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Supreme Court Rules

These rules are all the codified Nebraska Supreme Court Rules.

CHAPTER 1: ADMINISTRATIVE OPERATIONS

(cite as Neb. Ct. R. §, unless otherwise noted)

Article 1: Adoption, Amendment, and Repeal of Supreme Court Rules

§ 1-101. Statement of purpose.

   These guidelines are intended to aid the Supreme Court in the process of evaluation and enactment of Supreme Court rules and other necessary rules covering the practice of law and the administration of the judicial system.

§ 1-101 amended February 11, 2009, effective March 1, 2009.

§ 1-102. Definitions.

   In this rule, unless the context or subject matter otherwise requires:

   (A) "Official Supreme Court Rules" refer to the codified Nebraska Court Rules, Chapters 1 through 6, and amendments thereto.

   (B) "Miscellaneous Supreme Court Rules" refer to Supreme Court rules, other than the codified Nebraska Court Rules referred to above, guidelines, policies, and best practices and amendments thereto, which are of general application relating to the operation of the judicial system and subject to the approval of the Nebraska Supreme Court.

   (C) "External Rules" refer to rules and rule amendments of other courts, commissions, or entities which are subject to the approval of the Nebraska Supreme Court.

Rule II(A) and (B) amended October 14, 1999. Renumbered and codified as § 1-102, effective July 18, 2008; § 1-102(A) to (C) amended February 11, 2009, effective March 1, 2009.

§ 1-103. Rules consideration.

   (A) Requests to consider the creation, amendment, or repeal of any rule as defined by § 1-102(A), (B), or (C) may be initiated by action of the Supreme Court or by any interested party, unless an existing rule contains specific language providing for procedure for amendment. Such request shall be submitted to the Clerk of the Supreme Court. The new rule or amendment shall be submitted, as a document separate from the request, both in writing and in an electronic format as an attachment to the following e-mail address, lanet.asmussen@nebraska.gov, and shall be in a Microsoft Word compatible format. Any language that creates a rule or is to be added to a rule shall be underscored, and any language to be deleted from a rule shall be overstruck. Any request submitted to the Clerk shall be rejected by that office and returned to the requesting party if it fails to comply with the requirements set forth above.

   (B) The Supreme Court may:

   (1) accept or approve the request and send it to the Reporter of Decisions for editing and formatting and subsequent resubmission to the Court for approval or adoption,

   (2) deny the request, or

   (3) defer action pending:

   (a) additional comment from requestor,

   (b) comment from staff or committee, or

   (c) a formal written comment period.

   (C) In the case of deferral pending a formal written comment period, notification of the pending rule amendments and solicitation of comment may be made in any publication(s) deemed advisable by the Supreme Court and notification of the pending rules requests and solicitations for comments may also be provided, as directed by the Court, to those identified as having a potential interest.

   Any formal written comment period shall be for the period of time specified by the Court in such notification.

   (D) At the completion of the comment period established above, the Court may accept, reject, or modify the rules request under discussion; the Court may request further written comment as provided in § 1-103(C) of this rule; or the Court may on its own motion or on the request of an interested party hold a public hearing on the rule amendment sought.

   (E) If the Supreme Court determines to hold a public hearing on a proposed rule amendment, notification shall be given in the same manner as specified by § 1-103(C) of this rule. Such notification shall also contain the time and place scheduled for the hearing and the method by which the entire proposed rule amendment can be secured.

   (F) Upon completion of the procedures set forth in above § 1-103(C), (D), and (E), and prior to Supreme Court consideration for initial acceptance or approval, such rule or amendment shall, unless otherwise directed by the Court, be reviewed by the Supreme Court Staff Attorney for any comments or recommendations to the Court. Upon report by the Staff Attorney and consideration of all other relevant materials, the Court shall accept, approve, or deny the requested rule or amendment or take further action as it deems appropriate.

   After Court approval of a new rule or amendment to the "Official Supreme Court Rules," the approved rule or revision shall be forwarded to the Reporter of Decisions Office for editing and formatting. The Reporter shall thereafter return the edited and formatted version of the rule or amendment to the Court for final adoption.

   After Court acceptance of any new rule or amendment to any "Miscellaneous Supreme Court Rules" or "External Rules," the accepted version shall be forwarded to the Reporter of Decisions Office for editing and formatting. The Reporter of Decisions shall thereafter return the edited and formatted version of the rule or amendment to the Court for final approval.

Rule III(A), (B), and (C) amended October 14, 1999; Rule III(F) adopted October 14, 1999; Rule III(A) amended June 5, 2002.  Renumbered and codified as § 1-103, effective July 18, 2008; § 1-103(A) to (F) amended February 11, 2009, effective March 1, 2009.

§ 1-104. Rules publication and distribution.

   (A) After adoption or approval by the Court of any new rule or amendment in the "Official Supreme Court Rules," "Miscellaneous Supreme Court Rules," or "External Rules," the Reporter of Decisions Office shall make changes to the rules as maintained on the Supreme Court's website. "Official Supreme Court Rules," as well as local court rules and Workers' Compensation Court rules within the "External Rules," recent amendments to such rules, and proposed amendments pending for comment, shall be available on the Supreme Court’s website at http://www.supremecourt.ne.gov/rules/. Any person requesting a complete or partial printed copy of the Court’s rules from the Clerk of the Supreme Court may be charged a fee as established by the Supreme Court and postage required for mailing such rules.

   (B) All new rules or amendments to the "Official Supreme Court Rules," except for minor grammatical or editorial changes, shall be published in the Nebraska Advance Sheets for 2 consecutive weeks. All new rules or amendments to "External Rules" shall be published in the Nebraska Advance Sheets for 1 week. New rules or amendments to any "Miscellaneous Supreme Court Rules" may be published as directed by the Court.

Rule IV amended October 14, 1999; Rule IV amended June 5, 2002. Renumbered and codified as § 1-104, effective July 18, 2008; § 1-104(A) and (B) amended February 11, 2009, effective March 1, 2009.

§ 1-105. Limitations.

   Nothing in this rule shall act to limit the Supreme Court from enacting such rules or adopting such orders as it deems necessary on an emergency basis.

Rule V amended October 14, 1999. Renumbered and codified as § 1-105, effective July 18, 2008; § 1-105 repealed and § 1-106 renumbered to § 1-105 on February 11, 2009, effective March 1, 2009.

Article 2: Court Reporting Personnel

(Rules Relating to Official Court Reporters amended Feb. 1, 1995. Renumbered and codified as Neb. Ct. R. §§ 1-201 to 1-218, effective July 18, 2008. Neb. Ct. R. §§ 1-201 to 1-219 amended June 9, 2010.)

Appendix 1 - Official court reporter monthly timesheet.

§ 1-201. Purpose; appointment or designation of court reporting personnel.

   (A) The purpose of §§ 1-201 through 1-219 is to provide for the appointment of court reporting personnel, as defined in § 1-204(A)(1), to perform the duties required by Nebraska Supreme Court rules for the recording and preservation of evidence and preparation of bills of exceptions in all cases in the district and separate juvenile courts. As set forth below, court reporting personnel shall be appointed, designated, or in accordance with these rules contracted with, by a judge of the district or separate juvenile court to perform the duties required by these rules and all other Nebraska Supreme Court rules relating to the making, preserving, transcribing, and delivery of court records.

   (1) Appointment of official court reporters. Except as otherwise ordered or directed by the Nebraska Supreme Court, a judge of the district and separate juvenile court may appoint or, with approval from the State Court Administrator, may contract with one official court reporter to make, preserve, transcribe, and deliver the record of the trial and other proceedings over which said judge presides. Such an official court reporter is an at-will employee of the Nebraska Supreme Court, subject to the Court’s general administrative authority pursuant to art. V, § 1, of the Nebraska Constitution, and serves at the pleasure of the appointing judge and the Nebraska Supreme Court, unless otherwise discharged from employment as provided in § 1-204(D).

   (2) Appointment of courtroom clerks. A judge of the district court and separate juvenile court may appoint a courtroom clerk to make, preserve, and deliver the record of the trial and other proceedings over which said judge presides using digital recording equipment provided by the Administrative Office of the Courts. Such courtroom clerk is subject to the general administrative authority of the Nebraska Supreme Court pursuant to art. V, § 1, of the Nebraska Constitution, works under the direction of the appointing judge and State Court Administrator, and is subject to the Nebraska Supreme Court Personnel Policies & Procedures. The provisions of § 1-201(A)(2) do not prohibit a judge, in his or her discretion, from contracting with a court reporter having the qualifications of an official court reporter if extenuating circumstances or a specific case so require.

   (3) Designating other court personnel to act as court reporting personnel. In his or her discretion, a judge opting to use digital recording equipment in his or her courtroom to make and preserve the record of a trial and other proceedings may, temporarily under § 1-213 or in lieu of appointing a courtroom clerk under § 1-201(A)(2), designate other court personnel as defined in § 1-204(A)(4) to perform the duties of a courtroom clerk. The provisions of § 1-201(A)(3) do not prohibit a judge, in his or her discretion, from contracting with a court reporter having the qualifications of an official court reporter if extenuating circumstances or a specific case so require.

   (B) Except as otherwise provided herein, if the office of the appointing judge is vacated, and the Judicial Resources Commission declares that a judicial vacancy exists in the affected district, the official court reporter or courtroom clerk may continue in that position until either reappointment by a successor judge or the appointment of replacement court reporting personnel.

   (C) If the office of the appointing judge is vacated and the Judicial Resources Commission determines that a judicial vacancy does not exist in the affected district, the official court reporter or courtroom clerk in such district shall vacate that position 90 days from the date of such determination by the commission.

Rule 1(A) through (C) amended February 28, 1996; Rule (A) amended June 5, 2002. Renumbered and codified as § 1-201, effective July 18, 2008; § 1-201 amended June 9, 2010.

§ 1-202. Oath of office.

   Court reporting personnel shall take the oath of office provided for judicial officers.

§ 1-202 amended June 9, 2010.

§ 1-203. Duties of court reporting personnel.

   Court reporting personnel are charged with a duty to comply with any Nebraska Supreme Court rule relating to official court reporters and courtroom clerks and, in accordance with the specific terms of such employment and qualifications, with the duty of making, preserving, transcribing, and/or delivering a verbatim record of all proceedings in the court to which they are appointed in accordance with Neb. Ct. R. App. P. § 2‑105. Except as otherwise directed by the State Court Administrator, all digital recordings made by courtroom clerks or other court personnel as defined in § 1-204(A)(4) shall be outsourced for transcription to privately contracted court transcribers who shall meet the minimum qualifications set forth in § 1-204(B)(2). Failure to comply with court rules may result in disciplinary action, including termination, by either the appointing judge or the Nebraska Supreme Court. In addition, court reporting personnel shall perform any other duties assigned by the appointing judge and shall, in accordance with the specific terms of such employment and qualifications:

   (A) On order of the trial judge, make or have made and file in the clerk's office a typewritten transcription of any trial or proceedings, or any part thereof, without expense to any party to the suit; such transcription shall be a part of the records in the case. An official court reporter or privately contracted court transcriber shall receive from the appropriate governmental unit the compensation specified below in § 1-219 for any such transcription ordered by a judge.

   (B) Upon request of counsel or any party to a suit, furnish to such counsel or party, as expeditiously as possible, a typewritten transcription of any trial or proceedings, or any portion thereof. An official court reporter or privately contracted court transcriber shall receive the compensation specified below in § 1-219 for any such transcription, except that when expedited, daily, or real-time delivery is requested, the official court reporter or privately contracted court transcriber and the requesting party may mutually agree to an amount to be paid for delivery of such transcription. Counsel or any party shall make satisfactory arrangements with the official court reporter or privately contracted court transcriber for payment. All work of an official court reporter involved with the preparation of such transcription shall be considered freelance activity subject to § 1-211.

   (C) Upon request of any person not a party to a suit, if so approved by the trial judge, furnish to such person or have prepared for such person, as expeditiously as possible, a typewritten transcription of any trial or proceedings, or any portion thereof. All work of an official court reporter involved with the preparation of such transcription shall be considered freelance activity subject to § 1-211. The compensation and payment therefor shall be as prescribed in § 1-203(B).

   (D) All verbatim transcriptions shall be certified by the person responsible for preparation of the verbatim transcription or the presiding judge to be true and correct.

Rule 3(A), (B), and (C) amended June 19, 1996; Rule 3 amended June 5, 2002; Rule 3(A) and (B) amended June 22, 2005; Rule 3(B) amended February 15, 2006. Renumbered and codified as § 1-203, effective July 18, 2008; § 1-203 amended June 9, 2010.

§ 1-204. General qualifications and definitions.

   (A)(1) Court reporting personnel. Court reporting personnel shall include official court reporters, courtroom clerks, and other court personnel as defined in § 1-204(A)(4) who, in whole or in part according to the terms of their employment, make, preserve, transcribe, and deliver the record of any trial and other proceeding in any district or separate juvenile court of Nebraska.

   (2) Official court reporter. An official court reporter shall be competent in the making, preserving, transcribing, and delivery of a verbatim record of trial and other proceedings through the use of either pen or machine shorthand or the use of multi-track recorders supplemented by logging procedures. An official court reporter shall meet all of the qualifications set forth in § 1-204(B)(1) and (2).

   (3) Courtroom clerk. A courtroom clerk shall be an individual employed by the court to record testimony by the use of digital recording equipment supplemented by logging procedures. A courtroom clerk shall be competent in the making and preserving of a verbatim record of a trial and other proceedings and shall meet the qualifications set forth in § 1-204(E).

   (4) Other court personnel. For purposes of these rules, “other court personnel” shall mean persons employed within the Nebraska court system who are under the control or supervision of the Nebraska Supreme Court or the designating judge and who have been trained in the use of digital recording equipment and meet the qualifications set forth in § 1-204(E).

   (B)(1) One's professional competence to serve as an official court reporter shall be demonstrated by having passed an examination conducted by such entities as the State Court Administrator may from time to time designate, which tests one's reporting skills and knowledge of spelling, grammar, and the reporting craft. The skills portion of the examination shall require the reporter, in the case of one using pen or machine shorthand, to report and transcribe, and in the case of one using a multi-track recorder to record and transcribe, each of three items of dictation consisting of (i) literary material, (ii) jury instructions, and (iii) two-voice testimony. Each dictation segment shall be of 5 minutes duration. In the case of one using pen or machine shorthand, the literary material must be reported at a rate of not less than 180 words per minute, the jury charge at not less than 200 words per minute, and the two-voice testimony at not less than 225 words per minute.

   (2) All of the dictated material must be transcribed with 95 percent accuracy in a period of not more than 3½ hours, during which time a dictionary may be used. In grading this portion of the test, a maximum of 45 errors is permitted on the literary material, a maximum of 50 errors is permitted on the jury charge, and a maximum of 57 errors is permitted on the two-voice testimony. The knowledge portion of the examination shall consist of not less than 100 written multiple-choice questions and must be passed with a score of not less than 70 percent in a period of time as determined by the examiner, but no more than 90 minutes per 100 questions. A dictionary may not be used during this portion of the examination.

   (C) No applicant for a position as an official court reporter may hereafter be initially appointed or reappointed following the taking of office by a judge succeeding the judge making the initial appointment unless the applicant shall first have met the above testing requirements.

   (D) After employment, an official court reporter may be required to undergo reexamination through testing substantially similar to that described in § 1-204(B) any time upon the request of the appointing judge, the Nebraska Court of Appeals, or the Nebraska Supreme Court. Failure to pass the reexamination shall constitute cause for the immediate discharge of the official court reporter from employment.

   (E) One’s professional competence to serve as a courtroom clerk shall be demonstrated by the following minimum criteria and competency requirements:

   (1) successful completion of training on use and maintenance of digital recording equipment;

   (2) ability to promptly diagnose and correct routine malfunctions;

   (3) proficiency in note taking and logging procedures;

   (4) knowledge of courtroom procedures and legal vocabulary; and

   (5) knowledge of the proper admission of exhibits to be included in the bill of exceptions.

   (F) After employment, the courtroom clerk may be required to undergo a competency evaluation based on the criteria found in § 1-204(E) at any time upon the request of the judge, the Nebraska Court of Appeals, or the Nebraska Supreme Court. Failure to meet such competency criteria shall constitute cause for action pursuant to the Nebraska Supreme Court Personnel Policies & Procedures.

Rule 4(B) amended February 23, 2006. Renumbered and codified as § 1-204, effective July 18, 2008; § 1-204 amended June 9, 2010.

§ 1-205. Place of residence of official court reporter or courtroom clerk.

   The place of residence of the official court reporter or courtroom clerk shall be determined by the appointing judge.

§ 1-205 amended June 9, 2010.

§ 1-206. Principal office location of judge and official court reporter or courtroom clerk.

   Each judge, in a district where the judge and official court reporter or courtroom clerk do not reside in the same county, shall designate, if a multicounty district, a courthouse in the judicial district to serve as the principal office location for the judge and a courthouse in the judicial district to serve as the principal office location for the court reporting personnel.

§ 1-206 amended June 9, 2010.

§ 1-207. Assignment of court reporting personnel.

   (A) All court reporting personnel may be assigned by the State Court Administrator to perform duties on a temporary basis in any court in the state.

   (B) Any court reporting personnel assigned on a temporary basis pursuant to § 1-207(A) shall receive, in addition to a regular salary, reimbursement for all necessary and actual expenses incurred, in conformance with the travel policies of the Administrative Office of the Courts. Mileage in such instances will be paid to and from the place of residence of the assigned court reporting personnel.

§ 1-207 amended June 9, 2010.

§ 1-208. Court reporting personnel acting when another judge presides.

   Unless otherwise directed by the appointing judge, court reporting personnel shall serve as such in all matters heard by another judge when acting in place of the appointing judge, and shall perform in relation to such matters all the duties required by law or these rules.

§ 1-208 amended June 9, 2010.

§ 1-209. Reimbursement for travel expenses.

   Court reporting personnel shall be reimbursed for actual and necessary expenses incurred in the performance of official duties. Reimbursement shall be in accordance with the travel policies of the Administrative Office of the Courts.

§ 1-209 amended June 9, 2010.

§ 1-210. Custody of trial records and documents.

   (A) All shorthand notes, tape recordings, log sheets, or any other material used in making the record in court shall be the property of the trial court and shall, unless otherwise ordered or directed by the judge for whom the record is made, remain in the custody of the court reporting personnel responsible for making such record until such time as that person's employment is terminated, or until disabled or incapacitated. Upon the occurrence of any of the above, control of all such materials shall then be transferred to the clerk of the district court. All notes of court reporting personnel shall be marked on the first page with the name of court reporting personnel, date(s) of proceedings, case title(s), docket number(s), and "Criminal" if criminal cases were reported. Notes which contain criminal cases are to be separated and stored in separate filing equipment or storage boxes. Containers for permanent storage shall be marked with the year, type of notes (criminal or civil), and name of the court reporting personnel responsible for making such record. Court reporting personnel may, with the approval of the clerk of the district court, transfer permanent storage containers to the clerk of the district court at any time. Responsibility for the retrieval, research, and refiling of the notes contained in the storage files shall lie with such court reporting personnel or successor(s). Custody of any such materials may be assumed at any time by the judge in the event of failure on the part of the court reporting personnel to properly carry out duties as required by law, court rule, or direction of the appointing judge.

   (B) Except as it shall become necessary to include exhibits in bills of exceptions being prepared in connection with appeals to the Nebraska Supreme Court or Court of Appeals, all exhibits shall be retained by the court reporting personnel responsible for custody of the record until a matter is terminated, at which time responsibility for the safekeeping of such exhibits shall pass to the clerk of the district court, unless otherwise ordered by a district judge pursuant to law. Likewise, the responsibility for the safekeeping of all exhibits shall pass to the clerk of the district court upon termination of employment of the court reporting personnel for whatever reason.

   (C) Upon the transfer of responsibility for the safekeeping of exhibits from the court reporting personnel to the clerk of the district court, the court reporting personnel shall ensure that all exhibits in each case are grouped together and shall state thereon the caption of the case, docket and page or case number, the date or dates of the trial or proceedings, and the name of the reporter or courtroom clerk. The court reporting personnel shall prepare in each case, for the signature of the clerk of the district court, a receipt acknowledging responsibility for the safekeeping of such materials. The original of the receipt shall be retained by the clerk.

§ 1-210 amended June 9, 2010.

§ 1-211. Freelance activities of official court reporters.

   (A) Freelance reporting activities shall mean the reporting or transcription by an official court reporter of oral statements or proceedings of any nature whatsoever, other than those required by these rules, those specifically requested by the judge who appointed the reporter, or for said judge's substitute, or by the State Court Administrator.

   (B) Except as provided for by these rules, an official court reporter may engage in freelance reporting activities during normal working hours if, and only if, the reporter takes leave without pay and said activities are determined by the judge who appointed the reporter to be in the interest of the public, provided, however:

   (1) The taking of leave without pay shall not be required if the freelance activity occurs during a reporter's lunch hour, while the reporter is on vacation leave, or while the reporter is taking compensatory time off.

   (2) Freelance reporting activities shall not be performed during any period in which the reporter is granted an extension to complete and file a bill of exceptions except for those activities related to the specific bill of exceptions for which the extension has been granted.

   (3)(i) Freelance reporting activities shall not be performed when the presence of the official court reporter is required by these rules, by the judge who appointed the reporter, by said judge's substitute, or by a judge to whom the reporter has been assigned by the State Court Administrator except, however, transcription described in § 1-203(B) or (C) may be performed during this time if the appointing judge or judge's substitute determines such transcription is in the best interests of the public, and the time spent at such transcription is not in conflict with any other duties of the official court reporter.

   (ii) If the reporter's full-time presence is not required by the appointing judge or judge's substitute during normal working hours, the reporter may, without taking leave without pay, engage in transcription described in § 1-203(B) or (C) only.

   (C) All other outside employment during normal working hours is prohibited.

   (D) An official court reporter shall neither provide nor cause to be provided any public office space to any of the reporter's employees or associates.

   (E) An official court reporter shall not use any publicly-owned supplies or equipment in connection with any freelance reporting activity. Provided, however, that permission to utilize state-owned equipment for purposes outside the scope of official court reporting duties may be given by the Nebraska Supreme Court if: (1) the equipment is to be used for purposes of recording proceedings of other public entities; (2) operation of the recording equipment by the reporter will not be during working hours nor in any other way interfere with the reporter's official responsibilities; and (3) payment of $10 to the State of Nebraska, through the office of the State Court Administrator, is made from any such public entity for each day or any part thereof that the equipment is used.

   (F) All leave without pay taken for the purpose of engaging in freelance activity shall be recorded on the monthly timesheet. The amount of income and the leave earnings on the following month's paycheck shall be adjusted to reflect any time recorded on the timesheet as leave without pay. Hours spent in transcription preparation under § 1-211(B)(3) during normal working hours shall be recorded on the monthly timesheet (Appendix 1).

   (G) An official court reporter shall not be eligible for injury leave or workers' compensation benefits for injury sustained while on leave without pay.

   (H) An official court reporter shall not evade the provisions of this rule by employing a substitute court reporter to perform any official duty.

Rule 11(A), (B), and (F) amended June 19, 1996. Renumbered and codified as § 2-211, effective July 18, 2008; § 1-211 amended June 9, 2010.

§ 1-212. Employment of substitute reporter; alternative substitute.

   (A) In the event of illness or disability of an official court reporter, and where it would appear to not be practical or feasible to reassign another official court reporter on a temporary basis, the judge of the ill or disabled reporter, with the approval of the State Court Administrator, may designate a reporter having passed an examination at least as stringent as that described in § 1-204(B)(1) and (2) to act as a substitute reporter, at state expense.

   (B) The preparation of any bill of exceptions or transcript by any such substitute reporter shall be subject to the same rules and regulations as those governing permanently employed official reporters.

   (C) Payment to such temporarily employed substitute reporter shall be on a per diem basis, and payment will be made only for the actual days such substitute reporter was required by the judge to be in attendance upon the court. Per diem payment may not be in excess of that figure which the ill or disabled reporter's gross monthly salary amounts to if computed on a per diem basis.

   (D) No substitute reporter shall be entitled to sick leave or any other benefits ordinarily available to the official court reporter for whom he or she is substituting.

   (E) Actual and necessary expenses, including mileage reimbursement, shall be paid to such substitute reporter under the same terms and conditions as those payments are then being made to the official court reporter for whom he or she is substituting.

   (F) Any additional reimbursements to a substitute reporter may only be made with the prior approval of the State Court Administrator.

   (G) As an alternative to the provisions of § 1-212(A) through (F), the appointing judge of an official court reporter may also, on a temporary basis, either request from the Administrative Office of the Courts or designate other court personnel, as defined by § 1-204(A)(4), to operate digital recording equipment in his or her courtroom for the purpose of making the record of proceedings.

§ 1-212 amended June 9, 2010.

§ 1-213. Employment of substitute courtroom clerk.

   In the event of the absence of a courtroom clerk, the appointing judge of such courtroom clerk may request from the Administrative Office of the Courts, any Nebraska Supreme Court employee meeting the competency requirements of § 1-204(E) to act as a substitute courtroom clerk. If such employee is not available, and where it would appear to not be practical or feasible to reassign an official court reporter on a temporary basis, the judge may designate a substitute reporter under the provisions of § 1-212 or, pursuant to § 1-201(A)(3), designate other court personnel as defined in § 1-204(A)(4) to perform the duties of the courtroom clerk.

§ 1-213 adopted June 9, 2010.

§ 1-214. Leave applicable to official court reporters.

   All leave, including holiday leave, vacation leave, sick leave, funeral leave, family leave, military leave, civil leave, injury leave, and workers' compensation disability leave, shall be taken as provided in the authorized leave policies of the Nebraska Supreme Court Personnel Policies & Procedures. Provided, however, that an official court reporter shall take vacation at the same time as or at the discretion of the appointing judge. If the reporter is permitted to take vacation at a time other than when the appointing judge takes vacation and the services of a substitute reporter are required by such judge, it shall be the obligation of the official court reporter taking vacation to arrange for the services of a substitute reporter at no cost to the State, unless otherwise determined by the State Court Administrator. The substitute reporter must have passed an examination at least as stringent as that described in § 1-204(B). The arrangement may not be implemented unless first approved by the State Court Administrator.

§ 1-213 renumbered to § 1-214 and amended June 9, 2010.

§ 1-215. Overtime applicable to official court reporters.

   (A) Overtime for official court reporters shall be earned and compensated for as provided in the overtime policies in the Nebraska Supreme Court Personnel Policies & Procedures, except as otherwise provided by the Court Reporter Fair Labor Amendments of 1995, 29 U.S.C. § 270(o)(6) and these rules. Except in cases of emergency, no overtime shall be approved during a workweek in which the reporter has engaged in freelance transcription under § 1-211(B)(3).

   (B) Any hours spent performing "freelance" transcription of court proceedings shall not be counted as "hours worked" for purposes of the overtime provisions of the Fair Labor Standards Act if:

   (1) the reporter is being paid not less than maximum per page rate established by § 1-219, or the per page rate freely negotiated between the reporter and the party requesting the transcript (other than the judge who presided over the proceedings), and

   (2) the hours spent performing such duties are outside the hours such reporter performs other work (including hours for which the court requires the reporter's attendance) pursuant to the employment relationship with the court; e.g., leave without pay, lunch hours, vacation leave, compensatory time off, or time where the reporter's attendance at any designated workplace is not required by the appointing judge, the judge's substitute, or the State Court Administrator.

Rule 14 adopted June 19, 1996; Rule 14(1) amended June 22, 2005. Renumbered and codified as § 1-214, effective July 18, 2008; § 1-214 renumbered to § 1-215 and amended June 9, 2010.

§ 1-216. Nebraska Official Court Reporters Association.

   There shall be an organization called the Nebraska Official Court Reporters Association, which shall consist of all official court reporters. This organization shall have as its purpose the improvement of court reporting in this state, by providing a forum for the exchange of ideas and to educate all reporters to more adequately and expeditiously handle the reporting needs of this state. The association shall adopt bylaws consistent with these rules, providing for the election of a president and such other officers as the association determines appropriate. The association shall have at least one meeting per year, which shall serve as an education seminar as provided by Judicial Branch Education, unless such annual meeting is canceled or suspended by order or direction of the Nebraska Supreme Court.

   If the judge who appointed the reporter requires the presence of an official court reporter during the time of the educational seminar, a substitute may be designated to replace the official court reporter while attending the seminar. This shall be at state expense.

Rule 14 renumbered to Rule 15 June 19, 1996; Rule 15 amended September 10, 1998; Rule 15 amended March 19, 2003; Rule 15 amended February 1, 2006; Rule 15 amended June 25, 2008, effective July 9, 2008. Renumbered and codified as § 1-215, effective July 18, 2008; § 1-215 renumbered to § 1-216 and amended June 9, 2010.

§ 1-217. Preparation and delivery of bill of exceptions or transcription by another official court reporter.

   (A) In the event a bill of exceptions or transcription of a trial or proceeding is required after an official court reporter who reported the same has left his or her position, but who retains residency in this state, such bill of exceptions or transcription shall be prepared by that person, under the same requirements, time limitations, and rate of compensation as that in existence for official court reporters.

   (B) In the event a bill of exceptions or transcription of some trial or proceeding is required after the official court reporter who reported the same has left his or her position, and who no longer is a resident of this state, such bill of exceptions or transcription shall be prepared by the successor reporter, provided the same method of recording court proceedings is employed by such successor reporter.

   (C) There shall be established within the Nebraska Official Court Reporters Association a committee of official court reporters whose function will be, in the event the provisions of § 1-217(A) and (B) cannot be implemented, to prepare any bill of exceptions or transcription required.

   (D) In the event a bill of exceptions or transcription of some trial or proceeding is required, but the official court reporter who reported the same is temporarily ill or disabled to the extent that delivery of the same would be unduly delayed, then the provisions of § 1-217(C) shall become effective.

   (E) In cases where a bill of exceptions or transcription is prepared by an official court reporter who did not make the actual record in court, the certificate shall set forth that the bill of exceptions or transcription was prepared from the record made by the unavailable reporter, and that the bill of exceptions or transcription is full, true, and correct to the best of the preparing reporter's ability to compile such bill of exceptions or transcription.

Rule 15 renumbered to Rule 16 June 19, 1996. Renumbered and codified as § 1-216, effective July 18, 2008; § 1-216 renumbered to § 1-217 and amended June 9, 2010.

 

§ 1-218. Other related policies.

   The workplace harassment policy, the drug-free workplace policy, and travel policies apply to all court reporting personnel. Copies of these policies are available through the Administrative Office of the Courts and are also printed in the Nebraska Supreme Court Personnel Policies & Procedures manual.

Rule 18 adopted February 10, 1999; Rule 17 deleted and Rule 18 renumbered to Rule 17 November 22, 2000. Renumbered and codified as § 1‑217, effective July 18, 2008; § 1-217 renumbered to § 1-218 and amended on June 9, 2010.

§ 1-219. Per-page compensation.

   Effective June 8, 2005, the per-page fee to which an official court reporter or privately contracted court transcriber is entitled, as prescribed by the Nebraska Supreme Court pursuant to Neb. Rev. Stat. § 25-1140.09, shall be $3.25 per page for an original copy of a bill of exceptions and 50 cents per page for each additional copy, with numbering to begin with the cover page.

Rule 18 adopted June 22, 2005. Renumbered and codified as § 1-218, effective July 18, 2008; § 1-218 renumbered to § 1-219 and amended June 9, 2010.

Article 3: Digital Signatures by Court Personnel.

(Rule Governing Use of Digital Signatures by Authorized Court Personnel adopted July 19, 2006. Renumbered and codified as Neb. Ct. R. §§ 1‑301 to 1-308, effective July 18, 2008.)

§ 1-301. Statutory authority.

   This rule is promulgated under the authority of Neb. Rev. Stat. § 86‑611(3).

§ 1-302. Purpose.

   The purpose of this rule is to establish standards for use of digital signatures by authorized personnel of the Nebraska Courts.

§ 1-303. Scope.

   This rule shall apply to all Nebraska judges and court personnel authorized to use digital signatures. The use of digital signatures is not mandated by this rule but is available to authorized court personnel who wish to utilize this technology.

§ 1-304. Authorized court personnel.

   For purposes of this rule governing the use of digital signatures, authorized court personnel shall be defined as, and limited to, the following persons only:

   (A) Chief Justice and judges of the Nebraska Supreme Court,

   (B) judges of the Nebraska Court of Appeals,

   (C) district court judges,

   (D) separate juvenile court judges,

   (E) county court judges,

   (F) workers’ compensation court judges,

   (G) clerk of the Nebraska Supreme Court and Court of Appeals,

   (H) clerks of the district court,

   (I) clerk magistrates,

   (J) clerk of the workers’ compensation court, and

   (K) judicial administrators.

§ 1-304 amended February 2, 2012.

§ 1-305. Acceptable technology and practices.

   For a digital signature to be valid for use under this rule, it must be created by technologies and practices that are accepted for use by the Nebraska Supreme Court and conform to the definitions set forth below:

   (A) unique to the person using it;

   (B) capable of verification;

   (C) under the sole control of the person using it;

   (D) linked to data in such a manner that if the data is changed, the digital signature is invalidated; and

   (E) conforms to the rules governing use of digital signatures adopted and promulgated by the Nebraska Supreme Court.

§ 1-306. Terms of use.

   Digital signatures may be used by authorized court personnel in the issuance of all documents produced:

   (A) By the JUSTICE system or automated Docket application under the control of the JUSTICE system, including, but not limited to, orders and warrants.

   (1) The JUSTICE system and the Docket application are maintained by the Nebraska Supreme Court for exclusive use by authorized court personnel.

   (2) JUSTICE is the Nebraska Supreme Court’s Case and Financial Management System for Nebraska trial courts.

   (3) Docket is a JUSTICE system application which provides interactive programs designed to record judicial proceedings in the courtroom thereby creating a printed record for a judge to digitally sign and issue an official document.

   (B) By the Nebraska Workers’ Compensation Court Case Management System under the control of the Nebraska Workers’ Compensation Court, including, but not limited to, orders.

   (1) The Nebraska Workers’ Compensation Court Case Management System provides interactive programs designed to support the court’s adjudicatory and administrative functions.

   (2) The Nebraska Workers’ Compensation Court Case Management System is maintained by the Nebraska Workers’ Compensation Court for exclusive use by authorized court personnel.

   (C) By the Appellate Courts Case Management System under the control of the Nebraska Supreme Court, including, but not limited, to orders. The Appellate Courts Case Management System is maintained by the Nebraska Supreme Court for exclusive use by authorized court personnel of the Nebraska Supreme Court and the Nebraska Court of Appeals.

   (D) For all procedural and statutory purposes, a document with a digital signature by authorized court personnel shall have the same force and effect as a document with a manual or handwritten signature by the same authorized court personnel.

   (E) Unauthorized use of any court’s case management system will invalidate the document which was issued through the unauthorized application.

   (F) The designated original of any document is the case file copy with the digital signature affixed by the authorized court personnel and file stamped by the clerk.

§ 1-306(A)(2) and (C) amended February 2, 2012.

 

§ 1-307. Authority.

   Only the Nebraska Supreme Court may promulgate rules governing the use of digital signatures for authorized court personnel. Any other rule, regulation, or policy now in effect purporting to govern the use of digital signatures by authorized court personnel is superseded by this rule.

§ 1-308. Local rules.

   Each county court, district court, and the Nebraska Workers’ Compensation Court, by action of a majority of its judges, may from time to time recommend a local rule governing the use of digital signatures by authorized court personnel in each applicable judicial district and Nebraska Workers’ Compensation Court which is not inconsistent with this rule or inconsistent with any directive of the Supreme Court or statutes of the State of Nebraska. Such recommended rule shall be submitted in writing and on a disk in a Microsoft Word compatible format. Any such recommended rule shall not become effective until approved by the Supreme Court and published in the Nebraska Advance Sheets.

Article 4: Disability Grievance Procedure.

 

(ADA Grievance Procedure adopted Oct. 15, 1992. Renumbered and codified as Neb. Ct. R. §§ 1-401 to 1-407, effective July 18, 2008.)

§ 1-401. Scope and limitations.

   Any person claiming to have been discriminated against by the Nebraska Court System on the basis of disability may use this grievance procedure. Use of this grievance procedure does not prohibit an employee of the Supreme Court from using the existing grievance procedures established in the Nebraska Supreme Court Personnel Policies and Procedures. Persons who use the grievance procedures set out in this policy should be aware that it may not extend the time limits for filing a complaint with the appropriate federal agency regarding their grievance. Use of this grievance procedure does not prohibit any person from filing a complaint with an appropriate federal entity or pursuing available remedies in court.

§ 1-402. Notice of incident or policy.

   Any person aggrieved by an action of the Nebraska Court System relating to a disability should send a brief description of the incident or policy involved to:

Judy Beutler
Associate Administrator (ADA Coordinator)
State Court Administrator's Office
P.O. Box 98910
Room 1220, State Capitol
Lincoln, NE 68509-8910

within forty-five days of the action given rise to the grievance.

§ 1-403. Acknowledging receipt of notice.

   Upon receipt of the written complaint, the ADA coordinator will acknowledge in writing receipt of the complaint as soon as possible.

§ 1-404. Complaint; review; informal resolution.

   The ADA coordinator, or his/her designee, will initially review issues involved in the complaint to determine whether or not an informal resolution of the complaint is possible, and if so, to arrange such a resolution. If an informal resolution is not possible, the complaint will be investigated to determine its validity. Within forty-five days of the receipt of the written complaint, a report of the conclusion reached will be prepared. This will include the options available to the Nebraska Court System to resolve the issues raised for the consideration of the State Court Administrator’s Office.

§ 1-405. State Court Administrator’s decision.

   The State Court Administrator will initiate appropriate steps to implement decisions reached through this process. A written decision will be sent to the individual filing the complaint by the State Court Administrator detailing any actions or proposed actions taken by the agency. The written decision will be sent to the individual within 60 days of the agency’s receipt of the individual’s complaint.

§ 1-406. Additional remedies.

   Nothing in this policy prevents any individual claiming to have a grievance under the ADA from contacting the Nebraska Court System ADA coordinator for assistance and informally pursuing resolution of problems that may arise.

§ 1-407. Deadlines; waiver by consent.

   Any deadlines established in these procedures may be waived by written mutual consent.

Article 5: Mandatory Continuing Judicial Education; Advisory Committee Provisions.

Appendix A

§ 1-501. Introduction.

   It is essential to the public that judges and judicial branch employees continue their education in order to maintain and increase their professional competence, to fulfill their obligations under the Nebraska Revised Code of Judicial Conduct, and to ensure the delivery of quality judicial services to the people of the State of Nebraska. These rules establish minimum requirements for judicial branch education for all Nebraska judges and judicial branch employees and allow for the education of those serving the courts as directed by the Supreme Court and Judicial Branch Education Advisory Committee.

§ 1-501 amended December 22, 2010, effective January 1, 2011; § 1-501 amended March 13, 2013.

§ 1-502. Administration and monitoring.

   The Director of Judicial Branch Education (Director) shall administer the program of mandatory judicial branch education established by these rules. The Nebraska Judicial Branch Advisory Education Committee (Committee) shall formulate rules and regulations and may modify or amend the same subject to approval by the Supreme Court. All rules and regulations shall clearly state an effective date.

Rule 2 amended December 13, 2006. Renumbered and codified as § 1-502, effective July 18, 2008.

§ 1-503. Required continuing judicial branch education.

   (A) Subject to § 1-503(C) and (D), each trial judge and appellate judge of the State of Nebraska shall earn a minimum of 10 judicial branch education credits in each annual reporting period. Clerk magistrates, probation officers, and official court reporters shall earn a minimum of eight judicial branch education credits in each annual reporting period. All other judicial branch employees shall attend judicial branch education programs as directed by the Supreme Court or the Committee. The Administrative Office of the Courts and Probation may require employees to attend educational programs in excess of the hours established above.

   (B) Judicial branch education credits for each employee shall be reported to the Director in such form and manner as the Committee shall prescribe.

   (C) A retired judge working more than 60 days (whether part or full days) per year in a judicial capacity shall be required to fulfill the judicial branch education requirements.

   (D) The Committee may grant extensions of time to complete judicial branch education requirements for good cause shown. The press of business shall not be considered good cause.

Rule 3(B) amended February 1, 2006; Rule 3(A) amended; Rule 3(B), 3(C)-(E) renumbered, and 3(C) amended May 23, 2007. Renumbered and codified as § 1-503, effective July 18, 2008.

§ 1-504. Requirements for individual course approval.

   (A) The primary objective of judicial branch education is to increase the professional competence of judicial branch employees and to assist the employees in providing appropriate judicial branch services. Judicial branch education credits will be granted for a particular activity if the Committee determines that the activity meets the following standards:

   (1) It constitutes an organized program of learning, including a lecture, workshop, or symposium, which contributes directly to the professional competency of the judicial branch employee;

   (2) It pertains to subject matter having significant intellectual or practical content relating to the administration of justice or to the education of judges with respect to their professional or ethical obligations; and

   (3) It is conducted or taught by individuals who have appropriate academic or practical skills to conduct the course effectively and who have special education, training, or experience. It provides each attendee with written course materials which substantively pertain to the subject matter of the program. The materials shall be of a quality and quantity which indicate that adequate time has been devoted to their preparation and will be of value to the attendees in their employment.

   (B) During all courses, including those presented by telecommunications or utilizing other educational technologies, there should be an opportunity to ask questions of the course faculty. If a faculty member is not available either in person or via telephone, then a qualified commentator should be available to offer comment and answer questions in writing or via e-mail.

   (C) Programs, seminars, or activities that cross professional lines, such as medical-legal programs or humanity programs, may be approved if the committee determines that the standards set forth herein are satisfied.

   (D) The Principles and Standards of Nebraska Judicial Education are hereby adopted.

§ 1-504(B) amended April 13, 2011.

§ 1-505. Accreditation of sponsors and approval of programs.

   (A) If the Committee is satisfied that a sponsor's program meets the requirements set forth in § 1-504, the Committee may accredit such sponsor and its program without formal application from such sponsor as required in § 1-505(B).

   (B) An organization or person desiring accreditation as a sponsor of courses, programs, or other judicial branch education activities, not otherwise accredited by the Committee, may apply for accreditation to the Committee. The Committee shall accredit a sponsor if it is satisfied that the sponsor's program will meet the standards set forth in § 1-504.

   (C) A sponsor wishing to apply for accredited-sponsor status shall submit to the Committee, on a form approved for that purpose, information on other judicial branch education programs offered during the 2 years immediately preceding the request for accredited sponsor status. If the sponsor has been offering judicial branch education courses for 5 years or less, the Committee may, at its discretion, request submission of course materials for inspection.

   (D) The Committee may at any time reevaluate an accredited sponsor. If after such reevaluation the Committee finds there is cause for revocation of the accreditation of a sponsor, the Committee shall issue a show cause order why such accreditation should not be revoked and the Committee may, at its discretion, hold a hearing thereafter and may revoke the accreditation of the sponsor. If the Committee in its judgment concludes that a course fails to meet the standards for approval, it may deny or withhold approval for the course even though offered by an accredited sponsor.

   (E) An organization or person, other than an accredited sponsor, desiring prior approval of a course, program, or other judicial branch education activity, or a judge or judicial branch employee of this State who desires to have such activity approved for judicial education branch credit prior to attendance, shall apply for approval to the Committee at least 45 days before the activity. The Committee shall approve or deny such application in writing within 30 days of receiving the application.

   (F) A judge or judicial branch employee seeking credit for participation in an education activity for which credits were not approved in advance by the Committee shall, before or after the activity, submit to the Committee a written report which includes a brief resume of the activity; its dates, subjects, and instructors and their qualifications; and a copy of the program outline, brochure, or other documentation upon which the Committee can make a determination as to the credits to which the applicant is entitled. Within a reasonable time after receipt of the written report and accompanying materials, not to exceed 90 days, the Committee shall advise the judge or judicial branch employee in writing of the number of credits, if any, being granted.

   (G) Credit will be given on a reciprocal basis to programs approved by continuing judicial education committees or continuing legal education committees of other jurisdictions on an hour-by-hour basis.

   (H) During all courses, including those presented by telecommunications or utilizing other educational technologies, there must be an opportunity to ask questions of the course faculty. If a faculty member is not available either in person or via telephone, then a qualified commentator must be available to offer comment and answer questions directly, in writing, or via e-mail.

   (I) Sponsors of courses who have been approved may announce in information brochures or registration materials: "Subject to the Nebraska Supreme Court Judicial Branch Education Rules, this course has been approved by the Judicial Branch Education Committee for a maximum of ___ credits." Sponsors of courses for which approval has been sought, but not yet received, may announce: "Application for judicial branch education credit approval of this activity in Nebraska is currently pending."

§ 1-506. Credit for participation.

   (A) Judicial branch employees shall not be required to fulfill their mandatory education requirement until the end of their first full year of employment.

   (B) Upon application, the Committee may award such credit as it determines for authorship of legal articles or books.

   (C) The Committee may award up to 6 credits annually for preparation and speaking at an approved program or for preparing written materials which are distributed at an approved judicial branch education program. The credits shall be in addition to credits for attendance at the judicial branch education program.

   (D) Questions regarding the appropriateness of awarding judicial branch education credit for attendance at judicial education programs not sponsored by Nebraska Judicial Branch Education, or requests for funding to attend such programs, shall be initially submitted to and resolved by the Judicial Branch Education Director. Denial of such credits or requests for funding by the Director may be reviewed by the Judicial Branch Education Advisory Committee.

   (E) Judicial Branch Education credits shall not be given to judges for attendance at programs not sponsored by Nebraska Judicial Branch Education which do not adhere to ethical standards of the Nebraska Revised Code of Judicial Conduct, including, but not limited to, § 5-303.14. It is the responsibility of the individual judge who seeks to participate in a nonsponsored judicial branch education activity to ensure that the program agenda is appropriately balanced and that attendance at such program complies with the Nebraska Revised Code of Judicial Conduct.

Rule 6(A) amended February 1, 2006; Rule 6(D) and (E) amended December 13, 2006. Renumbered and codified as § 1-506, effective July 18, 2008; § 1-506(C) amended March 25, 2009; § 1-506(E) amended December 22, 2010, effective January 1, 2011.

 

§ 1-507. Sanctions for failure to comply with mandatory education rules.

   (A) A judge who submits a false report for judicial branch education credits or who fails to correct an erroneous transcript of judicial branch education credits shall be reported to the Judicial Qualifications Commission for disciplinary proceedings. Other judicial branch employees who shall submit a false report for judicial branch education credits or who fail to correct an erroneous transcript of judicial branch education credits shall be subject to dismissal from employment or such other sanctions as believed appropriate by the Supreme Court pursuant to the Nebraska Supreme Court Personnel Policies and Procedures Manual.

   (B) In the event a judge fails to comply with these rules, the Committee shall promptly notify the judge of the noncompliance by sending a notice thereof to the judge at the judge's principal place of office. The statement of noncompliance shall advise the judge that within 30 days a plan to correct the noncompliance must be submitted to the Committee for its consideration and approval. Should the judge fail to correct the noncompliance within a reasonable period of time, the Committee shall report the noncompliance to the Nebraska Judicial Qualifications Commission as a possible violation of § 5-302.0, Canon 2, of the Nebraska Revised Code of Judicial Conduct. Furthermore, the Supreme Court may enter an order requiring the judge to appear and show cause why sanctions should not be imposed by the Court against the judge for willful failure to comply with these rules of the Court.

   (C) Should any judicial branch employee fail to comply with these rules for judicial branch education, the Committee shall promptly notify the individual of the noncompliance by sending a notice thereof to the individual at the individual's work address. The employee's supervisor shall also be notified of the noncompliance. The statement shall advise the individual that the noncompliance must be corrected within 30 days or a written plan to correct the noncompliance must be submitted to the Committee for its approval within 30 days. Failure of the individual to correct the noncompliance shall subject the individual to such sanctions as are permissible in the Supreme Court Personnel Policies and Procedures Manual including the possible termination of employment.

   (D) Unless otherwise directed by the Supreme Court, the files, records, and proceedings of the Committee, as they may relate to or arise out of the failure of an individual to satisfy the minimum judicial branch education requirements established by these rules, shall be confidential and shall not be disclosed except in furtherance of the Committee's duties or upon request of the individual affected.

§ 5-107(B) amended December 22, 2010, effective January 1, 2011.

§ 1-508. Annual reporting.

   The annual reporting period is a period of 1 year with the first period beginning on the first day of January after an individual becomes an employee of the judicial branch and continuing until the last day of December of each year.

§ 1-509. Computation of judicial branch education credit.

   Credits for approved programs shall be awarded on the basis of 1 credit for each hour actually spent in attendance at approved or accredited judicial branch education activities. Partial credit may be earned on a 1/10 hour basis.

Rule 9 amended February 1, 2006. Renumbered and codified as § 1-509, effective July 18, 2008.

§ 1-510. Effective date.

   These rules shall be effective on or after July 1, 2004. An implementation schedule for specific groups of judicial branch employees has been developed by the Director and will be followed in implementing the terms of this rule. Full implementation of mandatory judicial branch education is anticipated by fiscal year 2007-08, if resources permit.

§ 1-511. Judicial Branch Education Advisory Committee; composition; selection.

   The Nebraska Supreme Court shall appoint a Judicial Branch Education Advisory Committee consisting of 13 members:

COMPOSITION:

Chief Justice, or his/her delegate (ex officio)
Court of Appeals Judge
District Court Judge
County Court Judge
Separate Juvenile Court Judge
Clerk Magistrate
Clerk of the District Court
Probation Officer
Court Reporter
Workers' Compensation Court designee
State Court Administrator (ex officio)
State Probation Administrator (ex officio)
Director of Judicial Branch Education (ex officio)

SELECTION:

Appointment by Chief Justice with the recommendation of the individual education committees.

   The Supreme Court shall designate one of the members as chair and one member as vice chair who may serve in the event of disqualification or unavailability of the chair. Members serve staggered, renewable 3-year terms. The Committee shall convene not less than two times per year.

§ 1-511 amended April 14, 2010.

§ 1-512. Judicial Branch Education Advisory Committee; authority.

   The Nebraska Supreme Court Judicial Branch Education Advisory Committee shall have authority to:

   (A) Develop and review standards and administrative rules addressing such issues as the criteria for mandatory education for judges, criteria for approval of qualified activities, reporting requirements, sanctions for noncompliance, exemptions, and confidentiality of records for approval of the Court and incorporation into this rule. (See Appendix A.)

   (B) Develop and review standards and administrative policies for education of all non-judge judicial branch employees including criteria for approval of qualified activities, reporting requirements, sanctions for noncompliance, and exemptions for the approval of the Court and incorporation into this rule. (See Appendix A.)

   (C) Make recommendations to the State Court Administrator regarding budget requests and pursue grant funding.

   (D) Develop policies regarding funding for travel and other related education expenses for all employees both in-state and out-of-state.

   (E) Serve as a liaison to the various employee groups in the development of curriculum and participate in the design of specialized programming.

   (F) Develop and host education for those serving the courts as directed by the Supreme Court and Judicial Branch Education Advisory Committee, and collect fees for such education to offset development costs.

   (G) Participate in additional activities as assigned by the Supreme Court in order to promote excellence in the administration of justice through quality education.

Click here to view members of the Committee.

§ 1-512(F) and (G) amended March 13, 2013; § 1-512(A) and (B) amended April 10, 2013.

Article 6: Judicial Nominating Commissions.

§ 1-601. Application process.

 

   (A) Upon request to the judge chairperson of the appropriate Judicial Nominating Commission, the Clerk of the Supreme Court, or the State Court Administrator, an applicant for judicial appointment will receive a Judicial Vacancy Application Package which consists of instructions to the applicant, an application for judicial vacancy form, a copy of the Nebraska Revised Code of Judicial Conduct, a personal data sheet, and a copy of these rules. Such documents, which include “Fill-in” versions of necessary forms, may also be found at and downloaded from the Nebraska Judicial Branch Web site at http://supremecourt.ne.gov/forms.

 

   (B) The application, including attachments, and the personal data sheet must be filed by mail or electronically by e-mail with the commission chairperson not later than 21 days prior to the date of the public hearing. The Fair Credit Reporting Act Disclosure Statement and the Waiver of Confidentiality form attached to the application must be signed and sworn to before a notary public. Such notarized documents may be electronically submitted as a scanned document, provided that the applicant retains possession of the original bearing the required signatures and notary stamps. An applicant for any judicial vacancy may be investigated to, among other things, verify the accuracy of information provided.

 

   (C) Submission of the documents referred to above may be by regular mail to Nebraska Supreme Court, P.O. Box 98910, Lincoln, Nebraska 68509. In the alternative, such documents may be electronically submitted by scanning the Application (which includes the Fair Credit Reporting Act Disclosure Statement and the Waiver of Confidentiality form), the personal data sheet, and the legal writing sample; saving each document as a separate PDF file; and attaching each PDF file to an e-mail sent to nsc.jnc@nebraska.gov. It is recommended that the e-mail transmitting these documents requests acknowledgment of receipt.

 

   (D) The personal data sheet is a confidential communication between the commission, its staff, and the applicant. However, any applicant's name forwarded to the Governor shall be accompanied by the application, personal data sheet, and results of any investigation conducted on behalf of the commission.

 

Rule 1(B) amended December 21, 1994. Renumbered and codified as § 1-601, effective July 18, 2008; § 1-601(A) amended December 22, 2010, effective January 1, 2011; § 1-601(A)-(D) amended November 14, 2012.

 

§ 1-602. Disqualification process.

   (A) If a relationship between a commission member, or the Supreme Court member who chairs the commission, and an applicant falls into one of the following four categories, the commission member or chairperson shall recuse himself or herself from the commission:

   (1) Any relationship to the applicant by blood or marriage by virtue of being the applicant's spouse, child, or spouse of a child. The commission member shall not be related to the applicant under the third degree of relationship test. The third degree of relationship test is defined as being the applicant's or the applicant's spouse's parent, grandparent, aunt, uncle, sibling, nephew, or niece, or spouse of any of these relatives. Additionally, the commission member shall recuse himself or herself in situations where the applicant and commission member are sharing or have shared a residence during the past 5 years.

   (2) Any arrangement involving the practice of law or an employment relationship including, but not limited to, partnership, professional corporation, or office sharing within the past 5 years.

   (3) Any relationship in which the commission member and applicant are actively engaged in managing a common profitmaking business or venture.

   (4) Any instance in which the member of the commission would cast his or her vote on a basis other than an applicant's qualification for the office.

   (B) If the person recusing himself or herself is the Supreme Court member who chairs the commission, the Chief Justice or the next senior judge shall request the Governor to appoint another member of the Court to chair such commission meeting.

   (C) Any person may challenge the impartiality of a member or the chairperson of a judicial nominating commission. The challenge shall be in writing and directed to the Supreme Court member chairing such commission. If a challenge is raised regarding the impartiality of a member or the chairperson and the person so challenged declines to disqualify himself or herself, the unchallenged members of the commission shall rule on the challenge by a majority vote. Any such decision shall be attached to the information forwarded to the Governor and attached to the report submitted to the State Court Administrator.

   (D) A violation of § 1-602(A)(1) by a commission member will not constitute cause for rescission of a judicial nomination or reopening of the commission process.

§ 1-603. Commission deliberation.

   (A) Each commission member will execute the official oath and a statement of understanding, attached hereto as exhibit A.

   (B) Each commission member will be provided a Nebraska Judicial Nominating Commissioner's Handbook, the contents of which shall include the American Bar Association's Guidelines for Reviewing Qualifications of Candidates for State Judicial Office and a checklist of qualifications. The qualifications checklist will be used as a guide to provide uniformity in evaluating candidates.

   (C) The commission is encouraged to hold private interviews with candidates prior to or following the public hearing.

   (D) The list of applicants determined to be sufficiently qualified to hold the judicial position in question shall be submitted to the Governor in alphabetical order.

Exhibit A

Statement of Understanding of Ethical Considerations

   In the performance of their duties, the judicial nominating commission members shall be ever mindful that they hold positions of public trust. No commission member shall conduct himself or herself in a manner which reflects discredit upon the judicial selection process or discloses partisanship or partiality in the consideration of applicants. Consideration of applicants shall be made impartially, discreetly, and objectively. A commission member shall disclose to the commission all personal and business relationships with a prospective applicant that may directly or indirectly influence his or her decision. After certification of a list of sufficiently qualified applicants to the Governor, no commission member shall attempt, directly or indirectly, to further influence the ultimate decision of the Governor. No attempt shall be made to rank such nominees whose names are made public or to otherwise disclose a preference of the commission.

   In accordance with the above ethical considerations, I will accept the following responsibilities:

   1. I will disclose any conflict of interest that I may have with any of the applicants.

   2. I will avoid preselection of nominees, "hidden agenda," or consideration of factors other than the merit of the applicants.

   3. I agree not to discriminate against any applicant because of the applicant's race, religion, gender, political affiliation, age, or national origin.

   4. I will not divulge any of the applicants' confidential information or the commission's deliberations except as provided by the Judicial Nominating Commission rules.

Exhibit A amended December 21, 1994.

Article 7: Office of Dispute Resolution.

§ 1-701. Appointment of advisory council.

   Procedures for filling yearly advisory council vacancies shall be set forth in the policy manual of the Office of Dispute Resolution.

§ 1-702. Meetings of the advisory council.

   Procedures for regular council meetings and task force meetings shall be defined in the policy manual of the Office of Dispute Resolution.

§ 1-703. Responsibilities of the director.

   The director's responsibilities regarding such areas as center information development, application, and reporting, as well as the general areas of program budgeting, sliding scale fees, public awareness, and training, shall be defined in the policy manual of the Office of Dispute Resolution.

§ 1-704. Application for center approval of funding.

   An application for funding by a center must include all the statutory requirements: plan of operation, objec­tives, population served, administrative organization, record-keeping procedures, mediator ­qualifications, annual budget, and proof of nonprofit status. Specific application requirements are set forth in the policy manual of the Office of Dispute Resolution.

§ 1-705. Procedures for approved centers.

   All centers must have clearly established procedures in the following areas: permanent files, numbered case files, center forms and records, mediation training, mediation payment, center fees, accounting system, compliant procedures, and divorce policies. Specific procedure requirements are defined in the policy manual of the Office of Dispute Resolution.

§ 1-706. Center reports.

   The center will report quarterly to the Office of Dispute Resolution. The annual report will be a summation of the quarterly reports in that year. Reporting forms may be supplied by the Office. Information for the reports should include the following: referral source, outcomes of cases, types of cases, participant evaluations, cost of sessions, and outreach. These areas are defined in the policy manual of the Office of Dispute Resolution.

§ 1-707. Grievance procedures.

   Complaints may be made directly to a center or to the Office of Dispute Resolution. Grievance procedures pursuant to the policy manual of the Office of Dispute Resolution shall be followed.

Article 8: Public Access to Electronic Court Information.

(Interim Policy on Public Access to Court Information adopted November 13, 2003. Renumbered and codified as Neb. Ct. R. §§ 1‑801 to 1‑810, effective July 18, 2008. Revised and adopted as permanent policy on May 15, 2013.)

§ 1-801. Purpose of policy.

   The purpose of this policy is to set forth the method to access summary trial court records, which shall be allowed only by means of Public Access, Remote Access, and Compiled Information, as set forth below.

§ 1-801 amended May 15, 2013.

§ 1-802. Definitions.

   (A) Trial Courts are District Courts, County Courts, and Separate Juvenile Courts.

   (B) In Electronic Form means information which exists as data in the fields or files of an electronic database.

   (C) Case Management System (CMS) is computer system designed to monitor and track court filings and events, and to account for all financial information in that case. JUSTICE is the case management system developed and maintained by the State Court Administrator’s Office.

   (D) Public includes:

   (1) any person and any business or non-profit entity, organization or association;

   (2) any governmental agency for which there is no existing policy defining the agency’s access to court records;

   (3) media organizations; and

   (4) entities which gather and disseminate information for whatever reason, and regardless of whether it is done with the intent of making a profit, without distinction as to the nature or extent of access.

   (E) Public does not include:

   (1) court or clerk of court employees;

   (2) people or entities, private or governmental, who assist the court in providing court services;

   (3) public agencies whose access to court records is defined by another statute, rule, order or policy; and

   (4) the parties to a case or their lawyers regarding access to the court record in their case.

   (F) Public Access means the public can inspect and obtain a copy of the information in a court record.

   (G) Remote Access means the ability to electronically search, inspect, or copy information in a court record without the need to physically visit the court facility where the court record is maintained.

   (H) Bulk Distribution means the distribution of all, or a significant subset, of the information in court records, as is and without modification or compilation.

   (I) Compiled Information means information derived from the selection, aggregation or reformulation of selected information from more than one individual court record.

§ 1-802(D) and (E) amended May 15, 2013.

§ 1-803. Public access to court records.

   Every member of the public may access the same information from the same records except as otherwise specifically provided. Stated differently, every public user will see the same information.

§ 1-804. General access rule.

   Information in a court record is accessible to the public unless prohibited by this policy or applicable laws.

§ 1-805. Public access to electronic court records.

   The following records in a court Case Management System may be accessed via the Internet unless public access is restricted by law, court rule, or this policy.

   (A) Litigant/party indexes to cases filed with the court;

   (B) Summary information about each case including the names of the parties;

   (C) Registers of actions describing the documents filed in a case;

   (D) Calendars of court proceedings, including the case number, caption, date, time, and location of scheduled hearings;

   (E) Summary information about judgments, orders, or decrees in a case.

§ 1-806. Bulk distribution of court records.

   Bulk distribution of court records in electronic form is not allowed except to preserve records and comply with courts’ records retention schedules.

§ 1-807. Requests to compile court record information.

   Requests to compile court information will be considered only when the public interest will be served through significant scholarly, governmental, research, evaluation or statistical purposes. Applications should be directed to the Court Records Contact.

Court Records Contact
Nebraska State Court Administrator’s Office
1220 State Capitol Building
Lincoln, NE 68509-8910

§ 1-808. Court records excluded from public access.

   The following information in a court record may not be accessed by the public:

   (A) Information enumerated in Neb. Rev. Stat. § 84-712.05.

   (B) Information that is not to be accessible to the public pursuant to state law, court rule, or case law, including, but not limited to, the following:

   (1) Criminal History Information as set forth in the Security, Privacy, and Dissemination of Criminal History Information Act. See Neb. Rev. Stat. § 29-3501.

   (2) Adoption case records (Neb. Rev. Stat. § 43-113).

   (3) The names and addresses of victims in criminal cases.

§ 1-808(B)(3) amended May 15, 2013; § 1-808(B)(4) deleted May 15, 2013.

§ 1-809. When court records are available.

   (A) Court records will be available for public access in the courthouse during regular office hours.

   (B) Court records in electronic form which can be accessed remotely will be available for access at least during the hours established by the court for courthouse access, subject to unexpected technical failures or normal system maintenance.

   (C) Upon receiving a request for access to information the court will respond within a reasonable time regarding the availability of the information and provide the information within a reasonable time.

§ 1-810. Fees for access.

   The Nebraska Supreme Court may establish fees for remote access to JUSTICE records.

Article 9: State Library.

§ 1-901. General use.

   The general public may use at the library premises and during regular library hours the material housed in the Nebraska State Library and may, at the user's expense, photocopy library materials in accordance with the copyright laws, utilizing photocopy equipment located on the library premises.

Rule 1 amended February 26, 2003. Renumbered and codified as § 1-901, effective July 18, 2008.

§ 1-902. Special use.

   (A) State Senators, Justices of the Supreme Court, Judges of the Court of Appeals, Directors of State agencies, and the Attorney General, and members of their respective staffs, may check out and use away from the library premises for a period of no more than 10 days any material required in the performance of their duties; provided, however, that the librarian shall call for its return sooner if the material checked out is needed by a State Senator, Justice of the Supreme Court, or Judge of the Court of Appeals.

   (B) Unless return is requested sooner by the librarian, the following material may be checked out from the library and used away from the library premises by members of the Nebraska State Bar Association for a period of not more than 5 days:

American Jurisprudence Proof of Facts
American Jurisprudence Trials
Bound Periodicals
Bound Federal Register
Nebraska Continuing Legal Education Seminar Manuals
Advance Sheets (retired)
State Reports, Nebraska excluded
Code of Federal Regulations (retired)
Treatises
U.S. Government Publications, not otherwise designated

   (C) Members of the Nebraska State Bar Association may check out the following materials for no more than 1 day:

American Jurisprudence 2d
American Jurisprudence Pleading and Practice Forms
American Law Reports
BNA Tax Management Portfolios
Code of Federal Regulations (current)
Corpus Juris Secondum
Legal Forms Books
Looseleaf Services (BNA & CCH)
Nebraska Briefs
Nebraska How to Practice Manuals
Nebraska Jury Instructions
Personal Injury Valuation Handbooks
State and Federal Court Rules
State Jury Instructions
U.S. Code Service
Unbound Periodicals
State Statutes, Session Laws, Nebraska excluded
Unbound Federal Register
Words and Phrases

   (D) Materials not specified in § 1-902(B) and (C) may not be checked out by anyone other than those users specified in § 1-902(A).

Rule 2 amended January 19, 1995; Rule  2 amended February 26, 2003. Renumbered and codified as § 1-902, effective July 18, 2008.

§ 1-903. Checkout procedures.

   The librarian shall devise a checkout system which ensures that the identity of the material checked out and the name, address, and telephone number of the user who checked it out are known at all times.

Rule 3 amended February 26, 2003. Renumbered and codified as § 1-903, effective July 18, 2008.

§ 1-904. Renewals.

   Checkout of materials specified in § 1-902(B) may be renewed for one additional 5-day period, unless the material is called for by the librarian. Checkout of materials specified in § 1-902(C) may not be renewed.

Rule 4 adopted February 26, 2003. Renumbered and codified as § 1-904, effective July 18, 2008.

§ 1-905. Timely return in good condition.

   Failure to make timely return of items in good condition may result in the loss of checkout privileges.

Rule 5 (previously numbered 4) amended February 26, 2003. Renumbered and codified as § 1-905, effective July 18, 2008.

§ 1-906. Public computers and internet access.

   (A) Purpose. The Nebraska State Library provides current, comprehensive, and efficient resources for legal information, allowable within its budget, to the Nebraska Judiciary, the legal community, and the public. The purpose of this rule is to ensure that Nebraska State Library users have reasonable access to the library’s electronic resources while respecting the rights of others.

   (B) Disclaimer. Patrons access Nebraska State Library computers at their own risk.  Legal information may be inaccurate, out of date, or incomplete. Users of the computers are encouraged to exercise caution and critical judgment in evaluating the validity of information accessed via the Internet. Users of the library computers shall have no expectation of privacy while using the resources. The Nebraska State Library assumes no responsibility for damages, direct or indirect, arising from the use of the computers.

   (C) Acceptable uses.

   (1) Nebraska State Library public computers and Internet access are provided to conduct legal research or to retrieve federal, state, or local government documents.

   (2) E-mail accounts may be used to send legal research results to the user's home or office.

   (3) More than one person may share a computer terminal as long as it is by mutual agreement and their behavior and conversation do not disturb other library users or library staff.

   (4) Children under the age of 18 may use the computers to research a legal issue only with the permission of library staff.

   (D) Unacceptable uses.

   (1) Nebraska State Library computers may not be used for any purpose that violates federal, state, or local laws, including violation of applicable laws pertaining to intellectual property.

   (2) Nebraska State Library computers may not be used to add, modify, change, alter, damage, download, save, upload, evade, or otherwise interfere or change any established computer hardware, software, security, or other computer system.

   (3) Nebraska State Library computers may not be used for non-research purposes, such as e-mail, chat rooms, games, pornography, commercial activities, solicitation of funds, or product sales.

   (4) Nebraska State Library computers may not be used to engage in any illegal purpose, including, but not limited to, hacking, misrepresentation, harassment, slander, or the intimidation or threatening of another person or entity.

   (5) Nebraska State Library computers may not be shut off or restarted by users.

   (E) Time. Terminals are available on a first come, first serve basis. Research periods are limited to 30 minutes if someone is waiting to use the terminal. Users are requested to be considerate of the patrons waiting to use the terminal.

   (F) Right to Privacy. All library users are expected to respect the privacy of those using the Nebraska State Library public computers and not interfere with their use. Public computer workstations are located in open areas where others may see words or images that appear on the computer monitors.  Users must be aware that this public environment precludes any guarantee of privacy.

   (G) Printing. Printing costs 10 cents per printed page. Printed materials may be picked up and paid for at the library's front desk.

   (H) Enforcement of Policy. Users who engage in illegal activities on the Internet will be reported to the appropriate authorities. Failure to use Nebraska State Library public computers and Internet access appropriately and in accordance with this rule may result in:

   (1) Suspension of equipment use privileges; and/or

   (2) Suspension of access to the Nebraska State Library.

   Each Library staff person has the authority and responsibility to enforce this rule.

Rule 6 adopted November 30, 2005. Renumbered and codified as § 1-906, effective July 18, 2008.

CHAPTER 2: APPEALS

(cite as Neb. Ct. R. App. P. §)

Article 1: Nebraska Court Rules of Appellate Practice.

(cite as Neb. Ct. R. App. P. §)

Explanation of Comments

Throughout these rules are various "comments" which are intended to be helpful information only and are not intended to be, nor are they, a part of the official rules of this court.

 

Appendix 1

Appendix 2

Appendix 3

Appendix 4

Appendix 5

Appendix 6

§ 2-101. Docketing the case.

   (A) Perfecting the Appeal. Every appeal shall be deemed perfected when the notice of appeal as provided in § 2-101(B)(1)(a) and the docket fee required by Neb. Rev. Stat. § 33‑103 or an application to proceed in forma pauperis and a poverty affidavit pursuant to Neb. Rev. Stat. § 29‑2306 or Neb. Rev. Stat. § 25‑2301 et seq. have been filed in the office of the clerk of the trial court and such application has been granted by that court.

   (B) Forwarding to Supreme Court. The clerk of the district court shall within 2 business days of receipt of a notice of appeal send the following items to the Clerk of the Supreme Court:

   (1)(a) Notice of appeal. The notice of appeal shall be deemed made to the Court of Appeals unless the notice contains language specifically requesting appeal to the Supreme Court along with citation to the statutory authority allowing such appeal to the Supreme Court.

   (b) If a notice of appeal filed in a case involving termination of parental rights is not signed by the parent whose parental rights were terminated, the appeal shall be subject to summary affirmance pursuant to § 2‑107(A) unless, following issuance of an order to show cause and a 15-day response time, the before-mentioned parent files an affidavit with the appellate court stating his or her intention to proceed with the appeal or other good cause is shown. This subsection shall not apply to a child's guardian ad litem taking an appeal in such cases.

   (2) Request for transcript; see § 2-104(A);

   (3) Request for bill of exceptions; see § 2-105(B);

   (4) Check of the clerk of the district court for docket fee, or a copy of the application to proceed in forma pauperis and accompanying poverty affidavit which has been executed no more than 45 days prior to the filing of notice of appeal; and

   (5) A certificate, which shall contain the following information:

   (a) The caption of the case, including the names and adversary relationship of all the parties, as the case was filed in the district court;

   (b) The name, address, city, state, zip code, telephone number, and Nebraska attorney identification number of each principal Nebraska attorney, and the name of the party or parties the attorney represents, or, if a party or parties represent themselves, the above information except for the identification number;

   (c) Whether the case is a civil case or a criminal case; if a civil case, whether the case is law (general) or equity, if applicable; if a criminal case, whether there was a trial to a jury or judge, or whether a guilty or nolo contendere plea was accepted by the court, whether a plea in bar was entered, and whether the case is a felony, misdemeanor, or postconviction; and

   (d) If the notice of appeal is to the Supreme Court, whether the appeal involves a sentence of death or life imprisonment, constitutionality of a statute, or other statutory authorization therefor.

