CLA/CP Professional and Ethical Responsibility Questions and Answers — Questions and Answers
Question 1: A paralegal, working under the supervision of an attorney, is preparing a client for a deposition. The client is nervous and asks the paralegal what they think the likely outcome of the case will be. Which of the following is the most ethical response for the paralegal to provide?
- "I can't predict the outcome, but I can tell you that the attorney is very skilled and will do everything possible to get a favorable result."
- "Based on my experience with similar cases, I think you have a very strong chance of winning."
- "Let me check the latest jury verdicts for this type of case and I'll give you a percentage of your chances."
- "I am not permitted to give legal advice or opinions, but I can relay your question to the attorney who can discuss the case's strengths and weaknesses with you." (Correct answer)
Correct answer: "I am not permitted to give legal advice or opinions, but I can relay your question to the attorney who can discuss the case's strengths and weaknesses with you."
This is the most appropriate response because it avoids the unauthorized practice of law. Paralegals are prohibited from giving legal opinions or advice. By referring the question to the supervising attorney, the paralegal adheres to ethical guidelines, which state that ultimate responsibility for legal judgment rests with the attorney.
Question 2: According to the NALA Code of Ethics and Professional Responsibility, which of the following is a paralegal explicitly forbidden from doing?
- Drafting legal documents for an attorney's review.
- Communicating with clients to schedule appointments.
- Setting the legal fees for a new client. (Correct answer)
- Conducting legal research using online databases.
Correct answer: Setting the legal fees for a new client.
Canon 1 of the NALA Code of Ethics explicitly states that a paralegal must not establish attorney-client relationships, set fees, give legal opinions or advice, or represent a client before a court or agency unless authorized. The other activities are permissible tasks for a paralegal when performed under the supervision of an attorney.
Question 3: A paralegal accepts a new job at a law firm that is representing the plaintiff in a major personal injury case. The paralegal's previous employer represented the defendant in the same case, and the paralegal had access to confidential information. What is the primary ethical obligation of the paralegal and the new law firm?
- The paralegal can work on the case as long as they promise not to share any confidential information.
- The new law firm must immediately be disqualified from the case.
- The paralegal must disclose the conflict, and the new firm must implement an effective ethical wall to prevent the sharing of confidential information. (Correct answer)
- The paralegal is only required to disclose the conflict if they worked on the case for more than six months at the previous firm.
Correct answer: The paralegal must disclose the conflict, and the new firm must implement an effective ethical wall to prevent the sharing of confidential information.
When a paralegal moves to a firm representing an opposing party, they have a duty to disclose the conflict of interest. The new firm must then take measures, such as establishing an 'ethical wall' or 'screen,' to ensure the paralegal has no involvement in the case and that no confidential information from the prior representation is shared. This prevents the firm from being disqualified and protects the former client's confidences.
Question 4: Which of the following actions by a paralegal would most likely constitute the unauthorized practice of law (UPL)?
- Preparing a standard real estate contract by filling in the blanks with information provided by the client, under attorney supervision.
- Interviewing a potential witness and preparing a summary for the supervising attorney.
- Independently advising a friend on the best legal strategy to pursue in a child custody dispute. (Correct answer)
- Filing documents with the court clerk after they have been reviewed and signed by an attorney.
Correct answer: Independently advising a friend on the best legal strategy to pursue in a child custody dispute.
Giving legal advice or recommending a specific course of legal action constitutes the unauthorized practice of law. While paralegals can assist with many tasks, they cannot provide independent legal judgment or advice directly to a client or any other individual. The other options describe tasks that are generally permissible for a paralegal to perform under the direct supervision of an attorney.
Question 5: A paralegal is working late and sees an email from the supervising attorney to a client discussing a sensitive case strategy. The paralegal's friend is a party in an unrelated case against the same opposing counsel. The paralegal is tempted to mention the strategy to their friend. What ethical duty is most directly at risk?
- The duty of competence.
- The duty to avoid conflicts of interest.
- The duty of confidentiality. (Correct answer)
- The duty to disclose paralegal status.
Correct answer: The duty of confidentiality.
The duty of confidentiality requires a paralegal to protect all client information acquired during the professional relationship. This duty, outlined in Canon 7 of the NALA Code of Ethics, is fundamental and extends to all information, regardless of how it was obtained. Disclosing case strategy, even to a friend in an unrelated matter, would be a serious breach of this duty.
Question 6: According to NALA's Code of Ethics, a paralegal has a duty to maintain a high degree of competency. How is this primarily achieved?
- By only working on cases within their primary area of interest.
- Through continuing education and training in professional responsibility and substantive law. (Correct answer)
- By obtaining the highest possible billable hours for their firm.
- By delegating complex tasks to more experienced attorneys.
Correct answer: Through continuing education and training in professional responsibility and substantive law.
Canon 6 of the NALA Code of Ethics states that a paralegal must strive to maintain integrity and a high degree of competency through ongoing education and training. This includes staying current on professional responsibility, procedural rules, and substantive areas of law to better assist the legal profession.
CLA/CP Professional and Ethical Responsibility Questions and Answers
A paralegal, working under the supervision of an attorney, is preparing a client for a deposition.
The client is nervous and asks the paralegal what they think the likely outcome of the case will be.
Which of the following is the most ethical response for the paralegal to provide?