Chapter 2 - Regulation of Paralegals and Ethics Guidelines for Paralegals

Question 1

The (1) was established to provide funding for legal services to the indigent, which led to (2) and (3), as well as improved practice models that included (4).In 1967, the ABA endorsed the concept of the paralegal and established the (5).

Answer 1

1. Legal Services Corporation
2. low-cost legal clinics
3. prepaid legal plans
4. paralegals/legal assistants
5. Standing Committee on Legal Assistants (later Standing Committee on Paralegals)

Question 1

As numbers of paralegals in law firms began to grow, the (1) was started for managers of the paralegals. It is now known as the (2). Paralegals also began (3).

Answer 1

1. Legal Assistant Management Association
2. International Paralegal Management Association
3. freelancing

Question 2

After acceptance of the concept of paralegals, the first (1) and then (2). The (3), a voluntary certification program, was established by NALA.

Answer 2

1. formal paralegal training programs
2. paralegal associations
3. Certified Legal Assistant program (CLA)

Question 2

Two types of paralegal tests

Answer 2

1. NALA’s Certified Legal Assistant test (CLA)

2. NFPA’s Paralegal Advanced Competency Examination (PACE) (to be a Registered Paralegal)

Question 3

3 paralegal associations

Answer 3

1. National Federation of Paralegal Associations (NFPA)
2. National Association of Legal Assistants (NALA)
3. American Association for Paralegal Education (AAfPE)

Question 3

Another group that includes paralegals is (1), which was made years ago to represent legal secretaries.

Answer 3

1. NALS

Question 4

A form of recognition of an occupation based on a person’s having met specific qualifications, usually undertaken voluntarily

Answer 4

certification

Question 5

Mandatory form of regulation in which a government agency grants permission to engage in an occupation and use a title

Answer 5

licensing

Question 6

Typically, both licensing and certification require applicants to meet requirements for (1) and (2) and to pass an examination. Additional requirements include adoption of a (3), a mechanism for (4), and requirements for (5).

Answer 6

1. education
2. moral character
3. ethics code
4. disciplining licensed persons who violate ethics rules
5. continuing education

Question 7

States have individually made steps to (1) the paralegal profession by (2) and setting (3). California adopted the first (4) in the country; this set of statutes is neither certification nor licensing.

Answer 7

1. regulate
2. defining paralegals/legal assistants
3. qualifications
4. regulatory scheme for paralegals

Question 8

3 basic requirements of California law regarding paralegals, with which most law firms comply

Answer 8

1. must work under supervision of a lawyer
2. certain experience/education/ongoing education
3. Illegal to hold self as paralegal if not meeting the requirements

Question 9

While many paralegals across the country continue to promote (1), several associations have changed strategy and are working to establish (2) programs of (3).

Answer 9

1. regulation
2. state-sponsored
3. voluntary certification

Question 10

Certification examinations are often given in several (1), valid for a (2) and (3).

Answer 10

1. areas of law
2. specified time
3. renewable

Question 11

3 things that might be required for voluntary certification

Answer 11

1. Meet educational requirements
2. Have designated levels of legal experience
3. pass examination

Question 12

The (1) continues to hold fast in opposing reuglation and is neutral toward voluntary certification, because the public is protected by (2). (3) also opposes licensing.

Answer 12

1. ABA Standing Committee on Paralegals
2. standards on lawyers
3. International Paralegal Management Association

Question 13

6 arguments against licensing of attorney-supervised paralegals

Answer 13

1. unnecessary because attorneys are accountable
2. increases cost of legal services
3. stifles development of profession by limiting functions performed
4. inappropriately limits entry into the profession
5. unnecessarily standardizes paralegal education
6. limits paralegals from moving into new areas of practice or duties

Question 14

5 arguments for licensing of traditional paralegals

Answer 14

1. provides appropriate public recognition for paralegals
2. ensures high standards and quality of work by paralegals
3. expands use of paralegals, thus, access to legal services at lower costs
4. provides guidance to clients and to lawyers regarding the paralegal role and qualifications
5. encourages needed standardization in paralegal education

Question 15

9 points of contention in deciding whether paralegals should be licensed

Answer 15

1. what level of education should be required
2. whether experienced paralegals without formal education can be licensed
3. the necessity for a competency-based examination
4. moral character check?
5. continuing education?
6. separate ethics code?
7. whether legislature should regulate
8. how discipline should be handled
9. how entire process should be funded

Question 16

A related debate to licensing is whether (1); some laws have already ruled against it.

