NALA Ethics & Professional Responsibility 3 — Questions and Answers
Question 1: A paralegal who previously worked at Firm A handled a matter for Client X. The paralegal then joins Firm B, which represents the opposing party in the same matter. What ethical screen mechanism may allow Firm B to keep the paralegal?
- A written waiver signed by Firm A's managing partner
- A timely implemented ethical wall (Chinese wall) with proper notice (Correct answer)
- Reassignment of the paralegal to an unrelated department
- Filing a disclosure with the court overseeing the matter
Correct answer: A timely implemented ethical wall (Chinese wall) with proper notice
A timely implemented ethical wall with proper notice to affected parties is a recognized mechanism to manage a lateral hire's conflict of interest.
Question 2: When a paralegal signs correspondence on behalf of a law firm, the letter must make clear that:
- The paralegal has the authority to negotiate on the attorney's behalf
- The writer is a paralegal, not a licensed attorney (Correct answer)
- All statements in the letter have been personally reviewed by the attorney
- The firm accepts no liability for the paralegal's statements
Correct answer: The writer is a paralegal, not a licensed attorney
Paralegals must clearly identify their non-attorney status in all communications to avoid misleading recipients.
Question 3: A client calls the paralegal directly, upset and demanding to know why the attorney has not returned calls. The paralegal should:
- Apologize on the attorney's behalf and promise action by a specific date
- Acknowledge the client's frustration, take a message, and promptly relay it to the attorney (Correct answer)
- Explain that client contact is the attorney's responsibility and end the call
- Provide the client with the attorney's personal cell phone number
Correct answer: Acknowledge the client's frustration, take a message, and promptly relay it to the attorney
The paralegal should respond professionally by taking the message and ensuring the attorney is made aware of the communication breakdown promptly.
Question 4: Which scenario most clearly illustrates a paralegal exercising proper ethical behavior regarding fees?
- Quoting the client a flat fee for the case without attorney approval
- Explaining the firm's billing structure as authorized by the supervising attorney (Correct answer)
- Negotiating a contingency percentage directly with the client
- Accepting a cash tip from a grateful client for exceptional service
Correct answer: Explaining the firm's billing structure as authorized by the supervising attorney
Paralegals may discuss fees only as authorized by the supervising attorney and must not independently set, negotiate, or collect fees.
Question 5: The NALA Code of Ethics requires that a paralegal's work product be:
- Independently verified by a second paralegal before submission
- Thoroughly reviewed and approved by a supervising attorney (Correct answer)
- Certified accurate by the paralegal under penalty of perjury
- Filed with the state bar for quality assurance
Correct answer: Thoroughly reviewed and approved by a supervising attorney
Attorney supervision of paralegal work product is mandatory; the attorney bears ultimate responsibility for the work submitted.
Question 6: A paralegal is contacted by a journalist writing a story about a high-profile case the firm is handling. The paralegal should:
- Provide only information already in the public court record
- Decline to comment and direct all inquiries to the attorney or firm spokesperson (Correct answer)
- Confirm or deny basic factual information without revealing strategy
- Ask the journalist to submit questions in writing for attorney review
Correct answer: Decline to comment and direct all inquiries to the attorney or firm spokesperson
Paralegals must not speak to media about client matters; all press inquiries must be routed to the attorney or designated spokesperson.
Question 7: If a paralegal realizes they have inadvertently received a document clearly marked 'Attorney-Client Privileged' from opposing counsel, they should:
- Read it carefully to assess whether it contains useful information
- Stop reading, notify the supervising attorney immediately, and follow instructions (Correct answer)
- Return it to opposing counsel without reading further or telling anyone
- Sequester the document and wait for opposing counsel to request its return
Correct answer: Stop reading, notify the supervising attorney immediately, and follow instructions
Upon recognizing an inadvertently produced privileged document, the paralegal must immediately stop reviewing it and alert the supervising attorney for guidance.
NALA Ethics & Professional Responsibility 3
A paralegal who previously worked at Firm A handled a matter for Client X.
The paralegal then joins Firm B, which represents the opposing party in the same matter.
What ethical screen mechanism may allow Firm B to keep the paralegal?