Ohio Rules Of Professional Conduct
OHIO RULES OF PROFESSIONAL CONDUCT(Effective February 1, 2007; as amended effective June 17, 2020)TABLE OF CONTENTS1.0Preamble: A Lawyer’s Responsibilities; -Lawyer RelationshipCompetenceScope of Representation and Allocation of Authority Between Client andLawyerDiligenceCommunicationFees and ExpensesConfidentiality of InformationConflict of Interest: Current ClientsConflict of Interest: Current Clients: Specific RulesDuties to Former ClientsImputation of Conflicts of Interest: General RuleSpecial Conflicts of Interest for Former and Current Government Officersand EmployeesFormer Judge, Arbitrator, Mediator, or Other Third-Party NeutralOrganization as ClientClient with Diminished CapacitySafekeeping Funds and PropertyDeclining or Terminating RepresentationSale of Law PracticeDuties to Prospective Client2.12.22.32.4CounselorAdvisor[Reserved for future use; no corresponding ABA Model Rule]Evaluation for Use by Third PersonsLawyer Serving as Arbitrator, Mediator, or Third-Party Neutral3.13.23.33.43.53.6AdvocateMeritorious Claims and ContentionsExpediting Litigation [Not Adopted; See Note]Candor toward the TribunalFairness to Opposing Party and CounselImpartiality and Decorum of the TribunalTrial 4119121124
3.73.83.9Lawyer as WitnessSpecial Responsibilities of a ProsecutorAdvocate in Nonadjudicative Proceedings1271301324.14.24.34.4Transactions with Persons Other Than ClientsTruthfulness in Statements to OthersCommunication with Person Represented by CounselDealing with Unrepresented PersonRespect for Rights of Third Persons1331351371395.15.25.35.45.55.65.7Law Firms and AssociationsResponsibilities of Partners, Managers, and Supervisory LawyersResponsibilities of a Subordinate LawyerResponsibilities Regarding Nonlawyer AssistantsProfessional Independence of a LawyerUnauthorized Practice of Law; Multijurisdictional Practice of LawRestrictions on Right to PracticeResponsibilities Regarding Law-Related Services1411431441461481541556.16.26.36.46.5Public ServiceVoluntary Pro Bono Publico Service [Action Deferred; See Note]Accepting AppointmentsMembership in Legal Services Organization [Not Adopted; See Note]Law Reform Activities Affecting Client Interests [Not Adopted; See Note]Nonprofit and Court-Annexed Limited Legal Services 8.48.5Information About Legal ServicesCommunications Concerning a Lawyer’s ServicesAdvertising and Recommendation of Professional EmploymentSolicitation of ClientsCommunication of Fields of Practice and SpecializationFirm Names and LetterheadsPolitical Contributions to Obtain Government Legal Engagements orAppointments by Judges [Not Adopted; See Note]165167170176178180Maintaining the Integrity of the ProfessionBar Admission and Disciplinary MattersJudicial OfficialsReporting Professional MisconductMisconductDisciplinary Authority; Choice of Law181183185187189Form of Citation, Effective Date, and Application192
Note: Except for Latin terms, words and phrases that appear in italicized type in eachrule denote terms that are defined in Rule 1.0.
