1/25/2010
Letter from the Publisher
Dear Colleagues:
As we enter the new year, hope compels us to act; and to dream a better future. In the spirit of seeking new frontiers, the ABA has selected a number of helpful books that will show you how to make a real difference in your work and in your personal life.
1. Finding meaning in the practice of law. Join the ranks of the enlightened with the new tenth anniversary edition of Transforming Practices, Steven Keeva's seminal inquiry into finding meaning in the practice of law. Keeva's book has taught thousands of lawyers how to practice more compassionately, how to discover joy in their legal work, and how to heal both themselves and their communities. Transforming Practices is now available in a special commemorative edition, published in a handsome hardcover format appropriate to the timeless advice within.
2. Achieving a better understanding of professional ethics. The impact of the ABA Canons of Ethics, adopted in 1908, continues to be felt by lawyers, whether in their interactions with clients, other advocates, the courts, and society at large. A Century of Legal Ethics ( read excerpt) provides an illuminating look at how ethical standards have shaped and continue to challenge the profession. With an introduction by Supreme Court Justice Samuel Alito, the book offers perspectives on ethics from judges, law professors and practitioners. It also includes the complete texts of the 1908 Canons of Ethics and the 2008 ABA Model Rules of Professional Conduct.
3. Going green in the office. Putting your good intentions into practice may not be as hard as you think. Green Buildings and Sustainable Development devotes a chapter to building a sustainable law practice, showing you not only what environmentally sound practices to adopt but how to anticipate and overcome resistance along the way. Going green can be rewarding economically as well as philosophically.
4. Updating and streamlining your firm's technology. If you're in a small firm, finding straightforward, unbiased information about computers, servers, networking equipment, legal software, printers, security products, and smart phones can be a daunting task. Make sense of it all with the 2010 Solo and Small Firm Legal Tech Guide. You'll find a thorough overview of current legal technology products, step-by-step instructions for making sound technology decisions, invaluable advice on choosing the right operating system and software for your office, guidance on determining what you need to go wireless, and tips for how to guard against security threats such as viruses, spyware, and spam.
5. Planning for your children's education. The gyrations of the stock market over the past couple of years may have taken their toll on your children's education fund, but the costs of a four-year degree continue to rise unabated. Rather than declare the situation hopeless, seize the opportunity to make the most of what you have with Education Planning. The book demystifies the complex vehicles used to save for college and the aid available when the savings prove inadequate. Education Planning discusses the popular section 529 plans at length, then provides guidance on all the other options available to save for college.
6. Taking the road less traveled. With law firms continuing to shrink, now is a good time not only to ponder the myriad of career possibilities but to consider the example of those who have come before. In volume 2 of Turning Points: New Paths and Second Careers for Lawyers, learn how 22 attorneys left private practice to pursue new opportunities in unlikely places, from the Broadway stage to the baseball dugout. As these hardy souls demonstrate, with a law degree, a little perseverance, and a lot of imagination, anything is possible.
7. Deciding whether and when to retire. As baby boomers contemplate retirement, they're finding that preparing for such a life-changing event entails a host of decisions. The Lawyer's Retirement Planning Guide details the questions that people ages 45 to 64 need to ask before embarking on retirement. It then shows how to prepare financially for retirement by combating inflation, planning for expenses, and protecting against overall portfolio risks, and it offers tips on managing cash flow during retirement so that the nest egg can last a lifetime. The book also provides an education on related topics such as Medicare, long-term care, and retirement living.
8. Relaxing with a guilty pleasure. Take a break from the self-improvement crusade to sit back and enjoy a good read. Lawyers in Your Living Room! Law on Television ( read excerpt) offers treatments of all the dramatic series past and present that involve law and lawyers, from Perry Mason and The Defenders in the 1960s to L.A. Law in the 1980s, The Practice and Ally McBeal in the 1990s, and Boston Legal, Shark, and Law & Order progeny today. As Sam Waterston ( Law & Order) and James Woods ( Shark) attest in their forewords, the way "real life" lawyers are played on TV shapes the way lawyers are perceived by the general public. Also included are chapters on daytime television judge shows, including Judge Judy, and nonlegal shows with important lawyer characters such as The Simpsons, Seinfeld, and West Wing.
Sincerely,

Bryan Kay Publisher ABA Publishing 1/22/2010
By Joseph M. Potenza, Christopher J. Renk, Thomas K. Pratt, and Erik S. Maurer
Unique to patent cases is the role of the district court in construing the meaning of a patent's claims and, thus, determining what the patent covers or doesn't cover. This Markman process, named after the decision in Markman v. Westview Instruments, Inc., is often case dispositive, yet the litigants' involvement in claim construction varies from court to court and even from judge to judge within a district.
Courts with special local patent rules often require the parties to exchange detailed claim construction positions and agree to the meaning of as many claim terms as possible before anything is submitted to the court. Generally, courts require written briefs setting forth proposed claim constructions along with the evidence supporting each proposed claim construction. In some courts the patent owner submits the first brief and the alleged infringer responds, while in other courts the alleged infringer submits the first brief and the patent owner replies. In yet other courts the litigants simultaneously exchange opening and response briefs. Some courts request introductory technology summaries, and some will appoint experts to aid the court in understanding very complex technologies.
