Can a legal services law office give client identifying information, like Social Security numbers and demographics, to the government agency that funds the office?

Currency note

This opinion was issued in 1982, before Tennessee's adoption of the 2003 Rules of Professional Conduct, which replaced the former Code of Professional Responsibility. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement mentioned here.

Plain-English summary

A legal services law office funded under the Older Americans Act of 1965 was asked by its funding agency to report Social Security number, name, address, zip code, date of birth, sex, race, source of referral, and date service started for each client served under the Act's Title III program. The funding agency said the computerized reporting system would improve its ability to monitor services, reduce its own paperwork, expand the data available for planning, and let the law office track its clients for better coordinated service. The agency recommended that the law office tell clients about the disclosure and get their informed, written consent.

The Board concluded that the requested data, including the Social Security number, name, address, zip code, date of birth, sex, race, referral source, and service-start date, are "secrets" within the meaning of Disciplinary Rule 4-101(A) and are subject to the attorney-client privilege. Disclosing them to the funding agency without the clients' informed consent would violate Disciplinary Rule 4-101(B).

Common questions

Q: Can a legal services office send client demographic and identifying data to its government funding agency?

A: Only with the client's informed, written consent. The opinion holds it "would be a violation of DR 4-101(B) for the law firm to reveal the information to the agency, without the informed consent of the clients involved."

Q: What counts as valid consent?

A: The opinion requires consent "expressed in writing by each client after full disclosure and explanation by the law office, and assurance that a denial of consent will have no detrimental results to the client."

Q: Is this kind of information really a protected "secret"?

A: Yes. The opinion states that "the social security number, name, address, zip code, date of birth, sex, race, source of referral and date service started are 'secrets' within the meaning of Disciplinary Rule 4-101(A)... and are subject to the attorney-client privilege."

Background and rules framework

The opinion applied Disciplinary Rule 4-101 of the Tennessee Code of Professional Responsibility, which defined a client's "secrets" and barred a lawyer from revealing them without consent. The modern correlate is Model Rule 1.6 (confidentiality of information), noted here as a navigational cross-reference rather than a rule the opinion itself applied.

Citations and references

Rules of Professional Conduct:

• DR 4-101(A) (definition of client "secrets") and DR 4-101(B) (prohibition on revealing a secret without consent), Tennessee Code of Professional Responsibility
• Model Rule 1.6 (confidentiality of information), modern correlate

Statutes:

• Older Americans Act of 1965, Sub-Chapter C, Chapter XIII, Title 45, Code of Federal Regulations (Title III funding program)

See also

• Tenn. Ethics Op. 82-F-35: Sharing Client Data With CPA

Source

• Landing page: https://www.tbpr.org/ethic_opinions/82-f-25

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

82-F-25 - Client Information to Funding Agency

BOARD OF PROFESSIONAL RESPONSIBILITY OF THE SUPREME COURT OF TENNESSEE

FORMAL ETHICS OPINION 82-F-25

Inquiry has been made concerning the propriety of a legal services law office providing certain information about clients to an agency funding the law office.

The agency administers funds to the law office under the Older Americans Act of 1965, Sub-Chapter C, Chapter XIII, Title 45, Code of Federal Regulations. The agency has requested Social Security number, name, addresses, zip code, date of birth, sex, race, source of referral and date service started regarding each client provided service under the Title III Older Americans Act program. The computerized reporting system is designed to improve the funding agency's ability to monitor the services rendered with the funds, to reduce paperwork of the funding agency, to increase the amount of data available for better planning; and, to implement a client-tracking system in order to provide better coordinated services for the law firm's clients.

The funding agency has recommended that the law firm advise the clients about the release of the information and that the informed and written consent of the client be obtained.

It is the opinion of the Board that the social security number, name, address, zip code, date of birth, sex, race, source of referral and date service started are "secrets" within the meaning of Disciplinary Rule 4-101(A) of the Code of Professional Responsibility and are subject to the attorney-client privilege. It would be a violation of DR 4-101(B) for the law firm to reveal the information to the agency, without the informed consent of the clients involved, which consent should be expressed in writing by each client after full disclosure and explanation by the law office, and assurance that a denial of consent will have no detrimental results to the client.

The law firm may give the requested information only if it obtains the appropriate consent.

This 22nd day of February, 1982.

ETHICS COMMITTEE:

W. H. Lassiter, Chairman

W. J. Flippin

George Morrow

APPROVED AND ADOPTED BY THE BOARD