Posted onAugust 16, 2019|Comments Off on Section 201(b)(2)(A)(i) Allows Certain Widows or Widowers of U.S. Citizens to Become Permanent Residents Even When the Citizen Has Died
A U.S. citizen may file a Form I-130 immigrant petition for his or her spouse in the immediate relatives category. If the citizen dies, the widow(er) may still seek permanent residence in the United States under section 201(b)(2)(A)(i) of the Immigration & Nationality Act, when certain conditions are met.
Who Qualifies for Widow(er) Benefits Under INA 201(b)(2)(A)(i)?
U.S. immigration statute permits widow(er)s of U.S. citizens to be classified as immediate relatives and continue the Immigrant Visa or Adjustment to Permanent Resident Status application process if they:
Were legally married to a U.S. citizen and not divorced or legally separated from the U.S. citizen at the time of death
File a Form I-360 self-petition within two years of the U.S. citizen spouse’s death or have a pending or approved Form I-130 filed by the U.S. citizen spouse prior to death, which will be automatically converted to a Form I-360 petition
Show they entered into the marriage in good faith and not solely for immigration benefits
Are admissible to the United States
Are not remarried before they receive the green card or immigrant visa (NOTE: If there is a remarriage, the applicant may still be able able to pursue section 204(l) relief if he or she was residing in the United States when the petitioner died and continues to reside in the United States).
How to Apply for Widow(er) Benefits
If there is a pending or approved Form I-130 petition, the widow(er) must notify USCIS of the U.S. citizen’s death. The agency will then automatically convert the I-130 to an I-360 self-petition. If there is no pending or approved I-130 at the time of death, the widow(er) must submit the Form I-360 self-petition to USCIS within two years of the U.S. citizen’s death.
Widow(er)s in the United States may file a Form I-485, application to adjustment to permanent resident status, either at the same time the I-360 is filed or after the I-360 is filed, whether it is pending or approved. If an I-485 application was already submitted based on a pending or approved I-130 filed by the deceased spouse, there is no need to file a new one.
A widow(er) who is living abroad may go through the I-360 approval or I-130/I-360 conversion process to apply for an immigrant visa at the U.S. Consulate overseas.
Admissibility Requirement
A Form I-864, Affidavit of Support, is not required for widow(er)s to establish they will not become a public charge under INA § 212(a)(4). The applicant instead claims an exemption from filing the Affidavit of Support with the Immigrant Visa request or Adjustment of Status application.
Widow(ers) are not exempt from the 3/10 year bars to re-entry under INA 212(a)(9)(B)(i) if they accrue more than 180 days of unlawful presence in the U.S. and depart for consular processing of the immigrant visa. The waiver for unlawful presence requires a U.S. citizen or permanent resident spouse or parent, which many widow(ers) do not have. When possible, widow(er)s should apply for Adjustment of Status within the U.S. and avoid triggering the 3/10 year bar by departing the U.S.
Unmarried children under the age of 21 may be included in the immigrant petition as derivative beneficiaries. As “immediate relatives,” derivative children qualify for benefits under the Child Status Protection Act (CSPA), which “freezes” their ages as of the filing date of the Form I-130 or Form I-360, whichever is applicable. CSPA protects them from aging out if they turn age 21 prior to their being granted a green card or immigrant visa. Still, they must meet any other eligibility criteria or filing requirements.
Consult a Qualified U.S. Immigration Attorney
A qualified U.S. immigration attorney can help with verifying your eligibility for widow(er) benefits and submitting a request for I-130 to I-360 conversion or filing a properly documented I-360 self-petition. It’s also important to seek counsel in the Adjustment of Status application within the United States or in the Immigrant Visa request at the U.S. Consulate abroad.
For information on other possible remedies for surviving relatives, read our related articles:
This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.
Comments Off on Section 201(b)(2)(A)(i) Allows Certain Widows or Widowers of U.S. Citizens to Become Permanent Residents Even When the Citizen Has Died
Posted onJuly 13, 2019|Comments Off on Humanitarian Reinstatement Allows Certain Principal Beneficiaries to Become Permanent Residents Even When Petitioner Has Died
U.S. federal regulations require the approval of a Form I-130, family-based immigrant petition to be revoked when the petitioner dies. This stops the immigration process if the beneficiary has yet to obtain permanent resident status on the date of the petitioner’s death. But an exception under 8 C.F.R 205.1(a)(3)(i)(C) allows USCIS to, as a matter of discretion, reinstate the approval if it determines that a revocation is inappropriate due to humanitarian reasons.