Many judges conduct Markman hearings during which evidence is presented and witnesses testify. Some judges simply request an oral argument during which counsel address arguments from the briefs. Because judges use these proceedings to learn about the patented technology, about the state of the art at the time of the invention, and about the evidence relevant to the patent claims, counsel should approach the entire Markman process as a potentially case dispositive mini-trial.
Counsel should discuss claim construction logistics during initial case management conferences and seek guidance from the court regarding the protocols that will be applied. Knowing when and how the court will construe the claims informs counsel's strategy, phasing of fact, and expert discovery, and can help the parties anticipate opportunities for seeking summary judgment or settlement. Following are general considerations relevant to Markman claim construction briefs and arguments.
Markman Claim Construction Briefs
- Critically Analyze and Apply the Law. Claim construction case law can be extremely nuanced, and familiar canons of claim construction may be applied in disparate ways depending on the facts at hand. Careful and thorough legal research is essential.
- Focus on the Intrinsic Record First. Claims are to be construed with preferential reliance on intrinsic evidence, namely, the words and figures used in the patent and the record reflecting the patent's application and process to issuance (the "prosecution history"). The court may consider extrinsic evidence, but it is not the starting point.
- Simplify. Establish consistent nomenclature, color codes, references, and other tools to help the court understand the patent and your proposed claim constructions. Ensure that your briefs are well organized and understandable.
- Make It Visual. Magnify, color, and annotate the patent's figures, and include the annotated illustrations directly in the text of your brief. Compare and contrast statements from the intrinsic and/or extrinsic record using side-by-side illustrations in the brief. Consider working with a professional graphic design firm to create visual aids for the brief and hyperlinked, searchable evidence and animations that can be submitted to the court on DVD.
Markman Claim Construction Arguments
- Anticipate the Court's Questions. Prepare to answer questions from the court, the judge's clerk, and any court-appointed expert. Outline your presentation in a logical flow, but remain flexible to address the court's questions immediately and succinctly. When directing the court's attention to aspects of the briefs or evidence in the record that supports your argument, do so with specificity, just like at trial.
- Beware of Admissions. Judges use claim construction hearings and arguments to test alternative claim constructions and to gauge the strength of the proposed claim constructions. Avoid making statements that modify your proposed constructions or agreeing with court-proposed alternative constructions, unless you have previously, thoroughly considered the impact of such admissions and know how they affect the infringement and invalidity positions of the parties.
- Roadmap and Transition. Claim construction issues can be factually and legally complex. Let the court know what your argument is about, where you are at in that argument, and where you are going. When switching topics to answer the court's questions, advise the court how various arguments fit together and alert the court that you are switching topics.
- Make It Visual. Build on the visuals submitted with your brief and create additional visuals to address those used by your opponent. Prepare to use exhibits, graphics, and animations throughout your argument by using a combination of prepared demonstratives (e.g., presentation slides, animations) as well as illustrative aids that you can manipulate or build during the argument (e.g., paper exhibits, physical products, models).
Successful Markman claim construction proceedings are founded on thorough preparation and organization. The more clearly and simply you can articulate a proposed construction that is consistent with the evidentiary record and supported by controlling law, the more likely it is that the court will construe the claims the way you propose.
Excerpted From:
By Eric T. Freyfogle
Disputes over land and discrete resources are typically resolved by defining private rights by law and then letting owners use and negotiate as they see fit. When conflicts develop, we either open the courtroom doors to litigation or create a regulatory body to avert conflicts. Legislatures occasionally also get involved, sometimes by tinkering with existing laws, and sometimes by setting up new agencies or making extensive alterations. What problems do we have with these various bodies of resources law? And are there patterns to the problems that might point the way to solutions?
Lawmakers are in a real bind when it comes to prescribing the elements of resource rights. When resource rights are defined clearly, they become inflexible, inhibit planning and coordinated action, and otherwise suffer from various problems—mostly because they either fail to require resource owners to act sensibly or actually inhibit owners from doing so. At least in some settings (prior appropriation water law, for instance) clear entitlements make market transfers harder, not easier. On the other hand, vaguely defined rights have defects of their own. Private actors do not know where they stand. Conflicts are more numerous even if litigation is rare. Institutional roles are unclear.
Without regard for how precisely or vaguely we define resource rights, private litigation in court is simply not a sound way to resolve disputes. And it is virtually useless as a setting to coordinate land- and resource-use activities on larger spatial scales. Imagine the challenge of coordinating land and resource uses so as to restore more natural water flows in a river or to turn a river corridor into a better passageway for wildlife. A judicial forum offers little promise.
Nature's own dynamism, changing patterns of settlement and resource use, and various other factors have together led many observers to call for land management at the ecosystem or landscape scale; that is, at a scale typically well above the individual land parcel. At the moment, only government agencies can undertake this kind of work. And in doing so they are greatly hampered by private property rights. Planning agencies are openly resisted, culturally and politically, in large parts of the country. Even more ambitious than ecosystem planning is the related call for adaptive land management, in which managers and users keep tabs on changing conditions and modify land-use patterns accordingly. At the moment, we lack good ways to engage in such management except on individually owned parcels with single owners in charge.
