Relationships Between Lawyers and Clients

Question 1

Rule 1.1: Competence

Answer 1

A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation

Question 2

Rule 1.3: Diligence

Answer 2

A lawyer shall act with reasonable diligence and promptness in representing a client.

Question 3

Rule 1.4(a): Communication

Answer 3

(a) A lawyer shall:
(1) promptly inform the client of any decision or circumstance with respect to which the client’s informed consent, is required by these Rules;
(2) reasonably consult with the client about the means by which the client’s objectives are to be accomplished;
(3) keep the client reasonably informed about the status of the matter;
(4) promptly comply with reasonable requests for information; and
(5) consult with the client about any relevant limitation on the lawyer’s conduct when the lawyer knows that the client expects assistance not permitted by the Rules of Professional Conduct or other law.

Question 4

Rule 1.4(b): Communication

Answer 4

(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation

Question 5

Rule 1.18(a): Duties To Prospective Clients

Answer 5

(a) “Prospective client” defined: A person who consults with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter

Question 6

Rule 1.18(b): Duties To Prospective Clients

Answer 6

(b) Duty of confidentiality: Even when no client-lawyer relationship ensues, lawyer who has learned information from a prospective client shall not use or reveal that information
- except as Rule 1.9 would permit with respect to information of a former client.

Question 7

Rule 1.18(c): Duties To Prospective Clients

Answer 7

(c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter IF the lawyer received information from the prospective client that could be significantly harmful to that person in the matter
- except as provided in paragraph (d)
- If a lawyer is disqualified from representation under this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in paragraph (d).

Question 8

Rule 1.18(d): Duties To Prospective Clients

Answer 8

(d) When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if:
(1) both the affected client and the prospective client have given informed consent, confirmed in writing, OR:
(2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and

(i) the disqualified lawyer is timely screened from
any participation in the matter and is apportioned
no part of the fee therefrom; and

(ii) written notice is promptly given to the
prospective client.

Question 9

Rule 2.1: Lawyer as Advisor

Answer 9

In representing a client, a lawyer shall exercise independent professional judgment and render candid advice.

• In doing so, a lawyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client’s situation

Question 10

Rule 1.2(a): Scope of Representation & Allocation of Authority Between Client & Lawyer

Answer 10

(a) Subject to paragraphs (c) and (d), a lawyer shall abide by a client’s decisions concerning the objectives of representation and as required by Rule 1.4, shall consult with the client as to the means by which they are to be pursued.
- A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation.
- Civil case- a lawyer shall abide by a client’s decision whether to settle a matter.
- Criminal case- the lawyer shall abide by the client’s decision, after consultation with the lawyer, as to a (1) plea to be entered, (2) whether to waive jury trial and (3) whether the client will testify.

Question 11

Rule 1.2(b): Scope of Representation & Allocation of Authority Between Client & Lawyer

Answer 11

(b) A lawyer’s representation of a client, including representation by appointment, does not constitute an endorsement of the client’s political, economic, social or moral views or activities.

Question 12

Rule 1.2(c): Scope of Representation & Allocation of Authority Between Client & Lawyer

Answer 12

(c) A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent.

Question 13

Rule 1.2(d): Scope of Representation & Allocation of Authority Between Client & Lawyer

Answer 13

(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law.

Question 14

Rule 1.14(a): Client with Diminished Compacity

Answer 14

(a) When a client’s capacity to make adequately considered decisions in connection with a representation is diminished (whether because of minority, mental impairment or for some other reason) the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client.

Question 15

Rule 1.14(b): Client with Diminished Compacity

Answer 15

(b) exception (last resort): When the lawyer reasonably believes
- that the client has diminished capacity
- is at risk of substantial physical, financial or other harm unless action is taken and
- cannot adequately act in the client’s own interest

the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian.

Question 16

Rule 1.14(c): Client with Diminished Compacity

Answer 16

(c) Information relating to the representation of a client with diminished capacity is protected by Rule 1.6.
- When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client’s interests.

Question 17

Rule 1.16(a): Declining or Terminating Representation

Answer 17

(a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if:
(1) the representation will result in violation of the rules of professional conduct or other law;
(2) the lawyer’s physical or mental condition materially impairs the lawyer’s ability to represent the client; OR
(3) the lawyer is discharged.

Question 18

Rule 1.16(b): Declining or Terminating Representation

Answer 18

(b) Except as stated in paragraph (c), a lawyer may withdraw from representing a client if:
(1) withdrawal can be accomplished without material adverse effect on the interests of the client;
(2) the client persists in a course of action involving the lawyer’s services that the lawyer reasonably believes is criminal or fraudulent;
(3) the client has used the lawyer’s services to perpetrate a crime or fraud;
(4) the client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement;
(5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer’s services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled;
(6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; OR
(7) other good cause for withdrawal exists

Question 19

Rule 1.16(c): Declining or Terminating Representation

Answer 19

(c) A lawyer must comply with applicable law requiring notice to or permission of a tribunal when terminating a representation.
- When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation.

Question 20

Rule 1.16(d): Declining or Terminating Representation

Answer 20

(d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client’s interests, such as:
- giving reasonable notice to the client,
- allowing time for employment of other counsel,
- surrendering papers and property to which the client is entitled and

          •	The lawyer may retain papers relating to the 
            client to the extent permitted by other law.

• refunding any advance payment of fee or expense that has not been earned or incurred.