PREAMBLE: A LAWYER’S RESPONSIBILITIES[1]As an officer of the court, a lawyer not only represents clients but has aspecial responsibility for the quality of justice.[2]In representing clients, a lawyer performs various functions. As advisor, alawyer provides a client with an informed understanding of the client’s legal rights andobligations and explains their practical implications. As advocate, a lawyer asserts theclient’s position under the rules of the adversary system. As negotiator, a lawyer seeksa result advantageous to the client and consistent with requirements of honest dealingswith others. As an evaluator, a lawyer examines a client’s legal affairs and reports aboutthem to the client or to others.[3]In addition to these representational functions, a lawyer may serve as athird-party neutral, a nonrepresentational role helping the parties to resolve a dispute orother matter. See, e.g., Rules 1.12 and 2.4. In addition, there are rules that apply tolawyers who are not active in the practice of law or to practicing lawyers even when theyare acting in a nonprofessional capacity. For example, a lawyer who commits fraud inthe conduct of a business is subject to discipline for engaging in conduct involvingdishonesty, fraud, deceit, or misrepresentation. See Rule 8.4.[4]In all professional functions a lawyer should be competent, prompt, diligent,and loyal. A lawyer should maintain communication with a client concerning therepresentation. A lawyer should keep in confidence information relating to representationof a client except so far as disclosure is required or permitted by the Ohio Rules ofProfessional Conduct or other law.[5]Lawyers play a vital role in the preservation of society. A lawyer’s conductshould conform to the requirements of the law, both in professional service to clients andin the lawyer’s business and personal affairs. A lawyer should use the law’s proceduresonly for legitimate purposes and not to harass or intimidate others. A lawyer shoulddemonstrate respect for the legal system and for those who serve it, including judges,other lawyers, and public officials. Adjudicatory officials, not being wholly free to defendthemselves, are entitled to receive the support of the bar against unjustified criticism.Although a lawyer, as a citizen, has a right to criticize such officials, the lawyer should doso with restraint and avoid intemperate statements that tend to lessen public confidencein the legal system. While it is a lawyer’s duty, when necessary, to challenge the rectitudeof official action, it is also a lawyer’s duty to uphold legal process.[6]A lawyer should seek improvement of the law, ensure access to the legalsystem, advance the administration of justice, and exemplify the quality of servicerendered by the legal profession. As a member of a learned profession, a lawyer shouldcultivate knowledge of the law beyond its use for clients, employ that knowledge in reformof the law, and work to strengthen legal education. In addition, a lawyer should furtherthe public’s understanding of and confidence in the rule of law and the justice systembecause legal institutions in a constitutional democracy depend on popular participation1
and support to maintain their authority. A lawyer should be mindful of deficiencies in theadministration of justice and of the fact that the poor, and sometimes persons who arenot poor, cannot afford adequate legal assistance. Therefore, all lawyers should devoteprofessional time and resources and use civic influence to ensure equal access to oursystem of justice for all those who because of economic or social barriers cannot affordor secure adequate legal counsel. A lawyer should aid the legal profession in pursuingthese objectives and should help the bar regulate itself in the public interest.[7][RESERVED][8][RESERVED][9]The Ohio Rules of Professional Conduct often prescribe rules for a lawyer’sconduct. Within the framework of these rules, however, many difficult issues ofprofessional discretion can arise. These issues must be resolved through the exercise ofsensitive professional and moral judgment guided by the basic principles underlying therules.[10][RESERVED][11] The legal profession is self-governing in that the Ohio Constitution vests inthe Supreme Court of Ohio the ultimate authority to regulate the profession. To the extentthat lawyers meet the obligations of their professional calling, the occasion forgovernment regulation is obviated. Self-regulation also helps maintain the legalprofession’s independence from government domination.An independent legalprofession is an important force in preserving government under law, for abuse of legalauthority is more readily challenged by a profession whose members are not dependenton government for the right to practice.[12][RESERVED][13][RESERVED]SCOPE[14] The Ohio Rules of Professional Conduct are rules of reason. They shouldbe interpreted with reference to the purposes of legal representation and of the law itself.Some of the rules are imperatives, cast in the terms “shall” or “shall not.” These defineproper conduct for purposes of professional discipline. Others, generally cast in the term“may,” are permissive and define areas under the rules in which the lawyer has discretionto exercise professional judgment. No disciplinary action should be taken when thelawyer chooses not to act or acts within the bounds of such discretion. Other rules definethe nature of relationships between the lawyer and others. The rules are thus partlyobligatory and disciplinary and partly constitutive and descriptive in that they define alawyer’s professional role. Many of the comments use the term “should.” Comments do2
