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May 1994 1129
N BRIEF "" "94
Volume 55, Numb.. 3
_ _ _ 'r-tt>o _ _ IO. .. ,. _ _ a., "'''''*'-I'~
ON THE COVER:
P"I <II the Robert Trtnt J""" Golf Tnll. Birminllhorn'l 54,toole Olmoor Volley la<ililjl Is K\llpttd , ...... the pow and ""II.,. 01 ,bot AppolKh ...... Picturtd II hoi. t3 01 tho Ridto eou,., fThanb 10 DMd D, Taylor. Soobolt CoIf Co~ionI
p,o. _
'1501,_(2(45j_,5,5. .... """,.,. _ .'0''''$1,
INSIDE THIS ISSUE: TIM AIUa_ Stat. Bar QuIIUO of Llf. Sal"ftY ..... Ita .. ................. _............ ,,, ...... ,, ... ,............. _ .. 152 BvKdlhB. NomwI ............. ......... ,............ Th. Al .... _ C.... A.o:tloa U Br Akm T. Rf19trs """ C<'P9QtJ C Cooot _. ____ ._. __ ._______ ._._.. 158 "" latro.h.cd ... to tIM ,'01 • • • • • W. lorr R-.«I Act Br 1I"ilt..... S. c.u, III
____ 116
AlUaIllIo Lew FOWl""tl... Awlo ..... C.... ta Bv 1'TOQI A Drmkl .............. " ...... ,....... . ....... ,....... " ...... " .............. ,...... ,....... ,..... 189
&>ild;,c fUnd Honor Roll .. _ ____
,~
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Ltriolot.... W...1Jp _. __ ._._.• _ .... _ 16.1
183 II«oent Docioico:"ot ._. __ .. __ •__ ..._ •• 185
IW BriofI _ _ ___ ._. _ _ _ _ _ 145
Dpirtiora <II tho
Buildi", AtaWma·, COUrthouoa ..... " ...... .l<16 CLE O!>portuniti ...................................... 157 About Mtmbo ... AInonlI FlmII ................. 174
c....ral CounscL_._
.. I90 MomoriIb .... ,....... ,,,..... ,,..... ,,,........... ,...... 194 Classifitd NOIiCfl. ......... ,............... ,....... _... 195
..._ _"-._-_._ ..... ..-.........__ ......... __ ... __ ... . . ,._-, ........,._.,,"',-_ ....... ... ....
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,,-, P.O-"'" .'~ .... """,.".... :II'O''''~ 130 / Mayl994
THE ALABAMA LAWYER
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THE ALAllAMA J...\WYER
May 1994 1 131
PRESIDENT'S PAGE
IS IT TIME NOW FOR CHANGE?
llill
art of being a judge in u..: grt~t Ir~ilion. the /OUll'IO!;t is thaI hould judl!t5 in Alabama be tltdf<l or should thty be appointed by tht eo-..-.mor from a list submit'he shall abstain from Juintiluting his !'>tH()l1,l.I choic..: The ted by a judicio! nominating C()IMJ.issOO? If judges political stltction of judges makes il iIS difficult as is conuivably pos.siblt \0 steuu lind ... tain good judgu. How au their a~ timed. should they be t1tcted in non·partis.lon n.cu? Should tlltn be a limit on tl"K iImOUnt d contributions political CllTlpaigns \0 be lif"llr>«d? 'oI.'No1 ~ to be the limits of a judicill a.ndicbtt C2Il rt<:tNt from all wur«$? ~ on tl"K their partic:ipmon in poIitial k\Mty • bdon and alkr tt-cy go numbe, of comments, ttlepho:>nt calls and lettt.. I h40vt on the bench? Whit will be !hi: wnllliWI i _ . plmgn to ~Md on lhtsot quntiom. these art IOITN: of tht most troublnorm issun f.. cing ---;;;;;;;;::::::;~l deddeaKSlororlgiinstu.uineooolOi,,· ic or 5OCi:li troops? II promiK to obtain ~rs n tilt citiunJ ;n AIabamIo at pn'. mort - or f~ • . convictions in crimiml wnt. Thtw i$.lun have betn ,aiwd and eased Political utechon of judl/" broullht to tilt fortfront by this being an inevitaJl.ly undermines tllti. essential iode· tlmOO yor and tilt uncertainties rtgard· I'ltodera." in!! the future 01 certain judicial positions The Alalwn;o S!.Ilt BloTS Tuk Fora on created by the cuu oI l+'hile. <!I at. u. Siale Judicial StIt<:lion was tstablished in 1988 of A/a/)affl(/ (challenging the at·large elecand initially chaired by former president L. tion of lP\ltll.lte court judges) and S.c.L..c., 0.- Reddu. Sine. 1990, this task forct ~ rontinu«! to WOrl! diligently undt. the II Qt. " • .James II. Evans, d at. (d\l.l\en!!in!! very capablt and linlus leadtnhip of tl"K at·lI-rae elmion ol circuit and district Mobil.'s Bob IHnnlllon. This us\( force judges). Quutions Involvingm eltded judicilry 11M rt1lO11td to tilt board of bar commissiomn on KYfrn ocasions with mptd art ones which tilt mit bir 11M coosidtrtd lor IllIIR than 25 )'tars. Th~ l"IOII·dKt~d 10 ""tiouI; lSptdlI of judicial ..kdi(n In KI«tion d JodIea is OOiltiloon!y referred to 1991. the wIc Ion:.! rtCOr'IlI1lI:nckd to tiM: II tl"K "Hissouri Plan." In simplified ttrms. booord of boor commissionm the concept of lilt Missouri Plan p!"O'Vicb for the appo:>int· ' -_ __ __ _ _ __ _ _--' non _parl;"n tltction nd the IH.><ord ment d judges by tilt Colwmor from a list ~ thil concept. Unfortunately. tl"K submitled by a judicill nominating commission. Once a judgt concept of non·partis.lon tlmion 01. circuit, district ~ ljlptl· bte judges has not rettiwd suffICient support from 11K judicio· il ~ppointed, Iltl$ht stands for mtrit mention butd on tllti, ",cord. 11 tilt tlKto,att dots not vott to ~tlin a judgt. tl"Kn ry or tl"K legislature to accompllJh tilt introduction or pawgt anothe, person iJ appointed by the eo-..-.roor under established of the necessary legislation. Additionally, the task fora has procedures. Minority participation in judicial selection iJ ~ported on tht dt.sirability 01. some form oIa MlJsouri Plan as insurW by establishing .. judicial nominating commission with tilt be.t method for KlmiOll 01 jur.ige.l. But, tht Ia$k fon:t has meaningful minority pa.rticipalion. ruogniud that ~gardlt$$01 its duinbility in tl"K rya 01 many o\llhou&h I per$Ol\l.lly. and 1 empllMizt ptl""S()lll!ly. have been b~rs ~ lay persons. this mtthod of judicill K1tctoo would require a hight, dtgrtt d politic.ll support t/wl is prutntly an ad'o'ocale of tilt Missouri Plan for four or fNt yors. it has been the idullor I!IOm than ?O yors of formt. mit bi, ~. dmt Rool NachIlWl. In an address to:> tilt AlabloiN SUote Bar on In its March 18. 1990t report to tilt board d bir commission· ers, tl"K bsk FOIU on Judicill Stltdion IOcuKd on tilt one July \8. 1914, he uid. "I strongly lIINoatt tl"K merit wltdion n rtttntion d judges. The best I~ J)'SIem wtIid1 man can MUIhat wu dtttnnintd to be d._tnt concern 10:> mtmbtrs deviw if 110) betttr than the judge. wI><> sit on Ihe bench. of tilt bir and tilt public. tluit being the luge amo..mls of mont)' btin!! contributed by special intmst groups and indio Judges mU$t txt,dSot wisdom and tl"K utmost restnint to make sure tlw tl"Ki. cltcisions are complmly ;mp.J.rtill n conlo:>nn viduals to candidates for judiciIJ oKl« ~ tht ~ 01 as clostly as possible to tilt Ittltr ~ spirit d tilt Comtitu_ such Large SlII1"I by tilt candidates. In ils rtporI. tilt task fon:t reoommtnded voluntary guidtlir.ts for a.ndidates for judicio] tions. 01 tilt statuln, 01 CiISt law. and o:>f administTlltive regula· offices. In bod summary, these voluntary guidelines. if adopt. tions whkh they are a.lled upon to interpret and tnlol'«. A great judge has statw that ofal! the factors that enlU into the ed. would emblish tilt following:
r
........
"""e
132 ' May 1994
THE AlABAMA LAWYER
I. Prohibit ~ judicial candidate or member of the candi-
....... ...
time and instructed me to appoint a committ.,., of the bar commission to wo.k on dttail. with the TMk Fo.ce on Judicial Selection to finalize the recommendations.. I appointed to the bar oommi~ion committee Commi~ioners Sam Fnnklln of Binninghim, Wade Buley of Dothan and John Ptrcy Oliver of Dadeville. After the board meeting. I uceived a very thoughtfulletter from Bolo IHnnllton. [have 5tt out the ful1lel<t of hi$ldter ~t pa,ge$ 134 through 136 herein. ~ iswe. of how judge$ a.e to bt electedl:ltlected and what limiU. if any, should be placed on political oontributions to judicial candidates are ones which the bar mU$t addr= and formulate a positioo which i$ in the best interest of the judicial system and cilium of the State of Alabama. [ know f.om individ\l/ll oorrespondence and calls to me that thil! ;s a matte. of significant and continuit1ll concem to many lawyers in OUT state. I. and you. bar comrnil!sioners. want to know the views of the la\oY}lers and judges of Our state On theK matters. Accordingly, I am resptCtfully requesting that ach member of the .tate bar take the time to write me .... ith )'Our views and share)'Oll' comment. with)'OUr own commissioner(s). [ $peCifital/), alii you to addrt!oS the follawit1ll qlltSlioru.; I. If judgt$ are elected. do)'Oll favor and would)'Oll support legi$l~tion calling for oon-partisan elections in all judicial races?
date'$ imme<Jiate family from solicitit1ll or acceptit1ll campaign contributiom. Solicitatioru and campaign contribution$ would be handled through a political campaign committee. 2. Contribution$ could not be solicited nor accepted mort than 12 montlu before the day of the primary el«tion Or roore than three montlu alter the date of the general election.
3. Contribution.s from rt«'nt litigants. their cou~1 or peT$Oll$ involved in litigation befou ~ candidate would be limited to one-half of the maximum in Item 4 ~Iow.
4. Monetary limil$ would be e$tablislled as follows.: it.
CMh contribution.s: Sup",me
Cull Contributions
individual includtd in (1I7J1
(l) !'rom any
[not
""" """"' ,,~
Cir .IDiot.
o.m
121 From any law firm 01' it> memho ..
".000
"'" "'"
(3) !'rom any PAC 01' othe. orgoni .. tion
",000
".000
".000
b. In-kind contributions limited to tquivalent of cash contributions. c. Indirect contributions would be in violation of guidelir>Q. d. Candidates $hould be aWolU of cont.ibutions from anyone sou.ce being so ~t in proportion to the total of all contributions M to give an imprwion of $~ial ~tagt or favor. e. No oontribution.s allowed in uncontested eltdions. f. No oontributions accepted in exceM of limit. g. No contributions used for private benefit of candidate. 5. RePOrt all contributions to the bar Campaign Monitor-
it1ll Committ.,.,.
2. Do)'Oll favor a "merit 5tlection" method for $flection of judges b)' means of a nominating oommittu structu.e combined with a gubernatorial appointment followed b)' a retention election $Y$tem (Mi!oSOUri Plan)? A nomina\it1ll oommi..,ion under such a plan would be structured to ensure meaningful minority judicial pa.ticipation. 3. Do JIOlt think that there $hould bt monetary limit. 00 political cont.ibutions to judicial candidates? 4. If so, .... hat .hould the """,imum (.il$h contributioo be from any individllal to candidate. for the .upTeme court, lor the court of appeals, and for circuit/district CQUTU?
5. If 50, what should the """,imum (.il$h oontribution be f.om any law firm ()T ils mem/:loeq to candidatn for the $upreme oourt, for the oourt of appeals. and for circuiVdi$trict COUTU?
6. Avoid pe'$Onal and demeaning attack on opponenl$ not direct/)' .eAectit1ll on judicial q\l/llit!u of opponent in actvertisement or lit.rature and public $tatements.
6. If $0. what should the """,imum (.il$h contribution be from any PAC or olher organization to candidates for the supreme oourt. lor the oourt of appeal$. and for cin:uiVdutrict courbl
7. E$tWlish Alabama State Bar Judicial Campaign Monitoring c.:.mmitlH.
7. Should cont ributions Irom recent litigants. thei r
8. Compile a list of contributors givit1ll in eltCes$ of SIOO to SUC«'S$ful candidatt$. Thi$ report WM discussed at some length b)' the board of bar commwiontrs in il$ March 18. 1994 meelit1ll. Although there Wil$ con.siderable $upport for vari0u5 aspects of the report, the board voted not to adopt the report in il$ present form at that THE AlABAMA LAWYER
coun$tl or perwn$ involwd in litigation currently before candidatt$ be treated differently than contributions from others? I perwnally thank)'Oll for taldt1ll the time to read thi$ article and the time to respond to same. These are c.itical i..,lI<'lI and )'OUr input will be helpful in giving the boa.d of bar commi.$ioners $Orne direction on thl'K mailers. •
May 1994/ 133
J
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March 22. 1994 Hon. James R. (Spud) Seale. President
Alabama State Bar P.O. Box 671 M(IIltgomtry. Alabama 36101 Dear Spud: I apprtCiated wry much the OPPOrtunity you pnlYidtd to me
NoRnV.>e. 5. iIIld again on March 18. to appoar before the C<Jmmis. ~rs in
behalf ~ the Task F(In;f on Judicial Selection. the Board has """'Y matlm ~ted iJr stWy. <Id!ale W deci. sion..mid1 an: 01 gru:. ~ 10 the Bar and 10 the p.t>tic. N a ~. I fuIty 'e;:q!Ilize Il\liI. the Iiwym strvir1II as co".,,~n'''ers an: the _ kirw;I 01 P«JIlIe most rJ us Itt _ ~ ~ bu.y. well·ioWrrnrd, honorable and opinioNkd - iII1d rJ diwrM POIititJlrod~~ I know you will ~ !hit. as I iIWW as an instrument rJ the Sir to ~ and respon,I to QUt5Iions.. I \b1l think ~ prOptr for me to dtbate i.ssuu during the COOJr5I: of tilt commii.llon·, dtlibentions. I also fully IIPpreciattd the role you.,.. obliged to Rove as chairman d such a medina. In -Mw d that I was partiru. 1.t.1y gntifitd to heir )'OU. JOeI"JONI endorsement 01 the rf"pOrt ~thepodi .....
Though disappointtd that mon " ..,,,bm did ?D'- r.>I~ to ~ IUP\IOft d the motion to;JrRl!llW the rtpOrt. , iIll Sir"oCm III Si\YII1II to you !hat I was ntithtr $UfJlriRd i'I(If".w-tmed. I ~ and fully apect that ....ith more timt lOr study am toU!'5Un:IIi"ll a iTIIjority 01 the rnernbtrs will ;JrRI!IlW the rtpOrt ..... something rtlo. tonabIy dose to it lhty will recogni2>! ~t the prioo..,J oppo&ition will stem from thltt selfiSh interut group$ . ....ith large pOCktts. 1hose I[I"IlupS plaa their own tnds iIboM an interest in the inttirity MId inde;lendtnct d the jucIicWy. Their setfish inlm:sts blind them to the dam$ being done \0 the juoIiciaI S)'Slem itsd" and to the p.t>til: IUP\IOft and mptct iJr the judidory which is ~ to our deI,iOC'XY.Ilhimatdy. I ~ the)'wilt "Teap the lwotst.." 'nORkriJr the Board to mW the """ ........ \5.,~. the commi~ 01 thrtt you hwe iIWOinted lor furthtr study win 11M to COIlIIl"iUrIi<,te dfectiYtly with the OIl"otr " ..mbelS 01 the commi$$ion and """rOse leadmhip in pOinting out to Ihti. peers the crying I"oftd for self..n..ipline to ...... ich we. ~rs have the "':'f'D'"tunil)o to rupood. I am artainly aYilllablr on person ..... otht"""IR to o:onfer with thtm , iIm CCIIl"b"ttd by two past 1:ii"C' it> om with the Board. In the mid·KWntits I was part 01 a committee appointtd to study nI ",w,.u",0:1 on tht JUb;ea: 01 ~ IqpI pians..1hm a . - p/Il'IlOi'k11Oi1. It would rtqo,&i.., m'isions to oor dhQI anQnI in the 1m of 5OIicitilion. When our rtpOrt R ~ we.., submitted to the ~ the)' lareJishtd th~ two or three disintmsttd or ho5tile ldministn tionl; but we.., somehow ~ ~IM by Reggi •. Durillll Alto I.ee·, administration they we..,
134 1 May 1994
I
"
.... ' ... ' n ' "
""
rMvtd ~ Alto aro:I sailed throuIIh it ~ m<dirC llirtuilly without dimnt and wi thout ch~nge. and we . t then adopted by tht Supmnt Court A few)'Ull ago. as)'Oll recall. after a "spirited debate" the IIoan:I adopted a rI:KIIution apprcr..;r,g non-partisan election oIjudgts oYer the opposition cilKJlrot iIMIr1ch Dtmocratic Party ",mobt, .. 1 reel !hat '''is ~ IIld proprr iIOction. I iIllJ\Oo;mtNt some oIthtpobibn ill. the HMm l&h mertir1II I"(l\ ntaSSariIy to the subItIra of tht mat\tr. but the short. nesI of timt for study. and sensitMty ttl tht Rate ci . . . . with the rnernbtrs cJ. the appellate courts. One 5OIution \0 the IiIIter problem would be to pQc:e the tfItctM date ill. Jantlllry I. 1995 or some such date in the futu..,. ~r. thm are iTII!rntotrs ci those courts who would 0Il\"l0M it at any tiiTll! 50 long as they want to hold otr>Ce. I thtrtfon, terioo&Iy doubt that they will evt. $UIlJIO!t
o:uaeroos
"" """'" ""-
Now I ~ depart ~ ~ role as ~ lor the TWc Fom: nI wi..-, IKJIrot ~ tIn.ogIu on the topic: Ii mtrit sdec. tion and rNud i!.sI.ots, ....'iIhO!.t hMl8 had the bmdit. Ii Rod Nach....,., pre.eo ItIIioo I it )001' I1"«ting. I am cooMntrd Il\liI. the ad0ption cia raoJIution and intn:oOOction Ii Iogisbtion ~ mtrit Rlection witIIout ...-..:II. nu:h rl1OI""I! would be Ilopflr:!.! and n--.. inglw. I iIm co:rtainly no I:ii"Crt. I am also naive POlitically. To a degree I may be an impO'idical idtatisl Ntl'erthe lesl, ! haYe studied and thoo.ogtrt about it a IITUot dea! while 5t"lVing on the Taslc .'on:e. Thtrt are utrtmely ~rful fOl'a:!i opposing the CCIf"ICtpi of merit selection. Tht Dtmoxntic I'uty a.>ntrois tht I..tgislaturt.. 80th an ~ it. 110ty hiYt an easy argummt ....tlidI ~ to tht ........ ,Itd !UlIic - popular dtction irMJ..a e;wn:ise Ii tht ~ to .... - instrad of deals made in smokt-fiIltd t..... ~ free) rooms.. The blacks. ttu fir. distrust the ~ and Ikcisiono Ii I10ITIiniting commis&ions.. ~ in OUr Constitution are difficult - and the TlOm\lI roott begins with the !.tgWatUTL the bIac.ks and the JIl$IIct Dtpartmmt apparently dtep. seated SUSpicion that arljI ~ by ~ "stat." agency or t:.xIy is an attempt to ]lr8tM' tht SlaiUS quo. ttl proled incumbtnts. IIld is thtrri".>rr to be ~ \\-bile I TUodiIy ~ tNt the IDIttpt 0I1OIuntary IIUicItlines and ~ IrWlniIorinQ committ«. nI ewn non·partisan t1K. tians. an no rl1OI""I! than ~ which ......11aI1 short Ii the btst 5OkD.ln to our prtStnt drudtUI pol"Ml,b irP.Olllirc ~ conIributiom., I think an atttmpt directly ....i\h the J..eii$I.ttu..,. and even i braw "*>IlIIion by the Board aRlnlYing "nItril stlection". will ~t nowhe.., and dtlTKKUt",te the weakntu of thost .....1\0
""'It '"
iII.\erT1lI il.
.
Somt may feel that alitqpnt-m, ....... ,.... OJUfI-mano:Iated, ~ .... rit seltction is tht btst.lOlulion. Ca1ainIy. most of the $i11i~ lOWibh>;..:tees thn 10. I'o'hdher thM wiIt....:wl<, nI-..totthtr the CO"IC:qt. an be ai«KI!d to the trial ....... , do I"(l\ know. \\'hdher or not ~ survMs 0JUfI ~ I thn it. .. a ~ oristakt. 1_ IfI'atIy ..,1ieIotd II) !own from the media that the &IUd dedroed ttl WI the IitiiJtion itlhil tm.. I pmona/Iy am deettIy disturbed ~ the an aspta Ii the PI"tJIIOWd stttIrmtnt. llllpt you will belitve .............. J say that I iIm not nocist. I havt the strongest pOMiblt oorMction that qualifitd bbclu and
taIat.
lliE A1.A8AMA LAWYER
ether rninoritieo 5h(u\d not on/)' have ~ full <JPPQI'tunity to ~ judges. but should be encouraged ard assisted in..m I also share the opinion that the concept 01 single "~"oo districts is ext'I'I1mdv bold. I nW not ~ll on all the reawns. Despite the language in tilt statute tilt mernbe.. 01 ~ who iido\:tOO it could not pc&ibIy have realized what they ~rt doing as far as j!Jd#s .... 1Xlro<:emed. Nt\'erthtiw, tilt lit)' to the settlement is the o::onl]lOSition of the nominating C<)ffiIllissiort 1lqIardle!.$ 01 color, mW. I'3Ce or other factors. to place the control of iJOI1tirJiitio: in the IwId:s 01 plaintiffs in~ litigation ard their iIIlie5, ard ~aspan often ~ is wrong. The CQriQ'PI is open to l\aglant. selfish abuse, ard cook! prnnlt the 5lJbrnisOO1 of totally unquaIifoOO names to tilt Cfl.oemor. The sett1ement also ~ the _ u r n of seMng the selfish interest.. of the irocumbents. \','ho can sa)' that is better than the pco.ISibility of ~ member districts. particularly tI:lr the appellate coorls. Abo, ~ead of giving the propl~ <i the state the opportunity to clecide VIflich is the ttss.r evil. it is the """""t litigants ",tJO woold i~ this decision on the prople of Alabama. I strongly belit\'e that an informed electorate should be given an adequate opportuni· ty to mala! il.'l choi<:is m;....... [ therefore urge a middle coo ... for consideration by the Board of Commissioners. The fedrral Cwrt hM had the opportunity only to hear from the partie$ litig,lnt _ the plaintiff class and the ~ttor· ney for the State - in reality from the incumbent judiciary 11$ I understand it. perr.aps with the tacit coiUtnt of the executive
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Specialty Software '1·1S '\',':·e·::.ard THE AU\6AMA LAWYER
Ro:~
branch: but on matters normall~ 10 be addressed by the voters through their eJect.d ,""""",ntalive!.. The subject matter is one in which the iawye .. of Alabama not only have ~ particu~ interest. but ~rt peculiarly qualifoed to ewduate. This ntW bwsuilleapfrogs the trial court case, "i'lich hM not yet mlo<'.hed lhe "rernody'" phII$e at which time that murt should pre· sumably oonsider possible remedies in a deliberate and thoughtful manner, inviting comments from \\Irious 5OlI!US on issues of wch wide p.;blic 000CI'ffi. Hopi'fully. as the state court hM done in the school case. the murt would provide the people through the J.egislatUrt, a chance to act. If the Legislature ulti1Tl1l1t1y fails to act the oourt would then be more jU$liroed in fashioning its QWn O'tlief. I ~ fear that if tho Bar 00es not act the litigants in the trial court case will reach a pOint at which they wililikewiso attempt a "quick fox'" because of the example set by tho appellate judges. In conlrast with the school problems lhe lawyers of Alabama !moe ~ special _ i'Ild duty to ptOI.;Qe IeMlership in the matter of judicial 5<1ection. We cannot der:.itk, oot ~ can help to pl't:ient to the p.;blic in a rKln·partisan, p.;blic interest mann.r, the probtems il'l\lOlwd in both ia'.<'5uits ard the ""u;ous altemalr.oes. "'ith the hope that a conseno"" will develop and the prople can have the satisfaction of detennining their o:o..Tl destiny. whate...er the choice
"",,,
Ilherefort urge that the Commislioners oonsider further the matter of filing a brief in the case. not to take sides, 00t 1(1 urge the
ALABAMA ASSOCIATION O F LEGAL ASS ISfA.tVTS
an . mllale of ll>e National Association of Legat Assistan ts. 1"".
lbeAlobomoA>to<iolioodLepl _ _ (MLAi _ _ .... •
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Oak f.'i ~&96: May 19941 135
oourt to hokl m1Ittm in abeyance MId provide adequatt tiIM for people beyond the ilTllt1ediate cirdt of litigants to bot heard. If time can bot gained by tNt ITfif1S, thm with the IClIItllatt oourt QSo! and the tn.l court C3K both in mind I aaat thil the Bolrd ¥Iould the ~ in dMloping. brwdIy baed o;itizIns' emmit· to study the mire rooblMl and !Xptize iJr widt:$ptad !d>Iic: discussion of ~ solutions. E~ though thm is coosidmbIt Imtiment in the Il.l.r and medii for a merit selection solution the citizens group should be asked to wtigh ~I ilterNI"-'es. In the face 01 the kde~ oourt li\ipli0n5 an open forum IIpprtIo>Ch "'ill bot an abIOiutt roo.t. W( art in .. ""y diffm:nt ~ \han whHI tilt prior citiuns oonftT't1lCtS ~re sUgtd.. They ~rt dim:ttd towvd I pr!dd.mnintd PI'Oi'Jm. R$nIte.o d the .IptCiIic ClW:(mo: Ii the dbt. it IIKIUId be _ cessfuI in informing the public, ~ thoughtful discusOOn and pointing the way to the best solution. I know it woukl require .. g,g, IIIborious and opensiYe dbt. and that ~ toukIlMIl thm biL It woukl bot .. staItwidt dti:rmI_ "...11, ~ in ont /lI' 1T"I(:n~' WII.,tn:zo with IOAicitnt brtaclh..oo clout 10 woy...eitP wiIh the '''''''L1re ..00 the murts. I peo SOl oaIty bdiM that it toukI ht\:Il:IlI'Mra the blatt leadmhip that to PI'O"icIe thtm with ideqol.l" opportunity kJr judiciil
'* *
controlled ugW.aIure to acteJlI whateIotor ~ art
~
the tonfems by making it a ~ issue in a Mure
by
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"""""I hiM 5OI1lt hopr that JUCh • dti:!ms' ITIO'o'a11rflI ooukI 11M ill In the ~t litJaation invoIvini the tNt oourts Mo. I tIWIk the rmIIy ri#ll1OhDon to the ~ C7isiI; ill kJr the people 01 AlaIwna to b! made .IUfticitntIy -... 01 the <;ri$i$, the a1tern:iltiYes ~ing us. .wi the POI'ible solutions. to adopt the C(JruIilutlonal changes I1tCW.lry for the best solution.. I ;un hopeful thool this would oonvinct Justict and the OOUoU that the Il'lOI.i'.ation is
impid
.....
We IiIo.ym. iII1d the Bo.ud. amot 1IXOI,(IIish the task, but WI! sWt the Plosram n pnJIIidt ~ IIld ~ EuIy in the lift 01 the Task f(ll'(t the oorx:rpI Ii pnlIT'(ItirOII. citizens' emfem10t was dlscuwd ¥Jd ~ but the Thsk F(lrCe docidtd the time was premature, priml1ii)' becal1\ot the litigation invoIvir,g the trial oourt was thm In a I'try arIy ~ TIlt appellate coort litigr lion and p1'OpOifd 5tlllemmt pIaa .. IItW aisis urgency on the PlobIe>n. It)'OO floe! thil the Task F(II'(t should further and ~ Iy e.pIcft the IXIId(lI d .. citirzno' ITIO'o'a11rflI pItase iIO advi$e. I ;un pmonalIy prepartd to coovnit 5OI1lt fIn:Is iJr the typt Ii irWal study and piamq:...toich would be irMltI'td.
QIII
office they will be better off with .. wtll -bllanced merit
sekdionfrttmtion \'Ok ~ It wouklllQUire that they CI':IrIVinte their CXII'l5lituents 0( the IaIl1t.lt woukl require ~ IociIIleadtrs 01 ;r.U r.ta:S and aerdtr thil they toukI prev;r.il upon the D!mxntic
Please note: The publication date of the bar directories has been changed from December 1993 to June 1994. 136 / M1yl994
TIlE AI.AIIAMA LAWYER
SUPPLEMENTAL REPORT To the Board of Commissioners of the Alabama State Bar in Behalf of the Task Force
on Judicial Selection
Marc h 14, 1994
tits Nuvember 5, !993 meeting the Board con.ider~d a S/Hciol Report doled in Ju/g. 1992, on Campaign Conlribulirm.s
ami Exper!diluftS. Campaign Conducl and Voter lfl11orance. The Board direct ed the Task Fo;>.ce to submit a Itt of voluntar)' guidel;"". to be provided 10} all candid~t.5 for judicial office. The Board pMtJlOned di!.Cu.s.:sion of rec(tm· mendations for establishm ent of a monitoring commiUee untillhe specific wluntal}' guideline. have bttn sub-
mitted and further considered. The Board also directed the Task F(}rce to
have a study committee explore further the feasibility of compiling the names
of .11 C<)ntributioos of S)OO or more to nch succe.sful candidate for judicial office. identifying the contributor. ~nd of making such information COnveniently availabl e to the media. attor· ne;,> and litig;mll. and to the respecti\'( judges involved. Since the aforeSOlid meeting of the Board. a detailed set of voluntary guidelines w'" circulated among III the members of the Task Forct for discus· sion and comment. and WIS also the
THE AU.BAMA LAWYER
subject of a meeting in Birmingham on March 11th attended by nine members. Written com menU from four oth.. members were also receivro. With the specific guideline recommendations. there w... included I detailtd structure and charge for a propok<i monitoring committee to overs •• the matter of conformity with the guidelines. and a report of investigation into tho f. ... ibil. ity of compiling and circulating data concerning SlOO and mOre cont ribu· tion. to successful candidates. The Chairman has not found it prato tical Or deemed it fai r for the Tas k Force to act by formal votes on most matte" pTtsented for conside ration. Information and recommendations are widely circulated in advance of meet· ings. Those who are unable to attend meetings are invited to submit written or verb;ol comments in advance. t do not recaJi a majority of the 28 member body being actually in attendance since the first meeting Or two. The member· ship is composed of laW}'ers of divuse views on many topics within the purview of the Task Force. The Chai r· man has determined it to be more appropriate for the Task Force to act
and report b)' consensus. J am comfort· able in representing that tht contents of the report which follows is a consen· sus report, but not unanimous. This supplemental report i3 based on the background studies and more generalrecommendations contlined in the 23 page Special Report dated July, t992. The reasOIIJi for tho ,ecommen· dations are set forth in that document. N",.. rtheless. the guidelines suggestell bolow art prec eded by a · Prebee" intendtd to remind the readers that the guidelines are not regarded as a panacea · a solution to the problem. ll!ey are an attempt within the scope of authorit y availabl e to the Board. to curb some election practice abuses and demonstrate to the Bench. the Bar and the public that the State Bar recognizes a serious problem and is taking such stepS as are within its pOWers to combat the problem. The Board ;s informed that a sub· .tanti~l ffi/ljority 01 the members of the T... k Force share the view that t~ ffi/ltter of ..cessive campaign contributions from litiganu. potential litigants and their attorne;,> can only be effectively eliminated by th~ adoption of a form of May 19941 137
-mrrit ... lfctioo" combi"'f<l wilh I fol. 1owin,Q "ul~1I1ion .1«Iion- fo ...... l; and ,re likewis. cOllyinced Ihal a propOr and hallnctd compolilion of the Mmi · lUting commissiollS and polilical pres· lUrU !III the administ rations ill offict would ilSSUU ~te appoilltmmt 0( qoalififll milloritits to judicial offict. Tht WTIO membtn au aoo rorwinctd th.at such' procus ....oold ilSSure ... Ite· tion 0( well qualified candidate becau~ of the scretning which is an element of the Jtlection proceSJ, floweYe<, the Tnk Force reCOlnius thl such eh.loflltl ....oold roquiu It,isLlitiw and eonstilution.r.l ellKlmenlS. and would ,110 have 10 be Iound Kap!.lble to the INpIrtmrnl 0( Justict, Chl.ngtS 0( such , fundamental nalure would r.qui r. massive support throughout the stlte and acceptance by Ihe polilical leadership ill the Slate. MWlWhilo, it is the ~ 0( the Tuk Foret th..o\ tht s\tpS now rtcOmmended will help 10 allmate some of lhe real and perceived problems in lhe eltelion process, The following il rtcommend.d for adoption by the ~rd;
Al.ABAMA STATt
OF
BAR BOARD
BAR CmtMISSIONERS
Voluntary Cuidflllnfl' For Candldatt, For Eltction To Judicial Offlcr Ami Ellablishmmt O( A Cllmptlign Monitoring Commitl« l"rdsc. A$ I result of Ihe widespread and growillg concern on Ihe pllTl of Ihe Bmch. the Bu, v.d the gmeTll public on the sub;.ct oleleclion campaigns for Judiclll office ill Allbama and olher slain, and Ihe conJtquent erosion of public cOllfidence ;n the ju dicial sy,_ tem, the Board of Commissioners, with the 1S.;.tlnc. of a spOciil task force ~nted for lhat PUrpoK, has made I COOlprehtnsive study 0( the problem. In stvtnl judicial eircuill tht problem has been somewh.lot Illeviated by the establishment of II nominating com· mission proadurt for filling vac.mciu.
138 1 MIIy 19!U
S.verlll yeau IgO, on Ihe blSi. of I study and report by the task force. this Board approved the conctpt of non par· lisan election of circuit, district and appellant court Judgu, but did 1I0t receive sufficient support from the judicliry or the I~gislllture 10llcwmplish the introduction or ~ 0( the lIK' ess.ary Iogisbtion.. The WTIO ~k for« has 100 repOrted that proposals for a "merit selection" method fo r selrction of judgu by muns of a nominiting committee $lrueture cnmbintd wilh iUbematoriaJ ippointmenl fOllowtd by I retention eltetioll system, hOWtvtr desinble in the f)'n 0( many peOple, """",Id lYqUire legisl,live and politkll suppo rt 1I0t pu~ntly available. The one arta of grtatut concern to members of the Bar and the public is the unseemly amoulll5 of monq' COlI· tributed by ....... optCial interest groups and individoals, and some ~rs and liw firms, 10 calldiditu (or judiciil offia, and the acceptllnce of such large sums by the candidates. White some s...:h large contributors may be 00;n8 no mort ill their minds than supportillll <I ~II qoalified individull who ~ a simiw- Itg;I.1 philosophy lIS the contributor, ind are not seeking lny spteiil (avor in return, the public, and oppos. ing litiganl$ Ofttll set the matt~r in II wry differellt light. The Board of Commissioners rteog· nilfs thit, beauJt sueeen/ul candi· diolti 10 judicial oflke sit in judgmrnt on tho5t who ....... supPOrted and those who h.Iove opposed their campaigns. the ippearallce of impartiility is of equal importance to the e~ercise of impartial. ily, for lhe pr• ..,rv.ltion of confidence in the members of the judiciary. CinOn 1A and Canon 78 0/ the c.non. ol Judicial Ethia (5« Appor>diJ; Il promulgated by the Suprtllle Court o( Alibima utiblish in brQ.l.d state· mrnll of principlts, a mandiolory framework for the cond...:t of eltetion campaIgns by candidates for judicial office. Thtst manditory provisions ....... betn lubjfct to such i wide diversity ol interprellltion by andidalu Ind thrir >upporle", ;u 10 demonstrate In urgent nwl for establishment of uniform sllln· d.ards in the illt' rprttation and applia. tlon of the Canons 10 specific situations.
