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Resources For Analyzing Professional Responsibility Ethics

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					    Resources For Analyzing Professional
      Responsibility & Ethics Issues in
         Criminal Defense Practice1




                           By Evan A. Jenness




    LAW OFFICES OF EVAN A. JENNESS
                      MAIN STREET LAW BUILDING
                            2115 MAIN STREET
                  SANTA MONICA, CALIFORNIA 90405
                 TEL. (310) 399-3259 FAX (310) 392-9029
                            www.jennesslaw.com




        1
                This document is intended to assist criminal defense lawyers in analyzing
professional responsibility and ethics issues on-line, and resolving such issues in ways that promote
the best interests of their clients, protect clients’ rights, and are consistent with counsel’s legal and
ethical obligations. This document does not offer substantive legal advice or create an attorney-
client relationship with any reader. Warning: laws and codes are amended frequently, urls change
often, and cases and ethics opinions may be superseded by subsequent authority. It is critical for
counsel to independently verify the current status of any authorities on which they may rely.
                                             TABLE OF CONTENTS


ANALYZING AN ETHICS ISSUE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

FEDERAL LAW ON-LINE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

        U.S. CONSTITUTION

        FEDERAL STATUTES

        FEDERAL CASE LAW

        FEDERAL RULES

        RULES OF FEDERAL COURTS

CALIFORNIA LAW ON-LINE.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

        CALIFORNIA CONSTITUTION

        CALIFORNIA STATUTES

        CALIFORNIA RULES OF PROFESSIONAL CONDUCT

        CALIFORNIA CASE LAW & STATE BAR COURT OPINIONS

        ETHICS OPINIONS OF COPRAC

        RULES OF THE STATE BAR OF CALIFORNIA

        CALIFORNIA RULES OF COURTS

NATIONWIDE SOURCES ON-LINE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

        PATHFINDERS

        CASE LAW REGARDING ETHICS

        TREATISES

        NATIONAL CODES OF CONDUCT

        STATE CODES OF CONDUCT & ETHICS SOURCES

        STATE ORGANIZATIONS’ ETHICS OPINIONS

        NATIONAL, REGIONAL AND LOCAL ORGANIZATIONS

BLOGS & OTHER ETHICS SOURCES ON-LINE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

JUDICIAL ETHICS ON-LINE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13


                                                             1
Analyzing an
Ethics Issue . . . .

                           Issue?


                         Is there a
                       Constitutional
                     provision, statute
                      and/or rule of
                        professional
                   conduct that applies?


                  Any relevant case law in
                     the jurisdiction?

                 Any relevant local rules?

          Any opinions of local or regional ethics
                       committees?

     What do treatises & national ethics authorities
             have to say about the issue?

              What strategy will best resolve
    the issue consistent with counsel’s legal and ethical
       obligations and duties to the client, tribunal,
              other counsel and third parties?
                             FEDERAL LAW ON-LINE

U.S. CONSTITUTION

U.S. Const., Amen. VI (right to assistance of counsel), XIV -
http://www.law.cornell.edu/constitution/constitution.billofrights.html#amendmentvi

FEDERAL STATUTES

U.S. Code, Title 18 -
http://www.access.gpo.gov/uscode/title18/title18.html

      See, e.g, Sections:
      2 (principals, aiding & abetting)
      3 (accessory after the fact)
      4 (misprision of felony)
      371 (conspiracy)
      401-03 (contempt of court)
      1001 (fraud, false statements)
      1341 (mail fraud)
      1343 (wire fraud)
      1510 (obstruction of justice)
      1621-23 (perjury, subornation, false declarations)
      1956-57 (money laundering)

FEDERAL CASE LAW

The federal libraries of Westlaw and Lexis contain case law adjudicating ethics issues
from the U.S. Supreme Court, Circuit Courts of Appeals and U.S. District Courts.

