![]() ![]() FOSTERING CIVILITY: A PROFESSIONAL OBLIGATION
Remarks by Judge Paul L. Friedman United States District Court for the District of Columbia American Bar Association Section of Public Contract Law Friday, March 13, 1998
What I want to focus on this afternoon is a matter that I believe all trial lawyers, litigators, those who practice before administrative agencies and boards, and judges and administrative law judges need urgently to focus on, the continuing decline of civility and professionalism in litigation and administrative proceedings. Although the "modern age" of the legal profession has witnessed progress in opening its doors wider to women and minorities and others who were previously excluded, this age has also opened its doors to the "Rambo litigator" which has spawned a generation of lawyers, too many of whom think they are more effective when they are more abrasive. I am here to tell you that neither my colleagues on the Bench nor I agree with that view. When it comes to issues of civility, professionalism and common courtesy, there has been an unfortunate sea change in the culture of the profession. We need to ask why it has happened and how it can be turned back. There is less civility in society generally today, less courtesy, fewer manners. In the political arena and in public discourse, the rhetoric is harsher and the decibels are higher, and they too frequently overshadow the substance of debates. Two years ago, during a debate over the budget on the Senate floor, Senator Robert Byrd said it eloquently:
Unfortunately, it often seems, the situation has gotten worse, not better. But trial lawyers and litigators -- like politicians -- should heed the words of Senator Byrd. "Hard- ball" litigation tactics, "scorched earth" strategies, and so-called "take no prisoners" litigators are in vogue. We see it in the courtroom and before boards of contract appeals and other administrative agencies -- where I believe judges and administrative law judges have an obligation to step in and say it is unacceptable; it will not be tolerated. We see it even more frequently in depositions, a forum in which there is no referee, no umpire, no judge to call a halt to the ad hominem attacks, the harassment, the abuse that too many lawyers today think is required in the service of their clients. But just as Senator Byrd said in a different context, civility, common courtesy and reasonableness should still be the hallmarks of the once noble profession we call the practice of law. Lawyers need to remind themselves and teach their juniors new to the profession that personal attacks, name-calling and personal invective are beyond the pale. How bad has the situation gotten at depositions? Let me give you just two examples. In a recent article, Judge Marvin Aspen quoted from a transcript of a deposition in Madison, Wisconsin. After a lawyer had requested that his adversary provide a copy of a document he wanted to use in questioning a witness, the following took place:
An even more infamous example, widely quoted in the press, was a deposition taken in Texas in connection with a Delaware securities case. The conduct of the lawyer in question was later described by the Supreme Court of Delaware as representing "an astonishing lack of professionalism and civility that . . . is . . . a lesson for the future -- a lesson of conduct not to be tolerated or repeated." FN3 The Court further suggested that this Texas lawyer would no longer be welcome in the courts of Delaware. The deposition went like this:
While these two depositions may be extreme examples, similar abusive conduct in discovery unfortunately is commonplace today. But these are not legitimate ways for a lawyer to act in pursuit of a client's interest. This kind of name-calling and abuse of the discovery process is not permissible just because it may not be an express violation of a state's Code of Professional Responsibility or Rules of Professional Conduct. You in the Bar, and we on the Bench, need to take steps now to reverse the trend or our profession will be held in even lower repute than it already is. We must ask ourselves whether we want lawyers to be viewed as rational, reasoned, analytic dispute-resolvers, or only as "hired guns," doing the bidding of their clients without regard to ethics, morality, independent judgment or common courtesy. Before going on the Bench, I chaired our Court's Civil Justice Reform Act Advisory Group, a committee appointed by the District Court and charged by Congress with studying the causes of delay and excessive cost in civil litigation in our Court. We interviewed all the judges and magistrate judges, sent surveys to 5,000 attorneys who had appeared in the District Court and studied data on backlogs and delay. We identified improper and abusive discovery practices as one of the principal causes of both delay and excessive costs. We took note of an increasing tendency for overbroad document production requests and objectionable deposition conduct that lengthens depositions, frustrates the successful completion of depositions and leads to satellite litigation to resolve discovery disputes or consider sanctions. We learned that discovery is often expensive, abusive and too broad for the needs of the particular case. We noted that incivility among lawyers, particularly at depositions, is on the rise. We recommended that the Court's Advisory Committee on Local Rules and the District of Columbia Bar should study and review the problem of deposition and discovery abuse and "consider ways of controlling misbehavior and eliminating conduct falling short of basic standards of civility." FN5 The United States Court of Appeals for the Seventh Circuit was the first Circuit to adopt