- (a) Except when permitted under paragraph (c), (d), or (e), a lawyer shall not knowingly:
- (1) reveal a confidence or secret of the lawyer’s client;
(2) use a confidence or secret of the lawyer’s client to the disadvantage of the client;
(3) use a confidence or secret of the lawyer’s client for the advantage of the lawyer or of a third person. - (b) “Confidence” refers to information protected by the attorney-client privilege under applicable law, and “secret” refers to other information gained in the professional relationship that the client has requested be held inviolate, or the disclosure of which would be embarrassing, or would be likely to be detrimental, to the client.
- (c) A lawyer may reveal client confidences and secrets, to the extent reasonably necessary:
- (1) to prevent a criminal act that the lawyer reasonably believes
is likely to result in death or substantial bodily harm absent disclosure
of the client’s secrets or confidences by the lawyer; or
(2) to prevent the bribery or intimidation of witnesses, jurors, court officials, or other persons who are involved in proceedings before a tribunal if the lawyer reasonably believes that such acts are likely to result absent disclosure of the client’s confidences or secrets by the lawyer. - (d) When a client has used or is using a lawyer’s services to further a crime or fraud, the lawyer may reveal client confidences and secrets, to the extent reasonably necessary:
- (1) to prevent the client from committing the crime or fraud if
it is reasonably certain to result in substantial injury to the financial
interests or property of another; or
(2) to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client’s commission of the crime or fraud. - (e) A lawyer may use or reveal client confidences or secrets:
- (1) with the informed consent of the client;
(2) (A) when permitted by these Rules or required by law or court order; and
(B) if a government lawyer, when permitted or authorized by law;
(3) to the extent reasonably necessary to establish a defense to a criminal charge, disciplinary charge, or civil claim, formally instituted against the lawyer, based upon conduct in which the client was involved, or to the extent reasonably necessary to respond to specific allegations by the client concerning the lawyer’s representation of the client;
(4) when the lawyer has reasonable grounds for believing that a client has impliedly authorized disclosure of a confidence or secret in order to carry out the representation;
(5) to the minimum extent necessary in an action instituted by the lawyer to establish or collect the lawyer’s fee; or
(6) to the extent reasonably necessary to secure legal advice about the lawyer’s compliance with law, including these Rules. - (f) A lawyer shall exercise reasonable care to
prevent the lawyer’s employees, associates, and others whose
services are utilized by the lawyer from disclosing or using confidences
or secrets of a client, except that such persons may reveal information
permitted to be disclosed by paragraphs (c), (d), or (e).
(g) The lawyer’s obligation to preserve the client’s confidences and secrets continues after termination of the lawyer’s employment.
(h) The obligation of a lawyer under paragraph (a) also applies to confidences and secrets learned prior to becoming a lawyer in the course of providing assistance to another lawyer.
(i) For purposes of this rule, a lawyer who serves as a member of the D.C. Bar Lawyer Counseling Committee, or as a trained intervenor for that committee, shall be deemed to have a lawyer-client relationship with respect to any lawyer-counselee being counseled under programs conducted by or on behalf of the committee. Information obtained from another lawyer being counseled under the auspices of the committee, or in the course of and associated with such counseling, shall be treated as a confidence or secret within the terms of paragraph (b). Such information may be disclosed only to the extent permitted by this rule.
(j) For purposes of this rule, a lawyer who serves as a member of the D.C. Bar Practice Management Service Committee, formerly known as the Lawyer Practice Assistance Committee[1], or a staff assistant, mentor, monitor or other consultant for that committee, shall be deemed to have a lawyer-client relationship with respect to any lawyer-counselee being counseled under programs conducted by or on behalf of the committee. Communications between the counselor and the lawyer being counseled under the auspices of the committee, or made in the course of and associated with such counseling, shall be treated as a confidence or secret within the terms of paragraph (b). Such information may be disclosed only to the extent permitted by this rule. However, during the period in which the lawyer-counselee is subject to a probationary or monitoring order of the Court of Appeals or the Board on Professional Responsibility in a disciplinary case instituted pursuant to Rule XI of the Rules of the Court of Appeals Governing the Bar, such information shall be subject to disclosure in accordance with the order. (k) The client of the government lawyer is the agency that employs the lawyer unless expressly provided to the contrary by appropriate law, regulation, or order.
