presented by

The South Carolina Bar

Continuing Legal Education Division

2017 South Carolina Bar Convention

Torts & Insurance Practices Section/Young Lawyers Division Seminar

Friday, January 20, 2017

SC Supreme Court Commission on CLE Course No. 170452

Dominic J. Gianna

New Orleans, LA

Mastering the Art, Science and Craft

of Advocacy in the Millennial Age

             

 

MASTERING THE ART, SCIENCE & CRAFT OF ADVOCACY IN THE MILLENNIAL AGE 

  

 South Carolina Bar Convention

Torts & Insurance Practices Section/ Young Lawyers Division

 JANUARY 19‐22, 2017 

           

Dominic J. GiannaAARON & GIANNA, PLC 

New Orleans  

Fellow, International Society of Barristers  

Faculty, The Professional Education Group 

PROGRAM DIRECTOR ‐ NATIONAL INSTITUTE FOR TRIAL ADVOCACY  

© Copyright D&M Seminars 

 

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TABLE OF CONTENTS   

   Page

  

The Intergenerational Age:  Alphabet Soup Juries  

3

Persuasion Science   

6

Storytelling in the Intergenerational Age:  Connecting Viscerally  

13

The Opening Statement:  Winning in the Beginning?  

15

Voir Dire:  From the “Right Side” of the Brain  

18

 

 

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The Art, Science & Craft of Advocacy “Audience‐Centered Advocacy for the Intergen Age” 

  

The Intergenerational Age:  Alphabet Soup Juries    Today’s courtroom is a multi‐generational one.  The winning advocate must Show – not Tell – Teach, not Preach, Text, not Test (the patience) of today’s jurors and judges.  This is the age of the trial in a hurry.  Trial counsel must text message the case to an alphabet soup jury composed of Generation X, Generation Y, Baby Boomer and soon, Generation  i  jurors  (judges and arbitrators)  The new generations and social media have  infiltrated and changed the  legal profession  in every way.  The question is, therefore, how to practice the art, craft and science of advocacy in a way that keeps the alphabet soup jurors of all generations engaged, involved and empowered to do justice for your cause.  Generational Cohorts    The trial lawyer stands in front of today’s jurors and wonders “Who are these people?”  “Is there something about them I don’t know?”  “Look at how different they are.”  They range in age from 22  to 70 years.   “Is  there any common denominator on  them?”   “How do  I communicate, empower and persuade them to vote for me and my case?”    Today’s (and certainly tomorrow’s)  jurors are the most diverse and challenging groups of people who have ever stepped foot  into a courtroom.   To understand how to communicate and persuade  his  jurors,  the  trial  lawyer must  understand  the  concept  of  “generational  cohorts.”  Today’s  jurors are composed of distinct age groups called generational cohorts,  i.e., people born over  a  relatively  short  but  contiguous  time  period who  are  influenced  and  bound  together  by events  in their formative years.   These events  influence their core values and these generational cohort  effects  are  life‐long  effects.    Trial  consultants  and  jury psychologists have  studied  these concepts  to  understand  the  idea  of  group  thinking.    These  studies  reveal  that  today’s  jurors’ thinking and  information processing are  influenced and even controlled by these cohort, life‐long effects that are a part and parcel of their core values, attitudes and beliefs.    The Alphabet Soup Jury    The  alphabet  soup  jury  of  today  is  composed  of  a  small  number  of  Seniors,  the  Silent Generation,  those born between 1928 – 1945,  the 39 million  children of World War  II and  the Great Depression; Baby Boomers, those born between 1946‐1964 who are today between 50‐67 years  of  age  and  constitute  79 million  of  the  American  population;  Generation  X  jurors  born between 1965‐1980, 35‐45 years of age  today who constitute 51 million of  the population; and finally, Generation Y,  the  so‐called  “Millennials,” born between 1981 – 2000 who  are  today 79 million strong.  These are the “kids” who were born with a USB connection in their mouths!  The Generation i crowd (born in 2001 ‐ ) will be on their way to the legal system in the next five years.    In  any  group  of  12  (or  6,  or  9),  you will  have  a  “new  normal”  jury  composed  of  50% between the ages of 30‐50 years, 25% Gen Y’s and 25% Boomers.  The Gen Y cohort is the largest segment,  followed by the Gen Xers,  followed by adults between the ages of 18‐46 years of age.  50% of your jurors, therefore, will be between the ages of 18‐46.  What are the characteristics of these generational cohorts?   How does an astute  lawyer shape strategy  to  fit what  these  jurors need?   

 

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   The  Seniors,  the  Silent Generation,  are methodical,  deliberate  and will  put  in  the  time necessary to make decisions.  They actually listen to lawyers, try to follow the jury instructions, and arrive at a fair outcome.   They are very cognitive decision‐makers (logical thinkers as opposed to emotional thinkers).  They are not impressed at all by high‐tech nor influenced by fast talk.  Seniors tend to wait until later in the trial to establish a preference for one side or another because they grew up  in a more patient, slower world.   Seniors were  taught  the old‐fashioned way,  i.e., by a teacher standing in front of a classroom with a blackboard behind.     The Boomers,  formally  known  as  the  “Me”  generation because  they put  their personal needs ahead of their generation’s needs, are  influenced by the advent of television and,  in their later years, by technology.    In their early years, they were very experimental,  individualistic, free spirited,  social‐cause  oriented  (the  “Hippies”  of  old),  but  became  the  first workaholics.    They thought  they  could  change  the world,  a world brought  into  their homes  via  television.   Today, Boomers are the “NQR’s” the “not quite retireds.”  They believed the promise of a secure pension, a  solid  Social  Security  system  and  a Medicare  check.   Now  they  realize  their  retirement  is not secure and many are going back  to work.   They have become very  cynical and overly‐cautious.  They’re health conscious, and understand the value of life.  They question authority and are very, very skeptical and cynical.   Boomers will  listen to  lawyers to an extent beyond Generation X and Generation Y jurors.  They also will wait longer to pick a winning side and will try to keep an open mind during the presentation of the evidence.  They demand less tech than the X’s or Y’s.  Boomers are classic “cognitive misers,” i.e., they will do the thinking necessary to do the job, but no more.  Today they are much better defense jurors in a civil case and better prosecution jurors in a criminal matter than ever before.    Generation X,  the “Nexters,” are very  influential  in our courtrooms  today.   This cohort’s defining influences were the sky high divorce rate, the number of children born out of wedlock, the downturn of the economy, and birth control.  They were the original latchkey kids, the generation that  had  to  fend  for  themselves  because  both  parents were working  to  support  them.    Xers embrace the “look out for yourself” attitude.   Trial themes and stories that emphasize benefit to Xers  and  the  people  they  care  about  are winning  themes.    Because  they  had  to  take  care  of themselves, they are extremely independent, show little deference to authority figures and value rich family  life and a rewarding job.  They aren’t afraid to move from job to job and do not think anyone owes them a  job or  job security.   They have become skeptical of  large corporations and mistrust most of  corporate America  –  and  the  lawyers who  represent  them.    They  respond  to sound bytes – not speeches.  They are the first techno‐generation, are ceaseless learners, creative and willing to take on new challenges.  They are very computer literate and expect trial counsel to use technology to their advantage.  They respond to themes that play to their sense of pragmatism such as  “hope  for  the best, but plan  for  the worst.”   They believe  the end does not  justify  the means.   They want  lawyers to get to the point – now.   They say “show me – not tell me” all the time.  Their message is “Give it 2 Me Str8 Fst & Alwys.”    Generation  Y,  the  Millennials  (or  Boomlets),  generally  question  the  standards  and expectations  that society has  for  them  today.   They are more  like  their grandparents  than  their parents in that their values resemble those of their grandparents’, the Silent Generations’ values. They will populate  jury rooms for the next 30‐50 years.   They are very active participants  in  jury deliberations despite their youth.  They do not respect people simply because some are older than others and are totally tech‐savvy.   They came of age during an affluent time in American society.  They expect to rely on their parents  longer than any previous cohort and have great respect for them.  Money is critically important to them and success is measured by financial success.  They are truly  the  interactive generation.   They expect  information  to come  to  them  freely and easily,  to 

 

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mimic  their daily  lives.    They  are  “cheap dates,”  i.e.,  they  require  little but  strong evidence on liability.    They want  hard  data  and  the  sources  of  the  data.    They went  to  school when  “zero tolerance” was a catch phrase; thus, they believe strongly in accountability and are not offended by large verdicts once  liability  is clear and  injuries are proven severe.   Expect  them  to demand  the same  level of accountability from the plaintiff as from a defendant.   Emotional appeals to Y’s fall flat on their faces.  They believe lawyers will try to manipulate and deceive them and are terribly impatient  because  they were  raised  in  a world  dominated  by  evolving  technology  and  instant gratification.   Speed, not patience,  is their virtue.   They demand total respect, are  influenced by good courtroom stories backed up by facts and strong moral principles.  And, of course, they are totally visual learners.  

 

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Persuasion Science  

“People see what they believe.” Ralph Waldo Emerson 

   Persuasion comes from the inside, i.e., people are persuaded by their own inner messages.  A persuasive communication is a message that motivates the listener to act in one way as opposed to another.  A persuasive communication empowers the listener (judge, jury or panelist) to make a judgment, a difficult act for most people.  A persuasive message engages the mind and moves the heart.  Cicero said it best when he said that a persuasive message is “logic on fire.”     What is difficult for lawyers to understand is that jurors must self‐motivate.  The function of the persuader (the  lawyer)  is to motivate the  listener to see and understand that the message  is consistent with the listener’s attitudes, beliefs and values.  Persuasion, in summary, is all about the A’s, B’s, C’s, D’s and E’s.   Attitudes  lead to beliefs, beliefs solidify  into convictions, which  lead to expectations.    Decisions  are  based  on  meeting  expectations  –  winning  is  all  about  meeting expectations.  Consequently, the winning advocate strives to understand the attitudes, beliefs and values of judge and jurors that will affect their thinking and the decision‐making process.  Becoming Audience‐Centered/Receiver‐Oriented    Successful advocates know, intuitively, that when they say what they think, what they feel is not important.  Rather it’s what the listeners (the receiver, the audience, the judge or jurors) see, hear and  think  that counts.   A  lawyer’s priorities don’t count –  it’s only what’s  important to the listener that is meaningful, that counts.  Seeing and feeling a case from the listener’s perspective is essential, especially today in the Millennial age of text messages, instant information, all‐knowing jurors.  Only a “Trial in a Hurry” can satisfy today’s time hungry jurors.    The simplest way to be audience‐centered is a.) put yourself in the place of a juror, and b.) prepare  the  opposition’s  case.    Seeing  and  experiencing  the  case,  a  trial,  from  the  audience’s perspective means everything in today’s courtroom and is essential to winning.  Abandon the legal perspective – adopt the persona of a real human being and try to think like a legally undereducated real person.  What About You?    A journey of self‐discovery is a rewarding trip.  Examine yourself.  Examine your persuasion and communication skills (ability as a speaker, talent as a persuader).  Keep in mind you must meet the audience members’ expectations.  They expect and are influenced only by advocates who are  

Clear          Confident          Competent  The 3 Magic Words of Advocacy are:  

Honesty (“likeability/sincerity”) Knowledgeability (“teacher‐like”) Dynamism (“enthusiasm”/”caring”) 

 Most of all, a trial  lawyer must be AUTHENTIC – a real person.   Leave the  lawyer‐persona  in the office, the law degree on the wall; instead bring the REAL YOU to court, the you who is empathetic 

 

