Khodaverdian Sierra_GRADED_ Ethics Assignment #1
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University of California, Berkeley *
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Course
201
Subject
Law
Date
Apr 26, 2024
Type
docx
Pages
6
Uploaded by sierralyssa
I.
Confidentiality of information regarding the ring.
Rule 1.6: Confidentiality of Information
A.
A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).
B.
A lawyer may reveal information relating to the representation of a client to the extent the lawyer reasonably believes necessary:
1.
to prevent reasonably certain death or substantial bodily harm;
2.
to prevent the client from committing a crime or fraud that is reasonably certain to result in substantial injury to the financial interests or property of another and in furtherance of which the client has used or is using the lawyer's services;
3.
to prevent, mitigate or rectify substantial injury to the financial interests or property of another that is reasonably certain to result or has resulted from the client's commission of a crime or fraud in furtherance of which the client has used the lawyer's services;
4.
to secure legal advice about the lawyer's compliance with these Rules;
5.
to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based
upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client;
6.
to comply with other law or a court order; or
7.
to detect and resolve conflicts of interest arising from the lawyer’s
change of employment or from changes in the composition or ownership of a firm, but only if the revealed information would not
compromise the attorney-client privilege or otherwise prejudice the
client.
C.
A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.
The ring: Confidential communication under Model Rule 1.6 between lawyer and client
regarding past crime.
It is likely that Lisa acted appropriately ethically when she did not tell the police officer anything about the ring because the information she received would be protected as a confidential communications
under Model Rule 1.6
.
The information was obtained by between Lisa, Dolly’s lawyer
,
and client as it relates
related
to the Dolly’s representation. At the time Dolly provided the information Lisa had already agreed to represent her
.
T
t
hus
,
establishing a lawyer-client relationship between the two
existed
. Under this agreement Dolly told Lisa about past crimes she had committed and her lapse in memory. Accordingly, disclosure of such information would reveal confidential communications because Dolly did not give informed or implied consent for Lisa to disclose any pertinent of the information. One may argue that an exception applies, and Lisa should could have disclosed the information since because it would help rectify substantial injury to the financial interests or property of the victim
.
H
h
owever, Dolly’s crime was a past act that occurred before Lisa provided any services to Dolly. Thus, it is likely that Lisa did not violate 1.6 and acted appropriately when she did not disclose anything to the officer.
Other possible rules: 4.1 and 1.2(d)
Rule 4.1: Truthfulness in Statements to Others
Transactions With Persons Other Than Clients
In the course of representing a client a lawyer shall not knowingly:
(a) make a false statement of material fact or law to a third person; or
(b) fail to disclose a material fact to a third person when disclosure is necessary to avoid assisting
a criminal or fraudulent act by a client, unless disclosure is prohibited by Rule 1.6.
It is likely that Lisa would not have been
was not
obligated under 4.1
to provide the officer with
any information that he discovered regarding the ring that he discovered under 4.1
. While Lisa is
required to be truthful when dealing with others on a client’s behalf, she has no affirmative duty
to inform an officer about her client’s case
opposing party of relevant facts
. Thus,
thus
there is no
reason for her to have responded with information about the ring and her refusal to do so is was
warranted. One may argue that Lisa failed to disclose a material fact regarding the ring which
assisted Dolly in her criminal act. However, this argument is weak because she was not hiding or
concealing the stolen property but rather was just trying to verify Dolly’s story. Further, the
officer was able to find the ring on his own and retain possession of it thus there was no
assistance in Dolly’s criminal act by Lisa since the ring was ultimately found
. Ultimately, it is
likely that Lisa did not violate 4.1 when she did not disclose anything to the officer.
Rule 1.2: Scope of Representation & Allocation of Authority Between Client & Lawyer
1.2(d) A lawyer shall not counsel a client to engage, or assist a client, in conduct that the lawyer
knows is criminal or fraudulent, but a lawyer may discuss the legal consequences of any
proposed course of conduct with a client and may counsel or assist a client to make a good faith
effort to determine the validity, scope, meaning or application of the law.
