ðmatterðð€for€purposes€of€this€Rule€will€depend€on€the€facts€of€aÏparticular€situation€or€transaction.€€The€appropriateness€of€the€subsequent€representation€willÏdepend€on€the€scope€of€the€representation€in€the€former€matter,€the€scope€of€the€proposedÏrepresentation€in€the€current€matter,€and€its€relationship€to€the€former€matter.ÌÌà à[3]à àThe€current€matter€is€substantially€related€to€the€former€matter€if€the€current€matterÏinvolves€the€work€the€lawyer€performed€for€the€former€client€or€there€is€a€substantial€risk€thatÏrepresentation€of€the€present€client€will€involve€the€use€of€information€acquired€in€the€course€ofÏrepresenting€the€former€client,€unless€that€information€has€become€generally€known.ÌÌà@ àò òChanging€Sidesó óÌÌà à[4]à àRepresenting€one€side€and€then€switching€to€represent€the€other€in€the€same€matterÏclearly€implicates€loyalty€to€the€first€client€and€protection€of€that€clientððs€confidences.€€SimilarÏconsiderations€apply€in€non„litigation€matters.€€For€example,€a€lawyer€negotiating€a€complexÏagreement€on€behalf€of€a€seller€could€not€withdraw€and€represent€the€buyer€against€the€interests€ofÏthe€seller€in€the€same€transaction.€€Further,€just€as€a€lawyer€may€not€represent€both€sidesÏconcurrently€in€the€same€case,€Ôf  ÔÔg Ôòòseeóó€Ô_ÔRPCÔ_Ô€1.7(a),€the€lawyer€also€may€not€represent€themÏconsecutively.ÌÌà à[5]à àBeyond€switching€sides€in€the€same€matter,€the€concept€of€substantial€relationshipÏapplies€to€later€developments€arising€out€of€the€original€matter.€€A€matter€is€substantially€related€if€itÏinvolves€the€work€the€lawyer€performed€for€the€former€client.€€For€example,€a€lawyer€may€not€onÏbehalf€of€a€later€client€attack€the€validity€of€a€document€that€the€lawyer€drafted€if€doing€so€wouldÏmaterially€and€adversely€affect€the€former€client.€€Similarly,€a€lawyer€may€not€represent€a€debtor€inÏbankruptcy€in€seeking€to€set€aside€a€security€interest€of€a€creditor€that€is€embodied€in€a€documentÏthat€the€lawyer€previously€drafted€for€the€creditor.ÌÌà@ àò òProtecting€Confidentialityó óÌÌà à[6]à àThe€substantial€relationship€standard€is€employed€most€frequently€to€protect€theÏconfidential€information€of€the€former€client.€€A€subsequent€matter€is€substantially€related€to€anÏearlier€matter€if€there€is€a€substantial€risk€that€the€subsequent€representation€will€involve€the€use€ofÏconfidential€information€of€the€former€client€in€violation€of€the€restrictions€these€Rules€and€otherÏlaw€place€on€disclosure.€€Substantial€risk€exists€where€one€could€reasonably€conclude€that€it€wouldÏmaterially€advance€the€clientððs€position€in€the€subsequent€matter€to€use€confidential€informationÏobtained€in€the€prior€representation.ÌÌà à[7]à àInquiries€concerning€the€existence,€exchange,€and€potential€for€use€of€suchÏconfidential€information€may€themselves€raise€concerns€and€difficulties.€€A€concern€to€protect€aÏformer€clientððs€confidential€information€would€be€self„defeating€if,€in€order€to€obtain€its€protection,Ïthe€former€client€were€required€to€reveal€in€a€public€proceeding€the€particular€communication€orÏother€confidential€information€that€could€be€used€in€the€subsequent€representation.€€On€the€otherÏhand,€closed€or€in€camera€proceedings€may€implicate€issues€of€fairness€to€other€parties.€€Further,€theÏinterests€of€subsequent€clients€also€militate€against€extensive€inquiry€into€the€precise€nature€of€theÏlawyerððs€representation€of€the€subsequent€client€and€the€nature€of€exchanges€between€them.ÌÌà à[8]à àThe€substantial€relationship€test€attempts€to€avoid€requiring€actual€disclosure€ofÏconfidential€information€by€focusing€upon€the€general€features€of€the€matters€involved€andÏinferences€as€to€the€likelihood€that€confidences€were€imparted€by€the€former€client€that€could€beÏused€to€adverse€effect€in€the€subsequent€representation.€€The€inquiry€into€the€issues€involved€in€theÏprior€representation€should€be€as€specific€as€possible€without€thereby€revealing€the€confidentialÏclient€information€itself€or€confidential€information€concerning€the€second€client.€€Nevertheless,€theÏsubsequent€clientððs€interest€in€selection€of€counsel€of€his€or€her€choice€requires€that€the€lawyer€beÏpermitted,€within€appropriate€limits,€to€defeat€any€presumption€or€inference€concerning€the€lawyerððsÏreceipt€or€exchange€of€confidential€information.ÌÌà à[9]à àFor€example,€a€lawyer€who€has€represented€a€business€person€and€learned€extensiveÏprivate€financial€information€about€that€person€may€not€then€represent€that€personððs€spouse€inÏseeking€a€divorce.€€Similarly,€a€lawyer€who€has€previously€represented€a€client€in€securingÏenvironmental€permits€to€build€a€shopping€center€would€be€precluded€from€representing€neighborsÏwho€sought€to€oppose€rezoning€of€the€property.€€However,€the€lawyer€could€defend€a€tenant€of€theÏcompleted€shopping€center€in€resisting€eviction€for€non„payment€of€rent,€as€no€substantialÏrelationship€exists€between€the€two€matters.ÌÌà à[10]à àInformation€that€might€be€confidential€for€some€purposes€under€these€Rules€(so€that,Ïfor€example,€a€lawyer€would€not€be€free€to€discuss€it€publicly)€might€nonetheless€be€so€general,Ïreadily€observable,€or€of€so€little€value€in€the€subsequent€litigation€that€it€should€not€by€itself€resultÏin€a€substantial€relationship€being€found.€€Thus,€a€lawyer€may€master€a€particular€substantive€area€ofÏthe€law€while€representing€a€client,€but€that€does€not€preclude€the€lawyer€from€later€representingÏanother€client€adversely€to€the€first€in€a€matter€involving€the€same€legal€issues,€if€the€facts€are€notÍsubstantially€related.€€A€lawyer€might€also€have€learned€a€former€clientððs€preferred€approach€toÏbargaining€in€settlement€discussions€or€negotiating€business€points€in€a€transaction,€willingness€orÏunwillingness€to€be€deposed€by€an€adversary,€or€financial€ability€to€withstand€extended€litigation€orÏcontract€negotiations.€€Only€when€such€information€will€be€directly€in€issue€or€of€unusual€value€inÏthe€subsequent€matter€will€it€be€independently€relevant€in€assessing€a€substantial€relationship.ÌÌà@ àò òLawyers€Moving€Between€Firmsó óÌÌà à[11]à àWhen€lawyers€have€been€associated€within€a€firm€but€then€end€their€association,€theÏquestion€of€whether€a€lawyer€should€undertake€representation€is€more€complicated.€€There€areÏseveral€competing€considerations.€€First,€the€client€previously€represented€by€the€former€firm€mustÏbe€reasonably€assured€that€the€principle€of€loyalty€to€the€client€is€not€compromised.€€Second,€theÏrule€should€not€be€so€broadly€cast€as€to€preclude€other€persons€from€having€reasonable€choice€ofÏlegal€counsel.€€Third,€the€rule€should€not€unreasonably€hamper€lawyers€from€forming€newÏassociations€and€taking€on€new€clients€after€having€left€a€previous€association.€€In€this€connection,€itÏshould€be€recognized€that€today€many€lawyers€practice€in€firms,€that€many€lawyers€to€some€degreeÏlimit€their€practice€to€one€field€or€another,€and€that€many€move€from€one€association€to€anotherÏseveral€times€in€their€careers.€€If€the€concept€of€imputation€were€applied€with€unqualified€rigor,€theÏresult€would€be€radical€curtailment€of€the€opportunity€of€lawyers€to€move€from€one€practice€settingÏto€another€and€of€the€opportunity€of€clients€to€change€counsel.ÌÌà à[12]à àParagraph€(b)€operates€to€disqualify€the€lawyer€only€when€the€lawyer€involved€hasÏactual€knowledge€of€information€protected€by€Ô_ÔRulesÔ_Ô€1.6€and€1.9(c).€€Thus,€if€a€lawyer€while€withÏone€firm€acquired€no€knowledge€or€information€relating€to€a€particular€client€of€the€firm,€and€thatÏlawyer€later€joined€another€firm,€neither€the€lawyer€individually€nor€the€second€firm€is€disqualifiedÏfrom€representing€another€client€in€the€same€or€a€related€matter€even€though€the€interests€of€the€twoÏclients€conflict.€€See€Ô_ÔRuleÔ_Ô€1.10(b)€for€the€restrictions€on€a€firm€once€a€lawyer€has€terminatedÏassociation€with€the€firm.ÌÌà à[13]à àApplication€of€paragraph€(b)€depends€on€a€situationððs€particular€facts,€aided€byÏinferences,€deductions,€or€working€presumptions€that€reasonably€may€be€made€about€the€way€inÏwhich€lawyers€work€together.€€A€lawyer€may€have€general€access€to€files€of€all€clients€of€a€law€firmÏand€may€regularly€participate€in€discussions€of€their€affairs;€if€so,€then€it€should€be€inferred€thatÏsuch€a€lawyer€is€privy€to€all€information€about€all€the€firmððs€clients.€€In€contrast,€another€lawyer€mayÏhave€access€to€the€files€of€only€a€limited€number€of€clients€and€participate€in€discussions€of€theÏaffairs€of€no€other€clients.€€Under€these€circumstances,€it€should€be€inferred,€in€the€absence€ofÏinformation€to€the€contrary,€that€such€a€lawyer€is€privy€to€information€about€the€clients€actuallyÏserved,€but€not€those€of€other€clients.€Ì€Ìà à[14]à àIndependent€of€the€question€of€disqualification€of€a€firm,€a€lawyer€changingÏprofessional€association€has€a€continuing€duty€to€preserve€confidentiality€of€information€about€aÏclient€formerly€represented.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€1.6€and€1.9(c).€ÌÌà@ àò òRelation€to€Other€RulesÌÌó óà à[15]à àExcept€in€situations€governed€by€Ô_ÔRuleÔ_Ô€1.11,€Ô_ÔRuleÔ_Ô€1.9€applies€in€all€circumstances€inÏwhich€a€lawyer€has€previously€represented€a€client€as€an€advocate,€an€advisor,€an€intermediary,€or€anÏauthor€of€a€legal€opinion€to€be€rendered€on€behalf€of€a€client€for€use€by€a€third€person.€€Except€asÏprovided€in€Ô_ÔRuleÔ_Ô€2.4,€Ô_ÔRuleÔ_Ô€1.9€does€not€apply€to€parties€being€served€by€a€lawyer€as€a€disputeÏresolution€neutral.€€If,€however,€the€lawyerððs€service€as€a€neutral€will€be€materially€adverse€to€aÍformer€client€and€the€dispute€is€substantially€related€to€the€former€representation,€the€lawyer€mustÏafford€the€former€client€the€protections€of€Ô_ÔRuleÔ_Ô€1.9ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowinglyðð€and€Knownðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Çò òÔ  Ôó óà@ àò òRule€1.10Ìó óà@ àò òIMPUTED€DISQUALIFICATION:€GENERAL€RULEó óÌÔ  ÔÌ(a)à àExcept€as€permitted€by€paragraph€(c),€while€lawyers€are€associated€in€a€firm,€none€of€themÏshall€knowingly€represent€a€client€when€any€one€of€them€practicing€alone€would€be€prohibited€fromÏdoing€so€by€Ô_ÔRulesÔ_Ô€1.7,€1.8(c),€1.9(a),€1.9(b),€or€2.2.ÌÌ(b)à àWhen€a€lawyer€has€terminated€an€association€with€a€firm,€the€firm€is€not€prohibited€fromÏthereafter€representing€a€person€with€interests€materially€adverse€to€those€of€a€client€represented€byÏthe€formerly€associated€lawyer€and€not€currently€represented€by€the€firm,€unless:ÌÌà0 à(1)à àthe€matter€is€the€same€or€substantially€related€to€that€in€which€the€formerlyÏassociated€lawyer€represented€the€client;€andÌà0 àÌà0 à(2)à àany€lawyer€remaining€in€the€firm€has€information€protected€by€Ô_ÔRulesÔ_Ô€1.6€and€1.9(c)Ïthat€is€material€to€the€matter.Ì€Ì(c)à àExcept€with€respect€to€paragraph€(d)€below,€if€a€lawyer€is€personally€disqualified€fromÏrepresenting€a€person€with€interests€adverse€to€a€client€of€a€law€firm€with€which€the€lawyer€wasÏformerly€associated,€other€lawyers€currently€associated€in€a€firm€with€the€personally€disqualifiedÏlawyer€may€nonetheless€represent€the€person€if€both€the€personally€disqualified€lawyer€and€theÏlawyers€who€will€represent€the€person€on€behalf€of€the€firm€act€reasonably€to:ÌÌà0 à(1)à àidentify€that€the€personally€disqualified€lawyer€is€prohibited€from€participating€in€theÏrepresentation€of€the€current€client;€andÌ€Ìà0 à(2)à àdetermine€that€no€lawyer€representing€the€current€client€has€acquired€anyÏinformation€from€the€personally€disqualified€lawyer€that€is€material€to€the€current€matter€andÏis€protected€by€Ô_ÔRuleÔ_Ô€1.9(c);€and€ÌÌà0 à(3)à àpromptly€implement€screening€procedures€to€effectively€prevent€the€flow€ofÏinformation€about€the€matter€between€the€personally€disqualified€lawyer€and€the€otherÏlawyers€in€the€firm;€andÌÌà0 à(4)à àadvise€the€former€client€in€writing€of€the€circumstances€that€warranted€theÏimplementation€of€the€screening€procedures€required€by€this€Rule€and€of€the€actions€thatÏhave€been€taken€to€comply€with€this€Rule.€ÌÌ(d)Ôg ÔÔf  ÔÔg Ôà àThe€procedures€set€forth€in€paragraph€(c)€may€not€be€used€to€avoid€imputed€disqualificationÏof€the€firm,€if€ÌÌà0 à(1)à àthe€disqualified€lawyer€was€substantially€involved€in€the€representation€of€a€formerÏclient;€andÌÌà0 à(2)à àthe€lawyerððs€representation€of€the€former€client€was€in€connection€with€anÏadjudicative€proceeding€that€is€directly€adverse€to€the€interests€of€a€current€client€of€the€firm;Ïand€ÌÌà0 à(3)à àthe€proceeding€between€the€firmððs€current€client€and€the€lawyerððs€former€client€isÏstill€pending€at€the€time€the€lawyer€changes€firms.ÌÌ(e)à àA€disqualification€prescribed€by€this€Rule€may€be€waived€by€the€affected€client€or€formerÏclient€under€the€conditions€stated€in€Ô_ÔRuleÔ_Ô€1.7.ÌÌÓ  Óò òCOMMENTSó óÌÓ  ÓÌà@ àò òDefinition€of€ð ðFirmððó óÌÌà à[1]à àFor€purposes€of€the€Rules€of€Professional€Conduct,€the€term€ð ðfirmðð€includesÏlawyers€in€a€private€firm,€and€lawyers€in€the€legal€department€of€a€corporation€or€other€organization,Ïor€in€a€legal€services€organization.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)€(defining€ð ðFirmðð€or€ð ðLaw€Firmðð).€€WhetherÏtwo€or€more€lawyers€constitute€a€firm€within€this€definition€can€depend€on€the€specific€facts.€€ForÏexample,€two€practitioners€who€share€office€space€and€occasionally€consult€or€assist€each€otherÏordinarily€would€not€be€regarded€as€constituting€a€firm.€€However,€if€they€present€themselves€to€theÏpublic€in€a€way€suggesting€that€they€are€a€firm€or€conduct€themselves€as€a€firm,€they€should€beÏregarded€as€a€firm€for€the€purposes€of€the€Rules.€€The€terms€of€any€formal€agreement€betweenÏassociated€lawyers€are€relevant€in€determining€whether€they€are€a€firm,€as€is€the€fact€that€they€haveÏmutual€access€to€information€concerning€the€clients€they€serve.€€Furthermore,€it€is€relevant€inÏdoubtful€cases€to€consider€the€underlying€purpose€of€the€Rule€that€is€involved.€€A€group€of€lawyersÏcould€be€regarded€as€a€firm€for€purposes€of€the€rule€that€the€same€lawyer€should€not€representÏopposing€parties€in€litigation,€while€it€might€not€be€so€regarded€for€purposes€of€the€rule€thatÏinformation€acquired€by€one€lawyer€is€attributed€to€the€other.ÌÌà à[2]à àWith€respect€to€the€law€department€of€an€organization,€there€is€ordinarily€noÏquestion€that€the€members€of€the€department€constitute€a€firm€within€the€meaning€of€the€Rules€ofÏProfessional€Conduct.€€However,€there€can€be€uncertainty€as€to€the€identity€of€the€client.€€ForÏexample,€it€may€not€be€clear€whether€the€law€department€of€a€corporation€represents€a€subsidiary€orÏan€affiliated€corporation,€as€well€as€the€corporation€by€which€the€members€of€the€department€areÏdirectly€employed.€€A€similar€question€can€arise€concerning€an€unincorporated€association€and€itsÏlocal€affiliates.ÌÌà à[3]à àSimilar€questions€can€also€arise€with€respect€to€lawyers€in€legal€servicesÏorganizations.€€Lawyers€employed€in€the€same€unit€of€a€legal€service€organization€constitute€a€firm,Ïbut€not€necessarily€those€employed€in€separate€units.€€As€in€the€case€of€independent€practitioners,Ïwhether€the€lawyers€should€be€treated€as€associated€with€each€other€can€depend€on€the€particularÏrule€that€is€involved€and€on€the€specific€facts€of€the€situation.Ì€Ìà@ àò òPrinciples€of€Imputed€Disqualificationó óÌÌà à[4]à àThe€rule€of€imputed€disqualification€stated€in€paragraph€(a)€recognizes€theÏcommunity€of€interest€and€shared€loyalty€presumed€to€exist€among€lawyers€who€are€associated€in€aÏlaw€firm.€€Paragraph€(a)€operates€only€among€the€lawyers€currently€associated€in€a€firm.€€When€aÏlawyer€moves€from€one€firm€to€another,€the€situation€is€governed€by€paragraphs€(b),€(c),€and€(d).Ìò òÌó óà@ àò òLawyers€Moving€Between€Firmsó óÌÌà à[5]à àWhen€a€lawyer€who€is€associated€in€a€firm€leaves€the€firm,€the€question€of€whether€aÏlawyer€should€undertake€representation€adverse€to€clients€of€the€former€firm€is€more€complicated.€ÏThere€are€several€competing€considerations.€€First,€the€client€previously€represented€by€the€formerÏfirm€must€be€reasonably€assured€that€the€principle€of€loyalty€to€the€client€is€not€compromised€andÏthat€confidential€information€related€to€the€representation€will€not€be€used€to€the€clientððsÏdisadvantage.€€Second,€the€rule€should€not€be€cast€so€broadly€as€to€preclude€other€persons€fromÍhaving€reasonable€choice€of€legal€counsel.€€Third,€the€rule€should€not€unreasonably€hamper€lawyersÏfrom€forming€new€associations€and€taking€on€new€clients€after€having€left€a€previous€association.€ÏIn€this€connection,€it€should€be€recognized€that€today€many€lawyers€practice€in€firms,€that€manyÏlawyers€to€some€degree€limit€their€practice€to€one€field€or€another,€and€that€many€move€from€oneÏassociation€to€another€several€times€in€their€careers.€€If€the€concept€of€imputation€were€applied€withÏunqualified€rigor,€the€result€would€be€radical€curtailment€of€the€opportunity€of€lawyers€to€move€fromÏone€practice€setting€to€another€and€of€the€opportunity€of€clients€to€change€counsel.ÌÌÔg Ôà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô6Ôf  ÔÔg Ô]à àParagraphs€(a)€and€(b)€govern€the€vicarious€disqualification€of€a€law€firm€in€theÏsituation€in€which€a€lawyer€leaves€the€firm€and€continues€or€undertakes€the€representation€of€a€clientÏpreviously€represented€by€the€firm,€the€firm€is€no€longer€representing€the€client,€and€lawyers€whoÏhave€remained€in€the€firm€are€asked€to€undertake€a€representation€materially€adverse€to€the€firmððsÏformer€client.€€If€the€new€matter€is€substantially€related€to€a€matter€in€which€the€firm€previouslyÏrepresented€the€client,€the€firm,€absent€the€former€clientððs€consent,€will€be€precluded€by€paragraphÏ(a)€from€undertaking€the€representation€if€any€lawyer€remaining€in€the€firm€would€be€precluded€byÏÔ_ÔRuleÔ_Ô€1.9(a)€from€doing€so€because€the€lawyer€had€participated€in€the€clientððs€prior€representation.€ÏAlternatively,€paragraph€(b)€precludes€the€firm€from€undertaking€the€representation€if€any€lawyerÏremaining€in€the€firm€has€information€protected€by€Ô_ÔRulesÔ_Ô€1.6€and€1.9(c)€that€is€material€to€theÏmatter.€€If,€on€the€other€hand,€no€remaining€lawyer€participated€in€the€clientððs€representation€orÏpossessed€confidential€information,€the€firm€is€permitted€to€undertake€the€representation€evenÏthough€it€is€materially€adverse€to€the€former€client€in€a€substantially€related€matter.€ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô7Ôf  ÔÔg Ô]à àParagraph€(c)€addresses€the€situation€in€which€a€lawyer€leaves€one€law€firm€andÏjoins€another€firm€that€is€representing€a€client€with€interests€materially€adverse€to€a€client€of€the€newÏlawyerððs€former€firm.€€The€new€lawyer€may€be€personally€disqualified€from€participating€in€theÏrepresentation€of€some€of€the€new€firmððs€clients€because€of€his€prior€representation€of,€orÏacquisition€of€confidential€information€about,€clients€of€his€or€her€former€law€firm.€€With€oneÏlimited€exception€discussed€in€paragraph€(d),€this€personal€disqualification€will€not€be€imputed€toÏother€lawyers€in€the€personally€disqualified€lawyerððs€new€firm€if€they€act€reasonably€to€protect€theÏconfidentiality€interests€of€the€person€being€represented€by€the€personally€disqualified€lawyerððsÏformer€firm.€€ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô8Ôf  ÔÔg Ô]à àParagraph€(c)€sets€forth€the€measures€that€must€be€taken€in€to€order€protect€theÏconfidentiality€interests€of€the€client€being€represented€by€the€personally€disqualified€lawyerððsÏformer€firm.€€Whether€a€firmððs€screening€procedures€are€effective€to€prevent€the€flow€ofÏinformation€about€the€matter€between€the€personally€disqualified€lawyer€and€the€other€lawyers€in€theÏfirm€is€a€question€of€fact.€€Factors€to€be€considered€include€a€written€affirmation€by€the€personallyÏdisqualified€lawyer€and€the€lawyers€and€firm€personnel€handling€the€matter€in€question€that€they€areÏaware€of€and€will€abide€by€the€screening€procedures€implemented€by€the€firm;€the€structuralÏorganization€of€the€law€firm€or€office;€the€likelihood€of€contact€between€the€personally€disqualifiedÏlawyer€and€the€lawyers€handling€the€matter€in€question;€and€the€existence€of€firm€rules€and€a€filingÏsystem€that€prevents€unauthorized€access€to€files€with€respect€to€the€matter€in€question.€€AlthoughÏthis€Rule€does€not€require€that€the€personally€disqualified€lawyer€be€prohibited€from€sharing€in€anyÏfee€generated€by€the€representation€in€question,€such€a€prohibition€can€be€considered€in€determiningÏthe€effectiveness€of€the€screening€procedures€employed€by€the€firm.€€The€question€to€be€asked€inÏeach€case€is€whether€the€screening€mechanism€effectively€reduces€to€an€acceptable€level€the€potentialÏfor€misuse€of€information€related€to€the€representation€of€the€personally€disqualified€lawyerððsÏformer€client.ÌÌà à[9]à àParagraph€(d)€restates€the€rule€of€law€established€by€òòClinard€v.€Blackwoodóó,€46ÏS.W.3d€177€(Tenn.€2001).€€In€that€case,€the€Tennessee€Supreme€Court€held€that€screeningÍmechanisms€were€generally€not€effective€to€avoid€imputed€disqualification€of€a€law€firm€when€aÏlawyer€was€perceived€as€ð ðswitching€teamsðð€in€the€course€of€pending€litigation.€€Although€theÏholding€of€òòClinardóó€was€grounded€in€the€prior€standard€from€the€Code€of€ProfessionalÏResponsibility€guarding€against€the€ð ðappearance€of€impropriety,ðð€òòseeóó€Canon€9,€EC€9„6,€the€CourtÏalso€noted€that€its€holding€was€necessary€to€further€lawyer„client€communications€and€to€avoid€theÏimpression€that€the€judiciary€favors€considerations€of€lawyer€mobility€over€those€of€clientÏconfidentiality.€€Consequently,€the€òòClinardóó€rule€continues€under€the€present€Rules.€€As€was€the€caseÏin€òòClinardóó,€this€narrow€exception€to€paragraph€(c)€will€vicariously€disqualify€the€law€firm€only€whenÏthe€interests€of€a€client€of€that€firm€are€presently€and€directly€adverse€with€those€of€a€person€whoÏwas€formerly€represented€in€substantial€part€by€the€disqualified€lawyer.ÌÌà à[10Ôf  ÔÔg Ô]à àWhere€a€lawyer€has€joined€a€private€firm€after€having€represented€the€government,Ïthe€situation€is€governed€by€Ô_ÔRuleÔ_Ô€1.11(a)€and€(b).€€Where€a€lawyer€represents€the€government€afterÏhaving€served€private€clients,€the€situation€is€governed€by€Ô_ÔRuleÔ_Ô€1.11(c)(1).€€The€individual€lawyerÏinvolved€is€bound€by€the€Rules€generally,€including€Ô_ÔRulesÔ_Ô€1.6,€1.7,€and€1.9(c).ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€1.11Ìó óà@ àò òSUCCESSIVE€GOVERNMENT€AND€PRIVATE€EMPLOYMENTó óÌÔ  ÔÌ(a)à àExcept€as€law€may€otherwise€expressly€permit,€a€lawyer€shall€not€represent€a€private€client€inÏconnection€with€a€matter€in€which€the€lawyer€participated€personally€and€substantially€as€a€publicÏofficer€or€employee,€unless€the€appropriate€government€agency€consents€in€writing€afterÏconsultation.€€No€lawyer€in€a€firm€with€which€that€lawyer€is€associated€may€knowingly€undertake€orÏcontinue€representation€in€such€a€matter€unless€both€the€personally€disqualified€lawyer€and€theÏlawyers€who€are€representing€the€client€in€the€matter€act€reasonably€to:ÌÌà0 à(1)à àascertain€that€the€personally€disqualified€lawyer€is€prohibited€from€participating€inÏthe€representation€of€the€current€client;€andÌÌà0 à(2)à àdetermine€that€no€lawyer€representing€the€client€has€acquired€any€materialÏconfidential€government€information€relating€to€the€matter;€andÌÌà0 à(3)à àpromptly€implement€screening€procedures€to€effectively€prevent€the€flow€ofÏinformation€about€the€matter€between€the€personally€disqualified€lawyer€and€other€lawyersÏin€the€firm;€andÌÌà0 à(4)à àadvise€the€government€agency€in€writing€of€the€circumstances€that€warranted€theÏutilization€of€the€screening€procedures€required€by€this€Rule€and€the€actions€that€have€beenÏtaken€to€comply€with€this€Rule.ÌÌ(b)à àExcept€as€is€otherwise€expressly€permitted€by€law,€a€lawyer€who€has€acquired€knownÏconfidential€government€information€about€a€person€when€the€lawyer€was€a€public€officer€orÏemployee€may€not€represent€a€private€client€whose€interests€are€adverse€to€that€person€in€a€matter€inÏwhich€the€information€could€be€used€to€the€material€disadvantage€of€that€person.€€A€firm€with€whichÏthat€lawyer€is€associated€may€undertake€or€continue€representation€in€the€matter€only€if€both€theÏpersonally€disqualified€lawyer€and€the€lawyers€who€are€representing€the€client€in€the€matter€complyÏwith€the€requirements€set€forth€in€paragraph€(a).ÌÌ(c)à àExcept€as€law€may€otherwise€expressly€permit,€a€lawyer€serving€as€a€public€officer€orÏemployee€shall€not:ÌÌà0 à(1)à àparticipate€in€a€matter€in€which€the€lawyer€participated€personally€and€substantiallyÏwhile€in€private€practice€or€nongovernmental€employment,€unless€under€applicable€law€noÏone€is,€or€by€lawful€delegation€may€be,€authorized€to€act€in€the€lawyerððs€stead€in€the€matter;ÏorÌà0 àÌà0 à(2)à ànegotiate€for€private€employment€with€any€person€who€is€involved€as€a€party€or€asÏlawyer€for€a€party€in€a€matter€in€which€the€lawyer€is€participating€personally€andÏsubstantially,€except€that€a€lawyer€serving€as€a€staff€attorney€to€a€court€or€as€a€law€clerk€to€aÏjudge€or€other€adjudicative€officer€or€arbitrator€may€negotiate€for€private€employment€asÏpermitted€by€Ô_ÔRuleÔ_Ô€1.12(b)€and€subject€to€the€conditions€stated€in€Ô_ÔRuleÔ_Ô€1.12(b).ÌÌ(d)à àAs€used€in€this€Rule,€the€term€ð ðmatterðð€includes:ÌÌà0 à(1)à àany€judicial€or€other€proceeding,€application,€request€for€a€ruling€or€otherÏdetermination,€contract,€claim,€controversy,€investigation,€charge,€accusation,€arrest,€or€otherÏparticular€matter€involving€a€specific€party€or€parties;€andÌà0 àÌà0 à(2)à àany€other€matter€covered€by€the€conflict€of€interest€rules€of€the€appropriateÏgovernment€agency.ÌÌ(e)à àAs€used€in€this€Rule,€the€term€ð ðconfidential€government€informationðð€means€informationÌÌà0 à(1)à àthat€has€been€obtained€under€governmental€authority;€and€ÌÌà0 à(2)€à àthat,€at€the€time€this€Rule€is€applied,€the€government€either€is€prohibited€by€law€fromÏdisclosing€to€the€public€or€has€a€legal€privilege€not€to€disclose;€and€ÌÌà0 à(3)à àthat€is€not€otherwise€available€to€the€public.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€prevents€a€lawyer€from€exploiting€public€office€for€the€advantage€of€aÏprivate€client.ÌÌà à[2]à àA€lawyer€representing€a€government€agency,€whether€employed€or€specially€retainedÏby€the€government,€is€subject€to€the€Rules€of€Professional€Conduct,€including€the€prohibitionÏagainst€representing€adverse€interests€stated€in€Ô_ÔRuleÔ_Ô€1.7€and€the€protections€afforded€former€clientsÏin€Ô_ÔRuleÔ_Ô€1.9.€€In€addition,€such€a€lawyer€is€subject€to€Ô_ÔRuleÔ_Ô€1.11€and€to€statutes€and€governmentÏregulations€regarding€conflict€of€interest.€€Such€statutes€and€regulations€may€circumscribe€the€extentÏto€which€the€government€agency€may€give€consent€under€this€Rule.ÌÌà à[3]à àWhere€the€successive€clients€are€a€public€agency€and€a€private€client,€the€risk€existsÏthat€power€or€discretion€vested€in€public€authority€might€be€used€for€the€special€benefit€of€a€privateÏclient.€€A€lawyer€should€not€be€in€a€position€where€benefit€to€a€private€client€might€affectÏperformance€of€the€lawyerððs€professional€functions€on€behalf€of€public€authority.€€Also,€unfairÏadvantage€could€accrue€to€the€private€client€by€reason€of€access€to€confidential€governmentÏinformation€about€the€clientððs€adversary€obtainable€only€through€the€lawyerððs€government€service.€ÏHowever,€the€rules€governing€lawyers€presently€or€formerly€employed€by€a€government€agencyÏshould€not€be€so€restrictive€as€to€inhibit€transfer€of€employment€to€and€from€the€government.€€TheÏgovernment€has€a€legitimate€need€to€attract€qualified€lawyers€as€well€as€to€maintain€high€ethicalÏstandards.€€The€provisions€for€screening€and€waiver€are€necessary€to€prevent€the€disqualificationÏrule€from€imposing€too€severe€a€deterrent€against€entering€public€service.ÌÌà à[4]à àWhen€the€client€is€an€agency€of€one€government,€that€agency€should€be€treated€as€aÏprivate€client€for€purposes€of€this€Rule€if€the€lawyer€thereafter€represents€an€agency€of€anotherÏgovernment,€as€when€a€lawyer€represents€a€city€and€subsequently€is€employed€by€a€federal€agency.ÌÌà à[5]à àParagraph€(a)(2)€does€not€require€that€a€lawyer€give€notice€to€the€government€agencyÏat€a€time€when€premature€disclosure€would€injure€the€client;€a€requirement€for€premature€disclosureÏmight€preclude€engagement€of€the€lawyer.€€Such€notice€is,€however,€required€to€be€given€as€soon€asÏpracticable€in€order€that€the€government€agency€will€have€a€reasonable€opportunity€to€ascertain€thatÏthe€lawyer€is€complying€with€Ô_ÔRuleÔ_Ô€1.11€and€to€take€appropriate€action€if€it€believes€the€lawyer€is€notÏcomplying.ÌÌà à[6]à àParagraph€(b)€operates€only€when€the€lawyer€in€question€has€actual€knowledge€ofÏthe€information;€it€does€not€operate€with€respect€to€information€that€merely€could€be€imputed€to€theÏlawyer.ÌÌà à[7]à àParagraphs€(a)€and€(c)€do€not€prohibit€a€lawyer€from€jointly€representing€a€privateÏparty€and€a€government€agency€when€doing€so€is€permitted€by€Ô_ÔRuleÔ_Ô€1.7€and€is€not€otherwiseÏprohibited€by€law.€€ÌÌà à[8]à àParagraph€(c)€does€not€disqualify€other€lawyers€in€the€agency€with€which€the€lawyerÏin€question€has€become€associated.ÌÌà à[9]à àIn€the€absence€of€other€law€to€the€contrary,€a€government€official€or€entity,€like€anyÏother€client,€may€waive€a€conflict€of€interest€under€this€Rule.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)€€Ìð ðKnowinglyðð€and€ð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Çò òÔ  Ôó óà@ àò òRule€1.12Ìó óà@ àò òFORMER€JUDGE€OR€ARBITRATORÌó óÔ  ÔÌ(a)à àExcept€as€stated€in€paragraph€(d),€a€lawyer€shall€not€represent€anyone€in€connection€with€aÏmatter€in€which€the€lawyer€participated€personally€and€substantially€as€a€judge€or€other€adjudicativeÏofficer,€or€as€an€arbitrator€or€law€clerk€to€such€a€person,€unless€all€parties€to€the€proceeding€consentÏafter€consultation,€in€a€writing€or€writings€signed€by€all€parties.ÌÌ(b)à àA€lawyer€shall€not€negotiate€for€employment€with€any€person€who€is€involved€as€a€party€orÏas€lawyer€for€a€party€in€a€matter€in€which€the€lawyer€is€participating€personally€and€substantially€asÏa€judge€or€other€adjudicative€officer€or€as€an€arbitrator.€€A€lawyer€serving€as€a€staff€attorney€to€aÏcourt€or€as€a€law€clerk€to€a€judge€or€other€adjudicative€officer€or€arbitrator€may€negotiate€forÏemployment€with€a€party€or€lawyer€involved€in€a€matter€in€which€the€lawyer€is€participatingÏpersonally€and€substantially,€but€only€after€the€lawyer€has€notified€the€judge,€other€adjudicativeÏofficer€or€arbitrator.ÌÌ(c)à àIf€a€lawyer€is€disqualified€by€paragraph€(a),€no€lawyer€in€a€firm€with€which€that€lawyer€isÏassociated€may€knowingly€undertake€or€continue€representation€in€the€matter€unless€both€theÏdisqualified€lawyer€and€the€lawyers€representing€the€client€in€the€matter€have€complied€with€theÏrequirements€set€forth€in€Ô_ÔRuleÔ_Ô€1.11(a)(1),€(a)(2),€and€(a)(3)€and€have€advised€the€appropriateÏtribunal€in€writing€of€the€circumstances€that€warranted€the€utilization€of€the€screening€proceduresÏrequired€by€this€Rule€and€the€actions€that€have€been€taken€to€comply€with€this€Rule.ÌÌ(d)à àAn€arbitrator€selected€as€a€partisan€of€a€party€in€a€multimember€arbitration€panel€is€notÏprohibited€from€subsequently€representing€that€party.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€generally€parallels€Ô_ÔRuleÔ_Ô€1.11.€€The€term€ð ðpersonally€and€substantiallyððÏsignifies€that€a€judge€who€was€a€member€of€a€multi„member€court€and€thereafter€left€judicial€officeÏto€practice€law,€is€not€prohibited€from€representing€a€client€in€a€matter€pending€in€the€court,€but€inÏwhich€the€former€judge€did€not€participate.€€So€also€the€fact€that€a€former€judge€exercisedÏadministrative€responsibility€in€a€court€does€not€prevent€the€former€judge€from€acting€as€a€lawyer€inÏa€matter€where€the€judge€had€previously€exercised€remote€or€incidental€administrative€responsibilityÏthat€did€not€affect€the€merits.€€Compare€the€Comment€to€Ô_ÔRuleÔ_Ô€1.11.€€The€term€ð ðadjudicativeÏofficerðð€includes€such€officials€as€judges€pro€tempore,€referees,€special€masters,€hearing€officersÏand€other€parajudicial€officers,€and€also€lawyers€who€serve€as€part„time€judges.€ÌÌà à[2]à àThe€provisions€of€Tennessee€Supreme€Court€Rule€10€concerning€the€Application€ofÏthe€Code€of€Judicial€Conduct€provide€that€a€part„time€judge,€judge€pro€tempore,€or€retired€judgeÏrecalled€to€active€service€may€not€ð ðact€as€a€lawyer€in€any€proceeding€in€which€the€judge€has€servedÏas€a€judge€or€in€any€other€proceeding€related€thereto.ðð€€Although€phrased€differently€from€thisÏRule,€those€rules€correspond€in€meaning.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowinglyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)€Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)ò òÇÔ  Ôà@ àRule€1.13Ìà@ àORGANIZATIONAL€CLIENTSó óÌÔ  ÔÌ(a)à àA€lawyer€employed€or€retained€by€an€organization€represents€the€organization€actingÏthrough€its€duly€authorized€constituents.ÌÌ(b)à àIf€a€lawyer€for€an€organization€knows€that€an€officer,€employee€or€other€person€associatedÏwith€the€organization€has€engaged€or€is€engaged€in€action,€has€refused€or€refuses€to€act,€or€intendsÏto€act€or€refrain€from€acting€in€a€matter€related€to€the€representation€that€is€or€will€be€a€violation€of€aÏlegal€obligation€to€the€organization,€or€a€violation€of€law€that€reasonably€might€be€imputed€to€theÏorganization,€and€is€likely€to€result€in€substantial€injury€to€the€organization,€the€lawyer€shall€proceedÏas€is€reasonably€necessary€in€the€best€interest€of€the€organization.