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to the audience’s needs and wants and adopts their concerns.  Everything you do, every word you say, must convey sincerity and honesty.  You must be the “antidote to deception” in the room, the one they can trust to give them what they need to do their job.  People Watch News that Fits Their Views    People watch news that fits their views.   People see what they believe.   That statement summarizes persuasion.  Human beings see what they want to see, hear what they want to hear, and want to see what they believe!  Everyone wants to hear confirmed that their beliefs are solid, valid and consistent with the ideas and values we all hold to be good and true.  Jurors (and judges) do not have open minds.  Fundamental beliefs formed early in childhood and life experiences mold core  values.    All  people  have,  in  their  psyche,  so‐called  “schema,”  i.e.,  organized  patterns  of thought  that draw upon preconceived biases.   A  schema  is  the mental  framework  that enables jurors to make sense of the story of a case.  The internal schema is critical to how jurors interpret the evidence.   In other words, most people have  instinctive unspoken assumptions about people and the things that happen to people.  Jurors expect that the case story will deliver a message that confirms their inner basic beliefs (that conform to their schema).      Great advocates know that jurors vote for their views – not the evidence.  The advocate’s task  is  to convince  the  jurors  that your message conforms  to  their beliefs, attitudes and values.  People  never  tire  of  hearing  how  right  they  are.    We  want  to  have  our  beliefs  confirmed.  (Psychologists call this “conformational bias.”)  When that happens, i.e., when the listener believes that the message conveyed conforms to their beliefs, that a trial story fits comfortably  into their attitudinal system, jurors pick and choose the evidence they believe is in accord with their beliefs and reject the rest.  They do your job.  Psychologists call this the process of “selective attention.”  Put another way, jurors focus on what they agree with, ignore what they disagree with, interpret what they hear in a way that supports their beliefs.  In other words, people “see what they believe” and want  to hear what  they believe  to be  true.   Only  then can persuasion happen.   That’s why people watch news that fits their views.  Judgment Day    Judging other people is a process of judging the motivations of the parties.  In fact, human beings judge other people by their motivations.  Witness Shakespeare’s Julius Caesar.  Brutus is a hero  even  though  he  killed  his  best  friend!   Why?    Because  he wanted  to  save  Rome  from  a dictator.  Because his motivation was pure, his actions are excused.  A trial is a process of passing judgment.  The opening statement, for example, must start the process of judging the evil‐doer by examining that party’s motivation.    Attributing Fault:  Knowledge and Control    Jurors  (and  judges  and  arbitrators)  assess  liability  (albeit  unconsciously)  by,  primarily, assessing the relative degree and amount of Knowledge and Control between the parties.  In other words, who knew what and how much control did each person involved have to avoid the harm?  Every trial story must attribute knowledge and control to the adverse party and the evidence must support that attribution.  Revealing the motivation of the party with the requisite knowledge and control  is  the  icing on  the  cake.    From  the opening  to  the  close,  keep  the  focus on  those  key psychological principles that govern human beings assigned the task of judging other people. 

 

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What are Trials?    Trials, to jurors, are not witnesses, evidence, or about the  law.   Trials are about Who, did What, to Whom, and Why.  In other words, jurors judge the character, the conduct and the choices the  parties  made.    In  order  to  stimulate,  motivate,  their  judgment  process,  lawyers  must communicate viscerally and visually.  A visceral communication is a communication that motivates the  listener  to action, creates a mind‐picture  that compels  the  juror  to act  for one party or  the other.  Visceral communications come in the form of stories.  Visceral communications are the core of films, plays, novels.  A trial story engages the listener, inspires caring, and empowers judging.      Stories are how we process  information, how we get meaning from the facts.   Every trial story must be founded on a theme.  A theme is a message with a meaning.  Themes provide the moral framework, the emotional “hit” that motivates  jurors to act.   A  lawyer without a theme  is like a soldier without a gun.  As stated, jurors determine (and divide fault) by looking at who had the most knowledge and control over the circumstances.  The trial shows the jurors that the “evil‐doer” had the knowledge and control sufficient to stop the bad event, was motivated by suspect reasons or questionable goals.  The advocate shows jurors that his/her story is connected with their beliefs and founded upon a moral, a righteous theme.    Consequently, great trial lawyers put their psyche into the minds and hearts of the jurors, trying to understand their attitudes, beliefs and values.  The task is then to mold the trial story and trial theme to meet jurors’ expectations.  People see what they believe!      A  trial  is  also  a  recreation of  reality.   There  are  four  kinds of  reality.    First, what  really happened.  Second, what your side claims happened.  Third, what the other side claims happened.  Fourth, what the  jury  finds as reality  is the only view that counts.   The purpose of the trial  is to persuade the jury to see the case from your point of view ‐ to adopt your reality.  The persuasive trial  lawyer  convinces  the  jury  that  the  facts,  the  law  and what  is  right  and  just  in  the world supports your case.  But the key to winning is to present the case from the juror's viewpoint.  Jurors decide the case by creating a story of what happened.  The goal is for the jury to adopt your story, your visual, as their own.  

The Alphabet Soup Jury Mantra of Success    In this day and age, with juries composed of Baby Boomers, Gen Xs and Gen Ys, the mantra of every trial lawyer must be:  

Show, not Tell Teach, not Preach Text, not Test 

 Your presentation must be in accord with the principles of super‐persuasion, i.e., your presentation must be audience‐centered, receiver‐oriented.  The 3 S’s of success are: 

 

Simple Sincere Succinct 

 Simplicity is the heart and soul of the master persuader.  DaVinci said it best:  

“Simplicity is the ultimate sophistication.” 

 

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Key Concepts of the Craft    Critical  concepts  of  the  craft  of  advocacy  are:    GRAB/HOLD/PLEASE/CONVINCE/MEET EXPECTATIONS.    You must GRAB the jury's attention, engage them, immediately, in your cause.  You must HOLD their attention and they must want to stay with you during the trial.  You must PLEASE the jury with how you present yourself and the case.  You must meet their attitudinal expectations and then CONVINCE the jury that the cause is right.      To "GRAB" a jury, you must have a STORY, a THEORY and a THEME.  The STORY should be a "people story,” that is, a story that engages not just the mind but the heart of the jury into the life of the main character ‐ your client.      To create a THEORY, ask "why does the  law say  I should win?"   To create a THEME, ask “Why  should  I win?”   “Why did  this happen?”   “Whose choice  led  to  the harm and why?”   For example, in the case where the defendant's car made a left turn in front of the plaintiff's car, from the legal standpoint, the defendant, "failed to yield" ‐ and the law says failure to yield is negligence (a legal theory).    But  from a persuasive standpoint,  the cars collided because  the defendant “just couldn't wait to make the turn.  We call that impatience behind the wheel.”  From the defense standpoint, the  reason  the  accident happened was because  the plaintiff  refused  to  slow down  for  a  signal changing from green to yellow to red.  “People in a hurry hurt” is a good, visceral theme.    A THEME  is a “message with a meaning.” –  It capsulizes the case simply and cleanly and motivates the listener to action.  To create a THEME, answer the questions, why should I win?  Why is the other side responsible and why is my side not?  In an auto case, the defendant is responsible because he was  in a hurry and “people  in a hurry hurt.”   From  the defendant's standpoint,  the plaintiff is responsible because the plaintiff threw caution to the wind by trying to “beat a signal” turning  from  green  to  yellow  to  red.    Boil  the  theme  down  to  a  short  sentence;  for  example, “people in a hurry hurt.”  Then boil that sentence down to a key factor or, even better, an emotion.  Carelessness, greed, selfishness.  Repeat that theme and the theme words first in the opening and then throughout the trial.    The theme must always convey that an injustice has been done to your client.  The winning theme must be VISCERAL.  Viscerals are the primary means of communication in films and in the theater.    In  court,  jurors  remember  viscerals  for  the  full  length  of  the  trial  and  throughout deliberations.  What is a visceral?  A visceral is anything that gets to jurors on a gut level.  Viscerals are mainline communications.  Visceral communications appeal on a primitive level.  Evolution has programmed us with an amazing  variety of  things  that elicit our powerful emotional and often near‐physical  reactions.    For  example, most  human  beings  have  inherited  a powerful  ‐  visceral repulsion  to  snakes,  cockroaches.    Snakes  and  roaches  are  inherently  visceral.    Viscerals  are anything that triggers strong emotional and near‐physical reactions.  A good magic trick, paper cuts on a tongue tip, gossip, conspiracy, spying, a cockroach ‐ or half of one, wriggling on your pillow as you awaken, a sudden change, fingernails scraping a blackboard, love, first love, jealousy, revenge, great heights, supernaturals, the unmasking of a liar are examples of words and ideas that arouse emotions.    A jury is not a panel of objective judges.  A jury is a group of dissimilar people with no group standards.   Logic that  is correct and persuasive to a  legally‐trained mind has no effect on  jurors.  

 

‐10‐ 

Logic is necessary but viscerals are reliable.  Your ultimate trial goal is to give at least a few of your jurors’  arguments  and  evidence  that  they  can  use  themselves  to  argue  on  your  behalf  during deliberations.  But you have to make them want to do so.  A WANT is an emotion, not a thought process ‐ and you most effectively arouse a want by using viscerals.    Trials are by their nature visceral ‐ or they should be.   There  is no excuse, ever, to bore a jury.  You will never bore a jury if you emphasize a visceral, basic right and wrong conflict between the individuals.  Viscerals keep the jury interested.  The great trial lawyer drops the trier‐of‐fact into the trial story and challenges the trier‐of‐fact to solve the conflict.    To use viscerals in court, begin by finding the strongest possible visceral on which to hang your whole case.  Exploitation?  Revenge?  Lying?  Cheating?  Misrepresentation?  Fraud?  Almost every great play or  film  centers on a  conflict.   Translate  those viscerals  into visual  images.   For example, "she felt like she was drinking her own blood."      You can create viscerals but  it  is easier to find them:  sift through all the raw materials of the case.  There will always be a visceral or two.  Integrate them into your story.  Where do you find viscerals?   Go to the movies.   Watch T.V.   Read or watch plays.   Be sensitive to what makes you react sharply, strongly or concretely.  What makes you take notice?  What makes someone behind you cry "oh!"  What makes you wince?  What disturbs you, pleases you, frightens you, sickens you?  What makes your heart beat faster?  What makes people grip their seats or lean forward?  What makes the audience sit absolutely silent and still?  In short, anything that gets to you, anything that creates a strong, powerful, gut reaction is a visceral.    When  you  have  found  the  visceral,  include  that  in  the  opening  statement  and  keep retreating to the visceral throughout the trial.    THE WILL AND THE WAY:  VISCERAL AND VISUAL    Give the jury the will and the way.  The will comes from stimulating the jurors to care about you, your case, your client.   You must make them want to rule  in your favor.   Make them angry, sad, or whatever emotion fits your theory.   But you must also show them the way ‐ that  is, give them the tools they need to find your way.  For example, the facts that are in your favor, the law that the judge will give them.  In short, give the jurors the will (the motivation) to work for you and the way (the tools), to help them find in your favor.  But to do that, you must assume the role of a teacher, a trusted guide.  You must learn to connect with “viscerals” and to create mind pictures, “visuals.”  The Three Magic Words of Advocacy    The  three magic words of advocacy are,  from a  juror's perspective:   Honesty  (sincerity), Competency  (knowledgeability)  and  Dynamism  (enthusiasm).    Jurors  see,  hear  and  judge everything.  They constantly judge the lawyers and their performance.  From the moment you step into the courthouse, the trial  is on and the  lawyer must convey these three qualities.   You must always be the knowledgeable, sincere, dynamic truth‐giver and the antidote to deception.  

 

‐11‐ 

What Kind of a Story?  Tell a People Story    The  persuader motivates  jurors  viscerally  by  inviting  the  jury  into  the  lives  of  another person ‐ in this case the client.  The lawyer must stimulate the emotions while engaging the mind.  The  lawyer must satisfy the  jurors that the cause  is  just and must keep the  jurors  interested and involved  in the  lives of the people represented.   Remember – “People hopelessly and helplessly suspend reality to become emotionally involved in the life of another person.”  This is the basis for films, novels and plays.   Basic Principles of Psychology:  Basic Tools of the Craft    Basic principles of psychology apply  in  the courtroom.   What  jurors hear  first makes  the strongest impression (the principle of "primacy."); what jurors hear last makes the longest and the most lasting impression (the principle of "recency.")  Jurors must become involved in the story right away and must remain involved.  Jurors enjoy being entertained.  They want their questions asked and  answered.    And most  important,  the  trial  (and  the  lawyers) must  be  simple,  sincere  and succinct in every way, all along the way.   

 

‐12‐ 

Cicero's Maxims of Persuasion    Marcus Tullius Cicero, the greatest advocate of the Roman world, summarized persuasion with his 6 Maxims:    1.  Understand what reaches the mind and moves the heart.   2.  Understand motives to understand behavior.   3.  Move from the particulars of a case to universal truths.   4.  Draw the audience into the story.   5.  Expose the illogic of the opponent.   6.  Communicate your passion and logic in the language of the listener.    The secret to success is to integrate these timeless gems into the trial, artfully, and quietly.  Advocacy  is the silent art; advocacy techniques that work speaks to the  listener from the  inside.  Keep in mind, we are persuaded only by our own inner message – not by externals.    

