Case Title: In Re: Amendments to Rules Regulating The Florida Bar (Biennial Petition Housekeeping)

Citation: 

Docket Number: 

State: florida

Court: Florida Supreme Court

Date: 2015-05-21T00:00:00Z

Document:
Supreme Court of Florida 
 
 
____________ 
 
No. SC14-2107 
____________ 
 
 
IN RE:  AMENDMENTS TO RULES REGULATING THE FLORIDA BAR 
(BIENNIAL PETITION HOUSEKEEPING). 
 
[May 21, 2015] 
 
PER CURIAM. 
 
This matter is before the Court on the petition of The Florida Bar proposing 
amendments to the Rules Regulating the Florida Bar (Bar Rules).  See R. 
Regulating Fla. Bar 1-12.1.  We have jurisdiction.  See art. V, § 15, Fla. Const. 
 
The Bar’s petition in this case proposes both new Bar Rules and 
amendments to existing rules.  According to the petition, the proposals included 
here address “housekeeping” matters, in that the petition primarily recommends 
editorial changes, updates to the Bar Rules based on prior amendments, and other 
changes to codify long-standing practice.  The proposals were approved by the 
Board of Governors, and formal notice of the proposed amendments was published 
in The Florida Bar News.  The notice directed interested persons to file their 
comments directly with the Court.  The Court did not receive any comments. 
 
 
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The Bar proposes amendments to the following Bar Rules: 1-4.3 
(Committees); 1-13.1 (Time); 2-7.3 (Creation of Sections and Divisions); 3-7.1 
(Confidentiality); 3-7.11 (General Rule of Procedure); 4-1.4 (Communication); 4-
1.18 (Duties to Prospective Client); 4-4.4 (Respect for Rights of Third Persons); 4-
5.5 (Unlicensed Practice of Law; Multijurisdictional Practice of Law); 4-6.5 
(Voluntary Pro Bono Plan); 6-3.11 (Fees); 10-2.1 (Generally); 18-1.1 (Purpose); 
18-1.2 (Definitions); 18-1.3 (Activities); 18-1.4 (Supervision and Limitations); and 
18-1.5 (Certification).  It also proposes amendments to the “Preamble: A Lawyer’s 
Responsibilities” to the Rules of Professional Conduct.  Additionally, the Bar 
recommends the repeal of existing Bar Rule 6-3.7 (Emeritus Specialist Status).  
Finally, it proposes a new Subchapter 6-29 (Standards for Board Certification in 
Juvenile Law), which would include four new Bar Rules: 6-29.1 (Generally); 6-
29.2 (Definitions); 6-29.3 (Minimum Standards); and 6-29.4 (Recertification).  
After fully considering the petition, the Court adopts these “housekeeping” 
amendments as proposed by the Bar.1 
 
Accordingly, the Court adopts the amendments to the Rules Regulating the 
Florida Bar as set forth in the appendix to this opinion.  New language is indicated 
                                          
 
 
1.  The Court did make a non-substantive revision to Bar Rule 3-
7.11(f)(1)(C)(ii)(a), to delete the phrase “to withhold entry of an order of 
suspension” at the end of that subdivision, in order to correct what appears to be a 
scrivener’s error in the proposal. 
 
 
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by underscoring; deletions are indicated by struck-through type.  The comments 
are offered for explanation and guidance only and are not adopted as an official 
part of the rules.  The amendments shall become effective on October 1, 2015, at 
12:01 a.m. 
It is so ordered. 
LABARGA, C.J., and PARIENTE, LEWIS, QUINCE, CANADY, POLSTON, 
and PERRY, JJ., concur. 
 
THE FILING OF A MOTION FOR REHEARING SHALL NOT ALTER THE 
EFFECTIVE DATE OF THESE AMENDMENTS. 
 
Original Proceeding – Rules Regulating The Florida Bar 
 
John F. Harkness, Jr., Executive Director, Mary Ellen Bateman, DEUP Division 
Director, and Elizabeth Clark Tarbert, Ethics Counsel, The Florida Bar, 
Tallahassee, Florida,  
 
 
for Petitioner 
 
 
 
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APPENDIX 
 
 
RULE 1-4.3 
 
COMMITTEES 
 
The board of governors shallwill create an executive committee composed of 
the president, president-elect, chairs of the budget, communications, disciplinary 
review, program evaluation and legislation committees, president of the young 
lawyers division, 2 members of the board appointed by the president, and 3 
members of the board elected by the board to act upon such matters asthat arise 
and require disposition between meetings of the board; a budget committee 
composed of 9 members with 3-year staggered terms; grievance committees as 
provided for in chapter 3; unlicensed practice of law committees as provided for in 
chapter 10; and a professional ethics committee. 
 
 
RULE 1-13.1  
TIME 
 
(a) Computation.  In computing any period of time prescribed or allowed 
by the Rules Regulating The Florida Bar, the day of the act, event, or default from 
which the designated period of time begins to run shallwill not be included.  The 
last day of the period so computed shallwill be included unless it is a Saturday, 
Sunday, or legal holiday, in which event the period shallwill run until the end of 
the next day that is not a Saturday, Sunday, or legal holiday. 
 
(b) Additional Time after Service by Mail or E-mail.  When a person 
has the right or is required to do some act or take some proceeding within a 
prescribed period after service of a notice or other paper and the notice or paper is 
served by mail or e-mail, 5 days shallwill be added to the prescribed period.  
 
 
BYLAW 2-7.3 
 
CREATION OF SECTIONS AND DIVISIONS 
 
Sections and divisions may be created or abolished by the board of 
governors as deemed necessary or desirable.  The Florida Bar will maintain current 
lists of its standing committees and divisions and will post the lists on its website. 
 
(a) 
Sections.  The following sections of The Florida Bar have been 
created by the board of governors: 
 
 
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(1) 
Administrative Law Section; 
 
(2) 
Alternative Dispute Resolution Section; 
 
(3) 
Appellate Practice Section; 
 
(4) 
Business Law Section; 
 
(5) 
City, County and Local Government Law Section; 
 
(6) 
Criminal Law Section; 
 
(7) 
Elder Law Section; 
 
(8) 
Entertainment, Arts, and Sports Law Section; 
 
(9) 
Environmental and Land Use Law Section; 
 
(10) Equal Opportunities Law Section; 
 
(11) Family Law Section; 
 
(12) General Practice, Solo and Small Firm Section; 
 
(13) Government Lawyer Section; 
 
(14) Health Law Section; 
 
(15) International Law Section; 
 
(16) Labor and Employment Law Section; 
 
(17) Public Interest Law Section; 
 
(18) Real Property, Probate, and Trust Law Section; 
 
(19) Tax Section; 
 
(20) Trial Lawyers Section; and 
 
 
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(21) Workers’ Compensation Section. 
 
(b) Divisions.  The following divisions of The Florida Bar have been 
created by the board of governors: 
 
(1) 
Out-of-State Division; and 
 
(2) 
Young Lawyers Division. 
 
 
RULE 3-7.1 
 
CONFIDENTIALITY 
 
(a) Scope of Confidentiality.  All mattersrecords including files, 
preliminary investigation reports, interoffice memoranda, records of investigations, 
and the records in trials and other proceedings under these rules, except those 
disciplinary matters conducted in circuit courts, are property of The Florida Bar.  
All of those matters are confidential and will not be disclosed except as provided in 
these rules.  When disclosure is permitted under these rules, it will be limited to 
information concerning the status of the proceedings and any information that is 
part of the public record as defined in these rules. 
 
Unless otherwise ordered by this court or the referee in proceedings under 
these rules, nothing in these rules will prohibits the complainant, respondent, or 
any witness from disclosing the existence of proceedings under these rules, or from 
disclosing any documents or correspondence served on or provided to those 
persons except where disclosure is prohibited in Chapter 4 of these rules or by 
statutes and caselaw regarding attorney-client privilege. 
 
(1) – (2) 
[No Change] 
 
(3) 
Probable Cause Cases.  Any disciplinary case in which a 
finding of probable cause for further disciplinary proceedings has been entered is 
public information.  For purposes of this subdivision a finding of probable cause is 
deemed in those cases authorized by rule 3-3.2(a), for the filing of a formal 
complaint without the prior necessityrequirement of a finding of probable cause. 
 
(4) 
[No Change] 
 
(5) 
Diversion or Referral to Grievance Mediation Program.  Any 
disciplinary case that has been concluded by diversion to a practice and 
 
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professionalism enhancement program or by referral to the grievance mediation 
program is public information upon the entry of such a recommendation. 
 
(6) 
Contempt Cases.  Contempt proceedings authorized elsewhere 
in these rules are public information even thoughif the underlying disciplinary 
matter is confidential as defined in these rules. 
 
(7) 
Incapacity Not Involving Misconduct.  Proceedings for 
placement on the inactive list for incapacity not involving misconduct are public 
information upon the filing of the petition with the Supreme Court of Florida. 
 
(8) – (11) 
[No Change] 
 
(12) Disciplinary Resignations and Disciplinary Revocations.  
Proceedings involving petitions for disciplinary resignation or for disciplinary 
revocation as provided elsewhere in these rules, are public information. 
 
(b) – (m) 
[No Change] 
 
 
RULE 3-7.11  
GENERAL RULES OF PROCEDURE 
 
(a) [No Change] 
 
(b) Process.  Every member of The Florida Bar is charged with notifying 
The Florida Bar of aany change of mailing address, e-mail address (unless the 
lawyer has been excused by The Florida Bar or court from e-filing and e-service) 
orand military status.  Mailing of registered or certified papers or notices 
prescribed in these rules to the last mailing address of an attorney as shown by the 
official records in the office of the executive director of The Florida Bar shall be 
sufficient notice and service unless this court shall direct otherwise.  The Florida 
Bar may serve notice of formal complaints in bar proceedings by U.S. Postal 
Service certified mail return receipt requested to the bar member’s record bar 
address unless the Supreme Court of Florida directs other service.  Every 
attorneylawyer of another state who is admitted pro hac vicepermitted to practice 
for the purpose ofin a specific case before a court of record of this statein Florida 
may be served by registered orU.S. Postal Service certified mail return receipt 
requested addressed to saidthe attorneylawyer in care of the Florida attorneylawyer 
who was associated or appeared with the attorneylawyer admitted pro hac vice in 
the specific case for which the out-of-state attorney was permitted to practice or 
 
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addressed to saidthe attorneyFlorida lawyer at any address listed by the 
attorneylawyer in the pleadings in suchthe case. 
 
Provided, however, when a person is represented by counsel, service of 
process and notices shallmust be directed to counsel. 
 
(c) Notice in Lieu of Process.  Every member of The Florida Bar is within 
the jurisdiction of the Supreme Court of Florida and its agencies under these rules, 
and service of process is not required to obtain jurisdiction over respondents in 
disciplinary proceedings; but due process requires the giving of reasonable notice 
and suchthis notice shallwill be effectiveed by the service of the complaint upon 
the respondent by mailing a copy of The Florida Bar’s formal complaintthereof by 
registered or certified U.S. Postal Service mail return receipt requested to the last-
known address of the respondent’s record bar address according to the records of 
The Florida Bar or sucha latermore current address asthat may be known to the 
person effecting the serviceserving the complaint or other process. 
 
When the respondent is represented by counsel in thea referee 
proceedingmatter, due process is satisfied by the service of the formal complaint 
upon the respondent’s counsel by mailing a copy thereof by registered or certified 
mail return receipt requested to the last knownrecord bar address of the 
respondent’s counsel according to the records of The Florida Bar or sucha 
latermore current address asthat may be known to the person effecting the 
serviceserving the complaint. 
 
