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Legal Education Review |
Professional Ethics For Lawyers and Law Schools:
Interdisciplinary Education and the Law School’s Ethical Obligation to
Study
and Teach about the Profession
DAVID B WILKINS*
I. INTRODUCTION
What does it mean to be a “professional?” The question lies at
the heart of any attempt to teach professional ethics.
Yet, despite its
undeniable centrality, there is remarkably little consensus among the current
generation of legal ethics teachers
about what this term actually means beyond
its obvious historical and descriptive connotations. Few would deny, of course,
that lawyers
have traditionally been considered “professionals” or
that, in the minds of many, this designation carries with it certain
normative
implications about the relationship between lawyers and society that links the
“legal profession” to the small
number of other occupational groups
(for example, doctors) that are also considered professionals. What has become
quite controversial,
however, is whether these normative claims are either true
or, if true, socially desirable. Moreover, even among those who believe
that the
concept has some independent normative value worth preserving, the claim that
“professionalism” can be taught
remains deeply
controversial.1
In this essay, I argue that the lack
of consensus over the meaning and normative value of professionalism is
symptomatic of a profound
ethical failing in American legal education, one that
I suspect is common in law school in other parts of the world as well: the
law
school’s persistent failure to make the norms, structures, and conditions
of legal practice the subject of serious teaching
or scholarship. This failure,
I suggest, is deeper than the usual criticism that there is an increasing
separation – or “disjunction”
in the words of one influential
account2 – between the legal academy and the
profession that it is supposed to serve.3 Instead, it
is nothing less than an ethical failure by the legal academy to meet the
legitimate needs of its three principal constituencies:
students, the bar, and
society. This is a time of tremendous upheaval and change for lawyers in the
United States and around the
world. If individual lawyers, the bar, and the
public we serve are to emerge from this time of change with a legal profession
capable
of meeting the enormous challenges it now faces, than the legal academy
must become an active participant in developing and transmitting
the empirical
and theoretical knowledge about legal practice that will allow us to construct a
vision of legal professionalism fit
for the twenty-first century instead of for
the nineteenth.
The remainder of this essay chronicles one effort by Harvard
Law School’s Programme on the Legal Profession (hereinafter the
Programme)
to transcend the standard limitations of traditional law school ethics courses
and to lay the foundation for the development
of a theoretically coherent,
practically realisable, and normatively attractive understanding of lawyer
professionalism. The organising
premise of this effort is that traditional
teaching and scholarship about professions and professional ethics, both within
professional
schools and in other parts of the academy, either takes the
normative value of professionalism for granted or divorces the study
of this
concept from the actual social and institutional contexts of professional work.
In order to counteract these tendencies,
the Programme sponsored an
interdisciplinary course on professionalism entitled “Ethical Dilemmas in
Clinical Practice: Physicians
and Lawyers in Dialogue.” The course, which
was co-taught by Dr Linda Emanuel, Assistant Director of the Harvard Division of
Medical Ethics and myself, brought students from Harvard’s law and medical
schools together with practitioners and academics
from a wide range of
disciplines to discuss, debate – and most of all to experience – how
professional ideals and ideology
are constructed in law and medicine.
This
course stands as both a testament to the value of an empirically grounded,
interdisciplinary approach to professional ethics
and the difficulty of
implementing such an approach in an environment where law schools continue to
shirk their ethical obligation
to make professional practice a serious subject
of study. For the reasons stated below, courses such as the one I taught at
Harvard
can play an important role in moving beyond the limitations that
characterise traditional teaching and scholarship about professional
ethics. But
the fact that this course has only been taught once underscores how difficult it
is to develop such initiatives in an
environment where empirical research and
interdisciplinary teaching continue to be undervalued.
The following four
parts flesh out these basic points. Part II briefly sets out the
theoretical underpinnings of traditional approaches
to teaching about
professionalism and indicates how the shortcomings of these standard methods are
exacerbated in legal education
by the academy’s persistent failure to
study the profession. Part III describes the course and examines some of its
principal
accomplishments. Finally, Part IV draws some tentative conclusions
from our experience for future teaching and scholarship about
professional
ethics.
II. THEORETICAL BACKGROUND AND THE STATE OF THE FIELD
The term “professional ethics” can be given at least three
distinct, although admittedly interconnected,
meanings.4 The most general understanding of the term
refers to the ethics of “that entire family of vocations that we call
‘the
professions.’”5 Those who
subscribe to this meaning assume that it is possible to identify a stable set of
criteria for classifying which occupations
are entitled to be called professions
and that all those who properly fall under this designation will share important
normative
commitments.6
The second meaning focuses
on a particular profession, such as law, and attempts to identify those
normative characteristics that
are uniquely “professional.” Unlike
those who subscribe to the more general usage, persons interested in
“legal
ethics” need not claim that they can justify lawyers’
professional status by some set of objective criteria or that the
“professional” norms they identify will necessarily be shared by
other professionals. Instead, these theorists tend to
take professional status
as a given and ask which ethical values lawyers ought to uphold in light of the
legal profession’s
unique position in
society.7
Finally, the last usage takes a
descriptive and instrumental view of professional ethics. Rather than asking
what norms professionals
(either in general or in a particular profession) ought
to share, those using the term in this third sense ask what ethics professionals
actually display. This investigation into the meaning of professional ethics can
be conducted at the level of both group ideology
and individual behavior. At the
collective level, scholars examine the official justifications offered by
professionals for their
ethical standards and ask whether these norms actually
serve their stated purposes or instead are better understood as a convenient
cover for actions that do little more than promote professional
self-interest.8 With respect to individuals, the
question asked is whether practitioners actually conform their conduct to the
profession’s
articulated norms, values, and
standards.9
Notwithstanding the fact that most
scholars interested in professional ethics acknowledge the importance of all
three understandings,
one or the other of these approaches has tended to
dominate each of the arenas in which professional ethics is generally taught.
This segmentation has, in turn, nurtured and reinforced a growing cynicism among
academics, practitioners, and the general public
about whether the concept of
professionalism has any independent normative content worth
preserving.
Undergraduate and graduate level liberal arts courses that
discuss professional ethics tend to embrace the first meaning. The question
most
frequently posed in these settings is whether there is something sufficiently
distinctive about being a professional that justifies
holding those occupying
these social roles to normative standards that are different from the rules of
common morality.10 For the most part, the academics who
teach these courses tend to be skeptical about such claims. This skepticism
comes from two quarters.
First, many sociologists contend that it is impossible
to identify a stable and objective set of criteria for separating existing
professions from other occupations that, although desiring the social and
economic benefits that flow from professional status, have
had less success than
doctors and lawyers in achieving their objectives.11
Second, philosophers are frequently critical of arguments that are premised on
the existence of a “role differentiated morality,”
particularly
where the argument asserts that people who occupy a given position in society
are exempt from moral obligations that
would govern the conduct of ordinary
citizens.12
Collectively, these skepticisms cast
doubt on the claim that professionalism per se has any independent moral
content. Thus, to the
extent that sociologists can convincingly demonstrate that
lawyers and doctors achieved their current status as a result of concerted
political struggle, the traditional structural/functionalist account that links
professional status — and, therefore, professional
ethics — to the
unique functions that professionals perform for society is undermined. As a
result, sociologists tend to view
these normative claims as simply another tool
that professionals use to pursue their objective of freeing themselves from
state control
and the constraints of the market. Consequently, although they
begin by asking the question posed by the first understanding of professional
ethics — what are the ethical claims that unite all professions? —
the answers that these scholars give tend to devolve
into the third approach
that identifies self-interest as the common thread that unites all efforts to
articulate a distinctive normative
understanding of professional ethics.
Similarly, once philosophers reject the idea that any group should be exempt
from the demands
of ordinary morality simply because they occupy a particular
social role, there is no longer any reason to treat “professional
ethics” as a separate and distinct area of moral inquiry. Once again, the
overall effect is to shift the focus away from the
norms and practices of
particular professionals in favor of a more general examination of moral
duties.
