Professional Rules for Legal Officers in Defence Interim ...

Draft 19 Oct 04

Professional Rules for Legal Officers in DefenceInterim Rules

Contents

Preamble ............................................................................................................................. 1

Part A – Interpretation and Application of the Rules.............................................................. 11 Interpretation ..........................................................................................................1

2 Application of Rules................................................................................................2

3 Conflicts of Rules ...................................................................................................2

Part B – The Client ............................................................................................................... 34 Identification of the Client.......................................................................................3

5 Duties of Care, Diligence and Competence...........................................................4

(a) Duty of Competence................................................................................. 4

(b) Duties of Supervising Legal Officers ......................................................... 46 Duty of Confidentiality ............................................................................................5

(a) General Rule ............................................................................................ 5

(b) Individual Clients ...................................................................................... 5

(c) Organisational Clients .............................................................................. 67 Conflicts of Interest.................................................................................................7

(a) General Rule ............................................................................................ 7

(b) Acting for Individual Clients ...................................................................... 7

(c) Acting for more than one party ................................................................. 8

(d) Prohibition on accepting unauthorised benefits or duties .......................... 8

(e) Use of Information .................................................................................... 9

(f) Acting against former Clients.................................................................... 98 Remuneration and Referral Fees...........................................................................9

9 Prohibited Transactions .......................................................................................10

(a) Trust Accounts ....................................................................................... 10

(b) Other prohibited transactions.................................................................. 1010 Termination of Tasking.........................................................................................10

(a) General Rule .......................................................................................... 10

(b) Transfer and Posting .............................................................................. 11

Part C – Communications with Others .................................................................................. 111 Relations with other Legal Officers, Private Lawyers and Clients .........................1

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12 Relations with Third Parties ...................................................................................2

13 Communications Generally ....................................................................................2

Part D – Advocacy Rules...................................................................................................... 314 Interpretation and Application ................................................................................3

15 Duty to client...........................................................................................................4

16 Disinterestedness...................................................................................................5

17 Frankness before a service tribunal.......................................................................6

18 Delinquent or guilty clients .....................................................................................8

19 Responsible use of service tribunal process privilege...........................................9

20 Efficient administration of justice..........................................................................10

21 Integrity of evidence .............................................................................................11

22 Duty to opponent ..................................................................................................12

23 Integrity of hearings..............................................................................................13

24 Prosecutor’s duties...............................................................................................14

25 Allocation of Assignments ....................................................................................17

26 Confidentiality & conflicts .....................................................................................20

27 Supervising Legal Officers & Legal Offices .........................................................21

(a) Compliance of Subordinates with Rules ................................................. 21

(b) Supervisor Responsibility ....................................................................... 21

Draft 19 Oct 04 1

Preamble

These interim rules formulate a code of professional conduct for legal practitioners working

within Defence.

Part A – Interpretation and Application of the Rules

1 Interpretation

1.1 For the purposes of these Rules, the following terms shall mean:

(a) “ADF” means the Australian Defence Force, including any arm of the Defence

Force constituted under the Defence Act 1903.

(b) “amicus” means a provider of legal advice that does not give rise to or arise from

a lawyer-client relationship.

(c) “APS” means the Australian Public Service constituted under the Public Service

Act 1999.

(d) “Board of Inquiry” means a board of inquiry established under the Defence

(Inquiry) Regulations.

(e) “DFDA” means the Defence Force Discipline Act 1982.

(f) “Head of the Military Bar” means the person so appointed to that office from time

to time by DG ADFLS.

(g) “individual service member” means any member of the ADF.

(h) “Legal Office” means any Legal Officer or group of legal officers within an office

in Defence.

(i) “Legal Officer” means an APS officer in Defence, an ADF officer in the

permanent forces or an ADF officer in the reserve forces who is on duty or

performing military duty who is a legal practitioner, including a barrister, solicitor,

barrister and solicitor, as well as any person performing the role of providing

professional legal services in Defence.

(j) “Service Tribunal” means a tribunal established under the DFDA or a Board of

Inquiry.

(k) “Supervising Legal Officer” means a Legal Officer to whom another Legal Officer

reports or is otherwise responsible.

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1.2 Terms not otherwise defined in these Rules have the same meaning as in the

Defence Act 1903 and the DFDA. In the event of any conflict between those two

Acts, the latter shall prevail over the former.

1.3 These Rules are not, and should not be read as, a complete or detailed code of

conduct for Legal Officers. Other standards for, requirements of and sanctions

concerning the conduct of Legal Officers are to be found in the inherent disciplinary

jurisdiction of service tribunals, and in the general law (including the law relating to

contempt of court).1

1.4 These Rules should be read and applied so as most effectively to attain the objects

and uphold the values expressed in their Preamble.2

1.5 General provisions of these Rules should not be read or applied in a limited way by

reason of any particular or illustrative provisions.3

1.6 Headings in these Rules shall be read as part of these Rules, but shall not be used

so as to read or apply any of the Rules in a more limited way than would have been

so if the headings were not part of the Rules.4

2 Application of Rules

2.1 These Rules shall, subject to this rule, apply to all Legal Officers in Defence.

2.2 These Rules shall not apply to any Defence Force Magistrate, Judge Advocate or

Reviewing Officer, or to any Legal Officer advising any Reviewing Officer in matters

under ss.153, 154 or 155 of the DFDA.

2.3 These Rules shall apply to counsel assisting any Board of Inquiry who is also a Legal

Officer and shall be in addition to, but read subject to, the obligations of counsel

assisting such Board.

3 Conflicts of Rules

3.1 These Rules shall, subject to this Rule 3, apply concurrently with any rules of

professional conduct applicable to a Legal Officer by virtue of his or her admission in

any Australian State or Territory.

1 See ABA Model Rule 9.2 See ABA Model Rule 10.

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3.2 Specific and significant instances of conflict between these Rules and the rules of

other jurisdictions shall be reported promptly to the Head of the Military Bar.

Part B – The Client

4 Identification of the Client

4.1 Unless tasked to assist an individual service member, a Legal Officer’s client is the

Commonwealth, acting through its authorised officials.

4.2 For the purposes of Rule 4.1, authorised officials include the heads of organisation

elements within the Department of Defence, ADF, arm or other ADF component,

such as commanders of units, fleets, divisions, ships, air stations, posts, and other

heads of activities.5

4.3 For the purposes of Rule 4.1, where a Legal Officer is tasked to provide legal

services to the head of an organisation element, a lawyer-client relationship exists

between the Legal Officer and the Commonwealth as represented by the head of the

organisation as to matters within the scope of the official business of the

organisation, and the head of the organisation may invoke the lawyer-client privilege

or the rule of confidentiality for the benefit of the Commonwealth, subject to being

overruled by higher authority.6

4.4 Any emergency or exigency of the service excepted, a Legal Officer may not

establish a lawyer-client relationship with any individual service member unless

tasked or otherwise authorised to do so by competent authority, such as any

Supervising Legal Officer or commanding officer.7 Where, by reason of any

emergency or exigency of the service, it is necessary for a Legal Officer to establish

such a relationship, the Legal Officer shall seek ratification of that decision at the first

available opportunity.

