Professional Responsibility and Ethics (LAW 747)
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Course Overview & MaterialsSyllabus - LAW 7475 Topics
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Topics1. Introduction & Background10 Topics
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1.01. Introduction
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1.02. This course and the Multistate Professional Responsibility Examination (MPRE)
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1.03. Professionalism is more than just understanding the rules
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1.03.01. Formal assistance resources
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1.03.02. Informal well-being resources
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1.04. A short history of the regulation of lawyers
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1.05. Sources of law for regulating professional conduct
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1.06. Readings
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1.06.01. Hints on the Professional Deportment of Lawyers, with Some Counsel to Law Students
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1.06.02. ABA Model Rules of Professional Conduct
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1.01. Introduction
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2. Admission to the Practice of Law8 Topics
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2.01. Introduction
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2.02. Requirements: Legal Education
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2.03. Requirements: Acceptable “Character and Fitness”
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2.04. Requirements: Pass State Bar Examination
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2.05. Requirements: Other Obligations
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2.06. Ethical Obligations in Submitting/Supporting an Application [Rule 8.1]
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2.07. Reading: In re Nathan, 26 So. 3d 146 (La. 2010)
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2.08. Reading: In re Jarrett, 879 N.W.2d 116 (Wis. 2016)
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2.01. Introduction
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3. Introduction to the Standard and Process of Lawyer Discipline17 Topics
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3.01. Introduction
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3.02. Disciplinary Agency: Structure and Process
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3.03. Justification for Attorney Discipline
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3.04. Disciplinary Sanctions
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3.05. Conduct that Subjects a Lawyer to Discipline [Rule 8.4]
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3.05.01. Rule 8.4(a): Violating, attempting to violate Rules of Professional Conduct or violating through another
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3.05.02. Rule 8.4(b): Criminal Act that Reflects adversely on honesty, trustworthiness, or fitness as a lawyer
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3.05.03. Rule 8.4(c): Conduct involving dishonesty, fraud, deceit, or misrepresentation
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3.05.04. Rule 8.4(d): Conduct that is prejudicial to the administration of justice
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3.05.05. Rule 8.4(e): Stating/implying the ability to influence governmental agency/official
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3.05.06. Rule 8.4(f): Assist a judge or judicial office in conduct that violates CJC or other law
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3.05.07. Rule 8.4(g): Engaging in conduct the lawyer knows/reasonably should know is harassment or discrimination
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3.06. Maintaining the Integrity of the Profession [Rule 8.2]
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3.07. Where a lawyer is subject to discipline; Choice of Law [Rule 8.5]
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3.08. Duty to Report Misconduct of another Lawyer [Rule 8.3]
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3.09. Reading: Disciplinary Counsel v. Brockler, 48 N.E. 3d 557 (Ohio 2016)
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3.10. Reading: In Re Riehlmann, 891 So. 2d 1239 (La. 2005)
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3.01. Introduction
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4. Malpractice21 Topics
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4.01. Introduction
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4.02. Malpractice
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4.02.01. Attorney-client relationship
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4.02.02. Duty
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4.02.03. Breach
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4.02.04. Causation
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4.02.05. Damages
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4.03. Defenses
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4.04. Malpractice Standard for Criminal Defendants
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4.05. Malpractice Liability to Non-Clients
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4.05.01. Prospective Clients
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4.05.02. Beneficiary of a Will
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4.05.03. Where Lawyer Assumes Duty on Behalf of Non-Client
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4.05.04. Lawyer Represents Trustee-Like Fiduciary in Breach of an Obligation to the Intended Beneficiary of Fiduciary
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4.06. Prospective Waiver of Malpractice Claim [Rule 1.8(h) (1)]
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4.07. Provision for Arbitration of Malpractice Claims