 

‐13‐ 

Storytelling in the Intergenerational Age:  Connecting Viscerally    A story is a recounting of a sequence of events linked to a theme, seen from the eyes of the hero.  When the reason for an event is introduced, there is a plot.  A plot is nothing more than the plan of a story.  Plans are made and plots are revealed.  Jurors in the modern age consciously and unconsciously reconstruct the events of a trial  into a  logical and meaningful story (the “WHAT”).  The persuader uses the  jury's need to construct a story to sell the case.   All human beings enjoy stories.  All modern American jurors have been raised on stories from books, movies, television and the theater.  The modern age trial does not simply recreate an event ‐ it tells a story, a story with a plot that sells.  The lawyer supplies the plot that involves the emotions of the jury.    No one wants to be manipulated emotionally.  Motivating the trier‐of‐fact to care and to do something about righting a wrong requires the use of a trial story.  Stories connect viscerally and visually; they do our job.  

The Structure of a Story    Storytelling is the original form of human thought.  It harkens to our genes.  Stories involve us and make us care.  Stories are the original way we have taught one another from the beginning of time.   Any good story contains the following structure.  There is a set‐up, that is, a framework around which the story is constructed.  There is always a hero ‐ the main character, the subject of the story, the person who was involved in the story.  There is usually some incident ‐ an event that gives rise to some crisis  in the hero's  life.   There  is usually a battle, a fight between the forces of good and evil  (and the hero  is usually the embodiment of the good).   There  is always a point of crisis in the story where the hero must generally make a moral choice.  Finally, there is a resolution of the conflict and the hero usually wins out.    The essence of a  story  is DRAMA.   The essence of DRAMA  is  conflict.   Conflict  involves CRISIS.  A crisis involves the audience (the jury) in the hero’s conflict and invites them to resolve it.  

The Elements of a Story    The basic elements of a good story are characters and plot.  The plot is the unifying theme throughout  the story.   The plot  tells  the viewer or  the  listener  the  reason why all of  the events described in the story are connected.  The plot captures the audience's interest.  The second and probably most important element of a story is the main character.  That is the person upon whom the story  focuses and  the plot  involves  this main character  in a series of generally disturbing or crisis‐ridden events.  Key story elements are conflict and crisis.  The hero comes into conflict with the forces of evil, makes the choice to fight those forces, and generally wins out.  A hero’s motives are pure and clean.  An essential element of any story is a so‐called turning point, that is, the point at which the tide turns toward the hero.  That turning point in a trial must be carefully thought out and choreographed.  

The Great Story    There are stories and great stories.   The basic elements of a great story provide a strong lesson to the trial lawyer.  A great story evokes feeling.  The storyteller's feelings are involved (the storyteller is enthusiastic about the story and cares about the main character and the resolution of the story) and the feelings of the storyteller are mingled with the feelings of the main character.  The  storyteller communicates, clearly  to  the audience,  that  the storyteller  is  intimately  involved 

 

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with the feelings of the main character.  Those feelings are conveyed to the audience through the use of descriptive and evocative language, both verbal and non‐verbal.    A  great  story  creates  empathy,  that  is,  the  story  evokes  the  character's  feelings  in  the hearts of the listeners and creates the need in the listener to help the character prevail in the moral crisis ahead.  Finally, the great story creates a vivid memory in the listener.  The listener becomes part and parcel of the emotional conflict and crisis of the main character, is engaged with the main character in the crisis, and cares about the character.  The listener desires that the main character prevail and all of  the  listener's emotions are stimulated so  that  the  listener wants  to assist  that main character.      Great  stories  create  vivid  memories.    Vivid  memories  stimulate  the  emotions  of  the listener.  Those memories and those emotions must be engaged when those jurors deliberate your case.  The more the audience participates in the feelings and the emotions of the characters in the story, the more likely the memories will be stamped permanently in the hearts and minds of those jurors.      The great  story engages  the mind and moves  the heart,  involves  the  senses, moves  the emotions, and stimulates the intellect.  The great story shows, not tells.  The logical self, that is the intellect, cannot compete against the emotions.   Emotions create an unbreakable bond between characters  (and  lawyer's clients), and  the  jurors.   Reason may  triumph  in  the end, but emotions stimulate the necessary response.   A winning story  integrates  logic and emotion smoothly  into a simple  dramatic  tale  focused  around  a  person  (whether  real  or  artificial).    Involvement  causes caring.  The winning story motivates the listener to CARE.   

Caring Leads to Action. 

 

‐15‐ 

The Opening Statement:  Winning in the Beginning?  

 “Openings confirm jurors’ beliefs and show that your beliefs are the same and that your case aligns with their attitudes and beliefs.” 

Gianna & Marcy Opening Statements 2d 

(Thomson/Reuters 2014)  The Opening ‐ from the Juror's Standpoint    Studies have shown that some jurors (approximately 13%) decide a case early in the trial, even as soon as the opening statement.  The opening statement is the primary opportunity to sway the jury in your favor, to get them judging the opposition and to involve them in your client’s story.  From a juror's standpoint, a good opening statement: 1) is an introduction to you, your case and your client; 2) provides them with your point of view; 3)  involves them  in and with your case; 4) puts them in your picture.     The powerful opening statement persuades the jury to view the evidence from your point of view.  The powerful opening makes jurors care about your client by dropping them into a crisis.  Crises cause caring and involvement.  “Opening Statements set expectations.  The opening is the one chance to make first impressions. 

The opening illustrates that you are the antidote to deception.” Gianna & Marcy 

Opening Statements 2d (Thomson/Reuters 2014) 

  The Key to a Good Opening    The opening must focus the attention of the listener on the party you will paint as the “evil‐doer.”   The great opening must start  the  jurors  (or  judge) on  the path  to  judging your so‐called “evildoer.”  The key to the successful opening is this:  

“If the opening statements were the whole trial, who would the judge or juror blame?” 

             Gianna & Marcy, Opening Statements 2d              (Thomson Reuters 2014)  If the trier‐of‐fact blames your evildoer, at the conclusion of the opening, you are halfway home to victory.    People who  form  early  opinions  tend  to  keep  those  opinions  and  twist  and  turn  the evidence to conform to their early opinions.   That  is why great openings are critical to success  in the courtroom (or in a mediation or in an arbitration).    Create the opening that drops the judge and jury into the conflict that engulfs your client.  Deliver the opening in story form.  Stories involve the listener and argue for us.  The essence of a story is DRAMA – engage the audience in the decision and give them the tools to end the story in your favor.  

 

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  Every  case must  be  reduced  to  a  SIMPLE  STORY;  every  story must  be  founded  upon  a simple THEME (a “message with a meaning”) that recognizes simple principles that govern us all.  E.g. “Play Fair,” “People Before Profit,” “Go by the Rules,” “Keep Your Promises.”  The great opening flawlessly integrates story and theme and involves the listener in the life of your client.    A solid, visceral opening involves the audience in the life of your client and shows that your client’s motives are pure and clean, while revealing the ulterior motivation of the opponent, the evil‐doer.  It forces the listener into the life of your client, focuses the listener to become involved in  the crisis  that surrounds your client, reveals  the motivation of  the parties and pours as much “Knowledge and Control” (how people assign blame, fault) onto the opposition as possible.  Keep in mind, people divide up responsibility by deciding which party had the knowledge of what was to happen and which had the control to stop the events from happening.  

Telling the Story    The  best  opening  statements  put  the  jury  directly  into  the  picture.    They DRAMATIZE, HUMANIZE AND ORGANIZE your story and your case.  The opening statement must come in the form of a story that instantly, involves the jury in your theme, your story and involves them in the life of your client.   “People stories” are the most effective stories that engage the  listener’s mind and  heart.    In  the  first minute,  involve  the  jury  in  that  story,  set  your  theme  and  begins  the judgment process over the evil‐doer.    An opening statement is never a recitation of witness testimony and never a repetition of the words  "the  evidence will  show.”    The  opening  is NOT  a  table  of  contents.    The  opening statement provides the framework from which the jury will view the whole trial.  For instance, in a rape  case,  the  traditional  (and  non‐persuasive  opening  statement)  relates  the  elements  of  the crime, the proof necessary, etc.  The great opening involves the jury and personalizes the case.  For example:      "At 2:00 a.m. on January 15, Mary Jones was asleep at her apartment.  At 2:02 a.m. 

she awoke and thought she heard something.  She listened again and then tried to go back to sleep.  About a minute later, she heard a noise.  She listened again and heard a board creek in the hallway of her apartment.  She knew then that she was not alone in her apartment at 2:00 a.m. 

 The First Minute    The first minute of your opening statement must capture attention, set the story, draw the jurors  into the picture, set the theme and provide the framework for the  jurors to understand your case.   The opening statement  is the time to draw the  jury  into your story and your visceral theme.  The first minute is the best opportunity to capture the jurors’ attention.  Attention spans are  extremely  short  and  all  of  us  have  been  raised  on  television  sound‐bites.    Television commercials approximate 30 seconds or less.  Any case can be boiled down to a simple story and unified with  a  simple  theme.    For example,  the  automobile  intersectional  collision  case  for  the plaintiff can open like this.      "This is a case of success, failure to yield and 15%.  Why success, because Jim Gable 

was a success at home, in his work, and in his family life.  That all ended on June 6th when that defendant failed to yield to Jim's car.  Why is failure to yield important in this case?   The reason  is that defendant was  in a hurry and refused to follow the rules of the road.  That defendant chose to speed at a busy intersection.  I also said 

 

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this case was a case of 15%.   Unfortunately for Jim Gable, he falls into the 15% of the people who, after having dislocated an elbow, never get  the  full use of  their arm.  We are here, members of the jury, to ask for your help to tell that defendant to own up  to his  responsibility and  to pay  the debt  that  is owed because of his failure  to  yield."    That  defendant  must  accept  responsibility  for  her  choice.  Members of the jury, people in a hurry hurt. 

 The opening must always focus the trier‐of‐fact on the “evil‐doer.”  The persuader wants the jury to begin the judgment process at the very beginning.  The jury focuses on the party judged and that focus, that judging, must start in the opening.    In summary, your Opening must:      Confirm Juror Beliefs 

Show Your Beliefs Are the Same Prove that Your Case Aligns with their Attitudes, Beliefs, Convictions Starts Judging the “Evil‐Doer” Drops Audience Into the Story 

 

Do's  

  Do keep it short and concise.  Do preview important parts of the evidence for the jury.  Do entice the jury to listen for interesting parts of the trial, that is, preview the "coming attractions."  Do  tell  them only what  they need  to  know  to  follow  the  case  from your point of view.   Do  it without notes and do begin and end with your theme.    Look at each  juror  in the eyes.   Mentally and emotionally “shake hands” with each  juror.  Show them with your intensity how important this is.  Don'ts    Don't  read an opening  statement.   Don't  tell  the  jurors all of  the evidence or all of  the details of the evidence.  Don't, most of all, bore the jury and don't argue your case.  

An Opening Statement Outline  

1. Get attention by dropping the audience into the story of your client 2. Set the Theme and attach labels 3. Begin the judging process by focusing on the “evil‐doer” and motivation 4. Reach back in time to the earliest decision that led to the harm 5. Show how the bad/ill‐motivated decisions led to the harm 6. Heap Knowledge and Control on the opponent, the “evil‐doer” 7. Confirm the listener’s beliefs – show that your story aligns with theirs 8. Show that the case theme is consistent with their inner message, attitudes, beliefs 

and convictions 9. Show  that you are  the antidote  to deception –the  leader,  teacher, helper, guide 

from the get‐go 10. Makes weaknesses part of your story 11. Deliver it with Simple, Sincere and Succinct stylistics 12. Tell them what they need to know – not all you know (no Table of Contents) 13. “Shake hands” with them by eye‐to‐eye contact 

 

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Voir Dire:  From the “Right Side” of the Brain 

The modern day advocate uses "the  right  side" of  the brain,  that  is,  the  intuitive,  the emotional, the sensitive side of the brain to converse with  jurors to obtain  information about their attitudes  that may be  important  to  the case.   The words "voir dire" mean  to speak  the truth.  

 Begin the process by developing  juror profiles that profile the good  jurors and the bad 

jurors for liability and damages. Analyze the kinds of people who would, based upon the theme and the theory of the case, be good and bad jurors. Why so?    

The One Valid Purpose of the Voir Dire    The one valid purpose of the voir dire is to find your enemies!  To find your enemies from an attitudinal standpoint.  That’s it!  You must find the enemy sleeper cells hiding in the audience.    The voir dire is not the time to preach to jurors or argue the case.  It is the absolute worst time to try to persuade.  The jurors do not want to be there.  You are a stranger in this strange land.  They mistrust and dislike you from the get‐go.  

