RULES OF PROFESSIONAL
CONDUCT
http://www.judiciary.state.nj.us/rules/apprpc.htm
Includes amendments through those effective September 26, 2006
Table of Rules
1.0 Terminology.
1.1 Competence.
1.2 Scope of Representation and Allocation of Authority Between Client and
Lawyer.
1.3 Diligence.
1.4 Communication.
1.5 Fees.
1.6 Confidentiality of Information.
1.7 Conflict of Interest: General Rule.
1.8 Conflict of Interest: Current Clients; Specific Rules.
1.9 Duties to Former Clients.
1.10 Imputation of Conflicts of Interest: General Rule.
1.11 Successive Government and Private Employment.
1.12 Former Judge, Arbitrator, Mediator or Other Third-Party Neutral or Law
Clerk.
1.13 Organization as the Client.
1.14 Client Under a Disability.
1.15 Safekeeping Property.
1.16 Declining or Terminating Representation.
1.17 Sale of Law Practice.
1.18 Prospective Client
2.1 Advisor.
2.2 (Reserved)
2.3 Evaluation for Use by Third Persons.
2.4 Lawyer Serving as Third-Party Neutral
3.1 Meritorious Claims and Contentions.
3.2 Expediting Litigation.
3.3 Candor Toward the Tribunal.
3.4 Fairness to Opposing Party and Counsel.
3.5 Impartiality and Decorum of the Tribunal.
3.6 Trial Publicity.
3.7 Lawyer as Witness.
3.8 Special Responsibilities of a Prosecutor.
3.9 Advocate in Nonadjudicative Proceedings.
4.1 Truthfulness in Statements to Others.
4.2 Communication With Person Represented by Counsel.
4.3 Dealing With Unrepresented Person; Employee of Organization.
4.4 Respect for Rights of Third Persons.
5.1 Responsibilities of Partners, Supervisory Lawyers, and Law Firms.
5.2 Responsibilities of a Subordinate Lawyer.
5.3 Responsibilities Regarding Nonlawyer Assistants.
5.4 Professional Independence of a Lawyer.
5.5 Lawyers Not Admitted to the Bar of This State and the Lawful Practice
of Law.
5.6 Restrictions on Right to Practice.
6.1 Voluntary Public Interest Legal Service.
6.2 Accepting Appointments.
6.3 Membership in Legal Services Organization.
6.4 Law Reform Activities Affecting Client Interests.
6.5 Nonprofit and Court-Annexed Limited Legal Service Programs.
7.1 Communications Concerning a Lawyer's Service.
7.2 Advertising.
7.3 Personal Contact With Prospective Clients.
7.4 Communication of Fields of Practice and Certification.
7.5 Firm Names and Letterheads.
8.1 Bar Admission and Disciplinary Matters.
8.2 Judicial and Legal Officials.
8.3 Reporting Professional Misconduct.
8.4 Misconduct.
8.5 Disciplinary Authority; Choice of Law.
NOTE: These rules shall be referred to as the Rules of Professional Conduct
and shall be abbreviated as "RPC".
RPC 1.0 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.”
(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) “Primary responsibility” denotes actual participation in the
management and direction of the matter at the policy-making level or responsibility at the operational level as manifested
by the continuous day-to-day responsibility for litigation or transaction decisions.
(i) “Reasonable” or “reasonably” when used in relation
to conduct by a lawyer denotes the conduct of a reasonably prudent and competent lawyer.
(j) “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.
(k) “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.
(l) “Screened” denotes the isolation of a lawyer from any participation
in a matter through the timely adoption and enforcement by a law firm of a written procedure pursuant to RPC 1.10(f) which
is reasonably adequate under the circumstances to protect information that the isolated lawyer is obligated to protect under
these Rules or other law.
(m) “Substantial” when used in reference to degree or extent denotes
a material matter of clear and weighty importance.
(n) “Tribunal” denotes a court, an arbitrator in an 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.
(o) “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.
Note: Adopted November 17, 2003 to be effective January 1, 2004.
RPC 1.1 Competence
A lawyer shall not:
(a) Handle or neglect a matter entrusted to the lawyer in such manner that
the lawyer's conduct constitutes gross negligence.
(b) Exhibit a pattern of negligence or neglect in the lawyer's handling of
legal matters generally.
Note: Adopted July 12, 1984 to be effective September 10, 1984.
RPC 1.2. Scope of Representation and Allocation of Authority Between Client
and Lawyer
(a) A lawyer shall abide by a client's decisions concerning the scope and
objectives of representation, subject to paragraphs (c) and (d), and as required by RPC 1.4 shall consult with the client
about the means to pursue them. 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 consult with the client and, following consultation, shall abide by the client's decision on the plea to be entered,
jury trial, and whether the client will testify.
(b) 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.
(c) A lawyer may limit the scope of the representation if the limitation is
reasonable under the circumstances and the client gives informed consent.
(d) A lawyer shall not counsel or assist a client in conduct that the lawyer
knows is illegal, criminal or fraudulent, or in the preparation of a written instrument containing terms the lawyer knows
are expressly prohibited by law, but a lawyer may counsel or assist a client in a good faith effort to determine the validity,
scope, meaning or application of the law.
