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July 2005

a ama Law er Vol. &6, No. 5

ON THE COVER Anile Gold(h ... ait~, American. 1S69· 1!J.U CO ~ rlh()u$t • Oil on un..... . 18 ~ 22 jnchn Montgomery Mw;wm of Fine Arts.. M~ntgome.y. Gin or Miss Lucille Goldthwaite, 19J6. Anne Goldlh",.ite i. on. of AI.bama·, IIIO>t ",!>OWned paint.,..,.nd gmpbic

wi'!S. C"""Iomts. i, typic.l of her painting Slylo. whi.h was influenced by her study of an in F",,,,,,, bclw~n 1906 al><l 1913. Montgomery', old rounboo", at the romer of Washingl"" and Law,"""" stn:e1, was bu ill bcIW~" 1852·1853: il was <krnoli,hcd in 1958 to make way fOla ne ... county COllMboo", .

278 .u.MAMA srAT!! BAIl. HUDQUUTEIS STAFF ooJ Dol .. M ...... ~OIIItIJ.AL )6104 (»4) 16J.UU, (IIOO) ~I~' FAX (U<) ~l""'C ~....., ;, ; I!' '.~.-.«J'w.b"" ___.«J

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Hundreds of Posters and Essays ffiustrate American Jury System in Law Day Contests

268

Fair Pay Exemptions for You and Your Client Dy Susan E. McPh.rson . nd ~blthow D. Fridy

278

TheSubdeSnake Long-Term Disability Insurance Under ERISA By D.vid P. Marl in

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The Alabama Class Action: Does It Exist Any Longerl And Does It Matterl By Gr<g<>ry C. Cook

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President's Pag~

252

No GfTfIur Gift

276

Young Lawyers' Section l1ulIIk You and Goodnighl

E1KUtive Director',

258

''POrt Cmnllllltn'fi'olnbar.wg

260

Important Notices Ilmppmlllmall ofTamam

0. Mirthdl, /Jallltroprry Jut/gI-. No","", Oistrid of Alaba"lll

298

About Members, Among Firms

Legislative Wrap-Up

302

2005 Rtgular Session

306

Opinions of the General Counsel

Po1irioll A mi/abk· MCJ.£

CmfidcrtialisyCan You K«p a ~I?

[)irmor

262

Memorials

310

Disciplinary Notices

266

Bar Briefs

312

OQssj6eds

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Midl.leI E. Rici:Ie •Vice Presiden~ Atea MtI1ar}!f/(CU'ISe! • rrrick:Ie@I;nja.am FosterGoo:xtM-l · ~ R~ . ~.COOl

CL:wk W. QWl . SerWx l.Jrw:IerMitef •ccain@I..niarn.am Ret:eaa E. M¥Ia5co •tq!rq ~tatM2 • roook@Wdam.COO1

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No Greater Gift D

urins Iht !WI yt"u, I how ~ dod th"""""",. 1M •..,~ .nd " - mjor«! 1M prmq. of

lp<'.ak'n, with 10 m"1l)' dedicated. e".. · grtio; .nd .. ~ rncmbtrs o(,IK Jt&.lI pr<)-

ftssion ..... I ~."" the offlU of prn;dtnl, Itokt this opponunity to .h..... (ow <>b~tionl.nd thought$. I hoI'" that Ih ... oom,nrnlJ wm <haUt"ge many 10 'hink about our roI< as lawrors. not only to , ... proftssion. bu' .100 ". our ...1< • nd "'lion. If you p.oint • porInil 01 Amttiao', ... tiona! cn.ncl<1". Iht Rule of Law ......Jd bt. domuWIt imag<. A J<I"'O'1I' mml ruled by Law and ..... by men was to be tho Jind!p,n 0( OUr philooophy of p.... n""'nt. Tbt Foundtr$ wn. otudcnu of

history. and \1Ity kntw WI 1ft>! civiliza_ tions and """.nmenu had come and SO"" 'I1I<y wtr. <oO(o",.d bK:au.., .. John Adam. put i•. "'".'" now. was. democracy ycIlh.t did not commit.ui· cldt,·' Th<"y r•• li,.ed ,h.t .IO<k1ia basod on Ih< ruk of ""''' f.iltd .nd thaI 'hose NoN on the ruk alia.. p ....ptm!. 1M ph.lK "Rult of Law" probably KmIS commonplau 10 most of us. w. .nd ,"ink of d~ pro<-. ~u.al

hot., ;\

prot«tion. t'undmwnlal,.;p.t< o.-~ . of powns. bul how did !his ph....

I>On

"""'" 10 pby web an inlCp'al J>ln in 1M w....... ItpI md;\;",,11,;, ..ilI.pplica10 • I'tIO<krn dnno€r.tic npubli<

'*'

...m "'QUilt Eminrnl h,.lod.n P.uI Johnson Il0l.. IhallM ronctpl oflhe Ruk of Low hod ill 1001, in "Iht hilto.i, blond of two nl ... blc bul iml'<'("" and di,'inC\ 252

JULY IOD'

morlll\tpl ~IM G_1toman

ond 1M Judoo-OIn.t1an-..... ich

tos<thtt

.... much mo ... It...n 1M .um of lMir He p i on to "'Y that ....:ryottt won" mo",1 ~ and jU$liu, but"tm. , hid pmbltm Ih., faus a civili>.>.I"'n .. ho... to l",n.I.,. moralilY and junk< inlo • work>ble Iy"'"' of I....,'" It _"" 10 mt Ih.1 hislory pr'OW$lhat a gowmm.nl hued on 1m. RuJ. of Low provides 1M

""riO.'"

bos,.n ....... 1\ ""';0. victory for 1M Ruk of La ... carne in • mt"iIOOw caUto.ronl. ..... ich I..d 10 1M .....ins of 1M 101..... c.ta. n.. fr«.. dam, il containrd ....... important IlOl only for tho bal"OfU, bul for 1m. popular !OUSts OS ....n, n.. bui. of Ihis key docum,nl in 1'3"1 .nd political hi'lory wOS 1m. concepl lh", bolh ,h. king .nd hi. .ubject. wer. undtr Rule ofLow. Th. Magna Carta dt-ail with, among otbtr '-ts. rdi~ frttdom. the righl 10 trial by jury of 0 ...... oquah..nd. prohibition "';Nt t.anl;"" without "'P"" _ .... ,.".....tbtmos thaI would b. rrpta...t 500 l""" LoIn in ........,.;ca•• sttug:k b ;'ock ... nd,,,,a. Y... Iht 0Irugp. fOr M0dem from ,m. "divino rishl ofkings" and. .,tima. 'yn.nny did not rnd in tho 1)6 W >1Ury. Tho bWn« of ~ btn.=n tho ,row ... Iht "".limlrnl and the Jl'f'OPIt <bbt<I . nd I10wrd KIOIIS lho .... tun.... At • Ii"", whm il was 001 popular fOr .nyo.... to t.lk .oou. anyo.... or anything being "king" OIM than 1M Icing himsdf,

,h.

Somud Rulh<rl"ord wroto a book .mitled La, Ru--Th< LorwIUld 1M Ptinu. 11 ~ wri110n in 1644. whm i<ka<I .bom chiil govcmm01l1 we~ in ll'i1rnilion. Tho cono;ep< that "Low is king'pol'ed the ""Y for the ~ tn.t man had <:<:rIain righu and ~brn~ which 0)U\d not he abU$<d by any o,h .. au,hori'Y. including a s.ovtrrign lind of. or any fOrm of Il"""ntnem. The idea th",~ were unain ,ransecnunivtr'$Ol LoW$ which pm:rdrd "",n · mad< ",W$ ga .... birth '0 tht furth .. con· o;ep< lhal100.. 1aW$ ohouJd he lhe baoi. of govrmm<nl for a ""t;on ond tlut for any hum. n",w 10 he valid il must hecorui<· lenl with those l/'OIlKrndenl LoW$ Of truth$. Hcnct. tho maxim; a gov<rnm<nt of ",W$ and not of m<n. Or tha' all m<n "'" und<r lltt Rule of Law. Such a wnup' "'O. ri.ky in Rutherford', tim<:. but by ."" , im<: our Founding Fa'hrn ...... '" <omide,ing Am..ico·, <!t'rrior.'ing .. l•• ion,hip wi,h lh. Brilish Crown, lhe con«fl' had 000 """d inl0' poli'kallh«>ry lhal jWlified lhe "po,",;"o with Bri,.in. Thoma, Jdrerson wrol< in lh. Deda rolion of Indq>et>d""", that lh ... we .. urla;n " Laws of Ndtu", and of N.,ur.·, Cod"' lh., d.manded thot king< ad in c.".in .... ys loward lheir ,ubj«,..1I. violation of lhose uni ....""l principl.. wa< said to equal tyranny, . nd lho D<:claration of Indop<ndonu wenl on 10 d.,.il I long list of th= .iol ..;on, by King G«>rge III lh., jU$lifJ<d lh. coloni .. in d«laring lh.m .. l loU I fr.., and indtptndenl n'lion. Th, D<:cLor .. ion cap,ured lh ... l_gaJ and govnnmen,al ide.. in the followi ng

"",ion dm,.

language:

·w.

hold lh ... tru,h"0 be .. If-ovi· dtnt. th.t all ""'n ... created equal. tn.t th.,. art .ndowtd by their Creator with ""na;n unalienabl, Rights, lhl1 omong tit ...... Lif•. Liberty and tho pUt$uit of Happ;...,... -'Th>110<CCU.. , h .... figh ... Cowrnm<nt •• ", in"i,uted .mong M.n, d.ming their just pow.... from tM co n· .. nl of tho gOV<1'n.d ,·>

Th~ . ;gn ... felt strongly aboullhi. philO$Ophy of go""mm.nt. whkh had .. it< fundamon tal p.. m;'" that th ... a .. "if·ovid.nltrYlh. upon which th~ nation w• • 10 be ....bli.hcd. On. of ,h..... If·ovidenl'rulh. i.,hat.lI peopl. are <re"cd equal .nd lhat lh.,. a .. endowed by their Creator with comin unolitnobi. rights. Th.... fo ....11 ptnpl. h .... righ,. and dignity Ih.! no Ont con take .way_ In the I'ound.t$· tyt<.this 'ru,h W>$ $0 clear lhat il n~ed no proof. It was not a "".menl of religion bUlan expression of lh. philo"'phy of gov<"mment of the Un;,ed St"'" I\.nd. if you lhinl: about il. =rr n'lion has a philosophy of go ....rnm.nt lh., diet., .. the oourC< of individual right<- th. conc<pt <If equ.o!ity .nd due process prol«tions. thaI philosophy oith .. pr.. uppo><> lransund.nl trUllt> or i, does nol. !f !ranscendenllrullt> I ,. d... "",d to .~ist. th.n there mwt al", be a oourC< of thn« trulhs. Our I'ound.t$ Ofticulated 1M oou,.... tbe "Law. of Nature .nd of Na,u",', God." This docs 001 ""All that the 8""_

<mmC'tIl

m";!...oor:.. I pat.

ticular belief about God

or parti<ubr reli· gious d uties

to God It simply mtarI.1lhat ""'Y btm of govrmm<nt in """" way or anothtr must

d<a! with the ~ of God whm deciding its undttfying phiIorophy of go-.=unent.1I. ",,!ion', ~I i< <i1h<r based upor! ~ .. d<ci<kd only by Iho$c in power (dif. fermI philosophi<s of dirutonhip) •.,,- by tht ""ill oftht people" (dlIJemJt p/tilosopItit:I of dtmo<ncy), 01' by laws as d<ci<kd by rep ... sentativts wid<r oath t<l uphold tht RuIo of Llw within tht rontat offundarntnt.! and tnulSCl'lldenllruths (rtpr=tttati"" ~}.

Our Foundns did"", choos< ,h. ,,,rem, of a lheO<nq'. as ...... "'" in Iran today. wh .... the diet.t .. of ,h_ ')"IIOI1.h purport to be directi,," from Cod. Nor did the I'oundns c~. godless fonn of go .... mmOn1, .uch as commum.m. wh.,. t ron$<en<!tnt mO"ltrUlh. would be unwdc<lmed.

President's Page A.oknowl<dging the role of God in the philosophy of government. our founders :adopted '" P"rt "fth';, philooophy. juri$diction.tl "'P .... 'ion bctWffn church (tilt dutic:! OM 0 ...... to God) and Slate (the duties OM owes to government .nd _icty). But the "'P.,..bon was int.ndod !O nunn'" and proltCt the right of Ntry PC""" to Ihink of God Ind 'piritu.1 m.t·

tm as hi> individual ""n.<i, ,,,. d;n. .... The idta was 10 prol«l religious fr~m by employing I biI.n", OOWCC1\ rtligion ond gowmm<"t, Sinc=1y hdd bdids of 011 kinds we", to enjoy. wid. btrth without government di>w,b."",. However, it is dta, ,h.. thi> was not intmd«lto neat< • cull",", in which rtlip,ion and the roncept of God

...... ClCti ngui>hed.

The Corutituti(lo. adopt..! 12 Y"' r$ .ft.. th. ()cd .... ion of Independence, provided ,h. by-I ..... for the new govtmm<nlto func'ion. It did nol ch.ng< the

O"'linuM frrm, fHllV 15J

phiJosophy of go""",mo,,' articulatN by our Founde .. in the Ded.... tion. 11

emOOdi<d ,h. ,on<<pt ,h., thi> would k • govtrmntnt of I...... and not of men. OurCon"i,u'ion. in wh., h.. b«omf known .. ,h. SUpr<m&ty C1a~ . "a,es: -n.i, Con.,i,ution. 000 ,he Law> ofth. Unittd Stat.. whi<h <lull bt ""cit in ru"WtlCt 'hC1'tOf, aoo all T",., its made. or which <11.11 be rm<k. under lhe Authority of thr Unittd St.o.tr<, £hoU be lht ,up"'m< Law of the Land, and the ludges in =ry SUI. <I1a11 be bouoo thaeby. any Thing in th. Con"itution 0' Llws of .~ SU1e to the Contrary notwitlulanding. Th. dr.ft.... $aW 'hfOugh history gowntm<n' rultd by thr will of whotnrl'tt was in power. ra,her ,han con .. raincd by Jaw. "",,uld lead to disaster. ' 00' .. rong con$litution and adherrna to th. Rule of Low wert the only ways to seeu", a .. ff. tranquil '00 prmperous socioty.

,ha, •

All of this com.. down to this very impon.m prindpk: To ha"" <ivil ordtr. both lht gowntmrn' and lht ptOple must rtSJ'M the Rule of Law. Man does not rule; lht Jaw rules. Man is to conform his oaions to the I,w b..cd upon fUoo.m.ntai and trallS«'nd<nt truth$: tho r.w is not to ,diM = t culturalt"",d< 1h.1, undmninr lht fUnd.mmtal,rulh. of the founding philos· ophy of govw..mrnL E.... I)'>"" is wb;":' to lht Rule of Low-----the Prnid<nt. the Congress.judges and "jti~"", 11>< ullimate tr~ility and proc«tion of society n:;I, on lht proper odminima1ion of the Rule of Law br<a .... it> cOn$lrainl$ prcvtnl ony one ptt>On or group from advancing his or her own pcl'>O",,1 agenda con" ,'ry to law_ Ifin the Unita! Sta ... the nt.Ijority could make .ny Law il "",n,a!. thrn _ "",,uk! OOt bt govctncd by th. Rule of Law. a nd no houndary would exist to ,he 1010$ 'hOI could be <kviscd. A Rule of Law not b.s.rd on ab.lOlulr. universal principl .. is no Ruleof Low .. all.oo will ulli"""ely lead to tyranny_ Ou, foref.th ..... ,.;..:ted Ihis philo.lOphy of governmen, in fa"" of one 1hat 1hq- correctly pralkttd would be tho only way 10 an orderly £Ocie1y. I am mindful thot thrre i•• diffemll view of the Rule of Law whi<h hokls 'ha' thesr fundamrn,allrulhs change .. socie· Iy and CulIP'" progt=. Th... prog ..... ive trulh, .'" .. id to compo><' • "new mor:al o,de,· wbich pfOmote1 "autonorny for the individual. eq,wi,y a"d social just;':",-' Thi' new moral order seems incon,iotrnt with the con«pf of self·nidrnt truth «poused by the Founder>. and '~PPO rla! in "ulnerous hislOricalaccounts. "In .il~ case, i, is $aid thaI thr morn dimrn · .ion is mdangncd: 'Tho rule ofl.w is in danger of being mangla! beau .. 'he ",or:al b... io being >iolendy al1a<k£d:"' Can . nalion rst.blish • dilfert"nt philosophy of gover"mrn1than thaI upon which i, was foundtdt Of <:ourS< il <an. bul thaI choir< must bt • ddibtr:ue .nd cakuI.,td one thai 'he p<OpIo choose through a pre· dotennined with • Constitutional ..... ndmrnl. I think history will prove Ihal govern"'fnts found«l on • philosophy e",bradng,ransccndent truth wiU .uc«<d

P""""""

254

IUlY lOO.

-Ions .. lhoy mnain in ,'''' pouh iUumi· 0;01«1 by thallrulh. ' Wal<nl ItpI Ind;. lion II.as &IW>j'$ botn dtpmdoll ... on belief in It.. aimna: oil bcdy oi La ... bqoond It.. bw oflh. highesl poIilico] .ulhorily. Ona: colt«! di.i". bw. th"" nAt · ural !>w. Ind rtctnlly hUnlln righl"" J...,ict Anthony Ktn~y ~~y said. "Am<ricins find lhrir idtmi:r in ,'''' Uni,«I SUl<S Cotut'1ulion." Indttd. Ammca', idenlity is buod on. 51""", Ctlmti.",i(Jn, bu. that CtlmtilU!ion m .... bC' mart.<d by ">bility and conoiSItncy. HononbIo ~ Tbomasc.r.m." in his

h.......... '0 br jusllnd d«i ... bk.-" Of to

""'eI'

Prrhaps lht ,r.gedy of !his takt_,ht· Law· in.)'OU r·own· h. <><Is approach is ,h.. i' "f«m l to confound,

confu .. and poll.," many individu.u Ind sroups ton«m;ns t.ow 10 Dppos<' La ... brI~ '0 bI' url«>tU'i'u'iorW."" TItil .. II for LawltWl"" to ochit,.. _~I.nd poli'ical,ndl Ind!he f.Uu ..