Comment
[1] The lawyer is part of a judicial system charged with
upholding the law. One of the lawyer’s functions is to advise
clients so that they avoid any violation of the law in the proper exercise
of their rights.
[2] The observance of the ethical obligation of a
lawyer to hold inviolate confidential information of the client not
only facilitates the full development of facts essential to proper representation
of the client but also encourages people to seek early legal assistance.
[3] Almost without exception, clients come to lawyers
in order to determine what their rights are and what is, in the maze
of laws and regulations, deemed to be legal and correct. The common
law recognizes that the client’s confidences must be protected
from disclosure. Based upon experience, lawyers know that almost all
clients follow the advice given, and the law is upheld.
[4] A fundamental principle in the client-lawyer relationship
is that the lawyer holds inviolate the client’s secrets and confidences.
The client is thereby encouraged to communicate fully and frankly with
the lawyer even as to embarrassing or legally damaging subject matter.
[5] This rule prohibits a lawyer from revealing the
confidences and secrets of a client except as provided in this rule
or elsewhere in the Rules. Proper concern for professional duty should
cause a lawyer to shun indiscreet conversations concerning clients.
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.
Relationship Between Rule 1.6 and Attorney-Client Evidentiary Privilege
and Work Product Doctrine
[6] The principle of confidentiality is given effect
in two related bodies of law: the attorney-client privilege and the
work product doctrine in the law of evidence and the rule of confidentiality
established in professional ethics. The attorney-client privilege and
the 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. This rule is not intended to govern or
affect judicial application of the attorney-client privilege or work
product doctrine. The privilege and doctrine were developed to promote
compliance with law and fairness in litigation. In reliance on the attorney-client
privilege, clients are entitled to expect that communications within
the scope of the privilege will be protected against compelled disclosure.
[7] The attorney-client privilege is that of the client
and not of the lawyer. As a general matter, the client has a reasonable
expectation that information relating to the client will not be voluntarily
disclosed and that disclosure of such information may be judicially
compelled only in accordance with recognized exceptions to the attorney-client
privilege and work product doctrine.
[8] The rule of client-lawyer confidentiality applies
in situations other than those where evidence is sought from the lawyer
through compulsion of law; furthermore, it applies not merely to matters
communicated in confidence by the client (i.e., confidences) but also
to all information gained in the course of the professional relationship
that the client has requested be held inviolate, or the disclosure of
which would be embarrassing or would be likely to be detrimental to
the client (i.e., secrets). This ethical precept, unlike the
evidentiary privilege, exists without regard to the nature or source
of the information or the fact that others share the knowledge. It reflects
not only the principles underlying the attorney-client privilege, but
the lawyer’s duty of loyalty to the client.
The Commencement of the Client-Lawyer Relationship
[9] Principles of substantive law external to these
Rules determine whether a client-lawyer relationship exists. Although
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, the duty of confidentiality imposed
by this rule attaches when the lawyer agrees to consider whether a client-lawyer
relationship shall be established. Other duties of a lawyer to a prospective
client are set forth in Rule 1.18.
Exploitation of Confidences and Secrets
[10] In addition to prohibiting the disclosure of
a client’s confidences and secrets, subparagraph (a)(2) provides
that a lawyer may not use the client’s confidences and secrets
to the disadvantage of the client. For example, a lawyer who has learned
that the client is investing in specific real estate may not seek to
acquire nearby property where doing so would adversely affect the client’s
plan for investment. Similarly, information acquired by the lawyer in
the course of representing a client may not be used to the disadvantage
of that client even after the termination of the lawyer’s representation
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 the former client when later representing another client. Under
subparagraphs (a)(3) and (e)(1), a lawyer may use a client’s confidences
and secrets for the lawyer’s own benefit or that of a third party
only after the lawyer has obtained the client’s informed consent
to the use in question.
Authorized Disclosure
[11] A lawyer is impliedly authorized to make disclosures
about a client when appropriate in carrying out the representation,
except to the extent that the client’s instructions or special
circumstances limit that authority. In litigation, for example, a lawyer
may disclose information by admitting a fact that cannot properly be
disputed, or in negotiation by making a disclosure that facilitates
a satisfactory conclusion.
[12] The obligation to protect confidences and secrets
obviously does not preclude a lawyer from revealing information when
the client gives informed consent, when necessary to perform the professional
employment, when permitted by these Rules, or when required by law.