Who is Eligible for Humanitarian Reinstatement?
Humanitarian reinstatement is only available to the principal beneficiary of an approved petition. It is not a remedy for persons whose petitions are still pending or for derivatives of a principal beneficiary.
For example, a married son of a U.S. citizen petitioner in the F3, family-based category, may still immigrate to the United States if the petitioner dies before he gets his green card, as long as the I-130 petition was approved before the death. But his spouse and minor children will not benefit from humanitarian reinstatement and cannot immigrate through the deceased’s petition. Instead, the principal beneficiary will need to file petitions for his spouse and children after he becomes a permanent resident.
In family-based immigration, most applicants are required to submit a Form I-864, Affidavit of Support. Their work history or other factors can sometimes make up for the lack of a Form I-864, under the totality of the circumstances test. In either case, the petitioner’s death does not protect them from the public charge inadmissibility ground under INA 212(a)(4).
If you were required to provide a Form I-864 and the petitioner died, you need an eligible substitute sponsor. Otherwise, you must qualify for an exemption from the Affidavit of Support requirement.
How to Apply for Humanitarian Reinstatement
Humanitarian reinstatement may only be requested by the principal beneficiary when the petitioner of an approved I-130 petition has died.
Whether to reinstate the approval for humanitarian reasons, despite the petitioner’s death, is an entirely discretionary decision, i.e. the positive factors outweigh the negative factors. A denial by USCIS is not subject to appeal, although the agency may consider a timely motion to reopen or motion to reconsider.
There is no specific application form to submit or filing fee to pay to ask for humanitarian reinstatement. You do, however, need to send a written request with supporting documents to the USCIS office that originally approved the petition, including:
1. Full name of the deceased petitioner and the principal beneficiary
2. Any A-numbers of the deceased petitioner and the principal beneficiary
3. The receipt number for the approved petition
4. The petitioner’s death certificate, plus certified English translation if document is in a foreign language
5. Form I-864, Affidavit of Support, from an eligible substitute sponsor , or evidence of exemption for Affidavit of Support
The substitute sponsor must be:
A U.S. citizen, national, or lawful permanent resident;
At least 18 years old; AND
Your spouse, parent, mother-in-law, father-in-law, sibling, child, son, daughter, son-in-law, daughter-in-law, sister-in-law, brother-in-law, grandparent, grandchild, or legal guardian.
You may be exempt from filing a Form I-864 if:
You have earned or can receive credit for 40 quarters (credits)/10 years of work in the United States (as defined by the Social Security Act), regardless of the immigrant category. (Check your SSA earning statements. Do not count any quarters during which you received a means-tested public benefit.); OR
You are under 18 years old, unmarried, immigrating as the child of a U.S. citizen, are not likely to become a public charge, and will automatically become a U.S. citizen pursuant to INA section 320 upon your admission to the United States.
6. Evidence that a favorable exercise of discretion is warranted, such as:
Hardships to family living in the United States (especially U.S. citizens, lawful permanent residents, or others lawfully present);
Advanced age or health concerns;
Lawful residence in the United States for a lengthy period;
Ties or lack thereof to your home country;
Undue delays in processing the petition
Any other positive factors that support a reinstatement
Consult a Qualified U.S. Immigration Attorney
Humanitarian reinstatement processing can be uncertain and lengthy. There is no standardized application form to file and no receipt notice acknowledging USCIS is reviewing the request. In addition, some USCIS offices will not consider repeated requests for humanitarian reinstatement.
Consult a qualified U.S. immigration attorney to help you submit one single, complete and approvable request for humanitarian reinstatement, with all the supporting evidence.
For information on other possible remedies for surviving relatives, read our related articles:
This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.
Posted onJune 14, 2019|Comments Off on Section 204(l) Allows Certain Surviving Relatives to Become Permanent Residents Even When Petitioner or Principal Beneficiary Has Died
Section 204(l) of the Immigration & Nationality Act allows certain beneficiaries (and derivative beneficiaries) to continue with an Immigrant Visa request or Adjustment to Permanent Residence application even after the Form I-130 petitioner (or principal beneficiary) has died.
Normally, a pending petition must be denied or an approved petition must be revoked if the petitioner dies before the beneficiary has already obtained the green card, based on federal regulations. But INA 204(l) preserves U.S. immigration benefits for certain surviving relatives with pending or approved petitions.
A December 16, 2010 USCIS Policy Memorandum, titled Approval of Petitions and Applications after the Death of the Qualifying Relative under New Section 204(l) of the Immigration and Nationality Act, outlines who is protected by section 204(l) and how the relief works.
