ÿWPC! U >n 03¬ 0<ßU, 0JG 0T‘ 0^å 0hC 0r« 0| 0†™ 0 1u¯ %$ 0d* 0BŽv~ÐvÓN < Œ 9p`(&Times New Roman:ù ÿÿ8WP DefaultsÓ  ÓÓ ÓÒ ° ÒÒ ° ÒÓ  ÓÓ!€!ÓÓVL` °` ¸ hÀpÈ xÐ (#€%Ø'0*ˆ,à.813è5@8˜:VÓÓÓÔ€ÔÔ€XÔÔ  Ô< ÿÿ:InitialStyle< Œ 9p`(Geneva2 ÿÿ0Indent1Ô2ÔÔ3  Ô2" ÿÿ0Indent2à0 àÔ2ÔÔ3  Ô2, 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  Ô2^ ÿÿ0Indent8à0 àà0 àà0 àà0 àà0 àà0 àà0 àÔ2ÔÔ3  Ô ÿÿ?AGMSYaioIndent0I.A.1.a.(1)(a)i)a)XP ÿÿ8Mac DefaultMac DefaultÓ ` °šXÓ("ÿÿ$¡¡Ý ƒÿÝÝ  ÝPtPtHHÚ(ÿáÿâùFG(üHHÚ(dH'@Styl{WP}01•ÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃÃà Ãà Ãà Ãà Ãà ÃÃÃÃÃÃÃÃÃÃÃÐ ÐÐHHÐÐ  ÐÐ2ÐÐÿÿ¸æ$ÿÐÐHHÐÐÐÐÐÐÐÐ  ÐÐ ÐÐ ÐÑÑÑGenevaÑÑ ÑÑ € ÑÑ<Px–ÈÑÒÒÒ443!#4ÒÒ$ *$ÒÒ$*$ÒÒ ÿKK ÒÒ  Geneva ÒÒ  Geneva ÒÓ.,ÓÓÓÓ6ÓÓ ÓßßßßßßßßßßßßßßßßßßÑGenevaÑÑ ÑÒ  ystem Geneva ÒÒ  ystem Geneva ÒÝ ƒ!ÝÔ . ÔÝ  ÝÓ  ÓÓ ` °—XÓÔ€ÔÔ€îÔIN€THE€SUPREME€COURT€OF€TENNESSEEÌAT€NASHVILLEÌÔ€¼ÔJune€6,€2002€SessionÔ€XÔÌÓ  ÓÌÓ  ÓÔ€¼Ôò òIN€RE:€€TENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTÔ€XÔó óÌÓ  ÓÌÓ  Óò òFiled€August€27,€2002ÌÌÓ  ÓÌÓ  ÓNo.€M2000„02416„SC„RL„RLÌÓ  ÓÌÌó óÌÌÓ  Óò òAPPENDIX€TO€THE€ORDER€AMENDING€TENNESSEE€SUPREME€COURT€RULE€8€ÌTO€ADOPT€THE€TENNESSEE€RULES€OF€PROFESSIONAL€CONDUCTó óÌÌÌÓ  Óà àAs€set€forth€in€the€ORDER€of€this€Court€filed€on€August€26,€2002,€relative€to€theÏadoption€of€the€Tennessee€Rules€of€Professional€Conduct,€the€following€provisions€are€herebyÏadopted€as€Tennessee€Supreme€Court€Rule€8:ÌÌò òRule€8.à àRules€of€Professional€Conduct.€€ð"ð€ó ó€The€ethical€standards€relating€to€theÏpractice€of€law€and€to€the€administration€of€law€in€the€courts€of€this€State€shall€be€as€hereinafterÏset€out.ÌÌÓ  Óò òPREAMBLE€ó óÌÌÓ  Óà à[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€knowledge€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 à[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 à[3]à àAs€a€representative€of€clients,€a€lawyer€performs€various€functions.€€As€anÏadvisor,€a€lawyer€provides€a€client€with€an€informed€understanding€of€the€clientððs€legal€rights€andÏobligations€and€explains€their€practical€implications.€€As€an€advocate,€a€lawyer€zealously€assertsÏthe€clientððs€position€under€the€rules€of€the€adversary€system.€€As€a€negotiator,€a€lawyer€seeks€aÏresult€advantageous€to€the€client€but€consistent€with€requirements€of€honest€dealing€with€others.€ÍAs€an€intermediary€between€clients,€a€lawyer€seeks€to€reconcile€their€divergent€interests€as€anÏadvisor€and,€to€a€limited€extent,€as€a€spokesperson€for€each€client.€€A€lawyer€acts€as€an€evaluatorÏby€examining€a€clientððs€legal€affairs€and€reporting€about€them€to€the€client€or€to€others.ÌÌà à[4]à àIn€all€professional€functions€a€lawyer€should€be€competent,€prompt€and€diligent.€ÏA€lawyer€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 à[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€shouldÏuse€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,€includingÏjudges,€other€lawyers,€and€public€officials.€€While€it€is€a€lawyerððs€duty,€when€necessary,€toÏchallenge€the€rectitude€of€official€action,€it€is€also€a€lawyerððs€duty€to€uphold€legal€process.ÌÌà à[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€useÏfor€clients,€employ€that€knowledge€in€reform€of€the€law,€and€work€to€strengthen€legal€education.€ÏA€lawyer€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;€theÏlawyer€should€therefore€devote€professional€time€and€civic€influence€in€their€behalf.€€A€lawyerÏshould€also€aid€the€legal€profession€in€pursuing€these€objectives€and€should€help€the€bar€regulateÏitself€in€the€public€interest.ÌÌà à[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€striveÏto€attain€the€highest€level€of€skill,€to€improve€the€law€and€the€legal€profession,€and€to€exemplifyÏthe€legal€professionððs€ideals€of€public€service.ÌÌà à[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€confidencesÏordinarily€serves€the€public€interest€because€people€are€more€likely€to€seek€legal€advice,€andÏthereby€heed€their€legal€obligations,€when€they€know€their€communications€will€be€private.ÌÌà à[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€resolvingÍsuch€conflicts.€€Within€the€framework€of€these€Rules€many€difficult€issues€of€professionalÏdiscretion€can€arise.€€Such€issues€must€be€resolved€through€the€exercise€of€sensitive€professionalÏand€moral€judgment€guided€by€the€basic€principles€underlying€the€Rules.ÌÌÇà à[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€respectÏbecause€of€the€close€relationship€between€the€profession€and€the€processes€of€government€andÏlaw€enforcement.€€This€connection€is€manifested€in€the€fact€that€ultimate€authority€over€the€legalÏprofession€is€vested€largely€in€the€courts.ÌÌà à[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 à[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€conceivedÏin€the€public€interest€and€not€in€furtherance€of€parochial€or€self„interested€concerns€of€the€bar.€ÏEvery€lawyer€is€responsible€for€observing€the€Rules€of€Professional€Conduct.€€A€lawyer€shouldÏalso€aid€in€securing€their€observance€by€other€lawyers.€€Neglect€of€these€responsibilitiesÏcompromises€the€independence€of€the€profession€and€the€public€interest€that€it€serves.ÌÌà à[13]à àLawyers€play€a€vital€role€in€the€preservation€of€society.€€The€fulfillment€of€thisÏrole€requires€an€understanding€by€lawyers€of€their€relationship€to€our€legal€system.€€The€Rules€ofÏProfessional€Conduct,€when€properly€applied,€serve€to€define€that€relationship.ÌÌÓ  Óò òSCOPE€ó óÌÓ  ÓÌà à[1]à àThe€Rules€of€Professional€Conduct€are€rules€of€reason.€€They€should€beÏinterpreted€with€reference€to€the€purposes€of€legal€representation€and€of€the€law€itself.€€Some€ofÏthe€Rules€are€imperatives,€cast€in€the€terms€ð ðshallðð€or€ð ðshall€not.ðð€€These€Rules€define€properÏconduct€for€purposes€of€professional€discipline.€€Others,€generally€cast€in€the€term€ð ðmay,ðð€areÏpermissive€and€define€areas€under€the€Rules€in€which€the€lawyer€has€professional€discretion.€€NoÏdisciplinary€action€should€be€taken€when€the€lawyer€chooses€not€to€act€or€acts€within€the€boundsÏof€such€discretion.€€Other€Rules€define€the€nature€of€relationships€between€the€lawyer€and€others.€ÏThe€Rules€are€thus€partly€obligatory€and€disciplinary€and€partly€constitutive€and€descriptive€inÏthat€they€define€a€lawyerððs€professional€role.€€Many€of€the€Comments€use€the€term€ð ðshould.ðð€ÏComments€do€not€add€obligations€to€the€Rules,€but€provide€either€additional€guidance€forÏpracticing€in€compliance€with€the€Rules€or€make€suggestions€about€good€practice,€which€lawyersÏwould€be€well„advised€to€heed€even€though€the€Rules€do€not€require€them€to€do€so.ÌÌà à[2]à àThe€Rules€presuppose€a€larger€legal€context€shaping€the€lawyerððs€role.€€ThatÏcontext€includes€court€rules€and€statutes€relating€to€matters€of€licensure,€laws€defining€specificÏobligations€of€lawyers,€and€substantive€and€procedural€law€in€general.€€Compliance€with€theÏRules,€as€with€all€law€in€an€open€society,€depends€primarily€upon€understanding€and€voluntaryÍcompliance,€secondarily€upon€reinforcement€by€peer€and€public€opinion,€and€finally,€whenÏnecessary,€upon€enforcement€through€disciplinary€proceedings.€€The€Rules€do€not,€however,Ïexhaust€the€moral€and€ethical€considerations€that€should€inform€a€lawyer,€for€no€worthwhileÏhuman€activity€can€be€completely€defined€by€legal€rules.€€The€Rules€simply€provide€a€frameworkÏfor€the€ethical€practice€of€law.ÌÌà à[3]à àFurthermore,€for€purposes€of€determining€the€lawyerððs€authority€andÏresponsibility,€principles€of€substantive€law€external€to€these€Rules€determine€whether€aÏclient„lawyer€relationship€exists.€€Most€of€the€duties€flowing€from€the€client„lawyer€relationshipÏattach€only€after€the€client€has€requested€the€lawyer€to€render€legal€services€and€the€lawyer€hasÏagreed€to€do€so.€€But€there€are€some€duties,€such€as€that€of€confidentiality€under€Rule€1.6,€thatÏmay€attach€when€the€lawyer€agrees€to€consider€whether€a€client„lawyer€relationship€shall€beÏestablished.€€Whether€a€client„lawyer€relationship€exists€for€any€specific€purpose€can€depend€onÏthe€circumstances€and€may€be€a€question€of€fact.ÌÌà à[4]à àUnder€various€legal€provisions,€including€constitutional,€statutory,€and€commonÏlaw,€the€responsibilities€of€government€lawyers€may€differ€from€those€of€lawyers€in€privateÏclient„lawyer€relationships.€€For€example,€in€certain€circumstances,€the€Attorney€General€ofÏTennessee€has€authority€on€behalf€of€the€government€to€decide€upon€settlement€or€whether€toÏappeal€from€an€adverse€judgment.€€Also,€certain€government€lawyers€under€the€supervision€ofÏthese€officers€may€be€authorized€to€represent€several€government€agencies,€officers,€or€employeesÏin€legal€controversies€in€circumstances€where€a€private€lawyer€could€not€represent€multipleÏprivate€clients.€€Government€lawyers€in€Tennessee€are€also€subject€to€the€Open€Meetings€Act€asÏinterpreted€by€the€Tennessee€courts.€€Further,€they€may€have€authority€to€represent€the€ð ðpublicÏinterestðð€in€circumstances€where€a€private€lawyer€would€not€be€authorized€to€do€so.€€These€RulesÏdo€not€abrogate€the€powers€and€responsibilities€of€government€lawyers€as€set€forth€under€federalÏlaw€or€under€the€Constitution,€statutes,€or€common€law€of€Tennessee.€€The€resolution€of€anyÏconflict€between€these€Rules€and€the€responsibilities€or€authority€of€government€lawyers€underÏany€such€legal€provisions€is€a€question€of€law€beyond€the€scope€of€these€Rules.ÌÌà à[5]à àFailure€to€comply€with€an€obligation€or€prohibition€imposed€by€a€Rule€is€a€basisÏfor€invoking€the€disciplinary€process.€€The€Rules€presuppose€that€disciplinary€assessment€of€aÏlawyerððs€conduct€will€be€made€on€the€basis€of€the€facts€and€circumstances€as€they€existed€at€theÏtime€of€the€conduct€in€question€and€in€recognition€of€the€fact€that€a€lawyer€often€has€to€act€uponÏuncertain€or€incomplete€evidence€of€the€situation.€€Moreover,€the€Rules€presuppose€that€whetherÏor€not€discipline€should€be€imposed€for€a€violation,€and€the€severity€of€a€sanction,€depend€on€allÏthe€circumstances,€such€as€the€willfulness€and€seriousness€of€the€violation,€the€presence€ofÏextenuating€factors,€and€whether€there€have€been€previous€violations.ÌÌà à[6]à àViolation€of€a€Rule€should€not€give€rise€to€a€cause€of€action,€nor€should€it€createÏany€presumption€that€a€legal€duty€has€been€breached.€€The€Rules€are€designed€to€provide€guidanceÏto€lawyers€and€to€provide€a€structure€for€regulating€conduct€through€disciplinary€agencies.€€TheyÏare€not€designed€to€be€a€basis€for€civil€liability.€€Furthermore,€the€purpose€of€the€Rules€can€beÍsubverted€when€they€are€invoked€by€opposing€parties€as€procedural€weapons.€€The€fact€that€aÏRule€is€a€just€basis€for€a€lawyerððs€self„assessment€or€for€sanctioning€a€lawyer€under€theÏadministration€of€a€disciplinary€authority€does€not€imply€that€an€antagonist€in€a€collateralÏproceeding€or€transaction€has€standing€to€seek€enforcement€of€the€Rule.€€Accordingly,€nothing€inÏthe€Rules€should€be€deemed€to€augment€any€substantive€legal€duty€of€lawyers€or€theÏextra„disciplinary€consequences€of€violating€such€a€duty.ÌÌà à[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,€clientsÏare€entitled€to€expect€that€communications€within€the€scope€of€the€privilege€will€be€protectedÏagainst€compelled€disclosure.€€The€attorney„client€privilege€is€that€of€the€client€and€not€of€theÏlawyer.€€The€fact€that€in€exceptional€situations€the€lawyer€under€the€Rules€has€a€limited€discretionÏto€disclose€a€client€confidence€does€not€vitiate€the€proposition€that,€as€a€general€matter,€the€clientÏhas€a€reasonable€expectation€that€information€relating€to€the€client€will€not€be€voluntarilyÏdisclosed€and€that€disclosure€of€such€information€may€be€judicially€compelled€only€in€accordanceÏwith€recognized€exceptions€to€the€attorney„client€and€work€product€privileges.