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4.08. Settling a Malpractice Claim [Rule 1.8(h)(2)]
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4.09. Inherent Power of Court to Sanction
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4.09.01. Civil Contempt
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4.09.02. Criminal Contempt
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4.10. Reading: Lanham v. Fleenor, 429 P.3d 1231 (Idaho 2018)
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4.01. Introduction
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5. Unauthorized Practice of Law16 Topics
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5.01. Introduction
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5.02. History of Unauthorized Practice of Law
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5.03. Justification for Unauthorized Practice of Law
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5.04. Criminal Restriction on Unauthorized Practice of Law
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5.05. Ethical Restriction on Unauthorized Practice of Law [Rule 5.5]
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5.05.01. Defining the Practice of Law and Prohibition on Continuous Presence [Rule 5.5(a) & (b)]
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5.05.02. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Associating a Local Lawyer [Rule 5.5(c)(1)]
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5.05.03. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Contemplated Proceedings [Rule 5.5(c)(2)]
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5.05.04. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis When Related to Pending or Potential Arbitration/Mediation [Rule 5.5(c)(3)]
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5.05.05. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Temporary Basis in a Transactional matter [Rule 5.5(c)(4)]
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5.05.06. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: In-house counsel [Rule 5.5(d)(1)]
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5.05.07. Exceptions to the Unauthorized Practice of Law: Provision of Services on a Regular Basis: When Authorized by Law [Rule 5.5(d)(2)]
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5.06. Judicial Definitions of Unauthorized Practice of Law
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5.07. Pro se Representation: Individuals and Corporations
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5.08. Reading: Darby v. MS State Bd. of Bar Admissions, 185 So. 2d 684 (Miss. 1966)
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5.09. Reading: Fifteenth Judicial District Unified Bar Ass'n v. Glasgow, 1999 WL 1128847 (Tenn. Ct. App. 1999)
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5.01. Introduction
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6. Duty to Work for No Compensation (Pro Bono)13 Topics
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6.01. Introduction
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6.02. Unmet Legal Needs
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6.03. Ethical Obligation to Provide Pro Bono
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6.03.01. Mandatory Pro Bono
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6.03.02. Voluntary Pro Bono [Rule 6.1]
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6.04. The Florida Case Study
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6.05. Representation Through Appointments [Rule 6.2]
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6.06. Limiting Scope of Representation [Rule 1.2(c)]
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6.06.01. Limited Scope Representation and Unbundled Legal Services
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6.06.02. Ghostwriting
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6.07. Reading: Jonathan R. Macey, "Mandatory Pro Bono: Comfort for the power or welfare for the rich?", 77 Cornell L. Rev. 1115 (1992)
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6.08. Reading: Mississippi Ethics Opinion 261
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6.09. Reading: In Re Fengling Liu, 664 F.3d 367 (2nd Cir. 2011)
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6.01. Introduction
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7. Decision to Undertake, Decline, and Withdraw from Representation; The Prospective Client15 Topics
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7.01. Introduction
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7.02. Duties Owed to A Prospective Client: Restatement (Third) of Law Governing Lawyers § 15(1)
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7.03. Ethical Obligations to Prospective Client [Rule 1.18]
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7.04. Participation in Pro Bono Legal Services [Rule 6.5]
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7.05. Accepting Representation
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7.06. Formation of an Attorney-Client Relationship
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7.06.01. Mutual Assent to Representation [Restatement § 14(1) (a)]
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7.06.02. Implied Attorney Client Relationship [Restatement § 14(1) (b)]
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7.07. Non-Engagement and Termination of Representation Letters
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7.08. Withdrawal From Representation [Rule 1.16]
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7.08.01. Mandatory Withdrawal
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7.08.02. Permissive Withdrawal
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7.09. Duty to Protect Client’s Interests Upon Termination [Rule 1.16(d)]
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7.10. Reading: TCV VI, L.P. V. Tradinscreen Inc., 2018 WL 1907212 (2018)
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7.11. Reading: Togstad v. Vesley, Otto, Miller & Keefe, 291 N.W.2d 686 (Minn. 1980)