Not surprisingly, professional schools have tended to take a
different tack. Required ethics courses in law schools are generally
premised on
the second model of professional ethics. Traditionally, these courses have
started with the assumption that lawyers are
“professionals” with
their own unique ideals and practices.13 The task these
courses set for themselves, therefore, is to identify which of these norms and
practices are legitimate in light of
the positions that lawyers occupy in
society. In recent years, however, this standard orientation has increasingly
come under attack.
Taking as their inspiration many of the criticisms of the
first model of professionalism outlined above, a growing number of legal
ethics
courses now include substantial criticism of both the self-interested nature of
many traditional professional ideals and of
the standard claim that lawyers are
not governed by the rules of ordinary morality.
Both of these approaches to
formal ethics instruction in law schools undermine the claim that
professionalism per se has independent
moral content. The insularity of the
standard orientation strongly implies that lawyers have nothing to learn from
social scientists,
or indeed from other professionals, about the normative
content of the lawyer’s role. Although the critical approach adopted
by
many contemporary ethics teachers substantially reduces this insularity, it also
paradoxically reinforces the view that professionalism
is either irrelevant or
pernicious. In these courses, professionalism is largely identified with the
standard version of legal ethics
as articulated in the Code of Professional
Responsibility,14 the Model Rules of Professional
Conduct,15 and other official sources. The question,
therefore, is whether lawyers should follow these professional rules or the
dictates of
their personal conscience when deciding difficult ethical problems.
However one resolves this question in any particular case, this
way of framing
ethical issues deflects attention from investigating whether lawyers as
professionals ought to reject both the traditional model of legal ethics and
the assertion that they should simply follow the dictates of their
personal
morality.16 By omitting this third choice, legal ethics
courses have left themselves vulnerable to the criticism that they either reify
the narrow
and often self-interested view of lawyer professionalism articulated
in the current ethics rules or that they attempt to teach a
personal moral code
that bears little or no relationship to the competence or the mission of legal
education. Collectively, these
criticisms reinforce a skeptical attitude about
the meaning of professionalism.
The implicit and sometimes explicit messages
about lawyers’ professionalism conveyed by the rest of the law school
curriculum
only serve to deepen this skeptical attitude. While formal ethics
courses tend to portray the legal profession’s traditional
ideals as both
legitimate and important (even when they are being critical), when
“ethics” is mentioned in the rest of
the curriculum the focus is on
the third model’s descriptive claim that ethical rules are either ignored
in practice or simply
a cover for lawyer self-interest. In cases, hypothetical
examples, and off-hand remarks, lawyers are frequently portrayed as ruthless
economic actors unconcerned with the “niceties” of the
profession’s traditional ethics.17 This skeptical
attitude is reinforced by powerful intellectual movements in legal education
that focus attention on the indeterminacy
of rules (including ethical
rules),18 the need for functional as opposed to
normative justifications for public policies, and the numerous ways in which law
and lawyers
entrench existing inequalities of wealth and
power.19 At the same time, students who raise general
ethical objections in traditional law school courses are often told that these
concerns
are irrelevant to the “legal” issues being discussed. When
one puts all of these developments together, the clear message
to law students
is that lawyer professionalism, and indeed ethics in general, is either
irrelevant to their lives or something to
be deployed instrumentally to further
their (or their clients’) self-interest.
Indeed, the fact that
philosophers, legal ethics teachers, and the rest of the law school faculty have
largely failed to generate
a meaningful account of the normative value of
professionalism has had important consequences beyond the academy. As I have
argued,
many commentators have complained of a growing separation between law
schools and the legal profession itself.20 Each of the
three approaches to professional ethics outlined above exacerbate this
separation. By isolating the concept of “professionalism”
from the
actual practices of any group of professionals, the first definition leads many
lawyers to believe that philosophers and
other social scientists do not know
(and probably do not care) enough about the realities of legal practice to
render judgments that
practitioners ought to
heed.21
The second account embraced by most
traditional legal ethics courses tends to have the same effect. Although these
courses purport
to speak directly to practicing lawyers, they often present a
stylised account of lawyering that bears little relationship to the
realities of
contemporary legal practice.22 As a result, practicing
lawyers often complain that law students are not being given the skills they
need to cope with the massive
changes that have transformed many areas of legal
practice from the “gentlemanly” world of individual decision-
making,
apprenticeship, and noblesse oblige portrayed in most traditional ethics
courses.23
Not surprisingly, the practicing bar
resents the third account as well. To many practitioners, most legal academics
know almost as
little about the bar’s actual ethical practices as the
philosopher proponents of the first model. They therefore tend to dismiss
these
critics, as they have tended to dismiss most of what is taught in law school, as
being irrelevant to the contemporary realities
of legal practice.
Ironically,
when the bar formally attempted to define professionalism, it paid no more
attention to the contemporary realities of
legal practice than most traditional
ethics courses.24 This failure further exacerbates the
split between the bar and the academy by reinforcing the critical dimension of
many contemporary
legal ethics courses that portray the bar’s
understanding of professionalism as simply a cover for self-interest. At the
same
time, this critical attitude, as well as the even more openly cynical view
of lawyers articulated in the mainstream legal curriculum,
discourages
practitioners from either acknowledging or confronting the difficult ethical
problems caused by the growing bureaucratisation
and competitiveness of the
market for legal services. This, in turn, simply fuels the claims by academics
in both law schools and
other parts of the university that the profession
consistently fails to come to terms with academic criticism of its practices and
its ideals.25
The net result of this dynamic, as
with the segmentation of the three models of professionalism in general, has
been to reinforce
the cynicism by both academics and practitioners about the
normative value of professionalism. But matters are even worse than this
bleak
portrait suggests. The legal academy’s failure to study the profession has
created a knowledge vacuum of enormous proportions
concerning the changes in law
practice sweeping across the legal landscape. As with any vacuum, the
academy’s silence has attracted
a host of other purveyors of
information and ideas about legal practice who are all too willing to fill the
void. Thus, the “New
Information Order” about law and legal
practice is primarily the result of the increasingly cacophonous voices of legal
recruiters,
public relations specialists, trade associations, and legal
journalists.26 Many of these sources, however, are more
interested in furthering their own agenda than in providing disinterested
information. Those
who are not self-dealing often know little more about legal
practice than those whom they purport to educate. By leaving students,
practitioners, and citizens to fend for themselves among these self-interested
and inaccurate information merchants, law schools
have doubly failed each of
these core constituents.
Let me briefly illustrate this unhealthy dynamic
with respect to each of the three groups that the law school is designed to
serve.
The Student Experience: The Fox and the Chicken
Coop
Students are hungry for information about their
future careers. The regular curriculum, however, offers them almost nothing to
satisfy
this hunger. As a result, students typically learn about potential
careers from three sources: legal recruiters, the legal press,
and each other.
It should go without saying that each of these sources of information is
seriously flawed.
Consider, for example, the tragic case of Lawrence Mungin,
a black lawyer who unsuccessfully sued the law firm where he was employed
for
race discrimination.27 When Mungin graduated from
Harvard Law School in 1985, he believed that his elite education would protect
him against race playing
a negative role in his career. Everything about
Mungin’s Harvard Law School experience reinforced this point, promising
that
those lucky enough to be admitted to Harvard are destined to succeed simply
by virtue of having gone to school there.28 In order to
reap these rewards, however, law schools like Harvard imply that students must
adopt a “bleached out” vision
of themselves as
lawyers.29 To be a “good” professional,
according to this standard view, one must suppress all other aspects of
one’s identity
– race, gender, sexual orientation – and assume
a “professional self” that governs all actions taken in one’s
professional capacity.
