Legal Ethics and Professional Responsibility for Lawyers
Introduction ........................................................................................................................ 1
Background ......................................................................................................................... 2
ABA Model Standards ......................................................................................................... 2
ABA Ethics Opinions ............................................................................................................ 4
State Professional Responsibility Standards ....................................................................... 5
New York Professional Responsibility Standards................................................................ 5
State Ethics Opinions .......................................................................................................... 6
New York Ethics Opinions ................................................................................................... 6
State Disciplinary Proceedings ............................................................................................ 8
New York State Disciplinary Proceedings ........................................................................... 8
Legislative History ............................................................................................................... 9
Journals and Law Reviews................................................................................................... 9
Blogs .................................................................................................................................. 10
Introduction
Researching legal ethics and professional responsibility for lawyers requires familiarity
with resources beyond case law and statutes. A significant part of the research process
deals with the rules of lawyer conduct adopted by each state and the American Bar
Association model standards on which many of those rules are based.
Every state has adopted rules governing lawyer conduct and every state has adopted
some form of disciplinary authority to enforce those rules. Additionally, almost every
state has bar associations that issue ethics opinions to aid in the interpretation of those
rules. Depending on the jurisdiction, ethics opinions may be advisory, persuasive or
binding in nature.1
In almost every state, the rules governing lawyer conduct are based on model standards
drafted by the American Bar Association. The American Bar Association remains active
in shaping the standards of lawyer conduct by issuing ethics opinions interpreting the
rules.
This guide is designed to give you an overview of print and online resources relevant to
legal ethics and professional responsibility research, particularly with regards to ABA
and state ethics rules, opinions and disciplinary proceedings.
1
Peter A. Joy, Making Ethics Opinions Meaningful: Toward More Effective Regulation of Lawyers’
Conduct, 15 GEO. J. LEGAL ETHICS 313, 318 (2002)
1
Background
For background on ethics and professional responsibility for lawyers or for help getting
started, take a look at the following recommended treatises:
The Law of Lawyering/ by Geoffrey C. Hazard, Jr. and W. William Hodes:
KF306 .H33 Law Reserve
Modern Legal Ethics/ by Charles Wolfram: KF306 .W59 Law Reserve
Understanding Lawyer’s Ethics/ by Monroe Freedman and Abbe Smith: KF306
.F76 Law Reserve
Additionally, the ABA/BNA Lawyer’s Manual on Professional Conduct is a good research
and reference tool. It includes: the ABA Model Standards and the full text of ABA ethics
opinions; a guide to state ethics rules; practice guides; a digest of state ethics opinions;
and Current Reports. The Current Reports are issued biweekly and include news and
reports of recent court decisions, disciplinary proceedings and ethics opinions. The
ABA/BNA Lawyer’s Manual on Professional Conduct is available online at:
http://lawyersmanual.bna.com (available to the Hofstra Law community only).
ABA Model Standards
Beginning with the 1908 Canons of Ethics, the American Bar Association has provided
ethics guidance through the adoption of professional standards. Since that time, the
standards have gone through two subsequent versions. In 1969, the Canons of Ethics
were replaced by the Model Code of Professional Responsibility, and thereafter by the
Model Rules of Professional Conduct in 1983. 2
The ABA model standards themselves are not enforceable; however, almost every state
court has adopted a form of the model standards (codes or rules). Most states have
adopted the format of the Model Rules of Professional Conduct.
Print Sources:
ABA Compendium of Professional Responsibility Rules and Standards:
KF305.A3 Law Reserve
Includes the Model Rules of Professional Conduct, the Model Code of
Professional Responsibility and the Model Code of Judicial Conduct. Also
2
American Bar Association Center for Professional Responsibility, ABA Model Rules of Professional
Conduct, http://www.abanet.org/cpr/mrpc/model_rules.html (last visited December January 6, 2011)
2
includes selected Federal Rules and Standards and selected ABA Ethics Opinions.
The library keeps the current edition on reserve and previous editions in the
classified section.
Annotated Model Rules of Professional Conduct: KF305.A6 Law Reserve
The library keeps the current edition on reserve and previous editions in the
classified section.
Model Rules of Professional Conduct: KF306.A4 Law Reserve
The library keeps the current edition on reserve and previous editions in the
classified section.
Professional Responsibility Standards, Rules and Statutes/by John S.
