Part 3: NALS Ch 2: Ethics

Question 1

“Ethics”

Answer 1

the principles or moral disciplines that govern an activity or profession

Question 2

2 situations that pose the greatest ethical hazards to the experienced lawyer’s assistant:

Answer 2

• the pressure of deadlines resulting in work improperly prepared or assignments completed without sufficient supervision
• familiarity of the work leading to carelessness with client confidences or conflicts of interest

Question 3

In 1967, the American Bar Association (ABA) stated in its Formal Opinion 316 that a lawyer can use the services of support personnel who______

Answer 3

“do not do things that lawyers may not do or do the things that lawyers only may do.”

Question 4

“ABA Canons of Professional Ethics”

Answer 4

adopted in 1908 and included 32 canons of professional ethics. Fifteen more were added in the 1960s.

Question 5

“ABA Model Code of Professional Responsibility”

Answer 5

Established in 1969 to supersede older “ABA Canons of Professional Ethics”.
Was organized into canons, ethical considerations, and disciplinary rules.

Question 6

“ABA Model Rules of Professional Conduct”

Answer 6

Adopted In 1983 to define the role of the lawyer within the legal system

Question 7

T/F: History of legal ethics
1908- ABA Canons of Professional Ethics (original 32)
1960s- ABA Canons of Professional Ethics (additional 15)
1969- ABA Model Code of Professional Responsibility
1983- ABA Model Rules of Professional Conduct

Answer 7

True

Question 8

“ABA Model Rules of Professional Conduct” are also referred to as _______

Answer 8

“Model Rules”

Question 9

Model Rules 1.1 through 1.18 concern

Answer 9

client-lawyer relationships
(including representation, fees, communication, confidentiality of information, conflicts of interest, duties to former clients, organizations as clients, clients with diminished capacity, safekeeping of client property, and declining or ending representation of a client)

Question 10

Model Rules 2.1 through 2.4 concern

Answer 10

the lawyer’s role as an advisor, third-party neutral, and evaluator

Question 11

Model Rules 3.1 through 3.9 deal with

Answer 11

lawyer as advocate and cover meritorious claims and contentions, expediting litigation, candor towards the tribunal (court), fairness to the opposing party and counsel, impartiality and decorum of the tribunal, trial publicity, and situations in which the lawyer must serve as a witness.

Question 12

Model Rules 4.1 through 4.4 cover

Answer 12

transactions with persons other than clients and emphasize truthfulness of statements to others, communications with persons represented by counsel, dealing with unrepresented persons, and respect for the rights of others

Question 13

Model Rules 5.1 through 5.7 cover

Answer 13

law firms and associations and include the responsibilities of supervisory and subordinate lawyers, responsibilities regarding the assistance of legal support staff, the unauthorized practice of law, and restrictions on the right to practice.

Question 14

Model Rules 6.1 through 6.5 deal with

Answer 14

lawyers and public service, including pro bono work, accepting appointments, membership in legal services organizations, and law reform activities that may affect client interests.

Question 15

Model Rules 7.1 through 7.6 concern

Answer 15

information about legal services and cover advertising, solicitation of clients, firm names and letterheads, as well as fields of practice and specialization

Question 16

Model Rules 8.1 through 8.5 address

Answer 16

the lawyer’s responsibility to maintain the integrity of the profession and include bar admission, disciplinary matters, reporting professional misconduct, the commission of misconduct, and the jurisdiction to which the lawyer is subject

Question 17

Because the “Model Rules” have served as the foundation for current ethical rules in all jurisdictions (including California), __________ are often of great use in interpreting and understanding a lawyer’s or lawyer’s assistant’s ethical obligations.

Answer 17

ABA publications

Question 18

The “NALS® Code of Ethics and Professional Responsibility” was developed to

Answer 18

provide a professional standard specifically appropriate to the work of all legal support professionals

Question 19

Which “Model Rule” sets forth responsibilities regarding nonlawyer assistants?

Answer 19

Model Rule 5.3

(a) a partner must ensure the firm has measures to assure nonlawyer assistant’s conduct is ethical
(b) direct supervisory lawyer must ensure nonlawyer assistant’s conduct is ethical
(c) Lawyer shall be responsible for unethical conduct if they order or ratify it, or are a partner of the firm and fails to take action.