Who is Protected by Section 204(l)?
Unlike the survivor benefits for widow(er)s of U.S. citizens, and unlike humanitarian reinstatement for principal beneficiaries of approved petitions, section 204(l) relief protects a broader category of persons if they show they resided in the United States at the time of the death, and they continue to reside in the United States.
Section 204(l) provides benefits not only when the U.S. citizen or permanent resident petitioner dies, but also, in some cases, when the principal beneficiary or principal applicant dies. It allows eligible derivative beneficiaries to continue with the green card process even if the principal beneficiary dies. Derivative beneficiaries are applicants who cannot be directly petitioned for, but may accompany or follow-to-join the principal beneficiary of the petition based on a spousal or parent-minor child relationship.
You may be eligible for 204(l) relief if you are a:
• Principal or derivative beneficiary of a pending or approved I-130 family-based petition, when the petitioner died;
• Derivative beneficiary of a pending or approved I-130 petition, when the principal beneficiary died;
• Derivative beneficiary of a pending or approved I-140 employment-based petition, when the principal beneficiary died;
• Beneficiary of a pending or approved I-730 refugee/asylee relative petition, when the petitioner died;
• Derivative of a T or U nonimmigrant visa holder (T-2, T-3, T-4, T-5, U-2, U-3, U-4, U-5), admitted as a derivative, and the principal (T-1 or U-1) visa holder has died;
• Derivative asylee (AS-2 or AS-3) and the principal asylee (AS-1) has died.
Residence Requirement
Certain petitions have more than one beneficiary. For 204(l) relief to apply, at least one beneficiary or derivative beneficiary must be residing in the United States at the time of the death and continues to reside in the United States. If one beneficiary meets the residence requirement, all the beneficiaries can benefit from section 204(l) relief.
Residence is your primary home or your “principal, actual dwelling place in fact, without regard to intent.” Residence is not the same as physical presence or as having lawful nonimmigrant status in the United States. You may qualify while briefly abroad if you can show that your primary home is in the United States. Incidental travel for participating in business trips, taking a vacation, or visiting family abroad does not affect 204(l) eligibility.
Admissibility Requirement
204(l) applicants may be found inadmissible under INA 212 at the time of the immigrant visa or adjustment of status interview. Inadmissibility grounds include INA 212(a)(4)(public charge), INA 212(a)(9)(B)(unlawful presence), and INA 212(a)(6)(C)(i)(fraud or willful misrepresentation of material fact to gain U.S. immigration benefits).
Public Charge
Family-based applicants are normally required to submit a Form I-864, Affidavit of Support, to show they will not become a public charge to the United States. The death of the petitioner does not change this requirement.
If the petitioner dies, there has to be a Form I-864 from a substitute sponsor who is a U.S. citizen or lawful permanent resident, at least 18 years old, and the spouse, parent, mother-in-law, father-in-law, sibling, child (at least 18 years old), son, daughter, son-in-law, daughter-in-law, sister-in-law, brother-in-law, grandparent, grandchild, or legal guardian of the applicant.
Otherwise, you have to qualify for an exemption from filing the Form I-864 in one of two ways:
1. You have earned or can receive credit for 40 quarters (credits)/10 years of work in the United States, as defined by the Social Security Act, regardless of the immigrant category. (Check your Social Security earnings statements. Do not count any quarters during which you received a means-tested public benefit.)
OR
2. You are under age 18, unmarried, immigrating as the child of a U.S. citizen, are not likely to become a public charge, and will automatically become a U.S. citizen pursuant to INA section 320 upon your admission to the United States.
Unlawful Presence or Fraud/Willful Misrepresentation
You may still apply for inadmissibility waivers that require “extreme hardship to a qualifying relative” — such as the INA 212(a)(9)(B)(v) waiver for unlawful presence and the INA 212(a)(6)(C)(i) waiver for fraud or willful misrepresentation — if the qualifying relative is also the relative who died. USCIS will consider the death of a qualifying relative as the “functional equivalent” of a finding of extreme hardship, i.e. USCIS will assume that the death of the qualifying relative amounts to extreme hardship for waiver purposes.
Your case, however, must still warrant the favorable exercise of discretion (positive factors outweigh the negative factors) for USCIS to grant the waiver. Furthermore, you must have a qualifying relative who was already a U.S. citizen or permanent resident at the time of the death to be eligible for the waiver. If the deceased relative is not a qualifying relative for waiver purposes, you still need a qualifying relative to be eligible for the waiver. For example, if the principal beneficiary of an I-130 petition dies before he becomes a permanent resident, his spouse (derivative beneficiary) may lack a qualifying relative to apply for a waiver if she is found inadmissible.
