Lawyer 3 92 web by Alabama State Bar Association

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TIlE AI.ARAMA LA\\'YER

PRESIDENT'S PAGE

Ii \11

avalanche of criminal cases? Is it acceptable to you to have a civil system SO backlogged that d~illitigants must wait severa.! years before their case, can be heard? I submit the ans"",r to both questions is "no". If the court system in Alabama cannot continue to Operate in an efficient. effective manner. I fear that"", will have. on the criminal sid •. increas<:<llawlessnus. and on the civil side. cynicism and contempt fo r the judicial process and all of us who are inwlved in the process. Judicial funding currently comprises only about I percent of the total tax rewnues recrived by our slate and about 12 percent of the rewnues received by the gen..al fund. Alabama's judicial system annuall~ inwh'es a huge segment of our population. Last ~ar. {M'r 77.000 Alabamians tion. served On JUT}' duty. Our circuit courts This year, AI.bama Supreme Court diSpOsed of 162.000 cases du ring 1991. Chier Justice Sonny Hornsby. as head of Last year. 93 percent of the tota l monies our system, has betn ad~ised that an expen<k<J in the operation of the judicial additi!>nal 5 porcont reducti!>n in th e .ystem wrnt fo r personnel costs and appropriation for fiscal yur 1993 wHi be juror COSI>, Our system simply dots I>Ot forthcoming for our court system , I suI>have a whole lot of fat to trim. I believe mit to you that we. as lawyers, cannot that continued cuts wilt nt«ss.arily have siltntly stand by and allow Alabama's sysan rffect on the administration of justice. tem of justice to fall viclim to the politiI submit that a r~asonable approach to dan's knife. funding the three branch.. of Our gooThe Constitution of Alabama clearly ernrmnt "'(Iuld be as follows: (I) fund the mandates that this branch of gCl'Wcrnment legislali"" branch SO that it might effecshall be one of three separate and co1i".ly and effici~ntly carT}' out il> consti. equal branches of gCl'Wcrnment. Unfortututional functions ; (2) fund the judicial Phillip E.... da .... , Jr. nately, I am afraid that the justice system branch so that the needs of the system of in OUr state is mispercei~d by the e~ecujustice in our state would be met; and (3) ti,-e branch and by many within the legappropriate all remaining monies to Ihe islati~ branch as another ""$ncy" of state gCl'Wcrnment. If we, executive branch to use in funding il> diff.. rnt departrntnts as lawyers. allow this misperception to continue I fear that the and agencies. If this approach was followed , in 1992 the exec· third critical branch of government will not be able to operate uti~ branch would receive about 86 percent of the general effecti ... ly. thus causing the entire governmental system to be fund revenue for its purposes. I believe that la~rs must take out of bala""" and at risk of grinding to a halt. the lead in convincing the public and our pOJiC)'"makers that Chief Justice Horn.lby recently told a gathering of circuit this type of funding is a pOlitically significant issue , and district judges that projected cuI> will in,'(Iive laying off My function. as 1 see it. is to alert you to this crisis and tell betwffn 200-30(1 people in the 74 county courthou~ in our )'Ou that only through a concerted elfo" by allla~rs in our state. Chief Justice Hornsby. I think, appropriately pointed state are"", likely to achie". any significant results. out that the Constitution of Alabama requires that justice be I urge each of you to take whatever aclion you dtfm approadministered without delay and accurately oo..,rwd that this priate to help influence the decision-makers in Our stale to constitutional requirement was bigge r than any individual. act reSpOnsibly. This might include writing Or calling your Chief Justice Hornsby stated that all Alabamians must work to senator or representative and uplaining why Alabama should insure that the justice system recei ... adequate and rea.onable not r~verse the po$itiw direction of our judicial branch of funding from the legislature. government by reducing the already small portion of state A5k yourself these questions: Is it acceptable to you as an revenues it recei ... s. officer of the court that Alabama's version of democracy We all took an oath to support the Constitution of our state. might require district attorneys to have to furlough employThat document mandates adequate funding for the judicial us or have to make a "dral" in all but the most utreme cirbranch of gowm,""nt. cumstances in order to stay ahead of the ever-prestnt Please act now. here is the justice .y.tem gning in Alab;ima? When our unified court system was eSlabti,hed ;nlhe mid·1970s. il became a national model fur 1M modem, effident administration of justice. r am told that the Alaba"", model hu been copiw in ""twi t or in part by m;my of Our sister SUt ••. The Alabama unified judi. dal system has b«n something in which we lawyers, as offic""" of the oourt, haw taken g~at pride. The past two years have been tim .. of g,..,.1 monda,), and budgetary crises in our stale. We have experienced significant pmraliOfl in most a,..,as of state g~mment, including the judicial system. In fiscal ~a, 1991, .flu its budget had been approwd by the Legislature, Our judicial .)'Stem was required \0 accept about a 2.6 puce,,1 cut in funding ~use of prora-

•

92 ! March 1992

THE AlABAMA LAWYER

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EXECUTIVE DIRECTOR'S REPORT "' gel by wilh a lillie help from my friends."

lU I

his column quite possibly will slrih}«J as c~r· unlike most that I have written lor 1M AlQ/;>amQ~. I write it in .. mood \h!o\ I do not usually ~Iow myKlf 10 WI irllo---<WTll:ly. act~rUtial1y

ptUimUm and !)r..ild!:~nt.

r or Hvenl ytu., I ha ..... tad and hurd diKUntd tht decline 01 legal professionlliism. 1M Llmtnu of Iawym decry· ing a dQWllwaru spiral in the quality of Ih.lr lifulyl. due to I'rof.uionai pressures. and o~rt criticism of Ih. justic. system oj' which we ire all .. part.

One ITIWlS by which S¢fTlt ~r UKIC ...• lions " - sought to ~~ tht$o: ~ is through tilt Idoptioo of a Code of Prx· Ii« (for M of .. btU.r dtscriplion). The C(InIm(In drnominator 01 all weh .ffuru is i r.tum \0 courtesy. civility, arin. and just plain good mannen. "Commitment" lIlnothu sUllIIesltd (",it sortly need.d.

-John Lermon ami Paul !>/cQjrlrwll rea.c:h a rtsptcLlbl. participation ~1. [ neve. tlpteled 100 ptrtmt participalion. but IIlt\'t1 dreamed. a )'U1 into tilt projotd, ""!' would hive 1w tlwl20 ptrcmI of tilt bar ...... rrt.rrship pledge mel CU>lribute 10 this eIfort. If this associition did no!: se~ i~ membtl'i diily in meeting tht,. ptf1Of\i.l mel prol'wion;.l ruds or if tht membellhip ..rys had 001 indk.:oted 98 ptrctnl·plU5 .. tisfa.c:\ion ",ith our bar !eNicts, I could undersLlnd the low par· ticipation. I know our st.lte's and nation's «OnOmiua.. ina ~ion but not to tht , .tent th,U 8CI ptrcont of ou . membe rs unnOI con tribute 10 this profusion.l

w.-

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Maybe Zo na Hostd lt r. Chli. of the

ArneriGIn lilT Assoc:i;o\ion's Sptcill (;oor.

diNUng Committee on Professionalism, iden tified ou r problem in the J.nuary ImA&4 Journal. In he. ptrcepti~ piece. sht noted, "Bar organiza t ions a r. no I have urv.d this anocialion long longe . the center Olf p. ofession.llift." [ .nough to haw witntsstd firsthand tht cOlmmend her entire comment to yOlu r chlo~ in attitu.x in the Allbima SUit .... ding_ If you dOl n.oI recei~ the ABA &r. Only ~ntly did I diKOYtf my p~ Jou"",I, writ. '"" and I will send you • dtctssor. John Scott, wrote in an tarly copy 01 he. ts5O}I. 11 is headed '1'00 Many "-91...1d T . ... _ AJiHHmIa Slale Bar FoumkJlion Bulletin uW)'t'Ti?" with the subtitle " Rest oring ~t tilt proles.sion', lois 01 coIlegilllity Ou. ~1IOIf I)/' Community", lnd ,~pre!.Kd his «KlCfrns at thlot lime You may not vi""" the A11b,1m.a SLllt almost 31) }"Urs .go, Ht wlS noting that in an earlitr time liar u the ante. of YOU' pro(essionallife and, therefou, f~1 when a laW)'er died, tht whole bench lnd bar in the circuit f\O obligation to financially support its undertaklngi. Fo.tuW()IJld attend the funeral. lIut, even then, a! he wrote in tilt .... t. ty for)'Ol.l, lhow .... ho pTfCfdtd)'Ol.l shared a diff... nt vitw, mid·6Ol. ruth Wa! a dt<:lining pr1lCtice, Today, )'OU pra.tke in Gnt of tM nation'l I1ntsl rorutituted I discovered J~'s com ...... n~ while I'n'iewing his urlier tour1 systems with more opportunities for prolasioNl growth tfJorts to tocOIJragt tht rnnnbt .. 01 tht bar 10 ~ in tht iniiIfld fulfillmenl tlllln thoM ....tlooK visions ~ thut things 141 fundraising dfort tNt led 10 OUr first bar hud" ..... rttl'i poIoSibit could 1IlI~ fYt1' dreamed. 1,d us hope those Iiw)oen in l!uildil1ll- My Cl)llCtmI wilh tilt llOII' par1icipalion by CMr 80 tht nat cmtury do not hive tOl look botk to lhoM giln~ of ptrcmt 01 OUr bar in our prt$fnt tfJort to elPilnd our hod1819, 1923, 1964 iIJ1d 1971 tolind role modtb. q ..... rt." I>u ...... _rching for ...mtever "magic" it toke. to To .... tor. a XIIOIf of community, ""!' need to Rkindle old iIfld build new ar>d mllninglul friend$hip$ ~nd RlationshiJlS with one anotM •. My colleague. ~:Ii .. M, Myol'i, CAt:, wrote aboot I "f.itndly EX IIe .t Ass is tan (e In Fire De parl nl e n t diKOYtry" in her -(oolnot.s" column in tM De~mbt. 1991 Relate d La ws ui ts AsslK:i<Jtirm Mrm~1 Mag<1~me. She reflected on "!>ow long it had bt.:n stroot I sJoo«d down long enough to focus on FIRE SERVI CE CONSULTI NG, INC. the warm and wondtTfuI q..... litits 01 tht "WI)' pt(lplt 1 h1\~ the privi1ego of cominc into contact with." I do this oftm whm I Ixromo .......... and (~I SOfT)' for ITI)'Klf. 1 " - door this I i I 5622 Ut Road 66 ha~ wriUm \hi.! column. [ hope)'OU too .... ill do this with. Au burn , Alabama 36830 particular omllhllsil on )'OUr prof."';o ....1 friends, Maybe )'01.1 E ll is M itchell (205) 826·)098 will think of)'OUr association IS 1 special friend111 needs)'OUr f.iendship and support. •

94 1Mardt 1m

TIiE ALAII.AMA LAWYER

RIDING THE CIRCUITS

Association: I'rt:!ident ............................................. Jen)' A. McDowell

BAR DIRECTORIES

President-ell.'Cl: ..............................ThomaJ! E. Bryant. Jr. Vice·pYe$;(\ent: ..................................... D. Richard Bounds

Bar directories came out

Mobil. B. r A. .ocl. tlon The following art the 1992 <J!ficers of the Mobile Bar

last month . Exira copies are $15 each. Send checks or money orders to :

Secretluy: ............................................ Frank Woodson, Jr. Trusurer: .............................................M. Kathl~n Miller

The (01101";"1} are the neru o/fiCf!r.S <H the MBA YOWIg Lim'yeys'Stc/ior> (or 1992:

Alabama Bar Directory P.O. Box 4156 Montgomery, Al36101

Pre5i(\enl: .................................................... Mark C. Wolfe Vi«-president: .........................................Judwn W. Well$

Secrdal)'/treasurer: .............................. Jeffrq> L. Luther

lSI

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The Alabama State Bar

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Plea .. send mo mDm..lIi"" abOIJI tho A.ODcial"" Group Plan <I">ecl«KI:

[ [

I Member

Ut.ln,,,,_....

)Spou.., U.. lns",."""

I I Disa!Jiil)' I""""" ]EmployH Oicabilil)'lneome I I Office Overhoad Expanse

[ ) Emplojtee ut.I •• "'..... I I Major MockaII.... "'''''''" I ] Hospitallodemllil)' (Gu..an_ I.....) [ ) Accidental O&ath lind Dismembermen' (Guaran_l s"",)

I I

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Name

Address CilylSlateJZip ~~p~sen1alivc:.l~atc~s1at~ide~ __ Busrnass Tala~~ _ THE AU\BAMA LAWYER

(<Io~ ~";;-il-

I B;,hdale

=.J March 1992 / 95

BAR BRIEFS HooJ!n InsteUed •• p ....ldent

and th. American JudialUft Society,

of Blrmlngtwom ear A._iation

and ht .... as cllllirpenon of the Talk For« on LtgaIStlVicn tot'" Poor.

Ray O. Noojin. Jr. Will in5l~II(d recently u pre.id~nt of the Bi rmingham

fh. AlSod~tion. Noojin. a p.ortnt. in \h. firm of Hue. Wynn . Ntwtll &

Newton. graduated from the Uni~rsjly 01 Alabama in 1967.

Sina ]980, Noojin h.u stMd on me

t:.tcutivt Committe. of the Jefferson Counly Chapler of the Univer.i ty of Alabama Alumni Assocililion. Wh.T. he was prnidenl in 1986. II. has also s.eMd on numotTOUl othu commiUfQ iIIld boionb in Binnintfwn.

Noojin has Ktvtd on the EncUlivt Convnilltt. tho NomilQlil\ll Committee ifill tho Crievance CommiIlH. U. his stMd on It. booord oIl1<Mr. non 01 tho Alabloma Trial LIa~,.. A5ooeLation since 1979 and I, I memM. of the American Trilll ... ~" Association

96 1 M.orch 1992

",..t·, Sup•• rne Court Report • • lid·

vane. sh«ts aiM> prOlli(\e attorneys ..... ith tho text, case Jynop$tJ and Key Number hudnot .. to ncently reluJtd U.S. $upremt Court decisioN.

In$I.I'3tlCe malena1 aOded 10 WEST· Announc.nMmt.~

W•• t Publishing

II••~m.d hi. 1_ degree from the Uni·

versity's School oILaw In 1970.

Tablr to ~W ~ltomty$ in .... ighil13 thr impact .... futu .. asei on tMir pncti« lind pnp,lring thrm for possibl( ou t-

West provides complete U,S. Supreme Coun COverage

",ut's Sup.(me Cou.t R~P<I.t •• publishtd by West Publishing Com~ny. no ... ,.co.d UJU ... hich the U.S. Suprtmr Court has 1IIrff<! to revino. TheK t.ues are inc1ud· rd in the Cumulative Casu Mftctrd ~ ohto:b.

LAW A new datalwt. Itandbooll on lruu.anc. Coverage O;Jputf5, ...iII be added lOOn to WESTLAW, the comput •• _ lIui.t.d logal .uurch SO""Ie' from Ww.. TIlt datalwt is prtMdtd through iIIlllllrttmtnt bttwttn WtsI. Publishil13 Compllny and p.entiet HIli LlIw

8wil1t$S, Inc. The h.ndboo~ ..... il1 be found in tho ICD dabbue and WIlLl;n Ihe full lex! of

the trealiK. second tdilion. by Rarry It Oslrager Ind Thomu R. Newman. II indud« all IrealiK seclions. lilt pm· ICe/acknowled,ement and the main bble of contmu.. For more information. ull 1-800-

931-8529. TeXl and periodicals research cap;I_ biIiOOs expanded on weSTtAW Wm rfCently Up.indt<! clp.ibilities on W£STLAW. The d.i.tabut$ cover a fIDIIt of bw rtVitws and ptriodial. in tilt foIlawi"i sub;«l areas: business law civil rights law corpon.tf law enteruinmenl and SflOrts biw environmental \low and land 11K food and druQ law f1'lmchiK law inlfmalioml lind comp.i.ati", law biw Ind feminism law and health law and medicine law and technology legal elhics milita!)' law public policy lIad:ground informalion on each new d.labau is included in the attached summa!),. For more Information. ull I · 800·931-8529. AddillOn

of slaMes completes

weSTtAW coYef&ge 01 aliSO $lates

Statutes for .ll 50 stlltes. plus fOtlr Unilt<! Stites terTitorin. IIrt now ava.il<>bit on WF.5ruW with the recent Iddilion oflh< Montana and North ~kota st/IlulU.. Tht four territones inctlKk the District of Columbi •• CUJm. Puerlo Rico and the Virgin Islands. for mOn info.malion. Cilli ' ·800·

931-8529. IIfcConnIclr .... Evidenc •• 4th now . ... lblbI. W .. I lnnounen Ihe .tlun of NcC4rmitk 011 EuUkrKe. 41h. Wriuen by 5e'Jtn oflhe counl!),',aulhorilits on the taw of evidence. this two-volume edition has bun rtvistd and tJl"-ndtd 10 comprth_nsi~ly coyer Ihe rapid ly changing am ol tvidtnce. "The Hearsay Rules and tts ~:xcep lioll$" section has bten reorgani~ed to conform with Ihe rederal Rules of Eyi· dence pattern. Chapter 15. "The Prlvi·

THE AL\I:lAMA LAWYER

lege Concerning ImpTOp< . ly Obtained Evidence ". hn been substantially reviud to f<)(cul on the uclu.ion.ry remedy of what CQIIStitults illegality in obtaining tvidmct. RosidUlI hursay flCfplioru ro'''''f3ie hii bun substantilll~ upanded and rotW S«tions haw bn:n added on the .... 01 uciltd ult~ranus and OIher hursay u"pliorlJ in snuat IIbuR caHS and imptxhment of J hearsay decLorml. 1'0' more information. call \·800·

328-9352. S',,". . .t.cted pre. 1eNn1 01

A. . . Tht AlaNma ()e. fmJot uW)"'1'$ Associalion announced rfC.ntly lhat Birm· ingham ~Ito rney Eugene P. St utts was choKn to ..,"'" itS presidenl during the term 1991·92. The luoeiation is made up of Irial Ilwyers who art tngagtd in civillitiga· lion. primarily on the side of Ihe defen. dant. rtpruenting corporation>. bu.i· nfl,SU and insuranc~ companit5. Slults is I gradUlte of the UniVl'rsill' 0( Alabama .nd has pracliced in BinnIngham since 1969. Ii. i. I partner in the finn ol Spain. Gillon. Grooms. Blan &; Nettles. and iu membtroftheAmer_ ican Hi. Asooc"'lion. Alibarna St.1ole Har and the Binnillihom Bar Asooc"'lion. Prtsidtnt-eleCi of the lIS$OCiation is DiVis Clr. or Mobile. and Richard S. Minify of ()emopOl is is the new _reo L1ol'Y"lrasurer.

11Moprd adrnttled to ACTL Thomas w. ~rd.. Jr.. a partner in the MonIgomtry off," 01 Balch &; Bing· ham. has become a rellowoflho American Coli_lit of Trial I.aW)"'r5. Tht: col· lege is II national usociation ol4.500 Fellaws in the Unitt<! Statts lind Can;a. d.i.. Its purpose is to impTOYt the stan· \lards oItri",1 P1'llCI;C~. tilt administra· tion ol jwti« lind lhe ethics 01 the profu.s ion. Thlog,.d WilS inducted al the rttfnt annUli muting in Boston. A for· mfr Fulbrighl Scholar. Thagard received his BA degree from the Uni· versity of the Soulh and hi. LL.B. degree fTOm th~ University of Virginia S<:hool of taw.

NOTICE 1991·92 Occupational License or Special Membership Dues Were Due October 1, 1991 1hiS 's • rem,nder lhill all t ~1 ·92 AI.bama ,"orne~·. occupal,on,1 Iken •• and .pecial memb<o"hips EXPI RW Seplemb<or JO. 1991 Se<; .. on. 40·12·~9. J4·J · 17 and H·3·18, Ctxk 01 A!~I>.I"",. 1975, as amended .• et lOrth Ihe .!>tulory r"'lu ir",""n" to. licensing.nd memo t:oe .. hip In Ihe Alabam. 5w~ BM, licen"" Of """i.1 membership du... are ,,",vable belwt.... n October I .nd October)1. wilhoul l)tnalty_ ,r-.c... d""l ;ncloo. a SIS annual sub" "'I" Ii"" 10 Tn., Aid"""". I dwyef, The occupal,(,"~1 licen.e ( lor th<M ""IIo'!I"d ,n lhe act,ve ",,,,,,ice of taw and not e.Pm"- from hcen •. '''II t:r,. Ylnue 01. 1KK.lion !wok!. "e .• judge<h'p'. a",,,",,,yo g~ ..... r.l. U.S .ttorney,. d,'I"CI attorne~ •. e lc,1 should be I'UrchilM'd ftom lhe probole j~ 0.- ......,...... c"""".s._ ,n Ihe c ily or tOwn ,n whoch Ihe I• ...ye< ho. k" 0.- "'" pr,nc'p.ol oifo«, ,'''' COSt of "'" hcmit is '150 pi", I"" nom, ....1 county ....... nce ~ Speci.1 memberSh'p du". (/Ot !ho\o' .... ~ ,n lhe .l(tove ",x. bee of 1_ but ~"inB 10 ...... 'nl.on .n ..ct.ve rnembet9l'P !hook! b<o rPmi,"'" d,rt<:tly to lhe At.bo"", $t.1fe ~r In the .mount of $7S, ,he ","",al rnemIxorship ~ not enl ' l~ roo to ",<>oice I.... II roo ""ye .ny quell,OR< res.rd· .ng membersh.p ".tu. or dues pay. "",nl. plu"" <ootacl Aliet 10 HM ' . d ri , .1 (1 05) 2~9 · 1 5 15 Or 1·80 0 · 392·5660 (In ·".I. W,," I S).

"'1"')

March 1992 / 97

Org.niution set up to seOle de.f . nd .... ring .im~i~d Th~ pa ..age of the Americans with Disabilities Att. (ADA) P.L. iOl ·336. has opened new kgai avt'nues for deaf and huring-impaired people throughout the country. A group of attorneys. including deaf. hearing·impaired and hearing attorneys wishing to serve the deaf .nd hearing-impaired population. is selling up a new national legal non· prof,t organization. Some of the initial l!OOiI of this new organization indude. but .re not limi!ed to, l. Providing information r.lating to deaf issues of ADA and related fields for attorneys and judges wishing to know more aooutthese .",as , 2. Providing a national refemllist of attorneys able to serve the deaf and hearing-impaired populace. Any organi. zation .erving the deaf Or hearing· impaired community may use this rderral list for i\> members. 3. Meeting at least annually to learn how to beller serve the deaf and hear· ing-impaired community. Draf and heuing-impairffi attorneys

(I.e .. government. pri"ate law firms, corporat ions or law studen\>, etc.) .r. wanted. Hearing attorneys with th e ability to communicate with deaf or hearing -impaired persons and those allorneys whose offices are accessible to deaf and hearing· impaired clients are also strongly encouraged to join. A national meeting is te nlatively being planned for late June 1992 in Drnver. I'or more information contact Lwnard Hall at (913) 782·260(1 IIfTDD. The organization 's mailing address is P.O. Box 106. Olath e. Kansas 66061 ·

0106. Schol.rshlp fund est . blish ed by circuit Judges The Alabama Asso.:iation of Circuit Judges recently establiShed a SCholar· ship fund to promote the edu~tion of deserving students and haoor til<: memory of deceased Alabama Circuit judges. The fund was creat ed initially by a gift from the Alabama AlsGeiation of Circuit Judgu. and all inte rest and income earned by the fund will be usW to award schaiarshipi to students pur· suing law school.tudies.

('N'paN' simp/~ or ~ornp/(.r ..-i/ls in minu,. ...;tn I1ttom~ys 'Compul~rN~I work sofiwart. The ..ute·sp~~iji~ pro/(rtlnu a,;k multi/'IN:noia aNIfi /I. in ·tn~·blunk qU~SliOltS. ,h~n rompou miluN'd documtms ..-hich can IH rdil' rd ..-ith your 18M·~ompa/ibl, won! p"'«ning ' *,,'ON', Us., fritndl)\ nO commands 10 I~{lm, 1.... ",-,u, t.ibrwy'. ~id<,_yolpnl'_

Any member of (he bar or community may contribute 10 the fund in memory of deceased judges. Additionally. upon the death of a circuit judge, the Association of Alabama Circuil Judg•• will COIltribute S1,()()() to the fund in memory of the deceased judge. Tht recipient of the schalarship will be selecled by the schol."hip board of trustees ..-ho art appointed by the president of the Alabama Association of Cir. cuit Judgel;. Students who are Alabama residents will be awarded the SCholar· ship bastd upon academic abilit~ and need, At least one scholarship will be award ed beginning with the 1992,93 academic year. For more in/ormation, contact Judge !ngt Jnhnson .t P.O. Box 191. Tus· cumbia. Alabama 35674. Dec ember 1991 adm lttees FranciS Gilbert Davis. Jr , DolIllS. T= Russell U:e IThy, 111 Eufaula. Alabama Elliott firi!lon Monrne Ws Ang('1"'I. (Ali{omia James Lynn Perl)' Pascagoula. Mi.<si.<sippi Jean Muguerite Powers Allimla. Goorgia Heath I'itzgerald Trousdale Florm«, Alabama

October 1991 aclmltt_ omitted

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•

/oJ Whio< S< • _ '\\:ri, NV rotJ U'OJI 221·l'1Tl FAX 1lI2/ '11· 11l1

John Andrnw Caddell (1933), John &>II

Caddell (1991) and ThomQj A Caddell (l9fl)) (grandfather, oomillee and urKle) Oop s! In the Janual)' 1m Illabama /.Q~yer. K.llie Nabors Mulherin was accidentally Iolt off the list of new admintes to the bar. The editor. r.gret any incon,'" nitrlCe or embarrassment this may ha .... ~u.ed.

• THE ALABAMA lAWYER

YOUNG LAWYERS' SECTION B/I KEITH 8. NORMAN, president C_ltt_ Focus - Dl••• t.~ R•• pon. . An import.>nt committee 0( t~ Yoonll u""Y",,' Section is the Ois&I.ttr IInpo.>11SO' CommittH ~h.airtd by Judson W.U. of Mobilt. Whill: it is tht commillH which ~ hopt is nINe. (iUtd 10 Ktion. the purpose 01 the Disaster RtspOIlS( Com· mitlu il \0 ;u.s;S! victims ofllllwni dis.uteu, in.c:luding

Alabama coordinator; YLS E)(Kuliw Commi ttee mtmbtr Tri~ Wilton of Opelika is the USl Al<lbami coordilll.\or; ;mil com milt« chair Judson W.II, 0/. Mobil. KM$:as the iOlItto~· .... COOrdillalOf. Our Slate's efforts coincick wilh tM efforts ollM Young ~rs l>ivision of the Amtriaon Blot Association. Tm YLD',

Hoods, hurrianes Of t~ ~ currtnt YLS committ.., is ()isutt. ugaJ Assistlnct Committee lin bttn working with in inltg",1 part of the Alabamo St.lott 1lir'1 Response .tatt affiliat .. throughout the nation ",nod tho redel'll] Eme.Plan which ..-as duigMd by the bar'1 Tuk , _ _ _ _ _ _ _ _ _ _ _, ~1Ky Managemenl ,,*nC» to pTOI'idt I force on " 'salttT Re$p<.ln 5e and .tcom· national network of legal as.istance in mendtd t<l the board of har commiulontl>< t\'tnt of a disasttr. Pn>.. ntly. we au .., for implementatioo. The plan that WM one of II state )I(Iung lawyer affiliates which hiYf ~ disMter rnponH commitr«OIl1mended by the bar's WI! /(I«:( _ iIPJI~ b.st Octobn by the board. tn ~nd plJn in place. Of all tht uu.bI~ $lilt plans.. I kll...., tJ. Alabuna network to pro-ide legal lIlsistance to MultI-faceted apprDach The Alabama SUte Bar's Tluk Fom' on disuter ..;ctims to k tJ. IllOCkl and but OiAller Response, chairtd by Rickard F. plan of Ihem III. This is something of Allen of Montgomery. dt~ll)JItd a com· which we ea.n k lrul)' proud. prehensiw plan to respond in the twnt of ,u prtviow;ty mentioned. Ihe Ili$l.Sltr • di ,uter. Tht plan incorporalel th ree RUpOns-t Committee i. On. committu plans which a..: Ol .. network to provide that we hope I'\fYfr has 10 function. Vd, we all know lkat I disMt .. aon slrikt ~t legal usislllnce to victims: (2) a pan.chute l~wye r plan: and (3) ncolUtitutional of any moment. so Wi: must k prtp,ared when il does. The ibility of this commitloal bar aod 10aI jOOic~",. The Y1.S PlI' tft to ~ull)' aorry oot its mission licip,atioo inVOliYa tho fir>t prOrIg of this plan _ the nttwork to proWSe 1fg.i1 assis· doptnd$ 00 tJ. willingno. 01 YU) mem· bers. when calltd 00. to VOllunletr ,lAd tance to w lims. The plan tkat is conceived by tho slllte bar's wk force antic · p.arllClpoate If you would likt 10 haYe)'OUr name inelutletl on I list of laW)'eTS .... ho will VOlluntur to provide legal usislllnct to ipates thit the bar will be notifie<.! by t~ AlWIN Ern",srncy M ~"lgement Aj/ency (AEMA) immediately UpOn the OCcur· disaster victims. contact me or Ihe VLS coordinator for your .. nee of a diwter. The ALMA contacts the office of tile attor· area. Vou may al"" volunleer for service in this .. ga.rd by hi.... ing your name included through tile Alabama State Bar Volney gene ral and the Alaiama Nat ional Guard, ,,·hich hlove bftn designate<.! for on·site dlo~ auaslMnt in coordirut· unlft' ~rs PrOilrim. To k included through tile VLP, tion with asslstance. On .ilpproprlatt di:ltrmiruttion. -oiuntHr (OfI1JcI. tho program., dir«tor. Melioo. Waters. It the state lawytl'i will maintain a desk II the diQst., assistance centu bir htadquarteTS. in lhe loci", ~fecltd.. \'oIunt«r lawyers will be p""";dtd in Remember tkat diAlI .. aon strike al ~y time. ",'e fIftd CI.IO!'trlltion with the Y1.S. in addition to thoH who -oiunteer )'OUr Ilelp, SO voluntter to be I po.rI of tho ridwork to proWSe for s-tI"Vice. for the purpose of this plan. the state has betn ltiJal assista~ to diwttr victims.. • divided into foor geographic regions, and I Vt.s volonte .. coordiruolor No. betn .... igned for nch region. It is conceived under the ~Ian tkat the coordinator identifies la~TS ..... ho are s.,..:laUzOil\ In E>.p<rt 1btirnony willing 10 $liIrtici$lillt and POlS them in touch with tho p"fSOO l ........riaI" ~ Aaioltnls at Ille di~er location who schtdulu tJ. services for yolun· te" lawyers. Once on the scent. a VOllunlur Ia~r would providt legal advice to disutu victims on topics ranging from landlord ttrWlt matten to ilUUrlIIl« clai,"," MELOF F RED The slllte bo.r's DUMter Respons.t Plan divides the ltatt into loo r ~reu which inclode north Alabama. centra] Alabama. tast Alabama and south Alabama. VI.s E~eculive Committee ~ p....,...Iw<., ll"",""""" (205)m.st59 mernkr l>enis-t Fergoson of lIunt.vil1e i. tile r.orth Alabama lIinninghom. AL 35209 coordinator. n.ni .. Land .. th of Birmingham is the central

Disist.,

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•

Tm: AI.AIIAMA LAWYER

Ma ..h 19'92 f 99

LEGAL SERVICES CORPORATION OF ALABAMA Continues Its Efforts to Provide Quality Legal Services to Needy Persons By PENNY W£4VER he Legal Servion COrpOralion of Alabama is a pri. vate, non-profit organi"'lion funded by Congress 10 provide free legal assistance 10 poor people in civil matten;. Through 17 offires located in seven regions-Dothan, f lorence. Cadsden. Mobile. Montgomery.

Selma, and Tuscaloosa-it serve. clients in Ii(} of Alabama's 67 oounties. Two other federally funded programs, Legal Services of Metro Birmingham and Legal Services of North Central Alabama, based in Huntsville . ..,!VI' I~ remaining I'Nen counties. A fourth program, the Alabama Consortium of Legal SeT. vicu Programs, p'O\Iides training and other suppOrt for the three field progr.uru. Legal SeNices lawyers handle only civil

cases and are prohibittd from representing clients in fee-generating cases. LSCA will receive $5,385.693 this yea, from the Ugal Servicu Corporation, In writing the Legal Servku Corporation Act in 1974, Congress declared that "there iJ; a need 10 l'fO"ide equal access

IllEftlOsH 110>, 12:1-'" ,

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IOO I March 1992

to the system 0( justice in OUT Nation for ind;"idua.ls who seek

redress 0( grievances." To accomplish this most basic 0( our 1m SOCiety---.<>qual justiCt' under Iaw-(:ongress

promise went on to oommit il><'lf to providing a basic level of fr .. legal services for the poor in every oounty in America. But, with the inauguration of the Reagan Administration in 1982, the original noble goal of LSC be~me a day·to-day baUle to merely surviw. LSCA'. new dir~tor laces many <hattenge., with the ~ed for increasing funding SOUrce. at the top of the Ic.t. The tack of adequate legal services to poor people in Alabama was well doc· umented in the state bar'. 1989 legal needs survey, a 5tuil» jointly funded b)' LSCA and the Alabama Law Poundation. (See the three ·part series in The Alabama Lawller , Volume 51. numbers 2, 3 and 6, "Assessing the Legal Needs 0( the Poor: Building an Agenda for the 199Os",) The LSC grantees in the stat. have not begun to be able to k..p pace with Ihis need, These programs emplO» one laW)"'r for e... ry I 1,(l(l(I poor per_

h-nn y W . . ve, ""'"'" w.. _ It ~ «<woe _ I « ... ~ CoMorIkMn 01 109"

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"' .. , .. ... ~"' ...- I « ... SooJIhom ~ looI C - , ..... _"'00l0<0I""_~ ~-"'Pmgoom "' ... - . . . . " . """"" E<I<.abon Pmgo om. _ . , . , F, _ _

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.."..,.,.""""'-_ ....

THE .lli'.BAMA LAWYER

sons in the state. while the ~rall ratio of Alabama la~rs to its general population is one t0400. The Anwrican Bar Associa· tion esti1'l'llOtes that ea<:h }'tar one poor pe1'lQn in four will need legal hell' in a civil matt ... Incorporated in 1976. LSCA w"' founded by lawyers from acro •• the state who saw th unmet legal needs of poor Alabamians. It received an operatiTli/ grant from the I£gal Ser· vices Corporation and began service to clients in 1975. The program rapidly t'Xp.lnded in t979 and t9M to reach clients in its 6Q·county service area. In 1982. a 25 percent cut in program funding, coupled with a.w.. requirement to spend 12.5 percent of its grant money for the involvement of private attorneys in service delivery. forced LSCA to drastically r.duce its legal staff. Although there have been .mall inc ....... in !.SC appropria· tions in the I.. t decade. the program has never been able to regain the number of staff members it had in its early days. The program's 1991 funding from LSC was some $300,000 lu. than it. funding t"" ye .. " ago in HIS!. In 1981. LSCA emplO}led 92 IaWY'rs; in 1991. it emplO}led 52 with its !.SC funding. I.SCA closed 20,406 cases in 1991. The vast majority of ~ ~ involved acee.. to public benefits, consumer is>ues, housiTli/ problems and domestic relations. In 199I,!.SCA w" able to establish special domestic violence projects in five of its regions with a $200,000 IOLTA grant from the Alabama Law Foundation. Each of these prO;Kts funds a la~r who provide. di .. ct service to clients .. ,,-ell .. general advocacy and education around domestic violence i..ues. These

projects are located in I-SCA's Florence. Tuscaloosa, Mont · gomery . Selma, and Mobile regioru;. The IOLTA grants enabled !.SCA to provide an addihonal ser· vice to its low·income clients, but because the monty i. ear· marked for these projects. IOLTA funding has not helped Ugal Services staff in their struggle to meet the day·to·day legal needs of poor Alabamians. An increase in general funding will be n«'$$ary to do thi •. Looking toward t'Xpanding re .... nue source., the thru LSC· funded programs in Alabama have jointly undertaken a devel· opment projec\. Directing this effort is !ii!ary Luks Chiz. a Birmingham native with a background in raising funds on behalf oIl~gal issues. 0"" focus of Ugal Services' fundraising will be an effort to receive a greater portion of IOLTA funding. The Alabama Law Foundation cur.. ntly awards 37.8 percent of il5 JOLTA montY to the "Legal Aid to the Poor" category. In other ,tate., that amount awroge. 75 percent. !.SCA is governed by a IS·member board of di recto". The Alabama State Bar appoints eight of these. the Alabama l.a"'),ers Association appoints one, and the rest are client-eligible '!>POintttl! of various community organizatioru;. The board members are Inez J. B.. kin, Montgomery; Celia J. Collin., Mooile; Eamest Doyle. Selma; Scott Hedeen, Dothan; Lucille Jenkins, Montgomery; Walter F.. McGowan. Tuskegee; I.ittie Pull om, TuscalOO$1l; R.L. Raney, Florence; Robert D. Segall. Montgomery; Kathleen Th01'l'llOS, Chunchula; Bryant A. Whit· mire. Birmingham; AI L. Vreeland, Tuscaloo..; McCowin Williamson. Creenville: and Fred Wood, Hamilton. •

Ludgood named director of LSeA Mobile lawyer Merceri. Ludgood has assumed the leadership of Alabama's largest Ugal Services program. the Legal Services Corporation of Alabama. Ludgood, an Alabama Lawyers Association·appointu to the [.SCA board of directors since 1982. Wa.! selected as the program'. ne-..· director at a special board meeting. The board, acting on the recom· mtndation of its select ion rommillee. voted unanimously to offer Ludgood the position. The selection committee interviewed 11 applicants for the directorship. Ludgood. a nah,'I' of MooHe, eamed both her BA and MA degree. in education from the University of Alabama. In 1978. she entered Antioch School of Law in Washington. D.C. Ludgood participated in a special program offered by Antioch at that time. It was geared toward older students with activist backgrounds. Under this program. a law stu· dent began actually serving clients in the second seme.ter of their first }'tar. While in IIIw school. Ludgood worked for Neighborhood I£gal Services in W.. hington. and also clerked for Senator Hov.'I'li HeAin on the Senate Judiciary Committee's Sub· Merr:eria Ludgood COmmillee on Jurisprudence and Gowmmental Relations. In 1981. she fonished law school and returned to Mobile to enter private practke with Vernon Crawford, Michael Figures and Sam Irby. She remained with that finn until 1988 when she ",-ent out on hu own a.! a sole practitioner. Ludgood is currently on the Mobile Bar Association's Executive Committee and in the past has served on its Continuo ing Ugal Education Committee and its Pro Bono Project Committte. She has b<en a participating la....,..r in the Mooil. Pro Bono Project since its inception . Since 1985, she h.. t:>un an assistant county attomey for Mobile County. and since 1990. assistant allomey for the Mobile County Personnel Board. Re<:ently, she was appointtd a spe<:ial district judge and probate judge in ~lob il e County, •

March 1992 / 101

LEGISLATIVE

WRAP-Up

By ROBERT L. McCURLEY. JR. UCC Attlcle 4& _ " Funds

Although 111m is no «mprthmsiw .... g.:twmina cQmfI'IercW funds Inns-

T'_.f.....