Particularly as we place higher value on "ecosystem services," we find ourselves routinely wanting to promote multiple resource uses on pretty much all tracts of land, private and public. Many particular resource activities do not involve people entering onto private land. They deal instead with wildlife populations, water drainage, and fire regimes; that is, with natural processes that we ought to respect more than we have. (Who knows, though, we might be closer than we realize to a day when, like Britain, we open up rural lands to qualified public wandering rights—thereby partially returning to the days of antebellum America, when private rural lands were open to public uses.) In any event, there are multiple reasons to coordinate private activities on large spatial scales, taking account of multiple resource activities. Again, we lack good ways to do that today.
All of these considerations, it turns out, point in a single direction. Plain and simple, we need better ways of coming together at the landscape scale to make resource-related decisions. We need better ways to discuss and decide how we might tinker with our land and resource uses so as to accomplish a long, shifting list of resource-related goals. We cannot restore sound wildlife populations or contain exotics except by coordinated action. We cannot restore natural water flows, create recreational trails, or make room for occasional fires without similar coordinated action. With such coordination we can undertake wide-ranging grazing practices. We could develop ways to control polluted water runoff without forcing farmers to give up all chemical usage. And we could concentrate residential and other intensive development so as to reduce infrastructure costs and enhance landscape aesthetics.
The chief need in natural resources law is to develop new mechanisms to undertake such collective discussion, planning, and implementation. In designing these governance structures, we have many options—more than we might realize. We need not use as models simply government bodies that we already know. When appropriate, we can craft regimes that are firmly linked to the knowledge, ideas, and values of users. Regimes could, for example, resemble a typical homeowners association as much as they do any civic government. They could be no larger than a half-dozen ranchers who have pooled their lands for common management, to enhance economic returns and foster ecological health. The options are many. Experimentation should be the order of the day.
In all likelihood, the governance regimes that work best will be ones that blur functional lines and work in ways that seem to defy easy categorization. By providing a forum for resolving disputes relating to resource uses, they will clarify for a time the options of various users and thus participate in the law-making process. They will certainly engage in something that resembles regulation, but it might well be regulation developed by the users rather than imposed by outsiders. As they go about their work, the governing bodies will likely play a role in resource reallocation over time—not as a full substitute for market transactions, but by helping readjust resource uses to make reallocation more feasible. Looking on these new arrangements from a distance, it might well prove difficult one day to distinguish between a person's property rights as individual owner and the power the person exercises as a member of the governing group. Certainly a successful governance regime will be one in which participants understand the ways they and their private holdings are interconnected with all that surrounds them. Good land use and good living cannot take place in isolation.
In a crowded world that presses against the land's carrying capacity, we simply must find ways to coordinate our uses of nature better than we do—flexible, adaptive ways that engage the knowledge and desires of users while working to sustain larger wholes. The day is gone when we can simply define private rights, allocate them to individual owners, and then let them live as they see fit. A much different model is needed, one in which private rights are embedded into governance regimes whose flexible work transcends old functional categories. It is work very much worthy of our top legal minds.
Excerpted From: The Evolution of Natural Resources Law and Policy
1/21/2010By Michele C. S. Lange and Kristin M. Nimsger
The price tag connected to an electronic discovery project can be significant, depending on the circumstances of the case. Not surprisingly, some of the most intense arguments ensue over which party should bear the costs associated with e-discovery. All courts have the authority to require a party requesting discovery to pay the costs that will be incurred by the responding party; it is in the court’s discretion whether to exercise this authority, and under what circumstances.
The Traditional Rule
The traditional rule is that each side bears its own costs during the discovery process. Courts that follow the traditional rule have been largely unsympathetic to arguments that a producing party should not have to bear the costs associated with production when the fact that responsive material is deleted, archived, or otherwise burdensome to produce is due to actions or inactions taken by the producing party. As a general rule, if a party chooses to maintain records in a relatively inaccessible format, that party must bear the financial consequences of producing any potentially relevant data contained therein. A myriad of cases have determined that cost-shifting is inappropriate in e-discovery cases when the cost is due to an inadequate record-keeping scheme.
The Cost-Shifting Approach
Although the Federal Rules of Civil Procedure do not explicitly reference the concept of cost-shifting, courts may require a party requesting discovery to pay some of the costs that will be incurred by the responding party. (It is important to note that some states have taken affirmative steps to address the issue of cost allocation, and you should research the laws of the jurisdiction you are in before beginning a discovery matter that may involve cost-shifting.)
Courts using a cost-shifting method aim to fairly and economically allocate electronic discovery costs between the parties. The foundational rationale for the cost-shifting approach was first set forth by the Supreme Court of the United States in Oppenheimer Fund Inc. v. Sanders: "We do not think a defendant should be penalized for not maintaining his records in the form most convenient to some potential future litigants whose identity and perceived needs could not have been anticipated." In this case, the Court focused on the fact that the expense of creating computer programs that would locate the desired data was the same for both parties, and ultimately ordered that the party seeking the information must bear the cost of production.