“Public Interest” Standard and Favorable Exercise of Discretion
Even when section 204(l) applies, USCIS may still deny the petition, as a matter of discretion, if the approval would not be in the “public interest.” This exercise of discretion is not subject to appeal, although USCIS may review a timely motion to reopen or motion to reconsider.
USCIS has stated, “USCIS officers will not, routinely, use this discretionary authority to deny a visa petition that may now be approved, despite the death of the qualifying relative. In a visa petition proceeding that is not subject to section 204(c) of the Act or some other approval bar, the overriding issue is simply whether the beneficiary qualifies for the visa classification sought. ”
Adjustment to permanent resident status, through the filing of a Form I-485 application, is also a discretionary relief that USCIS may deny as a matter of discretion. Furthermore, certain applicants are not eligible at all for adjustment and must depart the United States to apply for an immigrant visa at the U.S. Consulate abroad.
What is the Effective Date of Section 204(l)?
Section 204(l) became law on October 28, 2009. The provision applies only to petitions and applications adjudicated on or after that date. It applies to cases where the petitioner or qualifying relative died before October 28, 2009, but the petition or application was pending on that date or adjudicated after that date.
USCIS has stated it will allow untimely motions to reopen a petition, adjustment application, or waiver application that was denied before October 28, 2009 if 204(l) would permit approval. If USCIS denies a petition or application on or after October 28, 2009 without considering whether 204(l) applies, the agency must reopen the case on its own motion.
How to Apply for 204(l) Relief
There is no specific application form to submit or filing fee to pay to request 204(l) relief. To apply for 204(l) benefits, you should submit a letter to USCIS explaining your eligibility and provide supporting documents. If a petition is pending, you need to ask for an approval under 204(l) despite the death. If the petition was approved prior to the death, you need to request the reinstatement of the approval under 204(l).
USCIS instructs applicants to include the following with a 204(l) request:
• Full name of the deceased relative, the principal applicant and any derivative beneficiaries
• Any A-numbers of the deceased relative, the principal applicant and any derivative beneficiaries
• The receipt number for the underlying petition or application
• The relative’s death certificate, plus certified English translation if document is in a foreign language
• Proof of residence in the United States at the time of the death up until the present time by at least one beneficiary (e.g. rental lease or mortgage, utility bills, school records, or pay stubs.)
• Form I-864, Affidavit of Support, by a substitute sponsor, or a Form I-864W, Request for Exemption for Intending Immigrant’s Affidavit of Support, if applicable.
To determine where and when to file the section 204(l) request, you may refer to the USCIS If-Then chart on its website, which is replicated below:
IF
THEN
Your visa petition (e.g., Form I-130 or Form I-140) or Form I-730 was pending when your relative died and at least one beneficiary, or derivative beneficiary, resided in the United States when your relative died and continues to reside in the United States
Send your written request to the USCIS office currently processing your case (the address is on the receipt notice (Form I-797) or, if USCIS transferred the case to a different office, send your request to the new office listed on the transfer notice)
Your petition was already approved when your relative died AND you are not ready and/or able to file Form I-485 yet
Send your written request to the office that approved your petition
Your petition was already approved when your relative died AND you have a visa available and are ready to file Form I-485
Send your written request with your Form I-485 package per Instructions for Form I-485
You have already filed Form I-485 (whether or not your petition was pending or already approved)
Send your written request to the USCIS office having jurisdiction over your application
You are in T or U nonimmigrant status
Send your written request to the Vermont Service Center
You are in asylee status
Send the written request with your Form I-485 package when you file for adjustment of status, if applicable, per Instructions for Form I-485
Humanitarian reinstatement is not be confused with 204(l) relief. If, however, you believe the regulations allowing humanitarian reinstatement also apply to you, you should submit a single written request asking USCIS for both types of relief.
Consult a Qualified U.S. Immigration Attorney
Because there is no standardized application form, there is no means for USCIS to issue a receipt notice for a 204(l) request for relief. It is difficult for applicants to track progress or receive updates on such cases.
Work with a qualified U.S. immigration attorney to prepare and file a clear, properly documented 204(l) request with USCIS. The attorney can also help you notify the U.S. Department of State that you are asking for this relief from USCIS, if you will be applying for an immigrant visa at the U.S. Consulate instead of seeking to adjust to permanent resident status within the United States.