Note: Adopted July 12, 1984 to be effective September 10, 1984; caption amended,
paragraphs (a) and (c) amended, and paragraph (e) deleted and redesignated as RPC 1.4(d) November 17, 2003 to be effective
January 1, 2004.
RPC 1.3. Diligence
A lawyer shall act with reasonable diligence and promptness in representing
a client.
Note: Adopted July 12, 1984 to be effective September 10, 1984.
RPC 1.4. Communication
(a) A lawyer shall fully inform a prospective client of how, when, and where
the client may communicate with the lawyer.
(b) A lawyer shall keep a client reasonably informed about the status of a
matter and promptly comply with reasonable requests for information.
(c) A lawyer shall explain a matter to the extent reasonably necessary to
permit the client to make informed decisions regarding the representation.
(d) When a lawyer knows that a client expects assistance not permitted by
the Rules of Professional Conduct or other law, the lawyer shall advise the client of the relevant limitations on the lawyer’s
conduct.
Note: Adopted July 12, 1984 to be effective September 10, 1984; new paragraphs
(a) and (d) adopted and former paragraphs (a) and (b) redesignated as paragraphs (b) and (c) November 17, 2003 to be effective
January 1, 2004.
RPC 1.5. Fees
(a) A lawyer's fee shall be reasonable. 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;
(8) whether the fee is fixed or contingent.
(b) When the lawyer has not regularly represented the client, the basis or
rate of the fee shall be communicated in writing to the client before or within a reasonable time after commencing the representation.
(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 law or by these rules. A contingent fee agreement
shall be in writing 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. 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) Except as otherwise provided by the Court Rules, a division of 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, by written agreement with the client, each lawyer assumes joint responsibility for the representation; and
(2) the client is notified of the fee division; and
(3) the client consents to the participation of all the lawyers involved;
and
(4) the total fee is reasonable.
Note: Adopted July 12, 1984 to be effective September 10, 1984; new subparagraph
(e)(2) added and former subparagraphs (e)(2) and (e)(3) redesignated as subparagraphs (e)(3) and (e)(4) November 17, 2003
to be effective January 1, 2004.
RPC 1.6. Confidentiality of Information
(a) A lawyer shall not reveal information relating to representation of a
client unless the client consents after consultation, except for disclosures that are impliedly authorized in order to carry
out the representation, and except as stated in paragraphs (b), (c), and (d).
(b) A lawyer shall reveal such information to the proper authorities, as soon
as, and to the extent the lawyer reasonably believes necessary, to prevent the client or another person:
(1) from committing a criminal, illegal or fraudulent act that the lawyer
reasonably believes is likely to result in death or substantial bodily harm or substantial injury to the financial interest
or property of another;
(2) from committing a criminal, illegal or fraudulent act that the lawyer
reasonably believes is likely to perpetrate a fraud upon a tribunal.
(c) If a lawyer reveals information pursuant to RPC 1.6(b), the lawyer also
may reveal the information to the person threatened to the extent the lawyer reasonably believes is necessary to protect that
person from death, substantial bodily harm, substantial financial injury, or substantial property loss.
(d) A lawyer may reveal such information to the extent the lawyer reasonably
believes necessary:
(1) to rectify the consequences of a client's criminal, illegal or fraudulent
act in the furtherance of which the lawyer's services had been used;
(2) to establish a claim or defense on behalf of the lawyer in a controversy
between the lawyer and the client, or to establish a defense to a criminal charge, civil claim or disciplinary complaint against
the lawyer based upon the conduct in which the client was involved; or
(3) to comply with other law.
(e) Reasonable belief for purposes of RPC 1.6 is the belief or conclusion
of a reasonable lawyer that is based upon information that has some foundation in fact and constitutes prima facie evidence
of the matters referred to in subsections (b), (c), or (d).
Note: Adopted July 12, 1984 to be effective September 10, 1984; paragraphs
(a) and (b) amended, new paragraph (c) added, former paragraph (c) redesignated as paragraph (d), and former paragraph (d)
amended and redesignated as paragraph (e) November 17, 2003 to be effective January 1, 2004.
RPC 1.7. Conflict of Interest: General Rule
(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) each affected client gives informed consent, confirmed in writing, after
full disclosure and consultation, provided, however, that a public entity cannot consent to any such representation. When
the lawyer represents multiple clients in a single matter, the consultation shall include an explanation of the common representation
and the advantages and risks involved;
(2) the lawyer reasonably believes that the lawyer will be able to provide
competent and diligent representation to each affected client;
(3) the representation is not prohibited by law; and
(4) 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.
Note: Adopted July 12, 1984 to be effective September 10, 1984; text deleted
and new text adopted November 17, 2003 to be effective January 1, 2004.
RPC 1.8. 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 in which the lawyer acquires the interest are
fair and reasonable to the client and are fully disclosed and transmitted in writing to the client in a manner that can be
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 of the client's choice concerning 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) Except as permitted or required by these rules, a lawyer shall not use
information relating to representation of a client to the disadvantage of the client unless the client after full disclosure
and consultation, gives informed consent.
