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title: Code of Ethics

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# Code of Ethics

This Code should be cited as the Barkl. C. E. #(#)(#)(Letter).

## PART 1 - ATTORNEY-CLIENT RELATIONSHIP

### RULE 1 - Scope of Representation

1. 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.
2. 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. A lawyer may limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent.
4. 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. 

### RULE 2 - Scope of Advice

1. In general, a lawyer is not expected to give advice until asked by the client.
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 truthful and honest advice by the idea that the advice will be rejected by the client. 
2. 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. A lawyer should give advice that can be taken and comprehended by the client.  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. 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. 

### RULE 3 - Confidentiality of Information

1. A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is required in order to carry out the representation or the disclosure is required by other parts of this code.
2. A lawyer shall reveal such information to the extent the lawyer reasonably believes necessary to prevent the client from committing a criminal act that the lawyer believes is likely to result in death or substantial bodily harm.
3. A lawyer may reveal the intention of the lawyer's client to commit a crime and the information necessary to prevent the crime.
4. A lawyer may reasonably and by their discretion, disclose information to establish claims in their representation.
5. A lawyer is required to disclose information as ordered by a court.
6. A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.

### RULE 4 - Conflicts of Interest

1. A lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest requires:
    (a) That the representation of one client will be directly adverse to another client, or 
    (b) That the lawyer's representation of clients will be limited due to their responsibilities to a former client, third person, or personal interest of the lawyer.
2. A lawyer may represent a client even with a concurrent conflict of interest if:
    (a) Each affected client gives written consent, and
    (b) The lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client, and
    ( c) The representation is not prohibited by law, and
    (d) 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 court.
    
### RULE 5 - Competence of the Lawyer

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. 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 impracticable.  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.

### RULE 6 - Diligence and Communication

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.  A lawyer is not bound, however, to press for every advantage that might be realized for a client. 
2. A lawyer's work load must be controlled so that each matter can be handled competently. 
3. 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 prevent the lawyer from agreeing to a reasonable request for a postponement that will not prejudice the lawyer's client. 
4. 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. 

### RULE 7 - Duties to Prospective Clients

1. A person who consults with a lawyer about the possibility of forming a client-lawyer relationship with respect to a matter is a prospective client.
2. Even when no client-lawyer relationship ensues, a lawyer who has learned information from a prospective client shall not use or reveal that information, except as would be permitted by 1(3)(2) and 1(3)(3) with respect to information of a former client.
3. A lawyer subject to paragraph 1(7)(2) 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.
    (a) A lawyer may represent if both the prospective and current client give written consent and are knowledgeable of the circumstances.

### RULE 8 - Declining and Termination of Representation

1. A lawyer shall not represent a client or, where representation has commenced, shall withdraw from the representation of a client if:
    (a) The representation will result in violation of the Code of Ethics or other law, or
    (b) The lawyer is discharged by a court,
    ( c) The client has withdrawn their lawyer from representing them.
2. A lawyer may withdraw from representing a client if:
    (a) Withdrawl can be accomplished without material adverse effect on the interests of the client, or
    (b) The client persists in a course of action involving the lawyer's services that the lawyer reasonably believes is criminal or fraudulent, or
    ( c) The client has used the lawyer's services to perpetrate a crime or fraud, or
    (d) The client insists upon taking action that the lawyer considers repugnant or with which the lawyer has a fundamental disagreement, or
    (e) 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, or
    (f) Other good cause for withdrawl exists.
3. A lawyer shall comply with applicable law requiring notice to or permission of a court when terminating a representation. 
4. 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 documents and property to which the client is entitled.
5. Upon the client's request, the lawyer shall provide the client with all of the client's documents, and all documents reflecting work performed for the client.

### RULE 9 - Restrictions on the Right to Practice

1. A lawyer shall not participate in offering or making 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 unless a written agreement is created as a settlement between private parties.

### RULE 10 - Solicitation of Legal Services

1. A lawyer shall not make a false or misleading communication about the lawyer or the lawyer's services.
    (a) 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.
2. A firm name cannot include the name of a lawyer who is disbarred.

### RULE 11 - Third Party Neutral

1. 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.
2. 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.

## PART 2 - COMMUNICATIONS TOWARD THIRD PARTIES

### RULE 1 - Communications with Persons Other Than Client

1. In the course of representing a client a lawyer shall not knowingly make a false statement of material fact or law to a third person. 
2. 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.