For information on other possible remedies for surviving relatives, read our related articles:
Also check out Episode 4 on The Legal Immigrant podcast:
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This article provides general information only. It is based on law, regulations and policy that are subject to change. Do not consider it as legal advice for any individual case or situation. Each case is different and case examples do not constitute a prediction or guarantee of success or failure in any other case. The sharing or receipt of this information does not create an attorney-client relationship.
Posted onMay 23, 2019|Comments Off on Sleep Debt: A Cause of (and a Potential Mitigating Factor for) Lawyer Misconduct – Part 2
Sleep debt – especially when coupled with extreme stress and mental disorders – can result in lawyer misconduct and ethics violations. Sleep deprivation impairs your cognitive abilities, energy level, mood and mental health. Thus, left unchecked, it is bound to have ripple effects on your work, life and overall performance. As such, in certain situations, it may be considered a mitigating factor in attorney disciplinary matters.
What is the Role of Sleep Debt in Lawyer Misconduct and Disciplinary Action?
The Minnesota Supreme Court has stated the purpose of attorney discipline is “not to punish the attorney but rather to protect the public, to protect the judicial system, and to deter future misconduct by the disciplined attorney as well as by other attorneys.”
The court reviews three factors when determining the appropriate sanction: 1) the nature of the misconduct; 2) the cumulative weight of the disciplinary violations; and 3) the harm to the public, the legal profession, and the administration of justice. The court considers the facts of each case, including aggravating and mitigating circumstances, and uses similar cases as guidance.
In March 2018, the Minnesota Supreme Court issued a decision, In Re: Petition for Disciplinary Action Against Adam William Klotz, in which sleep deprivation was considered a mitigating factor. The Director of the Office of Lawyers Professional sought disbarment due to misconduct involving lying to the Director, not cooperating with the Director’s investigation, creating a false and misleading document, misappropriating client funds, and neglecting and lying to clients. The court agreed with the referee’s recommendation to impose indefinite suspension with no right to petition for reinstatement for 18 months.
The Director disputed the referee’s finding that the multiple stressors in Klotz’s life were a mitigating factor. The court noted, “We have recognized that extreme or extraordinary stress can be a mitigating factor.” Even if there is no proof that turmoil in the attorney’s life caused the misconduct, it may still be considered a mitigating factor.
The Director argued that the stress Klotz faced was not sufficiently extreme or extraordinary to mitigate misconduct. The court responded as follows:
But we have never examined whether particular stressors in an attorney’s life were objectively so extreme or extraordinary as to warrant mitigation. In prior cases, we have examined the particular facts and circumstances facing each attorney and whether the record showed that those stressors constituted extraordinary stress for that attorney. To create the legal threshold the Director requests would impose an objective standard onto what is an inherently subjective matter. Accordingly, we decline the Director’s invitation to set a legal threshold for the types of stress eligible for mitigation. We instead look to the record for factual support of any claims of mitigation due to extreme stress.
The court found:
Here, the record establishes that, after his child was born, the stress that Klotz experienced increased by a significant amount. The referee found that Klotz suffered stress related to his son’s sleep problems, suffered substantial sleep deprivation, and experienced stress related to caring for his son while his wife worked long hours. The referee found that the stress Klotz experienced was “among the causes of his inability to manage his own practice and the ethical violations that resulted,” and “compound[ed] and exacerbate[d] respondent’s mismanagement of his practice.” Because evidence in the record supports this finding, the referee’s conclusion that extreme stress was a mitigating factor was not clear error.
Sleep problems have been rejected as a mitigating factor in other cases. For example, in an earlier 2003 case, In Re Petition for Disciplinary Action against Alan J. Albrecht, the Minnesota Supreme Court discussed sleep apnea in determining appropriate attorney discipline. The court stated:
We have held that when a mental or physical disability is put forward as a mitigating factor the attorney must show by clear and convincing evidence that he or she has the disability, the disability caused the misconduct, the attorney is undergoing treatment for the disability and making progress in recovery, the recovery has halted the misconduct, and the misconduct is not likely to reoccur. In re Merlin, 572 N.W.2d 737, 741 (Minn. 1998).
The court agreed that sleep apnea could lead to attorney misconduct:
Here, the referee relied on the testimony of Dr. Theodore M. Berman to conclude that Albrecht’s sleep apnea mitigated his misconduct. Dr. Berman testified that Albrecht had severe sleep apnea, symptoms of which include daytime hypersomnia, impairment of memory and attention to detail, and lack of concentration. Dr. Berman further testified that the allegations of misconduct by Albrecht, such as failing to follow through and failing to return phone calls, are consistent with the effects of sleep apnea. There was also evidence presented at the hearing that, at the time of the hearing, Albrecht was being treated for sleep apnea. Thus, there was evidence before the referee that would permit the finding that Albrecht suffers from sleep apnea, that the symptoms of sleep apnea could result in Albrecht missing dates, failing to return calls, and sleepiness during the day, and that Albrecht was undergoing treatment for the sleep apnea at the time of the hearing.
