Rules Of Professional Conduct: Rule 1.0--Terminology

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8/17/2015Rules of Professional Conduct: Rule 1.0--TerminologyRules of Professional Conduct: Rule 1.0--Terminology(a) “Belief” or “believes” denotes that the person involved actually supposed the fact in question to be true. A person’s belief may beinferred from circumstances.(b) “Consult” or “consultation” denotes communication of information reasonably sufficient to permit the client to appreciate thesignificance of the matter in question.(c) “Firm” or “law firm” denotes a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or otherassociation authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation orother organization, but does not include a government agency or other government entity. See Comment, Rule 1.10.(d) “Fraud” or “fraudulent” denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdictionand has a purpose to deceive.(e) “Informed consent” denotes the agreement by a person to a proposed course of conduct after the lawyer has communicatedadequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct.(f) “Knowingly,” “known,” or “knows” denotes actual knowledge of the fact in question. A person’s knowledge may be inferred fromcircumstances.(g) “Law clerk” denotes a person, typically a recent law school graduate, who acts, typically for a limited period, as confidentialassistant to a judge or judges of a court; to an administrative law judge or a similar administrative hearing officer; or to the head of agovernmental agency or to a member of a governmental commission, either of which has authority to adjudicate or to promulgate rulesor regulations of general application.(h) “Matter” means any litigation, administrative proceeding, lobbying activity, application, claim, investigation, arrest, charge oraccusation, the drafting of a contract, a negotiation, estate or family relations practice issue, or any other representation, except asexpressly limited in a particular rule.(i) “Partner” denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation or professionallimited liability company, or a member of an association authorized to practice law.(j) “Reasonable” or “reasonably” when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent andcompetent lawyer.(k) “Reasonably should know” when used in reference to a lawyer denotes that a lawyer of reasonable prudence and competencewould ascertain the matter in question.(l) “Screened” denotes the isolation of a lawyer from any participation in a matter through the timely imposition of procedures withina firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect underthese Rules or other law.(m) “Substantial” when used in reference to degree or extent denotes a material matter of clear and weighty importance.(n) “Tribunal” denotes a court, an arbitrator in a binding arbitration proceeding, or a legislative body, administrative agency, or otherbody acting in an adjudicative capacity. A legislative body, administrative agency or other body acts in an adjudicative capacity when aneutral official, after the presentation of evidence or legal argument by a party or parties, will render a binding legal judgment directlyaffecting a party’s interests in a particular matter.(o) “Writing” or “written” denotes a tangible or electronic record of a communication or representation, including handwriting,typewriting, printing, photo stating, photography, audio or video recording, and e-mail. A “signed” writing includes an electronic sound,symbol or process attached to or logically associated with a writing and executed or adopted by a person with the intent to sign thewriting.COMMENT“Fraud” or “fraudulent”[1] When used in these Rules, the terms “fraud” or “fraudulent” refer to conduct that is characterized as suchunder the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. This doesnot include merely negligent misrepresentation or negligent failure to apprise another of relevant information. Forpurposes of these Rules, it is not necessary that anyone has suffered damages or relied on themisrepresentation or failure to inform.“Informed consent”[2] Many of the Rules of Professional Conduct require the lawyer to obtain the informed consent of a client orother person (e.g., a former client or, under certain circumstances, a prospective client) before accepting orcontinuing representation or pursuing a course of conduct. See, e.g., Rules 1.2(c), 1.6(e) and 1.7(c)(1). Thecommunication necessary to obtain such consent will vary according to the Rule involved and the circumstancesgiving rise to the need to obtain informed consent. The lawyer must make reasonable efforts to ensure that theclient or other person possesses information reasonably adequate to make an informed decision. Ordinarily, thiswill require communication that includes a disclosure of the facts and circumstances giving rise to the situation,any explanation reasonably necessary to inform the client or other person of the material advantages anddisadvantages of the proposed course of conduct and a discussion of the client’s or other person’s options andalternatives. In some circumstances it may be appropriate for a lawyer to advise a client or other person to seekthe advice of other counsel. A lawyer need not inform a client or other person of facts or implications thics/amended-rules/rule1-0.cfm1/2

