DR 1-104. DISCLOSURE OF INFORMATION TO THE CLIENT

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.

(B)

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

after termination of representation of the client.

(C)

The notice required by division (A) of this rule shall not apply to a lawyer who is

engaged in either of the following:

(1)

Rendering legal services to a governmental entity that employs the lawyer;

(2)

Rendering legal services to an entity that employs the lawyer as in-house counsel.

NOTICE TO CLIENT

Required by DR 1-104

Ohio Code of Professional Responsibility

Pursuant to DR 1-104 of the Ohio Code of Professional Responsibility, 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 DR 1-104 of the Ohio Code of

Professional Responsibility 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

CANON 2

A Lawyer Should Assist the Legal Profession

in Fulfilling Its Duty to Make Legal Counsel Available

ETHICAL CONSIDERATIONS

ional Responsibility 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

CANON 2

A Lawyer Should Assist the Legal Profession

in Fulfilling Its Duty to Make Legal Counsel Available

ETHICAL CONSIDERATIONS

EC 2-1 The need of members of the public for legal services is met only if they recognize their

legal problems, appreciate the importance of seeking assistance, and are able to obtain the

services of acceptable legal counsel. Hence, important functions of the legal profession are to

educate laymen to recognize their legal problems, to facilitate the process of intelligent selection

of lawyers, and to assist in making legal services fully available.

Recognition of Legal Problems

EC 2-2 The legal profession should assist laymen to recognize legal problems because such

problems may not be self-revealing and often are not timely noticed. Therefore, lawyers acting

under proper auspices should encourage and participate in educational and public relations

programs concerning our legal system with particular reference to legal problems that frequently

arise. Such educational programs should be motivated by a desire to benefit the public rather

than to obtain publicity or employment for particular lawyers. Examples of permissible activities

include preparation of institutional advertisements and professional articles for lay publications

and participation in seminars, lectures, and civic programs. But a lawyer who participates in

such activities should shun personal publicity.

ld be motivated by a desire to benefit the public rather

than to obtain publicity or employment for particular lawyers. Examples of permissible activities

include preparation of institutional advertisements and professional articles for lay publications

and participation in seminars, lectures, and civic programs. But a lawyer who participates in

such activities should shun personal publicity.

EC 2-3 Whether a lawyer acts properly in volunteering advice to a layman to seek legal services

depends upon the circumstances. The giving of advice that one should take legal action could

well be in fulfillment of the duty of the legal profession to assist laymen in recognizing legal

problems. The advice is proper only if motivated by a desire to protect one who does not

recognize that he may have legal problems or who is ignorant of his legal rights or obligations.

Hence, the advice is improper if motivated by a desire to obtain personal benefit, secure personal

publicity, or cause litigation to be brought merely to harass or injure another.

EC 2-4 Since motivation is subjective and often difficult to judge, the motives of a lawyer who

volunteers advice likely to produce legal controversy may well be suspect if he receives

professional employment or other benefits as a result. A lawyer who volunteers advice that one

should obtain the services of a lawyer generally should not himself accept employment,

compensation, or other benefit in connection with that matter. However, it is not improper for a

lawyer to volunteer such advice and render resulting legal services to close friends, relatives,

former clients (in regard to matters germane to former employment), and regular clients.

olunteers advice that one

should obtain the services of a lawyer generally should not himself accept employment,

compensation, or other benefit in connection with that matter. However, it is not improper for a

lawyer to volunteer such advice and render resulting legal services to close friends, relatives,

former clients (in regard to matters germane to former employment), and regular clients.

EC 2-5 A lawyer who writes or speaks for the purpose of educating members of the public to

recognize their legal problems should carefully refrain from giving or appearing to give a general

solution applicable to all apparently similar individual problems, since slight changes in fact

situations may require a material variance in the applicable advice; otherwise, the public may be

misled and misadvised. Talks and writings by lawyers for laymen should caution them not to

attempt to solve individual problems upon the basis of the information contained therein.

Selection of a Lawyer: Generally

EC 2-6 Formerly a potential client usually knew the reputations of local lawyers for

competency and integrity and therefore could select a practitioner in whom he had confidence.

