Arizona Rules of Professional Conduct (Limited Jurisdiction Civil Law)

• The Arizona Rules of Professional Conduct guide attorneys' ethical responsibilities.
• Limited jurisdiction courts in Arizona handle specific types of civil cases, typically with lower monetary limits.
• The following notes focus on Arizona Rules of Professional Conduct applicable to civil law practice in limited jurisdiction courts.

Competence (Rule 1.1)

• Lawyers must provide competent representation to clients.
• Competent representation requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.
• Attorneys should not handle matters they are not competent in without sufficient study or associating with a lawyer who is competent.
• In limited jurisdiction civil cases, competence includes understanding rules of procedure and evidence specific to those courts.
• Examples include familiarity with simpler pleading requirements, relaxed evidentiary standards, or alternative dispute resolution methods commonly used.
• A lawyer's competence must extend to reasonably understanding the technology.

Scope of Representation and Allocation of Authority (Rule 1.2)

• 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 limit the scope of the representation if the limitation is reasonable under the circumstances and the client gives informed consent
• The lawyer must explain what services will not be provided.
• In limited scope representation in limited jurisdiction civil cases, clients may handle parts of their case themselves.
• Examples of limited scope representation:
  • Providing advice on specific legal issues.
  • Drafting pleadings or motions for a client to file pro se.
  • Representing a client at a single hearing or mediation.
• The lawyer must ensure the client understands the limitations and the potential risks.

Diligence (Rule 1.3)

• A lawyer shall act with reasonable diligence and promptness in representing a client.
• Diligence requires pursuing a matter with dedication and completing it without avoidable delay.
• In limited jurisdiction civil cases, diligence includes:
  • Meeting deadlines for filing pleadings and motions.
  • Promptly communicating with the client.
  • Taking necessary steps to discover relevant facts.
  • Being punctual for court appearances and other appointments.
• Even in simpler cases, lack of diligence can prejudice a client's rights.

Communication (Rule 1.4)

• A lawyer shall keep the client reasonably informed about the status of the matter.
• A lawyer shall promptly comply with reasonable requests for information.
• A lawyer shall consult with the client about any decision or course of conduct.
• A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions.
• Effective communication is crucial in limited jurisdiction civil cases, where clients may have limited legal experience.
• Communicating updates about court dates, deadlines, and potential settlement offers is required.
• Explaining legal terms and procedures in plain language is essential.
• Lawyers must advise clients about the potential costs and benefits of different courses of action.

Fees (Rule 1.5)

• A lawyer shall not make an agreement for, charge, or collect an unreasonable fee or an unreasonable amount for expenses.
• The factors determining the reasonableness of a fee include:
  • The time and labor required, the novelty and difficulty of the questions involved, and the skill requisite to perform the legal service properly.
  • The likelihood that the acceptance of the particular employment will preclude other employment by the lawyer.
  • The fee customarily charged in the locality for similar legal services.
  • The amount involved and the results obtained.
  • The time limitations imposed by the client or by the circumstances.
  • The nature and length of the professional relationship with the client.
  • The experience, reputation, and ability of the lawyer or lawyers performing the services.
  • Whether the fee is fixed or contingent.
• In limited jurisdiction civil cases, fees must be reasonable in proportion to the amount in controversy and the complexity of the matter.
• Lawyers must clearly explain the basis of their fees to clients, including hourly rates, flat fees, or contingency fee arrangements.
• Written fee agreements are recommended, especially when the fee is not fixed.

Confidentiality (Rule 1.6)

• 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 or required by Rule 1.6(b) or Rule 1.6(c).
• Exceptions exist where disclosure is required by law or court order, or to prevent reasonably certain death or substantial bodily harm.
• The duty of confidentiality applies to all information relating to the representation, regardless of the source.
• In limited jurisdiction civil cases, confidentiality protects sensitive information disclosed by the client.
• A lawyer can share information if it is impliedly authorized to carry out representation.

Conflict of Interest: Current Clients (Rule 1.7)

• A lawyer shall not represent a client if the representation involves a concurrent conflict of interest.
• A concurrent conflict of interest exists if:
  • the representation of one client will be directly adverse to another client; or
  • 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.
• Even with a conflict, representation is permitted if:
  • the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client;
  • the representation is not prohibited by law;
  • 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
  • each affected client gives informed consent, confirmed in writing.
• Lawyers must identify potential conflicts before accepting representation.

Conflict of Interest: Former Client (Rule 1.9)

• 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.
• 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 whose interests are materially adverse to that person and 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.
• Information received during the prior representation must remain confidential.

Imputation of Conflicts of Interest: General Rule (Rule 1.10)

• 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.
• If 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:
  • the matter is the same or substantially related to that in which the formerly associated lawyer represented the client; and
  • any lawyer remaining in the firm has information protected by Rules 1.6 and 1.9(c) that is material to the matter.
• A disqualification prescribed by this rule may be waived by the affected client under the conditions stated in Rule 1.7.

Candor Toward the Tribunal (Rule 3.3)

• A lawyer shall not knowingly:
  • 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.
  • 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
  • offer evidence that the lawyer knows to be false.
• A lawyer may refuse to offer evidence that the lawyer reasonably believes is false.
• These duties apply even if compliance requires disclosure of information otherwise protected by Rule 1.6.
• A lawyer who has offered material evidence in a proceeding and comes to know of its falsity must take reasonable remedial measures.

Fairness to Opposing Party and Counsel (Rule 3.4)

• A lawyer shall not:
  • 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;
  • falsify evidence, counsel or assist a witness to testify falsely, or offer an inducement to a witness that is prohibited by law;
  • knowingly disobey an obligation under the rules of a tribunal, except for an open refusal based on an assertion that no valid obligation exists;
  • in pretrial procedure, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request;
  • 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
  • request a person other than a client to refrain from voluntarily giving relevant information to another party unless:
    • the person is a relative, an employee or other agent of a client; and
    • the lawyer reasonably believes that the person’s interests will not be adversely affected by refraining from giving such information.
• These rules promote fair play and prevent lawyers from taking unfair advantage of their opponents.

Truthfulness in Statements to Others (Rule 4.1)

• 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; or
  • 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.
• This rule applies primarily in negotiations with opposing parties or their counsel.
• Lawyers must be honest and forthcoming, but have no affirmative duty to inform an opposing party of relevant facts.

Dealing with Unrepresented Person (Rule 4.3)

• 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.
• This rule is especially important in limited jurisdiction courts, where many litigants are not represented.
• Lawyers must be careful not to take advantage of unrepresented parties or mislead them about their rights.