All other correspondence between The Florida Bar and respondents or their 
counsel, including bar inquiries that require responses during the investigative 
stage of a disciplinary proceeding, may be made by e-mail to the respondent’s 
record bar e-mail address or the record bar e-mail address of respondent’s counsel.  
E-mail correspondence is encouraged in all instances except in service of a formal 
complaint or subpoena, or where a court directs otherwise.  If a lawyer has been 
excused by The Florida Bar or court from e-filing and e-service, or service cannot 
be made by e-mail, service by first class postal mail is sufficient except where 
these rules or a court direct otherwise. 
 
(d) Issuance of Subpoenas.  Subpoenas for the attendance of witnesses’ 
attendance and the production of documentary evidence other thanexcept before a 
circuit court shallmust be issued as follows: 
 
 
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(1) 
Referees.  Subpoenas for the attendance of witnesses’ 
attendance and production of documentary evidence before a referee shallmust be 
issued by the referee and shallmust be served either in the manner provided by law 
for the service of process or by an investigator employed by The Florida Bar. 
 
(2) 
Grievance Committees.  Subpoenas for the attendance of 
witnesses’ attendance and the production of documentary evidence shallmust be 
issued by the chair or vice-chair of a grievance committee in pursuance ofas part of 
an investigation authorized by the committee.  SuchThese subpoenas may be 
served by any member of suchthe grievance committee, by an investigator 
employed by The Florida Bar, or in the manner provided by law for the service of 
process. 
 
(3) 
Bar Counsel Investigations.  Subpoenas for the attendance of 
witnesses’ attendance and the production of documentary evidence before bar 
counsel when same is conductingin an initial investigation shallmust be issued by 
the chair or vice-chair of a grievance committee to which the matter will be 
assigned, if appropriate.  SuchThese subpoenas may be served by an investigator 
employed by The Florida Bar or in the manner provided by law for the service of 
process. 
 
(4) 
After Grievance Committee Action, But Before Appointment of 
Referee.  Subpoenas for the attendance of witnesses’ attendance and the production 
of documentary evidence before bar counsel when same is conducting further 
investigation after action by a grievance committee, but before appointment of a 
referee, shallmust be issued by the chair or vice-chair of the grievance committee 
to which the matter was assigned.  SuchThese subpoenas may be served by an 
investigator employed by The Florida Bar or in the manner provided by law for the 
service of process. 
 
(5) 
Board of Governors.  Subpoenas for the attendance of 
witnesses’ attendance and the production of documentary evidence before the 
board of governors shallmust be issued by the executive director and shallmust be 
served by an investigator employed by The Florida Bar or in the manner provided 
by law for the service of process. 
 
(6) 
Confidential Proceedings.  If the proceeding is confidential, a 
subpoena shallmust not name the respondent but shallmust style the proceeding as 
“Confidential Proceeding by The Florida Bar under the Rules of Discipline.” 
 
 
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(7) 
Contempt. 
 
(A) 
Generally.  Any persons who, without adequate excuse, 
fail to obey such a subpoena served upon them under these rules, may be cited for 
contempt of this court in the manner provided by this rule. 
 
(B) 
Subpoenas for Trust Accounting Records.  Members of 
the bar are under an obligation to maintain trust accounting records as required by 
these rules and, as a condition of the privilege of practicing law in Florida, may not 
assert any privilege personal to the lawyer that may be applicable to production of 
suchthese records in any disciplinary proceedings under these rules. 
 
(i) 
 A respondent who has been found in willful 
noncompliance with a subpoena for trust accounting records may be cited for 
contempt under this rule only if the disciplinary agency that issued the subpoena 
shall have firsthas found that no good cause existed for the respondent’s failure to 
comply. 
 
(ii) 
The disciplinary agency that issued the subpoena 
shallmust hear the issue of noncompliance and issue findings thereonon the 
noncompliance within 30 days of a request for issuance of the notice of 
noncompliance. 
 
(8) 
Assistance to Other Lawyer Disciplinary Jurisdictions.  UpoOn 
receipt of a subpoena certified to be duly issued under the rules or laws of another 
lawyer disciplinary jurisdiction, the executive director may issue a subpoena 
directing a person domiciled or found within the state of Florida to give testimony 
and/or produce documents or other thingsevidence for use in the other 
jurisdiction’s lawyer disciplinary proceedings as directed in the subpoena of the 
other jurisdiction.  The practice and procedure applicable to subpoenas issued 
under this subdivision shallwill be that of the other jurisdiction, except that: 
 
(A) 
the testimony or production shallmust be only in the 
county whereinin which the person resides or is employed, or as otherwise fixed by 
the executive director for good cause shown; and 
 
(B) 
compliance with any subpoena issued pursuant to this 
subdivision and contempt for failure in this respect shallmust be sought as 
elsewhere provided inunder these rules. 
 
 
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(e) Oath of Witness.  Every witness in every proceeding under these rules 
shallmust be sworn to tell the truth.  Violation of this oath shall beis an act of 
contempt of this court. 
 
(f) 
Contempt.  When a disciplinary agency, as defined elsewhere in these 
rules, finds that a person is in contempt under these rules, suchthat person may be 
cited for contempt in the following manner: 
 
(1) 
Generally. 
 
(A) 
Petition for Contempt and Order to Show Cause.  When a 
person is found in contempt by a disciplinary agency, bar counsel shallmust file a 
petition for contempt and order to show cause with the Supreme Court of Florida. 
 
(B) 
Order to Show Cause; Suspension for Noncompliance 
with Subpoena for Trust Accounting Records.  On review of a petition for 
contempt and order to show cause, the supreme court may issue an order directing 
the person to show cause why suchthe person should not be held in contempt and 
appropriate sanctions imposed. 
 
On review of a petition for contempt and order to show cause 
for noncompliance with a trust accounting subpoena, the supreme court may also 
issue an order suspending the respondent from the practice of law in Florida until 
such time as the member fully complies with the subpoena and any further order of 
the court. 
 
The order of the supreme court shallmust fix a time for a 
response. 
 
(C) 
Response to Order to Show Cause. 
 
(i)  Generally.  Any member subject to an order to show 
cause shallmust file a response as directed by the court. 
 
(ii)  Noncompliance with a Subpoena for Trust Account 
Records. Any member subject to an order to show cause for noncompliance with a 
subpoena for trust accounting records may request the court: 
 
a. 
within 10 days of the filing of the petition 
for contempt and order to show causeto withhold entry of an order of suspension, if 
 
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filed within 10 days of the filing of the petition for contempt and order to show 
cause, or such another time as the court may direct in the order to show cause, to 
withhold entry of an order of suspension; or 
 
b. 
at any time after entry of an order of 
suspension, to terminate or modify the order of suspension at any time after the 
order of suspension is issued.  The court may terminate, modify, or withhold entry 
of an order of suspension if the member establishes good cause for failure to 
comply with the subpoena for trust account records. 
 
(D) 
Failure to Respond to Order to Show Cause.  UpoOn 
failure to timely respond to an order to show cause, the matters alleged in the 
petition shall beare deemed admitted and the supreme court may enter a judgment 
of contempt and impose appropriate sanctions.  Failure to respond may be an 
additional basis on which a judgment of contempt may be entered and sanctions 
imposed.for the supreme court to enter a judgment of contempt and to impose 
sanctions. 
 
(E) 
Reply of The Florida Bar.  When a timely response to an 
order to show cause is filed, The Florida Bar shallwill have 10 days, or such 
another time period as the supreme court may order, from the date of filing in 
which to file a reply. 
 
(F) 
Supreme Court Action.  After expiration of the time to 
respond to an order to show cause has expired and no response is timely filed, or 
after the reply of The Florida Bar has been filed, or the time therefore has expired 
without suchany filing, the supreme court shallwill review the matter and issue an 
appropriate judgment.  SuchThis judgment may include any sanction that a court 
may impose for contempt and, if the person found in contempt is a member of The 
Florida Bar, may include any disciplinary sanction authorized under these rules. 
 
If the supreme court requires factual findings, the supreme court 
may direct appointment of a referee as elsewhere provided in these rules.  
Proceedings for contempt referred to a referee shallmust be processed in the same 
manner as disciplinary proceedings under these rules, including but not limited to 
the procedures provided thereinin these rules for conditional guilty pleas for 
consent judgments.  If the court determines it necessary to refer a request to 
terminate, modify, or withhold entry of an order of suspension based on a petition 
for contempt and order to show cause for noncompliance with a subpoena for trust 
account records to a referee for receipt of evidence, the referee proceedings 
 
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shallmust be expedited and conducted in the same manner as proceedings before a 
referee on a petition to terminate, modify, or withhold an order of emergency 
suspension, as elsewhere provided in these rules. 
 
(G) 
Preparation and Filing of Report of Referee and Record.  
The referee shallmust prepare and file a report and the record in cases brought 
under this rule.  The procedures provided for in the rule on procedure before a 
referee elsewhere under these rules shall apply to the preparation, filing, and 
review of the record herein. 
 
(H) 
Appellate Review of Report of Referee.  Any party to the 
contempt proceedings may seek review of the report of referee in the manner 
provided in these rules onfor appellate review of disciplinary proceedings under 
these rules. 
 
(2) 
Failure to Respond to Official Bar Inquiries. 
 
(A) 
Petition for Contempt and Order to Show Cause.  When a 
respondent is found in contempt by a disciplinary agency for failure to respond to 
an official bar inquiry without good cause shown, bar counsel shallmust file a 
petition for contempt and order to show cause with the Supreme Court of Florida. 
 
(B) 
Response to Petition for Contempt and Order to Show 
Cause.  The respondent shallwill have 10 days from the date of filing of a petition 
authorized by this subdivision in which to file a response. 
 
(C) 
Supreme Court Action. 
 
(i) 
Entry of Suspension Order.  After a response has 
been filed, or the time for a response has expired, and unless otherwise ordered by 
the court, an order shall be entered suspending the respondent for failure to 
respond to an official bar inquiry until further order of the court.The court will 
enter an order suspending the respondent for failure to respond to an official bar 
inquiry after the respondent files a response to the order to show cause or the time 
for filing a response has expired, unless the court orders otherwise. 
 
(ii) 
Assignment to Referee.  If the supreme court 
requires factual findings, the supreme court may direct appointment of a referee as 
elsewhere provided in these rules.  Proceedings for contempt referred to a referee 
shallmust be processed in the same manner as disciplinary proceedings under these 
 
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rules, including but not limited to the provisions provided for conditional guilty 
pleas for consent judgments. 
 
(g) Court Reporters.  Court reporters who are employees of The Florida 
Bar may be appointed to report any disciplinary proceeding.  If the respondent 
objects at least 48 hours in advance of the matter to be recorded, an independent 
contract reporter may be retained.  Reasonable costs for independent court reporter 
service shallwill be taxed to athe respondent for payment to The Florida Bar. 
 
(h) 
Disqualification as Trier and AttorneyLawyer for Respondent 
Due to Conflict. 
 
(1) 
Grievance Committee Members, Members of the Board of 
Governors, and Employees of The Florida Bar.  No grievance committee member, 
member of the board of governors, or employee of The Florida Bar shallmay 
represent a party other than The Florida Bar in disciplinary proceedings authorized 
under these rules. 
 
