Capstone: Ethics Constraint-Checker
Capstone
Ethics Constraint-Checker
A populated constraint graph connects intake, competence, confidentiality, conflicts, funds, candor, technology, UPL, safeguards, uncertainty, and attorney review. Firewall doctrine: render structure, refuse interpretation, cite, abstain, and hand off.
Structured Visual
Jurisdiction: US; as of 2026-08-28; not legal advice; Render structure, refuse interpretation, cite, abstain, and hand off.
RENDER STRUCTURE · REFUSE INTERPRETATION · CITE · ABSTAIN · HAND-OFF: render structure, refuse interpretation, cite provenance, abstain when unsupported, and hand off to human review.
Scope and honesty note
Jurisdiction: comparative United States professional-responsibility classroom model as of 2026-08-29. ABA Model Rules are models; jurisdictions adopt variants, and the pinned North Carolina rules are state-published examples rather than universal text. Texas uses its own disciplinary rules. Synthetic facts are classroom inputs, not legal advice. This model cannot form an attorney-client relationship, decide discipline, authorize practice, clear a conflict, waive confidentiality, move client funds, or replace regulator and licensed-attorney review. Cite, expose uncertainty, abstain, and hand off.
See the essential structure first
Start with this deliberately incomplete structure, then use the pinned authorities, worked application, exceptions, and handoff below. This deliberately incomplete preview has 5 nodes; exceptions and legal consequences remain in the sourced prose below.
Jurisdiction: US; as of 2026-08-28; not legal advice; Render structure, refuse interpretation, cite, abstain, and hand off.
RENDER STRUCTURE · REFUSE INTERPRETATION · CITE · ABSTAIN · HAND-OFF: render structure, refuse interpretation, cite provenance, abstain when unsupported, and hand off to human review.
Begin with professional-responsibility doctrine
An ethics constraint-checker is a trace system, not an ethics decisionmaker. It versions governing sources, binds stated facts to distinct duties, evaluates prerequisite and exception structure, records uncertainty, proposes only source-authorized safeguards, and routes every professional judgment to accountable lawyers. Constraint states must preserve nonconsentable conflicts, required candor, protected information, entrusted property, jurisdictional practice limits, and client authority without collapsing them into a score. Missing facts or sources produce abstention, not a favorable inference.
Competence constraint
The competence rule anchors staffing, preparation, technology, and escalation rows. Verbatim source text: “A lawyer shall not handle a legal matter that the lawyer knows or should know he or she is not competent to handle without associating with a lawyer who is competent to handle the matter. Competent representation requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for the representation.” Source: N.C. R. Prof. Conduct 1.1; https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/10-119-client-lawyer-relationship/11-competence/; official-source fixture (not neochart).
Confidentiality constraint
The confidentiality rule anchors information flow, authorization, exceptions, and minimization rows. Verbatim source text: “(a) A lawyer shall not reveal information acquired during the professional relationship with a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b). (b) A lawyer may reveal information protected from disclosure by paragraph (a) to the extent the lawyer reasonably believes necessary: (1) to comply with the Rules of Professional Conduct, the law or court order; (2) to prevent the commission of a crime by the client; (3) to prevent reasonably certain death or bodily harm; (4) to prevent, mitigate, or rectify the consequences of a client's criminal or fraudulent act in the commission of which the lawyer's services were used; (5) to secure legal advice about the lawyer's compliance with these Rules; (6) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client; to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved; or to respond to allegations in any proceeding concerning the lawyer's representation of the client; (7) to comply with the rules of a lawyers' or judges' assistance program approved by the North Carolina State Bar or the North Carolina Supreme Court; or (8) to detect and resolve conflicts of interest arising from the lawyer's change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not compromise the attorney-client privilege or otherwise prejudice the client. (c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client. (d) The duty of confidentiality described in this Rule encompasses information received by a lawyer then acting as an agent of a lawyers' or judges' assistance program approved by the North Carolina State Bar or the North Carolina Supreme Court regarding another lawyer or judge seeking assistance or to whom assistance is being offered. For the purposes of this Rule, "client" refers to lawyers seeking assistance from lawyers' or judges' assistance programs approved by the North Carolina State Bar or the North Carolina Supreme Court.” Source: N.C. R. Prof. Conduct 1.6; https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/10-119-client-lawyer-relationship/16-confidentiality-of-information/; official-source fixture (not neochart).