not add obligations to the rules but provide guidance for practicing in compliance with therules.[15] The rules presuppose a larger legal context shaping the lawyer’s role. Thatcontext includes court rules relating to matters of licensure, laws defining specificobligations of lawyers, and substantive and procedural law in general. The commentsare sometimes used to alert lawyers to their responsibilities under such other law.[16] Compliance with the rules, as with all law in an open society, dependsprimarily upon understanding and voluntary compliance, secondarily upon reinforcementby peer and public opinion, and finally, when necessary, upon enforcement throughdisciplinary proceedings. The rules do not, however, exhaust the moral and ethicalconsiderations that should inform a lawyer, for no worthwhile human activity can becompletely defined by legal rules. The rules simply provide a framework for the ethicalpractice of law.[17] Furthermore, for purposes of determining the lawyer’s authority andresponsibility, principles of substantive law external to these rules determine whether aclient-lawyer relationship exists. Most of the duties flowing from the client-lawyerrelationship attach only after the client has requested the lawyer to render legal servicesand the lawyer has agreed to do so. But there are some duties, such as that ofconfidentiality under Rule 1.6, that attach when the lawyer agrees to consider whether aclient-lawyer relationship shall be established. See Rule 1.18. Whether a client-lawyerrelationship exists for any specific purpose can depend on the circumstances and maybe a question of fact.[18] Under various legal provisions, including constitutional, statutory, andcommon law, the responsibilities of government lawyers may include authority concerninglegal matters that ordinarily reposes in the client in private client-lawyer relationships. Forexample, a lawyer for a government agency may have authority on behalf of thegovernment to decide upon settlement or whether to appeal from an adverse judgment.Such authority in various respects is generally vested in the attorney general and thestate’s attorney in state government, and their federal counterparts, and the same maybe true of other government law officers. Also, lawyers under the supervision of theseofficers may be authorized to represent several government agencies inintragovernmental legal controversies in circumstances where a private lawyer could notrepresent multiple private clients. These rules do not abrogate any such authority.[19] Failure to comply with an obligation or prohibition imposed by a rule is abasis for invoking the disciplinary process. The rules presuppose that disciplinaryassessment of a lawyer’s conduct will be made on the basis of the facts andcircumstances as they existed at the time of the conduct in question and in recognition ofthe fact that a lawyer often has to act upon uncertain or incomplete evidence of thesituation. Moreover, the rules presuppose that whether or not discipline should beimposed for a violation, and the severity of a sanction, depend on all the circumstances,3
such as the willfulness and seriousness of the violation, extenuating factors, and whetherthere have been previous violations.[20] Violation of a rule should not itself give rise to a cause of action against alawyer nor should it create any presumption in such a case that a legal duty has beenbreached. In addition, violation of a rule does not necessarily warrant any othernondisciplinary remedy, such as disqualification of a lawyer in pending litigation. Therules are designed to provide guidance to lawyers and to provide a structure for regulatingconduct through disciplinary agencies. They are not designed to be a basis for civilliability. Furthermore, the purpose of the rules can be subverted when they are invokedby opposing parties as procedural weapons. The fact that a rule is a just basis for alawyer’s self-assessment, or for sanctioning a lawyer under the administration of adisciplinary authority, does not imply that an antagonist in a collateral proceeding ortransaction has standing to seek enforcement of the rule. Nevertheless, since the rulesdo establish standards of conduct by lawyers, a lawyer’s violation of a rule may beevidence of breach of the applicable standard of conduct.[21] The comment accompanying each rule explains and illustrates the meaningand purpose of the rule. The Preamble and this note on Scope provide generalorientation. The comments are intended as guides to interpretation, but the text of eachrule is authoritative.4
RULE 1.0: TERMINOLOGYAs used in these rules:(a)“Belief” or “believes” denotes that the person involved actually supposedthe fact in question to be true. A person’s belief may be inferred from circumstances.(b)“Confirmed in writing,” when used in reference to the informed consent of aperson, denotes informed consent that is given in writing by the person or a writing that alawyer promptly transmits to the person confirming an oral informed consent. See division(f) for the definition of “informed consent.” If it is not feasible to obtain or transmit thewriting at the time the person gives informed consent, then the lawyer must obtain ortransmit it within a reasonable time thereafter.(c)“Firm” or “law firm” denotes a lawyer or lawyers in a law partnership,professional corporation, sole proprietorship, or other association authorized to practicelaw; or lawyers employed in a private or public legal aid or public defender organization,a legal services organization, or the legal department of a corporation or otherorganization.