4.5 Where a Legal Officer is tasked or otherwise authorised to establish a lawyer-client

relationship with any individual service member, the Legal Officer owes to that

service member the same duties as set out in these Rules and the same duty to act

in accordance with these Rules.

3 See ABA Model Rule 11.4 See ABA Model Rule 12.5 See US Navy Rule 1.13(a).6 See US Navy Rule 1.13(a).7 See US Navy Rules, Preamble para 6(b).

Draft 19 Oct 04 4

4.6 Where a Legal Officer is tasked to advise or to act for and on behalf of an individual

service member, the subject matter scope of a Legal Officer’s representation will be

limited to the terms of the tasking. A Legal Officer shall inform clients at the earliest

opportunity of any limitations on representation and professional responsibilities of

the legal practitioner towards the client.8

4.7 A Legal Officer shall not be taken to have established a lawyer-client relationship for

the purposes of Rule 4.5 with an individual service member if he or she is acting in

an amicus role, provided that he or she informs the individual service member,

before providing any advice, or accepting any confidential information (unless such

information is provided before the Legal Officer has an opportunity to warn the

individual service member), that he or she is not acting as the legal practitioner of

that individual service member.

5 Duties of Care, Diligence and Competence

(a) Duty of Competence

5.1 A Legal Officer must act honestly, fairly, and with competence and diligence in the

service of a client, and should act for and on behalf of that client, only when the Legal

Officer can reasonably expect to serve the client in that manner and attend to the

work required with reasonable promptness.9

(b) Duties of Supervising Legal Officers

5.2 A Supervising Legal Officer, before assigning a case or matter to a Legal Officer or

any other person, shall make an initial determination as to competence of a Legal

Officer for a particular assignment. Legal Officers may consult with supervisors

concerning competence in any particular case.10

5.3 A Supervising Legal Officer is responsible for ensuring that the subordinate Legal

Officer is properly trained, is competent to perform the duties and has all appropriate

credentials, including security clearances, to perform the duties to which the Legal

Officer is assigned.11

8 See US Navy Rule 2.1.9 See NSW Solicitors’ Rules, 1.110 See US Navy Rule 1.1.11 See US Navy Rule 5.1(d)

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6 Duty of Confidentiality

(a) General Rule

6.1 A Legal Officer must not disclose to any person, who is not also a Legal Officer

assigned to act for and on behalf of the same client in respect of the same matter, at

any time, any information which is confidential to the client and acquired during the

time that the Legal Officer is assigned to act for and on behalf of the client,12 unless:

(a) the client authorises disclosure;13

(b) the Legal Officer is permitted or compelled by law to disclose;14 or

(c) the Legal Officer discloses information in circumstances in which the law

would probably compel its disclosure, despite a client’s claim of legal

professional privilege15; or

(d) otherwise permitted by these Rules.

6.2 A Legal Officer’s obligation to maintain the confidentiality of a client’s affairs is not

limited to information which might be protected by legal professional privilege, and is

a duty inherent in the fiduciary relationship between the Legal Officer and client.

(b) Individual Clients

6.3 Where a Legal Officer is acting on behalf of an individual service member in

accordance with Rule 4.4, Rule 6.1 shall not apply to prevent disclosure of

confidential information where disclosure of the information is necessary to prevent

the client from committing a criminal act that the Legal Officer believes is likely to

result in:

(a) imminent death or substantial bodily harm to any person;16 or

(b) significant impairment of national security or the readiness or capability of a

military unit, vessel, aircraft, or weapon system;17 or

(c) the commission of a serious civil or military offence; or18

(d) otherwise, any future breach of the DFDA.

12 See NSW Solicitors’ Rule 2.113 See NSW Solicitors’ Rule 2.1.114 See NSW Solicitors’ Rule 2.1.215 See NSW Solicitors’ Rule 2.1.316 See US Navy Rule 1.6 “Confidentiality of Information”17 See US Navy Rule 1.6 “Confidentiality of Information”.18 See NSW Solicitors’ Rules, 2.1.3.

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(c) Organisational Clients

6.4 Where a Legal Officer is assigned to act for and on behalf of an organisational

element of the Department of Defence or ADF, and the Legal Officer knows that an

officer, employee or other member (“official”) associated with the organisational client

is engaged in action, intends to act or refuse to act in a matter that is either adverse

to the legal interests or obligations of the Commonwealth or a violation of Australian

law which reasonably might be imputed to the Commonwealth, the Legal Officer

shall, notwithstanding Rule 2.2, proceed as is reasonably necessary in the best

interest of the Commonwealth.19

6.5 In determining how to proceed, the Legal Officer shall give due consideration to the

seriousness of the violation and its consequences, the scope and nature of the Legal

Officer’s representation, the apparent motivation of the person involved, the policies

of the service concerning such matters, and any other relevant considerations.20

6.6 Any measures taken by the Legal Officer shall be designed to minimise prejudice to

the interests of the Commonwealth and the risk of revealing information relating to

the representation to persons outside the Commonwealth. Such measures may

include:21

(a) asking the official to reconsider;

(b) advising the official to get a separate legal opinion;

(c) advising the official that his or her personal legal interests are at risk and he

or she should seek further advice; and

(d) referring the matter to or seek guidance from higher authority in the chain of

supervision of the Legal Officer.

6.7 If, despite the Legal Officer’s efforts in para 6.6, the highest authority that can act

concerning the matter insists upon action or refuses to act, in clear violation of the

law, the Legal Officer shall terminate representation with respect to the matter in

question and shall:

(a) report such termination of representation, and the reasons thereof, to the

Legal Officer’s Supervising Legal Officer or a superior Supervising Legal

Officer; and

19 See US Navy Rule 1.6(b).20 Ibid.21 Ibid.

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(b) not participate or assist in the illegal activity.22

7 Conflicts of Interest

(a) General Rule

7.1 A Legal Officer must not, in any dealings with a client:

(a) allow the interests of the Legal Officer or an associate of the Legal Officer to

conflict with those of the client;23 or

(b) accept any assignment, or perform duties in the course of an assignment, to

act for a client in any proceedings or transaction affecting or related to any

legal or equitable right or entitlement or interest in property, or continue to act

for a person engaged in such proceedings or transaction when the Legal

Officer is, or becomes, aware that the client’s interest in the proceedings or

transaction is, or would be, in conflict with the Legal Officer’s own interest or

the interest of an associate,24 unless the Legal Officer:

(i) fully discloses to the client the nature of the conflict of interest; and

(ii) is authorised to act in the proceedings or transaction notwithstanding that

conflict of interest.

7.2 For the purposes of Rule 7.1(b)(ii), such authorisation may be given either by the

client or by the Supervising Legal Officer and must be in writing.

7.3 Notwithstanding anything in this Rule 7, a Legal Officer shall not have be taken to

have a conflict of interest because he or she is acting for a client and, at the same

time, acts as amicus in relation to an individual service member in accordance with

Rule 4.7.

(b) Acting for Individual Clients

7.4 Where a Legal Officer is tasked to advise, or act for or on behalf of, an individual

service member, a Legal Officer is not prohibited by Rule 7.1 from acting for an

individual service member whose interests conflict with those of the Commonwealth,

provided that the Legal Officer is tasked to act for that individual service member in

accordance with Rule 4.4.