   (e) The date the notice of appeal was filed in the district court and the date the docket fee was paid to the clerk of the district court.

    (f) Whether the requirements of Neb. Rev. Stat. § 25‑1914 with regard to cost bond, cash in lieu of cost bond, or supersedeas bond or poverty affidavit have been met and the date filed.

   (g) Indicate if a motion for new trial was filed in the trial court and the date of disposition.

See appendices 5 and 6.

   (C) Method of Docketing Case; Multiple Appeals from Same Case Prohibited. Upon receipt of the material required by § 2-101(B), the Clerk of the Supreme Court shall thereupon docket the case designating the party or parties first having filed the notice of appeal in the district court as appellant or appellants. All other parties shall be designated as appellees, and any attempt to appeal thereafter made by any party to the action shall be filed in the existing case and not separately docketed.

   (D) Appeal from Special Tribunals. In an appeal from an order of the Nebraska Department of Natural Resources or other tribunal from which an appeal can be taken directly to this court, the procedure shall be that provided for in appeals from the district court, except as otherwise provided by statute.

   (E) Cross‑Appeal. The proper filing of an appeal shall vest in an appellee the right to a cross‑appeal against any other party to the appeal. The cross‑appeal need only be asserted in the appellee's brief as provided by § 2‑109(D)(4).

   (F) Attorneys of Record and Pro Se Litigants.

   (1) The attorneys of record and guardians ad litem of the respective parties in the court below shall be deemed the attorneys and guardians ad litem of the same parties in this court, until a withdrawal of appearance has been filed together with an affidavit that a copy of such withdrawal has been sent to counsel's client by certified mail to the client's last-known address and by regular mail to the adverse party or that party's attorney of record. Counsel in any criminal case pending in this court may withdraw only after obtaining permission of this court. The method for the withdrawal of court‑appointed counsel is specified by § 2-103(B).

   (2) All attorneys of record and pro se litigants are required to keep the Clerk of the Supreme Court advised in writing of their current address during the pendency of an appeal in the Supreme Court or Court of Appeals for use in notification of all court orders. See § 2-110.

   (G) Costs and Security for Costs.

   (1) Docket fees shall be paid in advance as required by Neb. Rev. Stat. § 33‑103, except in the following categories of cases:

   (a) Docket fees are waived in cases brought under the Nebraska Workers' Compensation Act and the employment security law.

   (b) Where an application to proceed in forma pauperis and a timely affidavit of poverty has been filed pursuant to Neb. Rev. Stat. § 29‑2306 or Neb. Rev. Stat. § 25‑2301 et seq., advance payment of docket fees is not required.

   (c) Docket fees in habeas corpus proceedings and disciplinary actions against members of the Nebraska bar are not required in advance. Fees in these cases will be collected at the conclusion of the proceeding.

   (2) All cases must comply with Neb. Rev. Stat. § 25‑1914, unless specific statutory exceptions exist. A case will be dismissed for failure to comply with § 25‑1914 if a motion is filed in accordance with § 2-106. Additional time for compliance with the statute may be requested by motion and a showing of good cause.

Rule 1(A), (B)(1), (B)(4), (B)(5)(c) – (B)(5)(g), (C), (E), (F)(2), (G)(1)(b) and (G)(2) amended May 28, 1992; Rule 1(F)(1) amended March 31, 1993; Rule 1(A) amended May 29, 1997; Rule 1(A), (B), (B)(4), and (G)(1)(a) and (b) amended October 14, 1999; Rule 1(F)(2) amended October 16, 2003; Rule 1(B)(1) amended September 13, 2006. Renumbered and codified as § 2-101, effective July 18 2008; § 2-101(D) amended December 22, 2010.

§ 2-102. Court of Appeals.

   (A) Nebraska Supreme Court Rules to Apply. Unless otherwise specified, the Nebraska Court Rules of Appellate Practice shall apply to the Nebraska Court of Appeals.

   (B) Petition to Bypass. Any party to a case appealed to the Court of Appeals may file with the Supreme Court a petition to transfer the appeal to the Supreme Court and to bypass review by the Court of Appeals. The petition to bypass shall be filed simultaneously with the initial brief of the party. Such petition shall set forth the basis for the petition, including one or more of the factors set out in Neb. Rev. Stat. § 24‑1106(2).

   (1) Filing and Service of Petition to Bypass. An original and one copy of the petition to bypass and brief in support thereof, together not to exceed five pages in length, with proof of service, shall be filed with the Supreme Court Clerk. A copy of the petition to bypass and brief shall be served on the opposing party or attorney of record. Service and proof of service shall be in accordance with Neb. Ct. R. Pldg. §§ 6‑1105(b) and 6-1106(e).

   (2) Objection. Any objection to the petition to bypass shall be due when the brief of the responding party is filed or, when no reply brief is filed, before the expiration of the time prescribed for such filing as provided by § 2-109(A)(3). Such objection and brief in support thereof shall not exceed five pages in length. An original and one copy of the objection and brief, together with proof of service on the opposing party or attorney of record, shall be filed with the Supreme Court Clerk.

   (3) Oral Argument. No oral argument is permitted on the petition to bypass except as may be ordered by the Supreme Court; in such event, oral argument shall be limited to 5 minutes per side.

   (4) Submission. All petitions to bypass shall be submitted for decision to the Supreme Court on the filing of appellant's reply brief or the expiration of the time prescribed for such filing as provided by § 2-109(A)(3).

   (C) Removal of Case From Court of Appeals. At any time during the pendency of a case, upon recommendation of the Court of Appeals or by the Supreme Court's own motion, the Supreme Court may order removal of a case from the Court of Appeals and its transfer to the Supreme Court docket.

   (D) Briefs. An original and one copy of each brief to be filed in the Court of Appeals, together with proof of service, shall be filed in the office of the Supreme Court Clerk on or before the date the brief is due, and § 2-109 shall apply to the preparation of such briefs.

   (E) Opinions.

   (1) Release of Written Opinions. The Court of Appeals will prepare a written opinion in cases where the court believes explanation of its decision is required or that the case is of value as a precedent. Opinions shall be released as ordered by the court.

   (2) Copies Mailed. A copy of each opinion shall be mailed to all attorneys and pro se parties whose names and addresses appear on briefs submitted in connection with the case.

   (3) Official Version. Official opinions of the Court of Appeals approved for publication in a permanent bound volume shall be the final, edited version which appears in the bound volume of the Nebraska Appellate Reports. Official opinions of the Court of Appeals not designated for permanent publication in the bound volume shall be the version which is filed with the Clerk of the Supreme Court.

   (4) Opinions of the Court of Appeals which the deciding panel has designated as "For Permanent Publication" may be cited in all courts and tribunals in the State of Nebraska. Other opinions and memorandum opinions of the Court of Appeals may be cited only when such case is related, by identity between the parties or the causes of action, to the case then before the court.

   (5) Opinions of the Court of Appeals which the deciding panel has designated as "For Permanent Publication" shall be followed as precedent by the courts and tribunals inferior to the Court of Appeals until such opinion is modified or overruled by the Nebraska Supreme Court.

   (6) The panel of the Court of Appeals deciding a case may designate its opinion as "For Permanent Publication" only when one or more of the criteria set in Neb. Rev. Stat. § 24‑1104(2) is satisfied.

   (F) Petition for Further Review by Supreme Court.

   (1) Time and Filing Fee. An original and one copy of a petition for further review and memorandum brief in support must be filed within 30 days after the release of the opinion of the Court of Appeals or the entry of the order of the Court of Appeals finally disposing of the appeal, whichever occurs later. For purposes of this subsection, an order of the Court of Appeals finally disposing of an appeal includes an order on a motion for rehearing or a motion for attorney fees. As of July 1, 2005, pursuant to Neb. Rev. Stat. § 33-103.01, a docket fee of $50 shall be paid to the Clerk of the Supreme Court at the time of the filing of the petition for further review. Such docket fee shall be required for each appellate case number in which further review is sought, regardless of consolidation of cases for opinion by the Court of Appeals, and by each party filing for further review. This docket fee shall be waived for an indigent person who has been granted leave to proceed in forma pauperis on appeal by the trial court.

   (2) Form. The petition for further review and memorandum brief in support shall be typewritten on 8½‑ by 11‑inch paper, shall be double‑spaced, and shall use 12-point type. The petition and supporting briefs shall not exceed 10 pages.

   (3) Contents. The petition for further review and supporting memorandum brief shall set forth a separate, concise statement of each error alleged to have been made by the Court of Appeals, all of which must be annotated to the record as required by § 2-109. Each assignment of error shall be separately numbered and paragraphed as required by § 2-109(D)(1)(e). The memorandum brief must discuss the errors assigned.

   (4) Response. Parties to the case not filing a petition for further review may respond to the petition within 10 days after the petition for further review and supporting brief are filed. The response and supporting brief shall not exceed 10 pages. If no response will be filed, parties may notify the Clerk of the Supreme Court in writing, and the petition will be submitted immediately.

   (5) Filing and Service. Petitions for further review, accompanying briefs in support, and responses thereto shall be filed and served as provided in § 2-109(B)(6). An original and one copy shall be filed in the office of the Supreme Court Clerk.

   (6) Submission. Oral argument is not permitted on a petition for further review. All petitions for further review will be submitted 14 days after the petition for further review is filed.

   (7) Mandate. No mandate will issue in any case during the time allowed for the filing of a petition for further review or pending the consideration thereof by the Supreme Court. If the petition is sustained, the mandate will not issue during the pendency of the appeal in the Supreme Court as provided for in § 2-114.

   (G) Scope of Review. Further review by the Supreme Court is not a matter of right, but of judicial discretion. If the Supreme Court grants review of a Court of Appeals decision, the Supreme Court will review only the errors assigned in the petition for further review and discussed in the supporting memorandum brief. The Supreme Court may limit the issues to one or more of those raised by the parties and may notice plain error at its discretion.

   (H) Briefs and Oral Argument on Further Review by Supreme Court. The Supreme Court may order that the parties file supplemental briefs, in accordance with § 2-109, and may order that oral argument be heard. Even without an order from the Supreme Court for briefs, each party may file additional briefs in compliance with § 2‑109 when further review by the Supreme Court is ordered. An original and one copy of the petitioning party's brief so prepared, together with proof of service, shall be filed in the Supreme Court Clerk's office within 20 days after the order for further review is entered; all nonpetitioning parties' briefs must be served and filed within 20 days after petitioner has served and filed briefs. For purposes of oral argument on further review, unless otherwise ordered by the Supreme Court on motion or stipulation of the parties or upon the Supreme Court’s own motion, the party filing the initial petition for further review shall be entitled to open and close the argument, regardless of whether cross‑petitions are filed in the case. Where there are cross‑petitions, the petition and cross‑petition shall be argued together as one case.

Rule 2, (A), and (C) – (H) amended May 28, 1992; Rule 2(E)(4) amended June 16, 1993; Rule 2(G)(1) amended June 15, 1994; Rule 2(E)(4) amended April 30, 1997; Rule 2(E)(5) and (6) adopted April 30, 1997; Rule 2(F)(4) amended May 29, 1997; Rule 2(G) adopted and Rule 2(H) amended March 24, 1999; Rule 2(F)(1) amended December 15, 1999; Rule 2(F)(3) amended November 15, 2001; Rule 2(H) amended January 24, 2002; Rule 2(F)(1) amended June 15, 2005; Rule 2(F)(1) amended January 19, 2006; Rule 2(F)(2) amended March 22, 2006. Renumbered and codified as § 2-102, effective July 18, 2008. § 2-102(B)(1) amended August 27, 2008; §§ 2-102(B)(1)-(2), (D), (F)(1) and (5), and (H) amended June 6, 2012.

 

§ 2-103. Court-appointed counsel in criminal cases.

   (A) Representation on Appeal. Counsel appointed in district court to represent a defendant in a criminal case other than a postconviction action shall, upon request by the defendant after judgment, file a notice of appeal and continue to represent the defendant unless permitted to withdraw by this court.

   (B) Motion to Withdraw. A motion of court‑appointed counsel for permission to withdraw shall state the reason for the request, and shall be served upon opposing counsel by regular mail and on the defendant by certified mail to the defendant’s last‑known address. An original and one copy of the motion and proof of service shall be filed with the Supreme Court Clerk.

Rule 3(B) amended February 22, 2001. Renumbered and codified as § 2-103, effective July 18, 2008.

§ 2-104. Transcript.

   (A) How Ordered; Contents.

   (1) Upon filing the notice of appeal, the appellant shall file with the court from which the appeal is taken a praecipe directing the clerk to prepare a transcript, which shall contain:

   (a) The pleadings upon which the case was tried, as designated by the appellant;

   (b) The judgment, decree, or final order sought to be reversed, vacated, or modified, and the lower court's memorandum opinion, if any; and

   (c) A copy of the supersedeas bond, if any, given in the district court, or, if none has been given, a recital of the fact that a bond for costs was given and approved in the district court, or a deposit made as required by Neb. Rev. Stat. § 25‑1914.

   (d) In cases where an application to proceed in forma pauperis has been filed, a copy of the order of the district court granting or denying such.

   (2) If the appellant is of the opinion that other parts of the record are necessary for the proper presentation of the errors assigned in this court, he or she shall further direct the clerk to include in the transcript such additional parts of the record as he or she shall specify in the praecipe, including the instructions given by the trial court, if the appellant intends to assign error in the giving of any instruction, and any tendered instruction refused, if the appellant intends to assign error to such refusal. The appellant shall limit his or her request for such additional material to only those portions of the record which are material to the assignments of error.

   (3) In filing a praecipe for transcript with the clerk of the district court, the party making such praecipe shall identify by name each specific document which the party desires to have included in the transcript pursuant to this rule. The clerk of the district court may not include, without specific written request, a copy of any document not required under this rule. The district court clerk shall, upon request, certify that the record does not contain a described document. The notice of appeal, praecipes for preparation of transcripts and bills of exceptions, and poverty affidavits shall not be included in the transcript, since they are previously certified and sent to this court.

   (B) Form.

   (1) The transcript may be typed or photocopied. The image produced shall be permanent, black on a white background, and sharply and clearly legible. Each document in the transcript shall bear a clear and distinct stamp or writing showing the date the document was filed by the clerk of the court. Transcripts shall be submitted on paper measuring 8½ by 11 inches. The paper shall be of approximately 16‑pound substance. The transcript shall be securely bound at the top center of each page with a fastener with prongs 2¾ inches apart on center. No pages in the transcript may be stapled. Each page shall be consecutively numbered, with the number at the bottom of the page. An index shall be supplied, referring to the initial page of each item contained in the transcript. The index, preceded by a caption of the case and the appellate court docket number, shall constitute the first page or pages of the transcript.

   (2) Journal entries may be typed as a group and included at the end of the transcript. Each entry must show the date it was filed with the clerk of the court and the name of the judge making the entry.

   (C) Supplemental Transcript. After the original transcript is filed in the office of the Supreme Court Clerk, any party may, without leave of court, request a supplemental transcript containing matters omitted from the original transcript and necessary to the proper presentation of the case in this court. The request shall be in writing, and in the same form as required in § 2-104(A). After filing, no change in the original or supplemental transcript shall be made, or papers added to or withdrawn from the transcript, without leave of court. All supplemental transcripts must be filed prior to the day the case is submitted to the court, unless leave of court is obtained in advance to file later. Supplemental transcripts shall be submitted in the same form as transcripts.

(D) Cases Previously Before the Court. If a case has been appealed previously and a transcript filed in the appellate court in the earlier case, the transcript in the new appeal should contain only pleadings filed after the issuance of the mandate of this court in the prior case.

COMMENT
   It is the intent of § 2-104 to reduce the bulk of transcripts filed with the court. The court specifically intends to eliminate requests for subpoenas, subpoenas, requests for summonses, summonses, interrogatories, appearances of counsel, notices, and other documents not relevant to the appeal. Opinions of the appellate courts appear in the Nebraska Reports and the Nebraska Appellate Reports and should never be included as part of a transcript.

Rule 4(A)(1)(a) – (c) amended May 28, 1992; Rule (A)(1)(d) adopted October 14, 1999. Renumbered and codified as § 2-104, effective July 18, 2008.

 

§ 2-105. Bill of exceptions, making, preserving, transcribing, and delivery of record of trial or other proceeding.

   (A) Making and Preserving Record.

   (1) "Court reporting personnel," as defined in Neb. Ct. R. § 1-204(A)(1), shall in all instances make a verbatim record of the evidence offered at trial or other evidentiary proceeding, including but not limited to objections to any evidence and rulings thereon, oral motions, and stipulations by the parties. This record may not be waived.

   (2) Upon the request of the court or of any party, either through counsel or pro se, the court reporting personnel shall make or have made a verbatim record of anything and everything said or done by anyone in the course of trial or any other proceeding, including, but not limited to, any pretrial matters; the voir dire examination; opening statements; arguments, including arguments on objections; any motion, comment, or statement made by the court in the presence and hearing of a panel of potential jurors or the trial jury; and any objection to the court's proposed instructions or to instructions tendered by any party, together with the court's rulings thereon, and any posttrial proceeding.

   (B) Transcribing and Delivery of Record; the Bill of Exceptions.

   (1) How Ordered, Contents, and Per-Page Rate.

   (a) Appellant shall file a request to prepare a bill of exceptions in the office of the clerk of the district court at the same time the notice of appeal is filed. At the same time, appellant shall deliver a copy of the request to the court reporting personnel.

   (b) The request shall specifically identify each portion of the evidence and exhibits offered at any hearing which the party appealing believes material to issues to be presented to the Supreme Court for review. The court reporting personnel shall prepare only those portions specified in the request for preparation of the bill of exceptions. If the appellant intends to urge on appeal that a finding or conclusion is unsupported by the evidence or is contrary to the evidence, the bill of exceptions must include all evidence relevant to the finding or conclusion. The appellant shall serve a copy of the request upon the appellee.

   (c) If the appellee believes additional evidence should be included in the bill of exceptions, the appellee shall, within 10 days after service of the request for bill of exceptions filed by the appellant, file a supplemental request for preparation of bill of exceptions. The request shall be filed with the clerk of the district court, and a copy shall be delivered simultaneously to the court reporting personnel by the appellee.

   (d) The bill of exceptions shall contain only matters of evidence or exhibits which are necessary for a determination of the issues on appeal.

   (e) The per‑page fee to which an official court reporter or privately contracted court transcriber is entitled, as prescribed by the Supreme Court pursuant to Neb. Rev. Stat. § 25‑1140.09 and set forth in Neb. Ct. R. § 1-219, shall be $3.25 per page for an original copy of a bill of exceptions and 50 cents per page for each additional copy, with numbering to begin with the cover page. Except in those cases where payment is to be made by a governmental agency, the State of Nebraska, or any political or governmental subdivision thereof, the court reporting personnel responsible for making the record shall advise appellant of the approximate cost of the bill of exceptions immediately after receipt of the request for preparation of the bill of exceptions. Appellant shall deposit the estimated cost with the court reporting personnel within 14 days after receipt of the estimate. Court reporting personnel shall retain the deposit in a separate trust account until the bill of exceptions is filed with the clerk of the district court. When the bill of exceptions is filed by the court reporting personnel responsible for making the record, he or she shall immediately refund any excess payment to the appellant. If additional compensation is due, appellant shall pay the additional amount within 10 days after receipt of a statement for the additional amount. A similar procedure shall be followed if an appellee requests a supplemental bill of exceptions, with the appellee being responsible for payments. If appellant fails to timely make the required deposit of the estimated cost of preparation, court reporting personnel shall forthwith file a notice of such failure with the clerk of the district court, who shall transmit a file-stamped copy thereof to the Clerk of the Supreme Court. Thereafter, unless leave of the appellate court for an extension of time is granted for good cause shown, the appeal shall proceed as if no bill of exceptions had been requested.

   (f) The party requesting the preparation of the bill of exceptions may, at any time before the bill of exceptions is completed, file with the clerk of the district court and serve upon the court reporting personnel a statement advising the court reporting personnel that settlement has been reached. Upon receipt of such statement, court reporting personnel shall cease any further work upon the bill of exceptions or, if applicable, immediately notify the private transcriber to cease further work upon the bill. Court reporting personnel shall be entitled to payment by the party ordering such bill of exceptions for the work performed up to the time that such notice was served upon the court reporting personnel and rules with regard to payment of the fees to the official court reporter or privately contracted court transcriber for the bill of exceptions, as otherwise provided herein, shall apply.

   (2) Delivery of Copy of Request. The clerk of the district court shall deliver a copy of each request filed, with attachments and endorsements thereon, to the Clerk of the Supreme Court, together with the notice of appeal.

COMMENT
   It is the responsibility of the attorney or pro se party to deliver a copy of the request to the official court reporter or courtroom clerk.

   (3) Preparation and Delivery by Court Reporting Personnel.

   (a) The bill of exceptions shall be filed with the clerk of the district court as soon as possible. The bill of exceptions must be filed within the following time limits unless an extension of time is approved by the Supreme Court in accordance with these rules:

                        Civil cases or criminal trials ............... 7 weeks
                        Guilty or nolo contendere pleas .......... 3 weeks
Preparation of the bill of exceptions shall commence from the date the notice of appeal is filed with the clerk of the district court. The clerk shall serve a copy of the notice of appeal on the court reporting personnel forthwith.

   (b) In each case appealed to the Supreme Court, court reporting personnel shall prepare or have prepared an original of the bill of exceptions; the original, together with all documentary and other evidence, shall be filed with the clerk of the district court. Court reporting personnel may retain the bill of exceptions until the deposit is made in compliance with § 2‑105(B)(1)(e).

   (i) The official court reporter or privately contracted transcriber shall prepare one or more write‑protected 3½‑inch computer disks, DVD’s, or CD’s containing the bill of exceptions, exclusive of exhibits, with line and page numbers corresponding to those of the original bill of exceptions. Such disks, DVD’s, or CD’s shall be formatted in Microsoft Word, or, if such formatting cannot be accomplished, in ASCII text (standard) or (stripped). An adhesive label shall be affixed to each computer disk legibly identifying the case caption, docket and page or case numbers, disk number (1 of 2, etc.), the format utilized, and the name of the reporter or private transcriber. The first line of the label shall be left blank. DVD’s and CD’s shall be marked in an appropriate manner with the same information as that required above for disks. Such disks, DVD’s, or CD’s and a photocopy of the cover page of Volume 1 of the bill of exceptions shall be mailed to the Clerk of the Supreme Court on the date when the bill of exceptions is filed in the district court. The bill of exceptions text may also be transmitted to the Clerk of the Supreme Court via e‑mail attachment sent to NSC.BOE@nebraska.gov and shall meet the formatting guidelines set out above. The subject line of such e‑mail transmission shall include the case name, trial court number, and Supreme Court or Court of Appeals case number, if available. Regardless of the transmission option utilized, each transmission shall be limited to a single bill of exceptions. Such disks, DVD’s, CD’s, or e‑mail attachments shall be for the exclusive use of the Supreme Court and authorized court personnel.

   (ii) Any official court reporter or privately contracted transcriber who lacks the technological capability to comply with § 2-105(B)(3)(b)(i) shall include in the bill of exceptions a separate certificate so stating.

   (c) If the official court reporter or privately contracted transcriber is unable to prepare and certify a bill of exceptions, or if a bill of exceptions cannot be prepared and certified under provisions contained elsewhere in these rules, the bill of exceptions shall be prepared under the direction and supervision of the trial judge and shall be certified by the judge and delivered to the clerk of the district court.

   (d) Upon receipt of the bill of exceptions, the clerk of the district court shall forthwith file it and notify all parties or their attorneys of record and the Clerk of the Supreme Court of the date of such filing. When filed with the clerk of the district court, such bill of exceptions becomes the official bill of exceptions in the case and shall not be altered or marked in any fashion or be disassembled for any purpose. The clerk of the district court shall file the bill of exceptions in the office of the Clerk of the Supreme Court within 5 days after a case has been placed on the Supreme Court's proposed call for argument, or at such earlier time as the Clerk of the Supreme Court may request.

   (4) Extension of Time for Preparation of Bill of Exceptions.

   (a) Where a bill of exceptions has been ordered according to law and these rules by the timely filing of a request, and the court reporting personnel are unable to prepare or have prepared and file the bill of exceptions with the clerk of the district court within the times fixed by § 2-105(B)(3), the Supreme Court may grant additional time for preparation of the bill of exceptions.

   (b) A request for additional time for preparation of the bill of exceptions may be made by any party to the action. The request shall be made either by motion, which must be submitted to the Supreme Court as provided in § 2-106, or by the stipulation of all parties to the action. The motion or stipulation must be accompanied by the original copy of the affidavit of the court reporting personnel setting forth the following information:

   (i) the work performed in court since the receipt of the request on which extension is being requested;

   (ii) the number of requests on hand on the date of receipt of the request on which extension is being requested;

   (iii) the estimated total pages comprising the bill of exceptions, together with the number of pages completed as of the date the extension is requested;

   (iv) the amount of time spent on clerical or stenographic duties for the appointing judge;

   (v) the hours and dates spent in the performance of work for other than the appointing judge;

   (vi) any illnesses or family emergencies contributing to the need for the requested extension;

   (vii) any vacation time used since the receipt of the request on which extension is being requested; and

   (viii) the method of preparing the bill of exceptions; e.g., prepared by the official court reporter, note‑reader used, dictated by the reporter and prepared by a typist, or prepared by a privately contracted court transcriber.

   (c) A request for extension must be made not later than 7 days prior to the expiration of the time originally prescribed, or not later than 7 days prior to the expiration of an extension previously granted. Each such request shall bear the approval of the appointing judge. A first extension will not be routinely granted.

   (d) Except for exceptional cause, no more than one 2‑week extension of the time originally prescribed will be granted.

   (5) Amendments to the Bill of Exceptions. The parties in the case may amend the bill of exceptions by written agreement to be attached to the bill of exceptions at any time prior to the time the case is submitted to the Supreme Court. Proposed amendments not agreed to by all the parties to the case shall be heard and decided by the district court after such notice as the court shall direct. The order of the district court thereon shall be attached to the bill of exceptions prior to the time the case is submitted to the Supreme Court. Hearings with respect to proposed amendments to a bill of exceptions may be held at chambers anywhere in the state. If the judge shall have ceased to hold office, or shall be prevented by disability from holding the hearing, or shall be absent from the state, such proposed amendments shall be heard by the successor judge, or by another district judge in the district, or by a district judge in an adjoining judicial district.

   (6) Form of the Bill of Exceptions.

   (a) The bill of exceptions shall have an index, which shall be the first item in the first volume. The index shall show:

   (i) each witness in the order called, and for whom called, and the initial page of the direct, cross, redirect, and recross examination,

   (ii) motions to dismiss or to instruct a verdict and any other motions of major import, and stipulations, together with the rulings of the court thereon, and the page or pages where made and ruled on, and

   (iii) all exhibits, with a description, and the initial page where marked, offered, ruled on, and found.

   (b) The certificate of the official court reporter or privately contracted court transcriber shall immediately follow the index in the first volume of the bill of exceptions.

   (c) The paper used in the bill of exceptions shall be 8½ by 11 inches and of suitable weight and quality as to make the printing thereon easily legible. If computer-generated, the bill of exceptions shall be in not smaller than 12-point Courier, Arial or Helvetica, or Times or Times New Roman font, double spaced, with not less than 12 points of leading. If typewritten, the bill of exceptions shall be double spaced, using nothing smaller than 12-point type. Each volume shall be bound on the lefthand side with either a wire or a plastic spiral. The pages, no matter how many volumes, shall be numbered consecutively, and no volume shall contain over 250 pages. If the record is of such size that it requires more than one volume, then all volumes shall be as nearly of equal size as possible. Each page of the bill of exceptions shall have line numbers in the left‑hand margin from 1 to 25, inclusive, and the lines of typing shall be placed to correspond therewith. No margin line shall exceed ½ inch from the righthand edge of the page. The full name of each witness and whether the examination is direct, cross, or further examination shall be stated at the top of each page of the witness' testimony. Each volume must be an original copy and must have a cover and back; the cover shall be of flexible and the back of rigid material. Exhibits are to be marked in numerical order, irrespective of the party producing them, and shall show the date on which they were marked. The sequential numbering of exhibits shall begin with the first hearing held in the case and continue until final disposition. The same number shall not be given to more than one exhibit in any case. If the pages of a multipage exhibit are not otherwise numbered, the official court reporter or private transcriber shall number the pages in sequence and shall in all instances mark such an exhibit so as to indicate the number of pages it contains. Ordinarily, exhibits or papers contained in the bill of exceptions should be placed in the record immediately following where they are ruled on by the court. If exhibits are frequently referred to in the testimony, they should be inserted in the record in such a manner as to be easily removed; for instance, by placing them in an attached envelope. If the exhibits are of such character or so numerous that to insert them in any volume containing testimony would make the volume cumbersome and difficult to handle while reading, then such exhibits should be contained in a separate volume. If exhibits are of such character that they cannot be inserted in a bound volume, then they should separately accompany the record. Whether in separate volumes or separately accompanying the record, all exhibits should be properly identified as part of the record in the official court reporter's or private transcriber's certificate. Except for documents, which term includes photographs and taped video and sound recordings, the bill of exceptions shall contain no item of physical evidence. The term "physical evidence" means any nondocumentary items as defined above and includes, but is not limited to, items such as weapons, contraband, wearing apparel, models, money, and body fluids. The party offering any nondocumentary item of physical evidence shall substitute therefor a photograph, not larger than 8½ by 11½ inches, which fairly and accurately depicts the item. If the party offering an item of nondocumentary evidence fails to provide a suitable substitute photograph, the court reporting personnel shall cause one to be made at the offering party's expense. The court reporting personnel shall in all instances preserve the nondocumentary item of physical evidence and shall make it available to the Supreme Court upon request. The bill of exceptions shall be visually neat. No typing errors or corrections shall be unduly noticeable. All corrections and additions shall be on the same line as the rest of the typed line; no insertion is permitted in the space between two lines of type. Corrections shall not be written in.

   (7) Video and Audio Exhibits and Depositions in the Nebraska Supreme Court.

   (a) Video exhibits and video depositions may be submitted to the court on either videotape or DVD. The court shall maintain video equipment capable of playback of VHS videotape and DVD‑Video.

   (i) The standard videotape for the Nebraska Supreme Court shall be VHS. If any other videotape, e.g., Beta, is presented to the court as an exhibit or deposition which is not able to be played back on VHS equipment, the party submitting the videotape shall provide at his or her own expense the appropriate equipment for playback.

   (ii) DVD's shall be created in a manner which will allow playback on standard DVD‑Video players and the format used to create the DVD, e.g., .mpeg, .avi, .mov, etc., must be stated on the DVD. If a DVD is presented to the court as an exhibit or deposition which is not able to be played back on the court's DVD‑Video equipment, the party submitting the DVD shall provide at his or her own expense the appropriate equipment for playback.

   (b) Audio exhibits and depositions may be submitted to the court on a cassette tape or an Audio CD or CD‑R in either .mp3 or .wav format. The court shall maintain equipment capable of audio playback of cassette tapes and Audio CD's and CD‑R's in .mp3 or .wav format. If any other type of audio recording is presented to the court which cannot be played back on the equipment maintained by the court, the party submitting the audio recording shall provide at his or her own expense the appropriate equipment for playback.

   (8) Delivery of the Bill of Exceptions to the Supreme Court; Certain Evidence Excluded. Upon request by counsel or the Clerk of the Supreme Court, the clerk of the district court shall send bound volumes and exhibits of the bill of exceptions to the Clerk of the Supreme Court. The clerk of the district court shall not be required to send any exhibits which may not be sent by United Parcel Service or the U.S. mail. It shall be the duty of the party wishing such exhibit, or an exhibit which is large and cumbersome, to be brought to the Supreme Court to arrange and pay for transporting the exhibit to the Supreme Court Clerk and to arrange and pay for return thereof to the clerk of the district court; provided, however, that if a request for such an exhibit is made by the Supreme Court, the appellant shall arrange and pay for transporting the exhibit to the Supreme Court Clerk and to arrange and pay for return thereof to the clerk of the district court. Under no circumstances shall the clerk of the district court send to the Clerk of the Supreme Court contraband, drugs, firearms, or other weapons, unless specifically requested to do so by the Supreme Court.

   (9) Applicability to Appeals From Tribunals Other Than District Court. These rules shall apply to all appeals and error proceedings where specific provision is not made by law for a bill of exceptions. Any court reporting personnel approved by the court, board, or tribunal from which the appeal or error proceedings is taken may attend and record the trial or proceedings and prepare a bill of exceptions, certified to be true and complete by such court reporting personnel, and file the same with the chief clerical officer of such court, board, or tribunal. Proposed amendments not agreed to shall be heard and determined by such court, board, or tribunal as provided in § 2‑105(B)(5). The completed bill of exceptions shall be filed in the reviewing court within the time provided by law and, if no time be fixed, before the case is submitted to the reviewing court.

   (10) Bills of Exceptions From Other Tribunals Filed in District Court. The clerk of the district court shall promptly forward any bill of exceptions from another tribunal filed in the district court to the court reporting personnel serving the district court judge to whom the case is assigned. Said court reporting personnel shall review the bill of exceptions for the purpose of determining whether it has been prepared in compliance with § 2-105(B)(6). If in the opinion of the court reporting personnel the bill of exceptions has not been so prepared, the court reporting personnel shall advise the judge to whom the case is assigned for such action as the judge deems appropriate.

   (11) Criminal Cases. In all criminal cases where a defendant shall feel himself or herself aggrieved by any decision of the district court, he or she may order a bill of exceptions, and the ordering, preparing, signing, filing, correcting, and amending thereof shall be governed by the rules established in such matters in civil cases. In criminal cases where the sentence is capital punishment, the clerk of the district court in which the conviction was had shall notify the court reporting personnel, who shall prepare the bill of exceptions as expeditiously as possible, but in no event to exceed the time limitations prescribed in § 2-105(B)(3)(a), unless an extension for such later filing is granted by the Supreme Court.

   (12) Statement of Cost. The certificate of the official court reporter or private transcriber shall include a statement of the cost of the bill of exceptions and a showing that such amount is one permitted to be charged by § 2-105(B)(1)(e) and Neb. Ct. R. § 1-219.

   (13) Case Stated. The parties may by agreement state the case to be presented to this court on appeal. The case stated shall briefly recite the facts out of which the questions of law arise, and also any substantial conflict in the evidence as to any fact involved. It shall separately identify and quote the rulings of the court complained of, with so much of the record as will fully show the law question involved in such ruling and the exceptions and contentions of the parties thereon. The case stated shall constitute the bill of exceptions. It must be allowed and certified by the judge who tried the case, filed with the clerk of the district court, made a part of the record of the district court as in other cases, and included therein when the transcript of the record is filed in this court.

Rule 5(C)(1) and (K) amended May 28, 1992; Rule 5(F)(3) amended November 25, 1992; Rule 5(A)(2) amended February 18, 1993; Rule 5(F)(3) amended May 26, 1993; Rule 5(J), (K), (L), and (M) amended September 14, 1994; Rule 5 amended in its entirety February 1, 1995; Rule 5(B)(6)(c) amended September 25, 1996; Rule 5(B)(3)(b) amended September 20, 2000; Rule 5(B)(3)(b)(i) amended June 5, 2002; Rule 5(B)(3)(d) amended Dec. 22, 2004; Rule 5(B)(1)(e) and (B)(12) amended June 22, 2005; Rule 5(B)(3)(b) and (B)(7) amended October 26, 2005; Rule 5(B)(3)b(i) amended January 19, 2006; Rule 5(B)(3)b(i) amended February 23, 2006; Rule 5(B)(6)(c) amended March 22, 2006; Rule 5(B)(1)(e) amended June 4, 2008, effective June 18, 2008. Renumbered and codified as § 2-105, effective July 18, 2008; § 2-105(B)(3)(b)(i) amended December 10, 2008; § 2-105 amended June 9, 2010.

§ 2-106. Motions generally.

   (A) Motions Not Covered. Motions for summary disposition and motions for rehearing are covered in §§ 2‑107 and 2-113 respectively, and are not covered by this rule.

   (B) Form. All motions shall be typewritten on 8½‑ by 11‑inch paper. Type shall be 12-point and shall be double‑ or 1½‑spaced.

   (C) Content. A motion shall set forth the relief requested and must:

   (1) Be agreed to by opposing counsel in the form of a stipulation; or

   (2) Be submitted to the court for decision 14 days after it is filed with the Supreme Court Clerk or after service upon opposing counsel, whichever is later. Any response to the motion must be in writing and filed prior to the submission date.

   (D) Filing and Service of Motions. An original and one copy of the motion and proof of service shall be filed with the Supreme Court Clerk and a copy shall be served upon the opposing party or the attorney of record. Service and proof of service may be made as provided in Neb. Ct. R. Pldg. §§ 6‑1105(b) and 6-1106(e).

   (E) Oral Argument. No oral argument is permitted on any motion except as may be ordered by the Supreme Court; in such event, oral argument shall be limited to 5 minutes per side.

   (F) Motions for Extension of Brief Date.

   (1) No extension of brief date will be allowed in any advanced case (see § 2-111(B)(2)) except upon a showing of exceptional cause.

   (2) For cases which are not advanced, the procedures contained in § 2-106(C) and (D) shall be followed. Any request for extension of brief date beyond the first 30‑day extension must be supported by a showing of good cause. Neither the stipulation of the parties nor the press of other business constitutes good cause.

See appendices 1 and 2 for form.

   (G) Waiver Acceptable. Opposing counsel may waive notice, hearing, and objections to a motion.

   (H) Briefs. Complex motions may be accompanied by a typewritten brief. The brief may be in memorandum form. If a brief is filed in support of a motion, an original and one copy of the motions and the brief shall be filed together.

Rule 6(D) amended May 28, 1992; Rule 6(D) amended May 29, 1997; Rule 6(B) amended March 22, 2006. Renumbered and codified as § 2-106, effective July 18, 2008. § 2-106(D) amended August 27, 2008; § 2-106(H) amended June 6, 2012.

§ 2-107. Summary Dispositions.

   (A) Summary Disposition on the Supreme Court's Own Motion.

COMMENT
   Parties may not request disposition under this section of this rule.

   (1) When the court determines that any one or more of the following circumstances exist and are dispositive of the case submitted to the court for decision:

   (a) the judgment is based on findings of fact which are not clearly erroneous;

   (b) the evidence in support of a jury verdict is not insufficient;

   (c) the judgment or order is supported by substantial evidence in the record as a whole; or

   (d) no error of law appears;

and the court also determines that a detailed opinion would have no precedential value, the judgment or order will be affirmed in the following manner: "AFFIRMED. See Neb. Ct. R. App. P. § 2-107(A)(1)."

   (2) When the court determines it lacks jurisdiction the appeal will be dismissed in the following manner: "APPEAL DISMISSED. See Neb. Ct. R. App. P. § 2-107(A)(2)."

   (3) When the court determines that grounds may exist for summary reversal of the order or judgment appealed from, such as a prior controlling appellate decision which is dispositive of the appeal or a clear error of law exists, the court may summarily reverse or reverse and remand. Such disposition may occur only after an order to show cause has issued, citing the appellate decision or law deemed controlling, and the parties have been provided an adequate opportunity to respond.

   (B) Motions for Summary Dismissal or Affirmance.

   (1) A motion to dismiss for lack of jurisdiction may be filed at any time after an appeal has been docketed. Such a motion shall document the claimed lack of jurisdiction by citations to the dispositive portions of the record and to the controlling statutory and case law.

   (2) A motion to affirm on the ground that the questions presented for review are so unsubstantial as not to require argument may be filed after the appellant's brief has been filed or the time for filing has expired. Such a motion shall document the claimed lack of substance of the questions presented by citations to the dispositive portions of the record and to the controlling statutory and case law.

   (3) Where appropriate, a motion to affirm may be joined, in the alternative, with a motion to dismiss.

   (4) The appellant may file written objections opposing the motion within 10 days from the date of service of the motion.

   (5) Upon the filing of objections or the expiration of time allowed therefor, or express waiver of the right to file, a motion for summary disposition shall be considered submitted.

   (6) Motions for summary dismissal or affirmance must be typewritten on 8½‑ by 11‑inch paper.

   (7) The motion and proof of service shall be filed with the Supreme Court Clerk and a copy shall be served upon all other parties or the attorneys of record. Service and proof of service may be made as provided in Neb. Ct. R. Pldg. §§ 6‑1105(b) and 6-1106(e). An original and one copy of any motion, objections, or supporting briefs shall be filed.

   (8) The time for filing briefs under § 2-109 is not extended by the filing of a motion for summary dismissal or affirmance.

See appendix 3 for form.

   (C) Stipulation of Parties for Summary Reversal.

   (1) At any time after an appeal has been docketed the parties may file a stipulation that grounds exist for summary reversal of the order or judgment appealed from, such as a prior controlling appellate decision which is dispositive of the appeal or the existence of a clear error of law. The stipulation must cite the appellate decision or law deemed to be controlling and must be executed by all the parties to the appeal.

   (2) Stipulations for summary reversal must be submitted on 8½‑ by 11‑inch paper and otherwise conform to the requirements set forth in § 2-107(B)(6), (7), and (8) above.

   (D) Suggestion of Mootness in Prison Disciplinary and Postconviction Relief Appeals.

   (1) It is the duty of all parties to an appeal of a prison disciplinary procedure governed by Neb. Rev. Stat. § 83‑4,109 et seq., at all times during the course of an appeal, to inform the appellate court that the defendant is no longer in custody under sentence and that, therefore, the issue of the prison disciplinary procedure is moot.

   It is the duty of all parties to an appeal of a postconviction relief action governed by Neb. Rev. Stat. § 29‑3001 et seq., at all times during the course of an appeal, to inform the appellate court that the defendant is no longer in custody under sentence, which could render the issue of the postconviction relief action moot.

   (2) Form.

   (a) If any party determines that the issue of the prison disciplinary procedure or postconviction relief action has been rendered moot, the party shall so advise the court by filing a "suggestion of mootness" in the form of a motion to dismiss on the ground that the question presented is moot.

   (b) The opposing party or parties may file written objections opposing the motion within 10 days from the date of service of the motion.

   (c) Upon the filing of objections or the expiration of time allowed therefor, or express waiver of the right to file, a motion for summary disposition on the grounds of mootness shall be considered submitted.

   (d) Motions for summary disposition on the grounds of mootness must be submitted on 8½‑ by 11‑inch paper and otherwise conform to filing requirements.

   (e) The motion and proof of service shall be filed with the Supreme Court Clerk and a copy shall be served upon all other parties or the attorneys of record. Service and proof of service may be made as provided in Neb. Ct. R. Pldg. §§ 6‑1105(b) and 6-1106(e). An original and one copy of any motion, objections, or supporting briefs shall be filed.

   (f) The time for filing briefs under § 2-109 is not extended by the filing of a motion for summary disposition on the grounds of mootness.

Rule 7(B)(1) amended August 25, 1993; Rule 7(C) adopted January 23, 1997; Rule 7(B)(7) amended May 29, 1997; Rule 7(A)(3) adopted September 19, 2001; Rule 7(C) amended to (7)(D) September 19, 2001; Rule 7(C) adopted September 19, 2001. Renumbered and codified as § 2-107, effective July 18, 2008. §§ 2-107(B)(7) and (D)(2)(e) amended August 27, 2008; § 2-107(B)(7) and (D)(2)(e) amended June 6, 2012.

§ 2-108. Dismissal of appeal.

   (A) Parties. An appeal may be dismissed by the appellant or appellants.

   (B) Form. The motion to dismiss must be in such typewritten form as provided in § 2-106(B).

   (C) Service. A motion to dismiss must be served upon the attorney or attorneys of record for all other parties, and must contain proof of such service.

See appendix 3 for form.

   (D) Time for Response of Appellees. A motion to dismiss filed by appellant will be submitted to the court 14 days after it is filed with the Supreme Court Clerk or after service upon opposing counsel, whichever is later. Appellee's response to the motion must be made within 14 days. Any party having a right of cross‑appeal at the time the motion to dismiss is filed may, within the 14‑day period provided in this rule, file a notice of intention to cross‑appeal. Upon the filing of such notice, the court shall deny the motion to dismiss and shall fix a brief day for the cross‑appellant. The cause shall then proceed as if the appeal had originally been perfected by the appellee who has cross‑appealed.

   (E) Dismissal by Agreement. All parties may agree to the dismissal of the appeal. In that event, appellees may waive objection to the motion to dismiss, or a stipulation may be filed instead of a motion.

§ 2-109. Briefs.

   (A) Time for Filing. The briefs listed below must be filed within the times stated in these rules. Briefs in support of motions are described in §§ 2-106, 2-107, and 2-113. Requests for additional time to file briefs must be made in accordance with the provisions of § 2-106. NO EXTENSIONS OF TIME WILL BE ALLOWED IN ADVANCED CASES EXCEPT UPON A SHOWING OF EXCEPTIONAL CAUSE.

   (1) Appellant's briefs must be served and filed as follows:

   (a) No request for preparation of bill of exceptions filed: 2 months from the date the appeal is filed in the Supreme Court.

   (b) Request for preparation of bill of exceptions filed: 1 month after the date the bill of exceptions is due to be filed.

   (2) Appellee's brief must be served and filed within 1 month after appellant has served and filed briefs. If service of appellant's brief is by mail, 3 days are added to allow for delivery time. (See Neb. Ct. R. Pldg. § 6-1106(e).)

   (3) Appellant's reply brief must be served and filed within 14 days after appellee has served and filed briefs; 3 days are added if service of appellee's brief is by mail.

   (4) Briefs of amicus curiae may not be filed without leave of court. (See § 2-106.) Leave to file amicus briefs shall not be considered within 20 days of oral argument.

   (5) A motion for rehearing and brief in support must be filed in the office of the Supreme Court Clerk within 10 days after the release of the opinion of the court or the entry of the order of the court disposing of the appeal. Any response to the motion for rehearing must be filed in the office of the Supreme Court Clerk within 10 days after the motion for rehearing and brief in support is filed. An original and one copy of said motion for rehearing and brief in support or response to the motion for rehearing are required to be filed in Supreme Court and Court of Appeals cases. See § 2-113 for the form and content of a motion for rehearing.

   (6) If rehearing is granted in a case, the parties may file additional briefs at least 1 week prior to reargument or other submission to the court. See § 2-111.

   (7) Briefs in advanced cases are due as provided by these rules or as ordered by the court.

   (B) Form.

   (1) Printed briefs shall be produced on unglazed white book paper on pages 6½ inches wide and 9½ inches long, trimmed size. The printed matter shall be black in color, 4 inches wide and 7 inches long. The type used may be 11 or 12 point with lines leaded 2 points, except in quotations which may be leaded 1 point. Type may be underscored, italicized, or boldfaced for emphasis. The use of footnotes is not permitted. The brief shall have a cover, which may be of heavier stock than the rest of the brief.

   (2) Computer-generated or typewritten briefs may be filed in any case on unglazed, white, 8½- by 11-inch paper of at least 16 pound weight and shall be bound by a single paper clip or binder clip in the upper left-hand corner only. The print on such briefs shall be black in color, shall be on only one side of each sheet, and may be mechanically reproduced on uncoated white paper by any method which provides a clear and distinct image of the type. Type may be underscored, italicized, or boldfaced for emphasis. Quoted material of 50 words or more shall be indented five spaces from the left margin. A page shall contain not more than 25 lines, and margins shall be at least 1 inch at the sides, top, and bottom. The use of programs which condense the space between letters or words is not permitted. The use of footnotes is not permitted. Brief covers shall not be of greater weight than the paper within the brief and shall have a dull finish, allowing the ink to penetrate.

   (a) Computer-generated briefs shall be in not less than 12-point Courier, Arial or Helvetica, or Times or Times New Roman font, double spaced, with not less than 12 points of leading.

   (b) Typewritten briefs shall be in nothing smaller than 12-point type and double spaced.

   (3) The cover shall show the Supreme Court number, the case caption listing the plaintiff first (regardless of who is appellant), the county from which the case was brought, the name of the trial judge, the name, address, city, state, zip code, telephone number, e-mail address, and Nebraska attorney identification number of the attorney filing the brief (the name of the law firm, if any, may also appear), and the name of the party for whom the brief is filed. If a party or parties represent themselves, it shall contain the above information except for the identification number. The cover of the brief shall serve as the title page, and no additional title page may be contained within the brief.

   (4) The color of the brief covers shall be:

   (a) Appellant, or plaintiff in an original action,‑‑gray (same for reply brief);

   (b) Appellee, or defendant in an original action,‑‑tan; and

   (c) Amicus‑‑white.

   (5) Briefs may not exceed the following page lengths: original submission (combined total of appellant's brief, reply brief, and answer brief to cross‑appeal, or combined total of appellee's brief, brief on cross‑appeal, and reply brief to answer brief on cross‑appeal), 50 pages; motions for rehearing and amicus curiae, 15 pages. These page limitations are exclusive of the cover; the table of contents, the table of cases, statutes, and authorities; and the certificate of mailing, but inclusive of all other pages and materials, including appendixes, indices, exhibits, and other documents of any nature, character, kind, or description whatsoever.

   (6) Service of a copy of the brief shall be made either on the opposing party or the attorney of record for the party and upon all other parties participating in the appeal. Service may be made either by personal service or by regular, certified, or registered mail. Proof of service may be shown by the affidavit of the person making service or by the receipt of the party or attorney served.

   (7) An original and one copy of all Supreme Court and Court of Appeals briefs, together with proof of service, shall be filed in the office of the Supreme Court Clerk on or before the date the brief is due.

   (C) General Rules for Preparation of Briefs. In the preparation of the brief, the following general rules shall be observed:

   (1) References to the transcript shall be made by setting forth in parentheses the capital letter "T" followed by the page of the transcript, as, for example, (T26). In original actions, references shall be made to the pleading and page thereof.

   (2) References to questions, answers, objections, motions, rulings, or any other matters found in the bill of exceptions shall be made by setting forth in parentheses the numbered page and line in the bill of exceptions where found, as, for example, (156:12). The number preceding the colon should represent the page of the bill of exceptions where found, and the number following the colon, the line.

   (3) References to exhibits in the bill of exceptions shall be made by setting forth in parentheses the capital letter E, followed by the number of the exhibit, followed by a comma and the page of the exhibit on which the material to which reference is made appears, followed by a colon and the page of the bill of exceptions where the exhibit was offered and received or refused, followed by a comma and the page where the exhibit is found, as, for example, (E5,3:92, 95). References to documents not in the bill of exceptions but nonetheless subject to review by the Supreme Court, such as a presentence investigation report, shall identify the document, followed by a comma and the page on which the material to which reference is made appears, as, for example, (Presentence Investigation Report, p. 75).

   (4) Every reference to a reported case shall set forth the title thereof, the volume and page where found, the tribunal deciding the case, and the year decided. If the cited opinion is long, it shall also refer to the page where the pertinent portion of the opinion is found. Nebraska cases shall be cited by the Nebraska Reports and/or Nebraska Appellate Reports, but may include citation to such other reports as may contain such cases.

   (5) If a current statute is relied upon, it must be cited from the last published revision or compilation of the statutes, or supplement thereto, if contained therein; if not contained therein, to the session laws wherein contained, or the legislative bill as enacted.

   (6) Citations to textbooks, encyclopedias, and other works shall give the title, edition, year of publication, volume number, section, and page where found.

   (D) Content of Briefs. BRIEFS FILED WITH THE CLERK OF THE SUPREME COURT AND COURT OF APPEALS SHALL NOT BE CONFIDENTIAL. A brief shall not contain a reproduction, quotation, or extensive paraphrase of material which is declared by any statute or other rule of the Supreme Court to be confidential. Instead, parties or counsel may include a citation in the brief, as set forth in § 2-109(C)(1) to (3), to the portion of the record which is confidential.

   (1) The brief of appellant, or plaintiff in an original action, shall contain the following sections, under appropriate headings, and in the order indicated:

   (a) The title page, which is the cover;

   (b) A table of contents with page references, and an alphabetically arranged table of cases, statutes, and other authorities cited, with references to the pages of the brief where cited;

   (c) A statement of the basis of jurisdiction of the appellate court. The jurisdictional statement must identify the statute, court rule, or case law believed to confer jurisdiction on the Supreme Court or Court of Appeals, state relevant facts establishing why the judgment or order sought to be reviewed is an appealable order, and further must include the following information:

   (i) the date of entry of the judgment or order sought to be reviewed;

   (ii) the date of filing of any motion claimed to toll the time within which to appeal, the disposition of such motion, and the date of entry of the order disposing of it;

   (iii) the date of filing of the notice of appeal, and the date of depositing of the docket fee or date of the granting of the order to proceed in forma pauperis, and;

   (iv) if the order sought to be reviewed adjudicates fewer than all the claims, or the rights and liabilities of fewer than all the parties, the jurisdictional statement must recite the language of the lower court's order providing the basis for such interlocutory appeal or otherwise identify the statute, court rule, or case law authorizing such interlocutory appeal.

   (d) A statement of the case, which, in original actions, shall state the issues before the court. Except in original actions, the statement of the case shall contain the following, in the order indicated: (1) The kind of action or nature of the case; (2) the issues actually tried in the court below; (3) how the issues were decided and what judgment or decree was entered by the trial court; and (4) the scope of the Supreme Court's review;

   (e) A separate, concise statement of each error a party contends was made by the trial court, together with the issues pertaining to the assignments of error. Each assignment of error shall be separately numbered and paragraphed, bearing in mind that consideration of the case will be limited to errors assigned and discussed. The court may, at its option, notice a plain error not assigned;

   (f) Propositions of law shall be contained in separate, numbered paragraphs, and shall state concisely and without argument or elaboration the legal propositions urged as controlling. Only propositions discussed in the argument shall be stated. Each proposition of law shall be followed by a list of supporting authorities. Preference in citation shall be given to those authorities deemed most important. Authorities cited under any proposition must be quoted or otherwise discussed in the argument;

   (g) The statement of facts shall be made in narrative form, and shall consist of so much of the substance of the record as is necessary to present the case. Each and every recitation of fact, whether in the statement of facts or elsewhere in the brief, shall be annotated to the record in the manner set forth in § 2-109(C);

   (h)The appellant's brief must contain, under appropriate headings, a summary of the argument, which must contain a succinct, clear, and accurate statement of the arguments made in the body of the brief and which must not merely repeat the argument headings. The appellee's brief may contain such summary; and

   (i) The argument shall present each question separately, and shall present each proposition of law as best sets forth the contentions of the party. Authorities relied upon shall be quoted or otherwise discussed. A party may make such further statements of fact or quotations from the record as deemed necessary to properly present the question, supporting such facts by appropriate references to the record.

   (2) The brief of appellee, or defendant in an original action, shall contain the following matters, in the order indicated:

   (a) Table of contents and table of cases cited;

   (b) A statement of the basis of jurisdiction of the appellate court, if appellant's statement is not accepted as correct;

   (c) Statement of the case, if appellant's statement thereof is not accepted as correct;

   (d) Propositions of law;

   (e) Statement of facts, if appellant's statement is not accepted as correct or is amplified. Each and every recitation of fact shall be annotated to the record in the manner set forth in § 2-109(C), no matter where in appellee's brief such recitation is made; and

   (f) Argument.

   (3) If a party wishes to avail himself or herself of the provisions of the statute with reference to remittitur, a special assignment of error may be made in the brief of appellee, or a cross‑appeal may be taken.

   (4) Where the brief of appellee presents a cross‑appeal, it shall be noted on the cover of the brief and it shall be set forth in a separate division of the brief. This division shall be headed "Brief on Cross‑Appeal" and shall be prepared in the same manner and under the same rules as the brief of appellant.

   (5) The reply brief shall be prepared in the same manner as the brief of appellee. The answer of appellant to any cross‑appeal shall be set forth in a separate division of the reply brief and shall be headed "Answer to Brief on Cross‑Appeal," and shall be noted on the cover of the brief.

   (6) All rules for motions for rehearing may be found in § 2-113.

   (E) Cases Involving Constitutional Questions. A party presenting a case involving the federal or state constitutionality of a statute must file and serve notice thereof with the Supreme Court Clerk by a separate written notice or by notice in a Petition to Bypass at the time of filing such party's brief. If the Attorney General is not already a party to an action where the constitutionality of the statute is in issue, a copy of the brief assigning unconstitutionality must be served on the Attorney General within 5 days of the filing of the brief with the Supreme Court Clerk; proof of such service shall be filed with the Supreme Court Clerk.

   (F) Any person who claims the right under the law or a uniform course of practice to an attorney fee in a civil case appealed to the Supreme Court or the Court of Appeals must file a motion for the allowance of such a fee supported by an affidavit which justifies the amount of the fee sought for services in the appellate court. Such a motion must be filed no later than 10 days after the release of the opinion of the court or the entry of the order of the court disposing of the appeal, unless otherwise provided by statute. Any person filing a motion for attorney fees beyond the 10-day time limit must include within the motion a citation to the statutory authority permitting a filing beyond the time limit prescribed by this rule. For purposes of this subsection an order of the court disposing of the appeal shall include an order disposing of a motion for rehearing. A motion for attorney fees which is timely filed in the Court of Appeals shall toll the time for filing a petition for further review. See § 2-102(F). An original and one copy of such motion and proof of service shall be filed with the Supreme Court Clerk, and a copy shall be served upon the opposing party or the attorney of record. A court-appointed attorney in a criminal case, appealed to the Supreme Court or the Court of Appeals, may, after issuance of a mandate by the appellate court, apply to the appointing court for an attorney fee regarding services in the appeal.

Rule 9(B)(1), (B)(2)(e), and (B)(5) amended March 25, 1992; Rule 9(B)(2)e amended April 22, 1992; Rule 9(A)(5) amended April 29, 1992; Rule 9(A)(2) amended May 28, 1992; Rule 9(F) amended July 1, 1992; Rule 9(F) amended November 25, 1992; Rule 9(B)(7) amended June 15, 1994; Rule 9(A)(5) and (B)(7) amended October 17, 1995; Rule 9(B) amended September 25, 1996; Rule 9(B)(1) amended November 20, 1996;  Rule 9(A) and (B)(6) amended May 29, 1997; Rule 9(A)(4) amended March 17, 1999; Rule 9(D)(1) and (2) amended October 27, 1999, effective December 6, 1999;  Rule 9(F) amended December 15, 1999; Rule 9(B)(3) amended June 6, 2001; Rule 9(F) amended November 15, 2001; Rule 9(B)(2)(b) amended March 22, 2006; Rule 9(E) amended June 4, 2008, effective June 18, 2008. Renumbered and codified as § 2-109, effective July 18, 2008. § 2-109(A)(2) amended August 27, 2008; § 2-109(D)(h)-(i) amended September 10, 2008, effective January 1, 2009; § 2-109(D) amended November 19, 2008; §§ 2-109(A)(5), (B)(2) and (6)-(7) amended June 6, 2012.

 

§ 2-110. Default in filing briefs.

   (A) Appellant in Default - Failure to File a Brief. If appellant fails to file its brief within the time allowed by these rules, the Supreme Court Clerk shall mail notice to all pro se parties and all attorneys of record that appellant is in default for failure to file a brief and is required to file a brief within 10 days after receipt of such notice. Appellant's failure to file a brief in response to the notice of default subjects the appeal to dismissal.

   (B) Appellee in Default. Where the appellant's brief has been properly served and filed, even if not within time, and an appellee's brief has not been filed, appellee will be considered in default and appellant may proceed ex parte. If the appellee is in default, and after notice to the appellee, the case will be placed on the proposed call according to the original brief date of the appellee.

   (C) Hearing Not Delayed. The hearing of a case will not be delayed by default of either party in serving or filing briefs, unless, for good cause shown, it is otherwise ordered.

Rule 10(A) amended May 28, 1992. Renumbered and codified as § 2-110, effective July 18, 2008.

§ 2-111. Scheduling, argument, and submission.

   (A) General. Cases are eligible for submission at any time after the appellee's brief has been filed. This rule sets out the methods of scheduling cases for submission, the various submission methods, and rules relating to oral argument.

   (B) Methods of Submission on the Merits.

   (1) The court may order the submission of any case without oral argument. Cases to be submitted without argument may be submitted at any time after the time for filing the appellant's reply brief has expired. The Supreme Court Clerk will notify counsel both when the order that the case be submitted without argument is entered and at the time the case is actually submitted.

   (2) Cases which are advanced are scheduled for oral argument as soon as the appellee's brief is due to be filed, except that appeals in juvenile cases not involving Neb. Rev. Stat. § 43-247(1), (2), or (4) are scheduled for oral argument as soon as the appellant’s brief is scheduled to be filed. The following categories of cases will be advanced without motion:

   (a) Criminal cases;

   (b) Workers' compensation cases;

   (c) Unemployment compensation cases;

   (d) Questions certified by other courts;

   (e) Original actions;

   (f) Appeals involving custody of minor children;

   (g) Appeals within original concurrent jurisdiction of the court;

   (h) Cases where a "case stated" has been prepared and filed by the parties;

   (i) Appeals from the Tax Equalization and Review Commission; and

   (j) Appeals from the Department of Natural Resources.

   (3) In all other cases, either party may file a motion with the court requesting that the case be advanced for argument. A party seeking an advancement of oral argument shall file a showing in support of said motion setting out the reasons said case should be advanced for oral argument. To ensure proper scheduling, attorneys are requested to notify the Supreme Court Clerk by letter if the case should be advanced and advancement is not obvious.

   (4) Cases which are not advanced are scheduled in the order in which the briefs of the appellee are filed, not in the order in which the cases were docketed. Nonadvanced cases are scheduled in the argument slots remaining after scheduling advanced cases.

   (C) Proposed Call. The proposed call is a list of cases ready for argument and likely to be scheduled for argument during the argument session shown. All advanced cases will be scheduled unless continued, and most nonadvanced cases are scheduled. The proposed call is prepared to allow attorneys to set aside time on their schedules for argument. Cases on the proposed call may not be continued unless leave is granted by the court. A party may file an application for continuance, which must be accompanied by a showing of exceptional cause. See § 2-106 for the form of the application.

   (D) Call. The call is the final schedule of oral arguments for a specified session of the court. Cases are heard in the order listed. Cases will not be continued to another session of the court after scheduling on the call unless leave is granted by the court. A party may file an application for continuance, which must be accompanied by a showing of exceptional cause. See § 2-106 for the form of the application.

   (E) Oral Argument. The Supreme Court will hear oral argument as scheduled.

   (1) Unless otherwise ordered by the court, oral argument shall not exceed 10 minutes per side in any civil or criminal case; provided, however, that where a criminal defendant has been convicted of first or second degree murder and the case at issue is a direct appeal from such conviction, oral argument shall not exceed 20 minutes per side.

   (2) On the court's own motion or on application, additional time may be granted. An application, in the form prescribed by § 2-106, must be filed within 10 days after the proposed call is mailed. Such application must be accompanied by a showing of good cause.

   (3) The court may further limit oral argument in any case. In such event, the Clerk of the Supreme Court shall notify the parties of the time limit at the time the order is entered.

   (4) No party will be permitted oral argument unless he or she has a brief on file. An amicus curiae may, with the consent of a party, request leave to present oral argument on the side of that party within the time allowed to that party for argument.

   (5) Except where the penalty prescribed by law is life imprisonment or death, no oral argument is allowed in any criminal case:

   (a) Where the accused entered a plea of guilty or no contest; or

   (b) Where the sole allegation of error is that the sentence imposed was excessive or excessively lenient or the trial court refused to reduce the sentence upon application of the defendant.

   (c) Where the penalty prescribed by law is life imprisonment or death, and § 2‑111(E)(5)(a) and/or (b) applies, oral argument shall not exceed 10 minutes per side unless otherwise ordered by the court.

   (6) Unless otherwise directed by the court, the parties may elect to waive oral argument and submit a case solely on the briefs.

   (F) Court of Appeals Oral Argument. Except in exigent circumstances, the Court of Appeals will hear oral arguments in panels of three judges, as scheduled, in the Court of Appeals courtroom located in the State Capitol Building, or at other locations throughout the state as designated by the Chief Judge. Whenever any member of a panel is not able to be present at the scheduled oral argument of a case, the case shall be deemed submitted to that member on the record and briefs. If a member of a panel is unable for any reason to participate after the case is submitted for decision, the Chief Judge shall appoint a substitute judge from the Court of Appeals or, at the request of the Chief Judge, the Chief Justice may call an active or retired district court judge to serve as a substitute judge, and the case shall be deemed submitted to the new member on the record and briefs. The rules relating to oral argument shall be the same as provided in § 2-111(E), except as may be modified by the Court of Appeals.

   (G) Bankruptcy. In a pending civil action before the Supreme Court, involving a party named as a debtor in a bankruptcy petition:

   (1) The party named as such debtor in bankruptcy, or any other party to the pending civil action having knowledge of bankruptcy proceedings involving another party to the action pending before the Supreme Court, shall, as soon as reasonably possible, notify the Supreme Court Clerk concerning the proceedings in bankruptcy. The Supreme Court Clerk will attempt to confirm the existence of such bankruptcy proceedings. On confirmed existence of such bankruptcy proceedings, the proceedings in the Supreme Court involving such named debtor in bankruptcy shall be suspended immediately. The Supreme Court Clerk shall notify the parties that the action has been suspended. An action so suspended shall be removed from the active docket of the Supreme Court and shall remain suspended until order of the Supreme Court restoring the action to the active docket of the court. If the Supreme Court Clerk is unable to confirm existence of the alleged proceeding in bankruptcy, the parties shall be so informed, and compliance with § 2-111(G)(2) is then required.
   (2) If the Supreme Court Clerk is unable to confirm the existence of a bankruptcy proceeding, as provided in § 2-111(G)(1), the party named as a debtor in a bankruptcy petition, or any party to the action having knowledge of the bankruptcy proceedings involving another party to an action pending before the Supreme Court, shall file with the Supreme Court Clerk a suggestion of bankruptcy and either a certified copy of the bankruptcy petition or a copy of the caption sheet of the bankruptcy petition showing the case number, the names of the parties, and the filing stamp affixed by the clerk of the bankruptcy court.

   (3) An action before the Supreme Court which involves a party as a named debtor in a bankruptcy petition shall remain suspended as the result of the automatic stay imposed by 11 U.S.C. § 362 (1982) until some party shows that relief from the automatic stay has been granted. A showing regarding relief from the automatic stay shall include a detailed order, signed by the bankruptcy judge, which shall outline the relief granted by the bankruptcy court and shall state that the action, involving a subject matter otherwise within the jurisdiction of the bankruptcy court, may be prosecuted in the courts of the State of Nebraska. Such showing in the Supreme Court shall be made by motion under § 2-106.

   (4) If a debtor in bankruptcy is a party to a proposed compromise involving an appeal in the Supreme Court, any party to such compromise shall provide the Supreme Court with a certified copy of the bankruptcy judge's approval of the compromise, which order of approval shall state that the procedures of Fed. Bankr. R. 2002(a)(3) have been satisfied. After proof of such approval by the bankruptcy court, the Supreme Court may take appropriate action regarding the matter which is the subject of the compromise involving the debtor in bankruptcy as a party to an action pending in the Supreme Court.

Rule 11(E) and (F) amended May 28, 1992; Rule 11(F) amended March 31, 1999; Rule 11(B)(2)(i) amended May 17, 2000; Rule 11(B)(2) and (3), (E)(1), (5), and (5)(a) amended March 16, 2005; Rule 11(E)(5)(c) adopted March 16, 2005; Rule 11(B)(2)(j) amended November 22, 2006. Renumbered and codified as § 2-111, effective July 18, 2008; § 2-111(B)(1) amended November 19, 2008.

 

§ 2-112. Opinions.

   (A) Release of Written Opinions. The court will prepare a written opinion in cases where the court believes explanation of its decision is required or that the case is of value as a precedent. Opinions are released as ordered by the court.

   (B) Copies Mailed. A copy of each opinion will be mailed to all attorneys and pro se parties whose names and addresses appear on briefs submitted in connection with a case.

   (C) Official Version. The official opinion of the court shall be the final, edited version which appears in the bound volume of the Nebraska Reports.

§ 2-113. Motions for rehearing.

   (A) Time. A motion for rehearing and brief in support must be filed within 10 days after the release of the opinion of the court or the entry of the order of the court disposing of the appeal. A motion for rehearing is not permitted following an order of the Supreme Court denying a petition for further review. A motion for rehearing which is timely filed in the Court of Appeals shall toll the time for filing a petition for further review. See § 2-102(F). An original and one copy of said motion for rehearing and brief in support are required to be filed in Supreme Court and Court of Appeals cases. An extension of time to file the brief in support of the motion for rehearing may be requested by following the procedure set out in § 2-106, except that every request must be accompanied by a showing of good cause.

   (B) Form of Motion. The motion for rehearing shall be typewritten on 8½‑ by 11‑inch paper, shall be double‑ or 1½‑spaced, and shall use 12-point type.

   (C) Contents of Motion. The motion for rehearing need only notify the court that the party filing the motion asks for a rehearing.

   (D) Contents of Brief. The brief in support of the motion for rehearing shall contain the following divisions, in the order indicated:

   (1) tables;

   (2) assignments of error;

   (3) propositions of law; and

   (4) argument.

The assignments of error shall be set out in separate, numbered paragraphs, pointing out specifically any claimed mistakes or inaccuracies in statements of fact or law in the opinion, and any questions involved which the court is claimed to have failed to consider on the appeal.

   (E) Form of Brief. The brief in support of the motion for rehearing shall be in the same form as provided for all briefs in § 2-109(B). Briefs in response to the motion for rehearing shall generally follow the form of the brief in support of the motion for rehearing.

   (F) Response. Parties to the case not filing a motion for rehearing may respond to the motion for rehearing and brief in support of the motion within 10 days after the motion for rehearing is filed. If no response will be filed, parties may notify the Clerk of the Supreme Court in writing, and the motion will be submitted immediately.

   (G) Filing and Service. Motions for rehearing shall be filed and served as provided in § 2‑109(B)(6) and (7).

   (H) Submission. Oral argument is not permitted on a motion for rehearing. All motions for rehearing will be submitted 11 days after the motion for rehearing is filed or the due date of the response has expired, whichever occurs first, except as provided in § 2-113(F).

   (I) Mandate. The mandate will not issue until the motion for rehearing has been acted upon, if briefs have been filed, or until the date for filing briefs in support of the motion for rehearing has passed.

   (J) Penalty for Delay. Any party filing a motion for rehearing who does not file the briefs in support of the motion for rehearing by the due date may be assessed all costs of the action.

   (K) Original Actions. This rule shall apply to original actions.

   (L) Briefs on Reargument. Either party may file additional briefs when reargument is ordered by the court. An original and one copy of each brief so prepared and served, together with proof of service, shall be filed in the Supreme Court Clerk's office not less than 1 week before the case is submitted. These briefs will be taxed as costs only if the court ordered the filing of the briefs.

