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THE BEGINNING OF
OCTOBER 21 , 1997
WORKSHOP MEETING
MINUTES
DANIA CITY COMMISSION
WORKSHOP MEETING
OCTOBER 21, 1997
7:30 P.M.
CALL TO ORDER
ROLL CALL
Present
Mayor Bob Mikes
Vice-Mayor Jim Cali
Commissioners: John Bertino
John Etling
Bill Hyde
City Manager Mike Smith
City Attorney Tim Ryan
City Clerk Marie Jabalee
1. Discussion of land acquisition for Fire Station 93. (Ken Land, Acting Fire Chief)
City Manager Smith stated that the Fire Department had put together a package
with information on several properties in the Ravenswood/ Griffin Road area that
would be suitable for the construction of a new fire station and that would allow
appropriate fire/rescue response times to be met.
Chief Land presented the pros and cons for each parcel of land.
After discussion, it was agreed that an appraisal should be done on the site
located at SW 30`h Avenue and SW 45 Street along with the site located at Griffin
Road & SW 29'h Terrace. It was also suggested that negotiations begin
immediately on one of these parcels.
2. Discussion of City Attorney replacement.
City Manager Smith presented an outline of the scope of work for legal services
that would be included in the Request for Proposal.
The following additions and changes were suggested:
a) Labor relation services should be added to the scope of work.
b) The wording "qualified attorneys" should be changed to "qualified
attorneys/firms".
c) Under Evaluation, the wording "experience in qualifications in handling
similar and related matters" should be changed to "experience in litigation,
WORKSHOP MEETING 1
OCTOBER 21, 1997
county, state and federal; and experience in knowledge of the City of Dania
and municipal, county and state matters."
d) The Attorney/firm should be board certified in city, county and local
government law.
e) The Attorney/firm's office should be preferably located in Broward County.
Staff was directed to make the above additions and changes to the RFP and
resubmit copies to the Commission.
City Manager Smith brought up the matter of liquor being served at the employee
holiday party. The Commission agreed that no hard liquor should be served, only beer
and wine.
This meeting adjourned.
MAYOR-COMMISSIONER
CITY CLERKf UDITOR
WORKSHOP MEETING 2 OCTOBER 21, 1997
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AGENDA
CITY OF DANIA
WORKSHOP MEETING
OCTOBER 21, 1997
7.30 P.M.
ANY PERSON WHO DECIDES TO APPEAL ANY DECISION MADE BY THE CITY
COMMISSION WITH REGARD TO ANY MATTER CONSIDERED AT THIS MEETING
OR HEARING WILL NEED A RECORD OF THE PROCEEDINGS, AND FOR SUCH
PURPOSE MAY NEED TO ENSURE THAT A VERBATIM RECORD OF THE
PROCEEDINGS IS MADE WHICH RECORD INCLUDES THE TESTIMONY AND
EVIDENCE UPON WHICH THE APPEAL IS TO BE BASED.
LOBBYIST REGISTRATION REQUIRED - REGISTRATION AS A LOBBYIST IN THE
CITY OF DANIA IS REQUIRED IF ANY PERSON, FIRM OR CORPORATION IS BEING
PAID TO LOBBY THE COMMISSION ON ANY PETITION OR ISSUE PURSUANT TO
ORDINANCE NO. 01.93. REGISTRATION FORMS ARE AVAILABLE IN THE CITY
CLERK'S OFFICE IN THE ADMINISTRATION CENTER.
IN ACCORDANCE WITH THE AMERICANS WITH DISABILITIES ACT, PERSONS
NEEDING ASSISTANCE TO PARTICIPATE IN ANY OF THESE PROCEEDINGS
SHOULD CONTACT MARIE JABALEE, CITY CLERK, 100 W. DANIA BEACH BLVD,
DANIA, FL 33004, (954) 921.8700 EXT. 202, AT LEAST 48 HOURS PRIOR TO
MEETING.
CALL TO ORDER:
ROLL CALL:
1. Discussion of land acquisition for Fire Station 93. (Ken Land,
Acting Fire Chief)
2. Discussion of City Attorney replacement.
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CITY OF DANIA
MEMORANDUM
FINANCE DIRECTOR/CITY CLERK
` TO: Mayor, Commissioners and City Manager
FROM: Marie Jabalee, Finance Director/City Clerk fF
RE: RFP for Legal service
DATE: October 17, 1997
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Attached for your review and comments is a draft RFP for legal service and a copy of the City of
Lauderhill's request for proposals. I have used the Lauderhill format and inserted the attorney's duties as
stated in the City Charter incorporating comments and suggestions from Attorney Ryan.
A copy of State Statute 287.057, procurement of commodities or contractual services, and Rules
regulating the Florida Bar and Rules of Professional Conduct concerning a lawyer's services is also
attached as requested.
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CITY OF DANIA
f 100 WEST DANIA BEACH BLVD.
DANIA, FLORIDA 33004
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REQUEST FOR PROPOSALS
TO PROVIDE LEGAL SERVICES AS CITY ATTORNEY FOR
THE CITY OF DANIA
Proposals are due,etc.................
SCOPE OF WORK
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The city commission of the City of Dania invites qualified attorneys to submit proposals and
experience for the purpose of serving as City Attorney for the City of Dania. Part III,Article 5,
of the City Charter requires that the City Commission shall appoint a city attorney who shall
serve at the pleasure of the commission. He shall be a lawyer of at least five(5)years experience
and practice in the courts of the State of Florida. He shall receive such compensation as the city
commission may by resolution fix and designate.
The city attorney shall be the legal advisor to and attorney and counselor for the municipality and
all of its officers in matters relating to their official duties,and to that end he shall:
(a) Attend the meetings of the city commission and advise the city commission on all points
of law and parliamentary procedure.
(b) Prepare all ordinances and resolutions required by the city commission for adoption or
enactment.
(c) Prepare all contracts and other instruments in writing in which the municipality is
concerned.
(d) When required to do so by the city commission, protect and defend on behalf of the city
all complaints,suits and controversies in which the city is a party,or file any
action on behalf of the city.
(e) Furnish the city commission,the city manager,the head of any department, or any officer
or board, his opinion on any question of law relating to their respective powers
and duties.
(f) Act as the official advisor of any city advisory board or department when so designated.
(g) Perform such other professional duties as may be required of him by this charter or by
ordinance or resolution of the city commission.
Attorneys must be members in good standing of the Florida Bar with at least five(5)years of
professional experience required. The attorney must possess ability, knowledge and experience in
the area of municipal government law, zoning, building codes,judicial and administrative
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procedures,and related issues. The city attorney must be available to the city on a year round
basis.
PROPOSAL REQUIREMENTS
The City Commission is cognizant that there are several alternative arrangements that can be used
in contracting with or employing a city attorney. Therefore,the proposal should include:
A precise statement regarding the method proposed to provide the referenced services.
The name of the attorney/firm with the address, telephone and telefax number.
The attorney's experience and qualifications with regard to local government law.
A resume which includes a description of the attorney's experience, including present area of
practice, and experience.
Attorneys should indicate if they have any clients in Broward County that might pose a conflict of
interest.
The proposed fees, retainer or compensation requested.
PROPOSAL EVALUATION AND SELECTION
All proposals will be submitted for evaluation to the City commission of the City of Dania. The
City Commission may elect to interview all, any or none of the attorneys presenting proposals.
Responses to this Request for Proposals will be evaluated on the basis of..
Professional qualifications of the attorney/firnn to serve as city attorney.
Availability to meet the needs of the City in a timely manner.
Experience and qualifications in handling similar and related types of matters.
Method to be employed in providing legal services to the City.
Experience in and knowledge of the City of Dania.
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CITY OF LAUDERHIILL
2000 City Hall Drive
Lauderhill, Florida 33313
REQUEST FOR PROPOSALS
TO PROVIDE LEGAL SERVICES AS CITY ATTORNEY FOR
THE CITY OF LAUDERHILL
Proposals are due not later than 4:30 p.m. on March 21. 1997, at the Office of
the City Clerk, Third Floor, City Hall, 2000 City Hall Drive , Lauderhill, Florida
33313. Please submit two (2) copies of your proposal in a sealed envelope
clearly marked as to its contents.
SCOPE OF WORK
The City Commission of the City of Lauderhill invites qualified attorneys to
submit proposals and statements of qualifications and experience for the
purpose of serving as City Attorney for the City of Lauderhill. Section 8.03 Of
the City Charter requires that the city attorney be employed by the commission,
be the legal officer of the city, serve as legal advisor to the commission and the
city manager, shall assure that the city is represented in all legal proceedings
and perform any other duties prescribed by this Charter and by ordinance and
shall administer oaths.
Attorneys must be members in good standing of the Florida Bar and possess
demonstrated ability, knowledge and experience in the area of municipal
government law, zoning, building codes, judicial and administrative procedures,
and related Issues. The city attorney must be available to the city on a year
round basis.
PROPOSAL REQUIREMENTS
The City Commission is cognizant that there are several alternative
arrangements that can be used in contracting with or employing a city attorney.
Therefore, the proposal should include-
• A precise statement regarding the method proposed to provide the
referenced services.
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OCT-16-1997 14:12 305 1 954 739 3062 p,02
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• The name of the attorney !firm with the address, telephone and telefax
number.