Question 20

“unauthorized practice of law (often referred to as UPL)”

Answer 20

doing things only lawyers may do (i.e. give legal advice)

Question 21

Examples of information a lawyer’s assistant CAN share with client:

Answer 21

• time and place of a hearing,
• how to dress for an appearance in court,
• whether a specific piece of information or document may be needed by the lawyer in handling the case

Question 22

Examples of information a lawyer’s assistant CAN NOT share with client:

Answer 22

• the status of the case, for example, “the motion was filed, the briefs were submitted, and the court has not yet ruled”
• opposing party has yet to respond to discovery requests or letter.
• any new legal issues that have arisen since a case concluded

Question 23

When a family member, friend or neighbor wants the assistant to evaluate a legal situation (i.e. whether someone “has a case,” needs to see a lawyer, or can handle a legal matter themselves), the lawyer’s assistant should respond with____

Answer 23

• “I think you should speak with a lawyer,” or

- “I am not a lawyer, and I am not allowed to give legal advice.”

Question 24

If there is an emergency which makes it impossible for the lawyer to appear in court or contact the court, the lawyer’s assistant can:

Answer 24

call the court and ask for direction in addressing the situation—(the answer is typically that the court will determine whether a continuance may be granted)

Question 25

paralegals or legal assistants are sometimes allowed to appear at administrative proceedings in some state and federal agencies. to find out what the requirements are for this type of representation review ____

Answer 25

jurisdictional (not administrative) rules

Question 26

it is probably best for the lawyer to quote all fees in whenever possible. However,

Answer 26

Lawyers sometimes instruct their staff in how to quote fees in limited situations. (i.e. not initial contact)

Question 27

Only the lawyer may accept cases. (i.e. When a long-term client calls to ask for help with a traffic ticket, that’s a new matter, and the best answer is:

Answer 27

• to have the client discuss the ticket with the lawyer
• to say, “If you’ll send us a copy of the ticket, I’ll have the lawyer look at it and let you know whether he/she can help with it.”

Question 28

Some lawyers need to be encouraged to maintain the lawyer-client relationship. Some things the assistant can do to ensure the lawyer communicates directly with the client:

Answer 28

• remind the lawyer of the need to follow through on phone messages,
• ask for permission to forward copies of pleadings and correspondence to the client,
• encourage the lawyer to send a status letter when a certain amount of time has elapsed, or key events have occurred

Question 29

If the lawyer refuses to communicate with the client, who is answerable for misconduct?

Answer 29

the lawyer (not the legal assistant)

Question 30

“direct supervision”

Answer 30

the lawyer directly supervising the actions of the lawyer’s assistant. (For example, the paralegal may draft a pleading, provided the lawyer reviews it before it is filed.)

Question 31

No one without a law license may practice law in any jurisdiction, and in many jurisdictions practicing law without a license is____

Answer 31

a crime. (There are some jurisdictions where it is permissible for paralegals to do some legal tasks on their own, including drafting simple wills.)

Question 32

A recommendation of a lawyer coming from someone employed in the field is likely to carry extra weight, however, the lawyer’s assistant should not ______ on behalf of the lawyer.

Answer 32

solicit business

Question 33

The obligation to maintain confidential information:

Answer 33

• is a lifetime obligation, even after the client is no longer being represented
• extends to people who may have sought legal advice from the firm
• requires careful handling of any contacts by the press

Question 34

examples of conflicts of interest by staff members (which must be reported to the lawyer otherwise could cause the disqualification of a firm in litigation):

Answer 34

1. If the assistant has previously worked:
   - with a law firm client on a different matter,
   - on a case opposing the firm client,
   - with the opposing counsel,
2. if the assistant knows or is related to any of the opposing parties in a matter

Question 35

Two requirements for a lawyer in maintaining professional competence:

Answer 35

1. provide competent representation to the client (includes quality of pleadings and correspondence)
2. take continuing education courses (CLE) to maintain a license

Question 36

Points for ethical handling of funds of clients and third parties

Answer 36

• Accurate accounting should be kept of the monies belonging to each client
• Distinguish between monies deposited against future legal fees and monies deposited to meet expected costs
• Each bill to the client should reflect any activity regarding the retainer and reflect the current balance of that client’s remaining retainer

Question 37

T/F: Occasionally, the lawyer may be in possession of the funds of third parties—particularly in states where lawyers sometimes serve as escrow agents.

Answer 37

True

Question 38

Ethical problems the notary will encounter include:

Answer 38

• a person requesting that the notary backdate the acknowledgment
• a lawyer witnesses a signature and asks the notary to notarize it on the lawyer’s say-so

Question 39

Who is responsible to ensure legal support staff do not violate ethical rules?

Answer 39

• the law firm should define the ethical precepts for its staff
• lawyer’s assistant must seek clarification and instruction whenever needed

Question 40

Both employer and the employee are bound to a strict code of ethics that ensures:

Answer 40

• excellent customer service
• encourages ongoing professional education and training
• maintains the integrity of the justice system