The Al~bilmi L;ow Institute hill -W1'tlVt<l and prl'S~nled 10 I.... uS;"'" lure iI nfW article to 1M l)nifonn Com· mercial Code. Attorney La . ')' Vincent t .... irN tho commiUH with tho: folLowinj I.I~ .. Krving on the committee: John Andrews. profuso, Oon Baker. Burlon Barnu. Himp 801H. Rkhl.rd. Cilnno:>d)'. Robm Couch. Bm lUirston. 111. Pill""" Hamilton. R()IUld L. Sims.

Ius. Regulation J (federl l law) c(Mf$ the interblnk PlOrt of lny commercial fund i tromfer by the Federill Rue~

Judge b mes Sledge. and Joe Stewart. Proposed Article 4A of the uce was ~Ioptd to fill i void in I"" t- ..,Lat· i", to iI typo 01 p&ymml macIt through tht bilnking system called i "funds lBllsltT". emeRII)'. iI funds transler if <I II . ge. rapid mont y ' .Inder be tw•• n commtrciai t ntities. ror example, th. iVtra gt transr.r invol~1 $5.000.000. Coruume, t'an$;lctions such as erod;! cards. debil cards. ilu!omilted tell • • machiroe transf... and checks Irt go.rmed by 1M E!«Ironic I'Und5 TnnsRr Ad, not by this ..rlicl • .

mi ift cO\'ued under Rellulalion J. tranYCtionol; occur ",ilh no com· prtlltnsi\"f rults ind no readily uctr· tainilbit tstablishtd law IIOWm ing tho$e tralUictions. hooce . lilt nted for I com· pre h.nli~ Itl 0( ruin to ~m thue lransactions. Articl. 4,\ is duigned to n tabl ish rub o:M'ri"ll tht rigllu MId obligationol; eonnecled wilh fundi transfen. Th. art ide halanctl Ihe internl of blnb, commercial UU TJ t h is paymen t method and 1m ))Ilb lic concerning luch problel1l.'i" authorized PlOymtnl orcltrs. improfle r utCution of Pl')'rI"ItI\t orders. f. iud and insol~ncy 01 po.rticipo.tinll blnks. The article Ipfcif~1 who likes tht risk 01 klq, who will bt lilObi< Ind wNt ~ IN}' be usused. Unifo r mity with Regulalion J. and with 31 statts who 1IlI~ enacted 4A. il important 10 mainlain iI speedy Ind inupensM: syUtm 10 transf.r funds .. Alihaml upo.nds inlO oth.r nilliOn.lll ~ inltm;otion.lll marl«<s. A lick of unjfonnity could resull In iIIl inexperienced bullnus ptrson or enlily in.lldwrtently incurring excessive liability.

INJI)'

nttworI<. Artitlo 4A ~ Regulation J In: tOmPlOtible. embodying tht lime con · apU. Thus. ewn though I miIjority of tilt funds transftrs occurri"ll in AIa!».

BAR-DIRECTORIES Bar directories came oul last monlh.

PM 1 - Subject Matteo' and Defll"litions In ~;Iion to providing dtfinitiom. Ihis PlOrt tstablishts which tramfm of funds lrt covt rtd by Ih il article and whkh are oxc ludtd. Consumer lransactions are go~med by federal law and. therdore. art ucludtd (1108). The Ii"", of rfceipt of iI payment order il goYm>rd by S«tion 106.

ExIra copies are S15 each. Send checks or money orders to :

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Alabama Bar Directory P.O. Box 41 56 Montgomery, AL 36101

1()2 / M.lOrCh 1992

.....

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THE ALARAMA lAWYER

Part 2 - Issue and Acceptance 01 Payment Oroor This part cov... the security prl)C~· dure (f201) established between the customer and recei"';ng bank and authorizations of payment orden (§202). It also addre .. es problems and liabi li ties under such situatiOn> as erroneous pay. ment orden 11205). mi Ml~scription of beneficiaries (§207) Or banks (11208). and urw:cepted payment orden (!212).

Steve Windom from Mobile; House bill 97 sp()nsor~d by R'prt5tntati,·. Mary Zoghby.

Pari 3 - Execution 01 Sender's Payment Ordef by Receiving Bank

Constitutional amendments to the Business Corporation

Pa" 3 establishes the execution date and the obligation of the rectivinS bank in execution of the payment order (§302). The effect of errOneOuS execution of a payment order (§302) and the liability for a late or improper extC\l· tion Or failure to execute the payment order (1305) is also covered. The responsibililies of Ihe sender to report an erroneously extCuted payment order are set out in Stclion 304.

Ao.

(~301)

Part 4 - Payment This part tstablishts the p3}'rnent date (§401) as well as the obligalions of the sender (§402) and beneficiary bank (§404) to make paymonL Payment by the sender (i403). by the ~neficiary's bank (H05) and by the origin.llor (§.tOG) are COVtrN. Discharge of the underlying obligatioo (HOG) is included. Pan 5 - MisceUaneous Provisions Generally. the partits may aller their rights and obligations (lSOI). Creditor proce.. and setoffs (IS02). injunctions and restraining orden (~S03) and rate of interest (1506) "re Cl)V<red. Tho order in which payment orders may b. charged to an account (1504) is includ· ed among the miscellanwus provisiOn>. Finally. Section 505 essentially .stab· lishes a one-year rul. of repose.

Institute bills before the Legislature

uee Article 4A - "Funds Transfers"

lICe Artic le 2A - "LeasesSt""1<c bill 113 sponsored by Stnalor Jack Floyd. Gadsd~n; Hou~. bill 135 sponsored by Represenlati"" Mik" Box. Mobile. Set Alobumo LOWlier. May i991.

Se""te bill 119 sponsorM by Sen.ltor Pat Lindsey. Butler; House bill 108 sponsored by Representati\-e Jim Campbell. Anniston. This prop()Se<.i amend·

ment is 10 §§232. 233. 234. and 237 of the Consti!ution of Alabama of 1901. r~lating to corp()ration5 to authorize the Legislature to d.fino acti".;ti .. that do Or do not constitute the doing of busin... in Alabama offoreign corporation5 it also pennits domestic corporation5 to engage in certain business not "xpr~.. ly ~uthorized by its charter and remOve. ctrtain re.tric t ions on th~ issuance of stock and bonds by dome.tic corporations. The amendment will ~I.o permit dom .. tic corp()rations to i.. ue preferred stock as .uthori ..d by 5tatt 5tatutts. For further lnfOl'Tl'l3tion. contact Bob McCurley, Alabama La", Institute. P.O. Box 1425. Tu.calOO$il, Alabama 35486 Or phone (2051 348-7411.

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Senate bill 6.6 sponsored by Senator THE ALABAMA LAWYER

Marchl!m / l03

BUILDING ALABAMA's COURTHOUSES

LAMAR COUNTY COURTHOUSE 81/ SANUEL A RfJMORE, JR.

ThQ following ~onlinulls Q hislorll of A/ooomll's county cour lhouslllIfI,;. origin, and '(I~ oIlh, people .mo t;Onlribulni 10 Ihrir grtJI£lh. Til. Ar. ..... "" •••, pia ... /0 run 0..., count,', s/O? in ftICh issue oF/he IOO/ll1lirw. If /IOU Iww /11IN p/lologrophs of eIlrlll or

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font'tmi (hem If}: Sam",/ A. RumQre, Jr., Miglionko & Rumort. /23() Bro,,:n Ma rx Towl'. flI'rm <'rlgham. Alobama

35203.

~_,County ~r

County, in northwtst

Alabama, hn t .... o in Itrtslint dUtincticlns. [\ is OM of only three rountiQ

in ~ !Iv atlltr ~ being CoIbtrt and Etooo.'Ih. to hi~ bttn c~ttd. aboI· ishfd and \h(n r~~tabHshed. And it is the only Q)Unty in Abbo"", to h,a"" ~ thl'« different namn- Jones, Sanford l1Id 1.00""". If lrl)I one person could be callod tho ""ather of urna. County" it must be John Hollis Bankhnd, the patriarch of Iht family which productd such emi. ntnt Alabamians IS Senator John H. B.l.nkhud. Jr .. Speiktr of tht HOUK William 8. Bankhud iIOd actrus Tallulill Binkllead. Bankllead's ford>eus ~~ UTi)' ~ pion«rs who settled in the ua lItir pl'Qtnt4ay Sulligent ~round 18t6. He Htwd as a CAptain in tM Conftderate Army MId ~gan IIi, long Cllftr of publ;': Hrviu in 1S65 by winning <I Hat In Ille Alabama 1A:gisla· lUre from M~rion Count~. His political carur continued until his death in 1920 wilen &nkl1ead was W\ling as a United

104 1 Marcil 1992

States Stmtor from "I~bama. H. Wat the last Confeduate veteran to seT\lt in the Unitw States Stoate. On bnu.l.ry 21, 1867. the )'QunS and ambitious repruentali~ proposed Ihe crulion 011 new county. TIle northern ~rt of tile counly would be talIon from Banl<Ile~'s own Ma ...... County. and tho soutllern p,arl would be carved from '-iyette Count~. lie proposed thit tile now county M mmed "Ston...·aU" in honor 01 tile Confwm.tt Ilero, Stone...·ill JlCkson. All wtnt ~II unti1 tilt third. rudi"i 01 the bill. Mmy "carpdbag" Ind "K.lawaQ" "",mM" of tlli, Re~on$truction .tra ugisl,tu re found the Nome Stonewall to M unacaptable. and $0 ~nkhead's bill failed to receive the required two·thlrds majority vote . A few days latu. Bankhead ~submit-

IN Ilis p<OpoNl. This Ii ...... howewr. 1M word "Stonew.lI " was deleted. In its pliU he subslilUlW the Nome "Jooes". Elliot P. Jonu of Fayette County was a prominent and Innuenti.! member of the Legislature ~t the time whose sup· port BIInlthud ,,«\IN. Bankhtad """ • mIl\tr pOlitician own from his earliat days. mel he knew how to manflMr in order to OOtiin his IIOlIs. If tho name he clloH the fint time hurt his dforU. then the name he ~ tho StCQfId limr would ensure his $1,ICCnS. On reb"",,, 4. 1867 Jonu County. "h,b,,,,,, ...·as uw,lishfd. By March 1867. Congrus had passed the Reconstruction Act which ended Presidential Reconstruction and beg~n the Congr.uional ~rsion. Th<! civilian I/O"frnmtnt of Alabama was """'. subject

TII£ AIABA.'1A lAWYER

to Congre..ional Reconstruction poli. cies. The actions of the newly created Jones County had to be approved by the Freedmen's Bureau and the military authorities. similar to Justice nep.;ort· "",nt pre·clearance of political changes in Alabama today under the ]965 Voting Righl!Act. On April 29. 1867 Jon .. County recoiwd app1'(ll.'al from Wager Swaym. a commission .. of the Freedmen's Bureau. to conduct an ,I.ction to deter. mine the site of a county seat. Major General Swayne instructed the county that no person should be denied the right to vote in this election because of race or color. The site chosen for the county leat was a 30·acre tract of land centrally located within lhe county. The govern· m.nt of the county l>egan its businns on August 26. 1867. Ont of the first orders of business was the selection of a n.me for the county sut town. The name chruen was Swayne in honor of Wager SWayne. who by July 1867 had bun appointed the military gover""r of the State of Alabama. General Swayne was an educated man from a promin.nt Ohio family and a distinguished member of the United Statu Army. He graduated from Yale in 1856 and the Cincinnati Law School in ]859, and pract iced law with his father in C<llumbus, Oh io prior to the outbreal! of War. His father. Noah H. Swayn., .. rved on the United States Supreme Cou rt from 1862 to ISSI. The younger Swayne entered the Army on August 31. 1861 with the rank of major. He suffered Ihe loss of a leg du ring the ,",'ar and was awarded the Medal of Honor for bravery. Swayne completed his military career as the mil·

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ital)' governor of Alabama from July 1867 to July 1868. and as commander of the Alabama Freedmen's Bu reau unti l January 1869. He retired as a major gen· eral . nd "turnN to the practice of law. He died in Ne", York December 18. 1902. By Septembe r 1867 the town of Swayne W'$ sut\'e~d, the future loca· tion of a permanent courthOU$e Wa$ chosen. and the construction of a t.m· porary courthouse ",as authorized. Fifty 101$ ",,,re sold to indi\'iduals at a public auction to raise funds. And, on October 3. 1867, the first county tax was leviN for courthouse and jail construction. Despite the progress Jones County had made. a mo .... ment arose in north Alabama to undo the action which creat· ed the county. On November 5, 1867, a Constitutional Con.... nt ion con .... n.d. At the con .... ntion. a delegate from Winston County introduced an ordinance to abolish the county of Jones. Tht propos· al "'as referred 10 a committee on coun· tits and municipal organizations. The commillu decided to return all political boundaries of Alabama to those e~isting

On January 10, 1861, the day before Alabama adopted il$ Ordinance of Seces· sion. Ho"' ..... ', an exception "'as made to the poliC)' of returning to the pre·war boundaries. Counties which had pur· chased property for til.': construction of public buildings and had already assu"",d a contractual public indebted· ~ w.. e exempt. Jones County did not fit into tilt exemption. On November 13. 1867. Ordinance No. I of the C<lrutitutional Con'~ntion of 1867 abOlished Jone, County and returned its territory to Marion and Fayette counties. Ceneral Swayne did not favorably \'iew this action of the rad· ica l Constitutional Convention. On DecemMr II. 1867 h. unt a leiter to the probate judge of Jon .. County info rming the judge that he had attempted to u" his innuence to sa,.. Jones County, but "'as uruuccessful. He stated that he would II)' to get the coun· ty r.·established when the Legislature "",t again, and suggested thaI the coun· ty should continue il$ business as if it had ne .... r been abolish.ed. The year 1868 ",as an intuesting ti"",

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March 1992 1 105

in the life oflh. thtn non ·...islen! Jon« ~ ... the .tat. supeTintendent of registration sent C(lunty. In May of that

BAR DIRECTORIES Bar d irectori es came out last month. Extra copies are

$15each. Send ch ecks or

money orders to:

Alabama Bar Directory P.O. Box 4156 Montgomery, AL 36101

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inst ructions to the sheriff on how to draw jurors in the county. In July. the probate judge rem;lIed to the .tat. the county tales he had collected. [n August. the tax collector of the nOnexiSlent county ,"<eived instructions from the state auditor on conducting hi. job. And. during the year. the county govtrnmont tet contracts for a court house and jail. To further compli cate maners. after the first Jones County was aoolis.hed in I\Orth Alabama, a $tcond Jones County was created by the Alabama Legi5l.ltu~ in south Alabama. On AugU.lt 6. 1868. the name of Covington County was off,cially changed to J~. County in honor of Josiah Jones. a local political leader and former legislator. Jone •. h"".., .... r. did not ....ant the county named for him. Therefor •. in 1868 Alabama had a nonexistent Jon •• County in north Alabama .... hich was functioning and _king to b<e recreated. and an existing Jonts C""nty in south Alabama that its namesake wished to disavow. To end the confu· sion. Jones County in north Ala\!.lma was r.·utablished on October 8. 1868. but was renamed Sanford County, while on October 10. 1868. Jones County in south Alabama again became Co\ington Counly. The Reconstruction Eu was certainly an unsettling time in Alabama histooy! The new Sanford County was named for Henry C. Sanford. He was a nati .... of the Greenville Oistrict in South Caroli. na. a pionee ring settler in Cherokee County. Alabama. a minister and a leacher. But. the most important appar· ent reawn for the selection of his name for the new county was lhat he was a sitting member of the Alabama ~nate in 1868. The Alabama Legi.lature at that time had a puticula r propensi ty for hollQring its 0WIl. With the county getting a new name. it ....as decided that the county $tat town should also have a name change . On November 10. 1868 the name of the t"""11 of Swa}'rle was changed to Vernon. The county commissioners had met to choose a new name when one of the local residents. Edmon Vernon of Ver· non. England, asked that they name the tov.'n for him and his native city. The

commissioners agreed and the town today remains Vernon. The fir.t courts in the county convened in a log house belonging to Dan iel J. Molloy until a temporary structure was bui lt. The county paid L. H. Jac kson and Thomas W. Finch S300 for the temporary courthouse . The firsl permanent courthouse waS designed to be located on the public Square at Vernon. Daniel J. Molloy iIrld JUst Little Taylor e.tablish. d a brickyard at Vernon for making the courthouse construction materials. The courthou$t and jail _re comp leted by 1870. and the total co.t was approxi mate~ SI4.ooo. Th. Rtconstruction Era en ded with the election of President Rutherford B. Hayes in 1816. John Holli, Bankhead was not in the Alabama Ltgislature at that time . but he .... as a per son of tremendous political influtnct. Bankhead n . .... r quite forgot the compromise he had to mak. conc.rning the name of the county he helped to create . In 1877, h. decided to exert his influence to I.t the world know his personal sentiments as _II as the sentiments of his country con«ming the Confederacy and the post-war period. With his urging and suppOrt, On Februaoy 8. 1877 the Alabama Legislature changed the name of San ford County to Lamar County. This action was to honor Lucius Quintus Cincinnatus Lamar of Mi ssisSIppI. Lamar waS a .... t i.... of Georgia who mo~ed to Mississippi to seek greater opportunity. His father-in-law was president of the Uni .... rsity of Mississippi. and Lama r taught math e matics at the Oxford school while establishing a l.lw practice. li e was elected to Congress prior to the Civil War but left tojuin the Confederate cauSe . H. served in the Confederate A!TIl}' and was also a Con f.derat. diplomat to Russia. After the end of the war. he again taught at the Un iversity of Mississippi and by 1872 was in Congress again . His actions in Congress helped bridge the political di visions bet_en North and South. A congressional tribute which he deli .... r.d for the late Senator Charlu Sumner. a M31lsachusetls abolitionist. won him national recognition. In many minds he represented th e healing process required to make the country whole THE Al.AlW>IA LAWYER

again. By cl\oosing his name, Bankhead and the Alabama L.egislature symbolical · Iy indicated that a period of political bit· tem w .... drawing to a dou. The illustriOUS career of Lamar con· tinued alier the county on the western border of Alabama was named lor him. He btcamt a United States ~nator in t817. secretary of the interior undn President CleI"eland in 1885, and .. rvtd on the U.S. Supreme Court from 1888 until his death in 1893. Lamar was indeed a worthy recipient of the I1onor sugg.. ted fo r him by John Ho llis Bankhead . The 1870 courtr.ou..e in Sanford (lat .. Lamarl County did not serve the county ...."'U. AJmQl;t from its completion com· plaints ...... ,... made that it was too small. For over 20 years dissatisfaction ,im· mered. Several towns in the county caUed fo r the removal of the court · house. By 1894. the probkm became fVtn mor. acute !>tcause tilt structure had dewloped leaks and cracks.

In April 1894 bids ...."'re sought for a courthouse renov.tion project. D,S. McClanahan of Columbus , Mi"i"ippi submitted the low bid 01 awroximately 52,300. He added four rooms, remod · eted the otder part of the building, and th en was authorized to make other improvements. The cost overruns required the county to i"ue bonds to comptete the project. By the ear ly 1900s. Sulligent in north Lamar and Mittport in south Lamar vied to become the county seat and take the courthouse from Vernon. However, Su1tigent soon became the only rival in a petition for a courthouse election that was circulated in the county. A counterpetition opposing an election was also circulated. Both peti· tions ...... re submitted to Governor B.B. Comer who appointed the state exam· iner of public accounts to certify the signatures 01 the qualified electors. Tho .. who supportw Sutt igent wan led an election and thO.\e who supported

Vernon opposed an .1eclion. Millport residents sided with Vernon to " eel' the courthouse from !>ting I1"IOWd to Sulli· gent. The r.sult was Ihal more quali· fied electors opposed an election than requested one, and so the issue of courthouse rt!l)()\>a l was closed. In 1909. a new courthouse was built in Vernon. Thls courthou ... ""lIS of CIas· sical dtsign with four larg. columns, a ~dimented pOrtiCO and an imp .."ive dome. The architect for th is structure was Chamberlain and Company 01 Birmingham and the builder was B.C. Bynum Corutruction Company , also of Birmingham. In 1948, this courthouse .... modem. i.ed. Th. classic dome and column, "".re removed and a lhi rd noor was added to the structure. The archittct for this project was William I. Rosamond, and Daniel Construction Company was the contractor. Th. renovated 1909 cour\hou ..... ~ Lamar County 10 this day. •

NOTICE OF ELECTION Notice is given herewith pursuant to the elect and Commissioner.

Alab;Jm~

State Bar Rules Governing flection of Pre$ident·

PRESIDENT-ElECT The ... Iabama State II<Ir will eleel' pre<idenl in 1992 to lhe preside""" allhe bar in lul~ 1993 .... nr carodi· dale must be • member in good standing on March I , 1992. Petilions """"'':lIi ng. c.nd idale muM be.r lhe . ig. n.'ur. of 2S membe" in good ,I.<>ding of the ... l.bam. Stote S ... rod be "",eived by the «<""'f)' 0( the ... te bar or> 0< before March I , 1992_ Any carodid.te for this o(r.ce 'S!-Ume

also muM SUbmIt with the """inatlng petitioo a black arod white phoIosrapir aM brographk.1d.", to be publ ished in the May "'a"""", Lawye<. 6<>1~s WIll be mai led between May 15 and June t and muM be ,,,,,,,ived at .. ale ba , he.dqU.N .... ' by S p.m. or> July 14, 1992_

COMMISSIONERS 1I.l, commi""""", will be elected by too.. I• .....,..... wilh their principa l offlCe$ in ,he following circu it<: I... 3m, SIh, 6th, pI""e no_ 1; 7th; 10th, pi"" .. no. 3 and &; 131h, place no. land 4: 14th; 15th, pi""" no. 1, J.nd.; 25th; 261h; 28th; nnd; and 371h . Additional eommlssi"".f$ will be elecled in ,hese circui" for each 300 members alll>e .. ate wr with principal offices therein. The new commi5Sioner position< will be d<-Iermined by a cen<us or> March I, 1992 and •• cancie$ c..... ifred by ,he sec"""ry or> March 15, 1992. The ter"" 0( any incumbent commissione" .re """ined. ,\II ",b<eQuent term, will be for three reo".

THE ALABAMA LAIVYER

Nomination< may be made by petition bearing the "gna· tures 01 r."" """"""" in good Sjanding with po'lnc ipal offICes in the circu it in .... ~ ich the "leelior> wi ll be held Of by the candklate', wr itten declaration al candidacy_ Eilher m....t be received by the secrCl.ry no l.teI than 5 p.m. 01\ the I." frio day in April {Aptil 24, 1992]. II.lllots will be prepared.rod mailed tQ memoo.. between May I S .nd Ju ne I, 19'.12 . Ballot< must be .oted and returned by 5 p.m. 01\ the """""" T~v in June Ou"", 'I, 1992110 <tale ba, he..dQu ........ _

March 1992 1 107

LITIGATlNC MINORITY AND THE

NEWToRTOF

OPPRES,SION By ANDREW P. CAMPBELL

THE HISTORICAL /" . TRADITION

S.vorfl'l at politial fare reCion with glu 1M !<lit 0( two brothtll> oror who ~nt elf 10 5U, the otIwr who btamr ¥ittpmicltnt oIlhe United St.ltts. and ne'lhu was twr hurd at ~n. If 111m had bm1 j third sibli"i 01 this dubious duo who .... fftmllhe SUI'H! Uk. it 00II1d onl}' br ~ lit w.JS <I minor.

ity ~n!hoIckr in

closely hold Abbama cOfllO",tion. Tradi-

tioNlly, minority iMrfholden in this.tau wen! cOll$i~ to a pecut,.u oblivion offering few righu and fewer ruoediu to control their destiny and no right to receive <I prfHnt return 00 l!woi. investment

The h,5tOl}' 0( cootrol of clost corporations has been democracy with a wngeanCf. Under the princip le of majority control iLl

enlrenched further by the Busints.. Judgment Rule tdis_

cuo.wd he,ufter), tilt ""jorit)'. is long iLl it acttd "wfull}> aoo consiSlent with 1M Articles fA Incorpol'J.tion and By.Uw$, had the unbridltd privil~ 10 ~ Ih< o;orporation <as it u.w fit. ~ thr Aliba.ma Sup«1TIf Court !wold in thor aH of I'hinu¥ II. Annat"" Cil, Land Co., 195 Ala. 656, 71 So. 469. 471 (1916): ThoK who trnl»rl< in J corporal~ entupriK ill stock. holders do 10 undtr iIO implitd ~rftmmt thit Ihr busint5i shill be contrvtkd Jrld d,rteted by J ",*,rity 01 thr stockholders .... Wh~n thr qut5tion is Qnt ofmtre discretion in thr man· agtment of the bu~inul; or of doubtful e~nl in the underU~ ing in which th~ concern has emb/lrked, I rem· edy cannot be sought in a court of t(luity.

108 1M.o.rth 1992

Bill of Rights protected the minority from ",*,rity domination. The m.-jority ....'" free to uttnly depri~ ,md 5q1lttU oul the minority 01 tilt 1".00 '-'tSIigt;s" stock O\OoTltrJIlip: III thr tangible riahtlo J pment return on ilS OIJ>iW in tho Iunn 01 ~ry, bonuses iIOd di.,.;def!ds; .md (2) the inbngi_ ble privilrgt to PJrticiPJte in OP!rati", tilt company and •..tt'llI!;ts ~nt COUtW • This H"PJration 01 ownrrship 01 Qpit."ll from curpon.te conlrol inrvitably imPJi!'ed thr Yllut 0( Ihr minority", shires in Ihr marltnplac:o. Simply put. no buyor in hi. right mind would ~ay cuh for papt r .Iock carrying no r illht~. includinglhe right to income thereon . Ldt to Ihe wh im. of a majority shareholder. who could SiaM him out by firing hi m and cuIting him off from a li1leli l\ood. the min(lrity shareholder had two choices: (I) hold hif flOCk In perpetuity "-hilt recti,,;ng 00 earnings thereon. or t2J lell out II an unrusombly low price to the ~ity shirtholder. In I1liIO)' QSeS. the majority $.Iw no reuon to purch.ut tho m;nority"•• hart~ whrn it Iud the frft \lSI:' 01 thr minority·s capilli for its awn pu rp'nu. One commenll.tor mad( this ...Iitnt point fuccinctly:

And

n(l

All tho majority CiIO glin by pur(l\uing thr minority·J intemt i> that portion 01 thr urnings attributable to the minority". in1leSlmrnl lhat the ",*,rity is liI"WIlt to Qptur. by Itgodly permissible manipulation of its conlrol positioo, plw whatever valut the majority attaches to fr«dom from potenlill harwment or ir.con,~n ience due to the opposition or mere prUtn,," of the minority

int~rest. [nd~ed, the majority has substantial discmti\'es to purc~ the minority's inwstment Naust it functions as a long term. low (and fluib[e) interest loan without a matu rity date . 'Th< majority;" thus able to use the minority', capital to leverage its own inwstment without incurring the risks awxiated with a loan. [t will b< will ing to purchase only at a price that is ltss than the cost of obtaining capital el.ewhere.

Hetherton and Doo[ey, lIIiquidilg and Exploitatio,,: A Pro· !kJlutkm to Ihe Remai"i"g CIOM! (A)rpcralilm Problem , &3 Va. I.. Rev. 1,5·6 (1977).

~d Sio/u/ory

This state of affa i.. w.. utterly at 00ds with the notion that the majority should act fairly and attempt to fulfi ll the reason · ab[e e~pectations of all shareholders. for one owns stock in a dose corporation not simply to hold paper. but to ach ieve (I) capital appreciation, (2) inc""", on that capital in the form of a proportionate share of the profits. (3) some role in manage· ment of corporate affairs. and in many cases , (4) a SeCu re livelihood through emplO)lment and its b<nefits. Unfettered majority autocracy undermined these goal, and placed the minority in. position of solely an unwilling lender of cap ital. And then the law changed _

"fl -

TORT OF O""SS'ON,

~ CREATION OF THE RIOHT

The fi .. t significant mov.ment toward recognition of a tort of oppression of minority shareholders in Alabama came in Burt v. Burl Boiler Works, I"c. , 360 So.2d 327 (A la. (978). Speaking for the court, Jw;tice Janie Shores stated that major. ity stockholders owed a duty to "act fairly to minority inter· .sts" and that "the majority tinnot avoid that duty merely be<:aust the action tal<en is legall y authorized." Id. at 331. In SO holding. the court summarily rejtded the traditional Alaba· ma dogma that the majority "may always regulate and control the Ia"ful exorcises of <:orpornte 1'0"",..." !d. Substituted in its place was a principle that if the majority acted unfairly in a monetary sense it was guilty of breach of a fiduciary duty O"",d to the minority e\'~n though its conduct was otherwise lawful.

The court did not fiesh out this new right to corporate fun · darrn:ntal faime"" but it did quote with app"",al the following section from Professor O' Neal's Clost Corpora/ions. § 8.07 which sumingly redefined the relationship b<lW«n majority and minority .. akin to that of PIIrtne..:

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THE ALABAMA LAWYER

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[n the past. sorrn: courts ha,,,, permitted majority shaft· holde .. to exercise. without any restriction other than good faith. whateve r powe rs thty i)ad .. cont rolling shareho[de.. under the statutes and the CO'1'Oration', chart.. and bylaws: and further, they have tr.ated the fiduciary duties of the di recto.. as running only in favor of the corporation. not to the minority sh.reho[der •. This vit w that the controlling Shareholders and the di recto.. do not (I'Wf; fiduciary duties to minority shafthuldero appears outmoded. at ltast .. applied to ... atte mpt, to eliminate minority shareholders or to deprive them of thei r proportionate rights and ~ .. without a just equi,.. [en!. Whffi! several ou_rs corry 1m 1m enterprise logt?lher (as they usuallg do i" a close rorpcratkm), Ihtir relo/ionship shooJld ~ considered a fiduciarll mil! similllr to the relationship among {XIrl" ners. The fact that the enterprise is incorporated should not substanti.lly change the picture. When busi ...."'m.n organize a corporation, tht)l ent .. into thei r relationship against a background of corporation ,tatutes and com · mon law doctri .... which vest in the directors the l'O""r to manage the curporation's affai .. and in the directors and certain perc.ntag.. of the shareholde..· power to affect fundamental change. in the corpor.tion .... But this doxs not mean that the di recto.. Or the majority shareholders should M permitted to exercise thei r pow. e.. arbitrarily or ..... ithout regard to the legitimate expec· tations of the minority shareholde..: and many of the older decisions and practically all of the recent ones indicate that controlling sha.. ho[ d.... in some circum. stances at [tasl. (7010.. fiduciary duties to minority share· ho[de .., and that the courlS u;i/l require Ihem (u·helher Iheyacl i" Iheir ropodlll as shareholders or through directors or officers ",hom Ihell co"lro/): 10 ob$en,e accepled slandords of busi"tss ethics i" Iransac/ions offtcling nghls of minorilll shareholders. Id. at 331.32 (quoting O'Neal. Close Corporallo"s § 8.07Hemphasis added).

The court affirmed the trial court's ruling that the majority had acquired control withou t the u~e of ~ny oppression against the minority's interests . ld. at 331·32. Th. opinion added, arguably in dicta. WQrds that indicated that the minority's rights to faim • ., WQI1[d encompass an economic right to equitable participation in corporate profit$: The majority now controls th( corporate management. Should they. acting th rough the board and corporate offic.... which tht)l control. deprive the minority stock· holders of Iheir jusl share of corporole gains. such would. of roUm!, ~ ac/ifml1ble. Amung the t«hniques described by O'Neal and Derwin IExpulsion or Oppres. sion of Busin • ., Associates: "Squeeze Outs" in Small Enterprises. (19611 10 oppress mi"orilll shortho/ders: u'ilhholding of di"identh; ami siphoning off eamings by (IOying high compensalion 10 mqjQrilll shareholders or lheir rela/i1.'<'s, Id. at 332 (emph..is added). March 1992 / 109

",'hile not fully ruliud at tht tirm by the btnch and Nor, the court, for the first ti~, m~n.kd tho ITIIJority fod",,;"'Y duty owed by the rNjority to the minority to rt<Iuire ~uity in diJtributioN 0/. ~amin&J from the corpontion, Most imporbntly, thi' _ I hoIdi~ ~ judk;"1 int~ into a rulm 01 c:orpol'lte management prn;ou.ly committed to the imkptndtnt discmion 0/. tho majority wrehol6er. SpOktn 01 in Burt, lhiJ nrw right 0/. tht minority to floionw ;m d 10 ill "just slllre of corporate gains- wu Olgain embrKed in CQlbreuth v, Scott,.t33 So.2d ~~ (Ala. 1983). Again, how· ~r, lhe court did not Mt I"'ramders on tm: lort. In Calbrwth, tm: plaintiff br()Ught an individ .....1 iKtion for corporate wane of alSelS by controlling stoc:kholdell. Id. at 4~ ·5S. The ilSue .... as one of standing: .... hether cOI"I'o'ersion or .... ute 01 corporate assets by the mijority was primuily an injury to the corporation, limiting standing to derivltivt o.Iockhold.mwinll on bellllf of tht corporation, or whtthtr il wu pri1l1llrily;lll injury to individ .....1 stockholders. Id. at 456. Tht court found tIIIt for wth corponu miscooduct, lhe right WU solely derivaliYt, btlongi~ to tht corporation and not to individual wreholders. IlL 11456-57. (SH discussion btlow.) In ill diKuuion, the CQI/wNlh Court cited the Burl d«i$ion as cruting I lIN cause of action lor tortious OpplUlion. (M I~rity lIodho1ders ~ iI duty to ilt le.ut act fairly to tilt millOl'ity interests... 360 So,2d al 331. We recOIl' nized • cauU of ,ctlOn .... h.r. 1l1lIjority shareho1de .. , "acting through the board and rorporate officers, .... hlch they control. deprivt the minority stockholde .. of lhoir just slllre of corpo ... te gains ... - 360 5o.2d at 332,

Id. at 4571qUl(l!ing Burt, 360 So.2d at 331, 332). In ruffirmillil the court's adoption of i tort of Opprwion, the Qr//Jrnlth court "",in cited O"Nullor the p«mise that " clo$ely held CI)rpol'llion Iaku on tht fKluci.lory "Uributu 0/. I pUlroenhlp with Ovtrlapping di rectors, slll rehoiders and e~, l1li oppostd to the classk publicly-held rorponlion with its divi$ion betwHn apital owntrship and frW\IIIItrmnt. Id. at ~S7 (citi~ I O'Nul, Clou C<JJ7lOfVliooJ, 111.07, 1.10, ;m.d 1.1212d ed. 1971)), In ~ P/lrtnership, the minority tlInnot bt d~pri~ of ill $har~ 01 partner$hip distributions paid out through draW$. Rather, tht .. i$ a fundamentJl right to eQ .....li. ty of treatment based on prOpOrtionate ownership. This right to fairness and -just shar~ of corporate iains' takes on real rmlning only when the corporate form Is dis· Yd.,'

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tlIrded and !he clOM' corporalion iJ vi~ in this contm is a partroership 0/. individuals who shire the functions oi owntrship and management t:Kh III";", 1l1lIde A capital contribu· tion to lhe bwinra, rough justia:: requires thilt uch ~M: i just share 0/. income IlItrtfrom hued on his owntrship pertmli,ge. In blunt ttrmi1lOlo&Y, the court, in Qr//wNlh. ate· eoriud the majority's den;"1 oi this ritht to sudllJains d tht ~ tOrJ>(lntion is a "sqUHZHK,t." In lIddition to giving teeth 10 the minority's . ighll, Gol. 6~11I is 5igniflanl bec.lUM the court indiated that !he tort 01 oppression pr.Mnts a jury question. The court held that whether the 1l1lIjority had acted in good faith to -furthtr the legitimate interellS of Ithe corporationl- or engaged in self dealing was for the julY to decide./d. at 457; $e. also FirumCf! I"~wtment & RedisCOIJnl Co. u. Wells, 409 5o.2d 1341 {Ala. 1982} (the right 10 a jury tr;.,1 txists on derivative claims seek·

ill6l .wnages.,

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EX P ARTE ."OWN: THE TORT'S COMINO OF AOE Tht tmbryonk right ~nsc Oppression and I<> I W .. 0/. just gaim; ...... brought to fruilion in Ex P(1TI~ 8rown, 562 5o.2d 485 IAIa. 1990). In this. the second -Cr~nt JXk" case, the minority faced a unique defense: i sulntantial incre.ue in the value of the stock of the eltCluded minority $lIIr.holder. The i$lu~ presentrd WU how an I lIockholder claim that he is oppressed when the value of his stock has increased ten· fold or 20·fold through the majority's successful management .fforts? Underlying tho de<,:iJion in Ex PQrl~ 8rou:n we .. Ihe philos.ophic,,1 issues of what rei$Onabl. wic expectations of a lIockhoider accruing from ownership should bt enforced and to wlllt utenl should the judiciary interfere with mafliit· ment polk,.. that meet some expectalions but not others. Are the Iegiti1l1llt~ upect.atioru of ouUide/JW&i"" stockholders simply capital ippruialion with roo right to present income lhereon is the defendants irgoo3. or do they mtnd 10 partki»Ilion in profill u thty wtrt produced Or to liquidity in invtstmen!? In other words. u in the !>Irtnership inalysis used in Go/brealll. do lhe rights of passi"" minority investors include a right against majorily ~i5Crimination in the distribu_ tion of profits and part;~ipation in I propOrtional share of the profits therein !>lid to the maJority insiders through directors fus. salaries, bonuses, and corporate "perks?" In Ex Parle 8ro«:". the court held lhat a dramatic incre.ue in value oi his stock Willi not alltlllt the minori!), "'15 entitled to and would not K~ l1li I drfeNt "",inst otm:TWIK Oppru-

... """'""

The facI, however, thll Ihe Imino rity'sl slock hu increased in ,;oIue it roo ~r 10 the cNrgr d 1)'5trm· "tic "I"",,uout oi lilt minority.

Ex Parle ffroorn. 562 So.2d ~t 493, This deci$ion was corrttl Capital ilppreciation is oi no btne· fit to a minority if the maJority an borrow and use that c.apitJl for flU for its own purposes. Again, a shareholder's legitimate

1I0 / March 1992

nue: ALAIlAMA U\WVER

upKUtioN in ,close corporation include SOI'I1o! proportionite !hire of umings (iWUmine there Ire umings) from his capillli. This Is ~rticularly true since then is no iKOIIdary 11\IM for ule of the sladt. laklnl' sltl) bfyond Burl and Gafllrtalh, the coort dtfintd spttific elfmtnts of the lort of """rusion. Quoti"ll O·NNI. the court ciled "s.quetzt-oul leclmiquu" th.il would pt'Olo'e O!lI>ression---rJen in lhe fact of large incrustS in lhe v.lI11t of the minority's stock.

of large salaries to the mljority was prima facie tvidenct of oppression. Id. In othfr words. slICh evidence would ~I the cast by summary judgmenl to lhe fllCt·findtr for decision.. Tho: coort then reminded thor CIit to thor tml court ("" fact finder) lor a delennination of whether the .,...;only "has lICItd in the besl interest of all the stockholders." or whether its decisions Wfre ~ for lilt pUrpoK of iQUtt1ing 001 lhe minority, "" the ban facts ietm 10Juggest: Id. aI494. TIle court ;added I""t:

f 3.02 SQu«u Itchniques in ge.Mral .,. [H)oldm of. majority of tilt voting shares in I corporltion. Ihrough their ability to elect and control a majority of the dir«lors ~nd to determine the outcome 01 Jh~reholdUJ' votes on other mattu". ha .... tremendous power to U$l! a great variely of devices or modes of Operation to benefit Ihel'lUtlws illhe expmst of minority shareholders.

