CP Professional and Ethical Responsibility 2 — Questions and Answers
Question 1: What is the Model Rules of Professional Conduct and who created it?
- A federal law by Congress
- Ethical rules for attorneys created by the ABA, adopted in varying forms by states (Correct answer)
- A NALA certification requirement
- A Supreme Court order on paralegal conduct
Correct answer: Ethical rules for attorneys created by the ABA, adopted in varying forms by states
The ABA Model Rules serve as the basis for ethical rules adopted by most state bar associations.
First adopted in 1983 replacing the Model Code, the Model Rules cover competence, confidentiality, conflicts, fees, client relationships, duties to the court, and responsibilities regarding non-lawyer assistants (Rule 5.3). Understanding them is essential for paralegals.
Question 2: What is ABA Model Rule 5.3 and how does it relate to paralegals?
- Prohibits paralegals in law firms
- Requires lawyers to supervise and be responsible for non-lawyer assistants including paralegals (Correct answer)
- Establishes paralegal educational requirements
- Allows independent paralegal practice
Correct answer: Requires lawyers to supervise and be responsible for non-lawyer assistants including paralegals
Rule 5.3 requires lawyers who employ non-lawyer assistants to ensure their conduct is compatible with professional obligations.
Rule 5.3 requires: (a) partners must ensure firm measures provide reasonable assurance of compatible conduct; (b) supervisory lawyers must make reasonable efforts; (c) a lawyer is responsible for non-lawyer conduct they order, ratify, or fail to remediate when they have supervisory authority and knowledge.
Question 3: What are the NALA guidelines for paralegal utilization?
- Rules allowing unsupervised practice
- Standards defining appropriate tasks, ethical obligations, and attorney supervision requirements (Correct answer)
- Federal licensing regulations
- Court rules on billing rates
Correct answer: Standards defining appropriate tasks, ethical obligations, and attorney supervision requirements
NALA provides guidelines defining appropriate functions, ethical standards, and the supervision framework.
NALA guidelines establish: paralegals may perform delegated functions not prohibited as UPL, must disclose status, require attorney supervision, maintain confidentiality, avoid conflicts, maintain competence through continuing education, and the attorney bears ultimate responsibility for work product.
Question 4: What is the difference between a conflict of interest and an appearance of impropriety?
- They are the same
- A conflict is an actual competing interest; an appearance exists when a reasonable person would question propriety even without actual conflict (Correct answer)
- Conflict applies to attorneys, appearance only to judges
- Conflict is more serious
Correct answer: A conflict is an actual competing interest; an appearance exists when a reasonable person would question propriety even without actual conflict
A conflict involves actual competing duties; an appearance exists when circumstances would lead a reasonable observer to question ethics.
A conflict exists when representation is materially limited by other responsibilities. An appearance of impropriety exists when circumstances would lead a reasonable person to question ethical conduct. Current Model Rules focus on actual conflicts, but many jurisdictions still consider appearances, especially for paralegals moving between firms.
Question 5: What is fee splitting and why is it prohibited between attorneys and non-lawyers?
- Dividing court costs, always allowed
- Sharing legal fees with non-lawyers, prohibited to prevent non-lawyer influence over professional judgment (Correct answer)
- Splitting fees between co-counsel, never prohibited
- Charging different fees for same work
Correct answer: Sharing legal fees with non-lawyers, prohibited to prevent non-lawyer influence over professional judgment
Fee splitting with non-lawyers is prohibited under Rule 5.4 to protect lawyer independence.
Model Rule 5.4(a) prohibits sharing fees with non-lawyers to protect professional judgment. Exceptions include payments to deceased lawyer's estate, retirement plans, nonprofit organizations, and certain compensation arrangements. Paralegals cannot receive fee percentages or outcome-based compensation.
Question 6: What is pro bono work and what obligation do legal professionals have?
- Work without attorney supervision
- Voluntary legal services provided free, particularly to those who cannot afford representation (Correct answer)
- Government contract work
- Court-appointed work at reduced rates
Correct answer: Voluntary legal services provided free, particularly to those who cannot afford representation
Pro bono refers to free legal services, particularly for indigent clients. Model Rule 6.1 aspirationally recommends 50 hours per year.
Model Rule 6.1 establishes an aspirational goal of 50 hours annually. NALA encourages paralegal participation. Many firms have structured pro bono programs where paralegals contribute through client intake, research, document preparation, and case management.
CP Professional and Ethical Responsibility 2
What is the Model Rules of Professional Conduct and who created it?