# RULES GOVERNING THE MUSCOGEE (CREEK) NATION BAR AND ATTORNEY

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## Record

- **Collection:** Tribal code
- **Document type:** Tribal code

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RULES GOVERNING THE MUSCOGEE (CREEK) NATION BAR AND ATTORNEY
PROFESSIONAL CONDUCT
PURPOSE
Chapter 1 - Admission
§ 1-1: Eligibility for Admission and Practice
§ 1-2: Roll of Attorneys
§ 1-3: Assignment and Use of Bar Identification Number
§ 1-4: Application for Admission
§ 1-5: Documentation Required
§ 1-6: Assessment and Review
§ 1-7: Reapplication After Denial of Admission
§ 1-8: Oath of Admission
§ 1-9: Completing Admission
§ 1-10: Bar Records
§ 1-11: Certificate of Good Standing
Chapter 2- Membership
§ 2-1: Membership In Good Standing
§ 2-2: Member Classification
§ 2-3: Annual Renewal Required for Active Membership In Good Standing
§ 2-4: Delinquency of Renewal; Inactive by Operation of Law
§ 2-5: Extended Delinquency; Suspended by Operation of Law
Chapter 3- Attorney Professional Responsibility
§ 3-1: Minimum Standard of Attorney Professional Conduct
§ 3-2: Bar Counsel for Professional Responsibility (BCPR)
§ 3-3: Sanctions
§ 3-4: Summary Discipline for Direct or Indirect Contempt
Chapter 4- Discipline, Conviction or Plea in Another Jurisdiction
§ 4-1: Acts or Omissions; Name Stricken and Disbarment by Operation of Law
§ 4-2: Affirmative Duty to Report
Chapter 5- Grievances Regarding Alleged Professional Misconduct
§ 5-1: Filing of Grievance Regarding Alleged Professional Misconduct
§ 5-2: Form of Grievances
§ 5-3: Notice to Respondent
§ 5-4: Grievances Privileged
§ 5-5: Confidentiality of Grievance Investigations and Results
§ 5-6: Preliminary Investigation
§ 5-7: Report and Recommendation
§ 5-8: Show-Cause Hearing
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Chapter 6- Reinstatement/Application for Readmission
§ 6-1: Petition for Reinstatement After Disbarment Under Chapter 5
§ 6-2: Petition for Reinstatement After Disbarment Under Chapter 4
§ 6-3: Application for Early Readmission After Suspension Under § 2-2(C)(2)
Chapter 7- Unauthorized Practice of Law
§ 7-1: By an Attorney
§ 7-2: By a Non-Attorney
§ 7-3: Inapplicable to Duly Seated, Non-Attorney Supreme Court Justices
Chapter 8 – Licensed Legal Interns
§ 8-1: Procedure to Obtain License
§ 8-2: Assessment and Review
§ 8-3: Oath of Licensed Legal Intern
§ 8-4: Supervising Attorneys
§ 8-5: Signing of Pleadings
§ 8-6: Limitations on Licensed Legal Interns
§ 8-7: Termination of the Limited License
Appendix A – Muscogee (Creek) Nation Rules of Professional Conduct for Attorneys
SCOPE
TERMINOLOGY
Section 1- Client-Lawyer Relationship
Rule 1.1- Competence
Rule 1.2- Scope of Representation and Allocation of Authority
Rule 1.3- Diligence
Rule 1.4- Communications
Rule 1.5- Fees
Rule 1.6- Confidentiality of Information
Rule 1.7- Conflict of Interest: General Rule
Rule 1.8- Conflict of Interest: Prohibited Transactions
Rule 1.9- Conflict of Interest: Former Clients
Rule 1.10- Imputed Conflicts of Interest and Disqualification: General Rule
Rule 1.11- Successive Government and Private Employment
Rule 1.12- Former Judge, Arbitrator, Mediator or Other Third-Party Neutral
Rule 1.13- Organization as Client
Rule 1.14- Client with Diminished Capacity
Rule 1.15- Safekeeping Property
Rule 1.16- Declining or Terminating Representation
Rule 1.17- Sale of Law Practice
Rule 1.18- Duties to Prospective Client
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Section 2: Counselor
Rule 2.1- Advisor
Rule 2.2- Evaluation for Use by Third Persons
Rule 2.3- Lawyer Serving as Third-Party Neutral
Section 3: Advocate
Rule 3.1- Meritorious Claims and Contentions
Rule 3.2- Expediting Litigation
Rule 3.3- Candor toward the Tribunal
Rule 3.4- Fairness to Opposing Party and Counsel
Rule 3.5- Impartiality and Decorum of the Tribunal
Rule 3.6- Trial Publicity
Rule 3.7- Lawyer as Witness
Rule 3.8- Special Responsibilities of a Prosecutor
Rule 3.9- Advocate in Nonadjudicative Proceedings
Section 4: Transactions with Persons Other Than Clients
Rule 4.1- Truthfulness in Statements to Others
Rule 4.2- Communication with Person Represented by Counsel
Rule 4.3- Dealing with Unrepresented Person
Rule 4.4- Respect for Rights of Third Persons
Section 5: Law Firms and Associations
Rule 5.1- Responsibilities of Partners, Managers, and Supervisory Lawyers
Rule 5.2- Responsibilities of a Subordinate Lawyer
Rule 5.3- Responsibilities Regarding Nonlawyer Assistants
Rule 5.4- Professional Independence of a Lawyer
Rule 5.5- Unauthorized Practice of Law
Rule 5.6- Restrictions on Right to Practice
Rule 5.7- Responsibilities Regarding Law-Related Services
Section 6: Public Service
Rule 6.1- Pro Bono Public Service
Rule 6.2- Accepting Appointments
Rule 6.3- Membership in Legal Services Organization
Rule 6.4- Law Reform Activities Affecting Client Interests
Rule 6.5- Nonprofit and Court-Annexed Limited Legal Services Programs
Section 7: Information about Legal Services
Rule 7.1- Communication Concerning a Lawyer's Services
Rule 7.2- Advertising
Rule 7.3- Direct Contact with Prospective Clients
Rule 7.4- Communication of Fields of Practice and Certification
Rule 7.5- Firm Names and Letterhead
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Section 8: Maintaining the Integrity of the Profession
Rule 8.1- Bar Admission and Disciplinary Matters
Rule 8.2- Judicial and Legal Officials
Rule 8.3- Reporting Professional Misconduct
Rule 8.4- Misconduct
Rule 8.5- Disciplinary Authority
Appendix B – Forms Prescribed by the Court
Form 1- Application for Admission to the Muscogee (Creek) Nation Bar
Form 2- Updated Contact/Information Sheet
Form 3- Licensed Legal Intern Application
Form 4 - Supervising Attorney Application
Form 5 - Grievance Form (For Attorney Professional Misconduct)
Form 6- Petition for Reinstatement or Early Readmission to the M(C)N Bar
Association

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RULES GOVERNING THE MUSCOGEE (CREEK) NATION BAR AND ATTORNEY
PROFESSIONAL CONDUCT
PURPOSE. The Rules Governing the Muscogee (Creek) Nation Bar and Attorney Professional
Conduct (hereinafter “Rules”) provide the procedural framework for admission and regulation of
membership in the Muscogee (Creek) Nation Bar (hereinafter “M(C)N Bar” or “Bar”). These Rules
also establish the process for investigation and resolution of grievances alleging professional
misconduct by a M(C)N Bar member or the unauthorized practice of law before Muscogee (Creek)
Nation courts.
CHAPTER 1 – ADMISSION
§ 1-1: Eligibility for Admission and Practice. Any attorney that is a member in good standing
of the bar of the highest court of any state of the United States or the District of Columbia is eligible to
apply for admission to the M(C)N Bar. Only members of the M(C)N Bar duly admitted pursuant to the
provisions of this chapter and in good standing pursuant to § 2-1, infra, or licensed legal interns admitted
pursuant to M(C)NCA Title 27, App. 1, Rule 4(d), and § 8, infra, may practice law before Muscogee
(Creek) Nation courts.
§ 1-2: Roll of Attorneys. The Muscogee (Creek) Nation Supreme Court Clerk shall maintain a
roll of all attorneys duly admitted to the Bar that reflects the current membership status of each attorney.
Subject to the requirements set forth in the succeeding rules, the Bar shall consist of those attorneys who
have completed the required admission process pursuant to this chapter.
§ 1-3: Assignment and Use of Bar Identification Number. Upon admission of an attorney to the
Bar, the Clerk of the Muscogee (Creek) Nation Supreme Court shall assign each new member an
individual Bar identification number.

In addition to any form requirements for filings under the

Muscogee (Creek) Nation Code Annotated, Bar members and licensed legal interns shall include their M(C)N
Bar identification number on any document filed in Muscogee (Creek) Nation courts.
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§ 1-4: Application for Admission. All applications for admission to the Bar shall be filed with
the Clerk of the Muscogee (Creek) Nation Supreme Court. Applications for admission to the Bar shall
be in writing, submitted on a form prescribed by the Supreme Court, and signed and dated by the
applicant. Applicants shall answer all questions on the application questionnaire truthfully, fully and
completely, without mental reservations of any kind. Failure to complete the application questionnaire
truthfully, fully and completely will result in denial of the application for admission.
§ 1-5: Documentation Required. At the time an application for admission to the Bar is filed,
applicants shall also provide:
(a) the completed Application for Admission to the Muscogee (Creek) Nation
Bar, including a signed and dated consent to jurisdiction on the form prescribed
by the Supreme Court; and
(b) an official, original certificate of good standing issued by the bar of the
highest court of any state of the United States or the District of Columbia dated
no more than ninety (90) calendar days prior to the date of application to the
M(C)N bar; and
(c) a seventy-five dollar ($75.00) check or money order made payable to the
M(C)N Bar Association (consisting of a one-time, non-refundable fifty-dollar
($50.00) application fee and a twenty-five dollar ($25.00) annual membership
fee refundable upon denial of the application for admission).
§ 1-6: Assessment and Review. The Clerk of the Supreme Court shall immediately refer
completed applications and all required documentation to the Justices of the Supreme Court for
assessment of the applicant's qualifications and fitness for admission. The Justices shall review each
application and authorize for admission any application receiving favorable review by a majority of the
Court duly formed. After completing the assessment, the Chief Justice shall inform the Clerk in writing
of the Court’s admission decision, and direct the Clerk to approve and process or deny the application.
Upon completion of Supreme Court review, the Clerk shall notify applicants of the Court’s decision
regarding admission within twenty-four (24) hours and, if applicable, schedule a date for administration
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of the oath of admission by a Muscogee (Creek) Nation judicial officer.
§ 1-7: Reapplication After Denial of Admission. Any applicant denied admission to the Bar by
the Supreme Court for failure to submit a completed application or for failure to submit an official,
original certificate of good standing shall be permitted thirty (30) days from the denial date to
supplement this information/documentation and have their application reconsidered, otherwise, any
applicant denied admission is prohibited from reapplying for two (2) calendar years from the date of
denial.
§ 1-8: Oath of Admission. After the Supreme Court authorizes an applicant to be admitted to the
Bar, each applicant must appear before a Muscogee (Creek) Nation judicial officer for administration
of the following oath of admission:
“I, (full name of applicant accepted for admission), do solemnly swear (or affirm) that I am
familiar with and will support the Constitution and laws of the Muscogee Nation. I willingly
consent to the jurisdiction of the Muscogee Nation and resolve to conduct myself uprightly
and according to Muscogee law as an officer, attorney and counselor of the Muscogee Nation
courts.”
An applicant shall have thirty (30) days following notification of a decision regarding admission to
schedule and complete the oath of admission. Following this thirty (30) day period, if the applicant has
failed to complete the oath of admission, said applicant’s application shall be deemed denied. In order
to complete the admission process and become eligible to practice law before Muscogee (Creek) Nation
courts, each applicant shall return to the Clerk the original certificate of oath signed and dated by both
the applicant and the administering judicial officer.
§ 1-9: Completion of Admission. Upon completion of admission an applicant will receive a
welcome letter from the Clerk, which shall include a receipt for the applicant’s membership and
application fees, the bar member’s annul Bar Card, and a copy of the Muscogee (Creek) Nation District
Court Rules. The Clerk will also order the bar member’s certificate of admission at this time, which
shall be mailed to the bar member upon receipt by the Clerk. The bar member’s business contact
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information will be added to the list of current bar members for use in all official correspondence from
the Muscogee (Creek) Nation courts and the Muscogee (Creek) Nation Bar Association and published
to Court’s website at this time.
§ 1-10: Bar Records. The Supreme Court Clerk shall establish and indefinitely maintain individual
files for each applicant denied admission and each attorney duly admitted to the Bar.
(a) Applicants denied admission: The individual file for any applicant denied admission
shall clearly reflect the date of denial and shall contain all documentation described at §1-4
through §1-6, supra, including proof of refund of the $25.00 membership fee (the original
$50.00 Application Fee is Non-Refundable).
(b) Duly admitted Bar members (including “active”, “suspended”, or “inactive-suspended”
classification): The individual file for any member ever duly admitted to the Bar shall clearly
reflect the member’s current classification under §2-2, infra; and shall contain all
documentation described at §1-4 through §1-6, supra; Chapter 2, infra; and any
documentation from the Bar Counsel for Professional Responsibility regarding member
reclassification pursuant to disciplinary proceedings under Chapters 4, 5, 6, and/or 7, infra.
§ 1-11: Certificate of Good Standing. An official certificate of good standing with the M(C)N
Bar shall be provided free of charge to any member of the M(C)N Bar Association, in good standing,
upon written request made to the Supreme Court Clerk.
CHAPTER 2 - MEMBERSHIP
§ 2-1: Membership In Good Standing. Any attorney duly admitted to the M(C)N Bar pursuant
to the admission process prescribed in Chapter 1, supra, shall be considered a member in good standing
until such time as the attorney either (1) fails to timely remit the annual membership renewal fee pursuant
to § 2-4, infra; and/or (2) is suspended by operation of law or as a disciplinary sanction under any
provision(s) in Chapters 4, 5, 6, and/or 7, infra. Bar members shall promptly inform the Supreme Court
Clerk of any changes to the member’s contact information or address of record provided on the
application for admission, any disciplinary proceedings filed against the member in other jurisdictions,
and/or any criminal charges filed against the member within twenty (20) days (See § 4-2, infra).

