PEOPLE MANAGEMENTPEOPLE MANAGEMENT

CLIENTS – COMMUNICATION, CLIENTS – COMMUNICATION, CORRESPONDENCE AND GUIDANCECORRESPONDENCE AND GUIDANCE

Paralegals can’t get away from the fact that everything we Paralegals can’t get away from the fact that everything we do involves communication. Whether it is communicating do involves communication. Whether it is communicating

with a client, the court, a judge or even the local copy shop, with a client, the court, a judge or even the local copy shop, we need to know how to communicate. Paralegals are we need to know how to communicate. Paralegals are called on to be the liaison between clients, witnesses, called on to be the liaison between clients, witnesses,

experts and counsel. Strong communication and writing experts and counsel. Strong communication and writing skills are essential in fulfilling this role. This is not skills are essential in fulfilling this role. This is not something that is easily taught and/or learned in a something that is easily taught and/or learned in a

classroom. For most of us, this is something we learn over classroom. For most of us, this is something we learn over time and/or while on the job. As liaison, you must time and/or while on the job. As liaison, you must

thoroughly understand the legal concepts of confidential thoroughly understand the legal concepts of confidential communications, work-product and conflicts of interest. communications, work-product and conflicts of interest. You must also understand the dangers of giving legal You must also understand the dangers of giving legal

advice which is often sought.advice which is often sought.

COMMUNICATIONCOMMUNICATION

CLIENT INTERVIEWCLIENT INTERVIEW

DISCOVERYDISCOVERY

TRIALTRIAL

CLIENT INTERVIEWCLIENT INTERVIEW

PURPOSE FOR INTERVIEWPURPOSE FOR INTERVIEW

PREPARE FOR INTERVIEWPREPARE FOR INTERVIEW

CONDUCT INTERVIEWCONDUCT INTERVIEW

FOLLOWING INTERVIEWFOLLOWING INTERVIEW

DISCOVERYDISCOVERY

WRITTEN DISCOVERYWRITTEN DISCOVERY

DEPOSITIONSDEPOSITIONS

TRIALTRIAL

TRIAL PREPARATIONTRIAL PREPARATION

INSTRUCTIONS TO CLIENTINSTRUCTIONS TO CLIENT

CORRESPONDENCECORRESPONDENCE

ATTORNEY-CLIENT PRIVILEGEATTORNEY-CLIENT PRIVILEGE

WORK-PRODUCTWORK-PRODUCT

CONFLICT OF INTERESTCONFLICT OF INTEREST

DANGER OF GIVING LEGAL ADVISEDANGER OF GIVING LEGAL ADVISE

ATTORNEY-CLIENT PRIVILEGEATTORNEY-CLIENT PRIVILEGE

Attorney-client privilege is a legal concept Attorney-client privilege is a legal concept which protects communications between a which protects communications between a client and his or her attorney and keeps client and his or her attorney and keeps those communications confidential. This those communications confidential. This privilege encourages open and honest privilege encourages open and honest communication between clients and communication between clients and attorneys attorneys

Guideline 6, ABA Model Guidelines Guideline 6, ABA Model Guidelines for utilization of paralegal services:for utilization of paralegal services:

It is the responsibility of a lawyer to take It is the responsibility of a lawyer to take reasonable measures to ensure that all reasonable measures to ensure that all client confidences are preserved by a client confidences are preserved by a paralegalparalegal

NFPA Model Code of Ethics and Professional NFPA Model Code of Ethics and Professional Responsibility and Guidelines for EnforcementResponsibility and Guidelines for Enforcement

Canon 5, A paralegal shall preserve all Canon 5, A paralegal shall preserve all confidential information provided by the client or confidential information provided by the client or acquired from other sources before, during and acquired from other sources before, during and after the course of the professional relationshipafter the course of the professional relationshipEC-1.5, A paralegal must protect the EC-1.5, A paralegal must protect the confidences of a client, and it shall be unethical confidences of a client, and it shall be unethical for a paralegal to violate any statute now in for a paralegal to violate any statute now in effect or hereafter to be enacted controlling effect or hereafter to be enacted controlling privileged communicationsprivileged communicationsEC-1.5(b), A paralegal shall not use confidential EC-1.5(b), A paralegal shall not use confidential information to the disadvantage of the clientinformation to the disadvantage of the client

WORK-PRODUCT DOCTRINEWORK-PRODUCT DOCTRINE

““tangible material or its intangible tangible material or its intangible equivalent" that is collected or prepared in equivalent" that is collected or prepared in anticipation of litigationanticipation of litigation

