tech competency and supervising staff
TRANSCRIPT
TechnologicalCompetencyandEthicalDutytoSuperviseStaff
MichaelDowneyDowneyLawGroupLLC
August2017
DutytoSupervise
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Rule4-8.4
Itisprofessionalmisconductforalawyerto:(a) violateorattempttoviolatetheRulesof
ProfessionalConduct,knowinglyassistorinduceanothertodoso,ordosothroughtheactsofanother ...
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DutytoSupervise– Rule4-5.1(a) Apartner inalawfirm,andalawyerwhoindividuallyor
togetherwithotherlawyerspossessescomparablemanagerialauthorityinalawfirm,shallmakereasonableeffortstoensurethatthefirmhasineffectmeasures givingreasonableassurancethatalllawyersinthefirmconformtotheRulesofProfessionalConduct.
(b) AlawyerhavingdirectsupervisoryauthorityoveranotherlawyershallmakereasonableeffortstoensurethattheotherlawyerconformstotheRulesofProfessionalConduct.
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"Vicarious" Liability– Rule4-5.1(c)Alawyershallberesponsibleforanotherlawyer'sviolationoftheRulesofProfessionalConductif:(1) thelawyerorders or,withknowledge ofthespecific
conduct,ratifies theconductinvolved;or(2) thelawyerisapartner orhascomparablemanagerial
authority inthelawfirminwhichtheotherlawyerpractices,orhasdirectsupervisoryauthorityovertheotherlawyer,andknowsoftheconductatatimewhenitsconsequencescanbeavoidedormitigatedbutfailstotakereasonableremedialaction.
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DutytoSupervise– Rule4-5.3Withrespecttoanonlawyeremployedorretainedbyorassociatedwithalawyer:(a) apartner,andalawyerwhoindividuallyortogetherwithother
lawyerspossessescomparablemanagerialauthorityinalawfirmshallmakereasonableeffortstoensurethatthefirmhasineffectmeasures givingreasonableassurancethattheperson'sconductiscompatiblewiththeprofessionalobligationsofthelawyer;
(b) alawyerhavingdirectsupervisoryauthorityoverthenonlawyershallmakereasonableefforts toensurethattheperson'sconductiscompatiblewiththeprofessionalobligationsofthelawyer;and...
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DutytoSupervise– Rule4-5.3Withrespecttoanonlawyeremployedorretainedbyorassociatedwithalawyer:...(a)(b)
(c) alawyershallberesponsible forconductofsuchapersonthatwouldbeaviolationoftheRulesofProfessionalConductifengagedinbyalawyerif:(1) thelawyerorders or,withtheknowledgeofthespecific
conduct,ratifies theconductinvolved;or(2) thelawyerisapartnerorhascomparablemanagerial
authority inthelawfirminwhichthepersonisemployed,orhasdirectsupervisoryauthorityovertheperson,andknowsoftheconductatatimewhenitsconsequencescanbeavoidedormitigatedbutfailstotakereasonableremedialaction.
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ChoosingOutsourceProviders
• Doestheproviderhaveexperienceworkingwiththelegalprofession?– Lawyersarequirky– Rule1.6confidentialityissues
• Willyourclientsconsidertheprovidertobereliableandappropriateiftheprovidercomesincontactwithclient-relatedinformation?
• Howdifficultwillitbetosupervisetheoutsourcedprovider?– Localordistant?
DutytoKeepClients(reasonably)Informed:Rule4-1.4
(a) Alawyershall:(1) keeptheclientreasonablyinformedaboutthestatusof
thematter;(2) promptlycomplywithreasonablerequestsfor
information;and(3) consultwiththeclientaboutanyrelevantlimitationon
thelawyer'sconductwhenthelawyerknowstheclientexpectsassistancenotpermittedbytheRulesofProfessionalConductorotherlaw.
(b) Alawyershallexplainamattertotheextentreasonablynecessarytopermittheclienttomakeinformeddecisionsregardingtherepresentation.
Noticetoclients?• Changeinwhosupervisestheservices?• Changeintheamountofsupervisiontheoriginallawyerretains?• Whohasfinalresponsibilityforthework?• Howsensitivityistheinformationsharedwiththeoutsourced
provider?• Whattypeandimportanceofservicestheproviderwillperform?• Whatsafeguardsareemployedtoensuretheworkisperformed
withoutcompromisingclientinterests(confidentiality)?• Whatunderstandingoragreementdoesclienthavewithoriginal
lawyerregardingwhowouldprovidelegalservices?• Isclientlikelytomisperceivetheprovider'srelationshipwiththe
firm?