€€In€determining€how€to€proceed,Ïthe€lawyer€shall€give€due€consideration€to€the€seriousness€of€the€violation€and€its€consequences,€theÏscope€and€nature€of€the€lawyerððs€representation,€the€responsibility€in€the€organization€and€theÏapparent€motivation€of€the€person€involved,€the€policies€of€the€organization€concerning€such€matters,Ïand€any€other€relevant€considerations.€€Any€measures€taken€shall€be€designed€to€minimizeÏdisruption€of€the€organization€and€the€risk€of€revealing€information€relating€to€the€representation€toÏpersons€outside€the€organization.€€Such€measures€may€include€among€others:€ÌÌà0 à(1)à àasking€reconsideration€of€the€matter;Ìà0 àÌà0 à(2)à àadvising€that€a€separate€legal€opinion€on€the€matter€be€sought€for€presentation€toÏappropriate€authority€in€the€organization;€andÌà0 àÌà0 à(3)à àreferring€the€matter€to€higher€authority€in€the€organization,€including,€if€warranted€byÏthe€seriousness€of€the€matter,€referral€to€the€highest€authority€that€can€act€on€behalf€of€theÏorganization€as€determined€by€applicable€law.Ì€Ì(c)à àIf,€despite€the€lawyerððs€efforts€in€accordance€with€paragraph€(b),€the€highest€authority€thatÏcan€act€on€behalf€of€the€organization€insists€upon€action,€or€a€refusal€to€act,€that€is€clearly€a€violationÏof€law€and€is€likely€to€result€in€substantial€injury€to€the€organization,€the€lawyer€may€withdraw€inÏaccordance€with€Ô_ÔRuleÔ_Ô€1.16€and€may€make€such€disclosures€of€information€relating€to€theÏorganizationððs€representation€only€to€the€extent€permitted€to€do€so€by€Ô_ÔRulesÔ_Ô€1.6€and€4.1.€€ÌÌ(d)à àIn€dealing€with€an€organizationððs€directors,€officers,€employees,€members,€shareholders€orÏother€constituents,€a€lawyer€shall€explain€the€identity€of€the€client€when€it€is€or€becomes€apparentÏthat€the€organizationððs€interests€are€adverse€to€those€of€the€constituents€with€whom€the€lawyer€isÏdealing.ÌÌ(e)à àA€lawyer€representing€an€organization€may€also€represent€any€of€its€directors,€officers,Ïemployees,€members,€shareholders,€or€other€constituents,€subject€to€the€provisions€of€Ô_ÔRulesÔ_Ô€1.7€andÏ2.2.€€If€the€organizationððs€consent€to€the€dual€representation€is€required€by€Ô_ÔRuleÔ_Ô€1.7€or€Ô_ÔRuleÔ_Ô€2.2,€theÏconsent€shall€be€given€either€by€an€appropriate€official€of€the€organization€other€than€the€individualÏwho€is€to€be€represented€or€by€the€shareholders.ÌÌà@ àò òCOMMENTSÌó óÌà@ àò òThe€Entity€as€the€Clientó óÌÌà à[1]à àAn€organizational€client€is€a€legal€entity,€but€it€cannot€act€except€through€its€officers,Ïdirectors,€employees,€shareholders,€and€other€constituents.€€Officers,€directors,€employees,€andÍshareholders€are€the€constituents€of€the€corporate€organizational€client.€€The€duties€defined€in€thisÏComment€apply€equally€to€unincorporated€associations.€€ð ðOther€constituentsðð€as€used€in€thisÏComment€means€the€positions€equivalent€to€officers,€directors,€employees,€and€shareholders€held€byÏpersons€acting€for€organizational€clients€that€are€not€corporations.ÌÌà à[2]à àWhen€one€of€the€constituents€of€an€organizational€client€communicates€with€theÏorganizationððs€lawyer€in€that€constituentððs€organizational€capacity,€the€communication€is€protectedÏby€Ô_ÔRuleÔ_Ô€1.6.€€Thus,€by€way€of€example,€if€an€organizational€client€requests€its€lawyer€to€investigateÏallegations€of€wrongdoing,€interviews€made€in€the€course€of€that€investigation€between€the€lawyerÏand€the€clientððs€employees€or€other€constituents€are€covered€by€Ô_ÔRuleÔ_Ô€1.6.€€This€does€not€mean,Ïhowever,€that€constituents€of€an€organizational€client€are€the€clients€of€the€lawyer.€€The€lawyer€mayÏnot€disclose€to€such€constituents€information€relating€to€the€representation€except€for€disclosuresÏexplicitly€or€impliedly€authorized€by€the€organizational€client€in€order€to€carry€out€the€representationÏor€as€otherwise€permitted€by€Ô_ÔRuleÔ_Ô€1.6.ÌÌà à[3]à àWhen€constituents€of€the€organization€make€decisions€for€it,€the€decisions€ordinarilyÏmust€be€accepted€by€the€lawyer€even€if€their€utility€or€prudence€is€doubtful.€€Decisions€concerningÏpolicy€and€operations,€including€ones€entailing€serious€risk,€are€not€as€such€in€the€lawyerððsÏprovince.€€However,€different€considerations€arise€when€the€lawyer€knows€that€the€organization€mayÏbe€substantially€injured€by€action€of€a€constituent€that€is€in€violation€of€law.€€In€such€a€circumstance,Ïit€may€be€reasonably€necessary€for€the€lawyer€to€ask€the€constituent€to€reconsider€the€matter.€€If€thatÏfails,€or€if€the€matter€is€of€sufficient€seriousness€and€importance€to€the€organization,€it€may€beÏreasonably€necessary€for€the€lawyer€to€take€steps€to€have€the€matter€reviewed€by€a€higher€authorityÏin€the€organization.€€Clear€justification€should€exist€for€seeking€review€over€the€head€of€theÏconstituent€normally€responsible€for€it.€€The€stated€policy€of€the€organization€may€defineÏcircumstances€and€prescribe€channels€for€such€review,€and€a€lawyer€should€encourage€theÏformulation€of€such€a€policy.€€Even€in€the€absence€of€organization€policy,€however,€the€lawyer€mayÏhave€an€obligation€to€refer€a€matter€to€higher€authority,€depending€on€the€seriousness€of€the€matterÏand€whether€the€constituent€in€question€has€apparent€motives€to€act€at€variance€with€theÏorganizationððs€interest.€€Review€by€the€chief€executive€officer€or€by€the€board€of€directors€may€beÏrequired€when€the€matter€is€of€importance€commensurate€with€their€authority.€€At€some€point€it€mayÏbe€useful€or€essential€to€obtain€an€independent€legal€opinion.ÌÌà à[4]à àIn€an€extreme€case,€it€may€be€reasonably€necessary€for€the€lawyer€to€refer€the€matterÏto€the€organizationððs€highest€authority.€€Ordinarily,€that€is€the€board€of€directors€or€similarÏgoverning€body.€€However,€applicable€law€may€prescribe€that€under€certain€conditions€highestÏauthority€reposes€elsewhere;€for€example,€in€the€independent€directors€of€a€corporation.ÌÌà@ àò òRelation€to€Other€Rulesó óÌÌà à[5]à àThe€authority€and€responsibility€provided€in€paragraph€(b)€are€concurrent€with€theÏauthority€and€responsibility€provided€in€other€Rules.€€In€particular,€this€Rule€does€not€limit€orÏexpand€the€lawyerððs€responsibility€under€Ô_ÔRulesÔ_Ô€1.6,€1.8,€1.16,€3.3,€or€4.1.€€If€the€lawyerððs€servicesÏare€being€used€by€an€organization€to€further€a€crime€or€fraud€by€the€organization,€Ô_ÔRuleÔ_Ô€1.2(d)€can€beÏapplicable.€€The€lawyerððs€right€to€withdraw€from€the€representation€of€an€organizational€client€in€theÏcircumstances€specified€in€paragraph€(c)€is€in€addition€to€the€right€to€withdraw€in€the€variousÏcircumstances€specified€in€Ô_ÔRuleÔ_Ô€1.16(b).Ìò òÌó óà@ àò òGovernment€Agencyó óÌÌà à[6]à àThe€duties€defined€in€this€Rule€applies€to€governmental€organizations.€€However,Ïwhen€the€client€is€a€governmental€organization,€a€different€balance€may€be€appropriate€betweenÏmaintaining€confidentiality€and€assuring€that€the€wrongful€official€act€is€prevented€or€rectified,€forÏpublic€business€is€involved.€€In€addition,€duties€of€lawyers€employed€by€the€government€or€lawyersÏin€military€service€may€be€defined€by€statutes€and€regulations.€€Therefore,€defining€precisely€theÏidentity€of€the€client€and€prescribing€the€resulting€obligations€of€such€lawyers€may€be€more€difficultÏin€the€government€context.€€Although€in€some€circumstances€the€client€may€be€a€specific€agency,€itÏis€generally€the€government€as€a€whole.€€For€example,€if€the€action€or€failure€to€act€involves€the€headÏof€a€bureau,€either€the€department€of€which€the€bureau€is€a€part,€or€the€government€as€a€whole,€mayÏbe€the€client€for€purposes€of€this€Rule.€€Moreover,€in€a€matter€involving€the€conduct€of€governmentÏofficials,€a€government€lawyer€may€have€authority€to€question€such€conduct€more€extensively€thanÏthat€of€a€lawyer€for€a€private€organization€in€similar€circumstances.€€This€Rule€does€not€limit€thatÏauthority.€€òòSeeóó€Scope€Paragraph€[4].ÌÌà@ àò òClarifying€the€Lawyerððs€Roleó óÌÌà à[7]à àThere€are€times€when€the€organizationððs€interest€may€be€or€become€adverse€to€thoseÏof€one€or€more€of€its€constituents.€€In€such€circumstances€the€lawyer€should€advise€any€constituentÏwhose€interest€the€lawyer€finds€adverse€to€that€of€the€organization€of€the€conflict€or€potential€conflictÏof€interest€that€the€lawyer€cannot€represent€such€constituent€and€that€the€constituent€may€wish€toÏobtain€independent€representation.€€Care€must€be€taken€to€assure€that€the€individual€understandsÏthat,€when€there€is€such€adversity€of€interest,€the€lawyer€for€the€organization€cannot€provide€legalÏrepresentation€for€that€constituent€individual€and€that€discussions€between€the€lawyer€for€theÏorganization€and€the€individual€may€not€be€privileged.ÌÌà à[8]à àWhether€such€a€warning€should€be€given€by€the€lawyer€for€the€organization€to€anyÏconstituent€individual€may€turn€on€the€facts€of€each€case.ÌÌà@ àò òDual€Representationó óÌÌà à[9]à àParagraph€(e)€recognizes€that€a€lawyer€for€an€organization€may€also€represent€aÏprincipal€officer€or€major€shareholder.ÌÌà@ àò òDerivative€Actionsó óÌÌà à[10]à àUnder€generally€prevailing€law,€the€shareholders€or€members€of€a€corporation€mayÏbring€suit€to€compel€the€directors€to€perform€their€legal€obligations€in€the€supervision€of€theÏorganization.€€Members€of€unincorporated€associations€have€essentially€the€same€right.€€Such€anÏaction€may€be€brought€nominally€by€the€organization,€but€usually€is,€in€fact,€a€legal€controversy€overÏmanagement€of€the€organization.ÌÌà à[11]à àThe€question€can€arise€whether€counsel€for€the€organization€may€defend€such€anÏaction.€€The€proposition€that€the€organization€is€the€lawyerððs€client€does€not€alone€resolve€the€issue.€ÏMost€derivative€actions€are€a€normal€incident€of€an€organizationððs€affairs€and€are€to€be€defended€byÏthe€organizationððs€lawyer€like€any€other€suit.€€However,€if€the€claim€involves€serious€charges€ofÏwrongdoing€by€those€in€control€of€the€organization,€a€conflict€may€arise€between€the€lawyerððs€dutyÏto€the€organization€and€the€lawyerððs€relationship€with€the€board.€€In€those€circumstances,€Ô_ÔRuleÔ_Ô€1.7Ïgoverns€who€should€represent€the€directors€and€the€organization.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)€Ìð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òRule€1.14Ìó óà@ àò òCLIENT€UNDER€A€DISABILITYó óÌÔ  ÔÌ(a)à àWhen€a€clientððs€ability€to€make€adequately€considered€decisions€in€connection€with€theÏrepresentation€is€impaired,€whether€because€of€minority,€mental€disability,€or€for€some€other€reason,Ïthe€lawyer€shall,€as€far€as€reasonably€possible,€maintain€a€normal€client„lawyer€relationship€with€theÏclient.ÌÌ(b)à àA€lawyer€may€seek€the€appointment€of€a€guardian€or€take€other€protective€action€with€respectÏto€a€client€only€when€the€lawyer€reasonably€believes€that€the€client€cannot€adequately€act€in€theÏclientððs€own€interest.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThe€normal€client„lawyer€relationship€is€based€on€the€assumption€that€the€client,Ïwhen€properly€advised€and€assisted,€is€capable€of€making€decisions€about€important€matters.€€WhenÏthe€client€is€a€minor€or€has€a€mental€disorder€or€disability,€however,€maintaining€the€ordinary€client„lawyer€relationship€may€not€be€possible€in€all€respects.€€In€particular,€an€incapacitated€person€mayÏhave€no€power€to€make€legally€binding€decisions.€€Nevertheless,€a€client€lacking€legal€competenceÏoften€has€the€ability€to€understand,€deliberate€upon,€and€reach€conclusions€about€matters€affectingÏthe€clientððs€own€well„being.€€Furthermore,€to€an€increasing€extent€the€law€recognizes€intermediateÏdegrees€of€competence.€€For€example,€children€as€young€as€five€or€six€years€of€age,€and€certainlyÏthose€of€ten€or€twelve,€are€regarded€as€having€opinions€that€are€entitled€to€weight€in€legalÏproceedings€concerning€their€custody.€€So€also,€it€is€recognized€that€some€persons€of€advanced€ageÏcan€be€quite€capable€of€handling€routine€financial€matters€while€needing€special€legal€protectionÏconcerning€major€transactions.ÌÌà à[2]à àThe€fact€that€a€client€has€a€disability€does€not€diminish€the€lawyerððs€obligation€toÏtreat€the€client€with€attention€and€respect.€€If€the€person€has€no€guardian€or€legal€representative,€theÏlawyer€often€must€act€as€a€de€facto€guardian.€€Even€if€the€person€does€have€a€legal€representative,€theÏlawyer€should€as€far€as€possible€accord€the€represented€person€the€status€of€client,€particularly€inÏmaintaining€communication.ÌÌà à[3]à àIf€a€legal€representative€has€already€been€appointed€for€the€client,€the€lawyer€shouldÏordinarily€look€to€the€representative€for€decisions€on€behalf€of€the€client.€€If€a€legal€representativeÏhas€not€been€appointed,€the€lawyer€should€see€to€such€an€appointment€where€it€would€serve€theÏclientððs€best€interests.€€Thus,€if€a€disabled€client€has€substantial€property€that€should€be€sold€for€theÏclientððs€benefit,€effective€completion€of€the€transaction€ordinarily€requires€appointment€of€a€legalÏrepresentative.€€In€many€circumstances,€however,€appointment€of€a€legal€representative€may€beÏexpensive€or€traumatic€for€the€client.€€Evaluation€of€these€considerations€is€a€matter€of€professionalÏjudgment€on€the€lawyerððs€part.ÌÌà à[4]à àIf€the€lawyer€represents€the€guardian€as€distinct€from€the€ward,€and€is€aware€that€theÌguardian€is€acting€adversely€to€the€wardððs€interest,€the€lawyer€may€have€an€obligation€to€prevent€orÏrectify€the€guardianððs€misconduct.€€Ôf  ÔÔg ÔÔf  ÔÔg ÔòòSeeóóÔf  ÔÔg ÔÔf  ÔÔg Ô€Ô_ÔRPCÔ_Ô€1.2(Ôf  ÔÔg ÔÔf  ÔÔg ÔdÔf  ÔÔg Ô).ÌÌà@ àò òDisclosure€of€the€Clientððs€Conditionó óÌÌà à[5]à àRules€of€procedure€in€litigation€generally€provide€that€minors€or€persons€having€aÏmental€disability€shall€be€represented€by€a€guardian€or€next€friend€if€they€do€not€have€a€generalÏguardian.€€However,€disclosure€of€the€clientððs€disability€can€adversely€affect€the€clientððs€interests.€ÍFor€example,€raising€the€question€of€disability€could,€in€some€circumstances,€lead€to€proceedings€forÏinvoluntary€commitment.€€The€lawyerððs€position€in€such€cases€is€an€unavoidably€difficult€one.€€TheÏlawyer€may€seek€guidance€from€an€appropriate€diagnostician.Ìò òÌó óà@ àò òEmergency€Legal€AssistanceÌÌó óà à[6]à àÔg ÔÔf  ÔÔg ÔIfÔf  ÔÔg Ô€the€health,€safety,€or€financial€interest€of€a€person€under€a€disability€is€threatenedÏwith€imminent€and€irreparable€harm,€a€lawyer€may€take€legal€action€on€behalf€of€such€a€person€evenÏthough€the€person€is€unable€to€establish€a€client„lawyer€relationship€or€is€unable€to€express€or€makeÏconsidered€judgments€about€the€matter,€when€the€disabled€person€or€another€acting€in€good€faith€onÏthe€personððs€behalf€has€consulted€the€lawyer.€€Even€in€suchÔf  Ô€Ôg ÔÔf  ÔÔg Ôa€situationÔf  ÔÔg Ô,€however,€the€lawyer€shouldÏnot€act€unless€the€lawyer€reasonably€believes€that€the€person€has€no€other€lawyer,€agent,€or€otherÏrepresentative€available.€€The€lawyer€should€take€legal€action€on€behalf€of€the€disabled€person€onlyÏto€the€extent€reasonably€necessary€to€maintain€the€status€quo€or€otherwise€avoid€imminent€andÏirreparable€harm.€€A€lawyer€who€undertakes€to€represent€a€person€in€such€an€exigent€situation€hasÏthe€same€duties€under€these€Rules€as€the€lawyer€would€with€respect€to€a€client.€ÌÌà à[7]à àA€lawyer€who€acts€on€behalf€of€a€disabled€person€Ôg ÔÔf  ÔÔg Ôthreatened€with€imminent€andÏÔf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ôirreparable€harmÔf  ÔÔg Ô€should€keep€the€confidences€of€the€disabled€person€as€if€dealing€with€a€client,Ïdisclosing€them€only€to€the€extent€necessary€to€accomplish€the€intended€protective€action.€€TheÏlawyer€should€disclose€to€any€tribunal€involved€and€to€any€other€counsel€involved€the€nature€of€hisÏor€her€relationship€with€the€disabled€person.€€The€lawyer€should€take€steps€to€regularize€theÏrelationship€or€implement€other€protective€solutions€as€soon€as€possible.€€Normally,€a€lawyer€wouldÏnot€seek€compensation€for€such€Ôf  ÔÔg Ôactions€taken€on€behalf€of€a€disabled€person.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)€Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)ÇÔ  Ôà@ àò òRule€1.15Ìà@ àSAFEKEEPING€PROPERTYó óÌÔ  ÔÌ(a)à àA€lawyer€shall€hold€property€and€funds€of€clients€or€third€persons€that€are€in€a€lawyerððsÏpossession€in€connection€with€a€representation€separate€from€the€lawyerððs€own€property€and€funds.€ÌÌà0 à(1)à àFunds€belonging€to€clients€or€third€persons€shall€be€kept€in€a€separate€accountÏmaintained€in€an€insured€depository€institution€that€is€located€in€the€state€where€the€lawyerððsÏoffice€is€situated€(or€elsewhere€with€the€consent€of€the€client€or€third€person)€and€whichÏparticipates€in€the€overdraft€notification€program€as€required€by€Supreme€Court€Rule€9.€€AÏlawyer€may€deposit€the€lawyerððs€own€funds€in€such€an€account€for€the€sole€purpose€ofÏpaying€bank€service€charges€on€that€account,€but€only€in€an€amount€necessary€for€thatÏpurpose.ÌÌà0 àà0 à(i)à àExcept€as€provided€by€subparagraph€(a)(1)(ii),€interest€earned€on€accounts€inÏwhich€the€funds€of€clients€are€deposited€less€any€deduction€for€service€charges,€feesÏof€the€depository€institution,€and€intangible€taxes€collected€with€respect€to€theÏdeposited€funds€shall€belong€to€the€clients€whose€funds€are€deposited€and€the€lawyerÏshall€have€no€right€or€claim€to€such€interest.ÌÌà0 àà0 à(ii)à àA€lawyer€shall€deposit€funds€of€clients€and€third€persons€that€are€nominal€inÏamount€or€expected€to€be€held€for€a€short€period€of€time€in€a€pooled€account€thatÏparticipates€in€the€Interest€On€Lawyersðð€Trust€Accounts€(ð ðIOLTAðð)€program,Ïwhich€provides€that€all€interest€earned€be€paid€to€the€Tennessee€Bar€Foundation€inÏaccordance€with€the€requirements€of€Supreme€Court€Rule€43.€€The€determination€ofÏwhether€funds€are€nominal€in€amount€or€are€to€be€held€for€a€short€period€of€timeÏrests€in€the€sound€discretion€of€the€lawyer€and€no€charge€of€ethical€impropriety€orÏother€breach€of€professional€conduct€shall€attend€a€lawyerððs€exercise€of€good€faithÏjudgment€in€that€regard.ÌÌà0 àà0 à(iii)à àA€lawyer€may€decline€to€participate€in€the€IOLTA€program€by€submitting€aÏnotice€of€such€declination€in€writing,€no€less€frequently€than€annually,€to€the€ChiefÏJustice€of€the€Tennessee€Supreme€Court.€€In€accordance€with€the€provisions€ofÏSupreme€Court€Rule€43,€such€notice€may€be€filed€at€the€time€the€lawyer€files€theÏregistration€statement€with€the€Board€of€Professional€Responsibility.ÌÌ(b)à àUpon€receiving€funds€or€other€property€in€which€a€client€or€third€person€has€an€interest,€aÏlawyer€shall€promptly€notify€the€client€or€third€person.€€Except€as€stated€in€this€Rule€or€otherwiseÏpermitted€by€law€or€by€agreement€with€the€client,€a€lawyer€shall€promptly€deliver€to€the€client€orÏthird€person€any€funds€or€other€property€that€the€client€or€third€person€is€entitled€to€receive€and,Ïupon€request€by€the€client€or€third€person,€shall€promptly€render€a€full€accounting€regarding€suchÏfunds€or€other€property.€€If€a€dispute€arises€between€the€client€and€a€third€person€with€respect€toÏtheir€respective€interests€in€the€funds€or€property€held€by€the€lawyer,€the€portion€in€dispute€shall€beÏkept€separate€and€safeguarded€by€the€lawyer€until€the€dispute€is€resolved.ÌÌ(c)à àWhen€in€the€course€of€representation€a€lawyer€is€in€possession€of€property€in€which€bothÏthe€lawyer€and€another€person€claim€interests,€the€property€shall€be€kept€separate€by€the€lawyer€untilÏthere€is€an€accounting€and€severance€of€their€interests.ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àA€lawyer€should€hold€property€of€others€with€the€care€required€of€a€professionalÏfiduciary.€€Securities€should€be€kept€in€a€safe€deposit€box,€except€when€some€other€form€ofÏsafekeeping€is€warranted€by€special€circumstances.€€All€property€of€clients€or€third€persons€shouldÏbe€kept€separate€from€the€lawyerððs€business€and€personal€property€and,€if€monies,€in€one€or€moreÏtrust€accounts.€€Separate€trust€accounts€may€be€warranted€when€administering€estate€monies€orÏacting€in€similar€fiduciary€capacities.ÌÌà à[2]à àLawyers€often€receive€funds€from€third€parties€from€which€the€lawyerððs€fee€will€beÏpaid.€€If€there€is€risk€that€the€client€may€divert€the€funds€without€paying€the€fee,€the€lawyer€is€notÏrequired€to€remit€the€portion€from€which€the€fee€is€to€be€paid.€€However,€a€lawyer€may€not€holdÏfunds€to€coerce€a€client€into€accepting€the€lawyerððs€contention€in€a€dispute€with€the€client.€€TheÏdisputed€portion€of€the€funds€should€be€kept€in€trust€and€the€lawyer€should€suggest€means€forÏprompt€resolution€of€the€dispute,€such€as€arbitration.€€The€undisputed€portion€of€the€funds€shall€beÏpromptly€distributed.ÌÌà à[3]à àThird€parties,€such€as€a€clientððs€creditors,€may€have€just€claims€against€funds€orÏother€property€in€a€lawyerððs€custody.€€A€lawyer€may€have€a€duty€under€applicable€law€to€protectÏsuch€third„party€claims€against€wrongful€interference€by€the€client€and€accordingly€may€refuse€toÏsurrender€the€property€to€the€client.€€However,€a€lawyer€should€not€unilaterally€assume€to€arbitrate€aÏdispute€between€the€client€and€the€third€party.€€If€not€inconsistent€with€the€interests€of€the€client,€theÏlawyer€may€file€an€interpleader€action€concerning€funds€in€dispute€between€the€client€and€a€thirdÏparty.ÌÌà à[4]à àThe€obligations€of€a€lawyer€under€this€Rule€are€independent€of€those€arising€fromÏactivity€other€than€rendering€legal€services.€€For€example,€a€lawyer€who€serves€as€an€escrow€agent€isÏgoverned€by€the€applicable€law€relating€to€fiduciaries€even€though€the€lawyer€does€not€render€legalÏservices€in€the€transaction.ÌÓ ` ` XÓÌà à[5]à àIn€certain€circumstances,€Tennessee€law€governing€abandoned€property€may€applyÏto€monies€in€lawyer€trust€accounts€or€other€property€left€in€the€hands€of€lawyers€and€may€govern€itsÏdisposition.€€òòSeeóó€Tenn.€Code€Ann.€ðððð€66„29„101€to€66„29„204€(1993€and€Supp.€1999)€(UniformÏDisposition€of€Unclaimed€Property€Act).ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESó óÌÓ  ÓÌà àNone.Çò òÔ  Ôó óà@ àò òRule€1.16Ìó óà@ àò òDECLINING€AND€TERMINATING€REPRESENTATIONó óÌÔ  ÔÌ(a)à àExcept€as€stated€in€paragraph€(c),€a€lawyer€shall€not€represent€a€client€or,€whereÏrepresentation€has€commenced,€shall€withdraw€from€the€representation€of€the€client€if:ÌÌà0 à(1)à àthe€representation€will€result€in€a€violation€of€the€Rules€of€Professional€Conduct€orÏother€law;€orÌà0 àÌà0 à(2)à àthe€lawyerððs€physical€or€mental€condition€materially€impairs€the€lawyerððs€ability€toÏrepresent€the€client;€orÌÌà0 à(3)à àthe€lawyer€is€discharged.€ÌÌ(b)à àExcept€as€stated€in€paragraph€(c),€a€lawyer€may€withdraw€from€the€representation€of€a€clientÏif€the€withdrawal€can€be€accomplished€without€material€adverse€effect€on€the€interests€of€the€client,Ïor€if:€ÌÌà0 à(1)à àthe€client€persists€in€a€course€of€action€involving€the€lawyerððs€services€that€theÏlawyer€reasonably€believes€is€criminal€or€fraudulent;Ìà0 àÌà0 à(2)à àthe€client€has€used€the€lawyerððs€services€to€perpetrate€a€crime€or€fraud;ÌÌà0 à(3)à àa€client€insists€upon€pursuing€an€objective€or€taking€action€that€the€lawyer€considersÏrepugnant€or€imprudent;Ìà0 àÌà0 à(4)à àthe€client€fails€substantially€to€fulfill€an€obligation€to€the€lawyer€regarding€theÏlawyerððs€services€and€has€been€given€reasonable€warning€that€the€lawyer€will€withdrawÏunless€the€obligation€is€fulfilled;Ìà0 àÌà0 à(5)à àthe€representation€will€result€in€an€unanticipated€and€substantial€financial€burden€onÏthe€lawyer€or€has€been€rendered€unreasonably€difficult€by€the€client;Ìà0 àÌà0 à(6)à àother€good€cause€for€withdrawal€exists;€orÌÌà0 à(7)à àafter€consultation€with€the€lawyer,€the€client€consents€in€writing€to€the€withdrawal€ofÏthe€lawyer.ÌÌ(c)à àWhen€ordered€to€do€so€by€a€tribunal,€a€lawyer€shall€continue€representation€notwithstandingÏgood€cause€for€terminating€the€representation.ÌÌ(d)à àUpon€termination€of€the€representation€of€a€client,€a€lawyer€shall€take€steps€to€the€extentÏreasonably€practicable€to€protect€a€clientððs€interests,€including:ÌÌà0 à(1)à àgiving€reasonable€notice€to€the€client€so€as€to€allow€time€for€the€employment€of€otherÏcounsel;ÌÌà0 à(2)à àpromptly€surrendering€papers€and€property€of€the€client€and€any€work€productÏprepared€by€the€lawyer€for€the€client€and€for€which€the€lawyer€has€been€compensated;ÌÌà0 à(3)à àpromptly€surrendering€any€other€work€product€prepared€by€the€lawyer€for€the€client,Ïprovided,€however,€that€the€lawyer€may€retain€such€work€product€to€the€extent€permitted€byÏother€law€but€only€if€the€retention€of€the€work€product€will€not€have€a€materially€adverseÏaffect€on€the€client€with€respect€to€the€subject€matter€of€the€representation;ÌÌà0 à(4)à àpromptly€refunding€to€the€client€any€advance€payment€for€expenses€that€have€notÏbeen€incurred€by€the€lawyer;€and€ÌÌà0 à(5)à àpromptly€refunding€any€advance€payment€for€fees€that€have€not€been€earned.Ìò òÌó óà@ àò òCOMMENTSÌó óÌà à[1]à àA€lawyer€should€not€accept€representation€in€a€matter€unless€it€can€be€performedÏcompetently,€promptly,€without€improper€conflict€of€interest,€and€to€completion.Ìò òÌà@ àMandatory€Withdrawaló óÌÌà à[2]à àA€lawyer€ordinarily€must€decline€or€withdraw€from€representation€if€the€clientÏdemands€that€the€lawyer€engage€in€conduct€that€is€illegal€or€violates€the€Rules€of€ProfessionalÏConduct€or€other€law.€€The€lawyer€is€not€obliged€to€decline€or€withdraw€simply€because€the€clientÏsuggests€such€a€course€of€conduct;€a€client€might€make€such€a€suggestion€in€the€hope€that€a€lawyerÏwill€not€be€constrained€by€a€professional€obligation.ÌÌà à[3]à àWhen€a€lawyer€has€been€appointed€to€represent€a€client,€withdrawal€ordinarilyÏrequires€approval€of€the€appointing€authority.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€6.2.€€Difficulty€may€be€encountered€ifÏwithdrawal€is€based€on€the€clientððs€demand€that€the€lawyer€engage€in€unprofessional€conduct.€€TheÏcourt€may€wish€an€explanation€for€the€withdrawal,€while€the€lawyer€may€be€bound€to€keepÏconfidential€the€facts€that€would€constitute€such€an€explanation.€€The€lawyerððs€statement€thatÏprofessional€considerations€require€termination€of€the€representation€ordinarily€should€be€acceptedÏas€sufficient.Ìò òÌà@ àDischargeó óÌÌà à[4]à àA€client€has€a€right€to€discharge€a€lawyer€at€any€time,€with€or€without€cause,€subjectÏto€liability€for€payment€for€the€lawyerððs€services.€€In€the€special€case€of€in„house€counsel,€theÏorganizational€employer€may€also€be€liable€for€damages€for€retaliatory€discharge€in€violation€ofÏpublic€policy,€but€because€of€the€clientððs€right€to€discharge€the€lawyer,€reinstatement€would€not€beÏan€available€remedy€under€such€circumstances.€€Further,€where€a€future€dispute€about€theÏwithdrawal€from€the€representation€may€be€anticipated,€it€may€be€advisable€to€prepare€a€writtenÏstatement€reciting€the€circumstances.ÌÌà à[5]à àWhether€a€client€can€discharge€appointed€counsel€may€depend€on€applicable€law.€€AÏclient€seeking€to€do€so€should€be€given€a€full€explanation€of€the€consequences.€€TheseÏconsequences€may€include€a€decision€by€the€appointing€authority€that€appointment€of€successorÏcounsel€is€unjustified,€thus€requiring€the€client€to€proceed€without€assistance€of€counsel.€ÌÌà à[6]à àIf€the€client€is€mentally€incompetent,€the€client€may€lack€the€legal€capacity€toÏdischarge€the€lawyer,€and€in€any€event€the€discharge€may€be€seriously€adverse€to€the€clientððsÏinterests.€€The€lawyer€should€make€special€effort€to€help€the€client€consider€the€consequences€and,Ïin€an€extreme€case,€may€initiate€proceedings€for€a€conservatorship€or€similar€protection€of€the€client.€ÏòòSeeóó€Ô_ÔRPCÔ_Ô€1.14.Ìò òÌà@ àOptional€Withdrawaló óÌÌà à[7]à àA€lawyer€may€withdraw€from€representation€in€some€circumstances.€€The€lawyer€hasÏthe€option€to€withdraw€if€it€can€be€accomplished€without€material€adverse€effect€on€the€clientððsÏinterests.€€Withdrawal€is€also€justified€if€the€client€persists€in€a€course€of€action€that€the€lawyerÏreasonably€believes€is€criminal€or€fraudulent,€for€a€lawyer€is€not€required€to€be€associated€with€suchÏconduct€even€if€the€lawyer€does€not€further€it.€€Withdrawal€is€also€permitted€if€the€lawyerððs€servicesÏwere€misused€in€the€past€even€if€that€would€materially€prejudice€the€client.€€The€lawyer€also€mayÏwithdraw€where€the€client€insists€on€a€repugnant€or€imprudent€objective€or€action.ÌÌà à[8]à àA€lawyer€may€withdraw€if€the€client€refuses€to€abide€by€the€terms€of€an€agreementÏrelating€to€the€representation,€such€as€an€agreement€concerning€fees€or€court€costs€or€an€agreementÏlimiting€the€objectives€of€the€representation.€€The€lawyer€must,€however,€give€the€client€reasonableÏnotice€of€the€lawyerððs€intention€to€withdraw.€ÌÌò òà@ àAssisting€the€Client€Upon€Withdrawaló óÌÌà à[9]à àEven€if€the€lawyer€has€been€unfairly€discharged€by€the€client,€a€lawyer€must€take€allÏreasonable€steps€to€mitigate€the€consequences€to€the€client.€€The€lawyer€may€retain€papers€asÏsecurity€for€a€fee€only€to€the€extent€permitted€by€law.ÌÌà à[10]à àWhether€or€not€a€lawyer€for€an€organization€may€under€certain€unusualÏcircumstances€have€a€legal€obligation€to€the€organization€after€withdrawing€or€being€discharged€byÏthe€organizationððs€highest€authority€is€beyond€the€scope€of€these€Rules.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðFraudðð€and€ð ðFraudulentðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)€Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Ìð ðSubstantialðð€and€ð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)Çò òÔ  Ôà@ àRule€1.17Ìà@ àSALE€OF€A€LAW€PRACTICEÔ  Ôó óÌÌ(a)à àA€lawyer€or€a€law€firm€may€sell€or€purchase€a€law€practice,€including€good€will,€if€theÏfollowing€conditions€are€satisfied:€ÌÌà0 à(1)à àThe€seller€ceases€to€engage€in€the€private€practice€of€law€in€the€geographic€area€inÏwhich€the€practice€has€been€conducted;€and€ÌÌà0 à(2)à àThe€practice€is€sold€as€an€entirety€to€another€lawyer€or€law€firm,€and€the€sellerÏprovides€the€buyer€with€written€notice€of€the€fee€agreement€with€each€of€the€sellerððs€clientsÏand€any€other€agreements€relating€to€each€clientððs€representation;€and€Ì€Ìà0 à(3)à àWritten€notice€is€given€to€each€of€the€sellerððs€clients€regarding€the€proposed€sale,€theÏclientððs€right€to€retain€other€counsel€or€to€take€possession€of€the€file,€and€the€fact€that€theÏclientððs€consent€to€representation€by€the€purchaser€will€be€presumed€if€the€client€does€notÏtake€any€action€or€does€not€otherwise€object€within€thirty€(30)€days€of€receipt€of€the€notice.ÌÌ(b)à àIf€a€client€cannot€be€given€notice€under€paragraph€(a)(3)€above,€the€representation€of€thatÏclient€may€be€transferred€to€the€purchaser€only€upon€entry€of€an€order€so€authorizing€by€a€courtÏhaving€jurisdiction€or€by€the€presiding€judge€in€the€judicial€district€in€which€the€seller€resides.€€TheÏseller€may€disclose€to€the€court€òòin€cameraóó€information€relating€to€the€representation€only€to€theÏextent€necessary€to€obtain€an€order€authorizing€the€transfer€of€a€file.ÌÌ(c)à àUnless€the€client€consents€in€writing€after€consultation,€the€fees€and€expenses€charged€aÏclient€shall€not€be€increased€by€reason€of€the€sale,€and€the€purchasing€lawyer€shall€abide€by€anyÏagreements€between€the€selling€lawyer€and€the€client€with€respect€to€the€representation€as€areÏpermitted€by€these€Rules€and€of€which€the€purchasing€lawyer€was€given€notice€prior€to€the€transferÏof€the€representation.Ìò òÌà@ àCOMMENTSó óÌÌà à[1]à àThe€practice€of€law€is€a€profession,€not€merely€a€business.€€Clients€are€notÏcommodities€that€can€be€purchased€and€sold€at€will.€€Pursuant€to€this€Rule,€when€a€lawyer€or€anÏentire€firm€ceases€to€practice€and€another€lawyer€or€firm€takes€over€the€representation,€the€sellingÏlawyer€or€firm€may€obtain€compensation€for€the€reasonable€value€of€the€practice,€as€mayÏwithdrawing€partners€of€law€firms.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€5.4€and€5.6.ÌÌò òà@ àTermination€of€Practice€by€the€Selleró óÌÌà à[2]à àThe€requirement€that€all€of€the€private€practice€be€sold€is€satisfied€if€the€seller€inÏgood€faith€makes€the€entire€practice€available€for€sale€to€the€purchaser.€€The€fact€that€a€number€ofÏthe€sellerððs€clients€decide€not€to€be€represented€by€the€purchaser€and€take€their€matters€elsewhere,Ïtherefore,€does€not€result€in€a€violation.€€A€selling€lawyerððs€return€to€private€practice€as€a€result€of€anÏunanticipated€change€in€circumstances€also€does€not€result€in€a€violation.€€For€example,€a€lawyerÏwho€has€sold€the€practice€to€accept€an€appointment€to€judicial€office€does€not€violate€the€requirementÏthat€the€sale€be€attendant€to€cessation€of€practice€if€the€lawyer€later€resumes€private€practice€uponÏbeing€defeated€in€a€contested€or€a€retention€election€for€the€office.ÌÌà à[3]à àThe€requirement€that€the€seller€cease€to€engage€in€the€private€practice€of€law€does€notÏprohibit€his€or€her€employment€as€a€lawyer€on€the€staff€of€a€public€agency€or€a€legal€services€entityÏthat€provides€legal€services€to€the€poor,€or€as€in„house€counsel€to€a€business.ÌÌà à[4]à àThe€Rule€permits€a€sale€attendant€upon€a€lawyerððs€retirement€from€the€privateÏpractice€of€law€within€the€jurisdiction.€€Its€provisions,€therefore,€accommodate€the€lawyer€who€sellsÏthe€practice€upon€the€occasion€of€moving€to€another€state.€€Tennessee€is€sufficiently€large€that€aÏmove€from€one€locale€therein€to€another€is€tantamount€to€leaving€the€jurisdiction€in€which€the€lawyerÏhas€engaged€in€the€practice€of€law.€€To€also€accommodate€lawyers€so€situated,€the€Rule€permits€theÏsale€of€the€practice€when€the€lawyer€leaves€the€geographic€area€in€which€he€or€she€is€practicing€asÏwell€as€when€the€lawyer€leaves€the€state.€ÌÌò òà@ àSingle€Purchaseró óÌÌà à[5]à àThe€Rule€requires€a€single€purchaser.