American Bar Association (ABA) Model Rules of Professional Conduct

ABA Model Rules of Professional Conduct
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American Bar Association (ABA) Model Rules of Professional Conduct
(rev. January 3, 2008)
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Model Rules of Professional Conduct

Preface
For more than ninety years, the American Bar Association has provided leadership in legal ethics and pro essional responsi!ility through the adoption o pro essional standards that serve as models o the regulatory la" governing the legal pro ession. #n August 2$, %&08, the Association adopted the original 'anons o (ro essional )thics. *hese "ere !ased principally on the 'ode o )thics adopted !y the Ala!ama Bar Association in %88$, "hich in turn had !een !orro"ed largely rom the lectures o Judge +eorge ,hars"ood, pu!lished in %8-. as Professional Ethics, and rom the i ty resolutions included in /avid 0o man1s A Course of Legal Study (2d ed. %832). (iecemeal amendments to the 'anons occasionally ollo"ed. 3n %&%3, the ,tanding 'ommittee on (ro essional )thics o the American Bar Association "as esta!lished to 4eep the Association in ormed a!out state and local !ar activities concerning pro essional ethics. 3n %&%& the name o the 'ommittee "as changed to the 'ommittee on (ro essional )thics and +rievances5 its role "as e6panded in %&22 to include issuing opinions 7concerning pro essional conduct, and particularly concerning the application o the tenets o ethics thereto.7 3n %&-8 the 'ommittee on (ro essional )thics and +rievances "as separated into t"o committees8 a 'ommittee on (ro essional +rievances, "ith authority to revie" issues o pro essional misconduct, and a 'ommittee on (ro essional )thics "ith responsi!ility to e6press its opinion concerning proper pro essional and 9udicial conduct. *he 'ommittee on (ro essional +rievances "as discontinued in %&$%. *he name o the 'ommittee on (ro essional )thics "as changed to the 'ommittee on )thics and (ro essional :esponsi!ility in %&$% and remains so. 3n %&2., at the re;uest o (resident <e"is F. (o"ell Jr., the 0ouse o /elegates o the American Bar Association created a ,pecial 'ommittee on )valuation o )thical ,tandards (the 7=right 'ommittee7) to assess "hether changes should !e made in the then>current 'anons o (ro essional )thics. 3n response, the 'ommittee produced the ?odel 'ode o (ro essional :esponsi!ility. *he ?odel 'ode "as adopted !y the 0ouse o /elegates on August %2, %&2&, and su!se;uently !y the vast ma9ority o state and ederal 9urisdictions. 3n %&$$, the American Bar Association created the 'ommission on )valuation o (ro essional ,tandards to underta4e a comprehensive rethin4ing o the ethical premises and pro!lems o the legal pro ession. @pon evaluating the ?odel 'ode and determining
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that amendment o the 'ode "ould not achieve a comprehensive statement o the la" governing the legal pro ession, the 'ommission commenced a si6>year study and dra ting process that produced the ?odel :ules o (ro essional 'onduct. *he ?odel :ules "ere adopted !y the 0ouse o /elegates o the American Bar Association on August 2, %&83. At the time this edition "ent to press, all !ut eight o the 9urisdictions had adopted ne" pro essional standards !ased on these ?odel :ules. Bet"een %&83 and 2002, the 0ouse amended the :ules and 'omments on ourteen di erent occasions. 3n %&&$, the American Bar Association created the 'ommission on )valuation o the :ules o (ro essional 'onduct (7)thics 2000 'ommission7) to comprehensively revie" the ?odel :ules and propose amendments as deemed appropriate. #n Fe!ruary -, 2002 the 0ouse o /elegates adopted a series o amendments that arose rom this process. 3n 2000, the American Bar Association created the 'ommission on ?ulti9urisdictional (ractice to research, study and report on the application o current ethics and !ar admission rules to the multi9urisdictional practice o la". #n August %2, 2002 the 0ouse o /elegates adopted amendments to :ules -.- and 8.- as a result o the 'ommission1s "or4 and recommendations. *he American Bar Association continues to pursue its goal o assuring the highest standards o pro essional competence and ethical conduct. *he ,tanding 'ommittee on )thics and (ro essional :esponsi!ility, charged "ith interpreting the pro essional standards o the Association and recommending appropriate amendments and clari ications, issues opinions interpreting the ?odel :ules o (ro essional 'onduct and the 'ode o Judicial 'onduct. *he opinions o the 'ommittee are pu!lished !y the American Bar Association in a series o hard !ound volumes containing opinions rom %&2. through %&&8 and the current loose>lea su!scription service, Recent Ethics Opinions, starting in %&&&. :e;uests that the 'ommittee issue opinions on particular ;uestions o pro essional and 9udicial conduct should !e directed to the American Bar Association, 'enter or (ro essional :esponsi!ility, -.% Aorth Fair!an4s 'ourt, 'hicago, 3llinois 202%%
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Commission on Evaluation of Professional tandards C!A"R# "$%R&'(C%"&$