ReasonableFees– Rule4-1.5(a)• Alawyershallnotmakeanagreementfor,charge,orcollectan
unreasonablefeeoranunreasonableamountforexpenses....
Chargingforoutsourcedwork?• Generallymaynot chargeclientsforoverhead• Maynot profitfrom"expenses"– Contractattorney(1)actualcostsor(2)slightupchargetocoveractual additionalcosts
• Areyouirritating yourclientswithexcesscharges?
BewareImproperFeeSharingorReferralFees
Rule4-5.4(a)Alawyerorlawfirmshallnotsharelegalfeeswithanonlawyer,exceptthat....(3)alawyerorlawfirmmayincludenonlawyeremployeesinacompensationorretirementplan,eventhoughtheplanisbasedinwholeorinpartonaprofit-sharingarrangement....
AlsoRule4-7.2(b):Alawyershallnotgiveanythingofvaluetoapersonforrecommendingthelawyer'sservices,exceptthat:(1)alawyermaypaythereasonablecostofadvertisingorwrittencommunicationpermittedbythisRule4-7.2....
TechnologicalCompetency
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Competence– Rule4-1.1
"Alawyershallprovidecompetentrepresentationtoaclient.Competentrepresentationrequiresthelegalknowledge,skill,thoroughness andpreparationreasonablynecessaryfortherepresentation."
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MissouriRule 4-1.1cmt[6]
• Tomaintaintherequisiteknowledgeandskill,alawyershouldkeepabreastofchangesinthelawanditspractice,engageincontinuingstudyandeducationandcomplywithallcontinuinglegaleducationrequirementstowhichthelawyerissubject.
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ABAModelRule1.1cmt[8]
• Tomaintaintherequisiteknowledgeandskill,alawyershouldkeepabreastofchangesinthelawanditspractice,includingthebenefitsandrisksassociatedwithrelevanttechnology,engageincontinuingstudyandeducationandcomplywithallcontinuinglegaleducationrequirementstowhichthelawyerissubject.
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UsesofTechnology
• Marketing• Servingclients• ProtectingInformation(otherprogram)• Billingandcollectingpayments
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DiffusionofInnovation
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Marketing
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MarketingandTechnology
• Protectclient-relatedinformation
• Understandlimitsonpayingformarketing– Nosharingoffees– Nopayperclients
– Payperclickorlead– probablyokay
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SEOandSEM
• SEO– SearchEngineOptimization• SEM– SearchEngineMarketing
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SEM
SEO
SEM
"Old" Results
SEM(SearchEngineMarketing)MostExpensiveGoogleAdWord
"SanAntonioCarWreckAttorney"
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>$700perclickin2016
SearchEngineOptimization(SEO)–"ContentMarketing"
• Haveaplan• Writefortheprospect,notthefirm• Encouragetwo-waycommunications• Promotecontent– yoursandothers• Tryvideoandaudio,notjusttext
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(NewResults)
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WhatNOTtoDo
ServingClients
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E-Filing
• Methodsandlimits
• Protectionofclient-relatedinformation
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E-Discovery
• Collectionandreviewofinformation– Socialmedia– Devices
• Avoidingspoliation
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ConsequencesofSpoliation• InreMatthewB.Murray,(VirginiaStateBarJune9,2013)– lawyerwassanctioned$722Kbytrialcourtandsuspendedfor5years
• Advisedclienttodeletephotos• Withheldemailsinstructingclient
todeletecontent
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Ethical GuidanceonRemoval
• NewYorkCountyLawyers' AssociationEthicsOpinion745(2013)– lawyermayadvisehisclienttoremovesuchpostingsfromhissocialmediawebsitesolongasthelawyerfollowsthelawandethicsrulesinregardtospoliationofevidence
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Redactions
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ThegovernmentclaimsaconspiracyexistedfromOctober22,2008continuingthroughDecember9,2008.6Thatconversation isrelevanttothedefenseofthegovernment'stheoryofanongoingconspiracy.OnlyRodBlagojevichandPresidentObamacantestifytothecontentsofthatconversation.Thedefenseisallowedtopresentevidencethatcorroboratesthedefendant'stestimony.7
18. President-electObamaalsosuggested SenateCandidateAtoGovernorBlagojevich.JohnHarristoldtheFBIandtheUnitedStatesAttorneysthathespoketoPresident'sChiefofStaffonNovember12,2008.HarristooknotesoftheconversationandwrotethatPresident'sChiefhadpreviouslyworkedasBlagojevich'spresssecretary.ObamaagreedofStafftoldHarristhatSenate
CandidateAwasacceptabletoObamaasasenatepick.(Harrishandwrittennotes,OOG1004463)President'sChiefofStafftoldtheFBIthat"hecouldnotsaywherebutsomewhereitwascommunicatedtohimthat" SenateCandidateAwasasuggestedcandidateviewedasoneofthefour"right" candidates"bytheObamatransitionteam." (RahmEmanuel302,p.5,December20,2008).HarristoldBlagojevichObama'ssuggestiononNovember12,2008(BlagojevichHome
PhoneCall#539).