A second rationale has emerged for the cost-shifting approach, which focuses on the utility of the evidence and the effort/expense involved in obtaining it—a burden versus benefit analysis. For example, in Zonaras v. Gen. Motors Corp., the court held that because the admissibility of the electronic information in question was still undecided, the requesting party should pay half of the production costs incurred by the producing party. This proportionality test provides the court with the ability to shift costs when it deems the economic burden on the producing party to be too great relative to the potential probative value derived from it.
The Balancing Test Approach
The more nuanced cost-shifting approach that recent decisions have set forth is a balancing test that mandates consideration of several factors when determining the appropriate cost allocation of electronic data. The factors that attorneys need to know come out of an eight-factor test set forth in Rowe Entertainment, Inc. v. The William Morris Agency and a seven-factor test modifying Rowe set forth in two Zubulake v. UBS Warburg decisions.
Seeing an opportunity to redress perceptions of imbalance in the decisions that followed Rowe, Judge Scheindlin issued an opinion modifying the Rowe test to form the following seven-factor test:
- The extent to which the request is specifically tailored to discover relevant information;
- The availability of such information from other sources;
- The total cost of production compared to the amount in controversy;
- The total cost of production compared to the resources available to each party;
- The relative ability of each party to control costs and its incentive to do so;
- The importance of the issue at stake in the litigation; and
- The relative benefits to the parties of obtaining the information.
Judge Scheindlin furthermore stated that each of the seven factors should not be treated equally as the courts applying the Rowe test had generally been doing.
Non-party Production and Cost Shifting
Although the traditional rule that producing parties pay for the cost of discovery conventionally also applies to production from non-parties, attorneys need to be aware that courts are generally more lenient with non-parties than parties when it comes to cost-shifting. Federal Rule of Civil Procedure 45 was amended in 2006 to explicitly allow parties to request electronically stored information (ESI) from non-parties via a subpoena, as had been the common law practice. However, the Rules recognized the unique role of non-parties in litigation and included language meant to protect non-parties from undue burden and expense.
The most important thing for attorneys to take away from this section is the knowledge that non-parties are treated differently than parties to the litigation, and sanctions may be imposed unless parties take extra efforts to protect non-parties from undue burden or expense in responding to a discovery production request. Therefore, counsel should define the scope of ESI as narrowly as possible when requesting production from non-parties, or be prepared to pay the costs associated with that production.
Excerpted From:
By Dwight Golann
Clashes of tactics and style can be either innocent or intentional. A negotiator may fall into a problematic approach accidentally due to lack of experience or other causes, or may seek to place the other side at a disadvantage intentionally. To deal with clashes of style, consider these approaches.
- Explain, reframe, or accredit the behavior.
- Coach the offender.
- Help disputants agree on process rules.
- Act as a referee.
- Separate the disputants.
Excerpted From: Mediating Legal Disputes: Effective Strategies for Neutrals and Advocates
By Lynn L. Bergeson
Nanotechnology is one of the most intriguing industrial phenomena of the early twenty-first century. Consumer products derived from the application of engineered nanotechnologies now number in the many hundreds, and new products are entering the market at a fast clip. As the universe of applied nanotechnology is burgeoning, so also are the questions raised about the potential impacts of exposure to nanoscale materials on human health and the environment.
Potential Liabilities and Regulatory Governance Mechanisms
Nanotech companies, large and small, face many commercial challenges and a range of potential liabilities. Assessing these liabilities is difficult given the embryonic stage of development, the lack of clear legal precedent and regulatory standards, evolving industry standards and practices, and the fast-evolving science. Nonetheless, several areas of potential liability warrant note.
Product Liability Issues
Despite the promise of new technologies, the specter of product liability casts a shadow over nanotechnology innovations just as it does with other products of technological innovation. The bad publicity following the Magic Nano product recall in Germany in 2006 has become the poster child for nanotech product liability concerns. That the product contained no nanoparticles is irrelevant. Strict liability, negligence, breach of warranty, and claims made in connection with these legal principles (e.g., design defect, manufacturer defect, and failure to warn) arguably could be asserted against manufacturers or suppliers of nano-enabled consumer products given the right facts. Claims for damages could include personal injury, medical monitoring, fear of future injury, deceptive trade practices (inviting treble damages), and punitive damages.
For publicly traded nanotech companies, three sections of Regulation S-K, which predates Sarbanes-Oxley and specifies the disclosure requirements for periodic reports filed with the SEC, require the disclosure of environmental liabilities. First, S-K 101 requires a company to disclose material effects that compliance with environmental laws will have on earnings, including on estimated material capital expenditures for environmental control facilities for the current fiscal year, the next fiscal year, and additional periods, if material. Signing off on a description of the "material effects of compliance" with environmental laws under S-K 101 is more challenging when it is uncertain if and when some of those laws will affect a nanotechnology product or a consumer product enabled by nanotechnology.
Second, S-K 103 requires a description of "any material pending legal proceedings, other than ordinary routine litigation incidental to the business to which the registrant or any of its subsidiaries is a party"; environmental litigation is not considered "ordinary" or "routine." The impacts of environmental litigation inspired by nanotechnology, reported under S-K 103, similarly are complicated and difficult to predict in the absence of a litigation history.