22 See US Navy Rule 1.6(c)23 See NSW Solicitors’ Rules, Rule 10.124 See NSW Solicitors’ Rules, Rule 10.2

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7.5 Where a Legal Officer is tasked in accordance with Rule 4.4 to advise or act for or on

behalf of an individual service member, the Legal Officer shall, within the scope of his

or her tasking, and subject to these Rules and the law, exercise unfettered loyalty to

and professional independence in respect of that service member.

(c) Acting for more than one party

7.6 Where a Legal Officer is tasked to advise or act for and on behalf of both:25

(a) the service and an individual service member;

(b) an individual service member and another individual service member; or

(c) an individual service member and another person or entity not being an

organisation of the Commonwealth,

he or she shall be satisfied, before or upon accepting a tasking to advise or to so

act, that each of the parties:

(a) is aware that the Legal Officer is intending to act for the other(s); and

(b) consents to the Legal Officer so acting in the knowledge that the Legal

Officer may be, thereby, prevented from:

(1) disclosing to each party all information, relevant to the proceedings or

transaction, within the Legal Officer’s knowledge; or

(2) giving advice to one party which is contrary to the interests of another.

(d) Prohibition on accepting unauthorised benefits or duties

7.7 A Legal Officer shall not accept any financial or other benefit (whether present or

contingent) from advising or acting for and on behalf of a client in accordance with

Rule 4.5 other than the lawfully authorised remuneration of a Legal Officer acting in

his or her official capacity.

7.8 A Legal Officer shall not, while engaged in official duties, accept any duties under

any instrument, including any duty to act as trustee, executor, nominee, custodian or

other duty unless authorised to do so by competent authority.

25 Adaptation of NSW Solicitors’ Rule 9.2.

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(e) Use of Information

7.9 A Legal Officer shall not use any information arising from the lawyer-client

relationship to the disadvantage of the client, or to the advantage of the Legal Officer,

unless the client consents after full consultation, except as permitted or required by

these Rules or the law.

(f) Acting against former Clients

7.10 Consistent with the duty which a Legal Officer has to preserve the confidentiality of a

client’s affairs, a Legal Officer must not act for another person in any action or

proceedings against, or in opposition to, the interest of a person:

(a) for whom the Legal Officer has acted previously; or

(b) from whom the Legal Officer or an associate of the Legal Officer has thereby

acquired information confidential to that person and material to the action or

proceedings; and that person might reasonably conclude that there is a real

possibility the information may be used to the person’s detriment.26

8 Remuneration and Referral Fees

8.1 As a general rule, Legal Officers shall not accept any remuneration for services

provided in the course of their official duties or employment other than authorised

pay.27 This extends to work done in a private capacity concerning the same general

matter in respect of which the client has already received services from the Legal

Officer acting in an official capacity.28

8.2 A Legal Officer may not receive any direct or indirect compensation or benefit for

referring to a private-practitioner (including him- or herself) a matter the Legal Officer

first became involved with in the course of official duties.29

8.3 A Legal Officer in the reserve forces may, subject to Rule 8.4, accept a referral from

another Legal Officer who is otherwise competent to handle the matter if:

(a) the fact that the referral is for fee is communicated to the client at the outset

of representation; and

(b) the client consents to such representation.

26 See NSW Solicitors’ Rules, Rule 327 See US Navy Rule 1.5(a).

Draft 19 Oct 04 10

8.4 Remuneration shall not be accepted for services performed for or on behalf of an

individual service member where such services30 may be provided by Defence Legal

at the request of the relevant individual service member at the expense of the

Commonwealth unless the client consents.

9 Prohibited Transactions

(a) Trust Accounts

9.1 A Legal Officer shall not accept by way of bond, trust, pledge, deposit or loan any

property for and on behalf of a client unless authorised to do so in writing by

competent authority.

(b) Other prohibited transactions

9.2 A Legal Officer acting in the course of official duties shall not knowingly enter into

any business transactions on behalf of, or adverse to, a client’s interest which directly

or indirectly relate to or result from the lawyer-client relationship.31

9.3 A Legal Officer acting in the course of official duties shall not provide any financial

assistance to a client or otherwise serve in a financial or proprietorial, fiduciary or

bailment relationship, unless authorised to do so in writing by competent authority.32

10 Termination of Tasking

(a) General Rule

10.1 Except as otherwise permitted by these Rules, a Legal Officer may not cease to act

for a client unless authorised to do so.

10.2 Until authorised to cease acting, a Legal Officer must complete the work or legal

service required by the Legal Officer’s tasking, unless:33

(a) either:

(1) the Legal Officer and the Legal Officer’s client have otherwise agreed; or

28 See US Navy Rule 1.5(c).29 See US Navy Rule 1.5 (Comment), US Army Rule AR 27-3, para. 4-5 and 4-7.30 Compare US Navy Rule 1.5(b).31 See US Navy Rule 1.8(a)(1).32 See US Navy Rule 1.8(a)(2).33 See NSW Solicitors’ Rules, Rule 5.1.

Draft 19 Oct 04 11

(2) the Legal Officer is discharged from the retainer by the client; and

(b) the Legal Officer is authorised to do so.

(b) Transfer and Posting

10.3 Notwithstanding Rules 10.1 and 10.2, a Legal Officer may cease to act for a client if

he or she is posted or transferred to another command or to other duties by a

competent authority.

Draft 19 Oct 04 1

Part C – Communications with Others

11 Relations with other Legal Officers, Private Lawyers and Clients

11.1 In all of their dealings with other Legal Officers and lawyers, Legal Officers should act

with honesty, fairness and courtesy, and adhere faithfully to their undertakings, in

order to transact lawfully and competently the business which they undertake for

their clients in a manner that is consistent with the public interest.34

11.2 A Legal Officer, in all of the Legal Officer’s dealings with other lawyers, must take all

reasonable care to maintain the integrity and reputation of the Commonwealth and

Defence Legal by ensuring that the Legal Officer’s communications are courteous

and that the Legal Officer avoids offensive or provocative language or conduct.35

11.3 A Legal Officer who is acting on behalf of a client in any proceedings or transaction

must not communicate directly with any other party for whom, to the Legal Officer’s

knowledge, another Legal Officer or lawyer is currently acting, unless:36

(a) notice of the Legal Officer’s intention to communicate with the other party, in

default of a reply from the other Legal Officer or lawyer, has been given to

that Legal Officer, who has failed, after a reasonable time, to reply; or

(b) the communication is made for the sole purpose of informing the other party

that the Legal Officer has been unable to obtain a reply from that party’s

Legal Officer or lawyer, and requests that party to contact the Legal Officer;

and the Legal Officer, thereafter, notifies the other Legal Officer of the

communication.

11.4 A Legal Officer shall not transfer representation of an individual service member to

another Legal Officer or other lawyer unless authorised and directed to do so by his

or her Supervising Legal Officer or commanding officer. Where such authorisation

and direction is given, the Legal Officer shall, subject to such direction as he or she

may be given, ensure the prompt and effective transfer of the matter to that other

Legal Officer or lawyer.

