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Constitutional Law Midterm Examination - Part A
Student’s Name:
Date:
Email:

St. John’s is a religious high school that is having financial
difficulties. Consequently, its administrators contact the State
Department of Education and the State agrees to supply
textbooks for St. John’s secular subjects, as well as paper, pens,
and chalk. This helps ease St. John’s financial problems.
However problems arise when it is discovered that Teacher who
has been employed at St. John’s for several years and has
received acceptable evaluations during that time, lied on her
employment application by saying that she was married, when
she was not. Instead Teacher has been living with her
boyfriend, who is the father of her child.
When the administrators of St. John’s discover this fact, they
explain to teacher that she is being terminated because her
conduct violates the religious principals upon which St. John’s
was founded.
Outraged, Teacher protests daily in front of St. John’s and
shouts over a loudspeaker that the administrators of St. John’s
are hypocrites. She also encourages the students to join her,
instead of attending class. This embarrasses the administrators,
and there have been several complaints from the parents of
students as well as from neighbors.
Consequently Teacher is told by Paula who is the Principal of
St. John’s, that unless she ends her protest the police will be
called.
Concerned, Teacher contacts you for advice. What issues will
you need to consider, and how are they most likely to be
resolved?
Discuss your answers in a very full narrative IRAC essay with
much detail.

Chapter 13: Leadership Ethics
1
Overview
Leadership Ethics Perspective
Practical Ethical Theory
Ethical Theories
Principles of Ethical Leadership
Diverse Ethical Perspectives
How Does the Leadership Ethical Perspective Work?
Peter G. Northouse, Leadership: Theory and Practice, Seventh
Edition. © 2016 SAGE Publications, Inc.
2
Leadership Ethics Description
Ethics
Is a derivative of the Greek word ethos, meaning customs,
conduct, or character
Is concerned with the kinds of values and morals an individual
or society ascribes as desirable or appropriate
Focuses on the virtuousness of individuals and their motives
Definition & Theory
3
Development of ethocal theory goes back to Plato and Aristotle.

Practical Ethical Theory
Kohlberg’s Stages of Moral Development
Level 1. Pre-conventional morality
Stage 1 – Obedience and Punishment: Rules are fixed and
handed down by authority
Stage 2 – Individualism and Exchange: An action is right if it
serves the individual
Level 2. Conventional Morality
Stage 3 – Interpersonal Accord and Conformity: Conforming to
the expectations of others
4
Kohlberg’s Stages of Moral Development
Stage 4 – Maintaining the Social Order: Moral decisions show
concern for society as a whole
Level 3. Post-conventional Morality
Stage 5 – Social Contract and Individual Rights: Moral
decisions based on what a good society should be like
Stage 6 – Universal Principles: Moral decisions based on
internalized universal principles of justice that apply to
everyone
Add table
6

Leadership Ethics Description
Ethical Theory
Provides a system of rules or principles as a guide in making
decisions about what is right/wrong and good/bad in a specific
situation
Provides a basis for understanding what it means to be a
morally decent human being
Definition & Theory
7
Development of ethocal theory goes back to Plato and Aristotle.
Ethical Theories
Two Broad Domains: Theories about leaders’ conduct and about
leaders’ character
8
table number incorrect

9
Page 304 in text. Figure number incorrect?
Ethical Theories
Ethical egoism (create greatest good for the leader)
Closely related to transactional leadership theories
Example: leader takes a political stand on an issue for no
other reason than to get re-elected
Utilitarianism (create greatest good for greatest number)
Example: leader distributes scarce resources so as to
maximize benefit to everyone, while hurting the fewest;
preventive health care vs. catastrophic illnesses
Altruism (show concern for best interests of others)
Authentic transformational leadership is based on altruistic
principles
Example: the work of Mother Teresa, who gave her entire
life to help the poor
Teleological Theories: focus on consequences of actions, results
CONDUCT
10
Teleological – consequenses of

