Competence and Diligence Flashcards

A client retains an attorney to negotiate a commercial lease. The attorney has never handled commercial real estate but believes she can learn quickly. She reviews no resources before the first negotiation session and the client loses favorable terms. This conduct most likely violates:

Answer: Rule 1.1, because the attorney lacked sufficient preparation for the representation

Rule 1.1 requires adequate preparation before and during representation; entering negotiations without any preparation in an unfamiliar area violates the competence standard.

The comment to Rule 1.3 states that a lawyer may agree to ordinary working limits, but also warns against:

Answer: Procrastination that causes unnecessary harm or risk

Comment 3 to Rule 1.3 specifically warns that procrastination can cause clients unnecessary harm and anxiety, making it a diligence violation.

A criminal defense attorney fails to investigate an available alibi witness before trial. The defendant is convicted. Which rule is most directly implicated by the failure to investigate?

Answer: Rule 1.1 — competence, including adequate investigation of facts

Rule 1.1 requires thoroughness and preparation, which in criminal defense includes investigating available witnesses and defenses before trial.

A client wants her attorney to handle litigation in a federal district court. The attorney has never appeared in federal court and is unfamiliar with local rules. Under Rule 1.1, what must the attorney do before proceeding?

Answer: Acquire the necessary competence through study, preparation, or association with federal court experienced counsel

Rule 1.1 permits handling unfamiliar matters by acquiring competence through adequate preparation or associating with a lawyer experienced in federal practice.

A lawyer handles an immigration matter and obtains a favorable result for the client. Two years later, the law changes significantly and the client faces new immigration risks related to the same status. The attorney takes no further action because the representation concluded. Which of the following is most accurate?

Answer: Once representation has concluded, the attorney has no further diligence obligation to the client

Diligence obligations apply during the scope of representation; absent an agreement to monitor or an ongoing representation, a concluded matter does not impose continuing duties.

Under the Model Rules, a lawyer who is competent in both labor law and tax law is asked to handle a complex matter that substantially involves both areas. Which statement best reflects the competence standard?

Answer: The lawyer must evaluate whether the combined complexity of the matter falls within the lawyer's actual competence for this specific representation

Competence is evaluated for each specific representation; having expertise in component areas does not automatically ensure competence for the particular combined complexity of a given matter.

A client terminates representation and demands the return of all client files. The attorney refuses to return the files until the client pays outstanding legal fees. Under the rules on diligence and client protection, which statement is most accurate?

Answer: Most jurisdictions require return of the client file even if a fee dispute exists, to protect the client's interests

Rule 1.16(d) and most state rules require the lawyer to surrender the client's file to protect the client's interests upon termination, regardless of a fee dispute, though some jurisdictions permit limited retaining liens.