2015 ABA MODEL RULES

CLIENT-LAWYER RELATIONSHIP

1.0 TerminologyBelief= person involved actually supposed the question in fact to be true. May be inferred from
circumstances. Confirmed in Writing= if not feasible to obtain or transmit the writing at the time the person gives
informed consent, the lawyer must obtain or transmit within a reasonable time thereafter. Know= actual
knowledge in fact may be inferred from circumstances. Firm= mutual access to informing concerning the clients
they serve. Fraud= does not include merely negligent representation or negligent failure to apprise another of
relevant information. Informed Consent= usually requires an affirmative response by personcannot assume
from silence

1.1 CompetenceA lawyer shall provide competent representation to a client. Competent representation
requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.
Legal Skill and Knowledge Requisites: look at the complexity and specialized nature of the matter
Required Proficiency: typically that of a general practitioner. A newly admitted lawyer can be as
competent as a practitioner with long experience. Association with a lawyer of established competence
in the field of competence in the field of question.
Level of Competence: can be achieved by reasonable preparation.
Emergency: a lawyer may give advice or assistance in a matter which the lawyer does not have the skill
ordinarily required, where it would be impractical to consult with another lawyer. Assistance should be
limited to what is necessary.
Retaining/Contracting other Lawyers: need to obtain informed consent from the client and must
reasonable believe that the other lawyers service will contribute to the representation the client. Should
inform the client about their respective responsibilities and allocations.
Maintain Competence: Do CLEs keep up to date with changing lawyers and technologies

1.2 Scope of Representation and Allocation of Authority Between Client and Lawyer: A) subject to c and d, a
lawyer shall abide by a clients decisions concerning the objectives of representation and as required by 1.4 shall
consult with the client as to the means by they are to be pursued. Lawyer can take action on behalf of client that
are impliedly authorized to carry out the representation. Lawyer shall abide by clients decision: whether to settle a
matter, in criminal cases whether to take plea, waive jury trial, and testify. B) lawyers representation is not an
endorsement of the clients political economic social or moral vies of the activities. C) a lawyer may limit the scope
of the representation if it is reasonable under the circumstances and the client gives informed consent, D) A lawyer
shall not counsel a client to engage or assist a client in conduct that the lawyer knows is criminal or fraudulent, but
a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or
assist a client to make a good faith effort to determine the validity, scope, meaning, or application of the law.
Means Used to accomplish OBJ>>Clients normally defer: to the special knowledge and skill of their
lawyer
Lawyers Defer to client: expenses to be incurred and concern for third parties that might be adversely
affected.

1.3 DiligenceA lawyer shall act with reasonable diligence and promptness in representing a client.
Lawyer is not bound: to press for every advantage that might be realized for the client.
Does not require: use of offensive tactics or preclude the treating of all persons involved in the legal
process with courtesy and respect.
Work Load: must be controlled so that each matter can be handled competently
Do NOT procrastinate: unreasonable delay, gives clients anxiety and undermines confidence in the
trustworthiness of the lawyer.
Carry through to conclusion.
Death, sole practitioners: might be required to designate another competent lawyer to review client files
and notify upon death.

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1.4 CommunicationA) a lawyer shall inform the client of any decision or circumstance with respect to which
client gave informed consent, reasonably consult with client about means by which to achieve objective, keep
client reasonably informed about status of matter, promptly comply with reasonable information requests, consult
with client about any relevant limitations on lawyers conduct, B) Shall explain a matter to the extent reasonably
necessary to permit the client to make informed decisions regarding the representation.
Have to tell client: about settlement offer
Sometimes not feasible: to tell and explain about everything i.e. like during litigation lawyer may need to
act.
Client should have sufficient information: to participate intelligently in the decision concerning the
objective of the representation and the means by which they are to be pursued.
With hold information: sometimes okay if client would react imprudentlyi.e. have psychologist
diagnosis and dr says would harm the client. BUT cannot withhold info to serve the lawyers own
interests.

1.5 FeesA) A lawyer shall not make an agreement or charge or collect an unreasonable fee or an unreasonable
amount for expenses. Factors to look at: time and labor, novelty, skill, fee customarily charged, amount of time
involved, results achieved, time limitations, nature and length or professional relations, experience, reputation,
and ability of lawyer or lawyer performing the services. B) Scope of the representation and basis of the rate must
be communicating to the client, preferable in writing, before or within a reasonable time after commencing
representation except when lawyer charges a regularly represented client the same rate. C) A fee may e
contingent on the outcome of the matter except in a matter in which a contingent fee is prohibited. Must be in
writing. Determine out the % everything. At conclusion, provide with statement about outcome and remittance.
D) cant have a fee arrangement for charge or collect 1) domestic relation, contingent upon securing divorce or
amount of alimony etc, 2) representing D in criminal case E) division of fees between lawyers who are not in the
same firm may be made if 1) division proportion to services performed by each lawyer, or the both assume joint
responsibility, client agrees to the arrangement, including the share each lawyer will receive, and 3) the fee is
reasonable.

1.6 Confidentiality of InformationA lawyer shall not reveal information relating to the representation of a client
unless the client gives informed consent, the disclosure is impliedly authorized in the order to carry out the
representation. B) lawyer may reveal info relation to the rep of the client to the extent necessary lawyer
reasonably believes necessary 1) to prevent reasonable certain death or substantial bodily harm, 2) prevent client
form committing fraud that is reasonable certain to result in substantial interests to financial interests or property
of another, 3) prevent, mitigate rectify subt injury to financial interests of another reasonably certain to result or
has resulted from clients commission of fraud/crime which have used lawyers services, 4) secure legal advice
about lawyers compliance with rules, 5) establish claim or defense on behalf of lawyer, 6) comply with other law or
court order 6) detect and resolve COI from lawyer change of employment, C) lawyer shall make reasonable efforts
to prevent the inadvertent or unauthorized disclosure of ,or unauthorized access to, information relating to the
representation of a client.