FEDERAL RULES

Federal Rules of Appellate Procedure (2007) -
http://www.law.cornell.edu/rules/frap/

(see also amendments 3/26/09
http://www.supremecourtus.gov/orders/courtorders/frap09.pdf)

      See, e.g., Rule 46 (attorney admission, suspension, disbarment)


                                            3
Federal Rules of Civil Procedure (Dec. 1, 2007) - http://www.law.cornell.edu/rules/frcp/

      See, e.g., Rules:
      4.1 (service, enforcement of civil contempt orders)
      11 (representations to court; sanctions)
      16(f) (pretrial conference violation; sanctions)
      26(b)(3) (attorney work-product)
      37(b) (discovery order violation; contempt)
      45(e) (subpoena violation; contempt)
      56(g) (summary judgment, bad faith affidavit; contempt)

Federal Rules of Criminal Procedure (2009) -
http://www.law.cornell.edu/rules/frcrmp/

      See, e.g., Rules:
      42 (contempt)
      44 (appointment of counsel)

Federal Rules of Evidence (2009) -
http://www.law.cornell.edu/rules/fre/

      See, e.g., Rule 501 (attorney-client privilege)

RULES OF FEDERAL COURTS

Local Rules of the U.S. Supreme Court, Courts of Appeals, District Courts

      See, e.g.,
      Ninth Circuit Court of Appeals, Local Rule 46-2 (suspension, disbarment or
      discipline) -
      http://www.ca9.uscourts.gov/rules/FRAP/rules.htm

      Standards for Professional Conduct Within the Seventh Federal Judicial Circuit -
      http://www.ca7.uscourts.gov/Rules/rules.htm#standards




                                             4
                            CALIFORNIA LAW ON-LINE

CALIFORNIA CONSTITUTION

Cal. Const., art. I, Sec 15 (right to counsel) -
http://www.leginfo.ca.gov/.const/.article_1

CALIFORNIA STATUTES

Cal. Bus. & Prof. Code, Sections 6000 et seq. (The State Bar Act) -
http://law.justia.com/california/codes/bpc.html

      See, e.g., Sections:
      6068 (15 duties of attorney)
      6125-6133 (unlawful practice of law)
      6127 (contempt of court)
      6128 (wilful deceit, collusion, delay; misdemeanor)
      6129 (buying claims)
      6148 (written retainer)

Cal. Code Civ. Procedure -
http://law.justia.com/california/codes/ccp.html

      See, e.g., Sections:
      177.5 (violation of court order)
      284-86 (replacement of counsel)
      209-22 (civil contempt)

Cal. Evidence Code -
http://law.justia.com/california/codes/evid.html

      See, e.g., Rules:
      916-17 (lawyer-client privilege where no person authorized to claim privilege)
      950-62 (lawyer-client privilege)

Cal. Health & Safety Code -
http://law.justia.com/california/codes/hsc.html

      See, e.g., Sections 11470, 11488.4 (forfeiture of tainted retainer)


                                               5
Cal. Penal Code -
http://law.justia.com/california/codes/pen.html

      See, e.g., Sections:
      95 (improper contacts with juror)
      118-131 (perjury, subornation)
      132-41 (falsifying or destroying evidence, bribing or intimidating witness)
      166 (criminal contempt)
      686 (right to counsel)
      987.05 (unpreparedness without good cause; contempt)
      1054.5(b) (failure to provide discovery; contempt)

CALIFORNIA RULES OF PROFESSIONAL CONDUCT

California Rules of Professional Conduct -
http://calbar.ca.gov/calbar/pdfs/rules/Rules_Professional-Conduct.pdf

