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Ethics and Professional Responsibility

Before you begin...

Rules of Conduct

To conduct research in legal ethics and professional responsibility, you have to synthesize material from a variety of sources, some of which may be unfamiliar. Typically, the ethical responsibilities of an attorney begin with the rules of conduct passed by the state's supreme court. These rules are often proposed to the court by the state bar association and modeled after the ABA's Model Rules of Professional Conduct. This creates a somewhat unusual (and questionable) relationship between the bar association and the courts. The influence and role of a state bar association can depend on whether it is "integrated" (meaning membership is mandatory) or not. Even in states where membership in the bar association is not required, the state courts and the bar association are often closely allied.

Disciplinary Decisions

The state courts -- and almost universally the state supreme courts -- enforce these rules as well. In fact, most state supreme courts have declared exclusive jurisdiction over attorney discipline under the rules of conduct, not allowing for legislative or executive action. Complaints are typically filed with and prosecuted by a disciplinary arm of the court. The court itself renders the decision. For research purposes, this enforcement gives rise to case law interpreting and applying the rules. Federal courts also have disciplinary jurisdiction over the attorneys who appear before them, but the federal courts have been much less adamant that this jurisdiction is exclusive.

Ethics Opinions

Ethics opinions are another research source. Ethics opinions are issued by bar associations -- national, state, and local. They are not binding on the courts but may be of interest to researchers. Some ethics opinions may be deemed "formal" opinions while others are "informal." While this designation may mean different things in different jurisdictions, in Indiana, a formal ethics opinion addresses a question of first impression while an informal opinion addresses a settled issue. Much like judicial opinions, ethics opinions vary in quality and content.   

Other Topics

There are many pressing issues in attorney discipline: the exclusive jurisdiction of the courts, the wisdom of self-regulation, public access to complaints and hearings, the lack of input by non-lawyers. It is also important to realize that other mechanisms are used to discipline attorneys too. These include malpractice verdicts, contempt sanctions, and fee awards. Bar admission standards and the structure of legal education are other topics that arise when looking into professional responsibility.