CAN LAWYERS COLLABORATE? ETHICAL IMPLICATIONS FOR LAWYERS INVOLVED IN COLLABORATIVE PROJECTS AND THE CONSENSUSDOCS 300 CONTRACT

Size: px
Start display at page:

Download "CAN LAWYERS COLLABORATE? ETHICAL IMPLICATIONS FOR LAWYERS INVOLVED IN COLLABORATIVE PROJECTS AND THE CONSENSUSDOCS 300 CONTRACT"

Transcription

1 CAN LAWYERS COLLABORATE? ETHICAL IMPLICATIONS FOR LAWYERS INVOLVED IN COLLABORATIVE PROJECTS AND THE CONSENSUSDOCS 300 CONTRACT Marilyn Klinger Jonathan J. Dunn Sedgwick Detert Moran & Arnold, LLP

2 TABLE OF CONTENTS I. Introduction... 1 II. The Collaborative Construction Project... 2 A. Key provisions of the ConsensusDOCS 300 contract... 2 III. The Lawyer s Role in the Collaborative Project Traditional Ethical Considerations Considerations in the Collaborative Delivery System B. Collaborative Law A Possible New Role for Lawyers in Construction Projects IV. Ethical Issues Involved in the Lawyer s Role in a Collaborative Project A. When Each Party Engages Separate Counsel Limiting Scope of Lawyer s Representations and Duties A Lawyer s Duties to a Client Disclosure of Confidential Client Information Organization As Client Lawyer as Advisor Evaluation for Use By Third Persons Lawyer As Witness Truthfulness in Statements to Others Communications with Represented Nonclients The Anticontact Rule Communications with Unrepresented Non-clients Respect for the Rights of Third Persons B. When The Lawyer Is Requested To Represent All Parties Conflicts of Interest Terminating the Attorney-client relationship i

3 3. Serving as a third-party neutral V. Movements in the Law for Revisions to the Ethical Rules VI. Conclusion ii

4 I. Introduction In 2007, a group of twenty plus construction organizations representing all facets of the construction industry published the new ConsensusDOCS. Of particular focus in this paper is the ConsensusDOCS 300 Standard Form of Tri-Party Agreement for Collaborative Project Delivery (the ConsensusDOCS 300 contract ). The ConsensusDOCS 300 contract is a contract between owner, constructor and designer where: The Parties agree that the Project objectives can be best achieved through a relational contract that promotes and facilitates strategic planning, design, construction and commissioning of the project, through the principles of collaboration and lean project delivery. This approach recognizes that each Party s success is tied directly to the success of all other members of the Collaborative Project Team and encourages and requires the Parties to organize and integrate their respective roles, responsibilities and expertise, to identify and align their respective expectations and objectives, to commit to open communications, transparent decision-making, proactive and non-adversarial interaction, problem-solving, the sharing of ideas, to continuously seek to improve the Project planning, design, and construction processes, and to share both the risks and rewards associated with achieving the Project objectives. 1 This article discusses the collaborative approach, including the collaborative project delivery method and the ethical implications for lawyers who find themselves involved in collaborative projects. The reason that the ConsensusDOCS 300 contract raises unique ethical issues for lawyers is two-fold. First, the entire focus of the collaborative model is for all of the parties to collaborate, thereby eliminating as much of the adversarial nature of construction projects as possible. Arguably, collaboration is ethically juxtaposed with the adversarial model of American law. Second, to the extent lawyers are asked to directly practice collaborative law where their client is the project, a whole host of ethical rules are implicated. This article explores the collaborative construction project, its concepts and the roles of the participants. Then, it discusses the ways a client may engage a lawyer for participating in a collaborative project, including the concept of Collaborative Law. It then addresses the ethical 1

5 issues involved in a lawyer s participation in a collaborative project, including when each party engages separate counsel and when the parties request a lawyer to represent all parties. Finally, it discusses the collaborative law model, and some scholarly pleas for revisions to the ethical rules. II. The Collaborative Construction Project As noted above, the collaborative construction project, sometimes called the collaborative construction delivery system, has its support (its skeleton, if you will) in the collaborative construction contract and specifically in the ConsensusDOCS 300 Standard Form of Tri-Party Agreement for Collaborative Project Delivery. The multiparty agreement reduces the adversarial relationship on a project by having the owner, the designers and the contractors share risks and rewards. 2 It has been suggested that [t]he idea behind the relational contract is to distribute project leadership and decision-making. Decisions are made from a system point of view not from a selfish point of view. 3 The question isn t how does this affect me commercially; it is how does this affect the project. 4 A. Key provisions of the ConsensusDOCS 300 contract To really get a feel for how different the ConsensusDOCS 300 contract is to any traditional construction contract, one must look at some of the key provisions therein. For example, ConsensusDOCS 300 Standard Form of Tri-Party Agreement for Collaborative Project Delivery Article 3 sets out the collaborative principles of the contract and project: ARTICLE 3 COLLABORATIVE PRINCIPLES 3.1 OBJECTIVES The Project consists of the design, construction and commissioning of the Project. The Project objectives are to design and construct the facilities called for in the Owner s Program, within the Project Target Cost Estimate and the Schedule developed under the Agreement. 2

6 follows: 3.2 COLLABORATIVE PROJECT DELIVERY [quoted above] 3.3 COLLABORATIVE PROJECT DELIVERY TEAM The Parties shall perform as a Collaborative Project Delivery (CPD) Team to facilitate the design, construction and commissioning of the Project. CPD Team members shall share information and collaborate for the benefit of the Project. CPD team members shall initially include the Owner, the Designer and the Constructor. In forming a Collaborative Project Team, the Parties expect that design consultants and Trade Contractors will be selected to provide preconstruction services early in the preconstruction phase. These parties shall sign joining Agreements, as they become members of the Team, accepting the principles and methods of collaboration set forth in this Agreement. Ultimate project decisionmaking authority shall rest with the Management Group. 3.4 COLLABORATIVE RELATIONSHIP The Parties each accept the relationship of mutual trust, good faith and fair dealing established by this Agreement and covenants with each other to cooperate and exercise their skill and judgment in furthering the interests of the Project. The Designer and the Constructor each represents that it possesses the requisite skill, expertise, and, as applicable, licensing to perform the required services. The Owner, Designer, Constructor and all members of the CPD team agree to adhere to principles of collaboration based on mutual trust, confidence, good faith and fair dealing. Within the scope of their respective expertise, the Parties shall together actively and continually pursue collaboration in the best interests of the Project. The Parties shall endeavor to promote harmony and collaboration among all Project participants. The agreement also defines the roles of the key players to the three-party agreement as 3.5 OWNER RESPONSIBILITIES The Owner shall work with the Designer and Constructor to identify the Owner s Project objectives, including budget and time criteria, space requirements and relationships, flexibility and expandability requirements, special equipment and systems, and site requirements. The Owner shall provide full information in a timely manner regarding requirements for the Project, including the Owner s Program and other relevant information. 3.6 DESIGNER S RESPONSIBILITIES The Designer shall furnish or provide all the design and engineering services necessary to design the Project in accordance with the Owner s objectives, as outlined in the Owner s Program and other relevant information defining the Project. Consistent with the collaborative approach set forth in this Agreement, the Designer shall draw upon the assistance of the Constructor and others in 3

7 developing the Project design, but the Designer shall retain overall responsibility for all design decisions as required by applicable state laws. Cost and schedule are design criteria and the Designer, in collaboration with the CPD Team, shall ensure that design fully considers cost and schedule implications. 3.7 CONSTRUCTOR S RESPONSIBILITIES The Constructor shall furnish preconstruction and construction administration and management services, collaborate with the Designer in the Designer s development of the Project Plan and Project design and use the Constructor s diligent efforts to promote the delivery of the Project in an expeditious manner. Consistent with the collaborative approach set forth in this Agreement, the Constructor shall assist the Designer in the development of the Project design but shall not provide professional services which constitute the practice of architecture or engineering unless the Constructor needs to provide such services in order to carry out its responsibilities for construction means, methods, techniques, sequences and procedures, or unless such services are specifically called for by the Contract Documents. The Constructor shall provide all labor, materials, equipment and services necessary to complete the Work, all of which shall be provided in full accord with and reasonably inferable from the Contract Documents as being necessary to produce the indicated results. The Constructor shall be responsible for the supervision and coordination of the Work, including the construction means, methods, techniques, sequences and procedures utilized. The ConsensusDOCS 300 also sets out a unique allocation of risk among the parties to the contract as set forth below, in part: 3.8 COLLABORATIVE RISK ALLOCATION INTENT The purpose of the Collaborative Project Delivery approach, established by this tri-party relational contract, is to minimize the risk of delay, conflict and increased cost typically experienced by project participants in non-integrated project delivery. By committing to collaborative principles, the Parties affirm their commitment to endeavor to reduce overall risk to the Project and to each participant PROJECT RISK ALLOCATION Subject to Article 11 [see below], the Parties agree to allocate project risk as follows: (Select One):.1 SAFE HARBOR DECISIONS For those Project risks arising from collaboratively reached and mutually agreed-upon Project decisions made by the Management Group (Safe Harbor Decisions), the Parties agree to release each other from any liability at law or in equity for any nonnegligent act, omission, mistake or error in judgment, whether negligent or 4