      See, e.g., Rules:
      2-100 (contacts with represented party)
      2-200 (referral fees/fee splitting)
      3-100 (confidential information of client)
      3-110 (failing to act competently)
      3-200 (prohibited objectives of employment)
      3-120 (sexual relations with client)
      3-210 (advising the violation of law)
      3-300 (avoiding interests adverse to client)
      3-310 (avoiding the representation of adverse interests)
      3-500 (keeping client reasonably apprised)
      3-510 (communicating settlement offers to client; criminal and civil matters)
      3-700 (termination of employment; mandatory and permissive withdrawal)
      4-200 (fees)
      5-100 (threats of prosecution to obtain civil advantage)
      5-120 (trial publicity)
      5-200 (candor to tribunal)
      5-210 (attorney as witness)
      5-220 (suppression of evidence)
      5-300 (ex parte communications with court)
      5-310 (prohibited contact with witnesses)
      5-320 (contact with jurors)


                                            6
CALIFORNIA CASE LAW & STATE BAR COURT OPINIONS


The California libraries Westlaw and Lexis contain case law regarding ethics issues
from the Supreme and appellate courts. California also has a State Bar Court, which
adjudicates misconduct cases and issues opinions that are included in the Westlaw CA-
CS, CAETH-CS and METH-CS (multi-state) libraries, and in the Lexis CABAR library.

ETHICS OPINIONS OF COPRAC

Westlaw‘s CAETH-EO library contains advisory opinions of the California State Bar
Committee on Professional Responsibility & Conduct (“COPRAC”) regarding the propriety
of hypothetical attorney conduct.

RULES OF THE STATE BAR OF CALIFORNIA

Rules of the State Bar of California, the administrative arm of the California Supreme
Court in matters relating to attorney admission and discipline (including, e.g., members’
rights & responsibilities, and disciplinary procedures) -
http://calbar.ca.gov/state/calbar/calbar_generic.jsp?cid=14045&id=33461


CALIFORNIA RULES OF COURTS

Rules of Court of the California Supreme Court, Courts of Appeal, Superior Court
See www.courtinfo.ca.gov/

California Rules of Court -
http://www.courtinfo.ca.gov/rules/

      See Title 9 (admission, disciplinary proceedings, State Bar review) & e.g., Rules:
      2.30 (sanctions for rule violations, civil cases)
      3.1030 (sanctions for discovery violations)

California Courts of Appeal, Local Rules -
http://www.courtinfo.ca.gov/courts/courtsofappeal/

Superior Courts of the State of California, Local Rules -
http://www.courtinfo.ca.gov/rules/localrules.htm




                                             7
                       NATIONWIDE SOURCES ON-LINE

PATHFINDERS

ABA Center for Professional Responsibility -
http://www.abanet.org/cpr/professionalism/home.html - comprehensive library of on-line
ethics resources.

ABA Center for Professional Responsibility -
http://www.abanet.org/cpr/links.html#States - state-by-state listing of links to
professional responsibility codes, ethics opinions, judicial codes, hotlines and practice
materials.

American Legal Ethics Library -
 http://www.law.cornell.edu/ethics/ – comprehensive library of on-line ethics resources,
including superlative listing by jurisdiction and issue.

Association of Professional Responsibility Lawyers - http://www.aprl.net/links.htm -
research links to many sources of information regarding professional responsibility and
legal ethics.

National Conference on Professional Responsibility: Resource List -
http://www.okcu.edu/law/lawlib/staff/pdfs/ABAresearch.pdf -
links to numerous resources for basic and more advanced research.


CASE LAW REGARDING ETHICS

Westlaw contains multi-state ethics case law in the METH-CS library; use XXETH-CS for
an individual state, where XX is the state’s postal abbreviation. Lexis contains ethics
cases from all states; within a state’s library, the ETHICS file contains cases; the ethics
opinions and cases of 36 states and D.C. are combined in the ETHICS library.


TREATISES

ABA/BNA Lawyers’ Manual on Professional Conduct – available on Westlaw and Lexis
Lexis – A practical guide to the analysis of ethical issues, organized into four main
sections (Practice Guides, Ethics Rules, Current Reports & Ethics Opinions), and
searchable by keyword.



                                              8
Freivogel on Conflicts - http://www.freivogelonconflicts.com/ - Ethics consultant Bill
Freivogel’s guide to conflicts of interest for lawyers.