34 See NSW Solicitors’ Rules, Statement of Principles for Rules 25-31A.35 See NSW Solicitors’ Rules, Rule 25.36 See NSW Solicitors’ Rules, Rule 31.1

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12 Relations with Third Parties

12.1 Legal Officers should, in the course of their practice, conduct their dealings with other

members of the community, and the affairs of their clients which affect the rights of

others, according to the same principles of honesty and fairness which are required

in relations with the courts and other lawyers and in a manner that is consistent with

the public interest.37

12.2 A Legal Officer who, in the course of providing legal services to a client, and for the

purposes of the client’s business, communicates with a third party orally, or in writing,

in terms which, expressly, or by necessary implication, constitute an undertaking on

the part of the Legal Officer to ensure the performance of some action or obligation,

in circumstances where it might reasonably be expected that the third party will rely

on it, must honour the undertaking so given strictly in accordance with its terms, and

within the time promised (if any) or within a reasonable time,38 unless authorised or

directed not to do so by the Legal Officer’s Supervising Legal Officer or head of

organisational element in Department of Defence or ADF.

13 Communications Generally

A Legal Officer must not, in any communication with another person on behalf of a

client:39

(a) represent to that person that anything is true which the Legal Officer knows,

or reasonably believes, is untrue; or

(b) make any statement that is calculated to mislead or intimidate the other

person, and which grossly exceeds the legitimate assertion of the rights or

entitlement of the Legal Officer’s client; or

(c) threaten the institution of criminal proceedings against the other person in

default of the person’s satisfying a concurrent civil liability to the Legal

Officer’s client.

37 See NSW Solicitors’ Rules, Statement of Principles for Rules 32-36.38 See NSW Solicitors’ Rules, Rule 33.39 See NSW Solicitors’ Rules, Rule 34.

Draft 19 Oct 04 3

Part D – Advocacy Rules

14 Interpretation and Application

14.1 Rules 15 to 26 shall apply where a Legal Officer is assigned to an individual service

member in accordance with Rule 4.4 or is otherwise assigned to act in proceedings

against an individual service member under the Defence Force Discipline Act 1982,

including any review of proceedings of an a service tribunal under Part IX of that Act.

14.2 For the purposes of Rules 15 to 26:40

(a) “allege” includes conduct constituted by settling or opening on pleadings,

affidavits or witness statements, and reading or tendering affidavits or witness

statements filed or prepared for the client (whether or not they were drawn or

settled by the barrister).

(b) “case” means the litigation or proceedings in which the barrister in question is

briefed to appear, or the dispute in which the barrister is advising, as the case

may be.

(c) “compromise” includes any form of settlement of the case, whether pursuant to a

formal offer under the rules or procedure of a court, or otherwise.

(d) “criminal proceedings” includes disciplinary proceedings, in which context other

expressions appropriate to criminal proceedings include corresponding meanings

appropriate to disciplinary proceedings and in particular proceedings under the

DFDA.

(e) “current proceedings” means proceedings which have not been determined,

including proceedings in which there is still a real possibility of an appeal or other

challenge to a decision being filed, heard or decided.

(f) “forensic judgements” do not include decisions as to the commencement of

proceedings, the joinder of parties, admissions or concessions of fact,

amendments of pleadings or undertakings to a court, a plea in criminal

proceedings, but do include advice given to assist the client to make such

decisions.

(g) “instructing Legal Officer” means the Legal Officer who is instructing another

Legal Officer in a case, but does not include a Legal Officer appearing with the

barrister as a joint advocate.

40 See ABA Model Rule 15.

Draft 19 Oct 04 4

(h) “legal advice” includes assistance at or presiding over meetings.

(i) “legislation” includes all kinds of delegated legislation.

(j) “opponent” means the Legal Officer or other legal practitioner appearing for the

party opposed to the client, or the party opposed to the client if that party is

unrepresented.

(k) “order” includes a judgement, decision or determination.

(l) “potential proceeding” means proceedings which have not been commenced but

where there is information which has been publicised that such process is

imminent or where there is a very real likelihood that process will be instigated.41

(m) “professional” when used as a noun means a person actively engaged in an

occupation generally recognised as being a profession, and includes

accountants, architects, engineers, surveyors, town planners and valuers.

15 Duty to client

15.1 A Legal Officer must seek to advance and protect the client’s interests to the best of

the Legal Officer’s skill and diligence, uninfluenced by the Legal Officer’s personal

view of the client or the client’s activities, and notwithstanding any threatened

unpopularity or criticism of the Legal Officer or any other person, and always in

accordance with the law including these Rules.42

15.2 A Legal Officer shall at all times continue to represent his client’s interests to the

utmost regardless of any express or implied threat or pressure from any person

higher in the chain of command or of superior rank, whether that threat or pressure is

directed at the Legal Officer or the client.

15.3 A Legal Officer must seek to assist the client to understand the issues in the case

and the client’s possible rights and obligations, if the Legal Officer is instructed to

give advice on any such matter, sufficiently to permit the client to give proper

instructions, particularly in connection with any compromise of the case.43

15.4 A Legal Officer must inform the client or any instructing Legal Officer about the

alternatives to fully contested adjudication of the case which are reasonably available

41 This definition was also included at the April 2002 meeting of the ABA at the same time as theamendments to rule 59 were adopted – see footnote 2 above.42 See ABA Model Rules, rule 16.43 See ABA Model Rules, rule 17.

Draft 19 Oct 04 5

to the client, unless the Legal Officer believes on reasonable grounds that the client

already has such an understanding of those alternatives as to permit the client to

make decisions about the client’s best interests in relation to the litigation.44

15.5 A Legal Officer must (unless circumstances warrant otherwise in the Legal Officer’s

considered opinion) advise a client who is charged with an offence under the DFDA

about any law, procedure or practice which in substance holds out the prospect of

some advantage (including diminution of penalty), if the client pleads guilty or

authorises other steps towards reducing the issues, time, cost or distress involved in

the proceedings.45

16 Disinterestedness

16.1 A Legal Officer must not act as the mere mouthpiece of the client and must exercise

the forensic judgements called for during the case independently, after the

appropriate consideration of the client’s desires where practicable.46

16.2 A Legal Officer will not have breached the Legal Officer’s duty to the client, and will

not have failed to give reasonable consideration to the client’s desires, simply by

choosing, contrary to those desires, to exercise the forensic judgements called for

during the case so as to:47

(a) confine any hearing to those issues which the Legal Officer believes to be the

real issues;

(b) present the client’s case as quickly and simply as may be consistent with its

robust advancement; or

(c) inform the court of any persuasive authority against the client’s case.

16.3 A Legal Officer must not make submissions or express views to a court on any

material evidence or issue in the case in terms that convey or appear to convey the

Legal Officer’s personal opinion on the merits of that evidence or issue.48

44 See ABA Model Rules, rule 17A.45 See ABA Model Rules, rule 17B.46 See ABA Model Rules, rule 18.47 See ABA Model Rules, rule 19.48 See ABA Model Rules, rule 20.