Like most law students, Mungin internalised this
view. He therefore sought to remove race as an obstacle in his career by acting
as
though race were irrelevant and hoping that others would do the same. This
strategy, however, blinded Mungin to the many ways in
which race inevitably
affected his career. This effect did not take the form of racial epitaphs or
outright exclusion. Instead, Mungin
fell prey to the kind of subtle stereotypes,
assumptions, and perceptions that often make it more difficult for black lawyers
to
succeed in elite law firms. These problems are not different in kind than the
issues that white lawyers confront when they run afoul
of the rules of the
modern tournament of lawyers. But for black lawyers, these problems are
magnified because everything that they
do is examined through the lens of racial
attitudes and preconceptions that brand blacks as inferior. In Mungin’s
case, these
complex racialised attitudes took the form of partners who thought
that they were engaged in some form of affirmative action, but
who could not see
that their preconceived assumptions about Mungin were an important part of the
reason that Mungin was having difficulty
succeeding at the firm.
For all of
its excellence, therefore, Harvard Law School failed to give Lawrence Mungin the
knowledge and skills that he needed to
construct an understanding of
professionalism that allowed him to see how race might affect his dream of
becoming a partner in a
large law firm.30 In so doing,
it broke its ethical covenant with Mungin and his fellow students that, in
return for their hard work and substantial
tuition payments, they would be given
the knowledge, skills, and dispositions that they need to become successful
practitioners.
The Bar’s Experience: The Blind Leading the Blind
Law schools have done no better in fulfilling their
ethical duty to the profession. Indeed, a good argument can be made that they
have done worse. Given that they depend upon tuition dollars for their survival,
law schools must at least pay lip service to the
goal of preparing their
graduates to build successful and ethical careers. With few exceptions, however,
the academy has not even
given this much attention to the large-scale economic,
social, and cultural forces that are reshaping the profession that their
students
are about to enter.
Consider, for example, the role of the public
defender.31 Both academic scholarship and popular
mythology tend to portray public defenders as the very personification of the
autonomous lawyer
zealously fighting to protect the rights of poor clients
against the awesome power of the state. But these lawyers also work for
a large
and increasingly bureaucratic institution that must consider its own
institutional role; a role that extends beyond, and
sometimes conflicts with,
the interests of individual clients. Thus, the Chief Public Defender has an
ethical responsibility to ensure
that the office’s limited resources are
used effectively for the benefit of both current and future clients. The
positions
lawyers take in one case will necessarily affect the interests of
other clients and of the community as a whole. These constituencies,
however,
have very little political capital to protect their interests and therefore
depend upon the Public Defender Service to act
as their advocates. At the same
time, the policies that the office adopts will inevitably shape the ability of
individual lawyers
to protect the interests of particular clients.
Given
these realities, Chief Public Defenders are faced with a host of difficult
ethical problems. Should the office require individual
defenders to take
consistent positions on specific legal questions or police practices in order to
increase the office’s overall
chances of “winning” on these
issues even though the contrary view might benefit some individual clients?
Should the
office seek better relations with prosecutors and judges in the hope
that such alliances might improve the office’s chances
of receiving
additional funding from the legislature even though the price of heightened
cooperation might be less zealous representation
by individual defenders,
particularly in high profile cases? Should the office lobby against law
enforcement initiatives –
for example, those aimed at curbing domestic
violence – on the ground that such policies will disadvantage potential
future
clients even though these same measures may help some battered women
avoid becoming clients of the office by removing the need for
them to take the
law into their own hands to protect themselves from their batterers?
These
and other similar questions are the daily reality of the women and men who
administer America’s public defender organisations.
Yet, with a few
notable exceptions, the academy has produced almost no scholarship that can help
these beleaguered individuals make
these wrenching choices. Indeed, one can make
a strong case that the academy has actually made things worse. Law schools
continue
to turn out potential public defenders committed to an individualistic,
even anti-authoritarian, vision of their role. As a result,
the academy has
actually made it less likely that the Chief Public Defenders of tomorrow will
recognise the full extent of the conflict
between their individual and
institutional roles, and once recognised, be able to convince their fellow
defenders that the institutional
role is legitimate and important.
The Public’s Experience: Whose Law is it Anyway?
Finally, the law school’s failure to study and
teach about the profession is an affront to the academy’s ethical
obligation
to the public. The main ethical responsibility of law schools, of
course, is neither to students nor to the profession. It is to
the citizens who
depend upon law, and therefore derivatively upon lawyers, to provide a fair,
coherent, and efficient framework within
which to live their lives. The recent
changes in legal institutions and practices have their most important impact not
on lawyers,
but on the public as a whole. By failing to study these changes in
any systematic way, we have deprived policy makers of the information
that they
need to determine how these developments might affect specific public values,
and how those that are important might be
regulated or controlled.
Consider
all of the talk about globalisation. It is impossible to have a substantive
discussion in almost any field without addressing
the world’s growing
interdependence. The legal academy has certainly not been immune to this
preoccupation. Quite the contrary.
Legal academics have been in the forefront of
the movement to promote the exportation of American law, legal institutions, and
even
the American model of legal practice. These projects, like those that came
out of the “law and development movement”
of the 1970s, are
typically justified on the ground that they will “modernise” the
legal infrastructure of developing
countries, thereby allowing them to
participate in the international economy. Increasingly, proponents supplement
this standard claim
with the nationalistic argument that exporting US law and
legal institutions is good for American business, professionals, and, hopefully,
consumers. What is rarely discussed, however, is whether this new legal
entrepreneurship will have any adverse affects on US legal
norms or democratic
values. Once we unpack what it might mean to “export” US law in a
particular area, however, the claim
that this process might have important
implications for our own polity seems far from frivolous.
For example, in
order to maximise the degree to which the law of a particular foreign
jurisdiction “harmonises” with American
law, some commentators
suggest that developing countries should adopt a particular US legal regime
“wholesale” as an
evolving system.32 Under
this approach, a country would not only adopt verbatim, for example, various US
statutes and regulations in the field of securities
law. It would also commit
ex ante to follow authoritative interpretations of these statutes and
regulations by the Securities and Exchange Commission or the Delaware
Supreme
Court.
What is less clear are the implications of giving the governments that
adopt these US legal norms a direct stake in the development
of American
securities law doctrine. The analogy to our recent experience with the Chinese
government’s efforts to influence
the 1996 presidential election, however,
suggest that globalising the reach of US law posses important risks to our
democratic framework.
If the allegations are true, the Chinese government
funneled substantial amounts of money to Democratic fundraisers in order to
ensure
the election of a president sympathetic to continuing China’s
status as a “most favoured” American trading partner.
Imagine,
therefore, the effect of giving a large number of foreign governments a direct
stake in how the Delaware Supreme Court or
the SEC decides American securities
law issues. Could these governments petition courts or regulators to intervene
in cases that
might affect their national interests? If they are denied the
right to participate directly, are they likely to resort to the kind
of
“indirect” participation that the Chinese allegedly employed to
protect their interests in American policy? Seen in
this light, exporting US law
“wholesale” to developing nations could have profound ethical
effects on our policies and
practices. And yet this aspect of the problem
– the problem that has to do with our public responsibilities –
remains
unstudied.
Each of these examples, I suggest, underscores the degree
to which students, practitioners, and the public are worse off because of
the
legal academy’s failure to study and teach about the profession. If the
concept of professionalism is to have a coherent
meaning to today’s
practitioners, it can neither be divorced from nor subsumed by the realities of
contemporary practice. Critics
of the attempt to give some transcendental
meaning to professional ethics are correct insofar as they point out that it is
impossible
either to generate a set of a historical criteria for determining
which occupations qualify as “professions” or to provide
a
meaningful account of the attitudes, dispositions, or normative commitments that
any given professional ought to hold on the basis
of the abstract relationship
between professionals and those they serve. Whatever may be said of ethics in
general, professional
ethics must be designed to serve specific societal
needs.33 As such, it cannot be separated from the
social, economic, and political contexts in which these needs arise and through
which they
must be met.