(2) 
Former Grievance Committee Members, Former Board 
Members, and Former Employees.  No former member of a grievance committee, 
former member of the board of governors, or former employee of The Florida Bar 
shallmay represent any party other than The Florida Bar in disciplinary 
proceedings authorized under these rules if personally involved to any degree in 
the matter while a member of the grievance committee, the board of governors, or 
while an employee of The Florida Bar. 
 
A former member of the board of governors, former member of any 
grievance committee, or former employee of The Florida Bar who did not 
participate personally in any way in the investigation or prosecution of the matter 
or in any related matter in which the attorneylawyer seeks to be a representative, 
and who did not serve in a supervisory capacity over suchthe investigation or 
prosecution, shallmay not represent any party except The Florida Bar for 1 year 
after suchthis service without the express consent of the board. 
 
(3) 
Partners, Associates, Employers, or Employees of the Firms of 
Grievance Committee Members or Board of Governors Members Precluded From 
Representing Parties Other Than The Florida Bar.  Members of the firms of 
grievance committee members or board members shallmay not represent any party 
other than The Florida Bar in disciplinary proceedings authorized under these rules 
without the express consent of the board. 
 
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(4) 
Partners, Associates, Employers, or Employees of the Firms of 
Former Grievance Committee Members or Former Board of Governors Members 
Precluded From Representing Parties Other Than The Florida Bar.  
AttorneysLawyers in the firms of former board members or former grievance 
committee members shallmay not represent any party other than The Florida Bar in 
disciplinary proceedings authorized under these rules for 1 year after the former 
member’s service without the express consent of the board. 
 
(i) 
Proceedings after Disbarment.  The respondent may consent to or the 
court may order further proceedings after disbarment, which may include: an audit 
of trust, operating, or personal bank accounts, the cost of which may be assessed as 
provided elsewhere in these rules; a requirement forthat the respondent to provide 
a financial affidavit attesting to personal and business finances; and maintenance of 
a current mailing address for a stated period of time. 
 
 
CHAPTER 4  RULES OF PROFESSIONAL CONDUCT 
PREAMBLE:  A LAWYER’S RESPONSIBILITIES 
 
A lawyer, as a member of the legal profession, is a representative of clients, 
an officer of the legal system, and a public citizen having special responsibility for 
the quality of justice. 
 
As a representative of clients, a lawyer performs various functions.  As an 
adviser, a lawyer provides a client with an informed understanding of the client’s 
legal rights and obligations and explains their practical implications.  As an 
advocate, a lawyer zealously asserts the client’s position under the rules of the 
adversary system.  As a negotiator, a lawyer seeks a result advantageous to the 
client but consistent with requirements of honest dealing with others.  As an 
evaluator, a lawyer acts by examining a client’s legal affairs and reporting about 
them to the client or to others. 
 
In addition to these representational functions, a lawyer may serve as a third-
party neutral, a nonrepresentational role helping the parties to resolve a dispute or 
other matter.  Some of these rules apply directly to lawyers who are or have served 
as third-party neutrals.  See, e.g., rules 4-1.12 and 4-2.4.  In addition, there are 
rules that apply to lawyers who are not active in the practice of law or to practicing 
lawyers even when they are acting in a nonprofessional capacity.  For example, a 
lawyer who commits fraud in the conduct of a business is subject to discipline for 
 
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engaging in conduct involving dishonesty, fraud, deceit, or misrepresentation.  See 
rule 4-8.4. 
 
In all professional functions a lawyer should be competent, prompt, and 
diligent.  A lawyer should maintain communication with a client concerning the 
representation.  A lawyer should keep in confidence information relating to 
representation of a client except so far as disclosure is required or permitted by the 
Rules of Professional Conduct or by law. 
 
A lawyer’s conduct should conform to the requirements of the law, both in 
professional service to clients and in the lawyer’s business and personal affairs.  A 
lawyer should use the law’s procedures only for legitimate purposes and not to 
harass or intimidate others.  A lawyer should demonstrate respect for the legal 
system and for those who serve it, including judges, other lawyers, and public 
officials.  While it is a lawyer’s duty, when necessary, to challenge the rectitude of 
official action, it is also a lawyer’s duty to uphold legal process. 
 
As a public citizen, a lawyer should seek improvement of the law, access to 
the legal system, the administration of justice, and the quality of service rendered 
by the legal profession.  As a member of a learned profession, a lawyer should 
cultivate knowledge of the law beyond its use for clients, employ that knowledge 
in reform of the law, and work to strengthen legal education.  In addition, a lawyer 
should further the public’s understanding of and confidence in the rule of law and 
the justice system, because legal institutions in a constitutional democracy depend 
on popular participation and support to maintain their authority.  A lawyer should 
be mindful of deficiencies in the administration of justice and of the fact that the 
poor, and sometimes persons who are not poor, cannot afford adequate legal 
assistance.  Therefore, all lawyers should devote professional time and resources 
and use civic influence to ensure equal access to our system of justice for all those 
who because of economic or social barriers cannot afford or secure adequate legal 
counsel.  A lawyer should aid the legal profession in pursuing these objectives and 
should help the bar regulate itself in the public interest. 
 
Many of the lawyer’s professional responsibilities are prescribed in the 
Rules of Professional Conduct and in substantive and procedural law.  A lawyer is 
also guided by personal conscience and the approbation of professional peers.  A 
lawyer should strive to attain the highest level of skill, to improve the law and the 
legal profession, and to exemplify the legal profession’s ideals of public service. 
 
 
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A lawyer’s responsibilities as a representative of clients, an officer of the 
legal system, and a public citizen are usually harmonious.  Zealous advocacy is not 
inconsistent with justice.  Moreover, unless violations of law or injury to another or 
another’s property is involved, preserving client confidences ordinarily serves the 
public interest because people are more likely to seek legal advice, and thereby 
heed their legal obligations, when they know their communications will be private. 
 
In the practice of law, conflicting responsibilities are often encountered.  
Difficult ethical problems may arise from a conflict between a lawyer’s 
responsibility to a client and the lawyer’s own sense of personal honor, including 
obligations to society and the legal profession.  The Rules of Professional Conduct 
often prescribe terms for resolving suchthese conflicts.  Within the framework of 
these rules, however, many difficult issues of professional discretion can arise.  
SuchThese issues must be resolved through the exercise of sensitive professional 
and moral judgment guided by the basic principles underlying the rules.  These 
principles include the lawyer’s obligation to protect and pursue a client’s legitimate 
interests, within the bounds of the law, while maintaining a professional, 
courteous, and civil attitude toward all persons involved in the legal system. 
 
Lawyers are officers of the court and they are responsible to the judiciary for 
the propriety of their professional activities.  Within that context, the legal 
profession has been granted powers of self-government.  Self-regulation helps 
maintain the legal profession’s independence from undue government domination.  
An independent legal profession is an important force in preserving government 
under law, for abuse of legal authority is more readily challenged by a profession 
whose members are not dependent on the executive and legislative branches of 
government for the right to practice.  Supervision by an independent judiciary, and 
conformity with the rules the judiciary adopts for the profession, assures both 
independence and responsibility. 
 
Thus, every lawyer is responsible for observance of the Rules of Professional 
Conduct.  A lawyer should also aid in securing their observance by other lawyers.  
Neglect of these responsibilities compromises the independence of the profession 
and the public interest that it serves. 
 
Scope: 
 
The Rules of Professional Conduct are rules of reason.  They should be 
interpreted with reference to the purposes of legal representation and of the law 
itself.  Some of the rules are imperatives, cast in the terms of “shallmust,” or 
 
- 18 - 
“shallmust not.,” or “may not.”  These define proper conduct for purposes of 
professional discipline.  Others, generally cast in the term "may," are permissive 
and define areas under the rules in which the lawyer has discretion to exercise 
professional judgment.  No disciplinary action should be taken when the lawyer 
chooses not to act or acts within the bounds of suchthat discretion.  Other rules 
define the nature of relationships between the lawyer and others.  The rules are 
thus partly obligatory and disciplinary and partly constitutive and descriptive in 
that they define a lawyer’s professional role. 
 
The comment accompanying each rule explains and illustrates the meaning 
and purpose of the rule.  The comments are intended only as guides to 
interpretation, whereas the text of each rule is authoritative.  Thus, comments, even 
when they use the term “should,” do not add obligations to the rules but merely 
provide guidance for practicing in compliance with the rules. 
 
The rules presuppose a larger legal context shaping the lawyer’s role.  That 
context includes court rules and statutes relating to matters of licensure, laws 
defining specific obligations of lawyers, and substantive and procedural law in 
general.  Compliance with the rules, as with all law in an open society, depends 
primarily upon understanding and voluntary compliance, secondarily upon 
reinforcement by peer and public opinion, and finally, when necessary, upon 
enforcement through disciplinary proceedings.  The rules do not, however, exhaust 
the moral and ethical considerations that should inform a lawyer, for no 
worthwhile human activity can be completely defined by legal rules.  The rules 
simply provide a framework for the ethical practice of law.  The comments are 
sometimes used to alert lawyers to their responsibilities under other law. 
 
Furthermore, for purposes of determining the lawyer’s authority and 
responsibility, principles of substantive law external to these rules determine 
whether a client-lawyer relationship exists.  Most of the duties flowing from the 
client-lawyer relationship attach only after the client has requested the lawyer to 
render legal services and the lawyer has agreed to do so.  But there are some 
duties, such as that offor example confidentiality under rule 4-1.6, which attach 
when the lawyer agrees to consider whether a client-lawyer relationship shallwill 
be established.  See rule 4-1.18.  Whether a client-lawyer relationship exists for 
any specific purpose can depend on the circumstances and may be a question of 
fact. 
 
Failure to comply with an obligation or prohibition imposed by a rule is a 
basis for invoking the disciplinary process.  The rules presuppose that disciplinary 
 
- 19 - 
assessment of a lawyer’s conduct will be made on the basis of the facts and 
circumstances as they existed at the time of the conduct in question in recognition 
of the fact that a lawyer often has to act upon uncertain or incomplete evidence of 
the situation.  Moreover, the rules presuppose that whether discipline should be 
imposed for a violation, and the severity of a sanction, depend on all the 
circumstances, such as the willfulness and seriousness of the violation, extenuating 
factors, and whether there have been previous violations. 
 
Violation of a rule should not itself give rise to a cause of action against a 
lawyer nor should it create any presumption in such a case that a legal duty has 
been breached.  In addition, violation of a rule does not necessarily warrant any 
other nondisciplinary remedy, such as disqualification of a lawyer in pending 
litigation.  The rules are designed to provide guidance to lawyers and to provide a 
structure for regulating conduct through disciplinary agencies.  They are not 
designed to be a basis for civil liability.  Furthermore, the purpose of the rules can 
be subverted when they are invoked by opposing parties as procedural weapons.  
The fact that a rule is a just basis for a lawyer’s self-assessment, or for sanctioning 
a lawyer under the administration of a disciplinary authority, does not imply that 
an antagonist in a collateral proceeding or transaction has standing to seek 
enforcement of the rule.  Accordingly, nothing in the rules should be deemed to 
augment any substantive legal duty of lawyers or the extra-disciplinary 
consequences of violating sucha substantive legal duty.  Nevertheless, since the 
rules do establish standards of conduct by lawyers, a lawyer’s violation of a rule 
may be evidence of a breach of the applicable standard of conduct. 
 
Terminology: 
 
“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. 
 
“Consult” or “consultation” denotes communication of information 
reasonably sufficient to permit the client to appreciate the significance of the 
matter in question. 
 
“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 “informed consent” below.  If it is not feasible to obtain or transmit 
 
- 20 - 
the writing at the time the person gives informed consent, then the lawyer must 
obtain or transmit it within a reasonable timethereafter. 
 