Attitudes 

The most  important part of  trial preparation  is  to analyze  the attitudes  that help and hurt your case. A great advocate appreciates the attitudes that are helpful and those that are harmful.  Those  attitudes must  be  compared  with  the  attitudes  of  the  jurors.    In  an  auto intersectional case, the attitude "left turning drivers should always be extra careful and yield to oncoming traffic" is a good attitude for a plaintiff who was hurt by a left turning ‐‐ non‐yielding defendant. The attitude "people shouldn't sue for money" is not a good attitude for a personal injury plaintiff.  The goal in the voir dire is to find the jurors who hold attitudes favorable to the story but, more important, to find the “enemies,” i.e., find those who will never in a million years vote for your client.     Attitudes come from the values we have been taught by those who raised us and the core experiences that impacted our lives.  Jurors use words such as “That’s just like . . . “ to compare the evidence with their own experience.  They juxtapose what they have learned with what was told to them in the trial.   Locate those people in the room whose attitudes, beliefs and values will force them to vote against you, no matter how talented or personable you are and no matter how solid your case theme is.      How do you get people to reveal their inner attitudes to you?  Ask REAL questions that only see honest ANSWERS!  What kinds of questions get those answers you need so much?  Only the most EXTREME questions that are as close to the facts as you can get them ferret out those in the courtroom whose values are extreme, whose values prevent them from voting for your cause.  E.g., in an employment case,  

“How many of you think an employer will always fire the older worker to save money? 

 

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 or  “How many people think that employees will always find a way to promote a man over a woman?”  

Ask these extreme questions and then bounce the answers to the other jurors until you have gotten the max information from the extreme‐thinkers.  Those are the jurors you challenge for cause or on peremptory grounds.  Always encourage jurors to talk, to speak up, to reveal.  The first and most important step is to be the BEST listener you have ever been.    Protect jurors who reveal attitudes favorable to your case theme or case story.  Hide them from the opponent by not permitting them to reveal their biases toward your case.  And when they say something that can be interpreted as adverse to your opponent, protect them with the question that no human being will ever answer “no” to:  

“Despite what you have said, or believe, can you be fair to both sides?” 

Getting Those Attitudes 

The secret to a successful voir dire lies in persuading the jurors to share their attitudes. This is not easy. How does one do that?   

 Start  by  creating  a  comfortable  atmosphere,  that  is  an  atmosphere  that  encourages 

spontaneous expression and sharing of feelings. People do not share their innermost thoughts with  strangers  in  public.  People  answer  questions  in  the way  they  believe  they  should  be answered,  not  in  ways  that  are  100%  truthful.  For  example,  asking  "can  you  be  fair  and impartial"  is guaranteed  to get  the answer "yes,  I can be  fair and  impartial."    Jurors must be encouraged, persuaded  and be made  comfortable enough  to  give  you  their honest  feelings.  You must therefore create a comfortable atmosphere, encourage spontaneous expression, ask real questions, and move from stranger to friend.   

How  can  a  juror's  attitude  toward  your  theme,  your  case,  you  and  your  client  be determined?    First,  explore  the  jurors'  relationships,  feelings  toward  the  issues,  and  life experiences.  Jurors  constantly  make  analogies  to  their  own  life  experiences  in  the  jury deliberation  room; when  they  say “That’s  just  like  .  .  .”   Explore whether  the  jurors or  loved ones  have  experienced  situations  similar  to  the  events  involved  in  the  case.    Establishing rapport  with  the  jurors  and moving  from  the  "WHAT"  questions  to  the  "HOW"  questions provides  that  opening.    Determining  attitudes  from  those  responses  becomes  a matter  of carefully phrasing questions that incorporate the important facts of the case.  Asking jurors how they feel about your theme is the best way to start them talking.  “Do you think that there has to be an accident  to have an  injury on  the  job?” Then, ask  the extreme questions  to dig out those people who will never vote for your case.   E.g. “Do you think there cannot be a real on‐the‐job injury unless the accident is reported to the company?” 

Persuasion Through Nonverbal Communication 

The poet, singer and advocacy teacher Sting says, "Every step you take, every breath you take, every move you make" has a purpose. As such, here are a few  items to consider as you wait your turn:  

 

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  1.   Appear at ease in the courtroom.    2.   Avoid any social interactions with your opponents.    3.   Be aware of the materials on your table.    4.   Avoid displaying any negative social habits.    5.   Be attentive to the judge's ritualistic opening remarks.   

A Basic Tool:  Managing Juror Names 

Use a method comfortable to you to manage juror names and information you receive during the voir dire. Forms for each individual juror seem to work best. Some lawyers, however, use charts effectively. Whatever  it  is, have control over  this  system. Avoid note  taking when talking to them. 

Begin Voir Dire With a Mini Opening Statement 

A mini opening or "voir dire preface" will give the jurors what they need to know, when they  need  to  know  it.  This  is  not  the  time  for  oratory  or  showmanship.  You  should  display directness,  commitment,  confidence  and  purpose  ‐‐  all  of  which  must  sound  totally spontaneous. Your  introductory voir dire comments should send at  least five messages to the jury. When you have finished, each juror should understand:  

  1.   That you have confidence in your case and expect to win.    2.   That you believe your side is the true and just side.    3.   That you and your client want this trial.    4.   That you and your client are a team. And that the outcome matters deeply      to both.    5.   That you are sensitive to each juror's desire for privacy and you will      respect and honor these concerns during voir dire.   Never argue (or be perceived to argue) your case in voir dire.  

The Questioning: Become the Best Listener the Jurors Have Ever Had 

The  secret  to  real  and effective  juror  conversation  is  this: Do not  think of  yourself  ‐‐ identify with their concerns. The best style is that style which shows a spirit of warmth, concern and humanity. Lawyers can do this best by  listening! None of us ever feels we are  listened to with the intensity we deserve. So it follows that if you want to relate meaningfully to jurors, you must be extremely attentive. You must not only be a nonverbal  listener, you must hear and process every answer.   

The  trick  is  to  graciously  enter  their  lives,  their  hearts  and  their  souls.  But  lawyers cannot get that intimacy, cannot establish that rapport, don't become friends by playing games, by intimidation or just by "getting the facts and just the facts." The secret therefore, is to create that  comfortable  non‐threatening  atmosphere  that will  encourage  spontaneous  expression. How  is that done? The  lawyer must move from stranger to friend. The  lawyer must graciously enter  their  lives  and  establish  that  rapport.  This  is  especially  so  if  you want  the  jurors  to confess. In order for them to confess, they must trust you and you must confess. Confession is necessary. You need to know the  inner person. What their attitudes are, what makes up their inner soul. In truth, it is not what they think, but what they feel that is important. However, you cannot ask those terribly direct questions. "Who is he angry at?" "Who will she try to punish?" 

 

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The lawyer must obtain this information indirectly.  

The lawyer can take advantage of these "poor souls". The people in that box are feeling: intimidated, alienated and incompetent. In fact, most of them are blinded by these feelings. We all have the fear of being discovered, we all have a fear of the unknown, and we all have the fear of looking stupid. How to deal with these "poor souls?" Turn those feelings around.  

How do we do this:  

Be self‐assured.  

Be at home.  

Be competent and trustworthy  

Be respectful.  

The  lawyer  can  therefore decrease  their  fear  (and  therefore  take advantage of  these 

emotions), but don't expect the jurors to reveal themselves center stage. Trust in them, make them proud to show off, make them comfortable and make them, most of all, trust you. What, therefore, is the secret technique?   

Is There a Secret Technique? 

There  is no  secret  technique  to an effective voir dire. The effective  lawyer goes  from stranger  to  friend. How  is  that done.  Simply  stated,  go  from  the  statistical questions  to  the objective  questions,  from  their  "knowledge  of  things"  questions  to  their  experience.  That  is, don't play games, don't intimidate, don't just get the facts, but graciously enter the jurors' lives, hearts and souls by being interested in what they really think and what they feel.  

There are three basic types of questions:  

    1. The "WHAT" questions ‐‐ get the facts;      2. The "WHY" questions ‐‐ get the explanations;      3. The "HOW" questions ‐‐ get the feelings.   

Influence Continuum 

The Cambridge jury studies classify individuals according to how influential a juror is or is  likely  to  be  in  the  jury  deliberation  room.  Lawyers  mistakenly  look  only  for  potential forepersons.  Research has revealed, however, that there are three or four "forepeople" in the jury called persuaders. Three or  four people  (roughly 25%) make over 50% of the statements during deliberations. They are active leaders and coalition builders.  They are relatively easy to spot in a jury if one is surveying a group for more than one leader.  Men in their 40's are most likely  to  be  among  this  group,  followed  by  older  professional  women,  people  with  higher education  and  job  status. Prior  jury  service often gives  them  special  credibility among other jurors and an otherwise quiet juror might emerge as a leader. Previous experience managing or supervising  people  is  also  a  clue  to who may  be  considered  a  persuader.  Persuaders make active statements about the evidence and build coalitions.  

The second group of jurors are participants. These jurors (usually 50%), are very verbal, active and  responsive. Whereas a persuader will often  take a  statement of  fact  from a  trial, 

 

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participants  are  more  likely  to  offer  opinions.    For  example,  a  persuader  might  say  "the engineer said that the bicycle was defective because it had poor balance."  A participant might respond  "well,  in my  opinion,  that  engineer  was  a  pretty  believable  witness.  I  trust  him." Participants  do  not  generally  build  coalitions  but  actively  support  the  leadership  of  the persuaders.   

Finally,  there  are non‐participants, who make up  the  remaining  three or  four  jurors. They generally say very little. They are passive and are clearly followers.  They volunteer few, if any, comments unless called upon by the group to speak.  Most of the time when that happens, they  usually  pass  the  opportunity  or  say  "I  agree with what  she  said."  They will  follow  the majority inclination.  

The importance of these distinctions is in recognizing where to focus jury challenges. It is a waste of time to eliminate a non‐participant  in a civil case.   Even  if such a  jury disagreed with your position, they would not persuade others of their point of view.  Instead, focus  jury challenges on the three or  four  jurors who are  likely to be persuaders  ‐‐ and who are against you.  You  must  eliminate  persuaders  who  are  likely  to  oppose  your  position.  If  you  are successful  in eliminating them and their replacements are acceptable, you can then turn your focus to the participants.   A Silent Tool:  The Hidden Persuader 

The  voir dire  is never  the place, or  time,  to argue.   However, after  you have elicited information from the jurors that you need, you may consider sensitizing jurors to an important concept.    The  form  of  a  question  influences  whether  you  are  asking  for  information  or conveying  information.   You can use questions as a subtle form of persuasion. Questions that persuade,  rather  than ask,  come  in many  forms. The  formula  is  to make a  statement while asking  the question.  Jurors will make  the  inference  that  the  statement  is  true and  focus on what  is being asked. For example, ask "Do you think that some accidents happen without the fault or negligence of others?" On  the  face of  it, you are asking about  their attitudes  toward accidents and whether accidents can happen without anyone being  liable.   However,  in truth, you are  stating  that  this  case  is about an accident but no one  is at  fault.    Interestingly,  jury research  shows  that  jurors  use  these  statements  of  facts  as  evidence  in  support  of  their position.  

How questions  ferret out and get attitudes. Why questions get  the explanations.   Ask the how questions when it is appropriate to do so, when the jurors have been sensitized to the inquiry and know that the  lawyer  is truly  listening. How questions can be asked indirectly. For example, in a case about a sports car causing an intersectional collision accident, jurors should be asked whether he or she ever owned a sports car, would like to own a sports car, or has had experience at  intersections with sports cars attempting to beat changing traffic  lights.   Follow up with “why you have never wanted to own a sports car” and then “how do you think people act differently when behind the wheel of a sports car?” 

The voir dire can be an enormously effective silent advocacy tool to determine who the worst jurors are and to implant a theme. Use your “right” brain, your intuitive side to find those enemies and plant the seed of your theme.   