Deontological Theories
duty driven, for example, relates not only to consequences but
also to whether action itself is good
Focus on the actions of the leader and his/her moral obligation
and responsibilities to do the right thing
Example: telling the truth, keeping promises, being fair
Ethical Theories
CONDUCT
11
Teleological – consequenses of
Virtue-based Theories: about leader’s character
Focus on who people are as people
Rather than tell people what to do, tell people what to be
Help people become more virtuous through training and
development
Virtues are present within person’s disposition; practice makes
good values habitual
Examples: courage, honesty, fairness, justice, integrity,
humility
CHARACTER
Ethical Theories
12

Centrality of Ethics to Leadership
Influence dimension of leadership requires the leader to have an
impact on the lives of followers
Power and control differences create enormous ethical
responsibility for leaders
Respect for persons – sensitive to followers’ own interests and
needs
Leaders help to establish and reinforce organizational values –
an ethical climate
13
Ethics plays a central role in the leadership process.
Diverse Perspectives of Leadership
Emphasizes how leaders help followers to confront conflicting
values & to effect change from conflict
Ethical perspective that speaks directly to
Values of workers
Values of organizations and the communities in which they
work
Heifetz’s Perspective
14
Several prominent scholars – Heifetz, Burns and Greenleaf –
they’ve made unique contributions to our understanding of
ethical leadership –
The theme that is common to all 3 – is an ethic of caring -
which pays attention to followers needs and the importance of

leader-follower relationships.
Leaders use authority to mobilize followers to
Get people focused on issues
Act as a reality test regarding information
Manage and frame issues
Orchestrate conflicting perspectives
Facilitate the decision-making process
15
Leaders use authority to mobilize followers to
Get people focused on issues
Act as a reality test regarding information
Manage and frame issues
Orchestrate conflicting perspectives
Facilitate the decision-making process
Leader provides a holding environment, a supportive context in
which there is
Trust, nurturance, & empathy
Leader’s duties
Assist the follower in struggling with change and personal
growth

16
16
Theory of Transformational Leadership
Strong emphasis on followers’ needs, values, & morals
Leaders help followers in their personal struggles concerning
conflicting values
Stressing values such as liberty, justice, equality
Connection between leader & follower
Raises level of morality of both
Leader’s Role
Assist followers in assessing their values & needs
Help followers to rise to a higher level of functioning
Burns’s Perspective
17

The Dark Side of Leadership
Pseudotransformational leadership
Characterized by destructive behaviors, such as violating basic
human rights (Lipman-Blumen, 2005)
Characterized by personal characteristics, such as lack of
integrity, insatiable ambition, arrogance (Lipman-Blumen)
Associated with workplace outcomes such as negative attitudes
in followers toward jobs and organization as a whole (Schyns
and Schilling, 2013)
Add date to citation in 3rd bullet point
18
SOURCE: Padilla, A., Hogan, R., & Kaiser, R. B. (2007). The
toxic triangle: Destructive leaders, susceptible followers, and
conducive environments. The Leadership Quarterly, 18, 180.
Add figure
19
The Toxic Triangle
Destructive Leaders
Charismatic, narcissistic, self-absorbed
Susceptible Followers

Conformers and colluders
Conducive Environments
Unstable environments may grant leader more authority
The process of influence
The need to engage followers to accomplish mutual goals
The impact leaders have on establishing the organization’s
values
Ethics - is central to leadership because of
21
Discussion of 5 principles of ethical leadership – These
principles provide a foundation for the development of sound
ethical leadership
Incorrect figure number?
In addition I am emphasizing 3 points that reinforce the impact
a leader has on followers, and the responsibility leaders have to
be sensitive to how their leadership affects followers lives and
why Ethics is central to leadership, because of -
Leader shall:
Treat other people’s values and decisions with respect
Allow others to be themselves with creative wants and desires
Approach others with a sense of unconditional worth and value
individual differences

Respects
Others
Leader behaviors:
Listens closely to subordinates
Is empathic
Is tolerant of opposing viewpoints
Treating others as ends (their own goals) rather than as means
(to leaders’ personal goals)
22
Leaders have
A duty to help others pursue their own legitimate interests and
goals
To be stewards of the organization’s vision; in serving others
they: clarify, nurture, and integrate the vision with, not for,
organization members
An ethical responsibility to make decisions that are beneficial to
their followers’ welfare
Follower centered - Based on the altruistic principle of placing
followers foremost in the leader’s plans
Leader behaviors
Mentoring behaviors
Empowerment behaviors
Team-building behaviors
Citizenship behaviors
Serves
Others