For the definition of “informed consent,” see Rule
1.0(e). Unless the client otherwise directs, a lawyer may disclose the
affairs of the client to partners or associates of the lawyer’s
firm. It is a matter of common knowledge that the normal operation of
a law office exposes confidential professional information to nonlawyer
employees of the office, particularly secretaries and those having access
to the files; and this obligates a lawyer to exercise care in selecting
and training employees so that the sanctity of all confidences and secrets
of clients may be preserved. If the obligation extends to two or more
clients as to the same information, a lawyer should obtain the permission
of all before revealing the information. A lawyer must always be sensitive
to the rights and wishes of the client and act scrupulously in the making
of decisions that may involve the disclosure of information obtained
in the course of the professional relationship.
[13] A lawyer’s confidentiality obligations
do not preclude a lawyer from securing confidential legal advice about
the lawyer’s personal responsibilities 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 disclosure is not impliedly authorized, paragraph (e)(6) permits
such disclosure because of the importance of a lawyer’s compliance
with the Rules of Professional Conduct and other law.
[14] Unless the client otherwise directs, it is not
improper for a lawyer to give limited information from client files
to an outside agency necessary for statistical, bookkeeping, accounting,
data processing, banking, printing, or other legitimate purposes, provided
the lawyer exercises due care in the selection of the agency and warns
the agency that the information must be kept confidential.
[15] 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.
[16] Rule 1.6(c) describes situations presenting a
sufficiently serious threat such that a client’s confidences and
secrets may be revealed to the extent reasonably necessary to prevent
the harm described. Thus, a lawyer may reveal confidences and secrets
to the extent necessary to prevent a criminal act that the lawyer reasonably
believes is likely to result in death or substantial bodily harm absent
disclosure and to prevent bribery or intimidation of witnesses, jurors,
court officials, or other persons involved in proceedings before a tribunal.
[17] Rule 1.6(d) describes situations in which the
client’s usual expectation of confidentiality is not warranted
because the client has abused the lawyer-client relationship by using
the lawyer’s services to further a crime or fraud. In these circumstances,
Rule 1.6(d)(1) provides a limited exception to the rule of confidentiality,
which permits the lawyer to reveal information to the extent reasonably
necessary to enable affected persons or appropriate authorities to prevent
the client from committing a crime or fraud, as defined in Rule 1.0(d),
if such crime or fraud is reasonably certain to result in substantial
injury to the financial or property interests of another. The D.C. Court
of Appeals has held that the crime-fraud exception to the attorney-client
privilege requires that a lawyer’s services were actually used
to further a crime or fraud that occurred, not merely that the client
sought to do so. See In re Public Defender Service, 831 A.2d
890 (D.C. 2003). The Rule 1.6(d) exception to the ethical duty of confidentiality
also requires that the lawyer’s services actually were used to
further a crime or fraud. A client can prevent disclosure by refraining
from the wrongful conduct or by not using the lawyer’s services
to further a crime or fraud. Although Rule 1.6(d)(1) does not require
the lawyer to reveal the client’s misconduct, the lawyer may not
counsel or assist the client in conduct the lawyer knows is criminal
or fraudulent. See Rule 1.2(e). Rule 1.16 addresses the lawyer’s
obligation or right to withdraw from the representation of the client
in such circumstances if withdrawal is necessary to prevent the client
from misusing the lawyer’s services or if withdrawal would otherwise
prevent, mitigate, or rectify substantial injury caused by the client
who misused the lawyer’s services. Rules 3.3(a)(1), 3.3(d) and
4.1(b) address circumstances in which disclosure may be mandatory. Rules
3.4(a), 8.1, and 8.3 do not require disclosure of information otherwise
protected by Rule 1.6; disclosure that is permissive in the limited
situations specified in Rule 1.6 is not mandatory under Rules 3.4(a),
8.1 or 8.3. Rule 1.6(d) applies to organizations as well as to individuals.
[18] Paragraph (d)(2) refers to situations in which
the crime or fraud has already commenced and is on-going or completed
such that complete prevention is not an option. Thus, the client no
longer has the option of preventing disclosure by refraining from the
wrongful conduct. In these circumstances, there may be situations in
which the loss suffered by an affected person can be prevented, rectified,
or mitigated. In such situations, the lawyer may disclose information
relating to the representation to the extent necessary to enable the
affected persons to prevent or mitigate reasonably certain losses or
to attempt to recoup their losses. Paragraph (d)(2) does not apply to
disclosure with regard to a crime or fraud committed prior to retaining
the lawyer for representation concerning that offense.
