Rule 9.2 General information

Inquiries to the Ethics Advisory Panel should be sent to:

Rhode Island Supreme Court Ethics Advisory Panel John E. Fogarty Judicial Annex 24 Weybosset Street -- 2nd Floor Providence, RI 02903

APPENDIX I

STANDARDS FOR PROFESSIONAL CONDUCT WITHIN THE RHODE ISLAND JUDICIAL SYSTEM

Preamble Lawyers and judges are entrusted with the obligation to support and advance our justice system. To meet that responsibility, and to ensure the system functions fairly and efficiently, lawyers and judges must not only abide by the Rules of Professional Conduct and the Code of Judicial Conduct but must also conduct themselves at all times in a courteous, civil and professional manner. Conduct that may be characterized as uncivil, abrasive, hostile or obstructive impedes the fundamental goal of the justice system to resolve disputes rationally, peacefully and efficiently. A lawyer's conduct should at all times be characterized by personal courtesy and professional integrity in the fullest sense of those terms. In fulfilling their obligation to represent clients vigorously, lawyers must be mindful of their obligation to support and advance the administration of justice. A judge's conduct should be characterized at all times by courtesy and patience toward all participants. Judges owe respect, diligence, punctuality and protection against unjust and improper criticism or attacks to all who appear before them in court. The following standards are designed to encourage the judges and lawyers of the State of Rhode Island to meet their obligations to each other, to litigants and to the system of justice, and thereby achieve the twin goals of civility and professionalism, both of which are hallmarks of a learned profession dedicated to public service. These standards should be reviewed and followed by all judges and lawyers participating in any proceeding within the State of Rhode Island. Judges and lawyers are expected to make a mutual and firm commitment to these principles. Voluntary adherence is expected as part of a commitment by all participants to improve the administration of justice within the State of Rhode Island. Copies may be made available to clients to reinforce the obligation to maintain and foster these standards. Strict adherence to these standards, particularly those relating to a lawyer's obligations to the court and to other counsel, may conflict with the interests and desires of a client who does not share or support our duty to advance the administration of justice. The standards anticipate that lawyers will resist pressure from clients to engage in behavior which is inconsistent with these principles. If the client continues to insist that the lawyer pursue a course of conduct contrary to these standards, the lawyer should, subject to the court's discretion, seek to sever or withdraw from that representation. These standards shall not be used as a basis for litigation or for sanctions or penalties. Nothing in the standards supersedes or detracts from the existing Rules of Professional Conduct and the Code of Judicial Conduct or alters existing standards of conduct against which lawyer negligence may be determined. A. Lawyers' Obligations To Clients: 1. I will treat my clients with courtesy and civility and conduct myself in a professional manner at all times. 2. I will be loyal to my client's confidences and secrets. 3. I will keep my clients informed and involved in making the decisions that affect them. 4. I will communicate regularly with my client and will respond promptly and courteously to my client's communications. 5. I will endeavor to reach clear agreements with clients concerning the scope of the representation. 6. I will be loyal and committed to my client's cause, but I will not permit that loyalty and commitment to interfere with my ability to provide my client with objective and independent advice. 7. I will endeavor to achieve my client's lawful objectives in business transactions and in litigation as expeditiously and economically as possible. 8. In appropriate cases, I will counsel my client with respect to mediation, arbitration and other alternative methods of resolving disputes. 9. I will advise my clients against pursuing litigation (or any other course of action) that is without merit and against insisting on tactics which are intended to delay resolution of the matter or to harass or drain the financial resources of the opposing party. 10. While I must abide by my client's decision concerning the objectives of the representation, I nevertheless will counsel my client that a willingness to initiate or engage in settlement discussions is consistent with zealous and effective representation. 11. While I recognize that disagreements between parties may cause harsh feelings, I will act with compassion and not make personal attacks on other parties, their lawyers or the court. 12. I will advise my client that civility and courtesy are not to be equated with weakness. 13. I will not acquiesce to the demand of a client that I abuse the principles set forth in these standards while acting in his or her behalf. B. Lawyer's Obligations To Opposing Parties and Their Counsel: 1. I will practice my profession with a continuing awareness that my role is to advance the legitimate interests of my clients. In my dealing with others I will not reflect the ill feelings of my clients. I will treat all other counsel, parties and witnesses in a civil and courteous manner, not only in court, but also in all other written and oral communications. 2. I will not, even when called upon by a client to do so, abuse or indulge in offensive conduct directed to other counsel, parties or witnesses. I will abstain from disparaging personal remarks or acrimony toward other counsel, parties, or witnesses. I will treat adverse witnesses and parties with fair consideration. 3. I will not encourage or knowingly authorize any person under my control to engage in conduct that would be improper if I was to engage in such conduct. 4. I will avoid attributing bad motives or improper conduct to other counsel or bringing the profession into disrepute by public accusations of impropriety. 5. I will not seek court sanctions without first conducting a reasonable investigation and unless fully justified by the circumstances and necessary to protect my client's lawful interests. 6. I will in good faith adhere to all express promises and to agreements with other counsel, whether oral or in writing, and to all agreements implied by the circumstances or local customs. 7. When I reach an oral understanding with other counsel on a proposed agreement or stipulation and a decision is made to commit it to writing I will endeavor in good faith to state the oral understanding accurately and completely. 8. I will endeavor to confer early with other counsel to assess settlement possibilities. I will not falsely hold out the possibility of settlement to obtain unfair advantage. 9. In civil actions, I will stipulate to relevant matters if they are undisputed and if no good faith advocacy basis exists for not stipulating. 10. I will not use any form of discovery or discovery scheduling as a means of harassment. 11. Whenever circumstances allow, I will make good faith efforts to resolve by agreement objections before presenting them to the court. 12. I will not request an extension of time solely for the purpose of unjustified delay or to obtain unfair advantage. 13. I will consult other counsel regarding scheduling matters in a good faith effort to avoid scheduling conflicts. 14. I will endeavor to accommodate previously scheduled dates for hearings, depositions, meetings, conferences, vacations, seminars, or other functions that produce good faith calendar conflicts on the part of other counsel. 15. I will promptly notify other counsel and, if appropriate, the court or other persons when hearings, depositions, meetings, or conferences are to be canceled or postponed. 16. I will agree to reasonable requests for extensions of time and for waiver of procedural formalities, provided my client's legitimate rights will not be materially or adversely affected. 17. I will take depositions only when actually needed. I will not take depositions for the purposes of harassment or other improper purpose. 18. I will not engage in any conduct during a deposition that would not be appropriate in the presence of a judge. 19. I will not obstruct questioning during a deposition or object to deposition questions unless permitted under applicable law. 20. During depositions I will ask only those questions I reasonably believe are necessary and appropriate for the prosecution or defense of an action. 21. I will carefully craft document production requests so they are limited to those documents I reasonably believe are necessary and appropriate for the prosecution or defense of an action. I will not design production requests to place an undue burden or expense on a party, or for any other improper purpose. 22. I will respond to document requests reasonably and not strain to interpret requests in an artificially restrictive manner to avoid disclosure of relevant and non-privileged documents. I will not produce documents in a manner designed to hide or obscure the existence of particular documents, or to accomplish any other improper purpose. 23. I will carefully craft interrogatories so they are limited to those matters I reasonably believe are necessary and appropriate for the prosecution or defense of an action, and I will not design them to place an undue burden or expense on a party, or for any other improper purpose. 24. I will instruct my client to respond to interrogatories reasonably and will not strain to interpret them in an artificially restrictive manner to avoid disclosure of relevant and non-privileged information, or for any other improper purpose. 25. I will base my discovery objections on a good faith belief in their merit and will not object solely for the purpose of withholding or delaying the disclosure of relevant information, or for any other improper purpose.

