Clio's The Whole Lawyer series - Confidentiality

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The Whole Lawyer: Confidentiality

Seven Steps to Going Solo

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Instructors

Joshua Lenon• Lawyer in Residence at Clio• Attorney Admitted in New

York• @JoshuaLenon

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Instructors

Alli Gerkman• Director, Educating

Tomorrow's Lawyers• Attorney Admitted in

Colorado• @AlliGerkman

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Agenda

• Foundations for Practice study (15 minutes)• Lack of privacy (10 minutes)• Lawyer’s duty of privacy (15 minutes)• Discretion (10 minutes)• Questions (10 minutes)

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FOUNDATIONS FOR PRACTICE STUDY

9© 2016 IAALS – Institute for the Advancement of the American Legal System.

9

Alli GerkmanDirector, Educating Tomorrow’s Lawyers


10

www.foundationsforpractice.com

Twitter: @AlliGerkmanEmail: [email protected]


40%Percentage of 2015 law graduates who did not land full-

time employment requiring bar passage

Credit: ABA Employment Survey



time employment recognizing law degree




time employment (including professional and non-professional)



71%Percentage of third-year law students who believe they

have sufficient skills to practice

Credit: BARBRI, State of the Legal Field Survey


45%Percentage of law professors who believe new lawyers




23%Percentage of practitioners who believe new lawyers




1. Identify the foundations entry-level lawyers need

2. Developmeasurable models of legal education that support those foundations

3. Align market needs with hiring practices to incentivize positive improvements


The number of states that distributed the survey

37


24,137The number of valid responses to the survey


147The number of foundations we asked about


InitiativeIdentify relevant facts, legal issues

Make decisions and deliver results

Conduct and defend depositions

Critically evaluate arguments

Diligence

Integrity and trustworthinessWork as part of a team

Listen attentively and respectfully


InitiativeIdentify relevant facts, legal issues

Make decisions and deliver results

Conduct and defend depositions

Critically evaluate arguments

Diligence

Integrity and trustworthinessWork as part of a team

Listen attentively and respectfully


Short Term


Short Term

Over Time


Short Term

Over Time

Advantageous


Short Term

Over Time

Advantageous

Not Relevant


77The number of foundations identified as “Necessary in the Short Term” by 50% or more of the respondents



1. Keep information confidential2. Arrive on time3. Honor commitments4. Integrity and trustworthiness5. Treat others with courtesy and respect6. Listen attentively and respectfully7. Respond promptly8. Diligence9. Strong work ethic10.Attention to detail

11.Conscientiousness 12.Common sense13.Intelligence14.Research the law15.Take individual responsibility16.Emotional regulation/self-control17.Speak professionally18.Strong moral compass19.Write professionally20.Exhibit tact and diplomacy

Foundations for Practice


1.Keep information confidential2. Arrive on time3. Honor commitments4. Integrity and trustworthiness5. Treat others with courtesy and respect6. Listen attentively and respectfully7. Respond promptly8. Diligence9. Strong work ethic10.Attention to detail

11.Conscientiousness 12.Common sense13.Intelligence14.Research the law15.Take individual responsibility16.Emotional regulation/self-control17.Speak professionally18.Strong moral compass19.Write professionally20.Exhibit tact and diplomacy

Foundations for Practice


1. Keep information confidential2. Arrive on time3. Honor commitments4. Understand and apply legal privilege5. Proper timekeeping/billing6. Document and organize a case/matter7. Show loyalty and dedication8. Set clear professional boundaries9. Handle dissatisfaction appropriately

10.Recognize and resolve ethical dilemmas

11.Conclude relationships appropriately12.Exercise independent judgment13.Adhere to proper collections

practices14.Provide high quality legal advice

Professionalism


1. Keep information confidential2. Arrive on time3. Honor commitments4. Understand and apply legal privilege5. Proper timekeeping/billing6. Document and organize a case/matter7. Show loyalty and dedication8. Set clear professional boundaries9. Handle dissatisfaction appropriately

10.Recognize and resolve ethical dilemmas

11.Conclude relationships appropriately12.Exercise independent judgment13.Adhere to proper collections

practices14.Provide high quality legal advice

Professionalism


Keep info confidential


Keep info confidentialFirms, 1-10All Respondents


35

www.foundationsforpractice.com

Twitter: @AlliGerkmanEmail: [email protected]

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LACK OF PRIVACY

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Nearly half of Americans (45 %) have been notified that their information

could have been affected by a data breach.

