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l.a.....yers

IN

BRIEF

March 1995

Volume 56, Number 2 ~

ON THE COVER: n,., new Mobile Gowrnmenl f'bo:oa and the Mobile Vi. ilor Center a~ both situated in the heart of Mobil.'s hi5(ori(41 district. I'OT further information 50. page 66.

Photo b!l Paul Crawford. Montgomery, " member of lhe Alabama S/u/e &rr and Distriel of Q}lumbio Bar

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Attention Trust .." I, R... I Pmperty In the COrpUI Secu", from Civil Forfeit" ... ............ __________ ................ ,.,___ ,___ .83 61 Lai. S. Woodward

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A CriticlIl Oistinction for Attorneg.

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Dr. Karl Ki,kl>nd.... ......

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. .... 90

Report on 1994 Ann ..... l Meeting of the Amenan Bar A.. <>ciation and Actions of th. ABA II ..,," of !}flog,ln

By H. Thom.u W.14.Jr .. AW>omo Slate D<1.gat ......... ..................................___ ............. 95 The l'Ietiiation AII ....... li' ... ' Partid~ting in a Pmbltm·SoI,ing ~II ByWi liiam D. Col<man ......................•.•.....

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AUg.>/ Senli«, C"'t

By William Z. M ~r ......... ................................................................................. 110

Tort Liability for Criminal Ad5 of Third P,rtitl - A Survty of A1abam, Law

By R. S<ott lI'illiMno ond St.phen L Pot,................................... .................

PrHidtnt', Pag. ... ....... ....... .............. .. ...... .(.8 Executi". Directo,', Report ............... ....... 71 Lcgi,tativ< Wrap. Up.. ...... 73 About M.mbe .... Among Finns .. ........ ....... 75 Buikling ALobama', C"",thowt.s ......... 78 Ba, Bri.fs...... ........ ......... 82 CLE Opportuniti. s ..... ......... .. ..... . ....... 94

..112

Opinions 0/ tilt G.... ral Cou,...!... .. . .....96 Young I..o","),<n· SOcti"" ... ........ ................. 118 o;scipli .... ry R.port ......... .. .! 19 RK.nt Deci.ion... .120 M.mo' .. I•.................. .......

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66 I MARCH 1995

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THE AU\BAMA LAWYER

PRESIDENT'S PAGE CATCHING UP WITH ALABAMA STATE BAR PRESIDENT BROOX G. HOLMES Q. BI'OOJ<.

.... haw J.... ftlumtd from tM C!mU\ J .....'

C.... f... na, and you discuual willi u.. IliondM. tIM !he_ 0()'OU. adminislntion. Sha.. that >rith OUT rudm..

A. I hid the IIOOd I'ortUnt 10 ..Nt on the boiord d bior rommWOontrilor .icw )'Uri before I sought tho job as pftIoi.

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unifitd .... pport for a lot of the functions 01 ttw: boor th;.t ,,~ chlorgtd with WIder the Cotk of AJabamtJ. This hu

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about in ..nfl! tilllt$. in my view, bea_ ollhl: incruoed ernphuis on JjllCialw,tion and lilt inttml 01 ~~rs in thtir 010111 ~ton. 1\ ocrufffil to lTV tIW. if .." ~ going to iIdliM' thtw thil$ tNol thor bar iI charged with doing, wr nctd to ~'" mo« unity. AIItr all. we Ue I uniroed bar...tlich n1W1S INt ~ry ~r who is admiU,"" is I men\b(r of Ihr ~ SQI. 0... and ought to support <:QITIt

tho !lor.

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ON THE COVER: ," obl~

Gow m menl PIuo ["nilke ~ [raJ,\ional courlhouse Of cit)· hall. Ihi. " Ihe nalion·, firsl siruciure \0 '"mh"", .l ,ily g","<:m"",nl. counl;· ~"'"trnn1enl. and local judicw 'l"$tem inlO Onf (;Kility.

The 11u.I. co",i.l, of ~ len·sIOl)· ad"'inll ln lion buildi" • . ~ nine-story court. building. and a rrwsiw ~ublic .I.lrium.

The alrium was .k>i~ 10 be .I. friendl)·. or><n Sj\}C~. similar 10 a 10--.." square. 0rK of Ihe archilttU. llarr}" 1;"I~rnon. ,Iales lhal. """The m.:Ii<"it)' of go."mmenl buildoogs are des,gl>ed to k«J"l ~e out. II·, ....anted 10 .k>iWO.l building that irnited pt<'lfIle to fffl a part of the go."tmmenl r'(>Cf".

PaJticuw", 5.'I1.0I~1 5qu:.rt-ftel, Ul different roof SlructUrt$, S58 million 1nlg..1. 21 rotOr!· rootll$. Ii tk:\"'lurs. rt)I1lplct,,j lM1Il.lI)' 1995. ,", obit. \,, 11 0' C, nlor _ old Fort Condo O,ill;;""II;' I>u ill in 1 72~-1735 b}.' France,

Fort Conde was headq\lar1ers for the cologowmmenu of Franc •. Britain and Spain . ,\ meri,an5I<'io:cJ il in 18\3. The (ort cOlUi'l~d of c.u<:m.ll.. lfir;n~ pruiliolUl (or 500 $Old iers. and ~boul ~O C.lnn,")lU. The Cil)· of ~lo11,le partially r«olUlruded lhe fort "·,lh loc~l fun.u during Iht Amcric;m 1(...'Olulion Bictnlennial. Todoo)·.

Iht furt .. rvOS as ~Loo,le·s \",silor Welcome Cenl.r. ni~1

Pharos bv /'aul Cruufr.ml. JI,mlgorrwry. u me"''''''' of ,ll~"'ml<l Sldl,' &r dud Dislri("1 of Co/u",b{u lJ<Jr

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Mobll.Oovemment Piau 68 1 MARC il 1995

Atrium Tm: AlABAMA U\IVYEI(

Presidents Page, is to help bring the bar together again. I

0( judges running on party labels, lI'e have also witnessed

say again. beclltUe the fragmentation ~nd division ~ 3... uptriencing is of ~ comparatively rteont origin. \\-m,n I started practice. I don't think ...-e had ntarly the divi.ivenesa we have now. If I can begin this reunification. that will be a SUC<:e5S in my mind. and that"s the main the ...... in my tonn of office.

real and perceived problems with campaign contributions and the conduct of campaigns on all levels. I think that some of that is an (>Utgl"O"1h to running on party labels.

The ... was and is a damor Irom the public and from the newspapers and among the lawyers and judge. calling lor the bar to do something, The Alabama Judicial Confereoce was also .tullying these i.\Sues. and Chief Justice Hornsby supported the impetlU for a citi",ns confereoce.

s«' ~ccompl ishing this theme, or at lust b<>ginnlng it during your admini$tntion?

We ha,oe al ready betn in contact with rtprosentati,oe. of the Alabama Trial Lawyers Association, Alabama DEfense Lawyers. and others. to reach somt consensus on how to resol ... diffe .. n"" •. W. ha ... contacted the presidents of the Circuit Judges and District Judges associatiorn;. and ~ find a lot of common ground that shows mt that w. have mo... things that we can do together thm we real i.e. lI'e adopted a long· range plan for the bar giving us direction as lar as goals and what ...-e need to keep in mind in going about the work of the bar. I think when our members, however diverse. really look at these goals, they will see that thil il what ...-e all ought to support, even t hough Wt dill.. On ou ctly what should be done to ... ach those

Q. lIow do you A.

Q. One u poect of this

B)I De<:ember, the leadership of the Alabama State Bar lelt that the bar should take the lead to imprcM' the judicial •• IHtion process. As a resul\. on December 9. 1994. the board of bar commisaioners unanimously adopted a 1-esolution authorizing the forma· tion of the Th ird Citi.ens Conference on the Alabama Sl.1te Courts to study the selection of judges in Alabama. judicial campaign financ ing. an d othe r important i~ue' affecting the adm in istration 0( jlUtice in Alabama.

Q. Wh o aTe t ho chairp ...ons of tho Th ird Citiuno Conforenco on Courts?

A. We rerommended that lormer Gover· nor Albert B~r and fonner Justice Oscar Adams head this Citizens Con · ference. They have u.h willingl~ accepted. I tan'l think of tW<J more respected persons in the .tate to undertake this job. and we think that it is going 10 be a wry worthwhile project. Irs gOing to b. consci entiously approached. A group of citi · zens who reflect the divers ity in Alabama will be selected. and we hope that measures will be recommended to enhance tl'll' quality of justice and tho manntr in which we elect ju~s and conduci judicial ca mpaigns in Alabama.

Robert Huffaker. editor of

theme touche.

The Alabama Lawyer, upon ....1«lion or .lulion of judg... ~nd thio i.,u. OHm. to be pa.rticu· recently sat down with Presi· b rly topical nOW. What i. the role of dent Holmes and had the the ""r ,..,g~nling judicial ..Ioclion I nd judicial campaign iuu..? opportunity to find out how the A. For the last four years. the bar has Mobile atrorney feels about the had a task force on judicial selection, appointed originally by then. Prt$i. first half of his term of office. dent Harold Albritton. It wa. unde r the very capable lude rsh ip of Bob Denniston and still is. It was made up ""h~1 io the lim.bbl. for tlu.t com· 0( a diw"., group of Alabama law~~rs . and il has studied miSlion to repOrt? what l'loe we re doing in Alabama with respect 10 selection of A. w. think that this work needs to be undertaken now. We judges. It studied what was happening in other states. stud· have aslred the Citizens Conlo rence lO make a ,"pO" to the ied campaign methods and campaign problems. and as board of bar commisaioners and the Judicial Conlerence b)' tarlyas 1990. mado the .. commendation to the board of April J(}. 1995, It·, not 50nWthing lhat ...~ reel should wail bar commissioners that we go to nonpartisan election of for another election Or wait OWn a year. It is hoped that judge. in Alabama. In December 1990, the board adopted a legislalion tan be prepa ... d for submisaion to the Legi,la.. solution .. commending this and that legislation for that tU1-e which goes into session in late April. purpOse be introduced in the Alabama Legi.btu ... legislaThere lw been' good bit of crilic:i.m about the ""r'o di.· tion was introduced. but apparent ly the climate was not ciplillfor)' procedure • . Ilave chang.. been mad. to tho prorighl for it to proceed. I don't know that it own got out 0( co.. of lal'l~r dil<iplin.? commiltn.

A. One 0( the main duties 0( the bar is to carry out disciplinary Q. Do )'Ou Intend to ..introduco that type of l.gi.oLotlon? meaSU1-eS involving lawyers. The ... has been. not only in A. W. have seen in recent elections. and particu lar ly the Alabama but around th~ country, some critici5m of the NOVI'mb<>r election, increasing problems wit h the ekction manner in which lawyer discipline is impOsed. A major crit-

Q.

Q.

THE ALABA.." IA u\WYER

MARCH 19951 69

itiun is Ihal di$ciplint is Clrrird OIbout by bu usocialionI; in tomp!ett prMcy without tho knowItdgt of tht public.

Al50, boy ptOplt ",t.t not inw!vN In tNt ~rocus. We N'''' ~res.ed thott critieiomo.. wt )"t~r our board rec· ommended to the $up.tme court changes in Our disci· plinary .ulu. and, In Stpttmb\>r...."t obtllintd lin order from the .upromo (ou.t IIpproving the IImendmont •.

Action takm on ~r disciplint will lit; 1NIlt /lvailablt to the public upon /I pIu oJ guilty by the II-..")'t' or II finding of guilty to chargts. AlSoD. wt rtcOmmtndtd VI amend· ment. and tht supftmt tourt Nos mterfd an onler. fo, om boy persoo to be addtd to w:h disciplilV.ry PIIIltI.la)' pe0ple wHl now be inl'Ol~d in the disciplinary procnJ. We ha~ Mked each bar commiMiontr to recommend II lay peroon in hi. or her circuit. with no <;<)nn."ian \0 1M judieilll P,ocoU. to s.rve •• JIIInol membus. Wt hllve received some txcdle"t .ecommend.t,oni. We should ha,.., tho boy person. installed on the disciplilV.ry boards by March.

Q. You are the fint prel ident in a kill' time who hal not worft(l .. ith Roggio lI . mnt r u Ihe ue cutl~t direcl or. lI ow has the t .... ullion 1M0.. to the n'" uocuth.., director, Keith Nor· man?

A. When [ hurd t hu Regaie was no longe . going to be Ihe executive director. tilal his ttrm of ofr.ce was going to end .s mint started. I wu greatly ron«mtd. Spud Stalt Iormtd • surch committee; I ...·u on the H.rth committe•.• nd ..... recti~d applications f. om /I number of ucellent candidate •. We inlerviewed nveril Cllndidatt •. and tilt search committ« decided that lhe most quaJifie<l and kl1O\Oledguble cindidlltt was already in bar headquarteri-Keith Norman. Tho tl"/lll$llion Nos smoother than I thought it WOUld. Ktith Nos worked in many a...,. of the bar in his position lIS prog ... ~ dirt<to. ind this made the transition work. Reggie helped It1.IU the transi· tion easy. I really don'l think wt'~ miutd a beat. We '~ miutd Reggie, but I Ihink ....., are doing ~ry ,.,.ell.

impOrt/lnt", ... paJ\lCipm in

Q.

new app olntm o.. t t ha t h .. rece ntl y hu n Innou "':H il SUlln Andrei U dirKtor 0( communia· liG.... Why did the hat _ a llHll fot thlt IIN itloo?

A. A commilttt ..... appointed 10 see if wt netded I full·time director of communiclholl$. Of 00lI..... ....., i111 know that tho i~ of tIw bar. the i~ 0( bowyel"$. arv.! the i~ of tht profoMian art ~ry impOrtant. Wt have suffered from not IJeIting ...-hat we do in tho bar across to the public. Thtrt is so much ~toilt worIt tNt goes 00 in tho bar that is ntveT heard ofby the public. The commitlN ,taItTOI11tnded that ....., robin. full·timo dirtelor 01 commUf1iQ\lon~, and tht l:mnI oJ bar commissiontf1 ~rHd.. SuW1 tw bttn very ~l in tracking tho lCi;";tit$ 01 tho bar and in getting this inforotIlOlion befor. Ihe public Ihrough tho mtdia. That i$ veO)' 70 I MARCH 1995

\·oo·.., about m....., thnlugh)OUrlmn. ll tht polilioII of lhe

bar po Is' ij>,,1 mort ~ming that)'Oll had Ultiripoted?

A. I had heard various past p.uidtnU dtscribe tht problems they had and how time-consuming tho job was. [attmded the Amtrican Dar Lullership [nstilulo last March. and tho .. .....,... 101 of """"i"iS ~t how much Ii .... il would taItt. Of COUnt, I hloYf oboc-rwd through tht yu. ... Ihal it don ~ 1101 oJ pbnning time and. 101 of time organizing the work of tho bar and seeing il through. I had hooped for ...'hat 1 will call a "quiet )"ta •." because 1 ha~ II lull·time JOO in Mobile. While tho .. N~ not bttn i lot oJ ",.. rgenc:y .il· uatlon$. ..... ~ .. ,nvo""d now in tho Third CitiUN Confertnc:o and what tw come ~t as ~ rtoult of INt Conftrence. The bar should ,jo its part in seeing that tho Confnence is "" W«<SIful lIS it can be. I know tNt is going 10 lake some t ime in add ition to whal we art llrudy devoling to t he ordinary duties 0( bar work. I think ifs going to lllke more lilllt tNn I tltlltCted. but I think if. "''Ork tNt Nos to be dont. TheR iR rTWt)' other bowytn who a.. devoting I 101 of lime to tho work of our bar. Uniortuf)/Ilely. you don'l hear enough about their good

_•.

Vou·~ duaibtd the theme of yout adminil ttlltion . At the end 01 )'Our tmn. .. )'011 i0oi< Itadt, what .... you hope to hr." ....... 'lI'Ii. htd?

A. I didn't know .... hen I ran for presi · dent .. le" that we would be faced with some of the iloi5ues we .rel1O\O. PIIrticubo,ly "\lilrdingjudic,,1 Hlection. I did know that 1 ...... nttd to be" part of "'ingins together tho bar. 1 thinlc that if....., tin hring togdher tho bat to do tho work of tho bar and do it better, and if ....., tin bring about improwmtnt of tho judie"l selKtion pnxeSJ. IIKn 1 will ha~ hid • OFICl·in·II·lifotlmt opportunity to Itt involved in leading the fin.,t bar in the countO)'.

Q.

aono

Q. An oth or

the Third Citilms Conkmu.

bringing IIbout charrgQ in the judicial sdtdion pnxa.l.

Q.

Do you mil)' believe thai _ will HO tl n.ible chlngo. in tho way _ eloct J.. and condud j.. die,,1 am~i"" In Alabama?

A. IgutsS l"m.n OflI,misi. but 1 rully Ittlievo INt ....., I'e lIOing to see some ....aningful changts in the ......y ".., eltd judges. I'm not su .. whether irs lIOing to bejust 11K non· partisan election of Judges 0. SoDme form of merit selec· tion. but I think that with such. broad CroSJ seclion 01 support from boW)'t ... and jud~ ~nd boy peoplt. theR are going to be SoDIrIt i"'l'OrUtnl chang.,. ~hanllH for tho bel· ter with improvtmonu in the way Wi: <;<)nduct judicial campoig,,",. 1 Ihink tNt ".., ha~ IlIltarntd somtIhing from the campaign problems we e~pe.ienctd last )"ta •. I really believe th3tthere are going to be SoDme Imaningful cNnges in 1995.

•

d,..

TIlE ALABA.-'lA lAWYER

EXECUTIVE DIRECTOR'S REPORT

IN THE SPIRIT OF PUBLIC SERVICE

I II

n September 1993. 1M ArrItrian Bar Association lor disciplinary;oction filtd by their clients by Ow bi. relt~ the findings 01 i Ntionwick public opinion iWONtion. Accordil\llio 1M f'tdmolion. 439 such DI)ITlJUNq' conducttd by "'ItT O. Ibn R._rdl Assoc:i.

JNlrQ "'~Il' fi~ IMt )'Qt • • tu. Inc. Tn. indicattd t .... t the public:'.

"Tht Attontql.at.!.aw a(1 NY' llul Ja,,)~1'1 should HtHm for !Iv 1t~1 prolusion IIId fallm defend humin right. and tUk to an all'lime low and found INI iawyrr'1' social Justic•. and they should Vlolue I.,~rabjljty rating of 40 puctn! ranked honor, neu •• trust and dignify abo\.. only that of stockbroktrs and politi· IlIti, chlon<:t.r. ThoS<! words soond cians.

J() tmpty in tho fac. of this I~tt 01 IVhil. our na-lioo', ~rctlltion of the saondal&. ~l prOItw.ion is not flatt.ring. the ItpI _ "Sornt lilwyfrs. t'idmtly. ire not pro(essionl in othtr oounlrir:s all' opt';· .boW btwmini involvtd in ram· mcinjJsomitu Ios.sesof esltwI. For aam· pant monty irubbing. Economic: pie, In td,lorial "'till«! "Rogue t..r..oyfl'1" IIrtJ1oOo1h lias broadtned tilt scope 01 ~lml in the Octobrr 25, 19!14 edition ~I'l, WIth iIIl incTUSing number oIth. Mainid,i Dail, !.i~u.'S. the lJrgut soItl)' looking ~fler businns interests an~ lOlling a "'1\$0 of mission circulation English languagt newspaptr in Japan. Th~ editorial highlighted ..,pa. and ethics in the process." r~te episodes of thrtt Japane.., ~ttorneys Not surprisingly. the editorial mted that who had b«n arrnted tht monlh btfott dlo.ls should be made 10 gel the "bid on crimin;ol du.•g ... In diKIIS$inQ the appItI OUI oIllv barnr and noItd lhat 1». ".111••• No ......, .m at oI11v Ihrtt lJ"1·.:rS. lhe tdllor~1 ;woc~lion lnders had """"'altd $lfOnQ limmttd: tthies Ind wptrvision. Remarkably. the "Short of being arre$led on .riminll charge.. ITIOR tdilorW ~11IItd by A)'Ing lhat \hi$ V>da_ shook! not be and mort I~rs lire bKoming tht subject of rtqUeSU confined 10 llv ir>dividml bl<l)'f:' but that "the ....1)1 toil that

' 'TW)I

r---'----------,

RESOLUTION by the Alabama Association of Circuit Judges II' n;REAS the Alabama Association of Circuit Judges has stud,td judicial ..,Itction for seve",1 yurs, and II' IERf:AS this Association has befn and wntinu~ to be conurnro "'I\h maintaining intfgrrty and public wnfideoct in the judicial)l and in judicial ..,I'clion.

NOlI' Til EREFORE be it r..olwd by the AMociat ion of Ci rcu il Judges that this Association recomm~nds to the Th ird Citiun.

Conference of Courts that methods and means of judicial seleclion be carefu ll~ studied to th~ end of maintaining integr ity and restoring public conr.d~nc~ in judicial sel~ction. As a Slarting point this Association recommends that judges be .1~cl· ed or selKltd ,,"ithoul reg,Jrd to poirlical party affiliation by virtue of non partisan procedures.

OOSf: this the 20th day of JanWlI)lI995. €ditor', Note: Thu n=lulion uw approtoed OI...mrIwlmingly b¥ IIw Alabam4 Associalion of Cirruil Judges. An nklllical m· (J/ulion ~l>S orenrhelmingly appro<.w1 b¥ IIw Alabama Msocwlitm of Distrkl Judges 00 Jlmua1"Jl 21). 1995. ~ n=lu· lions. ulong a'ilh IIw >?POrt of Ih~ Alabanw Slal~ Bars Tas/o Fom< 00 Judidal !>e1«lion. u';/1 be p~'led lal~r Ihis spri>Ig 10 the Third Citizens Cmrferenl;l' WI Ihe Alabama Slale CI)UFls.

Tilt: ALABAMA LAWYER

~IARCH

1995 f 7 1

hrHds rogue ~rs rlHds to be examint<! md corrtcttd. " The J~~neK "'riter penning this edito,;~1 ~~rently vi~ the probIem$ alf«ting u.,t ~I ~ion not » ~ ~j(1C pr0blem of ~ single prokssion bul of the mlirt J~'- lOCitly.

This is an inltraling ptnp«t~.

C"*r to t.:wrw:. AlIA Praiclmt Gto<gt: ~I writes in Iht Janwory is.sue of the ..t&I .JoumaI u.,1 Iht I;"'" is .--. lor OUr prokssion to shift its fOCU$. lit points out tho.t many within Iht legal prol"tuion lrt eonctrntd ahout the; prol"tuion's "i~ probltm." "ruldent Bushnell rKom"",nds lhal ~ need to

WOTTjI

leu aboul OUr image problem. As he SUQfS": ""1he best way. the only way. to ilTlpf"OYO our imago is

so startlingly obvious that

~

otten

~rlook

it. You

must KM: tilt public. ThaI is the obIiption of

t\'tl)'

lno~r.lor

that is whit " ... lrt i111 abouL" Our pmltMion should be I mockllor the ral of socitty. If ...... t."Ikt to hurt Iht spiril of public xrvke ...-hich II» long bem the hatt"",,,, of tilt tegal pn:itUion. not only ClIn w. cha~ our imoat. but help tnnsfonn IOClety in I positivoe way at tilt wrwliml'.

•

local Bar Award of Achievement The lO(at 8a, Award of Achiewmenl reo;:ogni~n local ru, •••odalions for lhei, ""1~landinR COnlriOOlion. 10 lhe" communl1ies. Awam. are pre5enlro annuatty allhe Alab.oma Sidle Bar'. Annual "~ing. lo(di ru, d."",iali"", compele for lhese awa,d ....sed on lhei, .i.e.

The Ihr~... calego<ies are large ru, ",""'ialOoos.I11fd,um ba, a,""';ati"" •• and ,matt rur as"",ia1iooo.

The fottowinll is. list of thecategOfits rused 00 judicial ci,cuit sile,

,,,

U\II CE

ME DI UM

S:-tALL

10th 13th 15th

"h "h "h

,", 3m

.. h "h

II th

12th

".

23m

...".

9lli

,mh

281h Besxml'r Cut.off {di"ision of 10th C'rtuit)

11th

'.h ..h

25th 26th 27th 29th 30th 31st 32nd

3J,' 34'" 3"h

21st

"'" 3"h

2 ~ lh

"'h .mh

no,

37th

The fottowing "iteria witt be used to judge Ihe contestants fOf each category: • The deg,~-e of participat ion by Ihe individudll>ar in adv.ncing progra m' to benefill he commun ity; • TI«! quality and extem of the impact of Ihe b.1r'~ IMrticipation on tl«! citizens in Ihat communily; and • TI«! degree of enhancement to the bar's image iothe communily.

Me",ben of the Slate bar', Comminee Oflloo:~1 Ba, A<:lIvit,ts and Servicts ..."", ~s judll~ for lhe ~wa,ds.

To be COfl,idered for this aw~nl. local bar Apr,13.1995.

~iat'OO~ ",US!

complete and wbm<r an award application by

An awa,d dpphc~lIon may be obI~rned by w"lmg or callmg Ed Dane,...",. di'eclor of prOg,ams and activities, or M.ug':If"'" Murphy. publications di'ector. at!he Itale bar. 1..8(10.354·6154, P.O. Bo' 671. Montgomery.

Alaruma 36101.

72 1MARCH 1995

THE: AlABAMA LAWYE R

LEGISLATIVE

'. . . ,, . "" """'"

WRAP-Up

By ROBERT L McCURLE): JR.

O

Law Init;lute emp,an.ltd ~ committee (mir.d by LuI)'

Vinson of Birmingham to

conlidu tht dnil'llbilily of Alabama's enacting rtvistd Articttl 3 and 4. Pro/..· 1W Ctne Mauh of tht University of Alabama Sellool of Law served as

reporte •. 'The Comminee concluding its work with

md

14 limes.

"'"'ting in Stpltmbtr 1994. Each p'(lvi.j,,m of miotd Articles 3 m:l4 ..-as sub.i«ttd to /I

scrutiny by ccmmitlee members.

In ~ilion to d",ning Ihis Act. t~ Committ« drdt.d propootd amend· _nU 10 th. Alah.i.m.I Mini·Cod. lind other pr'O'.'isions In AIabim.1 law \0 con· fonn 10 the chin#s INdf: in Articles 3 iIf\d 4 of lilt Uni/om. Commrrcial Code.

the fnltl'lll iIO'~mmtnt Iw ~Iishtd rellulations for credit lind debit cuds, and lot lhe lIVIIilability offonds in a "''3}' tllat regulatn iI significanl part of tke check c(>llec t ion procen. In 1987.

Congrus enacted th• •:xpedited Fun'" Availabili ty Act. The Fedenl Ruuve implementtd tile law in 19M with Reg· ulition CC. Rtguliltion CC ca-.-ers mall)' ~ of Ike IorwIInJ ckl:ck (()Iledion pl'OUU and lIli aSpfell of 1M rd urn pm«ss. Existing Articles 3 and , 00 not lIIleqUiteiy ~fItCt tke "reality" of nist· ing businw PflKtica in ck«k colle.;:·

A.

I~SCOf)IIoI~

Rovised Article 3 clirifou 1m types of contracts within Article 3, Ihus promoting Ct rUinly of legaJ rultl and redUQd litigation cOlts and risks.. For .xample, variable rilt instruments are included uroler ~sed Anieit 3 (II 3·104(1). 3· 112J. as irt tm'l'itr'1 checks (f 3-1Gol(iJ).

Rovistd Arlicle 3 lIls.o cluifin Ihe impiICI oftlw Fedtral Trade CommiMion "holder" rule; it does oot render the instrumenl conditioNl so as 10 uclude it from Article 3 (f 3·I06(d)).

The rwision abo clarifltS the ability of lhe parties 10 an lrulrumenl IlIat is not included in Rtvistd Article 3 to conlract k>r JPPliaolion of its rults \0 their con· tract (f 3·104, OIlkial Comment 2).

Credit lind debit cuds are clurly exduded under reviud Artide 4 (t 4·

1(411)(9)).

8. TrTlfI<:r1/ionond~

Introduction to NvlMd Artie ... 3.nd" UCC Prornulgiltd in 1990 by thr Amrrk¥> ' - ' Insti\utt..d thr ~tiono.l Confutnet of Commissionen for Uniform

THE AUJJA.'tA LAWYER

prowl.lon.

u..

Th. fol lowing rtvi ..... of th is propOSed Act is taken from t he preface \0 the report to lilt lAllist;,\ur. wrilten by Prof.w>< Ma.$h.