Third, S-K 303 sets out a general requirement to disclose "any known trends or any known demands, commitments, events or uncertainties" that are reasonably likely to have a material effect on a company's "financial condition and results of operation"—this requires companies to assess, for example, the likely future consequences of new environmental costs or liabilities. In 1989, the SEC issued an Interpretative Release that emphasizes that this requirement applies to environmental trends and uncertainties, including anticipated new regulations and Superfund liabilities. While not explicit in its application to nanotechnology, the scope of this Release is sufficiently broad to include potential regulatory measures pertinent to nanotechnology.
In addition to these disclosure obligations, shareholder rights activists can be expected to continue to demand enhanced transparency and disclosure with regard to a wide array of issues, particularly environmental and product toxicity issues. The advocacy group As You Sow Foundation's Corporate Social Responsibility Program noted in early 2009 that product safety shareholder resolutions urging companies to disclose the presence of nanomaterials in food and personal care products have greatly increased in the recent past. According to the Investor Environmental Health Network, shareholders filed or refiled 46 resolutions at 28 companies for consideration at shareholder meetings between 2006 and 2008. Many of these specifically requested information on nanomaterials.
Insurance
The business uncertainties noted earlier help explain the challenges insurance coverage presents—both in terms of providing coverage (from the insurer's perspective) and obtaining it. The key issue in insuring against liabilities where nanotechnology is involved is the relative lack of certainty regarding potential environmental, health, and safety (EHS) risks. Swiss Re's much-cited report, Small Matter, Many Unknowns, noted bluntly that in the case of nanotechnology, the uncertainties prevail since "neither the probability nor the extent of the potential losses are precisely calculable," and businesses can expect to see creative approaches by the insurance industry as it tries to address a growing need among an expanding client base reliant upon nanotechnology. One interpretation of this situation is that some risks will simply be excluded from coverage because some essential element in the risk calculus is too speculative. Alternatively, coverage may be capped at one end or the other, and insurers will either pay claims only up to a specified ceiling or they will pay the excess only after the insured shoulders (i.e., self-insures) a large deductible. Other types of risk-pooling and limitation—in the form of bond sales/purchases, for instance—may be employed.
Acquisitions
The duties and challenges posed by environmental licensing, permitting, and compliance issues are well known for a seller/transferor and, especially, for a prospective purchaser/transferee of a business or a commercial property. If a business uses or produces chemical substances, or if the property has been used for the manufacture, storage, treatment, and/or disposal of these substances, it becomes all the more critical to ensure that the requisite level of environmental due diligence was completed thoroughly and to negotiate the appropriate contractual representations, warranties, and indemnities in the contract for the purchase, merger, or other acquisition as well as any associated lending arrangement. If the business being acquired processes, manufactures, discharges, or emits nanomaterials, the goals of the due diligence do not change, but the context adds challenging scientific, risk identification, and risk allocation wrinkles for the parties to consider in their negotiation.
The picture as it stands today is only a snapshot of the regulatory and best practices landscape that necessarily will evolve significantly as nanomaterials are better identified, characterized, and understood from a risk assessment and risk management perspective. From a purchaser's point of view, the purchase/sales agreement could be fashioned to insulate itself against exposure to hypothetical future liabilities of this kind. In reality, a seller will likely refuse to go beyond a certain point in consenting to bear the costs of long-term contingent liabilities, particularly those as ill defined as "nano risks," in most cases drawing the line at what has occurred or what is, or should be, known as of the transaction's closing date.
1/20/2010
By James Grippando
The young adult novel published by the ABA's Criminal Justice Section, Leapholes by James Grippando, features an afterword compiled of short essays by prominent lawyers and lawyer-authors about why they chose to become lawyers. This essay is by New York Times best-selling author Lisa Scottoline.
When I was in middle school, adults used to ask me, "What do you want to be when you grow up?"
"I don't know," I would answer. This was true, but it elicited a frown. Clearly, I needed a better answer. Even my little brother knew what he wanted to be, so the next time someone asked me, I tried his answer:
"A fireman?"
But that only made them laugh. I wracked my brain, trying to come up with the right answer. My father was an architect, but I didn't like math, so I didn't want to be that. My mother was a secretary, but I didn't like typing. What I liked was tennis, and I played all the time with my best friend, Miriam. Her father, Mr. Silver, was the nicest and smartest man, and he gave me tennis lessons for free. In the summertime, the three of us would practice until so late at night that it would be hard to see. One evening, I remember Mr. Silver was watching Miriam and me play. I hit the ball, and Miriam called it out of bounds. I said it was in, but I couldn't tell in the twilight. So Miriam asked her father, "Dad, was it in or out?"
Mr. Silver answered, "It was in. Sorry, kiddo, but what's right is right, no matter what."
Miriam got angry, but I felt the warmth of admiration rush over me. Much later, I learned what Mr. Silver did for a living.
He was a lawyer. So the next time someone asked me what I wanted to be when I grew up, I finally knew. I answered that I wanted to be a lawyer, and they nodded with approval. And when I grew up, I became a lawyer. But deep inside, what I really wanted to be was Mr. Silver.
And, some day, I will be.
