Paralegal Certification (CP / CLA) Professional Ethics and Regulation Syllabus

Professional Ethics and Regulation syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Professional Ethics and Regulation in Paralegal Certification (CP / CLA), not a summary of it.

1. 1

   Sources of Ethical Obligation

   3 topics

   • Rules governing legal professionals
     • ABA Model Rules of Professional Conduct
     • State rules and disciplinary authority
     • NALA Code of Ethics and Professional Responsibility
   • Imputed responsibility to non-lawyer staff
   • Consequences of ethical violations
2. 2

   Confidentiality and Privilege

   3 topics

   • Duty of confidentiality
     • Scope of protected information
     • Exceptions permitting disclosure
   • Attorney-client privilege
     • Elements and holders of the privilege
     • Waiver and inadvertent disclosure
   • Work-product doctrine
3. 3

   Conflicts of Interest

   4 topics

   • Concurrent and successive conflicts
   • Conflict checking procedures
   • Screening and ethical walls
     • Imputation of conflicts to the firm
     • Lateral hire screening
   • Informed consent and waivers
4. 4

   Integrity in Practice

   4 topics

   • Candor toward the tribunal
   • Handling client funds and IOLTA trust accounts
   • Advertising and solicitation rules
   • Fee splitting and partnership restrictions with non-lawyers

Professional Ethics and Regulation flashcards for Paralegal Certification (CP / CLA)

22 of 51 cards from the Professional Ethics and Regulation deck — real questions with worked answers.

1. What is the primary set of rules that governs the conduct of legal professionals in most U.S. jurisdictions?

   The ABA Model Rules of Professional Conduct, which most states have adopted (often with modifications) as their binding rules of professional responsibility.

2. Do the ABA Model Rules of Professional Conduct apply directly to paralegals?

   No. The Model Rules bind lawyers directly. Paralegals are governed indirectly because the supervising attorney is responsible for the paralegal's conduct, plus voluntary codes (e.g., NALA, NFPA) and state guidelines.

3. Which two national paralegal associations publish ethics codes for paralegals?

   NALA (National Association of Legal Assistants) Code of Ethics and Professional Responsibility, and NFPA (National Federation of Paralegal Associations) Model Code of Ethics and Professional Responsibility.

4. Under the doctrine of imputed (vicarious) responsibility, who is accountable for a paralegal's ethical violation?

   The supervising attorney. Model Rule 5.3 makes lawyers responsible for ensuring non-lawyer assistants act in a manner compatible with the lawyer's professional obligations.

5. What does ABA Model Rule 5.3 require of attorneys regarding non-lawyer staff?

   Lawyers with managerial/supervisory authority must make reasonable efforts to ensure non-lawyer assistants' conduct is compatible with the lawyer's professional obligations, and may be responsible for their misconduct if they order, ratify, or fail to remedy it.

6. When is a lawyer directly responsible for a non-lawyer's misconduct under Rule 5.3?

   When the lawyer orders or ratifies the conduct, or is a manager/supervisor who knows of the conduct in time to avoid or mitigate its consequences but fails to take reasonable remedial action.

7. What is the unauthorized practice of law (UPL) for a paralegal?

   A non-lawyer performing tasks reserved exclusively for licensed attorneys: giving legal advice, setting fees, accepting cases, representing clients in court, or establishing an attorney-client relationship.

8. Name three tasks a paralegal may NOT perform because they constitute UPL.

   Giving legal advice, representing a client in court, and setting/quoting legal fees. (Also: accepting a case or signing pleadings as counsel.)

9. What are the possible consequences for an attorney who commits an ethical violation?

   Disciplinary sanctions ranging from private/public reprimand, censure, suspension, to disbarment; plus possible civil malpractice liability, fee forfeiture, and criminal charges in serious cases.

10. List the progression of attorney disciplinary sanctions from least to most severe.

    Private reprimand → public reprimand/censure → suspension (temporary loss of license) → disbarment (permanent revocation of license).

11. What is the lawyer's duty of confidentiality under Model Rule 1.6?

    A lawyer must not reveal information relating to the representation of a client unless the client gives informed consent, disclosure is impliedly authorized, or an exception applies.

12. How broad is the duty of confidentiality compared with the attorney-client privilege?

    The duty of confidentiality (Rule 1.6) is broader: it covers ALL information relating to the representation regardless of source. The privilege covers only confidential communications between attorney and client for legal advice.

13. From what source must information come to be protected by the duty of confidentiality?

    Any source. Rule 1.6 protects all information relating to the representation, whether learned from the client, third parties, or independent investigation.

14. Name three exceptions that permit a lawyer to reveal confidential information under Rule 1.6(b).

    To prevent reasonably certain death or substantial bodily harm; to prevent/rectify client fraud or crime causing financial injury where the lawyer's services were used; and to comply with a court order or law. (Also: to secure legal ethics advice, to establish a claim/defense in a fee or malpractice dispute.)

15. What is the attorney-client privilege?

    An evidentiary rule protecting confidential communications between a client and attorney made for the purpose of obtaining or providing legal advice, allowing the client to refuse to disclose them and prevent others from disclosing them.

16. What are the essential elements of the attorney-client privilege?

    (1) A communication (2) between privileged persons (client and attorney/their agents) (3) made in confidence (4) for the purpose of obtaining or providing legal advice/assistance.

17. Who holds the attorney-client privilege and who may waive it?

    The client holds the privilege; only the client (not the attorney) may waive it. The attorney must assert it on the client's behalf.

18. Does the attorney-client privilege extend to communications with paralegals?

    Yes. Privilege extends to a lawyer's agents, including paralegals, as long as the communication is confidential and made for purposes of legal representation.

19. Name two situations in which the attorney-client privilege does NOT apply (exceptions).

    The crime-fraud exception (communications made to further a crime or fraud) and disputes between the attorney and client (e.g., fee or malpractice claims). Also: communications made in the presence of unnecessary third parties.

20. What is the crime-fraud exception to the attorney-client privilege?

    The privilege does not protect communications made for the purpose of committing or furthering a future crime or fraud; such communications are not protected even if the lawyer was unaware of the client's intent.

21. What is the work-product doctrine?

    A rule protecting materials prepared by or for an attorney in anticipation of litigation or trial from discovery by opposing parties.

22. Distinguish ordinary (fact) work product from opinion work product.

    Ordinary/fact work product (documents, witness statements, facts gathered) is discoverable upon a showing of substantial need and undue hardship. Opinion work product (an attorney's mental impressions, conclusions, legal theories) receives nearly absolute protection.

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