The Boord has determintd thot it has tilt authority ind the duty 10 promulgate yoluntary guidellnfl designed to assist candidates for judicial office and their wpporters in conductillJl elfction eam plligns in II manntr which will reston more confidence ;11 the integrity and impartiality of the judiciary. In adopting the pOlicies ~t out below the Board 0( CommiJ,siQntrs notu th.al election campaigns for judicial offices invol .... the political process, that candi · datn have the righland duty 10 present IhemJtlyu 101M public ind solicil votes. that the conduct ofeltction cam· paieN can be and is oftell very expen· sive, and lhat an ~tf OppOrtunity and procedure for solieillllion of am· paign funds is a necessary ingreditllt of the political process. The current problems stem from the ucusn which have <Iovtloped ill the tOUne 0( various eltction~
While recogniling that the ultimate authority for tilt promulgati!lll, interpretdioll and enfo rcement of t he Cino"" of Judicial Ethics is vested ill the Supreme Court, the Board of Commissioners heuby adopts the Voluntary Guidelines which 1oI1ow, IIId utablish· u a ludicial Clmplign Monitoring Committee for the PUrpoK 0( ilSSisting andidatu ill the interpretation of lind compliance with Ihe Voluntary Guide· lines: \'oluntvy Guldelinu For Candidates For Judicial omcu
l. Use 01 Political DImpaign C>mmif1"-$. Candidatn for judicial office should nol pe rsonally, or Ihrough membtrs of the candidate's immediIte family, solicit or ac«pI C2Jllpaign conlributions. All solicilation •• acctpUnCt lind disbunement of the candidate's clmpaian COllt ributions should bt handled by I singl. politi. cal campaign committee appointed by the cllndidlle, which does not include the candidate Of iny member of t he calldidate's immediate fimily. This guideline shall not IIpIIIy 10 I candidate who rusonibly upecls that contributions to the candidate', am~i8n for a 'l>Kifie primary or runoff or general eltetion
ntE ALA&\.!oIA lAWYER
from IOUrctl otMr tlW1 the andi· dIott hilTl$flf or rnmIIxn of thf an· didate'l im"",di~tt family will not elem S5.ooo.
2. Thm Um"'s. Contributions to or for a candidate's campaign should be neithu IoOlicited nor accepted more tIw1 IwtM (12) months ~r.:.re the date of the prirru.ry elK\ion prKed. ina tht IIfnoe~ election. if he or lht intend$ 10 be a candidlote in tIw: pri. IIIIry election. Uld if not. ~Iort the qUllHfying dea.dline for participation in the "",nol election: lIoo not more tlw1 thr« (3) months after the. date 0( the general election. 3. Conlribuliaru From U/ifl(m/s. Can· dldates. and IMir pOlitical arnpIian committ«s. should neither solicit nor UCtpt ClOmpaign contribution from rt«nt litiganb. or their ..oun· s.e!. or pel"SMS i!lYOlwd in litiga\lon$ currently briore them. in tlCUI of one-half (112) of the mllXimums in tttm4A
4. MornIta'l' Umils. The following lim· ilS should ~ ~rved in the IoOlicilil· tion Ind in the """'pLanet of tim· paign contributions by tlndidaltl lind their polititlll am"",i,n com· mittees with mptct. 10 &o:h prillllry el«tion., tach priTTlJ.ry runoff tlection, lind uch gtntral dtction, in ordtr to avoid the appu"nce or impreilSion that the cont ributor TTIJ.Y s«k or txP«t speci.l.l adIIantagts or fllyon from the candid."olt: txc1usiw of contributions by the cllndidate and members of the undidat.'s il"lVl"l(((ilolt bmily:
8. Contributions In Kind. The rn · sonable valut of in kioo contribu· tions shall be deemed to be the equivalent 01 cash cont ributions in applyine 1M limits Soft forth in
, .....
C.lodi",1 Conlriiwliom. Solicila· tion or ,"[c,plane( of ampaia:n contributions designed or luYine the effect of violating thtst guide· lines will be deemtd to constitute violation of these guidelines.
D. Nt/otioruMp to Tt)/al Ctmtribu/iom. Candidattl and theiT politi· c.aI u.rnpaign committ«s should be mindful tlut the ftb.tionship d contributions from any ont sourct m;ly be 100 large in proportion to the total of all contributioru '" 10 allow an imprtilSion tlut special advantagn or lavon mllY be MlUght or upected, ~nd should ac-m lOIicill.lion and KUpIana 01 contributions xmrdingly.
$. RqK)rting of ConJribuliom. In addi.
tion 10 the ampaillTl contributions repOl1ina rtqui r~ .... nts impOMd by ]IW. tw:ry cllndidate for judieill offict lhould TTlJ.il or deliw:r to the Campaign Monitoring Committee a copy of uch report m.d in compli. OlllCe with the provisions 0( the. FlIir Campaign Practices Act. and such further ITJ'Orts (if any) III the C"",· "",ian Monitoring Committee lTIIiy I'UIOfIlbIy rtqutSl.
A. )-Ionetary Limits Supreme
_.,
Circuit! DI.trict
Cuh Conlributlons
Co,.
Courb of
l. From any Indl\'idlllol (nol included in '2)
$750
$500
$500
$4,000
$2,500
$2,500
55,000
53,000
$3,000
2. From any law
nrm
or its members
Co,,,,
3. From Iny PAC or other organiZillion
E. Unconlt$ltd Elect;onl. In the cast of uncontuted elections. or when it btcomu clur that the candid."ote will be without OppOSi· tion. no ampalgn contributions $hould be ICCtpted. F. Sia/u/or, Limitations. No ClOm· plign contributions should be M:Ctpltd in utt$S of or in violation of " .. tutOry prohibitions or limits. G.P~rsonlll
VII of Cont ributed
f'lmds. AJ. mandated by Canon 7
8. L.(d) a candidate including In incumbent judie shou]d not use Or permit the uK of campaign contributions lor the pmte bendit 01 himself. As tM contribu· tions ,,"hen midt Itt intended for Ust in election umpaigns. this prohibition should con tinue to apply .fur retiremen t from office.
6. Condidole Conduct and NJ«rlising. Consistent with TTlJ.intelW"lCt 01 the dia:nity asc ribed to judicial office which i. ntctss~ ry to continued public respect for the judiciary. can· diditn for judicill office should ICrupu]ou.ly lIVoid personll and demeaning I\licks on their oppo. ntnll not directly refltctin, on tM judi~1 qmlities of opponenlS in lIli public utterances and adw:rtist"",nts and rampaillTl literature and scrupu]ously avoid attacks of I dis_ criminatory nature on the buis of TlCe. ethnic background. religion or sender. Critici.m of the opponents' ChariCter, record. judicial philosophy ind othel clurKteristics bearing upon the judicial otlie( should be couchW in terms which do not nnect IIdw:rsely upon the judicilll offin ilstll. To conduct hilTl$flf or herltlf otherwis.e renects ldVi:rs.ely on the candidate's own qualifica · tlon. (or judicial office.
!>by 1994 / 139
Alabama State Bar Judicial Campaign Monitoring Committee The Board of Commissioners hereby authorizu the establishment of the Alabama State Bar Judicial Campaign Monitoring Committee Ithe "Monitor_ i"ll Committe.") os follows. and direc!3 the President to implement the provi sions hereof os promptly os possible: I. The Monitori"ll Committee shall be composed of a total of stIItnt«n (17) ~rsons. including a chairperson, a vice_chair. and fifteen (15) members. all of whom shall be appointed by the President of Ihe Slate Bar with Ihe approval of the Board of Commissioners. The chair and vice-chair shall be appointed at large. Th. other members shall be appointed in Ihrtt selS of fiv. nch, consisting of two lawyers. tw<Isi tting Or retired ju*. and one lay person. Each set of five shall b. drawn from Ih. area of a designated numbu of judicial circuits with t he date divided into three areas each compri.ing th e
same appro~imate number of judicial po.itioTll. e ~c.pt that th area including Montgomery County shall includt tht appellate judge posilions in i!3 number. Appointments .hall be for fou r_yur term •. Initially. on. lawyer and on. judge in each ~t of five (herein someti~ referred to os "panels") shall be appointed for a two-year term. and all others for four-~ar terms: thereafter. all shall be appointed for four-~ar terms. N determined by its bylaws the Committee may sit and act os a whole Or delegate funclions and authority 10 the thTU panels. Howewr. the basic monitoring functions and transmit_ tal and consideration of and decision. on complaints shall normally be the function of the individual panel. within their respective jurisdic_ tions.
2. The Monitoring Committe. shall adopt its own by-laws and rules of procedure. consistent with this constitutional document. the applicable Canom of Judicial Ethic•• and such mandates os the Board of Commis·
sioners may promulgate from time to time. 3.
Th~
Monitoring Committe~ sh~1l conSider onl~ matte .. which hav~ arisen since the fo rmation of Ihe Committee.
4. The Monitoring Committee shall consider only matters (i) referred 10 it by a candidate. in writing. or (ii) determin~d by a majority of the enti re commiUtt or of an~ of its panels to require ronsidel'lliion whether or root it has b«n referred by a candidate.
5. The Monitoring Commille e shall comider only those matters Ii) arising from action. of the candidates themselves. or Iii) of penoru working in a candidate's campaign. whether or not authorized by the candidate. 6. Prior to a heari"ll. matters concerning a complaint and invtStigation of the complainl shall be Ireattd as confidential. except that the candidate who is the subject of the complaint shall be promptly infonned thereof.
7. The general charge of the Monilori"ll Committ~ shall be as follows:
A U NIQUE CPA F IRM FOR LITI CATORS • Exclusively devoted to litigation and insurance accounting malterS since !969. Staff is !oo% train~d forensic accountants. not reassigned ~uditon. Experience makes for f~<t. flexibl ~ and costeffective service for litigaton. • Resources of Our international netw ork of JO offices at your disposal. For more information, please call Mark G311~gher Or Les Hankes at 404-953-0040 or fa x 404-953-0270
CAMPOS
140 I May 1994
& STII.A T IS
(alTo monilor complianct: by CMldi_ dates with the Canons of Judicial Ethics and the Voluntary Guideline.<; promulgated by the Board of CommiSSioners. (blTo broadly disseminate information concerning the Canons and Voluntary Guidelines to candi dates, membe r. of the Bar, the media and the general public. (c)To ulilize such means OS il deems approp riate. con sistent with a prope r regard for the dignity of judicial offiCI:. either by moans of private communications Or public disclosure, or both, to .eek in a fai r and impartial. non_political manner. oompliance with the \'01 untary Guidelines: and to report to t he appropriate authorities deemed violatioll5 of the C""OIl5. During campaigns it should seek to ""I with sufficient promptnns to be effective in promoting compliance with the guidelines.
THE AlABA."1A LAWYER
(d) To dM:\op and make waiWllt to IOCil bar .nod,tions, for 10Ci1 elections )nd the State BIIT for statewidt elKtions, a rK()It'ImtTId. ed, suncLmlind fornu.t for the oantn\t d and ITOWI$ for circuLiot· iniI and publidzi", the ~IU d I bar poll for evaluating CU!didates lor judicial office. The guidelines proposed by the American Bir Auociation Special Committte on [ valuation of Judi ci.1 Pufor · II'III"IU containing eight (8) JPtCif· ie erite ril applicable to litt ing judges,;rnd similar ones for undi. datu, art rtcommtndtd to the Monitoring Committtt for its con·
"""""'(el Within four month •• ftu uch generaltlection, awrnblt a list of umpaign contributions with the identity of the contributon in PnSJ at 1100 to uch a1CCtulul undidat" and rru.k. such lists rudily iVliWllt upon ~ut!t lit II nominal charge. Successive con· tributiollJ which together lUre· pte mor. ttun liDO should bt includtd. (t) Develop and make iVliWllt 10 all CU!didates a T«Ommended format for an information brochu re which undid_tn may un to inform the votinl public C(lnCf:rn· ing the CU!didate', Qualifiwiom. listillll lilt tl.tegolies of informa· tion which would be of interut to voters and which will facilitate a comparison of the undldate's qualificitions with thOR of tilt OJII)Of\tTlts, [ncoo~ tilt tIM' d JUth a Iormat by lilt candidat" in the internt of com batt ing the problem of V(lter ignorance con· . 'ning candidatn fo r judicial
"'~ (tlRtspond to inquiriQ from CU!di· dates concernin, the inteTj>reU· tion of the VoiuntaT» Guidelines in specific factual situations. (h Report to the 8o».rd d Commis· s~rs annuaUy concerning the slate of c:ompliince "'ith the Vol· untaT» Guidelinn , this charge, and lI1)' recommended changa;, THE AU.BAMA LAWYER
Fusibility of CompiUn, • Us, of $100 Contributon to Successful Candidates
subject to nomination and elec· t ion " tlndidatu of, political party, it is real ized that a Judge or a candidate for dection to a judi. cilll office tI./VIOt diYon.:t him$tlf oompltltly from politiClll orpni· SlItions lind campaign lIctivitiu which, indirectly or directly, may bo: involved in his election or rt:. tlection. Neverthtltss, should I ill"," or I candidate lor II judiciil position be directly or indirectly inV(lMd in tht internal worldnas Or c.unpaign activities of a politi · tl.1 organ iulion, it is imperative that he conduct hims<'lf in a man · n .. I t all times to prtvtnt any political considerations, enUlIlIlt· monts or influtncts from ever becomin, involv.d in or from tvtr aplltulng to be involved In Iny judicill decision or in the judicial procus.
~ TasII ForCl' has 6ttenninrd that at _ral sugu durin, the election cycle lIU Judicial candidatn or their politiCliI commitlfts must ~port contri· butions of mo~ th&n $100 toth. Stcrt:. taT» of SUtt fYT with the prObI.te judge of the Ioc:lI county Wldtr Sections 17-22.\· 8 and 9 d tilt fair Cmlpaign Prxticts Act. It Ihould be, simple and inexptn. .i"" matter for them to ~nd copies to the apprOPriUt pant! of the ~mpaign Monitorirlll Committtt, Th is will ~Ie the Committ •• to compare tonlribu· tions with the I'OllIntary guidelines. AI50, after the .Iection it can un the information to p~part: and cirru!ate the lilts 'l'I'li(ablt 10 succrnful candidates to intertlted penollJ. The Committee may need the iSSistlIna 01 the Slau Bar staff....nh TQPfCI to some rtprOduction and maili", functions.
Canon 7 B of tht Canons of Judiciil Ethics reads as follows:
Respectfully submitttd,
B, Campaign Conduct.
ROBERT p, DENNISTON, CIWRMAN
TASK FORCE ON JUDICIAL SELECTION
APPENDIX I
To AuBAMA STATE BAlI BoARD OF BAR eo""t SS IOSERS VOU/N1'AJn' C UIDEWiES
ev.on 7 A (II of the Canons of Judi· ciil Ethics _ds as follows: A. Polit;a,1
Conduct in Centru.
CIIA jud,., or, candidate for .Iec· lion to I jlldi eill office should endelvor It 111 timn to ~frl: from politic~l lCtiviliti inappr(>o pri/lte to the judicial offiu that he holds 01' Sttks.lt is dHi!3ble that a iud# or II CU!didate /ot' el«lion to juditw offiu tnduvor not to be involl'td in the 'nttmal work· inQs of political organizations. engage In campaign KlivitiH in conr.ection with a poiitiClll CU!di · dlllt other thin candidatn for judicial oWtn and not be iTIYCIMd in political fund 5Olicita· lions othe r than for him.tlf. However. so lon8 as judges art
(I) A candidate, inciudirillan incum· btnt judge. for II judicial offite that is filled either by public elt(:. lion betwttn comlltt ing candi · datts or on the buis of a me rit system election:
(a) Should mlintain tho dignity IppropNte to judicill offIce,
(b)SIIouId prohibit public orrIcials Or employe.. subject to his direction or co n trol from !Ioirlll for him what Ilt is Pf\)hibiltd from <loins under this
""""'.
(c) Should not make pledgts or promi~s of conduct in office other than the faithful ,nd impartial perlorrnancu of the dutiQ of tht office: should not <orulCUICe in IICMnot his an:iu· sions of law on pendi", lili,a. tion: and should not mis~p~· 50nt his identity, ~ifocatioru, pratOl pOSition or othor bet. (d)Should not U50 or pennit the use of campaign contributions for the private benefit of him· ~If.
• MayI~ / I " 1
EXECUTIVE DIRECTOR'S REPORT
It's Serious Business-The Bar Exam
Ib11
everal recent incidenu relating to our bar adm;s5,on5 proc." have generated the5O' thoughu about
the proctss------p;!rticularly the ChlndtT" Fitn. .. procedures and the eumination itself-and the fact that those of us directly invol\'l'd take oor mpomibililies
quit. seriousl~ . Theu prot . ...s are not matt ... in which juk.., unsigned communications, anonymous phone calls and inappropriate remark.s are viewed with callous indifl.rer>ee. Recently, we haw s«n the Character I;: Fitne"'! proc"," ust<l ~ a """Ue for airing
Or attempting to reopen domestic tral'ails involving a particular applicant. Usually the adverse commenu or Nlated diSCO\l-
ery efforts occur shortly before the 5th.d· IIled examination. Because of the confidential l\lllu,.., of the Character & FitntM
inves t igation. we resist all efforts \0 examine the contents of an applicant's file,
Likewise. the "Iast·minute" unsigned letter advising the Characte r & Fitness Committee it shoutd took inlo $Orne !>IIr· ported character defect of an applicant, while full~ in~stigaled to the extent of information available, ~net'll.tes a corlain 1"",,1 of anxiety that is al ready aOOve nOr' mal for an applicant. This is, too often, the ultimate motivation of the informant. In order \0 m;nimi. e the streloS on an applicant, \W make t\lery effort to in""stigate all alleged "wtminute" information without contacting the awlicant until it become. absolutely ne«wry. No applicant. howewr, would """r be denied an opportunity to respond to ~ny such infor_ mation that is d"""loped at the lost minute ..... here the f.cts could rHult in a defernl Or a denial of their right to take the upcoming e.... mination. Unfortunately, some of the last communications are senerated by fello.... applicants. One particularly troublesome inci dent involved communications that ..... ere generated by students ..... ho had di5agrttd with the handling of an applicant"s problerru by the school administration early in the applicant's law student career. Some applicants summoned before a Character &- Fitness panel obviously ha,.. bun misinformed about the gravity of the need for their appearance. Several have thought nothing
142 1 May 1994
of requesting a wntinuation or a later setting worked around their schedule, while othen ha~ inili ally appeared almost callous in the first few minutes of a panel hearing, Tht chai r of the Character & Fitness panel qukkly demonstrates to such applicants the seriowntSS of the busineloS at hand. My favorite lasl-minute incidents are the notes slipped under the door advising me that COrlain applicants Or study groups ha\'t a ropy of the e'lllm. [f not for thi: fact that I had penonally aCC()Ilnted for and still had the particular exam under personal security, [ would ha\'t been conamed. Thoughtless and misunderstood comments during review C()Ilrsts have created problems. Applica nt friendships and emplO)llTlent relationship' with e'lllmine.. should be carefully conSidered by applicants and others before comments are uttered ..... hich could be misconstrued. Lawyers and judges, too frequently, comment to Our uaminers about their special interesl in an upcoming appli cant', success on an exam. Such com· ments, while hopefully intended to be "jwt con\'tT3/1lion: can be misconstrued, or worse, OVI'rheard by oth .... who may already view the procus with some degree of suspicion. Examiners are required to report all such conhcts. Thtirs is a thankleloS. but rn<);St important, re.poruibility. They need to be able to fulfill thei r duties with· out the added burden msuch unsolicited comments. The anonymity of the applicant and integrity of the procus are essential to meeting the public responsibility placed upon the board of bar eurninen. If a rl'awn ~ exist to challengt an applicant. faimess to one and all dictate. the ne«ssity to have such evidence at an early stage in the process where such evidence is known to exist. Pe rsonalized commentary about examinees and directed to an examiner is to be discouraged, A defined review process is in place to be used after tM bar results are kno....n. An examiner should not be contacted to aplain his Or her scoring of an examination except within the already approved review process procedures. We view our responsibilitiH quite seriously, and we encourage your help by being sensiti"" to the need for absolute integrit~ in the admissions process. • THE AUdlAMA lAWYER
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May 1994 / 143
LEGISLATIVE
WRAP-Up
BII ROBERT L. McCURLEY, JR. Alt(T thTn monthl the ~gi$l~turt adjourmd without Pl-Uinll tt.. much . pubI~ oduation rdorm bills. Legisla. tors introduced owr 1.600 bills with one legisllti~ day Temalning. At printing deadline. the followi1lll6ills we'" pasK<l
...........w H·7 (Act 94·581} KIt. eli ,\ petKIll found ~ilty 01" crimr motiv3oted by thr victim's r;a, color, rdiClon, ~ ori"", ethnic bKk,gI'O\lM, or di.W>iHty shill reaM enhanad punWuTltnl 1t- 105 (Act 94·580) Open HOlln Par1)o-An <>dull ~1111 control 01 a ~i· deMO. in atlondanet where in optn house party is htld. and who allows pnIO!II
URdu 21
)'WI
... ..... '
11·30 (Act 901·245~ RtvlHIi Blllln... CorponUon Act- Th ll Act is dltttiw JIIlIWY ]. ]995. Dntted by. committft of the AI~b~ml l.Iw InJtituto, the let dOMb' follows tho Modtl BU$inw Corpontion Act.. 1M IOrn\;at of tho id. is gmUy chinged by bruking IIlorious J)TOYiJions inlO stpint( Irtidu Imngtd by topic, For~, tho pllKl1l Artidt 21w 62 Kdior>l that tnr;ornpaloS C(lrpOrlt. pOW-
5· 119 (Act
01 ~ t(l drinll ~
'*
H·688 (Act 94 ·349) Bille Right. for
...-....
H.4n lAd
pre-
\'tnl obstruct or intent" with a person IfgIoIIy hunting is auilty 01 a Claos C Mis~~.
5 -85 (Act 94·590 ) OUI Fourth
OITtIlIe---A pmon who Is o:mOcttd oIa Iourth DUI in I frve-yur period is wwlty oi, Clan c r.JOfly and rffi!iva I line bttwHn $2.000and $5.000. 5·280 (Act 94·652) Bolotin, SafetyAnyone operatilllli Imt whitt urOtr tho
ci iIoohoI will be purilihtd tho lOll I DUI driver on tht highwlY.
i~ Iol llM
Abo. ~11mt openton must be IIIeist ]4 )'Qn old lIId, by 1999, III bGit driwn ITrUIot havt i licmsot. H.433 (Act 94.481 ~ Voutllful Offtndtr-Any pusan who Iw I tUimd 16 )'Un 0{ ~ and commits .. eapiu] offt~, I CIw A Ftlony. <XInVIIiu my ftlony with .. dud!)' wupon, Qusa; cleith or phyJiQI injury, o;vrrwnib I ftlony ~ certain court or law tnbammt officials or traffics in drugs will be tried lOll :an iIdulL Arr1 ~umt off'llR$ will cau..e tho )'O<Ilh to be tried aIo:an idulL
t44 / M.1.y l 994
Rul Eltale
anw.....u Chapter 27A 01
.................
5-9 (Act 94·3211 Intlrr"RIIU with
who attempts 10
9~ · 117~
Tillt 34 of the Alllb,mll ROIl Elotatt """"istrs Act cmamiflll tho qUllif.atior>l oi ~n and tIlti. continuiflll .... ..,.ion progrartIL S-299 lAd 94..m) ~ 10 U...... I"JIUId FldlItleI-No prnon shaJl aaa· \\lte I wed, higllw.ly or w;enwnt wilh· out notifying the "Ont>CIIll Nolific;>tion Sysltm". f'lI.iIun to givt notict 0( ocava· lion or Qusing duna,gt 10 II utility Ii .... till muIt in II civil pt!\llty PlYlIbIt to tho
CTImt VldImt-This Act proposes iI ((Institutional amendment t h t would ~ui .. thai eri"", vklinu M informed and hurd in all cruc~ stages 01 criminiI
Hunlen----An)'I)IK
"'op ..tv ~This
~ or I controlled subSWIa is guilty of a CIIII B M ~.
holM:
UllIt louis in 1501~(g). 11-«3 (Act 94·$88) Forei&n Corpon~This lmmds SrcIion lo.U·Z21 to lilow my fonljjn rorpontioru 10 act lOll fiduciuits in Alob&ma without qualifying to do businus in Alabama, provided the fonign corporation·1 home slllt( grnlts lutho.ity of Allblrnl corpo'litions to _ in tho _ ~ty in tho forrign stIItt.
tn. corporatt namn. registtred office Ind agtnt requirements, iuuance of ...... ru and $hinholden. offi· Ct.1o Ind dirtcton, Ind inspection of boob IIld I'tOlfds, uth oi which now is tho aIbfed oil ~ utido. For I furthor disausion oi the Act 1ft Alabama Lawver, May 1993. S-]2] (Act 94-57J~ Cllurd! Trul~ This unmds Stction ](1.4-20 to \\tltt( tho muimum numbtr of tl\lSleu a ctlun;h
dMdt.....u.
""'.""
S·293 (Act 94· I04~ Aut_tlc T.I ..... M. M 1hli ~ Section S-SA...JO to pennit i ~ to chIrQt a tnnsadion fft to its custorrIers who u..e:an automat· ed ttllrT machif"lt. 5.419 (Art 94- lt$~ ConlulM!" Credit Tnaoa.cllo...-This anwnels Stction 50 I~ to not requin diKa.P'U under tho Mini-Coclt other tt.an !hOM nquired by tho Suptrintmdtnt of Blnb, tilt borrowtr'1 right 10 ClIICtll Ttll matt loan by the third bll$if"ltlJ day, creditor-required lnsurana. and oerllin other fees on rtal
94·582~
ao.u., IIuudouJ
H~ This amends Stction 37-2-&4 to I!lOW the Allb,mll Dt partment of
Transportation to clase any city or county Itntitmt CTOSKS II QII~d whtn tht Oepulmtnt determinu the tT<:IIW"lI is dlngtrous lind 5lIftty outweighs the
.......
i~ 01 rt-n;outing
tral!ic.
S· 388 (Act 94.$75) DHM Dlvor(t Inw.Up-tlon Fu._$tclion 30-3-7 i. rtpultd which lIuthoriud tht Oepllrt · mmt oi Human Ruooroes to ~ lIlN
bttwmI S20n S3$ for ~ RTYioeI in di\<oott (/ISotI, 11 -387 (Act 94·$89~ Ttnroloatlon of In co me Wltllh old lol Ordeu -This Imtndi Stction 30·3·62 to ttrminate I withholding ordtr without I htlOring upon tilt ~ ~t of tho obligltor tNt tho childml hwe ~I tuehrd mojori_ ty Itld tilt", is 00 IrT"Wlit of child SUpport or ~ support. 1Mobligft mlY still rtquf:5I. a hr.ari"ll within 20 ~ aft ..
~"" H-516 (Act
94·213) Pa.t Dpt Child
THE Al.A8AMA UoWYER
BAR BRIEFS is a 1970 graduale of the University ol
admiuee to the Alabama Stat e Bar, recently reo ceived an hon· orary o.:.ctor of ""'..,.. from the UnivoeT$ity of
Montevallo and a 1974 graduate of the Birmingham Scllool of Law. H. served as district judge for the Pi"t Judicial Circuit from 1976·79. worked as a poli t-
ical <omul ta n! for several national DemQCratic candidates, and was Ken. tucky's associate superintendent of NU'
cation from 1985-87. He also served in the U.S. Department of the lnterioT in ...,. _ . - . Iefl, II .... _
III • • _
_Iou. In _ _ .to ww.y _ _ k,..... rItIht.
. . . . . . . . " . .. 0 ....
...................................t_ ~.
• The u.s. Small Bu.i...... Administra-
tion announces the recent appointment <Jf BUly Mn Paul 11$ the chief administrator for the agency'. eight-$bl. lQUth-
eastern region. Th. region, based in Atlan\.ll, has more than 430 permanent emp\oyte:l in 13 field offi= and an SSA loan portfolio of over $3.6 billion. A native of Crow Hill. Alabama.. Paul 1.1 \.1"1 \11\ I \\"~ \1'-( I'
( ,,"11111,,"'/
Support-This authori.e. a par~nt. guardian or th. ~partment of Human Rt$OOI"CQ to bring a civil action against a non -.upporting parent to establish an order of retrooctive support for a minor child. The non·supporting parent must be under a court order to support the child and the action must be brought before the child """,he. ""Iiority. H·618 (Act 94-579) AIIbama Famil»
_c
_"Jr.
_L.~. '"
- ...10 ... "'..,.,..,.. ...
-"LM..-..o ..... ",",,",oq'"
~-- '""'~.""' ....
l.Woo<lirI'.
THE AUJIA."1A LAWYER
the Carte. Administration and has been recognized in Alabama for his .ffortllo protect wildlife in the stale.
\\11ey Muslek, al50 a ~mber of the Alabama Stat~ Bar, served as acting regional administrator prior to Paul's appointlmnt. Messick, a nativoe 0( Pike County, Alabama , graduated from the Univel'$ity 0( Alabama School of Lilw in 1953. He practiced law in Abbeville, Alabama and with the legal dtpartmtnt for SONAT, servoed iIS e~tivoe secreta!)' and administrativoe assistlnt to U.S. Sen· ator John Sparkman, and. since 1%7. has held seV'tral positions with the SBA. • Mahala As hl ey Dlcftrlon. a 1948 TTIIl t Corpontlon- This establishes a nonprofit charitable tnISt to permit oon· tributioru In> family mtTTiMrs ar;:I others for the benelit at a person with a mental or ph)'$i<:al impairment. This allows the e.tablishmont of a charitable trust in Which the trustets seTW without compensation. This will pl'OYide I trust where the ... are not t1IOllgh funds to ",,,mot a oorparate fiducial)'. Tort u.bIllty H·341 (Act 94·138) ArclIltfdl, Engl....... and ConIndOB-----A ,uit against an
architect, engineer Or cont ractor for fault~ design ... or defect that results in damage to property, injul)' or death to a person must be commencfd wHhin ho.'O )'t'ar.s. Further, a rule of re)lOU bars any cause 0( action 13 years afte r substlntial completion of any construction at an improvtment on real property. And. any express warranty is enforceable for the period of time specified in writing but mUlt be com-menced within two
--
Dickerson, 0( An· chorage, is A.liIS· ka', first female and black auomey, and WiIS admitted 10 practice there in 1959. She has been actil'e in the American and AlilSka civil rights ~ ar;:I WiIS the firs!: black pmident of the National ~$OCiation of Women Dlck....on
....,..
Dkkerson, a MonlllOmtl)' native. grad· uated. cum IllUde, from Fisk UnivoeT$ity where she wilS inducted into Phi Beta Kappa. She wilS admitted to the AIabanu State Bar in 1948, and practiced here until 1951, when 'he moved to Indianapolis. Indiana. She was the second black femal e to be admitted in Indiana and practited there for eight yea .... prior to moving to Alaska. • years aIIer the cause at action arises, S-313 (Act 94-244 ) Supervi.lon of Stale Employfta A ,tate empioo,ff ",110 reports a violation 0( law, regulation or rule l1\IIy not be fired, demoted, transferred or discriminated agai ....t for mak· ing the report. This Act cre.atts a cause action against the iSUpelVisor but not the State of Alabama. S-332 (Act 94-576) pmonaJ Inl UTana Contracb--This amends Section 21-14-3 to give a oorparation an insurable inter. est in the life or health of its directors, offla'" or empioo,ff .. Further, it pennits 1 ooT]'X>ration In> oontract with a shareholder to insure a shareholder for the purpose of re-acquiring the shareholder', stoclL It aloo allO'l'o'u charity to """" a lif. insuranct policy on the life of any individual who COTlKnts to the charity bting the O'I'o'ller. For furtMr information, contact Bob McCurley. Alabama Lilw Institute, P.O. 80~ 1425, Tuscaloosa, Alabama 35486, or call (2()S) 348-7411. • May 1994 / 145
BUILDING ALABAMA's COURTHOUSES GREENE COUNTY COURTHOUSE IJv SA"1Uf..'L..t RUMORt: JR.
The folloo:mg continue.! Q hUtory of A1abQmu's rountV coorlhousn_ the;' origins and ~ of the people who contributed 10 their grow/h. Th. AJ..._ lAqrr plans 10 run OI1e C'OUn/v's story in POd/ Usue 0{ the 11IQgQZine. If goo hot., 0111/ ~ /ographs of oorll/ or premll cour/-
houses. please forwo rd th em 10: Samuel A Rumore, Jr., Migliooko &: Rumore. /230 Broum Marx TouYr. Birmifl{Jhom. A/aOOmu35203.
I II
0 ....... County
ht tmitol1' 0( pratnt·diy Gr«rot County _ p,lrt 01 tho Choctaw Indian lind. ceded to the United Stites g<.Mmnwnt by iI treaty dattd OctQlxr
24. 1816. In this Irtaly the ChocUws; pve up all of t!w:;, lribol Lind! nst 01
tho Tombigbee R;~r. making It legal (or .. uters 10 enter the region. In lilt 18]6. Caleb Ru~1I b«alm one of the fi rst nUl." in the iI,n. Ot her pionurs arrived in 18 17 and estab lished a community nearby, caned RUSRII Stlt lelmn! or Russellville in honor 01 tile Russoll famIly. Soon Ihtre_ aflu, ilnotlar community c.olled Troy or New Troy was eSlllbllshed. It was IllImed to commemorlte incitnl Troy In Aliil Mino r. Subsequenlly. then communitiu mt~ mil brc.amt pruent·day GTft .... boro. Alab.lan-.. was made iI U.S. territory In 1817. On Ftbrwory 7, 181&. the ~ TerritorilOl Legislature trtiIltd Mare"", lind TUlelloon coun t lu. Then, on December 13. 1819, the day befo re 1 46 /~
1994
AIiIb&m:I ilChiMd SUtthood. the I.q!i$Iillu re cruted Grune County oul of II/Irts of Marengo and Tusaloosa CQUn-
tlu. The Ori8;nil Grune County boundaries included ITIIl$I 01 the Iaod In today's C~ mil twe CQUntiu. The orlilinal county w.. divided in two by the B~ck Warrior River. Cr«rIt County w.. IllImrd lor RevoluHonny Wn Ceneri] Nithilniel Gt'H1It. The City of GTftnsboro in th.le County, originally /I part of Grune County. was abo IllImrd for him M.any hisloriml COf\JIdtr Greene. ifter Washington. to bo! Amtric.o·s greatest mlli. tary leader of \lit Revolution. Greene was born in Wlrwlck. ROOde l$Iand in 1142. Hil family membo!rs '«rt Quaku$. but bo!c.oust the QuaRr Church it opp(l$td to ..... r{'re. Greene'S interest ;n military /lffairs rnulted in his Hp\llsion from tho! church. Greene Ht"ftd in the Rhode Islind cOlonilll Legislature. When "'lor broke oul with England. Creene organi zed a militia company and soon became II
Brigadier Genull in the Cont inentJ.1 Army. He too k pllTI in the siege of Bo.lon and, in 1776, comlnilndtd tbo! army of DCaJpation there with the nnk of major gene ...!. He fought ilt Princeton, Trenton, Gt rmllntown, Brandy. wine. lind Monmout h. He also Hl"Ytd with Washington M ViJWy FOflIt. In Dtctmbtr 1780, GI'ffi1O took com. mand of the Conllnental Army in the South. He ltd tho coloniloJ forces ilt the
llIEAUJiAMA LAWVER
sho~ of good drinking ...... ttT. The final blow Cime in 1838. when I yellow ItvtT epidemic lool< i large num· beToflives. AfifT losinll the courthouse. Erie be,," to decline. Most mMknu TnOYtd 10 the new county Kat lown of Eutaw. or Ihe older and lugtr Greensboro. In 1855. the Creene Counly Directory statu that only one h omutud remllined II Erie. togelher with the ruins of the courthouse, the;ail and a Irw dilapidatw tenemenU. Today noth · ing Ttmllins of Erie but a lew broken pitcr:!l of brick« stone when' buildi"" once stood and a hindful ofllnveo in the cemettry. The li"t election to change the courthouu ,ile took plaet on Ausust 21 . 1838 when the citizens of Creene County choK to ....,.... their courthouse by I vote of98S to 893. Then. at a sec· ond electioo on the ucond Monday of October 1838. they chose the present Ioc:ation. which. II the time . was Ihe flormlind of.., earty snller. Asa .....llite. While had acquired lind in Creene County OIS early as 1824. lie oontinued to purchi$C acreage and by 1&38 his
,lso j
." ''(I , '.