*he 'ommission on )valuation o (ro essional ,tandards "as appointed in the summer o %&$$ !y ormer ABA (resident =illiam B. ,pann, Jr. 'haired !y :o!ert J. Buta4 until his death in early %&83, the 'ommission "as charged "ith evaluating "hether e6isting standards o pro essional conduct provided comprehensive and consistent guidance or resolving the increasingly comple6 ethical pro!lems in the practice o la". For the most part, the 'ommission loo4ed to the ormer ABA ?odel 'ode o (ro essional :esponsi!ility, "hich served as a model or the ma9ority o state ethics codes. *he 'ommission also re erred to opinions o the ABA ,tanding 'ommittee on )thics and (ro essional :esponsi!ility, as "ell as to decisions o the @nited ,tates ,upreme 'ourt and o state supreme courts. A ter thought ul study, the 'ommission concluded that piecemeal amendment o the ?odel 'ode "ould not su iciently clari y the pro essionCs ethical responsi!ilities in light o changed conditions. *he 'ommission there ore commenced a dra ting process that produced numerous dra ts, elicited voluminous comment, and launched an unprecedented de!ate on the ethics o the legal pro ession. #n January 30, %&80, the 'ommission presented its initial suggestions to the !ar in the orm o a /iscussion /ra t o the proposed ?odel :ules o (ro essional 'onduct. *he /iscussion /ra t "as su!9ect to the "idest possi!le dissemination and interested parties "ere urged to o er comments and suggestions. (u!lic hearings "ere held around the country to provide orums or e6pression o vie"s on the dra t. 3n the year ollo"ing the last o these pu!lic hearings, the 'ommission conducted a painsta4ing analysis o the su!mitted comments and attempted to integrate into the dra t those "hich seemed consistent "ith its underlying philosophy. *he product o this analysis and integration "as presented on ?ay 3%, %&8% as the proposed Final /ra t o the ?odel :ules o (ro essional 'onduct. *his proposed Final /ra t "as su!mitted in t"o ormats. *he irst ormat, consisting o !lac4letter :ules and accompanying 'omments in the soDcalled restatement ormat, "as su!mitted "ith the 'ommissionCs recommendation that it !e adopted. *he alternative ormat "as patterned a ter the ?odel 'ode and consisted o 'anons, )thical 'onsiderations, and /isciplinary :ules. 3n Fe!ruary %&82, the 0ouse o /elegates !y su!stantial ma9ority approved the restatement ormat o the ?odel :ules. *he proposed Final /ra t "as su!mitted to the 0ouse o /elegates or de!ate and approval at the %&82 Annual ?eeting o the Association in ,an Francisco. ?any
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organiEations and interested parties o ered their comments in the orm o proposed amendments to the Final /ra t. 3n the time allotted on its agenda, ho"ever, the 0ouse de!ated only proposed amendments to :ule %.-. 'onsideration o the remainder o the document "as de erred until the %&83 ?idyear ?eeting in Ae" #rleans. *he proposed Final /ra t, as amended !y the 0ouse in ,an Francisco, "as reprinted in the Aovem!er %&82 issue o the ABA Journal. At the %&83 ?idyear ?eeting the 0ouse resumed consideration o the Final /ra t. A ter t"o days o o ten vigorous de!ate, the 0ouse completed its revie" o the proposed amendments to the !lac4letter :ules. ?any amendments, particularly in the area o con identiality, "ere adopted. /e!ate on a (ream!le, ,cope, *erminology and 'omments, re"ritten to re lect the Ae" #rleans amendments, "as de erred until the %&83 Annual ?eeting in Atlanta, +eorgia. #n ?arch %%, %&83, the te6t o the !lac4letter rules as approved !y the 0ouse in Fe!ruary, together "ith the proposed (ream!le, ,cope, *erminology and 'omments, "as circulated to mem!ers o the 0ouse, ,ection and 'ommittee chairmen, and all other interested parties. *he te6t o the :ules re lected the 9oint e orts o the 'ommission and the 0ouse /ra ting 'ommittee to incorporate the changes approved !y the 0ouse and to ensure stylistic continuity and uni ormity. :ecipients o the dra t "ere again urged to su!mit comments in the orm o proposed amendments. *he 0ouse 'ommittees on /ra ting and :ules and 'alendar met on ?ay 23, %&83 to consider all o the proposed amendments that had !een su!mitted in response to this dra t. 3n addition, discussions "ere held among concerned parties in an e ort to reach accommodation o the various positions. #n July %%, %&83, the inal version o the ?odel :ules "as again circulated. *he 0ouse o /elegates commenced de!ate on the proposed (ream!le, ,cope, *erminology and 'omments on August 2, %&83. A ter our hours o de!ate, the 0ouse completed its consideration o all the proposed amendments and, upon motion o the 'ommission, the 0ouse voted to adopt the ?odel :ules o (ro essional 'onduct, together "ith the ancillary material as amended. *he tas4 o the 'ommission had ended and it "as discharged "ith than4s. *hroughout the dra ting process, active participants included not only the mem!ers o the 'ommission !ut also the ,ections and 'ommittees o the American Bar Association and national, state and local !ar organiEations. *he "or4 o the 'ommission "as su!9ect to virtually continuous scrutiny !y academicians, practicing la"yers, mem!ers o the press, and the 9udiciary. 'onse;uently, every provision o the ?odel :ules re lects the thought ul consideration and hard "or4 o many dedicated pro essionals. Because o their input, the ?odel :ules are truly national in derivation. *he Association can ta4e
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immense pride in its continued demonstration o leadership in the area o pro essional responsi!ility. *he ?odel :ules o (ro essional 'onduct are intended to serve as a national rame"or4 or implementation o standards o pro essional conduct. Although the 'ommission endeavored to harmoniEe and accommodate the vie"s o all the participants, no set o national standards that spea4s to such a diverse constituency as the legal pro ession can resolve each issue to the complete satis action o every a ected party. @ndou!tedly there "ill !e those "ho ta4e issue "ith one or another o the :ulesC provisions. 3ndeed, such dissent rom individual provisions is e6pected. And the ?odel :ules, li4e all model legislation, "ill !e su!9ect to modi ication at the level o local implementation. Fie"ed as a "hole, ho"ever, the ?odel :ules represent a responsi!le approach to the ethical practice o la" and are consistent "ith pro essional o!ligations imposed !y other la", such as constitutional, corporate, tort, iduciary and agency la". 3 should not end this report "ithout spea4ing o the 'ommissionCs de!t to many people "ho have aided us in our deli!erations, and have devoted time, energy and good"ill to the advancement o our "or4 over the last si6 years. 3t "ould pro!a!ly !e impossi!le to name each o the particular persons "hose help "as signi icant to us, and it surely "ould !e un ortunate i the name o anyone "ere omitted rom the list. =e are, and shall remain, deeply grate ul to the literally hundreds o people "ho aided us "ith "elcome and productive suggestions. =e thin4 the !ar should !e grate ul to each o them, and to our deceased mem!ers, Alan Barth o the /istrict o 'olum!ia, "hom "e hardly had time to 4no"5 Bill ,pann, "ho !ecame a mem!er a ter the conclusion o his presidential term5 and our original chairman, Bo! Buta4. *he long "or4 o the 'ommission and its resulting ne" codi ication o the ethical rules o practice demonstrate, it is su!mitted, the commitment o the American la"yer to his or her pro ession and to its achievement o the highest standards. Ro*ert +, Meserve e-tem*er 1./3
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Commission on Evaluation of t1e Rules of Professional Conduct (2Et1ics 23332) C1air#s "ntroduction
3n mid>%&&$, ABA (resident Jerome J. ,hestac4, his immediate predecessor, A. <ee 'ooper, and his successor, (hilip ,. Anderson had the vision to esta!lish the 7)thics 20007 'ommission. *hese three leaders persuaded the ABA Board o +overnors that the ?odel :ules adopted !y the ABA 0ouse o /elegates in %&83 needed comprehensive revie" and some revision, and this pro9ect "as launched. *hough some might have thought it premature to reopen the ?odel :ules to such a rigorous general reassessment a ter only %. years, the evaluation process has proven that the ABA leadership "as correct. #ne o the primary reasons !ehind the decision to revisit the ?odel :ules "as the gro"ing disparity in state ethics codes. =hile a large ma9ority o states and the /istrict o 'olum!ia had adopted some version o the ?odel :ules (then 3&, no" .2), there "ere many signi icant di erences among the state versions that resulted in an undesira!le lac4 o uni ormity > a pro!lem that had !een e6acer!ated !y the appro6imately 30 amendments to the ?odel :ules !et"een %&83 and %&&$. A e" states had elected to retain some version o the %&2& ?odel 'ode o (ro essional :esponsi!ility, and 'ali ornia remained committed to an entirely separate system o la"yer regulation. But it "as not only the patch"or4 pattern o state regulation that motivated the ABA leaders o %&&$ to ta4e this action. *here "ere also ne" issues and ;uestions raised !y the in luence that technological developments "ere having on the delivery o legal services. *he e6plosive dynamics o modern la" practice and the anticipated developments in the uture o the legal pro ession lent a sense o urgency as "ell as a su!stantive dimension to the pro9ect. *hese developments "ere underscored !y the "or4 then under"ay on the American <a" 3nstituteCs :estatement o the <a" +overning <a"yers. *here "as also a strong countervailing sense that there "as much to !e valued in the e6isting concepts and articulation o the ?odel :ules. *he 'ommission concluded early on that these valua!le aspects o the :ules should not !e lost or put at ris4 in our revision e ort. As a result, the 'ommission set a!out to !e comprehensive, !ut at the same time conservative, and to recommend change only "here necessary. 3n !alancing the need to preserve the good "ith the need or improvement, "e "ere mind ul o *homas
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Je erson1s "ords o nearly %8- years ago, in a letter concerning the Firginia 'onstitution, that 7moderate imper ections had !etter !e !orne "ith5 !ecause, "hen once 4no"n, "e accommodate ourselves to them, and ind practical means o correcting their ill e ects.7 *hus, "e retained the !asic architecture o the ?odel :ules. =e also retained the primary disciplinary unction o the :ules, resisting the temptation to preach aspirationally a!out 7!est practices7 or pro essionalism concepts. Falua!le as the pro ession might ind such guidance, it "ould not have > and should not !e misperceived as having > a regulatory dimension. =e "ere, ho"ever, al"ays conscious o the educational role o the ?odel :ules. Finally, "e tried to 4eep our changes to a minimum8 "hen a particular provision "as ound not to !e 7!ro4en7 "e did not try to 7 i67 it. )ven so, as the reader "ill note, the 'ommission ended up ma4ing a large num!er o changes8 some are relatively innocuous and nonsu!stantive, in the nature o editorial or stylistic changes5 others are su!stantive !ut not particularly controversial5 and a e" are !oth su!stantive and controversial. *he deli!erations o the 'ommission did not ta4e place in a vacuum and our determinations are not !eing pronounced ex cathedra. :ather, they are products o thorough research, scholarly analysis and thought ul consideration. # e;ual importance, they have !een in luenced !y the vie"s o practitioners, scholars, other mem!ers o the legal pro ession and the pu!lic. All these constituencies have had continual access to and considera!le > and proper > in luence upon the deli!erations o the 'ommission throughout this process. 3 must pause to underscore the openness o our process. =e held over -0 days o meetings, all o "hich "ere open, and %0 pu!lic hearings at regular intervals over a our and one>hal year period. *here "ere a large num!er o interested o!servers at our meetings, many o "hom "ere mem!ers o our Advisory 'ouncil o 2-0>plus persons, to o er comments and suggestions. *hose o!servations "ere very help ul and in luential in shaping the :eport. #ur pu!lic discussion dra ts, minutes and report "ere availa!le on our "e!site or the "orld to see and comment upon. As a conse;uence, "e received an enormous num!er o e6cellent comments and suggestions, many o "hich "ere adopted in the ormulation o our report. ?oreover, "e encouraged state and local !ar associations, ABA sections and divisions, other pro essional organiEations and the 9udiciary to appoint specially designated committees to "or4 "ith and counsel the 'ommission. *his e ort "as success ul, and the 'ommission !ene itted signi icantly rom the considered vie"s o these groups.
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3n heeding the counsel o these advisors, "e "ere constantly mind ul o su!stantial and high>velocity changes in the legal pro ession, particularly over the past decade. *hese changes have !een highlighted !y increased pu!lic scrutiny o la"yers and an a"areness o their in luential role in the ormation and implementation o pu!lic policy5 persistent concerns a!out la"yer honesty, candor and civility5 e6ternal competitive and technological pressures on the legal pro ession5 internal pressures on la"> irm organiEation and management raised !y sheer siEe, as "ell as specialiEation and la"yer mo!ility5 9urisdictional and governance issues such as multidisciplinary and multi9urisdictional practice5 special concerns o la"yers in nontraditional practice settings, such as government la"yers and in>house counsel5 and the need to enhance pu!lic trust and con idence in the legal pro ession. At the end o the day, our goal "as to develop a set o :ules that are comprehensi!le to the pu!lic and provide clear guidance to the practitioner. #ur desire "as to preserve all that is valua!le and enduring a!out the e6isting ?odel :ules, "hile at the same time adapting them to the realities o modern la" practice and the limits o pro essional discipline. =e !elieve our product is a !alanced !lend o traditional precepts and or"ard>loo4ing provisions that are responsive to modern developments. #ur process has !een thorough, painsta4ing, open, scholarly, o!9ective and collegial. 3t is impossi!le here to go into detail a!out the changes proposed !y the 'ommission. *he changes recommended !y the 'ommission clari ied and strengthened a la"yer1s duty to communicate "ith the client5 clari ied and strengthened a la"yer1s duty to clients in certain speci ic pro!lem areas5 responded to the changing organiEation and structure o modern la" practice5 responded to ne" issues and ;uestions raised !y the in luence that technological developments are having on the delivery o legal services5 clari ied e6isting rules to provide !etter guidance and e6planation to la"yers5 clari ied and strengthened a la"yer1s o!ligations to the tri!unal and to the 9ustice system5 responded to the need or changes in the delivery o legal services to lo" and middle income persons5 and increased protection o third parties. *he ABA 0ouse o /elegates !egan consideration o the 'ommission1s :eport at the August 200% Annual ?eeting in 'hicago and completed its revie" at the Fe!ruary 2002 ?idyear ?eeting in (hiladelphia. At the August 2002 Annual ?eeting in =ashington, /.'., the ABA 0ouse o /elegates considered and adopted additional amendments to the ?odel :ules sponsored !y the ABA 'ommission on ?ulti9urisdictional (ractice and the ABA ,tanding 'ommittee on )thics and (ro essional :esponsi!ility. As state supreme courts consider implementation o these ne"ly revised rules, it is our ervent hope that the goal o uni ormity "ill !e the guiding !eacon.
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3n closing, the 'ommission e6presses its gratitude to the la" irm o /rin4er Biddle G :eath, "hose generous contri!ution helped ma4e possi!le the continued, invalua!le support o the 'ommission1s 'hie :eporter. 3 also "ant to e6press personally my gratitude to and admiration or my colleagues. *he chemistry, good "ill, good humor, serious purpose, collegiality and hard "or4 o the 'ommission mem!ers, :eporters and ABA sta has !een e6traordinary. *he pro ession and the pu!lic have !een enriched !eyond measure !y their e orts. 3t has !een a pleasure and a privilege or me to "or4 "ith all o them. E, $orman 4ease5 August 2332
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PREAMB6E7 A 6A+8ER# RE P&$ "B"6"%"E

