In Search of the Delicate Balance: Legal and Ethical Questions in Assisting the Pro Se Patron

Law Library Journal

Volumn 90, Issue 2, 1998, Pages 129-144

  Healey, Paul D ^a  

^a William Mitchell College of Law   (United States)

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EID: 0032369278     PISSN: 00239283     EISSN: None     Source Type: Journal    
DOI: None     Document Type: Article

References (137)

1. Pro se is Latin for "in person" or "for one's own behalf." BLACK'S LAW DICTIONARY 1221 (6th ed. 1990). Pro per is a contraction of the Latin phrase "in propria persona" meaning "in one's own proper person." Id. at 792. Among law librarians both tend to be used to identify laypersons using the law library to deal with their own legal problem or question. In this article the term pro se will be used and will indicate any nonlawyer or layperson using the law library for information regarding his or her own legal rights or legal questions.
2. See, e.g., Robert T. Begg, The Reference Librarian and the Pro Se Patron, 69 L. LIBR. J. 26, 28 (1976); Giuliano Chicco, Moderator, Ethics and Law Librarianship: A Panel Discussion, 83 L. LIBR. J. 1 (1991); Gerome Leone, Malpractice Liability of a Law Librarian? 73 L. LIBR. J. 44 (1980); Legal Reference Services: The Delivery Process: III. Unauthorized Practice of Law and the Legal Reference Librarian 72 L. LIBR. J. 57 (1979) (panel discussion).
3. See, e.g., Robert T. Begg, The Reference Librarian and the Pro Se Patron, 69 L. LIBR. J. 26, 28 (1976); Giuliano Chicco, Moderator, Ethics and Law Librarianship: A Panel Discussion, 83 L. LIBR. J. 1 (1991); Gerome Leone, Malpractice Liability of a Law Librarian? 73 L. LIBR. J. 44 (1980); Legal Reference Services: The Delivery Process: III. Unauthorized Practice of Law and the Legal Reference Librarian 72 L. LIBR. J. 57 (1979) (panel discussion).
4. See, e.g., Robert T. Begg, The Reference Librarian and the Pro Se Patron, 69 L. LIBR. J. 26, 28 (1976); Giuliano Chicco, Moderator, Ethics and Law Librarianship: A Panel Discussion, 83 L. LIBR. J. 1 (1991); Gerome Leone, Malpractice Liability of a Law Librarian? 73 L. LIBR. J. 44 (1980); Legal Reference Services: The Delivery Process: III. Unauthorized Practice of Law and the Legal Reference Librarian 72 L. LIBR. J. 57 (1979) (panel discussion).
5. See, e.g., Robert T. Begg, The Reference Librarian and the Pro Se Patron, 69 L. LIBR. J. 26, 28 (1976); Giuliano Chicco, Moderator, Ethics and Law Librarianship: A Panel Discussion, 83 L. LIBR. J. 1 (1991); Gerome Leone, Malpractice Liability of a Law Librarian? 73 L. LIBR. J. 44 (1980); Legal Reference Services: The Delivery Process: III. Unauthorized Practice of Law and the Legal Reference Librarian 72 L. LIBR. J. 57 (1979) (panel discussion).
6. See, e.g., Yvette Brown, From the Reference Desk to the Jail House: Unauthorized Practice of Law and Librarians, LEGAL REFERENCE SERVICES Q., No. 4, 1994, at 31; C.C. Kirkwood & Tim Watts, Legal Reference Service: Duties v. Liabilities, LEGAL REFERENCE SERVICES Q., Summer 1983, at 67; Robin K. Mills, Reference Service vs. Legal Advice: Is It Possible to Draw the Line? 72 L. LIBR. J. 180 (1979); Peter C. Schanck, Unauthorized Practice of Law and the Legal Reference Librarian, 72 L. LIBR. J. 57 (1979).