-n.. .... of '-- Endo.,........t <01 Homdl'hrrMmod Abr....r ugurs thaI tunmea', RuitoiLaw is undtr lltacIt from many IIJIgIn. such "' ""..plain..:! ruling> by .pl'tlLII~ courts. inlnprd •• 1on by fcdtroJ '¥tIC;" I<> apmd thrir pown and IUlhorily, jury nullification and decl. ,.Iions by ,>teu' i"" offICio.!! ,hal logi.lo-

!mIlist

Ii"" acts .'" unconl,ilu,ionai. " Neilher

,i"... nor ""'" permit I discussion of tach am. but OS to dtdomions oi public offictn, c.r.m. points OUt ,hat perlupf th< mos' vivid cxamplt .mu in th< ........ $a" _

.......,

local a«u,~ offidoIs

pmdlimt I'rovidt ~ pmI«tion oi La ....·" Ii< obttrw$. "[AI Oft}' imponul! isw< is l'm<1lttd .. \(I whtthtr ol'fici.>b wi'hin ,"" a«u,~

of.,.."

branch and loc&I..,..,rnmtnl JI>;lY ..,u"... • judicio! fOIc by proclaiming uo;ombiguOUI It ... IIO'ules '0 bt trump..:! by Ihtit dtcLar.1ions that Iuch Laws Irt unconll;lulionill"" Whtlhcr or not Ont bd~ tcx·marr,." is. pro1«1«1 <OIUIitulionAl activily is not th< ....... The iswt hcrt is that in • notion ~ by lows and not oi mtn, thtrt is I pmpn vny 10 11.....,.10 chanp: .... Iow_

w' ........

"This now! rhtno_n, which paplc:x.es mo"li" •• nd ""........... is ,hat 10"" (Iwti oi OIhtrwisor rnptet.obk ptrl>OIU now hold th< belit! Ind ocl on ,"" conviclion i, is no, only I!Jowabl., bu, .... n hiihlr pr.i~rlhy.,o b",.k tht Law of ,ilt land if''''' l.;twbrtak<r ;1 punuing Km'It .nd which 10 him

Tile mos~ diffiClJ~ pmblcms lUJLure nlOS~

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RultoO..... The dom.gc do,.., '0 our l<pI .yo!<m ,"ould not be und'resti""'tN. No m"n"

qu.lities,.r< di .. p~.. in8 n<>I only from th. minds of la ... l•• chm and l. w 11ucknu but .1s<> from Ih. «In",io"." ... of tho VUI majority of cilium. 1M pMplt as • whoIt; and mort than lhal. tMr art dioappeari"l from tM Low ~f. Thr WW ibdf is b«omi", """'" fravnmt<d. """'" suh;cctivr. seaml _ 10 apedioncy and less K> 1I>0...llty. ron«'r1lood .non wilh irnmrdial< con~nces and less wilh consi'tency or continuity. The

'N$lou of thco Ruir of Law! Our ooth .. AI.bam. Lo...,...... prnvidts,.",... dirtC. ion . It rr-quirn that we dC1nt.n ou .....1va .. Iowytn; ,hat .... oct with ct"rUin char.oaer; ,hat..., arc f.oithful in ow ..mc.c, 1(1 clienu and 1M court; ..... _ "'&'II'" in no ~

hist<>riul ..,11 <>( tM W~t'm logaI, ... di_

rr-quim th;o • ..., art with til< co", vii .... of lruth. intCWity Il!Id S<1"V~. AJ bwyc-rs. I an thinkofno great .. &iii _an &i~ ourJthon. ow client$. thr oouru and !be public thad ;an ;,."pteeabIe a:&It1p1t of hip tnOt"aI ¥in ... and dIatactn. Out raponsi. bility to uphold tho law and !be CoNti · tu.;"" with on ......ndi"ll o:eaI kif .ruth .nd jusr~ rtquiIn ........ DOl allow no'<eltyand innovation to ~ tradition .nd truth. It is myv~thal .... how tho

wheth,. i1 Is =uti.... officia" Klin, unilat.roUy ouuKk 1M Low Of wh<1h ....

tion is ~nl! w;l!h«l ...... y In the lwenli· C1h C<11tuty•• nd th. tradi.ion iUo<lf is

COUll Kling complelcly outside Ih. con-

suo;n\.! of ",,;abJW>od Low, !Ix mpKI lOr

.hratmcd wi.h coIbpso.·to E~u sin« 1,.5. wh",.,,- words

Law.nd Iht concq>t of tht R.... of law

.rt m>dcd. H......n:I Law profftsor Hamid I\c1"rm" iUmmcd it up:

"The traditi.on.ol Wes1<Tn beliefs ,n the Iln>(1"roI inltt,rily of uw. it> ongoing. " ..... ill religiou. roots, il.,,,,noundenl

•

BIRMINGHAM

•

...nlln>. $<'<"ft1 10 indica.. that Bnman indftd had. prophet', tyt. How can ..., brst 0I0p!be tn>Sion of this

rid> ,.,~ of Amc1ica', 1epl .radition and Rult of ~ How can we bnt fuUiIl OUr crucial roIt .. its prol<Ctors. 8~nlians .nd

MONTGOMERY

•

MOBILE

•

hood. pod Of

rnolioo; and thot ... uphold

t~ COIUIitu.ions of ALabama

and ,hco Unite-d Stltts. °10 help me God.~ If. dtar OUl ooth ... ttorn<yo rr-qutra .lu..... vin; ow proksoion ... aIling. which

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moral, by tilt yanh'id! of truth ... declared inAmmca', fout>ding docu· ",..,ts. If _lose . igh, of ,lit historicol . nd moral obIiga';"ns of the Rule of Law, "art vuine",blt the <ks'ruction of our freedom, our oq .... li'y WOrt ,lit law and Our $tlf. ~ptd"" The publ;'; is losing confidonct in Our kg.oI Iyst<m. and ,,~, ... 1.W)'ttS and judge<. h... an impor1ant mI, 10 play in ~'oring ,hal confi<knct. As b.....od,'ion, our mi .. ion ..... me n' r«ogni ........ pon.ibili'y "increa .. ,he publ;'; und'''lOnding and respea for Jaw."" This does no' mean ,h" ... a m.nd .. ory bar ,he Alah.m. Sial< Bar should w.de in'o contrQvcr$i.l, socio· Icy.1 iss= li~ some of Ihos< mtn,ioned in Ihis article, bUllhe bar does have an important role in promoling ",spea for law and ed ucating ,he citi..,n, of AJ.oom. as to the me'ning, Op<r" ion, history and foundation of America', greatest gi~, ilS Rule of law.

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I tum now to some final comments. I was honort-d and humbled '0 be $dected lo..-rvt as b.>.r president. [ It. .. the bar in the <minemly qualified hands of Bobby ~ I hop< in at !c.ut ... good a condition .u when I commtnced my term. If Bobby finds il so, il will be becaust of lilt ou1>,.nding Ita<lership of our otu. bar SIafI" and tb. <'X(eU<n1 wisdom a nd diocretion of the Euaitivc Council. COn· "'''ing of V-.ce President Anth.ony looep/I. Sam Croeby, Tom Motbvin and Ger-ald PaWk. whost ,,-..«hful q"'$ kpt In< from "",ying off tilt charted COu ..... all lOr whom 1 .m <kepIy r,r>,efuI. 1 also <:xI.oo • .p«ial note of thanks 10 Bill Clark. whos< cx«Utnt work a$ """ president m.do my job much e.. ier. And, la"ly, thank you 10, "lowing me Ihis &mil honor. •

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Executive Director's

Casemaker@alabar.org he wait is firWly 0\.." fOr C-maka', th<AIaham.a su. ... Bai. onIi ... kgal ...... rch bbrary. Sine< th< Board of Bor Commi..ioll<'r'.

drci.<ion to join tht ~ Con><>rlium was anJlOUnud last Augu$I. the .... it for m;tI\y bar m<1l1bm !w Sttmt<ll om "'rc, moch long.nhan ni ... months. Aft ... the C..... anno~ men' Wt August, I routi",,;, /'ta'hied inquirit$ from 1""1'= its rollout d>.~ and wheth<r =rything was "ill on track. Sinct Ca;nnakrr)" roUoUt stYeT.d wed<s age.. J ""'" th.at tn06I AJ..hama lawyers ...."" had • """"" to Ill< this Lot"" fr«..me. in It.. rut. bar', ~EIcaronic Suit. of &rrias" avai!.blt to b;tr memben. Alal>ama is 'helht 0'0.'< to;oin the u..mak.r" conson;um, and more will he joining 'he ronsonium ""rr ooon.

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Y"u can a«tU oth...tates' CaStmak.,.. Web librarin when logging in from "ww.•lob..,.org, Other consortium £Ia1..

now include: Colorado. Conneclicut, ~rV" Idaho,lndi.n . , Maine, M .....hu ...m. Michigan. MiMi<$ippi.

Nebraska. New Hampshirc, North Carolina, Ohio, Or<g<>n, Rhod. Island. South c..rolin~ Texas. Utah, Vermont, . nd W.,hington. When oth" join th. consonium. Ihti. libnri.. ar. 'ulo· m"icaUy .d<kd 10 our aisling mat.... i.oJ. Our online library will continuo to .. pond as ,,~ indudo praclico· .. I.tod arlid<'$ from Th. "laboma La..,..... m.go· tint" .nd other 1<'g.1 publications.

""<$

258

IULY ZOO !

Tho Ca~m.ker' ~.rch .ngi .... is pow· .. tul. It a!low> you to formubt. a .... rch "'ing n>!orallonguagc Or Bookan ... ",h logic. Natural I.ngu.gc . !low> you to type in a word or ~nten« and Ihe .... rch engi"" will .. cogni.. imporl.nt words and phtaSO$. For BooI •• n .... rch ... ent .. keyword. and conneclors. Thort is nen an "adv.n«d· ~.",h formallo.t allow. rou 10 tnl .. r d.,. into r..ld •. Simply plug in key infonnotion .\>oul • C2.\C, "itt • .sy!· lobu •. dal< .• ttornry. "<>0". and mor •. Aooth.r imprut.1n1 ftolurt of u..m.k<r' i. tull·mll .... rching. Wilh fuU. ,"" .... "'hing, you no longer ha .... to ,dy <>n .nno1>I1o"" t<> ~nd <>ut whi<h cases art cilod. For ..... mplt. whrn roo .nt.r • cod. <itt <>n .I>a>ic sea",h ... ....." and hi' • ...arch: yoo w~J ~~ the tun 1..1 <>f all Cast> thot disc .... "",-I CQdo SK· tion in qu .. ti<>n. This leu you d«idt wbio:h Cast> art rel.vant wilhoU! relying om tht summary of">"""",, who may n<>I be • I.wyer or """ • 13w'ludor". \\'e n..... h~rd m.ny positive rommmts from AUb.uno lawyers who It".. u...J u..m.""r' in the sh<>" tim< that it has bttn avail.bIt. J om ronfKlrnt th. 1 a. more bwy...-s ..... Casem.ktr". they. too. will dis.:ov.r how indi.pen.. blt this online r<:SOun;e will be 10 tltoir practice. We wiU $0<)0 be adding other <>nlin< took that will ben<~tl", members. Stay tun«! for futurt announctm.nl$ . bout 1I<W ..",kn ..... iLlblt in tht $1.1< b.u', growing · F.ltclroni< Suil< of SefVicn. • •

What is Casemake"'? c-m.m- i>. Wtb·t-cd kpl f<><.",h l ibmy and ",,,"h ""@in. ""-I "10.>"" you 10 ... «h .nd b"'........ri<lyof I<gaI infor_ m.. ion •• ...,h •• cod.c-o.. rules ond "'" I;w, OVtr the lnkm<1. " ;, ,n ...ily ... "h ...... ronlin.aUy updal<"ll dotaba>< of""" I..... ""ula ond ''I!ul''ion~

When will Casemake" be available in Alabama? Cos<n,akef ,OC«UfuII, Ioun<h<d Iun< 17th.lll()';. It', now ... il· • bk '0.11 m<ml:>m of.he o\loba".. SLot, B.>r.

What will the Casemake" library contain?

.r<

rro. ...

"It .. . . . . .

Where on the Internet will I find Casemake"'? >=SO ~

Th<n you n.-.d 10 provide uo with on. on "",'i"1' You may do 10 by regul" moil to ,be AI..,.mo St'" 1\0, ., P.o. II<t< 671. Mon'gomtry,ALJ6101-0671. by fu 10 (H4) l61~IO. OJ byomd. ing.n ... mail 10 m>ffioJabm.Q'J- You may 00.;".,.1< your ,·mail .. -wtpublish<d; whkh indicol., you do "'" won' il plo<<<l in the Onlin' 8u Dirttlory. PublOsh«! .-moil odd, ..... mol' b< occ......t by oth<r Ala",,,,, Stot, I\.,- mnn ....... nd tho 5<"<', 1 public. ,/row do> "'" ",11 '" witlll""u, <·"",il oM,.". W, ampt i, ,hot ""1.

What if I don' t know my bar number? Look on >"'" bar cud. II' righ. under)'OO, "",In< and ...... with "ASII." If you ",n\ find yow bar ",nI, you may oubm~. writt<n ............... ", for your num..... 10 Ih< Alabomo St.t< lJ.I.r .. P. 0. Bo> 671. MonlJlOlD<'l' 36101-0671. by fu '" (1.l4) 261-6.110. or by omd· ing on .·mail to m~'. "'I> and _11 mail • mporu< 10 the odd .... th.>,_ Iuv< on f.k for j<lu.

AlllbBrrnllibra" eont~~ts "" lAum:h - . . Ccm"lIItJon

by going '" the "'.. bar', \\'do >i ..

(.......... """""."1"1 .nd ~ in '0 the ","",ben.' r-wot'Ol'pm1«t<d om. To lot! in you1l n«d '" en ..... both the <·maiI ..sd ..... you ""'" on f.. with ... and >"'" bar ID nouri>«. Thls;, the nwnb<r on YOU' bar cord-/l.'OTthe numb<T yom m:rivt-d from AOC., puI on plndiop.

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-.. s..v- eo..< (IpoRoono ""'" 193< II So.:/dI _ eo..< Ct"'""lll h , , _ _lUes 01 Ct>tl Procoo.rt _IIuIaolCt _ _ ~

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- . . . RoMs o! EwItnco loll l"", C<ut RoMs - . . RoMs o! ~ PrtxOlU. - . . RoMs o! _ CcnIoo<I

~ u.. of the ~ 1V< frK ",:all AlaI>.rnu SuI< Bar n><rnb<n. II'" b<n<fiI of>"", m<mbtnhip.

. . - RoMs "" ~ '--Ili,.;pono

_ _ _ Codo

Should I cancel my current legal research service subscription?

Federel Libra" e,mtents

Thi. i> on indJvi<luol <hoi« .ho. okprnds on ,ho n«d> 0( your pr><t"'" W. 1><1 ...... ,lu, c.,.mok<r' will provide • romp«/><ruiv< onlin< q.l ' .... reh libr.ry. bul " .he Cu''''''' ,i.,. iI don nOl «Y«r oil 50 .. 0Ia. W•• uggest you Iry i, befo,< d«idinl '0 <on<d ..i>ting ..,.."'...

How will I learn to use Casemake"'? c...mak<f i> ",.ti"f '0 "'" thOl o'lI<r bo, """,""ion< ,h .. 1>...

..",.d-; Ioun<h<d " lu.... found thot t .. irung ~ ..... not .... ry. 1M",',. built-in help 'y>I.." tlut p,,,,,i<In you wilh

What if I don't currently have an e-mail address on file with the bar?

""nOd'

1n<11'<kd ,ho AId""_ C>dt . nd ron"'Mion. Aloba"" ,tat. .,..... f«I<nI c-. for Alabama and oil tho 1 '(reui, <our< .. rou" .nd bar n ..... od",i.;',,,,I'''' 'uln .nd .-.gs, .... bounli,.. I<gaI . nid<> from 1M Idolbo"", Lloorrr.• nd >imil .. mo,";". from .11 ,ho "'he..- " .... whi<h p.o,ti<'p.olt in the C........"W eonsonium. For • romp .... liMin' of tho p.onicipOling .tata .nd .he ...... bases llul will I>< ... ilob-l< to you. .b«k ou' tho library lU. on tho AI..,.".. SuI< B.>, Web .oI.tbo,."'l.

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prompt. dcprndin8 on wlu, you',.. IrylnS to do whrn you o«cM til< help r..... If you >!ilI lu .. q.,..,ion .. 'bough. you ""'y all the Alobamo S, ... !Ior.t (H4) 269-1515 1><,.... " ~OO .. m .• nd 4:00 p.m. MODdoy through Friday. ond :uk lOr c...m.k<r' help.