civility standards for professional conduct after considering a study and recommendations by a committee of lawyers and judges chaired by Judge Aspen. The committee found the kind of abusive and unethical deposition conduct I just cited, as well as examples of bad faith arguments, misrepresentations of fact and law, lack of candor and some cases of outright lying both in and out of court. FN6 The standards offered by the Seventh Circuit seek to balance the vigorous representation of clients with the lawyer's obligations as an officer of the court to the administration of justice. FN7 Similar guidelines have recently been proposed by the ABA Litigation Section FN8 and adopted by the United States District Court for the District of Maryland. FN9 Specific rules of court providing for sanctions for abusive discovery conduct have been adopted by the Southern District of Florida and the District of Colorado, among others. FN10 Following the lead of the Seventh Circuit, and at the suggestion of our Civil Justice Reform Act Advisory Group, the District of Columbia Bar created a Task Force on Civility in the Profession. In response to a survey sent by the Task Force to the judges of the U.S. District Court for the District of Columbia, approximately three-quarters of my colleagues said they believe there is a significant problem of incivility in the legal profession, and most of them think the problem reflects a trend in society at large. Eighty percent believe there is less civility in the profession today than there was even six or seven years ago. Most say that incivility occurs most frequently in the discovery setting, where no judicial officer is present. Many believe it is affirmatively used as a litigation tactic -- one, they add, that they do not believe is the least bit effective. Some of them see overzealous advocacy being driven by a "win at any cost" mentality that is often client-driven, with lawyers today simply being unwilling to tell a client no. FN11 After much study and input from the Bench and the Bar, the Task Force proposed voluntary standards that have been adopted by the Board of Governors of the District of Columbia Bar. They include the following principles by which litigating lawyers should govern their conduct:
Why are such civility standards being proposed now? What has changed about our profession that has created what so many believe to be a very significant problem? First, as I have already suggested, society has changed. There is less civility in Congress, on television, certainly in the sports world, in the media and in public discourse generally. Many lawyers have grown up in this environment, and they do and will practice what they see all around them unless they are told by more experienced lawyers that it is wrong. This, of course, only works if the more experienced lawyers have not themselves abandoned traditional notions of civility and professionalism. Second, many lawyers see the legal profession now at least as much as a money-making venture as it is a calling dedicated to high standards of professionalism and service. There are pressures on lawyers to get clients, to massage clients, and to keep clients in an environment where once loyal clients are now shopping around for lawyers -- variously looking for the cheapest, the toughest, or the most famous. There is less institutional loyalty on the part of clients and more of a "what have you done for me lately" attitude. In this environment, many clients have ever-increasing expectations of their lawyers and expect hired gun gladiators to do their bidding, or they will find others. Sadly, the culture, the values, the ethics of the profession have changed. The same is true within law firms. There is more pressure on lawyers -- partners and associates alike -- to bill hours, to bring in business, to get results, some would suggest, at whatever the cost. The struggle to survive and the struggle to succeed have begun seriously to undermine professionalism and civility. The associates know there is less chance than ever before to make partner, and they must impress their seniors in some way. Some perceive that being tenacious at depositions and in dealing with opposing counsel is one way to make that impression. The fact that so many of them have never tried a case, will not try the case in which they are taking the depositions and may never even have been taught the real purpose of a deposition all contribute to this. It is difficult for less-experienced lawyers to think of themselves as servants of the law, officers of the court, members of a noble profession when all they hear about is billing hours, getting clients and keeping them happy -- and winning at any cost. The mentoring process no longer exists the way it used to. Because sole and small firm practitioners are hungry for business and the associate in the big firm is judged by the number of billable hours, there is no time to follow the "mentor" around from courtroom to courtroom and to depositions to learn by example. And to the extent examples are provided today, they may be the wrong ones. Mentoring has declined both because of time constraints and other pressures on more experienced lawyers and because their values and standards of conduct are changing. As Judge Aspen has remarked: "The culture of the older lawyer mentoring the younger on the etiquette of the profession has almost disappeared. . . . [T]here is little effort among older lawyers to pass down a tradition of civility to young lawyers." FN13 I have seen and heard about similar uncivil conduct by government lawyers as well. While not driven by the same things that motivate their counterparts in the private sector or the private clients of those private sector lawyers, government lawyers may be feeling the impact of the same changes in society and the legal profession that I have discussed -- an increasing lack of civility, and the premium placed on aggressiveness, intransigence and hard-ball tactics for their own sake. Or perhaps some are motivated by a sense that government lawyers don't have to play by the same rules as private lawyers do because they represent the power and the righteousness (some might say self-righteousness) of the government. The fact is, however, that most judges I know hold the government to a higher standard, not a lower one, because the government lawyer represents the public interest, not a private one. As Justice Sutherland said in language now etched on the walls of the Department of Justice:
To give you an idea of the conduct that generated that admonition, let me quote further from the Supreme Court's opinion in that case, Berger v. United States:
Lest there be any doubt, such conduct is as unacceptable today as it was in 1935. The same principles most assuredly apply to agency counsel as well. As former Chief Judge Mikva of the United States Court of Appeals for the D.C. Circuit said in a FERC case, in an opinion in which he was joined by Judges Silberman and Randolph:
I agree completely. The government is not an ordinary litigant, and government lawyers are not ordinary lawyers. They should be expected to more carefully scrutinize the cases they bring and the positions they defend; they have a duty of candor to be even more forthcoming with adverse information than lawyers in the private sector. Because their interest is the public's interest and the fair administration of justice, government lawyers have a higher obligation, a public trust if you will, that should motivate them to fulfill the highest traditions of the legal profession, not the lowest common denominator. Perhaps things were different in both the public and private sectors when there was a smaller bar and everyone in the legal community knew each other. The late Sidney Sachs, one of the great trial lawyers and great personalities of the District of Columbia Bar, once told me: "Always remember, the lawyer on the other side of the case is not your enemy. His client and your client may view themselves as enemies. But you and he are not enemies. You are friends, or, in time, you may become friends." Good advice, too little remembered, too infrequently given today. The Bar in those days was more collegial, more civil, in part because it was smaller and lawyers knew that today's opponent might well be tomorrow's ally. The days of the small, insular legal community where everyone knew each other and all practitioners shared common experiences, common backgrounds and a ceratin notion of civility has now disappeared. Instead, we have a much larger, more diverse professional community with lawyers of different values and experiences, different genders, and different ethnic and racial backgrounds. Happily, the legal profession is no longer an all boys club where the terms civil and gentlemanly are synonymous. Civility today recognizes the importance of inclusiveness and the need to reverse gender, racial and ethnic biases that historically existed in the courtroom and the deposition room as much as elsewhere in society. FN17 As the profession has become more diverse, it can and should recognize a broader idea of civility. As Justice Anthony Kennedy has put it, "Civility has deep roots in the idea of respect for the individual . . . respect for the dignity and worth of a fellow human being." FN18 While most judges and many lawyers share these ideals, others criticize the focus on civility in three fundamental ways. First, the criticism goes, there is no real problem. Occasional abuses can be dealt with by disciplinary bodies through the Rules of Professional Conduct if they rise to the level of an ethical violation. Second, civility standards interfere with the obligation of a lawyer to represent a client zealously and loyally. And third, civility standards and aspirational principles that have no real teeth serve no purpose. Like apple pie and motherhood, everyone is for them but they will have no impact. I disagree with all three assertions. First, there is a genuine problem. As I have described, and as the D.C. Bar Task Force and others have demonstrated, the legal culture has changed for the worse. The environment in which lawyers practice today is different; there are numerous forces at work that have a negative impact on civility and, more fundamentally, undermine lawyers' understanding that they can serve their clients while also still serving as officers of the court. As for zealous advocacy, lawyers can be advocates for their clients without assuming their clients' personal antipathies and tactics. Lawyers must be more than hired guns. Lawyers sell their skills, their seasoned judgment, their advice. They sell their ability to reason, to engage in rational discourse, to present analytically sound arguments. They also sell their reputations and their credibility with the court. To the extent those commodities are squandered by selling their soul to one client, they are less valuable to the next client. Once sullied, reputation and credibility cannot easily be recaptured. As Justice Sandra Day O'Connor recently remarked to the American Bar Association:
Finally, focusing on civility by adopting principles and standards, even unenforceable ones, serves a very useful purpose. Indeed, the early Canons of Professional Ethics and the Ethical Considerations that formerly accompanied the mandatory Disciplinary Rules were understood as necessary aspirational guidelines for the profession, while the Disciplinary Rules -- now the Rules of Professional Conduct -- represented the bare minimum standards of conduct. FN20 Members of the legal profession -- and certainly judges -- have always understood that more than the bare minimum was required of lawyers. I believe that by thinking and talking more about civility, and ultimately by adopting civility standards, we on the Bench and in the Bar may persuade, teach and sensitize each other to act more civilly in litigation and help restore to the profession a semblance of its noblest spirit. Admittedly, changing the culture takes time. Behavior that may have become acceptable in recent years must be abandoned, and professionalism and civility must again become second nature. Bar associations, law firms and government agencies, law schools and judges all can play a role in getting our profession back on track. Lawyers will serve the justice system better by doing so and, in the long run, they will serve their clients better too. In the end, they will also better serve themselves as professionals and as people. For my part, I believe that judges should not shrink from dealing aggressively with the problem. We must not be reluctant to use the tools we have to address incivility and lack of professionalism much more frequently than we do. Let me give you a few examples of some steps I personally have taken. In one case I appointed a "babysitter" for the lawyers -- a special master to preside over a deposition that had become so contentious that the lawyers could not be trusted to proceed alone, with an order that the parties would pay the special master at his normal hourly rate and that he would determine how to apportion the costs. FN21 In another case, I imposed a $2,000 sanction on counsel -- not the client -- for "abuse of the discovery process in an effort to delay resolution of [certain discovery] matters" beyond the discovery deadline and in direct violation of the Court's orders regarding the manner for bringing discovery disputes to the attention of the Court. FN22 In yet another recent case, I noted that the filings of counsel for both parties contained
Finally, in a case where counsel had inundated both the magistrate judge and myself with a "barrage[] [of] motions that seemingly articulate each and every spat over which counsel find it necessary to bicker," FN24 I began my order with the following quote from Aesop's Fables:
It is difficult to live a life of integrity, to be civil, decorous, professional and courteous with so many forces pulling in other directions. But by discussing these issues in the law schools and in the Bar, with the strong hand of the courts setting the moral tone, and by making constant efforts to remind ourselves and each other that every lawyer still is an officer of the court who has been given the privilege -- not the right -- to practice this noble profession, we may yet stem the tide. Let us hope so. As Chief Justice Burger said a quarter of a century ago:
1 141 Cong. Rec. S 18964-01 (Dec. 20, 1995) (statement of Sen. Byrd).Back 2 Marvin E. Aspen, The Search For Renewed Civility In Litigation, 28 Val. U. L. Rev. 513, 513-14 (1994).Back 3 Paramount Communications, Inc. v. QVC Network, Inc., 637 A.2d 34, 52 (Del. 1994).Back 4 Paramount Communications, Inc. v. QVC Network, Inc., supra, 637 A.2d at 53-54. Back 5 Final Report of the Civil Justice Reform Act Advisory Group for the United States District Court for the District of Columbia xiv, 28-29, 55 (Aug. 1993). Back 6 Final Report of the Committee on Civility of the Seventh Federal Judicial Circuit, 143 F.R.D. 441, 445-47 (Dec. 1992). Back 7 Id. at 447-52. Back 8 Guidelines for Conduct of the Section of Litigation of the American Bar Association, Litigation News, Dec./Jan. 1996, at 6-7. Back 9 United States District Court for the District of Maryland, Discovery Guidelines (adopted Sept. 11, 1995); see also Dondi Properties Corp. v. Commerce Savings and Loan Assoc., 121 F.R.D. 284 (N.D. Tex. 1988) (establishing standards of litigation conduct to be observed in civil actions in U.S. District Court for the Northern District of Texas). Back 10 United States District Court for the Southern District of Florida, Local Rule 30.1 (adopted 1996); United States District Court for the District of Colorado, Local Rule 30.1C (adopted 1996). Back 11 Final Report, D.C. Bar Task Force On Civility In The Profession 12-13 (June 18, 1996). Back 12 D.C. Bar Voluntary Standards for Civility in Professional Conduct (June 18, 1996; amended March 17, 1997). Back 13 Marvin E. Aspen, The Search For Renewed Civility In Litigation, 28 Val. U. L. Rev. 513, 518 (1994). Back 14 Berger v. United States, 295 U.S. 78, 88 (1935). Back 15 Id. at 84. Back 16 Freeport-McMoran Oil & Gas Co. v. Federal Energy Regulatory Comm'n., 962 F.2d 45 (D.C. Cir. 1991) (citations omitted).Back 17 See e.g., The Gender Race, and Ethnic Bias Task Force Project in the D. C. Circuit, Vol. I at IV-44 - 49 (1995). Back 18 Justice Anthony M. Kennedy, Address to the 1997 ABA Annual Meeting (Summer 1997, San Francisco, Calif.). Back 19 Sandra Day O'Connor, "Civil Justice System Improvements," Remarks Before the American Bar Association, at 5-6 (Dec. 14, 1993). Back 20 Code of Professional Responsibility, Preliminary Statement (ABA 1977). Back 21 Teferra v. Marriot Int'l, Inc., Civil Action No. 96-1626 (D.D.C. April 25, 1997). Back 22 Harris v. Georgetown University, Civil Action No. 95-0032 at 2 (D.D.C. Dec. 24, 1996). Back 23 Marina Management Services, Inc. v. Vessel My Girls, Civil Action No. 97- 0423 at 2 (D.D.C. Feb. 9, 1998) Back 24 Moore v. National Children's Center, Civil Action No. 96-0118 at 1-2 (D.D.C. May 9, 1997) Back 25 Id. at 1. Back 26 Warren E. Burger, The Necessity For Civility, 52 F.R.D. 211 (1971). Back |