"
l1li...." of _
_t
a. .....
01 1 1 _ c-y,
c.unt,o
c.
'It"...
, ....... [Roy &.
,teaJ.
___
_w. V. GIl,.",'
or,
C_11oII.1
Sawye .... ille lind 13 milts west of GrtmSboro in praml~ Halt County. Tht rwne Erit is another duignation for Eir. or treland. Which w;u most liuly the origiru.1 homt of JOrnI' of the:
bitt In of Guilfo rd Courthouse lnd Euu.w Sprints. By "'U'I ~nd, he hid pushrd the British bick into Ctwlrston M10d SavanNlh. In gratitude for
$tTVictl
during Iht
war, Gtorgia ~~ Crunt • plantation emiL H. died at Savannah in 1786. N I firW lribuu, thr. Stat. 01 Rho)cW r.bnd placed his Woh.~ in Statwry Hilla' the Capitol in Wuhington in 1870. ~ fortI CO\Ulty seat of GrUM County. Hlecttd by the AlWIN Lrgisbtu~, was tho 1(JWn d Erie 00 lilt tMt bank of the WIT.jor Ri~T. The ,itt of Erit is approli lNltly lOUT milts $O\lthwt51 of
TllEALABAMA LAWVER
oounty'l urly midmb. Tht ud iut ( ounty U(ords revul tllat tht lirst Orphan's and County Court convtntd in Grunt County at Erit in July ]820. Tht first o,dtr of businus at this ",,»ion wI.! Iht p.iymtn! 01 $25 to Thomu Slrw~rd lor a house to be UKd is j courthouse. The next action wa5 to pay lamn Monette SI]O lor lumilhings in the 5tructurt. Newspape" published in Erie durinll the period mIIke milny references 10 whit wu probably ~ more suMlintil1 courlhouu built some lime prior to 1830 on , <:O\I1'thouK $QUlIn. Un/oftu· nIotdy. no picturts survive of..,y ouch courthouM iI Erie. In 1838. the CitiU1lS of GrtfTIt Coun · ty decided 10 relocate theiT counly $Cat lor R\leral reuons. Erie wu locatw on tho Warrior Ri~r &nd hid good water tnnsport.ltion. but the rOids Ieoding to ind from the town were almost impass. lble during Ihe rainy $Cason. There wOlS
holdings
ucwltd 1.000 acI'U. His lind
was located approximately one milt ..outhust of an eaTIy stltlement called Mesopotamia, founded in 1818. Muopollmia mun s " high place between two rivt~ " The rwnt rmrred to the an c ient name 0 1 Ihe TigrisEuphlatts Ri~r Valley. Since this area in Greene County was on , pbtuu localed between the Tombigbee and Warrior rive". MtsOj'JOUmii was aptly rwned. It dots not SUrvM today. other thin as " thoroughfar •. Mesopotamia Street. within the town 01 Eutaw. In OctobeT and November 1838. A$a White. "in toNidelatioo that the ...ott" 01 Gfttnt County_lIM: selected a site as the permanenl Kat 01 justice for said t oun ty on the lands 01 the said Ali White: conveyed to th. county a 20· acre $QUIlT. in the middlt of his hold· ings. Th. land wu 10 be used for" coortl>ouH. other civic buildinll$. ind the tomme rci,,1 distritl lor the new town. In December 1838, Robe rt G. QUIIrlts survryed and llid out the proposed town. Two stI5 of ""rallel strttlS. one running tiSl and west. and on. running north M\d south. creatw a grid of nine blocks. The cenler block wn
May 19\1.1 / 147
designated lor the COlIrthouK square. The struts ~re Liid out KCCKding to 1M points oIl1 cornpw without regard to lIIl existing IWd lrom MtsOPObmill to 1M WlIrrior R~r. The nine square blocks ~re divided into 74 Iota. An lIlICIioo to Rtl 1M Iota took pl,lce on Oecembe r 13, 1818. Prices lor them ranged from $100 to $SOO and the funds rllised Irom their S1le were w.ed by Greene Count}' to pay lor its new public buildings. Mta nwhile, An Whit e enjoyed a windfall II his umainlng properties escalated in val~. By 1841, he had sur~ iII!d iOId 19 lots. By 1860, he had $Old Ilmost 60 mono His wle prien nnged from $SO to $2,595. The newly crwed town .--. required I IIImt. In IIIming their cOlInty lut Euu.w, the P«IIIle 01 Gr",", COlInty ~ to ag;a.in honor Ctntral NlIthaniol Grune. Ctneral GrHnt'S greatest vic· loriu hlld bten in Ihe ClIrolillllS and mon VOIen in Gnent Count}' had bttn born in Sou th Carolina than in lny other state. Therefore, the choice of Eutaw 10 commemorate Greent·s defeat 01 the Briti.!h lt Eutaw Springs, South
Cuolilll in 1781 WI$ lllltural.
In t867. after the war, the LtgisLitun divided the ,ounly aLong the Wi.rior Rivtr. Tht utltm sidot. which WlI5 1M Lirger lIf(lion with the iUlItu po(lULition. btcIme tIllt County. The t""" d Greensboro WII midt its COWlty _I. The lmllier KCtion on the I«SItm sidot o( the river umiined Greme County. The pOpulation, which numbered 30,859 in 186(), _ rtduced to 18,399 in 1870. " dramilic change in popullltion and tax bast. Then, in ]868, the courthouse that had ,ervtd the county for llmost 30 YUTS burned. ]t is iIn KCtpted opinion lImDI1IIloal hlstorillns thit thi.! courthouse was the victim of lITSOIl. During the RKOOStructioo !'triad. «nain citiztru """'"rtntly Rt fin to their courthouse to destroy indictments again$t loalludtn brought by the despised
The first courthouH in [ut.a.w WII buill by John Y. Crosslllnd of GruBS· boro. The contrllct price WlI $26.000 lind CrossLind reaived iIn initial down payment of ,",.333 (or the project on June 21, 1839. The building he constructed was 4S by 68 Int in dimenlion$ with iIn utension on the west sid.: containing stain to" Hcond stmy. 11 was built in lhe Greek Revival style. The fint floo r consisted of lour offices with inter,eeting \2 . 100\ wide hal1w .~ s. There were four entrances. The stCOnd Hoor coruisted 01 a Lirge courtroom and I smlll judge·s chlmber on the tlst side. G.une County held a prominent pIKe in ALibi.rIIl durini 1M IS5&. It WII a cenler of wullh. Igricullural Ictivity Ind popul .. tion . The new ly ut.a.bliShtd Southern University WlI5 dlolrtered in Greensboro in 1856. The cmsus of 1850 showtd thit 1M po(lUb· tion oIenent Count)' ucudtd Mobile. Montgorntry, Mldison and even leffer. son count}'. Then. lhe Civil War came, followed by significant changes for Greene County.
arpt~n.
Since the county did not hive the money 10 build I totilly new court_ hOUH, the I tructure was rebuilt with the euet WOle design using the Wills lnd foundAtions that $uMved the fire. The county (hOH Georgt M. Figh It builder and entered into I contract with
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THE AU.BAMA LAWYER
him on July 18, ]868 for $1~,660. I'igh ucei-'. $2.500 upon Jl,nin, the ron· tnct with equal instllilments for th e balance It thrte. Jill and 12 monlhs. He had one ~ar to complete the building. Th e rebuilt cou rlhouse wu taller Ihln its predecU$(Ir. A lin roof with wide eavu supported by bncktts. lin Italianau feature, was added to the Greek Revival siruc ture. The britk walls. which rtmaillfd 18 inches thio:k, ...·ere pl1l5tered Ovtr wi th stucco. The building had four wroughl iron hil· conies, one over tach ent rll nce, lind doublNwung green shullen besi6t 1111 windows. AI. diffe ... nt limes. It 1\1$ bttn I"inlf<i SRY, soft pink and white. Owr tho)'tlT$, lliOous OUI·buildircs I\rJe bttn O'lnItrudtd (or public use on tho GreeM County $<] ......... In ]842. a structure identified I i the sherifrs office on m urIy map, and bter de$i,.
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THEAU.BAMA LAWYF.R
nate\! the Qnnd Jury building. WM con· Jtructed on the northeast COmer. The pl'Obale office wail buill in 1856 on the norlhwut COrner. II library building built in 1931 sits on the JOUtheMt cor· nero On OctGber 14, 1970, the historic Greene County Courthoun, lit that time jU$t (Mr lOO)'tln old. was nGmirnoted to be included on the National Register or HistGTic Placts. The strue· tUrf, described as wlidly built and in tood condition, was o(flCWly ~ded to the N"tlonlll Re, ister On Much 2~. ]971. EYm 110. diKtwions soon Iotgan (or II prGp(lu:d new courthouu:. The fundine ,oo.m:e would a.on>I' from II new Industry in GrteM County-Irg..liud gunbling. The Creenetrllek IIreyhound piTk opened in 19n. The IteisJatioo legaliz_ ina: ~ nocing in Greene County required the Grtone County Ru ing Commiuion to PlY ~ percont of the tot.tl iImOUnt wagered to \ocal iO''tm· menu and I#ncies. One or !hi: projms for which this moMY WM tIInnarked was I new Greene County Courthouse. The lrchitectural firm lor tho nN eau rlhouu: WiS David Jonn. Jr. and AssociutS, Inc. of Bi rmingham. The contractor was Campbell Ind AsJoci· ltn. Inc. of TuscalG()J.l. According to David Jon.~, his irwolve· ment .... ith the nN courtOOust began in tht tirly 19805 with an independent study projtd he used as part 0( hisl>W;-
terl d,sr.., program II TuJkt,ee Uni. versity. His study included queillon· nairts .nd initial ntedl .UtlSmen!. Furthtr plmning and lusibllity Jtudie, took sa.'tral mo ... )'tI1"l. Filllily. In the /all of 1991. desJtn WO)rII began, in the Summrr of 1m bids wert Itt, lind in the filII of 199) the courthouu: wlS completed. The new GreeM County Courthouse is rwntd for Williilm McKinley Bnnd\. the COUnty'1 fint bbck probate judge. Tht building contlliru appraIimately 15.000 squue ftet Ind eGit apprOI;' mauiy $1.2 million. Jones dtscribts the building ill post. roocItm JIOY!mmentlrthileC1ure t~t WNH the county ill a courthou$e and idministratiGn facility. Tlw &lTUC1uu is one·stOfY with a gabIe·roofed entnra· way that crutn I pIau dftct. Ste!)5 have Iottn elimlnatod and tht court· house il completely handicapped actts. sible. Tlw building materials weu brick and pre-cast conel'dO. Jone. Ntel t~t tht building was designed both to be sympathetic to the put and to provide I new legacy for futu rt Greene County rtsi<!tnU. Tht new courthouw fatu lhe old cou rt .qua .. diagonally. and was built on the block northtMt of the old ~rthooK.
Anticipated usn for the old Grtene County Courthouse include tor'I'o'ersiGn to I multum or lOme other Jimil"r public building. Howty.,. fundJ art preHntly urnovailablt, and as a mini . mum tho old couTthouse wilt need an tltvator lind other imprilWmtntJ for the handicllpptd. PuwfYitionilll hope u"t the hiltoric court $<]..,. ... with its courtltouK lind out·buildints will be rntored IG u:rve GrOtM County into tho nut century. • Sou rcn: Eula..., Th~ 8ui/den arid An:hitlld,," 01 Qi1 Antt-bfilum South. em Tall1n. CI"y lincnt.,. ]979; A Goodl1 Heri/~ oIC_ Cwn/1, Greene County Historiclll Soci· ety, Mary Morgan Glas.s. tditor. 19n: A Dinetort 01 CrHrIC Cwn/1 (0' HISS.· 56, V. Ciyle Snrdtwr, 1856. The author tlwtks the following for their contributions: David Joon, archi· ttct, Birminghllm. Alabama: Rob.,t Krack., attorney. Birmingham , Alaba. ma; Ralph Livtnnan, attorney. Eutaw. Alabama: and A.D. Goodo, 17ur BirmlrJg· ham News. /-by I~ 1 149
PROFILE PursuQTlllo the Alabama Siale Bur's roles !J"<'l!rning the el«lion of presiiknl-ll/ecl, the foIloo.·ing biOfll'rlPhica/ sketch is prooided of John Arthur Ou.ms. Owoms is {he s()/e qualifving candi(/l)le for the posilicm 01 presiiknl-lliecl of/he A/abama
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Stole Bar fo r lIN! / 994-95 /em>.
B;m;"""m. """~ 00 July o..m 7, 1939w. to born James;" King Owens ~nd BeatriC( OweN. Jamu King o..'eru "'11$ originally of Troy. Alabama. H. mowd tu Gordo. Alabama to
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teach school where he met md married ileatria ~r. bml'S King ()y.-ens, at various times. owned and Openttd a general
merchar.dise store. owmd and Operated an International Harvester Truck i\1\d Tractor.Mercury Automobile Dealership. and WM majority stockholder, president and chief executi,,, officer of the Bank of Gordo. .10M o..eru married DorothyTe">, of Red LaoeI,Alabama,Juiy 7. 1962. They have two children, Apsilah Gee. OweN (Appie), who presently practices with the firm of Lanier, ford. Shaffer & P3yne in Huntsville, and Terry Elitabeth Owens, who is an interior designer in Tn.lck«, California. Owens was educated ;n the public ",1>001. 01 Gordo, Alabama
SAUBA, REINHART,
MCLEOD & COMPANY Business Valuation Services
R. Gary Saliba, MBA, CFA, CFp, EA Steven w. Reinhart, MA, BS Robert W. Mcleod, PhD, CFA, CFP
333 FMSIWSSTRfJ!T
lIuNlSVIl.!.£,Al35801 (205) S39_396S
ISO I Maylm
Z209 9"rn SntaiT, S11! 200 l"Usc.M.o<:>&A. AL 3S4(I1 (205) 345-0034
and graduated from Gordo High School, valedictorian, class of 1957. He graduated from the University of Alabama in May 1961 with a bachelor of science degree in commuce and business admini.ltration and a major in accounting. He graduat· ed from the University of Alabama School of Law in JanU31)' 1967, 5t.aoding first in the cia.!$. In law school, he rectiwd the Lawyer·, Title Award for E~cellenc. in the field of .. _ Art_ Ow.... real property and se!Ved on the law review and Farrah Order of Jurisprudence. O""·.ru serw<! with the U.S. Navy Reserve while in colleg• . including two "ummer terms of OCS. He served three years on active duty and r.mained in the U.S. Navy Rese,..,.e for 11 years. attaining the rank of lieutenant. He was admitted to the Alabama State Bar in April 1967. He has practiced law cootinu<>wly since then in TuscaJoooa with the finn of Phelps & ()wens and il$ lucceloSOr firms as a senior partner through March 31 , 1994. Ef/<.'Ctive April I. 1994 he formed ()wens & Carver with Susie Carver. Owtns has served as a member of the board of bar commissiontrs. reprtsenting Tuscaloosa County in plac. number tw<). ,inet 1987. He .. rved aJ; vict·pres ident of the stat. bar from 1991-92. and 00 several committees o/the state bar. including chAi r of the Committee on Bail and Recognizance and chair of the Committee on the Future of the Profession. He is a member of the Tuscaloosa County Bar Association. American Bar ~iation, intematiONI Association of o,.,fense Counsel. Alabama Triall...awyers ~iation, Tmaloosa County Trial Lawyers ~iation. Alabama Defense I...awyers ~;_ ation, and the Tuscaloosa Chapter of the American Inns of Court in the category of Master of the Bench. [n civic and community seTVice, Owtns has been a member of the Tuscaloosa Rotary Club (president [983·84): board member. vice ·chairman and secret~ry of the TU$caloo" Academy. 1980·86: president for three terms of the TUSClllOO$a County Arts Council, including seTVice as its current presi· dent: member and office r 0/ the TU$Caloosa County Solid Waste Authority for approximately Ike years: cl1lJi r of the Jemison House fund drive: trustee of First United Method;,;t Church of TUSCllloo$3: member of the origiNI board of direc· tors of the Children·$ Hands·On Museum: board member of the Tusca loosa Symphony Orche$tra: and recipient of the 1985 Patron of the Arts Award presented by the Arts Cooncil of TUSCllloosa County. Alabama. • THE AlABAMA ~WYER
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1551 Old Shell Road · Mct:>ae, At 36004 • 205432-3032 • 1-ID).SOO.3032 • FAX: ~15-3141 'Il10 "'" of ofo- ,,_ JM..- .... of""""fIJI"t .... of~ '"'._ # " ~ {J<r 7W". s.-.: """'" 6 t.....od
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The Alabama State Bar Quality of Life Survey Results By: Keith B. Norman
In July 1990, President Harold Albritton appointed
a task force /0 examine the qualify of life of Alabama lawyers. In his charge /0 the task force, President Albritton noted:
A recurring complaint heard wrrng cider ~ /tm¥;IlaA A/aba<na is ~ law is jJsl rrt fI.n &1)ofJ"O'e. ' With )Q.I"Iger ~ a ~,,_ frequ&'!tcc"'rlfll1l is 'rflis is net \'liar I expected /he pac1ice d law tJ be.' ~ is this?
;
:=~C=:::;~
W
ith Jell)' Wood of Mont· ~T)I ~ its dlair, .md
reviewing tilt efbu of othor bm, the tuk foou condUlled thaI although the gtrlel'1ll findings of the studiu oonducttd by other boon indicated thIt tilt IM:I of diUisbo:tion with the pr;I(tia: of "'" was higIl. it was irnpc;uible 10 quantify from !hoM findings the satisfac-
OIhtr stiltS. ~ bo;>rd JPPI'OYtd the tMk foret'J recommtndlltion and the Capstone Poll at W Uniwrsity of AIabarna "'" rNinld to oonduct tilt suovey. Tho surwy "'" butd on a.....un wnpit olSOO "."btl$ d the b.v and _ proportiorW with rU!lKt to gender and ~,Of the sample loW, 401 completed the JUNe)' oonductfd t(l(phonically by Capstone Poll ~mploytu tJIpOrierad in ultphone intnview 1tdmiQuts. The find· ires wm' brokm down into ten bWc U)l1""", .. nb; which ClWI'I'ld !110ft tNn 100 pages in tho rwl rtflOrt prepmd by the CIpstooe Poll. The mults of e.dl of those components ITt Jummari~ below.
tional level for Alabama lawyers. As a ruult, the wk
Prof• • • lonal demogr. phlc.
iamvi«..:hair. G.mtt 01 8inning_ ham Will as its the wk
force mrirwtd lTWly of the qwIil)' oIlik Jtudia done by othtr state and loa! ban.. AI'tu
/~
rtcommendtd to lhe
boW 01 bar I:(lmITIWionon tNt I SUM}' of AIWrnI lawyen bt cmducttd -,:,.- to detenn;... i( Ali· ~ bama la~.. we" 152 1 May 1994
rxperimcing the kwll of profes,sioMl em-
MtisfKtion ~rienctd by their peers in
ThrfHtUllrten of the liwyers in the wmplt practi~ in 1iw firms (53 pu~nt in firms of Iw<rltn liwyers). and the
rtmlIining quarttr JKKIK:e as solo JKK' titionfrs (17 prr«nt) lind in other HI · tings luch as g~rnlTlfnal agt nciu.
judicial officn, corporations and non· profit agonein. The t.trllut nurnbtr, 40 ptrcent. cltscribt tMi r maJor aru 01 pooice"'ll titiption. I.a~rs WUt con· ctntrattd in the ....,;or metropolitan Irt;q 01 Ox sUte. with thrte.qua.rten 01 them practicing in ~ 01 the four....,;or met· ropoIitan countits (kfitnon. I-bdilon. Mobil.. aOO Montaomtry). ~I
demographic.
The "''''Ple consists of 81 perunt nWu aOO 19 ptrtmt femalt$ with 97 ptrUnt "ililts and 3 perctnt mlooritits. Nurly four-fifths 01 the mponcIrnta In married and cloK 10 Ihlft·fourths !>aY! children. Thfft·fourths 01 tho5t wilh child ren hoY! minor children (i.e., ~ngtr than 18 )'Urs 01 ago). One In tight of thtst parents (12.3 ptrctnt) has primary I'I:'Sl'Gf'$ibility lor the are of their children. and Ihrte·fiftlu (60 per· nnt) hi\'c shired ruponslbilily. AwfflJlimately 40 pernnt of the marrit<! TUjl(K1c1rntJ how $poUSts who do not work GUl5ide 1M home. nurly 12 ptr· cent hive SpotlKJ who Ire also lawyers, and the rermining 48 percent have ~ in J wide rJnge of Gihtr <x(up/l' tians. Roughly 6 perctnt indiated I~t they.."u sep/lralt<! ar dil'Ofced. Nearly three·fourths 01 tholt suT'-'t}'td indicated t~t they ~re unlltr lhe iIIt of 46. with ..... rly 42 perctnt in the 364S ~ range. Over two-thirds oIthoit sur· ~ .."u hom in AI.!.NITII.
Othtr ptrteptions indicate that 9Z puttnt 01 the lawytrs think the.., ~ ~n inerease in prtS$Ure la $ptCialiu. 21 ptr· cent lui th;ot nno Ia~f$ Jrt paid eXcts· siYt ""larios. 55 perunt ptTct;'" th;ot clientJ ue retaining ~I ~ frt· quenlly on • transactiooal ~ rather tlw> rt\.iIintr, aOO 62 perunt btliM' iawytn art btcoming I"" Ioy;oI to their firms or tornpIrlies. In 1tm15 01 private nvtters. 13 pernnt perceiYt Knous chrmlcil clrpendency problrms -lfnOIlg iawytn. aOO 36 ptrcmt indicate th;ot marry 01 their fritnds from t.tw school iii\/! tlMI nwiW pl'Obltml. (h>er 58 per. ctnt would likt to ha\'e ~ tirrw: lor prolaJiGnl,l attivitiu weh M pro bGno W(lrk. C(lmmunity lCtivitin. and bu activities. Firu.lly. 51 ptrunt peru;'" continued discrimination wilhin the pn::lnsion basal on pnsorW chancttr· iSlles. Interestingly. discriminalian within lhe profession is more likelyta bt per«ivtd by junior U$QCi;otn (61.8 ptr_ cent) tlw> by partners (46.3 percent). ;md ITH)$t likely bt percei",w by !host in MIl·profit agencin (lOll ptTctnt). An additional analysis of the discrimination item rNub that 87 pe. ""nt of female.
perctiYt diKrimiru.tion within the profeuion. whilt GIlly 43 ptrcHII of IN.ln ptfWw $UCh dl$CTim;rlltion.. ~ wu not J sufficitnt number 01 minority mponcIrnts 10 consider Ihis ilem in ttrms 01 ncialsubgroup$-
Ov.,.11 job . .tl.laetlon The vut maJority 01 U$pOndtntJ arC either $.ltl$lied (55.1 percenl) ar wry ...1· i$lit<! (39.4 ptrcent) with the c~lIcn8e and slimulJtion of their Icpl work. Those in judicill afficcs are ~t likely 10 I>e wry $atilfied (67.7 percenl). and
Lookin.g F o r
Perception. 01 the legltl prol•••lon In gmenl. i.twyt-rs appur ta hive .. mind ~Iing uprdi"ll their profmion. FGr tw'TIPIt. ntarly 81 perctnt think the ItglOI profession is btcoming Itu of .. prokssKln lTId ITQt 01 .. busintu, 89 ptrcent btlifYC tht public's view of i.twyt-n ~ btcoming Itu pOSitiw. 68 per. emt ptTctiYt the ftLatioruhip$ bttwttn lawytrs Ire hKoming mort aclvtfllNl. llld 65 percent think their u rur dtrmnds ifltd their ability to hlIvt ....1isfying prm.tt life. On the other hand, GIlly 26 percent think they IN.)' not choo5t the prolessioo ;l\PIln If reliving their li\U, 13 ptrctnt are iOITIttimtS emlwnsstd ta idmil lhey are lawytrs. 85 percent art eonfident they made the right caretr chokt. and 83 percent plan ta rermin in lilt legal prafusion for the rtlt of their career.
n-iE Al.o'JlAMA LJ..WVER
• Fraud • LoSI ProfitS .Business Value • U tigation suppon . Pinandal lnveStlgaliOn
We ca n h e lp1 Ca ll the for e n sic accoun ta nl s and fraud exa mine r s.
1530 AmSoulh/Harbert Plaza Birningham. Alabama
205-716-7000 May 1m / IS:}
those not in law firms uoo to tII)I'HJ lower levels 01 strtSJ tompIrtd to those in fiTTN. Th" difrertnCt " iICCOOIlttd for primarily by those in judicill offica iInd those in non-profit .gentiu. AI a part the workload i$Sut, thost in law firms ~re asktd to uti mate the number of bi llable hours of le,pl work they typic:ally romplete. Th is quution _ not appliuhl. for all rupondents in law firms. but 248 _rf: able to 8M a mponst to this item. Tho di51ribldion shows tIw rllOrI' tIw ho.ll of (IH or 59.3 perantj report rTIII« thin 38 bitLlobIe hours per week. Tw!ntY·K'.'en ptreent rtpOrt more tllin 4S bill.t.le houri pe r week. CNtrali. tht n.lawye rs tend to be sati.!· fied with 1M nature 01 their worlc. but many fttl the workload and strm Ire ",ther hiih.
or
u-
those in non·profit agencies are I libly to be \>ery satisfied (20 percent). l"hou who are dissatisfitd cited reasons such as inability to' work on casu th~ would (hooK, routine ~nd drudgery ~er yu." of tilt wne thing. iInd the businw uptCU which intenere with cllillenging work. MoM Iaw»m an ~ tithtr salW"otd (43.6 percent) or \>ery satisfitd (32.4 per· «ntl"'ith their cumnt oworIunitiu to ~~n;:t their c:ar«rs. l"hou not pook· in8 in firms, ~" are somewhat leu likely to be satisfied (28.8 percent) ~nd rTIII« libly to be dissatisfltd U4.9 ptr. «nt) or \>ery di$satisfotd (4 perunt). In this SlJbgroup. u..,.., in j/iM rnment ijltncits uprus the QrUttsl dissatWx· tion with opportunities for ~nce· mml Ois.$atiobction in th" arel arisa primarily from limitations due to the SiR or nature of the firm Or tQmpany. inlemalpolilics and demo8raphics (such
company. Current W<,Irkload is described as over· whelming by 16 percent of respondents; ilGY)'. bul mar\ajjt.t.le by 60.6 percent; ibout riiht by 20 percent; m:I insuffi· citnl by leu IIwl I peranl Junior as» ( ..In m:I those in corporations m:I non·prollt 'lltncits are lust likely to fttl ove .... helmed, while those in I/tmm· ment agenciu ind judicia! offices are most li kely to fetlthei. wo.kload is over· whelm ing. In all subgroups. the majori· ty of rf:s~nts ittl their workload is ilGY)'.irul rnanagt.t.le. Corresponding to the huvy workload, SO.4 pertmt 01 \iwyfrl describe their !tv.1 of joI>-reLlottd RftM as hig/l. m:I 20.2 ptrctnt describe it II \>e!)' hiQh, Within Llow firms. junior u.sociatu are mort likely to ellPrUS lower le>'els 01 stress; Sl ... u Itvtllppea" to be unrel~t· ed to the size 01 the law firm. Owr.lll.
Please note: The publication date of the bar directories has been changed from December 1993 to June 1994. 154 1 May 1994
. .tlsfactlon with
working Nr.stlon-.hlp. Law)'trs &pJItar to be quiU satilfitd overall with collegial ... b tionships with. in their offices. F'orty·four percent are satisfied ~nd an additional 48 percent are \>e!), Sliisfi.d. yielding a total of 92 per· cent in these two cattl/Orin. Only 4 per· «nt were dissatislitd, with I ptrcmt \>e!)' diwtW'otd. There is ... latiYtly littlt YlNtion a.:fOIS c.ottgOrie$ with ra.pondents to this question. di$sat· isfaction incluclt iuueJ such as bek 01 c.amar.lcltrit, lal:k of time for rrillion · ships. lack of tQmmunic.ation, Ind ho. ... ins little In common. On the whole, lawyers are .ithtr Slti,fied ISO.4 pe1Untj or very Atoord (36.4 pt.,entl with thei. relationships to climts. although this question WId not II!'PliCible for many who are no! in a finn. Law)'trs in non·profit agmcitl ltt ltut likely to be \>e!)' satW'1td with relationships (0 pe.«nH. but m(q\ likely to say th~ ~.e Atisfied (80 pe.«nt~. All rUp<)Ildents _ re asked to describe any compl~ints th~ llive regardin8,litnts. Those romments are summarized in the full report. MoM \iwyfn are A tW"1td with lIltir rebtionships with otIwr \iwyfrl outside their oKKeli (69.1 ptrcentl. m:I 18.5 per· cent say that they are "fTY satisfied with these ... btioruhips. Th~ are iliihtly mort likely to apftSS dissatis/ldion on Ihis qutJtion IS.S percrnt) than on the preceding questions about rebtiomhips.
Sourca or
u-
1llE AIA8AMA LAWVER
Thost moslliktly 10 bt wry !oalWitd ar~ partners in lirms {20.s percml} and ~TS in judicii.! offices (40 percml) or roon-prolit ~ncits (40 percent). SouKaol' disuliM'actlon Include t.Mng too littlt OIlPOfIunity lor sucll contact. tIM: I<Mrt.Iorill r>Mu~ 01 \hQo ~lation· ships. and Iiclc 01 trust. ~tisfaction "';111 reLitionslli]l5 ...;th 1M judicilirylll50 is high • ...;th 60.1 per· ctnt JII\i$lied and 18.7 percent bting wry !oatisfied. !.tIS IlIan 1 percrnt are wry diualisfitd and 7.s percenl art dis· 5aHsfied. For IhoM within firms. the pal· tern is Quite simib. Kr<)IS p05iliQn alit· gories. For tlloK not in firms. the great· est s.Jlisfxtion is upresstd by those in jo.odic41 offices thtmst!Ya. and the low· til s;oliM'KlIon is uprtiKd by IIloM in iO"!rnmenLiI agencies. The ClIU5eS c:tl dil-s.Jli,fxlion includf: the poIitiClll RIOtun: c:tl \tit judiciary, IKk 01' contKt, perceMd partiality, and lack 01 considtr· Ilion c:tl otoo demindi on ~rs' time. Thus, 1M VlISI majorily of \awy«s indio t.l1~ that they In: ei!hr. s.Jlisfitd or wry s.Jlisfied. Satisfaction Ipp<UI 10 bt somewllat higller for "';llIin-office rtla· lionships Illan for relationsllips with Ia~" outside the offiCfc or "';tll tm judiciary.
. .tI.l.etlon wit,.. c:omplnaatlon (Moll. 54.6 percenl 01 Iowytrs Ire s.Jtillied and 18 pm:entlre wry 5atHfird ...i!h the buis upon whiclltheir compen· s.Jtion is determined. PlrlntfS and those in non·profit ~>u an! mo5t likt\y to bt !oalisford or wry s;otisford ...;th 1M buis fo. determining thei. compenso· lion. Appronimately 21 percent of rtSpOndents a.. diwHifltd or 'l'ry dis· !oatisfied wllllihe basis Upon .... hich their compens.Jlion Is dete.mined. WIlen asktd wily 1M)' I .e diuati$lied. the most frequent rtlpOr\M is that 1M distribution of pay is not tq\loll in terms 01' amount of work or conlributions. This rtSpo)mt is mo5t fnqumt IITIOf1II junior U50CWes and jll.rtntn. St.>te wrylimiLitions I .. mtntioned oft.n by \host in ~. Lil.nciu lOcI judicilll officu. Whrn eked about the s;olisf;w:tion "';!h KllUl comptIIs.Jtion. 59.1 percent Ire SlItisflrd and 13.2 IIU wry s.Jti$lied "';\h their compensation. Plrtners an.d ~ injudieial officn I .. most li kely to be satisfied, 1\ tObI 0( 23.4 percent are TIlE IItA8AMA I.,\WYER
diwtisfied or wry dissalisfitd ...;th their tompensation. 'nIr primary ruson for disulisfaction is uLileil to perniwd inequities rtlMM 10 tho amount 01' work III' rtlatM conlributions of othtrs. n.o.., who Sild their pay is limply too low a.. liktly to be Itnior _iltes iUId
""*
,,~~
Thtst s.JtiPKIion ""Nblt:S were c0mbined with 1M repOrted annUll compen· s.Jlion to iwns ul.ttioruhi]l5 bttween s;oli.f.~tion and compen.w.tion. The rtsults show tllal ~ntraJly .... compen·
s;otion increoues. s;olis(a(tion .... ith tom· pensation and tho buis upon which it is dettrmintd incrust!. Cornptns;otion dots ""ry,'" would bt apecttd, by I pOIition in I firm, with pa.trlm IIaving the lIightr ~ls 0( comprnsation. With rtIflrd to 1M silt of firms, tho large firms tend to haw ~ls clustered in tilt $50.000 10 SSO.OOO ranll' ....-hilt the smlll or medium-siud fimu haw a mo .. dtfmtd distribution of compensation levels. For lhose not in firms, non·profit agencies t~nd to have the lowest compensation levels, Owr.lli. tht compenSlition 0( tt.oM not in law firms tends to bt lower than thoK pfilC· tieing in fiTITII. N "';th. othtr llUS, 1M majority of Liwytl'$ tIpt'H.$ s;olislKlion "';\h com· pensation issues. As would be txptcteil. s.Jtisbction is Itro<llf\y rel.tlfd to KlUIl C(>rrIptnJ.lItion. The primary iIOlIrtU of disutisfaction n:late to perceptions 01' inequity in thew mailers. The inequity iUUu both from intemlll comparisons of lime iUId effort relalive 10 outcomes ~nd from e,lemal compar;.ons 0( one's own work and compens.Jtion ..Iative 10 that of others.
HI:AlTH CARl: AUDITORS . tHC.
I-IC::~I
MFDICAl/DfNfAL MAlPRAcn<E EXPERtS
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• CRATISMED1CAL TEAM PREVlEWOfYOUR CASE: M ifld!¢I ......... 1O ...:trIain .". dIfino ClIlD!ion. liability ... ~ In IllIl1atdI tI COIf • CRATISCUNlCALCOllo'FI:R£NCES: , ',1I!a1l artNDy W:tl"" .... bj'SIfp.iImJ!:/I aoch ClJt 10 msure tha )<III' clinical tnowlod!!e II _ wlm "-"S. '~shall be blln.[Iy ~ ~ ClJt ~ '"' RIIri1. or ~ causali:ln II
r»or
• GRATIS QJNlCALRF1'RESENfATlVES TO YOUR OfllCE: nIqMh ffIirM. • CRAns. DETAIu:D, WRn"J'EN REPORTS: SIIOuId. tJlfbe UII'O'OfIhyd pmsuiI. IInII upcIOI ,.. dItt<t!w!$. ~ IhaU be pImtd 10 b-nrd I dIulled "FOfI. • HCAI Buk Fe: I. tz7S. r... iatwllOmAI .... l!I!Id*WIO,..,.lhtt:qlefl·S-t· II[Ib lIB ...... No ..we!1>PI"IS.1IO ........... and ......., -.. ...... IICAI II IlOl ._""'"' _ .. ~h>'<tptllrilled llIipIioII"IfOI'Ib_700b llnuct-n u.s. '1', hoot fJf'fIfd ow . . . . . prucImIIy. b IIaIh ...... ~
I STAT STAT AFFlDAVTT SERVlCEAVAILABLE I " CAl
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;4622
Te lepbone (81S) 57i-8G54
Tel«opler (813) 573-1333 ,~ ott
pItoSIId 10 rteI/'I'I' J<U' CIlI>.
May 19941155
Satl.f.etlon with profe•• lon.1 .... ourc•• Eight}' percent of lawyers are satisfied or .... ry salisfiM with the rewurte5 and aMi$tana provided by IMir finn or offiet. Over 90 percent Mve libraries on the prem~ •. two-thirds Mve computer re5tarch capa. bilities. and three· fO\.lrths Mve personal computers a,"ailable to them. Approxil1\IItely 60 percent have paralegal. and 60 percent ha.... offic. managers. Ntar1~ 50 percent .. timale tMllhey sper.d less IMn 10 percent of their time on office activities: other than pr.t<:tidng law.