This traditional selection process worked well because it was initiated by the client and the

choice was an informed one.

EC 2-7 Changed conditions, however, have seriously restricted the effectiveness of the

traditional selection process. Often the reputations of lawyers are not sufficiently known to

enable laymen to make intelligent choices. The law has become increasingly complex and

specialized. Few lawyers are willing and competent to deal with every kind of legal matter, and

many laymen have difficulty in determining the competence of lawyers to render different types

of legal services. The selection of legal counsel is particularly difficult for transients, persons

moving into new areas, persons of limited education or means, and others who have little or no

contact with lawyers.

Few lawyers are willing and competent to deal with every kind of legal matter, and

many laymen have difficulty in determining the competence of lawyers to render different types

of legal services. The selection of legal counsel is particularly difficult for transients, persons

moving into new areas, persons of limited education or means, and others who have little or no

contact with lawyers.

EC 2-8 Selection of a lawyer by a layman often is the result of the advice and recommendation

of third parties--relatives, friends, acquaintances, business associates, or other lawyers. A layman

is best served if the recommendation is disinterested and informed. In order that the

recommendation be disinterested, a lawyer should not seek to influence another to recommend

his employment. A lawyer should not compensate another person for recommending him, for

influencing a prospective client to employ him, or to encourage future recommendations.

Selection of a Lawyer: Professional Notices and Listings

EC 2-9 Methods of advertising that are false, misleading or deceptive should be and are

prohibited. However, the Disciplinary Rules recognize the value of giving assistance in the

selection process through forms of advertising.

EC 2-10 The name under which a lawyer conducts his practice may be a factor in the selection

process. The use of a trade name or an assumed name could mislead laymen concerning the

identity, responsibility, and status of those practicing thereunder. Accordingly, a lawyer in

private practice should practice only under his own name, the name of a lawyer employing him, a

partnership name composed of the name of one or more of the lawyers practicing in a

partnership, or, if permitted by law, in the name of a professional legal corporation, which should

be clearly designated as such

y, responsibility, and status of those practicing thereunder. Accordingly, a lawyer in

private practice should practice only under his own name, the name of a lawyer employing him, a

partnership name composed of the name of one or more of the lawyers practicing in a

partnership, or, if permitted by law, in the name of a professional legal corporation, which should

be clearly designated as such. For many years some law firms have used a firm name retaining

one or more names of deceased or retired partners and such practice is not improper if the firm is

a bona fide successor of a firm in which the deceased or retired person was a member, if the use

of the name is authorized by law or by contract, and if the public is not misled thereby. However,

the name of a partner who withdraws from a firm but continues to practice law should be omitted

from the firm name in order to avoid misleading the public.

EC 2-11 A lawyer occupying a judicial, legislative, or public executive or administrative position

who has the right to practice law concurrently may allow his name to remain in the name of the

firm if he actively continues to practice law as a member thereof. Otherwise, his name should be

removed from the firm name, and he should not be identified as a past or present member of the

firm; and he should not hold himself out as being a practicing lawyer.

EC 2-12 In order to avoid the possibility of misleading persons with whom he deals, a lawyer

should be scrupulous in the representation of his professional status. He should not hold himself

out as being a partner or associate of a law firm if he is not one in fact, and thus should not hold

himself out as a partner or associate if he only shares offices with another lawyer.

racticing lawyer.

EC 2-12 In order to avoid the possibility of misleading persons with whom he deals, a lawyer

should be scrupulous in the representation of his professional status. He should not hold himself

out as being a partner or associate of a law firm if he is not one in fact, and thus should not hold

himself out as a partner or associate if he only shares offices with another lawyer.

EC 2-13 In some instances, a lawyer confines his or her practice to a particular field of law.

Except as provided in the Rules for the Government of the Bar of Ohio, a lawyer should not be

permitted to hold himself or herself out as a specialist or as having special training or ability,

other than in the historically excepted fields of admiralty, trademark, and patent law.

