# California Rules of Professional Conduct - Citation: Cal. Rules of Prof'l Conduct (CRPC) - Subject: Professional conduct rules most relevant to civil practitioners - Source: https://www.calbar.ca.gov/Attorneys/Conduct-Discipline/Rules/Rules-of-Professional-Conduct - Last verified: 2026-05-13 > Authored from canonical California sources; verify against > calbar.ca.gov before relying. The current CRPC took effect > November 1, 2018. Prior rules used a different numbering scheme > (former Rule 5-200 is now Rule 3.4, etc.). --- ## Overview The California Rules of Professional Conduct govern the conduct of all attorneys licensed to practice in California. They are adopted by the State Bar Board of Trustees and approved by the California Supreme Court pursuant to Business and Professions Code § 6076. The current CRPC (effective November 1, 2018) substantially restructured and renumbered the prior rules and added rules not previously codified in California. For civil litigation practice, the rules in Chapter 3 (Advocate) are the most frequently relevant. The current numbering scheme closely (but not perfectly) mirrors the ABA Model Rules of Professional Conduct. Where California departs from the ABA Model Rule, this file notes the distinction. --- ## Chapter 1 — Lawyer-Client Relationship ### Rule 1.1 — Competence **Summary.** A lawyer must not intentionally, recklessly, or repeatedly fail to perform legal services with competence. Competence requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation. ``` (a) A lawyer shall not intentionally, recklessly, with gross negligence, or repeatedly fail to perform legal services with competence. (b) For purposes of this rule, "competence" in any legal service means to apply the (i) learning and skill, and (ii) mental, emotional, and physical ability reasonably necessary for the performance of such service. (c) If a lawyer does not have sufficient learning and skill when the legal service is undertaken, the lawyer nonetheless may provide competent representation by (i) associating with or, where appropriate, professionally consulting another lawyer whom the lawyer reasonably believes to be competent, (ii) acquiring sufficient learning and skill before performance is required, or (iii) referring the matter to another lawyer whom the lawyer reasonably believes to be competent. ``` **Note on duty to investigate facts.** Rule 1.1 requires attorneys to undertake reasonable factual investigation. In litigation, this includes independently verifying key claims before filing. --- ### Rule 1.3 — Diligence **Summary.** A lawyer must act with reasonable diligence and promptness in representing a client. Neglect of a client matter is a common basis for State Bar discipline and may also give rise to a malpractice claim. --- ### Rule 1.4 — Communication **Summary.** A lawyer must promptly inform the client of material developments, keep the client reasonably informed about the status of the matter, promptly respond to client inquiries, explain the matter sufficiently to allow informed decisions, and inform the client of any potential conflicts. --- ### Rule 1.5 — Fees **Summary.** A lawyer's fees must be reasonable. Factors relevant to reasonableness include: the time and labor required, the novelty and difficulty of the questions involved, the fee customarily charged in the locality, the results obtained, and the experience and reputation of the attorney. Fee agreements must be in writing if total fees are reasonably likely to exceed $1,000, with limited exceptions. --- ## Chapter 3 — Advocate ### Rule 3.1 — Meritorious Claims and Contentions **Summary.** A lawyer must not assert a frivolous claim or defense, or file a frivolous motion. A claim or defense is not frivolous if it is supported by existing law, a non-frivolous argument for modification of existing law, or a non-frivolous argument for a factual basis that might be established after reasonable investigation. Rule 3.1 is the California analog to CCP § 128.7 (sanctions for frivolous filings) and Federal Rule 11. ``` (a) A lawyer shall not: (1) File a suit, assert a position, conduct a defense, delay a trial, or take other action on behalf of a client when the lawyer knows or reasonably should know that the action would serve merely to harass or maliciously injure any person; or (2) Present a claim or defense in litigation that is not warranted under existing law, unless it can be supported by a good faith argument for an extension, modification, or reversal of the existing law. ``` **Cross-reference:** CCP § 128.7 (monetary sanctions for frivolous filings); CCP § 128.5 (sanctions for bad faith tactics). --- ### Rule 3.3 — Candor Toward the Tribunal **Summary.