WORK PRODUCT RULEWORK PRODUCT RULE

The work product doctrine was stated in a 1947 case, The work product doctrine was stated in a 1947 case, Hickman v. Taylor, 329 U.S. 495Hickman v. Taylor, 329 U.S. 495The doctrine was codified in the Federal Rules of Civil The doctrine was codified in the Federal Rules of Civil Procedure, Rule 26(b)(3), which is the model for the Procedure, Rule 26(b)(3), which is the model for the work product rule in many stateswork product rule in many statesIn Hickman the Supreme Court created a qualified In Hickman the Supreme Court created a qualified immunity from discovery for a lawyer’s trial preparationimmunity from discovery for a lawyer’s trial preparationIf the opposition finds such informational material If the opposition finds such informational material essential to its case and does not have an effective essential to its case and does not have an effective substitute, it may obtain the material by court ordersubstitute, it may obtain the material by court orderThe client may also waive such protection by actual or The client may also waive such protection by actual or implied consent implied consent

The work of paralegals in preparing litigated matters is The work of paralegals in preparing litigated matters is protected by the work product ruleprotected by the work product rule

NFPA Model Code of Ethics and Professional NFPA Model Code of Ethics and Professional Responsibility and Guidelines for Enforcement - Canon Responsibility and Guidelines for Enforcement - Canon 1.5, A paralegal shall preserve all confidential 1.5, A paralegal shall preserve all confidential information provided by the client or acquired from other information provided by the client or acquired from other sources before, during, and after the course of the sources before, during, and after the course of the professional relationshipprofessional relationship

CONFLICT OF INTERESTCONFLICT OF INTEREST

In the legal profession, the duty of loyalty In the legal profession, the duty of loyalty owed to a client prohibits an attorney (or a owed to a client prohibits an attorney (or a law firm) from representing any other party law firm) from representing any other party with interests adverse to those of a clientwith interests adverse to those of a client

Guideline 7, ABA Model Guidelines for the Guideline 7, ABA Model Guidelines for the

Utilization of Legal Assistant ServicesUtilization of Legal Assistant Services

A lawyer should take reasonable A lawyer should take reasonable measures to prevent conflicts of interest measures to prevent conflicts of interest resulting from a legal assistant’s other resulting from a legal assistant’s other employment or interests insofar as such employment or interests insofar as such other employment or interests would other employment or interests would present a conflict of interest if it were that present a conflict of interest if it were that of the lawyerof the lawyer

NFPA Model Code of Ethics and NFPA Model Code of Ethics and Professional Responsibility and Guidelines Professional Responsibility and Guidelines

for Enforcementfor EnforcementEC1.5(e), A paralegal shall keep those individuals responsible for the legal EC1.5(e), A paralegal shall keep those individuals responsible for the legal representation of a client fully informed of any confidential information the paralegal representation of a client fully informed of any confidential information the paralegal may have pertaining to that clientmay have pertaining to that clientCanon 1.6, A paralegal shall avoid conflicts of interest and shall disclose any possible Canon 1.6, A paralegal shall avoid conflicts of interest and shall disclose any possible conflict to the employer or client, as well as to the prospective employers or clientsconflict to the employer or client, as well as to the prospective employers or clientsEC-1.6(a), A paralegal shall act within the bounds of the law, solely for the benefit of EC-1.6(a), A paralegal shall act within the bounds of the law, solely for the benefit of the client, and shall be free of compromising influences and loyalties. Neither the the client, and shall be free of compromising influences and loyalties. Neither the paralegal’s personal or business interest, nor those of other clients or third persons, paralegal’s personal or business interest, nor those of other clients or third persons, should compromise the paralegal’s professional judgment and loyalty to the clientshould compromise the paralegal’s professional judgment and loyalty to the clientEC-1.6(b), A paralegal shall avoid conflicts of interest that may arise from previous EC-1.6(b), A paralegal shall avoid conflicts of interest that may arise from previous assignments, whether for a present or past employer or clientassignments, whether for a present or past employer or clientEC-1.6(c), A paralegal shall avoid conflicts of interest that may arise from family EC-1.6(c), A paralegal shall avoid conflicts of interest that may arise from family relationships and from personal and business interestsrelationships and from personal and business interestsEC-1.6(d), In order to be able to determine whether an actual or potential conflict of EC-1.6(d), In order to be able to determine whether an actual or potential conflict of interest exists a paralegal shall create and maintain an effective recordkeeping interest exists a paralegal shall create and maintain an effective recordkeeping system that identifies clients, matters and parties with which the paralegal has workedsystem that identifies clients, matters and parties with which the paralegal has workedEC-1.6(e), A paralegal shall reveal non-confidential information about a client or EC-1.6(e), A paralegal shall reveal non-confidential information about a client or former client to reasonably ascertain if an actual or potential conflict of interest existsformer client to reasonably ascertain if an actual or potential conflict of interest exists

