Subcommittee turns to proactive regulation
The Proactive Management-Based
Regulation subcommittee has drafted a set of proposed regulatory objectives and
will now begin developing a program to help lawyers and their firms implement
an ethical infrastructure.
By JIM COYLE
Winter 2016
The
Proactive Management-Based Regulation (PMBR) subcommittee is developing a new
program to help our Colorado lawyers better serve their clients and simplify
their professional lives. The new program will be designed to identify the
common risks we lawyers now face when practicing law and will provide effective
management systems to address those risks.
The
traditional approach to attorney regulation in the U.S. is chiefly reactive. The
subcommittee was formed last year to study a different approach, one centered
on prevention and not solely discipline. If enacted, Colorado?s PMBR program
would be the first of its kind in this country.
Any proposal
by the subcommittee will be submitted to the Supreme Court for their
consideration.
The
subcommittee has met on a monthly basis since August 2015 and has already completed
its first task: drafting a proposed new Rule 200, Regulatory Objectives of the
Colorado Supreme Court. Those regulatory objectives are now pending before the
Supreme Court. The draft regulatory objectives focus on protecting the public
and promoting the public interest through proactive programs that educate
lawyers in their continuing professional development, improve client service
and reduce client complaints.
Next on the
subcommittee?s agenda is development of a Proactive Management-Based Regulation
(PMBR) program. The goal of this program is to assist lawyers in implementing
and maintaining effective management systems for ethical law practice. Here is a roadmap for the
subcommittee?s PMBR process, bearing in mind that roadmaps are not always followed.
The
subcommittee has already identified the 10 common principles, or elements, that
are encouraged for any law firm?s ethical infrastructure. These 10 principles
are:
1.
Developing
competent practices
2.
Communicating in
an effective, timely and civil manner, and professionalism
3.
Ensuring confidentiality
4.
Avoiding
conflicts of interest
5.
Maintaining
appropriate file and records management systems
6.
Ensuring
effective management of the legal entity and staff
7.
Charging
appropriate fees and disbursements
8.
Having
appropriate systems in place to safeguard client trust money and property
9.
Working to
improve the administration of justice and access to legal services
10. Creating a culture of wellness
At its
February 2016 monthly meeting, the subcommittee will break into 10 working
groups to develop a self-evaluation tool in each of those 10 categories so law
firms have effective management systems in place to address these common risks.
The subcommittee has three example self-evaluation tools to work from:
Nova Scotia Self-Assessment Form
The Canadian Bar Association Ethical
Practices Self-Evaluation Tool
Following
the development of the self-evaluation tool, the subcommittee will focus on
drawing together helpful resources for the practitioner should the practitioner
lack any part of such an ethical infrastructure. And
then the subcommittee will address how to encourage Colorado lawyers to take
advantage of the self-evaluation and PMBR resources, whether through incentives
or other methods.
The
subcommittee membership includes Advisory Committee members, Colorado Bar
Association leadership and staff members, numerous sole practitioners,
respondent?s counsel, other private practice lawyers, a law firm administrator,
a Better Business Bureau representative, an Office of the Presiding
Disciplinary Judge staff attorney, the Executive Director of the Colorado
Lawyers Assistance Program, Attorney Regulation Counsel and staff members.? The subcommittee is now composed of the
following members: Chair David Stark, Amy DeVan, Barbara Ezyk, Brett Corporon,
Charles Garcia, Charles Mortimer, Cori Peterson, David Wollins,
Dick Reeve, Genet Johnson, Greg Martin, Jack Hanley, James Carlson, James
Sudler, Jay Fernandez, Jim Coyle, Karen Hammer, Katy Donnelly, Mark Lyda, Marcy Glenn, Matt Samuelson, Melinda Harper, Michael Mihm, Patricia Jarzobski, Reba
Nance, Suzann Bacon, Vince Buzek, and William Ojile.
Who wins
with such a program? Everyone. Clients get better service, lawyers get the
tools they need to improve their law practice in an efficient and helpful way,
consumer complaints are reduced and public confidence in the legal system is
improved.
Jim Coyle is Attorney
Regulation Counsel for the Colorado Supreme Court. He assists the Court in
regulating the practice of law in Colorado, including attorney admissions,
registration, discipline, disability, diversion, continuing legal and judicial
education, unauthorized practice and inventory counsel functions.
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