### RULE 2 - Communication with Person Represented by Counsel

1. In representing a client, a lawyer shall not communicate about the subject of the representation with a party 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 by law to do so.
2. This rule does not prohibit communication with a party, or an employee or agent of a party, 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.
3. This Rule also covers any person, whether or not a party to a formal proceeding, who is represented by counsel concerning the matter in question.

### RULE 3 - Dealing with Unrepresented Person

1. 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. 

### RULE 4 - Respect for Rights of Others

1. A lawyer who receives a document or electronically stored information and knows or reasonably should know that the document or electronically stored information was inadvertently sent shall promptly notify the sender and preserve the status quo for a reasonable period of time in order to permit the sender to take protective measures.
2. 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 others.  It is impracticable to catalogue all such rights, but they include legal restrictions on methods of obtaining evidence from others and unwarranted intrusions into privileged relationships, such as the client-lawyer relationship.

## PART 3 - COURT PROCEEDINGS

### RULE 1 - Expediting Litigation

1. A lawyer shall make reasonable efforts to expedite litigation consistent with the interests of the client.
2. Delay should not be indulged merely for the convenience of the advocates, or 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.

### RULE 2 - Candor Toward the Court

1. A lawyer shall not knowingly:
    (a) Make a false statement of fact or law to a court or fail to correct a false statement of material fact or law previously made to the court by the lawyer, and
    (b) 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 court.  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.
    
### RULE 3 - Fairness to Opposing Party and Counsel

1. 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, or
    (b) Falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law, or
    ( c) Knowingly disobey an obligation under the rules of a court except for an open refusal based on an assertion that no valid obligation exists, or
    (d) In pretrial procedure, make an irrelevant discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party, or
    (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 the person is an employee or agent of the client, or
    (g) Assist another person to attempt any of these acts.
    
### RULE 4 - Impartiality of the Court

1. A lawyer shall not:
    (a) Seek to influence a judge, juror, prospective juror or other official of a court by means prohibited by law, or
    (b) Communicate ex parte with such a person during the proceeding unless authorized to do so by law or court order, or 
    ( c) Communicate with a juror or prospective juror until ruling, or
    (d) Enage in conduct that would disrupt a trial or proceeding.
    
### RULE 5 - Trial Publicity

1. 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 will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter.
2. A lawyer may state the following to the public in both civil and criminal cases.
    (a) The claim, offense or defense involved and, except when prohibited by law, the identity of the persons involved, 
    (b) Information contained in a public record,
    ( c) That an investigation of a matter is in progress;
    (d) The scheduling or result of any step in litigation,
    (e) A request for assistance in obtaining evidence and information necessary thereto, and
    (f) 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.
3. A lawyer may state the following with criminal cases alongside 3(5)(2):
    (a) The identity, residence, occupation and family status of the accused,
    (b) If the accused has not been apprehended, information necessary to aid in apprehension of that person,
    ( c) The fact, time and place of arrest, and
    (d) The identity of investigating and arresting officers or agencies and the length of the investigation.
4. 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.

### RULE 6 - Lawyer as Witness

1. A lawyer shall not act as counsel at a trial in which the lawyer is likely to be a necessary witness unless:
    (a) The testimony relates to the nature and value of legal services rendered in the case.
    
### RULE 7 - Special Responsibilities of the Prosecutor

1. The prosecutor in a criminal case shall:
    (a) Refrain from prosecuting a charge that the prosecutor knows is not supported by probable cause, and
    (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, and
    ( c) Not seek to obtain from an unrepresented accused a waiver of important pretrial rights, such as the right to a preliminary hearing, and
    (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 court all unprivileged mitigating information known to the prosecutor, except when the prosecutor is relieved of this responsibility by a protective order of the court, and
    (e) 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 themselves.
2. The prosecutor in a criminal case may not subpoena lawyers to give evidence about past or current clients unless:
    (a) The information sought is not protected from disclosure by any applicable privilege,
    (b) The evidence sought is essential to the successful completion of any ongoing investigation or prosecution, and
    ( c) There is no other feasible alternative to obtain the information.
3. When a prosecutor knows of clear and convincing evidence establishing that a defendant in the prosecutor's jurisdiction was convicted of an offense that the defendant did not commit, the prosecutor shall take appropriate steps, including giving notice to the victim, to set aside the conviction.
    (a) This includes during criminal proceedings where the prosecutor finds evidence that would acquit the defendant completely.
    