1.7 Conflict of InterestCurrent Clients---See Notes

1.8 Conflict of InterestCurrent Clients SPECIFIC RULES See Notes

1.9 Duties to Former ClientsA lawyer who has formerly represented a client in a matter shall not thereafter
represent another person in the same or substantially related matter in which that persons interests are
materially adverse to the interests of the formers client, unless the former client gives informed consent, confirmed
in writing. B) lawyer shall not knowingly represent a person in the same or substantially related matter in which A
FIRM which the lawyer was formerly associated had previously represented the client: 1) whose interests are
materially adverse to the client and 2) whom the lawyer had required protected info by 1.6 and 1.9. C) a lawyer
who has formerly rep a client in a matter who present or a former firm has represented a client in a matter shall
not thereafter: 1) use info from representation to disadvantage of former client, except info that has become
generally known, 2) reveal info relating to the represent except as rules permit.
Time: info acquired may be rendered obsolete by the passage of time.

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 If lawyer has access to all files: assumed privy to all information about the firms clients.

1.10 Imputation of Conflict of InterestGeneral RuleWhen lawyers are associated in a firm, none shall
knowingly represent a client when any one of them alone would be permitted to unless 1) based on person
interests and does not present a significant risk of materially limiting the representing the client, 2) prohibition is
based on 1.9 and arises out of dq lawyer association with prior form and dq lawyer is timely screened, and written
notice is promptly given to any affected clientallowing a statement of review, full description of procedures they
have in place, and gives certification of compliance with the rules and screening procedures. B) when lawyer has
terminated association with a firm, the firm is not prohibited thereafter from representing a person with interests
materially adverse to those clients represented by the formerly associated lawy unless 1) matter same or
substantially related to which formerly associated lawyer rep client, 2) any lawyer remaining in the firm has info
protected by 1.6 and 1.9 to the matter. C) DQ by the rule may be waived by the affected client under 1.7
conditions. D) the dq of lawyers associated in a firm with former or current government lawyers is governed by
rule 1.11

1.11 Special Conflict of Interest for Former and Current Government Officers and EmployeesLawyer who has
formerly served as a public officer or employee of government is subject to 1.9 and shall represent a client in
connection with a matter in which the lawyer participate personally and substantially as a public officer, unless
appropriative gvt agency gives informed consent in writing. B) when lawyer is dq from representation , no lawyer
in form may undertake or continue representation unless 1) dq lawyer is timely screened and 2) written notice is
promptly given to the appropriate gvt agency to enable it ascertain compliance with the provisions of this rule. C)
lawyer having info that is confidential gvt info, cannot represent a private client whose interests are adverse to
that person in a matter which the info could be used to material disadv of that person. Firm can take if lawyer is
screened. D) lawyer currently serving as public officer subject 1.17/1.9 and cant participate in matter which the
lawyer participated personally and substantiality while in private practice or non-gov employment, and cannot
negotiate for private employment with any person who is involved as a party or lawyer in mater which lawyer is
participating personally and substantially, except lawyer serving as law clerk.

1.12 Former Judge, Arbitrator, Mediator, or Other 3rd Party NeutralLawyer shall not represent anyone in
connection with a matter in which lawyer participated personally and substantially as a judge or other adjudicate
officer or law clerk to such person , unless all parties to proceeding give informed consent in writing. B) lawyer
shall not negotiate for employment with any person which is involved as party or lawyer for a party in a matter
which ht e lawyer is participating personally and substantially as judge or other officer. A lawyer as law clerk to
judge may negotiate employment with a party or lawyer involved in suit before judge, only have they notified
judge. C) If a lawyer is dq , no lawyer in firm which the lawyer is associated may knowingly undertake or continue
representation in the matter unless 1) timely screened from any participation, 2) written notice is promptly given to
the parties and any appropriate tribunal and D) an arbitrator selected as a partisan of a party in a multimember
arbitration panel is not prohibited from subsequently representing that party.

1.13 Organization as ClientA lawyer employed or retained by an organization represents the organization acting
through its duly authorized constituents. If lawyer knows that officer, employee or person with org is engaged or
intends to act or refused to act in a matter to representation is a VIOLATION of legal obligation to organization,
violation of law, or violation of law that reasonably might imputed to the organization and is likely to result in
substantial injury to the organ lawyer proceed reasonably as in the best interest of organization. REPORT UP THEN
OUT. 1.13 trumps 1.6 disclosures. Does not apply: to lawyer representation to investigate an alleged violation of
law or to defend the organization nor an officer from claims arising about violation of law. Can Dual Represent:
but need consent by an appropriate official of organization.
Constituents Communications: covered by1.6 but does that mean they are clients of the lawyer. Advise
them to get another lawyer if interests become conflicting, let them know your role.
Highest Authority: board of directors, or independent directors of a corporation.

1.14 Client with Diminished CapacityA) when a clients capacity to make adequate decisions about their
representation is diminished (because of minority, mental impairment or some other reason), the lawyer shall

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maintain a normal client relationship with the client B) When lawyer believes the person is at risk of substantial
physical, financial or other harm unless action is taken and cannot adequately act in the clients own interests,
lawyer may take reasonably necessary protective actionconsulting with individual or entities have ability to take
action to protect client (in some cases seeking guardian ad litem, conservator or guardian), C) Information relating
to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action
authorized under 1.6a to reveal information about the client, only to the extent necessary to protect clients
interests.
Protective Measures: i.e. consult family members
Diminished Capacity: clients ability to articulate reasoning leading to a decision, state of mind and ability
to appreciate consequences of a decision
Appointment of a Legal Rep: may be more expensive or traumatic for the client than the circumstances
requires.
Disclosure: could adversely affect client interests why protected by 1.6, but when taking protective
actions you have implied authority to make necessary disclosures.
Emergency: dont charge, should not act unless the lawyer reasonably believes that the person has no
other lawyer or person reasonably available. Only take actions necessary to maintain the status quo or
otherwise avoid imminent and irreparable harm.