23
Leaders shall:
Adhere to principles of distributive justice
Leader behaviors
All subordinates are treated in an equal manner
In special treatment/special consideration situations, grounds
for differential treatment are clear, reasonable, and based on
sound moral values
Ethical leaders are concerned with issues of fairness and justice;
they place issues of fairness at the center of their decision
making
Shows
Justice
Incorrect table number?
25
Leaders:
Are not deceptive
Tell the truth with a balance of openness and candor while
monitoring what is appropriate to disclose in a particular
situation

Honest leaders are authentic but also sensitive to the feelings
and attitudes of others
Leader behaviors
Don’t promise what you can’t deliver
Don’t suppress obligations
Don’t evade accountability
Don’t accept “survival of the fittest” pressures
Acknowledge and reward honest behavior in the organization
Manifests
Honesty
Concern for common good means leaders cannot impose their
will on others; they search for goals that are compatible with
everyone.
Ethical leaders & followers
take into account purposes of everyone in the group, and
reach out beyond their own mutually defined goals to wider
community
Leader behaviors
Takes into account purposes of everyone in the group
Is attentive to interests of the community and culture
Does not force others or ignore intentions of others
Builds
Community
How Does the Ethical Leadership Perspective Work?
Strengths
Criticisms

Application
Strengths
Provides a body of timely research on ethical issues
Provides direction on how to think about ethical leadership and
how to practice it
Suggests that leadership is not an amoral phenomenon and that
ethics should be considered as integral to the broader domain of
leadership
Highlights principles and virtues that are important in ethical
leadership development
Criticisms
Lacks a strong body of traditional research findings to
substantiate the theoretical foundations
Relies heavily on writings of just a few individuals that are
primarily descriptive and anecdotal in nature, and are strongly
influenced by personal opinion and a particular worldview
Application
Can be applied to individuals at all levels of organization and in
all walks of life
Because leadership has a moral dimension, being a leader
demands awareness on our part of the way our ethics define our
leadership
Managers and leaders can use information on ethics to
understand themselves and strengthen their own leadership

Leaders can use ethical principles as benchmarks for their own
behavior
Leaders can learn that leader-follower relationship is central to
ethical leadership
LEGAL MATTERS
ESSENTIALSTHE
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The Essentials: Legal Matters
Many people put off managing their personal and financial
affairs, assuming they will have
plenty of time to make arrangements before these documents
will be needed. But we never
know when a crisis may occur that will require decisions about
our health care, finances, or
other needs.
The fact is, at some point, you may have to make financial or
health care decisions for
your loved ones, or they may need to make them for you if you
become incapacitated. It
isn’t something we like to think about, yet these decisions are
important and can speed
decision-making, avoid unnecessary legal interventions, and
enable some degree of decision-
making to be made ahead of time, before a crisis occurs. In
thinking about aging parents,
it’s especially important to plan ahead for potential legal

matters so that you can step in and
assist when needed.
Executing certain legal documents, when you and your loved
ones are healthy will help to
assure that your wishes or those of your loved one in areas of
health and finances will be
honored, even at a time when you or he or she is no longer able
make them known. These
documents need to be executed while an individual has the
capacity to make decisions.
MetLife is pleased to offer this document as a useful tool in
understanding wills, trusts,
powers of attorney, and other legal matters and a source of
additional resources should
you need further information or assistance in understanding
issues such as state laws, tax
consequences, or complex questions you may have in regard to
these legal documents.
While this document gives high-level information, it is
important to use this as a starting
point for pursuing more detailed information as needed. Estate
planning rules and legal
terminology can vary from state to state. A qualified attorney
can assist you in addressing
your individual questions and concerns.
3
› What Is a Will? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

