Chapter 1

1. Chapter 1 Oversight: Regulation and Licensing of the Legal Profession

2. CHAPTER OBJECTIVES • Upon completion of this chapter, the student will be able to: • Compare the educational requirements for attorneys and paralegals. • Differentiate among the different types of regulatory plans for the paralegal profession and discuss the pros and cons of each. • Recognize the major associations related to the legal field and identify their mission and role in the paralegal profession. • Identify the various ethical sanctions that can be imposed upon attorneys and the conduct by either the attorney or the paralegal that would warrant those sanctions.

3. CHAPTER OBJECTIVES • This chapter will explore the formal educational requirements and regulations imposed upon the legal profession: • WHO may call themselves attorneys or paralegals; • WHAT steps they must fulfill to achieve that position; • WHERE they may practice; and • HOW they stay current in the field by taking continuing legal education and joining relevant legal organizations.

4. LEGAL PROFESSIONALS • There are varying degrees of control exercised over professionals Registration Certification Licensure Least Control Most Control

5. LEGAL PROFESSIONALS • This text speaks to the generally accepted norms and guidelines regarding attorney and paralegal educational and practice standards across the nation. • It will be up to the paralegal student to investigate the particulars of his or her individual state. • It is important for the student to understand the ethical and regulatory models that affect the practice of law for both paralegals and attorneys.

6. PARALEGALS • Education • Currently no formal requirements for paralegal education • Requirements dictated by marketplace, including: • 4 year degree, or • 2 year degree, or • “In-house” training

7. PARALEGALS • Professional organizations have set forth educational standards: • American Bar Association (ABA) • American Association for Paralegal Education (AafPE) • International Paralegal Management Association (IPMA) • National Association of Legal Assistants (NALA) • National Federation of Paralegal Associations (NFPA) • Association of Legal Administrators (ALA) • An educational institution’s decision to comply with these standards and/or to apply for ABA approval is completely voluntary

8. PARALEGAL COURSEWORK • Primarily, a paralegal’s education focuses on gaining the practical skills needed to enter the workforce as a productive member of the legal team. • Practical skills: • The ability to put theory into practice by performing the tasks necessary to achieve a desired result.

9. REGULATORY PLANS • There are generally three means of monitoring and/or controlling a profession: 1. Public or private registration, 2. Private regulation and certification, 3. Licensure. • Registration is the least restrictive category, is voluntary, with no impact on right to practice

10. REGULATORY PLANS • Private Regulation and Certification • Certification • The recognition of the attainment of a degree of academic and practical knowledge by a professional. • Certificated • Describing a person who has completed a certain course of study and thus earned a certificate from the issuing institution.

11. REGULATORY PLANS • Organizations that currently have certification designations include: • NALA’s Certified Legal Assistant /Certified Paralegal (CLA/CP) Exam and APC (Advanced Paralegal Certification). • NFPA’s PACE (Paralegal Advanced Competency Exam) permits those who pass to use the designation “RP”, (Registered Paralegal). • NALS’s • ALS (the basic exam for legal professionals) • PLS (the advanced certification for legal professionals) • PPC (professional paralegal certification) • AAPI’s AACP (American Alliance Certified Professional).

12. REGULATORY PLANS • Licensure • The requirement of governmental approval before a person can practice a specific profession. • Is the most stringent of all the methods of oversight. • Currently, paralegals are not required to be licensed

13. REGULATORY PLANS • Under the supervision of an attorney • A term used to describe the work of a paralegal, which must be assigned, reviewed, and approved by a responsible attorney who takes responsibility for the content of the work. • Access to justice • The full opportunity of all persons to use all the legal resources available to the public, without regard for their ability to pay or knowledge of the legal system or experience in dealing with lawyers.

14. INDIVIDUAL STATE REGULATION • The following states have taken “official” positions by specifically addressing the issue of paralegal regulation. Note: This list is not all-inclusive.

15. NATIONAL AND LOCAL ORGANIZATIONS • There are currently seven national associations that address the paralegal profession: • ABA: American Bar Association is the national voluntary bar association for attorneys. • NALA: National Association of Legal Assistants has a membership of over 18,000 paralegals. • NFPA: National Federation of Paralegal Associations, composed of over 60 local and state paralegal associations, and individual members with more than 15,000 members.

16. NATIONAL AND LOCAL ORGANIZATIONS • AafPE: American Association for Paralegal Education recognizes the need to increase and improve access to the legal system by promoting the highest educational standards for paralegals. • NALS: Association for Legal Professionals (formerly National Association of Legal Secretaries) stresses continuing education and offers certifications, information, and training. • IPMA (formerly LAMA): International Paralegal Management Association “promotes development, professional standing, and visibility of paralegal management professionals.” • AAPI: American Alliance of Paralegals focuses on the individual paralegal by establishing educational criteria and ethical standards, and providing networking opportunities.