• The attorney's experience and qualifications with regard to local government
law.
• A resume' which includes a description of the attorney's experience,
including present area of practice, and experience.
• Attorneys should indicate if they have any clients in Broward County that
might pose a conflict of interest.
The proposed fees, retainer or compensation requested.
PROPOSAL EVALUATION AND SELECTION
All proposals will be submitted for evaluation to the City Commission of the City
of Lauderhill. The City Commission may elect to interview all, any or none of the
attorneys presenting proposals.
Responses to this Request for Proposals will be evaluated on the basis of;
• Professional qualifications of the attorney/firm to serve as city attorney.
• Availability to meet the needs of the City in a timely manner.
• Experience and qualifications in handling similar and related types of
matters,
• Method to be employed in providing legal service to the City.
• Experience in and knowledge of the City of Lauderhill
TOTAL P.03
OCT-16-1997 14 12 305 1 954 730 3062 P.03
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287.057 Procurement of commodities or contractual services.--
(1) Unless otherwise authorized by law, all contracts for the purchase of commodities or
contractual services in excess of the threshold amount provided in s. 287.017 for CATEGORY
TWO shall be awarded by competitive sealed bidding. An invitation to bid shall be issued which
shall include a detailed description of the commodities or contractual services sought; the date
for submittal of bids; and all contractual terms and conditions applicable to the procurement of
commodities or contractual services, including the criteria which shall include, but need not be
limited to, price,to a use m determining acceptability ofthe bid. If the agency contemplates
renewal of the contract, it shall be so stated in the invitation to bid. The bid shall include the
price for each year for which the contract may be renewed. Evaluation of bids shall include
consideration of the total cost for each year as quoted by the bidder. No criteria may be used in
determining acceptability of the bid that was not set forth in the invitation to bid. The contract
shall be awarded with reasonable promptness by written notice to the qualified and responsive
bidder who submits the lowest responsive bid. This bid must be determined in writing to meet
the requirements and criteria set forth in the invitation to bid.
(2) When an agency determines in writing that the use of competitive sealed bidding is not
practicable, commodities or contractual services shall be procured by competitive sealed
proposals. A request for proposals which includes a statement of the commodities or contractual
services sought and all contractual terms and conditions applicable to the procurement of
commodities or contractual services, including the criteria, which shall include, but need not be
limited to, price, to be used in determining acceptability of the proposal shall be issued. If the
agency contemplates renewal of the commodities or contractual services contract, it shall be so
stated in the request for proposals. The proposal shall include the price for each year for which
the contract may be renewed. Evaluation of proposals shall include consideration of the total
cost for each year as quoted by the offeror. To assure full understanding of and responsiveness
to the solicitation requirements, discussions may be conducted with qualified offerors. The
offerors shall be accorded fair and equal treatment prior to the submittal date specified in the
request for proposals with respect to any opportunity for discussion and revision of proposals.
The award shall be made to the responsible offeror whose proposal is determined in writing to be
the most advantageous to the state, taking into consideration the price and the other criteria set
forth in the request for proposals. The contract file shall contain the basis on which the award is
made.
(3) When the purchase price of commodities or contractual services exceeds the threshold
amount provided in s. 287.017 for CATEGORY TWO, no purchase of commodities or
contractual services may be made without receiving competitive sealed bids or competitive
sealed proposals unless:
(a) The agency head determines in writing that an immediate danger to the public health,
safety, or welfare or other substantial loss to the state requires emergency action. After the
agency head makes such a written determination, the agency may proceed with the procurement
of commodities or contractual services necessitated by the immediate danger, without
competition. However, such emergency procurement shall be made with such competition as is
practicable under the circumstances. The agency shall furnish copies of the written determination
certified under oath and any other documents relating to the emergency action to the division. A
copy of the statement shall be furnished to the Comptroller with the voucher authorizing
payment. The individual purchase of personal clothing, shelter, or supplies which are needed on
an emergency basis to avoid institutionalization or placement in a more restrictive setting is an
emergency for the purposes of this paragraph, and the filing with the division of such statement
is not required in such circumstances. In the case of the emergency purchase of insurance, the
period of coverage of such insurance shall not exceed a period of 30 days, and all such
emergency purchases shall be reported to the Department of Management Services.
(b) Purchasing agreements and contracts executed by the division or by agencies under
authority delegated by the division in writing are excepted from bid requirements.
(c) Commodities or contractual services available only from a single source may be excepted
from the bid requirements if it is determined that such commodities or services are available only
from a single source and such determination is documented. However, if such contract is for an
amount greater than the threshold amount provided in s. 287.017 for CATEGORY THREE, the
agency head shall file a certification of conditions and circumstances with the division and shall
obtain the prior approval of the division. The failure of the division to approve or disapprove the
request of an agency for prior approval within 21 days after receiving such request or within 14
days after receiving from the agency additional materials requested by the division shall
constitute prior approval of the division. To the greatest extent practicable, but no later than 45
days after authorizing the exception in writing, the division shall combine single-source
procurement authorizations for identical information technology resources for which the
purchase price exceeds the threshold amount provided in s. 287.017 for CATEGORY FOUR,
and shall negotiate and execute volume purchasing agreements for such procurements on behalf
of the agencies.
(d) When it is in the best interest of the state, the Department of Management Services may
authorize the director of the division to purchase insurance by negotiation, but such purchase
shall be made only under conditions most favorable to the public interest.
(e) Prescriptive assistive devices for the purpose of medical, developmental, or vocational
rehabilitation of clients are excepted from competitive sealed bid and competitive sealed
proposal requirements and shall be procured pursuant to an established fee schedule or by any
other method which ensures the best price for the state, taking into consideration the needs of the
client. Prescriptive assistive devices include, but are not limited to, prosthetics, orthotics, and
wheelchairs. For purchases made pursuant to this paragraph, state agencies shall annually file
with the division a description of the purchases and methods of procurement.
(f) The following contractual services are not subject to the competitive sealed bid
requirements of this section:
1. Artistic services.
2. Academic program reviews.
3. Lectures by individuals.
4. Auditing services.
5. Legal services, including attorney, paralegal, expert witness, appraisal, or mediator
services.
6. Health services involving examination, diagnosis, treatment, prevention, medical
consultation, or administration.
7. Services provided to persons with mental or physical disabilities by not-for-profit
corporations which have obtained exemptions under the provisions of s. 501(c)(3) of the United
States Internal Revenue Code or when such services are governed by the provisions of Office of
Management and Budget Circular A-122. However, in acquiring such services, the agency shall
consider the ability of the contractor, past performance, willingness to meet time requirements,
and price.
8. Medicaid services delivered to an eligible Medicaid recipient by a health care provider who
has not previously applied for and received a Medicaid provider number from the Department of
Health and Rehabilitative Services. However, this exception shall be valid for a period not to
exceed 90 days after the date of delivery to the Medicaid recipient and shall not be renewed by
the department.
9. Family placement services.
10. Prevention services related to mental health, including drug abuse prevention programs,
child abuse prevention programs, and shelters for runaways, operated by not-for-profit
corporations. However, in acquiring such services, the agency shall consider the ability of the
contractor, past performance, willingness to meet time requirements, and price.
11. Training and education services provided to injured employees pursuant to s. 440.49(1).
12. Contracts entered into pursuant to s. 337.11.
13. Services provided by governmental agencies.
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287.017 Purchasing categories, threshold amounts; procedures for automatic adjustment
by division,
(1) The following purchasing categories are hereby created:
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(a) CATEGORY ONE: $5,000.
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(b) CATEGORY TWO: $10,000.
(c) CATEGORY THREE: $20,000.
(d) CATEGORY FOUR: $60,000.
(e) CATEGORY FIVE: $120,000.
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RULES OF PROFESSIONAL CONDUCT
Rule 1•'
. •a coursa^r action involvin
mlation at,of the intzoreri .y1 m permit the client to make informed decisions
tal authorities. n._,irding the representation. RULE 4-1.5 FEES FOR
:. effective Jan. 1, 1993(605 ;::x•rded July'23.1992,effective Jan. 1,1993(605 So.2d 252). LEGAL SERVICES
(a) Illegal, Prohibited,or Clearly Excessive Fees.