1.15 Safekeeping PropertyA) lawyer shall hold property of clients and third partys separate from the lawyers
own property. Funds shall be kept in a separate account maintained in the state where office is or elsewhere with
consent. Other property shall be safeguarded. Complete records shall be kept by the lawyers for a period of five
years after the termination of the representation. B) Lawyer may deposit the lawyers own funds in a client trusts
account for the sole purpose of paying bank services charges on that account, but only in the amount necessary for
that purpose. C) Lawyer shall deposit in client trust accountlegal fees and expenses that have been paid in
advance, to be withdrawn by the lawyer only as fees are earned. D) Upon receiving funds or other property in
which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Lawyer shall
promptly deliver to the client and third person any funds they are entitled to receive. E) when in the course of
representation a lawyer is in possession of property in which 2 or more persons claims interests, the property shall
be kept separate by the lawyer until the dispute is resolved. Give out the stuff not in dispute.
Hold property: with care required of a professional fiduciary.Securities should be kept in a safe deposit
box.
Third Parties: might have a claim against specific fundshas to protect them against wrongful
interference by clientrefused to surrender property until the claims are resolved.

1.16 Declining or Terminating RepresentationA) lawyer shall not represent a client or withdraw where 1)
representation will result in violation of rules of PC, 2) lawyers physical or mental condition materially impairs the
lawyers ability to represent the client or 3) the lawyer is discharged. B) A lawyer may withdraw : can be
accomplished with material adverse effect on the client, client persists in action lawyer reasonably believes to be
fraud/crime, client has used lawyer services crime/fraud, client insists upon taking action that is repugnant or with
the lawyer has fundamental disagreement, client fails to full obligation with lawyer regarding services and has
been given warning, representation would result in an unreasonable financial burden on lawyer, other good cause
for withdraw C) Lawyer must comply with applicable law requiring notice to or permission of a tribunal when
termination a representation. When ordered by court to continue, lawyer should. D) Upon termination, lawyer
should take steps to extent reasonably practicable to protect client interests, giving reasonable notice to client,
allowing time for other counsel, giving over papers, refunding advance payments.
Withdrawal: cant reveal privileged info to judgejust state client demand to engage in unprofessional
conduct.
Terms of Agreement: i.e. not getting paid.

1.17 Sale of Law PracticeA lawyer or firm may sell or purchase a law practice, or an area of a law practice
including good will if: A) seller stops engaging in the private practice of law or in the area of practice that have
been sold (geographical) B) the entire practice is area is sold to one or more lawyers, C) the seller gives written
notice to each of the clients regarding 1) proposed sale 2) clients right to retain other counsel or take possession of

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the file 3) fact that clients consent to the transfer will be presumed if they dont take any action after 90 days. Fi
can t be given noticerep transferred to purchaser only on entry of order by ct having jx. D) the Fees charged shall
not be increased by reason of sale.
Return to private practice: as a result of unanticipated change in circumstances does not necessarily
result in a violation.
Lawyer can still: serve on legal entity that provides services to poor.
Negotiations: cant provide purchaser detailed info relating to representation until you get client consent.

1.18 Duties to Prospective ClientProspective Client: A person who consults lawyer about possibility of forming a
c-l relationship. Even when no c-l relationship ensues, lawyer who has learned info from prospective client shall
not use or reveal that info, except as 1.9 permits. Shall not represent a client with the interests materially adverse
to those of the prospect client in the same or substantially related matter if the lawyer received info from the
client that could be significantly harmful to that person in the matter. If lawyer is disqualified, no lawyer in the firm
may undertaking unless fulfill d. D) when the lawyer has received disqualifying information , representation is
permissible if 1) both affected client and prospective client have given informed consent in writing, 2) the lawyer
who received the info took reasonable measures to avoid exposure to more dq info than was reasonably necessary
to determine whether represent prospective client= and dq lawyer is properly screened given no fee from it , and
written notice is promptly given to prospective client.
Consultation occurs: if a lawyer through ad in any medium , requests or invites the submission of info
about potential representation without clear and understanding statements that limit lawyer obligations
and person provides info in response.
Consultation does not occur: If person provides info to lawyer in response to ad that merely describes
lawyers education, experience, areas of practice , legal information of general interest.
Imputation may be avoided: lawyer obtains the informed consent, confirmed in writing of both parties.
(CONSENTABLE).

COUNSELOR
2.1 AdvisorLawyer gives advice and can refer to other considerations including moral, economic, social, and
political factors.relevant to clients situation.
Have to inform client of unpleasant facts
Dont give purely technical legal advice even if ask forindicate more is involved than purely technical
legal considerations.
If consultation in other field needed, recommend.
Generally: dont give advice until asked forbut can initiate when doing so appears to be in the clients
best interest.

2.2 Intermediarydeleted

2.3 Evaluation for Use By Third Personslawyer can provide an evaluate of a matter affecting a client for the use
of someone other that the client, if the lawyer reasonably believes that making the evaluation is compatible with
other aspects of the lawyers relationship with the client.
Cant provide where lawyer knows or should know it will be materially adverse to clients interest UNLESS
informed consent.
Evaluation is not an investigation of a person with whom lawyer does not have client-lawyer relationship.
Evaluation still protected by 1.6 unless falls w/in exceptions
Terms can be limited, disclose limitations that a material to evaluation in report.
4.1 cannot make false statement of material fact/law
i.e. title of property, info for gvt agency
Auditors= look at lawyers responses to auditor requests and follow it.

2.4 Lawyer Serving as 3rd Party NeutralLawyer serves as a 3rd party neutral when assists 2 or more clients, who
are NOT clients to the lawyer reach a resolution of a dispute or other matter between them. MUST inform

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unrepresented parties that the lawyer is NOT REPRESENTING them. When lawyer knows or reasonably should
know of confusion, explain the differences.
i.e. Arbitrator, mediatorselected by parties or mandated by court.
Explain: No ACP Evidentiary Rule, not clients.
3rd party neutrals can be non-lawyers.
Subject to court rules and other codes of ethics
Lawyers can have conflict of interest of its if want to serve as representing a client in the same
matter.see 1.12, usually need all parties consent.
ADR= governed by Rules of Professional Conduct.tribunalcandor governed by 3.3
Generally, candor to third party neutral and others is governed by 4.4

ADVOCATE

3.1: Meritorious Claims and ContentionsA lawyer shall not bring or defend a proceeding or assert an issue
unless there is a basis in law and fact for doing so that is not frivolous (includes a good faith argument for
extension, modification reversal). BUT a lawyer for a defendant in criminal proceeding, or someone that could
result in incarceration may nevertheless defend the proceeding to require that every element of the case be
established.
Not Frivolous: merely because the facts have not first been fully substantiated or because lawyer expects
to develop vital evidence by discovery.
Required: lawyers to determine that they can make good faith argumentsnot friv even though lawyer
believes that clients position ultimately will not prevail
Action is Frivolous: lawyer is not able to make a good faith argument for an extension
Lawyers obligations are subordinate to federal and state constitutional law.

