Ind. Prof. Cond. Rule 8.5

Effective January 1, 2005

(a) Disciplinary Authority. A lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction, regardless of where the lawyer's conduct occurs. A lawyer not admitted in this jurisdiction is also subject to the disciplinary authority of this

jurisdiction if the lawyer provides or offers to provide any legal services in this jurisdiction. A

lawyer may be subject to the disciplinary authority of both this jurisdiction and another jurisdiction for the same conduct.

(b) Choice of Law. In any exercise of the disciplinary authority of this jurisdiction, the rules of

professional conduct to be applied shall be as follows:

(1) for conduct in connection with a matter pending before a tribunal, the rules of the jurisdiction in which the tribunal sits, unless the rules of the tribunal provide otherwise; and

(2) for any other conduct, the rules of the jurisdiction in which the lawyer's conduct

occurred, or, if the predominant effect of the conduct is in a different jurisdiction, the

rules of that jurisdiction shall be applied to the conduct.

Comment

Disciplinary Authority

[1] It is longstanding law that the conduct of a lawyer admitted to practice in this jurisdiction is subject to the disciplinary authority of this jurisdiction. Extension of the disciplinary authority of this jurisdiction to other lawyers who provide or offer to provide legal

services in this jurisdiction is for the protection of the citizens of this jurisdiction. Recip-

rocal enforcement of a jurisdiction's disciplinary findings and sanctions will further

advance the purposes of this Rule. A lawyer who is subject to the disciplinary authority of

this jurisdiction under Rule 8.5(a) appoints an official to be designated by this Court to

receive service of process in this jurisdiction. The fact that the lawyer is subject to the disciplinary authority of this jurisdiction may be a factor in determining whether personal jurisdiction may be asserted over the lawyer for civil matters.

Choice of Law

[2] A lawyer may be potentially subject to more than one set of rules of professional conduct which impose different obligations. The lawyer may be licensed to practice in more

than one jurisdiction with differing rules, or may be admitted to practice before a particular

court with rules that differ from those of the jurisdiction or jurisdictions in which the lawyer

is licensed to practice. Additionally, the lawyer's conduct may involve significant contacts

with more than one jurisdiction.

[3] Paragraph (b) seeks to resolve such potential conflicts. Its premise is that minimizing

conflicts between rules, as well as uncertainty about which rules are applicable, is in the

best interest of both clients and the profession (as well as the bodies having authority to

regulate the profession). Accordingly, it takes the approach of (i) providing that any particular conduct of a lawyer shall be subject to only one set of rules of professional conduct

and (ii) making the determination of which set of rules applies to particular conduct as

straightforward as possible, consistent with recognition of appropriate regulatory interests

of relevant jurisdictions.

[4] Paragraph (b)(1) provides that as to a lawyer's conduct relating to a proceeding

pending before a tribunal, the lawyer shall be subject only to the rules of the jurisdiction in

which the tribunal sits unless the rules of the tribunal, including its choice of law rule,

provide otherwise. As to all other conduct, including conduct in anticipation of a proceeding not yet pending before a tribunal, paragraph (b)(2) provides that a lawyer shall be

subject to the rules of the jurisdiction in which the lawyer's conduct occurred, or, if the predominant effect of the conduct is in another jurisdiction, the rules of that jurisdiction shall

be applied to the conduct. In the case of conduct in anticipation of a proceeding that is

likely to be before a tribunal, the predominant effect of such conduct could be where the

conduct occurred, where the tribunal sits or in another jurisdiction.

[5] If two admitting jurisdictions were to proceed against a lawyer for the same conduct,

they should, applying this rule, identify the same governing ethics rules. They should take

all appropriate steps to see that they do apply the same rule to the same conduct, and in

all events should avoid proceeding against a lawyer on the basis of two inconsistent rules.

[6] The choice of law provision applies to lawyers engaged in transnational practice,

unless international law, treaties or other agreements between competent regulatory

authorities in the affected jurisdictions provide otherwise.

Use Of Non-Lawyer Assistants

Effective July 3, 2019

Introduction

Subject to the provisions in Rule 5.3, all lawyers may use non-lawyer assistants in accordance

with the following guidelines.

