Rule 1.4. COMMUNICATION

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 limitations set forth

in the Maine Rules of Professional Conduct, or other law with

respect to lawyers’ conduct, when the lawyer knows that the

client expects assistance not permitted by the Maine 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).

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. Client telephone calls should be promptly

returned or acknowledged.

epresentation. 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. Client telephone calls should be promptly

returned or acknowledged.

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 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).

[5.1] Paragraph (a)(5) requires if a lawyer perceives the client expects

assistance unethical or unlawful for the lawyer to provide, the lawyer must

inform the client of the limitations on the lawyer’s conduct.

ircumstances, such as when a lawyer 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).

[5.1] Paragraph (a)(5) requires if a lawyer perceives the client expects

assistance unethical or unlawful for the lawyer to provide, the lawyer must

inform the client of the limitations on the lawyer’s conduct.

[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.