Concurrent-conflict constraint
The conflict rule anchors adversity, material limitation, consentability, and written-consent rows. Verbatim source text: “(a) Except as provided in paragraph (b), a lawyer shall not represent a client if the representation involves a concurrent conflict of interest. A concurrent conflict of interest exists if: (1) the representation of one client will be directly adverse to another client; or (2) the representation of one or more clients may be materially limited by the lawyer's responsibilities to another client, a former client, or a third person, or by a personal interest of the lawyer. (b) Notwithstanding the existence of a concurrent conflict of interest under paragraph (a), a lawyer may represent a client if: (1) the lawyer reasonably believes that the lawyer will be able to provide competent and diligent representation to each affected client; (2) the representation is not prohibited by law; (3) the representation does not involve the assertion of a claim by one client against another client represented by the lawyer in the same litigation or other proceeding before a tribunal; and (4) each affected client gives informed consent, confirmed in writing.” Source: N.C. R. Prof. Conduct 1.7; https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/10-119-client-lawyer-relationship/17-conflict-of-interest-current-clients/; official-source fixture (not neochart).
Entrusted-property constraint
The trust-account rule anchors segregation, deposit, ledger, dispute, delivery, and reconciliation rows. Verbatim source text: “(a) Entrusted Property. All entrusted property shall be identified, held, and maintained separate from the property of the lawyer, and shall be deposited, disbursed, and distributed only in accordance with this Rule 1.15. (b) Deposit of Trust Funds. All trust funds received by or placed under the control of a lawyer shall be promptly deposited in either a general trust account or a dedicated trust account of the lawyer. Trust funds placed in a general account are those which, in the lawyer's good faith judgment, are nominal or short-term. General trust accounts are to be administered in accordance with the Rules of Professional Conduct and the provisions of 27 NCAC Chapter 1, Subchapter D, Sections .1300. (c) Deposit of Fiduciary Funds. All fiduciary funds received by or placed under the control of a lawyer shall be promptly deposited in a fiduciary account or a general trust account of the lawyer. (d) Safekeeping of Other Entrusted Property. A lawyer may also hold entrusted property other than fiduciary funds (such as securities) in a fiduciary account. All entrusted property received by a lawyer that is not deposited in a trust account or fiduciary account (such as a stock certificate) shall be promptly identified, labeled as property of the person or entity for whom it is to be held, and placed in a safe deposit box or other suitable place of safekeeping. The lawyer shall disclose the location of the property to the client or other person for whom it is held. Any safe deposit box or other place of safekeeping shall be located in this state, unless the lawyer has been otherwise authorized in writing by the client or other person for whom it is held. (e) Location of Accounts. All trust accounts shall be maintained at a bank in North Carolina or a bank with branch offices in North Carolina except that, with the written consent of the client, a dedicated trust account may be maintained at a bank that does not have offices in North Carolina or at a financial institution other than a bank in or outside of North Carolina. A lawyer may maintain a fiduciary account at any bank or other financial institution in or outside of North Carolina selected by the lawyer in the exercise of the lawyer's fiduciary responsibility. (f) Bank Directive. Every lawyer maintaining a trust account or fiduciary account with demand deposit at a bank or other financial institution shall file with the bank or other financial institution a written directive requiring the bank or other financial institution to report to the executive director of the North Carolina State Bar when an instrument drawn on the account is presented for payment against insufficient funds. No trust account or fiduciary account shall be maintained in a bank or other financial institution that does not agree to make such reports. (g) Funds in Accounts. A trust or fiduciary account may only hold entrusted property. Third party funds that are not received by or placed under the control of the lawyer in connection with the performance of legal services or professional fiduciary services may not be deposited or maintained in a trust or fiduciary account. Additionally, no funds belonging to the lawyer shall be deposited or maintained in a trust account or fiduciary account of the lawyer except: (1) funds sufficient to open or maintain an account, pay any bank service charges, or pay any tax levied on the account; or (2) funds belonging in part to a client or other third party and in part currently or conditionally to the lawyer. (h) Mixed Funds Deposited Intact. When funds belonging to the lawyer are received in combination with funds belonging to the client or other persons, all of the funds shall be deposited intact. The amounts currently or conditionally belonging to the lawyer shall be identified on the deposit slip or other record. After the deposit has been finally credited to the account, the lawyer shall withdraw the amounts to which the lawyer is or becomes entitled. If the lawyer's entitlement is disputed, the disputed amounts shall remain in the trust account or fiduciary account until the dispute is resolved. (i) Items Payable to Lawyer. Any item drawn on a trust account or fiduciary account for the payment of the lawyer's fees or expenses shall be made payable to the lawyer and shall indicate on the item by client name, file number, or other identifying information the client from whose balance the item is drawn. Any item that does not include this information may not be used to withdraw funds from a trust account or a fiduciary account for payment of the lawyer's fees or expenses. (j) No Bearer Items. No item shall be drawn on a trust