Slit. Laws. Rrvistd Artick 3 (wilh misc.1tllneoul lind conforminllllmendmenll to Arlicle ') WU II ((>mpani(>n undtrliking t(> Article'" (>n funds Innsfer thai "''as adopltd in Alabama in 1m, Bolh effortl were drifted by the .ame national com mit tee and w.,e unde rlaken for the purpose of accommodiltinll modern technol(>giu ind pridicu in payment systems wi t h r.opect to rltllOliabit irutrumtnts.

Prestnt Arlicit 3, Ce>mmmial hper. lind Articit', BlInk DfpoIits and CoIl«lion •• were wrilltn for I paper·bHtd syslem. The Wiling IiIw dots OOI.idt· quattiy ~ms tke is&ues of respoosibility lind 1i.1bility u tlMy relate 10 nlCIdem ttchn(>l(>gin now empl(>yed lind the cktck (()Ilmion proudurts rrquiml by till: currenl \IOIume of checks..

The lellilitruciuru for paymenls h"'t tradi l ionally betn r.,Iulated by ,Iale law throullh the Un iform Com· merciil COOt, 1I000~r, in rttenl years

Se'-ted wbat.nttv.

IN lIu/amaltd I7II1<I7IS

tion and !host pr«tduru now mjuiml by 1M E.pedited Fundi/",aiiabili!)> Act

lind RtllUllltion CC. While allrcements among parlitl to particular Iransactions have provided sto~·gIP musure. 10 allow the exisllng Ii"" 10 Junclion. the ..mlion of Articlel 3 and " " e,"nlial 1(> update, improve and m.)intllin the viability of Ala.bllmi', liw.

Rovised Article 3 nlCIdemius. m>rganius and clirifin Ike uistillll Lzw. The changes \(> Articit .. irc !nO)«' modesl.

Arliclt , illlmended al nec"sary to c(>nform to chllngu in Article 3. 10 nlCIdemiu it lor automaoted check pro«ISing "ld 11'lInMCtions, lind. as feas;· bl~, to lICcommodlt~ tht imp,cl of f~d .. al Rtgulation CC. Prov;.ions in Article 4 thlll lire hu~ily lIffected b~ Regulation CC ~rr I"&tly Ie/t alone and relained for non~reempted provi.i(>n. and for items other IlIan ched(.l.

Section ' · 110 authorizu electronic praentmml of items and rtliled PfO'Ji. >ions taTIO'>'t impediments lolrunr;:;ltion (I '''06(i)). Section '''06 .11....... an institution tke bmtfil of its provisions e~n though the inltilUlion does not rtlum the (:hKks dut to truncation. If both the customer and the irulilulion I.ilto ult ordifll!), carr, a comparatiw neglilltn« sLmltlnJ " Ultd rather IlIan placing 1M full loss on Ike institulion (t '-406(e)) .

R.viltd Artid~ 3 maku clear thai a fir.ancial institution WU"ll ck«k$ for prow.sillll Of Pi)mtnt b» iutomaled ~ need not ITIiIlUlIty handle the insIrummt if lOCh prOCUSi"'ll is ~ml with

u..

_L ~_r, "'" _L~J<

-... __...-

.... _ d ...

-~­

..... ~d

.. ..-vr_ _

....

-~

MARCH 1995 / 73

institution's proctdurts and tM proa· duru do nat vuy unrul4I1ably fram !hoM cI othrr!»onks Itt 3·I03(l)(1).•· llM(cH. ThtK powisions ~ ~ 10 <Krommodltt Ind flciliutt tfficitnty. ~r rosU lIId rmcnizt thr rality of al$ling ctwk coIl«tion pnctirts manelated by the EJipedited FinIs A\-aiWMlity Act MKI ~llIion oc.

C. £nrodillg UIQJ'TII7lIV RtcO!InizinQ curnnt chKk collection pnetieu.• tvi!ed Article 4 indudt. a .,.,., wlrranty pl'OYis"", with no cGUntu· pOort in existing Arti<:h: 4.

Section 4· 109(al providts warranllt. gi\~n by I ptoon who t1"ICOOu informa· tion (usually l dtpo»iUry b;mkl thaI thr inlonnation is correctly enoodtd. If thr o:ustorntr of a citpGliury ~k doD the tncoding. the depasituy bank .. Iso tniku Iht wamnty.

D. 8arIk ddirUliort Tho dtflnition cI !»oM ;" ~ for tht purp-Gsu of Articles 3 .... d 4 to include u.vi"Qs lnd 1000nSlOnd credil union! SO t~t thoir d\tela lOYe directly governed by the Uniform Cemmtrcial COOt (1I3·103(c), 4· 11)5(11). Section 4· 104 darint! tillt ch«1a drawTl on credil

m :mCH OnT.\L \I .HPR \CI"J(E EXPERTS

linn IIrt lub.iect \0 thr ruh:s for chrcla

dRWR on dtpo$it k<;OIInl$.

E. I'mmlrnml und transfer wmmtieJ RoviKd Micla 3l11d 4 adop! dartr Wlauagt' \0 malIe Ihr law mom uRdtrw.rmbit and us~. to IIPPIy. Tho revi· ~ dividts Ihr pIUtflImtRt wamnties 1ft J...I ]7. 4·208) from the trarukr "",r· rantits (113.-4 ]6, 4·207), which ne currently cambined (with considerable wnfusion am! complexity) in the uisting law.

Revi sed Articlt 3 .etains the rule of Price fl. N,ol, 10 the tlfed that the draWft uku tht risk that the drawu·. signaturt wu unautOOrim, unltss thr ptOOll p.atntina: 11M knowledge of thr \lnauthoriud signaturt (ff 3-4t7(11_ 4_ 208{.i}}.

F. $lotutlt oflimilo/ions

Rtvistd Ar1iclts J lIId ~ incl. . statutOl'Y periods oIlimiution that ,,;11 make the ta... u .. i/orm rather than luving the tOllic ta widtly varying S!."lte law <U 3118,4-1111,

C. f",/iI'idU<1t <lfJfm1 (1"'/ rorporo/e liability EHept IS l8~;nst ~ halder in due CGUTM. f 3-402 JIlOWJ a .. p.U~n!."llivt to show that the f'lrt~s did not i.. tend individual liability whr .. the rtprat .. tatiw sigool withoot ~Quate indicat ion ~nd nprtHnution. Tht revision allows full prottction to Ihr age .. t who sigm; I cOrpOnle ch«k, ~ .. though thr sigru,tuft doH not 1how ff"Pf-"u· tM JlIItus.

Revised Article 3 specifies tNt the law 0( agenq will IIOWm whrthrr .epresented perSCIns are bound by .ignaturu. Thus. ~n undiSClosed principal c~n ROW be li~bl e on ~n instrument.

H. Acrorrf IlI1d l<1/is!ac/km Unde. I 3·311. p.t,yttS can avoid 1M unintentional ilCCOnl Ind satisfilClion by returni .. g the (u .. d, or by giving 1 notice t~t "Quirts checks; to be Jent to I particular ollice whert MK:h propow.ls can be hlndltd.

On t~ ot.ht. 1wKL. 1 d17lVo~r of II fu]1 JeWement ch«k is protected from Ihr instrument being tndontd with protest Ind thus 10ling tht money Ind being liable on thr b.lllnct oIthr claim. f. (Ashier's chet;ks

$«:tion 3411 and rtl.t.d provisions considerably improw the acctpt."lbility 0(

74 1MAIlCII 1995

bank ooliiations like whitT's checks ill CiISh eQu""'~nts by proWling di.inc ...· IMs to lOI1'OfIIJIul dishooor. such ill the pouibl. ~ry 01 constqlItfItW IWn-

-

J. AllooJliort of lou fo, fwrIed~ls

Erlstifllllaw _ntially ll1oc.atu louts on ~ .. l1-or·nothing wis on partie. who mllY be mo . t 0. less innecen!.

RtviKd Article 3 brings mort rational ity to this Irtl, USing I wmpar~ti"" negligence scheme in stYeral places.

Reviled I 3·404, u in prestnt I.w, places th e risk of endorsements by imp(l.Sttn. and !host gt ... rated by d;"· honest emp!oytu dnwiflll instrummlS lor drawers, on drawers, bUI dots nGt nQuirt th .. t the endorsement be in strict conIonnity with the paytt'. namt to get Ihr benefit (f 3-404(c)).

RtviKd I 3-405 tlpoonds the ptr K noglige",. rule i.. present f 3·41)5 ta the cast 01 an tndorsement ~ by a pooytt's employ«. lind in that cast and thaI 01 thr faithl ...s emplo)'te who sup· plies a nlme to I drawer a .. d then forges the endonement of the pa~e, don not reQui.e slrict conformity to the namt to place lou on the draw.. or employer. flowewr, If!)' noglig.nce 0/ thr bank will be uken into Iccount and 1 compoo.llivt negligence suncLud is ~ed iflStod 0( thr pment lbsG/ute ruit (fl3-4o.1(d), 3-405(bll.

[Kiltinll I 3·.(16 is rnised 10 INt ntgligerlCe oIthr fiRlllCil1 inslitutio .. doltS not prtll!nt il from IISStrting the pr«llISion, 100 comparalM r>tgligmce is also the rule (1 3-406(b}}.

Actions fe. con~ .. ion 01 instrume ..ts will be governed by general conve.sien lilW (I 3· 420(1)). A payee who n"',, receivtd the check annot JUt a 0ep(l.S;uf)' bank fo. dealing with a check with a forged endorsement (I 3-420(I)(ii)). " 'hat a joinl paytt u" rewwr is clan_ roed in missiflll indorlf ....... t casts (I 3.20(b}l. A dePOsiury bank i. made lilIblt in CClrMmon fo. iICI,ne irlCOl'l5;"lently with thr owntr's rights ,,'hen In endo.seme .. t is uRluthoriztd llld the revision blocks suit by the dra,,"~r for convtmon (ff 3-42O(1j).

For furthrr informlltion, cont."ICt Bob McCurley, Alab.lrna Law hutitult, P.O. So~ 1425, Tuscaloosa, Alabama 35486, or a ll (20';) 348·7411, FAX (205) 3488411.

THEALABAMALAWYE R

ABOUT MEMBERS, AMONG FIRMS ABOUT MEMBERS

Hirmingham. Alabama 35203. Phone (205) 251·7788.

C. R. Mahmood anoounces lhe opening of hi. office at 101 North Side Squa~.

Hunlwill •. Alabama 3S8OL Phone (205) 536-8877.

Robert P. Reynold. announc •• the relocation of his office to 303 Williarru

Alyce .' Ianloy Spru ell announ/:n the opening of her office at 2824 7th Stru t.

Tuocaloosa. Alabama 3S401. Phone (205) 345-.8755.

N...... C. Conw;,y announces a change of add .... to 3755 Highway \4. Millbrook.

Alabarrl/l360S4. Phone (334) 285-3335.

Awnue, Suite ))7, Huntsville. Alabama 35801. Phom (2(15) 5.14~789.

Max Ca.. ad~. formerly law clerk 10

U.S. District Judge Alex T. Howard. Jr .. and formerly associated with Johnston. , Adams. Bailey. Gordon & HarT';s, and with Bum •. Cunningham & Mackey. announces the opening of his office at

208 Rural Street. Evergreen. Alabama 3640 l. Phone (334) 578·5252.

David B. Blonk.n ohil'. formerly of lIIankensh ip & Rhodes. announces the

o!>"ning of his office at 229 F.asl Side Square, Hunt,ville, Alabama 35801.

Phone (205) 511·1550.

Scott J. lI umphrt}" fo~rly 0/ St ......· art , Davis &: Humphrey. annOunceS the opening of his office at 1;36 Oxmoor Rwd. Suite 201. Homewood. Alabama 35209. Phone (2fJ5)879·8792.

J.mu M. 1Ii,,,er announces tM .. location of hi. office to 306 W. Al abama St rut. Florence. Alabama 35630. Th e rrl/liling add ..ss i. P.O.1lox 113. FloTtnct 35631. Phone (2051766-3400.

Patrick A. Jon •• announce" the reloca· tion ofhis office to 212 Oakwood A.... nue.

North~st. lluntsvi11e. Alabama 3581 1.

Phone (205)533·2827 C. Tommy Nail announces the reloca· tion of his office to 604 38th Stre.t.

South. Birmingham. Alabama 35222.

Pl\Qne (2051 595-3888.

Elillbeth C. MeAdor)' announce. the .. location of her office to 2101 £xecuti ....

Park Ori"". Opelika. Alabarrl/l 36801. The mail ing address" P.O. Ilox 2857. Opelika 36803. Phone (334) ; 49·9951.

Car)' D. 1l00\ltl". [orm<rly of Emond & Vine •. announce. the relocation of his office to 215 N. 21st Str •• t. 8th Floor.

TIlE: ALA8A.'lA LAWYER

AMONG FIRMS ;'l eOon ioi . 11 011. Conerly « Lu llr annOuncts that John F. .'>I.cOaniel and Ktri Donald Simm. haw become .hare· holders. Ofr.ces are located at 505 N. 20th Street. Suite 1400. Birmingham. Alaba· ma 352()3·2626. Phone (205) 2.11·8143.

Smith. Spire,« Peddy anoounces that Michael 8. WaJl•. Todd N. Ilamilton and Scott M. Roberti ha,-e become members.

Ol\id A. lIughu and Reed R. Hatu ha,..

become associates. Offie.. are located at 650 Financial Center. 505 N. 20th St..d.

Birmingham. Alabama 35203·2662.

Phon. (205) 251·5885.

Ruthton. Stahly. lohn.ton « C...... tt announces that Robert C. I\'.n:!. Jr. and " 'ilJiam II. Webl ttr ha\-e becorr.e associat.s. Offict'$ a.. located al 184 Commerce Street. Montgomery. Alabama 36104. The mailing add .... is P.O. Box 270. Nontgomery 36101-0210. Phone (334) 2063100. .'1'0$0)' & Stoht< announces that l .

Dou, Fi. ld•• Jr. has become an associate. Offices are located at \loo E. Park Dri'~. Suile 301. Birmingham. Alabama 35235. Phone (205) 8364 586.

Yeamut . •"!)It" & Tra)·Io. annOUnce. that C. Jdfrq< A.h and P. M.rk Petm have become partners. Offices a.. located .t 2700 SouthTrust Towl'r. 420 N. 20th Street. Birmingham. AI~bama 35203· 3204. Phone (205) 326-6111.

E XCELSIOR -LEGAL'S

~udY~WI;r~

8239 Ideal for Laser Printers

. ..

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Plain Second Sheets and a p("()()f 24 lb.• 25% Conon . Laser Finish, White or Bamboo.

Recycled Bond S2J~ 24 lb .• 50% Cotton Law Bond. White. Bamboo

' 249 Engra.ing pkmn in: C"Ulor Ulmp/es (800) 11/·2'171, ul. 50J.

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-,-lEI

MARCH 1995 / 75

Pierce. Clf. " Alfonl announces the formation of Pie...::e. C. IT. Alfonl, Led· yanl " "'tta. Andrew C. Clau u n and II. \\itli.am W..den haw become ,harehold· ers. C. WitHam Daniell. Jr .. Rache tl Sanders.Cochran . 11'. Pemble O....sh. met. ROhin Windham Jon .. and Jean Walker Tucke r have joined th. fi rm.

Offi«s ar.located 1110 ~lontlimar Drive.

Suite 900. Mobile. AI"bam. 36609. The mailing address is P.O. Box 16046. Mobil.

36616. Phone (334)344·5151 .

Pr inc •• Mc Kea n. ,'1cKenn a « Broughton announces that Michiel P. Windom has become a member and J. ititch;e MacPh.....,n Prince has become "" ~iale. Offices are located at First Ala""ma Bank Buil ding, 131h Floor. 56 Siint Joseph Str •• t. Mobilt. Alabama 3&602. The ma ili ng address is P.O. Box 2866, Mobi le 36652. Phone (334) 433· 5441.

Jackson , T&}ior" .'1artino anllO\.lnces that Robert J. lIedge has """"me a part· nero Offices are locattd at SouthTrust Bank Bu il ding . 61 Saint Jo~ph Str.et.

Suite 1&00. ~tobi le. Alabama 36602. 1M mailing address is P.O. Box 894. Mobile 36601. Phone (334) 433·3131.

Americ an Cenenl Life " Aecid.n t In.unne. Company announce, that Kl t h.rin. McKenzie Thomson has """"me associated with the firm. Offices are located al American General Center.

Nashville. Trnn<'5SH 37250·0001. Thom· son is a t991 adm iU•• to the Atabama Stat. Bar. Norman . Fltzp. trick. Wood " Kendrick announces that Kile Tn "ison Tum ... has """"me an associate. Offic.. art tocated at 1500 Liberty National Building, 2001 3rd Awnue, South, Birm· ingham. Alabama 35233·2101. Phon.

(205) 328-6643.

Jam .. M. Wool<'n and John A. lutine announce Ihe formation of Woolen " Ltntint. Offices are located al 2(l(l(1 ht Avenue. North. Suite 1212, Birmingham.

Alabama 35203. POO~ (205) 322·n07.

Emond & Vinu announcu that Robert 11'. Shor... R. Gnham E,d.l. and Michael L. AlIJup have be~ "'""'" dat ... Offices are located at 2200 South· Trust Tower. 420 N. 20th Street.

Birmingham. Alabama. The mailing address is P.O. Box 10008. Birmingham 35202·0008. Phone (205) 324-4(l(l(1.

76 1 MARCH 1995

Douglas J. F«s annoonces tllat Anne Cruham Sarg.nt has bocome associated with the firm. Offices are located at 401· 403 Madison Str.et, HunlS>ille. Alabama 35801. PItonr (205) SJij·Il99.

Reid" Thomas announces that Fred· eric A. Ransom hill become associated with 1M firm. Office. are located at 501 SouthTrust Bank Building. Anniston.

Ala""ma 36201. The mailing address is P.O. Box 2303. Anniston 36202 Phone (21)5) 236·1240.

Pradat " Upton announces that Michael J. Upton has beco.m a part~r.

Offices art tocated at 2902 7th Street.

Tuscaloosa. AWlama 35401. Tht mailing address is P.O. Bo~ 1119. Tuscaloo,a 35403. Phon. (205) 345-2442.

Cittinn. 8TOO,," " Hamby announce. that lIarry V. Satterwhite has becomt an associal • . omc.s are located at SOl Ikl Air BQut",,,rd. Suite 240. ~lobile. Ala""· ma 36606. The mailing address is P.O. Box 16162"9, ~lobile 36616. Pho~ (334) 476-4350.

Lightfoot . •·",nktin. White " Lueu annOunce. that Juli l S . Mcintyre.

Stephanie Keller Womack and Molody L Hu rdt. joined the firm as associates.

Offices are Iocatw at 300 financial Cen· ter. 505 N. 20th Str.et, Birmingham.

A1ab<oma 15203. Phone (205)581.(1700.

Riv .. " Pd."on announces that Mark A. Steph. ns, JIO. G. Ragtand.

Thornu L. Oli,·.,.. II. Sunn S. lIay... and 'harles J. Ketley have become share· holders. Rog.,. <:. Fos t.,.. Eric J. Brei. tha upt, D. K.ilh Andr . ... Da~ td P. 'on do" and Anne C. r almer have become associates. Offices are located al 1700 Pinancial Center, 505 N. 20th Street. Birmingham. Alabama 35203.

POOne (205) 328·8141.

Con . langy, Brook. " Smith an· nounces that Tlmtn)' L. Dobh •. formerty law clerk for the Honorable Judge Sharon Blackburn o( the United States District Court. Northern Di,·isioo. has become an associate. OI"fi«5 are located .t AmSouttli Harbert Plaza. 1901 6th Awnue. North.

Suite 1410. Birmingham. Atabama 35203. Phone (2051 252·9351.

Samford. Den.on. 1I0rs tey. Pettey & Martin announce. that Amy J. lIimm.t· wright. (ormer law cle. k for Lee County Ci.cuit Judge Robe.t M. Harpe •. has become an associate. Office. are located

at 709 Avenue A. Opelika. Alabama 36801. The mailing address is P.O. Box 2345. Opelika 36803·2345. Phone (334) 745·3504. leanah. tt ust. Summerford" D"'is announces that Christopher II . Jone. has beco.m a member and the new name is Zeanah. lIu. I, Summenord. D..i . " Jones . Offices are localtd at AmSouth Bank Building. 2330 Universit~ Boule· vard. 7th Floor, Tuscatoosa, Atabama 35401. Th. mailing add .... is P.O. Box 1310. Tuscatoosa 35403. Phone (205) 349·1383.

Caln.nill. Johnston. C.rdner. Dumas "O'Nul annouc«s thal ll erbert lIamld \\,.. t. Jr. has become a partn ... Offi«s a.e located in Birmingham and Mobit •.

Ata""ma Lloyd. Schreiber" Cuy announces that Geratd A. Tempteton has beco.m a member and A. htoy T. Robin son has joined lhe firm as an associat •. are tocated at Two Perimeter Park South.

Suite 100. Birmingham, Afa""ma 35m.

Phone (2{l5) 967· UZZ. .'1icki Beth Stllter announces that Brenda L. Vann . formerty with the Administrative Hearing Div iSion of tho Stat. Department of Human Resources. has """"me associate. Offices are located at 225 S. Decatur Street. Montgomery.

Ala""ma 361f14.l'hone (334)834·5544.

Clyde Alan 8 lanken Jhip and SUNn C. Con ton announce the (ormation of BlanlrenshiJl" Conton. Offices are locat· ed al 200 W. Court Square. Suite 201.

Huntsville. Alabama 35801. The maiting address is P.O. Bo x 324. liuntsville 35804. Phone (205) 536-9008.

Prince. Baird « Poole announces that Sib. C. Cmu. Jr. has become a membe •.

The new name is Prince, Baird. Poole " CrOll. Offices are located at 250 1 6th Street, Tuscatoosa, Ala""ma 35401. The mailing address is P.O. Box 128.

Tuscaloosa 35402·0128. Phon . (205) 345·1105.

Stone. Cranade " Cm.by announces the opening of its Daphne office at Daphne Pro(mional Pa.k. lIighway 98.

7133 Slone Drive. Daphne. Alabama 36526. POOne 13341 626-6696. Offices are also located in Bay Minette and Foley.

Ala""ma.

Wal.lon. Slabter. lI'e11 5. Anderson" Bai... announces thaI Anne Byrne Stone

Off".,

TIlE AtABAMA l.AWYER

has brCon'lf II part",r in Ihe firm. and Gregory I.. Doody, Oawoo Ilelms Sharff

lind J ul ia BOil COOpt r ha~ become lSsocilllfS. omcn In louted lit 500 F'irIlnclil emltr, 5005 20th Strttt, North, BinningNm,..u."", 352(13. n... moiling addR1o!l;' P.O. b 8J06.I2, Birmingham 35283.{l642. Phone ~205125] -9600. lIu it , F .. na mbucQ & 510 .....1 an·

noullCfl lhal Chril lOlphtT 5, lIodgm has becomt " part",r. e rtifOTl' L Schudt and t:dward .' !<f arland Johnson ~ broome MKlClIIlts, omcn art \ocaled at 800 Fint Alatu!m Blink Bunding, Birmingham, Alabama 35203. Phone (205) 251-1193.

Rur". R. Sml\h, J, . lnnounas 'hli Jo hn ... . Maddos hU brcomo In usocille. Th. now I'Ilme is Rufus R. Smi lh. Jr. & ASlo(\a l ... omus ....

Ioaolldll I~ 5, Slint Andrn.'$ Strttl, Suilt 14)2, Ootlwl. AllIIimi 36301, n... !miling ..ddr.ss i. P.O. Dn~r 6629, 00t1wl36302, Phone (334) 671·19S9.

IWeh 61 Hin\thlm :announa:s thr ilS5Ocllltion of Jo.,...., B. CutH, Ed II , Hallen, N. Oo",lI)·n. I'opt, LetAnn M, Pound.

iI1d Andrew 11'. T"n",U. Otlka lrt Ioclt· .d in 8irminghlm. Montgomny and IIl11llMllr. ~ iI1d \YJ$h~ D.C. Addison. \ ickm 61 II_ U MIIlO\&IlCU tho IorTNlion of ~ \-~ lIowdl " Talkington. \\'iUiam F. Addo-. Oa\id W. \"ick.n, Shlrlty Oart.y II_ It and Scotl R. Talkington art membrrs. Elizabt lh Vickt .. Addison ,"'ill fU,'t IS 01 C'OWlSt/, Oftka Ire toc.lld al 1200 Belt Building. 2()? Monll/Oll'll'ry Slretl. Montgomtry. Alabama 36]04. The mailing address is 1',0. lj.o~ 1828. Montgomery 36102-1828.1'honr (334) 269-0700, 80nd & IIokf IrltI(lUI'Im thaI RoiJm O. RftH his bKome II wreholder. OffICes art Ioaud it Tht lRnirl Building, 15 S. 20th Suut. Suitt 1325. Birmingham, Abbaml35233. Phont (2(151254·9004.

Judilh S. Crilttndta lind \' 'lIini.a L M..t in lInnouna 1M formalion of Cril· tenden 61 ,,,.tlh,, Officu are Ioaoled it 1044 p"k Platt TOIo·tr. Birmingham,

AlWml35m. Phont ~2()51324·9494.

Burr" f orman announcu Ihal Jd· T, Ba~., r aulI', Bolul, D"'id A.

r~

Ell lolI , e•., w. Far.ls. William S .

Ht " ford and Jill \" rd~n Ott, h",.. btcomt PI ,t nns . John E. Norri •. \\illi.am C. Byrd. II . JI IMI E. F'lHnor, Jr., Charlo, A. Ilardln, lIu thtr C. liar_ ri son . Rti d S. Man lt y, and J "" I P. Smit h. J. , hive become lISsocialts.

OfflCn lITe locat.d in Birmingham lind lIunltvil\r, Alabloma.

BonJa mln U. AlbriUon . formerly of Almon" McAlisler. announces a change of add,",s to Janec ky. Ne .. t ll, I'olls, lIa" 61 \\·tll •. Offim are located at 3300 Fi rst Nltional Blink Building, ,\lobile.

Al~ba!m 36602. n... mailing address is P.O. 801 2987. Mobile 36652. Phon.

(334) 432-8186.

VHA. Inc. hllippoinltd Ric h lrd Hu rd vice-praidtnt. genel'lll counsel and 5«.. lIry of tht ~. Oft'1Uf "" mIld II 220 E. LM Cotinu Bouln'an!.

Irving, Texas 75039·SSOO. The "",iling lddren ii P.O. 801 140909. I,villg 75014 · 0909, Phone ~21 4 ) 830·0000, Iteard is a 1983 admi ll ~ 10 the Alabama Slate flar.

•

Judicial Award of Merit Nominations Due The Board of Commissioner.; of the Alabama State Bar will receive nomilliltions for the state bar's Judicial

Award of ~l eri t through M-.y IS. Nomilliltions Should be prepared and mailed to lit ilh 8. Sonni n. Secr<1llry.

Boa rd of Bar Co mmiuioners, Alabama S ta te BI •• P.O. Box 67 1. M ontgo me~', Al abaml 36 10 1.

The Judicial Award of Merit was eslablished in 1987. and the first recip ients were Senior U.S. District Judge SeybQurn H. Lynne and re tired Circui t Judge James O. l laley.

The award is not necessari ly an annual award. II may be presented to a judge whether state or federal court, trial or appellate ...... ho is detennined to ha\'e contributed significantly to the administration of justice in Alaba· mao The recipient is presentf d with a crystal JIOl\'t1 be.uing the state bar seal and the }'tar of presenlation.

Nomilliltion~

are considered b}' a Ih ru-member committee appointed b}> the prfsident of the ~late bar which

makes a recommendation to the board of commissioners .... ith respect to a nominee or whether the a.....ard should be presented in any gi\-en j'tar.

Nominations should include a detailed biographical profile of the nominee and

a IliITTati,'t outlining the sig-

nificant conl riblltion(s) the nominee has made 10 the administration of justice. Nomilliltion~ may be supported with letters of endorseme nt.

THE ALABAMA LAWVER

MARCH 1995 / 77

BUILDING ALABAMA'S COURTHOUSES AUTAUGA COUNTY COURTHOUSE fiv SAIIU£L A. RUMORE, JR.