8 not, acting in good faith, in performing its obligations under this Agreement, except to the extent such act or omission amounts to a willful default of an obligation under this Agreement..2 TRADITIONAL RISK ALLOCATION Each Party shall be fully liable for its own negligence and breaches of contract and warranty arising from the performance of this Agreement, to the extent provided for under the law of the jurisdiction in which the Project is located, except to the extent as otherwise limited as set forth below: (Indicate Applicable Exception): a. Limitation on Designer s Liability. [provides dollar limitation and exception if insurance proceeds available.] b. Limitation on Constructor s Liability. [provides dollar limitation and exception if insurance proceeds available.] MUTUAL WAIVER OF CONSEQUENTIAL DAMAGES Regardless of the Project Risk Allocation approach selected by the Parties in Subparagraph 3.8.2, no Party to this Agreement shall be liable to any other Party to this Agreement for consequential damages arising from any cause. The Owner, Designer and Constructor waive Claims against each other for consequential damages arising out of or relating to this Agreement. ARTICLE 11 INCENTIVES AND RISK SHARING 11.1 GOAL Owner, Designer and Constructor believe that by forming the CPD Team and implementing Collaborative Project Delivery, wasted cost and time will be eliminated from the design and construction process, the quality of the final product will be improved, and the project will be safer, all while increasing the return on investment for CPD Team Members FINANCIAL INCENTIVE PROGRAM In support of Collaborative Project Delivery, the Management Group shall develop a financial incentive program to encourage superior performance based upon Owner s Collaborative Project Delivery goals and to reward the CPD Team for successfully achieving superior performance and successfully exceeding the project expectations and benchmarks. The method, manner, amounts and timing of any payments made as a result of the financial incentives program shall be detailed and specified in an amendment to this Agreement CHARACTERISTICS OF PROGRAM Any incentive program should provide a basis for continually monitoring and reviewing the 5

9 project team s performance, providing the team with periodic performance information to allow corrections or modifications during project performance to improve the quality of the services provided. The program should be funded with project savings as evidenced by contingency preservation and reduction in the Project s Costs of the Work as compared to the amounts contained within the PTCE [Project Target Cost Estimate]. The program should consider performance in the following areas: cost, quality, safety, schedule, planning system reliability, innovative design, construction processes and teamwork. Article 4 of the ConsensusDOCS 300 describes the management team, which is a critical aspect of the collaborative process. The following are key aspects of Article 4: ARTICLE 4 MANAGEMENT BY THE MANAGEMENT GROUP 4.1 MANAGEMENT GROUP The delivery of the Project shall be managed by the Management Group, which shall serve as the decisionmaking body for the delivery of the Project and shall employ collaborative methods for achieving the highest quality and most efficient and economical delivery of the Project. 4.6 DECISION-MAKING Consistent with the principles of collaboration, the actions and decisions of the Management Group shall, to the greatest extent possible, be by consensus, and the members of the Management Group shall endeavor to reach decisions by consensus. The Management Group shall act in the best interests of the Project as a whole without consideration to each member s own interests and consistent with applicable laws, codes and regulations. To the extent consensus cannot be reached among the three original Management Group members, the Owner shall make a determination in the best interest of the Project as a whole subject to the dispute resolution process in Article 23. As is obvious from the provisions, the ConsensusDOCS 300 contract is not business as usual for delivery methods on construction projects in the United States. For instance, query whether the contractor can simply follow the plans and specifications to exculpate itself from problems on a project under the ConsensusDOCS 300 contract? Similarly, can a designer refuse to answer a contractor s request for information, citing contractor s means and methods as an 6

10 excuse, if contracted under the ConsensusDOCS 300 contract? Surely the answer to both of these questions is a resounding no. III. The Lawyer s Role in the Collaborative Project Construction is fraught with risk. In the words of one learned judge: [E]xcept in the middle of a battlefield, nowhere must men coordinate the movement of other men and all materials in the midst of such chaos and with such limited certainty of present facts and future occurrences as in a huge construction project Even the most painstaking planning frequently turns out to be mere conjecture and accommodation to changes must necessarily be of the rough, quick, and ad hoc sort, analogous to ever-changing commands on the battlefield. 5 Perhaps for this reason, construction contract provisions are often heavily negotiated, and then construction projects often spawn disputes. Not surprisingly, a large number of lawyers 6 are employed at one time or another to address a construction issue. For project delivery methods other than collaborative, a client s engagement of a lawyer for a construction dispute may not raise any extraordinary ethical concerns for the lawyer. Traditional roles of lawyers include negotiations, contract preparation, or representing the client in litigating disputes. Normally, when the client engages the lawyer for representation the lawyer can anticipate it will confer confidentially with the client, be entitled to assert the attorney-client privilege, and be an advocate within the bounds of professional ethics for the client with the purpose of maximizing the client s profits and minimizing the client s risk. 7 So as to give context to possible issues raised in collaborative methods, a brief discussion of ethical issues for traditional lawyer roles in construction matters is needed. 1. Traditional Ethical Considerations Professional ethics covers all facets of law practice. However, advocates of a collaborative approach place professional ethics squarely at issue in collaborative models when considering a lawyer s role in negotiations. Whether the client seeks the lawyer s assistance in 7

11 negotiations for drafting agreements, negotiations for resolution of issues that arise during construction, or negotiations for settlement of disputes whether or not in litigation -- a host of ethical issues arise. Many of these ethical obligations are contained in basic ethical rules applicable to lawyers, including the lawyer s obligations of competence, 8 to honor client decisions and obtain client consent, of diligence, 9 and to maintain good communication and keep the client informed. 10 In addition to these basic rules, however, a lawyer s negotiation in an adversary system presents some challenging ethical obligations even in the lawyer s noncollaborative, traditional role. follows: For example, one author summarized fundamental ethical issues in negotiations as Lawyers routinely face issues of truthfulness (and partial truthfulness) in legal negotiation. In an adversarial negotiation, an important aspect of appearing to be tough is not letting oneself be duped or fooled. [B]luffing is part of negotiating[, but] the rules [in the business world] forbid and should penalize outright lying, false claims, bribing an opponent, stealing secrets through electronic devices, or threatening the physical well-being of opponents or their families. The principal difficulty that lawyers face in dealing with affirmative untruths and misleading statements is separating nonactionable puffing from actionable misrepresentations. In a settlement context, some degree of loose, selective, or distorted manipulation of the facts by lawyers has been permitted as permissible puffing. Such manipulation often occurs in a discussion of the strengths and weaknesses of clients legal positions.. 11 Of course, there are ethical rules that address dishonesty in dealings. Model Rule 8.4(c) prohibits a lawyer from engaging in conduct involving dishonesty, fraud, deceit or misrepresentation. Model Rule 1.2(d) prohibits a lawyer from counseling or assisting a client to engage in conduct the lawyer knows is criminal or fraudulent. Further, Model Rule 4.1(a), entitled Truthfulness in Statements to Others, provides: 8

12 In the course of representing a client a lawyer shall not knowingly: (a) make a false statement of material fact or law to a third person; or (b) fail to disclose a material fact when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6. Model Rule 1.6 prohibits a lawyer from disclosing client confidences in most instances. Thus, in a blended interpretation of these ethical rules dealing with honesty in negotiations and the obligations of advocacy and maintaining confidences, one leading author on legal negotiations commented: It is also widely accepted that absolute honesty is not the prevailing norm when statements about a negotiator s authority to settle, a client s true interests, or a client s bottom line are involved. For example, in asserting demands, negotiators might flatly state that their clients will not settle for anything less than a certain figure; yet, in truth, their clients would quite readily accept a much lower amount. Such an approach is justified on the ground that the negotiator is not misrepresenting a fact in controversy. 12 Some academics have described the approach lawyers take in terms of certain styles, such as cooperative or competitive, hard or soft, adversarial or problem solving, sharpies or collaborators. 13 Such styles, they argue, are to varying degrees dependent on a lawyer s willingness to push the bounds of puffing, bluffing and truthfulness in negotiations in order to obtain results for the client. Indeed, experts on negotiations recommend strategies where the lawyer determines a client s target points, resistant points, and minimum disposition (aka a bottom line ), then negotiating to the target points. 14 Some scholars have severely criticized the legal profession for its ethical rules and current approach to negotiations. For instance, in a 2005 Law Review Article for the Iowa Law Review, Scott R. Peppet observed: If a hard-bargainer meets a naïve collaborator, however, the hardbargainer may be able to exploit her counterpart for personal gain. There 9