By George W. Kaufman
By using tools that support personal growth and self-empowerment, we learn about our core selves and uncover parts of ourselves we have carefully stored away. We can also use these tools to run a diagnostic on a personal problem, a life issue, or a unique opportunity. One valuable tool is a vision statement.
Vision Statements
A vision statement is a snapshot of the mind and heart working in concert. In the corporate world, a vision statement is a shorthand reflection of the deepest beliefs to which that corporation adheres. When individuals craft vision statements, they are making important discoveries about who they are, how they want to be seen, and the legacies by which they want to be remembered.
From Corporate Culture to Personal Agenda
Businesses create vision statements as a shorthand for sharing with employees the ethical and philosophical underpinnings of their companies. Creating individual statements is simpler and faster than crafting corporate statements. When we're structuring personal statements, there is no need to solicit broad input or test adherence with a wide body of constituents. We only need to understand our own psyches, not the collective expression of corporate executives. Moreover, in structuring personal vision statements, we have access to the deepest source of information about what it is we want to create—ourselves.
My own vision statement sprang from a summer luncheon in August 1993 with my friend David. As I started to describe my professional route, I realized I had never described my passage that way to anyone. Telling my story was hard. After a while, David stopped being an audience and instead became the witness to my story. I was surprised at the strength of feelings still harnessed to the wheel of my work life and the pressure required to retain the position of work in its expected track.
When I finished speaking, David asked me, "What's still not done? What would make your heart sing?"
"It doesn't matter," I recall saying to him. "A singing heart doesn't put bread on the table—or make partner—or answer telephone calls."
"And a silent one," said David, "won't serve you, and eventually won't serve anyone—the bread on the table, your law firm, or your clients."
David asked if I ever considered an alternative that I could implement without surrendering my practice. We began to explore desires hidden under years of work that still yearned for a creative outlet. I wrote a statement that encompassed our discussion and read it to David. I shared with him an idea of a workshop for lawyers. I became excited as I realized the workshop was a creative opportunity for me to write and teach. We talked about the program's content, the audience I wanted to reach, and the structure I might develop. I wrote a statement that encompassed our discussion and read it to David. He wanted to know how I felt about what I had written. I told him the workshop would be easy to create.
David suggested that if I felt the program would be easy to create, perhaps the vision I was describing lacked passion. He encouraged me to consider a larger dream—one that he called a "growing edge." He said, "When your growing edge isn't comfortable, that's an indication you're venturing into new domains. Sometimes," he offered, "we have to push past what's comfortable to engage our passion." He also suggested I try to find a space where the challenge engaged my attention but wouldn't stretch beyond my comfort level.
I played with the language some more. Eventually, I was satisfied that I had achieved the right balance between passion and practicality, and between stretching and pulling muscles. "One more thing," David added. "Put in a date by when this will happen. You need a target to shoot for."
Looking back on the words I crafted, I realize that I touched on body, mind, and spirit. When I said, "I offer a workshop and support system for lawyers," that was the body or physical part of what I planned to do. The next phrase—"that allows me to express my values"—was the cognitive or mind part. It involved months of writing and editing to achieve clear program content. And finally, the last part of my sentence—"to awaken and nurture the deepest human values in others"—was the part that involves the spirit or heart content of my statement.
Gathering Allies and Focusing Intention
Writing a vision statement is a wonderful opportunity to let self-expression breathe. If we start with an overview of the process, we can visualize the product we are going to create. That product will consist of one or two sentences about something important to us that we have not yet found a way to describe. Those sentences tap into wells of expression we have kept tightly covered. They can be as specific as writing poetry, running the marathon, or using creativity at work. The vision statement can also be more general—making sure we express love daily, keep our hearts open, or honor our values through daily action. It can address work, personal interests, or family. This is the time to let unfulfilled dreams become manifest, whether those dreams are reminding us of hidden passions or deep longings.
Because this book concentrates on the imbalance of work in our lives, I suggest the vision statement you create be focused on work. I use the word "work" in its most expansive sense. It can refer to work you are now doing or work in a different field, different location, and different environment. Even though the vision statement will speak to one area of your life, your product is likely to affect many domains—work, family, and self. The better you craft your vision statement, the easier it will be to remember.
To create a vision statement that you can use, I propose approaching the task in three stages. The first stage deals with preparation—how to organize yourself so the task seems manageable. The second stage involves the construction of the vision statement. In this stage, the actual crafting takes place, followed by a series of refinements until you are satisfied the statement honors your intention. The third stage—incorporation—offers practical ways to invite the vision statement into your daily routine.
Excerpted From:
The Lawyer's Guide to Balancing Life and Work: Taking the Stress out of Success, Second Edition
By Robert J. McWhirter
Debates over security and body searches—especially for people traveling to the United States—have intensified since the 2009 Christmas Day airline bombing attempt. In some cases, the Fourth Amendment may be applied. In the case of border searches, however, the amendment works differently for aliens and citizens. For example, does the Fourth Amendment even apply to aliens in the United States? This is something of an open question.
How does the Fourth Amendment apply to aliens in general?
Aliens lawfully present in the United States have standing to raise Fourth Amendment defenses, and even aliens unlawfully in the country had this right.