€€The€prohibition€against€piecemeal€sale€of€aÏpractice€protects€those€clients€whose€matters€are€less€lucrative€and€who€might€find€it€difficult€toÏsecure€other€counsel€if€a€sale€could€be€limited€to€substantial€fee„generating€matters.€€The€purchaserÏis€required€to€undertake€all€client€matters€in€the€practice,€subject€to€client€consent.€€If,€however,€theÏpurchaser€is€unable€to€undertake€all€client€matters€because€of€a€conflict€of€interest€in€a€specificÏmatter€respecting€which€the€purchaser€is€not€permitted€by€Ô_ÔRuleÔ_Ô€1.7€or€another€rule€to€represent€theÏclient,€the€requirement€that€there€be€a€single€purchaser€is€nevertheless€satisfied.ÌÌò òà@ àClient€Confidences,€Consent€and€Noticeó óÌÌà à[6]à àNegotiations€between€the€seller€and€a€prospective€purchaser€prior€to€disclosure€ofÏinformation€relating€to€a€specific€representation€of€an€identifiable€client€no€more€violate€theÏconfidentiality€provisions€of€Ô_ÔRuleÔ_Ô€1.6€than€do€preliminary€discussions€concerning€the€possibleÏassociation€of€another€lawyer€or€mergers€between€firms,€with€respect€to€which€client€consent€is€notÏrequired.€€Providing€the€purchaser€access€to€client„specific€information€relating€to€the€representationÏand€to€the€file,€however,€requires€client€consent.€€The€Rule€provides€that€before€such€information€canÏbe€disclosed€by€the€seller€to€the€purchaser€the€client€must€be€given€actual€written€notice€of€theÏcontemplated€sale,€including€the€identity€of€the€purchaser€and€any€proposed€change€in€the€terms€ofÏfuture€representation,€and€must€be€told€that€the€decision€to€consent€or€make€other€arrangementsÏmust€be€made€within€thirty€(30)€days.€€If€nothing€is€heard€from€the€client€within€that€time,€consent€toÏthe€sale€is€presumed.ÌÌà à[7]à àA€lawyer€or€law€firm€ceasing€to€practice€cannot€be€required€to€remain€in€practiceÏbecause€some€clients€cannot€be€given€actual€notice€of€the€proposed€purchase.€€Since€these€clientsÏcannot€themselves€consent€to€the€purchase€or€direct€any€other€disposition€of€their€files,€paragraphÏ(b)€of€this€Rule€requires€an€order€from€a€court€having€jurisdiction€authorizing€their€transfer€or€otherÏdisposition.€€The€Court€can€be€expected€to€determine€whether€reasonable€efforts€to€locate€the€clientÏhave€been€exhausted€and€whether€the€absent€clientððs€legitimate€interests€will€be€served€byÏauthorizing€the€transfer€of€the€file€so€that€the€purchaser€may€continue€the€representation.€ÏPreservation€of€client€confidences€requires€that€the€petition€for€a€court€order€be€considered€òòinÏcameraóó.ÌÌà à[8]à àAll€the€elements€of€client€autonomy,€including€the€clientððs€absolute€right€toÏdischarge€a€lawyer€and€transfer€the€representation€to€another,€survive€the€sale€of€the€practice.ÌÌò òà@ àFee€Arrangements€Between€Client€and€Purchaseró óÌÌà à[9]à àThe€sale€may€not€be€financed€by€increases€in€fees€charged€the€clients€of€the€practice.€ÏExisting€agreements€between€the€seller€and€the€client€as€to€fees€and€the€scope€of€the€work€must€beÏhonored€by€the€purchaser,€unless€the€client€consents€after€consultation.Ìò òÌà@ àOther€Applicable€Ethical€Standardsó óÌÌà à[10]à àLawyers€participating€in€the€sale€of€a€law€practice€are€subject€to€the€ethical€standardsÏapplicable€to€involving€another€lawyer€in€the€representation€of€a€client.€€These€include,€for€example,Ïthe€sellerððs€obligation€to€exercise€competence€in€identifying€a€purchaser€qualified€to€assume€theÏpractice€and€the€purchaserððs€obligation€to€undertake€the€representation€competently,€òòseeóó€Ô_ÔRPCÔ_Ô€1.1;Ïthe€obligation€to€avoid€disqualifying€conflicts€and€to€secure€client€consent€after€consultation€forÏthose€conflicts€that€can€be€agreed€to,€òòseeóó€Ô_ÔRPCÔ_Ô€1.7;€and€the€obligation€to€protect€information€relatingÏto€the€representation,€òòseeóó€Ô_ÔRPCsÔ_Ô€1.6€and€1.9.ÌÌà à[11]à àIf€approval€of€the€substitution€of€the€purchasing€lawyer€for€the€selling€lawyer€isÏrequired€by€the€rules€of€any€tribunal€in€which€a€matter€is€pending,€such€approval€must€be€obtainedÏbefore€the€matter€can€be€included€in€the€sale.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.16.ÌÌò òà@ àApplicability€of€the€Ruleó óÌÌà à[12]à àThis€Rule€applies€to€the€sale€of€a€law€practice€by€representatives€of€a€deceased,Ïdisabled€or€disappeared€lawyer.€€Thus,€the€seller€may€be€represented€by€a€non„lawyer€representativeÏnot€subject€to€these€Rules.€€Because,€however,€no€lawyer€may€participate€in€a€sale€of€a€law€practiceÏthat€does€not€conform€to€the€requirements€of€this€Rule,€the€representatives€of€the€seller€as€well€as€theÏpurchasing€lawyer€can€be€expected€to€ensure€that€the€requirements€are€met.ÌÌà à[13]à àAdmission€to€or€retirement€from€a€law€partnership€or€professional€association,Ïretirement€plans€and€similar€arrangements,€and€a€sale€of€tangible€assets€of€a€law€practice€do€notÏconstitute€a€sale€or€purchase€governed€by€this€Rule.ÌÌà à[14]à àThis€Rule€does€not€apply€to€the€transfers€of€legal€representation€between€lawyersÏwhen€such€transfers€are€unrelated€to€the€sale€of€a€practice.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òCHAPTER€2Ìó óà@ àò òTHE€LAWYER€AS€COUNSELOR,€INTERMEDIARY,Ìó óà@ àò òAND€DISPUTE€RESOLUTION€NEUTRALÌÔ  ÔÌÔ  Ôó óà@ àò òRule€2.1Ìó óà@ àò òADVISORÔ  ÔÌÌó óIn€representing€a€client,€a€lawyer€shall€exercise€independent€professional€judgment€and€renderÏcandid€advice.€€In€rendering€advice,€a€lawyer€may€refer€not€only€to€law,€but€to€other€considerationsÏsuch€as€moral,€economic,€social,€and€political€factors€that€may€be€relevant€to€the€clientððs€situation.ÌÌà@ àò òCOMMENTSó óÌò òÌó óà@ àò òScope€of€Adviceó óÌÌà à[1]à àA€client€is€entitled€to€straightforward€advice€expressing€the€lawyerððs€honestÏassessment.€€Legal€advice€often€involves€unpleasant€facts€and€alternatives€that€a€client€may€beÏdisinclined€to€confront.€€In€presenting€advice,€a€lawyer€endeavors€to€sustain€the€clientððs€morale€andÏmay€put€advice€in€as€acceptable€a€form€as€honesty€permits.€€However,€a€lawyer€should€not€beÏdeterred€from€giving€candid€advice€by€the€prospect€that€the€advice€will€be€unpalatable€to€the€client.ÌÌà à[2]à àAdvice€couched€in€narrowly€legal€terms€may€be€of€little€value€to€a€client,€especiallyÏwhere€practical€considerations,€such€as€cost€or€effects€on€other€people,€are€predominant.€€PurelyÏtechnical€legal€advice,€therefore,€can€sometimes€be€inadequate.€€It€is€proper€for€a€lawyer€to€refer€toÏrelevant€moral€and€ethical€considerations€in€giving€advice.€€Although€a€lawyer€is€not€a€moral€advisorÏas€such,€moral€and€ethical€considerations€impinge€upon€most€legal€questions€and€may€decisivelyÏinfluence€how€the€law€will€be€applied.ÌÌà à[3]à àA€client€may€expressly€or€impliedly€ask€the€lawyer€for€purely€technical€advice.€ÏWhen€such€a€request€is€made€by€a€client€experienced€in€legal€matters,€the€lawyer€may€accept€it€atÏface€value.€€When€such€a€request€is€made€by€a€client€inexperienced€in€legal€matters,€however,€theÏlawyerððs€responsibility€as€an€advisor€may€include€indicating€that€more€may€be€involved€than€strictlyÏlegal€considerations.ÌÌà à[4]à àMatters€that€go€beyond€strictly€legal€questions€may€also€be€in€the€domain€of€anotherÏprofession.€€Family€matters€can€involve€problems€within€the€professional€competence€of€psychiatry,Ïclinical€psychology,€or€social€work;€business€matters€can€involve€problems€within€the€competenceÏof€the€accounting€profession€or€of€financial€specialists.€€Where€consultation€with€a€professional€inÏanother€field€is€itself€something€a€competent€lawyer€would€recommend,€the€lawyer€should€makeÏsuch€a€recommendation.€€At€the€same€time,€a€lawyerððs€advice€at€its€best€often€consists€ofÏrecommending€a€course€of€action€in€the€face€of€conflicting€recommendations€of€experts.ÌÌà@ àò òOffering€Adviceó óÌÌà à[5]à àIn€general,€a€lawyer€is€not€expected€to€give€advice€until€asked€by€the€client.€ÏHowever,€when€a€lawyer€knows€that€a€client€proposes€a€course€of€action€that€is€likely€to€result€inÏsubstantial€adverse€legal€consequences€to€the€client,€the€duty€to€the€client€under€Ô_ÔRuleÔ_Ô€1.4€mayÏrequire€that€the€lawyer€act€if€the€clientððs€course€of€action€is€related€to€the€representation.€€A€lawyerÏordinarily€has€no€duty€to€initiate€investigation€of€a€clientððs€affairs€or€to€give€advice€that€the€client€hasÏindicated€is€unwanted,€but€a€lawyer€may€initiate€advice€to€a€client€when€doing€so€appears€to€be€in€theÏclientððs€interest.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌà0 àNone.Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òRule€2.2Ìó óà@ àò òLAWYER€SERVING€AS€AN€INTERMEDIARY€BETWEEN€CLIENTSÌÔ  ÔÌó ó(a)à àA€lawyer€represents€clients€as€an€intermediary€when€the€lawyer€provides€impartial€legalÏadvice€and€assistance€to€two€or€more€clients€who€are€engaged€in€a€candid€and€non„adversarial€effortÏto€accomplish€a€common€objective€with€respect€to€the€formation,€conduct,€modification,€orÏtermination€of€a€consensual€legal€relation€between€them.€ÌÌ(b)à àA€lawyer€Ôf  ÔÔg ÔÔf  ÔÔg Ôshall€notÔf  ÔÔg Ô€represent€two€or€more€clients€as€an€intermediary€in€a€matter€Ôf  ÔÔg ÔÔf  ÔÔg ÔunlessÔf  ÔÔg Ô:ÌÌà0 à(1)à àas€between€the€clients,€the€lawyer€reasonably€believes€that€the€matter€can€be€resolvedÏon€terms€compatible€with€the€best€interests€of€each€of€the€clients,€that€each€client€will€be€ableÏto€make€adequately€informed€decisions€in€the€matter,€that€there€is€little€risk€of€materialÏprejudice€to€the€interest€of€any€of€the€clients€if€the€contemplated€resolution€is€unsuccessful,Ïand€that€the€intermediation€can€be€undertaken€impartially;€ÌÌà0 à(2)à àthe€lawyerððs€representation€of€each€of€the€clients,€or€the€lawyerððs€relationship€withÏeach,€will€not€be€adversely€affected€by€the€lawyerððs€responsibilities€to€other€clients€or€thirdÏpersons,€or€by€the€lawyerððs€own€interests;€ÌÌà0 à(3)à àthe€lawyer€consults€with€each€client€about:ÌÌà0 àà0 à(i)à àthe€lawyerððs€responsibilities€as€an€intermediary;€ÌÌà0 àà0 à(ii)à àthe€implications€of€the€intermediation€(including€the€advantages€and€risksÏinvolved,€the€effect€of€the€intermediation€on€the€attorney„client€privilege,€and€theÏeffect€of€the€intermediation€on€any€other€obligation€of€confidentiality€the€lawyer€mayÏhave);€ÌÌà0 àà0 à(iii)à àany€circumstances€that€will€materially€affect€the€lawyerððs€impartialityÏbetween€the€clients;€andÌÌà0 àà0 à(iv)à àthe€lawyerððs€representation€in€another€matter€of€a€client€whose€interests€areÏdirectly€adverse€to€the€interests€of€any€one€of€the€clients;€and€any€interests€of€theÏlawyer,€the€lawyerððs€other€clients,€or€third€persons€that€will€materially€limit€theÏlawyerððs€representation€of€one€of€the€clients;€andÌÌà0 à(4)à àeach€client€consents€in€writing€to€the€lawyerððs€representation€and€each€clientÏauthorizes€the€lawyer€to€disclose€to€each€of€the€other€clients€being€represented€in€the€matterÏany€information€relating€to€the€representation€to€the€extent€that€the€lawyer€reasonablyÏbelieves€is€required€to€comply€with€Ô_ÔRuleÔ_Ô€1.4.ÌÌ(c)à àWhile€representing€clients€as€an€intermediary,€the€lawyer€shall:ÌÌà0 à(1)à àact€impartially€to€assist€the€clients€in€accomplishing€their€common€objective;€ÌÌà0 à(2)à àas€between€the€clients,€treat€information€relating€to€the€intermediation€as€informationÏprotected€by€Ô_ÔRuleÔ_Ô€1.6€that€the€lawyer€has€been€authorized€by€each€client€to€disclose€to€theÏother€clients€to€the€extent€the€lawyer€reasonably€believes€necessary€for€the€lawyer€to€complyÏwith€Ô_ÔRuleÔ_Ô€1.4;€and€€ÌÌà0 à(3)à àshall€consult€with€each€client€concerning€the€decisions€to€be€made€with€respect€to€theÏintermediation€and€the€considerations€relevant€in€making€them,€so€that€each€client€can€makeÏadequately€informed€decisions.€ÌÌ(d)à àA€lawyer€shall€withdraw€from€service€as€an€intermediary€if:€ÌÌà0 à(1)à àany€of€the€clients€so€requests;€ÌÌÒ  ÒÒ ° ÒÓ ` ` ŒXÓ(2)à àany€of€the€clients€revokes€the€lawyerððs€authority€to€disclose€to€the€other€clients€anyÏinformation€that€the€lawyer€would€be€required€by€Ô_ÔRuleÔ_Ô€1.4€to€reveal€to€them;€or€ÌÒ ° ÒÒ ° ÒÓ ` ` XÓÌà0 à(3)à àany€of€the€other€conditions€stated€in€paragraph€(b)€are€no€longer€satisfied.€ÌÌ(e)à àIf€the€lawyerððs€withdrawal€is€required€by€paragraph€(d)(2)€the€lawyer€shall€so€advise€eachÏclient€of€the€withdrawal,€but€shall€do€so€without€any€further€disclosure€of€information€protected€byÏÔ_ÔRuleÔ_Ô€1.6.€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àA€lawyer€acts€as€an€intermediary€under€this€Rule€when€the€lawyer€represents€two€orÏmore€clients€who€are€cooperatively€trying€to€accomplish€a€common€objective€with€respect€to€theÏformation,€conduct,€modification,€or€termination€of€a€consensual€legal€relation€between€them.€€TheÏhallmarks€of€an€intermediation€include€the€impartiality€of€the€lawyer€who€serves€as€an€intermediary;Ïthe€open,€candid,€and€non„adversarial€nature€of€the€clientsðð€pursuit€of€a€common€objective;€and€theÏlimited€subject€matters€in€which€a€lawyer€may€serve€multiple€clients€as€an€intermediary€(òòi.e.óó,€theÏadjustment€of€a€consensual€legal€relationship€among€or€between€the€clients).€Ôf  Ô€Ôg ÔÔf  ÔÔg ÔBecauseÏintermediation€differs€significantly€from€the€partisan€role€normally€played€by€lawyers,€and€becauseÏit€requires€that€the€lawyer€be€impartial€as€between€the€clients€rather€than€an€advocate€on€behalf€ofÏeach,€a€lawyer€should€only€undertake€this€role€with€client€consent€after€consultation€about€theÏdistinctive€features€of€this€role.€€Also,€given€the€risksÔf  ÔÔg Ô€associated€with€joint€representation€of€partiesÏwhose€interests€may€potentially€be€in€conflict,€the€Rule€provides€a€number€of€safeguards€designedÏto€limit€its€applicability€and€to€protect€the€interests€of€the€several€clients.ÌÌà à[2]à àParagraph€(b)€specifies€the€circumstances€in€which€a€lawyer€may€serve€multipleÏclients€as€an€intermediary.€€With€respect€to€the€clients€being€served€by€an€intermediary,€this€Rule,Ïand€not€Ô_ÔRuleÔ_Ô€1.7,€applies.€€Ô_ÔRuleÔ_Ô€1.7€remains€applicable,€however,€to€protect€other€clients€the€lawyerÏmay€be€representing€or€may€wish€to€represent€in€other€matters.€€For€example,€if€the€lawyerððsÏrepresentation€of€two€clients€as€an€intermediary€in€a€matter€will€materially€limit€the€lawyerððsÏrepresentation€of€another€client€the€lawyer€is€representing€as€an€advocate,€the€lawyer€must€affordÏthat€client€the€protections€of€Ô_ÔRuleÔ_Ô€1.7.Ôf  ÔÔg Ô€€Similarly,€if€the€lawyerððs€representation€of€two€clients€as€anÏintermediary€would€be€materially€adverse€to€one€of€the€lawyerððs€former€clients€and€the€matters€areÏsubstantially€related,€the€lawyer€must€afford€the€former€client€the€protection€of€Ô_ÔRuleÔ_Ô€1.9.€ÌÌà à[3]à àÔ_ÔRuleÔ_Ô€2.2€does€not€apply€to€a€lawyer€acting€as€a€dispute€resolution€neutral,€such€as€anÏarbitrator€or€a€mediator,€as€the€parties€to€a€dispute€resolution€proceeding€are€not€clients€of€theÏlawyer,€even€where€the€lawyer€has€been€appointed€with€the€concurrence€of€the€parties.€€Other€rulesÏof€conduct€govern€a€lawyerððs€service€as€a€dispute€resolution€neutral.€€òòSeeóó€Ô_ÔRPCÔ_Ô€2.4€and€TennesseeÏSupreme€Court€Rule€31.ÌÌÔf  ÔÔg Ôà à[4]à àBecause€this€Rule€only€applies€to€the€formation,€conduct,€modification€orÏtermination€of€consensual€legal€relationships€between€clients,€it€does€not€apply€to€the€representationÍof€multiple€clients€in€connection€with€gratuitous€transfers€or€other€matters€in€which€there€is€not€aÏquid€pro€quo€exchange.€€Thus,€for€example,€conflicts€of€interest€arising€from€the€representation€ofÏmultiple€clients€in€estate€planning€or€the€administration€of€an€estate€are€governed€by€Ô_ÔRuleÔ_Ô€1.7€ratherÏthan€by€this€Rule.€€If,€however,€the€effectuation€of€an€estate€plan€or€other€gratuitous€transfer€entailsÏthe€formation,€modification€or€termination€of€a€consensual€legal€relationship€between€clients,€and€theÏlawyer€acts€as€an€intermediary€in€connection€with€the€transaction,€this€Rule,€and€not€Ô_ÔRuleÔ_Ô€1.7,€willÏapply.ÌÌÔf  ÔÔg Ôà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô5Ôf  ÔÔg Ô]à àA€lawyer€may€act€as€an€intermediary€in€seeking€to€establish€or€adjust€a€consensualÏlegal€relationship€among€or€between€clients€on€an€amicable€and€mutually€advantageous€basis,€suchÏas€helping€to€organize€a€business€in€which€two€or€more€clients€are€entrepreneurs€or€working€out€theÏfinancial€reorganization€of€an€enterprise€in€which€two€or€more€clients€have€an€interest.€€Ôf  ÔÔg ÔAs€part€ofÏthe€work€of€an€intermediary,€the€lawyer€may€seek€to€achieve€the€clientsðð€common€objective€or€toÏresolve€potentially€conflicting€interests€by€developing€the€partiesðð€mutual€interests.€€The€alternativeÏmay€be€that€each€party€may€have€to€obtain€separate€representation,€with€the€possibility€in€someÏsituations€of€incurring€additional€cost,€complications,€or€even€litigation.€€Given€these€and€otherÏrelevant€factors,€each€client€may€prefer€to€have€one€lawyer€act€as€an€intermediary€for€all€rather€thanÏhiring€a€separate€lawyer€to€serve€as€his€or€her€partisan.€ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô6Ôf  ÔÔg Ô]à àIn€considering€whether€to€act€as€an€intermediary€between€clients,€a€lawyer€should€beÏmindful€that€if€the€intermediation€fails,€the€result€can€be€additional€cost,€embarrassment,€andÏrecrimination.€€In€some€situations,€the€risk€of€failure€is€so€great€that€intermediation€is€plainlyÏimpossible€or€imprudent€for€the€lawyer€or€the€clients.€€For€example,€a€lawyer€cannot€undertakeÏcommon€representation€of€clients€between€whom€contentious€litigation€is€imminent€or€whoÏcontemplate€contentious€negotiations,€as€is€often€the€case€when€dissolution€of€a€marriage€isÏinvolved.€€More€generally,€if€the€relationship€between€the€parties€has€already€assumed€definiteÏantagonism,€the€possibility€that€the€clientsðð€interests€can€be€adjusted€by€intermediation€ordinarily€isÏnot€very€good.ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô7Ôf  ÔÔg Ô]à àThe€appropriateness€of€intermediation€can€depend€on€its€form.€€Forms€ofÏintermediation€range€from€an€informal€ð ðfacilitation,ðð€in€which€the€lawyerððs€responsibilities€areÏlimited€to€presenting€alternatives€from€which€the€clients€will€choose,€to€a€full„blown€representationÏin€which€the€lawyer€provides€all€legal€services€needed€in€connection€with€the€proposed€transaction.€ÏOne€form€may€be€appropriate€in€circumstances€where€another€would€not.€€Other€relevant€factors€areÏwhether€the€lawyer€subsequently€will€represent€both€parties€on€a€continuing€basisÔf  ÔÔg ÔÔf  ÔÔg Ô;Ôg Ô€whether€theÏsituation€involves€creating€a€relationship€between€the€parties€or€terminating€oneÔf  ÔÔg Ô;€the€relativeÏexperience,€sophistication,€and€economic€bargaining€power€of€the€clients;€and€the€existence€of€priorÏfamilial,€business,€or€legal€relationshipsÔf  ÔÔg Ô.ÌÌà@ àò òConfidentiality€and€PrivilegeÌÌó óà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô8Ôf  ÔÔg Ô]à àA€particularly€important€factor€in€determining€the€appropriateness€of€intermediationÏis€the€effect€on€client„lawyer€confidentiality€and€the€attorney„client€privilege.€€In€a€commonÏrepresentation,€the€lawyer€is€still€required€both€to€keep€each€client€adequately€informed€and€toÏmaintain€confidentiality€of€information€relating€to€the€representation.€€òòSeeóó€Ô_ÔRPCsÔ_Ô€1.4€and€1.6.€ÏComplying€with€both€requirements€while€acting€as€an€intermediary€requires€a€delicate€balance.€€IfÏthe€balance€cannot€be€maintained,€the€common€representation€is€improper.€ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô9Ôf  ÔÔg Ô]à àParagraphs€(b)(4)€and€(c)(2)€make€clear€that€the€obligations€of€attorney„clientÏconfidentiality€apply€to€clients€being€served€by€a€lawyer€as€an€intermediary,€but€that,€as€between€theÏclients€being€so€served,€confidentiality€is€inappropriate€and€must€be€waived€by€each€of€the€clients.€ÍThus,€while€the€lawyer€must€maintain€confidentiality€as€against€strangers€to€the€relationship,€theÏlawyer€has€no€such€duty€to€keep€information€provided€to€the€lawyer€by€one€client€confidential€fromÏthe€other€clients.€€Moreover,€the€lawyer€may€well,€depending€on€the€circumstances,€have€anÏaffirmative€obligation€to€disclose€such€information€obtained€from€one€client€to€other€clients.€ÏObviously,€this€important€implication€of€the€lawyerððs€responsibilities€as€an€intermediary€must€beÏdisclosed€and€explained€to€the€clients.ÌÌà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô10Ôf  ÔÔg Ô]à àSince€the€lawyer€is€required€to€be€impartial€between€commonly€represented€clients,Ïintermediation€is€improper€when€that€impartiality€cannot€be€maintained.€€For€example,€a€lawyer€whoÏhas€represented€one€of€the€clients€for€a€long€period€and€in€a€variety€of€matters€might€have€difficultyÏbeing€impartial€between€that€client€and€one€to€whom€the€lawyer€has€only€recently€been€introduced.ÌÌà@ àò òConsultationÌÌó óà à[1Ôf  ÔÔg ÔÔf  ÔÔg Ô1Ôf  ÔÔg Ô]à àIn€acting€as€an€intermediary€between€clients,€the€lawyer€is€required€to€consult€withÏthe€clients€on€the€implications€of€doing€so€and€may€proceed€only€upon€consent€based€on€such€aÏconsultation.€€The€consultation€should€make€clear€that€the€lawyerððs€role€is€not€that€of€partisanshipÏnormally€expected€in€other€circumstances.€€This€consent€must€be€in€writing.ò òòò€ÌÌó óóóà à[1Ôf  ÔÔg ÔÔf  ÔÔg Ô2Ôf  ÔÔg Ô]à àParagraph€(c)(3)€is€an€application€of€the€principle€expressed€in€Ô_ÔRuleÔ_Ô€1.4.€€Where€theÏlawyer€is€an€intermediary,€the€clients€ordinarily€must€assume€greater€responsibility€for€decisionsÏthan€when€each€client€is€independently€represented.ÌÌà@ àò òWithdrawalÌÌó óà à[1Ôf  ÔÔg ÔÔf  ÔÔg Ô3Ôf  ÔÔg Ô]à àCommon€representation€does€not€diminish€the€rights€of€each€client€in€the€client„lawyer€relationship.€€Each€client€has€the€right€to€loyal€and€diligent€representation,€the€right€toÏdischarge€the€lawyer€as€stated€in€Ô_ÔRuleÔ_Ô€1.16,€and€the€protection€of€Ô_ÔRuleÔ_Ô€1.9€concerning€obligations€toÏa€former€client.ÌÌà à[1Ôf  ÔÔg ÔÔf  ÔÔg Ô4Ôf  ÔÔg Ô]à àBecause€of€the€obligations€of€a€lawyer€serving€as€an€intermediary€to€theÏintermediation€clients,€the€lawyer€must€withdraw€from€the€representation€if€any€of€the€intermediationÏclients€so€requests;€if€one€or€more€of€the€clients€denies€the€lawyer€the€authority€to€disclose€certainÏinformation€to€any€of€the€remaining€clients,€thereby€preventing€the€lawyer€from€being€able€toÏdischarge€the€lawyerððs€duties€to€the€remaining€clients€to€communicate€with€them€and€discloseÏinformation€to€them;€or€if€any€of€the€various€predicate€requirements€for€intermediation€can€noÏlonger€be€satisfied.ÌÌà à[1Ôf  ÔÔg ÔÔf  ÔÔg Ô5Ôf  ÔÔg Ô]à àUpon€withdrawal€from€the€role€of€intermediary€or€completion€of€an€intermediation,Ïthe€lawyer€must€afford€all€of€the€clients€formerly€served€as€an€intermediary€the€protections€of€Ô_ÔRulesÔ_ÔÏ1.9€and€1.10.€€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌÌó óð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)ò òÇÔ  Ôó óà@ àò òRule€2.3Ìó óà@ àò òEVALUATION€FOR€USE€BY€THIRD€PERSONSÌÔ  ÔÌó ó(a)à àA€lawyer€may€undertake€an€evaluation€of€a€matter€affecting€a€client€for€the€use€of€someoneÏother€than€the€client€if:ÌÌà0 à(1)à àthe€lawyer€reasonably€believes€that€making€the€evaluation€is€compatible€with€otherÏaspects€of€the€lawyerððs€relationship€with€the€client;€andÌÌà0 à(2)à àthe€client€consents€after€consultation.ÌÌ(b)à àExcept€as€disclosure€is€required€in€connection€with€a€report€of€an€evaluation,€informationÏrelating€to€the€evaluation€is€otherwise€protected€by€Ô_ÔRuleÔ_Ô€1.6.ÌÌà@ àò òCOMMENTSó óÌò òÌó óà@ àò òDefinitionó óÌÌà à[1]à àAn€evaluation€may€be€performed€at€the€clientððs€direction€but€for€the€primary€purposeÏof€establishing€information€for€the€benefit€of€third€parties,€such€as€drafting€an€opinion€concerningÏthe€title€of€property€rendered€at€the€behest€of€either€a€vendor€for€the€information€of€a€prospectiveÏpurchaser€or€a€borrower€for€the€information€of€a€prospective€lender.€€In€some€situations,€theÏevaluation€may€be€required€by€a€government€agency,€such€as€an€opinion€concerning€the€legality€ofÏthe€securities€registered€for€sale€under€the€securities€laws.€€In€other€instances,€the€evaluation€may€beÏrequired€by€a€third€person,€such€as€a€purchaser€of€a€business.ÌÌà à[2]à àLawyers€for€the€government€may€be€called€upon€to€give€a€formal€opinion€on€theÏlegality€of€contemplated€government€agency€action.€€In€making€such€an€evaluation,€the€governmentÏlawyer€acts€at€the€behest€of€the€government€as€the€client€but€for€the€purpose€of€establishing€theÏlimits€of€the€agencyððs€authorized€activity.€€Such€an€opinion€is€to€be€distinguished€from€confidentialÏlegal€advice€given€agency€officials.€€The€critical€question€is€whether€the€opinion€is€to€be€madeÏpublic.ÌÌà à[3]à àA€legal€evaluation€should€be€distinguished€from€an€investigation€of€a€person€withÏwhom€the€lawyer€does€not€have€a€client„lawyer€relationship.€€For€example,€a€lawyer€retained€by€aÏpurchaser€to€analyze€a€vendorððs€title€to€property€does€not€have€a€client„lawyer€relationship€with€theÏvendor.€€So€also,€an€investigation€into€a€personððs€affairs€by€a€government€lawyer,€or€by€specialÏcounsel€employed€by€the€government,€is€not€an€evaluation€as€that€term€is€used€in€this€Rule.€€TheÏquestion€is€whether€the€lawyer€is€retained€by€the€person€whose€affairs€are€being€examined.€€WhenÏthe€lawyer€is€retained€by€that€person,€the€general€rules€concerning€loyalty€to€client€and€preservationÏof€confidences€apply,€which€is€not€the€case€if€the€lawyer€is€retained€by€someone€else.€€For€thisÏreason,€it€is€essential€to€identify€the€person€by€whom€the€lawyer€is€retained.€€This€identificationÏshould€be€made€clear€not€only€to€the€person€under€examination,€but€also€to€others€to€whom€theÏresults€are€to€be€made€available.ÌÔ_ÔÔ_Ôà@ àò òDuty€to€a€Third€Personó óÌÌà à[4]à àWhen€the€evaluation€is€intended€for€the€information€or€use€of€a€third€person,€a€legalÏduty€to€that€person€may€or€may€not€arise.€€That€legal€question€is€beyond€the€scope€of€these€Rules.€ÏHowever,€since€such€an€evaluation€involves€a€departure€from€the€normal€client„lawyer€relationship,Ïcareful€analysis€of€the€situation€is€required.€€The€lawyer€must€be€satisfied€as€a€matter€ofÏprofessional€judgment€that€making€the€evaluation€is€compatible€with€other€functions€undertaken€inÍbehalf€of€the€client.€€For€example,€if€the€lawyer€is€acting€as€an€advocate€in€defending€the€clientÏagainst€charges€of€fraud,€it€would€normally€be€incompatible€with€that€responsibility€for€the€lawyer€toÏperform€an€evaluation€for€others€concerning€the€same€or€a€related€transaction.€€Assuming€no€suchÏimpediment€is€apparent,€however,€the€lawyer€should€advise€the€client€of€the€implications€of€theÏevaluation,€particularly€the€lawyerððs€responsibilities€to€third€persons€and€the€duty€to€disseminate€theÏfindings.ÌÌà@ àò òAccess€to€and€Disclosure€of€Informationó óÌÌà à[5]à àThe€quality€of€an€evaluation€depends€on€the€freedom€and€extent€of€the€investigationÏupon€which€it€is€based.€€Ordinarily€a€lawyer€should€have€whatever€latitude€of€investigation€seemsÏnecessary€as€a€matter€of€professional€judgment.€€Under€some€circumstances,€however,€the€terms€ofÏthe€evaluation€may€be€limited.€€For€example,€certain€issues€or€sources€may€be€categoricallyÏexcluded,€or€the€scope€of€search€may€be€limited€by€time€constraints€or€the€noncooperation€ofÏpersons€having€relevant€information.€€Any€such€limitations€that€are€material€to€the€evaluation€shouldÏbe€described€in€the€report.€€If€after€a€lawyer€has€commenced€an€evaluation,€the€client€refuses€toÏcomply€with€the€terms€upon€which€it€was€understood€the€evaluation€was€to€have€been€made,€theÏlawyerððs€obligations€are€determined€by€law,€having€reference€to€the€terms€of€the€clientððs€agreementÏand€the€surrounding€circumstances.ÌÌà@ àò òFinancial€Auditorsðð€Requests€for€Informationó óÌÌà à[6]à àWhen€a€question€concerning€the€legal€situation€of€a€client€arises€at€the€instance€ofÏthe€clientððs€financial€auditor€and€the€question€is€referred€to€the€lawyer,€the€lawyerððs€response€mayÏbe€made€in€accordance€with€procedures€recognized€in€the€legal€profession.€€Such€a€procedure€is€setÏforth€in€the€American€Bar€Association€Statement€of€Policy€Regarding€Lawyersðð€Responses€toÏAuditorsðð€Requests€for€Information,€adopted€in€1975.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Çò òÔ  Ôó óà@ àò òRule€2.4Ìó óà@ àò òLAWYER€AS€A€DISPUTE€RESOLUTION€NEUTRALó óÌÔ  ÔÌ(a)à àA€lawyer€serves€as€a€dispute€resolution€neutral€when€the€lawyer€impartially€assists€two€orÏmore€persons€who€are€not€clients€of€the€lawyer€to€reach€a€resolution€of€disputes€that€have€arisenÏbetween€them.€€Service€as€a€dispute€resolution€neutral€may€include€service€as€a€mediator;€anÏarbitrator€whose€decision€does€not€bind€the€parties;€a€case€evaluator;€a€judge€or€juror€in€a€mini„trialÏor€summary€jury€trial€as€described€in€Supreme€Court€Rule€31;€or€in€such€other€capacity€as€willÏenable€the€lawyer€to€impartially€assist€the€parties€resolve€their€dispute.€€ÌÌ(b)à àA€lawyer€may€serve€as€a€dispute€resolution€neutral€in€a€matter€if:€ÌÌà0 à(1)à àthe€lawyer€is€competent€to€handle€the€matter;ÌÌà0 à(2)à àthe€lawyer€can€handle€the€matter€without€undue€delay;€ÌÌà0 à(3)à àthe€lawyer€reasonably€believes€he€or€she€can€be€impartial€as€between€the€parties;€ÌÌà0 à(4)à ànone€of€the€parties€to€the€dispute€is€being€represented€by€the€lawyer€in€other€matters;€ÌÌà0 à(5)à àthe€lawyerððs€service€as€a€dispute€resolution€neutral€in€the€matter€will€not€be€adverselyÏaffected€by€the€representation€of€clients€with€interests€directly€adverse€to€any€of€the€partiesÏto€the€dispute,€by€the€lawyerððs€responsibilities€to€a€client€or€a€third€person,€or€by€theÏlawyerððs€own€interests;€ÌÌà0 à(6)à àthe€lawyer€consults€with€each€of€the€parties€to€the€dispute,€or€their€attorneys,€aboutÏthe€lawyerððs€qualifications€and€experience€as€a€dispute€resolution€neutral,€the€rules€andÏprocedures€that€will€be€followed€in€the€proceeding,€and€the€lawyerððs€responsibilities€as€aÏdispute€resolution€neutral;€provided,€however,€that€any€party€to€the€dispute€who€isÏrepresented€by€a€lawyer€may€waive€his€or€her€right€to€all€or€part€of€the€consultation€requiredÏby€this€paragraph;€€ÌÌà0 à(7)à àthe€lawyer€consults€with€each€of€the€parties,€or€their€lawyers,€about€any€interests€ofÏthe€lawyer,€the€lawyerððs€clients,€the€clients€of€other€lawyers€with€whom€the€lawyer€isÏassociated€in€a€firm,€or€third€persons€that€may€materially€affect€the€lawyerððs€impartiality€inÏthe€matter;€ÌÌà0 à(8)à àunless€the€service€is€pursuant€to€Supreme€Court€Rule€31,€each€of€the€parties,€or€theirÏattorneys,€consents€in€writing€to€the€lawyerððs€service€as€a€dispute€resolution€neutral€in€theÏmatter;€andÌÌà0 à(9)à àwhen€the€service€is€pursuant€to€Supreme€Court€Rule€31,€the€lawyer€is€qualified€toÏserve€in€accordance€with€the€requirements€of€that€Rule.ÌÌ(c)à àWhile€serving€as€a€dispute€resolution€neutral,€a€lawyer€shall:ÌÌà0 à(1)à àact€reasonably€to€assure€that€the€parties€understand€the€rules€and€procedures€that€willÏbe€followed€in€the€proceeding€and€the€lawyerððs€responsibilities€as€a€dispute€resolutionÏneutral;Ì€Ìà0 à(2)à àact€impartially,€competently,€and€expeditiously€to€assist€the€parties€in€resolving€theÏmatters€in€dispute;ÌÌà0 à(3)à àpromote€mutual€respect€among€the€parties€for€the€dispute€resolution€process;ÌÌà0 à(4)à àas€between€the€parties€to€the€dispute€and€third€persons,€treat€all€information€related€toÏthe€dispute€as€if€it€were€information€protected€by€Ô_ÔRulesÔ_Ô€1.6Ôf  ÔÔg ÔÔf  ÔÔg Ô€andÔf  ÔÔg Ô€1.8(b);ÌÌà0 à(5)à àas€between€the€parties€to€the€dispute,€treat€all€information€obtained€in€an€individualÏcaucus€with€a€party€or€a€partyððs€lawyer€as€if€it€were€information€related€to€the€representationÏof€a€client€protected€by€Ô_ÔRulesÔ_Ô€1.6€and€1.Ôf  ÔÔg ÔÔf  ÔÔg Ô8Ôf  ÔÔg Ô(b);Ôf  ÔÔg ÔÌ€Ìà0 à(6)à àrender€no€legal€advice€to€any€party€to€the€dispute,€but,€if€the€lawyer€believes€that€anÏunrepresented€party€does€not€understand€how€a€proposed€agreement€might€Ôf  ÔÔg Ôaffect€his€or€herÏlegal€rights€or€obligations,€the€lawyer€shall€advise€that€party€to€seek€the€advice€ofÏindependent€counsel;€ÌÌà0 à(7)à àaccept€nothing€of€value,€other€than€fully€disclosed€reasonable€compensation€forÏservices€rendered€as€the€dispute€resolution€neutral,€from€a€party,€a€partyððs€lawyer,€or€anyÏother€person€involved€or€interested€in€the€dispute€resolution€process;€ÌÌà0 à(8)à ànot€seek€to€coerce€or€unfairly€influence€a€party€to€accept€a€proposal€for€resolution€ofÏa€matter€in€dispute€and€shall€not€make€any€substantive€decisions€on€behalf€of€a€party;€andÌÌà0 à(9)à àwhen€the€service€is€pursuant€to€Supreme€Court€Rule€31,€comply€with€all€other€dutiesÏof€a€dispute€resolution€neutral€as€set€forth€in€that€Rule.€ÌÌ(d)à àA€lawyer€shall€withdraw€from€service€as€a€dispute€resolution€neutral€or,€if€appointed€by€aÏcourt,€shall€seek€the€courtððs€permission€to€withdraw€from€service€as€a€dispute€resolution€neutral,€if:€ÌÌà0 à(1)à àany€of€the€parties€so€request;€ÌÌà0 à(2)à àthe€lawyer€reasonably€believes€that€further€disputeÔf  Ô€Ôf  ÔÔg Ôresolution€services€will€not€lead€toÏan€agreement€resolving€the€matter€in€dispute€or€that€any€of€the€parties€are€unwilling€orÏunable€to€cooperate€with€the€lawyerððs€dispute€resolution€initiatives;€or€ÌÌà0 à(3)à àany€of€the€conditions€stated€in€paragraph€(b)€are€no€longer€satisfied.€ÌÌ(e)à àUpon€termination€of€a€lawyerððs€service€as€a€dispute€resolution€neutral,€the€lawyer:ÌÌà0 à(1)à àmay,€with€the€consent€of€all€the€parties€to€the€dispute€and€in€compliance€with€theÏrequirements€of€Ô_ÔRulesÔ_Ô€1.2(c)€and€2.2,€draft€a€settlement€agreement€that€results€from€theÏdispute€resolution€process,€but€shall€not€otherwise€represent€any€or€all€of€the€parties€inÏconnection€with€the€matter,€and€€ÌÌà0 à(2)à àshall€afford€each€party€to€the€dispute€the€protections€afforded€a€client€by€Ô_ÔRulesÔ_Ô€1.6,Ï1.8(b),€and€1.9.