Professional Responsibility (P1) Question Pack - Questions and Answers

1. After an initial consultation, Kareem decides not to take on a potential client’s matter. What should he send to formally conclude the interaction?

  1. A disengagement letter outlining a litigation strategy.
  2. A non-engagement letter stating that no services will be provided.
  3. An invoice for the time spent during the consultation.
  4. A thank-you note with no further clarification.

Correct Answer: B

Explanation: A non-engagement letter confirms the paralegal is not acting for the person, includes any relevant deadlines, and recommends seeking legal help elsewhere.

2. Licensed paralegal Janelle is working with a client who wants their cousin to attend all meetings. What should Janelle do to protect her professional obligations?

  1. Proceed with meetings while keeping the conversation general.
  2. Ask the cousin to sign a nondisclosure agreement.
  3. Obtain informed consent from the client after explaining potential confidentiality risks.
  4. Cancel future meetings until the cousin no longer participates.

Correct Answer: C

Explanation: The presence of third parties can compromise confidentiality. Informed consent ensures the client understands the risks before continuing.

3. Mateo is assisting a First Nations client and wants to incorporate culturally informed strategies. According to the Law Society’s guide, what principle should guide Mateo’s approach?

  1. Clients from Indigenous communities must be referred to an Elder.
  2. Cultural neutrality is required for fair advocacy.
  3. Law is not culturally neutral, so clients’ lived experiences must inform practice.
  4. Culturally relevant practices should only be considered during sentencing.

Correct Answer: C

Explanation: The Law Society acknowledges that legal systems are shaped by culture. Paralegals should respect and reflect the client’s identity and experience in their advocacy.

4. What is the main benefit of having a signed written engagement agreement when Fiona accepts a new client retainer?

  1. It confirms that fees will be paid in full by the client.
  2. It outlines the scope of work and ensures expectations are aligned.
  3. It satisfies Law Society marketing guidelines.
  4. It allows the paralegal to delegate tasks to assistants.

Correct Answer: B

Explanation: A written agreement helps prevent misunderstandings and clearly sets out the terms of service, fees, and responsibilities.

5. Under By-Law 7.1, what must paralegal Lionel do when retained to provide legal services?

  1. Record the client’s basic identifying information.
  2. Collect a deposit and open a trust account.
  3. File the retainer with the tribunal.
  4. Confirm the other party’s details before proceeding.

Correct Answer: A

Explanation: Paralegals must record key information such as the client’s name, address, and occupation to properly identify the client and comply with recordkeeping obligations.

6. Victoria is handling a criminal matter and experiences a severe breakdown in trust with her client. The trial is set to begin in 10 days. Can she withdraw from the case?

  1. No, she must remain on the file until trial concludes.
  2. Yes, if she obtains the client’s written permission.
  3. Only with court approval due to the proximity of the hearing.
  4. Yes, by filing a notice of withdrawal with the tribunal.

Correct Answer: C

Explanation: When a hearing is imminent, a paralegal typically needs the court’s permission to withdraw, especially in criminal matters.

7. Georgia is cross-examining a tribunal witness and learns their statement includes a misleading omission. What should she consider under the Rules of Conduct?

  1. Her duty to advocate forcefully.
  2. The risk of being contradicted on appeal.
  3. The obligation not to mislead by omission.
  4. Whether the tribunal judge has raised the issue.

Correct Answer: C

Explanation: A paralegal must not knowingly mislead the court or tribunal. Failing to address known inaccuracies can amount to professional misconduct.

8. Ivan, a licensed paralegal, often works with clients from diverse backgrounds. What quality must he demonstrate to provide effective service?

  1. Cultural competence.
  2. A strict adherence to legal tradition.
  3. Willingness to refer clients elsewhere.
  4. Knowledge of every client’s cultural customs.

Correct Answer: A

Explanation: Cultural competence involves understanding and respecting differences to ensure services are inclusive and accessible.

9. A client approaches Natalie with a file in an unfamiliar area of law. She believes she could learn quickly but the matter is time-sensitive. What should she do?

  1. Wait until trial to fully understand the topic.
  2. Take the case without discussing the gap in knowledge.
  3. Inform the client and request consent to proceed while developing competence.
  4. Decline the file and refer it to a friend.

Correct Answer: C

Explanation: If a paralegal is not initially competent, they must only take on the matter with the client’s informed consent and without causing delay or risk.

10. What obligation continues after a paralegal like Elijah ends a retainer with a former client?

  1. Charging reduced rates in future.
  2. Loyalty to the client’s ongoing position.
  3. Duty of confidentiality.
  4. Avoiding all contact with the client.