This does not mean, however, that we ought to confine
our understanding of professional ethics to those norms and practices that have
traditionally been the province of a single profession such as law. As David
Luban and others persuasively argue, professional norms
must always be justified
in terms of some more general set of moral criteria.34
One important element of this inquiry is how the normative claims of the legal
profession compare with those of other actors in society
who are confronted with
similar problems. Those who occupy social roles that have traditionally been
thought of as professions provide
one obvious source (though by no means the
only source) for such comparisons. Moreover, given the complexity of modern
social interactions
and the breakdown of many traditional barriers to
inter-professional cooperation and competition, members of different professions
are increasingly likely to interact with each other in a variety of contexts. It
is therefore critically important that these actors
learn to understand one
another and not to make demands that subvert one another’s legitimate
ethical practices.
This comparative approach, however, must not conflate
professional ethics with personal ethics. Although common morality stands as
the
ultimate check on any assertion of professional ethics (and on the value of any
cross-professional comparisons), it does not
define the normative stance of
professionals. Lawyers are more than ordinary citizens; they have been given a
monopoly by the state
to occupy a position of trust both with respect to the
interests of their clients and the public purposes of the legal framework.
These
unique responsibilities must be taken into account in defining a lawyer’s
professional obligations, even as we recognise
that these obligations must
account for the fact that lawyers are also individuals who are morally
responsible for their own actions.
Finally, no attempt to provide a
meaningful account of professional ethics can ignore the actual conduct of
professionals. Without
some attention to practice, professional ideals can
easily degenerate into legitimation.35 Nor is it always
appropriate to label the misdeeds of particular lawyers as individual deviance
rather than as failings of the general
ideals or practices. Certain officially
sanctioned ideals or institutional arrangements make it more likely that
individuals will
transgress stated norms. More importantly, the substantive
content that an individual practitioner gives to any ethical norm will
inevitably be shaped by the institutional context in which the norm is developed
and applied.36 Failure to pay attention to how these
institutional structures shape lawyer conduct can both produce undesirable
ethical norms as
well as frustrate attempts to increase compliance with
desirable ones.37
These observations have both
theoretical and pedagogical significance for any attempt to create a new
understanding of professional
ethics. At the theoretical level, the new model
must embrace the prevalent, but nevertheless often neglected, truth that law is
a
practice that takes place in varying discrete institutional contexts. As a
result, the goal of professional ethics instruction is
to help students develop
the skills, dispositions, and commitments that will allow them to navigate these
complex arrangements in
a manner that best promotes society’s interest in
the social goods produced by lawyers. While formal codes of conduct can
sometimes
be a useful guide, developing those traits of character that are
particularly suited to the lawyer’s role is at the core of
what we ought
to mean by professional ethics.38
Given these
theoretical commitments, the pedagogy of a course designed to explore the
contemporary meaning of professionalism must
offer students both a window on
actual professional practice and a vantage point to discuss and evaluate these
practices from a critical
distance. As David Luban and Michael Millemann argue,
the kind of ethical judgment lawyers most need to cultivate is best taught
through “trial and error and by
imitation.”39 Observing others, although not a
perfect substitute for individual effort, can provide valuable insight and
encourage the development
of both empathy and critical
judgment.
Cross-professional exchanges further these goals. When students
observe professionals in other fields coping with issues that are
present in the
students’ own discipline, they often see these problems in a new light.
Not only must they consider, for example,
the doctor’s justification for
her approach to informed consent or patient confidentiality, but they must also
ask whether
these justifications are persuasive in their own disciplines. Even
this level of comparison, however, may fall short of fully addressing
the
problem of professional insularity. The very features that make the two groups
similar may obscure the degree to which each subscribes
to norms that unduly
protect their respective professional prerogatives. Therefore, a course in
professionalism must ultimately infuse
the study of particular professional
practices with normative perspectives from disciplines such as philosophy,
sociology, psychology,
and political science that stand outside the traditional
discourse of professionalism.
III. THE COURSE
In 1995, Dr Emanuel and I attempted to design and teach a course that was
true to the theoretical and pedagogical commitments outlined
above. Three
principles guided our decisions about the content and methodology of Ethical
Dilemmas in Clinical Practice: Physicians
and Lawyers in Dialogue. First, we
wanted to create a course that would speak directly to the meaning of
professionalism. We therefore
avoided many of the usual topics covered in
courses that combine elements of law and medicine such as medical malpractice,
hospital
law, or the admissibility of medical
testimony.40 Instead, we focused on issues that
presented concerns central to the self-conception of each profession.
Second,
we wanted the course to be interdisciplinary in the fullest sense of the term.
Since the course was open to students from
both the law and medical schools, it
had to be taught during the law school’s intensive January term because
this was the only
time that the schedules of the two schools
overlapped.41 We also taught half of the classes in
each school and included an equal number of academics and practitioners from
both fields as
guest lecturers. The course also featured lecturers trained in
philosophy, political theory, sociology, and economics.
Third, we were
committed to exploring the connection between norms and practices. We therefore
limited enrollment to students who
had some clinical experience (third- and
fourth-year medical students and second- and third-year law students with either
summer
or extra-curricular clinical experience). In addition, every student was
required to make a series of site visits outside of their
own field: The law
students spent time in a hospital emergency room, a neonatal or cardiopulmonary
intensive care unit, and an internist’s
office; the medical students went
to criminal court, a legal aid office, and landlord-tenant
court.42 Finally, each student participated in three
role-playing exercises: drafting a model statute on the definition of death; a
moot court
trial of a medical malpractice action; and a simulated meeting of a
hospital ethics committee.
We divided the course into four sections, each
running for approximately one week. The first week consisted of a four-part
examination
of the core elements of professionalism. In the first session, Dr
Emanuel and I each presented brief overviews of the two professions,
including
organisational structures, demographics, and codes of ethics. The second
session, conducted by Dr Stockle, an internist
at Massachusetts General
Hospital, and Professor Robert Gordon of Yale Law School, examined the two
relationships at the heart of
professional practice: the doctor/patient-lawyer/
client relationship and collegial relations among doctors and lawyers. The next
session featured Dr Arnold Relman, former editor-in-chief of the New England
Journal of Medicine, and Professor Dennis Thompson,
Director of the University
Programme in Ethics and the Professions, discussing institutional ethics with a
particular emphasis on
conflicts of interest. In the fourth session, Dr Cyrus
Hopkins of Harvard Medical School and I examined methods of reasoning, including
ethical reasoning, in law and medicine. The majority of site visits were also
scheduled for this first week.43
In the second week,
we turned our attention to specific issues surrounding the allocation of
decision-making authority between the
two groups of professionals and those they
purport to serve. The centerpiece of this week was a drafting exercise of a
model statute
on the definition of death. In the first session, Dr Alan Weisbard
of the University of Wisconsin Law and Medical Schools gave students
an overview
of the issues surrounding the definition of death, including medical and legal
problems with the concept of “brain
death” and other traditional
formulations. He also discussed the effect of any potential standard on issues
such as organ donation,
religious freedom, and personal autonomy. After this
introduction, the students were divided into two teams for the purpose of
drafting
a model statute. The goal of this exercise was to encourage students to
reflect on the ethical issues confronting doctors in this
area and to examine
how lawyers (in their capacities as drafters and interpreters of legislation)
ought to take the medical profession’s
concerns into account. While the
students were drafting, Dr Emanuel discussed patient self-determination in the
context of advance
directives concerning life-prolonging care. Dr Emanuel was
joined in this session by Professor Susan Koniak of Boston University
Law
School. Professor Koniak examined client self-determination in the legal
context. The next session, conducted by Professors Robert
Truog, a neonatologist
at Children’s Hospital in Boston, and Elizabeth Bartholet of Harvard Law
School addressed the unique
problems that arise when the patient or client is a
minor. Finally, Dr. Paul Appelbaum and Harvard Law Professor Lucy White
discussed
the practical and ethical dilemmas involved in obtaining informed
consent in law and medicine. At the conclusion of the week, the
student teams
presented and defended their model statutes.