13 is little doubt, for example, that negotiators have incentive to lie. Many hard-bargaining or adversarial tactics derive their power largely from deception. Deception only works if undetected, however, and therefore deceivers try to appear trustworthy and forthright. In game-theoretic terms, such second-level deception (i.e., deception about deception) creates a sorting or signaling problem. 15 In combination, Model Rules 4.1 and 1.6 create a situation in which lawyers can engage in deceptive, or at least manipulative, hard bargaining without professional consequences. The standard conception of a lawyer s role has two basic principals or ideals: the principal of nonaccountability and the principal of partisan professionalism. The principal of non-accountability states that a lawyer is not morally accountable for the means used to advocate for a client, nor for the ends pursued. The principal of partisan professionalism states that while serving as an advocate, a lawyer must, within recognized constraints of legality or professional ethics, seek to maximize the likelihood that a client will prevail. Together, these principals form the basis of how most lawyers view their work and their ethics: a lawyer is a partisan and zealous advocate, dedicated to the client s cause, and absolved of responsibility for that cause and its pursuit, so long as the lawyer acts within the bounds of the law. He or she is an amoral gladiator. 16 It is this concept of the lawyer as an alleged gladiator that most starkly highlights the problems advocates of collaborative methods and collaborative law cite as justification for the Collaborative Law model. Of course, one can also argue that the best lawyers are facilitators and problem solvers if that is in the client s interest. However, the problem for facilitators is that their results are often dependent on whether they are dealing with other facilitators or hardbargainers. 2. Considerations in the Collaborative Delivery System Arguably, a hard-bargainer is more easily identified when representing a client who contracted under a ConsensusDOCS 300 contract. In fact, the hard bargainer attorney may find him or herself accused of having actually caused the client to breach the provisions of the contract requiring collaboration. Consider, for instance, paragraph 3.4, requiring each party to 10

14 endeavor to promote harmony and collaboration among all Project participants. However, query whether second level deception may be more successful when the deceptive lawyer, appearing to be collaborative, is negotiating for a client who agreed to collaborate? Set forth below, we consider ethical rules as they may be applied to a lawyer representing clients who signed the ConsensusDOCS 300 contract. B. Collaborative Law A Possible New Role for Lawyers in Construction Projects As noted above, there is a new approach to dispute resolution labeled Collaborative Law, which has been successful in family law matters. Collaborative Law contemplates a four-way agreement or participation agreement. Under these agreements, both parties and lawyers bind themselves. The fact that the lawyers agree is unique in and of itself. In addition, the lawyers agree to collaborate and provide full disclosure, plus deal honestly and openly toward resolution of the dispute. Further, one of cornerstones of the Collaborative Law process is that lawyers commit in these agreements to withdraw from further representation if the dispute does not settle. 17 Thus, if the parties later litigate, they must retain new lawyers. Because of the advance agreement between parties and lawyers and the agreement to limit the lawyer s participation beyond a certain point, Collaborative Law fundamentally shifts the lawyer s role from an advocate in an adversarial system to an advocate in a collaborative environment where the commitment is to the settlement of a dispute outside the traditional litigation mode. 18 The idea behind this agreement is to place a financial incentive directly on the lawyer to facilitate a resolution, thereby forcing collaboration and removing any incentive for deception and hard-bargaining. Similar to the approach of the collaborative construction project, the Collaborative Law process bases itself on a problem-solving model rather than an adversarial model. Further, and 11

15 again similar to a collaborative project delivery approach, the agreement among the parties and lawyers requires all involved to exchange information and commit to joint problem solving. The process usually involves a series of meetings with all of the parties and their lawyers in attendance. These meetings, or four-ways, as they are frequently called, are designed to foster a team approach to creative problem solving that encompasses elements such as open and honest communication, cooperation, good faith, and willingness to listen. 19 What is so incredibly different about Collaborative Law compared to traditional lawyering is that the lawyer is a contracting party. It would seem axiomatic that contracting parties may enter into agreements for any legal purpose. Accordingly, parties could create a collaborative environment, and agree to dismiss their respective lawyers if they could not come to a consensus without ever involving their lawyers in that agreement. Such agreements may promote the valid purposes of a collaborative process, including creating incentives for settlement, generating a positive environment for negotiation, and fostering a continued relationship between the parties, without violating any ethical rules. A client s engagement of a lawyer to assist it in the context of the client s collaborative agreement raises some arguable challenges to the lawyer ethically, but certain additional ethical dilemmas exist when the lawyer becomes a party to the contract. IV. Ethical Issues Involved in the Lawyer s Role in a Collaborative Project A. When Each Party Engages Separate Counsel The following is a detailed review of the ethical rules that may apply to lawyers whose individual clients have agreed to collaborate in the ConsensusDOCS 300 contract and how they may apply, with a focus on the American Bar Association s Model Rules of Professional Conduct ( Model Rule(s) ). This analysis is obviously prospective, as the ConsensusDOCS 300 contract was just published. 12

16 1. Limiting Scope of Lawyer s Representations and Duties Model Rule 1.2: Scope of Representation and Allocation of Authority COMMENT between Client and Lawyer (a) [A] lawyer shall abide by a client s decisions concerning the objectives of representation and shall consult with the client as to the means by which they are to be pursued. (c) A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. 20 [6] The scope of services to be provided by a lawyer may be limited by agreement with the client or by the terms under which the lawyer s services are made available to the client. A limited representation may be appropriate because the client has limited objectives for the representation. In addition, the terms upon which representation is undertaken may exclude specific means that might otherwise be used to accomplish the client s objectives. ANNOTATION Subsection (a): Client Decides Objectives of Representation and Must Be Consulted about Means Employed LAWYER MUST DEFER TO CLIENT ABOUT OBJECTIVES AND MUST CONSULT ABOUT MEANS The general division of authority between lawyer and client is along the lines of objectives versus means, but these realms of authority actually overlap. Rule 1.2(a) provides that a lawyer must abide by the client s instructions regarding the objectives of the representation and that the lawyer, as required by Rule 1.4, must consult with the client about the means by which such objectives are to be pursued. Hence, the Rule gives the client ultimate authority over the objectives, but somewhat less authority over the means employed. Just how much authority a client has regarding means is not entirely clear, nor is it always possible to distinguish between whether a particular decision relates to the objectives or to the means. In 2002, Rule 1.2(a) was amended to add the following language: A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. This provision was added to 13

17 avoid any implication that a lawyer must always consult to obtain authority to act. American Bar Association, A Legislative History: The Development of the ABA Model Rules of Professional conduct, , at (2006). Lawyer Must Pursue Specific Objectives for Which Lawyer Was Retained It is the client who decides the objectives of the representation. The lawyer is required by Rule 1.2 to pursue them. If the lawyer fails to carry out these objectives, through, for example, lack of diligence or competence, this will, a fortiori, constitute a violation of Rule 1.2. [Citations omitted.]. Distinguishing between Objectives and Means The distinction between objectives and means is often expressed as the difference between decisions that are procedural or tactical in nature and decisions that directly affect the ultimate resolution of the case or the substantive rights of the client. The lawyer generally has control over the former, and the client over the latter. [Citations omitted.]. Subsection (c): Limiting the Scope of Representation Rule 1.2(c), as amended in 2002, permits a lawyer to limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent. Previously, subsection (c) allowed a lawyer to limit the objectives of the representation if the client consents after consultation. Model Rule 1.2(c) (1998) [superseded] (emphasis added). The new version replaced the term objectives with scope, because only the client can limit the objectives, and added the requirement that such limitations be reasonable under the circumstances. The amendment was intended to clarify the allowance and regulation of limited-representation agreements. LIMITATION MUST BE REASONABLE Rule 1.2(c) requires that any limitation placed on the representation be reasonable under the circumstances. This generally boils down to a question of whether the lawyer s limited scope of responsibility would amount to a violation of the lawyer s ethical or legal obligations. 14

18 INFORMED CONSENT OF CLIENT: DISCLOSURE When providing limited-scope representation, a lawyer must clearly explain the limitations to the client and their likely effect on the undertaking. [Citations omitted.] a) Traditional Approach (1) Contract Negotiation and Administration As it relates to a collaborative project, this rule raises issues as to a lawyer and the client s agreement that the lawyer, in assisting in contract negotiation and administration, when legal issues arise, will be limited in scope in a way contrary to the ways lawyers have approached construction projects in the past. In the past, even at the contract negotiation stage and during an ongoing project, a lawyer will not only advise a client of the client s rights, but also make recommendations that are solely in the interests of the client and will deal with the other parties to the contract in way that enhances the client s position as much as possible. With a collaborative project, the mission is different and, accordingly, the advice and counsel as well as the negotiating techniques and parameters will likely be different in the sense that they might be more conciliatory in nature. (2) Litigation Because the ConsensusDOCS 300 envisions that, notwithstanding the collaborative process, there will be disputes, it has created a scheme for dispute resolution. Accordingly, it would appear that all of the traditional notions of representing a client in litigation are not altered by virtue of being involved in a collaborative project. Unfortunately, if a major dispute arises, the goals of the collaborative approach have not been successful. b) Collaborative Law Approach As the collaborative law approach only applies at the pre-litigation stage, ethical rules for litigation counsel do not apply. However, these rules regarding limiting a lawyer s scope of 15