LEGAL ADVICELEGAL ADVICE

Legal advice is the giving of a formal and Legal advice is the giving of a formal and binding opinion regarding the substance or binding opinion regarding the substance or procedure of the law by an officer of the procedure of the law by an officer of the court, ordinarily in exchange for financial court, ordinarily in exchange for financial or other tangible compensationor other tangible compensation

NFPA Model Code of Ethics and NFPA Model Code of Ethics and Professional Responsibility and Guidelines Professional Responsibility and Guidelines

for Enforcementfor EnforcementEC-1.7(a), A paralegal’s title shall clearly indicate the individual’s EC-1.7(a), A paralegal’s title shall clearly indicate the individual’s status and shall be disclosed in all business and professional status and shall be disclosed in all business and professional communications to avoid misunderstandings and misconceptions communications to avoid misunderstandings and misconceptions about the paralegal’s role and responsibilitiesabout the paralegal’s role and responsibilitiesCanon-1.8, A lawyer may not delegate to a paralegal (1). Canon-1.8, A lawyer may not delegate to a paralegal (1). Responsibility for establishing an attorney-client relationship; (2). Responsibility for establishing an attorney-client relationship; (2). Responsibility for establishing the amount of fees to be charged for Responsibility for establishing the amount of fees to be charged for legal services; and (3). Responsibility for a legal opinion rendered to legal services; and (3). Responsibility for a legal opinion rendered to a clienta clientCanon 7, A paralegal shall not engage in the unauthorized practice Canon 7, A paralegal shall not engage in the unauthorized practice of lawof lawEF-7.1, A paralegal shall comply with the applicable legal authority EF-7.1, A paralegal shall comply with the applicable legal authority governing the unauthorized practice of law in the jurisdiction in governing the unauthorized practice of law in the jurisdiction in which the paralegal practiceswhich the paralegal practices

IN WHICH OF THE FOLLING SCENARIOS IN WHICH OF THE FOLLING SCENARIOS WOULD A PARALEGAL BE CONSIDERED WOULD A PARALEGAL BE CONSIDERED

TO BE GIVING LEGAL ADVISE?TO BE GIVING LEGAL ADVISE?A.A. The firm’s client hasn’t paid the bill. After checking The firm’s client hasn’t paid the bill. After checking

with the lawyer, the paralegal tells the client, “The with the lawyer, the paralegal tells the client, “The lawyer told me that if you don’t pay your bill in 30 days, lawyer told me that if you don’t pay your bill in 30 days, legal proceedings will begin.”legal proceedings will begin.”

B.B. A new lawyer asks an experienced family law A new lawyer asks an experienced family law paralegal what to tell a divorce client about the paralegal what to tell a divorce client about the chances of having sole custody of the children. The chances of having sole custody of the children. The paralegal tells the lawyer, About 70-30 in the client’s paralegal tells the lawyer, About 70-30 in the client’s favor.”favor.”

C.C. A client is upset because the trial begins tomorrow and A client is upset because the trial begins tomorrow and the paralegal advises, “Try not to look so worried when the paralegal advises, “Try not to look so worried when you’re in court. Try to stay calm.”you’re in court. Try to stay calm.”

D.D. A client requests information on how to classify a car A client requests information on how to classify a car on a self-help form.on a self-help form.

PARALEGALS WRITTEN PARALEGALS WRITTEN COMMUNICATION WITH CLIENTCOMMUNICATION WITH CLIENT

USE CLEAR LANGUAGEUSE CLEAR LANGUAGECORRECT GRAMMARCORRECT GRAMMARCORRECT SPELLINGCORRECT SPELLINGINDICATE TITLEINDICATE TITLEUSE “ATTORNEY-CLIENT PRIVILEGE”USE “ATTORNEY-CLIENT PRIVILEGE”PROVIDE CLIENT WITH COPIES OF ALL PROVIDE CLIENT WITH COPIES OF ALL CORRESPONDENCES, PLEADINGS AND CORRESPONDENCES, PLEADINGS AND DISCOVERYDISCOVERYPROVIDE CLIENT WITH COPIES OF ALL PROVIDE CLIENT WITH COPIES OF ALL WORK-PRODUCTWORK-PRODUCT