The following continues a his/or, of AJobam,;,', Cf](JnJV rourtm= their ori·

--

gins a",J 10m", ()( lit", /Hlop'e who COIIIribuitd /0 their grou:tlr. 11w AI<II.". pkJrrs /0 11<1'1 COW coun1,'s sIorg ;" NdI Ww of I~ mtIfltlZ~. ff fIOO hint atI!I rXrotty...w 01 «l1fV ar pn!SLTl/ wur/. houa!s, , . , . frJnrord /hem to: SanullII A ~,Jr.. Miglioniro" Rumort, J23f) Brorm Marr Jiluofr, Birmingham. AJobo~

--

AUTAUOA COUNTY utauga COllnl~ li~. in th. «nter of Alat.lma. Signifi· antty it has held a central position in th( lndiln o r aborigi .... t histOfy oIlhe .JI;It., ib politi.

Q) hislO<y. IIv: ~lturu pnllirtu 01 AlIba(N. ~nd Iu tllrly indusIN] ~l·

lD i

lI i,lo.illnl

No~ember 21, 1818. It5 txttndfd north .00 north· by action liken on December 13,

AUliua<l on

opmenl. ~8rtt

lhit

th~

"Aut;Joug." eornu from 1M Crook Indian Ianguagf;. Howewr. il il diff.:ult to find two sourctl who cOncur on its actual muning, Autaup may mun "plenty". "land of plenty". "clta, water". "border".

Or "com dumpling". !:ach possible definition has ill llWocatt. It is tnough for this ".tick to conclude tNt AuLluga was N.rntd for)n Indian town. Au,;. on the WHI .Pdt of the Alabanv. Riwr IoaIN at tht junclion of Alaai (now Auliuga) C_k and the I'Mr. The site oflhis Indi· an vil~ and Jlrum would cmtinoe 10 be ,ignirtc.1l1t throughout Aubuglo" his· <ory, StUlel1 Umt into prHl:nt~ Autou· g;. CQUnty aflu the (10M of the Cruk War in 1814. 'J'hty IOUght fann land and homesteads and wue mracted by the futile soil in the .rta. The first ~rma·

78 / MARCH 1995

~ry "'loS

namt

~st

_ ... "".... r,IlI'nt settlen'll!nl$ date to 1816. The Uta was o riginally pnt of Mon t gomery County, but the terrilori.lltgislature al St. Stephens ereattd the IIfW county of

1820.

The Act which erealed Auta.uga Coon. ty provided thllt for the tin'll! being court should be he ld at Jackson's Mill on Autaugi Cruk, ll~r. the legislation abo contained the traditional ucaJa' cli.U$t of tJut tTL If there ..... a Lack 01 neceS$.l.ry buildings for the holding of court II JKIoon', Mill. then court coold "ildjoum to RIch other plac« contigu· ous thereto» rrliY _m J'fO\l'er." iJttle is known of this fillt rourt !-itt.

On NO\"tmMr 22, 1819. Olll' yur and ono dloy after thl: county was cruttd, the territorial legislature appointed five commiuionus to Hlect a site for the permalll'nt county Stat of Aulauga Coun· ty. 'J'hty "''tre also authoriud to contract for and supervise the construction 0/ a TIlE ALABAMA LAWYER

<VU~,

;'il and public pillory. FiruJ· Iy. tM commiuionus nCfiwd IUtho· ntalOO 10 purc~ Up to 40 acres for Ihe public bulldings of 1M county and they wen 1I1~ PlyrTlVlt of SI5 each for tMir KtVi.:ts.

Mun....hile. 1M Iornvr Indiln vil~ of Allili ~ bm1 ab.mdont<l and by 1817 W&l owrgrown in pUCh and plum l reu.

In 1817. white Iwlen ullIblished the lown of Washington on the Atagi site.

This tCM'I1 WU named for George Wash. inglon lind would ~Iso be known ~s Willhinglon Ferry ~Uf to u,. riVl' r croos· ing al that point.

A group of inYUIOn had purchased Lind lit thil Iowion at1t.lrious gowm· ment land $.lIn. This land syndicate, conWtini of~in J. P. HOlIK. Ct...r· .. Thomu Woodward and Dr. AI~r Hutchinson, offend to Iliw Autauga County 1and for the courthowt and jail if tM courthouse ~n toeattd thert. The comminiontrsaccepted this ollu ar>d W;uhington btarnt the fi~t prTTI\.lMflt county stilt. ....'hilt II briel, courthouse WM being conttn.u:ted between 1820 and 1821, C(lurl$ were held It the f.Ht hotel in town which had been built by Captain H~.

The fir" jury It WiLlhinQton mtt on April 12, 1820. Thil jury was prt.ided over by John A. Elmore. Sr .. who was chid justice of the Court of Justices of the ~l« . ElfTI(n _ /I I'Qident of the .utem portion of Aulllup County and wu prominent in ALilNma politics. He ditd in l8J.I. When AullIup County ..'U wbdividtd on FebTUllry 15.1866. the new county cruted Will I\lLmed Elmort in his

,,,"" WMhinllton nmained tM county ""at of Aulllug, County for approximately ten )'tan. H~r. iLl tM count)' grew. di.!· satisfaction owr 1M courthouse location 11110 gmo'. Wuhington "'iLI locllted on the IOOlhem. of the count)'. It was inconwnitnt to rrIlLny ci tiuns Df the county. some of whDm IMd IS Car as 40 milts iIW/IY. On Da2mber 28. 1827, the lellWatllR mpoodtd 10 the dissatisfaction. au\OO. ruing lin election to Ix held in August 1828. for the purpO$<t of detennining the ...u.hu of the d tiuns on nll'lO\lal of the courthouse. The actUllI vote llIlly of tlu.1 election is losl to history. liowt'Vl'r, on Dee<mlxr 2. 1830. the legi.l.tur. again appointed I fiw·mtmber comm ission 10

Kltct .. Stilt of juslice . This tim. the commissionen wert ,harl/id to s.e1Kt a rourthouse iite with due ngard to "em· tqlity. popuLilion. heal1h. ir>d ~rotql COfIVI'nim«.The o;omrnlssionen d>ooe the kM'I1 of Kingslon. Kingston. which VUiOU5 IOOrcrs clilim wu nam.d eithe. for II town in E"IIland or ont in no:>rth Geor· gill. was toeattd in the approximate CflI· te r of Autllug, Coun1y. It ""as siluated about eight milt'S oortlleut of the ICM... of Independence, nur prtl"nt·day U.S. Highway 82. Alt hough it W3! at the phys· ieal center of the county. Kingston was not the center of population. Om news· paprr tditor In Wetumpka refernd to it III the -erellt ~ra" btall$t of its toea· tion in the wilderrotlS. Kingston newr ru.lly prospeTtd ;as county Kit. 115 popu.

Lition rtmaintd quit. Jmioll. The actual """,e of the eounly Stilt to KingstDn took piKe in August 1832. Nothing is known of the courthoust buikliflll in the town. After the 'em(Wal Df the court· houst to Kingston. Washington gradual· ly declined lind by 1879 w/lS 1111 but dtstrted.

The only histonc tvtnt of !ignific.r>r<! to take place in Ki ngston was a great

rally in 1863. The rally WIIS coiled for the purpose of rail ing I quota of soldief5 from Aulllup Count)' for tho Conltder· lite ArTIlY. A big Nrbecut _ held and .. number of patriDtic iP«ches dtlr.~rtd.

One of the Iudrn at this rally whD vol· unteer.d to equip the soldi.rs w.. a tTlnspLinttd OOI'Ihemer whD had a".;,..ed in the "Dunty Dnly • years after Kingston "·u Kluted county Kat. In 1863. he _ Alabama's 1u.ding industn· IIlill lind II wry wealthy man. Uis namt was Oani.ll'ratt.

Prall WlI b<J.n on July 20, 1799. at Temple. New lIampshire. H. w•• apprent iced as 11 carpenter ,md in 1819 ~ to Ctorgii when he lumed the businw of making cotton gins. He came to AI.itwn;o in IS33 and Kllltd nur the Elmort pl.nllltion in Autiuga County whel't he set up i blKksmith and cotton gin shop. \'olltn tIM: IelK on hi.! mill .ite ran DIlt and the rent WIIS incrtued. lit I11O'o'td his operalion to McNeil's Mill on Aullluga Crttk. lie sb)'td at this Io<:alion for • numlx' of)'tlln until this lea,.., ran OUI and the !'tnl increlKd OlgIIin. In!838 he purchued land on Auuuill' C•• ek to pumintntly u tlbli.h hi. Pratt Gin Company.

r...·

MARCH 1995/ 79

Through hard work Daniel Pratt prospered in his new home state. His gin company bocamt tilt for."""t producer 0( cotton gins in the world. He Opentd. blacksmith.iliop in 1840 and • grist mill in 1841. He establishtd a carriage factory. a tin shop. a sash and blind factory .• nd a foundry. In 1846 he founded a t..tit., mill.

Pratt. as a transp lanted New Englander. remembered the sights of his boyhood. H. duplicated a New England villag. in the creation of his industrial town. Autauga Creek ran through the middle of his town. providing needed water power for his filCtories which "''I'r. built solidly of red brick like those of New Eng land. Even his worker housing closely resembled comparable struc· tures in the northeast. TI>t t(>\<" which he founded on the banks of Autauga Cruk became kno\o." as Prattville. 11 is the oldest continuously functioning industrial community in the slate 01 Alaboma.

In 1847 the Univers ity 0( Alahama conferred on Daniel Pratt lhe unique hon· orary degru of master's of Mechanical and Useful Arts as a to""n of the respect and honor of the University trust«. fur him. In the presentation 0( this degr«.

Uni""roity of Alabama President Basil Nanly stated. "He has attained. in an eminent degree, that which is the end of all letters and an.tud)' the art of making men around him wiser, better. and happier. He has soo..'Il in a substantial manner that he values and knows how to promote the industrial and economic

80 I MARCH 1995

virtue, among men. rendering his "'"'" intelligence and honesty a blessing to all that come within the sphere of his inllu· '"~

Pratt. Ihrough his son·in·law. Henry DeBard.leben. continued to serw hi' adoptive ,tate with new ventures in north Alahama. The Pratt coal seam. the Pratt mines. and Pratt City in Jefferson County are evidence of his invo!v.ment.

Pratt died on M.y 13. 1873. .t Prattville.

He WaS r"'I'red for his benevolence as ""lias for his business skill. and he Will' recognized uniw:rsally as an enlight.ned industria Ii5\. following the Civil War, Autauga County was reduced in area and popula. tion. In 1866. Elmore County was creat· .d from land taken from eaSlern Autauga Count~ as "''I'll as C<.><.>Sa. Tal. lapoosa , and ~lontgomeT)' count ie•. In 1868. Bilker County. later called Chilton. was created from land taken from norlhern Autauga County U "'ell as Bibb. PerT)'. and Shelby counties. The population of Autauga d.opped from 16.739 in 1860 10 lI,623 in 1871l.

In lhe midst of theu changes.• 1110\'1'ment began to relocate the courthome.

By 1868 Prattville had long sira become the rnl center of wealth. population, and busint$< acti"';ty in the county. That yea. tilt legislature IlIImed it tilt oounty st.t. Inving Kingston to become nothing more than a ghost tOl'o'll.

The first courthouse built in Daniel Pratt's town ",as constructed in 1870 al 147 South Court Street directly across

from the creek, dam and industrial complex in Pra!lvill •. Th. building i~ brick, rrctangular. and two stories in height. It has "''I'n windows length · wise. and three window. along its width, The gabled roof has wide eav.. supported by paired scrolled brackeu.

This building is.n example of the Ital · ianate st~le of architecture . A high. ceilinged courtroom occupied th e sHond floor of the courthouse and county offices we .. found below.

This firsl Prattville courthouse and jail w... re sold for S5,500 during the first decade of this century. and these pro· ceeds were applied to the cost of the new courthouse and jail. The interior of this building is now gutted and servtS as a w... hou"" , A service station was added to the west side of the building rome time around 1924.

The ,econd and pruent Prattville Courthou.. is located .t 134 North Court Strut. Construction began in 1905 and WaS concluded in 1906. The Bruce Architrctural Company of Birm· ingham serwd as architrct. and Lew. man & Company of Louisville, Kentucky. ",'I're the contractors. At the same time, Dobson & B~num of Montgom. ry contracted to design and build a new jait.

The courthouse in Prattville i. two .tori.. in height with a raised atlic. It is constructed of buff-colored brick . The building is dominated by a four-.tory clock t",",'er and belfry at the l<lutlw.'I'st cOrner topped ",ith a pyramidal roof.

The main entrances. on the south and we st sides of the building, featur e w:stibules with Syrian arches. The bas ic architectural style of the building is modified Richardsonian Romanesque.

The net cost of the new courthouse and jail was S84.400.

_ .. .. ..go_OI _...... .........,....

.. ...........

IIumore, ~ ••

,

~OI_.

--~

........... 0 1 Sct!o<> 01 ~ flo

",""_OItt.

-"llwoBa'.

"~L.aw_"'"

~ " PO"","", '" _ _ _ "JlrmOl~ & _. _ _ .. tt.t>oow., ~"" ... '0In

Co<cuI. 010<0.....- .....

TH~:

ALABAMA LAWYER

By 1959 thf county had outgr(lWrl its tOUrlnous. MId. dKision .... d 10 lit made conuming its future.

The ifchitectu r,,1 firm of PUrJOn, Humphries, &: Jones ~ Montgomery submiU~ three plans for the consideration of the Autauga County Board of Revenue. l'lan A caHed for the addition of .. willll with Klmt nmodtling of tht former structun It m eoI;lT\IIt~ 00II of SI70,00(I. S4.)'C~r.old

~ B alltd r.:w a C(mpIt1t nrnodrling of the old ~,.;:\h the addition of

a wire. Tht old building would lit .... tted and nrw ctilings ind floors would lit added. Tht tlectrical. plumbing;and heat· illll systems would lit rt'plac:ed. Tht ((1St nt;nllltt for this plan was $305.000. Plan C called for a rltW courthou.lt at an uti· mattd COlt of S37S.OOO. Tht archittcts

""""""'" "'" C ill futors ind After consldtring desiring to reliin tho uisling court· houJt. Au~u,.. County chose PllIn B. rtnovating the courthouse ind con· ntcting It 10 i f\tW wing by i glassed·in walkway. TIlt work toolc apprGlCimattly

T1-1t: AlABAMA LAWYER

IS months to compltt •. Pu rson.

Humphries. &: Jones ....n tilt irchittcts and C. f. Hiluod Ccnmoction Co. of

MontllO"'try ptrformtd the won.

The ftnoYation and uplIns;on com· bined old and f\tW and was .. synthesis of Romanesqut and Modern archittc· turt. The f\tW wing wq built with the sarno: buff.coloml brick.u the oxisting courtOOuH. lOnd AllNma marblt was used throughout kH' stain lOCI wall sec· tions. The old buildi", rtaMd" com· plttt fut·tift ind Wli renovittd to rnu.imizt sound ind lighting effociency.

This pro;.ct Will completed in 1962 and the total =t appTOoKhtd S390.ooo.

In 1970 a ntw jail wu constructed or><.! again rearson. Uumphriu. &: Jones of Montgomtry servtd II architects.

Lynn H. Blii. ContrictorS. Inc. of AI~. Cily built the f\tW ,il.iL It was conSl r ucled on th. ust sid. of Ihe tourthousot and matchtd tilt brick and Slone matui.11s of tilt tourthowt build· ing. The new jail is connected to Ihe CO\lrlOOust by .. s«or.r.I.story enclosed

corridor. TIlt total cost of lilt projed waI iIlIIfOlIilfljttly 5400.000.

On AugU$\ 30.1!184. ~ United Su,tes ~plIrtmtnt of the Interior ,sUbHshtd the Daniel Pntt Hi.toric District in Prattville and nalmd the di.trict 10 the National Register of Hi storic Placn.

The dut rict <:()nSU15 of owr 200 prOper. t ies built ~tw.en 1840 and 1930 Ih~t repr.Hnt th. commerciil. industriil. residtntial. ind iJl5litutioNl architK' tuu of tilt city. The two courlhouits in Prllivillt t hit hive st~d Autauga County lince 1870 au among ~ .truc· tur" in the dutricL The author acknowledges the aull' tinCt of l'rattville attorney George P. Walthall. J r. fOf his help in obU,ining nIIIteriill for th is article.

• Sources: Au~uga County; 1'ht First Hundrtd ' ....n. (SlU9IS. co"",iltd by Duliel S. Grl)'.I972: Rer-t on 1M om· cialJ 01 Au/QUfJI' UNmIIl. J. T. Cofll'lin.

1911: llis/o'll of AUIQugQ COUrt/II, S~ric. Mirns, 1976.

MARCH 1995 / 81

BAR BRIEFS • Chari •• A. 1'.,....11. a partntr in the Birmingham finn of Powell &. Freder. id. ha$ been named chairman of the S«tioo of Labor and £mplO}'ment Law of the American Bar Association. This

.

section has more than 19,000 m.m~r$.

... Case information can be ...,,011 ' O'

~"""" Priru CS-22. CS41. CS--I2 CS-43 fol1llS

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and membership is comprised of attor-

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pract ices are largely devol·

ed 10 rtp r .. tnh t ion of employers, unions. employe. pl~intill$, public boards and administratiw bodies.

Powell is a 1961 gradoate of Birming· ham-Soothern College and a 1%4 grad· uate of !)Uke University School of LIIw.

• The American College of Trust and Estat e Counsel announces that Lynn Bulq' Ault . with the Birmingham firm of lange. Simpson. Robinson 0; Somerville. has been elected a Fellow of the College.

The Coll e ge is an auociation of lawyers who havt been recognized as outstanding practitioners in the laws of wills. trusts. estate planning.• stat e administration and related lax planning.

• The Montgomery County Bar Ass0ciation elected the foll owing members to rerve as officers for 1995: Prnldtnt: 1M II. DJpe/gnd

Vice-Pruident: Tom J . Meth~"'l St~tarylfnuunr:

Mark AndersQII

s....rd of Dinctors: William R. 81gnchard 8. Terry fImIL'n l<lUNJ Crum

Kent Garnlt Mike Jackson Colt Portis

• William H. Satterfield. a partn.. with the Birmingham firm of Bakh & Bingham. has b«n named to the board of directors of the National Waterways Conferenc •. The NWC is the national organization for America's inland 82 / MARCH 1995

waterways industri ... and is dedicated to the enhancement of t~ nation's navigation and waterways programs.

Satterfield receivtd his undergraduate degree with high .. t honors from Georgia Tech. his master's from Indiana Universi ty and his law degree . mg{Jf!a cum laurie, from Cumberland School of Law. • Jeffery J. Ihrll~y of Mobil. has been se lected as a member of th e National Bankruptcy Review Commission. Senate majority leader George Milchell made the apPOintm~nt upon the recommendation of Sen. Howdl Hemn of Alabam~. chairman of the Senate subcommittee on courts and ~dministralivt praclice.

After two years of in·depth analysis of the bankruptcy code. the commission will issue a report to the President.

Chief Juslice and Congrus recom· mending further legislative changes to the nation's bankruptcy laws.

Hartley currently is law clerk 10 Judge ~' arga r et A. Mahoney. United States Bankruptcy Court for the South. ern District of Alabama in Mobile. He is a Qraduate of Sp ring Hill College in Mobile and Ihe University of Alabama School of taw.

• lIIelUria Ludgood, former director of the tega l Services C(}rporation of Alabama. has b«n selected direclor of the Offic~ of Prog ram Se",ices al Ihe Legal Servitts Corporation in Washing. ton, DC. She assumed her r.t\>,. responsi · bilities on a part'lime basis in January and will complete her transition to Ihe new position by mid,spring. Ludgood has b«n !.SCA's director since Deet:m· ber 1991.

Ludgood .• Mobile nalive. earned her undergraduate and master's degrees in education from the University of Alaba· mao She graduated from Antioch School of Law in Washington. DC in 1981 and Tl'turned home to enter pri1l/lle pr":lice .

Prior to being named !.SeA·s e~ecutiw director. Ludgood had 5I.'rved on I.SCA·s board of di r.do~ sinee 1982.

• THE AlABAMA t.\\VYER

Attention Trustees: Is Real Property in the Corpus Secure From Civil Forfeiture Under 21 U.S.C. §881?

By [,oi. S. ",,,,,,,,,,... rd

1I variety of reasons. trusteH seldom ilNUl. _Is. "mthu princiP'l or income. ;n rut HIate ..... nturu: h(w.'tWr, tilt oorpus 01 a t1\llt rl\l)' ...~II '""IueS. .ul ~rty. A irnllor or tatotor. for tx.llllple. may pl= in lilt trust inc:orne·produc:inS renlal property or a family rnidtnce in which trust bendkiari.,. rnay rontinut to Ii....., [f the oo;cupants 01 this trust proptrty engage in tfrUin illrgal dru4· .. lattil ad;";tit!.. w trustee !NY find IN! the proptr'IY is the JUbjKt of a forltiturt Ktion uodt. 21 u.s.C. § 881.

A1tho\lgh Ihf tnW.« rNY be able to .. wid Iori.itun uNIn lilt "innocml o....nu,. dritnse ...... Ilabl. urKkr the statule. it newrthelw would ~ to undergo the oo.,xn lind upense of PllrlidPiiting in the forfeiture

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NOTICE

prOCmliRg$.

Thil article will diKlW thit far reaching forftitu.. law <IS it applies 10 truste" oolding rtal property <IS PII,t 01 tht t' U$1 CO'PUI. II fif$L will lummar;.l the

atntlll ()ptration ollhE frdtral civil forltiturt llatute'.

Indudill/il !Iv defmstUVolilablt under it. next will 1101. rttmt CONIitutioNllimititioos on this law, - ' thm willlddlU5 mort Jl)«ifially Ihr Wuel J trust« bca .....tIln rulty in tilt trust tither is uSotd in cortrJ«tion ....,m illicit drug·rebttd ~ty or ~coolles the subject

THE AlABA.~ I.AWYER

MARCH 1995 / 83

Operation of 21 U.S.C. f 881 In order to combat the increasing tfade in illicit drugs, Congress in 1970 enacted the Comp..,he.,."'" Drug Abuse PR""ntion and Control Act. ..... hich authoriud the civil forfeitu.., of certain contrnlled substances and the inslrumentl by ..... hich thue cont rolled sub.tances were manufactured and distributed.' This original law. which was intended to deprive drug offenders of the fruitl of their crime.' closely paralleled earlier laws providing for the ~izure and forfeiture 0( tangible property used in and thereby deemed "guilty" of criminal activi" ties.' When these forieiture provisions failed to stem tIw tide of drug trade .. anticipated. Congre~ expanded the range 0( property subjKt to forieiture to include fi"t the proceMs of ilieill'l drug transactions' and later all real property U>ed in COllllf'Ction with a violation of f•.deral drug laws.' This upanded forfeiture law enoompas$el the interestl of not only drug·dealing property O>'.l1trs. but abo any others ..... ho ""'y hilve an o"mership intere5t in realty U>ed in connection with illicit drug-related .ctivitie5' _ including trustees. absentee landlords. mortgagees.' or even unwililng C<HI'I'oTlt'rs.

The govomment's right to real property used in connection with a drug transaction arise. under 21 U.S.C. § 88l1a)(7) ("Scction 881"). whkh provides thilt (a) SubjKt Property. The following shall be subject to forieiture to the United Stales and no property right shilll exist in them: ... 171 All real property! including any right. title and interest linduding any leasehold inlerul) in the .....hole of any 101 Or tract of land and any appurtenances or imprCNtments. which is used. or intended to be used. in any manner or part. to comm it. Or to facilitate the commi~ion of. a ,iolation 0( this title " puni.hable by more than one ~ar's imprisonment. ...

Civil forfeiture proceedings are actions in rem and are gov_ erned by the Supplemental Rules for Certain Admiralty and Maritime Claims applicable to admiralty and Ill/Iritime in rem actions." Under the Supplemental Rules, an attomey general ""'Y initiMe forfeiture prOCffiiings by filing a verified oomplaint with the lederaJ district court hilviog jurisdiction <:NeT the subject property_" This oomplaint must "de"'ribe with reasonable particularity the property that is the subjKt 0( the action." This C(Nnplaint also mwt "state the circumstances from which the claim arises with such part icularity that the defendant or claimant will be able. without moving for a mo.., definite statement, 10 commence an irwestigation of the facti and to f~ a

1994 DIRECTORIES ARE IN! Members - $25 each Non-Members - $40 each MAi l CHECK TO:

Alabama Bar Directories

P.O, Box 4156 · Montgomery, AI 36101 Orders must be pre-paid 84 { MARCH 1995

responsive pleading: Once a ~rified oomplaint for the lorfeiture baud on federal statutOI)' violations has b«n filed. Ihe Supplemental Rules specif,cally pr01.'ide thilt the clerk of the court, without any judicial review. shall i~ue a summons and warrant for the arrest 01. the subject property: " lhe warrant then shalt be ""eculed and the property seized by the federal Ill/Irshal ."

Although the Supplemental Rules and Section SSI Specifically allow for the seizure of property PIlrsuant to ex parte proceed ings. the United State. Supreme Court recently opined that such sei~ures 0( real property - effected without notice Or an adversari.1 hearing - are constitutionally irwalid t • In United Slales v. James l)rmiel Good Real Prop;!rl!l. tIw Court ..,jected the notion that the fourteenth Amendment is the sole constitutional provision applicable to the Go-lemment's seizure 0( property subject to forfeilu r • • and determined that forfeiture proceedings also must oomply with the Due Process Clause of the fifth Amendment." The Court could find no oxtraordinal)' ci",umstanus thilt would justify pOStponement 0( notice and hearing in a typial sei,ure of real pro~rty under Section SSI (a)(7)." In the aru..nce of such exi~nt circumstances. the Court held that the govemment mu.1 "afford notice and a meaningful opportunity to be heard before seizing real property subject to ci,;1 forfe iture:" Accordingly, the govommenl may execule procus by serving tIw arrest warrant on the subjro real property, but may not ~ize such property until after a Due Pr0cess hearing. " Once process has bHn ....:uted. a person claiming an interest in property that is the subject 0( a forfeilure action must file a d.im within ten days after uecution and must serve an """,","" within t\o.... nl)i da;'$ after lhe claim has been filed.The respective burdens 01. the clailll/lllt and the g<:Nemment at a seizure hearing are well-.,tablished by slalute and case law." The claimant first must establish standing "" an owner of the contested property." Courts hiI,-e recognized that bona fide trwleos clearly have standing to assert claims regarding the property in dispule." The posst.. ion 01 bare kill'l title alone, without commensurate dominion and oontrol <:Ner thot proper_ ty. however. may be insufficienl to establish standing."

Acknowledging thilt d11lg tra{fickerJ oIten atttmpt to disguise properly intere.ts by placing titl~ in someone else's name, courts will look behind record title to determine if a straw man has bHn U>ed to conceallhot financial affairs Or il leill'l dealings of S()mt:One o\se."

After the clailll/lnt has established s!anding. tho> govomment then must show probable cause for the forfeiture by establishing the nectSS.'ll)' connection betv... en the reat property in question and the pr05Cribed activity,· Some federal circuitl require the 8O'"mment to prO'>... that the real :/lroperty had a "substantial connection" to the illeill'l acti';I)i. Although the Eleventh Circuit has not .. pre~1y adopted any standard regarding the degree of oonnection neceSlal)' for forfeilure of real property under Section 881 (.1(7).'" it has applied the "substantial OOnneclion " test to th e forfeitun of proceeds under Section SSI(1116l."