“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 the legal department of a corporation or other 
organization. 
 
“Fraud” or “fraudulent” denotes conduct having a purpose to deceive and 
not merely negligent misrepresentation or failure to apprise another of relevant 
information. 
 
“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. 
 
“Knowingly,” “known,” or “knows” denotes actual knowledge of the fact in 
question.  A person’s knowledge may be inferred from circumstances. 
 
“Lawyer” denotes a person who is a member of The Florida Bar or 
otherwise authorized to practice in any court of the State of Florida. 
 
“Partner” denotes a member of a partnership and a shareholder in a law firm 
organized as a professional corporation, or a member of an association authorized 
to practice law. 
 
“Reasonable” or “reasonably” when used in relation to conduct by a lawyer 
denotes the conduct of a reasonably prudent and competent lawyer. 
 
“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. 
 
“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. 
 
“Screened” denotes the isolation of a lawyer from any participation in a 
matter through the timely imposition of procedures within a firm that are 
 
- 21 - 
reasonably adequate under the circumstances to protect information that the 
isolated lawyer is obligated to protect under these rules or other law. 
 
“Substantial” when used in reference to degree or extent denotes a material 
matter of clear and weighty importance. 
 
“Tribunal” denotes a court, an arbitrator in a binding arbitration proceeding, 
or a legislative body, administrative agency, or other body acting in an adjudicative 
capacity.  A legislative body, administrative agency, or other body acts in an 
adjudicative capacity when a neutral official, after the presentation of evidence or 
legal argument by a party or parties, will render a binding legal judgment directly 
affecting a party’s interests in a particular matter. 
 
“Writing” or “written” denotes a tangible or electronic record of a 
communication or representation, including handwriting, typewriting, printing, 
photostating, photography, audio or video recording, and e-mailelectronic 
communications.  A “signed” writing includes an electronic sound, symbol or 
process attached to or logically associated with a writing and executed or adopted 
by a person with the intent to sign the writing. 
 
COMMENT 
 
Confirmed in writing 
 
If it is not feasible to obtain or transmit a written confirmation at the time the 
client gives informed consent, then the lawyer must obtain or transmit it within a 
reasonable time thereafter.  If a lawyer has obtained a client’s informed consent, 
the lawyer may act in reliance on that consent so long as it is confirmed in writing 
within a reasonable time thereafter. 
 
Firm 
 
Whether 2 or more lawyers constitute a firm above can depend on the 
specific facts.  For example, 2 practitioners who share office space and 
occasionally consult or assist each other ordinarily would not be regarded as 
constituting a firm.  However, if they present themselves to the public in a way that 
suggests that they are a firm or conduct themselves as a firm, they should be 
regarded as a firm for purposes of the rules.  The terms of any formal agreement 
between associated lawyers are relevant in determining whether they are a firm, as 
is the fact that they have mutual access to information concerning the clients they 
 
- 22 - 
serve.  Furthermore, it is relevant in doubtful cases to consider the underlying 
purpose of the rule that is involved.  A group of lawyers could be regarded as a 
firm for purposes of the rule that the same lawyer should not represent opposing 
parties in litigation, while it might not be so regarded for purposes of the rule that 
information acquired by 1 lawyer is attributed to another. 
 
With respect to the law department of an organization, including the 
government, there is ordinarily no question that the members of the department 
constitute a firm within the meaning of the Rules of Professional Conduct.  There 
can be uncertainty, however, as to the identity of the client.  For example, it may 
not be clear whether the law department of a corporation represents a subsidiary or 
an affiliated corporation, as well as the corporation by which the members of the 
department are directly employed.  A similar question can arise concerning an 
unincorporated association and its local affiliates. 
 
Similar questions can also arise with respect to lawyers in legal aid and legal 
services organizations.  Depending upon the structure of the organization, the 
entire organization or different components of it may constitute a firm or firms for 
purposes of these rules. 
 
Fraud 
 
When used in these rules, the terms “fraud” or “fraudulent” refer to conduct 
that has a purpose to deceive.  This does not include merely negligent 
misrepresentation or negligent failure to apprise another of relevant information.  
For purposes of these rules, it is not necessary that anyone has suffered damages or 
relied on the misrepresentation or failure to inform. 
 
Informed consent 
 
Many of the Rules of Professional Conduct require the lawyer to obtain the 
informed consent of a client or other person (e.g., a former client or, under certain 
circumstances, a prospective client) before accepting or continuing representation 
or pursuing a course of conduct.  See, e.g., rules 4-1.2(c), 4-1.6(a), 4-1.7(b), and 4-
1.18.  The communication necessary to obtain such consent will vary according to 
the rule involved and the circumstances giving rise to the need to obtain informed 
consent.  The lawyer must make reasonable efforts to ensure that the client or other 
person possesses information reasonably adequate to make an informed decision.  
Ordinarily, this will require communication that includes a disclosure of the facts 
and circumstances giving rise to the situation, any explanation reasonably 
 
- 23 - 
necessary to inform the client or other person of the material advantages and 
disadvantages of the proposed course of conduct and a discussion of the client’s or 
other person’s options and alternatives.  In some circumstances it may be 
appropriate for a lawyer to advise a client or other person to seek the advice of 
other counsel.  A lawyer need not inform a client or other person of facts or 
implications already known to the client or other person; nevertheless, a lawyer 
who does not personally inform the client or other person assumes the risk that the 
client or other person is inadequately informed and the consent is invalid.  In 
determining whether the information and explanation provided are reasonably 
adequate, relevant factors include whether the client or other person is experienced 
in legal matters generally and in making decisions of the type involved, and 
whether the client or other person is independently represented by other counsel in 
giving the consent.  Normally, suchthese persons need less information and 
explanation than others, and generally a client or other person who is 
independently represented by other counsel in giving the consent should be 
assumed to have given informed consent. 
 
Obtaining informed consent will usually require an affirmative response by 
the client or other person.  In general, a lawyer may not assume consent from a 
client’s or other person’s silence.  Consent may be inferred, however, from the 
conduct of a client or other person who has reasonably adequate information about 
the matter.  A number of rules state that a person’s consent be confirmed in 
writing.  See, e.g., rule 4-1.7(b).  For a definition of “writing” and “confirmed in 
writing,” see terminology above.  Other rules require that a client’s consent be 
obtained in a writing signed by the client.  See, e.g., rule 4-1.8(a).  For a definition 
of “signed,” see terminology above. 
 
Screened 
 
This definition applies to situations where screening of a personally 
disqualified lawyer is permitted to remove imputation of a conflict of interest 
under rules 4-1.11, 4-1.12, or 4-1.18. 
 
The purpose of screening is to assure the affected parties that confidential 
information known by the personally disqualified lawyer remains protected.  The 
personally disqualified lawyer should acknowledge the obligation not to 
communicate with any of the other lawyers in the firm with respect to the matter.  
Similarly, other lawyers in the firm who are working on the matter should be 
informed that the screening is in place and that they may not communicate with the 
personally disqualified lawyer with respect to the matter.  Additional screening 
 
- 24 - 
measures that are appropriate for the particular matter will depend on the 
circumstances.  To implement, reinforce, and remind all affected lawyers of the 
presence of the screening, it may be appropriate for the firm to undertake suchthese 
procedures as a written undertaking by the screened lawyer to avoid any 
communication with other firm personnel and any contact with any firm files or 
other materialsinformation, including information in electronic form, relating to the 
matter, written notice and instructions to all other firm personnel forbidding any 
communication with the screened lawyer relating to the matter, denial of access by 
the screened lawyer to firm files or other materialsinformation, including 
information in electronic form, relating to the matter, and periodic reminders of the 
screen to the screened lawyer and all other firm personnel. 
 
In order to be effective, screening measures must be implemented as soon as 
practicable after a lawyer or law firm knows or reasonably should know that there 
is a need for screening.  
 
 
RULE 4-1.4 
 
COMMUNICATION 
 
(a) – (b) 
[No Change] 
 
 
COMMENT 
 
Reasonable communication between the lawyer and the client is necessary 
for the client to effectively participate in the representation. 
 
Communicating with client 
 
If these rules require that a particular decision about the representation be 
made by the client, subdivision (a)(1) requires that the lawyer promptly consult 
with and secure the client’s consent prior to taking action unless prior discussions 
with the client have resolved what action the client wants the lawyer to take.  For 
example, a lawyer who receives from opposing counsel an offer of settlement in a 
civil controversy or a proffered plea bargain in a criminal case must promptly 
inform the client of its substance unless the client has previously indicated that the 
proposal will be acceptable or unacceptable or has authorized the lawyer to accept 
or to reject the offer.  See rule 4-1.2(a). 
 
 
- 25 - 
Subdivision (a)(2) requires the lawyer to reasonably consult with the client 
about the means to be used to accomplish the client’s objectives.  In some 
situations – depending on both the importance of the action under consideration 
and the feasibility of consulting with the client –  this duty will require consultation 
prior to taking action.  In other circumstances, such as during a trial when an 
immediate decision must be made, the exigency of the situation may require the 
lawyer to act without prior consultation.  In such cases the lawyer must nonetheless 
act reasonably to inform the client of actions the lawyer has taken on the client’s 
behalf.  Additionally, subdivision (a)(3) requires that the lawyer keep the client 
reasonably informed about the status of the matter, such as significant 
developments affecting the timing or the substance of the representation. 
 
A lawyer’s regular communication with clients will minimize the occasions 
on which a client will need to request information concerning the representation.  
When a client makes a reasonable request for information, however, subdivision 
(a)(4) requires prompt compliance with the request, or if a prompt response is not 
feasible, that the lawyer, or a member of the lawyer’s staff, acknowledge receipt of 
the request and advise the client when a response may be expected. 
 
Lawyers have particular responsibilities in communicating with clients 
regarding changes in firm composition.  See Rule 4-5.8. 
 
Explaining matters 
 
The client should have sufficient information to participate intelligently in 
decisions concerning the objectives of the representation and the means by which 
they are to be pursued, to the extent the client is willing and able to do so. 
 
Adequacy of communication depends in part on the kind of advice or 
assistance that is involved.  For example, when there is time to explain a proposal 
made in a negotiation, the lawyer should review all important provisions with the 
client before proceeding to an agreement.  In litigation a lawyer should explain the 
general strategy and prospects of success and ordinarily should consult the client 
on tactics that are likely to result in significant expense or to injure or coerce 
others.  On the other hand, a lawyer ordinarily will not be expected to describe trial 
or negotiation strategy in detail.  The guiding principle is that the lawyer should 
fulfill reasonable client expectations for information consistent with the duty to act 
in the client’s best interests and the client’s overall requirements as to the character 
of representation.  In certain circumstances, such as when a lawyer asks a client to 
 
- 26 - 
consent to a representation affected by a conflict of interest, the client must give 
informed consent, as defined in terminology. 
 
Ordinarily, the information to be provided is that appropriate for a client 
who is a comprehending and responsible adult.  However, fully informing the 
client according to this standard may be impracticable, for example, where the 
client is a child or suffers from mental disability.  See rule 4-1.14.  When the client 
is an organization or group, it is often impossible or inappropriate to inform every 
one of its members about its legal affairs; ordinarily, the lawyer should address 
communications to the appropriate officials of the organization.  See rule 4-1.13. 
Where many routine matters are involved, a system of limited or occasional 
reporting may be arranged with the client. 
 