3.2: Expediting LitigationA lawyer shall make reasonable efforts to expedite litigate consistent with the interests
of the client.
Not proper for lawyer to routinely fail to expedite litigation solely for conveniences of its advocates.
Not Reasonable: if done for purpose for frustrating opposing partys attempt to obtain rightful redress or
repose
Test: whether competent lawyer acting in good faith would regard course of action as having some
substantial purpose other than delay.
Not legitimate interests: realizing financial or other benefits from otherwise improper delays.

3.3: Candor Toward the TribunalA) a lawyer shall not make a false statement of fact or law to a tribunal or fail
to correct a false statement of material fact or law previously made to the tribunal by the lawyer. Lawyer cannot
fail to disclose to the tribunal legal authority in the controlling jx known to the lawyer to be directly adverse to the
position of the client AND CANNOT offer evidence known to be false. If lawyer or w offered false evidence and
learn of it, lawyer has to take remedial measures, including if necessary disclosure to tribunal. (i.e. lawyer can
refuse to offer evidence other than testimony of D in a criminal matter, that lawyers believes to be false. B) Lawyer
or represents client in adj proceeding and knows person intends to or engages in criminal or fraudulent actions
related that that proceeding, shall take remedial measures including disclosure to tribunal if necessary. C) Duties
apply even if disclosing information protected by 1.6. D) in an ex parte proceeding lawyer shall inform the tribunal
of all material facts known to the lawyer that will enable tribunal to make informed decisions.
Advocate is responsible for pleadings: not required to have personal knowledge of the matters asserted
therein.
Lawyer can offer evidence: for the purpose of establishing its falsity.
Lawyer has to Know NOT just reasonably believe: A lawyers reasonable belief that evidence is false does
not preclude its presentation to the trier of fact.
Remedial Measures: Talk to client, advise client to correct false statements or evidence if not, withdraw,
if not enough might have to make disclosure to tribunal.
Time Limit: proceeding is concluded...it has been affirmed or the time for review has passed.

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3.4: Fairness to Opposing Party and CounselA lawyer shall not unlawfully obstruct another partys access to
evidence or unlawfully alter, destroy, or conceal a document or other material having potential evidentiary value.
(cant counsel or assist another ) B) shall not falsify evidence counsel or assist (i.e. cannot offer an inducement to a
witness that is prohibited by law) C) knowingly disobey an obligation under the rule of a tribunal, except for an
open refusal based on an assertion that no valid obligation exists. D) make a frivolous discovery request or fail to
make reasonably diligent efforts to comply with requests. E) In Trialallude to matters that the lawyer does not
reasonably believe is relevant or will not be supported by admissible evidence, assert personal knowledge of facts
in issue except when as a W, or state personal opinion as to just cause, credibility of w, or culpability of someone
including accused. F) request a person other than the client refrain from voluntarily giving relevant info to another
party unless 1) person is a relative or an employee or other agent of the client and 2) the lawyer reasonable
believes the persons interests will not be adversely affected by refraining from giving such information.
Want fair competition
Right to obtain evidence through discovery or subpoena
Not improper: pay witness expenses or to compensate expert witnesses as permitted by law.

3.5: Impartiality and Decorum of the TribunalA lawyer should not A) seek to influence judge juror or
prospective juror or other official by means prohibited by law B) communicate ex parte with such a person during
the proceeding unless authorized by court order C) communicate with a juror or prospective juror after discharge
of the jury if the 1) communication is prohibited by law/ct order 2) juror has made known to the lawyer a desire
not to communicate, 3) the communication involves misrepresentation, coercion, duress, or harassment, or D)
engage in conduct intended to disrupt a tribunal.
Improper influence: lot of criminal law punishments.
Yeah can communicate with jurors after discharged: unless it is prohibited.
Must refrain from abusive conduct: even if started by judge, judges default is no justification for similar
conduct.An advocate can protect the record for subsequent reserve and preserve professional integrity.

3.6: Trial Publicity A) A lawyer who is/has participated in investigation or litigation of a matter shall not make
extra judicial statements that lawyer knows will be disseminated publically and have a subst. risk of materially
prejudicing the proceeding. B) Lawyer may state: claim offense defense involved, identity of person (except when
prohibited by law), information contained in public record, investigation is in progress, scheduling or result of any
step in litigation, request for assistance in obtaining evidence, warning of danger for person likely to cause
substantial harm, CRIMINAL CASES= identity, residence, occupation and family status, info to aid in the
apprehension of the accused, the fact time and place of arrest, identity of investigating and arresting officers+
length of investigation, C) lawyer make a statement that reasonable lawyer would believe is required to protect
client from undue prejudicial effect of publicity not initiated by them..limited to info necessary to mitigate
adverse publicity. D) no lawyer associated in a firm or government agency shall make a statement prohibited in A.
Principles: fair trial and safeguarding right of free expression
Scope: limited to the people involved (Firm and associates)
Material likely to have prejudicial effect: character, credibility reputation of criminal party, plea of guilty
to lesser offense, performance or results of any examination, opinion as to the guilt or innocent of a D or
suspect, charged with crimeunless stipulation innocent into proven guilty.
Might be Okay: made in response to statements made publically to another partya public response is
required in order to avoid prejudice to the lawyers client.

3.7: Lawyer as a WitnessA) lawyer shall not act as an advocate at trial where the lawyer is likely to be a
necessary witness unless 1) testimony relates to an uncontested issue, 2) the testimony relates to nature/value of
legal services rendered in a case, 3) the disqualification of a lawyer would work substantial hardship on the client,
B) a lawyer may act as advocate in atrial in which another lawyer in the lawyers firm is likely to be called as a
witness unless prohibited by 1.7/1.9
Public Policy: jurors may be confused or misled by a lawyer serving as both advocated and W. W required
to testify on personal knowledge while advocate is expected to explain and comment on evidence.

