The NALA Code of Ethics and Professional Responsibility

Ethics is not just one section of the Certified Paralegal exam. Ethical principles are woven throughout the entire test, appearing in questions about every substantive area. Understanding the NALA Code of Ethics and Professional Responsibility is essential for exam success and professional practice.

Overview of the NALA Guidelines

The National Association of Legal Assistants (NALA) has established ethical guidelines that define the professional standards for paralegals. These guidelines complement the Model Rules of Professional Conduct that govern attorney conduct and establish the boundaries within which paralegals must operate.

The NALA Model Standards and Guidelines for the Utilization of Paralegals cover several key areas. Let us examine each one.

Guideline 1: Legal Assistants Should Not Engage in UPL

The most fundamental ethical rule for paralegals is the prohibition against the unauthorized practice of law (UPL). Paralegals must not:

Establish attorney-client relationships
Set legal fees
Give legal advice or opinions
Represent clients in court (except where authorized by statute, such as certain administrative proceedings)
Accept or reject cases
Sign pleadings or legal documents (unless permitted by court rule)

Paralegals may, under proper supervision, conduct legal research, draft documents, interview clients, assist at depositions, and perform many other tasks. The key is that all work must be supervised by and attributable to a licensed attorney.

Guideline 2: Disclosure of Status

A paralegal must always disclose their non-attorney status to clients, opposing parties, courts, and other professionals. This disclosure must occur at the outset of any professional contact. Using titles like "paralegal," "legal assistant," or "certified paralegal" is appropriate. Using titles that imply the person is an attorney is prohibited.

Guideline 3: Confidentiality

Paralegals are bound by the same confidentiality obligations as attorneys. This means:

All information relating to the representation of a client must be kept confidential
The attorney-client privilege protects communications between the client and the legal team, including paralegals
Work product doctrine protects documents and tangible things prepared in anticipation of litigation
Confidentiality survives the termination of employment. A paralegal who leaves a firm must not disclose client information from their former employer.
The duty continues even after the representation ends and even after the client's death

Exceptions to confidentiality exist when the client gives informed consent, when disclosure is impliedly authorized to carry out the representation, or when an exception applies (such as preventing reasonably certain death or substantial bodily harm).

Guideline 4: Conflict of Interest

Paralegals must be vigilant about conflicts of interest. When a paralegal moves from one firm to another, they must inform the new firm of any cases at the former firm in which they had substantial involvement. The new firm must implement an ethical screen (also called a "Chinese wall") to prevent the paralegal from working on conflicting matters.

Key conflict rules include:

A paralegal cannot work on a case that is adverse to a former client about whom the paralegal has confidential information
A paralegal should not have a personal or financial interest that conflicts with a client's interests
The firm must conduct conflict checks before accepting new clients or matters

Guideline 5: Competence

Paralegals have a duty to maintain competence through continuing education and professional development. NALA requires Certified Paralegals to complete continuing legal education (CLE) to maintain their credential. This reflects the broader obligation to stay current with legal developments and to perform work at a competent level.

Guideline 6: Pro Bono and Community Service

NALA encourages paralegals to participate in pro bono services and community activities. While not a mandatory ethical requirement in the same way as confidentiality or UPL avoidance, participation in pro bono work reflects the profession's commitment to access to justice.

Attorney Supervision

The supervising attorney bears ultimate responsibility for the paralegal's work. This means:

The attorney must review the paralegal's work product
The attorney is ethically responsible for the paralegal's conduct
The attorney must provide adequate supervision and guidance
If a paralegal commits an ethical violation, the supervising attorney may face disciplinary consequences

Handling Ethical Dilemmas

When facing an ethical dilemma on the CP exam or in practice, follow this framework:

Identify the ethical issue (UPL, confidentiality, conflict, competence)
Determine which rule or guideline applies
Consider the consequences of different actions
When in doubt, consult with the supervising attorney
When the supervising attorney directs unethical conduct, the paralegal should refuse and, if necessary, withdraw from the representation

Ethics on the CP Exam

Expect ethics questions throughout the exam, not just in a standalone ethics section. You may face a contracts question that also tests whether the paralegal's conduct in the scenario violates an ethical rule. Practice identifying ethical issues in factual contexts. Use our flashcard system to reinforce NALA ethical guidelines. Sign up free to access our complete ethics study materials.

NALA Code of Ethics: What Every Paralegal Must Know