Proposed Rules of Professional Conduct
History of Current Rules Development
The Rules of Professional Conduct were the subject of comprehensive revisions that became operative on November 1, 2018. Go to the Current Rules page for the text of the rules. This page provides background on the development of the rules. For information on rule amendments that were adopted and became operative after November 1, 2018, go to the Ethics News page.
Just as reviewing the legislative history of a statute can aid in statutory interpretation, reviewing the history of a rule of professional conduct can help you interpret the rule. New and amended rules of professional conduct are promulgated by order of the Supreme Court of California. The Board of Trustees of the State Bar of California has authority to adopt rule amendments and submit them to the Supreme Court for approval. Only amendments approved by the Supreme Court become binding upon licensees. The background that is here provided includes reports and other materials produced by the special commission that was assigned by the Board to develop the proposed amendments.
The pdfs provided for each of the proposed rules include executive summaries, reports and recommendations, dissents (if any), and other additional background information which was provided in the filing submitted to the Supreme Court. The report and recommendations include clean and redline version of the rule and an analysis of changes. Full text of public comments received and public comment synopsis tables have not been included. These documents are available upon request by contacting Mimi Lee at: mimi.lee@calbar.ca.gov.
|
Proposed Rule
|
CAL
|
Title
|
PDF
|
|---|---|---|---|
|
1.0
|
1-100
|
Purpose and Function of the Rules of Professional Conduct | |
|
1.0.1
|
1-100(B)
|
Terminology | |
|
1.1
|
3-110
|
Competence | |
| 1.2 | Scope of Representation and Allocation of Authority | ||
| 1.2.1 | 3-210 | Advising or Assisting the Violation of Law | |
| 1.3 | 3-110(B) | Diligence | |
|
1.4
|
3-500
|
Communication with Clients | |
|
1.4.1
|
3-510
|
Communication of Settlement Offers | |
| 1.4.2 | 3-410 | Disclosure of Professional Liability Insurance | |
|
1.5
|
4-200
|
Fees for Legal Services | |
|
1.5.1
|
2-200
|
Fee Divisions Among Lawyers | |
|
1.6
|
3-100
|
Confidential Information of a Client | |
| 1.7 | 3-310(B)-(C) | Conflict of Interest: Current Clients | |
| 1.8.1 | 3-300 | Business Transactions with a Client and Pecuniary Interests Adverse to a Client | |
|
1.8.2
|
Use of Current Client's Information | ||
|
1.8.3
|
4-400
|
Gifts from Client | |
|
1.8.5
|
4-210
|
Payment of Personal or Business Expenses Incurred by or for a Client | |
| 1.8.6 | 3-310(F) | Compensation from One Other Than Client | |
| 1.8.7 | 3-310(D) | Aggregate Settlements | |
| 1.8.8 | 3-400 | Limiting Liability to Client | |
|
1.8.9
|
4-300
|
Purchasing Property at a Foreclosure or a Sale Subject to Judicial Review | |
| 1.8.10 | 3-120 | Sexual Relations with Current Client | |
| 1.8.11 | Imputation of Prohibitions Under Rules 1.8.1 to 1.8.9 | ||
|
1.9
|
3-310
|
Duties to Former Clients | |
| 1.10 | Imputation of Conflicts of Interest: General Rule | ||
| 1.11 | Special Conflicts of Interest for Former and Current Government Officials and Employees | ||
| 1.12 | Former Judge, Arbitrator, Mediator or Other Third-Party Neutral | ||
| 1.13 | 3-600 | Organization as Client | |
| 1.14 | Client with Diminished Capacity | ||
| 1.15 | 4-100 | Safekeeping Funds and Property of Clients and Other Persons | |
| 1.16 | 3-700 | Declining or Terminating Representation | |
| 1.17 | 2-300 | Sale of a Law Practice | |
| 1.18 | Duties to Prospective Client | ||
| 2.1 | Advisor | ||
|
2.4
|
Lawyer as Third-Party Neutral | ||
|
2.4.1
|
1-710
|
Lawyer as Temporary Judge, Referee, or Court-Appointed Arbitrator | |
| 3.1 | 3-200 | Meritorious Claims and Contentions | |
| 3.2 | Delay of Litigation | ||
|
3.3
|
5-200(A)-(D)
|
Candor Toward the Tribunal | |
|
3.4
|
5-200(E) / 5-220 / 5-310
|
Fairness to Opposing Party and Counsel | |
|
3.5
|
5-300 / 5-320
|
Contact With Judges, Officials, Employees and Jurors | |
|
3.6
|
5-120
|
Trial Publicity | |
| 3.7 | 5-210 | Lawyer as Witness | |
| 3.8 | 5-110 / 5-220 | Special Responsibilities of a Prosecutor | |
| 3.9 | Advocate in Nonadjudicative Proceedings | ||
|
3.10
|
5-100
|
Threatening Criminal, Administrative, or Disciplinary Charges | |
| 4.1 | Truthfulness in Statements to Others | ||
|
4.2
|
2-100
|
Communication with a Represented Person | |
|
4.3
|
Communicating with an Unrepresented Person | ||
| 4.4 | Duties Concerning Inadvertently Transmitted Writings | ||
|
5.1
|
Responsibilities of Managerial and Supervisory Lawyers | ||
|
5.2
|
Responsibilities of a Subordinate Lawyer | ||
|
5.3
|
Responsibilities Regarding Nonlawyer Assistants | ||
|
5.3.1
|
1-311
|
Employment of Disbarred, Suspended, Resigned, or Involuntarily Inactive Lawyer | |
|
5.4
|
1-320 / 1-310 / 1-600
|
Financial and Similar Arrangements with Nonlawyers | |
|
5.5
|
1-300
|
Unauthorized Practice of Law; Multijurisdictional Practice of Law | |
|
5.6
|
1-500
|
Restrictions on a Lawyer’s Right to Practice | |
|
6.3
|
Membership in Legal Services Organization | ||
|
6.5
|
1-650
|
Limited Legal Services Programs | |
| 7.1 | 1-400 | Communications Concerning a Lawyer’s Services | |
| 7.2 | 1-320(B)-(C) & (A)(4) / 1-400 / 2-200 | Advertising | |
| 7.3 | 1-400 | Solicitation of Clients | |
| 7.4 | 1-400 | Communication of Fields of Practice and Specialization | |
| 7.5 | 1-400 | Firm Names and Trade Names | |
|
8.1
|
1-200
|
False Statement Regarding Application for Admission to Practice Law | |
|
8.1.1
|
1-110
|
Compliance with Conditions of Discipline and Agreements in Lieu of Discipline | |
|
8.2
|
1-700
|
Judicial Officials | |
|
8.4
|
1-120
|
Misconduct | |
| 8.4.1 | 2-400 | Prohibited Discrimination, Harassment and Retaliation | |
|
8.5
|
1-100(D)
|
Disciplinary Authority; Choice of Law |