Rule 1.4. COMMUNICATION

(a)

A lawyer shall do all of the following:

(1)

promptly inform the client of any decision or circumstance with

respect to which the client’s informed consent is required by these rules;

(2)

reasonably consult with the client about the means by which the

client’s objectives are to be accomplished;

(3)

keep the client reasonably informed about the status of the matter;

(4)

comply as soon as practicable with reasonable requests for

information from the client;

(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 Ohio 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.

(c)

A lawyer shall inform a client at the time of the client’s engagement of the

lawyer or at any time subsequent to the engagement if the lawyer does not maintain

professional liability insurance in the amounts of at least one hundred thousand dollars

per occurrence and three hundred thousand dollars in the aggregate or if the lawyer’s

professional liability insurance is terminated. The notice shall be provided to the client on

a separate form set forth following this rule and shall be signed by the client.

(1)

A lawyer shall maintain a copy of the notice signed by the client for

five years after termination of representation of the client.

(2)

A lawyer who is involved in the division of fees pursuant to Rule

1.5(e) shall inform the client as required by division (c) of this rule before the client

is asked to agree to the division of fees.

(3)

The notice required by division (c) of this rule shall not apply to either

of the following:

ce signed by the client for

five years after termination of representation of the client.

(2)

A lawyer who is involved in the division of fees pursuant to Rule

1.5(e) shall inform the client as required by division (c) of this rule before the client

is asked to agree to the division of fees.

(3)

The notice required by division (c) of this rule shall not apply to either

of the following:

(i)

A lawyer who is employed by a governmental entity and

renders services pursuant to that employment;

(ii)

A lawyer who renders legal services to an entity that employs

the lawyer as in-house counsel.

NOTICE TO CLIENT

Pursuant to Rule 1.4 of the Ohio Rules of Professional Conduct, I am required to

notify you that I do not maintain professional liability (malpractice) insurance of at least

$100,000 per occurrence and $300,000 in the aggregate.

_____________________

Attorney’s Signature

CLIENT ACKNOWLEDGEMENT

I acknowledge receipt of the notice required by Rule 1.4 of the Ohio Rules of

Professional Conduct that [insert attorney’s name] does not maintain professional liability

(malpractice) insurance of at least $100,000 per occurrence and $300,000 in the

aggregate.

_____________________

Client’s Signature

_____________________

Date

Comment

[1]

Reasonable communication between the lawyer and the client is necessary for the

client to participate effectively in the representation.

Communicating with Client

name] does not maintain professional liability

(malpractice) insurance of at least $100,000 per occurrence and $300,000 in the

aggregate.

_____________________

Client’s Signature

_____________________

Date

Comment

[1]

Reasonable communication between the lawyer and the client is necessary for the

client to participate effectively in the representation.

Communicating with Client

[2]

If these rules require that a particular decision about the representation be made by

the client, division (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]

Division (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, division

, 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, division

(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 and

the fees and costs incurred to date.

[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, division (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

ed. 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.

[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

ient 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.

Professional Liability Insurance

[8]

Although it is in the best interest of the lawyer and the client that the lawyer

maintain professional liability insurance or another form of adequate financial responsibility, it is

not required in any circumstance other than when the lawyer practices as part of a legal

professional association, corporation, legal clinic, limited liability company, or limited liability

partnership.

[9]

The client may not be aware that maintaining professional liability insurance is not

mandatory and may well assume that the practice of law requires that some minimum financial

responsibility be carried in the event of malpractice. Therefore, a lawyer who does not maintain

certain minimum professional liability insurance shall promptly inform a prospective client or

client.

Comparison to former Ohio Code of Professional Responsibility

professional liability insurance is not

mandatory and may well assume that the practice of law requires that some minimum financial

responsibility be carried in the event of malpractice. Therefore, a lawyer who does not maintain

certain minimum professional liability insurance shall promptly inform a prospective client or

client.

Comparison to former Ohio Code of Professional Responsibility

Rule 1.4(a) states the minimum required communication between attorney and client. This

is a change from the aspirational nature of EC 7-8. Rule 1.4(a)(1) corresponds to several sentences

in EC 7-8 and EC 9-2. Rules 1.4(a)(2) and (3) correspond to several sentences in EC 7-8. Rule

1.4(a)(4) explicitly states what is implied in EC 7-8 and EC 9-2. Rule 1.4(a)(5) states a new

requirement that does not correspond to any DR or EC.

Rule 1.4(b) corresponds to several sentences in EC 7-8 and EC 9-2.

Rule 1.4(c) adopts the existing language in DR 1-104.

Comparison to ABA Model Rules of Professional Conduct

Rules 1.4(a)(1) through (a)(5) are the same as the Model Rule provisions except for

division (a)(4), which is altered to require compliance with client requests “as soon as practicable”

rather than “promptly.”

Rule 1.4(b) is the same as the Model Rule provision.

Rule 1.4(c) does not have a counterpart in the Model Rules. The provision mirrors DR 1-

104, adopted effective July 1, 2001. DR 1-104 provides the public with additional information

and protection from attorneys who do not carry malpractice insurance. Ohio is one of only a few

states that have adopted a similar provision, and this requirement is retained in the rules.