› What Kinds of Questions Should I Consider As I Create My
Will? . . . . . . . . . . . . . . . . . . . . . . . .5
› My Parents Are Getting Older. What Should I Be Asking
Them About Planning
for the Future? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5
› Who Is an “Executor” and What Are His/Her
Responsibilities? . . . . . . . . . . . . . . . . . . . . . . . . . .6
› Can I Create My Own Will? . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6
› Where Should I Keep My Will? . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6
› What Is a Trust? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6
› What Types of Trusts Are There? . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7
› How Do I Name a Trustee? . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7
› How Do I Know if a Living Trust Offer Is Right for Me? . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . .7
› What Is a “Power of Attorney”? . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
› How Do I Choose an Attorney-in-Fact?. . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
› Are There Different Kinds of Powers of Attorney? . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8
› What Forms Must I Complete to Designate Powers of
Attorney? . . . . . . . . . . . . . . . . . . . . . . . . .9
› What Are Advance Directives? . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9
› What Is a Living Will? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9
› What Should I Consider Before Creating a Living Will? . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . .9
› How Does the State Regulate Living Wills? . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
› What Is Durable Power of Attorney for Health (Medical)
Care? . . . . . . . . . . . . . . . . . . . . . . . . 10
› Whom Should I Choose As a Health Care Proxy? . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . 10
› Where Should I Keep Copies of My Living Will and Health
Care Power
of Attorney? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
› Where Can I Find the Necessary Forms for Advance
Directives? . . . . . . . . . . . . . . . . . . . . . . . 11
› What Is a Guardianship? . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
› Resources for You . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Table of Contents
4
5
Legal Matters
Q. What Is a Will?
A. A will is a legal document detailing how an individual wants
his or her assets distributed
upon death. If an individual dies without a will, called “dying
intestate,” the state will determine
the distribution of assets. Individuals must be competent when
their wills are drawn up and may
make changes to them as long as they remain competent. If you
have children, a will is particularly
important as you can name guardians for your minor children or
dependent adult children;
otherwise the state may determine who assumes responsibility
for them upon your death.
Q. What Kinds of Questions Should I Consider As I Create My
Will?
A. Before you prepare a will, it’s best to do a bit of pre-
planning. Take some time to inventory
your assets, review outstanding debts, detail beneficiaries, and
identify any special desires you
might have for specific items or monies. Consider specific
answers to these questions:
› Is there a need for trusts for a spouse or other dependents?

› Who will be the beneficiaries of your assets?
› How will assets be divided?
› Are charitable gifts a consideration? If so, what organizations
should be listed as beneficiaries?
› Who will be named “executor” of the estate? Who could be a
successor if the executor is
unable to perform the duties?
› What are the tax considerations?
› Who will be the guardian of my minor children or dependent
adult children? It is best to
consult your preferred guardians to be sure they are comfortable
assuming this responsibility.
Each state has its own laws that vary in complexity, and you
should consult an attorney for details
specific to you and your state.
Q. My Parents Are Getting Older. What Should I Be Asking
Them About
Planning for the Future?
A. It’s always better to initiate discussions about legal matters
while family members are healthy.
Though it can be a sensitive topic, you and your parents should
have a conversation about the
legal arrangements they already have in place. Such topics for
discussion might be whether or not
they have wills, durable powers of attorney, living wills, and
plans for asset disbursement. Do they
have a lawyer who has prepared and retained copies of the
documents? Do they have executors
appointed? Are financial and medical powers of attorney in

place? Are there any trusts? Are their
documents in order and stored where a family member could
find them when needed?
It is important to establish those who will have legal authority
to make health care and financial decisions
in case of incapacitation; this is as important for you, if you are
or become a caregiver, as it is for your
parents. Decisions or tasks could be as simple as signing a
check, or as complex as deciding whether a
feeding tube will be used after you or your family member
becomes bedridden and non-responsive. If the
proper paperwork has not been completed and signed according
to state laws, you may not have rights as
a decision-maker no matter what your relationship to the
individual may be.
Q. Who Is an “Executor” and What Are His/Her
Responsibilities?
A. The executor or personal representative is the individual who
oversees the disbursement of assets
according to the will. Usually the executor is a family member,
but you can choose an outside party
as well. Executors outside of the family are usually paid a fee
for this service. Settling an estate can
take many months and a great deal of personal time. It is
important to be sure the person chosen as
executor understands the time involved. The executor’s
responsibilities include such things as paying
off outstanding debts and creditors from the assets of the
deceased, filing taxes, filing the will in probate
court, and notifying Social Security, insurance companies, and
other agencies of the death.

