North Carolina Administrative Code › Title 27 - STATE BAR › Chapter 02 - RULES OF PROFESSIONAL CONDUCT OF THE NORTH CAROLINA STATE BAR › Section 02 RULE 5.03 - RESPONSIBILITIES REGARDING NONLAWYER ASSISTANTS

Current through Register Vol. 39, No. 2, July 15, 2024
With respect to a nonlawyer employed or retained by or
				associated with a lawyer:
(a) a
			 principal, and a lawyer who individually or together with other lawyers
			 possesses comparable managerial authority in a law firm or organization shall
			 make reasonable efforts to ensure that the firm or organization has in effect
			 measures giving reasonable assurance that the nonlawyer's conduct is compatible
			 with the professional obligations of the lawyer;
(b) a lawyer having direct supervisory
			 authority over the nonlawyer shall make reasonable efforts to ensure that the
			 nonlawyer's conduct is compatible with the professional obligations of the
			 lawyer; and
(c) a lawyer shall be
			 responsible for conduct of such a nonlawyer that would be a violation of the
			 Rules of Professional Conduct if engaged in by a lawyer if:
(1) the lawyer orders or, with the knowledge
			 of the specific conduct, ratifies the conduct involved; or
(2) the lawyer is a principal or has
			 comparable managerial authority in the law firm or organization in which the
			 person is employed, or has direct supervisory authority over the nonlawyer, and
			 knows of the conduct at a time when its consequences can be avoided or
			 mitigated but fails to take reasonable remedial action to avoid the
			 consequences.
Comment
[1] Paragraph
			 (a) requires lawyers with managerial authority within a law firm or
			 organization to make reasonable efforts to ensure that the firm has in effect
			 measures giving reasonable assurance that nonlawyers in the firm and nonlawyers
			 outside the firm who work on firm matters act in a way compatible with the
			 professional obligations of the lawyer. See Comment [6] to Rule 1.1 (retaining
			 lawyers outside the firm) and Comment [1] to Rule 5.1 (responsibilities with
			 respect to lawyers within a firm). Paragraph (b) applies to lawyers who have
			 supervisory authority over such nonlawyers within or outside the firm.
			 Paragraph (c) specifies the circumstances in which a lawyer is responsible for
			 the conduct of such nonlawyers within or outside the firm that would be a
			 violation of the Rules of Professional Conduct if engaged in by a
			 lawyer.
[2] Lawyers generally
			 employ assistants in their practice, including secretaries, investigators, law
			 student interns, and paraprofessionals. Such assistants, whether employees or
			 independent contractors, act for the lawyer in rendition of the lawyer's
			 professional services. A lawyer must give such assistants appropriate
			 instruction and supervision concerning the ethical aspects of their employment,
			 particularly regarding the obligation not to disclose information relating to
			 representation of the client, and should be responsible for their work product.
			 The measures employed in supervising nonlawyers should take account of the fact
			 that they do not have legal training and are not subject to professional
			 discipline.
Nonlawyers Outside the Firm
[3] A lawyer may use nonlawyers outside the
			 firm to assist the lawyer in rendering legal services to the client. Examples
			 include the retention of an investigative or paraprofessional service, hiring a
			 document management company to create and maintain a database for complex
			 litigation, sending client documents to a third party for printing or scanning,
			 and using an Internet-based service to store client information. When using
			 such services outside the firm, a lawyer must make reasonable efforts to ensure
			 that the services are provided in a manner that is compatible with the lawyer's
			 professional obligations and, depending upon the risk of unauthorized
			 disclosure of confidential client information, should consider whether client
			 consent is required. See Rule 1.1, cmt. [7]. The extent of this obligation will
			 depend upon the circumstances, including the education, experience, and
			 reputation of the nonlawyer; the nature of the services involved; the terms of
			 any arrangements concerning the protection of client information; and the legal
			 and ethical environments of the jurisdictions in which the services will be
			 performed, particularly with regard to confidentiality. See also Rules 1.1
			 (competence), 1.2 (allocation of authority), 1.4 (communication with client),
			 1.6 (confidentiality), 5.4(a) (professional independence of the lawyer), and
			 5.5(a) (unauthorized practice of law). When retaining or directing a nonlawyer
			 outside the firm, a lawyer should communicate directions appropriate under the
			 circumstances to give reasonable assurance that the nonlawyer's conduct is
			 compatible with the professional obligations of the lawyer.
[4] Where the client directs the selection of
			 a particular nonlawyer service provider outside the firm, the lawyer ordinarily
			 should agree with the client concerning the allocation of responsibility for
			 monitoring as between the client and the lawyer. See Rule 1.2. When making such
			 an allocation in a matter pending before a tribunal, lawyers and parties may
			 have additional obligations that are a matter of law beyond the scope of these
			 rules.
[5] A lawyer who discovers
			 that a nonlawyer has wrongfully misappropriated money from the lawyer's trust
			 account must inform the North Carolina State Bar pursuant to Rule
			 1.15-2(o).