TLIE Top Tip: New Rule 5.01 Requirements for Managing and Supervisory Lawyers
TLIE Top TipsThe recently-adopted changes to Texas Disciplinary Rule of Professional Conduct 5.01 impose new requirements on lawyers regarding their oversight of other lawyers.
First, lawyers with managerial authority must now “make reasonable efforts to ensure that the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to these Rules.” In essence, managerial lawyers must implement policies and procedures designed to provide assurance that all lawyers in the firm conform with the TDRPC. Those identified in the comments include those designed to:
- detect and resolve conflicts of interest,
- identify dates by which actions must be taken in pending matters,
- account for client funds and property, and
- ensure that inexperienced lawyers are properly supervised.
See Rule 5.01 cmt. 1. Lawyers with managerial responsibilities over less than the whole firm (e.g., one office, one practice group, etc.) – satisfy this requirement if the firm has designated a managing lawyer or management committee charged with that responsibility. See id. cmt. 3. Regardless, if you are an attorney with direct supervisory authority, you must make reasonable efforts to ensure that lawyers you supervise comply with the TDRPC.
Second, the new version of Rule 5.01 states that a lawyer, even if not a manager or supervisor, is personally responsible for another lawyer’s conduct when the lawyer orders or ratifies the conduct involved. Ratification is context-specific, but Comment 4 says that ratification generally is “encouraging, knowingly permitting, or knowingly failing to take reasonable remedial action to avoid or mitigate the consequences of the other lawyer’s violation.”
These changes require managing attorneys to implement policies and procedures to ensure compliance with the TDRPC. TLIE members can email rskmgmt@tlie.org for forms and other resources to assist in your effort.