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US _alllillr<l C<ut Ilpono:in:I "" - . . ~"" 19t1l _ or. US _IliItr<l C<ut ~ _ _ .. RoMsol-. Fodor .. ,.,... 01 EwItnco local RoMs "" all F-.. c.wn Courts .. - . """" R.IIos "" all _1lisIm Courts

-~-

Important Notices

Reappointment of Tamara O. Mitchell, Bankruptcy Judge, Northern District of Alabama Thc ('urrrnr 14 -~ar tam of 1he Honorable l amara 0. Mitchell, United Statts B.ankruplC)' Court, Northern District of AbNm~ 3\ Binningham, will apirr January 3, 2006. Thc U.S. Cou rl of A~3JS for lhl' EI~nlh Circuit is pr~n tly oonsidering Judge Mitchell's request for reappointment to 3 new 14-year term, Upon 11:3ppoinlment, the incumbent W()uld continue to e~ercise the jurisdict ion of a bankruplCy judge as spedfied in Title 28, U.S. Code; Title! I, U.S. Code; and the 113nkruptcy Amendments and Federal Judgeship Act of 1984. Pub. L. No. 98 -3 53, §§ 101 -122,98 $Iat. 333-346. Members of the bar and the public are invited 10 submit to the Court of Appeals wrin ... n comments cQnc...-ning Judge Mitchell's reappointment. All comments will be considered confidential unless otherwise directed. Comments should be directed to Norman E. Zoller, circuit aecutive, Eleventh C ircuit Court of Appeals., 56 Forsyth St INt, NW. Atlanta, Georgia

30303. Comments must be rec.ei\·ed no Later than August 18.2005.

Position Available: MClE Director lbe Alabama Sta te Bar is now accepting applications by letler wilh resumes (rom qualified lawyers for the position of MCLE Director. These applications should be addressed and mailed to: Keith II. Norman Executive Director

P.O. Box 671 Montgomery, AL 36 10 1 This]X'f'SOll is respoll$ible for all3dminist"'t~ o]Xrations of the state bar's Mandatory Continuing Leg;!1 Education program. This position requires an experienced Lawyer with a strong professional Nckgrou nd. Salary will be com· men sura te with cx]Xrien«, and maturity. 1be dsdlioe for . ubDli$$ion is August IS, 200S. The Alabama Slale Bar is an equa l opportunity employer.

200

ruLY IOOS

ASB ONLINE BAR DIRECTORY

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Memorials

J U D GE

C-\ RL L. EVA N S

On Stpkml>tr 6, 2004. the SUl~ of

A1.oom.lo.( on. of her g.... t .. t public .."",nt .. It wason th .. dat.lhat Montg"mcry ,.. idtn! Carl unford Evan •. the chid .dministrative law jud~ of the AI.b.rn. Public Strvj~ Commi.l.<ion For OV<', 26 ~ar.. ~d . way .ft... long battle with • • neor, I~ Eva"", wOO "'as affectionattly known by his fritnd< and roIItag ....... "the Judgo; was rcc.ognilt<! as Alabama', f=,.

mo6I ~ on utility ~tiolL DapilC

his d.=rvt Carl

Eva"" is n:1llcmbm:d fOr much mo .. th.n just his legal a«<>mplishlTl(1ltHht judS" is =n<rnb<ml os • man who tou<htd and moIdtd 1"", for the btnn.

Judge EYans' lif. journey I>tgo" on May 17, 1932 in 'h ....... 11 J"'Xson County community of Woodville, AI.ba ......

IudS" Evans wao thc ),<>ungost of eight child ... " born 10 W.lter and Alice Evans. Wa$ ')n the Eva ns' f.unily form that judge Enn< ~n 10 l•• rn 1M humility .nd oumanding work «hi<: tha t would Ofl"C him." wdJ 1.ltt in hi,lik

Upon gnduating from Woodville High School in 1<)5O,)udge Evans W¢Tl' on to an=<! Flore""" S,.t. Uni",rsity, now the Un;",rsity of Nonh A1aboma, on a ba.ke1 . ball Khola.-.hip. Judg. Evans gradu.tod from Flo<=<. SLote ..;th a B.S. dcgltt in 1955, and began 0 caretr ""only th ..... ft .... in the insurana indu>try .. an adjust.r with Crawford ."d Com~, It,.,..s also at th.t tit"" that Judge Evans began hi.Krvicc in the Anny RcKrveo, H ...nod with distinction .. 0 military !">licem." for len ye.rs . nd ochieved the rank of ma;O •. After oong a.. igTIe<l to Montgomery in 1957," part of his rt<polWbilitie, with C... w(ord a"d Company, Judge Evan' m. de the d""ision to .ttend th. Jon<> S<:hool of Law in Montgomery with the obj«ti'" of pur• uing a C3lttr in the law.ludge Evan. graduatod from Jon<> in 1967 and wtnt '0 work with the Alabama Public Service Commission .. ... aff .ttorney the same yeor. Judge Evan. worked hi' way up the 262

JULY laO)

ranks a nd W a rn' the chid.dm;ni"", · Ii", \;ow judge at the Public Servia Commission in M.rch 1978. A, chief . dmini"rati", I.w judge of thePSC, Judge Evan> presided over thou · sand. of c.... and rend.,od SOm< of the most im!,,>rt'nt doci.ion. in the history of the commi .. ion . nd th. ut ility indu,· try in AI.born • . Judge Evan. wall widtly =pc<te<l for t he inttgrity . nd fairness of hi' decision. a nd hi. unique ability to ,trike the delie ... bola",. bet ..... " Ih. inter .... of Alahama', utility con,ume .. and the ".t.', utility companie •. Judge Evan" unerring display offair· n.... integrity:old profession.tlism over his many yeu. of K"'ice led the Alab;Hm State Bar', Administr. ti", L1w Section to award JudII' ha". the distinguishod Eug<n< W. Carter Medallion Award for publi< Krvice in July 2OO3. IOOg. Eva", i, the only individual in th'long hislory of the Eugene W. Carter Mod. llion ... ",· ..d 10 rteei", th~ award ",-bile .. ill living. Judge EV' n> wa.I olso honorrd for his exrn1plary...,.,.ict by the PSC in IXcember 2003 whm tho commission "..mod i.. enl; .. publi< he,ring comp/cl in his hol>Or. In il$ almost I 2().ye.r history, tho PSC had !WItt" befo.. named any of its faciliti .. for any individual

,,"rhapJ the greal<>llegacy loll bohlnd is that of his two IOns. nd Seall of 1linningIwn. IIoIb Carl. I•.• nd Seall choso 10 k>IIoo< thoi. r.. ...... inoo dot Iq.oI pn>ksPon and both ~ .. JItnrun&lu.m. Corl.,r. Is with dot linn of IWch &: Bin&bam U.l'. whiIt Seal, is with 11,. 6rm ofo.ri>lim &: Srn.II.

em.,•.•

by Carl L. Enns

h,dg. Ev:onl il also $urvlyW by his wif•. .ELo.i"". who I'tlidto In Mont&<>mtry. and Mary Sin",,,,ns Ev:on .. the wifo of XoII. Abo survivi", h>ilF EY;\ns a~ Scoo and MMy', twO dliIdrffl. MH)' Oou~ and Cart Hubty. who _ born April 2(1. 2005. Carl L Evans in<ked ltd • prof...oonaJ

and J>OrlOn.lllfelhal inspirod olh.rs 10 higher idtal •. II••umplifi.d In. qualltin of courag•• honor. digniry and ;nl.,d,y. Ht will Ix IOfdy mloud. bul tht poIlI,'" inn ...."'" ht had on his world .nd .round him wiU "...... bo f"orJoItm.

""*

J OSE PH NI C H O L AS L ANGAN jooopII Nichola! wgan .• .fuI,n· ",iIhrd .....10' mombor of tlx Mobik Ikr MIociolioo. died Noow:mbtr 2. 20(loI at tho aF of92. H. kavn bohind his unlq~ 62.)'0"" carttf as a 1owy<1. a ....am.n. an A'myOlT>«r. and I mlgious and civic ko<kT. I... Long.n wa. born in Mobil. in March 1912. 110 graduatod from Murphy High SdlOOI in 1931. aft .....-hid> h. "~.d low" in ,Ix oKKU of..-..mol prominont IttOrntyJ. Ho JWKd tho Alaba"", ll,ar Exam In 1936lnd _ admiuod 10 th. hot a, that ti ..... AI his drath. bo _ tho only Itto,n.,. pn<tici", in Mobil. who had "'" autndod lowochoot. In 1951. ht grad... tt<I from Springhill CoUcs<. which ..)bKq"..,~y .warded him .ho honoo-",ory dos= of Doctor of ' - and ""'""" ht ItI'Vf'II 0$ a t ........ tor many)'l'll'$. In 1939.ht_d«ted 10 .heAlabama Sut. Smot • ........, ht had I distingulslxd ann. HII o:>IorfuI pcIiIicaI <arttr abo in<hadod.tnvict .. a n.,mb.. ofthe Mobile County Convnission. and tbm from 195J .hrough 1969. as Cioy COmnili$io..... and Mayor of tht City of Mobik. Th.1 prriod of omi«,!"nnod .h. .umultl.lOU$ .... of.he civil rights ~ mml .nd Ihmugh the lImng Ioadm.hip of 100 Langan. Mobil< avoided Iht wnflicu and di$ruplions wt.id> had ocrurmiln many 0Ihtr oo.s in the SouIh. Durina thalli ..... bo....--l .. pRSidml of Iht Alab&mo Lnpt of Municipalitlo.$. and :II a ............. of tht f.u.cutitt Comm~t.., of the NatMIIW LeaguoofCitia.l .... also $Cl"V<d 0$ an Incorporalor of and d ,y allOr· ~ for the OIy of O>icb$aw.

His mililary ucord wu ocq>Iion.ny dislinguishcd. Ho mli..od in lho Alabama N:.lional GUMd in 1931 and ~)O J'ftrS. iodudin£ fi ... in WWl and 1_ during th< Kornn W.r. u ..... tho moip.... 1of Ih. llro"", S, ... was • va<iu,,, of th. Army', COmm.nd and Gtn( .. l SI.ff CoIl<8" and. al r(li~mo"t. was .. rving as Commanding Gt"" ..l oflhe 31., Inf.ntry 'Dis:~' O""llon. H••1,0 ...-...d .. ltat( commandtr of 1M VFW. lIS a mm>b<-r 01 tho Scat. lIoord 01 V., ..... ns Affairs wd lIS .Ul. d , _ for Sdocti>"<

S<rntt. His ...... ico 10 his <hurch ronlinued Ihroughou. h"lift.IJ,dudlng ,Ix F-our1h \ktJtt of COlumbu •• an 'ppointrnt111 as Knighl ofSI. Grogory. and hi. ~ipl of th. Catholic Social Stnkts SI. Valemi",,', .....rd. fur1h .... ht ..... ""mod Mobik RcligiollS Leader of 1970 and _ a IOundipg mnnbn of ,Ix Fri<ndly Soru 01 St. r.lrid<. Hi> reputalion .. an ouuundi"l civic wd politicoI ....... and firw>ciaI <>;pm rauItod in his appoiollm<nl to th< b.:w'd of direcl"'" of the Fin! N:.lional 8.Jnk. til< I'irst B.lnk Group·AI.ban\>.nd Ih. Bonk of Mobilt. In addition. M 5«Vt<l on nwnorous ..... and local boards and """,. misWns, including St. Mary'. Home and Catholic SocW Strvict$. and w... tI«ttd Mobilian ofwYear in 1957. H. also ICI"Vf'd ......... ,.._ as local and ... ~ p<ai. den, of th< f..u: ..... Oub 01 Alaboma. H.. contribution 10 oducalion indudood nol only his .. rvico as lru ...., of Springhill COli<go. bu"1so as a m.mt>er of tilt- advisory board of 61$hop Slat<

Comrnunily CoI~ .... ""'mbor of th. Mobil ......a Foundalion for High(r Publ;': Ed",atlon and 1M Univtrsily or South Al.ho"", I'oundllion. G~at . mi'l will bo givrn lot Lang.n for 1C"tVkI", 0$ ,"" bridF btlWftfl1M whit •• nd bbdt communilies resulting in peaocdul '"" malions duripg.he 19150'.. He will also bo mnombort0 .. p;ondtd Mobik·. boundarin from midlown 10 Ih. om. wa' of Springhill ...suiting In the growlh of Ih. <ily fro.n about 11 "Iua .. mil<. 10 160 "Iu... miles. "I1>ow who l<n<w him 001 wiU affirm that "'" w .... "",""ys tool< S1rong S1.ndo in political ""'n.... wid.",..., ,tgud .. to wh.tthor public opinio" oupJIof1<-<1 him or Il0l. His poo.ition alw.ys wu I"'t 0"" sbould do "'~I is righl. r<gord.Jeu. H. kfi ,u"'''''ng him his ... ift of m.ny l"'.... M.... de Holcombt Langan. and 12 <1<1101<-<1 ni....,.and "rph,,",.

'"I .'A " "A [A""R

Memorials A.ItnI>der, Luk< Ild_d R......1viI1< Admitted:

Walt.... P. Crownovt1"•• ITItfI'Ibn 0( d••

tJ;rd:M.rch 1l,200S A

...... _ _

-,~

Adminrd: L'I7'iI Di<d: May /i., 20M

,""" ....

lI<ftI, T.... Donald Fk

M,n;1ttd 19 ~ ? Di<1I: M.mh la, 1M ~.

Mmdtod l!rll ""'" "P<~ l5. 1005 KtfIioI, Kowoil 1110_

""'""'"

MmJn<d: 1m l>i<d: M.rch:tl>.::oos Modd.,.. SIn'< WiIoon ~~" 1950

Adm;t~

o...J: M.rch !l, ZOO~ Malhnft,

WAL TE R P. CR O W NOVER

a.a... n.o.....

""""'"

Admil<r<ll95l [hod: Ar<i1 ~.:!\lOS

TuocaIo<u County liar Auo<ia';""" died May 10. 2004. He _ born in Wind_ .... T~_ 011 Nowmbn II. 11IJ.4. Ht ga<t... tt<l 1M UniYm;ily of AlaNma School of Low. Wall ... practictd Lrw in TU$aIoosa from 1961 until his dtilh in 21XK. His Io:g;Il

r"""

""jlu, good humor and kind""", to all disringui$h<d him in both ,,,," TusaJoosa liar Associ.oLion.nd lho cornmunity. w.l1 ... furtMr ,tndmd nuplior..J .InVirc as b.or commissionn of TusaIoosa County from 1971 to 1998. Durill3 w.h ...·, tim<' '"" 1:>0. rommiooion· .... ,.. brought. _ of conum and rom~ion to all man ... coming before

him. W.lt., "'.. an a<:,iw p.ni(;p"'lt in the polit;c.J pro<", in Th5Cil1oosa County, Ind ~ ;u ~h .irman of tlK 1\iscaloooa Coun,y DmIoc..,K I'.ucUI~ Commitl~ fo< many )'t..... Wall .. ""'" ~ in dealh by his wif., Ellm Zimmmn:on ~.

w.It.,.', brother, Bill Crowrt<>Wr, r«<ndy p.UM'd away. H. is surviwd by his tWO child~n. K<nr><ther-no...... (~) and 10 Ellm joh....,n (5,"",), fou rVand · child ...... and his .... cn. Dorothy Coin IU>d S<rty Ann T~lman .

................ 0..:1</,. I'.I_n·Sakrn. NC Arlmit!<d 197)

I>i«!; M.rdllJ, looS !'«mUll,""'" L.

n;rrni"""m Adm;"'.!: 19J5

Pi<d: M.rd> 12. 2005

Sdo

. ...... """

Hunl>Yilt Adm"t<d: L%O I>i<d: f<bruory 24. 200S Smith, Job., f-ph 8inmngh.om Admitt<d: 19m

Jr.

1>Vd: M.rch 11, 200S

IIDdftwood. t:-th Wild ... Jr. -,~ AdnuII<d: L904'J Di<d: l>brdI 7. 200S

--"""'~I~ Adm,,\<d

I>i<d: I.n .. ..,.~, 200S

264

IU~Y

10.,

ROBERT EDWAllD Rob<rt Edward l« K<y ""'" , IIol,iw .on of Con«uh County, A1_twno. H. ""'" tducalt<l in the public schools of CoMCUh Counly.nd rmdtml distinptiohtd .. rri«d 10 his «>untry in "'" O>il'Ll · 80rma· lndio Ih<al~ of op<r;Ilion, in World Wor 1I,.nd lfie ..... rd in lilt Uni,ed S,.,.. Army Rtf<'rw, wlltr. h. r<>.!t to rInk of roloneL H. gra<\u.ttd from tilt University of AUbama School of 1.1" in the of 19019. and .",.mlllIt prxtioc. of bw .,

,h.

a.s.

'........

I.... K<y ........d II drtuit ooIiOlor of

1M 11" ludicial Circuit from 19S3 unt~ 1\165. and •• m<d • "f"Illtlion ;u In

.ggressi .... but com.,. .. iol'Ll1< prooe<u,or, He WI. appointed d~uit judge of ,.... newly Crt_ted 35,h Judiciol Ci~uil in

L EE

K EY

1965, wbt •• bt I<'n'nl with d islinction and wlthoul polil;c.J opposition untU his mandotory ,..,i ........., in 1989, Iud.. K<y fo.ilhfully ~ "'" citium of Mobil< Counly II • supt'munvnry amlit iudst' for Il)'Un, un'~ hi!; hilillS ~t requirt<l him to I........... b<nch.. flis k«-n inldiM. his bn»<! ItgaJ knowI · Ng<, hi. undemanding of 'he human condition ond hi. .l»ding f.i,h in lilt ruIt of law ur..... his "l'utalion II one of lho ".tt~ moll capable

and resp«.t<I jurisu.

Judsr K<y WII' &ithful1I>t"tI)(, of f.'(lga." Bopti<t 0>1IKh. whtrr It< taughl tht Mm', 8ibIt br <lOa" SO fa .... He is wrviwd by his widow, "btjo.i<: Virginia ,",,_unan Kq, his dough'''' fJiubt, h Ann K<y Scot.;,wo g,""dchil· dren; .nd greot ·grandchildren,

au.

'wo

ALABAMA

STATE

BAR

Hundreds of Posters and Essays Illustrate American Jury System in Law Day Contests Thi ~

year's winn ers indud. :

ESSAYS IS11'1o<e

GRADES 1·1 Mo... S..,h_ Il8<1stIIe Jr ~9'> Sd'o::IoI w_~

... A5I_tbfIot _ _ .... ... .,..

u..a.r.nd

HogIo Sd'o::IoI Mooney

CMqu_ W",Irl

8lWliS lusk..,

w_~

8. Htgiltowtr

.......