Overall. 47.9 pertent of lawyers are sati.fiM with the amount of time they ha .... to sper.d with their family, and only 6.7 percont a ... very .ati.fled. Thou in gO\'. emment.l.1 agenci .. and judicial offices ne the most likely to be satisfied. Over 40 per,(nt of lawyers are dissatisfiM or very di$..ti.fied in thi. area. R<,>p(mdenl> who have minor childr~n ......... asked to indica.te their !<Ilisfaction with their ability \0 manage child care responsibilities. AI pOintM out p,..."iously, on .... ighth of thou paren\$ have primary re.ponsibility for the ca.r. of their children and three-fifths ha.... shared resporuibili-
Satl. f.ctlon with 1NI1. nc:. betw_n work .nd other .etlvltl• • Barely a majorit}' of lawyers ""pre .. satisfaction with the balanCl: between their work lile and other activities (44.4 peretnt are salilfiM. II peretnt are ,"ery sati.\fiedl. One· third indiut. dissatisfaction and approximately 6 perc.nt are very dissalis· fiM. In general, such dissatisfaction is higher among thooe in law firms, and IMre it i. greater among junior and ..,nior aMOCiates than partners. The other adivi · ties rderred to in this qu ..tion includ. community ..,!"viet. leisure activiti... and lime with lamily and friends. Lack of time and hu\l)' worklOilds are cit.d ... the major causes of dissatisfaction in this area. When MkM specifican~ about partici· pation in civic or community ulVice activities. 78.6 percent of lawyers indicat. t~ do participate in such activities. and approximately 76 percent are sali.fied with thei r OppOrtunitie. to do 50. Within firm •. partners are most likely to be !<Itis· fied in this regard: oullide of flrms. those in judicial officu are InO$t li~ly to be !<It· i.fiM. The 21 percent who are dissati.fi. d Or very dissatisfied with their oppOrtuni· tie. overwhelmingly cite lack of time as the caUiSt lor their dissatisfaction. Fifty peretnt of the respondenll indio cate they participatt in pro oono work but most of thi. i. conductM by those in law firms. Approximately 60 perant ...p.... !<Itisfaction with the opportuniti.. for pro bono won. Junior aMOCiates, in particu· lar. are likely to be dissatisfiM with their OppOrtuniti<!!l to participate in pro bono work (44 percent are dissatisfiM or very dissatisfiM). Major caUKS of dissatisfaction a... lack of time and r.gulatiOlll prohibiting pro bono work (particularly for gc:rvemment employtts). 15ti f May 1994
t}'. TIro-thirdl of the paren\$ (66.4 per· cent) a... .atisfied and 13.8 perunt are .... ry !<Iti.fiM with the management of child ca.r. resporuibiliti ... Aprro~imately 17 percent are (ither dissati.\fied or .... ')' dissatisfied. AI with oth.. 'rea! of life, those who are dissatisfied cite a lack of time as the primary difficulty in this nta. Compared to other uctions of the Sur· vey. the highest 1..... 1. of dissati.faction ne found in this area of balance between work and other activities. ~ who .""res! dissatilfaction a... allllOlt unani. mous in indicating that their hu\l)' work· load p...dud .. many at these other desir· able .clivitie...
Opert4nded question. F8g.rdlng work .nd cll.nt. Many interesting comments ...... r. made in reSpOnu to open-ended questiOn!. Helping pwple WM dted most frequently
as the most !<Itisfying aspect of the job. and the he~ workload WM cited most frequently as the least .ati.lying Mped 0( the job. When asltW about specific types at case. or aMigornenll. litigation ~ ...... re InO$t often named as the ""'"t sati •. tying, and family Or dom .. tic cas.es ...... r. most often named ... the least .ati.tying cas... (There we ... some pwpk, of course, for whom domtltic cas.es were the IIlOIt !<Iti.tying and for some whom litigation was least !<Iti.lying). The most freq~ntly dted complaint. about elienl> ...... re thei r unreali.tic expectations and demands. Unli~ most of the other bar SUNeyS which indicate a high level of dilsati.fac· tion, the Capstone Poll indicates that overall job sati.faction among Alabama lawyers is.e')' high. What malc ... Alabama lawyers different from their peers in other statu in this regard is difficult to .ay. Despite the overall high degree of job .at· i.faction. the poll bring. to light ..,....ral areas that require watching Or further study. One area is the hu\l)' workload and high strw level eXperienCM by many lawyers. Over time, heavy worklOilds and high stress C(luld node satisfaction. The poll already indicates that the lowest 1",,el! of !<Itisfadion now OCCur where lawyers f«1 that other activitie •• uffer ilooluse of pr' Sling workloads. Another area of cOnc.rn in,"ol"". lawyers who work for govemment.l.1 and non· profit agenci .... The evidence sugges\$ that as a grouP. th.u lawy.rs a... the ones who a... most likely to be dissatilfied with their jobs. This is particularly dilturbing because the degree of dissatisfaction among publi c sector lawyers 11$ rewaled by the survey might be having a negati .... impact on the conduct of the public·, busine.<$. Pinally, the fact that 87 perc. nt of the ....pOnding women lawyers and 43 percent of the responding male lawyers believe that di"rimination i. a problem merits further study to det.rmine the exact nature of the problems confronting Alab<lma·. women laW;·ers . Similarl~, because the survey .ampl. WM too .m.ll to be .tatistically valid. the a...... of con · cern that art unique to Alabama's minority lawyers need to be asctrlained. Copies of the complete Capstone Poll may be obtained by writing or ca.lling the Alabama State Bar. The cost is SI2.5O. copy (includes postage) for bar members and S30.00 for nonmembers. •
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.JULY 2 ThursUr AlABAMA SURVEY ISSUES
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...
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~
1994 / 157
THE ALABAMA CLASS ACTION In the first pari of/his Ofticle, printed in the March 1994 A/lllx1mll Uiwger. the requirements fOT cla55 certification were discussed. This second pari CfJ/.II!rS do!;!; actioo issues involving
jurisdicliOTI QT!d venue, discooery, prer;erlificalion mol/Om, abatement, certification hearings, appeals, statutes o/limi/ati()fl5, notice, Sl!lIlements, and allomeJl~ fees.
B,I: Alan T. Rogers andCregory C. Cook action litigati(ln, ""nue inues may be much more compelling in these casu. as compared to cases involving only a small number of parties and witnes.ses. In led~ral court, venue for a class act ion under Rule 23' is determined just as it is in a comparable type of nonclass action. The tourt, hOW'!""r, only co",ideT5 the residence of the named cia.. r.pre""ntati""s. S~e 3B Moor.·s FWERAL PlIAClIC[ § 23.96 at p. 560.1 n.11 ("Because venue turns upon the con"",n;enct of the parties . . . it would make no ""~ to COIlllider the usiden"l' of the other members of the class").
JURISDICTION AND VENUE
n Alabama. circuit courts
I
hav~ jurisdiction QVor clau action •. Di.I,ict
courts are not allowed to
adjudicate class actions, set A.R.C.P, 23, District Court Committee Comment., and a cif(uit ,I»l.t will aggregate the clalrru of all class members to felch its jurisdictional amount in controvers~ , See Thomos v. LibertI National Lift J1Vi. Q,., 368 So. 2d 254 (Ala. ]979~.
Absent I. du al Question jurisdiction. federal diversity jurisdict ion may be invoked with dinrse citizenship and the requisite amount in contr(lver~y. Th~ Unit~d Stat~. Supreme Court has held that diversity nwi onlv be main· tained betw«n the named plaintifb' (as (lppo~ed t(l each (II the putaU"" claos plaintiffs) and the defendants. Sngder p. Harris. 394 U.S. 332. 340 (1969). But, as t(l th~ requisite amount in oont....,.,.,rsy, the am(lunt mu.t be ~h(\Wn as to ea<:h of the named plaintiffs and putative class members (i.e.. the court win oot aggregate the claims of the class t(l satisfy the am(lunt in controversy). Zahn II. Intemoti(lnal Paper Co.. 414 U.S. 291 (1973 ); bul see Corzo v. Natirmal American Ins. Co., 807 f. Supp. 1256, 1258 (M.D. La. 1992) (Cih"ll cases and oommentary and hold· ing that 28 U.S.C. f 1367 overruled Zalm) . Ve~ue
No Alabama Supreme Court case has yet specifically addreUtd venue for class actiuru. but pre.lUmably Alabama would foUow the federal cast law and apply
158 / Mayl994
Alabama'. normal venu~ rules to the named plaintiff~' The prinCipl e of (orum nOn conveniens, however, may be particularly suited 10 class aClions that on filed ina venue convenient only to a representa· tive plaintiff. Ala. Code f 6-3· 21.1. allowing tha!lJ!<i' or tra",l.r of "",nue lor con"",nience or in the inl..e.t (If jus· tice. should be carefully conside red when a defendant or a subrumtial portion 01 the alleged c!au reside oul3ide of the venue whe re th e case is filed. lIecause of the broad scope of dass
DISCOVERY In most cas~s, disco~ry must pro· ceed for tm trial court to have adequate evidence on which 10 base its certir.ca· tion decision. Th~ Alabama Suprtm. Cou rt has .... t. d: "The trial court has lhe dul,l to determine the class action question whether or not a motion is mad. by either of the parties ... It must dde rmine ... that all prerequisites of 23(0} are met and, in addition, that at least one of the three requirements of 23(b) are :latisr.ed." Baglev v. City of Mobile, 352 So. 2d 1115, ill S {Ala. 19m. At the certification hearing. the trial court must make a factual determinl1_ lion that t he named representative. have met thei r burden of proof as to each of the elemenl3 discU55ed in the March 19.94 Alabama /..owller articl~, including nume rosity, commonality, typicality and adequacy of representa · tion. Because a decision to certify a cia.. will bind absent cia.. member·s
THE AlABAMA ~WYER
rights (]X>Mibly without notice), courts will often allow di~ry to imure that a court's factual determination is COrIn Firsl Alabama Bank of Mont gomny, N.A. 11. Martin, 381 So. 2d 32 (Ala. 1980), the Montgomery County Circuit Court permitted ITI(Inths of ducovery regarding issues posed by the class allegations before conducting a htaring on certification, In Marshall
Durbin & Q). u. , _ lItililies Board, 437 So. 2d 1014. 1024 (Ala. 19&3), the Walker «mnty Circuit Court conducted a clan certification hearing last ing th ree days and then deni ed certi/ica· tion. Tht denial was ilfformed on appeal in part becau~ the et'idence s howed thaI the named plaintiffs had claims arguably different from other members ofthe purported class.. Commentators have also ajlT«d that fact issue. are involved in the certifocation process and that disoovery may be necessary in ildvance of certification. As stated. for tumple, by N~WBER(; 0 11 CLASS Acno~"S, 3d td .. § 7.08 at p, 7·29: Discovery ... of class represtntatives may be appropriate in order to probe the affidavits submitted in suppo r t 01 t he class action, to test th e plaintiff's aUeged typicality of claims, to chall e~ specific areas which the defendant r easonably believu involve potential connicts with dass memMrs. or otherwise to Question the qualificatiolU of the plaintiff to ~lW as a represenla·
NOTICE
TREAT AWARD FOR EXCELLENCE Each year at its annuill meeting in November, the National College of Probate Judges honors the recipient of its presti" gious Treat Award for Excellence. The award was created and named in honor of Judge WiI(iam W. Treat, founder and president emeritus of NCPJ. The College annually selects an individual who has made a Significant contribution to the improvement of the law or judi" cial adminis!ration in probate or related fields. The purpose of the award is "to recognize and encourage achievements in the field of probate law and related fields consistent with the goals of the National College of Probate ludges." Previous recipients have been members of the judiciary, a"orneys and law school deans or professors.
Submit nominations of qualified individuals to: Treat Award for Excellence Commi"ee National College of Probate Judges 300 Newport Avenue Wi(liamsburg, Virginia 23187-8798
tiw. LyolU writ ..: Often, some discov.ry may be nt"essary Mfa.. the issue is riP<' fo r judicial intervention,' Di~ry
requests related to issues of cla" certification and notification are governed by Rule 23 (d) - allOWing the court to make such o r ders as are "app r opriate" for the class act ion. Because the trial court is giwn flexibili · ty in conducting the class action in general. the trial court is also giving O.~ibility in designing the timing and K<Jpe of discover)'. Many fedtTOlI courts, in adopting discovuy orders, have relied on the Manual (or QJmpJex Wigalion, Second, 1985. For inslance, fed· eral courts have entered orden limiting
THE Al.'.BAMA lAWYER
This commi"ee includes three NCP) officers, the president of the American College of Trust and Estate Counsel, and the chair of the American Bar Association's Section on Real Property, Probate and Trust law. Nominations should include a resume of activities, le"ers of recommendation, awards received, achievements in probate and related fields of law, and any other relevant material. Nominations received by June 15, 1994 wi(1
be considered for selection of the recipient to be
introduced at the annual meeting in November in Charleston, South Carolina.
May 1994 1 159
NOTICE TO ALL ALABAMA STATE BAR MEMBERS AVAILABLE SOON! ALTERNATWE DISPUTE RESOLUTION HANDBOOK WITH MEDIATION MODEL The ~mI SI.lt~ Boor's fisI< Foret on A1Umol"", ~t. Ruolulioo has prtp.l.rtd a handbook addrfSSillll OIlttn\lltivt disputt raoIution (ADR) p!'I.XXduru amently omilillit in A1WmI ....i!h a focw on mediation. The purpost o(llle t.andbook iI to provide a useful tool for j~ and auomt)'S in utilizing ADR in AIab.una. (All j~ ..... ill be proYided a CO\'Il' through the AlMama Judicial Coll.g •. ) The handbook tan be JIIlTC~ by sending tht ord~r funn botlow with )'Our check to the Alabama State Iia•.
r--------------------------------------------, ALTERNATIVE DISPUTE RESOLUTION HANDBOOK WITH MEDIATION MODEL ORDER FORM ~ ------------------------------------------
~"'. ----------------------------------------------"" _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Sblt _ _ __ ~~N~
__ ZI. _____
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Forordcn of leu thu 20·
Smd _
For mkn 0(20 or _ .
"'" _ ((IpIu of 1M ADR 1b""bMk at $8..00 pCT COpy for. total of
eopIe. of the ADR IbndbooIr II $10.00 PH COpy for • 10111 of
.---'- -
Alabama SlItl Bar ADR c:.ntrT &l1li ma1I to
Al&bama Slit. Bar c/o Keltb Normu P .O. BOll 671 Monttomtfy, At. 36 10 1
L ____________________________________________ J 1 60 1 M.i~
]994
THEAl.AB.\MA LAWYER
diKoYtry 10 cb.N iuuts unlilll certifi(/Ilion harinc is held.' The Unllrd Statu Sup~me Court has held IhIIl Ir;"1 courU in dUi IIClions should not ~qui~ defmdllnts to bur the COIls cI performing tasks ~ by lind bene/ilinl Ihe pJllintiff. In Op~,;m" Fund, Inc. D. SqrrdtfT, 437 U.S. 340 (1978). the pWntiff sought to obtain 1I IIsl of III inwstment fund shueholden. The defendant showed ""'I ~triMI of the inforTl\/ltion would involve substanlial COSIS. Tht Un it.d Statu Supreme Court held that the ddendant should not hlI"" to ~y the costs of the r.triM): The gentrlll rule must be that the r.pmtn~tivt pLiointi" should perform the Wks. lor it iI he who H'U to mIIintain th. luit iU /I clus ICtIon . .. . [AI party must bur the "burden of rmancing I1is own luit .... " Thul ordinarily there is no Wlrn.nt for Ihifting the cott of the npn .. ntal ive pillinlifri performlne. of thtSt Wks to the ddendllnt. 437 U.S. lit 3$6. Courts hll"" also allowed discovery from IIbsent diUl members (or the purpOKs of determininl the propridyof ellISS c.rtification.' For .umpl •• in T~ R~ming Corp. II. DrarJo Cwp.. 139 ".R.O. 619. 622 (S.~. TtL 1991), the ~rt IIIIowfd d~ into iuun of r.l;"net by tht ab5<l'nt diul membtrs, tIltir IICtUlI damages MIll tho
amounts of damaat.
PR£-CERTIPICATIOS MOTtOSS Wh"t if ellli certification I\u not btf:n rud'Itd. but the defendant files I motion to dilmiss or for summuy iudammt? MlIy tilt trilll iud#: dismiss the cliillll of I pubt;"'" cllss bdQre «-r_ tifi(/ltion is eonsidertdl The M\SWO:r is )'tS. although tilt _ judicata (but 001 the sta,., dec;'ill eff.ct of iI dismiSSII mil)' be .Hmimt.d for unnamed, puu· Ii"" ,Iau rmmbtrl. Whll. voluntary dismissals I~ sub· ject to court IIpprovlll, _ Rul. 23(.1. inllOluntarJl dismiJials art In exc.p· tion. Involuntary dismiSSIls will pr.· sumably not irwolvt collusion or bent· fits to r.p,e5<l'nllti~ pl"intiffs It the C2P'_ of the ( _ Although Justice !obddo:I Opined in II specu.1 concurrence in ]98] thllt pre· artiration dismiss.ll of I dass lICtion iI ",rely IIJlI7'OPriIIle - knes II. Soot/r· ,m Unit,d Lif. 392 So. 2d 822 (Ala. 1981) (coneurrinl Opinion) - his Opinion now may be tilt minority view. ~nd th.re are A]ab.oma ca-'u in which motioru addrtmd 10 th. meriU w..re considered in advance o( certification.' for instmce. in lIe1ms v. Fint Alabama Banko/Gadsden. NA. 3S6 So. 2d 450. 454 lAla. Civ. App. 1980). tht (ourt IIffirmrd a Suntmiry iudlmtnt dismiss· ing tilt use where tIltre ~ bun no (Ius «-rtirlQtlon ruling. In AmaSOil II, Fint Stat" &Jnk of Lin,,,iII• • 369 So. 2d 547. 549 (Ala.
"'5 ..
]979). the Court affirmed" summary judgment d~mi"inc II CiSe and not~: INlo caStS cil.d 10 UI by th. plaintiff rTWKIate II postpontment of the cltterminltion by the court for furllltr discovery and an evi· dentiary hur;n8 Ui/rm the un· cont~rted fllCts show a(firTl\/l. ti~ly that the pillinti/f dots not ihlr. th. identity of intunt ~quimllfor cllss certificationl. federal casn hlV' also allowed dis· positive motions prior to c~ artifica· l ion. A IItfenliant nu.y move (or sum· mary judgment prior 10 or it the liimt tim. as class certification. Suo e.g., LorlJv ", 8«tJf, 407 F. Supp. m. 291 (S.D.N.Y. 1975). In so doing, ~r. th. defendant auumu the risk thllt I judgment in h~ favor would not prokd. him from lubHquent luiu by other poItntu.1 class members - the deftndant mU$t be cont.nt with stan! dtdsi$ protection. rather thlln tilt protection of re, judicata. S", '.{I .. Roberts v. Am,rican Airli"". Inc.. 526 F2d 757. 762·63 (7th CiT. ]975). The M<l1Iualon Complu Litlgalion. t 30.11. p. 209. 19Tffl. suting: "Often ... !hi: court nol only may. but Ihould rul. 00 motions ul'ldtr Rule 12 or 56 without iwaiting clas.s artirlQtlon." Defendant, may fai s. Rule 12 arouodi lor diwtiull. For txamplt. ftd· t",1 casu hII .... held IhIIt tht requis.ites ofa cllss Idion (i.f.. tilt fllCls) must be
Officially E"oofsed and Rtcommtrnkd by Attorneys' Title Guar:anty Fund, Inc.
Did you do 129 closings last month with 1 computer and 1 secretary?
We itU '~rd which makes you money. Sleek, FasI and Unencwnbered.
THEAU.BAMA lAWYER
F aJI>t,f
lIrtJoc' 0 I . Proa:nm for Ileal F.SII.\e Cla.inp
May 1994 / 161
pl~d
by the plaintiff with 5uffici(nt for th( compl~int to with. ~"Rule IZ cNllnIIIt. 5« Batsakis p. Fed"';l/ /NpoIi1 Ins. Corp., 610 F. Supp. 149. 1$1 (W.O. Mich. 1981J. ~ clan action complaint must allege m(Ift tlwl mtre conclUSOf)' .1Iltgatiom tNt follow the lang~ of Rule 23. 5« Jlhrms v. Bowtn. &16 F. Supp. ]041. ]041 (E.D.N. V. 19861, ovtrrultd on a/her grounds, 852 F.2d 49 (2d Ci r. 19881. Pre-certification motions may also help define Ihe Icope of Ihe alleged class. For irullooce, in Bersch v. Drexel Firf'stl)1lf, fIlC., $19 F.2d 914 (2d Cir. 19751. the oourt of illPtils held th.l.t the fedenl KCUrilies 1aws were inappliable to Ala of .. rorpol'llllion's Jtack to lor~ign purdllJtrJ oubidt of the Unit«l St~ teJ _ thus eliminUing from the put.ltiw class.1ll purclllKl'"i oUwr tIIIn t.hos.e who were ruidmts or citiuns of the Unil«l Sliotn.
rontTOV!rsy until lhe cont~TS)' is concluded, subj.d only to lIPPtllatt rtYitw.
J~cifidty
ABATE.'IIE1'o'T In .. CIS( of flnt imp ression. th( Alabama Supreme Coort recently grant· td a writ oImandamu.l orduing a trial court to Ilay an Ktion brought in an individual a.pacity. The plaintiff was i member of a clus tillt I'IIKl already bten ~rtifi«l in a M""l'1Ite Idion ~~ the ... me de/ndant rellard ing the wme allegatlonl. Sa C.. porte Lilurtll Notional Life Ins. Co., _ _ So. 2d ~ ]993 W.L. S22S&I (Ala.l. The Abhamlo Supreme Court broadly wrote tNl: The law iI clur INt the circuit court in which jurUdidion owr a cont roversy Is first invok.d has utlusive ju risdiclion ove r that
".
The Barbour Circuit Court initially .urciHd juri$dietion over this mailer. and it must be permitled to rflIin jurisdiction ...ithOIlt any interi(rence by lnl' other cir<:uil <:ourt.
CEHT]FlCATIOS HEARINC V(TY nrly in tht ~volution of clan iKtion litigation in th il SI<Itf, tIw AIaboo· rna SUllremt Court madt dur th.I.t ~ clus ~rtiflCltion huring and .. dtliber..1M procas involVing the pr(rtquisilts of Ruk 23 "re IJII1I1dqIotJl if a (Ius is to be: art.lf,«J. In BogI" ... Citll '" Mobik. 352 So. 2d ]] 15 (ALa_ 1977). the trial court noted in its final judgm(nt in favor of the plaintiffs tmt "this iKtion Ills bten pfO!>l!rly rnainb.intd .. a d .... action." Reversing. t he Alabama Supreme Court not(d Ihat the record did not reneet I d .... c.rtifocation hear. ing or a H~rate orde r of d.u.s certifica· lion. The Court ruled th.l.t "an ordtr of delumination is mandatory" and thaI "the lrial court Iwi the duly to deler· mine the clus iKlion question -..hether or not a motion if; ma.dt by either of the putit$. " 'd. at Ill8. A hnring may be r.quest.d by the on~ proposinll the tius, by th( one chall.nging the class suit Or by tht court on its own moIion. ~ <:ourt ITLI.)' permil discoYery on qllUtions ,.l'Ial«llo the ~hara(t. r and sin of the clu. before the ~rtifia.tion hearing and may allow such noCic( as discreHon pmnits
MEDIATION r R. \ I '\ I '\ (,
BIR~tlNGH.-\I\1
July II • 14 August 8 . 1 I M~I>I"'TIO~
\62 ' ~y 1994
S I \1 J '\ \ R.
1--800.ADR· J-1.RM
CAU . t'()M A ~ BMOCHtJU!
COM I'QIlA r io.... . P.O. Box Ii]lil • Roc:krord, U• • Ii] 125
und.r Rule 23(d)(2). CIIsa iuua and the evidenli.l.ry huring must ~ around the Rule 23{.. ) rtqI.Iiremmts and, if .. dass iI to be certified, a determillltion of Rul( 23 (b) dass Igpes must be: mad<- - all ~ in the first ~rt of this Irticl. in Iht Much 1994 edition of the Alabama
",,-. If .. cllsa is 10 be certifi~d. an evidenli"ry hUring should, at a minimum, involve presentations by the named plaintiffs and th.i r counsel 10 su pport the;r burdens to me(t the Rule 23(a} requi r.ments lind an opporlunity for the ddendint to I dd ' tlS those ~m( iuurs th rough .umination of the plaintiffs evidtnct and prtlotntation 01 evidm« 01 11$ own. Although the discmion ilIfordtd the trial court in moIdina: (Ius lit .... tion allows certifICAtion to be modifi.d Or wholly withdrawn , .. nd ev(n rtcognizlng that Rule 23 I1likts rderence 10 ~rt;rlCAlion liking pLKe ill soon as prldiable, tMre is IiI· tit logic in Il"IOYing too quickly toward a certifia.tion hearing without illowing discovery addr(S$td to the is.sut. Other· WiK. the hearing will Wu on more of the chancteristiC5 of a pr.liminary ..erciH than It will a full consideration by the I'ial court 01 the Rul. 23 requirements. One f«leral r:ommmtator Ills noted: In determining whe t h.r ~n action brouaJlt lIS .. class action is 10 be so m .. in la ;ned, Ih. trial court sl\ooJld tartfully Ipply the crit.ria Ht forth in Rule 23 for the TI\I;ntmance 01 .. clus iKtion to the I~ts of the case: ~nd if it fails to do .0 iu determination i. subject to rel'uul by the appellat( court when the issue is properly befort the bUe r court. 38 MQOft's F'tDDAI. 23.50 at p.~I1_
f'IocncI:.
APPEALS OF CEItTIf'lCATIOS ORDERS If certifiution is d~ni.d, may Iht plaintiffs a~] that order! If ctrti6a.. tion il grant«l. ITLI.y deftndanu appeal that ordu/ Th. AI .. bama Supreme Court has held th.l.t "an order rknging dau c. rtificati on il an appeafal>ie 'fonal' order." noting tNt denial of ctrtificlItion effectively terminatt5 the liti~_ tion lIS to all members of the class other TIlE AlABAMA LAWVER
than the original. named plaintiff (i.e .. the d.. t h knell doctrine). Butler v. AudioNidro Affiliates, Inc.. 611 So. 2d 330, 331 (Ala. 1992). The Court did oot addre .. th~ r~lated quntion of the res judiaJta effect ofth. class roling on any luture attempts by class members to asse rt clus righ\$ in ~parate proceed-
ing.. The federal courts, ~r. disa,gre. with the "death knell" doctrine and hold that denials of certification are not final, appealable orders. SH, e.g.. Gary Plaslic Packaging Corp. v. Merrill, Lgnch, Pien;e, Fermer & Smith. 903 F.2d 176, 178 (2d Cir. 1990). As for orders granling elMS certifica· tion, the Alabama Supreme Court has roled that such orders -being inherent· ly provisional in nature. subject to change ... the litig"tion unfolds _ ue nol final judgments lo r purposes of appeal. In First Alabama Bank u. Marlin, 381 So. 2d 32 (Ala. 1980), the Court indicated its unwillingness to addre .. interlocutory appeals of orders granting ctass certification. noting that such orders are inherently provisional; that the trial court i. at liberty to alter or amend such a ruling.t any time; and that the trial court may tven terminate the clMS status at any lime after the ini · tial ruling. The First Alabama court noted that it did IWt ""ant to become an adYisory panel on certification orders. Federal courts agree.' Later caus, ~r. rdlect a willing· ness on the part of the Alabama courts to not only review cortification orders
• CIVIL -INSURANCE
-a
before a trial on the merits. but to <:Nertu rn those o rders where Rul e 23 requirements wert not met. For example, in E;r parle Blue Cross and Blue Shield of Alabama, 582 So. 2d 469 (Ala. 1991). the Court granted a petition for writ of mandamus and overturned a trial court 's certification of a ctus, the Court finding that the plaintiffs had not md their burden of proving each of the four elemen\$ of Rule 23(a,. If class certification is granted. the i.. ut of cortification may be raiStd in an appeal of the entire cau. SH. e.g., Har· 00r hv;uTQnCf! Co. v. Blackwdrkr. 554 So. 2d 32"9 (Ala. 1989); &gley u. Cilg of Mobile. 352 So. 2d IllS {Ala. 19m. B«ause of the broad range of i.. u •• included in class certification orders, and I.>ecause of the provisional nature of these orders. trial courts in Alabama a~ gi~en a cerUin amount of latitude or "discretion" in granting Or denying class certifications. An oft stated rule is that such roling:. wilt only be reversed for an abuSt of discretion. SH, e.g., Butler u. AudiolVideo Affiliates, Inc" 611 So. 2d 330.331 (Ala. 1992). Such reversals for abuse of discretion have, however. occurred in some cases where the Alabama Supreme Court reyiewed Rule 23 determinations by trial courts.' II the court dismis.ses the cau on the merits - whether or IWt Rule 23(c)(l) certification took pl."" - the judgnw:nt is final and may be appealed. Nichols u. Mobile Board of Realtors, Inc.. 675 F.2d 671.673 15th Cir. 1982). A dismissal pursuant to Stlliement approved by the
court pursuant to Rule 23(t) is also appealable as a final adjudication. Gendron u. ShastinQ Pro(X'rties, Inc., 578 F.2d 1313, 1315 (9th Cir. 1978).
STATllTE OF LIMITATIONS What happen> to the statute of limita· tions for claims of unnamed. putati~ clau members when certification is denied? That is, if a class suit is med. but certification is later denied aIIer the SUlute of limitations has run on the etass claims. will individual members of the putative ct .... th~n be barred from bringing thei r Own claimsl
............
Th . Alabama Supreme Court has a ddres.ed this issue .eye ral timos, including: First Baptist Church of Citronelle v. Citronelle-Mobile Gath· ering, Inc .• 409 So. 2d 7'17, 729 (Ala. 1981) Class certification was denied and the statute of limitations then expired. A second suit was filed and the defendant raised the statute of limitations. Justice Faulkne r, writing for the majority, held that the statute of limitations is tolled from the date of com· mencement of the action until the date of denial of dus certification. Finding that this tolling concept "enhancu the policies underlying . elMS action: the majority Opinion also stated that the ruling helped avoid multiplicity of suits. [n dis·
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lOS 164!t-S!t84 THE A1ABA."IA l.'.WYER
P.O. Sox 180066
Mobile. Alabama 36618-0066
FAX Phone:
lOS/64!t-S886 May 1994 1 163
tenl, Justice Torbul obsuved that the majority opinion would only H~ to multiply luits and
swe cbirns. "71;1<1", Sims, .70 So, 2d 1191, 1193 tAla. 19851 Aaoin lIlUking for ~ ,,*"ty, Justice Faulknu oburved Ihat the statute of limitations i. toll~ IS to all lSHrted membeu of a putative c~ until clus «rtificalion il drnlt<!, rtgardless of notice 10 thOM Individual rmmbers. Fur· thermore, "Iwlhen a clus action il instiluted against a ellSS of Unnlmt<! deftn~nts, the statute it tolled AI to all putative memo bers of the defendant dus.• (HI,i/l~. Mangum. $23 So. 2d 348 (A1a. 1988) Justi« $hom' opinion Ritera/._ ed the rule of FirsliJqplis/ and Whil, and added a twist _ al though Ihe statu te of limita_ tions <flumes running when cer· tification i, denied. it will be tolled lsain if an amendment i. filed leeklng to certify a slightly different (Ius - tvoen though the motion to amend WIS pending ",thout ruling for one )'Ur. Ex pqr/<I 1I<.lj/tS. 579 So. 2d 1343 (A1I.. Iggi l
Justice />tadcIoI:·1 ~ty Opinion obHMd that ....... n wh«e the sioel., nlmtd CWI ~tativt turned oul to ha~ betn dud bela« the lUil wu ...... n filed. MId even though clau cert ification had never been ruched, the statule of limitations wH tollro by the mere ustrt;on of a cLus suit, thul allowing - thrt. years later and afler lhe statute of limitations hid run _ an inlervention of a new clus repre$fntativt to ~ the Cllt towud II certifi"t ion
""....
TheM d«isionI Qfl be iIIustratt<! in this hypothttlcil: John !)X, purporting 10 represtnt II e1lSS of cUltomers of ABC. Inc:., IUtl ABC in I ctau Ktion. The statute 01 limitations run> the day alter the luit i, filed. Members of the pUrpOrttd clus Ut ntvoer givtn notice of the sui t, and certification i. denied one year after ,ui t il med. The rtst of 1&4 1 May 199-1
the pUllltly, clul would then hive another IUy after clus certification is denied 10 fil. their own ctllinu. twn though the stltute of Iimiutions had Kt.wly run on their cbims i )'Ur tini· tT - all btauH 01 the fortuity of John ~ having mide II CWi iU,ption in his own suit. In 10 doing, John Dot ,stendtd by one )'fir the SUtut, ollimitlIIionJ on the claims of Ihe cLus even IhouSll they ...... re not ""·ire 01 his suit The clock simply stoppr<l ticking when John !)x., clus sllit WH filed and start· ed ticking ag,in when « rtification wu denit<!. The Alabama d..:i'iora (\0 not offer lIrl}IjJUidan(c on when the tolli"ll J)t1iod «UtI MId the 5t.Itute tornrntncn run. ning 0fICt "iIin. under olher circum· S~~tI. Clearly the conclusion of the litigation would rtsb.rt the ltatllte of limitations, though fa judiaJ/a Wuts woold be prHtnttd in such I sitlWlon. The general pt0p03ition in AlabamJ. tNt it is only the pendmcy 01 an action in a court which has ju riiodiction that tolls the statute of limilations i. pre· sllmably applicable to class actions. ~ FrNr u. Poller. 413 So. 2d 1019 (Ala. 19821; T<i'm!inDl Jq,. v. HIBOn. 620 So. 2d 637 (A1I.. Igg31.
,..... ' -
The Unlt~ Statts SuprtlTlt Court has held that. where dall «rtification il drnit<!, tilt mtutt of limiutions lIS to putatiw: clill members is tolled from the tilTlt offiling suit until the drnial 01 «rtifiation. SH A...., ic:ml Pipe &- Cans/ruction Ca. v. Utah . • 14 U.S. 538. 551·53 U974) (tollt<! whert clus failro to u tisfy numerosity); Crown Cork & &til QI. v. Parktr. 462 U.S. 345 (1983). This rule has been held to apply tv.n where a (b)(3) class is SOlllIht and, after notice. certain members opt out. The rultlllWlits to them II ......11. EiMn~. Carlisi." Jacqu<I/in , 417 U.S. 156 U97.). Not',~. tNt at !tlI5t one Itdmol court has IIKlintd to IOIIow this tolling rule where the originlll class pbintiffl Md llIilt<! to utWy evm the typicality Of" ~UlICy of rqlrutntation requjrelTltnU of Rule 23 lind therefore could not seNt III clus rtprutnUtMs. !ift In rt EIKinI Lid. 5«ur. l.iIigaticm.. 674 F. Supp. 374 (D. Mass.. 1987). Final_ ly. although the limitations period i. dumed tOllro during the pendency of a
cLus action for PUI'"jX)SU of biter intervention or individualluil by a class member. l person Heking to bring I biter c/Qs.f Klion may noI rely up.lIl the lolling effect of an urlier ctlll suit. ~, ,.g., SQIazar.Cafderm ". Praidio ValleN Farmen Aun. 765 F.2d Int, 1351 (5th Cir. 19&5). NOTICE Rule 23 only nquires notice for Rule 23(b)(3) \ypt clus actions and for set· tlements. rtgardl .... of clas.s type (set Rille 23(e). Rule 23 states: In any ctus <lelion maintained unde r lubdivision (b)(3). the court fhall direct to the members 01 the clus the best notice prmi. cable under the circumstancu, indudina individual noti« 10 ill members who can be identified through reillOnllble efforl . The notice shall adviH uch member t~1 (111he court wiliellCludt the member from the ,laSl if the ITItmbtr so requests by a specific dat.; (b) the judgment. whether f~vorable or nOI, will include an members who do nol request exciulion: and (cl any member who dotl nOI request uclu.ion may, If he desi res. ent .. an appearance th...,.,gh rounsel. Rule 23(,1(2). Whilt notice is not required fur (bl( II and Ib)(2) type clllliciions. Rule 23 allows the t rill judge 10 order such noti« when. in the judge·s discretion.