H%I A la"yer, as a mem!er o the legal pro ession, is a representative o clients, an o icer o the legal system and a pu!lic citiEen having special responsi!ility or the ;uality o 9ustice. H2I As a representative o clients, a la"yer per orms various unctions. As advisor, a la"yer provides a client "ith an in ormed understanding o the client1s legal rights and o!ligations and e6plains their practical implications. As advocate, a la"yer Eealously asserts the client1s position under the rules o the adversary system. As negotiator, a la"yer see4s a result advantageous to the client !ut consistent "ith re;uirements o honest dealings "ith others. As an evaluator, a la"yer acts !y e6amining a client1s legal a airs and reporting a!out them to the client or to others. H3I 3n addition to these representational unctions, a la"yer may serve as a third>party neutral, a nonrepresentational role helping the parties to resolve a dispute or other matter. ,ome o these :ules apply directly to la"yers "ho are or have served as third>party neutrals. ,ee, e.g., :ules %.%2 and 2... 3n addition, there are :ules that apply to la"yers "ho are not active in the practice o la" or to practicing la"yers even "hen they are acting in a nonpro essional capacity. For e6ample, a la"yer "ho commits raud in the conduct o a !usiness is su!9ect to discipline or engaging in conduct involving dishonesty, raud, deceit or misrepresentation. ,ee :ule 8... H.I 3n all pro essional unctions a la"yer should !e competent, prompt and diligent. A la"yer should maintain communication "ith a client concerning the representation. A la"yer should 4eep in con idence in ormation relating to representation o a client e6cept so ar as disclosure is re;uired or permitted !y the :ules o (ro essional 'onduct or other la". H-I A la"yer1s conduct should con orm to the re;uirements o the la", !oth in pro essional service to clients and in the la"yer1s !usiness and personal a airs. A la"yer should use the la"1s procedures only or legitimate purposes and not to harass or intimidate others. A la"yer should demonstrate respect or the legal system and or those "ho serve it, including 9udges, other la"yers and pu!lic o icials. =hile it is a la"yer1s duty, "hen necessary, to challenge the rectitude o o icial action, it is also a la"yer1s duty to uphold legal process. H2I As a pu!lic citiEen, a la"yer should see4 improvement o the la", access to the legal system, the administration o 9ustice and the ;uality o service rendered !y the legal pro ession. As a mem!er o a learned pro ession, a la"yer should cultivate 4no"ledge o
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the la" !eyond its use or clients, employ that 4no"ledge in re orm o the la" and "or4 to strengthen legal education. 3n addition, a la"yer should urther the pu!lic1s understanding o and con idence in the rule o la" and the 9ustice system !ecause legal institutions in a constitutional democracy depend on popular participation and support to maintain their authority. A la"yer should !e mind ul o de iciencies in the administration o 9ustice and o the act that the poor, and sometimes persons "ho are not poor, cannot a ord ade;uate legal assistance. *here ore, all la"yers should devote pro essional time and resources and use civic in luence to ensure e;ual access to our system o 9ustice or all those "ho !ecause o economic or social !arriers cannot a ord or secure ade;uate legal counsel. A la"yer should aid the legal pro ession in pursuing these o!9ectives and should help the !ar regulate itsel in the pu!lic interest. H$I ?any o a la"yer1s pro essional responsi!ilities are prescri!ed in the (ro essional 'onduct, as "ell as su!stantive and procedural la". 0o"ever, a also guided !y personal conscience and the appro!ation o pro essional peers. should strive to attain the highest level o s4ill, to improve the la" and pro ession and to e6empli y the legal pro ession1s ideals o pu!lic service. :ules o la"yer is A la"yer the legal
H8I A la"yer1s responsi!ilities as a representative o clients, an o icer o the legal system and a pu!lic citiEen are usually harmonious. *hus, "hen an opposing party is "ell represented, a la"yer can !e a Eealous advocate on !ehal o a client and at the same time assume that 9ustice is !eing done. ,o also, a la"yer can !e sure that preserving client con idences ordinarily serves the pu!lic interest !ecause people are more li4ely to see4 legal advice, and there!y heed their legal o!ligations, "hen they 4no" their communications "ill !e private. H&I 3n the nature o la" practice, ho"ever, con licting responsi!ilities are encountered. Firtually all di icult ethical pro!lems arise rom con lict !et"een a la"yer1s responsi!ilities to clients, to the legal system and to the la"yer1s o"n interest in remaining an ethical person "hile earning a satis actory living. *he :ules o (ro essional 'onduct o ten prescri!e terms or resolving such con licts. =ithin the rame"or4 o these :ules, ho"ever, many di icult issues o pro essional discretion can arise. ,uch issues must !e resolved through the e6ercise o sensitive pro essional and moral 9udgment guided !y the !asic principles underlying the :ules. *hese principles include the la"yer1s o!ligation Eealously to protect and pursue a client1s legitimate interests, "ithin the !ounds o the la", "hile maintaining a pro essional, courteous and civil attitude to"ard all persons involved in the legal system. H%0I *he legal pro ession is largely sel >governing. Although other pro essions also have !een granted po"ers o sel >government, the legal pro ession is uni;ue in this respect !ecause o the close relationship !et"een the pro ession and the processes o government
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and la" en orcement. *his connection is mani ested in the act that ultimate authority over the legal pro ession is vested largely in the courts. H%%I *o the e6tent that la"yers meet the o!ligations o their pro essional calling, the occasion or government regulation is o!viated. ,el >regulation also helps maintain the legal pro ession1s independence rom government domination. An independent legal pro ession is an important orce in preserving government under la", or a!use o legal authority is more readily challenged !y a pro ession "hose mem!ers are not dependent on government or the right to practice. H%2I *he legal pro ession1s relative autonomy carries "ith it special responsi!ilities o sel >government. *he pro ession has a responsi!ility to assure that its regulations are conceived in the pu!lic interest and not in urtherance o parochial or sel >interested concerns o the !ar. )very la"yer is responsi!le or o!servance o the :ules o (ro essional 'onduct. A la"yer should also aid in securing their o!servance !y other la"yers. Aeglect o these responsi!ilities compromises the independence o the pro ession and the pu!lic interest "hich it serves. H%3I <a"yers play a vital role in the preservation o society. *he ul illment o this role re;uires an understanding !y la"yers o their relationship to our legal system. *he :ules o (ro essional 'onduct, "hen properly applied, serve to de ine that relationship. C&PE H%.I *he :ules o (ro essional 'onduct are rules o reason. *hey should !e interpreted "ith re erence to the purposes o legal representation and o the la" itsel . ,ome o the :ules are imperatives, cast in the terms 7shall7 or 7shall not.7 *hese de ine proper conduct or purposes o pro essional discipline. #thers, generally cast in the term 7may,7 are permissive and de ine areas under the :ules in "hich the la"yer has discretion to e6ercise pro essional 9udgment. Ao disciplinary action should !e ta4en "hen the la"yer chooses not to act or acts "ithin the !ounds o such discretion. #ther :ules de ine the nature o relationships !et"een the la"yer and others. *he :ules are thus partly o!ligatory and disciplinary and partly constitutive and descriptive in that they de ine a la"yer1s pro essional role. ?any o the 'omments use the term 7should.7 'omments do not add o!ligations to the :ules !ut provide guidance or practicing in compliance "ith the :ules. H%-I *he :ules presuppose a larger legal conte6t shaping the la"yer1s role. *hat conte6t includes court rules and statutes relating to matters o licensure, la"s de ining speci ic o!ligations o la"yers and su!stantive and procedural la" in general. *he 'omments are sometimes used to alert la"yers to their responsi!ilities under such other la".
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H%2I 'ompliance "ith the :ules, as "ith all la" in an open society, depends primarily upon understanding and voluntary compliance, secondarily upon rein orcement !y peer and pu!lic opinion and inally, "hen necessary, upon en orcement through disciplinary proceedings. *he :ules do not, ho"ever, e6haust the moral and ethical considerations that should in orm a la"yer, or no "orth"hile human activity can !e completely de ined !y legal rules. *he :ules simply provide a rame"or4 or the ethical practice o la". H%$I Furthermore, or purposes o determining the la"yer1s authority and responsi!ility, principles o su!stantive la" e6ternal to these :ules determine "hether a client>la"yer relationship e6ists. ?ost o the duties lo"ing rom the client>la"yer relationship attach only a ter the client has re;uested the la"yer to render legal services and the la"yer has agreed to do so. But there are some duties, such as that o con identiality under :ule %.2, that attach "hen the la"yer agrees to consider "hether a client>la"yer relationship shall !e esta!lished. ,ee :ule %.%8. =hether a client>la"yer relationship e6ists or any speci ic purpose can depend on the circumstances and may !e a ;uestion o act. H%8I @nder various legal provisions, including constitutional, statutory and common la", the responsi!ilities o government la"yers may include authority concerning legal matters that ordinarily reposes in the client in private client>la"yer relationships. For e6ample, a la"yer or a government agency may have authority on !ehal o the government to decide upon settlement or "hether to appeal rom an adverse 9udgment. ,uch authority in various respects is generally vested in the attorney general and the state1s attorney in state government, and their ederal counterparts, and the same may !e true o other government la" o icers. Also, la"yers under the supervision o these o icers may !e authoriEed to represent several government agencies in intragovernmental legal controversies in circumstances "here a private la"yer could not represent multiple private clients. *hese :ules do not a!rogate any such authority. H%&I Failure to comply "ith an o!ligation or prohi!ition imposed !y a :ule is a !asis or invo4ing the disciplinary process. *he :ules presuppose that disciplinary assessment o a la"yer1s conduct "ill !e made on the !asis o the acts and circumstances as they e6isted at the time o the conduct in ;uestion and in recognition o the act that a la"yer o ten has to act upon uncertain or incomplete evidence o the situation. ?oreover, the :ules presuppose that "hether or not discipline should !e imposed or a violation, and the severity o a sanction, depend on all the circumstances, such as the "ill ulness and seriousness o the violation, e6tenuating actors and "hether there have !een previous violations. H20I Fiolation o a :ule should not itsel give rise to a cause o action against a la"yer nor should it create any presumption in such a case that a legal duty has !een !reached. 3n addition, violation o a :ule does not necessarily "arrant any other nondisciplinary
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remedy, such as dis;uali ication o a la"yer in pending litigation. *he :ules are designed to provide guidance to la"yers and to provide a structure or regulating conduct through disciplinary agencies. *hey are not designed to !e a !asis or civil lia!ility. Furthermore, the purpose o the :ules can !e su!verted "hen they are invo4ed !y opposing parties as procedural "eapons. *he act that a :ule is a 9ust !asis or a la"yer1s sel >assessment, or or sanctioning a la"yer under the administration o a disciplinary authority, does not imply that an antagonist in a collateral proceeding or transaction has standing to see4 en orcement o the :ule. Aevertheless, since the :ules do esta!lish standards o conduct !y la"yers, a la"yer1s violation o a :ule may !e evidence o !reach o the applica!le standard o conduct. H2%I *he 'omment accompanying each :ule e6plains and illustrates the meaning and purpose o the :ule. *he (ream!le and this note on ,cope provide general orientation. *he 'omments are intended as guides to interpretation, !ut the te6t o each :ule is authoritative.
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Rules :ule %.0 *erminology Client96a:5er Relations1i:ule %.% 'ompetence :ule %.2 ,cope o :epresentation and Allocation o Authority Bet"een 'lient and <a"yer :ule %.3 /iligence :ule %.. 'ommunications :ule %.Fees :ule %.2 'on identiality o 3n ormation :ule %.$ 'on lict o 3nterest8 'urrent 'lients :ule %.8 'on lict o 3nterest8 'urrent 'lients8 ,peci ic :ules :ule %.& /uties to Former 'lients :ule %.%0 3mputation o 'on licts o 3nterest8 +eneral :ule :ule %.%% ,pecial 'on licts o 3nterest or Former and 'urrent +overnment # icers and )mployees :ule %.%2 Former Judge, Ar!itrator, ?ediator or #ther *hird>(arty Aeutral :ule %.%3 #rganiEation as 'lient :ule %.%. 'lient "ith /iminished 'apacity :ule %.%- ,a e4eeping (roperty :ule %.%2 /eclining or *erminating :epresentation :ule %.%$ ,ale o <a" (ractice :ule %.%8 /uties to (rospective 'lient Counselor :ule 2.% :ule 2.2 :ule 2.3 :ule 2.. Advisor (/eleted) )valuation or @se !y *hird (ersons <a"yer ,erving as *hird>(arty Aeutral Advocate :ule 3.% :ule 3.2 :ule 3.3 :ule 3.. ?eritorious 'laims and 'ontentions )6pediting <itigation 'andor to"ard the *ri!unal Fairness to #pposing (arty and 'ounsel
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:ule 3.:ule 3.2 :ule 3.$ :ule 3.8 :ule 3.&
3mpartiality and /ecorum o the *ri!unal *rial (u!licity <a"yer as =itness ,pecial :esponsi!ilities o a (rosecutor Advocate in Aonad9udicative (roceedings %ransactions :it1 Persons &t1er %1an Clients
:ule ..% :ule ..2 :ule ..3 :ule ...
*ruth ulness in ,tatements to #thers 'ommunication "ith (erson :epresented !y 'ounsel /ealing "ith @nrepresented (erson :espect or :ights o *hird (ersons Law Firms and Associations
:ule -.% :ule -.2 :ule -.3 :ule -.. :ule -.:ule -.2 :ule -.$
:esponsi!ilities o a (artner or ,upervisory <a"yer :esponsi!ilities o a ,u!ordinate <a"yer :esponsi!ilities :egarding Aonla"yer Assistant (ro essional 3ndependence o a <a"yer @nauthoriEed (ractice o <a"5 ?ulti9urisdictional (racticeo <a" :estrictions on :ights to (ractice :esponsi!ilities :egarding <a">related ,ervices Pu*lic ervice
:ule 2.% :ule 2.2 :ule 2.3 :ule 2.. :ule 2.-
Foluntary (ro Bono (u!lico ,ervice Accepting Appointments ?em!ership in <egal ,ervices #rganiEation <a" :e orm Activities A ecting 'lient 3nterests Aonpro it and 'ourt Anne6ed <imited <egal ,ervices (rograms "nformation about Legal Services
:ule $.% :ule $.2 :ule $.3 :ule $.. :ule $.:ule $.2 Judges
'ommunication 'oncerning a <a"yer1s ,ervices Advertising /irect 'ontact "ith (rospective 'lients 'ommunication o Fields o (ractice and ,pecialiEation Firm Aames and <etterhead (olitical 'ontri!utions to #!tain <egal )ngagements or Appointments !y
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Maintaining t1e "ntegrit5 of t1e Profession :ule 8.% :ule 8.2 :ule 8.3 :ule 8.. :ule 8.Bar Admission and /isciplinary ?atters Judicial and <egal # icials :eporting (ro essional ?isconduct ?isconduct /isciplinary Authority5 'hoice o <a"
,u!9ect ?atter 3nde6
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Client96a:5er Relations1iRule 1,3 %erminolog5

(a) 7Belie 7 or 7!elieves7 denotes that the person involved actually supposed the act in ;uestion to !e true. A person1s !elie may !e in erred rom circumstances. (!) 7'on irmed in "riting,7 "hen used in re erence to the in ormed consent o a person, denotes in ormed consent that is given in "riting !y the person or a "riting that a la"yer promptly transmits to the person con irming an oral in ormed consent. ,ee paragraph (e) or the de inition o 7in ormed consent.7 3 it is not easi!le to o!tain or transmit the "riting at the time the person gives in ormed consent, then the la"yer must o!tain or transmit it "ithin a reasona!le time therea ter. (c) 7Firm7 or 7la" irm7 denotes a la"yer or la"yers in a la" partnership, pro essional corporation, sole proprietorship or other association authoriEed to practice la"5 or la"yers employed in a legal services organiEation or the legal department o a corporation or other organiEation. (d) 7Fraud7 or 7 raudulent7 denotes conduct that is raudulent under the su!stantive or procedural la" o the applica!le 9urisdiction and has a purpose to deceive. (e) 73n ormed consent7 denotes the agreement !y a person to a proposed course o conduct a ter the la"yer has communicated ade;uate in ormation and e6planation a!out the material ris4s o and reasona!ly availa!le alternatives to the proposed course o conduct. ( ) 7Bno"ingly,7 74no"n,7 or 74no"s7 denotes actual 4no"ledge o the act in ;uestion. A person1s 4no"ledge may !e in erred rom circumstances. (g) 7(artner7 denotes a mem!er o a partnership, a shareholder in a la" irm organiEed as a pro essional corporation, or a mem!er o an association authoriEed to practice la". (h) 7:easona!le7 or 7reasona!ly7 "hen used in relation to conduct !y a la"yer denotes the conduct o a reasona!ly prudent and competent la"yer. (i) 7:easona!le !elie 7 or 7reasona!ly !elieves7 "hen used in re erence to a la"yer denotes that the la"yer !elieves the matter in ;uestion and that the circumstances are such that the !elie is reasona!le.
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(9) 7:easona!ly should 4no"7 "hen used in re erence to a la"yer denotes that a la"yer o reasona!le prudence and competence "ould ascertain the matter in ;uestion. (4) 7,creened7 denotes the isolation o a la"yer rom any participation in a matter through the timely imposition o procedures "ithin a irm that are reasona!ly ade;uate under the circumstances to protect in ormation that the isolated la"yer is o!ligated to protect under these :ules or other la". (l) 7,u!stantial7 "hen used in re erence to degree or e6tent denotes a material matter o clear and "eighty importance. (m) 7*ri!unal7 denotes a court, an ar!itrator in a !inding ar!itration proceeding or a legislative !ody, administrative agency or other !ody acting in an ad9udicative capacity. A legislative !ody, administrative agency or other !ody acts in an ad9udicative capacity "hen a neutral o icial, a ter the presentation o evidence or legal argument !y a party or parties, "ill render a !inding legal 9udgment directly a ecting a party1s interests in a particular matter. (n) 7=riting7 or 7"ritten7 denotes a tangi!le or electronic record o a communication or representation, including hand"riting, type"riting, printing, photostating, photography, audio or videorecording and e>mail. A 7signed7 "riting includes an electronic sound, sym!ol or process attached to or logically associated "ith a "riting and e6ecuted or adopted !y a person "ith the intent to sign the "riting.
Rule 1,1 Com-etence

