**finish last section - Quimbee / Outline - Reporting Misconduct - Supervising Subordinate Lawyers - Disciplinary Actions

Question 1

Rule 8.3: Reporting Professional Misconduct

 a.	If a lawyer knows of a \_\_\_\_\_\_\_\_\_ by another lawyer “that raises a substantial question as to the lawyer’s \_\_\_\_\_\_\_, \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, or \_\_\_\_\_\_\_ as a lawyer,” she MUST report it.

Answer 1

1. Rule 8.3: Reporting Professional Misconduct
   a. If a lawyer knows of a VIOLATION by another lawyer “that raises a substantial question as to the lawyer’s HONESTY, TRUSTWORTHINESS, or FITNESS as a lawyer,” she MUST report it.

Question 2

Rule 8.3: Reporting Professional Misconduct

 b.	A lawyer is NOT required to report:

(1)

(2)

Answer 2

1. Rule 8.3: Reporting Professional Misconductb. A lawyer is NOT required to report:

(1) information protected by the confidentiality rules; and

(2) information learned while participating in a lawyers’ assistance program

Question 3

Rule 8.3: Reporting Professional Misconduct

 b.	A lawyer is NOT required to report:

(1) information _________ by the ______________ rules; and

(2) information learned while _____________ in a lawyers’ ___________ program

Answer 3

Rule 8.3: Reporting Professional Misconduct

 b.	A lawyer is NOT required to report:

(1) information PROTECTED by the CONFIDENTIALITY rules; and

(2) information learned while PARTICIPATING in a lawyers’ ASSISTANCE program

Question 4

When should Lawyers report?

Answer 4

Lawyers are obligated to report another lawyer’s serious misconduct that raises a substantial question about honesty, trustworthiness, or fitness.

Question 5

True or False:

Because the reporting obligation only extends to substantial misconduct, lawyers are under no obligation to report a lawyers minor violations of the rules.

Answer 5

True

Question 6

True or False:

Lawyers are not obligated to report information that is privileged and confidential.

Answer 6

True.

Question 7

What are the exceptions to the reporting obligation?

Answer 7

–Privileged information

–Lawyers Assistance Program

–Lawyers own misconduct

Question 8

What is the standard for reporting judicial misconduct?

Answer 8

Lawyers are also obligated to report judicial misconduct that raises a substantial question about the judge’s fitness for office.

–bribes
–jury tampering
–being under the influence of alcohol or drugs

Question 9

What are the exceptions to reporting judicial misconduct?

Answer 9

Lawyers are not obligated to report privileged information or information learned about a judge through a bar or courts counseling or assistance program.

Question 10

The model rules require lawyers to report another lawyers or judges substantial __________ when it reflects on _______ or _______, except when it is __________.

Answer 10

The model rules require lawyers to report another lawyers or judges substantial MISCONDUCT when it reflects on HONESTY or FITNESS, except when it is PRIVILEGED.

Question 11

Lawyers are not required to disclose privileged information, but lawyers are encouraged to get consent from clients to disclose privileged information and make a report.

Question 12

Rule 5.1 - Responsibilities of Partners, Managers, and Supervisory Lawyers:

A supervisor is responsible for the misconduct of another lawyer if:

(1) the lawyer ______ or has _________ about specific _______ that would be a _________

(2) she knows of the _______ at time when its consequences can be _______ or _________ but fails to take reasonable ______.

Answer 12

Rule 5.1 - Responsibilities of Partners, Managers, and Supervisory Lawyers:

A supervisor is responsible for the misconduct of another lawyer if:

(1) the lawyer ORDERS or has KNOWLEDGE about specific CONDUCT that would be a VIOLATION

(2) she knows of the CONDUCT at time when its consequences can be AVOIDED or MITIGATED but fails to take reasonable ACTION.

Question 13

Rule 5.1 - Responsibilities of Partners, Managers, and Supervisory Lawyers:

A supervisor is responsible for the misconduct of another lawyer if:

2.

Answer 13

(1) the lawyer ORDERS or has KNOWLEDGE about specific CONDUCT that would be a VIOLATION

(2) she knows of the CONDUCT at time when its consequences can be AVOIDED or MITIGATED but fails to take reasonable ACTION.

Question 14

Rule 5.1 of the Model Rules requires supervisory lawyers to make “__________ efforts” to ensure that ___________ lawyers understand and comply with ethics rules.

Whether efforts are “__________” depends on all of the _____.

Answer 14

Rule 5.1 of the Model Rules requires supervisory lawyers to make “REASONABLE efforts” to ensure that SUBORDINATE lawyers understand and comply with ethics rules.

Whether efforts are “REASONABLE” depends on all of the FACTS.

Question 15

True or False:

Rule 5.1 applies equally to any lawyer exercising supervisory authority.

Answer 15

True.

For example, “reasonable efforts” applies equally to a corporation’s general counsel supervising a 200-person legal department, and to a senior associate supervising one junior associate.

Question 16

Supervisory lawyers may be held responsible for their subordinate lawyer’s unethical behavior in two instances:

1. if they ______ the unethical behavior; or
2. if they ______ or fail to ________ it.

Answer 16

Supervisory lawyers may be held responsible for their subordinate lawyer’s unethical behavior in two instances:

1. if they ORDER the unethical behavior; or
2. if they RATIFY or fail to MITIGATE it.

Question 17

True or False:

The general rule of “reasonable efforts” applies to the supervision of non-lawyers as well.

Answer 17

True.

The general rule of “reasonable efforts” applies to the supervision of non-lawyers as well.

Lawyers utilizing non-lawyers must understand that the non-lawyers may not be well-versed in ethical obligations, particularly in the context of client confidentiality, and must take efforts to provide training and procedures to help them act ethically.

Question 18

subordinate lawyers are not allowed to use a “good _______” defense and claim that they are not ___________ for their misconduct because they were just following orders.

Rule 5.1 expects lawyers of all levels of _________ to have a solid, workable understanding of ethics rules, and to be able to ____ ___ when a supervisor tells them to act _______________.

Answer 18

subordinate lawyers are not allowed to use a “GOOD SOLDIER” defense and claim that they are not RESPONSIBLE for their misconduct because they were just following orders.

Rule 5.1 expects lawyers of all levels of EXPERTISE to have a solid, workable understanding of ethics rules, and to be able to SAY NO when a supervisor tells them to act INAPPROPRIATELY.

Question 19

True or False:

When a junior lawyer is confused about a difficult ethical question and seeks guidance from his supervisor, the junior attorney may be excused if it turns out he made the wrong decision.

Answer 19

True

For example, a new associate who is unsure about whether to disclose a complicated document in discovery can rely on the guidance of a supervisor, and will likely not face disciplinary consequences if a judge finds they made the wrong decision.

Question 20

Rule 5.2: Responsibilities of a Subordinate Lawyer:

1. Subordinate lawyer is bound by ethical rules unless ______ at the _________ of another person;
2. It’s not a violation if the ___________ lawyer acts in accordance with her supervisor’s __________ resolution of an ________ question of professional duty.

Answer 20

Rule 5.2: Responsibilities of a Subordinate Lawyer:

1. Subordinate lawyer is bound by ethical rules unless ACTING at the DIRECTION of another person;
2. It’s not a violation if the SUBORDINATE lawyer acts in accordance with her supervisor’s REASONABLE resolution of an ARGUABLE question of professional duty.