1.1

Competence

• legal knowldege
• skill
• thoroughness
• preparedness

1.2

SORAAB

Scope of Representation and Allocation of Authority Between Client and Lawyer

Abide by client's decision concerning objectives; consult as to means. May take action impliedly authorized. 

• settle
• plea
• waive jury trial
• client testify 

Limit scope? Reasonable + informed consent 

May discuss legal consequences of proposed course of conduct to determine: 

• validity 
• scope
• meaning/application of law

1.3

Diligence

• reasonable diligence
• promptness

1.4

Communication 

• promptly inform of decision/circumstance requiring informed consent
• reasonably consult about means 
• keep client reasonably informed about status
• promptly comply with reasonable request for information 
• consult with client about relevant limitation on lawyer's conduct
• explain matter to extent reasonably necessary to make informed decision 

1.5

Fees

• time/labor, difficulty of questions, skill requisite to perform 
• likelihood preclude other employment
• fee customarily charged in locality for similar service
• amount involved
• results obtained
• time limitations imposed client/circumstances
• nature/length of professional relationship
• experience, reputation, ability of lawyer performing 
• fixed/contingent fee 

Communicate with client in writing (before/reasonable time after commencing) fee and changes. 

No contingent fee for: 

• domestic relations
• defendant in criminal case

 Division of fee for lawyers not in same firm is permitted if: 

• in proportion to services performed or joint liability assumed for rep. in writing (e.g. shares) 
• total fee is reasonable 

1.6

COI

Confidentiality of Information 

SHALL NOT reveal information relating to representation of client unless: 

• informed consent
• impliedly authorized
• permitted by (b)

 MAY reveal information if lawyer reasonably believes: 

• prevent reasonably certain death/substantial bodily harm
• prevent client commit crime/fraud reasonably certain to result in substantial injury to financial interests/property of another 
• prevent, mitigate, rectify substantial injury to financial interests or property of another reasonably certain to result from client's commission crime/fraud 
• secure legal advice about compliance with rules
• establish claim or defense on behalf lawyer in controversy 
• comply with law or court order 

MAY use hypothetical to discuss issues relating to representation as long as no reasonable likelihood listener will be able to ascertain identity of client or situation involved. 

1.7 

COI:CC

Conflict of Interests: Current Clients

Concurrent Conflict of Interest: 

• representation directly adverse
• significant risk representation materially limited 

MAY represent if: 

• reasonably believes can provide competent and diligent representation to each client
• not prohibited by law 
• does not involve claims against another in same litigation
• each client give informed consent 

 Analysis: 

• Identify each client.
• Determine whether conflict exists.
• Decide whether representation may be undertaken despite conflict. 
• If so, consult with clients affected, obtain informed consent, writing. 

1.8

COI: CC -- SR

Conflict of Interest: Current Clients -- Specific Rules 

SHALL NOT: 

• enter into business transaction with client or knowingly acquire ownership, possessory, security, or other pecuniary interest adverse to client, unless transaction/terms fair and reasonable in writing; client advised in writing to seek independent legal counsel and given reasonable opportunity; informed consent, writing
• use information relating to rep. of client to disadvantage of client unless gives informed consent 
• solicit substantigal gift unless related to client 
• make/negotiate agreement giving literary/media rights based on information relating to rep. 
• provide financial assistance to client in connection with pending/contemplated litigation 
• accept compensation from one other than client unless (informed consent, no interference with ind. of judgment, information protected by R. 1.6) 
• 2+ clients? participate in aggregate settlement or guilty agreement 
• make agreement prospectively limiting lawyer's liability for malpractice unless client indp. rep. in making agreement 
• settle claim/potential claim with unrep. client/former client unless person (advised in writing to seek ind. counsel, given reasonable opp. seek ind. counsel) 
• acquire proprietary interest in COA or subject matter of litigation (may acquire lien authorized by law to secure fee/expenses, contract with client for reasonable contingent fee)
• have sexual relations with client unless relationship existed before 

1.9

DTFC

Duties to Former Clients

SHALL NOT: 

• represent another person formerly represented client in same or substantailly related matter in which person's interests are materially adverse to interests of former client, unless former client gives informed consent confirmed in writing
• knowingly rep. person in same or substantially related matter in which firm which lawyer formerly assoc. had previously rep. client 1) interests materially adverse 2) about whom lawyer acquired information protected by R. 1.6, 1.9(c) material to matter unless client gives informed consent confirmed in writing 
• use information relating to rep. to disadvantage of former client or reveal info. relating to rep. 