26. When an order is to be prepared by counsel to reflect a court ruling, I will promptly draft an order that accurately and completely reflects the court's ruling. 27. I will not ascribe a position to another counsel that counsel has not taken. C. Lawyers' Obligations To The Court and Other Tribunals: 1. I will be a vigorous advocate, while paying heed to the concept of common courtesy. I recognize that excessive zeal is injurious to my client's interests and the proper functioning of our system of justice. 2. I will communicate with opposing counsel in an effort to avoid litigation and to resolve existing litigation. 3. I will not file frivolous motions. 4. I will voluntarily withdraw claims or defenses when it becomes apparent they do not have merit. 5. I will attempt to resolve, by agreement, my objections to matters contained in my opponent's pleadings and discovery requests. 6. I will endeavor to be punctual in attending court hearings, conferences and depositions. If I expect to be late or must cancel, I will notify opposing counsel and the court as early as possible. 7. Before dates for hearings or trials are set -- or if that is not feasible, immediately after such dates have been set -- I will attempt to verify the availability of key participants and witnesses so that I can promptly notify the court and opposing counsel of any likely problem in that regard. 8. I will at all times be candid with the court. I will not knowingly misrepresent, mischaracterize, misquote or miscite facts or authorities in any oral or written communication to the court. 9. I will not engage in any conduct that brings disorder or disruption to the courtroom. I will advise my clients and witnesses appearing in court of the proper conduct expected and required there and, to the best of my ability, will prevent my clients and witnesses from creating disorder or disruption. 10. I will speak and write civilly and respectfully in all communications with the court. 11. I will act and speak civilly to court reporters, clerks, sheriffs, secretaries and law clerks with an awareness that they, too, are an integral part of the judicial system. D. Lawyers' Obligations To The Public and To Our System of Justice: 1. I will keep current in my practice areas and, when necessary, will associate with or refer my clients to counsel knowledgeable in other practice areas.