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§ 2-2: Member Classification. M(C)N Bar membership shall be divided into five separate
classifications:
(a) Active members: All duly admitted members in good standing pursuant to § 2-1, supra,
shall be classified as active members.
(b) Inactive members: Any active member shall be reclassified as “inactive” if that member
is subsequently (1) suspended by operation of law pursuant to § 2-4, infra, for non-payment
of membership renewal fees not exceeding one calendar year; (2) at the attorney’s written
request (i.e. for retirement, for a member no longer practicing in this jurisdiction, etc.), and/or
(3) upon death of the member.
(c) Suspended members: Any active member shall be reclassified as “suspended” if that
member is subsequently (1) delinquent in membership renewal for a period greater than one
calendar year pursuant to § 2-5, infra, and/or (2) suspended for a finite period as a disciplinary
sanction under any provision(s) in Chapters 4, 5, 6, and/or 7, infra.
(d) Disbarred: Any active or suspended member shall be reclassified as “disbarred” and
stricken from the roll of attorneys if that member is subsequently (1) suspended indefinitely
or disbarred by the Supreme Court as a disciplinary sanction under any provision(s) in
Chapters 4, 5, 6, and/or 7, infra.
(e) Honorary Status: It was the past practice of the Muscogee (Creek) Nation Bar
Association and this Court to, on occasion, confer honorary membership status to select
individuals in recognition of works done on the Nation’s and/or Bar Association’s behalf.
Such a practice is no longer authorized by this Court. However, those individuals having
been conferred honorary membership prior to the adoption of these rules shall retain
honorary status in the Muscogee (Creek) Nation Bar Association.
§ 2-3: Annual Renewal Required for Active Membership In Good Standing. To remain an
active member in good standing, Bar members shall remit an annual membership renewal fee of twentyfive ($25.00) dollars payable by check or money order to the M(C)N Bar Association (attn.: the Supreme
Court Clerk) [P.O. Box 546, Okmulgee, OK 74447] no later than January 1 each calendar year (with a
grace period until January 31). Cash payments will only be accepted at the office of the Supreme Court.
The Supreme Court Clerk shall send an invoice for the membership renewal fee by both electronic and
regular U.S. mail to each member in good standing:
(a) on or about November 1 (via electronic mail) in the year preceding the renewal due date;
(b) on or about December 1 (via US Mail) in the year preceding the renewal due date; and
(c) on or about January 25 (via US Mail) in the month renewal is due notifying of impending
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change to “inactive member” status as of February 1.
It is the duty of each Bar member to notify the Supreme Court Clerk of any change to the member’s
address and/or contact information prior to the above-referenced yearly membership fee notifications.
An updated Bar Card shall be mailed to the member within seven (7) days of payment. Checks that are
returned for insufficient funds shall be returned to the member and the member will be required to
correct payment with the Clerk and pay any resulting banks fees incurred due to the returned check in
addition to the yearly membership fee.
§ 2-4: Delinquency of Renewal; Inactive by Operation of Law. Any member that fails to
timely remit membership renewal fees by January 31 each calendar year shall, by operation of law, be
placed on “inactive member” status for delinquency of membership renewal on February 1 of the same
calendar year. Members made inactive for delinquency of membership renewal are immediately
prohibited from practicing law before any Muscogee (Creek) Nation court. Any member made inactive
for delinquency of membership renewal may be reinstated to active membership and returned to goodstanding status by remitting to the M(C)N Bar Association (Attn: the Supreme Court Clerk) the annual
membership renewal fee of twenty-five ($25.00) dollars and a delinquency fee of twenty-five ($25.00)
dollars within one (1) calendar year of suspension. Additionally, the member shall be required to submit
a M(C)N Bar Association Updated Contact/Information Sheet (found on the Supreme Court’s website)
with their payment. Inactive members shall continue to incur yearly membership fees. The Supreme
Court Clerk shall send a statement/invoice to the inactive member notifying the member of his/her
membership renewal and delinquency fees and impending change to “Suspended member” status by
regular U.S. mail.
(a) on or about November 1 (via US Mail) in the year first suspended for delinquency
notifying of impending change to “suspended member” status.

