NALA Professional and Ethical Responsibility Questions and Answers 1 — Questions and Answers
Question 1: A paralegal works for a law firm representing the plaintiff in a complex personal injury case. The paralegal's new spouse is an insurance adjuster for the company that is defending the same case. The paralegal discloses this relationship to the supervising attorney. Which of the following ethical issues is the PRIMARY concern?
- Unauthorized practice of law
- Breach of client confidentiality
- Commingling of funds
- Conflict of interest (Correct answer)
Correct answer: Conflict of interest
This scenario presents a clear conflict of interest. The paralegal's personal relationship with an employee of the opposing party creates a risk that confidential client information could be inadvertently disclosed or that the paralegal's loyalty to their firm's client could be compromised. The firm must assess the conflict and may need to implement an ethical wall or remove the paralegal from the case.
Question 2: A client, anxious about an upcoming deposition, calls the paralegal and asks, "Based on the documents we've produced, do you think I'm going to win this case?" According to the NALA Code of Ethics, which action by the paralegal is most appropriate?
- Provide a reassuring opinion based on the paralegal's experience with similar cases.
- Refuse to answer and immediately end the phone call.
- Explain that providing a legal opinion constitutes the unauthorized practice of law and offer to schedule a call with the attorney. (Correct answer)
- Advise the client that while victory is likely, nothing is guaranteed in litigation.
Correct answer: Explain that providing a legal opinion constitutes the unauthorized practice of law and offer to schedule a call with the attorney.
NALA's Code of Ethics strictly prohibits paralegals from engaging in the unauthorized practice of law (UPL), which includes giving legal opinions or advice. Predicting the outcome of a case is a legal opinion that only a licensed attorney can provide. The paralegal's proper role is to explain this limitation and facilitate communication with the supervising attorney.
Question 3: The ethical duty of confidentiality a paralegal owes to a client is broader than the evidentiary rule of attorney-client privilege. Which of the following BEST illustrates this distinction?
- A paralegal can testify in court about confidential client information if ordered by a judge.
- A paralegal must not discuss a client's case with friends, even if the information was learned from a public record and not directly from the client. (Correct answer)
- Attorney-client privilege protects all documents in a client's file, while confidentiality only protects verbal communications.
- Confidentiality ends when the case concludes, but attorney-client privilege is permanent.
Correct answer: A paralegal must not discuss a client's case with friends, even if the information was learned from a public record and not directly from the client.
The duty of confidentiality covers all information relating to the representation of a client, regardless of the source. The attorney-client privilege, however, is an evidentiary rule that only protects confidential communications between the client and the legal team for the purpose of obtaining legal advice. Information from a public record is not privileged, but a paralegal still has an ethical duty not to discuss it in a way that could harm the client.
Question 4: A paralegal receives a check from a client representing an advance for future costs and attorney's fees. The supervising attorney is on vacation and cannot be reached. What is the paralegal's ethical obligation regarding these funds?
- Deposit the check into the law firm's general operating account to ensure it is secure.
- Hold the check in the client's physical file until the attorney returns.
- Immediately deposit the check into the designated client trust account. (Correct answer)
- Cash the check and place the money in the office safe for proper allocation later.
Correct answer: Immediately deposit the check into the designated client trust account.
Client funds, including advances for fees and costs, must be kept separate from the law firm's own funds to prevent commingling. The funds must be promptly deposited into a specially designated client trust account (often an IOLTA account). Failure to do so is a serious ethical violation for which the supervising attorney is ultimately responsible, but in which the paralegal must not participate.
Question 5: A paralegal is in a meeting with the supervising attorney and a client. The client admits to the attorney and paralegal that they intentionally destroyed key documents relevant to the litigation. The opposing party later serves a discovery request for these specific documents. Which ethical duty is most directly implicated for the legal team?
- Duty of zealous representation
- Duty of candor toward the tribunal (Correct answer)
- Duty to avoid conflicts of interest
- Duty to communicate with the client
Correct answer: Duty of candor toward the tribunal
The duty of candor toward the tribunal requires that lawyers (and the paralegals they supervise) do not offer false evidence or engage in fraudulent conduct. Knowingly concealing the fact that evidence has been destroyed and responding to discovery as if it never existed would be a violation of this duty. The legal team cannot mislead the court or the opposing party.
Question 6: Under what circumstances may a paralegal properly share confidential client information without the client's consent?
- When discussing the case with the paralegal's spouse for emotional support.
- When necessary to prevent the client from committing a future crime likely to result in imminent death or substantial bodily harm. (Correct answer)
- When a former colleague, now at another firm, asks for advice on a similar case.
- When posting a vague, anonymized question about a case issue on a public social media forum for paralegals.
Correct answer: When necessary to prevent the client from committing a future crime likely to result in imminent death or substantial bodily harm.
While the duty of confidentiality is very broad, most ethical rules, including the ABA Model Rules that guide paralegal ethics, provide a narrow exception. A legal professional may reveal confidential information to the extent necessary to prevent reasonably certain death or substantial bodily harm. All other options presented are clear violations of the duty of confidentiality.
NALA Professional and Ethical Responsibility Questions and Answers 1
A paralegal works for a law firm representing the plaintiff in a complex personal injury case.
The paralegal's new spouse is an insurance adjuster for the company that is defending the same case.
The paralegal discloses this relationship to the supervising attorney.
Which of the following ethical issues is the PRIMARY concern?