NALA Professional and Ethical Responsibility 3 — Questions and Answers
Question 1: Under NALA guidelines, a paralegal may ethically do which of the following without direct attorney supervision?
- Advise a client on legal strategy
- Represent a client in a deposition
- Organize and index discovery documents for attorney review (Correct answer)
- Sign court pleadings on behalf of the firm
Correct answer: Organize and index discovery documents for attorney review
Organizing and indexing discovery documents is substantive paralegal work that does not constitute the practice of law and may be performed without direct supervision.
Question 2: A client calls the office and insists on knowing whether she should accept a settlement offer before her attorney returns. A paralegal should:
- Advise acceptance if the offer seems fair based on the file
- Decline to give legal advice and arrange for the attorney to call back promptly (Correct answer)
- Explain the pros and cons of the offer as a courtesy
- Transfer the client to another attorney without authorization
Correct answer: Decline to give legal advice and arrange for the attorney to call back promptly
Advising a client on whether to accept a settlement is the practice of law; the paralegal must decline and ensure the attorney contacts the client.
Question 3: The NALA Model Standards and Guidelines state that a paralegal may conduct client interviews when:
- The client signs a waiver of attorney representation
- The paralegal has five or more years of experience
- The attorney directly supervises and reviews the work (Correct answer)
- The interview is limited to factual background information only
Correct answer: The attorney directly supervises and reviews the work
Paralegals may conduct client interviews as long as the attorney directly supervises the process and reviews the resulting work product.
Question 4: Which scenario most clearly constitutes unauthorized practice of law by a paralegal?
- Drafting a will template for attorney review
- Telling a client which legal theory is strongest in their case (Correct answer)
- Organizing exhibits for trial
- Calendaring court deadlines
Correct answer: Telling a client which legal theory is strongest in their case
Independently advising a client on legal theory constitutes the practice of law and is prohibited for paralegals regardless of their experience level.
Question 5: A paralegal learns confidential information about a client's assets during a bankruptcy matter. Two years later, she works at a new firm opposing that former client. She should:
- Proceed normally since the representation has ended
- Disclose the prior representation and request a conflict screen (Correct answer)
- Use the information only for cross-examination purposes
- Inform only the new client, not the court
Correct answer: Disclose the prior representation and request a conflict screen
The duty of confidentiality continues after representation ends, and prior confidential information creates a conflict requiring disclosure and a timely conflict screen.
Question 6: NALA's ethical guidelines on fees specify that a paralegal may NOT:
- Have billable hours tracked separately
- Receive a bonus tied to firm profitability
- Share in legal fees as a form of fee-splitting with clients (Correct answer)
- Be paid an hourly wage for paralegal services
Correct answer: Share in legal fees as a form of fee-splitting with clients
Fee-splitting arrangements between paralegals and clients are prohibited because paralegals may not share in legal fees the way licensed attorneys do.
Question 7: A paralegal notices that a statute cited in a brief the attorney is about to file has been repealed. The paralegal should:
- File the brief since the attorney approved it
- Notify the attorney immediately before filing (Correct answer)
- Correct the citation independently and file
- Add a footnote noting the repeal without telling the attorney
Correct answer: Notify the attorney immediately before filing
A paralegal's duty of competence requires notifying the supervising attorney of any legal error before a document is filed with the court.
NALA Professional and Ethical Responsibility 3
Under NALA guidelines, a paralegal may ethically do which of the following without direct attorney supervision?