7. See, e.g., Yvette Brown, From the Reference Desk to the Jail House: Unauthorized Practice of Law and Librarians, LEGAL REFERENCE SERVICES Q., No. 4, 1994, at 31; C.C. Kirkwood & Tim Watts, Legal Reference Service: Duties v. Liabilities, LEGAL REFERENCE SERVICES Q., Summer 1983, at 67; Robin K. Mills, Reference Service vs. Legal Advice: Is It Possible to Draw the Line? 72 L. LIBR. J. 180 (1979); Peter C. Schanck, Unauthorized Practice of Law and the Legal Reference Librarian, 72 L. LIBR. J. 57 (1979).
8. See, e.g., Yvette Brown, From the Reference Desk to the Jail House: Unauthorized Practice of Law and Librarians, LEGAL REFERENCE SERVICES Q., No. 4, 1994, at 31; C.C. Kirkwood & Tim Watts, Legal Reference Service: Duties v. Liabilities, LEGAL REFERENCE SERVICES Q., Summer 1983, at 67; Robin K. Mills, Reference Service vs. Legal Advice: Is It Possible to Draw the Line? 72 L. LIBR. J. 180 (1979); Peter C. Schanck, Unauthorized Practice of Law and the Legal Reference Librarian, 72 L. LIBR. J. 57 (1979).
9. See, e.g., Yvette Brown, From the Reference Desk to the Jail House: Unauthorized Practice of Law and Librarians, LEGAL REFERENCE SERVICES Q., No. 4, 1994, at 31; C.C. Kirkwood & Tim Watts, Legal Reference Service: Duties v. Liabilities, LEGAL REFERENCE SERVICES Q., Summer 1983, at 67; Robin K. Mills, Reference Service vs. Legal Advice: Is It Possible to Draw the Line? 72 L. LIBR. J. 180 (1979); Peter C. Schanck, Unauthorized Practice of Law and the Legal Reference Librarian, 72 L. LIBR. J. 57 (1979).
10. See, e.g., Moses Apsan, Assisting the Pro Se Litigant: Unauthorized Practice of Law or the Fulfillment of a Public Need? 28 N.Y.L. SCH. L. REV. 691 (1983); Legal Information to the People, 72 L. LIBR. J. 612, 624 (1979) (panel discussion, remarks of Donald J. Dunn); Madison Mosley Jr., The Authorized Practice of Legal Reference Service, 87 L. LIBR. J. 203 (1995); Maria E. Protti, Dispensing Law at the Front Lines: Ethical Dilemmas in Law Librarianship, 40 LIBR. TRENDS 234, 235 (1991).
11. See, e.g., Moses Apsan, Assisting the Pro Se Litigant: Unauthorized Practice of Law or the Fulfillment of a Public Need? 28 N.Y.L. SCH. L. REV. 691 (1983); Legal Information to the People, 72 L. LIBR. J. 612, 624 (1979) (panel discussion, remarks of Donald J. Dunn); Madison Mosley Jr., The Authorized Practice of Legal Reference Service, 87 L. LIBR. J. 203 (1995); Maria E. Protti, Dispensing Law at the Front Lines: Ethical Dilemmas in Law Librarianship, 40 LIBR. TRENDS 234, 235 (1991).
12. See, e.g., Moses Apsan, Assisting the Pro Se Litigant: Unauthorized Practice of Law or the Fulfillment of a Public Need? 28 N.Y.L. SCH. L. REV. 691 (1983); Legal Information to the People, 72 L. LIBR. J. 612, 624 (1979) (panel discussion, remarks of Donald J. Dunn); Madison Mosley Jr., The Authorized Practice of Legal Reference Service, 87 L. LIBR. J. 203 (1995); Maria E. Protti, Dispensing Law at the Front Lines: Ethical Dilemmas in Law Librarianship, 40 LIBR. TRENDS 234, 235 (1991).