Rule 13 amended May 28, 1992; Rule 13(G) amended October 17, 1995; Rule 13(A) amended May 29, 1997; Rule 13(A) amended September 23, 1998; Rule 13(A) amended December 15, 1999; Rule 13(B) amended March 22, 2006. Renumbered and codified as § 2-113, effective July 18, 2008; § 2-113(K) amended November 10, 2010;  §§ 2-113(A), (G), and (L) amended June 6, 2012.

§ 2-114. Mandates and taxation of costs.

   (A) Mandates.

   (1) Unless agreed by the parties and ordered by the court, no mandate will issue in any case during the time allowed for the filing of a motion for rehearing or petition for further review, or pending the consideration thereof.

   (2) Parties desiring to prosecute proceedings to the United States Supreme Court, and desiring an order staying the mandate, must make application within 7 days from the date of the filing of the opinion or other dispositive entry. The application must be accompanied by a written showing that a federal question is involved. If a motion for rehearing is filed, the application and showing shall be filed with the motion. If the application is granted, the court may require the giving of bond as a condition therefor.

   (3) A motion to recall a mandate must be filed in accordance with the provisions of § 2-106. The motion must be accompanied by a showing that no action has been taken on the mandate by the trial court. The opposing party may file objections to the motion to recall the mandate on or before the date of submission of the motion.

   (B) Costs.

   (1) The following costs are taxed in the Supreme Court and are itemized on the mandate:

   (a) Fees (Neb. Rev. Stat. § 33‑103);

   (b) Transcript preparation fees (only in cases where appellant prevails);

   (c) Printing costs;

   (d) Attorney fees; and

   (e) Other fees and costs as awarded by the court.

   (2) The Supreme Court Clerk shall tax costs for the following printed briefs when filed in accordance with these rules: brief of each appellant; brief of each appellee; brief on cross‑appeal; and only such portion of reply brief as is in response to the cross‑appeal. No costs shall be taxed for other briefs. The amount taxed shall be the actual costs of printing, or $7.50 per page up to a maximum of 50 pages, whichever is lower. The pages taxed shall include the cover (taxed as two pages) and all index and appendix pages, as well as numbered pages in the body of the brief. The printer shall submit proof of the actual printing costs at the time the brief is filed. Briefs which are not timely filed and are not stricken from the record will not be taxed as costs.

   (3) When unnecessary costs have been made by either party, the court may order the same to be taxed to the party making them, without reference to the disposition of the case.

   (4) At the time the mandate is issued, the Supreme Court Clerk shall send a statement to counsel for the costs which are due to the other party. Payment for costs due is to be made in accordance with Neb. Rev. Stat. § 25‑1915.

COMMENT
   Costs which are to be paid to the opposing party must be paid to the clerk of the district court or originating tribunal, who then makes payment to the appropriate party.

   (5) A motion to retax costs may be filed in accordance with the provisions of § 2-106 if a party disagrees with the taxation of costs in a case.

Rule 14(A)(1), 14B(1)(a), and (B)(4) amended May 28, 1992. Renumbered and codified as § 2-114, effective July 18, 2008.

§ 2-115. Original actions.

   (A) How Commenced.

   (1) An original action may not be commenced except by leave of court.

   (2) Application for leave to commence an original action shall be made by filing with the Supreme Court Clerk a verified petition setting forth the action. Applicant must also file with the clerk a statement setting forth the basis of the court's jurisdiction and the reasons which make it necessary to commence the action here. One copy of each must accompany the petition and the statement. No oral argument will be permitted except as may be ordered by the court.

See appendix 4.

   (B) Docketing the Case.

   (1) All applications for leave of court to file an original action shall be recorded in an application docket.

   (2) The docket fee provisions of Neb. Rev. Stat. § 33‑103 and § 2-101(G) shall apply to the application docket.

   (3) If the court accepts the application as an original action, the case shall be transferred to the Supreme Court docket. A second filing fee shall not be required.

Rule 15(B)(2) amended May 28, 1992. Renumbered and codified as § 2-115, effective July 18, 2008; § 2-115(A)(2) amended June 6, 2012.

§ 2-116. Records.

   (A) Records Checked Out. Transcripts and bills of exceptions may be checked out by counsel for not more than 14 days. Counsel shall pay postage for records mailed to their offices. Counsel may obtain an extension of time for keeping the record in a case by sending a letter to the Supreme Court Clerk, setting forth the case number, caption of the case, and a request to keep the record for an additional 14 days. Counsel failing to return records when requested by the Supreme Court Clerk may be penalized by appropriate sanctions, including suspension of the privilege to check out records from the Clerk's office.

   Any litigant is entitled to inspect the original transcript and bill of exceptions in his or her case at the office of the clerk of the trial court. Transcripts and bills of exceptions shall not be checked out to litigants. Any nonincarcerated litigant is entitled to obtain a copy of his or her transcript or bill of exceptions by filing a written request with the clerk of the trial court. A copy of the transcript shall be prepared by the clerk of the trial court and a copy of the bill of exceptions shall be prepared by the court reporter at the litigant’s cost unless the litigant has been allowed to proceed in forma pauperis in the action in which the request for a record has been made. Except for good cause shown, any additional copies of the transcript and/or the bill of exceptions once provided to a litigant on an in forma pauperis basis shall be prepared at the litigant’s cost.

   When a request is made to the clerk of the trial court for a transcript of pleadings by or on behalf of any incarcerated person, the clerk of the trial court shall prepare two copies, one to be filed in the court to which the matter is being appealed and one to be sent to the incarcerated person at the correctional center where he or she resides. The cost shall be paid by the person making the request unless the person has been allowed to proceed in forma pauperis in the action in which the request for a record has been made. Except for good cause shown, any additional copies of the transcript once provided to a litigant on an in forma pauperis basis shall be prepared at the litigant’s cost.

   When a request is made by or on behalf of any incarcerated person for a bill of exceptions, the court reporter shall prepare the original to be filed with the clerk of the trial court. The court reporter shall also prepare a duplicate copy at the statutory rate for copies and send it to the incarcerated person at the correctional center where he or she resides. The copy shall contain the index of exhibits but shall not include exhibits. The cost shall be paid by the person making the request unless that person has been allowed to proceed in forma pauperis in the action in which the request for a record has been made. Except for good cause shown, any additional copies of the bill of exceptions once provided to a litigant on an in forma pauperis basis shall be prepared at the litigant’s cost. An incarcerated person may request copies of exhibits by filing a motion with the court having jurisdiction of the case.

   (B)(1) Presentence Report. In all cases where a presentence report may be material on appeal, the defendant, his or her counsel, or counsel for the State may request the sentencing judge to forward it to the Supreme Court Clerk. In each instance, the sentencing judge shall cause a copy of the report to be forwarded to the Clerk in a separate sealed envelope. No pages in such copy may be stapled, and each page shall be consecutively numbered, with the number at the bottom of the page. The defendant, his or her counsel, or counsel for the State may examine the report, but it may not be removed from the office of the Clerk.

   (2) Neb. Rev. Stat. § 27-1301 Child Pornography Exhibits. In all cases where exhibits constituting visual depiction of sexually explicit conduct involving a child, as defined by § 27-1301, may be material on appeal, such evidence shall be handled on appeal and controlled by the provisions of Neb. Ct. R. § 6-1801.

   (C) Return of Records to District Court. The bill of exceptions, presentence report, and § 27-1301 child pornography evidence shall be returned to the clerk of the district court after the issuance of the mandate in a case. The Supreme Court Clerk may retain records in certain criminal homicide cases to facilitate microfilming of the records.

   (D) Records as Exhibits. Original Supreme Court records shall not be introduced as exhibits in any proceeding.

   (E) Microfilm Records. Certain records which this court is keeping pursuant to Neb. Rev. Stat. § 29‑2521.02 et seq. have been photographed on microfilm. These records may be checked out by Nebraska District Court judges. These records shall not be introduced as evidence.

Rule 16(E) amended May 28, 1992; Rule 16(A) amended September 27, 2000; Rule 16(A) and (B) amended May 21, 2003. Renumbered and codified as § 2-116, effective July 18, 2008; § 2–116(B)(1)-(2) and (C) amended January 27, 2010; § 2-116(B)(1) amended June 6, 2012.

§ 2-117. Media coverage of proceedings before the Nebraska Supreme Court and the Nebraska Court of Appeals.

   (A) Definitions.

   (1) "Judicial proceeding" or "proceeding" as referred to in these rules shall include all public trials, hearings, or other proceedings in the Supreme Court and the Court of Appeals, except those specifically excluded by these rules.

   (2) "Expanded media coverage" includes broadcasting, televising, electronic recording, or photographing of judicial proceedings for the purpose of gathering and disseminating news to the public.

   (3) "Supreme Court" shall mean the Supreme Court of Nebraska.

   (4) "Chief Justice" shall mean the Chief Justice of the Supreme Court of Nebraska.

   (5) "Court of Appeals" shall mean the Nebraska Court of Appeals.

   (6) "Chief Judge" shall mean the Chief Judge of the Nebraska Court of Appeals.

   (B) General. Except as provided below, broadcasting, televising, recording, and photographing will be permitted in all judicial proceedings in the courtroom during sessions of the Supreme Court and the Court of Appeals, including recesses between sessions, under the following conditions:

   (1) There shall be no audio pickup or broadcast of conferences in a court proceeding between attorneys and their clients, between cocounsel, or between judges.

   (2) The quantity and types of equipment permitted in the courtroom shall be subject to the discretion of the Chief Justice within the guidelines set out in the accompanying rules.

   (3) Notwithstanding the provisions of any of these procedural or technical rules, the Chief Justice, or the Chief Judge as to the Court of Appeals, upon application, may permit the use of equipment or techniques at variance therewith, provided the application for variance is made at least 10 days prior to the scheduled hearing. Ruling upon such a variance application shall be in the sole discretion of the Chief Justice or the Chief Judge, as the case may be. Such variances may be allowed by the Chief Justice or the Chief Judge without advance application or notice if all counsel and parties consent.

   (4) The rights provided for herein may be exercised only by persons or organizations which are part of the news media.

   (5) These rules are designed primarily to provide guidance to media and courtroom participants and are subject to withdrawal or amendment by the Supreme Court at any time.

   (C) Preservation of Rights. Expanded media coverage of a proceeding shall be permitted in all judicial proceedings unless the court concludes, after objection and showing of good cause, that under the circumstances of the particular proceeding such coverage would materially interfere with the rights of the parties to a fair trial. The Chief Justice or the Chief Judge, when applicable, may, as to any or all media participants, limit or terminate photographic or electronic media coverage at any time during the proceeding in the event the Chief Justice or Chief Judge finds

   (1) that rules established under this order or additional rules imposed by the Chief Justice or Chief Judge have been violated or

   (2) that substantial rights of individual participants or rights to a fair trial will be prejudiced by such manner of coverage if it is allowed to continue.

   (D) Objections. A party to a proceeding objecting to expanded media coverage under these rules shall file a written objection, stating the grounds therefor, at least 3 days before commencement of the proceeding. All objections shall be heard and determined by the Chief Justice, or the Chief Judge as to the Court of Appeals, prior to commencement of the proceeding. Time for filing of objections may be extended or reduced in the discretion of the Chief Justice, or the Chief Judge as to the Court of Appeals, who may also in appropriate circumstances extend the right of objection to persons not specifically provided for in these rules.

   (E) Technical.

   (1) Equipment to be used by the media in the courtrooms during the proceeding must be unobtrusive and must not produce distracting sound. In addition, such equipment must satisfy the following criteria:

   (a) Still cameras are to be standard, professional quality, single‑lens reflex or rangefinder 35 mm cameras, or twin‑lens reflex 120 mm cameras in good repair. Motor‑driven film advances and autowinders on still cameras are not allowed.

   (b) Television cameras are to be electronic and, together with any related equipment to be located in the courtroom, must be unobtrusive in both size and appearance, and without distracting sound or light. Television cameras are to be designed or modified so that participants in the proceeding being covered are unable to determine when recording is occurring.

   (c) Microphones, wiring, and audio recording equipment shall be unobtrusive and of adequate technical quality to prevent interference with the proceeding being covered. No modifications of existing systems shall be made without approval by the Supreme Court after submission of a specific written proposal which shall include technical specifications and details of the proposed changes. Microphones for use of counsel and judges shall be equipped with off/on switches.

   (2) Other than light sources already existing in the courtroom, no flashbulbs or other artificial lighting device of any kind shall be employed in the courtroom.

   (3) The following limitations on the amount of equipment and number of photographic and broadcast media personnel in the courtroom shall apply:

   (a) At any one time, not more than one still photographer, using not more than two camera bodies and two lenses, shall be permitted in the courtroom during a proceeding.

   (b) Not more than one television camera, operated by not more than one person knowledgeable in its use, shall be permitted in the courtroom during any proceeding. Where possible, recording and broadcasting equipment which is not a component part of a television camera shall be located outside the courtroom.

   (c) Not more than one audio system shall be set up in the courtroom for broadcast coverage of a proceeding. Audio pickup for broadcast coverage shall be accomplished from any existing audio system present in the courtroom, if such pickup would be technically suitable for broadcast. Where possible, electronic audio recording equipment and any operating personnel shall be located outside the courtroom, except that an audio recorder which is a component part of the television camera operating in the courtroom may be used for audio pickup.

   (d) Where the above limitations on equipment and personnel make it necessary, the media shall be required to pool equipment and personnel. Pooling arrangements shall be the sole responsibility of the media, and neither the Supreme Court or the Court of Appeals nor their employees shall be called upon to mediate any dispute as to the appropriate media representatives authorized to cover a particular proceeding.

   (4) Equipment and operating personnel shall be located in, and coverage of the proceeding shall take place from, an area or areas within the courtroom designated by the Chief Justice or Chief Judge.

   (5) Television cameras and audio equipment may be installed in or removed from the courtroom only when court is not in session. In addition, such equipment shall at all times be operated from a fixed position. Still photographers and broadcast media personnel shall not move about the courtroom while a proceeding is in session, nor shall they engage in any movement which attracts undue attention. Still photographers shall not assume body positions inappropriate for spectators.

   (6) All still photographers and broadcast media personnel shall be properly attired and shall maintain proper courtroom decorum at all times while covering the proceeding.

Rule 17, (A)(5), (A)(6), (B)(3), (C), (C)(1), (D), (E)(3)(d), and (E)(4) amended April 15, 1992; Rule 17(B)(3) amended May 28, 1992; Rule 17(E)(1)(c) and (E)(3)(c) amended November 23, 1999. Renumbered and codified as § 2-117, effective July 18, 2008.

§ 2-118. Media coverage of proceedings before any court other than the Nebraska Supreme Court or the Nebraska Court of Appeals.

   (A) Other than as provided in § 2-117, there shall be no broadcasting, televising, recording, or photographing in courtrooms and areas immediately adjacent thereto during sessions of a court or recesses between sessions, except that under rules which may be prescribed by the Nebraska Supreme Court a judge of a court other than the Supreme Court or Court of Appeals may authorize broadcasting, televising, recording, and photographing of judicial proceedings in such courtrooms and areas immediately adjacent thereto consistent with the right of the parties to a fair trial and subject to express conditions, limitations, and guidelines which allow such coverage in a manner that will be unobtrusive, will not distract the trial participants, and will not otherwise interfere with administration of justice.

Rule 18 adopted April 15, 1992. Renumbered and codified as § 2-118, effective July 18, 2008.

§ 2-119. Waiver of time requirements.

   For good cause, the Supreme Court and the Court of Appeals may shorten the time within which any filing must be made or act must be done.

Rule 19 adopted March 1, 1995. Renumbered and codified as § 2-118, effective July 18, 2008.

CHAPTER 3: ATTORNEYS AND THE PRACTICE OF LAW

(cite as Neb. Ct. R. §, unless otherwise noted)

Article 1: Admission Requirements for the Practice of Law.

Appendix A

Appendix B

Appendix C

§ 3-101. Admission of attorneys; time of examination; filing of application.

   Examination of applicants for admission to the bar will be held on the days set for the Uniform Bar Examination at a location to be determined by the commission; provided, however, that the commission may hold examinations at such other times and places as it may deem advisable. The application for examination must be filed with the secretary of the bar commission as provided in § 3-102.

   Commencing in 1991, and thereafter, each candidate for admission on examination in Nebraska must have passed the Multistate Professional Responsibility Examination as a requirement for admission to practice law in Nebraska. The passing score will be established from time to time by the Nebraska Supreme Court. The examination may be taken by the applicant at any location where it is administered.

Rule 1 amended February 10, 1993. Renumbered and codified as § 3-101, effective July 18, 2008; § 3-101 amended January 11, 2012, effective January 1, 2013.

§ 3-102. Application and showing; character affidavits.

   Each applicant must file with the secretary of the bar commission a written request for admission and a personal affidavit as to the applicant's age, residence, and time and place of study and degree, or admission and period of practice in courts of record in another state, the District of Columbia, or a territory, together with the certificates or affidavits of at least two citizens of good standing in the community where the applicant resides, or formerly resided, and such other information as the bar commission may require. These certificates or affidavits must show that the parties making them are well acquainted with the applicant, that the applicant is of good reputation in that community, and that they believe the applicant to be of good moral character. In case the applicant seeks admission on examination, he or she must file an application, in the form provided by the bar commission, on or before November 1 to be eligible to sit for the following February examination and on or before April 1 to be eligible to sit for the following July examination. If the applicant is under suspension or disbarment, the applicant will not be eligible to be admitted or eligible to take the bar examination in Nebraska.

Rule 2 amended December 29, 1993; effective March 1, 1994. Renumbered and codified as § 3-102, effective July 18, 2008.

§ 3-103. Standard of character and fitness.

   An attorney should be one whose record of conduct justifies the trust of clients, adversaries, courts, and others with respect to the professional duties owed to them. A record manifesting a significant deficiency by an applicant in one or more of the following essential eligibility requirements for the practice of law may constitute a basis for denial of admission. In addition to the admission requirements otherwise established by these rules, the essential eligibility requirements for admission to the practice of law in Nebraska are:

   (A) The ability to conduct oneself with a high degree of honesty, integrity, and trustworthiness in all professional relationships and with respect to all legal obligations;

   (B) The ability to conduct oneself diligently and reliably in fulfilling all obligations to clients, attorneys, courts, and others;

   (C) The ability to conduct oneself with respect for and in accordance with the law and the Nebraska Rules of Professional Conduct;

   (D) The ability to communicate clearly with clients, attorneys, courts, and others;

   (E) The ability to reason, analyze, and recall complex factual information and to integrate such information with complex legal theories;

   (F) The ability to exercise good judgment in conducting one’s professional business;

   (G) The ability to avoid acts that exhibit disregard for the health, safety, and welfare of others;

   (H) The ability to use honesty and good judgment in financial dealings on behalf of oneself, clients, and others;

   (I) The ability to comply with deadlines and time constraints;

   (J) The ability to conduct oneself professionally and in a manner that engenders respect for the law and the profession.

   See Appendix A, Character and Fitness Standards.

Rule 3 amended July 28, 1998; Rule 3(C) amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-103, effective July 18, 2008.

§ 3-104. Other proof of character; qualifications of applicant; report of Committee on Inquiry.

   The qualifications of an applicant for admission are not necessarily established by the foregoing. In addition thereto the applicant will, in the application, give the names and addresses of at least three persons, other than those whose certificates or affidavits the applicant presents, of whom inquiry can be made in regard to the applicant's character and other qualifications.

§ 3-105. Admission qualifications.

   (A) Classification of Applicants.

   (1) Class I-A applicants who may be admitted to practice in Nebraska upon approval of a proper application are those:

   (a) who, as determined by the bar commission, have been admitted to, and are active and in good standing in, the bar of another state, territory, or district of the United States, and

   (b) who at the time of their admission had attained educational qualifications at least equal to those required at the time of application for admission by examination to the bar of Nebraska, and

   (c) who have passed an examination equivalent to the examination administered in the State of Nebraska, and, beginning in 1991, who have passed the Multistate Professional Responsibility Examination with the score required by Nebraska.

   (2) Class I-B applicants who may be admitted to practice in Nebraska upon approval of a proper application are those:

   (a) who have been licensed and are active and in good standing in the practice of law in another state, territory, or district of the United States preceding application for admission to the bar of Nebraska and have actively and substantially engaged in the practice of law in another state, territory, or district of the United States for 5 of the 7 years immediately preceding application for admission, and

   (b) who at the time of their admission had attained educational qualifications at least equal to those required at the time of application for admission by examination to the bar of Nebraska.

   (3) Class I-C applicants who may be admitted to practice in Nebraska upon approval of a proper application are those:

   (a) who have taken the Uniform Bar Examination (UBE) in another jurisdiction and have earned at least the minimum score as determined by the Nebraska Supreme Court, and

   (b) have attained educational qualifications at least equal to those required by the time of application for admission by examination to the bar of Nebraska, and

   (c) who have passed the Multistate Professional Responsibility Examination and earned a score as determined by the Nebraska Supreme Court.

   (4) For purposes of these rules, "practice of law" means:

   (a) The private practice of law as a sole practitioner or as an attorney employee of, or partner or shareholder in, a law firm, professional corporation, legal clinic, legal services office, or similar entity; or

   (b) Employment as an attorney for a corporation, partnership, trust, individual, or other entity with the primary duties of:
   (i) Furnishing legal counsel, drafting documents and pleadings, and interpreting and giving advice with respect to the law; or

   (ii) Preparing cases for presentation to or trying before courts, executive departments, or administrative bureaus or agencies; or

   (c) Employment as an attorney in the law offices of the executive, legislative, or judicial departments of the United States, including the independent agencies thereof, or of any state, political subdivision of a state, territory, special district, or municipality of the United States, with the primary duties of:

   (i) Furnishing legal counsel, drafting documents and pleadings, and interpreting and giving advice with respect to the law; or

   (ii) Preparing cases for presentation to or trying cases before courts, executive departments, or administrative bureaus or agencies; or

   (d) Employment as a judge, magistrate, hearing examiner, administrative law judge, law clerk, or similar official of the United States, including the independent agencies thereof, or of any state, territory, or municipality of the United States, with the duties of hearing and deciding cases and controversies in judicial or administrative proceedings, provided such employment is available only to an attorney; or

   (e) Employment as a teacher of law at a law school approved by the American Bar Association throughout the applicant's employment; or

   (f) In the event that the applicant has not served for a full 5 of the last 7 years with any of the entities listed in subparagraphs (a) through (e) above, for purposes of this paragraph, the applicant may use any combination of subparagraphs (a) through (e) above.

   (5) All other applicants are Class II applicants, who must take a written examination.

   (6) For purposes of these rules, written examination shall mean the Uniform Bar Examination (UBE) comprised of the Multistate Essay Examination (MEE), the Multistate Performance Test (MPT) and the Multistate Bar Examination (MBE), as prepared and coordinated by the National Conference of Bar Examiners (NCBE).

   (7) Applicants with the qualifications to be classified as Class I-A, Class I-B, or Class I-C applicants shall not be permitted to apply for the written examination taken by Class II applicants without the prior approval of the bar commission, which approval may be given on good cause shown.

   (B) Applications.

   (1) All applications must be made on forms furnished by the commission.

   (2) Fees are required by all applicants in an amount fixed by the Supreme Court and must be paid in cash, bank cashier's check, or money order. Fees may be refunded in accordance with guidelines adopted by the commission.

   (C) Education Qualifications; Class II Applicants. All applicants must have received at the time of the examination their first professional degree from a law school approved by the American Bar Association. An applicant without a first degree from an approved law school shall be permitted to take the examination if such applicant will receive a first degree from an approved law school within 60 days after the date of the examination taken. In cases of hardship, the Supreme Court may, upon written application stating the nature and reason for the hardship to the applicant, permit the examination to be taken by an applicant before all other requirements have been fulfilled.

   (D) Policy on Applicants with a Disability. The bar commission will follow special rules set forth in the Policy on Applicants with a Disability, Appendix C.

   (E) Oath of Admission. No applicant will be admitted to the bar of Nebraska until such time as he or she has taken the oath of admission prescribed by the Supreme Court. No Class I applicant will be permitted to take such oath later than 18 months subsequent to the date upon which his or her application has been approved. No Class II applicant will be permitted to take such oath later than 18 months subsequent to the date of the announcement by the Court that he or she has passed the examination. Nothing precludes reapplication for admission. Admission of all applicants, including applicants who are being admitted with conditions set by the Supreme Court, will be by order of the Court, and certificates of admission issued to applicants will be signed by a Judge of the Court.

Rule 5(B)(3) eliminated February 10, 1993; Rule 5(C) amended May 22, 1996; Rule 5(D) and (E) amended July 28, 1998; Rule 5(E) amended May 23, 2001; Rule 5(C) amended January 29, 2003; Rule 5(A)(1) amended May 13, 2004; Rule 5(A)(5) adopted February 9, 2005. Renumbered and codified as § 3-105, effective July 18, 2008; §§ 3-105(A)(3)(a)-(c), and (4)-(7) amended January 11, 2012, effective January 1, 2013.

§ 3-106. Admission, pro hac vice, of attorneys of good moral character who are admitted to practice in another state, the District of Columbia, or a territory.

   Any attorney of good moral character who is admitted to and engaged in the practice of law in the courts of record of another state, the District of Columbia, or a territory, having professional business in the courts of this state, may on motion to such court, in the discretion of the court, be admitted for the purpose of transacting such business. In order to be admitted, the applicant shall file with the court where the case is pending as soon as possible, but no later than the date the applicant files any pleading or appears personally, a motion, see Appendix B, with the following:

   (A) A statement identifying the party or parties being represented.

   (B) A list of all jurisdictions where the applicant is licensed to practice law with applicable bar or registration numbers.

   (C) An affirmative statement that the applicant is in good standing and eligible to practice law in the aforementioned jurisdictions and is not the subject of a disciplinary action or investigation. If the applicant is the subject of a disciplinary action or investigation, the name and address of the disciplinary authority for the jurisdiction and a brief description of the nature and status of the action or investigation shall be provided.

   (D) An affirmative statement that the applicant is subject to the Rules of Professional Conduct, Neb. Ct. R. of Prof. Cond. §§ 3-501.0 to 3-508.5, upon admission pro hac vice.

   (E) Unless exempted by Neb. Rev. Stat. § 7-103, a statement, including contact information, that the applicant has associated and is appearing with an attorney who is a resident of Nebraska, duly and regularly admitted to practice in the courts of record of this state, and upon whom service may be had in all matters connected with the action with the same force and effect as if personally made on such foreign attorney within this state. The associating attorney, or his or her designee, shall sign all pleadings, motions and papers filed in the case, as well as personally appear at all proceedings before the court, unless excused by the court.

   (F) A $250 fee payable to the Clerk of the Court. The Clerk of Court shall remit the fee to the State Treasurer for credit to the Nebraska Supreme Court’s Counsel for Discipline Cash Fund not later than the 15th day of the month following the calendar month in which the fee was received. If the motion for pro hac vice admission is not granted, the Clerk of the Court shall refund the $250 fee. A court may, in its discretion and upon written motion, waive the fee for applicants who are representing governmental entities or providing pro bono representation of an indigent client.

   Once the motion is granted, the applicant shall take and subscribe the oath required to be taken by individuals regularly practicing before the courts of this state as set forth in Neb. Rev. Stat. § 7-104 and the subscribed oath shall be filed by the applicant with the Clerk of the Court in which the applicant is appearing. The subscribed oath shall be made part of the court record. See Appendix B.

§ 3-106 amended April 13, 2011, effective July 1, 2011; § 3-106(F) amended July 13, 2011.

§ 3-107. Fees; payment and disbursement; per diem of bar commission.

   Each applicant, with the filing of the application, must pay the fee prescribed by the Nebraska Supreme Court. Application fees will be used for administrative expenses and costs incurred by the bar commission in carrying out its duties. As an expense of the commission, the attorney members will be entitled to receive reimbursement for all reasonable expenses incurred in the performance of their duties and a per diem allowance to be fixed by the Court. Each year, the bar commission will submit a budget to the Court for the purpose of establishing the application fee to be charged.

§ 3-108. Written bar examination; subjects.

   The examination subjects will be determined by the National Conference of Bar Examiners.

§ 3-108 amended January 11, 2012, effective January 1, 2013.

§ 3-109. Bar commission; appointment; duties.

   On October 23, 1985, the Nebraska Supreme Court appointed a commission composed of six persons, learned in law, to make recommendations to the Court with reference to applicants for admission and to conduct examinations for the ensuing years. One commissioner was selected from each Supreme Court judicial district. In order to create staggered terms, commissioners first appointed on October 23, 1985, were selected so that one was appointed for a term of 1 year, one for a term of 2 years, one for a term of 3 years, one for a term of 4 years, one for a term of 5 years, and one for a term of 6 years, the terms beginning November 1, 1985. Thereafter, each commissioner is appointed for a term of 6 years. The Court appoints a secretary to the bar commission, who serves under the supervision of the Court and the bar commission. The commission so appointed will, prior to the examinations, examine the proofs of qualifications filed in accordance with these rules and may make further investigation as to the qualifications of any applicant as it deems expedient. On the day appointed, it will commence the examination of applicants upon the subjects as determined by the National Conference of Bar Examiners. The method of conducting the examinations will be left to the discretion of the commission. The purpose of the examination will be to determine whether any individual seeking admission is unqualified and incompetent to be permitted to practice law within the State of Nebraska. The standards for passing the examination will be established by the commission with the approval of the Court.

§ 3-109 amended January 11, 2012, effective January 1, 2013.

§ 3-110. Review by commission.

   Any applicant who has failed to be admitted on motion, who has been denied admission on the basis of fitness or character, or who has been refused permission to take the examination, may, within 30 days after the mailing of the notice of refusal of permission, denial of admission on motion, or denial of admission on the basis of fitness or character, request a hearing before the bar commission. The applicant must appear at the hearing for an oral presentation and present a concise written brief setting forth the reasons why the applicant should be permitted to take the examination, be admitted on motion, or be admitted on fitness or character. The applicant may, at the applicant's expense, make arrangements to have the proceeding recorded for use by the commission or the Supreme Court on appeal. The commission will then review and consider the reasons presented. Upon reaching a determination, the commission will advise the applicant of its decision in writing. In the event that the applicant is dissatisfied with the decision of the commission, the applicant may, within 30 days from the date of the letter from the commission, appeal the decision to the Supreme Court. The appeal must be taken and perfected in accordance with § 3-115.

Rule 10 amended May 22, 1996. Renumbered and codified as § 3-110, effective July 18, 2008; § 3-110 amended January 11, 2012, effective January 1, 2013.

§ 3-111. Bar commission; reports.

   As soon as practicable after the conclusion of the examination, the commission will make a written report to the Court of its recommendations. All applicants who are approved by the Court will be admitted to practice upon taking the oath prescribed by law.

§ 3-112. Bar commission; rules and regulations.

   The bar commission is authorized to make, subject to the approval of the Supreme Court, such further rules and regulations as it deems necessary or expedient to carry out the intent and purpose of these rules.

§ 3-113. Bar commission; administration of oaths; power of subpoena.

   Each member of the bar commission is hereby authorized to administer oaths in any proceeding before the bar commission on matters relative thereto, and has power in such matters to subpoena witnesses and take depositions.

§ 3-114. Resignation; readmission.

   Any attorney admitted to practice law in the State of Nebraska who resigns membership in the Nebraska State Bar Association, as provided in Neb. Ct. R. § 3-803(I), will no longer be a member of the Nebraska bar, and if thereafter such person desires to be readmitted to the Nebraska bar, the applicant must comply with the applicable provisions of this article.

§ 3-115. Appeal to Supreme Court; procedure.

   Any applicant entitled to appeal from a final adverse determination of the bar commission in accordance with § 3-110 must file an original and seven copies of a notice of appeal with the Clerk of the Supreme Court within 30 days following the date notice of the decision was mailed to the applicant at the address given to the commission by the applicant at the time of the hearing before the commission. The notice of appeal shall be accompanied by a written statement, an original and seven copies, setting forth the nature of the case, the reason for the appeal, and the facts and pertinent authorities upon which the applicant relies. No fee will be charged for filing the appeal. The Supreme Court will consider the matter de novo on the record made at the hearing before the commission, including such proceedings as may have been recorded pursuant to § 3-110; provided, however, that the Supreme Court may appoint a master, who, after hearing the arguments of the applicant and the commission, shall make findings and report them to the Court, together with a recommended disposition. A copy of such report shall be forwarded to the applicant on the same day an original and seven copies are filed with the Court. The applicant shall have 14 days from the filing of the report within which to file an original and seven copies of such response, if any, as the applicant may wish to make.

§ 3-116. Passing standards.

   (A) Passing Scores. The passing standard for the bar examination is a grade of  270 on a single administration of the Uniform Bar Examination as certified by the National Conference of Bar Examiners (NCBE). The passing score for the Multistate Professional Responsibility Examination is 85.

   (B) Stale Scores. Passing scores on the UBE and the MPRE will be accepted for admission in Nebraska no longer than 5 years after the release of the passing score.

Rule 16 adopted May 22, 1996; Rule 16 amended May 13, 2004. Renumbered and codified as § 3-116, effective July 18, 2008; § 3-116 amended January 11, 2012, effective January 1, 2013; § 3-116(A) and (B) amended December 19, 2012, effective January 1, 2013.

§ 3-117. Examination costs.

   Applicants shall also pay to the commission all charges for examinations prepared by the National Conference of Bar Examiners on behalf of the commission.

Rule 17 adopted May 22, 1996; Rule 17 amended July 28, 1998. Renumbered and codified as § 3-117, effective July 18, 2008.

§ 3-118. Communications in official confidence; immunity.

   The records, papers, application, and other documents containing information collected and compiled by the commission, its members, employees, agents, or representatives are held in official confidence for all purposes other than cooperation with another bar examining authority. The bar commission and its members, employees, agents, and representatives are immune from all civil liability for damages for conduct and communications occurring in the performance of and within the scope of their official duties relating to the examination, character and fitness qualification, and licensing of persons seeking to be admitted to the practice of law. Records, statements of opinion, and other information regarding an applicant for admission to the bar communicated by any entity, including any person, firm, or institution, without malice, to the bar commission or to its members, employees, agents, or representatives are privileged, and civil suits for damages predicated thereon may not be instituted.

Rule 18 adopted July 28, 1998. Renumbered and codified as § 3-118, effective July 18, 2008.

§ 3-119. Fingerprint record checks.

   The bar commission shall obtain a complete set of fingerprints from all bar applicants on a form designated by the commission as provided under Neb. Rev. Stat § 7-102(2). The commission will forward the fingerprints of all such applicants to the Nebraska State Patrol for a national criminal history record information check by the Identification Division of the Federal Bureau of Investigation. The Supreme Court may, at any time, order the commission to discontinue requesting, or to thereafter resume requesting, fingerprint record checks on all applicants that are fingerprinted pursuant to Neb. Rev. Stat. § 7-102(2).

Rule 19 adopted April 24, 2002. Renumbered and codified as § 3-119, effective July 18, 2008.

Article 2: Limited Liability Professional Organizations.

(Originally adopted June 16, 1999.)

§ 3-201. Permissible business organizations; name restrictions; membership professional liability; insurance required; dissolution.

   (A) As of December 1, 1999, attorneys who are licensed to practice law in Nebraska may do so in the form of professional corporations, limited liability companies, or limited liability partnerships (herein referred to as “domestic professional organizations”) permitted by the laws of Nebraska to conduct the practice of law, provided that such professional organizations maintain the mandatory minimum levels of professional liability insurance set forth at § 3-201(C)(7) and are established and operated in accordance with the provisions of this rule and the Nebraska Rules of Professional Conduct, and provided that a certificate of authority is granted by the Nebraska Supreme Court pursuant to § 3-202(A). For purposes of these rules, "organizing document" shall mean articles of incorporation, articles of organization, certificate of organization, statement of qualification, or parternship agreement for domestic professional organizations.

   (B) As of December 1, 1999, attorneys may practice law in Nebraska in forms similar to domestic professional organizations formed pursuant to the laws of a jurisdiction other than Nebraska (herein referred to as “foreign professional organizations”), and the laws of such other jurisdiction shall govern (i) the organization, (ii) internal affairs, and (iii) all its other corporate aspects, provided that such foreign professional organization is operated in accordance with the applicable provisions of this rule, including the mandatory minimum professional liability insurance requirement and liability provisions of § 3‑201(C)(7). Whether or not such provisions are set forth in the organizational documents of a foreign professional organization, they are applicable and binding by operation of this rule.

   (C) The provisions of this rule shall apply to all foreign and domestic professional organizations (hereinafter collectively referred to as “professional organizations”) having as shareholders, officers, directors, partners, employees, members, or managers one or more attorneys who engage in the practice of law in Nebraska, whether such professional organizations are formed under Nebraska law or under laws of another state or jurisdiction. All professional organizations conducting the practice of law in Nebraska shall comply with the following requirements, and the organizing document of any domestic professional organization shall contain provisions complying with the following requirements:

   (1) The name of the professional organization organized under this rule shall contain the words “professional corporation,” “limited liability company,” or “limited liability partnership,” or abbreviations thereof such as “P.C.,” “L.L.C.,” or “L.L.P.” In addition, any professional corporation organized under this rule shall have as a part of its firm name the words “A Limited Liability Organization,” or an abbreviation thereof such as "L.L.O.," following its designation as a professional corporation or P.C. The name of the professional organization shall meet the ethical standards established for the names of law firms according to the standards of professional conduct promulgated by the Supreme Court and the Nebraska Rules of Professional Conduct;

   (2) All members of the professional organization who engage in the practice of law within the State of Nebraska shall be persons duly licensed by the Nebraska Supreme Court to practice law in the State of Nebraska, and at all times own their own interest in their own right, and all members of the professional organization who engage in the practice of law outside this state shall be persons duly licensed by the states, territories, or other jurisdictions in which such persons engage in the practice of law, and at all times own their own interest in their own right;

   (3) Provisions shall be made requiring any member who ceases to be eligible to be a member to dispose of all of his or her interest in the professional organization forthwith, either to the professional organization or to a person having the qualifications described in § 3-201(C)(2);

   (4) The management of the professional organization shall have the qualifications of the persons described in § 3-201(C)(2);

   (5) The professional organization shall be organized solely for the purpose of conducting the practice of law, and only through persons qualified to practice law in the State of Nebraska if such persons engage in the practice of law within this state, or through persons qualified to practice law in the states, territories, or other jurisdictions in which such persons engage in the practice of law;

   (6) No professional organization may engage in the practice of law except by and through the person or persons of its licensed member or members or licensed professional employees, all of whom shall retain their professional licenses in good standing and shall be subject to all rules, regulations, standards, and requirements pertaining to their professional activities. The provisions of this rule shall not be construed to abolish, repeal, modify, restrict, or limit the standards for professional conduct or the law now in effect applicable to the professional relationship and liabilities between the person furnishing the professional services and the person receiving such professional services;

   (7)(a) A member or professional employee of a professional organization shall remain personally and fully liable and accountable for any negligent or wrongful acts or misconduct committed by him or her, or by any person under his or her direct supervision and control, while rendering professional services on behalf of the professional organization to the person for whom the professional services were being rendered.

   (b) All professional organizations operating under this rule shall maintain professional liability insurance as set forth herein. The organizing document shall provide that any shareholder, partner, or member who has not directly and actively participated in the act, error, or omission for which liability is claimed shall not be liable, except as provided in § 3-201(C)(7)(b)(v), for any of the damages caused if at the time the act, error, or omission occurs the professional organization has professional liability insurance which meets the following minimum standards:

   (i) The insurance shall insure the professional organization against liability imposed upon it arising out of the practice of law by attorneys employed by the professional organization in their capacities as attorneys.

   (ii) Such insurance shall insure the professional organization against liability imposed upon it by law for damages arising out of the professional acts, errors, and omissions of all nonprofessional employees.

   (iii) The policy may contain reasonable provisions with respect to policy periods, territory, claims, conditions, exclusions, and other matters.

   (iv) The insurance shall be in an amount for each claim of at least $250,000 multiplied by the number of attorneys employed by the professional organization, and if the policy provides for an aggregate top limit of liability per year for all claims, the limit shall not be less than $500,000 multiplied by the number of attorneys employed by the professional organization; provided, however, that no professional organization shall be required to carry total limits of insurance in excess of $1,000,000 for each claim or be required to carry an aggregate top limit of liability for all claims per year of more than $5,000,000.

   (v) The policy may provide for a deductible or self-insured retained amount and may provide for the payment of defense or other costs out of the stated limits of the policy. In either or both such events, the liability assumed by the shareholders, partners, or members of the professional organization shall include the amount of such deductible or retained self-insurance and shall include the amount, if any, by which the payment of defense costs may reduce the insurance remaining available for the payment of claims below the minimum limits of insurance required by this rule if the ultimate liability for the claim exceeds the amount of insurance remaining to pay for it.

   (vi) A professional act, error, or omission is considered to be covered by professional liability insurance for the purpose of this rule if the policy includes such act, error, or omission as a covered activity, regardless of whether claims previously made against the policy have exhausted the aggregate top limit for the applicable time period or whether the individual claimed amount or ultimate liability exceeds either the per claim or aggregate top limit.

   (c) The organizing document shall also provide, and each shareholder, partner, or member shall be deemed to agree, that if it is determined that the mandatory professional liability insurance as set forth above has lapsed or is otherwise not in effect at the time of the commission of any professional act, error, or omission by any of the shareholders, officers, directors, partners, members, managers, or employees of the professional organization, each of the shareholders, partners, or members of the professional organization at the time of the commission of any such professional act, error, or omission shall be jointly and severally liable to the extent that the assets of the organization are insufficient to satisfy any liability incurred by the corporation for the acts, errors, and omissions of the shareholder, partner, or member and other employees of the organization while they are shareholders, partners, or members, to the same extent as if the shareholder, partner, or member were practicing in the form of a general partnership.

   (8) Except as provided by § 3-201(C)(7), the relevant states’ rules of liability applicable to the particular foreign professional organization shall apply to limited liability organizations organized hereunder.

   (9) The liability assumed by the shareholders, partners, or members of the professional organization pursuant to § 3-201(C)(7) is limited to liability for professional acts, errors, or omissions which constitute the practice of law and shall not extend to actions or undertakings that do not constitute the practice of law. Liability, if any, for any and all actions or undertakings, other than professional acts, errors, or omissions, shall be as generally provided by law and shall not be changed, affected, limited, or extended by this rule.

   (10) A professional organization that discontinues the practice of law may nevertheless continue in operation for an additional period of up to 2 years for the purpose of dissolving and winding up the administrative business of the professional organization.

Rule IC(1) amended January 12, 2000; Rule IA and IC(1) amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3‑201, effective July 18, 2008; §§ 3-201(A), (C), and (C)(7)(b)-(c) amended December 22, 2010.

 

§ 3-202. Filing requirements; ethical obligations; attorney-client privilege.

   (A) All professional organizations, both domestic and foreign, shall file with the Clerk of the Supreme Court an application, in the form of a cover letter, along with a $25 issuance fee as required by statute or this rule, for a Certificate of Authority from the Nebraska Supreme Court to operate in this state. Such applications by domestic professional organizations shall be accompanied by the organizing document of such organization. If such accompanying documents meet with the Supreme Court’s approval, the Supreme Court will issue a Certificate of Authority to the domestic professional organization to operate under this rule. Applications by foreign professional organizations shall be submitted as set forth at § 3-202(D).

   The Certificate of Authority issued by the Supreme Court under this rule shall expire 1 year from its date of issuance. All professional organizations operating under this rule, both domestic and foreign, shall annually apply in writing for a Certificate of Authority from the Supreme Court. Such application, in the form of a cover letter, shall be accompanied by (1) a current list of the names and addresses of shareholders, members, or partners and a current list of the names and addresses of professional employees; (2) if not previously filed, any certified copies required to be on file pursuant to § 3-202(C); and (3) a $25 issuance fee.

   (B) At the time of filing the original organizing document with the Clerk of the Supreme Court, the domestic professional organization shall file a written list of members setting forth the names and addresses of each and a written list containing the names and addresses of all persons who are not members who are employed by the professional organization and who are authorized to practice law in Nebraska. The position in the professional corporation of each person identified in the firm name also shall be stated.

   (C) A copy certified by the Secretary of State of the organizing document of any domestic professional organization formed pursuant to this rule shall be filed with the Clerk of the Supreme Court, together with a certified copy of all amendments thereto.

   (D) Foreign professional organizations shall submit to the Clerk of the Supreme Court an application, in the form of a cover letter, for a Certificate of Authority from the Nebraska Supreme Court to operate in this state. Such application shall be accompanied by a written list of names and addresses as provided by § 3-202(B). The foreign professional organization’s application for a Certificate of Authority, which is executed by a member of the professional organization, shall set forth or include the following:

   (1) The name of the foreign professional organization;

   (2) The state or other jurisdiction or country where organized, the date of its organization, and a statement or certificate issued by an appropriate authority in that jurisdiction that the foreign professional organization exists in good standing under the laws of the jurisdiction of its organization;

   (3) The nature of the business or purposes to be conducted or promoted in the state;

   (4) The address of the registered office and the name and address of the resident agent for service of process;

   (5) An affirmative statement that the foreign professional organization will operate within the purview of this rule and the Nebraska Rules of Professional Conduct; and

   (6) Such additional information as may be necessary or appropriate in order to enable the Supreme Court to determine whether such foreign professional organization is entitled to a certificate of authority to transact business in this state.

   (E) The professional organization shall do nothing which if done by an attorney employed by it would violate the standards of professional conduct established for such attorney by the Supreme Court. The professional organization shall at all times comply with the standards of professional conduct and the provisions of this rule. Any violation of this rule by the professional organization shall be grounds for the Supreme Court to terminate or suspend its right to practice law or to revoke the professional organization’s certificate of authority to practice under this rule.

   (F) Nothing in this rule shall be deemed to diminish or change the obligation of each attorney employed by the professional organization to conduct his or her practice in accordance with the standards of professional conduct; any attorney who by act or omission causes the professional organization to act, or fail to act, in a way which violates such standards of professional conduct, including any provision of this rule, shall be deemed personally responsible for such act or omission and shall be subject to discipline therefor.

   (G) Nothing in this rule shall be deemed to modify the attorney-client privilege specified by statute, nor any comparable common-law privilege.

Rule IIA and IIB amended January 12, 2000; Rule IID(5) amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3‑202, effective July 18, 2008; §§ 3-202(A), (B), and (C) amended December 22, 2010; §§ 3-202(A) and (D) amended April 17, 2013..

§ 3-203. Employee benefits.

   Any such professional organization may adopt a pension, profit-sharing (whether cash or deferred), health and accident, insurance, or welfare plan for all or part of its employees including lay employees, provided that such plan does not require or result in the sharing of any specific or identifiable fees with lay employees and that any payments made to lay employees or into any such plan on behalf of lay employees are based upon their compensation or length of service or both rather than the amount of fees or income received.

§ 3-204. Professional organization practice of law prohibited; exceptions.

   Except as provided by this rule, professional organizations shall not practice law.

   This rule shall not apply to organizations offering prepaid legal services to a defined and limited class of clients, to nonprofit charitable or benevolent organizations organized and operating primarily for a purpose other than the provision of legal services and which furnish legal services as an incidental activity in furtherance of their primary purpose, or to nonprofit organizations which have as their primary purpose the furnishing of legal services to indigent persons, provided that (1) the legal work serves the intended beneficiaries of the organizational purpose, (2) the staff attorney responsible for the matter signs all papers prepared by the organization, and (3) the relationship between the staff attorney and client meets the attorney’s professional responsibilities to the client and is not subject to interference, control, or direction by the organization’s board or employees except those of a supervising attorney licensed to practice law in Nebraska.

Rule IV amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-204, effective July 18, 2008.

Article 3: Discipline Procedures for Lawyers.

(Disciplinary Rules amended September 27, 1995; Disciplinary Rules amended October 17, 2000, effective January 1, 2001. Renumbered and codified as § 3-301 to 3-328, effective July 18, 2008.)

Preface.

   The Nebraska Supreme Court has the inherent power and duty to prescribe standards of conduct for attorneys admitted to practice law in Nebraska; to determine what constitutes grounds for the discipline of attorneys: to disbar, suspend, censure, or reprimand for cause attorneys whose failure to comply with the obligations of a member of the bar has been duly established.

   Attorneys are a part of the judicial system of the State and are officers of its courts. A license to practice law confers no vested right, but is a conditional privilege, revocable for cause.

   The discipline of attorneys is for the protection of the public, the profession, and the administration of justice.

Definitions.

   The following definitions shall apply wherever used in these rules:

ASSOCIATION
   The Nebraska State Bar Association.

ATTORNEY
   A person duly admitted to the practice of law in the State of Nebraska by the Court, under the laws of the State of Nebraska, and who is by his or her oath required to abide by its laws, including the laws of its subdivisions and the Nebraska Rules of Professional Conduct.
Amended July 13, 2005, effective September 1, 2005.

CLERK
   The Clerk of the Supreme Court and Court of Appeals of the State of Nebraska.

COMPLAINANT
   Any person who makes a Grievance.

COMPLAINT
   A written statement prepared by the Counsel for Discipline as a result of an investigation of a Grievance and filed with the appropriate Committee on Inquiry.

CONDITIONAL ADMISSION OF GUILT
   A process whereby a member charged can conditionally admit his or her guilt pending final approval by the Court.

COUNSEL FOR DISCIPLINE
   The person employed by the Nebraska Supreme Court to fulfill the duties and responsibilities set out in these rules, and it shall include that person's staff to whom he or she shall have the power to delegate the authority to make the required investigations and such other duties as he or she may assign to the staff. It shall also include the person appointed by the Court to serve as special prosecutor in a disciplinary case.
Amended December 13, 1995.

COURT
   The Supreme Court of the State of Nebraska.

DISABILITY INACTIVE STATUS
   Suspension from the practice of law due to a disability or substance abuse problem.

EXECUTIVE COUNCIL
   The Executive Council of the Nebraska State Bar Association.

FORMAL CHARGE
   A written statement prepared by the Counsel for Discipline at the direction of the Committee on Inquiry or the Disciplinary Review Board.

GRIEVANCE
   Any written statement made by any person alleging conduct on the part of a member which appears, in the judgment of the Counsel for Discipline, to have merit, and, if true, would constitute a violation of the member's oath, the Nebraska Rules of Professional Conduct, or these rules; allegations of misconduct not appearing in the judgment of the Counsel for Discipline to have merit are not deemed a Grievance under these rules.
Amended February 28, 2001; amended July 13, 2005, effective September 1, 2005.

INQUIRY
   A review of the investigative file of the Counsel for Discipline by a Committee on Inquiry Panel subsequent to the filing of a Complaint. An Inquiry is not a hearing and witnesses shall not be called and evidence shall not be introduced. At the request of the Inquiry Panel, the Counsel for Discipline may appear and participate in the proceeding.

MEMBER
   A member of the Nebraska State Bar Association of any class of membership.

OATH
   The oath of office taken by an attorney or member at the time of his or her admission to practice as provided by Neb. Rev. Stat. § 7-104, or as the same may be hereafter amended.

PRIVATE REPRIMAND
   A reprimand of a member by the Committee on Inquiry of the appropriate Judicial District or the Disciplinary Review Board which shall be in writing, signed by the Chairperson and Vice Chairperson, and directed to the member by United States certified mail, return receipt requested, but shall not be made public.

RELATOR
   The Counsel for Discipline of the Nebraska Supreme Court.

RESPONDENT
   A member charged with a violation of his or her oath, or the Nebraska Rules of Professional Conduct, or these rules.
Amended July 13, 2005, effective September 1, 2005.

RULES
   These rules as adopted by the Court or as the same may be hereafter amended.

RULES OF PROFESSIONAL CONDUCT
   The Nebraska Rules of Professional Conduct as adopted by the Court, together with such amendments thereto as may from time to time be approved by the Court.
Adopted July 13, 2005, effective September 1, 2005.

SERIOUS CRIME
   Any felony or any lesser crime that reflects adversely on the lawyer’s honesty, trustworthiness, or fitness as a lawyer.

§ 3-301. Jurisdiction.

   (A) Every attorney admitted to practice in the State of Nebraska, or required to register pursuant to Neb. Ct. R. §§ 3-1201 to 3-1204, is subject to the exclusive disciplinary jurisdiction of the Court.

   (B) Nothing herein contained shall be construed to deny to any other court such powers as are necessary for that court to maintain control over proceedings conducted before it, such as the power of contempt.

   (C) Time limitations for the Committees on Inquiry and Disciplinary Review Board as set forth herein are directory and not jurisdictional. Failure to observe prescribed time intervals may result in sanctions against the violator but does not justify abatement of any discipline or disability investigation or proceeding.

   (D) Incumbent judges shall not be subject to the jurisdiction of the Counsel for Discipline.

   (E) Every attorney admitted to practice in the State of Nebraska shall pay a disciplinary assessment for each calendar year from January 1 to December 31, payable in advance on or before January 1 of each year, in such amount as may be fixed by the Court. The first disciplinary assessment shall be due on or before January 1, 2001. The disciplinary assessment shall be paid to the Treasurer of the Association and shall be used to defray the costs of disciplinary administration and enforcement as established by these rules. Different classifications of disciplinary assessments may be established for Active Jr., Active Sr., Active, Inactive, Military, and Emeritus members as those membership classes are defined in Neb Ct. R. § 3-803. Members newly admitted to the practice of law in the State of Nebraska shall not pay a disciplinary assessment for the remainder of the calendar year in which they are admitted.

   (F) Members who fail to pay the disciplinary assessment shall be subject to suspension from the practice of law as provided in Neb. Ct. R. § 3-803(E).

§ 3-301 amended October 26, 2011, effective January 1, 2012.

§ 3-302. Jurisdiction of disciplinary districts.

   The Disciplinary District which shall have jurisdiction over a member shall be any District, as defined in § 3-307, in which the member maintains an office, or the District in which his or her conduct under investigation occurred. If the member resides in Nebraska but does not maintain an office in Nebraska, jurisdiction shall be in the District of the member's residence. If the member does not maintain an office or a residence in Nebraska and the conduct under investigation did not occur in Nebraska, the Disciplinary Review Board shall determine which District shall have jurisdiction and shall assign the investigation to the Counsel for Discipline.

§ 3-303. Grounds for discipline.

   (A) The license to practice law in this State is a continuing proclamation by the Court that the holder is fit to be entrusted with professional and judicial matters and to aid in the administration of justice as an attorney and as an officer of the Court. It is the duty of every recipient of the conditional privilege to practice law to conduct himself or herself at all times, both professionally and personally, in conformity with the standards imposed upon members as conditions for that privilege.

   (B) Acts or omissions by a member, individually or in concert with any other person or persons, which violate the Nebraska Rules of Professional Conduct as adopted by the Court, the oath, or the provisions of these rules, shall be grounds for discipline whether the act or omission occurred in the course of an attorney-client relationship or otherwise.

Rule 3(B)(1) amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-303, effective July 18, 2008.

§ 3-304. Types of discipline.

   (A) Misconduct shall be grounds for:

   (1) Disbarment by the Court; or

   (2) Suspension by the Court; or

   (3) Probation by the Court in lieu of or subsequent to suspension, on such terms as the Court may designate; or

   (4) Censure and reprimand by the Court; or

   (5) Temporary suspension by the Court; or

   (6) Private reprimand by the Committee on Inquiry or Disciplinary Review Board.

   (B) The Court may, in its discretion, impose one or more of the disciplinary sanctions set forth above.

Rule 4(A)(3) and (B) amended June 16, 2004. Renumbered and codified as § 3-304, effective July 18, 2008.

§ 3-305. Advisory Committee.

   (A) The Court shall appoint a committee to be known as the Advisory Committee which shall consist of one member from each Supreme Court Judicial District in effect at the time of the adoption of these rules and as may hereafter be changed, a member at large to be Chairperson, and a member at large to be Vice Chairperson.

   (B) When the Advisory Committee is first appointed, one member shall be appointed for a term of one year, one member for two years, one member for three years, one member for four years, one member for five years, one member for six years, and one member for seven years. The first person appointed Vice Chairperson shall serve for seven years. Thereafter the full regular term of each member of the Committee shall be for seven years and no member shall serve full regular consecutive terms, but may be reappointed after a lapse of one year; provided, however, that at no time shall the terms of the Chairperson and Vice Chairperson expire at the same time.

   (C) In the interest of continuity and efficiency of operation the Court may deviate from time to time from the above designated terms of membership. Members of the Advisory Committee shall not receive compensation for their services but may be reimbursed for travel and other expenses incidental to the performance of their duties.

   (D) The Advisory Committee shall have the following powers and duties:

   (1) In its discretion, render to a member upon his or her written request an advisory opinion or an interpretation of the Nebraska Rules of Professional Conduct regarding anticipatory conduct on the part of the member. A member requesting an opinion from the Advisory Committee shall prepare and submit with his or her request a statement of the specific facts upon which the opinion is requested and a memorandum directing the attention of the Committee to the pertinent Nebraska Rules of Professional Conduct and relevant case authority. The Chairperson of the Advisory Committee may waive this requirement in appropriate cases.

   (2) Make appropriate arrangements, through its Chairperson, for publication and dissemination of such advisory opinions as the Committee deems of general interest to the members.

Rule 5(D)(1) amended February 22, 1996; Rule 5(A) and (B) amended July 23, 1997; Rule 5(D)(1) amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-305, effective July 18, 2008.

§ 3-306. Disciplinary Review Board.

   (A) The Court shall appoint a committee to be known as the Disciplinary Review Board which shall consist of one member from each Supreme Court Judicial District in effect at the time of the adoption of these rules and as may hereafter be changed, one member of which shall be designated as Vice Chairperson; a member at large to be Chairperson; and three residents of Nebraska, not members, representing the public at large. The Vice Chairperson shall act as Chairperson if the designated Chairperson is absent or disqualified from acting in a particular proceeding. Neither the Chairperson nor the Vice Chairperson shall be nonlawyers.

   (B) When the Disciplinary Review Board is first appointed, one member shall be appointed for a term of one year, one member for two years, one member for three years, one member for four years, one member for five years, one member for six years, and one member for seven years. Thereafter the full regular term shall be for seven years and no member shall serve full regular consecutive terms, but may be reappointed after a lapse of one year. Initially, one representative of the public shall be appointed for a term of two years, one for a term of three years, and one for a term of four years. Thereafter the full regular term of the representative of the public shall be for three years. Representatives of the public may serve full regular consecutive terms.

   (C) In the interest of continuity and efficiency of operation the Court may deviate from time to time from the above designated terms of membership. Any member who is participating in a disciplinary proceeding which is pending at the time the member's term expires shall continue to serve as a member of the Board, with respect to such proceeding, until final disposition of that proceeding. Such a member will serve in addition to the seven regular members of that Board. Members of the Disciplinary Review Board shall not receive compensation for their services but may be reimbursed for travel and other expenses incidental to the performance of their duties.

   (D) The Disciplinary Review Board shall have the following powers and duties:

   (1) If necessary, because of disqualification or unavailability, to direct that the Complaint be referred to some other Committee on Inquiry, in which case the Committee on Inquiry to which it is so referred shall have full power and jurisdiction to the same extent and in like manner as the Committee which had original jurisdiction.

   (2) Assume jurisdiction of and determine a matter to the same extent and with like power as a Committee on Inquiry when directed by the Court.

   (3) Review motions to quash subpoenas.

   (4) Review a dismissal of a Grievance by the Counsel for Discipline upon application of the Complainant filed within thirty days of receipt of notice of the dismissal. After review of the investigative file of the Counsel for Discipline, the Disciplinary Review Board may affirm the dismissal of the Grievance, direct the Counsel for Discipline to further investigate, or direct the Counsel for Discipline to file a Complaint with the appropriate Committee on Inquiry. Should the Disciplinary Review Board reverse the Counsel for Discipline’s decision to dismiss a Grievance, a special prosecutor shall be appointed to prosecute the action.

   (5) Review the private reprimand issued by the Committee on Inquiry in conformity to § 3‑309(H) upon written application of the member against whom the reprimand was issued or the Counsel for Discipline filed within thirty days of issuance of the reprimand. After review of the investigative file of the Counsel for Discipline, the Disciplinary Review Board may affirm the issuance of the private reprimand, reverse the issuance of the private reprimand and dismiss the complaint, or determine that there are reasonable grounds for discipline of the Respondent and that a public interest would be served by the filing of a Formal Charge.

   (6) Review a dismissal of a Complaint by the Committee on Inquiry in conformity with § 3‑309(H) upon written application of the Counsel for Discipline filed within thirty days of receipt of the notice of dismissal. After review of the investigative file of the Counsel for Discipline, the Disciplinary Review Board may affirm the dismissal of the Complaint; determine that there are reasonable grounds for discipline of the Respondent but that no public interest would be served by the filing of a Formal Charge and, thereupon, prepare and issue a private reprimand; or determine that there are reasonable grounds for discipline of the Respondent and that a public interest would be served by the filing of a Formal Charge. If the Disciplinary Review Board determines that a Formal Charge is warranted, the Board shall direct the Counsel for Discipline to file the same with the Clerk.

   (7) A review provided for in § 3-306(D)(4), (5), or (6) shall be completed within sixty days after it is received by the Disciplinary Review Board unless the Chairperson of the Disciplinary Review Board, because of the extent of the record or the complexity of the issues, determines that additional time is necessary.

   (E) Reviews provided for in § 3-306(D)(4), (5), or (6) shall be conducted by a panel appointed by the Chairperson of the Board. The panel shall be composed of three members of the Disciplinary Review Board. One member of each panel shall be a nonlawyer. The Chairperson of the Board shall appoint one lawyer member of the panel to serve as Chairperson of the panel.

Rule 6(A) amended November 14, 1996; Rule 6(D)(4) amended November 22, 2000. Renumbered and codified as § 3-306, effective July 18, 2008.

§ 3-307. District Committee on Inquiry.

   (A)(1) The Court shall appoint a Committee on Inquiry in each of six districts. For the purposes of these rules, such districts shall be coterminous with the Supreme Court Judicial District of the same number in effect at the time of the adoption of these rules, and as hereafter may be changed. The Committees on Inquiry shall contain the following number of members, one-third of whom shall be nonlawyers: districts 1 and 2 shall contain 12 members and districts 3, 4, 5, and 6 shall contain 6 members.

   (2) The members of each committee shall be residents of, or have their principal law office in, the district in which they serve as herein described; provided, however, that members of the Committee on Inquiry for district 4 may reside in any part of Douglas County, and members of the Committee on Inquiry for district 2 may reside in Sarpy County.

   (3) Members of the Committees on Inquiry as they exist as of the date of adoption of this rule amendment shall continue to serve our their terms on such committees; however, when those terms expire, replacement for such members shall be in accordance with the boundaries and residence requirements of these rules.

   (B) The Court shall designate one member as Chairperson and two members as Vice Chairpersons, either of whom may serve as Chairperson in the event of the disqualification or unavailability of the Chairperson. Neither the Chairperson nor the Vice Chairpersons shall be nonlawyers.

   (C) When a Committee on Inquiry is first appointed, one-sixth of its members shall be appointed for a term of one year, one-sixth for a term of two years, one-sixth for a term of three years, one-sixth for a term of four years, one-sixth for a term of five years, and one-sixth for a term of six years and thereafter all regular terms shall be six years. No member of the Committee shall serve consecutive terms but may, however, be reappointed after a lapse of one year.

   (D) In the interest of continuity and efficiency of operation the Court may deviate from time to time from the above designated terms of membership. Any member who is participating in a disciplinary proceeding which is pending at the time the member's term expires shall continue to serve as a member of the Committee, with respect to such proceeding, until final disposition of that proceeding. Such a member will serve in addition to the regular members of that Committee. Members of the Committee shall not receive compensation for their services but may be reimbursed for travel and other expenses incidental to performance of their duties.

   (E) The Committee on Inquiry shall have the following powers and duties:

   (1) Review the investigations and Complaint presented to it by the Counsel for Discipline.

   (2) Dismiss the Complaint upon being satisfied it is without foundation and merit.

   (3) Issue a private reprimand if the Complaint indicates a matter not appropriate for a Formal Charge.

   (4) Make application to the Court requesting that a member be placed on disability inactive status or for an immediate temporary suspension of a member in conformity with §§ 3-311 or 3‑312.

   (F) An Inquiry regarding a Complaint filed with a Committee on Inquiry by the Counsel for Discipline shall be conducted by an Inquiry Panel composed of three members of the Committee appointed by the Chairperson of the Committee, one of whom shall be the Chairperson or a Vice Chairperson of the Committee, who shall serve as Chairperson of the Inquiry Panel. One member of each Inquiry Panel shall be a nonlawyer.

Rule 7(A)(2) amended November 23, 1994; Rule 7(A)(2) amended May 30, 1996; Rule 7(A)(2) amended November 12, 1998; Rule 7(A)(1)–(3) amended March 24, 2004. Renumbered and codified as § 3-307, effective July 18, 2008.

§ 3-308. Counsel for Discipline.

   (A) The Counsel for Discipline shall be appointed by the Nebraska Supreme Court and his or her appointment and tenure of office shall be on such terms and for such period as may be designated by the Court. The Counsel for Discipline shall not be permitted to engage in the private practice of law except the Court may agree to a reasonable period of transition after his or her appointment.

   (B) The Counsel for Discipline shall have the following powers and duties.

   (1) Review, investigate, or refer for investigation all matters of alleged misconduct called to his or her attention by Grievance or otherwise. The Counsel for Discipline may initiate Grievances.

   (2) Notify a member in writing that he or she is the subject of a Grievance and furnish the member a copy thereof within fifteen days of receipt of the Grievance.

   (3) Dismiss a Grievance if, in his or her judgment, it is without foundation and merit.

   (4) Refer members to Attorney Assistance Programs under appropriate circumstances.

   (5) Prepare a Complaint and file it with the appropriate Committee on Inquiry if, in his or her judgment, there is sufficient evidence to substantiate such Complaint.

   (6) Confer with any Committee on Inquiry prior to dismissal of a Grievance or preparation of a Complaint if he or she is in doubt as to the proper disposition of the matter.

   (7) Provide research services for the Advisory Committee.

   (8) Maintain records as follows:

   (a) Records of correspondence received by the Counsel for Discipline but not classified as a Grievance shall be maintained for a period of three years, after which time they may be destroyed.

   (b) Records of Grievances which have resulted in referral to Attorney Assistance Programs shall be maintained for a period of three years, after which time they may be destroyed.

   (c) Records of Grievances which have been dismissed by the Counsel for Discipline for lack of foundation and merit shall be maintained for a period of three years, after which time they may be destroyed.

   (d) Records of Grievances in which Complaints have been filed and then dismissed shall be maintained for a period of five years after final disposition of the complaint, after which time they may be destroyed.

   (e) Records of Grievances against attorneys that have resulted in a reprimand by the Committee on Inquiry or the Disciplinary Review Board or probation, a reprimand, censure, suspension, or disbarment of the attorney shall be maintained until the death of the attorney, after which time they may be destroyed.

   (9) Make a semiannual summary report to the Court of all disciplinary matters for each six-month period. Such report shall include the following information:

   (a) Number of members complained against.

   (b) The general nature of the Grievances.

   (c) The disposition or status thereof and such other matters as the Court may, from time to time, request.

   (d) A copy of the portion of the report relating to each Committee on Inquiry shall be submitted to the Chairperson of that Committee on Inquiry.

   (10) Assist the Court in any disciplinary matter then pending before the Court, if requested.

§ 3-309. Procedure: Committee on Inquiry; Counsel for Discipline; Disciplinary Review Board.

   (A) All allegations of misconduct must be filed with the office of the Counsel for Discipline. All allegations of misconduct received by any other person shall be transmitted forthwith to the Counsel for Discipline.

   (1) Upon receipt of information indicating an abuse of alcohol or drugs by a member or the existence of a mental health or gambling problem, the Counsel for Discipline shall release such information to the Nebraska Lawyers Assistance Program. The release of this information shall not be a violation of the confidentiality requirements of § 3-318.

   (2) Upon receipt of a grievance against a member arising out of conduct in a pending or closed federal case, including civil, criminal, bankruptcy, grand jury, or  federal proceeding in which the lawyer may be a witness, Counsel for Discipline shall disclose and refer such grievance to the federal judge assigned to the case for consideration of discipline under the federal attorney discipline rules. Any investigation of such grievance by Counsel for Discipline shall be held in abeyance until the federal court resolves the matter, provided, however, that if the federal court fails to resolve the grievance in a timely manner, Counsel for Discipline may take further action without regard to the referral to the federal court. Discipline by the federal court under its disciplinary rules does not preclude discipline under these rules pursuant to the Nebraska Rules of Professional Conduct. Referral under this subsection shall not be a violation of the confidentiality requirements of § 3-318.

   (B) All investigations, whether upon allegations of misconduct or otherwise, shall normally be initiated by the Counsel for Discipline.

   (C) When it appears to the Counsel for Discipline that allegations of misconduct do not have merit or that the allegations, if true, would not constitute grounds for discipline, he or she may decline to investigate and shall so advise the Complainant in writing with a proper explanation. In making a determination, the Counsel for Discipline may make such preliminary inquiry regarding the underlying facts as he or she deems appropriate. This may include requests for information from the Complainant and the member. All doubts shall be resolved in favor of an investigation. The Counsel for Discipline shall decline to investigate allegations of misconduct against current court-appointed attorneys in active criminal and juvenile cases. Such allegations and allegations of conflict of interest and ineffective assistance of counsel should be considered within the context of the underlying case. A declination by the Counsel for Discipline to investigate and dismissal pursuant to this rule are not appealable to the Committee on Inquiry or the Disciplinary Review Board.

   (D) If it appears to the Counsel for Discipline that allegations of misconduct may have merit and, if true, would constitute grounds for discipline, he or she shall notify the member against whom the allegations are directed that the member is the subject of a Grievance, and within fifteen days of its receipt furnish the member a copy thereof by certified mail, return receipt requested, at the member’s last known address.

   (E) Upon receipt of notice of a Grievance from the Counsel for Discipline, the member against whom the Grievance is directed shall prepare and submit to the Counsel for Discipline, in writing, within fifteen working days of receipt of such notice, an appropriate response to the Grievance, or a response stating that the member refuses to answer substantively and explicitly asserting constitutional or other grounds therefor. For good cause, the Counsel for Discipline may grant additional time for the filing of a response.

   (F) If, upon conclusion of any investigation, the Counsel for Discipline determines there are not reasonable grounds for discipline of a member against whom a Grievance is directed, he or she shall dismiss the Grievance and shall so advise the Complainant in writing with a proper explanation. The Counsel for Discipline shall further advise such Complainant that an appeal may be taken to the Disciplinary Review Board pursuant to § 3-314(A).

   (G) If, upon conclusion of any investigation, the Counsel for Discipline determines there are reasonable grounds for discipline of a member against whom a Grievance is made, he or she shall reduce the Grievance to a Complaint specifying with particularity the facts which constitute the basis thereof and the grounds for discipline which appear to have been violated. The Complaint shall be forwarded by the Counsel for Discipline to the member by regular mail at the member’s last known address. The member shall have ten working days from the date the Complaint is mailed to submit an additional written explanation of the facts or circumstances for inclusion in the Counsel for Discipline’s investigative file. The Complaint and either the investigation file, or a copy thereof, shall then be immediately forwarded to the proper Committee on Inquiry.

   (H) Upon receipt of the Complaint and file from the Counsel for Discipline, the Chairperson of the Committee on Inquiry shall appoint an Inquiry Panel pursuant to § 3-307(F) which shall within thirty days review the Complaint and either:

   (1) Determine that the Complaint, if true, would not constitute grounds for discipline and dismiss the Complaint.

