Pennsylvania Code › Title 204 - JUDICIAL SYSTEM GENERAL PROVISIONS › Part V - PROFESSIONAL ETHICS AND CONDUCT › Subpart A - PROFESSIONAL RESPONSIBILITY › Chapter 81 - RULES OF PROFESSIONAL CONDUCT › Subchapter A - RULES OF PROFESSIONAL CONDUCT › LAW FIRMS AND ASSOCIATIONS › Rule 5.3 - Responsibilities Regarding Nonlawyer Assistants

Current through Register Vol. 54, No. 28, July 13, 2024
With respect to a nonlawyer employed or retained by or
						  associated with a lawyer:
(a) a
						partner and a lawyer who individually or together with other lawyers possesses
						comparable managerial authority in a law firm shall make reasonable efforts to
						ensure that the firm has in effect measures giving reasonable assurance that
						the person'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 person's conduct is compatible with the professional
						obligations of the lawyer; and
(c)
						a lawyer shall be responsible for conduct of such a person 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 partner or has comparable
						managerial authority in the law firm in which the person is employed, or has
						direct supervisory authority over the person, and in either case knows of the
						conduct at a time when its consequences can be avoided or mitigated but fails
						to take reasonable remedial action.
Comment:
(1) Paragraph (a) requires lawyers with
						managerial authority within a law firm to make reasonable efforts to establish
						internal policies and procedures designed to provide 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 and Comment (1) to Rule
						5.1. 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 conduct of a nonlawyer that would be a violation of the Rules
						of Professional Conduct if engaged in by a lawyer.
Nonlawyers Within the Firm
(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. 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,
						1.2,
						1.4,
						1.6,
						5.4(a), and
						5.5(a). 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.