PROFESSIONAL RESPONSIBILITY OUTLINE

FALL 2006

CLIENT-LAWYER RELATIONSHIP
• 1.1
• 1.2
• 1.3: Diligence- A lawyer shall act with reasonable diligence and promptness in
representing a client. Regulating work load- the attorney’s workload should not
impact effectiveness. However, failure to carry out obligation is discipline-able.
• 1.4
• 1.5
• 1.6: Confidentiality of Information -
• 1.7
• 1.8
• 1.9
• 1.10
• 1.11
• 1.12
• 1.13: Attorney’s Duty to the Corporation- 1.13: Organization as Client- the
lawyer represents the business entity, not the employees. This usually covers all
officers and managers. MUST BE:
1. Act or refusal to act on something related to a legal obligation that is either a
violation of an outside law or violation of a legal obligation within the org.
2. That might be imputed to the organization, AND
3. Is likely to result in substantial injury to the organization
IF ALL 3 met, then attorney MAY refer the matter to higher authority in
the org, then move up the hierarchy
• 1.14
• 1.15
• 1.16
• 1.17
• 1.18

COUNSELOR
• 2.1
• 2.3
• 2.4

ADVOCATE
• 3.1 Meritorious Claims and Contentions: No frivolous suits or defenses except in
criminal cases. For purposes of discipline, the key to whether a suit or defense is
frivolous is good faith. There should be a basis in law or fact that makes the suit
or defense in good faith, even if the lawyer thinks the client will not prevail.
• 3.2
 • 3.3 Candor toward the tribunal
A. A lawyer shall not knowingly:
1. make a false statement or fail to correct a prior false statement of fact or law
2. fail to disclose legal authority in the controlling jurisdiction know to lawyer to
be directly adverse to the client and not disclosed by opposing counsel
3. offer false evidence
B. A lawyer who knows that their client intends to or is engaged in criminal or
fraudulent conduct relating to the proceeding shall take reasonable remedial
measures, including disclosure to the tribunal
C. The duties continue to conclusion of proceeding and apply even if compliance
requires disclosure of info otherwise protected by rule 1.6.
D. In an ex parte proceeding, a lawyer shall tell the tribunal all material facts, even
those that are adverse to the client.
E. The rule that a lawyer must reveal unfavorable authority applies to law, not dicta
• 3.4Fairness to Opposing Party and Counsel: A lawyer shall not:
a. Unlawfully obstruct another party’s access to evidence or unlawfully alter,
destroy or conceal a document or other material having potential evidentiary
value. A lawyer shall not counsel or assist another to do any such act
b. Falsify evidence, counsel or assist a witness to testify falsely, or affer inducement
to a witness that is prohibited by law
c. Disobey an obligation under rules of tribunal, except to say there is none
• In pretrial procedure
• 3.5
• 3.6
• 3.7
• 3.8
• 3.9

TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS

• 4.1
• 4.2: Communication with Person Represented by Counsel
a) In representing a client, a lawyer shall not communicate about the subject
of representation with a person the lawyer knows to be represented by
another lawyer in the matter, UNLESS the lawyer has the consent of the
other lawyer OR is authorized to do so by law or court order.
b) Who may made statements for the company:
 Officer/director/management
 Could cause liability
 Person authorized to make statements for the company
•
• 4.3
• 4.4

LAW FIRMS AND ASSOCIATIONS

• 5.1
 • 5.2
• 5.3
• 5.4
• 5.5
• 5.6
• 5.7

PUBLIC SERVICE
• 6.1
• 6.2
• 6.3
• 6.4
• 6.5

INFORMATION ABOUT LEGAL SERVICES

• 7.1
• 7.2
• 7.3
• 7.4
• 7.5
• 7.6

MAINTAINING THE INTEGRITY OF THE PROFESSION

• 8.1
• 8.2
• 8.3
• 8.4: It is misconduct to:
a) violate the rules of conduct
b) commit a criminal act that reflects adversely on the attorney
c) engage in dishonesty, fraud, deceit or misrepresentation
d) engage in conduct prejudicial to admin of justice
e) state/imply ability to influence improperly a government agency or
official or to achieve results by violating the pro conduct rules
f) Knowingly assist a judge or officer in conduct that is a violation of
applicable rule of judicial conduct or other law.
• 8.5