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7.01. Introduction
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8. Division of Decisional Authority Between Lawyer and Client7 Topics
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8.01. Introduction
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8.02. “Objectives” v. “means” [Rule 1.2(a)]
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8.03. Areas of Absolute Client Autonomy
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8.04. The Diminished Client [Rule 1.14]
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8.05. Reading: Linsk v. Linsk, 70 Cal. Rptr. 544 (Cal. 1969)
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8.06. Reading: Borena v. Yellow Cab Metro, Inc., 342 S.W.3d 506 (TN COA, 2010)
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8.07. Reading: Ethics Committee Advisory Opinion No. 2014/15/5
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8.01. Introduction
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9. Competence, Diligence, and Communication8 Topics
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9.01. Introduction
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9.02. Competence [Rule 1.1]
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9.02.01. Duty to Maintain Competence in Technology [Rule 1.1, Comment 8]
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9.03. Competence in the Criminal Context: Ineffective Assistance of Counsel
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9.04. Diligence [Rule 1.3]
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9.05. Communication [Rule 1.4]
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9.06. Reading: A Lawyer's View of Being a Litigant, Robert S. Caine, Letter, New York Law Journal (May 16, 1994), at 2
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9.07. Reading: Strickland v. Washington, 466 U.S. 668 (1980)
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9.01. Introduction
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10. Duty of Confidentiality: Attorney-Client Privilege and Work Product Doctrine18 Topics
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10.01. Introduction
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10.02. Attorney-Client Privilege
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10.02.01. Communication
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10.02.02. Made to a Privileged Person [Restatement § 70]
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10.02.02.01. Communication in the Organizational Context
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10.02.02.02. Communication Between Government Attorney and Public Official
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10.02.03. In Confidence [Restatement § 71]
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10.02.04. For the Purpose of Obtaining or Receiving Legal Assistance [Restatement § 72]
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10.03. Attorney-Client Privilege with Joint Clients [Restatement § 75]
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10.04. Attorney-Client Privilege and Common Interest Arrangement [Restatement § 76]
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10.05. Invoking the Attorney-Client Privilege
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10.06. Termination of the attorney-client privilege [Restatement §§ 78, 79, & 80]
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10.07. Exceptions to the Attorney-Client Privilege
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10.07.01. Crime-Fraud Exception [Restatement § 82]
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10.07.02. Dispute Concerning Deceased Client’s Disposition of Property
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10.08. Work Product Doctrine
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10.09. Reading: Purcell v. District Attorney for Suffolk District, 676 N.E.2d 436 (Mass. 1997)
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10.10. Reading: Upjohn Company v. United States, 449 U.S. 383 (1981)
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10.01. Introduction
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11. Duty of Confidentiality: Rule 1.6 and its exceptions22 Topics
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11.01. Introduction
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11.02. Defining the ethical obligation of confidentiality [Rule 1.6]
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11.03. Confidentiality and Technology
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11.03.01. Cybersecurity
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11.03.02. Social Media
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11.03.03. Metadata
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11.03.04. Cloud Computing
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11.03.05. Hard Drives/Copiers/Fax Machines
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11.04. Inadvertent Disclosure of Confidential Information
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11.05. Authorized Disclosures: Client Consent and Impliedly Authorized Disclosure
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11.06. Exceptions to the Duty of Confidentiality [Rule 1.6(b)]
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11.06.01. Prevent Reasonably Certain Death or Substantial Bodily Harm
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11.06.02. Prevent Client from Committing a Crime/Fraud That is Reasonably Certain to Result in Substantial Injury to the Financial Interests or Property of Another
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11.06.03. Prevent, Mitigate, or Rectify Substantial Injury to the Financial Interests or Property of Another that is Reasonably Certain to Result or has Resulted from the Client’s Commission of a Crime or Fraud
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11.06.04. To Secure Legal Advice About the Lawyer’s Compliance with Ethical Rules