   (2) Determine that there are not reasonable grounds for discipline of the Respondent, and dismiss the Complaint.

   (3) Determine that there are reasonable grounds for discipline of the Respondent but that no public interest would be served by the institution of a Formal Charge. The Panel thereupon shall prepare and issue to the Respondent a private reprimand which shall be made a permanent part of the file in the office of the Counsel for Discipline, and this reprimand shall be received as evidence in any subsequent disciplinary proceeding against the Respondent only after a finding of misconduct in the subsequent disciplinary proceeding.

   (4) Determine that there are reasonable grounds for discipline of the Respondent and that a public interest would be served by the filing of a Formal Charge. The Counsel for Discipline shall thereafter prepare and sign Formal Charges for filing with the Court. The Formal Charge shall be made in the name of the State of Nebraska on the relation of the Counsel for Discipline of the Nebraska Supreme Court.

   (I) The Respondent or the Counsel for Discipline may appeal the actions of the Inquiry Panel to the Disciplinary Review Board in conformity with §§ 3-306(D)(5) and (6), and 3-314(D).

Rule 9(C) and (D) amended March 13, 1998; Rule 9(A) and (B) amended February 28, 2001; Rule 9(C) amended June 25, 2008, effective July 9, 2008. Renumbered and codified as § 3-309, effective July 18, 2008; § 3-309(A)(1)-(2) amended March 16, 2011.

§ 3-310. Procedure: Nebraska Supreme Court.

   (A) Proceedings for discipline of members shall be considered civil in their nature and for the purpose of protecting the public and the good name of the members, and may be instituted against any person who has been licensed to practice in the courts of the State of Nebraska.

   (B) Proceedings for discipline of members may be instituted and prosecuted in the name of the State of Nebraska on the relation of the Counsel for Discipline of the Nebraska Supreme Court without leave of court.

   (C) Proceedings shall be initiated by the Counsel for Discipline filing a Formal Charge setting forth the grounds thereof with reasonable definiteness. The Formal Charge shall be filed with the Clerk who shall then docket the cause as an original proceeding in the Court. No initial filing fee shall be charged in these actions.

   (D) Upon the filing in the Court of a Formal Charge as contemplated and provided for by these rules against any member, Counsel for Discipline shall prosecute the Formal Charge against the Respondent. If the Court is advised by Counsel for Discipline by written notice or by a motion filed by the Respondent that, for reasons specified therein, a conflict exists or Counsel for Discipline cannot otherwise carry out such duty, the Court within ten days, in its discretion, may appoint any member to prosecute the Formal Charge.

   (E) The Counsel for Discipline or any member so appointed may within thirty days, in his or her discretion, prepare and file an amended Formal Charge. Within five days after the time fixed for filing an amended Formal Charge, service shall be made upon the Respondent as provided for in § 3-310(G).

   (F) If the Counsel for Discipline or the member so appointed has in his or her possession evidence which, in his or her opinion, warrants any additional Charge or Charges, the Counsel for Discipline or the member so appointed may incorporate such additional Charge or Charges in the Formal Charge and prosecute the same, despite the fact that they may not have been presented to the Committee on Inquiry or the Disciplinary Review Board.

   (G) Service upon the Respondent may be had by serving upon him or her a copy of the Formal Charge or any amended Formal Charge and notice of the time for answer in the same manner as service of summons is had in civil proceedings in the district courts of the State, in which case it shall be proved by the official return of the officer making such service. Service shall be deemed to have been waived if the Respondent shall sign a written receipt for a copy of the Formal Charge and notice. Service may likewise be had by the mailing by the Clerk of a certified copy of said Formal Charge and notice by certified mail, return receipt requested, to the Respondent at his or her last known address; and in that event the official return card of the United States mail, signed by the Respondent, acknowledging receipt of the envelope containing the copy of said Formal Charge and notice, shall be deemed sufficient proof of service. In the event that it shall appear by affidavit that personal service cannot be had upon the Respondent and that letters to the Respondent's last known address are returned unclaimed, service may be had upon the Respondent by publication of notice for two successive weeks in some legal newspaper published in the county wherein the Respondent last resided. Such notice shall state that Formal Charge for disciplinary action has been filed in the Court against the Respondent and shall give the date of filing and the time within which Respondent is required to answer.

   (H) The answer of the Respondent shall be filed within thirty days after service of summons and a copy of the Formal Charge or within thirty days after service by publication, as herein provided, shall have been completed. For good cause shown the Court may extend the time to answer.

   (I) If no answer be filed within the time limited therefor, or if the answer raises no issue of fact or of law, the matter may be disposed of by the Court on its own motion or on a motion for judgment on the pleadings, but in either case there shall be an opportunity for oral argument prior to entry of an order of disbarment by the Court.

   (J) Upon the filing of an answer raising an issue of fact, the Court shall refer the matter to a member as referee. It shall be the duty of such referee to fix an early date for hearing, notify the relator and the Respondent or their respective attorneys of record, and without delay to hear such testimony as may be introduced under the pleadings. The referee shall have all powers of a referee in civil actions in the courts of Nebraska. The referee shall observe the rules of evidence, discovery rules, and motion practice applicable in civil actions in the district courts of the State of Nebraska. The standard of proof in hearings before the referee shall be clear and convincing. The referee shall have a competent reporter present who shall take in shorthand or by any mechanical device and transcribe in typewriting all oral evidence adduced at the hearing had before the referee. The referee may continue the hearing from time to time as circumstances may require, but shall not delay his or her proceedings unless justice and equity so require. The referee shall make a written report within four months of the referee's appointment, unless extended by order of the Court, stating his or her findings of fact and recommendations. The typewritten record of the proceedings shall have attached to it all of the exhibits offered at the hearing, and shall be certified by the referee. The referee shall promptly transmit to the Court the referee's report, together with such record so certified, and shall transmit a copy of the report to the Respondent.

   (1) When the transcription of oral evidence, exclusive of exhibits, exceeds 250 pages in length, the reporter shall prepare one or more write-protected 3½-inch computer disks containing the transcription of proceedings. Such disks shall be formatted in Microsoft Word, or, if such formatting cannot be accomplished, in ASCII text. An adhesive label shall be affixed to each disk legibly identifying the case caption, docket and page or case numbers, disk number (1 of 2, etc.), the format utilized, and the name of the reporter. The first line of the label shall be left blank. Such disk(s) shall be transmitted to the Court by the referee at the same time that the typewritten record of proceedings and any attached exhibits are filed in the Court. Such disk(s) shall be for the exclusive use of the Supreme Court and authorized court personnel. Any reporter who lacks the technological capability to comply with this requirement shall include in the transcription of oral evidence a separate certificate so stating.

   (2) In addition to the written report of the referee, he or she shall also prepare one or more write-protected 3½-inch computer disks, DVD’s, or CD’s containing the report. Such disks shall be formatted in Microsoft Word, or, if such formatting cannot be accomplished, in ASCII text. An adhesive label shall be affixed to each disk legibly identifying the case caption, docket and page or case numbers, disk number (1 of 2, etc.), the format utilized, and the name of the referee. The first line of the label shall be left blank. The referee shall transmit such disk(s) to the Court at the same time that the referee’s written report is filed in the Court. Such disk(s) shall be for the exclusive use of the Supreme Court and authorized court personnel. Any referee who lacks the technological capability to comply with this requirement shall include in the report a separate certificate so stating.

   (K) Upon the filing of an answer raising an issue of law only, the Court may, in its discretion, refer the matter to a member as referee for such action in relation thereto as the Court may by its order of reference direct.

   (L) Within ten days after the filing of the report of the referee, any party thereto may file written exceptions to such report. If no exceptions are filed, the Court, in its discretion, may consider the findings final and conclusive, and on motion shall enter such order as the evidence and law require.

   (M) If exceptions be filed to the findings or report of the referee, briefs and arguments shall be filed and oral arguments made in the Court as required by the rules of the Court in civil cases. The party filing exceptions to the findings and report of the referee shall serve and file his or her brief within thirty days after the filing of such report and the brief of the adverse party shall be served and filed within thirty days thereafter. The case shall thereupon be placed upon the Court call for hearing.

   (N) The Court may disbar, suspend, censure, or reprimand the Respondent, place him or her on probation, or take such other action as shall by the Court be deemed appropriate. All orders of public discipline shall be forwarded by the Clerk to the membership secretary of the Nebraska State Bar Association.

   (O) Any party thereto may file a motion for rehearing at any time within twenty days from the filing of the opinion or rendition of the judgment of the Court.

   (P) Costs of these actions may be taxed by the Court as the Court shall see fit.

   (Q) The Counsel for Discipline shall prosecute any case referred to him or her by the Court for prosecution.

   (R) No application for modification of judgment pursuant to § 3-304 shall be made prior to the expiration of one year after the final order in such proceedings shall have been entered except in cases where the only service upon Respondent has been by publication, and no appearance has been made by Respondent, and except where the application is made under the terms of Neb. Rev. Stat. §§ 25‑2001 to 25-2009.

   (S) No application for reinstatement from an order of suspension shall be made prior to the expiration of the period of suspension unless otherwise provided by the Court in said order.

   (T) No application for reinstatement from an order of disbarment shall be made prior to the expiration of five years after the final order in such proceedings shall have been entered.

   (U) A member seeking reinstatement must inform the Counsel for Discipline of all prior discipline taken against him or her in any jurisdiction.

   (V) Copies of every such application shall be furnished the Relator, the Counsel for Discipline, the current Chairperson of the Committee on Inquiry for the District which exercised original jurisdiction, and the Chairperson of the Disciplinary Review Board, any one or more of whom may appear and resist such application. Any other persons may likewise appear upon obtaining leave of the Court and make such resistance. Within twenty days thereafter, the Counsel for Discipline and the District Committee on Inquiry, by its Chairperson, shall each file a written statement recommending the application be granted or denied and the reasons therefor. The Court may deny such application without a hearing if justice and equity require it. If the application or the showing in resistance thereto shall require the taking of evidence, the matter may be referred to a referee and the proceedings shall be the same as in the case of original disciplinary proceedings.

Rule 10(H) amended October 30, 1996; Rule 10(D) amended September 11, 2002; Rule 10(J) amended November 14, 2002; Rule 10(B), (C), (I) and (P) amended August 27, 2003; Rule 10(J) amended August 31, 2005. Renumbered and codified as § 3-310, effective July 18, 2008.

§ 3-311. Disability inactive status: Incompetency or incapacity.

   (A) Upon a Grievance that a member is incapacitated from continuing the practice of law by reason of physical or mental illness, or because of addiction to drugs or intoxicants, the appropriate Committee on Inquiry, with the assistance of the Counsel for Discipline, may prepare and submit to the Court an application requesting that the member be placed on disability inactive status. Such application shall be signed by the Chairperson of such Committee, and shall set forth grounds clearly indicating a temporary suspension of the member is necessary and proper.

   (B) Upon the filing of such application the Court shall provide for notice to the member who shall have the right of representation by counsel selected by the member or appointed by the Court, if it should appear to the Court the member may not be competent to do so. Notice shall be by service of the application by any means permitted with respect to service of formal charges under § 3-310(G), except that service may not be accomplished by publication.

   (C) The Court shall take or direct, consistent with fundamental fairness and due process, such action as it deems necessary and proper to determine whether the member is incapacitated from continuing the practice of law, including a direction for an examination of the member by such qualified medical experts as the Court shall designate at the cost of the member.

   (D) If, upon due consideration of the matter, the Court concludes the member is incapacitated from continuing to practice law, it shall enter an order placing the member on disability inactive status on the grounds of such disability until further order of the Court, and any pending disciplinary proceeding against the member shall be held in abeyance. Members on disability inactive status shall not be required to pay annual dues or disciplinary assessments to the Nebraska State Bar Association.

   (E) If, in the course of a proceeding under this rule, the Court shall determine the member is not incapacitated from practicing law, it shall take such action as it deems proper and advisable, including a direction for the resumption of any disciplinary proceedings being held in abeyance.

   (F) Any member on disability inactive status under the provisions of this rule shall be entitled to apply for reinstatement by filing with the Court an application supported by clear and convincing evidence the member's disability has been removed and the member is capable of resuming the practice of law. Upon such application, the Court may take or direct such actions as its deems necessary and proper to determine if the disability of such member has been removed, including a direction for an examination of the member by such qualified medical experts as the Court shall designate. The Court may direct the expense of such an examination shall be paid by the member.

   (G) The filing of an application for reinstatement by a member suspended under this rule shall be deemed to constitute a waiver of any physician-patient privilege with respect to any treatment of the member during the period of his or her disability. The member shall be required to disclose the name of every psychiatrist, psychologist, physician, and hospital or institution by whom, or in which, the member has been examined or treated since his or her placement on disability inactive status, and the member shall furnish to the Court written consent and waiver to each such person and institution to furnish such information and records as requested by court-appointed medical experts.

Rule 11(B) amended September 11, 2002; Rule 11(H) deleted September 11, 2002. Renumbered and codified as § 3-311, effective July 18, 2008.

§ 3-312. Temporary suspension: Continuing damage to the public and members, nonpayment of support orders, or conviction of a crime.

   (A) Upon a Grievance that a member is engaging in conduct that, if allowed to continue until final disposition of disciplinary proceedings, will cause serious damage to the public and members, or upon certification or notice that a member is delinquent on or is failing to pay a court-ordered obligation under a support order, or when a member has been convicted of a serious crime, the appropriate Committee on Inquiry with the assistance of the Counsel for Discipline may prepare and submit to the Court an application for the temporary suspension of the member from the practice of law until final disposition of any pending disciplinary proceedings. Such application shall be signed by the Chairperson of the Committee and shall set forth grounds clearly indicating that a temporary suspension of the member is necessary and proper.

   (B) Upon the filing of such application for temporary suspension, the Court shall provide for notice to the member who shall have the right of representation by counsel selected by the member or appointed by the Court, if it should appear to the Court the member may not be competent to do so. Notice shall be by service of the application by any means permitted with respect to service of formal charges under § 3‑310(G).

   (C) The Court shall take or direct, consistent with fundamental fairness and due process, such action as it deems necessary and proper to determine if the member should be suspended pending the final disposition of the disciplinary proceedings.

   (D) If, upon due consideration of the matter, the Court concludes the member should be suspended pending final disposition of the disciplinary proceedings, it shall enter an order suspending the member until the further order of the Court.

   (E) Any member suspended under the provisions of this rule shall be entitled to apply for termination of the temporary suspension by filing with the Court an application supported by clear and convincing evidence that the member is no longer engaging in conduct which, if allowed to continue until final disposition of any disciplinary proceedings, would cause serious continuing damage to the public and members, and that there is no reasonable likelihood that such conduct will recur.

   (F) Any temporary suspension order issued under this rule shall automatically terminate at the final disposition of the disciplinary proceedings or upon application to and order of the Court that the reason for the temporary suspension of the member no longer exists.

Rule 12 amended September 9, 1999; Rule 12(B) amended September 11, 2002. Renumbered and codified as § 3-312, effective July 18, 2008.

§ 3-313. Conditional admission of grievance, complaint, or formal charge.

   (A) At any time prior to the Clerk's entering a Formal Charge against a Respondent on the docket of the Court, the Respondent may file with the Clerk a conditional admission of a Grievance or of a Complaint in exchange for a stated form of consent judgment of discipline as to all or a part of the Grievance or Complaint pending against him or her as determined to be appropriate by the Counsel for Discipline and the appropriate Committee on Inquiry; such conditional admission is subject to approval by the Court. The conditional admission shall include a written statement that the Respondent knowingly admits or knowingly does not challenge or contest the truth of the matter or matters conditionally admitted and waives all proceedings against him or her in connection therewith. If a tendered conditional admission is not finally approved as above provided, it may not be used as evidence against the Respondent in any way.

   (B) At any time after the Clerk has entered a Formal Charge against a Respondent on the docket of the Court, the Respondent may file with the Clerk a conditional admission of the Formal Charge in exchange for a stated form of consent judgment of discipline as to all or part of the Formal Charge pending against him or her as determined to be appropriate by the Counsel for Discipline or any member appointed to prosecute on behalf of the Counsel for Discipline; such conditional admission is subject to approval by the Court. The conditional admission shall include a written statement that the Respondent knowingly admits or knowingly does not challenge or contest the truth of the matter or matters conditionally admitted and waives all proceedings against him or her in connection therewith. If a tendered conditional admission is not finally approved as above provided, it may not be used as evidence against the Respondent in any way.

   (C) No publicity will be given to any such conditional admission of a Grievance, Complaint, or Formal Charge described in § 3-313(A) and (B) until approval of the conditional admission by the Court.

Rule 13(A) - (C)  amended January 24, 2002. Renumbered and codified as § 3-313, effective July 18, 2008.

§ 3-314. Right of appeal.

   (A) Complainant may appeal to the Disciplinary Review Board a dismissal of the Grievance by the Counsel for Discipline. Allegations of misconduct dismissed by the Counsel for Discipline pursuant to § 3-309(C) are not appealable to the Committee on Inquiry or the Disciplinary Review Board. Except on a showing of good cause, notice of appeal shall be made in writing to the Chairperson of the Disciplinary Review Board within thirty days after notification of such dismissal. Said Board may then take such action as it deems appropriate.

   (B) In cases where the Counsel for Discipline prepares a Complaint and files it with the appropriate Committee on Inquiry pursuant to § 3-309(G), the Counsel for Discipline shall notify the Complainant by mail of the findings of the Committee on Inquiry.

   (C) If the Committee on Inquiry Panel dismisses the Complaint pursuant to § 3-309(H), the Counsel for Discipline may appeal the decision to the Disciplinary Review Board. Except on a showing of good cause, notice of appeal shall be made in writing to the Chairperson of the Disciplinary Review Board within thirty days after notification of the dismissal of the Complaint by the Committee on Inquiry. In the event of an appeal, the Chairperson of the Disciplinary Review Board shall obtain from such Committee on Inquiry the Complaint, investigative file of the Counsel for Discipline, and any report prepared by the Committee.

   (D) Either the Respondent or the Counsel for Discipline may appeal to the Disciplinary Review Board a reprimand issued to the Respondent by the Committee on Inquiry upon written application filed with the Chairperson of the Disciplinary Review Board within thirty days of issuance of the reprimand. Either the Respondent or the Counsel for Discipline may appeal to the Court the action of the Disciplinary Review Board.

Rule 14(A), (C), and (D) amended Dec. 13, 1995; Rule 14(A) amended February 28, 2001. Renumbered and codified as § 3-314, effective July 18, 2008.

§ 3-315. Voluntary surrender of license.

   (A) Once a Grievance, a Complaint, or a Formal Charge has been filed, suggested, or indicated against a member, the member may voluntarily surrender his or her license.

   (1) The voluntary surrender of license shall state in writing that the member knowingly admits or knowingly does not challenge or contest the truth of the suggested or indicated Grievance, Complaint, or Formal Charge and waives all proceedings against him or her in connection therewith.

   (2) A voluntary surrender of license shall not terminate such Grievance, Complaint, or Formal Charge unless an appropriate order is entered by the Court.

Rule 15 amended March 14, 2001. Renumbered and codified as § 3-315, effective July 18, 2008.

§ 3-316. Notification requirements by disbarred or suspended members.

   (A) Whenever a member is disbarred or suspended from the practice of law or surrenders his or her license under § 3-315, such member shall:

   (1) Notify in writing all of the member's present clients of such fact, and

   (2) Assist each client in obtaining a member of the client's choice to complete all matters being handled by him or her, and

   (3) Promptly refund all client funds and close all attorney trust accounts if the imposed sanction is greater than a 30-day suspension. A trust account may remain open if, after a reasonable search, the client or clients eligible to receive funds cannot be located, and

   (4) Notify in writing all members and nonresident attorneys involved in pending legal or other matters being handled by the member of his or her altered status, and

   (5) Return to the Clerk the member's Nebraska State Bar Association membership card.

   (6) Within thirty days from the date of said disbarment, suspension, or voluntary surrender, file an affidavit with the Court, stating full compliance with the requirements of this rule and shall simultaneously submit evidence of full compliance.

   (7) Every order (judgment) of disbarment or suspension shall direct the Respondent to comply with § 3‑316.

   (8) The Clerk shall notify the Court, in writing, of the compliance or noncompliance of the Respondent with § 3-316. Noncompliance shall be contempt of court.

Rule 16 amended November 10, 2004. Renumbered and codified as § 3-316, effective July 18, 2008.

§ 3-317. Subpoena power.

   (A) For investigative purposes, the Counsel for Discipline shall be empowered to issue writs of subpoena, including subpoena duces tecum, in the name of the State of Nebraska requiring the attendance and testimony of witnesses and parties and the production of records, books, and documents; to administer oaths to parties and witnesses; to take their sworn testimony or their unsworn statements; and to certify to the Court for appropriate action by the Court any refusal of a witness or party to comply with the requirements of a subpoena or subpoena duces tecum to testify, answer questions, or produce  records, books, or documents.

   (B) Such subpoena, including subpoena duces tecum described in this rule, may be served by certified mail, return receipt requested, by the Sheriff of any County of the State of Nebraska or by any person authorized by the Counsel for Discipline to do so.

   (C) Any Respondent shall have the right to request writs of subpoena, including subpoena duces tecum, in the name of the State of Nebraska, by a written request therefor to the Referee, prior to ten days of any hearing. The Referee, with the assistance of the Clerk, shall, immediately, issue such subpoena or subpoena duces tecum and cause the same to be served in the same manner as provided in § 3-317(B); provided the testimony and evidence to be produced as a result of said subpoena or subpoena duces tecum shall be reasonably relevant and material to the matters on hearing. With said request the Respondent shall submit the last known address of the witnesses together with the witness and mileage fees for such witnesses in the same amount as are paid for witnesses in the district courts of Nebraska.

   (D) Prior to the appointment of a Referee, the Disciplinary Review Board may quash or modify the subpoena if it is unreasonable or oppressive. The Referee, upon appointment, shall assume such authority.

Rule 17(B) amended November 12, 1997. Renumbered and codified as § 3-317, effective July 18, 2008.

 

§ 3-318. Publicity of disciplinary proceedings and sequestration of witnesses.

   (A) The hearings, records, or proceedings of the Counsel for Discipline, the Committee on Inquiry, and the Disciplinary Review Board are confidential and shall not be made public except that the pendency, subject matter, and status of an investigation may be disclosed by the Committee on Inquiry involved or the Disciplinary Review Board if

   (1) the Respondent has waived confidentiality, either in writing or by public disclosure of information regarding the proceeding; or

   (2) the proceeding is based upon conviction of a crime.

   (B) Unless the Respondent has waived confidentiality, either in writing or by public disclosure of information regarding the proceedings, willful violation of this rule shall be grounds for discipline.

   (C) This rule is not intended to prohibit the exchange of confidential information with other agencies authorized by the Court to receive such information.

   (D) The following provisions regarding the confidentiality of various disciplinary pleadings filed in the Supreme Court shall apply:

TYPE OF PLEADING FILED

BECOMES PUBLIC RECORD

(1) Formal Charges.

Upon filing.

(2) Application for Disability Inactive Status based upon competency or incapacity pursuant to § 3-311.

Shall not be made public until status is entered by the Court. If Application is denied, the case remains confidential.

(3) Application for Reinstatement pursuant to § 3‑311.

Upon filing.

(4) Application for Temporary Suspension based upon continuing damage to the public or conviction of a serious crime.

Upon filing.

(5) Application for Reinstatement after Temporary Suspension due to § 3-312.

Upon filing.

(6) Conditional Admission of Complaint or Formal Charges.

Remains confidential until the Court approves the Conditional Admission.

(7) Appeal of Disciplinary Review Board decision to issue Private reprimand.

Remains confidential unless Formal Charges are entered with the Court.

(8) Voluntary Surrender of License.

Upon filing.

(9) Application for Reinstatement after Suspension or Disbarment.

Upon filing.

   (E) The Counsel for Discipline may release confidential information to the Client Assistance Fund Claims Board of the Nebraska State Bar Association as needed to further the work of the Claims Board. Such information shall not be made public other than as necessary to discharge the duties of the Claims Board.

Rule 18(E) amended October 31, 2001. Renumbered and codified as § 3-318, effective July 18, 2008.

 

§ 3-319. Termination of disciplinary proceedings.

   Neither unwillingness nor neglect of the Complainant to sign a Grievance or to assist in the prosecution of the Complaint, nor settlement, compromise, or restitution, shall, in itself, justify termination of any disciplinary proceedings.

§ 3-320. Related civil or criminal litigation.

   (A) Similarity of the substance of a Grievance, Complaint, or Formal Charge to the material allegations of pending criminal or civil litigation shall not in itself prevent or delay disciplinary proceedings against the member involved in such litigation.

   (B) The acquittal of the member on criminal charges or a verdict or judgment in the member's favor in civil litigation involving material allegations similar in substance to a Grievance, Complaint, or Formal Charge shall not in and of itself justify termination of disciplinary proceedings predicated upon the same or substantially the same material allegations.

§ 3-321. Reciprocal discipline.

   (A) Upon being disciplined in another jurisdiction, a member shall promptly inform the Counsel for Discipline of the discipline imposed. Upon receipt by the Court of appropriate notice that a member has been disciplined in another jurisdiction, the Court may enter an order imposing the identical discipline, or greater or lesser discipline as the Court deems appropriate, or, in its discretion, suspend the member pending the imposition of final discipline in such other jurisdiction.

   (B) In the event the discipline imposed in the other jurisdiction has been stayed, the entry of an order pursuant to the provisions of § 3-321(A) shall be deferred until such stay expires.

§ 3-322. Immunity and privileges.

   (A) Reports of alleged misconduct and Grievances submitted to the Counsel for Discipline, Committees on Inquiry, and the Disciplinary Review Board or testimony with respect thereto are confidential and shall be absolutely privileged and no lawsuit predicated thereon may be instituted.

   (B) The Counsel for Discipline, his or her representatives, and members of the Disciplinary Review Board, Committees on Inquiry, and Advisory Committee; the director and any members of the Nebraska Lawyer’s Assistance Program; and all others (whether or not members of the Association) whose assistance is requested by any of the foregoing in connection with the enforcement of these rules shall be immune from suit for any conduct in the course of their official duties under these rules.

   (C) The Complainant and all witnesses shall be immune from suit for any testimony given in the course of any proceedings under these rules.

§ 3-323. Expenses.

   (A) Actual costs and expenses necessarily incurred by the Counsel for Discipline, his or her representatives, the Committee on Inquiry or the Disciplinary Review Board in connection with any investigations or Inquiries, as provided by these rules and incurred prior to the filing of the Formal Charge in the Court, shall be paid by the Office of the Counsel for Discipline. If a private reprimand is issued to a member, the Court may enter judgment in favor of the Office of the Counsel for Discipline, for such costs and expenses upon request of and proof by the Counsel for Discipline.

   (B) Upon request of and proof by the Counsel for Discipline, a disciplined member shall be required to reimburse the Office of the Counsel for Discipline for the actual costs and expenses necessarily incurred by the Counsel for Discipline, his or her representatives, the Committee on Inquiry, or the Disciplinary Review Board in connection with any investigations, hearings, or proceedings leading to the imposition of a sanction, if the disciplinary action is heard by the Nebraska Supreme Court. The Court may enter judgment for court costs and costs and expenses approved by the Court.

§ 3-324. Rules are cumulative.

   These rules shall be cumulative and not exclusive.

§ 3-325. Eligibility to serve on board or committee.

   In determining eligibility to serve on any board or committee under these rules, an individual may be considered a resident of the district in which the individual either lives or maintains law offices. Provided, however, such offices must be the principal office for such individual and not merely a satellite office.

Rule 25 adopted November 23, 1994. Renumbered and codified as § 3-325, effective July 18, 2008.

§ 3-326. Lawyers convicted of a crime.

   (A) For the purposes of Inquiry of a Complaint or Formal Charges filed as a result of a finding of guilt of a crime, a certified copy of a judgment of conviction constitutes conclusive evidence that the attorney committed the crime, and the sole issue in any such Inquiry should be the nature and extent of the discipline to be imposed.

   (B) A lawyer shall promptly notify the Counsel for Discipline if he or she is found guilty of a serious crime and must provide proof of that adjudication.

Rule 26 adopted September 13, 1995. Renumbered and codified as § 3-326, effective July 18, 2008.

§ 3-327. Effective date.

   The amendments to these rules shall become effective on January 1, 2001. Formal Charges under review by the Disciplinary Review Board on the above-mentioned date shall be immediately forwarded and filed with the Clerk. Charges pending before the Committees on Inquiry on the above-mentioned date that have not been the subject of an Inquiry shall proceed in accordance with these rules. Appeals pending before the Committees on Inquiry on the above-mentioned date shall proceed as if under the former rules with the exception that there shall not be an additional appeal to the Disciplinary Review Board.

§ 3-328. Appointment of a trustee.

   In addition to any of the foregoing procedures within these rules relating to disability inactive status, disbarment, or suspension of an attorney, the following measures may be taken for the protection of client interests:

   (A) Appointment of a Trustee. If an attorney (i) has been suspended by an order of the Court placing the member on disability inactive status pursuant to § 3-311; (ii) is shown to be unable to properly discharge his or her responsibilities to clients due to disability, disappearance, death, or abandonment of a law practice and there is no showing that an arrangement has been made for another lawyer to discharge the responsibilities; or (iii) has been disbarred or suspended pursuant to §§ 3-310 or 3-312 or has surrendered his or her license under § 3-315 and there has been a failure to comply with § 3-316 client notification requirements, the Court may appoint a lawyer to serve as trustee to inventory the files, sequester client funds, and take whatever other action seems indicated to protect the interests of the clients and other affected parties.

   (1) Trustee Bound by Lawyer-Client Privilege. The trustee should be bound by the lawyer-client privilege with respect to the records of individual clients, except to the extent necessary to carry out the order of the Court.

   (2) The trustee shall notify in writing all of the present clients of the disbarred or suspended member of the fact of such disbarment or suspension and shall also notify in writing all members and nonresident attorneys involved in pending legal or other matters being handled by the disbarred or suspended member of his or her altered status.

   (3) The trustee shall receive compensation for his or her services as established by the Court and may be reimbursed for travel and other expenses incidental to the performance of his or her duties.

Rule 28 adopted September 11, 2002. Renumbered and codified as § 3-328, effective July 18, 2008.

Article 4: Mandatory Continuing Legal Education for Lawyers.

Section 1: Mandatory Continuing Legal Education for Lawyers Rules

§ 3-401.1. Purpose and application.

   By continuing their legal education throughout the period of their practice of law, attorneys can enhance their competence to serve their clients. Chapter 3, article 4, of the Nebraska Supreme Court Rules establishes minimum requirements for such continuing legal education (CLE) and the means by which the requirements shall be enforced. The mandatory CLE requirements of these rules shall apply to all active members of the Nebraska State Bar Association, unless otherwise provided herein. These rules shall become effective on July 1, 2009, except that those provisions mandating attorney compliance with the CLE requirements of the rules shall not become operative until January 1, 2010. Attendance at any accredited or approved CLE program, as approved by the Director of Judicial Branch Education (Director) as set forth in these rules, in the three (3) months preceding January 1, 2010, may apply toward CLE requirements for the first reporting period upon application of the attorney and approval of the Director.

§ 3-401.2. Definitions.

   For purposes of Neb. Ct. R. §§ 3-401.1 through 3-402.3, the following definitions shall apply:

   (A) Reporting period: The initial reporting period shall begin January 1, 2010. The reporting period shall be an annual period, based on a calendar year, in which attorneys shall complete the required hours of CLE.

   (B) Commission: Nebraska Supreme Court Continuing Legal Education Commission.

   (C) Credit hour: Sixty (60) minutes spent by an attorney in an accredited or approved instructional program designed for CLE. Credit may be claimed for less than one (1) credit hour.

   (D) In-house activity: A CLE program given by, for, or to a select private audience, such as a law firm, corporation, government agency, or governmental entity, not open for admission to other members of the legal community generally. When determining whether a program is in-house activity, the Director shall consider the attendees and programming literature, not the sponsor of the education.

   (E) Active member: An attorney as defined by Neb. Ct. R. § 3-803(B)(1).

   (F) Inactive member: An attorney as defined by Neb. Ct. R. § 3-803(B)(2).

   (G) Program sponsor: Any person or organization presenting or offering to present one or more individual CLE programs.

   (H) Accredited CLE sponsor: A person or organization whose entire CLE program has been accredited pursuant to these rules.

   (I) Faculty member: A person qualified by practical or academic experience to teach or present at a CLE program.

   (J) Professional responsibility: As used herein, professional responsibility includes instruction in the following areas: legal ethics; professionalism; diversity in the legal profession; malpractice prevention; recognizing and addressing substance abuse and mental health issues in the legal profession; Nebraska Supreme Court Rules Relating to Discipline of Attorneys; ethical standards as they relate directly to law firm management; and duties of attorneys to the judicial system, public, clients, and other attorneys.

§ 3-401.2(C) amended November 16, 2011.

§ 3-401.3. CLE commission; administration.

   (A) There is hereby established the Nebraska Supreme Court Continuing Legal Education Commission consisting of seven members. The Nebraska Supreme Court shall appoint to the commission six resident members of this state who are active members of the Nebraska State Bar Association licensed to engage in the practice of law in Nebraska. There shall be one such attorney member appointed from each of the six Nebraska Supreme Court judicial districts. The attorney members shall serve a term of three (3) years each. Of the six members initially appointed, two members shall serve for one (1) year, two members shall serve for two (2) years, and two members shall serve for three (3) years. The seventh member shall be a justice of the Nebraska Supreme Court appointed by the Chief Justice. No attorney member shall serve more than two consecutive terms as a member of the commission.

   (B) The commission shall meet at such places and times as it determines. The members shall be entitled to reimbursement for reasonable travel, lodging, and other reasonable expenses incurred in the performance of duties relating to the commission.

   (C) The Nebraska Supreme Court shall adopt rules governing the operations and activities of the commission.

   (D) The administrator of the commission shall be the Director.

   (E) The Director, on behalf of the commission, shall have the following duties with respect to CLE for attorneys:

   (1) To exercise general administrative authority over the Nebraska Supreme Court program for CLE established by these rules;

   (2) To accredit program sponsors, courses, programs, and other educational activities that will satisfy the educational requirements of these rules;

   (3) To approve CLE activities other than accredited courses for credit toward the requirements of these rules;

   (4) To establish and maintain a system for recording and monitoring attorney legal education credits required by these rules;

   (5) To review and rule on attorney applications for waivers and extensions of time to the requirements of these rules;

   (6) To notify attorneys pursuant to § 3-401.11 of their failure to comply with the requirements of these rules;

   (7) To report promptly to the commission concerning any violation of these rules by any active member of the Nebraska State Bar Association;

   (8) To set fees for sharing U.S. Postal mailing lists with CLE sponsors for correspondence with Nebraska attorneys.

   (F) The Director, his or her representatives, and members of the CLE commission, and all others whose assistance is requested by any of the foregoing in connection with the enforcement of these rules, shall be immune from suit for any conduct in the course of their official duties under these rules.

§ 3-401.4. CLE requirement.

   (A) Active members of the Nebraska State Bar Association admitted to engage in the active practice of law in this state shall complete a minimum of ten (10) hours of accredited or approved CLE in each annual reporting period. Of the ten (10) hours, at least two (2) hours shall be in the area of professional responsibility.

   (B) CLE credit hours for each attorney shall be reported to the Director as set forth in these rules and in the manner prescribed by the Nebraska Supreme Court. Reporting shall be completed in electronic form using the MCLE on-line system.

   (C) An attorney completing more than ten (10) CLE credit hours during the annual reporting period may receive credit in the next succeeding annual reporting period for the CLE credit hours earned in excess of ten (10) hours if the proposed carryover consists of regular/traditional credits earned in a setting in which the presenter is present with the attendees, and provided that the excess CLE credit hours carried over into the next succeeding annual reporting period may not exceed five (5) hours. CLE credit hours in the area of professional responsibility are an annual requirement, and those credit hours shall not roll over.

§ 3-401.4(C) amended November 12, 2009; § 3-401.4(B) amended November 16, 2011; § 3-401.4(C) amended March 28, 2012.

§ 3-401.5. Exemptions.

   The following attorneys are exempt from CLE requirements as set forth by these rules:

   (A) Attorneys during the time they are on inactive status pursuant to Neb. Ct. R. § 3-803(B)(2).

   (B) Members of the U.S. Armed Forces under the following circumstances:

   (1) Attorneys who are on continuous Active Military Service under title 10 or title 32 of the U.S. Code or State Active Duty under the jurisdiction of any state or territory of the United States for a period of at least six (6) months during the annual reporting period.

   (2) Active component members or members of the reserve forces of the U.S. Military who are serving in excess of thirty (30) days but less than six (6) months of continuous active duty military service under title 10 or title 32 of the U.S. Code or State Active Duty under the jurisdiction of any state or territory of the United States. Upon release or discharge from service as described in this paragraph, said attorneys shall have either six (6) months or until the end of the annual reporting period, whichever is longer, to obtain the required CLE credits.

   (C) All persons subject to mandatory judicial branch education pursuant to Neb. Ct. R.§ 1-501 et seq., including judges and attorneys.

   (D) Attorneys who have been suspended or disbarred from the practice of law by order of the Nebraska Supreme Court, except as otherwise ordered by the Nebraska Supreme Court pursuant to § 3‑401.12(C).

   (E) Newly admitted attorneys shall be subject to this article beginning January 1 of the year following admission to the Nebraska State Bar Association. Credit shall not be given for any courses attended before admission to the practice of law in Nebraska. Education credits obtained prior to when an attorney is subject to this article are not eligible for carry-forward to the next CLE period.

   (F) Attorneys who have reached the year in which their 70th birthday occurs.

§ 3-401.5(F) adopted January 12, 2011; § 3-401.5(E) amended December 12, 2012.

§ 3-401.6. Accredited CLE sponsors: procedure for accreditation of sponsors.

   An accredited CLE sponsor is a person or organization who has qualified as such under this rule. The programs of an accredited CLE sponsor shall be automatically approved for CLE credit so long as its status as an accredited CLE sponsor remains active, the $25 fee required by § 3-401.6(D) has been received by the Director no later than ten (10) days prior to the program being offered, the reporting requirements of § 3-401.9 have been agreed to by the sponsor, and there has been no revocation by the Director.

   (A) An organization or person desiring to become an accredited CLE sponsor may apply for accreditation to the Director. Such application shall be submitted at least sixty (60) days prior to any educational activity. An accredited CLE sponsor’s programs shall meet the educational standards of § 3-401.7. The Director may grant an application for accreditation as an accredited CLE sponsor if he or she is satisfied that the applicant’s programs meet the standards set forth in § 3-401.7 and provided the applicant complies with the following:

   (1) The person or organization submits to the Director, on a form approved for that purpose, information on CLE programs offered during the two (2) years immediately preceding the request for accredited CLE sponsor status. If the person or organization has been offering CLE courses for five (5) years or less, the Director may, at his or her discretion, request submission of course materials for inspection.

   (2) The sponsor pays a one-time nonrefundable accreditation fee of $200.

   (B) Accreditation is not approved until the sponsor is notified in writing by the Director.

   (C) The Director may, at any time, reevaluate the programs being presented by an accredited CLE sponsor. If, after such reevaluation, the Director finds there is cause for revocation of the accreditation of a sponsor, he or she shall provide written notice of such cause to the sponsor and shall allow the sponsor fifteen (15) days to show cause to the Director why such accreditation should not be revoked. If such sponsor fails to adequately show cause why the accreditation should not be revoked, the Director may revoke the accreditation and shall promptly notify the sponsor of such decision. In addition, if the Director in his or her judgment concludes that a course fails to meet the educational standards for approval set forth in § 3-401.7, he or she may deny or withdraw approval for the course even though offered by an accredited sponsor.

   (D) An accredited CLE sponsor shall pay a nonrefundable fee of $25 for each occasion a course or program is offered by that sponsor under these rules.

§ 3-401.6 amended November 12, 2009.

§ 3-401.7. Educational standards for CLE courses; application for approval of individual course by program sponsors other than accredited CLE sponsor.

   (A) An individual CLE course offered by a program sponsor other than an accredited CLE sponsor may be approved for credit if the $50 application fee required by § 3-401.7(D) has been received by the Director, the reporting requirements of § 3-401.9 have been agreed to by the program sponsor, and the course meets the following educational standards:

   (1) It has as its goal the teaching of a subject matter primarily related to the practice of law or to a discipline in which further education of attorneys would be beneficial to the practice of law.

   (2) It constitutes an organized program of learning, including lectures, workshops, or symposiums, which contributes directly to the professional competency of an attorney.

   (3) It pertains to legal subjects or other subject matters having significant intellectual or practical content relating to the practice of law or to the education of attorneys with respect to professional responsibility.

   (4) It is conducted or taught by attorneys or other persons who have the necessary academic or practical skills to conduct the course effectively and who have special education, training, and experience by reason of which they should be considered knowledgeable concerning the subject matter of the program.

   (5) Each attendee must be provided with written or electronic course materials that substantively pertain to the subject matter of the program and are of a quality and quantity that indicate adequate time has been devoted to their preparation and they will be of value to the attendees in the course of the practice of law.

   (6) If the course involves the use of distance learning formats, including, but not limited to, archived video or audio programs, webcasts, telephone broadcasts, or simultaneous broadcasts, the credits shall be subject to the 5-hour annual cap set forth in § 3-401.8(A). Further, those not physically attending must have substantially the same opportunity for interaction with those teaching the course as they would if physically present at the same location. No credit will be given for archived video or audio programs whose content is more than one (1) year old.

   (B) An organization or person, other than an accredited sponsor, desiring prior accreditation of a course or program shall apply for accreditation or approval to the Director at least forty-five (45) days before the activity. The application shall include a brief resume of the activity; its dates, subjects, and instructors and their qualifications; and a copy of the program outline, brochure, or other documentation upon which the Director can make a determination as to the credits. The Director shall approve or deny such application in writing within thirty (30) days of receiving the application.

   (C) An attorney seeking credit for participation in an education course or program for which credits were not approved in advance by the Director shall submit the course for approval through the on-line system and include in the submission information from the sponsor outlining a brief resume of the activity; its dates, subjects, and instructors and their qualifications; and a copy of the sponsor's program outline, brochure, or other documentation upon which the Director can make a determination as to the credits to which the applicant is entitled. Within a reasonable time after receipt of the approval request and accompanying materials, not to exceed thirty (30) days, the Director shall assign the number of credits, if any, being granted through the on-line system. Attorneys affiliated with the education sponsor cannot submit the sponsor's activities for approval using their attorney user account credentials for the on-line system.

   (D) A person or organization seeking accreditation of a course or program as a program sponsor under this section shall pay a nonrefundable application fee of $50 at the time of submitting the application to the Director. No application fee shall be required of an attorney who applies for accreditation solely as an attendee. The nonrefundable fee of $50 shall be submitted along with an approval request each occasion a course or program is offered by the sponsor under these rules.

§ 3-401.7(B) amended September 9, 2009; § 3-401.7(A)(6) amended December 8, 2010, effective January 1, 2011; § 3-401.7(A)(6) amended February 24, 2011; § 3-401.7(C) amended November 16, 2011; § 3-401.7(C) and (D) amended December 12, 2012.

§ 3-401.8. Limitations on credits based on class type and credit for activities other than attending accredited or approved courses.

   Subject to the annual credit number limitations set forth below, which apply to all CLE activities, an attorney may receive CLE credit for activities other than attendance at courses offered by accredited CLE sponsors or individual courses approved under § 3‑401.7. Credits earned in excess of the annual limit for the following class types will not carry over into the following year:

   (A) Up to five (5) hours in the annual reporting period may be obtained through completion of computer-based legal education accredited by the Director.

   (B) Up to five (5) hours in the annual reporting period may be obtained for approved “in-house” CLE programs as defined by § 3-401.2(D). “In-house” CLE must be approved by the Director and application for credit shall be in the manner prescribed by the Nebraska Supreme Court. In order for an in-house CLE program to be approved, the Director must approve it on application of the sponsor no fewer than thirty (30) days before the commencement of the program. The application must include a description of the dates, times, places, faculty members, and the subject matter of the program and an explanation of how the program meets the educational standards of § 3-401.7. In addition, the “in-house” program sponsor must agree to the reporting requirements of § 3-401.9, including payment of the sponsor’s fee of $1 per approved credit hour for each attorney.

   (C) Up to three (3) hours in the annual reporting period may be obtained for teaching pre-approved CLE programs. An attorney seeking credit for teaching approved CLE programs must make written application to the Director with an explanation of time spent in preparation of teaching the CLE materials. This credit shall be in addition to credit for attending the approved CLE program. No credit shall be given for teaching directed primarily to candidates for a law degree.

   (D) Attendance at J.D.- or graduate-level law courses offered by American Bar Association (ABA)-accredited law schools, subject to the following conditions:

   (1) Credit may be awarded for courses initiated and completed after admission to practice in Nebraska.

   (2) Credit toward MCLE requirements shall be for the actual number of class hours attended, but the maximum number of credits that may be earned during any annual reporting period by attending courses offered by ABA-accredited law schools shall be the maximum annual CLE hours required by Neb. Ct. R. § 3-401.4.

   (3) The course need not be taken for law school credit toward a degree; auditing a course is permitted. However, the attorney must comply with all law school rules for attendance, participation, and examination, if any, and complete the course to receive CLE credit.

   (4) The law school shall give each attorney a written certification evincing that the attorney has complied with requirements for the course and has completed the course.

   (E) Subject to the limitations listed above, for attendance at educational activities that are not approved in advance, provided that the attorney seeking credit submits to the Director a written report which shall include a brief resume of the activity; its dates, subjects, and instructors, and their qualifications; a copy of the program outline or brochure; and an explanation of how the activity meets the educational standards of § 3-401.7, and that the Director approves the credit.

§ 3-401.8(D) and (E) amended February 3, 2010; § 3-401.8 amended June 9, 2010; § 3-401.8(C) amended December 8, 2010, effective January 1, 2011; § 3-401.8 and (E) amended March 28, 2012.

§ 3-401.9. CLE sponsor reporting of attorney attendance; course promotional material requirements; attorney self-reporting of course completion.

   (A) As a condition of accreditation pursuant to § 3-401.6 or program approval pursuant to § 3‑401.7 or § 3-401.8(B), sponsors of CLE programs shall agree to remit to the Director an alphabetical list of Nebraska attorney attendees and shall pay to the Director a fee of $1 per approved credit hour for each Nebraska attorney who attends the program. This sponsor’s fee, along with the list of attendees, shall be submitted to the Director in the manner provided by the Nebraska Supreme Court within thirty (30) days after the program is held.

   (B) All accredited CLE sponsors qualified under § 3-401.6 and program sponsors of individual courses or programs approved under § 3-401.7 shall agree to the following as a condition of accreditation or program approval:

   (1) An official record verifying all Nebraska attorneys’ attendance at the activity shall be maintained by the sponsor for at least three (3) years after the completion date of the program.

   (2) The sponsor shall include the attorney’s name on the official record only if such attorney attended the program and there is verifiable proof of attendance at the educational activity.

   (3) The official record of attendance shall state the name and bar number of the attorney, the date and location of the activity, and the title of the program attended along with the amount of CLE credit obtained from attendance at the activity.
   (4) Sponsors shall provide a certificate of attendance to all attorneys attending CLE programming provided by the sponsor. The certificate of attendance shall state the date, location, title of the program, and the amount of CLE credit obtained from attendance at the activity.

   (5) Accredited CLE sponsors and approved program sponsors shall include a statement in any materials promoting their approved educational activity, certifying that the sponsor is an accredited CLE sponsor or approved program sponsor under these rules. Examples: “[Sponsor] is an accredited CLE sponsor in the State of Nebraska” or “[Sponsor] certifies that this activity has been approved for CLE credit in the State of Nebraska.”

   (6) Sponsors shall not provide promotional material or other information to Nebraska attorneys that provides credit totals that differ from the credit total approved by the Nebraska MCLE Commission. In the case of distance learning courses lasting longer than 5 hours, and in the case of in-house programs, the course promotional material shall indicate the cap imposed upon such programs contained in §§ 3-401.8(A) and 3-401.8(B).

   (C) Attorneys seeking CLE credit for any accredited or approved course involving distance learning formats, including, but not limited to, archived video or audio programs, webcasts, telephone broadcasts, simultaneous broadcasts, or computer-based legal education, as referenced in §§ 3-401.7(A)(6) and 3‑401.8, or for any other similar accredited or approved course for which there will be no sponsor reporting, shall submit to the Director a written report of completion, signed by the attorney, which includes the name of or other identifying information regarding the course; information regarding the prior accreditation or approval of the course; the sponsor of the course, if applicable; the total time spent in study; and the date and location of completion.

§§ 3-401.9(B)(6) and (C) amended February 24, 2011.

§ 3-401.10. Report by attorneys to Director.

   (A) On or before October 1 of each annual reporting period, the Director shall provide e-mail notification to all active attorneys to review their on-line accounts and make sure all education is reported in order to facilitate the timely filing of annual reports beginning December 1.

   (B) On or before January 20 following the end of the annual reporting period, each attorney admitted to the active practice of law in this state shall make a report to the Director, through the use of the on-line MCLE system, evidencing completion of accredited or approved CLE, including professional responsibility education, during the preceding reporting period.

   (C) Once an annual report is submitted through the on-line system, the CLE record for the attorney becomes final and cannot be modified.  In the event an attorney chooses to rescind an annual report and refile for the year, the request to do so must be received by the MCLE Commission no later than January 31 following the end of the reporting period. A request to rescind and refile a report can only be processed upon the payment of a $25 fee to the MCLE Commission.

   (D) All attorneys who fail by January 20 following the end of the annual reporting period to file the report shall pay a penalty of $25 by a credit card transaction through the on-line system.

§ 3-401.10(A) and (C) amended and (D) deleted November 16, 2011; § 3-401.10(B) and (C) amended and (D) adopted March 28, 2012.

§ 3-401.11. Sanction for failure to satisfy CLE requirements.

   (A) Any attorney who fails to comply with the provisions of this rule or who files a report showing on its face that he or she has failed to complete the required number of hours of CLE may have his or her right to practice law suspended by the Nebraska Supreme Court, provided that at least thirty (30) days prior to such suspension, the Director shall provide notice of noncompliance to the attorney by restricted certified mail, return receipt requested, addressed to the attorney at his or her last known address. The attorney shall be given forty-five (45) days to file with the Director an affidavit disclosing facts demonstrating the noncompliance was not willful and tendering such information, documents, sums, and penalties which, if accepted, would cure the delinquency.

   (B) If compliance does not occur within forty-five (45) days as stated in § 3-401.11(A), a statement of noncompliance shall be filed by the Director with the commission. The commission shall enter an order to show cause why the attorney should not be suspended from the practice of law for failure to comply with these rules. A hearing may be requested by the attorney as set forth in § 3-402.3.

   (C) If the commission finds that cause was not shown, a recommendation of suspension from the practice of law for failure to comply with these rules shall be made to the Nebraska Supreme Court by submission of the same to the Office of the Clerk of the Nebraska Supreme Court.

   (D) The Nebraska Supreme Court shall enter an order to show cause why such attorney should not be suspended from the practice of law as an active member of the Nebraska State Bar Association. The Nebraska Supreme Court shall, after hearing thereon if requested, enter such an order as it may deem appropriate. If an order of suspension shall be entered, such attorney shall not practice law until restored to active status as set forth below.

§ 3-401.12. Reinstatement for inactive or suspended attorneys.

   (A) Attorneys on inactive status as defined by § 3-401.2(F) as of December 31 of any year who apply for reinstatement to active status during the subsequent calendar year shall be required to complete ten (10) hours of approved CLE in the twelve (12) months immediately preceding the application as a condition of reinstatement. Such hours of credit required shall include two (2) hours of professional responsibility education as defined by § 3-401.2(J) and shall be subject to the limitations based on class type as defined by § 3-401.8. Only those credits earned in the calendar year of reinstatement exceeding the ten (10) hours of credit required for reinstatement shall be counted toward the credit requirement for the year of reinstatement to active status.

   (B) Attorneys suspended from the practice of law, prior to reinstatement to the practice of law in Nebraska, shall submit to the Nebraska Supreme Court a written request for reinstatement, together with a written statement from the Director which evidences the payment of any penalties as established by the these rules and the making up of any deficiency in the CLE requirements incurred prior to suspension or, if applicable, during the suspension.

§ 3-401.12(A) amended April 21, 2011; § 3-401.12(A) and (B) amended December 12, 2012; § 3-401.12(C) deleted December 12, 2012.

§ 3-401.13. Extension of time; waivers.

   (A) If, due to disability, hardship, or extenuating circumstances, an attorney is unable to complete the hours of accredited CLE during the preceding reporting period as required by § 3-401.4, the attorney may apply to the Director for an extension of time in which to complete the hours. Such request for extension of time shall be filed with the Director by December 1 of the end of the annual reporting period. No extension of time to complete CLE shall be granted unless written application for the extension is made in the manner prescribed by the Nebraska Supreme Court. An extension of time shall not exceed a period of six (6) months immediately following the last day of the year in which the requirements were not met.

   (B) If, due to disability, hardship, or extenuating circumstances, an attorney is unable to meet the minimum required hours for CLE during the annual reporting period as required by § 3-401.4, the attorney may apply to the Director for a waiver of the minimum education requirements.  Such request for waiver shall be filed with the Director by December 1 of the end of the annual reporting period. No waiver shall be granted unless written application for the waiver is made in the manner prescribed by the Nebraska Supreme Court. A waiver of the minimum educational requirements shall not exceed one (1) year or ten (10) credit hours. After one (1) year, the attorney may reapply for an extension of the waiver if such disability, hardship, or extenuating circumstances still exist.

   (C) The press of business shall not be considered a disability, hardship, or extenuating circumstance.

§ 3-401.14. Confidentiality.

   Unless otherwise directed by the Nebraska Supreme Court, the files, records, and proceedings of the Director and the commission, as they relate to the requirements of this article, shall be deemed confidential and shall not be disclosed, except in furtherance of the Director’s or commission’s duties or upon the request of the attorney affected, or as they may be introduced in evidence or otherwise produced in proceedings taken in accordance with these rules or as the records may relate to U.S. Postal mailing lists used exclusively to provide information on CLE programs to attorneys licensed in the State of Nebraska.

§ 3-401.15. Financing; purpose.

   Funds collected pursuant to §§ 3-401.6 through 3-401.11 of these rules shall be used by the Director for the purpose of management and oversight of CLE as required by the Nebraska Supreme Court under its constitutional and inherent authority.

Section 2: Nebraska Supreme Court Continuing Legal Education Commission Rules

§ 3-402.1. Authority of commission.

   The commission shall have the authority to:

   (A) Grant and hold hearings, upon request, regarding the issues set forth in §§ 3-402.2 and 3‑402.3.

   (B) Propose amendments to this article, § 3-401.1 et seq.

   (C) Issue orders to show cause relating to attorney noncompliance under § 3-401.11.

   (D) Determine issues of noncompliance and recommend suspension from the practice of law to the Nebraska Supreme Court.

   (E) In addition to the authority granted above, the commission shall perform any other duties as directed by the Nebraska Supreme Court.

§ 3-402.2. Review hearings before commission.

   (A) If so requested, the commission shall grant a review hearing on the following issues relating to § 3‑401.1 et seq.:

   (1) The Director’s denial of accredited CLE Sponsor status to a person or organization pursuant to § 3‑401.6.

   (2) The Director’s denial of individual course approval to a person, organization, or attorney as set forth in § 3-401.7.

   (3) The Director’s denial of an attorney’s request for credit for activities other than attending accredited or approved courses as set forth in § 3-401.8.

   (4) The Director’s denial of an attorney’s request pursuant to § 3-401.10(D) to obtain an extension of time to file the written reports required by § 3-401.10.

   (5) The Director’s denial of an attorney’s application pursuant to § 3-401.13 to obtain an extension of time to complete or obtain a waiver of the minimum educational requirements as set forth in these rules.

   (B) Upon granting a review hearing, the commission shall serve notice of the time and place of the hearing on the parties by certified mail, return receipt requested, at the last known address of the party requesting such hearing.

   (C) The hearing shall be held upon not less than twenty (20) days' notice nor later than thirty (30) days after granting such request for hearing.

   (D) The parties shall be permitted to be represented by counsel, shall be permitted to examine and cross-examine witnesses, and may file with the commission any statement, answer, affidavit, document, exhibit, or any such other evidence as may be relevant to the issue at hand.

   (E) The commission shall have the right to receive any type of evidence it deems relevant and material. The hearing need not be conducted in accordance with the Nebraska Evidence Rules.

   (F) At the conclusion of the hearing, the commission shall make written findings of fact and conclusions of law and order appropriate corrective action. A copy of the findings, conclusions, and order shall be sent to all parties to the hearing.

   (G) A minimum of four (4) appointed commission members and the Nebraska Supreme Court Justice commission member must be present at any hearing.

   (H) A majority vote of the commission members in attendance at the hearing is required in order to grant or deny relief. The Nebraska Supreme Court Justice commission member shall vote only in the event of a tie.

§ 3-402.3. Hearings before commission pursuant to § 3-401.11(B).

   (A) When the commission has issued an order to show cause pursuant to § 3-401.11(B) based on a finding by the Director of noncompliance with these rules, an attorney may request and shall be entitled to a hearing before the commission.

   (B) Upon request for such hearing, the commission shall serve notice of the time and place of the hearing on the parties by certified mail, return receipt requested, at the last known address of the party requesting such hearing.

   (C) The hearing shall be held upon not less than twenty (20) days' notice nor later than thirty (30) days after the request for hearing.

   (D) The parties shall be permitted to be represented by counsel, shall be permitted to examine and cross-examine witnesses, and may file with the commission any statement, answer, affidavit, document, exhibit, or any such other evidence as may be relevant to the issue of noncompliance.

   (E) The commission shall have the right to receive any type of evidence it deems relevant and material. The hearing need not be conducted in accordance with the Nebraska Evidence Rules.

   (F) At the conclusion of the hearing, the commission shall make written findings of fact and conclusions of law and a determination of whether or not cause has been shown. A copy of the findings, conclusions, and order shall be sent to all parties to the hearing.

   (G) A minimum of four appointed commission members and the Nebraska Supreme Court Justice commission member must be present at any hearing.

   (H) If the commission determines that cause was not shown, a recommendation of suspension from the practice of law for failure to comply with these rules shall be made to the Nebraska Supreme Court.

   (I) A majority vote of the commission members in attendance at the hearing is required in order to grant or deny relief. The Nebraska Supreme Court Justice commission member shall vote only in the event of a tie.

Adopted November 26, 2008.

Article 5: Nebraska Rules of Professional Conduct.

(cite as Neb. Ct. R. of Prof. Cond. §)

(Adopted June 8, 2005, effective September 1, 2005. Renumbered and codified as §§ 3-501.0 to 3-508.5, effective July 18, 2008.)

Revisor’s note.

   The Nebraska Rules of Professional Conduct are placed in the Nebraska Court Rules at Chapter 3, Attorneys and the Practice of Law, Article 5, Nebraska Rules of Professional Conduct. Section numbers have replaced the Chapter and Article numbers, but retain the 1.0 through 8.5 numbering system used in the original rule. Rule 1.0 thus becomes Neb. Ct. R. of Prof. Cond. § 3-501.0, and Rule 8.5 thus becomes § 3‑508.5. References within the rule remain unchanged so, for example, the reader may interpret a reference to Rule 2.3 and find it at Neb. Ct. R. of Prof. Cond. § 3-502.3. Main divisions and subdivisions in the original rule remain as before.

Preamble: A lawyer’s responsibilities.

   [1] A lawyer, as a member of the legal profession, is a representative of clients, an officer of the legal system and a public citizen having special responsibility for the quality of justice.

   [2] As a representative of clients, a lawyer performs various functions. As advisor, a lawyer provides a client with an informed understanding of the client's legal rights and obligations and explains their practical implications. As advocate, a lawyer zealously asserts the client's position under the rules of the adversary system. As negotiator, a lawyer seeks a result advantageous to the client but consistent with requirements of honest dealings with others. As an evaluator, a lawyer acts by examining a client's legal affairs and reporting about them to the client or to others.

   [3] In addition to these representational functions, a lawyer may serve as a third-party neutral, a nonrepresentational role helping the parties to resolve a dispute or other matter. Some of these Rules apply directly to lawyers who are or have served as third-party neutrals. See, e.g., Rules 1.12 and 2.3. In addition, there are Rules that apply to lawyers who are not active in the practice of law or to practicing lawyers even when they are acting in a nonprofessional capacity. For example, a lawyer who commits fraud in the conduct of a business is subject to discipline for engaging in conduct involving dishonesty, fraud, deceit or misrepresentation. See Rule 8.4.

   [4] In all professional functions a lawyer should be competent, prompt and diligent. A lawyer should maintain communication with a client concerning the representation. A lawyer should keep in confidence information relating to representation of a client except so far as disclosure is required or permitted by the Rules of Professional Conduct or other law.

   [5] A lawyer's conduct should conform to the requirements of the law, both in professional service to clients and in the lawyer's business and personal affairs. A lawyer should use the law's procedures only for legitimate purposes and not to harass or intimidate others. A lawyer should demonstrate respect for the legal system and for those who serve it, including judges, other lawyers and public officials. While it is a lawyer's duty, when necessary, to challenge the rectitude of official action, it is also a lawyer's duty to uphold legal process.

   [6] As a public citizen, a lawyer should seek improvement of the law, access to the legal system, the administration of justice and the quality of service rendered by the legal profession. As a member of a learned profession, a lawyer should cultivate knowledge of the law beyond its use for clients, employ that knowledge in reform of the law and work to strengthen legal education. In addition, a lawyer should further the public's understanding of and confidence in the rule of law and the justice system because legal institutions in a constitutional democracy depend on popular participation and support to maintain their authority. A lawyer should be mindful of deficiencies in the administration of justice and of the fact that the poor, and sometimes persons who are not poor, cannot afford adequate legal assistance. Therefore, all lawyers should devote professional time and resources and use civic influence to ensure equal access to our system of justice for all those who because of economic or social barriers cannot afford or secure adequate legal counsel. A lawyer should aid the legal profession in pursuing these objectives and should help the bar regulate itself in the public interest.

   [7] Many of a lawyer's professional responsibilities are prescribed in the Rules of Professional Conduct as well as substantive and procedural law. However, a lawyer is also guided by personal conscience and the approbation of professional peers. A lawyer should strive to attain the highest level of skill, to improve the law and the legal profession and to exemplify the legal profession's ideals of public service.

   [8] A lawyer’s responsibilities as a representative of clients, an officer of the legal system and a public citizen are usually harmonious. Thus, when an opposing party is well represented, a lawyer can be a zealous advocate on behalf of a client and at the same time assume that justice is being done. So also, a lawyer can be sure that preserving client confidences ordinarily serves the public interest because people are more likely to seek legal advice, and thereby heed their legal obligations, when they know their communications will be private.

   [9] In the nature of law practice, however, conflicting responsibilities are encountered. Virtually all difficult ethical problems arise from conflict between a lawyer's responsibilities to clients, to the legal system and to the lawyer's own interest in remaining an ethical person while earning a satisfactory living. The Rules of Professional Conduct often prescribe terms for resolving such conflicts. Within the framework of these Rules, however, many difficult issues of professional discretion can arise. Such issues must be resolved through the exercise of sensitive professional and moral judgment guided by the basic principles underlying the Rules. These principles include the lawyer's obligation zealously to protect and pursue a client's legitimate interests, within the bounds of the law, while maintaining a professional, courteous and civil attitude toward all persons involved in the legal system.

   [10] The legal profession is largely self-governing. Although other professions also have been granted powers of self-government, the legal profession is unique in this respect because of the close relationship between the profession and the processes of government and law enforcement. This connection is manifested in the fact that ultimate authority over the legal profession is vested largely in the courts.

   [11] To the extent that lawyers meet the obligations of their professional calling, the occasion for government regulation is obviated. Self-regulation also helps maintain the legal profession's independence from government domination. An independent legal profession is an important force in preserving government under law, for abuse of legal authority is more readily challenged by a profession whose members are not dependent on government for the right to practice.

   [12] The legal profession's relative autonomy carries with it special responsibilities of self-government. The profession has a responsibility to assure that its regulations are conceived in the public interest and not in furtherance of parochial or self-interested concerns of the bar. Every lawyer is responsible for observance of the Rules of Professional Conduct. A lawyer should also aid in securing their observance by other lawyers. Neglect of these responsibilities compromises the independence of the profession and the public interest which it serves.

   [13] Lawyers play a vital role in the preservation of society. The fulfillment of this role requires an understanding by lawyers of their relationship to our legal system. The Rules of Professional Conduct when properly applied, serve to define that relationship.

Scope.

   [14] The Rules of Professional Conduct are rules of reason. They should be interpreted with reference to the purposes of legal representation and of the law itself. Some of the Rules are imperatives, cast in the terms "shall" or "shall not." These define proper conduct for purposes of professional discipline. Others, generally cast in the term "may," are permissive and define areas under the Rules in which the lawyer has discretion to exercise professional judgment. No disciplinary action should be taken when the lawyer chooses not to act or acts within the bounds of such discretion. Other Rules define the nature of relationships between the lawyer and others. The Rules are thus partly obligatory and disciplinary and partly constitutive and descriptive in that they define a lawyer's professional role. Many of the Comments use the term "should." Comments do not add obligations to the Rules but provide guidance for practicing in compliance with the Rules.

   [15] The Rules presuppose a larger legal context shaping the lawyer's role. That context includes court rules and statutes relating to matters of licensure, laws defining specific obligations of lawyers and substantive and procedural law in general. The Comments are sometimes used to alert lawyers to their responsibilities under such other law.

   [16] Compliance with the Rules, as with all law in an open society, depends primarily upon understanding and voluntary compliance, secondarily upon reinforcement by peer and public opinion and finally, when necessary, upon enforcement through disciplinary proceedings. The Rules do not, however, exhaust the moral and ethical considerations that should inform a lawyer, for no worthwhile human activity can be completely defined by legal rules. The Rules simply provide a framework for the ethical practice of law.

   [17] Furthermore, for purposes of determining the lawyer's authority and responsibility, principles of substantive law external to these Rules determine whether a client-lawyer relationship exists. Most of the duties flowing from the client-lawyer relationship attach only after the client has requested the lawyer to render legal services and the lawyer has agreed to do so. But there are some duties, such as that of confidentiality under Rule 1.6, that attach when the lawyer agrees to consider whether a client-lawyer relationship shall be established. See Rule 1.18. Whether a client-lawyer relationship exists for any specific purpose can depend on the circumstances and may be a question of fact.

   [18] Under various legal provisions, including constitutional, statutory and common law, the responsibilities of government lawyers may include authority concerning legal matters that ordinarily reposes in the client in private client-lawyer relationships. For example, a lawyer for a government agency may have authority on behalf of the government to decide upon settlement or whether to appeal from an adverse judgment. Such authority in various respects is generally vested in the attorney general and the state's attorney in state government, and their federal counterparts, and the same may be true of other government law officers. Also, lawyers under the supervision of these officers may be authorized to represent several government agencies in intragovernmental legal controversies in circumstances where a private lawyer could not represent multiple private clients. These Rules do not abrogate any such authority.

   [19] Failure to comply with an obligation or prohibition imposed by a Rule is a basis for invoking the disciplinary process. The Rules presuppose that disciplinary assessment of a lawyer's conduct will be made on the basis of the facts and circumstances as they existed at the time of the conduct in question and in recognition of the fact that a lawyer often has to act upon uncertain or incomplete evidence of the situation. Moreover, the Rules presuppose that whether or not discipline should be imposed for a violation, and the severity of a sanction, depend on all the circumstances, such as the willfulness and seriousness of the violation, extenuating factors and whether there have been previous violations.

   [20] Violation of a Rule should not itself give rise to a cause of action against a lawyer nor should it create any presumption in such a case that a legal duty has been breached. In addition, violation of a Rule does not necessarily warrant any other nondisciplinary remedy, such as disqualification of a lawyer in pending litigation. The Rules are designed to provide guidance to lawyers and to provide a structure for regulating conduct through disciplinary agencies. They are not designed to be a basis for civil liability. Furthermore, the purpose of the Rules can be subverted when they are invoked by opposing parties as procedural weapons. The fact that a Rule is a just basis for a lawyer's self-assessment, or for sanctioning a lawyer under the administration of a disciplinary authority, does not imply that an antagonist in a collateral proceeding or transaction has standing to seek enforcement of the Rule. Nevertheless, since the Rules do establish standards of conduct by lawyers, a lawyer's violation of a Rule may be evidence of breach of the applicable standard of conduct.

   [21] The Comment accompanying each Rule explains and illustrates the meaning and purpose of the Rule. The Preamble and this note on Scope provide general orientation. The Comments are intended as guides to interpretation, but the text of each Rule is authoritative.

   [22] A lawyer's representation of a client, including representation by appointment, does not constitute an endorsement of the client's political, economic, social or moral views or activities.

§ 3-501.0. Terminology.

   (a) "Belief" or "believes" denotes that the person involved actually supposed the fact in question to be true. A person's belief may be inferred from circumstances.

   (b) "Confirmed in writing," when used in reference to the informed consent of a person, denotes informed consent that is given in writing by the person or a writing that a lawyer promptly transmits to the person confirming an oral informed consent. See paragraph (e) for the definition of "informed consent." If it is not feasible to obtain or transmit the writing at the time the person gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter.

   (c) "Firm" or "law firm" denotes a lawyer or lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization.

   (d) "Fraud" or "fraudulent" denotes conduct that is fraudulent under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive.

   (e) "Informed consent" denotes the agreement by a person to a proposed course of conduct after the lawyer has communicated adequate information and explanation about the material risks of and reasonably available alternatives to the proposed course of conduct.

   (f) "Knowingly," "known" or "knows" denotes actual knowledge of the fact in question. A person's knowledge may be inferred from circumstances.

   (g) "Partner" denotes a member of a partnership, a shareholder in a law firm organized as a professional corporation or a member of an association authorized to practice law.
   (h) "Reasonable" or "reasonably" when used in relation to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer.

   (i) "Reasonable belief" or "reasonably believes" when used in reference to a lawyer denotes that the lawyer believes the matter in question and that the circumstances are such that the belief is reasonable.

   (j) "Reasonably should know" when used in reference to a lawyer denotes that a lawyer of reasonable prudence and competence would ascertain the matter in question.

   (k) "Screened" denotes the isolation of a lawyer or support person from any participation in a matter through the timely imposition of procedures within a firm that are reasonably adequate under the circumstances to protect information that the isolated lawyer or support person is obligated to protect under these Rules or other law.

   (l) "Substantial" when used in reference to degree or extent denotes a material matter of clear and weighty importance.

   (m) "Tribunal" denotes a court, an arbitrator in a binding arbitration proceeding or a legislative body, administrative agency or other body acting in an adjudicative capacity. A legislative body, administrative agency or other body acts in an adjudicative capacity when a neutral official, after the presentation of evidence or legal argument by a party or parties, will render a binding legal judgment directly affecting a party's interests in a particular matter.

   (n) "Writing" or "written" denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photostating, photography, audio or videorecording and e-mail. A "signed" writing includes an electronic sound, symbol or process attached to or logically associated with a writing and executed or adopted by a person with the intent to sign the writing.

