Registered Paralegal (PACE / RP) Legal Ethics and Professional Responsibility Syllabus

Legal Ethics and Professional Responsibility syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Legal Ethics and Professional Responsibility in Registered Paralegal (PACE / RP), not a summary of it.

1. 1

   Regulation of the Paralegal Profession

   3 topics

   • Sources of Paralegal Ethics Standards
     • NFPA Model Code of Ethics and Professional Responsibility
     • ABA Model Guidelines for Utilization of Paralegal Services
     • State-specific paralegal rules and definitions
   • Unauthorized Practice of Law (UPL)
     • Permissible vs. prohibited paralegal tasks
     • Giving legal advice, setting fees, and representing clients
     • Proper disclosure of paralegal status
   • Attorney Supervision and Delegation
     • Scope of permissible delegation
     • Attorney accountability for paralegal work
2. 2

   Confidentiality and Privilege

   3 topics

   • Duty of Confidentiality
     • Scope and exceptions to confidentiality
     • Inadvertent disclosure and remediation
   • Attorney-Client Privilege and Work Product
     • Elements and waiver of privilege
     • Ordinary vs. opinion work product
   • Data Security and Technology Competence
     • Safeguarding electronic client data
     • Email, cloud storage, and social media risks
3. 3

   Conflicts of Interest

   3 topics

   • Identifying Conflicts
     • Concurrent and former-client conflicts
     • Personal-interest and business conflicts
   • Imputation and Migratory Paralegals
     • Imputed disqualification
     • Ethical screens and walls
   • Waiver and Informed Consent
4. 4

   Professional Conduct and Integrity

   3 topics

   • Candor, Honesty, and Fairness
     • Duty of candor to the tribunal
     • Avoiding misrepresentation and fraud
   • Billing Ethics and Competence
     • Accurate timekeeping and fee splitting prohibitions
     • Competence, diligence, and continuing education
   • Reporting Misconduct and Ethical Decision-Making
     • Recognizing and reporting violations
     • Resolving ethical dilemmas

Legal Ethics and Professional Responsibility flashcards for Registered Paralegal (PACE / RP)

18 of 51 cards from the Legal Ethics and Professional Responsibility deck — real questions with worked answers.

1. What are the two primary national codes that supply ethics standards specifically for paralegals?

   The NFPA Model Code of Ethics and Professional Responsibility (with its Enforcement Guidelines) and the NALA Code of Ethics and Professional Responsibility / Model Standards and Guidelines for Utilization of Paralegals.

2. Why are paralegals bound by attorney ethics rules even though they are not licensed attorneys?

   Because paralegals work under attorney supervision, the supervising attorney is ethically responsible for the paralegal's conduct, and most state rules (e.g., ABA Model Rule 5.3) require lawyers to ensure nonlawyer assistants' conduct conforms to the lawyer's professional obligations.

3. What is the ABA's primary model for lawyer conduct that indirectly governs paralegals?

   The ABA Model Rules of Professional Conduct, which states adopt (often with modifications) as their binding rules; Rule 5.3 specifically addresses responsibilities regarding nonlawyer assistants.

4. Rank the typical hierarchy of authority for paralegal ethics sources from most to least binding.

   State rules of professional conduct / statutes (binding law) > state and local court rules > state bar ethics opinions (persuasive) > national association codes like NFPA/NALA (voluntary unless adopted).

5. Define the 'unauthorized practice of law' (UPL).

   UPL is performing acts that constitute the practice of law (giving legal advice, representing clients in court, establishing the attorney-client relationship, or setting legal fees) by a person not licensed to practice law.

6. What are the classic three things a paralegal may NEVER do because they constitute UPL?

   (1) Give legal advice, (2) represent a client in court, and (3) set or accept legal fees (establish the attorney-client relationship).

7. List tasks a paralegal MAY perform without committing UPL.

   Interviewing clients/witnesses, legal research, drafting documents and correspondence, factual investigation, organizing files and discovery, and communicating procedural information — all under attorney supervision and with attorney review.

8. May a paralegal sign a court pleading? Explain.

   No. Pleadings must be signed by the responsible attorney; a paralegal signing a pleading or holding themselves out as able to file/argue it would constitute UPL.

9. What is the rule about a paralegal relaying legal advice to a client?

   A paralegal may convey the supervising attorney's legal advice to the client but may never give their own independent legal advice or interpret the law for the client.

10. How must a paralegal disclose their non-attorney status?

    A paralegal must clearly and affirmatively disclose their status (e.g., on business cards, in introductions, and on correspondence) so clients, courts, and the public are never misled into thinking they are an attorney.

11. What ABA Model Rule governs a lawyer's responsibilities regarding nonlawyer assistants, and what does it require?

    ABA Model Rule 5.3 requires lawyers with managerial/supervisory authority to make reasonable efforts to ensure nonlawyer conduct is compatible with the lawyer's professional obligations, and makes the lawyer responsible for a nonlawyer's violation if the lawyer ordered or ratified it or failed to take reasonable remedial action.

12. Under Rule 5.3, when is a supervising lawyer personally responsible for a paralegal's ethical violation?

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

13. What is meant by 'proper delegation' of tasks to a paralegal?

    The attorney assigns appropriate (non-UPL) tasks, gives adequate instruction, maintains a direct relationship with the client, supervises the work, and reviews and takes responsibility for the final product.

14. Can an attorney delegate the duty to maintain a direct client relationship to a paralegal?

    No. The attorney must retain the direct relationship with the client and remain responsible for the overall representation; only discrete tasks may be delegated.

15. What three core elements define adequate attorney supervision of a paralegal?

    (1) Reviewing the paralegal's work product, (2) being available to answer questions and provide direction, and (3) retaining ultimate responsibility for the work and the client matter.

16. State the paralegal's duty of confidentiality.

    A paralegal must not reveal information relating to the representation of a client, and must preserve the confidences and secrets of clients, the same duty owed by the supervising attorney (ABA Model Rule 1.6).

17. Does the duty of confidentiality cover only privileged communications?

    No. The ethical duty of confidentiality (Rule 1.6) is broader and covers ALL information relating to the representation, regardless of source, not just privileged attorney-client communications.

18. Does the duty of confidentiality survive the end of the attorney-client relationship?

    Yes. The duty continues indefinitely, even after the matter concludes and after the client's death.

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