13. See, e.g., Moses Apsan, Assisting the Pro Se Litigant: Unauthorized Practice of Law or the Fulfillment of a Public Need? 28 N.Y.L. SCH. L. REV. 691 (1983); Legal Information to the People, 72 L. LIBR. J. 612, 624 (1979) (panel discussion, remarks of Donald J. Dunn); Madison Mosley Jr., The Authorized Practice of Legal Reference Service, 87 L. LIBR. J. 203 (1995); Maria E. Protti, Dispensing Law at the Front Lines: Ethical Dilemmas in Law Librarianship, 40 LIBR. TRENDS 234, 235 (1991).
14. See Leone, supra note 2, at 45.
15. Id. at 46-49.
16. See infra text accompanying notes 97-101.
17. Prisoners have some rights to access to legal materials by virtue of their incarcerated status. See infra text accompanying notes 35-36.
18. See Commonwealth v. Downing, 511 A.2d 792 (Pa. 1986).
19. Kirkwood & Watts, supra note 3, at 74.
20. Paul McEnroe, Going It Alone: Pro Se Litigation, BENCH & BAR, Feb. 1996, at 18.
21. Id. Conciliation court is the Minnesota equivalent to what most jurisdictions refer to as small claims court. See Minn. Stat. 487.30 (1996).
22. Cameron Allen, Whom We Shall Serve: Secondary Patrons of the University Law School Library, 66 L. LIBR. J. 160, 165 (1973).
23. Id.
24. Begg, supra note 2, at 28-29.
25. Id.
26. Id.
27. Id. at 30.
28. See Gideon v. Wainwright, 372 U.S. 335 (1963); Scott v. Illinois, 440 U.S. 367 (1979).
29. See Gideon v. Wainwright, 372 U.S. 335 (1963); Scott v. Illinois, 440 U.S. 367 (1979).
30. Begg, supra note 2, at 28.
31. Brown, supra note 3, at 32.
32. Begg, supra note 2, at 30.
33. Id.
34. See, e.g., Brown, supra note 3, at 32.
35. See, e.g., Legal Information to the People, supra note 4, at 622 (remarks of Robin K. Mills).
36. See, e.g., Mosley, supra note 4, at 207.
37. Mills, supra note 3, at 187.
38. See Schanck, supra note 3, at 60.
39. Brown, supra note 3, at 37.
40. Protti, supra note 4, at 238.
41. Mills, supra note 3, at 191.
42. Id. at 187.
43. Mosley, supra note 4, at 208.
44. Id. at 206.
45. Id. at 205-06.
46. Id. at 207.
47. Leone, supra note 2, at 50.
48. Id. at 61.
49. 430 U.S. 817 (1977).
50. Leone, supra note 2, at 61.
51. See Bounds, 430 U.S. at 822.
52. See Gideon v. Wainwright, 372 U.S. 335, 349 (1963).
53. Kirkwood & Watts, supra note 3, at 68-69.
54. Id.
55. Id. at 72.
56. Id.
57. Id.
58. Brown, supra note 3, at 32.
59. Id. at 35.
60. Id.
61. Kirkwood & Watts, supra note 3, at 69.
62. Leone, supra note 2, at 54.
63. Protti, supra note 4, at 235.
64. Id. at 236.
65. Leone, supra note 2, at 49.
66. Mosley, supra note 4, at 206.
67. Id. at 205.
68. Id. at 208.
69. Protti, supra note 4, at 238.
70. Begg, supra note 2, at 31-32.
71. Kirkwood & Watts, supra note 3, at 75.
72. Id.
73. Id. at 75-76.
74. Brown, supra note 3, at 41.
75. Begg, supra note 2, at 31-32.
76. Schanck, supra note 3, at 62.
77. For a history of unauthorized practice, see Deborah L. Rhode, Policing the Professional Monopoly: A Constitutional and Empirical Analysis of Unauthorized Practice Prohibitions, 34 STAN. L. REV. 1, 6-11 (1981); Apsan, supra note 4, at 698-702.
78. For a history of unauthorized practice, see Deborah L. Rhode, Policing the Professional Monopoly: A Constitutional and Empirical Analysis of Unauthorized Practice Prohibitions, 34 STAN. L. REV. 1, 6-11 (1981); Apsan, supra note 4, at 698-702.