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Almost three-quarters (74 %) say they worry about the security of

Their personal information while shopping on-line.

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Privacy Breaches Increasing

0

50

100

150

200

250

300

350

2005 2006 200 2008 2009 2010 2011 2012 2013 2014 2015

ReportedBreaches

Source:IdentityTheftResourceCenter

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Lawyers are Trusted (More than Some)

80%trustDoctorstotellthetruth

70%trustTeacherstotellthetruth

42%trustLawyerstotellthetruth

Source:UKLegalServicesBoard

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LAWYER’S DUTY OF PRIVACY

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Confidentiality & Privacy for Lawyers

4 Considerations When it Comes to Confidentiality and Privacy for Lawyers:

1. Evidentiary2. Ethics3. Statutory4. Technology

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Evidentiary

• Attorney-Client Confidentiality• Word-Product Doctrine

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Attorney-Client Privilege

“encourage[s] full and frank communication between attorneys and their clients.” Upjohn Co. v. United

States, 449 U.S. 383 (1981).

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Attorney-Client Privilege

• Limited to communications between the client and attorney• Privilege rests with the client; even beyond the grave, Swidler & Berlin v.

United States, 524 U.S. 399 (1998)• Waiver possible• Inadvertent disclosures is not necessarily waiver, if:

– the disclosure is inadvertent;– the holder of the privilege or protection took reasonable steps to prevent

disclosure; and– the holder promptly took reasonable steps to rectify the error

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Work Product Doctrine

Federal Rules of Civil Procedure Rule 26(b)(3)• “Ordinarily, a party may not discover documents and tangible things

that are prepared in anticipation of litigation...“• Materials may be discovered if the party shows that it has substantial

need for the materials to prepare its case and cannot, without unduehardship, obtain their substantial equivalent by other means.

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MRPC Rule 1.6

(a) A lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation or the disclosure is permitted by paragraph (b).

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MRPC Rule 1.6(b)

• prevent reasonably certain death or substantial bodily harm

• prevent the client from committing a crime or fraud

• prevent, mitigate or rectify substantial injury to the financial interests or property of another

• secure legal advice about the lawyer's compliance with these Rules

• establish a claim or defense on behalf of the lawyer

• comply with other law or a court order

• detect and resolve conflicts of interest

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MRPC 1.6

(c) A lawyer shall make reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client.

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California Business and Professions Code §6068

(e) (1) To maintain inviolate the confidence, and at every peril to himself or herself to preserve the secrets, of his or her client.

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Privacy is created by statute.

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Privacy

• Personally Identifiable information (PII)1. Information that can be used to distinguish or trace an individual‘s

identity • Name, social security number, date and place of birth, mother‘s maiden

name, or biometric record

2. Other information that is linked or linkable to an individual• Medical, educational, financial, and employment information.

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Android ID +GPS data + Video viewing information= PII

Yershov v. Gannett Satellite Information Network Inc., No. 15-1719 (1st Cir. Apr. 29, 2016)

Video Privacy Protection Act (VPPA)

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Privacy regulations govern by geography and subject matter.