Q. Can I Create My Own Will?
A. Generally, a will is drawn up with an attorney, but forms are
now readily available online or in office
supply stores that can help you draw up your own will.
However, it is very important to be sure the
document you draft complies with your state’s laws. You should
consult with a qualified attorney for your
particular situation.
Q. Where Should I Keep My Will?
A. Once you have created and signed a will in accordance with
state law, you should store the original in
a safe place, and notify your executor as to its whereabouts.
Your attorney may keep a copy for you, or
you could store it in a fire-proof file cabinet or home safe. You
might also consider creating a ledger or
document with a detailed listing of the location of this and other
relevant documents, including birth and
marriage certificates, Social Security Cards, insurance policies,
deeds, and titles.
See the Financial/Legal Services Inventory tool.
Q. What Is a Trust?
A. A trust is a legal device to manage property. It is established
by one person (the donor, the grantee,
or settler) for the benefit of another (the beneficiary). A third
person manages the trust and is called the
Trustee. Reasons for creating trusts may vary. Trusts can be
simple with limited scope and duration, or
they can be quite elaborate. As with a will, the person creating
the trust must be mentally competent at
the time of its creation. A trust can provide for family members
or beneficiaries without allowing them
direct control of the assets. It may, for instance, be established
to provide benefits for a disabled child or

adult or for a minor child. If created by an attorney experienced
in the use of trusts, it can be an effective
estate-planning device. Trusts are not for everyone, so you
should consult an attorney to determine if
they are appropriate for your situation.
Legal Matters
6
Legal Matters
7
Q. What Types of Trusts Are There?
A. There are several different types of trust:
› Testamentary Trust: Established as part of a will, this trust
comes into existence upon the
grantor’s death. The trustee administers the trust. In most cases,
the assets funding these
trusts will still usually go through the probate process.
› Living Trust: As the name implies, this is a trust put into
effect while the grantor is still alive.
This is often used as a means to avoid probate at the time of the
individual’s death. However,
there are many conditions to be met in order to avoid probate.
For example, assets must
still be administered through probate court unless, prior to his
or her death, the grantor
transferred all assets the grantor intends the trust to own.
› Revocable Trusts: Trusts can be revocable or irrevocable. A

revocable trust can be legally
changed or ended by the grantor as long as he or she remains
legally competent. A revocable
trust can avoid probate and give the grantor greater flexibility
but by itself may not provide
any tax advantages. Most Living Trusts are revocable.
› Irrevocable Trusts: This type of trust cannot be changed or
terminated. Placing property or
assets in an irrevocable trust is like giving a gift. The grantor is
relinquishing ownership. An
irrevocable trust also helps to avoid probate and may have tax
advantages.
› Other: There are a variety of other trusts for different
purposes, including discretionary
trusts, insurance trusts, support trusts, and spendthrift trusts.
Just as many different types
of trusts exist, so do the variety of assets a trust may hold, from
real estate to bank accounts,
business interests, stocks, and investment properties.
Q. How Do I Name a Trustee?
A. A trustee is the person who will manage the trust, so it’s
important to consider someone
who can manage the task. Trustees should be honest and fair
and able to communicate with
the grantor and beneficiaries if necessary. They should be able
to discern the needs of the
beneficiaries. They need to have the time and capability to
serve. They should be free of any
conflict of interest as the trustee. Again, family members are
often chosen, but friends, attorneys,
accountants, and in some instances, banks or corporate trust
companies may serve as trustee.