(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; and
(3) a non-profit organization authorized under R. 1:21-1(e) may provide financial
assistance to indigent clients whom it is representing without fee.
(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 lawyer-client relationship; and
(3) information relating to representation of a client is protected as required
by RPC 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 no contest pleas, unless each client gives informed consent after a consultation that shall include disclosure of 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 fails to act in accordance with the lawyer's advice and the lawyer nevertheless continues
to represent the client at the client's request. Notwithstanding the existence of those two conditions, the lawyer shall not
make such an agreement unless permitted by law and 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 advise 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 granted
by law to secure the lawyer's fee or expenses, (2) contract with a client for a reasonable contingent fee in a civil case.
(j) 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.
(k) A lawyer employed by a public entity, either as a lawyer or in some other
role, shall not undertake the representation of another client if the representation presents a substantial risk that the
lawyer’s responsibilities to the public entity would limit the lawyer’s ability to provide independent advice
or diligent and competent representation to either the public entity or the client.
(l) A public entity cannot consent to a representation otherwise prohibited
by this Rule.
Note: Adopted September 10, 1984 to be effective immediately; paragraph (e)
amended July 12, 2002 to be effective September 3, 2002; caption amended, paragraphs (a), (b), (c), (f), (g), (h) amended,
former paragraph (i) deleted, former paragraph (j) redesignated as paragraph (i), former paragraph (k) deleted, and new paragraphs
(j) , (k) and (l) added November 17, 2003 to be effective January 1, 2004.
RPC 1.9 Duties to Former Clients
(a) A lawyer who has represented a client in a matter shall not thereafter
represent another client in the same or a substantially related matter in which that client'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, while at the former firm, had personally acquired
information protected by RPC 1.6 and RPC 1.9(c) that is material to the matter unless the former client gives informed consent,
confirmed in writing.
Notwithstanding the other provisions of this paragraph, neither consent shall
be sought from the client nor screening pursuant to RPC 1.10 permitted in any matter in which the attorney had sole or primary
responsibility for the matter in the previous firm.
(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 public entity cannot consent to a representation otherwise prohibited
by this Rule.
Note: Adopted July 12, 1984 to be effective September 10, 1984; caption amended,
paragraphs (a) and (b) amended, and new paragraphs (c) and (d) added November 17, 2003 to be effective January 1, 2004.
RPC 1.10. Imputation of Conflicts of Interest: General Rule
(a) When 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 RPC 1.7 or RPC 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 RPC 1.6
and RPC 1.9(c) that is material to the matter.
(c) When a lawyer becomes associated with a firm, no lawyer associated in
the firm shall knowingly represent a person in a matter in which that lawyer is disqualified under RPC 1.9 unless:
(1) the matter does not involve a proceeding in which the personally disqualified
lawyer had primary responsibility;
(2) the personally disqualified lawyer is timely screened from any participation
in the matter and is apportioned no part of the fee therefrom; and
(3) written notice is promptly given to any affected former client to enable
it to ascertain compliance with the provisions of this Rule.
(d) A disqualification prescribed by this rule may be waived by the affected
client under the conditions stated in RPC 1.7.
(e) The disqualification of lawyers associated in a firm with former or current
government lawyers is governed by RPC 1.11.
(f) Any law firm that enters a screening arrangement, as provided by this
Rule,
shall establish appropriate written procedures to insure that: (1) all attorneys
and other personnel in the law firm screen the personally disqualified attorney from any participation in the matter, (2)
the screened attorney acknowledges the obligation to remain screened and takes action to insure the same, and (3) the screened
attorney is apportioned no part of the fee therefrom.
Note: Adopted July 12, 1984 to be effective September 10, 1984; paragraph
(b) corrected in Dewey v. R.J. Reynolds Tobacco Co., 109 N.J. 201, 217-18 (1988); caption and paragraphs (a),
(b), and (c) amended, paragraph (d) deleted, former paragraph (e) amended and redesignated as paragraph (d), new paragraphs
(e) and (f) adopted November 17, 2003 to be effective January 1, 2004.
RPC 1.11. Successive Government and Private Employment
(a) Except as law may otherwise expressly permit, and subject to RPC 1.9,
a lawyer who formerly has served as a government lawyer or public officer or employee of the government shall not represent
a private client in connection with a matter:
(1) in which the lawyer participated personally and substantially as a public
officer or employee, or
(2) for which the lawyer had substantial responsibility as a public officer
or employee; or
(3) when the interests of the private party are materially adverse to the
appropriate government agency, provided, however, that the application of this provision shall be limited to a period of six
months immediately following the termination of the attorney’s service as a government lawyer or public officer.
(b) Except as law may otherwise expressly permit, a lawyer who formerly has
served as a government lawyer or public officer or employee of the government:
(1) shall be subject to RPC 1.9(c)(2) in respect of information relating to
a private party or information that the lawyer knows is confidential government information about a person acquired by the
lawyer while serving as a government lawyer or public officer or emplo