79. See MAYNARD E. PIRSIG & KENNETH F. KIRWIN, CASES AND MATERIALS ON PROFESSIONAL RESPONSIBILITY (4th ed. 1984).
80. See Paul P. Ashley, The Unauthorized Practice of Law, 16 A.B.A. J. 558, 559 (1930).
81. See id. at 558.
82. PIRSIG & KIRWIN, supra note 68, at 80, 82.
83. E.g., AM. BAR FOUND., ANNOTATED CODE OF PROFESSIONAL RESPONSIBILITY (1979); CTR. FOR PROFESSIONAL RESPONSIBILITY, AM. BAR ASS'N, ANNOTATED MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992) [hereinafter ANNOTATED MODEL RULES]; GEOFFREY C. HAZARD JR. & W. WILLAM HODES, THE LAW OF LAWYERING: A HANDBOOK ON THE MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992); PIRSIG & KIRWIN, supra note 68.
84. E.g., AM. BAR FOUND., ANNOTATED CODE OF PROFESSIONAL RESPONSIBILITY (1979); CTR. FOR PROFESSIONAL RESPONSIBILITY, AM. BAR ASS'N, ANNOTATED MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992) [hereinafter ANNOTATED MODEL RULES]; GEOFFREY C. HAZARD JR. & W. WILLAM HODES, THE LAW OF LAWYERING: A HANDBOOK ON THE MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992); PIRSIG & KIRWIN, supra note 68.
85. E.g., AM. BAR FOUND., ANNOTATED CODE OF PROFESSIONAL RESPONSIBILITY (1979); CTR. FOR PROFESSIONAL RESPONSIBILITY, AM. BAR ASS'N, ANNOTATED MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992) [hereinafter ANNOTATED MODEL RULES]; GEOFFREY C. HAZARD JR. & W. WILLAM HODES, THE LAW OF LAWYERING: A HANDBOOK ON THE MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992); PIRSIG & KIRWIN, supra note 68.
86. E.g., AM. BAR FOUND., ANNOTATED CODE OF PROFESSIONAL RESPONSIBILITY (1979); CTR. FOR PROFESSIONAL RESPONSIBILITY, AM. BAR ASS'N, ANNOTATED MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992) [hereinafter ANNOTATED MODEL RULES]; GEOFFREY C. HAZARD JR. & W. WILLAM HODES, THE LAW OF LAWYERING: A HANDBOOK ON THE MODEL RULES OF PROFESSIONAL CONDUCT (2d ed. 1992); PIRSIG & KIRWIN, supra note 68.
87. See, e.g., Schanck, supra note 3, at 57.
88. I searched the computer-assisted legal research systems Westlaw and LEXIS-NEXIS, on March 6, 1998. The searches utilized Boolean search terms and were conducted on the federal and state databases in each service. None of the cases returned by the searches dealt with a librarian accused of engaging in the unauthorized practice of law.
89. MODEL RULES OF PROFESSIONAL CONDUCT Rule 5.5 (1983).
90. See 2 HAZARD & HODES, supra note 72, § AP4:101.
91. See ANNOTATED MODEL RULES, supra note 72, at 465.
92. See Mills, supra note 3, at 183.
93. See, e.g., H. Glenn Boggs, What Is the Practice of Law? Really? 57 FLA. B.J. 369, 369 (1983).
94. See 2 HAZARD & HODES, supra note 72, § 5.5:103 ("Defining the outer limits of the 'practice of law' is practically impossible.");
95. Mills, supra note 3, at 183 ("The courts have found it impossible to come up with a definition of law practice which applies in every case . . . .");
96. PIRSIG & KIRWIN, supra note 68, at 83 ("Where and how to draw the line between what is and what is not the practice of law remains unsettled to a considerable degree.").
97. Apsan, supra note 4, at 694.
98. MODEL RULES OF PROFESSIONAL CONDUCT pmbl. (1983).
99. See MODEL RULES OF PROFESSIONAL CONDUCT Rule 5.5 cmt. (1983); PIRSIG & KIRWIN, supra note. 68, at 82; HAZARD & HODES, supra note 72, § 5.5:102.
