RULE 1.14 CLIENT UNDER A
DISABILITY WITH LIMITED CAPACITY
(a) When a client's ability capacity to
make adequately considered decisions in connection with the
a representation is impaired limited, whether because of
minority, mental impairment, or for some
other reason, the lawyer shall, as far as reasonably possible, maintain a normal client-lawyer
relationship with the client.
(b) When the lawyer reasonably believes that the client has limited capacity, is at risk of substantial physical, financial, or other harm unless action is taken, and the client cannot adequately act in the client's own interest, the lawyer may take reasonably necessary protective action, including consulting with individuals or entities that have the ability to take action to protect the client and, in appropriate cases, seeking the appointment of a guardian ad litem, conservator, or guardian.
(c) Information relating to the representation of a client with limited capacity is protected by Rule 1.6. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized under Rule 1.6(a) to reveal information about the client, but only to the extent reasonably necessary to protect the client's interests.
Comment
[1] A normal client-lawyer relationship exists in those situations where the client,
when properly
advised and assisted, is capable of making or communicating responsible decisions concerning
the
client's person or affairs. However, when the client is a minor, or is impaired by reason
of mental
illness, mental deficiency, physical illness, or disability, chronic use of drugs, chronic
intoxication,
or other such cause, maintaining Maintaining a normal client-lawyer
relationship may not be
possible in all respects if the client is a minor. For example, a minor is
prohibited by law from
making a contract relating to real property or any interest therein, or relating to any personal
property not in the minor's immediate possession or control. Maintaining a normal client-lawyer
relationship also may not be possible if the client has limited capacity. Limited capacity may
result
from e.g. mental illness, mental deficiency, physical illness, or disability, chronic use of drugs,
chronic intoxication, or other such cause. For example, a minor is prohibited by law
from making
a contract relating to real property or any interest therein, or relating to any personal property not
in the minor's immediate possession or control.
[2] The law nevertheless recognizes that a minor, or a person who is
impaired by reason of one or
more of the above-described conditions, with limited capacity may be able to
make independently
make some, but not all, of the decisions necessary for that person's own care and
well-being or for
management of that person's property. For example, some children as young as
five or six years of
age, and certainly those of ten or twelve, may be regarded as
having have opinions that are entitled
to weight in legal proceedings concerning their custody. Also, some
Some persons of advanced age
can be are quite capable of handling routine financial matters while needing
special legal protection
concerning major transactions.
A lawyer whose client suffers from a disability as described above is expected to
maintain as normal
a client-lawyer relationship as is possible under the circumstances. [3] The fact that
a client is a
minor or has limited capacity does not diminish the lawyer's obligation to treat the client with
attention and respect. Even if the person has an appointed representative, the lawyer should as
far
as possible accord the represented person the status of client, particularly in maintaining
communication. Appointed representatives include guardians ad litem, conservators, guardians,
individuals appointed in a durable power of attorney or in an advanced health care directive.
[4] Family members or other persons may serve as representatives of a client with limited capacity in discussions with the lawyer. The lawyer must keep the client's interests foremost and, except for protective action authorized under paragraph (b), must look to the client, and not the representatives, to make decisions on the client's behalf.
[5] In those situations where a legal representative has been appointed to act in
behalf of the client,
it should be kept in mind that the powers and duties of such representative vary depending upon
the
nature and extent of the client's disability If the client has an appointed representative,
the lawyer
should ordinarily look to the representative for decisions on behalf of the client. The lawyer
in the
course of representing the client should be cognizant of the extent of the
powers and duties conferred
upon the client's legal appointed representative by the
appointing authority as such enumeration of
powers and duties will delineate what types of decisions the client may or may not make with
regard
to the client's own care and well-being, or concerning management of the client's
property. In
matters involving a minor, whether the lawyer should look to the parents as natural guardians
may
depend on the type of proceeding or matter in which the lawyer is representing the minor.