If tht trial judge detennines t""l tht rights and inlertsts of minority stockholders ha.... betn prejudiced by Ihe "Hom of tht majority ,""r.holders, he .hall determine and fIX an amount ne~ry to eompell$att the minority for Ihis breach of duty owed lhem by lilt majority."

Htre ire a fow ilIUl\..ations. Tho: oquccztrs may rtfuK to dtcblre dMdends; they may d.ain off the COI']lOI\iIIlion'l urnings by uorbit .. nl sal .. rin .. nd bonUifJ to tht .,...;onty stworehoklrr-dfittrs and ~ to their rela. tives, by h;ah m'lt.l1 &grftmtnts for pn'lPtrty the eorpDralion lusel from majority !hIreholdtrs. or by umu· sooablt p,lymtnlJ under contracts bet-..un the corpora· tion and mljo rity sh ,nholdeu; Ihey may deprive minority shauholders of corporaU officu and of employmenl by the company: the» may ClUSI: the corporat ion 10 s(1I its asselS al an inadtquate price to Ihe majority sltareholdtrs or 10 companin in which the majority Ire interuted; the» may organize .. new comp,l' flY in whif;h the minority will Ita.... no inleml., tran$ftr the corporlllion's ~ts Or busin-tSS 10 it, lIOO perhaps then diuoM the old corporation; or they 11\Iy bring OIoboul the merger or collllOlidation of tM corporation under" plln unwr to the minority. "" indicated, the teclmiquu listed hen .mnly iIlustntt lilt ledmlques which rtsOOruful SQ~UT"S may utiliu. Id. It 492 (quotine P,H. O'Nul and R. Thompson. O'Nftll's Opprwion ofNinonlll Shlffllholders. i 3:02 (2d ed. 19851).

Applying Ihest principlu. the court held thaI tht minority hid proven substantial evidence of a systematic .q~eezt-out by oIIuing into evidence the following facts: OJ fail~u to p,ly adequate dividend<; (2) ploymtnt allarse salariu for cOOlrolling shareho~rs: (3) remov.lt of minority shareholders from positions U offICers .. nd dirt(ton; {4J eliminlltion of preemptive rights: (51 elimination of cu"",bltive "CIting; (6) miuppropr;"\ion of corporate oPPOrtunitin including /obcon County doe In.ck; m;l {71 pnclusion of minority', UK al COf]lOI'lItt r«rulional fxil· ;Iies.

Id... t 493·114. The!-.'x I'urllt Broll;n court hfld thai the

contin~td fail~re

to pay dividend! 10 tht minority and tht corusponding ploymenl T1 t!:ALABAMA

~WYER

Id, ~t 494 (citing P,H, O'Nul m;l R, Thompson, ""tKlm, i 9:30 (Jrd ed. ).

Cq,po-

Interestingly, thor original, unpublished opinion by thor court required the trW court to dttenninf: if "sq~ze..out "'-as the objecti .... of the majority: Unpubli$hed Slip Opinion al 14. After the minorily filed II pelilion for reOOring, Ihe court repLKed lhal bnguage wilh lhe ibo\It·quoted directive requir· ing • ddtnnination of prejudice to the rights of the minority. The clear omphasil on prej udice to the minorily and a requirement of ~Iiliurian fairness 10 I II .hareholders seemingly remOVe. as Ihe dettrminal iv( factor the issue of Ihe majority's s~bjecti .... intent. Rathtr, the Stllndard for Ihe trier

"i1

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of fact is an objedivt= one, based on O\I..all fairne~: that is, whether the acts of Ihe majorily', ~ re in Ihe besl inler.. ts of 01/ shauholdo .. as Oppos\'d 10 Ihe majorily. Again, under Ga/· brealh. this is a jury queslion. Thi. test afford. a jury great Oox.ibilily in resolving the fairness Or unfairness of the majori· !»'s conduct of the oorporalion. This tesl also shifts a tremendous hurdon of proof to the majority. If the minori!» proves a failure to !lilY prOpOrtionale profits to Ihe minori!». Ihe majority muSI show somehow this discriminatory lreatment btn,fiUed al l shareholders of the corporalion. Thi. will be impossihle in the extreme situation where the majority i. taking oullarge amounts of money from the corporation in salary and bonuses "'hile Ihe minorily is receiving comparably lillie or no income. The tougher case will be when a minorily shareholder is receiving economic btnefLts from the company but less than his proportionate "duo of his stock, The wise majority shareholder will a!tempt to defeal an oppre..ion claim by paying the minority some· thing mOre than a token compensation (compared 10 the majority's income) in dividends. salary or perhapS director Or coru;ulling fe ...

""CHAUD V. ",OAAIS, FLOWERING OF THE TORT The potent r<:ach of an oppression claim suggested in Ex Przrte Brown W"l established in lhe recent decision of Michaud •'. Morris. 25 ABR 32 al 6495. In an odd approach 10 appellate

judging consisting of ruling wilhout .. asoning, the Court affi rmed summarily without opinion jury "erdicts On oppres· sion and derivalivt= claims. Reacting to this curious disposal of a close case by cold fiat, Juslice Maddox wrole an excellent analysis of the facts and the law, What was dta. from his opinion and Justice Houston's dissent was thai Ihe majorily had found that termination of a minority shareholder's emplO)'ment alone established an OPpre~ion claim. In Michaud. plaintiff Morris was a 25 percent shareholder in a corporation that operaled a restaurant in Huntsville. Morris operated the restaurant as general manager unti) February 1988. when the majori!» terminated him as general manager of the restaurant.ld. at 6496·91. Morris hrought both an indi_ vidual oppression claim and a deriv.ti,'e claim for damages to the corporalion. /d. at 6496·91. But, unlike Ihe typical dui"ative claim. he sought damage. 10 bt awarded 10 him~lf. not to the corporation under the majority'. contro1. !d. The jury .warded Morris compensatory damages on the derivative claim for injury to the corporation in an amount of 5150.000.00 and both compensatory and punitive damages on the oppression claim. lri. In his well.reasoned opinion. Justice Maddox concurred in the .ummary affirmance of the oppression claim. but dissented on the derivati,'e verdict (Itt discussion below) on ground. thaI no hreach of fiduciary dut~ to the corporation was shown in lighl of the business judgment rule and that this claim for damages duplicatt<i the oppression c1aim.ld. at 6498·507. Citing Ex Prz,/e Brown. Justice Maddox indicatt<i that Ihe firing of Morris as Oflpost<! to the pursuit of "altematives that would ha\'e allowtd him. as an experi.nced manager, to remain as an employee of the restaurant-, made out a prima facie claim of 11 2 / March

oppression.ld. at 6503. At Ihe same time. Justict Maddox conctdod that "the action taken by the majority doe.< not rise to the magnitude of that taken inEx Prz'I~Broum". fd. at 6506. Justice Houston disagreed. arguing thaI termination of an at·will .mploy•• alone does not make out a stockholder oppression claim. fd. at 650S-09. With some justification, Justice Houston pointed out thaI the court had adopted. over his di .... nt in Ex Parle Brown, Professor O·Nears !queue·oul techniqutS as indicia of oppreMion.ld. at 6508. Now the court ",as disregarding Ihue oollecti,'e requirements in favor of .imply one. lermination of employmenl. a slepwhich the majority indisputably had the legal right 10 take. How far i. the court willing tn take this oppreMion claim> from Michaud. it is evident the court will find a prima facie case if a minority 5hareholder is cut off from (l) income from nr (2) employment from the oorporation. Under Michaud, if a minority .hareholder is fired, the omploymenl at -will doctrine will no longer prolect an employer/majority sha reholdor unless the minority shareholder is r«eiving an income on his inv•• tment som .....'hat commensurate with hi5 e~peclati'on5 and inwstment. A:; noted above, it i. absolutely critical for the major ity to treallhe minorily fairly with rupeet tn payment of benefits to the minority. Otherwise. upon occurrence of a dis· putt, an OPprossion claim will .urely follO\<'.

I,.VA""B" .'.'D'"

'0. 000."",0"

A:;sume y<>u bring suit for the mioori!» for oppress inn . What r<:lief is available? Under Ex Parle Brown. Michoud and other cases, the minority shareholder has a brtach of fiduciary claim against the majority .hareholde .. for a judgment to 1"«O\.. r his proportionate share of dislributions paid to them during the period of oppression. This claim ha5 great leverage ; it is direcled against Ihe majority shareholde.. individually and not the oorporation. AI trial. the mioority shareholder would compute all income (in whatever form) rece"'ed by the majori!» from the corporation during the period of the squeue·oul and request a verdict based on hi. percentage of o\,,,,... hip in the corporation. For example. if an 80 perctnt shareholder has .. c.i ..... d a million dolla .. in distribution during the period of oppression and a 20 percent shareholder has received nothing, Ihe minority Shareholder seemingly would be entitled to a verdict of S2OO.000. What must be det. rminod by the court in future dedsion5 is whether the majority i5 entilled to a credit Or disproportionate share of eamings for operating the corporation on a day·to-day basi. whil e the minority ma~ not be so employed and may have devoted his energies to other endeav. 0 ... Since Ihe majority may have pre .... nt.d tho minori!» from employment and has engaged in oppression, does he fnrfeit any cudit under the Faithless Servant Doctrine? Determining oppression and fairness in this "gray" case will be substantially more difficult than the "black and white" ~tting of a total depm.. tion of benefits to the minori!». A second potent remedy is the right. under Ala. Cooe § 102A·195(a)j I)(b). 10 dissolution nf the oorporation if the majority's actions are "illegal. oppressi,.. or fraudulent". 5«, Belcherv. BTNB, 348 F. Supp. 61 (N.D. Ala. 1968). Simply put, ilth, majorilyoppressed Ihe minori!». the minori!» sharehold.r is

THE AU\BAMA LAWYER

'ntitlfd undtr this provision to have the rorpOrate _ts liq. uidated, and hu $hare of the .... t ......IlI paid to him. The ~1fII Su~nw Court. in AMI u. Fonal ~It" 4&t So.2d 1069. 1072 (All. 1986\. held that dis.solution Is In utreme remedy to be granted only upon I ckn showing of entillenwnt. AI lilt WIlt timt. the court. in .411_ "'/>~ houM CO. /J. Bvnum. 2(2 ALl. 40, 7 So.2d 497 (19-12) rKOC· niud that corporlte di!.lOlution is IpprOprille where Ihe majorily his lailed to lfllnagt the corpontion in accordance sharthol&rs. There il an incrtlSing with tilt inltrests of lrerw.l Ihroughout tilt Unittd Statt. to enforce this di!.lOlution rtmtdy in somt form whue OWreuion is proven. For example, in /IIal/er 1)/ Kemp & &all~,. Inc., 64 N.Y. 2d 63.484 N.Y.s. 2d 799. 413 N.E.2d 1173 U984). the N~ York Court of Awe'ls. upon i firw.linll of oppression. Iltld lhal disaolution WI! lilt only approprilte rtmedy, subjtct 10 an opportu· nity for the majority 10 purchaoe the minority·, shartS. Like the Alibalfll Supreme Court. the court 0( Ippells defiMd CIPIlrusion IS lilt elimimtion of the minorily'S "relSONble upcdItionl" incl""'in,a job in the c.orpor.otion. a shart of its umings.. and i role in INNgtmtflL MailerofKunp &- BNt· 1q.4&t N.Y. S.2d at 805. Defulinlllhtst txptdilionl cruln i cboim for opprtlSion .rw.I tilt rtmtdy 01 diSKIlution. Id. • t

.......

Aca:mlingly.• minority's cboim for illl jwt shart ihould be joined ...·ith. claim for diSKIlulion. A5 diSKIlut ion is an t<lui· table claim. in a jury trial this rtmedy t.U1 be imposed b)'the cou rt if the jury decides the factual issues of oppression In favor of the plaintiff. Btu.use of tilt drllconian impact 0( a dissolution, and paui. ble .. trem. tax constquencu ther«lf. a Irial judse will be relueu.nt to order dissolution. Thw.• lilillltor should plead altelNtivei mc~ within this equity jurisdiction. As I chan«ry rourt, tht court·. rquit.>blt JlOW'rs in this sit · ..... ion are enormous. The SUpre,"" court .... l"K1Ogniud tht pol'Wi:r of equity courts in AI"bam. to fllhion "ppropriat. rtn"Cdia: Whtn a rourt of equity ac:quirtS jurisdiction of I aust for in)' purpos.e. it will re!."lin it and do complett jWlict bdwttn the partin. tnforcing. if .... cessary. leilll riSh" and applyinllitilil rtmedits to accomplish thai tnd ••.. Billings/e, u. Bil/i'lgllell. 285 Ala. 239, 242. 231 So.2d III (1970).

1980), tht Supr~mt Court of Alaska IItId lhat 1M rtmedy of forctd buyout WIS Ivailoblt to I minority lhuthoLd. r in :a ciO'le corpoulion. Aluka PI..,ti,s. Inc. con.isted of thrn shartholdc rs. "II of whom wert iCti~ in the COrpOrlilion. Upon tht divorce of one 0( tilt shartholckn. one·half of his ilock WIS n,·ardtd 10 hi' n·w.I•. The n· ...;f., ...t.o wu not active in the bwinH.I and did not r«ei,.... saiary. rtCtr....d _ ...1 offer'S from 1M majority to purchiK IItr stock, ill of "'hid! iht fell ...... rt illidcQuale. Fil>llly, iht broughl an action claiming stockholder obuu and squ«w-out. Mask/> PlIlSIia, Inc.. 621 P.2d at 272·73. The trial court ordertd the majori ty to pu rcha •• her sha rts. but the Supreme Court of Alaska r~ned and rtmand~ for a dlterminalion of .... hether a mort appropriate remedy .... as available.ld. It 272. The court specifi· u.lly htld thaI Alaska statutes. like AlibalN. allowed dissolu· tion IS an .xtrtmt rtmtdy to a minority ...-hert the aelll of tht mIjority ...... rt "illegal, or frlludultnt". Furthtr, the court held thaI upan such. showing by the u·wife. on remand, the lriil court·, order 10 purch.ut the shirtS could be jtWirotd·u III <"Qui\ablt mntdy ItI.I drastic: than liquidation." Jd. at 275. II;, this author', v;r... th.Jot if tht oppI'tISion is inltntioN~ s... temalicandcontinunO.o.tr " ,wliined period of time. u 0pp(l5td to a brief period, the AlabIIfII Suprt ..... Court should and will recognize" required buyoul of tilt minority I! a ltgit ilNte alt.rnative remedy to. dissolution. This is particularly lru. since a minority shartholdtr often will rective more for his shires in a buyout than from a forced liquidalion ..... hich ....ill d;srupl tht lives of .mployus, Iowtr the value of the cor· pOration·s URIs and may crutt Qr~ve \ill liability. Another possiblt remtdy is appOintmtnt 01 a ~iver to stU the cort><>rlIlion to" third party at lilt hightst pauible val .... Anothtr less intrusive rtmtdy would be ilttping tht corporiltion intact. but appointing a rteriYfr to dtttrmi .... iIWfOp.... te compens:a. tion for slu.rchoIdcrs. This rtmtdy _III be more appropriatt whf"rt lilt oppression his bttn short term. and less txttnS"'" adjUWnmb an be .... 10 mum the partin 10 tqUity. Obviously. th~ rem~dies chOHn should f"i rly mut tht Imgth. naturt lind degree of the oppress.ion In order thaI the court Khievt the kgitiINle uptc\.llionl 01 the minority and pr ..t....., tht majority', righlJ of lfllnagtment ~nd continuation 01 the corporation·t lift. In n'IO$t cun. the but al'Proach .... illbe to fashion rtmediu. as In Belcher. taward tht INjori· ty's buyout. at fai r INrktt value. 0( the minority so lhal tht company may continue.

OPP'"""'"

Tht impOrtant ast 01 &lchl!T v. BrA·B. 348 F. Supp. 61 (N.D. Ala. 1968). ilIuJl .. tts t he importanct of a "nible

approooch to rtmtdin for opprUlion. In Iklchtr. Judie Crooms held th.Jot dt~n.cbnu Iud bruchtd their fiduciary duty thtreby crulirllil" right 10 dissolution under tht llitule. Jd. "t 152. The court, ~r, drdinrd to ust dissolution beaust i\ would u.U$t the loss of 300 jobs md would rtSUlt in txtftmt lU constQu.nctl. fd. InSltad. th. court directtd th"t the majority rtdmn Ihe minority through "like kind eitdw!lt of corpor"tt auet, equal to the vllut 01 their sharn. Other court, havt ftquired tilt '"'I.iority, UPOll pain of dissolution. 10 purchase Ihe minori ty·s sharts. Balm"ku. S,f""sl~r. 411 N.W.2d 383 (N.D. 1987). In lI/as/(11 Piastics, Inc. u. Coppoclr , 621 P.2d 270 (Alaska

THt: ALAllAMA LAWVER

TELEPHOf.lE EOUIPMEf.lT

Bur - s.I . inti" . ~ AT&T, BELl, rTT, EXECUTOHE, _e. • 5 Button t.l8<tin • $150 • One Year WlUle n T1

1-800-239-5655

fii'\ WARREN TELECOM, INC. \~ Hwy . 280E .Chlklerabufg March 19921 113

~TERPLAY OF INDIVIDUAL

OPPRESSION AND DERIVATIVE CLAIMS

Co/br.alh i. m ~xctlltnt examplt of wlllt CIOn happen whon counsel dots not undtl'$Un\I the diffntnce bdwttn ckriwotiw d .. ims «If injuries to tilt oorpOOtion and the tort fI oppru· lion committ~d ~inst IlIIrtholdtl'$. DuiVllliw tI"ilTl$ ilTt goytmtd by Allbmv Rules of Civil Proctdurt 23.1 md ...... based on the ",*rity'l bruch 01 hil fiducilry duly owtd to tilt corpor'lliion. This duty wu IU«inctly dtfintd in llokomb u. Fonvtlr. 216 AliI. m. ~90. 11 3 So. 516 (1927):

"\I,.,ile directors of a corpor'lltion mIY not be in the strict ItuItfu. il b ~II HUblished tIIIt they Offill')' , qUiOi foducilry .... ~tion to the corpor'lltion md iU ~rt. holders ... Thty art rtquirtd to iId in tilt utmost good f.. ith and in KCtptillll tilt office. they impliedly uncler· ~ to give the tnttrprUt the benefit 01 their but cart mdjudgmrnt, .. nd 10 uuciH lhe po:JWer conftrrtd ~1~· Iy in the intmst of tilt corpor'lltion. .. Equity Iwi1\ holdl them liab~ IS trusttes." IHIM'

Holcomb v. Fon,llir. 216 Ala. It 490 (quoting 7 R.C.L 4561 441 (Olher citations omitttd)).

This duty 0/ good faith Is now codified at Ala. Code I 1()·2A· 74. This statutt r~Quires tht dirtdor to acl "in good faith. in I manner he reasonab ly belitvts to be in the best inttrts\$ of tht corporation md with lucll cart as an ord inarily prudtnt person in a like posi tion would UK under similar circum· staN:ts." This breach of fiduciary duty owed to the corporation shou ld be dislilllluishtd from the tort 01 opprtslion which illn indio vidual c~im lor tilt ~rity'l breach of fiduciary duty owed dirtCtly to the individwol minority slllreholdo!rs. A$ in Michaud. duivatiw cb.tms mlY "Iso be av.Iil"blt to tilt C01'pI)r'lItion in lIIlllCtion of OPPrf:$Sion. Tht most common examplt i. Ihd\ of corporate opportunity. Under the fi duci"ry duty m...,d Ih. corporation. the nujority sh.uthoidul "",y not "diwrt to thti r own flovor, or fOf lhe benefit of cornpttitiw corporations. businHS which .hould properly btlong to tilt company which Ihey reprtstnt ...." &mla u. Brvo'nl. 497 So.2d 460, 463 (AllI. 1986) jquoting 19 CJ.s. Cotpoi-QliotIs, t 784 U94())I; Morod II. CoupouffllS. 361 So.2d 6 (AI~. 19781. This rult may IIlPIy t\'tfl though tilt corpor'lltion win t.a..., dif· ficulty fi!'W'ICing tilt trmsaction lind &I" rtSult, tilt majority has rejecttd tilt opportunity. The ~mrdy for the COfllOr'lItion is .. constructiw lrust to be impottd on ill belllif OVfr tilt net profits or P""l'trty resulting from the corpOOt~ OppOrtunity. Coupo.:mas,.upra at 8. At the !lime lime. the di$SOlution ~m· tdy is also aVllil.lblt in a d~rivlotiw action under Ala. Code I 10·2A·19!o. Stclion 1()·2A-19S(aI(1I(d) permils involuntary di$SOlution when "tilt corpor.ltt UUlllfe beillll misapplitd or wa.<ttd ... ." AI txplainod in Calbrwllr. tM primary differtN:. bttw«n dtrivatiw and individU/lI claims is ont of standing. and stand· ing i. determintd by tilt dirtdnus of the injury. If th~ wrong directly damages the corporation and it. assets from wilSte. ronver.ion and intentional mismanagement. lhe claim i. tho

'''''''''1

11 4 / March ]992

corporation's. HaTdg v. Hartiy. 507 So.2d 409 (Ala. 19871: Thompson. S'-4 So.2d 845 (All. 1989). A consequen· tial decrtut in tho! \IlIlue of tilt sh.a.. holder', slllres dotl not Vl'$t in him m individU/lI cb.im. Green v. Brodle,l Cons/rue· llan. 1m:.. 431 So2d ]226 (Aia. 1983); 51_ II. Loo.YIer. 643 ".2d 1078 (5th Cir. 19811. But if tht wrong i. committod directly ag.,insllht sh.ueholdtr lInd hi s inttrtlts. such 1.\ opprtslion Of fr.lud, 50 tNt hit injury it unique. he will 11M: standing to U$l'rt individu ..1 claims. McDo<wld II. U.s. Wt Calling & [N/I. Co.. 451 So.2d ]~4 (Ala. 1989). AI the SUprtnlt court oottd in £z Port~ Broom. mi.s.lppropri.l.tion 01 c:o<pOr'lIte opportunities and OIher misconduct giving rUt to dorivlot"'" claims may also bt ,,"dena 01" patttrn of OJItlrtS· siGn lIgainS! the minority. The bottom lint oIlhis confusillll OVfrillp is. v;/ren in litig.atOf should all"" tilt claims both deril.vtli«lll and indiriduollll. It is important to note thlt dtrivltive ci"ims offtr two lKI\IlInugH IMr indiv'idU/lI claims. First, tilt dtrivlollw pb. intiff conwys I bentfit on tht corporation. th~rdlY enlitli"llihe plaintiff to r«aver attorney lui. Abstnt fr'llud. attorney IHS will not bt Ivai lobi. on individwol c~ims lor OIlIlrtsSlon. In Ii.x Purt" Brou:n. 562 So.2d ot 496. tho! sup~ .... court endorltd a fH bw.>d on a perctnt;oge of monies _ r t d lor the corpora· tion. The CO\lrl chosf this ·common fund" allll~h over the lodestar doctrine (hou .. dtv()l.d plus .. multiplitr) commonly applitd by federal courU. In doing so. tilt CO\lrt approvtd a 20 ptrcent fet. Id. The second ~dvantagt is that limited de/tnse! based on plaintiffs culpability ~rt available in a derivatiw Klion. [ $to!>ptl, waiver and contributory negligenct ma~ bar an individual claim. particularly if p"'intiff benefiUod or participattd in the illeg!ll acts. Goldman v. Jameson. 2'90 A.... 160.275 So.2d 108 (1973); Hqrrfg v. HaTtiJl. 507 So.2d at 4()9, But thfy will not bar derivatiw c"'ims brought by the corpor'lltion unleu tht individuals participattd in the misconduct Thty mlY. hoowevn. di.sqwolify the tainttd minority shareholder as an Idtqwote deriVlltM pl;Untiff under Rule 23.]. ",,.,ilt AIabarnlI courts IIIw trooditionlolly held tlllt damages ~rtd on beNlf of tilt corpOOtion in l do!rivlotiw lICtion 110 to tho corpor"tion, tho court rtctntl~ in Mlclraud. JUpro. affirmed l judgrntnt lor damages on , dorivalive cb.im to tilt minority ~rtholdtr. AI. nottd lI:>cM, the majority opinion offortd no rusoning IOf this hoIdint, but Justice ~doa, in hit concurrtnce. nottd tIIIt courU in OIher SUtu rUlOntd tIIIt no-arding darNgtl to tilt corpontion would benefil only the.....-ong<lot.. who m' in control. Hmee. tilt aWlrd should be paid to the minority sha.. holdoer. Tht dear lwon from MicMud is tNt duiv;otive c~ims lor diIN.gts 10 the corporation should be sought for the individu· al Jlllrehold... particul"rly il tht rN.iority is in cont rol. A$ shoo."1 in th/It ClI$t. tilt opprmion and individual claims may be b.....-d on the oamt .. t 01 fac\.l. S/r£I/QI'I v.

doubt."

BUSINESS JUOGMENT RULE

Th~r~ tan be no doubt tlllt tho 10ri of oppression has hasten.d the erosion of and perhaps tventual dtmist of the bu.ine>.:; judgment rule in its tr'llditional form. While the rule historitally afforded insidus fret rtin to manage the torpora ·

THE AUJIA/lIA u.Wn:R

tion fru of corutl'llints. other than fraudul~nt conduct. in its prtWnt form. it ~ill "'~Ids managt'~nt from simp~ ntJIli· ~n«. inwmpcltn« or poor busino:ujudgrnont. but rIOt from inl~ntioruol miKoodU(1 or ptrhapS !Wn grossly negligtnl decisions. The SlJI)re~ Court dtlined W rule this inlonG p. Ellis. 551 So.2d 396. ~OO-{Il (Ab. 1989):

(lVk fl(1T1 wilh lhe proposilion lhal Ihif CiJuri gmD'tI//jI will"M ;"Ierf~rt with lhe i"ll!Tnal busim!$S managt· rmml of a rorporalio<1. fI""~r. we recGirliu that Ihl, rule dots not apply in cases of f",ud or mallodministra· tion Ihat is dutructiw or injurious 10 a corporation (cilaliolll omitl~d). Furthermore. this Court hu recog· niud that a diredor il \iilble for Iom!s to the corpOl'lI' tion relulting from hil int~nlional departuR from duty. fraudul.nt bRaches of trust. gr/J!o! ""gliguke or ultro eire$ ~cts (citlltions omirted). Abs-ent such circum· st.ancu. oo..-ew:r. 11 diRdor is rIOt ILlble lor kmn $Uf. fert'd by the cOrpOrlition if he has iCIt'd in good flith. This is rdum! to is tht"good business judgment ru"" ItiLl-tions omitted). furthennore. I dirfCtOr is mtitlt'dta I presumption of good fllith, bUI this presumption "",II bt IMTtomt by the Ill'tHnct of f~lo" sufficient to innuenu him 10 110 oth· trwiSf. Thi$ prtsumption of good faith s-eparates tht insider lram a trustee which luffers the f~te of iI higher standud of Cill'~ under tht prud~nl investor rule. While I Irustn mlY be Illoble for imprudent in"utmtnu. or negligent manllltmtnt af trusl Uleu. the mlljarily's pruumplian af good flith immunius him from imprudenl manaaement of cOrpOrate UHU, ~nl IO~ wrongful sc~nter or fmld. JO<Ia II. Ellis, 551 50. 2d II 402: FiT$! AJaboma &Ink 01 Hun/a·ilk. NA D. Sprof/in'. 515 5o.2d 962 tAIL 1987). Thus. if II minarily shiRholder llitiU I bTeKh of rlduc:i.1rY duty ~ 00 poor or inoomptttnt bu$inrn <I«;s; ...... ht or .Jht must IMr<Omt lhe prt$Umplioo of Qood fliith impOSed by the rule. AMent proof 01 intentionlll misconduct Or gross neQligente. Ihi' burd~n will bt too gTU!. The businus judgment rule relains a speci~l viLl-lity with resped to derivative claims. Rule 23.1 of the Alabama Rules of Civil l'rocedurt requirts that prior to suil Iht pllointilf make demand 00 the baard of directors far relief unless tilt COrpOl'lI' tion is under the wTongdatr's contral thus m"king Ih~ ckmand futile. Goldman II. kmeson. 290 "Ill. 160. So.2d 1(811973). The cklNJ'ld requiremmt can Ix .. lrap. Indeed. a plllintiff who mikes ckmand first may nt'-'tr at! his ck"""tM ~ioo otr tht ,roond. The ru~ is W businrss jud,....nt rut... Under RobmJ '" Aloboma f'oIwr Co.. 4G4 So.2d 629 (Ala. 1981). W ~\)'. upon r«tipt of .. ckmand. may mer il to " commitlft of "disinteruttd" directors. If W directOf1 d«idt \hit the litiplion is not in the corpmtion·. ,,"t inte~t.nc! this dKi,ion il clothed with IiOOd faith. the bwinas judflment rule appliu. barring the litigation ~od juditial uversal of this decisioo. Roberts. 404 So.2d at &32. The capable attorney fortunatt to feceive luch , demand priar 10 luit should immed iately respOnd by having a disinter·

THE: AI.ABAMA LAWYER

uted commitll'e appointt'd to irwtstipte the cI"ims. Better ytl, lOCh I pool« should bt placw in tilt corpontion's by. laws lIS lin "prtn pOlicy. Spudy corporllte aclion in this fuhion may "nip in Iht bud" pnky derivltiw clllims or at ltist dellly wm lor Jt1OOths. for pLaintift's counsel. if W .. is <lIlY IU500ibIt ch.lnct of fhowing futility (lind theR usually Os in 11 clost corporation), lit mwt skip the demand lind file suil.

~';"

I." RIGHTS OF DISSENT AND APPRAISAL

No discussion of minorily shareholder right. W<Juld be compltte withoul passinQ mtntion of th~ statulory righu af dissent and apPl'llisal. GoMrned by Alii. Codt f 10·2A· 162. ~ minority slla.. holder has a right to disant from a mtT~r or COI'\$()lidalion of the wrpOr~tion or .. sale ar nclLongt of its wets outside tho: ordinary courv of its businus. UpOn a dis· 1m!. he has i right 10 I judicilllllPIIl'lliSliI of his w ru lind to be bouihl oul"t fair marktl .... Iuc. The circuit courts may use 0IIl)' number of <occtpttd ~thods in .... luing the stock. In most casu. attorney fees lind upmJtS may be usesstd i&ainst w tOrp01<Ition. tJlCtpt the court may UHSS 1111 or 11 portion of them ;aga.inst diMmting wrehokkrl who arbitrnily Rfuse 11 reasonable buyout offer. The crilkll Nllie in lin apprllisal action wually will be IMr "fair .... Iue". a term of art always susceptible to different interpretatioN in a closely held COl'j')Gration. fI~r. if the merger il pari of ~ courSf of O\'lpression to wu«ze out the minority. tht court may gl'llnt other rtlid. iocluding an award of a ptrccn\.lllC of dilproportionate di$lri. but;ans to tht majority Or faclaring them in u corporlltc UHIS in I determination of I'lIluc.

\\r,th the duh 0( cornpding poIiciu of majority conlrol lI!ld the minority's right \0 I just wrt 0( wrpOl'lIte distribu· tions. the lort of OI'I'"'ssion wilL fuqumlly be litiplt'dlMr w nrrt sewral years. R.finement af thit Uti af the law is deptndtnt upon a prOper understanding of tht dislinct. bul IMrl~pping. nature of these cllIims with tilt dtrivati~ rights of Ihe corl'Oration. The courts should and will continue to {Mhion $hartholder right$ and Rmtdiel bMed on the reason· able t xptctatioru of the minority sNore holder to ownership of ,,,pital with meaningful "alue and liquidity. lOme vaice in management. and in many ClISts. tmplO}'mtnl. At tht same limt. the bench lind bar must dtvtlO\'l mtlll'ingful pa",meters 10 lhit tilt rn.a;ority·, rights to set policy lind reuon.ably man· 1# the tofj)OflItion "",II bt prottctt'd from unjusliroW 'nltr· ft .. nct. An ~ tort ""'th no bright lintS or dor rulu It.g. interlertoce wilh business nllll;olll) btntfits na one M it yields no pm!iction as to whit win be found 10 Ix proper or imprOper businrll conduct. In dlvtloping the tort of 0PPft$sion. there lire. in Iht W<Jrds of Robert Frost. miles to ga bt/on we sleep. Whil~ lIChitving clarity "",II bt difficult. par· ticularly in the many "'flY· arus of intrllCOrpOl'lIle relation· $hips. Ih. reholders. jurors ,nd tri,1 judges dtstlVl' nolhing less. • Marchlml 1l 5

ABOUT MEMBERS, AMONG FIRMS ABOUT MEMBERS C. Joe!rton p,rId ... announ<;t'$ the openillll 0( hill oifl«' at 2001 Park Place. Suile ~65. Park Platt Tower. Binningham. AlabalTlll 35203. Phone (205) 3287375. W.ltu M. NortlKult announces tho opening 0( his office II Northcutt Build· ing. 248 S. c..y StTttt. P.O. 80. 889, Auburn. AI .. ~m' 3683\ -0889. PhDill' (205) 82i-0944. Omce ., T•• F. V........ Jr. annoullCu a chlln~ of lddrus to 2001 Park Plut, North. Suitt ]010. Birminllham. Alat.lma 35203. Phone

n.e ....

(2051252·9«13. Pahld. B. Colli... annountts the optning 01 hil office a\ 2033 Ai'po.1

Boulevard. Mobile, AJlbalTl.l. The mail· ing addrus is P.O. Box 66753. Mobile 36660. Phone (205) 476-2015. Jobn H, Nathan announcu the opening of his offico in The Mauey Building, 29() Nortll 21s\ SIred, Suitt 200. BirrningNm. Alibama 35200. Thr lNilina: Iddrus is P.O. lIolIl1lS. Binn· inglwom 3$20 I. Phon! (205) 323-5400. L Scolt JohaNa. Jr. has n:loated his PIXliet 10 Montgomery where he will M of COUtIRI to PerTY O. Hooper. Sr .. 4~ $otJlh CotIrt Strut. P.O. Bol 1547, Montgomery 36104. Phont (205)

834-3200. Bob Willi.... iUll>Ollnces thaI he has b«n ~ppOinltd pub lic ddender for Shelby County. Alabama with omen 1ocatt<! at the Shelby CotInty Courthouse. The mailin, addren is P.O. BOI 1652. Columbiana. Alabama 35051. Phone

(205) 669·38Oti.

1I0nII1II A. O..,boot llUlOUI1Cn the rtloaotion of his office to 2230 Third A~nuc, North, Birmin~m, A]aN;"",

3S203. f'IIone (205) 251-028.5. IEdwu. A. "ynd.a .. , Jr. an· tilt opming d his office at 150 Government St rut, Suite 3001·B. laClede Building. Mobile, Alabama J6602. The mailing address is P.O. BOll 295. Mobile 36601-0295. Phone (205) I"IOIJI1Cf$

433·9696. U 6/March 1992

AMONG FIRMS Plde .. <Iii P.do .. announce. Ihat H... h B. Harrl •• Jr. hu joined the firm as a partner and A. Seoll R~buck has joined the firm as an ;wociat •. The firm name will be P.4e .. , Paden <Iii H.rri • . Officts lrt Iocatt<! al 1m 2nd A~nut. North. Bessemer, AL1bama. iUld Ihe miiling addrus is P.O. Bol 605. SaHmrr J5(rl1. Phonr (205) 424--4090. Alt ..... , Kritur <Iii Luick In· nounets thu Eliuhth Holl .... ".,.tdlu.. has becomr an H>OCiotf. with offk" louted at 6400 Powers Ferry R~. /loW. I\Jootn ~'eny Ynding. Suite 224. Atlanta, Glorgia J033'l. Phont (4(14)

955-3555. Bell, Rlchud.on <Iii S,uklllan announen the change of its name to Bt ll Rkhar4lon, P.A., effecti .... July I. 1991. ind thit M. Bnce Pith has becomr USOCialN with tho firm. Offices • rt Iocattd at 116 South Jefkrson SImI. Huntsville. Alabima Ind the mailing addross i. P.O. 801 200$, Hunl.vm. 35804. Phone (205) 533-1421. 5,.1 . . . " "olll",.worth In· I>OIlnces that Joh .. D, B.... 4, UI has Mcome i member of the firm, with offku IOClltd It 135() I Stre.t. /loW. Ninth Floor. Washington. DC 20005-

3305. Phone (202) 898·S800. Albrltto ... , GIvhan <Iii Cll(lo .. that WllU.... Bruce AI ..... lon, J~. has become a member of the firm and lhe form name has btm changed to Albrttto .... Glvha .. , ClIfto .. <Iii .uver-. omen ~re Iocattd at 109 Opp Avtfluc. AnIIah,lsia, Abbarna 36920. LJlo .... PI,u " Cook announces thai Joh .. C, Btll and Rleb.a .... D. Morrilo .. ha .... btrome iWOtiaW with tho: form. 0If1ttJ art Ioated at 2 North Roy~1 Street. Mobile. ALabima 36602. ~nnouncn

Phone (205)432-«81. Tht Law FI ..... or J ... lce M. B~I· innounctS that O. Kul .. Vlnce .. t , formerly of Cahannis. John· 5too. Gardner. Dumas &: O'Neal and forme rly of the offiee of general counsel. Otpartmtnt of tilt Ai r Foret. has joioo! lu~c1

tho firm II ~~. 0If1CU irt 1oc:;oted it 51 Monr/X Strut. Suit. 1500. RodMllt. MaJ}'land 2OS5O. f'Ilom (301) 42-'"8613. Rohl.o .. <Iii BelleY ~nnOUnCfS that Ch.rl,. B. P.le ....... and Ro....rt f. No~lhcult have joined the firm as memlltrs and Scott R. T.lkln,to ... formerly associated with the firm. h<>s btcome I me~r. Officos ,rt Iocattd at 210 Commerce Slrttt. Montgomery. AIabarN 36104. iUld tilt mailing iddress il P.O. Ori"' .. 1'70, Montgomery 36102. Phone (205) 830000. Burr <Iii F-... announcu that " . Craha.. ISH.... Othorall P. FIsh..., Rich .... A. FTet.., CaU L1Yinpt .... Millo , Ind J .. h .. C. M.. rrow han become partners in the firm. and Chrilto,heY W. Wellt • • E. Britto.. Monroe, Joh .. M. RoUe, J~., Warre .. C, M.tth.w•• Pel.. H. Burlle, Bri . .. M. Cluk , C.rald P. CHlu". C. Bartle, LoW .. , III , Tllllothy M • Luplnud. and £lIwl .. O. Ro,u. ha.. b«ome iWOtialed with the firm. The firm has offices in Birmingham iUld lIunll\'illt. AiabaITllL Bu.lty. Wll.olI.. All .lI., Me ... t!IOh .. . J •• IIO" <Iii J ••e. iUll\OUnceS lhat J ••e. Aile. Malll and Mkhael J. C.... ha .... btcome mrmbt." of the firm. Offiets I re Iocited it 207 Mont · gomery Strttt, 10th Floor. Bell BuHding. Montgomery, Alabarna. The mailing .ddreu is P.O. 80x 41&0. Montgomtry 36103--41&0. Phone (205) 269·2:l43. Pln",an <Iii Pltt"'ltt announces the relocation of its Mobile office to I11I Inuphin Slreet, Mobilo. A1thamo 36604 and Ihe auociuion of Richard Fu~u.y with the firm. The mailing Iddrul il P.O. BOK 40278. Mobile 36640-tm8. Phone fZ(l5) UH!383. Balch <Iii Bi"""" InOO!J1lCU that Karl R. Moor has rtlOCittd from tilt Birmincham oK"e to WMhington. OC. Ilis offic. will be 10c~Ud ~t 1667 K Street, NW, W~hington 20006. Phon. (202) 296.m87. SI ... le " Ptrlllun announces that Sheryll D. Cuhl .. , Aillert L. Vrttl . .. d and Jalllu S.nt .. William. THfALABAMA LAWYER

lIan become U$OI:ialeS in Ihe fi rm's Birmingham office. lhal F..d L. Cof· fey. Jr. and J. Jeffer, Rleh have lKeome nsociates in the HunliVilit office. iIfId that M. Fre4erld: 51..., 1... Iw b«orm lI4O(ilttd wilh tlw: Monl~office.