Nevertheless, the court concluded:
Other than Albrecht’s own testimony, however, there is no evidence in the record to support a finding that Albrecht was making progress in his recovery from sleep apnea. Further, there is no evidence that the recovery has halted the misconduct or that the misconduct is unlikely to recur. Because there is no evidence that would support such findings, we conclude that the referee’s findings and conclusions that Albrecht’s sleep apnea is a mitigating circumstance are clearly erroneous.
Sleep apnea has been discussed in attorney disciplinary matters in other jurisdictions. For example, in March 2019, the New Hampshire Supreme Court issued a decision in which the Professional Conduct Committee recommended a three-year suspension, with 18 months stayed, for attorney Joshua Mesmer, who claimed sleep apnea caused his inaction on client matters and contributed to his misrepresentations.
The Committee pointed out that Mesmer lied to his clients about the work he was not doing, falsely attributed unfavorable outcomes to court corruption, overbilled his clients, and then aggressively pursued payment. The Committee noted, “Though Mr. Mesmer was inattentive to many matters in this litigation, he remembered to bill his clients, and he remembered to make efforts to collect money from them that he had not earned.”
In another case, Canadian lawyer Vassilios Apostolopoulos — who was disbarred in 2002 and reinstated by the Law Society of Upper Canada 10 years later — blamed obstructive sleep apnea as the cause of his mood disorder, which affected his cognitive abilities. He was misdiagnosed and treated wrongly for clinical depression.
When the treatment for depression and undiagnosed sleep apnea took its toll, he committed two violations: neglecting to file proper documents in a mortgage case and misappropriating a large sum of client funds. Following his disbarment, he was eventually diagnosed with sleep apnea and began proper treatment. This allowed him to get reinstated as a licensed lawyer.
Avoid Sleep Debt or Take Protective Measures While You Pay it Down
When you are sleep deprived, you are more likely to make mistakes, overlook key details, and fail to recall information. Lack of sleep also prevents you from learning new things, making sound judgments, prioritizing what needs to be done, and engaging in thoughtful decision-making.
Instead of relying on sleep debt as a justification for ethics violations or a mitigating factor for disciplinary action, you need to avoid it in the first place. Tips for getting good sleep include: soak in sunlight during the day; avoid screen time on computers, smartphones, and television at least 90 minutes before you go to bed; reduce your caffeine intake; have a consistent bedtime, preferably between 9 pm and 11 pm; create a nightly routine such as sitting quietly, meditating, doing restorative yoga, or reading light fiction before you go to bed.
While you are paying down your sleep debt, you need to take protective measures against its effects, such as fatigue, impaired stress response, and slower executive functioning.
First, get the professional support you need, whether it’s seeing a therapist or consulting a sleep disorder specialist. You may also contact Lawyers Concerned for Lawyers (LCL), which provides a free, confidential Lawyers Assistance Program for Minnesota lawyers, judges, law students and their immediate family members. This program offers help to those affected by alcohol, drugs and other addictions; depression, anxiety and other mental illnesses; stress and other life-related problems.
Second, develop work-related habits and practices that will help steer you away from ethics traps. When you have sleep debt, it’s especially critical to take detailed meeting notes; document communications in writing; maintain and refer to up-to-date filing checklists; double check or triple check your work; have an accountability partner to point out your blind spots; refuse cases with strict and aggressive timelines for which you lack the bandwidth; and focus on areas where you are highly proficient and knowledgeable, rather than venture into new areas with steep learning curves.
This article provides general information only. Do not consider it as legal advice for any individual case or situation.
The author, Dyan Williams, is admitted to the Minnesota state bar and focuses on the Minnesota Rules of Professional Conduct, which are subject to change. Check your individual state rules of professional conduct, regulations, ethics opinions and case precedents, instead of relying on this article for specific guidance.
Posted onMay 23, 2019|Comments Off on Sleep Debt: A Cause of (and a Potential Mitigating Factor for) Lawyer Misconduct – Part 1
On the list of essential habits to practice self-care, cultivate well-being and sustain peak performance, good sleep is at the top. But sleep deprivation is common among lawyers facing heavy caseloads, long work hours, pressing deadlines, and high rates of alcohol use, drug addiction and mental disorders. Lack of sleep impairs your focus, memory, decision-making, and judgment, which are necessary to practice law effectively and ethically.
