SECTION .0100 - CLIENT‑LAWYER RELATIONSHIP
27 NCAC 02 Rule 1.01 Competence
A lawyer shall not handle a legal matter that the lawyer
knows or should know he or she is not competent to handle without associating
with a lawyer who is competent to handle the matter. Competent representation
requires the legal knowledge, skill, thoroughness, and preparation reasonably
necessary for the representation.
Comment
Legal Knowledge and Skill
[1] In determining whether a lawyer employs the requisite
knowledge and skill in a particular matter, relevant factors include the
relative complexity and specialized nature of the matter, the lawyer's general
experience, the lawyer's training and experience in the field in question, the
preparation and study the lawyer is able to give the matter, and whether it is
feasible to refer the matter to, or associate or consult with, a lawyer of
established competence in the field in question. In many instances, the
required proficiency is that of a general practitioner. Expertise in a
particular field of law may be required in some circumstances.
[2] A lawyer need not necessarily have special training or
prior experience to handle legal problems of a type with which the lawyer is
unfamiliar. A newly admitted lawyer can be as competent as a practitioner with
long experience. Some important legal skills, such as the analysis of
precedent, the evaluation of evidence, and legal drafting, are required in all
legal problems. Perhaps the most fundamental legal skill consists of
determining what kind of legal problems a situation may involve, a skill that
necessarily transcends any particular specialized knowledge. A lawyer can
provide adequate representation in a wholly novel field through necessary
study. Competent representation can also be provided through the association of
a lawyer of established competence in the field in question.
[3] In an emergency, a lawyer may give advice or assistance
in a matter in which the lawyer does not have the skill ordinarily required
where referral to, or consultation or association with, another lawyer would be
impractical. Even in an emergency, however, assistance should be limited to
that which is reasonably necessary under the circumstances, for ill-considered
action under emergency conditions can jeopardize the client's interest.
[4] A lawyer may accept representation where the requisite
level of competence can be achieved by reasonable preparation. This applies as
well to a lawyer who is appointed as counsel for an unrepresented person.
Thoroughness and Preparation
[5] Competent handling of a particular matter includes
inquiry into, and analysis of, the factual and legal elements of the problem,
and use of methods and procedures meeting the standards of competent
practitioners. It also includes adequate preparation. The required attention
and preparation are determined, in part, by what is at stake; major litigation
and complex transactions ordinarily require more extensive treatment than
matters of lesser complexity or consequence. An agreement between the lawyer
and the client regarding the scope of the representation may limit the matters
for which the lawyer is responsible. See Rule 1.2(c).
Retaining or Contracting with Other Lawyers
[6] Before a lawyer retains or contracts with other lawyers
outside the lawyer’s own firm to provide or assist in the provision of legal
services to a client, the lawyer should ordinarily obtain informed consent from
the client and must reasonably believe that the other lawyers’ services will
contribute to the competent and ethical representation of the client. See
also Rules 1.2 (allocation of authority), 1.4 (communication with client),
1.5(e) (fee division), 1.6 (confidentiality), and 5.5(a) (unauthorized practice
of law). The reasonableness of the decision to retain or contract with other
lawyers outside the lawyer’s own firm will depend upon the circumstances,
including the education, experience, and reputation of the nonfirm lawyers; the
nature of the services assigned to the nonfirm lawyers; and the legal
protections, professional conduct rules, and ethical environments of the
jurisdictions in which the services will be performed, particularly relating to
confidential information.
[7] When lawyers from more than one law firm are providing
legal services to the client on a particular matter, the lawyers ordinarily
should consult with each other and the client about the scope of their
respective representations and the allocation of responsibility among them. See
Rule 1.2. When making allocations of responsibility in a matter pending before
a tribunal, lawyers and parties may have additional obligations that are a
matter of law beyond the scope of these Rules.
Maintaining Competence
[8] To maintain the requisite knowledge and skill, a lawyer
should keep abreast of changes in the law and its practice, including the
benefits and risks associated with the technology relevant to the lawyer’s
practice, engage in continuing study and education, and comply with all
continuing legal education requirements to which the lawyer is subject.
Distinguishing Professional Negligence
[9] An error by a lawyer may constitute professional
malpractice under the applicable standard of care and subject the lawyer to
civil liability. However, conduct that constitutes a breach of the civil
standard of care owed to a client giving rise to liability for professional
malpractice does not necessarily constitute a violation of the ethical duty to
represent a client competently. A lawyer who makes a good-faith effort to be
prepared and to be thorough will not generally be subject to professional
discipline, although he or she may be subject to a claim for malpractice. For
example, a single error or omission made in good faith, absent aggravating
circumstances, such as an error while performing a public records search, is
not usually indicative of a violation of the duty to represent a client
competently.
[10] Repeated failure to perform legal services competently
is a violation of this rule. A pattern of incompetent behavior demonstrates
that a lawyer cannot or will not acquire the knowledge and skills necessary for
minimally competent practice. For example, a lawyer who repeatedly provides
legal services that are inadequate or who repeatedly provides legal services
that are unnecessary is not fulfilling his or her duty to be competent. This
pattern of behavior does not have to be the result of a dishonest or sinister
motive, nor does it have to result in damages to a client giving rise to a
civil claim for malpractice in order to cast doubt on the lawyer's ability to
fulfill his or her professional responsibilities.
History Note: Authority G.S. 84-23;
Eff. July 24, 1997;
Amended Eff. October 2, 2014; March 1, 2003.