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MAINTAINING THE INTEGRITY provisions of the Code of Judicial Conduct. obligation to those offenses that a self-reguOF THE PROFESSION

lating profession must vigorously endeavor COMMENT:

to prevent. A measure of judgment is, there

fore, required in complying with the provi

Assessments by lawyers are relied on in sions of this Rule. The term "substantial" RULE 8.1 Bar Admission and Disciplinary evaluating the professional or personal fil- refers to the seriousness of the possible of. Matters ness of persons being considered for election

fense and not the quantum of evidence of An applicant for admission to the bar, or or appointment to judicial office and to

which the lawyer is aware. A report should a lawyer in connection with a bar admission public legal offices, such as attorney gener

be made to the bar disciplinary agency application or in connection with a disciplin

al, prosecuting attorney and public defend- unless some other agency, such as a peer

er. Expressing honest and candid opinions review agency, is more appropriate in the ary matter, shall not:

on such matters contributes to improving circumstances. Similar considerations apply (a) knowingly make a false statement of

the administration of justice. Conversely, to the reporting of judicial misconduct. material fact; or

false statements by a lawyer can unfairly (b) fail to disclose a fact necessary to undermine public confidence in the admin

The duty to report professional misconcorrect a misapprehension known by the istration of justice.

duct does not apply to a lawyer retained to person to have arisen in the matter, or ow

represent a lawyer whose professional con

When a lawyer seeks judicial office, the duct is in question. Such a situation is ingly fail to respond to a lawful demand for

lawyer should be bound by applicable limi- governed by the rules applicable to the information from an admissions or disciplin- tations on political activity.

client-lawyer relationship. ary authority, except that this Rule does not

To maintain the fair and independent require disclosure of information otherwise

administration of justice, lawyers are en- RULE 8.4 Misconduct protected by Rule 1.6.

couraged to continue traditional efforts to COMMENT: defend judges and courts unjustly criticized.

It is professional misconduct for a lawyer

to: The duty imposed by this Rule extends to RULE 8.3 Reporting Professional

(a) violate or attempt to violate the Rules persons seeking admission to the bar as well Misconduct

of Professional Conduct, knowingly assist or as to lawyers. Hence, if a person makes a

induce another to do so, or do so througb the material false statement in connection with

(a) A lawyer having knowledge that an- acts of another, an application for admission, it may be the otber lawyer has committed a violation of

(b) commit a criminal act that reflects basis for subsequent disciplinary action if

the Rules of Professional Conduct that adversely on the lawyer's bonesty, trustworthe person is admitted, and in any event

raises a substantial question as to that law- thiness or fitness as a lawyer in other may be relevant in a subsequent admission yer's bonesty, trustworthiness or fitness as a

respects; application. The duty imposed by this Rule lawyer in other respects, sball inform the

(c) engage in conduct involving disbonesty, applies to a lawyer's own admission or disci- appropriate professional authority.

fraud, deceit or misrepresentation; pline as well as that of others. Thus, it is a (b) A lawyer baving knowledge that a

(d) engage in conduct that is prejudicial to separate professional offense for a lawyer to judge bas committed a violation of applica

the administration of justice; knowingly make a misrepresentation or ble rules of judicial conduct that raises a

(e) state or imply an ability to influence omission in connection with a disciplinary substantial question as to the judge's fitness investigation of the lawyer's own conduct. for office sball inform the appropriate improperly a government agency or official; This Rule also requires affirmative clarifi- authority. cation of any misunderstanding on the part (c) This Rule does not require disclosure

(1) knowingly assist a judge or judicial of the admissions or disciplinary authority of information otberwise protected by Rule

officer in conduct that is a violation of of which the person involved becomes 1.6.

applicable rules of judicial conduct or other

law. aware. This Rule is subject to the provisions of COMMENT:

COMMENT: the Fifth Amendment of the United States Constitution and corresponding provisions

Self-regulation of the legal profession re

Many kinds of illegal conduct reflect adof state constitutions. A person relying on

quires that members of the profession initi-
ate disciplinary investigation when they offenses involving fraud and the offense of

versely on fitness to practice law, such as suc a provision in response to a question, however, should do so openly and not use know of a violation of the Rules of Profes

willful failure to file an income tax return. the right of nondisclosure as a justification sional Conduct. Lawyers have a similar ob

However, some kinds of offense carry no for failure to comply with this Rule. ligation with respect to judicial misconduct.