2. I will be mindful of the fact that, as a member of a self-regulating profession, it is incumbent on me to report violations by fellow lawyers of any disciplinary rules and to support my profession's efforts to enforce its disciplinary rules. 3. I will uphold the image of the legal profession and the judiciary in the eyes of the public and will be so guided when considering methods and content of advertising. 4. I will be mindful of the concept, "equality of rights under the law," and of the need to keep the legal system free from discrimination. 5. I will be mindful that the law is a learned profession and that among its desirable goals are devotion to public service, improvement of administration of justice, and the contribution of uncompensated time on behalf of those persons who cannot afford adequate legal assistance. E. Judges' Obligations To Lawyers, Parties and Witnesses: 1. I will be fair, courteous and civil toward lawyers, parties and witnesses. 2. I recognize that I have the duty and authority to maintain control of the courtroom proceedings, and to insure that all such proceedings are conducted in a civil manner. 3. I will not employ hostile, demeaning or humiliating language in written or spoken form to lawyers, parties or witnesses. I will not allow others in the courtroom to employ hostile, demeaning or humiliating language. 4. I will endeavor to be punctual in convening all proceedings. If I am unable to proceed in a timely manner, I will see to it that counsel are notified, if possible. 5. I will take into consideration the time constraints on lawyers, parties and witnesses in scheduling courtroom proceedings. 6. I will endeavor to efficiently dispose of matters brought before me. 7. I will give each matter brought before the court diligent, independent and appropriate consideration. 8. In hearing and deciding matters brought before me, I will, within the practical limits of time, permit lawyers to present proper arguments and to make a complete and accurate record. 9. I will require court personnel to act civilly toward lawyers, parties and witnesses. F. Judges' Obligations To Each Other: 1. I will be fair, courteous and civil toward another judge's opinion, taking into account that a position articulated by another judge is the product of that judge's diligent effort to interpret the law and the facts correctly. 2. I will not employ hostile, demeaning or disparaging personal comments or criticisms about another judge. 3. In reaching our common goal of enhancing the administration of justice, I will endeavor to cooperate and work with other judges.

APPENDIX II

NOTIFICATION TO CLIENTS OF THEIR RIGHTS AND RESPONSIBILITIES

Preamble Good communication is essential to an effective attorney-client relationship. A lawyer should be assured that a new or prospective client has a full understanding of the nature of the attorney-client relationship, including what the client can reasonably expect from the lawyer and what the lawyer can reasonably expect from the client. If the client does not have such an understanding, the lawyer shall take reasonable steps to educate the client about the relationship. The Client's Statements of Rights and Responsibilities set out below is designed to provide an outline of the lawyer's expectations of the client and the client's expectations of the lawyer. The lawyer may use the Client's Statement of Rights and Responsibilities to inform a new or prospective client of those expectations. The Client's Statement of Rights and Responsibilities is not, however, the exclusive method by which a lawyer might so inform the client. The Client's Statement of Rights and Responsibilities shall not be used as a basis for litigation or for sanctions or penalties. The Client's Statement of Rights and Responsibilities does not supersede or detract from the Rules of Professional Conduct, nor does the Client's Statement of Rights and Responsibilities alter existing standards of conduct against which lawyer negligence may be determined. A. Application When a lawyer has not regularly represented a client, the lawyer shall provide the prospective client with a statement of the client's rights and responsibilities. The lawyer shall give this information to the client prior to the signing of a written retainer agreement and shall obtain a signed acknowledgment of its receipt. The rights set forth in this statement are intended to be consistent with the standards mandated by the Rules of Professional Conduct. This statement does not supersede the obligations imposed by the Rules of Professional Conduct, and is intended as a explanation to the client of their rights under the Rules and their responsibilities in the attorney/client relationship. The text of the rules remains authoritative.