### RULE 8 - Lawyer's Responsibility Toward the Convicted

1. When a lawyer knows of credible and material evidence that creates a reasonable likelihood that a convicted defendant did not commit an offense of which the defendant was convicted, the lawyer shall promptly disclose that evidence to the court in which the defendant was convicted and to the corresponding prosecutorial authority, and to defendant's counsel or, if defendant is not represented, the defendant and the Public Defender's Office.
2. A lawyer who in good faith concludes that information is not subject to this Rule does not violate this Rule even if that conclusion is later determined to have been erroneous.

## PART 4 - LAW FIRMS AND ASSOCIATIONS

### RULE 1 - Responsibilities of Law Firms and Organizations

1. A lawyer who has an ownership interest in a firm, and a lawyer who individually or together with other lawyers possesses comparable managerial authority in a firm, shall make reasonable efforts to ensure that the firm has in effect internal policies and procedures giving reasonable assurance that all lawyers and nonlawyers in the firm conform to this Code of Ethics.
    (a) Internal policies and procedures include, but are not limited to, those designed to detect and resolve conflicts of interest, maintaining confidentiality, identifying dates by which actions must be taken in pending matters, and ensure that inexperienced lawyers are properly supervised.
    (b) Other measures may be required depending on the firm's structure and the nature of its practice.
2. A lawyer shall be personally responsible for another lawyer's violation of the Code of Ethics if:
    (a) The lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved, or
    (b) The lawyer has an ownership interest in or has comparable managerial authority in the 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.
    
### RULE 2 - Responsibilities of the Subordinate Lawyer

1. A subordinate lawyer does not violate the Code of Ethics if that lawyer acts in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty. 
2. 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 code.
3. 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.

### RULE 3 - Responsibilities of the Nonlawyer

1. A lawyer in a firm shall make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that the conduct of nonlawyers engaged in activities assisting lawyers in providing legal services and those who have access to attorney-client information, is compatible with the professional obligations of the lawyer. Reasonable measures include, but are not limited to, adopting and enforcing policies and procedures designed:
    (1) Preventing nonlawyers in a firm from directing, controlling, or materially limiting the lawyer's independent professional judgment on behalf of clients or materially influencing which clients a lawyer does or does not represent, and
    (2) Ensuring that nonlawyers assisting in the delivery of legal services or working under the supervision of a lawyer comport themselves in accordance with the lawyer's ethical obligations, including, but not limited to, avoiding conflicts of interest and maintaining the confidentiality of all lawyer client information.

## PART 5 - SERVICE TO THE PUBLIC

### RULE 1 - Rejecting Appointments

1. A lawyer shall not seek to avoid appointment by a court to represent a person except for good cause, such as:
    (a) Representing the client is likely to result in violation of the Code of Ethics or other law, or
    (b) 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.

## PART 6 - MAINTAINING INTEGRITY OF THE PROFESSION

### RULE 1 - Integrity and Conduct Toward Judicial and Elected Officers

1. 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.
2. A lawyer who is a candidate for judicial office shall comply with the applicable provisions of the Code of Conduct for Judges.

### RULE 2 - Malpractice

1. Any person who is not licensed by the Barklen State Bar who attempts to represent or write legal documents for residents is guilty of Malpractice.
    1. Paralegals, Clerks, and other nonlawyers are exempt and are allowed to write legal documents and serve under their proper authority.
    2. Paralegals and other nonlawyers who write legal documents are not allowed to sign such documents. Their supervisor must sign any documents written by the paralegal/nonlawyer that is planned to be sent.

### RULE 3 - Reporting Professional Misconduct

1. 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 State Bar's Ethics Committee. 
2. A lawyer who knows that a paralegal or other nonlawyer has committed a violation of the applicable codes of conduct that raises a substantial question as to the person or entity's compliance with the codes shall inform the State Bar's Ethics Committee.
2. 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 Supreme Court.
### RULE 4 - Professional Misconduct

1. It is professional misconduct for a lawyer to: 
    (a) Violate or attempt to violate the Code of Ethics, knowingly assist or induce another to do so, or do so through the acts of another, or
    (b) Commit a criminal act that reflects adversely on the lawyer's honesty, trustworthiness or fitness as a lawyer in other respects, or
    ( c) Engage in conduct involving dishonesty, fraud, deceit or misrepresentation, or
    (d) Engage in conduct that is prejudicial to the administration of justice, or
    (e) State or imply an ability to influence improperly a government agency or official or to achieve results by means that violate the Code of Ethics or other law, or
    (f) Knowingly assist a judge or judicial officer in conduct that is a violation of applicable Code of Conduct for Judges or other law, or
    (g) File a request for the judge to recuse themselves with the intent of delaying proceedings, or
    (h) Continously interrupt court proceedings with repeated warnings from the presiding judge.