While there are many factors contributing to lawyer misconduct, there is no doubt that sleep debt makes you tired and less capable of meeting the demands of the profession. When you are sleep deprived, it is much harder to think creatively, solve problems, make steady progress on client matters, and communicate effectively as the rules of professional responsibility require.
What is Good Sleep?
In a 2017 study titled Short- and long-term health consequences of sleep disruption and published in the Nature and Science of Sleep journal, sleep is defined as a biologic process necessary for brain health and the functioning of immune, hormonal and cardiovascular systems in the body.
The American Academy of Sleep Medicine and Sleep Research Society jointly recommend at least 7 hours of sleep per night for adults. Besides adequate duration, sleep also has to be of good quality. This means you sleep for most of the time while in bed (at least 85% of the total time), fall asleep in 30 minutes or less, wake up no more than once per night, and drift back to sleep within 20 minutes if you do wake up, according to a report in Sleep Health.
What is Sleep Debt?
The American Sleep Association defines sleep debt as the cumulative effect of a person not having sufficient sleep, either through total sleep deprivation (when you are kept awake for a minimum of 24 hours) or partial sleep deprivation (when you have limited sleep for several days or weeks).
Long-term sleep debt is difficult to repay and the negative effects are persistent. One 2013 study in the American Journal of Physiology found that extended recovery sleep over the weekend reverses the impact of one work week of mild sleep restriction on daytime sleepiness and fatigue, but does not correct performance deficits.
What Creates Sleep Debt?
Sleep deprivation and disturbances stem from multiple factors, including:
Lifestyle, e.g. consuming too much caffeine, alcohol use, drug abuse, jet lag
Environmental, e.g. excessive noise, excessive light
Psychosocial, e.g. anxiety, worry and rumination; parents of young children; caregivers to a family member with a serious illness
Sleep disorder, e.g. insomnia (difficulty falling or staying asleep), obstructive sleep apnea (disordered breathing that causes multiple awakenings), restless legs syndrome and other movement syndromes (unpleasant sensations that prompt night fidgeting), narcolepsy (extreme sleepiness or falling asleep suddenly during the day)
Medical conditions, e.g. pain, kidney disease, diabetes, neurodegenerative diseases, psychiatric disorders, use of certain medications
There is also a widespread fallacy that lawyers must work long hours for greater achievement, better results, and higher productivity. Getting good sleep is viewed as a luxury, instead of a necessity.
What are the Effects of Sleep Debt?
A 2016 study titled The Prevalence of Substance Use and Other Mental Health Concerns Among American Attorneys and published in the Journal of Addiction Medicine, reported that among the 12,825 lawyers surveyed, 28%, 19%, and 23% experienced symptoms of depression, anxiety, and stress, respectively.
Sleep Debt Affects Your Well-Being
Funded by the American Bar Association Commission on Lawyer Assistance Programs and Hazelden Betty Ford Foundation, the study helped to trigger a Call to Action for Lawyer Well-Being from the Minnesota Supreme Court and create a National Task Force on Lawyer Well-Being comprised of a consortium of organizations such as the American Bar Association (ABA).
Sleep deprivation is cited as one of the major problems lawyers face. Lack of sleep reduces your overall health and wellness, lowers your energy level, and interferes with coordination, agility, and endurance. As Robin M. Wolpert, Chair of the Lawyers Professional Responsibility Board, notes in her March 2019 Minnesota Lawyer article, “The National Task Force Report’s recommendations could be strengthened by prescribing sleep.”
Sleep Debt Affects Your Cognitive Abilities
The normal sleep cycle is comprised of four different stages: 1, 2, 3 of Non-REM (non-rapid-eye-movement) sleep, followed by REM (rapid-eye-movement) sleep. A complete cycle takes about 90 to 120 minutes. Non-REM sleep (which includes deep sleep) is critical for memory formation, and REM sleep (dream state) boosts creativity and problem solving skills.
Sleep deprivation makes you susceptible to lawyer misconduct because it compromises your cognitive skills and disrupts your brain function at a cellular level. In a 2017 study, researchers at the University of California – Los Angeles Health Sciences found that sleep deprivation disrupts brain cells’ ability to communicate with each other, leading to mental lapses that affect memory and visual perception.
A 2007 study, published in the Neuropsychiatric Disease and Treatment journal, states that total sleep deprivation impairs attention and working memory, as well as long-term memory and decision-making. It adds that partial sleep deprivation affects attention, especially vigilance. This makes it more challenging to focus and concentrate on tasks for steady progress and successful completion.