Draft 19 Oct 04 6

17 Frankness before a Service Tribunal

17.1 A Legal Officer must not knowingly make a misleading statement to a service tribunal

on any matter.49

17.2 A Legal Officer must take all necessary steps to correct any misleading statement

made by the Legal Officer to a Service Tribunal as soon as possible after the Legal

Officer becomes aware that the statement was misleading.50

17.3 A Legal Officer seeking any relief in an ex parte application must disclose to the

service tribunal all matters which:

(a) are within the Legal Officer’s knowledge;

(b) are not protected by legal professional privilege; and

(c) the Legal Officer has reasonable grounds to believe would support an argument

against granting the relief or limiting its terms adversely to the client.51

17.4 A Legal Officer who has knowledge of matters which are within Rule 17.3(c):52

(a) must seek instructions for the waiver of legal professional privilege if the

matters are protected by that privilege so as to permit the Legal Officer to

disclose those matters under Rule 17.3; and

(b) if the client does not waive the privilege as sought by the Legal Officer:

(1) must inform the client of the client’s responsibility to authorise such

disclosure and the possible consequence of not doing so; and

(2) must inform the service tribunal that the Legal Officer cannot assure the

service tribunal that all matters which should be disclosed have been

disclosed to the service tribunal.

17.5 A Legal Officer must, at the appropriate time in the hearing of the case and if the

service tribunal has not yet been informed of that matter, inform the service tribunal

of:53

(a) any binding authority;

49 See ABA Model Rules, rule 21.50 See ABA Model Rules, rule 22.51 See ABA Model Rules, rule 24.52 See ABA Model Rules, rule 24A.53 See ABA Model Rules, rule 25.

Draft 19 Oct 04 7

(b) any authority decided by an intermediate service tribunal of appeal in

Australia;

(c) any authority on the same or materially similar legislation as that in question

in the case, which has not been disapproved; or

(d) any applicable legislation,

which the Legal Officer has reasonable grounds to believe to be directly in point,

against the client’s case.

17.6 A Legal Officer is not required to inform the service tribunal of matters within Rule

17.5 at a time when the opponent tells the service tribunal that the opponent’s whole

case will be withdrawn, unless the appropriate time for the Legal Officer to have

informed the service tribunal of such matters in the ordinary course has already

arrived or passed.54

17.7 A Legal Officer who becomes aware of a matter within Rule 17.5 after judgement or

decision has been reserved and while it remains pending, whether the authority or

legislation came into existence before or after argument, must inform the service

tribunal of that matter by: 55

(a) a letter to the service tribunal, copied to the opponent, and limited to the

relevant reference unless the opponent has consented beforehand to further

material in the letter; or

(b) requesting the service tribunal to re-list the case for further argument on a

convenient date, after first notifying the opponent of the intended request and

consulting the opponent as to the convenient date for further argument.

17.8 A Legal Officer need not inform the service tribunal of any matter otherwise within

Rule 17.5 which would have rendered admissible any evidence tendered by the

prosecution which the service tribunal has ruled inadmissible without calling on the

defence.56

17.9 A Legal Officer will not have made a misleading statement to a service tribunal

simply by failing to disclose facts known to the Legal Officer concerning the client’s

character or past, when the Legal Officer makes other statements concerning those

54 See ABA Model Rules, rule 26.55 See ABA Model Rules, rule 27.56 See ABA Model Rules, rule 28.

Draft 19 Oct 04 8

matters to the service tribunal, and those statements are not themselves

misleading.57

17.10 A Legal Officer who knows or suspects that the prosecution is unaware of the client’s

previous conviction must not ask a prosecution witness whether there are previous

convictions, in the hope of a negative answer. 58

18 Delinquent or guilty clients

18.1 A Legal Officer whose client informs the Legal Officer, during a hearing or after

judgement or decision is reserved and while it remains pending, that, upon an issue

which may be material the client has lied to the service tribunal or has procured

another person to lie to the service tribunal or has falsified or procured another

person to falsify in any way a document which has been tendered: 59

(a) must refuse to take any further part in the case unless the client authorises

the Legal Officer to inform the service tribunal of the lie or falsification;

(b) must promptly inform the service tribunal of the lie of falsification upon the

client authorising the Legal Officer to do so; but

(c) must not otherwise inform the service tribunal of the lie or falsification.

18.2 A Legal Officer assigned to appear in criminal or disciplinary proceedings whose

client confesses guilt to the Legal Officer but maintains a plea of not guilty60 may

not61 return the brief but:

(a) must not falsely suggest that some other person committed the offence

charged;

(b) must not set up an affirmative case inconsistent with the confession; but

(c) may argue that the evidence as a whole does not prove that the client is

guilty of the offence charged; and

(d) may argue that for some reason of law the client is not guilty of the offence

charged; or

57 See ABA Model Rules, rule 29.58 See ABA Model Rules, rule 30.59 See ABA Model Rules, rule 32.60 See ABA Model Rules, rule 33.61 See ABA Model Rules, rule 33(a) permits the barrister to return the brief. For an assigned Legal Officer,this cannot be done.

Draft 19 Oct 04 9

(e) may argue that for any other reason not prohibited by (a) or (b) the client

should not be convicted of the offence charged.

19 Responsible use of service tribunal process privilege

19.1 A Legal Officer must, when exercising the forensic judgements called for throughout

a case, take care to ensure that decisions by the Legal Officer or on the Legal

Officer’s advice to invoke the coercive powers of a service tribunal or to make

allegations or suggestions under privilege against any person: 62

(a) are reasonably justified by the material then available to the Legal Officer;

(b) are appropriate for the robust advancement of the client’s case on its merits;

(c) are not made principally in order to harass or embarrass the person; and

(d) are not made principally in order to gain some collateral advantage for the

client or the Legal Officer outside of the service tribunal.

19.2 A Legal Officer must not allege any matter of fact in: 63

(a) any service tribunal document settled by the Legal Officer;

(b) any submission during any hearing;

(c) the course of an opening address; or

(d) the course of a closing address or submission on the evidence,

unless the Legal Officer believes on reasonable grounds that the factual material

already available provides a proper basis to do so.

19.3 A Legal Officer must not allege any matter of fact amounting to criminality, fraud or

other serious misconduct against any person unless the Legal Officer believes on

reasonable grounds that: 64

(a) available material by which the allegation could be supported provides a

proper basis for it; and

(b) the client wishes the allegation to be made, after having been advised of the

seriousness of the allegation and of the possible consequences for the client

and the case if it is not made out.


Draft 19 Oct 04 10

19.4 A Legal Officer must not make a suggestion in cross-examination on credit unless

the Legal Officer believes on reasonable grounds that acceptance of the suggestion

would diminish the witness’s credibility. 65

19.5 A Legal Officer may regard the opinion of any instructing Legal Officer that material

which is available to that instructing Legal Officer is credible, being material which

appears to the Legal Officer from its nature to support an allegation to which Rules

19.3 and 19.4 apply, as a reasonable round for holding the belief required by those

rules (except in the case of a closing address or submission on the evidence).66

19.6 A Legal Officer who has instructions which justify submissions for the client in

mitigation of the client’s criminality and which involve allegations of serious

misconduct against any other person not able to answer the allegations in the case

must seek to avoid disclosing the other person’s identity directly or indirectly unless

the Legal Officer believes on reasonable grounds that such disclosure is necessary

for the robust defence of the client. 67

20 Efficient administration of justice

20.1 A Legal Officer must seek to ensure that: 68

(a) the Legal Officer does work which the Legal Officer is briefed to do, whether

expressly or impliedly, specifically or generally, in relation to steps to be

taken by or on behalf of the client, in sufficient time to enable compliance with

orders, directions, rules or practice notes of the service tribunal; and

(b) warning is given to the client, and to the opponent, as soon as the Legal

Officer has reasonable grounds to believe that the Legal Officer may not

complete any such work on time.