** A lawyer must not make a false statement of fact or law to a tribunal, fail to disclose directly adverse controlling authority not disclosed by opposing counsel, or offer evidence the lawyer knows to be false. If a lawyer learns that they have made a false statement to the tribunal, the lawyer must take reasonable remedial measures, including correcting the error even if doing so requires disclosure of information otherwise protected by attorney-client privilege. ``` (a) A lawyer shall not: (1) Make a false statement of fact or law to a tribunal or fail to correct a false statement of material fact or law previously made to the tribunal by the lawyer; (2) Fail to disclose to the tribunal legal authority in the controlling jurisdiction known to the lawyer to be directly adverse to the position of the client and not disclosed by opposing counsel, or knowingly fail to respond to a tribunal's request for information; (3) Offer evidence that the lawyer knows to be false. If a lawyer has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures; (4) Make or knowingly allow another person to make a false statement of material fact or law to a tribunal. (b) A lawyer who knows that the lawyer's client has committed a fraud on the tribunal shall take reasonable remedial measures. (c) The duties stated in paragraphs (a) and (b) apply even if compliance requires disclosure of information otherwise protected by rule 1.6 (confidential information). ``` **Key California distinction.** CRPC 3.3 imposes a continuing duty to correct; discovery after trial of a fraud on the tribunal can require the attorney to act even after the case concludes. --- ### Rule 3.4 — Fairness to Opposing Party and Counsel **Summary.** A lawyer must not obstruct another party's access to evidence, alter or destroy evidence, falsify evidence, assist a witness to offer false testimony, make frivolous discovery requests, or fail to make reasonably diligent effort to comply with proper discovery requests. ``` (a) A lawyer shall not: (1) Unlawfully obstruct another party's access to evidence, including a witness, or unlawfully alter, destroy, or conceal a document or other material having potential evidentiary value. A lawyer shall not counsel or assist another person to do any such act; (2) Suppress any evidence that the lawyer or client has a legal obligation to produce or reveal; (3) Knowingly make a false statement of material fact or law to an opposing party or counsel; (4) In connection with a civil matter, make a frivolous discovery request or fail to make reasonably diligent effort to comply with a legally proper discovery request by an opposing party; (5) Knowingly disobey an obligation under the rules of a tribunal, except for an open refusal based on an assertion that no valid obligation exists; (6) Request a person other than a client to refrain from voluntarily giving relevant information to another party, unless the person is a relative, employee, or other agent of a client, and the lawyer reasonably believes that the person's interests will not be adversely affected by refraining from giving such information. ``` **Practice implications.** Rule 3.4 is violated by: coaching witnesses to give false testimony, withholding documents from production, making excessive boilerplate discovery objections with no substantive basis, and taking positions after discovery that contradict prior sworn statements. --- ### Rule 3.5 — Contact with Judges, Officials, Employees, and Jurors **Summary.** A lawyer must not seek to influence a juror or judicial officer by improper means, communicate ex parte with a judge on the merits of a pending matter, communicate with a juror during trial, or engage in conduct intended to disrupt a tribunal. --- ### Rule 3.6 — Trial Publicity **Summary.** A lawyer who is or has been involved in a case shall not make extrajudicial statements to the public that the lawyer knows or reasonably should know will have a substantial likelihood of materially prejudicing an adjudicative proceeding. This is a litigation-context restriction on public statements. ``` (a) A lawyer who is participating or has participated in the investigation or litigation of a matter shall not make an extrajudicial statement that the lawyer knows or reasonably should know will be disseminated by means of public communication and will have a substantial likelihood of materially prejudicing an adjudicative proceeding in the matter. ``` **Exceptions.** A lawyer may publicly state: the nature of the charges or claim; the public record; that an investigation is in progress; the scheduling of public proceedings; that the client denies the claim; and general information about the defense strategy without revealing confidential information. --- ### Rule 3.7 — Lawyer as Witness (Advocate-Witness Rule) **Summary.