19 representation certainly seem to suggest that the clients and their lawyers would be free to agree that (1) the lawyers will only assist their clients during the pre-litigation aspects of dispute resolution and will thereafter withdraw if those settlement efforts fail, and (2) all of the parties will share information and will otherwise commit to approach settlement in a problem-solving way. In fact, the Standing Committee on Ethics and Professional Responsibility for the American Bar Association has concluded that Collaborative Law practice is permissible. 21 In particular, the Standing Committee reasoned as follows: Rule 1.2(c) permits a lawyer to limit the scope of a representation so long as the limitation is reasonable under the circumstances and the client gives informed consent. Nothing in the Rule or its Comment suggest that limiting a representation to a collaborative effort to reach a settlement is per se unreasonable. On the contrary, Comment [6] provides that [a] limited representation may be appropriate because the client has limited objectives for the representation. In addition, the terms upon which representation is undertaken may exclude specific means that might otherwise be used to accomplish the client s objectives. 22 Accordingly, as long as the lawyer fully explains the risks and benefits of a Collaborative Law approach and the client gives informed written consent, the lawyer likely may so limit the scope and means of representation is ethical in many jurisdictions. 23 However, there are other ethical considerations at issue as well. 2. A Lawyer s Duties to a Client REST. 16. A Lawyer s Duties to a Client In General To the extent consistent with the lawyer s other legal duties a lawyer must, in matters within the scope of the representation: (1) proceed in a manner reasonably calculated to advance a client s lawful objectives, as defined by the client after consultation;. (4) fulfill valid contractual obligations to the client. 16

20 Comment: c. Goals of a representation. The lawyer s efforts in a representation must be for the benefit of the client. [Citation omitted.] A client-lawyer relationship is thus different from a partnership entered into for mutual profit; the lawyer may hope to further the lawyer s professional reputation and income through a representation, but may do so only as a by-product of promoting the client s success. Individual clients define their objectives differently. One litigant might seek the greatest possible personal recovery, another an amicable or speedy resolution of the case, a third a precedent implementing the client s view of the public interest. The lawyer s duties are ordinarily limited to matters covered by the representation. A lawyer who has agreed to write a contract is not required to litigate its validity, even though the client s general objectives may ultimately be aided by resort to litigation. [Citations omitted.] Ordinarily the lawyer may not act beyond the scope of contemplated representation without additional authorization from the client.. f. Duties defined by contract. Contracts generally create or define the duties the lawyer owes the client [citation omitted]. One or more contracts between client and lawyer may specify the services the lawyer is being retained to provide, the services the lawyer is not obliged to provide, and the goals of the representation. a) Traditional Approach (1) Contract Negotiation and Administration It would seem that the lawyer s duty to proceed in a manner reasonably calculated to advance a client s lawful objectives, as defined by the client after consultation would allow lawyers to conduct themselves and advise their clients in a way that focuses on the collaborative project goals as a priority with the client s more personal objectives in a lesser role. Thus, if a client instructed a lawyer to approach any and all negotiations, either before or during the project, first and foremost for the benefit of the project as a whole, and secondarily for the benefit of the client, then, arguably consistent with the goals of collaborative project delivery 17

Complying with the FCPA- An Exploration of Ethical Issues Raised by Recent Cases Are the Professional Conduct Rules Any Different?

Complying with the FCPA- An Exploration of Ethical Issues Raised by Recent Cases Are the Professional Conduct Rules Any Different? Complying with the FCPA- An Exploration of Ethical Issues Raised by Recent Cases Are the Professional Conduct Rules Any Different? By Roseann B. Termini, Esq. rbtermini@widener.edu www.fortipublications.com

More information

INTRODUCTION TO LEGAL AID AND RELATED ETHICAL ISSUES I N N S O F C O U R T P U P I L A G E G R O U P 3 P R E S E N T A T I O N

INTRODUCTION TO LEGAL AID AND RELATED ETHICAL ISSUES I N N S O F C O U R T P U P I L A G E G R O U P 3 P R E S E N T A T I O N INTRODUCTION TO LEGAL AID AND RELATED ETHICAL ISSUES I N N S O F C O U R T P U P I L A G E G R O U P 3 P R E S E N T A T I O N OATH OF ATTORNEY I do solemnly swear: I will support the Constitution of the

More information

KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-425 Issued: June 2005

KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-425 Issued: June 2005 KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-425 Issued: June 2005 Since the adoption of the Rules of Professional Conduct in 1990, the Kentucky Supreme Court has adopted various amendments, and made

More information

ORANGE COUNTY BAR ASSOCIATION. Formal Opinion 2011-01 (Collaborative Family Law)

ORANGE COUNTY BAR ASSOCIATION. Formal Opinion 2011-01 (Collaborative Family Law) ORANGE COUNTY BAR ASSOCIATION Formal Opinion 2011-01 (Collaborative Family Law) Issue: Can a family lawyer enter into a collaborative law agreement consistent with her ethical duties, notwithstanding the

More information

UPDATES TO ETHICAL ISSUES FOR TRUST AND ESTATE LAWYERS New and Revised Rules of Professional Conduct on the Way (We think!)

UPDATES TO ETHICAL ISSUES FOR TRUST AND ESTATE LAWYERS New and Revised Rules of Professional Conduct on the Way (We think!) 34th Annual Trust and Estate Conference - USC Gould School of Law UPDATES TO ETHICAL ISSUES FOR TRUST AND ESTATE LAWYERS New and Revised Rules of Professional Conduct on the Way (We think!) INTRODUCTION

More information

ETHICAL CONSIDERATIONS IN ALTERNATIVE FEE AGREEMENTS FOR THE DEFENSE LAWYER

ETHICAL CONSIDERATIONS IN ALTERNATIVE FEE AGREEMENTS FOR THE DEFENSE LAWYER ETHICAL CONSIDERATIONS IN ALTERNATIVE FEE AGREEMENTS FOR THE DEFENSE LAWYER BRIAN P. VOKE CAMPBELL CAMPBELL & EDWARDS ONE CONSTITUTION PLAZA BOSTON, MA 02129 (617) 241-3000 bvoke@campbell-trial-lawyers.com

More information

TENNESSEE ASSOCIATION OF CRIMINAL DEFENSE LAWYERS ANNUAL DUI TRAINING 2010 TUNICA, MISSISSIPPI - OCTOBER 21-22, 2010

TENNESSEE ASSOCIATION OF CRIMINAL DEFENSE LAWYERS ANNUAL DUI TRAINING 2010 TUNICA, MISSISSIPPI - OCTOBER 21-22, 2010 TENNESSEE ASSOCIATION OF CRIMINAL DEFENSE LAWYERS ANNUAL DUI TRAINING 2010 TUNICA, MISSISSIPPI - OCTOBER 21-22, 2010 Glenn R. Funk 117 Union Street Nashville, TN 37201 (615) 255-9595 ETHICS IN DUI DEFENSE

More information

PRINCIPLES AND GUIDELINES FOR COLLABORATIVE PRACTICE

PRINCIPLES AND GUIDELINES FOR COLLABORATIVE PRACTICE PRINCIPLES AND GUIDELINES FOR COLLABORATIVE PRACTICE 1 INTRODUCTION 1.01 The essence of Collaborative Practice in a Family Law setting is the shared belief of the participants that it is in the best interests

More information

CONSENSUSDOCS 300 STANDARD FORM OF TRI-PARTY AGREEMENT FOR COLLABORATIVE PROJECT DELIVERY

CONSENSUSDOCS 300 STANDARD FORM OF TRI-PARTY AGREEMENT FOR COLLABORATIVE PROJECT DELIVERY CONSENSUSDOCS 300 STANDARD FORM OF TRI-PARTY AGREEMENT FOR COLLABORATIVE PROJECT DELIVERY This document was developed through a collaborative effort of entities representing a wide cross-section of the

More information

Ethical Issues Facing Today s Transportation Lawyers

Ethical Issues Facing Today s Transportation Lawyers Ethical Issues Facing Today s Transportation Lawyers R I C K K I S S I N G E R K I S S I N G E R & F E L L M A N, P C D E N V E R, C O M o d e r a t o r L E E P I O V A R C Y M A R T I N, T A T E, M O

More information

Advisory Committee on Professional Ethics. Appointed by the Supreme Court of New Jersey

Advisory Committee on Professional Ethics. Appointed by the Supreme Court of New Jersey N.J.L.J. N.J.L. Opinion 699 Advisory Committee on Professional Ethics Collaborative Law Advisory Committee on Professional Ethics Appointed by the Supreme Court of New Jersey This inquiry involves application

