1. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 1 Preview Units 5-7 Unit Four Preview Midterm Review Legal Ethics – Unit Four Conflicts of Interest

2. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 2 Preview Units 4 - 6 UNIT FIVE - Midterm Week Take the Midterm Exam by the end of this unit 30 questions – T/F & Multiple Choice 2 hours to complete May be taken only once Explore ways to use the academic support services. Note: There will not be a quiz, discussion, or seminar this week.

3. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 3 Unit One Review Regulation of Lawyers and Paralegals This unit focused on the regulation of lawyers by courts, state legislatures, and state bar associations. The unit also discussed the important role of the American Bar Association (ABA) in defining and disseminating the Model Rules of Professional Conduct. Because legal assistants work under the supervision of lawyers, legal assistants should understand the ethical rules that govern lawyers and how they affect legal assistants

4. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 4 Unit One Review In this unit, you learned about the requirements for attorney licensing, the history and authority of the ABA Model Rules of Professional Conduct, and the role of paralegals. You also learned how attorneys and paralegals are regulated, and the requirements for licensing and certification. You gained familiarity with: the criteria for becoming a licensed attorney; the sources of regulatory power over the legal profession; the history of the ABA and its role in defining ethical standards for the legal profession; the Model Code of Professional Responsibility and the Model Rules of Professional Conduct; the sanctions imposed on lawyers for ethical misconduct; the differences between licensing and certification for paralegals; and the various paralegal organizations in existence.

5. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 5 Unit One Review Review Question: Methods by which paralegals may be regulated include: a)licensing, certification, and registration. b)civil penalties for the unauthorized practice of law. c)criminal penalties for the unauthorized practice of law. d)all of the above. e)none of the above.

6. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 6 Unit One Review Review Question: Methods by which paralegals may be regulated include: a)licensing, certification, and registration. b)civil penalties for the unauthorized practice of law. c)criminal penalties for the unauthorized practice of law. d)all of the above. e)none of the above.

7. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 7 Unit One Review Review Question : The American Bar Association a)is a voluntary organization for lawyers. b)has no disciplinary authority. c)has drafted sample or model rules of ethics for lawyers. d)all of the above. e)none of the above.

8. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 8 Unit One Review Review Question : The American Bar Association a)is a voluntary organization for lawyers. b)has no disciplinary authority. c)has drafted sample or model rules of ethics for lawyers. d)all of the above. e)none of the above.

9. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 9 Unit One Review Review Question : The American Bar Association’s Model Rules of Professional Conduct a)are the nationally recognized rules of professional responsibility in all fifty states. b)are rules that have been adopted in almost all of the states. c)are very old and not used any more. d)are the rules that govern pharmacists. e)none of the above.

10. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 10 Unit One Review Review Question : The American Bar Association’s Model Rules of Professional Conduct a)are the nationally recognized rules of professional responsibility in all fifty states. b)are rules that have been adopted in almost all of the states. c)are very old and not used any more. d)are the rules that govern pharmacists. e)none of the above.

11. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 11 Unit One Review Review Question : Local bar association ethics opinions a)are binding on all lawyers in the territorial jurisdiction of the bar association. b)are binding on all lawyers and paralegals in the states. c)are never published and have no legal effect. d)are advisory and persuasive. e)are simply learning exercises

12. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 12 Unit One Review Review Question : Local bar association ethics opinions a)are binding on all lawyers in the territorial jurisdiction of the bar association. b)are binding on all lawyers and paralegals in the states. c)are never published and have no legal effect. d)are advisory and persuasive. e)are simply learning exercises

13. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 13 Unit One Review Review Question : If a lawyer violates the rules of professional conduct, the lawyer is subject to a)disbarment. b)suspension. c)reprimand or reproval. d)criminal penalties. e)any of the above depending upon the severity of the offense.

14. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 14 Unit One Review Review Question : If a lawyer violates the rules of professional conduct, the lawyer is subject to a)disbarment. b)suspension. c)reprimand or reproval. d)criminal penalties. e)any of the above depending upon the severity of the offense.

15. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 15 Unit One Review Fill in the blank questions : 1.Paralegals who work outside the supervision of lawyers are called ___________. 2.The largest, voluntary association for lawyers and the one that drafts model codes of professional responsibility is called ___________. 3.The two largest and oldest paralegal associations are called _________ and _________.

16. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 16 Unit One Review True / False Questions: T / F Lawyers can be disciplined by suspension and disbarment. T / FModel Rule 5.3 makes lawyers responsible for the conduct of the paralegals they employ. T / FThe U.S. Supreme Court has said that charging attorneys’ fees for work performed by paralegals is unconstitutional. T / FNational paralegal associations have written codes of professional conduct for paralegals. T / FParalegals are bound by the same rules of ethics as lawyers.

17. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 17 Unit Two Review UNIT TWO provided a thorough understanding of the actions that are considered to be the unauthorized practice of law. We reviewed : The tests used by courts to determine whether an activity constitutes the practice of law The attorney's responsibility to prevent the unauthorized practice of law The specific areas in which unauthorized practice most directly affects legal assistants: court appearances, depositions, pleadings, and giving legal advice The duties that may not be delegated to legal assistants The importance of disclosure of one's status as a paralegal The boundaries over which paralegals working as independent contractors cannot cross without engaging in the unauthorized practice of law

18. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 18 Unit Two Review Unauthorized Practice of Law To figure out what UPL is, the first step is to define as closely as possible “practice of law.” How would you define the practice of law ?

19. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 19 Unit Two Review Unauthorized Practice of Law To figure out what UPL is, the first step is to define as closely as possible “practice of law.”  It is the application of a rule of law to a particular person’s fact pattern and giving a response or opinion, whether orally or in the form of a document.

20. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 20 Unit Two Review Unauthorized Practice of Law To figure out what UPL is, the first step is to define as closely as possible “practice of law.”  It is the application of a rule of law to a particular person’s fact pattern and giving a response or opinion, whether orally or in the form of a document. we need to look at those elements from both the point of view of the person asking for legal advice and the point of view of the person giving the advice

21. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 21 Unit Two Review Unauthorized Practice of Law To figure out what UPL is, the first step is to define as closely as possible “practice of law.”  It is the application of a rule of law to a particular person’s fact pattern and giving a response or opinion, whether orally or in the form of a document. we need to look at those elements from both the point of view of the person asking for legal advice and the point of view of the person giving the advice As paralegals, we are not going to be paralyzed by UPL regulations.

22. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 22 Unit Two Review Review Question: If you prepare a letter that contains information that might be construed as legal advice, you should: a. Ask another more experienced paralegal who should sign the letter. b. Sign the lawyer’s name. c. Give it to the lawyer for his or her review and signature. d. Sign the lawyer’s name and put your initials after the signature. e. Sign the letter.

23. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 23 Unit Two Review Review Question: If you prepare a letter that contains information that might be construed as legal advice, you should: a. Ask another more experienced paralegal who should sign the letter. b. Sign the lawyer’s name. c. Give it to the lawyer for his or her review and signature. d. Sign the lawyer’s name and put your initials after the signature. e. Sign the letter.

24. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 24 Unit Two Review Review Question: If immediate family members (spouse, mother, father, sibling, or child) ask you for legal advice, you should: a. Advise them that you cannot give legal advice and do not give the answer. b. Give the advice, cautioning them that your answer is just your opinion, not advice. c. Give them the answer, but refer them to a lawyer for confirmation of the answer. d. Offer to call a lawyer to get the answer to their question. e. Give the advice because you know that they will never tell anyone that you did.

25. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 25 Unit Two Review Review Question: If immediate family members (spouse, mother, father, sibling, or child) ask you for legal advice, you should: a. Advise them that you cannot give legal advice and do not give the answer. b. Give the advice, cautioning them that your answer is just your opinion, not advice. c. Give them the answer, but refer them to a lawyer for confirmation of the answer. d. Offer to call a lawyer to get the answer to their question. e. Give the advice because you know that they will never tell anyone that you did.

26. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 26 Unit Two Review Review Question: If you disagree with the decision made by your supervising lawyer and the client asks for your opinion, you should : a)Wink and tell the client your opinion when the lawyer leaves the room. b)Disagree with the lawyer when the client leaves the office. c)Agree with the lawyer while the client is there and call the client afterward. d)Discuss your disagreement with the lawyer privately. e)None of the above.

27. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 27 Unit Two Review Review Question: If you disagree with the decision made by your supervising lawyer and the client asks for your opinion, you should : a)Wink and tell the client your opinion when the lawyer leaves the room. b)Disagree with the lawyer when the client leaves the office. c)Agree with the lawyer while the client is there and call the client afterward. d)Discuss your disagreement with the lawyer privately. e)None of the above.

28. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 28 Unit Two Review Review Question: If a client asks you how his or her case or matter is progressing, you should: a)Respond with your opinion about the chance of winning, stating it is only an opinion based on your years of experience as a paralegal. b)Tell him or her that you do not know because you are only a paralegal. c)Tell him or her that you cannot respond because that would be considered the unauthorized practice of law. d)Tell him or her that you cannot guess because juries are unpredictable. e)Tell the client the procedural steps that have been taken in the case.

29. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 29 Unit Two Review Review Question: If a client asks you how his or her case or matter is progressing, you should: a)Respond with your opinion about the chance of winning, stating it is only an opinion based on your years of experience as a paralegal. b)Tell him or her that you do not know because you are only a paralegal. c)Tell him or her that you cannot respond because that would be considered the unauthorized practice of law. d)Tell him or her that you cannot guess because juries are unpredictable. e)Tell the client the procedural steps that have been taken in the case.

30. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 30 Unit Two Review Review Question: A paralegal may appear in court on behalf of the client if: a)That client consents to the appearance. b)The paralegal’s representation is on the paralegal’s own behalf. c)The paralegal’s representation is permitted administratively or statutorily. d)The paralegal identifies himself or herself as the lawyer. e)None of the above.

31. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 31 Unit Two Review Review Question: A paralegal may appear in court on behalf of the client if: a)That client consents to the appearance. b)The paralegal’s representation is on the paralegal’s own behalf. c)The paralegal’s representation is permitted administratively or statutorily. d)The paralegal identifies himself or herself as the lawyer. e)None of the above.

32. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 32 Unit Three Review UNIT 3 provides an understanding and appreciation of the importance of the concept of confidentiality in the attorney-client relationship. This unit will provide the student with a thorough understanding of the difference between the ethical rules of confidentiality, the attorney-client privilege, and the work product doctrine. Assignments: Read about one of the most critical elements of legal ethics: confidentiality: Chapter 3 - Ethics for the Legal Professional Practice by using the web links in this unit (graded) Discuss what you have learned (graded) Meet at the weekly seminar to further explore the concepts in this unit (graded) Submit the written assignment for this unit (graded) Take a short Quiz (graded)

33. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 33 Unit Three Review The duty of confidentiality lasts for your lifetime and beyond. Information you learn about your clients can never be divulged for a purpose other than to assist your client through the representation and must never be discussed with anyone other than those in the “need-to-know” sphere. o This is true even if you change the names, dates, places, or other identifying information. The world is smaller than you think. If you ever consider divulging confidential information, ask yourself, “Would I want someone telling other people my personal business?” All of the secret information that you gained directly from the client is covered by the attorney/client privilege so you can rest assured that you cannot be called upon to testify about it. o When you are ready to box up and store those old client files, keep confidentiality in mind. o The confidential information that you have from working with clients will be with you always and may create a conflict of interest for you in the future.

34. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 34 Unit Three Review Review Question: Once a client has retained a lawyer to represent him or her, a)All information obtained in the course of representing that client is confidential. b)Only information about this particular matter is confidential. c)Only information coming directly from the client is confidential. d)Only that information that the client requests be confidential is confidential. e)None of the above.

35. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 35 Unit Three Review Review Question: Abbey Paralegal and her boyfriend are attending a Dodger baseball game. During the game, in a hushed voice, Abbey tells her boyfriend, “Yesterday my firm took a new client, Mr. Vincent Snodgrass. He’s never paid income taxes!” Abbey has a)not done anything wrong because she spoke softly. b)violated her duty of confidentiality. c)violated the attorney/client privilege. d)violated the work product doctrine. e)violated her ethical duties only if what she said was not true.

36. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 36 Unit Three Review Review Question: Abbey is attending an office conference about the Mr. Snodgrass matter. He is not present. Abbey’s two supervising lawyers discuss how best to “get Snodgrass off ” of any potential tax fraud charges, criminal or civil. Abbey should: a)talk to a higher supervising lawyer about this conversation. b)tell her office manager that the lawyers are planning a cover-up. c)call the state bar and report the conduct anonymously. d)not worry. The conversation was perfectly ethical. e)worry about it, but do nothing.

37. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 37 Unit Three Review Review Question: In preparation for taking Mr. Snodgrass as a client, and understanding that he owes the federal government a lot of money, Abbey’s firm conducts a detailed credit check on Snodgrass. The results show that he owes a lot of money to BigStore, a major local company, from a purchase of equipment and that the debt is five years old. This information a)is protected by attorney/client privilege. b)is protected by the work product doctrine. c)is confidential. d)is public information and over four years old so perfectly okay to discuss in public. e)all of the above.

38. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 38 Unit Three Review Review Question: Abbey is working late one evening and hears a grinding noise coming from a room down the hall from her office. She creeps down the hall and peeks in the door. Inside, she sees one of her supervising lawyers standing over the paper shredder feeding in papers that look like Mr. Snodgrass’s business receipts and invoices. Abbey should: a)not tell anyone because the documents are confidential. b)not tell anyone because the lawyer’s activities on the matter are confidential. c)offer to help because it is in the best interests of the client. d)talk to the appropriate authority in her firm about what she saw. e)immediately write a memo to the file, keep a copy, and put a copy in the client’s file.

39. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 39 Preview Unit Four The purpose of UNIT FOUR is to provide an explanation of the rules governing conflicts of interest. It is critical that legal assistants be able to identify possible conflicts of interest and know how to prevent such situations from impeding representation. Assignment: Read about various facets of conflicts of interest: Chapter 4 - Ethics for the Legal Professional Practice by using the web links in this unit (graded) Discuss what you have learned (graded) Meet at the weekly seminar to further explore the concepts in this unit (graded) Take a short Quiz (graded)

40. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 40 Preview Unit Four In this Unit we learn : Multiple clients create a multitude of conflicts, so we learned to be wary of representing husband and wife, seller a buyer, debtor and purchaser, and joint criminal defendants. We also learn that there are some special rules when it comes to representing insured parties, especially where there is a reservation of rights letter. We learn how the NAACP changed the course of history in America and defeated efforts to deny civil rights organizations the right represent victims of discrimination by parties who tried to distort the rules that cover corporations representing clients We learn how we can prevent disqualification : having a thorough personal conflict check system will keep us out of harm’s way.

41. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 41 Preview Units 5 - 7 UNIT FIVE - Midterm Week Take the Midterm Exam by the end of this unit 30 questions – T/F & Multiple Choice 2 hours to complete May be taken only once Explore ways to use the academic support services. Note: There will not be a quiz, discussion, or seminar this week.

42. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 42 Preview Units 5 - 7 Unit Six surveys the history of regulation of lawyer advertising and the limitations on advertising that exist today. Assignments: Read about the history of the rules governing attorney advertising and how those rules continue to change: Chapter 5 - Ethics for the Legal Professional Practice by using the web links in this unit (graded) Discuss what you have learned (graded) Meet at the weekly seminar to further explore the concepts in this unit (graded) Take a short Quiz (graded)

43. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 43 Preview Units 5 - 7 Unit Seven discusses Fair Fees and Client Trusts. This unit provides the student with an understanding of one of the most common ethical violations in the legal profession: mishandling of clients' money. Legal assistants play a large role in financial matters, from billing clients to maintaining client trust funds. It is therefore essential for students who plan to be legal assistants to have a complete understanding of attorney fees, ethical billing practices, and the duties required in handling client funds Assignments: Read about the various types of fee arrangements available to attorneys and their clients: Chapter 6 - Ethics for the Legal Professional Practice by using the web links in this unit Discuss what you have learned (graded) Meet at the weekly seminar to further explore the concepts in this unit (graded) Take a short Quiz (graded)

44. Kaplan University - Adjunct Professor Brian Tippens, J.D. - btippens@kaplan.eduSaturday, October 17, 2015 44 Adjourn Have a great week… “See” you on the Discussion Boards