CLEC key terms

An evidentiary rule shielding confidential communications between a client and lawyer, made for the purpose of obtaining legal advice, from compelled disclosure by the client or lawyer in legal proceedings.

The broader ethical obligation, wider than privilege, to keep all information relating to the representation private, including facts learned from third parties and observations, unless the client consents or an exception applies.

Exception allowing disclosure of otherwise protected communications when the client used the lawyer's services to commit or further a crime or fraud, typically requiring prima facie evidence that the client knew or should have known of the misuse.

Protection for materials a lawyer prepares in anticipation of litigation, giving qualified immunity from discovery that can be overcome by substantial need and undue hardship to the opposing party.

A client's agreement to a course of action after the lawyer has communicated adequate information about the material risks, alternatives, and consequences, including the lawyer's own interests where a conflict exists.

A situation where the lawyer's own interests, or duties to another current or former client or third person, create a substantial risk that representation will be materially limited or loyalty compromised.

A restriction preventing a lawyer from representing a new client in a matter substantially related to earlier work for a former client, or against that former client, where confidential information could be used to the disadvantage of the former client.

The standard for former-client conflicts: matters are substantially related if they involve the same transaction or dispute, or if confidential information from the prior representation could materially advance the new one.

The rule that one lawyer's conflict of interest is attributed to all lawyers in the firm, generally disqualifying the entire firm unless the personally disqualified lawyer is timely screened and the former client is notified.

An arrangement isolating a conflicted lawyer from a matter, including no sharing of fees or information about the matter, used to avoid firm-wide disqualification in certain former-client and government-lawyer situations.

A client's prospective consent to a type of future conflict, effective only if the client is informed of the material risks and the waiver is sufficiently specific and open-ended enough to permit informed consent.

A deal between lawyer and client that is permissible only if the terms are fair and fully disclosed in writing, the client is advised to seek independent counsel, and the client gives informed written consent.

The lawyer's duty to possess and apply the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation, including researching unfamiliar fields or associating with experienced counsel.

The obligation to pursue a matter on behalf of a client with reasonable promptness and commitment, without neglect, and to carry through to conclusion despite obstacles or the lawyer's personal inconvenience.

The duty to keep a client reasonably informed about significant developments, respond to reasonable requests for information, and explain matters sufficiently for the client to make informed decisions.

The prohibition on contacting a person the lawyer knows is represented by counsel about the subject of that representation, absent consent of that counsel or authorization by law or court order.

Dealings with a non-lawyer who is not represented require the lawyer to avoid implying disinterest, correct any misunderstanding about the lawyer's role, and not give legal advice other than to secure counsel.

The standard requiring lawyers to deal honestly with adversaries, avoid frivolous or harassing tactics, refrain from obstructing access to evidence, and not knowingly make false statements of fact or law.

The duty of honesty to the court, including disclosing adverse legal authority not cited by opposing counsel, correcting false statements of material fact or law, and not offering evidence known to be false.

A position asserted without any reasonable basis in law or fact, or advanced to harass or delay, which a lawyer must not bring or defend and must withdraw if it becomes apparent during litigation.

A client's false testimony that triggers the lawyer's duty to attempt to persuade the client to correct it and, failing that, to take reasonable remedial measures, possibly including disclosure to the court.

A fee arrangement in which compensation is contingent on the outcome, permitted in civil matters if in writing, signed by the client, and stating the method of calculation; prohibited in criminal and most domestic relations cases.

A fee that reflects factors such as time and labor required, novelty and skill involved, customary charges, the amount at stake, time constraints, the lawyer's experience, and whether the matter precludes other work.

The written or oral understanding setting out the basis or rate of the fee and expenses, which must be communicated to the client before or within a reasonable time after commencing the representation.

A payment to secure a lawyer's availability rather than to prepay services; the term also describes advance fee deposits, which must be held in trust until earned and are refundable to the extent unearned.

A separate account, typically interest-bearing for the client's benefit, in which client and third-party funds are held, kept apart from the lawyer's own money and reconciled regularly.

The improper mixing of client funds with the lawyer's own funds or firm operating money in a trust account, prohibited even where the lawyer's share is identifiable and could be withdrawn.

The duty to hold client or third-person property in trust, identify and label it, keep records, account for it on request, and promptly deliver funds or property to which the person is entitled.

A fee so excessive or improper that it shocks the conscience, judged by the reasonable-fee factors and the circumstances at the time the fee was set, and subject to discipline and disgorgement.

Direct in-person, live telephone, or real-time electronic contact with a prospective client for professional employment, prohibited when the significant motive is the lawyer's pecuniary gain, subject to limited exceptions.

Communications about a lawyer's services to the public, which must not be false or misleading and must include required disclosures, but which are generally subject to less restriction than direct solicitation.

Advertising that contains a material misrepresentation of fact or law, omits a fact necessary to avoid misleading, or creates an unjustified expectation about results the lawyer can achieve.

Written or recorded solicitation sent to a specific prospective client known to need legal services, generally permitted if not false or misleading and clearly labeled as advertising.

A statement that a lawyer is a specialist or certified in a field, permissible only when the lawyer has been certified by an approved organization and the communication states the certifying body and any required disclaimer.

The duty of a lawyer who knows of another lawyer's violation raising a substantial question as to honesty, trustworthiness, or fitness to practice to inform the appropriate authority, subject to confidentiality limits.

Conduct violating the rules of professional conduct, including crimes reflecting adversely on honesty or fitness, dishonesty, fraud, and conduct prejudicial to the administration of justice.

A partner's or supervising lawyer's duty to make reasonable efforts to ensure the firm has measures giving reasonable assurance that all lawyers and non-lawyers conform to the rules of professional conduct.

A lawyer is generally bound by the rules even when acting at another's direction, but is not disciplined for following a supervisory lawyer's reasonable resolution of a debatable professional question.