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§ 2-5: Extended Delinquency; Suspended by Operation of Law. Any member made inactive
for delinquency of membership renewal that fails to remit the annual membership renewal fee and
delinquency fee in full within one (1) calendar year of January 1 in the year in which the member was
placed on “inactive member” status shall be changed to a “suspended member” status. Any attorney
suspended for extended delinquency of membership renewal shall be required to wait two (2) years from
the date the member’s account initially fell into delinquency and must re-apply for admission to the M(C)N
Bar Association pursuant to § 1-5, through § 1-10, including all fees required therein. Additionally, the
attorney shall be required to pay a twenty-five ($25.00) delinquency fee. Applications for readmission
to the Bar after suspension for extended delinquency shall be filed with the Supreme Court Clerk and
the applicant shall clearly disclose on the application that the applicant was previously stricken from the
roll of attorneys for extended delinquency of membership renewal.
CHAPTER 3 – ATTORNEY PROFESSIONAL RESPONSIBILITY
§ 3-1: Minimum Standard of Attorney Professional Conduct. Members of the Bar and licensed
legal interns shall adhere to these Rules, the Muscogee (Creek) Nation Rules of Professional Conduct
for Attorneys at Appendix A infra, the Muscogee (Creek) Nation Code and the local rules of the
Muscogee (Creek) Nation courts.
§ 3-2: Bar Counsel for Professional Responsibility (BCPR). The Muscogee (Creek) Nation
Supreme Court shall, by majority of the Court duly formed, employ and discharge the Bar Counsel for
Professional Responsibility (hereinafter “BCPR”). The BCPR shall have investigative authority and
reporting responsibilities as described herein.
§ 3-3: Sanctions. Any Bar member or licensed legal intern determined by the Muscogee (Creek)
Nation Supreme Court to have violated these Rules, or the rules incorporated herein, shall be subject to
sanctions which may include monetary fines, private or public reprimand, probation, finite or indefinite
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suspension, disbarment and/or such other disciplinary action as determined by the Muscogee (Creek)
Nation Supreme Court.
§ 3-4: Summary Discipline for Direct or Indirect Contempt. No provision herein shall be
interpreted to limit the inherent authority of individual justices or judges of the Muscogee (Creek)
Nation to exercise judicial authority over assigned legal proceedings or limit judicial officials’ inherent
authority to maintain control of the courtroom and to impose, at the individual justice’s or judge’s
discretion, sanctions, penalties or other restrictions for direct or indirect contemptuous conduct by any
attorney or non-attorney. The authority to disbar members of the Bar; however, exceeds the contempt
authority of a justice or judge acting individually.
CHAPTER 4 – DISCIPLINE, CONVICTION OR PLEA IN ANOTHER JURISDICTION
§ 4-1: Acts or Omissions; Name Stricken and Disbarment By Operation of Law. Any member
of the Bar shall, by operation of law, be immediately stricken from the roll of attorneys, prohibited from
practicing law before Muscogee (Creek) Nation courts, and disbarred indefinitely from M(C)N Bar
membership if the member:
(a) fails to notify the BCPR, in writing, within twenty (20) calendar
days of any disciplinary action for professional misconduct by the
highest court of a federally recognized Indian tribe, the highest court of
a state of the United States or the District of Columbia, or by any federal
court (see § 4-2, infra); or
(b) is suspended, disbarred or resigns from the practice of law pending
disciplinary proceedings in any court of competent jurisdiction; or
(c) is convicted or tenders a plea of guilty or nolo contenderepursuant
to a deferred or suspended sentence plea agreement in any court of
competent jurisdiction of a felony crime or any crime involving moral
turpitude, regardless of the pendency of an appeal; or
(d) is convicted or tenders a plea of guilty or nolo contendere pursuant
to a deferred or suspended sentence plea agreement in any court of
competent jurisdiction of a crime which demonstrates the member’s
unfitness to practice law, regardless of the pendency of an appeal.
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§ 4-2: Affirmative Duty to Report. Members of the Bar shall notify the Supreme Court Clerk, in
writing, within twenty (20) calendar days of any such discipline, suspension, disbarment, resignation,
conviction or plea agreement in a foreign jurisdiction as described supra at § 4-1. This notification may
be turned over to the BCPR for further investigation. Any member suspended indefinitely by operation
of law under this chapter may file a petition for reinstatement with the Supreme Court pursuant to § 62, infra.
CHAPTER 5 – GRIEVANCES REGARDING ALLEGED PROFESSIONAL MISCONDUCT
§ 5-1: Filing of Grievance for Alleged Professional Misconduct. Grievances regarding alleged
professional misconduct or requests for investigation of alleged unauthorized practice of law
(hereinafter “grievances”) shall be filed with the Supreme Court Clerk and shall not require a filing fee.
All filed grievances shall be assigned a unique grievance case number, stamped evidencing the date of
filing and a file shall be created and maintained by the Supreme Court Clerk for that cause of action.
True and correct copies of all newly filed grievance actions (and any subsequent pleading(s) filed in the
cause) shall be transmitted to the BCPR by the Supreme Court Clerk within three (3) business days of
the document’s filing.
§ 5-2: Form of Grievances. Grievances shall be submitted in writing, on the form prescribed by
the Supreme Court, as original sworn declarations under penalty of perjury. Grievances shall state with
particularity the circumstances out of which the grievance arose.
§ 5-3: Notice to Respondent. Upon receipt of a grievance, the BCPR shall provide notice and a
copy of the grievance to the Bar member or person subject to the grievance allegations (hereinafter
“respondent”).
§ 5-4: Grievances Privileged. Matters contained in grievances submitted to the BCPR and
statements, oral or written, with respect thereto, shall be privileged. Litigation or the threat of litigation
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by any respondent against a person submitting a grievance (hereinafter “grievant”) by reason of such
submission may be grounds in itself for discipline.
§ 5-5: Confidentiality of Grievance Investigations and Results. Investigations by the BCPR shall
be confidential with respect to all non-parties to the grievance, and the results thereof shall not be made
public unless directed by the Supreme Court or until a show-cause hearing is commenced under § 5-8,
infra. If the Supreme Court deems a show-cause hearing is unnecessary at the conclusion of the BCPR’s
report and recommendation, the final disposition of a grievance may be made public at the option of the
respondent. The BCPR shall, in all cases, notify the grievant and the respondent in writing of the final
disposition of the grievance.
§ 5-6: Preliminary Investigation. Upon receipt of a grievance regarding alleged attorney
professional misconduct, the BCPR shall make such preliminary investigation as the BCPR deems
appropriate. After preliminary investigation, the BCPR shall either:
(a) notify the grievant and the respondent in writing that the allegations are inadequate,
incomplete or insufficient to warrant further investigation, provided that such an action be
reported to the Supreme Court at its next meeting; or
(b) file and serve a copy of the grievance upon the respondent, who shall thereafter make a
written response within twenty (20) calendar days (to be filed with the Supreme Court Clerk)
which contains a full and fair disclosure of all the facts and circumstances pertaining to the
respondent’s alleged misconduct unless the respondent’s refusal to do so is predicated upon
expressed constitutional grounds. Deliberate misrepresentation in such response shall itself
be grounds for discipline by the Supreme Court. Failure by the respondent to answer within
twenty (20) calendar days after service of the grievance, or such further time as may be
granted by the BCPR, shall be grounds for discipline by the Supreme Court. The BCPR shall
make such further investigation of the grievance and response as the BCPR may deem
appropriate before making a report and recommendation to the Supreme Court.
Should the BCPR direct either the grievant or the respondent to submit additional information and/or
documentation, the BCPR shall advise the requested party at what address or other point of contact said
party should submit the requested information and/or documentation.
§ 5-7: Report and Recommendation. Upon completion of the preliminary investigation, the
BCPR shall make a report and recommendation to the Supreme Court on each grievance. The BCPR
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shall, at this time, also turn over to the Court all original documentation, including communications
between the BCPR and the parties and/or communications between the BCPR and other individuals
involved in the BCPR’s investigation, for inclusion in the Court’s file. After receiving the BCPR’s report
and recommendation, the Supreme Court shall:
(a) direct the BCPR to conduct additional investigation; or
(b) direct the BCPR to advise the grievant and respondent in writing that the factual
circumstances do not warrant further investigation or disciplinary action; or
(c) direct that a private letter of admonishment be written to the respondent by the
BCPR; or
(d) direct that, conditioned upon the respondent’s acceptance of a private reprimand
before the Supreme Court, no show-cause hearing be ordered, and in such event, the
respondent shall be notified to appear before the Supreme Court at a time and place to
be fixed in the notice for the purpose of receiving a private reprimand. If the respondent
does not appear at the time and place so fixed in such notice, the Supreme Court may
give further consideration to the advisability of ordering a show-cause hearing; and/or
(e) enter an order for respondent to appear and show cause why disciplinary action
should not be imposed; and/or
(f) direct the BCPR to refer the grievance to or otherwise notify the proper foreign
court of competent jurisdiction or regulatory authority; or
(g) in matters involving the unauthorized practice of law, either dismiss the grievance
or direct the BCPR to transfer the matter to the Muscogee (Creek) Nation Attorney
General for further investigation and possible felony prosecution under Muscogee
(Creek) Nation Code Annotated, Title 14, § 2-824.A.
§ 5-8: Show-Cause Hearing. If the Supreme Court determines that a show-cause hearing is
necessary based on the BCPR’s report and recommendation, the Court shall issue an order for
respondent to show cause why disciplinary action should not be imposed. The order shall recite the
nature of the complaint against the respondent and shall provide the respondent with no less than
fourteen (14) calendar days advance notice of the date and time set for the show-cause hearing on the
allegations raised in the grievance. The respondent may, however, waive the right to a hearing at any
time. During the hearing, the respondent shall be afforded an opportunity to appear in person, to present
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oral and documentary evidence, to compel the attendance of witnesses or the production of documents,
to cross-examine witnesses, and to present argument orally or in writing. The show-cause hearing shall
be on the record. If not called by the respondent, it is within the discretion of the Supreme Court to call
the grievant to appear at the hearing. The burden shall be on the respondent to prove, based on a
preponderance of the evidence, that the respondent did not engage in the alleged professional
misconduct. At the conclusion of the show-cause hearing, the Supreme Court shall deliberate and shall
issue an Order within seven (7) days imposing disciplinary and/or corrective action(s) if a majority of
the Court duly formed determines, based on a preponderance of the evidence that the respondent
engaged in the professional misconduct alleged. The Supreme Court is the final authority on disciplinary
matters and its disciplinary orders are not subject to appeal.
CHAPTER 6 – REINSTATEMENT/APPLICATION FOR READMISSION
§ 6-1: Petition for Reinstatement After Disbarment Under Chapter 5. Any attorney disbarred
by the Supreme Court pursuant to disciplinary proceedings for professional misconduct under Chapter
5, supra, is prohibited from filing a petition for reinstatement until such time as the attorney sufficiently
demonstrates that any and all corrective actions imposed by the Supreme Court at the time of suspension
(if any) have been satisfied. Petitions for reinstatement under this section shall filed with the Supreme
Court Clerk on the form prescribed by the Court. Review and disposition of petitions for reinstatement
under this section shall be at the sole discretion of the Supreme Court.
§ 6-2: Petition for Reinstatement After Disbarment Under Chapter 4. Any attorney disbarred
by operation of law under Chapter 4, supra, may file a petition for reinstatement with the Supreme Court
upon reinstatement by the foreign court of competent jurisdiction in which the attorney resigned, pled,
or was disciplined, suspended, disbarred or convicted. Petitions for reinstatement under this section shall
be filed with the Supreme Court Clerk on the form prescribed by the Court and include as an attachment
a certified copy of the order of reinstatement from the foreign court of competent jurisdiction. Review
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and disposition of petitions for reinstatement under this section shall be at the sole discretion of the
Supreme Court.
§ 6-3: Application for Early Readmission After Suspension Under § 2-2(c)(2). Any attorney
suspended from the M(C)N Bar as described under Chapter § 2-2(c)(2), supra, may file a petition for
early reinstatement with the Supreme Court. Petitions for early reinstatement under this section shall be
filed with the Supreme Court Clerk on the form prescribed by the Court and include as an attachment
any documentation justifying early reinstatement. Review and disposition of petitions for reinstatement
under this section shall be at the sole discretion of the Supreme Court.
CHAPTER 7 – UNAUTHORIZED PRACTICE OF LAW
§ 7-1: By an Attorney. Any attorney found to have engaged in the practice of law before Muscogee
(Creek) Nation courts without first being duly admitted to the Bar, or member of the Bar who, while
classified as “inactive,” “suspended” or “disbarred” pursuant to § 2-2, supra, practiced law before
Muscogee (Creek) Nation courts, shall be held in contempt and subject to sanction by the Supreme
Court.
§ 7-2: By a Non-Attorney. Upon receipt of a request for investigation regarding unauthorized
practice of law by a non-attorney, the BCPR shall conduct a preliminary investigation and provide a
report and recommendation to the Supreme Court pursuant to § 5-6 and § 5-7, supra. The Supreme
Court shall subsequently either direct the BCPR to dismiss the matter or direct the BCPR to transfer the
matter to the Muscogee (Creek) Nation Attorney General for further investigation and possible felony
prosecution under Muscogee (Creek) Nation Code Annotated, Title 14, § 2-824.A.
§ 7-3: Inapplicable to Duly Seated, Non-Attorney Supreme Court Justices. Any non-attorney
duly nominated and confirmed to serve as a Supreme Court justice in accordance with Muscogee
(Creek) Nation Constitution Article VII, § 2, shall retain the judicial authority expressly or inherently
granted to justices under Muscogee (Creek) Nation law and shall not be subject to grievance allegations
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of engaging in the unauthorized practice of law for the exercise of such judicial authority.
CHAPTER 8 – LICENSED LEGAL INTERNS
§ 8-1: Procedure to Obtain License. Pursuant to M(C)NCA Title 27, App. 1, Rule 4(D), any
legal intern may obtain a limited license to practice law as a licensed legal intern in the Muscogee
(Creek) Nation District Court. Pursuant to the above-styled administrative order any legal intern
wishing to obtain a limited license to practice law in the Muscogee (Creek) Nation District Court may
do so by completing the following procedures:
(a) Submit to the Supreme Court Clerk a completed Licensed Legal Intern
Application in the form prescribed by the Court.
(b) Have his or her law school furnish to the Supreme Court Clerk a certification
that the legal intern (1) is enrolled at the law school, (2) has completed
sufficient academic hours to comply with eligibility requirements with the
school and that the legal intern does have a graduating grade point average.
The law school shall also provide (3) a letter from the dean stating that in
the opinion of the dean the legal intern is aware of the professional
responsibilities and obligations connected with a limited license and that in
the dean’s opinion the applicant is capable of properly handling the
responsibilities and obligations which will be placed upon the legal intern
through the use of the limited license. If the applicant is a recent law
graduate, within twelve (12) months of his/her graduation date, the applicant
must attach to their application a certificate that the legal intern has
graduated from law school.
(c) Submit to the Supreme Court Clerk a completed Supervising Attorney
Application in the form prescribed by the Court.
(d) Pay the application fee of seventy-five dollars ($75.00) ($50.00 nonrefundable application fee and $25.00 annual membership fee).
§ 8-2: Assessment and Review. The Clerk of the Supreme Court shall immediately refer
completed applications and all required documentation to the Justices of the Supreme Court for
assessment of the applicant's qualifications and fitness for admission. The Justices shall review each
application and authorize for admission any application receiving favorable review by a majority of the
Court duly formed. After completing the assessment, the Chief Justice shall inform the Clerk in writing
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of the Court’s admission decision, and direct the Clerk to approve and process or deny the application.
Upon completion of Supreme Court review, the Clerk shall notify applicants of the Court’s decision
regarding admission within twenty-four (24) hours and, if applicable, schedule a date for administration
of the oath of admission by a Muscogee (Creek) Nation judicial officer.
§ 8-3: Oath of Licensed Legal Intern. Upon approval of a legal intern’s application for limited
license to practice law, the applicant will be informed by the Supreme Court Clerk of said approval
and shall have thirty (30) days to complete the oath for Licensed Legal Interns and return the oath
signed by both the applicant and administrating judicial officer.
§ 8-4: Supervising Attorneys. To be eligible to act as a supervising attorney for a licensed legal
intern, an attorney must meet the following requirements:
(a) Be an active member of the Muscogee (Creek) Nation Bar Association.
(b) Be actively engaged in the practice of law at least five (5) years. If the
supervising attorney is a staff member of a recognized legal aid program,
public defender program, district attorney office, municipal attorney office,
the Attorney General of the Muscogee (Creek) Nation, that attorney must
have been actively engaged in the practice of law for at least one (1) year. If
the supervising attorney is part of an approved law school internship
program, no minimum length of practice is required to become a supervising
attorney.
(c) Not have a formal complaint pending against said attorney.
(d) Initially submit an affidavit to the Supreme Court Clerk acknowledging the
responsibilities of a supervising attorney, namely to:
1. Provide every opportunity for the licensed legal intern to participate
or observe courtroom experience.
2. Supervise and counsel the licensed legal intern on all legal matters
assigned to the licensed legal intern, to insure proper preparation and
quality representation by the licensed legal intern.
3. Advise the client of the status of the licensed legal intern and the
nature of the limited license prior to obtaining the written consent of
the client to the licensed legal intern’s representation.
4. Assume personal professional responsibility for the legal work
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performed by the licensed legal intern under his or her supervision.
5. Read and understand these rules governing licensed legal interns and
specifically discuss with the licensed legal intern the limitations
placed on the limited license by these rules and M(C)NCA Title 27,
App. 1, Rule 4(D).
6. Provide practical training in trial advocacy and professional ethics to
the licensed legal intern.
7. Cooperate with the licensed legal intern’s law school on any
reporting or evaluation requirements of any internship practice
program.
§ 8-5: Signing of Pleadings. All pleadings must be signed by both the supervising attorney and
the licensed legal intern.
§ 8-6: Limitations on Licensed Legal Interns. Representation by licensed legal interns shall be
limited in the following manner:
(a) In criminal matters:
1. An approved supervising attorney must be present at a jury trial in
either a felony or misdemeanor case.
2. An approved supervising attorney must be present at a non-jury trial
in either a felony or misdemeanor case.
(b) In civil matters:
1. A licensed legal intern may appear without an approved supervising
attorney being present only in the following situations:
i.