COMMENT

 

Confirmed in Writing

   [1] If it is not feasible to obtain or transmit a written confirmation at the time the client gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. If a lawyer has obtained a client's informed consent, the lawyer may act in reliance on that consent so long as it is confirmed in writing within a reasonable time thereafter.

 

Firm

   [2] Whether two or more lawyers constitute a firm within paragraph (c) can depend on the specific facts. For example, two practitioners who share office space and occasionally consult or assist each other ordinarily would not be regarded as constituting a firm. However, if they present themselves to the public in a way that suggests that they are a firm or conduct themselves as a firm, they should be regarded as a firm for purposes of the Rules. The terms of any formal agreement between associated lawyers are relevant in determining whether they are a firm, as is the fact that they have mutual access to information concerning the clients they serve. Furthermore, it is relevant in doubtful cases to consider the underlying purpose of the Rule that is involved. A group of lawyers could be regarded as a firm for purposes of the Rule that the same lawyer should not represent opposing parties in litigation, while it might not be so regarded for purposes of the Rule that information acquired by one lawyer is attributed to another.

 

   [3] With respect to the law department of an organization, including the government, there is ordinarily no question that the members of the department constitute a firm within the meaning of the Rules of Professional Conduct. There can be uncertainty, however, as to the identity of the client. For example, it may not be clear whether the law department of a corporation represents a subsidiary or an affiliated corporation, as well as the corporation by which the members of the department are directly employed. A similar question can arise concerning an unincorporated association and its local affiliates.

 

   [4] Similar questions can also arise with respect to lawyers in legal aid and legal services organizations. Depending upon the structure of the organization, the entire organization or different components of it may constitute a firm or firms for purposes of these Rules.

 

Fraud

   [5] When used in these Rules, the terms "fraud" or "fraudulent" refer to conduct that is characterized as such under the substantive or procedural law of the applicable jurisdiction and has a purpose to deceive. This does not include merely negligent misrepresentation or negligent failure to apprise another of relevant information. For purposes of these Rules, it is not necessary that anyone has suffered damages or relied on the misrepresentation or failure to inform.

 

Informed Consent

   [6] Many of the Rules of Professional Conduct require the lawyer to obtain the informed consent of a client or other person (e.g., a former client or, under certain circumstances, a prospective client) before accepting or continuing representation or pursuing a course of conduct. See, e.g., Rules 1.2(b), 1.6(a) and 1.7(b). The communication necessary to obtain such consent will vary according to the Rule involved and the circumstances giving rise to the need to obtain informed consent. The lawyer must make reasonable efforts to ensure that the client or other person possesses information reasonably adequate to make an informed decision. Ordinarily, this will require communication that includes a disclosure of the facts and circumstances giving rise to the situation, any explanation reasonably necessary to inform the client or other person of the material advantages and disadvantages of the proposed course of conduct and a discussion of the client's or other person's options and alternatives. In some circumstances it may be appropriate for a lawyer to advise a client or other person to seek the advice of other counsel. A lawyer need not inform a client or other person of facts or implications already known to the client or other person; nevertheless, a lawyer who does not personally inform the client or other person assumes the risk that the client or other person is inadequately informed and the consent is invalid. In determining whether the information and explanation provided are reasonably adequate, relevant factors include whether the client or other person is experienced in legal matters generally and in making decisions of the type involved, and whether the client or other person is independently represented by other counsel in giving the consent. Normally, such persons need less information and explanation than others, and generally a client or other person who is independently represented by other counsel in giving the consent should be assumed to have given informed consent.

 

   [7] Obtaining informed consent will usually require an affirmative response by the client or other person. In general, a lawyer may not assume consent from a client's or other person's silence. Consent may be inferred, however, from the conduct of a client or other person who has reasonably adequate information about the matter. A number of Rules require that a person's consent be confirmed in writing. See Rules 1.7(b) and 1.9(a). For a definition of "writing" and "confirmed in writing," see paragraphs (n) and (b). Other Rules require that a client's consent be obtained in a writing signed by the client. See, e.g., Rules 1.8(a) and (g). For a definition of "signed," see paragraph (n).

 

Screened

   [8] This definition applies to situations where screening of a personally disqualified lawyer is permitted to remove imputation of a conflict of interest under Rules 1.11, 1.12 or 1.18. The definition, as well as Comments [9] and [10] to this rule, also generally apply to the screening of support persons pursuant to Rule 1.9(e)(2).

 

   [9] The purpose of screening is to assure the affected parties that confidential information known by the personally disqualified lawyer remains protected. The personally disqualified lawyer should acknowledge the obligation not to communicate with any of the other lawyers in the firm with respect to the matter. Similarly, other lawyers in the firm who are working on the matter should be informed that the screening is in place and that they may not communicate with the personally disqualified lawyer with respect to the matter. Additional screening measures that are appropriate for the particular matter will depend on the circumstances. To implement, reinforce and remind all affected lawyers of the presence of the screening, it may be appropriate for the firm to undertake such procedures as a written undertaking by the screened lawyer to avoid any communication with other firm personnel and any contact with any firm files or other materials relating to the matter, written notice and instructions to all other firm personnel forbidding any communication with the screened lawyer relating to the matter, denial of access by the screened lawyer to firm files or other materials relating to the matter and periodic reminders of the screen to the screened lawyer and all other firm personnel.

 

   [10] In order to be effective, screening measures must be implemented as soon as practical after a lawyer or law firm knows or reasonably should know that there is a need for screening.

 

§§ 3-501.1 to 3-501.18: Client-Lawyer Relationship

§ 3-501.1. Competence.

   A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness, preparation and judgment reasonably necessary for the representation.

COMMENT

 

Legal Knowledge and Skill

   [1] In determining whether a lawyer employs the requisite knowledge and skill in a particular matter, relevant factors include the relative complexity and specialized nature of the matter, the lawyer's general experience, the lawyer's training and experience in the field in question, the preparation and study the lawyer is able to give the matter and whether it is feasible to refer the matter to, or associate or consult with, a lawyer of established competence in the field in question. In many instances, the required proficiency is that of a general practitioner. Expertise in a particular field of law may be required in some circumstances.

 

   [2] A lawyer need not necessarily have special training or prior experience to handle legal problems of a type with which the lawyer is unfamiliar. A newly admitted lawyer can be as competent as a practitioner with long experience. Some important legal skills, such as the analysis of precedent, the evaluation of evidence and legal drafting, are required in all legal problems. Perhaps the most fundamental legal skill consists of determining what kind of legal problems a situation may involve, a skill that necessarily transcends any particular specialized knowledge. A lawyer can provide adequate representation in a wholly novel field through necessary study. Competent representation can also be provided through the association of a lawyer of established competence in the field in question.

 

   [3] In an emergency, a lawyer may give advice or assistance in a matter in which the lawyer does not have the skill ordinarily required where referral to or consultation or association with another lawyer would be impractical. Even in an emergency, however, assistance should be limited to that reasonably necessary in the circumstances, for ill-considered action under emergency conditions can jeopardize the client's interest.

 

   [4] A lawyer may accept representation where the requisite level of competence can be achieved by reasonable preparation. This applies as well to a lawyer who is appointed as counsel for an unrepresented person. See also Rule 6.2.

 

Thoroughness and Preparation

   [5] Competent handling of a particular matter includes inquiry into and analysis of the factual and legal elements of the problem, and use of methods and procedures meeting the standards of competent practitioners. It also includes adequate preparation. The required attention and preparation are determined in part by what is at stake; major litigation and complex transactions ordinarily require more extensive treatment than matters of lesser complexity and consequence. An agreement between the lawyer and the client regarding the scope of the representation may limit the matters for which the lawyer is responsible. See Rule 1.2(b).

 

Maintaining Competence

    [6] To maintain the requisite knowledge and skill, a lawyer should keep abreast of changes in the law and its practice, engage in continuing study and education and comply with all continuing legal education requirements to which the lawyer is subject.

 

§ 3-501.2. Scope of representation and allocation of authority between client and lawyer.

   (a) Subject to paragraphs (b), (c), (d), (e), and (f), a lawyer shall abide by a client's decisions concerning the objectives of representation and, as required by Rule 1.4, shall consult with the client as to the means by which they are to be pursued. A lawyer may take such action on behalf of the client as is impliedly authorized to carry out the representation. A lawyer shall abide by a client's decision whether to settle a matter. In a criminal case, the lawyer shall abide by the client's decision, after consultation with the lawyer, as to a plea to be entered, whether to waive jury trial and whether the client will testify.

   (b) A lawyer may limit the scope of his or her representation of a client if the limitation is reasonable in the lawyer’s judgment under the circumstances and the client gives informed consent to such limited representation.

   (c) A lawyer may prepare pleadings, briefs, and other documents to be filed with the court so long as such filings clearly indicate thereon that said filings are “Prepared By” and the name, business address, and bar number of the lawyer preparing the same. Such actions by the lawyer shall not be deemed an appearance by the lawyer in the case. Any filing prepared under this rule shall be signed by the litigant designated as "pro se," but shall not be signed by the lawyer preparing the filing.

   (d) If, after consultation, the client consents in writing, a lawyer may enter a “Limited Appearance” on behalf of an otherwise unrepresented party involved in a court proceeding, and such appearance shall clearly define the scope of the lawyer’s limited representation.

   (e) Upon completion of the “Limited Representation,” the lawyer shall within 10 days file a “Certificate of Completion of Limited Representation” with the court. Copies shall be provided to the client and opposing counsel or opposing party if unrepresented. After such filing, the lawyer shall not have any continuing obligation to represent the client. The filing of such certificate shall be deemed to be the lawyer’s withdrawal of appearance which shall not require court approval.

   (f) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any proposed course of conduct with a client and may counsel or assist a client to make a good faith effort to determine the validity, scope, meaning or application of the law.

§ 3-501.2(a) through (f) amended August 28, 2008; § 3-501.2(c) amended October 21, 2008.

COMMENT

 

Allocation of Authority Between Client and Lawyer

   [1] Paragraph (a) confers upon the client the ultimate authority to determine the purposes to be served by legal representation, within the limits imposed by law and the lawyer's professional obligations. The decisions specified in paragraph (a), such as whether to settle a civil matter, must also be made by the client. See Rule 1.4(a)(1) for the lawyer's duty to communicate with the client about such decisions. With respect to the means by which the client's objectives are to be pursued, the lawyer shall consult with the client as required by Rule 1.4(a)(2) and may take such action as is impliedly authorized to carry out the representation.

 

   [2] On occasion, however, a lawyer and a client may disagree about the means to be used to accomplish the client's objectives. Clients normally defer to the special knowledge and skill of their lawyer with respect to the means to be used to accomplish their objectives, particularly with respect to technical, legal and tactical matters. Conversely, lawyers usually defer to the client regarding such questions as the expense to be incurred and concern for third persons who might be adversely affected. Because of the varied nature of the matters about which a lawyer and client might disagree and because the actions in question may implicate the interests of a tribunal or other persons, this Rule does not prescribe how such disagreements are to be resolved. Other law, however, may be applicable and should be consulted by the lawyer. The lawyer should also consult with the client and seek a mutually acceptable resolution of the disagreement. If such efforts are unavailing and the lawyer has a fundamental disagreement with the client, the lawyer may withdraw from the representation. See Rule 1.16(b)(4). Conversely, the client may resolve the disagreement by discharging the lawyer. See Rule 1.16(a)(3).

 

   [3] At the outset of a representation, the client may authorize the lawyer to take specific action on the client's behalf without further consultation. Absent a material change in circumstances and subject to Rule 1.4, a lawyer may rely on such an advance authorization. The client may, however, revoke such authority at any time.

 

   [4] In a case in which the client appears to be suffering diminished capacity, the lawyer's duty to abide by the client's decisions is to be guided by reference to Rule 1.14.

 

Agreements Limiting Scope of Representation

   [5] The scope of services to be provided by a lawyer may be limited by agreement with the client or by the terms under which the lawyer's services are made available to the client. When a lawyer has been retained by an insurer to represent an insured, for example, the representation may be limited to matters related to the insurance coverage. A limited representation may be appropriate because the client has limited objectives for the representation. In addition, the terms upon which representation is undertaken may exclude specific means that might otherwise be used to accomplish the client's objectives. Such limitations may exclude actions that the client thinks are too costly or that the lawyer regards as repugnant or imprudent.

 

   [6] Although this Rule affords the lawyer and client substantial latitude to limit the representation, the limitation must be reasonable under the circumstances. If, for example, a client's objective is limited to securing general information about the law the client needs in order to handle a common and typically uncomplicated legal problem, the lawyer and client may agree that the lawyer's services will be limited to a brief telephone consultation. Such a limitation, however, would not be reasonable if the time allotted was not sufficient to yield advice upon which the client could rely. Although an agreement for a limited representation does not exempt a lawyer from the duty to provide competent representation, the limitation is a factor to be considered when determining the legal knowledge, skill, thoroughness and preparation reasonably necessary for the representation. See Rule 1.1.

 

   [7] All agreements concerning a lawyer's representation of a client must accord with the Rules of Professional Conduct and other law. See, e.g., Rules 1.1, 1.8 and 5.6.

 

Criminal, Fraudulent and Prohibited Transactions

   [8] Paragraph (c) prohibits a lawyer from knowingly counseling or assisting a client to commit a crime or fraud. This prohibition, however, does not preclude the lawyer from giving an honest opinion about the actual consequences that appear likely to result from a client's conduct. Nor does the fact that a client uses advice in a course of action that is criminal or fraudulent of itself make a lawyer a party to the course of action. There is a critical distinction between presenting an analysis of legal aspects of questionable conduct and recommending the means by which a crime or fraud might be committed with impunity.

 

   [9] When the client's course of action has already begun and is continuing, the lawyer's responsibility is especially delicate. The lawyer is required to avoid assisting the client, for example, by drafting or delivering documents that the lawyer knows are fraudulent or by suggesting how the wrongdoing might be concealed. A lawyer may not continue assisting a client in conduct that the lawyer originally supposed was legally proper but then discovers is criminal or fraudulent. The lawyer must, therefore, withdraw from the representation of the client in the matter. See Rule 1.16(a). In some cases, withdrawal alone might be insufficient. It may be necessary for the lawyer to give notice of the fact of withdrawal and to disaffirm any opinion, document, affirmation or the like. See Rule 4.1.

 

   [10] Where the client is a fiduciary, the lawyer may be charged with special obligations in dealings with a beneficiary.

 

   [11] Paragraph (c) applies whether or not the defrauded party is a party to the transaction. Hence, a lawyer must not participate in a transaction to effectuate criminal or fraudulent avoidance of tax liability. Paragraph (c) does not preclude undertaking a criminal defense incident to a general retainer for legal services to a lawful enterprise. The last clause of paragraph (c) recognizes that determining the validity or interpretation of a statute or regulation may require a course of action involving disobedience of the statute or regulation or of the interpretation placed upon it by governmental authorities.

 

   [12] If a lawyer comes to know or reasonably should know that a client expects assistance not permitted by the Rules of Professional Conduct or other law or if the lawyer intends to act contrary to the client's instructions, the lawyer must consult with the client regarding the limitations on the lawyer's conduct. See Rule 1.4(a)(5).

 

§ 3-501.3. Diligence.

   A lawyer shall act with reasonable diligence and promptness in representing a client.

COMMENT

 

   [1] A lawyer should pursue a matter on behalf of a client despite opposition, obstruction or personal inconvenience to the lawyer, and take whatever lawful and ethical measures are required to vindicate a client's cause or endeavor. A lawyer must also act with commitment and dedication to the interests of the client and with zeal in advocacy upon the client's behalf. A lawyer is not bound, however, to press for every advantage that might be realized for a client. For example, a lawyer may have authority to exercise professional discretion in determining the means by which a matter should be pursued. See Rule 1.2. The lawyer's duty to act with reasonable diligence does not require the use of offensive tactics or preclude the treating of all persons involved in the legal process with courtesy and respect.

 

   [2] A lawyer's work load must be controlled so that each matter can be handled competently.

 

   [3] Perhaps no professional shortcoming is more widely resented than procrastination. A client's interests often can be adversely affected by the passage of time or the change of conditions; in extreme instances, as when a lawyer overlooks a statute of limitations, the client's legal position may be destroyed. Even when the client's interests are not affected in substance, however, unreasonable delay can cause a client needless anxiety and undermine confidence in the lawyer's trustworthiness. A lawyer's duty to act with reasonable promptness, however, does not preclude the lawyer from agreeing to a reasonable request for a postponement that will not prejudice the lawyer's client.

 

   [4] Unless the relationship is terminated as provided in Rule 1.16, a lawyer should carry through to conclusion all matters undertaken for a client. If a lawyer's employment is limited to a specific matter, the relationship terminates when the matter has been resolved. If a lawyer has served a client over a substantial period in a variety of matters, the client sometimes may assume that the lawyer will continue to serve on a continuing basis unless the lawyer gives notice of withdrawal. Doubt about whether a client-lawyer relationship still exists should be clarified by the lawyer, preferably in writing, so that the client will not mistakenly suppose the lawyer is looking after the client's affairs when the lawyer has ceased to do so. For example, if a lawyer has handled a judicial or administrative proceeding that produced a result adverse to the client and the lawyer and the client have not agreed that the lawyer will handle the matter on appeal, the lawyer must consult with the client about the possibility of appeal before relinquishing responsibility for the matter. See Rule 1.4(a)(2). Whether the lawyer is obligated to prosecute the appeal for the client depends on the scope of the representation the lawyer has agreed to provide to the client. See Rule 1.2.

 

   [5] To prevent neglect of client matters in the event of a sole practitioner's death or disability, the duty of diligence may require that each sole practitioner prepare a plan, in conformity with applicable rules, that designates another competent lawyer to review client files, notify each client of the lawyer's death or disability, and determine whether there is a need for immediate protective action. Cf. Rule 28 of the American Bar Association Model Rules for Lawyer Disciplinary Enforcement (providing for court appointment of a lawyer to inventory files and take other protective action in absence of a plan providing for another lawyer to protect the interests of the clients of a deceased or disabled lawyer).

 

§ 3-501.4. Communications.

   (a) A lawyer shall:

   (1) promptly inform the client of any decision or circumstance with respect to which the client's informed consent, as defined in Rule 1.0(e), 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) promptly comply with reasonable requests for information; and

   (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 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.

COMMENT

 

   [1] Reasonable communication between the lawyer and the client is necessary for the client effectively to participate in the representation.

 

Communicating With Client

   [2] If these Rules require that a particular decision about the representation be made by the client, paragraph (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] Paragraph (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, paragraph (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.

 

   [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, paragraph (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. Client telephone calls should be promptly returned or acknowledged.

 

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. 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. In certain circumstances, such as when a lawyer asks a client to consent to a representation affected by a conflict of interest, the client must give informed consent, as defined in Rule 1.0(e).

 

   [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

   [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.

 

§ 3-501.5. Fees.

   (a) A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses. The factors to be considered in determining the reasonableness of a fee include the following:

   (1) the time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly;

   (2) the likelihood, if apparent to the client, that the acceptance of the particular employment will preclude other employment by the lawyer;

   (3) the fee customarily charged in the locality for similar legal services;

   (4) the amount involved and the results obtained;

   (5) the time limitations imposed by the client or by the circumstances;

   (6) the nature and length of the professional relationship with the client;

   (7) the experience, reputation, and ability of the lawyer or lawyers performing the services; and

   (8) whether the fee is fixed or contingent.

   (b) The scope of the representation and the basis or rate of the fee and expenses for which the client will be responsible shall be communicated to the client, preferably in writing, before or within a reasonable time after commencing the representation, except when the lawyer will charge a regularly represented client on the same basis or rate. Any changes in the basis or rate of the fee or expenses shall also be communicated to the client.

   (c) A fee may be contingent on the outcome of the matter for which the service is rendered, except in a matter in which a contingent fee is prohibited by paragraph (d) or other law. A contingent fee agreement shall be in a writing signed by the client and shall state the method by which the fee is to be determined, including the percentage or percentages that shall accrue to the lawyer in the event of settlement, trial or appeal; litigation and other expenses to be deducted from the recovery; and whether such expenses are to be deducted before or after the contingent fee is calculated. The agreement must clearly notify the client of any expenses for which the client will be liable whether or not the client is the prevailing party. Upon conclusion of a contingent fee matter, the lawyer shall provide the client with a written statement stating the outcome of the matter and, if there is a recovery, showing the remittance to the client and the method of its determination.

   (d) A lawyer shall not enter into an arrangement for, charge, or collect:

   (1) any fee in a domestic relations matter, the payment or amount of which is contingent upon the securing of a divorce or upon the amount of alimony or support, or property settlement in lieu thereof; or

   (2) a contingent fee for representing a defendant in a criminal case.

   (e) A division of a fee between lawyers who are not in the same firm may be made only if:

   (1) the division is in proportion to the services performed by each lawyer or each lawyer assumes joint responsibility for the representation;

   (2) the client agrees to the arrangement, including the share each lawyer will receive, and the agreement is confirmed in writing; and

   (3) the total fee is reasonable.

   (f) Upon reasonable and timely request by the client, a lawyer shall provide, without charge, an accounting for fees and costs claimed or previously collected. Such an accounting shall include at least the following information:

   (1) Itemization of all hourly charges, costs, interest assessments, and past due balances.

   (2) For hourly rate charges, a description of the services performed and a notation of the person who performed those services. The description shall be of sufficient detail to generally apprise the client of the nature of the work performed.

COMMENT

 

Reasonableness of Fee and Expenses

   [1] Paragraph (a) requires that lawyers charge fees that are reasonable under the circumstances. The factors specified in (1) through (8) are not exclusive. Nor will each factor be relevant in each instance. Paragraph (a) also requires that expenses for which the client will be charged must be reasonable. A lawyer may seek reimbursement for the cost of services performed in-house, such as copying, or for other expenses incurred in-house, such as telephone charges, either by charging a reasonable amount to which the client has agreed in advance or by charging an amount that reasonably reflects the cost incurred by the lawyer.

 

Basis or Rate of Fee

   [2] When the lawyer has regularly represented a client, they ordinarily will have evolved an understanding concerning the basis or rate of the fee and the expenses for which the client will be responsible. In a new client-lawyer relationship, however, an understanding as to fees and expenses must be promptly established. Generally, it is desirable to furnish the client with at least a simple memorandum or copy of the lawyer's customary fee arrangements that states the general nature of the legal services to be provided, the basis, rate or total amount of the fee and whether and to what extent the client will be responsible for any costs, expenses or disbursements in the course of the representation. A written statement concerning the terms of the engagement reduces the possibility of misunderstanding.

 

   [3] Contingent fees, like any other fees, are subject to the reasonableness standard of paragraph (a) of this Rule. In determining whether a particular contingent fee is reasonable, or whether it is reasonable to charge any form of contingent fee, a lawyer must consider the factors that are relevant under the circumstances. Applicable law may impose limitations on contingent fees, such as a ceiling on the percentage allowable, or may require a lawyer to offer clients an alternative basis for the fee. Applicable law also may apply to situations other than a contingent fee, for example, government regulations regarding fees in certain tax matters.

 

Terms of Payment

   [4] A lawyer may require advance payment of a fee, but is obliged to return any unearned portion. See Rule 1.16(d). A lawyer may accept property in payment for services, such as an ownership interest in an enterprise, providing this does not involve acquisition of a proprietary interest in the cause of action or subject matter of the litigation contrary to Rule 1.8(i). However, a fee paid in property instead of money may be subject to the requirements of Rule 1.8(a) because such fees often have the essential qualities of a business transaction with the client.

 

   [5] An agreement may not be made whose terms might induce the lawyer improperly to curtail services for the client or perform them in a way contrary to the client's interest. For example, a lawyer should not enter into an agreement whereby services are to be provided only up to a stated amount when it is foreseeable that more extensive services probably will be required, unless the situation is adequately explained to the client. Otherwise, the client might have to bargain for further assistance in the midst of a proceeding or transaction. However, it is proper to define the extent of services in light of the client's ability to pay. A lawyer should not exploit a fee arrangement based primarily on hourly charges by using wasteful procedures.

 

Prohibited Contingent Fees

   [6] Paragraph (d) prohibits a lawyer from charging a contingent fee in a domestic relations matter when payment is contingent upon the securing of a divorce or upon the amount of alimony or support or property settlement to be obtained. This provision does not preclude a contract for a contingent fee for legal representation in connection with the recovery of post-judgment balances due under support, alimony or other financial orders because such contracts do not implicate the same policy concerns.

 

Division of Fee

   [7] A division of fee is a single billing to a client covering the fee of two or more lawyers who are not in the same firm. A division of fee facilitates association of more than one lawyer in a matter in which neither alone could serve the client as well, and most often is used when the fee is contingent and the division is between a referring lawyer and a trial specialist. Paragraph (e) permits the lawyers to divide a fee either on the basis of the proportion of services they render or if each lawyer assumes responsibility for the representation as a whole. In addition, the client must agree to the arrangement, including the share that each lawyer is to receive, and the agreement must be confirmed in writing. Contingent fee agreements must be in a writing signed by the client and must otherwise comply with paragraph (c) of this Rule. Joint responsibility for the representation entails financial and ethical responsibility for the representation as if the lawyers were associated in a partnership. A lawyer should only refer a matter to a lawyer whom the referring lawyer reasonably believes is competent to handle the matter. See Rule 1.1.

 

   [8] Paragraph (e) does not prohibit or regulate division of fees to be received in the future for work done when lawyers were previously associated in a law firm.

 

Disputes Over Fees

   [9] If a procedure has been established for resolution of fee disputes, such as an arbitration or mediation procedure established by the bar, the lawyer must comply with the procedure when it is mandatory, and, even when it is voluntary, the lawyer should conscientiously consider submitting to it. Law may prescribe a procedure for determining a lawyer's fee, for example, in representation of an executor or administrator, a class or a person entitled to a reasonable fee as part of the measure of damages. The lawyer entitled to such a fee and a lawyer representing another party concerned with the fee should comply with the prescribed procedure.

 

§ 3-501.6. Confidentiality of information.

   (a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).

   (b) A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:

   (1) to prevent the client from committing a crime or to prevent reasonably certain death or substantial bodily harm;

   (2) to secure legal advice about the lawyer’s compliance with these Rules;

   (3) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved or to respond to allegations in any proceeding concerning the lawyer's representation of the client; or

   (4) to comply with other law or a court order.

   (c) The relationship between a member of the Nebraska State Bar Association Committee on the Nebraska Lawyers Assistance Program or an employee of the Nebraska Lawyers Assistance Program and a lawyer who seeks or receives assistance through that committee or that program shall be the same as that of lawyer and client for the purposes of the application of Rule 1.6.

COMMENT

 

   [1] This Rule governs the disclosure by a lawyer of information relating to the representation of a client during the lawyer's representation of the client. See Rule 1.18 for the lawyer's duties with respect to information provided to the lawyer by a prospective client, Rule 1.9(c)(2) for the lawyer's duty not to reveal information relating to the lawyer's prior representation of a former client and Rules 1.8(b) and 1.9(c)(1) for the lawyer's duties with respect to the use of such information to the disadvantage of clients and former clients.

 

   [2] A fundamental principle in the client-lawyer relationship is that, in the absence of the client's informed consent, the lawyer must not reveal information relating to the representation. See Rule 1.0(e) for the definition of informed consent. This contributes to the trust that is the hallmark of the client-lawyer relationship. The client is thereby encouraged to seek legal assistance and to communicate fully and frankly with the lawyer even as to embarrassing or legally damaging subject matter. The lawyer needs this information to represent the client effectively and, if necessary, to advise the client to refrain from wrongful conduct. Almost without exception, clients come to lawyers in order to determine their rights and what is, in the complex of laws and regulations, deemed to be legal and correct. Based upon experience, lawyers know that almost all clients follow the advice given, and the law is upheld.

 

   [3] The principle of client-lawyer confidentiality is given effect by related bodies of law: the attorney-client privilege, the work product doctrine and the rule of confidentiality established in professional ethics. The attorney-client privilege and work-product doctrine apply in judicial and other proceedings in which a lawyer may be called as a witness or otherwise required to produce evidence concerning a client. The rule of client-lawyer confidentiality applies in situations other than those where evidence is sought from the lawyer through compulsion of law. The confidentiality rule, for example, applies not only to matters communicated in confidence by the client but also to all information relating to the representation, whatever its source. A lawyer may not disclose such information except as authorized or required by the Rules of Professional Conduct or other law. See also Scope.

 

   [4] Paragraph (a) prohibits a lawyer from revealing information relating to the representation of a client. This prohibition also applies to disclosures by a lawyer that do not in themselves reveal protected information but could reasonably lead to the discovery of such information by a third person. A lawyer's use of a hypothetical to discuss issues relating to the representation is permissible so long as there is no reasonable likelihood that the listener will be able to ascertain the identity of the client or the situation involved.

 

Authorized Disclosure

   [5] Except to the extent that the client's instructions or special circumstances limit that authority, a lawyer is impliedly authorized to make disclosures about a client when appropriate in carrying out the representation. In some situations, for example, a lawyer may be impliedly authorized to admit a fact that cannot properly be disputed or to make a disclosure that facilitates a satisfactory conclusion to a matter. Lawyers in a firm may, in the course of the firm's practice, disclose to each other information relating to a client of the firm, unless the client has instructed that particular information be confined to specified lawyers.

 

Disclosure Adverse to Client

   [6] Although the public interest is usually best served by a strict rule requiring lawyers to preserve the confidentiality of information relating to the representation of their clients, the confidentiality rule is subject to limited exceptions. A lawyer may disclose information relating to the representation necessary to prevent a client from committing a crime. Paragraph (b)(1) also recognizes the overriding value of life and physical integrity and permits disclosure reasonably necessary to prevent reasonably certain death or substantial bodily harm. Such harm is reasonably certain to occur if it will be suffered imminently or if there is a present and substantial threat that a person will suffer such harm at a later date if the lawyer fails to take action necessary to eliminate the threat. For example, a lawyer who knows that a client has accidentally discharged toxic waste into a town's water supply may reveal this information to the authorities if there is a present and substantial risk that a person who drinks the water will contract a life-threatening or debilitating disease and the lawyer's disclosure is necessary to eliminate the threat or reduce the number of victims.

 

   [7] A lawyer’s confidentiality obligations do not preclude a lawyer from securing confidential legal advice about the lawyer’s personal responsibility to comply with these Rules. In most situations, disclosing information to secure such advice will be impliedly authorized for the lawyer to carry out the representation. Even when the disclosure is not impliedly authorized, paragraph (b)(2) permits such disclosure because of the importance of a lawyer's compliance with the Rules of Professional Conduct.

 

   [8] Where a legal claim or disciplinary charge alleges complicity of the lawyer in a client's conduct or other misconduct of the lawyer involving representation of the client, the lawyer may respond to the extent the lawyer reasonably believes necessary to establish a defense. The same is true with respect to a claim involving the conduct or representation of a former client. Such a charge can arise in a civil, criminal, disciplinary or other proceeding and can be based on a wrong allegedly committed by the lawyer against the client or on a wrong alleged by a third person, for example, a person claiming to have been defrauded by the lawyer and client acting together. The lawyer's right to respond arises when an assertion of such complicity has been made. Paragraph (b)(3) does not require the lawyer to await the commencement of an action or proceeding that charges such complicity, so that the defense may be established by responding directly to a third party who has made such an assertion. The right to defend also applies, of course, where a proceeding has been commenced.

 

   [9] A lawyer entitled to a fee is permitted by paragraph (b)(3) to prove the services rendered in an action to collect it. This aspect of the rule expresses the principle that the beneficiary of a fiduciary relationship may not exploit it to the detriment of the fiduciary.

 

   [10] Other law may require that a lawyer disclose information about a client. Whether such a law supersedes Rule 1.6 is a question of law beyond the scope of these Rules. When disclosure of information relating to the representation appears to be required by other law, the lawyer must discuss the matter with the client to the extent required by Rule 1.4. If, however, the other law supersedes this Rule and requires disclosure, paragraph (b)(4) permits the lawyer to make such disclosures as are necessary to comply with the law.

 

   [11] A lawyer may be ordered to reveal information relating to the representation of a client by a court or by another tribunal or governmental entity claiming authority pursuant to other law to compel the disclosure. Absent informed consent of the client to do otherwise, the lawyer should assert on behalf of the client all nonfrivolous claims that the order is not authorized by other law or that the information sought is protected against disclosure by the attorney-client privilege or other applicable law. In the event of an adverse ruling, the lawyer must consult with the client about the possibility of appeal to the extent required by Rule 1.4. Unless review is sought, however, paragraph (b)(4) permits the lawyer to comply with the court's order.

 

   [12] Paragraph (b) permits disclosure only to the extent the lawyer reasonably believes the disclosure is necessary to accomplish one of the purposes specified. Where practicable, the lawyer should first seek to persuade the client to take suitable action to obviate the need for disclosure. In any case, a disclosure adverse to the client's interest should be no greater than the lawyer reasonably believes necessary to accomplish the purpose. If the disclosure will be made in connection with a judicial proceeding, the disclosure should be made in a manner that limits access to the information to the tribunal or other persons having a need to know it and appropriate protective orders or other arrangements should be sought by the lawyer to the fullest extent practicable.

 

   [13] Paragraph (b) permits but does not require the disclosure of information relating to a client's representation to accomplish the purposes specified in paragraphs (b)(1) through (b)(4). In exercising the discretion conferred by this Rule, the lawyer may consider such factors as the nature of the lawyer's relationship with the client and with those who might be injured by the client, the nature of the future crime, the lawyer's own involvement in the transaction and factors that may extenuate the conduct in question. A lawyer's decision not to disclose as permitted by paragraph (b) does not violate this Rule. Disclosure may be required, however, by other Rules. Some Rules require disclosure only if such disclosure would be permitted by paragraph (b). See Rules 1.2(c), 4.1(b), 8.1 and 8.3. Rule 3.3, on the other hand, requires disclosure in some circumstances regardless of whether such disclosure is permitted by this Rule. See Rule 3.3(c).

 

Withdrawal

   [14] If the lawyer's services will be used by the client in materially furthering a course of criminal or fraudulent conduct, the lawyer must withdraw, as stated in Rule 1.16(a)(1). After withdrawal, the lawyer is required to refrain from making disclosure of the client's confidences, except as otherwise permitted by Rule 1.6. Neither this Rule nor Rule 1.8(b) nor Rule 1.16(d) prevents the lawyer from giving notice of the fact of withdrawal, and the lawyer may also withdraw or disaffirm any opinion, document, affirmation, or the like. Where the client is an organization, the lawyer may be in doubt whether contemplated conduct will actually be carried out by the organization. Where necessary to guide conduct in connection with this Rule, the lawyer may make inquiry within the organization as indicated in Rule 1.13(b).

 

Acting Competently to Preserve Confidentiality

[15] A lawyer must act competently to safeguard information relating to the representation of a client against inadvertent or unauthorized disclosure by the lawyer or other persons who are participating in the representation of the client or who are subject to the lawyer's supervision. See Rules 1.1, 5.1 and 5.3.

 

   [16] When transmitting a communication that includes information relating to the representation of a client, the lawyer must take reasonable precautions to prevent the information from coming into the hands of unintended recipients. This duty, however, does not require that the lawyer use special security measures if the method of communication affords a reasonable expectation of privacy. Special circumstances, however, may warrant special precautions. Factors to be considered in determining the reasonableness of the lawyer's expectation of confidentiality include the sensitivity of the information and the extent to which the privacy of the communication is protected by law or by a confidentiality agreement. A client may require the lawyer to implement special security measures not required by this Rule or may give informed consent to the use of a means of communication that would otherwise be prohibited by this Rule.

 

Former Client

   [17] The duty of confidentiality continues after the client-lawyer relationship has terminated. See Rule 1.9(c)(2). See Rule 1.9(c)(1) for the prohibition against using such information to the disadvantage of the former client.

 

§ 3-501.7. Conflict of interest; current clients.

   (a) Except as provided in paragraph (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if:

   (1) the representation of one client will be directly adverse to another client; or

   (2) there is a significant risk that the representation of one or more clients will be materially limited by the lawyer's responsibilities to another client, a former client or a third person or by a personal interest of the lawyer.

   (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a lawyer may represent a client if:

   (1) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client;

   (2) the representation is not prohibited by law;

   (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and

   (4) each affected client gives informed consent, confirmed in writing.

COMMENT

 

General Principles

   [1] Loyalty and independent judgment are essential elements in the lawyer's relationship to a client. Concurrent conflicts of interest can arise from the lawyer's responsibilities to another client, a former client or a third person or from the lawyer's own interests. For specific Rules regarding certain concurrent conflicts of interest, see Rule 1.8. For former client conflicts of interest, see Rule 1.9. For conflicts of interest involving prospective clients, see Rule 1.18. For definitions of "informed consent" and "confirmed in writing," see Rule 1.0(e) and (b).

 

   [2] Resolution of a conflict of interest problem under this Rule requires the lawyer to: (1) clearly identify the client or clients; (2) determine whether a conflict of interest exists; (3) decide whether the representation may be undertaken despite the existence of a conflict, i.e., whether the conflict is consentable; and (4) if so, consult with the clients affected under paragraph (a) and obtain their informed consent, confirmed in writing. The clients affected under paragraph (a) include both of the clients referred to in paragraph (a)(1) and the one or more clients whose representation might be materially limited under paragraph (a)(2).

 

   [3] A conflict of interest may exist before representation is undertaken, in which event the representation must be declined, unless the lawyer obtains the informed consent of each client under the conditions of paragraph (b). To determine whether a conflict of interest exists, a lawyer should adopt reasonable procedures, appropriate for the size and type of firm and practice, to determine in both litigation and non-litigation matters the persons and issues involved. See also Comment to Rule 5.1. Ignorance caused by a failure to institute such procedures will not excuse a lawyer's violation of this Rule. As to whether a client-lawyer relationship exists or, having once been established, is continuing, see Comment to Rule 1.3 and Scope.

 

   [4] If a conflict arises after representation has been undertaken, the lawyer ordinarily must withdraw from the representation, unless the lawyer has obtained the informed consent of the client under the conditions of paragraph (b). See Rule 1.16. Where more than one client is involved, whether the lawyer may continue to represent any of the clients is determined both by the lawyer's ability to comply with duties owed to the former client and by the lawyer's ability to represent adequately the remaining client or clients, given the lawyer's duties to the former client. See Rule 1.9. See also Comments [5] and [29].

 

   [5] Unforeseeable developments, such as changes in corporate and other organizational affiliations or the addition or realignment of parties in litigation, might create conflicts in the midst of a representation, as when a company sued by the lawyer on behalf of one client is bought by another client represented by the lawyer in an unrelated matter. Depending on the circumstances, the lawyer may have the option to withdraw from one of the representations in order to avoid the conflict. The lawyer must seek court approval where necessary and take steps to minimize harm to the clients. See Rule 1.16. The lawyer must continue to protect the confidences of the client from whose representation the lawyer has withdrawn. See Rule 1.9(c).

 

Identifying Conflicts of Interest: Directly Adverse

   [6] Loyalty to a current client prohibits undertaking representation directly adverse to that client without that client's informed consent. Thus, absent consent, a lawyer may not act as an advocate in one matter against a person the lawyer represents in some other matter, even when the matters are wholly unrelated. The client as to whom the representation is directly adverse is likely to feel betrayed, and the resulting damage to the client-lawyer relationship is likely to impair the lawyer's ability to represent the client effectively. In addition, the client on whose behalf the adverse representation is undertaken reasonably may fear that the lawyer will pursue that client's case less effectively out of deference to the other client, i.e., that the representation may be materially limited by the lawyer's interest in retaining the current client. Similarly, a directly adverse conflict may arise when a lawyer is required to cross-examine a client who appears as a witness in a lawsuit involving another client, as when the testimony will be damaging to the client who is represented in the lawsuit. On the other hand, simultaneous representation in unrelated matters of clients whose interests are only economically adverse, such as representation of competing economic enterprises in unrelated litigation, does not ordinarily constitute a conflict of interest and thus may not require consent of the respective clients.

 

   [7] Directly adverse conflicts can also arise in transactional matters. For example, if a lawyer is asked to represent the seller of a business in negotiations with a buyer represented by the lawyer, not in the same transaction but in another, unrelated matter, the lawyer could not undertake the representation without the informed consent of each client.

 

Identifying Conflicts of Interest: Material Limitation

   [8] Even where there is no direct adverseness, a conflict of interest exists if there is a significant risk that a lawyer's ability to consider, recommend or carry out an appropriate course of action for the client will be materially limited as a result of the lawyer's other responsibilities or interests. For example, a lawyer asked to represent several individuals seeking to form a joint venture is likely to be materially limited in the lawyer's ability to recommend or advocate all possible positions that each might take because of the lawyer's duty of loyalty to the others. The conflict in effect forecloses alternatives that would otherwise be available to the client. The mere possibility of subsequent harm does not itself require disclosure and consent. The critical questions are the likelihood that a difference in interests will eventuate and, if it does, whether it will materially interfere with the lawyer's independent professional judgment in considering alternatives or foreclose courses of action that reasonably should be pursued on behalf of the client.

 

Lawyer's Responsibilities to Former Clients and Other Third Persons

   [9] In addition to conflicts with other current clients, a lawyer's duties of loyalty and independence may be materially limited by responsibilities to former clients under Rule 1.9 or by the lawyer's responsibilities to other persons, such as fiduciary duties arising from a lawyer's service as a trustee, executor or corporate director.

 

Personal Interest Conflicts

   [10] The lawyer's own interests should not be permitted to have an adverse effect on representation of a client. For example, if the probity of a lawyer's own conduct in a transaction is in serious question, it may be difficult or impossible for the lawyer to give a client detached advice. Similarly, when a lawyer has discussions concerning possible employment with an opponent of the lawyer's client, or with a law firm representing the opponent, such discussions could materially limit the lawyer's representation of the client. In addition, a lawyer may not allow related business interests to affect representation, for example, by referring clients to an enterprise in which the lawyer has an undisclosed financial interest. See Rule 1.8 for specific Rules pertaining to a number of personal interest conflicts, including business transactions with clients. See also Rule 1.10 (personal interest conflicts under Rule 1.7 ordinarily are not imputed to other lawyers in a law firm).

 

   [11] When lawyers representing different clients in the same matter or in substantially related matters are closely related by blood or marriage, there may be a significant risk that client confidences will be revealed and that the lawyer's family relationship will interfere with both loyalty and independent professional judgment. As a result, each client is entitled to know of the existence and implications of the relationship between the lawyers before the lawyer agrees to undertake the representation. Thus, a lawyer related to another lawyer, e.g., as parent, child, sibling or spouse, ordinarily may not represent a client in a matter where that lawyer is representing another party, unless each client gives informed consent. The disqualification arising from a close family relationship is personal and ordinarily is not imputed to members of firms with whom the lawyers are associated. See Rule 1.10.

 

   [12] A lawyer is prohibited from engaging in sexual relationships with a client unless the sexual relationship predates the formation of the client-lawyer relationship. See Rule 1.8(j).

 

Interest of Person Paying for a Lawyer's Service

   [13] A lawyer may be paid from a source other than the client, including a co-client, if the client is informed of that fact and consents and the arrangement does not compromise the lawyer's duty of loyalty or independent judgment to the client. See Rule 1.8(f). If acceptance of the payment from any other source presents a significant risk that the lawyer's representation of the client will be materially limited by the lawyer's own interest in accommodating the person paying the lawyer's fee or by the lawyer's responsibilities to a payer who is also a co-client, then the lawyer must comply with the requirements of paragraph (b) before accepting the representation, including determining whether the conflict is consentable and, if so, that the client has adequate information about the material risks of the representation.

 

Prohibited Representations

   [14] Ordinarily, clients may consent to representation notwithstanding a conflict. However, as indicated in paragraph (b), some conflicts are nonconsentable, meaning that the lawyer involved cannot properly ask for such agreement or provide representation on the basis of the client's consent. When the lawyer is representing more than one client, the question of consentability must be resolved as to each client.

 

   [15] Consentability is typically determined by considering whether the interests of the clients will be adequately protected if the clients are permitted to give their informed consent to representation burdened by a conflict of interest. Thus, under paragraph (b)(1), representation is prohibited if in the circumstances the lawyer cannot reasonably conclude that the lawyer will be able to provide competent and diligent representation. See Rule 1.1 (competence) and Rule 1.3 (diligence).

 

   [16] Paragraph (b)(2) describes conflicts that are nonconsentable because the representation is prohibited by applicable law. For example, in some states substantive law provides that the same lawyer may not represent more than one defendant in a capital case, even with the consent of the clients, and under federal criminal statutes certain representations by a former government lawyer are prohibited, despite the informed consent of the former client. In addition, decisional law in some states limits the ability of a governmental client, such as a municipality, to consent to a conflict of interest.

 

   [17] Paragraph (b)(3) describes conflicts that are nonconsentable because of the institutional interest in vigorous development of each client's position when the clients are aligned directly against each other in the same litigation or other proceeding before a tribunal. Whether clients are aligned directly against each other within the meaning of this paragraph requires examination of the context of the proceeding. Although this paragraph does not preclude a lawyer's multiple representation of adverse parties to a mediation (because mediation is not a proceeding before a "tribunal" under Rule 1.0(m)), such representation may be precluded by paragraph (b)(1).

 

Informed Consent

   [18] Informed consent requires that each affected client be aware of the relevant circumstances and of the material and reasonably foreseeable ways that the conflict could have adverse effects on the interests of that client. See Rule 1.0(e) (informed consent). The information required depends on the nature of the conflict and the nature of the risks involved. When representation of multiple clients in a single matter is undertaken, the information must include the implications of the common representation, including possible effects on loyalty, confidentiality and the attorney-client privilege and the advantages and risks involved. See Comments [30] and [31] (effect of common representation on confidentiality).

 

   [19] Under some circumstances, it may be impossible to make the disclosure necessary to obtain consent. For example, when the lawyer represents different clients in related matters and one of the clients refuses to consent to the disclosure necessary to permit the other client to make an informed decision, the lawyer cannot properly ask the latter to consent. In some cases, the alternative to common representation can be that each party may have to obtain separate representation with the possibility of incurring additional costs. These costs, along with the benefits of securing separate representation, are factors that may be considered by the affected client in determining whether common representation is in the client's interests.

 

Consent Confirmed in Writing

   [20] Paragraph (b) requires the lawyer to obtain the informed consent of the client, confirmed in writing. Such a writing may consist of a document executed by the client or one that the lawyer promptly records and transmits to the client following an oral consent. See Rule 1.0(b). See also Rule 1.0(n) (writing includes electronic transmission). If it is not feasible to obtain or transmit the writing at the time the client gives informed consent, then the lawyer must obtain or transmit it within a reasonable time thereafter. See Rule 1.0(b). The requirement of a writing does not supplant the need in most cases for the lawyer to talk with the client, to explain the risks and advantages, if any, of representation burdened with a conflict of interest, as well as reasonably available alternatives, and to afford the client a reasonable opportunity to consider the risks and alternatives and to raise questions and concerns. Rather, the writing is required in order to impress upon clients the seriousness of the decision the client is being asked to make and to avoid disputes or ambiguities that might later occur in the absence of a writing.

 

Revoking Consent

   [21] A client who has given consent to a conflict may revoke the consent and, like any other client, may terminate the lawyer's representation at any time. Whether revoking consent to the client's own representation precludes the lawyer from continuing to represent other clients depends on the circumstances, including the nature of the conflict, whether the client revoked consent because of a material change in circumstances, the reasonable expectations of the other client and whether material detriment to the other clients or the lawyer would result.

 

Consent to Future Conflict

   [22] Whether a lawyer may properly request a client to waive conflicts that might arise in the future is subject to the test of paragraph (b). The effectiveness of such waivers is generally determined by the extent to which the client reasonably understands the material risks that the waiver entails. The more comprehensive the explanation of the types of future representations that might arise and the actual and reasonably foreseeable adverse consequences of those representations, the greater the likelihood that the client will have the requisite understanding. Thus, if the client agrees to consent to a particular type of conflict with which the client is already familiar, then the consent ordinarily will be effective with regard to that type of conflict. If the consent is general and open-ended, then the consent ordinarily will be ineffective, because it is not reasonably likely that the client will have understood the material risks involved. On the other hand, if the client is an experienced user of the legal services involved and is reasonably informed regarding the risk that a conflict may arise, such consent is more likely to be effective, particularly if, e.g., the client is independently represented by other counsel in giving consent and the consent is limited to future conflicts unrelated to the subject of the representation. In any case, advance consent cannot be effective if the circumstances that materialize in the future are such as would make the conflict nonconsentable under paragraph (b).

 

Conflicts in Litigation

   [23] Paragraph (b)(3) prohibits representation of opposing parties in the same litigation, regardless of the clients' consent. On the other hand, simultaneous representation of parties whose interests in litigation may conflict, such as coplaintiffs or codefendants, is governed by paragraph (a)(2). A conflict may exist by reason of substantial discrepancy in the parties' testimony, incompatibility in positions in relation to an opposing party or the fact that there are substantially different possibilities of settlement of the claims or liabilities in question. Such conflicts can arise in criminal cases as well as civil. The potential for conflict of interest in representing multiple defendants in a criminal case is so grave that ordinarily a lawyer should decline to represent more than one codefendant. On the other hand, common representation of persons having similar interests in civil litigation is proper if the requirements of paragraph (b) are met.

 

   [24] Ordinarily a lawyer may take inconsistent legal positions in different tribunals at different times on behalf of different clients. The mere fact that advocating a legal position on behalf of one client might create precedent adverse to the interests of a client represented by the lawyer in an unrelated matter does not create a conflict of interest. A conflict of interest exists, however, if there is a significant risk that a lawyer's action on behalf of one client will materially limit the lawyer's effectiveness in representing another client in a different case; for example, when a decision favoring one client will create a precedent likely to seriously weaken the position taken on behalf of the other client. Factors relevant in determining whether the clients need to be advised of the risk include: where the cases are pending, whether the issue is substantive or procedural, the temporal relationship between the matters, the significance of the issue to the immediate and long-term interests of the clients involved and the clients' reasonable expectations in retaining the lawyer. If there is significant risk of material limitation, then absent informed consent of the affected clients, the lawyer must refuse one of the representations or withdraw from one or both matters.

 

   [25] When a lawyer represents or seeks to represent a class of plaintiffs or defendants in a class-action lawsuit, unnamed members of the class are ordinarily not considered to be clients of the lawyer for purposes of applying paragraph (a)(1) of this Rule. Thus, the lawyer does not typically need to get the consent of such a person before representing a client suing the person in an unrelated matter. Similarly, a lawyer seeking to represent an opponent in a class action does not typically need the consent of an unnamed member of the class whom the lawyer represents in an unrelated matter.

 

Nonlitigation Conflicts

   [26] Conflicts of interest under paragraphs (a)(1) and (a)(2) arise in contexts other than litigation. For a discussion of directly adverse conflicts in transactional matters, see Comment [7]. Relevant factors in determining whether there is significant potential for material limitation include the duration and intimacy of the lawyer's relationship with the client or clients involved, the functions being performed by the lawyer, the likelihood that disagreements will arise and the likely prejudice to the client from the conflict. The question is often one of proximity and degree. See Comment [8].

 

   [27] For example, conflict questions may arise in estate planning and estate administration. A lawyer may be called upon to prepare wills for several family members, such as husband and wife, and, depending upon the circumstances, a conflict of interest may be present. In estate administration the identity of the client may be unclear under the law of a particular jurisdiction. Under one view, the client is the fiduciary; under another view the client is the estate or trust, including its beneficiaries. In order to comply with conflict of interest rules, the lawyer should make clear the lawyer's relationship to the parties involved.

 

   [28] Whether a conflict is consentable depends on the circumstances. For example, a lawyer may not represent multiple parties to a negotiation whose interests are fundamentally antagonistic to each other, but common representation is permissible where the clients are generally aligned in interest even though there is some difference in interest among them. Thus, a lawyer may seek to establish or adjust a relationship between clients on an amicable and mutually advantageous basis; for example, in helping to organize a business in which two or more clients are entrepreneurs, working out the financial reorganization of an enterprise in which two or more clients have an interest or arranging a property distribution in settlement of an estate. The lawyer seeks to resolve potentially adverse interests by developing the parties' mutual interests. Otherwise, each party might have to obtain separate representation, with the possibility of incurring additional cost, complication or even litigation. Given these and other relevant factors, the clients may prefer that the lawyer act for all of them.

 

Special Considerations in Common Representation

   [29] In considering whether to represent multiple clients in the same matter, a lawyer should be mindful that if the common representation fails because the potentially adverse interests cannot be reconciled, the result can be additional cost, embarrassment and recrimination. Ordinarily, the lawyer will be forced to withdraw from representing all of the clients if the common representation fails. In some situations, the risk of failure is so great that multiple representation is plainly impossible. For example, a lawyer cannot undertake common representation of clients where contentious litigation or negotiations between them are imminent or contemplated. Moreover, because the lawyer is required to be impartial between commonly represented clients, representation of multiple clients is improper when it is unlikely that impartiality can be maintained. Generally, if the relationship between the parties has already assumed antagonism, the possibility that the clients' interests can be adequately served by common representation is not very good. Other relevant factors are whether the lawyer subsequently will represent both parties on a continuing basis and whether the situation involves creating or terminating a relationship between the parties.

 

   [30] A particularly important factor in determining the appropriateness of common representation is the effect on client-lawyer confidentiality and the attorney-client privilege. With regard to the attorney-client privilege, the prevailing rule is that, as between commonly represented clients, the privilege does not attach. Hence, it must be assumed that if litigation eventuates between the clients, the privilege will not protect any such communications, and the clients should be so advised.

 

   [31] As to the duty of confidentiality, continued common representation will almost certainly be inadequate if one client asks the lawyer not to disclose to the other client information relevant to the common representation. This is so because the lawyer has an equal duty of loyalty to each client, and each client has the right to be informed of anything bearing on the representation that might affect that client's interests and the right to expect that the lawyer will use that information to that client's benefit. See Rule 1.4. The lawyer should, at the outset of the common representation and as part of the process of obtaining each client's informed consent, advise each client that information will be shared and that the lawyer will have to withdraw if one client decides that some matter material to the representation should be kept from the other. In limited circumstances, it may be appropriate for the lawyer to proceed with the representation when the clients have agreed, after being properly informed, that the lawyer will keep certain information confidential. For example, the lawyer may reasonably conclude that failure to disclose one client's trade secrets to another client will not adversely affect representation involving a joint venture between the clients and agree to keep that information confidential with the informed consent of both clients.

 

   [32] When seeking to establish or adjust a relationship between clients, the lawyer should make clear that the lawyer's role is not that of partisanship normally expected in other circumstances and, thus, that the clients may be required to assume greater responsibility for decisions than when each client is separately represented. Any limitations on the scope of the representation made necessary as a result of the common representation should be fully explained to the clients at the outset of the representation. See Rule 1.2(b).

 

   [33] Subject to the above limitations, each client in the common representation has the right to loyal and diligent representation and the protection of Rule 1.9 concerning the obligations to a former client. The client also has the right to discharge the lawyer as stated in Rule 1.16.

 

Organizational Clients

   [34] A lawyer who represents a corporation or other organization does not, by virtue of that representation, necessarily represent any constituent or affiliated organization, such as a parent or subsidiary. See Rule 1.13(a). Thus, the lawyer for an organization is not barred from accepting representation adverse to an affiliate in an unrelated matter, unless the circumstances are such that the affiliate should also be considered a client of the lawyer, there is an understanding between the lawyer and the organizational client that the lawyer will avoid representation adverse to the client's affiliates, or the lawyer's obligations to either the organizational client or the new client are likely to limit materially the lawyer's representation of the other client.

 

   [35] A lawyer for a corporation or other organization who is also a member of its board of directors should determine whether the responsibilities of the two roles may conflict. The lawyer may be called on to advise the corporation in matters involving actions of the directors. Consideration should be given to the frequency with which such situations may arise, the potential intensity of the conflict, the effect of the lawyer's resignation from the board and the possibility of the corporation's obtaining legal advice from another lawyer in such situations. If there is material risk that the dual role will compromise the lawyer's independence of professional judgment, the lawyer should not serve as a director or should cease to act as the corporation's lawyer when conflicts of interest arise. The lawyer should advise the other members of the board that in some circumstances matters discussed at board meetings while the lawyer is present in the capacity of director might not be protected by the attorney-client privilege and that conflict of interest considerations might require the lawyer's recusal as a director or might require the lawyer and the lawyer's firm to decline representation of the corporation in a matter.

 

§ 3-501.8. Conflict of interest; current clients; specific rules.

   (a) A lawyer shall not enter into a business transaction with a client or knowingly acquire an ownership, possessory, security or other pecuniary interest adverse to a client unless:

   (1) the transaction and terms on which the lawyer acquires the interest are fair and reasonable to the client and are fully disclosed and transmitted in writing in a manner that can be reasonably understood by the client;

   (2) the client is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel on the transaction; and

   (3) the client gives informed consent, in a writing signed by the client, to the essential terms of the transaction and the lawyer's role in the transaction, including whether the lawyer is representing the client in the transaction.

   (b) A lawyer shall not use information relating to representation of a client to the disadvantage of the client unless the client gives informed consent, except as permitted or required by these Rules.

   (c) A lawyer shall not solicit any substantial gift from a client, including a testamentary gift, or prepare on behalf of a client an instrument giving the lawyer or a person related to the lawyer any substantial gift unless the lawyer or other recipient of the gift is related to the client. For purposes of this paragraph, related persons include a spouse, child, grandchild, parent, grandparent or other relative or individual with whom the lawyer or the client maintains a close, familial relationship.

   (d) Prior to the conclusion of representation of a client, a lawyer shall not make or negotiate an agreement giving the lawyer literary or media rights to a portrayal or account based in substantial part on information relating to the representation.

   (e) A lawyer shall not provide financial assistance to a client in connection with pending or contemplated litigation, except that:

   (1) a lawyer may advance court costs and expenses of litigation, the repayment of which may be contingent on the outcome of the matter; and

   (2) a lawyer representing an indigent client may pay court costs and expenses of litigation on behalf of the client.

   (f) A lawyer shall not accept compensation for representing a client from one other than the client unless:

   (1) the client gives informed consent;

   (2) there is no interference with the lawyer's independence of professional judgment or with the client-lawyer relationship; and

   (3) information relating to representation of a client is protected as required by Rule 1.6.

   (g) A lawyer who represents two or more clients shall not participate in making an aggregate settlement of the claims of or against the clients, or in a criminal case an aggregated agreement as to guilty or nolo contendere pleas, unless each client gives informed consent, in a writing signed by the client. The lawyer's disclosure shall include the existence and nature of all the claims or pleas involved and of the participation of each person in the settlement.

   (h) A lawyer shall not:

   (1) make an agreement prospectively limiting the lawyer's liability to a client for malpractice unless the client is independently represented in making the agreement; or

   (2) settle a claim or potential claim for such liability with an unrepresented client or former client unless that person is advised in writing of the desirability of seeking and is given a reasonable opportunity to seek the advice of independent legal counsel in connection therewith.

   (i) A lawyer shall not acquire a proprietary interest in the cause of action or subject matter of litigation the lawyer is conducting for a client, except that the lawyer may:

   (1) acquire a lien authorized by law to secure the lawyer's fee or expenses; and

   (2) contract with a client for a reasonable contingent fee in a civil case.

   (j) A lawyer shall not have sexual relations with a client unless a consensual sexual relationship existed between them when the client-lawyer relationship commenced.

   (k) While lawyers are associated in a firm, a prohibition in the foregoing paragraphs (a) through (i) that applies to any one of them shall apply to all of them.

COMMENT

 

Business Transactions Between Client and Lawyer

   [1] A lawyer's legal skill and training, together with the relationship of trust and confidence between lawyer and client, create the possibility of overreaching when the lawyer participates in a business, property or financial transaction with a client, for example, a loan or sales transaction or a lawyer investment on behalf of a client. The requirements of paragraph (a) must be met even when the transaction is not closely related to the subject matter of the representation, as when a lawyer drafting a will for a client learns that the client needs money for unrelated expenses and offers to make a loan to the client. The Rule applies to lawyers engaged in the sale of goods or services related to the practice of law, for example, the sale of title insurance or investment services to existing clients of the lawyer's legal practice. See Rule 5.7. It also applies to lawyers purchasing property from estates they represent. It does not apply to ordinary fee arrangements between client and lawyer, which are governed by Rule 1.5, although its requirements must be met when the lawyer accepts an interest in the client's business or other nonmonetary property as payment of all or part of a fee. In addition, the Rule does not apply to standard commercial transactions between the lawyer and the client for products or services that the client generally markets to others, for example, banking or brokerage services, medical services, products manufactured or distributed by the client, and utilities' services. In such transactions, the lawyer has no advantage in dealing with the client, and the restrictions in paragraph (a) are unnecessary and impracticable.

 

   [2] Paragraph (a)(1) requires that the transaction itself be fair to the client and that its essential terms be communicated to the client, in writing, in a manner that can be reasonably understood. Paragraph (a)(2) requires that the client also be advised, in writing, of the desirability of seeking the advice of independent legal counsel. It also requires that the client be given a reasonable opportunity to obtain such advice. Paragraph (a)(3) requires that the lawyer obtain the client's informed consent, in a writing signed by the client, both to the essential terms of the transaction and to the lawyer's role. When necessary, the lawyer should discuss both the material risks of the proposed transaction, including any risk presented by the lawyer's involvement, and the existence of reasonably available alternatives and should explain why the advice of independent legal counsel is desirable. See Rule 1.0(e) (definition of informed consent).

 

   [3] The risk to a client is greatest when the client expects the lawyer to represent the client in the transaction itself or when the lawyer's financial interest otherwise poses a significant risk that the lawyer's representation of the client will be materially limited by the lawyer's financial interest in the transaction. Here the lawyer's role requires that the lawyer must comply, not only with the requirements of paragraph (a), but also with the requirements of Rule 1.7. Under that Rule, the lawyer must disclose the risks associated with the lawyer's dual role as both legal adviser and participant in the transaction, such as the risk that the lawyer will structure the transaction or give legal advice in a way that favors the lawyer's interests at the expense of the client. Moreover, the lawyer must obtain the client's informed consent. In some cases, the lawyer's interest may be such that Rule 1.7 will preclude the lawyer from seeking the client's consent to the transaction.

 

   [4] If the client is independently represented in the transaction, paragraph (a)(2) of this Rule is inapplicable, and the paragraph (a)(1) requirement for full disclosure is satisfied either by a written disclosure by the lawyer involved in the transaction or by the client's independent counsel. The fact that the client was independently represented in the transaction is relevant in determining whether the agreement was fair and reasonable to the client as paragraph (a)(1) further requires.

 

Use of Information Related to Representation

   [5] Use of information relating to the representation to the disadvantage of the client violates the lawyer's duty of loyalty. Paragraph (b) applies when the information is used to benefit either the lawyer or a third person, such as another client or business associate of the lawyer. For example, if a lawyer learns that a client intends to purchase and develop several parcels of land, the lawyer may not use that information to purchase one of the parcels in competition with the client or to recommend that another client make such a purchase. The Rule does not prohibit uses that do not disadvantage the client. For example, a lawyer who learns a government agency's interpretation of trade legislation during the representation of one client may properly use that information to benefit other clients. Paragraph (b) prohibits disadvantageous use of client information unless the client gives informed consent, except as permitted or required by these Rules. See Rules 1.2(c), 1.6, 1.9(c), 3.3, 4.1(b), 8.1 and 8.3.

 

Gifts to Lawyers

   [6] A lawyer may accept a gift from a client, if the transaction meets general standards of fairness. For example, a simple gift such as a present given at a holiday or as a token of appreciation is permitted. If a client offers the lawyer a more substantial gift, paragraph (c) does not prohibit the lawyer from accepting it, although such a gift may be voidable by the client under the doctrine of undue influence, which treats client gifts as presumptively fraudulent. In any event, due to concerns about overreaching and imposition on clients, a lawyer may not suggest that a substantial gift be made to the lawyer or for the lawyer's benefit, except where the lawyer is related to the client as set forth in paragraph (c).

 

   [7] If effectuation of a substantial gift requires preparing a legal instrument such as a will or conveyance the client should have the detached advice that another lawyer can provide. The sole exception to this Rule is where the client is a relative of the donee.

 

   [8] This Rule does not prohibit a lawyer from seeking to have the lawyer or a partner or associate of the lawyer named as executor of the client's estate or to another potentially lucrative fiduciary position. Nevertheless, such appointments will be subject to the general conflict of interest provision in Rule 1.7 when there is a significant risk that the lawyer's interest in obtaining the appointment will materially limit the lawyer's independent professional judgment in advising the client concerning the choice of an executor or other fiduciary. In obtaining the client's informed consent to the conflict, the lawyer should advise the client concerning the nature and extent of the lawyer's financial interest in the appointment, as well as the availability of alternative candidates for the position.

 

Literary Rights

   [9] An agreement by which a lawyer    acquires literary or media rights concerning the conduct of the representation creates a conflict between the interests of the client and the personal interests of the lawyer. Measures suitable in the representation of the client may detract from the publication value of an account of the representation. Paragraph (d) does not prohibit a lawyer representing a client in a transaction concerning literary property from agreeing that the lawyer's fee shall consist of a share in ownership in the property, if the arrangement conforms to Rule 1.5 and paragraphs (a) and (i).

 

Financial Assistance

   [10] Lawyers may not subsidize lawsuits or administrative proceedings brought on behalf of their clients, including making or guaranteeing loans to their clients for living expenses, because to do so would encourage clients to pursue lawsuits that might not otherwise be brought and because such assistance gives lawyers too great a financial stake in the litigation. These dangers do not warrant a prohibition on a lawyer lending a client court costs and litigation expenses, including the expenses of medical examination and the costs of obtaining and presenting evidence, because these advances are virtually indistinguishable from contingent fees and help ensure access to the courts. Similarly, an exception allowing lawyers representing indigent clients to pay court costs and litigation expenses regardless of whether these funds will be repaid is warranted.

 

Person Paying for a Lawyer's Services

   [11] Lawyers are frequently asked to represent a client under circumstances in which a third person will compensate the lawyer, in whole or in part. The third person might be a relative or friend, an indemnitor (such as a liability insurance company) or a co-client (such as a corporation sued along with one or more of its employees). Because third-party payers frequently have interests that differ from those of the client, including interests in minimizing the amount spent on the representation and in learning how the representation is progressing, lawyers are prohibited from accepting or continuing such representations unless the lawyer determines that there will be no interference with the lawyer's independent professional judgment and there is informed consent from the client. See also Rule 5.4(c) (prohibiting interference with a lawyer's professional judgment by one who recommends, employs or pays the lawyer to render legal services for another).

 

   [12] Sometimes, it will be sufficient for the lawyer to obtain the client's informed consent regarding the fact of the payment and the identity of the third-party payer. If, however, the fee arrangement creates a conflict of interest for the lawyer, then the lawyer must comply with Rule 1.7. The lawyer must also conform to the requirements of Rule 1.6 concerning confidentiality. Under Rule 1.7(a), a conflict of interest exists if there is significant risk that the lawyer's representation of the client will be materially limited by the lawyer's own interest in the fee arrangement or by the lawyer's responsibilities to the third-party payer (for example, when the third-party payer is a co-client). Under Rule 1.7(b), the lawyer may accept or continue the representation with the informed consent of each affected client, unless the conflict is nonconsentable under that paragraph. Under Rule 1.7(b), the informed consent must be confirmed in writing.

 

Aggregate Settlements

   [13] Differences in willingness to make or accept an offer of settlement are among the risks of common representation of multiple clients by a single lawyer. Under Rule 1.7, this is one of the risks that should be discussed before undertaking the representation, as part of the process of obtaining the clients' informed consent. In addition, Rule 1.2(a) protects each client's right to have the final say in deciding whether to accept or reject an offer of settlement and in deciding whether to enter a guilty or nolo contendere plea in a criminal case. The rule stated in this paragraph is a corollary of both these Rules and provides that, before any settlement offer or plea bargain is made or accepted on behalf of multiple clients, the lawyer must inform each of them about all the material terms of the settlement, including what the other clients will receive or pay if the settlement or plea offer is accepted. See also Rule 1.0(e) (definition of informed consent). Lawyers representing a class of plaintiffs or defendants, or those proceeding derivatively, may not have a full client-lawyer relationship with each member of the class; nevertheless, such lawyers must comply with applicable rules regulating notification of class members and other procedural requirements designed to ensure adequate protection of the entire class.

 

Limiting Liability and Settling Malpractice Claims

   [14] Agreements prospectively limiting a lawyer's liability for malpractice are prohibited unless the client is independently represented in making the agreement because they are likely to undermine competent and diligent representation. Also, many clients are unable to evaluate the desirability of making such an agreement before a dispute has arisen, particularly if they are then represented by the lawyer seeking the agreement. This paragraph does not, however, prohibit a lawyer from entering into an agreement with the client to arbitrate legal malpractice claims, provided such agreements are enforceable and the client is fully informed of the scope and effect of the agreement. Nor does this paragraph limit the ability of lawyers to practice in the form of a limited-liability entity, where permitted by law, provided that each lawyer remains personally liable to the client for his or her own conduct and the firm complies with any conditions required by law, such as provisions requiring client notification or maintenance of adequate liability insurance. Nor does it prohibit an agreement in accordance with Rule 1.2 that defines the scope of the representation, although a definition of scope that makes the obligations of representation illusory will amount to an attempt to limit liability.

 

   [15] Agreements settling a claim or a potential claim for malpractice are not prohibited by this Rule. Nevertheless, in view of the danger that a lawyer will take unfair advantage of an unrepresented client or former client, the lawyer must first advise such a person in writing of the appropriateness of independent representation in connection with such a settlement. In addition, the lawyer must give the client or former client a reasonable opportunity to find and consult independent counsel.

 

Acquiring Proprietary Interest in Litigation

   [16] Paragraph (i) states the traditional general rule that lawyers are prohibited from acquiring a proprietary interest in litigation. Like paragraph (e), the general rule has its basis in common law champerty and maintenance and is designed to avoid giving the lawyer too great an interest in the representation. In addition, when the lawyer acquires an ownership interest in the subject of the representation, it will be more difficult for a client to discharge the lawyer if the client so desires. The Rule is subject to specific exceptions developed in decisional law and continued in these Rules. The exception for certain advances of the costs of litigation is set forth in paragraph (e). In addition, paragraph (i) sets forth exceptions for liens authorized by law to secure the lawyer's fees or expenses and contracts for reasonable contingent fees. The law of each jurisdiction determines which liens are authorized by law. These may include liens granted by statute, liens originating in common law and liens acquired by contract with the client. When a lawyer acquires by contract a security interest in property other than that recovered through the lawyer's efforts in the litigation, such an acquisition is a business or financial transaction with a client and is governed by the requirements of paragraph (a). Contracts for contingent fees in civil cases are governed by Rule 1.5.

 

Client-Lawyer Sexual Relationships

   [17] The relationship between lawyer and client is a fiduciary one in which the lawyer occupies the highest position of trust and confidence. The relationship is almost always unequal; thus, a sexual relationship between lawyer and client can involve unfair exploitation of the lawyer's fiduciary role, in violation of the lawyer's basic ethical obligation not to use the trust of the client to the client's disadvantage. In addition, such a relationship presents a significant danger that, because of the lawyer's emotional involvement, the lawyer will be unable to represent the client without impairment of the exercise of independent professional judgment. Moreover, a blurred line between the professional and personal relationships may make it difficult to predict to what extent client confidences will be protected by the attorney-client evidentiary privilege, since client confidences are protected by privilege only when they are imparted in the context of the client-lawyer relationship. Because of the significant danger of harm to client interests and because the client's own emotional involvement renders it unlikely that the client could give adequate informed consent, this Rule prohibits the lawyer from having sexual relations with a client regardless of whether the relationship is consensual and regardless of the absence of prejudice to the client.