Where
the client is the appointed representative as distinct from the minor or the person with limited
capacity and a lawyer knows that the appointed representative is acting adversely to the interests
of
the person with limited capacity, the lawyer may have an obligation to prevent or rectify the
appointed representative's misconduct.
Taking Protective Action
In those situations where a legal representative has not been appointed but in the
lawyer's
professional judgment such an appointment would serve the client's best interests, or is in fact
necessary for the effective completion of a transaction involving the client's property, the lawyer
should seek to have a legal representative appointed to act in behalf of the client. The nature and
extent of the client's disability may be disclosed by the lawyer to the extent the lawyer
reasonably
believes necessary to obtain the appointment of a legal representative.
When considering the nature and extent of a client's disability and whether or not
disclosure of the
client's condition is necessary in the advancement of the client's interests, a lawyer may consult
with
an appropriate diagnostician.
Where the client is the legal representative as distinct from the person with the
disability and a
lawyer knows that the legal representative is acting adversely to the interests of the person with
the
disability, the lawyer may have an obligation to prevent or rectify the legal representative's
misconduct. See Rule 1.2(d).
[6] In determining the extent of the client's limited capacity, the lawyer should consider and balance such factors as: the client's ability to articulate the reason leading to a decision; variability of state of mind and ability to appreciate consequences of a decision; the substantive fairness of a decision; and the consistency of a decision with the known long-term commitments and values of the client. In appropriate circumstances, the lawyer may seek guidance from an appropriate diagnostician.
[7] If a lawyer reasonably believes that a client is at risk of substantial physical, financial or other harm unless action is taken, and that a normal client-lawyer relationship cannot be maintained as provided in paragraph (a) because the client is a minor or has limited capacity to communicate or to make adequately considered decisions in connection with the representation, then paragraph (b) permits the lawyer to take protective measures deemed necessary. Such measures could include: consulting with family members; using a reconsideration period to permit clarification or improvement of circumstances; and consulting with support groups or existing surrogates, professional services, adult-protective agencies or other individuals or entities that have the ability to protect the client. In taking any protective action, the lawyer should be guided by such factors as the client's known wishes or values, the client's best interests and the goals of minimizing the intrusion into the client's decisionmaking autonomy, maximizing client capacities and respecting the client's family and social connections.
[8] The lawyer should consider whether there is a need for an appointed representative to protect the client's interests. If a client is a minor or has limited capacity and has substantial property that should be sold for the client's benefit, effective completion of the transaction may require appointment of an appointed representative. In addition, rules of procedure in litigation sometimes provide that minors or persons with limited capacity must be represented by a guardian or next friend if they do not have a general guardian. In many circumstances, however, appointment of a representative may be more expensive or traumatic for the client than circumstances in fact require. Evaluation of such circumstances is a matter entrusted to the professional judgment of the lawyer. In considering alternatives, however, the lawyer should be aware of any law that requires the lawyer to advocate the least restrictive action on behalf of the client.
Disclosure of the Client's Condition
[9] Disclosure of the client's limited capacity could adversely affect the client's interests. For example, raising the question of limited capacity could, in some circumstances, lead to proceedings for involuntary commitment. Information relating to the representation is protected by Rule 1.6. Unless authorized to do so under Rule 1.6, the lawyer may not disclose such information. When taking protective action pursuant to paragraph (b), the lawyer is impliedly authorized to make the necessary disclosures, even when the client directs the lawyer to the contrary. Nevertheless, given the risks of disclosure, paragraph (c) limits what the lawyer may disclose in consulting with other individuals or entities or seeking the appointment of a legal representative. At the very least, the lawyer should determine whether it is likely that the person or entity consulted will act adversely to the client's interests before discussing matters related to the client. The lawyer's position in such cases is an unavoidably difficult one.
Reference: Minutes of the Professional Conduct Subcommittee of the Attorney Standards Committee on 04/26/85, 08/23/85, 12/13/85 and 01/31/86; Minutes of the Joint Committee on Attorney Standards on 11/14/03, 08/06/04, 03/18/05, 06/14/05, 09/09/05.