Rule 3.7: One of These Things Is Not Like the Others

Lopez v. Lopez, Second App. Dist., Div. 4, case no. B315959, filed 7/20/22.

The Second Appellate District has reversed a trial court ruling disqualifying a lawyer from representing his wife in litigation where the lawyer was likely to be called as a witness. This case provides one of those ‘teaching moments’ on a topic that is the subject of some confusion among lawyers, and, apparently, some judges: the differences between the California Rules of Professional Conduct and the American Bar Association (ABA) Model Rules of Professional Conduct.

Some of the confusion may be the result of the way professional responsibility has been taught by law schools. I will offer myself up as an example. I went to an ABA-accredited law school in Los Angeles, longer ago than I care to remember. So long ago that we actually studied the 1969 ABA Code of Professional Responsibility, with its confusing hodgepodge of Canons, “ECs” (ethical considerations) and “DRs” (disciplinary rules.) We also learned a little of the then recently adopted ABA Model Rules. But our instruction never acknowledged, let only elucidated, the then-existing 1975 California Rules of Professional Conduct, the actual discipline rules that would be binding on the majority of us who would go on to practice in California. The California rules were not tested on the version of the Multi-state Professional Responsibility Examination (MPRE) that I took and passed in 1986. I did not even realize that California had its one distinctly different set of disciplinary rules until March 27, 1989, the day I began work at the State Bar of California.

Legal ethics education has improved since those days. My impression is that even law schools that aspire to be “national” make some effort to acquaint students with the California rules. I know from my own teaching experience is that it is difficult to teach two very different sets of professional responsibility rules. The adoption of California’s own version of the Model Rules in 2018 has made it easier, although California’s rules have many differences with the Model Rules, including our version of the lawyer witness rule, Rule 3.7, which tripped up the trial judge in the Lopez case. Unlike the Model Rule 3.7, our Rule allows the lawyer to serve as a witness with the informed consent of the client, as did former California Rule 5-220 (the 1975 California rules did not address this issue.) But that exception is not absolute; Comment 3 states that a judge may still disqualify a lawyer who will be a witness if necessary to protect the trier of fact from being misled or the opposing party from being prejudiced.

This is a useful reminder that disqualification is a judicial remedy that is broader than the rules of professional conduct and may be invoked in the exercise of a trial judge’s discretion to prevent unfairness. And, in the trial judge’s defense, it is clear that they are situations where the ABA Model Rules can be utilized as guidance on California questions, even after the adoption of our new rules in 2018. Pre-2018 case law held that “the ABA Model Rules of Professional Conduct may be considered as a collateral source, particularly in areas where there is no direct authority in California and there is no conflict with the public policy of California.” State Comp. Ins. Fund v. WPS, Inc. (1999) 70 Cal. App. 4th 644, 656. California Rule 1.0 states that the Rules of Professional Conduct “are intended to regulate professional conduct of lawyers through
discipline”; Comment 4 to that Rule states that “ethics opinions and rules and standards promulgated by other jurisdictions and bar associations may also be considered” in addressing ethical issues not related to discipline.

So maybe that trial judge wasn’t so dumb after all. Confusion about the proper role of the California Rules of Professional Conduct still exists as well as geographical reach. Are they just discipline rules, black-letter law like criminal statutes or do they serve a prophylactic role in guiding lawyer conduct. Of course, the answer is both, despite the long-standing California shibboleth about them being only discipline rules. This confusion was what the wacky 1969 ABA Code of Professional Responsibility was trying to address through its three-part structure of Canons, ECs and DRs. Maybe the 1969 Code wasn’t so dumb either.

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