Dzienkowski: KF305.A29 S45 Law Reserve
Includes the Model Rules of Professional Conduct, the Model Code of
Professional Responsibility and the Model Code of Judicial Conduct.
Regulation of Lawyers: Statutes and Standards/by Stephen Gillers and Roy D.
Simon: KF306.A4 G554 Law Reserve
Includes the Model Rules of Professional Conduct, the Model Code of
Professional Responsibility and the Model Code of Judicial Conduct. Also
includes commentary, legislative history, and selected state standards. The
library keeps the current edition on reserve and previous editions in the
classified section.
Online Sources:
ABA Center for Professional Responsibility (free on the web)
http://www.abanet.org/cpr/professionalism/home.html
Includes the full text of the Model Rules of Professional Conduct and the Model
Code of Professional Responsibility. Also contains state adoption information
and legislative history for the Model Rules.
ABA/BNA Lawyer’s Manual on Professional Conduct (available to the Hofstra
Law Community only)
http://lawyersmanual.bna.com
Includes the Model Rules of Professional Conduct, the Model Code of
Professional Responsibility and the Model Code of Judicial Conduct. Also
includes the full text of ABA ethics opinions, a guide to state ethics rules, practice
guides, a digest of state ethics opinions and current reports.
Cornell University Legal Information Institute (free on the web)
http://www.law.cornell.edu/ethics/aba
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Lexis (requires a Lexis password)
http://www.lexisnexis.com/lawschool
Model Rules of Professional Conduct may be found by following the path:
“Lexis- Legal > Area of Law - By Topic > Ethics > Find Statutes & Rules > ABA
Model Rules of Professional Conduct and Code of Judicial Conduct.”
Westlaw (requires a Westlaw password)
http://lawschool.westlaw.com
Use the ABA-MRPC database identifier to find Model Rules of Professional
Conduct and Commentary.
ABA Ethics Opinions
The ABA Standing Committee on Ethics and Professional Responsibility issues ethics
opinions interpreting the Model Rules of Professional Conduct (or the Model Code of
Professional Responsibility if it is an older ethics opinion). The ethics opinions are not
binding, but may be considered persuasive authority.
Print Sources:
Recent Ethics Opinions: KF305.A2 Law Reserve
Loose-leaf service published by the ABA.
Online Sources:
ABA/BNA Lawyer’s Manual on Professional Conduct (available to the Hofstra
Law Community only)
http://lawyersmanual.bna.com
Contains the full text of ABA ethics opinions and indexes organized by subject
and jurisdiction. You may also search the full text of the opinions.
Lexis (requires a Lexis password)
www.lexisnexis.com/lawschool
ABA Ethics opinions may be found by following the path:
“Legal > Area of Law - By Topic > Ethics > Find Statutes & Rules > ABA Codes &
Ethics Opinions Combined”. Coverage begins in 1959.
Westlaw (requires a Westlaw password)
http://lawschool.westlaw.com
Use the ABA-ETHOP database identifier to find the full text of ABA ethics
opinions. Coverage for formal opinions begins in 1924 and informal opinions
begin in 1961.
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State Professional Responsibility Standards
The ABA Model standards are not enforceable as law; they serve as models for state
adoption. Generally, they are found within the state’s codified statutes or within the
court rules. Most states have adopted some form of the Model Rules of Professional
Conduct. The ABA Center for Professional Responsibility has a chart indicating the dates
on which the states adopted the Model Rules. The chart can be found here:
http://www.abanet.org/cpr/mrpc/alpha_states.html.
Online Resources:
ABA Center for Professional Responsibility (free on the web)
www.abanet.org/cpr/links.html
Provides links to state ethics codes.
American Legal Ethics Library from Cornell’s Legal Information Institute (free
on the web)
http://www.law.cornell.edu/ethics/listing.html
Provides links to state ethics codes.
Westlaw (requires Westlaw password)
http://lawschool.westlaw.com
Includes databases for state professional responsibility standards. The database
identifiers are XX-RULES (with XX as the state's postal abbreviation). Note that
within these databases the professional responsibility standards are mixed in
with other court rules. Westlaw also offers a “50 State Statutory Survey.” This
document lists the relevant statutory sections for state professional
responsibility standards. To access the survey, use the database SURVEYS and
enter the search string “professional /s responsibility conduct” in the search box.