A la"yer shall provide competent representation to a client. 'ompetent representation re;uires the legal 4no"ledge, s4ill, thoroughness and preparation reasona!ly necessary or the representation.
Rule 1,2 co-e of Re-resentation And Allocation &f Aut1orit5 Bet:een Client And 6a:5er
(a) ,u!9ect to paragraphs (c) and (d), a la"yer shall a!ide !y a client1s decisions concerning the o!9ectives o representation and, as re;uired !y :ule %.., shall consult "ith the client as to the means !y "hich they are to !e pursued. A la"yer may ta4e such action on !ehal o the client as is impliedly authoriEed to carry out the representation. A la"yer shall a!ide !y a client1s decision "hether to settle a matter. 3n a criminal case, the la"yer shall a!ide !y the client1s decision, a ter consultation "ith the la"yer, as to a plea to !e entered, "hether to "aive 9ury trial and "hether the client "ill testi y.
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(!) A la"yer1s representation o a client, including representation !y appointment, does not constitute an endorsement o the client1s political, economic, social or moral vie"s or activities. (c) A la"yer may limit the scope o the representation i the limitation is reasona!le under the circumstances and the client gives in ormed consent. (d) A la"yer shall not counsel a client to engage, or assist a client, in conduct that the la"yer 4no"s is criminal or raudulent, !ut a la"yer may discuss the legal conse;uences o any proposed course o conduct "ith a client and may counsel or assist a client to ma4e a good aith e ort to determine the validity, scope, meaning or application o the la".
Rule 1,3 'iligence

A la"yer shall act "ith reasona!le diligence and promptness in representing a client.
Rule 1,4 Communication

(a) A la"yer shall8 (%) promptly in orm the client o any decision or circumstance "ith respect to "hich the client1s in ormed consent, as de ined in :ule %.0(e), is re;uired !y these :ules5 (2) reasona!ly consult "ith the client a!out the means !y "hich the client1s o!9ectives are to !e accomplished5 (3) 4eep the client reasona!ly in ormed a!out the status o the matter5 (.) promptly comply "ith reasona!le re;uests or in ormation5 and (-) consult "ith the client a!out any relevant limitation on the la"yer1s conduct "hen the la"yer 4no"s that the client e6pects assistance not permitted !y the :ules o (ro essional 'onduct or other la". (!) A la"yer shall e6plain a matter to the e6tent reasona!ly necessary to permit the client to ma4e in ormed decisions regarding the representation.
Rule 1,5 ;ees
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(a) A la"yer shall not ma4e an agreement or, charge, or collect an unreasona!le ee or an unreasona!le amount or e6penses. *he actors to !e considered in determining the reasona!leness o a ee include the ollo"ing8 (%) the time and la!or re;uired, the novelty and di iculty o the ;uestions involved, and the s4ill re;uisite to per orm the legal service properly5 (2) the li4elihood, i apparent to the client, that the acceptance o the particular employment "ill preclude other employment !y the la"yer5 (3) the ee customarily charged in the locality or similar legal services5 (.) the amount involved and the results o!tained5 (-) the time limitations imposed !y the client or !y the circumstances5 (2) the nature and length o the pro essional relationship "ith the client5 ($) the e6perience, reputation, and a!ility o the la"yer or la"yers per orming the services5 and (8) "hether the ee is i6ed or contingent. (!) *he scope o the representation and the !asis or rate o the ee and e6penses or "hich the client "ill !e responsi!le shall !e communicated to the client, pre era!ly in "riting, !e ore or "ithin a reasona!le time a ter commencing the representation, e6cept "hen the la"yer "ill charge a regularly represented client on the same !asis or rate. Any changes in the !asis or rate o the ee or e6penses shall also !e communicated to the client. (c) A ee may !e contingent on the outcome o the matter or "hich the service is rendered, e6cept in a matter in "hich a contingent ee is prohi!ited !y paragraph (d) or other la". A contingent ee agreement shall !e in a "riting signed !y the client and shall state the method !y "hich the ee is to !e determined, including the percentage or percentages that shall accrue to the la"yer in the event o settlement, trial or appeal5 litigation and other e6penses to !e deducted rom the recovery5 and "hether such e6penses are to !e deducted !e ore or a ter the contingent ee is calculated. *he agreement must clearly noti y the client o any e6penses or "hich the client "ill !e lia!le "hether or not the client is the prevailing party. @pon conclusion o a contingent ee matter, the la"yer shall provide the client "ith a "ritten statement stating the outcome o the matter and, i there is a recovery, sho"ing the remittance to the client and the method o its determination.
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(d) A la"yer shall not enter into an arrangement or, charge, or collect8 (%) any ee in a domestic relations matter, the payment or amount o "hich is contingent upon the securing o a divorce or upon the amount o alimony or support, or property settlement in lieu thereo 5 or (2) a contingent ee or representing a de endant in a criminal case. (e) A division o a ee !et"een la"yers "ho are not in the same irm may !e made only i8 (%) the division is in proportion to the services per ormed !y each la"yer or each la"yer assumes 9oint responsi!ility or the representation5 (2) the client agrees to the arrangement, including the share each la"yer "ill receive, and the agreement is con irmed in "riting5 and (3) the total ee is reasona!le.
Rule 1,) Confidentialit5 of "nformation

(a) A la"yer shall not reveal in ormation relating to the representation o a client unless the client gives in ormed consent, the disclosure is impliedly authoriEed in order to carry out the representation or the disclosure is permitted !y paragraph (!). (!) A la"yer may reveal in ormation relating to the representation o a client to the e6tent the la"yer reasona!ly !elieves necessary8 (%) to prevent reasona!ly certain death or su!stantial !odily harm5 (2) to prevent the client rom committing a crime or raud that is reasona!ly certain to result in su!stantial in9ury to the inancial interests or property o another and in urtherance o "hich the client has used or is using the la"yer1s services5 (3) to prevent, mitigate or recti y su!stantial in9ury to the inancial interests or property o another that is reasona!ly certain to result or has resulted rom the client1s commission o a crime or raud in urtherance o "hich the client has used the la"yer1s services5 (.) to secure legal advice a!out the la"yer1s compliance "ith these :ules5
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(-) to esta!lish a claim or de ense on !ehal o the la"yer in a controversy !et"een the la"yer and the client, to esta!lish a de ense to a criminal charge or civil claim against the la"yer !ased upon conduct in "hich the client "as involved, or to respond to allegations in any proceeding concerning the la"yer1s representation o the client5 or (2) to comply "ith other la" or a court order.
Rule 1,0 Conflict &f "nterest7 Current Clients

(a) )6cept as provided in paragraph (!), a la"yer shall not represent a client i the representation involves a concurrent con lict o interest. A concurrent con lict o interest e6ists i 8 (%) the representation o one client "ill !e directly adverse to another client5 or (2) there is a signi icant ris4 that the representation o one or more clients "ill !e materially limited !y the la"yer1s responsi!ilities to another client, a ormer client or a third person or !y a personal interest o the la"yer. (!) Aot"ithstanding the e6istence o a concurrent con lict o interest under paragraph (a), a la"yer may represent a client i 8 (%) the la"yer reasona!ly !elieves that the la"yer "ill !e a!le to provide competent and diligent representation to each a ected client5 (2) the representation is not prohi!ited !y la"5 (3) the representation does not involve the assertion o a claim !y one client against another client represented !y the la"yer in the same litigation or other proceeding !e ore a tri!unal5 and (.) each a ected client gives in ormed consent, con irmed in "riting.
Rule 1,/ Conflict &f "nterest7 Current Clients7 -ecific Rules

(a) A la"yer shall not enter into a !usiness transaction "ith a client or 4no"ingly ac;uire an o"nership, possessory, security or other pecuniary interest adverse to a client unless8
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(%) the transaction and terms on "hich the la"yer ac;uires the interest are air and reasona!le to the client and are ully disclosed and transmitted in "riting in a manner that can !e reasona!ly understood !y the client5 (2) the client is advised in "riting o the desira!ility o see4ing and is given a reasona!le opportunity to see4 the advice o independent legal counsel on the transaction5 and (3) the client gives in ormed consent, in a "riting signed !y the client, to the essential terms o the transaction and the la"yer1s role in the transaction, including "hether the la"yer is representing the client in the transaction. (!) A la"yer shall not use in ormation relating to representation o a client to the disadvantage o the client unless the client gives in ormed consent, e6cept as permitted or re;uired !y these :ules. (c) A la"yer shall not solicit any su!stantial gi t rom a client, including a testamentary gi t, or prepare on !ehal o a client an instrument giving the la"yer or a person related to the la"yer any su!stantial gi t unless the la"yer or other recipient o the gi t is related to the client. For purposes o this paragraph, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual "ith "hom the la"yer or the client maintains a close, amilial relationship. (d) (rior to the conclusion o representation o a client, a la"yer shall not ma4e or negotiate an agreement giving the la"yer literary or media rights to a portrayal or account !ased in su!stantial part on in ormation relating to the representation. (e) A la"yer shall not provide inancial assistance to a client in connection "ith pending or contemplated litigation, e6cept that8 (%) a la"yer may advance court costs and e6penses o litigation, the repayment o "hich may !e contingent on the outcome o the matter5 and (2) a la"yer representing an indigent client may pay court costs and e6penses o litigation on !ehal o the client. ( ) A la"yer shall not accept compensation or representing a client rom one other than the client unless8 (%) the client gives in ormed consent5
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(2) there is no inter erence "ith the la"yer1s independence o pro essional 9udgment or "ith the client>la"yer relationship5 and (3) in ormation relating to representation o a client is protected as re;uired !y :ule %.2. (g) A la"yer "ho represents t"o or more clients shall not participate in ma4ing an aggregate settlement o the claims o or against the clients, or in a criminal case an aggregated agreement as to guilty or nolo contendere pleas, unless each client gives in ormed consent, in a "riting signed !y the client. *he la"yer1s disclosure shall include the e6istence and nature o all the claims or pleas involved and o the participation o each person in the settlement. (h) A la"yer shall not8 (%) ma4e an agreement prospectively limiting the la"yer1s lia!ility to a client or malpractice unless the client is independently represented in ma4ing the agreement5 or (2) settle a claim or potential claim or such lia!ility "ith an unrepresented client or ormer client unless that person is advised in "riting o the desira!ility o see4ing and is given a reasona!le opportunity to see4 the advice o independent legal counsel in connection there"ith. (i) A la"yer shall not ac;uire a proprietary interest in the cause o action or su!9ect matter o litigation the la"yer is conducting or a client, e6cept that the la"yer may8 (%) ac;uire a lien authoriEed !y la" to secure the la"yer1s ee or e6penses5 and (2) contract "ith a client or a reasona!le contingent ee in a civil case. (9) A la"yer shall not have se6ual relations "ith a client unless a consensual se6ual relationship e6isted !et"een them "hen the client>la"yer relationship commenced. (4) =hile la"yers are associated in a irm, a prohi!ition in the oregoing paragraphs (a) through (i) that applies to any one o them shall apply to all o them.
Rule 1,. 'uties to ;ormer Clients