ÌÌà à[8]à àThe€lawyerððs€exercise€of€discretion€not€to€disclose€information€when€permitted€toÏdo€so€by€Rule€1.6€should€not€be€subject€to€reexamination.€€Permitting€such€reexamination€wouldÏbe€incompatible€with€the€general€policy€of€promoting€compliance€with€law€through€assurancesÏthat€communications€will€be€protected€against€disclosure.ÌÌÓ  Óà 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,€butÏthe€text€of€each€Rule€is€authoritative.Çò òANALYSISó óÌÓ  ÓÌChapter€1.€€The€Client„Lawyer€RelationshipÌà àRule€1.0€ð"ð€DefinitionsÌà àRule€1.1€ð"ð€CompetenceÌÒ ¸ ÒÒ ° ÒÓ øø Óà àRule€1.2€ð"ð€Scope€of€the€Representation€and€the€Allocation€of€Authority€Between€theÏLawyer€à àà àand€ClientÌÒ ° ÒÒ ° ÒÓ  Óà àRule€1.3€ð"ð€DiligenceÌà àRule€1.4€ð"ð€CommunicationÌà àRule€1.5€ð"ð€FeesÌà àRule€1.6€ð"ð€ConfidentialityÌà àRule€1.7€ð"ð€Conflict€of€Interest:€General€RuleÌà àRule€1.8€ð"ð€Conflict€of€Interest:€Prohibited€TransactionsÌà àRule€1.9€ð"ð€Conflict€of€Interest:€Former€ClientÌà àRule€1.10€ð"ð€Imputed€Disqualification:€General€RuleÌà àRule€1.11€ð"ð€Successive€Government€and€Private€EmploymentÌà àRule€1.12€ð"ð€Former€Judge€or€ArbitratorÌà àRule€1.13€ð"ð€Organizational€ClientsÌà àRule€1.14€ð"ð€Client€Under€a€DisabilityÌÒ  ÒÒ ° ÒRule€1.15€ð"ð€Safekeeping€PropertyÌRule€1.16€ð"ð€Declining€and€Terminating€RepresentationÌÒ ° ÒÒ ° Òà àRule€1.17€ð"ð€Sale€of€a€Law€PracticeÌÌChapter€2.€€The€Lawyer€as€Counselor,€Intermediary,€and€Dispute€Resolution€NeutralÌà àRule€2.1€ð"ð€AdvisorÌà àRule€2.2€ð"ð€Lawyer€Serving€as€an€Intermediary€Between€ClientsÌà àRule€2.3€ð"ð€Evaluation€for€Use€by€Third€PersonsÌà àRule€2.4€ð"ð€Lawyer€as€a€Dispute€Resolution€NeutralÌÌChapter€3.€€AdvocateÌà àRule€3.1€ð"ð€Meritorious€Claims€and€ContentionsÌà àRule€3.2€ð"ð€Expediting€LitigationÌà àRule€3.3€ð"ð€Candor€Toward€the€TribunalÌà àRule€3.4€ð"ð€Fairness€to€the€Opposing€Party€and€CounselÌà àRule€3.5€ð"ð€Impartiality€and€Decorum€of€the€TribunalÌà àRule€3.6€ð"ð€Trial€PublicityÌà àRule€3.7€ð"ð€Lawyer€as€a€WitnessÌà àRule€3.8€ð"ð€Special€Responsibilities€of€a€ProsecutorÌà àRule€3.9€ð"ð€Advocate€in€Non„Adjudicative€ProceedingsÌÌChapter€4.€€Transactions€With€Persons€Other€Than€ClientsÌà àRule€4.1€ð"ð€Truthfulness€and€Candor€in€Statements€to€OthersÌà àRule€4.2€ð"ð€Communication€With€a€Person€Represented€by€CounselÌà àRule€4.3€ð"ð€Dealing€with€an€Unrepresented€PersonÌà àRule€4.4€ð"ð€Respect€for€the€Rights€of€Third€PersonsÌÌChapter€5.€€Law€Firms,€Legal€Departments,€and€Legal€Service€OrganizationsÌà àRule€5.1€ð"ð€Responsibilities€of€a€Partner,€Managing€Lawyer,€or€Supervisory€LawyerÌà àRule€5.2€ð"ð€Responsibilities€of€a€Subordinate€LawyerÌà àRule€5.3€ð"ð€Responsibilities€Regarding€Nonlawyer€AssistantsÌà àRule€5.4€ð"ð€Professional€Independence€of€a€LawyerÌà àRule€5.5€ð"ð€Unauthorized€Practice€of€LawÌà àRule€5.6€ð"ð€Restrictions€on€the€Right€to€PracticeÌà àRule€5.7€ð"ð€Responsibilities€Regarding€Law„Related€ServicesÌÌChapter€6.€€Public€ServiceÌà àRule€6.1€ð"ð€Pro€Bono€Publico€RepresentationÌà àRule€6.2€ð"ð€Accepting€Court€AppointmentsÌà àRule€6.3€ð"ð€Membership€in€Legal€Services€OrganizationÌà àRule€6.4€ð"ð€Law€Reform€Activities€Affecting€Client€InterestsÌÌChapter€7.€€Information€About€Legal€ServicesÌà àRule€7.1€ð"ð€Communications€Concerning€a€Lawyerððs€ServicesÌÒ ¸ ÒÒ ° ÒÓ øø Óà àRule€7.2€ð"ð€Advertising€and€Other€Communications€Not€Directed€to€SpecificallyÏIdentified€€à àà àRecipientsÌà àRule€7.3€ð"ð€Solicitation€and€Other€Communications€Directed€to€Specifically€Identified€Ïà àà àRecipientsÌÒ ° ÒÒ ° ÒÓ  Óà àRule€7.4€ð"ð€Communication€of€Fields€of€PracticeÌà àRule€7.5€ð"ð€Firm€Names€and€LetterheadsÌà àRule€7.6€ð"ð€Intermediary€OrganizationsÌÌChapter€8.€€Maintaining€the€Integrity€of€the€ProfessionÌà àRule€8.1€ð"ð€Bar€Admission€and€Disciplinary€MattersÌà àRule€8.2€ð"ð€Judicial€and€Legal€OfficialsÌà àRule€8.3€ð"ð€Reporting€Professional€MisconductÌà àRule€8.4€ð"ð€MisconductÌà àRule€8.5€ð"ð€Disciplinary€Authority;€Choice€of€LawÌÌÓ  ÓTransition€Rules€Governing€the€Implementation€of€the€Tennessee€Rules€of€Professional€ConductÇò òCHAPTER€1ÌTHE€CLIENT„LAWYER€RELATIONSHIPÌÓ  ÓÌÓ  ÓRULE€1.0ÌDEFINITIONSó óÌÓ  ÓÌ(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€(i)€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€client€byÏmeans€reasonably€calculated€to€reach€the€client.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€employedÏin€the€legal€department€of€a€corporation,€government€agency,€or€other€organization€and€lawyersÏemployed€in€a€legal€services€organization.€€òòSee€alsoóó€Comment€[1]€of€Rule€1.10.Ì€Ì(e)à àð ðFraudðð€or€ð ðFraudulentðð€denotes€an€intentionally€false€or€misleading€statement€of€materialÏfact,€an€intentional€omission€from€a€statement€of€fact€of€such€additional€information€as€would€beÏnecessary€to€make€the€statements€made€not€materially€misleading,€and€such€other€conduct€by€aÏperson€intended€to€deceive€a€person€or€tribunal€with€respect€to€a€material€issue€in€a€proceeding€orÏother€matter.ÌÌ(f)à àð ðKnowingly,ðð€ð ðKnown,ðð€or€ð ðKnowsðð€denotes€actual€awareness€of€the€fact€in€question.€€AÏpersonððs€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€professionalÏlimited€liability€partnership,€a€shareholder€in€a€law€firm€organized€as€a€professional€corporation,€aÏmember€in€a€law€firm€organized€as€a€professional€limited€liability€company,€or€a€sole€practitionerÏwho€employs€other€lawyers€or€nonlawyers€in€connection€with€his€or€her€practice.ÌÌ(i)à àð ðReasonable,ðð€ð ðReasonably,ðð€or€ð ðReasonablenessðð€when€used€in€relation€to€conduct€by€aÏlawyer€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€thatÍthe€belief€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€contraryÏto€that€of€a€reasonably€prudent€and€competent€lawyer.ÌÌÓ  Óò òCOMMENTó óÌÓ  ÓÌÓ  Óà àIn€circumstances€in€which€these€rules€require€either€consent€in€writing€or€written€consent,Ïthe€requirement€may€be€satisfied€by€an€electronic€transmission€that€is€reasonably€calculated€toÏreach€the€client,€provided€that€the€transmission€can€be€reduced€to€writing€or€permanently€retainedÏin€electronic€format.Çò òRULE€1.1ÌCOMPETENCEó óÌÓ  ÓÌA€lawyer€shall€provide€competent€representation€to€a€client.€€Competent€representation€requiresÏthe€legal€knowledge,€skill,€thoroughness,€and€preparation€reasonably€necessary€for€theÏrepresentation.ÌÌÓ  Óò òCOMMENTSó óÌÓ  Óò òÌÓ  ÓLegal€Knowledge€and€Skilló óÌÓ  ÓÌà 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€theÏmatter,€the€lawyerððs€general€experience,€the€lawyerððs€training€and€experience€in€the€field€inÏquestion,€the€preparation€and€study€the€lawyer€is€able€to€give€the€matter,€and€whether€it€isÏfeasible€to€refer€the€matter€to,€or€associate€or€consult€with,€a€lawyer€of€established€competence€inÏthe€field€in€question.€€In€many€instances,€the€required€proficiency€is€that€of€a€general€practitioner.€ÏExpertise€in€a€particular€field€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€theÏanalysis€of€precedent,€the€evaluation€of€evidence,€and€legal€drafting,€are€required€in€all€legalÏproblems.€€Perhaps€the€most€fundamental€legal€skill€consists€of€determining€what€kind€of€legalÏproblems€a€situation€may€involve,€a€skill€that€necessarily€transcends€any€particular€specializedÏknowledge.€€A€lawyer€can€provide€adequate€representation€in€a€wholly€novel€field€throughÏnecessary€study.€€Competent€representation€can€also€be€provided€through€the€association€of€aÏlawyer€of€established€competence€in€the€field€in€question.ÌÌà à[3]à àIn€a€situation€in€which€a€client€is€threatened€with€imminent€and€irreparable€harm,€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€in€such€a€situation,€however,€assistance€should€be€limited€to€that€reasonablyÏnecessary€in€the€circumstances,€for€ill„considered€action€can€jeopardize€the€clientððs€interest.ÌÌà à[4]à àA€lawyer€may€accept€representation€where€the€requisite€level€of€competence€canÏbe€achieved€by€reasonable€preparation.€€This€principle€applies€as€well€to€a€lawyer€who€isÏappointed€as€counsel€for€an€unrepresented€person.€€òòSee€alsoóó€Rule€6.2.ÌÌÓ  Óò òThoroughness€and€Preparationó óÌÓ  ÓÌà 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€theÍstandards€of€competent€practitioners.€€It€also€includes€adequate€preparation.€€The€requiredÏattention€and€preparation€are€determined€in€part€by€what€is€at€stake;€major€litigation€and€complexÏtransactions€ordinarily€require€more€elaborate€treatment€than€matters€of€lesser€consequence.ÌÌÓ  Óò òMaintaining€Competenceó óÌÓ  ÓÌà 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€shouldÏconscientiously€satisfy€all€requirements€for€continuing€legal€education€in€all€jurisdictions€in€whichÏthe€lawyer€is€licensed€to€practice€law.€€If€a€system€of€peer€review€has€been€established,€theÏlawyer€should€consider€making€use€of€it€in€appropriate€circumstances.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  ÓÌÓ  Óó óð ðReasonablyðð€€òòSeeóó€Rule€1.0(i)Çò òRULE€1.2€ÌSCOPE€OF€THE€REPRESENTATION€AND€THE€ALLOCATION€OF€ÌAUTHORITY€BETWEEN€THE€LAWYER€AND€CLIENTÌÓ  Óó óÌ(a)à àSubject€to€paragraphs€(c)€and€(d),€a€lawyer€shall€abide€by€a€clientððs€decisions€concerningÏthe€objectives€of€the€representation€and€may€take€such€action€on€behalf€of€the€client€as€isÏimpliedly€authorized€to€carry€out€the€representation.€€A€lawyer€shall€abide€by€a€clientððs€decisionÏwhether€to€settle€a€matter.€€In€a€criminal€case,€the€lawyer€shall€abide€by€the€clientððs€decision€as€toÏa€plea€to€be€entered,€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€reasonableÏunder€the€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€clientÏto€make€a€good€faith€effort€to€determine€the€validity,€scope,€meaning,€or€application€of€the€law.ÌÌÓ  Óò òCOMMENTSó óÌÓ  ÓÌÓ  Óò òAllocation€of€Authority€Between€Client€and€LawyerÌÓ  ÓÌó óà à[1]à àBoth€lawyer€and€client€have€authority€and€responsibility€in€the€objectives€andÏmeans€of€the€representation.€€The€client€has€ultimate€authority€to€determine€the€purposes€to€beÏserved€by€legal€representation,€within€the€limits€imposed€by€law€and€the€lawyerððs€professionalÏobligations.€€Also,€the€decisions€specified€in€paragraph€(a),€such€as€whether€to€settle€a€civilÏmatter,€must€be€made€by€the€client.€€Other€decisions€may€be€made€by€the€lawyer€pursuant€to€theÏlawyerððs€implied€authority€to€take€action€necessary€to€carry€out€the€representation,€subject€to€theÏlawyerððs€duty€to€keep€the€client€reasonably€informed€about€the€status€of€the€representation.€€òòSeeóóÏRule€1.4.òò€€óóA€clear€distinction€between€objectives€and€means€sometimes€cannot€be€drawn,€and€inÏmany€cases€the€client„lawyer€relationship€partakes€of€a€joint€undertaking.€€In€questions€of€means,Ïfor€example,€the€lawyer€normally€will€assume€responsibility€for€technical€and€legal€tactical€issues,Ïbut€the€lawyer€usually€will€defer€to€the€client€regarding€such€questions€as€the€expense€to€beÏincurred€and€concern€for€third€persons€who€might€be€adversely€affected.€€Law€defining€theÏlawyerððs€scope€of€authority€in€litigation€varies€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€mayÍalways€refuse€to€engage€in€conduct€that€the€lawyer€reasonably€believes€to€be€unlawful€orÏprohibited€by€the€Rules€of€Professional€Conduct€and€may€take€action€that€the€lawyer€reasonablyÏbelieves€to€be€required€by€law€or€the€Rules€of€Professional€Conduct.€€Also,€if€a€lawyer€has€aÏfundamental€disagreement€with€the€client€about€the€clientððs€objectives€or€the€means€to€be€used€toÏaccomplish€them,€the€lawyer€may€withdraw€from€the€representation.€€òòSeeóó€Rule€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,Ïtherefore,€keep€the€client€reasonably€informed€about€the€lawyerððs€actions€on€behalf€of€the€client.€ÏòòSeeóó€Rule€1.4.€ÌÌà à[4]à àAt€the€outset€of€a€representation,€the€client€may€authorize€the€lawyer€to€takeÏaction€on€the€clientððs€behalf€without€further€consultation.€€Ordinarily,€a€lawyer€may€rely€on€suchÏan€advance€authorization.