The Restatement of the Law, 3d – The Law Governing Lawyers – available on Westlaw and
Lexis – Rules of ethics largely drawn from the ABA Model Rules and Model Code,
including citations to court decisions, ABA ethics opinions, treatises, law review articles,
and other authorities.

John M. Burkoff, Criminal Defense Ethics: Law & Liability (2007-08) - Comprehensive
review of criminal defense law and ethics, sold at:
http://west.thomson.com/store/product.aspx?product_id=13512525

John Wesley Hall, Professional Responsibility in Criminal Defense Practice (2005-08) -
Comprehensive guidance for criminal defense counsel to resolve ethics issues in practical
ways, sold at: http://west.thomson.com/product/13516342/product.asp

Richard E. Flamm, Lawyer Disqualification: Conflicts of Interest & Other Bases (2003 &
Supp. 2007), sold at: http://www.banksandjordan.com/catalog.html

NATIONAL CODES OF CONDUCT


ABA Model Rules of Professional Conduct (2009) –
http://www.abanet.org/cpr/mrpc/mrpc_toc.html


ABA Standards Relating to the Administration of Justice: The Defense Function
(3d Ed., 1993) - http://www.abanet.org/crimjust/standards/dfunc_toc.html


American College of Trial Lawyers - Codes of Pretrial & Trial Conduct (2004) -
http://www.actl.com/AM/Template.cfm?Section=All_Publications&Template=/CM/
ContentDisplay.cfm&ContentFileID=59


Code of Conduct for Federal Public Defender Employees -
http://www.uscourts.gov/guide/vol2/ch2b.html

Standards of Professional Conduct for Attorneys Appearing & Practicing Before the SEC
in the Representation of an Issuer -Title 17 C.F.R. Part 205 -
http://www.access.gpo.gov/nara/cfr/waisidx_03/17cfr205_03.html




                                             9
STATE CODES OF CONDUCT & ETHICS SOURCES

Westlaw includes states’ professional responsibility codes in a database of court rules;
the identifier is XX-RULES, where XX is the state’s postal abbreviation. Lexis (Legal >
Area of Law - By Topic > Ethics > Find Statutes & Rules > By State) contains the
statutory codes of each state, not just codes of ethics.

Prof. David Hricik’s links to states ethics rules & opinions nationwide -
http://www.hricik.com/business.html [click on “State Ethics Links”]

Alabama - http://www.alabar.org/ogc/fopList.cfm
Alaska - http://www.alaskabar.org/index.cfm?ID=5359
Arizona - http://www.myazbar.org/Ethics/
Arkansas - http://www.arkbar.com/resources/resources_eth_disc.html
California - http://www.calbar.ca.gov/state/calbar/calbar_home.jsp
[Click on “Attorney Resources” & “Ethics Information”]
Colorado - http://www.cobar.org/static/comms/ethics/fo_nondx.htm
Delaware - http://www.dsba.org/AssocPubs/ethics.htm
District of Columbia - http://www.dcbar.org/for_lawyers/ethics/legal_ethics/index.cfm
Florida - http://www.flabar.org [click “Professional Practice” or "Ethics Opinions"]
Georgia - http://www.gabar.org/ethics/advisory_opinions
Hawaii - http://www.hawaii.gov/ethics/opinions/AO.htm
Indiana - http://www.inbar.org/content/legalethics/legalethics2.asp
Kentucky - http://www.uky.edu/Law/Library/ky_ethics_opinions.html
Maine - http://www.mebaroverseers.org/index.asp [click on "Ethics Opinions"]
Massachusetts - http://www.massbar.org/for-attorneys/publications/ethics-opinions
Michigan - http://www.michbar.org/opinions/ethicsopinions.cfm
Minnesota - http://www.courts.state.mn.us/lprb/opinions.html
Mississippi - http://www.msbar.org/ethic_opinions.php
Missouri - http://www.mobar.org/ [click “Professionalism” or "Ethics Opinions"]
Montana - http://www.montanabar.org/ [click on "Ethics Opinions"]
Nebraska - http://www.supremecourt.ne.gov/rules/pdf/profresp-31.pdf and
http://www.nebar.com/ethics/index.htm [click on "Ethics Opinions"]
Nevada - http://www.nvbar.org/Ethics/Ethics_Opinions.htm
New Hampshire - http://www.nhbar.org/publications/ethics/default.asp
New Jersey - http://lawlibrary.rutgers.edu/ethics/search.shtml
New Mexico - http://www.nmbar.org/Template.cfm?Section=Opinion_Summaries
New York - http://www.nysba.org/ [Click on “For Attorneys”]
North Carolina - http://www.ncbar.com/ethics/eth_articles.asp


