CLA/CP Exam CLA/CP Professional and Ethical Responsibility 1 — Questions and Answers
Question 1: A paralegal receives a call from a client asking whether the client should accept a settlement offer. The paralegal believes the offer is fair. What is the paralegal's proper response?
- Advise the client to accept the offer based on similar cases the firm has handled
- Explain that only the supervising attorney can advise on whether to accept a settlement, and offer to relay the question (Correct answer)
- Refuse to discuss the matter at all and hang up
- Tell the client the offer sounds reasonable but to consult a second attorney
Correct answer: Explain that only the supervising attorney can advise on whether to accept a settlement, and offer to relay the question
Advising a client whether to accept a settlement is a legal decision that constitutes the practice of law. A paralegal must refer such decisions to the supervising attorney rather than offering personal legal judgment.
Question 2: Which of the following best describes a paralegal's duty when assigned work that the paralegal believes contains a legal error made by the supervising attorney?
- Complete the work as directed without comment to preserve the attorney-client relationship
- Correct the error independently and submit the revised work without notifying anyone
- Bring the concern to the supervising attorney's attention and document having done so (Correct answer)
- Report the attorney immediately to the state bar association
Correct answer: Bring the concern to the supervising attorney's attention and document having done so
Paralegals have a professional obligation to communicate perceived errors to their supervising attorney. Correcting work unilaterally or ignoring the issue both violate proper professional responsibility; the state bar is not the first recourse for internal errors.
Question 3: Under NALA's Code of Ethics, a paralegal who is asked by a client to keep a secret from the supervising attorney should:
- Honor the client's request to maintain trust
- Agree only if the information is not material to the case
- Decline, because a paralegal cannot maintain confidences that are withheld from the supervising attorney (Correct answer)
- Report the client's request to the opposing counsel
Correct answer: Decline, because a paralegal cannot maintain confidences that are withheld from the supervising attorney
Paralegals work under attorney supervision, and their ethical duties flow through that relationship. Withholding material client information from the supervising attorney would undermine the attorney's ability to competently represent the client.
Question 4: A paralegal signs a letter to opposing counsel using the title 'Paralegal' but inadvertently uses the firm's letterhead without adding a disclaimer that the letter is from a non-attorney. Which ethical principle is most at risk?
- Confidentiality
- Competence
- Unauthorized practice of law through misrepresentation of status (Correct answer)
- Conflict of interest
Correct answer: Unauthorized practice of law through misrepresentation of status
Communications that could lead opposing counsel or third parties to believe they are dealing with an attorney implicate the prohibition on misrepresentation of status, which is a form of unauthorized practice of law concern under NALA guidelines.
Question 5: A paralegal at a criminal defense firm is contacted by a journalist seeking comment on a high-profile case. The paralegal has relevant knowledge of the matter. What should the paralegal do?
- Provide only publicly available information to assist the journalist
- Decline to comment and refer the journalist to the supervising attorney or firm spokesperson (Correct answer)
- Give a brief comment as long as no privileged communications are disclosed
- Ask the client's permission before speaking to the journalist
Correct answer: Decline to comment and refer the journalist to the supervising attorney or firm spokesperson
Paralegals must preserve client confidentiality and may not independently speak with media about pending matters. Statements about a case should come from the supervising attorney or an authorized firm spokesperson, even if no privileged content would be revealed.
Question 6: A paralegal discovers that a colleague in the same firm is sharing client files with an outside vendor without client consent or a proper confidentiality agreement. What is the paralegal's most appropriate course of action?
- Ignore it because the colleague is more senior
- Join the practice if the supervising attorney is already aware of it
- Report the conduct to the supervising attorney or firm management promptly (Correct answer)
- Notify the client directly before taking any internal steps
Correct answer: Report the conduct to the supervising attorney or firm management promptly
Paralegals have an affirmative duty to protect client confidentiality and must report observed ethical violations to the supervising attorney or appropriate firm management. Going directly to the client before exhausting internal channels is not the proper first step.