POS1tlIS

GRADES K-l

1ST f'IaaI

F."""" M."twoll

floosall. Jr 119'> SchOO

J/d Ptaco

,ho"

\abon .. >!"""mull.red thoushts on IhG }'Hr', Ihnnt of-rhc Am<rican Jury: w~ ,he PropIc in Action" through crnt~ .. praoion. of an or .... imagery of Iht ..rillm word ",henowr 130 p<>S\(T$and:ZO~ ....,.,ml<ml;" thi> ynr'.1.- tny <Onl<l.l$. In oddjtion 10 IIIC'II1Mn of tho Ala"-'a Stok &or law my Commin«, ukbr~y ;..<I"" this )'IW indudod -rodly in AIob;uno" ((1-anchor lucid Do";'; WSF... •TV pM."I"'pi>or Clotm<eGi>bom: Wanda IJord. M""rro-?' ~ <>:«Uti¥< tditor. and />kwJ Itpoi .., Ston Baikr.Col. St~ 1.L I,aun, .w-... boIb 01 tho I.... ~~ ~>. ofIia. ~WwriI AFII, alto hdpcd wi,h .... j~ Montpntry KJm.tr and Tim Ltwio. _ co-duoirs of tho IUk b.', t.w Oq ~ O>mmitttt. V'm ...... wen: ~ M>y 2nd ... .JP«iaI amnony and lwxhoon hdd a' tht Suprmw ColIn 01 ~ I'oIIoorins tho pRStIltuion of awardo by AIIboo:M a.. P, . Dou&Ioo McIlYr. the >luOrnl$ and Ihcir 5fl«ia1 g....u ...... peA. II • ~. ciollUIJoCh<on .. "" Alabama SlI" liar, I70U"....1 by. pri"",. lOW" of tht supt't'I'M coun .

-,P."......

I10 _ _ .......

u.."" ___;w,. ... _ _

'"""

GRADES III.. Il Ni. Powol'

A1 . . .. lIutch ..... 8lW HS T...ugoo

BriII.ny P•• , 8lW lIS lust8iIM ",,"-

GRADES Hi oUd;.o. Tombli ... l.bon Sprnp e.m.ntary 1laIt_ E'""*'IIr/

A1exi. WilliMlt

CamoHatr ..

.....

_Hill DoIr_ E""*"-Y

Bum,,,,,,....

.. Go

IU........,.. T_r

N:n,

HQ"'ORABl£ 00 .... MENTION

a.._.

1IottsriI .... H9'

~_Ih~ ()) ~Gt'lIr~

b' --rs: Ind grades 7·12 in ~y. W"' ...... in tilt asry coo .... ..uiY< U. S. s.vmp Bonds in tht amoollU ol5200, 5150 ond 5100. """""iwIy: ... iMm in tho poole!' recriw bon<b in !ht .",,,,,,,1< of SIB, 5100 and 57S. AU winn<n rraiw m~ gold rnod.t. and award ctrIillootc$. S<hooIs of aU winnrn mx;ve CCf1ifiau" and 1('O(I\trI of the winntll r<ai ..... • 525 aKI!!ibulion I"'f;rward fur III( in lhrir <~ • gr3de$ 7·9 and

"'"tell

WlN""NG SCHOOlS I F _ Hqo Sc:IIooI 1 "--.II HogIo Sc:IIooI J 8TWHSI..... • liIoon Sprnp E_",","

5 0aIr0id0 E--.y $(:nooI 6 RiIcJ lM OlmenUIrY

l~ 12

Visitor.; to the bar's Web site at WWW.II/.I/mr.orgca n view all the winning poster.; and essays under the ~ Public» link.

1111

~l~ " ~\tA

IA"".

Bar Briefs

Univtnicy'. Cwnbftiancl School of Law f'«O@.f1iudolumni,voluntetfSand frimds of tho JChooI durine Alumni Wodmd ~IS Apr~ a aDd 9.1\.10 bculty mtrnbns abo ,,",... d awards. R.obm K. 0._0, praidonl of D;,wson & Al&OCiot .. lobbying finn, Wuhinglon. D.C. ..... nomed 2005

Oi<linguishr<! Alumnu •. A 1971 Cuml>erl.,111 ,ndu,'~ and mtmbc. of 'h< ASS. D.wJOn ;,> KIn".... MpUlY w.i.<unllKffl.Iry of tM Army and was ;wocio~ di,CClOf of lhot Offia of M~I and Budgd 100- .... Whi", Hous< dun", lht ~ adminiwa· lion. wmbemnd ..tumn; Mithod V. 1Wm..-n, , ...... H. Roberts, Jr. and M... kD. PHn .... r< named VoIUn1«n of Ih. V•• r. They ...... ""nore<! for th.i. work ;U <:Oa<:i>n In• .. rions trial lams .1 tht law ..:hool. Rum .....". a 1976 p>du;u<, is an ....mant U.s. AlI«nty, Northern

District of ~N"",. in

Roberu,. 1m vadua"" is &II assist.nt public dtfondo. in II.. Tuocaloos:l

County offlU. Pr.Ilt •• 1m gndu., •• is an auOfM)' in private pr..:ti« with Su,tOn &- Ai$o<::i.oIC$ in Binn",,,,,,,,, ,..... I...... c. Goit>oId and h.. w'(e,

Bm,.of Montg<>rnay

named Ihis ~... '. Fri<nds of thor Low S<:booL )~ GodbokI holds $<nlOr I,atus with tho U.s. Court of Apl"',I., 111h Circuil, and is formc1" chi,f judge. U.S. Cln.t of App..!$. 51h and 11th Orcuits, H. is 1M Lnlic5. WrjglU Profcsoor of Law .1 Cumbn~nd. The

rouple _ honored for their devotion .nd "'ppor1 of Iht bw ,,,I\00I .nd

.......

divot". c:..es •• n.y • • 1 ... 2 ... 3 ... 1. Enlerthe Cu . Info<malion 2. Prlnl ,,,. Documenl.

3. FI " .. IIh I'" Court

Cumbm.ond profes>or T. IrK

Ex«11~n«

pro«dur<, was I'«OInizcd for hiJ qual· ity tcao:hing of 6m ·year Jludtnu. T1w award . - CSIabIisIwd rru. yar by CurnbtNnd alumni Ildwwd R. JMb>1I Ind Ricbwd E. Fho in honor of J~ .tt"....". ~ S. JMb>,,•

.-::==_ -:.".,.. _, ...... -. _u_' ._, ..... ,,,....

.....

Reedy 10 ... Ii .... and money? Uocontnled OIvon:e In Alabilma 2,0 ... w . . SS95 Child Support In Alabam. 2.0 .................. 5195 __ __ _ :aa.lol'-"<c_ _

""'"

334·244·2983 BATTAGLLA LAW OFFICE

266

IULY H~'

in Tea,hing Awml.l th ..

I... ",hoo!. Bi'hop. who l..ach" ('m' IrKI$. munidp.aJ courl practice and

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

. c.-u.o. _ _ .. _

,IS

Biobop wa. named 0"" of Iht finl [«,pitn\> of 1M Harvey S. Jaclaon

_-_.....-__ .. .-___ . _u_ ._-""' _-" -. '--..___,..0._0,0._-. __ -"---'-"------,,.._.. -_-

W, c:.n .... q you. child auppott _ UnconlHted

Whar is rhe GLf Express? The ctEE>.press Will

de>o<*\iiid 10 PIli-

, 00 Alabama Stale Bat_oibels wolll ~i(WI informatOOll

How do I use ir?Go 10 IhI J9I l'*'. we Wl il ami you an EHII<Iol every IOq a _ _ lllal

