Commission for the Revision of the Rules of Professional Conduct of the State Bar of California
Notice and Agenda
Saturday, October 22, 2016
9:00 am - 4:30 pm

The State Bar of California
845 South Figueroa Street
Board Room, 2nd Floor
Los Angeles, CA 90017-2515
(213) 765-1000

Questions regarding any agenda item should be directed to the Committee Coordinator, Randall Difuntorum at (415) 538-2161, 180 Howard Street, San Francisco, CA 94105 or Chair, Justice Lee Edmon at (415) 538-2107, 180 Howard Street, San Francisco, CA 94105. Committee members are requested to notify the Committee Coordinator as early as possible in advance of the meeting if they wish to remove any item/s from the consent agenda.

Committee Members: Jeffrey Bleich (Co-Vice-Chair), George Cardona, Danny Chou, Nanci Clinch, Hon. Karen Clopton, Joan Croker, Daniel Eaton, James Ham, Lee Harris, Tobi Inlender, Robert Kehr, Howard Kornberg, Carol Langford, Raul Martinez, Toby Rothschild, Hon. Dean Stout, Mark Tuft, Dean Zipser (Co-Vice-Chair).
The order of business is approximate and subject to change.

NOTE: This is a 2-day meeting. The agenda items and materials for both the
October 21st and October 22nd meetings are identical. The agenda items to
be discussed on October 22nd depend on the progress made on October 21st.

To Join by Conference Call
Toll-Free Dial-In Number: 1-855-520-7605
Conference Code: 253-541-0212#