The third week was devoted to
examining risk and research in professional practice. In the first session on
professional risks, Dr
Lynn Peterson, Director of the Harvard Medical School
Division of Medical Ethics and a practising surgeon, discussed the ethics of
treating patients with HIV and other contagious diseases. Harvey Silverglade, a
long-time criminal defense and civil rights lawyer
in Boston, discussed the
risks associated with representing an unpopular defendant against the
government. The second session was
devoted to the ethical problems associated
with research both by and about professionals. Doctors Kenneth Ryan and Allan
Brandt of
Harvard Medical School and History of Science Department,
respectively, examined the ethical implications of “research
integrity”
in human subject experimentation. Professor Robert Nelson of
the American Bar Foundation and Northwestern University Sociology Department
discussed the difficulty of obtaining reliable empirical data on lawyers and the
implications of this lack of know- ledge for debates
about professional
practice. We then turned our attention to the academy, where Dean Federman of
the Harvard Medical School and Michael
Meltsner, the former dean of Northeastern
Law School, discussed the differing approaches to professional education in the
two fields.
Dr Susan Pauker of Harvard Medical School and Professor Dorothy
Roberts of Rutgers University School of Law completed the week by
examining how
technologies like genetic screening will present both doctors and lawyers with
new and difficult ethical problems.
During this week, the students also
prepared and participated in a moot court exercise. The case, which was supplied
by the National
Institute for Trial Advocacy, involved a lawsuit by a patient
against her former doctor for damages allegedly stemming from unsuccessful
breast reconstruction surgery.44 In keeping with our
general orientation, the purpose of the exercise was not to teach the students
about the law of medical malpractice.
Instead, our goal was to open a lens on
each profession’s views about resolving disputes over the delivery of
professional
services through adversarial adjudication. Thus, we wanted the law
students to experience the anger and frustration that doctors
feel when their
professional practices are evaluated by lay juries. Similarly, we hoped that
medical students would reflect on why
lawyers believe the adversarial nature of
trials justifies legal tactics (for example, discrediting witnesses) that appear
to obscure
the truth. To that end, medical students were assigned to play all of
the major legal roles, while law students filled the medical
positions. At the
conclusion of the trial, students were debriefed about the ethical issues they
perceived both in their roles and
in the process as a whole.
In the final
week, we covered two general issues that have become increasingly important to
professionals in both medicine and law:
causation and government regulation.
With respect to the first issue, Dr Leon Eisenberg of Harvard Medical School and
Professor David
Rosenberg of Harvard Law School examined how expanding notions
of causation create difficult problems in both medicine and law. With
respect to
the second issue, Dr Ezekial Emanuel of Harvard Medical School and Professor
David Charny of Harvard Law School examined
how government in its role as both
provider of professional services (either through insurance schemes such as
Medicaid and Medicare
or through government-funded health clinics and legal aid
offices) and as regulator of professional conduct is redefining the norms
and
practices of both doctors and lawyers.
The bulk of this last week, however,
was devoted to preparing for and conducting a simulated meeting of a hospital
ethics committee.
The scenario for the exercise involved a doctor who reported
false information to a patient’s insurance company in order to
get the
insurer to pay for genetic screening that the doctor believes is in the
patient’s best interest but to which the patient
is admittedly not
entitled under the existing guidelines agreed upon between the hospital and the
insurance company. The students
were assigned roles both on the committee
(including a hospital administrator, the general counsel, the chief of surgery,
and an
outside ethics expert) and as witnesses on behalf of the doctor, the
hospital, and the insurance company. Wherever possible, students
were assigned
to roles outside of their professional sphere. The rest, however, was up to the
students, who designed both the committee’s
procedural and decisional
rules as well as the substance of the views they would espouse in their various
roles. Once again, our
goal was to teach students about the realities of
professional decision-making as opposed to either the medical or legal
implications
of genetic screening. As with the moot court experience, students
were given an opportunity to discuss their reactions to the exercise,
as well as
to the class as a whole, at the conclusion of the hearing.
By any measure,
the course was extremely successful. Students from both schools gave the course
the highest rating on their evaluations,
with many stating it was the best
course they had taken in professional school. These ratings are especially
significant in light
of the initial skepticism, particularly on the part of
medical students, about the value of a course of this
kind.45 Moreover, although students received only two
credits, the workload was as onerous and intense as any of the most demanding
classes
in either school.
More importantly, the combination of observation,
role-playing, and reflection appears to have given students important, concrete
insight into what it means to be a professional in both law and medicine. The
site visits and the role-playing exercises alerted
students to the difficulties
faced by professionals in both disciplines. From the simple fact of having to be
in the hospital by
6:00 am to the realisation that an internist may have less
than ten minutes to listen to a patient’s complaints and reach a
preliminary diagnosis, the law students came away with a new understanding of
the difficulty of getting informed consent or encouraging
patient
self-determination in the pressure-filled world of contemporary medicine. For
their part, the medical students stated that
their courtroom visits and the
experience of “actually” representing a client in the various
role-playing exercises allowed
them to see clearly the moral tension inherent in
the lawyer’s role and how easy it is to be swept up in the grip of
adversarial
zeal. Indeed, in the statutory drafting exercise, all of the
students became so engaged in their roles that in the interest of getting
the
students to continue to work together, Dr Emanuel and I gently reminded them
that the process was not real.
Similarly, there were many instances in which
the comparative focus caused both students and faculty (including Dr Emanuel and
me)
to reevaluate our own professional ideals and practices. For example, with
respect to conflicts of interest, Dr Relman conceded that
the medical profession
could learn a great deal from the way lawyers identify and address such
conflicts. On the other hand, lawyers
are only beginning to think about the
ethical implications of the kind of institutional structures, government
regulation, and third-
party payment schemes that have confronted physicians for
more than a decade.
Most fundamentally, the course produced some tantalising
insights about the general meaning of professionalism. Not surprisingly,
these
insights relate to character and judgment. Whether the discussion was about how
lawyers and doctors “diagnose”
problems and design potential
solutions, or about the reasons why some professionals are prepared to risk
their physical safety,
defy authority, or genuinely listen to their
clients’ or patients’ needs while others are not, lecturers from
both professions
argued that rules, procedures, and sanctions could never fully
define, let alone produce, proper ethical conduct. Judgment and character,
according to the nearly unanimous view of all participants, hold the key to
understanding the proper meaning of “professional”
in professional
ethics.
The course also offered some tentative clues about how professional
character and judgment are shaped and constrained by institutional
forces both
within the academy and in the world of practice. From the feel of the classrooms
to the lecturing styles of faculty members,
professional education shapes
lawyers and doctors in subtly different ways. Notwithstanding the apparent
formality of the law school
classroom, lawyers are taught to argue and challenge
authority from the moment they arrive. Moreover, most law school teachers know
relatively little, either from their own experience or from sustained study,
about legal ethics. Nor does legal education offer any
formal avenue for law
students to form mentoring relationships with lawyers who have this kind of
experience or knowledge.
Medical students, on the other hand, spend the first
two years of their education passively absorbing large quantities of data and
immediately enter into complex hierarchical relationships in which they start at
the bottom with the expectation that they will eventually
work their way to the
top. At the same time, these relationships offer medical students an opportunity
for mentoring and a real immersion
in the medical profession’s ideals
unmediated (or at least only partly mediated) by the profit motivations that
attend mentoring
relationships in law to the extent that they exist at
all.
Each of these respective educational tracks creates unique problems for
developing professional character and judgment. Given the
relative absence of
professional role models and the constant emphasis on being able to argue the
opposite side of every proposition,
it is not surprising that law students often
develop a kind of cynicism about professional norms captured by the third model
of professional
ethics. The medical students, on the other hand, were far less
cynical about their profession’s ethical traditions. In their
case, the
problem was getting them to examine these traditions critically. As the course
progressed, however, these two positions
began to converge as each group of
students was placed in the position of both justifying and critiquing its own
and the other group’s
professional practices.