Waiver, default, or uncontested divorces.

ii.

Friendly suits including settlements of tort claims.

iii.

To make an announcement on behalf of a supervising
attorney.

iv.

Civil motion dockets, provided that a licensed legal intern
may prosecute but not defend motions and/or pleadings that
may or could be the ultimate or final disposition of the cause
of action.
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v.

Prosecute or defend contested motions to modify child
support orders or decrees except when a change of custody
of minor children is involved.

vi.

Depositions.

2. In all other civil legal matters, including but not limited to contested
divorces and adoption proceedings and ex-parte matters, such as
temporary orders in divorce cases, restraining orders, temporary
injunctions, etc., the licensed legal intern shall only appear when
accompanied by and under the supervision of an approved
supervising attorney.
(c) Neither these rules nor M(C)NCA Title 27, App. 1, Rule 4(D) authorize a
licensed legal intern to practice law before the Muscogee (Creek) Nation
Supreme Court.
§ 8-7: Termination of the Limited License. The limited license granted a licensed legal intern
shall terminate automatically when:
(a) A licensed legal intern’s cumulative grade point average falls below a
graduating grade point average for his or her particular law school.
(b) A licensed legal intern no longer is working for an approved supervising
attorney.
(c) A licensed legal intern has passed the first bar examination given after the
licensed legal intern graduated from law school and is administered an oath
as a practicing attorney in this or any other jurisdiction.
(d) For any reason a licensed legal intern is no longer enrolled in law school. A
licensed legal intern need not be enrolled for summer sessions or vacation
periods.
(e) The licensed legal intern does not pass or fails to take a bar examination in
any state in the United States or the District of Columbia within twelve (12)
months immediately subsequent to the licensed legal intern’s graduation
from law school.

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APPENDIX A – MUSCOGEE (CREEK) NATION RULES OF PROFESSIONAL
CONDUCT FOR ATTORNEYS
* Appendix A contains an adaptation of the Model Rules of Professional Conduct originally adopted by the House of Delegates of the American Bar
Association on August 2, 1983 (with amendments through August 12, 2002). On November 13, 2007, the Supreme Court of the Muscogee (Creek) Nation
issued its Order, In re: Adoption of the American Bar Association Model Rules of Professional Conduct, opting at that time not to officially adopt the
comments to the Model Rules. The adapted Model Rules contained below incorporate adapted comments for each Model Rule. These adapted comments
are intended as guides to interpretation, but the text of each Rule is authoritative. The Model Rules and comments adopted by the Supreme Court may be
amended from time to time by this Court upon its own motion or upon consideration of a duly made recommendation of the Muscogee (Creek) Nation Bar
Association.

PREAMBLE. A Lawyer’s Responsibilities
SCOPE
Rule 1.0 – Terminology
SECTION 1: CLIENT-LAWYER RELATIONSHIP
Rule 1.1 – Competence
Rule 1.2 – Scope of Representation and Allocation of Authority Between Client and Lawyer
Rule 1.3 – Diligence
Rule 1.4 – Communication
Rule 1.5 – Fees
Rule 1.6 – Confidentiality of Information
Rule 1.7 – Conflict of Interest: Current Clients
Rule 1.8 – Conflict of Interest: Current Clients: Specific Rules
Rule 1.9 – Conflict of Interest: Duties to Former Clients
Rule 1.10 – Imputation of Conflicts of Interest: General Rule
Rule 1.11 – Special Conflicts of Interest for Former and Current Government Officers and
Employees
Rule 1.12 – Former Judge, Arbitrator, Mediator or Other Third-Party Neutral
Rule 1.13 – Organization as Client
Rule 1.14 – Client with Diminished Capacity
Rule 1.15 – Safekeeping Property
Rule 1.16 – Declining or Terminating Representation
Rule 1.17 – Sale of Law Practice
Rule 1.18 – Duties to Prospective Client
SECTION 2: COUNSELOR
Rule 2.1 – Advisor
Rule 2.2 – Evaluation for Use by Third Persons
Rule 2.3 – Lawyer Serving as Third-Party Neutral
SECTION 3: ADVOCATE
Rule 3.1 – Meritorious Claims and Contentions
Rule 3.2 – Expediting Litigation
Rule 3.3 – Candor Toward the Tribunal
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Rule 3.4 – Fairness to Opposing Party and Counsel
Rule 3.5 – Impartiality and Decorum of the Tribunal
Rule 3.6 – Trial Publicity
Rule 3.7 – Lawyer as Witness
Rule 3.8 – Special Responsibility of a Prosecutor
Rule 3.9 – Advocate in Nonadjudicative Proceedings
SECTION 4: TRANSACTIONS WITH PERSONS OTHER THAN CLIENTS
Rule 4.1 – Truthfulness in Statements to Others
Rule 4.2 – Communication with Person Represented by Counsel
Rule 4.3 – Dealing with Unrepresented Person
Rule 4.4 – Respect for Rights of Third Persons
SECTION 5: LAW FIRMS AND ASSOCIATIONS
Rule 5.1 – Responsibilities of Partners, Managers and Supervisory Lawyers
Rule 5.2 – Responsibilities of a Subordinate Lawyer
Rule 5.3 – Responsibilities Regarding Nonlawyer Assistants
Rule 5.4 – Professional Independence of a Lawyer
Rule 5.5 – Unauthorized Practice of Law; Multijurisdictional Practice of Law
Rule 5.6 – Restrictions on Right to Practice
Rule 5.7 – Responsibilities Regarding Law-Related Services
SECTION 6: PUBLIC SERVICE
Rule 6.1 – Pro Bono Public Service
Rule 6.2 – Accepting Appointments
Rule 6.3 – Membership in Legal Services Organization
Rule 6.4 – Law Reform Activities Affecting Client Interests
Rule 6.5 – Nonprofit and Court-Annexed Limited Legal Services Programs
SECTION 7: INFORMATION ABOUT LEGAL SERVICES
Rule 7.1 – Communications Concerning a Lawyer’s Services
Rule 7.2 – Advertising
Rule 7.3 – Solicitation of Clients
Rule 7.4 – Communication of Fields of Practice and Certification
Rule 7.5 – Firm Name and Letterheads
SECTION 8: MAINTAINING THE INTEGRITY OF THE PROFESSION
Rule 8.1 – Bar Admission and Disciplinary Matters
Rule 8.2 – Judicial and Legal Officials
Rule 8.3 – Reporting Professional Misconduct
Rule 8.4 – Misconduct
Rule 8.5 – Disciplinary Authority; Choice of Law
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PREAMBLE: A LAWYER’S RESPONSIBILITIES
[1] A lawyer, as a member of the legal profession, is a representative of clients, an officer of the legal
system and a public citizen having special responsibility for the quality of justice.
[2] As a representative of clients, a lawyer performs various functions. As advisor, a lawyer provides a
client with an informed understanding of the client's legal rights and obligations and explains their
practical implications. As advocate, a lawyer zealously asserts the client's position under the rules of the
adversary system. As negotiator, a lawyer seeks a result advantageous to the client but consistent with
requirements of honest dealings with others. As an evaluator, a lawyer acts by examining a client's legal
affairs and reporting about them to the client or to others.
[3] In addition to these representational functions, a lawyer may serve as a third-party neutral, a
nonrepresentational role helping the parties to resolve a dispute or other matter. Some of these Rules
apply directly to lawyers who are or have served as third-party neutrals. See, e.g., Rules 1.12 and 2.4.
In addition, there are Rules that apply to lawyers who are not active in the practice of law or to practicing
lawyers even when they are acting in a nonprofessional capacity. For example, a lawyer who commits
fraud in the conduct of a business is subject to discipline for engaging in conduct involving dishonesty,
fraud, deceit or misrepresentation. See Rule 8.4.
[4] In all professional functions a lawyer should be competent, prompt and diligent. A lawyer should
maintain communication with a client concerning the representation. A lawyer should keep in
confidence information relating to representation of a client except so far as disclosure is required or
permitted by the Rules of Professional Conduct or other law.
[5] A lawyer's conduct should conform to the requirements of the law, both in professional service to
clients and in the lawyer's business and personal affairs. A lawyer should use the law's procedures only
for legitimate purposes and not to harass or intimidate others. A lawyer should demonstrate respect for
the legal system and for those who serve it, including judges, other lawyers and public officials. While
it is a lawyer's duty, when necessary, to challenge the rectitude of official action, it is also a lawyer's
duty to uphold legal process.
[6] As a public citizen, a lawyer should seek improvement of the law, access to the legal system, the
administration of justice and the quality of service rendered by the legal profession. As a member of a
learned profession, a lawyer should cultivate knowledge of the law beyond its use for clients, employ
that knowledge in reform of the law and work to strengthen legal education. In addition, a lawyer should
further the public's understanding of and confidence in the rule of law and the justice system because
legal institutions in a constitutional democracy depend on popular participation and support to maintain
their authority. A lawyer should be mindful of deficiencies in the administration of justice and of the
fact that the poor, and sometimes persons who are not poor, cannot afford adequate legal assistance.
Therefore, all lawyers should devote professional time and resources and use civic influence to ensure
equal access to our system of justice for all those who because of economic or social barriers cannot
afford or secure adequate legal counsel. A lawyer should aid the legal profession in pursuing these
objectives and should help the bar regulate itself in the public interest.
[7] Many of a lawyer's professional responsibilities are prescribed in the Rules of Professional Conduct,
as well as substantive and procedural law. However, a lawyer is also guided by personal conscience and
the approbation of professional peers. A lawyer should strive to attain the highest level of skill, to
improve the law and the legal profession and to exemplify the legal profession's ideals of public service.
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[8] A lawyer's responsibilities as a representative of clients, an officer of the legal system and a public
citizen are usually harmonious. Thus, when an opposing party is well represented, a lawyer can be a
zealous advocate on behalf of a client and at the same time assume that justice is being done. So also, a
lawyer can be sure that preserving client confidences ordinarily serves the public interest because people
are more likely to seek legal advice, and thereby heed their legal obligations, when they know their
communications will be private.
[9] In the nature of law practice, however, conflicting responsibilities are encountered. Virtually all
difficult ethical problems arise from conflict between a lawyer's responsibilities to clients, to the legal
system and to the lawyer's own interest in remaining an ethical person while earning a satisfactory living.
The Rules of Professional Conduct often prescribe terms for resolving such conflicts. Within the
framework of these Rules, however, many difficult issues of professional discretion can arise. Such
issues must be resolved through the exercise of sensitive professional and moral judgment guided by
the basic principles underlying the Rules. These principles include the lawyer's obligation zealously to
protect and pursue a client's legitimate interests, within the bounds of the law, while maintaining a
professional, courteous and civil attitude toward all persons involved in the legal system.
[10] The legal profession is largely self-governing. Although other professions also have been granted
powers of self-government, the legal profession is unique in this respect because of the close relationship
between the profession and the processes of government and law enforcement. This connection is
manifested in the fact that ultimate authority over the legal profession is vested largely in the courts.
[11] To the extent that lawyers meet the obligations of their professional calling, the occasion for
government regulation is obviated. Self-regulation also helps maintain the legal profession's
independence from government domination. An independent legal profession is an important force in
preserving government under law, for abuse of legal authority is more readily challenged by a profession
whose members are not dependent on government for the right to practice.
[12] The legal profession's relative autonomy carries with it special responsibilities of self-government.
The profession has a responsibility to assure that its regulations are conceived in the public interest and
not in furtherance of parochial or self-interested concerns of the bar. Every lawyer is responsible for
observance of the Rules of Professional Conduct. A lawyer should also aid in securing their observance
by other lawyers. Neglect of these responsibilities compromises the independence of the profession and
the public interest which it serves.
[13] Lawyers play a vital role in the preservation of society. The fulfillment of this role requires an
understanding by lawyers of their relationship to our legal system. The Rules of Professional Conduct,
when properly applied, serve to define that relationship.