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11.06.05. To Establish a Claim or Defense on Behalf of the Lawyer
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11.06.06. To Comply with Other Law or a Court Order
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11.06.07. To Detect and Resolve Conflicts of Interest Arising from the Lawyer’s Change of Employment
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11.07. Duration of the obligation of confidentiality
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11.08. Reading: In Re Skinner, 758 S.E.2d 788 (GA 2014)
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11.09. Reading: North Dakota Ethics Op. No. 95-11 (1995)
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11.10. Reading: McClure v. Thompson, 323 F.3d 1233 (9th Cir. 2003)
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11.01. Introduction
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12. Advising Clients – Both Individual and Corporate12 Topics
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12.01. Introduction
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12.02. Prohibition on Advising a Client on How to Engage in Criminal or Fraudulent Conduct [Rule 1.2(d)]
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12.03. Lawyer as an Advisor [Rule 2.1]
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12.04. Lawyer as an Evaluator [Rule 2.3]
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12.05. Limitation on Advice: Obligation to Respect the Rights of Third Persons [Rule 4.4(a)]
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12.06. The Client in the Organizational Context [Rule 1.13]
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12.07. Misconduct by an Organizational Constituents -- Reporting Up and Out
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12.08. Reading: Advising A Civil Litigation Client About Social Media, Opinion 2014-5, July 17, 2015
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12.09. Reading: People v. Chappell, 927 P.2d 829 (CO. 1996)
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12.10. Reading: State Bar of Arizona Ethics Opinion 11-01, Scope of Representation (February 2011)
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12.11. Reading: In Re Neary, 84 N.E.3d 1194 (IN. 2017)
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12.12. Reading: Perez v. Kirk & Carrigan, 822 S.W.2d 261 (TX. COA 1991)
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12.01. Introduction
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13. Conflict of Interest: Concurrent Client Conflict19 Topics
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13.01. Introduction
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13.02. “Directly Adverse” Conflicts [Rule 1.7(a)]
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13.03. “Materially Limiting” Conflicts [Rule 1.7(b)]
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13.04. When Client Can Consent to Conflict
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13.04.01. Client Right to Revoke Consent
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13.05. Multiple Client Representation: Criminal Defendants
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13.06. Multiple Client Representation: Confidential Information
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13.07. Identifying a Current Versus Former Client
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13.08. Identifying the Client in the Organizational Context
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13.09. Identifying the Client in the Governmental Context
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13.10. “Hot Potato” Rule
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13.11. Advance Waiver of Future Conflicts
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13.12. Positional Conflicts
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13.13. Representing economic competitors
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13.14. Conflict When Lawyer Serves on Legal Services Organization [Rule 6.3] or as a Member of a Law Reform Organization [Rule 6.4]
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13.15. Reading: Grievance Committee of the Bar of Hartford County v. Rottner Supreme Court of Errors of Connecticut, 1964 203 A.2d 821
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13.16. Reading: Philadelphia Bar Association Professional Guidance Committee Opinion 2009-7 (July 2009)
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13.17. Reading: Florida Ethics Opinion 02-3 (JUNE 21, 2002)
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13.18. Reading: Banning Ranch Conservancy v. Superior Court, 193 Cal.App.4th 903 (2011)
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13.01. Introduction
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14. Conflict of Interest: Conflicts Between A Client and the Lawyer’s Personal Interest9 Topics
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14.01. Introduction
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14.02. Business Transactions With A Client [Rule 1.8(a)]
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14.03. Using Client Confidential Information [Rule 1.8(b)]
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14.04. Gifts From Clients [Rule 1.8(c)]
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14.05. Publication Rights [Rule 1.8(d)]
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14.06. Sexual Relations Between Lawyer and Client [Rule 1.8(j)]
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14.07. Reading: In Re Fisher, 202 P.3d 1186 (Colo. 2009)
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14.08. Reading: Passante v. McWilliams, 62 Cal. Rptr. 2d 298 (4th Cir. 1997)
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14.09. Reading: In Re Devaneey, 870 A.2d 53 (D.C. CoA 2005)
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14.01. Introduction
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15. Conflict of Interest: Former Clients13 Topics