(a) A la"yer "ho has ormerly represented a client in a matter shall not therea ter represent another person in the same or a su!stantially related matter in "hich that
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person1s interests are materially adverse to the interests o the ormer client unless the ormer client gives in ormed consent, con irmed in "riting. (!) A la"yer shall not 4no"ingly represent a person in the same or a su!stantially related matter in "hich a irm "ith "hich the la"yer ormerly "as associated had previously represented a client (%) "hose interests are materially adverse to that person5 and (2) a!out "hom the la"yer had ac;uired in ormation protected !y :ules %.2 and %.&(c) that is material to the matter5 unless the ormer client gives in ormed consent, con irmed in "riting. (c) A la"yer "ho has ormerly represented a client in a matter or "hose present or ormer irm has ormerly represented a client in a matter shall not therea ter8 (%) use in ormation relating to the representation to the disadvantage o the ormer client e6cept as these :ules "ould permit or re;uire "ith respect to a client, or "hen the in ormation has !ecome generally 4no"n5 or (2) reveal in ormation relating to the representation e6cept as these :ules "ould permit or re;uire "ith respect to a client.
Rule 1,13 "m-utation of Conflicts &f "nterest7 <eneral Rule

(a) =hile la"yers are associated in a irm, none o them shall 4no"ingly represent a client "hen any one o them practicing alone "ould !e prohi!ited rom doing so !y :ules %.$ or %.&, unless the prohi!ition is !ased on a personal interest o the prohi!ited la"yer and does not present a signi icant ris4 o materially limiting the representation o the client !y the remaining la"yers in the irm. (!) =hen a la"yer has terminated an association "ith a irm, the irm is not prohi!ited rom therea ter representing a person "ith interests materially adverse to those o a client represented !y the ormerly associated la"yer and not currently represented !y the irm, unless8 (%) the matter is the same or su!stantially related to that in "hich the ormerly associated la"yer represented the client5 and
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(2) any la"yer remaining in the irm has in ormation protected !y :ules %.2 and %.&(c) that is material to the matter. (c) A dis;uali ication prescri!ed !y this rule may !e "aived !y the a ected client under the conditions stated in :ule %.$. (d) *he dis;uali ication o la"yers associated in a irm "ith ormer or current government la"yers is governed !y :ule %.%%.
Rule 1,11 -ecial Conflicts &f "nterest for ;ormer And Current <overnment &fficers And Em-lo5ees
(a) )6cept as la" may other"ise e6pressly permit, a la"yer "ho has ormerly served as a pu!lic o icer or employee o the government8 (%) is su!9ect to :ule %.&(c)5 and (2) shall not other"ise represent a client in connection "ith a matter in "hich the la"yer participated personally and su!stantially as a pu!lic o icer or employee, unless the appropriate government agency gives its in ormed consent, con irmed in "riting, to the representation. (!) =hen a la"yer is dis;uali ied rom representation under paragraph (a), no la"yer in a irm "ith "hich that la"yer is associated may 4no"ingly underta4e or continue representation in such a matter unless8 (%) the dis;uali ied la"yer is timely screened rom any participation in the matter and is apportioned no part o the ee there rom5 and (2) "ritten notice is promptly given to the appropriate government agency to ena!le it to ascertain compliance "ith the provisions o this rule. (c) )6cept as la" may other"ise e6pressly permit, a la"yer having in ormation that the la"yer 4no"s is con idential government in ormation a!out a person ac;uired "hen the la"yer "as a pu!lic o icer or employee, may not represent a private client "hose interests are adverse to that person in a matter in "hich the in ormation could !e used to the material disadvantage o that person. As used in this :ule, the term 7con idential government in ormation7 means in ormation that has !een o!tained under governmental authority and "hich, at the time this :ule is applied, the government is prohi!ited !y la" rom disclosing to the pu!lic or has a legal privilege not to disclose and "hich is not
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other"ise availa!le to the pu!lic. A irm "ith "hich that la"yer is associated may underta4e or continue representation in the matter only i the dis;uali ied la"yer is timely screened rom any participation in the matter and is apportioned no part o the ee there rom. (d) )6cept as la" may other"ise e6pressly permit, a la"yer currently serving as a pu!lic o icer or employee8 (%) is su!9ect to :ules %.$ and %.&5 and (2) shall not8 (i) participate in a matter in "hich the la"yer participated personally and su!stantially "hile in private practice or nongovernmental employment, unless the appropriate government agency gives its in ormed consent, con irmed in "riting5 or (ii) negotiate or private employment "ith any person "ho is involved as a party or as la"yer or a party in a matter in "hich the la"yer is participating personally and su!stantially, e6cept that a la"yer serving as a la" cler4 to a 9udge, other ad9udicative o icer or ar!itrator may negotiate or private employment as permitted !y :ule %.%2(!) and su!9ect to the conditions stated in :ule %.%2(!). (e) As used in this :ule, the term 7matter7 includes8 (%) any 9udicial or other proceeding, application, re;uest or a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a speci ic party or parties, and (2) any other matter covered !y the con lict o interest rules o the appropriate government agency.
Rule 1,12 ;ormer =udge> Ar*itrator> Mediator &r &t1er %1ird9Part5 $eutral
(a) )6cept as stated in paragraph (d), a la"yer shall not represent anyone in connection "ith a matter in "hich the la"yer participated personally and su!stantially as a 9udge or other ad9udicative o icer or la" cler4 to such a person or as an ar!itrator, mediator or
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other third>party neutral, unless all parties to the proceeding give in ormed consent, con irmed in "riting. (!) A la"yer shall not negotiate or employment "ith any person "ho is involved as a party or as la"yer or a party in a matter in "hich the la"yer is participating personally and su!stantially as a 9udge or other ad9udicative o icer or as an ar!itrator, mediator or other third>party neutral. A la"yer serving as a la" cler4 to a 9udge or other ad9udicative o icer may negotiate or employment "ith a party or la"yer involved in a matter in "hich the cler4 is participating personally and su!stantially, !ut only a ter the la"yer has noti ied the 9udge or other ad9udicative o icer. (c) 3 a la"yer is dis;uali ied !y paragraph (a), no la"yer in a irm "ith "hich that la"yer is associated may 4no"ingly underta4e or continue representation in the matter unless8 (%) the dis;uali ied la"yer is timely screened rom any participation in the matter and is apportioned no part o the ee there rom5 and (2) "ritten notice is promptly given to the parties and any appropriate tri!unal to ena!le them to ascertain compliance "ith the provisions o this rule. (d) An ar!itrator selected as a partisan o a party in a multimem!er ar!itration panel is not prohi!ited rom su!se;uently representing that party.
Rule 1,13 &rgani?ation as Client

(a) A la"yer employed or retained !y an organiEation represents the organiEation acting through its duly authoriEed constituents. (!) 3 a la"yer or an organiEation 4no"s that an o icer, employee or other person associated "ith the organiEation is engaged in action, intends to act or re uses to act in a matter related to the representation that is a violation o a legal o!ligation to the organiEation, or a violation o la" that reasona!ly might !e imputed to the organiEation, and that is li4ely to result in su!stantial in9ury to the organiEation, then the la"yer shall proceed as is reasona!ly necessary in the !est interest o the organiEation. @nless the la"yer reasona!ly !elieves that it is not necessary in the !est interest o the organiEation to do so, the la"yer shall re er the matter to higher authority in the organiEation, including, i "arranted !y the circumstances to the highest authority that can act on !ehal o the organiEation as determined !y applica!le la". (c) )6cept as provided in paragraph (d), i
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(%) despite the la"yer1s e orts in accordance "ith paragraph (!) the highest authority that can act on !ehal o the organiEation insists upon or ails to address in a timely and appropriate manner an action, or a re usal to act, that is clearly a violation o la", and (2) the la"yer reasona!ly !elieves that the violation is reasona!ly certain to result in su!stantial in9ury to the organiEation, then the la"yer may reveal in ormation relating to the representation "hether or not :ule %.2 permits such disclosure, !ut only i and to the e6tent the la"yer reasona!ly !elieves necessary to prevent su!stantial in9ury to the organiEation. (d) (aragraph (c) shall not apply "ith respect to in ormation relating to a la"yer1s representation o an organiEation to investigate an alleged violation o la", or to de end the organiEation or an o icer, employee or other constituent associated "ith the organiEation against a claim arising out o an alleged violation o la". (e) A la"yer "ho reasona!ly !elieves that he or she has !een discharged !ecause o the la"yer1s actions ta4en pursuant to paragraphs (!) or (c), or "ho "ithdra"s under circumstances that re;uire or permit the la"yer to ta4e action under either o those paragraphs, shall proceed as the la"yer reasona!ly !elieves necessary to assure that the organiEation1s highest authority is in ormed o the la"yer1s discharge or "ithdra"al. ( ) 3n dealing "ith an organiEation1s directors, o icers, employees, mem!ers, shareholders or other constituents, a la"yer shall e6plain the identity o the client "hen the la"yer 4no"s or reasona!ly should 4no" that the organiEation1s interests are adverse to those o the constituents "ith "hom the la"yer is dealing. (g) A la"yer representing an organiEation may also represent any o its directors, o icers, employees, mem!ers, shareholders or other constituents, su!9ect to the provisions o :ule %.$. 3 the organiEation1s consent to the dual representation is re;uired !y :ule %.$, the consent shall !e given !y an appropriate o icial o the organiEation other than the individual "ho is to !e represented, or !y the shareholders.
Rule 1,14 Client :it1 'iminis1ed Ca-acit5

(a) =hen a client1s capacity to ma4e ade;uately considered decisions in connection "ith a representation is diminished, "hether !ecause o minority, mental impairment or or some other reason, the la"yer shall, as ar as reasona!ly possi!le, maintain a normal client>la"yer relationship "ith the client.
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(!) =hen the la"yer reasona!ly !elieves that the client has diminished capacity, is at ris4 o su!stantial physical, inancial or other harm unless action is ta4en and cannot ade;uately act in the client1s o"n interest, the la"yer may ta4e reasona!ly necessary protective action, including consulting "ith individuals or entities that have the a!ility to ta4e action to protect the client and, in appropriate cases, see4ing the appointment o a guardian ad litem, conservator or guardian. (c) 3n ormation relating to the representation o a client "ith diminished capacity is protected !y :ule %.2. =hen ta4ing protective action pursuant to paragraph (!), the la"yer is impliedly authoriEed under :ule %.2(a) to reveal in ormation a!out the client, !ut only to the e6tent reasona!ly necessary to protect the client1s interests.
Rule 1,15 afe@ee-ing Pro-ert5

(a) A la"yer shall hold property o clients or third persons that is in a la"yer1s possession in connection "ith a representation separate rom the la"yer1s o"n property. Funds shall !e 4ept in a separate account maintained in the state "here the la"yer1s o ice is situated, or else"here "ith the consent o the client or third person. #ther property shall !e identi ied as such and appropriately sa eguarded. 'omplete records o such account unds and other property shall !e 4ept !y the la"yer and shall !e preserved or a period o H ive yearsI a ter termination o the representation. (!) A la"yer may deposit the la"yer1s o"n unds in a client trust account or the sole purpose o paying !an4 service charges on that account, !ut only in an amount necessary or that purpose. (c) A la"yer shall deposit into a client trust account legal ees and e6penses that have !een paid in advance, to !e "ithdra"n !y the la"yer only as ees are earned or e6penses incurred. (d) @pon receiving unds or other property in "hich a client or third person has an interest, a la"yer shall promptly noti y the client or third person. )6cept as stated in this rule or other"ise permitted !y la" or !y agreement "ith the client, a la"yer shall promptly deliver to the client or third person any unds or other property that the client or third person is entitled to receive and, upon re;uest !y the client or third person, shall promptly render a ull accounting regarding such property. (e) =hen in the course o representation a la"yer is in possession o property in "hich t"o or more persons (one o "hom may !e the la"yer) claim interests, the property shall !e 4ept separate !y the la"yer until the dispute is resolved. *he la"yer shall promptly distri!ute all portions o the property as to "hich the interests are not in dispute.
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Rule 1,1) 'eclining or %erminating Re-resentation