[19] Rule 1.2, Comment [7] and Rule 4.1, Comment [3]
acknowledge that, to avoid assisting in a client crime or fraud, a lawyer
in some instances may be required to withdraw from representation, give
notice of the fact of withdrawal, or disaffirm an opinion, document,
affirmation or the like. In some instances when a lawyer’s services
have been or are being used to further a client’s crime or fraud,
a lawyer may conclude that more than withdrawal and disaffirmance is
required to avoid assisting in the client’s crime or fraud and
that disclosure of client information protected by this rule is warranted.
If the lawyer has such a reasonable belief, the lawyer may make such
disclosures to the extent reasonably necessary to permit corrective
action, for example, prompt initiation of proceedings in order to seize
or recover assets fraudulently obtained by the client. Once the lawyer
has disclosed information reasonably necessary to prevent, rectify,
or mitigate loss, the lawyer may not take additional actions that would
harm the client. Thus, a lawyer is not warranted under Rule 1.6(d) in
providing legal advice or assistance to a victim as the victim’s
lawyer or voluntarily serving as a witness or otherwise cooperating
in a proceeding brought by the victim or anyone else seeking compensation
for the victim. The lawyer also may not use or disclose information
for the purpose of voluntarily assisting a law-enforcement agency to
apprehend and prosecute the client, unless the lawyer reasonably believes
that such disclosure would be reasonably necessary to prevent, rectify,
or mitigate the victim’s loss.
[20] This rule permits but does not require the disclosure
of information relating to a client’s representation to accomplish
the purposes specified. In exercising the discretion conferred by this
rule by paragraphs (c) and (d), 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 lawyer’s own
involvement in the transaction, and factors that may extenuate the conduct
in question. The lawyer’s exercise of discretion in determining
whether to make disclosures that are reasonably likely to prevent the
death or substantial bodily injury of another requires consideration
of such factors as the client’s tendency to commit violent acts
or, conversely, to make idle threats. When a lawyer is given discretion
to disclose under this rule, the lawyer’s decision not to disclose
as permitted by the Rule does not violate Rule 1.6. Other Rules may
impose disclosure obligations. See Rules 1.2(e), 2.3, 3.3, 3.4(a),
4.1(b), 8.1, and 8.3 regarding the reconciliation of the confidentiality
protections of this rule with disclosure provisions of those Rules.
[21] Paragraphs (c) and (d) permit disclosure only
to the extent the lawyer reasonably believes the disclosure is necessary
to accomplish one of the purposes specified. The “reasonably believes”
standard is applied because it is difficult for a lawyer to “know”
when acts with such potentially serious consequences will actually be
carried out, for the client may have a change of mind. 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.
[22] Other law may require that a lawyer disclose
information otherwise protected by Rule 1.6. Whether a law requires
such disclosure is a question of law beyond the scope of these Rules.
When such disclosure 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 requires disclosure, paragraph (e)(2)(A)
permits the lawyer to make such disclosure as is necessary to comply
with the law.
Dispute Concerning Lawyer’s Conduct
[23] 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. Charges, in defense of which a
lawyer may disclose client confidences and secrets, can arise in a civil,
criminal, or professional disciplinary 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.
[24] The lawyer may not disclose a client’s
confidences or secrets to defend against informal allegations made by
third parties; the Rule allows disclosure only if a third party has
formally instituted a civil, criminal, or disciplinary action against
the lawyer. Even if the third party has formally instituted such a proceeding,
the lawyer should advise the client of the third party’s action
and request that the client respond appropriately, if this is practicable
and would not be prejudicial to the lawyer’s ability to establish
a defense.
[25] If a lawyer’s client, or former client,
has made specific allegations against the lawyer, the lawyer may disclose
that client’s confidences and secrets in establishing a defense,
without waiting for formal proceedings to be commenced. The requirement
of subparagraph (e)(3) that there be “specific” charges
of misconduct by the client precludes the lawyer from disclosing confidences
or secrets in response to general criticism by a client; an example
of such a general criticism would be an assertion by the client that
the lawyer “did a poor job” of representing the client.
But in this situation, as well as in the defense of formally instituted
third-party proceedings, disclosure should be no greater than the lawyer
reasonably believes is necessary to vindicate innocence, 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.