€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àMediation,€arbitration,€and€other€forms€of€alternative€dispute€resolution€have€been€inÏuse€for€many€years,€but€increasing€demands€in€recent€years€for€more€prompt€and€efficient€means€ofÏresolving€disputes€of€all€kinds€have€led€to€an€increase€in€the€demand€for€the€services€of€disputeÏresolution€neutrals€skilled€in€the€analysis€of€disputes€and€in€conflict€resolution.€€Lawyers€are€oftenÏparticularly€well„suited€to€perform€this€role€and€should€be€encouraged€to€do€so.ÌÌà à[2]à àAlthough€service€as€a€dispute€resolution€neutral€is€considered€a€law„related€serviceÏgoverned€generally€by€these€Rules,€òòseeóó€Ô_ÔRPCÔ_Ô€5.7,€the€unique€nature€of€a€lawyerððs€role€when€servingÏas€a€dispute€resolution€neutral€demands€separate,€more€specific,€treatment€in€this€Rule€for€theÏguidance€of€the€profession€and€the€public.ÌÌà à[3]à àThis€Rule€provides€that€a€lawyer€may€serve€as€a€dispute€resolution€neutral,€whetherÏas€a€mediator,€a€non„binding€arbitrator,€a€case€evaluator,€or€a€judge€or€juror€in€a€mini„trial€orÏsummary€jury€trial.€€The€scope€of€a€lawyerððs€possible€service€as€a€neutral€is€intended€to€be€generallyÏthe€same€as€that€adopted€in€Tennessee€Supreme€Court€Rule€31€governing€court„annexed€alternativeÏdispute€resolution.€€However,€although€Rule€31€covers€only€court„annexed€alternative€disputeÏresolution,€this€Rule€covers€services€as€a€dispute€resolution€neutral€whether€rendered€in€connectionÏwith€court„annexed€dispute€resolution€proceedings€or€in€another,€perhaps€wholly€private,€context€notÏcovered€by€Rule€31.ÌÌà à[4]à àThis€Rule€does€not€cover€the€rendering€by€a€lawyer€of€services€related€to€alternativeÏdispute€resolution€that€are€not€neutral€in€nature,€but€are€more€judicial€in€nature,€such€as€service€as€anÏarbitrator€in€a€binding€arbitration.€€Although€Ô_ÔRuleÔ_Ô€5.7€may€address€a€lawyerððs€obligations€in€such€aÏcontext,€this€Rule€does€not€purport€to€address€them.ÌÌà à[5]à àAlthough€a€lawyer€who€serves€as€a€dispute€resolution€neutral€is€subject€to€the€RulesÏof€Professional€Conduct,€òòseeóó€Ô_ÔRPCÔ_Ô€5.7,€many€of€the€Rules€do€not€directly€apply€to€such€serviceÏbecause€the€participants€in€a€dispute€resolution€proceeding€are€not€the€lawyerððs€clients.€€Other€RulesÏdo€apply,€however,€and€this€Rule€further€provides€specific€applications€of€certain€rules€that€mustÏapply€differently€in€this€context€(including,€for€example,€the€application€of€rules€governing€conflictsÏof€interest).ÌÌà à[6]à àAlthough€the€requirements€of€this€Rule€are€generally€intended€to€be€consistent€withÏthose€imposed€on€dispute€resolution€neutrals€under€Rule€31,€there€are€duties€additional€to€those€setÏout€in€Rule€31€that€are€imposed€on€lawyers€who€serve€in€this€role.€€òòSee€alsoóó€Supreme€Court€RuleÏ31,€Appendix:€Standards€of€Professional€Conduct€for€Rule€31€Mediators.€€Even€though€nonlawyersÏcertified€by€the€Supreme€Court€under€Rule€31€as€dispute€resolution€neutrals€may€not€be€subject€toÏthese€Rules€and€the€parties€to€the€dispute€are€not€deemed€to€be€the€clients€of€the€lawyer€serving€asÏtheir€dispute€resolution€neutral,€the€parties€are€properly€entitled€to€assume€that€lawyers€serving€inÏthis€capacity€are€largely€subject€to€the€same€broad€standards€of€conduct€as€are€applicable€to€lawyersÏwhen€they€are€providing€legal€services€to€clients.€ÌÌà à[7]à àThe€Supreme€Court€has€set€forth€in€Rule€31€rules€and€standards€of€professionalÏconduct€applicable€to€all€Rule€31€neutrals,€including€lawyers€and€nonlawyers.€€Thus,€paragraph€(b)Ïcontemplates€that€a€lawyer€may€serve€as€a€Rule€31€neutral€if€the€lawyer€complies€with€theseÏrequirements.€€Paragraph€(b)(9)€further€requires€that€a€lawyer€serving€as€a€dispute€resolution€neutralÏpursuant€to€Supreme€Court€Rule€31€must€comply€fully€with€the€requirements€of€that€Rule€as€well.€ÌÌÓ ` ` ŒXÓà à[8]à àParagraph€(b)€specifies€the€circumstances€in€which€a€lawyer€may€serve€parties€to€aÏdispute€as€a€dispute€resolution€neutral.€€With€respect€to€the€parties€to€the€dispute,€Ô_ÔRuleÔ_Ô€1.7€isÏinapplicable€because€there€is€no€client„lawyer€relationship€between€the€neutral€and€the€parties€to€theÍdispute.€€Ô_ÔRuleÔ_Ô€1.7€remains€applicable,€however,€to€protect€a€client,€as€distinct€from€parties€the€lawyerÏis€serving€as€a€neutral,€if€the€lawyerððs€service€as€a€neutral€will€materially€limit€the€lawyerððsÏrepresentation€of€that€client.€€Similarly,€if€the€lawyerððs€service€as€a€neutral€would€be€materiallyÏadverse€to€one€of€the€lawyerððs€former€clients,€and€the€matters€are€substantially€related,€the€lawyerÏmust€afford€the€former€client€the€protection€of€Ô_ÔRuleÔ_Ô€1.9.€Ô€$ÔÌÌÔ€$XÔà à[9]à àConflicts€of€interest€for€lawyers€serving€as€dispute€resolution€neutrals€areÏspecifically€addressed€because€the€parties€to€a€dispute€resolution€proceeding€are€not€the€clients€ofÏthe€dispute€resolution€neutral.€€The€lawyer€serving€as€neutral,€however,€must€be€impartial,€must€fullyÏdisclose€any€pertinent€relationships€to€the€parties€to€the€proceeding,€and€must€obtain€their€consent€toÏthe€lawyerððs€service€based€on€these€disclosures.€€Paragraph€(b)(4)€does€not€provide€for€mandatoryÏvicarious€disqualification€based€on€a€lawyerððs€current€or€prospective€service€as€a€dispute€resolutionÏneutral.€€If,€however,€a€lawyer€asked€to€serve€as€a€neutral€has€a€partner€who€currently€represents€oneÏof€the€parties€to€the€dispute€in€other€matters,€the€lawyer€obviously€would€be€required€to€disclose€thisÏfact€to€the€parties€under€(b)(7)€and€obtain€consent€to€service€as€a€neutral.€€Of€course,€this€lawyerÏmust€also€possess€a€reasonable€belief€that€impartiality€was€possible€despite€this€and€other€suchÏpertinent€relationships.€€If€a€lawyer€may€not€make€the€disclosures€required€by€paragraph€(b)(7)Ïbecause€of€his€confidentiality€obligations€to€a€client,€then€the€lawyer€may€not€serve€as€a€disputeÏneutral.Ôf  ÔÔg ÔÌÌà à[10]à àParagraph€(c)€further€provides€various€standards€of€conduct€particular€to€service€byÏa€lawyer€as€a€dispute€resolution€neutral.€€Again,€these€rules€of€conduct€are€intended€to€be€consistentÏwith€Rule€31€and€to€address€the€particular€situation€of€a€neutral€who€occupies€a€significantlyÏdifferent€relationship€to€participants€in€a€dispute€resolution€proceeding€than€a€lawyer€does€withÏclients.€€Paragraphs€(c)(4)€and€(c)(5)€treat€the€confidentiality€of€all€information€related€to€the€disputeÏ(including€that€obtained€in€individual€caucuses€with€the€parties)€by€analogy€to€the€rules€concerningÏthe€confidentiality€of€client€information.€€Thus,€for€example,€any€question€concerning€the€potentialÏdisclosure€of€fraud€by€a€participant€in€a€dispute€resolution€proceeding€would€be€addressed€underÏÔ_ÔRulesÔ_Ô€1.6,€3.3,€or€4.1€as€though€the€participant€were,€in€fact,€a€client€of€the€lawyer.€€Other€portions€ofÏparagraph€(c),€such€as€the€ban€on€undisclosed€compensation€by€one€of€the€participants€in€paragraphÏ(c)(7),€the€prohibition€on€coercion€or€decision€making€on€behalf€of€parties€in€paragraph€(c)(8),€andÏthe€ban€on€giving€legal€advice€to€the€participants€in€paragraph€(c)(6),€impose€restrictions€needed€toÏinsure€and€reinforce€the€necessary€impartiality€of€the€lawyer€serving€as€a€dispute€resolution€neutral.ÌÌà à[11]à àParagraph€(d)€requires€that€a€lawyer€serving€as€a€dispute€resolution€neutral€withdrawÏor€seek€an€appointing€courtððs€permission€to€withdraw€in€certain€specified€circumstances,€such€as€aÏrequest€by€a€party€to€do€so€or€the€lawyerððs€reasonable€belief€that€the€lawyerððs€service€will€not€beÏfruitful.ÌÌà à[12]à àParagraph€(e)€establishes€a€lawyerððs€duties€toward€participants€in€a€disputeÏresolution€proceeding€upon€the€termination€of€the€lawyerððs€service€as€a€neutral€for€any€reason,Ïwhether€because€a€settlement€is€achieved€or€because€a€party€requests€the€lawyerððs€withdrawal.€ÏGiven€the€impartial€role€of€a€dispute€resolution€neutral,€it€is€inappropriate€for€a€lawyer€who€hadÏserved€as€a€dispute€resolution€neutral€to€later€represent€any€of€the€parties€to€the€dispute€inÏconnection€with€the€subject€matter€of€that€dispute€resolution€proceeding.€€Ôf  ÔÔg ÔThis€Ôf  ÔÔg Ôdisqualification,Ïhowever,€does€not€extend€to€other€lawyers€associated€in€a€law€firm€with€the€dispute€resolutionÏneutral.Ôf  ÔÔg Ô€€If,€however,€the€parties€have€successfully€resolved€their€dispute,€paragraph€(e)(1)€permitsÏthe€lawyer„neutral€to€draft€the€agreement€settling€their€dispute,€but€this€must€be€done€in€conformityÏwith€Ô_ÔRulesÔ_Ô€1.2(c)€and€2.2.€ÌÌà à[13]à àFurther,€paragraph€(e)(2)€provides€that,€even€though€the€participants€to€a€concludedÏdispute€resolution€proceeding€were€not€the€clients€of€the€lawyer€who€served€as€a€dispute€resolutionÏneutral€in€that€proceeding,€these€participants€are€nevertheless€entitled€to€the€protections€relating€toÏconfidentiality€and€conflicts€of€interest€afforded€byÔf  ÔÔg Ô€Ô_ÔRulesÔ_Ô€1.6,€1.8(b),€and€1.9Ôf  ÔÔg Ô€as€if€they€were€formerÏclientsÔf  ÔÔg Ô.Ôf  ÔÔg Ô€€Ôf  ÔÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðConsents€in€Writingðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(b)Ìð ðConsultationðð€and€ð ðConsultsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€€Ìð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Çò òÔ  Ôó óà@ àò òCHAPTER€3Ìó óà@ àò òADVOCATEÌÌó óà@ àò òRule€3.1Ìó óà@ àò òMERITORIOUS€CLAIMS€AND€CONTENTIONSó óÌÔ  ÔÌA€lawyer€shall€not€bring€or€defend€or€continue€with€the€prosecution€or€defense€of€a€proceeding,€orÏassert€or€controvert€or€continue€to€assert€or€controvert€an€issue€therein,€unless€after€reasonableÏinquiry€the€lawyer€has€a€basis€for€doing€so€that€is€not€frivolous,€which€includes€a€good€faithÏargument€for€an€extension,€modification,€or€reversal€of€existing€law.€€A€lawyer€for€the€defendant€in€aÏcriminal€proceeding,€or€the€respondent€in€a€proceeding€that€could€result€in€incarceration,€mayÏnevertheless€so€defend€the€proceeding€as€to€require€that€every€element€of€the€case€be€established.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThe€advocate€has€a€duty€to€use€legal€procedure€for€the€fullest€benefit€of€the€clientððsÏcause,€but€also€a€duty€not€to€abuse€legal€procedure.€€Both€procedural€and€substantive€law€establishÏlimits€within€which€an€advocate€may€proceed.€€However,€the€law€is€not€always€clear€and€is€neverÏstatic.€€Accordingly,€in€determining€the€proper€scope€of€advocacy,€account€must€be€taken€of€theÏlawððs€ambiguities€and€potential€for€change.ÌÌà à[2]à àThe€filing€of€an€action€or€defense€or€similar€action€taken€for€a€client€is€not€frivolousÏmerely€because€the€facts€have€not€first€been€fully€substantiated€or€because€the€lawyer€expects€toÏdevelop€vital€evidence€only€by€discovery.€€What€is€required€of€lawyers,€however,€is€that€they€actÏreasonably€to€inform€themselves€about€the€facts€of€their€clientððs€case€and€the€law€applicable€to€theÏcase€and€then€act€reasonably€in€determining€that€they€can€make€non„frivolous€arguments€in€supportÏof€their€clientððs€position.€€Such€an€action€is€not€frivolous€even€though€the€lawyer€believes€that€theÏclientððs€position€ultimately€will€not€prevail.€€The€action€is€frivolous,€however,€if€the€client€desires€toÏhave€the€action€taken€primarily€for€the€purpose€of€harassing€or€maliciously€injuring€a€person€or€ifÏthe€lawyer€is€unable€either€to€make€a€non„frivolous€argument€on€the€merits€of€the€action€taken€or€toÏsupport€the€action€taken€by€a€non„frivolous€argument€for€an€extension,€modification,€or€reversal€ofÏexisting€law.ÌÌà à[3]à àAlthough€this€Rule€does€not€preclude€a€lawyer€for€a€defendant€in€a€criminal€matterÏfrom€defending€the€proceeding€so€as€to€require€that€every€element€of€the€case€be€established,€theÏdefense€lawyer€must€not€file€frivolous€motions€and€must€give€notice€to€the€prosecution€if€the€lawyerÏdecides€to€abandon€an€affirmative€defense€that€the€lawyer€had€previously€indicated€would€beÏpresented€in€the€case.€ÌÌà à[4]à àPrior€to€filing€a€complaint€in€a€civil€matter,€a€lawyer€should€act€reasonably€toÏpromote€settlement€of€the€matter€in€dispute,€including€consultation€with€the€client€about€the€use€ofÏmediation€or€other€alternative€means€of€dispute€resolution.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€3.2Ìó óà@ àò òEXPEDITING€LITIGATIONó óÌò òÔ  ÔÌó óA€lawyer€shall€make€reasonable€efforts€to€expedite€litigation.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àDilatory€practices€bring€the€administration€of€justice€into€disrepute.€€Although€thereÏwill€be€occasions€when€a€lawyer€may€properly€seek€a€postponement€for€personal€reasons,€such€asÏillness€or€a€conflict€with€an€important€family€engagement,€it€is€not€proper€for€a€lawyer€to€routinelyÏfail€to€expedite€litigation€solely€for€the€convenience€of€the€advocates.€€Nor€will€a€failure€to€expediteÏlitigation€be€reasonable€if€done€for€the€primary€purpose€of€frustrating€an€opposing€partyððs€attemptÏto€obtain€rightful€redress€or€repose.€€It€is€not€a€justification€that€similar€conduct€is€often€tolerated€byÏthe€bench€and€bar.€€The€question€is€whether€a€reasonable€lawyer€would€regard€the€course€of€actionÏas€having€some€substantial€purpose€other€than€delay.€ÌÌà à[2]à àEven€if€a€lawyer€is€justified€in€seeking€to€delay€a€proceeding,€the€lawyer€may€not€doÏso€by€means€otherwise€prohibited€by€these€rules.€€òòSee,€e.g.óó,€Ô_ÔRPCsÔ_Ô€3.1€and€3.4.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ôf  ÔÔg ÔÇà@ àò òRule€3.3Ìó óà@ àò òCANDOR€TOWARD€THE€TRIBUNALÌó óÌ(a)à àA€lawyer€shall€not€knowingly:€ÌÌà0 à(1)à àmake€a€false€statement€of€fact€or€law€to€a€tribunal;€or€ÌÌà0 à(2)à àfail€to€disclose€to€the€tribunal€legal€authority€in€the€controlling€jurisdiction€known€toÏthe€lawyer€to€be€directly€adverse€to€the€position€of€the€client€and€not€disclosed€by€opposingÏcounsel;€orÌÌà0 à(3)à àin€an€òòex€parteóó€proceeding,€fail€to€inform€the€tribunal€of€all€material€facts€known€toÏthe€lawyer€that€will€enable€the€tribunal€to€make€an€informed€decision,€whether€or€not€theÏfacts€are€adverse.ÌÌÔf  Ô(b)à àÔf  ÔAÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ô€lawyer€shall€not€Ôf  ÔÔg Ôoffer€Ôf  ÔÔg Ôevidence€Ôf  ÔÔg ÔÔf  ÔÔg Ôthe€lawyer€knows€to€be€false,€except€that€a€lawyer€whoÏrepresents€a€defendant€in€a€criminal€proceeding,€and€who€has€been€denied€permission€to€withdrawÏfrom€the€defendantððs€representation€after€compliance€with€paragraph€(f),€may€allow€the€client€toÏtestify€by€way€of€an€undirected€narrative€or€take€such€other€action€as€is€necessary€to€honor€theÏdefendantððs€constitutional€rights€in€connection€with€the€proceeding.ÌÌ(c)à àA€lawyer€shall€not€affirm€the€validity€of,€or€otherwise€use,€any€evidence€the€lawyer€knows€toÏbe€false.€ÌÌ(d)à àA€lawyerÔf  ÔÔg Ô€may€refuse€to€offer€or€use€evidence,€other€than€the€testimony€of€a€client€who€is€aÏdefendant€in€a€criminal€matter,€that€the€lawyer€reasonably€believes€is€false,€misleading,€fraudulent€orÏillegally€obtained.€ÌÌ(e)à àIf€a€lawyer€knows€that€the€lawyerððs€client€intends€to€perpetrate€a€fraud€upon€the€tribunalÔf  ÔÔg Ô€orÏotherwise€commit€an€offense€against€the€administration€of€justice€in€connection€with€the€proceeding,Ïincluding€improper€conduct€toward€a€juror€or€a€member€of€the€jury€pool,€or€comes€to€know,€prior€toÏthe€conclusion€of€the€proceeding,€that€the€client€has,€during€the€course€of€the€lawyerððsÏrepresentation,€Ôf  ÔÔg Ôperpetrated€such€a€crime€or€fraud,€the€lawyer€shall€advise€the€client€to€refrain€from,€orÏto€disclose€or€otherwise€rectify,€the€crime€or€fraud€and€shall€consult€with€the€client€about€theÏconsequences€of€the€clientððs€failure€to€do€so.ÌÌ(f)à àIf€a€lawyer,€after€consultation€with€the€client€as€required€by€paragraph€(e),€knows€that€theÏclient€still€intends€to€Ôf  ÔÔg Ôperpetrate€the€crime€or€fraud,€Ôf  ÔÔg Ôor€refuses€or€is€unable€to€disclose€or€otherwiseÏrectify€the€crime€or€fraud,€the€lawyer€shallÔf  ÔÔg ÔÔf  ÔÔg Ô€seek€permission€of€the€tribunal€to€withdraw€from€theÏrepresentation€Ôf  ÔÔg Ôof€the€client€and€shall€inform€the€tribunal,€without€further€disclosure€of€informationÏprotected€by€Ô_ÔRuleÔ_Ô€1.6,€that€the€lawyerððs€request€to€withdraw€is€required€by€the€Rules€ofÏProfessional€Conduct.€ÌÌ(g)à àA€lawyer€who,€prior€to€conclusion€of€the€proceeding,€comes€to€know€that€the€lawyer€hasÏoffered€false€tangible€or€documentary€evidence€shall€withdraw€or€disaffirm€such€evidence€withoutÏfurther€disclosure€of€information€protected€by€Ô_ÔRuleÔ_Ô€Ôf  ÔÔg ÔÔf  ÔÔg Ô1.6.€ÌÌ(h)à àA€lawyer€who,€prior€to€the€conclusion€of€the€proceeding,€comes€to€know€that€a€person€otherÏthan€the€client€has€Ôf  ÔÔg Ôperpetrated€a€fraud€upon€the€tribunalÔf  Ô€or€otherwise€committed€an€offense€againstÏthe€administration€of€justice€in€connection€with€the€proceeding,€and€in€which€the€lawyerððs€client€wasÍnot€implicated,€shallÔf  Ô€promptly€report€the€improper€conduct€to€the€tribunal,€Ôf  ÔÔg Ôeven€if€so€doing€requiresÏthe€disclosure€of€information€otherwise€protected€by€Ô_ÔRuleÔ_Ô€1.6.ÌÌ(i)à àA€lawyer€who,€prior€to€conclusion€of€the€proceeding,€comes€to€know€of€improper€conductÏby€or€toward€a€juror€or€a€member€of€the€jury€pool€shall€report€the€improper€conduct€to€the€tribunal,Ïeven€if€so€doing€requires€the€disclosure€of€information€otherwise€protected€by€Ô_ÔRuleÔ_Ô€1.6.€ÌÔf  ÔÔg ÔÌÔf  ÔÔg Ô(j)à àÔf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg ÔIf,€in€response€to€a€lawyerððs€request€to€withdraw€from€the€representation€of€the€client€or€theÏlawyerððs€report€of€a€perjury,€fraud,€or€offense€against€the€administration€of€justice€by€a€person€otherÏthan€the€lawyerððs€client,€a€tribunal€requests€additional€information€that€the€lawyer€can€only€provideÏby€disclosing€information€protected€by€Ô_ÔRuleÔ_Ô€1.6€or€1.9(c),€the€lawyer€shall€comply€with€the€request,Ïbut€only€if€finally€ordered€to€do€so€by€the€tribunal€after€the€lawyer€has€asserted€on€behalf€of€theÏclient€all€non„frivolous€claims€that€the€information€sought€by€the€tribunal€is€protected€by€theÏattorney„client€privilege.€ÌÌÔf  ÔÔg Ôà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€governs€the€conduct€of€a€lawyer€who€is€representing€a€client€in€connectionÏwith€the€proceedings€of€a€tribunal,€such€as€a€court€or€an€administrative€agency€acting€in€anÏadjudicative€capacity.€€It€applies€not€only€when€the€lawyer€appears€before€the€tribunal,€but€also€whenÏthe€lawyer€participates€in€activities€conducted€pursuant€to€the€tribunalððs€authority,€such€as€pre„trialÏdiscovery€in€a€civil€matter.ÌÌà à[2]à àThe€advocateððs€task€is€to€present€the€clientððs€case€with€persuasive€force.€ÏPerformance€of€that€duty€while€maintaining€confidences€of€the€client€is€qualified€by€the€advocateððsÏduty€to€refrain€from€assisting€a€client€to€perpetrate€a€fraud€upon€the€tribunal.€€However,€an€advocateÏdoes€not€vouch€for€the€evidence€submitted€in€a€cause;€the€tribunal€is€responsible€for€assessing€itsÏprobative€value.ÌÌà@ àò òRepresentations€by€a€Lawyeró óÌÌà à[3]à àAn€advocate€is€responsible€for€pleadings€and€other€documents€prepared€forÏlitigation,€but€is€usually€not€required€to€have€personal€knowledge€of€matters€asserted€therein,€forÏlitigation€documents€ordinarily€present€assertions€by€the€client,€or€by€someone€on€the€clientððsÏbehalf,€and€not€assertions€by€the€lawyer.€€òòCompareóó€Ô_ÔRPCÔ_Ô€3.1.€€However,€an€assertion€purporting€toÏbe€on€the€lawyerððs€own€knowledge,€as€in€an€affidavit€by€the€lawyer€or€in€a€statement€in€open€court,Ïmay€properly€be€made€only€when€the€lawyer€knows€the€assertion€is€true€or€believes€it€to€be€true€onÏthe€basis€of€a€reasonably€diligent€inquiry.€€There€are€circumstances€where€failure€to€make€aÏdisclosure€is€the€equivalent€of€an€affirmative€misrepresentation.€€The€obligation€prescribed€in€Ô_ÔRuleÔ_ÔÏ1.2(d)€not€to€counsel€a€client€to€commit,€or€assist€the€client€in€committing€a€fraud,€applies€inÏlitigation.€€Regarding€compliance€with€Ô_ÔRuleÔ_Ô€1.2(d),€see€the€Comment€to€that€Rule€and€alsoÏComments€[1]€and€[7]€to€Ô_ÔRuleÔ_Ô€8.4.ÌÌà@ àò òMisleading€Legal€Argumentó óÌÌà à[4]à àLegal€argument€based€on€a€knowingly€false€representation€of€law€constitutesÏdishonesty€toward€the€tribunal.€€A€lawyer€is€not€required€to€make€a€disinterested€exposition€of€theÏlaw,€but€must€recognize€the€existence€of€pertinent€legal€authorities.€€Furthermore,€as€stated€inÏparagraph€(a)(2),€an€advocate€has€a€duty€to€disclose€directly€adverse€authority€in€the€controllingÏjurisdiction€that€has€not€been€disclosed€by€the€opposing€party.€€The€underlying€concept€is€that€legalÏargument€is€a€discussion€seeking€to€determine€the€legal€premises€properly€applicable€to€the€case.ÌÌÔf  Ôà@ àòòò òEx€Parteóó€Proceedingsó óÌÌà à[5]à àOrdinarily,€an€advocate€has€the€limited€responsibility€of€presenting€one€side€of€theÏmatters€that€a€tribunal€should€consider€in€reaching€a€decision;€the€conflicting€position€is€expected€toÏbe€presented€by€the€opposing€party.€€However,€in€an€òòex€parteóó€proceeding,€such€as€an€application€forÏa€temporary€restraining€order€or€one€conducted€pursuant€to€Ô_ÔRuleÔ_Ô€1.7(c),€there€is€no€balance€ofÏpresentation€by€opposing€advocates.€€The€object€of€an€òòex€parteóó€proceeding€is€nevertheless€to€yield€aÏsubstantially€just€result.€€The€judge€has€an€affirmative€responsibility€to€accord€the€absent€party€justÏconsideration.€€As€provided€in€paragraph€(a)(3),€the€lawyer€for€the€represented€party€has€theÏcorrelative€duty€to€make€disclosures€of€material€facts€known€to€the€lawyer€and€that€the€lawyerÏreasonably€believes€are€necessary€to€an€informed€decision.ÌÌà@ àò òRefusing€to€Offer€or€Use€False€Evidenceó óÌÌà à[6]à àWhen€evidence€that€a€lawyer€knows€to€be€false€is€provided€by€a€person€who€is€notÏthe€client,€the€lawyer€must€refuse€to€offer€it€regardless€of€the€clientððs€wishes.€€The€lawyer€mustÏsimilarly€refuse€to€offer€a€clientððs€testimony€that€the€lawyer€knows€to€be€false,€except€that€paragraphÏ(b)€permits€the€lawyer€to€allow€a€criminal€defendant€to€testify€by€way€of€narrative€if€the€lawyerððsÏrequest€to€withdraw,€as€required€by€paragraph€(f),€is€denied.€€Paragraph€(c)€precludes€a€lawyer€fromÏaffirming€the€validity€of,€or€otherwise€using,€any€evidence€the€lawyer€knows€to€be€false,€includingÏthe€narrative€testimony€of€a€criminal€defendant.€ÌÌà à[7]à àAs€provided€in€paragraph€(d),€a€lawyer€has€authority€to€refuse€to€offer€or€useÏtestimony€or€other€proof€that€the€lawyer€believes€is€untrustworthy.€€Offering€such€proof€may€reflectÏadversely€on€the€lawyerððs€ability€to€discriminate€in€the€quality€of€evidence€and€thus€impair€theÏlawyerððs€effectiveness€as€an€advocate.€€Because€of€the€special€protections€historically€providedÏcriminal€defendants,€however,€this€Rule€does€not€permit€a€lawyer€to€refuse€to€offer€or€use€theÏtestimony€of€such€a€client€because€the€lawyer€reasonably€believes€the€testimony€to€be€false.€€UnlessÏthe€lawyer€knows€the€testimony€will€be€false,€the€lawyer€must€honor€the€clientððs€decision€to€testify.€ÌÌà@ àò òWrongdoing€in€Adjudicative€Proceedings€by€Clients€and€Othersó óÌÌà à[8]à àA€lawyer€who€is€representing€a€client€in€an€adjudicative€proceeding€and€comes€toÏknow€prior€to€the€completion€of€the€proceeding€that€the€client€has€perpetrated€a€fraud€or€committedÏperjury€or€another€offense€against€the€administration€of€justice,€or€intends€to€do€so€before€the€end€ofÏthe€proceeding,€is€in€a€difficult€position€in€which€the€lawyer€must€strike€a€professionally€responsibleÏbalance€between€the€lawyerððs€duties€of€loyalty€and€confidentiality€owed€to€the€client€and€the€equallyÏimportant€duty€of€the€lawyer€to€avoid€assisting€the€client€with€the€consummation€of€the€fraud€orÏperjury.€€In€all€such€casesÔf  ÔÔg Ô,€paragraph€(e)€requires€the€Ôf  ÔÔg Ôlawyer€Ôf  ÔÔg ÔÔf  ÔÔg ÔtoÔf  ÔÔg Ô€advise€the€client€to€desist€from€or€toÏrectify€the€crime€or€fraud€and€inform€the€client€of€the€consequences€of€a€failure€to€do€so.€€The€hardÏquestions€come€in€those€rare€cases€in€which€the€client€refuses€to€reveal€the€misconduct€and€prohibitsÏthe€lawyer€from€doing€so.€€ÌÌà à[9]à àParagraph€(f)€sets€forth€the€lawyerððs€responsibilities€in€situations€in€which€theÏlawyerððs€client€is€implicated€in€the€misconduct.€€In€these€situations,€the€Rules€do€not€permit€theÏlawyer€to€report€the€clientððs€offense.€€Confidentiality€under€Ô_ÔRuleÔ_Ô€1.6€prevails€over€the€lawyerððs€dutyÏof€candor€to€the€tribunal.€€Only€if€the€client€is€implicated€in€misconduct€by€or€toward€a€juror€or€aÏmember€of€the€jury€pool€does€the€lawyerððs€duty€of€candor€to€the€tribunal€prevail€overÏconfidentiality.€€òòSeeóó€paragraph€(i).€€ÌÌà à[10]à àAlthough€the€lawyer€may€not€reveal€the€clientððs€misconduct,€the€lawyer€must€notÏvoluntarily€continue€to€represent€the€client,€for€to€do€so€without€disclosure€of€the€misconduct€wouldÏassist€the€client€to€consummate€the€offense.€€The€Rule,€therefore,€requires€the€lawyer€to€seekÏpermission€of€the€tribunal€to€withdraw€from€the€representation€of€the€client.€€To€increase€theÏlikelihood€that€the€tribunal€will€permit€the€lawyer€to€withdraw,€the€lawyer€is€also€required€to€informÏthe€tribunal€that€the€request€for€permission€to€withdraw€is€required€by€the€Rules€of€ProfessionalÏConduct.€€This€statement€also€serves€to€advise€the€tribunal€that€something€is€amiss€withoutÏproviding€the€tribunal€with€any€of€the€information€related€to€the€representation€that€is€protected€byÏÔ_ÔRuleÔ_Ô€1.6.€€These€Rules,€therefore,€are€intended€to€preserve€confidentiality€while€requiring€the€lawyerÏto€act€so€as€not€to€assist€the€client€with€the€consummation€of€the€fraud.€€This€reflects€a€judgment€thatÏthe€legal€system€will€be€best€served€by€rules€that€encourage€clients€to€confide€in€their€lawyers€whoÏÔf  ÔÔg Ôin€turn€Ôf  ÔÔg Ôwill€advise€them€to€rectify€the€fraud.€€Many,€if€not€most,€clients€will€abide€by€their€lawyerððsÏadvice,€particularly€if€the€lawyer€spells€out€the€consequences€of€failing€to€do€so.€€At€the€same€time,Ïour€legal€system€and€profession€cannot€permit€lawyers€to€assist€clients€who€refuse€to€follow€theirÏadvice€and€insist€on€consummating€an€ongoing€fraud.€ÌÌà à[11]à àOnce€the€lawyer€has€made€a€request€for€permission€to€withdraw,€the€tribunal€mayÏgrant€or€deny€the€request€to€withdraw€without€further€inquiry€or€may€seek€more€information€fromÏthe€lawyers€about€the€reasons€for€the€lawyerððs€request.€€If€the€judge€seeks€more€information,€theÏlawyer€must€resist€disclosure€of€information€protected€by€Ô_ÔRuleÔ_Ô€1.6,€but€only€to€the€extent€that€theÏlawyer€may€do€so€in€compliance€with€Ô_ÔRuleÔ_Ô€3.1.€€If€the€lawyer€cannot€make€a€non„frivolousÏargument€that€the€information€sought€by€the€tribunal€is€protected€by€the€attorney„client€privilege,€theÏlawyer€must€respond€truthfully€to€the€inquiry.€€If,€however,€there€is€a€non„frivolous€argument€thatÏthe€information€sought€is€privileged,€paragraph€(h)€requires€the€lawyer€to€invoke€the€privilege.€ÏWhether€to€seek€an€interlocutory€appeal€from€an€adverse€decision€with€respect€to€the€claim€ofÏprivilege€is€governed€by€Ô_ÔRulesÔ_Ô€1.2€and€3.1.ÌÌà à[12]à àIf€a€lawyer€is€required€to€seek€permission€from€a€tribunal€to€withdraw€from€theÏrepresentation€of€a€client€in€either€a€civil€or€criminal€proceeding€because€the€client€has€refused€toÏrectify€a€perjury€or€fraud,€it€is€ultimately€the€responsibility€of€the€tribunal€to€determine€whether€theÏlawyer€will€be€permitted€to€withdraw€from€the€representation.€€In€a€criminal€proceeding,€however,€aÏdecision€to€permit€the€lawyerððs€withdrawal€may€implicate€the€constitutional€rights€of€the€accusedÏand€may€even€have€the€effect€of€precluding€further€prosecution€of€the€client.€€Notwithstanding€thisÏpossibility,€the€lawyer€must€seek€permission€to€withdraw,€leaving€it€to€the€prosecutor€to€object€to€theÏrequest€and€to€the€tribunal€to€ultimately€determine€whether€withdrawal€is€permitted.€€If€permission€toÏwithdraw€is€not€granted,€the€lawyer€must€continue€to€represent€the€client,€but€cannot€assist€the€clientÏin€consummating€the€fraud€or€perjury€by€directly€or€indirectly€using€the€perjured€testimony€or€falseÏevidence€during€the€current€or€any€subsequent€stage€of€the€proceeding.€€A€defense€lawyer€whoÏcomplies€with€these€rules€acts€professionally€without€regard€to€the€effect€of€the€lawyerððs€complianceÏon€the€outcome€of€the€proceeding.ÌÌà@ àò òFalse€Documentary€or€Tangible€Evidenceó óÌÌà à[13]à àIf€a€lawyer€comes€to€know€that€tangible€items€or€documents€that€the€lawyer€hasÏpreviously€offered€into€evidence€have€been€altered€or€falsified,€paragraph€(g)€requires€that€the€lawyerÏwithdraw€or€disaffirm€the€evidence,€but€does€not€otherwise€permit€disclosure€of€informationÏprotected€by€Ô_ÔRuleÔ_Ô€1.6.€€Because€disaffirmance,€like€withdrawal,€can€be€accomplished€withoutÏdisclosure€of€information€protected€by€Ô_ÔRuleÔ_Ô€1.6,€it€is€required€when€necessary€for€the€lawyer€toÏavoid€assisting€a€fraud€on€the€tribunal.€€ÌÌÔf  ÔÔg Ôà@ àò òCrimes€or€Frauds€by€Persons€Other€than€the€Clientó óÌÌà à[14]à àParagraph€(h)€Ôf  ÔÔg Ôapplies€if€the€lawyer€comes€to€know€that€a€person€other€than€the€clientÏhas€engaged€in€misconduct€in€connection€with€the€proceeding.€Ôf  ÔÔg Ô€Upon€learning€prior€to€theÏcompletion€of€the€proceeding€that€such€misconduct€has€occurred,€Ôf  ÔÔg Ôthe€lawyer€is€required€byÏparagraph€(e)€to€promptly€reveal€the€offense€to€the€tribunal.€€The€clientððs€interest€in€protecting€theÏwrongdoer€is€not€sufficiently€important€as€to€override€the€lawyerððs€duty€of€candor€to€the€court€andÏto€take€affirmative€steps€to€prevent€the€administration€of€justice€from€being€tainted€by€perjury,€fraud,Ïor€other€improper€conduct.€€ÌÌà@ àò òMisconduct€By€or€Toward€Jurors€or€Members€of€Jury€Pooló óÌÌà à[15]à àBecause€jury€tampering€undermines€the€institutional€mechanism€that€our€adversaryÏsystem€of€justice€uses€to€determine€the€truth€or€falsity€of€testimony€or€evidence,€paragraph€(i)Ïrequires€a€lawyer€who€learns€prior€to€the€completion€of€the€proceeding€that€there€has€beenÏmisconduct€by€or€directed€toward€a€juror€or€prospective€juror€must€reveal€the€misconduct€and€theÏidentity€of€the€perpetrator€to€the€tribunal,€even€if€so€doing€requires€disclosure€of€informationÏprotected€by€Ô_ÔRuleÔ_Ô€1.6.€€Paragraph€(i)€does€not€Ôf  ÔÔg ÔÔf  ÔÔg ÔrequireÔf  ÔÔg Ô€that€the€lawyer€seek€permission€to€withdrawÏfrom€the€further€representation€of€the€client€in€the€proceeding,€but€in€cases€in€which€the€client€isÏimplicated€in€the€jury€tampering,€the€lawyerððs€continued€representation€of€the€client€may€violateÏÔ_ÔRuleÔ_Ô€1.7.€€Ô_ÔRuleÔ_Ô€1.16(a)(1)€would€then€require€the€lawyer€to€seek€permission€to€withdraw€from€theÏcase.€ÌÌà@ àò òCrime€or€Fraud€Discovered€After€Conclusion€of€Proceedingó óÌÌà à[16]à àIn€cases€in€which€the€lawyer€learns€of€the€clientððs€misconduct€after€the€terminationÏof€the€proceeding€in€which€the€misconduct€occurred,€the€lawyer€is€prohibited€from€reporting€theÏclientððs€misconduct€to€the€tribunal.€€Even€though€the€lawyer€may€have€innocently€assisted€the€clientÏto€perpetrate€the€offense,€the€lawyer€should€treat€this€information€as€the€lawyer€would€treatÏinformation€with€respect€to€any€past€crime€a€client€might€have€committed.€€The€clientððs€offense€willÏbe€deemed€completed€as€of€the€conclusion€of€the€proceeding.€€An€offense€that€occurs€at€an€earlierÏstage€in€the€proceeding€will€be€deemed€an€ongoing€offense€until€the€final€stage€of€the€proceeding€isÏcompleted.€€A€proceeding€has€concluded€within€the€meaning€of€this€Rule€when€a€final€judgment€inÏthe€proceeding€has€been€affirmed€on€appeal€or€the€time€for€an€appeal€has€passed.ÌÌà@ àò òConstitutional€Requirementsó óÌÌà à[17]à àThese€Rules€apply€to€defense€counsel€in€criminal€cases,€as€well€as€in€other€instances.€ÏHowever,€the€definition€of€the€lawyerððs€ethical€duty€in€such€a€situation€may€be€qualified€byÏconstitutional€provisions€for€due€process€and€the€right€to€counsel€in€criminal€cases.€€The€obligationÏof€the€advocate€under€these€Rules€is€subordinate€to€any€such€constitutional€requirement.ÌÔf  ÔÌÔg Ôà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðConsultðð€and€ð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)Ìð ðFraudðð€and€ð ðFraudulentðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)Ìð ðKnowingly,ðð€ð ðKnown,ðð€and€ð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€3.4Ìó óà@ àò òFAIRNESS€TO€THE€OPPOSING€PARTY€AND€COUNSELó óÌò òÔ  ÔÌó óA€lawyer€shall€not:ÌÌà0 à(a)à àunlawfully€obstruct€another€partyððs€access€to€evidence€or€unlawfully€alter,€destroy,Ïor€conceal€a€document€or€other€material€having€potential€evidentiary€value.€€A€lawyer€shallÏnot€counsel€or€assist€another€person€to€do€any€such€act;€orÌÌà0 à(b)à àfalsify€evidence,€counsel€or€assist€a€witness€to€offer€false€or€misleading€testimony;€ÏorÌÌà0 à(c)à àknowingly€disobey€an€obligation€under€the€rules€of€a€tribunal€except€for€an€openÏrefusal€based€on€an€assertion€that€no€valid€obligation€exists;€orÌÌà0 à(d)à àin€pretrial€procedure,€make€a€frivolous€discovery€request€or€fail€to€make€a€reasonablyÏdiligent€effort€to€comply€with€a€legally€proper€discovery€request€by€an€opposing€party;€orÌÌà0 à(e)à àin€trial,€ÌÌà0 àà0 à(1)à àallude€to€any€matter€that€the€lawyer€does€not€reasonably€believe€is€relevant€orÏthat€will€not€be€supported€by€admissible€evidence;€ÌÌà0 àà0 à(2)à àassert€personal€knowledge€of€facts€in€issue€except€when€testifying€as€aÏwitness;€or€ÌÌà0 àà0 à(3)à àstate€a€personal€opinion€as€to€the€justness€of€a€cause,€the€credibility€of€aÏwitness,€the€culpability€of€a€civil€litigant€or€the€guilt€or€innocence€of€an€accused;€orÌÌà0 à(f)à àrequest€aÔf  ÔÔg Ô€person€other€than€a€client€to€refrain€from€voluntarily€giving€relevantÏinformation€to€another€party€unless:€ÌÌà0 àà0 àÔf  Ô(1)à àthe€person€is€a€relative€or€an€employee€or€other€agent€of€a€client;€and€ÌÌÔf  ÔÔg ÔÔf  ÔÔg Ôà0 àà0 à(2)à àthe€lawyer€reasonably€believes€that€the€personððs€interests€will€not€beÏadversely€affected€by€refraining€from€giving€such€information;€orÌÌÔf  Ôà0 àÔg Ô(g)à àrequest€or€assist€any€person€to€take€action€that€will€render€the€person€unavailable€toÏappear€as€a€witness€by€way€of€deposition€or€at€trial;€orÌÌÔf  ÔÔg Ôà0 à(Ôf  ÔÔg ÔÔf  ÔÔg ÔhÔf  ÔÔg Ô)à àoffer€an€inducement€to€a€witness€that€is€prohibited€by€law;€or€pay,€offer€to€pay,€orÏacquiesce€in€the€payment€of€compensation€to€a€witness€contingent€on€the€content€of€hisÏtestimony€or€the€outcome€of€the€case.