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SCOPE
[14] The Rules of Professional Conduct are rules of reason. They should be interpreted with reference
to the purposes of legal representation and of the law itself. Some of the Rules are imperatives, cast in
the terms "shall" or "shall not." These define proper conduct for purposes of professional discipline.
Others, generally cast in the term "may," are permissive and define areas under the Rules in which the
lawyer has discretion to exercise professional judgment. No disciplinary action should be taken when
the lawyer chooses not to act or acts within the bounds of such discretion. Other Rules define the nature
of relationships between the lawyer and others. The Rules are thus partly obligatory and disciplinary
and partly constitutive and descriptive in that they define a lawyer's professional role. Many of the
Comments use the term "should." Comments do not add obligations to the Rules but provide guidance
for practicing in compliance with the Rules.
[15] The Rules presuppose a larger legal context shaping the lawyer's role. That context includes court
rules and statutes relating to matters of licensure, laws defining specific obligations of lawyers and
substantive and procedural law in general. The Comments are sometimes used to alert lawyers to their
responsibilities under such other law.
[16] Compliance with the Rules, as with all law in an open society, depends primarily upon
understanding and voluntary compliance, secondarily upon reinforcement by peer and public opinion
and finally, when necessary, upon enforcement through disciplinary proceedings. The Rules do not,
however, exhaust the moral and ethical considerations that should inform a lawyer, for no worthwhile
human activity can be completely defined by legal rules. The Rules simply provide a framework for the
ethical practice of law.
[17] Furthermore, for purposes of determining the lawyer's authority and responsibility, principles of
substantive law external to these Rules determine whether a client-lawyer relationship exists. Most of
the duties flowing from the client-lawyer relationship attach only after the client has requested the
lawyer to render legal services and the lawyer has agreed to do so. But there are some duties, such as
that of confidentiality under Rule 1.6, that attach when the lawyer agrees to consider whether a clientlawyer relationship shall be established. See Rule 1.18. Whether a client-lawyer relationship exists for
any specific purpose can depend on the circumstances and may be a question of fact.
[18] Under various legal provisions, including constitutional, statutory and common law, the
responsibilities of government lawyers may include authority concerning legal matters that ordinarily
reposes in the client in private client-lawyer relationships. For example, a lawyer for a government
agency may have authority on behalf of the government to decide upon settlement or whether to appeal
from an adverse judgment. Such authority in various respects is generally vested in the attorney general
and the state's attorney in state government, and their federal counterparts, and the same may be true of
other government law officers. Also, lawyers under the supervision of these officers may be authorized
to represent several government agencies in intragovernmental legal controversies in circumstances
where a private lawyer could not represent multiple private clients. These Rules do not abrogate any
such authority.
[19] Failure to comply with an obligation or prohibition imposed by a Rule is a basis for invoking the
disciplinary process. The Rules presuppose that disciplinary assessment of a lawyer's conduct will be
made on the basis of the facts and circumstances as they existed at the time of the conduct in question
and in recognition of the fact that a lawyer often has to act upon uncertain or incomplete evidence of
the situation. Moreover, the Rules presuppose that whether or not discipline should be imposed for a
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violation, and the severity of a sanction, depend on all the circumstances, such as the willfulness and
seriousness of the violation, extenuating factors and whether there have been previous violations.
[20] Violation of a Rule should not itself give rise to a cause of action against a lawyer nor should it
create any presumption in such a case that a legal duty has been breached. In addition, violation of a
Rule does not necessarily warrant any other nondisciplinary remedy, such as disqualification of a lawyer
in pending litigation. The Rules are designed to provide guidance to lawyers and to provide a structure
for regulating conduct through disciplinary agencies. They are not designed to be a basis for civil
liability. Furthermore, the purpose of the Rules can be subverted when they are invoked by opposing
parties as procedural weapons. The fact that a Rule is a just basis for a lawyer's self-assessment, or for
sanctioning a lawyer under the administration of a disciplinary authority, does not imply that an
antagonist in a collateral proceeding or transaction has standing to seek enforcement of the Rule.
Nevertheless, since the Rules do establish standards of conduct by lawyers, a lawyer's violation of a
Rule may be evidence of breach of the applicable standard of conduct.
[21] The Comment accompanying each Rule explains and illustrates the meaning and purpose of the
Rule. The Preamble and this note on Scope provide general orientation. The Comments are intended as
guides to interpretation, but the text of each Rule is authoritative.

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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 be inferred from circumstances.
(b) "Confirmed in writing," when used in reference to the informed consent of a person, denotes
informed consent that is given in writing by the person or a writing that a lawyer promptly transmits to
the person confirming an oral informed consent. See paragraph (e) for the definition of "informed
consent." If it is not feasible to obtain or transmit the writing at the time the person gives informed
consent, then the lawyer must obtain or transmit it within a reasonable time thereafter.
(c) "Firm" or "law firm" denotes a lawyer or lawyers in a law partnership, professional corporation, sole
proprietorship or other association authorized to practice law; or lawyers employed in a legal services
organization or the legal department of a corporation or other organization.
(d) "Fraud" or "fraudulent" denotes conduct that is fraudulent under the substantive or procedural law
of the applicable jurisdiction and has a purpose to deceive.
(e) "Informed consent" denotes the agreement by a person to a proposed course of conduct after the
lawyer has communicated adequate 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 from circumstances.
(g) "Partner" denotes a member of a partnership, a shareholder in a law firm organized as a professional
corporation, or a member of an association authorized to practice law.
(h) "Reasonable" or "reasonably" when used in relation to conduct by a lawyer denotes the conduct of
a reasonably prudent and competent lawyer.
(i) "Reasonable belief" or "reasonably believes" when used in reference to a lawyer denotes that the
lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.
(j) "Reasonably should know" when used in reference to a lawyer denotes that a lawyer of reasonable
prudence and competence would ascertain the matter in question.
(k) "Screened" denotes the isolation of a lawyer from any participation in a matter through the timely
imposition of procedures within a firm that are reasonably adequate under the circumstances to protect
information that the isolated lawyer is obligated to protect under these Rules or other law.
(l) "Substantial" when used in reference to degree or extent denotes a material matter of clear and
weighty importance.
(m) "Tribunal" denotes a court, an arbitrator in a binding arbitration proceeding or a legislative body,
administrative agency or other body acting in an adjudicative capacity. A legislative body,
administrative agency or other body acts in an adjudicative capacity when a neutral official, after the
presentation of evidence or legal argument by a party or parties, will render a binding legal judgment
directly affecting a party's interests in a particular matter.
(n) "Writing" or "written" denotes a tangible or electronic record of a communication or representation,
including handwriting, typewriting, printing, photostating, photography, audio or video recording, and
electronic communications. A "signed" writing includes an electronic sound, symbol or process attached
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to or logically associated with a writing and executed or adopted by a person with the intent to sign the
writing.
Comment:
Confirmed in Writing
[1] If it is not feasible to obtain or transmit a written confirmation at the time the client gives informed consent, then the
lawyer must obtain or transmit it within a reasonable time thereafter. If a lawyer has obtained a client's informed consent,
the lawyer may act in reliance on that consent so long as it is confirmed in writing within a reasonable time thereafter.
Firm
[2] Whether two or more lawyers constitute a firm within paragraph (c) can depend on the specific facts. For example, two
practitioners who share office space and occasionally consult or assist each other ordinarily would not be regarded as
constituting a firm. However, if they present themselves to the public in a way that suggests that they are a firm or conduct
themselves as a firm, they should be regarded as a firm for purposes of the Rules. The terms of any formal agreement between
associated lawyers are relevant in determining whether they are a firm, as is the fact that they have mutual access to
information concerning the clients they serve. Furthermore, it is relevant in doubtful cases to consider the underlying purpose
of the Rule that is involved. A group of lawyers could be regarded as a firm for purposes of the Rule that the same lawyer
should not represent opposing parties in litigation, while it might not be so regarded for purposes of the Rule that information
acquired by one lawyer is attributed to another.
[3] With respect to the law department of an organization, including the government, there is ordinarily no question that the
members of the department constitute a firm within the meaning of the Rules of Professional Conduct. There can be
uncertainty, however, as to the identity of the client. For example, it may not be clear whether the law department of a
corporation represents a subsidiary or an affiliated corporation, as well as the corporation by which the members of the
department are directly employed. A similar question can arise concerning an unincorporated association and its local
affiliates.
[4] Similar questions can also arise with respect to lawyers in legal aid and legal services organizations. Depending upon
the structure of the organization, the entire organization or different components of it may constitute a firm or firms for
purposes of these Rules.
Fraud
[5] When used in these Rules, the terms "fraud" or "fraudulent" refer to conduct that is characterized as such under the
substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. This does not include merely
negligent misrepresentation or negligent failure to apprise another of relevant information. For purposes of these Rules, it is
not necessary that anyone has suffered damages or relied on the misrepresentation or failure to inform.
Informed Consent
[6] Many of the Rules of Professional Conduct require the lawyer to obtain the informed consent of a client or other person
(e.g., a former client or, under certain circumstances, a prospective client) before accepting or continuing representation or
pursuing a course of conduct. See, e.g., Rules 1.2(c), 1.6(a) and 1.7(b). The communication necessary to obtain such consent
will vary according to the Rule involved and the circumstances giving rise to the need to obtain informed consent. The lawyer
must make reasonable efforts to ensure that the client or other person possesses information reasonably adequate to make an
informed decision. Ordinarily, this will 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 and disadvantages of the proposed course of conduct and a discussion of the client's or other person's options
and alternatives. In some circumstances it may be appropriate for a lawyer to advise a client or other person to seek the
advice of other counsel. A lawyer need not inform a client or other person of facts or implications already known to the client
or other person; nevertheless, a lawyer who does not personally inform the client or other person assumes the risk that the
client or other person is inadequately informed and the consent is invalid. In determining whether the information and
explanation provided are reasonably adequate, relevant factors include whether the client or other person is experienced in
legal matters generally and in making decisions of the type involved, and whether the client or other person is independently
represented by other counsel in giving the consent. Normally, such persons need less information and explanation than
others, and generally a client or other person who is independently represented by other counsel in giving the consent should
be assumed to have given informed consent.