Juror Bias 

Everyone  is  biased.  Every  person  has  "leanings"  for  and  against  something.  Consider 

 

‐23‐ 

whether  a  potential  juror’s  bias  or  prejudice will  skew  the  juror  against  you.  Is  that bias or prejudice  important to their consideration?   Experience shows that  juror bias,  juror prejudice, juror attitudes one way or another on an important issue are best discussed with the lawyer ‐‐ rather than without.  Explore biases in the open.  Encourage jurors to share their leanings with you.   DO NOT  fall prey to the  idea that a  juror exposing a bias will skew others.    If one  juror reveals a bias or a bad experience, do NOT assume that the others will buy into the comment.  The  comment  “I hate doctors –  they are greedy,”  is not  going  to poison  the panel.   Rather, discuss  the  facts  behind  the  bias,  affirming  the  person’s  right  to  be  biased.    Bounce  that statement off the other jurors – you will get a lively discussion going.  Rather they discuss this bias in your presence then later on, without you – in the deliberation room. 

How,  then  to  confront  juror  bias?  Some  think,  for  some  reason,  that  the  "head‐on" approach is the best. "Are you prejudiced against ex‐convicts?", they ask. Some believe the best way is to force the panel into submission. "Some of my best friends are crooks, how about you?" Some seek to solicit frank and honest opinions about embarrassing situations. The best lawyers, however,  recognize  the  nature  of  the  bias,  are  understanding  and  nonjudgmental  about adverse opinions and feelings, acknowledge their concerns and why they are concerned, seek an honest expression of opinion (not a one syllable answer) and turn that adverse opinion or feeling around. ("Have you ever heard of someone who has been convicted of a crime who has reformed? Do you know anyone  like  that? Do you think  it's possible  for someone to pay their debt to society and become a good person?")  

The  secret,  is  always  to  create  a  comfortable  non‐threatening  atmosphere  that encourages spontaneous expression and that helps  jurors to reveal their  leanings one way or the other. There are words and phrases that can be used by the trial lawyer to help the process along. For example, why not use the words "fixed notions" about things? How about "leanings" one way or another? Or,  for another example, "When  I was twelve,  I stole a paperback book from the drug store. Have you ever had that kind of an experience?"  

Play  tag with  the prospective  jurors  –  encourage  a  lively discussion of  the  important issues. 

The  voir  dire  is  the  only  time  when  prospective  jurors  can  (and must)  reveal  their attitudes and beliefs.  Encourage this expression of values and opinions.  It is a treasure trove.  Voir Dire Steps   I. Start Them Talking ‐‐ Ask Real Questions  

Their interests  

Compliment them  

Establish a rapport   

DON'T PRY 

Example: "How can you manage that financial strain ...?"  

II. Respond ‐‐ Not React  

 

‐24‐ 

It  is  uncanny  how  people  spot  how  you  feel  about  them.  Therefore,  show friendliness/interest. 

Establish a quick, positive attitude. 

Don't Bury Thoughts and Feelings 

Don't Just Bounce Words Around 

Respond to Everyone's Uniqueness 

Find a Topic That Interests Him 

Remember,  their  needs  must  come  first.    For  example:  Help  them  express themselves.  

III. Right Words at the Right Time     Make  use  of  those words  that make  others  feel  good  about  you.  For  example:  You, yours, we, ourselves, us.         The bad words ‐‐ "I, me."     Use simple words ‐‐ who "executes documents" ‐‐ only lawyers.     Don't use red flag words ‐‐ "Housewife".     No slang.  

IV. Rise Above Shyness and Timidity  

  Use your eyes.  

V. Five Steps to Establish You as a Communicator:     1.   Identify your listener and match particular energy level and eye contact.    2.   Show you understand the other person's point of view.    3.   Ask for clarification.      Example: "I want to be sure I understand you ..."    4.   Realize trust can't be forced ‐‐ you must earn trust.    5.   Use trusting behavior.      Friendliness/warmth/interest in their problems and thoughts.  

Three Voir Dire Problems  1.) Most jurors don’t talk. You must set the tone to encourage people to talk. You 

must  invite them to talk. You must ask them open‐ended questions.  Jurors are fearful  of  talking  because  they most  probably  are  afraid  of  public  speaking, concerned about being stigmatized and don’t want to reveal their inner feelings. Therefore,  be  a  good  listener. Observe  the  juror’s  non‐verbal  communication.  Use an empathetic approach to flush out answers. For example:  

  “I sense some hesitation in your answer. It is absolutely okay to have 

some hesitations or reservations; I just need to know.”  

 

‐25‐ 

  “How would you feel if you were chosen to be on the jury?”  

  “Have you ever held a different view on this issue?”  

Be a good listener. In fact, be the best listener you ever have been.  

2.)  A few talk too much. Don’t cut jurors off, but make sure everyone gets   equal time.  

  3.)  Most  jurors  don’t  tell  the  truth. More  perjury  is  committed  during  the  voir 

  dire than any other times and places in America.  

The Top 10 Questions and Phrases You Should Never Use 

10   Do you understand that the law says . . .? 

9   I take it from your silence that . . .  

8   Does anyone have a problem with . . .?  

7   Will you keep an open mind and not decide this case until you’ve  

  heard all the evidence? 

6   Can you set aside your bias and decide the case on the facts?  

5   Has anyone formed an opinion about . . . ?  

4   Can every one of you be a fair and impartial juror in a case like this?  

3   Will you promise me that . . . ?  

2   I trust you will agree . . .  

1   Do any members of the panel have any feelings about . . . (The  

  question to ask is “What feelings do you have, Mrs. Jones, about . . .?”) 

 The Five Golden Rules for a Successful Voir Dire 

  1. Ask real questions ‐ get them talking    2. Shut up!    3. Listen    4. Follow up ‐ keep them talking    5. Affirm and then bounce   

*Remember – You Are Searching for the Sleeper Cells Hidden in the Voir Dire Panel.* 

 

 

Barbara Seymour

Columbia, SC

Ethical Considerations in Busi-

ness Development, Marketing

and Supervising Partner/Senior

Lawyer Responsibilities Under

the Rules of Professional

Conduct

Next Steps for Young Lawyers:

Ethics of Management and Marketing Barbara M. Seymour

Office of Disciplinary Counsel (11/11/16)

Part I - Rules of Professional Conduct Related to Law Firm Management

RULE 5.1: RESPONSIBILITIES OF PARTNERS, MANAGERS, AND SUPERVISORY

LAWYERS

(a) A partner in a law firm, and a lawyer who individually or together with other lawyers

possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure

that the firm has in effect measures giving reasonable assurance that all lawyers in the firm

conform to the Rules of Professional Conduct.

(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable

efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.

(c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional

Conduct if:

(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct

involved; or

(2) the lawyer is a partner or has comparable managerial authority in the law firm in

which the other lawyer practices, or has direct supervisory authority over the other

lawyer, and knows of the conduct at a time when its consequences can be avoided or

mitigated but fails to take reasonable remedial action.

(d) Partners and lawyers with comparable managerial authority who reasonably believe that a

lawyer in the law firm may be suffering from a significant impairment of that lawyer's cognitive

function shall take action to address the concern with the lawyer and may seek assistance by

reporting the circumstances of concern pursuant to Rule 428, SCACR.

Comment

[1] Paragraph (a) applies to lawyers who have managerial authority over the professional work of

a firm. See Rule 1.0(e). This includes members of a partnership, the shareholders in a law firm

organized as a professional corporation, and members of other associations authorized to practice

law; lawyers having comparable managerial authority in a legal services organization or a law

department of an enterprise or government agency; and lawyers who have intermediate

managerial responsibilities in a firm. Paragraph (b) applies to lawyers who have supervisory

authority over the work of other lawyers in a firm.

[2] Paragraph (a) requires lawyers with managerial authority within a firm to make reasonable

efforts to establish internal policies and procedures designed to provide reasonable assurance that

all lawyers in the firm will conform to the Rules of Professional Conduct. Such policies and

procedures include those designed to detect and resolve conflicts of interest, identify dates by

which actions must be taken in pending matters, account for client funds and property and ensure

that inexperienced lawyers are properly supervised.

[3] Other measures that may be required to fulfill the responsibility prescribed in paragraph (a)

can depend on the firm's structure and the nature of its practice. In a small firm of experienced

lawyers, informal supervision and periodic review of compliance with the required systems

ordinarily will suffice. In a large firm, or in practice situations in which difficult ethical problems

frequently arise, more elaborate measures may be necessary. Some firms, for example, have a

procedure whereby junior lawyers can make confidential referral of ethical problems directly to a

designated senior partner or special committee. See Rule 5.2. Firms, whether large or small, may

also rely on continuing legal education in professional ethics. In any event, the ethical

atmosphere of a firm can influence the conduct of all its members and the partners may not

assume that all lawyers associated with the firm will inevitably conform to the Rules.

[4] Paragraph (c) expresses a general principle of personal responsibility for acts of another. See

also Rule 8.4(a).

[5] Paragraph (c)(2) defines the duty of a partner or other lawyer having comparable managerial

authority in a law firm, as well as a lawyer who has direct supervisory authority over

performance of specific legal work by another lawyer. Whether a lawyer has supervisory

authority in particular circumstances is a question of fact. Partners and lawyers with comparable

authority have at least indirect responsibility for all work being done by the firm, while a partner

or manager in charge of a particular matter ordinarily also has supervisory responsibility for the

work of other firm lawyers engaged in the matter. Appropriate remedial action by a partner or

managing lawyer would depend on the immediacy of that lawyer's involvement and the

seriousness of the misconduct. A supervisor is required to intervene to prevent avoidable

consequences of misconduct if the supervisor knows that the misconduct occurred. Thus, if a

supervising lawyer knows that a subordinate misrepresented a matter to an opposing party in

negotiation, the supervisor as well as the subordinate has a duty to correct the resulting

misapprehension.

[6] Professional misconduct by a lawyer under supervision could reveal a violation of paragraph

(b) on the part of the supervisory lawyer even though it does not entail a violation of paragraph

(c) because there was no direction, ratification or knowledge of the violation.

[7] Apart from this Rule and Rule 8.4(a), a lawyer does not have disciplinary liability for the

conduct of a partner, associate or subordinate. Whether a lawyer may be liable civilly or

criminally for another lawyer's conduct is a question of law beyond the scope of these Rules.

[8] The duties imposed by this Rule on managing and supervising lawyers do not alter the

personal duty of each lawyer in a firm to abide by the Rules of Professional Conduct. See Rule

5.2(a).

[9] Paragraph (d) expresses a principle of responsibility to the clients of the law firm. Where

partners or lawyers with comparable authority reasonably believe a lawyer is suffering from a

significant cognitive impairment, they have a duty to protect the interests of clients and ensure

that the representation does not harm clients or result in a violation of these rules. See Rule

1.16(a). One mechanism for addressing concerns before matters must be taken to the

Commission on Lawyer Conduct is found in Rule 428, SCACR. See also Rule 8.3(c) regarding

the obligation to report a violation of the Rules of Professional Conduct when there is knowledge

a violation has been committed as opposed to a belief that the lawyer may be suffering from an

impairment of the lawyer's cognitive function.

RULE 5.3: RESPONSIBILITIES REGARDING NONLAWYER ASSISTANTS

With respect to a nonlawyer employed or retained by or associated with a lawyer:

(a) a partner, and a lawyer who individually or together with other lawyers possesses comparable

managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in

effect measures giving reasonable assurance that the person’s conduct is compatible with the

professional obligations of the lawyer;

(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable

efforts to ensure that the person’s conduct is compatible with the professional obligations of the

lawyer; and

(c) a lawyer shall be responsible for conduct of such a person that would be a violation of the

Rules of Professional Conduct if engaged in by a lawyer if:

(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct

involved; or

(2) the lawyer is a partner or has comparable managerial authority in the law firm in

which the person is employed, or has direct supervisory authority over the person, and

knows of the conduct at a time when its consequences can be avoided or mitigated but

fails to take reasonable remedial action.

Comment

[1] Lawyers generally employ assistants in their practice, including secretaries, investigators, law

student interns, and paraprofessionals. Such assistants, whether employees or independent

contractors, act for the lawyer in rendition of the lawyer’s professional services. A lawyer must

give such assistants appropriate instruction and supervision concerning the ethical aspects of

their employment, particularly regarding the obligation not to disclose information relating to

representation of the client, and should be responsible for their work product. The measures

employed in supervising nonlawyers should take account of the fact that they do not have legal

training and are not subject to professional discipline.

[2] Paragraph (a) requires lawyers with managerial authority within a law firm to make

reasonable efforts to establish internal policies and procedures designed to provide reasonable

assurance that nonlawyers in the firm will act in a way compatible with the Rules of Professional

Conduct. See Comment [1] to Rule 5.1. Paragraph (b) applies to lawyers who have supervisory

authority over the work of a nonlawyer. Paragraph (c) specifies the circumstances in which a

lawyer is responsible for conduct of a nonlawyer that would be a violation of the Rules of

Professional conduct if engaged in by a lawyer.