Open Session

I. Chair's Report
A. Oral Report
II. Consent
A. Regular Meeting on September 30, 2016 (Open Session)
II. Consent
A. 09-30-16 Meeting Action Summary - DFT2 1 (10-18-16)
B. Consideration of Rules with No Substantive Language Changes
II. Consent
B. Consent Agenda Cover Sheet
Attachments:
ATT1 Consent Agenda Items Group 1ATT2 Consent Agenda Items Group 2ATT3 Consent Agenda Items Group 3ATT4 Consent Agenda Items Group 4ATT5 Consent Agenda Items Group 5
Rule 1.1 [3-110] Competence
Rule 1.4.1 [3-510] Communication of Settlement Offers
Rule 1.4.2 [3-410] Disclosure of Professional Liability Insurance
Rule 1.8.2 Use of Current Client’s Information
Rule 1.8.5 [4-210] Payment of Personal or Business Expenses Incurred by or for a Client
Rule 1.8.6 [3-310(F)] Compensation from One Other Than Client
Rule 1.8.8 [3-400] Limiting Liability to Client
Rule 1.8.9 [4-300] Purchasing Property at a Foreclosure or a Sale Subject to Judicial Review
Rule 1.8.11 Imputation of Prohibitions Under Rules 1.8.1 to 1.8.9
Rule 1.15 [4-100] Safekeeping Funds and Property of Clients and Other Persons
Rule 2.4 Lawyer as Third-Party Neutral
Rule 2.4.1 [1-710] Lawyer as Temporary Judge, Referee, or Court-Appointed Arbitrator
Rule 3.2 Delay of Litigation
Rule 3.6 [5-120] Trial Publicity
Rule 3.7 [5-210] Lawyer as Witness
Rule 3.8 [5-110] Special Responsibilities of a Prosecutor
Rule 3.10 [5-100] Threatening Criminal, Administrative, or Disciplinary Charges
Rule 4.1 Truthfulness in Statements to Others
Rule 5.2 Responsibilities of a Subordinate Lawyer
Rule 5.3 Responsibilities Regarding Nonlawyer Assistants
Rule 5.3.1 [1-311] Employment of Disbarred, Suspended, Resigned, or Involuntarily Inactive Lawyer
Rule 5.4 [1-320, 1-310, 1-600] Financial and Similar Arrangements with Nonlawyers
Rule 5.5 [1-300] Unauthorized Practice of Law; Multijurisdictional Practice of Law
Rule 5.6 [1-500] Restrictions on a Lawyer’s Right to Practice
Rule 6.3 Membership in Legal Services Organizations
Rule 6.5 [1-650] Limited Legal Services Programs
Rule 7.2 [1-400, 1-320(B), (C), & (A)(4), 2-200(B)] Advertising
Rule 7.3 [1-400] Solicitation of Clients
Rule 7.4 [1-400(D)(6)] Communication of Fields of Practice and Specialization
Rule 7.5 [1-400] Firm Names
III. Action
A. Consideration of Proposed Rules 1.0 - 1.3
III. Action
A. Cover Sheet 1.0 - 1.3
Attachments:
ATT1 Rule 1.0 [1-100] Revised Rule-Redline-Commenter TableATT2 Rule 1.0.1 [1-100B] Public Comment Draft-Commenter TableATT3 Rule 1.2 [3-210] Revised Rule-Redline-Commenter TableATT4 Rule 1.2.1 [3-210] Revised Rule-Redline-Commenter TableATT5 Rule 1.3 Revised Rule-Redline-Commenter TableATT6 Rule 3-310 [1.1][1.3][5.1][5.2][5.3] - Post-Agenda Email Compilation - REV (10-18-19)
Rule 1.0 [1-100] Purpose and Function of the Rules of Professional Conduct
Rule 1.0.1 [1-100(B)] Terminology
Rule 1.1 [3-110] Competence (See Consent Agenda Item II.B.)
Rule 1.2 [3-210] Scope of Representation and Allocation of Authority
Rule 1.2.1 [3-210] Advising or Assisting the Violation of Law
Rule 1.3 [3-110(B)] Diligence
B. Consideration of Proposed Rules 1.4 - 1.4.2
III. Action
B. Cover Sheet 1.4 - 1.4.2
Attachments:
ATT1 Rule 1.4 [3-500] Revised Rule-Redline-Commenter Table
Rule 1.4 [3-500] Communication with Clients
Rule 1.4.1 [3-510] Communication of Settlement Offers (See Consent Agenda Item II.B.)
Rule 1.4.2 [3-410] Disclosure of Professional Liability Insurance (See Consent Agenda Item II.B.)
C. Consideration of Proposed Rules 1.5, 1.5.1, 1.15, and 1.16
III. Action
C. Cover Sheet 1.5-1.5.1-1.15-1.16
Attachments:
ATT1 Rule 1.5 [4-200] Revised Rule-Redline-Commenter TableATT2 Rule 1.5.1 [2-200] Revised Rule-Redline-Commenter TableATT3 Rule 1.16 [3-700] Revised Rule-Redline-Commenter TableATT4 Richard Zitrin Letter re 1.5 (10-18-16)ATT5 Rule 1.15 AILA Letter (10-20-16)
Rule 1.5 [4-200] Fees for Legal Services
Rule 1.5.1 [2-200] Fee Divisions Among Lawyers
Rule 1.15 [4-100] Safekeeping Funds and Property of Clients and Other Persons (See Consent Agenda Item III.B.)