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[7] Obtaining informed consent will usually require an affirmative response by the client or other person. In general, 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 the matter. A number of Rules require that a
person's consent be confirmed in writing. See Rules 1.7(b) and 1.9(a). For a definition of "writing" and "confirmed in
writing," see paragraphs (n) and (b). Other Rules require that a client's consent be obtained in a writing signed by the client.
See, e.g., Rules 1.8(a) and (g). For a definition of "signed," see paragraph (n).
Screened
[8] This definition applies to situations where screening of a personally disqualified lawyer is permitted to remove
imputation of a conflict of interest under Rules 1.10, 1.11, 1.12 or 1.18.
[9] The purpose of screening is to assure the affected parties that confidential information known by the personally
disqualified lawyer remains protected. The personally disqualified lawyer should acknowledge the obligation not to
communicate with any of the other lawyers in the firm with respect to the matter. Similarly, other lawyers in the firm who
are working on the matter should be informed that the screening is in place and that they may not communicate with the
personally disqualified lawyer with respect to the matter. Additional screening measures that are appropriate for the particular
matter will depend on the circumstances. To implement, reinforce and remind all affected lawyers of the presence of the
screening, it may be appropriate for the firm to undertake such procedures as a written undertaking by the screened lawyer
to avoid any communication with other firm personnel and any contact with any firm files or other information, including
information in electronic form, relating to the matter, written notice and instructions to all other firm personnel forbidding
any communication with the screened lawyer relating to the matter, denial of access by the screened lawyer to firm files or
other information, including information in electronic form, relating to the matter and periodic reminders of the screen to the
screened lawyer and all other firm personnel.
[10] In order to be effective, screening measures must be implemented as soon as practical after a lawyer or law firm knows
or reasonably should know that there is a need for screening.

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RULE 1.1 – COMPETENCE
A lawyer shall provide competent representation to a client. Competent representation requires the legal
knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.
Comment:
Legal Knowledge and Skill
[1] In determining whether a lawyer employs the requisite knowledge and skill in a particular matter, relevant factors include
the relative complexity and specialized nature of the matter, the lawyer's general experience, the lawyer's training and
experience in the field in question, the preparation and study the lawyer is able to give the matter and whether it is feasible
to refer the matter to, or associate or consult with, a lawyer of established competence in the field in question. In many
instances, the required proficiency is that of a general practitioner. Expertise in a particular field of law may be required in
some circumstances.
[2] A lawyer need not necessarily have special training or prior experience to handle legal problems of a type with which
the lawyer is unfamiliar. A newly admitted lawyer can be as competent as a practitioner with long experience. Some
important legal skills, such as the analysis of precedent, the evaluation of evidence and legal drafting, are required in all legal
problems. Perhaps the most fundamental legal skill consists of determining what kind of legal problems a situation may
involve, a skill that necessarily transcends any particular specialized knowledge. A lawyer can provide adequate
representation in a wholly novel field through necessary study. Competent representation can also be provided through the
association of a lawyer of established competence in the field in question.
[3] In an emergency a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily
required where referral to or consultation or association with another lawyer would be impractical. Even in an emergency,
however, assistance should be limited to that reasonably necessary in the circumstances, for ill-considered action under
emergency conditions can jeopardize the client's interest.
[4] A lawyer may accept representation where the requisite level of competence can be achieved by reasonable preparation.
This applies as well to a lawyer who is appointed as counsel for an unrepresented person. See also Rule 6.2.
Thoroughness and Preparation
[5] Competent handling of a particular matter includes inquiry into and analysis of the factual and legal elements of the
problem, and use of methods and procedures meeting the standards of competent practitioners. It also includes adequate
preparation. The required attention and preparation are determined in part by what is at stake; major litigation and complex
transactions ordinarily require more extensive treatment than matters of lesser complexity and consequence. An agreement
between the lawyer and the client regarding the scope of the representation may limit the matters for which the lawyer is
responsible. See Rule 1.2(c).
Retaining or Contracting With Other Lawyers
[6] Before a lawyer retains or contracts with other lawyers outside the lawyer’s own firm to provide or assist in the provision
of legal services to a client, the lawyer should ordinarily obtain informed consent from the client and must reasonably believe
that the other lawyers’ services will contribute to the competent and ethical representation of the client. See also Rules 1.2
(allocation of authority), 1.4 (communication with client), 1.5(e) (fee sharing), 1.6 (confidentiality), and 5.5(a) (unauthorized
practice of law). The reasonableness of the decision to retain or contract with other lawyers outside the lawyer’s own firm
will depend upon the circumstances, including the education, experience and reputation of the nonfirm lawyers; the nature
of the services assigned to the nonfirm lawyers; and the legal protections, professional conduct rules, and ethical
environments of the jurisdictions in which the services will be performed, particularly relating to confidential information.
[7] When lawyers from more than one law firm are providing legal services to the client on a particular matter, the lawyers
ordinarily should consult with each other and the client about the scope of their respective representations and the allocation
of responsibility among them. See Rule 1.2. When making allocations of responsibility in a matter pending before a tribunal,
lawyers and parties may have additional obligations that are a matter of law beyond the scope of these Rules.

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Maintaining Competence
[8] To maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice,
including the benefits and risks associated with relevant technology, engage in continuing study and education and comply
with all continuing legal education requirements to which the lawyer is subject.

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RULE 1.2 – SCOPE OF REPRESENTATION AND ALLOCATION OF AUTHORITY
BETWEEN CLIENT AND LAWYER
(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. A lawyer shall abide by a client's decision whether to settle a
matter. In a criminal case, the lawyer shall abide by the client's decision, after consultation with the
lawyer, as to a plea to be entered, whether to waive jury trial and whether the client will testify.
(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.
(c) A lawyer may limit the scope of the representation if the limitation is reasonable under the
circumstances and the client gives informed consent.
(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.
Comments:
Allocation of Authority between Client and Lawyer
[1] Paragraph (a) confers upon the client the ultimate authority to determine the purposes to be served by legal representation,
within the limits imposed by law and the lawyer's professional obligations. The decisions specified in paragraph (a), such as
whether to settle a civil matter, must also be made by the client. See Rule 1.4(a)(1) for the lawyer's duty to communicate
with the client about such decisions. With respect to the means by which the client's objectives are to be pursued, the lawyer
shall consult with the client as required by Rule 1.4(a)(2) and may take such action as is impliedly authorized to carry out
the representation.
[2] On occasion, however, a lawyer and a client may disagree about the means to be used to accomplish the client's objectives.
Clients normally defer to the special knowledge and skill of their lawyer with respect to the means to be used to accomplish
their objectives, particularly with respect to technical, legal and tactical matters. Conversely, lawyers usually defer to the
client regarding such questions as the expense to be incurred and concern for third persons who might be adversely affected.
Because of the varied nature of the matters about which a lawyer and client might disagree and because the actions in question
may implicate the interests of a tribunal or other persons, this Rule does not prescribe how such disagreements are to be
resolved. Other law, however, may be applicable and should be consulted by the lawyer. The lawyer should also consult
with the client and seek a mutually acceptable resolution of the disagreement. If such efforts are unavailing and the lawyer
has a fundamental disagreement with the client, the lawyer may withdraw from the representation. See Rule 1.16(b)(4).
Conversely, the client may resolve the disagreement by discharging the lawyer. See Rule 1.16(a)(3).
[3] At the outset of a representation, the client may authorize the lawyer to take specific action on the client's behalf without
further consultation. Absent a material change in circumstances and subject to Rule 1.4, a lawyer may rely on such an
advance authorization. The client may, however, revoke such authority at any time.
[4] In a case in which the client appears to be suffering diminished capacity, the lawyer's duty to abide by the client's decisions
is to be guided by reference to Rule 1.14.
Independence from Client's Views or Activities
[5] Legal representation should not be denied to people who are unable to afford legal services, or whose cause is
controversial or the subject of popular disapproval. By the same token, representing a client does not constitute approval of
the client's views or activities.

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Agreements Limiting Scope of Representation
[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. When a lawyer has been retained by an insurer to represent an
insured, for example, the representation may be limited to matters related to the insurance coverage. 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.
Such limitations may exclude actions that the client thinks are too costly or that the lawyer regards as repugnant or imprudent.
[7] Although this Rule affords the lawyer and client substantial latitude to limit the representation, the limitation must be
reasonable under the circumstances. If, for example, a client's objective is limited to securing general information about the
law the client needs in order to handle a common and typically uncomplicated legal problem, the lawyer and client may
agree that the lawyer's services will be limited to a brief telephone consultation. Such a limitation, however, would not be
reasonable if the time allotted was not sufficient to yield advice upon which the client could rely. Although an agreement for
a limited representation does not exempt a lawyer from the duty to provide competent representation, the limitation is a
factor to be considered when determining the legal knowledge, skill, thoroughness and preparation reasonably necessary for
the representation. See Rule 1.1.
[8] All agreements concerning a lawyer's representation of a client must accord with the Rules of Professional Conduct and
other law. See, e.g., Rules 1.1, 1.8 and 5.6.
Criminal, Fraudulent and Prohibited Transactions
[9] Paragraph (d) prohibits a lawyer from knowingly counseling or assisting a client to commit a crime or fraud. This
prohibition, however, does not preclude the lawyer from giving an honest opinion about the actual consequences that appear
likely to result from a client's conduct. Nor does the fact that a client uses advice in a course of action that is criminal or
fraudulent of itself make a lawyer a party to the course of action. There is a critical distinction between presenting an analysis
of legal aspects of questionable conduct and recommending the means by which a crime or fraud might be committed with
impunity.
[10] When the client's course of action has already begun and is continuing, the lawyer's responsibility is especially delicate.
The lawyer is required to avoid assisting the client, for example, by drafting or delivering documents that the lawyer knows
are fraudulent or by suggesting how the wrongdoing might be concealed. A lawyer may not continue assisting a client in
conduct that the lawyer originally supposed was legally proper but then discovers is criminal or fraudulent. The lawyer must,
therefore, withdraw from the representation of the client in the matter. See Rule 1.16(a). In some cases, withdrawal alone
might be insufficient. It may be necessary for the lawyer to give notice of the fact of withdrawal and to disaffirm any opinion,
document, affirmation or the like. See Rule 4.1.
[11] Where the client is a fiduciary, the lawyer may be charged with special obligations in dealings with a beneficiary.
[12] Paragraph (d) applies whether or not the defrauded party is a party to the transaction. Hence, a lawyer must not
participate in a transaction to effectuate criminal or fraudulent avoidance of tax liability. Paragraph (d) does not preclude
undertaking a criminal defense incident to a general retainer for legal services to a lawful enterprise. The last clause of
paragraph (d) recognizes that determining the validity or interpretation of a statute or regulation may require a course of
action involving disobedience of the statute or regulation or of the interpretation placed upon it by governmental authorities.
[13] If a lawyer comes to know or reasonably should know that a client expects assistance not permitted by the Rules of
Professional Conduct or other law or if the lawyer intends to act contrary to the client's instructions, the lawyer must consult
with the client regarding the limitations on the lawyer's conduct. See Rule 1.4(a)(5).