It is likely that Lisa would not have been
was not
obligated to provide the officer with any information regarding the ring under 1.2 (d) because she is merely investigating what Dolly told her
. Dolly told Lisa that when she entered the jail, she threw the ring into a trash can by the jail’s
front door. Lisa did not counsel or assist Dolly in committing a crime
. R
but r
ather
, she
cho
o
se to
verify whether what she was told the information was actually true. One may argue that Lisa was
obligated to tell the officer any information she knew about the ring because otherwise she would be assisting Dolly with her crime. However, this argument fails as
would fail because
Lisa did not counsel Dolly to hide or get rid of the ring nor did she assist in the concealment of the ring. Accordingly, it is likely that Lisa did not violate 1.2(d) when she did not disclose anything to the officer.
II.
Confidentiality of information under Model Rule 1.6 regarding the shirt.
See Above for Rule
Confidential communication under Model Rule 1.6 and Lisa has counseled Dolly not to destroy evidence.
It is likely that Lisa should could have disclosed information to the law enforcement official about the sweatshirt
, which Dolly tore into strips
,
because of
under one of
the exception
s
to 1.6.
Dolly communicated confidential information to L when she
told Lisa that she had hidden the stolen sweatshirt in her cell which was only occupied by her
. Lisa acted in compliance with her ethical obli
gations because she did not counsel her to conceal or destroy evidence, instead she advised her to do nothing else to hide or destroy evidence to which Dolly agreed. Although this was a confidential communication between the two
,
an exception 1.6(b)(1) applies and exists for Lisa to disclose and thus 1.6 would not be in violat
violation of MR 1.6 if she disclosed the information. ed.
Exception to Rule 1.6 allowing Lisa to disclose?
If you had not provided the rule abov
e, this is where you would include the 1.6(b)(1) exception.
It is likely that Lisa should have disclosed information regarding the sweater because doing so would potentially prevent serious bodily harm or certain death (1.6 (b)(1)). Lisa is was aware that Dolly is unstable because
,
this is supported by the fact that Dolly admit
ted that she
s
used
to
using
a weapon (
Swiss army knife ) during the attack but yet she does
did
not remember harming the victim due to (she states she has amnesia
)
. In addition, Dolly discloses disclosed that she tore
the sweatshirt into strips which she planned to burn. These facts support the belief that Dolly would harm the cellmate. The harm to the cellmate would be imminent because
Accordingly, there is uncertainty surrounding whether Dolly poses a threat to others and
Lisa had overheard from the guard sitting at the front desk
stating
that a cellmate would be coming in the morning.
On balance, Thus, her
Lisa’s
knowledge of Dolly’s mental state, as well as this new variable, and along with Dolly’s statement about burning the sweatshirt is a cause for concern would give Lisa
grounds to reveal the information .
Accordingly, Lisa would not violate 1.6 and should have told the appropriate law enforcement officer about the Sweatshirt as a precautionary measure to
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prevent serious bodily harm or death to the incoming cellmate.
1.2 (d) See above for rule
It is likely that Lisa did not violate 1.2 because she did
by
not disclos
ing
e
information regarding the sweater. Rather than counseling Dolly to engage in the concealment of her crimes or assisting those crimes
,
Lisa specifically instructed her Dolly to do nothing else to hide or destroy the evidence. Although one may argue that Dolly is mentally unstable and Lisa could not trust Dolly to listen to her Lisa actively told her not to participate in anymore illegal actions. Thus, 1.2
was not violated.
III.
Lisa’s responsibility under Model Rule 5.1 for Abby’s violation of confidentiality and under Model Rule 5.3 for Ian’s violation of confidentiality. Lisa’s responsibility under Model Rule 5.1.
Rule 5.1: Responsibilities of a Partner or Supervisory Lawyer
Law Firms And Associations
(a) A partner in a law firm, and a lawyer who individually or together with other lawyers
possesses comparable managerial authority in a law firm, shall make reasonable efforts to ensure
that the firm has in effect measures giving reasonable assurance that all lawyers in the firm
conform to the Rules of Professional Conduct.
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable
efforts to ensure that the other lawyer conforms to the Rules of Professional Conduct.
(c) A lawyer shall be responsible for another lawyer's violation of the Rules of Professional
Conduct if:
(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law firm in which the
other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of
the conduct at a time when its consequences can be avoided or mitigated but fails to take
reasonable remedial action.