€€The€client€may,€however,€revoke€such€authority€at€any€time,€and€aÏlawyer€may€not€rely€on€an€advance€authorization€if€there€has€been€such€a€material€change€in€theÏcircumstances€known€to€the€lawyer€that€the€clientððs€prior€authorization€can€no€longer€be€regardedÏas€an€adequately€informed€decision.€ÌÌà à[5]à àIn€a€case€in€which€the€client€appears€to€have€a€mental€disability,€the€lawyerððs€dutyÏto€abide€by€the€clientððs€decisions€is€to€be€guided€by€reference€to€Rule€1.14.ÌÌÓ  Óò òIndependence€From€Clientððs€Views€or€ActivitiesÌÓ  ÓÌó 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€sameÏtoken,€representing€a€client€does€not€constitute€approval€of€the€clientððs€views€or€activities.ÌÌÓ  Óò òAgreements€Limiting€the€Scope€of€the€RepresentationÌÓ  ÓÌó óà à[7]à àThe€scope€of€services€to€be€provided€by€a€lawyer€may€be€limited€by€agreementÏwith€the€client€or€by€the€terms€under€which€the€lawyerððs€services€are€made€available€to€the€client.€ÏWhen€a€lawyer€has€been€retained€by€an€insurer€to€represent€an€insured,€for€example,€theÏrepresentation€may€be€limited€to€matters€related€to€the€insurance€coverage.€€A€limitedÏrepresentation€may€be€appropriate€because€the€client€has€limited€objectives€for€theÏrepresentation.€€In€addition,€the€terms€upon€which€representation€is€undertaken€may€excludeÏspecific€means€that€might€otherwise€be€used€to€accomplish€the€clientððs€objectives.€€SuchÏlimitations€may€exclude€actions€that€the€client€thinks€are€too€costly€or€that€the€lawyer€regards€asÏrepugnant€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,€aÏclientððs€objective€is€limited€to€securing€general€information€about€the€law€the€client€needs€in€orderÏto€handle€a€common€and€typically€uncomplicated€legal€problem,€the€lawyer€and€client€may€agreeÍthat€the€lawyerððs€services€will€be€limited€to€a€brief€telephone€consultation.€€Such€a€limitation,Ïhowever,€would€not€be€reasonable€if€the€time€allotted€was€not€sufficient€to€yield€advice€uponÏwhich€the€client€could€rely.€€Although€an€agreement€for€a€limited€representation€does€not€exemptÏa€lawyer€from€the€duty€to€provide€competent€representation,€the€limitation€is€a€factor€to€beÏconsidered€when€determining€the€legal€knowledge,€skill,€thoroughness,€and€preparation€reasonablyÏnecessary€for€the€representation.€€òòSeeóó€Rule€1.1.ÌÌà à[9]à àOther€agreements€concerning€a€lawyerððs€representation€of€a€client€must€accordÏwith€the€Rules€of€Professional€Conduct€and€other€law.€€òòSee,€e.g.óó,€Rules€1.1,€1.8,€and€5.6.ÌÌÓ  Óò òCriminal,€Fraudulent,€and€Prohibited€Transactions€ÌÓ  ÓÌó 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€theÏactual€consequences€that€appear€likely€to€result€from€a€clientððs€conduct.€€Nor€does€the€fact€that€aÏclient€uses€advice€in€a€course€of€action€that€is€criminal€or€fraudulent€of€itself€make€a€lawyer€aÏparty€to€the€course€of€action.€€There€is€a€critical€distinction€between€presenting€an€analysis€ofÏlegal€aspects€of€questionable€conduct€and€recommending€the€means€by€which€a€crime€or€fraudÏmight€be€committed€with€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,Ïby€Rule€1.6€to€reveal€the€clientððs€wrongdoing.€€In€any€case,€however,€the€lawyer€is€required€toÏavoid€furthering€the€purpose,€for€example,€by€suggesting€how€it€might€be€concealed.€€A€lawyerÏmay€not€continue€assisting€a€client€in€conduct€that€the€lawyer€originally€supposed€was€legallyÏproper€but€then€discovers€is€criminal€or€fraudulent.€€The€lawyer€must,€therefore,€withdraw€fromÏthe€representation€of€the€client€in€the€matter.€€òòSeeóó€Rule€1.16(a).€€ÌÌà à[12]à àWhere€the€client€is€a€fiduciary,€the€lawyer€may€be€charged€with€special€obligationsÏin€dealings€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,€aÏtransaction€to€effectuate€criminal€or€fraudulent€escape€of€tax€liability.€€Paragraph€(d)€does€notÏpreclude€undertaking€a€criminal€defense€incident€to€a€general€retainer€for€legal€services€to€a€lawfulÏenterprise.€€The€last€clause€of€paragraph€(d)€recognizes€that€determining€the€validity€orÏinterpretation€of€a€statute€or€regulation€may€require€a€course€of€action€involving€disobedience€ofÏthe€statute€or€regulation€or€of€the€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€lawyerÏintends€to€act€contrary€to€the€clientððs€instructions,€the€lawyer€must€consult€with€the€clientÍregarding€the€limitations€on€the€lawyerððs€conduct.€€òòSeeóó€Rule€1.4.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðConsultationðð€€òòSeeóó€Rule€1.0(c)Ìð ðFraudulentðð€€òòSeeóó€Rule€1.0(e)Ìð ðKnowsðð€€òòSeeóó€Rule€1.0(f)Ìð ðReasonableðð€€òòSeeóó€Rule€1.0(i)ÌÓ  Óð ðReasonably€Should€Knowðð€€òòSeeóó€Rule€1.0(k)Çò òRULE€1.3ÌDILIGENCEó óÌÓ  Óò òÌó óA€lawyer€shall€act€with€reasonable€diligence€and€promptness€in€representing€a€client.ÌÌÓ  Óò òCOMMENTSó óÌÓ  ÓÌà 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€theÏclientððs€behalf.€€However,€a€lawyer€is€not€bound€to€press€for€every€advantage€that€might€beÏrealized€for€a€client.€€Unless€instructed€by€a€client€to€the€contrary,€a€lawyer€has€professionalÏdiscretion€in€determining€the€means€by€which€a€matter€should€be€pursued,€and€the€lawyer€is€notÏrequired€to€abide€by€unreasonable€client€instructions.€€òòSeeóó€Rule€1.2.€€A€lawyerððs€work€load€shouldÏbe€controlled€so€that€each€matter€can€be€handled€adequately.ÌÌà à[2]à àPerhaps€no€professional€shortcoming€is€more€widely€resented€thanÏprocrastination.€€A€clientððs€interests€often€can€be€adversely€affected€by€the€passage€of€time€or€theÏchange€of€conditions;€in€extreme€instances,€as€when€a€lawyer€overlooks€a€statute€of€limitations,Ïthe€clientððs€legal€position€may€be€destroyed.€€Even€when€the€clientððs€interests€are€not€affected€inÏsubstance,€however,€unreasonable€delay€can€cause€a€client€needless€anxiety€and€undermineÏconfidence€in€the€lawyerððs€trustworthiness.ÌÌà à[3]à àUnless€the€relationship€is€terminated€as€provided€in€Rule€1.16,€a€lawyer€shouldÏcarry€through€to€conclusion€all€matters€undertaken€for€a€client.€€If€a€lawyerððs€employment€isÏlimited€to€a€specific€matter,€the€relationship€terminates€when€the€matter€has€been€resolved.€€If€aÏlawyer€has€served€a€client€over€a€substantial€period€in€a€variety€of€matters,€the€client€sometimesÏmay€assume€that€the€lawyer€will€continue€to€serve€on€a€continuing€basis€unless€the€lawyer€givesÏnotice€of€withdrawal.€€Doubt€about€whether€a€client„lawyer€relationship€still€exists€should€beÏclarified€by€the€lawyer,€preferably€in€writing,€so€that€the€client€will€not€mistakenly€suppose€theÏlawyer€is€looking€after€the€clientððs€affairs€when€the€lawyer€has€ceased€to€do€so.€€For€example,€if€aÏlawyer€has€handled€a€judicial€or€administrative€proceeding€that€produced€a€result€adverse€to€theÏclient€but€has€not€been€specifically€instructed€concerning€pursuit€of€an€appeal,€the€lawyer€shouldÏadvise€the€client€of€the€possibility€of€appeal€before€relinquishing€responsibility€for€the€matter.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌÓ  Óð ðReasonableðð€€òòSeeóó€Rule€1.0(i)Çò òRULE€1.4€ÌCOMMUNICATIONó óÌÓ  ÓÌ(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  ÓCOMMENTSó óÌÓ  ÓÌÓ  Óò òKeeping€the€Client€Reasonably€Informedó óÌÓ  ÓÌà 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€representationÏmust€be€made€by€the€client,€the€lawyer€must€consult€with€and€secure€the€clientððs€consent€prior€toÏtaking€action.€€Thus,€a€lawyer€who€receives€from€opposing€counsel€an€offer€of€settlement€in€aÏcivil€controversy€or€a€proffered€plea€bargain€in€a€criminal€case€should€promptly€inform€the€clientÏof€its€substance,€unless€prior€discussions€with€the€client€have€left€it€clear€that€the€proposal€wouldÏbe€unacceptable.€€With€respect€to€the€decisions€for€which€the€clientððs€prior€consent€is€notÏrequired€by€Rule€1.2,€the€lawyerððs€responsibility€is€to€keep€the€client€reasonably€informed.€€InÏsome€situationsð"ðdepending€on€both€the€importance€of€the€action€under€consideration€and€theÏfeasibility€of€consulting€with€the€clientð"ðthis€duty€will€require€consultation€prior€to€taking€theÏaction.€€In€other€circumstances,€such€as€during€a€trial€when€an€immediate€decision€must€be€made,Ïpractical€exigency€may€also€require€a€lawyer€to€act€for€a€client€without€prior€consultation.€€InÏsuch€cases,€and€in€other€situations€in€which€the€client€has€impliedly€or€expressly€delegatedÏauthority€to€the€lawyer€to€take€action€without€prior€consultation,€the€lawyer€must€nonethelessÏact€reasonably€to€keep€the€client€informed€of€actions€the€lawyer€has€taken€on€the€clientððs€behalf.ÌòòÌÓ  Óò òóóExplaining€Mattersó óÌÓ  ÓÌà à[2]à àThe€client€should€have€sufficient€information€to€participate€intelligently€inÏdecisions€concerning€the€objectives€of€the€representation€and€the€means€by€which€they€are€to€beÏpursued,€to€the€extent€the€client€is€willing€and€able€to€do€so.€€For€example,€a€lawyer€negotiating€onÏbehalf€of€a€client€should€provide€the€client€with€facts€relevant€to€the€matter,€inform€the€client€ofÏcommunications€from€another€party,€and€take€other€reasonable€steps€that€permit€the€client€toÏmake€a€decision€regarding€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€Rule€1.14.€€When€the€client€is€an€organization€or€group,€it€is€often€impossible€orÏinappropriate€to€inform€every€one€of€its€members€about€its€legal€affairs,€and€ordinarily,€theÍlawyer€should€address€communications€to€the€appropriate€officials€of€the€organization.€€òòSeeóó€RuleÏ1.13.€€Where€many€routine€matters€are€involved,€a€system€of€limited€or€occasional€reporting€mayÏbe€arranged€with€the€client.€€Practical€exigency€may€also€require€a€lawyer€to€act€for€a€clientÏwithout€prior€consultation.ÌÌÓ  Óò òWithholding€Informationó óÌÓ  ÓÌà 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€immediateÏcommunication.€€Thus,€a€lawyer€might€withhold€a€psychiatric€diagnosis€of€a€client€when€theÏexamining€psychiatrist€indicates€that€disclosure€would€harm€the€client.€€A€lawyer€may€notÏwithhold€information€to€serve€the€lawyerððs€own€interest€or€convenience.€€Rules€or€court€ordersÏgoverning€litigation€may€provide€that€information€supplied€to€a€lawyer€may€not€be€disclosed€toÏthe€client.€€Rule€3.4(c)€directs€compliance€with€such€rules€or€orders.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  ÓÌÓ  Óó óð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Rule€1.0(i)Çò òRULE€1.5ÌFEESÌÓ  ÓÌó ó(a)à àA€lawyerððs€fee€and€charges€for€expenses€shall€be€reasonable.€€The€factors€to€be€consideredÏin€determining€the€reasonableness€of€a€fee€include€the€following:ÌÌÒ  ÒÒ ° Ò(1)à àthe€time€and€labor€required,€the€novelty€and€difficulty€of€the€questions€involved,Ïand€the€skill€requisite€to€perform€the€legal€service€properly;ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àthe€likelihood,€if€apparent€to€the€client,€that€the€acceptance€of€the€particularÏemployment€will€preclude€other€employment€by€the€lawyer;ÌÒ ° ÒÒ ° ÒÌà 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;ÌÌÒ  ÒÒ ° Ò(7)à àthe€experience,€reputation,€and€ability€of€the€lawyer€or€lawyers€performing€theÏservices;ÌÒ ° ÒÒ ° Ò€Ìà à(8)à àwhether€the€fee€is€fixed€or€contingent;ÌÌÒ  ÒÒ ° Ò(9)à àprior€advertisements€or€statements€by€the€lawyer€with€respect€to€the€fees€theÏlawyer€charges;€andÌÒ ° ÒÒ ° Ò€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€shallÏbe€communicated€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€fromÏthe€recovery;€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,€andÏshowing€the€remittance,€if€any,€to€the€client€and€the€method€of€its€determination.Ì(d)à àA€lawyer€shall€not€enter€into€an€arrangement€for,€charge,€or€collect:ÌÒ  ÒÒ ° ÒÌ(1)à àany€fee€in€a€domestic€relations€matter,€the€payment€or€amount€of€which€isÏcontingent€upon€the€securing€of€a€divorce€or€the€award€of€custodial€rights,€or€upon€theÏamount€of€alimony€or€support,€or€the€value€of€a€property€division€or€settlement,€unlessÏthe€matter€relates€solely€to€the€collection€of€arrearages€in€alimony€or€child€support€or€theÏenforcement€of€an€order€dividing€the€marital€estate€and€the€fee€arrangement€is€disclosed€toÏthe€court;€or€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àa€contingent€fee€for€representing€a€defendant€in€a€criminal€case.