ALA Regulatory Compliance 2 — Questions and Answers
Question 1: Under the Americans with Disabilities Act (ADA), which accommodation must a law firm generally provide to a qualified employee with a disability?
- Promote the employee to a supervisory role
- Provide reasonable accommodation unless it causes undue hardship (Correct answer)
- Reassign the employee to a part-time schedule automatically
- Exempt the employee from all performance standards
Correct answer: Provide reasonable accommodation unless it causes undue hardship
The ADA requires employers to provide reasonable accommodations for qualified employees with disabilities unless doing so would cause undue hardship to the business.
Question 2: Which federal agency enforces the Fair Labor Standards Act (FLSA) regarding minimum wage and overtime requirements for law firm employees?
- Equal Employment Opportunity Commission (EEOC)
- National Labor Relations Board (NLRB)
- Department of Labor Wage and Hour Division (Correct answer)
- Occupational Safety and Health Administration (OSHA)
Correct answer: Department of Labor Wage and Hour Division
The Department of Labor's Wage and Hour Division is responsible for administering and enforcing the FLSA, which covers minimum wage, overtime, and related standards.
Question 3: A law firm's conflict-of-interest check reveals a potential issue with a new client matter. What is the FIRST step the legal administrator should take?
- Decline the engagement immediately without discussion
- Notify the responsible attorney and document the finding for ethics review (Correct answer)
- Accept the matter and resolve the conflict later
- Transfer the file to a competing firm
Correct answer: Notify the responsible attorney and document the finding for ethics review
The administrator should promptly notify the responsible attorney and document the conflict flag so that ethics counsel can evaluate whether representation can proceed.
Question 4: Which rule from the Model Rules of Professional Conduct governs a law firm's duty to safeguard client funds held in trust?
- Rule 1.1 – Competence
- Rule 1.6 – Confidentiality of Information
- Rule 1.15 – Safekeeping Property (Correct answer)
- Rule 3.3 – Candor Toward the Tribunal
Correct answer: Rule 1.15 – Safekeeping Property
Model Rule 1.15 specifically addresses an attorney's obligations to keep client funds and property safe and separate from the firm's own accounts.
Question 5: Under OSHA's General Duty Clause, a law firm is required to:
- Conduct weekly fire drills for all personnel
- Provide a workplace free from recognized hazards likely to cause serious harm (Correct answer)
- Install sprinkler systems in all offices regardless of building codes
- Submit annual injury reports to state authorities only
Correct answer: Provide a workplace free from recognized hazards likely to cause serious harm
OSHA's General Duty Clause requires employers to provide a work environment free from recognized hazards that are causing or are likely to cause death or serious physical harm.
Question 6: A law firm receives a subpoena for client records. Which compliance step is MOST critical before producing documents?
- Immediately forward all responsive documents to the requesting party
- Consult with the client and applicable privilege protections before producing records (Correct answer)
- Notify the state bar and pause all production indefinitely
- Destroy records that may be harmful to the client
Correct answer: Consult with the client and applicable privilege protections before producing records
Before producing records, the firm must consult the client regarding any attorney-client privilege or other protections, as producing privileged materials could waive those protections.
Question 7: Which immigration-related form must a U.S. law firm complete for every new hire to verify work authorization?
- Form W-4
- Form I-9 (Correct answer)
- Form SS-4
- Form 1095-C
Correct answer: Form I-9
The Form I-9 (Employment Eligibility Verification) must be completed for every new hire to verify identity and authorization to work in the United States.
ALA Regulatory Compliance 2
Under the Americans with Disabilities Act (ADA), which accommodation must a law firm generally provide to a qualified employee with a disability?