B. Statement of Rights and Responsibilities The statement shall contain the following: A Client's Statement of Rights and Responsibilities In an attorney/client relationship each party has certain rights. A right that both parties have is to be treated at all times with courtesy and respect. This statement first explains your rights as a client when you hire an attorney, and immediately afterwards, what your attorney has the right to expect of you. This statement is intended to promote better communication and prevent misunderstandings between you and your attorney. As the client in a legal matter, you have the right to expect that: 1. Your attorney will handle your legal matter competently. • When hiring an attorney you have the right to ask questions about the attorney's education, training, and experience and expect that your attorney will remain current with recent developments in the law that relate to your matter. 2. Your attorney will charge you a reasonable fee and explain how it will be computed and when payments are expected from you. • If you are not a regular client, your attorney will give you a written statement before, or as soon as the work begins indicating the basis or rate of the fee you will be charged. • If you are asked to pay a retainer, your attorney will explain how it will be spent and, if you ask, will provide you with a periodic written statement detailing how it has been spent. • If your attorney is working on a contingent-fee basis, your attorney will put in writing, in advance, what the attorney's percentage will be, whether you will be billed for costs and expenses, and whether deductions will be taken from your settlement prior to calculating the fee. 3. Your attorney will work diligently for you and pursue the lawful means necessary to present or defend your case. 4. Your attorney will strive to resolve your legal matter promptly and will inform you if for any reason it cannot be resolved in a timely fashion. 5. Your attorney will respond to reasonable questions about the progress of your legal matter and will explain office policies to you to ensure satisfactory communication with you, including: • how to reach your attorney • when and how your telephone calls will be returned • how to obtain copies of paper/documents from your legal file.

6. Your attorney will exercise independent, professional judgment on your behalf free from any conflict of interest. 7. Most of your communications with your attorney are confidential. Your attorney will explain to you when the statements you make or secrets you reveal about your case cannot be kept confidential. 8. You have the right to make final decisions regarding your legal matter. • Your attorney will discuss the negotiation process with you and will agree to a settlement offer only if you have approved it. 9. Your attorney will explain to you, in advance, any major expenses anticipated in your legal matter. 10. Your attorney will tell you if other lawyers will be involved in your representation and how the cost to you for their involvement will be calculated. 11. When your fee is not a single, set amount, your attorney will give you periodic billings detailing your fees, costs, and expenses. 12. If legal fees will be applied against a settlement, your attorney will provide you with a final statement after the matter is concluded detailing what costs and expenses are being applied against your settlement and the amount you will receive. As your legal advisor, your attorney has the right to expect that: 1. You will make a full and honest disclosure of all of the facts -- good and bad -- that relate to your legal matter, and you will inform your attorney about any new facts or circumstances that may affect your case as they arise. 2. You will adhere to your fee agreement with your attorney, pay your bills for all work that has been performed, and pay for all costs that were advanced for you. If you have any questions about your bill, you will discuss them with your attorney. 3. You will seek your attorney's advice before discussing any information relating to your legal matter with others. 4. You will tell your attorney if you have any concerns or reservations about the advice you are being given. 5. You will be on time for all court hearings and appointments with your attorney or let your attorney know in advance if you cannot be on time. 6. If you cannot reach your attorney when you phone the office, you will leave your name and phone number and a brief message. 7. You will complete the tasks requested by your attorney in a timely fashion or let your attorney know when you cannot. 8. You will discuss your expectations about what you want to accomplish in your legal matter with your attorney. When your expectations are not being met, you will talk to your attorney about it. You have the right to change attorneys if you are dissatisfied with the representation you are receiving. However, in certain circumstances you will need the court's permission. It is also important for you to know that your attorney may decide to stop representing you. This may be due to your not meeting your obligations to your attorney or for some other reason. This too may require court permission. This Client's Statement of Rights and Responsibilities is based on the Rhode Island Rules of Professional Conduct for attorneys. If you have any questions about this statement of your rights and obligations, you should contact the Rhode Island Bar Association at (401) 421-5740.