The Eleventh Circuit also has noted that any conniC! among th e Circuits re~rding the required degree of connection bt't".. tll the iliegal activil)i and the real pro~rty in question ""'Y bt' "semantic rather than pra<:tkal. ... Courts agree that the property must bt' used to facilitate a crime. but need not be

THE ALABAMA UWYER

t"", If an a..mr has klt.W I<no;o..~ of tho illtjj.ll adJo,;ty 'ntt8ral. tutnti.1ol. or indispelWOble 10 the criminit lransK' 1ion.:II The use 01 property for IItOtrat discussioos ~t ump«conntdrd 10 the property. foMeiture can be deftloted by PfI'M"4I irled drug Il'V'ISidions should not be d«mtd 10 hM: faciHtatw the absence 01 the owner's <:OI'lSI'lIt to luch actillity." tn the illegal aclillity.'" On tilt other hand. the prestllu or illten<kd ~;IMnth Cireuit. on a..'l\er can establish the rt{[uilile rtOO-con· IItnt by proving that it toolc all reasonable sups to prrvent the presence 01 drugs on the proptrty i, not I prertquiJite to fon.i· iIIegil lLS( 01 the prOJltrty." Courts in thil circuit hM: recogturf under Seclion 881(1)(7).'" Furthermore. the IIOWmllll'lIt nized that this "1WOI'IlIb1e efforts" standard an be Atisfied by need not lhow:any re"tiorl$hip be"'""," tho $\IbjKt proptrty oontICIing and cooperating wilh law mforcemenlwthoritit$. iIOIIlI1l' partirubr drug tl'lolUXtion ... I00/I u tho requisite 000~11y whella cWllWIt is unIbIt to hilt the il1tgl1 activity flfChon m.t>llfnrn.lly." FQrftitum!'Ny be prtdiGited on the on ilSown." ()C(Ut'fffICt 01 1 single dru8 transadion on the subject proptrty;>' Ilowev-er. at I.... t Neftnl Conllilulioml LImitations on Chil one Supreme Court jUJtiu ha$ ,ugge,ted Congn!ss expanded the .·or/.Uuro thltthe Unittd Statu Corutitutioo would The SWffPing KOpe oIlorititUfQ authonot permit the Mneiture oIlI buildin8 in range of property which lIIl isoIaled dl'Ull Alt tool< place.riztd unIItr f 881\a)(7) has tlten limitrd by subject to forfeiturt 1 I'fCmt Supmnt Court decision uphold.

To utabHsh tho fIoKUAry confIoKIion. ing 1 constilutiollal challellge 10 Ihis the IiO"f:mmrnl must show lhat it Iud II to include first the Ilitule. III Austin v. United Stoltl, the ' lWOI'IlIblt grour>d lor belief oIguilt. SUI>" proceeds of illegal ported by less than prima facie prool. but Court. IftU rev;'wing the hittoricll drvel_ more than reasonable luspicion"'" III opments of forfei t ur< laws. determined drug transactions and thai forfeiture under Seclion 88l1i)(7) is ord.r to make itl Cut. the lIO''tmm."t later all n!ai property netd not secul't :any criminil conviction.:II punishllll'nt iIOII. as such. is wbject to lhe limitltions of the fltCtlSM: filln dause In ,"iman!'s flilure 10 respond 10 used in connection C(In\.linrd in the EigJIth AmtndmmL" The requestS lor admissions rtgirding lLS( 01 with a violation of tho subjKt proptrty lor illtpl drug traf· Court declined. oo..'fV'er. 10 HtlbliJh :any ficking rNy seM iU "admw;o.,., on flit" test to determine ",t.ether a partico"r forfederal drug laws. feitu r. is constitutionally ucenioe.""In SUfrlciellt to sWport I wmmaf)' judgllll'lIt relT\l1l\!inQ the (.iUt to the Eighth Circuit for forfeiture. The govemmtnt also may Cou rt of Appul •. the Supr.me Court pruellt circunutllntiltl ~de",e lnd olh· noted thit tho connection bttwHn the property lIIld the oIIense erwiw illlldmissibit he"r~ ~dt",e." Ellidtnc:t that would mieht be re~t in determining an in rtm /orfeitUI't·. exct:J. wpPOrIlIIl a/ttmlltM try"othuis Slill is probatM 01 the isJut 01 but ",""mally staled that its dtcision should not limit probable cause."

Al'ltI' the governmenl has e:stab!ishtd p~1t calLS( undtr the lopr>tI"le oourt from considering other factors in making the flIthtr Itn;'111 mndlIrd dilCUSStd alxM. tho ,"imanl lhen this detennination."

In a concurrence chllilenging the Court's historical review 01 has to prow. "ha prepOnderance of lhe evidence. a defense to tht forftiture. Unlike the issuu of standing ,nd probable rorr.iture laws. Justice Satli, argued thllt the excelli",,",ss cause. which are matteTS of Ilw. the quution of whelhu, inquiry for 5tatulOf)' ill rem Mrf.ilul't. il different from the U$UloI exassivtnns inquiry for montt.ltry firtH lIIld in peJlOOlm c"illWlt tSIiIbIishes "SUfl"lCitnt delenso:' illl mailer 01 fxt. 10 be Rather than Iocusing on tho 'I:I~ 01 the property in fcnftituru. decided by tho flICI lindtr." lf a dainw>t has rtqutSled 1 jury rebttion to tho offense, Justi« SCllia. suggntrd thit tho I'tlrvant triltl. tho jury ITIIY heu inadmissible hears;oy t:vidmct during the ~Ie GilLS( portion oIlhe hurillg. CorrtctM inSIrucinquiry should """,ide. the rebttioruhip 01 the J>I'O(ltrty 10 the offen",: Can the foneited property properly be regarded as all tions by II court may not be ,uffid,"t to I'tllll'dy the prejudicial instrulll<1ltality 0/. tilt offense? I, the .el/ltioruhip brlwtell lhe effects of thi~ inadmissible e.idtnct." For this ruson. a juf)' property lIIld the offtnso:' dOH ~ to render the property. trlil W'y Med to be bifurcated ill o.der to IV(lid rev-ersible undtr traditionltl sundirds, -guilty" of !Iv offense lIIld thereby .~ .

III onIrr 10 rsUblish a dtftnse 10 Iorfdture. i cbtillWlt ot,.,,;.

Ioritilllbk?"

The Elevmth Circuit has not 1rtirul.Jtrd I Int 0<" ..et of factors 0U!Jy rni)' lotttmpt to show that the property ''''is not used in II drug transaction. SKtion 88l{lI)(7). howe.t •. exprusly pl'tl'-idtJ 10 lLS( in det<1TTlining ....h.ther 1 forfriturt is t>USSiw under the i nothtr j,nd more llillble) defell'" to an owner who neither Eighth Amendllll'nt This circuit. howewr. has JUggHtrd thai some proportionality inqulf)' is awropriate fO<" an OCt:J$ive fillH klltW of nor CGmellttd to the iIIellal activity on the propertyclause analysis." The District Court (or tilt ~Iiddle District of tht "innocent owner" deftnse ..• In order to prevail on this ddense lIIld thereby awid forfeiture. the a..mr mUJt nliblish Alolbamo.. drawillg on Sellil's COOC:u".",. in Awlin lIIld the EI_lIth Cireui!". C(lmmtnlS reglrding proportiOOilily. hloJ either IgnoRrtCe of" or non-consenl to the PI'OICribt-d KlMty". drveloped 1 "",,"Slep bltlanting tts! 10 dettrmine whether II lor· In onltr to nliblish ~, an .....,...r nm:I pr(M! only the feiture of relit proporty undtl' Section 881(1)(1) ";ola t~ the ~e 01 oc:tUQ/ ~. not the ibscno:t of comItudiw exass"", firtH clause.- Undt. this tnt. tho IIQWmmtnt hu tJwo ~." The tltwllth Circuil hu rtateniud that nothing in the lfgis"livt history 01 SKtion 881(11(7) I'tquim lo 5landard ini tial burden of establishing lo "substant ial" connectioll of"should hav-e I<no;o..TI ..... An (lWIltr. OO""'Wr. should not reI» on bet~en the defendant property and the drug traffickillg by its willful ignorance; if it has k.--.ledge 01 fIcts thllt Impl» iliegoo,l JOoo,.,i"ll a pattern 0/. iIltllll acliviti., occurring at lhe dtfendanl activity.i Court may wtll apect il to il"lYalillale tho I-itwtion." rell proptrty. If tho govern_nl tI!abli,hes thi, wbstantial

1Kt."

,iYmtP.

TIlE ALABA.'IA J.J.WYtN

MARCH 1995 I SS

connection. a presumplion in favor 0( forfeilure ari,;.es and the hurden shilis 10 Ihe claimanllO)l1'O\'t' It\at Ihe forfeilure is a "grossly di.prOportionole" punish"",nl gi,.. n II',t, nalure of lhe O(fense commiutd. A Court Ihen would balance Ihe v31ue afthe defendanl property against II',t, nalure 0( lhe drug Irafficking.

Other federal district courts also ha.... formulated standards by which 10 review an excessi .... fine. cla~ defen ...." SO"", courts t\a"e adopted a proportionality anal;,> is. while oth ..s ha .... applied MI instrumentalily lest; slill olhe. courts have used multi·factored lests that inCOrpOrate bolh the proportionality and instrumenta lity inquiries." In any excessive fines analysis. however. lhe .".,TI. .•• culpability should not b<: a factor. If the ucessive fines issue is reached. a determination 3iready will ha .... been made thai the claimant is not able 10 take advMltage of the innQCl'nt (J\"rwr defense and is. in some ... n.... culpable - if only b)' ....,;on of its negligent lailureto prevent the ill egal activity on the property. ~ Eighth Amendmen!', prohibition against excessive fines Ihereby presents an Opportunity for a claimant who cannot establish an innocent owner defen ... 10 defeat an in .. m forfeiture.

Trust..., and Ci..il Forfeilurt under S«iion 88 1(a)(7) A trustee who beliews tru,t property to b<: th reatened by forfeiture mu.sl sali ~ not only lhe obligations im~ on property .".,Tle" b)' courts under ~Iion 881. but also its fiducial)' duties. MId lhen mu.st address MlY connict bell,,«n these two sets 0( obligalions. If Ihis conniel is too greal and the potential liability 100 high. a trustee may consider ruignalion. consislent with Ihr tmm of the underlying lrusl instru"",n\. HO\<'e'.'er. if a lrustee has made a delermination that it will not or cannot resign. lhe trustee must aCI in accordan« with its legal duties.

Case I.w indicat.. that .n owner with knO'o>'It<lge of illegal aClivilyon the property should contact and cooperate with law enforcement ~uthorities. Cour!> have applied this standard to require a wife 10 lum in hrr husband or attempt to remove her...If from the illegal activity," Must a lrustee. therefore. contact law tnfortement authorities about an occupant's illegal activi · lies on the trust property, even if lhe occupanl is a beneficiary of the trust? Such an obligation would seem to connict with the trust .. 's fiduciary duty 0( loyalty to the heneficia!),." An even greater conllict ari ... when th~ underlying trust instrument specifically direcls the lrustee to retain the .ubjtct property for the u... of the occu\'ilntlbenefkiary and 10 p!'O'.'ide generally for his Or her "..,If.....

Ba\3nctd againsl the trust..,·s duty of \o;'.lty to a benefICiary is its duty to protect the trust ••tale." n.. P\l~ of a trust is "to pl'O'.'ide a fund for the maintenar\Ce 0( the benefiCiary white at the same time protecting the beneficial)' from his Or her cr;,'11 imp!'O'.'ider\Ce or incapacily,.... A truslee cannot allow a benefi· ci'l)"s actions to endanger or destroy the vel)' fund created for' his Or her _If.r• . If the trust property is 10 be used b)' otl',t,r beneficiari... either simultaneously or >ucc... i,..,ly. a trust •• also must protect the inleresls 0( these beneficiaries. A lrustee has an overrid ing fLducial)' duty to preserve truSI propert~ and. therefore. in the context 0( a Section 881 forf~iture action, mu.st do wt\atever is reasonably necessary to prese".., trust property."' consistent with its general fiducial)' duties.

A trustee «rtainly must exerci ... due diligence in maintaining and conserving the property. Although the EI".. nth Circuit

86 1 MARCH 1995

has indicated that MI cr;,'nfr will not be penalized under Section 88l{a)(7) on the basis of aclivilies that il should have koo..'11 were occurring on the p~rty," Alabama law may require a high .. s!ai,dard 01 fLduciari.s. HO'o>...... r. if Alabama law (lots in fact impose a higher standard on fiduci3ries. this higher ,\an. dard 01 dut~ should not operate 10 rai ... the standard imposed on owners under Section SSI(aj(7) as it aw]ies to trust ..s_A trust..,'. failure to sati~ its fiduciary dulies I"" ..s it ,'Ulnerable to claims b)' beneficiaries. hut should not affect the lruslee's obligations under Section SSL A trust.e who sus!",cts pO$sible illegal activities on trust property Ihu.s is plact<l in a difficult situation , [}eci.ions und ..

Section 88l(a)( 7) do not seem to impO$e on the truslee. as ""Tler, an affirmati .... obligation to diS«l\'<lr such activities. On the other hand. do a tru.t..,·, fiduciary obligations rftIui r. it to undertake such an inwstigation? This inwsligalion could COrlfinn the suspeCltd wrongdoing, provid ing the trustee with actu· al knowledge of the illegal activity and thereby requiring the Irust •• under Section SSlla)l7) to ta~. affirmat,,'e action to p"".. nt furth .. violations.

If a trust .. becomes aware that illegal activities are occurring on trust property which may subj.d thr property to forf.itu .... the lrustee must lake all relsonahle sleps to prevenl furthrr illegal u... of the property;n order to establish its non.;:onsent to such USt. and thertb)' perfi'd the innocmt .".,Tler defense to forfeiture. ~ trustee first may attempt to stOp the illegal activit yon its Q\;Tl by notifying the occupant lhal any such activity on the trust property cannot continue. A trustee should note. howoever. that ils corr<!Spondence with the occupant. as _11 as any docunwnts or ""'f1'I05 the truslee may produce lhal relate to su.specltd drug_relattd acliviti .., probably is disc<:M!rable. To the extont ,uch malerial ...i de",.. the trustee's koo..·ledge of illegal.clivity On the property. it may benefit Ihe gOvtmmen\', ca .... On the other h.nd. m.te rial, that r...... lth. trustee's attempts 10 prr...,nt illegal activit;', may help .. tablish the nonconsent necessary to prevail on the innocent awntr defense .

If the trust.., is unable to stop the illegal activity on its ""'11. it mu.st take additional st~P'I. A$sumi"l! the occupant is not a ben · eficia!),. the lru,tee may evict the lenant or. if r.idion is not possible, contact and cooperate with law enforcement authori · Ii .... If the occupant is a beneficiary, h<:M....... r. the question ol wt\at additional steps the trust .. is require<! to take in order to prevent illegal acti~i ty on the property is b)' no means clear.

Should lhe trustee attempt to ... 11 the property? Its ability to ... 11 trust property may be limited b)' the underlying trust instru· ment. If the instrument does not confer the pOWer 01 sale on the trustee or specifiCiI~ require the trustee to retain the ,ubject property. a sal. may he difficult. if not impossible. AIri prOfX)lltd

Lot. I. w _. n! """ S

"'''''''.'''';0. "'_ '" ". ..-.... 01

... $oM1 ...., C _ Sd<>OI 01 Low ~ "'... "'""'_ & ~

..,..-...

THE: AlABAMA LAWYER

sale might be challen~ by Ihe occupantlbeneficial)' or OIher beneficiaries.

Civen the conflicting obligation. pre ... nt in this situation. should the tru,ttt «<k instructions from the court' In seeking instructions from the court. thetmstee i~rknlly may bring illegal activities on the trust property to the attintion of law enforCl'ment authoriti ... who then may institute a forfeiture action or bring criminal charI!" against the occupantlbeneficia1)'. The bentficiuy. on Ihe other hand. may claim that the trustee Iw committed libel Or slander against him or her in its allegations regarding illegal activity. For this reason. a trustee seeking instructions from the court or attempting to ...11 the prDpfrty cardulty should consider whtther sufficimt evidence exists regarding the suspected drug activit)' 10 justify the proposed action Or to meet any claims the beneficial)' might assen agairutthe trustee.

If the trustee is unable otherwi!.e to stop the illegal activit)'. should the trustee be required to contact law enforcement authorities about ittegal activit)' on the trust property. possibl}> implicati ng the beneficial)'! The reasonableness and lleC",it)' of any of Ih .... abo'Je-discusstd actions ultimately is a Question of fact to be decided by the factfimler.

One. trust property is arrested in a forfeiture adion, the trustee should re'POnd promptly by filing the required claim and an'l\'.'!r to the complaint. The trustee .Iso should cont.,t the forfeiture and participate actively in att stages of the pra.

Cl'e<!ings in order to preserve and prott<:! its rights. A trustee's failure 10 effectiwly defend against a forfeiture action may leave it vulnerable to claims by the bendiciaries that th. trustee br'ached its fiducial)' duty to prot"'t the trust property. The trustee should scrutini.e closely the allegatioru contained in the complaint. as well as the purported connection belwe(n the trust prDpfrty and the illegat aclivity. tfthe trustee had no actu_ al ltno\o.'ledge of the illegal activit)' connt<:!ed to the property or. ewn if it had knowledge. did not comenl to such activity. the trustee should aswrt the innocent owner defen .... 1f, OO""oever. the trustee is uTlolhle iu<X«Sfully to assert the innocent O\<"I1.r defense. the trustee still may challenge thf forfeiture as an exc.ssive fine prohibited by the Eighth Amendment.

SummaI)' In summary." trustee confronting the pO>.!;ible forfeiture of trust property under Stdion 881(a}(7) must be mindful of both its general fiducial)' duties and the judicially imjXl6ed requirements an owner mu,t $.1tisfy in order to avoid forfeitul'!. as ,,'!II as aoy POlential conflict between these ... ts of obligations. A tru,t« must take all reasonable steps to prott<:! and preserve th. trust property. The scope of such action. however. is by no mearu clear. Uitiffi/ltely, the sufficiern:y 0/ any ste"pS takm by a trustee to protect trust prDpfrty is a Question of fact that should be determined on the basis of the twlit)' of the circm"';tances. taking inlO consideration any conflicts bet""een the tru,tee's duty to protect the property and any duty of loyalty ~ to an occupantlbeMf,cial)'.

•

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tv In • c, .... .nee...., ",,""'iIy Iha1 L",..;,g Co._.'6 U S , 1163, 1163 ~

IN 0"-"<10, anc1 l1li1 1M oIf6n .. it y PH""", Y.ocnr (1~1.). Proceech to" U'I<Ier !hose lorfeihnI ......... , ..-e. II. In """ ..:tiono ~ IN _ prop0t1y. _ ItwI In _ _ ~ 0QaInII1ho proprw1y _ . w><I II _

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THE ALABAM,\ LAWYER

co.o.r_

......, in<Ir>penden1 0/, """ ~ .....1Iect... ~. ally ",imInol pro~ In per"""",,,. /rI. n. 00 . . law lnIerpeting _ SlaMfll ;0

by M ""'""" cons..ten~ MMMIr. the P'oe>e<I'I _ .. innor;enee _elY Is no! • ~ to _ . SM..w.m y lA'liIed 51_, .25 LEd.lIl~. 500-03 ('900).

5 2. USC § 6elt.X6), ....:ted N<MImber 10. '916, 6, 2' USC § 881l_Xl). II1ICIed 0d0I>er 12. 1_ 1 Real ptoperty may be IorIIotec1 no! Di"I'/ t>oocause ~ was .-c1 1n ""'" IlIICbon "'"'" IIeQaI orug nlln$aC!lons b<A ...., I08CaJOO ~_ It>e ~ 0/1lUCh V.....cbOnI ms ar1icIe ..... _ _ DI"IIy tor1/1i. ..... 0I$nQ "" 11'01 _ 0/ iIeQaI _ CCIr'IO<.<:1O<1 "" or In .,.".. rooction wiIh 11'01 ...t>,eeI proprw1y 6 The ogIU 0\ _ In - . actiono"..,.. " - ' _ I n

'*

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920 F,2d 1lII:! (11~ Cir 1991); In '" _ _ 6'~ F M 446 (.." CO> 19611, TM s.cjed. 01$0 "'" - . 00;. 'M in - . I _ SM "","" The~ w.... _ _ E_~ l.i'>::W21 US.C. §881, Iht -kn::IcetI/' RigrItr, 21 To.. Tech L. ReII. 2127 (1990)

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Wilh acct .. 10 'he St>te law Library and We.l la",. we provide f••l and e ffki~n' .. rviet. Fordeadtine work. ~ can detiy", inform.lion 10 you .ia ~Ommon carTier.

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Fo r Research Assistance contact: Sarah Kathryn Farnell 112 M oore Building M ontgomery, A L 36104

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THE ALABAMA LAWYER

MARCH 1995 189

Post-Traumatic Stress Disorder

vs.

Pseudo Post-Traumatic Stress Disorder A Critical Distinction for Attorneys B~

Post-traumatic stress disorder (PTSD) is emerg-

ing as a frequently encountered and trou-

bling diagnostic phe-

Karl Kirkland. Ph.D.

PTSD. This information is cri tically important to attorneys involved in personal injury suits,

cases involving criminal responsibility ques-

nomenon in civil litigation, criminal cases, and worker's

tions, and work-related

compensation claims. This arti-

injuries where PTSD is

cle reviews literature and presents information concerning

important distinctions between actual PTSD and fab ricated

90 I MARCH 1995

alleged to be the primary explanatory variable. Practical suggestions are offered to differentiate behveen the two diagnoses.

THE ALABA.\IA u\WYER

Introduction Po.Hnu .....lit $\rtU disordrr (PJ'SD) is a ~hoioIIial di$OfdH tNt is rtUiY.ng considtn.ble IlIent;on in (orensic stllings since iu inilii;1 dtlCription in 1M nommc~ture 01 ~ia1 d",· IlOIItic ..... n~ls and jounuls in 1980 fol· lowing the end of the Vietnam War. Initial list of the term was conr.ned to po.\t·combal Irauma ruponsts. Un of the diijlfl()Jis quickly Ipread to 'Wror priatdy enwm~ a!>oJt of othe r typ<.

01 ..,>pOr\StstQ traurllol including natu· ral dis,uterl, criminll victimiution, /l,m'ly violence, work·related trlluma, lind otllt. ~nu "ooUldt tilt rIDjjt 01 us .....1 hUrlloln experiena tNt would be rlIoIrbdly dillrwing to almost a~ e.g.. serious threat 10 ont·slif. or p/IyI.i. al integrity. strioo$ threat Or hlonn to one's children. spoust. or other dose relltivt"s, sudden dutruction of one's home or (Ommunity, or stting rnothtr person who has recent ly betn or is being striously inju rt<! or . illed as the result of an accident Or physica l vio· lena.-' AI with any relatiwly new d;ag· nostic entity, tilt potential for abust or inapprop riate un of the term also tmergn. This """"" purp(lSt is to~· ate IIl10mrys to ~nt such misust in the lepllmll.

PTS. PJ'SD is I uniqut diagnosis in thu UH 01 tilt t.nn reQlli rts dtt.nnination of an . xternal pte· keeping condition: "posllr. to In event through "direct encounter or wit nus that invol''I'S ""tu· I I or threatened U.ath or l<riOllS injury combined with /I response involving intenst fur. helplnsness, or horror.""

The s}"rldrome then inwlws II triad of re>pOr\Stl inwlvinll" episodic unwant.d m:oIlrctions of Ihe trauma. emotio ....1 an..thull or numbing 01 fttlings. c0mbined w,th Iltight.ntillutonomic roer· vous system arousal resultinll" in hypuvigiliince and tIIsy irr itllbility sometimes eIIOlving into ~.

R.~xperience 01 tilt tfJ.UITII inwlw. intrusive unwanted visWlI images of tilt actu.ll ~nt, This feature ITIIY also u.ke the form of recu rrent drt~rru or night· marU . Specific environmental stimul i .uch as tht breaking of window glass THE ALABAMA UlWYER

that occurred during II fJ.pe or I'OIl«ry.

Or conditioned HISOMI·light V3.riation reminiKmt 01 tilt ~nt, or I time.of· 1M·~ar·anniwna.ry typtc phenomenon may trigger re ,uperienct of 1M r..'I'nt.

Aclual nuhbackl ITIIY be lin indudtd fellture.

Emotional antsthtsia involw. a lack of cont ..,t or awuenus of emotional factors Or ftellniIJ U a defens i~ mea· 511 re to protect t he individual from .motionlll pain. Emotional numbin g uiUiJly includes pervuiw UH 01 <!enial, with<.lnw;1ll from oIlltn, ~ pau~ms 01 iooilltion. Su.ch withdrawal and alien· ilion , ....11$ in !TIIjor impairments in inlUptroon,,1 rela t ionships causing marital prOblf1O$, pannling diflkulti... suu.l1 dysfunction, Ind lIeademic 0, vocatioml mallldjustment.

Heigh t.ned autonomic arollsal de5l:ribn the r.ght or flight rnponH which involves intense physioiogiclli ruponstS in the absence of a current e ~ ternll danger, Th ese respo nsu indude hnrt palpitations. Wortneu of bruth. chut pain, t xa.ggeuted . l.iIrtl. re.pOOH, difficulty concentrating, and VIIs"e solTlltic compliinls. AdditiOfllL1 rf~ttd PI)'ChoioIIial f tspon$U inclu<.le .vtn t · rdattd guil t , surv''XI r Suilt, bthloviorllllvo;d."Ince of ~nl ·rela .. d stimuli. memory i~irmmt, sleep dis· turo'llnct, incrtued worry, MId a fore · shortened stnH of ont'l own future.

PJ'SD ;s I dtfinabl., treatabl. diSOf' der t hat il rudi!y a... ntd through dinical inltrview, mediC.l.I histof)'. and psychological luting. Tht Minnesota Multiphasic P.rson.lity Inve nt ory (~I~II>n and the Minnesota Mult iphuic Ptrsoru.lity rn~ntory 2 ( ~IMPI 2) both hlow PTSIl seal.. thlot irt UHful in tilt asHWlltnt 01 PJ'SD ~ PKuOo PJ'SD.' Physiologic.al monitoring with biofml· back and ~ tquipment t..._ btm ustd in tilt assessment of PTSD.' Valid lII1d KCIIfJ." usewnent of PJ'SD cln be Iccomplish.d wit h cartful review of rKOrds. compr.lltnsive clini· C.l.1 int.rview, PI)'Chologiall.. tina;.lII1d musurtmtnt of imaS'ry. cogni t ive, and physiological responses.

P •• udo PTSD l'nudo or fabricated PJ'SD has betn

dHcribed in tilt liter"turf by at least two researchers ... • PlIU! t .es· Hllley notes that tilt typic,1 ~lopment of puudo PTSD follows a cemin course 'nY(llving an exterNl trauma. A critiC.l.I differ.nte bttween PTSD ind pstudo I'TSD ;5 that in tilt ... tter tilt .. ternal ewnt is often nol outsidt the range of normal human e ~pe rien ce Or is no! an event Involving act ual or th rea tened death.' In flet, the uter~1 ~nt in a civil cue Iliesing ps)'Chological injury mllY be l motor vehicle accid.n t or work :u;cidtnt thlot dots not mttl tilt pt.·lcttper requirement of ~rily as ootlintilllbuot. In crillli ....1casts. the-re ITIIY be In alleged Qu.llir"d """,t thlot occurmi in tilt pUt. but bean no cur· rent, aUQJ ,,"'tionship to the instant offeOH in Quntion, ther.by ..eluding actu.ll PJ'SI) U a ""lid forensic da;rrL

c ......mpl.

A 57-~ar·old married wh ite female was involved in a rel ati vel y mi no r motor ""hic!e accident. The re _re no physiC.l.I injuries to any party othe r than

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mlUotle JOrtntU. IiQwfw:r. tilt pot~lIt ~leged cltvtlopmml of PTSO symptOmS ill tilt Wttks lhat msutd. He. i)"IllIltom pict ...... worwned ow. limo. partkubrly of"tu ... lIillin, an attorney Mldliling II bws ... it. Her symptom piC\l,l ... involvtd sorm actl.lil but 1"iItllt. uagg.r"t«.! fu· tu ... s of PTSO. The pojj ~nt ",sited her family phy5i· ci an and wOJ truted with antianxiety and anlidep...uant medication. Ca ... ful review of 1M potien!"s hittory rtWal ed multiple pUt strtWm!lI prior criminal vktimiution. death of one of Iltr chil· dren. two puvioos psych;"tric holpiQl. iutioll>. alld m ... ltiple muitallfami ly problems). Yet, tilt potient bbmed Iltr ent in symptom pictun Oil the last t .. umatic rwnl (the lCCiclenl). thereby fig ..... tiwly "Ihootin, 1M messen~r."

The puient'l symplom piet ... . e was directly neptively affecttd by leaming ilbout PTSO from print media lInd her attorney. She abo became mOre "ill" wilh dewlOPment of lit igation feal ... res and other seCOI1dary gain variables. The cauSll I dewlopment of h,r t lltire lif•• 10118 symptom pictur' wH IKilillted by .. time line ~nt d;,.gnm.