Withholding information 
 
In some circumstances, a lawyer may be justified in delaying transmission of 
information when the client would be likely to react imprudently to an immediate 
communication.  Thus, a lawyer might withhold a psychiatric diagnosis of a client 
when the examining psychiatrist indicates that disclosure would harm the client.  A 
lawyer may not withhold information to serve the lawyer’s own interest or 
convenience or the interests or convenience of another person.  Rules or court 
orders governing litigation may provide that information supplied to a lawyer may 
not be disclosed to the client.  Rule 4-3.4(c) directs compliance with such rules or 
orders. 
 
 
RULE 4-1.18  
DUTIES TO PROSPECTIVE CLIENT 
 
(a) Prospective Client.  A person who discussesconsults with a lawyer 
about the possibility of forming a client-lawyer relationship with respect to a 
matter is a prospective client. 
 
(b) Confidentiality of Information.  Even when no client-lawyer 
relationship ensues, a lawyer who has had discussions withlearned information 
from a prospective client shallmay not use or reveal that information learned in the 
consultation, except as rule 4-1.9 would permit with respect to information of a 
former client. 
 
(c) Subsequent Representation.  A lawyer subject to subdivision (b) 
shallmay not represent a client with interests materially adverse to those of a 
 
- 27 - 
prospective client in the same or a substantially related matter if the lawyer 
received information from the prospective client that could be used to the 
disadvantage of that person in the matter, except as provided in subdivision (d).  If 
a lawyer is disqualified from representation under this rule, no lawyer in a firm 
with which that lawyer is associated may knowingly undertake or continue 
representation in such athe matter, except as provided in subdivision (d). 
 
(d) Permissible Representation.  When the lawyer has received 
disqualifying information as defined in subdivision (c), representation is 
permissible if: 
 
(1) 
[No Change] 
 
(2) 
the lawyer who received the information took reasonable 
measures to avoid exposure to more disqualifying information than was reasonably 
necessary to determine whether to represent the prospective client; and 
 
(iA)  the disqualified lawyer is timely screened from any 
participation in the matter and is apportioned no part of the fee therefrom; and 
 
(iiB)  written notice is promptly given to the prospective client. 
 
COMMENT 
 
Prospective clients, like clients, may disclose information to a lawyer, place 
documents or other property in the lawyer’s custody, or rely on the lawyer’s 
advice.  A lawyer’s discussionsconsultations with a prospective client usually are 
limited in time and depth and leave both the prospective client and the lawyer free 
(and the lawyer sometimes required) to proceed no further.  Hence, prospective 
clients should receive some but not all of the protection afforded clients. 
 
Not all persons who communicate information to a lawyer are entitled to 
protection under this rule.A person becomes a prospective client by consulting 
with a lawyer about the possibility of forming a client-lawyer relationship with 
respect to a matter.  Whether communications, including written, oral, or electronic 
communications, constitute a consultation depends on the circumstances.  For 
example, a consultation is likely to have occurred if a lawyer, either in person or 
through the lawyer’s advertising in any medium, specifically requests or invites the 
submission of information about a potential representation without clear and 
reasonably understandable warnings and cautionary statements that limit the 
 
- 28 - 
lawyer’s obligations, and a person provides information in response.  In contrast, a 
consultation does not occur if a person provides information to a lawyer in 
response to advertising that merely describes the lawyer’s education, experience, 
areas of practice, and contact information, or provides legal information of general 
interest.  A person who communicates information unilaterally to a lawyer, without 
any reasonable expectation that the lawyer is willing to discuss the possibility of 
forming a client-lawyer relationship, is not a “prospective client” within the 
meaning of subdivision (a). 
 
It is often necessary for a prospective client to reveal information to the 
lawyer during an initial consultation prior to the decision about formation of a 
client-lawyer relationship.  The lawyer often must learn suchthis information to 
determine whether there is a conflict of interest with an existing client and whether 
the matter is one that the lawyer is willing to undertake.  Subdivision (b) prohibits 
the lawyer from using or revealing that information, except as permitted by rule 4-
1.9, even if the client or lawyer decides not to proceed with the representation.  
The duty exists regardless of how brief the initial conference may be. 
 
In order to avoid acquiring disqualifying information from a prospective 
client, a lawyer considering whether to undertake a new matter should limit the 
initial interviewconsultation to only such information as reasonably appears 
necessary for that purpose.  Where the information indicates that a conflict of 
interest or other reason for non-representation exists, the lawyer should so inform 
the prospective client or decline the representation.  If the prospective client wishes 
to retain the lawyer, and if consent is possible under rule 4-1.7, then consent from 
all affected present or former clients must be obtained before accepting the 
representation. 
 
A lawyer may condition conversationsa consultation with a prospective 
client on the person’s informed consent that no information disclosed during the 
consultation will prohibit the lawyer from representing a different client in the 
matter.  See terminology for the definition of informed consent.  If the agreement 
expressly so provides, the prospective client may also consent to the lawyer’s 
subsequent use of information received from the prospective client. 
 
Even in the absence of an agreement, under subdivision (c), the lawyer is not 
prohibited from representing a client with interests adverse to those of the 
prospective client in the same or a substantially related matter unless the lawyer 
has received from the prospective client information that could be used to the 
disadvantage of the prospective client in the matter. 
 
- 29 - 
 
Under subdivision (c), the prohibition in this rule is imputed to other lawyers 
as provided in rule 4-1.10, but, under subdivision (d)(1), the prohibition and its 
imputation may be avoided if the lawyer obtains the informed consent, confirmed 
in writing, of both the prospective and affected clients.  In the alternative, the 
prohibition and its imputation may be avoided if the conditions of subdivision 
(d)(2) are met and all disqualified lawyers are timely screened and written notice is 
promptly given to the prospective client.  See terminology (requirements for 
screening procedures).  Subdivision (d)(2)(i) does not prohibit the screened lawyer 
from receiving a salary or partnership share established by prior independent 
agreement, but that lawyer may not receive compensation directly related to the 
matter in which the lawyer is disqualified. 
 
Notice, including a general description of the subject matter about which the 
lawyer was consulted, and of the screening procedures employed, generally should 
be given as soon as practicable after the need for screening becomes apparent. 
 
The duties under this rule presume that the prospective client consults the 
lawyer in good faith.  A person who consults a lawyer simply with the intent of 
disqualifying the lawyer from the matter, with no intent of possibly hiring the 
lawyer, has engaged in a sham and should not be able to invoke this rule to create a 
disqualification. 
 
For the duty of competence of a lawyer who gives assistance on the merits 
of a matter to a prospective client, see rule 4-1.1.  For a lawyer’s duties when a 
prospective client entrusts valuables or papers to the lawyer’s care, see chapter 5, 
Rules Regulating The Florida Bar.  
 
 
RULE 4-4.4 
 
RESPECT FOR RIGHTS OF THIRD PERSONS 
 
(a) In representing a client, a lawyer shallmay not use means that have no 
substantial purpose other than to embarrass, delay, or burden a third person or 
knowingly use methods of obtaining evidence that violate the legal rights of such a 
person. 
 
(b) A lawyer who receives a document or electronically stored information 
relating to the representation of the lawyer’s client and knows or reasonably should 
know that the document or electronically stored information was inadvertently sent 
shallmust promptly notify the sender. 
 
- 30 - 
 
COMMENT 
 
Responsibility to a client requires a lawyer to subordinate the interests of 
others to those of the client, but that responsibility does not imply that a lawyer 
may disregard the rights of third persons.  It is impractical to catalogue all 
suchthese rights, but they include legal restrictions on methods of obtaining 
evidence from third persons and unwarranted intrusions into privileged 
relationships, such as the client-lawyer relationship. 
 
Subdivision (b) recognizes that lawyers sometimes receive a documents or 
electronically stored information that werewas mistakenly sent or produced by 
opposing parties or their lawyers.  A document or electronically stored information 
is inadvertently sent when it is accidentally transmitted, such as when an e-mail or 
letter is misaddressed or a document or electronically stored information is 
accidentally included with information that was intentionally transmitted.  If a 
lawyer knows or reasonably should know that such a document or electronically 
stored information was sent inadvertently, then this rule requires the lawyer to 
promptly notify the sender in order to permit that person to take protective 
measures.  Whether the lawyer is required to take additional steps, such as 
returning the original document or electronically stored information, is a matter of 
law beyond the scope of these rules, as is the question of whether the privileged 
status of a document or electronically stored information has been waived.  
Similarly, this rule does not address the legal duties of a lawyer who receives a 
document that the lawyer knows or reasonably should know may have been 
wrongfully obtained by the sending person.  For purposes of this rule, “document 
or electronically stored information” includes, in addition to paper documents, e-
mail and other forms of electronically stored information, including embedded data 
(commonly referred to as “metadata”), that is e-mail or other electronic modes of 
transmission subject to being read or put into readable form.  Metadata in 
electronic documents creates an obligation under this rule only if the receiving 
lawyer knows or reasonably should know that the metadata was inadvertently sent 
to the receiving lawyer. 
 
Some lawyers may choose to return a document or delete electronically 
stored information unread, for example, when the lawyer learns before receiving 
the document that it was inadvertently sent to the wrong address.  Where a lawyer 
is not required by applicable law to do so, the decision to voluntarily return such 
athe document or delete electronically stored information is a matter of 
professional judgment ordinarily reserved to the lawyer.  See rules 4-1.2 and 4-1.4. 
 
- 31 - 
 
 
RULE 4-5.5 
 
UNLICENSED PRACTICE OF LAW; 
MULTIJURISDICTIONAL PRACTICE OF LAW 
 
(a) Practice of Law.  A lawyer shallmay not practice law in a jurisdiction 
other than the lawyer’s home state, in violation of the regulation of the legal 
profession in that jurisdiction, or in violation of the regulation of the legal 
profession in the lawyer’s home state or assist another in doing so. 
 
(b) Prohibited Conduct.  A lawyer who is not admitted to practice in 
Florida shallmay not: 
 
(1) – (3) 
[No Change] 
 
(c) Authorized Temporary Practice by Lawyer Admitted in Another 
United States Jurisdiction.  A lawyer admitted and authorized to practice law in 
another United States jurisdiction who has been neither disbarred or suspended 
from practice in any jurisdiction, nor disciplined or held in contempt in Florida by 
reason of misconduct committed while engaged in the practice of law permitted 
pursuant to this rule, may provide legal services on a temporary basis in Florida 
that are: 
 
(1) 
are undertaken in association with a lawyer who is 
admitted to practice in Florida and who actively participates in the matter; or 
 
(2) 
are in or reasonably related to a pending or potential 
proceeding before a tribunal in this or another jurisdiction, if the lawyer is 
authorized by law or order to appear in suchthe proceeding or reasonably expects 
to be so authorized; or 
 
(3) 
are in or reasonably related to a pending or potential 
arbitration, mediation, or other alternative dispute resolution proceeding in this or 
another jurisdiction, and the services are not services for which the forum requires 
pro hac vice admission: 
 
(A) – (B) 
[No Change] 
 
(4) 
are not within subdivisions (c)(2) or (c)(3), and 
 
 
- 32 - 
(A) – (B) 
[No Change] 
 
(d) Authorized Temporary Practice by Lawyer Admitted in a Non-
United States Jurisdiction.  A lawyer who is admitted only in a non-United States 
jurisdiction who is a member in good standing of a recognized legal profession in a 
foreign jurisdiction whose members are admitted to practice as lawyers or 
counselors at law or the equivalent and are subject to effective regulation and 
discipline by a duly constituted professional body or a public authority, and who 
has been neither disbarred or suspended from practice in any jurisdiction nor 
disciplined or held in contempt in Florida by reason of misconduct committed 
while engaged in the practice of law permitted pursuant to this rule does not 
engage in the unlicensed practice of law in Florida when on a temporary basis the 
lawyer performs services in Florida that are: 
 
(1) 
are undertaken in association with a lawyer who is admitted to 
practice in Florida and who actively participates in the matter; or 
 
(2) 
are in or reasonably related to a pending or potential proceeding 
before a tribunal held or to be held in a jurisdiction outside the United States if the 
lawyer is authorized by law or by order of the tribunal to appear in suchthe 
proceeding or reasonably expects to be so authorized; or 
 
(3) 
are in or reasonably related to a pending or potential arbitration, 
mediation, or other alternative dispute resolution proceeding held or to be held in 
Florida or another jurisdiction and the services are not services for which the forum 
requires pro hac vice admission: 
 
(A) – (B) 
[No Change] 
 
(4) 
are not within subdivisions (d)(2) or (d)(3), and 
 
(A) – (B) 
[No Change] 
 
(5) 
are governed primarily by international law or the law of a non-
United States jurisdiction in which the lawyer is a member. 
 
