Document Type


Publication Title

St. Mary's Journal on Legal Malpractice & Ethics

Publication Date



For decades, legal malpractice experts have urged lawyers to implement risk management measures. To assist law firms in doing so, legal malpractice insurers have provided audit services and self-audit materials. The ABA Model Rules of Professional Conduct also recognize the importance of policies and procedures as an aspect of a firm’s ethical infrastructure. Specifically, Model Rule 5.1 and state versions of Model Rule 5.1 require that firm principals make reasonable efforts to ensure that the firm has in effect measures to ensure that firm lawyers conform to the rules of professional conduct.