Once these new
professionals enter the working world, the institutional structures in which
they practice are also likely to produce
their own effects. Dr Truog’s and
Professor Bartholet’s discussion of the unique ethical problems that arise
when the
patient or client is a minor nicely illustrates this point. Dr Truog
described a case involving a clinical trial of a potentially
life-saving therapy
for critically ill infants.46 According to Dr Truog,
the physicians involved in the trial probably would have refused to participate
if the terms of the experiment
had required them to treat one of their own
patients with a therapy they believed less effective than an available
alternative. These
same doctors, however, readily consented to a procedure for
obtaining randomised consent that consigned some of these same critically
ill
babies to the less effective therapy without informing their guardians of the
potentially more effective alternative. As Truog
argues, the institutional
structure of the trial, including the fact that the babies who were not offered
the potentially more effective
therapy were sent to a different floor of the
hospital where they were treated by a different group of doctors (from different
specialties),
helped obscure the ethical problems attending the consent
procedures.
Similarly, Professor Bartholet in her discussion about how the
legal system fails to protect the rights of children in child custody
and
adoption cases argued that the institutional framework in which these cases are
decided often blinds lawyers and judges to the
ethical issues at stake. Thus,
given their role as “zealous advocates,” lawyers who represent
custodial parents are frequently
either unable or unwilling to recognise when
their client may be unfit to care for a child. At the same time, the judge who
has the
responsibility for deciding what is in the “best interest of the
child” must make this determination based on information
supplied by a
social welfare system that often has institutional interests that cloud the
judgment of participants about what is
best for the child.
These and other
insights that emerged throughout the course began to open a window on the
complex process by which professional norms
are developed and learned. The task
for the future is to develop curricular innovations that will allow us to
continue investigating
this crucial process.
IV. CONCLUSION: FACING UP TO THE OBSTACLES
The Programme on the Legal Profession remains committed to refining and
expanding our interdisciplinary approach to teaching professional
ethics. The
road, however, has not been easy. Despite the success of “Ethical Dilemmas
in Clinical Practice,” the course
has never been repeated. I close by
examining briefly some of the obstacles to developing theoretically rich and
empirically grounded
courses on professionalism.
The first and most obvious
is money. Assembling this talented array of academics and practitioners and
providing students with access
to all of the opportunities for site visits and
simulated instruction was expensive. In 1995, these expenses were defrayed by a
generous
grant from the WM Keck Foundation. Unfortunately, that grant was not
renewed when the Keck Foundation decided to stop funding projects
in legal
ethics.
Even if courses of this kind are adequately funded, the logistical
problems are almost enough to discourage anyone from going forward.
Chief among
these is the calendar. As I indicated above, January is the only month where the
law and medical schools’ calendars
overlap. For a variety of reasons, this
time is less than ideal for all concerned. Although we are investigating
alternatives, the
difficulty of finding a time for an interdisciplinary course
that is even minimally convenient to all interested parties is daunting
in the
extreme.
Finally, and most importantly, there is the problem of knowledge.
Specifically, we know far too little about the institutions and
practices of all
professionals, including lawyers. Courses such as this one depend for their
success on painting an accurate portrait
of the real ethical problems that
confront practitioners in their day-to-day lives. We simply do not know enough
about the subtle,
but crucial differences among institutions and practice
settings to understand how these forces influence the development of
professional
judgment and other valuable traits of character. What is needed, as
I have argued above, is an interdisciplinary research programme
that would
complement the new approach to teaching about professionalism exemplified by
this course.47
A full proposal for an
interdisciplinary research agenda on the profession would take me far beyond the
confines of this essay. Moreover,
the more fulsome the plan, the more schools
are likely to claim that they don’t have the resources to implement such
an ambitious
agenda. I therefore offer three very simple proposals, each of
which could be adopted by any school committed to making progress
on the issues
I have addressed. Adopting these proposals, I suggest, would go a long way
toward bridging the ethical gap outlined
in Part II.
Hire the Right Team
The first step is to hire faculty members who have a
serious interest in, and experience with, legal practice. The point sounds
obvious
because it is. Law schools are faculty driven institutions. If a school
does not have faculty members with a strong interest in writing
and teaching
about legal practice, no amount of exhortation by deans or alumni will produce
the work. Conversely, if a school has
faculty members who are committed to these
issues – particularly tenured faculty – then these individuals will
create
pressure on the institution and its alumni to provide the needed support.
Not so long ago, hiring faculty members with substantial practice experience
was fairly common. In my experience, this is no longer
the case at most schools.
There is an important reason for this change. Law schools now value the
production of academic scholarship
much more highly than they did in the past. I
support this development. What I do not support is the unstated assumption that
lawyers
who have spent more than a few years in practice cannot become
productive and influential scholars. This assumption is particularly
perverse
once we recognise that the absence of faculty with a serious interest in, and
understanding of, legal practice is one of
the primary reasons why the academy
has failed in its ethical obligation to study and teach about the profession.
Successful scholars
in this area must be able to step back from the normative
commitments, practices, and habits of mind that practitioner often take
for
granted. Unless scholars understand these frames of references, however,
they are unlikely to produce work that speaks to the real problems that the
profession and those
it serves confront. While it is not true that only those
who have spent significant time in the trenches of actual practice will
have
this kind of understanding, the common, if largely unarticulated, claim that
those who have earned their understanding through
practice will be incapable of
using it effectively is equally false.
Nor should schools confine their
hiring in this area to experienced practitioners. Some of the best empirical
work on the profession
has been done by scholars without substantial practice
experience, some of whom are not lawyers at all. Sociologists, anthropologists,
organisational behaviourists, and institutional economists all have made
important contributions to understanding particular legal
organisations and
practices.48 The external perspective that these
scholars bring to bear on familiar legal questions ranging from the
organisational structure
of large law firms to conflicts of interest provide an
important balance to the internal perspective articulated by former
practitioners.
Law schools interested in expanding their capacity to do
sophisticated quantitative and qualitative work on the profession should
look
for candidates who can bring some of these additional methodologies and
perspectives to their work.
Start Small
Nationwide empirical projects on professional norms
and practices are both daunting and expensive. There is no reason, however, why
a school cannot start closing the knowledge gap by setting its sights on
understanding a discrete organisation or practice. Both
business and public
policy schools routinely create in-depth case studies of companies, agencies,
and individuals. Producing these
studies serves a dual purpose for these
institutions. First, the studies themselves provide an excellent vehicle for
teaching students
about the many factors that influence whether a given business
or policy decision is likely to be successful. Second, the act of
creating the
studies keeps faculty members in these schools connected to the world of
practice in the areas in which they teach.
This knowledge, in turn, enhances
both their teaching and their scholarship.
With only a few notable
exceptions,49 law faculty have eschewed this approach.
Instead, law professors typically confine their use of the “case
method” to
teaching judicial opinions, primarily from appellate courts.
These opinions, however, present only an abbreviated, abstract, and
highly
stylised account of the disputes they resolve. Even when cases focus directly on
lawyers or legal practice (which they rarely
do), the opinion typically provides
little of the background information and institutional context that gave rise to
the dispute
and that ultimately will affect how similarly situated individuals
resolve future disputes. In-depth case studies like those taught
in business and
public policy schools would go a long way toward helping law students learn to
identify and resolve the ethical,
strategic, career, and policy issues that they
will face as practitioners. At the same time, conducting the interviews and
on-sight
investigations necessary to prepare these studies would help law
faculty acquire the knowledge and skills that they will need to
become effective
scholars and teachers about the profession.
Charity Begins at Home
Finally, every law school can begin to study its own
graduates. Law schools collect an enormous amount of information on their
students
and alumni. Yet, virtually none of this data is systematically stored,
analysed, and made available to students, faculty, and alumni.