DooYll • Nul ~es that UnA C. S ... lth. former law clerk to U.s. Cir· cuil Judge JoelI'. Dubillll and Alabama Supreme Court Justice Kenndh 1'. Ingram. has be<:ome l»O\:iated with tlw: firm. The ~Iontgorntry ollke is 10000ted at 4144 ClTmichael Road. Montgomery. and tilt mailing addrtH is P.O. Box4008. Montgomery 36103-4008. PooM (205) 244-2097. TIlt firm also "nnouncn the relOCItiOll of its ()ptlikll office tD 2210 tI"milton Road. Suite C. P.O. Dri><er 711. Opelikl. AI"b"mll 36803-071 L I'hooe (20S)7lS-277'!I. J . Fltleher Joan announcts thil Charlel "- Short. former law elerk to Alilbam" Courl Df Criminal AppulJ Judge JDhn M. P"U ..son. and Jo h n Flelchu JOM •• Jr" former sttff atlor· ~ 10 Alab.lma Supremt Court justiCes Hugh Maddox. Richard L. J ones and Kennelh 1'. Ingram, ha~ formed Jon" " Short, P.C. omeu m, IOC/Iled at 109 O'Ntal BuildinQ. P.O. Drawer 1128. Andalusiil. Alaball\i 36420-1128. Phone 1205) 222-3161. Po-II. ColoblelA. hutr .. M ...... ph,- annOunCeS lhal J ••u McAlpin has btcomt a member oIlhe firm. effec1M: January I, 1992. TIlt firm has officn in Allmlll iIfId II'lihington. DC. P.rlalan, lAC. announces that Waller F. Seoll, III hllS joined its legal departmenl. Offices are located at 750 Lakeshort Pa ........y. Birmingham. Alabarmo 35211. Phone: (2(15) 940-4398. w nll, Neilan. Whlt",l"" " HOUH announces lhat R, Stoll ""........ has b«ome iWOC~ltd with the form. (lffIUS a", 1oc"led in the I'll"$t Federal Saving. Bank BuildinQ. Suile 201. Decatur. AIWma. Tnt llIIilinc lOd<.Irm is P.O. Box. 10(9, ow,tur 35602. Phone (205)353· SI7\. Barnell" Orlelrlll announus thaI Robert R. He ..... ree hal; brwmt IS5Dcil.ttd with the firm. Offiees "'" roted at .0] Cunter A""nue. P.O. Box 93. CunttrJvilie. Alabama 35976. Phone (2051 582·0133. Joh ... lon, Barton, Proctor, s-dI...... Narr announces thaI Roftrt S.

nu: A\.oI.IlAMA I.o\WYER

Van«, J~. iIfId RkhanI J. B-=..... ·n ha~ become pariMn in the firm. The otr.a: is Ioc:Ittd it 1100 Park Pbce T......,r. Birm;nQham. AI"baml 35203. Phone (205) 322.(16]6-

ROHn, Cook, 5 leqt. D.rio, Car. ....11. Jo .... " AIkox lfII10UIlCItS thaI M. Bradley Almonll. formerly of Eyster. Kt)'. Tubb. WWler &; ROlh. has bw:Jme mocilltd with the firm. e!ltdi"" January 13, 1992. Tnt rmoilinQ addrw is P.O. Box

2727.

~1ooN.

(m)

345·5440.

Alabama 35400. Phone

Raymond Dou,l.. Bum ••

J~.

and

Jo""ttuon L Ttndle anooura the (!!)tn· ing of their offICe. tfftcti~ January 6. 1992. omen life loc"ttd at 1724 3rd Avtnut. North. BtHuner, Alabama J502tI. 1'tIonc 12(5) 424·1188, 1186-

CurtUan-, Pel..... IIortoa .. Chotlanoolla. Tennuste .nnounces Ihat ~ fom~rly" Skinner &; Andt'ron in Birmingham. has bt<;ome a partner in tho firm. The fonn's add rtn il 320 McCallie A""nut, Chattanooga 37402.1'tIonc (615) 756-5171. S. Wayne Fuller and Doon J. WInIn,ru.m announce the formalion of thoi r

MJch.H1 A.

March 1992/ 117

new PIIrtntrship to be known .. Fuller WIIUn,h ... , 413 hi Avenut, SW. Cullman. Alab.l.ma 35055. I'honto (2051 134·21)23. !MIl. MuU,iI ~ Auodaltt annooncn thiot L,rna C. MlIIer. 1ormrr vice·pnsi· doni and gtneral counstl for Samc() IJMStmenu.Inc.. and "- £ _ C -. formu stdf ~tto rnty 10 H. Mark Ktnntdy and law clerk to J. Gorman Houston. Jr .. have btcomt a5.5OCiated with tht firm. The majJing addrtn is P.O. B01 S9S. Mobile. Alabama 36601. Phont (21)5) 433·3544. E ..... , Jon.. " R.yool •• ~~ the re!oeation 01 itJ offica to ISH') Dominion Tower. ISO Fourth Avenut. North. Nuhvillt. TtnnUKt 37219. Phone (615J25946BS. a..... Ibrwoo4, CMIr ~ sw,•• P . A. announcu the withdrawal 0/ RoHrt B. HuwoooI, Jr. from the finn. dfectivt Octobu 9, 1991 upon his ~ppoinlmtnt I I ci rcuit judge of Tuscaloosa County. Tht firm also ilnnouncu that Ron.l. L. 0 ... 1. b«.lmt I rntrnber 01 the firm NO'>'ernber l. 1991 and that the firm """'" has been ~

changtd 10 Roltn, Cook. Sled,e. D.ria, Ca...ll , S - ~ -"koJt, PA.. OffIen v.. Wted al 102() LurItm Wal· lICe Boulevard. North. Tuscaloosa, Alabama. Tht mailing ~dr"" is P.O. 80.2727, TUlcaioou 35403. Phone (20S) 34S.S440. Tborl ..,ton ~ C.... 'o.,. annooncts thai P ... d. L. M.bl • • former JilW clnk to Chit! Justlct Sonny Hornsby. Jr .. hils btcomt wocialtd ...ith \II( firm. Officts art louttd al so.! South Po"y Strffl. Montgomery. Alabama. Tht mail· ing address is P.O. Drawer 1748. Mont· gomery 361(}2. Phone (205) 834-6222. Qulon, A.... t ~ Manoin, iln· 1'10III'I«$ that f'ranldln Crady ShulH', Jr .. formtrly a partner wilh Cooptr. Mitch. Crawfofd. Kuykmc!all & Whatie)' in Birminatwn. hiIs,ioint<l tho finn. Tho mailinll addrtss is P.O. Do. 73, Columbia. South CatoIilll 29202. Phone (803) 719-6365. FHter " Cu ...... ton Ull'KMJnetS the association of Ja.", M. Orr, J~. The firm hils o/fK:ts in Mootl"llK, FolfY olI1d ~y Mi .... ttt, AWwna. D.kh .. Bln.ham an!lOun"", that

Don't Risk A Valuation Penalty. Introduce Your Clients to Business Valuation Services. H. Davis lll. PhD, MAl, SRPA. ASA, president ofBusin~ Valu~tKm Scrvica [nc., is the only daignntcd ASA Business V~l·

John

lwtion appraiscr in Alaooma. Business Valuation Servica prcwida

consultation \:.f th~ hour. appra~l

rqX>1t$ ~nd ~xpert

[($limon,.

in cascso(:

o EsUite planning o Esrott settlement o Marital dissolutions o Recapitalizations o Emploo,ooe srock ~ip

o Bankruptcy procH<lings o Metgtr5 or acqui:sitions o BuyoSCll agn!CmtI"Its o Dwid~n{ stockholder suits

plaru ContllCt Jo hn H. Davis 111 . PhD. MAL SRPA. ASA 4 Office Park Circl~ • Suite 305 • Birmingham. Alabama 35223 P.O. Box 530733 • Birmingham . Alabama 35253

(20S) 870·1026 II S I Mardi 1992

Suzanne AlI",,",e. o.~ ... A.. Carter. Gre,or)l C. Cook, Marcel L. DftnqIt, O.ft. L Dttuom, I.,JIk D. .... l'I0II. C. lI.. La .... , .... PbiUI, "NI~hol.

!\ave bKomt lSSOCiattd with

tht firm 's Birmingham offic~. and Luli e M. All en and l . . . . E. Brl.,u. III \\ave btcomt lSSOCi"ttd with the Hontgomtry o/flCt. Rllchle ~ R~.I"'r iIIIl'KMJnctS Il\.)t SI ..... P. C.... 'OIl' hils joint<! tht finn .. ;on associatt. The mailinjJ addrus is P.O. Sox 11683, IIlrmingham, Alabama 3SZ{)2·1683. Phone (21)51251 ·1288. As of N(Mmber II. 1991. Robbon .. LIft""ton hils been dissoMd. Ilobnt R",-', mailing ilddrw will continue to be P.O. BOIl 86. N....1on. Abbam;i 36352. iIIOd Anttoon,- IJ-otIqotoa', new mail in, add rtll is P.O. Box 445. O;t,IMlk. ~ 36322. La.,e , 51., .... . Robla.on .. So.....ult U\nOUIlCf:S that Katluya S. Ca"u hu becomt a mtm~r of tta finn It its Birminghlom office, \oQted at 1700 Fiut Alab~ ma B~nk Building, Birmingham. AI"bama 35203. Phont (205) 250·5000. Smith. S'I....... PeddJo announcel thai Tu... T. nnu Pulliam and J.mu L. Stlrll n., Jr. have ~comt usoc:illu. Omen art 10Clted II 650 Financial CtnIU, 505 North 20th Stred. Birmin,ham, AII~ml 35203·2662. Phone (205) 251 ·5885. Wtb~ , Cr •• ,lon , McGn,or, D..lo " oUlq annou~ that Cnlj S. om.... llld 0 • .,.1 L. M..ten have btcomt rmmbtrs and E. " 'n.JI Sallh. Bart H....on . Mall' E. Pil~her mel ROJ' ,,")l11e Gnnll:u, III have become ISsoc:iatn. omcn are located in tht Colon;11 F;n~nci~1 Conttr. Ont Com. meree Strtet. Suitt 700. Montgomery, Alabama 36101·0238. Phont (2051 834· 3176. Poll. " Youn, InnOUncu tht 0. ..... Cob .... furmr r law clerk 10 hmtS Duke Cuntron of the Arizono Supmnt Court. hils btcomt :wociated with lhe firm. Oftku ,re !oealtd at 107 East CoIkit Sired, Florence, AIabamo 3S631. Phont (2051764·7142. N. John Ru ••• J ... and RId< Crif. fi n announc~ tht opening of their officel. I(l("~ltd at Brown Ma.... T"""~r. 2000 ht Annut. North. Suitt 725. Birmingham. Alabama 35203. Phone (2051328 ·2606. •

H-.,

TIlE: A1AIlA.\IA U,WYER

HONOR ROLL •

Between December 14, 1991 and Januarg 31, 1992 the follOU:ing attorneys mode pledges to the Ala/xJma State &r Building Fund. Their names will be included on a wall in the portion of/he building lisling all contributors. Their pledges are acknowledged with grateful appreciation. (For Q (isl of/hou mofring pledges prior to November 2, pl~

s« previous issues of The Alabama Lawller.) Pnncis M. James, III

Robert Wayne Ruth

Robert A. Beck.. l~

Gerlt M. Stilt,..

Ollie L Blan. J r.

Loyd It Uttle, Jr,

Clifton Eddie Sllot."

Dtloru R. Boyd

Vietor H. l otto Jr.

Stuart Edwin Smith

JoMph

~rriI

James C. $paM

Brog<k-n

Pder Alltll Mclnish

lama B. Spn.ybtrry

J_ph L. Dun. Jr.

Cm.o(ord S. Melton

hrrll« p, Sutherlin

Jeffery C. Duffey

'Jhomu S. Mtlton

T1wI Yancey, Jr.

Edgar M. •:lIiou, III

Lis.a Cu-ww Mich,'son

Cheri. Uian. Funke .

Louis Poe Moo,..,

tkluWf! DramI>er U, 19:;1 and ,/;muu,., 31, 1992 1M fcllow;"g firms

Dtnise Ann Ferguson

ErnUl loth.. Pott..

modi p/tdgt:< 101M building fund. ......... .,i/l1listJ bo Mdudtd .... " II1I1I1 m 1M _lI<;il~ lilling ,,/I CGtIlribulon..

Will;"m Larry Rl.y

Jillnn Il.lt(id, Jr,

""if"

TIotir ~ "'" .od>"",,: 1I!"d .nIh grtIIfIoJ _oddlloot. (PINu _,.,..,..

/Qt.

..... '"""" oI' 71N .... oI'll>oJ,k.....ow CMiribulioN pri()r /I) l),j(iJ.rbt> 14.J !

•• ,

Rob..t M.Ulin Hupt.

Bert W. Ri«

CurtlJ Mclarty Holder

Thomu RmI Robinson

Bradley, Arant. Rose '" 1'.1litt

Michatl Wa)'l'lt Jackson

William Stanley Rodgers

()w(ns, Stnlon '" Simpson

Tm: ALABAMA UWVER

March 1992 / 119

SMART MOVES TO BEAT THE RECESSION How YOUR LEGAL

ttwe~n

July 1990 and

Jun e 1991. 1.8 million people los\ their jobs.

Comum ... are com"".· ing Ihe 1990, wilh the 1930. and the G,ut Depression. There may not b. p<opl. standing on Ihe comers selling apples, but the sign. of hard ti me. _ people .Ianding at intersection. with ,igns "'ying th")' will work for foodare growing. The drive to "Ill""'''' costs an<.! imp1"O'le p.orots i. resulting in costcutting, job fr. ezes, laYQffs. conwlid>. lions. and takeovers. Bankruptciu continue to skyrocket Consumer e<)nfi-

dence in the .conomy has fallen

SUPPORT STAFF

beneath the lo·..,.sl I(\I1lJ recordtd during the 1982 m:ession. Even though the federal gO\.. mmtnt cut interu! ra\« to

CAN MAKE

the lowest in 24 yean;, many bw;;nusu

A DIFFERENCE By MARY JO DENNIS

120 1 March 1992

and consumers have "maxed out" On debt. In ,imple language: job growth in

Ihe '90s ",iii probably be the 510wesl . inu the 19505. The downsiz ing thaI occurred in the manufacturing ..ctor ha$ hillhe .. Nice sector in full force. Law firms are affectt<! both internally and e ~temally. They now fact Ihe same probtems lhat busi· nwes ha"" bten facing for the talll five years (or ten. depending upon geographical )lTOIlensities). Clients have less work to offer, increasing COmpetilion among law firms. Vel the cl ients still expect excellence. not just quality. Thty 5till e:q>ecl commitment and dt<!ication 10 th eir cause by all involved. They upecl uS to have access 10 the lalest information and 10 get to it qu ickly. MOSI slill expect law firms to provide a hosl of exlras - businus couns.ling. legislaliv. updates •• "en necu t ive forums and referrals to the law form's other clients. They wanl more cost-dfective legal "TVice. They wanl specific prices , and thfy want deals. Expecting more does not me.n increased fees. Market pressures ha ... dri""n d<M'Tl prices of some legal work by as much as 20 pt"ent, Som e corporalions, such a. Ceneral Motors, are ewn tracking legal costs by using computers 10 compa .. co.!. of one Itgal finn againsl another. "Ther. 's a major difference in Ihe lawyer/client relalionship today lhat col· OrS the entire proce5.\ of delivering legal advice: said Sand ra Vosl. PLS. presi. TH~:

ALABAMA LAWVER

dent 01 the NalioNl Association oIlrpI SernUriu. "Climts ~ becomt mort lOphisticllltd. Tht{vt sun how I".... firms work on teltvision. lind ~r .k~ thlot I~ miY be. il tw ur· llinly ~ the public's IXruption 01 tht Itgll prokuion. " Law filTlli l~ begInnIng to UK a host of ways 01 QeninQ 1M bU$lnus and ser· vidng the clitnt. Thty art growing mo~ used to such tactics;lS volume dis· counts. fllIt fus and prt·established prien. compeli t ive biddin~. blo nded .atn. modlfi.d conling.ncy f..... nd hou rly 'Itt diKOUntS. They art l!sO growing n'IOft cornfortlIbk with rTl/lrItd· ing lind up,lnding mirktling efforts. knowing full .... lI lhll difnu wil\ lit mort dilflf;llil 10 ruth. They are begin· ning 10 thinlc mort globaJly. Solo prac. lieu lire poppinQ up evuy... ht r. lIS mort ptoplt !>tcom •• nlrep . eneurs ..tim they un find no other <l\ltioos.. Inside t ht firm. t.chnology has changed Ihe ... ay Ihe work is handled. L.l.yoff$ have cui down Ihe labor OI'tr· head. Thert art now fe... er p<opl. bul not neCU5lIrily Itu Wilrk. Many fo rms lIrt down to tht pOInt ...he" thty can no longer ~ oIf ... ithout tndangering thtir ability to produ« tilt work. This mtlIRI tJut notr)'Ont in tht firm must be dedi· cated 10 pn:Mding tJw but poi$iblt lot.· vita and to mhinc:ing lilt lawyu-c:tient .. ~ioruhip. All individwols in tht firm must work IlNtt .... And thert is a "'"y. By ~ing the lf3ditioNl role 0( tJw le",,1 Hcreillry lind tht le",,1 supporl slllff. tht taw firm an maximiu produc· tivlty Ind minimi," C06U.

TlU: ALABAMA LAWYER

n endangered

a-hou.e

spedes Finding a \IOOd I~I w<:rellry if you do not liready have one un be 1I prob. lem. They art ~ninltlG be .n "n<bn. ~red lP«in. The demand has nol ktpl up with the supply. Ind the growth Gf law firms in to t ht nut century ... ill ..... cerbate the cur~nl .hortag•. The .. /Ire plenly 01 rusoru. A 199 1 SUlW}/ by Ihe NalioNl Association of Legal s«~. IIrits s.howtd thai )'OUn~r prople m<l'>" inQ inlo the field ~ Iw 10......1Infn· ing Ihlln Ihey did live ytlln ago. The ~ boom" tw ~ iUld Ihm Ut f.\ft . undidal". Also. rrLl.ny young people believe lhey un tim more ~ do Itil work in other professiOOJ. The lepl 5«relariat posi tion is often not thCIught ol lIS a profession. just II dud· end job ... ith ncithtr Ply<::hologial nor monttary rewards. II good job fGr 501TII:" one intllpable of hilther intellectual pursuitl. Saillria olt.n renect these miscOnCtpliGns. ~Sal/l ri u across Ih. !lItion vary IUbsllinlillly by gtography. but A~'flI is typially on the law end 01 thullary $ClI.Ie.) Bul It nted not be any of those thingl. A skilled legll secreillry C/ln mike the Ill'" office opeTIIIt more WIOOIhly lind tfficitntly. Expanding her role Cln be In dfecti~ tlement in I firm's CQlI.culting equati<ln. She an become II pUI·professional ...ho han. diu computerind litigal ion.biliin8. document uscmbly Ind compuleriz«l on·line research. She can lree. In attor· ney up to practice more la .... streamline the /ldministralh.'t proctsl. lind provide directiGn 10 receptioniltS. ucretaries lInd other office workers. And some 01 thole wksan tum into billable limr. MOlt lepl s«rellrics choose lhe r~1d btc.IUK thty are inleruted or intrigued by the law but lack the lime. doIlar$ or opportunity to lInend law school Mmy women hive Illmiliel lind Med IG be f_ 11\ nighl. Most IUJlllO'\ staff ..ant 10 be plitt olthe Itlm lind Ire ... illing to do ..ilit it likes to deliver I quality prod· uct 10 clients. But how can}'lU find the rough·eut diamond in the coal bucket? And how an you pOlish lhat diamond until it sh inu!

training In·house traininlt is too of len II ntgl.cled plITt of I firm's ""'miniSlra· tion. EmplO)ftl Irt often submitted 10 baptism by fire In Ihe busy I..... firm. On .lhe ·job trlining ,In be int.nsive. intimidlt in" Ind overwhelming. Most lawyers lack Ihe pati.nce (and often timt) to bui ld an eff,cli~ tum. They often eXIXcl immediate results fmm a new stCrtlliry on he. first Illy. Although this is not rnlistic. il miy .....11 be the

In. house Irlining fOT lepl sUPpOrt ruff is I dt'o'tlopinQ trend. The lrend his lIlready blo$somtd in the business world . ... here such rnovt .... nts uswolly surfllCe before they do in I' .... fi rms. About percent of Ihe !'CIrtllne 500 compllni.s implemented such trlining two or Ih... )'tin "ItG. according to I surv.y commissioned by Working Worn"n magnine. More than 90 ptr· cent of Fort une 500 companies ... ill olle. such training within II )'f'/lr or two. The NALS M.mber Survey s~ that II percent 01 tilt members worktd for firms that Gffered lormal in·hGuse training. The NALS TOp 500 Law Firm Survey IoI!owN that 25 IXrcent oIlh. rupondentl offered formil in ·houH training. "AIIGmtyli art beltinning to under· stand Ih. importance of continuing lepl edllCllion for their sllff: laid Gale Round. president of Gale Round & Associales. Phoenix. Round was a kgal lott· rtlary for 25 )'f'aTS bdore sht began /I compan~ t~t provi des in·houu Irain· inQ in Ia... forms. Round f«ls I~I Iraining for staff is imperative. "It's difficult 10. 1~W)'trs to H",ice clients IIW"Y from the office if Iht suff mtmbtrs don't kno ...... hat Ihcy·r. doing. If Ihe suff can run tilt office smoolhly lind mikt some ded· sions. the Ittorney is flU to do more. When Ihe siliff il knowledgeable. tht a\tomey un muktt. attend tducalionil prOQrlms. Qel more clients and ulti· rTI/Ilely lhow more profit. If tht attGmey is <l'>'tl'$teing ..... rylhing the staff do... he is missing Ihe point." In the past. mlny Ilwytn hIIvt hesi.

M3rchl992 / 12 1

tated "investing" in their staff sinc~ they belit>... d turnover to be high. But that i5 a mi>eonception. The NALS Surlie}' indicated that 52 percent have b«n in Ihe profession more Ihan ten years. and another 24 pe rcent have been in th. field six-ten ~ars. Some lawyers believe that legal sup" port staff are not particularly intere5led in education. However. the NALS Survey showed that 3Z percent of thost who work for law firms have lwo-~ar community/junior college de grees. Another 22 percent have busine55 school training. Nine pucenl have bachelor"s degrees and mothor six percent ha,.. post·graduate degrees.

eys to successful training program Setting up a training program is not easy. Scheduling is often difficult for la"'l"'TS" _II as support staff. Persis· tence is impOrtant and the program must be continuous. Implement ing such a program in· volves three key elem<n15: • Orientation - \0 acquaint new employttS with practices and procedures 01" the firm; Concent ration in a substantive law area - to sharpen the skills of current emplayees in an area 01" specialty and to introduce new emplo~.s to OO'Iain areas of praclice: .md • Enrichm<nt _ to rrI/Ike employees f«1 important. knowledgeabl. and necessary to .ffective operation oIl~ firm.

ositi"e side effects In-hous. training for staff by man_ agers and lawy<!rs can reduce tu~r and save the fIrm money. according to t~ New i=/lWW Journal. Depending on the fi rm's location. turnover cosu for legal s.ertlaries can run belween $10.000 and $25.000. K•• ping good support staff should be every firm', goal. particularly when turnwer cosu are high and replacement difficult. Firms that have in.hous. luining programs find t hat recruitment becomes easie r_ QU.1lified legal ,ecre 122 1 March 1992

taries will be beating down the door. Wh.n other support staff see t~ knowledge oth.", have gained . the trust that is placed in them. and the teamwork that develops. they will ....anl to worK for that form. New law associates will als.o recognize an atmosph.re when people care .... hether they succeed or fail. Effedive training is an invest,",nt in human resources with both immediate and long-range returns. such ..: • Job satisfaction is improved; • Confid.n~ i, increased: • Betltr morale is evident: • A teamwork concept is .stablished; • Povductivity and qU.1lity of legal str· vices offered by the finn is improved; • Ltadership develops among staff as _11 as attorneys: • Ma~rs ltarn more through teach_ ing and imprO\'I' t.aching skills; • Loyalty i, instilled; and • Coals are solidified: strengths and weaknesses art identified.

ontinulng Legal Education

For those who lack t ime or. want more than their 0'WTl expertist to train support staff. tht}' can tum to experts such as Gale Round. "lawyers may have the expertise to teach Ihe coursts. but few of them have Ihe time: she said. "1I"s hard to justify pulling themselves away from what earns them dollars to conduct courses that might rnult in increased productivity and. thus. more dollars: The 1991 NALS member survey showed Ihat a third of the 3,449 .... ho ..sponded work~d for firms that off.. educational leave. such as paid profes· sional leave or continuing legal education for their sUPpOrt staff. while 47 percent 01" the firm:s offer paid continuing legal .ducational opportunities. A compani"n survey by NALS of the top 500 law firm:s shPl<-ed that 38 percent of the respondents offered paid continuing l.gal opportunities. Another 16 percent offered additional educational I.av •• such as paid prole.. ionalleave. "A law firm tells me what tht}' need. and ..... e develop a plan based on those needs. d.termin.d by the number of people to be trained and the are.. of law

or skills thaI n«d to be taught. The lesson plan is cu,tomi •• d for tach law firm: said Round. Her strvices cover a wide variety of topiu. such as testing for new .mpIO)'l'es. as _II as training in ,pecific areas On basic. intennediate Or advanced curriculum levels. including word processing training. Round's instructors must have at I~ast five )'I'.lrS of legal experience in their specific area of instruction.

rofelsional altlociations

Another option is education and Iraining through profe.sional associations. such as th e National Association of Legal Secretaries. The NALS mission statement cI.arly s hows its commitment to th. l.gal .upport industry. to the "delivery of quality legal services through continuing education and incr.ased professional ism. promoting a standard for members and recognition in the legal prof.ssion through the certification program. " The tri·level association promotes continuin8 legal education on the local. state and nalional le,-els. At a r«ent annU.11 meeting in Chicago. for example. wer 100 hours of education ..... ere offered. including such topics as m.dia vs. privacy: trial pr... ntation; automobile personal injury: Chapter II bankruptcy: marketing the law firm; rethinking RICO; products liabil ity; ,upport staff contribution to bUSiness development: art VS. obscenity: children in Ihe courts; and environ mental impact issues. as ...... 11 .s bask skills and technology courses . The Alabama Association of Ltgal Secre taries is SpOnsoring five seminars Ihis ~ar. and tach of the 12 local chaplers offers education at the ir monthly m~.t;ngs plus periodic seminars. In add ition. NAi.S provides curriculum for legal training courses for both beginning and advanced legal secretaries. as .... ell as in.house and individ_ ual ,tudy courses and several educa· tiona l texts. NALS has authored a number of manuals for administralive purposu as ...... 11. including a policy and proce dures manual. applicanl THE ALABAMA LAWYER

skHb IUU. and guid~1inu lor (on· du(1in, ~rforman«, IIppraisill. "Dollar lor doll.. r. NAl.S i I _ of 1M M$I i~mtnts )'OU C¥I INkt in )'OUr Itg.t.1 stl'Yi«,s dtHwry teim," $.lid Don Alein$. pmidtnt 01 Hildtbrandt. Inc .. a law offic~ consultin, finn. By taking part In meetings and stminars . members learn mort about the liw and I~gal procnlurts. They beoomt more knowl. edgeable employees. willinll to work tl.irder 10 make 11 contribution 10 the firm lind Ihe leg,,1 profUsion. They IItwlop pride in tMi r caru rl, whith instills in them the desi.., 10 mHl the highest litandarcls possible. Membership in such iISSOCiation promotn group cohniwntss. II m/lkU the membe .. beltor tlam pliY." in Ih. oIfi«. They show more Ioy;r,lty to thei r emp~rs. They m/linwn I hiah rtprd for jU&ti<:t and the idminiltntion oIthe ~. They lam life skill> throuih lucI· ership d~lopment. Thei r increued proftuion;.liJm.nhanctIi their employ. ~n' law puctice. They become their tmpl~rs' greatest iSSOts.

AHaining this goal demonstutn dedication to Ihe proftuion. Even tho>.t who cIo not pass tM tlWnination find they hIow tJpanded their knowl· edge in studyi"ll for the eum. This yeu. NALS II introducing the ,,"ccredited Legal Sec retary (,,"LS) for entry·lewl secretaries. It can be taken b)' those who tl.ive it leut one yeu of I.gal u~ri.nc. (lr have succ .... fully completed lin accredited stcn\;l.rilll courn or the NALS Lcpl Trainin, Cou .... The AlS de,ignlllion will elllin: five YI'lIH after the certifiClltion date unless it I> utellded and iJ ~ner· ally sun u a steppin, stone to the PLS certification.

JUII u la"')'tlS contin,", t~ir edu· cation IhTOU,h special .ourns and Hminl". you ... n help your support $Uff d","lop through conlinuing ..",I education. "Lawy.rs .... ho encourage their staff memMn to increase thtir knowledge Ire ultimatdy the bendac· tor of their Imp rowd skill: said Sandra VOII. "Firms that do not provide proftUiOn.l.l d","lopment in some w"'l' should takt lIlOIh.r look at their productivity levels." The effectively tnintd $Uff member is going to TTIIIkt your firm happin and mort prod",,· tive - and inc rea.std productivity is ,oin, to be the key to financial suc· cess in the 1990s. •

ntification

nw: h~ ranki"ll for the legil SUI"" pOrt $Uff professional is certif.ation. nw: Certified f'rofessionalltgal Secretary (P1..S) is offered by NAI.S. To be eligible. 11 I~gal secretary mUlt hav~ wo,lc~d under the dirtct suptrviJion 0( in auomty 0' judge for at I.ut thrte years. Individuals must pass a two-d,}y ton\Ilrehens~ uam made up of ~n parU. Tlw:lu who pass clearly identify an aecutiw usisunt who: • POSHSHS 01. mutery of offict skills lind ptOpit skill>; • Demonsll'1ltes the ibility to inlenoct on a professional levol wi th attor· neys. clients. oth.. support staff, legll ISslstants. office admlnistra· tors, judgt$, ind other court offi· tials; • lias a working knowkd~ of proce· dural Ilw and the bw libnry; and

• Is CiJl<lbie of driftin, correspon· dence. legal documents and cou rt documents with minimal supervl· sion. TI lE AU.IIA/oIA LAWYER

March 1992 1 123

OPPORTUNITIES The follou!ing progrOm5 have be;m appl"Oll<1d bg the Alalxnna Manda/or!l Conlitluing lLga/ Education Q,mmission for CLE credit. For inlonnlllkm regarding other owl/able ItjJpl'O<Ied programs, ron/act Dione Weldtm. admiflU/rotiv<: ossi.lrml for prr.r grams. 01 (205) 269· /515, ami a complete eLI:: calenJar will 00 moiled /0 1I0u.

MARCH

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• Much ]992 / 125

II;' II

011 Alaba= trialla~m lIU familiar w;lh the prac· tkf 01 invoicing the "rult" to udude "i~ from the courtroom dllrilli INI SO !Iv}> will

not OIItrhur Iht tatimony.

H~r.

thue a~rs 10 lit confusion, and fVm disllrHmtnt, 1.$ to whdhtr tho rule's mtooil:w may utmd to tho CQIIduct of disaw.ing Qr slllring I~irnony out· siclt the courtroom. A (10K look al tho policy bthind tho rult. tilt inttrprding CiH ~w and the wide discretion ~Itd in Iht trial CGII'! on this maUtr. will 'evfll thl.t lawytrs should bt pupaml

to l<;CQUn! fOlr slIch conduct or run the risk of

da~

10 their ca.st. Bul, first.

126 / Marchl992

fOlT orientation pu rposu, the origin and genua) application of tht rult will M revir'NW.

Origin .nd " ...... , epph".t,on oj \" ...... ,.

Thr rul. 01 aduding or sequeskring

wilnusn from tht coortroom during trill strvu tht purpow of pRWnlins wilnt$U$ from "tailoring" lhei. 1..1i· mony 10 tll.'lt of fulio, "'iln.oses. Sa! (A(kn~. f/nilftl Slota. 425 U.S. SO, 47

L.Ed.2d 592. 598, 96 S.CI. 1330 (1976). One 0( th. more I'«t,,1 uplanatioos of the rute by OUT lup~me court i. found

in Elt parM Faircloth, HI SQ.2d 493, 496 (All. 1985), to wit "The pUTjXlSt of the witotSl sequestration rule i, to p~. ..... nt ~y one witness from huring the ttstimony 01 OIhfr witnl"ses and ptr· haps perceiving the value of his own ttstirnony to ant ~rty or tilt othtr." In othtr words, tilt rule promotes the 11«' tmliltion 01 indtptndtnt, unLtinkd t.,.· timony with tilt I,dtimate go&! of arriving at tilt tNth. TIlt rule is a common· LlIw development with English l.nd Germanic origins. deriving from "[tlhe judge'l IIO"'U to control the progrtlos iUld, within Ih. limits 0( tho adwrsary sl"ltm, the sh.tpe 0( the tri~1 ... ." 47 LEd.2d at 598. In fact. "'en 10 !hi. dooy. TI lE Al.ABAMA LAWYER

Ihtre ~ no AlabilN rult of proctdure or stalule pnMdina: for Iht rule in civil practice. II has bttn lhe gtntr~1 rule in Alalia· m~ Ihat tht invOICat ion and enforct · _nl of the rule lits within lhe sound discretion 0I1ht INI court. CIIolmmr ~. S/ll/t. 380 So.2d lSI. 353 (Ali. Cr. App. 1980); $« GlOmble, NcElI'OI/ 's A/aixlfIw F.virknce 1286.01 (41h Ed. 199 1). While Iht tr i~ 1 cou rl has I ht au l ho rily 10 invoke the rule on its 0..T1 motion, il is COffimoo for IrW coonsello requesllht irMQlion of the rule al the beginning of trial. S« NcEll'OI/"s §286.ot. Excus· ing particular witneloSts from tht 11'I'1i· tllion of Ihf: rule u ~l>o Itft within the dioc relion of the Iri,1 judge. u. Qmeral Malon Corp .• 454 So.2d 958. 959 (,1,4. 1984), For insunce, in ~i. lion 10 Ihf: right of a party 10 be prt$tnl al his own Irial . a party's "pert witness INY be m:used from the ilIlplitltion of the rul. in wme: tl$H.ld. at 9$9.960.' ","hilt the enlOl'Umenl 01 Uw rult by lhe INI judge lits within his diocrdion. styerll mnns of tnforctment hllvt b«n recognized by the AlabalT\l appel. lat. courtJ ovtr till' )/Un. to wil: puniu. the violating wilnH$ under tho court's (()nltmpt pow!:l"$. oelude the Iwimony 01 the viobling wilness. Or permil cross·uamilllliion of the violating wit· ness on the lubjed of hi. violation for impeachm.nl purp<»es. Th. Alanaml supr.mt court hIlS opi ned thllt, '"TI>o bd~r pndia, hownorr.!fttnS to be to ptrmit tho witnw 10 lestify MId punish him for the violation of lhe rule."lRIJ(J v. State. 43 So. 4So1. 486 (Ala. 1907).' lI.,.....",.,r. whf:re /I party or hu attorney is IIWlre 01 or contribules 10 II violalion. lhe AlWrN ;\jlptllal. courts hI~ not htsitaled 10 Iffirm the uelusion 01 totimony. S« Faircloth, at 497 (whtrt the delendant "Iailed to $te that his wil·

"""1'

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Coo:cIo. , ..... _

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THE AlABA."IA I.A\\IY£R

m)'td out 01 the courtroom"): 353 (whon: ddt1lSt COUll· sel "knew the witntss ~I fiHed in his duty 10 apprise the court 01 her pru · .nn in the courtroom"); kIn- u. Slott. 376 So.2d 808 (All. Cr. App. 1979) (wher. both Ih. defendlnl lind his counsel Wert aWllrt lhal I paniculu witne ss Wll Jilting in tho court room and may have relevlnt tu timony for their ast); and./ohnsot! II. Stolt. 62 So. 450,452·53 (Ali. App. 1913) (....hen: tho drimdinl failed to idenlify to the court i poltnlill wilntSS. who thereby iIIt through the lrial). Prom these~. it appnrs that a duty is imp<»ed on the parliu and thei r counsel to st. Ihal their witnustJ abMII: by lhe rule MId. to lhe atml their neglil/OOU conlribules 10 I rule violation. they InlY be ptnI.l· ized by In exclusion of their wilness ' IUlimony. Th. lellSt har$h 01 tht enlorcomtnl rnKtwIisms is 10 Optll cross-tnmina· tion on Ihe subjttt. The IIpp.lIl1l. courts ha~ ilffillTltd the allowance 01 cross·namination concernin g a wil · ness' violation 01 the rule to establish diso!JWienct or biQ. Sa Birmmglwm n.tsSts

CIIotman. at

Roil/r06 and 1..·lt clrK Co. II. Ellard. 33 So. 276. 280 (Ali. 19(3);)"oung o. Siok 416 So.2d 1109 (Ali. Cr. App. 1982).

Application of U....II. OutsIde

t"* court....om

In liillt 01 the constlluencn of l rule violation, it is impOrtant to under.tond whethtr Iht COnduCI of wilntSst5. the parlin or th.ir couns.1 outside Ihe courtroom INY vioill. Ihe rule. For inslln<:f, il witnuSts discus.std the ast in Ihe w;l nts. room or in Ihe cou rt · room hallways during II rKess. would Ihal be II rule violalionl Or. if tr ill COUNtI ","t with 1\00"'0 or ITIOf1' witness· es during l trill recess 10 discuss the ast. would that be I violation? Plainly. in ft<k",l practitt, such is the ast. The lormer Fifth Circuit Court 01 Appeals (bind ing precedenl in the EI~nth Cir· cuil) has held lhal, one. Ihe rule Iw btm invokrd, it iu vioW.ion 01 the rule for I party', altomty 10 mett ...... th il lellSl .I~n prospecti~ witnelMs lnd Idiscussi the c.ut in prepal"1llion lor tu· N_on Ii. IT&T. 616 lirnony ... ".