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 Balancing Interests: client and the tribunal and opposing party, look at prejudice, or being misled.
Conflict of Interests: i.e. if there will be a substantial conflict between the testimony of the client and that
of the lawyer. If there is, the lawyer must secure clients informed consent in writing.

3.8: Special Responsibilities of a Prosecutorrefrain form prosecuting a charge knows not to be supported by
probable cause, make reasonable efforts to assure the accused advised of right and procedure for counsel, dont
obtain an unrepresented accused waiver of important pretrial rights, make a timely disclosure to the defense of all
evidence or info known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense
and to the tribunal of all unprivileged mitigating info known, not subpoena a lawyer in grand jury or ther criminal
proceeding to present evidence about past or present client unless reasonably believes 1) not protected from
disclosure by privilege, 2) evidence sought is essential to successful completion of ongoing prosecution, 3) no other
feasible alternative to obtain info, Refrain from machining extra judicial comments that have a substantial
likehoold of increasing public condemnation of the accused, take care to make sure people assisting them dont
talk either. G) when new, credible and material evidence comes about showing d did not commit offence: 1)
promptly disclose evidence, to jx, and d, take further investigation, make reasonable efforts to determine if d was
convicted of crime he did not commit, when knows by clear and convincing evidence that D was convicted of
something did not commit, seek to remedy the conviction.

3.9: Advocate in Non-adjudicative ProceedingsA lawyer representing a client before a legislative body or admin
agency in a non adjudicative proceeding shall disclose that the appearance is in a representative capacity and
confirm to other rules.
Rule only Applies when: a lawyer represents a client in connection with an official hearing or meeting of a
governmental agency or leg body to which the lawyer or client is presenting evidence or argument.
Does not Apply: rep of a client in a negotiation or other tr with a governmental agency or in connection
with an application for license. Does not apply to representative of a client in connection with an
investigation or examination of the clients affairs conducted by government investigators or examiners.

TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS

4.1 Truthfulness in Statements to OthersIn the course of representing a client, a lawyer shall not knowingly a)
make a false statement of material fact or law to a 3rd person OR b) fail to disclose a material fact when disclosure
is necessary to not assist a CRIMINAL/FRAUDLUENT act by client, unless disclosure is prohibited by 1.6
Lawyer generally has no affirmative duty to inform an opposing party of relevant facts.
Misrepresentation= affirm partially true misleading statements, lawyer knows to be false.
Statement of Fact= these are not SOF under negotiation= estimates of price or value placed on the
subject of the tr, partys intention as to an acceptable settlement of a claim, undisclosed principle
1.2d= lawyer is prohibited from counseling or assisting client in conduct that is criminal or fraudulent.
Lawyer should withdraw---sometimes disaffirm opinion, document, affirmation. Disclose unless
prohibited by 1.6

4.2 Communication with Person Represented by CounselIn representing a client, a lawyer shall not
communicate about the subject of the representation with a person the lawyer knows to be represented by
another lawyer in the matter, unless the lawyer has the consent of the OTHER lawyer or is AUTHORIZED BY LAW OR
CT ORDER to do so.
Why Rule? Protect against overreaching lawyers, interference by lawyers with client-lawyer relationship,
uncounselled disclosure of information.
Rule applies= even if represented person contacts and consents 1) only in circumstances where lawyer
knows person is in fact represented.lawyer cannot close eyes to the obvious
Rule does not prohibit= 1) communicating with represented person on matters outside the
representation, 2) clients can communicate directly with each other, lawyer is not prohibited from
advising client concerning a communication.
Not sure= seek court order

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 Represented Organization= prohibits the communication with a constituent of the organization who
supervises, directs, or regularly consents with the organizations lawyer. **Dont have to have consent of
organizations lawyer, his own counsel is good enough.

4.3 Dealing with Un-Represented Personin dealing on behalf of a client who is not represented by counel,
lawyer shall not state or imply that he is disinterested. When lawyer knows or should reasonably know that
unrepresented person misunderstands the lawyers role in the matter, lawyer shall make REASONABLE EFFORTS to
correct the misunderstanding. CANNOT GIVE LEGAL ADVICE to unrepresented, except advice to get a lawyer, if
potential conflict of interest with his client.
Explain Not disinterested: say have a client whose interests oppose the unrepresented person
Interests may be adverse vs interests not in conflict: may be adverse, cannot give advicedepends on
the experience and sophistication of the unrepresented person
Lawyer Can Negotiate Terms of a TR or Settle a Dispute with UR Person= lawyer has to explain
represents adverse party is not representing then, terms, prepare document, require the persons
signature, explain the lawyers own view of the meaning of the document.

4.4 Respect for Rights of 3rd PersonsA) In representing a client, lawyer shall not use means that have no
substantial purpose other than embarrass, delaying, or burdening third person, or use methods of obtaining
evidence that violate legal rights of such person. B) lawyer who receives a document or electronically stored info
relating to the representation of the lawyers client and knows or reasonably should know that the document or
electronically stored information was inadvertently sent shall promptly NOTIFY the sender.
3rd party: lawyer cant disregard their rights, even though subordinate to clients
Mistaken Email= notify sender to take precautionary measures.whether they have to take additional
steps is beyond rules. i.e. not open or return, is a matter of professional judgment.

LAW FIRMS AND ASSOCIATIONS

5.1: Responsibilities of Partners, Managers, and Supervisory LawyersA) a partner or someone who has similar
managerial authority in the firm shall make reasonable assurances that lawyers are confirming to the Rules of
Professional Conduct. B) Supervisory Authority of a lawyermake sure other lawyers conforming to the Rules of
Professional Conduct C) lawyer will be responsible for another lawyers violation of the Rules of PC if: lawyer
orders, ratifies, has knowledge of specific conduct.has direct supervisory authority over other lawyer, knows of
the conduct at a time when its consequences could have been avoided or mitigated but failed to take remedial
actions.
Includes: member of a partnership, shareholders of the law firm,
Establish: internal policies and procedures designed to provide reasonable assurance to all lawyers
comply with Rules.
Depend on Firm Structure and Nature of Practice: small firm, periodic review; large firm, more elaborate
measures such as referral to partner or manag lawyer
Apart from this and 8.4: lawyer does not have disciplinary liability for conduct of a partner, associate, or
subordinate.

