Free CLA/CP Professional and Ethical Responsibility Questions and Answers — Questions and Answers
Question 1: A paralegal, while having lunch with a friend in a public cafe, discusses a high-profile client's confidential case details. The conversation is overheard by a reporter sitting at the next table. Which fundamental ethical duty has the paralegal breached?
- Duty of Competence
- Duty to Avoid Conflicts of Interest
- Duty of Confidentiality (Correct answer)
- Duty to Disclose Paralegal Status
Correct answer: Duty of Confidentiality
The duty of confidentiality is a cornerstone of legal ethics, requiring legal professionals to protect all information relating to the representation of a client. Discussing a client's case in a public place where it can be overheard is a clear violation of this duty. The information does not need to be privileged to be confidential. This duty extends to paralegals and all law firm staff and survives the termination of the client-lawyer relationship.
Question 2: An experienced paralegal works for a busy solo practitioner who is often in court. A client calls and is very anxious, asking for an opinion on whether they should accept a settlement offer. The attorney is unreachable. Which of the following is the most appropriate action for the paralegal to take?
- Advise the client that while they cannot give an opinion, similar cases have settled for that amount.
- Inform the client that they are a paralegal and cannot provide legal advice, and then offer to schedule a call with the attorney as soon as possible. (Correct answer)
- Review the file and give the client their professional opinion on the settlement offer.
- Tell the client to accept the offer to avoid missing the deadline.
Correct answer: Inform the client that they are a paralegal and cannot provide legal advice, and then offer to schedule a call with the attorney as soon as possible.
Paralegals are strictly prohibited from giving legal advice or opinions, as this constitutes the unauthorized practice of law (UPL). The most appropriate and ethical action is to clearly state their non-attorney status, refuse to give advice, and facilitate communication with the supervising attorney who is authorized to provide such counsel.
Question 3: A law firm is considering hiring a paralegal who previously worked for the opposing counsel on a large, ongoing litigation matter. To avoid disqualification of the firm, which of the following is the most critical step the hiring firm must take?
- Ensure the paralegal signs a general non-disclosure agreement.
- Implement an ethical wall to screen the paralegal from any involvement or communication related to the specific case. (Correct answer)
- Ask the paralegal to certify that they will not use any prior knowledge.
- Notify the state bar association of the new hire.
Correct answer: Implement an ethical wall to screen the paralegal from any involvement or communication related to the specific case.
When a paralegal moves from a firm to the opposing firm in the middle of a case, a conflict of interest arises. To prevent the new firm from being disqualified, it must implement a timely and effective ethical wall (or screen). This involves isolating the paralegal from all aspects of the case, including conversations, documents, and electronic files, to ensure no confidential information from the prior employment is improperly transmitted.
Question 4: Which of the following activities would constitute the unauthorized practice of law (UPL) if performed by a paralegal?
- Drafting a response to interrogatories for an attorney's review and signature.
- Interviewing a new client to gather factual information about their case.
- Signing and sending a letter to a client that provides a legal opinion on the merits of their case. (Correct answer)
- Organizing and managing case files and client documents.
Correct answer: Signing and sending a letter to a client that provides a legal opinion on the merits of their case.
Providing a legal opinion or advice is a core function reserved exclusively for licensed attorneys. A paralegal drafting and signing such a letter would be engaging in the unauthorized practice of law. The other tasks—drafting documents for attorney review, client interviews, and file management—are standard paralegal duties performed under attorney supervision.
Question 5: A paralegal receives a check from a client representing an advance on fees and costs. What is the proper procedure for handling these funds?
- Deposit the check into the law firm's general operating account.
- Cash the check and give the funds to the supervising attorney.
- Hold the check in the client's physical file until the fees are earned.
- Deposit the check into the firm's client trust account. (Correct answer)
Correct answer: Deposit the check into the firm's client trust account.
Ethical rules require that client funds, including advances for fees and costs, be kept separate from the law firm's own funds. These funds must be deposited into a specially designated client trust account. Funds can only be moved from the trust account to the operating account as they are earned by the firm. Commingling client funds with the firm's operating funds is a serious ethical violation.
Question 6: According to the NALA Code of Ethics and Professional Responsibility, a paralegal has a duty to maintain a high degree of competency. Which of the following best demonstrates fulfillment of this duty?
- Working at the same law firm for over twenty years.
- Only performing tasks explicitly assigned by the supervising attorney.
- Regularly participating in continuing legal education (CLE) programs. (Correct answer)
- Socializing with attorneys and other legal professionals.
Correct answer: Regularly participating in continuing legal education (CLE) programs.
Canon 6 of the NALA Code of Ethics states that a paralegal must strive to maintain integrity and a high degree of competency through education and training. Actively participating in continuing legal education is a primary way to stay current with legal practices, rules, and substantive law, thereby fulfilling this ethical obligation.
Free CLA/CP Professional and Ethical Responsibility Questions and Answers
A paralegal, while having lunch with a friend in a public cafe, discusses a high-profile client's confidential case details.
The conversation is overheard by a reporter sitting at the next table.
Which fundamental ethical duty has the paralegal breached?