No Attorney Stands Alone Recognizing the Complexities of Law Firm Operations | Justia Webinars

Running a law practice is much different than lawyering and includes the entire law firm enterprise. Whether you are a solo practitioner operating your practice with minimal support staff, or an attorney practicing in an international mega law firm, compliance with Rules 1.6(c), 5.1, 5.2, 5.3 and 8.4(a) of the Model Rules of Professional Conduct is prevalent in both settings as are the legal malpractice and attorney disciplinary exposures. In this program, we will consider our obligations under the Model Rules and also take a look at these exposures from a broad perspective, focusing on junior associates, interns/externs, law firm support staff, outside vendors and the emerging enigma of artificial intelligence.

Learning Objectives:

Identify the range of internal and external contributors to law firm operations & understand how various roles, from attorneys to vendors, impact legal service delivery and malpractice exposure.
Recognize common malpractice risks associated with inadequate supervision and vendor management & learn how failures in oversight, training, and contract review can lead to ethical violations and liability.
Apply ABA Model Rules and ethics opinions to real-world scenarios involving support staff and technology & explore how legal professionals must supervise nonlawyers and responsibly integrate technology like AI into practice.
Implement risk control strategies to mitigate exposure and enhance operational efficiency & develop actionable steps for training, communication, and vendor oversight to reduce malpractice risks.

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00:00 Introduction
05:04 Mapping the Legal Universe
12:01 Supervisory Responsibilities and Ethical Conduct
37:54 Legal Support Staff and Risk Management
51:58 External Vendors and Technology Considerations

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Agenda

Introduction
Welcome, objectives, and framing the issue
Quote: “No attorney is an island” & explanation
Importance of collaboration and risk awareness

Mapping the Legal Universe
Cast of characters in a law firm
Internal vs. external contributors
Identifying potential exposures
Risks: incompetence, data access, confidentiality

Supervisory Responsibilities & Ethics
ABA Model Rule 5.1, 5.2, 5.3, 8.4(a) and 1.6(c)
Lawyer responsibilities for nonlawyer conduct
Consequences of poor supervision
Case example: NJ attorney suspension

Risk Control Recommendations
Training, vetting, and contract review
Encouraging communication
Role of support staff in risk avoidance

Ethics Opinions & Support Staff Oversight
ABA and state-specific ethics opinions
Support staff as gatekeepers
Managing workload and client complaints

Internal Malpractice Case Studies
JPMorgan $1.5B error
Paralegal forging court orders
Lessons learned and accountability

Culture & Communication
Creating a supportive environment
Educating attorneys and staff
Risk control resources

Vendor Management & Ethics
Outsourcing risks and ethics opinions
Vendor failures (e.g., process server case)
Recommendations: consent, monitoring, confidentiality

Technology & AI in Legal Practice
Ethics opinions on tech use
ABA Model Rule 1.1 and tech competence
AI & ChatGPT: risks, supervision, client consent
AI case examples and headlines

Resources & Closing
Resources
Final thoughts and Q&A


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Speaker




Tracy L. Kepler
Director of Risk Control Consulting
CNA's Lawyers Insurance Program
https://connect.justia.com/webinars/s...


Tracy L. Kepler is the Director of Risk Control for CNA’s Lawyers’ Insurance Program. In this role, she leads the lawyers’ professional liability team, is accountable for business results through delivery of risk control services and designs and develops content and distribution of risk control initiatives relevant to the practice of law. Tracy reviews and directs the evaluation and assessment of loss exposures and the application of risk control policies, guidelines, regulations, and drives the resolution of risk control issues and problems. She also collaborates with the underwriting and claims teams to develop and execute strategies for the profitable growth of the program.

Tracy lectures frequently at CNA-sponsored events and at state and local bar associations and national seminars hosted by industry-leading organizations. She also writes articles focusing on law firm risk control and professional responsibility issues.



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