€€A€lawyer€may€advance,€guarantee,€or€acquiesce€in€theÏpayment€of:€ÌÌà0 àà0 à(1)à àexpenses€reasonably€incurred€by€a€witness€in€attending€or€testifying;€ÌÌà0 àà0 à(2)à àreasonable€compensation€to€a€witness€for€that€witnessððs€loss€of€time€inÏattending€or€testifying;€orÌÌà0 àà0 à(3)à àa€reasonable€fee€for€the€professional€services€of€an€expert€witness.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThe€procedure€of€the€adversary€system€contemplates€that€the€evidence€in€a€case€is€toÏbe€marshaled€competitively€by€the€contending€parties.€€Fair€competition€in€the€adversary€system€isÏsecured€by€prohibitions€against€destruction€or€concealment€of€evidence,€improperly€influencingÏwitnesses,€obstructive€tactics€in€discovery€procedure,€and€the€like.ÌÌà à[2]à àDocuments€and€other€items€of€evidence€are€often€essential€to€establish€a€claim€orÏdefense.€€Subject€to€evidentiary€privileges,€the€right€of€an€opposing€party,€including€the€government,Ïto€obtain€evidence€through€discovery€or€subpoena€is€an€important€procedural€right.€€The€exercise€ofÏthat€right€can€be€frustrated€if€relevant€material€is€altered,€concealed,€or€destroyed.€€Applicable€law€inÏmany€jurisdictions€makes€it€an€offense€to€destroy€material€for€the€purpose€of€impairing€itsÏavailability€in€a€pending€proceeding€or€a€proceeding€the€commencement€of€which€can€be€foreseen.€ÏFalsifying€evidence€is€also€generally€a€criminal€offense.€€Paragraph€(a)€applies€to€evidentiaryÏmaterial€generally,€including€computerized€information.ÌÌÔf  ÔÔg Ôà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô3Ôf  ÔÔg Ô]à àAlthough€paragraph€(f)€broadly€prohibits€lawyers€from€taking€extrajudicial€action€toÏimpede€informal€fact„gathering,€it€does€permit€the€lawyer€to€request€that€the€lawyerððs€client,€andÏrelatives,€employees,€or€agents€of€the€client,€refrain€from€voluntarily€giving€information€to€anotherÏparty.€€This€principle€follows€because€such€relatives€and€employees€will€normally€identify€theirÏinterests€with€those€of€the€client.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€4.2.€ÌÌÔf  Ôà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô4Ôf  ÔÔg Ô]à àWith€regard€to€paragraph€(Ôf  ÔÔg ÔÔf  ÔÔg ÔhÔf  ÔÔg Ô),€it€is€not€improper€to€pay€a€witnessððs€expenses€or€toÏcompensate€an€expert€witness€on€terms€permitted€by€law.€€The€common€law€rule€in€mostÏjurisdictions€is€that€it€is€improper€to€pay€an€occurrence€witness€any€fee€for€testifying€and€that€it€isÏimproper€to€pay€an€expert€witness€a€contingent€fee.ÌÌÔf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ôà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowinglyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)ò òÇÔ  Ôó óà@ àò òRule€3.5Ìó óà@ àò òIMPARTIALITY€AND€DECORUM€OF€THE€TRIBUNALó óÌò òÔ  ÔÌó óA€lawyer€shall€not:ÌÌà0 à(a)à àseek€to€influence€a€judge,€juror,€a€member€of€the€jury€pool,€or€other€official€byÏmeans€prohibited€by€law;ÌÌà0 à(b)à àcommunicate€òòex€parteóó€with€a€judge,€juror,€or€a€member€of€the€jury€pool,€prior€to€orÏduring€a€proceeding,€except€as€permitted€by€law;ÌÌà0 à(c)à àcommunicate€with€a€juror€after€completion€of€the€jurorððs€term€of€service€if€theÏcommunication€is€prohibited€by€law,€or€is€calculated€merely€to€harass€or€embarrass€the€jurorÏor€to€influence€the€jurorððs€actions€in€future€jury€service;ÌÌà0 à(d)à àconduct€a€vexatious€or€harassing€investigation€of€a€juror€or€a€member€of€the€juryÏpool;€orÌÌà0 à(e)à àengage€in€conduct€intended€to€disrupt€a€proceeding€before€or€conducted€pursuant€toÏthe€authority€of€a€tribunal.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àMany€forms€of€improper€influence€upon€a€tribunal€are€proscribed€by€criminal€law€orÏby€state€or€local€rules€of€procedure.€€Others€are€specified€in€the€Tennessee€Code€of€JudicialÏConduct,€with€which€an€advocate€should€be€familiar.€€For€example,€a€lawyer€shall€not€give€or€lendÏanything€of€value€to€a€judge,€judicial€officer,€or€employee€of€a€tribunal,€except€as€permitted€byÏSection€(C)(4)€of€Canon€5€of€the€Code€of€Judicial€Conduct.€€A€lawyer,€however,€may€make€aÏcontribution€to€the€campaign€fund€of€a€candidate€for€judicial€office€in€conformity€with€SectionÏ(B)(2)€of€Canon€7€of€the€Code€of€Judicial€Conduct.ÌÌà à[2]à àParagraph€(b)€does€not€prohibit€communicating€with€a€judge€on€the€merits€of€theÏcause€in€writing€if€the€lawyer€promptly€delivers€a€copy€of€the€writing€to€opposing€counsel€and€toÏparties€who€are€not€represented€by€counsel.€€Oral€communication€is€permitted€upon€adequate€noticeÏto€opposing€counsel€and€parties€who€are€not€represented€by€counsel.ÌÌà à[3]à àParagraph€(b)€also€does€not€prohibit€a€lawyer€from€communicating€with€a€judge€inÏan€òòex€parteóó€hearing€to€establish€the€absence€of€a€conflict€of€interest€under€Ô_ÔRuleÔ_Ô€1.7(c).€€In€suchÏproceedings,€the€lawyer€is€of€course€bound€by€the€duty€of€candor€in€Ô_ÔRuleÔ_Ô€3.3(a)(3).€€ÌÌà à[4]à àA€communication€with€or€an€investigation€of€the€spouse,€child,€parent,€or€sibling€of€aÏjuror€or€a€member€of€the€jury€pool€will€be€deemed€a€communication€with€or€an€investigation€of€theÏjuror.€€ÌÌà à[5]à àThe€advocateððs€function€is€to€present€evidence€and€argument€so€that€the€cause€mayÏbe€decided€according€to€law.€€Refraining€from€abusive€or€obstreperous€conduct€is€a€corollary€of€theÏadvocateððs€right€to€speak€on€behalf€of€litigants.€€A€lawyer€may€stand€firm€against€abuse€by€a€judge,Ïbut€should€avoid€reciprocation;€the€judgeððs€default€is€no€justification€for€similar€dereliction€by€anÏadvocate.€€An€advocate€can€present€the€cause,€protect€the€record€for€subsequent€review,€and€preserveÏprofessional€integrity€more€effectively€by€using€patient€firmness€than€using€belligerence€orÏtheatrics.ÌÌà à[6]à àParagraph€(e)€prohibits€a€lawyer€from€engaging€in€conduct€intended€to€disrupt€aÏdeposition€as€well€as€a€trial.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)Çò òÔ  Ôó óà@ àò òRule€3.6Ìó óà@ àò òTRIAL€PUBLICITYó óÌÔ  ÔÌ(a)à àA€lawyer€who€is€participating€or€has€participated€in€the€investigation€or€litigation€of€a€matterÏshall€not€make€an€extrajudicial€statement€that€the€lawyer€knows€or€reasonably€should€know€will€beÏdisseminated€by€means€of€public€communication€and€will€have€a€substantial€likelihood€of€materiallyÏprejudicing€an€adjudicative€proceeding.€ÌÌ(b)à àNotwithstanding€paragraph€(a),€a€lawyer€may€state:ÌÌà0 à(1)à àthe€claim,€offense,€or€defense€involved€and,€except€when€prohibited€by€law,€theÏidentity€of€the€persons€involved;ÌÌà0 à(2)à àinformation€contained€in€a€public€record;ÌÌà0 à(3)à àthat€an€investigation€of€a€matter€is€in€progress;ÌÌà0 à(4)à àthe€scheduling€or€result€of€any€step€in€litigation;ÌÌà0 à(5)à àa€request€for€assistance€in€obtaining€evidence€and€information€necessary€thereto;ÌÌà0 à(6)à àa€warning€of€danger€concerning€the€behavior€of€a€person€involved,€when€there€isÏreason€to€believe€that€there€exists€the€likelihood€of€substantial€harm€to€an€individual€or€to€theÏpublic€interest;€andÌÌà0 à(7)à àin€a€criminal€case,€in€addition€to€subparagraphs€(1)€through€(6):ÌÌà0 àà0 à(i)à àthe€identity,€residence,€occupation,€and€family€status€of€the€accused;€ÌÌà0 àà0 à(ii)à àif€the€accused€has€not€been€apprehended,€information€necessary€to€aid€inÏapprehension€of€that€person;ÌÌà0 àà0 à(iii)à àthe€fact,€time,€and€place€of€arrest;€andÌÌà0 àà0 à(iv)à àthe€identity€of€investigating€and€arresting€officers€or€agencies€and€the€lengthÏof€the€investigation.ÌÌ(c)à àNotwithstanding€paragraph€(a),€a€lawyer€may€make€a€statement€that€a€reasonable€lawyerÏwould€believe€is€required€to€protect€a€client€from€the€substantial€undue€prejudicial€effect€of€recentÏpublicity€not€initiated€by€the€lawyer€or€the€lawyerððs€client.€€A€statement€made€pursuant€to€thisÏparagraph€shall€be€limited€to€such€information€as€is€necessary€to€mitigate€the€recent€adverseÏpublicity.ÌÌ(d)à àNo€lawyer€associated€in€a€firm€or€government€agency€with€a€lawyer€subject€to€paragraph€(a)Ïshall€make€a€statement€prohibited€by€paragraph€(a).ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àIt€is€difficult€to€strike€a€balance€between€protecting€the€right€to€a€fair€trial€andÏsafeguarding€the€right€of€free€expression.€€Preserving€the€right€to€a€fair€trial€necessarily€entails€someÏcurtailment€of€the€information€that€may€be€disseminated€about€a€party€prior€to€trial,€particularlyÍwhere€trial€by€jury€is€involved.€€If€there€were€no€such€limits,€the€result€would€be€the€practicalÏnullification€of€the€protective€effect€of€the€rules€of€forensic€decorum€and€the€exclusionary€rules€ofÏevidence.€€On€the€other€hand,€there€are€vital€social€interests€served€by€the€free€dissemination€ofÏinformation€about€events€having€legal€consequences€and€about€legal€proceedings€themselves.€€TheÏpublic€has€a€right€to€know€about€threats€to€its€safety€and€measures€aimed€at€assuring€its€security.€€ItÏalso€has€a€legitimate€interest€in€the€conduct€of€judicial€proceedings,€particularly€in€matters€of€generalÏpublic€concern.€€Furthermore,€the€subject€matter€of€legal€proceedings€is€often€of€direct€significanceÏin€debate€and€deliberation€over€questions€of€public€policy.ÌÌà à[2]à àSpecial€rules€of€confidentiality€may€validly€govern€proceedings€involving€juveniles,Ïdomestic€relations,€mental€disabilities,€and€perhaps€other€types€of€litigation.€€Ô_ÔRuleÔ_Ô€3.4(c)€requiresÏcompliance€with€such€Rules.ÌÌà à[3]à àThe€Rule€sets€forth€a€basic€general€prohibition€against€a€lawyerððs€making€statementsÏthat€the€lawyer€knows€or€reasonably€should€know€will€have€a€substantial€likelihood€of€materiallyÏprejudicing€an€adjudicative€proceeding.€€Recognizing€that€the€public€value€of€informed€commentaryÏis€great€and€the€likelihood€of€prejudice€to€a€proceeding€by€the€commentary€of€a€lawyer€who€is€notÏinvolved€in€the€proceeding€is€small,€the€Rule€applies€only€to€lawyers€and€their€associates€who€are,€orÏwho€have€been,€involved€in€the€investigation€or€litigation€of€a€case.ÌÌà à[4]à àParagraph€(b)€identifies€specific€matters€about€which€a€lawyerððs€statements€wouldÏnot€ordinarily€be€considered€to€present€a€substantial€likelihood€of€material€prejudice€and€should€notÏin€any€event€be€considered€prohibited€by€the€general€prohibition€of€paragraph€(a).€€Paragraph€(b)€isÏnot€intended€to€be€an€exhaustive€listing€of€the€subjects€upon€which€a€lawyer€may€make€a€statement,Ïbut€statements€on€other€matters€will€be€governed€by€paragraph€(a).ÌÌà à[5]à àThere€are,€on€the€other€hand,€certain€subjects€that€are€more€likely€than€not€to€have€aÏmaterial€prejudicial€effect€on€a€proceeding,€particularly€when€they€refer€to€a€civil€matter€triable€to€aÏjury,€a€criminal€matter,€or€any€other€proceeding€that€could€result€in€incarceration.€€These€subjectsÏrelate€to€the€following€matters:ÌÌà0 à(1)à àthe€character,€credibility,€reputation,€or€criminal€record€of€a€party,€suspect€in€aÏcriminal€investigation,€or€witness;€the€identity€of€a€witness;€or€the€expected€testimony€of€aÏparty€or€witness;ÌÌà0 à(2)à àin€a€criminal€case€or€proceeding€that€could€result€in€incarceration,€the€possibility€of€aÏplea€of€guilty€to€the€offense€or€the€existence€or€contents€of€any€confession,€admission,€orÏstatement€given€by€a€defendant€or€suspect,€or€that€personððs€refusal€or€failure€to€make€aÏstatement;ÌÌà0 à(3)à àthe€performance€or€results€of€any€examination€or€test;€the€refusal€or€failure€of€aÏperson€to€submit€to€an€examination€or€test;€or€the€identity€or€nature€of€physical€evidenceÏexpected€to€be€presented;ÌÌà0 à(4)à àany€opinion€as€to€the€guilt€or€innocence€of€a€defendant€or€suspect€in€a€criminal€caseÏor€proceeding€that€could€result€in€incarceration;€orÌÌà0 à(5)à àinformation€that€the€lawyer€knows€or€reasonably€should€know€is€likely€to€beÏinadmissible€as€evidence€in€a€trial€and€that€would,€if€disclosed,€create€a€substantial€risk€ofÏprejudicing€an€impartial€trial.Ìà0 àÌà à[6]à àAnother€relevant€factor€in€determining€prejudice€is€the€nature€of€the€proceedingÏinvolved.€€Criminal€jury€trials€will€be€most€sensitive€to€extrajudicial€speech.€€Civil€trials€may€be€lessÏsensitive.€€Nonjury€hearings€and€arbitration€proceedings€may€be€even€less€affected.€€The€Rule€stillÏplaces€limitations€on€prejudicial€comments€in€these€cases,€but€the€likelihood€of€prejudice€may€beÏdifferent€depending€on€the€type€of€proceeding.ÌÌà à[7]à àFinally,€extrajudicial€statements€that€might€otherwise€raise€a€question€under€this€RuleÏmay€be€permissible€when€they€are€made€in€response€to€statements€made€publicly€by€another€party,Ïanother€partyððs€lawyer,€or€third€persons,€but€only€if€a€reasonable€lawyer€would€believe€a€publicÏresponse€is€required€in€order€to€avoid€substantial€prejudice€to€the€lawyerððs€client.€€In€someÏsituations,€responsive€statements€may€have€the€salutary€effect€of€lessening€any€adverse€impact€onÏthe€adjudicative€proceeding€resulting€from€the€prejudicial€statements€made€publicly€by€others.€€SuchÏresponsive€statements€should€be€limited€to€contain€only€such€information€as€is€necessary€to€mitigateÏundue€prejudice€created€by€the€statements€made€by€others.ÌÌà à[8]à àSee€Ô_ÔRuleÔ_Ô€3.8(e)€Ôf  ÔÔg Ôfor€additional€duties€of€prosecutors€in€connection€with€extrajudicialÏstatements€about€criminal€proceedings.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Should€Knowðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(k)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Çò òÔ  Ôó óà@ àò òRule€3.7Ìó óà@ àò òLAWYER€AS€A€WITNESSÌó óÔ  ÔÌ(a)à àA€lawyer€shall€not€act€as€an€advocate€at€a€trial€in€which€the€lawyer€is€likely€to€be€a€necessaryÏwitness€except€where:ÌÌà0 à(1)à àthe€testimony€relates€to€an€uncontested€issue;ÌÌà0 à(2)à àthe€testimony€relates€to€the€nature€and€value€of€legal€services€rendered€in€the€case;€orÌà0 àÌà0 à(3)à àdisqualification€of€the€lawyer€would€work€substantial€hardship€on€the€client.ÌÌ(b)à àA€lawyer€may€act€as€an€advocate€in€a€trial€in€which€another€lawyer€in€the€lawyerððs€firm€isÏlikely€to€be€called€as€a€witness€unless€precluded€from€doing€so€by€Ô_ÔRuleÔ_Ô€1.7€or€Ô_ÔRuleÔ_Ô€1.9.Ìò òÌó óà@ àò òCOMMENTSó óÌÌà à[1]à àCombining€the€roles€of€advocate€and€witness€can€prejudice€the€opposing€party€andÏcan€involve€a€conflict€of€interest€between€the€lawyer€and€client.ÌÌà à[2]à àThe€opposing€party€has€a€proper€objection€where€the€combination€of€roles€mayÏprejudice€that€partyððs€rights€in€the€litigation.€€A€witness€is€required€to€testify€on€the€basis€ofÏpersonal€knowledge,€while€an€advocate€is€expected€to€explain€and€comment€on€evidence€given€byÏothers.€€It€may€not€be€clear€whether€a€statement€by€an€advocate„witness€should€be€taken€as€proof€orÏas€an€analysis€of€the€proof.ÌÌà à[3]à àParagraph€(a)(1)€recognizes€that€if€the€testimony€will€be€uncontested,€then€theÏambiguities€in€the€dual€role€are€purely€theoretical.€€Paragraph€(a)(2)€recognizes€that€where€theÏtestimony€concerns€the€extent€and€value€of€legal€services€rendered€in€the€action€in€which€theÏtestimony€is€offered,€permitting€the€lawyers€to€testify€avoids€the€need€for€a€second€trial€with€newÏcounsel€to€resolve€that€issue.€€Moreover,€in€such€a€situation€the€judge€has€firsthand€knowledge€ofÏthe€matter€in€issue;€hence,€there€is€less€dependence€on€the€adversary€process€to€test€the€credibility€ofÏthe€testimony.ÌÌà à[4]à àApart€from€these€two€exceptions,€paragraph€(a)(3)€recognizes€that€a€balancing€isÏrequired€between€the€interests€of€the€client€and€those€of€the€opposing€party.€€Whether€the€opposingÏparty€is€likely€to€suffer€prejudice€depends€on€the€nature€of€the€case,€the€importance€and€probableÏtenor€of€the€lawyerððs€testimony,€and€the€probability€that€the€lawyerððs€testimony€will€conflict€withÏthat€of€other€witnesses.€€Even€if€there€is€risk€of€such€prejudice,€in€determining€whether€the€lawyerÏshould€be€disqualified€due€regard€must€be€given€to€the€effect€of€disqualification€on€the€lawyerððsÏclient.€€It€is€relevant€that€one€or€both€parties€could€reasonably€foresee€that€the€lawyer€wouldÏprobably€be€a€witness.€€The€principle€of€imputed€disqualification€stated€in€Ô_ÔRuleÔ_Ô€1.10€has€noÏapplication€to€this€aspect€of€the€problem.ÌÌà à[5]à àWhether€the€combination€of€roles€involves€an€improper€conflict€of€interest€withÏrespect€to€the€client€is€determined€by€Ô_ÔRuleÔ_Ô€1.7€or€1.9.€€For€example,€if€there€is€likely€to€beÏsubstantial€conflict€between€the€testimony€of€the€client€and€that€of€the€lawyer€or€a€member€of€theÏlawyerððs€firm,€the€representation€is€improper.€€This€problem€can€arise€irrespective€of€whether€theÏlawyer€is€called€as€a€witness€on€behalf€of€the€client€or€is€called€by€the€opposing€party.€€DeterminingÏwhether€such€a€conflict€exists€is€primarily€the€responsibility€of€the€lawyer€involved.€€òòSeeóó€CommentÍ[19]€to€Ô_ÔRPCÔ_Ô€1.7.€€If€a€lawyer€who€is€a€member€of€a€firm€may€not€act€as€both€an€advocate€and€aÏwitness€by€reason€of€a€conflict€of€interest,€Ô_ÔRuleÔ_Ô€1.10€disqualifies€the€firm€also.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)€€Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€3.8Ìó óà@ àò òSPECIAL€RESPONSIBILITIES€OF€A€PROSECUTORó óÌò òÔ  ÔÌó óThe€prosecutor€in€a€criminal€matter:ÌÌà0 à(a)à àshall€refrain€from€prosecuting€a€charge€that€the€prosecutor€knows€is€not€supportedÏby€probable€cause;€andÌÌà0 à(b)à àshall€make€reasonable€efforts€to€assure€that€the€accused€has€been€advised€of€the€rightÏto,€and€the€procedure€for€obtaining,€counsel€and€has€been€given€reasonable€opportunity€toÏobtain€counsel;€andÌÌà0 à(c)à àshall€not€advise€an€unrepresented€accused€to€waive€important€pretrial€rights;€andÌÌà0 à(d)à àshall€make€timely€disclosure€to€the€defense€of€all€evidence€or€information€known€toÏthe€prosecutor€that€tends€to€negate€the€guilt€of€the€accused€or€mitigates€the€offense,€and,€inÏconnection€with€sentencing,€shall€disclose€to€the€defense€andÔf  ÔÔg Ô,€if€the€defendant€is€proceedingÏòòpro€seóó,Ôf  ÔÔg Ô€to€the€tribunal€all€unprivileged€mitigating€information€known€to€the€prosecutor,Ïexcept€when€the€prosecutor€is€relieved€of€this€responsibility€by€a€protective€order€of€theÏtribunal;€andÌÌà0 à(e)à àshall:€ÌÌà0 àà0 à(1)à àexercise€reasonable€care€to€prevent€employees€of€the€prosecutorððs€officeÏfrom€making€an€extrajudicial€statement€that€the€prosecutor€would€be€prohibited€fromÏmaking€under€Ô_ÔRuleÔ_Ô€3.6;€andÌÌà0 àà0 à(2)à àdiscourage€investigators,€law€enforcement€personnel,€and€other€personsÏassisting€or€associated€with€the€prosecutor€in€a€criminal€matter€from€making€anÏextrajudicial€statement€that€the€prosecutor€would€be€prohibited€from€making€underÏÔ_ÔRuleÔ_Ô€3.6;€andÌÌà0 à(f)à àshall€not€subpoena€a€lawyer€in€a€grand€jury€or€other€criminal€proceeding€to€presentÏevidence€about€a€client€or€former€client€unless€the€prosecutor€reasonably€believes:ÌÌà0 àà0 à(1)à àthe€information€sought€is€not€protected€from€disclosure€by€any€applicableÏprivilege;€ÌÌà0 àà0 à(2)à àthe€evidence€sought€is€essential€to€the€successful€completion€of€an€ongoingÏinvestigation€or€prosecution;€and€ÌÌà0 àà0 à(3)à àthere€is€no€other€feasible€alternative€to€obtain€the€informationÔf  ÔÔg ÔÔf  ÔÔg Ô.Ôf  ÔÔg ÔÌà0 àÌÔf  ÔÔg Ôà@ àò òCOMMENTSÌó óÌà à[1]à àA€prosecutor€has€the€responsibility€of€a€minister€of€justice€whose€duty€is€to€seekÏjustice€rather€than€merely€to€advocate€for€the€Stateððs€victory€at€any€given€cost.€€òòSeeóó€òòState€v.€SuperiorÏOil,€Inc.óó,€875€S.W.2d€658,€661€(Tenn.€1994).€€For€example,€ð ðprosecutors€are€expected€to€beÏimpartial€in€the€sense€that€charging€decisions€should€be€based€upon€the€evidence,€withoutÏdiscrimination€or€bias€for€or€against€any€groups€or€individuals.€€Yet,€at€the€same€time,€they€areÏexpected€to€prosecute€criminal€offenses€with€zeal€and€vigor€within€the€bounds€of€the€law€andÍprofessional€conduct.ðð€€òòSeeóó€òòState€v.€Culbreathóó,€30€S.W.3d€309,€314€(Tenn.€2000).€€A€knowingÏdisregard€of€these€obligations€or€a€systematic€abuse€of€prosecutorial€discretion€could€constitute€aÏviolation€of€Ô_ÔRuleÔ_Ô€8.4.ÌÌà à[2]à àParagraph€(c)€does€not€apply€to€an€accused€appearing€òòpro€se€óówith€the€approval€ofÏthe€tribunal.€€Nor€does€it€forbid€the€lawful€questioning€of€a€suspect€who€has€knowingly€waived€theÏright€to€counsel€and€the€privilege€against€self„incrimination.ÌÌà à[3]à àThe€exception€in€paragraph€(d)€recognizes€that€a€prosecutor€may€seek€an€appropriateÏprotective€order€from€the€tribunal€if€disclosure€of€information€to€the€defense€could€result€inÏsubstantial€harm€to€an€individual€or€to€the€public€interest.ÌÌà à[4]à àParagraph€(f)€is€intended€to€limit€the€issuance€of€lawyer€subpoenas€in€grand€juryÏand€other€criminal€proceedings€to€those€situations€in€which€there€is€a€genuine€need€to€intrude€intoÏthe€client„lawyer€relationship.ÌÌÔf  Ôà à[5]à àSee€Ô_ÔRuleÔ_Ô€3.6€for€the€rules€governing€extrajudicial€statements€by€prosecutors€andÏother€lawyers€participating€in€the€investigation€or€litigation€of€a€matter.ÌÌÔg Ôà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðKnownðð€and€ð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)ÇÔ  Ôà@ àò òRule€3.9Ìó óà@ àò òADVOCATE€IN€NON„ADJUDICATIVE€PROCEEDINGSÌÔ  ÔÌó óA€lawyer€representing€a€client€before€a€legislative€body€or€administrative€agency€in€a€non„adjudicative€proceeding€shall€disclose€that€the€appearance€is€in€a€representative€capacity€and€shallÏconform€to€the€provisions€of€Ô_ÔRuleÔ_Ô€3.3(a)(1),€(a)(2),€(b),€(c),€and€(d);€Ô_ÔRuleÔ_Ô€3.4(a),€(b),€and€(c);€Ô_ÔRuleÔ_ÔÏ3.5(a),€(b),€and€(e);€and€Ô_ÔRuleÔ_Ô€4.1.€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àIn€representation€before€bodies€such€as€legislatures,€municipal€councils,€andÏexecutive€and€administrative€agencies€acting€in€a€rule„€or€policy„making€capacity,€lawyers€presentÏfacts,€formulate€issues,€and€advance€argument€in€the€matters€under€consideration.€€The€decision„making€body,€like€a€court,€should€be€able€to€rely€on€the€integrity€of€the€submissions€made€to€it.€€AÏlawyer€appearing€before€such€a€body€should€deal€with€the€tribunal€honestly€and€in€conformity€withÏthe€applicable€rules€of€procedure.ÌÌà à[2]à àLawyers€have€no€exclusive€right€to€appear€before€non„adjudicative€bodies,€as€they€doÏbefore€a€court.€€The€requirements€of€this€Rule€therefore€may€subject€lawyers€to€regulationsÏinapplicable€to€advocates€who€are€not€lawyers.€€However,€except€for€the€fact€that€lawyers€need€notÏsecure€the€permission€of€a€legislative€body€or€administrative€agency€to€withdraw€from€theÏrepresentation€of€a€client€in€a€non„adjudicative€matter€and€that€certain€of€the€rules€governing€theÏconduct€of€lawyers€in€adjudicative€matters€are€not€pertinent€to€non„adjudicative€matters,€legislaturesÏand€administrative€agencies€have€a€right€to€expect€lawyers€to€deal€with€them€as€they€deal€with€courts.€ÌÌà à[3]à àThis€Rule€does€not€apply€to€representation€of€a€client€in€a€negotiation€or€otherÏbilateral€transaction€with€a€governmental€agency;€representation€in€such€a€transaction€is€governed€byÏÔ_ÔRulesÔ_Ô€4.1€through€4.4.ÌÌà à[4]à àSee€Ô_ÔRuleÔ_Ô€4.1€for€the€duties€of€a€lawyer€who€comes€to€know€that€the€lawyerððs€clientÏor€a€witness€whose€testimony€is€presented€by€the€lawyer€has€testified€falsely€or€otherwise€presentedÏfalse€evidence€in€a€non„adjudicative€proceeding€conducted€by€a€legislative€body€or€administrativeÏagency.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌà0 àNone.Çò òÔ  Ôó óà@ àò òCHAPTER€4Ìó óà@ àò òTRANSACTIONS€WITH€PERSONS€OTHER€THAN€CLIENTSÌÔ  ÔÌÔ  Ôó óà@ àò òRule€4.1Ìó óà@ àò òTRUTHFULNESS€AND€CANDOR€IN€STATEMENTS€TO€OTHERSÔ  Ôó óÌÌ(a)à àIn€the€course€of€representing€a€client,€a€lawyer€shall€not€knowingly€make€a€false€statement€ofÏmaterial€fact€or€law€to€a€third€person.€ÌÌ(b)à àIfÔf  ÔÔg ÔÔf  ÔÔg Ô,€in€the€course€ofÔf  ÔÔg Ô€representing€a€client€in€a€non„adjudicative€matterÔf  ÔÔg Ô,€a€lawyerÔf  ÔÔg Ô€knows€that€theÏclient€intends€to€perpetrate€a€crime€or€fraud,€the€lawyer€shall€promptly€advise€the€client€to€refrainÏfromÔf  Ô€Ôg ÔÔf  ÔÔg Ôdoing€so€and€shallÔf  ÔÔg Ô€consult€with€the€client€about€the€consequences€of€the€clientððs€Ôf  ÔÔg ÔconductÔf  ÔÔg ÔÔf  ÔÔg Ô.€€IÔf  ÔÔg ÔfÔf  ÔÔg ÔÏafter€such€consultation,€the€lawyer€knows€that€the€client€still€intends€to€engage€in€the€wrongfulÏconduct,€the€lawyer€shall:Ì€Ìà0 à(1)à àwithdraw€from€the€representation€of€the€client€in€the€matter;€andÌÌà0 à(2)à àgive€notice€of€the€withdrawal€to€any€person€who€the€lawyer€knows€is€aware€of€theÏlawyerððs€representation€of€the€client€in€the€matter€and€whose€financial€or€property€interestsÏare€likely€to€be€injured€by€the€clientððs€criminal€or€fraudulent€conduct.Ôf  ÔÔg Ô€€The€lawyer€shall€alsoÏgive€notice€to€any€such€person€of€the€lawyerððs€disaffirmance€of€any€written€statements,Ïopinions,€or€other€material€prepared€by€the€lawyer€on€behalf€of€the€client€and€which€theÏlawyer€reasonably€believes€may€be€used€by€the€client€in€furtherance€of€the€crime€or€fraud.€€ÌÌ(c)à àIf€a€lawyer€who€is€representing€or€has€represented€a€client€in€a€non„adjudicative€matterÏcomes€to€know,€prior€to€the€conclusion€of€the€matter,€that€the€client€has,€during€the€course€of€theÏlawyerððs€representation€of€the€clientÔf  ÔÔg Ô,€perpetrated€a€crime€or€fraudÔf  ÔÔg Ô,€the€lawyer€shall€promptly€adviseÏthe€client€to€rectify€the€crime€or€fraud€Ôf  ÔÔg ÔÔf  ÔÔg ÔandÔf  ÔÔg Ô€consult€with€the€client€about€the€consequences€of€theÏclientððs€failure€to€Ôf  ÔÔg ÔÔf  ÔÔg Ôdo€so.€€IÔf  ÔÔg Ôf€the€client€refuses€or€is€unable€to€rectify€theÔf  ÔÔg Ô€crime€orÔf  ÔÔg Ô€fraud,€the€lawyerÏshall:€Ì€Ìà0 à(1)à àif€currently€representing€the€client€in€the€matter,€withdraw€from€the€representationÏand€give€notice€of€the€withdrawal€to€any€person€whom€the€lawyer€knows€is€aware€of€theÏlawyerððs€representation€of€the€client€in€the€matter€and€whose€financial€or€property€Ôf  ÔÔg ÔinterestsÏare€likely€to€be€injured€by€the€clientððs€criminal€or€fraudulent€conduct;€and€€ÌÌà0 à(2)à àgive€notice€to€Ôf  ÔÔg Ôany€Ôf  ÔÔg Ôsuch€person€of€the€lawyerððs€disaffirmance€of€any€writtenÏstatements,€opinions,€or€other€material€prepared€by€the€lawyer€on€behalf€of€the€client€and€thatÏthe€lawyer€reasonably€believes€may€be€used€by€the€client€in€furtherance€of€the€crime€orÏfraud.€€Ôg ÔÌà@ àò òCOMMENTSó óÌò òÌó óà@ àò òMisrepresentationó óÌÌà à[1]à àA€lawyer€is€required€to€be€truthful€when€dealing€with€others€on€a€clientððs€behalf,€butÏgenerally€has€no€affirmative€duty€to€inform€an€opposing€party€of€relevant€facts€or€law.€€AÏmisrepresentation€can€occur€if€the€lawyer€incorporates€or€affirms€a€statement€of€another€person€thatÏthe€lawyer€knows€is€false.€€A€misrepresentation€can€also€occur€by€a€failure€to€act.ÌÌà à[2]à àThis€Rule€refers€to€statements€of€fact.€€Whether€a€particular€statement€should€beÏregarded€as€one€of€fact€can€depend€on€the€circumstances.€€Under€generally€accepted€conventions€inÍnegotiation,€certain€types€of€statements€ordinarily€are€not€taken€as€statements€of€material€fact.€ÏEstimates€of€price€or€value€placed€on€the€subject€of€a€transaction€and€a€partyððs€intentions€as€to€anÏacceptable€settlement€of€a€claim€are€in€this€category,€as€is€the€existence€of€an€undisclosed€principalÏexcept€where€nondisclosure€of€the€principal€would€constitute€fraud.ÌÌà@ àò òCrime€or€Fraud€by€Clientó óÌÌÓ(€ ' (Óà à[3]à àParagraphs€(b)€and€(c)€provide€guidance€for€lawyers€who€discover€that€a€clientÏintends€to€or€is€engaging€in€criminal€or€fraudulent€conduct,€and€in€some€cases€may€even€have€usedÏthe€lawyerððs€services€to€assist€them€commit€the€crime€or€fraud.€€To€avoid€assisting€the€client€withÏthe€crime€or€fraud,€the€lawyer€must€advise€the€client€to€refrain€from€or€to€rectify€the€consequences€ofÏthe€criminal€or€fraudulent€act.€€If€the€client€refuses€or€is€unable€to€do€so,€the€lawyer€must€withdrawÏfrom€the€representation€of€the€client€in€the€matter.€€Additionally,€this€Rule€mandates€limitedÏdisclosuresð"ðnotice€of€withdrawal€or€disaffirmance€of€written€work€productð"ðin€Ôf  ÔÔg Ôcircumstances€inÏwhich€such€disclosure€is€necessary€for€the€lawyer€to€prevent€the€client€from€using€the€lawyerððsÏservices€Ôg ÔÔf  ÔÔg Ôin€furtherance€ofÔf  ÔÔg Ô€theÔf  ÔÔg Ô€crime€or€fraud.€€To€this€limited€extent,€then,€this€Rule€overrides€theÏlawyerððs€duties€in€Ô_ÔRulesÔ_Ô€1.6,€1.8(b),€and€1.9(c)€prohibiting€disclosure€or€use€to€the€disadvantage€ofÏthe€client€of€information€relating€to€the€representation.Ôf  ÔÔg Ô€€Other€than€the€disclosure€mandated€by€thisÏRule,€however,€the€lawyer€must€not€reveal€information€relating€to€the€representation€unless€permittedÏto€do€so€by€Ô_ÔRuleÔ_Ô€1.6.Ôf  ÔÔg ÔÌÌà à[4]à àIf€a€lawyer€learns€that€a€client€intends€to€commit€a€crime€or€fraud€underÏcircumstances€in€which€the€lawyer€will€not€assist€the€offense€by€remaining€silent,€paragraph€(b)Ïrequires€remonstration€with€the€client€against€the€crime€or€fraud€and€requires€withdrawal€if€the€clientÏdoes€not€desist€from€the€course€of€conduct€in€question.€€Although€the€lawyer€is€not€Ôf  ÔÔg ÔÔf  ÔÔg ÔrequiredÔf  ÔÔg Ô€toÏreveal€the€clientððs€intended€or€ongoing€fraud,€the€lawyer€is€required€to€communicate€the€fact€that€heÏor€she€has€withdrawn€from€the€representation€of€the€client€to€any€person€who€the€lawyer€reasonablyÏbelieves€knows€of€the€lawyerððs€involvement€in€the€matter€and€whose€financial€or€property€interestsÏare€likely€to€be€damaged€by€the€clientððs€intended€or€ongoing€misconduct.€€This€communication€isÏnecessary€to€fully€distance€the€lawyer€from€the€clientððs€misconduct.€€If€the€clientððs€intended€conductÏis€a€crime,€full€disclosure€of€the€crime€is€permitted€by€Ô_ÔRuleÔ_Ô€1.6(b),€but€such€disclosure€is€notÏrequired€by€paragraph€(b)€of€this€Rule.ÌÌà à[5]à àIn€some€cases,€a€lawyer€will€learn€about€a€clientððs€crime€or€fraud€after€he€or€she€hasÏinnocently€prepared€and€submitted€statements,€opinions,€or€other€materials€to€third€parties€who€willÏbe€adversely€affected€if€the€client€persists€with€his€or€her€misconduct.€€If€the€lawyer€was€misled€byÏÔf  ÔÔg ÔÔf  ÔÔg ÔtheÔf  ÔÔg Ô€client,€some€of€these€statements,€opinions€or€materials€may€be€false€or€misleading.€€Even€thoughÏaccurate,€they€may€be€necessary€for€the€accomplishment€of€the€clientððs€crime€or€fraud.€€ThisÏpresents€the€lawyer€with€a€dilemma.€€Without€the€consent€of€the€client,€the€lawyer€may€not€correctÏthe€statements,€opinions,€or€materials.€€That€would€violate€the€prohibition€against€revealingÏinformation€related€to€the€representation€of€the€client.€€Yet€to€do€nothing€would€allow€the€client€toÏuse€the€lawyerððs€work€in€the€clientððs€ongoing€effort€to€consummate€the€fraud.€€To€resolve€thisÏdilemma,€Ôf  ÔÔg ÔÔf  ÔÔg Ôparagraphs€(b)€andÔf  ÔÔg Ô€(c)Ôf  ÔÔg Ô€doÔf  ÔÔg Ô€not€require€disclosure€of€the€crime€or€fraud€but€only€requiresÏthat€the€lawyer€effectively€disengage€from€the€crime€or€fraud€by€giving€notice€to€affected€persons€ofÏthe€lawyerððs€disaffirmance€of€the€lawyerððs€work€product€that€the€lawyer€reasonably€believes€may€beÏused€by€the€client€in€furtherance€of€the€crime€or€fraud.€€See€Ô_ÔRuleÔ_Ô€1.6(b)€for€the€circumstances€inÏwhich€the€lawyer€is€permitted€to€reveal€information€for€the€purposes€of€preventing€the€clientððs€crimeÏor€fraud.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðConsultðð€and€ð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(c)€Ìð ðFraudðð€and€Fraudulentðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)Ìð ðKnowinglyðð€and€ð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonably€Believesðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(j)Çò òÔ  Ôó óà@ àò òRule€4.2Ìó óà@ àò òCOMMUNICATION€WITH€A€PERSON€REPRESENTED€BY€COUNSELÌó óÔ  ÔÌIn€representing€a€client,€a€lawyer€shall€not€communicate€about€the€subject€of€the€representation€withÏa€person€the€lawyer€knows€to€be€represented€by€another€lawyer€in€the€matter,€unless€the€lawyer€hasÏthe€consent€of€the€other€lawyer€or€is€authorized€by€law€to€do€so.€€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€contributes€to€the€proper€functioning€of€the€legal€system€by€protecting€aÏperson€who€has€chosen€to€be€represented€by€a€lawyer€in€a€matter€against€possible€overreaching€byÏother€lawyers€who€are€participating€in€the€matter,€interference€by€those€lawyers€with€the€client„lawyer€relationship,€and€the€uncounseled€disclosure€of€information€relating€to€the€representation.ÌÌà à[2]à àThis€Rule€applies€to€communications€with€any€person,€whether€or€not€a€party€to€aÏformal€adjudicative€proceeding,€contract,€or€negotiation,€who€is€represented€by€counsel€concerningÏthe€matter€to€which€the€communication€relates.€€The€Rule€applies€even€though€the€representedÏperson€initiates€or€consents€to€the€communication.€€A€lawyer€must€immediately€terminateÏcommunication€with€a€person€if,€after€commencing€communication,€the€lawyer€learns€that€theÏcommunication€is€not€permitted€by€this€Rule.€ÌÌà à[3]à àIn€the€case€of€a€represented€organization,€this€Rule€prohibits€communications€by€aÏlawyer€for€another€person€or€entity€concerning€the€matter€in€representation€with€a€member€of€theÏgoverning€board,€an€officer€or€managerial€agent€or€employee,€or€an€agent€or€employee€whoÏsupervises€or€directs€the€organizationððs€lawyer€concerning€the€matter,€has€authority€to€contractuallyÏobligate€the€organization€with€respect€to€the€matter,€or€otherwise€participates€substantially€in€theÏdetermination€of€the€organizationððs€position€in€the€matter.