ASS Wob sole at

~~~..-I

up IOf\ilt! "6100 lint:

meets your needs il bPPfoved lor ctE

treo.I,L Fe< elilmple, ff you want to be noI;' fied whan a samoO)lf (WI adopl o(WI on 8irmilljJham lor anv cit;' in t~ U,S,I II

~~,. .'" we woll sero yoo 00 .maillhl arne day tlle semoO\8! 01 approved

SIgn '"" lor tlle 'Reell..l" lFid we wiI seroJ yoo an iHI\iI~ """" "fIU Q£ 1r¥OUllll mnaoo~ ICIOlIllllfIC3!J(Wl

e-n"IiIiI 111M "flU ba"lIlI hal beIn ~

Tte e-m;IiI wi (:(rI8in I

Qlpt at j(U 1»'

rl!IlI Q£ ba""'lIlI, Sign '"" rd 111 _

seMUl lO mate \1l"S _,er ~oer 10

CLE credits tIM

mem-

find OUt IIbout ~ 8IOToe(I,

Have quesrions?c(rI" ;w.\ Kim W<IId, Garol Thornton or CtvoltJn;I Brewer

Fair Pay Exemptions for You and Your Client V

inu.ily .11 employers, I.wyer> and

non-lawyers ,ilk are .««ted by the FLSA o ... rtime and min;· mum w.g< requirements. Codifi«l at 29 USc. " 2(11, .r seq .• the FlSA r«Jllitn

th.1 most .mpl~" P'Y 1M;' employtn .1 Ie ..! $5.15 P'" hour and rom""n"!. them It. m. of.1 lew rime-Ind-.-half for all hQur. wo,ktd in exc= of 40 f><' w",k. L The fLSA '""mpt. ~ra1 <;a,e"

gori .. of employees from

th~

""'go and

hour requi"''''''''t .. providing employers

with ne«ss.o<y flexibility in making nnployment . nd oth.. busin ... d""j · .ion •. The ,,,,,.n. chanS" in the · whi~ . collar" exemptio n, may .igoiflC<lndy .ffret how )'>U and your chent> naviv •• the FLSA require"'''"t .. On April 20. 2004. the Dopan""'''l of Labor rele""",, its fInal rtgul.tions rtg.rding the =ption of cmain "whitc_mILtr" .mpl~ from many of

the obl;s>!;o", pW;ed on employn'S

1Ir>d.. 1M fLSA. ~ Il<W rules ... m<!. ified in Pan 541 ofTitl. l<J of the Cod< of kdcral Regu"'io" .. and beame clkcti...., August 23, 2004. 11>< now rules .."ioe \h~ \hrec t-k \esL< (salary 1t",1. job dUlies . nd sabry t-i.) th.\ a .. applir<llo <l<l<r-

rnine whelMr I"'ni<;ul.r employen ..~ =rnpl frorn the waS" and hour rtgub. \io .... Tho now rules .. p ...... nl (he fir>! major """rluul of \he job·du\;n \..t ,ina 1949.and the fint iI>CTeaS< in \he .. Iaty-Itvrllesl,ince 1975. This anick pmvid<s an ~ (If the fl<W rules, caIlcd lhe "Fair P;oy Rules," so th:al .uomqs <an ...s<$> their own internol polk;" and procCJ<:J>ls. . nd botler ad~ Ihrir rn'p/or<r-dienu on how to cl.,.;fy employtts un<ltr the HSA .nd how to avoid the m..t;..,ly steep proall;" for vioI.\ions of Ihe HSA with rtgard to ovmim< pay . nd lhe minimum ,.... g<. THE "'~"'~AMA

LAWYER

Overview of Changes 'Tht ........ F~ir Pq RuIc:o ~ odo::>pwI ,... ~io ... "",ubc"",,,

to simplify

which ...."1 found

lOG .."'" 10

applitd 10 I"rlicul.o< tm~ with UII'

ronfidtn«. With , ... dunseo- II.. Ilq>m......, of ubo. "'" ontmplw 10 SI...,.onIiM tilt old ,.... d<1..... ininB whc1hn" In rmployn: is atmpl (rom ,hot """'" and hour For oumplt, thot "\ont" and "Iho<t" ,.... with '"f'«1 to dilfnml Wary 1twI. for d.ffntnL .."mptions t..~ b«n .-..ploct<l by . >in gk "mod.rd " ,est AI.." tilt ........ rultJ allow employm mo", Hnibility in mning nut unl"id di.dr~nary 'uspttolions to nomp' rmployta who, undn th~ prr'iou. ",I", would lose rxmlp' .,.lUi if IU'p<nd«l without I'"Y for ku lh." . full .....k. Th. ~.;. Pay Rola II", include .

ro.

w.....

new" .. f. horbor" pI'OYilion for employ. .n with n<:mpt rmpk>yM. UndcT tho provi.ion. In cmployrr .. ill 1101

.f.

w... tho

u"mp1ion for cmployfts from ",110m

impropc1" ..!>...,. deductions taken if the ""'plorer h.. odop1cd • "cle.rly COm -

munic ued policy" \hIt prollibiu improp... $.i.bry dedUCIiolU.iw ..,.blisI>td • mt<hanilm by which nn~ an compLtin of improm <Ied",!ions. .. ,m · ba .... nnploy=; for improper <led",. lion$. and maho • sood f"th commit .

...... , to.....;d futa", improp« deduc· lions. o..nn, th ... ct..nga wiQ liplili(andy.ffi:<;I d.. w." .... ~ n.mpl( tht FISA """"I"ioou.

TheNewFair PayRules Under ,ho new Fair Pay lIuleo., p&nku· la • .",J>Ior<eo may bo ""'"'pi from lho ~ and hour ~ if they rn«1lhr'ft dif. linct ""Iuirtrntnll or tc<IJ. Finl. m>dtr

lho s.lary Lewd T.., an omployft- mull ... <OfnpetlUIO!'d al a .,10 of at "'all SoIS5 pn Wttk 10 qualifjl as =0>1'1. Second. uncltr I'" SoJary Buil T.., on omployN mu,,'" poid on a .. I.. y, ... th .. lh.n 210

I U lY HO I

hou.ly, b.&siJ. "",nilly, undrr .... Job Dutia T", :an =pIoyft must pnform primary job dutia I,,", a~ administ ... ,~, aoao' Ii.t- or p<Olnsion..d in ""'ure, All thnt, of tho<st I..u.. dtKriI<d in >ubsunlially mort dcloil bc\ow, must bo met 10< :an =~ 10 qualify as""'"'pI from "'" FLSA waS" :and hour rtqIIirtrntnts.

A. The Salary Level Test l Thf SaWy ILW'I T... is "'" caslnl of ,he Into 10 opply, Simply pul. lbo .",~ m,,11 bo c:ornpm..lO!'d at a "',. of 01 100$1 S4SS pn -n.. This omounl must bo paid "f_ and dur: In otbtt words. lbo S45S cannot indOOt 1M val ... of non · mono'IOry compmsalion thai

,h.

.mploror fumiohes 101M .mpioyeo,...m a. lodging o. _.al •. For rmpl<>r<" who h. "" adoplO!'d p.y prriod. Inngr. than 'HIO ~k, Ih. <quhr.lenlsala'Y 1.....1. for Ihose pay prrInd. or.. as follows: Biwtol<.ly pay prriod: $910.00 Stmimonlhly pay p<riod:

Sm.83 Monlhly pay pniod: S 1,971.66.' NolO ,h.,Ih. shortest pay pniod allowrd 10< oumpl ompJoren is 01>0 ~k. Thfrdo .., any.",pIorea ...no.~ paid mort oft." I .... n once: • week will not qu;>lify for 1M ~plion.

Th mainlain tht =mplion undor, I"" Sabry 8uis Teo!, Iho .",~ ('.... not drduct from lhe .",pIooyft', prtd<l... milt<'d s:d&ry bra_ of ".m.ncn oca· siolt<'d by tho.",pIoyn or by the oprnl ' ;"g mjui ......... ts of tht bU$inof4:' Thll prohibilion'" known _I"" - no M ' dockins" rul<, Fo, r:x;unplr,lbr acmp· lion cannot bo mainlailt<'d wMn on cmp~ <loeb on< day of pay from Ill< =ploytoo', ..1uy btau.. ,'''' rmployrt" w,"" ukrd not 10 co"," in brau .. of a l<mporuy dooIing of tht work f",illly, If tht nnployrt" ... "~M1y, wiDing and abIo 10 annpIion will bo: k»I if ,he .",pIoytt'. sa~ry is mluced I>«~wt of tho lack of .vailoble work.' Tho !'oir I'''J' Rulr$ i<knlifjl .. w",1 q><. eifie uccpliolll '0 lbo: no· pay docking

_,1<,",,,,,

rulr, Un<Ier Ihac" oxc'1>1ion .. o"'PJorcn can dnl~C1 from"''''pl mtp\oyftf' $ll,ri<'$ wilhoul 10ling Ihe cI.n i. fieilion, The oxap1io,u idrnlifiO!'d in Ih •

''''''''1''

,eg~l"ion.

An ab!otnc. fJOm W1)rk for 0". or nto .. full days (0' pe".,,,,,1 ~.uon', Ih.n .icknrss disabililY:

01"",

In add",lion to b<i", paid "'" minimum omounl d<scribtd ot.o.t. for on.",~

An .Mona from WOI'k fO, On. 0, mo~ full days d"" 10 licknrss or d ... • .bil",'Y if deduclion is ~ undn • bona 6dt pl.n, poI~ 0 , Pr;>(lict of

providi"ll w"s< rq>I.<ntI<n, brnrfiu fu,

8 . The Salary Basis Test'

include:

m.... Iypos of .Monas;

To oIfKI lOY amounts ..criwd as ~, lOr jorr'f r..", WllM$$ r..., mil,wy p.ry:

must bo t«I solary, .. oppoo<d 10 on hourly,lw:is. This mt:anS

!'mallia impoord in sood failh lOr vioblinl .. f<l y rulr$ of -mojo< .... nilicanu: ....h .. "no,.moling" rules in oil refinme.;

lhat II.. =pIorrr mUS! rquIarIy a>mpm' cmplo,ft, ' on • weekly Of Ieio r..-

Of>< fN mort

from .... F1SA WIF:and hour rtqIIi ........... he Of ....

10 bo COfIIoidcftd =mpI

mo,,,,,,... on.

..10 ....

qumI ~. ~rrminrd

:amoun' [...

tJu.t) is not a.t.;tct to m:luction bta_ of ...... Iions in tht ~ 0' qlWltily of tht wort. p<rfoml<d GrnrraIly, .... =pIorrr must pay tht =n,pI=pIorer his Of hrr -full Jalory for .ny wm in which lho ~ pttfumt$ anywork.·~ of whrtItrr .... cmJ>lore< actu.U/y wo,k«! • full wm..' Thf .",ploy<r n...d nol pay lho cmpioy«' fur ~ks in ,,·hich lho cm~ performed no work.

Unpo.id dudpli .... ry luspmsioIU of fuU doys unpol('d in

sood f'ith fOr violalioll$ of _k. plKt conduct rules. .... h .. ,Ilks prnItibiling h.arawtl<nl or ....... piKt yiolrncr;

A proportion". part of Ih •• mploy· .... full $llary mayho poid fo< Ii"", IKluaUy worUd In Iho r.rsl.owl 1..1 ~ks of ''''play"",n'; and

Unp.id 1...... under ,h. F.",ily and Modical Le..... MI,'

•

O<:<IU(llon. under'~ '''''''p,iQn< for Ii"", Sl"'n, away from work may only be 'illn in full.day incrtm.n, .. Thi. m•• n.. for .xampl., th., if.n .mploy<'< i. absen' from work for 'hI'« and a half days for lh. purpose of laking "'~ of penonal mane ... the firsle>«<p,ion MIt<! .bow:. lhe omplOJ= Can only d«lOCl th, ... days' W<>flh of ..uary from Ih. nnploy«', pay. Thu .. an employee must be paid r", a full-day', "tlrk for a ny day in which h. ," <M has worktd ., I• ." put of Ih. day. This full-day deduction increment. rule, however, doe. not apply 10 Ih. $ixth a nd

K"ol'".h =<plions IUltd .1>0 .... £Urnpl .. of dtduclion. that.re not

.IlOWM un<kr 1M Salary Sui< T..,.nd whkh could resuh in Ih, k>$$ of ,h. ernpl<>\=', ncmpl

''''U$indudr:

deducting one daror sal.ry from an <:mploy«', I"Y bKa"" of • ont-day closure .t tho workpl= d~ 10 [,,<I,mrm "",.ther; droucting from on .mpl"y....... I.!)' t.«aust tht =1'10)'« missed three

days of work l>ccouse of i1ln .... who" tb~ ~mpIOY"r dOt'S not h.... a salaryrtpla<cm~nt !>tncfit; .nd dtducting a hilf-day.... Iory due 10 the cmpl")'",,,, .bsone. from work For hilf a d.y For ~""nal rtoson •.

WhotJ>or improptr deductions result in tho loss of tho txtmp,ion is detmnintd

basod on the fam. and cin;umsun«s prt$em. If the facu demonstrate that th~ improper dtductions WOrt isoI.ttd and inadvtrtcnt and that thc cmploy<r rtimhursod nnployees for impropc-r dtd",,· ,ions. tho employees will rtmain """mI". If, ~r, the fO<1$ dcmonstrate that tho empl<>y<r did no! inltnd '0 l"Y its employcn by salary or has an "actual practi«" of taking improptr deduction> from =pt employees' saJ;.rin, tho ntmption will bo: io.st, and too.. employees .ff~ted will be due Q\ICt1im< l"Y for hour> workrd in =nil of 4Q ~ wr6 "during the tUn. prnod in which thc impropc-r dcd ... tion. wnt madt."IG Nutncrous factor> ... cons.idercd in dc1cmlining wh .. her the nnployn II.. an "O<1ual pndicr" of taking impropc-r dcdL>C1ions. including bow onm tho employ<r took impropc-r dtd"",ions. the number of improptr dtduoions takm. the num~ of employtts from whom impml"'" dedL>C1iono wnt 'wno and tho idm,iti<-s of tho n.. nager> responsible for the improper dtduoions." It is import.nt to no .. that aU <mployen in the ... me job d . ..ificalion who work under tho manas« rtsponsiblc for lh. impropn dtductioll5 wUi I~ lh~ exempt dos'gn.tion. Th«d"orc, ...... n if

improp...- dtductions wo .. mod. from lh...laryof only one exempt employt'<, all nempt ~mploy<'<$ with tho.\.Om< duo sification may bo: .ffcc,td if lh ... is. finding of "actu.l practiu." ConVCl"OCiy, employen un.kr different job douifica_ tions Or diff".nt man.S..... liMly wal nol 10... their nemp! stalus. To .... the hurden on empl<>y<r> ..1>0 make good failh efforu 10 comply with the regulatio,.. and prrvtnt improper $iIary dtd..ruons. the ....... Fai. Pay RuJcs provide '$Or. 11."00' under which employt".. who take impropc-r deductions will not Io$c th.i, omployees' CXC1I1p! .... lu. if ccrtain conditio", art nit!. According to the ... re horbo, pro'i.ion, found in 29 C.ER. S S41603(d), an employ<r will "'" Io$c tho eump!ioo Fo •• n impropcr dtduoion if (I) the employer has • clearly communi_ c.ttd policy prohibiting impropc-r ded",,lions; (2) 'he policy includes. m",hani$rn by which employees can complain .bout

Th' OlI'SOrin, dcscribN below. includ, profes4iorul, n«uci~ .nd .dminislra!~ oemplio ....

I. THE PROFESSIONAL cl EXEMPTION T'bm. I .. CWO types of proksoionll oemplions. Th< fiB! is "learned pro~"To qualify under 'hisoemplion, II,. tmrk.!'1·~'" primuy duty" mU$l be ptrfofm._ of work requiring odvanud knowIcdg.. in • field of scimu ""leamin8 ClUl0nuo,iIy a(quir<'d by • pro!onatd CQUI'$t of .potcl.liu<! in!.U",,· lu.1 in>!ruccion."" Work '«Iui';ng .dvanctd knowltdac i, work !h.! is In!tll('C!u11 In ch.arott<r. A ~.. ntd profcssiorul ,. ... r111y ,.UtS on his or I><r ad .. nud knowIedsc 10 onIIyu Or inlnp<t1 varying fott . ... n ...>$. Under II>< F';r P'y Rub. odvanctd knowItdv is 1>01 consicIntd 1M cype of knowItd,.

-w

impl'O(><1' dtduction<; (l) lilt nnployn Olfm:U In.. im~ dcduC!iolU by bu.w.1 tht i.mpmp<rly dtdl.lC!ed funds; Ind (4) tho nnpIoyn' nW<a. g<X>d.f.Uth commilmenl !O no! tala: improper dtduc·

mm-

clons in II,. futur~. Nw, ""-"'r. tho!

en..

w. t.ubor prcwiIOon wiU _ pn>(tO .,,"..,.... who cootinur It> m.u impnJp:r deductions aftn chtir nttpIc>r«s <Oo'tIf'Wn.

c. The Job Duties Test Th< lob Du!ies Tal is w mos! rom· pia of In.. cllm: !aIS. Under chis Iat. w omploy« mlUI rH«' ch. requimnenu of a! In<! 0 .... of Ihr('t OlctgQritS of <mploy. mrnC for cht HSA oump!ion !o'pply. 272

J ULY IOH

pined aC the hi&!> ocbooIlcYrl. II -field of scimu or IoarRi"," is one th.allypica1ly Iw a profeuionol iUCus associaltd Wilh ii, web ;u lheo1ogy, law,

rns,intm",.nd t • ..,h.ins. 'I'M '«lui..· "",nl Ih.! !h. proftsOional nnploytt h.avt , ... comarily Kquir<'d h is or her I:nowltds< chrough • · prolonged OOUrK o f .pt. ci.Jiud in!ell«!u.J in,!ruc,ion"limi'.

!ht ... ml'lion CO only ch .... prof... ion, in wllich!~ iMCruction i.,.n.rally_· .... ry f"" beinS allowtd ' 0 .np", in lhe pro~. Th< r"""h.a! ,he .pcri.Jiztd ~ is ·,ustonurily ocquirtod- in this m&I1 ...... mUM WI CC1Uin '!ypicaI

sicll.lcions InI)' In<! 10 II... pplicacion of lhe ".rned profnsionalexepcion, lOr cumpie, 10 ,he ..,..lawyn who did no! .".nd Law school Nw !M poraI<joh and kpllWistanu usually wiU "'" ........ che requimnrnu for 1M ~..ned pnlfCSlion:ol =<JI';"1lAl!hou&!> nI.ny N-raktI>k and kgoI ...... !;In" have ad •• nctd dqvta or spotclaliz<d craining in cheir field.. ,o;oh tdue-. c;"n"is

noc • J!.ndord p't1'«juisil< for tn!ry into the fodd."1 Parllepls .nd IegaJ ... is!ants. ""-"'r, InI)' q.wify ;u Itamtd profcs. oiono.ls in otheT 6tIdJ .nd bring thaI .,... cialiltd I<nowIt<Iv !O the pnful"lIWltt of their;ot>t. The rqublions oIfn the (01. Iowin$.......p., "if I law linn him an mginm' ;U I ... ralepI !O proricI< CXptf1 odvU on product liability casco or 10 ... is! on ~1rnl man..... ,hal engineer would qualify lOr ~p'ion.·" Th. tc«Ind !ype of prof... ion.l is the -ernli.. prof.uional." An emp\oyff qualifies ... cre.c;~ prof... iona! if his or h•• primary dUly is · ,h. ptrfunn. n""

of work r«juiring invention, im.gin.,ion, originali'y Or talr", in a m:ogniw! f",ld of artistic 0' crtative ende.vor."" Rewgni..-d fi<lds of onis,ie or creali", enduvor include mu>ic ••cting, writing and the visual art$.

Whnher th. rmplO)"t<' carri .. Out m.jo, a.<.<ignmtnt. in co~du<ling Ihe ope,"lio" of lhe bu.iness; Whcth ... !h. ,",pl~ perfor",. work th.t .ffec.. bu. in ... operalion, 10 a .ubstami.al deg .... even if the tmp!oyff', auignm.nts .... "Iated to operalion of a particular $<"$mtnt of ,h .. busineu;

l. mE ADMINISTRATIVE

EXFMPTION

