Attorney Lee is a partner in a firm. She learns that a junior associate, Attorney Chen, has a practice of leaving sensitive client documents in an unsecured, publicly accessible folder on the firm's cloud storage, despite firm policy requiring encryption and restricted access. What is Lee's ethical obligation regarding Chen's conduct?
- ALee has no ethical obligation as long as no breach has actually occurred.
- BLee should report Chen's conduct to the state bar disciplinary authority immediately.
- CLee should only discuss the issue with Chen if a client complains about a breach.
- DLee must take reasonable remedial action to ensure Chen's conduct conforms to ethical rules and firm policy.
Show answer & explanationAnswer & explanation
Correct answer: D. Lee must take reasonable remedial action to ensure Chen's conduct conforms to ethical rules and firm policy.
As a partner in a law firm, Attorney Lee has supervisory authority over Attorney Chen. Model Rule 5.1(a) and (c) require partners and supervising lawyers to make reasonable efforts to ensure that the firm has measures in place giving reasonable assurance that all lawyers conform to the Rules of Professional Conduct, and to take reasonable remedial action if they know of conduct that violates the Rules.
Why the other options are wrong
- A. Supervisory obligations exist to prevent violations, not just to react to them.
- B. Reporting to the bar is generally reserved for serious, unrectified misconduct, not initial supervisory issues.
- C. Waiting for a client complaint is insufficient; proactive supervision is required.
Supervisory Lawyer's Duty
A lawyer having direct supervisory authority over another lawyer must make reasonable efforts to ensure that the supervised lawyer conforms to the Rules of Professional Conduct, and must take reasonable remedial action if they know of a violation.
- Supervisors are responsible for subordinates' ethical conduct.
- Duty includes implementing policies and taking remedial action.
- Applies to all Rules, including competence and confidentiality.
Memory trick: The captain is responsible for the ship's crew and their ethical course.