EC 2-14 The legal profession has developed lawyer referral systems designed to aid individuals

who are able to pay fees but need assistance in locating lawyers competent to handle their

particular problems. Use of a lawyer referral system enables a layman to avoid an uninformed

selection of a lawyer because such a system makes possible the employment of competent

lawyers who have indicated an interest in the subject matter involved. Lawyers should support

the principle of lawyer referral systems and should encourage the evolution of other ethical plans

which aid in the selection of qualified counsel.

Financial Ability to Employ Counsel: Generally

EC 2-15 The legal profession cannot remain a viable force in fulfilling its role in our society

unless its members receive adequate compensation for services rendered, and reasonable fees

should be charged in appropriate cases to clients able to pay them. Nevertheless, persons unable

to pay all or a portion of a reasonable fee should be able to obtain necessary legal services, and

lawyers should support and participate in ethical activities designed to achieve that objective.

Financial Ability to Employ Counsel: Persons Able to Pay Reasonable Fees

endered, and reasonable fees

should be charged in appropriate cases to clients able to pay them. Nevertheless, persons unable

to pay all or a portion of a reasonable fee should be able to obtain necessary legal services, and

lawyers should support and participate in ethical activities designed to achieve that objective.

Financial Ability to Employ Counsel: Persons Able to Pay Reasonable Fees

EC 2-16 The determination of a proper fee requires consideration of the interests of both client

and lawyer. A lawyer should not charge more than a reasonable fee, for excessive cost of legal

service would deter laymen from utilizing the legal system in protection of their rights.

Furthermore, an excessive charge abuses the professional relationship between lawyer and client.

On the other hand, adequate compensation is necessary in order to enable the lawyer to serve his

client effectively and to preserve the integrity and independence of the profession.

EC 2-17 The determination of the reasonableness of a fee requires consideration of all relevant

circumstances, including those stated in the Disciplinary Rules. The fees of a lawyer will vary

according to many factors, including the time required, his experience, ability, and reputation, the

nature of the employment, the responsibility involved, and the results obtained. Suggested fee

schedules and economic reports of state and local bar associations provide some guidance on the

subject of reasonable fees. It is a commendable and longstanding tradition of the bar that special

consideration is given in the fixing of any fee for services rendered a brother lawyer or a member

of his immediate family.

oyment, the responsibility involved, and the results obtained. Suggested fee

schedules and economic reports of state and local bar associations provide some guidance on the

subject of reasonable fees. It is a commendable and longstanding tradition of the bar that special

consideration is given in the fixing of any fee for services rendered a brother lawyer or a member

of his immediate family.

EC 2-18 As soon as feasible after a lawyer has been employed, it is desirable that he reach a

clear agreement with his client as to the basis of the fee charges to be made. Such a course will

not only prevent later misunderstanding but will also work for good relations between the lawyer

and the client. It is usually beneficial to reduce to writing the understanding of the parties

regarding the fee, particularly when it is contingent. A lawyer should be mindful that many

persons who desire to employ him may have had little or no experience with fee charges of

lawyers, and for this reason he should explain fully to such persons the reasons for the particular

fee arrangement he proposes.

EC 2-19 Contingent fee arrangements in civil cases have long been commonly accepted in the

United States in proceedings to enforce claims. The historical bases of their acceptance are that

(1) they often, and in a variety of circumstances, provide the only practical means by which one

having a claim against another can economically afford, finance, and obtain the services of a

competent lawyer to prosecute his claim, and (2) a successful prosecution of the claim produces a

res out of which the fee can be paid. Although a lawyer generally should decline to accept

employment on a contingent fee basis by one who is able to pay a reasonable fixed fee, it is not

necessarily improper for a lawyer, where justified by the particular circumstances of a case, to

enter into a contingent fee contract in a civil case with any client who, after being fully informed

of all relevant factors, desires that arrangement

lthough a lawyer generally should decline to accept

employment on a contingent fee basis by one who is able to pay a reasonable fixed fee, it is not

necessarily improper for a lawyer, where justified by the particular circumstances of a case, to

enter into a contingent fee contract in a civil case with any client who, after being fully informed

of all relevant factors, desires that arrangement. Because of the human relationships involved

and the unique character of the proceedings, contingent fee arrangements in domestic relations

cases are rarely justified. In administrative agency proceedings contingent fee contracts should

be governed by the same considerations as in other civil cases. Public policy properly condemns

contingent fee arrangements in criminal cases, largely on the ground that legal services in

criminal cases do not produce a res with which to pay the fee.