COMMENT 
 
Subdivision (a) applies to unlicensed practice of law by a lawyer, whether 
through the lawyer’s direct action or by the lawyer assisting another person.  A 
 
- 33 - 
lawyer may practice law only in a jurisdiction in which the lawyer is authorized to 
practice. A lawyer may be admitted to practice law in a jurisdiction on a regular 
basis or may be authorized by court rule or order or by law to practice for a limited 
purpose or on a restricted basis.  Regardless of whether the lawyer is admitted to 
practice law on a regular basis or is practicing as the result of an authorization 
granted by court rule or order or by the law, the lawyer must comply with the 
standards of ethical and professional conduct set forth in these Rules Regulating 
the Florida Bar. 
 
The definition of the practice of law is established by law and varies from 
one jurisdiction to another.  Whatever the definition, limiting the practice of law to 
members of the bar protects the public against rendition of legal services by 
unqualified persons.  This rule does not prohibit a lawyer from employing the 
services of paraprofessionals and delegating functions to them, so long as the 
lawyer supervises the delegated work and retains responsibility for their work.  See 
rule 4-5.3.  Likewise, it does not prohibit lawyers from providing professional 
advice and instruction to nonlawyers whose employment requires knowledge of 
law; for example, claims adjusters, employees of financial or commercial 
institutions, social workers, accountants, and persons employed in government 
agencies.  In addition, a lawyer may counsel nonlawyers who wish to proceed pro 
se. 
 
Other than as authorized by law, a lawyer who is not admitted to practice in 
Florida violates subdivision (b) if the lawyer establishes an office or other regular 
presence in Florida for the practice of law.  This prohibition includes establishing 
an office or other regular presence in Florida for the practice of the law of the state 
where the lawyer is admitted to practice.  For example, a lawyer licensed to 
practice law in New York could not establish an office or regular presence in 
Florida to practice New York law.  Such activity would constitute the unlicensed 
practice of law.  However, for purposes of this rule, a lawyer licensed in another 
jurisdiction who is in Florida for vacation or for a limited period of time, may 
provide services to their clients in the jurisdiction where admitted as this does not 
constitute a regular presence.  Presence may be regular even if the lawyer is not 
physically present here.  Such aThe lawyer must not hold out to the public or 
otherwise represent that the lawyer is admitted to practice law in Florida.  Presence 
may be regular even if the lawyer is not physically present here. 
 
Subdivision (b) also prohibits a lawyer who is not admitted to practice in 
Florida from appearing in a Florida court, before an administrative agency, or 
before any other tribunal in Florida unless the lawyer has been granted permission 
 
- 34 - 
to do so.  In order to be granted the permission, the lawyer must follow the 
applicable rules of the court, agency, or tribunal including, without limitation, the 
Florida Rules of Judicial Administration governing appearance by foreign 
attorneyslawyers.  While admission by the Florida court or administrative agency 
for the particular case authorizes the lawyer’s appearance in the matter, it does not 
act as authorization to allow the establishment of an office in Florida for the 
practice of law.  Therefore, a lawyer licensed in another jurisdiction admitted in a 
case in Florida may not establish an office in Florida while the case is pending and 
the lawyer is working on the case.  
 
There are occasions in which a lawyer admitted and authorized to practice in 
another United States jurisdiction or in a non-United States jurisdiction may 
provide legal services on a temporary basis in Florida under circumstances that do 
not create an unreasonable risk to the interests of his or her clients, the public, or 
the courts.  Subdivisions (c) and (d) identify suchthese circumstances.  As 
discussed with regard to subdivision (b) above, Tthis rule does not authorize a 
lawyer to establish an office or other regular presence in Florida without being 
admitted to practice generally here.  Furthermore, no lawyer is authorized to 
provide legal services pursuant to this rule if the lawyer is disbarred or suspended 
from practice in any jurisdiction or has been disciplined or held in contempt in 
Florida by reason of misconduct committed while engaged in the practice of law 
permitted pursuant to this rule.  The contempt must be final and not reversed or 
abated. 
 
There is no single test to determine whether a lawyer’s services are provided 
on a “temporary basis” in Florida and may therefore be permissible under 
subdivision (c).  Services may be “temporary” even though the lawyer provides 
services in Florida on a recurring basis or for an extended period of time, as when 
the lawyer is representing a client in a single lengthy negotiation or litigation. 
 
Subdivision (c) applies to lawyers who are admitted to practice law in any 
United States jurisdiction, which includes the District of Columbia and any state, 
territory, or commonwealth of the United States.  The word "admitted" in 
subdivision (c) contemplates that the lawyer is authorized to practice in the 
jurisdiction in which the lawyer is admitted and excludes a lawyer who while 
technically admitted is not authorized to practice because, for example, the lawyer 
is on inactive status.  Subdivision (d) applies to lawyers who are admitted to 
practice law in a non-United States jurisdiction if the lawyer is a member in good 
standing of a recognized legal profession in a foreign jurisdiction, the members of 
which are admitted to practice as lawyers or counselors at law or the equivalent 
 
- 35 - 
and subject to effective regulation and discipline by a duly constituted professional 
body or a public authority.  Due to the similarities between the subsections, they 
will be discussed together.  Differences will be noted. 
 
Subdivisions (c)(1)and (d)(1) recognize that the interests of clients and the 
public are protected if a lawyer admitted only in another jurisdiction associates 
with a lawyer licensed to practice in Florida.  For these subdivisions to apply, the 
lawyer admitted to practice in Florida could not serve merely as a conduit for the 
out-of-state lawyer, but would have to share actual responsibility for the 
representation and actively participate in the representation.  To the extent that a 
court rule or other law of Florida requires a lawyer who is not admitted to practice 
in Florida to obtain admission pro hac vice prior to appearing in court or before a 
tribunal or to obtain admission pursuant to applicable rule(s) prior to appearing 
before an administrative agency, this rule requires the lawyer to obtain that 
authority. 
 
Lawyers not admitted to practice generally in Florida may be authorized by 
law or order of a tribunal or an administrative agency to appear before the tribunal 
or agency.  This authority may be granted pursuant to formal rules governing 
admission pro hac vice or pursuant to formal rules of the agency.  Under 
subdivision (c)(2), a lawyer does not violate this rule when the lawyer appears 
before a tribunal or agency pursuant to suchthis authority.  As with subdivisions 
(c)(1) and (d)(1), to the extent that a court rule or other law of Florida requires a 
lawyer who is not admitted to practice in Florida to obtain admission pro hac vice 
prior to appearing in court or before a tribunal or to obtain admission pursuant to 
applicable rule(s) prior to appearing before an administrative agency, this rule 
requires the lawyer to obtain that authority. 
 
Subdivision (c)(2) also provides that a lawyer rendering services in Florida 
on a temporary basis does not violate this rule when the lawyer engages in conduct 
in anticipation of a proceeding or hearing in a jurisdiction in which the lawyer is 
authorized to practice law or in which the lawyer reasonably expects to be admitted 
pro hac vice.  Examples of suchthis conduct include meetings with the client, 
interviews of potential witnesses, and the review of documents. Similarly, a lawyer 
admitted only in another jurisdiction may engage in conduct temporarily in Florida 
in connection with pending litigation in another jurisdiction in which the lawyer is 
or reasonably expects to be authorized to appear, including taking depositions in 
Florida. 
 
 
- 36 - 
Subdivision (d)(2) is similar to subdivision (c)(2), however, the 
authorization in (d)(2) only applies to pending or potential proceedings before a 
tribunal to be held outside of the United States. 
 
Subdivisions (c)(3) and (d)(3) permit a lawyer admitted to practice law in 
another jurisdiction to perform services on a temporary basis in Florida if those 
services are in or reasonably related to a pending or potential arbitration, 
mediation, or other alternative dispute resolution proceeding in this or another 
jurisdiction, if the services are performed for a client who resides in or has an 
office in the lawyer’s home state, or if the services arise out of or are reasonably 
related to the lawyer’s practice in a jurisdiction in which the lawyer is admitted to 
practice.  The lawyer, however, must obtain admission pro hac vice in the case of a 
court-annexed arbitration or mediation if court rules or law so require.  The lawyer 
must file a verified statement with The Florida Bar in arbitration proceedings as 
required by rule 1-3.11 unless the lawyer is appearing in an international 
arbitration as defined in the comment to that rule.  A verified statement is not 
required if the lawyer first obtained the court’s permission to appear pro hac vice 
and the court has retained jurisdiction over the matter.  For the purposes of this 
rule, a lawyer who is not admitted to practice law in Florida who files more than 3 
demands for arbitration or responses to arbitration in separate arbitration 
proceedings in a 365-day period shall beis presumed to be providing legal services 
on a regular, not temporary, basis; however, this presumption shalldoes not apply 
to a lawyer appearing in international arbitrations as defined in the comment to rule 
1-3.11. 
 
Subdivision (c)(4) permits a lawyer admitted in another jurisdiction to 
provide certain legal services on a temporary basis in Florida that are performed 
for a client who resides or has an office in the jurisdiction in which the lawyer is 
authorized to practice or arise out of or are reasonably related to the lawyer’s 
practice in a jurisdiction in which the lawyer is admitted but are not within 
subdivisions (c)(2) or (c)(3).  These services include both legal services and 
services that nonlawyers may perform but that are considered the practice of law 
when performed by lawyers.  When performing services which may be performed 
by nonlawyers, the lawyer remains subject to the Rules of Professional Conduct. 
 
Subdivisions (c)(3), (d)(3), and (c)(4) require that the services arise out of or 
be reasonably related to the lawyer’s practice in a jurisdiction in which the lawyer 
is admitted.  A variety of factors evidence such athis relationship.  The lawyer’s 
client may have been previously represented by the lawyer, or may be resident in 
or have substantial contacts with the jurisdiction in which the lawyer is admitted.  
 
- 37 - 
The matter, although involving other jurisdictions, may have a significant 
connection with that jurisdiction.  In other cases, significant aspects of the lawyer’s 
work might be conducted in that jurisdiction or a significant aspect of the matter 
may involve the law of that jurisdiction.  The necessary relationship might arise 
when the client’s activities or the legal issues involve multiple jurisdictions, such 
asfor example, when the officers of a multinational corporation survey potential 
business sites and seek the services of their lawyer in assessing the relative merits 
of each.  In addition, the services may draw on the lawyer’s recognized expertise 
developed through regular practice of law in a body of law that is applicable to the 
client’s particular matter. 
 