20.2 A Legal Officer must seek to ensure that work which the Legal Officer is briefed to do

in relation to a case is done so as to: 69

(a) confine the case to identified issues which are genuinely in dispute;

(b) have the case ready to be heard as soon as practicable;

65 See ABA Model Rules, rule 38.66 See ABA Model Rules, rule 39.67 See ABA Model Rules, rule 40.68 See ABA Model Rules, rule 41.69 See ABA Model Rules, rule 42.

Draft 19 Oct 04 11

(c) present the identified issues in dispute clearly and succinctly;

(d) limit evidence, including cross-examination, to that which is reasonably

necessary to advance and protect the client’s interest which are at stake in

the case; and

(e) occupy as short a time in service tribunal as is reasonably necessary to

advance and protect the client’s interests which are at stake in the case.

21 Integrity of evidence

21.1 A Legal Officer must not suggest or condone another person suggesting in any way

to any prospective witness (including a party or the client) the content of any

particular evidence that the witness should give at any stage in the proceedings.70

21.2 A Legal Officer will not have breached Rule 21.1 by expressing a general admonition

to tell the truth, or by questioning and testing in conference the version of evidence to

be given by a prospective witness, including drawing the witness’s attention to

inconsistencies or other difficulties with the evidence, but must not coach or

encourage the witness to give evidence different from the evidence which the

witness believes to be true. 71

21.3 A Legal Officer must not confer with, or condone another Legal Officer conferring

with, more than one non-expert witness including a party or client at a time, about

any issue: 72

(a) as to which there are reasonable grounds for the Legal Officer to believe it

may be contentious at a hearing; and

(b) which could be affected by, or could affect, evidence to be given by any of

those witnesses

unless the Legal Officer believes on reasonable grounds that special circumstances

require such a conference.

21.4 A Legal Officer will not have breached Rule 21.3 by conferring with, or condoning

another Legal Officer conferring with, more than one client about undertakings to a


Draft 19 Oct 04 12

service tribunal, admissions or concessions of fact, amendments of court martial

documents or compromise. 73

21.5 A Legal Officer must not confer with any witness including a party or client called by

the Legal Officer on any matter related to the proceedings while that witness remains

under cross-examination, unless: 74

(a) the cross-examiner has consented beforehand to the Legal Officer doing so;

or

(b) the Legal Officer:

(1) believes on reasonable grounds that special circumstances (including the

need for instructions on a proposed compromise) require such a

conference;

(2) has informed the cross-examiner and the service tribunal beforehand of

the Legal Officer’s intention to do so.

21.6 A Legal Officer must not take any step to prevent or discourage prospective

witnesses or witnesses from conferring with the opponent or being interviewed by or

on behalf of any other person involved in the proceedings. 75

21.7 A Legal Officer will not have breached Rule 21.6 simply by telling a prospective

witness or a witness that the witness need not agree to confer or to be interviewed.76

22 Duty to opponent

22.1 A Legal Officer must not knowingly make a false statement to the opponent in

relation to the case (including its compromise). 77

22.2 A Legal Officer must take all necessary steps to correct any false statement

unknowingly made by the Legal Officer to the opponent as soon as possible after the

Legal Officer becomes aware that the statement was false. 78

22.3 A Legal Officer will not have made a false statement to the opponent simply by failing

to correct an error on any matter stated to the Legal Officer by the opponent. 79

73 See ABA Model Rules, rule 47.74 Compare ABA Model Rules, rule 48. There is no provision made for informing the cross-examiner afterthe fact, and (b)(2), unlike the ABA Model Rules, includes a requirement to inform the tribunal.75 See ABA Model Rules, rule 49.76 See ABA Model Rules, rule 50.77 See ABA Model Rules, rule 51.78 See ABA Model Rules, rule 52.

Draft 19 Oct 04 13

22.4 A Legal Officer must not deal directly with the opponent’s client unless: 80

(a) the opponent has previously consented;

(b) the Legal Officer believes on reasonable grounds that -

(1) the circumstances are so urgent as to require the Legal Officer to do so;

and

(2) the dealing would not be unfair to the opponent’s client

(c) the substance of the dealing is solely to enquire whether the person is

represented and, if so, by whom.

22.5 A Legal Officer must not, outside an ex parte application or a hearing of which the

opponent has had proper notice, communicate in the opponent’s absence with the

service tribunal concerning any matter of substance in connection with current

proceedings.: 81

23 Integrity of hearings

23.1 Subject to Rule 23.2, a Legal Officer must not publish or take any step towards the

publication of any material concerning any current or potential proceeding which:82

(a) is inaccurate;

(b) discloses any confidential information;

(c) appears to or does express the opinion of the Legal Officer on the merits of

the current or potential proceeding or on any issue arising in the proceeding,

other than in the course of genuine educational or academic discussion on

matters of law.

23.2 A Legal Officer shall not publish or assist the publishing of material concerning a

current proceeding, unless (and only to the extent) authorised to do so by a

79 See ABA Model Rules, rule 53.80 See ABA Model Rules, rule 54.81 See Compare ABA Model Rules, rule 56, which includes two exceptions – where the tribunal has itselfcommunicated with the lawyer or the opponent has consented beforehand. As such, ABA Model Rules 57and 58 have also been excluded.82 See ABA Model Rules, rule 59(a).

Draft 19 Oct 04 14

Supervising Legal Officer or commanding officer properly authorised to do so, and

with the consent of the client.83

23.3 A Legal Officer will not have breached Rule 23.2 simply by advising the client about

whom there has been published a report relating to the case, and who has sought

the Legal Officer’s advice in relation to that report, that the client may take

appropriate steps to present the client’s own position for publication. 84

23.4 A Legal Officer must not in the presence of any of the parties or their assigned Legal

Officers deal with a service tribunal, or deal with any Legal Officer appearing before

him or her when he or she is a service tribunal member, on terms of informal

personal familiarity which may reasonably give the appearance that the Legal Officer

appearing has special favour with the service tribunal. 85

24 Prosecutor’s duties

24.1 This rule applies in disciplinary proceedings under the DFDA.

24.2 A prosecutor must fairly assist the service tribunal to arrive at the truth, must seek

impartially to have the whole of the relevant evidence placed intelligibly before the

service tribunal, and must seek to assist the service tribunal with adequate

submissions of law to enable the law properly to be applied to the facts. 86

24.3 A prosecutor must not press the prosecution’s case for a conviction beyond a full and

firm presentation of that case. 87

24.4 A prosecutor must not, by language or other conduct, seek to inflame or bias the

service tribunal against the accused. 88

24.5 A prosecutor must not argue any proposition of fact or law which the prosecutor does

not believe on reasonable grounds to be capable of contributing to a finding of guilt

and also to carry weight. 89

24.6 A prosecutor must disclose to the opponent as soon as practicable all material

(including the names of and means of finding prospective witnesses in connection

83 Note that this is a departure from ABA Model Rules, rule 59(b) which regulates what can and cannot besaid to the press.84 See ABA Model Rules, rule 60.85 See ABA Model Rules, rule 61.86 See ABA Model Rules, rule 62.87 See ABA Model Rules, rule 63.88 See ABA Model Rules, rule 64.89 See ABA Model Rules, rule 65.