8/17/2015Rules of Professional Conduct: Rule 1.0--Terminologyknown to the client or other person; nevertheless, a lawyer who does not personally inform the client or otherperson assumes the risk that the client or other person is inadequately informed and the consent is invalid. Indetermining whether the information and explanation provided are reasonably adequate, relevant factors includewhether the client or other person is experienced in legal matters generally and in making decisions of the typeinvolved, and whether the client or other person is independently represented by other counsel in giving theconsent. Normally, such persons need less information and explanation than others, and generally a client orother person who is independently represented by other counsel in giving the consent should be assumed tohave given informed consent. In all circumstances, the client’s consent must be not only informed but alsouncoerced by the lawyer or by any other person acting on the lawyer’s behalf.[3] Obtaining informed consent will usually require an affirmative response by the client or other person. Ingeneral, a lawyer may not assume consent from a client’s or other person’s silence. Consent may be inferred,however, from the conduct of a client or other person who has reasonably adequate information about thematter. A number of Rules require that a person’s consent be in writing. See Rules 1.8(a)(3) and 1.8(g). For adefinition of “writing,” see Rule 1.0(o).“Screened”[4] This definition applies to situations where screening of a personally disqualified lawyer is permitted toremove imputation of a conflict of interest under Rules 1.11, 1.12 or 1.18.[5] The purpose of screening is to assure the affected parties that confidential information known by thepersonally disqualified lawyer remains protected. The personally disqualified lawyer should acknowledge theobligation not to communicate with any of the other lawyers in the firm with respect to the matter. Similarly, otherlawyers in the firm who are working on the matter should be informed that the screening is in place and that theymay not communicate with the personally disqualified lawyer with respect to the matter. Additional screeningmeasures that are appropriate for the particular matter will depend upon the circumstances. To implement,reinforce and remind all affected lawyers of the presence of the screening, it may be appropriate for the firm toundertake such procedures as a written undertaking by the screened lawyer to avoid any communication withother firm personnel and any contact with any firm files or other materials relating to the matter, written noticeand instructions to all other firm personnel forbidding any communication with the screened lawyer relating to thematter, denial of access by the screened lawyer to firm files or other materials relating to the matter and periodicreminders of the screen to the screened lawyer and all other firm personnel. For a further explanation ofscreening, see D.C. Bar Legal Ethics Committee Opinion 279.[6] In order to be effective, screening measures must be implemented as soon as practical after a lawyer orlaw firm knows or reasonably should know that there is a need for screening.Rule One Table of ContentsGo s/amended-rules/rule1-0.cfm2/2

8/17/2015Rules of Professional Conduct: Rule 1.6--Confidentiality of InformationRules of Professional Conduct: Rule 1.6--Confidentiality of Information(a) Except when permitted under paragraph (c), (d), or (e), a lawyer shall not knowingly:(1) reveal a confidence or secret of the lawyer’s client;(2) use a confidence or secret of the lawyer’s client to the disadvantage of the client;(3) use a confidence or secret of the lawyer’s client for the advantage of the lawyer or of a third person.(b) “Confidence” refers to information protected by the attorney-client privilege under applicable law, and “secret” refers to otherinformation gained in the professional relationship that the client has requested be held inviolate, or the disclosure of which would beembarrassing, or would be likely to be detrimental, to the client.(c) A lawyer may reveal client confidences and secrets, to the extent reasonably necessary:(1) to prevent a criminal act that the lawyer reasonably believes is likely to result in death or substantial bodily harm absentdisclosure of the client’s secrets or confidences by the lawyer; or(2) to prevent the bribery or intimidation of witnesses, jurors, court officials, or other persons who are involved in proceedingsbefore a tribunal if the lawyer reasonably believes that such acts are likely to result absent disclosure of the client’s confidencesor secrets by the lawyer.