CODE OF ETHICS AND PROFESSIONAL RESPONSIBILITY OF THE PARALEGAL DIVISION OF THE STATE BAR OF TEXAS Preamble Fundamental to the

success of any professional organization are the integrity of its members and a high standard of conduct. This Code of Ethics and Professional Responsibility is promulgated by the Paralegal Division of the State Bar of Texas and accepted by its members to accomplish these ends. The paralegal profession is by nature closely related to the legal profession. Although the Code of Professional Responsibility of the State Bar of Texas does not directly govern paralegals except through a supervising attorney, it is incumbent upon the members of the Paralegal Division to know the provisions of the attorneys' code and avoid any action which might involve an attorney in a violation of that code or even the appearance of professional impropriety. The canons set forth hereafter are intended as a general guide, and the enumeration of these canons does not exclude others of equal importance although not specifically mentioned. Canon 1. A paralegal shall not engage in the practice of law as defined by statutes or court decisions, including but not limited to accepting cases or clients, setting fees, giving legal advice or appearing in a representative capacity in court or before an administrative or regulatory agency (unless otherwise authorized by statute, court or agency rules); the paralegal shall assist in preventing the unauthorized practice of law. Canon 2. A paralegal shall not perform any of the duties that attorneys only may perform or do things which attorneys themselves may not do. Canon 3. A paralegal shall exercise care in using independent professional judgment and in determining the extent to which a client may be assisted without the presence of any attorney, and shall not act in matters involving professional legal judgment. Canon 4. A paralegal shall preserve and protect the confidences and secrets of a client. Canon 5. A paralegal shall not solicit legal business on behalf of an attorney. Canon 6. A paralegal shall not engage in performing paralegal functions other than under the direct supervision of an attorney, and shall not advertise or contract with members of the general public for the performance of paralegal functions. Canon 7. A paralegal shall avoid, if at all possible, any interest or association which constitutes a conflict of interest pertaining to a client matter and shall inform the supervising attorney of the existence of any possible conflict. Canon 8. A paralegal shall maintain a high standard of ethical conduct and shall contribute to the integrity of the paralegal profession.

Canon 9. A paralegal shall maintain a high degree of competency to better assist the legal profession in fulfilling its duty to provide quality legal services to the public. Canon 10. A paralegal shall do all other things incidental, necessary or expedient to enhance professional responsibility and the participation of paralegal in the administration of justice and public service in cooperation with the legal profession. WHAT IS A PARALEGAL? A paralegal can be defined as a person qualified through education, training, or work to perform substantive legal work that requires knowledge of legal concepts and that is customarily, but not exclusively, performed by an attorney. This person is retained/employed by an attorney, law office, government business or other entity under the supervisory authority of an attorney; or is authorized by a governmental administrative agency or statutory or court authority to perform this work. Paralegals are neither licensed nor certified by the State of Illinois. DO PARALEGALS PRACTICE LAW? No, only attorneys licensed by the Illinois Supreme Court can practice law in the state. By virtue of their education, experience and professional license, attorneys can give legal advice, represent a client in court, establish fees for clients, and accept cases. More importantly, only an attorney has the ultimate authority in making decisions regarding the legal rights of a client. Equally, an attorney bears the ultimate responsibility for the quality of legal services provided to clients. These things a paralegal is NOT permitted to do. A paralegal functions under the supervision of a licensed attorney. WHAT DOES A PARALEGAL DO? Paralegals are resource persons who, as an important part of the legal team, assist in providing economical, quality legal services to the public. The specific tasks a paralegal performs vary with the setting in which a paralegal works. Some paralegals are generalists who work with sole practitioner attorneys to deliver a wide range of legal services. However, most paralegals are employed by larger law firms, legal departments of corporations, or official governmental agencies to specialize in a particular area of law. These include areas such as civil and criminal litigation, corporations and business transactions, Federal and state registered securities, estates and trust, family law, real estate, intellectual property (trademarks and patents), immigration, commercial finance, and legislative research, to name a few. Some paralegals are also employed by companies that provide support services to attorneys and law firms, and legal departments, such as document filing and research services. ARE PARALEGALS PROFESSIONALS? Among various definitions of "professional" we find such common elements as one who possesses (1) knowledge and skills of a profession, (2) commitment to self-improvement, (3) service orientation, (4) pride in the profession (5) accountability for one's work, (6) ethical decision making, and (7) leadership. Paralegals exhibit these qualities by taking personal responsibility for their work, maintaining high work standards, and exhibiting a mature attitude of dignity and respect for the various people with whom

they work. Many paralegals elect to maintain and upgrade their skills through on-going education and by voluntarily participating in professional organizations such as the Illinois Paralegal Association (IPA) and which holds its members to a Code of Ethics. Paralegals also volunteer for pro bono work to provide legal services to those in need. WHAT KINDS OF TASKS DO PARALEGALS PERFORM? The work that paralegals do varies with the settings and specialty areas in which they work. Some of the types of the tasks which paralegals perform include: (1) conducting factual research involving documents and internet resources; (2) performing legal research using library and on- line resources; (3) reviewing and drafting legal documents; (4) analyzing and organizing records and documents; (5) assisting with business and real estate transactions; (6) maintaining corporate records and minute books; (7) attending to governmental and agency filings; (8) interviewing witnesses and clients; and (9) assisting with preparation of cases and with appearances in court.