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RULE 1.3 – DILIGENCE
A lawyer shall act with reasonable diligence and promptness in representing a client.
Comments
[1] A lawyer should pursue a matter on behalf of a client despite opposition, obstruction or personal inconvenience to the
lawyer, and take whatever lawful and ethical measures are required to vindicate a client's cause or endeavor. A lawyer must
also act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client's behalf. A
lawyer is not bound, however, to press for every advantage that might be realized for a client. For example, a lawyer may
have authority to exercise professional discretion in determining the means by which a matter should be pursued. See Rule
1.2. The lawyer's duty to act with reasonable diligence does not require the use of offensive tactics or preclude the treating
of all persons involved in the legal process with courtesy and respect.
[2] A lawyer's work load must be controlled so that each matter can be handled competently.
[3] Perhaps no professional shortcoming is more widely resented than procrastination. A client's interests often can be
adversely affected by the passage of time or the change of conditions; in extreme instances, as when a lawyer overlooks a
statute of limitations, the client's legal position may be destroyed. Even when the client's interests are not affected in
substance, however, unreasonable delay can cause a client needless anxiety and undermine confidence in the lawyer's
trustworthiness. A lawyer's duty to act with reasonable promptness, however, does not preclude the lawyer from agreeing to
a reasonable request for a postponement that will not prejudice the lawyer's client.
[4] Unless the relationship is terminated as provided in Rule 1.16, a lawyer should carry through to conclusion all matters
undertaken for a client. If a lawyer's employment is limited to a specific matter, the relationship terminates when the matter
has been resolved. If a lawyer has served a client over a substantial period in a variety of matters, the client sometimes may
assume that the lawyer will continue to serve on a continuing basis unless the lawyer gives notice of withdrawal. Doubt
about whether a client-lawyer relationship still exists should be clarified by the lawyer, preferably in writing, so that the
client will not mistakenly suppose the lawyer is looking after the client's affairs when the lawyer has ceased to do so. For
example, if a lawyer has handled a judicial or administrative proceeding that produced a result adverse to the client and the
lawyer and the client have not agreed that the lawyer will handle the matter on appeal, the lawyer must consult with the client
about the possibility of appeal before relinquishing responsibility for the matter. See Rule 1.4(a)(2). Whether the lawyer is
obligated to prosecute the appeal for the client depends on the scope of the representation the lawyer has agreed to provide
to the client. See Rule 1.2.
[5] To prevent neglect of client matters in the event of a sole practitioner's death or disability, the duty of diligence may
require that each sole practitioner prepare a plan, in conformity with applicable rules, that designates another competent
lawyer to review client files, notify each client of the lawyer's death or disability, and determine whether there is a need for
immediate protective action. Cf. Rule 28 of the American Bar Association Model Rules for Lawyer Disciplinary
Enforcement (providing for court appointment of a lawyer to inventory files and take other protective action in absence of a
plan providing for another lawyer to protect the interests of the clients of a deceased or disabled lawyer).

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RULE 1.4 – COMMUNICATION
(a) A lawyer shall:
(1) promptly inform the client of any decision or circumstance with respect to which the
client's informed consent, as defined in Rule 1.0(e), 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.
(b) A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make
informed decisions regarding the representation.
Comment:
[1] Reasonable communication between the lawyer and the client is necessary for the client effectively to participate in the
representation.
Communicating with Client
[2] If these Rules require that a particular decision about the representation be made by the client, paragraph (a)(1) requires
that the lawyer promptly consult with and secure the client's consent prior to taking action unless prior discussions with the
client have resolved what action the client wants the lawyer to take. For example, a lawyer who receives from opposing
counsel an offer of settlement in a civil controversy or a proffered plea bargain in a criminal case must promptly inform the
client of its substance unless the client has previously indicated that the proposal will be acceptable or unacceptable or has
authorized the lawyer to accept or to reject the offer. See Rule 1.2(a).
[3] Paragraph (a)(2) requires the lawyer to reasonably consult with the client about the means to be used to accomplish the
client's objectives. In some situations — depending on both the importance of the action under consideration and the
feasibility of consulting with the client — this duty will require consultation prior to taking action. In other circumstances,
such as during a trial when an immediate decision must be made, the exigency of the situation may require the lawyer to act
without prior consultation. In such cases the lawyer must nonetheless act reasonably to inform the client of actions the lawyer
has taken on the client's behalf. Additionally, paragraph (a)(3) requires that the lawyer keep the client reasonably informed
about the status of the matter, such as significant developments affecting the timing or the substance of the representation.
[4] A lawyer's regular communication with clients will minimize the occasions on which a client will need to request
information concerning the representation. When a client makes a reasonable request for information, however, paragraph
(a)(4) requires prompt compliance with the request, or if a prompt response is not feasible, that the lawyer, or a member of
the lawyer's staff, acknowledge receipt of the request and advise the client when a response may be expected. A lawyer
should promptly respond to or acknowledge client communications.
Explaining Matters
[5] The client should have sufficient information to participate intelligently in decisions concerning the objectives of the
representation and the means by which they are to be pursued, to the extent the client is willing and able to do so. Adequacy
of communication depends in part on the kind of advice or assistance that is involved. For example, when there is time to
explain a proposal made in a negotiation, the lawyer should review all important provisions with the client before proceeding
to an agreement. In litigation a lawyer should explain the general strategy and prospects of success and ordinarily should
consult the client on tactics that are likely to result in significant expense or to injure or coerce others. On the other hand, a
lawyer ordinarily will not be expected to describe trial or negotiation strategy in detail. The guiding principle is that the
lawyer should fulfill reasonable client expectations for information consistent with the duty to act in the client's best interests,
and the client's overall requirements as to the character of representation. In certain circumstances, such as when a lawyer

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asks a client to consent to a representation affected by a conflict of interest, the client must give informed consent, as defined
in Rule 1.0(e).
[6] Ordinarily, the information to be provided is that appropriate for a client who is a comprehending and responsible adult.
However, fully informing the client according to this standard may be impracticable, for example, where the client is a child
or suffers from diminished capacity. See Rule 1.14. When the client is an organization or group, it is often impossible or
inappropriate to inform every one of its members about its legal affairs; ordinarily, the lawyer should address
communications to the appropriate officials of the organization. See Rule 1.13. Where many routine matters are involved,
a system of limited or occasional reporting may be arranged with the client.
Withholding Information
[7] In some circumstances, a lawyer may be justified in delaying transmission of information when the client would be
likely to react imprudently to an immediate communication. Thus, a lawyer might withhold a psychiatric diagnosis of a client
when the examining psychiatrist indicates that disclosure would harm the client. A lawyer may not withhold information to
serve the lawyer's own interest or convenience or the interests or convenience of another person. Rules or court orders
governing litigation may provide that information supplied to a lawyer may not be disclosed to the client. Rule 3.4(c) directs
compliance with such rules or orders.

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RULE 1.5 – FEES
(a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable
amount for expenses. The factors to be considered in determining the reasonableness of a fee include
the following:
1) the time and labor required, the novelty and difficulty of the questions involved, and the skill
requisite to perform the legal service properly;
2) the likelihood, if apparent to the client, that the acceptance of the particular employment will
preclude other employment by the lawyer;
3) the fee customarily charged in the locality for similar legal services;
4) the amount involved and the results obtained;
5) the time limitations imposed by the client or by the circumstances;
6) the nature and length of the professional relationship with the client;
7) the experience, reputation, and ability of the lawyer or lawyers performing the services; and
8) whether the fee is fixed or contingent.
(b) The scope of the representation and the basis or rate of the fee and expenses for which the client will
be responsible shall be communicated to the client, preferably in writing, before or within a reasonable
time after commencing the representation, except when the lawyer will charge a regularly represented
client on the same basis or rate. Any changes in the basis or rate of the fee or expenses shall also be
communicated to the client.
(c) A fee may be contingent on the outcome of the matter for which the service is rendered, except in a
matter in which a contingent fee is prohibited by paragraph (d) or other law. A contingent fee agreement
shall be in a writing signed by the client and shall state the method by which the fee is to be determined,
including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial
or appeal; litigation and other expenses to be deducted from the recovery; and whether such expenses
are to be deducted before or after the contingent fee is calculated. The agreement must clearly notify the
client of any expenses for which the client will be liable whether or not the client is the prevailing party.
Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement
stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the
method of its determination.
(d) A lawyer shall not enter into an arrangement for, charge, or collect:
1) any fee in a domestic relations matter, the payment or amount of which is contingent upon the
securing of a divorce or upon the amount of alimony or support, or property settlement in lieu
thereof; or
2) a contingent fee for representing a defendant in a criminal case.
(e) A division of a fee between lawyers who are not in the same firm may be made only if:
1) the division is in proportion to the services performed by each lawyer or each lawyer assumes
joint responsibility for the representation;
2) the client agrees to the arrangement, including the share each lawyer will receive, and the
agreement is confirmed in writing; and
3) the total fee is reasonable.