Correct Answer: C

Explanation: The duty of confidentiality survives the retainer and prevents the use or disclosure of client information indefinitely.

11. Sasha is applying for a new role at a paralegal firm. What is she allowed to share during the hiring process to assist with a conflict check?

  1. The names of active or related clients, if necessary for screening.
  2. Copies of previous client invoices.
  3. Full summaries of all previous case files.
  4. No information until employment is finalized.

Correct Answer: A

Explanation: Paralegals may disclose limited details (such as client names) if necessary to detect conflicts, but only when confidentiality is preserved and the disclosure is minimal.

12. Amelia realizes she is no longer competent to handle a legal matter she initially accepted. What must she do next?

  1. Immediately withdraw in accordance with the Rules.
  2. Assign the matter to a junior staff member.
  3. Complete the file and notify the client later.
  4. Seek retroactive permission from the Law Society.

Correct Answer: A

Explanation: If a paralegal becomes incompetent mid-retainer, they must withdraw in a way that avoids prejudice and complies with the Paralegal Rules of Conduct.

13. Damian assures opposing counsel that he will deliver disclosure by Friday. On Thursday, he realizes it won’t be ready. What professional rule applies here?

  1. Rule 8 – Marketing.
  2. Rule 2.02 – Undertakings and Trust Conditions.
  3. Rule 3 – Confidentiality.
  4. Rule 4 – Advocacy.

Correct Answer: B

Explanation: Undertakings are binding. Damian is required to fulfill the promise or promptly inform the other party and take steps to remedy the situation.

14. A client asks Martina to destroy documents that are subject to ongoing disclosure obligations. What must Martina do?

  1. Follow instructions only if the documents are not important.
  2. Decline to comply and withdraw from the file if necessary.
  3. Notify the tribunal of the client’s intent.
  4. Ask for the request in writing.

Correct Answer: B

Explanation: Paralegals must never act contrary to the Rules. If a client instructs conduct that violates the law or ethical standards, withdrawal is mandatory.

15. Ethan needs a medical-legal report to support his client’s case. What must he do before requesting it?

  1. Confirm with the health provider the report is ready.
  2. Obtain verbal permission from the client.
  3. Get written instructions from the client.
  4. Proceed without consent if it’s in the client’s best interest.

Correct Answer: C

Explanation: Due to the sensitive nature of medical information, paralegals must obtain written client authorization before requesting or relying on such documentation.

16. Avery is considering withdrawing from a retainer because the client hasn’t paid their fees. What must she do first?

  1. Reassign the client to another paralegal in the firm.
  2. Provide written notice and assess whether the withdrawal causes serious prejudice.
  3. Advise the Law Society immediately.
  4. Wait for a court order to confirm withdrawal.

Correct Answer: B

Explanation: Withdrawal for non-payment must be handled carefully; only if it won’t seriously harm the client’s case and after reasonable notice is provided.

17. Jordan has started receiving court notifications by email. What obligation does he have under the duty of technological competence?

  1. Learn the necessary technology to manage his files effectively.
  2. Delegate all digital communication to his assistant.
  3. Ask the court to send printed copies instead.
  4. Ignore technology unless required by a judge.

Correct Answer: A

Explanation: Paralegals must use available tools to deliver competent service, including mastering technology essential to their practice area.

18. Sophia is contacted by a prospective client demanding immediate service. She hasn’t screened the matter for scope or conflict. What should she do?

  1. Request payment, then assess the issue later.
  2. Begin drafting documents immediately.
  3. Perform an initial screening to confirm it’s within her scope and free of conflict.
  4. Accept the file and let the client decide how to proceed.

Correct Answer: C

Explanation: Proper screening is required to ensure the matter is appropriate, the paralegal is competent, and no conflict of interest exists.

19. Under By-Law 4, what type of matter may a paralegal like Aisha not represent a client in?

  1. A landlord application to the LTB.
  2. A family law dispute in Superior Court.
  3. A traffic ticket under the Highway Traffic Act.
  4. A Small Claims Court contract case.

Correct Answer: B

Explanation: Paralegals are not authorized to provide services in family law proceedings and must refer those matters to appropriate counsel.

20. Marcus has agreed to act as both the paralegal and a witness for events in a client’s case. What ethical concern does this raise?

  1. It violates accounting obligations.
  2. It simplifies trial preparation.
  3. It compromises impartiality and is generally not permitted.
  4. It speeds up resolution and improves efficiency.