.sa.

F.2d 13t2. 1355 (Slh Cir. 1980) (ilffinn;ng Iht trial courl's rtfu..,l 10 IlIow lhese wilneSstS to tutil)' and d«ming their conduct a "dirtcl and flagrant violation of a prtVioosiy .n~rtd Sfquul",· lioo and Hparllion order").' Further· mon:, il ipptlrS Ihil Rule 9..3 of Ihe Aillnama Ruin 01 Criminal Proceduu (tlfective JlnUary I, 1991) envisions witness conduct outside the courtroom to be w;lhin Ihe S<:Opt of Ih. rule. In Iddilion 10 proyiding Ihal Ihe trilll court "1nlY w:lude witntsstS from lhe counroom". Rule 9.3 p...,..idts further that Ihe trill court may "direct them not to communicate with tilCh other, or with anyone other lhan the attomtyS in Ih. Ust. concorn ing any tUlimony until 111 wilnusu hive btm reltllKd by the court" This IaUer pmhibilioo is not limited 10 Ihe courtroom and. in fact. logitlily comes Inlo play where willltSS· es till talk togelher Irttly. i.... ouuide the courtroom. The GCtplion lor tom· municalioOl wilh IIUOI'l"ItyS is Ipparenl· ly for "ant-llll-one" diKUS$ioOI bttwm1 lawyer Ind witnns Ihal do not run alou l of tht prohibition of wHnusu «>mmunkaling ..... ith each other". ~spile the fedtril prictice. Alina· ma's Rules of crimilllli procedurt. and Alabama', tlSt Ilw on Ihf: rule, Iheu appi'an to be a perceplion among th~ Alabama blnch and bar thaI Iht rule could not IIpply 10 witness lind lawyer conducl oUlside the courlroom. For instance. ant trtalise'. disnwion 01 tho rule obsrnu. "Iolna IINI hal started and tm rul. has bttn invoktd .•. the aUomey could tvtn tal k to the witness· es lIS a group." McCleod. Triol Proctkt and Proctdu" it! A.lol1<1r110 , p. 208 (1983). The JOlt lulhority ci~ lor Ihis prop<.>5ilion is l'ough<m v. Stol., 78 So. 378 (Ala. 1918). 1I000'O\>Or. Vaughlll1 is not SO libenl. Rathtr. Voughan hold$1IS lollows: "We find no error in the ilCtion of the court in pmnilting the soIkitor 10 tal. to _ 01 tho St.aol.·s witnustJ togtlher N(OTI Ihe tr ial had Mgun. Th.H lire maners ruting within the 'IOUnd di-Kretion 01 the cour!." 78 So. at 381 lemphasis addedl. As evident from Vaughon, lhe Ir;;'1 court alwloys hal duo cretion to permit uaptions to the rule. Furthermor•. tht diocussioll wilh Iht w'\neSits in tNt aso occurred IN~ the trial had begun and . apparen tly, btfon! the rul. had ~n I>«n invoked.

M.irch 1992/ 127

Mc:£lro/l '$ Alaborrw Ellidence appropriately interprets Vaughan when it cites VQughQ71 for the proposition tnat "[t[ht

trial court, in its discretion, "",y permit a lawyer to t.alk to a group of witne~s together". Mcf.'lro/l~. ;286.01. p. 762. Implicitly, permis:!ion (or clarification of the rule) should k obt.ained befor~ ,peaking to a group of witn<:sus. To do othe",,·;se. a la~r runs the risk of an unfavoublt uerci se of discretion by the trial court in applying th. rule. In addition. the Alabama Supreme Court has recently suggested that the rule dots not awly to the diS<:lmion of te stimony outside the courtroom. although nO definitive holding to that effecl hilS been is.lU\'d. In Chrisliaruffi II. Hall. 5&7 So.2d 1338 (Ala. 1990). the appellant argued that, after the rule had been in~oked. it was ~iolaled when opposing coun,e l conferred with hi' client and a sroup of pOtential witness· es during a trial reCe55. While commenting that this argument "is a tribute 10 the creativity of our state's Bar," the supreme courfs actual analysis of the argument ga~e credence to the appellant's contention that the rule was violat.d. /d. at 1340. The court's analysis considered that the trial judge has discretion in administering the rule. that the t.stimony of the witnesses who all.gedly vi olat.d the rul e WaS largely cumulative. and that thei r conduct was upOsed by cross·examination. After this analysis. the court expressly held ; "Based on the foregoing. we hold thaI the trial court did not abus. its discrdion In allowing the t .. timony of the particular defense witness at is.lue." 567 So.2d at 1341. Nevertheless. immediately foll.,....·ing the holding, the court delivered this dictum: "Indeed. ' t he rul e' was not violated in th first inst.anc.: Id. No authority is cit.d for thi5 dictum. No stated rational~ follows. Tht appa rent rationale is the court's earlier observation in its opinion that the wilnes:!.s ~re not "in Ih. courtroom during any testimony", i. •.. the rule dMs not extend beyond the courtroom. Such a rationale runs COn· trary to Alabama precedent. In Birmingham RailWl1/1 and Eleclric Co ..... Ellard. 33 So. 276 (Ala. (903). the trial cou rt had invoked the rul. and. upon cfoss-uamination of the witness, it was rt~aled that the wit128 / March 1992

ness had been discus:!ing the case with othe r witness .. during the courst of the trial. The Alabama Supr.me Court held that it was proper for tht trial court to allow cross-examination of these facts since th.y may tend to show the witn ... ' bias and interest in the case. and , furthemore. "may have been to la~ a predicate to move to .xclude the witnus altogdher. and it was competent for the court to allow them [the Questions] for that purpOSe". 33 So. at 280. Tht court also noted that. "Th. answers had a tendency to show. that after having bun put under the rule try the cou rt. the witness violated its instructi ons not to talk 10 any on~ about the cue." Id. Similarly. the Alabama Court of Criminal Appeals has upressed its opinion Ihat the rul~ applies to witnus conduct outside tht courtroom. See, e.g_. McGilberr v .... Stale. 516 So.2d 901 , 912 (Ala. Cr. App. 1987) (where there was evidence that witne~s had b«n discus:!ing the case in the court room hallways after the rule had been invohd. the court referred to such conduct as ". definite appearanct of impropriet~"). In fact. th.re art many app.llate opinions addressing the argument that commu" nications among trial witne~s outside the courtroom violate the rul e. but they do not dismis:! the argumen t for lack of a rul e violation. Rather. they merely uphold the trial court'S exercise of discretion in enforcing the rule. See GaulneV v. Siale, 222 So.2d 175, 178 (Ala. 1969) (noting with approval that the invocation of the rule by the trial cou rt included explicit instructions that ...itne~s "should not t.alk among themul"es about th. case").'

F"or more effective administration of trials in our Alabama courts. the scope of the rule ,....(Is to be clarified 50 that trial counstl. their clients and their witne~s can conduct themuo,es accordinglyand without penalt». The current effort to promulgate the Alabama Rules of Evidence could address these "",Uers. or. if the opportunity arises, the Alabama Supreme Court could expound on Ihe rule. In the meantime, each trial judge already has the j)OW<Ir and discr.,

tion to administer tht rul. in such . manner il$ to a'IIQid the .. uncerta inties, In fact. the trial judge ilia}' ha'~ a duty to explain to the ...ilnesses their ...~pon sibiliti.. under the rule. See Jo/msCJn"', Slale. 62 So. 450. 453 (Ala. AJlIl. 19(3) (r.ferring to the "failure of the presiding judge to see to it that [the witness'[ dut» under the rule was brought to her attention"). When the ru le is invoked at the beginning of trial. the trial judge should announce on the record and in the pre~nce of all witnessts. counsel and parties the scop. of the rule and what effect, if any. it would hl"e on conduct OUl'!ide of the courtroom. In doing 50. the trial judge should consider wheth.r Ihe gathering of witnesses oul'!ide oflhe courtroom to discus:! the case. whether with or without trial counse l. would result in th. Sam t t.ainting of testimony that their exclusion from th. courtroom was dtsigne<i to prevent. MOlreo....,r. the trial lawyer would be wise to requut these clarifi" cations or otherwise risk the penalty of misconduct. _ Endnot •• , In th. r.d"" o,octk•. th ....

",pI;"". '"

>p<1l<dOlJI in F«Iff>t Ru~o/~ 615,

Z Mo,<O\' ... in "oo,nil;on

.r Ih, <rimin.t1y

>«u...r. coru'i'u'iorW nth". PI,.. n' wi'_

,..".. on hi. bo"'tr. ~ ... bc<n 1><1<1 tho, II>< "",UM<l ""'> '"" bo d<priwd 0/. wilntU' ...,;. .....Y .... ' ..... II~ wi'"' ..... tht Rut•. ",,1... lh< """,>«I Of tht ......,... •• _ I ...... ' "'ulllOl' lh< vioI>hon. $N Fa;'·

' ' 'I

".'''Id

doll!. "'Pf'l. 3 In Itdtnol pf><li«. lh< Ru~ "" bc<n promul· plod by Cooi'<U .. Podoml Rul, 01 ~ 615, to wi~ -At .... f<qIl<SI 0/. POI1)' tht COIJrl .""11 .,d" "itn..... ,,,,,Iud,d .. t""t tl,,> annot 1><0, ,il< '<>li"""'l' 01 othe, wiIn<ud, one! ~ ""'Y ...n tht orJ", 0/ iu own _ " f.R.E. 615. Th, onl, .1 .... lfi,,"' . ;"'net;"" be_.n Ihi. Rut. o.nd Ih< A4b.i ... """,moo ..... ",It ;, lh>.t .... Itdn.tl COIJ" ""'" ; _ ,he Hui< ","," ~""I,d by. POI1)'. who, ... it> invocWon ;, dlocrt'ton.,.,. in AJ.born;o p<><11«.

4 Acc",d SI""""" Sla", 3-11 5o,2d 185. 186 lAb. C" App. (917), f\Jg< ~ St.I<. 327 So. 2d 760.762 lAb. C,. App. 1976):~ .. Stallt. 29'J So. 2d 333.117 (AU C,.!.pp. 1974): I.ftI:U •. St.,.. 208 So. 2d 228, 231·Z3t tAl>. App. 196111 , _,.." SI.I<, 17a So.:!O S06. 567· 56j! lAb. App. 1965r. _ V, SI.'~. 96 So. 2d 175, In lAb. App. 1956): fdg~ V. Stol<. 56 So. 2d 6n. 679 (AId""," 19521.

THE Al.'JIAMA ~I'.'YER

ACCESS TO JUSTICE Establishing a Pro Bono Project By MELINDA N. WATERS

[I ,I[ •

tctntly. an uticle in a MonlQomuy n~w$p)per focustd IIlMln tht con-

Urni of

)'Ouna

WOITWl I.,ho_ ~hind in IItt rt1lt.

who .omot'mu plugged an txtens;an cord into /I neiQhbor's tlfclriU\ outiet to tum on lights in htr ~lIlpart· menlo lind whon rtfriger-Ito., on ~rlll OCQsionl. had held only ict. This 30·yur-old mothu of two young children is 00< of 33.6 million Amtri· 0111-13.5 prrcfnl 0( the poputlltion_living

povtr ly. acco rding In stat istics relused by the United Stun Census Buruu in ~ f,1I of 1991. Her children IU numbtred among Iht one-fifth of 1111 our n.tion', children now cI,,"ified as pOOr.

These recently relused figu ru , bned on inte.· view, with Iboul 60,000 howtholds. mal thit tm f~m;ly

TIlE ALABAMA LAWYER

r.,.,ru

As poverty numbers increased significantly nationwide between 1989 and 1990, it is likely that the number of poor Alabamians dramatically increased as well.

number of poor Armri('./ll\S ,rrw by 2.1 million bdwun ]989 and 1990. the fin' .lIeh increase sinct 19S3. ITht Census Burnu considtn a

than S13,359 i yur 10 be living in poverty.) ~dly. it is anticiPiI.d by forCClSttn tN.1 1991 PI1\'trty will bt IMn \II01'St. In 1969. the AJabaJT\i SUte Bar Board of Commiuioneu. in conjunction wilh the AJabaJT\i LlIw Foundation lnd legal Stryictl Corporation of AI,banu. commiuiontd I survey 10 USUI legal needs of Alabama's poor. The survey re~lled that. by coruuvati.... ulimatH. over 780.000 p-trsons in our stitt lived. u thu time. below the fedtully t1t.ilblished PO'V(rty thrnhold. AI pOVtrty numbtrs incruud signifiuntly nationwide bd~tn 1989 Ind 1990. il is liktly It..It Ihe number of poor Allbam;ins dramatic.lly incrns.ed as ....11. The legal .... eds in ciyil nullers of thest indigent Alabamia ... are nu~row Ind includ •.• mong olh· ers. housing matte". consumer dtbt problems. domestic inues. income mainttnance problems. and huUh · r.l.led concerns. r ede rally funded leg;.lstrvicu progriou in our

of four wilh loul income 0( Ius

March 1992 I 1:l9

i\Li\B'\~It\

STATE BAli VOLUNTEEII LAWYEIIS PIIOGIlAlII

it,te do much to help. but budget cuts and uodustJ.ffing

tw.... kit ttwx proCrJm5

~It II> proo;idt: .11 the ~isunce A Qualt. effort on lhe p.J.rt of tilt privlte boor to help in lilt delioery of tt~se much·nw.led pro bono 1q;;.1 servkts is !lOW unde",..y in Al.b/ima. To en<:QUr.ge and l5$ist local bar HSOCia!iool with eslab· ~dtd..

lishing organized pro bono projecu and \0 delermine wit h some de,r« of accuracy lht present le~1 01 pro bono iKtivily in Alab/lma, Ihe ~rd of bar rommi»iontr' matt<! tilt Vol. unitt. J..a>.,')'C" Prog ... m. Th is prOjocl. wh ich is monitoud by the Committee on Access to u:gal Servicn 0( Iht AIlob.Jma Slate Rar. hu now been org,miud U1d prtMdes a l iructurtd, tff.dmt rnKlwlilfQ through ...·hich attorneys may di rtel'" YIlluntt<!. their IotrvKes \0 med the civil Irgalllftds of our low income ciliuns. Of rotIrsc, it has long b«n tilt caw 1"'1 lTWly attorneys. rspf("i.l11y tho$e in T\lral mel SItIIIlln ciliu. ,i.e ~rotr· ously of their liIN UId UJltrtiK \0 fellow citiztlll. rurthtr, lIule 6.1 of the A1"bama Rules of Prof_ional CondllCl. fnti. tltd "Pro Bono Publico Suvkt". ~i rttts aUomtyS to voIun . Llrily ~nder public int.~st legal ~rvict ranging from pro· viding professional ~rvi«s at no fee. or at " mluced r«. 10

'fUll

APPELLATE Court Decisions On Compact Disk (CD) ThotAll. . . . AppdlattCOUrt o.cb;lonsOn CDdlsk wiI1 reYOlulionlze lhe waY)'OU practiCle law. No Ion~t will II be nc:c:cssary 10 10 to Ibe library to find • dcci$lon )'Gu need. You Ql n \lie lheromputer on )'Out desk to lind Ibe inform. ,lon )'Ou noed. Easy .To·Uii<' F~al U rcs Include: Bro_ ~ FiN! II Doc/slon. S«tIT/o for 1J\),d 0<' PIrnlrI 4IUI '*"'J oIiwn.

Also Available: Alaba ma Code On Computer Disk

.u.cooe. The Alabama Code On Compultr Disk will Install 011 your hard drive .nd provide you witll tbe 1'1111 lext or I~ 11., Ules. FeaIUres (ndude: S - ndr IUI4 SmilM, FiN! II Tid., SUj«f MIIlW Indu tIIIIIII WoN' ... ,.",.. s.:udt..

•

130 1 March

Legal Systems, Inc . 1-800-844-2483

givi"ll finaneiil supflOft to oTglniulions thit provide legal strvi«s to the poor. In k«ping with tho SIIirit 01 Rult 6.l. the board olbir com· missionu. un.l.nimowly p.ustd II ruolution. the fullte~t 01 which is reprinted below, in June 1991. tnc:ouraging nth rt8ulu member of the Alabam<l State Bir to voluntarily atcept no Ius Ihan two civil UK rde ..ab. or 20 hours of qU./llifying legal work. from an organized pro bono project. Sptc"') members ITt tncourillled 10 volunl«r no Itss than 20 hours to a pro bono effort. Under tht ruotulion. q~lifying pro bono work indud.. not only ~irtd representalion of indigent dient.. bul also ~rvinQ on the goyeming or managing board 01 an organiulion auiJlin8 tht poor. «<ruiling lIltOmt)'!' for <I pro bono PfOj«t. instructi", al a _rty IbI seminar. mmlorinQ or strvi", as aHXIUnstl to other volun1«. b~rs. ptrforming intab lIa Irgal strvicts office. or ;wisling with lIltilIl dinic for the poor. Information lbout participating in or organi.ing a pro bono projrct for)'OUr community. bar association. law firm. or torporate legal c!tpartmtnt un be obtained by contacting m. at P.O. Box 671. Nontgomery 36101 or by C11l1ing me It

(205) 269-1515.

•

WE SAVE YOU R TIME . . .

I""

ameli

L E G A L Resear ch

Now kill ~arch .!oSiStll~ .. IVlil11Ik "'~n you ....... it. wu!loull~ neces";ly of oddin. a !\I1I·li.....""",ialt .,.. ck.k.

Wil. ""cess 10 tile 51l11t LII ... Llb<ory.JId W"'llaw. we provide fa .. alld .mdenl ",,,,Ice. For deodl i ~ ",,,", ..... can deli.er infomlotion 10 you VII common t anier. Federal EJ<prt!'S. or FAX . Famtll U gal R.su",~ ~~ .... i~ the Iss .... lhoow'hly lbroogb qWl!ily ~artb. brid' "'Tlllni and anal~ .. Our raleS..., Sl5.00 per !lour. ","llllllrcc hour mInimum. For Research A ssistance contact: Sa ra h Kathryn Fa me lJ 112 Moore Building Mon tg omery, AL 36104

C.II (20S) 277-7937

TIl E Al.J.BAMA lAWYER

DISCIPLINARY REPORT R.in.t.t . ....nt • Former Tuskeg« ~r C.I,""" D. BIUu. W<15 Il'irutatf<! to the IlDCti«> of law by order of the Supreme COurt 01 Allba!TUI, dfecti\'l' December 9. 1991. jl'd..l9O.(lS)

Disbarment • On December 9, 1991 the Supreme Coort of Abbam.a iu ..... d ~n diJ-

0'*'

bo.ring Binninglwn II~r Willi ... Lu CarTOll from the practice of law tff«tive lhat date. The di,banntot was baKd upon thr« fdony conviclionl of the rnpOfHItnt atlOl'l'lty. which Me vioIlotions of Rule 22(1)(2). ~ Rules of Disciplinary Procedure (lnttrim). IRuit 22(1)(2) Pel M91·()41

Susf»erls lons • On Otctmbn 1J, 1991 the Oisciplinary Commission of the Alabama St.l.tt BIIr temponrily ~ Mobik \n.-yt:T V.... Al P. .... b>ltOOl from the J)QCtia of bow .ffedi"., that Iblt. Sold • w;~ruion w.u pUl'$uant to Rul. WII). Rules 01 Disciplinary Proudull' ([nltr· im).jRuk 2O(a) I'd.. '9].011 • On N(lWmM' 15. 1991. aft.r a full hearinS. the OiscipliNl')' Boord III the Alabama Statt Bar susptnded Jubon WHII . ... Sioka of [I~ AWwN for I ptriod of 91 <100)'$. wid .lUl"'n$ion to broornt dftclM bnu.lry 15. 1m. Stokel had r~pres.enled an individu.ll on <I federll trimirul cmrge. The fee lIgreement ailed for the ~yment of $2,500, Tht dient coold ooly PlIY SIOO. Tht client ned the state. Later. wlltn the dient wu ~tumed 10 A.!WI11l, Stokn "'lIS IIIlPOinlfd by thor Unltrd SIltt$ ()is. lrict Court 10 rtprts.enl him. Tht cut was concluded by a guilty plu, and tilt client was sentenced on Pebruary 28, ]989. Sioku wbmiUfd I Y<II.Khrr 10 thor Court lind was ultirru\tly paid S699.:!Il for his IPPOinttd s.ervicu. On April 26, 1989 Stokes settled I worker', com~nntion claim for the W!>Ii' client who was thm in prison. Tht settlement checl< was in the ilmOlInt 01 $5,546.30. From thil amount, Stokes deducltd his 15 ,,"reent statutory IItor· TllE AL\IIA."IA U\WYER

ney', fee and S2,~ fur hil fee in the conch.tdtd crimi ....1 coue. tie crtdittd the $100 origirully paid and the rnor'of)' he was paid by the U.S. Tht client CQIl . tended he did not constnt to Ihis and did not owe more since StOkel hid ilnady been lIO'id by the U.S. for the criminal representation. Stoku' con· duct was found In viollilion of OR 9102(A)(2); 18 U.S.c. 13OO6AIO prohibits • ppoin ted counll'l in criminal Cutl from any other SOurCe without prior approval of the District Court. {ASH No. 90-2lJ] • For"",r BirminQham II~r J •• u Stephen (kIn was SUSpended from the practice of law for six months lind Ofdered to I11lke rutitution to adient lind to the Client SmJrity Fund of the Alabama St.lte Rar. This sU$/ltmion was effect;.... o.cember I. 1991. Oster was prMously swpmded March IS. 1989 for fiiling to med hiJ continuing legal (du . ClItion ntquiremtnts . Oster quit hiJ practice and left Birminglwn in "ebrwory 1989. In doi"ll JO, he left unfini,hed I.gal work which ruulted in forl11l1 chargu being filed against him.

One comp1"inl invol""d collecting

51.32723 for" client and not forward· ing the tollecto d fund. to his dient. Oster has ~inct made r~itution to this client Another compbint ilfl'Ohotd Kttpti"ll a $3SO retainer 10 ~pruent a di~nt in a contra,t disput~. Oste r doparltd Ih' SUtt prior to completing his repra.enulion of the dient. Oster', former Ill... ~r. ~t a \at~r time, oIbin«I, judg• mtnt for the ditnt. Another compbint involved OKcepti"ll II s.450 fff 10 obuin ilI1 uncontHled divorce. Oiln pnpar~d the Il«tUlry papen but newr f1Ied them . The final complaint invol.... d collect · ing a sum of S71J for II client and not for....uding the coI1tcted iImOUnt to his climt The dim! filed a claim for S7I3 with th~ Cli~nt Secu rity Fund which ...... approYed and paid. Oster IUbmitttd II conditiOOII ,uilty plu to the aIxM charges 00 the condi. tion thllt he reai~ a $ix·month $Wpen· sion and make mtitulion of $45(lto one diml lind S713 to the Clitnl SmJrity "und. Tht Ois.cipli .... ry Commiuion accepted this pltll. {ASB Nos. 88·426. 89·186.89405. and 91-132) •

NOTICE IUDICIAL AWARD OF MERIT NOMINATIONS DUE Tho: eo.rd 01 Commi ........... of lhe ",I.bo"", SIoI. 6., w ill ,,"',.."" nom"""o<:>M lor lhe "~Ie bo(. Jud ici.1 ",w.,,1 of /1,""01 .hroogh ~y 15 . Nom i"",ion. 5hou1d be pre. p.lred.nd ""'ile<! 1<> R ~1d T. H....... " St<;.. I ~ry, .......d of .., Commi,,', ..... ~ SUI. "', P.O , 110 • • 7 1. AJ..bom,o l 1>1 01. The ludoc ...1 " ...·.rd 01 Merl' W", ntobIlshed in 1937, .nd !he fi~ s..-n." U.S. O,,,,1Cl Juds<' ~m H. Lynn<" .nd N:1 1r«! Circ~il Judge ).1 ...... O. ~t.ley. The .""Md I. nol _ ... ,.,ily an annu.1 ,w.,d. It may he p,_nted to. judge .... """'"" ... '" or Jode-.I lli.1 or appcll.,e, who i, rle1em'Ilned 10 ....... conulbulod >ignirnl'l1ly ~ !he odmi"'st/~ion of j""oce in """"'"'" no. (K1\>ifItl is ~ ""Ito • Crylotal bNring !he ~ bo, _I and !he l"'f of ~"on I'..omlfl,1to<:>M ." C<ln>i~ by • thrt'e-member commill'!e .lW<>inted by rhe prt$;. dent 01 rhe 11.'" Nf whICh m.lke< a (K~tlon to rhe bo:Ird of comrmssi<>nl'rs '" ilh rtSf><'Ct 10' nom;_ or ...-ho>!her rhe _ord should he ~ In .ny """" ~., Nor.un.IIOm should ",dude. det.olle<l boogr",*,ocol P<Ofi~ of !he nomi""".nd ~ n.".-.n"" "",linll'8 !he $Ign;rlC~nt cootribul ...... 'llhe nom,,,,,,, has mode to !he ad"',n;"

MorI"""... ,."

fI!C..,..,... _

COO".

go"'"

U,tlon 01 i""IC~. No."'''''tionl m.ly be $l>PIJOI'Il'd with Ietton of~.

March 1992 1 III

OPINIONS OF THE GENERAL COUNSEL

. ' ' -. m

By ROBERT W NORRIS, general counsel I

~h Ih(

and/or usim.nl dist ric'

district attorney

attorney disqwolififtl from

pfOKcutioo 0/ 1O Cut in which: (I) The alleged victim (and main prosecuting witntsSj 01 a crime is ilsa bting prosecut~d by the dimict attorney's offIce as /I dd~nt in ilnOthtr. un"'" Laird "",lte.?

(2) 1M al~ victim (.md IN;n prowcuti", witntN) of lO eri....., is oho btine prOHCultd by tht district ittO.My'S offi« » I cltftndUII in I ditfumt. but

rela.ttd. "",tier? (3) The alleged victim (Uld "",in prose-

cuting ",ilnns) 01 a crime is also bting prosecuted by Iht dislrict ~ttorney'5 office u a ddendant fw In offense which ariKJ oul oItht same incident in which the ptriOllls iI victim?

II al ~~:

County District Attorney's oKlCC I'requmt-

Iy encoun ters CUts in

which we ITt uhd to proseeut. a IkftndM!t on _ c,," whi .. havina to consult with lhe drimdant on another tiS( in which the deftrmnl is ~ pur_ porttd victim 01 a crime. The most frequ~nt situation involws domestic disputes, nighlclub assaull CaleS. and Ihe like. In which Ihere are cross·varlants rA' gets warrant agalnsl ' 0 ' ,,'ho, In lurn. gets warrant againsl ·A·,. We have encounlered cUts In ...·hich lhe two charges ire consoIidaltd by lhe Irl.ll court MOd our offi« has ~ _ittlnt diltrict ailorTIt)' on taCh sl""

oftMcase. In ;uJO\her case. our offICe is prostcuIIIIII'A' lor ~ult I (ihootillll a JTWI in lhe back) and we are ~11III...ud II) pfOS«ute police officer '0' for ;w.ault III ba$td on 'S't' fore. u.td In arnsling 'A' on an u resl Wolrranl. Rules 1.7, 1.9 and ~.2 (among others) Df tht Ru lu of Prolusional Conduci merit special focus. Bur in mind Ihal t32 1M.>rch 1992

whlk proseculDn IKhnic.illly rtprtstnt Ihe SllIle I)f Aillbama (not victims), practically $peiklng. tht but way to reprutnt Iht Sialt of Alabama is by represenling victlrru.

"ow." In tht slluallon descri~d

'K."Ion,

In questions one. two and IhT«. ntilhu the di.<\rict altolTlC)' nor the _'$lant diJtrict attornlyI in hil oIf'la' au disqualified, with · out a "-'inll of some substantial ru· son rdattd to the p~r administra· tion 01 criminal jwIia.

In Format Opinion 342, the American Bar Associ.l· lion Commlttet on Ethics and Profwional Responsibility Indicat· ed it did nol intend for the imput~d dis· quaJifi.-tion rule 10 encompass lIovtmmenl offices MOd tlplail'ltd the ralionate for distillllulshlnil bdwttn those oIf'IC.. and I P1Mtt law finn.» fotlowt: · Whtn tht disciptinary rules of Canons 4 and $ mandate the disq<allfi· c.lIlion of, eowmmtnt lawytr ...i1o has comt from 111Mtt practice, his I/O''tmmen~1 d~rtmenl or divi$ion cannot practi"bty be nndered in"pable 0( handlin, tven tht specific mlltt." Ctearly. if DR 5-10$(0) We rt so Cl)n· strutd, the ,overnment's ability 10 function would be unreasonably imp.lired. Necessity dlct~tn Ihat government action not be hamper~ d by such. construction of DR 5-105(0). The relalions!>i", among Iawyen; within al/OWmment agency au differenl from !host llTIOIllI putl'ltrs and wociales of II IlIw fi ..". The nlaritd g()\.~rnmenl emptO)'ft don not ....," Ike finuKI,1 inttmt in the RICCUS of dtpirtmmtal upuKntation t ....t is inhtrent in pri. ..ate practice. TIll. impor\llnt differenu in the ~rs.uy posture 01 tht I/O"trn· ment Iawytr il T«Ogniud by ~ 7: the duty of t he public proltcutor to sttk justice. not merely 10 conviCI. and tht duty of all governmenl lawyen 10 I«k just usults rather than the result

d..irtd by I dien\. The ch.inl'ltllng of ldvocacy toward l Just rnull I I opposed II) vindiclItion of a partieul ... cI .. im klKl\$lhe temptltion to circum· venl lhe diKiplina!), rul .. Ihrough the aclion of auoci~tts. Accordingty, we construe DR 5·105(0) to be inappllca· bit 10 othu govemmtnllawytrs iIISOCiattd with a parlicullr 'O~trnmtnt lawyer who is himself disqualified by ruson 0( DR 4-101. DR 5-105, DR 9101(8). or simillr diKiptinary ruin. Aithoujljl vicarious disQualifICation of II ,lIY'tmment department Is not n«usary I)r wilt, Ihe individuat t.. wyer shoutd ~ KT«ntd from U\y dirttl or indirect plrticlpilion in lhe matter. and discussion with his cDlIUf\ut5 concern· in, tht ,dtvant tl1.n ... ction or sel of tanuctionl ;$ prohibited by Ihost rules." 62 A.RAJ. 517. 522 (1976). This limitation is carritd fOfWard in 1M ABA Modtl Rules lind the Alabama Ruin of ProfUlional Conduct which became d feclive JanUll!)' I. 1991. in Ihllt prostcutors' offices lITt Ibsen l from the definition of II law finn In the Comment to the imputed disqualifICation rult. Ruk 1,10. Similarly, Ruk 1.11 pennits i iaw)'tr 10 mcM: from prMle practice 10 goy. emmenl tmplo'fment» long as he or she Iiotl not plrticipate in a matter In which the lawyer particip.lItd ptrsonat. Iy and IUbltintiiltly whitt in prival. pract ice. Tht comment to this rule includes provisions for screening and specifically doe. nOI disqualify other lawytrs in lhe agency .... Ith .... hlch tht lawyer In Question has ~come iIISOCiilttd. It is.1so in ",cord wilh the vWw of a majority 01 jurisdictions that lin enllre prOMculor'S oIf'Kt should not ~ di.· QUlItifitd "bKnt i showin, I)f ;octual prejudice. Clo..wl ... Stole, 474 So.2d 1189. JI91 IFla. 1983); S/olt v. FillpolTkk. 464 So.2d 118$. 1187 (Fta, 19M). In Peoplll~, Lopel. a Califo r ni. apputs coort tmphasized that caulion be utrciHd whtn the issut is whether an entirt proltcuto" al office rather

Til E ""-'llAMA lAWYER

th1n a I,ngle pro • .cutw Ihould be

"""'"

"Clution is I'I«lWolIry btaUK when the entire proucutorial office of the dist rict It torney is reculed and the Attorn'l' General is required to unUtr. take the PfOHcuti on Or .mploy a ,pe' ti.1 prosecutor. the district attorney II p~nted from cal1)'ing out the Itltutory dull" of hi. elected office Ind. perhapi fWn more lignifinn!ly. the rnidtnts of the county a", dtpriwd 01 the Hl"Yic:t:I 01 thei r ",ected rep«Hnlll· tM ,n the prosecution of cr,me in the county . The Attorney Cene,,1 ii, of cou rle, an elected .tat. official. but unllk. the dinrict IUorney, il nOI ICcountabte at the ballot bo~ exclllS;'."· ly to tM electorate of the cwnty. Mani. futly. therdore, the entire prosecutori11 olf"e 01 the district auorTlt)' should not be rtCUStd in the absmcc 01 JOf!lt lubslM>tiJ.1 re'lSOfl rebttd to the proprr administ ration of criminal jllllice." ~Ptoplt IX rtl. Young" It. Superior Courl (1978) 86 Cal.App.3d 180, 2G4, tSO Cal.RllIr. 156). Th. court also pointed out thlt the mne IppU " nCt of imp rop rie ty i. inluffic ient to disq ualify an enti re offiet. PtopIt v. Lopez. 202 C;II. Rptr. 333, ISS ClI.App.3d 813 (I984J, W. Idopt tin lbon rllionalt and flvor, rilher thin dilQullifying In entire prosecutor's or public defe"lkr'1 oflke when one of ils members is con· fronted with a conflict. tuting for indl· viduII prejudice and the adoption of erfec t ive screening procedu res to SCrttn tl>t connicted member. This, in .ffed, " .... the relult in)ode. SOfI"- Slo/•• 502 So.2d 858 (Ab.Cr.App. 19861, whue the AI.b40m. Cou rt of Criminll Appub found tNt I dd.n!bnn prtviou. cou rt·aPPOinted allor' neY'1 subuquent employment as a PI'lIime w;iJlant district IUO'ney did not conslitute a conflict of interest. While the court did not ,pecifically address the question of imput~d dis· qualifiution or seruning, thty, in tffect. approw<! the ... principle, when they remanded the a... to dtt.rmint if I conflict Ktuilly uistfd. The court determined Lmt a conflict did not nist btause tilt attorTlt)' did not bring Iny record or fi te pertaining to the defen!bnt with him to the district JUorn'l"S offiet nor did Ilt cornult or discuss the THE A!.'.BAMA l.AWYER

def.ndant's CI$C: with the district attor· ney or any JUomtY who prosecuted or PlrticiPlttd in the de~n!bnt'5 trill. In the thrtt qlltStions poHd in your requm, it our view ttw.t the dutrict .ttomty and/or aS$ist~1 dislrict attor· ney are not per se disqualified from prosecuting a caH In which the alleged victim (the main pra...cuting witness) 011 crime is Iiso being prosttuted by the district IttOrTlt)", offiet '" a defen. dant in the ... me, rtbted or unrtLlttd INtter. The question to be answered is "toether there is JOf!lt subslllntial ru.. IOn for diJqUllification nlated to the prop.. adminislration of just ice and whether Ihe dilqualiflcltion may be cured by effective JCruning p'oce·

d"~

It is iPPIrent th.it efftcti". scrttning procedures could be mort osily imple· menttd in I brg,. comPirtmentaliud district attorney's offiet. Ilown-er, siu is not the lOit determ;Mr. Whit is k'l' ,s the effectivenes, of the screening procedures established. In liniled SlultS u. CaggiQ nQ. the court refused to disqualify an entire U.S. Attorney'S Office when I dden. dlnt 's formtr dtfenH counsel join.d the office, but lwon thlt he h~ nOi diJCU&Hd the t i l t with hi, new collugues (660 F.2d. 184 16th Ci r. 19811. etrt. denied 454 U.S, IIH. 102 S.Ct. 1015,71 LEd.2d 303119821l. P,ofelSOl' Wolfram, in hi, hornbook on legal ethics. injects a note of caution by observing thaI if the rule ;s appli ed ...... ithout regml to the ~rkability of scruning irTllngements, the appl'OICh probably .... Mly l$SumO$ thlt prosttu_ tors can liw.ays avoid the temlllitioo to auist new collugun with helpful inside informltion o r alwaYI avoid iOl<!wrtent ment;on of helpful lips." Wolfram, Modem IAgo/ Elhia, Wen Publishing Co. 1\9861 pg. 405-406. In RO ·90·91. the Oilciplinu), Com · mission held that I three·person prose· cuto r's ollice would b. d isqualified from pras«uting a city commissioner for using equipment and pcr$<m ...1 of the city in his private businw whi~ ••t the same t'me. prolfeul;ng Itveral wo rthlUI check offenlts where the commi .. ion .. wll the victim. The worthless check.! hid been tendered to the commi ... ionU'1 bulin .... and could h<.ve becom. an tvidentiary top ic at tho

commiuiontrs trill. We noted in R().. 90-91 thai in JOf!lt 'nsun.ca limllllll' _ repruenUotion miiht be d«med pcrmiuiblt bul reserved judgmrnt and limited the opinion strictly to the {"Is presented , With this opinion we adopt the view that diJqUllification of one LI~r in I proseculor', or public defender's office "'ill not be imputed to anotl>tr member 01 thlt office and upre... ly recognilt lhat the disqu:olified member IN}' be tft'tc1i".1y scr~ned from atmr iawytn ,n tM office. Extreme Ure mull be uercised to insure thlt the screening protedunl tmplOl"'d are elftcti".. In ~O ·85· 4 0, wt held that it was imprope r for the district allOrn'l' or an ahiltant district attorney in the dil' Irici Ittnrne}"s Glfiee to proucute a crlmlnll defendln t in circuit cou rl while tNt defendant iJ the victim and primary pl oltculing witnt" in In asllult prosecution in t he district court. To tl>t txtent tNt RO·8S·40 il in~onsillenl wi t h this opinion. it i, uprtssly r''''rsed. IRO·91 -44] •

P'OR OO>mNtJIMO uroAL. ~~

1992 CAMBRIDGE STUDIES PROGRAM

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~Llrch

1992 I 133

RECENT DECISIONS By DAVID B. BYRNE, JR. and WILBUR G. SILBERMAN

SUPREME COURT OF

ALABAMA

'OC9NP" ...,1....,.

enhanc-..t _ y be rIIlNd on direct _.,..., Madden u. Slalll, 25 ABR 6063 ,AUgU51 23. 1991). Midden pluded

guilty to and was convidfd d one count 01 boJrgWy, one count of riP" and two counts 01 sodomy, "II in the first dtgrft. AI the sentendnt heAring, tile State pre'tnled e~i dence of Ih.e. prior felony convictions in Georgi,- Maddtn

was KIl-

tenc,d under tht Hibitul l Pelony ~r Act 10 lift imprisonment with· out pilro1t.

Madden appulfd his smttn« to lilt tour! of criminal appuls and argued lha! he hIId be,n improperly sentenced u~r

the }hbjt~1 Felooy Offtndtr Act

Sptcifi",lIy. ht ",gutd that Iht trill tourt hid erroneously tnhlnted hi, sentelKe for having Ihr« prior felony

convictions. whtre two of lht convic_ tions a,OS( oot 0( tht $.0,"" trallS.lction. Midden ugutd thit thost IW(l prior ronviclioM Ulol,lkl h~ betn cOt\.l;d· Iud

u one [dOIly cQnviction lor purDawld S. S _. Jr. 0...:0 Ii a,.,., ......