Subdivision (d)(4) permits a lawyer admitted in a non-United States 
jurisdiction to provide certain services on a temporary basis in Florida that are 
performed for a client who resides in or has an office in the jurisdiction where the 
lawyer is authorized to practice or arise out of or are reasonably related to a matter 
that has a substantial connection to a jurisdiction in which the lawyer is authorized 
to practice to the extent of that authorization but are not within subdivisions (d)(2) 
and (d)(3).  The scope of the work the lawyer could perform under this provision 
would be limited to the services the lawyer may perform in the authorizing 
jurisdiction.  For example, if a German lawyer came to the United States to 
negotiate on behalf of a client in Germany, the lawyer would be authorized to 
provide only those services that the lawyer is authorized to provide for that client 
in Germany. Subdivision (d)(5) permits a lawyer admitted in a non-United States 
jurisdiction to provide services in Florida that are governed primarily by 
international law or the law of a non-United States jurisdiction in which the lawyer 
is a member. 
 
A lawyer who practices law in Florida pursuant to subdivisions (c), (d), or 
otherwise is subject to the disciplinary authority of Florida.  A lawyer who 
practices law in Florida pursuant to subdivision (c) must inform the client that the 
lawyer is not licensed to practice law in Florida. 
 
The Supreme Court of Florida has determined that it constitutes the 
unlicensed practice of law for a lawyer admitted to practice law in a jurisdiction 
other than Florida to advertise to provide legal services in Florida which the lawyer 
is not authorized to provide.  The rule was adopted in 820 So. 2d 210 (Fla. 2002).  
The court first stated the proposition in 762 So. 2d 392, 394 (Fla. 1999).  
Subdivisions (c) and (d) do not authorize advertising legal services to prospective 
clients in Florida by lawyers who are admitted to practice in jurisdictions other 
than Florida.  Whether and how lawyers may communicate the availability of their 
 
- 38 - 
services to prospective clients in Florida is governed by rules 4-7.1 through 4-
7.10subchapter 4-7. 
 
A lawyer who practices law in Florida is subject to the disciplinary authority 
of Florida. 
 
 
RULE 4-6.5 
 
VOLUNTARY PRO BONO PLAN 
 
(a) [No Change] 
 
(b) Standing Committee on Pro Bono Legal Service.  The president-
elect of The Florida Bar is responsible for appointing a standing committee on pro 
bono legal service to the poor. 
 
(1) 
Composition of the Standing Committee.  The standing 
committee consists of no more than 25 members and includes, but is not be limited 
to: 
 
(A) 
5 past or current members of the board of governors of 
The Florida Bar, 1 of whom is the chair or a member of the access to the legal 
system committee of the board of governors; 
 
(B) – (E) 
[No Change] 
 
(F) 
2 public members, 1 of whom shall beis a representative 
of the poor; 
 
(G) 
the president or designee of the Board of Directors of 
Florida Legal Services, Inc.; and 
 
(H) 
1 representative of the out-of-stateOut-of-State division 
of The Florida Bar.; and 
 
(I)  the president or designee of the Young Lawyers Division of 
The Florida Bar. 
 
(2) 
[No Change] 
 
 
- 39 - 
(c) Circuit Pro Bono Committees.  There will be 1 circuit pro bono 
committee in each of the judicial circuits of Florida.  In each judicial circuit the 
chief judge of the circuit, or the chief judge's designee, shall appoint and convene 
the initial circuit pro bono committee and the committee will appoint its chair. 
 
(1) 
[No Change] 
 
(2) 
Responsibilities of Circuit Pro Bono Committee.  The circuit 
pro bono committee will: 
 
(A) – (D) 
[No Change] 
 
(E) 
encourage more lawyers to participate in pro bono 
activities by preparing a plan that provides for various support and educational 
services for participating pro bono attorneys, which, to the extent possible, should 
include: 
 
(i) – (iv) 
[No Change] 
 
(v) 
the availability of consultation with attorneys who 
have expertise in areas of law with respect to which a volunteer lawyer is 
providing pro bono legal service; 
 
(vi) – (viii) [No Change] 
 
(d) Suggested Pro Bono Service Opportunities Pro Bono Service 
Opportunities.  The following are suggested pro bono service opportunities that 
should be included in each circuit plan: 
 
(1) 
representation of clients through case referral; 
 
(2) 
interviewing of prospective clients; 
 
(3) 
participationparticipate in pro se clinics and other clinics in 
which lawyers provide advice and counsel; 
 
(4) 
 acting as co-counsel on cases or matters with legal assistance 
providers and other pro bono lawyers; 
 
 
- 40 - 
(5) 
providingprovide consultation services to legal assistance 
providers for case reviews and evaluations; 
 
(6) 
participationparticipate in policy advocacy; 
 
(7) 
providingprovide training to the staff of legal assistance 
providers and other volunteer pro bono attorneys; 
 
(8) 
makingmake presentations to groups of poor persons regarding 
their rights and obligations under the law; 
 
(9) 
providingprovide legal research; 
 
(10) providingprovide guardian ad litem services; 
 
(11) providingprovide assistance in the formation and operation of 
legal entities for groups of poor persons; and 
 
(12) servingserve as a mediator or arbitrator at no fee to the client-
eligible party. 
 
 
RULE 6-3.7 
 
EMERITUS SPECIALIST STATUS 
 
(a) Purpose.  The purpose of emeritus specialist status is to recognize the 
past and continuing contribution of a certified lawyer in the advancement of the 
speciality area through related career activities that do not constitute the actual 
practice of law.  For purposes of this rule, the "practice of law" means legal work 
performed for purposes of rendering legal services, advice, or representation. 
 
(b) Applicability.  An applicant who seeks emeritus specialist status shall: 
 
(1)  be currently board certified by The Florida Bar; 
 
(2)  be a member of The Florida Bar in good standing; 
 
(3)  no longer be engaged in the practice of law; and 
 
(4)  otherwise comply with the applicable rules and policies governing 
emeritus specialist status. 
 
- 41 - 
 
(c) Qualifications.  To qualify for emeritus specialist status, a member 
shall: 
 
(1)  not engage in the active practice of law; 
 
(2)  demonstrate integrity and professionalism, and submit to peer 
review as required by the board of legal specialization and education; 
 
(3)  promptly report to the board of legal specialization and education 
any disciplinary complaints or malpractice actions filed against the member; 
 
(4)  file the annual audit and pay the annual fee; and 
 
(5)  complete the required application and pay the specified fee. 
 
(d) Communication.  As an emeritus specialist, the member must: 
 
(1)  refrain from any written or oral communication that might be 
misconstrued as client solicitation for legal services; and, 
 
(2)  identify emeritus specialist status in all written or oral 
communication concerning board certification. 
 
(e) Termination of Emeritus Specialist Status.  At such time as the 
member elects to resume the practice of law, the member may regain 
recertification as a “certified specialist” upon: 
 
(1)  completion of all requirements for recertification within a time 
frame to be determined by the board of legal specialization and education; and 
 
(2)  completion of the required application and payment of the 
specified fee. 
 
(f) 
Waiver.  On special application and for good cause shown, the board 
of legal specialization and education may waive any portion of this rule if it 
determines such a waiver to be in the best interest of the certification program and 
emeritus status. 
 
 
- 42 - 
(g) Revocation.  Existing rules relating to certification revocation shall 
also apply to emeritus specialist status. 
 
(h) Exemption.  During the 6 years following the effective date of this 
rule, any member formerly certified by The Florida Bar, whose certificate lapsed 
or was otherwise not renewed, may apply for emeritus status and qualify for an 
exemption from the provision that requires current certification.  The applicant 
must demonstrate compliance with all other requirements of this rule.  An 
applicant formerly certified by The Florida Bar, but whose certificate was revoked, 
is ineligible for this exemption. 
 
 
RULE 6-3.11  
FEES 
 
(a) [No Change] 
 
(b) Examination/Certification Fee.  This fee must be paid before the 
taking of the examination for certification or before an applicant who otherwise 
qualifies receives a certificate.  This fee is not refundable. 
 
(c) Annual Fee.  This fee is assessed against each plan participant required 
to file an annual audit for a particular year.  Collection of the fee shall coincides 
with the distribution of annual audit forms. 
 
(d) – (f) [No Change] 
 
(g) Emeritus Application Fee.  This fee must accompany the filing of an 
application for emeritus specialist status.  This fee is not refundable. 
 
(hg)  Course Evaluation Fee.  This fee is assessed against course sponsors 
that seek continuing legal education credit hours required under the plan.  This fee 
is not refundable. 
 
(ih)  Individual Credit Approval Fee.  This fee is assessed against 
applicants or plan participants to cover administrative costs of processing a credit 
request where a sponsor has not sought course approval under the plan. 
 
 
CHAPTER 6 LEGAL SPECIALIZATION AND EDUCATION PROGRAMS 
 
 
- 43 - 
6-29. STANDARDS FOR BOARD CERTIFICATION IN JUVENILE LAW 
 
RULE 6-29.1  
GENERALLY 
 
A lawyer who is an active member in good standing of The Florida Bar and 
who meets the standards prescribed below may be issued a certificate identifying 
the lawyer as “Board Certified in Juvenile Law.”  The purpose of the standards is 
to identify those lawyers who practice juvenile law and have the special 
knowledge, skills, and proficiency, as well as the character, ethics, and reputation 
for professionalism, to be properly identified to the public as board certified in 
juvenile law. 
 
 
RULE 6-29.2  
DEFINITIONS 
 
(a) Juvenile Law.  “Juvenile law” is the area of law that inherently and 
directly impacts children.  It includes, but is not limited to, dependency, 
delinquency, and termination of parental rights matters.  It does not include 
adoption matters or matters arising in the context of family law proceedings not 
consolidated with dependency or termination of parental rights matters. 
 
(b) Trial.  A “trial” is defined as substantially preparing a case for court, 
offering testimony or evidence, or cross-examination of witness(es), in an 
adversarial proceeding before a trier of fact, and submission of a case to the trier of 
fact for determination of the matter. 
 
(c) Appellate proceeding.  An “appellate proceeding” is defined as an 
action in a state or federal court seeking review of a decision of a lower tribunal. 
 
(d) Practice of Law.  The “practice of law” for this area is defined in rule 
6-3.5(c)(1). 
 
 
RULE 6-29.3   
 
MINIMUM STANDARDS 
 
(a) Minimum Period of Practice.  The applicant must have been 
substantially engaged in the practice of law for at least 5 years immediately 
preceding the application date. 
 
(b) Practice Requirements.  The practice requirements are as follows: 
 
- 44 - 
 
(1) 
Substantial Involvement.  The applicant must demonstrate 
substantial involvement in the practice of juvenile law during 3 of the last 5 years, 
immediately preceding application. 
 
(2) 
Practical Experience.  The applicant must demonstrate 
substantial practical experience in juvenile law by providing examples of service as 
the lead advocate on behalf of a governmental entity, a child, a parent, a guardian, 
a foster parent, or a child’s relative with standing to litigate, in a minimum of 20 
fully adjudicated trials or appellate proceedings arising from petitions for 
dependency, termination of parental rights, or delinquency.  If at least 10 of the 
trials or appeals required by this provision occurred during the 5 years immediately 
preceding application, the requirements of rule 6-29.3(b)(1) are met. 
 
