Not necessarily. You are not a guarantor that your associate is in compliance with the Rules of Professional Conduct, but you must create reasonable safeguards to promote compliance with the rules. This may include educational efforts, institution of routine procedures, like conflict checks and calendaring, or practice group management.  

Yes, it is. If there is time/opportunity to do so, you must take remedial action.

Wrong.  Although the degree of supervision required depends on the specific facts, if you have supervisory authority over the new attorney, you must make reasonable efforts to ensure the associate understands the law, complies with the legal procedures of the court and communicates sufficiently and appropriately with the client, in addition to his other ethical obligations.

Wrong.  You must also be sure they are actually implemented and are functioning within the firm. Periodic tests/reviews should be done to create a culture of compliance, and you may need to consider reeducation programs or other internal discipline if the firm’s policies are not followed.

Yes, you can. You must comply with the Rules of Professional Conduct, even if you are given explicit instructions to do otherwise.

Not necessarily. There are circumstances where professional obligations are unclear, or subject to conflicting interpretations between a supervisor and a subordinate. If the position is reasonably supportable, it is not a violation of the Rules.

If there are no other supervisors to go to, a good place to start is the Ethics Hotline at 602-340-7284.

No. Having your staff help you meet your ethical (and legal) obligations is fine – they just cannot materially limit or control your “independent professional judgment” for clients.

Yes. Rule 5.3(b)(3) specifically provides “(3) When retaining or directing a nonlawyer outside the firm to assist the lawyer's delivery of legal services, a lawyer should communicate directions appropriate under the circumstances to give reasonable assurance that the nonlawyer's conduct is compatible with the professional obligations of the lawyer.” This means at a minimum; you must discuss with the vendor their duty to maintain the confidentiality of all information they possess. You should also do your due diligence to see that the vendor has reasonable measures in place to safeguard the data. Just having a contract with the vendor that says that is not enough! Actively supervise.

Confirm they understand the scope of work they have been assigned, explain what access they can or cannot have to firm data (including only specific client files), assure they maintain the confidentiality of the information they possess, make sure they return client information/documents/data when the project is completed, and review what they do – including checking citations in legal documents (especially if drafted using AI). Don’t forget to have temporary personnel avoid conflicts of interest, so they do not work for the opposing counsel at the same time they are working for you on the same matter.

Absolutely – but that is not enough! Every firm should regularly provide ethics training to all personnel and discuss the policies in the manual to assure the policies fit the practice and that every lawyer and nonlawyer understands their duties of confidentiality, competence, communication, professionalism, avoiding the unauthorized practice of law, avoiding conflicts of interest, and overall adhering to all the Rules of Professional Conduct.

Don’t take that chance with your license. Go over your firm’s ethics policies (and procedures) and actively supervise even experienced new nonlawyer staff (this means checking their work, reviewing their communication skills, and assuring they are following firm procedures).

A lawyer does not have to be physically in the office (and staff do not have to be in a physical office – remote work is acceptable) to provide competent supervision. But a lawyer supervisor does need to be available to answer questions and review documents drafted by staff. A lawyer also should ensure they check in with staff who are working remotely (or the lawyer if working remotely) on at least a daily basis to assure deadlines are being met, communications are being handled diligently, and workloads are not overwhelming. If the firm permits remote work, it should also have a policy regarding use of technology.  

Wrong.  Yes, you are. That is why lawyers are responsible for ensuring deadlines are met and staff workloads are not overwhelming. Rule 5.3(c) expressly makes the lawyer responsible for the conduct the lawyer orders or ratifies or “knows of the conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable remedial action.”

Yes. Even if a nonlawyer is the 100% owner of an ABS law firm, the lawyer is responsible for ensuring there are policies and procedures in place so the nonlawyer comports his or her actions to the Rules of Professional Conduct.