Comment An attorney shall not enter into an agreement for,
to charge, or collect an illegal, clearly
!ILIGENCE c,;l 6cendyc in odecisonss concerning the aobjectives Participate
excessive fee or a fee generated byte employment that
client. le dill gene � ,,resemation and the means by which they are to be was obtained through advertising or solicitation not in
! client. ;rued,to the extent the client is willing and able to do so. compliance with the Rules Regulating The Florida
r example, a lawyer negotiating on behalf of a client Bar. A fee is clearly excessive when:
nt ''d^ -..ud prodde the cleat with facts relevant to the matter,
after a review of the facts, a lawyer of
-;a,m the client of communications from another party,and d ordinary
fitter on behalf of a � -_.,e,aher reasonable steps that permit the client to make a prudence would be left with a definite and firrm conic-
r personal inconvenience to -_ion regarding a serious offer from another party. A tion that the fee exceeds a reasonable fee for services
per lawful and ethical ties. .,,A-•er who receives from opposing counsel an offer of settle- Provided to such a degree as to constitute clear over.
client's cause or endeavor, .,,rt in a civil controversy or a proffered plea bargain in a reaching or an unconscionable demand by the attor.
ment and dedication to tyv r_:uial case should promptly inform the client of its sub• ney; or
! zeal in advocacy upon Ih .•.,rce unless prior discussions with the client have left it
(2) the fee is sought or secured by the attorney by
•r is not bound to puss fo• -.,r that the proposal will be unacceptable. See rule
realized for a client s . IJ:u. Even when a client delegates authority to the means of intentional misrepresentation or fraud upon
in determining the mean .:.c the client should be kept advised of the status of the the client, a nonclient party, or any court, as to either
rsued. See rule 4-12 d `••'!'r entitlement to,or amount of,the fee.
rolled so that each matter .,oaacv of communication depends in o part on the kind of (b) Factors to Be Considered in Determining
Ira a sistance involved. For example, in negotiations Reasonable Fee. Factors to be considered as guides
coming is more widely re, .-••n•:here is time to explain a proposal, the lawyer should in determining a reasonable fee include:
tent's interests often car be all important provisions with the client before pro.
a of time or the changed •^unz to an agreement. In litigation a lawyer should (1) the time and labor required, the novelty, corn-
is when a lawyer overloola •roan the general strategy and prospects of success and plenty, and difficulty of the questions involved, and
Its
legal position may be "nrarilp should consult the client on tactics that might the skill requisite to perform the legal service proper-
s interests are not affettd .xv or coerce others. On the other hand, a lawyer ordi• ly;
tIe delay can cause a riled arr. cannot be expected to describe trial or negotiation
confidence in the lawyen 'rao,Q' in derail. The guiding principle is that the lawyer (2) the likelihood that the acceptance of the particu.
>.uA fulfill reasonable client expectations for information lar employment will preclude other employment by
inated as provided in ray with the duty to act in the clien,s best interests the lawyer;
through r' conclusion J client; overall requirements as to the character of (3) the fee, or rate of fee, customarily charged n
f a lawyer's employrrestY t,•,•cration.
lationship terminates who the locality for legal services of a comparable or I
If a lawyer has served a ""lo'a»iv.the information to be provided is that a ro n- similar nature;
! � a client who is a comprehending and responsible! : a variety w matter, 4 �� Ifmvever fully informing the client according to this (4) the significance P P
the lawyer will s noting Y ,r,l.,nl may.be impracticable,for example,where the client gnfficance of, or amount involved in, the ,
the lawyer gives nodaed sub'ect matter of the re resentation, the res onsibili• i
r a client-lawyer rdafias "n o nr setters from menial disability. See rule 4-1.14. ty involved in the representation, and the results by the lawyer,preleraN!' v'"" !^!' client is an organization or group, it is often obtained; '
of mistakenly suppose dt '!•"'��dc or inappropriate to inform every one of its mem- (5) the time limitations imposed by the client or by
s affairs when the line "' ""°t it, legal affairs; ordinarily, the lawyer should the circumstances and,as between attorney and client,
if a lawyer has haoAedI -'"' '•""hmunications to the appropriate officials of the
ng that produced a and ""'"""n See rue 4-1.13. Where many routine matters any additional or special time demands or requests of j
,een specifically hatrtdal - "'�""i•a system of limited or occasional reporting may the attorney by the client;
e lawyer should add"tk ` �minued with the clientexigency
ma Practical I'the nature and length of the professional rela-
' More relinquishirgreep� -""';'to")'era to net for a client without prior consultation.also donsnship with the client;
wOhholdinginformation
(7) the 7!
effective Jan. 1,19501A 'o'^me rircumstances,a lawyer may be justified in delay- of the Iaxeyereor experience, reputation, diligence, and ability
� r ' inrl. i ion of information when the client would be the skill, wyers performing the service and
1�} I u}ct im rudendy to an Immediate communication. the actual Vie' or efficiency of effort reflected in
p Providing of such services; and
.�,• era might withhold a psychiatric diagnosis 4UNICATION' "' +hen the examinng psychiatrist indicates tthhat disclo- ,(8) whether the fee is fixed or contingent, and, if
hay I
-tatus of Rep;tit ►. R.,n„m to^" the cBent A lawyer may not withhold fixed as to amount or rate, then whether the client's
client �` ere he lawyer's own interest or cone- ability to pay rested to an r
matter and t ''•' !had info r coon orders governing litigation may outcome of the representation.Significant degree on the
. �I t.,the rma on supplied to a lawyer may not be
s for informado '�• bent Rule 4-3.4(c)directs compliance with "(o) Consideration of All Factors. In determining �tt rners. a reasonable fee, the time devoted to the representa- 13'
s to Client A amend don and tom :,
:tent reasonabl,}'1�., :;_ ed July 23, Igg effective Jan. 1, 1993 (605 controllingfactors. All factory set fnot orth e the m this Yule t,
should be considered, and may be applied,in justifica• d
) .
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r.; RULES REGULATING THI$ FLORIDA BAR ---------------
Rule 4-15
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lion of a fee higher or lower than that which would (A) any fee in a domestic relations matter, the
result from application of only the time and rate payment or amount of which is contingent upon the
ring of a divorce or upon the amount of alimony
Factors. secu
3i or support, or property settlement in lieu thereof;
(d) Enforceability of Fee Contracts. Contracts or
if, or agreements for attorney's fees between attorney (13) a contingent fee for representing a defendant
and client will ordinarily be enforceable according to in to criminal case.
:4z the tans of such contracts or agreements, unless O 4 A lawyer who enters into an arrangement for,
found to be illegal, obtained through advertising or
., solicitation not in compliance with the Rules Regulat- charges, in collects any fee in an action or claim for
ing The Florida Bar, prohibited by this rule,or clearly personal njury or for property damages or for death
excessive to defined by this Wile. or loss of services resulting from personal injuries
busod upon trtious conduct of another, including
(e) Duty to Communicate Basis or Rate of Fee prts liability claims,whereby the compensation is
to Client. When the lawyer has not regularly repre- to beoduc dependent or contingent in whole or in part
`` I seated the client, the basis or rate of the fee shall be upon the successful prosecution or settlement thereof
f preferably g Shull do so only under the following requirements:
�'`•' communicated to the client, referabl in writing, y g 9
before or within a reasonable time after commencing+•. (A) The contract shall contain the following provi•
=�.
the representation. lions:
(fl Contingent Fees. As to contingent fees: (i) "The undersigned client has, before signing
•,;,;r 4 this contract, received and read the statement of
tiA? (1) A fee may be contingent on the outcome of the ,client's rights and understands each of the rights
.;.,.
matter for which the service is rendered, except in a set forth therein. The undersigned client has
matter in which a contingent fee is prohibited by signed the statement and received a signed copy
paragraph (f)(3) or by law. A contingent fee agree- to refer to while being represented by the under-
ment shall be in writing and shall state the method by signed attrney(s)."
which the fee is to be determined, including the
to the (ii) "This contract may be cancelled a written
percentage or percentages that shall accrue
;! lawyer in the event of settlement, trial, or appeal, notification to the attorney at any time within 3
f litigation and other expenses to be deducted from the business days of the date the contract was signed,
t recovery, and whether such expenses are t be de- as shown
bated t d i anyelled the client fees t the attorney
ducted before or after the contingent fee is calculated. n g pay y
Upon conclusion of a contingent fee matter, the law- for the work performed during that time. If the
yer shall provide the client with a written statement ottorney has advanced funds to others in repre-
stating the outcome of the matter and, if there is a aentation of the client, the attorney is entitled t
recovery, showing the remittance t the client and the husrreana reasonably advanced ed for such on behalf of the ch nunts as the t.
method of its determination.
(B) The contract for representation of a client in
(2) Every lawyer who accepts a retainer or enters a matter set forth in subdivision (f)(4) may provide
into an agreement, express or implied, for compensa- for a contingent fee arrangement as agreed upon by
lion for services rendered or to be rendered in any the client and the lawyer, except as limited by the
j action, claim, or proceeding whereby the lawyer's following provisions:
compensation is to be dependent or contingent in (i) Without prior court approval as specified
whole or in part upon the successful prosecution or below, any contingent fee that exceeds the follow-
settlement thereof shall do so only where such fee Ing standards shall be presumed,unless rebutted,
an angement is reduced to a written contract, signed to be clearly excessive:
by the client,and by a lawyer for the lawyer or for the
law firm representing the client. No lawyer or firm a Before the filing of an answer or the
may participate in the fee without the consent of the demand for appointment of arbitrators or, if no
client in writing, Each participating lawyer or law answer is filed or no demand for appointment of
firm shall sign the contract with the client and shall arbitrators is made, the expiration of the time
agree to assume joint legal responsibility to the client period provided for such action:
' for the performance of the services in question as if 1. aMo of any recovery up to$1 million; phut
each were partners of the other lawyer or law farm 2. 30%of any portion of the recovery between
1 involved. The client shall be furnished with a copy of "a $1 million and$2 million; plus
the signed contract and any subsequent notices or
x: consents. All provisions of this rule shall apply to 3. 20%of any portion of the recovery exceed-
such fee contracts. Ing$2 million. n
ge b. After the filing of an answer or the de
(3) A lawyer shall not enter into an arrangement mand for appointment of arbitrators or,.,if no
for,charge,or collect: 1160
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answer is filed or no demand for appointment of opportunity to understand each of the rights as set i
arbitrators is made, the expiration of the time forth therein. A copy of the statement, signed by I -
period provided for such action, through the entry both the client and the lawyer, shall be given to the
of judgment: client to retain and the lawyer shall keep a copy in
1. 40% of any recovery up to $1 million; plus
the client's file. The statement shall be retained by
2. 30% of any onion of the recovery between the lawyer with the written fee contract and closing
P r statement under the same conditions and require-
$1 million and$2 million; plus ments as subdivision (f)(5).