Fee Collection Actions
[26] Subparagraph (e)(5) permits a lawyer to reveal
a client’s confidences or secrets if this is necessary in an action
to collect fees from the client. 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. Subparagraph (e)(5) should be
construed narrowly; it does not authorize broad, indiscriminate disclosure
of secrets or confidences. The lawyer should evaluate the necessity
for disclosure of information at each stage of the action. For example,
in drafting the complaint in a fee collection suit, it would be necessary
to reveal the “secrets” that the lawyer was retained by
the client, that fees are due, and that the client has failed to pay
those fees. Further disclosure of the client’s secrets and confidences
would be impermissible at the complaint stage. If possible, the lawyer
should prevent even the disclosure of the client’s identity through
the use of John Doe pleadings.
[27] If the client’s response to the lawyer’s
complaint raised issues implicating confidences or secrets, the lawyer
would be permitted to disclose confidential or secret information pertinent
to the client’s claims or defenses. Even then, the rule would
require that the lawyer’s response be narrowly tailored to meet
the client’s specific allegations, with the minimum degree of
disclosure sufficient to respond effectively. In addition, the lawyer
should continue, throughout the action, to make every effort to avoid
unnecessary disclosure of the client’s confidences and secrets
and to limit the disclosure to those having the need to know it. To
this end the lawyer should seek appropriate protective orders and make
any other arrangements that would minimize the risk of disclosure of
the confidential information in question, including the utilization
of in camera proceedings.
Disclosures Otherwise Required or Authorized
[28] The attorney-client privilege is differently
defined in various jurisdictions. If a lawyer is called as a witness
to give testimony concerning a client, absent waiver by the client,
subparagraph (e)(2) requires the lawyer to invoke the privilege when
it is applicable. The lawyer may comply with the final orders of a court
or other tribunal of competent jurisdiction requiring the lawyer to
give information about the client. But a lawyer ordered by a court to
disclose client confidences or secrets should not comply with the order
until the lawyer has personally made every reasonable effort to appeal
the order or has notified the client of the order and given the client
the opportunity to challenge it.
Former Client
[29] The duty of confidentiality continues after the
client-lawyer relationship has terminated.
Services Rendered in Assisting Another Lawyer Before Becoming a Member
of the Bar
[30] There are circumstances in which a person who
ultimately becomes a lawyer provides assistance to a lawyer while serving
in a nonlawyer capacity. The typical situation is that of the law clerk
or summer associate in a law firm or government agency. Paragraph (h)
addresses the confidentiality obligations of such a person after becoming
a member of the Bar; the same confidentiality obligations are imposed
as would apply if the person had been a member of the Bar at the time
confidences or secrets were received. This resolution of the confidentiality
obligation is consistent with the reasoning employed in D.C. Bar Legal
Ethics Committee Opinion 84. For a related provision dealing with the
imputation of disqualifications arising from prior participation as
a summer associate or in a similar position, see Rule 1.10(b). For a
provision addressing the imputation of disqualifications arising from
prior participation as a law clerk, see Rule 1.11.
Bar Sponsored Counseling Programs
[31] Paragraph (i) adds a provision dealing specifically
with the disclosure obligations of lawyers who are assisting in the
counseling programs of the D.C. Bar’s Lawyer Counseling Committee.
Members of that committee, and lawyer-intervenors who assist the committee
in counseling, may obtain information from lawyer-counselees who have
sought assistance from the counseling programs offered by the committee.
It is in the interest of the public to encourage lawyers who have alcohol
or other substance abuse problems to seek counseling as a first step
toward rehabilitation. Some lawyers who seek such assistance may have
violated provisions of the Rules of Professional Conduct, or other provisions
of law, including criminal statutes such as those dealing with embezzlement.
In order for those who are providing counseling services to evaluate
properly the lawyer-counselee’s problems and enhance the prospects
for rehabilitation, it is necessary for the counselors to receive completely
candid information from the lawyer-counselee. Such candor is not likely
if the counselor, for example, would be compelled by Rule 8.3 to report
the lawyer-counselee’s conduct to Bar Counsel, or if the lawyer-counselee
feared that the counselor could be compelled by prosecutors or others
to disclose information.