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134 1/obrch 1992

1'00" of untenct enhJnnment in Al.Ihama. The c()Urt of ,riminal appeals. in an unpubli lhed mrmorJndum opinion. held thil ~'s cbim _ not pr0p.erly btfo~ tlw: court btau.. M.ld<kn should have JtlAcitrd tlw: validity of 1M prior conviction by pelitioning for pOSl· C()nviction nlief in CtOrgia, The court of crimil\ll JpptJIs relitd upon iU d«ilion in Joh~ IJ. 5101". 54l 5o.2d Ill2. lllS (A~.Crim.App. 1989), in holding that it could not revirw on diRet appell the validity of the prior felon~ convictions us.d for pul"JlOKl of eni'lanulflfflt. Tht Supreme Court of Alwma rewr$td but(] upon iu decision in f j IHlfU J.«hll. 548 5o.2d 1045 (A~. 1989), In tlw: Opinion authored by Justice Kennedy. the supreme court distinguished Johnson wilh tlw: following oo..Mltion:

Madden dou not argue t~t his prior felony convictions in ~ IU inw.lid. but that. (or purpoot!! of enhancement under the Habitual Felony Offend.. Act, tht two prior JOdomy convktioru should bt c:onsid.rtd:as ont ftlony con· viction undtr ~ ~. Thus. we hold, ~ on f j parte /.ndt. ttl. that the court of criminal appeJis is not precluded from re· vir",illll on direct appeal 1M ques. lion whrtlw:. lilt two prior MXIomy COnviCliorot, " 'hich arose from a lingk Innsaction, should bt 1XIn.idered OIl Ont felony convic-tion for purpos.ts of enhancemtnt of Maddtn's sentence under the Habitual Felony ( ) ( f t . Act.

How to pre _ _ Jnstrvo;:llonIIJ .~,

McOJlI v. Stale, Z6 Al.lR 110 (OI:too.r II, ]991) and hllwoll /I, SIOlt. 26 ABR 1HII00tobtr II. 1991). Tht Supremt Court of Abbima Ri&Kd it. decisions in McOJII .011 h/twag on Oc-t~r ]], 1991. F..ach of the9: c;un provides 01. d~ar in5ighl on how counKI must prtKrvt instructional ~rror for rtvirw on appeal.

Ju.tk~ Maddox', Opinion. in McOJlI and Pel/Wall focul on t he foll owing questions: II) Whm is. lrill court obligated to gr... an instruction on 01. Jc.Mr includtd offmK or an ~m\IItM citfmK? (b) Is defmse counsel obligated und.. Rule ZI.2 to me .. wril\~n jul)' instruclion in order 10 pr~Kr\'. irutructional error in a criminal case? Ie) Ii it .ppropriatt for the appelll.l~ court to sue the chugt conf..mc:e colloquy 10 d~lermin. if the instructioNl error had bten prts.t ..... d for appell at~

uview? Rule 2l.2. Alahama Rules of CrimiNI thit.:

Pnxtdu~. Stalu

No poorly !TIlly ~ign II

'>TO. the

court'•... giving of 0I.J1 trroneous, misleading. incomplete or Olher. wiK impf"Ol'tr oral charge, unless he objects thel'ttO btfo~ the jul)' ~tirtl to considtr its.-rnlic-t. Itil· i~ 1M matt~r to "-hich he obj«U and 1M Qrounds of his obi«tion. In both McOJlI and hlll1J(1l1. lhe Stale argued thil the lrutructional error had not been ~Ntd for apptlbtt revitw. Th. supreme court. _mnll through

Justa M.ddox.

~rstd

both QSQ,

In order to delermine whether 1M evj. d~nc. i. luffident 10 nrcusita!. an instruction and to allow 1M jul)' to con· sider the dtffnn or a I.sstr inc:lo.>ded oBmse. lilt CXIIItI must ...... the ttstim(lny m05t favoriblf 10 Ihe defendant. ~

u. Slatt, 361 So. 2d 1106. 1107

IAla. 1978). If lheu is Iht slightell evi· dence tmdil\llio prow a hostik acl which could reasorW.Iy be inttrprtttd lIS pIKin];] Pfll"'lIY it tilt lime of tlw: shoot;1III in ~rmt imminent dangrr to lilt or other grim:lu$ bodily harm. then the maU •• of s.tlf·ddens.t btcomts a question for Iht jul)'.

Likewise. 1M bw in Abbooma is dfar that if J ~t lib for • jul)' charge

a.--.

on 01. indudtd o/ftnK, lit is entitled to such a ch.u-g.: if theu is any ratioN] bIIis or reasonable theo!y that WO\lld $UPport 01. conviction on the lesser offense.

THE AI.ABAMA LAWYER

In McCtHt wprtI. the $I,IImITW court ruffirmed ils urlin decisions in Matkins D. Stall. 497 So.2d 201 (All. 1986) and CmmoI/!I v. Stale. 500 So2d 68 (Ala. 1986). In thou cases. the supreITW court Iltld tNt an oral rtqunt for I jury instruction Wil sufficient to prutrvt uror in I crimi",,1 CiII. In theu cue •. the supreme court oImrvtd tho following: The betttr practice. of course. ...."OlII~ bun for Irial cou~1 10 havt prt.<tnlrd tho: court with l ""';lttn instruction. bultllt I'fCOtd 5UII#StJ thlol lrill courotl pvt to Ihe trill court <opits of the Wolules upon whidl he ...."Mllrd tho Jury instructN. Although this pro. ce~urt is not a substitute for tilt presentation 01 a wrilltn instruc, tion. we suggest Ihll tht Irial judge could hlvt inmltd on COUll· Kt"S ""'"'ting him with i ""';ltm instroclion that delailed euclly wl\at lit .... iml. SO that tilt rtrord would be complete .... To hold that courlStl l1.uI 10 rtqL.lfSI a writ· ten instruction In or~tr to pre· HT\le hi. right to haw: Ihe jury instructed on an lffirmative deftnse would be 10 eltvate form ~r substanct.

ha""

"t-

Fourth .....ndI ... InfonNlnt's tip s net Ts rry stop Siale u. CurpenlIT . 25 A8R 6252 (August 30. 1991). Carpen t er WIS indicted lot" the o/ftl\5t of pouoWon of I conl rolled subsQ!>Cc. Prior to trial. Carpenter filed I motion to suppress evidenct confisaltd II the tiITW of his arrest: he argutd lhat the evidtnct l1.uI been Illegally stized by the arresting police officer. A! tho! hearing on the motion 10 sup. prtK. l Fairhope. Alabama poll« oIf~. lestiroed that he hid ~ I ttlrphlnt a.1I from an "informllnt" who Idvistd him tNt Carpmter would be driving up South Mobile A'~nue in Fairhope in his own automobile.lntllhat he would be in pOUtuion of. firrarm and controlled $ublllllCes. The offictl testified tlut. bdon: tilt arm!. he kntw Cirpmtt-r """ Ihit he kne-w tilt t)'p( car Carpenttr droYt. Ik furthrr t.. tifitd that tho: iden· tity Ii the inform.mt was k.--.n to him and that the informant was ..,Ii.bl~ and haiJ gi,,,n him information which ltd to

the lrrtlt andlor conviction of more thin 20 pmons. TIlt offIcer procetdtd to South Mobile Avenue where he obuT\led Carpenter luving a rnidentia' driveway in hi. automobile. H~ followtd ClT~nter for a brief ptriod and then $lOPPed MIlL Alttr asking Carpenter lor his driYoer'slictnst. tho: poll« offiar dil'Kttd Cupmter """ his pwmgtr to get out of tilt car """ sIlInd behind it. At that time. the offICer obstrvtd I pistol protruding from. zip. perfd carrying cuo. After discO\'tring the pistol. tho pall« oIflCtr starched the c.... He discovered whit he btlie~d ,,~.., ccntn:>lltd MIbstlnca. i .•.• ~ valium pill and OM mtthimplltlllmine. The trilll court granted tilt motion to ."... Th. Alob.ma Co~ r t of Cr imina t Appeals rtvtrstd the triil court's order suppressing tho! evidmce. TIlt supmnt court issued tho writ of cutiorari to dtttrmint whtthtr tho: m;ord "'pport· rd tho! o;ourt Ii criminal ijlptils' mon· $II of the trill court', order Ind to eumint the informant', lip in light of the Sup..,me Court of tilt United States' rtCent d.ci,ion in AJabum<1 v. While. In a fM·to-foor dtcision iuthored by Justice Kennedy. the Supreme Court TtvtTKd. iPplying the "totality of Ii>t circum,lancn tut" to determine if lher ......is r.....,.w,le SUS\"lIcion to justif» a T""" stOll of Carpenter, Unde r Adorns u. Wil/ioms. 407 U.S. 143. \47.92 S.CL 1921.32 LEd.2d 612 (1972). an informant', tip iN)I Cirry suf· tititnt "indicia of ..,liabiJity" to justify i Tm)" stop evtI1 thouah it may be insufti· elmt 10 support ~ arrt$l ()Ir starch ...."'WIt. Set also It'oikn v. C,'IV oIMobi/e. 508 So.2d 1209. 1211 ~At a.CTim. App. 1987). All that is mjuired for such ••top is that thort be a rea"onablt suspicion thlot the 110.-0 to be stopped is mg;!2td in JOiTit typo of crimillil idMty. Rtuonablt ,uspicion is I su.pition for which tho! oftmdtr is iblt to point to .pecir.c inarticulible facts which. tal<en together with rational inferentts from those fact •. reasonably wa .... nl the idion Wttn by tho: oIf~r. In Cmpmtn. JUilice Kennedy Cire· fully lnllynd the facts against the Suprunc Court of tho United Stat..' r«ent dtci.ion in A/aboma u. While. 110 S.C\. 2412 (19901. After com])/lring the r.cts sub judie. wi th the fact. in

A/obomQ IJ. IUrile. JUlti« Kmrordy mt·

icall)' noted: In this cast, Offiar Criff". testifotd lhal he recdwd I telephone CiI1 from I ' reliable' informant and thit he was told tlut Carpenter Wii driving on South Mobile SIred in his car lind that Ilt would hlvt I gun lind drop in the Clr. .....e hold. ba$td on Ihf 10lI1il)' of the cirt."IUnstaRctt. tlut lilt facts of thil cas. did nOi crute a rta· sonable suspicion to justif» stopping Carpmttr on the $Irtt1. It is dur that Offiter Criffit reli.d tolltly on tho fKl that Ii>t infor· mant in this cast Wil known to him 10 be re liable. Ab .... nt evi. d.ne< that t ht informan t had given the police r.liable informa· tion in the past. there are no Spt. cific o. plrl iculuiud racts on whIch Criffis could havt ba$td a rtuonab~ ....pici(ltl. The infor· mant Aid mt..,ty that Carpenter would be drMl\II up South Mobile St rut. He did not stal. on ..... hat h. based hi, knowl.dgt of t hat fOle!. Unlike Ii>t f;W:1J in AIobunlQ II. Whilt and those in Dale . this information (o!>Cun.td Carpen. It'-S prHtrit wllt..,lboulJ. infor· mation available 10 inyon.t who knew him and ....·is near that loca· tion. In AJ(1bunlQ II. WhilB and in [)ale u. Siale. Iltavy emplusis wis plOlCed on the Cxt that the infor·

I'Te--TrItJ CIpItIIIM""~Rt~ MrnCJl.TION PROC RJI.M F.., ...... ...."

O ffetlng to . ppo(n.", counH h - JI"Nn,,' ""~, ..I I,,t/O"

-.!k 1o~"ri"8 .ui.,.. " c¥

o,-...Ity pit...........' ipl.....

· ~tNfe .... -discovery " '~"U8i~' _lri..1 ' ''ppo rt

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Alabama Pri. on Project Funded by

AI.. " .. " ... L .. w Fo •..,datio n_ JOLTA Fund 410 S. Perry Slreet Montgomery, "I M I04 (2051264· 7416

March 1992 / 135

rnants were able to 5tat~ ..'here the defendants would be headed in the luture and th~t the police could independently corroborate the informant'5 tip. Moreover, in thou casu. the informants wore abl~ to say what t~ of controlled substance5 the defendant would be CIIrrying , In thi5 CUl', there was no ,pecific Or particularized evi· dence concerning the type of con · trolled 5ubstance that Carpenter was CIIrrying in hi. CIIr, flOr wa, there evidence. as in Dale. that Carpenter had been previously ,Ulpected of pom'~ing controlled ,ui>l;tance •. ... This Court is unwilling to say that a police ofr.cer. armed with the scant information from a known reliable inlormant that a per50n i. engaged in criminal activity. has a reasonable sU.>pi· cion to stOll the person sUSptctid of the illegal activity.

(Srptember 27. 1991). The lIo~r case should be read in its entirety by anyone who practices criminal law. It is an excellent review of the impact of Alaba· ma Rults of Criminal Procedure an the nece .. ity of pleading scienter in the indictment. The opinion authored by Justi~ Maddox 5ubstantially affects the precedential value of Cagden v. Siale. 262 Ala. 468. 80 So2d 501 (Ala. 1955). a leading case of the 5ufficiency of indictment. The crucial question raised in Ha~r is whether the indictment 5ufr.ciently appriud the defendant with reasonable certainty of the nature 01 the accusation made against him 50 that he might prepare his defenu and that he might be protected from a subsequent prosecution lor the ... me offen51'. Pootnote 2 nf the Maddox decision point. out the impact of the Alabama RulesafCriminal Procedure on Ca!Jden. supra, with th~ follOl'o'ing obuNation:

Ple.dlng .clente• • nd AI.b8 ..... Rule. of Crimln. 1 Procedure Harper v. Siole. 25 ABR 6522

A close reading of Gagden $I>ows that the (Ourt re""hed the conclusion that it did beClluse Alabama did not provide a procedure at

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that tirm. by a bill of particulars. to supplement 'a vague and indef· inite indictment 50 as to afford an accused due proce~ of law'. 262 Ala. at 474. 80 So.2d at 507. Tern· porary Ru le 15.2(e) (now Ru le 13.2(el. Ala ,R.Crim.P. ) provided this defendant. had h. requested it before joining inue on t he indictrmnt the right to ~ lor • mare definite statement of the charge. Had such a procedure been avail.ble in Cagden. it appears that the result reached there would have been different. Since Gagckn was decided. Alabama appellate court! ha,-e libualized criminal plead ings and provided a method for defendants to obtain a more defin ite staument of the charges. Temporary Rule 13.2. On appeal. Harper contended that the indictment was void because it did not contain ~n allogation that he had knowingly di.tributed cocaine. The indictment instud charged that he did "un lawfully 5ell. lurni5h, give away. manufacture, deliver Or distribute a

IS YOUR SECRETARY CERTIFIED? Y ou-ve made . t. rge i...... "•• n' '0 . ",fT your offices wi'h good. qu.tifLed people. Did yoo know ,b,,, the .. i• • ""nifico_

hOO ox.min.lion for 1.",t _", .. ri",7

Tt.. A).bom. A»ocia!ioo oC log.1s.a."'ri"(AALS)ofT... the Cenir!ed Prot'_iooat Logal s.a"",,, Earni "'~"" (. Pl.'i") for I."I...,..uri.. which ptcYi de ....."'" ,d me".",m.o' of "..,f• ...""li.m. k""""ledge .ncI.kill.

Tt.. k""",tedge

goined iD I""porinl for ,.. ex,mi""i"" im""" •• "".,...job . kills $(I du,i .. eon N penotmed more efficiendy with I....fT.,...

Le, AALS gin your employ..,. ...rong foun<b~"" for the .u<x<-ss oC YOO' rom. MLS wi ll N orr.ri0S • PLS Cnm Wortollop on P• ."."",,, I S. t\192 in Birmin"'.m, AI,bo.,. for who.~ in ..... "'" in uti.. 'hi. ex ... i .. ti"" .. .... 11 .. ror thooe who . .. i.lera,ed i. im"""i.. '..i.. kill •••• tept pror~io .. t.

,boo.

F or i.ror"",~"" """lacl: Rho,,,!> H, d.y. Cenifled PLS. O""".rd It. Arnold. llSO Fi",oo.1 Cen .. ,. 50S Nonh 20 Slnet. Binniogh.m. AI. 35203... t.phone (205) 324-66S4. AL\BAMAASSOClA nON Of LEGAL SECRETARIES

SIS

Affiliootd ";,1,, No""""I _ _ 0( Lop' Seaetahoo

136 I March 1992

THE AlMIAMA LAWYER

controlltd 5Ubstance, to-wit: COClIine, in vioIlIlion 01 i 13.\-12-211 01 the Cock of lJiJbamtJ." The court's OIlinion in lIarper makts clnr that most objections to criminal charges must be raised belou trial. The tlceplions are lor objections based upOn the ~k 01 wbjed ~\ler juris· diction MId b.iluu 10 chujf m oI1mse. 1"hose two obj«tions an be nised by lhe court or by motion oIlhe defendanl lit my ti,,", du, inglhe "pendency of the proUtding". "P~ndtncy of tht proc.~· ing obviously ,efers only to Ih. p.o· cttdings in Iht trilll court lind Ihis intuprd~tion 0I1ht Rule is conlisttnt with ftdmol C3K$ intfrprdi"llil simila, rule 01 criminal procedure." SH lfnilnJ SlaleSf'. Pupo, ~l f'.2d 1235 (4th Cir. 19S8). It is important to note lhat although the IUP,.rM court uphtld tht indicl· ment in Harper. il nprmly poinu OUI the following;

peltnl wilness.. awly only 10 /I case of seJUllllbuse or nploilltion 0111 child and not la II case 01 physic.al abust. 01 i Child. In its opinion, IhI: courl of criminal appeals suggested thllt Ih. legislatu •• should undullih the IImtndmtnt of Iht Il.Iolul. to provide uniformity on the ground Imt thcn is no lagial .taOQn ...... y a child victim should not be II rom· pet.nt ...ilness in i physical abust. case just ~ in a cast involving sexual abU5f or exploitalion. Juslic. Maddox, in a speci~1 concur· r.nce, gon furlher ~nd suggests thIIl lilt SUJI",nt Court 01 AI~twnI. could, ... ithout "'lIiling for Irji$\iHw aclion, adopt I rult 01 criminal pn:adu,e MId efftct lhe change. Mort specifically. Jus· tice Maddox suggested that Rule 19.2 of

the Alahi~ Rules 01 CrimiBil Procedure, ... hich duls ... illl "evidence lnd ... ilnesses" in crimiBiI ~s, could be amended 10 providt 1111.1 a child victim would be compelenl 10 leslify in casu of physicil abust II .... 11 as those involving cllargn of sexual ibuse or upIoil.lolion.

e . t. cm _""•• to non .... lnoriti ........... _ ot . t . ndlng /oIalhis u. Siale. 26 AlIR 399 INovembe. IS, 1991). The AlaNm~ Sup,eme Court gnnled certiomi to ~,w the iutle of whtlh.r Malhis. i whit. male ddtndant, tw sliU1di", under the printiplu 01 &1_ II. K~ludrJJ, 476 U.S. 79 (1986), 10 claim thai ~,oseculo,'. alleged use 0{ per.mplory cmllenges to

Tht court af IIppnll correctly htld in SlmJQr' tmt if /I slatute , .qui ••• Ihal Ihe offen!t be 'knowingly' oommiued, thtn tht indictment should ill.g. tmt it ... " so committ.d, lind if lin abjection to the indic tmenl ;s raised by th. I,;al court a , tM defendant during the pendency 01 the proc.eding, the indictment is d.lectivt and would be subject to dismissal, unltss othe ..... ise provided fo, in Rule \3.S{c)(21. Ullimalely, Ihe sup reme cou , 1 in IfDrper held thai ~ on the fo«go. ing. Wf m' clur to tilt oonclw.ion that the dtfendanr. comlilulional riShl '10 demand Ihe natu ,. and caus. of Ihe accusalion' (A.!. l. 16, Const. of Ala. 1901) tw bun tumlled in this~. The indictment is not void fo, failing 10 IIl1cjf IhlIl the offense wu commiutd 'knowingly' ". Ch ild wIt .... . In _ _ u.1 . bu _

e ••• _ dltf ...nt rul. !'riel v. Slale. 26 ABR 4~ (NOYfmbe. 15. 1991). The SuPUmt Court of AIabi~ ,t/used to revi .... lilt judJ!mtnl of the court of crimin1l1 appeals, tht,eby holding tllal lilt provisions 01 t15-253(c), Code of Alaba"'a (1975), ... hich .l.1.lt tllat a ·child viclim of sexwl abuse or sexUlI exploitation" shall be a com·

TlIt:ALABA.'\A LAWYER

MISSISSIPPI VALLEY TITLE

(';1

A MillMSola Tltm Com{Mny Much 1992/ 137

remove black juro" from th e trial venire violated his constitutional right. The court of criminal appeals was prophetic earlier in stating that the Balson principle might be broadened becaUK the Sup~me Court of the Unit· ed St.t... in Pou'us v. Ohio. _ U.S._ . III S.C!. 1364 (l990. did. in fact. broaden the class 01 defen. dants who could make a Batson claim wMn it held that. white defendant did have standing to raise a Balsrm issue. In Ex parle Bird. _ _ So.2d __ (Ala. 1991). the Supreme Court of Alabama adopted Powers. thereby deciding that a white def.ndant h., standing to raise a Batson challenge. In Mathis, the supreme court afflr· matively held that tM trial attorney had prese,..,ed the standing issue. thereby entitling him to the extemion of Batson brought .bout by f\Jwers v. Ohio. In 50 holding. the Supreme Court of Alabama relied upon the decision in Griffith v. Kenluclr~. 479 U.S. 314 (1987) holding that the effect of PooIers v. Ohio should be appli ed retroactively.

The court in Griffith staled. "We th.re · by hold that a new ,,11£ for the conduct of criminal prosecutions is to be awlied retroactively 10 all cases. state or federal. pending on di~d ~vi",,' or not yet final ...." Id. at 328.

BANKRUPTCY Supre me Co urt rules on ordinary c o u... 01 bu s ines s e xception o n "gular Inte ..s t pa yment s to lo ng·te "" l en~r Union Bonk v. I/erberl Wolas, trustl!(', U.S. Suprerm!: Colir! (J)ea,mber II. 19911. In an opinion delivered by Ju.tic e Stevens. th e United States Supreme Court held that regular inler· est payments on an eight· mooth revolving line of credit constituted an excep. tion to the power given under §547 prrfer",ce .tatute of the Bankruptcy Code. This case. in the lower courts . Wil$ kno...,." il$ ZZZZ &st Company. 1m:.

The Ninth Circu it Court of Appeals had decided that the ordinary course of business exception 10 .voidance of pref· erentialtransfers could not be used by long· tum creditors. The Sixth Circuit had held to the contrary in 1990. In the concluding substanlive paragraph. the Supreme Court stated that paJllmnts on long· term debt. as ...... 11 as pltymenls 00 short·term debt. qualified for the ordi· na,), COurK of business exception to the trustee'S power to avoid preferential transrers. H<lW'-'·... the Court furlhe r stated that it would not decide whelher the pltrticular tranlo/lction wa:; incurred in the ordinary course of the debtor's business and the bank's business. whether payments were made in ordinary course of business. or whether made according to ordinary busine.. lerms _ these Qu.. tions are ,till open for the lower court. Thus. tM Supreme Courr s holding is that ~n though tM long·term interest pIt~ments may constitute an exception. it is still a factual ques t ion to be determined by the ~~.

DefinItion of tKis lness tru s ts

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St.te b.r proceeding is e xce ption to .uto ..... tic s t ay; s . . B.nkruptcy Code §362(bIl41 Cern> and .kJgulie /. Wade. 22 B.C.D. (9th Cir .. N"""mber 8. 1991). The Ninth Circuit htld that a .tate bar proceeding was a regulato,), action und~r 362(b)(4) and. therefore. an exception to the automatic stay. In this «,.e. it was determined that the Arizona Bar. in taking such action. was

4" __ '2' __

(407) 833-0454

J03 Cuaronly Building . 120 SouthOtiveAVCI'UC ' West P.lm tkaCh, I'L 3J401

138 / March 1992

In rt Parade Really. 1m:. (Banler. D. Hawaii) November 7. 1991 22 B.C.D. 402; __ B.R. __ . This was. case involv ing a retirement pension trust. The Court held that there is nothing in the Code defining Or explaining the term "business trust" nor is there any legislative history to act as a guide. The banlcruptq judge determined that to qualify as • busine.. trust. the entity not only must be doing business but have some sign ificanl allribut.. of a corporation. The Courl .Iated that il must have ~n formed primarilf for a bUSiness purpose. and that to ha~ the attributes of a corporation. 1M.. should be \ramfer.tbility of inte~.t.

THE ALABAMA LAIIIYER

lin instrummWity of the Ariwna $Ute Suprtmt Court. This holdinQ was j... tifitd by ~lISOn of ~ ruk prOmulQ.l.ttd by the Arizona Supremt Court luthorizing the b,ar tn pr<wide fnr regulation and discipline of laW)'ets, In III probability, the Nmt holding would apply in AI~· ~.

Compen..tlOfl to a t t _ , . .rvlc a. ,..,.....d prior to aptlOlntment

Nailer oIl11lerro, Iltc., 22 a.C ,D. 411. 13. 1991. The bankruptq judse held Ihat the lIt10rney lor the cmiiton' commit\«, under the IpKW cir<:UITlSWlc... woukl be: allnwtd c0mpensation for servicn enttrtd into prior to IWrowl. The Court st.lItd that it ddermintd factually that it was nte· ewry for the ~ttorneys to i\Ct immedi. Ittl» upon the employmtnt but prior to lIppro-n.l ell the Court, for, otherwiu, tilt committtt ...-hich tilt attorneys repreKnttd WQllId not boo prottcltd. Fur· ther, the Court held that even though

the emiilon would ~tive only a small ptr«nUit of the lmOUnl of the estate. this ...·u no basis klr rtduc:inQ the ftt .. for to do SO wuld discourage acti~ pIIrliciplllion of the creditors' commit· t en, The judge .. dmitled thil the Ei."th CiKUit had Nid that ordinarily cnmptnnlion of servicu , endued prior 10 approval of employment is denied, but thaI lhe Court as .. matter of fundomental fairness ~y turdu il$ diJ(retion and all"", feu for service. performtd pre·approYal.

No~mbe r

. .... r. nc. a nd ..a c a Uon actmlnl. tra ti ... priority

lion occu ,s. If a trrmin.r.tion OCtUF$ afltr tht bankruptcy i, filed, it it In administrati~ cl~im, It~~r,

vaCIl·

lion pay tamed p,t-pttition i! govtrned by II] ]3{f) which p,ovidu that the col· lective barpining agreement Cool,ols. Thus, under such stdion vxation pay has fint priority, sllbittt hO\ftvtr to !hot Idminist,..,tiVl' prio,ity of a undu 1364(cI0) giving I lender I $uptr priority if the col11teral i$ not sum,ient tn P'IY th.l.nder in full. Addilion.r.lly, this caK htld that the,e is a difference belween Ihe union cl.im$ ind thllt of Ihe nonunion dairm. as !hot nonunion 'ooIIII'Ur is nol Ilndtr I col1tctn.'I:' barpini"ll rontract. Thu $, vltUion pay qualifin a! an adminislrative upenle only to tht utenl of strv;cu rendered post· peti· tion; for pre·petition urvice$, it i! I grnt,..,l UnKcurtd dll;m with only the amount tamed in !hot 9O-dlay p,e-petition period entitltd to I priority under t~7( .. H3) Ind subject to the $2.000 limiution. •

lend.,

pa,-

In '" Cddm Dislribulors, Ud~ ft ai,

22 B.C.D. 421 (Bank,.S.D.N."' .• NOIItm· ber ]5, ]99]). For anyone with iI prob· lem of ddermining .... hdher Klltrance I nd vlcltion p.ay have IIdministrati~ prio,ity. this i. a good CIIU to ,nd. Theu WfU both pu·ptlition lind post. petition ~e tarotrs, Tht Court held pay is ... -.lministratiVl' thaI priority as it is tamtd when ttrmin.r.·

_rmat

NOTICE To Members of the Bar and the Public Concerning Public Hea ring NQ(ice is nerPby gl""n ,h.t a public ne .. ing ",i\l be rondooed by Ch!.lludge ee..ld 8>rd T;oIIol. United St."" Caun 01 Appe.11, for ,he (t"""",,n (jrtui1. "" Tueomy. April 28. 1992.19 ' .m. in Coonroom 118 01 the Tultle Coon 01 Appeal, Building. 56 fOt>yth SIfffi, NW, A1t.n ... ~a for the 1lU'l'OM' 01 ree";vins wgsntl~. _ t o lind commE-n~ conc .. nlns t'" appI":at"", or ..morc..n .." 01 EIevtnth Circuit Rule oOb- Hd~1) and 01 SeeMn (d~21 01 ,... E""""'1t> C,rcu,i PI.n Uf>Iic-r ~ Cnml ....1 !W"'t Act (CW_ (These p<oVi""'" boume tIfecIi .... Aprlt I. 1991 afle< public """lCe.ond.n ~unlly 10 Nod btt<> gi.... In the f.1t 011990 or ""In~ 011990-9 I. ;os requor~ by 28 U.S.c. §2071(bl-) Eltvtnth Ciret'" Ru!. 46·1(dXII Ita",,: AppeUate Obilgati"", 01 R.",,,,ed Coonsel _ ~",. i .-.xl coon",,' for. cr im i""t defendanl ha •• n obIig.>l ion 10 conlin"" 10 rep<e-... nllhat de(.,r.d.1nl unlIt SllCCew;.- counsef Clther enter, an appear.nce or i, .ppoinled undC'f the C,lmi""t 1",,"'0 Act .• nd may no! .t>ondon or ce.se reprfltnldllon 01 • deIend.nt e>.<ept UpOn 0«Ie< '" the Caun. Section (diU) 01 tho: CitCw(s CIA PI.n .... ~ If a pony was "",,"""*'<l,n lho: di!.trict cOUll by c.........1appoinled untie< the Act. such eounwt wll bto m,ndful 01 the ob!i3o't"'" .nd rnp:rnoiboh,y 10 Con1lnut "",,""""tol"'" on un\lf e<the< SllCc""'" coon...r is .ppoonltd under tho: Act or coun...r " Itetolntd coun...r fOr. criml",,1 ~r.d.1nt M. an ob!ig,"'on to (ontJnue to ~t that ........ relrevtd by ordo< oI lh.. (aun d.nt unti l SlICe""'" caun ..1ellhe< ~n''''' on .""u,ance 00' i, appoini<'d unOO. lho: Ad, .nd n,.y """ .b.>ndon or (~a" """"""', •• ,iOl1 of. deteOO.nl e,c"f~ upon orde< 01 ,hi. cau't. Unt",•• pproved ,n odwnce by this ,oun, lhe d istr iCI cau!! i, no! .uthorized 10 .ppoint cou_t 011 'POI'.t to """esent a <lcIe<ld.nt who was """esenled In the dIstrict coun by re1 .. ntd coonset wilhoul first WIld""'ng an in revIew 01 the flnan",.1 (itCumSt>nc~ 01 the ~nl .nd of the 'ffangemen~ between the deftnd.,nt and u",1 coo",.l. Appoontmtnl 01 c<l<mltl on _~I m.oy bto"-ed ,n It>i. COUfl by r.h"3 an .ppmp"'le."..ron ~ whio<h ... botonu.-otlycompl'" w,lh form ~ in the ~, 10 the FRAP Itu,,",. Members oIlhe ......... t ba" ...·"hln the E"","",h CIf",," .nd cOO'o:: ..",ed (i".en> .'" In",1ed 10 atrend thIS ~ic ...."nl, I~ed r>e<Wn' may aho ",!>mil w..nen COfnmt-nl$ to I"" Cieri<. Iltvtnth Clreu,1 Court 01 Appe.I., 51> FOt>yth s,,~, Att.""" c.orsi>

«."" .....

_.J

""",ned

C.""".

I""

by." ."do.,.;,

JOWl.

Mifl'h 1992 / 139

Consultant's Comer 11Hl foIlOtcing is a MlMD 01 gmJ commer>/arv on on offla automation iswt /""1 has currml impOrlanu 10 the /I!{IIJ/ communi/g. PffPOrtti /)g the otfiCf! Qutomalk", comullanl /0 lhe slal~ /)or, Paul Bormlem . ..110 Ui fWS are no/ n«eWJril, IhOJlt of the Siale bar. This 241h in 00' "COI'lSIJl/onf's Comer" series. W, woold lik' /0 hOOT from /Iou, /J()lh in (TiliqUl! of the Qrlkt. u:rlllm and far su~liQ1U oIlopia for fulure Qrlicles.

(Tllil • • tide o,lginall, apfJUrrd;" Ih~ /'IoIch 1991 i>swol Tlw.u.H_ ".,..,....)

T_'-J!h_ cha.,.. Here ,omu Ih~ bill. Upw~rds of 30 aflu you have made a ditntchuguble long dist.vla Itll'phoM all, )'OUr bookIc«per dumps a shu( 0( call de tail slips on you r duk with l ilt mnindrr. ' We can', dow out billing for the month until the phorw cN.'lIa all' alloci \ed,- You lum your attention 10 lhe pilt of Ikl>il slips, beginning "Iabod~YI

rioul tas k of matching }'(lilT lirm slip

notations of long distance calls 10 an infuriating list of datu. a' U codts and tlCli4ongu. But thUI: i. mort _ ..... Nol from the liTpOrt. using you. ptrsonlll credit ani; lhe coIlK1 all )'OIl accqIIf<i It homt on II $atunby afttmoon; tht c:lItla on Mel (this is j ust the AT& T bill)? Do not

.oout lhe all you made

change c:lIrftrs; there an

1IlIt~tivt$.

III_It This c:lIn be ttmpting. After III . .... hy wule lin hou . (or mort) of • I~r's time ctwi", .....11 clw>etl ~ ruson iI ~ Ame ruson )'OIl ou,aht to cllaH twit r lind po$~ chllrgts: thtY c:lIn add up to 1I signiflUlll bottom·lint prof. II contribution. Our studits revtJl thit IlIw l'i rms incu r mOrt thin 5150 pt r la~r pe r month in phone cOJ!s that s hou ld be recovera ble Irom clitn ts. Ignori nS dou A vt the lawyer'S tim •• but it lilows mort t .... n twice the tOil to Ilip lIWlIy U misstd pro/it OppOrIuni.

Fold It Into _ !'lit•• This il 110m with SOrnt (Mrhtad fac· tors. I""h as the cost of word proctss· ins· On tha.tlmi~ )'OIl lhould raiK your rat ts abo ut SI p.. ho ur . clu rly in 140 1 March 1!192

imprxtic:lll notion. Fiw doILo.r. WOIJld be outragtOUl :and aUK you more grid than profit. ThlIt aide. clitnts ire not u accepting of r3lt incrtUts 0$ tMy onee wert. In fact. one Is hard·prelK<i to find i n;' clitnt who il not OOwnright resis· tant to . ate incrulti. On tht othu h.and. ttl<phon. chuges billed as in lIdjunct COd of IKainw .... tf3ditioml lIIld genmlly xctpUI)It to clients.. After lIli. they INlet phone c:lIlls (:and COpies and INiI ~bgu. ek.l.

Hlgh·tec h It The key to capturing phone charges with" minimum of effort is to record the enti re t . an$flction al the time it OCCurs. As you pia« II c:lIU to a client )'OIl oIMowIy know whom )'OIl art Co1IIing md on whIot malin. Whit)'Oll do not know is the long distince cllarg. )'OIlr Iona disWl« c:lIrritr is running up for you. Conversely. ~ t.lephono com· pan y knows t he charsu but not the dient's name or matler numbe r. Enter high tech. Some telrphon.e s.... itchu Im-e a ffllture Co1IIed SMDR (st.ation ~ distribution rtporli",l. Tm fu ture KCU· mubtts I record of who (which station) pLo.ctd II long distlnce all. and how INny minutn ~ c:lIli ~td. This list· ing begins to,.,t tOCtthtr tilt two pi«ts of the equation. With" bit 01 creativity. one can enter clitnUmatte . numbe r through I phone instrument prior to dialing the number. Tm S.'IDR !«<lTd products /I monthly list for mllnual entry into tht billing system. Tllkin, tht process I step further. SOffit: vortdors of Itgal·s~cific billing progrvns offtr (lor II pm) wmr inter· face soI'twart that dyrwniCo1lty Captures S.'I DR informlltion lind lIutomatically updates a client's billi ng rtcord . Thil il a t~hnique only for medium and large

fi rms. It ",quires II digitlll telephone $Witch. SMDR. II computer.~ billing s)'Stem Ind I grut dul of disd~ line. ~ ~isci~line involves having to dial in client and matter number 0$11 condition of acc ..si ng t he long distance lin •. NHdless to!ll]l. some lawyers find that II bit much.

Low-tech It If you Ire not II luge firm. nor inter· tlted in aCQuiring a digital telephone $Witch Or II special comllUter. tlltrt is II pe rfectly sound procedure you can adopt. and it d",, ~ not cost IInything. Assign a fiud cost to long distanct toltpOOnt c:lIlIs. and automatically trigger the toll charge as)'Oll {habltuallyl fill out your professionalti ..... A $Iandard cost is simply lin IIvtragt that is usily computtd by diYlding tOl1L1 long dis· tinCt charges by tht number of calls mllde. If you art I typiclll firm. you r avtuge cOst will be in the SI.50 to $2.50 rang' and wil l no! be In unfai r burden lor II dient involvtd with" brief convtrsalion. If you do not habitually chargt for time spent on phone calls. thert iii quick c:lIlcuLation thai Jhould instantly disabuse you of thllt PDctiu. fl ow much In income is lost from igoon", 15 minutn per dq (at S80 ptr hour)? Would you believe $5.000 pe. ~lIr?

The sin gle profeJlionai time charge

you (nowl habitually generate IlUrsuant to II clitnt phone conwrsation btcomts two transxtiom. one 10. your time /IfId 0IlI! lor II standird Iona ~ charge. It does btamt nrassary to dUtinguish bet .... een thtH dUll trllnSilctionl lind thost whert tht dimt ails YOU. or from 1(1<;/11 calb. Considu /I IrilUler such IS

"STD LDTC- on your time slip. Vou I'Ilve locked in billable ionS distanct c.... rgn to your professional timekeeping. _ lllEAl.ABAMA LAWVER

Request for Consulting Services Office Automation Consulting Program SCH£ OUL£ OF FEES, T£IlMS AND COmlmONS

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Title Numbf:r "~'YffS_ PlOnlega.ls_ M'C.daries__ _ __ Offoen in ottKrcilits? _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ lTS PRACTICE

Ptxtic. Arr;u (") ~ritil1'ol'

Ullgation Rul Est.'It.

CoIl«tions

"'"

"""'"

I::st.'itt Pbnning

IIuIking

Numbtr of matton prtfently Optll-::===== _

Number of eli.1l1s ~r>dltd annually Number of mailers handltd wnually

How often do you bill?

t:QUJ PMEN'r

:":"":'===========================

Oill processing fqIIipmmt (if any)

y T elephone tqu;plTIfn\_ COIlyeQuipmtnt (if an",-============================== PROC lWl OP Needs AnilI)'sis_ __ " of tll'lJ)hasis desired Admin. Audit (1j Wtf. _ _ _ _ _ _ __

Oiclilion tquipment (if 11llI) Word procE»ing <'quipmml

Prdumlli.....

