MBE Rules · Professional Responsibility
Supervisory and Subordinate Lawyers
Cal. Rules 5.1-5.2
The rule
Managers must ensure firm-wide compliance measures; a supervisor is responsible for another's violation if she ordered, ratified, or failed to mitigate it; subordinates are protected only when following a reasonable resolution of an arguable question.
In plain English
Supervisory lawyers have a duty to ensure that their firm complies with legal and ethical standards. If a supervisor directs or approves a subordinate's misconduct, or fails to take corrective action, they can be held responsible for that violation. Subordinate lawyers are generally protected from liability when they act based on a reasonable interpretation of ambiguous legal issues.
Worked example
A senior partner at a law firm instructs a junior associate to file a motion that the associate believes is unethical. The associate files the motion anyway, and the court sanctions the firm for the misconduct. The senior partner could be held liable because she ordered the action, while the associate may have a defense if the legal question was genuinely arguable.
Memory hook
Supervisors must supervise; otherwise, they share the blame.
The trap
Exams often present scenarios where the line between reasonable and unreasonable actions is blurred, tricking students into misidentifying liability. Students may overlook the nuances of what constitutes a reasonable resolution to an arguable question.
How examiners test it
Questions typically involve a scenario where a subordinate acts under a supervisor's direction, testing the boundaries of responsibility and the reasonableness of the subordinate's actions in ambiguous situations.
Drill this rule until it can't fail you.
Vrenberg generates unlimited questions on this exact rule, tracks your mastery of it, and brings it back until it sticks.
More Professional Responsibility rules
- Duty of Confidentiality · Cal. Bus. & Prof. Code § 6068(e); Rule 1.6
- Client Trust Account — IOLTA · Cal. Rules of Prof. Conduct 1.15
- Duty to Report Misconduct · Cal. Rules of Prof. Conduct 8.3
- Unconscionable Fees · Cal. Rule 1.5
- Fee Division Among Lawyers · Cal. Rule 1.5.1
- Compensation from Third Parties · Cal. Rule 1.8.6