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it i$ deemed lpprop~te. Rule 23(d)(2) stltu: In the conduct of lIctions to which thill rok ~ies. the court
may
~e
The «1\111 -..tnt on to .ute,
approp .... ~ orden ...
requiring. for the protection of lhe mvnben 01 the clus or other.oist for the wr <;I.WIduct 01 the IClion. Ihal notitt lit given in such mllnner I i the court mlIY diTfd 10 somt or all 01 the memo ben of lny step in the action. or of Ihe propoud txtenl of the judgment. or of the opportunity of memberi to signify whdhe' they (GOUider the rtpr ..entation fair Ind adequite. to intervene and present cliims or defenses. or otherwise to come into the
action.
The fliluu 10 provide IIfOtXr notice. when required. clIn nuse the elus loCtion court not to ha~ juri$dktion CMr thoK memben who 1ft not givtn notice. and thus I11iY be II buis for collatmll itllrCk upon the judgment in the clau action. ai well as a buis for appeal. See. /l.g .. Tag/or u. UberIg Na/kma/ Ufe 1m. Co.. 462 So. 2d 907 (ALI. 19M) (lIllowing a collateralatllrCk on I dw loCtion in which i (b)(2) class w»(Crtir~).
In the TaNlor case. di!oCuS5ing due procUi uquiummlJ for the tKrciK 01 jurisdiction owr abient class melIiltrs. the Aillbama SlJI)remt Court I>u writ· When only Injunctive lind liecliratory relief are JOUght in I dau action. "th. due proceu interut of absent rmmlltrs will usually be !-afegunded by adeQuate rep resentation alone." When individUIII monttary claims
,,·.ilable to ;ndividUIII t"- membrrs. the more liktly that the req;ui r.m.nlJ or Ruin 23(b)(I) lind 23(b)(2) will not be mel Ind individu.l notice under Ruk 23(b)(3) and Rule 23(c)(2) will br req;uiffii. ~ court I>u said that tvtn urtain equi\.ilblt remedi.", if suffotitnl. Iy individualiled. could conceivably requiu notice 10 IndividUIII class mem·
are at mke. however. "the NIanu swinllS in flvor of. .KlITW:' sort of. notice.' 11 If uWyud in terms of what the dIU membtn ha,... at s\.llb in the different types of dlu actions. the reuon for the differ· ent notice requirements for lhe different Iypt cl»Ms it obviou5 due pro«u ilHlf requires differ· ent nOlice baitd on what right s and obligations au It stak e in elCh of the three differtnt clau
.
typU."
In determining whether notice """'Id be requirtd in Rul. 23(b)(l) and Rule 23(b)!2) clus K"lions. courts have generlily relied upon the degree of cohtsivtroeu 01 the clus ond the dtgree to which property intereSIJ oIabstnl cI&N mtmben Ire bring adjudicatrd. These two fllctors bear directly upon whtlher notice il comlitulionollV rtquired for due proce.. .ind whethn or not the class has bMn properly labeled as a 23(b)(l) or 23(b)(2) class. Ru le Z3(b)(]) lnd Rule 23(b)(2) classn tend 10 be more whuive and thus may not have inle rnll. conflictina inttre.ts." For instance. in 23(b)(2) clauu. il it more likely lhat judaments obt.iinoed by one member of the cliu will eQUlllly ilfl'tcI other members of the tlus. and it il lou liktly that theu will be .ptti.tl dtfttUtS or iuuu rtliting 10 individu· ab." 8eclluit of this cohesion. it is more liktly that the named ~\.II. liYes will ao;!eqUIIlely protect the .v:.sent members and everyone will be given Iheir functional equivalent of a diy in
~".
~
It il conceivable that certain equitable remedies. such as restitution. are sufficiently Individual ralher than class in nature OS to pr"enl the 11m. likelihood of divtrgent interests ind thus the WIlt need for heightened notice. lI.I requests for individual. legal relief."
Whe .. a ta$t "reoominanlly IUks mOM)! dilNJlts on in individUllliud baala. ind ividual notice to the dau members OUIy be required in ordtr to S.l.lis(y the due proctu roelUS n«tISll"J' for obtaining judidiction. See Phillips Pelroleum Co- v. Shull$. 472 U.S. 797. 811 _12 (1985). Currently pending before the United St~tes Supreme Court il Tfrol" 1i/l, /1'1$. Co. v. Brown. O.K. No. 92-1988. raising varioul inuel I I to nolite and olher Rule 23(b)(3) prottclions AI 10 a class ~ settled under Rule 23{b)(2) without individual notice.
"".
Ctntnlly. the plaintiff is requirtd to pay Ihe COlli of notice. See Eisen p. (Ar/is/, d! J«quelin. 4 ]7 U.S. 156. In (1974). "I'ypto of Notlu
The mort likely that damages on .in individUIIlly determined buis will lit
The United Stalu Supreme Court has held thit. when notice i. requiml. idtn-
Richard Wilson & Associates ANNA LEE GIATTINA A~'_OfI\LOlWU\1IAII5IICE'" _ t... ~,.c.
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264-6433 May 1994 / 165
1 66 1 ~1994
lifiable class members shoold be given individual notice. despite the cost that may be involved. See Eisen. 417 U.S. at 176 ("thero is nothing in Rule 23 to suggest that the notice requiroments can be taitored to fit the pockd books of part icu lar plaintiffs"). Rule 231()(2) requires that all class membus who can be identified through rell$Onable effort be tontacted. The normal procedure is for the court to requi re the representa· tive plaintiffs to submit a p~ list of persons to whom notice should be unt and then a llow the defendant to object or offer a counter proposal." Typically. such notice is given ~ia mail. although other methods ha~ e bttn uud." I ndi~idual noti", may also be combinN with other types of notice to assure that class members who can· not be identified will be provided the best notice practicable under the dr· cumstances. Typically. such notice is doot through publication. notification of ,·endon. etc. If diligent efforts are used to p ro~ide notice to indi~idua l class members. the fact that individuals may not receive actual notice dots not cause the class to lose its effec\. See J. C. Bradford &' Q>. v. Colhoun. 612 So. 2d 396. 397·98 (Ala. 1992) I"Failur. to receive notice of a class action does not exempt a class member from abiding b}' limitations set forth in a settlement thereof" . SEtTLEMENTS Whether or not the cl as. has been ce rti fied. the re can be no settl ement without court approval and notice. Rule 23(e) provides: (e) DismiSStlI or Q>mpromiMl, A class action shall not be dismissed or compromised without the approval of the court, wd notice of the proposed dismi~l Or com· promi .. shall be given to all members of the class in such manner as the court directs. The purpose of Rule 23(e) is to protect puhti~e class members from unjust selliements Or va/untllrll dis· mi~1s made beGause the named class representatives lost interest or fortitude or we re able to utUe the case to thei ' individual benefit. but not nece~rily to the benefi t of th class." Class actions an specifically exempted from Rule 4 1'. prOVision for voluntal)' dis· THE ALABAMA LAWYER
missals "ithout court approval. If a set tlement il approved by the court and notice provided, the settlement will be reS j udicata to all class members (except fo r tho. e tha t may haw opted out via Rule 23(b)(3)). See J. C BradfOrd &' Q>. v. ColhOWl. 612 So. 2d 3%. 397·98 (Ala. 1992).
Pn<ertlfltaUon Sdtltment In Philadelphia Electric Ca. v. AmI· cando American Brtml Co" 42 F.R.D. 324. 326-28 (E.D. Pl. 1967). three of the 13 dtfendants in an antitrust class action stttied before class certification. The cou rt held that the re must be a presumption that there was. proper class action. therefore triggering the Rule 23(e) requirements. The court fur· ther noted that its approval of the stt· tle"",nt pursuant to Rule 23(e) could be combined with the consideration of class certification i... ues pursua nt to Rule 23(c)(I ). In th~ alternat i"e. th e court stated t hat it could hold the approval of the uttlement in abeyance pending a determination of clul certifi· cation. The Philadelphill Electric proce· dures have been adopted b}' other feder· a1 courts."
Noou Court approvaJ of a uttlement is not unlil notice has been given to the class members (i.e., the hearing on the faime" of the ..,ttlement cannot Occur until class members have received notice). HO'ft.~r. notice of ut · Ilement is nat "'Quired where (I ) class certification is denied. (2) the cia ... is dismissed on the merits. or (3) where the case is dismissed for lack of jurisdic· tion. Remember Ihat. for pu rposes of case dismin.\. notice is required for voluntal)' dismissals. Not e Ru le 23's language - notice is required "in such manner as the court directs" This i5 a discretionary funct ion of the court. there being no single method of notice required under the Rule. Federal courts have gen erally pre· ferred written notice .ent by mail to each class membe r. but examples of notictS of pTOjXlSed settlement include: I. Flyers posted at • correction center giving notice of a prison· ers' class action settlement we'" sufficient even though iooil.idu· al notice may haw b«n practi·
cable. Van Hom v. Trickey. 840 F.2d 604, 606 (8th Cir. 1988). 2. Publication of a proposed set · tlem ent wu acceptable in lIandschu v. Special Services Division. 787 F.2d 828. 833 (2d Cir. ]986). 3. Individual mail notice and the appointment of. gu.rdian .d litem far any un known. unborn. incompetent or minor members of a class and notice sent to the state attorney gen· eral fo r .ny mem be rs of the class who ,,'ere charitable beneficiaries complied with due process. Meger u. Citi~ens &' Southern Nan Bonlc . 677 F. Supp. 1196. 1208·09 (M,D. Ca. 1988).
In .t least one case. Ihe Alabama Supreme Court was willing to permit collateral attac); on a class ilC\;on settl.· ment whe re notice was not properly gi~n to the parties seeking to attack the settlement. presumably on the basis that the failure to give notice was juris· dictional with respect 10 the class mem· bers in question.,s.,., Taglor v. Libert,l National Life Ins. Q> .. 462 So. 2d 907 (Ala. 1984).
all~d
Trial Court' l Review of Sdlltment The trial court's function is 10 assess the settlement under Rule ~(e). ~nu· ally. the trial court will hold. hearing on th e .ettlemenl. One Al abama case has recently stated that the trial judSt' should give "meaningful evaluation- to a proposed utlle"",nt and provide par· ties opposed to the settlement a "mean· ingful opportunity to be heard .t the fairness hearing : Ex parle Liberty National /-ife Ins. Co., _ _ So. 2d ~ 1993 W.L. 522564 (Ala.). The nature of the htaring is detennined b}' the circumstances of each case _ for example, most are e ~identia ry in nature, so"", are not. " The trial court must determine if the settlement is fair and reasonable. See. e.g .. AlII!TI v, Alaba· mil Stale Board of /;ducatian. 612 F. Supp. 1046. 1053·55 (M.D. Ala. 1985). vacated ()Jl ather grounds. 636 ~. Supp. 64 (M, D. Ala. 19S6). One federal court has noted that "such a determination is committed to the !<lund discretion of May 1994 / 167
the INI judgt. Crol wtithl is aa;onStd his ~ beauw lit is nposed 10 the lilipnts. and IlItir slrattgies. pOSitions and proofs: A« I/ruling & Plumbing Co. v. Crane Co., 453 F.2d 30, 34 (3d Cir. 1971). Iml court $hould Io.tp-
n...
port its conclusions in
writ~n
form
10
aid~lb~mW.
n... United Statu Supreme Court his held that the only options for tilt trial judge in revi ewing I propoKd nUle· ment an to accept or reject the entin p~ To reject or;w;npt portions 01 the pl'l)pOMd ~ttitment. or to ICtMI)' reslructure the pl'Oj)OS.l.l. are inappro' priate. E!IOns v. J~1f D.. 475 U.S, 717, 72&-27 (1986/. In lI'IIMYi"ll1 ~ttltment, the court mUil act as a guardWl 01 lilt rithts 01 tilt abKnt« cLus mem\)(rs. n... bur. dm is on tilt propOrIt'nts d lilt KUIe· ment to persu~de the court that it is fair. ~qu.l.te and rusonable. $ft. e.g.. I/olmes v. Conlinenlol Con Co .. 70-6 F.2d 1144 , IIH (l ith Cir. 1983). Although the a~quacy of the stttle· ment ;s • diocrelioNry dulsion butd UI"Qrl the fact.! of eKh case. ~11KIrlg the most Important factors for the court to conskkr are: I. Strength of Ihe pllintiffs' Cist
tilt Ml'IOIJnt offered in Iott· tlemmt. The preKnce of iUly collusion in ruching the Iotttltmenl n.. ruction 01 class rnrmbtrs to lilt Ktlitment - a1Ur notice. Opinions d counsd. n.. stage of the procwlings and tilt unount d diocOYtry compln·
vtrsuS
2,
3. 4. 5.
...
6. The pb.n for distribution of the proceeds.
7. Whether Kttlement would waive other viable claims of the clul
""""'~
8. Whetlltr proper ootice his bHn
"""'."
Courts have sometimel affordfd Pl'r· tiu oppostd to class action settlements the ()AlO11unity to take limited discovery regarding settlement: however. tiltcourts must carefulI)' balan« this n«d ~insl the <!angt> that wide-open dis· covery will thruten the compromin 168 1 May 19£14
and thUl irljuu lilt clw memkrs ILg.. discovery can be used I i • thnat to nise cosu)." Recently. the Alabama Supreme Court allOwtd limited discov· ery dim:\td loward the lWropri.at .....u of n Ulement. $u Ez parl~ Liberlll Notional Lir~ Ins. Co.. _ _ So. 2d ---' 1993 W.L 522564 (Ala.) (gfiUlt· ing " writ d ITIindamus to intervenors ..... ho sought to compel the trial judge to rul( on ttair diK~ry motion:! befon th( rairntu huring wu held on tho tllN settlemtnt). A Irill court's approval of • stttle· ment. put in tilt- form of a final order, is appealable. A mtmber 01 the elaS! or pub-tive clul who appears Ifl.u nolice and obj.cts to the sottlem(nt has I right to appeal (rom lilt fillli judgment opprcwing the sdtt(ment. Su Arm· strong v. Boord of Sch(}()/ Dinelon, 616 F.2d 3Q5 (7th Cir. 1980). H~r. an appellate court will only Intervene upon i clur showing that the trial court Iw abtlll'd its disc:retion. /n n C4nugoltd OJ",loinn" Antilrusl Utigolion, 643 F.2d 195. 207 (5th CiT. 1981\. If the senlement is nol approved. a writ of mandamus may be sought, but it is nnl)' iuued by ilrI ~I~te court sinet tho trill court's review 011 clw.scttlt:· ment is a discretioNry function. Stiw In n Traffje Eztculive..tun - Easlem R.R., 627 F.2d 63 1 (2d Cir. 1980/. ATTOIUI"£Y'S FEES ~ courts have uen:ised c~ supervision of IttOmt)"1 rtn to ~HI connicts 01 int.,est devdOping bet-..~n the clus and it. attorneys. See. e.g .• Slale~. Brf)/;,TI. sn So. 2d 1256 (Ab.. 1991) (approving an aHorney 's fee where the circuit court judge did In uhaustM ~is rJ lilt proper ladon in aWlrdlnQ an attorney', fets): Regnolds v. Firs/ Alabama Bank of Mon/gom, rg, N.A .. 471 So.2d 1238 (Ala. 1985) (reducing 1It0mey', fee in classlCtion). Thfc Rule 23(d requirement of court IJ'IIT'MI lor In}I clw action settitmeni extend$ to a\tomt»'s fees arnnQements. This apP1'(Ml1 by tilt court may be simi· lar in form to I umittitur. n Court app1'(Ml1 is nt<:n.s;ary fur orIN ...... rd 01 attorntis feu. ~r by way of set· tlement or resolution of the ClJt or final judQm.nt. Fedual cou rts have noted a need for clost supel'Yision off«
awards in elliS actions. J>articullrly where the feu will come out of a com· mon fund iUld diminish cbss members' recoveries. For instance, in In n Fin, P<1per Anlitrusl Liligalw.., tilt- diStrict cou rt not.d. in rupOl'lSt to In attor· neYl 1« request that amounted 10 OYtr 40 pera:nt 01 the Iotltlrment fund that: These lee petitions are grouly excessive on their race and. rtgnttabl)', lend substanet to the widely h.ld ilrId mostly un~YOr' ~Ie irnpft.ssions of lilt pbintiffs' class action bu, sometimes rderr(d to IS the class lICtion indwtry. 98 F.R.D. 48, 68 (E.D. PI. 1983). Tho typiaI ~ to lea includt the convnon fund~oI~11. Tironic NaI1 &mit. 307 U.s. 161 (1939) and lilt common benefit rule. So1I!, e.g., Mills~. ElK/ric AUltrlile QI., 396 U.S. 375,392·97 (1970). Courts have applied both a percentage method and I IodesUr method Ii multiplier based upon the hours worked) to determine attomey's (tel, often wiflll both to ensure that 00 attorney'. Itt is out oIli""."
COSCWSIOS CllJJ actions life cornplu proceed· ings that Ihould be approached cau· tiously. Certification of I class involves much more than I \)(Iitf that there Ire numerous, potential members of a ,ius. lfa clus is to be celtiC...!. the due procus rights 01 ibsmt class membeR. who fillY not rKeM notice. are depen· dent upon the adequacy of the r(pre· senllti"". and tilt diligtnet of the Irilll l~. n.. idmtification 01 clw memo btn ind provIding notice can be nt~i... ril)' comptu and tirm con· sumiflll. The rnlIIIlubility and ruoIu. tlon of class actions can be difficult beClwe of individu.l.1 iuues of relillnet, dunages and counterclaim!. The !;OUrt must be conJtlnt ly vigilant aglinst potentioJ ronIlicts 01 in~ust within lilt (lass Ind ~twttn th dUland its attorneys. •
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~"ntitl •. SucfI • considItf.tion 10 _moly Impor\ant In what IY!>I
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0 1 _ 10 P'O"idI. s.. 1nfrI. 2. Compare E. ",,"0 BIu. Crou .nd 8/u. ShIM! of _
..... S82 So. 2d 069 (All.
1991)1~"11 _ ,'" """"" prtHi..".. .. . cI... _ .",..,.e><l); COIIIfMre•• ·9 ..
Ala. Code §t 6-3-2. 6-3-3. 6-3-1. 6-H. 63-6. 6-3-7. 3. Ti"Ot orticIo ...... _ " 10 _ 10 _ the Ala. R. eN. P. and the hd. R. eN. P. Ala. R. CiY. P. 23 onr:t Fed. R. CiY. P . 23 "" ... . nll . tty identlca t .n~ Ih . ... tabam. """,,- III.ve .tared 1tIo1 _ o f .. ecedonl is ~ ~ lor ....-.... pr"",," du,o. Fnt e..pti$I C/Itm:II ~ v. Ci~·_'" GBlhrIM,;J, Inc. . .fOIl So. 211 (Ala. 1961). I .C. Lyons, i\IWmI~: _ 01 CIvil P1oo«Jure. ~ted. 1 23.10 11 p. 361
0'
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(2nd ed. 1986). 5.s.., •. g .• F'l<JmmtH v. Chicago Jo<Jmey. "",n F'I<J-"l(JC~ UfIioIl No. 130, n F.R.O. 399. 002 (N.D... 1977): Glass ... F'tII/adeIp/Q flee. Co.. &I F.R.D. 559, 561 (E. D. PI. 1971). SH 01.0 Newberg on Class _ . 3d Ed .• , 7.0801 P. 7·28. 6.See 7B W'IgM , loIill., & ~ ."'. F_'II
15.s..~~Mi Ier & ~f
1786 p. roo--o,. 16.See M.nul l on Comptl' L.lllginl. 2nd. § 30.211 ("noCice by mail """'-'ld ~ ". erTIflI<>yed and. _ _ may be _ _ ,..". See. e .g .• III re AsbeI;"", _ Uf!.QI'ion. 10~ F. R.D. ~ 22, ~39 (E.D. PI.
7. &Ie.•.~ . ..-..,.., ... CIT. 630 So. 2d :x;e I...... 1993) (." irming .... mmary tud\fmenl ond _ . not rflO<:flIng claSs - . . . lion): S.nde,. v. Coloni.' Blnk 01 NIbe ..... 551 So. 2d 11).<5 n.l (...... 1989) (~ndino ell.. olr1ifical"'" moot boeIu .. """"'"'l' judgmInt w.. proper}. a.s.. 38 Moore', F_of P,1CIioe t23.97
19&1). 17.S••• • ·9 .. 38 Moo,. ', F_'ol Proctic<o f 23.8(1 1>. 23-<178; Wright, IoUer & K>w>o §
P. 23-56!i. 9.SH, •. g ..
18.SH
1791 P. 30'0. f~
pMe BIw Crou and BIw
- . S82 So. 2d 0169 (...... 1991): BIgley ... CJ/y 01 352 So. 2d 1115 (All. 1977). 10. v. I-iNIIy N"ooIlIHJfo ",.. Co. . 462 So. 2d 907. 911 (...... 19&1). Q<lOIWIg._ . CI... Acrian" Ce"mellian I nd No''''R~_ ... 68 G"". l .J . 1009. 1026 n. 1SI (19110). 11. 1<1.0191 1. 12. w..a../ ... I-iNIIy _ _ Co.. 508 F.2d 239. 25fi (3rd Cio-. 197~); Bam. v. I-iNIIy NI6or>II Ih In<. Co.• no F. s..,:.p. 1499. 1515 (N.D ....1• . 1991); Wright. Millo, & ~ane§ 1786. 1 3 . _ ... CorIIifI«U/ Can Co., 706 F.2d II .... , 1155 (1111> Cio-. 1983); Bam. v. LIb-.rry~_ Ih/no. Co.. F. 01 1517 & ".50 (o<ling eo ... ond commen-
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II.Ba!tll ... I-iNIIy~_ IhIN. Co" F. 1:1 1517. n.50.
s..w.
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on Complex Uliga1ion. 2nd. §3OAS: Wright. !.1lIor & ~ § 1791.
19.s... I.g.. CoIIou<> ... Cool<, 187 F.~ 580 (5t~ CiL 1973) (re •• "lnoo " ,,"menl _ . "" lrial COUf1 did nol ".,.., ......... dorr1ia'Y ~ ..ring); $ " generally Wrighl, Mill., & Ka".. f 1797.'351·55 (".,Ing .,..... willi and _ ....... rr1iary ings). 20.38 Moo ..·• F_,ol P'aoIlo. § 23.110(41 p. 4/jg.90; WrignI. I.IiGM & ~ § 1197.1 (lsting • • arnpIo easeo). 21.s..~ Mi ler . ~. t 1796.1 (pock. II part): IrI re AtnsI!>d inGW.. Inc. U1igaIIon; S2 1 .... 211 III).< (0." CII. CI. 19I16) (deny. Ing dIscoYeryl· 22.38 Moor... Fodoral ~t 23.911:1 P
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23. s.. Masht:c.m ... _ _• Inc.. 661 F. SUpp. 679 (M.D . ...... (968) (dll' cuning tho me'~. and .. - . . . <II both
_."""""1·
Alabama State Bar
Members Want Price And Service. Penny WIse Delivers Both,Fast And Free. 1110UQnd, ofBr.l11d \anw Oilier Product, at COI11\lttitilt Prim. .11111 IIcIlIINr( .1(1/ 'C Ercil .\lIIIE' Members automatically deduct an additional 4% to U% on all Penny WISe orders. Plus, if a member buys something from Penny WISe, sees it advertised elsewhere for less within 30 days and'sends in the ad, Penny Wise will refund the difference or credit the account.
How does your current office products supplier compare? Y_s..>Pbn """" ..... D ~ Gua,."tMi Low. Low Eyoryday PIns ~~ ToU-FlftOrdering a !r. ToU·F_Custon'ItrStr;;re1.ines o N': ToIl·F_ Fox Lints (if" FlftCompu"'"Ord<ringSy>t=
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Call 1(800) 942-3311 FOR YOUR FREE FULL-COLOR CATALOC AND
$10 OFF YOUR FIRST ORDER THE AlABAMA LAWYER
May 1994 / 169
DISCIPLINARY REPORT T ......, . to DI. .lMlltl'
l...ctlve St.t ... oSi rmingh,m aHorney D. Mlc hl t l SI"'" has V(I1uniarily transferred to dijolbilily inllclive SUlus punu .. n! 10 Ruk 27. Rula of Disciplinary Proctduu (Interim), F'tbruary2, 19S4. D1.........t
of Iht Sup reme Cou rt of ~ lUOTTIf)I Edward WwiI Holln was disbll.-.ed from 1M pnctict of Iiw in tht Sutt of AIININ efftcti\'t JlnUil}' z.t, 19!U. Hohn's di$b;lrmtnt was bued upOn r«;proc.a.l diJ(iplint administered by the Alwnu Slate Bar. Tht r.dpro· at discipline WiU bu.d upon Hohn's d~nl by thf Statt liar of ArizorU. HoIln co.-nled to diwrTMnt in Ari · ION based, in PlItt. on his cooviction in f.deral court on multiple counts of INil _By
Qrd~r
fraud, false stattmtnts and falK c!ailT\$ in violation of v,niO\lS pn:wis~ of Titl. 18. Unittd SI<Itts CocIt.. [Rule 25(11 PH. No. 9l-(I1]
.......sJon. _Attorney Ktvln Michael Ml nnl.., has bftn lUSPt~ from 1M practice ella .... in 1M SU~ of AWN.mo. for I ~riod of thru run t/Md.;'" JM\W,ry 5, 1994. In addition 10 being licensed to pricticf Ii .... in Iht Slit. of AI"banu, MaMinQ \\IiU also Ik.nwt to pr~ctice law in the Stlt. of Tau. A dd~ult judgmont was taktn OIilinst Mannina in i diKipUmry procmling brooallt by thtc Tau Stlt. Bar. On Janwory 29, t993, an ordfr WH onterod by tho District Court of Tnovi s County. Texas suspending Mannina for .. period of till'" ),u,no from the prictico of Iiw in the Sllte of T~ R«iproaJ diKiplino was impoKd on MannirlJl by the AlibimlI SUOtt Bar puT$U&lltlo Rulo 25(i} of tilt. Rults of DiscipliNry Procodurt (Interi m) of the Alabama SLlte Bar susptnding Manning for a pt riGd of thru years.. IRule 25(1l Ptl
m..ooz1
oOn Octobtr 27 , 1993, Crelol")' JOMI was tomporarily wsptnd· ed from the ~t ico of law by the Disci· plinary Commiulon pu r5uant to Rulo ~
t 70 I /otly 1994
20 of tht Rults of Disciplimry I'roctdurt. On ~tember 20, 1993, Jones was convicted of uto rtion in the Unite d Sllte5 District Court for tht North.rn District of Alabama. Southern 0ivW0n.. Th. rnp(lI"wlent attorney hu fliled Or rtfustd to comm..micltt in MljI '-'R"J con· cerning tilt. discipliNry matttrs which a re currently ptnding ,gain5t him. IRuit 20(1) Pot. *93-0061 Publk:"~
-on Janwory 28.
1994, Eufiuli "IIor, Chril tle C, Pappu was publicly rtprimandt d without geneul publication by tho AI.al:wN Stat. !IlIr. II collections claim _ fOTWllnkd to Pappas by a col1«lions group. Tho coll«liol1$ group $ptcifiCflIIy dirKttd!hit I'IpIW oot file suit or incur ""'itional txptnsts in the matte r without txpn s.s authori zation from tht colltciions group. Contrary to these instructions, PaPPi5 initiated suit on the cliim In the in~rim. the collection group's dimts tu.d rtCtived direct ~ymtnt from tht dtbtor in question. Pappu tVen wtnt so far u to inut a garnithmtnl against tht Mbtor in qur.lion. The dtbtor thtn conticttd Ihe creditor complaining thlt his bink account hid bun fronn. Upon bting informed of Ihest facil by his c1itnt. Pappas sllied lhat he W<ll not going to reltuo tho garnishmtnt until his let had bftn plIid. no. cli.nt demanded that Pappas rtlaw the g,lmWunenl which he rtfused to do. Pappil WII found to h"vt viol"tod throe stpllrate provisions of 11K Alabamio Rul ts 0/ Pro/eosiona] Conduct. specifi· cally. Rult 1.2 (a). in th..!.t he fi,ltd to abide by his clitnt's dtcision tonCOrning Iho objec\;ns of his repnl-tnlition , Rule L4 tal, in that lit fliled to kttp his client rtason"bly informtd aboul tht status of a mailer. and Rulo 8.4 Ill), in thlt hi s Ict ions constituted conduct that iIodYerl-tly Rflects on hit filnus to prKIitt 1iw.IASB No. 93·2611 M}I
oJ uk WI"n .. S m ith , I Dot han w.u publicly "prilTlllnded with· out general publication and ordend to ~r,
mitt restitulion 10 Clitnl A in tho amount <J $1.000 and to Clitnt B in 1m amount 01 $253. On June 19. 1990, Smi t h wu rtl,ined by Clitnt A to de~nd the dimt in I suit to C(liltci an indebtNntSS for aoods sold and Mlivored to Client A. Client II Iwl filN In .. ns~r pro u in the litigation dtnying t ho indtbl.dntlJ prio r to rt talning Smith. On Jur>e 2(), 1990, Client A plIid Smith $1,000 for repr... ntillil him in lhe lilig.nion. Ht liso intOrmtd Smith th..!.t lilt cast would be tried on Juno 27, ]990. On t hit diltt, Smith f"iltd 10 '\tend tht tria l ,nd a judsmt nt was liken against Client II in the ~mount of 516,767. Smith i motion to vx:lIlt on Stpttmbe r 26, 1990, which WiS dtnied on October 25, ]990, and a Rult 6O(b} motion on Nonmber 20. 1990. This motion W<II denied after" hearing on JUnt ]6, 1991. In anothtr miller. in lat. 1990, Smith WII rdiintd by Clitnt B for I fet of S350 10 Rpraorll her in a cwtod)IlTIlIt· I ... On D«tmbtr 5, 1990. Smith filN on behalf (If Clitnt 8 an answer and cross·complaint reQuest ing ttmpono.ry visilliion rialllS and ptrlTlllnent righlS upon "nal hur;nll. Th. peti tion Ind o:n;ou..:ompWnt ~" I-tt for houing in Ceneva County on Februiry 1. 1991. Smith did nollpptlf 11\ this huring, thus nectssitatinQ it. being rUti for April 30. 1991. On that date. neithu Smith nOr Client 8 IppuTtd. thus ntCtSSiu.tina the cast to onu 19lIin bt ,estt on Juno 4, 1991. On that datt, nti . ther Smith nor Client 8 appured. Somttime therealttr. Smith worked out " I-tllloment lirttmtnt whertby Clienl D's u·huWnd rtclived permanont ros· tGdy of thtir 'On. Tht ..· husblnd 's liwyer dnftN In order in ICCOrd.lnct with lhe ag .... mtnt and 5ubmittw it to Smith by lette r date d Ju n. 24. 199\. Smith did 001 rtspond to this leiter and a final order w<ll enttnd July 9. 1991. Client B stitts tNI she did not IUlhori~ Smilh 1(1 enter into an ;ogrtemenl WheRb)> sht would lost CU5tocly of htr
"ltd
(C«!linued on page 173)
THE AI.J.8AMA LAWYE R
SKIuMd (ourtyatd$ ... ttfl/l ~u .. . (~Iing
t_ ... blOJfly
chord •... "N·AwI''''- i1 bfci<oning. The ~.., Ann~
~r
AllOCl,ltJon',
Meeting i1 com.ng south to
the Big taO)', Aug . 4· 10. ~An~1 MHting I. the brgtll AM <rItf\t of the Y""r, with 0 "gumbo YO·YI" of
2,300 ..-ting.. CLE ",.IIon. and o.peoe;.I evenU pocked Wlto .....
weet:.. ~0.1 hundr~ nllionily and WlI..... lion.aIIy ", omiI~ ,I
spoken wiI 1M! tNWN<l, and
I.lwyet> hom 0f0IIIIIl the world wiI
1M! I nO<>ding . No mMteo wh.ol MId of I,lw you prl>ClU. !he A8AkRYI Mefting t... iI
<_eel. with m<IA!
ttw> SOIl wbItontiYe p<OgfllN
1I/~U;>
~
lCaMit~
tor
CLl. ' onoll>e<
~tory
And you cln carry _
Y""'" worth of c~t houn Into your ne. t MCLE t)'tk' - QII/ot_
1tl~
.low f~<!r"lion IN. Wh ile you're
CJ[&e&-
world"
~JlewO~
artk (99'1 AU; ~1tl~ ~'1 - {O
ali
tl>ef •• \1M ABA EX PO, one 01 the 11(~n.xhlbitlon.
01
producu Ind ",Mo:e. for I,l-.yen. B-Mt 01 IlL the ABA An"",,1 MHting wil l take pIoce limoot WI your b«kjilrd. H UN)' -
tor In .o.lnce
reglmltlon torm. caU the AlA
Meeting. Ind Trl vel Depart_ menl todoy II 1 12J988..S87'O. Or <egl.ter on >lte It lhe
Mort. ConVfi>lIon Center in _
0<Ie.... ,
>(. . Ing
Aug. 4.
HOUSING O[,\ooN£: IUlY 6 " A.()VANCl IIEGISTItATION OlAOUN£: MY 14
... ---,...-"
NON·MEMBERS WUCOMEI CAU 112/9611-S870 TODAYI
THE AIJ\BAMA I.AWYER
May 1994 1 11 1
ANNuAl MEEtiNG July 18-21, 1994 Perdido Beach Resort - Orange Beach, Alabomo
172 1Mayl994
(Continuer! from page 110)
son. In Smith's response. he stated he did not attend the h~arings because it was anticipated that Client D's son would testify that he wanted to remain ....ith his father. The Disciplinary CommilSion. on November S. 1993. accepted Smith', condit ional guilty plea to formal charges filed IS a ",suit of his "'Presen· tation of clients A and D. The Commis· sion also accepted Smith's conditional guilty plea for failing 10 purchase a li~nu to practice law from October 1. 1991 to August 9. 1992 and from October I. 1992 unlil April 8. 1993. As a ",suit of the conditional guilty plea. the Commis..i(ln found that Smith failed to _k the lawful objectives of hi' client, failed to carry out a contract of employment for legal services, and damaged his cHent during representation in violation 0( Discipli .... ry Rules 7-101(A)(1) (2) and (3) of the Code of Professional Responsibility. The Commission also found that Smith neglected a legal matter entrusted to him and that his conduct adversely reAected on his fitness to practi~ law in violation 0( Disciplinary Rul" &-101(A} and 1-102(A) (6). With respect to Cliont D, the Commission found that Smith willfully neglected a legal matter entrusted to him in violation of Rule 1.3. failed to keep his cHent ",asonably informed in violation of Rule 1.4. and failed to provi(\{: competent representation in viola· tion of Rule 1.1. The Commission also found that Smith failed to respond to a demand fo r info rmation by . disci · plinary authority and that his conduct adversely renected on his fitness to pract ice law in violation of Rules 8.1 and 8.4. The Commission also found that Smith violated Rule 5.5 in that he engaged in the practi~ 0( 1<lW without a license. [ASD Nos. 9(1·693, 92·1l9(A) and 93·116]
-On January 28, lWo! , a public reprimand w ith genera l publication was issued to Birmingham lawyer DeDD I. Micluoel Bamlt. Barrett wa. retained by a client concerning cla ims the client had arising oul of an automobile accident. Bar",U subsequently represented to the client that he had obtaine<l a settlement on behalf of the client and that the seltlement proceeds would be forth· THE AIA8A."1A LAWYER
coming in a short period of time. Subsequently. Barrett informed the client that there were some problems in obtaining the settlement proceeds due to the fact that the insurance company had been placed in receivt!rship. The client uperienced substantial difficulty in communicating with Barrett about the statu. of the case. The client eventually contacted the insurance commissioner', office in the state wh er e the insurance C(lmpany WI! located and was informed that Barrett had not even filed a elaim on the elient's behalf contrary to Barrett', prior representations. The client was also informed that hi. claim was nOW barred as the claims period ~inst the insurance company had ]liISM'd. The client contacted Barrett to dis· cuss the matter without disclosing the information tt... dient had learned from the insurance commissione r's office. Ba rrett again misrepresented to the client that the settlement procetds would ~ forthcoming. The client subsequently filed a complaint ~inst Barrttt. The investigation of the complaint disclosed that Barrell had prior knowledge of tho insurance company being place in receivt!nhip. and. in fact. had fil ed claims on behalf of another client against this same insurance company prio r to the expiration of the claims barred deadline. Barrett tendered a guilty plea to for· mal charges admitting that he had will· fuUy neglected a legal matt .. entrusted to him; failed to s«k the lawful objec· tives of his client; prejudiced or dam· aged his client during the course of the proftssional relationship; fail N to keep his client reasonably informed about the statw of his case; failed to promptly notify his client about the recei pt of funlb; knowingly violated or attempted to violate the Rules 0( Professional Conduct; engaged in conduct contrary to a disciplinary rule; en gaged in conduct involving dishonesty, fraud, deceit. mis_ representation or willful misconduct; and engaged in conduct prejudicial to the administrat ion of justice, . 11 of which adversely reAected on his fitrIW to practice law. Due to lhe fact that Barret!"' misconduct occurred during the transition from the Disciplinary Rules to Ihe Rules of Professional Conduct, the guilty plea and public reprimand
were administered for alternative violations of both the Code of Professional Responsibility and the Alabama Rules of Professional Conduct. specifically as follows; Alabama Rule of Professional Conduct; Rulu 1.1, 1.3, 1.4 (a), 8.4 (a )• 8.4(g), 8.4(c), & 8.4 (d). Alabama Cod e 0/ Pr ofusional ReJlponsibility. Disciplinary Rule. &-101 (A). 7-101 (A) (I), 7-101 (A) (3). 9-102 (B) (I), (I)·](I2(A) (I), 7-1(12(A) (8). ]. 106(A} (6), 1·](l2W (4), & \.I(l2{A) (5). IASD No.9 1-9 11] •
Ad d force to your prese ntation of complex case issues . Make your case eas ier to visualize, w hi le saving time a nd mooey.