An employH nmst m"! two r«juirem.n! .. in addition to !h. Salary uvel and Salary Ba.i. T.. ts, !O qualify as txtmpt und .. the Admini,t ..,i", Eumption. First. the primary duty of !he ""ploytt - mul! be !he pe,format>et of work dim:!ly r'[>led to th, man'g,,,,,n! or g<:neral bu,ine .. opo,",ion. of 'he emplOY'r Or the employer's c"'tome ..."" Second. Ihe empl~·s primary duty - mu>l indude til., ox,,,,i .. of dis.;n:tion .nd indepond.n' judgment with mpect '0 "",tte" of Signif,conC<'."'" Under the Fair I'oy Rul .... !h. -monas.· men! or g<:ne .. l bu.iness "",ra,ions of ,ho employer" .. I.... to Ih. running of 'he b ... in ... ,,'her Ihan Ih. c .... ion of ..",nu.. for 'he bu.in ..., for uample, by being involved in the production and "",nllfoc!" .. of ,ho object. ",Id by th, bu.ine.. or .. Iling tho .. obj<ct. on behalf of the =pl0l"". Work that involve. tht m.n.gem.nt .nd g<n<:ral bu. in ... opo,",ion' of th. nup~r may include 'he 'Yl'<' of work I'<'rformtd by ,,"ounting. quality ronlrol a nd human ,,,",,urca d'p""m,n!$. Und .. ,~ K<Ond <lement of I~ admini"rati", employtt exemption. the =rei« of di ..."ion and independenl judgment, Ihe cmPlot'« mu>1 ge ... rally """Iuale different rou ..... of ronduct and deride which rou~ will be taktn. O f cou~. th. ""''''''' of di«rction and judg· "",nt m""t .. lale !o man ... of .ignific. nC<'.11>< regul.tions liot IeVrral facton that sbouJd be ronsidtred when dct.mlin_ ing whm.-r a n employtt <:xcrcUn di«,,tion and ind<ptndem judgment wi,h "'1'"'" to man,.. of .ignif>C2nU: Whtther the rmployH has .uthority to furmul.,., affect, ime'P"t or implemen' ma n.gemen, poli.:i .. Or operating pra"i"",,;

Whether the ~ployte has authority !o comnlilthe employtr in m.,,,,, th., ha", .ignifocanl fin.,..W imp ...; Wheth .. th. empl~ has a uthority to waive or dev;'l. from e.labli!hed polid... nd proccdu, .. wilhout prior approval; Wh..,h .. the .. mploy« has authori,y 10 negotiate and bind the comp.ny on significan' nuu.rs; Wheth ... Ih, employtt provid .. con.ultation or . xpert advi.:,'O m.nagem. nt; Wheth ... !he empl~ is involved;n planning long· or .hort-Ierm bu,i · ..... obj«tives; Whethcr lhe empl~ i""",igales and "",I ... maUe .. of . igniflcanC<' on behalf of m anogem.nt; a nd "''''<th.. ,he empl~ repr...."l. Ihe company in handling <;Om, pl.inlS. .rbit ....!ing di,pu! .. or ..,..,I.ing grievanc ... " wmpl .. of nuploy«s who typically m«t lhe .. qui .. m .. "I, oflh' .dminim. ·

,i", exemption include in.uron« daim. adj"" ...... ,,,,,,ulive or administrative a.<.<iSlants to ""ior .""'uti...... a nd pu,_ chuing agents.

mE EXEC1JIlVE

EXEMPTION

11,,« tlemtnts mu.t be mct for an ..... ploy« to qualify und .. til.. ,,,,,,ulive eump,lon; l. The .mploye.·, primary duty is Ihe

man.gttm1l1 of !h.. enterp. i.. or a custom.rily >«ognited departm..nt or .ubdivi.ion; 2. The tmpl~ cu"omarily .nd regu_ larly direc" th. work of ,wo or mo .. other ""'ploy«>< .nd

j. 111. tmpl~

has th •• uthority!o

hirt or fi .. oth .. employttS. 0' has hi. or h .. , uggeslion • • slO hiring, firing, promo, ion, or olher chant" of gi"n pHlicular wti&hl.

.tatu'

A<!O !h. firs! tl.m.nt.lh. "Sulation< deli"" - man'gemm!- by H"ing num ... · ou' aampl .. of m.n.gem. m ac1ivilies; Interviewing. >electing and lraining of <rn~ Iet,ing and adjUSting their ral .. of pay and Itour$ of \'KId; directing the work of nuploytts; maimaining prod""ion or sales """rd> for II>< in .upervi>ion or control; appraising employtd productivity .nd <fficio.r.cy for It... purpoo< of recommending promolion!. or oth<J chang.. in "",U$; hmdling nuployN compl.lints and p,ricvances; disciplining employra; planning Ih. work; dctmnining ,he lechnique> 10 be u>ed: 'ppoI"1ioning the work >mOnS the emp\oyffl; drtrnnining the !ype of material$. supplies. madlin<ry, «juipme1lt or tools 10 be used or "",,,,lund... 10 be boughl, .lOCked .nd sold; """,rolling the flow and distribution of mattrial. Or mtrchandi<t .nd 'UI'Plia; providing for the safety.nd """,rilf of the <rnplo}_ or the pmperty; pl.lnning and controlling the budget; and monilo:ing 0: implnnrnling legal compliance meaSU,"" ..

A - departmtnt Or , ut>divi$ion" iI. divi · sion of • busin ... th3! has ". pennontnt status .nd a continuing function."'" &ampl .. of customarily recogniud d<'partmrnts and subdivi$ions indud.: companks·ltgal departm", ... and hWlt"" "'"""IUS d<'pan"",nts. Recogniud deport· ments ~nd .ubdivisions <-on also indude divisions within larger departments. 11>< K<Ond drtntnt of tht <XKU!ivt =mplion requi ... ,he employee'. custom· ary and regular dirtClion of the won: of two Or more tmploycts. - Customary a nd regulu'" dcno!.. oomething mo" than <>«asional, but less ,han rorutant. Gen<nlIy, giving ditte!ion !o !wo or mort employ=.., bst once per.......t; will quali · fy the tmploytt WJdtr this drtntnt. How......., o... "who merely a.<.<ist. the manager

'" ~ pmiculu dtpMtmmt" and oct.wty ~onIywhm t~ ......... if"'-'t will not qualify klr tho trroIplion. .. The fact that ruculi ...

'''''=1'1

tnlpioyH mu<1 .upcrvioc two or mo ... tnlpioytts mn... t"'t ~ Of she mUll wpct"Viooo • ...po,Ctl who. ~. """" ~ least 80 bow$ ptr wed<. Thus, oupnvd· ins lwo pal1·ti ..... ~ would not qu.lify II>< oupen'iso . .. on """""i .... ~sc, neithrr of two ,upen'ioors who ............r<rvisi<>n of ,h .... fuII~ tnlpioytts ~ qualify ro. the Uf'CUIiY< aernpOOn,", • .ad! would be d«rntd to ....pcrvioc only 011< and • half tnlpioyttl.. The third .nd 1i...1dnnc-n. undn the professional cumplion, th< .uth",ity 10 h..... nd Ii..., if $IraiglltlOrword <=pi for itJ "htrnalt rrqui ......... t Wt 'M .... pIoy. ~'. ouggcstlonJ", 10 hiring and firina mlUl be

sI""" "particdar wri&l'L" n..

..-gub.iolU ]i$l 5n'tral factors 10 del... · mint whrthtr .n .mploy«'. ' Ugg<'Stion. .... &i ..... "pankulor .mglll,' includina; '"wheth<r ~ is part '" the ....pIoytt•• job d... '" ' 0 tnak< $IId\ ouggcstions ..... 0«. ornmmd.otiotu; the ~ wid. wIIlcII .... h o.ugge>tionl .nd ~Iion. .... made or ""lUUtt,t and 1M ~ ...ncy with wh;';h.he em]>loytt·..usg..,ion. and r<'<OnIrI"Itndotions .... relied upon.'"

D. Particular Exceptions to the Application of the Three Tests for Exemption Re-gordleu 0( the applicalion of the lhr«! 1<$11 outiinN .~ (sa"'ry 1....1. $al.ry buis Ind job duti .. ), the ntW r~

t"" "'"

ul:otions pro>idt arttIplion " •. tilt of "",,"in utf$Ori<s of .... pIoymom, .... dC'lnmint<l diff...... tly. Somr of tMI.t mo ... common ftdds and m""uorl .... di$Cuss<d below,

1. COMPlJl'ER-RELATED FlElDS" An emp\oyH mgogcd in compu, ....·

,nll«l .mpioym<nl i. =mpt from the wa~ .nd hour ~uin:mmll of the HSA 274

lULl 1001

if ttuu ..-qui ......... ,.~ .......... Fint, II< 0' oM mu<1 be (Qm""",,'«i on • sabty or basil .......1< '" 01 ~..., 5455 1"" w«k. 0' on .n hou,1y basil a, • ",I. of "' I.." $27.63 1"" hou" S«<lnd. h.or.he mUS! work ... comJ'Ul ....pt.......... IyM.. compul ... pmgramm<1". ooftwne .... pn..-r or 0Ih<r similo,ly·sI<ilk<I wooi:tr in III< (Qmpute. field. finally, II< or oM muSt h.....s hi. 0' he, prim.ry duty oil< of the foUowing:

re.

( I)

n.. .pplicalion '" ~1<mS

anaIyI.i$ t<:<hniquor$ and pro<cduta., induding mnouIti"ll with UI<ft, to "",......in< harowa .... toIiwart" 0, .yslem limctional $p<'Cifl(".,ioru; (2) design. """'Iop"",nt. docutnmu,ion.1l/Uly>is. c ....,ion, ..... 0< modifiation of computer "",ems 0< P"'Y" ..... including pro1OIypU. ~ on and rrial«ilo US<t 0< ~Icm design spcciikotiono; (3) 'Th< duisn. <Iocu ..... nution. 1<$ling. crntion., 0< modir"",ion of com· pute proparns rNt«I to modU ... Of«i'lins rysumo; 0< (4) A (Omhi. .... tion ""II< w.......ntiontd dUI;'" the p<rforrrunt< of which ~ui,C$ the .. me kvd of oItilIs.""

T'"

Il<inS highly <kpendtnl on 1M ..... of. wntpu,n 10 ]>«form 0 ... •• wo&.llU OIl archil«1 or a dviI mp ......., does no! nt«Ssarily qualify on .... pIoytt for !hi, .umplion. To qualify. the .... p\oyc< mu" .n&-\ge in computer ,yo,.n" . nalyo ... prosrommi"ll or otl><r simiLa, comJ'Ul<rm.INWOfk.

1. LAWYERS, DOCTORS,

DENTISTS AND TEACHERS.oG Th. s."'ry 1.<...1 Ind Sal.ry Bas.is ttlU

do not apply 10 I:oW)'tfOo docto.. (includ· ill(l JUiclcnu.nd intnns). dtntisu and tncbers. Th .... if.nnnplorNis~ in .ny '" Ih<s< profmKlns, ... 0< oM no«l only ",..., the prof... ion.l =mp· tion unck' the lob DUliu Ttll to qualify as = p t from the FtSA. "'Prol,," of how and how much ... 0< oM if fWd.

3. BUSINESS PART..QWNERS JI An individual octivtly en&-\g«! in the manage"",nt of. company in w!o;,;h It< 0,

.... OWRI at ..... 10 pcw:1Il oqu~y

inlntSl will qual.il'y as =mpt, ~ of ...t.:I........ Of W is ~ on • salary bu4.

.. HIGHLY·COMPENSATED EMPLOYEES}/ A "rnm·~nt<l1ob Duties Test .pplies r<rbming offitt 0< nonm.nual wo,k who .... paid lotallnnual mmprnSOlion of $ tOO.OOO or mo ••• 01 ~'" 5455 p<r Wftk of which " ""HI on 0 saloryor basis. Undn Wltesl.t,," ~ is om>pI if It< 0< oh< cu$tom:uily and «sularly I"'rlOmu .\Iout. 011< of tho dUli ... of an n:rmpt profmional. iidmini.t""ivr or u«"lIli ... tmploytt. The higllly·(omp<nsat«i .... p!oytt nwl not mHI :&II of II>< ""Iui ......... 11 of on< '" the th,.. Cltrgories to b< amlpt. Tho highly-wmpensal«i <Urnplion does no! apply to non.ma""~m<nl""ploytu .... &-\gcd in m.nu.ll.bo,.

to .... ]>Ioyfts

re.

Tips for Lawyers and Other Employers Th ...... F.i, Pay Rulr$ should " ... mline the c1 .... ironlion procns for ·white · (0110, " .m]>loyfts and provid< "'Wf'" .nd non_1awyn employtu alike " •• , .. Jkxibility and conf",,",," in ~frins

.... pIorea. Whon 'lIcmpli"\l to comply with tho ntW Fli, Pay Rul ... <ll ..... In your fum or with you, .mploytrdi.-ntl. be .u .. to .."",ml><r the foIkJ..,ing: Fom~iariu yountlf with the I&w and ..-guWiolU of ,xh sta .. in wh;,;h you and your empioyer-di<nu ...... nnployfts. SI.l.I."" and "1ul>lions may b< dill.... n' from 'he """"ral ""lUlr<1ll<nlJ outlint<l .ho.... You .nd your di.-nu mU$t (Qmp/y with ,''' .ppliubk ".;It~ ..-quimn<nu .. wdI .. I,," _ Fair P.y RWcs.

In lighl oft'" ntW ..-gul.tions, now il

• good time for your .... 'ploy<t"'cii.n"

10 ,",iew 1M d ...,fonlion.nd s;,]uy in't-l of , II fflIpIoyfts. If your omploytr.<litnl$ h.Y< rn;$Classifi~ .ny of Iho,r omplO)'tt' or thoy W;lnl 10 chlnp: Iho omploy=' cI ...ifialion 10 brinS Ihffll wilhin.n """mp· lioo.ih<y can II$<' 1M new ,,,,ublions as on opportunily 10 makt ch.nt". Ik Jure )'OU' omployn.dinll$ MII(:OI' Ihrir aboul w~ doductions lhoy 1M\" Or may 1>01 uR from acmpl rmp\orfts' ..Iorin.

manowm

If you Of)'Oll' tm~1$1-. not

do ••Iop«! Of "clnrty cornmuniclttd" . policy prohibiling improper pay dod",,I;o.u, now is • p:>d Ii".,. to do .... •

Z9 t f R 150ltaU.., ...

II Z9 ClII, I501m..l

12. ""' .. 0(

""bo_

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..........

" Z9 CU 1I Io'I.DI "'"'91 Sll XI1

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. ...,_. '_._.... _wil~_

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110' l.l>Oll.J(1J.

19 21 Cfit I SI' 4OOtoI

It 19 C.rll l lo'l l>OlI.rn

Endnotes '" U$,t 11201..:1 I111 1. ""', 4' _ . . s.r..,t.- ....... iii _ " n CI.lt 11 10'1 "Q.IIL lo" lIlWIl 50 1.lDCo11~ Sotl JIItXofll_ 10'1 eGI

11 nc u

JD. 19 Uilil 50 '.303 ..... 1o'1.ll4

11o'1 .)D

I l ""' ..... _ _ ............. .. _ . l'I Cl.lt IISlllOl ..... SI ' 2OI

II. 21 cn l lo'l IIIlk1 111, 19 CI.lt. I Io'1lO1W

11llCl.lt. IIo'I . , .

11 19C1Jl 11o'1101111

• ~..--- . . SotIOy- .... ... " _.1ll Cl ~ 11o'1.1!2 ...... 501.__

11 ""' _ _

5..1llClA I Io'1 ......

tI. 1'1 tlll.l SI'

• 1ll CIA 11o'11OaoI

21 19 tflll 50 'I07

7 1ll CIA I 501 GIfj

15.. 19 C.fA. 1 50 1103W

I, 1ll CU I Io'I GIfj

"" n t Il\, I SI ' ' 00I<I

t. 1ll CJ R. IIo'I J02!!II

l lnCIA. ISI "os.

11 _"""1'......_"""""''''_ _ . 2!IUA 1501 GI

31 nCJU 50 IID'

_l_. .___

32 2!ICH ISI'.'

s..-L _ _

=... 110_ •

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nt'lI. " SI" . . . . . . S1I _

IOI:W _ O, FoWo,

_ _

D ""' ..... _ ...... _ ..... _ _ IICio1_

Young Lawyers' Section

Thank You and Goodnight

~ ASS Young

Uwytm' SccUon is

windinc down ...w..r busy bar

roar. w.. htId ..... onnual lroo s-i OJ!. in IIirminsfwn and coonIina~ 10&>1 ~ '" disaw:r..;ainu .,( HIIrric:one ...... W.. hdptd ~IWO bu.dmit.... OI>CUIOUOao along with .... AW.no SupnmoCourt. W. p'",idcdaosisunct 10 1M c.piuI Cilr Bar AMIdoIion in """,. inB .... ~LowCooC<r<:>IU in MOOlpntry. We org>nind j'OUng Izwytt ¥OIunlcftll0 work with lhe Speokfinl dtN~ pmvam in 8inninpum. Out ~ ~.Iso >a"Vtd .. rq>r<$rnta· 1m,., of our 01. 1• • 1 American BIr "-<iaIio.. ~jng> during lhe yur. T1It highlight or Our ""r, and our most rcc.m ,,'<nl. w.. th. Y""", Lawyttt'

Mino..,.

Sandettinkminu on May 20 ""d 2l. Cnit Martin , of lhe Annbrcchl Jodaon firm in Mobilt,desmon,m!il for coord;· ... ,;n8111< <MI;na •. 'J'hr YlS .hanks oJl of 1he opo ...o .. ",110 contributMto lht $<111in", and rr...k i, • ....:cess "JIlin tIW ynr. ",.,... >pan""" indu&: Aiiiobow:J~

Jackson UP IMobiIe! SHuodge. Muns. Rogan & SrMh UP

IB''''·Y··d

8enlll. ~. &.I. Willi! to a.mms UP

18,,,,_pod

Buley. 0iIard. ~ McKnIghI to Ban:ljlt

,1&"_9_11)

BusIly. AlII\. Crow, MetIMn, finis" Miles lindley Nint IIDse «0 WMfl ~

&.r to f1lmwI fIImnor'9IamJ Cabnss, Jcilnston. Gardow. [Unas & O·NnlIe.~1

Carr. AHt1tIl. 1'uIlh. Hawanl 01_ & Smon PCI6irm~1

Cuonoopn, IIoI.nIs. YJrn, Crowder & Brown LLC (Mobile) Foshee to Turner Colwt fIeporun

IBirrml'l!lham) Han(! Atend;llIllC (Sirmll"jlarrllMDbilel 276

IUl~

IOH

.... Wym, NeweU & NeoMon UP

18illl_ ..... AI

Jinb. DiniII 10 Crow UC!\bon ~

1.Jorrd. Gray & 'MIouIIIeId I~ luda. OIdenIug & IIHley (Mobile) [\'001. Pipes & Coot. PC IMobiIe) M¥sh,lId:ard & Bryan PC I8im'M~.~.. M"1 ~d, Cooper & Gale PC (8w~1 Mo::C3II\m & Melhm PC IBinntogIIamI Milllr. Hami~Oi\ Snoder & Odom UC (MDboIeI Taylor Mao1i'oo PC (Mobilel Vod:'J!B. Ri,S, ~ & Ct.orao LLC IMobilel Watson. JirrrnerSOi\ GMi¥o. Mao1on & McKil'll'li!\' PC (Huntsvillel Yearout & Traylor. PC (Birminonaml Sptci.l Ih.nk$10 'ht ~ Alkn finn for .pon.."in! 'h' brtakfUIs, T.ylo. Martino fo, .pon",, ;ng Ih. SU1f IOU"",_ m...II, ~ BoundIo for 'ponl<)fing 1M Friday niv" I"'roy, .nd FoiIhH It Tur .... . nd Han Wynn for 'fIOn"" ' n! 'ht .ft... noon brac" I""'i<s. W."..., thank Our aulkn. &roup of .puurs, indud;", Tommy WdIo, Midooel Wore!, Norman Waldrop, Dmd Marsh , Skip

H_rabk.obert H.~ Jr~ Tom MttbviD, and ,ht Kononoblo kwpb Banle.. W. ;app<"""«" ,i.... A-,Ilw:

.nd elfon.

.Iori.

",., ns ..... "...,

btm 'I'}'i""o imprnft its prQp1mJ and ..........m. w. Iuvr btm worltinl with 'M Abt.. .... Suprc1l1f Coun and .M ftd..-.l coun. iO ...... mli"" ,he adm ......... c..-nnonin and, in pHiituLor, '0 rna'" ,..... on.,i..

rtpsln, ion p«>CtU for admincn mo ... <f!icim,. We art ali10. IW"nB • YOWII Uwytfl' S«tlon Web 1-1. on Ih. "Lob."", SI>I. Sa. Web ,; •• Ihat will provi.do mo ... up>,o.d ... infor· m.,ion .bou' ~ion ..:. ivili.. and infor. m.. ion ...1("1">0110 YtS ",.",btn. Thanks 10 all of IhO$t wlto It.~ pro· vidod lim. and ... vic. 10 YLS pros'. nlS Ihrougltou'lh. yo... •

Stewart independent agents have Nfl ac<:ess 10 our award-winnKlg VIr1l1l!l Underwtiter'" thai sets lhe

standard in online 1I11a insurance undelWriling inlonnalion. Inside YOllll lind a natlOnallinderwrrting manual

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or visit www.stewartalabama.com

278

I ~LY

I~D~

โ ข

Long-Term Disability Insurance Under ERISA

Ion

aw firms, large and small, now provide an array of benefits both for lawyers and staff, usually governed by that reticulated statute known as the Employee Retirement Income Security Act, 29 U.S.c. ยงlOO l et seq. ("ERISA"). One oflhese benefits, long-term disability, deserves a careful review before it is provided by an employer. In fact, it should be as carefully examined as other benefits