3. 20% of any portion of the recovery exceed-
(D) As to lawyers not in the same firm, a division
ing$2 million. of any fee within subdivision (f)(4) shall be on the
c. If all defendants admit liability at the time following basis:
of filing their answers and request a trial only on
(i) To the lawyer assuming primary responsi-
damages:
1. 33M of any recovery up to$1 million; plus
bility for the legal services on behalf of the client,
a minimum of 75%of the total fee.
2. 20%n of any portion of the recovery between
$1 million and$2 million; plus (ii) To the lawyer assuming secondary resporl
3. 15% of any portion of the recovery exceed- sibility for the legal services on behalf of the
ing$2 million. client, a maximum of 25% of the total fee. Any
fee in excess of 25% shall be presumed to be
d. An additional 5% of any recovery after clearly excessive. !!
notice of appeal is filed or post-judgment relief or
action is required for recovery on the judgment. (u) The 25% limitation shag not apply to those
cases in which 2 or more lawyers or firms accept
(ii) If any client is unable to obtain an attorney
substantially equal active participation in the pro-
of the client's choice because of the limitations set viding of legal services. In such circumstances
forth in (f)(4)(B)(i), the client may petition the counsel shall apply for circuit court authorization
circuit court for approval of any fee contract .
between the client and an attorney of the client's of the fee division in excess l counsel
based upon a
choosing. Such authorization shall be given if the sworn petition signed se all counsel that shall
court determines the client has a complete under- disclose in detail those services to be performed. R'
standing of the client's rights and the terms of The application for authorization of such a con- r, p
the proposed contract. The application for autho- tract may be filed as a separate proceeding before 61
rization of such a contract can be filed as a suit or simultaneously with the filing of a com-
plaint. Proceedings thereon may occur before
separate proceeding before suit or simultaneously
service of process on any party and this aspect of il'p( �,
with the filing of a complaint. Proceedings there- the file may be sealed. Authorization of such I it
on may occur before service on the defendant and contract shall not bar subsequent inquiry as to
this aspect of the file may be sealed. Authoriza- whether the fee actually claimed or charged is "�''�
tion of such a contract shall not bar subsequent clearly excessive. An application under this sub- �:i,! 11i,.
inquiry as to whether the fee actually claimed or division shall contain a certificate showing service
charged is clearly excessive under subdivisions(a) on the client and The Florida Bar. Counsel may
and(b). proceed with representation of the client pending 1111.jl
(ill) In cases where the client is to receive a court approval. ;
recovery that will be paid to the client on a future '
structured or periodic basis, the contingent fee (iv) The percentages required by this subdivi-
Sion shag be applicable after deduction of any fee
percentage shall only be calculated on the cost of l
the structured verdict or settlement or,if the cost payable to separate counsel retained especially
s appellate purpose .
is unknown, an the present money value of the for
structured verdict or settlement, whichever is (5) In the event there is a recovery, upon the i'tq,
less. If the damages and the fee are to be paid conclusion of the representation, the lawyer shall pre-
out over the long term future schedule, then this pare a closing statement reflecting an itemization of
limitation does not apply. No attorney may sepa- all costs and expenses, together with the amount of
rarely negotiate with the defendant for that actor- y participating wy t
fee received b eachlawyer or law firm. I 3
ney's fee in a structured verdict or settlement A copy of the closing statement shall be executed by
where such separate negotiations would place the all participating lawyers, as well as the client, and M I
attorney in a position of conflict. each shall receive a copy. Each participating lawyer k ', F
IC) Before a lawyer enters into a contingent fee shall retain a, copy of the written fee contract and it
contract for representation of a client in a matter closing statement for 6 years after execution of the
set forth in the rule, the lawyer shall provide the closing statement. Any contingent fee contract and
client with a copy of the statement of client's rights closing statement shall be available for inspection at :
and shall afford the client a full and complete reasonable times by the client, by any other person r
1161 �I
I
In upon judicial order, or by the appropriate disciplinary giving you notice, deliverin necessary
agency.
^' and allowin g arY Papers to
(g) Division of Fees Between Law•ves in Differ- g YOU time to employ another YOU.
i, ent Firms. Subject to the Often, your lawyer must obtain court a li"Ver,
(f)(4)(D),a division of fee between lawyersf who are not subdivision IawY avithout good cause eafterf the�aProval before
in the same firm may be made only if the total fee is may have to a Y discharge Yon,
reasonable and: Pay a fee for work the la Y pel0d'YOU
(I) the division is in 3. Before hiringa wYer has done.
jperformed di each la proportion to the services right to know abot the lawyer, you, the client,have the
lawyer, or and experience. If you ask, he lawyer
traltting
(2) by written agreement with the client: specifically about the la wyer should tell yo
(A) each lawyer assumes joint legal responsibility Ing with cases similar to ours, actual
YOU experience th deal.
I for the representation and agrees to be available for knowledshould ge and Information about special train ng er
consultation with the client; and
I (B) the agreement fully discloses that a division ewe You this information in You request it. writing if
If fees will be made and the basis upon which the 4. Before signing a contingent fee contract
division of fees will be made.
YOU, a lawyer must advise you whether the la wh
(h) Credit Plans. Charges made by any lawyer or
Yer
law' firm under an approved credit plan shall be only intends to handle your case alone or whether other
lawyes will be helping with the case. If your lawyer
for services actually rendered or cash actually pal d on Intends to refer the case to other la
j behalf of the client. No higher fee shall be chad on should tell You what kind of fee shay Ye y,the lawyer
and no additional charge shall be Unposed by reason Bement
of a lawyer's or law firm's ed
will be made with the other lawyers. If lawyers from
Participat on in an a roved different law firms will represent you, at least
credit plan. PP 1
lawyer from each law firm must sign the contingent
� Amended Oct.2',1987,effective Jan.1, 1988(519 So.2d 97I); fee contract.
aDec.21,1990.mended effective Oct. 26, 1989 (B.iO So.2d 1120); amended 5. If yom• la
1992, effective an. 1,e Jan. 1 19 2 (6059So 9d 252); July 23. another
lawyer should er or tell you about that at the beginning.lawyerunsel with other intends to refer your case to
tive Oct. 20, 1994 (644 So.2d 282); July 20, 1995 f658 So.2d lawyers, your
Your la g it� I BYO)' Y lawyer takes the case and later decides to refer it
to another lawyer or to associate with other lawyers,
You should sign a new contract that includes the new,
lawyers. You, the client, also have the right to con.
STATEMENT OF CLIE\T'S RIGHTS suit with each lawyer workln on
FOR COdTINGENCY FEES d each
lawyer is legally responsible gto represent sent yoour case ur inter.
Before you, the prospective client, arrange a contin- lawyers ests dinvolv is ved illy n case.le for the acts of the other
gent fee agreement with a lawyer, you should under-
stand this statement of your rights as a client. This 6. You, the client, have the right to know in ad.
statement is not a part of the actual contract between vance how you will need to pay the expenses and the
iyou and your lawyer, but, as a prospective client, you legal fees at the end of the case. If you pay a deposit
should be aware of these rights: Y in advance for costs, you may ask reasonable ques•
I. There is no le lions about how the money
will be or has been spent
charge a client a set fee or a lawyer and how much of it remains un
spent.ins e en nt.to
recoveredp e of P Your la m should lawyer
In a case. Y g money orlld give a reasonable wY
I Iou, the client, have the right to sary costs. If your)able estimate about future advance
i talk with your lawyer about the proposed fee and to you money to prepare orereseearch the case, you have
bargain about the rate or percentage as n any other the right to know periodically how much money
contract. If you do not reach an agreement with one lawyer has spent on your behalf. You also have the
lawyer you may talk with other lawyers. Y your
2• Any contingent fee contract must be in writing light to decide, be sp'suiting
ti g with your lawyer,how
and you have 3 busness da much moneyprepare a case. If you
I tract. You may cancel the contracrt�ivit}iouet any re3_ mu the spend.
yur lawyer
the right to decide how .
son f you no ' much to should also inform you
business day of
lawyer n writing within 3 whether the fee will be based °n the gross amount
I draw fmm signing the contract If you with. recovered or on the amount recovered minus the
the contract within the first 3 business costs.
days, you p not ewe the lawyer a fee although you 7. You, the client,have the right to be told by your
may be responsible for the lawyer's actual costs dur-
ing that time. If your lawyer begins lawyer about possible adverse consequences if you
I to represent you, lose the case. Those adverse consequences might
your lawyer may not withdraw from the case without include money that you might have to pay to your
1162
i
1
i
for costs and liability you might have for state the basic rate is an hourly charge or a fixed amount or
y an estimated amount,or to identify the factors that may be
,gorney's fees to the other side. taken into account in finally fixing the fee. When develop-
to receive and ments occur during the representation that render an earlier
You, the client, have the tight
yppt•ove a closing statement at the end of the case estimate substantially inaccurate, a revised estimate should j. •I %c�-
"plots you pay any money. The statement must list be provided to the client. A written statement concerning
including
the fee reduces the possibility of misunderstanding. Fur-
of of the financial details of the entire case, rushing the client with a simple memorandum or a copy of
.he amount recovered, all expenses, and a precise the lawyer's customary fee schedule is sufficient if the basis
atement of your lawl'er's fee. Until you approve the or rate of the fee is set forth.