such implication. Traditionally, the distincAn apparently isolated violation may indiA lawyer representing an applicant for

tion was drawn in terms of offenses involvadmission to the bar, or representing a lawcate a pattern of misconduct that only a

ing “moral turpitude." That concept can be disciplinary investigation can uncover. Reyer who is the subject of a disciplinary porting a violation is especially important

construed to include offenses concerning inquiry or proceeding, is governed by the

some matters of personal morality, such as where the victim is unlikely to discover the rules applicable the

adultery and comparable offenses, that have relationship.

no specific connection to fitness for the

A report about misconduct is not required practice of law. Although a lawyer is perRULE 8.2 Judicial and Legal Officials

where it would involve violation of Rule 1.6. Sonally answerable to the entire criminal

However, a lawyer should encourage a cli- law, a lawyer should be professionally an(a) A lawyer shall not make a statement ent to consent to disclosure where prosecu- swerable only for offenses that indicate lack that the lawyer knows to be false or with tion would not substantially prejudice the of those characteristics relevant to law pracreckless disregard as to its truth or falsity client's interests.

tice. Offenses involving violence, dishonesty, concerning the qualifications or integrity of If a lawyer were obliged to report every or breach of trust, or serious interference a judge, adjudicatory officer or public legal violation of the Rules, the failure to report with the administration of justice are in that officer, or of a candidate for election or any violation would itself be a professional category. A pattern of repeated offenses, appointment to judicial or legal office. offense. Such a requirement existed in even ones of minor significance when con

(b) A lawyer who is a candidate for judici- many jurisdictions but proved to be unen- sidered separately, can indicate indifference al office shall comply with the applicable forceable. This Rule limits the reporting to legal obligation.

or

to

client-lawyer offense.

A lawyer may refuse to comply with an
RULE 8.5 Jurisdiction

practice of law in that jurisdiction. See Rule obligation imposed by law upon a good faith

5.5. belief that no valid obligation exists. The

A lawyer admitted to practice in this juprovisions of Rule 1.2(d) concerning a good

risdiction is subject to the disciplinary au- If the rules of professional conduct in the faith challenge to the validity, scope, mean

thority of this jurisdiction although engaged two jurisdictions differ, principles of conflict ing or application of the law apply to chalin practice elsewhere.

of laws may apply. Similar problems can lenges of legal regulation of the practice of

arise when a lawyer is licensed to practice in law.

more than one jurisdiction. Where the lawCOMMENT:

yer is licensed to practice law in iwo jurisLawyers holding public office assume legal responsibilities going beyond those of

dictions which impose conflicting obligaIn modern practice lawyers frequently act

tions, applicable rules of choice of law may other citizens. A lawyer's abuse of public outside the territorial limits of the jurisdic

govern the situation. A related problem office can suggest an inability to fulfill the tion in which they are licensed to practice,

arises with respect to practice before a fedprofessional role of attorney. The same is either in another state or outside the United

eral tribunal, where the general authority of iruç of abuse of positions of private trust States. In doing so, they remain subject to

the states to regulate the practice of law such as trustce, executor, administrator, the governing authority of the jurisdiction guardian, agent and officer, director or in which they are licensed to practice. If federal tribunals may have to regulate prac

must be reconciled with such authority as manager of corporation other their activity in another jurisdiction is sub.

tice before them. organization.

stantial and continuous, it may constitute

a

or

INTRODUCTION TO ETHICS STATUTES &

TAB IX

REGULATIONS, OUTLINE BY JANE LEY

Jane Ley

The following is an outline of certain statutes and regulations primarily governing the conduct of federal executive branch employees. Those that will be specifically discussed are listed with space available for you to write notes. Those which will not be discussed in any depth are listed at the end with a very short statement as to their coverage. In those instances, please refer to the complete text of the cited material before applying the stated synopsis to any particular question you may be faced with.)

The criminal conflict of interest statutes are found in 18 U.S.C. 202-209. While not discussed here, 18 U.S.C. 201 contains those prohibitions relating to bribery of a federal official.

18 U.S.C. 202 - Definitions. (Note specifically the definition for special government

employee.)

18. U.S.C. 203 - Prohibition on receipt of compensation for a representation before any

federal agency.

18 U.S.C. 205 - Prohibition on acting as a private agent or attorney, before any

federal agency or court on matters affecting the Government.

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