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Comment:
Reasonableness of Fee and Expenses
[1] Paragraph (a) requires that lawyers charge fees that are reasonable under the circumstances. The factors specified in (1)
through (8) are not exclusive. Nor will each factor be relevant in each instance. Paragraph (a) also requires that expenses for
which the client will be charged must be reasonable. A lawyer may seek reimbursement for the cost of services performed
in-house, such as copying, or for other expenses incurred in-house, such as telephone charges, either by charging a reasonable
amount to which the client has agreed in advance or by charging an amount that reasonably reflects the cost incurred by the
lawyer.
Basis or Rate of Fee
[2] When the lawyer has regularly represented a client, they ordinarily will have evolved an understanding concerning the
basis or rate of the fee and the expenses for which the client will be responsible. In a new client-lawyer relationship, however,
an understanding as to fees and expenses must be promptly established. Generally, it is desirable to furnish the client with at
least a simple memorandum or copy of the lawyer's customary fee arrangements that states the general nature of the legal
services to be provided, the basis, rate or total amount of the fee and whether and to what extent the client will be responsible
for any costs, expenses or disbursements in the course of the representation. A written statement concerning the terms of the
engagement reduces the possibility of misunderstanding.
[3] Contingent fees, like any other fees, are subject to the reasonableness standard of paragraph (a) of this Rule. In
determining whether a particular contingent fee is reasonable, or whether it is reasonable to charge any form of contingent
fee, a lawyer must consider the factors that are relevant under the circumstances. Applicable law may impose limitations on
contingent fees, such as a ceiling on the percentage allowable, or may require a lawyer to offer clients an alternative basis
for the fee. Applicable law also may apply to situations other than a contingent fee, for example, government regulations
regarding fees in certain tax matters.
Terms of Payment
[4] A lawyer may require advance payment of a fee, but is obliged to return any unearned portion. See Rule 1.16(d). A
lawyer may accept property in payment for services, such as an ownership interest in an enterprise, providing this does not
involve acquisition of a proprietary interest in the cause of action or subject matter of the litigation contrary to Rule 1.8 (i).
However, a fee paid in property instead of money may be subject to the requirements of Rule 1.8(a) because such fees often
have the essential qualities of a business transaction with the client.
[5] An agreement may not be made whose terms might induce the lawyer improperly to curtail services for the client or
perform them in a way contrary to the client's interest. For example, a lawyer should not enter into an agreement whereby
services are to be provided only up to a stated amount when it is foreseeable that more extensive services probably will be
required, unless the situation is adequately explained to the client. Otherwise, the client might have to bargain for further
assistance in the midst of a proceeding or transaction. However, it is proper to define the extent of services in light of the
client's ability to pay. A lawyer should not exploit a fee arrangement based primarily on hourly charges by using wasteful
procedures.
Prohibited Contingent Fees
[6] Paragraph (d) prohibits a lawyer from charging a contingent fee in a domestic relations matter when payment is contingent
upon the securing of a divorce or upon the amount of alimony or support or property settlement to be obtained. This provision
does not preclude a contract for a contingent fee for legal representation in connection with the recovery of post-judgment
balances due under support, alimony or other financial orders because such contracts do not implicate the same policy
concerns.
Division of Fee
[7] A division of fee is a single billing to a client covering the fee of two or more lawyers who are not in the same firm. A
division of fee facilitates association of more than one lawyer in a matter in which neither alone could serve the client as
well, and most often is used when the fee is contingent and the division is between a referring lawyer and a trial specialist.
Paragraph (e) permits the lawyers to divide a fee either on the basis of the proportion of services they render or if each lawyer
assumes responsibility for the representation as a whole. In addition, the client must agree to the arrangement, including the
share that each lawyer is to receive, and the agreement must be confirmed in writing. Contingent fee agreements must be in
a writing signed by the client and must otherwise comply with paragraph (c) of this Rule. Joint responsibility for the
representation entails financial and ethical responsibility for the representation as if the lawyers were associated in a

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partnership. A lawyer should only refer a matter to a lawyer whom the referring lawyer reasonably believes is competent to
handle the matter. See Rule 1.1.
[8] Paragraph (e) does not prohibit or regulate division of fees to be received in the future for work done when lawyers were
previously associated in a law firm.
Disputes over Fees
[9] If a procedure has been established for resolution of fee disputes, such as an arbitration or mediation procedure established
by the bar, the lawyer must comply with the procedure when it is mandatory, and, even when it is voluntary, the lawyer
should conscientiously consider submitting to it. Law may prescribe a procedure for determining a lawyer's fee, for example,
in representation of an executor or administrator, a class or a person entitled to a reasonable fee as part of the measure of
damages. The lawyer entitled to such a fee and a lawyer representing another party concerned with the fee should comply
with the prescribed procedure.

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RULE 1.6 – CONFIDENTIALITY OF INFORMATION
(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives
informed consent, the disclosure is impliedly authorized in order to carry out the representation or the
disclosure is permitted by paragraph (b).
(b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer
reasonably believes necessary:
1) to prevent reasonably certain death or substantial bodily harm;
2) to prevent the client from committing a crime or fraud that is reasonably certain to result in
substantial injury to the financial interests or property of another and in furtherance of which the
client has used or is using the lawyer's services;
3) to prevent, mitigate or rectify substantial injury to the financial interests or property of another
that is reasonably certain to result or has resulted from the client's commission of a crime or
fraud in furtherance of which the client has used the lawyer's services;
4) to secure legal advice about the lawyer's compliance with these Rules;
5) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and
the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon
conduct in which the client was involved, or to respond to allegations in any proceeding
concerning the lawyer's representation of the client;
6) to comply with other law or a court order; or
7) to detect and resolve conflicts of interest arising from the lawyer’s change of employment or
from changes in the composition or ownership of a firm, but only if the revealed information
would not compromise the attorney-client privilege or otherwise prejudice the client.
(c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or
unauthorized access to, information relating to the representation of a client.
Comment:
[1] This Rule governs the disclosure by a lawyer of information relating to the representation of a client during the lawyer's
representation of the client. See Rule 1.18 for the lawyer's duties with respect to information provided to the lawyer by a
prospective client, Rule 1.9(c)(2) for the lawyer's duty not to reveal information relating to the lawyer's prior representation
of a former client and Rules 1.8(b) and 1.9(c)(1) for the lawyer's duties with respect to the use of such information to the
disadvantage of clients and former clients.
[2] A fundamental principle in the client-lawyer relationship is that, in the absence of the client's informed consent, the
lawyer must not reveal information relating to the representation. See Rule 1.0(e) for the definition of informed consent.
This contributes to the trust that is the hallmark of the client-lawyer relationship. The client is thereby encouraged to seek
legal assistance and to communicate fully and frankly with the lawyer even as to embarrassing or legally damaging subject
matter. The lawyer needs this information to represent the client effectively and, if necessary, to advise the client to refrain
from wrongful conduct. Almost without exception, clients come to lawyers in order to determine their rights and what is, in
the complex of laws and regulations, deemed to be legal and correct. Based upon experience, lawyers know that almost all
clients follow the advice given, and the law is upheld.
[3] The principle of client-lawyer confidentiality is given effect by related bodies of law: the attorney-client privilege, the
work product doctrine and the rule of confidentiality established in professional ethics. The attorney-client privilege and
work product doctrine apply in judicial and other proceedings in which a lawyer may be called as a witness or otherwise
required to produce evidence concerning a client. The rule of client-lawyer confidentiality applies in situations other than
those where evidence is sought from the lawyer through compulsion of law. The confidentiality rule, for example, applies
not only to matters communicated in confidence by the client but also to all information relating to the representation,

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whatever its source. A lawyer may not disclose such information except as authorized or required by the Rules of Professional
Conduct or other law. See also Scope.
[4] Paragraph (a) prohibits a lawyer from revealing information relating to the representation of a client. This prohibition
also applies to disclosures by a lawyer that do not in themselves reveal protected information but could reasonably lead to
the discovery of such information by a third person. A lawyer's use of a hypothetical to discuss issues relating to the
representation is permissible so long as there is no reasonable likelihood that the listener will be able to ascertain the identity
of the client or the situation involved.
Authorized Disclosure
[5] Except to the extent that the client's instructions or special circumstances limit that authority, a lawyer is impliedly
authorized to make disclosures about a client when appropriate in carrying out the representation. In some situations, for
example, a lawyer may be impliedly authorized to admit a fact that cannot properly be disputed or to make a disclosure that
facilitates a satisfactory conclusion to a matter. Lawyers in a firm may, in the course of the firm's practice, disclose to each
other information relating to a client of the firm, unless the client has instructed that particular information be confined to
specified lawyers.
Disclosure Adverse to Client
[6] Although the public interest is usually best served by a strict rule requiring lawyers to preserve the confidentiality of
information relating to the representation of their clients, the confidentiality rule is subject to limited exceptions. Paragraph
(b)(1) recognizes the overriding value of life and physical integrity and permits disclosure reasonably necessary to prevent
reasonably certain death or substantial bodily harm. Such harm is reasonably certain to occur if it will be suffered imminently
or if there is a present and substantial threat that a person will suffer such harm at a later date if the lawyer fails to take action
necessary to eliminate the threat. Thus, a lawyer who knows that a client has accidentally discharged toxic waste into a
town's water supply may reveal this information to the authorities if there is a present and substantial risk that a person who
drinks the water will contract a life-threatening or debilitating disease and the lawyer's disclosure is necessary to eliminate
the threat or reduce the number of victims.
[7] Paragraph (b)(2) is a limited exception to the rule of confidentiality that permits the lawyer to reveal information to the
extent necessary to enable affected persons or appropriate authorities to prevent the client from committing a crime or fraud,
as defined in Rule 1.0(d), that is reasonably certain to result in substantial injury to the financial or property interests of
another and in furtherance of which the client has used or is using the lawyer’s services. Such a serious abuse of the clientlawyer relationship by the client forfeits the protection of this Rule. The client can, of course, prevent such disclosure by
refraining from the wrongful conduct. Although paragraph (b)(2) does not require the lawyer to reveal the client’s
misconduct, the lawyer may not counsel or assist the client in conduct the lawyer knows is criminal or fraudulent. See Rule
1.2(d). See also Rule 1.16 with respect to the lawyer’s obligation or right to withdraw from the representation of the client
in such circumstances, and Rule 1.13(c), which permits the lawyer, where the client is an organization, to reveal information
relating to the representation in limited circumstances.
[8] Paragraph (b)(3) addresses the situation in which the lawyer does not learn of the client’s crime or fraud until after it has
been consummated. Although the client no longer has the option of preventing disclosure by refraining from the wrongful
conduct, there will be situations in which the loss suffered by the affected person can be prevented, rectified or mitigated. In
such situations, the lawyer may disclose information relating to the representation to the extent necessary to enable the
affected persons to prevent or mitigate reasonably certain losses or to attempt to recoup their losses. Paragraph (b)(3) does
not apply when a person who has committed a crime or fraud thereafter employs a lawyer for representation concerning that
offense.
[9] A lawyer's confidentiality obligations do not preclude a lawyer from securing confidential legal advice about the lawyer's
personal responsibility to comply with these Rules. In most situations, disclosing information to secure such advice will be
impliedly authorized for the lawyer to carry out the representation. Even when the disclosure is not impliedly authorized,
paragraph (b)(4) permits such disclosure because of the importance of a lawyer's compliance with the Rules of Professional
Conduct.
[10] Where a legal claim or disciplinary charge alleges complicity of the lawyer in a client's conduct or other misconduct of
the lawyer involving representation of the client, the lawyer may respond to the extent the lawyer reasonably believes
necessary to establish a defense. The same is true with respect to a claim involving the conduct or representation of a former
client. Such a charge can arise in a civil, criminal, disciplinary or other proceeding and can be based on a wrong allegedly
committed by the lawyer against the client or on a wrong alleged by a third person, for example, a person claiming to have

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been defrauded by the lawyer and client acting together. The lawyer's right to respond arises when an assertion of such
complicity has been made. Paragraph (b)(5) does not require the lawyer to await the commencement of an action or
proceeding that charges such complicity, so that the defense may be established by responding directly to a third party who
has made such an assertion. The right to defend also applies, of course, where a proceeding has been commenced.
[11] A lawyer entitled to a fee is permitted by paragraph (b)(5) to prove the services rendered in an action to collect it. This
aspect of the rule expresses the principle that the beneficiary of a fiduciary relationship may not exploit it to the detriment
of the fiduciary.
[12] Other law may require that a lawyer disclose information about a client. Whether such a law supersedes Rule 1.6 is a
question of law beyond the scope of these Rules. When disclosure of information relating to the representation appears to be
required by other law, the lawyer must discuss the matter with the client to the extent required by R

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/tribal%3Amuscogee_creek_nation%3A715196ef4b631e43. Public record. Not legal advice.