 

   [18] Sexual relationships that predate the client-lawyer relationship are not prohibited. Issues relating to the exploitation of the fiduciary relationship and client dependency are diminished when the sexual relationship existed prior to the commencement of the client-lawyer relationship. However, before proceeding with the representation in these circumstances, the lawyer should consider whether the lawyer's ability to represent the client will be materially limited by the relationship. See Rule 1.7(a)(2).

 

   [19] When the client is an organization, paragraph (j) of this Rule prohibits a lawyer for the organization (whether inside counsel or outside counsel) from having a sexual relationship with a constituent of the organization who supervises, directs or regularly consults with that lawyer concerning the organization's legal matters.

 

Imputation of Prohibitions

   [20] Under paragraph (k), a prohibition on conduct by an individual lawyer in paragraphs (a) through (i) also applies to all lawyers associated in a firm with the personally prohibited lawyer. For example, one lawyer in a firm may not enter into a business transaction with a client of another member of the firm without complying with paragraph (a), even if the first lawyer is not personally involved in the representation of the client. The prohibition set forth in paragraph (j) is personal and is not applied to associated lawyers.

 

 

§ 3-501.9. Duties to former clients.

    (a) A lawyer who has formerly represented a client in a matter shall not thereafter represent another person in the same or a substantially related matter in which that person's interests are materially adverse to the interests of the former client unless the former client gives informed consent, confirmed in writing.

    (b) A lawyer shall not knowingly represent a person in the same or a substantially related matter in which a firm with which the lawyer formerly was associated had previously represented a client

    (1) whose interests are materially adverse to that person; and

    (2) about whom the lawyer had acquired information protected by Rules 1.6 and 1.9(c) that is material to the matter; unless the former client gives informed consent, confirmed in writing.

    (c) A lawyer who has formerly represented a client in a matter or whose present or former firm has formerly represented a client in a matter shall not thereafter:

    (1) use information relating to the representation to the disadvantage of the former client except as these Rules would permit or require with respect to a client, or when the information has become generally known; or

    (2) reveal information relating to the representation except as these Rules would permit or require with respect to a client.

    (d) A lawyer shall not knowingly allow a support person to participate or assist in the representation of a current client in the same or a substantially related matter in which another lawyer or firm with which the support person formerly was associated had previously represented a client:

    (1) whose interests are materially adverse to the current client; and

    (2) about whom the support person has acquired confidential information that is material to the matter, unless the former client gives informed consent, confirmed in writing.

    (e) If a support person, who has worked on a matter, is personally prohibited from working on a particular matter under Rule 1.9(d), the lawyer or firm with which that person is presently associated will not be prohibited from representing the current client in that matter if:

    (1) the former client gives informed consent, confirmed in writing, or

    (2) the support person is screened from any personal participation in the matter to avoid communication to others in the firm of confidential information that both the support person and the firm have a legal duty to protect.

    (f) For purposes of Rules 1.9(d) and (e), a support person shall mean any person, other than a lawyer, who is associated with a lawyer or a law firm and shall include but is not necessarily limited to the following: law clerks, paralegals, legal assistants, secretaries, messengers and other support personnel employed by the law firm. Whether one is a support person is to be determined by the status of the person at the time of the participation in the representation of the client.

COMMENT

 

   [1] After termination of a client-lawyer relationship, a lawyer has certain continuing duties with respect to confidentiality and conflicts of interest and thus may not represent another client except in conformity with this Rule. Under this Rule, for example, a lawyer could not properly seek to rescind on behalf of a new client a contract drafted on behalf of the former client. So also a lawyer who has prosecuted an accused person could not properly represent the accused in a subsequent civil action against the government concerning the same transaction. Nor could a lawyer who has represented multiple clients in a matter represent one of the clients against the others in the same or a substantially related matter after a dispute arose among the clients in that matter, unless all affected clients give informed consent. See Comment [9]. Current and former government lawyers must comply with this Rule to the extent required by Rule 1.11.

 

   [2] The scope of a "matter" for purposes of this Rule depends on the facts of a particular situation or transaction. The lawyer's involvement in a matter can also be a question of degree. When a lawyer has been directly involved in a specific transaction, subsequent representation of other clients with materially adverse interests in that transaction clearly is prohibited. On the other hand, a lawyer who recurrently handled a type of problem for a former client is not precluded from later representing another client in a factually distinct problem of that type even though the subsequent representation involves a position adverse to the prior client. Similar considerations can apply to the reassignment of military lawyers between defense and prosecution functions within the same military jurisdictions. The underlying question is whether the lawyer was so involved in the matter that the subsequent representation can be justly regarded as a changing of sides in the matter in question.

 

   [3] Matters are "substantially related" for purposes of this Rule if they involve the same transaction or legal dispute or if there otherwise is a substantial risk that confidential factual information as would normally have been obtained in the prior representation would materially advance the client's position in the subsequent matter. For example, a lawyer who has represented a businessperson and learned extensive private financial information about that person may not then represent that person's spouse in seeking a divorce. Similarly, a lawyer who has previously represented a client in securing environmental permits to build a shopping center would be precluded from representing neighbors seeking to oppose rezoning of the property on the basis of environmental considerations; however, the lawyer would not be precluded, on the grounds of substantial relationship, from defending a tenant of the completed shopping center in resisting eviction for nonpayment of rent. Information that has been disclosed to the public or to other parties adverse to the former client ordinarily will not be disqualifying. Information acquired in a prior representation may have been rendered obsolete by the passage of time, a circumstance that may be relevant in determining whether two representations are substantially related. In the case of an organizational client, general knowledge of the client’s policies and practices ordinarily will not preclude a subsequent representation; on the other hand, knowledge of specific facts gained in a prior representation that are relevant to the matter in question ordinarily will preclude such a representation. A former client is not required to reveal the confidential information learned by the lawyer in order to establish a substantial risk that the lawyer has confidential information to use in the subsequent matter. A conclusion about the possession of such information may be based on the nature of the services the lawyer provided the former client and information that would in ordinary practice be learned by a lawyer providing such services.

 

Lawyers Moving Between Firms

   [4] When lawyers have been associated within a firm but then end their association, the question of whether a lawyer should undertake representation is more complicated. There are several competing considerations. First, the client previously represented by the former firm must be reasonably assured that the principle of loyalty to the client is not compromised. Second, the rule should not be so broadly cast as to preclude other persons from having reasonable choice of legal counsel. Third, the rule should not unreasonably hamper lawyers from forming new associations and taking on new clients after having left a previous association. In this connection, it should be recognized that today many lawyers practice in firms, that many lawyers to some degree limit their practice to one field or another, and that many move from one association to another several times in their careers. If the concept of imputation were applied with unqualified rigor, the result would be radical curtailment of the opportunity of lawyers to move from one practice setting to another and of the opportunity of clients to change counsel.

 

   [5] Paragraph (b) operates to disqualify the lawyer only when the lawyer involved has actual knowledge of information protected by Rules 1.6 and paragraph (c). Thus, if a lawyer while with one firm acquired no knowledge or information relating to a particular client of the firm, and that lawyer later joined another firm, neither the lawyer individually nor the second firm is disqualified from representing another client in the same or a related matter even though the interests of the two clients conflict. See Rule 1.10(b) for the restrictions on a firm once a lawyer has terminated association with the firm.

 

   [6] Application of paragraph (b) depends on a situation's particular facts, aided by inferences, deductions or working presumptions that reasonably may be made about the way in which lawyers work together. A lawyer may have general access to files of all clients of a law firm and may regularly participate in discussions of their affairs; it should be inferred that such a lawyer in fact is privy to all information about all the firm's clients. In contrast, another lawyer may have access to the files of only a limited number of clients and participate in discussions of the affairs of no other clients; in the absence of information to the contrary, it should be inferred that such a lawyer in fact is privy to information about the clients actually served but not those of other clients. In such an inquiry, the burden of proof should rest upon the firm whose disqualification is sought. As to the application of paragraph (d), the support person shall be considered to have acquired confidential information that is material to the matter unless the support person demonstrates otherwise.

 

   [7] Independent of the question of disqualification of a firm, a lawyer changing professional association has a continuing duty to preserve confidentiality of information about a client formerly represented. See Rules 1.6 and paragraph (c).

 

   [8] Paragraph (c) provides that information acquired by the lawyer in the course of representing a client may not subsequently be used or revealed by the lawyer to the disadvantage of the client. However, the fact that a lawyer has once served a client does not preclude the lawyer from using generally known information about that client when later representing another client.

 

   [9] The provisions of this Rule are for the protection of former clients and can be waived if the client gives informed consent, which consent must be confirmed in writing under paragraphs (a) and (b). See Rule 1.0(e). With regard to the effectiveness of an advance waiver, see Comment [22] to Rule 1.7. With regard to disqualification of a firm with which a lawyer is or was formerly associated, see Rule 1.10.

 

§ 3-501.10. Imputation of conflicts of interest; general rule.

   (a) While lawyers are associated in a firm, none of them shall knowingly represent a client when any one of them practicing alone would be prohibited from doing so by Rules 1.7 or 1.9, unless the prohibition is based on a personal interest of the prohibited lawyer and does not present a significant risk of materially limiting the representation of the client by the remaining lawyers in the firm.

   (b) When a lawyer has terminated an association with a firm, the firm is not prohibited from thereafter representing a person with interests materially adverse to those of a client represented by the formerly associated lawyer and not currently represented by the firm, unless:

   (1) the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and

   (2) any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9(c) that is material to the matter.

   (c) A disqualification prescribed by this rule may be waived by the affected client under the conditions stated in Rule 1.7.

   (d) The disqualification of lawyers associated in a firm with former or current government lawyers is governed by Rule 1.11.

COMMENT

 

Definition of "Firm"

   [1] For purposes of the Rules of Professional Conduct the term "firm" denotes lawyers in a law partnership, professional corporation, sole proprietorship or other association authorized to practice law; or lawyers employed in a legal services organization or the legal department of a corporation or other organization. See Rule 1.0(c). Whether two or more lawyers constitute a firm within this definition can depend on the specific facts. See Rule 1.0, Comments [2] - [4].

 

Principles of Imputed Disqualification

   [2] The rule of imputed disqualification stated in paragraph (a) gives effect to the principle of loyalty to the client as it applies to lawyers who practice in a law firm. Such situations can be considered from the premise that a firm of lawyers is essentially one lawyer for purposes of the rules governing loyalty to the client, or from the premise that each lawyer is vicariously bound by the obligation of loyalty owed by each lawyer with whom the lawyer is associated. Paragraph (a) operates only among the lawyers currently associated in a firm. When a lawyer moves from one firm to another, the situation is governed by Rules 1.9(b) and paragraph (b).

 

   [3] The rule in paragraph (a) does not prohibit representation where neither questions of client loyalty nor protection of confidential information are presented. Where one lawyer in a firm could not effectively represent a given client because of strong political beliefs, for example, but that lawyer will do no work on the case and the personal beliefs of the lawyer will not materially limit the representation by others in the firm, the firm should not be disqualified. On the other hand, if an opposing party in a case were owned by a lawyer in the law firm, and others in the firm would be materially limited in pursuing the matter because of loyalty to that lawyer, the personal disqualification of the lawyer would be imputed to all others in the firm.

 

   [4] The rule in paragraph (a) also does not prohibit representation by others in the law firm where the person prohibited from involvement in a matter is a nonlawyer, such as a paralegal or legal secretary. Nor does paragraph (a) prohibit representation if the lawyer is prohibited from acting because of events before the person became a lawyer, for example, work that the person did while a law student. See Rule 1.9(d) through (f). Such persons, however, ordinarily must be screened from any personal participation in the matter to avoid communication to others in the firm of confidential information that both the nonlawyers and the firm have a legal duty to protect. See Rules 1.0(k) and 5.3.

 

   [5] Paragraph (b) operates to permit a law firm, under certain circumstances, to represent a person with interests directly adverse to those of a client represented by a lawyer who formerly was associated with the firm. The Rule applies regardless of when the formerly associated lawyer represented the client. However, the law firm may not represent a person with interests adverse to those of a present client of the firm, which would violate Rule 1.7. Moreover, the firm may not represent the person where the matter is the same or substantially related to that in which the formerly associated lawyer represented the client and any other lawyer currently in the firm has material information protected by Rules 1.6 and 1.9(c).

 

   [6] Paragraph (c) removes imputation with the informed consent of the affected client or former client under the conditions stated in Rule 1.7. The conditions stated in Rule 1.7 require the lawyer to determine that the representation is not prohibited by Rule 1.7(b) and that each affected client or former client has given informed consent to the representation, confirmed in writing. In some cases, the risk may be so severe that the conflict may not be cured by client consent. For a discussion of the effectiveness of client waivers of conflicts that might arise in the future, see Rule 1.7, Comment [22]. For a definition of informed consent, see Rule 1.0(e).

 

   [7] Where a lawyer has joined a private firm after having represented the government, imputation is governed by Rule 1.11(b) and (c), not this Rule. Under Rule 1.11(d), where a lawyer represents the government after having served clients in private practice, nongovernmental employment or in another government agency, former-client conflicts are not imputed to government lawyers associated with the individually disqualified lawyer.

 

   [8] Where a lawyer is prohibited from engaging in certain transactions under Rule 1.8(k), and not this Rule, determines whether that prohibition also applies to other lawyers associated in a firm with the personally prohibited lawyer.

 

§ 3-501.11. Special conflicts of interest for former and current government officers and employees.

   (a) Except as law may otherwise expressly permit, a lawyer who has formerly served as a public officer or employee of the government:

   (1) is subject to Rule 1.9(c); and

   (2) shall not otherwise represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives its informed consent, confirmed in writing, to the representation.

   (b) When a lawyer is disqualified from representation under paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter unless:

   (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and

   (2) written notice is promptly given to the appropriate government agency to enable it to ascertain compliance with the provisions of this rule.

   (c) Except as law may otherwise expressly permit, a lawyer having information that the lawyer knows is confidential government information about a person acquired when the lawyer was a public officer or employee, may not represent a private client whose interests are adverse to that person in a matter in which the information could be used to the material disadvantage of that person. As used in this Rule, the term "confidential government information" means information that has been obtained under governmental authority and which, at the time this Rule is applied, the government is prohibited by law from disclosing to the public or has a legal privilege not to disclose and which is not otherwise available to the public. A firm with which that lawyer is associated may undertake or continue representation in the matter only if the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom.

   (d) Except as law may otherwise expressly permit, a lawyer currently serving as a public officer or employee:

   (1) is subject to Rules 1.7 and 1.9; and

   (2) shall not:

   (i) participate in a matter in which the lawyer participated personally and substantially while in private practice or nongovernmental employment, unless the appropriate government agency gives its informed consent, confirmed in writing; or

   (ii) negotiate for private employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially, except that a lawyer serving as a law clerk to a judge, other adjudicative officer or arbitrator may negotiate for private employment as permitted by Rule 1.12(b) and subject to the conditions stated in Rule 1.12(b).

   (e) As used in this Rule, the term "matter" includes:

   (1) any judicial or other proceeding, application, request for a ruling or other determination, contract, claim, controversy, investigation, charge, accusation, arrest or other particular matter involving a specific party or parties, and

   (2) any other matter covered by the conflict of interest rules of the appropriate government agency.

COMMENT

 

   [1] A lawyer who has served or is currently serving as a public officer or employee is personally subject to the Rules of Professional Conduct including the prohibition against concurrent conflicts of interest stated in Rule 1.7. In addition, such a lawyer may be subject to statutes and government regulations regarding conflict of interest. Such statutes and regulations may circumscribe the extent to which the government agency may give consent under this Rule. See Rule 1.0(e) for the definition of informed consent.

 

   [2] Paragraphs (a)(1), (a)(2) and (d)(1) restate the obligations of an individual lawyer who has served or is currently serving as an officer or employee of the government toward a former government or private client. Rule 1.10 is not applicable to the conflicts of interest addressed by this Rule. Rather, paragraph (b) sets forth a special imputation rule for former government lawyers that provides for screening and notice. Because of the special problems raised by imputation within a government agency, paragraph (d) does not impute the conflicts of a lawyer currently serving as an officer or employee of the government to other associated government officers or employees, although ordinarily it will be prudent to screen such lawyers.

 

   [3] Paragraphs (a)(2) and (d)(2) apply regardless of whether a lawyer is adverse to a former client and are thus designed not only to protect the former client, but also to prevent a lawyer from exploiting public office for the advantage of another client. For example, a lawyer who has pursued a claim on behalf of the government may not pursue the same claim on behalf of a later private client after the lawyer has left government service, except when authorized to do so by the government agency under paragraph (a). Similarly, a lawyer who has pursued a claim on behalf of a private client may not pursue the claim on behalf of the government, except when authorized to do so by paragraph (d). As with paragraphs (a)(1) and (d)(1), Rule 1.10 is not applicable to the conflicts of interest addressed by these paragraphs.

 

   [4] This Rule represents a balancing of interests. On the one hand, where the successive clients are a government agency and another client, public or private, the risk exists that power or discretion vested in that agency might be used for the special benefit of the other client. A lawyer should not be in a position where benefit to the other client might affect performance of the lawyer's professional functions on behalf of the government. Also, unfair advantage could accrue to the other client by reason of access to confidential government information about the client's adversary obtainable only through the lawyer's government service. On the other hand, the rules governing lawyers presently or formerly employed by a government agency should not be so restrictive as to inhibit transfer of employment to and from the government. The government has a legitimate need to attract qualified lawyers as well as to maintain high ethical standards. Thus a former government lawyer is disqualified only from particular matters in which the lawyer participated personally and substantially. The provisions for screening and waiver in paragraph (b) are necessary to prevent the disqualification rule from imposing too severe a deterrent against entering public service. The limitation of disqualification in paragraphs (a)(2) and (d)(2) to matters involving a specific party or parties, rather than extending disqualification to all substantive issues on which the lawyer worked, serves a similar function.

 

   [5] When a lawyer has been employed by one government agency and then moves to a second government agency, it may be appropriate to treat that second agency as another client for purposes of this Rule, as when a lawyer is employed by a city and subsequently is employed by a federal agency. However, because the conflict of interest is governed by paragraph (d), the latter agency is not required to screen the lawyer as paragraph (b) requires a law firm to do. The question of whether two government agencies should be regarded as the same or different clients for conflict of interest purposes is beyond the scope of these Rules. See Rule 1.13 Comment [6].

 

   [6] Paragraphs (b) and (c) contemplate a screening arrangement. See Rule 1.0(k) (requirements for screening procedures). These paragraphs do not prohibit a lawyer from receiving a salary or partnership share established by prior independent agreement, but that lawyer may not receive compensation directly relating the lawyer's compensation to the fee in the matter in which the lawyer is disqualified.

 

   [7] Notice, including a description of the screened lawyer's prior representation and of the screening procedures employed, generally should be given as soon as practicable after the need for screening becomes apparent.

 

   [8] Paragraph (c) operates only when the lawyer in question has knowledge of the information, which means actual knowledge; it does not operate with respect to information that merely could be imputed to the lawyer.

 

   [9] Paragraphs (a) and (d) do not prohibit a lawyer from jointly representing a private party and a government agency when doing so is permitted by Rule 1.7 and is not otherwise prohibited by law.

 

   [10] For purposes of paragraph (e) of this Rule, a "matter" may continue in another form. In determining whether two particular matters are the same, the lawyer should consider the extent to which the matters involve the same basic facts, the same or related parties, and the time elapsed.

 

§ 3-501.12. Former judge, arbitrator, mediator, or other third-party neutral.

   (a) Except as stated in paragraph (d), a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a judge or other adjudicative officer or law clerk to such a person or as an arbitrator, mediator or other third-party neutral, unless all parties to the proceeding give informed consent, confirmed in writing.

   (b) A lawyer shall not negotiate for employment with any person who is involved as a party or as lawyer for a party in a matter in which the lawyer is participating personally and substantially as a judge or other adjudicative officer or as an arbitrator, mediator or other third-party neutral. A lawyer serving as a law clerk to a judge or other adjudicative officer may negotiate for employment with a party or lawyer involved in a matter in which the clerk is participating personally and substantially, but only after the lawyer has notified the judge or other adjudicative officer.

   (c) If a lawyer is disqualified by paragraph (a), no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in the matter unless:

   (1) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee therefrom; and

   (2) written notice is promptly given to the parties and any appropriate tribunal to enable them to ascertain compliance with the provisions of this rule.

   (d) An arbitrator selected as a partisan of a party in a multimember arbitration panel is not prohibited from subsequently representing that party.

COMMENT

 

   [1] This Rule generally parallels Rule 1.11. The term "personally and substantially" signifies that a judge who was a member of a multimember court, and thereafter left judicial office to practice law, is not prohibited from representing a client in a matter pending in the court, but in which the former judge did not participate. So also the fact that a former judge exercised administrative responsibility in a court does not prevent the former judge from acting as a lawyer in a matter where the judge had previously exercised remote or incidental administrative responsibility that did not affect the merits. Compare the Comment to Rule 1.11. The term "adjudicative officer" includes such officials as judges pro tempore, referees, special masters, hearing officers and other parajudicial officers, and also lawyers who serve as part-time judges. Compliance Canons A(2), B(2) and C of the Model Code of Judicial Conduct provide that a part-time judge, judge pro tempore or retired judge recalled to active service, may not "act as a lawyer in any proceeding in which he served as a judge or in any other proceeding related thereto." Although phrased differently from this Rule, those Rules correspond in meaning.

 

   [2] Like former judges, lawyers who have served as arbitrators, mediators or other third-party neutrals may be asked to represent a client in a matter in which the lawyer participated personally and substantially. This Rule forbids such representation unless all of the parties to the proceedings give their informed consent, confirmed in writing. See Rule 1.0(e) and (b). Other law or codes of ethics governing third-party neutrals may impose more stringent standards of personal or imputed disqualification. See Rule 2.3.

 

   [3] Although lawyers who serve as third-party neutrals do not have information concerning the parties that is protected under Rule 1.6, they typically owe the parties an obligation of confidentiality under law or codes of ethics governing third-party neutrals. Thus, paragraph (c) provides that conflicts of the personally disqualified lawyer will be imputed to other lawyers in a law firm unless the conditions of this paragraph are met.

 

   [4] Requirements for screening procedures are stated in Rule 1.0(k). Paragraph (c)(1) does not prohibit the screened lawyer from receiving a salary or partnership share established by prior independent agreement, but that lawyer may not receive compensation directly related to the matter in which the lawyer is disqualified.

 

   [5] Notice, including a description of the screened lawyer's prior representation and of the screening procedures employed, generally should be given as soon as practicable after the need for screening becomes apparent.

 

§ 3-501.13. Organization as client.

   (a) A lawyer employed or retained by an organization represents the organization acting through its duly authorized constituents.

   (b) If a lawyer for an organization knows that an officer, employee or other person associated with the organization is engaged in action, intends to act or refuses to act in a matter related to the representation that is a violation of a legal obligation to the organization, or a violation of law that reasonably might be imputed to the organization, and that is likely to result in substantial injury to the organization, then the lawyer shall proceed as is reasonably necessary in the best interest of the organization. Unless the lawyer reasonably believes that it is not necessary in the best interest of the organization to do so, the lawyer shall refer the matter to higher authority in the organization, including, if warranted by the circumstances to the highest authority that can act on behalf of the organization as determined by applicable law.

   (c) Except as provided in paragraph (d), if

   (1) despite the lawyer's efforts in accordance with paragraph (b) the highest authority that can act on behalf of the organization insists upon or fails to address in a timely and appropriate manner an action, or a refusal to act, that is clearly a violation of law, and

   (2) the lawyer reasonably believes that the violation is reasonably certain to result in substantial injury to the organization, then the lawyer may reveal information relating to the representation whether or not Rule 1.6 permits such disclosure, but only if and to the extent the lawyer reasonably believes necessary to prevent substantial injury to the organization.

   (d) Paragraph (c) shall not apply with respect to information relating to a lawyer’s representation of an organization to investigate an alleged violation of law, or to defend the organization or an officer, employee or other constituent associated with the organization against a claim arising out of an alleged violation of law.

   (e) A lawyer who reasonably believes that he or she has been discharged because of the lawyer’s actions taken pursuant to paragraphs (b) or (c), or who withdraws under circumstances that require or permit the lawyer to take action under either of those paragraphs, shall proceed as the lawyer reasonably believes necessary to assure that the organization’s highest authority is informed of the lawyer’s discharge or withdrawal.

   (f) In dealing with an organization's directors, officers, employees, members, shareholders or other constituents, a lawyer shall explain the identity of the client when the lawyer knows or reasonably should know that the organization's interests are adverse to those of the constituents with whom the lawyer is dealing.

   (g) A lawyer representing an organization may also represent any of its directors, officers, employees, members, shareholders or other constituents, subject to the provisions of Rule 1.7. If the organization's consent to the dual representation is required by Rule 1.7, the consent shall be given by an appropriate official of the organization other than the individual who is to be represented, or by the shareholders.

COMMENT

 

The Entity as the Client

   [1] An organizational client is a legal entity, but it cannot act except through its officers, directors, employees, shareholders and other constituents. Officers, directors, employees and shareholders are the constituents of the corporate organizational client. The duties defined in this Comment apply equally to unincorporated associations. "Other constituents" as used in this Comment means the positions equivalent to officers, directors, employees and shareholders held by persons acting for organizational clients that are not corporations.

 

   [2] When one of the constituents of an organizational client communicates with the organization's lawyer in that person's organizational capacity, the communication is protected by Rule 1.6. Thus, by way of example, if an organizational client requests its lawyer to investigate allegations of wrongdoing, interviews made in the course of that investigation between the lawyer and the client's employees or other constituents are covered by Rule 1.6. This does not mean, however, that constituents of an organizational client are the clients of the lawyer. The lawyer may not disclose to such constituents information relating to the representation except for disclosures explicitly or impliedly authorized by the organizational client in order to carry out the representation or as otherwise permitted by Rule 1.6.

 

   [3] When constituents of the organization make decisions for it, the decisions ordinarily must be accepted by the lawyer even if their utility or prudence is doubtful. Decisions concerning policy and operations, including ones entailing serious risk, are not as such in the lawyer's province. Paragraph (b) makes clear, however, that when the lawyer knows that the organization is likely to be substantially injured by action of an officer or other constituent that violates a legal obligation to the organization or is in violation of law that might be imputed to the organization, the lawyer must proceed as is reasonably necessary in the best interest of the organization. As defined in Rule 1.0(f), knowledge can be inferred from circumstances, and a lawyer cannot ignore the obvious.

 

   [4] In determining how to proceed under paragraph (b), the lawyer should give due consideration to the seriousness of the violation and its consequences, the responsibility in the organization and the apparent motivation of the person involved, the policies of the organization concerning such matters, and any other relevant considerations. Often, referral to a higher authority would be necessary. In some circumstances, however, it may be appropriate for the lawyer to ask the constituent to reconsider the matter or get another legal opinion; for example, if the circumstances involve a constituent’s innocent misunderstanding of law and subsequent acceptance of the lawyer’s advice, the lawyer may reasonably conclude that the best interest of the organization does not require that the matter be referred to higher authority. If a constituent persists in conduct contrary to the lawyer’s advice, it will be necessary for the lawyer to take steps to have the matter reviewed by a higher authority in the organization. If the matter is of sufficient seriousness and importance or urgency to the organization, referral to higher authority in the organization may be necessary even if the lawyer has not communicated with the constituent. Any measures taken should, to the extent practicable, minimize the risk of revealing information relating to the representation to persons outside the organization. Even in circumstances where a lawyer is not obligated by this Rule to proceed, a lawyer may bring to the attention of an organizational client, including its highest authority, matters that the lawyer reasonably believes to be of sufficient importance to warrant doing so in the best interest of the organization.

 

   [5] Paragraph (b) also makes clear that when it is reasonably necessary to enable the organization to address the matter in a timely and appropriate manner, the lawyer must refer the matter to higher authority, including, if warranted by the circumstances, the highest authority that can act on behalf of the organization under applicable law. The organization's highest authority to whom a matter may be referred ordinarily will be the board of directors or similar governing body. However, applicable law may prescribe that under certain conditions the highest authority reposes elsewhere, for example, in the independent directors of a corporation.

 

Relation to Other Rules

   [6] The authority and responsibility provided in this Rule are concurrent with the authority and responsibility provided in other Rules. In particular, this Rule does not limit or expand the lawyer's responsibility under Rules 1.8, 1.16, 3.3 or 4.1. Paragraph (c) of this Rule supplements Rule 1.6(b) by providing an additional basis upon which the lawyer may reveal information relating to the representation, but does not modify, restrict, or limit the provisions of Rule 1.6(b)(1)–(4). Under paragraph (c), the lawyer may reveal such information only when the organization’s highest authority insists upon or fails to address threatened or ongoing action that is clearly a violation of law, and then only to the extent the lawyer reasonably believes necessary to prevent reasonably certain substantial injury to the organization. It is not necessary that the lawyer’s services be used in furtherance of the violation, but it is required that the matter be related to the lawyer’s representation of the organization. If the lawyer's services are being used by an organization to further a crime or fraud by the organization, Rule 1.6(b)(1) may permit the lawyer to disclose confidential information. In such circumstances, Rule 1.2(c) may also be applicable, in which event, withdrawal from the representation under Rule 1.16(a)(1) may be required.

 

   [7] Paragraph (d) makes clear that the authority of a lawyer to disclose information relating to a representation in circumstances described in paragraph (c) does not apply with respect to information relating to a lawyer’s engagement by an organization to investigate an alleged violation of law or to defend the organization or an officer, employee or other person associated with the organization against a claim arising out of an alleged violation of law. This is necessary in order to enable organizational clients to enjoy the full benefits of legal counsel in conducting an investigation or defending against a claim.

 

   [8] A lawyer who reasonably believes that he or she has been discharged because of the lawyer’s actions taken pursuant to paragraph (b) or (c), or who withdraws in circumstances that require or permit the lawyer to take action under either of these paragraphs, must proceed as the lawyer reasonably believes necessary to assure that the organization’s highest authority is informed of the lawyer’s discharge or withdrawal.

 

Government Agency

   [9] The duty defined in this Rule applies to governmental organizations. Defining precisely the identity of the client and prescribing the resulting obligations of such lawyers may be more difficult in the government context and is a matter beyond the scope of these Rules. See Scope [18]. Although in some circumstances the client may be a specific agency, it may also be a branch of government, such as the executive branch, or the government as a whole. For example, if the action or failure to act involves the head of a bureau, either the department of which the bureau is a part or the relevant branch of government may be the client for purposes of this Rule. Moreover, in a matter involving the conduct of government officials, a government lawyer may have authority under applicable law to question such conduct more extensively than that of a lawyer for a private organization in similar circumstances. Thus, when the client is a governmental organization, a different balance may be appropriate between maintaining confidentiality and assuring that the wrongful act is prevented or rectified, for public business is involved. In addition, duties of lawyers employed by the government or lawyers in military service may be defined by statutes and regulation. This Rule does not limit that authority. See Scope.

 

Clarifying the Lawyer's Role

   [10] There are times when the organization's interest may be or become adverse to those of one or more of its constituents. In such circumstances, the lawyer should advise any constituent, whose interest the lawyer finds adverse to that of the organization of the conflict or potential conflict of interest, that the lawyer cannot represent such constituent, and that such person may wish to obtain independent representation. Care must be taken to assure that the individual understands that, when there is such adversity of interest, the lawyer for the organization cannot provide legal representation for that constituent individual, and that discussions between the lawyer for the organization and the individual may not be privileged.

 

  [11] Whether such a warning should be given by the lawyer for the organization to any constituent individual may turn on the facts of each case.

 

Dual Representation

   [12] Paragraph (g) recognizes that a lawyer for an organization may also represent a principal officer or major shareholder.

 

Derivative Actions

   [13] Under generally prevailing law, the shareholders or members of a corporation may bring suit to compel the directors to perform their legal obligations in the supervision of the organization. Members of unincorporated associations have essentially the same right. Such an action may be brought nominally by the organization, but usually is, in fact, a legal controversy over management of the organization.

 

   [14] The question can arise whether counsel for the organization may defend such an action. The proposition that the organization is the lawyer's client does not alone resolve the issue. Most derivative actions are a normal incident of an organization's affairs, to be defended by the organization's lawyer like any other suit. However, if the claim involves serious charges of wrongdoing by those in control of the organization, a conflict may arise between the lawyer's duty to the organization and the lawyer's relationship with the board. In those circumstances, Rule 1.7 governs who should represent the directors and the organization.

 

§ 3-501.14. Client with diminished capacity.

   (a) When a client's capacity to make adequately considered decisions in connection with a representation is diminished, whether because of minority, mental impairment or for some other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer relationship with the client.

   (b) When the lawyer reasonably believes that the client has diminished capacity, is at risk of substantial physical, financial or other harm unless action is taken and cannot adequately act in the client's own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator or guardian.

   (c) Information relating to the representation of a client with diminished capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client's interests.

COMMENT

 

   [1] The normal client-lawyer relationship is based on the assumption that the client, when properly advised and assisted, is capable of making decisions about important matters. When the client is a minor or suffers from a diminished mental capacity, however, maintaining the ordinary client-lawyer relationship may not be possible in all respects. In particular, a severely incapacitated person may have no power to make legally binding decisions. Nevertheless, a client with diminished capacity often has the ability to understand, deliberate upon, and reach conclusions about matters affecting the client's own well-being. For example, children as young as 5 or 6 years of age, and certainly those of 10 or 12, are regarded as having opinions that are entitled to weight in legal proceedings concerning their custody. So also, it is recognized that some persons of advanced age can be quite capable of handling routine financial matters while needing special legal protection concerning major transactions.

 

   [2] The fact that a client suffers a disability does not diminish the lawyer's obligation to treat the client with attention and respect. Even if the person has a legal representative, the lawyer should as far as possible accord the represented person the status of client, particularly in maintaining communication.

 

   [3] The client may wish to have family members or other persons participate in discussions with the lawyer. When necessary to assist in the representation, the presence of such persons generally does not affect the applicability of the attorney-client evidentiary privilege. Nevertheless, the lawyer must keep the client's interests foremost and, except for protective action authorized under paragraph (b), must to look to the client, and not family members, to make decisions on the client's behalf.

 

   [4] If a legal representative has already been appointed for the client, the lawyer should ordinarily look to the representative for decisions on behalf of the client. In matters involving a minor, whether the lawyer should look to the parents as natural guardians may depend on the type of proceeding or matter in which the lawyer is representing the minor. If the lawyer represents the guardian as distinct from the ward, and is aware that the guardian is acting adversely to the ward's interest, the lawyer may have an obligation to prevent or rectify the guardian's misconduct. See Rule 1.2(c).

 

Taking Protective Action

   [5] If a lawyer reasonably believes that a client is at risk of substantial physical, financial or other harm unless action is taken, and that a normal client-lawyer relationship cannot be maintained as provided in paragraph (a) because the client lacks sufficient capacity to communicate or to make adequately considered decisions in connection with the representation, then paragraph (b) permits the lawyer to take protective measures deemed necessary. Such measures could include: consulting with family members, using a reconsideration period to permit clarification or improvement of circumstances, using voluntary surrogate decisionmaking tools such as durable powers of attorney or consulting with support groups, professional services, adult-protective agencies or other individuals or entities that have the ability to protect the client. In taking any protective action, the lawyer should be guided by such factors as the wishes and values of the client to the extent known, the client's best interests and the goals of intruding into the client's decisionmaking autonomy to the least extent feasible, maximizing client capacities and respecting the client's family and social connections.

 

   [6] In determining the extent of the client's diminished capacity, the lawyer should consider and balance such factors as: the client's ability to articulate reasoning leading to a decision, variability of state of mind and ability to appreciate consequences of a decision; the substantive fairness of a decision; and the consistency of a decision with the known long-term commitments and values of the client. In appropriate circumstances, the lawyer may seek guidance from an appropriate diagnostician.

 

   [7] If a legal representative has not been appointed, the lawyer should consider whether appointment of a guardian ad litem, conservator or guardian is necessary to protect the client's interests. Thus, if a client with diminished capacity has substantial property that should be sold for the client's benefit, effective completion of the transaction may require appointment of a legal representative. In addition, rules of procedure in litigation sometimes provide that minors or persons with diminished capacity must be represented by a guardian or next friend if they do not have a general guardian. In many circumstances, however, appointment of a legal representative may be more expensive or traumatic for the client than circumstances in fact require. Evaluation of such circumstances is a matter entrusted to the professional judgment of the lawyer. In considering alternatives, however, the lawyer should be aware of any law that requires the lawyer to advocate the least restrictive action on behalf of the client.

 

Disclosure of the Client's Condition

   [8] Disclosure of the client's diminished capacity could adversely affect the client's interests. For example, raising the question of diminished capacity could, in some circumstances, lead to proceedings for involuntary commitment. Information relating to the representation is protected by Rule 1.6. Therefore, unless authorized to do so, the lawyer may not disclose such information. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized to make the necessary disclosures, even when the client directs the lawyer to the contrary. Nevertheless, given the risks of disclosure, paragraph (c) limits what the lawyer may disclose in consulting with other individuals or entities or seeking the appointment of a legal representative. At the very least, the lawyer should determine whether it is likely that the person or entity consulted with will act adversely to the client's interests before discussing matters related to the client. The lawyer's position in such cases is an unavoidably difficult one.

 

Emergency Legal Assistance

   [9] In an emergency where the health, safety or a financial interest of a person with seriously diminished capacity is threatened with imminent and irreparable harm, a lawyer may take legal action on behalf of such a person even though the person is unable to establish a client-lawyer relationship or to make or express considered judgments about the matter, when the person or another acting in good faith on that person's behalf has consulted with the lawyer. Even in such an emergency, however, the lawyer should not act unless the lawyer reasonably believes that the person has no other lawyer, agent or other representative available. The lawyer should take legal action on behalf of the person only to the extent reasonably necessary to maintain the status quo or otherwise avoid imminent and irreparable harm. A lawyer who undertakes to represent a person in such an exigent situation has the same duties under these Rules as the lawyer would with respect to a client.

 

   [10] A lawyer who acts on behalf of a person with seriously diminished capacity in an emergency should keep the confidences of the person as if dealing with a client, disclosing them only to the extent necessary to accomplish the intended protective action. The lawyer should disclose to any tribunal involved and to any other counsel involved the nature of his or her relationship with the person. The lawyer should take steps to regularize the relationship or implement other protective solutions as soon as possible. Normally, a lawyer would not seek compensation for such emergency actions taken.

 

§ 3-501.15. Safekeeping property.

   (a) A lawyer shall hold property of clients or third persons that is in a lawyer's possession in connection with a representation separate from the lawyer's own property. Funds shall be kept in a separate account maintained in the state where the lawyer's office is situated. Other property shall be identified as such and appropriately safeguarded. Complete records of such account funds and other property shall be kept by the lawyer and shall be preserved for a period of 5 years after termination of the representation.

   (b) A lawyer may deposit the lawyer's own funds in a client trust account for the sole purpose of paying bank service charges on that account, but only in an amount necessary for that purpose.

   (c) A lawyer shall deposit into a client trust account legal fees and expenses that have been paid in advance, to be withdrawn by the lawyer only as fees are earned or expenses incurred.

   (d) Upon receiving funds or other property in which a client or third person has an interest, a lawyer shall promptly notify the client or third person. Except as stated in this rule or otherwise permitted by law or by agreement with the client, a lawyer shall promptly deliver to the client or third person any funds or other property that the client or third person is entitled to receive and, upon request by the client or third person, shall promptly render a full accounting regarding such property.

   (e) When in the course of representation a lawyer is in possession of property in which two or more persons (one of whom may be the lawyer) claim interests, the property shall be kept separate by the lawyer until the dispute is resolved. The lawyer shall promptly distribute all portions of the property as to which the interests are not in dispute.

COMMENT

 

   [1] A lawyer should hold property of others with the care required of a professional fiduciary. Securities should be kept in a safe deposit box, except when some other form of safekeeping is warranted by special circumstances. All property that is the property of clients or third persons, including prospective clients, must be kept separate from the lawyer's business and personal property and, if monies, in one or more trust accounts. Separate trust accounts may be warranted when administering estate monies or acting in similar fiduciary capacities. A lawyer should maintain on a current basis books and records in accordance with generally accepted accounting practice and comply with any recordkeeping rules established by law or court order. See, e.g., ABA Model Financial Recordkeeping Rule.

 

   [2] While normally it is impermissible to commingle the lawyer's own funds with client funds, paragraph (b) provides that it is permissible when necessary to pay bank service charges on that account. Accurate records must be kept regarding which part of the funds are the lawyer's.

 

   [3] Lawyers often receive funds from which the lawyer's fee will be paid. The lawyer is not required to remit to the client funds that the lawyer reasonably believes represent fees owed. However, a lawyer may not hold funds to coerce a client into accepting the lawyer's contention. The disputed portion of the funds must be kept in a trust account and the lawyer should suggest means for prompt resolution of the dispute, such as arbitration. The undisputed portion of the funds shall be promptly distributed.

 

   [4] Paragraph (e) also recognizes that third parties may have lawful claims against specific funds or other property in a lawyer's custody, such as a client's creditor who has a lien on funds recovered in a personal injury action. A lawyer may have a duty under applicable law to protect such third-party claims against wrongful interference by the client. In such cases, when the third-party claim is not frivolous under applicable law, the lawyer must refuse to surrender the property to the client until the claims are resolved. A lawyer should not unilaterally assume to arbitrate a dispute between the client and the third party, but, when there are substantial grounds for dispute as to the person entitled to the funds, the lawyer may file an action to have a court resolve the dispute.

 

   [5] The obligations of a lawyer under this Rule are independent of those arising from activity other than rendering legal services. For example, a lawyer who serves only as an escrow agent is governed by the applicable law relating to fiduciaries even though the lawyer does not render legal services in the transaction and is not governed by this Rule.

 

   [6] A lawyers' fund for client protection provides a means through the collective efforts of the bar to reimburse persons who have lost money or property as a result of dishonest conduct of a lawyer. Where such a fund has been established, a lawyer must participate where it is mandatory, and, even when it is voluntary, the lawyer should participate.

 

§ 3-501.16. Declining or terminating representation.

   (a) Except as stated in paragraph (c), a lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if:

   (1) the representation will result in violation of the Rules of Professional Conduct or other law;

   (2) the lawyer's physical or mental condition materially impairs the lawyer's ability to represent the client; or

   (3) the lawyer is discharged.

   (b) Except as stated in paragraph (c), a lawyer may withdraw from representing a client if:

   (1) withdrawal can be accomplished without material adverse effect on the interests of the client;

   (2) the client persists in a course of action involving the lawyer's services that the lawyer reasonably believes is criminal or fraudulent;

   (3) the client has used the lawyer's services to perpetrate a crime or fraud;

   (4) the client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement;

   (5) the client fails substantially to fulfill an obligation to the lawyer regarding the lawyer's services and has been given reasonable warning that the lawyer will withdraw unless the obligation is fulfilled;

   (6) the representation will result in an unreasonable financial burden on the lawyer or has been rendered unreasonably difficult by the client; or

   (7) other good cause for withdrawal exists.

   (c) A lawyer must comply with applicable law requiring notice to or permission of a tribunal when terminating a representation. When ordered to do so by a tribunal, a lawyer shall continue representation notwithstanding good cause for terminating the representation.

   (d) Upon termination of representation, a lawyer shall take steps to the extent reasonably practicable to protect a client's interests, such as giving reasonable notice to the client, allowing time for employment of other counsel, surrendering papers and property to which the client is entitled and refunding any advance payment of fee or expense that has not been earned or incurred. The lawyer may retain papers relating to the client to the extent permitted by other law.

COMMENT

 

   [1] A lawyer should not accept representation in a matter unless it can be performed competently, promptly, without improper conflict of interest and to completion. Ordinarily, a representation in a matter is completed when the agreed-upon assistance has been concluded. See Rules 1.2(b) and 6.5. See also Rule 1.3, Comment [4].

 

Mandatory Withdrawal

   [2] A lawyer ordinarily must decline or withdraw from representation if the client demands that the lawyer engage in conduct that is illegal or violates the Rules of Professional Conduct or other law. The lawyer is not obliged to decline or withdraw simply because the client suggests such a course of conduct; a client may make such a suggestion in the hope that a lawyer will not be constrained by a professional obligation.

 

   [3] When a lawyer has been appointed to represent a client, withdrawal ordinarily requires approval of the appointing authority. See also Rule 6.2. Similarly, court approval or notice to the court is often required by applicable law before a lawyer withdraws from pending litigation. Difficulty may be encountered if withdrawal is based on the client's demand that the lawyer engage in unprofessional conduct. The court may request an explanation for the withdrawal, while the lawyer may be bound to keep confidential the facts that would constitute such an explanation. The lawyer's statement that professional considerations require termination of the representation ordinarily should be accepted as sufficient. Lawyers should be mindful of their obligations to both clients and the court under Rules 1.6 and 3.3.

 

Discharge

   [4] A client has a right to discharge a lawyer at any time, with or without cause, subject to liability for payment for the lawyer's services. Where future dispute about the withdrawal may be anticipated, it may be advisable to prepare a written statement reciting the circumstances.

 

   [5] Whether a client can discharge appointed counsel may depend on applicable law. A client seeking to do so should be given a full explanation of the consequences. These consequences may include a decision by the appointing authority that appointment of successor counsel is unjustified, thus requiring self-representation by the client.

 

   [6] If the client has severely diminished capacity, the client may lack the legal capacity to discharge the lawyer, and in any event the discharge may be seriously adverse to the client's interests. The lawyer should make special effort to help the client consider the consequences and may take reasonably necessary protective action as provided in Rule 1.14.

 

Optional Withdrawal

   [7] A lawyer may withdraw from representation in some circumstances. The lawyer has the option to withdraw if it can be accomplished without material adverse effect on the client's interests. Withdrawal is also justified if the client persists in a course of action that the lawyer reasonably believes is criminal or fraudulent, for a lawyer is not required to be associated with such conduct even if the lawyer does not further it. Withdrawal is also permitted if the lawyer's services were misused in the past even if that would materially prejudice the client. The lawyer may also withdraw where the client insists on taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement.

 

   [8] A lawyer may withdraw if the client refuses to abide by the terms of an agreement relating to the representation, such as an agreement concerning fees or court costs or an agreement limiting the objectives of the representation.

 

Assisting the Client Upon Withdrawal

   [9] Even if the lawyer has been unfairly discharged by the client, a lawyer must take all reasonable steps to mitigate the consequences to the client. The lawyer may retain papers as security for a fee only to the extent permitted by law. See Rule 1.15.

 

§ 3-501.17. Sale of law practice.

   A lawyer or a law firm may sell or purchase a law practice, or an area of law practice, including good will, if the following conditions are satisfied:

   (a) The entire practice, or the entire area of practice, is sold to one or more lawyers or law firms;

   (b) The seller gives written notice to each of the seller's clients regarding:

   (1) the proposed sale;

   (2) the client's right to retain other counsel or to take possession of the file; and

   (3) the fact that the client's consent to the transfer of the client's files will be presumed if the client does not take any action or does not otherwise object within ninety (90) days of receipt of the notice.

If a client cannot be given notice, that matter shall not be included in the sale and the sale otherwise shall be unaffected and the seller shall comply with the requirements of Rule 1.16 for withdrawal from representation.

   (c) The fees charged clients shall not be increased by reason of the sale.

COMMENT

 

   [1] The practice of law is a profession, not merely a business. Clients are not commodities that can be purchased and sold at will. Pursuant to this Rule, when a lawyer or an entire firm ceases to practice, or ceases to practice in an area of law, and other lawyers or firms take over the representation, the selling lawyer or firm may obtain compensation for the reasonable value of the practice as may withdrawing partners of law firms. See Rules 5.4 and 5.6.

 

Sale of Entire Practice or Entire Area of Practice

   [2] The Rule requires that the seller's entire practice, or an entire area of practice, be sold. The prohibition against sale of less than an entire practice area protects those clients whose matters are less lucrative and who might find it difficult to secure other counsel if a sale could be limited to substantial fee-generating matters. The purchasers are required to undertake all client matters in the practice or practice area, subject to client consent. This requirement is satisfied, however, even if a purchaser is unable to undertake a particular client matter because of a conflict of interest.

 

Client Confidences, Consent and Notice

   [3] Negotiations between seller and prospective purchaser prior to disclosure of information relating to a specific representation of an identifiable client no more violate the confidentiality provisions of Model Rule 1.6 than do preliminary discussions concerning the possible association of another lawyer or mergers between firms, with respect to which client consent is not required. Providing the purchaser access to client-specific information relating to the representation and to the file, however, requires client consent. The Rule provides that before such information can be disclosed by the seller to the purchaser the client must be given actual written notice of the contemplated sale, including the identity of the purchaser, and must be told that the decision to consent or make other arrangements must be made within 90 days. If nothing is heard from the client within that time, consent to the sale is presumed.

 

   [4] All elements of client autonomy, including the client's absolute right to discharge a lawyer and transfer the representation to another, survive the sale of the practice or area of practice.

 

Fee Arrangements Between Client and Purchaser

   [5] The sale may not be financed by increases in fees charged the clients of the practice. Existing arrangements between the seller and the client as to fees and the scope of the work must be honored by the purchaser.

 

Other Applicable Ethical Standards

   [6] Lawyers participating in the sale of a law practice or a practice area are subject to the ethical standards applicable to involving another lawyer in the representation of a client. These include, for example, the seller's obligation to exercise competence in identifying a purchaser qualified to assume the practice and the purchaser's obligation to undertake the representation competently (see Rule 1.1); the obligation to avoid disqualifying conflicts, and to secure the client's informed consent for those conflicts that can be agreed to (see Rule 1.7 regarding conflicts and Rule 1.0(e) for the definition of informed consent); and the obligation to protect information relating to the representation (see Rules 1.6 and 1.9).

 

   [7] If approval of the substitution of the purchasing lawyer for the selling lawyer is required by the rules of any tribunal in which a matter is pending, such approval must be obtained before the matter can be included in the sale (see Rule 1.16).

 

Applicability of the Rule

   [8] This Rule applies to the sale of a law practice of a deceased, disabled, retiring or disappeared lawyer. Thus, the seller may be represented by a non-lawyer representative not subject to these Rules. Since, however, no lawyer may participate in a sale of a law practice which does not conform to the requirements of this Rule, the representatives of the seller as well as the purchasing lawyer can be expected to see to it that they are met.

 

   [9] Admission to or retirement from a law partnership or professional association, retirement plans and similar arrangements, and a sale of tangible assets of a law practice, do not constitute a sale or purchase governed by this Rule.

 

   [10] This Rule does not apply to the transfers of legal representation between lawyers when such transfers are unrelated to the sale of a practice or an area of practice.

 

§ 3-501.18. Duties to prospective client.

   (a) A person who discusses with a lawyer the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client.

   (b) Even when no client-lawyer relationship ensues, a lawyer who has had discussions with a prospective client shall not use or reveal information learned in the consultation, except as Rule 1.9 would permit with respect to information of a former client.

   (c) A lawyer subject to paragraph (b) shall not represent a client with interests materially adverse to those of a prospective client in the same or a substantially related matter if the lawyer received information from the prospective client that could be significantly harmful to that person in the matter, except as provided in paragraph (d). If a lawyer is disqualified from representation under this paragraph, no lawyer in a firm with which that lawyer is associated may knowingly undertake or continue representation in such a matter, except as provided in paragraph (d).

   (d) When the lawyer has received disqualifying information as defined in paragraph (c), representation is permissible if:

   (1) both the affected client and the prospective client have given informed consent, confirmed in writing, or:

   (2) the lawyer who received the information took reasonable measures to avoid exposure to more disqualifying information than was reasonably necessary to determine whether to represent the prospective client; and

   (i) the disqualified lawyer is timely screened from any participation in the matter and is apportioned no part of the fee there from; and

   (ii) written notice is promptly given to the prospective client.

COMMENT

 

   [1] Prospective clients, like clients, may disclose information to a lawyer, place documents or other property in the lawyer's custody or rely on the lawyer's advice. A lawyer's discussions with a prospective client usually are limited in time and depth and leave both the prospective client and the lawyer free (and sometimes required) to proceed no further. Hence, prospective clients should receive some but not all of the protection afforded clients.

 

   [2] Not all persons who communicate information to a lawyer are entitled to protection under this Rule. A person who communicates information unilaterally to a lawyer, without any reasonable expectation that the lawyer is willing to discuss the possibility of forming a client-lawyer relationship, is not a "prospective client" within the meaning of paragraph (a).

 

   [3] It is often necessary for a prospective client to reveal information to the lawyer during an initial consultation prior to the decision about formation of a client-lawyer relationship. The lawyer often must learn such information to determine whether there is a conflict of interest with an existing client and whether the matter is one that the lawyer is willing to undertake. Paragraph (b) prohibits the lawyer from using or revealing that information, except as permitted by Rule 1.9, even if the client or lawyer decides not to proceed with the representation. The duty exists regardless of how brief the initial conference may be.

 

   [4] In order to avoid acquiring disqualifying information from a prospective client, a lawyer considering whether or not to undertake a new matter should limit the initial interview to only such information as reasonably appears necessary for that purpose. Where the information indicates that a conflict of interest or other reason for non-representation exists, the lawyer should so inform the prospective client or decline the representation. If the prospective client wishes to retain the lawyer, and if consent is possible under Rule 1.7, then consent from all affected present or former clients must be obtained before accepting the representation.

 

   [5] A lawyer may condition conversations with a prospective client on the person's informed consent that no information disclosed during the consultation will prohibit the lawyer from representing a different client in the matter. See Rule 1.0(e) for the definition of informed consent. If the agreement expressly so provides, the prospective client may also consent to the lawyer's subsequent use of information received from the prospective client.

 

   [6] Even in the absence of an agreement, under paragraph (c), the lawyer is not prohibited from representing a client with interests adverse to those of the prospective client in the same or a substantially related matter unless the lawyer has received from the prospective client information that could be significantly harmful if used in the matter.

 

   [7] Under paragraph (c), the prohibition in this Rule is imputed to other lawyers as provided in Rule 1.10, but, under paragraph (d)(1), imputation may be avoided if the lawyer obtains the informed consent, confirmed in writing, of both the prospective and affected clients. In the alternative, imputation may be avoided if the conditions of paragraph (d)(2) are met and all disqualified lawyers are timely screened and written notice is promptly given to the prospective client. See Rule 1.0(k) (requirements for screening procedures). Paragraph (d)(2)(i) does not prohibit the screened lawyer from receiving a salary or partnership share established by prior independent agreement, but that lawyer may not receive compensation directly related to the matter in which the lawyer is disqualified.

 

   [8] Notice, including a general description of the subject matter about which the lawyer was consulted, and of the screening procedures employed, generally should be given as soon as practicable after the need for screening becomes apparent.

 

   [9] For the duty of competence of a lawyer who gives assistance on the merits of a matter to a prospective client, see Rule 1.1. For a lawyer's duties when a prospective client entrusts valuables or papers to the lawyer's care, see Rule 1.15.

 

§§ 3-502.1 to 3-502.3: Counselor

§ 3-502.1. Advisor.

   In representing a client, a lawyer shall exercise independent professional judgment and render candid advice. In rendering advice, a lawyer may refer not only to law but to other considerations such as moral, economic, social and political factors, that may be relevant to the client's situation.

COMMENT

 

Scope of Advice

   [1] A client is entitled to straightforward advice expressing the lawyer's honest assessment. Legal advice often involves unpleasant facts and alternatives that a client may be disinclined to confront. In presenting advice, a lawyer endeavors to sustain the client's morale and may put advice in as acceptable a form as honesty permits. However, a lawyer should not be deterred from giving candid advice by the prospect that the advice will be unpalatable to the client.

 

   [2] Advice couched in narrow legal terms may be of little value to a client, especially where practical considerations, such as cost or effects on other people, are predominant. Purely technical legal advice, therefore, can sometimes be inadequate. It is proper for a lawyer to refer to relevant moral and ethical considerations in giving advice. Although a lawyer is not a moral advisor as such, moral and ethical considerations impinge upon most legal questions and may decisively influence how the law will be applied.

 

   [3] A client may expressly or impliedly ask the lawyer for purely technical advice. When such a request is made by a client experienced in legal matters, the lawyer may accept it at face value. When such a request is made by a client inexperienced in legal matters, however, the lawyer's responsibility as advisor may include indicating that more may be involved than strictly legal considerations.

 

   [4] Matters that go beyond strictly legal questions may also be in the domain of another profession. Family matters can involve problems within the professional competence of psychiatry, clinical psychology or social work; business matters can involve problems within the competence of the accounting profession or of financial specialists. Where consultation with a professional in another field is itself something a competent lawyer would recommend, the lawyer should make such a recommendation. At the same time, a lawyer's advice at its best often consists of recommending a course of action in the face of conflicting recommendations of experts.

 

Offering Advice

   [5] In general, a lawyer is not expected to give advice until asked by the client. However, when a lawyer knows that a client proposes a course of action that is likely to result in substantial adverse legal consequences to the client, the lawyer's duty to the client under Rule 1.4 may require that the lawyer offer advice if the client's course of action is related to the representation. Similarly, when a matter is likely to involve litigation, it may be necessary under Rule 1.4 to inform the client of forms of dispute resolution that might constitute reasonable alternatives to litigation. A lawyer ordinarily has no duty to initiate investigation of a client's affairs or to give advice that the client has indicated is unwanted, but a lawyer may initiate advice to a client when doing so appears to be in the client's interest.

 

§ 3-502.2. Evaluation for use by third persons.

   (a) A lawyer may provide an evaluation of a matter affecting a client for the use of someone other than the client if the lawyer reasonably believes that making the evaluation is compatible with other aspects of the lawyer's relationship with the client.

   (b) When the lawyer knows or reasonably should know that the evaluation is likely to affect the client's interests materially and adversely, the lawyer shall not provide the evaluation unless the client gives informed consent.

   (c) Except as disclosure is authorized in connection with a report of an evaluation, information relating to the evaluation is otherwise protected by Rule 1.6.

COMMENT

 

Definition

   [1] An evaluation may be performed at the client's direction or when impliedly authorized in order to carry out the representation. See Rule 1.2. Such an evaluation may be for the primary purpose of establishing information for the benefit of third parties; for example, an opinion concerning the title of property rendered at the behest of a vendor for the information of a prospective purchaser, or at the behest of a borrower for the information of a prospective lender. In some situations, the evaluation may be required by a government agency; for example, an opinion concerning the legality of the securities registered for sale under the securities laws. In other instances, the evaluation may be required by a third person, such as a purchaser of a business.

 

   [2] A legal evaluation should be distinguished from an investigation of a person with whom the lawyer does not have a client-lawyer relationship. For example, a lawyer retained by a purchaser to analyze a vendor's title to property does not have a client-lawyer relationship with the vendor. So also, an investigation into a person's affairs by a government lawyer, or by special counsel by a government lawyer, or by special counsel employed by the government, is not an evaluation as that term is used in this Rule. The question is whether the lawyer is retained by the person whose affairs are being examined. When the lawyer is retained by that person, the general rules concerning loyalty to client and preservation of confidences apply, which is not the case if the lawyer is retained by someone else. For this reason, it is essential to identify the person by whom the lawyer is retained. This should be made clear not only to the person under examination, but also to others to whom the results are to be made available.

 

Duties Owed to Third Person and Client

   [3] When the evaluation is intended for the information or use of a third person, a legal duty to that person may or may not arise. That legal question is beyond the scope of this Rule. However, since such an evaluation involves a departure from the normal client-lawyer relationship, careful analysis of the situation is required. The lawyer must be satisfied as a matter of professional judgment that making the evaluation is compatible with other functions undertaken in behalf of the client. For example, if the lawyer is acting as advocate in defending the client against charges of fraud, it would normally be incompatible with that responsibility for the lawyer to perform an evaluation for others concerning the same or a related transaction. Assuming no such impediment is apparent, however, the lawyer should advise the client of the implications of the evaluation, particularly the lawyer's responsibilities to third persons and the duty to disseminate the findings.


Access to and Disclosure of Information

 [4] The quality of an evaluation depends on the freedom and extent of the investigation upon which it is based. Ordinarily, a lawyer should have whatever latitude of investigation seems necessary as a matter of professional judgment. Under some circumstances, however, the terms of the evaluation may be limited. For example, certain issues or sources may be categorically excluded, or the scope of search may be limited by time constraints or the noncooperation of persons having relevant information. Any such limitations that are material to the evaluation should be described in the report. If after a lawyer has commenced an evaluation, the client refuses to comply with the terms upon which it was understood the evaluation was to have been made, the lawyer's obligations are determined by law, having reference to the terms of the client's agreement and the surrounding circumstances. In no circumstances is the lawyer permitted to knowingly make a false statement of material fact or law in providing an evaluation under this Rule. See Rule 4.1.

 

Obtaining Client's Informed Consent

   [5] Information relating to an evaluation is protected by Rule 1.6. In many situations, providing an evaluation to a third party poses no significant risk to the client; thus, the lawyer may be impliedly authorized to disclose information to carry out the representation. See Rule 1.6(a). Where, however, it is reasonably likely that providing the evaluation will affect the client's interests materially and adversely, the lawyer must first obtain the client's consent after the client has been adequately informed concerning the important possible effects on the client's interests. See Rules 1.6(a) and 1.0(e).

 

Financial Auditors' Requests for Information

   [6] When a question concerning the legal situation of a client arises at the instance of the client's financial auditor and the question is referred to the lawyer, the lawyer's response may be made in accordance with procedures recognized in the legal profession. Such a procedure is set forth in the American Bar Association Statement of Policy Regarding Lawyers' Responses to Auditors' Requests for Information, adopted in 1975.

 

§ 3-502.3. Lawyer serving as third-party neutral.

   (a) A lawyer serves as a third-party neutral when the lawyer assists two or more persons who are not clients of the lawyer to reach a resolution of a dispute or other matter that has arisen between them. Service as a third-party neutral may include service as an arbitrator, a mediator or in such other capacity as will enable the lawyer to assist the parties to resolve the matter.

   (b) A lawyer serving as a third-party neutral shall inform unrepresented parties that the lawyer is not representing them. When the lawyer knows or reasonably should know that a party does not understand the lawyer's role in the matter, the lawyer shall explain the difference between the lawyer's role as a third-party neutral and a lawyer's role as one who represents a client.

COMMENT

 

   [1] Alternative dispute resolution has become a substantial part of the civil justice system. Aside from representing clients in dispute-resolution processes, lawyers often serve as third-party neutrals. A third-party neutral is a person, such as a mediator, arbitrator, conciliator or evaluator, who assists the parties, represented or unrepresented, in the resolution of a dispute or in the arrangement of a transaction. Whether a third-party neutral serves primarily as a facilitator, evaluator or decisionmaker depends on the particular process that is either selected by the parties or mandated by a court.

 

   [2] The role of a third-party neutral is not unique to lawyers, although, in some court-connected contexts, only lawyers are allowed to serve in this role or to handle certain types of cases. In performing this role, the lawyer may be subject to court rules or other law that apply either to third-party neutrals generally or to lawyers serving as third-party neutrals. Lawyer-neutrals may also be subject to various codes of ethics, such as the Code of Ethics for Arbitration in Commercial Disputes prepared by a joint committee of the American Bar Association and the American Arbitration Association or the Model Standards of Conduct for Mediators jointly prepared by the American Bar Association, the American Arbitration Association and the Society of Professionals in Dispute Resolution.

 

   [3] Unlike nonlawyers who serve as third-party neutrals, lawyers serving in this role may experience unique problems as a result of differences between the role of a third-party neutral and a lawyer's service as a client representative. The potential for confusion is significant when the parties are unrepresented in the process. Thus, paragraph (b) requires a lawyer-neutral to inform unrepresented parties that the lawyer is not representing them. For some parties, particularly parties who frequently use dispute-resolution processes, this information will be sufficient. For others, particularly those who are using the process for the first time, more information will be required. Where appropriate, the lawyer should inform unrepresented parties of the important differences between the lawyer's role as third-party neutral and a lawyer's role as a client representative, including the inapplicability of the attorney-client evidentiary privilege. The extent of disclosure required under this paragraph will depend on the particular parties involved and the subject matter of the proceeding, as well as the particular features of the dispute-resolution process selected.

 

   [4] A lawyer who serves as a third-party neutral subsequently may be asked to serve as a lawyer representing a client in the same matter. The conflicts of interest that arise for both the individual lawyer and the lawyer's law firm are addressed in Rule 1.12.

 

   [5] Lawyers who represent clients in alternative dispute-resolution processes are governed by the Rules of Professional Conduct. When the dispute-resolution process takes place before a tribunal, as in binding arbitration (see Rule 1.0(m)), the lawyer's duty of candor is governed by Rule 3.3. Otherwise, the lawyer's duty of candor toward both the third-party neutral and other parties is governed by Rule 4.1.

 

§§ 3-503.1 to 3-503.9: Advocate.

§ 3-503.1. Meritorious claims and contentions.

   A lawyer shall not bring or defend a proceeding, or assert or controvert an issue therein, unless there is a basis in law and fact for doing so that is not frivolous, which includes a good faith argument for an extension, modification or reversal of existing law. A lawyer for the defendant in a criminal proceeding, or the respondent in a proceeding that could result in incarceration, may nevertheless so defend the proceeding as to require that every element of the case be established.

COMMENT

 

   [1] The advocate has a duty to use legal procedure for the fullest benefit of the client's cause, but also a duty not to abuse legal procedure. The law, both procedural and substantive, establishes the limits within which an advocate may proceed. However, the law is not always clear and never is static. Accordingly, in determining the proper scope of advocacy, account must be taken of the law's ambiguities and potential for change.

 

   [2] The filing of an action or defense or similar action taken for a client is not frivolous merely because the facts have not first been fully substantiated or because the lawyer expects to develop vital evidence only by discovery. What is required of lawyers, however, is that they inform themselves about the facts of their clients' cases and the applicable law and determine that they can make good faith arguments in support of their clients' positions. Such action is not frivolous even though the lawyer believes that the client's position ultimately will not prevail. The action is frivolous, however, if the lawyer is unable either to make a good faith argument on the merits of the action taken or to support the action taken by a good faith argument for an extension, modification or reversal of existing law.

 

   [3] The lawyer's obligations under this Rule are subordinate to federal or state constitutional law that entitles a defendant in a criminal matter to the assistance of counsel in presenting a claim or contention that otherwise would be prohibited by this Rule.

 

§ 3-503.2. Expediting litigation.

   In the lawyer’s representation of a client, a lawyer shall not file a suit, assert a position, conduct a defense, delay litigation or take other action on behalf of the client when the lawyer knows or when it is obvious that such action would serve merely to harass or maliciously injure another.

COMMENT

 

   [1] Dilatory practices bring the administration of justice into disrepute. Although there will be occasions when a lawyer may properly seek a postponement for personal reasons, it is not proper for a lawyer to routinely fail to expedite litigation solely for the convenience of the advocates. Nor will a failure to expedite be reasonable if done for the purpose of frustrating an opposing party's attempt to obtain rightful redress or repose. It is not a justification that similar conduct is often tolerated by the bench and bar. The question is whether a competent lawyer acting in good faith would regard the course of action as having some substantial purpose other than delay. Realizing financial or other benefit from otherwise improper delay in litigation is not a legitimate interest of the client.

 

§ 3-503.3. Candor toward the tribunal.

   (a) A lawyer shall not knowingly:

   (1) make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer;

   (2) fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel; or

   (3) offer evidence that the lawyer knows to be false. If a lawyer, the lawyer’s client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false.

   (b) A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal.

   (c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6.

   (d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.

COMMENT

   [1] This Rule governs the conduct of a lawyer who is representing a client in the proceedings of a tribunal. See Rule 1.0(m) for the definition of "tribunal." It also applies when the lawyer is representing a client in an ancillary proceeding conducted pursuant to the tribunal’s adjudicative authority, such as a deposition. Thus, for example, paragraph (a)(3) requires a lawyer to take reasonable remedial measures if the lawyer comes to know that a client who is testifying in a deposition has offered evidence that is false.

 

   [2] This Rule sets forth the special duties of lawyers as officers of the court to avoid conduct that undermines the integrity of the adjudicative process. A lawyer acting as an advocate in an adjudicative proceeding has an obligation to present the client's case with persuasive force. Performance of that duty while maintaining confidences of the client, however, is qualified by the advocate's duty of candor to the tribunal. Consequently, although a lawyer in an adversary proceeding is not required to present an impartial exposition of the law or to vouch for the evidence submitted in a cause, the lawyer must not allow the tribunal to be misled by false statements of law or fact or evidence that the lawyer knows to be false.

 

Representations by a Lawyer

   [3] An advocate is responsible for pleadings and other documents prepared for litigation, but is usually not required to have personal knowledge of matters asserted therein, for litigation documents ordinarily present assertions by the client, or by someone on the client's behalf, and not assertions by the lawyer. Compare Rule 3.1. However, an assertion purporting to be on the lawyer's own knowledge, as in an affidavit by the lawyer or in a statement in open court, may properly be made only when the lawyer knows the assertion is true or believes it to be true on the basis of a reasonably diligent inquiry. There are circumstances where failure to make a disclosure is the equivalent of an affirmative misrepresentation. The obligation prescribed in Rule 1.2(c) not to counsel a client to commit or assist the client in committing a fraud applies in litigation. Regarding compliance with Rule 1.2(c), see the Comment to that Rule. See also the Rule 8.4 Comment [2].

 

Legal Argument

   [4] Legal argument based on a knowingly false representation of law constitutes dishonesty toward the tribunal. A lawyer is not required to make a disinterested exposition of the law, but must recognize the existence of pertinent legal authorities. Furthermore, as stated in paragraph (a)(2), an advocate has a duty to disclose directly adverse authority in the controlling jurisdiction that has not been disclosed by the opposing party. The underlying concept is that legal argument is a discussion seeking to determine the legal premises properly applicable to the case.

 

Offering Evidence

   [5] Paragraph (a)(3) requires that the lawyer refuse to offer evidence that the lawyer knows to be false, regardless of the client’s wishes. This duty is premised on the lawyer’s obligation as an officer of the court to prevent the trier of fact from being misled by false evidence. A lawyer does not violate this Rule if the lawyer offers the evidence for the purpose of establishing its falsity.

 

   [6] If a lawyer knows that the client intends to testify falsely or wants the lawyer to introduce false evidence, the lawyer should seek to persuade the client that the evidence should not be offered. If the persuasion is ineffective and the lawyer continues to represent the client, the lawyer must refuse to offer the false evidence. If only a portion of a witness's testimony will be false, the lawyer may call the witness to testify but may not elicit or otherwise permit the witness to present the testimony that the lawyer knows is false.

 

   [7] The duties stated in paragraphs (a) and (b) apply to all lawyers, including defense counsel in criminal cases. In some jurisdictions, however, courts have required counsel to present the accused as a witness or to give a narrative statement if the accused so desires, even if counsel knows that the testimony or statement will be false. The obligation of the advocate under the Rules of Professional Conduct is subordinate to such requirements. See also Comment [9].