Answer 16

1. disbarred lawyers should be able to work as paralegals

Question 17

The need for (1) has spurred opening up of nonlawyer practice. Some commentators favor (2) of nonlawyer legal service providers for tasks such as handling (3) and (4).

Answer 17

1. greater access to legal services
2. limited licensing
3. simple real estate closings
4. drafting simple wills

Question 18

persons not licensed to practice law who provide legal services directly to the public

Answer 18

nonlawyer legal service providers

Question 19

nonlawyer legal service providers who assist persons in preparing legal documents without giving legal advice

Answer 19

legal document assistants (California)/legal document preparers (Arizona)

Question 20

3 things a certified document preparer can do

Answer 20

1. provide and prepare forms
2. provide information (but not legal advice)
3. file/arrange for service

Question 21

Washington has proposed a Limited Practice Rule for (1) who would be able to do a number of tasks.

Answer 21

1. Legal technicians

Question 22

Some states have adopted (1) for attorneys working with paralegals. Some have also prepared accompanying (2) or (3).

Answer 22

1. guidelines 2. statements on the effective use of paralegals 3. listings of paralegal job functions

Question 23

6 critical areas of ethics that come into play with non-lawyers who arenot subject to discipline

Answer 23

1. unauthorized practice of law 2. disclosure of status as a paralegal 3. confidentiality 4. conflicts of interest 5. supervision and delegation 6. financial arrangements between lawyers and paralegals

Question 24

The (1) serves as a model for states and as a guide to help lawyers use paralegal services effectively and appropriately. Many jurisdictions have adopted all or some of these.

Answer 24

1. ABA Model Guidelines for the Utilization of Paralegal Services

Question 25

Both major national paralegal professional associations have codes of ethics; NALA has the (1), and NFPA has the (2) as well as the (3).

Answer 25

1. Code of Ethics and Professional Responsibility 2. Affirmation of Responsibility 3. Model Disciplinary Rules (impose punishments)

Question 26

NALA has both (1) and (2). All members sign a (3) to NALA's code of ethics, and at the (4) there is a mechanism in place to investigate violations and remove membership. The code must be signed again every (5).

Answer 26

1. individual members 2. affiliated local chapters 3. statement of commitment 4. national level 5. five years

Question 27

NALA also publishes the Model Standards and Guidelines for the Utilization of Legal Assistants. The two purposes of the guidelines are (1) and (2).

Answer 27

1. serve as educational and informational tool for individual attorneys 2. provide a model for states seeking to develop their own guidelines

Question 28

The NFPA issues (1) on current concerns of interest to practicing paralegals, such as Internet communication and outsourcing of legal work.

Answer 28

1. ethics opinions

Question 29

Lawyers have a strong (1) to make sure paralegals know the state codes, but some states require (2) toward this. (3) of the ABA's Model Rule requiring lawyer's responsibilities in retaining lawyers mandate that lawyers provide appropriate instruction and supervision as well as internal procedure and policies related to ethics.

Answer 29

1. incentive 2. affirmative steps 3. Official comments

Question 30

Another incentive for paralegals to act correctly is that they are (1) in (2).

Answer 30

1. potential defendants | 2. civil malpractice suits

Question 31

Lawyers are responsible for paralegals under the doctrine of (1) or (2)--they are responsible for the paralegals' acts in the scope of employment.

Answer 31

1. respondeat superior | 2. vicarious liability