(d)“Fraud” or “fraudulent” denotes conduct that has an intent to deceive and iseither of the following:(1)an actual or implied misrepresentation of a material fact that is madeeither with knowledge of its falsity or with such utter disregard and recklessnessabout its falsity that knowledge may be inferred;(2)a knowing concealment of a material fact where there is a duty todisclose the material fact.(e)“Illegal” denotes criminal conduct or a violation of an applicable statute oradministrative regulation.(f)“Informed consent” denotes the agreement by a person to a proposedcourse of conduct after the lawyer has communicated adequate information andexplanation about the material risks of and reasonably available alternatives to theproposed course of conduct.(g)“Knowingly,” “known,” or “knows” denotes actual knowledge of the fact inquestion. A person’s knowledge may be inferred from circumstances.(h)“Partner” denotes a member of a partnership, a shareholder in a law firmorganized as a professional corporation, or a member of an association authorized topractice law.5
(i)“Reasonable” or “reasonably” when used in relation to conduct by a lawyerdenotes the conduct of a reasonably prudent and competent lawyer.(j)“Reasonable belief” or “reasonably believes” when used in reference to alawyer denotes that the lawyer believes the matter in question and that the circumstancesare such that the belief is reasonable.(k)“Reasonably should know” when used in reference to a lawyer denotes thata lawyer of reasonable prudence and competence would ascertain the matter in question.(l)“Screened” denotes the isolation of a lawyer from any participation in amatter through the timely imposition of procedures within a firm that are reasonablyadequate under the circumstances to protect information that the isolated lawyer isobligated to protect under these rules or other law.(m) “Substantial” when used in reference to degree or extent denotes a matterof real importance or great consequence.(n)“Substantially related matter” denotes one that involves the sametransaction or legal dispute or one in which there is a substantial risk that confidentialfactual information that would normally have been obtained in the prior representation ofa client would materially advance the position of another client in a subsequent matter.(o)“Tribunal” denotes a court, an arbitrator in a binding arbitration proceeding,or a legislative body, administrative agency, or other body acting in an adjudicativecapacity. A legislative body, administrative agency, or other body acts in an adjudicativecapacity when a neutral official, after the presentation of evidence or legal argument by aparty or parties, will render a binding legal judgment directly affecting a party’s interestsin a particular matter.(p) “Writing” or “written” denotes a tangible or electronic record of a communicationor representation, including handwriting, typewriting, printing, photostating, photography,audio or videorecording, and electronic communications. A “signed” writing includes anelectronic sound, symbol, or process attached to or logically associated with a writing andexecuted or adopted by a person with the intent to sign the writing.CommentConfirmed in Writing[1]If it is not feasible to obtain or transmit a written confirmation at the time the clientgives informed consent, then the lawyer must obtain or transmit it within a reasonable timethereafter. If a lawyer has obtained a client’s informed consent, the lawyer may act in reliance onthat consent so long as it is confirmed in writing within a reasonable time thereafter.Firm6
[2]Whether two or more lawyers constitute a firm within division (c) can depend onthe specific facts. For example, a lawyer in an of-counsel relationship with a law firm will betreated as part of that firm. On the other hand, two practitioners who share office space andoccasionally consult or assist each other ordinarily would not be regarded as constituting a firmfor purposes of fee division in Rule 1.5(e). The terms of any agreement between associatedlawyers are relevant in determining whether they are a firm, as is the fact that they have mutualaccess to information concerning the clients they serve. Furthermore, it is relevant in doubtfulcases to consider the underlying purpose of the rule that is involved.[3]With respect to the law department of an organization, there is ordinarily noquestion that the members of the department constitute a firm within the meaning of the OhioRules of Professional Conduct. There can be uncertainty, however, as to the identity of the client.For example, it may not be clear whether the law department of a corporation represents asubsidiary or an affiliated corporation, as well as the corporation by which the members of thedepartment are directly employed. A similar question can arise concerning an unincorporatedassociation and its local affiliates.[4]Similar questions can also arise with respect to lawyers in legal aid and legalservices organizations. Depending upon the structure of the organization, the entire organizationor different components of it may constitute a firm or firms for purposes of these rules.[4A] Government agencies are not included in the definition of “firm” because there aresignificant differences between a government agency and a group of lawyers associated to servenongovernmental clients. Of course, all
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