(d) When a client has used or is using a lawyer’s services to further a crime or fraud, the lawyer may reveal client confidences andsecrets, to the extent reasonably necessary:(1) to prevent the client from committing the crime or fraud if it is reasonably certain to result in substantial injury to thefinancial interests or property of another; or(2) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain toresult or has resulted from the client’s commission of the crime or fraud.(e) A lawyer may use or reveal client confidences or secrets:(1) with the informed consent of the client;(2) (A) when permitted by these Rules or required by law or court order; and(B) if a government lawyer, when permitted or authorized by law;(3) to the extent reasonably necessary to establish a defense to a criminal charge, disciplinary charge, or civil claim, formallyinstituted against the lawyer, based upon conduct in which the client was involved, or to the extent reasonably necessary torespond to specific allegations by the client concerning the lawyer’s representation of the client;(4) when the lawyer has reasonable grounds for believing that a client has impliedly authorized disclosure of a confidence orsecret in order to carry out the representation;(5) to the minimum extent necessary in an action instituted by the lawyer to establish or collect the lawyer’s fee; or(6) to the extent reasonably necessary to secure legal advice about the lawyer’s compliance with law, including these Rules.(f) A lawyer shall exercise reasonable care to prevent the lawyer’s employees, associates, and others whose services are utilized by thelawyer from disclosing or using confidences or secrets of a client, except that such persons may reveal information permitted to bedisclosed by paragraphs (c), (d), or (e).(g) The lawyer’s obligation to preserve the client’s confidences and secrets continues after termination of the lawyer’s employment.(h) The obligation of a lawyer under paragraph (a) also applies to confidences and secrets learned prior to becoming a lawyer in thecourse of providing assistance to another lawyer.(i) For purposes of this rule, a lawyer who serves as a member of the D.C. Bar Lawyer Counseling Committee, or as a trainedintervenor for that committee, shall be deemed to have a lawyer-client relationship with respect to any lawyer-counselee being counseledunder programs conducted by or on behalf of the committee. Information obtained from another lawyer being counseled under theauspices of the committee, or in the course of and associated with such counseling, shall be treated as a confidence or secret within theterms of paragraph (b). Such information may be disclosed only to the extent permitted by this rule.(j) For purposes of this rule, a lawyer who serves as a member of the D.C. Bar Practice Management Service Committee, formerlyknown as the Lawyer Practice Assistance Committee [1] (#n1) , or a staff assistant, mentor, monitor or other consultant for thatcommittee, shall be deemed to have a lawyer-client relationship with respect to any lawyer-counselee being counseled under programsconducted by or on behalf of the committee. Communications between the counselor and the lawyer being counseled under the auspicesof the committee, or made in the course of and associated with such counseling, shall be treated as a confidence or secret within theterms of paragraph (b). Such information may be disclosed only to the extent permitted by this rule. However, during the period in whichthe lawyer-counselee is subject to a probationary or monitoring order of the Court of Appeals or the Board on ProfessionalResponsibility in a disciplinary case instituted pursuant to Rule XI of the Rules of the Court of Appeals Governing the Bar, suchinformation shall be subject to disclosure in accordance with the order. (k) The client of the government lawyer is the agency thatemploys the lawyer unless expressly provided to the contrary by appropriate law, regulation, or order.Comment[1] The lawyer is part of a judicial system charged with upholding the law. One of the lawyer’s functions is toadvise clients so that they avoid any violation of the law in the proper exercise of their rights.[2] The observance of the ethical obligation of a lawyer to hold inviolate confidential information of the client notonly facilitates the full development of facts essential to proper representation of the client but also encouragespeople to seek early legal assistance.[3] Almost without exception, clients come to lawyers in order to determine what their rights are and what is, inthe maze of laws and regulations, deemed to be legal and correct. The common law recognizes that the l-ethics/amended-rules/rule1-06.cfm1/7