`io;ing statement you need not pay any money to Rule 4-1s(e) should be consulted regarding a lawyer's
anyone, including your lawyer. You also have the providingfinancial assistance to a client in connection with
right to have every lawyer or law firm working on litigation P '
.our case sigrt this closing statement. Terms of payment
You, the client, have the right ht to ask your A lawyer may require advance payment of a fee but is I•
;3,vyer at reasonable intervals hots' the case is pro- obliged to return any unearned portion. See rule
,re;sing and to have these questions answered to the y , 4-1.16(d).
A lawyer is not however, required to return retainers that, t•..;
t.
e not
lest of your lawyer's ability. pursuant lawyer may accept tmro property in payent with a ment entrfor services,such
Y PP P Y PYm pu
10. You, the client, have the right to make the final as an ownership interest in an enterprise,providing this does
decision regarding settlement of a case. Your lavvver not involve acquisition of a proprietary interest in the cause t
must notify y'ou of adl offet's of settlement before and of action or subject matter of the litigation contrary to rule
Offers during the trial must be imme- 4-LS(i). However, a tee paid in property instead of money
after•the trial.
ner communicated and you shoo times concerning
consult with may be subject to special scrutiny because it involves ques-
tour lawyer regarding whether to accept a settlement. rning both the value of the services and the
However, you must make the final decision to accept lawyer's special knowledge of the value of the property.
or reject a settlement. An agreement may not be made whose terms might induce
the lawyer improperly to curtail services for the client or
11. If at any time you, the client, believe that your perform them in a way contrary to the client's interest. For
tau yer has charged an excessive or illegal fee, you example.a lawyer should not enter into an agreement where-
have the right to report the matter to The Florida by services are to be provided only up to a stated amount a j
Bar, the agency that oversees the practice and behav- when it is foreseeable that more extensive services probably
will be required,unless the situation is adequately explained I .•i
for of all lawyers in Florida. For information on how q q Y xP
to reach The Florida Bar, call 904-561-3600, or con- to the client. Otherwise,the client might have to bargain for
ceeding or trmsac-
tact the local bar association. Any disagreement be- further However,it i propece in the r to define thdst of a e extent of services in
meen you and your lawyer about a fee can be taken to
court and you may wish to hire another lawyer to help light of the client's ability topay. A lawyer should not
cow resolve this disagreement. Usually fee disputes exploit a fee arrangement based primarily on hourly charges I '�,i• i
must es handled di a separate lawsuit, unless your fee by using wasteful procedures. When there is doubt whether
P' a contingent fee is consistent with the client's best interest.
contract provides for arbitration. You can request, the lawyer should offer the client alternative bases for the
but may not require, that a provision for arbitration fee and explain their implications. Applicable law may am-
(under Chapter 682, Florida Statutes, or under the fee Pose limitations on contingent fees, such as a ceiling on the
arbitration rule of the Rules Regulating The Florida percentage. ' ' . ;i;'-,�I j.
Bar)be included in your fee contract. Rule 4-1.5(f)(3)does not apply to lawyers seeking to obtain >14Ii i;
or enforce judgments for arrearages.
Contingent fee regulation ` II
Client Signature Attorney Signature Rule 4-1.5(O(4)should not be construed to apply to actions i �"
or claims seeking property or other damages arising in the
commercial litigation context.
Date Date Rule 4-1.5(f)(4)(B)is intended to apply only to contingent
Amended July 23, 1992,effective Jan. 1, 199:3(605 So.2d 25'2); aspects of fee agreements. In the situation where a lawyer ;� {I
amended effective Oct._0, 1994(ti44 So.2d'?s2). and client enter a contract for part noncontingent and part P
contingent attorneys fees, rule 4-1:5(f)(4)(B) should not be '
�,
construed to apply to and prohibit or limit the noncontingent
Comment ;tJ k
portion of the fee agreement. An attorney could properly
Basis or rate of fee charge and retain the noncontingent portion of the fee even if PPP r
When the lawyer has regularly represented a client, they the matter was not successfully prosecuted or if the noncon•
onlinaniv will have evolved an understanding concerning the tingent portion of the fee exceeded the schedule set forth in
'nasis or rate of the fee. In a new client-lawyer relationship, rule 4-1.5(f)(4)(B). Rule 4-15tion(B) should, however, be
however, an understandingas, to the fee should be promptly construed to apply to any additional contingent portion of • ,',C
+stablished. It is not necessary to recite all the factors that such a contract when considered together with earned non- .t t
anderlie the basis of the fee but only those that are directly contingent fees. Thus, under such a contract a lawyer may
involved in its computation. It is sufficient. for example, to demand or collect only such additional contingent fees as
1163 f
P
nGt+UL 1'1'ING THE FLORIDA BAR
would not cause the total fees forth in rule 4-1,5(014)( to exceed the schedule set B1 Since the fee arbitration rule
fished b (Chapter 14)has
The limitations in tole t-1.- Y the bar to been offi.
applied in the case where sll the deten(B))oos aare dmit my t be rig Io s, Provide a procedure for resolution of fie.
Y to be p the lawyer should conscientiously onsider sub
i� the time they file their initial an and the trial is o in a
liability Where law prescribes a procedure for detetmtin.
;the issue of the amount or extent of the loss or the exte[of B lawyer's fee, for example,
he is suffered by the client. If t executor or administrator, a class, to representation of an
.� the issue of Damages but also such e trial involves not only reasonable fee or a person entitled
j cause, affirmative defenses, seat belt defense, ° other simi- Pattd�concerned Part of the measure of damages,the lainr
•~ 1 , I proximateons a, to such a fee and a lawyer
far matters, the limitations are not t e a y representing another
the contingent nature of the case being IeRf or resolution eby �� �e tee should comply with the pre.
a scribed procedure.
i the trier of fact.
Rule 4-1 -(0(4)(B)(il) provides the imitations set forth Referral fees and practices
subdivision (0(4)(B)(i) Ina m A secondary lawyer shall
-+e�vA`• approval by a circuit coutt Judge
waved by the client upon than the limitation set forth intruleo4-fled to a tee greater
not be used to authorize a lawyer This waiver provision may because the lawyer 15(0(4)(D)(ii) merely
would exceed 'Ile 4_ . tier to charge a client a fee that (a) consults with theacLentta do some or all of the following;
1 5(a) or (b). It is contemplated that attends depositions; (b) answers interrogatories;
to. this waiver provision will not he ), It• (d) reviews pleadin e)
-+.i client wants to retain a ary except where the �� °r (D assumes joint legal responsibility the cnen
attends the
'�- client or the case involve, omplar lawyer too represent the However,the provisions do not contemplate that a secondary
lex, diffcul or novel ues- lawyer who does more than
dons of law•or face that would justify a contingent fee to a lad
. .y than the schedule but not a contin rent tee that would exceed the above is necessarily
1. B greater larger percentage of the tee Y entitle
e y
rule 4-1,5(b), limitation. than UraI allowed by the
s Upon a petition by a client, the trial co The Provisions of rule 4- only apply
�y waiver request must grant that re reviewing the the participating law Ythewhere
quest if the trial co case established a lawyers have for purposes of
.. inevleent: (&) understands the right to have the imitations court the specific
1 °(0(4)(B) applied in the specific matter, and (b) 4-1.5(0(4)(D)(iii) should only occur
tract. a srP The need for
understands and a approval of a referral fee arrangement under rule
tract. The considerat on sbthe terms of the proposed con- cases
Petition is not to he used asyan o �� rourc °f arrstng under rule 4-1.5(0(4) mall Percentage of
the waiver
+; inquire into the meats or details of the particular
for the court to In determining if eo•counsel relationship
claim that is the subject of the contract. P rtrcular action or should look to see if the la P exists,the court
•` Partnership a wyers have established a
The proceedings before the dial court and the tri or
matter. If agreement
uch ant for the purpose of the s special
decision on a waiver request are to be c°urt's a sharing of services orcemen doestexist it mustcprovide for
subject to discovery b confidential and not based u on a y and the tee division is
anyother individual myenirt of the Parties to the action or by respons upon
division of the services to be
Y except The Florida Bar, How- situation would rendered or the
ever, terms of the contract athe y assumed. It is contemplated that a co-counsel
be subject to discovery if the c nova t by
court court
eat where a division of responsibility is
al) was subject to discove may based upon, but not limited to,he the following: (a)based upon
? rules of evidence. rY under a aProv- geographic considerations, the lawyers agree
PPicable case law or legal work,responsibility,and representation in a co to nvenient
nt
Rule 4-1.5(0(4)(B)(ii)prohibits a la fashion. Such a situation would occur when different aspects
contingent tee percentage on the lawyer from charging the of a case must be handled in recovery beingWtal, future value of a the lawyers agree to divide the legal work and representation
prohibition does not a a structured or periodic basis. This based upon their particular expertise over the same lea h apply if the lawyer's fee is being paid of law involved in the litigati tn the substantive areas
the client. of time as the schedule of payments to agree to divide the le (0> where the lawyers
c established lines of divissiOn,wsu h asdiabilitsentation along
I Division of fee causation and d y and damages,
A division of fee is a single billing damages,or other simiar factors•
fee of two or more la B to a client cm•enng the The trial court's responsibility when reviewing division of fee facilitate eassocia0�of m the same fum. A lion for authorizationwing an r rule
a fee division under rule
in a matter in which neither more than one lawyer Mane if a c well. and most often is used when could serve the client are exists in that particular o•counsel relationship
the division is between a referrin the fee is contingent counsel relationship tee' If the court determines i co-
B latyer and a gent and P exists and authorizes the fee division
is'. Subject to the trial special- requested, the court does not have an p Y
vision (g)permits � lawyers
of subdivision (0(4)(D),subdi- review or approve the s y responsibility to
I basis of the ro to divide a tee on either the agreed Upon b pacific amount of the fee division
P pottion of services P Y the lawyers and the client ment between the pmticipatin lawyers
render or by agree- Rule 4_1.5(0(4)(D)(iv)applies to
I sibilitY for the r B rf all assume espon- late counsel is pP the situation where appel_
advised and doesenotsob ectnda whole and the client is with the a reed during the trial of the case to
the client of the share that each laces require disclosure to subdivision w th the
of the cue. The assist
(0(4)(D) are to be a Percentages set forthll to responsibility for there wyer to receive. Joint counsel's fee is established. However
in after appellate I stated m rule 4.5.1 forpresentaUo0 entails the obligations be to impose an unreasonable fee on the the effect should not
Purposes of the matter involved. client.