Guideline 9.1. Supervision

A non-lawyer assistant shall perform services only under the direct supervision of a lawyer

authorized to practice in the State of Indiana. Independent non-lawyer assistants are prohibited from establishing a direct relationship with a client to provide legal services. A lawyer

is responsible for all of the professional actions of a non-lawyer assistant performing services

at the lawyer's direction and should take reasonable measures to ensure that the non-lawyer

assistant's conduct is consistent with the lawyer's obligations under the Rules of Professional

Conduct.

Guideline 9.2. Permissible Delegation

Provided the lawyer maintains responsibility for the work product, a lawyer may delegate to a

non-lawyer assistant or paralegal any task normally performed by the lawyer; however, any

task prohibited by statute, court rule, administrative rule or regulation, controlling authority,

or the Indiana Rules of Professional Conduct may not be assigned to a non-lawyer.

Guideline 9.3. Prohibited Delegation

A lawyer may not delegate to a non-lawyer assistant:

(a) responsibility for establishing an attorney-client relationship;

(b) responsibility for establishing the amount of a fee to be charged for a legal service; or

(c) responsibility for a legal opinion rendered to a client.

Guideline 9.4. Duty to Inform

It is the lawyer's responsibility to take reasonable measures to ensure that clients, courts,

and other lawyers are aware that a non-lawyer assistant, whose services are utilized by the

lawyer in performing legal services, is not licensed to practice law.

Guideline 9.5. Identification on Letterhead

A lawyer may identify non-lawyer assistants by name and title on the lawyer's letterhead and

on business cards identifying the lawyer's firm.

Guideline 9.6. Client Confidences

It is the responsibility of a lawyer to take reasonable measures to ensure that all client confidences are preserved by non-lawyer assistants.

Guideline 9.7. Charge for Services

A lawyer may charge for the work performed by non-lawyer assistants.

Guideline 9.8. Compensation

A lawyer may not split legal fees with a non lawyer assistant nor pay a non-lawyer assistant

for the referral of legal business. A lawyer may compensate a non-lawyer assistant based on

the quantity and quality of the non-lawyer assistant's work and the value of that work to a law

practice, but the non-lawyer assistant's compensation may not be contingent, by advance

agreement, upon the profitability of the lawyer's practice.

Guideline 9.9. Continuing Legal Education

A lawyer who employs a non-lawyer assistant should facilitate the non-lawyer assistant's participation in appropriate continuing education and pro bono publico activities.

Guideline 9.10. Legal Assistant Ethics

All lawyers who employ non-lawyer assistants in the State of Indiana shall assure that such

non-lawyer assistants conform their conduct to be consistent with the following ethical stand-

ards:

(a) A non-lawyer assistant may perform any task delegated and supervised by a lawyer so

long as the lawyer is responsible to the client, maintains a direct relationship with the client,

and assumes full professional responsibility for the work product.

(b) A non-lawyer assistant shall not engage in the unauthorized practice of law.

(c) A non-lawyer assistant shall serve the public interest by contributing to the delivery of quality legal services and the improvement of the legal system.

(d) A non-lawyer assistant shall achieve and maintain a high level of competence, as well as a

high level of personal and professional integrity and conduct.

(e) A non-lawyer assistant's title shall be fully disclosed in all business and professional communications.

(f) A non-lawyer assistant shall preserve all confidential information provided by the client or

acquired from other sources before, during, and after the course of the professional relationship.

(g) A non-lawyer assistant shall avoid conflicts of interest and shall disclose any possible conflict to the employer or client, as well as to the prospective employers or clients.

(h) A non-lawyer assistant shall act within the bounds of the law, uncompromisingly for the

benefit of the client.

(i) A non-lawyer assistant shall do all things incidental, necessary, or expedient for the attain-

ment of the ethics and responsibilities imposed by statute or rule of court.

(j) A non-lawyer assistant shall be governed by the Indiana Rules of Professional Conduct.

(k) For purposes of this Guideline, a non-lawyer assistant includes but shall not be limited to:

paralegals, legal assistants, investigators, law students and paraprofessionals.