RESPONSIBILITY FOR AN ASSOCIATED LAWYER'S COMPLIANCE WITH RULES RESPONSIBILITIES OF PARTNERS, MANAGERS, AND SUPERVISORY LAWYERS
lawyer partner in a firm, and a lawyer who individually or together with other lawyers has comparable managerial authority in a law firm, shall make reasonable efforts to ensure that the firm has put into in effect measures giving reasonable assurance that all lawyers in the firm conform to these rules Rules.
(b) A lawyer having direct supervisory authority over another lawyer shall make reasonable efforts to ensure that the other lawyer conforms to these
(c) A lawyer
in a firm shall be responsible for a violation of these rules by another lawyer in the firm lawyer's violation of these Rules if the lawyer knows or reasonably should know of the violation at a time when its consequences can be avoided or mitigated, but fails to take reasonable remedial action. :
(1) the lawyer orders or, with knowledge of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a partner or has comparable managerial authority in the law firm in which the other lawyer practices, or has direct supervisory authority over the other lawyer, and knows of the conduct at a time when its consequences can be avoided or mitigated, but fails to take reasonable remedial action.
Paragraphs Paragraph (a) and (c) establish a responsibility for each lawyer employed in a private firm, a legal services organization, or legal department of a corporation or other organization applies to lawyers who have managerial authority over the professional work of a firm. This includes members partners of a partnership and, the shareholders in a law firm organized as a professional corporation, and members of other associations authorized to practice law; lawyers in the having comparable managerial authority in a legal services organization or a law department of an enterprise or government agency; and lawyers who have intermediate managerial responsibilities in a firm. Paragraph (b) includes all of the foregoing applies to lawyers who have direct supervisory authority over another lawyer as well as sole practitioners with such authority regardless of who employs the other lawyer over the work of other lawyers in a firm. Whether a lawyer has such supervisory authority in particular circumstances is a question of fact.
The extent of the duty to make reasonable efforts prescribed in paragraphs (a) and (b) can depend on the firm's structure, the nature of its practice, the nature of the relationship between lawyers not employed by the same firm, or the position of a lawyer within a firm. The duty of an associate or of a lawyer of less seniority in a firm may be minimal compared to the duty of a partner or a senior partner in a firm Paragraph (a) requires lawyers with managerial authority within a firm to make reasonable efforts to establish internal policies and procedures designed to provide reasonable assurance that all lawyers in the firm will conform to these Rules. Such policies and procedures include those designed to detect and resolve conflicts of interest, identify dates by which actions must be taken in pending matters, account for client funds and property, and ensure that inexperienced lawyers are properly supervised.
The Other measures to be put into effect in a firm also that may be required to fulfill the responsibility prescribed in paragraph (a) can depend upon its the firm's structure and the nature of its practice. In a small firm of experienced lawyers, informal supervision and occasional admonition ordinarily might be sufficient periodic review of compliance with the required systems ordinarily will suffice. In a large firm, or in practice situations in which intensely difficult ethical problems frequently arise, more elaborate procedures may be necessary. Some firms, for example, have a procedure whereby junior lawyers can make confidential referral of ethical problems directly to a designated senior partner or special committee. See Rule 5.2. Firms, whether large or small, may also rely on continuing legal education in professional ethics. In any event, the ethical atmosphere of a firm can influence the conduct of all its members and no lawyer the partners may not assume that another lawyer all lawyers associated with the firm will inevitably conform to the these Rules.
 Paragraph (c) addresses when a lawyer is responsible for another lawyer's violation of these Rules.
 Paragraph (c)(2)
addresses defines the duty of a partner or other lawyer who knows of a violation of these Rules in time to avoid or mitigate the effect of the violation. It presupposes that the lawyer knows or reasonably should know that the conduct is a violation of these Rules. Thus, if a lawyer knows that another lawyer in a firm misrepresented a matter to an opposing party in negotiation, both lawyers have a duty to correct the resulting misapprehension. It does not address a situation where the lawyer orders the misconduct of another. This is clearly addressed by Rule 8.4(a) having comparable managerial authority in a law firm, as well as a lawyer who has direct supervisory authority over the performance of specific legal work by another lawyer. Whether a lawyer has supervisory authority in particular circumstances is a question of fact. Partners and lawyers with comparable authority have at least indirect responsibility for all work being done by the firm, while a partner or manager in charge of a particular matter ordinarily also has supervisory responsibility for the work of other firm lawyers engaged in the matter. Appropriate remedial action by a lawyer would depend on the lawyer's position in the firm, the immediacy of the lawyer's involvement and the seriousness of the misconduct. A supervisor is required to intervene to prevent avoidable consequences of misconduct if the supervisor knows that the misconduct occurred. Thus, if a supervising lawyer knows that a subordinate misrepresented a matter to an opposing party in negotiation, the supervisor as well as the subordinate has a duty to correct the resulting misapprehension.
 Professional misconduct by a lawyer under supervision could reveal a violation of paragraph (b) on the part of the supervisory lawyer even though it does not entail a violation of paragraph (c)
if because there was no direction, ratification, or knowledge of the violation. As used in paragraph (c) "in a firm" means a member of a firm when the remedial action could be taken, not when the violation occurred.
 Apart from this Rule
and Rules 5.2, 5.3 and Rule 8.4(a), a lawyer does not have disciplinary liability for the conduct of a partner, associate or subordinate. Whether a lawyer may be liable civilly or criminally for another lawyer's conduct is a question of law beyond the scope of these Rules.
 The duties imposed by this Rule on managing and supervising lawyers do not alter the personal duty of each lawyer in a firm to abide by these Rules. See Rule 5.2(a).
Reference: Minutes of the Professional Conduct Subcommittee of the Attorney Standards Committee on 10/18/85, 11/08/85, 12/13/85 and 01/31/86; Minutes of the Joint Committee on Attorney Standards on 08/06/04, 03/18/05, 06/14/05.