Disputes over fees Comment amended Jul
So2d 252); amended y 23, 1992,effective Jan. 1, 1993(605
1164 effective Oct 20, 1994 (644 So2d 292).
i
i
1
i
RULES OF PROFESSIONAL CONDUCT
Rule 4-7.1
II ;
7. establishing procedures to ensure adequate
b. implement the plan and monitor its results; 1
monitoring and follow-up for assigned cases and
c. submit an annual report to The Florida Bar to measure client satisfaction; and
standing committee; 8, recognition of pro bono legal service by
d. to the extent possible, current legal assis- lawyers.
tance and pro bono pro6r•ams in each circuit shall be (d) Suggested Pro Bono Service Opportunities.'
utilized to implement and operate circuit pro bona The following are suggested pro born service opportu- I.
plans and provide the necessary coordination and pities that boils be included in each circuit plan:
administrative support fro•the circuit pro boon com-
mittee; (1) representation of clients through case referral;
e. to encourage more lawyers to participate in (2) inter ievving of prospective clients;
pro bono activities. each circuit pro bono plan (3) participation in pro se clinics and other clinics in
should provide various support and educational set- which lawyers provide advice and counsel; l'
vices for participating pro bono attorneys. which, to (4) acting as co-counsel on cases or matters with
the extent possible,should include: legal assistance providers and other pro bono lawyers;
1. providing intake, screening, and referral of 6
prospective clients; (5) providing consultation services to legal assis-
2. matching cases with individual attorney ex-
tance providers for case reviews and evaluations; i
pertise, including the establishment of specialized (0) participation in policy advocacy;
panels; (7) providing training to the staff of legal assistance
:3, providing resources for litigation and out- providers and other volunteer pro bono attorneys;
of-pocket expenses for pro bono cases: (8) making presentations to groups of poor persons
4. providing legal education and training for regarding their rights and obligations under the law;
pro bono attorneys in specialized areas of law (9) providing legal research;
useful in providing pro bono legal service; (10) providing guardian ad litem services; `
5, prodding the availability of consultation ('11) providing assistance in the formation and oper-
with attorneys who have expertise in areas of law ation of legal entities for groups of poor persons; and L j
with respect to which a volunteer lawyer is pro-
iding pro bono legal service; (12) sening as a mediator or arbitrator at no fee to j
6, providing malpractice insuance for volun- the client-eligible party.
•aa
teer pro bono lawyers with respect to their pro S tggest effective Oct. I, 1993(630 So.2d a0ll.
Suggested title added by Publisher.
t I
bono legal service; PPPGUI
SERVICES
4-7. INFORMATION ABOUT LEGAL �! r
(d) contains a testimonial.
RULE 4-7.1 COiNIMUNICATIONS Amended Dec.21,1990,effective Jan.1,1991(571 Sold 448); ^I
CONCERNING A-LAWYER'S July 23, 1992,effective Jan.1, 19s3(605 So.2d252). 41!'
SERVICES Comment
uJ
A lawyer shall not make or permit to be made a This rule governs all communications about a lawyer's i
false, misleading, deceptive, or unfair communication services, including
means are used to advertising
ake known a permitted ylawwyer's set-
about the lawyer or the lavyer's services. A comma• vices, statements about them must be truthful. This pre-
nication violates this rule if it: eludes any material misrepresentation or misleading am
(a) contains a material misrepresentation of fact or lion,such as where a lawyer states or implies certification or Jp
lave or omits a tact necessary to make the statement recognition as a specialist other than in accordance with rulet^f
4-7.5, where a lawyer implies that any court, tribunal. or 1,
considered as a whole not materially misleading; other public body or official can be improperly influenced,or
b) is likely to create an unjustified expectation where a lawyer advertises a particular fee or a contingency
about results the lawyer can achieve or states or fee without disclosing whether the client will also be liable
for costs. Mother example of a misleading omission is an i
implies that the lawyer can achieve results by means advertisement for a law firm that states that all the firm's
that violate the Rules of Professional Conduct or other lawyers are juris doctors but does not disclose that a juris
law,; doctorate is a law degree rather than a medical degree of
some sort and that virtually any law firm in the United
10 compares the lawyer's services with other law- States can make the same claim. Although rule 4-72 per-
cers' services. unless the comparison can be factually mits lawyers to list the jurisdictions and courts to which they
substantiated: or are admitted it also would be misleading for a lawyer who
1195
I
.,
I
RULES REGULATING THE FLORIDA BAR
1 does not list other jurisdictions or courts to state that the
that Otherwise
of The Florida Bar. Standing by itself (o) Name of Lawyer or Lawyer Referral
I truthful statement implies falsel-v that the All advertisements and written communications punt
lawyer possesses a qual�cation not common [o vvtually ;ill
ant to these rules ;hall include the name of at le
misled practicing in Florida. The latter their c nt the lawyer referral service responsible
r
• misleading omissions also are examples of unfair ads ettl singf• The prohibition in subdivision bments their content. Ponsible ft
create "unjustified expectations'(precludes advertisements thiat may ssubdivision,re Statement. Except
? about results obtained on behalf of a client, such as theP as provided
amount of a damage award or the lawyer'.s record in obtain- � advertisements, other thann.
referral service advertisements shall contain the Se.ing favorable verdicts, and advertisements containing client lowin
' endorsements or testimonials. Such information may create g disclosure: "The hhing of a lawyer is far
the unjustified expectation that similar results can be ate Important decision that should not be based I twined for others without reference to the specific factual aob-nd upon advertisements. Before you decide, ask us le legal circumstances. send you free wr tten information about our tc
The prohibition in subdivision (c) of comparisons that tions and experience." Lawyer referral service adver.
cannot be factually substantiated would preclude a lawyer tisemgerof a la er to anhenfPlol�antgdecision.reBefohe
from representing that the lawyer or the l preclude
law la•w e You Of to 7 The
1 "the best." "one of the best,' or "one of the most experi_ fetred, ask thatolaevver for the mer [o whom enced"in afield of law•. YOU are ton ut
at
The prohibition in subdivision (d)would Preclude endorse- disc osurestneed of appearwions in eleten ctron caadvertiset
ments or testimonials because they are inherently misleading ments or advertisements in the public experience These
to a person untrained in the law, potential clients are likely
' Media
to infer from the testimonial that the law • contain no illustrations and no information other that
1+ �� lawyer will reach
similar results in future cases. Because the lawyer cannot that listed in subdivision n
p directly make this assertion, the lawyer is not permitted of O(1)-(11)of this rule.
- directly make that assertion through the use of tes[imoni- dramatization in any advertisement in an
(e) Dramatizations Prohibited. There shall be no
cals Use of Y medium.