ÌÒ ° ÒÒ ° ÒÌ(e)à àA€division€of€a€fee€between€lawyers€who€are€not€in€the€same€firm€may€be€made€only€if:ÌÒ  ÒÒ ° ÒÌ(1)à àthe€division€is€in€proportion€to€the€services€performed€by€each€lawyer€or,€byÏwritten€consent€of€the€client,€each€lawyer€assumes€joint€responsibility€for€theÏrepresentation;€andÌÌ(2)à àthe€client€is€advised€of€and€does€not€object€to€the€participation€of€all€the€lawyersÏinvolved;€andÌÒ ° ÒÒ ° Ò€Ìà à(3)à àthe€total€fee€is€reasonable.ÌÌÓ  Óò òCOMMENTSÌÓ  ÓÌÓ  ÓBasis€or€Rate€of€Feeó óÌÓ  ÓÌà à[1]à àWhen€the€lawyer€has€regularly€represented€a€client,€there€ordinarily€will€haveÏevolved€an€understanding€concerning€the€basis€or€rate€of€the€fee.€€In€a€new€client„lawyerÏrelationship,€however,€an€understanding€as€to€the€fee€should€be€promptly€established.€€It€is€notÏnecessary€to€recite€all€the€factors€that€underlie€the€basis€of€the€fee,€but€only€those€that€are€directlyÏinvolved€in€its€computation.€€It€is€sufficient,€for€example,€to€state€that€the€basic€rate€is€an€hourlyÏcharge€or€a€fixed€amount€or€an€estimated€amount,€or€to€identify€the€factors€that€may€be€taken€intoÏaccount€in€finally€fixing€the€fee.€€When€developments€occur€during€the€representation€that€renderÏan€earlier€estimate€substantially€inaccurate,€a€revised€estimate€should€be€provided€to€the€client.€€AÏwritten€statement€concerning€the€fee€reduces€the€possibility€of€misunderstanding.€€Furnishing€theÏclient€with€a€simple€memorandum€or€a€copy€of€the€lawyerððs€customary€fee€schedule€is€sufficientÏif€the€basis€or€rate€of€the€fee€is€set€forth.ÌÌÓ  Óò òTerms€of€Paymentó óÌÓ  ÓÌà à[2]à àA€lawyer€may€require€advance€payment€of€a€fee,€but€he€or€she€is€obliged€to€returnÏany€unearned€portion.€€òòSeeóó€Rule€1.16(d).€€A€lawyer€may€accept€property€in€payment€forÏservices,€such€as€an€ownership€interest€in€an€enterprise,€providing€this€does€not€involveÍacquisition€of€a€proprietary€interest€in€the€cause€of€action€or€subject€matter€of€the€litigationÏcontrary€to€Rule€1.8(j).€€However,€a€fee€paid€in€property€instead€of€money€may€be€subject€toÏspecial€scrutiny€because€it€involves€questions€concerning€both€the€value€of€the€services€and€theÏlawyerððs€special€knowledge€of€the€value€of€the€property.€€If€the€property€belongs€to€the€client,Ïthe€lawyer€will€also€have€to€comply€with€the€requirements€of€Rule€1.8(a).ÌÌà à[3]à àAn€agreement€may€not€be€made€whose€terms€might€induce€the€lawyer€improperlyÏto€curtail€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€onlyÏup€to€a€stated€amount€when€it€is€foreseeable€that€more€extensive€services€probably€will€beÏrequired,€unless€the€situation€is€adequately€explained€to€the€client.€€Otherwise,€the€client€mightÏhave€to€bargain€for€further€assistance€in€the€midst€of€a€proceeding€or€transaction.€€However,€it€isÏproper€to€define€the€extent€of€services€in€light€of€the€clientððs€ability€to€pay.€€A€lawyer€should€notÏexploit€a€fee€arrangement€based€primarily€on€hourly€charges€by€using€wasteful€procedures.€€WhenÏthere€is€doubt€whether€a€contingent€fee€is€consistent€with€the€clientððs€best€interest,€the€lawyerÏshould€offer€the€client€alternative€bases€for€the€fee€and€explain€their€implications.€€Applicable€lawÏmay€impose€limitations€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€Rule€8.4€or€otherÏrules.€€òòSeeóó€Rule€8.4(d)€(prohibiting€conduct€prejudicial€to€the€administration€of€justice).ÌÌÓ  Óò òDivision€of€Feeó óÌÓ  ÓÌà 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€usedÏwhen€the€fee€is€contingent€and€the€division€is€between€a€referring€lawyer€and€a€trial€specialist.€ÏParagraph€(e)€permits€the€lawyers€to€divide€a€fee€on€either€the€basis€of€the€proportion€of€servicesÏthey€render€or€by€agreement€between€the€participating€lawyers€if€all€assume€responsibility€for€theÏrepresentation€as€a€whole€and€the€client€is€advised€and€does€not€object.€€It€does€not€requireÏdisclosure€to€the€client€of€the€share€that€each€lawyer€is€to€receive.€€Joint€responsibility€for€theÏrepresentation€entails€the€obligations€stated€in€Rule€5.1€for€purposes€of€the€matter€involved.ÌÌÓ  Óò òDisputes€Over€Feesó óÌÓ  ÓÌà 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€lawyerÍrepresenting€another€party€concerned€with€the€fee€should€comply€with€the€prescribed€procedure.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðFirmðð€€òòSeeóó€Rule€1.0(d)ÌÓ  Óð ðReasonableðð€and€ð ðReasonablenessðð€€òòSeeóó€Rule€1.0(i)Çò òRULE€1.6ÌCONFIDENTIALITYÌÓ  Ó€ó óÌ(a)à àExcept€as€provided€below,€a€lawyer€shall€not€reveal€information€relating€to€representationÏof€a€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:ÌÌÒ  ÒÒ ° Ò(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€orÏproperty€of€another,€unless€disclosure€is€prohibited€or€restricted€by€Rule€3.3;ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àto€secure€legal€advice€about€the€lawyerððs€compliance€with€these€Rules;€orÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(3)à àto€establish€a€claim€or€defense€on€behalf€of€the€lawyer€in€a€controversy€betweenÏthe€lawyer€and€the€client,€to€establish€a€defense€to€a€criminal€charge€or€civil€claim€againstÏthe€lawyer€based€upon€conduct€in€which€the€client€was€involved,€or€to€respond€toÏallegations€in€any€proceeding€concerning€the€lawyerððs€representation€of€the€client.ÌÒ ° ÒÒ ° ÒÌ(c)à àA€lawyer€shall€reveal€information€relating€to€the€representation€of€a€client€to€the€extent€theÏlawyer€reasonably€believes€disclosure€is€necessary:ÌÌÒ  ÒÒ ° Ò(1)à àto€prevent€reasonably€certain€death€or€substantial€bodily€harm;ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò€à à(2)à àto€comply€with€an€order€of€a€tribunal€requiring€disclosure,€but€only€ifÏordered€to€do€so€by€the€tribunal€after€the€lawyer€has€asserted€on€behalf€of€the€client€allÏnon„frivolous€claims€that€the€information€sought€by€the€tribunal€is€protected€againstÏdisclosure€by€the€attorney„€client€privilege€or€other€applicable€law;€orÌÒ ° ÒÒ ° ÒÌà à(3)à àto€comply€with€Rules€3.3,€4.1,€or€other€law.ÌÌÓ  Óò òCOMMENTSÌÓ  Óó 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€useÏof€such€information€to€the€disadvantage€of€the€client,€see€Rule€1.8(b).€€With€respect€to€disclosureÏand€adverse€use€of€information€relating€to€the€representation€of€a€former€client,€see€Rule€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€properÍrepresentation€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€whatÏtheir€rights€are€and€what€is,€in€the€maze€of€laws€and€regulations,€deemed€to€be€legal€and€correct.€ÏThe€common€law€recognizes€that€the€clientððs€confidences€must€be€protected€from€disclosure.€ÏBased€upon€experience,€lawyers€know€that€almost€all€clients€follow€the€advice€given,€and€the€lawÏis€upheld.ÌÌà à[4]à àA€fundamental€principle€in€the€client„lawyer€relationship€is€that€the€lawyerÏmaintain€confidentiality€of€information€relating€to€the€representation.€€This€contributes€to€theÏtrust€that€is€the€hallmark€of€the€client„lawyer€relationship.€€The€client€is€thereby€encouraged€toÏcommunicate€fully€and€frankly€with€the€lawyer€even€as€to€embarrassing€or€legally€damagingÏsubject€matter.ÌÌà à[5]à àThe€principle€of€lawyer„client€confidentiality€is€given€effect€by€related€bodies€ofÏlaw,€including€the€attorney„client€privilege,€the€work„product€doctrine,€and€the€rule€ofÏconfidentiality€established€in€professional€ethics.€€The€attorney„client€privilege€applies€in€judicialÏand€other€proceedings€in€which€a€lawyer€may€be€called€as€a€witness€or€otherwise€required€toÏproduce€evidence€concerning€a€client.€€The€rule€of€client„lawyer€confidentiality€applies€inÏsituations€other€than€those€where€evidence€is€sought€from€the€lawyer€through€compulsion€of€law.€ÏThe€confidentiality€rule,€for€example,€applies€not€only€to€matters€communicated€in€confidence€byÏthe€client,€but€also€to€all€information€relating€to€the€representation,€whatever€its€source.€€A€lawyerÏmay€not€disclose€such€information€except€as€authorized€or€as€required€by€the€Rules€ofÏProfessional€Conduct€or€other€law.€€òòSee€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.ÌÌÓ  Óò òAuthorized€DisclosureÌÓ  Óó 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€instructionsÏor€special€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.Ìà 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€particularÏinformation€be€confined€to€specified€lawyers.ÌÌÓ  Óò òDisclosure€Adverse€to€Clientó óÌÓ  ÓÌà à[10]à àAlthough€the€public€interest€is€usually€best€served€by€a€strict€rule€requiringÏlawyers€to€preserve€the€confidentiality€of€information€relating€to€the€representation€of€theirÏclients,€the€confidentiality€rule€is€subject€to€limited€exceptions.€€For€example,€paragraph€(b)(1)Ïenables€the€lawyer€to€reveal€information€to€the€extent€necessary€to€prevent€the€client€fromÏcommitting€a€crime.€€The€client€can,€of€course,€prevent€such€disclosure€by€refraining€from€theÏwrongful€conduct.€€Although€Paragraph€(b)(1)€does€not€require€that€the€lawyer€reveal€the€clientððsÏmisconduct,€the€lawyer€may€not€in€any€way€counsel€the€client€to€engage,€or€assist€the€client,€inÏconduct€that€the€lawyer€knows€is€criminal€or€fraudulent.€€òòSeeóó€Rule€1.2(d);€òòsee€alsoóó€Rule€1.16Ï(respecting€the€lawyerððs€obligation€or€right€to€withdraw€from€the€representation€of€the€client€inÏsuch€circumstances).€€Where€the€client€is€an€organization,€the€lawyer€may€be€in€doubt€whetherÏcontemplated€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€Rule€1.13(b).€€Rule€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€doÏnot€preclude€a€lawyer€from€securing€legal€advice€about€the€lawyerððs€personal€responsibility€toÏcomply€with€these€Rules.€€In€most€situations,€disclosing€information€to€secure€such€advice€will€beÏimpliedly€authorized€for€the€lawyer€to€carry€out€the€representation.€€Even€when€the€disclosure€isÏnot€impliedly€authorized,€paragraph€(b)(2)€permits€such€disclosure€because€of€the€importance€ofÏa€lawyerððs€compliance€with€the€Rules€of€Professional€Conduct.€€For€the€protection€of€the€client,Ïsuch€disclosures€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,€theÏlawyer€may€respond€to€the€extent€the€lawyer€reasonably€believes€necessary€to€establish€aÏdefense.€ò ò€ó óThe€same€is€true€with€respect€to€a€claim€brought€by€the€lawyer€involving€the€conduct€orÏrepresentation€of€a€former€client,€such€as€when€in„house€counsel€brings€suit€to€redress€his€or€herÏdischarge€from€an€organizational€employer€in€retaliation€for€abiding€by,€or€refusing€to€violate,€aÏclear€expression€of€public€policy€in€the€Rules€of€Professional€Conduct.€€òòSee€alsoóó€Rule€1.16ÏComment€[4].€€Other€charges€can€arise€in€a€civil,€criminal,€or€professional€disciplinary€proceedingÏand€can€be€based€on€a€wrong€allegedly€committed€by€the€lawyer€against€the€client€or€on€a€wrongÏalleged€by€a€third€person,€such€as€a€person€claiming€to€have€been€defrauded€by€the€lawyer€andÏclient€acting€together.€€The€lawyerððs€right€to€respond€under€these€circumstances€arises€when€anÏassertion€of€such€complicity€has€been€made.€€Paragraph€(b)(3)€does€not€require€the€lawyer€toÏawait€the€commencement€of€an€action€or€proceeding€that€charges€such€complicity,€so€that€theÍdefense€may€be€established€by€responding€directly€to€a€third€party€who€has€made€such€anÏassertion.€€The€right€to€defend,€of€course,€applies€where€a€proceeding€has€been€commenced.€ÏWhere€practicable€and€not€prejudicial€to€the€lawyerððs€ability€to€establish€the€defense,€the€lawyerÏshould€advise€the€client€of€the€third€partyððs€assertion€and€request€that€the€client€respondÏappropriately.