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Privacy Laws Scope

StatePrivacyLaws

BusinessAreaPrivacyLaws

FederalRegulations

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State Privacy Laws

Think broadly, it’s not just your location, but the location of all of your clients and contacts

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Privacy

• Notification duties in the event of a breach–Must notify all affected parties

• Reporting duties to regulators• Right of action for impacted individuals

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Canada Privacy Law

• Government Limits– Privacy Act– Access to Information Act– Freedom of Information Act– Freedom of Information and Protection of Privacy Act (FOIPPA)

• Private Company Limits– Personal Information Protection and Electronic Documents Act (PIPEDA)– Canada Anti-Spam Legislation (CASL)

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Business Areas

• Financial information – under the Gramm Leach Bliley Act (GLBA), Fair Credit Reporting Act (FCRA), Fair and Accurate Credit Transaction Act (FACTA), Red Flags Rules

• Healthcare information – under the Health Insurance Portability and Accountability Act (HIPAA) and the HITECH Act

• Children information – as required under the Children Online Privacy Protection Act (COPPA) and Family Educational Rights and Privacy Act (FERPA)

• Mortgage lending – under Consumer Finance Protection Board, Bulletin 2012-03

• Criminal Justice - Criminal Justice Information Services Division (CJIS)

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HIPAA FinesHIPAAViolation MinimumPenalty MaximumPenalty

Individualdidnotknow(andbyexercisingreasonablediligencewouldnothaveknown)thathe/sheviolatedHIPAA

$100perviolation,withanannualmaximumof$25,000forrepeatviolations(Note:maximumthatcanbeimposedbyStateAttorneysGeneralregardlessofthetypeofviolation)

$50,000perviolation,withanannualmaximumof$1.5million

HIPAAviolationduetoreasonablecauseandnotduetowillfulneglect

$1,000perviolation,withanannualmaximumof$100,000forrepeatviolations


HIPAAviolationduetowillfulneglectbutviolationiscorrectedwithintherequiredtimeperiod

$10,000perviolation,withanannualmaximumof$250,000forrepeatviolations


HIPAAviolationisduetowillfulneglectandisnotcorrected



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FTC & Cybersecurity

Federal Trade Commission (FTC)

• Established in 1914 by the Federal Trade Commission Act• Section 5 of the Federal Trade Commission Act, 15 U.S.C. §

45 grants the FTC power to investigate and prevent unfair or deceptive trade practices (UDAP Authority)

• 50 cybersecurity enforcement actions since 2002

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Federal Trade Commission v. Wyndham Worldwide Corp., 799 F.3d 236, (3d Cir. 2015)

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FTC’s Standard of Care

Take “reasonable and necessary measures” to protect consumer data

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Privacy Safeguards

3 types of safeguards must be considered and implemented

1. Administrative 2. Physical3. Technical

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Lack of technological competency leaves law firms vulnerable to

inadvertent disclosures.

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Law Firms Current Security

• 27% have no encryption implemented• Only 49% have intrusion detection system• Only 49% have intrusion prevention system• 39% never have outside security assessments performed• 27% use two-factor authentication• Only 5% have server logs

Source:2015ILTATechSurvey

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Cloud Secures Law Firms

• 256-bit SSL Encryption• SOC II-Certified Data Center• Geo-redundancy• 3rd Party Audits on Security Settings• User-level Permissions and Access Control• PCI Compliance for Credit Cards• Encrypted Communication with Clients via Client Portal

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Use Confirmed Technology

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Secure Connections

39% of lawyers use public WIFI.

Only 22% use SSL encryption on that connection.

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Control Access to Data Sensibly

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Make it Hard to Unlock

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Monitor Access

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Use Secure Communication Channels

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DISCRETION

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Discretion is the better part of valor definition. Caution is preferable to rash bravery.

FalstaffKing Henry the Fourth, Part One

William Shakespeare.

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Common Sense

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Discretion

• Think like your client• Act with competency• Adjust your personal habits

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QUESTIONS

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Thank You

Joshua Lenon

[email protected]

@JoshuaLenon

Linkedin.com/in/joshualenon

1-888-858-2546

Colin McMahon

Linkedin.com/in/colinmcmahonclio

[email protected]

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Date post:	11-Apr-2017
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