(a) )6cept as stated in paragraph (c), a la"yer shall not represent a client or, "here representation has commenced, shall "ithdra" rom the representation o a client i 8 (%) the representation "ill result in violation o the rules o pro essional conduct or other la"5 (2) the la"yer1s physical or mental condition materially impairs the la"yer1s a!ility to represent the client5 or (3) the la"yer is discharged. (!) )6cept as stated in paragraph (c), a la"yer may "ithdra" rom representing a client i8 (%) "ithdra"al can !e accomplished "ithout material adverse e ect on the interests o the client5 (2) the client persists in a course o action involving the la"yer1s services that the la"yer reasona!ly !elieves is criminal or raudulent5 (3) the client has used the la"yer1s services to perpetrate a crime or raud5 (.) the client insists upon ta4ing action that the la"yer considers repugnant or "ith "hich the la"yer has a undamental disagreement5 (-) the client ails su!stantially to ul ill an o!ligation to the la"yer regarding the la"yer1s services and has !een given reasona!le "arning that the la"yer "ill "ithdra" unless the o!ligation is ul illed5 (2) the representation "ill result in an unreasona!le inancial !urden on the la"yer or has !een rendered unreasona!ly di icult !y the client5 or ($) other good cause or "ithdra"al e6ists. (c) A la"yer must comply "ith applica!le la" re;uiring notice to or permission o a tri!unal "hen terminating a representation. =hen ordered to do so !y a tri!unal, a la"yer shall continue representation not"ithstanding good cause or terminating the representation.
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(d) @pon termination o representation, a la"yer shall ta4e steps to the e6tent reasona!ly practica!le to protect a client1s interests, such as giving reasona!le notice to the client, allo"ing time or employment o other counsel, surrendering papers and property to "hich the client is entitled and re unding any advance payment o ee or e6pense that has not !een earned or incurred. *he la"yer may retain papers relating to the client to the e6tent permitted !y other la".
Rule 1,10 ale of 6a: Practice

A la"yer or a la" irm may sell or purchase a la" practice, or an area o la" practice, including good "ill, i the ollo"ing conditions are satis ied8 (a) *he seller ceases to engage in the private practice o la", or in the area o practice that has !een sold, Hin the geographic areaI Hin the 9urisdictionI (a 9urisdiction may elect either version) in "hich the practice has !een conducted5 (!) *he entire practice, or the entire area o practice, is sold to one or more la"yers or la" irms5 (c) *he seller gives "ritten notice to each o the seller1s clients regarding8 (%) the proposed sale5 (2) the client1s right to retain other counsel or to ta4e possession o the ile5 and (3) the act that the client1s consent to the trans er o the client1s iles "ill !e presumed i the client does not ta4e any action or does not other"ise o!9ect "ithin ninety (&0) days o receipt o the notice. 3 a client cannot !e given notice, the representation o that client may !e trans erred to the purchaser only upon entry o an order so authoriEing !y a court having 9urisdiction. *he seller may disclose to the court in camera in ormation relating to the representation only to the e6tent necessary to o!tain an order authoriEing the trans er o a ile. (d) *he ees charged clients shall not !e increased !y reason o the sale.
Rule 1,1/ 'uties to Pros-ective Client

(a) A person "ho discusses "ith a la"yer the possi!ility o orming a client>la"yer relationship "ith respect to a matter is a prospective client.
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(!) )ven "hen no client>la"yer relationship ensues, a la"yer "ho has had discussions "ith a prospective client shall not use or reveal in ormation learned in the consultation, e6cept as :ule %.& "ould permit "ith respect to in ormation o a ormer client. (c) A la"yer su!9ect to paragraph (!) shall not represent a client "ith interests materially adverse to those o a prospective client in the same or a su!stantially related matter i the la"yer received in ormation rom the prospective client that could !e signi icantly harm ul to that person in the matter, e6cept as provided in paragraph (d). 3 a la"yer is dis;uali ied rom representation under this paragraph, no la"yer in a irm "ith "hich that la"yer is associated may 4no"ingly underta4e or continue representation in such a matter, e6cept as provided in paragraph (d). (d) =hen the la"yer has received dis;uali ying in ormation as de ined in paragraph (c), representation is permissi!le i 8 (%) !oth the a ected client and the prospective client have given in ormed consent, con irmed in "riting, or8 (2) the la"yer "ho received the in ormation too4 reasona!le measures to avoid e6posure to more dis;uali ying in ormation than "as reasona!ly necessary to determine "hether to represent the prospective client5 and (i) the dis;uali ied la"yer is timely screened rom any participation in the matter and is apportioned no part o the ee there rom5 and (ii) "ritten notice is promptly given to the prospective client.
Counselor Rule 2,1 Advisor

3n representing a client, a la"yer shall e6ercise independent pro essional 9udgment and render candid advice. 3n rendering advice, a la"yer may re er not only to la" !ut to other considerations such as moral, economic, social and political actors, that may !e relevant to the client1s situation.
Rule 2,3 Evaluation for (se *5 %1ird Persons
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(a) A la"yer may provide an evaluation o a matter a ecting a client or the use o someone other than the client i the la"yer reasona!ly !elieves that ma4ing the evaluation is compati!le "ith other aspects o the la"yer1s relationship "ith the client. (!) =hen the la"yer 4no"s or reasona!ly should 4no" that the evaluation is li4ely to a ect the client1s interests materially and adversely, the la"yer shall not provide the evaluation unless the client gives in ormed consent. (c) )6cept as disclosure is authoriEed in connection "ith a report o an evaluation, in ormation relating to the evaluation is other"ise protected !y :ule %.2.
Rule 2,4 6a:5er erving as %1ird9Part5 $eutral

(a) A la"yer serves as a third>party neutral "hen the la"yer assists t"o or more persons "ho are not clients o the la"yer to reach a resolution o a dispute or other matter that has arisen !et"een them. ,ervice as a third>party neutral may include service as an ar!itrator, a mediator or in such other capacity as "ill ena!le the la"yer to assist the parties to resolve the matter. (!) A la"yer serving as a third>party neutral shall in orm unrepresented parties that the la"yer is not representing them. =hen the la"yer 4no"s or reasona!ly should 4no" that a party does not understand the la"yer1s role in the matter, the la"yer shall e6plain the di erence !et"een the la"yer1s role as a third>party neutral and a la"yer1s role as one "ho represents a client.
Advocate Rule 3,1 Meritorious Claims and Contentions

A la"yer shall not !ring or de end a proceeding, or assert or controvert an issue therein, unless there is a !asis in la" and act or doing so that is not rivolous, "hich includes a good aith argument or an e6tension, modi ication or reversal o e6isting la". A la"yer or the de endant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so de end the proceeding as to re;uire that every element o the case !e esta!lished.
Rule 3,2 EA-editing 6itigation

A la"yer shall ma4e reasona!le e orts to e6pedite litigation consistent "ith the interests o the client.
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Rule 3,3 Candor to:ard t1e %ri*unal

(a) A la"yer shall not 4no"ingly8 (%) ma4e a alse statement o act or la" to a tri!unal or ail to correct a alse statement o material act or la" previously made to the tri!unal !y the la"yer5 (2) ail to disclose to the tri!unal legal authority in the controlling 9urisdiction 4no"n to the la"yer to !e directly adverse to the position o the client and not disclosed !y opposing counsel5 or (3) o er evidence that the la"yer 4no"s to !e alse. 3 a la"yer, the la"yerCs client, or a "itness called !y the la"yer, has o ered material evidence and the la"yer comes to 4no" o its alsity, the la"yer shall ta4e reasona!le remedial measures, including, i necessary, disclosure to the tri!unal. A la"yer may re use to o er evidence, other than the testimony o a de endant in a criminal matter, that the la"yer reasona!ly !elieves is alse. (!) A la"yer "ho represents a client in an ad9udicative proceeding and "ho 4no"s that a person intends to engage, is engaging or has engaged in criminal or raudulent conduct related to the proceeding shall ta4e reasona!le remedial measures, including, i necessary, disclosure to the tri!unal. (c) *he duties stated in paragraphs (a) and (!) continue to the conclusion o the proceeding, and apply even i compliance re;uires disclosure o in ormation other"ise protected !y :ule %.2. (d) 3n an e6 parte proceeding, a la"yer shall in orm the tri!unal o all material acts 4no"n to the la"yer that "ill ena!le the tri!unal to ma4e an in ormed decision, "hether or not the acts are adverse.
Rule 3,4 ;airness to &--osing Part5 and Counsel

A la"yer shall not8 (a) unla" ully o!struct another party1 s access to evidence or unla" ully alter, destroy or conceal a document or other material having potential evidentiary value. A la"yer shall not counsel or assist another person to do any such act5
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(!) alsi y evidence, counsel or assist a "itness to testi y alsely, or o er an inducement to a "itness that is prohi!ited !y la"5 (c) 4no"ingly diso!ey an o!ligation under the rules o a tri!unal e6cept or an open re usal !ased on an assertion that no valid o!ligation e6ists5 (d) in pretrial procedure, ma4e a rivolous discovery re;uest or ail to ma4e reasona!ly diligent e ort to comply "ith a legally proper discovery re;uest !y an opposing party5 (e) in trial, allude to any matter that the la"yer does not reasona!ly !elieve is relevant or that "ill not !e supported !y admissi!le evidence, assert personal 4no"ledge o acts in issue e6cept "hen testi ying as a "itness, or state a personal opinion as to the 9ustness o a cause, the credi!ility o a "itness, the culpa!ility o a civil litigant or the guilt or innocence o an accused5 or ( ) re;uest a person other than a client to re rain rom voluntarily giving relevant in ormation to another party unless8 (%) the person is a relative or an employee or other agent o a client5 and (2) the la"yer reasona!ly !elieves that the person1s interests "ill not !e adversely a ected !y re raining rom giving such in ormation.
Rule 3,5 "m-artialit5 and 'ecorum of t1e %ri*unal

A la"yer shall not8 (a) see4 to in luence a 9udge, 9uror, prospective 9uror or other o icial !y means prohi!ited !y la"5 (!) communicate e6 parte "ith such a person during the proceeding unless authoriEed to do so !y la" or court order5 (c) communicate "ith a 9uror or prospective 9uror a ter discharge o the 9ury i 8 (%) the communication is prohi!ited !y la" or court order5 (2) the 9uror has made 4no"n to the la"yer a desire not to communicate5 or (3) the communication involves misrepresentation, coercion, duress or harassment5 or
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(d) engage in conduct intended to disrupt a tri!unal.
Rule 3,) %rial Pu*licit5

(a) A la"yer "ho is participating or has participated in the investigation or litigation o a matter shall not ma4e an e6tra9udicial statement that the la"yer 4no"s or reasona!ly should 4no" "ill !e disseminated !y means o pu!lic communication and "ill have a su!stantial li4elihood o materially pre9udicing an ad9udicative proceeding in the matter. (!) Aot"ithstanding paragraph (a), a la"yer may state8 (%) the claim, o ense or de ense involved and, e6cept "hen prohi!ited !y la", the identity o the persons involved5 (2) in ormation contained in a pu!lic record5 (3) that an investigation o a matter is in progress5 (.) the scheduling or result o any step in litigation5 (-) a re;uest or assistance in o!taining evidence and in ormation necessary thereto5 (2) a "arning o danger concerning the !ehavior o a person involved, "hen there is reason to !elieve that there e6ists the li4elihood o su!stantial harm to an individual or to the pu!lic interest5 and ($) in a criminal case, in addition to su!paragraphs (%) through (2)8 (i) the identity, residence, occupation and amily status o the accused5 (ii) i the accused has not !een apprehended, in ormation necessary to aid in apprehension o that person5 (iii) the act, time and place o arrest5 and (iv) the identity o investigating and arresting o icers or agencies and the length o the investigation. (c) Aot"ithstanding paragraph (a), a la"yer may ma4e a statement that a reasona!le la"yer "ould !elieve is re;uired to protect a client rom the su!stantial undue pre9udicial
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e ect o recent pu!licity not initiated !y the la"yer or the la"yer1s client. A statement made pursuant to this paragraph shall !e limited to such in ormation as is necessary to mitigate the recent adverse pu!licity. (d) Ao la"yer associated in a irm or government agency "ith a la"yer su!9ect to paragraph (a) shall ma4e a statement prohi!ited !y paragraph (a).
Rule 3,0 6a:5er as +itness

(a) A la"yer shall not act as advocate at a trial in "hich the la"yer is li4ely to !e a necessary "itness unless8 (%) the testimony relates to an uncontested issue5 (2) the testimony relates to the nature and value o legal services rendered in the case5 or (3) dis;uali ication o the la"yer "ould "or4 su!stantial hardship on the client. (!) A la"yer may act as advocate in a trial in "hich another la"yer in the la"yer1s irm is li4ely to !e called as a "itness unless precluded rom doing so !y :ule %.$ or :ule %.&.
Rule 3,/ -ecial Res-onsi*ilities of a Prosecutor