Comment amended July 23, 199?, effective Jan. I, 1993 (605 vert sement5 Illustrations. III information sths d an be
So.2d 252).
factually substantiated and is not merely self-laudato•
RULE 4-7.2 ADVERTISING
ry,(a) Permissible Forms of Advertisin , (g) Fields of Practice. Every advertisement and
all the requirements set forth in this subchapter 4-7, of law in which the lawyer or law firm practices shall
g Subject to written communication that indicates 1 or more areas
including the filing requ cements of tole 4-7.5, a law_ conform to the requirementsof rule 4-7.6.
i yer may advertise services through public media, such (h) Disclosure of Liability for Expenses Other
as a telephone directory, legal directory, newspaper or
other periodical, billboards and other signs,
Than Fees. Even advertisement and written com-
television, and recorded messages the public maymunication that contains information about the law-
Yer's fee, including those that indicate no fee will be
access by dialing a telephone number, or through
written communication not involving solicitation as whether the client will be liable for any expenses in
charged in the absence of a recovery, shall disclose
i defined in rule 4-7.4. These rules shall not apply to PP Y addition to the fee. Additionally, advertisements and
any advertisement broadcast or disseminated in an- written communications in
that the charging
other jurisdiction in which the advertising lawyer is of a fee is contingent on outcome or that the fee will
admitted if such advertisement coin lies with the rules
I be
governing lawyer advertising in that jurisdiction and the client will be liable for expenses regazdless of
is not intended for broadcast or dissemination within utcomer,c f the lawyer entage of the ;oointends to hold the client
o
the State en Florida.
liable; and (2) whether the Percentage fee will be
(b) Single Voice Requirement; Employee of computed before expenses are deducted from the re.
Lawyer or Law Firm. Advertisements on the elec- covert', if the lawyer intends to compute the percent-
tronic media such as television and radio may contain age fee before deducting the expenses.
the same factual information and illustrations as per-
nutted in advertisements in the print media, but the Honored. A la
P (i) Period far Which Advertised Fee Must Be
information shall be articulated by a single voice, with
no background sound other than instrumental music. advertised fee or rangeof fees for at least
igof daee ys
range of fees for a particular service shall honor the
The voice may be that of a full-tlme employee of the unless the advertisement firm whose services are advertised; semen[ s '�it shall ecifi I that of a celebrity whose voice is re; ll not be provided that, for advertisements inthe yellowpages;
public, The la recognizable to the of telephone directories or other media not published
lawyer or full-time employee of the firm
whose services are being advertised more frequently than annually,T s sed may a the Green ear oadvertised I or on radio. PP n range of fees shall be honored for no less than I year
' following publication.
1196
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RULES OF PROFESSIONAL CONDUCT Rule 4 i2
Ijl Self-laudatory Statements. A lawyer shall not (S) fee for initial consultation and fee schedule,
nikc statements that are merely self-laudatory or subject to the requirements of subdivisions (h) and (i)
ements describing or characterizing the quality of of this rule;
:i,e law)' n of
et,'; service; in adcertisem provision shall ts and nten
ota lawyer or law firm as a the esponsor
and ofaa prublics service
cations;
„i�umunications; provided that thin
q h' to information furnished to a prospective client anno or ement;or charitable, civic, or community pro-
information that person's request or to information supplied to 6'r"
Clients- (10) common salutary language such as "best
,aisting wishes", "good luck", "happy holidays", or"pleased to
is) Firm Name. A lawyer shall not advertise set,- announce"; and
iv.cs under a name that violates the provisions of rule (11) a lawyer referral service may advertise its Ip
;.;. none, location, telephone number, the referral fee
I! ) Location of Practice. All advertisements and charged, its hours of operation, the process by which '',
en communications provided for under these referrals are made, the areas of law in which referrals
writt f �I
�. itt shall disclose the geographic location, by city or are offered, the geographic area in which the lawyers ( i
t,�en,of the office in which the lawyer or lawyers who practice to whom those respondi�igato the advertise-
n rift- Y I'
,rill acnrrll}' pet•form [he ser:ices advertised rind al- ment will be referred and, if app P
!v practice law. If the office location is outside a city status, its status as a lawyer referral service approved
„r town. the county in which the office is located must by The Florida Bar, and the logo of its sponsoring bar
he disclosed. A lawyer referral service shall disclose association.
the geographic area in which the lawyer practices (o) Advertising in Law Directory. Nothing in this
alien a referral is made. rule prohibits a lawyer or law firm from permitting i
(in) Payment by Nonadvertising Lawyer. No the inclusion in law lists and law directories intended
l;m'vet,;hall directh• or indirec[Ic, pay all or a part of primarily for the use of the legal profession of such I
mation as has traditionally been included in these
nfot I p
he cost of an advertisement b} a lavvyer not in the publications.
same firm unless the advertisement discloses the (p) Maintaining Copies of Advertisements. A a I
name and address of the mmadvertising lawyer, the copy or recording of an advertisement or written or
relationship between the advertising lawyer and the recorded communication shall be submitted to the I:
nonadvertising lawyer, and whether the advertising standing committee on advertising in accordance with
ho,vy'er may refer any case received through the ad- the requirements of rule 4-7.5, and the lawyer shall
vertisement to the nonadvertising lawyer. retain a copy or recording for 3 years after its last
(n) Permissible Content of Advertisements. The dissemination along with a record of when and where
following information in advertisements and written it was used. .Gk!
communications shall be presumed not to violate the (q) Payment for Recommendations; Lawyer Re-
provisions of rule 4-7.1: ferral Service Fees. A lawyer shall not give anything �I p
ll subject to the requirements of this rule and rule of value to a person for recommending the lawyerss
-i.i, the name of the lawyer or lave form. a listing of services, except that a lawyer may pay the reasonable
4-7.7,
associated with the form. office locations and cost of advertising or written or recorded communica-
lion permitted by these niles, may pay the usual l;'r
parking arrangements, disability accommodations, charges of a lawyer referral service or other legal
telephone numbers and electronic mail addresses, of- service organization, and may purchase a law practice »'1
rice and telephone service hours. and a designation in accordance with rule 4-1.17. h
such as"attorney"or "law firm': p !
(r) Language of Required Statements. Any p
(2) date of admission to The Florida Bar and any words or statements required by this rule, rule 4-7.3,
other bars, years of experience practicing law, and a or rule 4-7.4 to appear in an advertisement or direct
listing of federal courts and jurisdictions other than mail communication must appear in the same lan•
Florida where the lawyer is licensed to practice; guage in which the advertisement appears. If more
31 technical and professional licenses granted by than 1 language is used in an advertisement or direct
mail communication, any words or statements re-
the state or other recognized licensing authorities and uired b this rule, rule 4-7.3, or rule 4-7.4 must
educational degrees received, including dates and in- appear in each language used in the advertisement or
stitutions: direct mall communication.
(4) foreign language ability: Amended Dec.21. 1990,effective Jan. 1,1991 (571 Sold 443);
(5) fields of lave in which the lawyer practices, in- Julv 22, 1992,effective Jan.1. 1993(605 So.2d 252); amended
eluding official certification logo;. subject to the re- effective July 1, 1993 (621 So.2d 1032); amended June 27.
1996, effective July 1, 1996 (677 So.2d 272); amended effec-
quirements of rule 4-7.6: tive Feb.27. 1997(—So.2d
01 prepaid or group legal service plans in which the Comment j '. n
lawyer participates: To assist the public in obtaining legal services, lawyers
71 acceptance of credit cards; should be allowed to make known their services not only p
1197 nj
i
) .. through reputation but also through organized information dramatizations in any advertisement, including those appear.
. campaigns in the form of advertising. The public's need to ing on the electronic media. This is intended to preclude the
i' know about legal sen•ices can be fulfilled in part through use of scenes creating suspense,scenes containing exaggera-
advertising that provides the public with useful,factual infor- tions or situations calling for legal services, scenes creating
i matron about legal rights and needs and the availability and consumer problems through characterization and dialogue
(((i terms of legal services from a Particular lawyer or law firm. ending with the lawyer solving the problem, and the audio or
I This need is particularly acute in the case of persons of video portrayal of an event or situation. While informational
77 moderate mean_= who have not made extensive use of legal illustrations may attract attention to the advertisement and
services. Nevertheless, certain types of advertising by law- help potential clients to understand the advertisement,self-
vers create the risk of practices that are misleading or laudatory illustrations are inherently misleading and thus
overreaching and can create unwarranted expectations by prohibited. As an example, a drawing of a fist, to suggest
persons untrained in the lacy. Such advertising can also the lawyer's ability to achieve results,would not be informa-
adversely affect the public's confidence and trust in our tional and would be barred.
judicial system.