New York Professional Responsibility Standards
Regulation of New York Lawyers is governed by the New York Rules of Professional
Conduct. The Disciplinary Rules have been adopted as joint rules by the Appellate
Divisions and are codified at 22 NYCRR Part 1200.
Print Sources:
McKinney’s Consolidated Rules of New York (Book 29, Appendix):
KFN5030.A234 Law Reading Room
New York Consolidated Laws Service (Volume 19B, Judiciary Law Appendix):
KFN5030.A46 Law Reading Room
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Online Sources
New York State Bar Association (free on the web)
http://www.nysba.org/Content/NavigationMenu/ForAttorneys/ProfessionalStan
dardsforAttorneys/NYRulesofProfessionalConduct4109.pdf
State Ethics Opinions
The publication of state ethics opinions varies and depends largely on the entity issuing
the opinion. The availability of full-text opinions may be limited in certain states.
Print Sources:
National Reporter on Legal Ethics and Professional Responsibility: KF308.A6
N38 Law Reserve
Contains the full text of selected state ethics opinions.
Online Sources:
ABA Center for Professional Responsibility (free on the web)
www.abanet.org/cpr/links.html
Provides links to several state ethics opinions web sites.
ABA/BNA Lawyers Manual on Professional Conduct (available to the Hofstra
Law Community only)
http://lawyersmanual.bna.com
Contains summaries of state ethics opinions.
Lexis (requires a Lexis password)
www.lexisnexis.com/lawschool
The National Reporter on Legal Ethics and Professional Responsibility is available
on the Lexis web site. It may be found by following the path: Legal > Area of
Law - By Topic > Ethics > Search Legal Ethics Opinions > National Reporter Ethics
Opinions > National Reporter on Legal Ethics and Professional Responsibility.
New York Ethics Opinions
Several New York bar association ethics committees issues ethics opinions in response
to inquiries from attorneys regarding interpretation of the Code of Professional
Responsibility. The ethics opinions concern proposed attorney conduct and are advisory
only. The full text of many ethics opinions can be found on the bar association websites.
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Print Sources:
Opinions / Committee on Professional Ethics: KFN5076.5.A2 Law Reserve
Loose-leaf service containing the ethics opinions of the Committees on
Professional Ethics of the Association of the Bar of the City of New York, the New
York County Lawyers’ Association, and the New York State Bar Association.
Online Sources:
Association of the Bar of the City of New York Committee on Professional
Ethics
http://www.abcny.org/nycbar/index.php/ethics/ethics-opinions-local
Includes full text of every ethics opinion issued by the ABCNY since 1986.
New York County Lawyer’s Association Committee on Professional Ethics
http://www.nycla.org/index.cfm?section=News_AND_Publications&page=Ethics
_Opinions
Includes the full text of every ethics opinion issued by the NYCLA since 1912.
New York State Bar Association Committee on Professional Ethics
http://www.nysba.org/AM/Template.cfm?Section=Ethics_Opinions&Template=/
TaggedPage/TaggedPageDisplay.cfm&TPLID=7&ContentID=10406
Includes the full text of every ethics opinion issued by the NYSBA.
Lexis (requires a Lexis password)
www.lexisnexis.com/lawschool
The National Reporter on Legal Ethics and Professional Responsibility for New
York opinions is available on the Lexis web site. It may be found by following the
path: Legal > Area of Law - By Topic > Ethics > Search Legal Ethics Opinions >
National Reporter Ethics Opinions > National Reporter on Legal Ethics and Prof.
Responsibility - NY Opinions.
Lexis also contains the New York State Bar Association and Association of the Bar
of the City of New York ethics opinions. They may be found by following the
path: Legal > Area of Law - By Topic > Ethics > Search Legal Ethics Opinions > By
State > New York.
Westlaw (requires Westlaw password)
http://lawschool.westlaw.com
Use the NYETH-EO database identifier to find the full text of New York State Bar
Association, Association of the Bar of the City of New York, New York Advisory
Committee on Judicial Ethics, and New York County Lawyers' Association ethics
opinions. Coverage for opinions varies for each association.
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State Disciplinary Proceedings
The procedures for lawyer disciplinary proceedings vary by state, as do the publication
of those proceedings. Many jurisdictions publish reports of the proceedings in the
state’s bar journal and some publish opinions from these proceedings.