*he prosecutor in a criminal case shall8 (a) re rain rom prosecuting a charge that the prosecutor 4no"s is not supported !y pro!a!le cause5 (!) ma4e reasona!le e orts to assure that the accused has !een advised o the right to, and the procedure or o!taining, counsel and has !een given reasona!le opportunity to o!tain counsel5 (c) not see4 to o!tain rom an unrepresented accused a "aiver o important pretrial rights, such as the right to a preliminary hearing5 (d) ma4e timely disclosure to the de ense o all evidence or in ormation 4no"n to the prosecutor that tends to negate the guilt o the accused or mitigates the o ense, and, in connection "ith sentencing, disclose to the de ense and to the tri!unal all unprivileged
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mitigating in ormation 4no"n to the prosecutor, e6cept "hen the prosecutor is relieved o this responsi!ility !y a protective order o the tri!unal5 (e) not su!poena a la"yer in a grand 9ury or other criminal proceeding to present evidence a!out a past or present client unless the prosecutor reasona!ly !elieves8 (%) the in ormation sought is not protected rom disclosure !y any applica!le privilege5 (2) the evidence sought is essential to the success ul completion o an ongoing investigation or prosecution5 and (3) there is no other easi!le alternative to o!tain the in ormation5 ( ) e6cept or statements that are necessary to in orm the pu!lic o the nature and e6tent o the prosecutor1s action and that serve a legitimate la" en orcement purpose, re rain rom ma4ing e6tra9udicial comments that have a su!stantial li4elihood o heightening pu!lic condemnation o the accused and e6ercise reasona!le care to prevent investigators, la" en orcement personnel, employees or other persons assisting or associated "ith the prosecutor in a criminal case rom ma4ing an e6tra9udicial statement that the prosecutor "ould !e prohi!ited rom ma4ing under :ule 3.2 or this :ule. (g) =hen a prosecutor 4no"s o ne", credi!le and material evidence creating a reasona!le li4elihood that a convicted de endant did not commit an o ense o "hich the de endant "as convicted, the prosecutor shall8 (%) promptly disclose that evidence to an appropriate court or authority, and (2) i the conviction "as o!tained in the prosecutorCs 9urisdiction, (i) promptly disclose that evidence to the de endant unless a court authoriEes delay, and (ii) underta4e urther investigation, or ma4e reasona!le e orts to cause an investigation, to determine "hether the de endant "as convicted o an o ense that the de endant did not commit. (h) =hen a prosecutor 4no"s o clear and convincing evidence esta!lishing that a de endant in the prosecutorCs 9urisdiction "as convicted o an o ense that the de endant did not commit, the prosecutor shall see4 to remedy the conviction.
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Rule 3,. Advocate in $onadBudicative Proceedings

A la"yer representing a client !e ore a legislative !ody or administrative agency in a nonad9udicative proceeding shall disclose that the appearance is in a representative capacity and shall con orm to the provisions o :ules 3.3(a) through (c), 3..(a) through (c), and 3.-.
%ransactions :it1 Persons &t1er %1an Clients
Rule 4,1 %rut1fulness in tatements to &t1ers

3n the course o representing a client a la"yer shall not 4no"ingly8 (a) ma4e a alse statement o material act or la" to a third person5 or (!) ail to disclose a material act to a third person "hen disclosure is necessary to avoid assisting a criminal or raudulent act !y a client, unless disclosure is prohi!ited !y :ule %.2.
Rule 4,2 Communication :it1 Person Re-resented *5 Counsel

3n representing a client, a la"yer shall not communicate a!out the su!9ect o the representation "ith a person the la"yer 4no"s to !e represented !y another la"yer in the matter, unless the la"yer has the consent o the other la"yer or is authoriEed to do so !y la" or a court order.
Rule 4,3 'ealing :it1 (nre-resented Person

3n dealing on !ehal o a client "ith a person "ho is not represented !y counsel, a la"yer shall not state or imply that the la"yer is disinterested. =hen the la"yer 4no"s or reasona!ly should 4no" that the unrepresented person misunderstands the la"yerCs role in the matter, the la"yer shall ma4e reasona!le e orts to correct the misunderstanding. *he la"yer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, i the la"yer 4no"s or reasona!ly should 4no" that the interests o such a person are or have a reasona!le possi!ility o !eing in con lict "ith the interests o the client.
Rule 4,4 Res-ect for Rig1ts of %1ird Persons
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(a) 3n representing a client, a la"yer shall not use means that have no su!stantial purpose other than to em!arrass, delay, or !urden a third person, or use methods o o!taining evidence that violate the legal rights o such a person. (!) A la"yer "ho receives a document relating to the representation o the la"yer1s client and 4no"s or reasona!ly should 4no" that the document "as inadvertently sent shall promptly noti y the sender.
6a: ;irms and Associations Rule 5,1 Res-onsi*ilities of Partners> Managers> and u-ervisor5 6a:5ers
(a) A partner in a la" irm, and a la"yer "ho individually or together "ith other la"yers possesses compara!le managerial authority in a la" irm, shall ma4e reasona!le e orts to ensure that the irm has in e ect measures giving reasona!le assurance that all la"yers in the irm con orm to the :ules o (ro essional 'onduct. (!) A la"yer having direct supervisory authority over another la"yer shall ma4e reasona!le e orts to ensure that the other la"yer con orms to the :ules o (ro essional 'onduct. (c) A la"yer shall !e responsi!le or another la"yer1s violation o the :ules o (ro essional 'onduct i 8 (%) the la"yer orders or, "ith 4no"ledge o the speci ic conduct, rati ies the conduct involved5 or (2) the la"yer is a partner or has compara!le managerial authority in the la" irm in "hich the other la"yer practices, or has direct supervisory authority over the other la"yer, and 4no"s o the conduct at a time "hen its conse;uences can !e avoided or mitigated !ut ails to ta4e reasona!le remedial action.
Rule 5,2 Res-onsi*ilities of a u*ordinate 6a:5er

(a) A la"yer is !ound !y the :ules o (ro essional 'onduct not"ithstanding that the la"yer acted at the direction o another person.
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(!) A su!ordinate la"yer does not violate the :ules o (ro essional 'onduct i that la"yer acts in accordance "ith a supervisory la"yer1s reasona!le resolution o an argua!le ;uestion o pro essional duty.
Rule 5,3 Res-onsi*ilities Regarding $onla:5er Assistants

=ith respect to a nonla"yer employed or retained !y or associated "ith a la"yer8 (a) a partner, and a la"yer "ho individually or together "ith other la"yers possesses compara!le managerial authority in a la" irm shall ma4e reasona!le e orts to ensure that the irm has in e ect measures giving reasona!le assurance that the person1s conduct is compati!le "ith the pro essional o!ligations o the la"yer5 (!) a la"yer having direct supervisory authority over the nonla"yer shall ma4e reasona!le e orts to ensure that the person1s conduct is compati!le "ith the pro essional o!ligations o the la"yer5 and (c) a la"yer shall !e responsi!le or conduct o such a person that "ould !e a violation o the :ules o (ro essional 'onduct i engaged in !y a la"yer i 8 (%) the la"yer orders or, "ith the 4no"ledge o the speci ic conduct, rati ies the conduct involved5 or (2) the la"yer is a partner or has compara!le managerial authority in the la" irm in "hich the person is employed, or has direct supervisory authority over the person, and 4no"s o the conduct at a time "hen its conse;uences can !e avoided or mitigated !ut ails to ta4e reasona!le remedial action.
Rule 5,4 Professional "nde-endence of a 6a:5er

(a) A la"yer or la" irm shall not share legal ees "ith a nonla"yer, e6cept that8 (%) an agreement !y a la"yer "ith the la"yer1s irm, partner, or associate may provide or the payment o money, over a reasona!le period o time a ter the la"yer1s death, to the la"yer1s estate or to one or more speci ied persons5 (2) a la"yer "ho purchases the practice o a deceased, disa!led, or disappeared la"yer may, pursuant to the provisions o :ule %.%$, pay to the estate or other representative o that la"yer the agreed>upon purchase price5
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(3) a la"yer or la" irm may include nonla"yer employees in a compensation or retirement plan, even though the plan is !ased in "hole or in part on a pro it> sharing arrangement5 and (.) a la"yer may share court>a"arded legal ees "ith a nonpro it organiEation that employed, retained or recommended employment o the la"yer in the matter. (!) A la"yer shall not orm a partnership "ith a nonla"yer i any o the activities o the partnership consist o the practice o la". (c) A la"yer shall not permit a person "ho recommends, employs, or pays the la"yer to render legal services or another to direct or regulate the la"yer1s pro essional 9udgment in rendering such legal services. (d) A la"yer shall not practice "ith or in the orm o a pro essional corporation or association authoriEed to practice la" or a pro it, i 8 (%) a nonla"yer o"ns any interest therein, e6cept that a iduciary representative o the estate o a la"yer may hold the stoc4 or interest o the la"yer or a reasona!le time during administration5 (2) a nonla"yer is a corporate director or o icer thereo or occupies the position o similar responsi!ility in any orm o association other than a corporation 5 or (3) a nonla"yer has the right to direct or control the pro essional 9udgment o a la"yer.
Rule 5,5 (naut1ori?ed Practice of 6a:C MultiBurisdictional Practice &f 6a:

(a) A la"yer shall not practice la" in a 9urisdiction in violation o the regulation o the legal pro ession in that 9urisdiction, or assist another in doing so. (!) A la"yer "ho is not admitted to practice in this 9urisdiction shall not8 (%) e6cept as authoriEed !y these :ules or other la", esta!lish an o ice or other systematic and continuous presence in this 9urisdiction or the practice o la"5 or (2) hold out to the pu!lic or other"ise represent that the la"yer is admitted to practice la" in this 9urisdiction.
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(c) A la"yer admitted in another @nited ,tates 9urisdiction, and not dis!arred or suspended rom practice in any 9urisdiction, may provide legal services on a temporary !asis in this 9urisdiction that8 (%) are underta4en in association "ith a la"yer "ho is admitted to practice in this 9urisdiction and "ho actively participates in the matter5 (2) are in or reasona!ly related to a pending or potential proceeding !e ore a tri!unal in this or another 9urisdiction, i the la"yer, or a person the la"yer is assisting, is authoriEed !y la" or order to appear in such proceeding or reasona!ly e6pects to !e so authoriEed5 (3) are in or reasona!ly related to a pending or potential ar!itration, mediation, or other alternative dispute resolution proceeding in this or another 9urisdiction, i the services arise out o or are reasona!ly related to the la"yerCs practice in a 9urisdiction in "hich the la"yer is admitted to practice and are not services or "hich the orum re;uires pro hac vice admission5 or (.) are not "ithin paragraphs (c)(2) or (c)(3) and arise out o or are reasona!ly related to the la"yerCs practice in a 9urisdiction in "hich the la"yer is admitted to practice. (d) A la"yer admitted in another @nited ,tates 9urisdiction, and not dis!arred or suspended rom practice in any 9urisdiction, may provide legal services in this 9urisdiction that8 (%) are provided to the la"yerCs employer or its organiEational a iliates and are not services or "hich the orum re;uires pro hac vice admission5 or (2) are services that the la"yer is authoriEed to provide !y ederal la" or other la" o this 9urisdiction.
Rule 5,) Restrictions on Rig1t to Practice

A la"yer shall not participate in o ering or ma4ing8 (a) a partnership, shareholders, operating, employment, or other similar type o agreement that restricts the right o a la"yer to practice a ter termination o the relationship, e6cept an agreement concerning !ene its upon retirement5 or
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(!) an agreement in "hich a restriction on the la"yer1s right to practice is part o the settlement o a client controversy.
Rule 5,0 Res-onsi*ilities Regarding 6a:9Related ervices

(a) A la"yer shall !e su!9ect to the :ules o (ro essional 'onduct "ith respect to the provision o la">related services, as de ined in paragraph (!), i the la">related services are provided8 (%) !y the la"yer in circumstances that are not distinct rom the la"yer1s provision o legal services to clients5 or (2) in other circumstances !y an entity controlled !y the la"yer individually or "ith others i the la"yer ails to ta4e reasona!le measures to assure that a person o!taining the la">related services 4no"s that the services are not legal services and that the protections o the client>la"yer relationship do not e6ist. (!) *he term 7la">related services7 denotes services that might reasona!ly !e per ormed in con9unction "ith and in su!stance are related to the provision o legal services, and that are not prohi!ited as unauthoriEed practice o la" "hen provided !y a nonla"yer.
Pu*lic ervice Rule ),1 4oluntar5 Pro Bono Pu*lico ervice