Letter Writing TechniquesLetter Writing Techniques

Always carefully proofread and edit any Always carefully proofread and edit any letterslettersDelete any unnecessary words or legaleseDelete any unnecessary words or legaleseWrite as you speakWrite as you speakUse plain English rather than legalese Use plain English rather than legalese Use proper grammar, punctuation, and Use proper grammar, punctuation, and capitalizationcapitalizationAvoid slang, profanity, fad words, or other Avoid slang, profanity, fad words, or other sloppy languagesloppy language

Common Errors in Letter WritingCommon Errors in Letter Writing

Writing so your reader has trouble Writing so your reader has trouble understanding youunderstanding you

Talking down to your readerTalking down to your reader

Failing to be clear about the things you Failing to be clear about the things you want your correspondent to do and whenwant your correspondent to do and when

Follow the Golden RuleFollow the Golden Rule

If you don’t need to say it, don’t say it at allIf you don’t need to say it, don’t say it at all

GUIDANCEGUIDANCE

Traditional paralegalTraditional paralegal

Freelance/contract paralegalFreelance/contract paralegal

Independent paralegalIndependent paralegal

TRADITIONAL PARALEGALTRADITIONAL PARALEGAL

A PARALEGAL WHO WORKS WITH A PARALEGAL WHO WORKS WITH SUPERVISION BY AND/OR SUPERVISION BY AND/OR ACCOUNTABILITY TO A LAWYERACCOUNTABILITY TO A LAWYER

FREELANCE/CONTRACT FREELANCE/CONTRACT PARALEGALPARALEGAL

A PARALEGAL WHO WORKS AS AN A PARALEGAL WHO WORKS AS AN INDEPENDENT CONTRACTOR WITH INDEPENDENT CONTRACTOR WITH SUPERVISION BY AND/OR SUPERVISION BY AND/OR ACCOUNTABILITY TO A LAWYERACCOUNTABILITY TO A LAWYER

INDEPENDENT PARALEGALINDEPENDENT PARALEGAL

A PARALEGAL WHO PROVIDES A PARALEGAL WHO PROVIDES SERVICES TO CONSUMERS WITH SERVICES TO CONSUMERS WITH REGARD TO A PROCESS IN WHICH REGARD TO A PROCESS IN WHICH THE LAW IS INVOLVED AND FOR THE LAW IS INVOLVED AND FOR WHOSE WORK NO LAWYER IS WHOSE WORK NO LAWYER IS ACCOUNTABLE ACCOUNTABLE

Also included under the category of Also included under the category of Independent Paralegal are the following:Independent Paralegal are the following:

Special AdvocateSpecial Advocate

Agency RepresentativeAgency Representative

Special AdvocateSpecial Advocate

A paralegal who is authorized to A paralegal who is authorized to participate in court proceedings involving participate in court proceedings involving specified classes of parties or cases. The specified classes of parties or cases. The special advocate may be referred to as a special advocate may be referred to as a “court appointed special advocate” (CASA)“court appointed special advocate” (CASA)

Agency RepresentativeAgency Representative

A paralegal who is authorized by statute or A paralegal who is authorized by statute or agency rule to provide representation in agency rule to provide representation in agency proceedingsagency proceedings

Harkness v. Unemployment Harkness v. Unemployment Compensation Board of ReviewCompensation Board of Review

Employers can be represented by non-Employers can be represented by non-lawyers at unemployment compensation lawyers at unemployment compensation proceedings, a deeply split Pennsylvania proceedings, a deeply split Pennsylvania Supreme Court has ruledSupreme Court has ruled

WITNESSES AND EXPERTSWITNESSES AND EXPERTS

WITNESSESWITNESSES

Witnesses are persons who give evidence Witnesses are persons who give evidence in a cause before a court and who attests in a cause before a court and who attests or swears to facts or gives or bears or swears to facts or gives or bears testimony under oath testimony under oath

WITNESSESWITNESSES

IDENTIFY ALL POTENTIAL WITNESSES TO A IDENTIFY ALL POTENTIAL WITNESSES TO A CASECASEKEEP A LIST OF ALL NAMED WITNESSESKEEP A LIST OF ALL NAMED WITNESSESDECIDE WHETHER YOU WILL DEPOSE DECIDE WHETHER YOU WILL DEPOSE WITNESSESWITNESSESSUBPOENA WITNESSES FOR DEPOSITIONSSUBPOENA WITNESSES FOR DEPOSITIONSNAME ALL WITNESSES IN PRE-TRIAL NAME ALL WITNESSES IN PRE-TRIAL MEMORANDUMMEMORANDUMSUBPOENA ALL POTENTIAL WITNESSES SUBPOENA ALL POTENTIAL WITNESSES FOR TRIAL FOR TRIAL