€€In€any€event,€disclosure€should€be€no€greater€than€the€lawyer€reasonably€believesÏis€necessary€to€vindicate€innocence,€the€disclosure€should€be€made€in€a€manner€that€limits€accessÏto€the€information€to€the€tribunal€or€other€persons€having€a€need€to€know€it,€and€appropriateÏprotective€orders€or€other€arrangements€should€be€sought€by€the€lawyer€to€the€fullest€extentÏpracticable.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.€€AsÏstated€above,€the€lawyer€must€make€every€effort€practicable€to€avoid€unnecessary€disclosure€ofÏinformation€relating€to€a€representation,€to€limit€disclosure€to€those€having€the€need€to€know€it,Ïand€to€obtain€protective€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€beÏinjured€by€the€client,€the€lawyerððs€own€involvement€in€the€transaction,€and€any€other€factors€thatÏmay€extenuate€the€conduct€in€question.€€Where€practical,€the€lawyer€should€seek€to€persuade€theÏclient€to€take€suitable€action.€€In€any€case,€a€disclosure€adverse€to€the€clientððs€interest€should€beÏno€greater€than€the€lawyer€reasonably€believes€necessary€to€the€purpose.€€A€lawyerððs€decisionÏnot€to€take€preventive€action€permitted€by€paragraph€(b)€does€not€violate€this€Rule.ÌÌÓ  Óò òDisclosure€Otherwise€Required€or€Authorizedó óÌÓ  ÓÌà à[15]à àThe€Rules€of€Professional€Conduct€in€various€circumstances€permit€or€require€aÏlawyer€to€disclose€information€relating€to€the€representation.€€òòSeeóó€Rules€2.2,€2.3,€3.3,€and€4.1.€€InÏaddition€to€these€provisions,€a€lawyer€may€be€obligated€or€permitted€by€other€provisions€of€lawÏto€give€information€about€a€client.€€Whether€another€provision€of€law€supersedes€Rule€1.6€is€aÏmatter€of€interpretation€beyond€the€scope€of€these€Rules.ÌÌà 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€waterÏsupply€must€reveal€this€information€to€the€authorities€if€there€is€a€present€and€substantial€riskÍthat€a€person€who€drinks€the€water€will€contract€a€life„threatening€or€debilitating€disease€and€theÏlawyerððs€disclosure€is€necessary€to€eliminate€the€threat€or€reduce€the€number€of€victims.€€Ì€Ìà à[17]à àAs€provided€by€paragraph€(c)(2),€a€lawyer€must€also€comply€with€lawful€ordersÏof€a€tribunal,€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€informationÏrelating€to€the€clientððs€representation,€the€lawyer€must,€absent€authorization€from€the€client€to€doÏotherwise,€assert€on€behalf€of€the€client€all€non„frivolous€claims€that€the€information€sought€isÏprotected€against€disclosure€by€the€attorney„client€privilege€or€other€applicable€law.€€In€the€eventÏof€an€adverse€ruling,€the€lawyer€should€consult€with€the€client€about€the€possibility€of€appealingÏthe€adverse€ruling.€€òòSeeóó€Rules€1.4€and€1.2.€€Unless€an€appeal€is€taken,€the€lawyer€must€complyÏwith€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€byÏother€persons€who€are€participating€in€the€representation€of€the€client€or€who€are€subject€to€theÏlawyerððs€supervision.€€òòSeeóó€Rules€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€thatÏthe€lawyer€utilize€special€security€measures€if€the€method€of€communication€affords€a€reasonableÏexpectation€of€privacy.€€Special€circumstances,€however,€may€warrant€special€precautions.€ÏFactors€to€be€considered€in€determining€the€reasonableness€of€the€lawyerððs€expectation€ofÏconfidentiality€include€the€sensitivity€of€the€information€and€the€extent€to€which€the€privacy€ofÏthe€communication€is€protected€by€law€or€by€a€confidentiality€agreement.€€A€client€may€requireÏthe€lawyer€to€implement€special€security€measures€not€required€by€this€Rule€or€may€giveÏinformed€consent€to€the€use€of€a€means€of€communication€that€would€otherwise€be€prohibited€byÏthis€Rule.€€ÌÌÓ  Óò òFormer€Clientsó óÌÓ  ÓÌà à[20]à àThe€duty€of€confidentiality€continues€after€the€client„lawyer€relationship€has€beenÏterminated.ò ò€ó ó€òòSeeóó€Rule€1.9(c).ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðConsultationðð€€òòSeeóó€Rule€1.0(c)€Ìð ðFraudðð€€òòSeeóó€Rule€1.0(e)€Ìð ðReasonablyðð€€òòSeeóó€Rule€1.0(i)Ìð ðReasonably€Believesðð€€òòSeeóó€Rule€1.0(j)Ìð ðSubstantialðð€€òòSeeóó€Rule€1.0(òòlóó)€ÌÓ  Óð ðTribunalðð€€òòSeeóó€Rule€1.0(m)Çò òRULE€1.7€ÌCONFLICT€OF€INTEREST:€€GENERAL€RULEó óÌÓ  ÓÌ(a)à àA€lawyer€shall€not€represent€a€client€if€the€representation€of€that€client€will€be€directlyÏadverse€to€another€client,€unless:ÌÌÒ  ÒÒ ° Ò(1)à àthe€lawyer€reasonably€believes€the€representation€will€not€adversely€affect€theÏrelationship€with€the€other€client;€and€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àeach€client€consents€in€writing€after€consultation.ÌÒ ° ÒÒ ° ÒÌ(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€lawyerððsÏown€interests,€unless:€ÌÌÒ  ÒÒ ° Ò(1)à àthe€lawyer€reasonably€believes€the€representation€will€not€be€adversely€affected;Ïand€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(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.ÌÒ ° ÒÒ ° ÒÌ(c)à àA€lawyer€shall€not€represent€more€than€one€client€in€the€same€criminal€case,€unless€ÌÌÒ  ÒÒ ° Ò(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€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àeach€client€consents€in€writing€after€consultation€concerning€the€implications€of€theÏcommon€representation,€along€with€the€advantages€and€risks€involved.ÌÒ ° ÒÒ ° ÒÌÓ  Óò òCOMMENTSÌÓ  Óó óÌÓ  Óò òLoyalty€to€a€Clientó óÌÓ  ÓÌà 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€eventÏthe€representation€should€be€declined.€€The€lawyer€should€adopt€reasonable€procedures,Ïappropriate€for€the€size€and€type€of€firm€and€practice,€to€determine€in€both€litigation€andÏnon„litigation€matters€the€parties€and€issues€involved€and€to€determine€whether€actual€or€potentialÏconflicts€of€interest€exist.ÌÌà à[2]à àIf€such€a€conflict€arises€after€representation€has€been€undertaken,€the€lawyerÏshould€withdraw€from€the€representation.€€òòSeeóó€Rule€1.16.€€Where€more€than€one€client€is€involvedÍand€the€lawyer€withdraws€because€a€conflict€arises€after€representation,€whether€the€lawyer€mayÏcontinue€to€represent€any€of€the€clients€is€determined€by€Rule€1.9.€€As€to€whether€a€client„lawyerÏrelationship€exists€or,€having€once€been€established,€is€continuing,€see€the€Comment€to€Rule€1.3Ïand€the€statement€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€representsÏin€some€other€matter,€even€if€it€is€wholly€unrelated.€€On€the€other€hand,€simultaneousÏrepresentation€in€unrelated€matters€of€clients€whose€interests€are€only€generally€adverse,€such€asÏcompeting€economic€enterprises,€does€not€require€consent€of€the€respective€clients.€€Paragraph€(a)Ïapplies€only€when€the€representation€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€otherÏresponsibilities€or€interests.€€The€conflict€in€effect€forecloses€alternatives€that€would€otherwise€beÏavailable€to€the€client.€€Paragraph€(b)€addresses€such€situations.€€A€possible€conflict€does€notÏitself€preclude€the€representation.€€The€critical€questions€are€the€likelihood€that€a€conflict€willÏeventuate€and,€if€it€does,€whether€it€will€materially€interfere€with€the€lawyerððs€independentÏprofessional€judgment€in€considering€alternatives€or€otherwise€foreclose€courses€of€action€thatÏreasonably€should€be€pursued€on€behalf€of€the€client.€€Consideration€should€be€given€to€whetherÏthe€client€wishes€to€accommodate€the€other€interest€involved.ÌÌÓ  Óò òConsultation€and€Consentó óÌÓ  ÓÌà 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€underÏthe€circumstances,€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,€whenÏthe€lawyer€represents€different€clients€in€related€matters€and€one€of€the€clients€refuses€to€consentÏto€the€disclosure€necessary€to€permit€the€other€client€to€make€an€informed€decision,€the€lawyerÏcannot€properly€ask€the€latter€to€consent.ÌÌà à[6]à àIn€the€absence€of€other€law€to€the€contrary,€a€government€official€or€entity,€likeÏany€other€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€Rule€1.0(b)€Definitions€(definingÏð ðConsents€in€Writingðð).€€If€it€is€not€feasible€to€secure€or€memorialize€the€writing€either€at€the€timeÍthe€conflict€arises€or€at€the€time€the€client€gives€consent,€then€the€lawyer€must€secure€orÏmemorialize€it€within€a€reasonable€time€thereafter.€€The€requirement€of€a€writing€does€notÏsupplant€the€need€in€most€cases€for€the€lawyer€to€talk€with€the€client,€to€explain€the€risks€andÏadvantages,€if€any,€of€representation€burdened€by€a€conflict€of€interest,€to€explain€the€reasonablyÏavailable€alternatives,€and€to€afford€the€client€an€opportunity€to€raise€questions€and€concerns.€ÏRather,€the€writing€is€required€in€order€to€impress€upon€clients€the€seriousness€of€the€decisionÏthey€are€being€asked€to€make€and€to€resolve€disputes€or€ambiguities€that€might€later€occur€byÏvirtue€of€there€being€no€writing.€€The€writing€need€not€take€any€particular€form;€it€should,Ïhowever,€include€disclosure€of€the€relevant€circumstances€and€reasonably€foreseeable€risks€of€theÏconflict€of€interest,€as€well€as€memorialization€of€the€clientððs€agreement€to€the€representationÏdespite€such€risks.€ÌÌÓ  Óò òLawyerððs€Interestsó óÌÓ  ÓÌà à[8]à àThe€lawyerððs€own€interests€should€not€be€permitted€to€have€an€adverse€effect€onÏthe€representation€of€a€client.€€For€example,€a€lawyerððs€need€for€income€should€not€lead€theÏlawyer€to€undertake€matters€that€cannot€be€handled€competently€and€at€a€reasonable€fee.€€òòSeeóóÏRules€1.1€and€1.5.€€If€the€probity€of€a€lawyerððs€own€conduct€in€a€transaction€is€in€seriousÏquestion,€it€may€be€difficult€or€impossible€for€the€lawyer€to€give€a€client€detached€advice.€€AÏlawyer€may€not€allow€related€business€interests€to€affect€representation,€for€example,€by€referringÏclients€to€an€enterprise€in€which€the€lawyer€has€an€undisclosed€interest.ÌÌÓ  Óò òConflicts€in€Litigationó óÌÓ  ÓÌà à[9]à à€Paragraph€(a)€prohibits€representation€of€opposing€parties€in€litigation.€ÏSimultaneous€representation€of€parties€whose€interests€in€litigation€may€conflict,€such€asÏco„plaintiffs€or€co„defendants,€is€governed€by€paragraph€(b).€€An€impermissible€conflict€may€existÏby€reason€of€substantial€discrepancy€in€the€partiesðð€testimony,€by€an€incompatibility€in€positionsÏin€relation€to€an€opposing€party,€or€by€the€fact€that€there€are€substantially€different€possibilitiesÏof€settlement€of€the€claims€or€liabilities€in€question.€€Such€conflicts€can€arise€in€both€civil€andÏcriminal€cases.€€However,€common€representation€of€persons€having€similar€interests€is€proper€ifÏthe€risk€of€adverse€effect€is€minimal€and€the€requirements€of€paragraph€(b)€are€met.€€òòCompareóóÏRule€2.2€(involving€intermediation€between€clients).ÌÌà à[10]€à àThe€potential€for€conflict€of€interest€in€representing€multiple€defendants€in€aÏcriminal€case€is€so€grave€that€ordinarily€a€lawyer€should€decline€to€represent€more€than€oneÏco„defendant.€€However,€where€the€lawyer€chooses€to€undertake€such€a€joint€representation,Ïparagraph€(c)€requires€that€the€lawyer€demonstrate€to€the€satisfaction€of€the€tribunal€that€goodÏcause€exists€to€believe€that€no€conflict€of€interest€prohibited€by€paragraph€(b)€presently€exists€orÏis€likely€to€exist€in€the€future.€€This€showing€reflects€the€same€standard€currently€required€byÏTennessee€Rule€of€Criminal€Procedure€44(c).ÌÌà à[11]à àHowever,€to€avoid€the€premature€disclosure€of€defense€tactics,€strategy,€or€otherÍinformation€relating€to€the€representation,€defense€counsel€may€request€that€the€tribunal€hold€anÏòòex€parteóó€hearing€to€determine€the€propriety€of€the€joint€representation.€€òòSeeóó€Rule€3.3(a)(3)€(settingÏforth€a€lawyerððs€duty€of€candor€in€an€òòex€parteóó€hearing);€òòsee€alsoóó€Rule€3.5(b)€(permitting€a€lawyerÏto€speak€òòex€parteóó€to€a€judge€when€permitted€to€do€so€by€law).€€Once€the€tribunal€is€satisfied€thatÏno€good€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€ofÏany€duty€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€lawyerÏrepresents€in€some€other€matter,€even€if€the€other€matter€is€wholly€unrelated.