1. Find the rule that makes lawyers responsible for the conduct of their employees. Is this a strict liability rule? Is the lawyer responsible for employee misconduct regardless of how careful she was in attempting to run an ethical office?
2. Determine whether the body that regulates lawyers in your state requires CLE for lawyers and how lawyers must report their CLE (see http://www.abanet.org/cle/mcleview.html).
3. Could the content of the document itself make a difference with respect to the recipient’s obligation? Which ethical rules may apply?