Let us show you how )"Our practice e.n "ffo .d"bly make use of the high quality compUltr g.-.phicslhat, until now, hay< only been avail3blc to multi-million dollar law firms.
for more informdTion pl~os~ call: (205) 593-7789 OesignTec COMPUTER AIDED GRAPHIC DESIGN 255 Ceb St. _ Bo... AL = 7
May 1994 / 173
ABOUT MEMBERS, AMONG FIRMS SlOP H0034. Huntsville. Alabama 35894·0001.1'hoot (205) 730·2032.
1044 Park Plact Tower. Birminghllm. Alabama 3S203. I'hone (205) 324·9494. i.yonl, Pipq II Cool!: announca thit Claude D. 800M and Kenntlh A. NIxon ha>'Ii joined the firm. Officn Ire located at 2 N, ROYil Strut Mobile. AlloboolTllo 36602.1'tIont (205) (32-«81.
Montgomery, Alabama 36130. Phone
Laa,t , Simploa. 10111"011 II Somervill. announell Ihat John B. Tally, Jr. hu become associated with tilt firm. OtrICaIU', IoQted It 417 20th Stm'l. North. Suile 17(10, Binninglwn. A1abama 3520J..3272. PhorK (205) 250·
(205) 242·9330.
5000.
ABOUT MEMBERS Kalhy f'tTry B_roeld atIllOl1ncU hrr iII'POintmmt ill okputy Mtomey ~ral,
DtPf.rtmrnt of Uuman RUQu ,c ••. Her
office i.I located at the Cordon Persons Building. Room 2122. 50 Ripley Strttl.
Joh~ Ill. C_a. previously 01 COW/SIt/ to 8lM:kard. Pitts 6; Murphy in Brmtwood, Tonntntt. hal become II tolt practitioner. Green is a 1987 admil~ \0 the Alilwna Sbt. Bar. His offia is Iotiol·
W at 51 1 Enol! Springs EM(, SiI: I-Wnil. ton Place.
Sm~rna ,
Tennessee 37167.
Tht maiting add Tus is P.O. Box
~67,
SrnyfIIII 37167.1'tlone (615) 4.w.618!1.
Julie A. Palmer atI!lO)UJ'1aS the optning of her office at 2]62 Ilighway 31. South. Pdllim . .IJabanu 35124. Phonr
(205) 987·2988. Chulu E. King announce s his appointment ill usistllnt t.ustee an'" gennal counul for the office of tht Chapter 13 Standing Truilte for the Northern District of Alabama, Soothem Division 01 the U.s. &nkruptcy Court. Hi. office i. Located a t 50S N. 20th Street••'inancial Center. Birmingham. Alabama 35203, The mailing ~rUIi is P.O. l\<)J: 371008. Binninjl\lm 15237. 1008. Phont (205) 32J.463I.
Belay Martlo Ill ni",n announcu lhe Opening of htr office al Highway 195, Ooubl. Springs, Aillboomi 355.53. Th. mailing MId,", II P.O. l\<)J: 339. Double Spring.!. Phon. (2M) 489-8118.
J. TIm CoyW.lormrrtyci Burr &: !'or· man, announces Ihe opening of his office II i305 4th Awnue. Soulh. Birm· in,hllm. A)aboolN 35233. Pilon. (205)
....,..,.
AMONG FIRMS D.~ld
\'U(. I.U(" IInnounCes hi. appOin(mm1 as slolfI' allornty for Inler· graph Corporallon. The address is Mail 1141Moy 1994
CorIuom. SltwUt. K01I~ Bryaal &: Bailie anoountel thilll.n llt Klulnl hu becomt Ulociated with Iht firm. Killing ill II former clerk to Judg e Jowph Phelps in the Circuit Coun 01 A1abama. Mon\JlOmtry COunty. TanM. &: Culm IInooul1«lll\Il 8m M. Cuy hal btcomt II .ha rthol du. Offi(u u. located al 21 11 UniVl' r.ity Boulevard. Tu$Ulloosa, Alabama 35401. The miiling IIddrw II P.O. Box 032206. Tusaloosa. Phont (205) 349-4300. Potll &: Youn, 1Ir!nO\l11«$ thai Min A. Sandtrson . fOI1Tll:. wislllnt dislrict allOl'l1tY of Colbtrt County, hu b«omt lIuocilt.d wilh tho firm. Offices art IIxllltd at 107 E. Colltge Si re el. !'Io' renet. Alabloma 35630. Phont (205) 764-1142.
c.rvt.,
Joh n A. (Mnl and S Uite T. formerly partn..s of Phelps. Owenl, Jenkins, CibloOn " !'owltT, announce tho fo rmatio n of OWtll1 iii Clrvtr . Offien are located at 2720 61h Streel. Suitt 3. TuscalOOll.l., Alabama 35401. Phont (205)750-(1750. S hdfltld, S heffltld, Shdfleld &: unUM announce Iht reloQtion of ill offices and opening of an additional offICe. The ..... addrftS II Fnnk Ne!$on BuildinQ, 205 20th Slm'I. North. Suile 323. Birminghlorn. Alabamlo 35203.
Phone (205) 328-1365. The ..... offlCU are IoQtnl al 2976 Highway 31. South. Suite A. Pelham, Alabama 35124. Phone
(205) 663·7800. Critltncltn II Auoclatn annoul1«l tmt Gina M. Mill.... hII.I join.d the firm :oJ an u50ciatt. Omen are localtd at
Rodenhlu ler &: O'Deli Innounctl tht rtloQtion of ill officu to 125 Jeff..· iOO Strut. Huntsville. Alabloma 35801. I'tIont (205) 536-9626. Aluandn. Cordtr " Plunk lonnooncu 11\11 Rolltr1 M. Ban. h:u joined tho firm as a partntr and B. Scott S h lpm ln all an usociate. The finn'l now namt II AluaodtT, CordIr. Plunlr &: Bib•. Officel are IocIolod at 213 S. Jtffenon Strttl, Athtrll, Alabama 35611. The miilinQ addr~ is P. O. Box 809. AIMRS 35611. Phone (205) 232·
1130, Co.ham &i Waldnp annou ncn that Victoria I'nnklln SluoII has McOmt lS50Ciated with firm. otrlCU in located a\ 211)] 6th Awnu •• North, Suite 700. Birmingh~m. Alahama 35203. Phon e (205) 254·3216. Oolllid W. Siewart and Susanna B. S mllh . formerly of Siewart " Smilh. lnd Cary P. Cod),. formerly of !.ong· lhore, Evans &: Longshore. IInnoonce Iht formation of St.wa.l, Cody a S mith . Officu lTe located at ] 131 I..tighton Avenue. Ann iston. AlloboolTllo 36201. The lTIloiling ilddrftS II P,O. 1\01. 2214, AnnIlIOl'l 36202.1'hone (205) 237. 9311. Officu are ,1.0 located in Rirm· ingham and Tuscaloosa. Ceo"t L BKk. J r. announces tl\lt W. Terry Tnvll has become i member of the finn and tht firm namt hu been (hlng.d \0 Bt(k &: Travl • . Offices remain il 22 Scott Sirul. Montgomtry. Al abama 36103·5019. Th. mailing addrus II P.O. Box 50]9, Montgomrry.
Phone (205) 832-.4878.
E4ga. C. Genlle, III annour.cts lhat Oeborah A. Plckonl , form.rly with THEAt.oI.BA.MA tlIWYER
S~in.
Gillon. Grooms. BLin & Ntttles.
hal; joil>fd thr finn. c.1'OIyn LaMon hal;
bttOlTlt a mcmbtr 01 the firm illld tht ru.mc is Genu... PIc.... " Landon. Offices remain II Colonial Bank Build· ing, ]928 First Avenue. North. Suitt 1500. IIlrmingham. Alabama 35203. !'hoot (205) 716-3000. rotW
M....y " S iolln announce Ihat Keny D. BIKk .md Rick E. Griffin h.1~ become auoci;.ted with the firm. 0If1US in located at ]](1(/ E. hrk DIiw:. Suitt 301. Birmingham. Alabama 35235. Phone (205) 8J6.4586.
E. E. 8aJI illlrlOlJnces the assoc:iatioo Koont. 111. Offices lIrt
or Harold A.
located .1 llO Courthouse Squart. &y Mindte. Alabama 36507. Tht mliling addrul Is P.O. Drawer 1609. Bay Minttte. Phone (205) 937·2303. Burr A Forman ann ounces Iha t RobH1 S. W. GIven. M. Glenn Perry. Jr~ Denl M. Morton and S... A. Willi. haw become ~rtners in the firm. R..... M il W. AdIIllS. William It Holbroolr, Pamt]. Men, Annbt .... D. ChriltopMr Cary L HowmI. Ridwel
c.r-.
Co KlIlet-. C6urt..., L StaIUo&s. RIlE S. TOil]. and Am, GlIbt rt Carter h.1ve
beoome usocWed with the finn. Offi«s art loca t ed in Birminghilm Ind Huntsvillt. AIab.una.
Armbrteht. J acbon, De.'IIouy. Crowe. Hoi"". A Rtf.... announcu that Coltman F. Mu dor and BTOOlt C. H01l1l1ll. Jr. ha~ b«ome mtmbtrs and P. Vln· mil CadIb and Richard Goodwin BrncIr h.1~ btCOmt auocialtd with the firm. Omen Irt louled II 1300 AmSouth Cenler. Mobile. Alab.ima. The mailing addrus is P.O. Ben; 290. Mobile 36601. Vu] " A..ncl.tn announces that Saodn CoooII .., Mush. formerly cltrk to Judgt Edwin L Nelson 01 the U. S. Dist rict Court. Northtrn District of Alabama. has joil>fd the firm. Offi«s I re localed at 200 1 P,u k PLace To-r. Suitt 525, Birmingham, Alilbama. Ml,Ynani, Cooper Ii Gi l, annO)Unce!
THJ::Al.AIW1A LAWYER
that JoIuo N. Il0l ... and J. KriI Lowry. formtrly auocwes with the finn. h.1~ become mtmbers.. Robert R. Suton has become Ilhueholder. Ind Jobn Q. So m lrv lll •• Mt ll ... N. Rld,twIY. William 6. Wahlhtlm . Jr. and Scott A. Ahn" have b«orm Jouodlln. Officn lOrt located in Birmingh.1m ~nd Mont -
....
eue infOn""IOOII can be .and .t
...
gomery. Alabama. Phone (205) and (205) 262·2001.
. ..
OtncnoICi CS·22. eS·41. CS·42 .t eS,4) fonns Suppono oonlf>hom A """. oomphonl c1u1d JUtlIIOfI eompl'lIlI ,..,111 Allbamo SupmnI< eo..t Of'dco" of5q>ltmbcr 28. t99) eompalible ",lh 1I118M.1 cornpaIible ClOIIIplIICn 1lWlin! MS·DOS) I or I...,. Supports ID' Lu:rkl II (<rl.tcr) a:mpa!ible lucr pfln1 ... 4 Epoon
Child Support
2~·]OOO
Smit h. Splnl " Podd, announces th.lt Coltman. Jr. has become uwc:ilted with Iht firm. Officn lOre located at 505 N. 20th Stlft!. 650 FinllltiJoI Center. Birmingham. A]lbiml 35203·2662. Phone (205) 251·5885.
n.omu
C. S. Ch~ich anrlOlJnus that John R. Spcn«r has become associated with the firm. OffiCII I re locilled ~t 1860 Government St rttt , Mobile . Alabama
36606. Themailingaddreuisl..O.Bo~ 651)5. Mobile 36660. Phone (205) 478· 1666.
Tan .... " Guln anoounus that Btrt M. e.. y hll become I s hueholdu. Officn Ire !«.altd I I 271] Uniyusily BouJtvUd. ~. Alabama 35401. The mailing addrus is P.O. 8m 032206, Florence 35403. Phont (205) 349-<000. Frink I. Brown. J on M. Turner. Jr. and .....1 B. S ...... Jr. announct the for· malion of Brown. Tum .... Ii S ...... LLC. Offien Ire located al 2 II 22nd Strut, Norlh. Birmingham, Alabama 35203. Phon. (2051 320·J 71 4. To fre] " Sp.,b Innounces thit StltYta D. Altman .. has become an U5Ociale 01 tht finn. Offien ITt loattd lO t 92S Financia] Center. SQ5 2!)th StrHt. Norlh. Birmingham. Allb.ima 35203. !'hoot (205) 252· 7] ]5. Holbe ... " Holbtr. Innounces thlt Mlchn l Rllph Holh r, has become usocilled wilh the firm. Offices ire ]nclled II 804 Commerce Building. 118 N. Royal Sired, Mobile. Aliblma 36602. Th. mailing Iddreu i. P.O. 8m 47, Mobile 36&01. Phone (205) 432· 8863. •
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AN INTRODUCTION TO THE AI.ABAMA WATER RESOURCES ACT By: William S. Cox, III Introduction On February 23, 1993, the State of Alabama jolntd the g.owing numbf. of Eutem ..u.tc~ that have tlQCled somt rorn of WlIkr I'UO\I1CC tnaN#n1m1 II.gisLition. Although the ~. m;l.1o~tion recogniUllNt "lillie UK of (Ihe ...... Im of the state1 should be cOI'IKMd i\tId rTliNQtd to enable the ptOfIle of {AlWIN! to ruliu lhe full beneficial use thertOf .md to m;oinllin such w~ltr ,nourcH for UK in 1M fUluft.-'IM Alabllmil Witer Resources Iv:.t' (the 'Act1 Q; not intended \0 "change or modify uilling COmmOn or stlolutory law with .t5pl'ct to the rights of Histing or futu~ ripnill1 owners con· cerning the UK 01 the "'liters 0( tilt sbtc." Und.:. cerb.in (ircumst.lrocu, howtv!r. the Ad. «qIIiTU ""'"' thin the registnlion 01 niltine ....1" I,I$U. The Act contains tlermnu common to both regulatory and rtgistrollion of ~tYflf waler ruou. tt ~mtnt Khemu. This hybrid version oI"rq[uWtd ripilNnWn"4 ~ tNt t\'tIl within lhe stat.'s own bonk1"$, watt. ruource WIltS and problem, m.a,y vary, demanding different ind flexible solutions. AJ • • tsull. the Act "HOWl uni que lIppr(W:hu 10 th. vvidy of WlIkr moor« issua that !Ny fau the mte and ill o;il iuns.
This article uaminu the Act. S«tion II of this article Provides:IOlm tmkgrQUnd information . ega.ding water usource 1 76 / ~
1994
issuti within tM S~te of Aillbl.ma. ~ction III outlin" Ihe Act's sil1nificant provisioru. " i!\llily. ~ction IV considers tM poIential impaCt of the Act upon future water rtsOOJrtt manIgtmtnt decisions within Alibimi.
Hi. tonc.' "cllground Like mostsutu talt of tilt MississiWi River. tilt S~te of tr~iliONlly foI'~ 1M common 1_ of ripuian righlilo ruolllC wain right. di$pults. Owr timt. AlabuI\lI's law of ripa.iMl righu evolved to renect changes in the s~te's economy and to adjust to modificlltions in the usu of the waters of the mle.' '""' AIibI.rno. Sup. eme Court up,~ the If1Itnl rule 01 ripiNn righu u follows: Every riparian proprietor has an tqUlI right to ~ [I) stream flow through his IlInds in its flIItul'iIl sUte, with. out mllerial diminution in ql,Wllity or al tuation in CIIIllity. But this rule is qualirltd by the limiulion ... that uclI of said Pnlllrietors Ire entitled 10 I reasonable use of the water for oomutic, ,g. icultural, and manufat· turing PUl'J)OiU.·
AlwIN
in Crommefin. a ~r riparlin (Crommrlin) wed 10 enjoin an upper .ipaNn (r llin) from UJing IIShartd Jlream. antSing thai such uM would interfere with Crommelin', UK 01 the
TIlE....uBAMA LAWVER
wate r for a public swimming and recreation facility.' The Alabama Supreme Court disagreed.' The court found that as riparian owners both parties had certain rights to the use of the wate" in the stream. that Fain's use of the water was for "domestic pu!'jlOM'S: and that the amount of Fain's use was "reasonable" even if it meant that Crommelin's supply of water was reduced.' In a few short paragraphs, the Alabama Supreme Court successfully demonstrated ont of the basic weaknesses of the riparian righu system; the lack of certainty. In that case, Crommelin used the .ntire $tram for a number of years with· out any competition from upper riparian owners. H. neverthe· lel-S was forced to share the stream and ~i bly to diminish hi. own wat~r u.e once another riparian landowner began exercising his rights to the now of water in the stream. The uncertainty inherent in the riparian rights doctrine takes on additional significance within the State of Alabama b«.ause of the stat~'s inherent dependenet upon ,urround ing .tate. for a great deal of its surface water supply. The State of Alabama has rM major river systems. Only one of these sys" terns originates within Alabama; the remaining rivers originate in or now from other states. " As a mult ..... ~t.r raourc", decisions in other states may ha". a significant impact on t~ amount and quality of water available within the State of Alabama." The Act allows the State of Alabama to confront both the uncertainties of the traditional riparian doctrine and the potential threats from interstate water rights conflicU .
Department of Economic and Community Affairs and must be a "person luwwtedgeable in the fields of water resource manag.ment, development. and conservation" and a "state merit system employtt."" The Act atso ~tablished th.Alabam;o Water Resourcu Commil-Sion ("AWRC"I which acts as an advisor on matters relating to the waters of the state; develops, promutgates, adopts, and repeals th. rules and regulatio,," authorized by the Act; and hean appeals of administrative actions of the OWR." To ensure diverse representation on the AWRC. the Act contains a comple~ appointment seheme for the AWRC's 19 members. The Covernor (nine appointments). the Lieutenant Coverl>Or (five appointments), and the Speake r of the Hou,. (five appointm.nu) are the appointing authoritin." The Governor appoinU one member from each of Alabama's seven Congrel-Sional distriCl5. with at least one, but no more than two. of such members from each "Surfaeo Water Region." The Lieutenant Governor and the Speaker of the House taCh ha,,, an "at-\;tTgft" appointmen!." The remaining wn members of the Alabama Water Resourc" Commil-Sion are to be appOinted II)' the designated appointing authorities from tim submitted by various water-related interesu ." The t.n remaining members are sel~ted from li,U of fM: candidates submitted II)' (al an organization representing a majority of the rural watu systems in the state; (b) a statewide organization representing soil and water conselVation districU in the
....." - - Weter "'aourc•• Ao;:t Prior to the enactment of the Alabama Water R.source. Act, the State of Alabama lacked a statewide agency or office charged with the management of quantitative water resources within the state. The State of Alabama did not require water users to report existing or potential water uses and as a r•• ult, the state had little, if any, ability to forecast nisting and future water demand>. The provi.ions of the Act may be divided into two categorie" II) the e.tablishment of an Office of Water Resources and an advisory commil-Sion. and (2) the initiation of a water resources management program within the State of Alabama.
.... Offlc. of Wafar R.SDUrc •• .nd A"uma W.t... R •• oun: •• Comm/•• /on Section 5 of the Act created the Office of Water Resources I"OWR"I as a division of the Alabama Department of Economic and Community Affairs." S.ction 6 enumeratu the powers and duti .. of this office. The OWR may develop long·term • trategic plan> for the ~ of the waters of the state; imple" ment water resource prograrns and projecU for the coordination, comer/ation. development, management, us., and understanding of the waters of the state; and monitor. coordinate, and ~ the w"ters of the stat •. " The 01';11 may also initiate civil actions against perSOllS violating the pr",,;sions of the Act and i5Sue administrative orders MSel-Sing civil penalti" against violators." Finally, I~ Act designat •• the OWR ... theltat,'s repr• ...,ntali". in the negotiation of interstate water compacts." The Act requires that the Office of Water Resources be under the direction. supervision and control of a "division chief."" The division chief;. appointed by the head of the Alabama THE illi\8AMA lAWYE R
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stm; (clll1 urWn public ""lIttr $)'lInn usi .... 90 million IIllIons oI ....ler or mort ptr d,y on II1lvttagf: <.\lily basis; (dllJl o~·
nization representi ng large, self·Juppti ed watn u.ers; (el an organization rep.u~ntina environment.ll. conKrYlItion. or ......ttr-rebted 1'KTU00n inuraU; (f) 0111 orpniution repmmt. il'\lllo majority 01 UI'bIn public WlIltr syUrmS using Iw lIw190 million gallom 0( waU. per day from thr .... ters 01 the shU; (il an organization representillll commercial navi2i'tion interuts; and (hi 111 organization ITPrUtntil'\ll b~ irrig;l.ton." 8.
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The idminiJtration, impiemenhtion and eruOfCl'ment 0( the Act are Ikptndtnt up(ln the lon~r to four key quutio,15. First. ~I usa of ",lilt. lore lIibjed to the AcH Second, how do those entities comply with thr Act? Third, what 1ft "critial use studies"? Fourth, whal ill "tap.lCity slreu aru"? 1.Il100 a wbj«IIO IMAd :' pnwisionsl There lore thTft categories of "'loin IIHn tNt lore lIibjed to
the Act. fint. ' Public Wloter Systerru" prov;dil'\ll piped wltu to the public for human consumption or other UU5 thaI havt
lotleul 15 Strvicc eonnectiDn$ or reguLarly $trw lJI,M~ 0( &t lean 25 individwls It lust 6(l days out of the)'t1T are sub· jed to the Act's provisiON." S.cond. self-Jupplied water 11K" of 100.000 glolloos or more on lilY day from either surQa or around water lore subjKt to the Act" Third. b~ irrigators who illVI' the apicit)' to 11K 100,000 glollons or mort of"'lotu on "",y day for purpO$e.l 01 irrigation are required 10 comply with the Act.'" In Iddition to thUt thr« t.tteaoriU, the Act loJlOWS the Ali1b;lma Wat.. Ruourcu Commiuion to brillll other ...... ter usen within the scope of the Act whtre the CommiloSion Iktermines that such action "is I1«tSSlory to loC£Orlr pliJh the purposes o(this act."" In idditlon to the spt<:ific Clotegorie$ 01 wate. lIMn $ubj«t to the Act. the Act U/>Iicitly ucludu certain typu of water use. Impoundments or other 5imlbr structures confined and rmined completely upon the property of lo penon "ilich store water wile.., the initial diVl'rsion, withdrawal, or c:oruumptiOll 01 $uch water i$ $u~ject 10 the Act are . ""mpt fr(lm the Act." W;ute water trutment ponds and wastt watt. trutment inlJlOUndmtnts subjKt to reauLation under the Ft<kral Wloter Pollution Control Act, 3J U.S.C. II 125] et Sft/ .. and ponds and impoundment.! wbj«t to reguLation umk. the Mine Safe· ty and Health Act, 30 U.S.C. II 801 II Sf!tJ. 0. the Surface Min ·
Law Section
'"
....... 178 / Miy 1994
THE AlABA."IA LAWYER
ing Conlrol Act. J() U.S.C. U 1201 ~I wq .• are alSQ excluded." Surface impoundmenlS consliluting SQlid waste management unilS under the ReSQllf« Conurvalion and Rtcovery Act. 42 U.S.C. n 6901 el wq .. are not subjKt to the Act.- In·slream ~s of waler. such as recreation. navigation and hydropowor generation. and impoundments cowring less than 100 .creS in surface area and used SQlely for l"Kreationall'llrpo5.es are beyond the ~ of the Act." .2. How do penon. comply with tM Act? To comply with the Act. the enumerated water users submit a "Declarat ion of Bendidal Use" 10 Ihe Office of Water ReSQurces in accordance with a schedule established by the Act." D«larations of Beneficial Use are written documents. sigrwd and certified by. or on behalf of. the person subjKt to the Ac]"s provisions.» The Oeclaralion of Beneficial Us. is required to include {i) the name of the person; {iiI the source or sources of the waters of the state subjKt to such person's beneficial~; (iii) the eslimated quantity. in galloO$. of the waters of the state ~d on an annual average daily basi. and the estimattd capacity. in galloO$. of the waters of the stale potentially divuted. withdrawn or coruumed on any given day by such person; and (i,,) a statement of faclS establishing that the U$e of such waters constitutes a beneficial U$e." The Act defines "beneficial~" as "Illhe diversion. withdrawal. or con" sumption of the waters of lhe state in such quantily as is 0«eSS<lry for Konomic and tfficienl utilization ooO$i,tent with the interests of this state."" In addition. the Declaralion of Beneficial Use must establish that a person's uu of water will not interfere with any existing legal use of such water.~ four items in a D«laration of Beneficial Use are important for the purpous of the Act. Information regarding the source Or SOUrces of water allows th. OWR to identify I~ SQurces of water that service a number of diffeTt'nt uus. The OWR may prepare wator use models of the various surfac. and ground waler Tt'sources from this information. In low flow periods affecting "high use" water sources. such infonnation will pennit the OWR to address connicts due to waler shortages by identifying the various water users. The OWR may fadlitat. efforts by such water users 10 ruch potential SQlutiom to such problems. In addition. Ih. O\l,'R may ~ able to encourage certain water users obtaining water from a "high ~" SQurte to develop alternalive SOurC'S of wat!!r Or to ~ watt r more efficiently. Information r.garding curr.nt water use and water use capacity allows the OWR to accomplish its water resource planning function. Such information ~rmils Ih. OWR to develop currenl water use .stimates. i.• .• the existing demand for wat ....... ithin the state. By ~nowing how much wattr each person subject to the Act may withdraw in the future. the OWR will ill: ablt to id.ntify potential problem areas wilhin the .tat. before a water shorlage de~lops and to de"elop ....... ter use proj"tioru and plans and programs for the future uu 0( waler resources. 0.,. of the Ire)' aspect.s in establishing a person's right to the conl, nued uu of water resources is the concept of "beneficial use." Requiring water users 10 articulat. why their use of water is "lxneficial" assists the OWR in delermining the amount of water resources subject to e~jsting ilI:neficial uses. THE Al..Al1AMA u\WY"ER
Equipped with this "beneficial use' information from each major water user in a river basin. the OWR will be able to assess the impact on existing water use. of proposed waler project •. particularly I~ water uses involving Ihe lou of la'lle quantities of water through interbasin di'l!rsions or consumptiw u .... This inform.tion may alro help ruolve dis_ put.s over water rights on an intrastate and interstate basis. becauu the OWR may be able. Ihrough negotialion or otherwise. to prevent water reSQurce d"i.ioO$ that ha .... a signifi_ canl impact on current waler uses. If the Declaration of Beneficial Use contains the neceSS<lry infonnation. the Office of Wa~r Resources must issue a "Cerlificate of Use" 10 such person. The Office of Water Resources dots nol haw any discretion in its dKision 10 issue Or 10 deny a Certificate of Use. The issuance of the Certificate is simply a ministerial act.Jf Moreover. the only condition placed upon Certificates of UM: i. a reporting requirement. rersoru ..... ho obtain Certificales of Use submit annual reporl.! indicating the amount 0( ..... at.r. in gallons. diverted ...... ilhdral'1Il or consumed on a monthly basis.-
3. MNlt.,.. "Critic.' U_ Stud,..,,? "'Critical Use Studies" perform the planning and waler man · agement aspe<:t.s of Ihe Act. Under the Act. the tenn ' Critical Use Study'" r.fers to an aMlysis of the available supply of water reSQurces wilhin an area of the state and an assessmenl of the existing and reasonably foreseeable future demand for such resourc ...• A Critical Use Sludy should permit state. I"(giol\lll and local planntrs to identify immediate and potential pro\>-
ALABAMA WORKERS COMPENSATION PRACTICE BOOK. 1994 EDmON ~ John J. Col.maD. III & William P. Cobb. II BALCH & BINGHAM .ALL PROCEEDS BENEFIT THE KID'S CHANCE SCHOLARSHIP FUND
To o.d. •• pl...... nd namo • .dJ.-. and phon. Durnbo. fI.J.!S. $63.95 {include. .hippingibandJi"lJ to: KiJ', cban~ s<hol... bip fund Alab.m. la.. FOIlndation P. O. J3o,; 671 Mon!i<>m.ry. Alab.ma 36101
plus< .llo~."' .......b for d.li .... ry.
Mil'19941 179
kms lInd formulate ~ to iddrn!l tt.o.t prOI:IltmS in ;l.1'US ""hell' the current or fulure derrWld for """Ier is found to ucHd 1M "vailable IUPrlIy. UOOtr Section 22 Ii tilt Act, tilt dMJion chid "ohfi~ tilt AWRC of tOOR arus of thf slole for which tht OI';"R will con· duct I Cntial UR Study." TIlt Atl pmniU tht $CO\lt ofa Critic,,1 Ust Study to vary. Some Jludiu l1IlIy be limited to" municipality or " lingk county whik othtr lIudits may look at l ,roup of countiu or an mli", 1Mr basin." Regardless of lilt ~ 01 tilt study. och C"liaol UK Siudy mUll:aNiyu rnronable "l lernativu 10 Idd ress Ihe QUllntitati"e wlter resource problems idtntifiw during tht study. At" minimum. a Crilical Use Study will .dd ru. a "no·action allernatiw. a ronurvation altirNtiw." wattr resourcu dewlOllment iller· rWiw. UK!;I. rtslrictiw ust IlttrNtiw ..... During uch CntiQI UK Study. tht OffICe oIWllter Rnoun:u mUll consull with ill ptfiOf\i holding CtrtirlCllla of UK withi" the study MU and 1111 Itdtral, slote ind kICIIl IIOY"mrnmt agtncies prior to tilt complelion of tilt $Iudy.u TIlt Offitt of Wattr Resources is also required to "rtPlIl' a drllft of tilt Jludy. including its proposed r«ommendationJ to the AWRC, to solidi commtnll from .. 11 ptlWlU or entitits within tho >tudy all'a, UK! to COndud .. public hUring within the study un on the dnft Jludy." After compktin& I Jludy, the Office 01 Wilter RlSOW"as suitmill I report to the AWRC rtcornrnmding thosot actions dettr· mined during tilt study ~ss to be ntcts$al"jl to prottct tht q\lllntilotiw watu resources of tilt study Uti." Significantly.
tilt OWR his no powrIfr to implemmt Ill}' portion 011 Criliaol Use Study. Implemmlotion if scldg the mponsibility of the AWRC through ill rultmaki"ll JX.IWf'l." The AWRC revlrw$ ach Critica.l Usc Study completed by tilt OWR and determines if the implementation of water uSt ftslnctions is n«nul'\' within the study lIftl." If the Com· mission finds tilt iiII"'gate oisling or rusonably fortstUbk UKa Ii Wiltr in the Jludy lru ncttd or will ucHd lIVoloilabili· ty ind furthtr finds lhit ..... Ier ust rutrictions ift requirtd. tilt ComrniWon ...., lbigNte the >tudy aru IS I ~ty St rus A.. ~.·" The dtsiSnation of .. Capllcity Strtss Aru rtQui rts tht concufTtntt of t3 01 lhe t9 voting mtmbtn of the Alabama Waler RUOUrcH Commission."
... wr..t I• • "'Cap.en, ..... ANa'"
A ~ty StruI Am" if an lIfU whtre the AWRC ~iIi_ ally dttemtinH the lilt 01 the waters 01 tht Slote. wht\htr ground water. s.urflltt water or both, requires coordination. fNNIItmtnt. ind regut..tioo for tht protKtioo 01 the interest. ,nd righU of tilt pWple of the llote." The AWRC may def.. ignate , Capacity Stres.! Artas only after tht OWR perfomu a Critial Usc Study in accordance with Section 22 01 tht Act." Duignalion 011 ~pacity Stms AmI ptnnits impltmt" ...· tion 01 actions rm)mmtndrd by tht OWR in its final rqx.mior tilt Critica.l Use Study or such othtr action as 1M Commission dttennines to be ftIJOOIbly ntctsS.l.f}I to prottd. 1M intertsU 01 tilt pWpit 01 tilt stlte."' Any such implementation must be done in ~ccordlnce with the Alabama Admini.trllll~ Proce·
UNTIL N:w, TIllE CCMI1\NIES WERE AIDlJT AS EASY m COMI1\RE The:!<: days. • lot oflitlt ....""'Oq ...... 10 be f.....aatly"""",,- o.u. lOOoIIcn. wlIaI1hty pn"IIIdt an: idaIcd ,..,. and 5I.!Ilstics thor ... IlOl aIIUC ""'MUre or fonancial ~ In fll<1, 1hty an: ofbo" rnisIc~.
A, M;";"ippi Vaiity TnIe ..... $I111"1h<....,j fa" .!URbnlizaI~..t.iIiIy IIIirIp .... 1iII< inwRn. -O"·..."hy ... 1IIked lObe .... by SIIndonI4 Poor"L W. ~ p-..... .. A+ - die highest ...... (rom S&:P in 1bt 1iIIt ~ IOdaie _ ~ riIt (U" a/l"diIIt and enundtrwriltr. Old R..,ootic National TIde IIISUr.InCt CompQoy. wOO r«<i>'t(! on A. !3Iing for 1hc ItCOIId year in a fO\\I. Ask III01btr Iitlt for Ihtir .... (rom StIndInl &: Poor"L Ihhey"", boa", one. at; why. 1hno catI
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Mi«i«ippi v.nr, Tillt.
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MISSISSIPPI VALLEY TITLE
• • •••• INSURANCE COMPANY
s.......
3Lj TOilibi&btc P.o. Boo 2428 1a:b:JG. MS )922$.2428 (<<lI)1J69.G2Z2 (800) 647-2124 (AlJMSfTN)
I80 / Mayl994
THE ALABA."II\ LAWYER
dures Act, Ala. Code §§ 4 1-22-1 el.s;!Q." Upon the designation of a Capacity Strus Area. the Act further require. tho Commission to impkment appropriate conditions or limitations on an Certificates of Use within the area." Such rules or regutations must be apPro'l'ed by 13 of the 19 members of the Com mission." Any conditions must also be limitt<! to matters necessary for the protedion of the beneficial use of the waters of the state." finally. the Commission is required to review any conditioru; on at least an annual basis." Under Section 24 of the Act, the implementation of any rules or regulations limiting Or rtducing the quantity of water available to a person holding a Certificate of Use. and the implementation and enforcement of such rules and regulations are vested in the Alabama IHpartrntnt of Erwironmental Management ("ADEM")." Once water use rest rictions are imposed, a Certificate of Use will be similar to other discretion3ry environmental permits, because the issuing agency will be emlll'W"rtd to pmnit, deny or rondition a person', use of water within a Capacity Str .... Area. n.. transfer of authority from the Office of Water Resources to ADEM in such areas recognizes ADEM's expertise in administering discretionary erwironmental pennit... In addition. the transf.,. of functions to ADEM allows the State of Alabama to maintain a .ingle .tate agency or point of rontact for persons engaged in activities requiring environmental permits or approvals as a condition to the initiation Or maintenance of such adi"'ti ...
"on.
C. ImplemMttl.... reg ..... On IHcembe r 9. 1993, the Alilbama Water Resource Com· mission adopted the initial rtgulations for the general opera· tion of the OWR and the AWRC; the procedurts for admini$trative hearings and appeals; the procedu res for adopting, arntnding, and rtpealing rulu and regulatioru; I/OVtming the OWR and the AWRC; and the administration of declarations of beneficial use and certificates of use. for the mQ;St part, the rules and regulations reiterate and expand upon provisions of the Act.'" These regulations do not include any pr""ision for the implementation of Critical Use Studies or the designation of Capacity Stress Areas.