€€However,€there€areÏcircumstances€in€which€a€lawyer€may€act€as€an€advocate€against€a€client.€€For€example,€a€lawyerÏrepresenting€an€enterprise€with€diverse€operations€may€accept€employment€as€an€advocateÏagainst€the€enterprise€in€an€unrelated€matter€if€doing€so€will€not€adversely€affect€the€lawyerððsÏrelationship€with€the€enterprise€or€conduct€of€the€suit€and€if€both€clients€consent€uponÏconsultation.€€By€the€same€token,€government€lawyers€in€some€circumstances€may€representÏgovernment€employees€in€proceedings€in€which€a€government€agency€is€the€opposing€party.€€TheÏpropriety€of€concurrent€representation€can€depend€on€the€nature€of€the€litigation.€€For€example,€aÏsuit€charging€fraud€entails€conflict€to€a€degree€not€involved€in€a€suit€for€a€declaratory€judgmentÏconcerning€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,Ïwhen€a€decision€favoring€one€client€will€create€a€precedent€likely€to€seriously€weaken€the€positionÏtaken€by€the€lawyer€on€behalf€of€the€other€client.€€Factors€relevant€in€determining€whether€theÏclients€need€to€be€advised€of€the€risk€include€where€the€cases€are€pending;€whether€the€issue€isÏsubstantive€or€procedural;€the€temporal€relationship€between€the€matters;€the€significance€of€theÏissue€to€the€immediate€and€long„€run€interests€of€the€clients€involved;€and€the€clientsðð€reasonableÏexpectations€in€retaining€the€lawyer.€€If€there€is€significant€risk€of€material€limitation,€then€absentÏinformed€consent€of€the€affected€clients,€the€lawyer€must€refuse€one€of€the€representations€orÏwithdraw€from€one€or€both€matters.ÌÌÓ  Óò òInterest€of€Person€Paying€for€a€Lawyerððs€Serviceó óÌÓ  ÓÌà à[14]à àA€lawyer€may€be€paid€from€a€source€other€than€the€client€if€the€client€is€informedÏof€that€fact€and€consents€and€if€the€arrangement€does€not€compromise€the€lawyerððs€duty€ofÏloyalty€to€the€client.€€òòSeeóó€Rule€1.8(f).€€For€example,€when€an€insurer€and€its€insured€haveÏconflicting€interests€in€a€matter€arising€from€a€liability€insurance€agreement,€and€the€insurer€isÏrequired€to€provide€special€counsel€for€the€insured,€the€arrangement€should€assure€the€specialÍcounselððs€professional€independence.€€So€also,€when€a€corporation€and€its€directors€or€employeesÏare€involved€in€a€controversy€in€which€they€have€conflicting€interests,€the€corporation€mayÏprovide€funds€for€separate€legal€representation€of€the€directors€or€employees€if€the€clientsÏconsent€after€consultation€and€the€arrangement€ensures€the€lawyerððs€professional€independence.ÌÌÓ  Óò òOther€Conflict€Situationsó óÌÓ  Óà 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€includeÏthe€duration€and€intimacy€of€the€lawyerððs€relationship€with€the€client€or€clients€involved,€theÏfunctions€being€performed€by€the€lawyer,€the€likelihood€that€actual€conflict€will€arise,€and€theÏlikely€prejudice€to€the€client€from€the€conflict€if€it€does€arise.€€The€question€is€often€one€ofÏproximity€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€Rule€2.2€with€respect€to€a€lawyer€serving€two€or€more€clients€as€anÏintermediary.ÌÌà à[17]à àMembers€of€a€family€may€reasonably€seek€joint€representation€by€a€single€lawyerÏin€a€matter€affecting€the€family.€€Conflict€questions€may€arise€in€such€circumstances.€€ForÏexample,€in€estate€planning,€a€lawyer€may€be€called€upon€to€prepare€wills€for€family€members,Ïsuch€as€husband€and€wife,€and,€depending€upon€the€circumstances,€a€conflict€of€interest€mayÏarise.€€Resolution€of€conflicts€of€interest€between€family€members€pursuant€to€this€Rule€must€beÏconsistent€with€the€lawyerððs€duty€of€undivided€loyalty€to€each€client,€but€the€lawyer€may€takeÏinto€account€the€willingness€of€each€individual€client€to€accommodate€the€interests€of€the€familyÏas€a€whole€or€the€individual€interests€of€other€family€members.€€In€estate€administration,€theÏidentity€of€the€client€may€be€unclear.€€Under€one€view,€the€client€is€the€fiduciary;€under€anotherÏview,€the€client€is€the€estate€or€trust,€including€its€beneficiaries.€€The€lawyer€should€make€clear€theÏrelationship€to€the€parties€involved.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.€€TheÏlawyer€may€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,€theÏpotential€intensity€of€the€conflict,€the€effect€of€the€lawyerððs€resignation€from€the€board€and€theÏpossibility€of€the€corporationððs€obtaining€legal€advice€from€another€lawyer€in€such€situations.€€IfÏthere€is€material€risk€that€the€dual€role€will€compromise€the€lawyerððs€independence€ofÏprofessional€judgment,€the€lawyer€should€not€serve€as€a€director.ÌÌÓ  Óò òConflict€Charged€by€an€Opposing€Partyó óÌÓ  ÓÌà à[19]à àResolving€questions€of€conflict€of€interest€is€primarily€the€responsibility€of€theÍlawyer€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€asÏclearly€to€call€in€question€the€fair€or€efficient€administration€of€justice,€opposing€counsel€mayÏproperly€raise€the€question.€€Such€an€objection€should€be€viewed€with€caution,€however,€for€it€canÏbe€misused€as€a€technique€of€harassment.€ÌÌÓ  Óò òSpecial€Considerations€in€Joint€Representationó óÌÓ  ÓÌà 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€canÏbe€additional€cost,€embarrassment,€and€recrimination.€€Ordinarily,€the€lawyer€will€be€forced€toÏwithdraw€from€representing€all€of€the€clients€if€the€joint€representation€fails,€unless€each€clientÏconsents€after€consultation.ÌÌà 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.€ÏWith€regard€to€the€evidentiary€attorney„client€privilege,€the€prevailing€rule€is€that€as€betweenÏcommonly€represented€clients,€the€privilege€does€not€attach.€€Hence,€it€must€be€assumed€that€theÏprivilege€will€not€protect€any€such€communications€if€litigation€eventuates€between€the€clients,Ïand€the€clients€should€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€thatÏclient,€which€is€not€to€be€disclosed€to€the€other€client.€€This€is€so€because€the€lawyer€has€an€equalÏduty€of€loyalty€to€each€client,€and€each€client€has€the€right€to€be€informed€of€anything€bearing€onÏthe€representation€that€might€affect€that€clientððs€interests€and€to€expect€that€the€lawyer€will€useÏthat€information€to€that€clientððs€benefit.€€òòSeeóó€Rule€1.4.€€The€lawyer€should,€at€the€outset€of€theÏjoint€representation€and€as€part€of€the€process€of€obtaining€each€clientððs€consent,€advise€eachÏclient€that€the€lawyer€will€share€all€information€material€to€the€representation€with€each€of€theÏjointly€represented€clients,€unless€specifically€instructed€by€one€of€the€clients€not€to€do€so.€€TheÏlawyer€should€also€advise€each€client€that€the€lawyer€will€abide€by€the€clientððs€instructions€toÏmaintain€the€confidentiality€of€the€specified€information€if€any€client€later€insists€that€someÏmatter€material€to€the€representation€should€be€kept€from€the€other,€but€that€it€is€likely€that€theÏlawyer€will€be€required€to€withdraw€from€the€representation.€€In€limited€circumstances,€however,Ïit€may€be€appropriate€for€the€lawyer€to€proceed€with€the€representation€when€the€clients€haveÏagreed,€after€being€properly€informed,€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€rightÏto€loyal€and€diligent€representation€and€the€protection€of€Rule€1.9€concerning€the€obligations€to€aÏformer€client.€€Each€client€also€has€the€right€to€discharge€the€lawyer€as€stated€in€Rule€1.16.ÌÌÓ  Óò òRelation€to€Other€RulesÌÓ  Óó 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€loyaltyÏwill€not€be€diluted€by€interests€of€other€clients,€the€lawyer,€or€third€persons.€€This€Rule,€however,Ïis€not€applicable€to€conflicts€of€interest€affecting€clients€the€lawyer€undertakes€to€serve€as€anÏintermediary.€€If,€for€example,€business€persons€or€members€of€a€family€are€seeking€the€lawyerððsÏadvice€or€assistance€in€a€non„adversarial€effort€to€accomplish€a€common€objective€with€respect€toÏthe€formation,€conduct,€modification,€or€termination€of€a€consensual€relation€between€them,€suchÏas€the€formation€of€a€business€or€a€purchase€or€sale€of€property,€Rule€2.2€applies.€€Similarly,€ifÏthe€effectuation€of€an€estate€plan€or€other€gratuitous€transfer€entails€the€formation,€modification,Ïor€termination€of€a€consensual€legal€relationship€between€clients,€and€the€lawyer€acts€as€anÏintermediary€in€connection€with€the€transaction,€Rule€2.2€applies.€€Otherwise,€this€Rule€applies.€ÏNor€is€this€Rule€applicable€to€conflicts€of€interest€affecting€parties€who€a€lawyer€undertakes€toÏserve€as€a€dispute€resolution€neutral.€€òòSeeóó€Rule€2.4.ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðConsents€in€Writingðð€€òòSeeóó€Rule€1.0(b)€Ìð ðConsultationðð€€òòSeeóó€Rule€1.0(c)€Ìð ðMateriallyðð€€òòSeeóó€Rule€1.0(g)ÌÓ  Óð ðReasonably€Believesðð€€òòSeeóó€Rule€1.0(j)Çò òRULE€1.8ÌCONFLICT€OF€INTEREST:€€PROHIBITED€TRANSACTIONSó óÌÓ  ÓÌ(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:ÌÌÒ  ÒÒ ° Ò(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€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àthe€client€is€given€a€reasonable€opportunity€to€seek€the€advice€of€independentÏcounsel€in€the€transaction;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(3)à àthe€client€consents€thereto€in€a€writing€signed€by€the€client.ÌÒ ° ÒÒ ° ÒÌ(b)à àA€lawyer€shall€not€use€information€relating€to€representation€of€a€client€to€theÏdisadvantage€of€the€client,€unless€the€client€consents€after€consultation,€except€as€otherwiseÏpermitted€or€required€by€Rule€1.6€or€Rule€3.3.ÌÌ(c)à àA€lawyer€shall€not€prepare€an€instrument€giving€the€lawyer€or€a€person€related€to€theÏlawyer€as€parent,€child,€sibling,€or€spouse€any€substantial€gift€from€a€client,€including€aÏtestamentary€gift,€except€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€orÏnegotiate€an€agreement€giving€the€lawyer€literary€or€media€rights€to€a€portrayal€or€account€basedÏin€substantial€part€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€ÌÒ  ÒÒ ° Ò(1)à àa€lawyer€may€advance€court€costs€and€expenses€of€litigation,€the€repayment€ofÏwhich€may€be€contingent€on€the€outcome€of€the€matter;€andÌÌ(2)à àa€lawyer€representing€an€indigent€client€may€pay€court€costs€and€expenses€ofÏlitigation€on€behalf€of€the€client.ÌÒ ° ÒÒ ° ÒÌ(f)à àA€lawyer€shall€not€accept€compensation€or€direction€from€one€other€than€the€client€unless:ÌÌÒ  ÒÒ ° Ò(1)à àthe€client€consents€after€consultation;ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àthere€is€no€interference€with€the€lawyerððs€independence€of€professional€judgmentÏor€with€the€client„lawyer€relationship;€andÌÒ ° ÒÒ ° Ò€ÌÒ  ÒÒ ° Ò(3)à àinformation€relating€to€representation€of€a€client€is€protected€as€required€by€RuleÏ1.6.ÌÒ ° ÒÒ ° ÒÌ(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€asÏto€guilty€or€nolo€contendere€pleas,€unless:ÌÌÒ  ÒÒ ° Ò(1)à àthe€client€is€given€a€reasonable€opportunity€to€seek€the€advice€of€independentÏcounsel€in€the€transaction;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(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.ÌÒ ° ÒÒ ° ÒÌ(h)à àA€lawyer€shall€not:ÌÌÒ  ÒÒ ° Ò(1)à àenter€into€an€agreement€with€a€prospective,€current,€or€former€client€toÏprospectively€limit€the€lawyerððs€liability€to€the€client€for€malpractice;€orÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àsettle€a€claim€for€such€liability,€unless:ÌÒ ° ÒÒ ° ÒÌÒ ` ÒÒ ° Ò(a)à àthe€client€is€represented€in€the€matter€by€independent€counsel;€or€ÌÒ ° ÒÒ ° ÒÌÒ ` ÒÒ ° Ò(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€seekÏthe€advice€of€independent€counsel,€and€affords€the€client€a€reasonable€opportunityÏto€do€so.ÌÒ ° ÒÒ ° ÒÌ(i)à àA€lawyer€related€to€another€lawyer€as€parent,€child,€sibling,€or€spouse€shall€not€representÏa€client€in€a€representation€directly€adverse€to€a€person€whom€the€lawyer€knows€is€representedÏby€the€other€lawyer,€unless€the€client€consents€in€writing€after€consultation€regarding€theÏrelationship.