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15.01. Introduction
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15.02. Identifying a Current and Former Client
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15.03. Explaining the Difference Between Current and Former Client Conflicts
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15.04. “Same” Matters [Rule 1.9(a)]
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15.05. “Substantially related” matters [Rule 1.9(a)]
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15.06. Issues with lawyers changing firms [Rule 1.9(b); 1.10(a)(2); and 1.10(b)]
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15.06.01. Lawyer going adverse to client of former firm [Rule 1.9(b)]
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15.06.02. Removing conflict from lawyers changing firms: the screen [Rule 1.10(a)]
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15.06.03. When lawyer leaves firm: the conflicts the lawyer leaves behind: 1.10(b)
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15.07. Using or Revealing Former Client Confidences [Rule 1.9(c)]
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15.08. Non-Lawyers Changing Firms: Secretaries/Paralegals/Law Students
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15.09. Reading: Bowers v. The Opthalmology Group, 733 F.3d 647 (6th Cir. 2013)
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15.10. Reading: Watkins v. Trans Union, LLC, 869 F.3d 514 (7th Cir. 2017)
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15.01. Introduction
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16. Communication Between Lawyers and Represented/ Unrepresented Persons7 Topics
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16.01. Introduction
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16.02. Contact with Represented Persons: “No Contact Rule” [Rule 4.2]
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16.03.01. Client-to-Client Contact
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16.03.02. Identifying who is “Represented” in the Organizational Context
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16.04. Contacting Unrepresented Persons [Rule 4.3]
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16.05. Reading: In Re Malofiy, 653 Fed. Appx. 148 (3d Cir. 2016)
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16.06. Reading: Wisconsin Professional Committee Ethics Opinion E-07-01 (July 1, 2007)
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16.01. Introduction
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17. Billing for Legal Services: Fees, Handling Client Property (Settlement Proceeds and Physical Evidence)19 Topics
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17.01. Introduction
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17.02. “Reasonableness” Standard [Rule 1.5]
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17.03. Prohibition on Sharing Fees with Non-Lawyers [Rule 5.4]
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17.04. Billing for Expenses
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17.05. Contingency Fee Agreements
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17.05.01. General Requirements
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17.05.02. Cases in which contingent fee are inappropriate
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17.06. Hourly Fee Agreements
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17.07. Nonrefundable Fees & Retainers
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17.08. Changing a Fee During the Course of Representation
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17.09. Safekeeping Client Property [Rule 1.15]
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17.10. Collecting a Fee
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17.10.01. Retaining Lien
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17.10.02. Charging Lien
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17.11. Sharing Attorney Fees with a Lawyer Outside the Firm [Rule 1.5(e)]
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17.12. Reading: In Re Fordham, 668 N.E.2d 816 (Mass. 1996)
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17.13. Reading: Mississippi Bar v. Coleman, 849 So. 2d 867 (Miss. 2002)
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17.14. Reading: Brady v. Starke, 2017 WL 487012 (Mo. Ct. App. 2017)
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17.15. Reading: Matter of Taylor, 807 S.E.2d 699 (S.C. 2017)
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17.01. Introduction
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18. The Decision to File/Prosecute a Claim; Litigation & Negotiation Tactics14 Topics
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18.01. Introduction
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18.02. Duty to file Non-Frivolous Claims/Defenses [Rule 3.1]
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18.03. Frivolousness in the Criminal Context
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18.04. Duty to Expedite Litigation [Rule 3.2]
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18.05. ADR—Lawyers as Mediators/Arbitrators [Rule 2.4]
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18.06. Lawyer as Third Party Neutral: In Future Litigation [Rule 1.12]
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18.07. Lawyer as Witness [Rule 3.7]
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18.08. Litigation Tactics [Rule 3.4(e)]
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18.09. Actions that Compromise the Impartiality of Tribunal [Rule 3.5]
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18.10. Dealing with Inadvertently Disclosed Information [Rule 4.4(b)]
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18.11. Dealing with Intentionally Disclosed Information
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18.12. Dealing with third-parties; Candor in Negotiations [Rule 4.1]
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18.13. Ethics of Settlement Agreements