Rule 1.16 [3-700] Declining or Terminating Representation
D. Consideration of Proposed Rules 1.6 and 1.14
III. Action
D. Cover Sheet 1.6-1.14
Attachments:
ATT1 Rule 1.6 [3-100] Revised Rule-Redline-Commenter TableATT2 Rule 1.14 Revised Rule-Redline-Commenter TableATT3 Rule 1.14 Fishkin Comment
Rule 1.6 [3-100] Confidential Information of a Client
Rule 1.14 Client with Diminished Capacity
E. Consideration of Proposed Rules 1.8.1 - 1.8.11
III. Action
E. Cover Sheet 1.8-1.8.11
Attachments:
ATT1 Rule 1.8.1 [3-300] Revised Rule-Redline-Commenter TableATT2 Rule 1.8.3 [4-400] Revised Rule-Redline-Commenter TableATT3 Rule 1.8.7 [3-310D] Revised Rule-Redline-Commenter TableATT4 Rule 1.8.10 [3-120] Commenter Table-Constitutional Analysis-DissentATT5 Richard Zitrin Letter re 1.8.1 (10-18-16)
Rule 1.8.1 [3-300] Business Transactions with a Client and Pecuniary Interests Adverse to the Client
Rule 1.8.2 Use of Current Client’s Information (See Consent Agenda Item II.B.)
Rule 1.8.3 [4-400] Gifts from Client
Rule 1.8.5 [4-210] Payment of Personal or Business Expenses Incurred by or for a Client (See Consent Agenda Item II.B.)
Rule 1.8.6 [3-310(F)] Compensation from One Other Than Client (See Consent Agenda Item II.B.)
Rule 1.8.7 [3-310(D)] Aggregate Settlements
Rule 1.8.8 [3-400] Limiting Liability to Client (See Consent Agenda Item II.B.)
Rule 1.8.9 [4-300] Purchasing Property at a Foreclosure or a Sale Subject to Judicial Review (See Consent Agenda Item II.B.)
Rule 1.8.10 [3-120] Sexual Relations with Client
Rule 1.8.11 Imputation of Prohibitions Under Rules 1.8.1 to 1.8.9 (See Consent Agenda Item II.B.)
F. Consideration of Proposed Rules 1.7, 1.9 - 1.12
III. Action
F. Cover Sheet 1.7 1.9-1.12
Attachments:
ATT1 Rule 1.7 [3-310] Revised Rule-Redline-Commenter TableATT2 Rule 1.9 [3-310E] Revised Rule-Redline-Commenter TableATT3 Rule 1.10 Revised Rule-Redline-Commenter TableATT4 Rule 1.11 Revised Rule1-Redline-Commenter TableATT5 Rule 1.12 Revised Rule-Redline-Commenter Table
Rule 1.7 [3-310] Conflict of Interests: Current Clients
Rule 1.9 [3-310(E)] 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 Officials and Employees
Rule 1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral
G. Consideration of Proposed Rules 1.13 and 1.17
III. Action
G. Cover Sheet 1.13 1.17
Attachments:
ATT1 Rule 1.13 [3-600] Revised Rule-Redline-Commenter TableATT2 Rule 1.17 [2-300] Revised Rule-Redline-Commenter Table
Rule 1.13 [3-600] Organization as Client
Rule 1.17 [2-300] Sale of a Law Practice
H. Consideration of Proposed Rules 2.4 and 2.4.1
Rule 2.4 Lawyer as Third-Party Neutral (See Consent Agenda Item II.B.)
Rule 2.4.1 [1-710] Lawyer as Temporary Judge, Referee, or Court-Appointed Arbitrator (See Consent Agenda Item II.B.)
I. Consideration of Proposed Rules 3.1 - 3.10
III. Action
I. Cover Sheet 3.1-3.10
Attachments:
ATT1 Rule 3.1 [3-200] Revised Rule-Redline-Commenter TableATT2 Rule 3.3 [5-200] Revised Rule-Redline-Commenter TableATT3 Rule 3.4 [5-200 5-220 5-310] Proposed Rule-Commenter TableATT4 Rule 3.5 [5-300 5-320] Revised Rule-Redline-Commenter TableATT5 Rule 3.9 Revised Rule-Redline-Commenter Table
Rule 3.1 [3-200] Meritorious Claims and Contentions
Rule 3.2 Delay of Litigation (See Consent Agenda Item II.B.)
Rule 3.3 [5-200(A)-(D)] Candor Toward the Tribunal
Rule 3.4 [5-200(E), 5-220, 5-310] Fairness to Opposing Party and Counsel
Rule 3.5 [5-300, 5-320] Contact with Judges, Officials, Employees, and Jurors
Rule 3.6 [5-120] Trial Publicity (See Consent Agenda Item II.B.)
Rule 3.7 [5-210] Lawyer as Witness (See Consent Agenda Item II.B.)
Rule 3.8 [5-110] Special Responsibilities of a Prosecutor (See Consent Agenda Item II.B.)
Rule 3.9 Advocate in Non-adjudicative Proceedings
Rule 3.10 [5-100] Threatening Criminal, Administrative, or Disciplinary Charges (See Consent Agenda Item II.B.)
J. Consideration of Proposed Rules 4.1 - 4.4
III. Action
J. Cover Sheet 4.1-4.4
Attachments:
ATT1 Rule 4.2 Revised Rule-Redline-Commenter TableATT2 Rule 4.3 Proposed Rule-Commenter TableATT3 Rule 4.4 Revised Rule-Redline-Commenter Table
Rule 4.1 Truthfulness in Statements to Others (See Consent Agenda Item II.B.)
Rule 4.2 [2-100] Communication with a Represented Person
Rule 4.3 Communicating with an Unrepresented Person
Rule 4.4 Duties Concerning Inadvertently Transmitted Writings
K. Consideration of Proposed Rules 5.1 - 5.6
III. Action
K. Cover Sheet 5.1-5.6
Attachments:
ATT1 Rule 5.1 Revised Rule-Redline-Commenter Table
Rule 5.1 Responsibilities of Managerial and Supervisory Lawyers
Rule 5.2 Responsibilities of a Subordinate Lawyer (See Consent Agenda Item II.B.)
Rule 5.3 Responsibilities Regarding Nonlawyer Assistants (See Consent Agenda Item II.B.)
Rule 5.3.1 [1-311] Employment of Disbarred, Suspended, Resigned, or Involuntarily Inactive Lawyer (See Consent Agenda Item II.B.)
Rule 5.4 [1-320, 1-310, 1-600] Financial and Similar Arrangements with Nonlawyers (See Consent Agenda Item II.B.)
Rule 5.5 [1-300] Unauthorized Practice of Law; Multijurisdictional Practice of Law (See Consent Agenda Item II.B.)
Rule 5.6 [1-500] Restrictions on a Lawyer’s Right to Practice (See Consent Agenda Item II.B.)
L. Consideration of Proposed Rules 6.3 and 6.5
III. Action
L. Cover Sheet 6.3 6.5
Attachments:
ATT1 Rule 6.3 Revised Rule-Redline-Commenter Table
Rule 6.3 Membership in Legal Services Organizations
Rule 6.5 [1-650] Limited Legal Services Programs (See Consent Agenda Item II.B.)
M. Consideration of Proposed Rules 7.1 - 7.5
III. Action
M. Cover Sheet 7.1-7.5
Attachments:
ATT1 Rule 7.1 [1-400] Revised Rule-Redline-Commenter Table
Rule 7.1 [1-400] Communications Concerning a Lawyer’s Services
Rule 7.2 [1-400, 1-320(B), (C), & (A)(4), 2-200(B)] Advertising (See Consent Agenda Item II.B.)
Rule 7.3 [1-400] Solicitation of Clients (See Consent Agenda Item II.B.)
Rule 7.4 [1-400(D)(6)] Communication of Fields of Practice and Specialization (See Consent Agenda Item II.B.)
Rule 7.5 [1-400] Firm Names and Trade Names (See Consent Agenda Item II.B.)
N. Consideration of Proposed Rules 8.1 - 8.5
III. Action
N. Cover Sheet 8.1-8.5
Attachments:
ATT1 Rule 8.1 [1-200] Revised Rule-Redline-Commenter TableATT2 Rule 8.2 [1-700] Revised Rule-Redline-Commenter TableATT3 Rule 8.4 [1-120] Revised Rule-Redline-Commenter TableATT4 Rule 8.4.1 [2-400] Revised Rule-Redline-Commenter Table ALT1 & 2
Rule 8.1 [1-200] False Statement Regarding Application for Admission, Readmission, Certification or Registration
Rule 8.1.1 [1-110] Compliance with Conditions of Discipline and Agreements in Lieu of Discipline (See Consent Agenda Item II.B.)
Rule 8.2 [1-700] Judicial Officials
Rule 8.4 [1-120] Misconduct
Rule 8.4.1 [2-400] Prohibited Discrimination, Harassment and Retaliation
Rule 8.5 [1-100(D)] Disciplinary Authority; Choice of Law (See Consent Agenda Item II.B.)
O. Consideration of Model Rules Rejected by Commission [if warranted by public comment received on a rejected rule or as a result of consideration of any other agenda item]
III. Action
O. Model Rules Rejected by Commission
Attachments:
ATT1 Rule 1.18 Memo-Revised Rule-R&R-Commenter Table ATT2 Rule 6.1 & 6.2 ABA Model Rule-Commenter TableATT3 ABA Model Rules Rejected
Model Rule 1.18 Duties to Prospective Clients
Model Rule 2.3 Evaluation for Use by Third Parties
Model Rule 5.7 Responsibilities Regarding Law Related Services
Model Rule 6.1 Voluntary Pro Bono Publico Service
Model Rule 6.2 Accepting Appointments
Model Rule 6.4 Law Reform Activities
Model Rule 7.6 Political Contributions to Obtain Government Engagements or Appointments by Judges
Model Rule 8.3 Reporting Professional Misconduct
Closed Session




ADJOURN


In compliance with the Americans with Disabilities Act, those requiring accommodations at this meeting should notify Carol Madeja at (213) 765-1329. Please provide notification at least 72 hours prior to the meeting to allow sufficient time to make arrangements for accommodations at this meeting.

The notice and agenda is available at: Meetings: Board of Trustees