Ì€Ì(j)à àA€lawyer€shall€not€acquire€a€proprietary€interest€in€the€cause€of€action€or€subject€matterÏof€litigation€the€lawyer€is€conducting€for€a€client,€except€that€the€lawyer€may:ÌÌÒ  ÒÒ ° Ò(1)à àacquire€a€lien€granted€by€law€to€secure€the€lawyerððs€fee€or€expenses;€andÌÌ(2)à àcontract€with€a€client€for€a€reasonable€contingent€fee€in€a€civil€case.ÌÒ ° ÒÒ ° ÒÌÓ  Óò òCOMMENTSÌÓ  ÓÌÓ  ÓTransactions€Between€Client€and€Lawyeró óÌÓ  ÓÌà à[1]à àAs€a€general€principle,€all€transactions€between€client€and€lawyer€should€be€fairÏand€reasonable€to€the€client.€€In€such€transactions,€a€review€by€independent€counsel€on€behalf€ofÏthe€client€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€clientÏis€investing€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€clientÏfor€products€or€services€that€the€client€generally€markets€to€others,€such€as€banking€or€brokerageÏservices,€medical€services,€products€manufactured€or€distributed€by€the€client,€and€utilitiesÏservices.€€In€such€transactions,€the€lawyer€has€no€advantage€in€dealing€with€the€client,€and€theÏrestrictions€in€paragraph€(a)€are€unnecessary€and€impracticable.ÌÌà à[2]à àA€lawyer€may€accept€a€gift€from€a€client€if€the€transaction€meets€general€standardsÏof€fairness.€€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€legalÏinstrument€such€as€a€will€or€conveyance,€however,€the€client€should€have€the€detached€advice€thatÏanother€lawyer€can€provide.€€Paragraph€(c)€recognizes€an€exception€where€the€client€is€a€relativeÏof€the€donee€or€the€gift€is€not€substantial.ÌÌÓ  Óò òLiterary€Rightsó óÌÓ  ÓÌà 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€theÏpersonal€interests€of€the€lawyer.€€Measures€suitable€in€the€representation€of€the€client€mayÏdetract€from€the€publication€value€of€an€account€of€the€representation.€€Paragraph€(d)€does€notÏprohibit€a€lawyer€representing€a€client€in€a€transaction€concerning€literary€property€from€agreeingÏthat€the€lawyerððs€fee€shall€consist€of€a€share€in€ownership€in€the€property,€if€the€arrangementÏconforms€to€Rule€1.5€and€paragraph€(j).ÌÌÓ  Óò òPerson€Paying€for€Lawyerððs€Servicesó óÌÓ  ÓÌà à[4]à àRule€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€Rule€1.6Ïconcerning€confidentiality€and€Rule€1.7€concerning€conflicts€of€interest.€€Where€the€client€is€aÏclass,€consent€may€be€obtained€on€behalf€of€the€class€by€court„supervised€procedure.ÌÌÓ  Óò òLimiting€Liabilityó óÌÓ  ÓÌà à[5]à àParagraph€(h)€is€not€intended€to€apply€to€customary€qualifications€and€limitationsÏin€legal€opinions€and€memoranda.ÌÌÓ  Óò òRelationships€Between€Lawyersó óÌÓ  ÓÌà à[6]à àRule€1.8(i)€applies€to€ð ðrelatedðð€lawyers€who€are€in€different€firms.€€RelatedÏlawyers€in€the€same€firm€are€governed€by€Rules€1.7,€1.9,€and€1.10.€€The€disqualification€stated€inÏRule€1.8(i)€is€personal€and€is€not€imputed€to€members€of€firms€with€whom€the€lawyers€areÏassociated.€€òòSeeóó€Rule€1.10.€ÌÌÓ  Óò òAcquisition€of€Interest€in€Litigationó óÌÓ  ÓÌà 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€RuleÏ1.5€and€the€exception€for€certain€advances€of€the€costs€of€litigation€set€forth€in€paragraph€(e).ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðConsents€in€Writingðð€€òòSeeóó€Rule€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Rule€1.0(c)€Ìð ðKnowinglyðð€and€ð ðKnowsðð€€òòSeeóó€Rule€1.0(f)Ìð ðReasonableðð€and€ð ðReasonablyðð€€òòSeeóó€Rule€1.0(i)ÌÓ  Óð ðSubstantialðð€€òòSeeóó€Rule€1.0(òòlóó)Çò òRULE€1.9ÌCONFLICT€OF€INTEREST:€FORMER€CLIENTó óÌÓ  Ó€Ì(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€inÏwriting€after€consultation.€ÌÌ(b)à àUnless€the€former€client€consents€in€writing€after€consultation,€a€lawyer€shall€notÏknowingly€represent€a€person€in€the€same€or€a€substantially€related€matter€in€which€a€firm€withÏwhich€the€lawyer€formerly€was€associated€had€previously€represented€a€client€whose€interests€areÏmaterially€adverse€to€that€person€and€about€whom€the€lawyer€had€acquired€information€protectedÏby€Rules€1.6€and€1.9(c)€that€is€material€to€the€matter.ÌÌ(c)à àUnless€the€former€client€consents€after€consultation,€a€lawyer€who€has€formerlyÏrepresented€a€client€in€a€matter,€or€whose€present€or€former€firm€has€formerly€represented€a€clientÏin€a€matter,€shall€not€thereafter:ÌÌÒ  ÒÒ ° Ò(1)à àuse€information€relating€to€the€representation€to€the€disadvantage€of€the€formerÏclient€except€as€these€Rules€otherwise€permit€or€require€with€respect€to€a€client,€or€whenÏthe€information€has€become€generally€known;€orÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àreveal€information€relating€to€the€representation€of€the€former€client€except€asÏthese€Rules€otherwise€permit€or€require€with€respect€to€a€client.ÌÒ ° ÒÒ ° Òò òÌÓ  ÓCOMMENTSÌÓ  Óó óÌà à[1]à àAfter€termination€of€a€client„lawyer€relationship,€a€lawyer€may€not€representÏanother€client€other€than€in€conformity€with€this€Rule,€except€that€in€the€case€of€a€government€orÏformer€government€lawyer,€Rule€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€currentÏmatter€involves€the€work€the€lawyer€performed€for€the€former€client€or€there€is€a€substantial€riskÏthat€representation€of€the€present€client€will€involve€the€use€of€information€acquired€in€the€courseÏof€representing€the€former€client,€unless€that€information€has€become€generally€known.ÌÌÓ  Óò òChanging€Sidesó óÌÓ  ÓÌà 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€interestsÏof€the€seller€in€the€same€transaction.€€Further,€just€as€a€lawyer€may€not€represent€both€sidesÏconcurrently€in€the€same€case,€òòseeóó€Rule€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€relatedÏif€it€involves€the€work€the€lawyer€performed€for€the€former€client.€€For€example,€a€lawyer€mayÏnot€on€behalf€of€a€later€client€attack€the€validity€of€a€document€that€the€lawyer€drafted€if€doing€soÏwould€materially€and€adversely€affect€the€former€client.€€Similarly,€a€lawyer€may€not€represent€aÏdebtor€in€bankruptcy€in€seeking€to€set€aside€a€security€interest€of€a€creditor€that€is€embodied€in€aÏdocument€that€the€lawyer€previously€drafted€for€the€creditor.ÌÌÓ  Óò òProtecting€Confidentialityó óÌÓ  ÓÌà 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€useÏof€confidential€information€of€the€former€client€in€violation€of€the€restrictions€these€Rules€andÏother€law€place€on€disclosure.€€Substantial€risk€exists€where€one€could€reasonably€conclude€that€itÏwould€materially€advance€the€clientððs€position€in€the€subsequent€matter€to€use€confidentialÏinformation€obtained€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€itsÏprotection,€the€former€client€were€required€to€reveal€in€a€public€proceeding€the€particularÏcommunication€or€other€confidential€information€that€could€be€used€in€the€subsequentÏrepresentation.€€On€the€other€hand,€closed€or€in€camera€proceedings€may€implicate€issues€ofÏfairness€to€other€parties.€€Further,€the€interests€of€subsequent€clients€also€militate€againstÏextensive€inquiry€into€the€precise€nature€of€the€lawyerððs€representation€of€the€subsequent€clientÏand€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€inÏthe€prior€representation€should€be€as€specific€as€possible€without€thereby€revealing€theÏconfidential€client€information€itself€or€confidential€information€concerning€the€second€client.€ÏNevertheless,€the€subsequent€clientððs€interest€in€selection€of€counsel€of€his€or€her€choice€requiresÍthat€the€lawyer€be€permitted,€within€appropriate€limits,€to€defeat€any€presumption€or€inferenceÏconcerning€the€lawyerððs€receipt€or€exchange€of€confidential€information.Ìà à[9]à àFor€example,€a€lawyer€who€has€represented€a€business€person€and€learnedÏextensive€private€financial€information€about€that€person€may€not€then€represent€that€personððsÏspouse€in€seeking€a€divorce.€€Similarly,€a€lawyer€who€has€previously€represented€a€client€inÏsecuring€environmental€permits€to€build€a€shopping€center€would€be€precluded€from€representingÏneighbors€who€sought€to€oppose€rezoning€of€the€property.€€However,€the€lawyer€could€defend€aÏtenant€of€the€completed€shopping€center€in€resisting€eviction€for€non„payment€of€rent,€as€noÏsubstantial€relationship€exists€between€the€two€matters.ÌÌà à[10]à àInformation€that€might€be€confidential€for€some€purposes€under€these€Rules€(soÏthat,€for€example,€a€lawyer€would€not€be€free€to€discuss€it€publicly)€might€nonetheless€be€soÏgeneral,€readily€observable,€or€of€so€little€value€in€the€subsequent€litigation€that€it€should€not€byÏitself€result€in€a€substantial€relationship€being€found.€€Thus,€a€lawyer€may€master€a€particularÏsubstantive€area€of€the€law€while€representing€a€client,€but€that€does€not€preclude€the€lawyer€fromÏlater€representing€another€client€adversely€to€the€first€in€a€matter€involving€the€same€legal€issues,Ïif€the€facts€are€not€substantially€related.€€A€lawyer€might€also€have€learned€a€former€clientððsÏpreferred€approach€to€bargaining€in€settlement€discussions€or€negotiating€business€points€in€aÏtransaction,€willingness€or€unwillingness€to€be€deposed€by€an€adversary,€or€financial€ability€toÏwithstand€extended€litigation€or€contract€negotiations.€€Only€when€such€information€will€beÏdirectly€in€issue€or€of€unusual€value€in€the€subsequent€matter€will€it€be€independently€relevant€inÏassessing€a€substantial€relationship.ÌÌÓ  Óò òLawyers€Moving€Between€Firmsó óÌÓ  ÓÌà à[11]à àWhen€lawyers€have€been€associated€within€a€firm€but€then€end€their€association,Ïthe€question€of€whether€a€lawyer€should€undertake€representation€is€more€complicated.€€There€areÏseveral€competing€considerations.€€First,€the€client€previously€represented€by€the€former€firmÏmust€be€reasonably€assured€that€the€principle€of€loyalty€to€the€client€is€not€compromised.€ÏSecond,€the€rule€should€not€be€so€broadly€cast€as€to€preclude€other€persons€from€havingÏreasonable€choice€of€legal€counsel.€€Third,€the€rule€should€not€unreasonably€hamper€lawyers€fromÏforming€new€associations€and€taking€on€new€clients€after€having€left€a€previous€association.€€InÏthis€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€appliedÏwith€unqualified€rigor,€the€result€would€be€radical€curtailment€of€the€opportunity€of€lawyers€toÏmove€from€one€practice€setting€to€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€involvedÏhas€actual€knowledge€of€information€protected€by€Rules€1.6€and€1.9(c).€€Thus,€if€a€lawyer€whileÏwith€one€firm€acquired€no€knowledge€or€information€relating€to€a€particular€client€of€the€firm,€andÏthat€lawyer€later€joined€another€firm,€neither€the€lawyer€individually€nor€the€second€firm€isÏdisqualified€from€representing€another€client€in€the€same€or€a€related€matter€even€though€theÍinterests€of€the€two€clients€conflict.€€See€Rule€1.10(b)€for€the€restrictions€on€a€firm€once€a€lawyerÏhas€terminated€association€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€lawÏfirm€and€may€regularly€participate€in€discussions€of€their€affairs;€if€so,€then€it€should€be€inferredÏthat€such€a€lawyer€is€privy€to€all€information€about€all€the€firmððs€clients.€€In€contrast,€anotherÏlawyer€may€have€access€to€the€files€of€only€a€limited€number€of€clients€and€participate€inÏdiscussions€of€the€affairs€of€no€other€clients.€€Under€these€circumstances,€it€should€be€inferred,€inÏthe€absence€of€information€to€the€contrary,€that€such€a€lawyer€is€privy€to€information€about€theÏclients€actually€served,€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€Rules€1.6€and€1.9(c).€ÌÌÓ  Óò òRelation€to€Other€RulesÌÓ  ÓÌó óà à[15]à àExcept€in€situations€governed€by€Rule€1.11,€Rule€1.9€applies€in€all€circumstancesÏin€which€a€lawyer€has€previously€represented€a€client€as€an€advocate,€an€advisor,€an€intermediary,Ïor€an€author€of€a€legal€opinion€to€be€rendered€on€behalf€of€a€client€for€use€by€a€third€person.€ÏExcept€as€provided€in€Rule€2.4,€Rule€1.9€does€not€apply€to€parties€being€served€by€a€lawyer€as€aÏdispute€resolution€neutral.