How is the Fourth Amendment different at the border?
Under the Fourth Amendment, there must be a warrant or individualized suspicion before police can search a person. At the border, however, officials can search all persons and property without probable cause, individualized suspicion, or warrant as long as the searches are "routine." Notions of national security control these questions.
So, is a border search an exception to the Fourth Amendment?
Yes. This exception is nearly as old as the Fourth Amendment, in existence since 1789.
What then is a "routine search"?
Any general nonintrusive search of people or items along the border or a point of entry is "routine." "Intrusive" searches such as body cavity, x-rays of a person, or strip searches require reasonable suspicion.
What about the search of a vehicle?
As to vehicles, the Supreme Court holds that the definition of "routine" is much broader. Thus, a border search involving disassembly of a vehicle's gas tank does not require reasonable suspicion, and "[c]omplex balancing tests to determine what is a 'routine' search of a vehicle, as opposed to a more 'intrusive' search of a person, have no place in border searches of vehicles." What about when the border search targets a specific person?
Targeting a specific person makes the search "non-routine," meaning that there must be reasonable suspicion before the search is lawful. What about when ethnicity is the basis of the border search?
Usually, a stop based on ethnicity is contrary to the Fourth Amendment, but the Constitution allows such "routine" stops at the border because the person or item enters from outside the country. Thus, even if a search is based largely on the basis of race or ethnicity, it is not a constitutional violation.
What about a person who leaves instead of enters the country?
It does not matter. The Fourth Amendment does not apply when a person exits the United States.
Can all government agents conduct border searches?
No. Only agents with specific statutory authorization can conduct a border search.
Are there limitations to the border patrol officer's powers?
Yes, 8 U.S.C. § 1357 defines a border patrol agent's powers.
Does the border patrol have authority to make stops for narcotics?
It depends on the circuit. The Fifth Circuit holds that they do, and the Ninth Circuit holds that they do not.
What are ideas for suppression hearings?
Motions could include preserving recordings of agent's audio transmissions, requests for vehicle sensor information, or for records of citizen complaints against agents as well as statistics of the agents' seizures. Testimony could be from local residents or about road and weather conditions or the border patrol's conduct during stops. Counsel should also consider visiting the site of the stop.
Miranda and Border Stops
Does Miranda apply at the border?
As part of the same idea of constitutional exception, government officials at the border can initially question a person and even conduct a secondary interview. Is the defendant's language relevant?
It may be. Courts have invalidated Miranda waivers because the waiver and interrogation were in English when the defendant's primary language was Spanish.
Detention and Arrest at the Border
Can border officials detain a person during a search?
Yes. Moreover, the detention can be quite long because the Fourth Amendment balance leans heavily in the government's favor.
Does a border search have to occur right after entry?
Not necessarily. For example, one court found a valid "border search" even though the passenger had left customs, gone to baggage claim, moved about the airport for 30 minutes, and checked into an adjacent hotel.
When arresting a border suspect, must the agents have probable cause?
Although an agent does not need probable cause to search at the border, the Constitution requires probable cause to arrest.
Searches of Bags, Persons, and Body Cavities
Can border officials search all baggage?
Yes. Border officials, be they customs agents or border patrol, may search all the baggage of anybody entering the United States.
Can border officials strip-search people?
Yes. However, the officials must have real or reasonable suspicion of criminal activity, because strip searches are "non-routine" searches.
What about body cavity searches?
Body cavity searches at the border require an even higher standard of suspicion than strip searches.
"Border Searches" Not at the Border: Functional Equivalent and Extended Border Searches
Can officials conduct "border searches" away from the border?
Yes, if the site is the "functional equivalent" of the border. What is the legal test for "functional equivalent" of the border?
The courts have applied a three-prong test: (1) reasonable certainty that the border was crossed; (2) no opportunity for the object of the search to have changed materially since the crossing; and (3) the search must have occurred at the earliest practical point after the border was crossed.
Are airports—even well within the United States—"borders"?
Yes. Airports are the "functional equivalent" of a border.
What is an "extended border" search?
Courts have used the extended border search analysis to allow certain searches to occur long before or after the person or item crossed the actual border. How does the "functional equivalent" compare to an extended border search?
Unlike a functional equivalent border search, an extended border search takes place after the first practical point where the entering person or package may be stopped. Border Checkpoints
What about checkpoint stops away from the border?
Border officials may stop vehicles routinely and question passengers at traffic or airport checkpoints. Random stops, however, are not allowed. Thus, the border patrol may maintain permanent checkpoints at intersections of roads leading away from the border and stop vehicles to question the occupants briefly, even though the agents have no reason to believe that a particular vehicle contains contraband or illegal aliens.
Can border officials do more at checkpoints?
No. At traffic checkpoints, border officials may direct a vehicle to the side and conduct a search only if they have probable cause or a valid consent.
Searching for Aliens
What about seizure of suspected aliens?
A border patrol agent may seize a person to investigate whether he is an illegal alien. To justify the seizure, however, the agent must articulate objective facts that provide a reasonable suspicion that the person (in this case, the subject of the seizure) was an illegal alien. What about searching private property for aliens?