RULE 5.5: UNAUTHORIZED PRACTICE OF LAW; MULTIJURISDICTIONAL

PRACTICE OF LAW

(a) A lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal

profession in that jurisdiction or assist another in doing so.

(b) A lawyer who is not admitted to practice in this jurisdiction shall not:

(1) except as authorized by these Rules or other law, establish an office or other

systematic and continuous presence in this jurisdiction for the practice of law; or

(2) hold out to the public or otherwise represent that the lawyer is admitted to practice

law in this jurisdiction.

(c) A lawyer admitted 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

that:

(1) are undertaken in association with a lawyer who is admitted to practice in this

jurisdiction and who actively participates in the matter;

(2) are in or reasonably related to a pending or potential proceeding before a tribunal in

this or another jurisdiction, if the lawyer, or a person the lawyer is assisting, is authorized

by law or order to appear in such proceeding or reasonably expects to be so authorized;

(3) 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 representation of an existing client in

a jurisdiction in which the lawyer is admitted to practice and are not services for which

the forum requires pro hac vice admission; or

(4) are not within paragraph (c)(2) or (c)(3) and arise out of or are reasonably related to

the lawyer's representation of an existing client in a jurisdiction in which the lawyer is

admitted to practice.

(d) A lawyer admitted in another United States jurisdiction, and not disbarred or suspended from

practice in any jurisdiction, may provide legal services in this jurisdiction that:

(1) are provided to the lawyer's employer or its organizational affiliates and are not

services for which the forum requires pro hac vice admission; or

(2) are services that the lawyer is authorized to provide by federal law or other law of this

jurisdiction.

Comment

[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), the 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

pre-existing representation of a client 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. For the purposes of this

rule, a lawyer who is not admitted to practice in South Carolina who seeks to provide legal

services pursuant to Rule 5.5(c)(3) in more than three matters in a 365-day period shall be

presumed to be providing legal services on a regular, not temporary, basis. A lawyer providing

legal services pursuant to paragraph (c)(3) must comply with the requirements of Rule 404,

SCACR.

[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 pre-existing representation of a client 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] Paragraph (c)(3) requires that the services arise out of or be reasonably related to the

lawyer's pre-existing representation of a client 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 for the client 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 issue 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. Lawyers not otherwise authorized to practice law in this

jurisdiction desiring to provide pro bono legal services on a temporary basis in this jurisdiction

following a major disaster should consult Rule 426, SCACR (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] Paragraphs (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 in this

jurisdiction by lawyers who are admitted to practice in other jurisdictions. Whether and how

lawyers may communicate the availability of their services in this jurisdiction is governed by

Rules 7.1 to 7.5.

RULE 5.7: RESPONSIBILITIES REGARDING LAW RELATED SERVICES

(a) A lawyer shall be subject to the Rules of Professional Conduct with respect to the provision

of law related services, as defined in paragraph (b), if the law related services are provided:

(1) by the lawyer in circumstances that are not distinct from the lawyer's provision of

legal services to clients; or

(2) in other circumstances by an entity controlled by the lawyer individually or with

others if the lawyer fails to take reasonable measures to assure that a person obtaining the

law related services knows that the services are not legal services and that the protections

of the client lawyer relationship do not exist.

(b) The term “law related services” denotes services that might reasonably be performed in

conjunction with and in substance are related to the provision of legal services, and that are not

prohibited as unauthorized practice of law when provided by a nonlawyer.

Comment

[1] When a lawyer performs law-related services or controls an organization that does so, there

exists the potential for ethical problems. Principal among these is the possibility that the person

for whom the law-related services are performed fails to understand that the services may not

carry with them the protections normally afforded as part of the client-lawyer relationship. The

recipient of the law-related services may expect, for example, that the protection of client

confidences, prohibitions against representation of persons with conflicting interests, and

obligations of a lawyer to maintain professional independence apply to the provision of law

related services when that may not be the case.

[2] Rule 5.7 applies to the provision of law related services by a lawyer even when the lawyer

does not provide any legal services to the person for whom the law related services are

performed and whether the law related services are performed through a law firm or a separate

entity. The Rule identifies the circumstances in which all of the Rules of Professional Conduct

apply to the provision of law related services. Even when those circumstances do not exist,

however, the conduct of a lawyer involved in the provision of law related services is subject to

those Rules that apply generally to lawyer conduct, regardless of whether the conduct involves

the provision of legal services. See, e. g., Rule 8.4.

[3] When law related services are provided by a lawyer under circumstances that are not distinct

from the lawyer's provision of legal services to clients, the lawyer in providing the law related

services must adhere to the requirements of the Rules of Professional Conduct as provided in

paragraph (a)(1). Even when the law related and legal services are provided in circumstances that

are distinct from each other, for example through separate entities or different support staff

within the law firm, the Rules of Professional Conduct apply to the lawyer as provided in

paragraph (a)(2) unless the lawyer takes reasonable measures to assure that the recipient of the

law related services knows that the services are not legal services and that the protections of the

client lawyer relationship do not apply.

[4] Law-related services also may be provided through an entity that is distinct from that through

which the lawyer provides legal services. If the lawyer individually or with others has control of

such an entity’s operations, the Rule requires the lawyer to take reasonable measures to assure

that each person using the services of the entity knows that the services provided by the entity

are not legal services and that the Rules of Professional Conduct that relate to the client lawyer

relationship do not apply. A lawyer's control of an entity extends to the ability to direct its

operation. Whether a lawyer has such control will depend upon the circumstances of the

particular case.

[5] When a client-lawyer relationship exists with a person who is referred by a lawyer to a

separate law-related service entity controlled by the lawyer, individually or with others, the

lawyer must comply with Rule 1.8(a).

[6] In taking the reasonable measures referred to in paragraph (a)(2) to assure that a person using

law-related services understands the practical effect or significance of the inapplicability of the

Rules of Professional Conduct, the lawyer should communicate to the person receiving the law-

related services, in a manner sufficient to assure that the person understands the significance of

the fact, that the relationship of the person to the business entity will not be a client lawyer

relationship. The communication should be made before entering into an agreement for provision

of or providing law related services, and preferably should be in writing.

[7] The burden is upon the lawyer to show that the lawyer has taken reasonable measures under

the circumstances to communicate the desired understanding. For instance, a sophisticated user

of law related services, such as a publicly held corporation, may require a lesser explanation than

someone unaccustomed to making distinctions between legal services and law related services,

such as an individual seeking tax advice from a lawyer accountant or investigative services in

connection with a lawsuit.

[8] Regardless of the sophistication of potential recipients of law related services, a lawyer

should take special care to keep separate the provision of law related and legal services in order

to minimize the risk that the recipient will assume that the law related services are legal services.

The risk of such confusion is especially acute when the lawyer renders both types of services

with respect to the same matter. Under some circumstances the legal and law related services

may be so closely entwined that they cannot be distinguished from each other, and the

requirement of disclosure and consultation imposed by paragraph (a)(2) of the Rule cannot be

met. In such a case a lawyer will be responsible for assuring that both the lawyer's conduct and,

to the extent required by Rule 5.3, that of nonlawyer employees in the distinct entity that the

lawyer controls complies in all respects with the Rules of Professional Conduct.

[9] A broad range of economic and other interests of clients may be served by lawyers engaging

in the delivery of law-related services. Examples of law related services include providing title

insurance, financial planning, accounting, trust services, real estate counseling, legislative

lobbying, economic analysis, social work, psychological counseling, tax preparation, and patent,

medical or environmental consulting.

[10] When a lawyer is obliged to accord the recipients of such services the protections of those

Rules that apply to the client lawyer relationship, the lawyer must take special care to heed the

proscriptions of the Rules addressing conflict of interest (Rules 1.7 through 1.11, especially

Rules 1.7(a)(2) and 1.8 (a), (b) and (f)), and to scrupulously adhere to the requirements of Rule

1.6 relating to disclosure of confidential information. The promotion of the law related services

must also to all respects comply with Rules 7.1 through 7.3, dealing with advertising and

solicitation. In that regard, lawyers should take special care to identify the obligations that may

be imposed as a result of a jurisdiction's decisional law.

[11] When the full protections of all of the Rules of Professional Conduct do not apply to the

provision of law related services, principles of law external to the Rules, for example, the law of

principal and agent, govern the legal duties owed to those receiving the services. Those other

legal principles may establish a different degree of protection for the recipient with respect to

confidentiality of information, conflicts of interest and permissible business relationships with

clients. See also Rule 8.4 (Misconduct).

Part II - Rules of Professional Conduct Related to Law Firm Marketing

RULE 7.1: COMMUNICATIONS CONCERNING A LAWYER'S SERVICES

A lawyer shall not make false, misleading, or deceptive communications about the lawyer or the

lawyer's services. A communication violates this rule if it:

(a) contains a material misrepresentation of fact or law, or omits a fact necessary to make

the statement considered as a whole not materially misleading;

(b) is likely to create an unjustified expectation about results the lawyer can achieve, or

states or implies that the lawyer can achieve results by means that violate the Rules of

Professional Conduct or other law;

(c) compares the lawyer's services with other lawyers' services, unless the comparison

can be factually substantiated;

(d) contains a testimonial about, or endorsement of, the lawyer

(1) without identifying the fact that it is a testimonial or endorsement;

(2) for which payment has been made, without disclosing that fact;

(3) which is not made by an actual client, without identifying that fact; and

(4) which does not clearly and conspicuously state that any result the endorsed

lawyer or law firm may achieve on behalf of one client in one matter does not

necessarily indicate similar results can be obtained for other clients.

(e) contains a nickname, moniker, or trade name that implies an ability to obtain results in

a matter.

Comment

[1] This Rule governs all communications about a lawyer's services, including advertising

permitted by Rule 7.2. Whatever means are used to make known a lawyer's services, statements

about them must be truthful.

[2] Truthful statements that are misleading are also prohibited by this Rule. A truthful statement

is misleading if it omits a fact necessary to make the lawyer's communication considered as a

whole not materially misleading. A truthful statement is also misleading if there is a substantial

likelihood that it will lead a reasonable person to formulate a specific conclusion about the

lawyer or the lawyer's services for which there is no reasonable factual foundation.

[3] An advertisement that truthfully reports a lawyer's achievements on behalf of clients or

former clients may be misleading if presented so as to lead a reasonable person to form an

unjustified expectation that the same results could be obtained for other clients in similar matters

without reference to the specific factual and legal circumstances of each client's case. Similarly,

an unsubstantiated comparison of the lawyer's services or fees with the services or fees of other

lawyers may be misleading if presented with such specificity as would lead a reasonable person

to conclude that the comparison can be substantiated. The inclusion of an appropriate disclaimer

or qualifying language may preclude a finding that a statement is likely to create unjustified

expectations or otherwise mislead the public.

For instance, the prohibition in paragraph (b) on statements likely to create "unjustified

expectations" may preclude, and the limitations in paragraph (d) on testimonials and

endorsements does preclude, advertisements about results obtained on behalf of a client, such as

the amount of a damage award or the lawyer's record in obtaining favorable verdicts, unless they

state clearly and conspicuously that any result the lawyer or law firm may have achieved on

behalf of clients in other matters does not necessarily indicate similar results can be obtained for

other clients. Such information may create the unjustified expectation that similar results can be

obtained for others without reference to the specific factual and legal circumstances.

[4] Paragraph (e) precludes the use of nicknames, such as the "Heavy Hitter" or "The Strong

Arm," that suggest the lawyer or law firm has an ability to obtain favorable results for a client in

any matter. A significant possibility exists that such nicknames will be used to mislead the public

as to the results that can be obtained or create an unsubstantiated comparison with the services

provided by other lawyers. See also Rule 8.4(f)(prohibition against stating or implying an ability

to influence improperly a government agency or official or to achieve results by means that

violate the Rules of Professional Conduct or other law).

RULE 7.2: ADVERTISING

(a) Subject to the requirements of this Rule and Rules 7.1 and 7.3, a lawyer may advertise

services through written, recorded or electronic communication, including public media. All

advertisements shall be predominately informational such that, in both quantity and quality, the

communication of factual information rationally related to the need for and selection of a lawyer

predominates and the communication includes only a minimal amount of content designed to

attract attention to and create interest in the communication.