Ccmcl ... lon Alabama's long history of reliance on the common law of riparian rights doctrine led to strong opposition to the Act and raised questions about the need for the Act. H""",ver. the State of Alabama could no longer depend solely upon the COmmon law of riparian rights to manage and protect its water resources because of growing inttrstat e and intrastate demands on such resources. Increasing interbasin diversions
and consumptive uses within Alabama and neighboring statr. forced Alabama to develop ~ progr~m to facilitate some fonn · of water resource management. The Act was the result of a substantial effort by a number of di>leTse interests. each recog· nizing that somdhing was needed. Whether the Act will be a success may not Ix known for some time. What is dear. however. is that the uncertainty of the riparian rights system should be diminished, because the State of Alabama now has some ability to develop plans and programs to address existing and pOtential water resou rce problems. The pOtential threat from incre~d water use in neighboring states IfI1Ikes it lik el~ that the initial Critical Use Studies will be performed on those ri"ers entering the state. If such studies find that one Or more areas should be designated Capacity Stress Areas. the OWR may try. through either negotiation or otherwise, to influence water resource decisions in other .tat•• to avoid water use rtstrictions within such ilre.u. The success of such discUSSiOns and the ability of the State of Alabama to secure concessions from its neighooring states will depend upon the quality of the data gathered during the Critical Use Study. Armed with a ",en-<locumented and defen. sible Critical Use Study, the State of Alabama may be able to obtain coo!",,,tive agreements from water users within the state and in other state. and to avoid protracted Itgal battl es OVEr water right... If so, the Act should be considered a suc· cess. Even if water rights litigation occurs. however, the State of Alabama should have sufficient water use information and the ability to project future water needs. When compared to
REAL ESTATE ATTORNEYS LASER SOFTWARE A com plete line of Rea l Esta te Closing Progr am s inclu di ng iI!' H UD's, Buyer & Sell er S t at eme nts, Di sburse ment Register , C h« kwri t in g !*l Deeds, Mo rtgages, Notes, & Affi davits rJI· Tit le Po li cies, Comm itment s an d Endorsement s !*l FNMA a nd More O ne t ime d at a entry, a ll ealc ul at ions perfo r med , high q ua lity print ing o r comp lele document, wi t h dat a , gener aled on plai n pa per. CAL L F R EE (813) 763-5555
--I
TIlE AlABAMA LAWYER
May 1994 1 181
the 5tate's ability to manage water resources prior to the Act, this additional information witt strengthen the stat.·s po$ition in any discussions with neighboring states, federal ag.ncies, and others ow. the use and d"'.lopm.nt of water re50ur~u . •
Endnot •• 1 All c.-§9-1\1fH(3) (~ . 1993), 2 All c.- §§9-1oe.l "'HQ, (~, 1993), 3,AII c.-§9- 1 0EH7(~, 19931 • Thelerrn -reg"Io',"" r;parian,.",- flu been uNCI to CleSCtir>&!he i'I E.oo_ stales of ~1 "" to roplace 01 to ouppif>. ""'"' "'" Vad_ common law 01 np.;.. rights, 5 For an fI"'torical ove ........ 0/ !he evolution of Alabama'. rip",ian ~g~," cIoc".,e, ..... pun, 'An ""'aJysi. _lid Eva lualion of waw Rig~l$ In Alal>o"", In Per$p<lCl/v1l with Other Stalfo> i'I lI'IO SO\J'h AII_ie on<! GvllIIegiOt1: 12 c..m. L Rev .7, ~ (l96t), 6 0 .. ,.,,,,,,, , •. F..".oro So 2<l 177. 1&1 (All 19611 (citations orniI.
.,. ••Iopo,..,,,
~)
7 .oro So. 2<1"'80. 8.1<1. " 1&1.
••
10, Thfo flwt
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S\"&tems 1tIc""'" (allhe Alabam.-Coosa. Ta, ..,."... R_ Sys_: (bl The To<. • ... R...... ; (elllle TOIfII>Ogr-
R_ . .,., Ie) !he Wa~ ior Rive< 0rIy "'" $taw 01 AIaWtna, The Coosa, Tallapoosa lin(! ChattlOoochee r....... OIigin1te III "'" Stat. 01 Geor· Oia, The T~ R""" OIigi'lo!<>S In !he State 01 ~isoIMippi The T... • .. A...... orlg_ III "'" <til,.. 01 T... ",. ., North ear... Nt lin(! Vorgonia, 11 SH~. Sum, 01 _ . I.h>!ed States Army Co<pr 01 ~, u..d Slates [);rttic! NorthfIm o;.triet 01 Alabio'Nt (CUo No_CV,9(l-H.()I3:!I.EI The State of AlIbI"", "'-"'<l1!oo U'wttd Stat.. """Y Cot", 01 Eng~ lor !he ""1iMa1 Env""" _ PIJI;ey AcI, 42 U,S C §§ "3<!1 <II HQ. lin(! !he regutOliOtos '" "'" Corps in "", • ..wor, with a nurn/;>er 01 ",,'er "'""""'" propooals witfWl 11>0 S1alfo 01 Georg4a 8M ~Ioo Erhard!. 'The Bottle CNer 'TIlt _ . The _al.lnterotaE& Weter Compaot lin(! lho _ i o n of Right. in 1"- CMtllrlOQCh .... Aiv,r: 11 SIan. ERV11 l .J 200 11\m1. _ ; (d) 1!00
~
lI'IO Warrior _
crig\">ates _
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12,Alo_c.-§9-10il-0 (~ 13.Alo CodoS9- I08·5(Suw ".1<1_ IS All C<xIo § 9- E OB~ ISuw 18.Al8_ c.- § 9-1(18.7 (Suw.
19931 1993). 1993)_ 1993) .
11 Itl. 16.... 1&, C<xJo
~
9-1iJ8.16 (S<.w IIlIl'lI 1l1li3) 2O.Alo, c.- § 9- 1(l8.12 (~ 19931 The AcI _ ! h e Sta!e'$ 67 e<>.roIies Into IWe 'Surface Water R&giono' """ eed\ Surlac.. Water Region "W,o' On&tong on. Of more major fi_ boa"" • . SM Ala. Codo § 9-100..:! (6) 21 All, c.- § 9-1(l8. 12 (Supp. 19931, 22.AII. c.- § 9-1(l8.12 (Supp. 19931, :r.J 1<1_ 2<',AII. Codo § 9-100 3 (15) (~ . 1993), 2!;,AIa Codo§9- I OB-20(~, 19931. 26,/d. V 1<1. 26,A/a, c.- § 9-1oe.2 (7)(Supp. 1993), I&AII,C<xIo §9- 1iJ8.E21~
N".
Between December 1, 1993 and March 31, 1994, the following aaomeys made pledges to the Alabama State Bar Building Fund. William Fronk Prosch, Jf. A, Holmes Whiddon, Jr, Their name:; will be included on a wall in the portion of the building lisling all contributors. Their pledges are acknowledged with grateful appreciation. For a lisl of those making pledges prior to December 1, 1993, please see previous issue:; of The Alalxlma LAwyer.
XI. I<I, 31.Ala, c.- § 9-1iJ8.2I) Ie) (~ . 19931, 32_AII. c.- § 9-1iJ8.2I) (Supp 1993). 33 Ala c.-S 9-1(18.3(81 (~ 1993). ~.
35_Ala. c.- § 9-1(l8.3 (2) (Supp 1993). 3Il.Ala_ C<xIo § 9-1(l8.2I) (&) (~ 1993) 37_SH Ala c.-S 9-108·20 (el (Supp. 1993) ('The ~ 01 Ancurcee ........... I ~ 01 """ 10 a1y pow""" rOQl,.i'td 10 _ • _laralion 01 upon "'" ~ '" • 0.0. lara"" '" bonolle!al .... ' ) 38A/a, C«Io§9- I OB·20(Q(~ 19931. 39,A/a. c.- § 9- loo..:! 111 (Supp 19931_ 4O,A/a, c.- S 9- 108,21 (Supp 1993)_ 41 Ala, C<xJo § 9-1(18.3 (!) (Supp, 1993) 42.AII,c.-§9-1Q8.21(S<.w 1l1li3), 03. 1<1, •• 1<1,
w.,..
_ieiaI """
..
~. ~
.7 1<1. ~
• \1.1<1 50_All. Codo § 9-Ioo..:! (l)($o.w. 19931, 51 AII_ c.-§9-1(l8.21 (~, 19931. 52,1<1. 53,/<1.
s.< A/a C<xJo §§ 9- 108·22 (Supp, 1993). M •. ~.
""
M .Ala, c.- § 9-11)8.:r.J (SupQ 1l1li31, 5II.SHADEC ... _ . c.- R, 3C&7·1 IInougn 3C&1·12 (Decomber 9. 1993)
182 / May 1994
THE-: ALABAMA I,AWYER
YOUNG LAWYERS' SECTION By L£S HAYES 111, presitknl e __ utlve Ca ",,,IH_
II 'I
winter - ' ' " ' '
n Februuy 18·20. Iht Alabama Young lawyers' Section E:xmJtiyt CommitIn held ill annual winter Imding In Point Clear. We wert hon' ortd to ~ u our guests KIlen] offiCUt from Iht ABA', Young t..wyers' DMsion: Mift Bcdb {dW• ..,Itct}, Ilick Bim (spubr of tIv assembly) and JadI BTOWft (boud oIlCMmon). eM. the )'Un. we 11M drYclopnl $OITIlWhat <J a tradition of hoIting officills 01 the YLD. ThtK officen SI)tnd _rat months out
poIIitions wilh 1M YLO ,,'\d his estabIWIfd /I tOIid rJPPOrt with ilJ Ieldo~p. Wt lit ind«d lOrtu~tt to h;n.. Mark as an Alabama Young I.a~r and appreci·
ate hil effort.!.
'The 1994 ABA Ann ......1Mid·Yev Mm· ina WH I\tkl in Pebrwory d this year in
~nAS City, Miuouri. AlwrrIi Young Lawycu Clu.lle Aad e ..on (Monl' gomery). Muir On .. ~Bi .minghaml. Robert Hed,. ~MDbile), and I attended and Mirved as delegatn 10 Iht Mid·Yo... M~.tinQ Mumbly of the YLD. During the assembly sevual ruolulions and bills \\Ita considered. Those that pustd we rt Ihen itnl to Iht ASA Ctntral Aumlbly as bting a prat<l\.iotiw 01 tht offidal position of Ihe YlD. A widt nngc of topics WH discussed. including luull hallumenl, bar admiuion uquirtmtnl$ ind "",tiorIaI health can:
"'~
of each yur mnt ing with lttorney. throuahout the: Unitt<! State. and formulating the YLO", ~nda on , national level. Their willingness to taJct time out from their 005)' schedules to mffi with ut at Point Clear !peaks very highly of Ou r AI,m.na Young l.ioWYH" Stetion and Iht national reputation it hn attained. I would bt ~miss if I did 001
..n~lstln
rtcoll"izc Min Duw (BirmingluomJ. Mud! 01 the credit lor thl: stroog nLi· tionship we hiI't with tht AIWYI.l) QI\ Ix dtributtd kI him. Milk his snvfd on wrious Cl)nlJTlitttu and his hdd K\leral
Le . ... ~.111
___
Pi"",larl'lrlQenlenl$ h.i.V't betn rrlid. fo r our annuil Sandel t in Semin ar to lakt pliCt al Iht Sandulin Resort. May 20 and 21. If you have nol ~Irrlide plans 10 .ttend please do so now. We hive In imp rtuive list of spukt". Induding Alibarrli Supreme Court Chid J ... \I(t SoM~ Ho"'u by. Mvtnl SOCill eV'tnl$ have also Men plinntd for Iht lflernoons lind evmiflll. I look fOO'WVd \0 itt,ng )'OIl in SandeJtin. •
r------------------------------------------------, ALABAMAYOUNG LAWYERS' SECTION SANDESTIN SE~nNAR MAY
20 · 22
Name Alabama $\.iole Bar]J)jI (Social Sewrii)' It)
City
"'''
ZiP....
c=J $140.00 Rtgistn.tion FH c:::J Check htre if you wish to t nltT the anlf tOUTlIlmrnt. GrHn fees will be paid al Sandeslin.
Make check payable to AWIo .... Y"~I Lo..,.....· SodIoa .doAlfml F. Smith.lr .. TTtuurcr. 1901 6th Avon .... North. Suitt2400. Bimlinatwn.AIWITIlI 35203.
~----------------------------------- - - --- --------~ mE AU.BAMA LAWYER
M;.y
1994 ' 183
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THEAUBAMAUWVER
RECENT DECISIONS Bg WILBUR C. SILBERMAN and TERRYA. SIDES
SUPREME COURT OF
THE ALABAMA Failurt to toJ!lPIy with ".1 1.' ""Y predud~ appoUat. m.iew "f jury'. award of damage. In Clarke-Mobile Coonly Cas Di5lricl v. Reeves, IMs, 1920467, Augult 20,
1993), __So.2d_
IAla.1993), tht
defendan t , Clar ke, Mobile, appeal ed
f,om the dmial of its motion for a new trial. or, alterl'\ll\i\'ely, to alt .... mend, or vacate a judgment in lavo r of the plaintiff., tho Recv<: •. The Retves sued Clarke Gas on claims for intentional trespass to their property. Tht)' allegW that without thei r permi ...;on, Cla rke
Gas emplO)'l'e. had buried. gas line on thei r property and had damaged their prnperly in the process. Th e Retvu sought both compensatory iU>d punitive damage". The trial court, without objection, instructtd Ihe jury in terms of an undesignaltd award, The jury awarded
the Reeves $251U 50 in un.pecifi ed
damages. On appeal, though, the judgment in favor of the pl~intiffs was reversed on other grounds, the court noted th~t because the ju ry did not awortion it. ""'"-rd, it could not determine what the award represented. "This is a critical problem in addrusing Cluke Gas's a rgument that th e jury a"'lIrded exc""i"" punitive damages. W. cannot reasonably determine that th e juT)', in fact, aWolrded /Ill)' puniti\l' dam· ages. " Ala. Code §ij.ll-I (19751. pro· vid~
In any civil action based upon tort ... except actions for wrong!ul death ... the damagu assessed by the fact-nnder shall be itemized a5 follows: (I} pas t damages; (2) future damages; (3) punitive dam-
age •. Whe re, without obje ction, the trial court instructs the ju ry in terms of an undesignated award. such will preclude the appellate court's rev iew 01 whdhtr the jury's damagu award THE AI.ABAMA LAWYER
was excessive. See also City Real/y, 1m:. v. Omlinenlal Cruual/JI Cwnpanll, (Ms. 1911 427, May 27. 1993], _ So.2<L-(A1a. 1993). DillCOYfry of .... tom .... lists and olb .... Jum evidence-limited to cuellnvolving fnud claimJ? In ",'x porte Mobile Fixture and Equipment CompanJl, [nc. , IMs. ]921109. August 27, ]993 ], _ So.2<L-(Ala. 1993}, the plaintiff sued the defendant on claims alleging theft and conversion and breach of con · tratl. arising out of the defend~nt 's agreement to provide security services for the plaintiff. tn the discOVt'T)' process, the plaintiff med interrogatories and requ.st. for production. which $Ought the identity of all of the defendant's customers for the preoo.ling five years and production of the defemlant's customer list. The defendant objected to these discovery requests, arguing that the information and matuials $Ought we re confidential. privil eged and not relevant to the plaintiffs claims. The trial court denied the plaintiff. motion to compel. On a petition for a writ of mandam~. the plaintiff "'lied upon Ex parte Asher, [nc. , 569 So.2d 733 (Ala. 1990) , Ex parle Siole Form Mulul1! Automobile Ins. CQ" 452 So.2~ 86] (Ala. ]984), and Ex parte Allstate Ins. Co., 401 So.2d 749 (Ala.. 1981), as support for its position that the court should dir.ct the Ir;al court to order the &fendant to produce the requested info rmation. tn an opinion authored by Justice Houston, however, the court recogni;ed that those cases "are distinguishable from this case because each of those cases involved /raud claims; in eaCh, the Court allowed discove ry of similar /raudulent acts to pron an all.ged fraudulent schem., plan or design on the part of the def.ndants .... Un&r the facts of this case. h<)\>"ever, Ithe plaintiff] has not alleged that Ithe defendant ] e ngaged in any type of fraudulent scheme." Accordingly. the plaintiffs
petition for a writ was denied.
Crtert Oil (acton and HllntmI;)III/ hearing not applicable to questloM of tlICU AiveM •• or inldoqUKY of jury verdid ....rdlog soleb> compenutory damages In Pill ... CenturJl f1, Inc .. IMs. ]920923, Deeember 22, 1993]. __ So.2d __1Ala. 1993), Ihe plaintiff was injured in a Cfllnt aaidenl He sued the crane manufacturer on claims for negligence , wantonness and liability un&r Alabama's E~tended Manu/acturer's Liabili ty D<xt rine. The plaintiffs claims WtTe all based on the absence of an emergency brake on the <flIne. At trial, following the conclusion of all of the evidence, t~ trial court granted the defendant'. motion for a directed \'erdict as to the plaintiffs claim for wantonness. The plaintiff then volunta.r. ily dismissed his negligence count. This left the AEMLD ~unt as the plaintiffs only remaining claim. The jury subsequently returned a ytrdict in favor of the plaintiff. and awardod him compensatory damages of $300,000. The defendant moved for a new trial, which t~ trial court denied conditioned upon the plaintiffs acceptance of a remittitur of 5200,000. The pla intiff did not accept the remittitur. and the tri~l court ordered a new trial, On appeal, the plaintiff argued that the tria] oourt had erred in ordering ~ remittitur of the compensatory dam ages award. The trial judge's remittitur order demonstfllted that his reasons for concluding that the jury verdict was flawed and for ordering the 5200,000 remittitur wert based upon his analysis oHhe factors set out in CTeen Oil CQ• ... Homsbg, 539 So.2d 218 (Ala . ]989), which are the factors for a trial eourt to consider in detemining whether a jury award of punitiVf! damages is excessi"" Or inadeQuate. The plaintiff argued that these factors are not applicabl e and should not b. conside red by the trial court when determining whether a jury verdict wlely for compensl1torJl damages is excessi"".
May]994 ' 185
The SUprtmt court~. In writing for iln ufWlirnous court, Justiu Shoru noted that, in rf,ard to aw~rd~ nelu. ~ively for comptns;ltory <b!Tl1i:u. til, court's prior holdi~ haw n,urOW<l:d tlw ~ 01 Hammond D. Cil, 01 Gods· dtrr, 493 So.2d 1314 (Ala. 19861. $0 that /I Hammond hfaring is not !TI/Ind/ltory "where the awud i. clearly supported by the record." s... CSX Tnwup.• Inc. D. lJtJg. 613 So.2d 883 (AI&. 1993). Justict ShortS fu~r ltattd: The rfUOI1 for the differenct in appIWCII lin COffiptns.lt(\T)l dam· age aJoU IIiJ a vis punitiV'lt dam· Igt aMsl is tlut II nvi~ of I jury vt rdi ct for wmfH,ualor, damagelon the ground of excts· siwllfSl must focus on the plain. tiff 11.1 victimlln<l uk what the tvidtnu supports in tums of damagu suffmd by tke plaintiff. II court reviewing a verdict for compenutory dllmallu must ddennine wfw omounlll jury, in its discretion, 11\1)' _rd, ~ng the tvidtnce from the plaintiff's ptTSptctiw. Bridga ~. C/emmts. sao So.2d 1346. 1349 (Ala. 1991). In conlr»t, a rtvi~ of a jury wrdict for puni/il¥ <blNgu on grounds of ucusivtntn must focus on th e ddendant. Tilt Green Oil factors ITt not III· inclusiv., but th.y r.qui re II TtYilwing tourt, whtthfr lrial or IIpJlfllue. to begin and tnd its rtview of I "uni/fo' award by focwiOll on the deftndint ilnd the deftndant', conduct. The jury;and II revi~in, court in II punitiw dalN,es cut stru"le to detfT' mine wkat ilnIOUIlt is appropriate to furthtr tht aims of punitive wrdicu.: to punish tht particuLir dmndant btfoR lhe court ;and 10 cItIfT othtn from simiLir conduct in tht futu r•. These consid. ra. tiON haw no place in a review of I purely comptnu to.y jury IIwlrd, whtre I revi~inll tourt ohould Yiew the Iward from tlw standpoint of the victim. Accordinilly. btcaUK this was a CIISt inoolYing only comptnsootory dillVllu Ind Ih. trill roIlrt cOOlidered flcton In.t Irt ffltv1Jlt only 10 In iwud of ""nitiV'lt damages. the trill court errtd whtn it conditiontd tht d,nial of a new 186 1 M.l.y 19!M
trW on the plaintiff's K«p!in<:t 01 the $21)0,000 rfmjt!itur.
BANKRUPTCY In.ldna ha", right to Jury IrIal. but Fourth Cln:ull Qya iwtkruJltcy COIIrt anllOt hold ITW In Il' SltmSburg hJpIor P/Qt:e, 13 F..3d 122,25 B.C.O. 95, (4th Cir. (Md.l. Dec. 21. 1993). In October 1990. fiw reLited tstltts filed ChlpUr II ClISts; ont month Illter the UfU«u.ed utdi\or's commitlft w;as ~ppoint.d ;as 1M !"-rty ~1p<.>nSiblt for u"""cur.d (rtditoTS in all the eiSel. Two years laler the court ~uthoriud the commitlH 10 filt avoid· ibIt t~tr procttdinp~"'" KYtr· II inside .., who thtn filed jury dt · lNods. The insiders 11$0 requesttd tkat the rdtffnct be withdrawn contendin, t kat th' bankruptcy cou rt lias no iuthority to conduct jury trills. Tht commitlft contended thlt beuuse It also hid .equtsted lin tquitable accounting no jury trial was warranttd. On rflChillll the Foorth Cir(Uit, it WIS held that ~SolrdltS.S of tlw compltle disIrrlly 0( ffcords. if no proof of cllim hid bttn filtd, the Seventh Amendment en t itltd I plrty. wh ether or not an insider who h.od control of the bwinus. to II jury trial. Fu~r. liliOlla proof of claim in II reLiltd aM' woold not afttct til. jury entitlement whtn 00 c1~im had been filed. The court quottd the U.S. Supr.me Court that Itattd, ..... her. both Ltpllnd equitable iuu.o. an~· _1..1 in a sillJllt CIISt. 'only under the most impt ri tivt circumstances ... Cln lhe right tH jury trial of ltllal iMuu be lost Ihroullh prior determination of tquiU.blt diims:" (Dair, Qu""" 11. 1100dI. 369 U.s. 469·1962 ). The court then discusstd tlw authori· ty of bankruptcy courts to conduct jury trills. It dtcLired thai then w;>S no l.g. isLitiV'lt lIuidanct .ithtr in the wordillll of the st."Itul", Of in tlw LtgislltiV'lt hil· tory. In holding tlwlt the baonkruptcy rourt dots not ha"e such authority, it IIdOpted rtuOrling of tht Sewnth ind Eighth circuils that tlwrt would n.w to be i dinct Il10wllnCt by Congren ;and Ih.ot IUthority could not be implitd. Finally. the Fourth Circuit slIIted that Ihe decilion whd her or not to with.
dra.... tht rtftrenc. imn'lfdi~t.ly is I prajflTlltic quution that skould be ltft to tht di$<;rttion of the district court, CiSe bycUl!.
Be CI"ful lo proItct I>Iimlnllmlivt uponse. In caM CGnvtTttcl from ChapI.... 11 10 Chapler 7 In 1M Maller 01 Do-Vria Groin &- F.".· (i/fur. 12 F..3d 101. 2S B.C.D. 89. (7th Cir. (III.), Otc. 22 , 1993). OtVrin (drbtor) kid iln involuntary Ckapter II ptlition filed OlI/Iinst it on Jinuary 31, 1985. Hollewtll Enttrprises sold on optn KroIlnt 1M also made loans 10 d.btor on MIY 7, 1986. On June 12. 1989, Ho1~11 filed an administraliV'lt claim of S389.6OS.II. requesting !"-y' menl fint und.. 1503(b)(I)(A) IS in ordilliry uponst , ind secondly undtr SOO(b) (3)(0) ;as malting I sub$lIInlial cont ribution 10 tht tSt1lt. A hUrin, took place on September II. 1989 with· out iln ordrr being ill~. On JilnUAry 18. 1990, the CHI! CI.lIMIrttd to Cklpter 7. and on Ftbruary 6. 1990. iln order iuutd In.t cLiims must be filtd within 9(1 days al\er the Inteting of creditors. Holltwtll, which had nev!r /iltd i proof of. c!.aim, ignored the or<kr. Two )"f:IITS tlwTtllfttr. Holiewtll filtd I TtqU!St to IwIvt its Chapt.r II n~nse 1I11owtd. whkh WII dfni.d by the bankruptcy ilnd diltriet courts. The Seventh Circuit affirmed, stlling Ihit ntilhn the BinkruptCl' Code no. Ruiu provide for Illowance of adminitt rlltivf u~nst
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~fter conversion from Chapter II to Chapter 7 unless a proof of cairn under Section SOl is filed either before Or after conver~ion. It also determined that the request fo r paymen t of an administrative eJCpenst cannot be trtat· ed as filing a proof of claim. as no court Ius ever consider.d • pre·conversion Chapter 11 request for payment of administrati~ expen~ to constitute a cairn in Chapter II. HolI~lI"s attor· ney a ttempted to ~how "excunble neglect" under Pi_ !nlld/ment. 113 S.Cl 1489, which the Seventh Circuit disposed of by stating Pioneer applied only to Clupter 11 ca~s . and actually suppOrted the denial. Comment: This ~ms a rather l>arsh rtsult. especially as the creditor had filed a request with the court during the C,""pter 11 pendellC}'. Many Clupter 1\ case. fail. Tho$e attorneys who dtal in Chapter II should k~p the holding of. this case in mind. and remember that if there is any doubt. be sure to file the proof of claim.
Fifth Circuit rulu on disclw-gabilily of out-o(.t!me llm'ndmenl to Ilst debt !n tire Motter of Stone, 10 F.ld 285. 6Z USLW 2449, Bankr. L. Rep. P. 75, 651, (5th Cir. (Tex.) Jan. 3. 1m). In a ~t Chapler 7 case. debtor inadver· tently failed to list a creditor to whom they IhusNnd and wife) had owed on the PI.Irclwe of a condo and later wid prior to the NnkruptCjl. Prior to the d~ of the case, but long after the 90· dly period for filing claims, the credi· tor. upon learning of the bankruptCjl, filed a complaint in the ban kru ptcy court claiming non·dischargubility under 523(a)(3)(A) of the BankruptCjl Code. No fraud was alleged. The lower courts ruled the debt non·dischuge· able. The Pifth Circuit first reviewed judicial constructions under the old Act "Outing that there had been contra· dido,), interpretations pre·Code. The court then eumined present 523Iaj(3)(AJ, stating that although the words are rational, they are ambiguous. The court concluded that the statute must be inte rpreted with equitable principlu in mind. following three principlt$: (1) reason for failure to list; (2) amount of court disruption likely to follOW; and (3) any pr~judice suffe«,d by the unlisted creditor. as well as listed THE ALABAMA LAWYER
crtditors. (In discussing the reasons for failu«, to list, the Eleventh Circuit case of Batchu, 781 P.2d 1534 was men· tioned as holding there should b. nO dis<;ha'1le if failure to list was motivated by intention, fraud or done improperly.) The court found that nOn. of the mentioned factors were present, that the "editor had a full opportunity to litigate the matter in the 100000..,r courts, and that there was no prejudice. Thus, the debt was ruled dischargeable. and the lower courts revell-td.
to the Thi rd Circuit ..eking to «'instate the original plan. The Third Circuit said the debtors were unaffected by the b.-.nkruptcy court order as they would pay $120 per month r.gardl .... Thus, they "'..,re not proper parties to appeal. The court then taxtd the COSIS against the attorney. stating it would not be right to tax the debtors. and also diTKt· ed the bankruplCjl court not to allow attorney's fees for the appeal. •
Debtor I, nol ~party aggrieved" and thereby not proptr party to appul onItr allocaUng payment. btlwftn MCUred party and attorney for debtor In re: ErnUl Dykes, 10 P.3d 184. 62 USLW UOJ, Rankr. L. Rep. P. 75. 615, 13rd Cir. Nov. 30. 1993). Debtors Ihus· band and wife) made 19 payments on a 48·pa\·ment contract with GMAC, and then filed Chapter 13. The plan called for the first ten payment> of $120 for debtors' attorney. and then for approxi· mately thrte years for two StcUred credo itors. GMAC objected, and after notic. and htaring, the bankruptCjl court held that the installment payment> would be divided betw«n GMAC and the attorney until she received $1,200. The debtors awealtd to the district court and then
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188 1 May 1994
THE ALABAMA lAWYER
Alabama Law Foundation Awards Grants By Tracy A. Daniel ow interest rates were a boon to home bu~ .. in 1993. but meant the 5WlfId ronKCUtive )'Urol' a decline in IOLTA income
L
1994 Grants
to the Alabama Law FOW>d.ation. Inte,..,.! rat .. paid on ""''Y''I"$'
trust accounts ranged frQll'l2 per~nt to 3 perce,,!. down from an average of 5 lit""'"! just thrw years ago. In March 1994 the foundation ilWarded S8OO,ooo in grants to Z4 organizatioru thJ'O'J!lhout AIabarna. a
20 percent decline O'>'er the Sl million g~ in ]993. Jiowever, interest ratt.:! t-.w.. ~ a slight uptick sin« the first of the pear. The Grants Committ~. chai..d by Allan Chason of Bay Minette. had the difficult task of cutting down the $1.291,000 in grant mluests recti'o'ed \0 the S8OO,ooo available. Consequently, the foundation could not fund all ..quests submitted. All but one of thost who ..""j""d funding in l"evWu.s years «<. ;oed cuts or lewl funding. The other member.; of the oommittet are Ddom Boyd, Montgomery; Ricllard Hartley. Gremville; Alan Livin,gston, Dothan; Sam Stockman, Mobile; Jim Pruett. Bi!llliogham; Donna Pate. Huntsville; and AMyWear, Fort Payne. The fouOOation ;. grate/ul for the time they contribute In review
""
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Th. foundation continued its funding of Itgal aid to the pOOr through i~ funding oJ Legal Services lawytrs to p!lJllide representation of victims of oo.r....tk ~ in legalll'I/Ilters. Tho Alaball'l/l Stale Bar Volunteer Lawyers Program and the Mobile Bar Association Pro Bono Program both continued to grow. exhibiting the wim~ oJlawytrs to wlun«<r their time and expertise to help the needy. Over 1.500 Alabama. attorney, participate in pro bono efforts. either through a.ocepting cases ,...Itrrtd to them Of wluntariiy reporting the number of I>!'O bono hours they work. Tho foundation continued il5 funding of the Alabama Capital Repre· nntation Resource Center. which provides assi'tlIlct to aUorneys appointed to represent defendan~ in capital cases in the post-corrvic· tion Sbjfe. Tho cent..', help makes it easier for ~rs to provide dfedm ,...presentation for their cliento; in these complex cases. Dome,tk abuse 'helters in Birmingham, Huntsville, Cad.den, Anriliton, and Mobil. receNed grants to help fund victims' ad'JOcates. Tho ad'JOcates work with victi"" oJ oome.tk ahuoe to help guide them through the court :system. They provide ~ in mauers as !ruie as obtaining warrants which oftfn seem OYerwhelming to someone "",red and ~ Tho Mobile Bay Area Partnership for Youth and the Young Lawytrs' SectiontYMCA Youth Judicial Program both m:tived funding lor pro.. jects involving)mJ"II people. The former "ill hold a camp in Prichard this summer /or)mJng people at risk of beroming illYOlved in crime. At the other end of the spectrum, the Youth Judicial Program 'POfISOT$ mock trial competitions to help high school studenl5 leam how the judicial system worb. Acomplete list of granto; awarded follOW$. The foundation thanks the IlIW)'ers and banb participating in the IOLTA program for their sup. port. II)'Ou do not currently participate in IOLTA or hart changed b.ml<. or firtn5 and wi$h to establish a new IOLTA account, please con· tact Tracy Daniel at Z69·1S1S or 800-354,(;154. • THE AlABAMA UlWYER
LEGAl AID TO THE POOR
...... s.mc.. CorporIlloII 01 AIIbIIM
'240.000 ...... s.r.;c.. oIMor1h CtRInoI___ f15,000 ...... StnbI 0I1111ro Ii I.. $7S,OOO 1IIobIII . . Anoclllioll ..... 000 ___ SIlII, . . v..... t..,... ""'opn-S7O,OOO MontIlOlMf)' c-ty . . ""' '-'"ltd $10,000 ,~
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ADIIINISTRATION OF JUSTlCE c.,;t.IlIo, ill 'l1iN ~ c......----S7$,OOO AIIII-. 1'ItIoII'"Itd ",,000 AIIiIIN ....... c......tw ............ 1 1M! $U.,5OO lor Youth, . . Ifo,ooo IInMIghMn YWCA ,...., 'iIoIIIa Cenltr $20,000 TIlt Shelter, . . 115,000
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..
..... 111' 11touM,1nc.
$12,5011
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LAW-RELATED EDUCATION Youth .IudlcII1".....
$10,000
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.-.......-...._......,..
LAW UBRARIES
aw_lleo.n,
-
$3,500 ",750 ",000 ",000 $3,500
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11,000 1",450
...... May 1994 / 189
OPINIONS OF THE GENERAL COUNSEL By ROBERT W. NORRIS, general counsel
Illl
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UESTION 1M SWdinj : CMtmiltft on Elhia and I'roks, sional Responsibility 0( 1m American Bar lion issued FOIlTlll] Opinion 93-379 on ~rnbtr 6, 1993. concerning billinQ for pro/usio~1 feu, disbu ... mtnll ind othe r expensu. This off,ce r."i~' nume,ous requulI (Olluming th ... subftcts md. for thaI reason. uQue515 the Disciplinary CommiloSion 10 deltnnint ",helM, or not this opinion cornctly SUIts lilt rule appliabl. to ~ ~ conct'ming thtK INtius.
IJ
.OW'., 11 is tht opinion of Iht Disciplinary CommilSion thai ABA Formal Opinion 93·379 «omctly statu thr ru~ ~Htabl. 10 AWwna I.t.wyus conct'ming
Ih. billins of proftuioru.1 f•• s, disbursement' lAd oilier ~nsu. Accordingly. Fonml Opinion 93-379 is illCQll)Ol'lltfd htuin and ITAde I pari oIlhis opinion.