5.2: Responsibilities of a Subordinate Lawyer: **lawyer is bound by RPC notwithstanding that they act at the
direction of another person. BUT a subordinate lawyer does not violate RPC if the lawyer acts in accordance with a
supervisory lawyers reasonable resolution of an arguable question of professional duty
What was Known: subordinate cant know of doc frivolous conduct
Supervisor Assumes Responsibility only if questionable, if clear cutthen subordinate should have known
and can be held responsible too

5.3: Responsibilities Regarding Non-Lawyer Assistance: Non lawyer employed, retained or associated with lawyer:
lawyer has to take reasonable efforts to ensure firm has measures making sure persons conduct is compatible with
the professional obligation of the lawyer. B) Supervisory authority= make sure that persons conduct is compatible

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with professional obligations C) lawyer shall be responsible for the conduct of the person if: 1) lawyer orders or
with knowledge of the specific conduct, ratifies, the conduct involved , 2) lawyer is a partner or has comparable
man authority and knows consequences can be avoided but fails to take remedial action.
Give Assistants: appropriate instruction and supervision concerning their workie. Obligation not to
disclose information and you are responsible for their work product.
Use non lawyers to assist rendering legal service to client : i.e. investigative or paraprofessional
service.document management company for complex litigation.
Client directs the selection of Particular non-lawyer service provide: lawyer should ordinarily agree with
the client concerning the allocation of responsibility for monitory between client and lawyer.

5.4: Professional Independence of a LawyerLawyer shall not share legal fees with a non lawyer except that may:
provide for payment to lawyers estate after death, lawyer who purchases practice of deceased, include non-lawyer
employees in compensation or retirement plan, share court awarded fees with a non profit organization. B) lawyer
cannot form a partnership with a non-lawyer if any of the activities consist of the practice of law. C) lawyer cannot
permit a person who employs, recommends, or pays lawyer to render legal services for another to direct or
regulate the lawyers professional judgment in rendering legal services. D) lawyer shall not practice with or in the
form of a professional corp or association authorized to practice law if non lawyer owns any interests except a
fiduciary representative, nonlawyer is a corporate director or officer, non lawyer has right to direct or control the
professional judgment of the lawyer
Public Policy: protect the lawyers professional independence and judgment.

5.5 Unauthorized Practice of Law; Multi-jurisdictional Practice of Law: A) lawyer shall not practice law in a jx in
violation of the legal rules in that jx or assist other in doing so, B) Lawyer who is not admitted to practice in that JX
shall not 1) establish and office 2) have continuous or systematic presence in the jx or 3) hold out to the public or
represented admitted to practice law there. C) A lawyer admitted in another jx and not disbarred or suspended
can practice on a temporary basis : 1) assist another lawyer, 2) authorized by tribunal in that jx 3) are in or
potentially in arbitration, mediation. D) lawyer admitted in another jx or a foreign jx may provide legal services
through an office other C/S presence : 1) In house working for employer or 2) services lawyer authorized to
provide by federal law. E) foreign lawyer must be a member in good standing
Practice of Law: varies by jx
C/S: can have presence even if not physical there
Services may be temporary: even though lawyer provides services in this jx on a recurring basis, of for an
extended period for time, as when lawyer representing a client in a singly lengthy negotiation or litigation
D1: in houseproviding legal services to client or its organizational affiliates.
Sometimes have to inform client: that lawyer is not licensed to practice law in that jx.

5.6 Restrictions on Rights to PracticeLawyer shall not participate in offering or making A) partnership
employment or other types of agreement that restricts the right of the lawyer to practice after termination of the
relationship, except as an agreement concerning benefits upon retirement and B) an agreement in which a
restriction on the lawyers right to practice is part of the settlement of a client controversy.
Those Agreements: Limit their professional autonomy and the freedom of clients to choose a lawyer.
Prohibit a lawyer: from agreeing not to represent other persons in connection with settling a claim on
behalf of a client.
Does not apply to : prohibit restrictions that may be included in the sale of a law practice.

5.7 Responsibilities Regarding Law Related ServicesA) lawyer shall be subject to Rules of PC for law related
services if they are provided 1) by the lawyer in circumstances that are not distinct form the lawyers provision of
legal services to clients OR 2) by and entity controlled by the lawyer individually if the lawyer fails to take
reasonable measures to assure that a person obtaining the law related services knows that the services are not
legal services and that protections of ACP does not exist. B) Term law related services might reasonably be
performed in conjunction with and substance are related to the provision of legal services, and that are not
prohibited as unauthorized practice of law when provided by a non lawyer.

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 Non Lawyer Services: potential for ethical problems. Person who performed fails to understand that that
they are not getting protection of client confidences, prohibitions against representation of persons with
conflicting interests. RPC applies only to lawyer conduct.
Distinct Entities: want to make sure that your client knows the differences.
Burden on Lawyer: to show that the lawyer has taken reasonable measures under the circumstances to
communicate the desired understanding.
Sometimes: law and law related services may be so closely entwined that they cannot be distinguished
from each other and the disclosure rule cannot be met.

PUBLIC SERVICE

6.1 Voluntary Pro Bono Public ServiceEvery lawyer has a professional responsibility to provide legal services to
those unable to pay. Should aspire to get 50 hours of pro bono work year. Substantially majority of the hours
should be with fee or without expectations of fee to persons of 1) limited means or 2) charitable, gvt, religious
organization. B) Lawyers can provide additional services at 1) no fee or subst reduced fee to protect civil rights
etc, 2) legal services at substantially reduced fee to persons of limited means, 3) participation in activities for
improving the law, legal system and legal professors. ***lawyers should voluntarily contribute financial support to
organizations that provide legal services to persons of limited means.
State: can require higher or lower number than 50
Lawyers Intent: Not pro bono if anticipated a fee and then dont collect it. BUT is pro bono awarded
statutory fee in case originally accepted as prop bonolawyer should give appropriate portion of such
fees to organization or projects that benefit people.
PAY $$ Instead: sometimes its not feasible engage in pro bono work so they, provide financial support.
Lawyers should support $$: free government assistance programs.
Not intended to be enforced= through the disciplinary process.