(b) A lawyer is responsible for the content of any advertisement or solicitation placed or

disseminated by the lawyer and has a duty to review the advertisement or solicitation prior to its

dissemination to reasonably ensure its compliance with the Rules of Professional Conduct. The

lawyer shall keep a copy or recording of every advertisement or communication for two (2) years

after its last dissemination along with a record of when and where it was disseminated.

(c) A lawyer shall not give anything of value to a person for recommending the lawyer's services

except that a lawyer may

(1) pay the reasonable costs of advertisements or communications permitted by this Rule;

(2) pay the usual charges of a legal service plan or a not-for-profit lawyer referral service,

which is itself not acting in violation of any Rule of Professional Conduct; and

(3) pay for a law practice in accordance with Rule 1.17.

(d) Any communication made pursuant to this Rule shall include the name and office address of

at least one lawyer responsible for its content.

(e) No lawyer shall, directly or indirectly, pay all or a part of the cost of an advertisement by a

lawyer not in the same firm unless the advertisement discloses the name and address of the

nonadvertising lawyer, the relationship between the advertising lawyer and the nonadvertising

lawyer, and whether the advertising lawyer may refer any case received through the

advertisement to the nonadvertising lawyer.

(f) Every advertisement that contains information about the lawyer's fee shall disclose whether

the client will be liable for any expenses in addition to the fee and, if the fee will be a percentage

of the recovery, whether the percentage will be computed before deducting the expenses.

(g) A lawyer who advertises a specific fee or range of fees for a particular service shall honor the

advertised fee or fee range for at least ninety (90) days following dissemination of the

advertisement, unless the advertisement specifies a shorter period; provided that a fee advertised

in a publication which is issued not more than annually, shall be honored for one (1) year

following publication.

(h) All advertisements shall disclose the geographic location, by city or town, of the office in

which the lawyer or lawyers who will actually perform the services advertised principally

practice law. If the office location is outside a city or town, the county in which the office is

located must be disclosed. A lawyer referral service shall disclose the geographic area in which

the lawyer practices when a referral is made.

(i) In addition to any specific requirements under these rules, any disclosures or disclaimers

required by these rules to appear in an advertisement or unsolicited written communication must

be of sufficient size to be clearly legible and prominently placed so as to be conspicuous to the

viewer. If the disclosure or disclaimer is televised or broadcast in an electronic or video medium,

it shall be displayed for a sufficient time to enable the viewer to see and read the disclosure or

disclaimer. If the disclosure or disclaimer is spoken aloud, it shall be plainly audible to the

listener. If the statement is made on a website, online profile, Internet advertisement, or other

electronic communication, the required words or statements shall appear on the same page as the

statement requiring the disclosure or disclaimer.

Comment

[1] To assist the public in learning about and obtaining legal services, lawyers should be allowed

to make known their services not only through reputation but also through organized information

campaigns in the form of advertising. Advertising involves an active quest for clients, contrary to

the tradition that a lawyer should not seek clientele. However, the public's need to know about

legal services can be fulfilled in part through advertising. This need is particularly acute in the

case of persons of moderate means who have not made extensive use of legal services. The

interest in expanding public information about legal services ought to prevail over considerations

of tradition. Nevertheless, advertising by lawyers entails the risk of practices that are misleading

or overreaching.

[2] This Rule permits public dissemination of information concerning a lawyer's name or firm

name, address, email address, website, and telephone number; the kinds of services the lawyer

will undertake; the basis on which the lawyer's fees are determined, including prices for specific

services and payment and credit arrangements; a lawyer's foreign language ability; names of

references and, with their consent, names of clients regularly represented; and other information

that might invite the attention of those seeking legal assistance.

[3] Questions of effectiveness and taste in advertising are matters of speculation and subjective

judgment. Some jurisdictions have had extensive prohibitions against television and other forms

of advertising, against advertising going beyond specified facts about a lawyer, or against

"undignified" advertising. Television, the Internet, and other forms of electronic communication

are now among the most powerful media for getting information to the public, particularly

persons of low and moderate income; prohibiting television, Internet, and other forms of

electronic advertising, therefore, would impede the flow of information about legal services to

many sectors of the public. Limiting the information that may be advertised has a similar effect

and assumes that the bar can accurately forecast the kind of information that the public would

regard as relevant. But see Rule 7.3(a) for the prohibition against a solicitation through a real

time electronic exchange initiated by the lawyer.

[4] Regardless of medium, a lawyer's advertisement should provide only useful, factual

information presented in an objective and understandable fashion so as to facilitate a person's

ability to make an informed choice about legal representation. A lawyer should strive to

communicate such information without the use of techniques intended solely to gain attention

and which demonstrate a clear and intentional lack of relevance to the selection of counsel, as

such techniques hinder rather than facilitate intelligent selection of counsel. A lawyer's

advertisement should reflect the serious purpose of legal services and our judicial system. The

state has a significant interest in protecting against a public loss of confidence in the legal

system, including its participants, and in protecting specifically against harm to the jury system

that might be caused by lawyer advertising. The effectiveness of the legal system depends upon

the public's trust that the legal system will operate with fairness and justice. Public trust is likely

to be diminished if the public believes that some participants are able to obtain results through

inappropriate methods. Public confidence also is likely to be diminished if the public perceives

that the personality of their advocate, rather than the legal merit of their claim, is a key factor in

determining the outcome of their matter. It is necessary to ensure that lawyer advertisements do

not have these detrimental impacts. This rule is intended to preserve the public's access to

information relevant to the selection of counsel, while limiting those advertising methods that are

most likely to have a harmful impact on public confidence in the legal system and which are of

little or no benefit to the potential client.

[5] Neither this Rule nor Rule 7.3 prohibits communications authorized by law, such as notice to

members of a class in class action litigation.

Record of Advertising

[6] Paragraph (b) imposes upon the lawyer who disseminates an advertisement or causes its

disseminationthe responsibility for reviewing each advertisement prior to dissemination to ensure

its compliance with the Rules of Professional Conduct. It also requires that a record of the

content and use of advertising be kept in order to facilitate enforcement of this Rule.

Paying Others to Recommend a Lawyer

[7] Except as permitted under paragraphs (c)(1)-(c)(3), lawyers are not permitted to pay others

for recommending the lawyer's services or for channeling professional work in a manner that

violates Rule 7.3. A communication contains a recommendation if it endorses or vouches for a

lawyer's credentials, abilities, competence, character, or other professional qualities. Paragraph

(c)(1), however, allows a lawyer to pay for advertising and communications permitted by this

Rule, including the cost of print directory listings, on-line directory listings, newspaper ads,

television and radio airtime, domain-name registrations, sponsorship fees, Internet-based

advertisements, and group advertising. A lawyer may compensate employees, agents and

vendors who are engaged to provide marketing or client-development services, such as

publicists, public relations personnel, business development staff and website designers.

Moreover, a lawyer may pay others for generating client leads, such as Internet-based client

leads, as long as the lead generator does not recommend the lawyer, any payment to the lead

generator is consistent with Rules 1.5(e) (division of fees) and 5.4 (professional independence of

the lawyer), and the lead generator's communications are consistent with Rule 7.1

(communications concerning a lawyer's services). To comply with Rule 7.1, a lawyer must not

pay a lead generator that states, implies, or creates a reasonable impression that it is

recommending the lawyer, is making the referral without payment from the lawyer, or has

analyzed a person's legal problems when determining which lawyer should receive the referral.

See also Rule 5.3 (duties of lawyers and law firms with respect to the conduct of nonlawyers

who prepare marketing materials for them); Rule 8.4(a) (duty to avoid violating the Rules

through the acts of another).

[8] A lawyer may pay the usual charges of a legal service plan or a not-for-profit lawyer referral

service, which is itself not acting in violation of the Rules of Professional Conduct. A legal

service plan is a prepaid or group legal service plan or a similar delivery system that assists

people who seek to secure legal representation. A lawyer referral service, on the other hand, is

any organization that holds itself out to the public as a lawyer referral service. Such referral

services are understood by the public to be consumer-oriented organizations that provide

unbiased referrals to lawyers with appropriate experience in the subject matter of the

representation and afford other client protections, such as complaint procedures or malpractice

insurance requirements. Consequently, this Rule only permits a lawyer to pay the usual charges

of a not-for-profit lawyer referral service. The "usual charges" may include a portion of legal

fees collected by a lawyer from clients referred by the service when that portion of fees is

collected to support the expenses projected for the referral service.

[9] A lawyer who accepts assignments or referrals from a legal service plan or referrals from a

lawyer referral service must act reasonably to assure that the activities of the plan or service are

compatible with the lawyer's professional obligations. See Rule 5.3. Legal service plans and

lawyer referral services may communicate with the public, but such communication must be in

conformity with these Rules. Thus, advertising must not be false or misleading, as would be the

case if the communications of a group advertising program or a group legal services plan would

mislead the public to think that it was a lawyer referral service sponsored by a state agency or bar

association. See also Rule 7.3(b).

[10] Paragraph (d) is intended to work in conjunction with paragraph (b) to provide

accountability for the content of lawyer advertising. It applies only to communications that

contain substantive advertising or soliciting statements and inferences beyond a lawyer or law

firm's mere name, design logo, and ordinary contact information. Thus lawyers may advertise

through promotional items, such as pens, clothing, coffee mugs, and signage without the need for

the name and address of an individual lawyer responsible for the materials, provided that such

items or signage contain nothing other than the firm name, logo, and contact information; that

any logo is merely a design shape and not a depiction; and that any included contact information

does not contain a tagline or slogan. Any depiction (such as an animal, hammer, or other

recognizable thing) within a logo triggers the requirement of paragraph (d), as does any slogan,

tagline, or logo whether used as a part of contact information (e.g., www.sclawyer.com or 1-800-

SC-LAWYER) or otherwise.

RULE 7.2: ADVERTISING

(a) Subject to the requirements of this Rule and Rules 7.1 and 7.3, a lawyer may advertise

services through written, recorded or electronic communication, including public media. All

advertisements shall be predominately informational such that, in both quantity and quality, the

communication of factual information rationally related to the need for and selection of a lawyer

predominates and the communication includes only a minimal amount of content designed to

attract attention to and create interest in the communication.

(b) A lawyer is responsible for the content of any advertisement or solicitation placed or

disseminated by the lawyer and has a duty to review the advertisement or solicitation prior to its

dissemination to reasonably ensure its compliance with the Rules of Professional Conduct. The

lawyer shall keep a copy or recording of every advertisement or communication for two (2) years

after its last dissemination along with a record of when and where it was disseminated.

(c) A lawyer shall not give anything of value to a person for recommending the lawyer's services

except that a lawyer may

(1) pay the reasonable costs of advertisements or communications permitted by this Rule;

(2) pay the usual charges of a legal service plan or a not-for-profit lawyer referral service,

which is itself not acting in violation of any Rule of Professional Conduct; and

(3) pay for a law practice in accordance with Rule 1.17.

(d) Any communication made pursuant to this Rule shall include the name and office address of

at least one lawyer responsible for its content.

(e) No lawyer shall, directly or indirectly, pay all or a part of the cost of an advertisement by a

lawyer not in the same firm unless the advertisement discloses the name and address of the

nonadvertising lawyer, the relationship between the advertising lawyer and the nonadvertising

lawyer, and whether the advertising lawyer may refer any case received through the

advertisement to the nonadvertising lawyer.

(f) Every advertisement that contains information about the lawyer's fee shall disclose whether

the client will be liable for any expenses in addition to the fee and, if the fee will be a percentage

of the recovery, whether the percentage will be computed before deducting the expenses.

(g) A lawyer who advertises a specific fee or range of fees for a particular service shall honor the

advertised fee or fee range for at least ninety (90) days following dissemination of the

advertisement, unless the advertisement specifies a shorter period; provided that a fee advertised

in a publication which is issued not more than annually, shall be honored for one (1) year

following publication.

(h) All advertisements shall disclose the geographic location, by city or town, of the office in

which the lawyer or lawyers who will actually perform the services advertised principally

practice law. If the office location is outside a city or town, the county in which the office is

located must be disclosed. A lawyer referral service shall disclose the geographic area in which

the lawyer practices when a referral is made.

(i) In addition to any specific requirements under these rules, any disclosures or disclaimers

required by these rules to appear in an advertisement or unsolicited written communication must

be of sufficient size to be clearly legible and prominently placed so as to be conspicuous to the

viewer. If the disclosure or disclaimer is televised or broadcast in an electronic or video medium,

it shall be displayed for a sufficient time to enable the viewer to see and read the disclosure or

disclaimer. If the disclosure or disclaimer is spoken aloud, it shall be plainly audible to the

listener. If the statement is made on a website, online profile, Internet advertisement, or other

electronic communication, the required words or statements shall appear on the same page as the

statement requiring the disclosure or disclaimer.