Histing itm\$ in the MMPI.' Their find· ings haw lead 10 the establishment of typical l"TSD prdiln on the M."IPI "" I whole Ali wei' III on this SpK;"1 PTSD SQI~ In I IoUbsequent study. they complTed Vietnam vde rln, with PTSD . wrll-ldjwttd Viettwn \/tttrans without

"I'TSD is a le~itimate. potentially disahlin~. hut treatable psycho-

loj1;ica1 disorder that is sho\\;n~

up with

increasin~

frequency

in the courtroom."

.. It.....tlv....pl._tlons Filse Itlribulion of bL1.me is .. "limtion on actl.lil mali~ring. Rather than purposdul overt eugge rat ion. the I"titnt "1'1'"1""1 to u_iously ~ the tenets of the Itgil case lOCI thereby minimius ~l other potent;"l causes of the symptom pktu .... Thit can dtIItlop ;lItO a sitUlition that ,rtlln an act .....1 disservice to the I"ti.nl from II theupeutic point of view in thai acceptance of In inaccurale eliology of tM problem ;s fostered, ... prdlelJl of the !Illtcome of the bowsui!.

OoR rt mllin,ering should Iiso be rultd oot II the opentive "a,II$t" of the patitn!"• .I)"fT1ClIllm pict~. III thr.- of m;dinjtring. grad. dishonesty. and MJti.. social pfrtONlity disorder features are oomillittd II possible causal /actors in pseudo PTSO. Use of n:oJJd review, clin· icaI interview, interviews with third I"r' ties to confirm patient self·reporb, and tht MMPI are euential tooll in this

"',,'

Keane. ~' alloy. and .'iirbanlc devel· oped a 49 .i tem PTSD scale utilizing 92 1 MARCil 1995

PTSD. and mental hellth professioNls flmiliu with PTSO ill terms of thei r f"tSI'OII$a to the P'TSD scak.t The bollu two groups _ professiomlly t\l&luat· ed to ensu re normll f... nctioning and then instrucltd to rupood to the MMPJ items as ;( tht")' wort atiemptinQ to fabricate I'TSO lym~tomJ for pu!")"lOStS of comperwtlOfl. Results revuled that actual PTSO patients could be luctt$5ful1y dl~r;mi­ .... ltd from pseudo PTSO profilu on the twis of psychomet ric IlJIt$Smtnt with the MMPI . Sp"ifiul1y. both of the above puu(\o PTSO Qroups productd elevatioll' on Ica le F lnd the PTSO salt of the MMPllhat wefe sign,rlClllt· Iy higher than thoK of the group with Iht real disordu. ThtK rn ... lt, hlw important implic.atioru for objective. dif. fe re n t iltion of PTSD from pseudo P"TSD, I"rticuborly Whell HKwnrnt of tht ind ividual in .. civil or crimillal forfnsic (onlext is a ugm ent ed by a comp re hensi~ h iIIOT)'. clinical inter·

view. revie ... of QI/ previous mediul n:cords. MId interviews with wi(nQses MId othfr o;oIWrnl conllCtS..

Actual confirmation of the ....ture of W aluml strusor is Tf!q{Iired in the 1.11<'1 arena to rul e o... t pKUOO PTSD. Tht fo rensic plyc ho logicil Uptrt should be tlIptCttd to review the vett r· an's military record (00214 form) to wrify the nalur. and exltnt of actual combal uperie nc •. In additioll, tht upert witntn may nted to actually ",ew the crime scene, OA file, evideoce fil(. or I"'rlOllally view the damag~d automobilt in crimillilllld ci",1 cases to (ASu.( that glte· knper ronditiollll I .. met illlerms oI.,.wity of severity of tilt UlerNl stressor.

Epid(miolo,ic su~)'J of tM inci· dence of t .. uma IIlCI rHpIIfIstS to tnu~I ic tvtnl$ are also helpful ill the dotediOIl of flb ricattd PTSO. In one rKent slully. 1.007 )'OIIng adults ....... screen(d for the above variables. " In this SlImple tM findinv were that trau· "",tic ~nlt tluot Qualify for lhe PTSD stll1>$(lr definition ..... re relatively com· mon in lhat 40 percent 01 their subjtds report«'! III elll\l$ure of that magnitllde atlOmt ti_ during their life. H~r . the rate of dtwlopment of PTSO after such Upolurt '"n only 24 pe rctllt KTOII a,ltiOria of rnponst. . .w .•ling • high ....rft of resiliency and positM: eoping moong those ","110 do 001 devel·

'" I'TSI>.

Of port icula r interest in Ihis study ..... r( the ratn of develOpment of PTSD compll rtd by type of t Venl. Suddtn inju ry or being in a nrioUJ accident

TIlE ALABAMA LAWYER

IIad II(lo,.<tr nte U2 perunt ) than phys. k~l usault (23 percent ). Threal 10 life

(24 peranl). nt.... of the sudden (\uth 0( a 10'0'W one (21 percenn. and s«inll JOmwn~ killed (24 per«nt) all had wry

.imilar n Its 01 de.-e!opmenl 0I 1'1'S0. A markttlly higher nte of 80 percenl was obsel"l'etl in 'WIllen who reported npe.

This i. c~rtd to ~ 20 pucent ' 30 percenl incidence rate lmonll corn~1 Vidn~m W~r ".,Ieun •. " The finding UIlII 75 pe1"cenl oIt"- ~ 10 typO. Coli I'TSO events (with the exaplion of rape) did,1QI go on lode\-elop lhe disorder should be particularly unful to altornt)'S who art !feing claims oI lh is disorder npidly g"""'ing in civil. crimi1IlI1. and worker. comptnJalion cuu.

In the procell 01 <,IiHuenti,ting bdwttn I'TSO and J>5fUOO PTSO. it is also helpful to kncJo< tl\llt il may])( roe;· ther. MI 1inlluing hIS alrudy been mentioned a. a JI(Iuible compet itive di,gno.i •. Other possibilities would include .ubstance ab u5t. obsusive · compulsive di50rdul. nvere marital and lamlly problems. somatoform disor· ders. mood disorders, schilophrenic diloOrd,,, .• nKitty dilOrd.... and per· ~Iity disorders. As discussW abow. comprfhtru~ current usessmmt. IS wtll "" , heavy emphuil on (11/ r«onis prior 10 the lrauma and thi rd parly interviews. can be vita l 10 making the differtntial di;tgn05i •.

trauma ClIn mpond in .. vanet)' of """)'S, both .dllptive lind mll.dl"ti ..... Too often the IIUOmey$, and sormlimtS Iht clinician •. art poorly nmored. equipped. Or " rrpared to fe.ret oul lrue I'1'SD from pseudo I'TSI) or sorm other rtsponSf. This ulicl. points out Ihlt thtre an objecti.-e ~rob for KCUute dillgnostic c\l$li fiutio n in this emergi"ll are~ tnIot Qrl improw: Qualit)' of for.nsic QUlCQfTIU. C1u.rly. addition· .1 r.surch and nvir... studies in the Uti are also called for to improo.-e similar goal attainment .

• Endno t ••

, -..:an ps\'choluoc: _ . _ .

~ 3-d., [WooI_ ........ DC 1981) :l -..:an Psj'(:lWol<>C: _ . IMg.-I", _ Sr._OIl _ , 0 1 _ D,.",a" . • ,~ . . I W"~'lIIIton. DC

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THE AIABA.'1A I.AWYER

By II . Thomas II'flis. J ... Alabama State DElegate

IN

•

•

•

ANfl"UALMEETfNG The 116th Annual M•• ting of the American B.:Ir Association ....as held August 4· 10. 1994. in New Orlearu. l.Quisiarl/l. The muting highlighted a ~ar· long theme of finding "Just Solutions" to problems faced by the justice I,'stem and the profess ion. Ouring the meet · ing. members had the O!lIlOT' tunity to volunteer their time to work with several New ~ Orleans public service agen. cies to construct a "Habitat ~ for Humanity" home inside the Morial Convention Center that was later moved to a perman e nt site in New Orle.ns. As you mal' be aware.

Habitat for Humanity seeks to elim· inate impoverished housing and to make decent shelttr a matter of conscience and action. The house will be occupie<! by a local needy fam· ily seltete<! by Habitat omcials according to crit.. ia established by the organi.ation.

In his parting me,sage. rrr.id ent R. William Ide. II I of Atlanta. C~orgi. stated that he believes the duty of the ABA is to face and deal with the soc ial and political issues facing this country at thi' time. Ill' outlined a ten·point action plan which he believes must be initiated to add ress the public's dissat· isfaction with lawyers and the legal system. The action pI." ...-ould: (1) deal with all forms of public compla ints: (2) publicly denounce unethical action by la")"ers and judges: (3) isolate undignified forms of advertisements and devel· 01' an advisory system to publicly notify th~ wh~ advertising is considerrd undignined; (4) help I"'oplt find good lawyers by assisting state and local bar associations in restoring credibility in rderral services and by mount ing a compr<'hensi\o"t" public service campa ign that notifies poople of the availability of such services: (5) help people a\lOid bad lawyers by working with ,ta~ and local bar associations to .. tablish something akin to local "better b~i n ... bUr<'aus"; (6) stop unethical solicitation: (7) address the "billable hours syn· drome": (8( IISk law schools to provide curricula that is more "practice·orient· I'd". such as courses in ethics and client relations; (9) support our state and local bar associations ; and (10) bring the public into the system by utablish· ing a I"'TTl"lilnent non·lawyer advisory committee to the ABA. The ABA medal was presented to Justice William Brenrl/ln for his work in the protection of individual rights and accepted by his son, William Brennan.

• Jr .. a member of the House of De l. gates.

MARCH 19951 95

OPINIONS OF THE GENERAL COUNSEL

"' ';'" m

By ROBERT W NORRIS, general counsel "for several years [was an ~iate at a local

•

law fLrm. J)uring thai Ijlm l plaintiff hrought a ,ase 10 the firm. A 1>0\<' panner in lhe firm inws-

tigated the ca5t th(}r<)ughly. and after doing so, dedined to lake the ca~. I new. had any involwment in the ca5t nor did 1 ew. see or touch the aClual file. No suit was n .. , med. from whal I understand. After [ Idl the firm. I opened a practice in a bui lding with another attorne~, Recently. the defendants' aUornej> died. and the attorney in!llJl building "'ill be handling the case for the defendants. Thi, attorney has

.. ked me to also work on the flTe, and Ir.e dient ;5 in ag.n· ment My question is. Can 1 work for til<> defendants without

violating any ethical rules,'

EJ

"~=

Yes. you may participate in the rep"'stntation of the defendants. even though a partner at your forme, law fom on~ revi",.. d the plaint iffs file and decliflf'd the case.

; " . , ; ' " m

The probl~m you raise is cO'o'ered by the interplay of Rul •• 1.9 and 1.10. The Disciplinary Commission is likening your co-counuling arrangement with the other attorney to be employment by him rath .. than the

I

client. The gennal rule is that when a lawyer ",,'itches forms h. or she must have actual knowledge about a former client before there;s any disqualification or imputed disqualification in repreunting a party adw..., to the fo"""r client. While at your "old" form. you neither reprl'unted the client nor gained any spedfic knowledge about the client according to your fae· tua1.tatement.

The Comment to Rule 1.10. Rules or proressional Conduct. states: "Paragraphs (b) and (c) Operate to disqualify the firm only when the lawyer in\!(llved has actual knowledge of information prot«ted by Ruin 1.6 and 19(b). Thus. if (/ /(/u;!I~r ",hi/~ "'ilh

one firm acquim/ 00 1rnoIL'/~dge of information relating 10 a parlieu/ar clienl of Ihe fi rm. and Ihol lOWlier laler joined (Jf!()lher firm, neilher the /o"yer i"diuidual/Ii nOr Ihe >eamd firm is disqualified from represenling /molher clienl in the SOme Or Q mlaled mailer """" Ihough Ihe inleresls of lhe IWO clienls conflicl. • (emphasis added) Thus. und .. the Alabama Rules of Professional Conduct. a "mo"ing- law;..,r is only de.med to carry actual knowledge along with himiher. The new rom's situation is sUbj«t to that actual knowledge. Here. there is nothing that prelltntl you individually from representing this defendant. There is also no fonner client conflict to impute to )'Qur ro-couruel.

• [RO·93·03 ]

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NOTICE OF ELECTION Notice is given herewith pursuant to the Alabama Slate Bar Rules Governing Election of President-elect and Commissioner.

PRESIDENT-ELECT The Alabama State Bar will elect a president-elect in 1995 to assume the presidency of the bar in July \996. Any candidate must be a member in good standing on March I. 1995. Peti路

tions nominating a candidate must bear the signature of 25 members in good standing of the Alabama State Bar and be received by the secretary of the state bar on or before March I. 1995.

Any candidate (or this office also must submit with the nominating petition a black and white photograph and biographical data 10 be published in the ~1ay Alabama Lawyer.

Ballots will be mailed between May 15 and June 1 and must be received at state bar heildquarters by 5 p,m, on July 18. 1995.

COMMISSIONERS Bar commissioners will M elected by those la"'Yfrs with their principal offices in the following cir路 cuits: 1st: 3rd: 5th: 6th. place no. I: 7th: 10th. places no. 3and6; 13th. place5 no. 3and 4: 14th: 15th. places no. I. 3 and 4: 25th: 26th: 28th; 32nd; and 3ith. Additional commissioners will M elected in the5e circuits for each 300 memMrs of the state bar with principal offke5 therein. The new commissioners positions will be determined by a census on March I. 1995 and vacancies certified by the secretary on I>larch 15, 1995.

The terms of any incumbent commissioners are retained.

All subsequent terms will be f(lr three years.

Nominations may be made by petition bearing the signatu res of fi~'e members in good standing with principal offices in the circuit in which the election will be held or by the candidate's written declara路 ti(ln (If candidacy. Either must be received by the secretary n(l later than 5 p.m. (In the last Friday in April/April 28, 1995).

Ballots will be prepared and mailed to members between May 15 and June 1, 1995. Ballots must be w ted and returned 5 p.m. on the second Tue5day in June (June 13. 1995) to state bar headquarters.

98 I MARCH 1995

THE Al.AlWtA U\\VVER

ASB Roadshow '95 is "On the Road"! he first step toward incru.ing communication "within" the Alabama State Bar got off to a g~at start Pebruar)' I in iRcalur with the M(},gan Coun. ty Bar Association as the rorst stop of a two-<iay. six-associ-

T ation

And,,,,

trip. SlIMll ASB director of communications.

Melinda Waters, Volunteer lawytrs Program director. and Tracy Daniel. Alabarm Law Foundation uecuti,,, director, met with members of Ihe Madison. Lauderdale. Colbert,

Lime.tone, and Lawrence County bar associations.

The ROADS HOW '95 pre5tntation has been duigned to provide a brief OIitIView of the major ar .... of locus for the stat. bar in 1995. while offering member. and bar sufi an oppOrtunity for interaction. BrochuTn and Hyers highlighting ASS progralfl$, r• ...,urcO$ and $\'Nices are made a"ailable \0 membe r•. and a vide" on the Kids' Chance

scholarship program is also shovtll. The major pUrpOse of ROADSHOW '95 is to encourage input from the membership on wal" that the state bar can better serve individual and collective needs of Alabama la~rs, iIS "'i!lI iIS talk ~bout ;SSUe5 facing the legal profwion today.

A large percentage of association member5 attended each meeting and rosults of those discussions will be used to establish the dirtction of luturo ,tate bar efforb. Highest priority concerns included the areas of increasing the posi. tiv. publk image of lawyers and in strengthening unity within the bar through better methods of communication and sharing of re!oOurces. Complete ruults of the ROAD· SHOW "95 visits will be covered in futuro publications.

Additional trips are being scheduled at this time to reach iIS many stat. bar members iIS po$Sible. Any associa· tion that has not contactM the ASH about a ROADSHOW '95 visit or that would like additional inlo"",tioo should contad Susan Andres at 1·800·354·6154 Or (334)269· 1515.

THE ALABAMA L\WVER

•

MARCH 1995/ 99

The Mediation Alternative Participating in a ProblemSolving Process

By William D. ColerTWl

TtMo Lltlg.tor ••

pr'Mlem-.ol .....

Recently. I read of a I~r who ''"is c,uled to reflect upon hi. life', work ",twn a.lktd by his daughter: """'hat did

;' Discourage litigation,

you dOl today. Dloddyl" followed by

persuade your neighbor5

-Whlll don a laW)'u do, wYWIl)'?" The ~')'tr "'" dumMoorxltd, but surchtd lor iUl iUIfWC' he thoul/ht sourxitd pretty good: "A ~r is S(M'IltOI'W'IIW htlpo Pf<lIIlt with tllti. ksal problems. with problems they " - with ~ ~." Linly. you or [ mi,ht provide a .imilu answtr. IltJt ..iIlIt did you molly do yeolerdlyl Did )'011 relum urgenl phone

calls: wrile Itttt" to other IlW)'US r6p0r>ding 10 their leuus 0( tilt p.mous day; review docurmnts; lake depOSitions: draft pluding •• discovery .equells. ruponul or moIiOlU; or travel to. lind lit around. I courtllouse wailin, 10 ngue. and r..uliy arguing. your

motion in court? Did you Tully solrt illy

problems? In YOUT taR Iml did )'OlI.

or did you lnd the opposi ng Il",>,er. working t,*lher, $OM problems? Or

poort 01 it?

Y"'$uits ofItn ~m to ~ on

W!1l' you tiCh I

~ ,;~

Own - Ullf'ltUWry oornspondro«, protrxted ckpositions. ineffec· tM moIiollJ - with slaggering le~1 COlli lnd dday!,. but withoot focusing on 11K underlying t.lus.e of the di~te Or the personal or business object;"-es q{ a dient. Often. no one is attempting to

q{ their

100 I MARCil 1995

to compromise whenever you can.

Point out to them how the nominal winner is often the real loser in fees, expenses, and waste of time. As a peacemaker, the lawyer has a superior opportunity of being a good man."t

iOM the problfln Clitnll are bewming incnUinQly Wiry of Itgal costs and Insistent that unnecusary costs be avoided. They are apt to demand that busine" relationships and businn5 objecllvu ~ fnremo»l in the mind of Ihei, attorney.' They want tn hear hGw you will iOM thei' problem more than hear about what IitiQllion lactics you will USot in the lawsuit Thry ire incrtiS· ifIg1y familiar wilh illlerNlives IG liligalion, particululy medial inn. "'hich mNIY ditnll pe~iw to be the porw«.I lor Ih! QUl4mire q{ "anxhronistic" civil liti\illiion.

Th il .rlicle will briefly touch on rt«nt idvln(es in Aw..."", ol illtun,)t ive dispute rUOlution proceduru. where the focul il upon mediation. It will then attempt to an5WO" $Orne of the more common Questions about t he medial ion allernative: What is mediilion? Why not negotiate withoul a med;ilor? How is i mediator s.elected? Who should attend the mediation? When shoukllhe med~ion oct\lrl Ilow is the mediation tOnducud? Should I diKlow or hold bid< my cuds?

Brief hl.tory of medl.tlon movement In AI.be ....

AlttrNti..e Dispute Resolution was a tenn unknown 10 many Alabama atto,neys a f..... yem 1110. Today. "AUR" and "mediation" h"'e become "hous.ehold

TIll': Al.o\8AMA LAWYER

words" in our

~rolH.lion.

How did this occur so quickly? A uniqut ~ 0I1ht Alabami medialion movement hil bun its im~tus. In olher SI~tU. lhe norm h;u betn for ~ dockd-cms.cious judiciary to propost. il not coerce, lhe rnedialion pr(lCftS upon ~ relurtlnl blor. &t inAlWmloIht sute blor. actinS principall~ through ~ Task force on AlleTTlili~ Methods 01 Dispule Rfsolution (-rasl< Foret on ADR"). has spearheaded Ihe medialion movement Tht Alabama Civi l Court ~I~diation Nulu nlediation !l ulu"), drafted by the ~r's Tnk forc. on ADR. becam. eff«:li"t AuSUIt I. 1992.' AnnouncinS the ntwly adopled Mediation Rules on Illest pagt1 in July 1992, tht Ihrn-Chair 01 the Tuk .·orc. on ADR wrot., "Tho introduction 01 the ~Itdiation Rul .. i. oot likely 10 be remembtml IS I m.1)lu· tionlry slep in the history of Alaoomi ifgI.l PDCtiet. It is. hcM"n'I", .., rvoIu. tional)' "tp .... In faci. the Mediation Rules hh'e serwd u a catalyst for i quantum Ifllp during the past two }'tan in Ih. utiliution of mediation for tht •esolulion 01 caSH pending in Alabama courts. Ther. are circuil judges and m.diaton across Ih. ,Ial. who have lunlform~lion

embraced Ih. medialion process and "iIo illm to its benefits IS I docket and 1;lipllon ~nl 1001 thilt results in I high pernntag" 01 stUlunents ...ithout the slress, "pense ~ Uf\n" \.iinty 01 a trial.

Du.ing Iht past IWO }'tin. the ba.·s ronner TUk Force on ADR and its curmlt CommiUtt on ADR IocUIed primari_ ly upon efforts 10 t dUUlt lhe bar. the judiciary and tht public about tht media· tion process. Articlu hh'. been pub· lished in stalewide and local legal and business periodicals. Coun\)' bar ~ia. tions haw bHn encouraged and ;\Misled in organirinll counl~ bar ADR commit· I«s. Task "orc. and Committee memo btn hIoII! iIOSIoiIltd in pn$ftltine om>inal'1 on mtdiation lind (OIlductine mediator Ininine prognms. and hl~ i!Sisted in presenlinll programs II the iUte court judgea' mld·winte' conftl"fl\Cf in 1993, tho bar wociation «W!Ymt iQn in lw.t. lhe SUle courl judicial conference in 1994 and the new judge', orienlillion program in \ale 1994. Tho Tuk I'OIU on ADI! prepared and published in June 1994 an ADI! lIandbook wilh Medialion ~Iodel.' This lOrticit furthers. and is a part 01, thlt ongoing eduealionale!fort.

The Tm Foret on ADR. recognizing its need (or peTllW"ltflCe lind iocreased stltur •. petilioned Ihe Bond of Blr Commissionen in 1993 for lhe lransfor· mitiori oIthilt ilfOOp into I ptTTTIil>fnt commiUee. The BOlI.d app.o....,d Iht change. c.tating Ihe Committee on AlleTTliliw Methods 01 Dispute Resolu· t ion ("Committee on ADR"J eflective July. 1994. Thi. ~tion of the Boa.d is indicaliw of tht lUlt bar's .ecognition thai AD!lIw become a signif,,:anl and ptTllllOnenl;upecl of the practice of law that is here ~nd now.

The AIabaml CtnltT for Dispule Ro.wlution t"Cenler"'). C(lfICti~ in 1992 and funded in lile 1993, became fully open· lioniol in 1994.' The Ctnl..,. is located in thr i\.iIe bar buildine and maintai... MI_ c~lio",,1 ind rUllurce ITIloterials. The 1An1... will ....... as II cltllringhouse for ADR inlonmtion lind .om coordi""I' ADR PfOItnlTl$ Ihroughoot lhe sute. It currently mllin"ins ~ roSIe. (or u"" Ihroughout lhe mt. court system of persons "no haw regiml'ed "ilh tht Ctn\t1" 10 olfer thti . services as m.diators .

Establ ished II)' lhe bar. lhe Center operated initially IS an a1'lll 01 the bar's Task Foret and it n(l¥,. PfO'o"ks wpport for the

ADR Resources Now Available • ADA Handbooks With Mediation Model: The Alabama State Bar Commil!ee on Alternative Methods of Dispute Resolution has prepared a handbook addreSSing alternative dispute resolulton (ADR) procedures currently available in Alabama With a focus on mediation.

The purpose of the handbook is to prOVide a USeful tool for Judges and attorneys In utilizing ADR In Alabama • Mediation Training Information • Aoster of Mediators Available In Your Area • How to be listed on the Alabama Center For Dispute Aesolution's Statewide Aoster of Mediators For complete information on all ADR resources and programs call Judy Keegan althe Alabama Center for Dispule Resolut ion, (334) 269-0409.

THE ALABAMA I.o\Wn:R

MARCH 1995 / 10 1

W<lrk of the bars Comm itte. on ADR. Recently. the Center was placed under u.. overan supervision 01 a new Supreme Court Commission . discussed below.

On July I. 1994. the Alabolma Supreme Court Commilsion on Dispute Resolution ("Supreme Court Commi.,;ion1 was created by court orde r.' Chid Justice Sonn)' Hornsby. declaring it a "historic day" when he announced the creation of the Supreme Court Commission. slated that the order , ignals a commitment by the slale judiciary and Ihe Slale bar to mov\! toward altemati,.. dispute ... solution, which he recognized to be on the forefront of judicial ... form nationwide. fie emphasized that the creation oIlhe Supreme Court CommiSSion maintains the forward momentum of the ADR oIfort, where the foxus presently is upon mediat ion." The broad-bastd. 19·mem . beT Supreme Courl Commission is charged in the Supreme Court's ord.r with instituting guidelines fo r Ihe ordtrly progress of ADR programs and proxedures in the state court .ystem. supeovising the Cenler. initiating and coordinating community·based ADR program,. dewloping qualification criteria and standards of conduct for mediatOr$, and addressing funding for implementi ng ADR. "

Medi.llon defined Web.ter definu mediation as "interwntion between conflkting parties to promote reconciliat ion. settlement, or compromise." " In essence. it is "facilitated negotiat ion. " Mediation is accomplished by muns of a .ett lement conference presided OWr by a trained neutral party, the mediator. who wil l identify the issues. question perceptions. use logic. conduct private caucuses. suggest alternatives. assist with risk an alyS iS, and stimu late negotiation between the oppo.o;ing parties. And, the mediator wilt maintain decorum in the mediation proceed ings. The mediator will not hear te,timony or ~djudicat~ any claims or di'putes. Mediat ion is not arbitration. " It is an info!1Tl<ll method of d;'pute reso-lution that is strict ly voluntary, nOnbinding and confidential. The parties or the mediator may at any time discontin · ue the mediation. which i, ,uITeM{ully concluded only when the Polrt ies volun] 02 ! MARCH 1995

tarily reach an agreemenl for settl e· ment.

Negotl.tlon y...... Medl.tion ~Iany atlOrneY5 are ,killed "egotia· to,"" and they may perceivt no reason to engag., a paid mediator. Due to inherent difficult ies of dir~ct negotiatiOns between Polrtie,. there are a number of .nsons the use of a trained mediator will inere.,., substantially I~ probabili . ties of a successful negotiation. First. negotiating parties are reluclant to negotiate with perfect candor. They fear candor exhibits wtakrwss in their claim. or defenses. Negotiators strain to avoid "making the first offer" and refuse "to bid against oorsel""." ewn to avoid an impasse . Predictably, the mediator ",ho slre~s confidenliality is able to deter· mine much more quickly the true gap betwffn tho po.o;itioru of the parti ...

Second. mediation accommodates. face-to-face joint m«ting of the parties, but with a neutral party prese nt to maintain order. A party is able to ""nti. late his frustrations by expreSSing to the mediator in the presence of the other pari)' hi. ~artfelt perspecti"". and ewn his anger. Thi. experien"" is often ther· apeutic and sometimes essential to a succeMful negotiation_ Third. in the absence 01 a medialor. fe.lings of fear. ang.. or distrust by one party di rected at an "advnl<lry" may bring emotions to a boi ling pOint. resulting in rudeness and "'alk· outs.

The mediator can hold the emotions in check by using private caucuses and shuttle diplomacy. The mediator is able to discuss the interests of the part ie, ",ithout the emotional baggage that often attends dire ct nego t iations bet",een them.

Fourth. the trained mediator ",ill be bm. r able to recognize and leM! the ego need, of the parties. Egos must be separated from the proble m. (Sometimes, the ego needs of attorneys mu,t be addressed; they can foreclose even u.. possibility of a negotiated settlement. ) Fifth. the trained mediator can focus the raTli.s in the private caucuses on their inteTtSt •• as opposed 10 Iheir legal pOSitions. In all cases, it ",ill be in the inlerest, of the parties to avoid litigation costs and the risk of an adwrse decision by a third rarty. The mediator can steer

the partin away from "bottom linepo,ition, and have them focus upon their BATNA (Best Alternative To A Negotiated Agreement). " Sixth. a candid. private ow.essment by the neutral mediator of the relative strengths and ",uknesses of a party's claims can be given. " The mediator's <valuation often is ""tremely helpful to the partie,. dtpending upon the experience and expertise of the mediator with the subject mailer of the dispuk In .ome cas.. chen t. may listen more altenti,,~ly to the candid. privale asseM· ment of the neutral mediator than they do to tho opiniOns of their own counsel. ~·in.llly. because the mediator is able 10 meet and discuss the interests of the parties priv~tely and vi~ them obj,, · tiwly. he ;. in a better pOSition to ~Uj[. gest alte rnative meanS to re solvt the dispute. Mediated settlements tend to be more creatiw_

SelectIon of medlato.