17. NATIONAL AND LOCAL ORGANIZATIONS • Each state has at least one paralegal association for members practicing in that state, and some large urban states have several. • Many of these associations are local chapters of either NFPA or NALA. • As a paralegal student, it is important that you explore the resources available to you in your own locality.

18. LAWYERS • In order to become an attorney, a person must meet the following educational criteria: • Graduate with a bachelor’s degree from a four-year accredited college or university. • Take the LSAT (Law School Admission Test), used by all ABA–approved schools to assess potential candidates for admission. • Graduate from an ABA-accredited law school with J.D. (Juris Doctor) degree.

19. LAWYERS • Sitting for the Bar • Apply to the state board of bar examiners in each jurisdiction in which her or she would like to take the bar exam. • Take and pass the state bar exam(s) of choice. • Each state requires two days of examination: one day for writing essays and answering practical assignments specific to that state, and one day for the multistate multiple-choice exam.

20. LAWYERS • Character and Fitness • Take and pass the MPRE (Multistate Professional Responsibility Exam). • The purpose of the MPRE is to evaluate understanding of the ABA Model Rules. • Perform other requirements, which may include undergoing a character and fitness personal interview and a background check. • Be sworn in before a judge or other designated official and promise to uphold the Constitution and all applicable laws.

21. LAWYERS • Continuing Legal Education • The now-admitted attorney must also attend required CLE (Continuing Legal Education) courses as prescribed by the relevant state judiciary. • Generally, this entails more extensive hours—on average, about 36 hours over a three-year period. • CLE is designed to enhance legal services to the public and ensure the legal professional maintains a certain level of expertise and competence.

22. LAWYERS • Ethical Review Boards • Ethical sanctions • Methods of disciplining attorneys who commit a breach of the ethical code of conduct. • Private reprimand • The minimum censure for an attorney who commits an ethical violation; the attorney is informed privately about a potential violation, but no official entry is made. • Public reprimand • A published censure of an attorney for an ethical violation.

23. LAWYERS • Ethical Review Boards • Probation • In the case of discipline of an attorney for unethical conduct, the monitoring of an attorney’s conduct for compliance with ethical rules, sometimes accompanied by additional requirements. • Suspension • The prohibition of an attorney from practicing law for a specified period of time. • Disbarment • Temporary suspension or permanent revocation of an individual’s license to practice law.

24. LAWYERS • Moral Turpitude • An act or behavior that gravely violates the sentiment or accepted standard of the community.

25. CONTINUING LEGAL EDUCATION • By participating in continuing legal education, paralegals can both ensure that they are performing to the highest degree of competence and enhance their careers. • Many state bars offer seminars just for paralegals, and national and regional paralegal organizations not only offer their own CLE courses, but also refer to independent CLE conference providers that are approved to provide CLE credits.

26. CONTINUING LEGAL EDUCATION • Continuing Legal Education Requirements • NALA Guideline 4: • “In the supervision of a legal assistant, consideration should be given to: 4. Providing continuing education for the legal assistant in substantive matters through courses, institutes, workshops, seminars, and in-house training.” • NFPA Ethical Considerations: • “EC-1.1(b) A paralegal shall aspire to participate in a minimum of twelve (12) hours of continuing education, to include at least one (1) hour of ethics education, every two (2) years in order to remain current on developments in the law.”

27. SUMMARY • The paralegal profession does not impose any mandatory, formal educational requirements in order to call oneself a “paralegal.” • Depending on geographical and economical factors, a firm or practitioner may require either a bachelor’s or associate’s degree, or may be willing to train “in-house.” • Both the ABA and AafPE have set forth minimum educational requirements for an “approved” paralegal program. Additionally, all the national paralegal associations have taken positions with regard to the knowledge and skills required by a practicing paralegal.

28. SUMMARY • Many states and some paralegal associations have considered the pros and cons of the three main kinds of oversight mechanisms: • Public or private registration • Private regulation and certification • Licensure

29. SUMMARY • Attorneys must satisfy several qualifying criteria before they are permitted to practice: • Graduate with a four-year degree from an accredited institution • Score well on the LSAT • Graduate with a J.D. Degree from an ABA-accredited law school • Apply to take the state bar exam • Pass the state bar exam • Pass the MPRE (multistate professional responsible exam) • Perform any other relevant character and fitness reviews in the jurisdiction • Take the oath • Attend mandatory CLE sessions

30. SUMMARY • Any violations of the ethical codes applicable to the practicing attorney may result in the imposition of sanctions, which may be any of the following: • Private reprimand • Public reprimand • Probation • Suspension • Disbarment • Although only attorneys may be sanctioned by an ethical board, both attorneys and paralegals may be subject to criminal or civil suits for their conduct.