€€If,€however,€the€lawyerððs€service€as€a€neutral€will€be€materiallyÏadverse€to€a€former€client€and€the€dispute€is€substantially€related€to€the€former€representation,€theÏlawyer€must€afford€the€former€client€the€protections€of€Rule€1.9ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðConsents€in€Writingðð€€òòSeeóó€Rule€1.0(b)Ìð ðConsultationðð€€òòSeeóó€Rule€1.0(c)Ìð ðFirmðð€€òòSeeóó€Rule€1.0(d)Ìð ðKnowinglyðð€and€Knownðð€€òòSeeóó€Rule€1.0(f)Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Rule€1.0(g)ÌÓ  Óð ðSubstantiallyðð€€òòSeeóó€Rule€1.0(òòlóó)Çò òRULE€1.10ÌIMPUTED€DISQUALIFICATION:€GENERAL€RULEó óÌÓ  ÓÌ(a)à àExcept€as€permitted€by€paragraph€(c),€while€lawyers€are€associated€in€a€firm,€none€ofÏthem€shall€knowingly€represent€a€client€when€any€one€of€them€practicing€alone€would€beÏprohibited€from€doing€so€by€Rules€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€representedÏby€the€formerly€associated€lawyer€and€not€currently€represented€by€the€firm,€unless:ÌÌÒ  ÒÒ ° Ò(1)à àthe€matter€is€the€same€or€substantially€related€to€that€in€which€the€formerlyÏassociated€lawyer€represented€the€client;€andÌÌ(2)à àany€lawyer€remaining€in€the€firm€has€information€protected€by€Rules€1.6€andÏ1.9(c)€that€is€material€to€the€matter.ÌÒ ° ÒÒ ° Ò€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:ÌÌÒ  ÒÒ ° Ò(1)à àidentify€that€the€personally€disqualified€lawyer€is€prohibited€from€participating€inÏthe€representation€of€the€current€client;€andÌÒ ° ÒÒ ° Ò€ÌÒ  ÒÒ ° Ò(2)à àdetermine€that€no€lawyer€representing€the€current€client€has€acquired€anyÏinformation€from€the€personally€disqualified€lawyer€that€is€material€to€the€current€matterÏand€is€protected€by€Rule€1.9(c);€and€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(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;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(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.€ÌÒ ° ÒÒ ° ÒÌ(d)à àThe€procedures€set€forth€in€paragraph€(c)€may€not€be€used€to€avoid€imputedÏdisqualification€of€the€firm,€if€ÌÌÒ  ÒÒ ° Ò(1)à àthe€disqualified€lawyer€was€substantially€involved€in€the€representation€of€aÏformer€client;€andÌ(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€theÏfirm;€and€ÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(3)à àthe€proceeding€between€the€firmððs€current€client€and€the€lawyerððs€former€client€isÏstill€pending€at€the€time€the€lawyer€changes€firms.ÌÒ ° ÒÒ ° ÒÌ(e)à àA€disqualification€prescribed€by€this€Rule€may€be€waived€by€the€affected€client€or€formerÏclient€under€the€conditions€stated€in€Rule€1.7.ÌÌÓ  Óò òCOMMENTSó óÌÓ  ÓÌÓ  Óò òDefinition€of€ð ðFirmððó óÌÓ  ÓÌà 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€otherÏorganization,€or€in€a€legal€services€organization.€€òòSeeóó€Rule€1.0(d)€(defining€ð ðFirmðð€or€ð ðLaw€Firmðð).€ÏWhether€two€or€more€lawyers€constitute€a€firm€within€this€definition€can€depend€on€the€specificÏfacts.€€For€example,€two€practitioners€who€share€office€space€and€occasionally€consult€or€assistÏeach€other€ordinarily€would€not€be€regarded€as€constituting€a€firm.€€However,€if€they€presentÏthemselves€to€the€public€in€a€way€suggesting€that€they€are€a€firm€or€conduct€themselves€as€a€firm,Ïthey€should€be€regarded€as€a€firm€for€the€purposes€of€the€Rules.€€The€terms€of€any€formalÏagreement€between€associated€lawyers€are€relevant€in€determining€whether€they€are€a€firm,€as€isÏthe€fact€that€they€have€mutual€access€to€information€concerning€the€clients€they€serve.€ÏFurthermore,€it€is€relevant€in€doubtful€cases€to€consider€the€underlying€purpose€of€the€Rule€thatÏis€involved.€€A€group€of€lawyers€could€be€regarded€as€a€firm€for€purposes€of€the€rule€that€theÏsame€lawyer€should€not€represent€opposing€parties€in€litigation,€while€it€might€not€be€so€regardedÏfor€purposes€of€the€rule€that€information€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€subsidiaryÏor€an€affiliated€corporation,€as€well€as€the€corporation€by€which€the€members€of€the€departmentÏare€directly€employed.€€A€similar€question€can€arise€concerning€an€unincorporated€association€andÏits€local€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€aÏfirm,€but€not€necessarily€those€employed€in€separate€units.€€As€in€the€case€of€independentÏpractitioners,€whether€the€lawyers€should€be€treated€as€associated€with€each€other€can€depend€onÏthe€particular€rule€that€is€involved€and€on€the€specific€facts€of€the€situation.Ì€ÌÓ  Óò òPrinciples€of€Imputed€Disqualificationó óÌÓ  ÓÌà 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€inÏa€law€firm.€€Paragraph€(a)€operates€only€among€the€lawyers€currently€associated€in€a€firm.€€WhenÏa€lawyer€moves€from€one€firm€to€another,€the€situation€is€governed€by€paragraphs€(b),€(c),€andÏ(d).Ìò òÌÓ  ÓLawyers€Moving€Between€Firmsó óÌÓ  ÓÌà à[5]à àWhen€a€lawyer€who€is€associated€in€a€firm€leaves€the€firm,€the€question€of€whetherÏa€lawyer€should€undertake€representation€adverse€to€clients€of€the€former€firm€is€moreÏcomplicated.€€There€are€several€competing€considerations.€€First,€the€client€previouslyÏrepresented€by€the€former€firm€must€be€reasonably€assured€that€the€principle€of€loyalty€to€theÏclient€is€not€compromised€and€that€confidential€information€related€to€the€representation€will€notÏbe€used€to€the€clientððs€disadvantage.€€Second,€the€rule€should€not€be€cast€so€broadly€as€to€precludeÏother€persons€from€having€reasonable€choice€of€legal€counsel.€€Third,€the€rule€should€notÏunreasonably€hamper€lawyers€from€forming€new€associations€and€taking€on€new€clients€afterÏhaving€left€a€previous€association.€€In€this€connection,€it€should€be€recognized€that€today€manyÏlawyers€practice€in€firms,€that€many€lawyers€to€some€degree€limit€their€practice€to€one€field€orÏanother,€and€that€many€move€from€one€association€to€another€several€times€in€their€careers.€€If€theÏconcept€of€imputation€were€applied€with€unqualified€rigor,€the€result€would€be€radical€curtailmentÏof€the€opportunity€of€lawyers€to€move€from€one€practice€setting€to€another€and€of€theÏopportunity€of€clients€to€change€counsel.ÌÌà à[6]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€aÏclient€previously€represented€by€the€firm,€the€firm€is€no€longer€representing€the€client,€andÏlawyers€who€have€remained€in€the€firm€are€asked€to€undertake€a€representation€materially€adverseÏto€the€firmððs€former€client.€€If€the€new€matter€is€substantially€related€to€a€matter€in€which€the€firmÏpreviously€represented€the€client,€the€firm,€absent€the€former€clientððs€consent,€will€be€precludedÏby€paragraph€(a)€from€undertaking€the€representation€if€any€lawyer€remaining€in€the€firm€wouldÏbe€precluded€by€Rule€1.9(a)€from€doing€so€because€the€lawyer€had€participated€in€the€clientððsÏprior€representation.€€Alternatively,€paragraph€(b)€precludes€the€firm€from€undertaking€theÏrepresentation€if€any€lawyer€remaining€in€the€firm€has€information€protected€by€Rules€1.6€andÏ1.9(c)€that€is€material€to€the€matter.€€If,€on€the€other€hand,€no€remaining€lawyer€participated€in€theÏclientððs€representation€or€possessed€confidential€information,€the€firm€is€permitted€to€undertakeÏthe€representation€even€though€it€is€materially€adverse€to€the€former€client€in€a€substantiallyÏrelated€matter.€ÌÌà à[7]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€theÏnew€lawyerððs€former€firm.€€The€new€lawyer€may€be€personally€disqualified€from€participating€inÍthe€representation€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€protectÏthe€confidentiality€interests€of€the€person€being€represented€by€the€personally€disqualifiedÏlawyerððs€former€firm.€€ÌÌà à[8]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€inÏthe€firm€is€a€question€of€fact.€€Factors€to€be€considered€include€a€written€affirmation€by€theÏpersonally€disqualified€lawyer€and€the€lawyers€and€firm€personnel€handling€the€matter€in€questionÏthat€they€are€aware€of€and€will€abide€by€the€screening€procedures€implemented€by€the€firm;€theÏstructural€organization€of€the€law€firm€or€office;€the€likelihood€of€contact€between€the€personallyÏdisqualified€lawyer€and€the€lawyers€handling€the€matter€in€question;€and€the€existence€of€firmÏrules€and€a€filing€system€that€prevents€unauthorized€access€to€files€with€respect€to€the€matter€inÏquestion.€€Although€this€Rule€does€not€require€that€the€personally€disqualified€lawyer€beÏprohibited€from€sharing€in€any€fee€generated€by€the€representation€in€question,€such€a€prohibitionÏcan€be€considered€in€determining€the€effectiveness€of€the€screening€procedures€employed€by€theÏfirm.€€The€question€to€be€asked€in€each€case€is€whether€the€screening€mechanism€effectivelyÏreduces€to€an€acceptable€level€the€potential€for€misuse€of€information€related€to€the€representationÏof€the€personally€disqualified€lawyerððs€former€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€screeningÏmechanisms€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€avoidÏthe€impression€that€the€judiciary€favors€considerations€of€lawyer€mobility€over€those€of€clientÏconfidentiality.€€Consequently,€the€òòClinardóó€rule€continues€under€the€present€Rules.€€As€was€theÏcase€in€òòClinardóó,€this€narrow€exception€to€paragraph€(c)€will€vicariously€disqualify€the€law€firmÏonly€when€the€interests€of€a€client€of€that€firm€are€presently€and€directly€adverse€with€those€of€aÏperson€who€was€formerly€represented€in€substantial€part€by€the€disqualified€lawyer.ÌÌà à[10]à àWhere€a€lawyer€has€joined€a€private€firm€after€having€represented€the€government,Ïthe€situation€is€governed€by€Rule€1.11(a)€and€(b).€€Where€a€lawyer€represents€the€governmentÏafter€having€served€private€clients,€the€situation€is€governed€by€Rule€1.11(c)(1).€€The€individualÏlawyer€involved€is€bound€by€the€Rules€generally,€including€Rules€1.6,€1.7,€and€1.9(c).ÌÌÓ  Óò òDEFINITIONAL€CROSS„REFERENCESÌÓ  Óó óÌð ðFirmðð€and€ð ðLaw€Firmðð€€òòSeeóó€Rule€1.0(d)Ìð ðMaterialðð€and€ð ðMateriallyðð€€òòSeeóó€Rule€1.0(g)Ìð ðReasonablyðð€€òòSeeóó€Rule€1.0(i)ÌÓ  Óð ðSubstantiallyðð€€òòSeeóó€Rule€1.0(òòlóó)Çò òRULE€1.11ÌSUCCESSIVE€GOVERNMENT€AND€PRIVATE€EMPLOYMENTó óÌÓ  ÓÌ(a)à àExcept€as€law€may€otherwise€expressly€permit,€a€lawyer€shall€not€represent€a€privateÏclient€in€connection€with€a€matter€in€which€the€lawyer€participated€personally€and€substantiallyÏas€a€public€officer€or€employee,€unless€the€appropriate€government€agency€consents€in€writingÏafter€consultation.€€No€lawyer€in€a€firm€with€which€that€lawyer€is€associated€may€knowinglyÏundertake€or€continue€representation€in€such€a€matter€unless€both€the€personally€disqualifiedÏlawyer€and€the€lawyers€who€are€representing€the€client€in€the€matter€act€reasonably€to:ÌÌÒ  ÒÒ ° Ò(1)à àascertain€that€the€personally€disqualified€lawyer€is€prohibited€from€participating€inÏthe€representation€of€the€current€client;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(2)à àdetermine€that€no€lawyer€representing€the€client€has€acquired€any€materialÏconfidential€government€information€relating€to€the€matter;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(3)à àpromptly€implement€screening€procedures€to€effectively€prevent€the€flow€ofÏinformation€about€the€matter€between€the€personally€disqualified€lawyer€and€otherÏlawyers€in€the€firm;€andÌÒ ° ÒÒ ° ÒÌÒ  ÒÒ ° Ò(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€haveÏbeen€taken€to€comply€with€this€Rule.ÌÒ ° ÒÒ ° ÒÌ(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€aÏmatter€in€which€the€information€could€be€used€to€the€material€disadvantage€of€that€person.€€A€firmÏwith€which€that€lawyer€is€associated€may€undertake€or€continue€representation€in€the€matter€onlyÏif€both€the€personally€disqualified€lawyer€and€the€lawyers€who€are€representing€the€client€in€theÏmatter€comply€with€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:ÌÌÒ  ÒÒ ° Ò(1)à àparticipate€in€