Correct Answer: C

Explanation: Acting as both advocate and witness in the same matter creates a conflict that undermines fairness, unless the situation is formal or permitted by the tribunal.

21. Erin realizes she lacks the skills needed to handle a newly accepted client matter. What should she do according to the Paralegal Rules of Conduct?

  1. Assign the file to her assistant and supervise remotely.
  2. Decline the file or obtain consent to become competent without undue delay.
  3. Learn quietly and let the client assume she’s experienced.
  4. Proceed while making limited recommendations.

Correct Answer: B

Explanation: Paralegals must not take on matters they are not competent to handle unless they can become competent in time and with the client’s informed consent.

22. Gabrielle is asked to take on a file for a client previously represented by another paralegal. What should Gabrielle confirm before accepting the retainer?

  1. That she has time available in her schedule.
  2. That the former licensee has been discharged or has formally withdrawn.
  3. That her fees will be more reasonable.
  4. That the client owns the original documentation.

Correct Answer: B

Explanation: A new paralegal must not accept a matter unless the previous licensee has ended their representation, avoiding overlap or ethical conflict.

23. Jamie meets with a prospective client who never signs a retainer. What duty still applies after the meeting?

  1. Duty of confidentiality.
  2. Duty to bill for the consultation.
  3. Duty to return all communications.
  4. Duty to request a reference.

Correct Answer: A

Explanation: Even if no formal engagement occurs, the paralegal must protect any confidential information shared during the consultation.

24. Serena is preparing to open a Small Claims Court file. What must she confirm in writing with the client at the outset?

  1. The overall communication plan.
  2. The client’s expectations regarding timing.
  3. The scope of services, retainer terms, and billing arrangements.
  4. The tribunal’s availability.

Correct Answer: C

Explanation: Clients are entitled to know what services are included, how costs are calculated, and the structure of the retainer agreement.

25. Who is primarily responsible for making policy decisions at the Law Society of Ontario?

  1. Paralegal instructors.
  2. Benchers.
  3. Provincial court judges.
  4. Staff of the Ministry of Justice.

Correct Answer: B

Explanation: Benchers are elected or appointed decision-makers who govern the profession through Convocation and are accountable for policy-making.

26. At the end of a retainer, what must paralegal Henry do with the client’s file?

  1. Keep all copies for seven years.
  2. Return original documents and safeguard any unclaimed items.
  3. Submit the file to the Law Society.
  4. Destroy all contents unless otherwise requested.

Correct Answer: B

Explanation: Client property must be returned or held securely. Paralegals have a duty to safeguard sensitive or original materials.

27. Taylor receives a letter from the Law Society requesting a response to a complaint. She believes the claim is unfounded. What must she do?

  1. Respond fully and promptly.
  2. Refuse until legal counsel advises.
  3. Ignore the first communication.
  4. Let the client reply directly.

Correct Answer: A

Explanation: Paralegals are required to cooperate with Law Society inquiries regardless of personal views about the complaint’s merit.

28. While acting as a mediator, Morgan tells one party how to interpret a clause in their lease. What ethical concern arises here?

  1. The comment could be biased.
  2. It may constitute legal advice.
  3. It confuses the mediation process.
  4. It breaches confidentiality.

Correct Answer: B

Explanation: Mediators must avoid providing legal advice. Interpreting clauses in a way that applies to one party’s circumstances crosses that line.

29. What should André consider when forming a theory of the case?

  1. A narrative combining facts and law that supports the client’s position.
  2. The appearance of the client at hearings.
  3. Whether to avoid examining certain evidence.
  4. The tribunal’s scheduling practices.

Correct Answer: A

Explanation: A theory of the case is the framework that ties facts and legal principles into a persuasive argument for the client’s outcome.

30. Leo incurs a $2,000 fee for an expert witness without consulting the client. What should he have done first?

  1. Discussed the cost in advance and obtained approval.
  2. Paid and documented it privately.
  3. Sent the invoice to the opposing party.
  4. Filed it with his own expense report.

Correct Answer: A

Explanation: Paralegals must disclose and, when appropriate, seek prior approval before committing to significant third-party costs on a client’s behalf.

31. In what situation may paralegal Liam disclose client confidentiality without consent or a court order?

  1. If the client misses several deadlines.
  2. To defend against allegations of professional misconduct.
  3. When the file has been inactive for six months.
  4. If the client’s family requests updates.

