These guidelines are directed to
Connecticut lawyers who employ or retain legal assistants and are intended as a
brief summation of the legal and professional responsibility obligations
pertaining to lawyers’ utilization of legal assistants. The guidelines are not
meant to supersede any applicable federal, state or local laws or any provisions
of the Rules of Professional Conduct as approved by the Connecticut Superior
Court judges. Legal assistants can help lawyers to provide quality legal
services to clients at an affordable price. However, to protect client interests
and public interests, lawyer utilization of legal assistants should be in
accordance with these guidelines and the underlying laws and rules of
professional conduct on which the guidelines are based.
As used herein, "legal assistant" and "paralegal" are
synonymous terms.
A legal assistant shall not engage in the
unauthorized practice of law and shall not encourage or contribute to any act
which could constitute the unauthorized practice of law.
Comment. The practice of
law relates to the rendition of services for others that calls for the
professional judgment of an attorney. A legal assistant shall not give legal
advice or opinions, accept cases, set fees, or represent a client in court or
before an administrative agency (unless otherwise authorized by court or agency
rules) or perform acts that attorneys themselves may not do. Except as stated
above, a legal assistant may perform any task delegated and supervised by an
attorney, as long as the attorney is responsible to the client, the attorney
maintains a direct relationship with the client, and the attorney assumes full
professional responsibility for the work product.
Guideline
2
A legal assistant may not represent a client before any court or
administrative agency unless expressly permitted by statute or administrative
regulation.
Comment. A legal assistant
may not appear in court to plead, to try cases, to argue on behalf of another
person, or to sign pleadings, except as expressly permitted by statute, court or
administrative agency regulation. This does not, however, prohibit a legal
assistant from signing documents as a witness or notary public, or in some other
nonrepresentative capacity.
Guideline 3
A legal assistant may perform services for an
attorney in representation of a client, except as otherwise prohibited by
statute, court rule or decision, administrative agency rules or regulations, or
by rules of discipline relating to attorneys.
Comment. Except as
specifically prohibited, a legal assistant may perform assignments to assist any
attorney in the representation of a client, provided that:
(1) the services do not require legal advice or
opinion or constitute the unauthorized practice of law;
(2) the attorney maintains a direct relationship
with the client and supervises all matters;
(3) the attorney remains fully responsible for all
work done on behalf of the client and for any actions taken or not taken by the
legal assistant;
(4) the work product of the legal assistant is
considered to be part of the attorney’s work product.
Guideline
4
A legal assistant must disclose professional status at the
beginning of any professional contact.
Comment. In order to
prevent any misunderstanding concerning the role of the legal assistant, it is
imperative that clients and others outside the law firm are advised that the
legal assistant is not an attorney.
Guideline 5
A legal
assistant must preserve and protect the confidences and secrets of a client as
well as those involving attorney/client privilege.
Comment. A legal assistant
must preserve and protect the confidences and secrets of a client made either to
the legal assistant or the attorney and must not violate any rules controlling
privileged communication nor reveal information relating to representation of a
client unless the client consents after consultation.
Guideline
6
A legal assistant may not engage in conduct which would cause the
attorney to be considered unethical.
Comment. A legal assistant
shall strive to maintain the high level of integrity and competence expected of
the legal profession. A legal assistant shall strive to uphold the high
standards of ethics and shall comply with the responsibilities imposed by
statute or rules of court.
Guideline 7
A legal assistant
shall not share legal fees.
Comment. An attorney or
law firm shall not share legal fees with a legal assistant. This does not,
however, deny the legal assistant a salary, bonus, or benefits related to
overall performance, but relates to compensation directly involving a particular
legal fee or a percentage of the profits of the attorney or law
firm.
Guideline 8
A legal assistant shall not form a
partnership with an attorney if any of the activities of the partnership consist
of the practice of law.
Comment. This guideline
does not prevent the legal assistant from forming a business association with a
member of the legal profession for purposes other than that of the practice of
law.
Guideline 9
A legal assistant shall not participate in
matters where there may be a conflict of interest.
Comment. A legal assistant
shall not participate in any matter in which a conflict of interest could have
an influence on the exercise of judgment by the attorney. The personal, social,
or business relationship or other nature of conflict must be disclosed to the
attorney.
Guideline 10
A legal assistant may have a
business card and may be included on the letterhead of an attorney or law firm
provided that the professional status of the legal assistant is
designated.
Comment. A legal assistant
may sign letters on an attorney’s letterhead, provided that such signature is
followed by the appropriate designation of the legal assistant’s professional
status.
Guideline 11
A legal assistant should maintain a
high level of professional competency, such as actively pursuing continuing
legal education.
Comment. The Connecticut
Bar Association recognizes, endorses, and encourages participation in continuing
legal education courses sponsored by various bar associations, legal assistant
associations, and educational institutions.
NOTE
1.
Approved by the ABA Board of Governors on February 6, 1986.