6.2 Accepting AppointmentA lawyer shall not seek to avoid appointment by a tribunal to represent a person
except for good cause, such as: 1) Representation will violate rules of PR, 2) is likely to result in an unreasonable
financial burden on the law OR 3) client or the cause is so Repugnant to the lawyer as to be likely to impair the
client-lawyer relationship or the lawyers ability to represent the client.
Lawyers still have to accept: good deal of unpopular matters or indigent/unpopular clients.
Good Reason= you cant handle the matter competently i.e. impose a financial sacrifice so great as to be
unjust.
Appointed Lawyer has SAME OBLIGATIONS: to the client as retained counsel, including the obligations of
loyal and confidentiality and is subjects to the same limitations of the client-lawyer relationship---such as
refraining form assisting the client in violation of the rules.

6.3 Membership in Legal Services OrganizationsLawyer may serve as the director, officer, or member of a legal
service organization apart from the law firm in which the lawyer practices---even though the organization serves
people have interests adverse to a client of the lay. But the lawyer shall not knowingly participate in a decision or
action of the organization that 1) would be incompatible with lawyers obligations to a client under 1.7 or 2) would
have a material adverse effect on the representation of a client of the organization whose interests are adverse to
a client of the lawyer.
Lawyer does not have Client-Lawyer Relationship: with persons served by the organizations.
If necessary, reassure clients of the organization that their reps will not be affected by conflicting loyalties
of a member of the board.

6.4 Law Reform Activities Affecting Client InterestsLawyer may serve as a director, officer, or member of an
organization involved in the reform of law or tis administration notwithstanding that the reform may affect
interests of a client of the lawyer. ***When the lawyer knows that the interests of a client may be materially
benefited by a decision, lawyer shall disclose that fact to ORG but not need to identify the client.

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 Lawyers involved in organizations seeking reform: do not have a client-lawyer relationships with the
organizations.
Be mindful of obligations to clients: under Rules like 1.7has to protect the integrity of the organizations
by disclosing.

6.5 Non Profit and Court Annexed Limited Legal Services ProgramsA lawyer who under the auspices of a
program sponsored by a nonprofit organization or court, that provides short term limited legal services to a client
without the expectations (by client and lawyer) that lawyer will provide continue representation 1) is not subject
to 1.7 and 1.9 unless the lawyer knows that representation of client involves a conflict of interest And 2) is not
subject to 1.10 unless the lawyer knows that another lawyer or the law firm is disqualified by 1.7 or 1.9a.
Client Lawyer relationship Is established: no expectation that it will continue beyond the limited
representation. Not feasible for the lawyer to systematically screen for COI that is generally required.
Must secure clients informed consent to limited scope
If lawyer wants to continue relationship: then the 1.7, 1.9 and 1.10 become applicable.

INFORMATION ABOUT LEGAL SERVICES

7.1 Communications Concerning a Lawyers ServicesA lawyer shall not make a false or misleading
communication about the lawyer or the lawyers services. A communication is false or misleading if it contains a
material misrepresentation of fact or law, or omits a fact necessary to make the statement of a whole considered
misleading.
Truthful Statements: that are misleading are prohibited. Misleading if it omits a fact necessary to be not
materially misleading or if there is a subst likelihood that it will lead a reasonable person to formulate a
specific conclusion about lawyer/services for which there is no reasonable factual foundation.
Lawyer Achievement: might be necessary to include and appropriate disclaimer or qualifying language if
it would mislead the public.

7.2 AdvertisingA) subject to 7.1 and 7.3 a lawyer may advertise through written, recorded or electronic
communication including the public media. B) Lawyer shall not give anything of value to a person for
recommending the lawyers services except : 1) pay costs of ads 2, Pay usual charges of legal service plan or
qualified referral plan, 3) pay for a law practice, 4) refer clients to another lawyer or nonlawyer pursuant to an
agreement (agreement is not exclusive and client is informed of the agreement) C)any communication shall
include the name and office address of at least one lawyer or the law firm responsible for its content.
Concerns: overreaching or misleading practices
Some jx have extensive prohibitions against television and other forms of advertising no real time
electronic exchange.
Can compensate: employees such as publicists or pay other for generating client leads. But not if they
implies a reasonable impression that is recommending the lawyer.
Legal Service Plan: pre paid or group plan that assist people who seek to secure legal representation.
Referral service holds it out to the public as one. Usually contains some safeguards
Reciprocal ATTY AGREEMENTS: are permissible. Should be periodically review and not of infinite
duration.

7.3 Solicitation of ClientsA) a lawyer shall not by in person, live telephone, or real time electronic contact solicit
professional employment when a significant motive for the lawyer doing so is pecuniary gain unless 1) is a lawyer
or 2) family, close person, or prior professional relationship with the lawyer. B) Lawyer shall not solicit professional
employment form a prospective client by any communication means if 1) the target has made known to the
lawyer a desire not to be solicited or 2) the solicitation involves coercion, duress or harassment. C) Every written
recorded or electronic communication from a lawyer soliciting professional employment from anyone known to
be in need of legal services shall include the words Advertising material on the outside of envelope at the
beginning g and end unless fall under exception category. D) lawyer many participate with a prepared or group

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legal service plan operate by an organization not owned or operated by the lawyer that uses in person or
telephone contact to solicit membership
Solicitation: targeted communication initiated by the lawyer directed to a specific person offering legal
services.
Not solicitation: directed to the general public i.e. billboard, internet banner advertisement
In Person/Live: abuse people feel undue influence, intimidation, overreaching
Not Direct: you have a record, not subject to dispute and 3rd party scrutiny
Not likely to engage in abusive practice: with people you know and your family
Violation= If you dont get a response you cant keep sending.
Legal Service Plan= cannot be owned or directed by any law or law firm that participates in the plan.

7.4 Communications of Fields of Practice and SpecializationA) a lawyer may communicate the fact that the
lawyer doe or does not practice in particular fields of law, B) A lawyer admitted to engage in patent practice before
US can use Patent Atty, C) same with Admiralty practice, D) lawyer shall not state or imply that a lawyer is certified
as a specialist in a particular field unless 1) has been certified as a specialist by an organization that has been
approved by an appropriate state authority or accredited ABA, 2) the name of the certifying organization is clearly
identified in the communication.
Give Public Access to Information: Name of the certifying organization must be included in any
communication regarding the certification.