Lisa may be responsible under Model Rule 5.1 for Abby’s violation of confidentiality because she did not take reasonable measures to ensure compliance. It appears that the responsibility for supervising Abby falls to Lisa alone. Lisa seems to run a small firm and the only other attorney
is Abby, her associate. . Because an attorney can share confidential information with other attorneys in the firm Lisa did not violate 1.6 by instructing Abby, her associate, to research defenses based on Dolly’s claim that she experienced amnesia. Lisa should have reiterated reminded Abby that any information disclosed about clients is confidential and should not be repeated to other individuals. Lisa will argue that she is not responsible because she did not know of the conduct at the time when it’s consequences could be avoided or mitigated since she had no knowledge about Abby’s interaction with her best friend and the disclosure. Further, Lisa will argue that they have had a long-standing relationship and that since Lisa Abby is her only associate attorney, she is aware of the confidentiality rules because she herself must abide by the same model rules. In addition, Lisa will argue that since it is a small firm
, such
extreme compliance measures aren’t necessary and that her informal supervision and periodic compliance
review
s are sufficient
suffices to support that she did not violate 5.1
. However, one may argue that Lisa should not assume that Abby will conform to the rules and that a basic warning war required. . Lisa will argue that she is not responsible for Abby’s violations because she did not know
about Abby’s disclosure
at the time when it’s consequences could be avoided or mitigated
.
Ultimately, it seems that Lisa may have violated 5.1 because she did not ensure that there are reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that all lawyers in the firm will conform to the rules of professional conduct.
Lisa’s responsibility under Model Rule 5.3.
Rule 5.3: Responsibilities Regarding Nonlawyer Assistance
Law Firms and Associations
With respect to a nonlawyer employed or retained by or associated with a lawyer:
(a) a partner, and a lawyer who individually or together with other lawyers possesses comparable
managerial authority in a law firm shall make reasonable efforts to ensure that the firm has in
effect measures giving reasonable assurance that the person's conduct is compatible with the
professional obligations of the lawyer;
(b) a lawyer having direct supervisory authority over the nonlawyer shall make reasonable
efforts to ensure that the person's conduct is compatible with the professional obligations of the
lawyer; and
(c) a lawyer shall be responsible for conduct of such a person that would be a violation of the
Rules of Professional Conduct if engaged in by a lawyer if:
(1) the lawyer orders or, with the knowledge of the specific conduct, ratifies the conduct
involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law firm in which the
person is employed, or has direct supervisory authority over the person, and knows of the
conduct at a time when its consequences can be avoided or mitigated but fails to take reasonable
remedial action.
It is likely that Lisa is responsible under
violated 5.3 because she should have warned Ian to keep
information confidential
. As noted above, it appears that the responsibility for supervising Ian
falls to Lisa alone and I
i
t is unclear whether she has implemented any measures to keep
employees in compliance. While Lisa felt comfortable enough to disclose her concerns regarding
Dolly and what Dolly had done with the ring and sweatshirt to Ian, her longtime investigator
,
she
should have reinforced that such information should not be repeated. Further, Lisa did not ask
Ian to investigate anything related to Dolly
.
but
R
r
ather
, she
instructed him to check on her. Lisa
may argue that she is did not responsible under
violate 5.3 and did not provide a warning because
while she did not say anything about Ian keeping the information to himself, they have had a
long-standing relationship and that she fully trusted that he would keep the information
confidential. However, Lisa’s argument is weak because she must give assistants appropriate
instruction and supervision concerning the ethical aspects of their employment, particularly
regarding the obligation not to disclose information relating to representation of the client and
should be responsible for their work product
. The facts do not say much as to what compliance
protocols Lisa implemented within the office. Further after her disclosure she did not say
anything about Ian keeping the information to himself which is concerning because Lisa should
have considered the fact that Ian does not have legal training and is not subject to professional
discipline. Accordingly, Lisa has violated 5.3. Good – did she order or ratify the conduct? Did
she know about the conduct?
Sierra - Nice effort on this answer. You have discussed many of the key issues, followed the IRAC format, and referenced precise facts in the analysis sections. I noted above where you could have addressed a counter. I noted above a few places where you could have expanded the analysis. Also, when possible, use “because” to connect the element to the fact (e.g., The information is confidential because…..insert fact…. OR Lisa believed the harm was imminent because….insert fact….). Keep up the good effort. SCORE: 8/10
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