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18.14. Reading: Gilster v. Primebank, 747 F.3d 1007 (8th Cir. CoA 2014)
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18.01. Introduction
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19. Lawyer’s Duties to the Tribunal10 Topics
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19.01. Introduction
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19.02. Duty to Disclose Adverse Facts [Rule 3.3(a)]
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19.03. Duty to Disclose Adverse Law [Rule 3.3(a)]
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19.04. Duty When Client or Witness Intends to Commit/has Committed Perjury [Rule 3.3(a) (3) & (c)]
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19.05. Duty in Ex Parte Proceedings [Rule 3.3(d)]
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19.06. Duty in Discovery [Rule 3.3(d)]
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19.07. Duty in Nonadjudicative Proceeding [Rule 3.9]
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19.08. False Statements Regarding Judges/Judicial Candidates [Rule 8.2]
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19.09. Reading: In The Matter of Filosa, 976 F. Supp. 2d 460 (S.D. NY 2013)
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19.10. Reading: State v. McDowell, 669 N.W.2d 204, aff’d 681 N.W.2d 500 (Wis. CoA 2003)
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19.01. Introduction
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20. Duties of a Prosecutor; Limits on Trial Publicity12 Topics
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20.01. Introduction
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20.02. Limits on charging behavior [Rule 3.8(a)]
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20.03. Obligation to Mirandize/give opportunity to procure counsel [Rule 3.8(b)]
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20.04. Duty not to seek waiver of important rights from unrepresented accused [Rule 3.8(c)]
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20.05. Duty to disclose exculpatory information [Rule 3.8(d)]
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20.06. Limitation on subpoenas to defense counsel [Rule 3.8(e)]
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20.07. Limitations on extrajudicial statements
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20.07.01. Constitutional concerns
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20.07.02. Limits on prosecutors [Rule 3.8(f)]
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20.07.03. General limitations [Rule 3.6]
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20.08. Obligations when prosecutor learns of innocence of convicted defendant [Rule 3.8(g) & (h)]
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20.09. Reading: Attorney Grievance Commission of Maryland v. Gansler, 835 A.2d 548 (Md. 2003)
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20.01. Introduction
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21. Solicitation & Marketing: Constitutional & Ethical Issues18 Topics
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21.01. Introduction
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21.02. Constitutional Aspects of Advertising
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21.03. In-Person Solicitation [Rule 7.3]
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21.04. Direct Mail Solicitation [Rule 7.3]
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21.05. “Forced Speech”: Requiring Disclaimers
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21.06. False & Deceptive Prohibition [Rule 7.1]
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21.07. Use of Trade Names
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21.08. Regulation of Internet Activity
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21.09. Testimonials
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21.10. Advertisements: General Requirements [Rule 7.2]
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21.11. Prohibition on giving anything of value for recommending services [Rule 7.2(b)]
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21.12. Reciprocal Referral Agreements [Rule 7.2(b)(4)]
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21.12. The Challenge of New forms of Marketing/Advertising
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21.13.01. “Deal of the Day” or Groupon
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21.13.02. LinkedIn Profiles
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21.14. Social Media Issues
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21.15. Reading: Bates v. State Bar of Arizona, 433 U.S. 350 (1977)
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21.16. Reading: Ohralik v. Ohio State Bar Ass'n, 436 U.S. 447 (1978)
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21.01. Introduction
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22. Law Firm Administration Issues8 Topics
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22.01. Introduction
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22.02. Supervisory Responsibilities of Partners [Rule 5.1]
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22.03. Responsibilities of Subordinate Lawyers [Rule 5.2]
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22.04. Responsibilities Regarding Nonlawyer Assistants [Rule 5.3]
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22.05. Sale of a Law Practice [Rule 1.17]
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22.06. Ensuring Professional Independence of Lawyers [Rule 5.4]
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22.07. Responsibilities Regarding Law-Related Services [Rule 5.7]
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22.08. Reading: Mississippi Ethics Opinion No. 258 (December 01, 2011)
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22.01. Introduction
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23. Judicial Ethics35 Topics
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23.01. Introduction
