STATE OF MINNESOTA
The
Minnesota State Bar Association in a petition filed on October 16, 2000 asked
this court to adopt a set of Professionalism Aspirations.
By
order dated November 15, 2000, the Court solicited comments on the proposed
amendments to be filed no later than December 29, 2000.
The Court has reviewed the comments received and the
proposed aspirations and is fully advised in the premises.
IT IS HEREBY ORDERED that the attached
Professionalism Aspirations be, and the same are, approved and endorsed as
aspirational standards of conduct for the bench and bar of Minnesota.
Dated: January ____, 2001
BY THE COURT:
___________________________
Kathleen A. Blatz
Chief Justice
Preamble
We, the judges and lawyers of Minnesota, have a
special responsibility for the quality of justice. We have taken an oath to
conduct ourselves in an upright and courteous manner with fidelity to the court
and the client, promising no falsehood or deceit. Commensurate with this
responsibility and unique oath is the obligation to conduct our affairs
according to the highest standards of professionalism.
The following standards reflect our commitment
to professionalism. They memorialize our obligations to each other, our clients
and to the people of the State of Minnesota. They are designed to raise public
confidence in the legal profession and the justice system through the promotion
and protection of professionalism and civility.
These standards are not to be used as a basis
for litigation, lawyer discipline, or court sanctions. Nothing in these standards supersedes or
detracts from existing disciplinary codes or alters existing standards of
conduct against which lawyer negligence may be determined.
Professionalism
Aspirations[1]
I. Our Legal
System
A
lawyer owes personal dignity, integrity, and independence to the administration
of justice. A lawyer's conduct should be characterized at all times by personal
courtesy and professional integrity in the fullest sense of those terms.
A. Respect And Dignity. We will uphold the respect and dignity of
judges, each member of the Bar, the law and the legal system.
B. Honesty. We will conduct our affairs with candor and
honesty. Our word is our bond.
C. Equal Access. We will dedicate and commit ourselves to equal access
to the legal system.
D. Education. We will educate our clients, the public, and
other lawyers regarding the spirit and letter of these Professional
Aspirations.
E. Appearance of Impropriety. We
will always endeavor to conduct ourselves in such a manner as to avoid even the
appearance of impropriety.
II. Lawyer
to Client
A
lawyer owes allegiance, learning, skill, and industry to a client. As lawyers,
we shall employ appropriate legal procedures to protect and advance our
clients’ legitimate rights, claims, and objectives. In fulfilling our duties to
each client, we will be mindful of our obligation to the administration of
justice, which is a truth-seeking process designed to resolve human and societal
problems in a rational, peaceful, and efficient manner.
A. Independent Judgment.
1. We will be loyal and committed to our
clients' lawful objectives, but will not permit that loyalty and commitment to
interfere with our duty to provide objective and independent advice.
2. We will always be conscious of our duty to
the system of justice.
3. We reserve the right to determine whether to
grant accommodations to opposing counsel in all matters that do not adversely
affect our clients' lawful objectives.
4. We will advise our clients, if necessary,
that they do not have a right to demand that we engage in abusive or offensive
conduct and we will not engage in such conduct.
5. We will neither encourage nor cause clients
to do anything that would be unethical or inappropriate if done by us.
B. Proper Conduct on Behalf of Clients.
1. We will affirm among parties and other
lawyers that civility and courtesy are expected and are not a sign of weakness.
2. We will endeavor to achieve our clients'
legitimate objectives in our office practice work and in litigation as
expeditiously and economically as possible.
3. We will not employ tactics that are designed
primarily to delay resolution of a matter or to harass or drain the financial
resources of the parties.
III. Lawyer
to Lawyer
A
lawyer owes courtesy, candor, cooperation, and compliance with all agreements
and mutual understandings to opposing counsel, in the conduct of an office
practice and in pursuit of the resolution of legal issues. As professionals,
ill feelings between clients should not influence our conduct, attitude, or
demeanor toward opposing counsel. Conduct that may be characterized as uncivil,
abrasive, abusive, hostile, or obstructive impedes the fundamental goal of
resolving disputes rationally, peacefully, and efficiently. A lawyer owes the
same duty to an opposing party who is pro se.
A. Courtesy and Punctuality.
1. We will practice our profession with a
continuing awareness that our role is to advance the legitimate interests of
our clients. In our dealings with others we will not reflect the ill feelings
of our clients. We 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. We will not, even when called upon by a
client to do so, abuse others or indulge in offensive conduct directed to other
counsel, parties, or witnesses. We will abstain from disparaging personal
remarks or acrimony toward other counsel, parties, or witnesses. We will treat
adverse witnesses and parties with fair consideration.
3. We will be courteous, civil and prompt in
oral and written communications and punctual in honoring scheduled appearances,
meetings, depositions, appointments, etc. with opposing counsel.
4. We will disagree without being disagreeable.
We recognize that effective representation does not require antagonistic or
obnoxious behavior.
