Attorney Frank, licensed in State F, is a solo practitioner. He hires a new paralegal, Sarah, who previously worked for another law firm where she gained extensive experience drafting pleadings and interviewing witnesses. Frank instructs Sarah to draft a complex motion for summary judgment, assuring her that he will 'review it thoroughly before filing.' However, due to an urgent client matter, Frank quickly skims the motion, makes minor formatting changes, and files it without fully verifying its legal arguments or factual accuracy. The motion is subsequently denied due to significant legal deficiencies. Is Frank subject to disciplinary action?
- AYes, but only if Sarah was not officially certified as a paralegal, as supervision is only required for uncertified staff.
- BNo, because Frank delegated the drafting to an experienced paralegal, and paralegals are expected to perform such tasks.
- CNo, because he did review the motion, albeit briefly, and the ultimate responsibility lies with the paralegal for the drafting.
- DYes, because he failed to adequately supervise Sarah and ensure the work product conformed to professional standards.
Show answer & explanationAnswer & explanation
Correct answer: D. Yes, because he failed to adequately supervise Sarah and ensure the work product conformed to professional standards.
Model Rule 5.3 requires lawyers with supervisory authority over non-lawyer assistants to make reasonable efforts to ensure that the assistant's conduct is compatible with the professional obligations of the lawyer. This includes adequately supervising the non-lawyer's work and ensuring the final work product meets professional standards. Frank's quick skim and failure to verify the legal arguments and factual accuracy constitute inadequate supervision.
Why the other options are wrong
- A. The duty to supervise applies to all non-lawyer assistants, regardless of certification status, to ensure their work is compatible with the lawyer's professional obligations.
- B. While paralegals can draft, the lawyer retains ultimate responsibility for supervision and the quality of the work product.
- C. A brief skim without full verification does not constitute adequate supervision, and the lawyer bears the ultimate responsibility for the filed document.
Supervision of Non-Lawyer Assistants
Lawyers with supervisory authority over non-lawyer assistants must make reasonable efforts to ensure that the assistant's conduct is compatible with the professional obligations of the lawyer, including adequate instruction, training, and review of their work.
- Governed by Model Rule 5.3.
- Lawyer is responsible for the assistant's conduct if they order or ratify it.
- Lawyer must ensure non-lawyer's work adheres to professional standards.
- Includes tasks like legal research, drafting, and client communication.
Memory trick: The lawyer's oversight is the staff's guiding light.