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23.02. Maintain the independence, integrity and impartiality of the judiciary in all situations
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23.03. Perform the duties of the judicial office impartially
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23.04. Avoid bias, prejudice and harassment in performing judicial duties
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23.05. Avoid improper external influences on judicial conduct
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23.06. Perform judicial functions competently and diligently
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23.07. Ensure that all parties have a right to be heard
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23.08. Maintain decorum and proper demeanor; communication with jurors
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23.09. Political activities of sitting judges
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23.10. Political Activities of Judicial Candidates for Elective Office
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23.11. Political Activity of Judges for Appointive Office
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23.12. Role of campaign committees in judicial campaign
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23.13. Judges who become candidates for non-judicial office
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23.14. Ex parte communications
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23.15. Disqualification
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23.15.01. General standard of disqualification (“impartiality might reasonably be questioned”)
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23.15.02. Situations where judge must disqualify
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23.16. Remittal of disqualification
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23.17. The “rule of necessity”
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23.18. Restrictions on “extrajudicial activities”
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23.18.01. General restrictions on extrajudicial activities
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23.18.02. Appearances before governmental bodies and consultation with government officials
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23.18.03. Testifying as a character witness
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23.18.04. Appointment to a governmental positions
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23.18.05. Use of non-public information
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23.18.06. Involvement with discriminatory organizations
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23.18.07. Participation in educational, religious, charitable, fraternal, or civic organizations and activities
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23.18.08. Appointments to fiduciary positions
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23.18.09. Service as an arbitrator or mediator
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23.18.10. Practice of law
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23.18.11. Financial, business and remunerative activities
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23.18.12. Compensation for extrajudicial activities
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23.18.13. Judge accepting gifts, loans, bequests, benefits, or other things of value
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23.18.14. Reimbursement of expenses and waivers of fee or charges
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23.19. Reading: Republican Party v. White, 122 S.Ct. 32528 (2002)
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23.01. Introduction
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Course Wrap-UpWhat Did We Learn?
1.03.02. Informal well-being resources
There has been an increased emphasis on law student, lawyer, and judge well-being. In 2016 the ABA formed the National Task Force on Lawyer Well-Being. The focus of the task force’s report – which came out in August, 2017 – was how to improve the well-being of those in the legal profession. It provides some really interesting concrete steps that you can take to help maintain a good work/life balance.
One thing that has really impressed me in learning about these well-being studies is how much stress and other attributes of a busy law student/lawyer impact the physical make-up of the body. The problem is that these negative responses are largely automatic responses to the stress and require a conscious effort to counter (and reverse). The problem is that some of the things that law students/lawyers (and law professors) feel like are “must-dos” are actually harmful not only to our physical well-being but also to our productivity. One scholar put it this way: “stresses facing law students and lawyers result in a significant decline in their well-being, including anxiety, panic attacks, depression, substance abuse, and suicide.”[1] Part of the problem is that stress that you suffer in law school and law practice is chronic stress – that is long-lasting stress. Your body is built to handle acute (short term) stress – by releasing hormones into the body to handle the stressful situation (run from the bear!) – and then to go back to a resting state. It is not meant to handle stress that lasts for hours or days, and the result can be long-term problems, including loss of brain cells. Chronic stress is an likely to remain an inherent part of the law school and the law firm culture (if you find a firm that has no stress and actually makes money – do not leave). The key is to learn how to anticipate and handle stress so that you can minimize the negative side-effects as much as possible – what one author calls “neural self-hacking.”[2]
There are three neural self-hacks that you need to be aware of. These are not going to surprise you. However, what may not realize is how much adopting these “hacks” can actually change your body makeup and make you more productive as well as healthier.