When you lack sleep, your brain does not get to fully remove dead cells, flush out toxins and complete other housekeeping actions through the glymphatic system (functional waste clearance pathway for the vertebrate central nervous system). Sleep enables you to remove waste and make room for new learning, growth and development.
Acquiring and recalling memories take place when you’re awake. But memory consolidation – which allows you to store new memories for future retrieval – occurs when you’re asleep. Memory consolidation frees up space in the brain to acquire new memories and learn new things the next day.
Sleep debt is often associated with dementia, Alzheimer’s disease, and general cognitive decline. It not only makes it harder to acquire and store memories, but also more challenging to recall memories you already made, such as the password for an account.
The prefrontal cortex, which is the cerebral cortex covering the front part of the frontal lobe of the brain, is especially vulnerable to sleep loss. This region of the brain is responsible for executive functions, such as analyzing complex thoughts, processing information, determining right from wrong, making decisions, predicting outcomes, evaluating risks, understanding consequences, prioritizing and sequences actions, exerting control, and moderating social behavior.
In addition, when sleep is disrupted, you miss out on REM sleep, which is important for creative thinking, staying motivated, and generating ideas. During this stage of sleep, your brain makes important neural connections that are needed for mental health and overall well-being.
Sleep Debt Affects Your Mood
Sleep loss is also associated with changes in levels of hormones, such as serotonin, dopamine, and cortisol.
Serotonin is linked with well-being and happiness. It helps regulate the body’s sleep-wake cycles, increases wakefulness in the morning, and keeps moods stable. Low serotonin levels is associated with depression.
Dopamine is also associated with well-being and happiness. But instead of regulating mood, it makes you feel good. Dopamine drives behavior towards things (e.g. drugs) that will activate the pleasure and reward centers of the brain.
Cortisol regulates a wide range of processes in the body, such as blood sugar levels, metabolism and the immune system. It influences memory formation and is critical in helping the body respond to stress. Excessive cortisol levels contribute to mood swings, anxiety and depression.
Sleep Debt Affects Your Mental Health
Sleep, mood and mental states are closely interrelated and often overlap. Anxiety and extreme stress, for example, make it hard to fall asleep or stay asleep. In turn, sleep problems impair your mental health.
A Harvard Health Publishing article, titled Sleep and mental health, notes that studies reveal 65% to 90% of adult patients with major depression experience some kind of sleep problem, such as insomnia and obstructive sleep apnea. It states that sleep problems increase the risk of developing depression and make it less likely to respond to treatment.
Studies further report that 69% to 99% of patients experience insomnia or report less need for sleep during a manic episode of bipolar disorder. Meanwhile, in bipolar depression, 23% to 78% of patients sleep excessively (hypersomnia), while others may experience insomnia or restless sleep. Lack of sleep can trigger mania, destabilize mood and contribute to relapse.
In addition, sleep problems affect more than 50% of adult patients with generalized anxiety disorder, are prevalent in those with post-traumatic stress disorder (PTSD), and may occur in panic disorder, obsessive-compulsive disorder, and phobias. Insomnia can interfere with recovery or exacerbate the symptoms of anxiety disorders.
This article provides general information only. Do not consider it as legal advice for any individual case or situation.
The author, Dyan Williams, is admitted to the Minnesota state bar and focuses on the Minnesota Rules of Professional Conduct, which are subject to change. Check your individual state rules of professional conduct, regulations, ethics opinions and case precedents, instead of relying on this article for specific guidance.
U.S. federal regulations require the approval of a Form I-130, family-based immigrant petition to be revoked when the petitioner dies. This stops the immigration process if the beneficiary has yet to obtain permanent resident status on the date of the petitioner’s death. But an exception under 8 C.F.R 205.1(a)(3)(i)(C) allows USCIS to, as a matter of discretion, reinstate the approval if it determines that a revocation is inappropriate due to humanitarian reasons.
Section 204(l) of the Immigration & Nationality Act allows certain beneficiaries (and derivative beneficiaries) to continue with an Immigrant Visa request or Adjustment to Permanent Residence application even after the Form I-130 petitioner (or principal beneficiary) has died.
On the list of essential habits to practice self-care, cultivate well-being and sustain peak performance, good sleep is at the top. But sleep deprivation is common among lawyers facing heavy caseloads, long work hours, pressing deadlines, and high rates of alcohol use, drug addiction and mental disorders. Lack of sleep impairs your focus, memory, decision-making, and judgment, which are necessary to practice law effectively and ethically.