                                             10
North Dakota - http://www.sband.org/Ethics/
Ohio Supreme Court - http://www.sconet.state.oh.us/BOC/default.asp
Oklahoma - http://www.okbar.org/ethics
Oregon - http://www.osbar.org/ethics/ethicsops.html
Pennsylvania - http://www.padisciplinaryboard.org/documents/Pa%20RPC.pdf
Rhode Island - http://www.courts.state.ri.us/supreme/ethics/defaultethics.htm
South Carolina - http://www.scbar.org/member/ethics.asp
South Dakota - http://www.sdbar.org
Tennessee - http://www.tbpr.org/Attorneys/EthicsOpinions/
Texas - http://www.txethics.org/reference_opinions.asp
Utah - http://www.utahbar.org/opinions/index.html
Vermont - http://www.vtbar.org/static/vtbar/ [Click on “Attorney Resources” &
“Advisory Ethics Opinions”]
Virginia Continuing Legal Education - http://www.vacle.org/leo.htm
Washington - http://www.wsba.org/lawyers/ethics/
West Virgina - http://www.wvbar.org/BARINFO/odc/LEIs/chrono_index.htm
Wisconsin - http://www.wisbar.org/ethop/


STATE ORGANIZATIONS’ ETHICS OPINIONS

Westlaw contains ethics opinions from 20 states. The identifier is XXETH-EO, where
XX is the state’s postal abbreviation. Lexis contains ethics opinions from the National
Reporter on Legal Ethics and Professional Responsibility.


NATIONAL, REGIONAL AND LOCAL ORGANIZATIONS

American Bar Association - http://www.abanet.org/cpr/pubs/ethicopinions.html –
Summaries of Formal Ethics Opinions of the ABA’s Standing Committee on Ethics and
Professional Responsibility (including links to opinions).

California - Los Angeles County Bar Ass’n -
http://www.lacba.org/showpage.cfm?pageid=427 and
http://www.lacba.org/showpage.cfm?pageid=4320

California - Orange County Bar Ass’n - http://www.ocbar.org [Click on “Ethics Opinions”]

California - San Diego County Bar Ass’n -
http://www.sdcba.org/ethics/ethicsopinons_toc.html



                                            11
California - San Francisco Bar Association - http://www.sfbar.org/ethics/index.aspx

National Association of Criminal Defense Lawyers –
http://www.nacdl.org/private.nsf/Committees/ethics?OpenDocument –
Ethics Opinions of the NACDL Ethics Advisory Committee, frequently asked questions,
and advice regarding the analysis of ethics questions for criminal defense counsel.

New York City Bar Ass’n - http://www.abcny.org [click on "Reports/Publications"]

New York County Lawyers Ass’n - http://www.nycla.org/ [click on "News and Publications"
then "Ethics Opinions"]

New York - Nassau County Bar Ass’n - http://www.nassaubar.org/ethic_opinions.cfm

New York - Suffolk County Bar Ass’n - http://www.scba.org [click on "Ethics Opinions"]

New York State Defender’s Organization, Ethics Resources -
http://www.nysda.org/html/ethics_resources.html

Ohio - The Cleveland Law Library Assoc. - Legal Ethics & Prof. Responsibility -
http://www.clelaw.lib.oh.us/Public/Misc/REGUIDES/guide4B.html

                  BLOGS & OTHER ETHICS SOURCES ON-LINE

Ethics Opinion Summaries - http://www.mcguirewoods.com/services/leo/ - Attorney Tom
Spahn’s summaries of Virginia and ABA Legal Ethics Opinions (including links to opinions).