- Exercise. Exercise can restore cognitive function. The recommendation is at least thirty minutes of aerobic exercise two or three times per week, plus some strength training. Here is a list of a few of the things that exercise does: (1) enhances oxygen and blood flow; (2) stimulates the production of brain cell building blocks; (3) improves blood flow deeper into body tissue; and (4) it increases beneficial neurotransmitters (serotonin, norepinephrine, and dopamine) among others.[3]
- Sleep. The recommendation is for 8 hours of sleep a night. Adequate sleep is crucial for learning and remembering material. This is because memory consolidation occurs during sleep. It is amazing, but research shows that communication between neurons in the brain is equal to or higher than when the brain is awake. Lack of sleep causes you to have the cognitive ability of a much older person. In one study, thirty-year olds were only allowed four hours of sleep for six nights and their internal structures were reduced to the function of a sixty year old. It is important to be aware of when you do your best work and plan your sleep around that. About 10% of folks are early birds who do their best work early in day and want to go to bed early. About 20% are night owls – who do their best work at night and want to go to bed late in the evening (or early in the morning). Most folks – 70% — are somewhere between these two extremes. It is important to be aware when you are most productive and try to make sure you get sufficient sleep outside of those hours. Also – naps can be very beneficial. In one study a twenty-six minute nap improved the cognition function of NASA pilots for at least six hours.[4]
- Contemplative practices. This would include things like mindfulness, meditation, yoga, and relaxation. Once again, these practices increase cognition and brain function and allow you to handle distractions and improve decision making. The key is to gain control over your thoughts and emotions. The action of contemplation actually trains the brain to operate in a controlled manner and to reduce anxiety/stress. The key here is relaxation and focus. There are classes you can take, there are apps that you can download (just Google “mindfulness” or “meditation” apps), or you can read about the practice.[5] A free online introduction to guided meditation from UCLA health is here: http://marc.ucla.edu/mindful-meditations. This website was recommended by a former student that works with military personnel dealing with stress/PTSD.
- Eating well. You know that you are what you eat. It is important to be aware of what you are eating and its impact on your body (including your cognitive health). Here are five things that you can do to get started to healthy eating: (1) eat breakfast; (2) eat smaller meals and snacks; (3) eat a salad every day; (4) drink coffee tea and water; and (5) snack on about ¼ cup of a variety of nuts. This is meant to be a way to start simple and make small steps to change your diet. There is a very interesting article in the Oregon Law Review that discusses the science behind the need for a healthy diet and also lists a number of “super foods” that can help keep you healthy.[6]
You might be wondering what all of this well-being stuff has to do with ethics. The reality is that anything that impacts a lawyer’s ability to represent their client implicates professional responsibility. The very first Rule in the Rules of Professional Conduct says that a lawyer has an ethical obligation to be competent. If a lawyer’s emotional or physical well-being impacts the ability of the lawyer to competently and diligently represent a client, then this class is implicated. One study found that between 40 and 70 percent of disciplinary proceedings/malpractice claims involve substance abuse and/or depression.[7] Therefore, these issues of lawyer well-being relate directly to the issues that we will address in this class.
[1] D.S. Austin, Killing Them Softly: Neuroscience Reveals how Brain Cells Die from Law School Stress and How Neural Self-Hacking Can Optimize Cognitive Performance, 59 Loy. L. Rev. 791, 796-97 (2013).
[2] D.S. Austin, Killing Them Softly: Neuroscience Reveals how Brain Cells Die from Law School Stress and How Neural Self-Hacking Can Optimize Cognitive Performance 59 Loy. L. Rev. 791, 798 (2013).
[3] D.S. Austin, Killing Them Softly: Neuroscience Reveals how Brain Cells Die from Law School Stress and How Neural Self-Hacking Can Optimize Cognitive Performance 59 Loy. L. Rev. 791, 828-834 (2013).
[4] D.S. Austin, Killing Them Softly: Neuroscience Reveals how Brain Cells Die from Law School Stress and How Neural Self-Hacking Can Optimize Cognitive Performance 59 Loy. L. Rev. 791, 834-37 (2013).
[5] One article directed specifically at law students is Teresa K. Brostoff, Meditation for Law Students: Mindfulness Practice as Experiential Learning, 41 Law & Psy. Rev. 159 (2017). If you want a few apps for mindfulness, take a look at this article: https://abcnews.go.com/GMA/Wellness/apps-support-mental-health-mindfulness/story?id=55890971.
[6] Debra Austin, Food for Thought: The Neuroscience of Nutrition to Fuel Cognitive Performance, 95 Or. L. Rev. 425 (2017)(the super food list begins on page 507).
[7] Marjorie A. Silver, “Substance Abuse, Stress, Mental Health and the Legal Profession,” published by the New York State Lawyer Assistance Trust (2004)(quoting Douglas B. Marlowe, “Alcoholism: Symptoms, Causes & Treatments” in Stress Management for Lawyers (1997)).