Draft 19 Oct 04 15

with such material) available to the prosecutor or of which the prosecutor becomes

aware which could constitute evidence relevant to the guilt or innocence of the

accused, unless: 90

(a) such disclosure, or full disclosure, would seriously threaten the integrity of the

administration of justice in those proceedings or the safety of any person;

and

(b) the prosecutor believes on reasonable grounds that such a threat could not

be avoided by confining such disclosure, or full disclosure, to the opponent

being a Legal Officer, on appropriate conditions which may include an

undertaking by the opponent not to disclose certain material to the

opponent’s client or any other person.

24.7 A prosecutor who has decided not to disclose material to the opponent under Rule

24.6 must consider whether: 91

(a) the defence of the accused could suffer by reason of such non-disclosure;

(b) the charge against the accused to which such material is relevant should be

withdrawn; and

(c) the accused should be faced only with a lesser charge to which such material

would not be so relevant.

24.8 A prosecutor must call as part of the prosecution’s case all witnesses: 92

(a) whose testimony is admissible and necessary for the presentation of all of

the relevant circumstances;

(b) whose testimony provides reasonable grounds for the prosecutor to believe

that it could provide admissible evidence relevant to any matter in issue;

(c) whose testimony or statements were used in the service tribunals of any

committal proceedings; and

(d) from whom statements have been obtained in the preparation or conduct of

the prosecution’s case; unless the opponent consents to the prosecutor not

calling a particular witness;

and except where:

90 See ABA Model Rules, rule 66.91 See ABA Model Rules, rule 66A.92 See ABA Model Rules, rule 66B.

Draft 19 Oct 04 16

(e) the only matter with respect to which the particular witness can give

admissible evidence has been dealt with by an admission on behalf of the

accused;

(f) the prosecutor believes on reasonable grounds that the administration of

justice in the case would be harmed by calling a particular witness or

particular witnesses to establish a particular point already adequately

established by another witness or other witnesses; or

(g) the prosecutor believes on reasonable grounds that the testimony of a

particular witness is plainly untruthful or is plainly unreliable by reason of the

witness being in the camp of the accused;

provided that:

(h) the prosecutor must inform the opponent as soon as practicable of the

identity of any witness whom the prosecutor intends not to call on any ground

within (e), (f) or (g), together with the grounds on which the prosecutor has

reached that decision.

24.9 A prosecutor who has reasonable ground to believe that certain material available to

the prosecution may have been unlawfully obtained must promptly: 93

(a) inform the opponent if the prosecutor intends to use the material; and

(b) make available to the opponent a copy of the material if it is in documentary

form.

24.10 A prosecutor must not confer with or interview any accused except in the presence of

the accused’s legal representative. 94

24.11 A prosecutor must not inform the service tribunal or the opponent that the

prosecution has evidence supporting an aspect of its case unless the prosecutor

believes on reasonable grounds that such evidence will be available from material

already available to the prosecutor. 95

24.12 A prosecutor who has informed the service tribunal of matters within Rule 24.11, and

who has later learnt that such evidence will not be available, must immediately inform


Draft 19 Oct 04 17

the opponent of that fact and must inform the service tribunal of it when the case is

before the service tribunal. 96

24.13 A prosecutor must not seek to persuade the service tribunal to impose a vindictive

sentence or a sentence of a particular magnitude, but: 97

(a) must correct any error made by the opponent in address on sentence;

(b) must inform the service tribunal of any relevant authority or legislation

bearing on the appropriate sentence;

(c) must assist the service tribunal to avoid appealable error on the issue of

sentence;

(d) may submit that a custodial or non-custodial sentence is appropriate; and

(e) may inform the service tribunal of an appropriate range of severity of penalty,

including a period of imprisonment, by reference to relevant appellate

authority.

25 Allocation of Tasking

25.1 Subject to Rule 25.2, a Legal Officer must not refuse to accept a tasking to represent

a client including an individual service member.

25.2 Where a Legal Officer is offered, or invited to apply for, a tasking to represent an

individual service member in proceedings before a Service Tribunal, the Legal Officer

must refuse to accept that offer and must not make that application if: 98

(a) the Legal Officer has information which is confidential to any other person in

the case other than the prospective client, and:

(1) the information may, as a real possibility, be helpful to the prospective

client’s case; and

(2) the person entitled to the confidentiality has not consented to the Legal

Officer using the information as the Legal Officer thinks fit in the case;

96 See ABA Model Rules, rule 70.97 See ABA Model Rules, rule 71.98 Compare ABA Model Rules, rule 87. Some parts of rule 87, such as those dealing with former judges etc.appearing in the same court, are not applicable to the ADF. It is the experience of the ADF legal servicesthat a Supervising Legal Officer would not assign a matter or client to a Legal Officer if any of these conflictsarose. As such, no provision is made for refusing assignments that a Legal Officer is otherwise required toaccept.

Draft 19 Oct 04 18

(b) the tasking is to appear on an appeal and the Legal Officer was a witness in

the case at first instance;

(c) the Legal Officer has a material financial or property interest in the outcome

of the case;

(d) the tasking is to appear in a contested hearing before the Legal Officer’s

parent, sibling, spouse or child or a member of the Legal Officer’s household,

or before a bench of which such a person is a member;

(e) the Legal Officer has information which is confidential to any person with

different interests from those of the prospective client and: 99

(1) the information may, as a real possibility, be helpful to the advancement

of the prospective client’s interests in the matter on which advice is

sought; and

(2) the person entitled to the confidentiality has not consented beforehand to

the Legal Officer using the information as the Legal Officer thinks fit in

giving advice; or

(f) the tasking may, as a real possibility, require the Legal Officer to cross-

examine or criticise a friend or relation;100

(g) the Legal Officer has reasonable grounds to believe that there is a real

possibility that the Legal Officer may cease to be a disinterested advocate by

either:

(1) becoming a witness in the case; or

(2) having to defend his or her personal or professional conduct against

criticism;101

(h) the Legal Officer is appearing in a contested hearing before a service tribunal

constituted by a person whose relationship with the Legal Officer is such as

to make such appearance undesirable;

(i) the Legal Officer is briefed to appear for two or more parties in any case, and

has determined (which the Legal Officer must make a determination about as

99 See ABA Model Rules, rule 89.100 See ABA Model Rules, rule 91(d).101 See ABA Model Rules, rule 101.

Draft 19 Oct 04 19

soon as possible) that the interests of the clients may, as a real possibility,

conflict;102 or

(j) the Legal Officer has, during the hearing of the case, becomes aware that the

interests of the clients or some of them do or may, as a real possibility,

conflict.103

25.3 Where a Legal Officer has accepted an offer of a tasking, or is otherwise assigned to

a client, and becomes aware of any of the facts or circumstances set out in Rule

25.2, the Legal Officer must inform his or her Supervising Legal Officer or

commanding officer of those facts (subject to any duty of confidentiality), and may

not continue to act unless authorised to do so in writing by competent authority.