Q. How Do I Know if a Living Trust Offer Is Right for Me?
A. There are a growing number of questionable business
practices as well as advertising aimed
at older adults regarding living trusts. Information on products
that may not be appropriate for
everyone can be distributed through the mail, door-to-door, or
at large, informational seminars.
The products may be overpriced and not in accordance with
state law. The Federal Trade
Commission (FTC) offers a downloadable brochure called
Living Trust Offers: How to Make Sure
They’re Trust-Worthy. It provides valuable information to help
you avoid living trust scams.
www.ftc.gov/bcp/edu/pubs/consumer/products/pro08.pdf.
http://www.ftc.gov/bcp/edu/pubs/consumer/products/pro08.pdf
Q. What Is a “Power of Attorney”?
A. A Power of Attorney is a way for one person to allow
another to act on his or her behalf to manage
legal and/or business affairs and in certain instances health care
decisions if it is specified in the
document. The person who wishes to create the Power of
Attorney is called the “principal” or “grantor”
and must be mentally competent to make such a decision at the
time the document is signed. The person
being authorized to act for the principal is called “agent” or
“attorney-in-fact.”
Q. How Do I Choose an Attorney-in-Fact?
A. In choosing an attorney-in-fact, it is important to choose
someone trustworthy and responsible who
will consider what’s best for the principal when making
decisions, and who is willing and able to spend
the necessary time and effort in managing another’s affairs. The

best choice is usually a spouse, adult
child, or other family member. However, because of age,
incapacity, distance, or estrangement, sometimes
a family member isn’t the best choice. A trusted friend or
perhaps an attorney may sometimes be a valid
option. It’s also wise to consider an alternate agent in case the
first choice is unable to serve. Sometimes
an individual may choose more than one agent, perhaps his or
her children.
Q. Are There Different Kinds of Powers of Attorney?
A. Yes. There are several types of Powers of Attorney:
› Conventional Power of Attorney for Finances: This role can
either be general or limited. The
“general” Power of Attorney gives the agent or attorney-in-fact
very broad powers and a wide scope
of capability in managing the principal’s affairs, including
paying bills and dealing with everyday
household management decisions. “Limited” Power of Attorney
empowers the attorney-in-fact to
make only those decisions outlined in the agreement, such as
being able to pay bills, but not handle
investments or manage accounts. In either case, the Power of
Attorney ends when the principal
becomes mentally incapacitated (assuming the Power of
Attorney does not contain a durability
provision) or dies.
› Durable Power of Attorney for Finances: Most family
caregivers don’t need a Power of Attorney
until their loved one does not have the capacity to make
decisions, which is when a conventional
Power of Attorney becomes ineffective. Most people create
what’s called a Durable Power of Attorney
to ensure the attorney-in-fact may continue in that role even

when the principal has become mentally
incapacitated. Like a Conventional Power of Attorney, the
Durable Power of Attorney ends when the
principal dies.
› Durable Power of Attorney for Health (Medical) Care, also
called Health Care Power of
Attorney or Health Care Proxy: This is a special Durable Power
of Attorney that gives a family
member or other designated individual the power to make
health-related decisions for the
principal if he/she becomes incapacitated. In some instances, a
Durable Power of Attorney
document may include the ability to act on behalf of an
individual in both financial and health
care matters. A Health Care Proxy is considered an Advance
Directive and will be discussed in
more detail in subsequent questions.
8
Legal Matters
9
Q. What Forms Must I Complete to Designate Powers of
Attorney?
A. Forms are readily available today online or at stationery
supply stores. However, because laws
vary from state to state and because considerable assets may be
involved, it is best to consult a
qualified attorney.
Q. What Are Advance Directives?

A. Advance Directives convey an individual’s wishes about
future medical care to family and
physicians if there is a time when he or she is incapacitated and
unable to communicate those
wishes. There are two types of Advance Directives: a living will
and a Durable Power of Attorney
for Health Care. Both need to be created while a person is
mentally competent. People often put
off this task until it is too late. Do not wait to complete these
important documents.
Q. What Is a Living Will?
A. A living will is a legal document that allows you to specify
your wishes about future medical
treatment, in the event that you become incapacitated and
unable to do so when care decisions
must be made. Living wills, sometimes called health care
declarations or health care directives,
spell out both the types of treatment and life-sustaining
measures you would want as well as those
you would not want. Types of treatment that might be included
in a living will are resuscitation if
one’s heart stops or use of a mechanical ventilator for
breathing.
Q. What Should I Consider Before Creating a Living Will?
A. Creation of a living will requires considerable thought.
Whether you are working with a
family member who is considering a living will, or you need to
create one for yourself, consider
these issues:
› What treatments or procedures would you specifically refuse
and under what circumstances
would you do so? Usual procedures for the seriously ill might
include antibiotics, intravenous