€ÌÌà à[4]à àIf€an€agent€or€employee€of€an€organization€is€represented€in€the€matter€by€his€or€herÏown€counsel,€consent€by€that€counsel€will€be€sufficient€for€purposes€of€this€Rule.€€Consent€of€theÏorganizationððs€lawyer€is€not€required€for€communication€with€a€former€agent€or€employee.€€SeeÏÔ_ÔRuleÔ_Ô€4.4€regarding€the€lawyerððs€duty€not€to€violate€the€organizationððs€legal€rights€by€inquiringÏabout€information€protected€by€the€organizationððs€attorney„client€privilege€or€as€work„product€ofÏthe€organizationððs€lawyer.€€In€communicating€with€a€current€or€former€agent€or€employee€of€anÏorganization,€a€lawyer€shall€not€solicit€or€assist€in€the€breach€of€any€duty€of€confidentiality€owed€byÏthe€agent€to€the€organization.€€òòSeeóó€Ô_ÔRPCÔ_Ô€4.4.ÌÌà à[5]à àThis€Rule€does€not€prohibit€communication€with€a€represented€person,€or€anÏemployee€or€agent€of€such€a€person,€concerning€matters€outside€the€subject€matter€of€theÏrepresentation.€€For€example,€the€existence€of€a€controversy€between€a€government€agency€and€aÏprivate€party,€or€between€two€private€parties,€does€not€prohibit€a€lawyer€for€either€fromÏcommunicating€with€nonlawyer€representatives€of€the€other€regarding€a€separate€matter,€such€asÏadditional€or€different€unlawful€conduct€not€within€the€subject€matter€of€the€representation.€€NorÏdoes€this€Rule€preclude€a€lawyer€from€communicating€with€a€person€who€seeks€a€second€opinionÏabout€a€matter€in€which€the€person€is€represented€by€another€lawyer.€€Also,€parties€to€a€matter€mayÏcommunicate€directly€with€each€other.€€ÌÌà à[6]à àCommunications€with€represented€persons€may€be€authorized€by€specificÏconstitutional€or€statutory€provisions,€by€rules€governing€the€conduct€of€proceedings,€by€applicableÏjudicial€precedentÔf  ÔÔg Ô,€or€by€court€orderÔf  ÔÔg Ô.€€Communications€authorized€by€law,€for€example,€may€includeÏcommunications€by€a€lawyer€on€behalf€of€a€client€who€is€exercising€a€constitutional€or€other€legalÍright€to€communicate€with€a€governmental€official€having€the€power€to€redress€the€clientððsÏgrievances.ÌÌà à[7]à àBy€virtue€of€its€exemption€of€communications€authorized€by€law,€this€Rule€permits€aÏprosecutor€or€a€government€lawyer€engaged€in€a€criminal€or€civil€law€enforcement€investigation€toÏcommunicate€with€or€direct€investigative€agents€to€communicate€with€a€represented€person€prior€toÏthe€commencement€of€a€criminal€or€civil€law€enforcement€proceeding€against€the€representedÏperson.€€A€civil€law€enforcement€investigation€is€one€conducted€under€the€governmentððs€police€orÏregulatory€power€to€enforce€the€law.€€Once€a€represented€person€has€been€arrested,€indicted,Ïcharged,€or€named€as€a€defendant€in€a€criminal€or€civil€law€enforcement€proceeding,€however,Ïprosecutors€and€government€lawyers€must€comply€with€this€Rule.€€A€represented€personððs€waiverÏof€the€constitutional€right€to€counsel€does€not€exempt€the€prosecutor€from€the€duty€to€comply€withÏthis€Rule.€ÌÌà à[8]à àIn€the€event€the€person€with€whom€the€lawyer€communicates€is€not€known€to€beÏrepresented€by€counsel€in€the€matter,€the€lawyerððs€communications€are€subject€to€Ô_ÔRuleÔ_Ô€4.3.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Çò òÔ  Ôó óà@ àò òRule€4.3Ìó óà@ àò òDEALING€WITH€AN€UNREPRESENTED€PERSONó óÌÔ  ÔÌIn€dealing€on€behalf€of€a€client€with€a€person€who€is€not€represented€by€counsel,€a€lawyer€shall€notÏstate€or€imply€that€the€lawyer€is€disinterested.€€When€the€lawyer€knows€or€reasonably€should€knowÏthat€the€unrepresented€person€misunderstands€the€lawyerððs€role€in€the€matter,€the€lawyer€shall€makeÏreasonable€efforts€to€correct€the€misunderstanding.€€TheÔf  ÔÔg Ô€lawyer€shall€not€Ôf  ÔÔg ÔÔf  ÔÔg ÔgiveÔf  ÔÔg Ô€legal€advice€to€Ôf  ÔÔg ÔÔf  ÔÔg ÔanÔf  ÔÔg ÔÏunrepresented€personÔf  ÔÔg Ô,Ôf  ÔÔg Ô€other€than€the€advice€to€secure€counsel,€Ôg ÔÔf  ÔÔg Ôif€the€lawyer€knows€or€reasonablyÏshould€know€that€the€interests€of€such€a€person€are,€or€have€a€reasonable€possibility€of€being,€inÏconflict€with€the€interests€of€the€client.€€ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àAn€unrepresented€person,€particularly€one€not€experienced€in€dealing€with€legalÏmatters,€might€assume€that€a€lawyer€is€disinterested€in€loyalties€or€is€a€disinterested€authority€on€theÏlaw€even€when€the€lawyer€represents€a€client.€Ôg Ô€In€order€to€avoid€a€misunderstanding,€a€lawyer€willÏtypically€need€to€identify€the€lawyerððs€client€and,€where€necessary,€explain€that€the€client€hasÏinterests€opposed€to€those€of€the€unrepresented€person.€€For€misunderstandings€that€sometimesÏarise€when€a€lawyer€for€an€organization€deals€with€an€unrepresented€constituent,€see€Ô_ÔRuleÔ_Ô€1.13(d).ÌÌà à[2]à àThe€Rule€distinguishes€between€situations€involving€unrepresented€persons€whoseÏinterests€may€be€adverse€to€those€of€the€lawyerððs€client€and€those€in€which€the€personððs€interests€areÏnot€in€conflict€with€the€clientððs.€€In€the€former€situation,€the€possibility€that€the€lawyer€willÏcompromise€the€unrepresented€personððs€interests€is€so€great€that€the€Rule€prohibits€the€giving€ofÏany€advice,€apart€from€the€advice€to€obtain€counsel.€€Whether€a€lawyer€is€giving€impermissibleÏadvice€may€depend€on€the€experience€and€sophistication€of€the€unrepresented€person,€as€well€as€theÏsetting€in€which€the€behavior€and€comments€occur.€€This€Rule€does€not€prohibit€a€lawyer€fromÏnegotiating€the€terms€of€a€transaction€or€settling€a€dispute€with€an€unrepresented€person.€€So€long€asÏthe€lawyer€has€explained€that€the€lawyer€represents€an€adverse€party€and€is€not€representing€theÏperson,€the€lawyer€may€inform€the€person€of€the€terms€on€which€the€lawyerððs€client€will€enter€intoÏan€agreement€or€settle€a€matter,€prepare€documents€that€require€the€personððs€signature,€and€explainÏthe€lawyerððs€own€view€of€the€meaning€of€the€document€or€the€lawyerððs€view€of€the€underlying€legalÏobligations.Ìò òÌó óà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ìð ðReasonably€Should€Knowðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(k)ò òÇÔ  Ôó óà@ àò òRule€4.4ó óÌà@ àò òRESPECT€FOR€THE€RIGHTS€OF€THIRD€PERSONSó óÌÔ  ÔÌIn€representing€a€client,€a€lawyer€shall€not:ÌÌà0 à(a)à àuse€means€that€have€no€substantial€purpose€other€than€to€embarrass,€delay,€or€burdenÏa€third€person€or€knowingly€use€methods€of€obtaining€evidence€that€violate€the€legal€rightsÏof€such€a€person;€orÌÌà0 à(b)à àthreaten€to€present€a€criminal€charge,€or€to€offer€or€to€agree€to€refrain€from€filingÏsuch€a€charge,€for€the€purpose€of€obtaining€an€advantage€in€a€civil€matter.ÌÌà@ àò òCOMMENTó óÌÌà àResponsibility€to€a€client€requires€a€lawyer€to€subordinate€the€interests€of€others€to€those€ofÏthe€client,€but€that€responsibility€does€not€imply€that€a€lawyer€may€disregard€the€rights€of€thirdÏpersons.€€It€is€impractical€to€catalogue€all€such€rights,€but€they€include€legal€restrictions€on€methodsÏof€obtaining€evidence€from€third€persons€and€unwarranted€intrusions€into€privileged€relationships,Ïsuch€as€the€client„lawyer€relationship.Ôg Ô€€ÌÔf  ÔÔg ÔÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowinglyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)Çò òÔ  Ôó óÔf  ÔÔg ÔÔf  ÔÔg Ôà@ àò òCHAPTER€5Ìó óà@ àò òLAW€FIRMS,€LEGAL€DEPARTMENTS,€AND€LEGALÌó óà@ àò òSERVICE€ORGANIZATIONSó óÌÔ  ÔÌò òÔ  Ôó óà@ àò òRule€5.1Ìó óà@ àò òRESPONSIBILITIES€OF€A€PARTNER,€MANAGING€LAWYER,Ìó óà@ àò òOR€SUPERVISORY€LAWYERó óÌÔ  ÔÌ(a)à àA€partner€in€a€law€firm€and€a€lawyer€who€individually€or€together€with€other€lawyersÏpossesses€comparable€managerial€authority€in€a€law€firm€shall€make€reasonable€efforts€to€ensureÏthat€the€firm€has€in€effect€measures€giving€reasonable€assurance€that€all€lawyers€in€the€firm€conformÏto€the€Rules€of€Professional€Conduct.€ÌÌ(b)à àA€lawyer€having€direct€supervisory€authority€over€another€lawyer€shall€make€reasonableÏefforts€to€ensure€that€the€other€lawyer€conforms€to€the€Rules€of€Professional€Conduct.ÌÌ(c)à àA€lawyer€shall€be€responsible€for€another€lawyerððs€violation€of€the€Rules€of€ProfessionalÏConduct€if:ÌÌà0 à(1)à àthe€lawyer€orders€or,€with€knowledge€of€the€specific€conduct,€ratifies€the€conductÏinvolved;€orÌà0 àÌà0 à(2)à àthe€lawyer:€ÌÌà0 àà0 à(i)à àis€a€partner€or€has€comparable€managerial€authority€in€the€law€firm€in€whichÏthe€other€lawyer€practices,€has€direct€supervisory€authority€over€the€other€lawyer,€isÏserving€as€co„counsel€with€the€other€lawyer€in€the€matter,€or€is€sharing€fees€from€theÏmatter€with€the€other€lawyer;€and€ÌÌà0 àà0 à(ii)à àknows€of€the€conduct€at€a€time€when€its€consequences€can€be€avoided€orÏmitigated,€but€fails€to€take€reasonable€remedial€action.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àParagraph€(a)€applies€to€lawyers€who€have€managerial€authority€over€theÏprofessional€work€of€a€law€firm.€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)€(defining€law€firm€to€include€not€only€a€privateÏlaw€firm,€but€also€a€legal€department€of€a€corporation,€government€agency,€or€other€organization,Ïincluding€a€legal€services€organization).€€Each€partner€in€a€law€partnership,€or€their€counterparts€inÏfirms€organized€as€professional€corporations,€professional€limited€liability€companies,€orÏprofessional€limited€liability€partnerships,€will€be€deemed€to€possess€managerial€authority€for€allÏaspects€of€the€firmððs€practice.€€A€law€firm€or€other€organization€of€lawyers€described€in€this€RuleÏmay,€however,€agree€that€the€managerial€authority€for€the€conduct€of€the€firm€or€organization€will€beÏcentralized€in€some€but€not€all€of€the€partners€or€managing€lawyers.€€In€such€a€case,€only€theÏpartners€or€managing€lawyers€possessing€such€managerial€authority€will€be€subject€to€the€dutyÏimposed€by€paragraph€(a).€€On€the€other€hand,€however,€paragraph€(a)€may€be€applicable€when€aÏlawyer€in€a€firm€or€other€organization€of€lawyers€described€in€this€Rule,€whether€or€not€a€partner€orÏa€managing€lawyer,€is€assigned€intermediate„level€managerial€responsibilities€for€a€department€or€anÏoffice€within€the€firm.€€Because€many€lawyers€do€not€practice€in€traditional€law€firms,€but€ratherÏpractice€law€in€legal€departments€of€business€firms,€legal€services€organizations,€or€in€legalÏdepartments€of€governmental€agencies,€this€Rule€also€applies€to€lawyers€possessing€managerialÏauthority€in€such€organizations.ÌÌà à[2]à àThe€measures€required€to€fulfill€the€responsibility€prescribed€in€paragraph€(a)€canÏdepend€on€the€organizationððs€structure€and€the€nature€of€its€practice.€€In€a€small€law€firm€or€legalÏdepartment,€for€example,€informal€supervision€and€occasional€admonition€ordinarily€might€beÏsufficient.€€In€large€firms€or€legal€departments,€however,€or€in€practice€situations€in€which€intenselyÏdifficult€ethical€problems€frequently€arise,€more€elaborate€procedures€may€be€necessary.€€SomeÏfirms,€for€example,€have€a€procedure€whereby€junior€lawyers€can€make€confidential€referrals€ofÏethical€problems€directly€to€a€designated€senior€partner€or€special€committee.€€òòSeeóó€Ô_ÔRPCÔ_Ô€5.2.€€FirmsÏand€legal€departments,€whether€large€or€small,€may€also€rely€on€continuing€legal€education€inÏprofessional€ethics.€€In€any€event,€the€ethical€atmosphere€of€a€firm€or€organization€can€influence€theÏconduct€of€all€its€members€and€a€lawyer€having€authority€over€the€work€of€another€may€not€assumeÏthat€the€conduct€of€a€subordinate€lawyer€will€inevitably€conform€to€the€Rules.ÌÌà à[3]à àParagraph€(b)€applies€to€lawyers,€without€regard€to€their€status€in€a€firm€or€otherÏorganization€of€lawyers€described€in€this€Rule,€who€assume€direct€supervisory€responsibility€for€theÏoversight€of€the€work€of€another€lawyer.€Ôf  ÔÔg ÔÌÌà à[4]à àParagraph€(c)(1)€expresses€a€general€principle€of€responsibility€for€acts€of€another.€ÏòòSee€alsoóó€Ô_ÔRPCÔ_Ô€8.4(a).ÌÌà à[5]à àParagraph€(c)(2)€specifies€the€circumstances€in€which€one€lawyer€will€be€heldÏaccountable€for€the€professional€misconduct€of€another€lawyer€because€he€or€she€knows€the€otherÏlawyer€has€engaged€in€professional€misconduct€and€fails€to€take€reasonable€action€to€prevent€orÏmitigate€the€harm€caused€by€the€professional€misconduct.€€Whether€a€lawyer€has€such€supervisoryÏauthority€in€particular€circumstances€is€a€question€of€fact.€€Partners€of€a€private€firm€have€at€leastÏindirect€responsibility€for€all€work€being€done€by€the€firm,€while€a€partner€in€charge€of€a€particularÏmatter€ordinarily€has€direct€authority€over€other€firm€lawyers€engaged€in€the€matter.€€AppropriateÏremedial€action€by€a€partner€would€depend€on€the€immediacy€of€the€partnerððs€involvement€and€theÏseriousness€of€the€misconduct.€€The€supervisor€is€required€to€intervene€to€prevent€avoidableÏconsequences€of€misconduct€if€the€supervisor€knows€that€the€misconduct€occurred.€€If,€for€example,Ïa€partner€in€a€law€firm€knows€that€another€lawyer€in€the€firm€misrepresented€a€matter€to€an€opposingÏparty€in€a€negotiation,€the€partner€as€well€as€the€subordinate€has€a€duty€to€correct€the€resultingÏmisapprehension.€€Such€would€also€be€the€case€if€a€lawyer€who€was€associated€with€another€lawyerÏas€a€direct€supervisor,€co„counsel,€or€as€a€party€to€a€fee„sharing€agreement€learned€that€the€otherÏlawyer€had€engaged€in€misconduct€in€connection€with€the€representation.€€This€duty€is€in€addition€toÏthe€lawyerððs€Ô_ÔRuleÔ_Ô€8.3(a)€duty€to€report€professional€misconduct€to€the€Office€of€DisciplinaryÏCounsel.€€The€obligation€to€take€reasonable€remedial€action,€however,€does€not€require€the€lawyer€toÏtake€any€action€that€would€violate€these€Rules,€òòe.g.óó,€disclosing€information€related€to€theÏrepresentation€of€a€client€in€violation€of€Ô_ÔRuleÔ_Ô€1.6.€€Nor€does€the€duty€to€mitigate€harm€require€theÏlawyer€to€compensate€a€person€for€losses€suffered€by€virtue€of€the€misconduct€the€lawyer€knowsÏhas€occurred.ÌÌà à[6]à àProfessional€misconduct€by€a€lawyer€in€a€firm€or€other€organization€of€lawyersÏdescribed€in€this€Rule,€or€a€lawyer€who€is€working€under€the€direct€supervision€of€another€lawyer,Ïcould€reveal€a€violation€of€paragraphs€(a)€or€(b)€on€the€part€of€the€partner€or€the€supervisory€lawyerÏeven€though€it€does€not€entail€a€violation€of€paragraph€(c)€by€the€partner,€the€managing€lawyer,€orÏsupervisory€lawyer€because€there€was€no€direction,€ratification,€or€knowledge€of€the€violation.ÌÌà à[7]à àApart€from€this€Rule€and€Ô_ÔRuleÔ_Ô€8.4(a),€a€lawyer€does€not€have€disciplinary€liabilityÏfor€the€conduct€of€a€partner,€associate,€or€another€lawyer€with€whom€the€lawyer€is€associated€inÏconnection€with€the€representation€of€a€client.€€Whether€a€lawyer€may€be€held€civilly€or€criminallyÍliable€for€another€lawyerððs€conduct€is€a€question€of€law€beyond€the€scope€of€these€Rules.€€This€RuleÏis€only€intended€to€provide€a€basis€for€professional€discipline€and€is€not€intended€to€alter€the€legalÏrights€and€responsibilities€of€partners,€supervisory€lawyers,€co„counsel,€or€parties€to€fee„sharingÏagreements€with€respect€to€the€conduct€of€other€lawyers€with€whom€they€are€associated.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðPartnerðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(h)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôó óà@ àò òRule€5.2ÌÓ ` ` XÓó óà@ àò òRESPONSIBILITIES€OF€A€SUBORDINATE€LAWYERÌÔ  ÔÌó ó(a)à àA€lawyer€is€bound€by€the€Rules€of€Professional€Conduct€notwithstanding€that€the€lawyerÏacted€at€the€direction€of€another€person.ÌÌ(b)à àA€subordinate€lawyer€does€not€violate€the€Rules€of€Professional€Conduct€if€that€lawyer€actsÏin€accordance€with€a€supervisory€lawyerððs€reasonable€resolution€of€an€arguable€question€ofÏprofessional€duty.ÌÌà@ àò òCOMMENTSÌÌó óà à[1]à àAlthough€a€lawyer€is€not€relieved€of€responsibility€for€a€violation€by€the€fact€that€theÏlawyer€acted€at€the€direction€of€a€supervisor,€that€fact€may€be€relevant€in€determining€whether€aÏlawyer€had€the€knowledge€required€to€render€conduct€a€violation€of€the€Rules.€€For€example,€if€aÏsubordinate€filed€a€frivolous€pleading€at€the€direction€of€a€supervisor,€the€subordinate€would€not€beÏguilty€of€a€professional€violation€unless€the€subordinate€knew€of€the€documentððs€frivolousÏcharacter.ÌÌà à[2]à àWhen€lawyers€in€a€supervisor„subordinate€relationship€encounter€a€matter€involvingÏprofessional€judgment€as€to€ethical€duty,€the€supervisor€may€assume€responsibility€for€making€theÏjudgment.€€Otherwise€a€consistent€course€of€action€or€position€could€not€be€taken.€€If€the€questionÏcan€reasonably€be€answered€only€one€way,€the€duty€of€both€lawyers€is€clear€and€they€are€equallyÏresponsible€for€fulfilling€it.€€However,€if€the€question€is€reasonably€arguable,€someone€has€to€decideÏupon€the€course€of€action.€€That€authority€ordinarily€reposes€in€the€subordinate€lawyerððs€supervisor,Ïin€another€lawyer€who€has€primary€responsibility€for€the€representation,€or€in€a€lawyer€who€hasÏauthority€to€resolve€such€matters€on€behalf€of€the€firm,€and€a€subordinate€may€be€guidedÏaccordingly.€€For€example,€if€a€question€arises€whether€the€interests€of€two€clients€conflict€underÏÔ_ÔRuleÔ_Ô€1.7,€the€supervisorððs€reasonable€resolution€of€the€question€should€protect€the€subordinateÏprofessionally€if€the€resolution€is€subsequently€challenged.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òRule€5.3Ìó óà@ àò òRESPONSIBILITIES€REGARDING€NONLAWYER€ASSISTANTSó óÌò òÔ  ÔÌó óWith€respect€to€a€nonlawyer€employed,€retained€by,€or€associated€with€a€lawyer:€Ì€€Ìà0 à(a)à àa€partner€and€a€lawyer€who€individually€or€together€with€other€lawyers€possessesÏcomparable€managerial€authority€in€a€law€firm€shall€make€reasonable€efforts€to€ensure€thatÏthe€firm€has€in€effect€measures€giving€reasonable€assurance€that€the€nonlawyerððs€conduct€isÏcompatible€with€these€Rules;€€Ì€Ìà0 à(b)à àa€lawyer€having€direct€supervisory€authority€over€a€nonlawyer€shall€make€reasonableÏefforts€to€ensure€that€the€personððs€conduct€is€compatible€with€these€Rules;€andÌÌà0 à(c)à àa€lawyer€shall€be€responsible€for€the€conduct€of€a€nonlawyer€if€the€conduct€would€beÏa€violation€of€these€Rules€if€engaged€in€by€a€lawyer,€and€if:ÌÌà0 àà0 à(1)à àthe€lawyer€orders€or,€with€knowledge€of€the€specific€conduct,€ratifies€theÏconduct€involved;€orÌà0 àÌà0 àà0 à(2)à àthe€lawyer:ÌÌà0 àà0 àà0 à(i)à àis€a€partner€or€has€comparable€managerial€authority€in€a€law€firm€inÏwhich€the€person€is€employed€or€has€direct€supervisory€authority€over€theÏnonlawyer,€and€ÌÌà0 àà0 àà0 à(ii)à àknows€of€the€nonlawyerððs€conduct€at€a€time€when€its€consequencesÏcan€be€avoided€or€mitigated,€but€fails€to€take€reasonable€remedial€action.Ìò òÌó óà@ àò òCOMMENTó óÌÌà àLawyers€generally€employ€nonlawyers€in€their€practice,€including€secretaries,€investigators,Ïlaw€student€interns,€and€paraprofessionals.€€Such€employees€act€for€the€lawyer€in€rendition€of€theÏlawyerððs€professional€services.€€A€lawyer€should€give€such€employees€appropriate€instruction€andÏsupervision€concerning€the€ethical€aspects€of€their€employment,€particularly€regarding€the€obligationÏnot€to€disclose€information€relating€to€representation€of€the€client,€and€should€be€responsible€forÏtheir€work€product.€€The€measures€employed€in€supervising€nonlawyers€should€take€account€of€theÏfact€that€they€do€not€have€legal€training€and€are€not€subject€to€professional€discipline.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðPartnerðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(h)Ìâ ,ââ ,âð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôó óà@ àò òRule€5.4Ìó óà@ àò òPROFESSIONAL€INDEPENDENCE€OF€A€LAWYERó óÌÔ  ÔÌ(a)à àA€lawyer€or€law€firm€shall€not€share€legal€fees€with€a€nonlawyer,€except€that:ÌÌà0 à(1)à àan€agreement€by€a€lawyer€with€the€lawyerððs€firm,€partner,€or€associate€may€provideÏfor€the€payment€of€money,€over€a€reasonable€period€of€time€after€the€lawyerððs€death,€to€theÏlawyerððs€estate€or€to€one€or€more€specified€persons;ÌÌà0 à(2)à àa€lawyer€who€purchases€the€practice€of€a€deceased,€disabled,€or€disappeared€lawyerÏmay,€pursuant€to€the€provisions€of€Ô_ÔRuleÔ_Ô€1.17,€pay€to€the€estate€or€other€representative€of€thatÏlawyer€the€agreed„upon€purchase€price;ÌÌà0 à(3)à àa€lawyer€or€law€firm€may€include€nonlawyer€employees€in€a€compensation€orÏretirement€plan,€even€though€the€plan€is€based€in€whole€or€in€part€on€a€profit„sharingÏarrangement;ÌÌà0 à(4)à àa€lawyer€may€share€a€court„awarded€fee€with€a€client€represented€in€the€matter€forÏwhich€the€fee€was€awarded€or€with€a€non„profit€organization€that€employed€or€retained€theÏlawyer€in€the€matter€for€which€the€fee€was€awarded;ÌÌà0 à(5)à àa€lawyer€who€is€a€full„time€employee€of€a€client€may€share€a€legal€fee€with€the€clientÏto€the€extent€necessary€to€reimburse€the€client€for€the€actual€cost€to€the€client€of€permittingÏthe€lawyer€to€represent€another€client€while€continuing€in€the€full„time€employ€of€the€clientÏwith€whom€the€fee€will€be€shared;€andÌÌà0 à(6)à àa€lawyer€may€pay€to€a€registered€non„profit€intermediary€organization€a€referral€feeÏcalculated€by€reference€to€a€reasonable€percentage€of€the€fee€paid€to€the€lawyer€by€the€clientÏreferred€to€the€lawyer€by€the€intermediary€organization.ÌÌ(b)à àA€lawyer€shall€not€form€a€partnership€with€a€nonlawyer€if€any€of€the€activities€of€theÏpartnership€consist€of€the€practice€of€law.ÌÌ(c)à àA€lawyer€shall€not€permit€a€person€who€recommends,€employs,€or€pays€the€lawyer€to€renderÏlegal€services€for€another€to€direct€or€regulate€the€lawyerððs€professional€judgment€in€rendering€suchÏlegal€services.ÌÌ(d)à àA€lawyer€shall€not€practice€with€or€in€the€form€of€a€professional€corporation€or€professionalÏlimited€liability€company€authorized€to€practice€law€for€a€profit,€if€a€nonlawyer:ÌÌà0 à(1)à àowns€any€interest€therein,€except€that€a€fiduciary€representative€of€the€estate€of€aÏlawyer€may€hold€the€stock€or€ownership€interest€of€the€lawyer€for€a€reasonable€time€duringÏadministration;€orÌà0 àÌà0 à(2)à àis€a€member€of€the€governing€board€or€an€officer€thereof;€orÌà0 àÌà0 à(3)à àhas€the€right€to€direct€or€control€the€professional€judgment€of€a€lawyer.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThe€provisions€of€this€Rule€largely€express€the€traditional€limitations€on€sharing€feesÏand€the€co„ownership€of€law€practices€by€nonlawyers.€€These€limitations€are€to€protect€theÏindependence€of€the€lawyerððs€professional€judgment.€€The€Rule€recognizes€several€exceptions€to€theÏgeneral€prohibition€against€fee€splitting€with€nonlawyers.€€These€are€situations€in€which€there€is€littleÏrisk€of€harm€resulting€from€lay€attempts€to€interfere€with€the€independent€professional€judgment€ofÏthe€lawyer.ÌÌà à[2]à àWhere€someone€other€than€the€client€pays€the€lawyerððs€fee€or€salary,€orÏrecommends€employment€of€the€lawyer,€that€arrangement€does€not€modify€the€lawyerððs€obligationÏto€the€client.€€As€stated€in€paragraph€(c),€such€arrangements€must€not€interfere€with€the€lawyerððsÏprofessional€judgment.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€1.8(f).ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðPartnerðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(h)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôó óÔf  ÔÔg Ôà@ àò òRule€5.5Ìó óà@ àò òUNAUTHORIZED€PRACTICE€OF€LAWó óÌÔ  ÔÌA€lawyer€shall€not:ÌÌà0 à(a)à àpractice€law€in€a€jurisdiction€where€doing€so€violates€the€regulation€of€the€legalÏprofession€in€that€jurisdiction;€orÌÌà0 à(b)à àassist€a€person€in€the€performance€of€activity€that€constitutes€the€unauthorizedÏpractice€of€law.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThe€definition€of€the€practice€of€law€is€established€by€law€and€varies€from€oneÏjurisdiction€to€another.€€Whatever€the€definition,€limiting€the€practice€of€law€to€members€of€the€barÏprotects€the€public€against€rendition€of€legal€services€by€unqualified€persons.€ÌÌà à[2]à àParagraph€(b)€does€not€prohibit€a€lawyer€from€employing€the€services€ofÏparaprofessionals€and€delegating€functions€to€them,€so€long€as€the€lawyer€supervises€the€delegatedÏwork€and€retains€responsibility€for€their€work.€€òòSeeóó€Ô_ÔRPCÔ_Ô€5.3.€€Likewise,€it€does€not€prohibit€lawyersÏfrom€providing€professional€advice€and€instruction€to€nonlawyers€whose€employment€requiresÏknowledge€of€law,€such€as€claims€adjusters,€employees€of€financial€or€commercial€institutions,Ïsocial€workers,€accountants,€and€persons€employed€in€government€agencies.€€In€addition,€a€lawyerÏmay€counsel€nonlawyers€who€wish€to€proceed€òòpro€seóó.€ÌÌà à[3]à àA€lawyer€does€not€assist€the€unauthorized€practice€of€law€if€he€or€she€advises€a€clientÏwith€respect€to€whether€an€activity€constitutes€the€unauthorized€practice€of€law,€accepts€anÏunsolicited€referral€of€a€client€from€a€person€whose€prior€involvement€in€the€matter€constituted€theÏunauthorized€practice€of€law,€or€defends€a€person€against€charges€that€he€or€she€has€engaged€in€theÏunauthorized€practice€of€law.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌà0 àNone.Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òRule€5.6€Ìó óà@ àò òRESTRICTIONS€ON€THE€RIGHT€TO€PRACTICEó óÌÔ  ÔÌA€lawyer€shall€not€participate€in€offering€or€making:ÌÌà0 à(a)à àa€partnership€or€employment€agreement€that€restricts€the€right€of€a€lawyer€to€practiceÏafter€termination€of€the€relationship,€except€with€respect€to€an€agreement€concerning€benefitsÏupon€retirement;€orÌÌà0 à(b)à àan€agreement€in€which€a€restriction€on€the€lawyerððs€right€to€practice€is€part€of€theÏsettlement€of€a€controversy€between€private€parties.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àAn€agreement€restricting€the€right€of€a€lawyer€to€practice€after€leaving€a€firm€orÏorganizational€employer€not€only€limits€the€lawyerððs€professional€autonomy,€but€it€also€limits€theÏfreedom€of€clients€to€choose€a€lawyer.€€Paragraph€(a)€prohibits€such€agreements€except€forÏrestrictions€incident€to€provisions€concerning€retirement€benefits€for€service€with€the€firm€orÏorganizational€employer.ÌÌà à[2]à àParagraph€(b)€prohibits€a€lawyer€from€agreeing€not€to€represent€other€persons€inÏconnection€with€settling€a€claim€on€behalf€of€a€client.ÌÌà à[3]à àThis€Rule€does€not€apply€to€prohibit€restrictions€that€may€be€included€in€the€terms€ofÏthe€sale€of€a€law€practice€pursuant€to€Ô_ÔRuleÔ_Ô€1.17.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌà àNone.Ôf  ÔÔg ÔÇò òÔ  Ôó óà@ àò òRule€5.7€Ìó óà@ àò òRESPONSIBILITIES€REGARDING€LAW„RELATED€SERVICESó óÌÔ  ÔÌ(a)à àA€lawyer€shall€be€subject€to€the€Rules€of€Professional€Conduct€with€respect€to€the€provisionÏof€law„related€services,€as€defined€in€paragraph€(b),€if€the€law„related€services€are€provided:ÌÌà0 à(1)à àby€the€lawyer€in€circumstances€that€are€not€distinct€from€the€lawyerððs€provision€ofÏlegal€services€to€clients;€orÌÌà0 à(2)à àby€a€separate€entity€controlled€by€the€lawyer€individually€or€with€others€if€the€lawyerÏfails€to€take€reasonable€measures€to€assure€that€a€person€obtaining€the€law„related€servicesÏknows€that€the€services€of€the€separate€entity€are€not€legal€services€and€that€the€protectionsÏof€the€client„lawyer€relationship€do€not€exist.ÌÌ(b)à àThe€term€ð ðlaw„related€servicesðð€denotes€services€that€might€reasonably€be€performed€inÏconjunction€with€and€in€substance€are€related€to€the€provision€of€legal€services€and€that€are€notÏprohibited€as€unauthorized€practice€of€law€when€provided€by€a€nonlawyer.Ìò òÌó óà@ àò òCOMMENTSÌó óÌà à[1]à àWhen€a€lawyer€performs€law„related€services€or€controls€an€organization€that€doesÏso,€there€exists€the€potential€for€ethical€problems.€€Principal€among€these€is€the€possibility€that€theÏperson€for€whom€the€law„related€services€are€performed€fails€to€understand€that€the€services€mayÏnot€carry€with€them€the€protections€normally€afforded€as€part€of€the€client„lawyer€relationship.€€TheÏrecipient€of€the€law„related€services€may€expect,€for€example,€that€the€protection€of€clientÏconfidences,€prohibitions€against€representation€of€persons€with€conflicting€interests,€andÏobligations€of€a€lawyer€to€maintain€professional€independence€apply€to€the€provision€of€law„relatedÏservices€when€that€may€not€be€the€case.ÌÌà à[2]à àÔ_ÔRuleÔ_Ô€5.7€applies€to€the€provision€of€law„related€services€by€a€lawyer€even€when€theÏlawyer€does€not€provide€any€legal€services€to€the€person€for€whom€the€law„related€services€areÏperformed.€€The€Rule€identifies€the€circumstances€in€which€all€of€the€Rules€of€Professional€ConductÏapply€to€the€provision€of€law„related€services.€€Even€when€those€circumstances€do€not€exist,Ïhowever,€the€conduct€of€a€lawyer€involved€in€the€provision€of€law„related€services€is€subject€to€thoseÏRules€that€apply€generally€to€lawyer€conduct,€regardless€of€whether€the€conduct€involves€theÏprovision€of€legal€services.€€òòSee,€e.g.óó,€Ô_ÔRPCÔ_Ô€8.4.ÌÌà à[3]à àWhen€law„related€services€are€provided€by€a€lawyer€under€circumstances€that€are€notÏdistinct€from€the€lawyerððs€provision€of€legal€services€to€clients,€the€lawyer€in€providing€the€law„related€services€must€adhere€to€the€requirements€of€the€Rules€of€Professional€Conduct€as€providedÏin€Ô_ÔRuleÔ_Ô€5.7(a)(1).ÌÌà à[4]à àLaw„related€services€also€may€be€provided€through€an€entity€that€is€distinct€from€thatÏthrough€which€the€lawyer€provides€legal€services.€€If€the€lawyer€individually€or€with€others€hasÏcontrol€of€such€an€entityððs€operations,€the€Rule€requires€the€lawyer€to€take€reasonable€measures€toÏassure€that€each€person€using€the€services€of€the€entity€knows€that€the€services€provided€by€theÏentity€are€not€legal€services€and€that€the€Rules€of€Professional€Conduct€that€relate€to€the€client„lawyer€relationship€do€not€apply.€€A€lawyerððs€control€of€an€entity€extends€to€the€ability€to€direct€itsÏoperation.€€Whether€a€lawyer€has€such€control€will€depend€upon€the€circumstances€of€the€particularÏcase.ÌÌà à[5]à àWhen€a€client„lawyer€relationship€exists€with€a€person€who€is€referred€by€a€lawyerÏto€a€separate€law„related€service€entity€controlled€by€the€lawyer,€individually€or€with€others,€theÏlawyer€must€comply€with€Ô_ÔRuleÔ_Ô€1.8(a).ÌÌà à[6]à àIn€taking€the€reasonable€measures€referred€to€in€paragraph€(a)(2)€to€assure€that€aÏperson€using€law„related€services€understands€the€practical€effect€or€significance€of€theÏinapplicability€of€the€Rules€of€Professional€Conduct,€the€lawyer€should€communicate€to€the€personÏreceiving€the€law„related€services,€in€a€manner€sufficient€to€assure€that€the€person€understands€theÏsignificance€of€the€fact,€that€the€relationship€of€the€person€to€the€business€entity€will€not€be€a€client„lawyer€relationship.€€The€communication€should€be€made€before€entering€into€an€agreement€forÏprovision€of€or€providing€law„related€services€and€preferably€should€be€in€writing.ÌÌà à[7]à àThe€burden€is€upon€the€lawyer€to€show€that€the€lawyer€has€taken€reasonableÏmeasures€under€the€circumstances€to€communicate€the€desired€understanding.€€For€instance,€aÏsophisticated€user€of€law„related€services,€such€as€a€publicly€held€corporation,€may€require€a€lesserÏexplanation€than€someone€unaccustomed€to€making€distinctions€between€legal€services€and€law„related€services,€such€as€an€individual€seeking€tax€advice€from€a€lawyer„accountant€or€investigativeÏservices€in€connection€with€a€lawsuit.ÌÌà à[8]à àRegardless€of€the€sophistication€of€potential€recipients€of€law„related€services,€aÏlawyer€should€take€special€care€to€keep€separate€the€provision€of€law„related€and€legal€services€inÏorder€to€minimize€the€risk€that€the€recipient€will€assume€that€the€law„related€services€are€legalÏservices.€€The€risk€of€such€confusion€is€especially€acute€when€the€lawyer€renders€both€types€ofÏservices€with€respect€to€the€same€matter.€€Under€some€circumstances€the€legal€and€law„relatedÏservices€may€be€so€closely€entwined€that€they€cannot€be€distinguished€from€each€other,€and€theÏrequirement€of€disclosure€and€consultation€imposed€by€paragraph€(a)(2)€of€the€Rule€cannot€be€met.€ÏIn€such€a€case€a€lawyer€will€be€responsible€for€assuring€that€both€the€lawyerððs€conduct€and,€to€theÏextent€required€by€Ô_ÔRuleÔ_Ô€5.3,€that€of€nonlawyer€employees€in€the€distinct€entity€which€the€lawyerÏcontrols€complies€in€all€respects€with€the€Rules€of€Professional€Conduct.ÌÌà à[9]à àA€broad€range€of€economic€and€other€interests€of€clients€may€be€served€by€lawyersððÏengaging€in€the€delivery€of€law„related€services.€€Examples€of€law„related€services€include€providingÏtitle€insurance,€financial€planning,€accounting,€trust€services,€real€estate€counseling,€legislativeÏlobbying,€economic€analysis,€social€work,€psychological€counseling,€tax€preparation,€and€patent,Ïmedical,€or€environmental€consulting.ÌÌà à[10]à àWhen€a€lawyer€is€obliged€to€accord€the€recipients€of€such€services€the€protections€ofÏthose€Rules€that€apply€to€the€client„lawyer€relationship,€the€lawyer€must€take€special€care€to€heed€theÏproscriptions€of€the€Rules€addressing€conflicts€of€interestð"ðgenerally€Ô_ÔRulesÔ_Ô€1.7€through€1.11,€butÏespecially€Ô_ÔRulesÔ_Ô€1.7(b)€and€1.8(a),€(b),€and€(f)ð"ðand€to€adhere€scrupulously€to€the€requirements€ofÏÔ_ÔRuleÔ_Ô€1.6€relating€to€disclosure€of€confidential€information.€€The€promotion€of€the€law„relatedÏservices€must€also€in€all€respects€comply€with€Ô_ÔRulesÔ_Ô€7.1€through€7.3,€dealing€with€advertising€andÏsolicitation.€€In€that€regard,€lawyers€should€take€special€care€to€identify€the€obligations€that€may€beÏimposed€as€a€result€of€a€jurisdictionððs€decisional€law.ÌÌà à[11]à àWhen€the€full€protections€of€all€of€the€Rules€of€Professional€Conduct€do€not€applyÏto€the€provision€of€law„related€services,€principles€of€law€external€to€the€Rules,€for€example,€the€lawÏof€principal€and€agent,€govern€the€legal€duties€owed€to€those€receiving€the€services.