[1] A 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. Paragraph (a)
applies to unauthorized practice of law by a lawyer, whether
through the lawyer’s direct action or by the lawyer
assisting another person.
[2] 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 5.3.
[3] A lawyer
may provide professional advice and instruction to
nonlawyers whose employment requires knowledge of the law;
for example, claims adjusters, employees of financial or
commercial institutions, social workers, accountants and
persons employed in government agencies. Lawyers also may
assist independent nonlawyers, such as paraprofessionals,
who are authorized by the law of a jurisdiction to provide
particular law-related services. In addition, a lawyer may
counsel nonlawyers who wish to proceed pro se.
[4] Other
than as authorized by law or this Rule, a lawyer who is not
admitted to practice generally in this jurisdiction violates
paragraph (b) if the lawyer establishes an office or other
systematic and continuous presence in this jurisdiction for
the practice of law. Presence may be systematic and
continuous even if the lawyer is not physically present
here. Such a lawyer must not hold out to the public or
otherwise represent that the lawyer is admitted to practice
law in this jurisdiction. See also Rules 7.1(a) and 7.5(b).
[5] There are
occasions in which a lawyer admitted to practice in another
United States jurisdiction, and not disbarred or suspended
from practice in any jurisdiction, may provide legal
services on a temporary basis in this jurisdiction under
circumstances that do not create an unreasonable risk to the
interests of their clients, the public or the courts.
Paragraph (c) identifies four such circumstances. The fact
that conduct is not so identified does not imply that the
conduct is or is not authorized. With the exception of
paragraphs (d)(1) and (d)(2), this Rule does not authorize a
lawyer to establish an office or other systematic and
continuous presence in this jurisdiction without being
admitted to practice generally here.
[6] There is
no single test to determine whether a lawyer’s services are
provided on a "temporary basis" in this jurisdiction, and
may therefore be permissible under paragraph (c). Services
may be "temporary" even though the lawyer provides services
in this jurisdiction 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.
[7]
Paragraphs (c) and (d) apply 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
paragraph (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.
[8] Paragraph
(c)(1) recognizes 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 this jurisdiction. For this paragraph to apply, however,
the lawyer admitted to practice in this jurisdiction must
actively participate in and share responsibility for the
representation of the client.
[9] Lawyers
not admitted to practice generally in a jurisdiction 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
informal practice of the tribunal or agency. Under paragraph
(c)(2), a lawyer does not violate this Rule when the lawyer
appears before a tribunal or agency pursuant to such
authority. To the extent that a court rule or other law of
this jurisdiction requires a lawyer who is not admitted to
practice in this jurisdiction to obtain admission pro hac
vice before appearing before a tribunal or administrative
agency, this Rule requires the lawyer to obtain that
authority.
[10]
Paragraph (c)(2) also provides that a lawyer rendering
services in this jurisdiction 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 such 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 this
jurisdiction 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 this jurisdiction.
[11] When a
lawyer has been or reasonably expects to be admitted to
appear before a court or administrative agency, paragraph
(c)(2) also permits conduct by lawyers who are associated
with that lawyer in the matter, but who do not expect to
appear before the court or administrative agency. For
example, subordinate lawyers may conduct research, review
documents, and attend meetings with witnesses in support of
the lawyer responsible for the litigation.
[12]
Paragraph (c)(3) permits a lawyer admitted to practice law
in another jurisdiction to perform services on a temporary
basis in this jurisdiction 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
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 or otherwise if court rules or law so require.
[13]
Paragraph (c)(4) permits a lawyer admitted in another
jurisdiction to provide certain legal services on a
temporary basis in this jurisdiction that 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 paragraphs (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.
[14]
Paragraphs (c)(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 a 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. 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 as 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 the regular practice
of law on behalf of clients in matters involving a
particular body of federal, nationally-uniform, foreign, or
international law. Lawyers desiring to provide pro bono
legal services on a temporary basis in a jurisdiction that
has been affected by a major disaster, but in which they are
not otherwise authorized to practice law, as well as lawyers
from the affected jurisdiction who seek to practice law
temporarily in another jurisdiction, but in which they are
not otherwise authorized to practice law, should consult the
[Model Court Rule on Provision of Legal Services
Following Determination of Major Disaster].
[15]
Paragraph (d) identifies two circumstances in which a lawyer
who is admitted to practice in another United States
jurisdiction, and is not disbarred or suspended from
practice in any jurisdiction, may establish an office or
other systematic and continuous presence in this
jurisdiction for the practice of law as well as provide
legal services on a temporary basis. Except as provided in
paragraphs (d)(1) and (d)(2), a lawyer who is admitted to
practice law in another jurisdiction and who establishes an
office or other systematic or continuous presence in this
jurisdiction must become admitted to practice law generally
in this jurisdiction.
[16]
Paragraph (d)(1) applies to a lawyer who is employed by a
client to provide legal services to the client or its
organizational affiliates, i.e., entities that control, are
controlled by, or are under common control with the
employer. This paragraph does not authorize the provision of
personal legal services to the employer’s officers or
employees. The paragraph applies to in-house corporate
lawyers, government lawyers and others who are employed to
render legal services to the employer. The lawyer’s ability
to represent the employer outside the jurisdiction in which
the lawyer is licensed generally serves the interests of the
employer and does not create an unreasonable risk to the
client and others because the employer is well situated to
assess the lawyer’s qualifications and the quality of the
lawyer’s work.
[17] If an
employed lawyer establishes an office or other systematic
presence in this jurisdiction for the purpose of rendering
legal services to the employer, the lawyer may be subject to
registration or other requirements, including assessments
for client protection funds and mandatory continuing legal
education.
[18]
Paragraph (d)(2) recognizes that a lawyer may provide legal
services in a jurisdiction in which the lawyer is not
licensed when authorized to do so by federal or other law,
which includes statute, court rule, executive regulation or
judicial precedent.
[19] A lawyer
who practices law in this jurisdiction pursuant to
paragraphs (c) or (d) or otherwise is subject to the
disciplinary authority of this jurisdiction. See Rule
8.5(a).
[20] In some
circumstances, a lawyer who practices law in this
jurisdiction pursuant to paragraphs (c) or (d) may have to
inform the client that the lawyer is not licensed to
practice law in this jurisdiction. For example, that may be
required when the representation occurs primarily in this
jurisdiction and requires knowledge of the law of this
jurisdiction. See Rule 1.4(b).
[21]
Paragraphs (c) and (d) do not authorize communications
advertising legal services to prospective clients in this
jurisdiction by lawyers who are admitted to practice in
other jurisdictions. Whether and how lawyers may communicate
the availability of their services to prospective clients in
this jurisdiction is governed by Rules 7.1 to 7.5.