Regardless of medium, a lawyer's advertisement should
In order to balance the public's need for useful informa- provide only useful, factual information presented in a non-
tion, the state's need to ensure a system by which justice will sensational manner. Advertisements utilizing slogans or jin-
be administered fairly and properly, as well as the states gles, oversized electrical and neon signs,or sound trucks fail
_ I need to regulate and monitor the advertising practices of to meet these standards and diminish public confidence in
lawyers• and a lawyer's right to advertise the availability of the legal system.
the lawyer's services to the public, this rule permits public The disclosure required by subdivision (d) of this rule is
dissemination of information concerning a lawyer', name or designed to encourage the informed selection of a lawyer.
film name, address, and telephone number; the kinds of As provided in rule 4-7.3, a prospective client is entitled to
services the law'}'er will undertake; the Prices foris on the know the experience and qualifications of any lawyer seeking
lawyer's fees are determined, includingp ta represent the prospective client. The required disclosure
1 senign and payment and credit arrangements; a lawyers would be ineffective if it appeared in an advertisement so
foreign language ability: names of references and,with their briefly or minutely as to be overlooked or ignored. Thus in
consent. names of clients regularly represented; and other
factual information that might invite the attention of those print advertisements, the type size used for the disclosure
seeking legal assistance. must be sufficient to cause the disclosure to be conspicuous;
in recorded advertisements,the disclosure must be spoken at
Television now one of the most powerful media for a speed that allows comprehension by the average listener.
conveying information to the public; a blanket prohibition This rule does not specify the exact type size to be used for
against television advertising, therefore, would impede the the disclosure or the exact speed at which the disclosure may
flow of information about legal services to many sectors of be spoken; good faith and common sense should serve as
the public. However• the unique characteristics of electronic adequate guides for any lawyen
if media, including the pervasiveness of television and radio, Neither this rule nor rule 4-7.4 prohibits communications
l the ease with which these media are abused,and the passive- authorized by law, such as notice to members of a class in
l ness of the Hewer or listener, make the electronic media class action litigation.
especially subject to regulation in the public interest. There-
i fore, greater restrictions on the manner of television and This rule applies to advertisements and written communi-
radio advertising are justified than might be appropriate for cations directed at prospective clients and concerning a law.
advertisements in the other media. To prevent abuses, yer's or law firm's availability to provide legal services. The
including potential interferences with the fair and proper rule does not apply to communications between lawyers,
administration of justice and the creation of incorrect public including brochures used for recruitment purposes.
j perceptions or assumptions about the manner in which our Paying others to recommend a lawyer. A lawyer is
legal system works.and to promote the public's confidence in allowed to pay for advertising permitted by this rule and for
the legal profession and this country's system of justice while the purchase of a law practice in accordance with the provi-
not interfering with the free flow of useful information to sions of rule 4-1.17, but otherwise is not permitted to pay or
Prospective users of legal services. it is necessary also to provide other tangible benefits to another person for procur-
restrict the techniques used in television and radio advertis- ulg professional work However, a legal aid agency or
1°g prepaid legal services plan may pay to advertise legal ser-
Subdivisions(b)and(e)of this rule are designed to ensure vices provided under its auspices. Likewise, a lawyer may
that the advertising is not misleading and does not create participate in lawyer referral programs and pay the usual
unreasonable or unrealistic expectations about the results the fees charged by such programs, subject, however, to the
lawyer may be able to obtain in any particular case, and to hrmtations imposed by rule 4-7.8. Subdivision (q) does not
prohibit paying regular compensation to an assistant.such as
encourage a focus on providing useful information to the
public about legal rights and needs and the availability and a secretary or advertising consultant,to prepare communica-
terms of legal services. Thus, the rule allows all lawyer bons permitted by this rule. . 1.
advertisements in which the lawyer personally appears to Comment amended July 23, 1992, effective Jan. 1, 1993 (605
explain a legal right, the services the lawyer is available to So.2d 252).
perform,and the lawyer's background and experience.
The prohibition in subdivision (b) against any background
sound other than insbvmental music precludes,for example, RULE t-7.3 LEGAL SERVICE
the sound of ,yens or car crashes and the use of jingles. INFORMATION
Subdivision 4-7.1(d) forbids use of testimonials or endorse- (a) Information Regarding Qualifications. Each
ments from clients or anyone else. Subdivision(e)prohibits lawyer or law firm that advertises the la%Ter's or law
1198
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RULES OF PROFESSIONAL CONDUCT Rule 4-1.4
arm'; availability to provide legal services shall have (D Misleading or Deceptive Statements. Any E
;icailable m written form for deliver., to any potential factual statement contained in any advertisement or
jOila written communication or any information furnished
to a prospective client under this rule shall not: i
11) a factual statement detailing the background, "-
rahung, and experience of each lawyer or the law (1) be directly or impliedly false or misleading;
firm; (2) be potentially false or misleading; '1
lawyer l P (3) fail to disclose material information necessary to
(•?1 if the lav er or law firm claims special expertise
in the representation of clients in special matters or prevent the information supplied from being actually p
publicic limits the lawyer's or law firm's practice to or potentially false or misleading;
special types of cases or clients, written information (4) be unsubstantiated in fact; or
setting forth the factual details of the lawyer's experi-
ence.expertise,background, and training in such mat-
(g) be unfair or deceptive.
cos, (g) Proof of Statements or Claims. Upon reason- j
(b) Information to Be Included in Written Com- able request by The Florida Bar, a lawyer shall
munications. A lawyer or law firm that advertises promptly provide proof that any statement or claim
;cnices by written communication not involving solici- made in any advertisement or written communication,
tation• as defined in rule 4-7.4. shall enclose with each as well as the information furnished to a prospective I
such written communication the information described client as authorized or required by these rules, is in
n subdivision (a)of this rule. compliance with subdivision(f)above.
(c) Request for Information by Potential Client. (h) Disclosure of Intent to Refer Matter to An- (,I�
Whenever a potential client shall request information other Lawyer or Law Firm. A statement and any €II,
regarding a lawyer or law fu m for the purpose of information furnished to a prospective client, as autho- r
making a decision regarding employment of the law- rized by subdivision (a) of this rule, that a lawyer or
ver or law taco: law firm will represent a client in a particular type of
matter,without appropriate qualification,shall be pre-
(1) The lawyer or law firm shall promptly furnish sumed to be misleading if the lawyer reasonably be-
(by mail if requested) the wii[ten information de- lieves that a lawyer or law firm not associated with f
scribed in subdivision(a). the originally retained lawyer or law firm will be l ljl,
(2) The lawyer or law firm may furnish such addi- associated or act as primary counsel in representing
tional factual information regarding the lawyer or law the client. In determining whether the statement is
firm deemed valuable to assist the client. misleading in this respect, the history of prior conduct
�1 :1
by the lawyer in similar mallets may be considered. aa is
(u) If it is believed that the client is in need of Added Oct. 2. 1987, effective Jan. 1, 1988 (519 Sold 971). ;p
services that will require that the client read and sign ended Dec.21,1990,effective Jan. 1,1991(571 So.2d 448); li i-
a copy of the "Statement of Client's Rights" as re- July 23,1992,effective Jan. 1,1993(605 So.2d?52).
quired by these rules, then a copy of such statement
shall be furnished contemporaneously with the above Comment ;II'
information. Consumers and potential clients have a right to receive fj:l .q
(4) If the information furnished to the client in- factual,objective information from lawyers who are advertis-
ing their availability to handle legal matters. The rule
provides that potential clients may request such information d
contract shall be marked "SAMPLE" in red ink in a and be given an opportunity to review that information kbl I"
type size one size larger than the largest type used in without being required to come to a lawyer's office to obtain
the contract and the words "DO NOT SIGN" shall it. Selection of appropriate counsel is based upon a number I�
appear on the client signature line. of factors. However,selection can be enhanced by potential
clients having factual information at their dispcsal for review
(d) Retention of Copies of Information. A copy
and comparison.
of all information furnished to clients by reason of this
rule shall be retained by the lawyer or law firm for a
period of 3 years after last regular use of the informa- RULE 4--7.4 DIRECT CONTACT WITH r
tion. PROSPECTIVE CLIENTS
(e) Disclosure Statement. If the lawyer or law (a) Solicitation. A lawyer shall not solicit profes-
firm advertises its services pursuant to rule 4-7.2. the sional employment from a prospective client with e
advertisement shall contain the disclosure set forth in whom the lawyer has no family or prior professional
rule 4-7.2(d) unless exempt by the terms of that rule. relationship,in person or otherwise,when a significant i
This disclosure need not appear in written communi- motive for the lawyer's doing so is the lawyer's pecu-
cations under rule 4-7.4. which must be accompanied niary gain. A lawyer shall not permit employees or
be a copy of the statement of qualifications and expe- agents of the lawyer to solicit in the lawyer's behalf.
hence described in subdivision(a)of this rule. A lawyer shall not enter.into an agreement for,
1199
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The Infon,nauon Management Company
6954 N.W. 12 STREET, MIAMI, FLORIDA 33126
305-477-9149 . 800-287-4799 • FAX 305-477-7526
a photocopyinPOOP
condition
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THE END OF
OCTOBER 21 , 1997
WORKSHOP MEETING
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IMAG— 6954 N.W. l2 STREET, MIAMI, FLORIDA 33126
G�UA�ReD
�K�` 305-477-9149 • 800-287-4799 FAX 305-477-7526
CMUTY MMITORING PROGRAM
RICAN MICRO-IMAGE,INC.
THIS IS TO CERTIFY THAT AME
PRESENTS THE FOLLOWING IMAGES AS AN ACCURATE AND
COMPLETE MICROFII'M Copy OF THE ORIGINAL BUSSINESS
FILES AS EDITED BY THE INSTITUTION INSTRUCTIONS.
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IMAGEThe Information Management Company
GJARD 6954 N.W. 12 STREET, MIAMI, FLORIDA 33126
305-477-9149 . 800-287-4799 • FAX 305-477-7526
CWUTY MONITORING PROGRAM
THIS IS TO CERTIFY THAT AMERICAN MICRO-IMAGE, INC_.
PRESENTS THE FOLLOWING IMAGES AS AN ACCURATE AND
COMPLETE MICROFILM COPY OF THE ORIGINAL BUSSINESS
FILES AS EDITED BY THE INSTITUTION INSTRUCTIONS.
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