[32] It is similarly in the interest of the public
to encourage lawyers to seek the assistance of the D.C. Bar’s
Practice Management Service Committee to address management problems
in their practices. In order for those who are providing counseling
services through the Practice Management Service Committee to evaluate
properly the lawyer-counselee’s problems and enhance the prospects
for self-improvement by the counselee, paragraph (j) adds a provision
addressing the confidentiality obligations of lawyers who are assisting
in the counseling programs of the Practice Management Service Committee.
[33] These considerations make it appropriate to treat
the lawyer-counselee relationship as a lawyer-client relationship, and
to create an additional limited class of information treated as secrets
or confidences subject to the protection of Rule 1.6. The scope of that
information is set forth in paragraph (i) and (j). The lawyer-client
relationship is deemed to exist only with respect to the obligation
of confidentiality created under Rule 1.6, and not to obligations created
elsewhere in these Rules, including the obligation of zealous representation
under Rule 1.3 and the obligation to avoid conflicts of interest set
forth in Rules 1.7 and 1.9. The obligation of confidentiality extends
to non-lawyer assistants of lawyers serving the committee. See Rule
5.1
[34] Notwithstanding the obligation of confidentiality
under paragraph (j), during the period in which a lawyer-counselee is
subject to a probationary or monitoring order of the Court of Appeals
or the Board on Professional Responsibility in a disciplinary case instituted
pursuant to Rule XI of the Rules of the Court of Appeals Governing the
Bar, communications between the counselor and the lawyer being counseled
under the auspices of the Practice Management Service Committee shall
be subject to disclosure in accordance with an Order of the Court or
the Board, since the participation of the lawyer-counselee in the programs
of the committee in such circumstances is not voluntary.
[35] Ethical rules established by the District of
Columbia Court of Appeals with respect to the kinds of information protected
from compelled disclosure may not be accepted by other forums or jurisdictions.
Therefore, the protections afforded to lawyer-counselees by paragraphs
(i) and (j) may not be available to preclude disclosure in all circumstances.
Furthermore, lawyers who are members of the bar of other jurisdictions
may not be entitled, under the ethics rules applicable to members of
the bar in such other jurisdictions, to forgo reporting violations to
disciplinary authorities pursuant to the other jurisdictions’
counterparts to Rule 8.3.
Government Lawyers
[36] Subparagraph (e)(2) was revised, and paragraph
(k) was added, to address the unique circumstances raised by attorney-client
relationships within the government.
[37] Subparagraph (e)(2)(A) applies to both private
and government attorney-client relationships. Subparagraph (e)(2)(B)
applies to government lawyers only. It is designed to permit disclosures
that are not required by law or court order under Rule 1.6(e)(2)(A),
but which the government authorizes its attorneys to make in connection
with their professional services to the government. Such disclosures
may be authorized or required by statute, executive order, or regulation,
depending on the constitutional or statutory powers of the authorizing
entity. If so authorized or required, subparagraph (e)(2)(B) governs.
[38] The term “agency” in paragraph (j)
includes, inter alia, executive and independent departments and
agencies, special commissions, committees of the legislature, agencies
of the legislative branch such as the Government Accountability Office,
and the courts to the extent that they employ lawyers (e.g.,
staff counsel) to counsel them. The employing agency has been designated
the client under this rule to provide a commonly understood and easily
determinable point for identifying the government client.
[39] Government lawyers may also be assigned to provide
an individual with counsel or representation in circumstances that make
clear that an obligation of confidentiality runs directly to that individual
and that subparagraph (e)(2)(A), not (e)(2)(B), applies. It is, of course,
acceptable in this circumstance for a government lawyer to make disclosures
about the individual representation to supervisors or others within
the employing governmental agency so long as such disclosures are made
in the context of, and consistent with, the agency’s representation
program. See, e.g., 28 C.F.R. § 50.15 and 50.16. The relevant
circumstances, including the agreement to represent the individual,
may also indicate whether the individual client to whom the government
lawyer is assigned will be deemed to have granted or denied informed
consent to disclosures to the lawyer’s employing agency. Examples
of such representation include representation by a public defender,
a government lawyer representing a defendant sued for damages arising
out of the performance of the defendant’s government employment,
and a military lawyer representing a court-martial defendant.
Acting Competently to Preserve Confidences
[40] 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 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.
[1] On May 10, 2005, the D.C. Bar Board of Governors approved a name change for the Lawyer Practice Assistance Committee. Effective July 1, 2005, the Committee will be known as the Practice Management Service Committee.




