Rule 5.1: Responsibilities of Partners, Managers, and Supervisory Lawyers and Rule 5.2: Responsibilities of a Subordinate Lawyer

Firm-Wide Management Responsibilities

Law firm partners and managers must establish policies and internal controls to reasonably ensure every attorney in the firm follows ethics rules.

Direct Supervisory Duties

Lawyers who directly supervise other attorneys must actively monitor and ensure their subordinate's work aligns with the Rules of Professional Conduct.

Ordering or Ratifying Violations

A lawyer is held personally responsible for another attorney's ethical violation if they directly order the conduct or approve it with full knowledge of the details.

Failing to Mitigate Known Harm

Partners, managers, or direct supervisors are responsible for a subordinate's violation if they learn about it while the damage can still be stopped or reduced, yet fail to take action.

Rule 5.2

Personal Responsibility: A lawyer remains personally accountable for obeying ethics rules, even if they were simply following orders from a supervisor or boss.

Reasonable Guidance on Debatable Issues: A subordinate lawyer does not violate ethics rules if they follow a supervisory lawyer's reasonable decision on a genuinely debatable ethical question.