hydration, pain medication, artificial nutrition (feeding tube),
CPR, ventilator, or diagnostic
testing (labs, x-rays).
› What are your beliefs about the use of external life support
machines and medications for a
specific period of time or for the duration of your life?
› What are your values and beliefs about quality of life and
how do they pertain to your wishes
regarding medical treatment? Specify what types of care you
would want as well as what you
would not want.
› What are your feelings about personal dignity during a
terminal or irreversible state of health?
› Are there any diseases for which you would want treatment
for only a short period of time?
Be as specific as possible in your instructions; generalities can
be difficult for others to interpret.
Being specific eliminates some of the guilt and confusion that
can accompany actions taken on
behalf of another. Think of this as a blueprint for someone else
to follow in managing your care.
Legal Matters
Q. How Does the State Regulate Living Wills?
A. Most states have laws regarding living wills and regulate
them accordingly. However, laws vary from
state to state. There is an important Federal Law related to
advance directives called the Patient Self

Determination Act (PSDA) passed by Congress in 1990. The
PSDA was established to ensure patients are
informed of their rights in making decisions about their health
care when admitted for services to a health
care facility or organization. It requires that all Medicare and
Medicaid participating provider organizations
make certain that patients know they can accept or refuse
treatments and have the right to execute an
advance directive.
Under the PSDA, most health care institutions (but not
individual physicians) must provide individuals
with a written summary of their rights related to making health
care decisions. Each of the states has
prepared a summary that health care facilities and organizations
can use. If a health care provider will not
honor the wishes an individual has set forth in an advance
directive, most states require that the provider
make every effort to transfer the person to one that will.
Q. What Is Durable Power of Attorney for Health (Medical)
Care?
A. Durable Power of Attorney for Health Care (also Health
Care Proxy) is another type of Advance
Directive. It is usually used in addition to a living will. A
Durable Power of Attorney for Health Care allows
people to appoint an individual—called an agent, attorney-in-
fact, or proxy—to make medical decisions for
them if they are incapacitated and unable to do so. This person
has no control over the principal’s finances
(unless the person also has Power of Attorney for finances).
Living wills specify an individual’s wishes
regarding care and treatment and are used only in certain
situations. The health care proxy, on the other
hand, may act at any time the individual is unable to make
medical decisions. This may include decisions

regarding routine care as well as in specific situations including
those stated in the living will.
Q. Whom Should I Choose As a Health Care Proxy?
A. Your health care proxy or agent should be someone who can
capably make decisions about medical
consents, facilities for care, hiring and firing caregivers and
health care providers, and access to medical
records. The proxy may not, however, make decisions that
contradict the principal’s desires as outlined
in the living will. The choice is an important one. The health
care proxy should be someone in whom you
have great trust. He or she should be someone who is strong
enough to act as an advocate on your behalf
and able to shoulder the responsibility. The proxy will have the
power to consent to treatment as well as
withhold and withdraw it. Have an alternate choice in mind in
the event your first choice is unable or
unwilling to serve.
Q. Where Should I Keep Copies of My Living Will and Health
Care Power
of Attorney?
A. Copies of the properly signed living will and Power of
Attorney should be given to your physician,
health care proxy, and significant family members and friends.
A copy of these documents should be kept
in an accessible place should an emergency occur. They should
be given to emergency personnel and
brought to the hospital. In the event that you are incapacitated
they will be important to honoring your
wishes related to health care. If you are a caregiver for a family
member, a copy of these documents should
be in a place known to care providers either in the home or in a
care facility so they can make certain that
they are given to emergency personnel.