{II ""IE _ _ _ _ _ _ _ __

M 3ilthi, for KlVict to theBoont. AlabaJt1l Stlote liarwistklr lscheduling. tothe!"«IueSl attention of M argaret ont.Alabama Statt liar. P.O. BoJ: 671. M ontgomtry. Alabama 36101.

Stnd

fJltcutj~

~rch

1992 / 141

MAJOR LEGISLATION OF INTEREST TO LAWYERS 102nd CONGRESS- First Session (Jan. 3, 199 1 - Nov. 27, 199 1) Repu/)/ished bv permission of the American Bar Association (Vol. 28, /10. 1 A ~.i>tiv< AN/y>i. Strvi<e )""""1' 1 . 1m 01 Ill< Goo<n\nIttIl.ol AtW .. 0I'Iiu1 Admjni5trat;'~ Law ' _h •••• _................................ .142 Antitrwt Law............ ...... ,................. 143 Attorneys ............................................................... 143 Civil RighulConstilutional Law .......................... 144

Courts/Judiciary .................................................... 145 Criminal JWlic(

,............

...................... 146

Elder Law ............................................................... 149 Election Law .......................................................... 149

Familylaw ................................................................ 150

International Law ..................................................... ]50 Legal Education .... ................... ..... 152 Legal Servim ............... ................ 153 Milital'}' Law... ... .............. ............... 153 Patent, Trademark & Copyright Law ....................... 153 Real Prop..ty, Probate & Trust Law ........................]54 Tax Law ......................................................................154 Tort and Insurance law ...........................................155

- ABA testified or submitted statement or tdter to Congr.1oS t 1991 ABA tegistatiw priority

Note: The term "enacted" generally refer. to the date the president signed th. bill into law °lllCludes-legislatiw issues on which the ABA House of Iklegates or Board of Governors hilS approw<.! i\5WCiation I'OHC)'

........

ABA Po. ttion

ADMINISTRATIVE LAW ·,u...lnlllnot]Yt

P.L. ]()2-141 (H.R. 26221. fiscal year 1992 appropriations legislation enacted 10128.19]. indudes S2.221 million for ACUS. S. 1642 and H.R. 3379 would authoriu ACUS to provide ilSsistance in respon.5\' to requests relating to the improwmenl of administratiw procedures in fore ign countries. A Senale judiciary subcommittee held a hearing on S. 1642. The House passed H.R. 3379.

Supports <likquate

Ad ... lnl. tnoU"" La", Jnol,u Corp.

S. 826 and H.R. 3910 would establish a centralized corps of federal AU •. There was no action on the measureS.

SuppOrts.

· Govem .... nt Elhlu Rul ••

Section 2635.806 of the proposed "Standards for Ethical Conduct for Employttl of the Eurutive Branch" would severely restrict federal employe.. from participating in the intemal or business affairs of professional membership as· sociations. A House Post Office and Civil Service subcommittee held a hearing on the proposed rule. and the rule is being redrafted by the Office of Govemrmnt Ethics.

U.lch Act

S. 914 and H.R. 20 would amend the Hatch A<:t to allow rederalemploytts to participate in certain political activiti •• as private citizens. There w.. no action on the me.. ures.

Confe",n~e

of the

U. S. (Aeus)

ACUS ftmdingand the pending legislation.

()ppos<!s role as

"""",,,.

{)pws<!s Hatch Act changes in the absence af full and careful studll of the palent;al

impact. 142 I March 1992

THEALABAMA LAWYER

"'joe'

DoIscripUon

~ h....III... llon Emplo)'tr Sanction.

St.tus

S. 1734 .. nd H.R. 3366would npfal tmployo:r lIOnctionJ provisions In the Immigration Reform and Control Act 0( 1986 in light 0( General A<xoontinll Offiu finding. W I tilt WlCtionl rtwlt in diKrimi ...tion. Theft was no Idion on the

s. WZ6. S. 2091;and H.R. 3844 would USUrt the prOtection

0••••,...1.1011 _ Haiti... RdullK.

of Hail ilru in lilt Unitt<! Sutu o. in U.S. custody pmding rt'5omption of democratic role in Haili. A Hou~ Judiciary subcommiUtt held a he". ing on lilt current U.S. handling of Haiti.lnl fluinQ Hiili. Theft was no action on lilt Senatt

SupptNtJ apprrIJ"iale due proctSJ Wr all

mruge<!S and supports I~ kgis/oliotl.

",...surts. 1• •1&..tioa Act

) 990 ""'tllll.,..u

I • •'.ntloa

aaol

Nllunllutlonlon Service !lNSI

"",..,"I,lonl

N.U...... EII'--elll rMtht Arb

P.L 102·232 IH.R. 3049), tnKttd 12/12191. pnwidu ltd!n;cal oorr«tionl to .. numbtr 01 provil ioru in tho [mmlgnlion Act of 1990 and incorpOrattii "ddilional immigration·ft· lated provisions. includ ing clarifyin& judicial natural; ~tion functions, brwllening i>dmi$.lions lor fortign tntt rUinus and athlolU, and lifting rcstrictiw and burdonsomo proctdum rogarding ttmpomy worktrs. P.L 102-140 tH.R. Z6(8), fISQ1 )'tar 1992 appropriations ~gisllltioo t NICted 11l/"lMI1, includt1; $938..241 million lor th.1 NS.

H.R. 2686. flJal}IUT 1992 appropNtions ifgisiootion ill passed by lhot StNtt. would IYvt prohibikd thor NEA lrom fundinQ corbin typu ohrt. Tho NEA mtrictions wtft dropptd in cooltftllCe and wtft not included in P.L. 102· 15<4. the final wrslon of !l.R. 2686 tnxltd 1lfl3J'Jl .

Supponl «rIain ;mprOOmIerIlJ in lhe 1990

law.

Supwrtl~

funding for ;mmigration mformnent. legolizolkm and anli· discrimin</Ikm ,lkPts. ()pposa rr:slridionl on {l.1:A gr<ml ctJfltmJ

ANTITRUST LAW ' ''trtkal PrIce 'W",

S. 429 and H.R. IH1lwou\d lmond the Sht rman Act to tstablish new rvidtntiary sb n(ioords applicable in civil U$ts invol>'ing resilt prkf mainttnance roI\spi racyclaims. The Stnat. pused S. 429. The ~ pUStd !l.R. 1470.

ATTORNEYS ' eMI RiChl. Allomcya' fee

Aw.nt. U.itl,I..IU on Atto~,.·

Fee.

TIlE ALI-BAlM u\WYER

P.L 102·166 (S . 1745) . enacted 11121191. allows lIWards 10 pre.ailinQ p.1Irtin under Ti tl. 'Ill oIthe Ci>'il RighlJ Act 01 1964 ind 42 U.S.C. S«tion 1981 to includ< rea..onablt expert fen lor tatimonw and norHutimonw strvicts.

Sup(JQrts.

S. 133 would limil attorneys' feu under various st."Ilulu lhal prrmit Ins 10 be l wardl:d 10 p.1Irtin p~i1ing 19loitut the gowmmtnt. Th.rt .....as no Ktion on S. 133. lhtrt was no comparable Hou$t m. "" urt. Mu c h 1992 / 143

SubjKt

ABA Position

CML RIGHTS/CONSTITUTIONAL LAW 1l.R. 2699. fiSC/I1 year 1992 appropriaHons legislat ion u passed by the Iloose and Senate. would have all"".. d the District 0/ Columbia t(} use locally rai~ r""erlUe. to pay f(}r abortion.. The president vetoed H.R. 2699. H.R. 3291 (P.L 102·1 11). enactt\ll0l1i91 as the fiSC/I1 ~ar 1992 approt'ria. tions legislati(}n f(}r the District of C(}lumbia. continues t(} restrict use of Dublic funds for abortions to cases where the life of the mother is endangered.

SuppOrts legislalion al 1M federal and slale lewis ta finanu COrJ· sliluliQl'!(1I1!1 permilled

ai>Qrlion sen'ices ror indigenl women.

P.L. 102·166 (S. 1145). enacted 11t.W91. rewrsu or modifies several recent Supreme Court decisions that restricted the rights of women and minorities to sue f(}r discrimination in the w<lrkplace.

Supports in principle.

Early House drafts of omnibus b<onking legislation would ha,.. limitt\l the enforcement and narrowed the application of the CIIA which seeks to /WOid discrimination and stabi. lize housing and bwinusu in low· and moderate·income communitie •. The H<luse Banking CommiUee dropped the language and it was not included in S. 543. the final ' .. rsion of omnibus banking legislation passe<l by the House and Senate and sent to the president.

Opposes Q'IlV na~ ing of Ihe applicotion oflheCRA.

Conatltutional Convcntion

S. 214 would establish procedures for convening a constitu· tional cruwention. There was no action on S. 214. There was no oomparable House rma.\ure.

Supports procedur.!$ legislalion in principle bul opposes certain pro.:isions; hos 00 view an whelher a con· t'f!fllion should be ron· vened on any specific issue.

Dlsen ... lnatlon_ Sesual OrIentation

S. 574 and H.R. 1430 would prohibit discrimination in employment. howing, public accommodatiOll$ and federally assisted programs (}n the basis of affectional or .ex",,1 orien· tat ion. There was noaction on the measures.

Supporls federal. slote and local anti· discrimination legisla· lion in this areo.

- Family Plannin, CounH Ii...:

H.R. 2707. fiSC/I1year 1992 appropriatiOns legislation as passed by the House and Senate. would have prohibited the Depar1ment of Health and Human Services from spending money to enforce regulatiOll$ for Title X 0/ the Public Health Se",ice~ Act that prownt feder;llly·funded family planning clinie> from providing counseling concerning the use of abortion as a method of family planning or providing referral for abortion asa method offamily planning. S. 323 and H.R. 3090 would ensure that women receiving assistance under Title X are provided with all information and counseling reganling their pregnancies. The president .... toed ItR. 2707: the Hwse sustained the veto. The Senate passed S. 323. The House Energy and Commerce Committee appr01itd H.R.

SuppOTtslegislalion to fTlSa'" Ihal all mle X patimls r«eive IKClISS 10 complele informa. tim> regarding Iheir heollh 01n1 options.

t- CIvII Rlllhh Act of

"" · Co ....."mll,Y ReI .." u tm.nt Act (CRA)

30" 144 { March 1992

THE AJABA.'1A

~I'IYER

........

A.A Po$lttorl

COURTS/JUDICIARY S. n would diwst the ~ral courts ofjurisdidion in cues eonctming voluntl.ryschool pra~r. Bible reading or religious medings In public schools or public build ings. Tlltr. was no lCtion on the melSUre, Tht.. wu no rom· II'-~k HOOK mr.uur•. No kgWJ.tion "'" inll'(ld1J(td to nWcf chingu in the diwrlily juri!idiction JySItm.

·"4. . . . CoarU

51 ...., Co• •III", (Ft:SC)

Gn:tosa oboIUlting f)T CTlrlailing dilJl!TSillI jurisdiclirm.

5. IS&.! would impkmtnt n"lTItrollS rw:>rnmrndations from the: 1989 report oIlhe tNt .... A: not indudal in the

rcsc

morm

JudieiallmprtMmmtJ Act 0( 1990. omnibuswurt I.,iilation tn.1Cttd 1211190. A 5(natt Judiciary , .. beammi!. In htld hearingsoo S. 1569. ThUl: was no comparable

Itoust measure. Stt "bold t ntritt. · ",lnd",.. I! hn.1

U .. oIlcI.1 C._,",QIlIIo.

S. 1569 would aulhoriu" f-'YUT pilot projert to moM

inlucirruil cmfIiru \hrougl> Supumr Court rt~mllo n~t· ing courts ol"ppuls. ASenate Judicia'l' iubcommitt« held hearings on S. 1569. ThUf .....as no comparable HOliK mu.our •.

irrl~rroil

Fodera! judges roaivnl on ZlII1911hc lirwol 5b# oh ~ incruw ~ mKltd in 1989 by P.lIOI.l94. which indudtd a 25 pert"'! noise and a 3.6 per«nt 1991 CO$l 0( livingadjustmtnt (COlA). Judges previously roaived u part of the package COlA adjuslm.ntJ for 1989 and 1m tou.ling 7.9 ~rc,nt.

crealioo 01 rm pond.

Supporisjudicial

S. 653 .m d H.R. 671 would CMrtum tho Supmno Court dKision in Pvlliorn v. AIlm, 466 U.s. 522 (19M). by eliminating ctmin Qrounds for injunctive r.lief and attorneys' ftt awards against judges. II,R. 3206 would prohibit onlyoosts. including attomrys' feu. from btinQ awarded ~inst judQU. The Smat. Judi<:~ry CommittH approvtd S. 653. A IIouJf Jl.Jdi<:iI,ry sub<:ommitl« hold a hurinQon II.R. 671 and H.R. J2Q6. °Judlctallmpacl Stattlllt ....

S. 1569 would re{juire that each commlnee of Congress

Suppom inclusion 01

include I judic~1 im~t slatemtntwith any reported bill or ruoIution th.at may IifKlihe courU. ASmate Judi'~ry lubcommiltH hold I huringon S. 1569. Thm: _ no comparable House mt.l5ure.

judiciol impacl Slalllmmls for balh kderaI and 5Jal.ltgis/Qtion.

Per......lory

No leQ;slation was in troduced to permit the peremptory challenge of a federal district judge. magistrate or bankruptcy

Supparrs pertmplOl'J/ challenge 01judgn..

CIuoIl ....,.. .. Juqu

j~.

t o•• dr..!"" l ..nu.. ftu4 .... Co ......,t Ot,Ianll.Uona Ad (RICO) Tm: ALAJIA.'tA L.l.WYER

!I.R. 1717 would limit (MI actions undtr RICO. The 11_ Judiciary Comminttlppl'OWd H.R. 1717. Therewu no comparable Senate mtUun.

Suvt-ts cmqirr civil

RICO IimilqliQm.

Subjeo;:t SuppOrt5 amending the "Rule 0/8()" to permit judge$!Jetween Ihe llgeJ 0/60 gild 64 10 talre senior status if their age Imd!/fO"f of SIt,vice to/al 80.

"Rule or 80"

S. 1818 WQuld allow a fedtral judge who has reached the age of 70 with at lea.\t fi,'!: ~rs but less than 10 years of service to) .. tire in senior status at reduced pay, with a requirement of working a minimum of25 p"rcent of an active judge's nor· mal workload until 10 years of service is reached. The current "Rule of SO" allowsajudge to retire at fulll"'Y upon reaching age 70 after 10ye.rsof service or to retire in .enior status at age 65 if the jud~'s age and years of servict total SO. There was no action on the measure. There was no comparable House mea.\ure.

SKlIol Securlt,y Court

H.R. 2159 would establish an Article I Social Security Court to hear appeals of fonallxnefits decisions of the Social Securi\)' Administration. There was no action on the bill. There was no comparable Senate measure.

tStat. Ju. tln In. tltul. (SJI)

P.l. 102.140 IH.R. 26(8). fiscal ~r 1992 appropriations legislation enacted 10/28191, indudes S13.550 million for theSJI.

SuppOrts a Wfl/Mmded SH.

-Teal,",",.,. Ealerten.)' CoIort of Appeal, (TECA)

S. 1569 would abolish TECA md transfer Ihe court's existing caselo;od to the C<lurl of Appeal5 lor the rederal Circuit. A Senate Judiciary 5uboommiU« held hearings on S. 1569. There was no comparable House mea.\ure.

SuppOrts aooiililm 01

Voir Dirt

S. 862 and S. 865 WQuld create four·~r demonstration prograrru; in four federal distriC!5 under which attomeys would be given a limited right to conduct questioning of prospective jurors in criminal and civil cases, respectiv.ly. The Senale passed the bill •. There was nocomparable House measu ...

SUppOrts.

TeCA

CRIMINAL JUSTICE The conference reporl on H.R. 3371. omnibus anti·crime legislation, includes numerous provisions to combat "im., including expansion of tht federal death penalty to more than 50 crimes and increased fInancial assistance 10 federal, state and local law enforcement efforb. The HOllM paMed the conlerence report. but tho legislation stalled in tht Senate. See .... Iated entrlu . lAltome)' Fu ForfeltUrt

lAttorntJI S"hpoen..

No logi.lation was introduced to exempt .1I0rn"y" fus from the forfeiture language in Ihe Comprehensive Crime Control Act of 1984. That law md the Anti·Drug Abu~Act of 1986 have bf:.n interp.. ted to authorize government seizore of convicted criminals' assets. including monie, alle~dly ob· tained through illegal ~ctivity and then paid to) ddtnst allor· neys for bona fide I.gal ~rvice... No legislahon was introduced to provide procedunol safeguard> with respect to the issuance of subpoenas to lawyers in trial and grand jury procwlings.

SUflPOJ"ts Imd oppOS<1S IKlrious {J1'O<Iisions.

OppOS<'S forfeiture of

focseamedbYIm allor""Y in the legitimate representation of a

clienl.

SUppOrts reQuiring prior judicial approoal !Jefore a subpoena may be issued 10 an allf»'· My 10 oblain informa·

lion alx>ul a client. 146 / March 1992

(a,ltal P .... I...... e.t • Nltl" AlDerkuuo

The oonffFtnu ..pOrt on !l.K. 3371. OI'IVli ..... ..,Ii·<:rime ItgWolion. would ~uthoriu NatM: Amtrian tribollfOWm· mtnU 10 eltcl whet/'ttr tilt ftdtrlll death peNlty would ~PI'>ly 10 u..Ir ruervallon!. The House passed lilt conference report. but Ihe legls~tlon ilalled In the Senate. The conferenu report on IUl33l1 . OI'IVlibus &nti<rime legisllllion, would codif)' tilt Supreme Coon (\tcision in U.S. v. Lron. 468 U.S. 897 119134), 10 allow the use of evidence obtained in violation of lilt Fourth Amendment if t/'tt poll« Klw in ob;«!.;"'" good. faith reli&n« on a wamml that ~tu p..-d to be defect;""'. The Hooso: pUsed the conference rtjX)rt. but the legislation itallw in the Senale. which hid voted prt'l'iously to utend the good·faith e~ctplion to war·

Sup,KJrts lhiz tOrI· r~_

prooisions.

rantless ~s. FBI ! d ' ...... Authority

No IqI;,Lation w"'" introduad thot "'IUld ~ grmtw u.. redtnilluruu dlnvutlgation unrutric!w authority to issue adminiJlnlM subpoenas.

H. R. 3311, omnib"'ll &nti .erinw: ItJI;,btion AI passed b)' tilt Senate. would ha"" expanded fede .. l jurl$<liction over I,, · ditionally stale crimes b)' allowing fedtnl prosecutors the OI)Iion of Ittking the ~th penllity in am of homiciclts oonvnitttd with filUorrnll obtlinrd in inttntlote tommt1'«, even in ,lUes th..1tt 1w1 apit.ll punishmtnt. Confu«J did not include the provisioni in the conference report on H.R. 337t. which passed tilt Houu: but stalled in tilt SeNte.

t· C.... COIlltOl . AHa.1t Wea_

t·C.". eo"'tOl. WallinS: Perlool

~ well

lepishJ·

IkinarnJ~lhal

lux/rings ~ held Wo1v legislatkin is

The tonffrena: report on H.R. 3311 . omnibuunti.erimt kgisLation. tonta'''' no U$IIult ""pons provisions. The !louse pautd the conference report. but the legislation stalled in the SeNte. Senllle·passed mtl-crime legis~tlon would hII"f 1w1nrd the Mle. possession lind transler of nine types of Ioftign ;one! <Iomestk .. mi.-..IOfnlIlk ~ull wtaponS. !l.R. 3311. AI ~ppl'OYtd b)' 1M I-ioWt Judici.lory Committee. would hII"f ~nned 13 typa ofllWult ~apo ... ~ would ha"f limited gun clip' to KVtn rounds 01 "",munition. The HouR dtktw iI$MU!t ""UpOO$ provisiom from !l.R. 3371 during floor dtbote. Conleree:s did not incllKk t/'tt Smate prtlYisioru in their rePOrt.

Svpporls a ban Or!

The conference report on H.R. 3371. omnibus ~nti-crime legisLition. include5l1 fi...,~ waiting period for the pur· dwe 011 hlnd,gun. during which IooollUthoritits must do b1ckground thtcks on potential hlIndgun ~rs. The !fouu: passed the tonference report. but the legislation stalled in tM Senate. SeN.t.·p;tSM'd mti-crime leg;,lallon induMd the fi"f~waiting period. !f.R. 3371;one! !f.R. 7. as passed b)' the House, includfd I RYm~ waililli period to permit. but not require, IoallUlhoritle$ to conduct blIckground cMe'" on pottntial handgun buy..s. Confertu ~dopttd the Senate language.

5uppoTts maclmenl of

civilion possuskin. ",,1IIufaclur(l urn! im· porlofassaull "~IS.

a~lWiting

pmod and r-for. rII<1rIa of crimiool

background checks prior 10 the pu~ offirnmns.

Morch l992 f l<47

.......

A.A Posftk>n

Tho ccnltftna' npcm on H.R. 3371. omnibuJ mli-<erimr Irgi$Lotion. would ..trumtinc I\aI:>uI corpu!i procNuru in dt.oth JX""lty ~ by requiring wmpdent coulUotl it all mgu 01 capilli punishmrnt litiaition. imposing 10 Ont-yu. stltU\e of lim;tiOtions for liting ~"" I"'litions, and .trkt· Iy limiling $L>t«$$iYt I"'tilionl. Tho Iiouoot passed the confUlna report. but tht legillation st.l.11td in the ~natt. which previously pused intl-crimr legislation including prQViliQIIS to bior fedenl court.! from add, ...ing C(lnstitu. tional ciMms in dUlh penalty rut. that have bun "fully and fairly" adjudicated in Itate proceedings. Man4atol'J' Mbd .....

Sellle'"'et

S. 1569would crt. te. N.tional CommiMion on Fedenl

COIII.-loalon on

Crim inall..low Refe>rm to ur\dt.uke a cGmprehensive study of the red.ral criminal laws in titl. 18 and draft I prnposed rttodirocation. A ~natc Judicial)' subcommittee held he~r. ing. on S. ]569. Thfr. W<lS noromparable House musure.

Refo ....

Sc>ol~ ~

Tho ron/tun« report on II,R. 3371. omnibus lIlti..:ri"", kgilbtion, indudu nu",nollS pl'OYisions tlw. would uw.. IWI rnMIdiotOfy minimum KI1ltncu for various offenses. Confutfl did not irocltlde S«Ialt·~ pl'OYisions IhIot would ~ irnpoKd , I!\IIlditory KIllen« 01 10 to 30 ~jr$ for pouHSi(ln oll firarm whilt CI,lfIlmitti"i i violent c"!lIt Of tl'llllkking In drugs. The Houst passed the confertn« npor1, but lilt IrSislation 5t.'IIIfd in the Stmte.

· NaUonal

Federa' Cri minal Law

$upponf in principk 1M conkrmcY rer-t PfOt'Uioru,' CIpf)OSn

SupporIJ in principle.

Thf conlerentt TCfIOrt on H.R.1l71. omnibusanti<rimc legislation. d«s not include ptremplOl)' chlol\(1\# provisions. The l-Iouse p.wtd the conlum« report. LUI the legislation $\.illc<l in the ~Nte. H.R. 3311. ~ by the HDUK contained a ~ion ammding Rule 24tb) fi the Ftdmol Ruin fiCrimiNl Pnx:tdure 10 tqUalile the number fi ptr.mplory chlollengu in ~Iony casH at six ptr 'ide. eonftreu did not include the prwWons in their report. Prbo.. 1.,.c1 Stolt.tnU

148 / March 1992

The conr.ren« report on H.R. 337]. omnibus anti-<:rimc legislation. wnuld requi re the attachment of a prison impact statement to Ill}' propos.ed I.gislation submitted to Congre", by the judicial or u.cutive branch that wnuld incre_ or dt<:re_ the numMr of ftd.ra] priwners. The Howe pa.utd the conf..entt report. but the Itgisbtion stalltd in the Stmte.

Supporlf.

The conrerentt report on H.R. 3371. omnibunnti-<:rimc Icgisbtion. d«s not in"'" $pKific p",,-won. addrnsing racial discrimiNtion in capital smttncing. The House p.wed the conftrentt report. but the IegisJation milt<! in the Stmtc. Anti-<:rimc Icgisbtion appl'O'>'td by the Senate ilIId House Judiciary wmmittm would hIo ... allowN death row prioonol1 te> <.»ntut thei r .. nte"u, wing ,tati>tical evidentt to prove; the nist.nce of racial bias i" Iw1ic.ation of the death ptnalty. The proYisioru ..... r. drnpptd in bnth houses during floor debate.

Supporls elfedive 10 eliminDl~

rmwaie$

rodaI tliwiminolion in capital Jerlltneing.

THE AlABAMA LAWYER

.......

A.A Po.ltlon Tho U.s. Stlll~ncing Commiuion !wkl hwings on

"Sealeadn. Calulln ••

numrl'OUll PfOI'OSfd unmdmmts to the ffdmol stnltr.:ing

guidtlinn.

$upp«tJ and lIflpaSf'S «rtain ammdmmls. ClutionJ against pmlikr. ationof~/s

without arkquole rtviGc ti_1iwn prlKlilionm

mtlllrwld.

ELDER LAW · Cn ...I,..renb' \/hllatlon Ri,b ..

A Houw Stl«t Aging subcommittee tleld, hearing on the ftdo",t rolt in _uriOi the visiulion rights of gTllndpartnts. H. Con. Rt... 2S5 would exprwlht H1IK of the Congms tNt the ml"'l Irt Pll»\lraftd to adopt "",iform visiulion righu '-- Theft was no Ktion on the rntasu~

(lUiddints.

S. 352;and H,R. 8OOwouid eQblish kderil minimwn stand·

!Wpports rotItirwirlg

;onh to prottct due pr<l«u;and ~ ..... I prot«tion rigIlts for

individuals urJdj,rgoing gu.ardianship pl'OCftdiRg$ in the stales. H.R. 930 would require statts cerUin guo.d.

improvemmt Q{guard. lomIrip arnJ £OOSt7". IJOltmhip /QUJS tmd pro-

iazuhip "ws;n ol'lkr 10 ",ctivt. Mtdicaid fuods. Thtre was

r:NU~ QIIIII slate

to.'

no ariion on the musurtt. OI4ey Amerl~.n. Ad (OM)

S. 243 and H.R. 2%7 would .tauthorize the OM 10' four years to prOliidt iupportivt KMces for lilt elderly and to estahli$h, long-term .... c ombudsman program 10 monitor nursing homo: elrt. Both bills would providt that fundin, for \tg;ll usistaoct coolinll( to be administtrN by am agflICi .. on ilii"ll» 10 priority KlVlct, and would wablislltht statt ogmcy on '"!lint M tilt (oQ1 pointior dde. rights and ~\opmmt allfgal UJistanu p<1)fnms. TIlt StnIote pwfd s. zu. TIlt House pwfd 11.11. 2967.

1m would imprtM tht Sociil S«urity diWHlity

$uppurls fur/her tk!.wopment ofstQte kllD in this '""" foI/otD-

""""""'"

''''''.

&ppor/s rnlu/horoo· lion with priorilll 011

1111 dtliooer, Q{ kgal stJ1!k:a to lIN n«dv

elder/II·

°Se<:la.1 Securlt,y .

H.R.

DI"'11I1Jr Rnle ..

PfOCUI. H.R. 2838 would prwilk funds for, Central 1M Sod<zl StcuritJl dis· Procu.o Accountilli/ Office study on how to strumlint tilt proct$l. abi1illl m'w prO/":f!SS. A Houst Ways ,,"III Means lubcommittee htld hearings on thtst and other propo$.llls (OT imprwing tilt Social S«urity Administration. Thtre was no comparable StNtt m'asuro.

°50<:1..1 S«"rlt,y.

s. 2(138. H.II. 2838 lind II.R. 3996 would emblish tilt Social St<;urily Adminislration M In independent ~ncy. II Howe Ways and Means lubcommitt« htld htllrings on H.II. 2838 and other prOpO$IIls for Imprwing tilt Social Strurity Ad· ministration. Thtft """ no ilCtlon on S. 2038.

..."",.,.4,ol.o\4ltnq

"Soc"-I Sec.. nt:#' • .ellre.tnt £a ... I..,.

Tn.

THE AI,ASAMA

UWY~:R

Suppurl. improving

1"(\;(\0

SupptJrls.

S. 243.itgiJbtion 10 ftlU\hori%t the 0kIt. Amtric3ns Ad 10M). S. 2038 and II.R. 2838 would partially el;mi~tt or repeal tilt Sociil Security umings lut. which pla.c:a I lim;t on tile lImo.lnl oIlT1\11leY I r.llr« ITIiY urn ..-hilt ilio rccri\r. ;111/ Social S«urity btntfill. TIlt SeNt. PlISKd S. 243. HO}lI.!ot·pwfd legislation 10 ruuthoriu tile OM H.R. 2967. dot. not contain ~pell prwisioru. II House Ways lind Muns subcommittte held htarings on 11.11. 2838aOO other proposals for impT<:IVing tht Social Security Administration. Thor. was no action 9fI S. 2038.

Mardi 1992 / 149

ABA Position

Subject

ELECTION LAW t·ea ....i'n Fil1llnct Itdo ....

S. 3 would provide rompr~h~n.i\'.. campaign finance reform for Senat•• 1~c1ions; H.R. 3750. for House el«tions. The Senate passtd S. 3. The HOUle passtd U.R. 3750.

Supports ".,rticl put>lic finl1t!cing of o:mgressiom1l elections ami rnlsonable o:mMbuti(m limits. Opposes mamiatar!! amdidate spernfing limils.

DlrKl EI«tion

H.J. R.s. 145 prQllOSeS amending the U.S. Constitution to abolish the Electoral College and to prO\lide for direct, popular el«tion of the pre.ident and vice,pre5idenl. Th... was 00 action on the measur •. Thue was ooromparable Senate measur •.

Suppo1'ls.

Feolual El«tion CommlAion (FECI

H,R. 1362 would auttlori •• appropriati.)n, for the PEC for fiscal }-ear 1m. The Home Administration Committe. approvtd H.R. i362. Th<>re was 1>0 comparable Senate measure.

Supports.

IV"t • • It.tI. tnotl,,,,

S. 250 would establish national \'Oter registration proctdures for presidential and rongreMionalelec!ions. including r.gistration at federal offices and through motor whicle departments. The Senate Rules and Administration Comm itt•• approved S. 250. bullhe Senate failed twice tocut off debate and \'Ote on the bill. There was 00 comparabl. House

Supports in principle lhe eliminalion of barriers to ~i£trnlion I1t!d .'O/ing, I1t!d suppOrts poslcard ~i£lra

lion.

measur~ .

FAMILY LAW · Chlld Ab ..... PreftnlioD sn. TTta t ... nt

S. 838 would extend for thre. years the programs und.T the Child Abuse f'rewntion.nd Treatment Act and the F.mily Violence Prevention and ServkesAcI. H,R. 2n() would .. aulhorizethe pros,;m» for one year. The Senale passtd S. 838. The HOUle passtd H.R. 2nO.

_OFa.. 11y and lIIedlcal Lea ...

S. S and H.R. 2 wou ld provide WQrkers wilh up to 12 ",.eks of unpaid, job.prot«ted leaw annually fOT the birth or adoption of. child, or for a serious illness of the employee or immediate family memb<r. The Senate paSS<d S. 5. The Ho<iSe passtd H,R. 2.

°Fa.. 11y f'I"I'.......atlonIFo. t.r

Ii .R. 3603 would improve the quality of foster care, child ,,,.If.r. and adoption services. and improve court proceed· ing. in foster ca.. cases. AHoust Ways and M.ans subcommittee apprm",d the bill. There was no comparable Senate measure.

"'n

ISO/ March 1992

Supports rnlulhoriza_ tion.

Supports Ihe enact·

ment of a number of steps to improt'f! the court process in fosler care case.<.

THE ALABAMA LAWVER

....... INTERNATIONAL LAW - AIDS Raeareb .

Worill Hulth Orpll.IQtlon (WHO )

P.L 102·I~S (H. J. Rei. 360). I continuing budgd resolution tnacttd 10mt91. continua til. fund the \I,'HO Clobil Prog",mon AIDS at its lisal)'Qr 1991 level 01523 million through M.o.r,h l!m.lt.lt ~621. propou<l fi$U.l ~~r 1992 fur~ign OI"ralionl aJIPropriatioru Itgist,lion, woold aJ>propriate $3() million for the program. The Hoost passed

H.II .2621. -AIrline Llabllit,y

SuppcxtJ SIrOn/1 U.s.

assislmICW f« the WHO Global Program onAJDS andlQr~ff",_ lit'" ('()()rrJinalion 01 in_ lernational AiDS pro(}rtmu.

Montreal ProI\lCOI 3 to the 1929 Warsaw Coovtlliion woold stm.mlint the rtcowry 5ysttm for ilirliM liability ind iWUrt full ~tion to U.s. ~tionals in am of dnth or injury lo~rs in international ~tion. MontraJ Protoc:oI4 wouklupo;b.tt the areo provisigns of the War_ saw Convmlioo.l1w Stnllt! "ouign 1«Lllions Commiltft appr<Md both protocols. which now await SeNtt IIoor oct....

Con ...... U..... I.v.u

Tho Traty on CoownlioNl Armed "o.as in Europe would

Foreto In It....,.

drastically rtduct the I~I of coewenliooal forctS in [u.Opt by imposing ceilings on military equipment de-ployed by North Amtrican Treaty Organi~tion (NATOI states and former memMrs ofth~ War$aw Pact in an a~a btt",.. n th~ Atlantic Ocean and tilt Sovid Ural Mountains. 'file Senate approved tt;., trealy, and the p~sident signed it 12I1V91. P.L \02-ZZ8 (ItR. 38011. elUCled 121121911191. implemtnu the t~aty.

,".~

·"ful-Tr.dl~

Tn. Ntllotlallq Allu..rIt;t

tForel,n ACtnb Re.I.lnllo.. Act (FARA)

~ llIll'nl&lktlal

C-...... I0 .. C'ft' ad PoUtleal .'-....

La.. of ,he Sell. ConRnlion

THE AW\AMA [,""WYEII

S. Res.. 78 and H. Ru. 101 woukilliw ended the pmident's "fasI·lrxk" authority in negoI~ting inttfT\alionaJ ITIIde ~rm'nu. "FooI·lrxk" authority providu !hat CongfUf will vote on implnntnting ~tion using.., aprdiled pnxcdu", prohibiting amtndmtnu. TM Sonate and House "'i«ted tho mollltions. multingln cootlnued 11K of tho "fasI·trxk" proooiures Ih!'Ollih Moly 31. 1993.

SuppcxtJ utmsion af "faII·frI1ck" outhoril!l.

S. 346and H.R. 3597 would narrow the registration ..emp. tions for lawyers under FAllA by eliminating alltxemptions except for rep~Rntation of foreign tli.nls before a tourt of law and befo.., the U.S. Patent and Trademark Office. A Sonate C'.oYemmental Affain lUbcommittee htld oversight hearings on.1l lobbying diKloIuTt Laws. i",luding FARA. II HouM; Judic~J)' $IIbtommittH Ippr(lWd H.R. 3597. TM International CCMlWlt on CMI and Politial Rights tnIII;TtS ratifying countries to guannt.. «fbin civil and poIiticil rigJlts and protm \hoM righU for III ind;"~ in thoi r t.rriloriU. TM Seruote F(lftien Rebtions Committee held • hearing on U.s. ratification of tilt CCMfWll TM ~ of tlw: Su ~ntion defines international nonoabtd and deep.$t~ rights.nd $tts forth obligations to protect and pTUl:~ the marine environment. Thtre has been no action on U.S. ratification of Iht COOVI'ntion folla><ing • 1990 Sonat. Foreign Relations Committe. heari ng.

Suppcrls theappoinl· mml bg Cqngress and t"" prailknt of 0 high· lewl working group 10 , . wi"" dnp "",bro ;SS1lf'S.

Man:hl992 / 15 1

ABA Pos iti on

Subje<:t

Man tim, U a bUIb'

There was no ilCtion on U.S. ratification of the 1968 Protocol (V1sby Am~ndmenl$) to the 1924 Intm... tional Coovention for the Unification of C~rtain Rules Relating tn Bills of Lading.

Suppints.

Ov<l_u Prlnte In..... tment Corporat ion tOPICI

P.L 102. ]45 (HJ. Re •. 36(1). a continuing budget resolution extending funding through March 1992. indudes 525 million fnr direct loons and 5250 million for guaranteed lo;ms under OPIC. II .R. 2621. pr~d fi$Cal year 1992 appropriations legislation. includes $25 million for direclloons and 5375 million for guarantud loalU under OPIC. The IloU5l' pa5Si'd II.R.2621.

Supports.

Supports. The Montreal Protocol on Substances That Deplete the Owne Layer limits uS(' of .ubstancu. such as chloronuorocarbons. that deplete the atmospheric layer protecting the earth from dam· "!ling ultraviolet light. The Stnat. apprtl\'ed amendments to the treaty. and the president signed them 12113191.

Tort" " Vlethn Protection

S. 313 and H.R. 2092 WOuld provide for a civil tauS(' of action in U.S. courts by reSident aliens and U.S . citiulU against those who. acting under the actual or apparent authority of the govemllWnt of any foreign nation. subjtct an individual to torture or extrajudicial killing. The Stnate Judiciary Committee approved S. 313. The HoU5(' passl'd B.R. W92.

Supports.

U.N. Appropria tion.

P.L. 102·140 (H.R. 2608). fiscal year 1992 appropriations legislation enacted 10128191. includu $8.42.384 million to pay contribution! to international organizations. with not mOre than $92.719 million of the total to be expended to pay arrear"!les.

Supports PI1/1met,ts of U.S. <WesS!;rmmts 10 lhe United Nalirms as ~Il as PI1yrmmts of all amounts ouw but nol /1ft paid.

· U.N. Con .... n tlon Agalnd Discriminati on Atalnft Women

The U. N. Convention on the Elimination of All Form; of [)i$Crimination Against Women requir...ignatories to.how progress in meeting the goal! of full freedom and equal ity for women. There has been no action on U.S. ratification of the com.. ntion .inco a 1990 Senat~ Poreign Rtlations Committee hearing.

Supports in princip/~.

U.N. Convention on

There ",as no action on U.S. ratification of the U.N. Con .... n· lion on the Rights of the Child. which provides I new inter. IlIItiolllllstandard and ~ of intemationallaw on ",hat th~ world's nations must do to imprtl\'e the car~ and treatment of children.

Supporls in principle.

Ihe RI,htl; of the Child

LEGAL EDUCATION - HI, hu Edueatlon Acl Ruutborlu tlon

1 52 1 ~larch

1992

S. 1150 and H.R. 35S3 would reauthorize fed ..al higher education progralru for r" .. )'t'lrs. induding the Clinical ugal Experience Program; the Assistance for Training in the ugal Profession Program. which is administered by the Council on ugal Education Opportunity (ClW); Stafford Student Loans; and the Patricia Roberts fla .. il Feilowshipl. The !>tillite Labor and Burnan Resource. Committu apprtl\'ed S. 1150. The House Education and Labor Committee approved H.R. 35S3.