The Nediation Rules providt that the court select a mediator agreeable to the rarti ... but if the rarties do not agree. the selection i. in the discretion of the court." The mediator is required to haw such qualincations as the court may deem appropriate. giwn the subject matter of the mediation. " In some of the more pOpulated counti.~ of the ,tate. the circuit court judges havt a li,t of pOlen· lial medi~tors in their circuit from which a choice can be made. A list of mediators;' maintained by the Alabama Center for Dispute Resolution. '" Befor. a=pting an aplXlintment, the mediator ~hould disclose any circumstances likel» to create a presumption 01 bias or to pre· vent a prompt mediation from being scheduled."

Allenct.nce al medl.Uon Mediation sessions are private. Gener· ally, only the parties and the ir represen· tatiw, "'ill attend mediation sessions."

Of course. the parti.. and mediator may consent to other persons attending. One key ingredien t for a successful mediation is to enSure that persons with authority to settle physically attend the mediation 5.,5ion. Being available by phone is not sufficien t. 1/ th e.. a re un.lvoidable limitations on the authority THE AUlJWoIA UlWYER

of tho,e ~ttending, such as where approval of a board must be obtained Or 5tatutory proc.dur~. must be followed before stltlemenu become final. such limitatiom 5hould b. disclo ..d and understood from!he ouu.tt.

Wken to medlat.

Mediation may occu r before Or after suit is filed, and ilafter suit, at any time prior to tri al. One ~Id keep in mind that the Mediation Rul •• are aM'l icable only to c.ases pending in circuit rourb."

The circumstances of each case must be cons idered in detHmin;ng whether a part icular d;'pute ;,; ripe for mediation.

M a ~neral rule, th~ mediation 5hould occur U soon 35 possible to avoid unne« ...'Y co>t< of litigation. particularly the cost of exteruive and expensiw prttml discover)'. but should occur only when there;s an understanding betWffn the parties of the maUers in dispute and remedies sought.

It i. important to cons ider the emotional state of the parliu. Mediation provide. an excellent forum for resolving controversies fo,te red or inAamed by emotions , but in some cases the process should be delayed to allow heightened emotions to wane.

Confidentiality A mediation .hould be approached with the WJderstanding that information disclosed to the medialor will be trealed as confidentia l unless the party disclosing the information agree$ otherwise. In all court--connected mediatioru in Alabama. the mediator i. prohibited from divulging confidential informa-lion. all reporU or documents received by the mediator art confidentia!. and the mediator rna}' not be oompellrd later to divulge either the fact that such document< exist or their content<." The parties shall also mainlain the confidentiality of informa_ lion r«eiwd during the mediation and cannot rely upon or introduce as evidence admissions or ..-ttlement proposab of the otner party. Or pr<ljlOSais or \;e-o.'S .. pressed by the medialor. Or that another party had or had not agreed to settl. as suggested by the mediator, Courts are prohibited from inQuiring into. or rta;tv. ing inf"""",tion about. any aspect of the mediation pn>cteding. or th( cause or THE ALABA."IA LAWYER

resporuibility for the tenninalion 0.- fail· ure of the mediation proce5$." No reoord should be made 01 the mediation pro· ceedings." \\'hue the parties mediate prior to a lawsuit being filed. Or subsequent to the filing but without a court ordu directing the mediation. the partie5 .hould enter into a pre-mrdiation confidentiality ogre.ment since tM Mediation Rules .... i]] no! be applicable_ Conr.dentia]ity i~ normally a centra] ingredient for a 5UC' ce!.Sful mediation. With ..spec!!O the admi5sibilily of. settlement proposal. one rna}' rely On existing case law limit _ ing or precluding its admiSSibility.

Preferably, however. the parties should enter into. pre-mediation confidentiality agreement. perhaps one whkh adopts the confidentiality and other provisions of the Mediation Rules.

The mediation proc ••• The procus for each mediation may vary wmewha! depending upon the type of mediation (private or court connecttd) and the type of di.pute$ fa 5imple -render bender" Or a complex case such

as the succesdully medialed school "equity funding" lawsuitJ. And the .. will be diffe.. ncu in the techniques used by different mediators_The lollo".-ing comments, howewr. will apply to practically any mediation.

A. Fec/lllh,.

A m051 important consideration for the ,ite of the mediation i, the adequacy of the faciliti .. _ a ,ufficient conference room for all parties to meet and 5ufficient ,mailer conference rooms for private caucuses .... ith .. pr.sentatives of each party. Usually. the mediation will be conducted at a neulral ,it. ,uch os a confeTl'nce room at the courthouse Or the mediator's office. If the medialion may need to go on into the evening houTl. facilitie, in a la ....yer. office or hotel may be preferable to a governmen· tal building .... hich may close at an early hour, Where the parties do not agree, the mediator may fix the time and pi""" of the mediation session.B . PN-Medi.tlon Statemenl

The Mediation Rules r«lu ire that each party provide the mediator with a brief

Te n th Ann iversary, 19'85

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Cambridge, England· July 2.7, 1995 F or f7Wrt In/ormaJion colUacl:

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Toler",,:

60 1-232-~138

CONTINU INO

k~~nON

~IARCH

19951 103

memorandum !oeuing forth the pa rty's po$ition with reQlord to the iuues to ~ resolved at least ten days bilore the mediation snsion." In actual practice such statements are not provided in rela· tively sim ple cases with ftw issues and ftw parties. In more compitl( cases. how· (\'fr, such statements can ~ ve1)' helpful to allow the nw<Iiator to be<:ome lamiliar with th e relevant lacts and key issues involved. This presents an oppOrtunity for the adl.'OCate to elfecti'~ly represent h;, client _ a good pre· mediation slate· ment that include. copi.. of key docu· mentary .... idence. diagrams. graphs Or organizational charts may be particular.

Iy helplul to the mediator and to the client if pre!oenttd in a f"""Table light for the dient. Usually, the pre-mediation statements are conside.. d confidential, and a .. thl!> prestnttd only to the mediator, not to the other parties. Thus. the advocate is pre!oented an opportunity to advise the mediator in advance of any unusual factua l or legal m"Uers th"t may bear on the negotiations.

Whether the parties will tile media· tion statements, wheth.r the statements will be provided only to the mediator.

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Alabama Bar Directories P.O. Box 4156 Montgomery. AI 36101 Orders must be pre-paid

I04 / MARCH 1995

and the nature of such statements should be agreed upon in advance betw.. n the parties with the mediator.

Such a statement, whether in the form of a brief or a short ktter, usU/llly should includ. an identification of the partie>. a description of the dispute and what damages are sought, a slatement of the history of past setllement discussions and a candid uselSmenl of the strengths and wealm ..... s of the parties' claims and defense..

C. U.di.tor'. Opotning

St.t.ment The mediation will ~gin in I joint!.eS· sion _ a rnttting of all parties;rnd their attorn~ y •. Th~

mediator will usually begin b}' introducing himself Or heT!.elf and describing the mediation process for those parties unfamiliar with it. The mediator will advise that there wi ll be "opening statelmnts" from the parties. followed by lhe mediator meeting indio vidually with the parties. The mediator should .treM the voluntary. coofidential nature of the proc«dings. The mediator should advise that any party may "opt out" at any time, but should suggest that no party take that action without first discussing their propo!oed action in pri· "ate with the mediator. He or she will probably make refe ..na to the inherent costs and risks of litigation. The mediator will advise that following the opening statements from the partie>. the mtdiator will 5umrnariZ( the significant pOints in contention. and when the parties agree the summary is oomct. the SUm· mary "'ill create the agenda for attacking the disputes.

D. OINning ,.,..••nt.tlon.

The opening pre.. ntations of the parties should be thoughtfully prepared.

This is an opportunity for the allomey, as advocate, to prestnt the elienfs poSi tion in an understandable and com· pelling light. It is as important as an opening statement at trial, but not sub· ject to the same !'Ula. In nw<Iiation, an advocate is allowed to pre.ent hi. cl ient's 'vitw of the world" in a way to help inform and explain. thus assisting in soothing emotional impediments to a resolulion. The advocate is not limited to referring to matters that h. "tl(pects to prove during trial." but instead may txplain hi. dienfs poSition bastd upOn hearsay. impTUsions. Or fulings.

Demonstrative aids may be particular.

Iy helpful in ",me cases. Such aids may include enlarged photographs Or dia· grams: time line charts illustrating rele· vant event. in ch ronological !oequence: blown up damage ca lculations Or accounting computations proving, or refuting, damages daimed; a videotape of the scene of the accident. or alleged faulty construction. etc. Keep in mind that the opening presentation, while ostensibly pre!oented to inform the medi. alor. should be used to attempt to con· vince the adverse party to change it. pOsition. The opening presentation can provide Ihe medlillor " 'i th his or her best tool for dis<:u!.!ing later with the other party in private caucus the relative strengths;rnd weaknesses of its poSilion.

In complicated caw; with wphisticat· ed party repr.sentativ... a probabi lit j' a!.!essment or "decision tree" analysis showing claims, defen ..s, uncertainties and probabilities. and resulting in an analytical """pected ,'a1ue" of. the claim, may set the foundation for approaching and attacking the untert.int ie> of the litigation. The application of a sound lit· igation risk anal)'!;i. can rrsult in good .. ttlement decisions.

Sometimes. the attornt}' should prepare the client to make a statement during the opening presentatiOns. Such a statement can allow the client to vent his frustrations about the dispute. and ..... n his anger with the other party. The client may be the best perilOfl to up ..!.! those feelings and such expression may fulfill the client's need to "say his piece" to the other party. Venting such emotional feelings may be ..... nli.1 to dear the way for an intelligent, objective search for a negotiated resolution.

Pri".t.

E. C.ucuses Immediately folloo..·ing the initial joint !oe!.!ion and opening pre!oentations. the mediator wi ll begin meeting priVately wi th each party. Du,ing these p'ivat~ caucuses, th~ mediator will .uk to ascertain the interests and nuds of the parties relative to the dispute. Using the "agenda" creattd at the conclusion of the joint session. the mediator will strive to l~arn th~ candid leelings of the partie> about the strengths and weaknesses 01 th~ clain-.. and d.re~ and, as is oII,n nee .... ry. will engagt in "reality te>ting" where the mediator i. of the opinion a

THE ALABAMA LAWVER

Help u s h e lp thetn.

~es

I~wyt'n

kgool rePr<'S<'llt:ltion rOT people wilholll IS n.odrd In PUt by who know tlut Abb.:IIJ1,1', poor drscrw Counsrl. SuPPO" AIaWn13 UopI Sen.;c"" WIth )'OUr f:lx _ deductible cOlllriilution of S 100 OT morroSelld )'Our check, pay;lble 10 AlabarJ1,1 Legal Se • "", 1<Xby. rv c

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Alabama Legal Setvlc~s clo~ ~

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party is not realistic in its appraisal or expectations of the c...... The mediator will cause the partie!> to devote attention to their BATNA.:II with due COI\5idtl'1ltion to the time. emotional stl'1lin and cosl of procu<!ing "" ith litigation.

The mediator will .... k c,..ali", way$ of removing impasses whi le using "shuttle diplomacy· in ~arch of a solution. A1. the caucus", continue. the mediator may be reQue,ted to prwide his or her appraisal of the rel ati"" strength. and weakne~s of tho claims. The mediator', respOnse is usually given considerable w~ight try the parti ..... The experiernd mediator will be careful. ~r. not to deli"" r the appraisal in a manner that indicate. the mediator has abandoned his or her position H the ~utl'1ll partici_ pant in the med iation process.

While each mediation is different. often the clients ~ a lar~r role in the private caucuses lhan they ha"" in Ihe prior legal proc«dings. Clients nwl 10 be able to discuss their feelings and e;q>r... their inlerest to feel a part of the process. On occHion. if the attorney. agree. joint meetings of the parties and the mediator without attorneys present can foster a resolution. In other ca~s joint meetings of the attorneys and mediator without the parties Can be helpful in leading to an agreement.

F. Holding th. "SmokIng G..,n" or "Trump Card" The mediator will !oeek to determine in the privilte caucu!oeS if there are any "smoking guns" that have not been di.· closed - a key witn .... an expert's find · ings. a key memo. even a SCI'1ljl of paper that proves a telephone conversation occurred on a certain date. Such evidence pr.sent, a conundrum. Settle· ment may become li kely o nly if the evidence is disclosed. but an attorney may feel th"t if seWement is not reached. the impacl of the evidence at trial will be substantially diminish~d.

Psychologically. litigators are not w.lIequipped to disclose smoking guru volunta rily prior to trial. Rulistically. hawewr. trial try ambush I'1Irely occurs.

Even if the oppOSing party do", not obtain the evidence in discovery. pre_ trial procedures re~ui ring exchange of exhibits before trial effectively make trial try ambush illusory.

The mtdiator may point out that. in 106 / MARCH 1995

order to cause the othtr party 10 signifi· cantly change its position. }'OIl need to give the party a reason to make that change . The impact of the "smoking gun" tvidence on the other pari)' during mediation may be grealer than any impact such evidence might have at trial. further, any experienero litigator knows that, 110 matter how unassailable a smoking gun appears to ~. all guns are sus.ctptibl. to misfiring if not back · firing. Coruickr the case where Pari)' A refuses to allow the lNdiator to disclose the existence of a letter written by Party B lhat effectiwly admits liability (a copy of th e letter having been recently obtained from an e~-empIO}'ee of Party B). In a private caucus with Party B. however. the mediator learns in confi_ dtllQ that Party H is aware that Party A has the letter. and he learns further that Party B is "lo.aded for ~ar." \\'htn the I~tt .. is offer<>d by Pari)' A at trial . Party B will be able to p1'Ovt conclusiw!y that the leiter was fabricated by the ex· emplO}~e months after the date of the I~tter and after Ihe employee was fired for embeulement. When a party holds his cards 50 close to the vest. he newr knows until he plays thom whether the other party has a trump card. Trials a,.. sometimn e ndured for the sake of gamesmanship.t the expen!oe of unwit· ting. but paying, clients.

In such circumstances the mediator is prl'dude<.! from violating his obligations of confidentiality to each of the parties. but he .hould .ttempt to avoid such games. manship by focming the parties upon their interests and needs H identified from the oulsfct in the private caucu5<!5. The client who pays the cost of admission to wilness the game may he mo'" inclined to $kip the game with its uncertain outcome in favor of a known resolution that sati!fies hi. interests and needs.

O. C/os..,re Once an agreement is r~ached. the terms of the mediation settlement ag,..ement should be put in writing. The importance of a wri tten set t lement agreement cannot be overstressed . At the end of a long and difficult mediation. the parties may feel a t,..mendous burden lifted from their .houlders and may be inclined to go celebrate or to "go back to work" at the office. N..... is:;ues can arise when parties try to exp..ss

their agreement in writing; tht~ is:;ues should be ruolvtd before the mediation is concluded if possible. If the nature of th~ matter will require more formal or comprehtrui'" legal documents. then at least the essential points of the ~Ule· ment should be listed and the pa rlies should sign it as a memorandum of their "gre e men\. In that event the agreement should exp ..,.ly slate that . more comprehensive document will be prepared. In som. instances it may be beneficial for the mediator to dictate the e~nlial elements of the agreement in the pre!oence of the parties and have the parties acknowledge on the t.lpe record· ing their ag rument to the terms as expressed by the mediator.

MecU.tor fees .nd .xpens.s Mediator fees and experues incurred in ,0nn~lion with the mediation proce,. will normally be horne e~ually by the parties. but the parties may agru otherwise and the cou rt m"y oth .. wise direct.- Some iruurance companies have established a policy of agreeing to prepay the cost of the mediation in order to induce a claimant to participate in the mediation process. Thtre is no .tandard or customary fee charged by mediatOr>. most of whom in Alabama are eithtr practicing attorney~ or r.ti red ju dges.

Practicing attorneys normal ly charge their hourly rate. sometimes with a reduction depending upon the nature of the claims and the parties involved.

Concl..,sion Mr. Uncoln's admonition more than a century ago about steadfast reliance upon litigation to rt 50lve disputes is apropos today. f~uently. ",hen the dust settl.. following litigation. there will be more

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THE A~ LAWYER

than one losing party. A Pyrrhic 'ictory is 00 victory at all. and it is even roore of a loss for a party "flo was never aw;...d of the opportunity to participate in th e "win·win" mediation alternative. The mediation pro<,,", ha.o; prQ\·en to be an ncellent medium for lawyer> to be p~ac~m.kers. II provide. their clients with a maximiud oppo'tunity to avoid the st,,,,",. exp<'rlSi' and uncertainty of a trial. The mediation "'"VI' is c""hing Il0\'0. all around us. Lawye .. who embr<>« the process can learn to ride the mediation v.-a,-e for the benef,t of their chent.<; and to the credit of their profession without running the risk of drov.ning in a nttd· less sea of litigation.

• Endnot.

Ln:.:>tl

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prJ"

pr .....,r. hoi< F",,,,, "" AOA "'''' 10 the Aiat>a'n8 Supro<no Court ~ the CMI Ccur!and _ " ' " ~ .... the "'all .... ~ by the ... Ie t.or. boetd 01 "., ~. a tosk lot"" ~ by Chief Juot"", Homst>y and 01 p..cIgoes and pel_ to $ltIdy ADR molhoOs. the o..tr;eJ """ c..CUI Court Judges Associa!Jon. OM "'" s.onct ..... Ccwmutt. . lot A"""""," to II"oe AI_a FIIOM 01 CM! Pror:ed<.oe. J _ ~,-C ..... Ccur! _"",Rule!."

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~ _ ' " " " ., Decembe' 1993 Judge JOM.,OM kUp. he has assogneG IOtII 01 284 cases 10 ,,,,,,10.. ,,,, dur"'lltho p!l$1 \'N'. onct of !hOSe 66 ~ 1167

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"'''''' IN....-.g "'" berch In 1991, " ' _ mo .... he hal con<I"" .... oppr""""ale/y 350 In ,''' p.., In, ... V<!all

In ......... 01 "'" la<ge< ,,"CUdS"""" ... one '" more judges wno _ _ aced ~ For ... ~. C~· cu.1 Judg e Dougla. I Jo~nllone 01 """"'- lias reler..o 100 ~ 01 the em cases set lot u~ OIl fuO dOCk8I. to ",,,d,",,,,,, .'nee ne 'ele"'" Iu. 11111 e..., " oomp4elc one •_ _ to_·

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Pholp' I nd Srmon (N<>. 199<1) Judl/O .10M N Btylll. JI. , _ presKIonQ i<"'IJft Of tho TentI1 Ju<j,elll Cireu~ 01 JeH..-son

.

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8 Tho lorma""" aM de.ell)""""" Of lhe Cenl .. wu 'I>P'O\I'" by Ihe tx>ara 01 C<ItIV?I....,.,.... 01 tho . ,.... bAr "" Octobet3O, 1992," '0$p0I\N 10 a petrtoe of """ ..... " bAr·' Task Force "" ADA The Cenle' ~el",e lundld in D.c.",~ . , 1993, wM lO!.TA tunds p rwrdocl by tho Allbl",a Low FOUn<TII;on In,""II ~ . lhe ",,-,"oon 01 tho te<It .. ..... ass;g""" as .... addrOOnlll duty 01 tho .tate bar"1 u-. o.-.ctor of Programs, ~eilh B NOtman, In AugUII 199. Ihe cenl,' ~c.",e I"II~ op" .. "on ll when Judy K.. gan (J 0

I

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. - in "'" med",_ process 01 the

,,,,,,.i ..

ng 97 ",,"e" 'ole"oO. obool 55 Iade<l 10 _ .. dur"'O medlaoon, ...., !he balance Ole in lhe procen C;,CUI Judgo Joseph 0 Ph6Ipo 01 MonllJO"'l'V osti· 30 to 010 prorcent 01 ~'" c ..n "Inll ol""wr .. would ~ 10

_ _ """'eIy

UNTILl\Q;\( TI1lEo::Mll\NJES WERE AlDlJT AS EASY 10 COMfI>\RE. "Th<::.. day<..101 of!illr: ~ claim 10 be ftnareially sound. 8"1100 oiI<:n. whal they ~ ~ isolaIcd ratios and >Utistia th.:It ... !d. truo measure <if frnaro:Ut $IJt1Igth. In they .... often AI Missi!&ippi Valley Title, we S;tw the need f... .IWIdanIiled o!aimr",~ing.abiliTy t:II.ing$ for !ilk insurm.

Th>t., " ... ~ we a.kcd to be ra!Od b~ Standanl & Poor·s. We wet<' si'..... "" A+ - the higbesl t:II.ing from s.&P in the ~!le inrlustry 1Od.aIrl - aIoog with our rlf,lial< and counderwtittr. Old R"p"hlie Notional Titlt Insurance Compan~. "'00 t=ived on A+ r.>ting r... tho ...,.,.,..j ~

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.\ tis.<is!.ippi Volley Tule.

• •

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MISSISSIPPI VALLEY TITLE • •• • •• INSURANCE COMPANY 3 IHombigbce SIrtCI. P,O. Boo 2428

jr l son. MS :l922S·H28 (((II) 969-0221 (800) 647.2124 (AUMsrrNJ

THE AlABAMA LAWYER

MARCH 19951 101

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NOTICE OF SUBROGATION Do you represent a client who has received medical benefits, lost wages, counseling. or funeral or burial assistance from the Alabama Crime Victims Compensalion Commission?

When your client applied for compensation benefits, helshe signed a subrogation agreement pursuant to the Code of Alabama, 1975. § 15-23-1 et seq. The attorney who has filed suit on behalf of a crime victim should give notice to the Alabama Crime Victims Compensation Commission upon filing a claim on behalf of the recipient. If notice is given, anorney fees may be awarded in an amount nolto exceed 15 percent of Ihe amount subrogated to the Commission.

11 you have questions, please contact Anita Drummond or Sara Myers at the Alabama Crime Victims Compensation Commission, (334) 242-4007.

l OS / MARCH IfI9S

TH~:

AlAIlAMA 1.l,wYER

Of the 22 WOmen who s.""" 0$ district, circuit, and appellate court judg.. for tho State of Alabaml, 14 wert in attendance at i recent lurw:heon Qivtn by the Tm Force on Women in the Legal Profession.

The purpose at the luncheon was to honor women in the judiciary during the midwinter diltritt and circuit court Judges' meding. The task force WilIOO Kelting input 11'0111 the judici.lry is to dirtction for its future illdiYities. The tuk force_ ntlblishtd in 1993 by tilt ~ Stilte Bl.r,

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THE ALABAMA LAWYER

_ _ ASII Di>'fcNt '"

MARCH 19%1 109

SAVING TAMMY FERRELL'S LAND:

A Legal Services Case

By William Z. !\-1esser ~gal Services clients art ~ definition poor, which

ofltn mean:! that a prob·

lem which would merely be an incon~nitnct lor

someone bdte.·off becornu a crisis for a poor person. ror uample, I low-income runl clitnt (~'11 all him lor) buys an old dillp;· dated a .-"al is: of «(lurK-from a Wdy ustd-u.r dul .., QrIIy to h,w, UK c.o.. bruk down repeatedly. This c"uses JOt to lost his minimum-wage job b«aUM' his employ.. will IIQI toleTlte any Iat tr\t$S 0 ' absences and an !Wily

find anolher unskilled worker to . tpbct him. Nul. J.... is Iknifd unemployment compens.J.tion btu"M' tht en probltm wu his fiUII. not Iht tmp!oyfr'f, and Jor annat get to 1IIOI.h. u job .... ithoullhe car, JO( his ncither the rollale",1 nor tM good emllt to gel , loan and 110 ultS his rent and utility monty 10 have Iht ca. fi l ed. By lht time his first paych«k comes in {rom I ~ fob. Joe', uti!ilits h.a~ betn dis_ COMKItd and he has rcttivtd an Metion nOlice. Wh.it btgall IS I single probltm 1115 mushAJOlTltd into I multilII)'tml di$l5tu.

On • "t)'PiaI" dIy in I ugal SerYicn offi~. Jot mI}I be just om of tight MW clitnls wilh similar prtdiu.menls that need to be <ltalt with immediat~ly. Tht frultralion lewl is high. but SO is tilt "'tisfiCtion whtn I legll Se rvices ll~r Cln gd 1M lighll lurntd ~k 0<1. (OIwinc:e tilt w,dlord 10 MOp tilt ~ion. suausfully appnI 1M untm· pioymtnt compensati on dtnill. Ind mookt IiXtpWla of tilt lemon sold by tilt used-ar daler. getting tilt dient's n1Or\t)' ~k. Tht gratiliu.lioo rtlulting from helping such. clitnt is a 'ignili-

110 I MARCH 1995

MiIh...,'-,..,._ r-,.

T_F...mI_",, ___ . . - . - " " " "

.. nmJI u.

cant rea.wn .... hy lawytrs cl\ooso to worl< with Legal Strvicu in AI1bama. likt any atlltr law o/flCt •• legal Strvi«s oIflCt _iii to prwidt high quality t.<gol,"lvkt Ind rcprt$fnution 10 ill ditnll. The problems fiCtiI by Legol Str.ica ran,gt from limple to ~ifli­ Iy complel<, "'ith III of lhem txtrnntly imporbnt to ditnU. To iIIustntt. t.1ke tht ease of Tammy femll .• ditnt who first came to the Legal SeMcn offict in Opelika in 1993 Ittking I divorco. 1 BtcaU5t of funding from Iht Alawm.lo Law f oundation, tilt Opelik.l offlCt has. domtstic violtnc:t projlet coordi~to •• Donna Htndt non. who sp«illize$ in rtpre5tnlinll victifl\ll of dornnlic via,~

T,unmy fernll rnilrritd J~ Bre..'tr in Octobor 1991. AI. tNt time. T<lI11my's aunt deodtd a 1.4 acn·$tCIOon of family land to Brewtr for the couple to live 00.

'_""""'-'I

Thty Ill(IVed into an old run-do•." house

OIl tht pfOl)trly. In JanU/lry 1994. B1'(Wtr 110m

bought a mobile h.ome. mort-

IIItII.ina tilt land, Uld had it I'I'IIMd onto lilt property. Timmy signed nothinll: Itld hid ~r ~ 5ttfIlhe docum..nll.

Tht couple IfIO'>'tII into 1M rrdMlI: home .tIortly lhereafttr and tort 00..11 the old

"""'.

On numerous occ.uions her huslwld phYlicllly and ,·.. b;!11y abused Tammy.

The abust tlcalated du ring the marriage. In February 1993. Tammy called tilt sherifrs (\fPl~nl ilter her hwbind illiCktd hn. He continued to thrt~ttn her, and her r... r and his trutIntnt 01 her dfO'.'t her to pSyChological counselin,. Timmy and her huswnd di\'OlUd in April 1993. but the di\POrce ....as set ui<lt lhe na;1 month when they rtconciled. In June 1993. Bre.... er tried to run OYtr Tammy .... ith a CloT. "nd the THE AlABAMA U.WYER

nut day he threw her o n the fl oor. ;'\'Iling and curs ing at her while slapping and h itt ing h •• all over. He Ihrew a knife at her. but luckily. it mi .... d. sticking into a wall.

Donna Henderwn med for a divorce On Tammy Fe"eW. benalf and obtained an immediate tempo.ary ."Straining order barring hmmy's husband f. om harassing. contacting. Or threatening Tammy .nd from visiting her home.

Alte. subsl./lntial efforts, Henderson was .ble to ""goti.te a di'"<:Irce settlement on the day of t .ial in which Tammy was awarded the 1.4 acres of family property as "'I'll asalimony of 5500 per month for 12 months.

Unfortunatel y, Tammy's prob lems were not over. Arter she I"l"lOWd away to protect hen.elf from the abust, her hus· band stopped making payments on the mobile home. During the divo.ce proceedings, Tammy tried to reach an agru ment with the assignee of the mortgage to keep the mobile home. but was refused. Ultimately, it was repos sessed.