 

   [8] The prohibition against offering false evidence only applies if the lawyer knows that the evidence is false. A lawyer’s reasonable belief that evidence is false does not preclude its presentation to the trier of fact. A lawyer’s knowledge that evidence is false, however, can be inferred from the circumstances. See Rule 1.0(f). Thus, although a lawyer should resolve doubts about the veracity of testimony or other evidence in favor of the client, the lawyer cannot ignore an obvious falsehood.

 

   [9] Although paragraph (a)(3) only prohibits a lawyer from offering evidence the lawyer knows to be false, it permits the lawyer to refuse to offer testimony or other proof that the lawyer reasonably believes is false. Offering such proof may reflect adversely on the lawyer's ability to discriminate in the quality of evidence and thus impair the lawyer's effectiveness as an advocate. Because of the special protections historically provided criminal defendants, however, this Rule does not permit a lawyer to refuse to offer the testimony of such a client where the lawyer reasonably believes but does not know that the testimony will be false. Unless the lawyer knows the testimony will be false, the lawyer must honor the client’s decision to testify. See also Comment [7].

 

Remedial Measures

   [10] Having offered material evidence in the belief that it was true, a lawyer may subsequently come to know that the evidence is false. Or, a lawyer may be surprised when the lawyer’s client, or another witness called by the lawyer, offers testimony the lawyer knows to be false, either during the lawyer’s direct examination or in response to cross-examination by the opposing lawyer. In such situations or if the lawyer knows of the falsity of testimony elicited from the client during a deposition, the lawyer must take reasonable remedial measures. In such situations, the advocate's proper course is to remonstrate with the client confidentially, advise the client of the lawyer’s duty of candor to the tribunal and seek the client’s cooperation with respect to the withdrawal or correction of the false statements or evidence. If that fails, the advocate must take further remedial action. If withdrawal from the representation is not permitted or will not undo the effect of the false evidence, the advocate must make such disclosure to the tribunal as is reasonably necessary to remedy the situation, even if doing so requires the lawyer to reveal information that otherwise would be protected by Rule 1.6. It is for the tribunal then to determine what should be done — making a statement about the matter to the trier of fact, ordering a mistrial or perhaps nothing.

 

   [11] The disclosure of a client’s false testimony can result in grave consequences to the client, including not only a sense of betrayal but also loss of the case and perhaps a prosecution for perjury. But the alternative is that the lawyer cooperate in deceiving the court, thereby subverting the truth-finding process which the adversary system is designed to implement. See Rule 1.2(c). Furthermore, unless it is clearly understood that the lawyer will act upon the duty to disclose the existence of false evidence, the client can simply reject the lawyer's advice to reveal the false evidence and insist that the lawyer keep silent. Thus, the client could in effect coerce the lawyer into being a party to fraud on the court.

 

Preserving Integrity of Adjudicative Process

   [12] Lawyers have a special obligation to protect a tribunal against criminal or fraudulent conduct that undermines the integrity of the adjudicative process, such as bribing, intimidating or otherwise unlawfully communicating with a witness, juror, court official or other participant in the proceeding, unlawfully destroying or concealing documents or other evidence or failing to disclose information to the tribunal when required by law to do so. Thus, paragraph (b) requires a lawyer to take reasonable remedial measures, including disclosure if necessary, whenever the lawyer knows that a person, including the lawyer’s client, intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding.

 

Duration of Obligation

   [13] A practical time limit on the obligation to rectify false evidence or false statements of law and fact has to be established. The conclusion of the proceeding is a reasonably definite point for the termination of the obligation. A proceeding has concluded within the meaning of this Rule when a final judgment in the proceeding has been affirmed on appeal or the time for review has passed.

 

Ex Parte Proceedings

   [14] Ordinarily, an advocate has the limited responsibility of presenting one side of the matters that a tribunal should consider in reaching a decision; the conflicting position is expected to be presented by the opposing party. However, in any ex parte proceeding, such as an application for a temporary restraining order, there is no balance of presentation by opposing advocates. The object of an ex parte proceeding is nevertheless to yield a substantially just result. The judge has an affirmative responsibility to accord the absent party just consideration. The lawyer for the represented party has the correlative duty to make disclosures of material facts known to the lawyer and that the lawyer reasonably believes are necessary to an informed decision.

 

Withdrawal

   [15] Normally, a lawyer’s compliance with the duty of candor imposed by this Rule does not require that the lawyer withdraw from the representation of a client whose interests will be or have been adversely affected by the lawyer’s disclosure. The lawyer may, however, be required by Rule 1.16(a) to seek permission of the tribunal to withdraw if the lawyer’s compliance with this Rule’s duty of candor results in such an extreme deterioration of the client-lawyer relationship that the lawyer can no longer competently represent the client. Also see Rule 1.16(b) for the circumstances in which a lawyer will be permitted to seek a tribunal’s permission to withdraw. In connection with a request for permission to withdraw that is premised on a client’s misconduct, a lawyer may reveal information relating to the representation only to the extent reasonably necessary to comply with this Rule or as otherwise permitted by Rule 1.6.

 

§ 3-503.4. Fairness to opposing party and counsel.

   A lawyer shall not:

   (a) unlawfully obstruct another party's access to evidence or unlawfully alter, destroy or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act;

   (b) falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;

   (c) knowingly disobey an obligation under the rules of a tribunal except for an open refusal based on an assertion that no valid obligation exists;

   (d) in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party;

   (e) in trial, allude to any matter that the lawyer does not reasonably believe is relevant or that will not be supported by admissible evidence, assert personal knowledge of facts in issue except when testifying as a witness, or state a personal opinion as to the justness of a cause, the credibility of a witness, the culpability of a civil litigant or the guilt or innocence of an accused; or

   (f) request a person other than a client to refrain from voluntarily giving relevant information to another party unless:

   (1) the person is a relative or an employee or other agent of a client; and

   (2) the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information.

COMMENT

 

   [1] The procedure of the adversary system contemplates that the evidence in a case is to be marshalled competitively by the contending parties. Fair competition in the adversary system is secured by prohibitions against destruction or concealment of evidence, improperly influencing witnesses, obstructive tactics in discovery procedure, and the like.

 

   [2] Documents and other items of evidence are often essential to establish a claim or defense. Subject to evidentiary privileges, the right of an opposing party, including the government, to obtain evidence through discovery or subpoena is an important procedural right. The exercise of that right can be frustrated if relevant material is altered, concealed or destroyed. Applicable law in many jurisdictions makes it an offense to destroy material for purpose of impairing its availability in a pending proceeding or one whose commencement can be foreseen. Falsifying evidence is also generally a criminal offense. Paragraph (a) applies to evidentiary material generally, including computerized information. Applicable law may permit a lawyer to take temporary possession of physical evidence of client crimes for the purpose of conducting a limited examination that will not alter or destroy material characteristics of the evidence. In such a case, applicable law may require the lawyer to turn the evidence over to the police or other prosecuting authority, depending on the circumstances.

 

   [3] With regard to paragraph (b), it is not improper to pay a witness's expenses or to compensate an expert witness on terms permitted by law. The common law rule in most jurisdictions is that it is improper to pay an occurrence witness any fee for testifying and that it is improper to pay an expert witness a contingent fee.

 

   [4] Paragraph (f) permits a lawyer to advise employees of a client to refrain from giving information to another party, for the employees may identify their interests with those of the client. See also Rule 4.2.

 

§ 3-503.5. Impartiality and decorum of the tribunal.

   (a) A lawyer shall not:

   (1) seek to influence a judge, juror, prospective juror or other official by means prohibited by law;

   (2) communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order;

   (3) communicate with a juror or prospective juror after discharge of the jury if:

   (i) the communication is prohibited by law or court order;

   (ii) the juror has made known to the lawyer a desire not to communicate; or

   (iii) the communication involves misrepresentation, coercion, duress or harassment; or

   (4) engage in conduct intended to disrupt a tribunal.

   (b) A lawyer shall reveal promptly to the court improper conduct by a venireperson or a juror, or by another toward a venireperson or a juror or a member of his or her family, of which the lawyer has knowledge.

COMMENT

 

   [1] Many forms of improper influence upon a tribunal are proscribed by criminal law. Others are specified in the ABA Model Code of Judicial Conduct, with which an advocate should be familiar. A lawyer is required to avoid contributing to a violation of such provisions.

 

   [2] During a proceeding a lawyer may not communicate ex parte with persons serving in an official capacity in the proceeding, such as judges, masters or jurors, unless authorized to do so by law or court order.

 

   [3] A lawyer may on occasion want to communicate with a juror or prospective juror after the jury has been discharged. The lawyer may do so unless the communication is prohibited by law or a court order but must respect the desire of the juror not to talk with the lawyer. The lawyer may not engage in improper conduct during the communication.

 

   [4] The advocate's function is to present evidence and argument so that the cause may be decided according to law. Refraining from abusive or obstreperous conduct is a corollary of the advocate's right to speak on behalf of litigants. A lawyer may stand firm against abuse by a judge but should avoid reciprocation; the judge's default is no justification for similar dereliction by an advocate. An advocate can present the cause, protect the record for subsequent review and preserve professional integrity by patient firmness no less effectively than by belligerence or theatrics.

 

   [5] The duty to refrain from disruptive conduct applies to any proceeding of a tribunal, including a deposition. See Rule 1.0(m).

 

§ 3-503.6. Trial publicity.

   (a) A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know willbe disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.

   (b) Notwithstanding paragraph (a), a lawyer may state:

   (1) the claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved;

   (2) information contained in a public record;

   (3) that an investigation of a matter is in progress;

   (4) the scheduling or result of any step in litigation;

   (5) a request for assistance in obtaining evidence and information necessary thereto;

   (6) a warning of danger concerning the behavior of a person involved, when there is reason to believe that there exists the likelihood of substantial harm to an individual or to the public interest; and

   (7) in a criminal case, in addition to subparagraphs (1) through (6):

   (i) the identity, residence, occupation and family status of the accused;

   (ii) if the accused has not been apprehended, information necessary to aid in apprehension of that person;

   (iii) the fact, time and place of arrest; and

   (iv) the identity of investigating and arresting officers or agencies and the length of the investigation.

   (c) Notwithstanding paragraph (a), a lawyer may make a statement that a reasonable lawyer would believe is required to protect a client from the substantial undue prejudicial effect of recent publicity not initiated by the lawyer or the lawyer's client. A statement made pursuant to this paragraph shall be limited to such information as is necessary to mitigate the recent adverse publicity.

   (d) No lawyer associated in a firm or government agency with a lawyer subject to paragraph (a) shall make a statement prohibited by paragraph (a).

COMMENT

 

   [1] It is difficult to strike a balance between protecting the right to a fair trial and safeguarding the right of free expression. Preserving the right to a fair trial necessarily entails some curtailment of the information that may be disseminated about a party prior to trial, particularly where trial by jury is involved. If there were no such limits, the result would be the practical nullification of the protective effect of the rules of forensic decorum and the exclusionary rules of evidence. On the other hand, there are vital social interests served by the free dissemination of information about events having legal consequences and about legal proceedings themselves. The public has a right to know about threats to its safety and measures aimed at assuring its security. It also has a legitimate interest in the conduct of judicial proceedings, particularly in matters of general public concern. Furthermore, the subject matter of legal proceedings is often of direct significance in debate and deliberation over questions of public policy.

 

   [2] Special rules of confidentiality may validly govern proceedings in juvenile, domestic relations and mental disability proceedings, and perhaps other types of litigation. Rule 3.4(c) requires compliance with such rules.

 

   [3] The Rule sets forth a basic general prohibition against a lawyer's making statements that the lawyer knows or should know will have a substantial likelihood of materially prejudicing an adjudicative proceeding. Recognizing that the public value of informed commentary is great and the likelihood of prejudice to a proceeding by the commentary of a lawyer who is not involved in the proceeding is small, the rule applies only to lawyers who are, or who have been involved in the investigation or litigation of a case, and their associates.

 

   [4] Paragraph (b) identifies specific matters about which a lawyer's statements would not ordinarily be considered to present a substantial likelihood of material prejudice, and should not in any event be considered prohibited by the general prohibition of paragraph (a). Paragraph (b) is not intended to be an exhaustive listing of the subjects upon which a lawyer may make a statement, but statements on other matters may be subject to paragraph (a).

 

   [5] There are, on the other hand, certain subjects that are more likely than not to have a material prejudicial effect on a proceeding, particularly when they refer to a civil matter triable to a jury, a criminal matter, or any other proceeding that could result in incarceration. These subjects relate to:

 

   (1) the character, credibility, reputation or criminal record of a party, suspect in a criminal investigation or witness, or the identity of a witness, or the expected testimony of a party or witness;

 

   (2) in a criminal case or proceeding that could result in incarceration, the possibility of a plea of guilty to the offense or the existence or contents of any confession, admission, or statement given by a defendant or suspect or that person's refusal or failure to make a statement;

 

   (3) the performance or results of any examination or test or the refusal or failure of a person to submit to an examination or test, or the identity or nature of physical evidence expected to be presented;

 

   (4) any opinion as to the guilt or innocence of a defendant or suspect in a criminal case or proceeding that could result in incarceration;

 

   (5) information that the lawyer knows or reasonably should know is likely to be inadmissible as evidence in a trial and that would, if disclosed, create a substantial risk of prejudicing an impartial trial; or

 

   (6) the fact that a defendant has been charged with a crime, unless there is included therein a statement explaining that the charge is merely an accusation and that the defendant is presumed innocent until and unless proven guilty.

 

   [6] Another relevant factor in determining prejudice is the nature of the proceeding involved. Criminal jury trials will be most sensitive to extrajudicial speech. Civil trials may be less sensitive. Non-jury hearings and arbitration proceedings may be even less affected. The Rule will still place limitations on prejudicial comments in these cases, but the likelihood of prejudice may be different depending on the type of proceeding.

 

   [7] Finally, extrajudicial statements that might otherwise raise a question under this Rule may be permissible when they are made in response to statements made publicly by another party, another party's lawyer, or third persons, where a reasonable lawyer would believe a public response is required in order to avoid prejudice to the lawyer's client. When prejudicial statements have been publicly made by others, responsive statements may have the salutary effect of lessening any resulting adverse impact on the adjudicative proceeding. Such responsive statements should be limited to contain only such information as is necessary to mitigate undue prejudice created by the statements made by others.

 

   [8] See Rule 3.8(f) for additional duties of prosecutors in connection with extrajudicial statements about criminal proceedings.

 

§ 3-503.7. Lawyer as witness.

   (a) A lawyer shall not act as advocate at a trial in which the lawyer is likely to be a necessary witness unless:

   (1) the testimony relates to an uncontested issue;

   (2) the testimony relates to the nature and value of legal services rendered in the case; or

   (3) disqualification of the lawyer would work substantial hardship on the client.

   (b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or Rule 1.9.

COMMENT

 

   [1] Combining the roles of advocate and witness can prejudice the tribunal and the opposing party and can also involve a conflict of interest between the lawyer and client.

Advocate-Witness Rule

   [2] The tribunal has proper objection when the trier of fact may be confused or misled by a lawyer serving as both advocate and witness. The opposing party has proper objection where the combination of roles may prejudice that party's rights in the litigation. A witness is required to testify on the basis of personal knowledge, while an advocate is expected to explain and comment on evidence given by others. It may not be clear whether a statement by an advocate-witness should be taken as proof or as an analysis of the proof.

 

   [3] To protect the tribunal, paragraph (a) prohibits a lawyer from simultaneously serving as advocate and necessary witness except in those circumstances specified in paragraphs (a)(1) through (a)(3). Paragraph (a)(1) recognizes that if the testimony will be uncontested, the ambiguities in the dual role are purely theoretical. Paragraph (a)(2) recognizes that where the testimony concerns the extent and value of legal services rendered in the action in which the testimony is offered, permitting the lawyers to testify avoids the need for a second trial with new counsel to resolve that issue. Moreover, in such a situation the judge has firsthand knowledge of the matter in issue; hence, there is less dependence on the adversary process to test the credibility of the testimony.

 

   [4] Apart from these two exceptions, paragraph (a)(3) recognizes that a balancing is required between the interests of the client and those of the tribunal and the opposing party. Whether the tribunal is likely to be misled or the opposing party is likely to suffer prejudice depends on the nature of the case, the importance and probable tenor of the lawyer's testimony, and the probability that the lawyer's testimony will conflict with that of other witnesses. Even if there is risk of such prejudice, in determining whether the lawyer should be disqualified, due regard must be given to the effect of disqualification on the lawyer's client. It is relevant that one or both parties could reasonably foresee that the lawyer would probably be a witness. The conflict of interest principles stated in Rules 1.7, 1.9 and 1.10 have no application to this aspect of the problem.

 

   [5] Because the tribunal is not likely to be misled when a lawyer acts as advocate in a trial in which another lawyer in the lawyer's firm will testify as a necessary witness, paragraph (b) permits the lawyer to do so except in situations involving a conflict of interest.

 

Conflict of Interest

   [6] In determining if it is permissible to act as advocate in a trial in which the lawyer will be a necessary witness, the lawyer must also consider that the dual role may give rise to a conflict of interest that will require compliance with Rules 1.7 or 1.9. For example, if there is likely to be substantial conflict between the testimony of the client and that of the lawyer the representation involves a conflict of interest that requires compliance with Rule 1.7. This would be true even though the lawyer might not be prohibited by paragraph (a) from simultaneously serving as advocate and witness because the lawyer's disqualification would work a substantial hardship on the client. Similarly, a lawyer who might be permitted to simultaneously serve as an advocate and a witness by paragraph (a)(3) might be precluded from doing so by Rule 1.9. The problem can arise whether the lawyer is called as a witness on behalf of the client or is called by the opposing party. Determining whether or not such a conflict exists is primarily the responsibility of the lawyer involved. If there is a conflict of interest, the lawyer must secure the client's informed consent, confirmed in writing. In some cases, the lawyer will be precluded from seeking the client's consent. See Rule 1.7. See Rule 1.0(b) for the definition of "confirmed in writing" and Rule 1.0(e) for the definition of "informed consent."

 

   [7] Paragraph (b) provides that a lawyer is not disqualified from serving as an advocate because a lawyer with whom the lawyer is associated in a firm is precluded from doing so by paragraph (a). If, however, the testifying lawyer would also be disqualified by Rule 1.7 or Rule 1.9 from representing the client in the matter, other lawyers in the firm will be precluded from representing the client by Rule 1.10 unless the client gives informed consent under the conditions stated in Rule 1.7.

 

§ 3-503.8. Special responsibilities of a prosecutor.

   The prosecutor in a criminal case shall:

   (a) refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause;

   (b) make reasonable efforts to assure that the accused has been advised of the right to, and the procedure for obtaining, counsel and has been given reasonable opportunity to obtain counsel;

   (c) not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing;

   (d) make timely disclosure to the defense of all evidence or information known to the prosecutor that tends to negate the guilt of the accused or mitigates the offense, and, in connection with sentencing, disclose to the defense and to the tribunal all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the tribunal;

   (e) not subpoena a lawyer in a grand jury or other criminal proceeding to present evidence about a past or present client unless the prosecutor reasonably believes:

   (1) the information sought is not protected from disclosure by any applicable privilege;

   (2) the evidence sought is essential to the successful completion of an ongoing investigation or prosecution; and

   (3) there is no other feasible alternative to obtain the information;

   (f) except for statements that are necessary to inform the public of the nature and extent of the prosecutor's action and that serve a legitimate law enforcement purpose, refrain from making extrajudicial comments that have a substantial likelihood of heightening public condemnation of the accused and exercise reasonable care to prevent investigators, law enforcement personnel, employees or other persons assisting or associated with the prosecutor in a criminal case from making an extrajudicial statement that the prosecutor would be prohibited from making under Rule 3.6 or this Rule.

COMMENT

 

   [1] A prosecutor has the responsibility of a minister of justice and not simply that of an advocate. This responsibility carries with it specific obligations to see that the defendant is accorded procedural justice and that guilt is decided upon the basis of sufficient evidence. Precisely how far the prosecutor is required to go in this direction is a matter of debate and varies in different jurisdictions. Many jurisdictions have adopted the ABA Standards of Criminal Justice Relating to the Prosecution Function, which in turn are the product of prolonged and careful deliberation by lawyers experienced in both criminal prosecution and defense. Applicable law may require other measures by the prosecutor and knowing disregard of those obligations or a systematic abuse of prosecutorial discretion could constitute a violation of Rule 8.4.

 

   [2] In some jurisdictions, a defendant may waive a preliminary hearing and thereby lose a valuable opportunity to challenge probable cause. Accordingly, prosecutors should not seek to obtain waivers of preliminary hearings or other important pretrial rights from unrepresented accused persons. Paragraph (c) does not apply, however, to an accused appearing pro se with the approval of the tribunal. Nor does it forbid the lawful questioning of an uncharged suspect who has knowingly waived the rights to counsel and silence.

 

   [3] The exception in paragraph (d) recognizes that a prosecutor may seek an appropriate protective order from the tribunal if disclosure of information to the defense could result in substantial harm to an individual or to the public interest.

 

   [4] Paragraph (e) is intended to limit the issuance of lawyer subpoenas in grand jury and other criminal proceedings to those situations in which there is a genuine need to intrude into the client-lawyer relationship.

 

   [5] Paragraph (f) supplements Rule 3.6, which prohibits extrajudicial statements that have a substantial likelihood of prejudicing an adjudicatory proceeding. In the context of a criminal prosecution, a prosecutor's extrajudicial statement can create the additional problem of increasing public condemnation of the accused. Although the announcement of an indictment, for example, will necessarily have severe consequences for the accused, a prosecutor can, and should, avoid comments which have no legitimate law enforcement purpose and have a substantial likelihood of increasing public opprobrium of the accused. Nothing in this Comment is intended to restrict the statements which a prosecutor may make which comply with Rule 3.6(b) or 3.6(c).

 

   [6] Like other lawyers, prosecutors are subject to Rules 5.1 and 5.3, which relate to responsibilities regarding lawyers and nonlawyers who work for or are associated with the lawyer's office. Paragraph (f) reminds the prosecutor of the importance of these obligations in connection with the unique dangers of improper extrajudicial statements in a criminal case. In addition, paragraph (f) requires a prosecutor to exercise reasonable care to prevent persons assisting or associated with the prosecutor from making improper extrajudicial statements, even when such persons are not under the direct supervision of the prosecutor. Ordinarily, the reasonable care standard will be satisfied if the prosecutor issues the appropriate cautions to law-enforcement personnel and other relevant individuals.

 

§ 3-503.9. Advocate in nonadjudicative proceedings.

A lawyer representing a client before a legislative body or administrative agency in a nonadjudicative proceeding shall disclose that the appearance is in a representative capacity and shall conform to the provisions of Rules 3.3(a) through (c), 3.4(a) through (c), and 3.5.

COMMENT

 

   [1] In representation before bodies such as legislatures, municipal councils, and executive and administrative agencies acting in a rule-making or policy-making capacity, lawyers present facts, formulate issues and advance argument in the matters under consideration. The decision-making body, like a court, should be able to rely on the integrity of the submissions made to it. A lawyer appearing before such a body must deal with it honestly and in conformity with applicable rules of procedure. See Rules 3.3(a) through (c), 3.4(a) through (c), and 3.5.

 

   [2] Lawyers have no exclusive right to appear before nonadjudicative bodies, as they do before a court. The requirements of this Rule therefore may subject lawyers to regulations inapplicable to advocates who are not lawyers. However, legislatures and administrative agencies have a right to expect lawyers to deal with them as they deal with courts.

 

   [3] This Rule only applies when a lawyer represents a client in connection with an official hearing or meeting of a governmental agency or a legislative body to which the lawyer or the lawyer’s client is presenting evidence or argument. It does not apply to representation of a client in a negotiation or other bilateral transaction with a governmental agency or in connection with an application for a license or other privilege or the client’s compliance with generally applicable reporting requirements, such as the filing of income-tax returns. Nor does it apply to the representation of a client in connection with an investigation or examination of the client’s affairs conducted by government investigators or examiners. Representation in such matters is governed by Rules 4.1, 4.2, 4.3, and 4.4.

 

§§ 3-504.1 to 3-504.4: Transactions With Persons Other Than Clients.

§ 3-504.1. Truthfulness in statements to others.

   In the course of representing a client a lawyer shall not knowingly:

   (a) make a false statement of material fact or law to a third person; or

   (b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.

COMMENT

 

Misrepresentation

   [1] A lawyer is required to be truthful when dealing with others on a client’s behalf, but generally has no affirmative duty to inform an opposing party of relevant facts. A misrepresentation can occur if the lawyer incorporates or affirms a statement of another person that the lawyer knows is false. Misrepresentations can also occur by partially true but misleading statements or omissions that are the equivalent of affirmative false statements. For dishonest conduct that does not amount to a false statement or for misrepresentations by a lawyer other than in the course of representing a client, see Rule 8.4.

 

Statements of Fact

   [2] This Rule refers to statements of fact. Whether a particular statement should be regarded as one of fact can depend on the circumstances. Under generally accepted conventions in negotiation, certain types of statements ordinarily are not taken as statements of material fact. Estimates of price or value placed on the subject of a transaction and a party’s intentions as to an acceptable settlement of a claim are ordinarily in this category, and so is the existence of an undisclosed principal except where nondisclosure of the principal would constitute fraud. Lawyers should be mindful of their obligations under applicable law to avoid criminal and tortious misrepresentation.

 

Crime or Fraud by Client

   [3] Under Rule 1.2(c), a lawyer is prohibited from counseling or assisting a client in conduct that the lawyer knows is criminal or fraudulent. Paragraph (b) states a specific application of the principle set forth in Rule 1.2(c) and addresses the situation where a client’s crime or fraud takes the form of a lie or misrepresentation. Ordinarily, a lawyer can avoid assisting a client’s crime or fraud by withdrawing from the representation. Sometimes it may be necessary for the lawyer to give notice of the fact of withdrawal and to disaffirm an opinion, document, affirmation or the like. In extreme cases, substantive law may require a lawyer to disclose information relating to the representation to avoid being deemed to have assisted the client’s crime or fraud. If the lawyer can avoid assisting a client’s crime or fraud only by disclosing this information, then under paragraph (b) the lawyer is required to do so, unless the disclosure is prohibited by Rule 1.6.

 

§ 3-504.2. Communication with person represented by counsel.

   In representing a client, a lawyer shall not communicate about the subject of the representation with a person the lawyer knows to be represented by another lawyer in the matter, unless the lawyer has the consent of the other lawyer or is authorized to do so by law or a court order.

COMMENT

 

   [1] This Rule contributes to the proper functioning of the legal system by protecting a person who has chosen to be represented by a lawyer in a matter against possible overreaching by other lawyers who are participating in the matter, interference by those lawyers with the client-lawyer relationship and the uncounseled disclosure of information relating to the representation.

 

   [2] This Rule applies to communications with any person who is represented by counsel concerning the matter to which the communication relates.

 

   [3] The Rule applies even though the represented person initiates or consents to the communication. A lawyer must immediately terminate communication with a person if, after commencing communication, the lawyer learns that the person is one with whom communication is not permitted by this Rule.

 

   [4] This Rule does not prohibit communication with a represented person, or an employee or agent of such a person, concerning matters outside the representation. For example, the existence of a controversy between a government agency and a private party, or between two organizations, does not prohibit a lawyer for either from communicating with nonlawyer representatives of the other regarding a separate matter. Nor does this Rule preclude communication with a represented person who is seeking advice from a lawyer who is not otherwise representing a client in the matter. A lawyer may not make a communication prohibited by this Rule through the acts of another. See Rule 8.4(a). Parties to a matter may communicate directly with each other, and a lawyer is not prohibited from advising a client concerning a communication that the client is legally entitled to make. Also, a lawyer having independent justification or legal authorization for communicating with a represented person is permitted to do so.

 

   [5] Communications authorized by law may include communications by a lawyer on behalf of a client who is exercising a constitutional or other legal right to communicate with the government. Communications authorized by law may also include investigative activities of lawyers representing governmental entities, directly or through investigative agents, prior to the commencement of criminal or civil enforcement proceedings. When communicating with the accused in a criminal matter, a government lawyer must comply with this Rule in addition to honoring the constitutional rights of the accused. The fact that a communication does not violate a state or federal constitutional right is insufficient to establish that the communication is permissible under this Rule.

 

   [6] A lawyer who is uncertain whether a communication with a represented person is permissible may seek a court order. A lawyer may also seek a court order in exceptional circumstances to authorize a communication that would otherwise be prohibited by this Rule, for example, where communication with a person represented by counsel is necessary to avoid reasonably certain injury.

 

   [7] In the case of a represented organization, this Rule prohibits communications with a constituent of the organization who supervises, directs or regularly consults with the organization’s lawyer concerning the matter or has authority to obligate the organization with respect to the matter or whose act or omission in connection with the matter may be imputed to the organization for purposes of civil or criminal liability. Consent of the organization’s lawyer is not required for communication with a former constituent. If a constituent of the organization is represented in the matter by his or her own counsel, the consent by that counsel to a communication will be sufficient for purposes of this Rule. Compare Rule 3.4(f). In communicating with a current or former constituent of an organization, a lawyer must not use methods of obtaining evidence that violate the legal rights of the organization. See Rule 4.4.

 

   [8] The prohibition on communications with a represented person only applies in circumstances where the lawyer knows that the person is in fact represented in the matter to be discussed. This means that the lawyer has actual knowledge of the fact of the representation; but such actual knowledge may be inferred from the circumstances. See Rule 1.0(f). Thus, the lawyer cannot evade the requirement of obtaining the consent of counsel by closing eyes to the obvious.

 

   [9] In the event the person with whom the lawyer communicates is not known to be represented by counsel in the matter, the lawyer's communications are subject to Rule 4.3.

 

   [10] In the event an “Entry of Limited Appearance” is filed, opposing counsel may communicate with such lawyer’s client on matters outside the scope of limited representation, and by filing such limited appearance, the lawyer and the client shall be deemed to have consented to such communication.

 

Comment [10] of § 3-504.2 adopted August 27, 2008.

 

§ 3-504.3. Dealing with unrepresented person.

   In dealing on behalf of a client with a person who is not represented by counsel, a lawyer shall not state or imply that the lawyer is disinterested. When the lawyer knows or reasonably should know that the unrepresented person misunderstands the lawyer’s role in the matter, the lawyer shall make reasonable efforts to correct the misunderstanding. The lawyer shall not give legal advice to an unrepresented person, other than the advice to secure counsel, if the lawyer knows or reasonably should know that the interests of such a person are or have a reasonable possibility of being in conflict with the interests of the client.

COMMENT

 

   [1] An unrepresented person, particularly one not experienced in dealing with legal matters, might assume that a lawyer is disinterested in loyalties or is a disinterested authority on the law even when the lawyer represents a client. In order to avoid a misunderstanding, a lawyer will typically need to identify the lawyer’s client and, where necessary, explain that the client has interests opposed to those of the unrepresented person. For misunderstandings that sometimes arise when a lawyer for an organization deals with an unrepresented constituent, see Rule 1.13(d).

 

   [2] The Rule distinguishes between situations involving unrepresented persons whose interests may be adverse to those of the lawyer’s client and those in which the person’s interests are not in conflict with the client’s. In the former situation, the possibility that the lawyer will compromise the unrepresented person’s interests is so great that the Rule prohibits the giving of any advice, apart from the advice to obtain counsel. Whether a lawyer is giving impermissible advice may depend on the experience and sophistication of the unrepresented person, as well as the setting in which the behavior and comments occur. This Rule does not prohibit a lawyer from negotiating the terms of a transaction or settling a dispute with an unrepresented person. So long as the lawyer has explained that the lawyer represents an adverse party and is not representing the person, the lawyer may inform the person of the terms on which the lawyer's client will enter into an agreement or settle a matter, prepare documents that require the person's signature and explain the lawyer's own view of the meaning of the document or the lawyer's view of the underlying legal obligations.

 

§ 3-504.4. Respect for rights of third persons.

   (a) In representing a client, a lawyer shall not use means that have no substantial purpose other than to embarrass, delay, or burden a third person, or use methods of obtaining evidence that violate the legal rights of such a person.

   (b) A lawyer who receives a document relating to the representation of the lawyer's client and knows or reasonably should know that the document was inadvertently sent shall promptly notify the sender.

COMMENT

 

   [1] Responsibility to a client requires a lawyer to subordinate the interests of others to those of the client, but that responsibility does not imply that a lawyer may disregard the rights of third persons. It is impractical to catalogue all such rights, but they include legal restrictions on methods of obtaining evidence from third persons and unwarranted intrusions into privileged relationships, such as the client-lawyer relationship.

 

   [2] Paragraph (b) recognizes that lawyers sometimes receive documents that were mistakenly sent or produced by opposing parties or their lawyers. If a lawyer knows or reasonably should know that such a document was sent inadvertently, then this Rule requires the lawyer to promptly notify the sender in order to permit that person to take protective measures. Whether the lawyer is required to take additional steps, such as returning the original document, is a matter of law beyond the scope of these Rules, as is the question of whether the privileged status of a document has been waived. Similarly, this Rule does not address the legal duties of a lawyer who receives a document that the lawyer knows or reasonably should know may have been wrongfully obtained by the sending person. For purposes of this Rule, "document" includes e-mail or other electronic modes of transmission subject to being read or put into readable form.

 

   [3] Some lawyers may choose to return a document unread, for example, when the lawyer learns before receiving the document that it was inadvertently sent to the wrong address. Where a lawyer is not required by applicable law to do so, the decision to voluntarily return such a document is a matter of professional judgment ordinarily reserved to the lawyer. See Rules 1.2 and 1.4.

 

§§ 3-505.1 to 3-505.7: Law Firms and Associations.

§ 3-505.1. Responsibilities of a partner or supervisory lawyer.

   (a) A partner in a law firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.

   (b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.

   (c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional Conduct if:

   (1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or

   (2) the lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

COMMENT

 

   [1] Paragraph (a) applies to lawyers who have managerial authority over the professional work of a firm. See Rule 1.0(c). This includes members of a partnership, the shareholders in a law firm organized as a professional corporation, and members of other associations authorized to practice law; lawyers having comparable managerial authority in a legal services organization or a law department of an enterprise or government agency; and lawyers who have intermediate managerial responsibilities in a firm. Paragraph (b) applies to lawyers who have supervisory authority over the work of other lawyers in a firm.

 

   [2] Paragraph (a) requires lawyers with managerial authority within a firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that all lawyers in the firm will conform to the Rules of Professional Conduct. Such policies and procedures include those designed to detect and resolve conflicts of interest, identify dates by which actions must be taken in pending matters, account for client funds and property and ensure that inexperienced lawyers are properly supervised.

 

   [3] Other measures that may be required to fulfill the responsibility prescribed in paragraph (a) can depend on the firm's structure and the nature of its practice. In a small firm of experienced lawyers, informal supervision and periodic review of compliance with the required systems ordinarily will suffice. In a large firm, or in practice situations in which difficult ethical problems frequently arise, more elaborate measures may be necessary. Some firms, for example, have a procedure whereby junior lawyers can make confidential referral of ethical problems directly to a designated senior partner or special committee. See Rule 5.2. Firms, whether large or small, may also rely on continuing legal education in professional ethics. In any event, the ethical atmosphere of a firm can influence the conduct of all its members and the partners may not assume that all lawyers associated with the firm will inevitably conform to the Rules.

 

   [4] Paragraph (c) expresses a general principle of personal responsibility for acts of another. See also Rule 8.4(a).

 

   [5] Paragraph (c)(2) defines the duty of a partner or other lawyer having comparable managerial authority in a law firm, as well as a lawyer who has direct supervisory authority over performance of specific legal work by another lawyer. Whether a lawyer has supervisory authority in particular circumstances is a question of fact. Partners and lawyers with comparable authority have at least indirect responsibility for all work being done by the firm, while a partner or manager in charge of a particular matter ordinarily also has supervisory responsibility for the work of other firm lawyers engaged in the matter. Appropriate remedial action by a partner or managing lawyer would depend on the immediacy of that lawyer's involvement and the seriousness of the misconduct. A supervisor is required to intervene to prevent avoidable consequences of misconduct if the supervisor knows that the misconduct occurred. Thus, if a supervising lawyer knows that a subordinate misrepresented a matter to an opposing party in negotiation, the supervisor as well as the subordinate has a duty to correct the resulting misapprehension.

 

   [6] Professional misconduct by a lawyer under supervision could reveal a violation of paragraph (b) on the part of the supervisory lawyer even though it does not entail a violation of paragraph (c) because there was no direction, ratification or knowledge of the violation.

 

   [7] Apart from this Rule and Rule 8.4(a), a lawyer does not have disciplinary liability for the conduct of a partner, associate or subordinate. Whether a lawyer may be liable civilly or criminally for another lawyer's conduct is a question of law beyond the scope of these Rules.

 

  [8] The duties imposed by this Rule on managing and supervising lawyers do not alter the personal duty of each lawyer in a firm to abide by the Rules of Professional Conduct. See Rule 5.2(a).

 

§ 3-505.2. Responsibilities of a subordinate lawyer.

   (a) A lawyer is bound by the Rules of Professional Conduct notwithstanding that the lawyer acted at the direction of another person.

   (b) A subordinate lawyer does not violate the Rules of Professional Conduct if that lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty.

COMMENT

 

   [1] Although a lawyer is not relieved of responsibility for a violation by the fact that the lawyer acted at the direction of a supervisor, that fact may be relevant in determining whether a lawyer had the knowledge required to render conduct a violation of the Rules. For example, if a subordinate filed a frivolous pleading at the direction of a supervisor, the subordinate would not be guilty of a professional violation unless the subordinate knew of the document's frivolous character.

 

   [2] When lawyers in a supervisor-subordinate relationship encounter a matter involving professional judgment as to ethical duty, the supervisor may assume responsibility for making the judgment. Otherwise, a consistent course of action or position could not be taken. If the question can reasonably be answered only one way, the duty of both lawyers is clear and they are equally responsible for fulfilling it. However, if the question is reasonably arguable, someone has to decide upon the course of action. That authority ordinarily reposes in the supervisor, and a subordinate may be guided accordingly. For example, if a question arises whether the interests of two clients conflict under Rule 1.7, the supervisor's reasonable resolution of the question should protect the subordinate professionally if the resolution is subsequently challenged.

 

§ 3-505.3. Responsibilities regarding nonlawyer assistants.

   With respect to a nonlawyer employed or retained by or associated with a lawyer:

   (a) a partner, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the person's conduct is compatible with the professional obligations of the lawyer;

   (b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable efforts to ensure that the person's conduct is compatible with the professional obligations of the lawyer; and

   (c) a lawyer shall be responsible for conduct of such a person that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer if:

   (1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct involved; or

   (2) the lawyer is a partner or has comparable managerial authority in the law firm in which the person is employed, or has direct supervisory authority over the person, and knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.

COMMENT

 

   [1] Lawyers generally employ assistants in their practice, including secretaries, investigators, law student interns and paraprofessionals. Such assistants, whether employees or independent contractors, act for the lawyer in rendition of the lawyer's professional services. A lawyer must give such assistants appropriate instruction and supervision concerning the ethical aspects of their employment, particularly regarding the obligation not to disclose information relating to representation of the client, and should be responsible for their work product. The measures employed in supervising nonlawyers should take account of the fact that they do not have legal training and are not subject to professional discipline.

 

   [2] Paragraph (a) requires lawyers with managerial authority within a law firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that nonlawyers in the firm will act in a way compatible with the Rules of Professional Conduct. See Comment [1] to Rule 5.1. Paragraph (b) applies to lawyers who have supervisory authority over the work of a nonlawyer. Paragraph (c) specifies the circumstances in which a lawyer is responsible for conduct of a nonlawyer that would be a violation of the Rules of Professional Conduct if engaged in by a lawyer.

 

§ 3-505.4. Professional independence of a lawyer.

   (a) A lawyer or law firm shall not share legal fees with a nonlawyer, except that:

   (1) an agreement by a lawyer with the lawyer's firm, partner or associate may provide for the payment of money, over a reasonable period of time after the lawyer's death, to the lawyer's estate or to one or more specified persons;

   (2) a lawyer who purchases the practice of a deceased, disabled or disappeared lawyer may, pursuant to the provisions of Rule 1.17, pay to the estate or other representative of that lawyer the agreed-upon purchase price;

   (3) a lawyer or law firm may include nonlawyer employees in a compensation or retirement plan, even though the plan is based in whole or in part on a profit-sharing arrangement; and

   (4) a lawyer may share court-awarded legal fees with a nonprofit organization that employed, retained or recommended employment of the lawyer in the matter.

   (b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law.

   (c) A lawyer shall not permit a person who recommends, employs or pays the lawyer to render legal services for another to direct or regulate the lawyer's professional judgment in rendering such legal services.

   (d) A lawyer shall not practice with or in the form of a professional corporation or association authorized to practice law for a profit, if:

   (1) a nonlawyer owns any interest therein, except that a fiduciary representative of the estate of a lawyer may hold the stock or interest of the lawyer for a reasonable time during administration;

   (2) a nonlawyer is a corporate director or officer thereof or occupies the position of similar responsibility in any form of association other than a corporation; or

   (3) a nonlawyer has the right to direct or control the professional judgment of a lawyer.

COMMENT

 

   [1] The provisions of this Rule express traditional limitations on sharing fees. These limitations are to protect the lawyer's professional independence of judgment. Where someone other than the client pays the lawyer's fee or salary, or recommends employment of the lawyer, that arrangement does not modify the lawyer's obligation to the client. As stated in paragraph (c), such arrangements should not interfere with the lawyer's professional judgment.

 

   [2] This Rule also expresses traditional limitations on permitting a third party to direct or regulate the lawyer's professional judgment in rendering legal services to another. See also Rule 1.8(f) (lawyer may accept compensation from a third party as long as there is no interference with the lawyer's independent professional judgment and the client gives informed consent).

 

§ 3-505.5. Unauthorized practice of law; multijurisdictional practice of law.

   (a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction, or assist another in doing so.

   (b) A lawyer who is not admitted to practice in this jurisdiction shall not:

   (1) except as authorized by these Rules or other law, establish an office or other systematic and continuous presence in this jurisdiction for the practice of law; or

   (2) hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction.

   (c) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction that:

   (1) are undertaken in association with a lawyer who is admitted to practice in this jurisdiction and who actively participates in the matter;

   (2) are in or reasonably related to a pending or potential proceeding before a tribunal in this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized by law or order to appear in such proceeding or reasonably expects to be so authorized;

   (3) are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission; or

   (4) are not within paragraphs (c)(2) or (c)(3) and arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice.

   (d) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services in this jurisdiction that:

   (1) are provided to the lawyer’s employer or its organizational affiliates and are not services for which the forum requires pro hac vice admission and the lawyer is registered under Neb. Ct. R. §§ 3-1201 to 3-1204, Registration of In-House Counsel.

   (2) are services that the lawyer is authorized to provide by federal law or other law of this jurisdiction.

COMMENT

 

   [1] A lawyer may practice law only in a jurisdiction in which the lawyer is authorized to practice. A lawyer may be admitted to practice law in a jurisdiction on a regular basis or may be authorized by court rule or order or by law to practice for a limited purpose or on a restricted basis. Paragraph (a) applies to unauthorized practice of law by a lawyer, whether through the lawyer’s direct action or by the lawyer assisting another person.

 

   [2] The definition of the practice of law is established by law and varies from one jurisdiction to another. Whatever the definition, limiting the practice of law to members of the bar protects the public against rendition of legal services by unqualified persons. This Rule does not prohibit a lawyer from employing the services of paraprofessionals and delegating functions to them, so long as the lawyer supervises the delegated work and retains responsibility for their work. See Rule 5.3.

 

   [3] A lawyer may provide professional advice and instruction to nonlawyers whose employment requires knowledge of the law; for example, claims adjusters, employees of financial or commercial institutions, social workers, accountants and persons employed in government agencies. Lawyers also may assist independent nonlawyers, such as paraprofessionals, who are authorized by the law of a jurisdiction to provide particular law-related services. In addition, a lawyer may counsel nonlawyers who wish to proceed pro se.

 

   [4] Other than as authorized by law or this Rule, a lawyer who is not admitted to practice generally in this jurisdiction violates paragraph (b) if the lawyer establishes an office or other systematic and continuous presence in this jurisdiction for the practice of law. Presence may be systematic and continuous even if the lawyer is not physically present here. Such a lawyer must not hold out to the public or otherwise represent that the lawyer is admitted to practice law in this jurisdiction. See also Rules 7.1 and 7.5(b).

 

   [5] There are occasions in which a lawyer admitted to practice in another United States jurisdiction, and not disbarred or suspended from practice in any jurisdiction, may provide legal services on a temporary basis in this jurisdiction under circumstances that do not create an unreasonable risk to the interests of their clients, the public or the courts. Paragraph (c) identifies four such circumstances. The fact that conduct is not so identified does not imply that the conduct is or is not authorized. With the exception of paragraphs (d)(1) and (d)(2), this Rule does not authorize a lawyer to establish an office or other systematic and continuous presence in this jurisdiction without being admitted to practice generally here.

 

   [6] There is no single test to determine whether a lawyer’s services are provided on a "temporary basis" in this jurisdiction, and may therefore be permissible under paragraph (c). Services may be "temporary" even though the lawyer provides services in this jurisdiction on a recurring basis, or for an extended period of time, as when the lawyer is representing a client in a single lengthy negotiation or litigation.

 

   [7] Paragraphs (c) and (d) apply to lawyers who are admitted to practice law in any United States jurisdiction, which includes the District of Columbia and any state, territory or commonwealth of the United States. The word "admitted" in paragraph (c) contemplates that the lawyer is authorized to practice in the jurisdiction in which the lawyer is admitted and excludes a lawyer who while technically admitted is not authorized to practice, because, for example, the lawyer is on inactive status.

 

   [8] Paragraph (c)(1) recognizes that the interests of clients and the public are protected if a lawyer admitted only in another jurisdiction associates with a lawyer licensed to practice in this jurisdiction. For this paragraph to apply, however, the lawyer admitted to practice in this jurisdiction must actively participate in and share responsibility for the representation of the client.

 

   [9] Lawyers not admitted to practice generally in a jurisdiction may be authorized by law or order of a tribunal or an administrative agency to appear before the tribunal or agency. This authority may be granted pursuant to formal rules governing admission pro hac vice or pursuant to informal practice of the tribunal or agency. Under paragraph (c)(2), a lawyer does not violate this Rule when the lawyer appears before a tribunal or agency pursuant to such authority. To the extent that a court rule or other law of this jurisdiction requires a lawyer who is not admitted to practice in this jurisdiction to obtain admission pro hac vice before appearing before a tribunal or administrative agency, this Rule requires the lawyer to obtain that authority.

 

   [10] Paragraph (c)(2) also provides that a lawyer rendering services in this jurisdiction on a temporary basis does not violate this Rule when the lawyer engages in conduct in anticipation of a proceeding or hearing in a jurisdiction in which the lawyer is authorized to practice law or in which the lawyer reasonably expects to be admitted pro hac vice. Examples of such conduct include meetings with the client, interviews of potential witnesses, and the review of documents. Similarly, a lawyer admitted only in another jurisdiction may engage in conduct temporarily in this jurisdiction in connection with pending litigation in another jurisdiction in which the lawyer is or reasonably expects to be authorized to appear, including taking depositions in this jurisdiction.

 

   [11] When a lawyer has been or reasonably expects to be admitted to appear before a court or administrative agency, paragraph (c)(2) also permits conduct by lawyers who are associated with that lawyer in the matter, but who do not expect to appear before the court or administrative agency. For example, subordinate lawyers may conduct research, review documents, and attend meetings with witnesses in support of the lawyer responsible for the litigation.

 

   [12] Paragraph (c)(3) permits a lawyer admitted to practice law in another jurisdiction to perform services on a temporary basis in this jurisdiction if those services are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in this or another jurisdiction, if the services arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to practice. The lawyer, however, must obtain admission pro hac vice in the case of a court-annexed arbitration or mediation or otherwise if court rules or law so require.

 

   [13] Paragraph (c)(4) permits a lawyer admitted in another jurisdiction to provide certain legal services on a temporary basis in this jurisdiction that arise out of or are reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted but are not within paragraphs (c)(2) or (c)(3). These services include both legal services and services that nonlawyers may perform but that are considered the practice of law when performed by lawyers.

 

   [14] Paragraphs (c)(3) and (c)(4) require that the services arise out of or be reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted. A variety of factors evidence such a relationship. The lawyer’s client may have been previously represented by the lawyer, or may be resident in or have substantial contacts with the jurisdiction in which the lawyer is admitted. The matter, although involving other jurisdictions, may have a significant connection with that jurisdiction. In other cases, significant aspects of the lawyer’s work might be conducted in that jurisdiction or a significant aspect of the matter may involve the law of that jurisdiction. The necessary relationship might arise when the client’s activities or the legal issues involve multiple jurisdictions, such as when the officers of a multinational corporation survey potential business sites and seek the services of their lawyer in assessing the relative merits of each. In addition, the services may draw on the lawyer’s recognized expertise developed through the regular practice of law on behalf of clients in matters involving a particular body of federal, nationally-uniform, foreign or international law.

 

   [15] Paragraph (d) identifies two circumstances in which a lawyer who is admitted to practice in another United States jurisdiction, and is not disbarred or suspended from practice in any jurisdiction, may establish an office or other systematic and continuous presence in this jurisdiction for the practice of law as well as provide legal services on a temporary basis. Except as provided in paragraphs (d)(1) and (d)(2), a lawyer who is admitted to practice law in another jurisdiction and who establishes an office or other systematic or continuous presence in this jurisdiction must become admitted to practice law generally in this jurisdiction.

 

   [16] Paragraph (d)(1) applies to a lawyer who is employed by a client to provide legal services to the client or its organizational affiliates, i.e., entities that control, are controlled by or are under common control with the employer. This paragraph does not authorize the provision of personal legal services to the employer’s officers or employees. The paragraph applies to in-house corporate lawyers, government lawyers and others who are employed to render legal services to the employer. The lawyer’s ability to represent the employer outside the jurisdiction in which the lawyer is licensed generally serves the interests of the employer and does not create an unreasonable risk to the client and others because the employer is well situated to assess the lawyer’s qualifications and the quality of the lawyer’s work.

 

   [17] If an employed lawyer establishes an office or other systematic presence in this jurisdiction for the purpose of rendering legal services to the employer, the lawyer may be subject to registration or other requirements, including assessments for client protection funds and mandatory continuing legal education.

 

   [18] Paragraph (d)(2) recognizes that a lawyer may provide legal services in a jurisdiction in which the lawyer is not licensed when authorized to do so by federal or other law, which includes statute, court rule, executive regulation or judicial precedent.

 

   [19] A lawyer who practices law in this jurisdiction pursuant to paragraphs (c) or (d) or otherwise is subject to the disciplinary authority of this jurisdiction. See Rule 8.5(a).

 

   [20] In some circumstances, a lawyer who practices law in this jurisdiction pursuant to paragraphs (c) or (d) may have to inform the client that the lawyer is not licensed to practice law in this jurisdiction. For example, that may be required when the representation occurs primarily in this jurisdiction and requires knowledge of the law of this jurisdiction. See Rule 1.4(b).

 

   [21] Paragraphs (c) and (d) do not authorize communications advertising legal services to prospective clients in this jurisdiction by lawyers who are admitted to practice in other jurisdictions. Whether and how lawyers may communicate the availability of their services to prospective clients in this jurisdiction is governed by Rules 7.1 to 7.5.

§ 3-505.5(d)(1) amended October 26, 2011, effective January 1, 2012.

§ 3-505.6. Restrictions on right to practice.

   A lawyer shall not participate in offering or making:

   (a) a partnership, shareholders, operating, employment or other similar type of agreement that restricts the right of a lawyer to practice after termination of the relationship, except an agreement concerning benefits upon retirement; or

   (b) an agreement in which a restriction on the lawyer's right to practice is part of the settlement of a client controversy.

COMMENT

 

   [1] An agreement restricting the right of lawyers to practice after leaving a firm not only limits their professional autonomy but also limits the freedom of clients to choose a lawyer. Paragraph (a) prohibits such agreements except for restrictions incident to provisions concerning retirement benefits for service with the firm.

 

   [2] Paragraph (b) prohibits a lawyer from agreeing not to represent other persons in connection with settling a claim on behalf of a client.

 

   [3] This Rule does not apply to prohibit restrictions that may be included in the terms of the sale of a law practice pursuant to Rule 1.17.

 

§ 3-505.7. Responsibilities regarding law-related services.

   (a) A lawyer shall be subject to the Rules of Professional Conduct with respect to the provision of law-related services, as defined in paragraph (b), if the law-related services are provided:

   (1) by the lawyer in circumstances that are not distinct from the lawyer's provision of legal services to clients; or

   (2) in other circumstances by an entity controlled by the lawyer individually or with others if the lawyer fails to take reasonable measures to assure that a person obtaining the law-related services knows that the services are not legal services and that the protections of the client-lawyer relationship do not exist.

   (b) The term "law-related services" denotes services that might reasonably be performed in conjunction with and in substance are related to the provision of legal services and that are not prohibited as unauthorized practice of law when provided by a nonlawyer.

COMMENT

 

   [1] When a lawyer performs law-related services or controls an organization that does so, there exists the potential for ethical problems. Principal among these is the possibility that the person for whom the law-related services are performed fails to understand that the services may not carry with them the protections normally afforded as part of the client-lawyer relationship. The recipient of the law-related services may expect, for example, that the protection of client confidences, prohibitions against representation of persons with conflicting interests and obligations of a lawyer to maintain professional independence apply to the provision of law-related services when that may not be the case.

 

   [2] This Rule applies to the provision of law-related services by a lawyer even when the lawyer does not provide any legal services to the person for whom the law-related services are performed and whether the law-related services are performed through a law firm or a separate entity. The Rule identifies the circumstances in which all of the Rules of Professional Conduct apply to the provision of law-related services. Even when those circumstances do not exist, however, the conduct of a lawyer involved in the provision of law-related services is subject to those Rules that apply generally to lawyer conduct, regardless of whether the conduct involves the provision of legal services. See, e.g., Rule 8.4.

 

   [3] When law-related services are provided by a lawyer under circumstances that are not distinct from the lawyer's provision of legal services to clients, the lawyer in providing the law-related services must adhere to the requirements of the Rules of Professional Conduct as provided in paragraph (a)(1). Even when the law-related and legal services are provided in circumstances that are distinct from each other, for example through separate entities or different support staff within the law firm, the Rules of Professional Conduct apply to the lawyer as provided in paragraph (a)(2) unless the lawyer takes reasonable measures to assure that the recipient of the law-related services knows that the services are not legal services and that the protections of the client-lawyer relationship do not apply.


   [4] Law-related services also may be provided through an entity that is distinct from that through which the lawyer provides legal services. If the lawyer individually or with others has control of such an entity's operations, the Rule requires the lawyer to take reasonable measures to assure that each person using the services of the entity knows that the services provided by the entity are not legal services and that the Rules of Professional Conduct that relate to the client-lawyer relationship do not apply. A lawyer's control of an entity extends to the ability to direct its operation. Whether a lawyer has such control will depend upon the circumstances of the particular case.

 

   [5] When a client-lawyer relationship exists with a person who is referred by a lawyer to a separate law-related service entity controlled by the lawyer, individually or with others, the lawyer must comply with Rule 1.8(a).

 

   [6] In taking the reasonable measures referred to in paragraph (a)(2) to assure that a person using law-related services understands the practical effect or significance of the inapplicability of the Rules of Professional Conduct the lawyer should communicate to the person receiving the law-related services, in a manner sufficient to assure that the person understands the significance of the fact, that the relationship of the person to the business entity will not be a client-lawyer relationship. The communication should be made before entering into an agreement for provision of or providing law-related services, and preferably should be in writing.

 

   [7] The burden is upon the lawyer to show that the lawyer has taken reasonable measures under the circumstances to communicate the desired understanding. For instance, a sophisticated user of law-related services, such as a publicly held corporation, may require a lesser explanation than someone unaccustomed to making distinctions between legal services and law-related services, such as an individual seeking tax advice from a lawyer-accountant or investigative services in connection with a lawsuit.

 

   [8] Regardless of the sophistication of potential recipients of law-related services, a lawyer should take special care to keep separate the provision of law-related and legal services in order to minimize the risk that the recipient will assume that the law-related services are legal services. The risk of such confusion is especially acute when the lawyer renders both types of services with respect to the same matter. Under some circumstances, the legal and law-related services may be so closely entwined that they cannot be distinguished from each other, and the requirement of disclosure and consultation imposed by paragraph (a)(2) of the Rule cannot be met. In such a case, a lawyer will be responsible for assuring that both the lawyer's conduct and, to the extent required by Rule 5.3, that of nonlawyer employees in the distinct entity that the lawyer controls complies in all respects with the Rules of Professional Conduct.

 

   [9] A broad range of economic and other interests of clients may be served by lawyers' engaging in the delivery of law-related services. Examples of law-related services include providing title insurance, financial planning, accounting, trust services, real estate counseling, legislative lobbying, economic analysis, social work, psychological counseling, tax preparation and patent, medical or environmental consulting.

 

   [10] When a lawyer is obliged to accord the recipients of such services the protections of those Rules that apply to the client-lawyer relationship, the lawyer must take special care to heed the proscriptions of the Rules addressing conflict of interest (Rules 1.7 through 1.11, especially Rules 1.7(a)(2) and 1.8(a), (b) and (f)), and to scrupulously adhere to the requirements of Rule 1.6 relating to disclosure of confidential information. The promotion of the law-related services must also in all respects comply with Rules 7.1 through 7.3, dealing with advertising and solicitation. In that regard, lawyers should take special care to identify the obligations that may be imposed as a result of a jurisdiction's decisional law.

 

   [11] When the full protections of all of the Rules of Professional Conduct do not apply to the provision of law-related services, principles of law external to the Rules, for example, the law of principal and agent, govern the legal duties owed to those receiving the services. Those other legal principles may establish a different degree of protection for the recipient with respect to confidentiality of information, conflicts of interest and permissible business relationships with clients. See also Rule 8.4 (Misconduct).

 

§§ 3-506.1 to 3-506.5: Public Service.

§ 3-506.1. Voluntary pro bono service.

   A lawyer should aspire to render pro bono legal services. In fulfilling this responsibility, the lawyer should:

   (a) provide a substantial majority of the legal services without fee or expectation of fee to:

   (1) persons of limited means or

   (2) charitable, religious, civic, community, governmental and educational organizations in matters that are designed primarily to address the needs of persons of limited means; and

   (b) provide any additional services through:

   (1) delivery of legal services at no fee or substantially reduced fee to individuals, groups or organizations seeking to secure or protect civil rights, civil liberties or public rights, or charitable, religious, civic, community, governmental and educational organizations in matters in furtherance of their organizational purposes, where the payment of standard legal fees would significantly deplete the organization's economic resources or would be otherwise inappropriate;

   (2) delivery of legal services at a substantially reduced fee to persons of limited means; or

   (3) participation in activities for improving the law, the legal system or the legal profession.

In addition, a lawyer should voluntarily contribute financial support to organizations that provide legal services to persons of limited means.

COMMENT

 

   [1] Every lawyer, regardless of professional prominence or professional work load, has a responsibility to provide legal services to those unable to pay, and personal involvement in the problems of the disadvantaged can be one of the most rewarding experiences in the life of a lawyer. The American Bar Association urges all lawyers to provide a minimum of 50 hours of pro bono services annually.

 

   [2] Paragraphs (a)(1) and (2) recognize the critical need for legal services that exists among persons of limited means by providing that a substantial majority of the legal services rendered annually to the disadvantaged be furnished without fee or expectation of fee. Legal services under these paragraphs consist of a full range of activities, including individual and class representation, the provision of legal advice, legislative lobbying, administrative rule making and the provision of free training or mentoring to those who represent persons of limited means. The variety of these activities should facilitate participation by government lawyers, even when restrictions exist on their engaging in the outside practice of law.

 

   [3] Persons eligible for legal services under paragraphs (a)(1) and (2) are those who qualify for participation in programs funded by the Legal Services Corporation and those whose incomes and financial resources are slightly above the guidelines utilized by such programs but nevertheless, cannot afford counsel. Legal services can be rendered to individuals or to organizations such as homeless shelters, battered women's centers and food pantries that serve those of limited means. The term "governmental organizations" includes, but is not limited to, public protection programs and sections of governmental or public sector agencies.

 

   [4] Because service must be provided without fee or expectation of fee, the intent of the lawyer to render free legal services is essential for the work performed to fall within the meaning of paragraphs (a)(1) and (2). Accordingly, services rendered cannot be considered pro bono if an anticipated fee is uncollected, but the award of statutory attorneys fees in a case originally accepted as pro bono would not disqualify such services from inclusion under this section. Lawyers who do receive fees in such cases are encouraged to contribute an appropriate portion of such fees to organizations or projects that benefit persons of limited means.

 

   [5] Constitutional, statutory or regulatory restrictions may prohibit or impede government and public sector lawyers from performing the pro bono services outlined in paragraphs (a)(1) and (2). Accordingly, where those restrictions apply, government and public sector lawyers may fulfill their pro bono responsibility by performing services outlined in paragraph (b).

 

   [6] Because the provision of pro bono services is a professional responsibility, it is the individual ethical commitment of each lawyer. Nevertheless, there may be times when it is not feasible for a lawyer to engage in pro bono services. A lawyer may discharge the pro bono responsibility by providing financial support to organizations providing free legal services to persons of limited means. Such financial support should be reasonably equivalent to the value of the hours of service that would have otherwise been provided. In addition, at times it may be more feasible to satisfy the pro bono responsibility collectively, as by a firm's aggregate pro bono activities.

 

   [7] Because the efforts of individual lawyers are not enough to meet the need for free legal services that exists among persons of limited means, the government and the profession have instituted additional programs to provide those services. Every lawyer should financially support such programs, in addition to either providing direct pro bono services or making financial contributions when pro bono service is not feasible.

 

   [8] Law firms should act reasonably to enable and encourage all lawyers in the firm to provide pro bono legal services.

 

   [9] The responsibility set forth in this Rule is not intended to be enforced through disciplinary process.

 

§ 3-506.2. Accepting appointments.

   A lawyer shall not seek to avoid appointment by a tribunal to represent a person except for good cause, such as:

   (a) representing the client is likely to result in violation of the Rules of Professional Conduct or other law;

   (b) representing the client is likely to result in an unreasonable financial burden on the lawyer; or

   (c) the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer's ability to represent the client.

COMMENT

 

   [1] A lawyer ordinarily is not obliged to accept a client whose character or cause the lawyer regards as repugnant. The lawyer's freedom to select clients is, however, qualified. All lawyers have a responsibility to assist in providing pro bono service. See Rule 6.1. An individual lawyer fulfills this responsibility by accepting a fair share of unpopular matters or indigent or unpopular clients. A lawyer may also be subject to appointment by a court to serve unpopular clients or persons unable to afford legal services.

 

Appointed Counsel

   [2] For good cause, a lawyer may seek to decline an appointment to represent a person who cannot afford to retain counsel or whose cause is unpopular. Good cause exists if the lawyer could not handle the matter competently, see Rule 1.1, or if undertaking the representation would result in an improper conflict of interest, for example, when the client or the cause is so repugnant to the lawyer as to be likely to impair the client-lawyer relationship or the lawyer's ability to represent the client. A lawyer may also seek to decline an appointment if acceptance would be unreasonably burdensome, for example, when it would impose a financial sacrifice so great as to be unjust.

 

   [3] An appointed lawyer has the same obligations to the client as retained counsel, including the obligations of loyalty and confidentiality, and is subject to the same limitations on the client-lawyer relationship, such as the obligation to refrain from assisting the client in violation of the Rules.

 

§ 3-506.3. Membership in legal services organization.

   A lawyer may serve as a director, officer or member of a legal services organization, apart from the law firm in which the lawyer practices, notwithstanding that the organization serves persons having interests adverse to a client of the lawyer. The lawyer shall not knowingly participate in a decision or action of the organization:

   (a) if participating in the decision or action would be incompatible with the lawyer's obligations to a client under Rule 1.7; or

   (b) where the decision or action could have a material adverse effect on the representation of a client of the organization whose interests are adverse to a client of the lawyer.

COMMENT

 

   [1] Lawyers should be encouraged to support and participate in legal service organizations. A lawyer who is an officer or a member of such an organization does not thereby have a client-lawyer relationship with persons served by the organization. However, there is potential conflict between the interests of such persons and the interests of the lawyer's clients. If the possibility of such conflict disqualified a lawyer from serving on the board of a legal services organization, the profession's involvement in such organizations would be severely curtailed.

 

   [2] It may be necessary in appropriate cases to reassure a client of the organization that the representation will not be affected by conflicting loyalties of a member of the board. Established, written policies in this respect can enhance the credibility of such assurances.

 

§ 3-506.4. Law reform activities affecting client interests.

   A lawyer may serve as a director, officer or member of an organization involved in reform of the law or its administration notwithstanding that the reform may affect the interests of a client of the lawyer. When the lawyer knows that the interests of a client may be materially benefited by a decision in which the lawyer participates, the lawyer shall disclose that fact but need not identify the client.

COMMENT

 

   [1] Lawyers involved in organizations seeking law reform generally do not have a client-lawyer relationship with the organization. Otherwise, it might follow that a lawyer could not be involved in a bar association law reform program that might indirectly affect a client. For example, a lawyer specializing in antitrust litigation might be regarded as disqualified from participating in drafting revisions of rules governing that subject. In determining the nature and scope of participation in such activities, a lawyer should be mindful of obligations to clients under other Rules, particularly Rule 1.7. A lawyer is professionally obligated to protect the integrity of the program by making an appropriate disclosure within the organization when the lawyer knows a private client might be materially benefited.

 

§ 3-506.5. Nonprofit and court-annexed limited legal services programs.

   (a) A lawyer who, under the auspices of a program sponsored by a nonprofit organization or court, provides short-term limited legal services to a client without expectation by either the lawyer or the client that the lawyer will provide continuing representation in the matter:

   (1) is subject to Rules 1.7 and 1.9(a) only if the lawyer knows that the representation of the client involves a conflict of interest; and

   (2) is subject to Rule 1.10 only if the lawyer knows that another lawyer associated with the lawyer in a law firm is disqualified by Rule 1.7 or 1.9(a) with respect to the matter.

   (b) Except as provided in paragraph (a)(2), Rule 1.10 is inapplicable to a representation governed by this Rule.

COMMENT

 

   [1] Legal services organizations, courts and various nonprofit organizations have established programs through which lawyers provide short-term limited legal services – such as advice or the completion of legal forms – that will assist persons to address their legal problems without further representation by a lawyer. In these programs, such as legal-advice hotlines, advice-only clinics or pro se counseling programs, a client-lawyer relationship is established, but there is no expectation that the lawyer's representation of the client will continue beyond the limited consultation. Such programs are normally operated under circumstances in which it is not feasible for a lawyer to systematically screen for conflicts of interest as is generally required before undertaking a representation. See, e.g., Rules 1.7, 1.9 and 1.10.

 

   [2] A lawyer who provides short-term limited legal services pursuant to this Rule must secure the client's informed consent to the limited scope of the representation. See Rule 1.2(b). If a short-term limited representation would not be reasonable under the circumstances, the lawyer may offer advice to the client but must also advise the client of the need for further assistance of counsel. Except as provided in this Rule, the Rules of Professional Conduct, including Rules 1.6 and 1.9(c), are applicable to the limited representation.

 

   [3] Because a lawyer who is representing a client in the circumstances addressed by this Rule ordinarily is not able to check systematically for conflicts of interest, paragraph (a) requires compliance with Rules 1.7 or 1.9(a) only if the lawyer knows that the representation presents a conflict of interest for the lawyer, and with Rule 1.10 only if the lawyer knows that another lawyer in the lawyer's firm is disqualified by Rules 1.7 or 1.9(a) in the matter.

 

   [4] Because the limited nature of the services significantly reduces the risk of conflicts of interest with other matters being handled by the lawyer's firm, paragraph (b) provides that Rule 1.10 is inapplicable to a representation governed by this Rule except as provided by paragraph (a)(2). Paragraph (a)(2) requires the participating lawyer to comply with Rule 1.10 when the lawyer knows that the lawyer's firm is disqualified by Rules 1.7 or 1.9(a). By virtue of paragraph (b), however, a lawyer's participation in a short-term limited legal services program will not preclude the lawyer's firm from undertaking or continuing the representation of a client with interests adverse to a client being represented under the program's auspices. Nor will the personal disqualification of a lawyer participating in the program be imputed to other lawyers participating in the program.

 

   [5] If, after commencing a short-term limited representation in accordance with this Rule, a lawyer undertakes to represent the client in the matter on an ongoing basis, Rules 1.7, 1.9(a) and 1.10 become applicable.

 

 

§§ 3-507.1 to 3-507.5: Information About Legal Services.

§ 3-507.1. Communications concerning a lawyer’s services.

   A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services. A communication is false or misleading if it contains a material misrepresentation of fact or law, or omits a fact necessary to make the statement considered as a whole not materially misleading.

COMMENT

 

   [1] This Rule governs all communications about a lawyer's services, including advertising permitted by Rule 7.2. Whatever means are used to make known a lawyer's services, statements about them must be truthful.

 

   [2] Truthful statements that are misleading are also prohibited by this Rule. A truthful statement is misleading if it omits a fact necessary to make the lawyer's communication considered as a whole not materially misleading. A truthful statement is also misleading if there is a substantial likelihood that it will lead a reasonable person to formulate a specific conclusion about the lawyer or the lawyer's services for which there is no reasonable factual foundation.

 

   [3] An advertisement that truthfully reports a lawyer's achievements on behalf of clients or former clients may be misleading if presented so as to lead a reasonable person to form an unjustified expectation that the same results could be obtained for other clients in similar matters without reference to the specific factual and legal circumstances of each client's case. Similarly, an unsubstantiated comparison of the lawyer's services or fees with the services or fees of other lawyers may be misleading if presented with such specificity as would lead a reasonable person to conclude that the comparison can be substantiated. The inclusion of an appropriate disclaimer or qualifying language may preclude a finding that a statement is likely to create unjustified expectations or otherwise mislead a prospective client.

 

   [4] See also Rule 8.4(e) for the prohibition against stating or implying an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law.

 

§ 3-507.2. Advertising.

   (a) Subject to the requirements of Rules 7.1 and 7.3, a lawyer may advertise services through written, recorded or electronic communication, including public media.

   (b) A lawyer shall not give anything of value to a person for recommending the lawyer's services except that a lawyer may

   (1) pay the reasonable costs of advertisements or communications permitted by this Rule;

   (2) pay the usual charges of a legal service plan or a not-for-profit or qualified lawyer referral service. A qualified lawyer referral service is a lawyer referral service that has been approved by an appropriate regulatory authority;

   (3) pay for a law practice in accordance with Rule 1.17; and

   (4) refer clients to another lawyer or a nonlawyer professional pursuant to an agreement not otherwise prohibited under these Rules that provides for the other person to refer clients or customers to the lawyer, if

   (i) the reciprocal referral agreement is not exclusive, and

   (ii) the client is informed of the existence and nature of the agreement.

   (c) Any communication made pursuant to this rule shall include the name and office address of at least one lawyer or law firm responsible for its content.