WHAT KIND OF SKILLS DOES A PARALEGAL NEED? Ideally, a paralegal displays a mix of analytical, administrative, managerial, research and communicative skills. These include the ability to organize complex tasks and independently solve problems, pay attention to details, manage time effectively, research factual and legal issues, work efficiently as a part of a team, and communicate efficiently in speech and writing. In addition, the legal environment requires a proficiency in computer and Internet skills. Paralegals typically use word processors, spread sheet programs, data bases, and on-line resources, but also must learn and adapt to new and specialized software programs unique to their specialty and place of employment. Some paralegals function as coordinators who manage other paralegals. A paralegal must also have ability to constantly learn about new developments in the law and new technologies as they are integrated into the legal profession. Sometimes paralegals train attorneys and other paralegals on new technologies. Generally, paralegals employed at such federal agencies are classified as a Paralegal Specialist. Depending on the agency, a Paralegal Specialist may perform the following duties. -line computer-based information systems for legal research to gather and analyze data.

correct erroneous or incomplete citations using federal and state reporter systems, computer research and microfilm. by examining all references in briefs and other memoranda.

certain accuracy of cited references to support the statements made in the brief.

where necessary in conformance with proper Supreme Court style, and Supreme Court and Blue Book rules. d precedents related to pending litigation.

summarize previous dispositions and settlements. Research methods of acquiring further evidence including affidavit or interrogatories, further hearings, or various other means of communication with sources of record and exercises judgment and knowledge of laws of states and tribes to determine if information obtained is relevant for documentary evidence. earch and fact-finding to support other organizations.

Court, processing cases, responding to questions, or dealing with legal issues.

Responsibilities
Paralegals traditionally worked in law firms, but today, you can find them in many fields. They carry out tasks that support a lawyer, such as preparing and maintaining files, drafting documents and conducting legal research. Paralegals communicate with clients and lawyers outside of your firm to maintain, assign and update files. According to NALA, duties they can fulfill include locating and interviewing witnesses in a case; summarizing depositions; and conducting investigations.

Scope of Work
The work of a paralegal is guided by certain codes, such as the NALA Code of Ethics and Professional Responsibility. Paralegals must avoid violating the code or risk losing membership in the association.

Ensure that paralegals avoid venturing into legal areas that only lawyers can handle, such as representing a client in court, setting fees, giving legal advice or establishing lawyer-client relationships.

Professionalism
A paralegal must disclose he is a paralegal -- and not a lawyer -- whenever he starts a professional relationship with another lawyer, a client, an administrative agency or a court. Delegate only duties that respect the limitations of a paralegal. As an employer, insist that paralegals act with decorum, and strive to protect your clients confidences.

Paralegals cannot establish the attorney/client relationship, i.e. take a case. Paralegals may interview potential clients, gather information regarding a potential case, and can even prepare a retainer agreement for the client's signature, but they cannot decide whether or not to take a particular case that is the attorney's responsibility. That is not to say that attorneys don't sometimes ask their paralegal's opinion regarding the viability of a case; they do, but the decision about whether or not to represent an individual is theirs alone. Paralegals are also not allowed to set the amount of a fee to be charged for legal services; represent clients in court; provide legal advice and opinions (although they can relay information given to them by their supervising attorneys); hold themselves out as attorneys; or make unsupervised legal judgments. One of the responsibilities of a lawyer that is universally considered to be exclusive to licensed attorneys is the representation of a client in court proceedings, since appearing in court on a client's behalf requires the highest use of an attorney's professional judgment and skills. But as with most matters of law, an exception does exist - the right of self-representation in federal courts is guaranteed by statute. However, this right to self-representation does not include the right to be represented by a non-lawyer such as a paralegal. It is also a well-accepted principle that paralegals may not conduct depositions, or even ask questions during a deposition even when an attorney approved the questions or while supervised by an attorney. However, paralegals have the right to attend depositions with their supervising attorneys and also assist them at trial. Because the majority of paralegals work in the litigation area of law, they find themselves involved in all phases of the litigation process, including legal research, drafting of pleadings and motions through the discovery process, trial preparation, settlement, and postjudgment matters.

Paralegals are prohibited from giving legal advice to clients. Giving legal advice may be defined as directing a client how to proceed in a matter that has legal consequences, and/or explaining to a client his or her legal rights and responsibilities. During the course of their employment, paralegals have frequent contact with clients, a situation which sometimes opens the door to potential conflicts. It is not unusual for a client to develop a strong relationship with the paralegal that is assisting an attorney on their case, and also for the client to at times ask questions of the paralegal which in order to answer, would require the paralegal to give legal advice. To make matters worse, the paralegal often knows the answer! In order to avoid the authorized practice of law, a paralegal should always run these questions by their supervising attorney first before relaying any information to the client. The prohibition against paralegals giving legal advice has also been the basis of challenges to "do-it-yourself" legal kits (like divorce kits or "boiler-plate" legal forms), typing services, and independent paralegals. The general consensus regarding legal kits is that they do not constitute the unauthorized practice of law unless they are accompanied by personalized assistance from a non-lawyer such as a paralegal. Likewise, the same holds true for typing services, unless the typist tells the client which forms to fill out, or helps them decide how or what to fill out.