Correct Answer: B

Explanation: Confidential information may be disclosed to defend against specific accusations—such as negligence or misconduct—but only to the extent necessary.

32. Jordan discovers a fellow licensee has taken trust funds from a client account for personal use. What is he required to do under the Rules?

  1. Confront the licensee and try to resolve it quietly.
  2. Stay silent unless the client notices.
  3. Inform the client and suggest alternative legal help.
  4. Report the misconduct to the Law Society in good faith.

Correct Answer: D

Explanation: Serious breaches, including misappropriation of trust funds, must be reported promptly to the Law Society unless legally prohibited.

33. Maya gives informal legal guidance to someone she meets at a public event. What should she do to avoid creating a paralegal-client relationship?

  1. Offer a discount if they retain her later.
  2. Clarify in writing that she is not providing legal services.
  3. Refer them to the Law Society’s directory.
  4. Ask them to sign a waiver.

Correct Answer: B

Explanation: To avoid inadvertently forming a professional relationship, Maya should document that she is not representing the individual.

34. Taylor is cross-examining a witness who supports her client but was called by the opposing party. What is she prohibited from doing during testimony?

  1. Making notes while they speak.
  2. Asking them to adjust their answer after a break.
  3. Communicating with them privately.
  4. Questioning them about earlier documents.

Correct Answer: C

Explanation: Rule 4.03 prohibits a paralegal from communicating with a witness under examination without the tribunal’s permission, regardless of who called the witness.

35. Ethan is asked to take on a case involving the same dispute he once worked on for the other side. What is required for him to accept the new client?

  1. A written declaration from the new client.
  2. A lapse of at least two years.
  3. Permission from the Law Society.
  4. Informed consent from the former client.

Correct Answer: D

Explanation: Paralegals may not act against a former client in a related matter without that client’s informed consent, which must be voluntary and based on full disclosure.

36. Natalie is working on a matter where the opposing party is represented by legal counsel. What must she avoid?

  1. Sharing procedural updates.
  2. Contacting that person directly without consent from their lawyer.
  3. Filing documents on their behalf.
  4. Reading their tribunal submissions.

Correct Answer: B

Explanation: Under Rule 7.02, paralegals must not directly communicate with a represented person unless authorized or permitted under a defined exception.

37. Who qualifies as a prospective client under the Paralegal Rules?

  1. Anyone referred by an existing client.
  2. A person seeking advice, even without retention.
  3. Only those who submit payment.
  4. Individuals who complete intake paperwork.

Correct Answer: B

Explanation: A person becomes a prospective client as soon as they seek legal advice, regardless of whether a formal retainer is signed or payment is made.

38. Malik agrees to jointly represent two clients whose interests might diverge. What must he do before moving forward?

  1. Get written consent from both clients after advising them that communications won’t be confidential between them.
  2. Create two separate files to protect client information.
  3. Choose which client will take the lead.
  4. Proceed as long as both clients trust him.

Correct Answer: A

Explanation: For joint retainers, the paralegal must explain the potential for conflict and obtain informed consent after disclosing that confidentiality between the parties cannot be preserved.

39. When may Isabelle accept a referral fee for sending a client to another licensee?

  1. When the client is unaware but happy with the result.
  2. If there is a written agreement and full client disclosure.
  3. Only if the fee is under $500.
  4. Whenever the referred licensee agrees to share revenue.

Correct Answer: B

Explanation: Referral fees must follow the Rules: a written agreement involving all parties, full client disclosure, and adherence to the set percentage limits.

40. Olivia learns that her business partner owns shares in a corporation involved in her client’s case. What must she do under the Rules?

  1. Stay silent unless questioned.
  2. Remove her partner from the firm.
  3. Disclose the potential conflict and decide whether to withdraw or seek consent.
  4. Notify the opposing party.

Correct Answer: C

Explanation: Paralegals must disclose any financial or personal interest that may pose a conflict. Depending on the situation, they must either obtain informed consent or withdraw.

41. Isabella is setting up her new legal services practice and wants to attract clients. Which of the following would violate the Paralegal Rules of Conduct?

  1. Printing business cards that state, “Paralegal Services for Landlord Disputes.”
  2. Advertising her license number and scope of practice.
  3. Describing her approach as “trusted and community-focused.”
  4. Claiming to be “Ontario’s #1 Paralegal” based on a purchased award.

Correct Answer: D

Explanation: Marketing must not be misleading. Referring to a ranking that isn’t based on an objective evaluation, especially if paid for, violates Rule 8.03 and Guideline 19.

