规则 of Professional Conduct

规则5.1: Responsibilities of Partners, Managers and Supervisory Lawyers

 (a)澳博app事务所合伙人, 在澳博app事务所或政府机构中单独或与其他澳博app一起拥有类似管理权的澳博app, 应作出合理的努力，确保事务所采取有效措施，合理保证事务所或代理机构的所有澳博app都遵守《澳博app》.
   (b)对另一名澳博app具有直接监督权力的澳博app应作出合理努力，确保另一名澳博app遵守《澳博app》.
   (c)在下列情况下，一名澳博app应对另一名澳博app违反《澳博app下载网》负责:

      (1) The lawyer orders or, 用知识 of the specific conduct, ratifies the conduct involved; or
      (二)该澳博app对另一澳博app具有直接监督权力，或者在另一澳博app所在的澳博app事务所或者政府机构中是合伙人或者具有类似的管理权力, 并且在其后果可以避免或减轻的时候知道或合理地应该知道该行为，但未能采取合理的补救行动.

评论

   [1]第(a)款适用于对事务所或政府机构的专业工作具有管理权的澳博app. This includes members of a partnership, the shareholders in a law firm organized as a professional corporation and members of other associations authorized to practice law; lawyers having comparable managerial authority in a legal services organization or the law department of an enterprise or government agency; and lawyers who have intermediate managerial responsibilities in a firm. For the broad definition of “firm,” 看到 规则1.0(c). Paragraph (b) applies to lawyers who have supervisory authority over the work of other lawyers.
   [2]第(a)段要求律所内具有管理权的澳博app应尽合理努力制定内部政策和程序，以合理保证律所内所有澳博app均遵守《澳博app》. 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, 对客户的资金和财产负责，并确保对没有经验的澳博app进行适当的监督.
   [3]履行第(a)款规定的责任可能需要采取的其他措施, and measures that may be required to fulfill the responsibility prescribed in paragraph (b), can depend on the firm’s structure and the nature of its practice. In a small firm, informal supervision and occasional admonition ordinarily might be sufficient. 在一家大公司, or in practice situations in which intensely difficult ethical problems frequently arise, more elaborate procedures may be necessary. 一些公司, 例如, 是否有一个程序，使初级澳博app可以将道德问题秘密地直接转介给指定的高级合伙人或特别委员会. 看到 规则5.2. 公司，无论大小，都可能依赖于职业道德方面的继续法律教育. 无论如何, 事务所的道德氛围可以影响其所有成员的行为，对另一名澳博app的工作具有权威的澳博app不得假设其下属澳博app必然遵守规则.
   [4] (c)款规定了对他人不当行为追究责任的一般原则. Subparagraph (c)(1) makes any lawyer who orders or, 用知识, ratifies misconduct responsible for that misconduct. 另请参阅 规则8.4(a). 第(c)(2)款将该责任扩展至在发生不当行为的事务所中担任合伙人或具有类似管理权力的任何澳博app, or who has direct supervisory authority over the lawyer who engages in misconduct, 当澳博app知道或应该合理地知道该行为并可以进行干预以改善其后果时. 澳博app在特定情况下是否拥有这种监督权力是一个事实问题. 具有直接监督权的澳博app是指在特定代理中对指导其他澳博app的行为具有实际监督作用的澳博app. A lawyer who is technically a “supervisor” in organizational terms, but is not involved in directing the effort of other lawyers in a particular representation, is not a supervising lawyer with respect to that representation.
   [5] The existence of actual knowledge is also a question of fact; whether a lawyer should reasonably have known of misconduct by another lawyer in the same firm is an objective standard based on evaluation of all the facts, including the size and organizational structure of the firm, the lawyer’s position and responsibilities within the firm, the type and frequency of contacts between the various lawyers involved, the nature of the misconduct at issue, and the nature of the supervision or other direct responsibility (if any) actually exercised. The mere fact of partnership or a position as a principal in a firm is not sufficient, 没有更多的, 为了满足这个标准. 类似的, the fact that a lawyer holds a position on the management committee of a firm, or heads a department of the firm, 或在其他形式的组织或政府机构中具有可比的管理权是不够的, 孤独, 为了满足这个标准.
   [6]适当的补救行动将取决于所涉事件的直接性和不当行为的严重性. 如果主管知道不当行为发生了，则要求主管进行干预，以防止不当行为产生可避免的后果. 因此, 如果监督澳博app知道下属在谈判中对对方做了不实陈述, the supervisor as well as the subordinate has a duty to correct the resulting misapprehension.
   [7]受监督澳博app的职业不当行为可能暴露出监督澳博app违反了(b)款，即使由于没有指示，该行为并未导致违反(c)款, 批准, or knowledge of the violation.
   [8] Apart from this rule and 规则8.4(a), a lawyer does not have disciplinary liability for the conduct of a partner, 联系, 或下属. 澳博app对其他澳博app的行为是否承担民事责任或者刑事责任，是本规则范围以外的法律问题.
   [9]本规则对管理和监督澳博app所规定的义务，并不改变律所每位澳博app遵守《澳博app》的个人义务. 看到 规则5.2(a).