LegalEthics.com - http://www.legalethics.com - Prof. David Hricik and Peter Krakaur
focus on ethical issues associated with the use of technology.

Legal Ethics Forum - http://legalethicsforum.typepad.com/blog/ - Profs. John
Dzienkowski, John Steele & Brad Wendel, Eds. Blog & extensive links.

Legal Ethics Research Online and Off: A Workshop -
http://www.okcu.edu/law/lawlib/staff/pdfs/ABAresearch.pdf
 - Steve Young & Lee Faircloth Peoples. Comprehensive tutorial & extensive links.

Legal Profession Blog - http://lawprofessors.typepad.com/legal_profession/ - Profs. S.
Alan Childress, Michael S. Frisch & Jeffrey M. Lipshaw, Eds. Blog & extensive links.


                                            12
sunEthics - http://www.sunethics.com/ – Ethics links for Florida lawyers.

The Boundaries of Legal Ethics and Marketing - http://www.willhornsby.com/ - Attorney
Will Hornsby provides extensive resources on marketing and legal ethics.

                          JUDICIAL ETHICS ON-LINE

ABA Model Code of Judicial Conduct (2007) –
http://www.abanet.org/judicialethics/ABA_MCJC_approved.pdf

American Judicature Society - http://www.ajs.org/ethics/eth_conduct-orgs.asp – State
organizations charged with investigating allegations of misconduct by state judges.

New York State Commission on Judicial Conduct - http://www.scjc.state.ny.us/ -
Opinions and other information.

Ninth Circuit - Judicial Misconduct -
http://www.ce9.uscourts.gov/misconduct/judicial_misconduct.html - Rules, complaint
form, orders.

U.S. Courts – Code of Conduct for United States Judges –
http://www.uscourts.gov/guide/vol2/ch1.html




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                                         ABOUT THE AUTHOR

                               Law Offices of Evan A. Jenness
                               Main Street Law Building
                               2115 Main Street
                               Santa Monica, CA 90405

                               Tel. 310.399.3259
                               Fax 310.392.9029




       Evan A. Jenness is a criminal defense attorney with extensive experience in
federal and state courts, and has been named one of the Best Lawyers in America, and a
2009 Southern California Super Lawyer. Her practice is devoted exclusively to
representing individuals and organizations in investigations, pre-trial, trial and appellate
proceedings. Other areas of expertise include extradition, sentencing mitigation and
legal ethics.

       She an experienced trial attorney, having tried federal cases involving a wide
variety of complex felony matters, ranging from securities fraud, bank fraud and import
violations, to Internet pornography and narcotics conspiracy.

      She has been admitted to the State Bar of California since 1988, and is a member
of the National Association of Criminal Defense Attorneys (Co-Chair, Ethics Advisory
Committee; Board Member); Federal Bar Association (Board Member, Los Angeles
Chapter); Los Angeles County Bar Association (Sec’y, Professional Responsibility & Ethics
Committee); American Bar Association (Southern California Regional White Collar Crime
Committee); and California Attorneys for Criminal Justice; and is a Lawyer
Representative, Ninth Circuit Judicial Conference.

       She obtained her juris doctor degree from Columbia University Law School and
thereafter was a law clerk to the (late) Hon. Harry L. Hupp in the Central District of
California. She is a former deputy federal public defender, and is a periodic lecturer and
author on criminal law and procedure, and professional responsibility.

      She welcomes input on the accompanying outline from other members of the legal
community. Please feel free to send suggested additions or revisions to her
(evan@jennesslaw.com).


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