1.10

IOCOI:GR

Imputation of Conflict of Interest: General Rule 

SHALL NOT knowingly represent client when any one of them practicing alone would be prohibited from doing so by R. 1.7, 1.9 unless: 

•               based on personal interest and does not present significant risk of materially limiting rep.

•               prohibition based on R. 1.9(a), (b) arises out of disqualified lawyer association with another firm and is 1) timely screened, 2) written notice given to former client describing procedures, compliance, review tribunal, agreement to respond to written inquiries/objections)

•               certifications of compliance with R. and screenign procedures given at reasonable intervals

Lawyer terminate association with firm? Firm not prohibited from rep. person with interests materially adverse to those of client represented by formerly associated lawyer and not currently rep. by firm, unless: 

•               matter same or substantially related to that which formerly assoc. lawyer rep. client, and 

•               lawyer reamining in firm has information protected that is material to matter 

Disqualification may be waived by affected client under R. 1.7.  

1.11

SCOIF/CGOE

Special Conflicts of Interest for Former and Current Government Officers and Employees

Lawyer formerly served as public officer or employee of government: 

• subject to R. 1.9(c) and 
• SHALL NOT otherwise rep. client in connection with matter lawyer participated personally and substantially unless agency gives informed consent confirmed in writing to rep. 

When lawyer disqualified, no lawyer in firm may knowingly undertake/cont. rep. in matter unless:

• disqualified lawyer timely screened from participation in matter and no fee is given 
• written notice given to appropriate agency  

Lawyer with confidential government information may not represent private client whose interests are adverse to that person in matter in which info. could be used to material disadvantage of that person.  

Lawyer must have actual knowledge.

1.13

OAC

Organization as Client 

Know officer, employee or other person assoc. with org. engaged in/intends to act/refuses to act in matter related to rep. that is violation of legal obligation or might be imputed to org., result in substantial injury, SHALL proceed as reasonably necessary, in best interest of org. 

If despite efforts, person fails to address in timely and appropriate manner action/refusal to act that is violation of law and reasonably belieevs violation reasonably certain to result in substantial injury to org., MAY reveal info. relating to rep. whether or not R. 1.6 permits, but only to extent necessary. 

Inform highest authority of discharge.

MAY represent any organization directors, shareholders, members, officers, employees if consent to dual rep. and consent given by approprite indiv. (other than person to be rep.). 

1.14 

CDC

Clients with Diminished Capacity 

SHALL maintain normal attorney-client relationship. 

Reasonable belief client has diminished capacity, at risk of substantial physical, financial, or other harm unless action taken, may take reasonably necessary protective action (e.g. consult with family, guardian, guardian ad litem, conservator). 

Information relating to client with diminished capacity is protected by R. 1.7, reveal only to extent necessary.

1.15

SP

Safeguarding Property 

SHALL:

• hold property of client/third person in connection with rep. apart from own property, separate account, state where lawyer office is or elsewhere with consent
• keep records 5 years after termination of rep. 
• deposit legal fees and expense paid in advance to be withdrawn when earned
• keep funds if dispute arises and distribute all portions not in dispute 
• upon receipt of funds give to client/third person and render full accounting 

1.16

DTR

Declining or Terminating Representation

SHALL NOT represent or where rep. started, SHALL withdraw if: 

• violation RPC
• lawyer's physical or mental condition materially impairs lawyer's ability to rep. client
• lawyer is discharged

 MAY withdraw from rep. if: 

• no material adverse effect on client
• client persists in course of action lawyer reasonably believes criminal/fraudulent 
• client used lawyer's services to perpetrate crime/fraud
• repugnant or fundamental disagreement 
• fails to fulfill obligation and given reasonable warning lawyer will withdraw if not fulfilled
• rep. result in unreasonable financial burden 
• other good cause 

MUST comply with notice or permission requirements. Protect client's interests. 