account or fiduciary account made payable to cash or bearer and no cash shall be withdrawn from a trust account or fiduciary account by any means. (k) Debit Cards Prohibited. Use of a debit card to withdraw funds from a general or dedicated trust account or a fiduciary account is prohibited. (l) No Benefit to Lawyer or Third Party. A lawyer shall not use or pledge any entrusted property to obtain credit or other personal benefit for the lawyer or any person other than the legal or beneficial owner of that property. (m) Notification of Receipt. A lawyer shall promptly notify his or her client of the receipt of any entrusted property belonging in whole or in part to the client. (n) Delivery of Client Property. A lawyer shall promptly pay or deliver to the client, or to third persons as directed by the client, any entrusted property belonging to the client and to which the client is currently entitled. (o) Property Received as Security. Any entrusted property or document of title delivered to a lawyer as security for the payment of a fee or other obligation to the lawyer shall be held in trust in accordance with this Rule 1.15 and shall be clearly identified as property held as security and not as a completed transfer of beneficial ownership to the lawyer. This provision does not apply to property received by a lawyer on account of fees or other amounts owed to the lawyer at the time of receipt; however, such transfers are subject to the rules governing legal fees or business transactions between a lawyer and client. (p) Duty to Report Misappropriation. A lawyer who discovers or reasonably believes that entrusted property has been misappropriated or misapplied shall promptly inform the North Carolina State Bar's Trust Account Compliance Department. Discovery of intentional theft or fraud must be reported to the Trust Account Compliance Department immediately. When an accounting or bank error results in an unintentional and inadvertent use of one client's trust funds to pay the obligations of another client, the event must be reported unless the misapplication is discovered and rectified on or before the next quarterly reconciliation required by Rule 1.15-3(d)(1). This rule requires disclosure of information otherwise protected by Rule 1.6 if necessary to report the misappropriation or misapplication. (q) Interest on Deposited Funds. Under no circumstances shall the lawyer be entitled to any interest earned on funds deposited in a trust account or fiduciary account. Except as authorized by Rule .1316 of subchapter 1D of the Rules and Regulations of the North Carolina State Bar, any interest earned on a trust account or fiduciary account, less any amounts deducted for bank service charges and taxes, shall belong to the client or other person or entity entitled to the corresponding principal amount. (r) Abandoned Property. If entrusted property is unclaimed, the lawyer shall make due inquiry of his or her personnel, records and other sources of information in an effort to determine the identity and location of the owner of the property. If that effort is successful, the entrusted property shall be promptly transferred to the person or entity to whom it belongs. If the effort is unsuccessful and the provisions of G.S. 116B-53 are satisfied, the property shall be deemed abandoned, and the lawyer shall comply with the requirements of Chapter 116B of the General Statutes concerning the escheat of abandoned property. (s) Check Signing and Electronic Transfer Authority. (1) Every trust account check must be signed by a lawyer, or by an employee who is not responsible for performing monthly or quarterly reconciliations and who is supervised by a lawyer. (2) Every electronic transfer from a trust account must be initiated by a lawyer, or by an employee who is not responsible for performing monthly or quarterly reconciliations and who is supervised by a lawyer. (3) Prior to exercising signature or electronic transfer authority, a lawyer or supervised employee shall take a one-hour trust account management continuing legal education (CLE) course approved by the State Bar for this purpose. The CLE course must be taken at least once for every law firm at which the lawyer or the supervised employee is given signature or transfer authority. (4) Trust account checks may not be signed using signature stamps, preprinted signature lines on checks, or electronic signatures other than "digital signatures" as defined in 21 CFR 11.3(b)(5).” Source: N.C. R. Prof. Conduct 1.15-2; https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/10-119-client-lawyer-relationship/115-2-general-rules/; official-source fixture (not neochart).
Tribunal-candor constraint
The candor rule anchors false statements, evidence, remedial measures, and required disclosure rows. Verbatim source text: “(a) A lawyer shall not knowingly: (1) make a false statement of material 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 (3) offer evidence that the lawyer knows to be false. If a lawyer, the lawyer's client, or a witness called by the lawyer, has offered material evidence and the lawyer comes to know of its falsity, the lawyer shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. A lawyer may refuse to offer evidence, other than the testimony of a defendant in a criminal matter, that the lawyer reasonably believes is false. (b) A lawyer who represents a client in an adjudicative proceeding and who knows that a person intends to engage, is engaging or has engaged in criminal or fraudulent conduct related to the proceeding shall take reasonable remedial measures, including, if necessary, disclosure to the tribunal. (c) The duties stated in paragraphs (a) and (b) continue to the conclusion of the proceeding, and apply even if compliance requires disclosure of information otherwise protected by Rule 1.6. (d) In an ex parte proceeding, a lawyer shall inform the tribunal of all material facts known to the lawyer that will enable the tribunal to make an informed decision, whether or not the facts are adverse.” Source: N.C. R. Prof. Conduct 3.3; https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/31-38-advocate/33-candor-toward-the-tribunal/; official-source fixture (not neochart).