The Fourth Amendment requires a warrant to search private buildings for illegal aliens.
Can illegally seized evidence be admitted in deportation hearings?
Yes. Although such evidence would be suppressed in the criminal case, the evidence can be admitted in deportation proceedings, which are civil.
"Blind Mule" (Border Drug) Cases
What is a "blind mule"?
A blind mule is a person who is used without his knowledge to transport narcotics. Can the government offer expert testimony in blind mule cases?
Agents have testified, as "experts," that drug smugglers do not entrust large quantities to unknowing dupes.
Is such "expert" testimony subject to a pretrial hearing?
Under the Supreme Court's holding in Kumho Tire Co. v. Carmichael, it should be.
Is sufficiency of evidence an issue?
Courts have reversed blind mule convictions for lack of sufficient evidence. Are there language issues in blind mule cases?
Most certainly—they include not only translations of the defendant's interrogation but also mistaken translations during trial.
Excerpted From:
12/21/2009by James B. Christian, Jr.
The Lobbying Disclosure Act of 1995 (LDA) introduced new rules on matters such as when registration should be required, who should register, what disclosures should be made, and, of course, how expenses should be reported. Expenses for those who lobby on their own behalf, as well as income for lobbying firms, are reported under a "good faith estimate" standard. With the advent of new audit mandates, there are also questions about how best to collect information to comply with the standard. In addition, the Honest Leadership and Open Government Act of 2007 (HLOGA) made several changes to the LDA, but one important change for registrants is a requirement for random audits conducted by the Government Accountability Office (GAO). The concern is not merely one of bookkeeping; HLOGA also contains criminal penalties for violations of the LDA, including reporting violations.
Best Practices Checklist for HLOGA Reporting Compliance
1. Put Someone in Charge.
- Designate one person to serve as an ethics compliance officer who will be responsible for overseeing the registrant's compliance program and for collecting, maintaining, and filing all necessary paperwork and arranging for training and for consulting with legal counsel as necessary.
- The designated compliance person should create a calendar with filing deadlines and dates, including those for internal information collection. The compliance officer should monitor compliance with filings not directly his or her responsibility (such as LD-203s, which must be filed by individual lobbyists as well as registrants).
2. Create and Adopt a Policy.
- Adopt an official policy for your company, regardless of size, stating the registrant's commitment to abide by all public ethics statutes, rules, and regulations.
- Many firms have preexisting policies that may need to be updated; companies without such policies may welcome the opportunity to educate and train employees on these important issues.
- A registrant might consider requiring each employee engaged in lobbying activities to acknowledge receiving a copy of the policy.
3. Collect Information.
- Survey employees to determine who has contact with legislative and executive branch employees, and collect information on the nature of those contacts. The information collected should be designed to identify not only those who have contact with government officials but also those who support contacts. This will assist in determining expenses associated with lobbying activities and is important for larger entities that have or seek government contracts and, therefore, may be prohibited sources for executive branch gift rules.
- All lobbyists or potential lobbyists should prepare and submit a Covered Position Disclosure Form in order to comply with the new "20-year look-back" requirement of HLOGA. New employees who may be lobbyists should also complete the form as part of regular new employee intake procedures.
4. Train Employees.
- Conduct mandatory ethics training based on HLOGA, House and Senate gift and travel rules, and campaign finance laws on a regular basis, more often if laws or rules change.
- Attendance at training sessions should be documented.
5. Document Decisions Related to Registration/Report Items.
- In addition to expenses and income, GAO audits cover matters such as who lobbied, what issues were lobbied, and how issue codes were selected. Registrants should regularly review these items and document decisions with respect to all reportable items. For some entities this information will initially be found in engagement documents. As assignments expand or change, internal records or new engagement correspondence should reflect these changes.
6. Maintain Required Certifications.
- All lobbyists or potential lobbyists should be required to certify that they have read and understand the House and Senate gift and travel rules and they have neither offered nor made a gift, including the gift of travel, that would violate these rules.
- The registrant should keep a copy of the signed certification on file for at least seven years. Form LD-203 could substitute for this form.
7. Document Outside Lobbyists' Responsibilities.
- When working with outside lobbyists, the contract should clearly state each party's responsibility regarding compliance with and filing under the LDA.
- The contract should clearly delineate the lobbyist's authority to represent and to act on behalf of the employer.
- The employer should coordinate with the outside lobbyists the filing of all compliance documents for timeliness and accuracy. Copies of such documents and contracts should be retained for seven years.
8. Document Campaign Finance Law Activity.
- All lobbyists or potential lobbyists should maintain on a regular basis documentation of political activity in order to comply with LD-203 requirements.
- Additionally, lobbyists and employees who support them should participate in campaign finance training.
9. Prepare for an Audit.
- Registrants should establish an internal procedure to use in the event of an audit, including both who will respond and a procedure for collecting and securing supporting documents.
10. Establish a Document Retention Policy.
- Registrants should develop and implement a document retention policy and system for the information gathered as part of the public ethics compliance program. Retain records for seven years, one year longer than required by the LDA and HLOGA.
Excerpted From:
The Lobbying Manual: A Complete Guide to Federal Lobbying Law and Practice
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