5. We will not, without good cause, attribute
bad motives or unethical conduct to opposing counsel nor bring the profession
into disrepute by unfounded accusations or acrimony toward opposing counsel,
parties, and witnesses.
6. We will not ask a witness or an opposing
party a question solely for the purpose of harassing or embarrassing that
individual.
7. We will adhere to all express promises and
to agreements with other counsel, whether oral or in writing, and
will adhere in good faith to all agreements implied by the circumstances or
local customs.
B. Drafting.
1. We will not quarrel over matters of form or
style, but concentrate on matters of substance.
2. We will try to achieve the common goal in
the preparation of agreements.
3. When we purport to identify for other
counsel or parties changes we make in documents submitted for their review, we
will identify all such changes accurately.
4. We will carefully craft document production
requests so they are limited to those documents we reasonably believe are
necessary for the prosecution or defense of an action. We will not design
production requests to place an undue burden or expense on a party.
5. We will respond to document requests
reasonably and not strain to interpret the request in an artificially
restrictive manner to avoid disclosure of relevant and non-privileged
documents. We will not produce documents in a manner designed to hide or obscure
the existence of particular documents.
6. When a draft order is to be prepared by
counsel to reflect a court ruling, we will draft an order that accurately and
completely reflects the court's ruling. We will promptly prepare and submit a
proposed order to other counsel and attempt to reconcile any differences before
the draft order is presented to the court.
C. Scheduling, Extensions, Cancellations.
1. We will not arbitrarily schedule a meeting,
deposition, court appearance, hearing, or other proceeding until a good faith
effort has been made to schedule it by agreement. If we are unable to contact
the other lawyer, we will send written correspondence suggesting a time or
times that will become operative unless an informal objection is directed to us
within a set reasonable time.
2. We will endeavor in good faith to honor
previously scheduled trial or hearing settings, vacations, seminars,
meetings or other functions that produce good faith calendar conflicts on the
part of opposing counsel. We will not seek accommodation from another member of
the Bar for the rescheduling of any court setting, discovery, hearing, meeting,
etc. unless a legitimate need exists.
3. We will agree to reasonable requests for
extensions of time and for waiver of procedural formalities, provided
legitimate objectives of our clients will not be adversely affected.
4. We will not request an extension of time
solely for the purpose of unjustified delay or to obtain a tactical advantage.
5. We will notify other counsel and, if
appropriate, the court or other persons, at the earliest possible time when
hearings, depositions, meetings, or conferences are to be canceled
or postponed.
D. Discovery.
1. We will make reasonable efforts to conduct
discovery by agreement.
2. We will refrain from excessive and/or
abusive discovery.
3. We will comply with all reasonable discovery
requests. We will not resist discovery requests that are not objectionable.
4. We will not seek court intervention to
obtain discovery that is clearly improper and not desirable.
5. We will take depositions only when actually
needed to ascertain facts or information or to perpetuate testimony. We will
not take depositions for the purposes of harassment or to increase litigation
expenses.
6. During depositions we will ask only those
questions we reasonably believe are necessary for the prosecution or defense of
an action.
7. We will carefully craft interrogatories so
they are limited to those matters we reasonably believe are necessary for the
prosecution or defense of an action, and we will not design them to place an
undue burden or expense on a party.
8. We will 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.
9. We will not engage in any conduct during a
deposition that would not be appropriate in the presence of a judge. We will
not make objections nor give instructions to a witness for the purpose of
delaying or obstructing the discovery process. We will encourage witnesses to
respond to all deposition questions that are reasonably understandable.
10. We will not use any form of discovery or
discovery scheduling as a means of harassment.
11. We will make good faith efforts to resolve
by agreement our objections to matters contained in pleadings and discovery
requests and objections.
E. Sanctions. We will not seek or threaten
sanctions or disqualifications without first conducting a reasonable
investigation and unless it is necessary for protection of our client's lawful
objectives or fully justified by the circumstances.
F. Opportunity
to Respond.
1. We will not serve motions, pleadings or
briefs in any manner that unfairly limits another party's opportunity to
respond. We will not seek ex parte relief without first attempting to notify
the opposing party or attorney. We will
not file memoranda or affidavits that are not permitted by court rules. We will
furnish opposing counsel copies of all submissions to the court either
contemporaneously or as soon as practical.
2. We will not cause a default or dismissal to
be entered, when we know the identity of an opposing counsel, without first
making a good faith attempt to inquire about the counsel's intention to
proceed.
G. Settlement.
1. We will readily stipulate to undisputed
facts in order to avoid needless costs or inconvenience for any party.
2. We will endeavor to confer early with other
counsel to assess settlement possibilities. We will not falsely hold out the
possibility of settlement as a means to adjourn discovery or to delay trial.
H. Request During
Trial or Hearing. During trial or hearing we will honor reasonable requests
of opposing counsel that do not prejudice the rights of our clients or
sacrifice tactical advantage.
I. Conduct
of Others. We will not encourage or knowingly authorize any person under
our control to engage in conduct that would be improper if we were to engage in
such conduct.