UPL constraint
The UPL rule anchors jurisdiction, licensed-actor, assistance, and legal-tech handoff rows. Verbatim source text: “(a) A lawyer shall not practice law in a jurisdiction where doing so violates the regulation of the legal profession in that jurisdiction. (f) A lawyer shall not assist another person in the unauthorized practice of law.” Source: N.C. R. Prof. Conduct 5.5(a), (f); https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/rules-of-professional-conduct/51-57-law-firms-and-associations/55-unauthorized-practice-of-law/; official-source fixture (not neochart).
Pin the synthetic representation record
The capstone's synthetic matter populates a representation graph, concurrent and former-client relationships, jurisdiction and license records, competence plan, confidential dataset access, advance and settlement ledgers, disputed entitlement, automated draft provenance, altered exhibit, tribunal filing, consent packet, screen, disclosure decision, corrective action, withdrawal question, and reviewer assignments.
Work the ethics application
The checker first refuses to use North Carolina text as the startup matter's governing law without a jurisdiction match. It identifies investor adversity and former-client overlap as separate conflict branches and blocks consent until consentability is established. It routes the dataset through confidentiality controls, the funds through trust segregation and dispute protection, and the altered exhibit through Rule Three Point Three remediation. Cross-border personalized output stops at the UPL gate and moves to a licensed lawyer. No branch returns an overall ethics score.
Read the populated ethics record
The populated checker contains source, jurisdiction, adoption, version, actor, license, client, former client, matter, scope, competence task, specialist, adversity, limitation, consentability, consent, confidential item, authorization, exception, access, entrusted property, deposit, ledger, dispute, exhibit, knowledge, candor trigger, remediation, disclosure, software output, personalization, UPL gate, safeguard, evidence link, state, uncertainty, refusal, escalation, reviewer, decision, and audit history. The artifact contains 19 populated rows.
Jurisdiction: US; as of 2026-08-28; not legal advice; Render structure, refuse interpretation, cite, abstain, and hand off.
RENDER STRUCTURE · REFUSE INTERPRETATION · CITE · ABSTAIN · HAND-OFF: render structure, refuse interpretation, cite provenance, abstain when unsupported, and hand off to human review.
Read the complete record
The complete record keeps sources, stated facts, and questions for review separate. Pinned authorities: Verbatim state statute or official-source rule. N.C. R. Prof. Conduct 1.1: Competence constraint: The competence rule anchors staffing, preparation, technology, and escalation rows.. N.C. R. Prof. Conduct 1.6: Confidentiality constraint: The confidentiality rule anchors information flow, authorization, exceptions, and minimization rows.. N.C. R. Prof. Conduct 1.7: Concurrent-conflict constraint: The conflict rule anchors adversity, material limitation, consentability, and written-consent rows.. N.C. R. Prof. Conduct 1.15-2: Entrusted-property constraint: The trust-account rule anchors segregation, deposit, ledger, dispute, delivery, and reconciliation rows.. N.C. R. Prof. Conduct 3.3: Tribunal-candor constraint: The candor rule anchors false statements, evidence, remedial measures, and required disclosure rows.. N.C. R. Prof. Conduct 5.5(a), (f): UPL constraint: The UPL rule anchors jurisdiction, licensed-actor, assistance, and legal-tech handoff rows.. Synthetic representation record: Classroom facts, not conclusions. Intake: Startup seeks representation in dispute; firm represents investor, former client is opposing founder, user and lawyer sit in different jurisdictions. Matter: Client uploads confidential dataset, advance fee and disputed settlement funds arrive, software drafts filing, altered exhibit is discovered. Decisions: Staffing, specialist association, conflict consent, data disclosure, trust disbursement, exhibit remediation, cross-border advice, withdrawal and regulator response. Ethics trace: Constraint, exception, consent, safeguard, escalation, review. Source gate: Adopting jurisdiction, official text, effective date, paragraph, interpretation, procedural source and missing authority. Fact gate: Actor, client, former client, matter, adversity, limitation, information, authorization, funds, entitlement, tribunal statement, jurisdiction and license. Constraint state: Source needed, fact needed, duty triggered, prohibition implicated, exception possible, nonconsentable, consent required, safeguard required, correction required, human decision. Safeguards: Scope, association, screen, informed consent, writing, access control, disclosure minimum, trust segregation, reconciliation, refusal, remediation, withdrawal and preservation. Evidence: Engagement, conflict graph, consent, communication, access log, bank record, client ledger, filing version, exhibit provenance, tribunal record and review note. Firewall: No conflict clearance, capacity judgment, privilege waiver, disclosure authorization, fund entitlement, litigation strategy, UPL permission, discipline prediction or compliance score.
Narrow summary
Bind each stated fact to a versioned professional constraint, preserve hard gates and uncertainty, show populated evidence and safeguards, and leave every ethics judgment with accountable lawyers.