COMMENT

 

   [1] To assist the public in obtaining legal services, lawyers should be allowed to make known their services not only through reputation but also through organized information campaigns in the form of advertising. Advertising involves an active quest for clients, contrary to the tradition that a lawyer should not seek clientele. However, the public's need to know about legal services can be fulfilled in part through advertising. This need is particularly acute in the case of persons of moderate means who have not made extensive use of legal services. The interest in expanding public information about legal services ought to prevail over considerations of tradition. Nevertheless, advertising by lawyers entails the risk of practices that are misleading or overreaching.

 

   [2] This Rule permits public dissemination of information concerning a lawyer's name or firm name, address and telephone number; the kinds of services the lawyer will undertake; the basis on which the lawyer's fees are determined, including prices for specific services and payment and credit arrangements; a lawyer's foreign language ability; names of references and, with their consent, names of clients regularly represented; and other information that might invite the attention of those seeking legal assistance.

 

   [3] Questions of effectiveness and taste in advertising are matters of speculation and subjective judgment. Some jurisdictions have had extensive prohibitions against television advertising, against advertising going beyond specified facts about a lawyer, or against "undignified" advertising. Television is now one of the most powerful media for getting information to the public, particularly persons of low and moderate income; prohibiting television advertising, therefore, would impede the flow of information about legal services to many sectors of the public. Limiting the information that may be advertised has a similar effect and assumes that the bar can accurately forecast the kind of information that the public would regard as relevant. Similarly, electronic media, such as the Internet, can be an important source of information about legal services, and lawful communication by electronic mail is permitted by this Rule. But see Rule 7.3(a) for the prohibition against the solicitation of a prospective client through a real-time electronic exchange that is not initiated by the prospective client.

 

   [4] Neither this Rule nor Rule 7.3 prohibits communications authorized by law, such as notice to members of a class in class action litigation.

 

Paying Others to Recommend a Lawyer

   [5] Lawyers are not permitted to pay others for channeling professional work. Paragraph (b)(1), however, allows a lawyer to pay for advertising and communications permitted by this Rule, including the costs of print directory listings, on-line directory listings, newspaper ads, television and radio airtime, domain-name registrations, sponsorship fees, banner ads and group advertising. A lawyer may compensate employees, agents and vendors who are engaged to provide marketing or client-development services, such as publicists, public-relations personnel, business-development staff and website designers. See Rule 5.3 for the duties of lawyers and law firms with respect to the conduct of nonlawyers who prepare marketing materials for them.

 

   [6] A lawyer may pay the usual charges of a legal service plan or a not-for-profit or qualified lawyer referral service. A legal service plan is a prepaid or group legal service plan or a similar delivery system that assists prospective clients to secure legal representation. A lawyer referral service, on the other hand, is any organization that holds itself out to the public as a lawyer referral service. Such referral services are understood by laypersons to be consumer-oriented organizations that provide unbiased referrals to lawyers with appropriate experience in the subject matter of the representation and afford other client protections, such as complaint procedures or malpractice insurance requirements. Consequently, this Rule only permits a lawyer to pay the usual charges of a not-for-profit or qualified lawyer referral service. A qualified lawyer referral service is one that is approved by an appropriate regulatory authority as affording adequate protections for prospective clients. See, e.g., the American Bar Association's Model Supreme Court Rules Governing Lawyer Referral Services and Model Lawyer Referral and Information Service Quality Assurance Act (requiring that organizations that are identified as lawyer referral services (i) permit the participation of all lawyers who are licensed and eligible to practice in the jurisdiction and who meet reasonable objective eligibility requirements as may be established by the referral service for the protection of prospective clients; (ii) require each participating lawyer to carry reasonably adequate malpractice insurance; (iii) act reasonably to assess client satisfaction and address client complaints; and (iv) do not refer prospective clients to lawyers who own, operate or are employed by the referral service.)

 

   [7] A lawyer who accepts assignments or referrals from a legal service plan or referrals from a lawyer referral service must act reasonably to assure that the activities of the plan or service are compatible with the lawyer's professional obligations. See Rule 5.3. Legal service plans and lawyer referral services may communicate with prospective clients, but such communication must be in conformity with these Rules. Thus, advertising must not be false or misleading, as would be the case if the communications of a group advertising program or a group legal services plan would mislead prospective clients to think that it was a lawyer referral service sponsored by a state agency or bar association. Nor could the lawyer allow in-person, telephonic, or real-time contacts that would violate Rule 7.3.

 

   [8] A lawyer also may agree to refer clients to another lawyer or a nonlawyer professional, in return for the undertaking of that person to refer clients or customers to the lawyer. Such reciprocal referral arrangements must not interfere with the lawyer’s professional judgment as to making referrals or as to providing substantive legal services. See Rules 2.1 and 5.4(c). Except as provided in Rule 1.5(e), a lawyer who receives referrals from a lawyer or nonlawyer professional must not pay anything solely for the referral, but the lawyer does not violate paragraph (b) of this Rule by agreeing to refer clients to the other lawyer or nonlawyer professional, so long as the reciprocal referral agreement is not exclusive and the client is informed of the referral agreement. Conflicts of interest created by such arrangements are governed by Rule 1.7. Reciprocal referral agreements should not be of indefinite duration and should be reviewed periodically to determine whether they comply with these Rules. This Rule does not restrict referrals or divisions of revenues or net income among lawyers within firms comprised of multiple entities.

 

§ 3-507.3. Direct contact with prospective clients.

   (a) A lawyer shall not by in-person, live telephone or real-time electronic contact solicit professional employment from a prospective client when a significant motive for the lawyer's doing so is the lawyer's pecuniary gain, unless the person contacted:

   (1) is a lawyer; or

   (2) has a family, close personal or prior professional relationship with the lawyer.

   (b) A lawyer shall not solicit professional employment from a prospective client by written, recorded or electronic communication or by in-person, telephone or real-time electronic contact even when not otherwise prohibited by paragraph (a), if:

   (1) the prospective client has made known to the lawyer a desire not to be solicited by the lawyer; or

   (2) the solicitation involves coercion, duress or harassment.

   (c) Every written, recorded or electronic communication from a lawyer soliciting professional employment from a prospective client shall include the words "This is an advertisement" on the outside envelope, if any, and at the beginning and ending of any recorded or electronic communication, and in the subject line of an email, unless the recipient of the communication is a person specified in paragraphs (a)(1) or (a)(2). “This is an advertisement” shall appear in type size at least as large as the print of the address and shall be located in a conspicuous place on the envelope or postcard.

   (d) Notwithstanding the prohibitions in paragraph (a), a lawyer may participate with a prepaid or group legal service plan operated by an organization not owned or directed by the lawyer that uses in-person or telephone contact to solicit memberships or subscriptions for the plan from persons who are not known to need legal services in a particular matter covered by the plan.

COMMENT

 

   [1] There is a potential for abuse inherent in direct in-person, live telephone or real-time electronic contact by a lawyer with a prospective client known to need legal services. These forms of contact between a lawyer and a prospective client subject the layperson to the private importuning of the trained advocate in a direct interpersonal encounter. The prospective client, who may already feel overwhelmed by the circumstances giving rise to the need for legal services, may find it difficult fully to evaluate all available alternatives with reasoned judgment and appropriate self-interest in the face of the lawyer's presence and insistence upon being retained immediately. The situation is fraught with the possibility of undue influence, intimidation and over-reaching.

 

   [2] This potential for abuse inherent in direct in-person, live telephone or real-time electronic solicitation of prospective clients justifies its prohibition, particularly since lawyer advertising and written and recorded communication permitted under Rule 7.2 offer alternative means of conveying necessary information to those who may be in need of legal services. Advertising and written and recorded communications which may be mailed or autodialed make it possible for a prospective client to be informed about the need for legal services, and about the qualifications of available lawyers and law firms, without subjecting the prospective client to direct in-person, telephone or real-time electronic persuasion that may overwhelm the client's judgment.

 

   [3] The use of general advertising and written, recorded or electronic communications to transmit information from lawyer to prospective client, rather than direct in-person, live telephone or real-time electronic contact, will help to assure that the information flows cleanly as well as freely. The contents of advertisements and communications permitted under Rule 7.2 can be permanently recorded so that they cannot be disputed and may be shared with others who know the lawyer. This potential for informal review is itself likely to help guard against statements and claims that might constitute false and misleading communications, in violation of Rule 7.1. The contents of direct in-person, live telephone or real-time electronic conversations between a lawyer and a prospective client can be disputed and may not be subject to third-party scrutiny. Consequently, they are much more likely to approach (and occasionally cross) the dividing line between accurate representations and those that are false and misleading.

 

   [4] There is far less likelihood that a lawyer would engage in abusive practices against an individual who is a former client, or with whom the lawyer has close personal or family relationship, or in situations in which the lawyer is motivated by considerations other than the lawyer's pecuniary gain. Nor is there a serious potential for abuse when the person contacted is a lawyer. Consequently, the general prohibition in paragraph (a) and the requirements of paragraph (c) are not applicable in those situations. Also, paragraph (a) is not intended to prohibit a lawyer from participating in constitutionally protected activities of public or charitable legal-service organizations or bona fide political, social, civic, fraternal, employee or trade organizations whose purposes include providing or recommending legal services to its members or beneficiaries.

 

   [5] But even permitted forms of solicitation can be abused. Thus, any solicitation which contains information which is false or misleading within the meaning of Rule 7.1, which involves coercion, duress or harassment within the meaning of paragraph (b)(2), or which involves contact with a prospective client who has made known to the lawyer a desire not to be solicited by the lawyer within the meaning of paragraph (b)(1) is prohibited. Moreover, if after sending a letter or other communication to a client as permitted by Rule 7.2 the lawyer receives no response, any further effort to communicate with the prospective client may violate the provisions of paragraph (b).

 

   [6] This Rule is not intended to prohibit a lawyer from contacting representatives of organizations or groups that may be interested in establishing a group or prepaid legal plan for their members, insureds, beneficiaries or other third parties for the purpose of informing such entities of the availability of and details concerning the plan or arrangement which the lawyer or lawyer's firm is willing to offer. This form of communication is not directed to a prospective client. Rather, it is usually addressed to an individual acting in a fiduciary capacity seeking a supplier of legal services for others who may, if they choose, become prospective clients of the lawyer. Under these circumstances, the activity which the lawyer undertakes in communicating with such representatives and the type of information transmitted to the individual are functionally similar to and serve the same purpose as advertising permitted under Rule 7.2.

 

   [7] The requirement in paragraph (c) that certain communications be marked "This is an advertisement" does not apply to communications sent in response to requests of potential clients or their spokespersons or sponsors. General announcements by lawyers, including changes in personnel or office location, do not constitute communications soliciting professional employment from a client known to be in need of legal services within the meaning of this Rule.

 

[8] Paragraph (d) of this Rule permits a lawyer to participate with an organization which uses personal contact to solicit members for its group or prepaid legal service plan, provided that the personal contact is not undertaken by any lawyer who would be a provider of legal services through the plan. The organization must not be owned by or directed (whether as manager or otherwise) by any lawyer or law firm that participates in the plan. For example, paragraph (d) would not permit a lawyer to create an organization controlled directly or indirectly by the lawyer and use the organization for the in-person or telephone solicitation of legal employment of the lawyer through memberships in the plan or otherwise. The communication permitted by these organizations also must not be directed to a person known to need legal services in a particular matter, but is to be designed to inform potential plan members generally of another means of affordable legal services. Lawyers who participate in a legal service plan must reasonably assure that the plan sponsors are in compliance with Rules 7.1, 7.2 and paragraph (b) of this Rule. See Rule 8.4(a).

 

 

§ 3-507.4. Communication of fields of practice.

   (a) A lawyer may communicate the fact that the lawyer does or does not practice in particular fields of law.

   (b) A lawyer admitted to engage in patent practice before the United States Patent and Trademark Office may use the designation "Patent Attorney" or a substantially similar designation.

   (c) A lawyer engaged in Admiralty practice may use the designation "Admiralty," "Proctor in Admiralty" or a substantially similar designation.

   (d) A lawyer shall not state or imply that a lawyer is certified as a specialist in a particular field of law, unless:

   (1) the lawyer has been certified as a specialist by an organization that has been approved by an appropriate state authority or that has been accredited by the American Bar Association; and

   (2) the name of the certifying organization is clearly identified in the communication.

COMMENT

 

   [1] Paragraph (a) of this Rule permits a lawyer to indicate areas of practice in communications about the lawyer's services. If a lawyer practices only in certain fields, or will not accept matters except in a specified field or fields, the lawyer is permitted to so indicate. A lawyer is generally permitted to state that the lawyer is a "specialist," practices a "specialty" or "specializes in" particular fields, but such communications are subject to the "false and misleading" standard applied in Rule 7.1 to communications concerning a lawyer's services.

 

   [2] Paragraph (b) recognizes the long-established policy of the Patent and Trademark Office for the designation of lawyers practicing before the Office. Paragraph (c) recognizes that designation of Admiralty practice has a long historical tradition associated with maritime commerce and the federal courts.

 

   [3] Paragraph (d) permits a lawyer to state that the lawyer is certified as a specialist in a field of law if such certification is granted by an organization approved by an appropriate state authority or accredited by the American Bar Association or another organization, such as a state bar association, that has been approved by the state authority to accredit organizations that certify lawyers as specialists. Certification signifies that an objective entity has recognized an advanced degree of knowledge and experience in the specialty area greater than is suggested by general licensure to practice law. Certifying organizations may be expected to apply standards of experience, knowledge and proficiency to insure that a lawyer's recognition as a specialist is meaningful and reliable. In order to insure that consumers can obtain access to useful information about an organization granting certification, the name of the certifying organization must be included in any communication regarding the certification.

 

§ 3-507.5. Firm names and letterheads.

   (a) A lawyer shall not use a firm name, letterhead or other professional designation that violates Rule 7.1. A trade name may be used by a lawyer in private practice if:

   (1) the trade name includes the name of at least one of the lawyers practicing under said name. A law firm consisting solely of the name or names of deceased or retired members of the firm does not have to include the name of an active member of the firm;

   (2) the trade name does not imply a connection with a government entity, with a public or charitable legal services organization or any other organization, association or institution or entity, unless there is, in fact, a connection; and

   (3) the trade name is not otherwise in violation of Rule 7.1.

   (b) A law firm with offices in more than one jurisdiction may use the same name or other professional designation in each jurisdiction, but identification of the lawyers in an office of the firm shall indicate the jurisdictional limitations on those not licensed to practice in the jurisdiction where the office is located.

   (c) The name of a lawyer holding a public office shall not be used in the name of a law firm, or in communications on its behalf, during any substantial period in which the lawyer is not actively and regularly practicing with the firm.

   (d) Lawyers may state or imply that they practice in a partnership or other organization only when that is the fact.

COMMENT

 

   [1] A firm may be designated by the names of all or some of its members, by the names of deceased members where there has been a continuing succession in the firm's identity. It may be observed that any firm name including the name of a deceased partner is, strictly speaking, a trade name. The use of such names to designate law firms has proven a useful means of identification. However, it is misleading to use the name of a lawyer not associated with the firm or a predecessor of the firm, or the name of a nonlawyer.

 

   [2] With regard to paragraph (d), lawyers sharing office facilities, but who are not in fact associated with each other in a law firm, may not denominate themselves as, for example, "Smith and Jones," for that title suggests that they are practicing law together in a firm.

 

§§ 3-508.1 to 3-508.5: Maintaining the Integrity of the Profession.

§ 3-508.1. Bar admission and disciplinary matters.

   An applicant for admission to the bar, or a lawyer in connection with a bar admission application or in connection with a disciplinary matter, shall not:

   (a) knowingly make a false statement of material fact; or

   (b) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter, or knowingly fail to respond to a lawful demand for information from an admissions or disciplinary authority, except that this rule does not require disclosure of information otherwise protected by Rule 1.6.

COMMENT

 

   [1] The duty imposed by this Rule extends to persons seeking admission to the bar as well as to lawyers. Hence, if a person makes a material false statement in connection with an application for admission, it may be the basis for subsequent disciplinary action if the person is admitted, and in any event may be relevant in a subsequent admission application. The duty imposed by this Rule applies to a lawyer's own admission or discipline as well as that of others. Thus, it is a separate professional offense for a lawyer to knowingly make a misrepresentation or omission in connection with a disciplinary investigation of the lawyer's own conduct. Paragraph (b) of this Rule also requires correction of any prior misstatement in the matter that the applicant or lawyer may have made and affirmative clarification of any misunderstanding on the part of the admissions or disciplinary authority of which the person involved becomes aware.

 

   [2] This Rule is subject to the provisions of the fifth amendment of the United States Constitution and corresponding provisions of state constitutions. A person relying on such a provision in response to a question, however, should do so openly and not use the right of nondisclosure as a justification for failure to comply with this Rule.

 

   [3] A lawyer representing an applicant for admission to the bar, or representing a lawyer who is the subject of a disciplinary inquiry or proceeding, is governed by the rules applicable to the client-lawyer relationship, including Rule 1.6 and, in some cases, Rule 3.3.

 

§ 3-508.2. Judicial and legal officials.

   (a) A lawyer shall not make a statement that the lawyer knows to be false or with reckless disregard as to its truth or falsity concerning the qualifications or integrity of a judge, adjudicatory officer or public legal officer, or of a candidate for election or appointment to judicial or legal office.

   (b) A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Nebraska Revised Code of Judicial Conduct.

COMMENT

 

   [1] Assessments by lawyers are relied on in evaluating the professional or personal fitness of persons being considered for election or appointment to judicial office and to public legal offices, such as attorney general, prosecuting attorney and public defender. Expressing honest and candid opinions on such matters contributes to improving the administration of justice. Conversely, false statements by a lawyer can unfairly undermine public confidence in the administration of justice.

 

   [2] When a lawyer seeks judicial office, the lawyer should be bound by applicable limitations on political activity.

 

   [3] To maintain the fair and independent administration of justice, lawyers are encouraged to continue traditional efforts to defend judges and courts unjustly criticized.

§ 3-508.2(b) amended December 22, 2010, effective January 1, 2011.

§ 3-508.3. Reporting professional misconduct.

   (a) A lawyer who knows that another lawyer has committed a violation of the Rules of Professional Conduct that raises a substantial question as to that lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, shall inform the appropriate professional authority.

   (b) A lawyer who knows that a judge has committed a violation of applicable rules of judicial conduct that raises a substantial question as to the judge's fitness for office shall inform the appropriate authority.

   (c) This Rule does not require disclosure of information otherwise protected by Rule 1.6 or information gained by a lawyer or judge while participating in an approved lawyers assistance program.

COMMENT

 

   [1] Self-regulation of the legal profession requires that members of the profession initiate disciplinary investigation when they know of a violation of the Rules of Professional Conduct. Lawyers have a similar obligation with respect to judicial misconduct. An apparently isolated violation may indicate a pattern of misconduct that only a disciplinary investigation can uncover. Reporting a violation is especially important where the victim is unlikely to discover the offense.

 

   [2] A report about misconduct is not required where it would involve violation of Rule 1.6. However, a lawyer should encourage a client to consent to disclosure where prosecution would not substantially prejudice the client's interests.

 

   [3] If a lawyer were obliged to report every violation of the Rules, the failure to report any violation would itself be a professional offense. Such a requirement existed in many jurisdictions but proved to be unenforceable. This Rule limits the reporting obligation to those offenses that a self-regulating profession must vigorously endeavor to prevent. A measure of judgment is, therefore, required in complying with the provisions of this Rule. The term "substantial" refers to the seriousness of the possible offense and not the quantum of evidence of which the lawyer is aware. A report should be made to the bar disciplinary agency unless some other agency, such as a peer review agency, is more appropriate in the circumstances. Similar considerations apply to the reporting of judicial misconduct.

 

   [4] The duty to report professional misconduct does not apply to a lawyer retained to represent a lawyer whose professional conduct is in question. Such a situation is governed by the Rules applicable to the client-lawyer relationship.

 

   [5] Information about a lawyer's or judge's misconduct or fitness may be received by a lawyer in the course of that lawyer's participation in an approved lawyers or judges assistance program. In that circumstance, providing for an exception to the reporting requirements of paragraphs (a) and (b) of this Rule encourages lawyers and judges to seek treatment through such a program. Conversely, without such an exception, lawyers and judges may hesitate to seek assistance from these programs, which may then result in additional harm to their professional careers and additional injury to the welfare of clients and the public. These Rules do not otherwise address the confidentiality of information received by a lawyer or judge participating in an approved lawyers assistance program; such an obligation, however, may be imposed by the rules of the program or other law.

 

§ 3-508.4. Misconduct.

   It is professional misconduct for a lawyer to:

   (a) violate or attempt to violate the Rules of Professional Conduct knowingly assist or induce another to do so or do so through the acts of another;

   (b) commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects;

   (c) engage in conduct involving dishonesty, fraud, deceit or misrepresentation;

   (d) engage in conduct that is prejudicial to the administration of justice. Once a lawyer is employed in a professional capacity, the lawyer shall not, in the course of such employment, engage in adverse discriminatory treatment of litigants, witnesses, lawyers, judges, judicial officers or court personnel on the basis of the person’s race, national origin, gender, religion, disability, age, sexual orientation or socio-economic status. This subsection does not preclude legitimate advocacy when these factors are issues in a proceeding.

   (e) state or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Rules of Professional Conduct or other law;

   (f) knowingly assist a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law or

   (g) willfully refuse, as determined by a court of competent jurisdiction, to timely pay a support order, as such order is defined by Nebraska law.

COMMENT

 

   [1] Lawyers are subject to discipline when they violate or attempt to violate the Rules of Professional Conduct knowingly assist or induce another to do so or do so through the acts of another, as when they request or instruct an agent to do so on the lawyer's behalf. Paragraph (a), however, does not prohibit a lawyer from advising a client concerning action the client is legally entitled to take.

 

   [2] Many kinds of illegal conduct reflect adversely on fitness to practice law, such as offenses involving fraud and the offense of willful failure to file an income tax return. However, some kinds of offenses carry no such implication. Traditionally, the distinction was drawn in terms of offenses involving "moral turpitude." That concept can be construed to include offenses concerning some matters of personal morality, such as adultery and comparable offenses, that have no specific connection to fitness for the practice of law. Although a lawyer is personally answerable to the entire criminal law, a lawyer should be professionally answerable only for offenses that indicate lack of those characteristics relevant to law practice. Offenses involving violence, dishonesty, breach of trust or serious interference with the administration of justice are in that category. A pattern of repeated offenses, even ones of minor significance when considered separately, can indicate indifference to legal obligation.

 

   [3] A lawyer who, in the course of representing a client, knowingly manifests by words or conduct, bias or prejudice based upon race, sex, religion, national origin, disability, age, sexual orientation or socioeconomic status, violates paragraph (d) when such actions are prejudicial to the administration of justice. Legitimate advocacy respecting the foregoing factors does not violate paragraph (d). A trial judge's finding that peremptory challenges were exercised on a discriminatory basis does not alone establish a violation of this rule.

 

   [4] A lawyer may refuse to comply with an obligation imposed by law upon a good faith belief that no valid obligation exists. The provisions of Rule 1.2(c) concerning a good faith challenge to the validity, scope, meaning or application of the law apply to challenges of legal regulation of the practice of law.

 

   [5] Lawyers holding public office assume legal responsibilities going beyond those of other citizens. A lawyer's abuse of public office can suggest an inability to fulfill the professional role of lawyers. The same is true of abuse of positions of private trust such as trustee, executor, administrator, guardian, agent and officer, director or manager of a corporation or other organization.

 

§ 3-508.5. Disciplinary authority; choice of law.

   (a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer's conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct.

   (b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the Rules of Professional Conduct to be applied shall be as follows:

   (1) for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and

   (2) for any other conduct, the rules of the jurisdiction in which the lawyer’s conduct occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the rules of that jurisdiction shall be applied to the conduct. A lawyer shall not be subject to discipline if the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect of the lawyer’s conduct will occur.

COMMENT

 

Disciplinary Authority

   [1] It is longstanding law that the conduct of a lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction. Extension of the disciplinary authority of this jurisdiction to other lawyers who provide or offer to provide legal services in this jurisdiction is for the protection of the citizens of this jurisdiction. Reciprocal enforcement of a jurisdiction’s disciplinary findings and sanctions will further advance the purposes of this Rule. See, Rules 6 and 22, ABA Model Rules for Lawyer Disciplinary Enforcement. A lawyer who is subject to the disciplinary authority of this jurisdiction under paragraph (a) appoints an official to be designated by this Court to receive service of process in this jurisdiction. The fact that the lawyer is subject to the disciplinary authority of this jurisdiction may be a factor in determining whether personal jurisdiction may be asserted over the lawyer for civil matters.

 

Choice of Law

   [2] A lawyer may be potentially subject to more than one set of Rules of Professional Conduct which impose different obligations. The lawyer may be licensed to practice in more than one jurisdiction with differing rules, or may be admitted to practice before a particular court with rules that differ from those of the jurisdiction or jurisdictions in which the lawyer is licensed to practice. Additionally, the lawyer’s conduct may involve significant contacts with more than one jurisdiction.

 

   [3] Paragraph (b) seeks to resolve such potential conflicts. Its premise is that minimizing conflicts between rules, as well as uncertainty about which rules are applicable, is in the best interest of both clients and the profession (as well as the bodies having authority to regulate the profession). Accordingly, it takes the approach of (i) providing that any particular conduct of a lawyer shall be subject to only one set of Rules of Professional Conduct, (ii) making the determination of which set of rules applies to particular conduct as straightforward as possible, consistent with recognition of appropriate regulatory interests of relevant jurisdictions, and (iii) providing protection from discipline for lawyers who act reasonably in the face of uncertainty.

 

   [4] Paragraph (b)(1) provides that as to a lawyer's conduct relating to a proceeding pending before a tribunal, the lawyer shall be subject only to the rules of the jurisdiction in which the tribunal sits unless the rules of the tribunal, including its choice of law rule, provide otherwise. As to all other conduct, including conduct in anticipation of a proceeding not yet pending before a tribunal, paragraph (b)(2) provides that a lawyer shall be subject to the rules of the jurisdiction in which the lawyer’s conduct occurred, or, if the predominant effect of the conduct is in another jurisdiction, the rules of that jurisdiction shall be applied to the conduct. In the case of conduct in anticipation of a proceeding that is likely to be before a tribunal, the predominant effect of such conduct could be where the conduct occurred, where the tribunal sits or in another jurisdiction.

 

   [5] When a lawyer’s conduct involves significant contacts with more than one jurisdiction, it may not be clear whether the predominant effect of the lawyer’s conduct will occur in a jurisdiction other than the one in which the conduct occurred. So long as the lawyer’s conduct conforms to the rules of a jurisdiction in which the lawyer reasonably believes the predominant effect will occur, the lawyer shall not be subject to discipline under this Rule.

 

   [6] If two admitting jurisdictions were to proceed against a lawyer for the same conduct, they should, applying this rule, identify the same governing ethics rules. They should take all appropriate steps to see that they do apply the same rule to the same conduct, and in all events should avoid proceeding against a lawyer on the basis of two inconsistent rules.

 

   [7] The choice of law provision applies to lawyers engaged in transnational practice, unless international law, treaties or other agreements between competent regulatory authorities in the affected jurisdictions provide otherwise.

 

Article 6: Professional Service Corporations.

§ 3-601. Continuing or converting operations; organization, powers; shareholder restrictions and liability; dissolution.

   Any professional service corporation organized under this rule prior to December 1, 1999, and operating in accordance with the provisions of this rule, may continue to operate hereunder until such corporation chooses to incorporate under the Nebraska Supreme Court Rule for Limited Liability Professional Organizations provided that such professional corporation has not been suspended or dissolved by the Secretary of State, in which case the professional corporation must amend or restate its articles of incorporation to comply with the provisions of the Limited Liability Professional Organizations rule. The articles of incorporation of any professional corporation operating in accordance with this rule shall contain provisions complying with the following requirements:

   (A) The corporation shall be organized solely for the purpose of conducting the practice of law only through persons qualified to practice law in the State of Nebraska.

   (B) The corporation may exercise the powers and privileges conferred upon corporations by the law of Nebraska only in furtherance of and subject to its corporate purpose.

   (C) All shareholders of the corporation shall be persons duly licensed by the Supreme Court of the State of Nebraska to practice law in the State of Nebraska, and who at all times own their shares in their own right.

   (D) Provisions shall be made requiring any shareholder who ceases to be eligible to be a shareholder to dispose of all his or her shares forthwith either to the corporation or to any person having the qualifications described in § 3-601(C).

   (E) The president shall be a shareholder and a director, and all other directors and officers shall be persons having the qualifications described in § 3-601(C).

   (F) The articles of incorporation shall provide, and all shareholders of the corporation shall be deemed to agree by virtue of becoming shareholders or members, that all shareholders or members shall be jointly and severally liable to the extent that the assets of the corporation are insufficient to satisfy any liability incurred by the corporation for the acts, errors, and omissions of the shareholders or members and other employees of the corporation or association arising out of the performance of the professional services by the corporation or association while they are shareholders or members to the same extent as if the shareholders were practicing in the form of a general partnership.

   (G) A corporation which discontinues the practice of law may nevertheless continue in operation for an additional period of up to 2 years for the purpose of dissolving and winding up the administrative business of the firm.

Rule 1(E) amended April 24, 1996; Rule 1 amended June 16, 1999; Rule 1 amended June 28, 2000. Renumbered and codified as § 3-601, effective July 18, 2008.

§ 3-602. Filing requirements; ethical obligations; attorney-client privilege.

   (A) A copy certified by the Secretary of State of the articles of incorporation of any corporation formed pursuant to this rule shall be filed with the Clerk of the Supreme Court of Nebraska, together with a certified copy of all amendments thereto. At the time of filing the original articles with said Clerk, the corporation shall file with said Clerk a written list of shareholders setting forth the names and addresses of each and a written list containing the names and addresses of all persons who are not shareholders who are employed by the corporation and who are authorized to practice law in Nebraska. Within ten days after any change in such shareholders or employees, a written list setting forth the information required by the preceding sentence shall be filed with said Clerk. The position in the professional corporation of each person identified in the firm name shall be stated.

   (B) The corporation shall do nothing which if done by an attorney employed by it would violate the standards of professional conduct established for such attorney by this Court. The corporation shall at all times comply with the standards of professional conduct established by this Court and the provisions of this rule. Any violation of this rule by the corporation shall be grounds for the Supreme Court to terminate or suspend its right to practice law.

   (C) Nothing in this rule shall be deemed to diminish or change the obligation of each attorney employed by the corporation to conduct his or her practice in accordance with the standards of professional conduct promulgated by this Court; any attorney who by act or omission causes the corporation to act or fail to act in a way which violates such standards of professional conduct, including any provision of this rule, shall be deemed personally responsible for such act or omission and shall be subject to discipline therefor.

   (D) Nothing in this rule shall be deemed to modify the attorney-client privilege specified by statute, and any comparable common-law privilege.

Rule 2(A) amended March 13, 1996; Rule 2(A) amended February 25, 1998. Renumbered and codified as § 3-602, effective July 18, 2008.

§ 3-603. Employee benefits.

   Any such corporation may adopt a pension, profit-sharing (whether cash or deferred), health and accident, insurance or welfare plan for all or part of its employees including lay employees, providing that such plan does not require or result in the sharing of specific or identifiable fees with lay employees and any payments made to lay employees or into any such plan in behalf of lay employees are based upon the lay employees' compensation or length of service or both rather than the amount of fees or income received.

§ 3-604. Corporate practice of law prohibited; exceptions.

   Except as provided by this rule, corporations shall not practice law.

   This rule shall not apply to organizations offering prepaid legal services to a defined and limited class of clients; to nonprofit charitable or benevolent organizations organized and operating primarily for a purpose other than the provision of legal services and which furnish legal services as an incidental activity in furtherance of their primary purpose; or to nonprofit organizations which have as their primary purpose the furnishing of legal services to indigent persons; provided that (1) the legal work serves the intended beneficiaries of the organizational purpose, (2) the staff attorney responsible for the matter signs all papers prepared by the organization, and (3) the relationship between the staff attorney and client meets the attorney's professional responsibilities to the client and is not subject to interference, control, or direction by the organization's board or employees except for a supervising attorney licensed to practice law in Nebraska.

Rule 4 amended December 24, 1997; Rule 4 amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-604, effective July 18, 2008.

Article 7: Senior Law Students; Limited Practice of Law.

§ 3-701. Purpose

   The purpose of this rule is to provide senior law students with supervised practical training in the practice of law during the period of their formal legal education.

§ 3-702. Activities.

   An eligible law student may engage in the following activities:

   (A) Appear and participate in:

   (1) Trials in civil matters in Workers' Compensation Court, county courts, and district courts in this State when acting under the general supervision of an attorney duly admitted to practice in Nebraska. Any such appearance in Workers' Compensation Court, county courts, and district courts must be in the personal presence of the supervising attorney, except that the county court judge, may waive the requirement of personal presence of a supervising attorney in specific cases for an eligible law student who has previously participated in a trial in that court in the personal presence of the supervising attorney. For the purposes of this rule, proceedings to enforce a penalty for violation of a municipal ordinance shall be deemed criminal in nature.

   (2) Criminal matters in all courts when acting under the general supervision of an attorney duly admitted to practice in Nebraska who is defending any case in these courts. Such appearance must be in the personal presence of the supervising attorney.

   (3) Criminal matters in all courts when acting as an assistant to a county attorney, deputy county attorney, or other prosecuting official duly admitted to practice in Nebraska. Such appearance must be in the personal presence of the supervising attorney.

   (4) Postconviction and habeas corpus matters in all courts when acting under the general supervision and in the personal presence of a lawyer admitted to practice in Nebraska who is prosecuting or defending such a case.

   (5) Juvenile matters when acting under the general supervision of an attorney duly admitted to practice in Nebraska who is prosecuting or defending such case. Any such appearance must be in the personal presence of the supervising attorney.

   (B) Hold consultations and prepare pleadings, briefs, and other documents to be filed in any matter in which the student is eligible to appear, when acting under the general supervision of an attorney duly admitted to practice in Nebraska. Such pleadings, briefs, and other documents must be signed by the supervising attorney but may also set forth the name of the eligible law student who has participated in preparation of the document(s).

   (C) Prepare briefs and other documents to be filed in the Nebraska Court of Appeals and the Supreme Court of Nebraska, but such briefs or other documents must be prepared under the general supervision of and signed by an attorney duly admitted to practice in Nebraska. Each such instrument may set forth the name of the eligible law student who has participated in preparation of the document(s).

   (D) Participate in oral argument in the Nebraska Court of Appeals and the Supreme Court of Nebraska, but only in the personal presence of an attorney of record in the case and only with the prior approval of the Court.

   (E) Hold consultations with clients, advise clients on legal matters, and prepare any documents related to such consultations and legal advice.

Rule 2(C) and (D) amended November 22, 2000. Renumbered and codified as § 3-702, effective July 18, 2008. § 3-702(E) amended September 13, 2012.

§ 3-703. Requirements and limitations.

   To become eligible to participate in legal activities pursuant to this rule, a law student must:

   (A) Be duly enrolled in a law school approved by the American Bar Association. A law student will be considered duly enrolled during the period of his law school's next summer vacation period following completion of the requirements of § 3-703(B).

   (B) Have completed legal studies sufficient to have attained senior standing at his or her law school.

   (C) Be certified by the dean of his or her law school as being of good character and competent legal ability, and as being adequately trained to perform as a legal intern under the general supervision of the attorney or attorneys designated by name.

   (D) To the extent the student is appearing before a court, be introduced to the court in which he or she is appearing by an attorney duly admitted to practice in that court.

   (E) To the extent the student is appearing before a court, receive the affirmative consent of the court in which he or she is appearing to appear before it.

   (F) Not ask for or receive any compensation or remuneration of any kind for his or her services directly from the client on whose behalf he or she renders services. This provision is not intended to preclude the supervising attorney from compensating the eligible law student nor to prevent the supervising attorney from receiving a fee from the client for the services performed in compliance with the otherwise applicable rules of proper professional conduct.

Rule 3(B) amended May 20, 1992; Rule 3(A) amended July 31, 1992. Renumbered and codified as § 3-703, effective July 18, 2008. §§ 3-703(D)-(F) amended September 13, 2012.

§ 3-704. Supervision.

   The lawyer under whose supervision an eligible law student engages in any of the activities permitted by this rule shall:

   (A) Be duly admitted to practice law in Nebraska.

   (B) Assume personal professional responsibility to the client for the services performed by the law student.

   (C) Secure the prior written consent of the client for the services actually to be performed in court by the law student.

   (D) Assume personal professional responsibility for the student's guidance in any work undertaken and for supervising the quality of the student's work.

   (E) Assist the student in his or her preparation to the extent the supervising lawyer considers it necessary.

§ 3-705. Certification.

   The certification of a student by the law school dean:

   (A) Shall be filed with the Clerk of this Court and, unless it is sooner withdrawn, shall terminate if the student does not take the first bar examination following his or her graduation, or if the student takes such bar examination and fails it, or if he or she is admitted to full practice before this court.

   (B) May be withdrawn by the dean at any time by mailing a notice thereof to the Clerk of this Court. It is not necessary that the notice state the cause for withdrawal.

   (C) May be terminated by this Court at any time without prior notice and without any showing of cause.

Rule 5(A) amended September 25, 2002.  Renumbered and codified as § 3-705, effective July 18, 2008.

§ 3-706. Miscellaneous.

   Nothing contained in this rule shall affect the right of any person who is not admitted to practice law in Nebraska to do anything that he or she might lawfully do prior to the adoption of this rule.

Article 8: State Bar Association; Creation; Control; and Regulation.

§ 3-801. Name.

   The name of this Association shall be NEBRASKA STATE BAR ASSOCIATION.

§ 3-802. Purpose and authority.

   (A) Purpose. The purposes of this Association are to improve the administration of justice; to foster and maintain high standards of conduct, integrity, confidence, and public service on the part of those engaged in the practice of law; to safeguard and promote the proper professional interests of the members of the Bar; to provide improvements in the education and qualifications required for admission to the Bar, the study of the science of jurisprudence and law reform, and the continuing legal education of the members of the Bar; to improve the relations of the Bar with the public; to carry on a continuing program of legal research; and to encourage cordial relations among the members of the Bar. All of these purposes are to the end that the public responsibilities of the legal profession may be more effectively discharged.

   (B) Government. The supreme authority of this Association shall be vested in the membership thereof through the exercise of the power of Initiative and Referendum in such manner as may be prescribed in the bylaws. Subject thereto, the control over the business and affairs of this Association shall be vested in a House of Delegates, as provided in § 3-805. Subject to the overall control of the House of Delegates, the Executive Council shall function as the administrative and executive organ of the Association as provided in § 3-806. The officers of the Association, as hereinafter enumerated, shall have the prerogatives, responsibilities, and qualifications and shall perform the duties of the respective offices, all as provided in § 3-804.

§ 3-803. Membership.

   (A) Requirements. All persons who, on the date that these rules go into effect, are admitted to the practice of law in this State, by order of the Nebraska Supreme Court, shall constitute the members of this Association, subject to due compliance with the requirements for membership hereinafter set forth.

   (B) Classes. Members of this Association shall be divided into four classes, namely: Active members, Inactive members, Law Student members, and Emeritus members.

   (1) All members who are licensed to engage in the active practice of law in the State of Nebraska, who do not qualify for and apply for Inactive membership status, and who are not Law Student members, shall be Active members.

   (2) Any member who is not actively engaged in the practice of law in the State of Nebraska, or who is a nonresident of the State of Nebraska and not actively engaged in the practice of law in Nebraska, and who is not an Emeritus member, may, if he or she so elects, be placed in Inactive membership status.

A member desiring to be placed in Inactive membership status shall file written application therefor with the Secretary and, if otherwise qualified, shall be placed in such inactive status classification. No Inactive members shall practice law in Nebraska, or vote or hold office in this Association. Any Inactive member may, on filing application with the Secretary and upon payment of the required dues, and compliance with such requirements as may be imposed by the Supreme Court to show fitness to engage in the active practice of law in this State, become an Active member.

   (3) Any member who attained the age of 75 years of age during the dues year being billed or has been actively engaged in the practice of law in the State of Nebraska for 50 years or more during the dues year being billed may, if he or she so elects, be placed in an Emeritus membership status. A member desiring to be placed in an Emeritus membership status shall file written application therefor with the Secretary and, if otherwise qualified, shall be placed in the Emeritus status classification. A member electing Emeritus classification shall not be required to pay membership dues to this Association. No Emeritus member shall practice law in Nebraska, or vote or hold office in this Association. Any Emeritus member may, on filing application with the Secretary and upon payment of the required dues and compliance with the requirements as may be imposed by the Supreme Court to show fitness to engage in the active practice of law in this State, become an Active member.

   (4) Except for the right reserved by law to litigants to prosecute or defend a cause in person, or as provided elsewhere in these rules, no person other than an Active member of this Association shall engage in the practice of law in this State, or in any manner hold himself or herself out as authorized or qualified to practice law in this State. Any court in this State may, on motion and upon such person taking the oath required by Neb. Rev. Stat. § 7-104, allow a member of the Bar of any other state or jurisdiction, in good standing therein, to appear and participate in any particular action or proceeding then pending before such court (for purpose of such business only), upon it further being made to appear to the court, by written showing filed therein, that such person has associated with and is appearing in such action with an Active member of this Association upon whom service may be made in all matters connected with said action, with same effect as if personally made on such foreign attorney in this State; provided, regularly licensed practicing attorneys of other states, the laws of which permit practice in their courts of attorneys from this State, without a local attorney being associated with such attorneys, shall not be required to have an Active member of this Association associated with them in such action. (See Neb. Rev. Stat. § 7‑103.)

   (5) Nothing in these rules shall be construed to bar any Active member from the practice of law pursuant to the provisions of any rules of the Supreme Court authorizing the practice of law by a professional service corporation or a limited liability organization, subject to the limitations provided by such rules.

   (6) In order to make information available to the public about the financial responsibility of each active member of this Association for professional liability claims, each such member shall, upon admission to the Bar, and with each application for renewal thereof, submit the certification required by this rule. For purposes of this rule, professional liability insurance means:

   (a) The insurance shall insure the member against liability imposed upon the member arising out of a professional act, error, or omission in the practice of law.

   (b) Such insurance shall insure the member against liability imposed upon the member by law for damages arising out of the professional acts, errors, and omissions of all nonprofessional employees employed by the member.

   (c) The policy may contain reasonable provisions with respect to policy periods, territory, claims, conditions, exclusions, and other matters.

   (d) The policy may provide for a deductible or self-insured retained amount and may provide for the payment of defense or other costs out of the stated limits of the policy.

   (e) A professional act, error, or omission is considered to be covered by professional liability insurance for the purpose of this rule if the policy includes such act, error, or omission as a covered activity, regardless of whether claims previously made against the policy have exhausted the aggregate top limit for the applicable time period or whether the individual claimed amount or ultimate liability exceeds either the per claim or aggregate top limit.

   Each active member shall certify to this Association on or before January 1 of each year: 1) whether or not such member is currently covered by professional liability insurance, other than an extended reporting endorsement; 2) whether or not such member is engaged in the private practice of law involving representation of clients drawn from the public; 3) whether or not such member is a partner, shareholder, or member in a domestic professional organization as defined by the rule governing Limited Liability Professional Organizations, and 4) whether or not the active member is exempt from the provisions of this rule because he or she is engaged in the practice of law as a full-time government attorney or in-house counsel and does not represent clients outside that capacity.

   The foregoing shall be certified by each active member of this Association in such form as may be prescribed by this Association and shall be made available to the public by such means as may be designated by the House of Delegates. Failure to comply with this rule shall result in suspension from the active practice of law until such certification is received. An untruthful certification shall subject the member to appropriate disciplinary action. All members shall notify the Secretary in writing within 30 days if 1) professional liability insurance providing coverage to the member has lapsed or is not in effect, or 2) the member acquires professional liability coverage as defined by this rule.

   All certifications not received by April 1 of the current calendar year shall be considered delinquent. The Secretary shall send written notice, by certified mail, to each member then delinquent in the reporting of professional liability insurance status, which notice shall be addressed to such member at his or her last reported address, and shall notify such member of such delinquency. All members who shall fail to provide the certification within 30 days thereafter shall be reported to the Supreme Court by the Secretary, and the Supreme Court shall enter an order to show cause why such member shall not be suspended from membership in this Association. The Supreme Court shall enter such an order as it may deem appropriate. If an order of suspension shall be entered, such party shall not practice law until restored to good standing.

   This rule shall not affect this Association, its rules, procedures, structure, or operation in any way; nor shall the adoption of this rule make this Association, its officers, directors, representatives, or membership liable in any way to any person who has suffered loss by error or omission of a lawyer. This rule is adopted solely for the purposes stated herein and not for the purpose of making this Association, its officers, directors, representatives, or membership insurers or guarantors for clients with respect to the lawyer-client relationship.

   This rule does not create a claim against this Association for failure to provide accurate information or a report on the insured status of any lawyer, or for implementation of any provision of these rules.

MANDATORY REPORTING OF PROFESSIONAL
LIABILITY INSURANCE COVERAGE

I am engaged in the private practice of law involving representation of clients drawn from the public:
     Yes____ No____

I am currently covered by a professional liability insurance policy other than an extended reporting endorsement:
     Yes____ No____

I am currently a member of a professional corporation, limited liability company, or a limited liability partnership and maintain the insurance coverage required by the rule governing Limited Liability Professional Organizations:
     Yes____ No____

I am engaged in the practice of law as a full-time government attorney or in-house counsel and do not represent clients outside that capacity, and therefore, I am exempt from the provisions of this rule.
     Yes____ No____

I hereby certify the truth of the information provided above.

_________________________________________________          ______________________________
Signature of Attorney                                                                         Date

   (C) Registration. All members not already registered with the Secretary of this Association shall, within 60 days after being admitted to the practice of law by the Supreme Court of this State, register with the Secretary of this Association by setting forth the member's full name, business address, and signature. All members shall promptly notify the Secretary, in writing, of any change in such address.

   (D) Dues.

   (1) Payment of Dues. Each member shall pay membership dues to this Association for each calendar year from January 1 to December 31 following, payable in advance on or before January 1 of each year, in such amount as may be fixed by the Supreme Court. All dues shall be paid to the Treasurer of this Association and shall constitute the funds for furthering the purposes of this Association. Different classifications of dues may be established for Active, Inactive, and Law Student members and for those members who have been admitted to the Bar of any State or other jurisdiction for a period of less than 5 years and for those members who are serving in the Armed Forces of the United States, while so serving. Members newly admitted to this Association shall receive a complimentary membership for the remainder of the current calendar year. Annual membership dues beginning calendar year 2009 shall be as follows:

Active

(Members who have been admitted to the Bar of any State or other jurisdiction for more than 4 calendar years following the calendar year of admission.)

$275

Junior Active

(Members who have been admitted to the bar of any State or other jurisdiction for 4 or fewer calendar years following the calendar year of admission.)

$160

Senior Active

(Members 75 years of age or older during the dues year being billed.)

$ 70

Inactive

$ 65

Military

(A member actively engaged in the Armed Forces of the United States at the beginning of any calendar year shall be exempt from payment of dues for such year upon submitting to the Secretary, prior to the date of delinquency provided for in this Article, satisfactory proof that he or she is so engaged; upon receipt of such proof, the Secretary shall issue a membership card to the member under the classification held by the member prior to his or her induction in the service and shall cause the records of this Association to show that such card was issued without payment of dues.)

$  0

Emeritus

$  0

   Effective January 1, 1999, and each year thereafter, a late fee of $25 shall be assessed each Active or Inactive member whose dues are received after January 1, a late fee of $50 shall be assessed on dues received on or after February 1, and a late fee of $75 shall be assessed on dues received on or after March 1.

   (2) Lobbying and Related Activities.

   (a) This Association may use dues to analyze and disseminate to its members information on proposed or pending legislative proposals.

   (b) All lobbying activities shall be subject to the following restrictions: The annual dues notice shall offer the members of the Bar an opportunity to direct that the stated amount of their dues intended for lobbying activities be placed instead in a restricted account. Funds from this account shall be budgeted by the Executive Council for activities which will promote the administration of justice or improvements of the legal system. The established budget for lobbying activities shall be reduced by the amount that is directed to the restricted account.

   (E) Delinquency and Reinstatement. All dues and assessments not paid by April 1 of the current calendar year shall be considered delinquent; and the Secretary shall send written notice, by certified mail, to each member then delinquent in the payment of his or her dues and assessments, which notice shall be addressed to such member at his or her last reported address, and shall notify such member of such delinquency. All members who shall fail to pay delinquent dues and assessments within 30 days thereafter shall be reported to the Supreme Court by the Secretary, and the Supreme Court shall enter an order to show cause why such member shall not be suspended from membership in this Association. The Supreme Court shall, after hearing thereon, enter such an order as it may deem appropriate. If an order of suspension shall be entered, such party shall not practice law until restored to good standing. Whenever a member suspended for nonpayment of dues and/or assessments shall make payment of all arrears, and shall satisfy the Supreme Court of his or her qualification to then return to the active practice of law, such member shall be entitled to reinstatement upon request. The Secretary shall keep a complete record of all suspensions and reinstatements. No person, while his or her membership is suspended, shall be entitled to exercise or receive any of the privileges of membership in this Association.

   (F) Suspension or Disbarment. Any member who shall be suspended or disbarred from the practice of law by the Supreme Court shall, during the period of such suspension or disbarment, be likewise suspended or barred from membership in this Association. On reinstatement to practice by the Supreme Court, such party shall, on written request and upon payment of the requisite fees and/or assessments, be restored to membership in this Association.

   (G) Fees. Nothing herein contained shall be construed to limit the power of this Association, or of any of its sections or committees, to assess registration fees or attendance fees for meetings, institutes, or continuing legal education sessions as may be approved or determined from time to time by the House of Delegates or the Executive Council.

   (H) Resignation. Any member may resign either active or inactive membership in this Association by tendering his or her written resignation to the Clerk of the Supreme Court of Nebraska on a form to be provided. This form shall include an affidavit to be completed by the member seeking to resign, stating that the member has not been suspended or disbarred in any other state or by any court; that the member has not voluntarily surrendered his or her license to practice law in any other state or to any court in connection with any investigation or disciplinary proceeding against the member; that to the member's knowledge he or she is not then under investigation, nor has a complaint or charges pending against him or her with reference to any alleged violation of professional responsibilities as a lawyer; and that the member agrees to be subject to the jurisdiction of the Supreme Court for a period of 3 years from the date his or her resignation is accepted for the purpose of disciplinary proceedings for any alleged violation of his or her professional responsibilities as a lawyer. During this 3-year period, the acceptance of his or her resignation may be set aside by the Supreme Court upon application filed in the Supreme Court by the Counsel for Discipline. If the affidavit is completed, the Supreme Court may accept the resignation, provided the resigning member's dues are not delinquent, or may accept it upon payment of any delinquent dues, unless the member seeking to resign has been suspended for the nonpayment of dues as provided for in § 3-803(E), in which event the submitted resignation shall not be acted upon until the member seeking resignation has been reinstated as provided for in said section. In the event the affidavit is not fully completed, or any exception is taken to it, the tendered resignation shall be rejected. The Clerk shall keep a complete record of all requests for resignation and all resignations and shall report to the Secretary the names and addresses of members whose resignations have been accepted by the Supreme Court.

   (I) Reinstatement Following Resignation. Whenever a former member of this Association who resigned is readmitted to the practice of law in Nebraska by the Supreme Court, the member shall pay dues for the year in which he or she is readmitted and be reinstated as a member of this Association.

Rule 3(B)(3) - (6),amended March 19, 2003, effective November 1, 2003; Rule 3(D)(1) amended February 25, 1998; Rule 3(D)(1) amended October 9, 1998; Rule 3(D)(1) amended July 27, 2000; Rule 3(D)(1) amended March 19, 2003, effective November 1, 2003; Rule 3(H) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-803, effective July 18, 2008. § 3-803(D)(1) amended September 11, 2008.

§ 3-804. Officers.

   (A) Titles. The officers of this Association shall consist of the following:

   (1) President,

   (2) President-Elect,

   (3) Chair of the House of Delegates,

   (4) Chair-Elect of the House of Delegates,

   (5) Secretary,

   (6) Treasurer,

   (7) Executive Director, and

   (8) Such other officer or officers as may be designated by the bylaws.

   (B) Eligibility. Any Active member in good standing shall be eligible to hold any office for which he or she is elected or appointed in this Association. An appointive officer need not be a member of this Association.

   (C) Nomination and Election. The following officers shall be nominated and elected in the manner provided by the bylaws:

   (1) President, by succession to that office by the President-Elect;

   (2) President-Elect;

   (3) Chair of the House of Delegates, by succession to that office by Chair-Elect of the House of Delegates;

   (4) Chair-Elect of the House of Delegates; and

   (5) Any other officer hereafter provided by the rules or the bylaws of the Association.

   (D) Appointive Officers. The following officers shall be appointed by the Executive Council: Secretary, Treasurer, Executive Director, and any other officer provided for by the bylaws of this Association other than those required to be elected under the preceding section hereof.

   (E) Combining of Offices. The offices of Secretary, Treasurer, Executive Director, and any other appointive offices provided for in the bylaws may be combined, in any combination, by the Executive Council.

   (F) Removal of Appointive Officers. Any appointive officer may be removed from office at any time by the Executive Council.

   (G) Duties and Powers.

   (1) The President shall be the Chief Executive Officer of this Association, shall preside at all meetings of this Association and of the Executive Council and shall perform the duties usually pertaining to that office, shall appoint the members and chairs of all committees, and shall perform such other duties and responsibilities as may be provided by the bylaws.

   (2) The President-Elect shall perform such duties as are assigned to him or her by the President, shall have and perform the duties and responsibilities of the President in case of the absence or incapacity of the President, and shall perform such other duties and responsibilities as may be provided by the bylaws.

   (3) The Chair of the House of Delegates shall preside at all meetings of the House of Delegates, shall be the Executive Officer thereof, and shall perform such other duties and responsibilities as may be specifically determined by the House of Delegates or as may be provided by the bylaws.

   (4) The Chair-Elect of the House of Delegates shall have the duties and responsibilities of the Chair in the absence or incapacity of the Chair and shall perform such other duties and responsibilities as may be specifically determined by the House of Delegates or as may be provided by the bylaws.

   (5) The Secretary shall be the custodian of the records and archives of this Association; shall maintain the membership and all other records of this Association; shall report the minutes of all meetings of this Association, the Executive Council, and the House of Delegates; and shall perform such other duties and responsibilities as may be provided by the bylaws and these rules.

   (6) The Treasurer shall be the custodian of and shall supervise the collection and disbursement of all funds and properties of this Association, shall disburse the funds of this Association as provided in § 3‑809, and shall have such other duties and responsibilities as may be provided by the bylaws and these rules.

   (7) The Executive Director shall have such responsibilities and perform such duties as shall be delegated to him or her by the Executive Council and the House of Delegates and shall perform such other duties and responsibilities as may be provided by the bylaws.

   (8) The death, resignation, incapacity to act, or other termination or suspension of active membership in this Association of any officer as may be determined by any procedure provided therefor by the bylaws shall create an immediate vacancy in the office of any such officer of this Association.

   (9) A vacancy occurring in an elective office of this Association shall be filled as follows: The President-Elect shall assume the office of the President if such office becomes vacant. The Chair of the House of Delegates shall assume the office of President if both the offices of President and President-Elect are vacant. The Chair-Elect of the House of Delegates shall assume the office of Chair of the House if such office becomes vacant or if the Chair of the House of Delegates has assumed the office of President. A vacancy in the office of Chair-Elect of the House of Delegates shall be filled by special election to be conducted by the House of Delegates. If a President-Elect Designate shall have been designated, he or she shall assume the office of President-Elect if it becomes vacant and a new President-Elect Designate shall be nominated and elected as soon as practical in the manner provided in § 3‑804(H)(2).

   (10) Any officer succeeding to the office of President through the filling of a vacancy occurring therein shall serve until the end of the second Annual Meeting following such succession. Any officer filling a vacancy in the office of the Chair of the House of Delegates or Chair-Elect of the House of Delegates shall have such term of office as may be provided by the bylaws.

   (11) In the event of a vacancy in any appointive office, such vacancy shall be promptly filled by the Executive Council.

   (H) Term of Office.

   (1) The President and President-Elect shall hold office beginning with the close of this Association's Annual Meeting and shall serve until the close of the next succeeding Annual Meeting subject to the provisions for holding-over in the event of the filling of a vacancy therein as hereinbefore set forth. The Chair of the House of Delegates and the Chair-Elect of the House of Delegates shall hold office for such term or terms as may be provided in the bylaws. Members of the Executive Council shall hold office for the terms provided in § 3-806. All other officers shall hold office for the terms specified by the appointing authorities or as may be fixed by the bylaws.

   (2) At least 90 days prior to this Association's Annual Meeting, the District members of the Executive Council, by a majority vote thereof, shall make nomination for the office of President-Elect of this Association for the following year. Such nomination shall be filed with the Secretary of this Association, who shall within 10 days thereafter mail notice of such nomination to the Active members of this Association setting forth the time and place fixed for the filing of additional nominations. Such notice shall further advise that additional nominations may be made by written petition. Within 30 days after the mailing of such notice, any 25 or more Active members of this Association may make additional nominations by signing a nominating petition which shall, in each instance, be accompanied by the nominee's written consent to serve if elected. In the event the Secretary shall receive such additional nominations, the time, manner, and method of conducting an election and canvassing the same shall be provided by the bylaws. The nominee so elected or, if no nominations shall be made, other than by the Executive Council, the nominee of the Executive Council shall be President-Elect Designate.

   (3) The nomination and election of the Chair-Elect of the House of Delegates shall be made by the House of Delegates in such manner as such House may provide.

   (4) Provisions shall be made by the bylaws for the method of conducting and canvassing the election for any elective office in this Association in any case where there is more than one nominee for such office.

Rule 4(H)(2) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-804, effective July 18, 2008.

§ 3-805. House of delegates.

   (A) Duties and Powers. The House of Delegates shall be the governing body of this Association; shall exercise overall jurisdiction over the affairs of this Association; shall determine and implement the policies and objectives of this Association; shall, consistent with these rules and the purposes of this Association, prepare, adopt, and amend bylaws for the government and operation of this Association, including the provisions for an annual meeting of this Association; and shall perform such other functions as are provided by these rules and the bylaws.

   (B) Membership. The elective members of the House of Delegates shall consist of representatives elected from among the Active members of this Association residing in each of the Districts set forth below in this rule on the basis of one delegate for each 60 Active members of this Association, or major fraction thereof (50 percent or greater) residing in such District; provided, however, that each such District shall have at least one such elective delegate. For purposes of this section, the Districts are as follows, and each district is composed of the counties indicated:

District 1:         Johnson, Nemaha, Pawnee, and Richardson;

District 2:         Cass, Otoe, and Sarpy;

District 3:         Lancaster;

District 4:         Douglas;

District 5:         Butler, Hamilton, Polk, Saunders, Seward, and York;

District 6:         Burt, Dodge, and Washington;

District 7:         Fillmore, Nuckolls, Saline, and Thayer;

District 8:         Cedar, Dakota, Dixon, and Thurston;

District 9:         Antelope, Cuming, Knox, Madison, Pierce, Stanton, and Wayne;

District 10:       Adams, Clay, Franklin, Harlan, Kearney, Phelps, and Webster;

District 11:       Hall and Howard;

District 12:       Buffalo and Sherman;

District 13:       Arthur, Dawson, Hooker, Keith, Lincoln, Logan, McPherson, and Thomas;

District 14:       Chase, Dundy, Frontier, Furnas, Gosper, Hayes, Hitchcock, Perkins, and Red Willow;

District 15:       Boyd, Brown, Cherry, Holt, Keya Paha, and Rock;

District 16:       Box Butte, Dawes, Grant, Sheridan, and Sioux;

District 17:       Garden, Morrill, and Scotts Bluff;

District 18:       Gage and Jefferson;

District 19:       Banner, Cheyenne, Deuel, and Kimball;

District 20:       Blaine, Custer, Garfield, Greeley, Loup, Valley, and Wheeler; and

District 21:       Boone, Colfax, Merrick, Nance, and Platte.

   (C) Nomination and Election. The elective members of the House of Delegates in each District shall be nominated and elected by the Active members of this Association residing in such District, and the bylaws shall provide the procedure for nominating and electing such members of the House, including provisions for out-of-state Active members to qualify as members for voting purposes within one of the Districts.

   (D) Term of Office. Each elective member of the House of Delegates shall hold office for a term of 4 years and until his or her successor is elected and qualified. Elections shall be held in odd-numbered districts in the year 1971 and every 4 years thereafter, and in even-numbered districts in the year 1973 and every 4 years thereafter. Newly elected members shall take office at the conclusion of the Annual Meeting of this Association following their election.

   (E) Vacancies. Any vacancy in the office of any elected delegate shall be filled, for the unexpired term thereof, by vote of the remaining members of the House of Delegates at its next annual or semiannual meeting.

   (F) Voting. Only elected members of the House of Delegates shall be entitled to vote upon any matter submitted to such House of Delegates, provided any member appointed to fill a vacancy in the office of an elected member shall be qualified to vote while serving out such term.

   (G) Officers. The officers of the House of Delegates shall be the Chair, the Chair-Elect, and the Secretary, whose nomination, election, term of office, and duties shall be provided in these rules and the bylaws. Unless the House of Delegates provides otherwise, the Secretary of this Association shall serve as the Secretary of the House of Delegates.

   (H) Personnel and Publications. The House of Delegates shall have the power and the duty to fully administer this Article, including the power to employ necessary personnel and to establish the policies of this Association relating to official publications thereof.

   (I) Referendum. A referendum of the membership of this Association on any action taken by the House of Delegates shall be conducted whenever the House of Delegates, by a vote of one-third of the elected members thereof, shall so direct by resolution, or whenever a petition signed by 10 percent of the Active members of this Association residing in each of three-fourths of the Districts shall be filed with the Secretary. The Secretary shall conduct such referendum under such rules as shall be prescribed by the bylaws.

   (J) Ex Officio Members. The House of Delegates in the bylaws may provide for nonvoting ex officio members of the House of Delegates and may determine what members of this Association may speak and exercise the privileges of the floor other than the privilege of voting. Meetings of the House of Delegates shall be open to all Active members of this Association.

   (K) ABA Delegates. The House of Delegates shall elect the delegates of this Association to the American Bar Association as may be provided and authorized in the bylaws of the American Bar Association.

Rule 5(A) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-805, effective July 18, 2008.

§ 3-806. Executive council.

   (A) Duties and Powers. The Executive Council shall function as the administrative and executive organ of this Association and shall carry out and implement the duties and responsibilities delegated to it by these rules, the bylaws, and the House of Delegates. In the absence of other nominating petitions, the Executive Council shall nominate candidates for the offices of elective members of the House of Delegates and for the District members of the Executive Council.

   (B) Membership. The Executive Council shall consist of the President, President-Elect, President-Elect Designate, Chair, Chair-Elect of the House of Delegates, and six elected District members. The immediate Past President of this Association shall also serve as a member of the Executive Council for the year following the expiration of his or her term of office as President.

   (C) District Representatives. There shall be one District member of the Executive Council elected from each of the six Supreme Court Judicial Districts as such districts are now numbered and constituted or as they may hereafter be constituted. Each District member shall be an Active member of this Association who resides in the district which he or she represents and shall be elected by the Active members of this Association residing within such district and out-of-state Active members who qualify as members of the District for voting purposes as provided in the bylaws.

   (D) Nomination and Election. The bylaws shall provide for the nomination of District members by petition of Active members of the district and for the election of District members by secret mail ballot.

   (E) Term of Office. The term of office of District members shall be 4 years, commencing at the close of the Annual Meeting following election, and no District member shall serve consecutive terms. The terms of District members shall be staggered so that there shall be one member elected in each year. Elections shall be held in the following order: Supreme Court Districts 3, 6, 4, 1, 2, and 5. In case of a vacancy in office of any District member, the remaining members of the Executive Council shall have the power to fill such vacancy by appointment to serve until the next regular election.

   (F) Voting. Only District members shall vote on nominations for Association office to be made by the Executive Council; the Executive Council shall not nominate any one of its current District members for any elective office in this Association. The District members of the Executive Council shall appoint an Active member to fill any vacancy in the office of Delegate to the House of Delegates of the American Bar Association in the event of a vacancy in such office.

Rule 6(D) - (F) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-806, effective July 18, 2008.

§ 3-807. Committees and sections.

   (A) Budget and Planning Committee. There shall be a Budget and Planning Committee of this Association, consisting of not more than 13 members, who shall be appointed and whose terms shall be set in accordance with the bylaws, which committee shall perform the functions assigned to it in § 3-809.

   (B) Other Committees. Other committees of this Association may be created or abolished from time to time and shall have such jurisdiction and be elected or appointed in such manner with such tenure as fixed by the bylaws. Nonmembers, including laypersons, who by reason of their backgrounds or expertise can contribute toward the work of committees may be appointed by committee chairs to serve on committees as nonvoting committee members.

   (C) Sections. Sections of this Association may be created or abolished from time to time by the House of Delegates in such manner and with such functions as may be provided by the bylaws.

Rule 7(A) and (B) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-807, effective July 18, 2008.

§ 3-808. Meetings.

   (A) Annual Meeting. This Association shall have one regular meeting annually at a time and place to be fixed by the Executive Council. Each member of this Association shall be notified thereof by the Secretary by mail.

   (B) House of Delegates. The House of Delegates shall meet during the Annual Meeting and may be recessed from time to time throughout the Annual Meeting. The House of Delegates shall also hold a meeting in April, May, or June of each year at a time and place to be fixed by the House of Delegates. The President, Chair of the House of Delegates, or any 10 members of the House of Delegates may call a special session of the House of Delegates upon giving 10 days' written notice of the time, place, and purpose thereof to the elected members of the House of Delegates. A majority of the elected members of the House of Delegates shall constitute a quorum for the transaction of business.

   (C) Executive Council. An annual meeting of the Executive Council shall be held at the time and place selected for the holding of the Annual Meeting, and such other meetings thereof shall be held as may be called by the President, three District members, or as provided by the bylaws. Six members of the Executive Council shall be a quorum for the transaction of business.

   (D) Emergency Meetings.  In case of extreme emergency, the Executive Council, with the approval of the Supreme Court, may dispense with the calling of the Annual Meeting, but in such event shall call, in lieu thereof, a special session of the House of Delegates. In the case of extreme emergency, the Executive Council may call a special meeting, in such manner as may be determined by such Council, of all persons licensed to practice law in Nebraska.

Rule 8(A) and (B) amended March 19, 2003, effective November 1, 2003. Renumbered and codified as § 3-808, effective July 18, 2008.

§ 3-809. Budget and audit.

   (A) Budget Preparation and Approval. The Budget and Planning Committee of this Association, consisting of not more than 13 members, shall study the income and expenses of this Association and shall prepare and submit to the Executive Council a proposed budget for each fiscal year of this Association. The Executive Council shall, upon receipt of such proposed budget, pass upon the same, and shall thereupon prepare and submit an annual budget of this Association's receipts and expenditures to the House of Delegates for its consideration and approval. Such proposed budget shall not be effective until 30 days after it shall be approved by a majority vote of the House of Delegates at a meeting for which at least 30 days' notice, including a copy of the proposed budget, has been given. The House of Delegates by majority vote thereof may amend or modify the proposed budget prior to its final adoption.

   (B) Authorization of Expenditures. After the budget is adopted by the House of Delegates, no expenditures shall be made for this Association except as provided thereby, provided, however, that in case of emergency, the President may authorize additional expenditures not to exceed $1,000 in any one instance; and provided further, that, in the case of emergency, the Executive Council may, by vote of two-thirds of its members, authorize additional expenditures not exceeding the total sum of $50,000 in any 1 year. No other expenditures shall be made except on approval by the House of Delegates.

   (C) Accounting and Auditing. The Executive Council shall cause proper books of account to be kept and shall prepare an annual audit thereof by a certified public accountant. Such audit shall contain a balance sheet and a statement of operations for the fiscal year involved, shall be submitted to the House of Delegates for approval at its next meeting, and shall be distributed to the members of the House of Delegates at least 30 days prior to the date of such meeting.

   (D) Circulation of Budget and Audit. The Executive Council, prior to the Annual Meeting of this Association, shall file with the Clerk of the Supreme Court and shall cause to be distributed to the members of this Association a copy of the current annual budget, the proposed budget for the succeeding year, and an annual statement showing a balance sheet and operating statement for the last preceding fiscal year.

   (E) Fiscal Year. The books and records of this Association shall be kept, and the affairs of this Association shall be managed, on a fiscal year basis to be fixed by the bylaws.

Rule 9(A)–(E) amended March 19, 2003, effective November 1, 2003 (Rule 9(C) deleted and (D)–(F) renumbered). Renumbered and codified as § 3-809, effective July 18, 2008.

§ 3-810. Ethical standards.

   Effective September 1, 2005, the ethical standards relating to the practice of law in this State shall be the Nebraska Rules of Professional Conduct as adopted by the Nebraska Supreme Court on June 8, 2005, together with such amendments and additions thereto as may from time to time be approved by the Supreme Court of Nebraska.

Rule 10 amended July 13, 2005, effective September 1, 2005. Renumbered and codified as § 3-810, effective July 18, 2008.

§ 3-811. Bylaws.

   Suitable bylaws, not inconsistent with these rules, shall be adopted by the House of Delegates.

§ 3-812. Amendment.

   Recommendations to the Supreme Court of amendments to these rules may be adopted by a two-thirds vote of the elected members present at a regular or special meeting of the House of Delegates, provided that no recommendation shall be considered (except by the unanimous consent of the elective members present) unless a written or printed copy of the proposed recommendation shall have been included in the call for the meeting. Recommendations to the Supreme Court of amendments to these rules may also be adopted by the exercise of the power of initiative as vested in the membership under § 3-802.

§ 3-813. Enabling rules.

   (A) Bylaws. The present bylaws of this Association shall continue, so far as applicable, under these rules until new bylaws hereunder shall be adopted.

   (B) Effective Date. These rules shall become effective on January 1, 1971.

   (C) Terms of House of Delegates and Executive Council Members. All previously elected members of the House of Delegates and of the Executive Council shall complete their respective terms as existing under the rules of this Association, prior to the effective date hereof. Upon the effective date of this rule, all elected members thereof shall take office upon the termination of the terms of such previously elected members.

   (D) Terms of Officers. In the event these amended rules shall become effective prior to the date of the Annual Meeting of this Association, as previously fixed, all officers serving at the time of such effective date shall finish out their respective terms, and their successors shall be elected in accordance with the provisions hereof.

§ 3-814. Filing bylaws and rules.

   The Nebraska State Bar Association shall at all time keep on file with the Clerk of the Nebraska Supreme Court and Court of Appeals a current copy of its bylaws and all rules under which its House of Delegates, Executive Council, and various committees and sections operate.

Rule 14 (formerly the Rule Requiring Filing of Nebraska State Bar Association Rules With Supreme Court) amended January 22, 1998. Renumbered and codified as § 3-814, effective July 18, 2008.

Article 9: Trust Fund Requirements for Lawyers.

(Trust Fund Requirements for Lawyers and Appendix amended and readopted September 19, 2001. Renumbered and codified as §§ 3-901 to 3-907 effective July 18, 2008.)

Appendix 1(Appendix 1 amended March 29, 2006; Appendix 1 amended November 15, 2007.)

§ 3-901. Definitions.

   (A) The following definitions shall apply to t