EC 2-20 A lawyer should not accept compensation or any thing of value incident to his

employment or services from one other than his client without the knowledge and consent of his

client after full disclosure.

EC 2-21 Without the prior consent of his or her client, a lawyer should not associate in a

particular matter another lawyer outside his or her firm. A fee may properly be divided between

lawyers properly associated if: (1) the division is in proportion to the services performed or, if

agreed to in writing by the client, all of the lawyers assume responsibility for representing the

client; (2) the terms of the fee division and the identity of all lawyers sharing in the fee are

disclosed in writing to the client prior to obtaining the client's consent; and (3) the total fee is

reasonable.

EC 2-22 A lawyer should be zealous in his efforts to avoid controversies over fees with clients

and should attempt to resolve amicably any differences on the subject. He should not sue a client

for a fee unless necessary to prevent fraud or gross imposition by the client.

fee are

disclosed in writing to the client prior to obtaining the client's consent; and (3) the total fee is

reasonable.

EC 2-22 A lawyer should be zealous in his efforts to avoid controversies over fees with clients

and should attempt to resolve amicably any differences on the subject. He should not sue a client

for a fee unless necessary to prevent fraud or gross imposition by the client.

Financial Ability to Employ Counsel: Persons Unable to Pay Reasonable Fees

EC 2-23 A layman whose financial ability is not sufficient to permit payment of any fee cannot

obtain legal services, other than in cases where a contingent fee is appropriate, unless the services

are provided for him. Even a person of moderate means may be unable to pay a reasonable fee

which is large because of the complexity, novelty, or difficulty of the problem or similar factors.

EC 2-24 Historically, the need for legal services of those unable to pay reasonable fees has been

met in part by lawyers who donated their services or accepted court appointments on behalf of

such individuals. The basic responsibility for providing legal services for those unable to pay

ultimately rests upon the individual lawyer, and personal involvement in the problems of the

disadvantaged can be one of the most rewarding experiences in the life of a lawyer. Every

lawyer, regardless of professional prominence or professional workload, should find time to

participate in serving the disadvantaged. The rendition of free legal services to those unable to

pay reasonable fees continues to be an obligation of each lawyer, but the efforts of individual

lawyers are often not enough to meet the need. Thus it has been necessary for the profession to

institute additional programs to provide legal services. Accordingly, legal aid offices, lawyer

referral services, and other related programs have been developed, and others will be developed,

by the profession. Every lawyer should support all proper efforts to meet this need for legal

services.

l

lawyers are often not enough to meet the need. Thus it has been necessary for the profession to

institute additional programs to provide legal services. Accordingly, legal aid offices, lawyer

referral services, and other related programs have been developed, and others will be developed,

by the profession. Every lawyer should support all proper efforts to meet this need for legal

services.

Acceptance and Retention of Employment

EC 2-25 A lawyer is under no obligation to act as adviser or advocate for every person who may

wish to become his client; but in furtherance of the objective of the bar to make legal services

fully available, a lawyer should not lightly decline proffered employment. The fulfillment of this

objective requires acceptance by a lawyer of his share of tendered employment which may be

unattractive both to him and the bar generally.

EC 2-26 History is replete with instances of distinguished and sacrificial services by lawyers

who have represented unpopular clients and causes. Regardless of his personal feelings, a lawyer

should not decline representation because a client or a cause is unpopular or community reaction

is adverse.

EC 2-27 The personal preference of a lawyer to avoid adversary alignment against judges, other

lawyers, public officials, or influential members of the community does not justify his rejection

of tendered employment.

EC 2-28 When a lawyer is appointed by a court or requested by a bar association to undertake

representation of a person unable to obtain counsel, whether for financial or other reasons, he

should not seek to be excused from undertaking the representation except for compelling reasons.