. ., .. _ _ iMlon FCMmIII 0INn1on 93-379 Coruistent with lhe Model Rules of rrorusional Conduct, I ~r must <.lisdosc 10 I ditnt 1M basil on whkh the dient is to ~ bil~ for both pro(wional timot and any other charga. Ab$ml I oonlJllry understanding, any invoice lor profnsioNl ~
Krvicts should f.. irly untcl the tmls on wllicll tho d~nt's In matters....heu the dient III!; ij[r«d 10 1Ia"" thf f« dfttrmi~ witll rtference to thf time txptndtd by til. Ilowytr. " lawyer may not blll mort time tllat she actually sptnW on a matter. tlcept to lho e~lenl tilal she rounds up to minimum lime ptriods (such'" one-quart.. or one·tentll of an hour). A If.W)'I' r ",,-y not (I",. . l d~nt lor <M;rho"" n :ptllKS ,en.u1,lIy ;wocilted will!. proptrly main· tlininc. staffing lind equipping an offi«: howtYtr. thf I.lwytr may rtcOUp t:q)t1\KS rworubly incurrtd in I;Oru1tdion with the Clitnt'. matter for KNiee. ptrfonned in·llouse. suell ;as photocopying. long distance telephone calls. compuler rtsearch. sptci .. 1 deliveries. secretari ..i overt ime. and other similf.r KT\'icts. 50 IonlIlIS the cllarg.: I'U$OI'Ill)Iy rtfltds the Intytr's lIctull toItlor thf Krvi«s ",ndtred. A Intytr may not chlo..- a elimt ITIOft Ihiot ..... disb."ymentl lor serviCts provided by third Plrtits like court nporten. tn""l <>gents or uptrt ...itntsSU, elapt to the extent Ihiot thf I~r incurs cO$ts lIdditiOlUl to the di rect cost of tho third·PlrIY services. 1hr: ~ prol'r$$ion lias dedicated a subslantial amount 0( time and entTlti to ~Ioping elaborate sets 01 ethical guidtHnts for tho benefit of its dients. Similll,ly. tile profusion lias .ptnl mn.ordin<UY raoura:s on intnprrting. telIdIing lind erion:inC tthia rub. Ytt. il'\lflic:illy. La...~ ~ no! ammIly Ttglonl· td by the public '" particulut)o nhiclIl. Ono ITIlIjor QlIltribtItinll
cIwlIts ~ ban dttnmintd
u-
fIIctor to the diK:oI.onCini publiI; opinion 01 the Ifa:al ~ biJlirC practioes ci ....... dits "III.a.S,
~ to be the
It is a common ptJUPlion Ihiol pmsuu on lawyers to bill .. minimum number of hours and on IlIw firms to maintain or imprOlle profits nuy llavt ltd some lawytTi to .ngage in prob· I....... tic billing pnclku. n,ese includ. cllarlZU to more than one dient for the S&1M work Or the SlJJlt hours. surchlorges on Krvices oontrKItd with outside ""ncIors. and c!urges beyond tU50rWlle COSlI for in· house KrviCts like photocopying lI\d com puter Kuclln. MoreeM". tile bllSfS on wllich tlleH t1",rllU.u to be lIS$t$Kd often ,,'" not dif<;!osed in advance or l rt disguiKd in cryplic invoices 50 tllat tile client dots nOI fully understand exactly wllal costs au being cllargtd to him. ~ Model Rules of Prolessional Conduct provide important principia appliQ/Jlc to the billing 01 dienlJ. prindplt.J whicll, if fOllowed, would lmelioute many of the ptoblerns noted abow. 1hr: Committee hu decided to ~USI KWT1I1 pnctices Ihiot art the subjtct of frequenl inquiry. willi lilt IIOll O(helpin, the pro/tsSion adhert to its tlllial obliplion$ to its cli.nts despile """"",mic pre$Jures. The first set of pnctlces involves billin. mort II!.an one client for thf SlJJlt hours Iptnt. In 0IIi' mustr~tivc sit ..... tion. a lawytr finds it poossibl. to $Chtdult court apptannCtS for thrft dimts on the s.vne dIy. tit sprnds .. toQ1 of lour hours at the court· house. thf lImount 01 lime ho would hIovt spmt 01\ bellalf d uch t1~nt had it not been lor thf fortuitous ciTClUl'lltan« tNt all Illre. cues wert $C1I.dultd on the .... me ~y. May II. bill each of. the thT« clients. who otheTWise understand tilal they will bt billtd on the bouis of time sptnl. for III. four hours ho sprnt on them colltctivcly? In anothtr sarutio. a If.wytt is fly. ing Cnl'oHountry to ilItend ~ dqIosition 011 bth;.lf 01 0IIi' c1~nt. e>pmding 1_,,1 lime she wouJd ordinarily bill to that dimL If iht decides no! to WlOICII thf i'i'OCl'M or rod ..... ncMl. but to work instead on dnfting .. motion foI' another cl~nt, JTU)' iht charl/t both cli.nts. tach of whom agref<lto hourly billing, for the lime during wllich iht was trawling on bellalf of one and dnftinS I document on bellalf ci thf alher? A tllird situation invoIvts rtsUrch 01\ ~ parlitulf.r topic (or 0IIi' clienl tNt If.lfr turns out to be "'~I to an inquiry from a S«Ond d~nt. ~ lilt firm bill lilt st(I)I'Id dim\, who ij[Jftd to be charged on the b.uis d time spent on IIis CiK. the .....". .. mount foI' the uc:ycled work product tllal it cllarg.:d lilt first cl~nt? 1hr: 5flOCIlld set 0I1'n>ctictS involvts billing for txptruH and dis· bursemmts. and is tJiemplifitd by the situation in which l finn conlrKU for thf uptrt witnes& services of an economist i t an hourly RIt 01 S2OO. ~ lilt firm bill lilt c1imt b lilt tJiptTI's time ~t lilt ral. 01 S250 per hou,> Sirnilmy, ""'Y the firm;odd a surdwlle to lilt CO$\ 01 tornput......w:td I'$lTCh if the ptr· minute tot.'Il charged by the cornpultT 0Jr\"IPlIIlY don not include
F_' Op/Jrioll9J.J19 BiDing frJr Prrifm'-' Fta. Oi~UrH1lIDlU ~1Iti 0tMr EzpmJa.
~ 6.
J993. rqrinltd with
pnmwlmr 01 tM ~n &r Msocl.liDn
190 / Mayl994
TIlE AJ...l8AMA LAWYtR
the <.:0$1 of l'UI'I;ha:li"ll the ~tel'$ or $\aIf1I\Q their or>tration? The quutions presented to the Commiltu ~qui~ w to determine what tonStitute rusonable billing proctdures; that is, what a~ the se ..... ic" and casll for which I La~r rruoy IfQitirruottly cha~, both genenlly and with rtglrd to 1m spe. cific KtfWIrias? This inquiry rt,uiru I n tluci<btion 01 the Rule of ProIeW\>n.l1 Conduct 1.5, and the Model Code 01 Profusional Responsibility OR 2-106.'
DiKtosw. of the . . _ of U. Amownt. to . . eto.,...cI At the 0\IlItI 01 the .ep'(:lHltation the lawyer should mW: disclo5u~ 01 the basis for the flit and any oIhtr chargu 10 tilt dimt. This is a two-(oId duty, includi"i not only an npWQ. lion at the belinning 01 ~nt 01 the ba$is on whlc:h fHl and othtr cIw1U witl be billed. butllso I sufficitnt nplani· tion in the suttmrnt so that the clitnt may rasonably be exptC\td to undtnWld what ftts and oIhtr cIw1U the cliont is ;td.\I.I.Ily being bitltd. Authority for the obligation 10 mW: disclosu~ at the belinning 011 rtprutntilion ;1 found In the inttrplay Jmong a number 01 rulu. Rulf 1.5(b) prtMdes thai: Whtn tlx IIW)'tr tw not rtllularly ~PT1'Hnttd tlx ditnt, the bali. or ntt 01 the flit wll be com· muniuted to the client, prderably In writing, befo~ or within a T1'uooable timr aft .. com""nting the T1'1'T1'sentation. The C<lmment to Rule 1.5 gives guldanct on how to uecule the duty 10 oommuniutt the basis of tht fet: In I new clitnt-LaW)'tr relationship ... an und~r_ standing 1-1 to the fu should be promptly utab_ luhed. It is not ntCetJary to recite III the faclors that undtrlit tht basis of the ftt, but only those that ITt dirtclly involved in ill computation. It is sulrlciont, for uample, to state that tilt basic Rte is an hourly charge or a flltd amount or an Mi· "",ttd amount, or 10 identify the factors that may be lihn into account in fifWIlly fi.inll the fee. Wlltn dtvtlopmtnll occur during the rtpratnta· tion that T1'n<.Itr an u rlitr ati""'te SUbsunliiJly inxcurate. I rrviHd Hti.mtt should be provided 10 the client A writttn sLltuntnt conaming the ftt reduces the pouibilily 01 misunderstandinllFurnishing the dient with I $imple lI"IttTI()OtIdum or I copy oIthe 1iwytr'1 cwtomuy 1ft IChtdult is sutliciwl if the hI-lis or Rtt of tilt Ita is HI forth. This oblig.ation Ii ~inforud by reference to Modtl Rule 1.4(b) which provides that: A liwytr shill npbin I ""'U .... to the t:XItnt ru.. sonably necessary to ptrmit the client to make informed decisions regardil\j the rtprutnl.ltion. Whilt tht Corn""nt 10 this Rule iUUH/.$ its obvious Olppliwilily to ntgotiitioru Or litigation with l<MTH parties. ill imporlint principle should be equally JPplicJble to the l,wyer's oblill/ltion to t xpl'in the 1mis on which tht lawyer nptcts to be comptnsated, so the ~Iienl can make ont of tht more important decisions "regarding the rtpruentalion." An obligation of diKlosurt is also supported by Model Rule THEALABAMA ~WYER
7.1, which add~SKJ oommuniutions concerning I bwyer'i services, including the basis on which fus would be charged. The rule provides: A bwyer shall not make I ratH or mitludinQ commu· nicltion ,bout the II",>", r or the la~r'l It ..... ictl. A commWlication it faIH Or misluelil\j if il: (I ) conl.lins I materilol misT1'preHntation 01 fl( t or bw, or ornill a fl(t necuury to mah the silltemtni (OR!Iidrml as a whole no! TTIlttrilolly multiding.
II is clur under Model Rule 7.1 that in oIftring to ptrform Hrvica for pmtpeetM d~nts it is crilical that ~rs avoid making any sIlIltmtnll about ftu thai Ire not complete. Ir it is lrut that a lawyer wlltn iMrtising for n£W clitnll mUit disclose, lor uampit, that COlli I~ tilt rupomibility of lilt clit:nll. ZtJ~ D. ()ff~ of Disdp/mar, Cour!W, 471 U.s. 626 (1985). it neassarily foIlowIlhat in tnltrillll inlo an adu· il climl ~lationship IIiwytr must make lair disclosu~ 01 the ~s on which fHl ...ill be wnstd. A oorolJ.ory of tilt obligation to diKioH the ~s for futurt billing is I duty to render SLltemenlllo the cliont that ado· qu.:oltly apprise tilt dient IS to how thai basis for billil\j has been applied. In an tng,agemrnt in which tilt clitnt has Ii~ed 10 tornptEUate the lawyer on tht baIis 01 time upended at reg· ular hourly rates,l billsettil\j out no mort than Itotll dollar f,gu~ for unidentified professional services will often be iO$ufficient to ttllthe ditnt what he or she nH<ls to know in ordtr to under.land how the amount was determined. By the same token, billing other chlrgts without breaking the chargu down by type would not provide the client with the infOTmlltion tht client n«ds to unde"llmd the baIis for tht chargu. Initi,1 disclO'lure of the b;.:!is for the flit Irnngtment fOOm communication that will promott tht atlomey-clitnt relation · ship. Tht relatioruhip will be similarly benefitted if the statt· ment for Hrvica uplicitly reflects the ~il for the cha 'llti so that tilt clitnt un<.ltrstands how the f« bill was determined. Prole. ., - . Ob....Uon•
.....rdlng U. ....__~••••' ••n_ . . . . of F . . . Implicit in the Model Rulli and their anltcedents il the notion that tht attomq-clitnt reLitionship is not necusarily ant 01 ~Is. that it is built on trusL and lhal the cI~nt is mc:ouraged 10 be cltptndtnt on tilt 1awyt"I". who is. <.lUling with .miters of great moment to tho ditnt. Tht c1itnt should only be charged • rusonablt fH for the Itjll Kr.ictI ptrformrd. Rule 1.5 nplicitly addrtSStl the rusonabltnw 01101/.111 ~ Tht rult deils not only with tilt dttermifWItion 01. "asonablf hourly ratt, but ~lso with 101;11 COft to the ditnt Tht Com· ment to tht ruk sIlIt~ lor oampIt, that "(I) liwytr should not esploit , f« arran&e""nt based primarily on hourly chargu by lI$ing ..."aSI~ful proctdurts.: Tht goal should be JOItIy 10 com· ptnsate tht la~r fully for lime rtason~bly expended , an apprnKh that if foIto.ml will not talee ~<II1tage of the clitnt. Ethicit Consideration 2-17 of tilt Model Code of ProIwion· ~l Responsibility provides a framework for balancing tilt inter· tsll betwetn the lawyer and client in dttermining the rel-lOn' abltntos of a fte arnngtmenl: The determination of I proper fee T1'qui", consideration of the int~T«\$ of both client <II1d lawyl'T. A lawyer should not May 1994 1 19 1
ehlo~ It'IOft tIwi I ~ fft, fur tauuiw eost 0I1tga1 totrviet would ddtr lli)'lTltn from utilizinri the ItglIl system in
protection 01 their ririhts, Furthermore. ,In ucasiYt cha~ abuses the pro(euional relal ionship btlwttn la~r and eiienl. On lhe other h/ind, adequate eom~nNtion is n"usaf)' in order 10 enable the l.lW)'tr to StM his dient eff"ti""ly an~ 10 prtH~ the integrity and indepmdenu of the profu.ion, n.. L.wyn'. 00I'Idur:t should be such as to promote the client's trust 01 the lawyer II1d 01 the legal prokuion. This meam Ktil'lll as the Id\ociott lor the dient to lhe ment IlKUSUY to OJIl1I)Itle a ~ thortIuQIlIy, Only through ClIrelul attenlion to drtlil ilthe Iawyer.,1e to ~ a climt's case proptrly, An un~le limit.l.tion on the hours alawyt r may j.pend on I cliont Jhoukl be avoided as I threat to IhI: IlW)'tr'S Ibility to fulfill her obliQalion undtr Model Rule 1.1 to "proYide competmt ~ruent. lion to a diml" "Compdmt repramliltion rtqUim the legal knowltdg., ~II. \honlulhntsJ and l'lmllralion nee· Wl1Y for the reprumtation." MockJ Rule 1.1. ~rtain1}> tilher a ...illingnw on lhe part r:ilhe lawyer, or a demand by the eiitn\, to circulllKribt the lawyer's .fforts, to c0mprOmise the ~r's ability to be as thorough and as pnpared as neaswy, is not in the best interab of the client and rNY lead to . . .lion of Modd Rule l.l if it mtanII the ~r is IINbIt 10 ptII'o'iIIt CIlfllpNnt rq>f"Qtn\ation. Tho Comment to MOOtI Rule 1.2. while obHrvina: that "the JCOPt 01 StMets p!"O'Jided by a lawyer may bt limited by agreement." also notes Ihlot an agrttmtnt "COJI"nmina: Ihe SCOpt of rep ruenlation musl accord with the RuIa. •.ThUJ. the client lI\ly not be asktd to agree to rtpramwion so limited In scopus to violate Rule 1.1 .•:" On the other hand. the ~r who 11M aQntd to bill on the bl.sis 01 hours ~ <.loa not fulfill her tthicaJ duty if she bilb the client for more ti ..... than .he aetually ~t on the clitn!"s beh/ilf.' In addreSling the hypOlhdic.l.ls reQarding (I) Jimultane0u5 appearance on behalf 01 thrtt clienu, (b) the air· plane nlriht on behil( r:i one client while worIci,,!! on another dim!"s ..wttrs and (c) rtq'CJt.d work produd, it iI helpful to considtr U- qut:Stions. not from the ~rsptdiYt of what i c1imt couJd be Iorctd to pay, but mIltr from the ~rspectivt what Ihe biW)'tr lICtually timed. A l'~r who ~nds four hours 01 time on behalf oI thrn: dimu has not wntd ~Ive bill.,le hours. A taW)'tr who Hies for Jill hours for one clitnt. whllt worki ng for r."" hours on behalf of anoth(r. has nol timed eltvtn billable hours. A Lawyer who is able 10 mJSt old worIt product has not re,u,med tho hours p~ billotd and com~nut(d .... hen the work product wu r.rsl generated. Ibther thin Iookilli to profit from the Iortuity 01 roincidmW KhtdulinQ. the dnire to get work done rathtr than w,ltch, ~,or the luck ol bei,,!! w~ the identical QUtstion twice. the lawyer who has agretd to biU solely on the bl.sis of tilm spent iI obliged to p;w the benefits of \hut Konomies on to the dim\, The practice r:i billing HVfr~ clients for the WrIt Ii...., or work produd. sin« it rosults in Ihe tlminri of iU\ un~1e fft. thertfore is contrary to tho mandate of the Model Rules. Model Rule 1.5. MortOYtr, conlinllOUlltoil on or O'o'trstaffilli I pro;ect for tho piJrp<)H 01 churning out hours iI also not properly considered 'uming" one's fees. Ontjob ofa Lawyer is to upedite the It QaI tin t May 19!M
3.2. Just u i liW)'I'r I, Uj'lKItd to dis. ..wter on WIllIl\lIY judgment if poaslble mIltr INn proceed to trial. 10 too is lhe ~r txptC\~ to complete other proj.cu for a client efficiently. A ia><-yer should take IS much time u i. re~sonably required to complete a project, and should certainly rn:ver be motivatN by anything other than tho but inttrests 01 tho elient when dttermini'" how to.WI or how much lime to spend on any particulir prOject. It QOtS without NYin& that i ia><-yn who has undertaken to biU on an hourly basil is Ilt'/Ier justified in chIIrging a dient lor hours not actually apmdtd. J( i lawyer has agmd to charge tho ~litnt on this basil and it turns out th/It the laW)'tr iI particularly dficitnt in accomplishilli a given result, it nonetheless will not be penni.uible to chlorge the dient for mort hours than were actually flI)mCItd on tho mIItltr. When that buis lor billing tho clim! 11M been ""ted to, the economies assocuted with tho result must !nu'" to the btntfit r:i the dimt, not &ivt rise to In O!'\"IOTIunily to bill' clitnt p/wlt0lll hours. This is not to say tho! the ~r who iIIrttd to hourly oom~nsa.tion is not frn:. with full disclO$u .... to wggut additional com~nsa.tion because 011 pa.rtkubirly efficient or outstanding mult, or btc.aUSt the lawyer was able to mJSt prior won. product on the ditn!"s behalf. n.. polnt heft is IhlIt fft tnhanctmmt cannot be ~ishtd >imply by presenting the tlimt with i slittnltnt rtfItcting It'IOft b~· bOle hours thin wert act~ e>:ptndtd. On the other hlond. if I Il"Iittu turns out to be moft difficult to lCCOm!Ilish than first lI"uiclpat~ and moft hours art requi red than weft origiml1}> tJlimated. the lawyer is {ully (ntitled (though not required) to bill !hoM hours unless the dimt agreemenl turned the origiNI tstimlltt into I cap on the ftts to be chirgaI. process. Model Rule
charge
i
Ot'-",...... Prot.--'-I F... In Dlilion to dwtilli clients ftts for prOIts$iorW Strvicu, laW)'trs t}'Pially c~rQe their clitnts for ctrtain additional Items which aft ofttn referred to variously as disburvlmnts, out-of·pockel upensn or additional chirgtJ. InquiritJ 10 the Committ... demonstrate thlol the profusion has encounttred difflCUlbes in conIonnilli 10 the ethic.a.l in the ;m,as as wtll. The Rules provide 00 specif..: riUidinct on the ~ 01 how much , lawyer 1lIIY charge i climt for COlts incurred O'o'tr inc! Ibovt her own fee. I~r, wt belieYt lhat the 1U$OO. .,Itness standard nplicitly a.pplic.ablt to f...t under Rule l.5{a) should be applic.l.blt to these chirgel IS ~II. The COmmiU .... In hying to JOr! out Ihe iuutJ ... Iated to tMSf chargn, has identified thr ... diff.rtnl questions which must be ~mscd. First. which ittrns 1ft properly subject to additional charges? Second. to what mtnl. if It &U. may clients be charged lor It'IOft thin ~ out-of·pocket dilbul"Jm"Cnts? Third. on whit Iwis may clients be charged for the prI'lYision r:i In·houK HMcts? We Jhall address \hut one at I time. ~
..wwrds
A. Q .... nol Ow .... . . d When ~ clitnt has e"lPlltd i lawyer 10 prOYidt proltssional totrvictJ lor , lee (whether aIculat~ on the bI.sls 01 the numbtr of hours upmded. I nat fee. a conti".nt ~run~ 01 the amount ~ or otherwise) the dient would be justifiably disturbed if the lawyer tubmiu ed a bill 10 the eliont which included. beyond the professional fte. additional charges for litn· .....1office owrhta..t. In the absence 01 disclMlre to the dient in THE AU8AMA LAWYER
advance of the engagement to the oontraf)', the client should ~Iy expect that the lawyer's cost in maintaining a libl1lf)'. securing malpractice iruuTilIlct, renting of office space, purclwiog utilities and the like would be subsumed within the cllarges the lawyer is making for pro/eMional services. B. DI.bu..........I. At the beginning of the engagement tawyers typicatty tell their dients that they witt be charged for diMIunorments. When that term is used clients justifiably should expect that the Ia",>" r witt be p;wing on to the dient those actU/it payments of funds made by tht lawyer on the client's behalf. Thus, if the lawyer hires a court stenographer to transcribe a deposition, the dimt can reasonably expect to be billw as a disbunorment the ilffiOUnt the lawyer pa~ to the court rtporting service. Similarly, if th. lawyer Aies to La! Angel .. for the dient, the dient can reasonably expect to be bitted as a disbunorment the amount of the airf~, taxicabs, rnulsand hotd room. It is the view 01 the Committee that, in tht absenct of discl<r sure to the contrary, it would be improper if the lawyer assessed a surchar~ on these disbursements OWr and above the amount ilctU/illy incurred unleM the Ia\o.,>"r herself incurred additional expe~ be)Iood the actual cost of the disbursement ik m. In tht same regard. if a lawyer rea:ives a discounted rate from a third· party pTOl'ider. it would be improper if she did no! pass along the benefit of the disc.ount to her dient I1lther than charge the client the fulll1lte and ""''',.. the profit to herself. CI " nto quite prop-tTly could view these practices aun attempt to create additional undisc losed profit centen when the client had been told h. would be billed for disbursements.
C. 1n-H01I_ Prowl.lon of Servlc. . I'uhaps the TI'105I diffICUlt issue is the handling of charges to diento for the pl\J>'ision of in.hoo,ae ~. In this connection the Commit!.,., has in view charges for photocopying. computer research, on-.ite meah, dtlil>eries and other similar ite",". Like professional fees. it seems dear that lawyers may pass on reasonable c/IarlfeII for these services. Thus. in the view of the Committft, the ~r and the client may agree in . dvance that, for uample. photocopying will be charged at US per page, Or messenger services will be pTOl'ided at SS.OO per mile. I-Iowfver. the qut.Won arises what may be charl/ed to the client. in the absence of a specific agTeemtnl to the contrary. whtn the dient has .imply been told that costs for these items wilillt charged to the client. We conclude that under ~ circumstances the lawyer is obliged to charge the dient no mort than the direct cost associat· ed with the service ~'..... , the actual tOst of making a copy on the phoiOCOp}> machine} plus a reasonable allocation of owrhead expenses directly associated with the provision of the service (e.g.• the salaf)' of a photocopy "'-'C-hine operator). It is not appropriate for the Committee, in addreMing tthical standards, to opine on the variow aa.:ounting is.iluf$ .. to how one cakulates direct cost and what may or may not be included in allocated <>nrhead. These are questions which properly .hould Ilt ruerved (or our colleagues in the iICtoUnting profes· • ion. Rather. it is the re:;ponsibility 01. the Comrnitlff to explain the principles it draws from the mandate of Mod~1 Rule 1.5'. injunction that fees be reasonable. Any reasonable calculation of direct costs as well .. any reasonable allocation of rtlated OWr· TI-tE AlABAMA lAWYER
head should pass ethical muster. On the other hand, in the of an ilI!"""",,nt to the contraf)'. it i. impermissible for a lawyer to create an additional SOUTtt of profit for the law firm be)Iood tllat which i. contained in the provision of profes.ilional selViQll therruelve.:!. The lawyer's stock in trade is the sale of legal services. not photocopy paper, tuna fISh sandwiches, computer time or ITIeW':nger selVices. ~nct
Cono;:tu. lon A$ the fo~going demorutrat .... the .ubject of fees (or professional selVices and other charges is ont that is fraught with tension between the lawyer and the client. NonetheleM, if the prir.ciples outlined in this opinion art folloowed . the ethical resolution of t~ issues can be achieved. • Enclnot•• 1
A1Jol~"'*in'-"paI1. (a ) A Iawyw'. "'" IhaII t>* reaoonabIo. Tho
JOC\OB to t>* consid<t<ed
in dO"" '.'" oio'\l .... _o/. lee _tNi~; ( 1) Tho limo """ IaI>Oi" "'" .... ed . tI"Io ~ """ ditl;"."tty 0/ tNi ....-iona tNi 0I<iI ~ to peo1otm IrIe 10901
irrYoIved."""
-_II';
(2) lho _
tI"Io patticuIa'
-
. ~ appat...... 10 tNi elienl. thai tI"Io ~ 01 ~ .... Pleclucle _ ~ by
.... iawyeI;
(3) tNi lee CUStomalO/y c/"Iat~ In !he locality 100 _ .1_.
(.)tI"Io _
~
_tNi ,_ _ •
(5) tNi I...... lImtationa Imposed by .... cIion! '" by the
cn:..rn-
~.
(6 ) .... 1\Ot"", ."" IengIf1 01 .... proIeosiornII ,e\a100nship with ..... [I) tNi experience. ,epuIaIion . and - . . 0/ ..... lawyer '" lawyer' perfomWlg ..... _ ;-
(8) _
..... !ooe it fixe<! '" 00 ,,",,","-
(b) WIloon .... laW)'tl' has "'" ,-outarty 'eprftSM1ed UlfI CliMl. ItifI b•• is '" ,.'" 01 ..... 1... Shall !>Ii commooiC. tII(I to ..... cll6nt. prtle,. bty in w,ltIng . bfilor" or witl1in. ' ......... b'" limo .ft..
2_ OR
00 " '.""\1 ihe rep-";';". 2-100 ~~ hi _1acI<n1lOtflOl in _
<IoIemoio>o •_ _ _ _ .Il<.t <t:>M net
*"" . . .
hi _
1.510 0/ hi "'"
bft~" hi """" · pr..... obty in vding· .. _ 1.5 0>0<3 . EIfIo,<lnol Wi ScopfI 0/ I1"iis opinioro III tNi quMlO1 ...,.., ...... I 1oW)'tIr. witro lui disdoourfilO I oophiaticaled dirII cl ..... _ _ • can
Ig'''' to undena1<e II ..... ,.......... t 01 hi ellenl ""II' leo houro 01 ,_ .. eli • ........, ItifI 1a"Y'" .......... 11>11 .... 'ewtting _ k proOucl """" not IuIM tI"Io ocmpetOti! rep<fl6"llaticwl cl Model
,oqw_
_ 1.1. • RlJIII 1.5 oItIrty oootemplat... thai Iller. are basH 100 bik>g cIiontI _ Itoar> tNi 1ime e><Pl"ded. Tlio opIriort. _ . odI_ ... _ ra;_ III ....oemood that ..... cLont \0\1 !>Ii "" ..... t.rI. . cl time expended.
""*' •
"""'god
(R(}'94·()21
PLEASE NOTE! ALABAMA STATE BAR MEMBERS:
WherI6ver you are raq.J8Stad to furnish your state bar identification Il!.Wrber (pIeadi'ogs filed with ro..rrts, etc.). please refer to your Social SeaJrity ru:rb8r, as that is
...tIat.-.,:t keep on record ~ you.
May 1994 f 193
• M.E.M.O.R.I.A.L.S • plrtntr with
M. A. Marsal
the la--.- firm ri Seale, Mar· sal & Seale. ~ Il:> II"C' tim! ~'with Hury Stalt, AJ. Stale and his 500, Tony.
HEREAS. M. A. Mars:..1. a diltingui.~d mtmber of 11\;$ nonei.!;..,n, pused ....~ on NO\'tml:>tr4. 1993;.nd NOW, TIIERH'ORE. B ~: IT
W
RESOLVt: U THAT "Bubba", as he wa.. Mfoction.alely known, was born
in Mobile. Alab"ma whut lit attended publk Khools. Ht aUtnd· W un<krg~ ..... tt .mool at Spri"ll Hill College and the University of Alabama. Ite suwd in the Air Force in World War II and .,,;as StlltioMd in Guam. lit gr.d .....!td from the UniWl'1ity of Al.ab;mu Law School in 195(), ...·lvn tit t..gan tM practice of law with Harry ~I •. H. WH •
WIWS VL'iCE.~'T BELL
Montgomery
Bubba was
truly a "Iaw~r's I~r" in n.:ry HRSI: of the word. be,ng an able lind furtd trial liw}'e, representin g pl~intiffl in peTlon,1 injury civil &eUom' in which he w~ able to win I numlx. of large ve.dicts, ;u ~11 as defen· dants in criminalllClions. in "ilich he was able to ob~in ""quit~1s in numerous capital cUtS. He w;u • ..... mbe. of the Alabama State Ba.,
NOI!.IIA.~
W. " },IUIIS, JR.
_'W
Admitted: 1949 Died: December 28. 1993
Admitted: 1968 Died: March 16. 1994
Amnican Bar AUociation lnd Alabama TNI ~rs Association.
He was an avid sportsman whn .nj~d
hunting, fishing, boots and outdoor ~ctMtiH. Bubba Manil "'3$ I deYottd hus· bind md f.thH whoM II.»> is fflt kernly by ill wOO knew him. He is survived by his wife. Ann. one d~ughter. Beth McFarlane of MGbil •. and thrtt $Of\l;. LA. Marsal of Mobile. J.R. MUlal of Silver Springs. Maryland and WA Wingot Orlando, F1orid~. and nine grand · children.
~!I
D. RJc!w d Bound. Pru ldtnt MGbile Sal" Au oclation
ilusty Birmingham Admilled: 1971 Died: f ebruary 8, 1994
Vt RCL~!A c.u:v.1I'AY
c.u.ou.
SAlIUEl. E.w.I: Hoe55
MOIt.IS It SIIIOTt
Fairfax, VA Mmilled: 1954 Died: December 28, 1993
5<1= Admitted: 1948 Died:January 4, 1994
Birmingham Admitted: 1931 Died: february 19, 1994
CIWlW L£1115 Du~"S
JACK MOSTCO" EIIY
Da:cws 'A'tt.LWI Sroctr.ll~. III
Binningham Admilled: 1%4 Died: March 1, \994
Birminghom Admitted: 1967 Died: f ebruary 12, 1994
Binningham
KAu:rAII Nt:IIl:lJ.
Admitted: 1982 Died: Jan uary 20, 1994
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_.Iu
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1 94 / ~1994
Bo~
671, MontgQmery. Alabama 36](11
THE ALABAMA LAWVER
CLASSIFIED NOTICES RATES: Members: 2 free listings of 50 words or I&SS per bar member per ca lendar year EXCEPT lor 'pos~ion wanted" or 'position ollered'" listings - S35 pef insertion of 50 words or less, 5.50 per add~iooal word: Nonmembers, $35 per insertion of 50 words or less. 5.50 per additional word. Classified copy and pa)'lTl&lll must be recei~ed according 10 the followi ng publish ing schedule: ... reh '94 1.. _ - deadl ine January 31. 1994: Me, '94 i ..... - dead li ne March 31.1994: no dead line extensions win be made. Send c lassified copy and payment. payable to
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SERVICES PROFESSIONAL LEGAlINVESTlG ... • TOR: UoansOO and bonded. Spociali.· Ing in linancial and securilies rela ted ca ..... E'tM.iv" experience in wh~e coUar Investig.ations and case pt8!)iIra' tion lor trial. For conlidendal conaolta· tlons or copy c! C.V. and rolerenoas • contact W1man O . H1llgl ns al (205) 260·8892 or P.O. Box 21 1071 . Ment· gomery, Alabama 36121. • DOCUMENT EXAMINER: Examination 01 Ouestioned Documents. Carliried Foren$l~ Handwrit ing and Docume nl Examiner. Twenty·seven yea's .xperi. onat in .. Iorensic document problems. Former1y, Chl.1 Questioned Document Analyst. USA Crin"inallnvestigation LabOralO""'. Diplomate (cet1ffiedf-8,itisl1 FSS. Diploma l8 (cerllr ied)-AB FDE. Member; ASOOE; tAl; SAFDE; NACDl. Flesu"", and fee sdJedoI& upon fOqIJest Hans Ma~er Gldlon . 216 Merrymont Drive . Augusta. Georgia 30907. PhorIe (706) 660-4267. • LEG"'L RESE ... RCH : legal research help. Experienced atlerney. member 01 Alabama Slale Bar sm 1977. Aooos5 to state law libary. WESTLAW available. Prom pt deadline searches. Sarah Kathryn Farnell. I t 2 Moora Building. Montgomery. Alabama 36104. Phone (205) 277·7937. 1110 '9{I'esenlallon is made rhal the qualily 01 1M 4tga1 SM· \IIices 10 be per1orrrt«I is grtJIIlt!r /han the quality of I6gaI !UJrvices ".,rformed by other 19,.,....-s. , DOCU .. ENT EX ..... INER ; Certilled Forensic Documenl E..miner. Chial document ..aminer. Alabama Depart·
May 1994 / 195
ment or F""""';'; Sc:lInc:ft, reIinod. B.S., M.S. Grad uate. unl"-"'ty·based ,e&!· dent school In dOCl"Mnt • • aminat""'. PubIiIhed naIionIIIy and kltemelly. ~ _ years t;.! eo.peoilo_. IIIate/IederaI _ 01 AIabemlI. FOfOItY, a/tarations end docum.nt eutllentklly hemiN!' ~. cmtmI and ~ matter$. Ame,lean Academy 01 Fo,ensic Sci· ences Americen Boerd 01 Forensic DocUITMInt Examr.on. AmIrieIi1 Society 01 Ountloned Document E.. mine" . ~ Miler. 3325 Loma RoIod. 1!2-316. P.O. Box 3lI099II. Sit'oo.oogh..... _ . rna 3523&0099. ~ (205)~t58. • MEDICAL MALPRACTICE CONSUL· TANT: Donak! J . Neeee, M.D. ~ heillive case ana/y&ll 01 medical mal· ~, petWnIIl Inju,.,. and workers' f o. ..... _ , .. ,sin<iloo::oo<e.y . M&dic.l hpen witnesses ptOvidedfp<epa,ed. Dlmage/expense ..votysia. Modal! IegII _ Mode·
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FORENSIC DOC UMENT EXAM INA·
TJOH : Hao"""Mog, ~",itioog, a/tefed ~ts. Criminll and eM! mauers . M,dic al "CO,dl, will., contracts. deeds. che ck •. anonymous lel1er •.
Court qualified. Thirty yeers c:omtIIned e><P8"ieo>ee. ABFDE certiI1ed. Memben.
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ence. American Sodety 01 Oueslionecl Documenl E..mln .... 'nlemallon.' AtsociItion lor Id''''litlc.lioI. came,. & NNon Forensic o.x:.-nt LaboraIory. sass Jimmy CliI.. Boul'lferd. No< · (;n)II (AIIame). ~ 30011 . Phone (01}.16-7690. • AUDIO TAPE EXPERT: Enhan<:ement, authenlicalioro. anaIyiIl and ...... st~· lion Q/ IIUdio and IIPf"reIa'-l man.... T~ \"981"1 poc' ''onII1IUdio e>petI1iI"Ii». . . . . . GriIIin. Foo• • Tape s.. SIB E. ~ Strwt. ""0. Jed<. ton, Misslssippl39201 . Phone 1·800TAPE·SERV. Fa. (601)353·7217 .
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the form below ONLY i( tho ... art chan,gts to)'OUr listi .... in the tuTm1\ Alalloma Bar Di~<XII. Out 10 clwl,ga in tho .......,;l1li ~ltction 01 hi. conunissio!w,... '"' . - ;m rtqUirtd to _ mtmbtl1' o/foce ado:I..- unlesl nont is ~ or a mtmbtr is prohibited from I'KffliIlll_e bit mail at tho o/Iioce. Addilionally. tho ~ Bar [)irftcIotII is C<lI"Rj)iIord from OUr mail"" list >nil it is irTcIorUnt to ..... ~ addn:ssa 10. that IUIOIL NOTE: If ... do not know 01 ... add"", d>anif. we annot rrW<e the I'ofCHSU)' clwlla on our rrconb. 10 plUM: notify us whm Y'lU' odd"", cha01ges. Mall (ann t ", Cbri.U. Tlnntlno, P.O. Box 61 1, Mentl<>fMrY, At 3 6101. .wut~
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L _______________ ______________ __________ _____ ___ J 196 / MJ.y 1994
THE ALABAMA LAWYER
It's real simple. I knew online legal research was more currenl and more contJel1ienl , bUl as a s%, I didn't think I could afford it.
Bruce Stem, Solo Practitioner, for LEXIS' MVP.
I was wrong.
MVP only costs me $130 a month. Flal fee. No strings. And for [hal l get unlimited online access /0 SUIte law! And there's no downside.
Because !here's no minimum subscriprion period. and no cancellation fee. MVP's just what they say it is ... Ihe Most Valuoble Port of LE'XlS" fen- smdllaw }inns.
Case Closed.
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