EXPERT WITNESSESEXPERT WITNESSES

Expert witnesses are persons with Expert witnesses are persons with specialized knowledge, skill, experience, specialized knowledge, skill, experience, training or education who, once qualified, training or education who, once qualified, are able to provide testimony concerning are able to provide testimony concerning opinions formedopinions formed

EXPERTSEXPERTS

LOCATING POTENTIAL EXPERTSLOCATING POTENTIAL EXPERTS

INTERVIEWING POTENTIAL EXPERTSINTERVIEWING POTENTIAL EXPERTS

CONDUCTING BACKGROUND CONDUCTING BACKGROUND INVESTIGATION ON EXPERTSINVESTIGATION ON EXPERTS

SERVING AS LIAISON WITH EXPERTSSERVING AS LIAISON WITH EXPERTS

PREPARING EXPERTS FOR LEGAL PREPARING EXPERTS FOR LEGAL PROCEEDINGSPROCEEDINGS

FOCUS GROUPS/MOCK TRIALSFOCUS GROUPS/MOCK TRIALS

WHAT IS A FOCUS GROUPWHAT IS A FOCUS GROUP

WHAT IS A MOCK TRIALWHAT IS A MOCK TRIAL

WHY RESEARCH?WHY RESEARCH?

QUALITY JURY RESEARCHQUALITY JURY RESEARCH

PARLEGAL FUNCTION IN PARLEGAL FUNCTION IN COORDINATING FOCUS GROUP/MOCK COORDINATING FOCUS GROUP/MOCK TRIALTRIAL

FOCUS GROUPFOCUS GROUP

A focus group is an exploratory, creative A focus group is an exploratory, creative conversation with jurors guided by one or conversation with jurors guided by one or two consultants. A focus group usually two consultants. A focus group usually takes half a day or an eveningtakes half a day or an evening

MOCK TRIALSMOCK TRIALS

A mock trial is a structured, argumentative A mock trial is a structured, argumentative case presentation in which attorneys case presentation in which attorneys present both sides of the case. A mock present both sides of the case. A mock trial usually takes at least one day if not trial usually takes at least one day if not moremore

WHY RESEARCH?WHY RESEARCH?

Jury research is any of several types of Jury research is any of several types of exercise using surrogate jurors. It is exercise using surrogate jurors. It is designed to answer any question we may designed to answer any question we may have about how jurors may receive the have about how jurors may receive the case as a whole, or any piece of it case as a whole, or any piece of it

RESEARCH TAKES MANY RESEARCH TAKES MANY FORMS DEPENDING ON USEFORMS DEPENDING ON USE

SituationSituation

.. To gain better understanding of general To gain better understanding of general opinions in a particular venue -----opinions in a particular venue -----

.. To help us begin to put our case story To help us begin to put our case story together early in discovery---together early in discovery---

.. To determine how best to test one or two To determine how best to test one or two particular issues when we have a limited particular issues when we have a limited budget for a case---budget for a case---

.. To see how jurors value a case to inform To see how jurors value a case to inform settlement negotiations-----settlement negotiations-----

.. To test our key themes and strategies as we To test our key themes and strategies as we approach trial---approach trial---

.. To assess how jurors are receiving our case To assess how jurors are receiving our case and our witnesses at trialand our witnesses at trial

Research SolutionResearch Solution

.. Community attitude telephone surveyCommunity attitude telephone survey

.. Neutral format to see how jurors develop Neutral format to see how jurors develop storystory

.. Case issue study or abbreviated focus Case issue study or abbreviated focus groupgroup

.. Damage assessment researchDamage assessment research

.. Focus groupFocus group

.. Shadow juryShadow jury

Quality Jury ResearchQuality Jury Research

Is conducted in trial venue (or matched)Is conducted in trial venue (or matched)

Uses surrogate jurors matched to venue Uses surrogate jurors matched to venue demographicsdemographics

Ensures confidentialityEnsures confidentiality

Is conducted by social science Is conducted by social science research/statistical expertsresearch/statistical experts

PARALEGAL FUNCTION IN PARALEGAL FUNCTION IN COORDINATING FOCUS COORDINATING FOCUS

GROUP/MOCK TRIALGROUP/MOCK TRIAL

.. SEARCHES TO FIND PROVIDERSEARCHES TO FIND PROVIDER

.. WORKING WITH PROVIDER TO WORKING WITH PROVIDER TO COORDINATE FOCUS GROUP/MOCK COORDINATE FOCUS GROUP/MOCK TRIALTRIAL