(3) 
Other Experience.  On good cause shown, the juvenile law 
certification committee may substitute other experience in juvenile law as defined 
for the portion of the trials or appellate proceedings as it deems appropriate.  This 
experience may include, but is not limited to: 
 
(A) 
handling school issues, including disciplinary issues and 
educational planning matters, participating in placement determinations, and the 
development of treatment and alternative plans; 
 
(B) 
dealing with matters relating to governmental benefits; 
 
(C) 
advocacy after termination of parental rights; 
 
(D) 
advocacy before the Florida Department of Children and 
Families or other agencies; 
 
(E) 
advocacy in juvenile delinquency matters other than trial 
or appellate proceedings; 
 
(F) 
representation at administrative proceedings; and  
 
(G) 
resolving health care matters. 
 
 
- 45 - 
(c) 
Peer Review. 
 
(1) 
The applicant must submit the names and addresses of 6 
lawyers, who are neither relatives nor current associates or partners nor who 
practice in the same governmental entity as the applicant.  At least 4 of the 
references must be members of The Florida Bar.  Individuals serving as references 
must have experience in juvenile law and be sufficiently familiar with the applicant 
to attest to the applicant’s special competence in juvenile law, as well as the 
applicant’s character, ethics, and reputation for professionalism in the practice of 
law. 
 
(2) 
The applicant must submit the name and address of 1 judge 
before whom the applicant has appeared in a juvenile law matter within the 5-year 
period immediately preceding application to attest to the applicant’s competence in 
juvenile law, as well as the applicant’s character, ethics, and reputation for 
professionalism. 
 
(3) 
The board of legal specialization and education and the juvenile 
law certification committee may authorize references from persons other than 
lawyers and may also make additional inquiries it deems appropriate to determine 
the applicant’s qualifications for certification. 
 
(d) Education.  The applicant must demonstrate completion of 50 credit 
hours of approved continuing legal education in juvenile law during the 3-year 
period immediately preceding the date of application.  Accreditation of educational 
hours is subject to policies established by the juvenile law certification committee 
or the board of legal specialization and education. 
 
(e) Examination.  The applicant must pass an examination administered 
uniformly to all applicants to demonstrate sufficient knowledge, proficiency, 
experience, and professionalism in juvenile law to justify the representation of 
special competence to the legal profession and the public. 
 
(f) 
Exemption.  An applicant who meets the standards set forth in 
subdivisions (a) - (d) of this rule and those of rule 6-3.5(d) are exempt from the 
examination.  This exemption is only applicable to those applicants who apply 
within the first 2 application filing periods from the effective date of these 
standards. 
 
 
 
- 46 - 
RULE 6-29.4  
RECERTIFICATION 
 
During the 5-year period immediately preceding application, an applicant 
must satisfy the following requirements for recertification: 
 
(a) Substantial Involvement.  The applicant must demonstrate continuous 
and substantial involvement in juvenile law throughout the period since the last 
date of certification or recertification. 
 
(b) Trials or Appellate Actions.  The applicant must have had sole or 
primary responsibility in at least 10 trials or appellate actions involving juvenile 
law.  When primary responsibility is used to meet this requirement, the applicant 
must specifically identify any co-counsel and demonstrate to the satisfaction of the 
juvenile law certification committee that the applicant’s level of participation was 
substantial and direct.  On good cause shown, the juvenile law certification 
committee may substitute other experience for any portion of the trials or appellate 
proceedings it deems appropriate.  This experience may include, but is not limited 
to, the matters set forth in Rule 6-29.3(b)(3).  Compliance with this provision 
constitutes a prima facie showing of compliance with the requirements of rule 6-
29.4(a). 
 
(c) Education.  The applicant must demonstrate completion of at least 50 
credit hours of approved continuing legal education in juvenile law certification.  
Accreditation of educational hours is subject to policies established by the juvenile 
law certification committee or the board of legal specialization and education. 
 
(d) Peer Review. 
 
(1) 
The applicant must submit the names and address of at least 4 
lawyers who are neither relatives nor current associates or partners nor who 
practice in the same governmental entity as the applicant, as references to attest to 
the applicant’s substantial involvement and competence in juvenile law, as well as 
the applicant’s character, ethics, and reputation for professionalism.  These 
lawyers must have experience in juvenile law and be familiar with the applicant’s 
practice. 
 
(2) 
The applicant must submit the name and address of at least 1 
judge before whom the applicant has appeared within the last 5 years to attest to 
the applicant’s competence in juvenile law, as well as the applicant’s character, 
ethics, and reputation for professionalism. 
 
- 47 - 
 
(3) 
The juvenile law certification committee may, at its option, 
send reference forms to other lawyers and judges, as well as any other person the 
committee deems appropriate. 
 
 
RULE 10-2.1  
GENERALLY 
 
Whenever used in these rules the following words or terms shall have the 
meaning herein set forth unless the use thereof shall clearly indicate a different 
meaning: 
 
(a) – (b) [No Change] 
 
(c) Nonlawyer or Nonattorney.  For purposes of this chapter, a 
nonlawyer or nonattorney is an individual who is not a member of The Florida Bar.  
This includes, but is not limited to, lawyers admitted in other jurisdictions, law 
students, law graduates, applicants to The Florida Bar, disbarred lawyers, and 
lawyers who have resigned from The Florida Bar.  A suspended lawyer, while a 
member of The Florida Bar during the period of suspension as provided elsewhere 
in these rules, does not have the privilege of practicing law in Florida during the 
period of suspension.  For purposes of this chapter, it shall constitute the 
unlicensed practice of law for a lawyer admitted in a statejurisdiction other than 
Florida to advertise to provide legal services in Florida which the lawyer is not 
authorized to provide. 
 
(d) – (n) [No Change] 
 
 
RULE 18-1.1  
PURPOSE 
 
The purpose of this chapter is to expand the delivery of legal assistance 
services to military personnel stationed in the state of Florida.  This chapter 
authorizes military attorneyslawyers licensed to practice law in jurisdictions other 
than Florida to be certified to practice before Florida courts while formally 
assigned as a legal assistance attorneylawyer at a military base in the state of 
Florida.  Nothing contained in this chapter limits the scope of practice or services 
provided by legal assistance lawyers under Title 10, United States Code, section 
1044, and applicable service regulations. 
 
 
- 48 - 
 
RULE 18-1.2  
DEFINITIONS 
 
(a) Authorized Legal Assistance AttorneyLawyer.  An “authorized legal 
assistance attorneylawyer” is any person who: 
 
(1) – (2) 
[No Change] 
 
(3) 
is assigned to an installation, unit, and/or activity located within 
the geographic limitations of the courts of the state of Florida; and 
 
(4) 
has completedcompletes The Florida Bar Young Lawyers 
Division Practicing with Professionalism program (Basic Skills Course 
Requirement) within the time required by rule 6-12.3; and 
 
(5) 
appears in connection with official duties as a legal assistance 
attorneylawyer. 
 
(b) [No Change] 
 
(c) Supervising AttorneyLawyer.  A “supervising attorneylawyer” as 
used herein is a member in good standing of The Florida Bar who supervises an 
authorized legal assistance attorneylawyer engaged in activities permitted by this 
chapter.  The supervising attorneylawyer must: 
 
(1) 
be employed by or be a participating volunteer for an approved 
legal assistance office (to specifically include military reserve attorneyslawyers); 
and 
 
(2) 
assume personal professional responsibility for supervising the 
conduct of the matter, litigation, or administrative proceeding in which the 
authorized legal assistance attorneylawyer participates. 
 
(d) Authorized Legal Assistance Client.  An “authorized legal assistance 
client” is: 
 
(1) – (3) 
[No Change] 
 
(4) 
for purposes of settling the affairsthe surviving family members 
who are Florida residents of an active duty military member who died while in 
 
- 49 - 
active military service for purposes of settling the deceased military member’s 
affairs, the surviving family members of such decedent who are otherwise 
residents of the state of Florida. 
 
 
RULE 18-1.3 
ACTIVITIES 
 
(a) Permissible Activities.  An authorized legal assistance attorneylawyer, 
in association with an approved legal assistance office and under the supervision of 
a supervising attorneylawyer, may perform the following activities: 
 
(1) 
appear in any court or before any administrative tribunal in this 
state on behalf of an authorized legal assistance client, provided the person on 
whose behalf the authorized legal assistance attorneylawyer is appearing has 
consented in writing to that appearance and a supervising attorneylawyer has given 
written approval for that appearance; 
 
(2) 
prepare pleadings and other documents to be filed in any court 
or before any administrative tribunal in this state in any matter in which the 
authorized legal assistance attorneylawyer is involved, provided all notices of 
appearance, pleadings, and documents bear the attorney’slawyer’s name, the name 
of the bar to which admitted, that jurisdiction’s bar number, and the legend “Rule 
18 Military Legal Assistance AttorneyLawyer”; or 
 
(3) 
engage in such other preparatory activities as are necessary for 
any matter in which the authorized legal assistance attorneylawyer is involved. 
 
Nothing contained herein shall limit the scope of services provided by legal 
assistance attorneys under Title 10, United States Code, section 1044, and 
applicable service regulations. 
 
 
RULE 18-1.4  
SUPERVISION AND LIMITATIONS 
 
(a) Supervision by AttorneyLawyer.  An authorized legal assistance 
attorneylawyer must perform all activities authorized by this chapter under the 
supervision of a supervising attorneylawyer. 
 
(b) Representation of Bar Membership Status.  Authorized legal 
assistance attorneyslawyers permitted to perform services under this chapter are 
 
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not, and shallmay not represent themselves to be, members in good standing of The 
Florida Bar licensed to practice law in this state. 
 
(c) Range of Legal Issues for Which Representation is Permitted.  An 
authorized legal assistance attorneylawyer may appear in court on behalf of 
authorized legal assistance clients provided the appearance is made concerning a 
civil matter limited to 1 of the following actions: 
 
(1) – (6) 
[No Change] 
 
(7) 
any other proceedings if otherwise permitted by applicable law 
regarding appearances by foreign attorneyslawyers. 
 
 
RULE 18-1.5 
CERTIFICATION 
 
Permission for an authorized legal assistance attorneylawyer to perform 
services under this chapter shallwill become effective upon filing with and 
approval by the clerk of the Supreme Court of Florida. of: The person seeking 
approval must file the following:  
 
(a) a letter from the commanding officer of the approved legal assistance 
office stating that the authorized legal assistance attorneylawyer is currently 
assigned with that legal assistance office and that an attorneya Florida Bar member 
employed by or participating as a volunteer with that legal assistance office will 
assume the required duties of the supervising lawyerattorney required hereunder; 
 
(b) a certificate from the highest court or agency in theany state, territory, 
or district in which the authorized legal assistance attorneylawyer is licensed to 
practice law certifying that the authorized legal assistance attorneylawyer is a 
member in good standing and has a clear disciplinary record, and advising of any 
pending complaints and/or investigations involving the authorized legal assistance 
attorneylawyer; and 
 
(c) a sworn statement by the authorized legal assistance attorneylawyer 
that the attorneylawyer: 
 
(1) 
has read and is familiar withwill abide by chapter 4 of the Rules 
Regulating The Florida Bar as adopted by the Supreme Court of Florida and will 
abide by the provisions thereof; 
 
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(2) 
has completed or will complete The Florida Bar Young 
Lawyers Division Practicing with Professionalism program (Basic Skills Course 
Requirement) within the time required by rule 6-12.3; and 
 
(3) 
submits to the jurisdiction of the Supreme Court of Florida for 
disciplinary purposes, as defined by chapter 3 and rule 18-1.7 of the Rules 
Regulating The Florida Bar, and authorizes the practitioner’s home state to be 
advised of any disciplinary action taken in Florida.