8/17/2015Rules of Professional Conduct: Rule 1.6--Confidentiality of Informationconfidences must be protected from disclosure. Based upon experience, lawyers know that almost all clientsfollow the advice given, and the law is upheld.[4] A fundamental principle in the client lawyer relationship is that the lawyer holds inviolate the client’s secretsand confidences. The client is thereby encouraged to communicate fully and frankly with the lawyer even as toembarrassing or legally damaging subject matter.[5] This rule prohibits a lawyer from revealing the confidences and secrets of a client except as provided in thisrule or elsewhere in the Rules. Proper concern for professional duty should cause a lawyer to shun indiscreetconversations concerning clients. A lawyer’s use of a hypothetical to discuss issues relating to the representationis permissible so long as there is no reasonable likelihood that the listener will be able to ascertain the identity ofthe client or the situation involved.Relationship Between Rule 1.6 and Attorney Client Evidentiary Privilege and Work Product Doctrine[6] The principle of confidentiality is given effect in two related bodies of law: the attorney client privilege andthe work product doctrine in the law of evidence and the rule of confidentiality established in professional ethics.The attorney client privilege and the work product doctrine apply in judicial and other proceedings in which alawyer may be called as a witness or otherwise required to produce evidence concerning a client. This rule is notintended to govern or affect judicial application of the attorney client privilege or work product doctrine. Theprivilege and doctrine were developed to promote compliance with law and fairness in litigation. In reliance onthe attorney client privilege, clients are entitled to expect that communications within the scope of the privilegewill be protected against compelled disclosure.[7] The attorney client privilege is that of the client and not of the lawyer. As a general matter, the client has areasonable expectation that information relating to the client will not be voluntarily disclosed and that disclosureof such information may be judicially compelled only in accordance with recognized exceptions to the attorney client privilege and work product doctrine.[8] The rule of client lawyer confidentiality applies in situations other than those where evidence is sought fromthe lawyer through compulsion of law; furthermore, it applies not merely to matters communicated in confidenceby the client (i.e., confidences) but also to all information gained in the course of the professional relationshipthat the client has requested be held inviolate, or the disclosure of which would be embarrassing or would belikely to be detrimental to the client (i.e.,secrets). This ethical precept, unlike the evidentiary privilege, existswithout regard to the nature or source of the information or the fact that others share the knowledge. It reflectsnot only the principles underlying the attorney client privilege, but the lawyer’s duty of loyalty to the client.The Commencement of the Client Lawyer Relationship[9] Principles of substantive law external to these Rules determine whether a client lawyer relationship exists.Although most of the duties flowing from the client lawyer relationship attach only after the client has requestedthe lawyer to render legal services and the lawyer has agreed to do so, the duty of confidentiality imposed by thisrule attaches when the lawyer agrees to consider whether a client lawyer relationship shall be established. Otherduties of a lawyer to a prospective client are set forth in Rule 1.18.Exploitation of Confidences and Secrets[10] In addition to prohibiting the disclosure of a client’s confidences and secrets, subparagraph (a)(2) providesthat a lawyer may not use the client’s confidences and secrets to the disadvantage of the client. For example, alawyer who has learned that the client is investing in specific real estate may not seek to acquire nearby propertywhere doing so would adversely affect the client’s plan for investment. Similarly, information acquired by thelawyer in the course of representing a client may not be used to the disadvantage of that client even after thetermination of the lawyer’s representation of the client. However, the fact that a lawyer has once served a clientdoes not preclude the lawyer from using generally known information about the former client when laterrepresenting another client. Under subparagraphs (a)(3) and (e)(1), a lawyer may use a client’s confidences andsecrets for the

matter. A number of Rules require that a person’s consent be in writing. See Rules 1.8(a)(3) and 1.8(g). For a definition of “writing,” see Rule 1.0(o). “Screened” [4] This definition applies to situations where scre

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