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The Client-Lawyer Relationship · 10-16% of the exam

4.2.1Scope, objectives, and means (Rule 1.2)

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SPATE + J

Why

Two people share one matter, and only one of them lives with where it lands. Without a settled line between destination and route, either the client would be micromanaging the tactics the lawyer was hired for, or the lawyer would be quietly deciding questions that belong to the client.

Plain English

The client decides the objectives:

  1. whether to settle,
  2. what plea to enter,
  3. whether to waive a jury trial (criminal),
  4. whether to testify (criminal),
  5. whether to appeal — by settled practice rather than Rule 1.2's text — and
  6. on the softer footing of Rule 1.2 Comment [2], what expenses to incur.

The lawyer decides technical, legal, and tactical means. Settlement offers and proffered pleas must be conveyed unless the client already indicated a position or authorized the lawyer. Limiting scope takes both reasonableness and informed consent.

Context. Clients own the objectives; lawyers own the means; and the duty to convey every settlement offer is unconditional regardless of the lawyer's assessment.

The rule (Rule 1.2):

Client controls: these decisions are the client's to make.

  • Civil: whether to accept a settlement offer. (Whether to sue is the objective itself, which Rule 1.2(a)'s opening clause commits to the client.)
  • Criminal: what plea to enter; whether to waive a jury trial; whether to testify — each of the three after consultation with the lawyer.
  • Whether to appeal (civil or criminal) — the client's call by settled practice rather than Rule 1.2's text. Rule 1.3 Comment [4] is the nearest textual support: after an adverse result, the lawyer "must consult with the client about the possibility of appeal before relinquishing responsibility for the matter."
  • The expenses to be incurred.

Mnemonic

Mnemonic

SPATE + J

Settlement, Plea, Appeal (settled practice, not Rule 1.2's text), Testify (criminal only), Expenses (comment-level) — plus J: jury-trial waiver, the client call the letters don't carry. Six letters, one owner: the client. Four of the six sit in Rule 1.2(a)'s own text — settlement, plea, jury-trial waiver, and whether the client testifies; appeal rests on settled practice and expenses on Comment [2].

Qualifier — Expenses: "Expenses" rests on Rule 1.2 Comment [2], which says lawyers usually defer to the client on such questions, which is a softer textual footing than the decisions Rule 1.2(a) names outright (settle, plea, jury waiver, testify). Treat Expenses as footnote-grade when the exam asks you to rank client versus lawyer authority.

The rule (Rule 1.2), continued:

Lawyer controls: technical, legal, and tactical decisions, including which arguments to make, which witnesses to call, how to conduct cross-examination, and whether a civil client testifies.

Conveying offers: The lawyer must communicate every settlement offer and every proffered plea bargain. Exception: the client previously indicated the proposal would be acceptable or unacceptable, or authorized the lawyer to accept or reject.

Limiting scope (Rule 1.2(c)): Permissible only when two conditions are met, both of them:

  1. the limitation is reasonable under the circumstances; and
  2. the client gives informed consent.

A limitation that is objectively unreasonable is impermissible even with consent.

Representation is not endorsement (Rule 1.2(b)): A lawyer's representation does not constitute approval of the client's views or activities.

Fundamental disagreement: When a dispute over objectives or means cannot be resolved, the lawyer may withdraw if permitted under Rule 1.16 or the client may discharge the lawyer. Where applicable law requires notice to or permission of the tribunal, the lawyer must comply with it before terminating (Rule 1.16(c)).

Example 1

Ex. 1

Carla, representing Dan in a personal-injury case, received a $175,000 settlement offer three weeks before trial. Convinced the case was worth over $500,000, she rejected it without contacting Dan. The jury awarded $140,000. Carla violated Rules 1.4 and 1.2. Her assessment of the offer is irrelevant; the decision to accept or reject belonged solely to Dan. Cover the jury's $140,000 with your hand and Carla's violation is already complete.

Example 2

Ex. 2

Gina was defending a breach-of-contract claim. Her attorney, over her stated preference, called a hostile corporate witness rather than three character witnesses Gina had identified. No violation. Deciding which witnesses to call is a tactical decision within the lawyer's authority; Gina controls whether to settle and whether to appeal, not courtroom strategy. Label what Gina wanted as an objective or as a means, and the outcome follows.

Trap

Trap

Trap

Trap

Questions · 1

Q 01ch04-e06

Question 1 of 1 · Rule 1.2

Attorney represents Client in a suit over a shipment of restaurant equipment damaged in transit. Two weeks before trial the defense offered sixty thousand dollars to end the case. Client had never said what any offer would be worth and had never authorized Attorney to accept or reject one. Attorney, sure the claim was worth three times that figure and that Client would refuse it anyway, turned the offer down at the meeting and said nothing to Client about it. The jury later returned a verdict of forty thousand dollars, and Client learned of the offer from the mediator. Is Attorney subject to discipline?

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