Supports.

THE ALABAMA LAWYER

....... . °Leta1 Education

"',.oprl_Uo...

".A Po.itton

D. .c:riptlon and St.8tuo

P.l.. 102·170 (U.R. 3839). fos.:;al I'm 1992 appropri.aliON tnacttd ] ]126/91, indudq $3.045 million for tht AMislula for Tninint in the Lt~ f'To(usion Prognm. which iudrnlnistt~ by the Council on Le$1 Education Opportunity (CLEO): $8 million for the Ctlniall...tgll El· 1~~liIliQn

peritllU Program: lnd S4.2'Z billion for Stafford Studtnt

""M.

LEGAL SERVICES 0,u""""c:y r01' tile MenIally III

· ~.Ih

Pt... llJo

RtlOurce eente ...

1 · lA:~

Sn..iUI

Co.,... ... llon (LSCI ,,"TO"';.t]O .. '

t "LeIa! SerriUI C..,.oratloto nsci Rt ... lhorhatloll

P.L 102·] n (5. IH5). tnacttd 11127.9]. provides a fouryear S195 million reauthorization for the Prottction wd AdIIocacy for Mtntall)o III lndividualJ Act 011986. which wUtJ w.tn in nWllWling and opmtinC prokdion and advocKy prognms for the mtntally ilL

SupporlS.

P.L 102·14(1 (fiR 2608). fiscal ruT 1992 apP«>l>.iatioru legislation enact.d lM!&':l1. includt, $11.524 milliQl1 for dUlh penalty resource emters. which prwide expert aslis\ante \0 counsel handling apilloi post.wnviction asu.

Su/lPOl'IS.

P.L IOZ-I40 (H.R. 2608). fiscal

$uppt)rls odequale

y&r

1992 Ipjmlpriatioru

legislliion tnacttd ]0128.191. includu S350 million for Ihe LSC and continues uisling reslrictions.

funding.

H.Il. 2039 would reiuthoriu lilt LSC f« rM yUrl"';!h «ruin restrictioN. Tht lioust Judiciary Committee illpl'tl\led II.R. 2039, Thtre wu no comp.orJble Sel\lotf mU$ure.

Supports _ul'-· lion with minimal rulriclioru t>11oca1

granl_.

MILITARY LAW r

CC>tIrt .. MJllta.,.

Apptal.

No Ieiiwlion _ inlroductd 10 provide I judicial retirement and diloabilitj> s),Jltm for judges of Ihe U.S, Court of Milila!)' Appeals similar to the retiremenl J)'Slt"'" of all other Article I oourts.

Supports Q reliremml SIIslem ror mi/ila'1l courl similar 10 lhou ulOIhnArtickl ~rl.

Fe .... I)oc,trine

ItR. 34117 would plrtillly oYertum the U.S. Supreme Court rulinQ in Fem v. UniltdSI(lI<!S. 340 U.S. 135 (1950). and allow members oIthe U.S. Armed Forces 10 lue the Unitf<.l Sulet for darmgn (or cort.lin injurits c.Io~ by improper miliLl.ry m..dicol c.Iol'e. A House Judiciary subcommittee held I !luring on H.R. 3407. Thtre "'ti no COIllpIf3bie Smale mt.lIure.

""""..

PATENT, TRADEMARK AND COPYRIGHT LAW II.R. ] 790 would prOVidr f« inlell«lwl proprrty prOt«lion of industrial .... igns lor ustful articlH. Thtre was no action on the mtaSure. ThUt ,,;as no complrable Senat. meuure. Much ]992 1 ] 53

....Jo<.

Descriptlon.nd Itatus

..... Position

• ... Ie.t .....

P.L 1112·2(14 (H.R. 3531), tnKttd 12110091, mouthorius the

~M1amuser

,..,.......... OfJlce ("0) RUlltborhaUOll

PTO for one )'tar and ~lVr'lIlly ~m \0 the 8ud#t Rm;Jn. dliation Act of 1990. which COfI\'«Itd Ow: PTO from an .grncy porlillly funcltd by ~r f_ to one ;tImost mtiuly funded by lilt. feu.

' - contained in 1M

Palelll Infrlqem,at Vonllt

No l.gisLo.tion was introductd to rtpeal28 U.S.C. HOO(b). which provides for a special wnue provision for potent in_ fringtlTl(nt casu, and 28 U.S.C. 1694, which governs $tf. vi"" of proct» in cerUlli patenl infringement actions.

Su(JJJOTlS rer-Iof lJotir _lions.

Stale Llablllt,y Eft.,Uoa

S. 758 and S. 759 would clarify ~t stat.,.. instrumtnl.llitiu 01 ~tales. and ol'lkers and .mp~u of .taltS Ut subjtct 10 ~ in plltnt and t~lNrIc infringement uses. mpeeINdy. A Smale JudicUry subcommiU« ~ S. 758 and S. 759. Thtl't ..... no~mlc HOUH rnt.a$Urt. P.L 101553, tnKkd 111Is,w. cluifitd that _ant not Utmpi from Ii~jlity in eopyright o:as.es.

kgisJalion.

~/iabililvu·

mrpIioofor uates in PCllml. /rademorlr and

cowri9hf OZS«L

REAL PROPERTY, PROBATE AND TRUST LAW No legislation was introductd to overturn the 5th U.S, Court

0/ Appeals decision i~ Durrell v. iVashing/em National In£,mm,.., Co.. 621 F. 2d 201 (Slh eir., 1980). which held

Supports ooerlummg Durrrd\.

tilat a oon-collusiw. reglllarl~ <»ndllcted foredosure Slle could be set uide u II fraudulent trllOSfer if the Slle price _re I_tila~ tht court determined WM II r~1y eqllivolt~t VlII~ for the P. .rty. S. 6511!1d H.R. 1450 would clIrify lender liability prorisions i~ Iht Comp«hmsiw EnYironmmllll~, ~lion and LilbilityAct oll980 (SlIIItrlund) by mtorin.Qw _ured emlilO!' uemption. H.R. 1450 Iiso would clarify the liability oHtduciuits. The Smate pas.std Iht pravisionll ol S. 651 11$ ~rt of S. 543, omnibus bulking iegi>!.1olion. ConferHS did not illClud. the provisions in the conferellCe report on S. 543. which was passed by tilt House and Senate and cl~~ for lhe president." Senate Environ_ flWnt and Public Works subcommittH held h.ari~8' On S, 651. A House Banking, ll()U$ing and Urban M(airs subcom· minH I1eld il&rings on B.R. 1450.

Supporls cforiI"/allion

01 Superfund liabililg "" 5«UTrltl crndifDn tmd rrduciaria

TAX LAW ".u.ortlaal," or lo ..... llIlca

S. 1245, 1l.R. 563, II .R. 14561!1d H.R. 3035 would ;omrnd thr Inl ......1RfYn'I"'" COI.Ie oll986 10 simplify the moDrtiu.. lion of intanQihIts. the 'louse \\'~ and ManI CommiUH held htllringson the t~ bilb. Thm _ nolction on S. 1245.

"'alemal R""aue Seniu!lRS) ","proprialloal

P.L 102·141 (I t.R. 262Z). lisal )"t'u 1!192 .ppropriotions legislation enacled Ion&') I, includes $6.? billion for lhe IRS ,

154 1 Much 1!192

SuppOTl.llIkquale IRS fUrlding.

TilE ~BAMA

~WYER

' Pentlon Plan.

S. 1364. H.R. 26011 and H.R. 2742 would ~mend the Intem..l.1 Revenue Code of 1986 to simplify provisions applicable 10 Qualified rttirerntnt plans IIId to upaIId xcw to iuch plans. II Smate Fillin« subcommillK held a heuilllll on S. 1364. II HOOK W~ IIId MWIS wbcommit\K held ~ hurilllll on the House billi.

&pporl. in principle.

I'.L. 102·227 (H.R. 39(0). ~naded 12I11~1. would extend thN &130192 Stdion 120 oIlhe Inlem..l.1 Revenue Code. which ududu from lulotion the ~ymrnts made by an e~ to ~ group Ilpl ..",ku pt,n (up to $70 ptT e~J IIId the value oI ..rvictt r«ei....! by empl~ undn such I plan. S. 451. H.R. ISland H.R. 187 would m.lk~ 5«iion 120 permanent. There was no action on the measures.

SupporIS pem!(lnI!nl Dullloriz<1lion.

S. 139t iIId H.R. 2m would simplify art.ii .. pn:,..;sions of Supports simp/iliction the Inttm..l.1 RfYnlut Code 011986, II Smale Fillin« wbcom· <JIlhe ItJX /tJQ. miuet held heanngs on S. 1394. The House; WaY" and MWIS Committee and oneofilS wbcommiuees held hearings on H.R. Un.

TORT AND INSURANCE LAW " " llh Can

, 0Me"lcal PrortNIOI1all.labllll,l'

S. 1227. S. 1232. S. ]936. el aI .. and H.R. 1300. H.R. 2535. et II .. propose v~ri()Us melhods 10 incrtase at<:us to or guarantet adequate. affordable health cart for all Americam. Smate and House commilttu held hellrings on the health cart issue and the YlIrioui J>T(IIlOSolOIi..

Supports kgUIDlioo l/wl glJ(Jr(mleu tlWIl

AmffKm <K"ll'!SJ 10 quoIil, Mol/II <'<IN N(IIlnJ. /tis (J{P"SI/ll/lQ/ int:Dnw.

S. ot3O IIId H.R. 9 would amend the MtCo.""".Fe'1U500 Act to modify Or repeal the imurance industry's limited exemt>' lion from fedulIl antitrust I~ws. The House Judiciary Com· mitt« IPPTOYed H.R. 9. There was no~tion on S. 430.

Supports repeal (J{ 1M

S. 489. S. 1123. et aI .. iIId H.R. loot. H.R. 3037. et il. . .wuld preempt state Iiws or provide fedtl'lll incentives for changn in tht mtdical proftuionalliability t)'Stem.t tht sutt It~1. II Senate Finance subcommiUet held a hUn", on medical profusionallillbility isluu. Thert was no ilClion in the Ik>use.

{)pJ:ooJ;£s ftdtrQ/ l'fIis·

S. 6010. H.R. 2100 and !l.R. 3030 .wuld prwnpt sUle product liability!.ws and ,..tablish I bn:Iad (11k ...1 product liabilily I~w. The Senate Commerce. Scien« and TramPOr. IlIlion CommittK awroo.oW S. 640. There ...·as no lIClion on the House musuI'U.

anlilrwl uI!mplioo and nIilt:lmenl '" /qiJ. ID/ion Dulhorizing ~ /t>in t:tJI/IIP'!I'Il/ivt «IM//I.

{Dlion. rrwmlaming l/wl lorl reform shwld be ad· dru$«J ailM .Ialt ~I.

()ppo.sts brood frderal pr«mp/iVl! product !iDbililV laws, /wI fDVOIl" (<<leNf soIulfans in

II(!() discrtle Gn'IIS.

""'1'"

t.ECISIATI\"t 1 ,~f"()R)U.nos • SIoII_.. oI"\ht,\ll.\. ~""""""" AIbm (Wi« in JIlt .. ..,..;" ..... "'.~ ... oIl'ott ~ 12(2) 131 · noo lot irIIo<moI.... - . . ,\II.\. polo<)< orod <Ot1(r'tosioNl ><tM1)' .......... 0/ .... ,..". lilt ~ ~ c..,... 0/ /oJIIo. I ...,......, .... ~1IobIt ...,.... _ " f _ lho ~ 40/1~ utl..- l1>li'. Tbt lol"""'l\II 0p01Ol1l , 11l<~ numb< .. ,I .. ON)' bt <.I11od lor ...".to-40l< i%""" ....... IotilWion; C.,. ... 5,.1t........ I'. "O(h ''''''''osioNl oIIk ..1(202) 225·1772: am I ..... (202122403l2l. Copie, 0/ 1I0w< ...... $<nol< bill. >rill ..""'" ""1 '" obWno<! I_ ..... c.o..mmtnul ,\/Ial.. OIf"oe< .uti or h1 WI;''''' ... """" I~ h1' .. ~· adolf....J ...dlre 1ob<1) to: ...... DM _ _ , . _ IUtt S<nal< 0I6u IJuildme, """'" MM. Wao!unIton. D.c. 20510. (202) m 7860 .. M_ _ _ I . _ Howe _ So. 2. """'" 11--111. W............. D.c. 2051$, (202) m.:14S6. Tbt """""""~ .tpOrU ...... 0/ .......... INIW poIiqo ontual to lilt ~ ............ incIuoIIr'II_wioNI. aea.crw _ and ,\11.\...,.-.., oor>«mIlOIIlIIt ~;.. Tbt _ is """"""'" h1lho c:~ ." .,.,.... AIbm 0Ii0< .. , M....... to,\ll.\. ........... in ...................... 1oW \ou" "..,..;,1..-. on; .... ~ ... "".."....u too.... 1m Amtri<.In lLu "-'>10.... All nllhto " ....... ,. .... odd ........ • ..........,... 10: A.mtoiwl lLu A»o<iM;"" HIOO M SI.. N w.. W."...., .... D.C. _lo886. IlII2) 13J.2«P11. Rhonda I. _illion. «I,..,., M_ I I. z.mUi. P<O<iu<Ii.., «Iit ...I"I'O"": Juli. C. Rou. "1'0"". Amtoiwl "", Mso<i>Iion. Cowl"flmto\ll ,\/I.;" 016". 1!OIl M St .. NW. Wu/"ti"".... D.C. :?OO36·5836I2(2) 13J ·:rnMI

/.ft,,,

WOCIoI,,,,,,', ......... Subom_

TltE AlABA.'1A U\WYER

March 1992 / 155

• M·E·M·O·R·I·A·L·S • m.u momorioI oriIiroaIIy ~ in tho ....... "..,.liI91 ..... tJtlh<80; d..,.",,*,,_",)

JUDGE THOMAS EDWARD

HUEY, JR. The dtizt ... of Jtffmon County and pnlicullTly tht leg,l community moumtd tIw: MMdt 11, 1991 duth of thti. btlowd public servant. Judge Thomas Huey. Ewry mtmbu of tht ~r LooIctd up to Judae H~ his fel. low judg•• elected him tht prtJiding J~ dille Tenth Judicial Circuit and president of the Abba~ ~;Ition of Circuil J~ Judie Huey', Krvi<;e incluclrd work at .11 Irwls of goytmmrnl-mWlicipal. county. sial •• fedrr']-.lnd was dlulicteriud in '''fl)' insllnct by <I high d.gru of Ibility, integrity. plot;'""" and flIimm. PtOpIe tnjoyed working with this flM. stabl.

gentleman. Judge HIleY's qUllliti.. itS I judge will lot rrmembtffil by lilt aUo.mys who had tht plusur. of apptarintl be/on him. II. liotoned intently to Iht llwytl'$. was atremtly WlIkrslmdin&: and lumtd. alld alillough ht wou <I quick thinku. h. hurd tht L"I~rs out. Judge Hut)' carrifd out Ilia duties with dtc~;trod intel!igtr>a:. and he was able to walk throu,gh lif. with a smlle. a p\uwJ! disposition and a good stnst of humor. Judg. Huty orttn IDowtd sympathy for the side the law rtqUiml him to rut. ~l1$t, Jnd he did not bllong to my idtoIogielI ~ lion in the Nr. The most rtslXcttd IIWYUS in tho bir Igne Jefferson County wail II.ICk)I to hi"" HIleY u a circuit judge and U I presiding Judllt. l.a\o.;-ers ","110 O(>trat.d impropttl}' rould t"P«t rough h3.ndling from Judge HIleY. ond all the \awytl"$lurntd tNt Judgt HlIe)' would totorat. no vi<.>Iation$ of the rules.. Simply put. he _ ~ extnmtly good judge. Judge Hury wu born In BirminQhelm. AllNrTIoi on July 16. 1910 lnd ,ridulted from Woodliwn High School. fit aUtndtd Howard Colltllt, now Samford Unil."trsity. from 1927 to

15fl 1 March 1992

1929 and nctilltd his undergraduate <.kgT« from the Uni-Jersity of Alabama in 1931. In 1933, he anduated from the law JChool of the Un"",rsity of AIabami and was admitted to poolct on Junt 12, 1933. From 1933 to 1936, he pr.tIC' tictd with the 6rm of Itmh, H&rsh &; Han. following which he btamt assistant Jtau, COUT"IKI of the Home Q..rnm' Loan COTJlOution until 1940. From 1940 until 1951. he was the assistant city attorney of Birmingham, ucep\ for 33 montM as a liwtenant ~r in the Unittd SUtts Navy during World War II. Govtrnor Gordon Persons iPIlQinttd ~ HlIe)' drcuit judge on F.brwry 8. 19511fter the Jdf.rson County Judicill ~ hid nomlruttd him. From ~ 1966 Wltil Jan· uaJY 1983, he was pmidingjudge. Judllt Hury H1'V!d as i member of the Jefferson County Judicial Commission; Judiciary Subcommittee of the Alabama Ethics Commi~ion; and the Slat.-F.du,1 Judic;,1 Couns.1 of Alabiml.. Ht wu also a m.mb-er of Omicron ~Ita Kappa. the Flmh Law Socidy. tht Ameri',1n JAglon. Elk·s LodIIt 11738. the Misonit LodIIt. the Birminghelm Elchelng. Club. SiQllll. Nu Social Fraternity. Eaglts. Blut Key Semct Fraternity, and the American Judicatun Society. Judge Ilury was a loyiIlltmoc .... t and an A1abama fan. Judge Huty corui$tently Wl.'I ailltn I&dmhip PIl'itioni in the or-ganizations he joined. iI1d the TQ50fI for this '''"is his sInf1gth of <:hindu. At the Southside Bapti>t Church he .... ., ac:tM Som<ky School teacher and dexon. fie is surviYl!d by his wife. Elizabeth Se~ions Huey. lind hi, son. Thomas Edward Huty. III. Judge fluey devotee his lengthy career to public Hrvice. Tht public was ~II Hrved. When his portrait is plactd in the JdI"mon County Court· 1>otIK, fYfry membfr of the bond! and bloT will haw: , reminoXr of the nob'" side cI. our proI"mion. John D. GI~iurwr, Birmingham. Alabarrl<l

RICHARD FORREST DOBB INS Whereu. God. our Father. the destiny of all men eV1irywhere. in Ilis infinite wi$<.\om. s.o.w fit on JWIt IS, 1WI to ClIlfrom OUr midst Richard Fomst Dobbins. aff«tioNttly known to his friends» "Ilom":and Wh.nil. Fornst hae a dup and abiding lem for his God. his family. hi. country and the won. and servku he performtd for the citiuns of Cal· houn County; and Whert». during World War II he s.o.w ut.nsi"" combat U II Hrgeant with Ihe Third Infinlry Division In Europe where ht urned the Bronze Star for ,allantry and the Purple Hurt. fie was tater n:allfd lor anoth· er )'1'lr of ,ctillt duty in Korn " I fir.!t lieutenant with the 50th Tank Battalion; and Whereas. in the early part cI. AUMwt 1952 lit I!eca"", a fulltime emplO)'tt in the Calhoun County Circuit CLfrk's under tho sUlXrvision his "'ther. Jot Dobbins. who _ then tiro cui! cltrk, and from whom he lurned the traditional virtues of diligenct. ~titnu. ptTlistence lind helrd work which he practiced thro~ghout his carttr; and Wherus. aft .. serving is dtpu ty cttTk. he 5uccudtd his fatlltr aJ dr· cuit cltTk Ind n.ever Iost .. n eltction lor that offict which he held unlll his

m..ctor olthe

om".

"'" Now.

thtnfon:. bo it moIwd by the members of the Calhoun County Bar Associlltion in muting duly .u.sem· bl.d that ~ mourn the passinQ from our midst of this faithful public Hr· vant. Richard Fomst Oobbiru. Be it further motwd that ~ herewith tlCtend OUT symp;lthy and condo:>to his wift. IVI.n Dobbins. his $on, Jou. lAd his Qrndchildnn. AIyson and ~d.

"'netS

11Iomas !: Diet. presidel1l Calhoun·ClelJum CotmIV 8W" AJ.rocialiorl

TfiE AlABAMA LAWYER

RICHARD BAILEY EMERSON Wherns. the 1I0n0rllblt Rich. ard Bai1t» ~:mer' son. at agt 78. died in Annmoo, Ailibama on tht 18th day of Sfpt. m-btr 1991; and Wh"eU. tht Calhoun and CItbum County Bar AlsociMion delires to rell'lm'lber his 11If'I'Ie and to recogni~. his substantial and unselfish contributions to tht legal prdession. as _II as to oor communi. ties and the Stat. 01 Alabama; and Whtrus. Richard was l mtrnbtr 01 the Calhoun County &r Associlltion, the AIWnv. State Bar and the Amm· can Bar AssocilItion and maintained II priv.lk pr;octict olLlw in _ of 50

-""

CLARESCE WIIlJAM

Aucooo

Birmingham Admilltd: 1942 Died: NOYe/Jlber 30. 1991

",1Ierus, Richard justly urned the ~ ~ finest municiPIOI lIttor· nq> in AJ.tWnj", hivif18 itbly K~d

the City of Annistoo in that capacity for 26 years: and Whereas, Richard was devoted to his family. his ~sbyt(rian chu"h, his wid( d"le 01 fritnds, his fellow ~r. and his fellow nun. and his very nlme wlS 'ynonymous with iKln"ty. ehuleter. integrity. lind devotion 10 the law and diligan; and Whueas, Richud K~ as presi· dent of the AlAbAma l,aw School Alumni A5$O(iltion in 1%6·67 and was a member of the Alabama Stat. Bar Advisory Coolmitlet 00 Appellate I'ncti~. hivirlll rt«iVfd c(rtificates of appreciAtion from the AlAbama Supremt Court in 1974 and 1985 lor his ootstinding and mtritorious ser·

Unittd Statts Army from 1942-45 retiring with the rank of major wr having urntd numerous hono". including tht Bronu Star and the awarding 01 honorary membe rship in

the Milit.l.ry Division 01 the Order of the British empire; and

WheruI, Richard servtd in tht

Whnus, Richard Will" perfect eentlenun and atw..ys adheml to the hig/lts! ~. inktkctUIJ and ethical ~rds and with his km'1 wit and fin. sense of humor was fortve r a sheer pleasure to be around. Ri chilTd is survived by his wift. Etunor Chapman Ermrsoo of Annis· ton; two daughters. Eleanor Emerson Thomu of Tuso.loosa and Virginia Emmoo Uopkins 01 Anniston; l tn, MlIvil Emtrson ll00per 01 Flormo;e. and eight granckhiidTl'n. 77Iom<zs E. Di<*. presidenl Ctllhoun-Ckbum Coontll BarAssodoliOfl

l·iARRy HAwntQRNE l·lADEN

EDWARD RAYMOND MURPHY

vices;

and

w.-

Hun/willt

Ft~

Mmitltfi: 1949 Died: AIIril3. 1991

Mmilltd: 1925 Died: November 7.1991

JOSEPIt AU,~:N HORNSBY

Gadsden DAVID Ross BENSON

Sprogw Admilltd: 1957 Died: Dea~r S, 1991

Admilled: 1962 Died: Stptember ro. 1991

R. RANOOLPH PACE, J II.

A1abas/er Mmitted: 19n Died: Dec:ember 11, 1991

WATKINS COOK JOHNSTON M()Tl/gomerv

Admilled: 1932 Died: D«ember 26. 1991 THOMAS ERIC EMORY

Birmingham Admilled: 1947 Died: January 12. 1992

_1_

MORRIS CUSTON MCGEE

Mmilled: 1940 Died: January 15, 1992

THt: AUl.II.AMA ~W'fER

SPOTTSWOOD W tl.LlA.'1 HOllAND WIl.LlA.\tS

G_ Mmilled: 1946 Died: DKe~r 30. 1991

M.trch 1992 ' 157

ALABAMA STATE BAR 1991-92 DUES NOTICE (All Alabama attomey occupational licenses and special memberships expi red September 30. 1991)

Annual License - Special Membership Dues Due October 1, 1991 'Delinquent after October 31, 1991 THE AVoIINM SI"H

8" ~

SPECIAL MEMBERSHIP CARD 1'191·1'192

T> ..

~ro","""." ~~~~'l:

r ...... '

Sop''''''''' 3(1, 1'192 Spec;'I ." .mb..

(paid di .. ctly to lho AI.bam. SUI' 8lT)

Sped.1 m<rnbtnhip .tiltu. iucquired pu",,",,, 10 Stelion 34·3·]7 0' St<I;"" 34·3·18. Cock of AJoboma (l975) .....,.. oded. r,de,,1 . rod ,ta.. judg... di<t,ict otto""y•. United Stal.. aUo,nt)'., . nd olho, Lieen.. (pure ...... th ...... th the <ount~ of prim.!)' pncI;n1

If you.re OO,.il1<" to 1M AI>b.>rn.> SI.oI, Rot.rod tnll>lltd in tht pn.<tic. 0( 1>." ', you . ro rtqIlirtd to purrh:a$t.., .,.,,, ...1occufI/Ilional tiecR>< . St<tion 40·12-19, Code of Alabama 119751, ... mended. This li«n>< gi"". you lilt right to prnli<. low in the Slate 0( Alaba .... thr .... gh S.pt.mbor le. 1992. Tho _I of tho Ik. ... i. 5150. rlu. the

county" "a.m'n>.1 ;».,. nee I.., and i. purdwtd from th< probot< judge or lietn .. cornm''';O"., (wh ... ' !>pliabl.1 in lht county in which you prim •• iI~ proctico. In .ddition to the st.t. licen .. , . 11

p"clicing .ttorney. , hould check with their nmnid.,.1 rev<nut departments to bt ...... \luI lilt licensing 'tqui"mtnts 0/ tl>< city or I"...." a ...1", boing met Pita$< .. nd II>< AWlama Suit Boy • coo;>y of I.... Iken>< " 'lion it i. purclw<d, and you";l1 rttti ..... wallu.,izeO dupli.,.t. d j'QIJr lic..... (picturtd >bovo) for idtnlWat;"" purpous during the 1991·92licr.... I't-'t.

g"".mmtnt .tto,nty:! who.rt prohibited lrom p,actic ing p,ivat,ly II)' vinuo '" thoi, po>ilioru .... Iigibl. fn' this mtrnbtr>hip .1>1"" Li k.,,'i... po"on •• dmimd to th t b., of AlJb.m. who ... MI .ngag.d in U,. pr.cti« of I.w or a ... mploytd in a po.ilioo ""I olh.""i .. requ iring. lic.n .. or • • Iig ibl. 10 be .peel.1 m.m"'". Attom<)'S ..!miUed to the ~ 01 AlaIwno who , .. ido oo"ide tho ."'Ie of AI.bom. who do not proclic< in tho ,Ult of AI.b."", . I.o'rt eligible for this st"u •. With t he e",ption of Sl" • • ttorn,y • • n" dist,icl . ttorneys .• rod who hold. Ike .... It ' 1\)' time during the bo, )'to'. Sjlf<ial mtrnbt"'r< , .. mpl from mandator}' cootinu· ing I,gal ,"ucotioo '«Iui"mtn"; oo.."tVtr. this .nnual ... mplion mU1t be ct.imtd 00 the "porting form. Sped.1 m<mbtrship dues ... p.>id dirtctly 10 the AI.bo"", SUlt Bor, In lhe <vonl j'QIJ .nl" II,. practict 01 law du ri "ll the bo, )'Ur, which n<etWtat .. the ~,clu>f of an occupation . 1 li«n ... thut du . . . rt not .. Iund.blt o.ctrnbtr 31, 1991 .• nd no er«lil will bt gi .... n 10' pa)'rN'nt 01 Sjlfcial mernbtrship d ...... M.rnbtrship cards. os shoI<.., in tho sampl,.oo... or. issued upon .. « ipt dlhe dues.nd . .. good for tilt liet .... )'to'. Sped.1 mernbtrship du.,.re 575.

I"""

.f!"

Dues include a $15 annwl subicril'tion to The AJawnmiAwyer. (This subicription cannol be deducted from th~ du es I"ymenl.) lf)'Ou h",~ ~ny qunt ionl ~gardjng )'Ou r p~ membenhip ,Iatu. or due, payment. «Inbct Alic. Jo IIfndri • . membership .. ovice. dirKIor. at (205) 269·1515 0< 1·800-392·5660 lin-.ble WATS).

CLASSIFIED NOTICES IU.TI .. ....,_' .. l"""""V' ...... _ ... .-_ElIC91 ... · _ _ _ _ _ ..,. ..... ... _ _ .. 50_"''''_. 1 5 0 " ' _ - ",11.. ' ... 0 ; ... _ 0 1 5 0 _ .. _1.50 ... _ _ 0=----.. _ _ _ ....... _ ... ",,,, ... ~·

... '.* • . • ......... 3.

'_ -''" '

. ' ' .......... . RZ ... _ _ ...... _

_ _ _. _ _ _ "'Il10_'-'''_'-0

POIIUon W. nt.d: Ttl. N.lion.' "".de",y 10. P.r.' ••• ' I '"dl •• " - q..eWIed parallQllt .. 'fOJ local ..IN fMOy far emJ*>J"" ... IIw ctIices_ COIporll_. Our per.legal graduates 1If. tr.......:l., ",eas 01 lew IUCIO u larr>ly, ,eal ..1&1•• torts.

Cf .........

1)f000te. and

eo<poral. i<lw Thela ~ no lee lot !his ser·

"' _ _ _ '0 ...... ,~_ ....... _311>01

Can N.toon.l L"" ReSOOlCI,

'0. s • •• : Slv, up to 60 percent

AmerICa', 1a,II"Si ilIwbOOIc dealer Huge irrventor .... Low pnceI. ElcceOeot quaIiIy You< u'osItc!lCW'l ablokltely guIIranteed AIIo, cal Amenca', letgellle .. book dealyoo wanI ycu ",.oeecIed bOOI<f CaN lor y_ rr-, ..........

wh.,. roo py rctrase Alaoama Raporte,.

i<lwbook$

POSITION WANTED

.. ""*'

10'"

. . . . - 1-800-422"-' ~d. VISA _ MwICan Expr_ occepl1ld. FOO" ...., ~ RuIn 01 ProIesso:loaI

O<l

your

and tra'" We ou .. ant. . MU51<teUon

8001<

•• Lllwbook Ea_

charttlle, ltd. bOJys and MI.. all ma""

381 ....53. Fo. ,.,.: Save 50 petc.'\1

TIX Cun. an<!

We IeaIln Well. LCP. GPO. 8NA.....:I CCH porbk."c...., We tIrJy. MIl ~ 1'\'IOfe.

Netl",na' uw R_ For ..... : Th .

1awtxIokI. RIlle lind lederlll. 1'I/It0CltlWlde For .11 I'o ur ' awboolt ... . d • •

For ••1., CodtJ 01 A~~"", WIth all .;urrent supplement l Phon. 12051

Reporter, F,der,1 Reporter.

Supp ~nl.

C.II "OW 1 · 800·3 25 ·8 012. L.w

vlee For .dd ill onlli Info ..... lion,

FOR SALE

SOul~ ,m

Fedlraf

lion quol •• , 1·100·27.·17 ••.

"lin LI •• Plp.'lIto III 1·100· 122·

0171, ... t. 3M1

Conduct. pers.onal cop;es a., ilabl, for S5 (tnclvdes po6~), ...11 c ll..,1t to ~.O . 80x 171 , ..... tICMnal"l' ...... _ ..... ~1 01 . _ _)'mOnt ,..,.,Ired.

E.cu......

POSITIONS OFFERED

"""''- Ott....., AI1clI1wyI--t.

_....-.;od ., ....... - 01 IUbtogabOr'l

101 ' - business rei",,, .., Wrh. I....... ' " c. S .... lc •• Group, .,3 E.,t B.oad St ••• t , C o I"mb"., Oh io 43218. " " -

,..aoo.U.'537.

Po,lUo" Olf. . .d , Auorney jobs

NOTICE PARTICIPATE: JOIN A SECTION OR RENEW YOUR SEcnON MEMBERSHIP! TO.lOOlr:rll! oro _

HIlma O..~

ll/;TOGoro _

'IO.IIt IKTOI'"

0 •• r;:oII>\I'II_I'OIIIIIIC>AIT.IOO _ , . 0tW<S Ny.... IOUOI_

Formor Aqen:y _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ __

0Ifl0a Location _ _ _ _ _ _ _ _ _ _ _ _ _ _ Offico Talephorle Numbe1' _ _ _ _ _ _ _ _ _ _ __ Stefl"

IlLoH

_ _Adminis~ Law ___ .... _ .. ____ ........... _.• __ .. _.$20 _ _Banwptcy ...:t Cornm«ciaI WIw .•.•.•.•.•. __ .. _..... $20

_ _8usineu TOIII...:t AnIiWS! Law ............... __ ..... $1 5 _ _Communica~ LIIW ...... ................................... $1 5 _ _Cot;>oralion, Banklng arid IluIirIeu Law ........................................ SI 0 _ _CrirnW\aI WIw ................ ..................... S10 _ Errvironmanlll WIw ._ .... __ ......... ___ .. _........... _.. .$20 _ _Family WIw _............... ____ ............... __ ._.... __ ... $30 _ _KeiI/t!I Law ................................................_....... $1 5

_ _labor WIw ........................ ,................................. $30.

THE: ALABAMA LAWYE:R

_!Ion

!lug

_ _LIli;atiOn ____ ....... _.. _____ ......... __ ...... _... _........$15 _ _Oil. Gas _ Mineral Law .............. _................. _•.$15 _ _Real f'fcpeny ,~,.m Trust Law .................$10 _ _Taxation ................................ .. .................... $15 _ _WorI<ars' Compan8lltOon ...................... ,...............S20

".'-~

to.ttKh ........M c _ lor _h Mellon.

M11111O:

Soc:tion$, ~ Slale Bar P.O. 110. 671 Monlgomery..... abama 36101 ~n;h

]992 f ]59

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SERVICES S.rvlc., Secu"ties e xpe rt WitneSS, Will review lacts to determine fi.Ul\abilily, cturw>g. excessiw cIlarges. etc. E><pert wIlIIess expe-r,eroce irr both plaintill and defendant o"entad cases. RegIstered Investment Advisor aoo member 01 the Alabama State 9ar, Resume available upon request. Writ. to M.L Bronne', P.O. '110" 1310, Monl'llom"r, ............ 3610:z.1310. S • • vlce: Traff ic engineer. consuitanVexpert witNss, Graduate. reg· istered . p rofeSSIona l engIneer Forty years' experience , Highway and cilY roaaway design. trallic conkoi dev>ces. CIIy wrong, Write or can lor rescrne. fees Jeck W. Ch.mblls •• 421 '11 . 11.· h .... 1 O.lv., Monillo .... "" AI. b. · .... 3610'11. _ (205) 272·2353. Sanrlce: l.e!;!aJ research help, Experienced attorney. membe' 01 Alabama State Bar sr.ce 1977. Acces$1O state ~w library, WESTLAW "v", lable. Prompt deadline searches. S ..... K.th.)!n F..... II, 112 Moo.. Building, Mont· 'II0m"r, .... b ..... 38104. Phon . 1205) 277·7'1137 . No repr8S8lllilfXxr is

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S.rvice: $ecufltres expert WltMSS. wm testrfy to 'Ultabi lily "lid crlurr'llOg, F~· teen 1'811<1;' expMience in securitres Mine..., Arbitrator lor Nalional Association 01 Securrty Dealers. American ArbnrabOn AssociatlOO. American Stock E><change Can assist in court or arbitration hea""ll , Member Nationa l ForenSIC Center , C"uck Schild ........ P.O . Box 3033, aull S .. o • •• , AI.b.me 36542. ",on. [2OSI 968-8181. Sanrtce: HeAJ wiI evaluate jO.o" cases gral ls fO! mellt end causation. Clinic al reps wiI oome to jO.o" offioo gratIS. II jO.o" case has 00 mOOt or ~ causatioo is poor. we wiI a/so prCMOe a kee writtetl report. State affidavits SUper-rushed, Please see d,splay ad 00 page 103. H•• tth C ... ..udlt...., Inc .• P.O. hI 22007, St. P. t • •• burg, Florid •• ",on. (813) 579-8054. fAX 573-1333. THE ALABAMA LAWYER

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tron lor the legal prolessOOfl . Because visu.a l images ale stronger than words. some cases need VIdeo presentation We do only hogh q~1ity produclron. Do you have a case thai <XlUId be won wdh VIdeo presentatIOn? L.gal "'ctlon Vid.o, 3027 Old Stan. D.I"., BI.mlng· ham, ............ 35242. _ _ (20111 H1.(M.87.

Se .... lc.. lliver$ity. college and public: school safety and se",,"1\' expert wit, ness. E>cperrenced expert W'ltness. consullanl a nd workshop presenter Pub· Iished widely on campus security and school safety topics. E>cperienced pol"'" adrrinIstratct and leacher of law enforcemenl courses a l '-"""'8Isily. Contact Dr. O... ld Nlcllola, P.O. Bolt 322, J.ckaon .. m., .I.b.m. 362811. _ _ 12051782-11281. Servlc., Legal research assistance ~year law stlJdents at tile Unrver· s~y of Alabama Schoof 01 law, established ~ for one year. WESTlAW and LEX IS availab lo_ Memorandums THE AU\BAMA U1.WYER

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ava.lable IIrlny o rk .. O.lgg • • • ..... 1 A._rcll, P.O. 110" 02031111, T"a".'ooa. , ... '.b.m. 35402. _ _ (2051152.3142, 391·9689. Se .... t.c.: C«Isuhant serviCe'S Ira,n"'g for tile Pf8VentlOIl of sex .... 1 l\arassmenl on the worI<place Expe"enced attorney, member of the Alabama Slate Bar SrnCI'I 1985 E~pe"enced in handling EEOC compla,nts lor both claimants and respondents at all stages. including I1ti· gabon. Has Irained approx,malely 1.000 participants In the preve-nlior1 01 5e><Ua1 harassment in tile workplace. No ~ senlallon if; "",dO IIlar tile qua~ty 01 rile legal S4tVices .I:l be perlomI8d i$ fIIeSI",

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Pleue check your listing in the current 1990·91 NabrJnw Bar Direclory and complete tht form below ONI.Y if there are any changes to your listing. Due to change. in the .talute govemi"ll.l~ction of bar oommi.. ion .... "'" now a.. required ta use members' office addresses. unless none is avail able or a mem~r is prohibited from receiving stat. bar mail at the offi«_Additionally, the Nabama Bar Dir«tory is compiled from OUr mailing j;,t and il i, impOr' tantto use business addresses for thai reason. (These changes WIl.L NOT appear in the 1991·92 edition of the directo!),. The cut-off date for the di~cto!)' informatil)n was s.-pt. mbtr L 1991.) NOTE: [f,,~ do not know of a change in address. "'" C.lnnot make the neets· sa!)' cha~s on our records. so pltase nolify us when your address changu _ _ . _ _. _ _

~tember

Ident ifiC.ltion (Social Security) Numbtr

Ctroo.eone, O Mr. O M... O Hon. O Mi .. O M.. 0 Other

Full N."", Business Phon< Nu mb.. ~

Birthdol, Vur III Admi .. k>I1 ook, MJrili "<l Add .... Cil)'

Stal' Counl\' Offico SI1..1Addr... [if difl..,nl from

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L County ____________________

March 1992 / 161

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