€€Those€otherÏlegal€principles€may€establish€a€different€degree€of€protection€for€the€recipient€with€respect€toÏconfidentiality€of€information,€conflicts€of€interest,€and€permissible€business€relationships€withÏclients.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€8.4€(Misconduct).ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôó óà@ àò òCHAPTER€6Ìó óà@ àò òPUBLIC€SERVICEÌÔ  ÔÌÔ  Ôó óà@ àò òRule€6.1Ìó óà@ àò òPRO€BONO€PUBLICO€REPRESENTATION€Ô  ÔÌÌó óA€lawyer€should€render€pro€bono€publico€legal€services.€€In€fulfilling€this€responsibility,€the€lawyerÏshould:ÌÌà0 à(a)à àprovide€a€substantial€portion€of€such€services€without€fee€or€expectation€of€fee€to:ÌÌà0 àà0 à(1)à àpersons€of€limited€means;€orÌÌà0 àà0 à(2)à àcharitable,€religious,€civic,€community,€governmental,€and€educationalÏorganizations€in€matters€that€are€designed€primarily€to€address€the€needs€of€personsÏof€limited€means;€andÌÌà0 à(b)à àprovide€any€additional€services€through:Ìà0 àÌà0 àà0 à(1)à àdelivery€of€legal€services€at€no€fee€or€at€a€substantially€reduced€fee€toÏindividuals,€groups,€or€organizations€seeking€to€secure€or€protect€civil€rights,€civilÏliberties,€or€public€rights,€or€charitable€religious,€civic,€community,€governmental,€andÏeducational€organizations€in€matters€in€furtherance€of€their€organizational€purposes,Ïwhere€the€payment€of€standard€legal€fees€would€significantly€deplete€theÏorganizationððs€economic€resources€or€would€be€otherwise€inappropriate;ÌÌà0 àà0 à(2)à àdelivery€of€legal€services€at€a€substantially€reduced€fee€to€persons€of€limitedÏmeans;€orÌÌà0 àà0 à(3)à àparticipation€in€activities€for€improving€the€law,€the€legal€system,€or€the€legalÏprofession.ÌÌà0 à(c)à àIn€addition€to€providing€pro€bono€publico€legal€services,€a€lawyer€should€voluntarilyÏcontribute€financial€support€to€organizations€that€provide€legal€services€to€persons€of€limitedÏmeans.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àEvery€lawyer,€regardless€of€professional€prominence€or€professional€work€load,€hasÏa€responsibility€to€provide€legal€services€to€those€unable€to€pay,€and€personal€involvement€in€theÏproblems€of€the€disadvantaged€can€be€one€of€the€most€rewarding€experiences€in€the€life€of€a€lawyer.€ÏThe€actual€amount€of€pro€bono€legal€service€a€lawyer€provides€is€left€to€the€sound€professionalÏjudgment€of€each€lawyer,€but€every€lawyer€should€render€a€reasonable€amount€of€pro€bono€legalÏservice€each€year.€€Services€can€be€performed€in€civil€matters€or€in€criminal€or€quasi„criminalÏmatters€for€which€there€is€no€government€obligation€to€provide€funds€for€legal€representation,€suchÏas€post„conviction€death€penalty€appeals.ÌÌà à[2]à àParagraphs€(a)(1)€and€(a)(2)€recognize€the€critical€need€for€legal€services€that€existsÏamong€persons€of€limited€means€by€providing€that€a€substantial€majority€of€the€legal€servicesÏrendered€annually€to€the€disadvantaged€be€furnished€without€fee€or€expectation€of€fee.€€LegalÏservices€under€these€paragraphs€consist€of€a€full€range€of€activities,€including€individual€and€classÍrepresentation,€the€provision€of€legal€advice,€legislative€lobbying,€administrative€rule€making,€and€theÏprovision€of€free€training€or€mentoring€to€those€who€represent€persons€of€limited€means.€€TheÏvariety€of€these€activities€should€facilitate€participation€by€government€lawyers,€even€whenÏrestrictions€exist€on€their€engaging€in€the€outside€practice€of€law.ÌÌà à[3]à àPersons€eligible€for€legal€services€under€paragraphs€(a)(1)€and€(a)(2)€are€those€whoÏqualify€for€participation€in€programs€funded€by€the€Legal€Services€Corporation€and€those€whoseÏincomes€and€financial€resources€are€slightly€above€the€guidelines€utilized€by€such€programs€but,Ïnevertheless,€cannot€afford€counsel.€€Legal€services€can€be€rendered€to€individuals€or€toÏorganizations€such€as€homeless€shelters,€abused€womenððs€centers,€and€food€pantries€that€serveÏthose€of€limited€means.€€The€term€ð ðgovernmental€organizationsðð€includes,€but€is€not€limited€to,Ïpublic€protection€programs€and€sections€of€governmental€or€public€sector€agencies.ÌÌà à[4]à àBecause€service€must€be€provided€without€fee€or€expectation€of€fee,€the€intent€of€theÏlawyer€to€render€free€legal€services€is€essential€for€the€work€performed€to€fall€within€the€meaning€ofÏparagraphs€(a)(1)€and€(a)(2).€€Accordingly,€services€rendered€cannot€be€considered€pro€bono€if€anÏanticipated€fee€is€uncollected,€but€the€award€of€statutory€attorneysðð€fees€in€a€case€originally€acceptedÏas€pro€bono€would€not€disqualify€such€services€from€inclusion€under€this€section.€€Lawyers€who€doÏreceive€fees€in€such€cases€are€encouraged€to€contribute€an€appropriate€portion€of€such€fees€toÏorganizations€or€projects€that€benefit€persons€of€limited€means.€€In€some€cases,€a€fee€paid€by€theÏgovernment€to€an€appointed€lawyer€will€be€so€low€relative€to€what€would€have€been€a€reasonableÏfeeð"ðas€in€post„conviction€death€penalty€casesð"ðthat€the€lawyer€should€be€credited€for€the€purposeÏof€this€Rule€as€having€rendered€the€services€without€fee.€ÌÌà à[5]à àWhile€it€is€possible€for€a€lawyer€to€fulfill€the€annual€responsibility€to€perform€proÏbono€services€exclusively€through€activities€described€in€paragraph€(a),€the€commitment€can€also€beÏmet€in€a€variety€of€ways€as€set€forth€in€paragraph€(b).€€Constitutional,€statutory,€or€regulatoryÏrestrictions€may€prohibit€or€impede€government€and€public€sector€lawyers€and€judges€fromÏperforming€the€pro€bono€services€outlined€in€paragraphs€(a),€(b)(1),€and€(b)(2).€€Accordingly,€whereÏthose€restrictions€apply,€government€and€public€sector€lawyers€and€judges€may€fulfill€their€pro€bonoÏresponsibility€by€performing€services€outlined€in€paragraphs€(b)(3)€and€(c).ÌÌà à[6]à àParagraph€(b)(1)€includes€the€provision€of€certain€types€of€legal€services€to€thoseÏwhose€incomes€and€financial€resources€place€them€above€limited€means.€€It€also€permits€the€proÏbono€lawyer€to€accept€a€substantially€reduced€fee€for€services.€€Examples€of€the€types€of€issues€thatÏmay€be€addressed€under€this€paragraph€include€First€Amendment€claims,€Title€VII€claims,€andÏenvironmental€protection€claims.€€Additionally,€a€wide€range€of€organizations€may€be€represented,Ïincluding€social€service,€medical€research,€cultural,€and€religious€groups.ÌÌà à[7]à àParagraph€(b)(2)€covers€instances€in€which€lawyers€agree€to€and€receive€a€modestÏfee€for€furnishing€legal€services€to€persons€of€limited€means.€€Participation€in€judicare€programsÏand€acceptance€of€court€appointments€in€which€the€fee€is€substantially€below€a€lawyerððs€usual€rateÏare€encouraged€under€this€section.ÌÌà à[8]à àParagraph€(b)(3)€recognizes€the€value€of€lawyers€engaging€in€activities€that€improveÏthe€law,€the€legal€system,€or€the€legal€profession.€€A€few€examples€of€the€many€activities€that€fallÏwithin€this€paragraph€are€serving€on€bar€association€committees;€serving€on€boards€of€pro€bono€orÏlegal€services€programs;€taking€part€in€Law€Day€activities;€acting€as€a€continuing€legal€educationÏinstructor;€serving€as€a€mediator€or€an€arbitrator;€and€engaging€in€legislative€lobbying€to€improve€theÏlaw,€the€legal€system,€or€the€profession.€ÌÌà à[9]à àBecause€the€provision€of€pro€bono€services€is€a€professional€responsibility,€it€is€theÏindividual€ethical€commitment€of€each€lawyer.€€Nevertheless,€there€may€be€times€when€it€is€notÏfeasible€for€a€lawyer€to€engage€in€pro€bono€services.€€At€such€times€a€lawyer€may€discharge€the€proÏbono€responsibility€by€providing€financial€support€to€organizations€providing€free€legal€services€toÏpersons€of€limited€means.€€Such€financial€support€should€be€reasonably€equivalent€to€the€value€ofÏthe€hours€of€service€that€would€have€otherwise€been€provided.€€In€addition,€at€times€it€may€be€moreÏfeasible€to€satisfy€the€pro€bono€responsibility€collectively,€as€by€a€firmððs€aggregate€pro€bonoÏactivities.ÌÌà à[10]à àBecause€the€efforts€of€individual€lawyers€are€not€enough€to€meet€the€need€for€freeÏlegal€services€that€exists€among€persons€of€limited€means,€the€government€and€the€profession€haveÏinstituted€additional€programs€to€provide€those€services.€€Every€lawyer€should€financially€supportÏsuch€programs,€in€addition€to€either€providing€direct€pro€bono€services€or€making€financialÏcontributions€when€pro€bono€service€is€not€feasible.ÌÌà à[11]à àÔf  ÔÔg ÔÔf  ÔÔg ÔBecause€this€Rule€states€an€aspiration€rather€than€a€mandatory€ethical€duty,Ôf  ÔÔg Ô€Ôf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ôit€is€notÏintended€to€be€enforced€through€disciplinary€process.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðSubstantialðð€and€ð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)ò òÔf  ÔÔg ÔÇÔ  Ôó óà@ àò òRule€6.2Ìó óà@ àò òACCEPTING€COURT€APPOINTMENTSÌÔ  ÔÌó óA€lawyer€shall€not€seek€to€avoid€appointment€by€a€tribunal€to€represent€a€person€except€for€goodÏcause,€such€as:ÌÌà0 à(a)à àrepresenting€the€client€is€likely€to€result€in€a€violation€of€the€Rules€of€ProfessionalÏConduct€or€other€law;ÌÌà0 à(b)à àrepresenting€the€client€is€likely€to€result€in€an€unreasonable€financial€burden€on€theÏlawyer;€orÌÌà0 à(c)à àthe€client€or€the€cause€is€so€repugnant€to€the€lawyer€as€to€be€likely€to€impair€theÏclient„lawyer€relationship€or€the€lawyerððs€ability€to€represent€the€client.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àA€lawyer€ordinarily€is€not€obliged€to€accept€a€client€whose€character€or€cause€theÏlawyer€regards€as€repugnant.€€The€lawyerððs€freedom€to€select€clients€is,€however,€qualified.€€AllÏlawyers€have€a€responsibility€to€assist€in€providing€pro€bono€publico€service.€€òòSeeóó€Ô_ÔRPCÔ_Ô€6.1.€€AnÏindividual€lawyer€fulfills€this€responsibility€by€accepting€a€fair€share€of€unpopular€matters€orÏindigent€or€unpopular€clients.€€A€lawyer€may€also€be€subject€to€appointment€by€a€court€to€serveÏunpopular€clients€or€persons€unable€to€afford€legal€services.ÌÌà@ àò òAppointed€Counseló óÌÌà à[2]à àFor€good€cause€a€lawyer€may€seek€to€decline€an€appointment€to€represent€a€personÏwho€cannot€afford€to€retain€counsel€or€whose€cause€is€unpopular.€€Good€cause€exists€if€the€lawyerÏcould€not€handle€the€matter€competently,€òòseeóó€Ô_ÔRPCÔ_Ô€1.1,€or€if€undertaking€the€representation€wouldÏresult€in€an€improper€conflict€of€interest,€for€example,€when€the€client€or€the€cause€is€so€repugnant€toÏthe€lawyer€as€to€be€likely€to€impair€the€client„lawyer€relationship€or€the€lawyerððs€ability€to€representÏthe€client.€€A€lawyer€may€also€seek€to€decline€an€appointment€if€acceptance€would€be€unreasonablyÏburdensome,€for€example,€when€it€would€impose€a€financial€sacrifice€so€great€as€to€be€unjust.ÌÌà à[3]à àAn€appointed€lawyer€has€the€same€obligations€to€the€client€as€retained€counsel,Ïincluding€the€obligations€of€loyalty€and€confidentiality,€and€the€lawyer€is€subject€to€the€sameÏlimitations€on€the€client„lawyer€relationship,€such€as€the€obligation€to€refrain€from€assisting€theÏclient€in€violation€of€the€Rules.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)Ìð ðUnreasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(n)Ô  ÔÇà@ àò òRule€6.3Ìó óà@ àò òMEMBERSHIP€IN€LEGAL€SERVICES€ORGANIZATIONó óÌò òÔ  ÔÌó óA€lawyer€may€serve€as€a€director,€officer,€or€member€of€a€legal€services€organization,€apart€from€theÏlaw€firm€in€which€the€lawyer€practices,€notwithstanding€that€the€organization€serves€persons€havingÏinterests€adverse€to€a€client€of€the€lawyer.€€However,€the€lawyer€shall€not€knowingly€participate€in€aÏdecision€or€action€of€the€organization:ÌÌà0 à(a)à àif€participating€in€the€decision€or€action€would€be€incompatible€with€the€lawyerððsÏobligations€to€a€client€under€Ô_ÔRuleÔ_Ô€1.7;€orÌÌà0 à(b)à àwhere€the€decision€or€action€could€have€a€material€adverse€effect€on€theÏrepresentation€of€a€client€of€the€organization€whose€interests€are€adverse€to€a€client€of€theÏlawyer.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àLawyers€should€be€encouraged€to€support€and€participate€in€legal€serviceÏorganizations.€€A€lawyer€who€is€an€officer€or€a€member€of€such€an€organization€does€not€therebyÏhave€a€client„lawyer€relationship€with€persons€served€by€the€organization.€€However,€there€isÏpotential€conflict€between€the€interests€of€such€persons€and€the€interests€of€the€lawyerððs€clients.€€IfÏthe€possibility€of€such€conflict€were€alone€sufficient€to€disqualify€a€lawyer€from€serving€on€theÏboard€of€a€legal€services€organization,€then€the€professionððs€involvement€in€such€organizationsÏwould€be€severely€curtailed.ÌÌà à[2]à àIt€may€be€necessary€in€appropriate€cases€to€reassure€a€client€of€the€organization€thatÏthe€representation€will€not€be€affected€by€conflicting€loyalties€of€a€member€of€the€board.€ÏEstablished,€written€policies€in€this€respect€can€enhance€the€credibility€of€such€assurances.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌð ðKnowinglyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Çò òÔ  Ôó óà@ àò òRule€6.4Ìó óà@ àò òLAW€REFORM€ACTIVITIES€AFFECTING€CLIENT€INTERESTSó óÌò òÔ  ÔÌó óA€lawyer€may€serve€as€a€director,€officer,€or€member€of€an€organization€involved€in€reform€of€theÏlaw€or€its€administration€notwithstanding€that€the€reform€may€affect€the€interests€of€a€client€of€theÏlawyer.€€When€the€lawyer€knows€that€the€interests€of€a€client€may€be€materially€benefitted€by€aÏdecision€in€which€the€lawyer€participates,€the€lawyer€shall€disclose€that€fact,€but€need€not€identify€theÏclient.ÌÌà@ àò òCOMMENTó óÌÌà àLawyers€involved€in€organizations€seeking€law€reform€generally€do€not€have€a€client„lawyerÏrelationship€with€the€organization.€€Otherwise,€it€might€follow€that€a€lawyer€could€not€be€involved€inÏa€bar€association€law€reform€program€that€might€indirectly€affect€a€client.€€òòSee€alsoóó€Ô_ÔRPCÔ_Ô€1.2(b).€ÏFor€example,€a€lawyer€specializing€in€antitrust€litigation€might€be€regarded€as€disqualified€fromÏparticipating€in€drafting€revisions€of€rules€governing€that€subject.€€In€determining€the€nature€andÏscope€of€participation€in€such€activities,€a€lawyer€should€be€mindful€of€obligations€to€clients€underÏother€Rules,€particularly€those€contained€in€Ô_ÔRuleÔ_Ô€1.7.€€A€lawyer€is€professionally€obligated€to€protectÏthe€integrity€of€the€program€by€making€an€appropriate€disclosure€within€the€organization€when€theÏlawyer€knows€that€a€private€client€might€be€materially€benefitted.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ôf  ÔÔg ÔÇò òÔ  Ôà@ àCHAPTER€7Ìà@ àINFORMATION€ABOUT€LEGAL€SERVICESÌÔ  ÔÌà@ àÔ  ÔRule€7.1Ìó óà@ àò òCOMMUNICATIONS€CONCERNING€A€LAWYERððS€SERVICESÔ  Ôó óÌÌA€lawyer€shall€not€make€a€false€or€misleading€communication€about€the€lawyer,€the€lawyerððsÏservices,€the€lawyerððs€charges€for€fees€or€costs,€or€the€law€as€relates€to€the€services€the€lawyer€willÏprovide.€€A€communication€is€false€or€misleading€if€it:ÌÌà0 à(a)à àcontains€a€material€misrepresentation€of€fact€or€law€or€omits€a€fact€necessary€toÏmake€the€statement€considered€as€a€whole€not€materially€misleading;€orÌÌà0 à(b)à àis€likely€to€create€an€unjustified€expectation€about€results€the€lawyer€can€achieve€orÏstates€or€implies€that€the€lawyer€can€achieve€results€by€means€that€violate€the€Rules€ofÏProfessional€Conduct€or€other€law;€orÌÌà0 à(c)à àcompares€the€lawyerððs€services€Ôf  ÔÔg Ôor€fees€Ôf  ÔÔg Ôwith€other€lawyersðð€servicesÔf  ÔÔg Ô€or€feesÔf  ÔÔg Ô,€unlessÏthe€Ôf  ÔÔg Ôcomparison€Ôf  ÔÔg Ôcan€be€factually€substantiatedÔf  ÔÔg ÔÔf  ÔÔg Ô.Ôf  ÔÔg ÔÔf  ÔÔg ÔÌÌà@ àò òCOMMENTó óÌÌà àThis€Rule€governs€all€communications€about€a€lawyerððs€services,€including€advertisingÏpermitted€by€Ô_ÔRuleÔ_Ô€7.2€and€solicitations€directed€to€specific€recipients€permitted€by€Ô_ÔRuleÔ_Ô€7.3.€ÏWhatever€means€are€used€to€make€known€a€lawyerððs€services,€statements€about€them€should€beÏtruthful.€€The€prohibition€in€paragraph€(b)€of€statements€that€may€create€an€ð ðunjustifiedÏexpectationðð€would€ordinarily€preclude€advertisements€about€results€obtained€on€behalf€of€a€client,Ïsuch€as€the€amount€of€a€damage€award€or€the€lawyerððs€record€in€obtaining€favorable€verdicts,€andÏadvertisements€containing€client€endorsements.€€Such€information€may€create€the€unjustifiedÏexpectation€that€similar€results€can€be€obtained€for€others€without€reference€to€specific€factual€andÏlegal€circumstances.Ôf  ÔÔg ÔÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðConsultðð€and€ð ðConsultationðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€Ô_Ô1.0(c)Ô_ÔÔ_ÔÔ_ÔÌð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)Çò òÔ  Ôà@ àRule€7.2Ìó óà@ àò òADVERTISING€AND€OTHER€COMMUNICATIONS€NOT€Ìó óà@ àò òDIRECTED€TO€SPECIFICALLY€IDENTIFIED€RECIPIENTSó óÌÔ  ÔÌ(a)à àSubject€to€the€requirements€of€paragraphs€(b)€through€(e)€below€and€Ô_ÔRulesÔ_Ô€7.1,€7.4,€and€7.5,Ïa€lawyer€may€advertise€professional€services€or€seek€referrals€through€public€media,€such€as€aÏtelephone€directory,€legal€directory,€newspaper€or€other€periodical,€outdoor€advertising,€radio€orÏtelevision,€world€wide€web€site,€or€other€forms€of€communication€not€directed€to€specificallyÏidentified€recipients.€ÌÌ(b)à àWithin€three€days€after€the€publication,€distribution,€or€dispatch€of€an€advertisement€or€aÏcommunication€not€directed€to€a€specifically€identified€recipient,€the€lawyer€shall€file€a€copy€of€theÏadvertisement€or€communication€with€the€Board€of€Professional€Responsibility,€provided,€however,Ïthat€such€filing€is€not€required€for€any€communication€that€only€includes€the€name,€address,€andÏprofession€of€the€lawyer€or€that€has€been€exempted€from€the€filing€requirement€by€the€Board€ofÏProfessional€Responsibility.ÌÌà0 à(1)à àIf€communications€that€are€similar€in€all€material€respects€are€published€or€displayedÏmore€than€once€or€distributed€to€more€than€one€person,€the€lawyer€may€comply€with€thisÏrequirement€by€filing€a€single€copy€of€the€communication.ÌÌà0 à(2)à àIf€a€communication€that€has€previously€been€filed€with€the€Board€is€changed€in€anyÏmaterial€respect,€notice€of€the€changes€shall€be€filed€with€the€Board€within€three€days€afterÏits€publication,€distribution,€or€dispatch.ÌÌ(c)à àA€lawyer€shall€not€give€anything€of€value€to€a€person€for€recommending€or€publicizing€theÏlawyerððs€services€except€that€a€lawyer€may€pay€for€the€following:ÌÌà0 à(1)à àthe€reasonable€costs€of€advertisements€or€other€communications€permitted€by€thisÏRule,€Ô_ÔRuleÔ_Ô€7.3,€or€Ô_ÔRuleÔ_Ô€7.5;ÌÌà0 à(2)à àthe€usual€charges€of€a€registered€intermediary€organization€as€permitted€by€Ô_ÔRuleÔ_Ô€7.6;€ÌÌà0 à(3)à àa€sponsorship€fee€or€a€contribution€to€a€charitable€or€other€non„profit€organization€inÏreturn€for€which€the€lawyer€will€be€given€publicity€as€a€lawyer;Ìà0 àÌà0 à(4)à àa€law€practice€in€accordance€with€Ô_ÔRuleÔ_Ô€1.17.ÌÌ(d)à àExcept€for€communications€by€registered€intermediary€organizations,€any€communicationÏsubject€to€this€Rule€or€Ô_ÔRuleÔ_Ô€7.3(b)€shall€include€the€name€and€office€address€of€at€least€one€lawyerÏor€law€firm€assuming€responsibility€for€the€communication.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€governs€general€advertising€through€public€media€and€otherÏcommunications€that€are€not€directed€to€specifically€identified€individuals.€€The€Rule€encompassesÏall€possible€media€through€which€such€communications€may€be€directed,€including€print,Ïbroadcasting,€and€computer„driven€technology.€€Communications€that€are€directed€to€specificallyÏidentified€recipients€are€governed€by€Ô_ÔRuleÔ_Ô€7.3.€ÌÌà à[2]à àTo€assist€the€public€in€obtaining€legal€services,€lawyers€should€be€allowed€to€makeÏknown€their€services€not€only€through€reputation,€but€also€through€organized€informationÏcampaigns€in€the€form€of€advertising.€€Advertising€involves€an€active€quest€for€clients,€contrary€toÏthe€tradition€that€a€lawyer€should€not€seek€clientele.€€However,€the€publicððs€need€to€know€about€legalÏservices€can€be€fulfilled€in€part€through€advertising.€€This€need€is€particularly€acute€in€the€case€ofÏpersons€of€moderate€means€who€have€not€made€extensive€use€of€legal€services.€€The€interest€inÏexpanding€public€information€about€legal€services€ought€to€prevail€over€considerations€of€tradition.€ÏNevertheless,€advertising€by€lawyers€entails€the€risk€of€practices€that€are€misleading€or€overreaching.ÌÌà à[3]à àThis€Rule€permits€public€dissemination€of€information€concerning€a€lawyerððs€nameÏor€firm€name,€address,€and€telephone€number;€the€kinds€of€services€the€lawyer€will€undertake;€theÏbasis€on€which€the€lawyerððs€fees€are€determined,€including€prices€for€specific€services€and€paymentÏand€credit€arrangements;€a€lawyerððs€foreign€language€ability;€names€of€references€and,€with€theirÏconsent,€names€of€clients€regularly€represented;€and€other€information€that€might€invite€the€attentionÏof€those€seeking€legal€assistance.ÌÌà à[4]à àQuestions€of€effectiveness€and€taste€in€advertising€are€matters€of€speculation€andÏsubjective€judgment.€€Some€jurisdictions€have€had€extensive€prohibitions€against€televisionÏadvertising,€against€advertising€going€beyond€specified€facts€about€a€lawyer,€or€againstÏð ðundignifiedðð€advertising.€€Television€is€now€one€of€the€most€powerful€media€for€providing€theÏpublic€with€information,€and€prohibiting€television€advertising,€therefore,€would€impede€the€flow€ofÏinformation€about€legal€services€to€many€sectors€of€the€public.€€Limiting€the€information€that€mayÏbe€advertised€has€a€similar€effect€and€assumes€that€the€bar€can€accurately€forecast€the€kind€ofÏinformation€that€the€public€would€regard€as€relevant.ÌÌà à[5]à àNeither€this€Rule€nor€Ô_ÔRuleÔ_Ô€7.3€prohibits€communications€authorized€by€law,€such€asÏnotice€to€members€of€a€class€in€class€action€litigation.ÌÌà@ àò òRecord€of€Advertisingó óÌÌà à[6]à àParagraph€(b)€requires€that€a€lawyer€file€a€copy€of€any€advertisement€or€otherÏcommunication€governed€by€this€Rule€with€the€Board€of€Professional€Responsibility€within€threeÏdays€after€publication,€distribution,€or€dispatch.€€A€lawyer€may€comply€with€the€filing€requirementÏof€paragraph€(b)€by€complying€with€guidelines€that€may€be€adopted€by€the€Board€of€ProfessionalÏResponsibility€concerning€appropriate€methods€by€which€a€lawyer€may€provide€the€Board€withÏnotice€of€communications€made€by€way€of€web€sites,€e„mail,€or€other€electronic€forms€ofÏcommunication€or€of€changes€to€such€communications.€€This€Rule€does€not€require€thatÏcommunications€be€subject€to€review€prior€to€dissemination,€although€a€lawyer€is€free€to€requestÏsuch€a€review€from€the€Board.€€This€Rule€provides€the€Board€an€opportunity€to€monitor€lawyerÏcommunications€to€the€public€while€not€placing€any€sort€of€prior€restraint€on€publication.ÌÌà@ àò òPaying€Others€to€Recommend€a€Lawyeró óÌÌà à[7]à àA€lawyer€is€allowed€to€pay€for€advertising€permitted€by€this€Rule€and€for€theÏpurchase€of€a€law€practice€in€accordance€with€the€provisions€of€Ô_ÔRuleÔ_Ô€1.17,€but€otherwise€is€notÏpermitted€to€pay€another€person€for€channeling€professional€work€to€the€lawyer.€€This€restrictionÏdoes€not€prevent€an€organization€or€person€other€than€the€lawyer€from€advertising€or€recommendingÏthe€lawyerððs€services.€€Thus,€a€legal€aid€agency€or€prepaid€legal€services€plan€may€pay€to€advertiseÏlegal€services€provided€under€its€auspices.€€Likewise,€a€lawyer€may€participate€in€not„for„profitÏlawyer€referral€programs€and€pay€the€usual€fees€charged€by€such€programs.€€Paragraph€(c)€does€notÍprohibit€paying€regular€compensation€to€an€assistant,€such€as€a€secretary,€to€prepareÏcommunications€permitted€by€this€Rule.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)€€Ìð ðReasonableðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(i)€€ÇÔ  Ôà@ àò òRule€7.3Ìà@ àSOLICITATION€AND€OTHER€COMMUNICATIONS€Ìà@ àDIRECTED€TO€SPECIFICALLY€IDENTIFIED€RECIPIENTSó óÌÔ  ÔÌ(a)à àIf€a€significant€motive€for€the€solicitation€is€the€lawyerððs€pecuniary€gain,€a€lawyer€shall€notÏsolicit€professional€employment€by€in„person,€live€telephone,€or€real„time€electronic€contact€from€aÏprospective€client€who€has€not€initiated€the€contact€with€the€lawyer€and€with€whom€the€lawyer€has€noÏfamily€or€prior€professional€relationship.€ÌÌ(b)à àA€lawyer€shall€not€solicit€professional€employment€by€in„person,€live€telephone,€or€real„timeÏelectronic€contact,€or€by€a€writing,€recording,€telegram,€facsimile,€computer€transmission€or€otherÏmode€of€communication€directed€to€a€specifically€identified€recipient€who€has€not€initiated€theÏcontact€with€the€lawyer€if:ÌÌà0 à(1)à àthe€person€solicited€has€made€known€to€the€lawyer€a€desire€not€to€be€contacted€byÏthe€lawyer;€orÌÌà0 à(2)à àthe€communication€constitutes€overreaching,€coercion,€duress,€harassment,€undueÏinfluence,€intimidation,€or€fraud;€orÌÌà0 à(3)à àa€significant€motive€for€the€solicitation€is€the€lawyerððs€pecuniary€gain€and€theÏcommunication€concerns€an€action€for€personal€injury,€workerððs€compensation,€wrongfulÏdeath,€or€otherwise€relates€to€an€accident€or€disaster€involving€the€person€to€whom€theÏcommunication€is€addressed€or€a€member€of€that€personððs€family,€unless€the€accident€orÏdisaster€occurred€more€than€thirty€(30)€days€prior€to€the€mailing€or€transmission€of€theÏcommunication€or€the€lawyer€has€a€family€or€prior€professional€relationship€with€the€personÏsolicited.ÌÌ(c)à àIf€a€significant€motive€for€the€solicitation€is€the€lawyerððs€pecuniary€gain,€a€lawyer€shall€notÏsend€or€dispatch€a€communication€soliciting€professional€employment€from€a€specifically€identifiedÏrecipient€who€has€not€initiated€a€contact€with€the€lawyer€and€with€whom€the€lawyer€has€no€family€orÏprior€professional€relationship,€unless€the€communication€complies€with€the€followingÏrequirements:€ÌÌà0 à(1)à àEach€communication,€including€envelopes€and€self„mailing€brochures€or€pamphlets,Ïshall€include€the€words€òòð ðThis€is€an€advertisementððóó€as€follows:€ÌÌà0 àà0 à(a)à àIn€written€communications€sent€by€mail,€telegraph,€facsimile,€or€computerÏtransmission,€the€required€wording€shall€appear€in€conspicuous€print€size€on€theÏoutside€envelope,€if€any,€and€at€the€beginning€and€end€of€the€written€material.€€If€theÏwritten€communication€is€a€self„mailing€brochure€or€pamphlet,€the€required€wordingÏshall€appear€on€the€address€panel€of€the€brochure€or€pamphlet.€ÌÌà0 àà0 à(b)à àIn€video€communications,€the€required€wording€shall€appear€conspicuouslyÏin€the€communication€for€at€least€five€seconds€at€the€beginning€and€five€seconds€atÏthe€end€of€the€communication€and€the€required€wording€of€the€audio€portion€of€theÏvideo€communication€shall€be€presented€as€required€in€subsection€(c)(1)(c)€below.ÌÌà0 àà0 à(c)à àIn€audio€communications,€the€required€wording€shall€be€presented€at€bothÏthe€beginning€and€end€of€the€communication€in€a€tone,€volume,€clarity€and€speed€ofÍdelivery€at€least€equivalent€to€the€clearest€quality€tone,€volume,€clarity€and€speed€usedÏelsewhere€in€the€communication.€ÌÌà0 à(2)à àA€lawyer€shall€not€state€or€imply€that€a€communication€otherwise€permitted€by€theseÏrules€has€been€approved€by€the€Tennessee€Supreme€Court€or€the€Board€of€ProfessionalÏResponsibility.ÌÌà0 à(3)à àIf€a€contract€for€representation€is€mailed€with€the€communication,€the€top€of€eachÏpage€of€the€contract€shall€be€marked€ð ðSAMPLEðð€and€the€words€ð ðDO€NOT€SIGNðð€shallÏappear€on€the€client€signature€line.€ÌÌà0 à(4)à àWritten€communications€shall€not€be€in€the€form€of€or€include€legal€pleadings€orÏother€formal€legal€documents.€ÌÌà0 à(5)à àCommunications€delivered€to€prospective€clients€shall€be€sent€only€by€regular€U.S.Ïmail€and€not€by€registered,€certified,€or€other€forms€of€restricted€delivery,€or€by€expressÏdelivery€or€courier.ÌÌà0 à(6)à àAny€communication€seeking€employment€by€a€specific€prospective€client€in€aÏspecific€matter€shall€comply€with€the€following€additional€requirements:ÌÌà0 àà0 à(i)à àThe€communication€shall€disclose€how€the€lawyer€obtained€the€informationÏprompting€the€communication;€ÌÌà0 àà0 à(ii)à àThe€subject€matter€of€the€proposed€representation€shall€not€be€disclosed€onÏthe€outside€of€the€envelope€(or€self„mailing€brochure)€in€which€the€communication€isÏdelivered;€and€ÌÌà0 àà0 à(iii)à àThe€first€sentence€of€the€communication€shall€state,€ð ðòòIf€you€have€alreadyÏhired€or€retained€a€lawyer€in€this€matter,€please€disregard€this€message.óóðð€ÌÌà0 à(7)à àA€copy€of€each€written,€audio,€video,€or€electronically€transmitted€communicationÏsent€to€a€specific€recipient€shall€be€filed€with€the€Board€of€Professional€ResponsibilityÏwithin€three€days€after€the€dispatch€of€the€communication.€€At€the€same€time,€the€lawyerÏdispatching€the€communication€shall€also€file€the€name€of€the€person€contacted€and€theÏpersonððs€address,€telephone€number,€or€telecommunication€address€to€which€theÏcommunication€was€sent.€€If€communications€identical€in€content€are€sent€to€two€or€moreÏpersons,€the€lawyer€may€comply€with€this€requirement€by€filing€a€single€copy€of€theÏcommunication€together€with€a€list€of€the€names€and€addresses€of€the€persons€to€whom€theÏcommunications€were€sent.€€If€the€lawyer€periodically€sends€the€identical€communication€toÏadditional€persons,€lists€of€the€additional€names€and€addresses€shall€be€filed€with€the€BoardÏof€Professional€Responsibility€no€less€frequently€than€monthly.Ì€Ì(d)à àUnless€the€subject€matter€of€the€communication€is€restricted€to€matters€of€general€legalÏinterest€or€to€an€announcement€of€an€association€or€affiliation€with€another€lawyer€that€compliesÏwith€the€requirements€of€Ô_ÔRuleÔ_Ô€7.5,€a€lawyer€who€sends€newsletters,€brochures,€and€other€similarÏcommunications€to€persons€who€have€not€requested€the€communication€or€with€whom€the€lawyerÏhas€no€family€or€prior€professional€relationship€shall€comply€with€the€requirements€of€paragraph€(c)Ïabove.€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThere€is€a€potential€for€abuse€inherent€in€direct€in„person€or€live€telephone€contactÏby€a€lawyer€with€a€prospective€client€known€to€need€legal€services.€€These€forms€of€contact€betweenÏa€lawyer€and€a€specifically€targeted€recipient€subject€the€layperson€to€the€private€importuning€of€theÏtrained€advocate€in€a€direct€interpersonal€encounter.€€The€prospective€client,€who€may€already€feelÏoverwhelmed€by€the€circumstances€giving€rise€to€the€need€for€legal€services,€may€find€it€difficultÏfully€to€evaluate€all€available€alternatives€with€reasoned€judgment€and€appropriate€self„interest€in€theÏface€of€the€lawyerððs€presence€and€insistence€upon€being€retained€immediately.€€The€situation€isÏfraught€with€the€possibility€of€undue€influence,€intimidation,€and€overreaching.ÌÌà à[2]à àThis€potential€for€abuse€inherent€in€direct€in„personÔf  ÔÔg ÔÔf  ÔÔg Ô,Ôf  ÔÔg Ô€live€telephoneÔf  ÔÔg Ô,€or€real„timeÏelectronicÔf  ÔÔg Ô€solicitation€of€prospective€clients€justifies€its€prohibition,€particularly€since€lawyerÏadvertising€and€written€and€recorded€communication€permitted€under€this€Rule€offer€alternativeÏmeans€of€conveying€necessary€information€to€those€who€may€be€in€need€of€legal€services.€€WrittenÏand€recorded€communications€that€may€be€mailed€or€electronically€transmitted€make€it€possible€forÏa€prospective€client€to€be€informed€about€the€need€for€legal€services,€and€about€the€qualifications€ofÏavailable€lawyers€and€law€firms,€without€subjecting€the€prospective€client€to€direct€in„personÔf  ÔÔg ÔÔf  ÔÔg ÔÔg Ô,€liveÏtelephoneÔf  ÔÔg Ô,€or€real„time€electronicÔf  ÔÔg Ô€persuasion€that€may€overwhelm€the€clientððs€judgment.ÌÌà à[3]à àThe€use€of€written€and€recorded€communications€to€transmit€information€from€aÏlawyer€to€a€specifically€identified€recipient,€rather€than€direct€in„person€or€live€telephone€contact,€willÏhelp€to€assure€that€the€information€flows€cleanly€as€well€as€freely.€€The€contents€of€communicationsÏpermitted€under€this€Rule€are€permanently€recorded€and€filed€with€the€Board€of€ProfessionalÏResponsibility.€€The€contents€of€direct€in„person€or€live€telephone€conversations€between€a€lawyerÏand€a€prospective€client€can€be€disputed€and€are€not€subject€to€third„party€scrutiny.€€Consequently,Ïthey€are€much€more€likely€to€approach€(and€occasionally€cross)€the€dividing€line€between€accurateÏrepresentations€and€those€that€are€false€and€misleading.ÌÌà à[4]à àThere€is€far€less€likelihood€that€a€lawyer€would€engage€in€abusive€practices€againstÏan€individual€with€whom€the€lawyer€has€a€prior€personal€or€professional€relationship€or€where€theÏlawyer€is€motivated€by€considerations€other€than€the€lawyerððs€pecuniary€gain.€€Consequently,€theÏprohibitions€in€Ô_ÔRuleÔ_Ô€7.3(a)€and€7.3(b)(3)€are€not€applicable€in€those€situations.ÌÌà à[5]à àBut€even€permitted€forms€of€solicitation€can€be€abused.€€Thus,€any€solicitation€thatÏcontains€information€which€is€false€or€misleading€within€the€meaning€of€Ô_ÔRuleÔ_Ô€7.1,€which€involvesÏcoercion,€duress,€or€harassment€within€the€meaning€of€Ô_ÔRuleÔ_Ô€7.3(b)(2),€which€involves€contact€with€aÏprospective€client€who€has€made€known€to€the€lawyer€a€desire€not€to€be€solicited€by€the€lawyerÏwithin€the€meaning€of€Ô_ÔRuleÔ_Ô€7.3(b)(2),€or€which€occurs€within€thirty€(30)€days€after€an€accident€orÏdisaster€involving€the€individual€or€a€member€of€the€individualððs€family,€is€prohibited.€€Moreover,€ifÏafter€sending€a€letter€or€other€communication€to€a€client€as€permitted€by€Ô_ÔRuleÔ_Ô€7.2€the€lawyer€receivesÏno€response,€any€further€effort€to€communicate€with€the€prospective€client€may€violate€theÏprovisions€of€Ô_ÔRuleÔ_Ô€7.3(b)(1).€€Communications€directed€to€specifically€identified€recipients€must€beÏidentified€as€advertisements,€may€need€to€be€marked€with€other€disclaimers,€and€cannot€be€formattedÏor€delivered€in€such€a€manner€as€to€mislead€the€recipient€about€the€nature€of€the€communication.