Online Sources:
National Organization of the Bar Counsel Bar Associations and Disciplinary
Authorities (free on the web)
http://www.nobc.org/Bar_Associations_and_Disciplinary_Authorities.aspx
Provides links to bar associations and disciplinary authorities.
Westlaw (requires a Westlaw password)
http://lawschool.westlaw.com
Attorney disciplinary proceedings for a few states are available through Westlaw.
These states include: Arizona (database identifier AZETH-DISP); Colorado
(database identifier COETH-DISP); Illinois (database identifier ILETH-DISP);
Massachusetts (MAETH-DISP); and Virginia (database identifier VAETH-DISP).
New York State Disciplinary Proceedings
In New York, the Appellate Division of the State Supreme Court and its appointed
grievance committees handle the discipline of attorneys. When a complaint about an
attorney is received by a grievance committee, the committee conducts an investigation
or refers it to a county bar association for investigation.3 If the committee finds that the
attorneys conduct was improper, the committee may refer the matter to the Appellate
Division for disciplinary proceedings. Disciplinary proceedings from the Appellate
Division are reported, and thus may be found in the New York Law Reports.
Print Sources:
New York Law Reports: KFN5045 .A35 Reading Room
Disciplinary proceedings from the Appellate Division are reported as cases in the
New York Law Reports.
New York Law Journal: K14 .E9450 Law Reserve
The New York Law Journal publishes reports of disciplinary proceedings for the
Appellate Division First and Second Judicial Departments.
3
New York State Bar Association, A Guide to Attorney Disciplinary Procedures in New York State,
http://www.nysba.org/AM/Template.cfm?Section=Public_Resources&TEMPLATE=/CM/ContentDisplay.
cfm&CONTENTID=20488 (last visited January 6, 2011)
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Online Sources:
Appellate Division, Third Judicial Department
http://decisions.courts.state.ny.us/ad3/CalendarPages/netcal.htm
The Third Judicial Department website lists attorney disciplinary decisions
separately from the regular decisions. To find attorney disciplinary decisions,
click on the “Decisions” link on the desired calendar date. If there are Attorney
Disciplinary decisions for that day, they will be listed after the Opinions and
Memorandum Decisions.
Appellate Division, Fourth Judicial Department
http://www.nycourts.gov/ad4/court/decision.htm
The Fourth Judicial Department lists decisions in attorney disciplinary matters
separately.
Legislative History
To assist with interpretation of the rules, you may wish to consult the legislative history.
A Legislative History: The Development of the ABA Model Rules of Professional
Conduct, 1982-2005 ( KF306 .L45 2006 Law Classified) provides summaries of the
legislative actions which shaped the development of the ABA Model Rules of
Professional Conduct.
Journals and Law Reviews
There are several journals and law reviews dedicated to ethics and professional
responsibility. In addition, Lexis and Westlaw offers a database of consisting of ethics
related journals and law reviews.
Print sources:
Criminal Justice Ethics: K3 .R480 Law Periodicals
Georgetown Journal of Legal Ethics: K7 .E566 Law Periodicals
Journal of the Legal Profession: K10 .O764 Law Periodicals
Notre Dame Journal of Law, Ethics and Public Policy: K14 .O77 Law Periodicals
The Professional Lawyer: K16 .R588 Law Periodicals
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Online Sources:
Lexis (requires a Lexis password)
www.lexisnexis.com/lawschool
Lexis allows you to search a database containing combined legal ethics
periodicals. To find the database, follow the path: Legal > Area of Law - By
Topic > Ethics > Search Analysis, Law Reviews & Journals > Legal Ethics Law
Review Articles, Combined.
Westlaw (requires a Westlaw password)
http://lawschool.westlaw.com
Westlaw allows you to search a database of combined legal ethics periodicals
and bar journals. Use the ETH-TP database identifier.
Blogs
There are a few blogs dedicated to legal ethics and professional responsibility. Blogs are
particularly useful for keeping up with news and recent opinions and decisions.
Legal Ethics Forum
http://legalethicsforum.typepad.com/blog/
Discusses news and recent decisions. Authored by several law professors.
Legalethics.com
http://www.legalethics.com/
Discusses news and recent decisions related to ethical issues related to the use
of technology by legal professionals. Authored by law professors.
Yasmin Alexander, 9/2009
Updated by Shikha Gupta, 4/2011
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