100. See MODEL RULES OF PROFESSIONAL CONDUCT Rule 5.5 cmt. (1983); PIRSIG & KIRWIN, supra note. 68, at 82; HAZARD & HODES, supra note 72, § 5.5:102.
101. See MODEL RULES OF PROFESSIONAL CONDUCT Rule 5.5 cmt. (1983); PIRSIG & KIRWIN, supra note. 68, at 82; 2 HAZARD & HODES, supra note 72, § 5.5:102.
102. See ANNOTATED MODEL RULES, supra note 72, at 465.
103. See Schanck, supra note 3, at 59.
104. See id.
105. See ANNOTATED MODEL RULES, supra note 72, at 466.
106. See New York County Lawyers' Ass'n v. Dacey, 234 N.E.2d 459 (N.Y. 1967) (holding that a book on avoiding probate does not constitute practice of law because it provides no personal contact or relationship with a client).
107. See, e.g., Gardner v. Conway, 48 N.W.2d 788 (Minn. 1951) (resolution of "difficult legal questions" incidental to preparation of tax returns).
108. See, e.g., State ex rel. State Bar of Wisconsin v. Bonded Collections, Inc., 154 N.W.2d 250 (Wis. 1967) (collection agency took assignment of accounts and brought suit in its own name).
109. See, e.g., Utah State Bar v. Summerhayes & Hayden, Public Adjusters, 905 P.2d 867 (Utah 1995) (third-party adjusting of insurance claims).
110. See, e.g., In re Mid-America Living Trust Assocs., 927 S.W.2d 855 (Mo. 1996) (determining type of appropriate trust, preparing trust documents, and charging fees).
111. See, e.g., State Bar v. Guardian Abstract and Title Co., 575 P.2d 943 (N.M. 1978) (filling in forms and legal instruments in real estate transactions).
112. See, e.g., Green v. Huntington Nat'l Bank, 212 N.E.2d 585 (Ohio 1965) (giving specific legal information in relation to estate and tax planning).
113. See Mills, supra note 3, at 182 (citing sources).
114. See Leone, supra note 2, at 50-51.
115. Apsan, supra note 4, at 704-05.
116. See Washington State Bar Ass'n v. Great Western, Etc., 586 P.2d 870, 876 (Wash. 1978).
117. See Apsan, supra note 4, at 692; Begg, supra note 2, at 28.
118. See Apsan, supra note 4, at 692; Begg, supra note 2, at 28.
119. 422 U.S. 806 (1975).
120. See Begg, supra note 2, at 28.
121. Id.
122. MODEL RULES OF PROFESSIONAL CONDUCT Rule 5.5 cmt. (1983).
123. See, e.g., Apsan, supra note 4.
124. Mills, supra note 3, at 180.
125. Protti, supra note 4, at 237.
126. See 1 HAZARD & HODES, supra note 72, § 1.3:107.
127. Id.
128. See Paul D. Healey, Chicken Little at the Reference Desk: The Myth of Librarian Liability, 87 L. LIBR. J. 515, 525 (1995).
129. Id.
130. An advocacy approach could include interpreting law, assisting the patron with filling out forms, suggesting legal theories, or advocating a particular approach to the patron's problem.
131. See 1 HAZARD & HODES, supra note 72, § 1.3:107.
132. Kathy Garner, Lawyer-Librarians in Public Law Schools: The Ethical Conundrums of Pro Bono Activities, 84 L. LIBR. J. 34, 38 (1992).
133. AALL Code of Ethics, in AALL DIRECTORY AND HANDBOOK 1997-1998, at 383 (1997).
134. Id.
135. See Rosemary Del Vecchio, Privacy and Accountability at the Reference Desk, 38 REFERENCE LIBR. 137, 137 (1988).
136. See Mark Stover, Confidentiality and Privacy in Reference Service, 27 RQ 242 (1987).
137. Protti, supra note 4, at 236.