but often this is not the case. There are numerous insurance companies providing such benefits with a wide range of pla n provisions available. Without a careful selection of a disability plan or poticy, there is a risk that YOll may see the benefit slither away before your eyes when it is needed most.

ERISA'. 'p,,<ifi< ml1wi .. preempt.tat. l.w claim., th.~by a!lowing only those damages ptrminw by th • .,.,uk. 29 U.S.c. ~ 1144(.) and 1132. N.ithtr menta! anguish d.mag .. nor punili~ d.mag.. may be f«owrw. C"m. WNt Life 6- .... nnwity '"~ 0> v, Kn"d",".534 U.S. 204 (2002) and M<Rtlt v. $o4a .....' Welfare Plan, 920 F.2d 819 (11th Cif. 1991). ]nst.. d. the da_8" a~ typi<ally limited to the benefit, dut, in1<rest .nd, if the rourt SO awards. anomey'. fees. Florrn" Nightin!,,!.! Nu"in! $orviu, Inc. ". 81u. CTOSJ/BI". S!oi.1d of AblMnoa. 41 F.ld 1476, 14M-8S (11th Cir. 1995) and Smith •. Am. In/un. Lifo A"ur. 0> of N.Y., 50 F.M 956 (lIth Cir. 1995). Thm is no righ1 to a jury t';.1. v. Unionmmual S,odc Lif.I"~ 0>,906 F.2d J 525 (I lth Cir. 1990). Wbilt theselimiu';on. nuy prrwide SOm<' comfort to Ihe imuranu company prrwiding benefiu, th¢ employer, who may dtsirt to..., ,h. <mploy« ob.. in the benefiu, may unhappily find itself a dd.nd.nt Tht plan adminislr.,or, wh;':h i. ofien ,h •• mployer. i. a proper par'y.

B"'' .

G.lrnn v. John Hancock Mu,,,,11 Life Ins. 0>. 114 Bd 186 (11th Cir. 1997) and Ro<tn v. TRW, /"';',979 F.2d 191 ( 11th Cir. 1992). Vndtr uruin pl.n •. an ;n,or· ."'. company wing und .. ERISA may deny an <mployet·, disabili'y daim .nd .wn afltr .ui, is fJ.d "ill only be li.bl. for ,he beufiu and im ....t. Th. employ"" .• auorney'. foes may be .ward«! but this i, kl1,o the di$(wion of tho court. 29 V.S.c. S I132(g). Su. Nigh/ingal•• 41 F.3d .t 1485 and Curry v. Comnut Fab. 1"<. Profi' Sharing rum. 891 F.2d 842 (lith Cir. 1990). On the oIMr h.nd. a disabUity pl.n not provided through an tmploye. would be .ubjK'to "ate law, a!ong with th_ dis· .bility plan. 'hat fall wi,hin 'h~ prrwi_ >ions of 29 V.S.c. ~ 1004, ",hieh include gowrmmnta! pions, church pIons. ben.fit pl. ", and unfundw = ' 1$ bendit plans. S,"< law dairru mOJ' muir in o,h,r damages.. including ",.,ntalangui,h or punili~ domages. In many instances, Ih. disability provider may fod mo~ com· I"llw '0 rt$(Il ..... daim .nOrt of li,ig.t;On th,n Ilnoo an ERISA S""""nw plan.

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280

rULY>OOJ

Employe .. mOJ' abo haw fiduciary 0"' coun Iw duties under ERISA. At opined ,I=< "'"'y be liabili,y for the pLm .dminis'rator (011<1"1 th. tmployc-r) that ..1«,. a company known to be • I'OOrchoict foT providing disability be-. fiu. Radford TruJt v. Firs, Unum Lifo lmu"'~<e CA, cf 11m"';"', 321 F. Supp. 2d 226 (D. Mass 2004).A pl.n administ.ato. is (harg«l with fiduci.ry duties. on< of 'he high .., du'ies r«<>gniud Ilnder 'he low. 19 U.S.c. SS l002(21 )(A) and 1104(a). Whilt tho 11th Cir<:uit has not yet found improper ..Jection of an insur.onu COm, pany he a b",,,h of fiduciary dll'y, the Radford c..... funh .. un<krscorcs tM impll"""'" of c.",ful .d<,<,;On of. di>ability pl.n. It is hoped ,hal ,hi. "'tick will provide food fo, though'tO ..... , in seleaing Iong·ltml di>ability imur.onu.

,ha,

Ie"",

What Type of Plan Do You Have? A. What Is the Standard of Review Under the Plan? ERISA driines a number of tmt"l$ as used in ,he ""lUI •. First of a!l, 1M longtorm disability pLm usually refen 10 ,he dorumrnl ,hat gt>"o"<1"1'$ the provision of disabUi,y btndits, 29 U.s.c. ~ 1003(1). It may also be calk<I 0 policy by the """"noo compa~y. 1M summary plan description is usually the booIdn, pamrhi<1 or dorumrnt givm 10 panicipants of the pliUt. This docurnonl conto;ns a .ummary of ... tutorUy Rquim:l information found in the octual pian docummL29 V.s.c. ~ 1021 and 1022. "These 'wo docurnonts may set out the discretionary outhority that;" reserved by tM pt.n admini>tra.1Of Of fiduciary for deciding <lai"" for disability ben<fus. This

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,"GILSBAR ...,..,.--.,. """'"" ~ "'

_.-.l__

_ _ _ _ ' _ _ _ ""U,S P_""T'_c-____ ..... _ _ .. w . . . ................ "' ... CHA ...'.... _

.",._ ""' _ _ ""'Y_Io"",._ ... _

.. _ . _.. _ _ .....

.IOU "" ..... , ...

wiU SO'.. rn lhe role !he coo', will pi»' in

!he disability dcri!.;"". There may N. full court mtitw of a dtriWn Or a limited review. ea... nlaY N won 0' loa on !he Il'J'I' of mtitw ;illowtd. According 10 Fi""t~n~ Tjrr ~"d !lublinComp,my". Il,,,,h, 489 U.s. 10 I (L 989) th_ are thr~ stand.rd, of m-ic-w 10 N utiliud by <:<>urts ... mining.n ERISA cl.im J«:ision. Th.Io< revi<w "and.rd.s or. arbitrary and "'prkiou•. h.ight.ned arbitrary and caprkiou. and de no,.". Sin.:. this opinion wa, published, th.re has b«n much litigation ,,,"or the pro~ ... ndArd of ,<"iew. Obviously, when a mo ... limited "",ic-w is r<quir«! by. plan, Ihi' will n.turaUy I•• d to. mO .... .gg..... i,.. den i.1 of a di ...bililydaim. I'or e""mple, und .. the arbitrary and cap.i· ~g

cioU$ ".ndard, an insu ..,,« rompany may N "'tong in its dtci.ion. bul if its dtci,ion had so"", ,..son.>.ble basis il must IH: upheld. HCIo H~llh S.... ofGo.. •. £mph>)WII/~I'h, 240 f .:kI 98l ( Illh Cir. 2001); LevillSOn v. !lrl;~n{e Siundard I"~ Coo, 245 F.3d 1321 (11 th Cir. 2001) and Blur Cro.. "" BI""Shidd of il.lab.oma, 890 F.2d In7 (L Ith Cir. 1959). On Ih. othor hand, if. fuU or d. no", ll'Vic-w of a d.im is required unde'th. plan, Ih. claim .dmini~rator may ronduct. Ie.. . gsrc-ssi~ r<vi ..... of th. cI.im 'in« a d«:;,ion may IH: ~r1urned by a rou" if it i, wrong alOlt<. 0 .... would think Ih .. tho COSt of th. IH:nefit plan W<luld lugely d'p<nJ on what ,"ndard of ll'Vi<w i, . pplicabl. undorlh. policy bul <vilknc. of ,uch is

'ett •.

'''1'

1, The Arbitrary and Capricious Standa rd ,., pbn requiring. coort to Uliliu Ihis "and.rd will ,,,nlain cli,rct .nd succinct languag< which gim lh. plan disc",· liona,), authority to inl<rp ... ' policy or pl.n provi,ions, 1m,," ""'ision, regarding .ligibililY for c~rag< .nd IH:n.fi, .. and .-..01", actual question ....lating to co",,_ 'g' oflH:n.fil>. 5«, Ki"'"m v. M~rricu

•

WHAT'S YOU R REQUEST?'" It', quite tomu •• ""s< ror ... tingup «mpomy oIIi= .. The "lInw;!., . A Wynd"'''' Hi.tori< Hot.r, uw G,m.,. W'r< iust. silO<! d,," r>e< .w.y fro," the ,ouaMu", wilh fully {uml.r...! I",,.,droom> .nd The

$I THE TlJfWILf.R

r<qui,i .. hi"'.,ped In"""" , f.... nd phon. lin" <T• .Jl her<. l<l our 8yRrq"'" n",,,s,, ... up Y<'m ".m', gue!o"ooms ,,, thei r 'pffiootions ""ry tim • . c..ll or vi';1 u, 0<111".. 20s.nZ.2100 0. I.SOO.WYNDHAM www.wyndh.mlu,,,,U.<.<om

ah"" .... "', A~b>."" 3S200 20S-112.2100

"'dr..,....

282

not ofi.n found. Thi, wril..... own .xp<rien« is lh .. it may IH: ~ibl. to r<qu." th. carri .. 10 drop Ihi, "arbitr.ry .nd caprkiou," ..... rvalion of discrt"\ion langu.ge for only a modesl in<:rea$e in p ... miuln. Accordingly. il i. import.nlto ,,,i.w every phn a, to th. applicable ".ndlrd of I"<vi ......

lULY lOOS

,---"~ ~

2021

P,,' PI>«"."h,

in in.uranct and

(Wft1urn

tht

huu rantt Company? If not, _ liInt oomc ' ype of deIega,ion of aUlhorilY from )'OUr firm 10 XYZ In.uranct Coml"ny al!owing th.1 company ro ucrciic: , he discretion for your firm' Your form mO)' be a dtf~nd.m l as. ~u11 of a decision II I'Ie>'tr nwI< and did no! dd<J.I... Exami... !he plan w who iOCIU&IIy ~ diic:mion. s..ffic~ i, ,., Ny I~' if )'OUr plan bas Ions.... wmilar '0 I~I ci,td a~. you rrgy ....... ,., shop

oo.....,i...

is no1 i

unMr I

i t''''' th.t a truly

,,' ;';'0 IO'Y 'lOt obtain ben.c."

The Heightened "'ii'~"": and Capricious Standard Th~ >«ond II.ndltd of f<"Vi<-w is calltd Ih. hrigh,.ntd .. bi lra ry and capriciou, ~~ .un.t.td in Il>c 111h Circui. , Sn,IICA. 1I,.I,h S...." <fr:;.,.. Z4(l F.ld'l 985 and I.N Y. 8/"" CnwJ8/uo SIt,old <f Mob.:rtrul, 10 F.3d 15047 (lllh Cir, 19')4 ). Tho pion "'"r iOCI.....J1y grant tht 6du<iary or admin~t""Ot 011 dUcmion. bu, if !he conn finds • conAict of intrtat for the fiduciary or adminumlOf, th ... tht heightmed ubi,"'ry and capricious SUlI· ~"" applitd 1I.,.low ditd ... ill orpIy. Undrr 'hi< "a,..dard of 1U pro/Iibitionf ap;n$I. diic: ... • "",iow.lhe COUrt', role is to O1Omin. the toon&ty d .. UJQ. At Ic-... for now in doim docilOon in lighl of 1M MnOict illinois. lIa.... ii, U,ah ond California, shown. IICA II",I,~ S..,., <fG4t.,HO F. kI Iong·,.rm d'!.abilily inluranct p<>lic;" .,994·93 and Y""hum y. &mm Sauls. with di!<:r(,ion.ry cI .. uJ<S, which ""'tlld 234 F.ld 5041 {lllh Cir. 20(0). A «lOniet _ ....,;Iy invoke ,h~ ..bil~' ry and ofin",""1 ha. ofIon b«n found wh.",

funding for a dis.obili~y plan com.. dif'<'Cdy from th. ClIffcn of rh .. roml"ny .. ~her~han ~hrough a ltuSl. Fo ••xampl•. if your claim is d.ni~ .nd th .. cI.im would oth.rwi .. br p.id oul of thr insu .. n« company'..... IS, a conflict of interest may br found. ~.., 1.«, 10 F.3d.t 1552 and Yochum, 234 f.3d at S46·47. In. ClIurfs analysis in applying this >llndanl of ~irw romm.".,.. with ..un.ining whether tbr plan docutnrn, has gnntM disneti<>n . s..:ondJy, . ,et'irw is ClInductrd to drt.nninr wh<'thO' Or not th. d«;,.;.,n ..... wrong. Ifth. ClIurl detrrmi"<$ that the d«ision was wrong, th.n th. COurt pro<r<d$lO d<lermine wheth.r the claimant has proposrd a "'a· .\On,bI. interpretation of the plan and. if so.th. ClIun will look at whotha the plan administrator', decision was r,.."nabl •. E>Yn if the decision w.os wrong but b.1S<1l on a ".."nabk interpret.tion, the adminislWO' is ,ntitlrd to dofe",n« . Tho p.rticipanl may yrt br . ucus<ful if it can br .hown th.1 the ", • • n.of arriving at tho decision was orbit"''Y and capricious. No.t, if th ... i. a ronflict of inl .... t, ,h. cou,t is uquiml to goug< the ",If inl" .. t of th. claim' admini!""or_ Jf conflict is found.thc burd.n 'hift' to ,h.

d.im. adminis">!or to pro>Y that it< intrrprtlation of the plan w., nol tainted by .. If inte,...". Th. claim, admini.",'or must show that its wrong but ,.a""nabl. in!<rpretati<>n of the pl.n br".fi" the d.ss of panicipants and bendici.. i<$. If the claims . dmini",..to, foils to show that its interpretation brndits thr plan then il is oot entitled to def~rtnC~. HCI. Urn/,n Svcs. ofGtJ., 240 EM at 994· 95,

3. The de novo standard of review A <h novo ",vi.w .ppli<$ when th~ .. is no ..... rvation of dioc.erion. Firmone, 4119 U.S. at llS. Th. coun will look 0"'" the daim deci.ion and drc"" for it .. lf whotha th~ participant i. disabled or not. A plan th .. fails under thi ••lInd"d of ,...virw, of cou,,,. ;,. m(I" favo.-.bk to a di..,bility d.im.n, und .. ERISA. The in.uroner company will not p,... .. il if it i. wrong but re.."n,ble. Under I",IIb the aroitrary and cap.i· cious and hcightrned arbil .. ry .nd capricious stand,rd$, th. niden« btfor~ ,'''' court will largely br limited to tho

facts known to ,h •• dmini"rator brfor. suit w.. fried, thr tnr.no of drciding thc claim and . ny con11ict of im ....t. &t, fm, 890 F.2d", 1140; Lu, 10 Eld.t 1547 and Shipp v. Provident Lif.. 4nd A«i<h~' In~ Co., 21 4 F- Supp_ 2d 124), 1246 (M,D. AI •. 2002). Und .. thl'S< .tan<lards of ~irw in tho Illh Cirruit, it may br 1"". .ibk to submit additional nidenu, how· ner, that may I• • d the court to rtm.tnd tho caoe to tho plan adminisl"'O' 10 f'<'Comid.r .nd take ""ion. 1m, 890 F.2d .t 1140 and Sh4nnon Y. 1"'* Ed.. ,d Co'P> III F.:J.d 208, 210 (11th Cit. 1997). Ho .... ""<, under. d. novo ~irw in the II th Circuit, th. ClIurl may comid.. f.ct, that wert not brfort the .dmin;'t"'to. 11 tho timoth. brnefit dotrrmin.tion w.. made. Kirwin.IO F.:J.d .t 789·90 .nd

Moen v. Amtri<4" Home Msur. Co.• 888 F,2d 86, 89 (11th Ci •. 1989).

B. What Is the Definition of

Disability? Th. definition of disability in. plan will invol"" th. inability to porform work for compon"'tion . Howner. thne i, no "."d.rd <It .W utory definition. A rl.n pro\'iding for an indi"idual who i,

di .. bl«l ",hm "" is no long.. obi. to ~rform ial duties of hi. own o<xup .. ion h... . much gre".r opportUni,y of mttting th. definition of dis.obili . ty as oppos«l to • pl.n that dtlin .. dis• bility . , being unable to ~rform .ny o<xup.,ion.

,h. """ ..

1. Full-time or part·time? Plan. al", v.ry in ,h.ir dtfinition of dis.obilityas .0 the amount of work one i. .bl. work in. "'ttl:. On. would natu· rally ....um. th .. an o<xup>lion would R'quire an individu.lto work at leasl eight hour,. day . nd 40 hour. p'" w..,k. Howtvtr. ",nit plan, .j>«ify that you ar. nol disabl«l if you .re .blt to work p.rt time or able to produce 0 . . tt.in low p,,,"n"g< of your income, Obviously, Ihi' "",t,." • g.... dt.J, "'p!'<i.Uy if .he ".n<lard of "";'-'" is arbitrary and copri. cio"" In f.ct, ",nle pl.ns h... betn inttrp«.cd by plan . dmini>1rators or in.u .... such that One would h.vt '0 be virtu.Uyon a d.athbed or in a com;. before Oot would n..... Ihe dtftnition of disability. n,. 11th C ircuit, how..... r, has f<own«l On inttrpr<ting . di$.:lbility plon '" narrowly. Hrlm. v. Mon"'nlO 0..• Inc" 728 F.2d 1416 (l11h Cir. 1984). No""'h.I ....,. plan tha, rd .... to an in.bility to work 40 hou .. ptr w..,k with "...,nable continuity i, p•.-(crr«l.

2. Own occupation, any occupation or both? Obviou"!y, the be>1 plan to h.vt i, an "own O,,,,ul"'lioo" pl.n. but thi, may coo' mo ... How.vt •. whm ..·.igh«lag.ainst th. down.ide of • pu .. "any occupation" pltn Or. pl.n that chang... from a n ' own o<xupalion- to an ".ny O<rul"'lion" dtfi· nition, i, maybe worth th. cost. 1'0. ",ample. if you be<ome disabkd from practicing law but could work .. a dn1: >c<uri,y guord watching vid ... moni,ors . nd ""'king phon. calls at night, you • hould .«<1.. dis.obilily und .. th. own oc'''pa'ion d.finition. How..... r, j( the

pl.n swi"h.. to "any oc,up .. ion· .(t •• a «rt.in tim. ptr;oo of disabili,y ,h.n tho ability to work as a d.sk ..-eurily guud would pre<lud. furlh.r di",bility ben ... fits. Whil •• hi, may be ..,,,,nable und • • tho pbn. you m ay not think.., if no job> exist in your ...a si""n you, limitation •. From in."rance company'. ptrlp!'<ti"".lnry a re not going.o ge. in ,he bu.;n... of finding a job for Ih. daiman,. While . number of issu .. may be liligat. N! in thls .i,,,,,,;';'n, in 'he mcantim. you ha"" nO income. Again, th. 001 cou~ is to know what pro-.-iding Or pur· ,ha.ing.

,h.

you."

3. Eliminetion Periods Disability d.finition. may also ha"" lime limitalion. befo .. bentfitl comm."" •. Moollong-I<rm disability polici .. do nol comme"". paying ben.fits un.il.n elimination ptTiod is "'ti.fiN!. 1'0. nompk .• pl.n may provide ,h., on. mus, be continoously disabkd for 180 doY' htfore disahility bentfits comm.n",. Do you, Or do your .mployees, ha"" o,h« mNns of .upport for ,]x month$. in the .""nl of disabilily? Th ... . re nO r<gua. 'ions ... ting how long tho dimin .. ion ptTiod nuy be. '" again. tha, is a con,raclual matt« which should be tak<n in'o account in ",,",,ting. disability poliry. <~rtain

