Professional and Ethical Responsibility

Professional and Ethical Responsibility on the CP Exam

Professional and Ethical Responsibility is one of the three highest-weighted content areas on the CP exam at 15%. This area is also consistently rated as the most difficult by candidates. Ethics questions require precise knowledge of what paralegals can and cannot do, the boundaries of unauthorized practice of law (UPL), and the ethical obligations that apply to paralegal practice.

Unauthorized Practice of Law (UPL)

Understanding UPL is the single most important ethics concept for the CP exam. Paralegals must work under the supervision of a licensed attorney and cannot engage in activities reserved for lawyers.

• Giving legal advice: Paralegals cannot advise clients on their legal rights, recommend courses of legal action, or interpret laws and regulations. They can relay the attorney's advice and provide factual information.
• Representing clients: Paralegals cannot appear in court on behalf of clients (with limited exceptions in some administrative hearings), negotiate settlements, or sign legal documents requiring attorney signature.
• Setting fees: Paralegals cannot establish, quote, or negotiate legal fees. Only the supervising attorney can set and communicate fee arrangements.
• Accepting cases: Paralegals cannot decide whether to accept or reject a client's case. This decision rests with the supervising attorney.

Confidentiality

• Scope: The duty of confidentiality extends to ALL information relating to the representation, not just privileged communications. This is broader than attorney-client privilege.
• Attorney-client privilege: Protects confidential communications between attorney and client made for the purpose of seeking legal advice. Paralegals are covered by the privilege when acting as agents of the attorney.
• Work product doctrine: Protects materials prepared in anticipation of litigation. Qualified protection for ordinary work product; near-absolute protection for mental impressions and legal theories.
• Duration: The duty of confidentiality survives the termination of the attorney-client relationship and even the death of the client.

Conflicts of Interest

• Identification: Paralegals must identify potential conflicts by checking new clients and matters against the firm's conflict database.
• Imputed disqualification: When a paralegal changes firms, conflicts from the prior firm may be imputed to the new firm. Ethical screens (Chinese walls) can prevent disqualification in many jurisdictions.
• Personal conflicts: Paralegals must disclose personal relationships, financial interests, or other circumstances that could affect their professional judgment.

NALA Standards and Guidelines

• Disclosure of status: Paralegals must always disclose their non-lawyer status to clients, courts, and third parties.
• Competence: Paralegals must maintain competence through continuing education and professional development.
• Supervision: All paralegal work must be performed under the supervision of a licensed attorney who is ultimately responsible for the work product.
• Pro bono: NALA encourages paralegals to participate in pro bono activities within their competence and under attorney supervision.

Ethics is the most challenging content area on the CP exam. Master it with ethics flashcards and test yourself with practice exam questions. Sign up free to access all study materials.