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Rule4-4.4RespectForRightsOfThirdPersons
(a)Inrepresentingaclient,alawyershallnotusemeansthathavenosubstantialpurposeotherthantoembarrass,delay,orburdenathirdperson,orusemethodsofobtainingevidencethatviolatethelegalrightsofsuchaperson.
(b)Alawyerwhoreceivesadocumentrelatingtotherepresentationofthelawyer'sclientandknowsorreasonablyshouldknowthatthedocumentwasinadvertentlysentshallpromptlynotify thesender.
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InadvertentProduction
• OldRule– recipientofmetadata– Notify producingpartyofproductionofprivilegedinformation
– Refrain fromreviewingprivilegedinformation– Abide byproducingcounsel'sinstruction– atleastuntilacourtordersotherwise
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NewRule4-4.4(b)
Alawyerwhoreceivesadocumentrelatingtotherepresentationofthelawyer'sclientandknowsorreasonablyshouldknowthatthedocumentwasinadvertentlysentshallpromptlynotifythesender.
InreEisenstein (Mo.4/5/2016)• EisensteinrepresentedHusbandindivorce• HusbandaccessedWife'semailwithoutpermission,andgave
EisensteindocumentsincludingquestionsWife'sattorneyhadpreparedfordirectexamination
• EisensteindidnotproducethedocumentsreceivedfromWife'semail,untilgivingthemtoopposingcounselasexhibitsduringtrial
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ConsequencesinEisenstein
• Eisensteinwasfoundtohaveusedimproperlyobtainedinformation(violatingRule4-4.4)andconcealingdocumentswithevidentiaryvalue(violatingRule4-3.4)
• Eisensteinreceivedanindefinite(minimum6month)suspension
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ImproperAccess– Rule4-4.4(a)
• Inrepresentingaclient,alawyershallnotusemeansthathavenosubstantialpurposeotherthantoembarrass,delay,orburdenathirdperson,orusemethodsofobtainingevidencethatviolatethelegalrightsofsuchaperson.
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WhyImproper
• Illegal– maybeincriminatingclient– Evidencemaybebarred– Lawyermaybedisqualified
• Permitted– mayusedocuments
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Operations,BillingandCollecting
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PracticeManagementSoftware
• Mattermanagement– Documentscreation/management– Timekeeping– Tasks
• Practicemanagement– Billingandinvoicing– Calendar– Communication
PracticeManagementOptions
• AbacusLaw• Clio• MyCase• ProLaw• RocketMatter• TabsIII
• TimeMatters• Worlddox
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http://bit.ly/2uZ6plY
WhyPracticeManagementSoftware?
• Mattercreation• Conflictchecks• Calendaring• Contacts• Documentmanagement(cloud)
– Clientportal
• Timekeepingandbilling• Communications– tasks,email, andmore
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Clio
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Invoicing
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BasicRuleonHandlingFundsPaidforLegalServices
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PaymentPayment Payment
TrustAccount
OperatingAccount
FeeEarnedWorkstarts
Receivingfunds
MethodofPayment ActualReceiptofFunds
RiskofUnilateralCancelationorWithdrawal
Amountreceived
Cash Immediate None Amountpaid
Check
Minimumofseveraldaysanduptotwoweeks,*presumingnoattemptto"stop
payment"
None
(afterfundsarereceived)
Amountpaid
CreditCard SeveraldaysConsiderable– oftenforsixmonths(or
more)
Amountpaidlessfees
ElectronicFundTransfer Immediate None Amountpaid
CreditCards• Paymentsafter earned– Fundstointooperatingaccount– Allfeesand"chargebacks" (canceledpayments)comeoutofoperatingaccount
• Paymentinadvance(before earned)– Fundsgointotrustaccount– Whataboutfeesand"chargebacks" (canceledpayments)?
• Lawyerspecificprocessing:cansettocomeoutofoperatingaccount
• Non-lawyerspecific:havetomanageanotherway.Myadvice:TOODANGEROUS,DON'TDOIT)
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AccountingSystem
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PayrollSystem
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