)very la"yer has a pro essional responsi!ility to provide legal services to those una!le to pay. A la"yer should aspire to render at least (-0) hours o pro !ono pu!lico legal services per year. 3n ul illing this responsi!ility, the la"yer should8 (a) provide a su!stantial ma9ority o the (-0) hours o legal services "ithout ee or e6pectation o ee to8 (%) persons o limited means or
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(2) charita!le, religious, civic, community, governmental and educational organiEations in matters that are designed primarily to address the needs o persons o limited means5 and (!) provide any additional services through8 (%) delivery o legal services at no ee or su!stantially reduced ee to individuals, groups or organiEations see4ing to secure or protect civil rights, civil li!erties or pu!lic rights, or charita!le, religious, civic, community, governmental and educational organiEations in matters in urtherance o their organiEational purposes, "here the payment o standard legal ees "ould signi icantly deplete the organiEation1s economic resources or "ould !e other"ise inappropriate5 (2) delivery o legal services at a su!stantially reduced ee to persons o limited means5 or (3) participation in activities or improving the la", the legal system or the legal pro ession. 3n addition, a la"yer should voluntarily contri!ute inancial support to organiEations that provide legal services to persons o limited means.
Rule ),2 Acce-ting A--ointments

A la"yer shall not see4 to avoid appointment !y a tri!unal to represent a person e6cept or good cause, such as8 (a) representing the client is li4ely to result in violation o the :ules o (ro essional 'onduct or other la"5 (!) representing the client is li4ely to result in an unreasona!le inancial !urden on the la"yer5 or (c) the client or the cause is so repugnant to the la"yer as to !e li4ely to impair the client> la"yer relationship or the la"yer1s a!ility to represent the client.
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Rule ),3 Mem*ers1i- in 6egal ervices &rgani?ation

A la"yer may serve as a director, o icer or mem!er o a legal services organiEation, apart rom the la" irm in "hich the la"yer practices, not"ithstanding that the organiEation serves persons having interests adverse to a client o the la"yer. *he la"yer shall not 4no"ingly participate in a decision or action o the organiEation8 (a) i participating in the decision or action "ould !e incompati!le "ith the la"yer1s o!ligations to a client under :ule %.$5 or (!) "here the decision or action could have a material adverse e ect on the representation o a client o the organiEation "hose interests are adverse to a client o the la"yer.
Rule ),4 6a: Reform Activities Affecting Client "nterests

A la"yer may serve as a director, o icer or mem!er o an organiEation involved in re orm o the la" or its administration not"ithstanding that the re orm may a ect the interests o a client o the la"yer. =hen the la"yer 4no"s that the interests o a client may !e materially !ene itted !y a decision in "hich the la"yer participates, the la"yer shall disclose that act !ut need not identi y the client.
Rule ),5 $on-rofit and Court9AnneAed 6imited 6egal ervices Programs

(a) A la"yer "ho, under the auspices o a program sponsored !y a nonpro it organiEation or court, provides short>term limited legal services to a client "ithout e6pectation !y either the la"yer or the client that the la"yer "ill provide continuing representation in the matter8 (%) is su!9ect to :ules %.$ and %.&(a) only i the la"yer 4no"s that the representation o the client involves a con lict o interest5 and (2) is su!9ect to :ule %.%0 only i the la"yer 4no"s that another la"yer associated "ith the la"yer in a la" irm is dis;uali ied !y :ule %.$ or %.&(a) "ith respect to the matter.
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(!) )6cept as provided in paragraph (a)(2), :ule %.%0 is inapplica!le to a representation governed !y this :ule.
"nformation A*out 6egal ervices Rule 0,1 Communications Concerning a 6a:5er#s ervices
A la"yer shall not ma4e a alse or misleading communication a!out the la"yer or the la"yer1s services. A communication is alse or misleading i it contains a material misrepresentation o act or la", or omits a act necessary to ma4e the statement considered as a "hole not materially misleading.
Rule 0,2 Advertising

(a) ,u!9ect to the re;uirements o :ules $.% and $.3, a la"yer may advertise services through "ritten, recorded or electronic communication, including pu!lic media. (!) A la"yer shall not give anything o value to a person or recommending the la"yer1s services e6cept that a la"yer may (%) pay the reasona!le costs o advertisements or communications permitted !y this :ule5 (2) pay the usual charges o a legal service plan or a not> or>pro it or ;uali ied la"yer re erral service. A ;uali ied la"yer re erral service is a la"yer re erral service that has !een approved !y an appropriate regulatory authority5 (3) pay or a la" practice in accordance "ith :ule %.%$5 and (.) re er clients to another la"yer or a nonla"yer pro essional pursuant to an agreement not other"ise prohi!ited under these :ules that provides or the other person to re er clients or customers to the la"yer, i (i) the reciprocal re erral agreement is not e6clusive, and (ii) the client is in ormed o the e6istence and nature o the agreement. (c) Any communication made pursuant to this rule shall include the name and o ice address o at least one la"yer or la" irm responsi!le or its content.
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Rule 0,3 'irect Contact :it1 Pros-ective Clients

(a) A la"yer shall not !y in>person, live telephone or real>time electronic contact solicit pro essional employment rom a prospective client "hen a signi icant motive or the la"yer1s doing so is the la"yer1s pecuniary gain, unless the person contacted8 (%) is a la"yer5 or (2) has a amily, close personal, or prior pro essional relationship "ith the la"yer. (!) A la"yer shall not solicit pro essional employment rom a prospective client !y "ritten, recorded or electronic communication or !y in>person, telephone or real>time electronic contact even "hen not other"ise prohi!ited !y paragraph (a), i 8 (%) the prospective client has made 4no"n to the la"yer a desire not to !e solicited !y the la"yer5 or (2) the solicitation involves coercion, duress or harassment. (c) )very "ritten, recorded or electronic communication rom a la"yer soliciting pro essional employment rom a prospective client 4no"n to !e in need o legal services in a particular matter shall include the "ords 7Advertising ?aterial7 on the outside envelope, i any, and at the !eginning and ending o any recorded or electronic communication, unless the recipient o the communication is a person speci ied in paragraphs (a)(%) or (a)(2). (d) Aot"ithstanding the prohi!itions in paragraph (a), a la"yer may participate "ith a prepaid or group legal service plan operated !y an organiEation not o"ned or directed !y the la"yer that uses in>person or telephone contact to solicit mem!erships or su!scriptions or the plan rom persons "ho are not 4no"n to need legal services in a particular matter covered !y the plan.
Rule 0,4 Communication of ;ields of Practice and -eciali?ation

(a) A la"yer may communicate the act that the la"yer does or does not practice in particular ields o la".
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(!) A la"yer admitted to engage in patent practice !e ore the @nited ,tates (atent and *rademar4 # ice may use the designation 7(atent Attorney7 or a su!stantially similar designation. (c) A la"yer engaged in Admiralty practice may use the designation 7Admiralty,7 7(roctor in Admiralty7 or a su!stantially similar designation. (d) A la"yer shall not state or imply that a la"yer is certi ied as a specialist in a particular ield o la", unless8 (%) the la"yer has !een certi ied as a specialist !y an organiEation that has !een approved !y an appropriate state authority or that has !een accredited !y the American Bar Association5 and (2) the name o the certi ying organiEation is clearly identi ied in the communication.
Rule 0,5 ;irm $ames and 6etter1eads

(a) A la"yer shall not use a irm name, letterhead or other pro essional designation that violates :ule $.%. A trade name may !e used !y a la"yer in private practice i it does not imply a connection "ith a government agency or "ith a pu!lic or charita!le legal services organiEation and is not other"ise in violation o :ule $.%. (!) A la" irm "ith o ices in more than one 9urisdiction may use the same name or other pro essional designation in each 9urisdiction, !ut identi ication o the la"yers in an o ice o the irm shall indicate the 9urisdictional limitations on those not licensed to practice in the 9urisdiction "here the o ice is located. (c) *he name o a la"yer holding a pu!lic o ice shall not !e used in the name o a la" irm, or in communications on its !ehal , during any su!stantial period in "hich the la"yer is not actively and regularly practicing "ith the irm. (d) <a"yers may state or imply that they practice in a partnership or other organiEation only "hen that is the act.
Rule 0,) Political Contri*utions to &*tain 6egal Engagements or A--ointments *5 =udges
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A la"yer or la" irm shall not accept a government legal engagement or an appointment !y a 9udge i the la"yer or la" irm ma4es a political contri!ution or solicits political contri!utions or the purpose o o!taining or !eing considered or that type o legal engagement or appointment.
Maintaining t1e "ntegrit5 of t1e Profession Rule /,1 Bar Admission and 'isci-linar5 Matters
An applicant or admission to the !ar, or a la"yer in connection "ith a !ar admission application or in connection "ith a disciplinary matter, shall not8 (a) 4no"ingly ma4e a alse statement o material act5 or (!) ail to disclose a act necessary to correct a misapprehension 4no"n !y the person to have arisen in the matter, or 4no"ingly ail to respond to a la" ul demand or in ormation rom an admissions or disciplinary authority, e6cept that this rule does not re;uire disclosure o in ormation other"ise protected !y :ule %.2.
Rule /,2 =udicial and 6egal &fficials

(a) A la"yer shall not ma4e a statement that the la"yer 4no"s to !e alse or "ith rec4less disregard as to its truth or alsity concerning the ;uali ications or integrity o a 9udge, ad9udicatory o icer or pu!lic legal o icer, or o a candidate or election or appointment to 9udicial or legal o ice. (!) A la"yer "ho is a candidate or 9udicial o ice shall comply "ith the applica!le provisions o the 'ode o Judicial 'onduct.
Rule /,3 Re-orting Professional Misconduct

(a) A la"yer "ho 4no"s that another la"yer has committed a violation o the :ules o (ro essional 'onduct that raises a su!stantial ;uestion as to that la"yer1s honesty, trust"orthiness or itness as a la"yer in other respects, shall in orm the appropriate pro essional authority.
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(!) A la"yer "ho 4no"s that a 9udge has committed a violation o applica!le rules o 9udicial conduct that raises a su!stantial ;uestion as to the 9udge1s itness or o ice shall in orm the appropriate authority. (c) *his :ule does not re;uire disclosure o in ormation other"ise protected !y :ule %.2 or in ormation gained !y a la"yer or 9udge "hile participating in an approved la"yers assistance program.
Rule /,4 Misconduct

3t is pro essional misconduct or a la"yer to8 (a) violate or attempt to violate the :ules o (ro essional 'onduct, 4no"ingly assist or induce another to do so, or do so through the acts o another5 (!) commit a criminal act that re lects adversely on the la"yer1s honesty, trust"orthiness or itness as a la"yer in other respects5 (c) engage in conduct involving dishonesty, raud, deceit or misrepresentation5 (d) engage in conduct that is pre9udicial to the administration o 9ustice5 (e) state or imply an a!ility to in luence improperly a government agency or o icial or to achieve results !y means that violate the :ules o (ro essional 'onduct or other la"5 or ( ) 4no"ingly assist a 9udge or 9udicial o icer in conduct that is a violation o applica!le rules o 9udicial conduct or other la".
Rule /,5 'isci-linar5 Aut1orit5C C1oice of 6a:

(a) /isciplinary Authority. A la"yer admitted to practice in this 9urisdiction is su!9ect to the disciplinary authority o this 9urisdiction, regardless o "here the la"yer1s conduct occurs. A la"yer not admitted in this 9urisdiction is also su!9ect to the disciplinary authority o this 9urisdiction i the la"yer provides or o ers to provide any legal services in this 9urisdiction. A la"yer may !e su!9ect to the disciplinary authority o !oth this 9urisdiction and another 9urisdiction or the same conduct. (!) 'hoice o <a". 3n any e6ercise o the disciplinary authority o this 9urisdiction, the rules o pro essional conduct to !e applied shall !e as ollo"s8
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(%) or conduct in connection "ith a matter pending !e ore a tri!unal, the rules o the 9urisdiction in "hich the tri!unal sits, unless the rules o the tri!unal provide other"ise5 and (2) or any other conduct, the rules o the 9urisdiction in "hich the la"yerCs conduct occurred, or, i the predominant e ect o the conduct is in a di erent 9urisdiction, the rules o that 9urisdiction shall !e applied to the conduct. A la"yer shall not !e su!9ect to discipline i the la"yerCs conduct con orms to the rules o a 9urisdiction in "hich the la"yer reasona!ly !elieves the predominant e ect o the la"yerCs conduct "ill occur. http8JJ""".a!anet.orgJcprJmrpcJ?:(',u!9ect+uide.pd
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