More information

Ontario s Amended Rules of Professional Conduct

Ontario s Amended Rules of Professional Conduct Ontario s Amended Rules of Professional Conduct Bruce Blain Toronto Symposium June 5, 2014 FLSC Model Code of Professional Conduct 2004 - initiative to create uniform ethical and professional conduct standards

More information

THE PHILADELPHIA BAR ASSOCIATION PROFESSIONAL GUIDANCE COMMITTEE Opinion 2009-02 (March 2009)

THE PHILADELPHIA BAR ASSOCIATION PROFESSIONAL GUIDANCE COMMITTEE Opinion 2009-02 (March 2009) THE PHILADELPHIA BAR ASSOCIATION PROFESSIONAL GUIDANCE COMMITTEE Opinion 2009-02 (March 2009) The inquirer deposed an 18 year old woman (the witness ). The witness is not a party to the litigation, nor

More information

What to Do When Your Witness Testimony Doesn t Match His or Her Declaration

What to Do When Your Witness Testimony Doesn t Match His or Her Declaration What to Do When Your Witness Testimony Doesn t Match His or Her Declaration Russell R. Yurk Jennings, Haug & Cunningham, L.L.P. 2800 N. Central Avenue, Suite 1800 Phoenix, AZ 85004-1049 (602) 234-7819

More information

69B-220.051 Conduct of Public Adjusters and Public Adjuster Apprentices.

69B-220.051 Conduct of Public Adjusters and Public Adjuster Apprentices. 69B-220.051 Conduct of Public Adjusters and Public Adjuster Apprentices. (1) Purpose and Scope. This rule sets forth Department policy as to certain matters generally affecting public adjusters and public

More information

ETHICS OPINION 112314

ETHICS OPINION 112314 ETHICS OPINION 112314 Facts: Three Scenarios: 1. Attorney represents a client through a bankruptcy. After the bankruptcy is complete, the client returns to the attorney for work on a different matter.

More information

ETHICAL CONSIDERATIONS FOR THE HOMEOWNERS ASSOCIATION AND CONDO ASSOCIATION ATTORNEY. Presented May 13, 2005

ETHICAL CONSIDERATIONS FOR THE HOMEOWNERS ASSOCIATION AND CONDO ASSOCIATION ATTORNEY. Presented May 13, 2005 ETHICAL CONSIDERATIONS FOR THE HOMEOWNERS ASSOCIATION AND CONDO ASSOCIATION ATTORNEY Presented May 13, 2005 Advising Homeowners and Condominium Associations Washington State Bar Association By Joseph P.

More information

Insurance Adjusters Council Code of Conduct

Insurance Adjusters Council Code of Conduct Insurance Adjusters Council Code of Conduct TABLE OF CONTENTS INTRODUCTION... 1 EXECUTIVE SUMMARY... 2 INTERPRETATION... 4 CODE OF CONDUCT PRINCIPLES... 6 1. INTEGRITY AND TRUSTWORTHINESS... 6 2. GOOD

More information

Code of Ethics for Professional Accountants

Code of Ethics for Professional Accountants COE Issued December 2005; revised June 2010 Effective on 30 June 2006 until 31 December 2010 Code of Ethics for Professional Accountants CODE OF ETHICS FOR PROFESSIONAL ACCOUNTANTS CONTENTS Page PREFACE...

More information

Opinion #177. Advancing Litigation Costs Through Lines of Credit

Opinion #177. Advancing Litigation Costs Through Lines of Credit Opinion #177. Advancing Litigation Costs Through Lines of Credit Issued by the Professional Ethics Commission Date Issued: December 14, 2001 Facts and Question An attorney has requested an opinion on whether

More information

The Foundation of Juvenile Practice Part 1: You are Adversary Counsel, NOT a GAL! Private Bar Certification Forensic Exercise November 19, 2014

The Foundation of Juvenile Practice Part 1: You are Adversary Counsel, NOT a GAL! Private Bar Certification Forensic Exercise November 19, 2014 The Foundation of Juvenile Practice Part 1: You are Adversary Counsel, NOT a GAL! Private Bar Certification Forensic Exercise November 19, 2014 Role of Juvenile Defense Counsel: Forensic Exercise: Question

More information

AS APPROVED BY CONVOCATION, MARCH 25, 2004. (new/amended rules and commentary for rule 2.02)

AS APPROVED BY CONVOCATION, MARCH 25, 2004. (new/amended rules and commentary for rule 2.02) AS APPROVED BY CONVOCATION, MARCH 25, 2004 (new/amended rules and commentary for rule 2.02) When Client an Organization (1.1) Notwithstanding that the instructions may be received from an officer, employee,

More information

RETAINER AGREEMENT. Dibble & Miller, P.C.

RETAINER AGREEMENT. Dibble & Miller, P.C. RETAINER AGREEMENT Dibble & Miller, P.C. Print Client s First Name, Middle Initial and Last Name This Retainer Agreement is a binding contract between the Law Firm of Dibble & Miller, P.C. and you, the

More information

requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation.

requires the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. LEGAL ETHICS OPINION 1814 UNDISCLOSED RECORDING OF THIRD PARTIES IN CRIMINAL MATTERS In this hypothetical, a Criminal Defense Lawyer represents A who is charged with conspiracy to distribute controlled

More information

Conduct of Public Adjusters and Public Adjuster Apprentices Ethical Requirements for All Adjusters and Public Adjuster Apprentices NOTICE OF CHANGE

Conduct of Public Adjusters and Public Adjuster Apprentices Ethical Requirements for All Adjusters and Public Adjuster Apprentices NOTICE OF CHANGE DEPARTMENT OF FINANCIAL SERVICES Division of Insurance Agent and Agency Services RULE NO.: 69B-220.051 69B-220.201 RULE TITLE: Conduct of Public Adjusters and Public Adjuster Apprentices Ethical Requirements

More information

Florida Administrative Code

Florida Administrative Code Florida Administrative Code Rule 69B-220.051 Conduct of Public Adjusters. (1) Purpose and Scope. This rule sets forth department policy as to certain matters generally affecting public adjusters. Procedures

More information

FERRELLGAS CODE OF ETHICS FOR PRINCIPAL EXECUTIVE AND FINANCIAL OFFICERS

FERRELLGAS CODE OF ETHICS FOR PRINCIPAL EXECUTIVE AND FINANCIAL OFFICERS FERRELLGAS CODE OF ETHICS FOR PRINCIPAL EXECUTIVE AND FINANCIAL OFFICERS I. PURPOSE OF THE CODE The Ferrellgas Code of Ethics (this Code ) is intended to serve as the code of ethics described in Section

More information

Ethics Bear Traps for In-House Counsel Michael Aprahamian

Ethics Bear Traps for In-House Counsel Michael Aprahamian Ethics Bear Traps for In-House Counsel Michael Aprahamian Unique Problems Faced by In-House Counsel The general counsel has one foot planted firmly in the shifting, treacherous terrain of the law, and

More information

KENTUCKY BAR ASSOCIATION RULES OF THE SUPREME COURT OF KENTUCKY PRACTICE OF LAW

KENTUCKY BAR ASSOCIATION RULES OF THE SUPREME COURT OF KENTUCKY PRACTICE OF LAW KENTUCKY BAR ASSOCIATION RULES OF THE SUPREME COURT OF KENTUCKY PRACTICE OF LAW SCR 3.130(1.8) Conflict of interest: current clients; specific rules (a) A lawyer shall not enter into a business transaction

More information

International Federation of. June 2005. Accountants. Ethics Committee. Code of Ethics for Professional. Accountants

International Federation of. June 2005. Accountants. Ethics Committee. Code of Ethics for Professional. Accountants International Federation of Accountants Ethics Committee June 2005 Code of Ethics for Professional Accountants Mission of the International Federation of Accountants (IFAC) To serve the public interest,

More information

(1) Purpose and Scope. This rule sets forth department policy as. to certain matters generally affecting public adjusters and public

(1) Purpose and Scope. This rule sets forth department policy as. to certain matters generally affecting public adjusters and public 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Florida Administrative Code 69B-220.051 Conduct of Public Adjusters. (1) Purpose and Scope. This rule sets forth department policy as to certain matters

More information

Excerpts From the California Business & Professions Code, Evidence Code, & Rules of Professional Conduct

Excerpts From the California Business & Professions Code, Evidence Code, & Rules of Professional Conduct Excerpts From the California Business & Professions Code, Evidence Code, & Rules of Professional Conduct California Business and Professions Code Division 3. Professions and Vocations Generally Chapter

More information

Code of Professional Conduct. Last Revised: May 11, 2015

Code of Professional Conduct. Last Revised: May 11, 2015 Code of Professional Conduct Last Revised: May 11, 2015 Adopted: May 12, 2015 Purpose of the Code of Professional Conduct This Code is to communicate the minimum standard of conduct expected for captive

More information

Tuesday 18th November, 2008.