Tammy Ferrell'. now e. · husband did not make the alimony payments Ilt was ordered to pay , and Tammy began fall ing furtlltr behind on Iltr bilts. Then she learned from a letter to her ex·hu.· band that her land would be foreclosed on July 27, 1994. Tammy came to "" another Legal Se",ice. attorney in the Opelika office on July 21), seven days before the <cheduled IO'ecto,ure ule, The attorney fi led a Chapter 13 bankruptcy to allow Tammy to catch up her debts and to pm>ent the 10&5 of her property. The fore<:lQ$ure. as w",11 as coi · lection effort. by other creditors, was automatically stopped.

Tammy's attorney then filed an adver· sary procee ding in ban kruptcy court seeking to haw the mortgage declared "oid on the ground that the property was home$tead when the mortgage was

THE AlJ\8AMA lJ\WYER

ent.red into (since Tammy and her hus · band were living in the old house when he mortgaged the land). and Tammy had never ,igned the mortgage as required bl' Alabama Code § 6·2-3. The usign« 01 the mortgage vigorOll.>ly and ~killlully argued that the mortgage was valid eit~r in its entirety Or as to lilt excess over the $5,(I(}O homestead exemption (the property ,",'as worth $7.(1001.

Briefs w.,.e fil.d on both sides, and IWO hea rings wer e held in the case.

Tammy and her entire family aU~nded th~se oral arguments because what was at stake was property that had been in the family for n.arly a century. The second hearing was held a few day • • fter Tammy had b«n released from the h0spital for treatment 01 a ruplured cyst, and her family stal'ed with her at the courthou.e and made her as comfortable a. possible while waiting for her case 10 be heard.

Ultimately, tilt court correctly ruled that the mortgage was entirely void as 10

the single and undivided lot of land .2 Since Tammy also had not signed the promissory note, the court lurther ruled that the assign« had no claim against

""

Tammy and her family had not com· pletely understood the judge's ruling, but they thought il might be good n",,·s.

Th.ir jo}o a\ learning that the land still belonged to Tammy, that it was .till in the family, was deeply touching.

Tammy Ferrell is regularly making her payments to the Chapter 13 tJUStee.

Once her debt. are paid off and ,he is earning enough money, .he Impes and int.nds to either build a home or buy a mobile hom. to put on her property, Her family will he lp.

• ENDNOTES Th<I cr....,rs oamo has """

1

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facts

t ~ ll~ct

whot

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~ . pp~n.d

tn t>e<

2 See Sims. eo>, 61 1 So 2d 339 (Ala 19921, Wo'~.

1092(""'. 19911.

p~.

575

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LEGAL SERVICES FIELD PROGRAMS Thr« Legal Se"'ices field programs in Alabama pnwide legal assistance to poor people in a wide ''''riel;' of civil matters. I~gal S.,,'ices of ~letro Birmingham. with !3 allom<,)-" and paralegals, :.ssi.ts eligible indi\'iduals in Jeff..· son and Shelby counties. Legal Se"'ices of North Central Alabama's I I am"QCates represent poor persons in Nadison, Limestone, Norgan, and Cullman counties. l~gal &"'ices Corporation of Alabama, the large$t 01 the thru programs. has 46Iaw\,,,rs and 16 paralegals in 1~ offices to represent clients in the .tate'. other 60 counties. A fourth program, the Alabama Consortium of Legal Se"'ices Programs. pM'ides training, communication coordination and other ,upport se"'iees to the thr.e field programs. In 1994, Alabama Legal Smices programs helped approximatel;' 25.000 clients " 'ith problems t71nging from AFOC toroning.

All three programs operate as independent non-profit entiti~, indirectl;' funded by the lederal gov.n",wnL I.a")">!rs appointed by the Alabama State Bar and local bar associations sit on their boards, The Alaba= La'" Founda· tion funds a tol./ll of eight domestic violence project coordinators, attorneys ",h= spedality is representing victims of domestic violenc. in br~aking the cycle of abuse. The Legal Services prOll"'ms assist the Alabama State Sar's Volunteer t.av.).. r5 I'rogt71m. ltuded by ~1e1inda Waters, by providing intake and eligibility ,creening of potential dients whom private la"'\'..5 have agreed to represent on a pro /xmo basis. I~gal Se"'ices programs also sronsor pri,·.te attornfy im"<:llwment projects, in ",hich pri"ate a1torn<,)-'s represent eligible I~gal Se"'ice5 clients for a fraction of their nonnal f....

MARCH 1995 / 111

AI_b_n'1I_ L _ _

BII A . Sco tt WltII. m •• nd Stephen L. Poer

Inll"lllludion The inltrseclion 01 criminal conduct in ci,';1 tori liabilily posts significant ;uKl ottm ditTKtllt policy iuuts for OUT courts. Wilh inc.tao;n!! f.. qu~ncy, c.imin~l conducl. 8tntr~lIy th~ PfO\'1llCt of crimInal prosKUllons. now forms Iht boosis for ~lItging pottnli~1 civilliabHity, not jUJt a,gaiMi tM c.iminal ~dO, but agairut third partiu with whom tM criminal aclO. hu some relalionlhip, A lint of deci.ion. by the Alabioma Sup.eme Cou.t (wt'r tht past decade has defined Iht narrowly-ci.cumscribtd slandard for Imposing a civil liwility in weh C»tl in A~ma.

This a.ticlt idtntifiu and analyzts thoso: dKisions.

The sptdal ..latioflShio or drC1Imllultu lui The courts' hlsto.iul reluctance to impost c;vil liability for tht criminal misconduct of third poortiu Is refltcttd in Move v, A.G, Cas/Ofl Motels, 499 So. M 1368 (AJa, 1986). In Move, tlw Alabama Suprerm Court obwvtd that. even at that latt datt, il had not j'd d~cided a 112 1 MA~CH 1995

linglt un "whon facts hvt comli~ility on ~ businns for inju.iu 10 ilf Invitees ~s " mull of 1M crinunal conduct of" third ~non." Id, aI1370. The JUpre ..... court conlinued tht uninlerrupttd Irtnd in MC¥!, upholdinlllM INI court's enlT}' of summuy judgmen t in (avor of a mottl owne r who had spon.ored " dance ~t Iht conclusion of which an aUtndtt was silo! and ~iUtd. Thr court rultd that Iht difficulty in imp0;5ing liability is twofold-lack 01 duly and proximatt cau$.lllon. In reaching i15 rtsuit, Iht Move court relitd upon Ihe tradi· lional .ult followed In Alabama Ihat "absent JC)fCial rdationshil'l' or circum_ '~r$. a ptrson hu no duty to protect ~nothtr from criminal K15 0( a third ptrson: /d, Thus, tM court dearly outlintd tM applicabLf $tand~rd for tht impOSition cia duty in tort_ Tilt s~cial rtlationshi p Or circum· 5t~ ttst was again IfIIllitd in King u.

Smith. 539 Sa. 2d 262 (Ala. 19a9). ",here the estatt cltM victim of a viaIfnI plychiatrlc patient sutd tht patitn!"1 psychiat.ist. claiming that the rrwKItd US 10 impose

psychiatrist's misdiagnosis of the patient"s ment,,1 condition ultimately resulted in tilt palient's murder 01 his daughler and suicidt. On the f~ch btlo.. it, tilt JUp ....... court Iound that tilt psychiatrist's limited treatment of lilt criminal Ktor, on In out-palient baiis, "'''' not sufficifnt 10 support I finding of the sp«ill relationship Or circumstance necnuT}' to impost I duty to protect anotM. from tilt criminal acts of a third party. Id. a/ 264. The court thus uphtld Iht JummaT}' judgment .nttrtd by trial court in favor of 1M psychiatrist.

Not long thtru(ttr, tht court hid a!lOlhu occasion 10 ~pply tilt sp«ia] r.llIionship or drcunuta"".s lut. in "'Orlon o. ~I. 564 So. 2d 9/3 (IUa. 1990). In Marlon, tho court held Hloitl per"", aUlultfd by a mtn ....1 palitnl ....-u not tntitltd to rteal/try against the pootimn IftllinQ psychiatrist, .....ho IW discharged tilt rmntll patient just <lfIO! da)' lfter tht pootient had bun involved in I physicai aiterc.llion at a psychialric hOlpital, Tht court htld that no duty no.....w (rom the 1»ychiatrilt to the indiT1 IE AJ.ABA"1A LAII'YE~

Caution!

Attorneys in Active Practice in Alabama Be sure that you have the required occupational license in your possession!

If you are actively practicing or anticipate practicing law in Alabama between October 1. 1994 and September 30, 1995, PLEASE BE SURE THAT YOU HAVE THE REQUIRED OCCUPATIONAL LICENSE.

The dual invoice which was mailed in mid-September provided you with the option of paying special membership dues (if you were not in active practice in Alabama) or buying the required occupational license to practice (if you were in active practice in Alabama) on this one invoice.

Direct any questions to : Christie Tarantino, Membership Services Director, at 1路800-354-6154 (instate WATS) or (334) 269-1515 immediately!

THE Au\8A.'\A LAWYER

MARCH 1995 / 113

vid ....1 pLiinliff i:>KauS( the psychiatrist did not know. or ~w rwoo 10 SUS{lKI. t/ut the psychLilric ~Iienl intellClfd to hum the pLiintiff. ~ wprerTll' (ourt oca:mIingly uphf,1d lilt IN] (OOrt's dismiual of all cboimslgainst the psych;'. t risl. In ruchin, ils ded.ion. th~ /lkNton (0011 distinguished the luding ClIlifomil decilion in lilt Irel, Tarasolf 11. Re{/fflIS at Uniwrsil¥ at CDlifamia. /7 CAl. 3rtl. 425. /3/ CDI. Rpl •. 14.55/ P.2d 334 (I976). Thm. tht California court had held that wh... a thrrapist knows 011 thrut of hann to a 5pt<:ific. identifiabl. third pe rson. thue is an obligalion and dut~ 10 Ust r.unrubl.

Clf. to WlTn th t intend.d vic t im against til.. danger. Til.. "Iabaml Supr.mt Court. IIowevtr. htld on til.. facts prtStnltd in IokJ<-ton. wilt •• IlItre was no sp«ifie th.oat of hum to an idtntifiablt third person or persons.

Iht psychill.isl had no duly 10 warn 19ains t pOnibl. wron,doing b~ 111.. ~litnL /d. 111 !//6.

lort liabilily arisin, from the criminal of II third Pllfl~ is roung o.

Hunlwill, f/ospllal. S9S So. 2d 1386 (AAl. 1992). In roung. I ferru.l. hospillli ~Iiult sought rtaMry lOglinst lilt hos· pitll for II crimirul iUIIoUIt which she cllimtd occu rrtd whilt sht wiS in illtgtdly stdittd ~Iimt of tilt lapiuJ. Tho pLiinti/l had. botn admitltd 10 the hos.pillli for Irelllmtnt of kidney Stonts and. whllt in tht hospillli. was stltually assaulted in htr hOlpi tal btd. {d. a/ 1387. 'ThtTf was evidence tllat tht crim· inal Klor IoU a tru~S5tr who prtvi· oU51y had bun w,mod by tht hospital 10 ItllW the premistl ",nd tht hospillli ~ not tl«ttd to tnforu il$ posttd vis· iting hours. 'd. 011389.

Tho (OOrt in Yo.mg applied 1M ~. cilll .elationship tut lIS slllted in tilt R.slllttmtnl IStcondl of TooU t 315 (1966). which providts as follows: Th..t is no duty to to (onlrol the condud of I third ~rson so AI 10 prt. vent him from c.r.using hann 10 another un/es&:

Uti

TM rOlliif' opinion

Th' luding Alalnoma appollat. dtcision upholding tht imposition of civil

{I)a spedal reiation.hip nist. between the acto. and tht third

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pe.son which impoJts ~ duty upon the ~clor 10 conl rol til.. third persons' conduct. or. (b)llsp«ial rdatioruhip nisll bdwun tht lIClor and another which ,ives rist 10 the right to prot«tion.

Id. 011388.

Applying Ihe Irtkut~ttd Ibndard. the court concluded that a Jlltcial Tflation· ship did ullt ~tween Young and the ho.pitll!. The court found thllt. in her stdaled condition. Young 10M unable to prol.cl herutf from any such assault ;and held t/ul a "hospital Or htalthu.re provider owes a duly to II .edittd Or anesthelind PIII;tnl, who, b«luso:o of such condition lnd tlK drculIlilllnus around il. is dependent upon the hospi. tal or htlIlthcm pl"OYidtr".ld. al 13!J().

In ruchin, this conclusion, the (OOrt noud Ihe ,rowin, nllional Irend loward u~nd;ns the slltdal relation· Ihip or circumstanca tXl'eption to the gtntfll rult 01 no liabilily. Id. al 1388.

The court emphuized. however. that "we still recognize lhat lill il difficult to impose liability on one person for an inlenlional crimi""lact by I third Iltrson .. .."Id. As a final nole. in addressing the uunt 10 which liabilily mighl bt imposed upon the hoIpillll. the Young court held that llthouth I rvlligenct claim would lit lOglinst tho hos.pil.ll. the conduci of tilt hospillll "''IS no! sum· cionllo Jwllin submif.sion to I jury of 111., elaim of wan lonness. Tht cou rt thus rru:ntd the lrial court's dismiual of Ihe plaintiffs ntgligenu claims but lffirm ed Ihe Irill court' s holding of insufficient tvidtnce to susuin a cLli m of wanlon""". Id. 111 /389.

~bJl_~_~

$99m 9Iippng~

Polt· I'OU", applicltlonl SubstQlItI11 10 its d.cision in YO<aIg. the Alwrru. Supreme Court ~ decid· ed _ral CISoU inyOlvin, the spoeo..l ~botiomhip or cil'C\lllUtllnCU Iut. with VlIoying mulls.

TIw/ford u. CiIN

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01 C/qnlon. 605 So. 2d. 835 (Ala. U92). WII I wrongful death action filtd on behalf of the utal. of a wife killed by 11... husb.lnd. The husband had been admitted 10' hotel room by the 11.01.1 manager after Iht ",ife had explici tl y reQutlltd of Ihe

hotel tnat the huob.o.nd not ~ "ll~d entry to the room. Id. at 837. The tri."ll court g.anud Jummllry judgment in favor of t he hotel and certlln othu defend"nts. The AllIbllm" Supreme Cour!. in II plurlllily per curiam opin· ion. m'el'Hd the finding in fl\lOr 01 the hotel. holding thllt jury questions exist· ed lIS to whethtr the hotel hid Kted ~~Iy in pt"rmilting entry into the .oom by the husb.o.nd Ind whether it ..-as lOrHtuble thllt the husNnd would harm the wife. Spt"cifially repnli", the inte~ning rnminlil xl 01 the hiliblind, the court. without citing the Young opinion, 'ec02niud thl! to I"«OWr Olg.l.inst the hotel for tilt husba.nd·s criminlil conduct, tilt plllintiFf ..... re«ui~d to es~liih tN.t the defen. dint knew or hlId ~lI5OO to know 01 the probllbility 01 N.nnful conduct by the hu~ lIgIinst the wife.ld. ul840. On the issue 01 plWimate cause. the The/_ lord court spt<;ifically nottd tnat crimi. nal misconduct is not an 'intervening cause" cutting off liabil ity unlns it is unfores«able.ld.

One should observe that, in The/lord, the court did not emphuize the ques ' tion of duty. but princi pally focused moJit of its analysis on Quu\i()ns 01 fore_ability lind proximate aUK. On the duly issue. the court relied upon the genenl rule. borrowtd from prior 00:1sions in other JU risdictions, thlt lin innkttpu hu lin Iffi rm"tive du ty. stemmi", from II QUest's right 01 prM. C)' ~ peacrlul posswion. not to illow un registered Ind ulllutho. iud third partin to pin lICCHS to the rooms 01 its 2UfStS. Id. al838·840. Although the Thtlford opinion did not spedfiully address the ReslitefMnt Inllysi •• iu findi"i 01 duty is consilient with lhe Restlltement tut. More imporlllntly.

Thtlford is II sitlnifiunl decision btcau.M: of its Inllysis of the .M:cond PronQ at illUt in these QSts _ prozj. rnate Cluse.

In NJ. v. GIWln Emmanuel Trmplil HoIinnf Church, 611 So. 2d 1036 (Ala. 1992). the court . eturmd explicitly to the 1\:Iung ind Resl.lt.mtnt lIPProochts.

There. tilt court upheld summary judg· ment in favor or" church which hl.d been sued by 1I minor who allegedly was usau l!td and raped whil e at the church follOWing the conclusion of I daycare $e5$ion which wu held on churc h

THE AL\BAMA LAWYER

premises. Pllint iff brought h •• OlCtion against both the alle2ed attach . and the church. $peelfiCllly cllIiming that the church had failt<! to use ~UONble Qll' in _r_ing the diyca..e prognm and ailowiTllil the aU~k to or.c:ur.ld. 01 1037. The supreme cou rt d.dined to apply the spec;11 reill ion, h ip or elr. cumsl.lnctl aceplion to lillbility and (ound that the plaintiff hlld (",led to ~ thlll the church knew Or should ~ known that thm: had been previ • ous c,iminal llCtivily at tho church Or previOUJ criminlll conduc l by t he lIlIegtd ItUcke •. ld. (111038.

In ,oother fecent ~ involving lin allclled <lSHult on mino ••. the cou rt p. ecluded liabil, ty ,g", n5t a ho tel owroer-optn tor. In E.H.~. lhe Owrlook Moun/Qm~. _ _ 50 2d _ _ • 28 ABR 13, p. 1339 (Jon. 28, 1994), I hoIel al"'-d ilIl individual to ch«k in with KYtrai difftrmt boys owr a period 0( time. It was lat • • lu rned tnat this individual se ~ua lly molested the boyl, while on the hotel pre mises. Although the hotel was aware that the attack.. was accompanied by the boys while at the hotel. the court held that there was no subsl.lntilli evid.nct indicating thaI the hotelwu lWall' of the cri minal act.< ~iTllil committed on the premises. The court thus affi rmed the .ntry of sum-

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1Nr)' ju~grntnt in f,,-yor the 11ot~1. In it, opinion. the couri lddr ... ed whelhtr the hOlel hlld /I duty to the individUll1 pillintifb. lind nC\lllniztd IhIII such i duty would uiH if thtn had bun evidence of. H rits of previous criminll Xli nWci ... the wbject crimi· NI conduct nllJONbly fortHUblt.

In Habich u. CrOUln C~nlra/ ""lroI~um Corp.. 642 So. 2d 699 (Ala. 1994). the court IIglin refused to impost ci vil1iabilily for third party criminal mi,candu ct. In Habich. the plaint iff. a conl'enienct non employet. sought ~r)' arising from her attack ind ripe by In int rude r II the $Ior~, diimi"ll that tilt J\on had bHn nflIli~nl in pr(lYidinQ i ufe won. tnviron· menl for its tmploye". MorfO''t"r. the plilinliff cliimrd that. unIItr the "!'Kill! nliltioJorWlip ueeplion. tilt sten hod ....

Iffirrlllltive duty to "rottct htr from criminal amult becaUH 0( anain poIi· cits of t he slort which ,h. clllimed dftctiwly rtndend htr as deftnHIe.ss is the Hdlottd Pilient in foong. On the fllcts prutnte d. tho cou rt foun d tho analogy to l'oung 10 bt unconvincing an d aff"med ent ry of summary judg· INnt in f,\/Or o/the ston ./d. a/ 701.

Tht supnmt court most recently. r.turnW to tilt specill nliltionship or circumslilncn Int in Sorruuo It. The K'1Isla/Co.. _ _ So. 2d ~ 3ALIV /3-14. Cil" No. /930721. 1994 A/il.

Luis 39Q (Aug. I!J!H}.I wrnfIiI"l .....th Iction _king rtCOI/tt')' against /I defen· dint filSt food rtSbunnt is II mull or II shooting wtuch oc.:urrtd in the Pirki"ll lot of tht prtmiHi. The distin. guishing tht f",ts in }-oong lind Thet· ford. concludtd Ihat Ihert was flO evidtnce thai tht restaurant knew Or should hive le nown that the plaint iff was in danger of bting injured. Thus. the rntlu"nt had 1>0 duty to prolect tilt plilintiff from the crimiml conduct which cauHd tht injury. Tilt court's discussion or 11w1fi:wd ~ 1'OImg_"", to WUtst that appliation 01 the uap. tion to the iflIel'lll Nil. should M limittd to circumstllnCtl whtrt t~ (",Is ~rt compelling lind fllr~giow {"'II in 'T"MIlOrd') C)<" ...ivrt lilt deftndanl has II dtar lind "!'Kilol duty to protKt I I'UIMrahlt pliintiff. such is t~ Piti~nt in f'oong.

CO"".

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Tht talk of balincing the harshness 0/ impo$ing civilliabilily on om .rising

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from Ihe criminlll conduct of al>Other against I~ tort $)'$ttm·,lI.gililNte pi 01 comperwt,ng victims 01 wrongdoing. is delicllte Ind difficul t . As Ju st ice 1l000ton o/I;Hrvtd in MOV'. -[iIt is this rtcollnilion oItht hllrsh reality thllt crime an lind do.. occur despite "";ely"> best dforli to pre"ent il that ..plllini thil COO,,'I requirement thaI the Pirticulllr criminal conduct bt fou· .uable lind thllt the defendant have 'I~cialized knowledge ' that criminal activity which coul d endang .. an invi· tee ...·~s II probabili ty." Mage 0/1372. ,l1orW\'lir. l.I JUltict Shorfs OOHT\-W in an tarly taR absolving i b.l.nle from Iii' bilit~ for i shoot ing which occurred during the coorH of I b.l.nk robber)'.

"Inlot all probltms 01 compl.. ""iety can M IOMd in civil htiption lhrdralJx o. CiI, Nlllio1lu/ Bunk of Birmingham. m So. 2tJ 594. 59S (AliI. 1982).

Yet ...mn alltd upon to resoIvt wch difficult i!.Sun as thoR pnstnted by the cutl discuutd in !hi, uticlt. the court has IIchit~d II lubnantial musure of balanct and conlistency by adhering to lhe Ipecilll relationship or circumsl.lrl«$ ~xception. The ruul ts ruched b~ the court In applying the ltsl. taken as a whole. IIffirm the court's legi t imate reluctance to iml't* harsh liability for the (riminll concIuct 01 others while pre· HTVi"ll1l N~ IYtIlUO! lor relitf whtrt ....:h relitf is durly wmanttd.

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he Executive Committ •• of

the Young Lawyers' Section held its second muting Jan-

uary ll. 1995, in Birming_ ham. Alabama. A great dul of the

diS<;lU$ion at the meeting concerned the upcoming .. m;na. at th e beach. You should note that the Ex«u\i\'t Commit-

tee approwd two change. in ..g;.tratiQn for this year's seminar. f irst. in addition to an tarly regislration 1« of $12{1. the Executive Commi tt n apprQved a reduced regist ration fee of $75 for I.wyt r! who have been admitted to practict for t... than two years, For this year's seminar. lawyers whow... admit· ted to practice ;uter ~lay ZO, 1993 will be eligi ble for the reduced fee. Second. those interested in playing golf must register and pay the required gr•• n ft. and cart Itt in """.nc •. A limited num-

ber of lee times ~ re av~il able, SO those interested in pla~ing in the golf tournament should rEgist.r early.

The $eminar will be held at the Sandestin Resort located in Sandestin.

Florida and will take place on May 19th wd 20th. You may make re.. rvatiOIl$ at the rtlort by calling 1·800·277·0800 before April 17. 1995, Aftu April 17.

1995.)'<lu may Itill make reservations, but on that date the resort will rel ..... wy rooIru; in our room block that have not been reserwd. You may regist.r for the seminar by cutting out the attllched registration form and mailing it, tog. th. er with )IQ\Ir registration fee. to Robert J. Hedge. P.O. Box 894. Mobile. Alabama 36103·5130, Or by rduming one of the brochures that wilt be mailed out soon.

Th. Execut ive Comm ittee also dis· cuss.d a joint proj ect betw.en the Young La,,'Y'I'fS' Division of the Ameri· can Bar Association and the f ederal Emergency Management Aswciation to st.>ff booths at which victims of dis.aste", may ask questions concerning t he ir legal rights. The Alabama YLS is rEspen· 11 8 / MARCH 1995

sible for providing valunte... for disas· te rs occurring in Alabama. This pro· gra m is being chaired by Candis McGowan and she is in need of wlun_ teers from across the stue. Prior to ,t.>ffing a booth, each wlunt.er is gi~n a short OOUrll' and a packet of Il'I/Iterials on the questions that victims often ask and how to answu them. Volunteers are prohibit ed from representing per· som see king help at the booths and must refer those in n.ed of legal assis· tance to a local ba, association ref."al ..",ice. If)lQ\l ha~ an interest in partic· ipating in this project, pl ..... call Candis at (205) 328·9576. Your help will be wry much appreciated.

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THE ALABMIA LAWYER

DISCIPLINARY REPORT T,.n..... to Disability lit_live St.tu.

• Dotllln ~ltomtl' GrogOf)' P. Tho..... W<U IrJn$ftrred 10 disabi!ity iTllC1iYO! IlItul, effective Jolnuary~. 1995. ThorNS' transfu wu ordered by the Suprtmt Court of AllIbilNl pursuanl \0 1I prior order of tilt Disciplinary Imrd of the Al&I».rm SLlt. BIr.IASB NQIJ. 92.289. 93-038, 93--0J9 I< 93·3291 • Pelham attomey Millard Lynn Jon.. , Jr. voluntarily tTllnJfmod to disability Inactive statUI. tffectiw October 6, 1994.

Jones' Irmsfer was ordeffd by lilt Supmm Court of A1a.twn. pursulnt 10 i prior ordH of tile OiKipl;na'Y ao.rd of the ~INI Stale SU.lASB No$. 91.a38, 9'2-292 &. 94-1851

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• Mobil. Iitomey I'Io1ritk M. Sulllvu. I\u lurnndtmt hiJ li«rIH to p<1(tief: I.Iw. In m onStr dated Novt!T1M, 23, 1994, tht SUII~mt Court of AlWIN, Iwtd upon SlIlIivan'IIUrmlde. of his liwuo, QlI«lIfd iUId ~ullfd Sullivln'l lictnM' \0 pOOi~ bw in this $I.Ile tffm.ive N(M!mb<. I. 1994. [ASB NOI. 94-063 and 94.(1751 • Tusaloou iUomey William Gary " oob, Jr. hu surnn· dtred his l;coo" to practice law. In an or<lt. dolt<! Novtl1'lbtr ]5, 1994, the Supreme Olurt of Alabama, !wed upon Hooks'

lurnnd« of his licenst, cancelled lnd annulled Hooks' license to practice la'" in this stale eff«ti~ Odo«r 27,1994, IASB

No, 93·172(A)1

.....,..,-.lon.

• The Supreme Court of Alabanu. in an order datt<! Decem· ber 6, 1994, sU$p(nded Birmingham attorney Bruce uland Jafft from the practice of law in 1M Slate of Alabama for I peri· od of thr« yeaTS. Slid suspension df«tl~ October I, 1994. ~id SWptnsion ",-as ~ upon bfl't', plading guilty in 1M Unitt<! Stain DiHrict Court lor 1M Northern INtrict of.~.

Iii. to a vioL>tion of. 18 U.s.C. 1371, in tmt .... knowingly and willfully corupirrd with an alitn in obtaini.,. entry into tht United Statts by willfully bIK m:l misleading repmaltations and willful concWmmt of fictI. 1Rule 22W (2): Pet No. 94-061 • On Deambtr 16, 1994. Anniston lttomry HIUi.ard WI)'M Low was suspended from tht priCticc of law by tht Alabama Sup~me Court for I period of 45 days. Thi' SUSpelUOon "'"as efftctM January ]5, ]995. Low ",u dll.rQed with tilt. .... illful ntglect of a legal matter entrusted \(l him by thl'H of his clients.

He did not contest \.... charges and agl'Hd \0 t.... disdplint ulti· • mately impo$t\l. [AS8 Nos. 93·143, 94-030 &. 94.ISS)

JUdicial Conference of the 11 th Circuit he meetwIO 01 the Jud"1CI31 Conference 01 the Elevef1th Circuit wiI take place on May 25-27. 1995 lit the Grove f'aIk IrvI. AsheviIe, Ncwth CatolWle. no. conference is being C<lOVeOed by the judges 01 the Eleventt1 C"coi1 to consider the business oIlheif rllspective ecurts (the ecurt 01 eppeels, end the district end bIInkIul)lcy court. in Al8hem8, Florkle and Georgie) and to deviM means of i'nprov;ng

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the adrninisllatoo of justice In tho!ie ecuns .