25.4 A Supervising Legal Officer shall not consent to retasking of the Legal Officer or

tasking of another Legal Officer to the matter:

(a) if it involves a charge of a serious criminal offence, unless:104

(1) the Supervising Legal Officer believes on reasonable grounds that:

A. the circumstances are exceptional and compelling; and

B. there is enough time for another Legal Officer to take over the case

properly before the hearing; or

(2) the client has consented after the Legal Officer has clearly informed the

client of the circumstances in which the Legal Officer wishes to return the

brief and of the terms of this Rule and Rule 94; and

(b) in any other circumstance, there is not enough time to give another Legal

Officer a proper opportunity to take over the case.105

25.5 Where a Supervising Legal Officer is informed by a Legal Officer of facts falling

under Rule 25.2(g), the Supervising Legal Officer shall endeavour to retask the Legal

Officer unless he or she is satisfied that:

(a) allegations which involve the Legal Officer in that way have been raised in

order to remove the Legal Officer from the case; and

(b) those allegations can be met without materially diminishing the Legal

Officer’s disinterestedness.

102 See ABA Model Rules, rule 108.103 See ABA Model Rules, rule 109.

Draft 19 Oct 04 20

25.6 A Legal Officer must promptly inform his or her Supervising Legal Officer or head of

organisational element in the Commonwealth or ADF as soon as the Legal Officer

has reasonable grounds to believe that there is a real possibility that the Legal

Officer will be unable to appear or to do the work required by the tasking in the time

stipulated by the tasking or within a reasonable time if no time has been stipulated.106

26 Confidentiality & conflicts

26.1 A Legal Officer must not disclose (except as compelled by law) or use in any way in

the course of practice confidential information obtained by the Legal Officer

concerning any person to whom the Legal Officer owes some duty or obligation to

keep such information confidential unless or until: 107

(a) the information has been published;

(b) the person has consented to the Legal Officer disclosing or using the

information generally or on specific terms.

26.2 A Legal Officer must not disclose (except as compelled by law) or use confidential

information under Rule 26.1(a)(b) in any way other than as permitted by the specific

terms of the person’s consent. 108

26.3 A Legal Officer will not have breached Rules 26.1 or 26.2 simply by showing briefs to

or disclosing information contained in a brief to any Legal Officer assisting in the

preparation of the case, so long as the Legal Officer has reminded that other Legal

Officer of his duties of confidentiality including Rules 26.1 and 26.2.109

26.4 A Legal Officer who is shown a brief as an assistant to another Legal Officer is bound

by the same duties of confidentiality that bind the Legal Officer whose brief it is,

including the duties imposed by Rules 26.1 and 26.2. 110

26.5 A Legal Officer who has accepted an assignment must inform his or her Supervising

Legal Officer or commanding officer as soon as possible after the Legal Officer

becomes aware that he or she has information confidential to a person other than the

104 See ABA Model Rules, rule 93, adapted here to reflect the fact that briefs are assigned.105 See ABA Model Rules, rule 97.106 See ABA Model Rules, rule 98.107 See ABA Model Rules, rule 103.108 See ABA Model Rules, rule 104.109 Adapted from ABA Model Rules, rule 105.110 See ABA Model Rules, rule 106.

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client which may, as a real possibility, be helpful to the client’s case or to the

advancement of the client’s interests, being information which the Legal Officer is

prohibited from disclosing or using by Rules 26.1, 26.2 or 26.4, unless the person

entitled to the confidentiality consents to the Legal Officer disclosing or using the

information as the Legal Officer thinks fit.111 Where the Supervising Legal Officer is

so informed, he or she shall act in accordance with Rule Error! Reference sourcenot found..

27 Supervising Legal Officers & Legal Offices

(a) Compliance of Subordinates with Rules

27.1 Supervising Legal Officers have responsibility not only for the work of subordinate

Legal Officers but also those subordinates’ compliance with these Rules and the

compliance of their Legal Office (if any). Accordingly, Supervising Legal Officers

must:

(a) take reasonable efforts to ensure that subordinate Legal Officers comply with

these Rules;112

(b) ensure that non-lawyers under supervision,113 and volunteers in legal

offices114 act in compliance with, or not so as to further any breach of, the

Rules; and

(c) ensure that staff are properly instructed on the Rules.115

(b) Supervisor Responsibility

27.2 A Supervising Legal Officer necessarily must take responsibility for the acts of his or

her subordinate Legal Officers. A Supervising Legal Officer will be responsible for an

ethical breach by a subordinate Legal Officer if that Supervising Legal Officer:116

(a) Orders or ratifies a subordinate's violation; or

(b) Fails to take remedial action to avoid or mitigate the consequences of aninfraction.

111 See ABA Model Rules, rule 107.112 See US Navy Rule 5.1.113 See US Navy Rule 5.3.114 US Army Rule 27-3, para 4-3e.115 E.g. through practice-oriented classes on professional responsibility. Compare US Army Rule 27-3, para1-4g(2)(j), 2-4a. In the US Army, 3 hours of training annually is mandatory for Army attorneys. AR 27-1,para. 7-2c.116 See US Navy Rule 5.1.

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27.3 Subordinates may seek assistance and advice from Supervising Legal Officers for

guidance on ethical issues arising under these Rules.

27.4 If the question confronting a subordinate Legal Officer under Rule 27.3 can be

answered in only one way, the subordinate Legal Officer must comply with the Rules

even if a Supervising Legal Officer directs a contrary course of conduct, and remains

bound by the Rules, including the need to exercise unfettered loyalty and

professional independence in respect of an individual service member to whom the

Legal Officer is tasked in accordance with Rule 4.4.117

27.5 A Legal Officer may seek advice from the Head of the Military Bar. Notwithstanding

Rule 27.4, where a Legal Officer gives full disclosure of all relevant facts and

reasonably relies on such advice, no adverse action under this Instruction will be

taken against the Legal Officer.

117 US Navy Rule 5.4.

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STAFF – IN -- CONFIDENCE(WHEN COMPLETED)

FORMAT FOR REFERRAL OFA BREACH OF PROFESSIONAL STANDARDS

I, (insert full name and, if a member of the ADF or APS, include your service number andrank or position) of (insert full address and phone number) in the State of (insert state ofresidence) state:

(Insert details of referral. When describing the referral please see notes below. Attach anysupporting documentation if relevant)

(Signature of person making the referral)(Print name of person making the referral)

(Signature of Witness)(Print Name of Witness)

Insert Date

NOTES:(1) The referral should be expressed in plain English in a clear and logical manner

(2) The referral should be specific as to the grounds of concern, rather than being general innature

(3) The referral should, where available and relevant be accompanied by any supportingdocumentation

(4) Emotive statements should be avoided

(5) Events should be recorded in chronological order

(6) While there is no absolute time frame for the submission of a referral, preferably it shouldbe submitted as soon as practicable after the event(s) which gave rise to the referral.

(7) A referral in this form will not be handled as a Redress of Grievance under DI (G) PERS34-1. A referral made of a beach of professional standards must be marked with theprivacy caveat ‘STAFF-IN-CONFIDENCE’ and forwarded to the Head of the Military Bar,Defence Legal, RGC-3-116 Barton, Canberra ACT 2600.

(8) On receipt of the referral the Head of the Military Bar shall acknowledge receipt of thereferral within 14 days.

(9) The referral shall be considered within 28 days of the sending of the acknowledgement.

Draft 19 Oct 04 2

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