IV. Lawyer and Judge
Lawyers
and judges owe each other respect, diligence, punctuality, and protection
against unjust and improper criticism and attack. Lawyers and judges are
equally responsible to protect the dignity and independence of the court and
the profession.
A. Lawyers' Duties to Court and Administrative
Tribunal.
1. We will speak and write civilly and
respectfully in all communications with the court or administrative tribunal.
2. We will be punctual and prepared for all
appearances so that all hearings, conferences, and trials may commence on time
to the greatest extent possible.
3. We will be considerate of the time
constraints and pressures on the court and court staff inherent in their
efforts to administer justice.
4. We will not engage in any conduct that
brings disorder or disruption to the courtroom or administrative hearing area.
We will advise our clients and witnesses appearing in these settings of the
proper conduct expected and required there and, to the best of our ability,
prevent our clients and witnesses from creating disorder or disruption.
5. We will not knowingly misrepresent,
mischaracterize, misquote, or miscite facts or authorities in any oral or
written communication to the court or administrative hearing officer.
6. We will avoid argument or posturing through
sending copies of correspondence between counsel to the court, unless
specifically permitted or invited by the court.
7. Before dates for hearings or trials are set,
or if that is not feasible, immediately after such dates have been set, we will
attempt to verify the availability of necessary participants and witnesses so
we can promptly notify the court of any problems.
8. We will act and speak civilly to all other
court staff with an awareness that they, too, are an integral part of the
judicial system.
B. The Duties of Judges, Referees, and
Administrative Law Judges to Lawyers and Parties.
1. We will be courteous, respectful, and civil
to lawyers, parties, and witnesses. We will maintain control of the
proceedings, recognizing that we have both the obligation and the authority to
insure that all proceedings are conducted in a civil manner.
2. If we observe a lawyer being uncivil to
another lawyer or others, we will call it to the attention of the offending
lawyer on our own initiative.
3. We will not employ hostile, demeaning, or
humiliating words in opinions or in written or oral communications with
lawyers, parties, or witnesses.
4. We will be punctual in convening all
hearings, meetings, and conferences; if delayed, we will notify counsel, if
possible.
5. In scheduling all hearings, meetings and
conferences, we will be considerate of time schedules of lawyers, parties, and
witnesses.
6. We will make all reasonable efforts to
decide promptly all matters presented to us for decision.
7. We will give the issues in controversy
deliberate, impartial, and studied analysis and consideration.
8. While endeavoring to resolve disputes
efficiently, we will be considerate of the time constraints and pressures
imposed on lawyers by exigencies of litigation practice.
9. We recognize that a lawyer has a right and a
duty to present a cause fully and properly, and that a party has a right to a
fair and impartial hearing. Within the practical limits of time, we will allow
lawyers to present proper arguments and to make a complete and accurate record.
10. We will not impugn the integrity or
professionalism of any lawyer on the basis of the clients whom, or the causes
which, a lawyer represents.
11. We will do our best to insure that court
personnel act civilly toward lawyers, parties, and witnesses.
12. We will not adopt procedures that needlessly
increase litigation expense.
C. The Duties of Judges, Referees, and
Administrative Law Judges to Each Other.
1. We will be courteous, respectful, and
civil in opinions, ever mindful that a position articulated by another judge is
the result of that judge's earnest effort to interpret the law and the facts
correctly.
2. In all written and oral communications, we
will abstain from disparaging personal remarks, criticisms, or sarcastic or
demeaning comments about another colleague.
3. We will endeavor to work with other judges
in an effort to foster a spirit of cooperation in our mutual goal of enhancing
the administration of justice.
Summary Standards
I. Our
Legal System
A
lawyer owes personal dignity, integrity, and independence to the administration
of justice. A lawyer's conduct should be characterized at all times by personal
courtesy and professional integrity in the fullest sense of those terms.
II. Lawyer
to Client
A
lawyer owes allegiance, learning, skill, and diligence to a client. As lawyers,
we shall employ appropriate legal procedures to protect and advance our
client's legitimate rights, claims, and objectives. In fulfilling our duties to
each client, we will be mindful of our obligation to the administration of
justice, which is a truth-seeking process designed to resolve human and
societal problems in a rational, peaceful, and efficient manner.
III. Lawyer
to Lawyer
A
lawyer owes courtesy, candor, cooperation, and compliance with all agreements
and mutual understandings to opposing counsel whether in the conduct of an
office practice or in the pursuit of litigation. As professionals, ill feelings
between clients should not influence our conduct, attitude, or demeanor toward
opposing counsel. Conduct that may be characterized as uncivil, abrasive,
abusive, hostile, or obstructive impedes the fundamental goal of resolving
disputes rationally, peacefully, and efficiently. A lawyer owes the same duty
to an opposing party who is pro se.
IV. Lawyer
And Judge
Lawyers
and judges owe each other respect, diligence, punctuality, and protection
against unjust and improper criticism and attack. Lawyers and judges are
equally responsible to protect the dignity and independence of the court and
the profession.