** A lawyer must not act as advocate in a contested proceeding in which the lawyer is likely to be a necessary witness, unless the testimony relates to an uncontested issue, the testimony relates to the nature and value of legal services in the proceeding, disqualification would work substantial hardship on the client, or the client consents after informed consent. ``` (a) A lawyer shall not act as an advocate in a trial in which the lawyer expects to be called as a witness unless: (1) The testimony relates to an uncontested issue; (2) The testimony relates to the nature and value of legal services rendered in the case; (3) The lawyer has obtained informed written consent from the client; or (4) Disqualification of the lawyer would work substantial hardship on the client. (b) A lawyer may act as advocate in a trial in which another lawyer in the lawyer's firm is likely to be called as a witness unless precluded from doing so by Rule 1.7 or 1.9 (conflicts of interest). ``` **Practice implications.** When a client wants the attorney who will testify to also try the case, Rule 3.7 creates a potential disqualification issue. This arises frequently in fraud cases where the attorney witnessed the fraudulent transaction, in employment cases where the attorney participated in the conduct, and in fee disputes. --- ### Rule 3.8 — Special Responsibilities of a Prosecutor **Summary.** Prosecutors in criminal matters have heightened duties: to refrain from prosecuting without probable cause, to ensure defendants have access to counsel, to disclose exculpatory evidence (Brady material), and to prevent submission of false evidence. Relevant primarily for criminal practitioners; noted here for completeness. --- ### Rule 3.9 — Advocate in Nonadjudicative Proceedings **Summary.** When representing a client before a legislative body, administrative agency, or other nonadjudicative tribunal, a lawyer must disclose the lawyer's appearance in a representative capacity and must not present false information. --- ## Chapter 4 — Transactions with Persons Other Than Clients ### Rule 4.1 — Truthfulness in Statements to Others **Summary.** A lawyer must not make a knowingly false statement of material fact or law to a third person, and must not fail to disclose material facts when disclosure is necessary to avoid assisting a crime or fraud. --- ### Rule 4.2 — Communication with a Represented Party **Summary.** A lawyer may not communicate about the subject of the representation directly with a person (not the lawyer's own client) when the lawyer knows that person to be represented by counsel in that matter, without the consent of opposing counsel. This is the "no contact" rule. --- ### Rule 4.3 — Communication with an Unrepresented Person **Summary.** When dealing on behalf of a client with an unrepresented person, a lawyer must not state or imply that the lawyer is disinterested, must not give legal advice (other than to get counsel), and must not take advantage of the unrepresented person. --- ## Chapter 5 — Law Firms and Associations ### Rule 5.3 — Responsibilities Regarding Nonlawyer Assistants **Summary.** Partners and supervising lawyers in a firm are responsible for ensuring that the professional conduct of nonlawyer assistants (paralegals, legal assistants) is compatible with the professional obligations of the lawyer. This rule is particularly relevant to AI-assisted drafting: the supervising attorney is responsible for the accuracy and ethical compliance of AI-generated content submitted to the court. --- ## Sanctions — CCP § 128.7 Cross-Reference CCP § 128.7 is the California analog to Federal Rule 11. It authorizes monetary sanctions against a party, attorney, or both for: - Filing a pleading for an improper purpose (harassment, delay, or to increase cost); - Making frivolous legal contentions; - Making factual contentions without evidentiary support. The Rule 11-style safe harbor: a motion for § 128.7 sanctions must be served (but not filed) first, giving the opposing party 21 days to withdraw the challenged document. ``` § 128.7(b). By presenting to the court a pleading, petition, written notice of motion, or other similar paper, an attorney or unrepresented party is certifying that to the best of the person's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, the following conditions are met: (1) It is not being presented primarily for an improper purpose, such as to harass or to cause unnecessary delay or needlessly increase the cost of litigation. (2) The claims, defenses, and other legal contentions therein are warranted by existing law or by a nonfrivolous argument for the extension, modification, or reversal of existing law or the establishment of new law. (3) The allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to have evidentiary support after a reasonable opportunity for further investigation or discovery. (4) The denials of factual contentions are warranted on the evidence or, if specifically so identified, are reasonably based on a lack of information or belief. ``` --- ## Citation Forms | Rule | Cite form | |---|---| | Cal. CRPC 3.3 | `Cal. Rules of Prof'l Conduct, rule 3.3` | | State Bar Act | `Bus. & Prof. Code § 6076` | | CCP § 128.7 | `CCP § 128.7` | | ABA Model Rule (for comparison) | `ABA Model Rules of Prof'l Conduct, R. 3.3` (not binding in CA) |