10
Legal Matters
A living will and Power of Attorney can be revised or canceled
at any time as long as an individual is
competent. Consider reviewing advance directives on a regular
basis to ensure the documents are
current with changes in your health status and advances in
medicine that may influence your decisions
for future care.
Q. Where Can I Find the Necessary Forms for Advance
Directives?
A. Various forms are available online or at stationery stores.
Your attorney should also have the forms
required for both living will and Durable Power of Attorney for
health care. Some states have a combined
version of the two documents called a “Health Care Advance
Directive.” If you are not using an attorney, be
sure the particular form you are using meets your state’s
regulations. See the Resources list at the end of this
document for more information.
Q. What Is a Guardianship?
A. A guardian, also called “conservator” in some states, is a
person appointed by the court to decide the
financial and/or personal matters for individuals who are unable
to manage their own affairs. This type
of arrangement is usually one of last resort, as it is a significant
removal of a person’s right to autonomy
and decision making. The guardian, generally a family member
or attorney, is appointed by the court. The

guardian is required to manage the assets and make decisions
that are in the individual’s best interests.
Guardians are required to report to the court for periodic
accountings.
11
Legal Matters
12
Resources for You
American Academy of Estate Planning Attorneys
www.aaepa.com
The American Academy of Estate Planning Attorneys Web site
provides a consumer-specific section
with useful estate-planning information. It includes a way to
test your estate planning IQ and
provides the top 10 techniques for estate planning. You may
also search for member attorneys in
your area.
American Bar Association Commission on Law and Aging
www.abanet.org/aging
Seeks to strengthen and secure the legal rights and quality of
life of older Americans. Their Web
site includes valuable information for consumers, including
Myths and Facts About Health Care
Advance Directives:
http://www.americanbar.org/content/dam/aba/uncategorized/201
1/2011_
aging_bk_myths_factshcad.authcheckdam.pdf

Caring Connections
www.caringinfo.org
This is a program of the National Hospice and Palliative Care
Organization whose focus is to improve
end-of-life care. Funded by a grant from the Robert Wood
Johnson Foundation, the program
provides information and resources related to a number of
topics including Advance Directives and
state-specific information required. If you have questions about
the forms or requirements, call the
Caring Connections helpline at 1-800-658-8898 (multilingual
number at 1-877-658-8896) or email
[email protected]
National Academy of Elder Law Attorneys (NAELA)
www.naela.org
The site for attorneys who specialize in the issues of older
adults and the disabled. NAELA
attorneys help clients with estate planning, long-term care
issues, wills, and trusts. Their Web site
has a helpful search function to help you locate an elder law
attorney near you. There is also a
useful question-and-answer section that will assist in your
search.
Nolo.com
www.nolo.com
Has information and articles related to a variety of legal issues
including wills, trusts, estate
planning, advance directives, and elder care. There are useful
links to other organizations and
resources as well.
http://www.aaepa.com
http://www.abanet.org/aging
1/2011_aging_bk_myths_factshcad.authcheckdam.pdf

1/2011_aging_bk_myths_factshcad.authcheckdam.pdf
http://www.caringinfo.org
mailto:caringinfo%40nhpco.com?subject=
http://www.naela.org
http://www.nolo.com
MetLife Mature Market Institute
200 Park Avenue
New York, NY 10166
[email protected]
mailto:MatureMarketInstitute%40MetLife.com?subject=
www.MatureMarketInstitute.com
200 Park Avenue, New York, NY 10166
© 2013 Metropolitan Life Insurance Company
MMI00224(0812) L0513322387[exp0416]
Pursuant to IRS Circular 230, MetLife is providing you with the
following notification:
The information contained in this document is not intended to
(and cannot) be
used by anyone to avoid IRS penalties. This document supports
the promotion and
marketing of insurance products. You should seek advice based
on your particular
circumstances from an independent tax advisor.
MetLife, its agents, and representatives may not give legal or
tax advice. Any

discussion of taxes herein or related to this document is for
general information
purposes only and does not purport to be complete or cover
every situation. Tax law
is subject to interpretation and legislative change. Tax results
and the appropriateness
of any product for any specific taxpayer may vary depending on
the facts and
circumstances. You should consult with and rely on your own
independent legal and
tax advisers regarding your particular set of facts and
circumstances.
http://www.MatureMarketInstitute.com

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