A Iimjf(Jd numb(Jr of spec(Js ere evellable 10 any IIlf0mey admilfad fO practice before the court of app9ais or any 01 the disfrict COUtts 01 the Eleventh Circuit who wishes fO elfend fhe meeflng. II an

attorney is interested in attending thIS eonle<enctI, he or she should Wfite 10 the CirCUlI Executive, NaI· man E. Zoller. 56 Forsyth St,eet , tNI, Atlanta.

Georgia 30003. By retum ma~, he will Iofward a conference regosuatoon form, describe the conferenee ' s hotel accommOdat ions . room charges and the subs18ntlve end socoal programs ollhe meetong..

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TIn: ALABAMA LAWYER

MARCH 1995 i 119

RECENT DECISIONS

By DAVID B. BYRNE, JR. and WILBUR C. SILBERMAN

BANKRUPTCY E le'~n th Ci~u it ~

in ,..""" ...1 "Y' that of We of FCC b~ting Ita-

tion.re ... hjed to OKIlri!), ,nt<'IUI Beach Televisioo Parlne'S. 26 B.C.D. 323: 38 F.3d 535: 11th Cir .. (Noy. 17,

1994). The debtor, Beach Televi5ion Partne,s (HTP), grant~. Sfcurity inlefts! in all of its personal property includ·

ing its broadcast ing licenses to Ori. Credit Alliance (O,i,). BTP tor 11 petitiQll, which Tat ..

med. ChaJ),,~

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ed to Chapter 7. After the conv • .,ion.

lhe trustee entered into a contract to •• 11 the Hcenses for $140,000. The bankruptcy and di,trict court denied Ori.', mot ion to b. paid out nf the

asstu. The appellate court. in m-ersing. sa id that because of the uciu.ive

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authority under the FCC Act of the FCC to control transIt< 01 licenses. there could be no security interest granted in broadcasting licenses. in thallhe Act did not allow an ownership intere.t in such "property". and that UCC 9 -203(l ) requires an ownership inluesl in an ass.etto be us ignahle, HO\oo-ever. the ~'CC has now slatfd that a security interest in the sale of a broadca.ting license doe> not ,;olate FCC pOlicy, which state"",nt allows the licensee private rights in the license. and. thus. as renetted in II! rt Ridge/Ii ~mul!irutions. bu" 139 B.R. 374 (Bkrtcy. D.MD. 19921. such interest Col.n be a perfected security interest. The opinion in one 01 Ihe concluding sen tences pm"idn, "A security interest in the proc ...ts of an FCC appmwd sal. 01 a broadcast liunse in no manner interferes with the FCC's aulhority and man date under thtAct to regulate the use 01 broadcast frequencies."

Chapter Ele"en deblo" aHorney, must be careful in retaining or seiling t.lUSl'I of action Harstad Comptmi£< o. First Americtm 8al!.I-.26 B.C.D. 310; 39 F.3d 898; Eighth Ci •. INov. 9. 1994). Keith and Diane Harstad (Harstad Companies) m.d Chapter 11 an February 16, 1990.

Almost two and a half yta .. lat •• they filed an amended disdosuu stalement in which it was stalfd they had not fin ished th.i • •• view and ",-ere uncertain as to whether thue ",-ere avoidable prderentialtra"sfe... There was nothing as to pref.rential tranife .. in lhe plan t'lnfirmed October 19. 1992. N{m.th.I .... on January IS. 1993. debtors filed a suit for almost SSSO.OOO against First American Bank (Bank), including 5140.663 paid t'l bank Qn December 8. 1989 for an insuffident cheek. The district court affirmed the bankruplcy court's granti"g Bank's mOlic", t'l dismiss On gr'lunds that the debtor had no standing to bring the action. and lurther lhat it WQuid not b.nefit Ihe utale. Th. Eighth Circuit affirmed h'llding Ihat the mere retention of ju risdiction by the bankruptcy court as to post-con fir-

mation matters was insuflicient t'l reserve p,deunce actions in the post confirmation Chapt.r I I debtors_ Th. court nQted t hat while they w.. e debtors in posses.sion, d.btors had the pov.oe. to avoid pulerences, bot faile<.! I'l do so. and Ihat the debto .. could havt retained th e right to reCOver prelerences by them or by a designated agent had the plan 50 prQvided. The Eighth Circuit said to"d'lpl the Harstads' argu· ment that 1I41(bl ''ests all prope.t~ of the estate in the debtor. unless olherwise providfd in the plan. would render 1I231b)(31 which requ;u~ specific language. a nullity. Section 1l23(b)(3) purp'lsefully reQuires creditofS to be alerted 10 whether the.e are pOtenl ial call5el of action. Finally. Ihe court said that as there was nothing IQ indicate the Harstad! wQuld relurn any recQ\l ered funds to the creditors. Ihere was n'l ~nef,t to the cred itors, C'lmmenl: It is difficult to ascertain from the opinion as tQ whether a full ref_ erence in the disclosure statemenl as to the debtor's intention to reLl;n "avoidable transfe .." as a post petition asut. and to disclose fully the facts. wou ld hav. be.n iufflcient evt'n though not mentiQned in Ihe plan. ~Iy suggestion is thai there be a specific state mel'll in both the disdosuu ~tatemrot and in the plan.

T'l conlesll RS c"'lm. be l ure 10 n,,-e notice. on U.S- attorney for dis trict /" N! Herntm<kz, 173 B.R. 430 (N.D. Ala. 1994. J. Acker). Debt'lr filed cont.. t 10 proof 01 claim med by IRS on behalf of th. Uniled Stale •. A copy of CQnt..1 was mailed to the Special Procedure. section of IRS. but neither Ihe contest nor notice of tontest WaS giwn the U.S. attorney for the Northern District of Alabama or Ihe U.s. Attorney General.

The ban kruptcy court confirmed the debt'lr's plan and sll5tained Ihe contest.

The IRS lailfd to appear becau>t il mislakenly understood that issues raised by the conlest had been resol'oed. Aller the bankru ptcy C'lurt denied tht United States' motion to set aside the 'lrder dis_ allowing the claim, the United States THE M.AlJAMA l.o\WYER

appealed to th( district court. Judge Achr r"ftrr~d to Bankruptcy Ru le 7004(b)(41 requiring ~rvice of prOCt'ss U]l<ln the United States by fi rst·ciass mail to the United States AUorney for the district where the action is brought and also to the United States Allorney General in Washington. Quoting In re Simms. 33 n ,R. 792. 793 (N.D. Ga. 19S3). Judge Acker determined that the bankruptqo court acted without ju ri sdic· tion as to the United States. and thus r."tr~d and remanded.

il.'! right to standing in the case on four grounds: III it is a JliIrty's "legal repre· Sl'ntatiw" as the term is used in 6O(b); (2) as former coun .. 1to the debtor. it is now a creditor of the estate: (3) it is • party in interest under 1109(bl: and (4) a. a matter of justice. Th . appellate court ..j.cted all th ... argument, in holding that A&K had no s!.m<ling as a former allorney for the debtor. which simply claimci that the wording of the opinion damaged it. although there was nodirect monrtary damage.

f ormer co u nsel not .1I0wed 10 n le motion for relief to ild15io:k judgment in whid! opinion criticized funner counsel Maller 01 £/ Paso Refinery, I~P.. 37 f.3d 230 (Sth Ci r. Nov. 9. (994 ). The bankruptcy court entered a memo opin· ion criticizing Andr ...... '" Kurth (A& KI for not timely filing an application for appnwal of the employment of a coruul · tanl. A&K filed a Rul e 60(b) motion when the bankruptcy court app ro,'ed employment of the consultant nunc pro tunc. In il.'! 6O(b) motion. A&K oojected to findings in which the consultant,' employment was apprO\li!d. A& K argued

EI",~nth CI .. ull ruin on A4b.>m. Low .. to competing lion. on homo.tnd. and gi\'fl ,,;mo. On rtal eltate Low Thomas Haas, Bernice Haas v. IRS & SBA. 31 F.3d IOSI (lI th Cir. Sel'l. 13. \994). ~btor filw suit to determine pri · ority bdw •• n a federal tax lien and a reinstated mortgage. The lax lien pre· ceded the reinstated mortgage filing. but the original mortgage was filed prior to the tax lien. The original mortgage w.. filed in 1979 and on Ma rch 31. 1986 .rroneously released. Thereafter. the IRS filed a tax 1i~n much in excon of the value of the real estate. Debtor fil. d

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Chapter lion OctOber 7. 199 1. Tne bankruptcy court he ld the reinstated mortgage to have preced~c. under tlw eQuitabl~ doctrine that th .... had been nO prejudice to innocent parti... The district court affirmed. b.ued upon the bankruptcy court's finding that the IRS had placed no rtliance upon the release.

On apptaj. the IRS argued: (I) 26 U.S,C. 6323 gives the government tlw status of a hypothetical lien crtditor. and (2) the $lime §6323 forbids application of the "relation back" doctri~. (Alabama does have such doctrine.) In reS]l<ln~. the court of appeals said that state law gcwems I'TOI"'rty or rights to property. and that the federal statute creates no rights "but mertly attaches con~Quences. fed· erally defined to rights under state law."

Thus. as Alabama is a title state. title pan.s with a mortgage to the mortgag.e. subjoct to the equitable right of rtdemption in the mortgagor which is a property right. Federal law ,,'<)uld then govern priority ... the federal tax lien attached 10 the property right of the mortgagor. The principles governing pri · ority are: (I) first in time. first in right: and (2) a fedtral tax lien i, superior to an

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THE ALABA.'iA LAWYER

MARC H 1995 f 12 1

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The Michie COf1l[><lny and Shepard's· have comb;n~ their Imowledgc !O bnng you an unrr«edenrw le\·d of corwcn·ieoce and reHability In ~l'(.h",S stale hw, It's Alab..ma On DiK": Shepard's- Edition.

One hlgh•.sp«<l CD-ROM contains MIChie's complC1e hbml'}' 01 Alabama law plus Sherard's com· prehensive citations co,'ernge.

Shep;>rd'~ oo"crs all relevant feJer.ll and .en" decision., allowlIl{: you I,): • undersrnnd the actual.1\31U$ of

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inchoott non·It<.It",1 litn. Tht iMo.oe here wols whether tht rul eJlal. mortg.o.g. lien _ in uimnce wIltn tilt Ia:l litn _ Ilk<! • -.- it prot«tN under Alibi· ma law against a judgmmt litn arising it tht timt Iht Ux litn was filfd? Thf cou rt uid Ihit under Alabanu liw. a m~ QIlCfll.1tion ~ be tlqlUnged if no inl'l<)«nt party if prtjudictd. bul that Alabama law protects .. judgment creditor without ootkt. Admiu tdly lhe IRS had the ftatUI of a hypothetical judgl11fnt crtditor. but .. llC:k of notict is not, requirement on the IRS. the IRS would ha"" priority owr the reinstated lien "'hich ~ bun roltaw! in .,ror.

Tht Ekwnth Ci!'CUil bolsttrtd it> con· clusion by reft-rring to Trusury Rtgul.1· lions lorbiddinC appIiation 01 a rdalion back prine,plt to _rd in Wlptrf«ltd lion priority 0Yt1' thr We lim.

Com"",nt: B«.aU$e 011"" Itdtnl law. the IRS ...-as fortunalt irodeN ... it did not loa", notic. 01 tho mistaktn SlItis· faction. and eondudN ilJtlf .. if thrrt had bun no SlItisfaclion. Tht ... ull hero may be a corr«t interpretation of the law .•ven though intqu itable.

SUPREME COURT OF THE UNITEO STATES

Prior o:o,"I,lonl lul,monll to ...out. <ioaTp of r«onl fabrkati ...... tht com· moon b .. pftYIill To_ ~J. ffrliltd Slales. Case No. 93· 689263 US L\\' 4046 (January 10.

1995). Uroder tht Federol Rules of !ovi· d,,,ct if In out·ol·court SUttmenl admis.siblt to rtbut an alltgation thaI Itstimony il a lit or the product of an improptr moti"" il the statement Wols made a/ter the 11I',ed improper moti"" lrost? Tht Suprtme Court. by a fi"".tofour decision. SlIid no.

Writing for tho ITllIjorlty. Justict Kftntdy held thIt tht 1W1t.IJ()J/d) / J){B). "ptrmilS the Int.Gduction of tht dedlflllflri comGItnt out-of-court statt· rntnb; .• onIywhen tI-oIt 5talmvnt> ""fft midt btfoft lhe chlo,","" rtunI f~· tion 01' improptr influtnce or moti""."

Thu$, Rule 1J()1/d)(J){B) ptrmit> the introduction ri .. dtclaranr5 conmtrnl oul-ol". court statements to rebut I charge of ftCent roilbritlOtion or Improptr influence or moti"" OI,IV whon those statements TilE AlAHAMA LAWVER

wtre I'I"Iadt be/oft the ch.uied ~ infIuera or mot"'" ocrorRd. no. ~ilina: common·Law rule for mort th.vo ~ CffItUI')' brioft IIIoption of the Federul Rults of &ident:r -.- tNl a prior con$IS\tnt llatement intl'OClo.ad to .. but ~ cha riit' of ftCtnt bbricJ.tion or impf'lll)H infllltflU 01' motive was admi>· sible if the stattl1Wlt had bun made ~ I~ alleged faIJrirolion. irIfluenct ar

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I30th McCormick and Wigmore state the rule in ~ mo.. categorical manner: "The applieiblt principle i. that the prior consistent stattmtnt has 00 rei.· vanq to rdute the charge unleu tht consislent ,Ultment wa.!I nwIt btfoN the IOUrce of the bias. inttrest. influ· ence or inuPloCily originattd."

The Supmne Court's Opinion ~ the 1oI1owina: Q\'Ot to tht prxtitiooer.

Permitting tho intrGduction of p.ior SlaltIMnts IS sub.l.nli..., tvidenct to rebut .....ry implicit chirge thil ~ .... itnesa· in-court testi mony .uulls from r«ent fabri. cation Or improper influence Or molive would shift the trial's ... hole omphuil to the out·of· court. rather than the in-court statemtnt.s. It may be difficult to _ert.lin "'htn a particular f.;>bri. alian. influenet or mot;'" ~rost in IOO"Ir castI. l ~r. II majori. ty of tilt o;ommon.Law court! wtIT ptrforming this tuk (0. 0 ..... a contUI')'. ~ tlor GoYnnment has p.tStnted 00 t\;cknce lho.t those court! 01' the couru lhat ~hrre to

the rule today ~ bnn unablr to make the c1tttrmination.

Itabt... COflIII ..... voIdanu of tht pnoat. d"noIlw 10 .\ICOn;'" pHitions Schlup/1$. 0tI0.. Case No. 93·790163 US LW 4089 IJ,nu1I1')' 23. 19951. Must, Iu",usivt habt.u petitioner who U)'l ntwly di$Covued ovidenee prO\'u hi' innoctnce show by cirar and convinein,g ovidence thit 00 reilSOOable juror could ha"" found him guil ty in light of such evidence? A sharply.divided United Statts Suprtme Court htld 00. ted by Jusllce Stevens. the Court ruled that ~ leu d.~nding stan""rd applies to such QSH lind that the ",Ii· honer must show tNt ·,t is more likely !two not tNt no rusorWlt juror would 11M: found him guilly beyond, ruson· Ible doubt." JUltice Sttvflll obse""d that thf sllndud. 'Ithough , lough one. bttter provides IdeqUillt prottc· tion ,gainst tilt: kind of misc.arTiagt of ju.ltia thai would rtwlt from 1M ue· cution of i ptT$(ln who il ...holl~ innoctnt. Thul. tht more Itnient standard of Murrav u. Carrier. 477 U,S, 478 applits. That dtcilion rt{juirts a habeas pttitiomr to show that -i cOllltitulional violition hill probibly rnulttd in the ronvidian 01 Oflf who if actu.ally imooctnl: Id. ot 496. rather than thr mort stringent So!rJlt' JIIOndanl. which JIOIIems !lot miSQrr~ of justia inquiry ...·hen I pttilioMr who has been sen· ttnctd to duolh ",ise. <I cloim of actual inl'l<)«nce to lvoid I proc:tdu",1 bar to tht considtrat ion of the merits of his COfl$Iitutionil cl.1ims.

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Judiclal Building Tours The Suplaue Court aI Alabama invIteI you to tour the JudldaI BuIldIng k- ateel at 300 De:d:er Avenue in downtown Montgomery. Tours are Milable Monday throuah Friday. 8:30 until 4:30 p.m. To schecIule a tour, caD (334) 242-1347 or 1..IJOlt-238 t088.

MARCH 1995/ 123

",. SuP«mt Court. in a trio .. ca56. hu elu.ly ami fI.mly utablished an u«ption to the pro«ilur'lll bu for fun· dlmtntal mi$Q.rri&lln of justite. i.e .• Carrior. 477 US. I t 49$; Kuhlmann v.

Wil son. H7 U.S. 06; lind Smi t h v.

Mum,y. 477 U.S. 527. To ensu.e I""'t lhe (undlomtntal misarri&lle of justice oception would . emain ".lft" and ~ ipplitd only In the utr~rdinary CaR. whi le at the same time ensu. ing Ihat reli ef woul d ~ t xlend.d to tho"e who lre t. u ly duerving. the Cou. t h as explicitly tied the exception to the !W ti.

Honor's innounct.

FinaJly. in o.de . to 5.ltisi'y Ctlrri~r 's "KtUII innocala ~rd: a pttitionu must ~ thlot in li&hI .. the TonI' ..,.;. dena. it is ~ linly thin not that. no I'UKIfIabk juror would ~ found him guilty beyond I ~uonable doubt The Iorus 00 Ktual InllOCfl'la: m&fIS thlot I Dist rict Cou rt is not bound by t ho ildmiloSibility rule$ thlot would gowm it t riiL but may consider the p.obat ive force of reltvant "";denu that was either wrongly excl uded or una~ilabl. at trial.

Chief Justice Rehnqu i.t and Justices

Supnme court fin'" JeMnlo. ~lIi",. mml In child pCIm<I(nphy .talul.

Ilniltd Siala III. X.cilnnml IIdeo. _ U.s. _ !19941. Thr Pro!«tion of Chil· d...n AgoU .... Suual Exploitation Act. 18 U.s.c. 22S2(aX2). proscribH the kn0wing receipt of any ViSUil depiction if luch depiction either was produced by the ust 01 a minor engaging in Stxual ly explicit conduct or i$ of . uch oonduct The Nint h Circuit held that the term "knowingly" applied on ly to t he ve rb "receipl" ami not to how the milttri.1 ,,'as produced or Whil it depicted. In OIher words. ... individulJ wl>o rw:ived a child IIOJI'IOIIrlPhy ~ would fall within the ltatule evm if he thought it conta,,,, JPOrt higtolighli, Ml 10ng "" ho k"."..ingly and physially rt«;lII:d the tipt. Ai i ruult of the st rict li<lbility III.tu~" tilt $lalule. tht Ninth Circuil found it urooorulitulioNl uod in 001<0· lion .. tho First Amendmtnt.

Thr SUp~mt Court rt\II:rwd tho Ninth Ci r, uif s ru ling. Tht l'ligh Court appl ied traditional rules of , tatutory construct ion

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James G. Ginn. J r.

Bim,fugham Mmillm: 1951 DiI.>d: Sept embor 14. 1m

Thomas C. Najjar, Jr. Bim"I!gha", Mmilled: 1958 Died: b nua ry 5. 1995

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....:I ... _il~\\'<_ tht .... IO . . .U idormabon ..... ...,ltdlortht "_ " MCbOn.

Curti. Lee Rouer

124 I MARCil 1995

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"",.4oIo6oooow ,-"'I'Iornoriob"

Atlmilletf: 19-t9 Ditd: De-u mbe. 28. 1m Marshall H. Fib;iN'lrick Hirminglwm """,IIIi'd: 19SQ nkd: Dectmbor 1. 1994

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Please Help Us

.1/OI'/goml!rJl

Admilletf: 1920 IMd: ]}tumbe r 14. 1994

uod uamintd.thr Irgislitive history. In doing 10. the Court bond tht "knoo.inl· Iy" rtqUil'Mltfll to ippIy not on1}> to the physiaol Kt .. reuil.il\ll the mattrial. bul ilso to tht Jl.Ib;rd or method of pnxIuclion of the mIltrill •

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Mmilletf: 1993 Dkd: ]nctmber 17. 199-t

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'156 ~-­ ~.O'IIoo

_ _. AL 36!0!

THE AlABAMA I.AWYER

Marshall Hooks Fitzpatrick HEREAS, Marshall Hooks Fitzpatrick. a natiw 01 Bi r mIngham. Jdlerson County.

Alabama. departed this life on December I, 1m. at the age 01 71. a 10"lltim. res ident 01 Cahaba Heights, Jefferson County; and WHERF.A$, h. attenMd Yale University. and was a graduate of the University of Alabama and its law "hoot. He was an associat. member 01 the Alabamu Low Re"iew. a membe. of the Farrah Ord.. of Jurispru dence. and a member of the ntlense Lawyers Association. lie seTVed owrseas with the 86th Blackhawk Divi_ sion dur ing World War II; and WHEREAS. ~larshall was a member of the Cahaba Heights United Methodist Church and took an actiw

W

Robert Clifford Fulford IIER~;AS.

Judge Robert Cliffo r d Fulford. a member of the l:Iirmingholm Bar Association since 1947. died allhe age of 75 On October 29. 1994: and WHEREAS. Judge ~'u l ford was a natiw of Ceorgiana. Alabama. and graduated from Ine Universit~ of Alabama and the Uni"e1'$ily of Alabama School of Lawi and WIIEREAS. Judge Fulford ,erved his country wilh distinction. serving as an officer in Ihe Uniled States Nary during World War II and the Korean War: and WHEREAS. Judge ~'ulford was acti,·" in elm.. , for his community. ,tate and nation. wor~ing in politics Ihroughout his life. and se"'ing M a member of the Alabama Democratic Ex"culi,,,, Committee: and WHEREAS. Judge Fu lfo r d wa, appointed 10 the United Slates Bankruptcy Court in 1985. in ,,'hieh

W

TH~:

ALABAMA LAWYER

interest in the United Methodisl Children'. Home in Selma: and WHEREAS, our colleague is sur vived by his wife, Sue Fihpatr ick: daughters. Ilonnie Keith and Te"ie Branch: a wn. Marshall Fitzpatrick.

Jr.: a ,ister, Dorothy Wooten: and a grandwn , Regan Branch: and WHEREAS. we, on behalf of the membe .. of the Birmingham Bar AssOGiat ion. desire to uprus our deep regard for Maf$holll Fitzpatrick and our profound .. n.. of loss in the passing of our coll eague who !eT\-",d the legal profession and judicial S}'Stel'll of this county competently and well.

J. Fredric Ingram I'Ttlident Birming ham Bar A..o<iation

po,ition he served with honor and distinction unlil hi' death: and Wm:REAS. Judge Fulford wa, deeply respected by the membe .. of this community. Ihe bar. and by hi, coileagues on Ihe bench: and 111IEREAS. " .. wish 10 "xp r... Our enduring regard and respect for our distingui,hed colleague who seT\-.. d our profession, our slate. and Our nation in such an exemplary manner.

IT IS. THERE PORE. HEREBY RESOLVED. by the Execuli,.. Com· mittee of the Birmingham Bar Association. thalthi, resolution be spread upon the minules of this Committee. and that copies th.reol be senl to Judge Fulford's wife. Toula Hage,tratou Pullord: hi. daughler. Anne Kir by Fulford Hallman: his son , Robert Craig Fullord: his stepdaugh . ter. Mary Hde" Matw. McCoy: and hi' si.ler, Alice Nell Fulford KiTVen.

Thomas C. Najjar, Jr. H~;REAS. Thomas C. N;ljjar, Jr. was an act i", member ,of til<.> Birmingham Bar AssocIation and the Alabama Stat. Bar at Ihe time of his death on January 5. 1995:

W

'"'WH ERE AS. Tom

Najjar was a senior partner in the firm of Najjar 0; Denaburg: and Wm:REAS, he was a graduate of the Uni,.. " it)' of Notre Dame and Ihe law Khool of the Uni"ersity of Alabama: and WHER~:AS, Tom was recognized and highly regarded by the bench and bar as an outslanding trial lawyer in bolh federal and state courts. In fact. he was fearless in pursuing the causes of hil client.. bolh rich and poor.

He was a shining example of wholl is good and right in our profession.

Tom served on the many <:omm ittees 01 our bar and was one of the founders of the Hillcrest Foundation:

'"'WHEREAS. h. is surviwd by his wife. Sandra Najjar: a stepdaughter.

Terri Thrasher: stepwn. Keith Fa .. : his I.ther. T.C. Najjar. Sr.: and a brother and Sister- in - law. Charles and Louise Najjar: and WHEREAS, Tom Najjar 10"ed life and liwd lile and brought good ,pirit to all who knew him. We hereby express Our deep regard to Tom Naj jar and our profound sense of loss in the passing of our colleague who has served our profession " .. II. IT IS THER~:FORE. llEREBY RESOLVED. that thi' resolution be ,pread upon the minutes of the Exec uti"e Commitlee and copies thereof be senl to hi. wife. Sandra Najjar, and Chari", Najjar, hi' brother.

J .•-redrk Ing ... m I're.id~nl

J. Fredric Ingram

Birmingham Ba. Association

moident Birminghlm Bar AslOCiation

MARCH 19951 125

ALABAMA STATE BAR SECTION MEMBERSHIP APPLICATION To join one

Na~

Fi rm

0/

mor" ""'l ions, (ompk~e this form ~nd atlach separate (flecks Ilayable to each seclion you wish to join.

________________________________________________________________________________

Of

Agenq _________________________________________________________________________

Office Address

omce locat ion _________________________________________________________________________ Office T" Iephone Number _________________________________________________________________

Sect ion

Ann u~ ll)u('5

Admin istralive law ............ .

Bankruptcy and Commer.:ial Law ............ ....... ................ ...... .

Bus;"",s Tom and An! ilruSllaw

. ......... ............. ,...... .............. $20 ______ .....S20 ...... $ 15

Communicat ions Law ................ " .... . ....... 515 .... __ _.530 (orpout" Coon>el , ....

Corpor~lion. Banking and Bu,i"",.law .. . ..... $10 Criminal law ...... SlO Environmental Law " .... .$20 f amily L.w ......... . ....... S30 Health L~w ...... ,$ 15 Labo< and Employn'''n! law _________ , ,$ 10 il p,achcing 1('55 Ihan 5 years. 530 jf pla<;1icing 5 or more years Liligal iOll.................................................. ...................................51 S Oil, G .. and Mineral law. ....... ........ ....................... ...... . ........ ___ . ___ . ________ ... _.. ........ $ 15 ProfeSSional Economics and Technology law.......... ...... ....... ............. ............. . .. 525 Real Property, P,ob,, 'e and Trust liIw ........ ............ . .SIO Ta ~JliOll......... . ..... . ......

.... __________ ..... .

Worker's ComjlenS<\lion Law ...... ............ .

Young Lawyers' .

. ___ ._ SIS .................... .S20 _________ ............ 0

TOTAL Remember: AUaeh a separ.,e check ro< each section_ Mail to: Sect ions, Alabama Siale Bar, P.O. Box 671, Mon1gomery, AL 3610 1

126 1 MARCH 1995

THE ,\LABA.'1A UWHR

CLASSIFIED NOTICES RATES : Member.: 2 tree lisllI"IQs 0/ SOwords CIt less per bat" member per calendar year exCEPT for -posI\IOn wanted- Of 'posollOO ollered'" kSl,ngs - $35 per insefloon 04 50 words 01 less, $.50 per additional WOld, Non ..... mben: S35 per insertion 04 50 words Of less. $,50 per add'tlOl'llll WOld Classified copy and paymeol musI be received according to !he tollowmg P\lblish,ng schedule: March '95 I ..... - deadline January 31, 1995, Mav '95 1....8 - deadline March 31, 1995, no deadline extensions win b9 mIIde Send cla ssllied eopy and payment. payable to The Alabama Lawyer. 10: Alabama Lawyer CIa$$lloeds, c/o Margaret Murphy, P Bo. 4 156, Montgomery. Alabama 36101

a

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.,.....r<

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Yu, ofAdmi"ion __________________ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ______________ Finn~

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Offi~~;,;'~;;"~"'~""~~~~;:~::::::;::~::~::::::::::~::::::::::::::::::::::::::::::::

City

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I

I L ______________ _ ________________________________ ~I 128 1HARCII I995

THE AU'o8A1o\A lAWYER

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