Tuesday 18th November, 2008. Tuesday 18th November, 2008. On March 19, 2008 came the Virginia Board of Bar Examiners, by W. Scott Street, III, its Secretary-Treasurer, and presented to the Court a petition, approved by the Virginia

More information

ISBA Advisory Opinion on Professional Conduct

ISBA Advisory Opinion on Professional Conduct ISBA Advisory Opinion on Professional Conduct ISBA Advisory Opinions on Professional Conduct are prepared as an educational service to members of the ISBA. While the Opinions express the ISBA interpretation

More information

New Illinois Ethics Rules on Lawyers Reporting Up Responsibilities

New Illinois Ethics Rules on Lawyers Reporting Up Responsibilities New Illinois Ethics Rules on Lawyers Reporting Up Responsibilities August 13, 2009 Boston Brussels Chicago Düsseldorf Houston London Los Angeles Miami Milan Munich New York Orange County Rome San Diego

More information

THE AMERICAN LAW INSTITUTE Continuing Legal Education

THE AMERICAN LAW INSTITUTE Continuing Legal Education 9 THE AMERICAN LAW INSTITUTE Continuing Legal Education Third Party Litigation Funding: Pros, Cons, and How It Works November 1, 2012 Telephone Seminar/Audio Webcast Alternative Litigation Funding Conference

More information

ALABAMA STATE BOARD OF REGISTRATION FOR PROFESSIONAL ENGINEERS AND LAND SURVEYORS ADMINISTRATIVE CODE

ALABAMA STATE BOARD OF REGISTRATION FOR PROFESSIONAL ENGINEERS AND LAND SURVEYORS ADMINISTRATIVE CODE ALABAMA STATE BOARD OF REGISTRATION FOR PROFESSIONAL ENGINEERS AND LAND SURVEYORS ADMINISTRATIVE CODE CHAPTER 330-X-14 PROFESSIONAL CONDUCT (CODE OF ETHICS) TABLE OF CONTENTS 330-X-14-.01 Preamble 330-X-14-.02

More information

GUIDANCE FOR EMPLOYED BARRISTERS. Part 1. General

GUIDANCE FOR EMPLOYED BARRISTERS. Part 1. General GUIDANCE FOR EMPLOYED BARRISTERS Part 1. General 1.1 This guidance has been issued by the Professional Standards Committee, the Professional Conduct and Complaints Committee and the Employed Barristers

More information

Comparison of Newly Adopted New Hampshire Rules of Professional Conduct with ABA Model Rules NEW HAMPSHIRE

Comparison of Newly Adopted New Hampshire Rules of Professional Conduct with ABA Model Rules NEW HAMPSHIRE Comparison of Newly Adopted New Hampshire Rules of Professional Conduct with ABA Model Rules NEW HAMPSHIRE New rules as adopted by New Hampshire Supreme Court to be 1/1/16. Variations from the Model Rules

More information

The Role of Defense Counsel on the Drug Court Team

The Role of Defense Counsel on the Drug Court Team The Role of Defense Counsel on the Drug Court Team A paradigm shift that comes with some ethical, legal and practical conundrums Carrie L. Thompson Deputy State Public Defender Colorado Springs, CO Introduction

More information

Comparison of Newly Adopted Arizona Rules of Professional Conduct with ABA Model Rules

Comparison of Newly Adopted Arizona Rules of Professional Conduct with ABA Model Rules Comparison of Newly Adopted Arizona Rules of Professional Conduct with ABA Model Rules ARIZONA New rules as adopted by Arizona Supreme Court to be effective 12/1/03. Rules 1.13, 5.5 and 8.5 as amended

More information

Inquiry of a Client s Lawyer Concerning Litigation, Claims, and Assessments: Auditing Interpretations of Section 337

Inquiry of a Client s Lawyer Concerning Litigation, Claims, and Assessments: Auditing Interpretations of Section 337 Inquiry of a Client s Lawyer 2017 AU Section 9337 Inquiry of a Client s Lawyer Concerning Litigation, Claims, and Assessments: Auditing Interpretations of Section 337 1. Specifying Relevant Date in an

More information

CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY FOR DELAWARE PARALEGALS PREAMBLE

CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY FOR DELAWARE PARALEGALS PREAMBLE CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY FOR DELAWARE PARALEGALS PREAMBLE The Delaware Paralegal Association advocates that paralegals have an ethical and professional responsibility in the delivery

More information

Life Insurance Council Code of Conduct

Life Insurance Council Code of Conduct Life Insurance Council Code of Conduct TABLE OF CONTENTS EXECUTIVE SUMMARY... 2 INTERPRETATION... 5 DEFINITIONS... 6 CODE OF CONDUCT PRINCIPLES... 7 1. INTEGRITY AND TRUSTWORTHINESS... 7 2. GOOD FAITH...

More information

PHILIPPINE LONG DISTANCE TELEPHONE COMPANY CODE OF BUSINESS CONDUCT AND ETHICS

PHILIPPINE LONG DISTANCE TELEPHONE COMPANY CODE OF BUSINESS CONDUCT AND ETHICS PHILIPPINE LONG DISTANCE TELEPHONE COMPANY CODE OF BUSINESS CONDUCT AND ETHICS Philippine Long Distance Telephone Company ( PLDT or the Company ) is dedicated to doing business in accordance with the highest

More information

Ethical and Professional Responsibility Issues in Environmental Law. Ted Bosquez Vinson & Elkins L.L.P.

Ethical and Professional Responsibility Issues in Environmental Law. Ted Bosquez Vinson & Elkins L.L.P. Ethical and Professional Responsibility Issues in Environmental Law Ted Bosquez Vinson & Elkins L.L.P. Overview Voluntary Self-Disclosure Mechanisms Ethical Considerations in Self-Disclosure Scenarios

More information

Guidelines for Guardians ad Litem for Children in Family Court

Guidelines for Guardians ad Litem for Children in Family Court Guidelines for Guardians ad Litem for Children in Family Court Preamble The following are guidelines for attorneys and non-lawyer volunteers appointed as guardians ad litem for children in most family

More information

Oregon Code of Professional Responsibility

Oregon Code of Professional Responsibility Oregon Code of Professional Responsibility (06/03) 1 Oregon Code of Professional Responsibility (As approved by the Oregon Supreme Court through June 17, 2003) TABLE OF CONTENTS Disciplinary Rule 1 Maintaining

More information

PROFESSIONALISM in PRACTICE

PROFESSIONALISM in PRACTICE PROFESSIONALISM in PRACTICE Southwest Actuarial Forum San Antonio, Texas 10 December 2010 Disclaimer: The opinions expressed are solely those of the presenter and are not approved positions of the American

More information

Ethical Considerations for the Estate Attorney. Trusts and Estates Practice is Difficult to Categorize

Ethical Considerations for the Estate Attorney. Trusts and Estates Practice is Difficult to Categorize Ethical Considerations for the Estate Attorney Trusts and Estates Practice is Difficult to Categorize Clients are generally older, but many younger people are planning for retirement and family members.

More information

WORKERS COMPENSATION. Ethics 2008

WORKERS COMPENSATION. Ethics 2008 WORKERS COMPENSATION Ethics 2008 #1:Solicitation Barfly Bart, general practice lawyer, observes Wanda limping to the bar. After some small talk, Bart asks her about the limp. Wanda says it s work-related.

More information

INTEGRATED BAR OF THE PHILIPPINES COMMISSION ON BAR DISCIPLINE GUIDELINES FOR IMPOSING LAWYER SANCTIONS A. PURPOSE AND NATURE OF SANCTIONS

INTEGRATED BAR OF THE PHILIPPINES COMMISSION ON BAR DISCIPLINE GUIDELINES FOR IMPOSING LAWYER SANCTIONS A. PURPOSE AND NATURE OF SANCTIONS INTEGRATED BAR OF THE PHILIPPINES COMMISSION ON BAR DISCIPLINE GUIDELINES FOR IMPOSING LAWYER SANCTIONS A. PURPOSE AND NATURE OF SANCTIONS 1.1 Purpose of Lawyer Discipline Proceedings The purpose of lawyer

More information

Compilation of Financial Statements

Compilation of Financial Statements Compilation of Financial Statements 2011 AR Section 80 Compilation of Financial Statements Issue date, unless otherwise indicated: December 2009 See section 9080 for interpretations of this section. Source:

More information

THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK COMMITTEE ON PROFESSIONAL AND JUDICIAL ETHICS FORMAL OPINION 2009-6 AGGREGATE SETTLEMENTS

THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK COMMITTEE ON PROFESSIONAL AND JUDICIAL ETHICS FORMAL OPINION 2009-6 AGGREGATE SETTLEMENTS THE ASSOCIATION OF THE BAR OF THE CITY OF NEW YORK COMMITTEE ON PROFESSIONAL AND JUDICIAL ETHICS FORMAL OPINION 2009-6 AGGREGATE SETTLEMENTS TOPIC: Multiple Representations; Aggregate Settlements; Advance

More information

Code of Ethics. I. Definitions

Code of Ethics. I. Definitions Code of Ethics Old North State Trust, LLC (the Company ) has adopted this Code of Ethics in recognition of the principle that all Supervised Persons (as defined below) of the Company have a fiduciary duty

More information

BERKSHIRE HATHAWAY INC. CODE OF BUSINESS CONDUCT AND ETHICS

BERKSHIRE HATHAWAY INC. CODE OF BUSINESS CONDUCT AND ETHICS BERKSHIRE HATHAWAY INC. CODE OF BUSINESS CONDUCT AND ETHICS A. Scope. This Code of Business Conduct and Ethics applies to all Berkshire Hathaway directors, officers and employees, as well as to directors,

More information

Terms and Conditions for Tax Services

Terms and Conditions for Tax Services Terms and Conditions for Tax Services In the course of delivering services relating to tax return preparation, tax advisory, and assistance in tax controversy matters, Brady, Martz & Associates, P.C. (we

More information

ETHICS IN JUVENILE CASES THE DEFENSE PERSPECTIVE

ETHICS IN JUVENILE CASES THE DEFENSE PERSPECTIVE ETHICS IN JUVENILE CASES THE DEFENSE PERSPECTIVE 19 th ANNUAL JUVENILE LAW CONFERENCE PROFESSOR ROBERT O. DAWSON JUVENILE LAW INSTITUTE February 22 24, 2006 Westin Park Central Hotel Dallas, Texas BRIAN

More information

Insurance Contracts Bill

Insurance Contracts Bill Insurance Contracts Bill CONTENTS PART 1 1 Main definitions MAIN DEFINITIONS PART 2 2 Application and interpretation 3 The duty of fair presentation 4 Knowledge of insured Knowledge of insurer 6 Knowledge:

More information

Collaborative Law Participation Agreement

Collaborative Law Participation Agreement Form 15-3 Form 15-3 This form is written for a divorce case but may be reworded as appropriate for any other family law situation. Purpose [Name of wife] and [name of husband] (the parties ) have chosen

More information

SOLICITATION AGREEMENT

SOLICITATION AGREEMENT This SOLICITATION AGREEMENT is made and entered into this day of, 20 between WT Wealth Management, LLC, a registered investment advisor (the Advisor ), and (the Solicitor ). Advisor is an investment advisor

More information

Guidance for the instruction of experts in civil claims

Guidance for the instruction of experts in civil claims Guidance for the instruction of experts in civil claims Introduction 1. The purpose of this guidance is to assist litigants, those instructing experts and experts to understand best practice in complying

More information

THE NEW ILLINOIS RULES OF PROFESSIONAL CONDUCT

THE NEW ILLINOIS RULES OF PROFESSIONAL CONDUCT THE NEW ILLINOIS RULES OF PROFESSIONAL CONDUCT This paper serves as an introduction into the New Rules of Professional Conduct. It is neither intended to be an exhaustive review of the New Rules nor to

More information

Recommending Alternative Dispute Resolution As A Public Agency Attorney: What Attorney Ethical Guidelines Say

Recommending Alternative Dispute Resolution As A Public Agency Attorney: What Attorney Ethical Guidelines Say ETHICS PROGRAM As A Public Agency Attorney: What Attorney Ethical Guidelines Say California State Bar Guidelines Encourage Attorneys to Discuss Alternative Dispute Resolution with Clients In 2007, the

More information

Contracting with Suppliers A Balanced Approach to Indemnities and Limitations of Liability!!"#$%&'(&)*+,"-&

Contracting with Suppliers A Balanced Approach to Indemnities and Limitations of Liability!!#$%&'(&)*+,-& Contracting with Suppliers A Balanced Approach to Indemnities and Limitations of Liability!!"#$%&'(&)*+,"-& "#$%!&'!&())! Co-presented by the Association of Corporate Counsel Ontario Chapter and WeirFoulds

More information

A Guide for the General Practitioner: Ethical Issues When Evaluating, Selecting and Handling Personal Injury Case I.

A Guide for the General Practitioner: Ethical Issues When Evaluating, Selecting and Handling Personal Injury Case I. A Guide for the General Practitioner: Ethical Issues When Evaluating, Selecting and Handling Personal Injury Case I. Finding the Case: For the general practitioner of law, most personal injury claims come

More information

ROLE OF ATTORNEYS IN MEDIATION PROCESS

ROLE OF ATTORNEYS IN MEDIATION PROCESS ROLE OF ATTORNEYS IN MEDIATION PROCESS Overview A party who chooses to resolve a dispute through mediation may or may not be represented by a lawyer at any point in the process. At the option of the party,

More information

ASSOCIATION OF ACCOUNTING TECHNICIANS. Code of Ethics

ASSOCIATION OF ACCOUNTING TECHNICIANS. Code of Ethics ASSOCIATION OF ACCOUNTING TECHNICIANS Code of Ethics This Code of Ethics is set by the Board of Directors of the Association of Accounting Technicians (AAT) as the minimum standards of ethical behaviour

More information

Construction Defect Action Reform Act

Construction Defect Action Reform Act COLORADO REVISED STATUTES Title 13. Courts and Court Procedure Damages Regulation of Actions and Proceedings Article 20. Actions Part 8. Construction Defect Actions for Property Loss and Damage Construction

More information

Duties of Corporate Counsel

Duties of Corporate Counsel April 1, 2015 Making It To The Finish Line & How Not To Stumble Over Your Ethical Obligations When Handling Internal Investigations, Whistleblower Complaints & Social Media A Presentation to ACC-GNY Kathleen

More information

SAMPLE LAWYER-CLIENT ENGAGEMENT LETTER

SAMPLE LAWYER-CLIENT ENGAGEMENT LETTER SAMPLE LAWYER-CLIENT ENGAGEMENT LETTER Jack Scott McInteer DEPEW GILLEN RATHBUN & MCINTEER, LC 8301 East 21 st Street North, Suite 450 Wichita, Kansas 67206 Phone: 316-262-4000 Facsimile: 316-265-3819

More information

ngagement Letters EA GUIDE FOR PRACTITIONERS

ngagement Letters EA GUIDE FOR PRACTITIONERS ngagement Letters EA GUIDE FOR PRACTITIONERS Second Edition 2007 Funded by the American College of Trust and Estate Counsel ( ACTEC ) Foundation. ACTEC is a registered trademark of The American College

More information

THE AMERICAN LAW INSTITUTE. A Concise Restatement LAWYERS. Compiled. VINCENT R. JOHNSON Professor of Law St. Mary's University School of Law.

THE AMERICAN LAW INSTITUTE. A Concise Restatement LAWYERS. Compiled. VINCENT R. JOHNSON Professor of Law St. Mary's University School of Law. AUG 0 3 2009 THE AMERICAN LAW INSTITUTE A Concise Restatement of THE LAW GOVERNING LAWYERS Compiled by VINCENT R. JOHNSON Professor of Law St. Mary's University School of Law and SUSAN SAAB FORTNEY George

More information

Reflections on Ethical Issues In the Tripartite Relationship

Reflections on Ethical Issues In the Tripartite Relationship Reflections on Ethical Issues In the Tripartite Relationship [click] By Bruce A. Campbell 1 Introduction In most areas of the practice of law, there are a number of ethical issues that arise on a frequent

More information

Can a lawyer licensed in

Can a lawyer licensed in ATTORNEY ETHICS Opinion No. 1 of 2012 Query Can a lawyer licensed in Indiana use group coupon or daily deal marketing in compliance with Indiana s Rules of Professional Conduct? Analysis The Indiana State

More information

Selecting Arbitrators in Construction & Surety Cases

Selecting Arbitrators in Construction & Surety Cases Selecting Arbitrators in Construction & Surety Cases Practical Considerations in the Selection of Arbitrators in Construction and Surety Cases "Industry Insight" articles like this one below are submitted

More information

Code of Ethics. for Health Care Compliance Professionals. 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 888-580-8373 www.hcca-info.

