Ethics and Professional Responsibility: UPL and Confidentiality
What this domain tests
Ethics questions test the North Carolina Rules of Professional Conduct (27 NCAC 1B) as they apply to nonlawyer assistants, plus the statutory prohibition on the unauthorized practice of law in G.S. Chapter 84. The recurring theme: the lawyer owns the professional judgment; the paralegal executes it.
What a paralegal may and may not do
- May interview clients, draft documents for attorney review, conduct research, manage files and calendars, and communicate status information.
- May not give legal advice, quote a fee or negotiate one, accept a case, decide strategy, or sign pleadings and briefs. Under Rule 11 the pleading signature belongs to the attorney, who carries the State Bar number.
- Rule 5.3 requires the lawyer to make reasonable efforts to ensure a nonlawyer's conduct is compatible with the lawyer's professional obligations - meaning supervision policies, not just good intentions.
Confidentiality
Rule 1.6 protects all information relating to the representation, not merely communications covered by the attorney-client privilege. Protection survives the end of the engagement and continues after the client's death. In North Carolina, disclosure is generally permissive rather than mandatory - for example, to prevent reasonably certain death or substantial bodily harm - and the safest course is to escalate to the supervising attorney rather than decide alone.
Worked example
A caller asks, "How long do I have to sue my contractor?" The paralegal should not answer the limitations question. The correct response: gather contact information, explain that the attorney will evaluate the claim, avoid confirming any deadline, and route the intake sheet to the lawyer. Giving a specific period could constitute UPL under G.S. 84-2.1 and creates a malpractice trap if the answer is wrong.
Traps that cost marks
- Treating "we always do it that way" as a supervision policy.
- Disclosing file information to a spouse, a translator, or an accountant without authority.
- Assuming confidentiality ends when the bill is paid.