Consequently,
students know almost nothing about what their careers are likely to look like
five, ten, or fifteen years after graduation.
Nor do alumni have more than a
general idea about whether the factors that they use for hiring or promotion
correlate strongly with
future success as a lawyer. And administrators and
professors can only guess about whether they are providing their graduates with
the knowledge, skills, and dispositions that they will need to become competent
and ethical practitioners. A systematic longitudinal
study of alumni careers
would go a long way toward answering all of these questions.
In addition,
schools can multiply the benefits that they receive from studying their own
graduates by linking their efforts to regional
and national projects. For
example, a school wishing to determine whether its programme for teaching legal
ethics is more or less
effective than alternative approaches might jointly
sponsor a comparative study with a school that utilises a different approach.50
Similarly, the National Association of Law Placement has recently received a
grant from the Open Society Foundation to conduct a
nationwide ten-year
longitudinal study of law graduates. Schools wishing to understand how their
graduates compare with those of
other schools can coordinate their own research
efforts with the NALP project.
By hiring faculty members committed to
studying the profession, creating in-depth case studies of legal organisations
and practices,
and beginning to study our own graduates, law schools could go a
long way toward answering some of the fundamental questions about
legal practice
that currently bedevil students, practitioners, and citizens alike. This
knowledge would then lay the foundation for
future courses of the kind described
above. Such courses, I suggest, are a necessary step in building a normative
understanding of
professionalism for lawyers in the twenty-first century. The
goal is not to replace traditional ethics courses, although some of
the
methodologies and examples we developed could and should be incorporated into
these courses. Nor are these courses a substitute
for the kind of direct
engagement with ethical problems that students gain in their clinical courses.
Nevertheless, if we expect
our students to value “professional
ethics,” we must begin to provide them with an account of lawyer
professionalism
that neither reifies existing practices nor devolves into their
own personal moral commitments. Teaching professional ethics through
an
inter-disciplinary approach provides our best opportunity to forge this new
understanding.
* Kirkland and Ellis Professor of Law and Director
of the Programme on the Legal Profession, Harvard Law School. Parts of this
essay
were published previously in David B Wilkins, The Professional
Responsibility of Professional Schools to Study and Teach About the
Profession
(1999) 49 J of Legal Educ 76 and David B Wilkins, Redefining the
“Professional” in Professional Ethics: An Interdisciplinary Approach
to Teaching
Professionalism (1995) 58 Law & Contemporary
Problems 241.
©2001. (2001) 12 Legal Educ Rev 47.
1 See Amy Gutmann, Can Virtue be Taught to Lawyers? (1993) 45 Stanford Law Rev 1759 (cataloguing, but ultimately rejecting, the major criticisms to teaching lawyers professional virtue).
2 See Harry T Edwards, The Growing Disjunction Between Legal Education and the Legal Profession (1992) 91 Michigan Law Rev 34.
3 This critique typically comes in two forms. The first, exemplified by the American Bar Association’s McCrate Report, argues that law schools are not teaching students the skills they need to be competent and ethical practitioners. See American Bar Association, Committee on Legal Education, Legal Education and Professional Development: An Educational Continuum: Report of the Task Force on Law Schools and the Profession – Narrowing the Gap (the “MacCrate Report”) (Chicago: American Bar Association, Section of Legal Education and Admissions to the Bar, 1992). The second, most often associated with Judge Harry Edwards and Dean Anthony Kronman, complains that legal scholarship is too theoretical and pays insufficient attention to the doctrinal questions faced by real lawyers and judges. See Edwards, supra note 2; Anthony Kronman, The Lost Lawyer: Failing Ideals of the Legal Profession (Cambridge: Belknap Press of Harvard University Press, 1993). See also Mary Ann Glendon, A Nation under Lawyers: How the Crisis in the Legal Profession Transformed American Society (New York: Farrar, Straus & Giroux, 1994).
4 See Paul Camenisch, Grounding Professional Ethics In A Pluralistic Society (New York: Haven, 1983) (discussing these three meanings). For other discussions about the multiple and often contradictory meanings given to professionalism, see David Trubek & Robert Nelson Arenas of Professionalism, in Robert L Nelson, David M Trubek & Rayman L Solomon (eds), Ideals/Lawyers Practices: Transformations in The American Legal Profession (Ithaca: Cornell University Press, 1992) (“Lawyers Ideals”).
5 Camenisch, supra note 4, at 7.
6 Talcott Parsons is probably the most influential exponent of this view. See, eg Talcott Parsons Professions, in David L Sills (ed) International Encyclopedia of The Social Sciences, vol 12, 536 (1968). The most prolific contemporary advocate is Eliot Freidson. See Eliot Freidson, Professionalism as Model and Ideology, in Lawyers Ideals, supra note 4, at 215-29; see also Camenisch, supra note 4.
7 See, eg Kronman, supra note 3; Monroe Freedman, Professional Responsibility of the Criminal Defense Lawyer: The Three Hardest Questions (1966) 64 Michigan Law Rev 1469; Stephen Pepper, The Lawyer’s Amoral Ethical Role: A Defense, A Problem, and Some Possibilities (1986) Am B Found Res J 613.
8 See, eg Ralph Nader & Mark Green, Verdicts on Lawyers (New York: Crowell, 1976); Richard Abel, Why Does the American Bar Association Promulgate Ethical Rules? (1981) 59 Texas Law Rev 639.
9 See, example Deborah L. Rhode, Ethical Perspectives on Legal Practice (1985) 37 Stanford Law Rev 589.
10 See, eg Alan Goldman, The Moral Foundations of Professional Ethics (Totowa: Rowman and Littlefield, 1980);
11 See Magali Sarfatti Larson, The Rise Of Professionalism: A Sociological Analysis (Berkeley: University of California Press, 1977).
12 See David Luban, Lawyers and Justice: An Ethical Study (Princeton: Princeton University Press, 1988).
13 See Deborah L Rhode, Ethics by the Pervasive Method (1992) 42 J of Leg Educ 31 (explaining and critiquing this standard orientation).
14 Model Code of Professional Responsibility (1981).
15 Model Rules of Professional Conduct (1992).
16 See William Simon, Ethical Discretion in Lawyering (1988) 101 Harvard Law Rev 1083, 1113-19 (1988) (criticising the fact that ethical issues are frequently framed as a contest between “law” and “morality”).
17 See, example Robert Granfield, Making Elite Lawyers: Visions of Law at Harvard and Beyond (New York: Routledge, 1992); Roger C Grampton, The Ordinary Religion of the Law School Curriculum (1978) 29 J of Leg Educ 247.
18 See David B Wilkins, Legal Realism for Lawyers (1991) 104 Harvard Law Rev 468 (1991).
19 See Kronman, supra note 3 (arguing that “law and economics” and “critical legal studies” reinforce a skeptical attitude that undermines the legal profession’s traditional values).
20 See sources cited in note 3, supra.
21 See, eg MBE Smith, Should Lawyers Listen to Philosophers About Legal Ethics (1990) 9 Law & Philosophy 67 (arguing that the answer is clearly no). Ironically, Smith himself is a philosopher who became a practicing lawyer later in life.
22 I explore this problem at some length elsewhere. See David B Wilkins, Everyday Practice is the Troubling Case: Confronting Context in Legal Ethics, in A Sarat (ed) Everyday Practice and Trouble Cases (Evanston: Northwestern University Press, American Bar Foundation, 1998).
23 See, eg the MacCrate Report, supra note 3 (criticising law schools for failing to prepare students for the demands of legal practice).
24 See ABA Committee on Professionalism, “In the Spirit of Public Service:” A Blueprint for the Rekindling of Lawyer Professionalism (Chicago: American Bar Association Commission on Professionalism, 1986). For a critique of this report on the ground that it failed to discuss the contemporary realities of legal practice, see Trubek & Nelson, supra note 4, at 192-96.