Compelling reasons do not include such factors as the repugnance of the subject matter of the

proceeding, the identity or position of a person involved in the case, the belief of the lawyer that

the defendant in a criminal proceeding is guilty, or the belief of the lawyer regarding the merits of

the civil case.

k to be excused from undertaking the representation except for compelling reasons.

Compelling reasons do not include such factors as the repugnance of the subject matter of the

proceeding, the identity or position of a person involved in the case, the belief of the lawyer that

the defendant in a criminal proceeding is guilty, or the belief of the lawyer regarding the merits of

the civil case.

EC 2-29 Employment should not be accepted by a lawyer when he is unable to render competent

service or when he knows or it is obvious that the person seeking to employ him desires to

institute or maintain an action merely for the purpose of harassing or maliciously injuring

another. Likewise, a lawyer should decline employment if the intensity of his personal feeling, as

distinguished from a community attitude, may impair his effective representation of a prospective

client. If a lawyer knows a client has previously obtained counsel, he should not accept

employment in the matter unless the other counsel approves or withdraws, or the client

terminates the prior employment.

EC 2-30 Full availability of legal counsel requires both that persons be able to obtain counsel

and that lawyers who undertake representation complete the work involved. Trial counsel for a

convicted defendant should continue to represent his client by advising whether to take an appeal

and, if the appeal is prosecuted, by representing him through the appeal unless new counsel is

substituted or withdrawal is permitted by the appropriate court.

both that persons be able to obtain counsel

and that lawyers who undertake representation complete the work involved. Trial counsel for a

convicted defendant should continue to represent his client by advising whether to take an appeal

and, if the appeal is prosecuted, by representing him through the appeal unless new counsel is

substituted or withdrawal is permitted by the appropriate court.

EC 2-31 A decision by a lawyer to withdraw should be made only on the basis of compelling

circumstances, and in a matter pending before a tribunal he must comply with the rules of the

tribunal regarding withdrawal. A lawyer should not withdraw without considering carefully and

endeavoring to minimize the possible adverse effect on the rights of his client and the possibility

of prejudice to his client as a result of his withdrawal. Even when he justifiably withdraws, a

lawyer should protect the welfare of his client by giving due notice of his withdrawal, suggesting

employment of other counsel, delivering to the client all papers and property to which the client

is entitled, cooperating with counsel subsequently employed, and otherwise endeavoring to

minimize the possibility of harm. Further, he should refund to the client any compensation not

earned during the employment.

EC 2-32 As a party of the legal profession's commitment to the principle that high quality legal

services should be available to all, attorneys are encouraged to cooperate with qualified legal

assistance organizations providing prepaid legal services. Such participation should at all times

be in accordance with the basic tenets of the profession: independence, integrity, competence

and devotion to the interests of individual clients. An attorney so participating should make

certain that his relationship with a qualified legal assistance organization in no way interferes

with his independent, professional representation of the interests of the individual client

hould at all times

be in accordance with the basic tenets of the profession: independence, integrity, competence

and devotion to the interests of individual clients. An attorney so participating should make

certain that his relationship with a qualified legal assistance organization in no way interferes

with his independent, professional representation of the interests of the individual client. An

attorney should avoid situations in which officials of the organization who are not lawyers

attempt to direct attorneys concerning the manner in which legal services are performed for

individual members, and should also avoid situations in which considerations of economy are

given undue weight in determining the attorneys employed by an organization or the legal

services to be performed for the member or beneficiary rather than competence and quality of

service. An attorney interested in maintaining the historic traditions of the profession and

preserving the function of a lawyer as a trusted and independent advisor to individual members

of society should carefully assess such factors when accepting employment by, or otherwise

participating in, a particular qualified legal assistance organization, and while so participating

should adhere to the highest professional standards of effort and competence.

[Effective: October 5, 1970; EC 2-33 adopted effective October 20, 1975; EC 2-3 and 2-9

amended effective March 1, 1986; EC 2-10 repealed and EC 2-11 to EC 2-33 renumbered

effective March 1, 1986; EC 2-13 amended effective January 1, 1993.]