42. Jamie has been invited to speak on a nonprofit’s legal panel. What must she keep in mind under the Paralegal Rules of Conduct?

  1. Decline the invitation unless it’s approved by the Law Society.
  2. Avoid using legal terminology to remain informal.
  3. Be careful not to create the impression she’s offering legal services.
  4. Make promotional materials available to all attendees.

Correct Answer: C

Explanation: Paralegals must avoid unintentionally establishing a paralegal-client relationship in public or volunteer settings, including educational panels.

43. Maya realizes she missed a deadline that may harm her client’s case. What must she do under the Rules?

  1. Tell the client only if asked.
  2. Notify the opposing party.
  3. Promptly inform the client and recommend independent legal advice.
  4. Let the tribunal know but avoid alerting the client.

Correct Answer: C

Explanation: Paralegals have an ethical duty to disclose serious errors and to advise the client to seek independent counsel if necessary.

44. A paralegal discovers that someone with a revoked license is promoting “legal coaching” services from a nearby office. What should they do?

  1. Report the situation to the Law Society and avoid association.
  2. Share the space as long as files aren’t shared.
  3. Refer minor matters to the individual.
  4. Take no action unless a client complains.

Correct Answer: A

Explanation: Paralegals must not associate with individuals whose licenses have been suspended or revoked unless expressly authorized by the Law Society Tribunal.

45. Before a paralegal can withdraw legal fees from a trust account, which of the following is required?

  1. A handwritten note of approval.
  2. Client has been billed and sufficient funds exist in trust.
  3. Permission from the Law Society.
  4. No fees are outstanding.

Correct Answer: B

Explanation: Paralegals may only withdraw funds from trust after delivering an account to the client and confirming enough funds are available to cover the fees.

46. Liam is retained by a corporation in a litigation matter. Who is his client under the Paralegal Rules of Conduct?

  1. Any director who signs the retainer.
  2. The person providing day-to-day instructions.
  3. The corporation itself.
  4. All senior officers jointly.

Correct Answer: C

Explanation: When representing an organization, the entity (not individual employees or directors) is the client.

47. Ethan is retained by a hesitant client who allows their family member to speak on their behalf in every meeting. What should Ethan do?

  1. Decline the file entirely.
  2. Confirm that the client is not under undue influence.
  3. Direct all communication to the family member.
  4. Continue the meetings but only discuss non-sensitive issues.

Correct Answer: B

Explanation: Paralegals must ensure clients are providing instructions voluntarily and understand their rights, especially in potentially coercive situations.

Case 1

Farah, a licensed paralegal, is assisting her client, Leo, with a Small Claims Court action involving a home renovation contract. During the process, Leo introduces Farah to his cousin, Raj, who also wants to sue the same contractor over a similar dispute. Leo and Raj ask Farah if she can represent them both to save time and costs.

Questions 48 to 50 refer to Case 1

48. Before agreeing to represent Leo and Raj jointly, what should Farah do first?

  1. Accept the joint retainer since the clients’ interests seem aligned.
  2. Send a draft claim to both clients for approval.
  3. Conduct a conflict-of-interest check to assess compatibility of representation.
  4. Begin preparing court documents for both claims.

Correct Answer: C

Explanation: Rule 3 requires a paralegal to identify potential conflicts before accepting a joint retainer. Even seemingly aligned interests may diverge once litigation begins, so a proper analysis is essential.

49. During preparation, Raj insists that Farah seek compensation for a cash deposit not mentioned by Leo. What is Farah’s most appropriate next step?

  1. Add the cash deposit to both claims to maintain consistency.
  2. Advise Leo of Raj’s request and confirm if the same claim applies.
  3. Continue representing both clients but file separate claims.
  4. Reassess whether joint representation remains appropriate.

Correct Answer: D

Explanation: Diverging facts or objectives between clients may indicate a developing conflict. Farah must reassess the viability of joint representation to ensure she can maintain independent judgment and fulfill duties to both clients.

50. If a conflict arises that cannot be resolved, and Farah must cease acting for both clients, what should she do regarding their ongoing legal matters?

  1. Notify the court that she is no longer acting and take no further steps.
  2. Advise each client separately to find new representation and provide their respective documents.
  3. Refer the clients to the same new paralegal for continuity.
  4. File a motion to consolidate their claims before withdrawing.

Correct Answer: B

Explanation: Upon withdrawal, Farah must take reasonable steps to avoid prejudice to her clients. This includes providing their materials and advising them to seek new counsel, without breaching confidentiality or favouring either party.