25 See, eg Rhode, supra note 13.
26 See Marc Galanter & Thomas Palay, Tournament of Lawyers: The Transformation of the Big Law Firm 68-76 (Chicago: University of Chicago Press, 1991) (discussing the New Information Order).
27 Mungin’s story is chronicled in Paul M Barrett, The Good Black: A True Story of Race in America (New York: Dutton, 1998). For my own take on Mungin’s case, see David B Wilkins, On Being Good and Black (1999) 112 Harvard Law Rev 1924.
28 See Granfield, supra note 17 (describing Harvard Law School as indoctrinating a feeling of “collective eminence” among its students).
29 See Sanford Levinson, Identifying the Jewish Lawyer: Reflections on the Construction of Professional Identity (1993) 14 Cardozo Law Rev 1577, 1578-79 (defining “bleached out professionalism” as creating “purely fungible lawyers” in which “such apparent aspects of one’s identity as one’s race, gender, religion, or ethnic background would become irrelevant to defining one’s capacities as a lawyer”). For a discussion of the importance of bleached out professionalism in the prevailing ideology of legal practice, see David B Wilkins, Identities and Roles: Race, Recognition, and Professional Responsibility (1998) 57 Md Law Rev 1502, 1511-1517.
30 See David B Wilkins, Two Paths to the Mountaintop? The Role of Legal Education in Shaping the Values of Black Corporate Lawyers (1993) 45 Stanford Law Rev 1981.
31 Much of my thinking about this question has been informed by reading two excellent articles by Kim Taylor-Thompson on the institutional role of public defenders. See Kim Taylor-Thompson, Effective Assistance: Reconceiving the Role of the Chief Public Defender (unpublished manuscript on file with the author); Kim Taylor-Thompson, Individual Actor v. Institutional Player: Alternating Visions of the Public Defender (1996) 84 Geo Law J 2419. It is not surprising that Taylor-Thompson is one of the few scholars to discuss the institutional ramifications of public defense practice. Before going into teaching, Taylor-Thompson was the Chief Public Defender for the nation’s premier public defender service. As I argue below, the fact that she is writing about these issues underscores the need for hiring faculty with both an interest in, and an understanding of, the institutional dimensions of legal practice.
32 For an excellent discussion of this approach, see Howell H Jackson, Selective Incorporation of Foreign Legal Systems to Promote Nepal as an International Financial Center, in Christopher McCrudden (ed), Regulation and Deregulation: Policy and Practice in the Utilities and Financial Services Industries (Oxford: Clarendon Press/Oxford; New York: Oxford University Press, 1999).
33 See Deborah L. Rhode, Why the ABA Bothers? A Functional Perspective on Professional Codes (1981) 59 Texas Law Rev 689, 690 (1981) (“from a societal perspective, ... professional codes are desirable only insofar as they serve common goals to a greater extent than [available alternatives]”). I explore this issue as well as the general relationship between personal and professional ethics in David B Wilkins, Practical Wisdom for Practicing Lawyers: Separating Ideals from Ideology in Legal Ethics (1994) 108 Harvard Law Rev 458, 468-72.
34 See Luban, supra note 12.
35 I make this point in relationship to Anthony Kronman’s attempt to define an ideal for lawyers independent of actual practice. See Wilkins, supra note 33, at 463-68; see also Trubek & Nelson, supra note 4, at 181-82.
36 See Trubek & Nelson, supra note 2, at 185-88 (discussing arenas of social construction). Trubek and Nelson’s account builds on Jerome Carlin’s pioneering study in which he determined that a lawyer’s propensity to violate certain ethical norms varied according to the “ethical climate” in the firm, which was itself a function of the type of practice setting. See Jerome Carlin, Lawyer’s Ethics (New York: Russell Sage Foundation, 1966).
37 I have argued for this proposition extensively. See David B. Wilkins, Making Context Count: Regulating Lawyers after Kaye Scholer (1993) 66 S Cal Law Rev 1145; David B Wilkins, Who Should Regulate Lawyers? (1992) 105 Harvard Law Rev 799.
38 This understanding of “character” is distinct from the artificial “professional self” that traditional theorists posit as an antidote for unethical conduct in that it assumes that a lawyer’s character, and hence his or her sense of what is both ethical and possible, is largely a function of the lawyer’s concrete experiences in the practice of law. See Trubek & Nelson, supra note 4, at 182-85 (describing and critiquing the idea of a separate “professional self”). For a thoughtful discussion of the relationship between professional codes and character, see Heidi Li Feldman, Codes and Virtues: Can Good Lawyers Be Good Ethical Deliberators? (1996) 69 S Cal Law Rev 885.
39 David Luban & Michael Millemann, Can Judgment Be Taught? Ethics Teaching in Dark Times (1995) 9 Geo J Legal Ethics 31.
40 As I explain below, we did use a medical malpractice case for our moot court exercise.
41 During the month of January, Harvard law students take one course that meets every weekday for two or three hours (the equivalent of a two- or three-credit course meeting once a week for 15 weeks). At all other times, law school courses run for either a semester or a year. After their first two years, medical students take all of their courses and clinical placements in one-month intervals.
42 A planned visit to a large corporate law firm was canceled due to scheduling problems.
43 Our intention was to have all the site visits completed by the end of the first week. This proved to be logistically impossible.
44 Michelle G Herman, King v Rogers: Case File (1st ed. 1986)(unreported case available from the National Institute for Trial Advocacy).
45 The fact that it was easier to convince law students than medical student to take the course is undoubtedly due in large measure to the students’ differing opportunity costs. In order to take the class, third-year medical students must either delay or give up one of their medical rotations while fourth-year students generally do not have to take classes at all by January. Law students, on the other hand, need only decide whether to take this course or some other intensive class during the month of January in both their second and third years.
46 For a full description of this problem, see Robert D. Truog, Randomised Controlled Trials: Lessons from ECMO (1992) 40 Clinical Rev 519.
47 See also Paul Brest, The Responsibility of Law Schools: Educating Lawyers as Counselors and Problem Solvers (1995) 58 Law and Contemporary Problems 5 (Summer/Autumn); Susan P Koniak & Geoffrey C Hazard, Jr, Paying Attention to the Signs (1995) 58 Law & Contemporary Problems 117 (Summer/Autumn).
48 See, eg Elizabeth Chambliss, Organizational Determinants of Large Firm Integration (1997) 46 Am U Law Rev 670 (sociology and law); Renee M. Landers, James B Rebitzer & Lowell J Taylor, Rat Race Redux: Adverse Selection in the Determination of Work Hours in Law Firms (1989) 86 Am Econ Rev 329 (law and institutional economics); Austin Sarat & William LF Felstiner, Law and Legal Consciousness: Law Talk in the Divorce Lawyer’s Office (1989) 98 Yale Law J 1663 (political science and law); Galanter & Palay, supra note 26 (law, sociology, and economics); Robert Nelson, Partners with Power: The Social Transformation of the Large Law Firm (Berkeley: University of California Press, 1988) (sociology and law); John Heinz & Edward Laumann, Chicago Lawyers: The Social Structure of the Bar (New York: Russell Sage Foundation; 1982) (law and sociology); Sally Engle Merry & Neal A Milner, The Possibility of Popular Justice: A Case Study of Community Mediation in the United States (Ann Arbor: University of Michigan Press, 1993) (law and anthropology).
49 The best examples of which I am aware are Philip B Heymann & Lance Liebman, The Social Responsibilities of Lawyers: Case Studies (Westbury: Foundation Press, 1988) and Michael Kelley, Lives of Lawyers (Ann Arbor: University of Michigan Press, 1993).
50 For an excellent example of a comparative study, see James E Moliterno, Professional Preparedness: A Comparative Study of Law Graduates’ Perceived Readiness for Professional Responsibility Issues (1995) 58 Law & Contemporary Problems 259.
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