3.1

MCC

Meritorious Claims and Contentions 

SHALL NOT bring or defend proceeding, assert or controvert issue, unless basis in law/fact for doing so NOT frivolous, including good faith argument for extension, modification or reversal of existing law. 

In criminal proceeding, may defend proceeding to require every element of case be established. 

3.3

CTT

Candor Towards the Tribunal 

SHALL NOT knowingly: 

• make false statement of material fact/law to third person 
• fail to correct false statement of material fact/law previously made
• fail to disclose legal authority in controlling jurisdiction known to be directly adverse to client and not disclosed by opposing counsel 
• offer evidence lawyer knows is false 

If lawyer, lawyer's client, witness called by lawyer offer material evidence and comes to know of falsity, SHALL take reasonable remedial measures, including, if necessary, disclosure to tribunal.

MAY refuse to offer evidence.

Ex parte proceeding, SHALL inform tribunal of all material facts known to lawyer that will enable tribunal to make informed decisions.  

3.4

FTOPC

Fairness to Opposing Party and Counsel 

SHALL NOT: 

• obstruct another party's access to evidence; alter, destroy, conceal document having potential evidentiary value or counsel another to do so
• falsify evidence, counsel or assist witness to testify falsely or offer inducement to witness prohibited by law
• knowingly disobey obligation under R. of tribunal 
• pretrial, make frivolous discovery request or fail to make reasonably diligent effort to comply with legally proper discovery request by opposing party 
• in trial, allude to matter not relevant or supported by admissible evidence; assert personal knowledge; state personal opinion as to justness of cause; credibility of witnes; request person other than client to refrain from voluntarily giving info to another party unless (relative, employee; reasonably believes person's interest will not be adversely affected by refraining from giving such info.)  

3.5

IDOT

Impartiality and Decorum of the Tribunal 

SHALL NOT: 

• seek to influence judge, juror, prospective juror, or other official by means prohibited by law
• communicate ex parte with person during proceeding unless authorized by court/law
• communicate with juror or prospective juror after discharge of jury if (communication prohibited law/court; juror made known to lawyer desire not to communicate; communication involves misrep., coercion, duress, harassment) 
• engage in conduct intended to disrupt tribunal 

3.6

TP

Trial Publicity

Lawyer participating in investigation/litigation SHALL NOT make extrajudicial statement that lawyer knows or reasonably should know will be disseminated by public communication and substantial likelihood of materially prejudicing adjudicative proceeding. 

MAY state:

•  claim, offense, defense involved, identity of person
• information in public record
• investigation in progress
• scheduling or result of step in litigation
• request assistance in obtaining evidence and info. 
• warning of danger concerning behavior of person involved when reasonable to believe likelihood of substantail harm to individual/public interest 
• criminal case (e.g. identity, residence, job, family status; info. necessary to aid in apprehension; fact, time, place of arrest; identity of arresting officer, investigating officer, agency, length of investigation) 

 MAY make statement reasonable lawyer would believe is req. to protect client from substantial undue prejudicial effect of recent publicity not initiated by lawyer or lawyer's client; only necessary to mitigate. 

3.7

LAW

Lawyer as Witness 

SHALL NOT act as advocate at trial lawyer is likely to be necessary witness unless: 

• uncontested issue
• nature and value of legal services
• disqualification would work substantial hardship

 MAY act as adovcate in trial where another lawyer is likely to be called witness unless precluded by R. 1.7, 1.9.  

3.8

SROP

Special Responsibility of Prosecutor