€ÌÌà à[6]à àThis€Rule€is€not€intended€to€prohibit€a€lawyer€from€contacting€representatives€ofÏorganizations€or€groups€that€may€be€interested€in€establishing€a€group€or€prepaid€legal€plan€for€theirÏmembers,€insureds,€beneficiaries,€or€other€third€parties€if€the€lawyerððs€purpose€is€to€inform€suchÏentities€of€the€lawyerððs€willingness€to€cooperate€with€the€plan€in€compliance€with€Ô_ÔRuleÔ_Ô€7.6.€€ThisÏform€of€communication€is€not€directed€to€a€prospective€client.€€Rather,€it€is€usually€addressed€to€anÏindividual€acting€in€a€fiduciary€capacity€seeking€a€supplier€of€legal€services€for€others€who€may,€ifÍthey€choose,€become€prospective€clients€of€the€lawyer.€€Under€these€circumstances,€the€activity€thatÏthe€lawyer€undertakes€in€communicating€with€such€representatives€and€the€type€of€informationÏtransmitted€to€the€individual€are€functionally€similar€to,€and€serve€the€same€purpose€as,€advertisingÏpermitted€under€Ô_ÔRuleÔ_Ô€7.2.ÌÌà à[7]à àThe€requirements€in€Ô_ÔRuleÔ_Ô€7.3(c)€that€certain€communications€be€marked€asÏadvertisements€and€contain€other€disclaimers€do€not€apply€to€communications€sent€in€response€toÏrequests€of€potential€clients€or€their€spokespersons€or€sponsors.€€General€announcements€byÏlawyers,€including€changes€in€personnel€or€office€location,€do€not€constitute€communicationsÏsoliciting€professional€employment€from€a€client€known€to€be€in€need€of€legal€services€within€theÏmeaning€of€this€Rule.ÌÌà à[8]à àÔ_ÔRuleÔ_Ô€7.3€is€not€intended€to€apply€to€communications€such€as€general€interestÏnewsletters€or€announcements€of€association€or€affiliation€that€comply€with€Ô_ÔRuleÔ_Ô€7.5.€€Other€typesÏof€newsletters,€brochures,€and€similar€communications€sent€to€specifically€identified€recipients€mustÏcomply€with€Ô_ÔRuleÔ_Ô€7.3.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFraudðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)€€Ìð ðKnownðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)€€Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)ÇÔ  Ôà@ àò òRule€7.4Ìó óà@ àò òCOMMUNICATION€OF€FIELDS€OF€PRACTICEó óÌÔ  ÔÌSubject€to€the€requirements€of€Ô_ÔRulesÔ_Ô€7.1,€7.2,€and€7.3,ÌÌà0 à(a)à àA€lawyer€may€communicate€the€fact€that€the€lawyer€does€or€does€not€practice€inÏparticular€fields€of€law.ÌÌà0 à(b)à àExcept€as€permitted€by€paragraphs€(c)€and€(d),€a€lawyer€shall€not€state€that€theÏlawyer€is€a€specialist,€specializes,€or€is€certified€or€recognized€as€a€specialist€in€a€particularÏfield€of€law.€ÌÌà0 à(c)à àA€lawyer€admitted€to€engage€in€patent€practice€before€the€United€States€Patent€andÏTrademark€Office€may€use€the€designation€ð ðPatent€Attorneyðð€or€a€substantially€similarÏdesignation.ÌÌà0 à(d)à àA€lawyer€who€has€been€certified€as€a€specialist€in€a€field€of€law€by€the€TennesseeÏCommission€on€Continuing€Legal€Education€and€Specialization€may€state,€with€respect€toÏeach€area,€ð ðCertified€as€a€(area€of€practice)€Specialist€by€the€Tennessee€Commission€onÏContinuing€Legal€Education€and€Specialization.ðð€€Any€lawyer€so€certified€may€also€list€anyÏother€certifications€that€he€or€she€has€obtained€in€that€area€of€law,€provided€that€theÏorganizations€issuing€such€certifications€have€been€accredited€by€the€Commission€asÏcomplying€with€its€requirements€for€certification,€and€provided€further€that€such€listing€is€inÏtype€not€larger€than€that€used€to€list€certification€from€the€Commission.ÌÌà0 à(e)à àIf€a€lawyer€has€not€been€certified€as€a€specialist€by€the€Commission€in€an€area€inÏwhich€the€lawyer€advertises€and€in€which€certification€is€available,€then€the€lawyer€must€stateÏwith€respect€to€each€such€area,€ð ðNot€certified€as€a€(area€of€practice)€specialist€by€theÏTennessee€Commission€on€Continuing€Legal€Education€and€Specialization.ððÌÌà0 à(f)à àIf€a€lawyer€has€not€been€certified€as€a€specialist€by€the€Commission€in€an€advertisedÏarea,€but€no€certification€is€available€from€the€Commission€in€that€area€of€law,€the€lawyerÏmay€state,€ð ðCertification€as€a€(area€of€law)€specialist€is€not€currently€available€inÏTennessee.ððÌÌà0 à(g)à àNo€lawyer€shall€communicate€that€certification€is€not€available€in€an€advertised€areaÏif€the€advertised€area€has€been€identified€by€the€Commission€as€being€included€in€an€area€ofÏspecialization€or,€in€the€absence€of€such€identification,€if€the€advertised€area€is€reasonablyÏincluded€in€a€certified€specialty.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àThis€Rule€permits€a€lawyer€to€indicate€areas€of€practice€in€communications€about€theÏlawyerððs€services.€€If€a€lawyer€practices€only€in€certain€fields€or€will€not€accept€matters€in€a€specifiedÏfield€or€fields,€the€lawyer€is€permitted€to€so€indicate.€ÌÌà à[2]à àHowever,€a€lawyer€may€not€communicate€that€the€lawyer€is€a€ð ðspecialist,ðð€practicesÏa€ð ðspecialty,ðð€ð ðspecializes€inðð€a€particular€field,€or€that€the€lawyer€has€been€recognized€or€certifiedÏas€a€specialist€in€a€particular€field€of€law,€except€as€provided€by€this€Rule.€€Recognition€ofÏspecialization€in€patent€matters€is€a€matter€of€long„established€policy€of€the€Patent€and€TrademarkÏOffice,€as€reflected€in€paragraph€(c).ÌÌà à[3]à àParagraph€(d)€permits€a€lawyer€to€communicate€that€he€or€she€is€a€specialist€or€hasÏbeen€certified€or€recognized€as€a€specialist€when€the€lawyer€has€been€so€certified€or€recognized€byÏthe€Tennessee€Commission€on€Continuing€Legal€Education€and€Specialization.€€The€certificationÏprocedures€are€designed€to€require€that€the€lawyer€demonstrate€higher€degree€of€specialized€abilityÏand€experience€than€is€suggested€by€general€licensure€to€practice€law.€€This€paragraph€also€permitsÏthe€lawyer€to€state€that€he€or€she€is€certified€by€other€professional€organizations,€provided€that€suchÏorganizations€have€been€accredited€by€the€Commission€as€complying€with€its€requirements€to€issueÏsuch€certification.ÌÌà à[4]à àParagraphs€(e)€through€(g)€restate€previous€law€with€respect€to€communications€inÏfields€of€practice€in€which€the€lawyer€is€not€certified€as€a€specialist€with€the€Tennessee€CommissionÏon€Continuing€Legal€Education€and€Specialization.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðSubstantiallyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)ÇÔ  Ôò òà@ àRule€7.5Ìà@ àFIRM€NAMES€AND€LETTERHEADSó óÌÔ  ÔÌ(a)à àA€lawyer€shall€not€use€a€firm€name,€letterhead,€or€other€professional€designation€that€violatesÏÔ_ÔRuleÔ_Ô€7.1.€€A€trade€name€may€be€used€by€a€lawyer€in€private€practice€if€it€does€not€imply€aÏconnection€with€a€government€agency€or€with€a€public€or€charitable€legal€services€organization€andÏif€it€does€not€otherwise€violate€Ô_ÔRuleÔ_Ô€7.1.ÌÌ(b)à àA€law€firm€with€offices€in€more€than€one€jurisdiction€may€use€the€same€name€in€eachÏjurisdiction,€but€identification€of€the€lawyers€in€an€office€of€the€firm€shall€indicate€the€jurisdictionalÏlimitations€on€those€not€licensed€to€practice€in€the€jurisdiction€where€the€office€is€located.ÌÌ(c)à àThe€name€of€a€lawyer€holding€a€public€office€shall€not€be€used€in€the€name€of€a€law€firm,€orÏin€communications€on€its€behalf,€during€any€substantial€period€in€which€the€lawyer€is€not€activelyÏand€regularly€practicing€with€the€firm.ÌÌ(d)à àLawyers€may€state€or€imply€that€they€practice€in€a€partnership€or€other€organization€onlyÏwhen€that€is€the€fact.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àA€firm€may€be€designated€by€the€names€of€all€or€some€of€its€members,€by€the€namesÏof€deceased€or€retired€members€where€there€has€been€a€continuing€succession€in€the€firmððs€identity,Ïor€by€a€trade€name€such€as€the€ð ðABC€Legal€Clinic.ðð€€Ôf  ÔÔg ÔA€lawyer€or€law€firm€may€also€be€designatedÏby€a€distinctive€website€address€or€comparable€professional€designation.€€Ôf  ÔÔg ÔAlthough€the€UnitedÏStates€Supreme€Court€has€held€that€legislation€may€prohibit€the€use€of€trade€names€in€professionalÏpractice,€use€of€such€names€in€law€practice€is€acceptable€so€long€as€it€is€not€misleading.€€If€a€privateÏfirm€uses€a€trade€name€that€includes€a€geographical€name€such€as€ð ðSpringfield€Legal€Clinic,ðð€anÏexpress€disclaimer€that€it€is€not€a€public€legal€aid€agency€may€be€required€to€avoid€a€misleadingÏimplication.€€It€may€be€observed€that€any€firm€name€including€the€name€of€a€deceased€partner€is,Ïstrictly€speaking,€a€trade€name.€€The€use€of€such€names€to€designate€law€firms€has€proven€to€be€aÏuseful€means€of€identification.€€However,€it€is€misleading€to€use€the€name€of€a€lawyer€not€associatedÏwith€the€firm€or€a€predecessor€of€the€firm.ÌÌà à[2]à àParagraph€(c)€does€not€require€a€change€in€a€law€firmððs€name€or€letterhead€when€aÏmember€of€the€firm€interrupts€his€or€her€practice€to€serve,€for€example,€as€an€elected€member€of€theÏTennessee€General€Assembly€so€long€as€the€lawyer€reasonably€expects€to€resume€active€and€regularÏpractice€with€the€firm€at€the€end€of€the€legislative€session.€€Such€a€hiatus€from€practice€is€not€for€aÏsubstantial€period€of€time.€€If,€however,€a€lawyer€were€to€curtail€his€or€her€practice€and€enter€publicÏservice€for€a€longer€or€indefinite€period€of€time,€the€lawyerððs€firm€would€have€to€alter€its€name€andÏletterhead.ÌÌà à[3]à àWith€regard€to€paragraph€(d),€lawyers€sharing€office€facilities,€but€who€are€not€inÏfact€partners,€may€not€denominate€themselves€as,€for€example,€ð ðSmith€and€Jones,ðð€for€that€titleÏsuggests€partnership€in€the€practice€of€law.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)ò òÇó óà@ àò òÔ  ÔRule€7.6Ìó óà@ àò òINTERMEDIARY€ORGANIZATIONSÌó óÔ  ÔÌ(a)à àAn€intermediary€organization€is€a€lawyer„advertising€cooperative,€lawyer€referral€service,Ïprepaid€legal€insurance€provider,€or€a€similar€organization€the€business€or€activities€of€which€includeÏthe€referral€of€its€customers,€members,€or€beneficiaries€to€lawyers€or€the€payment€for€or€provision€ofÏlegal€services€to€the€organizationððs€customers,€members,€or€beneficiaries€in€matters€for€which€theÏorganization€does€not€bear€ultimate€responsibility.ÌÌ(b)à àA€lawyer€shall€not€seek€or€accept€a€referral€of€a€client,€or€compensation€for€representing€aÏclient,€from€an€intermediary€organization€if€the€lawyer€knows€or€reasonably€should€know€that:ÌÌà0 à(1)à àthe€organization:ÌÌà0 àà0 à(i)à àis€owned€or€controlled€by€the€lawyer,€a€law€firm€with€which€the€lawyer€isÏassociated,€or€a€lawyer€with€whom€the€lawyer€is€associated€in€a€firm;€orÌÌà0 àà0 à(ii)à àis€engaged€in€the€unauthorized€practice€of€law;€orÌÌà0 àà0 à(iii)à àengages€in€marketing€activities€that€are€false€or€misleading€or€are€otherwiseÏprohibited€by€the€Board€of€Professional€Responsibility;€or€ÌÌà0 àà0 à(iv)à àhas€not€registered€with€the€Board€of€Professional€Responsibility€andÏcomplied€with€all€requirements€imposed€by€the€Board;€or€ÌÌà0 à(2)à àthe€lawyer€will€be€unable€to€represent€the€client€in€compliance€with€these€Rules.€ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àFor€there€to€be€equal€access€to€justice,€there€must€be€equal€access€to€lawyers.€€ForÏthere€to€be€equal€access€to€lawyers,€potential€clients€must€be€able€to€find€lawyers€and€have€theÏeconomic€resources€needed€to€pay€the€lawyers€a€reasonable€fee€for€their€services.€€In€an€effort€toÏassist€prospective€clients€to€find€and€be€able€to€retain€competent€lawyers,€lawyers€and€nonlawyersÏalike€have€formed€a€variety€of€organizations€designed€to€bring€clients€and€lawyers€together€and€toÏprovide€a€vehicle€through€which€the€lawyers€can€be€fairly€compensated€and€the€clients€can€afford€theÏservices€they€need.€€Some€of€these€intermediary€organizations€operate€as€charities.€€Others€operateÏas€businesses.€€Because€they€ultimately€bear€the€liability€of€their€insureds,€liability€insuranceÏcompanies€that€pay€for€or€otherwise€provide€lawyers€to€defend€their€insureds€are€not€intermediaryÏorganizations€within€the€meaning€of€this€Rule.€ÌÌà à[2]à àThe€requirements€set€forth€in€paragraph€(b)€are€intended€to€protect€the€clients€whoÏare€represented€by€lawyers€to€whom€they€have€been€referred€or€assigned€by€an€intermediaryÏorganization.€€It€is€the€responsibility€of€each€lawyer€who€would€participate€in€the€activities€of€anÏintermediary€organization€to€act€reasonably€to€ascertain€that€the€organization€meets€the€standards€setÏforth€in€paragraph€(b).€€Normally€it€will€be€sufficient€for€the€lawyer€to€ascertain€that€the€organizationÏhas€registered€with€the€Board€of€Professional€Responsibility€and€to€review€the€materials€theÏorganization€has€filed€with€the€Board€in€compliance€with€the€Boardððs€reporting€requirements.€€If,Ïhowever,€by€virtue€of€his€or€her€participation€in€the€activities€of€an€intermediary€organization,€aÏlawyer€comes€to€know€that€the€organization€does€not€meet€the€standards€set€forth€in€paragraph€(b),Ïthe€lawyer€shall€terminate€his€or€her€participation€in€the€activities€of€the€organization€and€should€soÏadvise€the€Board€of€Professional€Responsibility.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(d)Ìð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðReasonably€Should€Knowðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(k)ÇÔ  Ôà@ àò òCHAPTER€8Ìó óà@ àò òMAINTAINING€THE€INTEGRITY€OF€THE€PROFESSIONÌÔ  ÔÌÔ  Ôó óà@ àò òRule€8.1Ìó óà@ àò òBAR€ADMISSION€AND€DISCIPLINARY€MATTERSÌÔ  ÔÌó óAn€applicant€for€admission€to€the€bar,€or€a€lawyer€in€connection€with€a€bar€admission€application€orÏin€connection€with€a€disciplinary€matter,€shall€not:ÌÌà0 à(a)à àknowingly€make€a€false€statement€of€material€fact;€orÌÌà0 à(b)à àfail€to€disclose€a€fact€necessary€to€correct€a€misapprehension€of€material€fact€knownÏby€the€person€to€have€arisen€in€the€matter,€or€knowingly€fail€to€respond€to€a€lawful€demandÏfor€information€from€an€admissions€or€disciplinary€authority,€except€that€this€Rule€does€notÏrequire€disclosure€of€information€otherwise€protected€by€Ô_ÔRuleÔ_Ô€1.6.ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àThe€duty€imposed€by€this€Rule€extends€to€persons€seeking€admission€to€the€bar€asÏwell€as€to€lawyers.€€Hence,€if€a€person€makes€a€materially€false€statement€in€connection€with€anÏapplication€for€admission,€it€may€be€the€basis€for€subsequent€disciplinary€action€if€the€person€isÏadmitted,€and€in€any€event€may€be€relevant€in€a€subsequent€admission€application.€€The€dutyÏimposed€by€this€Rule€applies€to€a€lawyerððs€own€admission€or€discipline€as€well€as€that€of€others.€ÏThus,€it€is€a€separate€professional€offense€for€a€lawyer€to€knowingly€make€a€misrepresentation€orÏomission€in€connection€with€a€disciplinary€investigation€of€the€lawyerððs€own€conduct.€€This€RuleÏalso€requires€affirmative€clarification€of€any€misunderstanding€on€the€part€of€the€admissions€orÏdisciplinary€authority€of€which€the€person€involved€becomes€aware.ÌÌà à[2]à àThis€Rule€is€subject€to€the€provisions€of€the€Fifth€Amendment€to€the€United€StatesÏConstitution€and€Article€I,€Section€9€of€the€Tennessee€Constitution.€€A€person€relying€on€such€aÏprovision€in€response€to€a€question,€however,€should€do€so€openly€and€not€use€the€right€of€non„disclosure€as€a€justification€for€failure€to€comply€with€this€Rule.ÌÌà à[3]à àA€lawyer€representing€an€applicant€for€admission€to€the€bar€or€representing€a€lawyerÏwho€is€the€subject€of€a€disciplinary€inquiry€or€proceeding€is€governed€by€the€rules€applicable€to€theÏclient„lawyer€relationship.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó ó€Ìð ðKnowinglyðð€or€ð ðKnownðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)Ìð ðMaterialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(g)€Çò òÔ  Ôó óà@ àò òRule€8.2€Ìó óà@ àò òJUDICIAL€AND€LEGAL€OFFICIALSÌÔ  ÔÌó ó(a)à àA€lawyer€shall€not€make€a€statement€that€the€lawyer€knows€to€be€false€or€that€is€made€withÏreckless€disregard€as€to€its€truth€or€falsity€concerning€the€qualifications€or€integrity€of€the€followingÏpersons:ÌÌà à(1)à àa€judge;€ÌÌà à(2)à àan€adjudicatory€officer€or€public€legal€officer;€or€ÌÌà à(3)à àa€candidate€for€election€or€appointment€to€judicial€or€legal€office.ÌÌ(b)à àA€lawyer€who€is€a€candidate€for€judicial€office€shall€comply€with€the€applicable€provisionsÏof€the€Code€of€Judicial€Conduct.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àAssessments€by€lawyers€are€relied€on€in€evaluating€the€professional€or€personalÏfitness€of€persons€being€considered€for€election€or€appointment€to€judicial€office€and€to€public€legalÏoffices,€such€as€attorney€general,€prosecuting€attorney,€and€public€defender.€€Expressing€honest€andÏcandid€opinions€on€such€matters€contributes€to€improving€the€administration€of€justice.€€Conversely,Ïfalse€statements€by€a€lawyer€can€unfairly€undermine€public€confidence€in€the€administration€ofÏjustice.ÌÌà à[2]à àWhen€a€lawyer€seeks€judicial€office,€the€lawyer€is€bound€by€applicable€limitations€onÏpolitical€activity.ÌÌà à[3]à àTo€maintain€the€fair€and€independent€administration€of€justice,€lawyers€areÏencouraged€to€continue€traditional€efforts€to€defend€judges€and€courts€unjustly€criticized€and€toÏresponsibly€speak€out€when€necessary€to€prevent€or€rectify€injustice€or€to€promote€neededÏimprovements€in€the€judicial€system.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðKnowsðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)ò òÔ  Ôó óÇà@ àò òRule€8.3€Ìó óà@ àò òREPORTING€PROFESSIONAL€MISCONDUCTÌó óÔ  ÔÌ(a)à àA€lawyer€having€knowledge€that€another€lawyer€has€committed€a€violation€of€the€Rules€ofÏProfessional€Conduct€that€raises€a€substantial€question€as€to€that€lawyerððs€honesty,€trustworthiness,Ïor€fitness€as€a€lawyer€in€other€respects€shall€inform€the€Disciplinary€Counsel€of€the€Board€ofÏProfessional€Responsibility.ÌÌ(b)à àA€lawyer€having€knowledge€that€a€judge€has€committed€a€violation€of€applicable€rules€ofÏjudicial€conduct€that€raises€a€substantial€question€as€to€the€judgeððs€fitness€for€office€shall€inform€theÏDisciplinary€Counsel€of€the€Court€of€the€Judiciary.ÌÌ(c)à àThis€Rule€does€not€require€disclosure€of€information€otherwise€protected€by€Ô_ÔRuleÔ_Ô€1.6€or€ofÏinformation€gained€by€a€lawyer€or€judge€while€serving€as€a€member€of€a€lawyer€assistance€programÏapproved€by€the€Supreme€Court€of€Tennessee€or€by€the€Board€of€Professional€Responsibility€to€theÏextent€that€such€information€would€be€confidential€if€it€were€communicated€subject€to€the€attorney„client€privilege.ÌÌà@ àò òCOMMENTSó óÌÌà à[1]à àSelf„regulation€of€the€legal€profession€requires€that€members€of€the€professionÏinitiate€disciplinary€investigation€when€they€know€of€a€violation€of€the€Rules€of€ProfessionalÏConduct.€€Lawyers€have€a€similar€obligation€with€respect€to€judicial€misconduct.€€An€apparentlyÏisolated€violation€may€indicate€a€pattern€of€misconduct€that€only€a€disciplinary€investigation€canÏuncover.€€Reporting€a€violation€is€especially€important€where€the€victim€is€unlikely€to€discover€theÏoffense.ÌÌà à[2]à àA€report€about€misconduct€is€not€required€where€it€would€involve€violation€of€Ô_ÔRuleÔ_ÔÏ1.6.€€However,€a€lawyer€should€encourage€a€client€to€consent€to€disclosure€where€prosecution€wouldÏnot€substantially€prejudice€the€clientððs€interests.ÌÌà à[3]à àIf€a€lawyer€were€obliged€to€report€every€violation€of€the€Rules,€the€failure€to€reportÏany€violation€would€itself€be€a€professional€offense.€€Such€a€requirement€existed€in€manyÏjurisdictions,€but€proved€to€be€unenforceable.€€This€Rule€limits€the€reporting€obligation€to€thoseÏoffenses€that€a€self„regulating€profession€must€vigorously€endeavor€to€prevent.€€A€measure€ofÏjudgment€is,€therefore,€required€in€complying€with€the€provisions€of€this€Rule.€€The€termÏð ðsubstantialðð€refers€to€the€seriousness€of€the€possible€offense€and€not€the€quantum€of€evidence€ofÏwhich€the€lawyer€is€aware.€€Similar€considerations€apply€to€the€reporting€of€judicial€misconduct.€ÏHowever,€nothing€in€this€Rule€prohibits€a€lawyer€from€reporting€other€professional€misconduct€evenÏwhen€the€lawyer€is€not€under€a€mandatory€duty€to€do€so.ÌÌà à[4]à àThe€duty€to€report€professional€misconduct€does€not€apply€to€a€lawyer€retained€toÏrepresent€a€lawyer€whose€professional€conduct€is€in€question.€€Such€a€situation€is€governed€by€theÏrules€applicable€to€the€client„lawyer€relationship.ÌÌà à[5]à àInformation€about€a€lawyerððs€or€judgeððs€misconduct€or€fitness€may€be€received€by€aÏlawyer€in€the€course€of€that€lawyerððs€participation€in€an€approved€lawyersðð€or€judgesðð€assistanceÏprogram.€€In€that€circumstance,€providing€for€the€confidentiality€of€such€information€encouragesÏlawyers€and€judges€to€seek€treatment€through€such€programs.€€Conversely,€without€suchÏconfidentiality,€lawyers€and€judges€may€hesitate€to€seek€assistance€from€these€programs,€which€mayÏthen€result€in€additional€harm€to€their€professional€careers€and€additional€injury€to€the€welfare€ofÍclients€and€the€public.€€The€Rule€therefore€exempts€the€lawyer€from€the€reporting€requirements€ofÏparagraphs€(a)€and€(b)€with€respect€to€information€that€would€be€privileged€if€the€relationshipÏbetween€the€impaired€lawyer€or€judge€and€the€recipient€of€the€information€were€that€of€a€client€and€aÏlawyer.€€On€the€other€hand,€a€lawyer€who€receives€such€information€would€nevertheless€be€requiredÏto€comply€with€the€Ô_ÔRuleÔ_Ô€8.3€reporting€provisions€to€report€misconduct€if€the€impaired€lawyer€orÏjudge€indicates€an€intent€to€engage€in€illegal€activity,€for€example,€the€conversion€of€client€funds€toÏhis€or€her€use.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðSubstantialðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(òòlóó)€Çò òÔ  Ôó óà@ àò òRule€8.4Ìó óà@ àò òMISCONDUCTÌÔ  ÔÌó óIt€is€professional€misconduct€for€a€lawyer€to:ÌÌà0 à(a)à àviolate€or€attempt€to€violate€the€Rules€of€Professional€Conduct,€knowingly€assist€orÏinduce€another€to€do€so,€or€do€so€through€the€acts€of€another;ÌÌà0 à(b)à àcommit€a€criminal€act€that€reflects€adversely€on€the€lawyerððs€honesty,Ïtrustworthiness,€or€fitness€as€a€lawyer€in€other€respects;ÌÌà0 à(c)à àengage€in€conduct€involving€dishonesty,€fraud,€deceit,€or€misrepresentation;ÌÌà0 à(d)à àengage€in€conduct€that€is€prejudicial€to€the€administration€of€justice;à0 àÌÌà0 à(e)à àattempt€to,€or€state€or€imply€an€ability€to€influence€a€tribunal€or€a€governmentalÏagency€or€official€on€grounds€unrelated€to€the€merits€of,€or€the€procedures€governing,€theÏmatter€under€consideration;€Ôf  ÔÔg ÔÌÌà0 à(f)à àknowingly€assist€a€judge€or€judicial€officer€in€conduct€that€is€a€violation€ofÏapplicable€rules€of€judicial€conduct€or€other€lawÔf  ÔÔg ÔÔf  ÔÔg Ô;€orÔf  ÔÔg ÔÌÌà0 à(g)à àknowingly€fail€to€comply€with€a€final€court€order€entered€in€a€proceeding€in€whichÏthe€lawyer€is€a€party,€unless€the€lawyer€is€unable€to€comply€with€the€order€or€is€seeking€inÏgood€faith€to€determine€the€validity,€scope,€meaning,€or€application€of€the€law€upon€whichÏthe€order€is€based.€ÌÌà@ àò òCOMMENTSÌó óÌà à[1]à àMany€kinds€of€illegal€conduct€reflect€adversely€on€fitness€to€practice€law,€such€asÏoffenses€involving€fraud€and€the€offense€of€willful€failure€to€file€an€income€tax€return.€€However,Ïsome€kinds€of€offense€carry€no€such€implication.€€Traditionally,€the€distinction€was€drawn€in€termsÏof€offenses€involving€ð ðmoral€turpitude.ðð€€That€concept€can€be€construed€to€include€offensesÏconcerning€some€matters€of€personal€morality,€such€as€adultery€and€comparable€offenses,€that€haveÏno€specific€connection€to€fitness€for€the€practice€of€law.€€Although€a€lawyer€is€personallyÏanswerable€to€the€entire€criminal€law,€a€lawyer€should€be€professionally€answerable€only€forÏoffenses€that€indicate€lack€of€those€characteristics€relevant€to€law€practice.€€Offenses€involvingÏviolence,€dishonesty€or€breach€of€trust,€or€serious€interference€with€the€administration€of€justice€areÏin€that€category.€€Although€under€certain€circumstances€a€single€offense€reflecting€adversely€on€aÏlawyerððs€fitness€to€practiceð"ðsuch€as€a€minor€assaultð"ðmay€not€be€sufficiently€serious€to€warrantÏdiscipline,€a€pattern€of€repeated€offenses,€even€ones€that€are€of€minor€significance€when€consideredÏseparately,€can€indicate€indifference€to€legal€obligation.ÌÌà à[2]à àA€lawyer€who,€in€the€course€of€representing€a€client,€knowingly€manifests€by€wordsÏor€conduct,€bias€or€prejudice€based€on€race,€sex,€religion,€national€origin,€disability,€age,€sexualÏorientation,€or€socio„economic€status,€may€violate€paragraph€(d)€if€such€actions€are€prejudicial€to€theÏadministration€of€justice.€€Legitimate€advocacy€respecting€the€foregoing€factors€does€not€violateÏparagraph€(d).€ÌÌà à[3]à àA€lawyer€may€refuse€to€comply€with€an€obligation€imposed€by€law€upon€a€goodÏfaith€belief€that€no€valid€obligation€exists.€€The€provisions€of€Ô_ÔRuleÔ_Ô€1.2(d)€concerning€a€good€faithÍchallenge€to€the€validity,€scope,€meaning,€or€application€of€the€law€apply€to€challenges€of€legalÏregulation€of€the€practice€of€law.€€ÌÌÔf  ÔÔg ÔÔf  ÔÔg Ôà à[4]à àParagraph€(c)€prohibits€lawyers€from€engaging€in€conduct€involving€dishonesty,Ïfraud,€deceit,€or€misrepresentation.€€Such€conduct€reflects€adversely€on€the€lawyerððs€fitness€toÏpractice€law.€€In€some€circumstances,€however,€prosecutors€are€authorized€by€law€to€use,€or€to€directÏinvestigative€agents€to€use,€investigative€techniques€that€might€be€regarded€as€deceitful.€€This€RuleÏdoes€not€prohibit€such€conduct.€€ÌÌà à[5]à àThe€conduct€prohibited€by€paragraph€(c)€includes€the€secret€or€surreptitiousÏrecording€of€a€conversation€or€the€actions€of€another.€€Before€any€party€may€be€recorded,€that€factÏmust€be€disclosed€in€advance€of€the€recording,€though€the€lawyer€need€not€divulge€all€of€the€reasonsÏor€purposes€for€making€the€recording.€€However,€if€the€recorded€party€inquires€into€the€purposes€ofÏthe€recording,€then€paragraph€(c)€of€this€Rule€would€further€require€the€lawyer€to€be€candid€and€toÏrefrain€from€deceiving€that€party,€either€affirmatively€or€through€omission.ÌÌà à[6Ôf  ÔÔg Ô]à àLawyers€holding€public€office€assume€legal€responsibilities€going€beyond€those€ofÏother€citizens.€€A€lawyerððs€abuse€of€public€office€can€suggest€an€inability€to€fulfill€the€professionalÏrole€of€lawyer.€€The€same€is€true€of€abuse€of€positions€of€private€trust€such€as€trustee,€executor,Ïadministrator,€guardian,€agent€and€officer,€or€director€or€manager€of€a€corporation€or€otherÏorganization.ÌÌÔf  ÔÔg Ôà à[7]à àParagraph€(f)€precludes€a€lawyer€from€assisting€a€judge€or€judicial€officer€in€conductÏthat€is€a€violation€of€the€rules€of€judicial€conduct.€€A€lawyer€cannot,€for€example,€make€a€gift,Ïbequest,€favor,€or€loan€to€a€judge,€or€a€memberððs€of€the€judgeððs€family€who€resides€in€the€judgeððsÏhousehold,€unless€the€judge€would€be€permitted€to€accept,€or€acquiesce€in€the€acceptance€of€such€aÏgift,€favor,€bequest,€or€loan€in€accordance€with€Canon€4,€Section€D(5)€of€the€Code€of€JudicialÏConduct.ÌÌÔf  ÔÔg Ôà à[Ôf  ÔÔg ÔÔf  ÔÔg Ô8Ôf  ÔÔg Ô]à àIn€both€their€professional€and€personal€activities,€lawyers€have€special€obligations€toÏdemonstrate€respect€for€the€law€and€legal€institutions.€€Normally,€a€lawyer€who€knowingly€fails€toÏobey€a€court€order€demonstrates€a€disrespect€for€the€law€that€is€prejudicial€to€the€administration€ofÏjustice.€€Failure€to€comply€with€a€court€order€is€not€a€disciplinary€offense,€however,€when€it€does€notÏevidence€disrespect€for€the€law€either€because€the€lawyer€is€unable€to€comply€with€the€order€or€theÏlawyer€is€seeking€in€good€faith€to€determine€the€validity,€scope,€meaning,€or€application€of€the€lawÏupon€which€the€order€is€based.€ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESÌó óÌð ðFraudðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(e)Ìð ðKnowinglyðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(f)€Ìð ðTribunalðð€€òòSeeóó€Ô_ÔRPCÔ_Ô€1.0(m)ÇÔ  ÔÔf  ÔÔg Ôà@ àò òRule€8.5Ìó óà@ àò òDISCIPLINARY€AUTHORITY;€CHOICE€OF€LAWó óÌÔ  ÔÌ(a)à àDisciplinary€Authority.€€A€lawyer€admitted€to€practice€in€Tennessee€is€subject€to€theÏdisciplinary€authority€of€the€Supreme€Court€of€Tennessee€regardless€of€where€the€lawyerððs€conductÏoccurs.€€The€same€misconduct€may€subject€the€lawyer€to€the€disciplinary€authority€of€the€SupremeÏCourt€of€Tennessee€and€to€the€disciplinary€authority€of€another€jurisdiction€where€the€lawyer€isÏadmitted€to€practice.ÌÌ(b)à àChoice€of€Law.€€In€any€exercise€of€the€disciplinary€authority€of€the€Supreme€Court€ofÏTennessee,€the€rules€of€professional€conduct€to€be€applied€shall€be€as€follows:ÌÌà0 à(1)à àfor€conduct€in€connection€with€a€proceeding€in€a€court€before€which€a€lawyer€hasÏbeen€admitted€to€practice€(either€generally€or€for€purposes€of€that€proceeding),€the€rules€toÏbe€applied€shall€be€the€rules€of€the€jurisdiction€in€which€the€court€sits,€unless€the€rules€of€theÏcourt€provide€otherwise;€andÌà0 àÌà0 à(2)à àfor€any€other€conduct,ÌÌà0 àà0 à(i)à àif€the€lawyer€is€licensed€to€practice€only€in€Tennessee,€the€rules€to€be€appliedÏshall€be€the€Tennessee€Rules€of€Professional€Conduct;€andÌà0 àÌà0 àà0 à(ii)à àif€the€lawyer€is€licensed€to€practice€in€Tennessee€and€another€jurisdiction,€theÏrules€to€be€applied€shall€be€the€rules€of€the€admitting€jurisdiction€in€which€the€lawyerÏprincipally€practices;€provided,€however,€that€if€particular€conduct€clearly€has€itsÏpredominant€effect€in€another€jurisdiction€in€which€the€lawyer€is€licensed€to€practice,Ïthe€rules€of€that€jurisdiction€shall€be€applied€to€that€conduct.ÌÌà@ àò òCOMMENTSÌó óà@ àò òÌó óà@ àò òDisciplinary€Authorityó óÌÌà à[1]à àParagraph€(a)€restates€longstanding€law.€€ÌÌà@ àò òChoice€of€Lawó óÌÌà à[2]à àA€lawyer€may€be€potentially€subject€to€more€than€one€set€of€rules€of€professionalÏconduct€that€impose€different€obligations.€€The€lawyer€may€be€licensed€to€practice€in€more€than€oneÏjurisdiction€with€differing€rules€or€may€be€admitted€to€practice€before€a€particular€court€with€rulesÏthat€differ€from€those€of€the€jurisdiction€or€jurisdictions€in€which€the€lawyer€is€licensed€to€practice.€ÏIn€the€past,€decisions€have€not€developed€clear€or€consistent€guidance€as€to€which€rules€apply€inÏsuch€circumstances.ÌÌà à[3]à àParagraph€(b)€seeks€to€resolve€such€potential€conflicts.€€Its€premise€is€thatÏminimizing€conflicts€between€rules,€as€well€as€uncertainty€about€which€rules€are€applicable,€is€in€theÏbest€interest€of€both€clients€and€the€profession€(as€well€as€the€bodies€having€authority€to€regulate€theÏprofession).€€Accordingly,€it€takes€the€approach€of€(i)€providing€that€any€particular€conduct€of€aÏlawyer€shall€be€subject€to€only€one€set€of€rules€of€professional€conduct,€and€(ii)€making€theÏdetermination€of€which€set€of€rules€applies€to€particular€conduct€as€straightforward€as€possible,Ïconsistent€with€recognition€of€appropriate€regulatory€interests€of€relevant€jurisdictions.ÌÌà à[4]à àParagraph€(b)€provides€that€as€to€a€lawyerððs€conduct€relating€to€a€proceeding€in€aÏcourt€before€which€the€lawyer€is€admitted€to€practice€(either€generally€or€òòpro€hac€viceóó),€the€lawyerÏshall€be€subject€only€to€the€rules€of€professional€conduct€of€that€court.€€As€to€all€other€conduct,Ïparagraph€(b)€provides€that€a€lawyer€licensed€to€practice€only€in€Tennessee€shall€be€subject€to€theÏTennessee€Rules€of€Professional€Conduct€and€that€a€lawyer€licensed€in€multiple€jurisdictions€shallÏbe€subject€only€to€the€rules€of€the€jurisdiction€where€he€or€she€(as€an€individual,€not€his€or€her€firm)Ïprincipally€practices,€but€with€one€exception:€€if€particular€conduct€clearly€has€its€predominant€effectÏin€another€admitting€jurisdiction,€then€only€the€rules€of€that€jurisdiction€shall€apply.€€The€intention€isÏfor€the€latter€exception€to€be€a€narrow€one.€€It€would€be€appropriately€applied,€for€example,€to€aÏsituation€in€which€a€lawyer€admitted€and€principally€practicing€in€State€òòAóó,€but€also€admitted€in€StateÏòòBóó,€handled€an€acquisition€by€a€company€whose€headquarters€and€operations€were€in€State€òòBóó,€ofÏanother€similar€such€company.€€The€exception€would€not€appropriately€be€applied,€on€the€otherÏhand,€if€the€lawyer€handled€an€acquisition€by€a€company€whose€headquarters€and€operations€were€inÏState€òòAóó,€of€a€company€whose€headquarters€and€main€operations€were€in€State€òòAóó,€but€that€also€hadÏsome€operations€in€State€òòBóó.ÌÌà à[5]à àIf€two€admitting€jurisdictions€were€to€proceed€against€a€lawyer€for€the€same€conduct,Ïthey€should,€applying€this€Rule,€identify€the€same€governing€ethics€rules.€€They€should€take€allÏappropriate€steps€to€see€that€they€do€apply€the€same€rule€to€the€same€conduct€and,€in€all€events,Ïshould€avoid€proceeding€against€a€lawyer€on€the€basis€of€two€inconsistent€rules.ÌÌà à[6]à àThe€choice€of€law€provision€is€not€intended€to€apply€to€transnational€practice.€ÏChoice€of€law€in€this€context€should€be€the€subject€of€agreements€between€jurisdictions€or€ofÏappropriate€international€law.ÌÌà@ àò òDEFINITIONAL€CROSS„REFERENCESó óÌÌà0 àNone.Çò òà@ àTRANSITIONAL€RULES€GOVERNING€THE€IMPLEMENTATION€OF€THEÌà@ àTENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTó óÌÌThe€foregoing€Rules€shall€become€effective€as€of€March€1,€2003,€and€shall€have€prospectiveÏapplication€only,€applying€to€all€relationships€existing€on,€and€conduct€taken€from,€that€date€forward.€ÏHowever,€special€provisions€are€made€for€the€operation€of€the€following€Rules:ÌÌà0 à(a)à àThe€provisions€governing€contingent€fee€agreements€contained€in€Ô_ÔRuleÔ_Ô€1.5(c)€shallÏapply€only€to€those€agreements€that€are€entered€into€or€amended€on€or€after€March€1,€2003;ÌÌà0 à(b)à àThe€provisions€requiring€a€writing€contained€in€Ô_ÔRulesÔ_Ô€1.7,€Ôf  ÔÔg Ô1.8(g),€1.9Ôf  ÔÔg ÔÔf  ÔÔg ÔÔf  ÔÔg Ô,€and€1.12€Ôf  ÔÔg ÔÔg ÔshallÏapply€Ôg Ôonly€to€Ôg Ôconflicts€of€interest€that€arise€on€or€after€March€1,€2003;ÌÌà0 à(c)à àThe€provisions€governing€client€consent€contained€in€Ô_ÔRuleÔf  ÔÔg ÔsÔf  ÔÔg ÔÔ_Ô€1.8(a)€Ôf  ÔÔg Ôand€1.8(i)Ôf  ÔÔg ÔÔf  ÔÔg Ô€shallÏapply€only€to€those€transactions€that€are€entered€into€or€amended€Ôf  ÔÔg ÔÔf  ÔÔg Ôon€or€Ôf  ÔÔg Ôafter€March€1,€2003.