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NALS ALP: Ethics and Professional Responsibility

NALS ALP · Work through your exam, one topic at a time.

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Ethics and Professional Responsibility

Ethics and Professional Responsibility

This domain tests the nonlawyer’s duties under the rules of professional conduct and the limits of paralegal work. Expect questions on confidentiality, unauthorized practice of law, supervision, conflicts, competence, communication, fees, and trust-property safeguards.

Core rules

  • Confidentiality under Model Rule 1.6 broadly covers information relating to representation; it survives the end of representation and does not end when the client is unhappy.
  • A nonlawyer may not give legal advice, set fees, accept a case, sign a pleading on behalf of a client, or appear in court for a client. Explaining procedure and relaying attorney advice is generally permissible; recommending a legal course of action is not.
  • Under Rule 5.3, the lawyer must supervise nonlawyer assistants; the assistant must follow firm procedures and escalate doubtful issues.
  • Conflicts are checked before intake and throughout the matter. A new matter adverse to an existing client, or a former client’s confidential information, must be reported to the supervising attorney.
  • Trust funds belong to the client or third party; they must be kept separate from operating funds and disbursed only as authorized.
  • Communications about the matter should be accurate, professional, and not misleading.

Worked example

A client calls and asks, “Should I take the $40,000 settlement or go to trial?” The paralegal should not answer the legal question. The correct response is to explain that the attorney will evaluate the offer, offer to schedule a call, and relay the client’s question and any deadline to the attorney. The paralegal may confirm receipt of the offer and explain the next administrative step, but must not recommend acceptance or rejection.

Traps

Assuming supervision authorizes legal advice; disclosing information to a friend or in a social-media post; failing to run a conflict check because the new client is small; commingling client funds with firm funds; and promising a result or fee outcome. When in doubt, do not act-ask the attorney.