7.5 Firm Names and LetterheadsA) lawyer shall not use a firm name, letterhead, or other professional
designation that violates 7.1. Trade name can be used if it does not imply a connection with a government agency
or with a public or charitable legal services organization, B) A law firm with offices in more than one jx may use the
same name but has to identify which lawyers in the offices of the firm are not licensed to practice in the jx in
which the office is located, C) the name of lawyer holding a public office shall not be used in the name of a law firm
or in communications on its behalf-during any substantial period in which the lawyer is not actively and regularly
practicing with the firm. D) Lawyers may state or imply that they practice in a partnership or other organization
when that is the fact.
Trade Names: As long as it is not misleading
Geographic Location: might need a disclaimer to prevent a misleading application.
Misleading: to use the name of a lawyer not associated with the firm, or a predecessor, of the name of a
non-lawyer.
Lawyers sharing office facilities: but are not associated with each other in a law firm cannot put
themselves out there as Smith and Jones, as if they are practicing law together in a firm

7.6 Political Contributions to Obtain Government Legal Engagements or Appointments by JudgesA lawyer or
law firm shall not accept a government legal engagement or an appointment by a judge if the lawyer/firm makes a
political contribution or solicits a political contribution for the purpose of obtaining or being considered for that
type of legal engagement or appointment.
Public Policy: undermines the integrity of the profession, dont really know why a person was appointed
Political Contribution: any gift, subscription, loan, advance or deposit of something of valuable made to a
candidate, pols party, or campaign to influence or provide financial support. Initiatives and referendum
elections are not includedalso does not include uncompensated services.
Test: Wouldnt have given political contribution, but for the desire to be considered for the legal
engagement or appointment by a judge
Factors: other political, social, or economic interest, or because of an existing personal, family, or
professional relationship with a candidate.

MAINTAINING THE INTEGRITY OF THE PROFESSION

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8.1 Bar Admission and Disciplinary MattersAn applicant for admission to the bar or lawyer in connection with a
bar application or disciplinary matter shall not A) make a false statement of material fact or B) fail do disclose a
fact necessary to correct a misapphrension known to have arisen, or fail to respond to a lawful demand for
information from admission, except does not require disclosure protected by Rule 1.6
Separate Offense: lawyer make a misrepresentation or omission in connection with disciplinary
investigation of lawyers conduct
5th Amendment applies: use it openly and not as a justification for failing to comply with rule.
Lawyer Representing person here: governed by 1.6 and 3.3

8.2 Judicial and Legal OfficialsA) a lawyer shall not make a statement that the lawyer knows to be false or with
reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer,
or public legal officer, or a candidate for election or appointment to judicial or legal officer. B) lawyer who is a
candidate for judicial office shall comply with provisions of judicial code
Assessments by lawyers are relied upon: when considering people for reelectionsexpress honest and
candid opinions to improve the administration of justice. False statements undermine pubic confidence in
the administration of justice.
Lawyers are encouraged to : continue traditional efforts to defend cts and judges unduly criticized.

8.3 Reporting Professional Misconductlawyer that knows that another lawyer or a judge has committed
violation of rules or judicial conduct rules, that raises a SUBSTANTIAL question as to lawyers honesty,
trustworthiness, fitness (judges fitness) shall inform the appropriate authority. C) Rule does not require disclosure
of violation learned in Lawyers Assistance Programs (LAP)
Self-Regulation: requires that members of the profession initiation disciplinary investigationsespecially
where victim is unlike to discover the offense.
Measure of Judgment: dont have to report every violation of the rules only those with substantial
seriousness of the possible offenses and not the quantum of evidence of which the lawyer is aware.
Report should be Made to: bar disciplinary agency, unless some agency is more appropriate.
Why Allow LAP? Encourages lawyers and judges to seek treatment, prevent additional harm to their
professional careers and injury to clients and the public.

8.4 MisconductIts a professional misconduct of lawyers to 1) violate or attempt violate Rules of professional
conduct or assist or induce another to do so, 2) commit criminal act reflects adversely on honesty, trustworthiness,
or fitness as a lawyer, 3) engage in conduct involving dishonesty fraud, deceit, misrepresentation, 4) engage in
conduct that is prejudicial to the administration of justice, 5) state or imply an ability to influence improperly a
government agency or official or to achieve results by that means, 6) knowingly assist judge or judicial officer in
conduct that is a violation
Professionally Answerable: only those offenses that indicate lack of characteristics relevant for the
practice of law
Lawyer should not discriminate: on the basis of sex religion race etc.actions are prejudicial to
administration of justice
Lawyer may refuse to comply with obligation imposed by law upon good faith belief that no valid
obligation exists.
Lawyers abuse of public offer or private trust: suggest an inability to fulfill professional roles of lawyers.

8.5 Disciplinary Authority: Choice of LawA) Disciplinary AuthorityLawyer admitted to practice in this jx is
subject to the disciplinary authority of this jx, regardless of where the conduct occurred. Lawyer not admitted to
practice in this jx is also subject to DA in this jx if lawyer provides or offers to provde legal services in this jx. Can be
subject to DA in both this jx and another. B) Choice of Law1) conduct in connection with a matter before a
tribunal, the rules of the jx in which tribunal sits govern, unless the rules of the tribunal provide otherwise, 2) For
ANY OTHER CONDUCT, the rules of the jx in which the lawyers conduct occurred of if the where the predominant
effect of the conduct was. ***EXCEPTION= lawyers is not subject to discipline if the lawyers conduct conforms to
the rules of A jx in which the lawyer reasonably believes the predominant effect of the lawyers conduct will occur.
Want lawyer to be subject to one rules of profess Conduct

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 Conduct in Anticipation Before a Tribunal, predominant effect could be where the conduct occure,
where the tribunal sits, or in another jx.
For the Exception: Show a written agreement between lawyer and client that specified a particular
agreement to show lawyers reasonable belief.
Subject To: Choice of law applies to lawyers engaged in transnational practice unless International law,
treaties or other agreements in the affected jx provide otherwise.

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