Comment

[1] To assist the public in learning about and obtaining legal services, lawyers should be allowed

to make known their services not only through reputation but also through organized information

campaigns in the form of advertising. Advertising involves an active quest for clients, contrary to

the tradition that a lawyer should not seek clientele. However, the public's need to know about

legal services can be fulfilled in part through advertising. This need is particularly acute in the

case of persons of moderate means who have not made extensive use of legal services. The

interest in expanding public information about legal services ought to prevail over considerations

of tradition. Nevertheless, advertising by lawyers entails the risk of practices that are misleading

or overreaching.

[2] This Rule permits public dissemination of information concerning a lawyer's name or firm

name, address, email address, website, and telephone number; the kinds of services the lawyer

will undertake; the basis on which the lawyer's fees are determined, including prices for specific

services and payment and credit arrangements; a lawyer's foreign language ability; names of

references and, with their consent, names of clients regularly represented; and other information

that might invite the attention of those seeking legal assistance.

[3] Questions of effectiveness and taste in advertising are matters of speculation and subjective

judgment. Some jurisdictions have had extensive prohibitions against television and other forms

of advertising, against advertising going beyond specified facts about a lawyer, or against

"undignified" advertising. Television, the Internet, and other forms of electronic communication

are now among the most powerful media for getting information to the public, particularly

persons of low and moderate income; prohibiting television, Internet, and other forms of

electronic advertising, therefore, would impede the flow of information about legal services to

many sectors of the public. Limiting the information that may be advertised has a similar effect

and assumes that the bar can accurately forecast the kind of information that the public would

regard as relevant. But see Rule 7.3(a) for the prohibition against a solicitation through a real

time electronic exchange initiated by the lawyer.

[4] Regardless of medium, a lawyer's advertisement should provide only useful, factual

information presented in an objective and understandable fashion so as to facilitate a person's

ability to make an informed choice about legal representation. A lawyer should strive to

communicate such information without the use of techniques intended solely to gain attention

and which demonstrate a clear and intentional lack of relevance to the selection of counsel, as

such techniques hinder rather than facilitate intelligent selection of counsel. A lawyer's

advertisement should reflect the serious purpose of legal services and our judicial system. The

state has a significant interest in protecting against a public loss of confidence in the legal

system, including its participants, and in protecting specifically against harm to the jury system

that might be caused by lawyer advertising. The effectiveness of the legal system depends upon

the public's trust that the legal system will operate with fairness and justice. Public trust is likely

to be diminished if the public believes that some participants are able to obtain results through

inappropriate methods. Public confidence also is likely to be diminished if the public perceives

that the personality of their advocate, rather than the legal merit of their claim, is a key factor in

determining the outcome of their matter. It is necessary to ensure that lawyer advertisements do

not have these detrimental impacts. This rule is intended to preserve the public's access to

information relevant to the selection of counsel, while limiting those advertising methods that are

most likely to have a harmful impact on public confidence in the legal system and which are of

little or no benefit to the potential client.

[5] Neither this Rule nor Rule 7.3 prohibits communications authorized by law, such as notice to

members of a class in class action litigation.

Record of Advertising

[6] Paragraph (b) imposes upon the lawyer who disseminates an advertisement or causes its

disseminationthe responsibility for reviewing each advertisement prior to dissemination to ensure

its compliance with the Rules of Professional Conduct. It also requires that a record of the

content and use of advertising be kept in order to facilitate enforcement of this Rule.

Paying Others to Recommend a Lawyer

[7] Except as permitted under paragraphs (c)(1)-(c)(3), lawyers are not permitted to pay others

for recommending the lawyer's services or for channeling professional work in a manner that

violates Rule 7.3. A communication contains a recommendation if it endorses or vouches for a

lawyer's credentials, abilities, competence, character, or other professional qualities. Paragraph

(c)(1), however, allows a lawyer to pay for advertising and communications permitted by this

Rule, including the cost of print directory listings, on-line directory listings, newspaper ads,

television and radio airtime, domain-name registrations, sponsorship fees, Internet-based

advertisements, and group advertising. A lawyer may compensate employees, agents and

vendors who are engaged to provide marketing or client-development services, such as

publicists, public relations personnel, business development staff and website designers.

Moreover, a lawyer may pay others for generating client leads, such as Internet-based client

leads, as long as the lead generator does not recommend the lawyer, any payment to the lead

generator is consistent with Rules 1.5(e) (division of fees) and 5.4 (professional independence of

the lawyer), and the lead generator's communications are consistent with Rule 7.1

(communications concerning a lawyer's services). To comply with Rule 7.1, a lawyer must not

pay a lead generator that states, implies, or creates a reasonable impression that it is

recommending the lawyer, is making the referral without payment from the lawyer, or has

analyzed a person's legal problems when determining which lawyer should receive the referral.

See also Rule 5.3 (duties of lawyers and law firms with respect to the conduct of nonlawyers

who prepare marketing materials for them); Rule 8.4(a) (duty to avoid violating the Rules

through the acts of another).

[8] A lawyer may pay the usual charges of a legal service plan or a not-for-profit lawyer referral

service, which is itself not acting in violation of the Rules of Professional Conduct. A legal

service plan is a prepaid or group legal service plan or a similar delivery system that assists

people who seek to secure legal representation. A lawyer referral service, on the other hand, is

any organization that holds itself out to the public as a lawyer referral service. Such referral

services are understood by the public to be consumer-oriented organizations that provide

unbiased referrals to lawyers with appropriate experience in the subject matter of the

representation and afford other client protections, such as complaint procedures or malpractice

insurance requirements. Consequently, this Rule only permits a lawyer to pay the usual charges

of a not-for-profit lawyer referral service. The "usual charges" may include a portion of legal

fees collected by a lawyer from clients referred by the service when that portion of fees is

collected to support the expenses projected for the referral service.

[9] A lawyer who accepts assignments or referrals from a legal service plan or referrals from a

lawyer referral service must act reasonably to assure that the activities of the plan or service are

compatible with the lawyer's professional obligations. See Rule 5.3. Legal service plans and

lawyer referral services may communicate with the public, but such communication must be in

conformity with these Rules. Thus, advertising must not be false or misleading, as would be the

case if the communications of a group advertising program or a group legal services plan would

mislead the public to think that it was a lawyer referral service sponsored by a state agency or bar

association. See also Rule 7.3(b).

[10] Paragraph (d) is intended to work in conjunction with paragraph (b) to provide

accountability for the content of lawyer advertising. It applies only to communications that

contain substantive advertising or soliciting statements and inferences beyond a lawyer or law

firm's mere name, design logo, and ordinary contact information. Thus lawyers may advertise

through promotional items, such as pens, clothing, coffee mugs, and signage without the need for

the name and address of an individual lawyer responsible for the materials, provided that such

items or signage contain nothing other than the firm name, logo, and contact information; that

any logo is merely a design shape and not a depiction; and that any included contact information

does not contain a tagline or slogan. Any depiction (such as an animal, hammer, or other

recognizable thing) within a logo triggers the requirement of paragraph (d), as does any slogan,

tagline, or logo whether used as a part of contact information (e.g., www.sclawyer.com or 1-800-

SC-LAWYER) or otherwise.

RULE 7.4: COMMUNICATION OF FIELDS OF PRACTICE AND SPECIALIZATION

(a) A lawyer who is certified under Rule 408, SCACR, as a specialist in a specialty field

designated by the Supreme Court Commission on Continuing Legal Education and

Specialization and approved by the Supreme Court, or a lawyer who has been issued a certificate

of specialization by an independent certifying organization approved by the Supreme Court

Commission on Continuing Legal Education and Specialization pursuant to the Regulations for

Legal Specialization in South Carolina, Part IV, Appendix D, § VI, SCACR, is entitled to

advertise or state publicly in any manner otherwise permitted by these rules that the lawyer is

certified as a specialist in South Carolina. The name of the certifying organization must be

clearly identified in the communication.

(b) A lawyer who is not certified as a specialist but who concentrates in, limits his or her practice

to, or wishes to announce a willingness to accept cases in a particular field may so advertise or

publicly state in any manner otherwise permitted by these rules. To avoid confusing or

misleading the public and to protect the objectives of the South Carolina certified specialization

program, any such advertisement or statements shall be strictly factual and shall not contain any

form of the words "certified," "specialist," "expert," or "authority" except as permitted by Rule

7.4(c) and (d).

(c) A lawyer admitted to engage in patent practice before the United States Patent and

Trademark Office may use the designation "Patent Attorney" or a substantially similar

designation. A lawyer engaged in the trademark practice may use the designation "trademarks,"

"trademark attorney," or "trademark lawyer" or any combination of those terms.

(d) A lawyer engaged in admiralty practice may use the designation "admiralty," "proctor in

admiralty" or a substantially similar designation.

(e) A lawyer certified by the South Carolina Supreme Court Board of Arbitrator and Mediator

Certification to be appointed as a mediator or arbitrator pursuant to Appendix G to Part IV of the

South Carolina Appellate Court Rules or Rule 19 of the South Carolina Alternative Dispute

Resolution Rules may use the designation "certified mediator" or "certified arbitrator" or any

combination of those terms.

Comment

[1] Paragraph (a) permits a lawyer to state that the lawyer is certified as a specialist in a field of

law if the lawyer has been certified under Rule 408, SCACR, as a specialist in a specialty field

designated by the Supreme Court Commission on Continuing Legal Education and

Specialization and approved by the Supreme Court or by an independent certifying organization

approved by the Commission. Certification signifies that an objective entity has recognized an

advanced degree of knowledge and experience in the specialty area greater than is suggested by

general licensure to practice law. Certifying organizations may be expected to apply standards of

experience, knowledge and proficiency to insure that a lawyer's recognition as a specialist is

meaningful and reliable. In order to insure that consumers can obtain access to useful

information about an organization granting certification, the name of the certifying organization

must be included in any communication regarding the certification.

[2] Paragraph (b) of this Rule permits a lawyer to indicate areas of practice in communications

about the lawyer's services, for example, in a telephone directory or other advertising. If a lawyer

practices only in certain fields, or will not accept matters except in such fields, the lawyer is

permitted to so indicate.

[3] Paragraph (c) recognizes the long-established policy of the Patent and Trademark Office for

the designation of lawyers practicing before the Office. Paragraph (d) recognizes that designation

of admiralty practice has a long historical tradition associated with maritime commerce and the

federal courts.

RULE 7.5: FIRM NAMES AND LETTERHEADS

(a) A lawyer shall not use a firm name, letterhead or other professional designation that violates

Rule 7.1. A trade name may be used by a lawyer in private practice if it does not imply a

connection with a government agency or with a public or charitable legal services organization

and is not otherwise in violation of Rule 7.1.

(b) A law firm with offices in more than one jurisdiction may use the same name or other

professional designation in each jurisdiction, but identification of the lawyers in an office of the

firm shall indicate the jurisdictional limitations on those not licensed to practice in the

jurisdiction where the office is located.

(c) The name of a lawyer holding a public office shall not be used in the name of a law firm, or

in communications on its behalf, during any substantial period in which the lawyer is not actively

and regularly practicing with the firm.

(d) Lawyers may state or imply that they practice in a partnership or other organization only

when that is the fact.

Comment

[1] A firm may be designated by the names of all or some of its members, by the names of

deceased members where there has been a continuing succession in the firm's identity or by a

trade name such as the "ABC Legal Clinic." A lawyer or law firm may also be designated by a

distinctive website address or comparable professional designation. Although the United States

Supreme Court has held that legislation may prohibit the use of trade names in professional

practice, use of such names in law practice is acceptable so long as it is not misleading. If a

private firm uses a trade name that includes a geographical name such as "Springfield Legal

Clinic," an express disclaimer that it is a public legal aid agency may be required to avoid a

misleading implication. It may be observed that any firm name including the name of a deceased

partner is, strictly speaking, a trade name. The use of such names to designate law firms has

proven a useful means of identification. However, it is misleading to use the name of a lawyer

not associated with the firm or a predecessor of the firm or the name of a non lawyer.

[2] With regard to paragraph (d), lawyers sharing office facilities, but who are not in fact

associated with each other in a law firm, may not denominate themselves as, for example, "Smith

and Jones," for that title suggests that they are practicing law together in a firm.