Code of Ethics. for Health Care Compliance Professionals. 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 888-580-8373 www.hcca-info. Code of Ethics for Health Care Compliance Professionals 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 888-580-8373 www.hcca-info.org Code of Ethics for Health Care Compliance Professionals Preamble

More information

ETHICAL DIMENSIONS OF BUSINESS IMMIGRATION PRACTICE

ETHICAL DIMENSIONS OF BUSINESS IMMIGRATION PRACTICE ETHICAL DIMENSIONS OF BUSINESS IMMIGRATION PRACTICE Immigration lawyers are confronted frequently by ethical issues, particularly in the context of representing employer and employee clients in business

More information

UNIVERSAL INSURANCE HOLDINGS, INC. CODE OF BUSINESS CONDUCT AND ETHICS. Revised as of March 3, 2014

UNIVERSAL INSURANCE HOLDINGS, INC. CODE OF BUSINESS CONDUCT AND ETHICS. Revised as of March 3, 2014 I. Statement of Policy UNIVERSAL INSURANCE HOLDINGS, INC. CODE OF BUSINESS CONDUCT AND ETHICS Revised as of March 3, 2014 Universal Insurance Holdings, Inc. ( UIH ) and its subsidiaries (collectively,

More information

From: Hong Kong Wah Sun Company [mailto:wahsuntradinghongkong@outlook.com] Sent: Friday, October 23, 2015 3:39 PM Subject: Conflict Check

From: Hong Kong Wah Sun Company [mailto:wahsuntradinghongkong@outlook.com] Sent: Friday, October 23, 2015 3:39 PM Subject: Conflict Check From: Hong Kong Wah Sun Company [mailto:wahsuntradinghongkong@outlook.com] Sent: Friday, October 23, 2015 3:39 PM Subject: Conflict Check Legal Matter in process to review of proposed transaction contract

More information

KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-290 Issued: September 1984

KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-290 Issued: September 1984 KENTUCKY BAR ASSOCIATION Ethics Opinion KBA E-290 Issued: September 1984 This opinion was decided under the Code of Professional Responsibility, which was in effect from 1971 to 1990. Lawyers should consult

More information

PATRICIA A. CHUCKA GRINER & ASSOCIATES 13935 BISHOP S DRIVE, SUITE 250 BROOKFIELD, WI 53005 PHONE: 262-825-9295

PATRICIA A. CHUCKA GRINER & ASSOCIATES 13935 BISHOP S DRIVE, SUITE 250 BROOKFIELD, WI 53005 PHONE: 262-825-9295 PATRICIA A. CHUCKA GRINER & ASSOCIATES 13935 BISHOP S DRIVE, SUITE 250 BROOKFIELD, WI 53005 PHONE: 262-825-9295 ETHICS AND THE WORKER S COMPENSATION PRACTITIONER A lawyer, as a member of the legal profession,

More information

MULTIPLE REPRESENTATION AND DRAFTING CONTINGENCY FEE AGREEMENTS

MULTIPLE REPRESENTATION AND DRAFTING CONTINGENCY FEE AGREEMENTS MULTIPLE REPRESENTATION AND DRAFTING CONTINGENCY FEE AGREEMENTS ADVANCED PERSONAL INJURY LAW COURSE CLE TEXAS STATE BAR 2013 S AM J OHNSON S COTT, DOUGLASS & MC C ONNICO, L.L.P. A TTORNEYS A T L AW WWW.

More information

INVESTMENT MANAGEMENT SERVICES AGREEMENT

INVESTMENT MANAGEMENT SERVICES AGREEMENT INVESTMENT MANAGEMENT SERVICES AGREEMENT THIS AGREEMENT is made this day of, 20 by and between I.Q. Trends Private Client Asset Management (the Advisor ), a California corporation, whose principal place

More information

STANDARD 3.5 ON ASSISTANCE TO PRO SE LITIGANTS

STANDARD 3.5 ON ASSISTANCE TO PRO SE LITIGANTS STANDARD 3.5 ON ASSISTANCE TO PRO SE LITIGANTS STANDARD In appropriate circumstances, a provider may offer pro se litigants assistance or limited representation at various stages of proceedings. COMMENTARY

More information

AMERICAN BAR ASSOCIATION STANDARDS FOR IMPOSING LAWYER SANCTIONS

AMERICAN BAR ASSOCIATION STANDARDS FOR IMPOSING LAWYER SANCTIONS AMERICAN BAR ASSOCIATION STANDARDS FOR IMPOSING LAWYER SANCTIONS Definitions Adopted by the Michigan Supreme Court in Grievance Administrator v Lopatin, 462 Mich 235, 238 n 1 (2000) AInjury@ is harm to

More information

Impact of the Proceeds of Crime (Money Laundering) Act on Lawyers' Ethical And Fiduciary Duties to Clients

Impact of the Proceeds of Crime (Money Laundering) Act on Lawyers' Ethical And Fiduciary Duties to Clients Impact of the Proceeds of Crime (Money Laundering) Act on Lawyers' Ethical And Fiduciary Duties to Clients By: Victoria Rees, Director of Professional Responsibility Nova Scotia Barristers' Society Regulations

More information

Law and Medicine: A Report on Interprofessional Relations

Law and Medicine: A Report on Interprofessional Relations The Ohio State University Knowledge Bank kb.osu.edu Ohio State Law Journal (Moritz College of Law) Ohio State Law Journal: Volume 15, Issue 4 (1954) 1954 Law and Medicine: A Report on Interprofessional

More information

XYZ Co. shall pay $200 per hour to each of Lawyer A and Lawyer B for additional time (including travel) spent beyond the initial eight hours.

XYZ Co. shall pay $200 per hour to each of Lawyer A and Lawyer B for additional time (including travel) spent beyond the initial eight hours. LEGAL ETHICS OPINION 1715 SETTLEMENT AGREEMENT; FUTURE CONFLICTS; RESTRICTION OF LAWYER'S PRACTICE. This responds to your letter dated December 15, 1997, requesting an advisory opinion that addresses a

More information

FOR PROPERTY LOSS AND DAMAGE 1

FOR PROPERTY LOSS AND DAMAGE 1 13-20-801. Short title Colorado Revised Statutes Title 13; Article 20; Part 8: CONSTRUCTION DEFECT ACTIONS FOR PROPERTY LOSS AND DAMAGE 1 This part 8 shall be known and may be cited as the Construction

More information

COMMENTARY. California s New Subcontractor Defense Regime for Non-Residential Projects: Creating Order or Chaos?

COMMENTARY. California s New Subcontractor Defense Regime for Non-Residential Projects: Creating Order or Chaos? May 2013 JONES DAY COMMENTARY California s New Subcontractor Defense Regime for Non-Residential Projects: Creating Order or Chaos? As explained in a recent Commentary (available at http://www.jonesday.com/navigating_treacherous_

More information

OFFICE OF THE REGISTRAR OF INSURANCE AND RETIREMENT FUNDS CODE OF CONDUCT FOR INSURANCE BROKERS

OFFICE OF THE REGISTRAR OF INSURANCE AND RETIREMENT FUNDS CODE OF CONDUCT FOR INSURANCE BROKERS Form RDI 14 OFFICE OF THE REGISTRAR OF INSURANCE AND RETIREMENT FUNDS CODE OF CONDUCT FOR INSURANCE BROKERS 1. INTRODUCTION This Directive sets out the Code of Conduct for insurance brokers offering insurance

More information

Revised 05/22/14 P a g e 1

Revised 05/22/14 P a g e 1 Corporate Office 107 W. Franklin Street P.O. Box 638 Elkhart, IN 46515-0638 Phone (574) 294-7511 Fax (574) 522-5213 INTRODUCTION PATRICK INDUSTRIES, INC. CODE OF ETHICS AND BUSINESS CONDUCT As a leader

More information

Insight from Carlton Fields

Insight from Carlton Fields Insight from Carlton Fields Serving Two Masters: of Bond Sureties By Wm. Cary Wright; Matthew R. Cogburn; J. Derek Kantaskas In construction litigation, principals and sureties on payment and performance

More information

The Code of Ethics for Arbitrators in Commercial Disputes

The Code of Ethics for Arbitrators in Commercial Disputes The Code of Ethics for Arbitrators in Commercial Disputes Approved by the American Bar Association House of Delegates on February 9, 2004 Approved by the Executive Committee of the Board of Directors of

More information

Ethical Wrinkles In Elder Law

Ethical Wrinkles In Elder Law Ethical Wrinkles In Elder Law Devika Kewalramani There is one rule to follow above all others: Proceed with extreme caution. Devika Kewalramani is a partner and co-chair of Moses & Singer s Legal Ethics

More information

Sample agreement: Collaborative Law

Sample agreement: Collaborative Law Sample agreement: Collaborative Law Between: and and agree as follows: 1. GOALS We believe that it is in our mutual best interest to resolve our differences by discussing and agreeing on what is important

More information

Standards of. Conduct. Important Phone Number for Reporting Violations

Standards of. Conduct. Important Phone Number for Reporting Violations Standards of Conduct It is the policy of Security Health Plan that all its business be conducted honestly, ethically, and with integrity. Security Health Plan s relationships with members, hospitals, clinics,

More information

Collaborative Law Looks to Avoid Litigation

Collaborative Law Looks to Avoid Litigation Massachusetts Lawyers Weekly May 8, 2000 (28 M.L.W. 1989) Collaborative Law Looks to Avoid Litigation by David A. Hoffman and Rita S. Pollak In a handful of jurisdictions around the United States, groups

More information