4. UmHations on Benefits for Self·Reported CondHions and MentalJNervous Conditions U.ually . pl.n will pay bentfi" until r<lirtm.nt .g•. How<¥tr, many pion. impost' limita,ion of bent/i" if th. di •• .bility a,i... ou, of. ment.1 or n~rvou, condition Or ifth. dis.abling condi,ion ar ..... from ,,,If.rrportN! condi.ion •. n,. lime ptTiods may be unuluaUy .<hort. .u<h as for . 12 · Or 24' mon,h ,im. ptri· <><I. I'or exampl •• In individu.J who .uf· fe" from n,igraine h.adorh .., chronk fatigu. Iyndrom. Or fibromyalgi. may not hovt a t.. t .ueh a, an MRI Or X_ray

10 confinn Ih.ir condition or 1.....1 of

p.in." cloim odminisirator ""'y uS< tho ",If· reporting condilion claus< to dtny payment of tho claim pas, the .hort.nN! ben.fit pt.iod. This ,,,If·t<pOrting condition limita· tion may al", apptar in tM disability dd· inilion in tho form of an objectivt proof "'luirtm<n\. If Ihi. 'ppt'''' th. actual defini,ion of"objecti"'" .hould be do.ely ",amin«l. It maybe u.sed 10 d.ny th. cl>im compl<l.Jr Som. pl.n .dministra10." without rxp"" "objectivt"ltn · guag<, h."" betn known to inlt",r<t plans to mea n ,hat th ... must be an Xray. MRI or "'me form of di.gnootie , .., to supporting ' t".,ing phy>ician'. opinion on dis.obility. In oth.r word ... ptr· ",n.1 nomination by. t"aling phy>ician may nol be con.ider«l objecti"" ovi-

d."" •.

In tho 11th Circuit. if .h. objective ovi· d.nce r.qui"",.n, is not ",I forth in th. pion. th.n. pion odministrator may not be justifi«l in interp.-.:ting the plan'" as to "'lui .. such proof. Srt, Nig)"ingal., 41 F3d at 1484 citing Ht/m •. 728 F,2d ., 1420. In fact, a plan administralor', d..,i.ion has bttn found to be arbitrary and aprkiou, wh.n n .... r<qui .. men" for cow'"g< ar. ad<lcd to tho", .nUm.ral«l in Ih. plan. As on. an imagin •. disabling pain Can exiSt without an X-ray .upponing it. Courts h.... rffogni..d .hat pain, in a nd of it",lf. can be dis.obling <¥tn wh<n its exiStence ;s un<"I'P".tN! by objteli ... ovi· d.nco. Sa. lI'a/'/.n v. 5<hwtikt: •• 672 F.ld 835 (lith Cir. 1982). Whil.th. Sodal S<Curitye..... lcad th. way on Ihi. issu., tho I 11h Circuit h.. indie.t.d th .. Ih. body of l.w d ....lopod in ,onntetion with Social s<curity disabili.y .hould be inSlruClivt in =mining disability und .. ERISA. Hdms, 728 F.2d .. 1420·21, n6. E.. ry poMibl. d.finition of disability in a plan ""nnot be .xominN! h .... o. neither time nOr will . llow. n • importone< of clo<t!y nomining tho dof· inition of disability, howovtr, cannot be

'1"'"

...... rnnphasiud.

C. What Administrative Review Process Is Required? &ny pion .,."... d by ERISA is ""Iuiml U) mrft minimum ""I"i....,..nu U) p",..idora fuU and f.i. rt'VOtw ofa claim wilhin CC'r1~in limo fram<$. 29 U.s.C t 1m and 29 c. u . t 2560.~)·1. llowt"Wf, ~ 'r~ ".rio.ions in .Iv plans on .1>< marktl .. U) eIIo num,," 0( or fC'YicwJ pnmilud du"ng .Iv .dminis'r>"'" PfOCC$O.. This io impore.n' b«au .. prior '" li.is-'ion rom"", ...."" ,Iv .dmini..... i... P"""' mnu be ... hlol'od,o< i. mu" b< ohown .o M fu.ilc 10 orlu.us. tlv p rocou. l'rrriMo v. Soul""'" IkIi Tn.6- Tn, Co., 209 f.ld lJ.09 ( I Ilh el •. 2{)()0). Tho .. acluolly i. no Idn.inillroc"~ ••oncy ;nvol.od in d«iding .h. doim, bY! .. ell... h• • dmlnill,.ti~ proem .. f... to tM in."rance COlnl'.1IYI d<t .. minot;"n and .~ol wi.hin Ih. comp,tny '" moOn. ;"own ~rmina· tion. Whilelhil m.y IOUnd futile 0' unf.i •• whal h'j1pm1 durin! tho adminis· tr'l~ .. vlo:w, 0< doi"" P"""'" may Loy ,ho VOUndwod w r coure moOtw tl>< claim. This is~ 1"", if tho fUn· d",,1 of fC'Yitw iI orbilrary and apri. £iouI. TIl< doom'. pnxal Of adminilt .. · 1M fC'YOtw io one q( tho mosI important asp«cs tho cut Ind U>oukI IlOl bt dOt· mi...d as • nuo.ancc." pion wiell ""'" .... n """ .~.1 U>oukI bo Idee.od 00 that thttt io opportun;,y U) ~. aU needed informat;"n. Information proooid. N afin ahoWlion may bt njtctod from roruidoro.ion, tvm !hough II>< .. io authori.y wr i. '" bo <onsKKrtd. S«. Shiln""", III f.ld It 210. U...... 19 US.C S Ilj) and 29 CF.1l t B60.~3· 1, tl>< Low rf'quitn lbe plan 10 <ka.t" expLain ","ir", (Of dtny. ing. ,b'm. and it mu .. p,i ... lhe p,, ,,ici. I"'nl a righ' 10 a~.allh .. d«ioion. II :Wo mu.1 p.ovid< Mr a full and f. i. ..,.itw of tho cloim. While 0 pLon mUSt provide 01 Ie ... one .p~ol • • pion would Itill ho wit hin th. r~ul .. ion' ifit '''lui.od tWO .p~.II. " disobility

.ppeal.

d.,,,,

f._

288

IULY 100S

claimant may prria- 10 h.o~ only On< appeol 00 th.olll>< cdIou"ion ""lui..· "..."u .... , bo m<1 """" quiddy, and 10 ........ il may bt filed 1OOn<'r, if..-.y_ l>u.e U) tM foct th.ol il io ohm difficull 10 auembIe and prov;do medical evi· <lena in >hort timt periods. this wri, .. p~. pbn with mo .. th.on """ appeol 00 Ih.ollUfficimt timt may bt ~ .0 p...... t all <Iocu"""".lion ~ for an appropriote ..ror<! in tho tvmt that 111""....... m .... bo filed. TIl< rquJotioni roqu~ .~.als U) bo delmnincd within 45 doys, .nd tvm with .n ...kIlSion. a n oppnl mn .. be deddtd wiellin '!Odoyo. 29 C. f .1l S 2560.S03· 1. This is no! a ... b· S1an. ia] dtl.,. worthy of losing an oppo" tuni.y 10 mol .... II\( cLoim Or '0 provide. good N,il W. lilig.tlon. All .. litigat;"n i, filed, m. ny plan. oppose ony disco~ry ond w.nl to limit the .. ide"" to .he docum. nts it h., pl.ce<! in ill .dmini,. tr.ti ... roconi. Su. Sh'I'I'",d 0. ~'nlJ(h P"ur I/o!piral. Im:. •. T",,,dm)1U. Co., 32 f.)d 120 (41h Cir. 1m). f.~.n though diKOVOf}' m ay not be 10 IimilN (_. Shipp. 214 F. Sopp. 2d a t 1246). il is wo.thwhilt 10 h.... . mple lim. 10 submit tJll>f«$$Oty ... ppore;"" infomullion.

D. Is There a Setoff Against the Disability Benefit? Mony disobilily plans proridt a ... off for ...,rker'. compmsatiort bendlts. Social 5«1ority btndits. pension bendlu and various oth..- kKmf of bendlu. It is impo<unl .0 undtrstlnd the sno/Js applicable bcI'oK pu.. h.os.int. disability pbn b«a_ bendl" may....,. wdI be rod""", U) • minimum benefiL for DOImplt,lawyn j.n< ~ be<:ame diublcd (rom Nck injut;'" ,ufftJod a$ &be w ... lugins SO pounds of Iiln to «>urI. "fter wail in! ... months 10 satisfy tho dimi ... ,ion ~riod, and .nother 90 day$ (or dtcision malrin ...... obt.ined di .. bilily bt .... fi1l of $4.0(1(1 p" monlh . Sh. IolU obtoinod wo,iurs' com~ru.t· lion bonofi" .hal wore 'pproxim".ly $1.600 ~r l'I\(mlh. Th ... bonefits ...... rod""'" b«au ... , h. r"o;"w disobi!,ty

from J.... omplorer. a$ ol~ under II>< Low ... -off proYisioru. Ma. C>dt S 25·5-51(c) ( 1915). She Lot .. applled lOt Soci.ol Securily benefits as wrlI, and oft .. 12 monlbs. r«eivod Nck benefiu '" SI,800 pn monell. ,urti", f...., mon,'" .Ii.. "" diAbility «>mmmcN. 1I0te

...... ', disability arritt Itarned .... tlhe obcoinod -.ken' """"f'Ml"l"'" ben<fiU

.nd, 0( courx, w.anud its money bKlr. und..- ....... . off and n:imburxmmt pr0visions of ill< pbn. In ill< MUff. tl'lll plan wiD on/y ~ 0 B"'.tIy m1uctd """",nt .Ii... ~ all prior """JMYTn<1lt .. TIl< w.:>rk<n' rompmsa1lo» ca"lu rtfwc<l II, ....-.01...", iU p.oyrn<n' in lisllt of tl'lll now lower diW>.ility I"'ym.nt Th. co ..... lh.n inquired OSlO wh<ther J.ne Doe hod Social Sr.:urity bonefi" and lrarncd that a rur .nd a h.lf .ft.. I..... Doe hod b«n roceivinglong. lcm' di •. .bility bonolill, , ho ob"'ne<! o lump jum of p.ast Social Sr.:urity t>cnefi, .. Th .... benmt .. 100. I .. offICI againlt the di .. bil • ity bonefit, os will (utu .. benmt .. I.... Dot'llOn 0110 rocei....d dej.. ndmt'. Soci.ol Secu,ity disobility benmt. of $900 pn monell. which are abo IC1 off. Tho 10101 amount ofSociol Sec",;,y benefil r«eivod, wilh "" IOn', ~ment. and tho Wl)<k",'

<:iOD>f""IIO'ion oIJset now

<:X.Cftds jane', disabmty btJ>cfj" M a .....,It, tho minimum benefi. provUio ... UI ,t.. pI.an .... octivaud and J.... Doe io ....... cntitle<110 $100 pn month lOr J.... long· •..", disobility benefll. Now tho arpun<n' for incrtuinltho .....u.-,. rom.,......;.", benefll is....,. """''' but thttt io no (\t•• eoso 10... ~ U) oUow ell ... J.... ~ p;oid dis>billty p ... miu"" fOr ynrs on/y to h.~ it hun her worktn' rompen ...ioI\ beneflll and 10 ....... t...tly only rem ... $100 pn month. .Ii.. tho Social 5«1ori'y btneIiu .... ... off and oil .. ..aivin, no btneIill for many montlu to ,""oy overp.oymtnt. J.... iI IlOl h.ppy, U) 50y the "'UI. Ag.lin, I ..... " much diversity in pI.lns .. to wh ..... 01U a .. pmninod agoin .. III< Iong.1<nn disobililY btndit. Th" should be enmintd Vt1)' carefully In Of\k, to . mid pun:h"in3 illlllOry covt ••gt. Setoff, are contra(tw] no! ... tUlory. Ind ,K>1 III

plans hovt tM.....". SdOIb. For <'Urnpl •. dep<n""nt Soci.1 St<urity btndit .. toffs a~ .h.. nt in ""ny plans. However. many polic;" .nd plans do requi .... a daimont to fiI. fo r Social Stalrity di50bility or btnt· fits will bt reductd by Ih. "'lim'IN amOUnt ofSociil S«urity_

E. Is There a Contractual Limitation As to When Suit May Be Filed? ERIS ... d.,.s not provid<" ,t.tut, of limit .. ;'::m~ for b<nriit d aim,"" it borrows the Al,bama oix,l"'"' limitations for b~ach of contract claim if the plan i, provid«l in tht Stole of AJ.b..m •. O>d. S 6-2-34 and Harri",~ v. Digital Hta/th pJ"". 183 F.3d 1235 (11th Cir. 1999). Howc-ver, the pl.n may"" a much short.r limit01ion of >Ction tim. period. In the 11th Circui' a limit.'ion of..aion provision of 90 d . ys was upheld in ronn<elion with" ht.lth btnclil plan. North/au /Ugicnal Mtdiml emttr >'.

""a.

WaJJlt HoOlSt S)"Ut'" Emplayu Btrttfit

Pb:t", 160 F,3d no I (I Ilh Cir. 19118). While it may not tak< thOllons to prepare. lawsuit in ERISA litigation. rounsel will want to obt.in • compl ... copy of the admin;"trativt record btfor. filing .uil. Th. fin.1 copy of tht administrativt o«ord, of cou .... will not exist until th.r. i. fin.1 d.ni.1 and .11 .dmin;"rati"" ~medits h.vt bttn txh.usted. Whilethr pl.n administrator o rdinarily ,hould produ« .uch documentation promptly, .. rC<juired by "1Iulation. ond the OWu". 29 U.s.c. S [1l2 .nd 29 C.F. R. S 2S60501-[ (h)(2) .• uch m.y not alw.ys b< the ........ n un~a..,n.bly .non limitation of >c' ion period may b< a de"i· mont to conducting. compl"e revirw of the file b<fo ..... uit is filed.

F. How Often Is the

Provider of Disability Benefits In Litigation? T.king jusl • frw minut.. to conduc' a .impk insuranu company name ... reh

"'' ' ' ronic

with your Jcogal ....... rch provides- can rasily ""'.nni". til< number of .... ported Ca$tS. With PAC£R .nd court, """ding casrs Ih.t may nevtr bt reported may a40 reve.ol mo.... valu. bl. inform31ion. i\dditionally.' call to d>< State Dep.1mnent oflnsur.tnC< and 'hr Dep.1rtm.m of Labor may yi<-ld further infonnotion. In purch .. ing disability i",uronu. the fnqut"'Y of litig&tion cer· tainly should bt taktn into account. A >imple cbrek i. prudent for tmploytrs who h. "" fiduciary obligations in ..ltcting • providrr.... weU ... for your '>Wn benefit.

Policies

Outside of ERISA ... disability policy purch""d .put from your employer, o f course, is not going to b< governed by ERIS .... Nelth .. are govemmnual plans. .. d.fined by 29 U.S,C, S 1003(32). or church pl.n. 0$ drfined in 29 U.S.c. S 1003(33). Such plano are governed by " ... l.ow le.ving the us .. ol .. medi .. ofb ....h of cont.-.<I, b.d faith or, perh.!'S> fraud.

Conclusion Tho district court judge In LoII'. J.ibmy l.ifo .....u"''''., 337 F. Supp. 2nd 990, 99[ (W.o. Mich. 20(4) gave. <clorfuJ warning ... to • disability plan to .""ide OIvtm Emptor! This co...1Itsl< to • promi .. bought and "promi.. broktn. Tht ... nd,>r of disability in,uranu now leU. U'. wi,h ",me ~ .upport furni,hed by th. United St3t .. Sup~m< Court. that • wom.n ""t.rmined disabled by th' Social Security Administration btau.. of multiple disabili'i .. which p .... v.nt any kind of work. connot b< paid On 'he disability

in.ur. nu she purchased through her ernploymtnt. Th' plan and in,ura"« language did no' say. bu t th' world should nut iu, t h. t when you buy in.u ranct lik< this you . .... purchasing an invitotion to a logal rit ual in which you wj]] bt perfunctorily ... m ined by expert physicia", who .. ob;.ctiw it i, to find you not di50bled. you will b< det.nnined nO! disabled by the inIU .."« company p riMipaUy becaU$< of th. opinion, of th • unfriendly ..""" ••• nd you will be d.ni.d b<ndits,

Th. court cu"eluded, -i\lthough this Coun "1Iularly uphold, cJ.im ""'.. minotiom under th, '.rbitrary .nd Cipri. cioui ,,""<lard. in this co .. tho cJ.im .dministration was p .... ci.dy Ihat." Id, at 996, Th. cOurt granted th. plaintiff's motion for entry of judgment and ""nied the drkndant'. mot;on .• nd funher g''''' le.vt for th. pl.intiff to otd< .nornqls fus and co"" Th ..... was I.ltr .. n ltd and th. opinion vacated. However, the point rem.i", that i, is belter 10 .vuid • plan Ihat....,.ves all diocre1ion th. n to 10k< a chan« . t p.... vailing in the procrs<, Unnp«Ied 1UrpTis<s h un mu .... whrn tragedy 11rikes, A cJo.e tnmin. t;on of a di50bility pI. n ""ould red"", tht numbtt ohurpri!ts and...ru, in providing tit< best di50bility pI.n fOr you and your employYou can a40 .....t more IWw-ed thaI you h.t"" .tltmpled to fulfdl .ny fid uci. ry dut;.s n-lattd to ..k<;ting disability in.ur· an« for j'OUt staff. If mou rn>pk>yen cJo.e1y examined their disability pLtns and .....de .ppropri. te choices. perh.ps mark<t fot«s would makr <enain plan prrw;'ions

.----,. .. . . _r- c -. - ,........ O..iII P. """"

TI" ALABAMA

tA"YfR

Does It Exist Any Longer? And Does It Matter?

. . ,. ." . .

Om fum ~uohom:! two) oniodoo fOr Tho Alab<t_ ~ ~;ns Iht """'f lido of duo actions and taking invmlory ollht ~ ~I$ and Iypa of _II lCliono.' Sin« thai time, m. I&ndocopo: has dnsIic:aIIy cIwIg<d. mdud"" twO an>tDdn>nIl$ t(I FItCP (1999 and 2OO}),. w... anion rri>nn bill po.soed by tht AIoIwna Irpd.oturr. iIJa c..dt S f>.S.fioIO t/ Wtj-. and muc.h """" in.. . . mtirw by tho Alalwno Ippd"t~ couru.. 5e¥er.tI wcdu. .... 11K Landsape wnJOd again with thor ~ ol .Iw(lauAnioo" Fain>t$SNt ol200S (lht"lOO5 An") by ~ ainu. I<> IUmmariu II.. currml Alaba .... low on CC11,ficalion of class oction .. .... m~ til. 200S An Ind highlight tht dun"" linu 1m. l:ltspit. ~ (hlng<$. Ihm: .."",ins on OPI'"",",," role for Alabama d . .. oction .. Inti lh. ",.jorily of Itgal " .nd.nli .. nuin thu.•mt", in {«l<ra! roU!'U Ind .. in the 1994anic:its.

nu.

.,tid<

''''

AIA~A""

I '~l"

Th~ number .nd ... ull of das. action .ppdl.t~ de<i,ions in Alabama is .triking from 1997 '0 ,he pr<><n'... ooml"mil0 ,I>< prtviou. (wry roughly .pcUing. from 1997 to the p .... nt. tho de<ision. aro 39-to-.ix >.g:Iin>l dass actions. and. from 1990 10 1996, .ix-to-four for d.... action.). Tho kgal ,.."'n' for Ihi. ~ull appear 10 b< 10 c~n1OrtbviousJy ;II>C<Urote clas.< c<TIiflC.llon orders by th. trw <ourl; att<'TIlpu to for", mion. into tho man<l.:ttory d ... of A.R.C.P. 23(b)(2) that clearly do no' fit; an unwillingn .... of the Alab.m • • ppclla .. courts to .Uow th. "bifu rcolion" of complex aclion. 10 addm.s th. prrdominanc< wuos; 11Id 0 much morr rigorous ,.-iew of ",nificotion ord ... on appe.1 (esp«,.Uy those orde .. which a~ar to defer diffkult management i,..ues until 10,.. in th.litig.tion).

l"'""

Summary of Federal Changes 1'1>< CI ... Action F.ir ..... Act of 2005 makr$ tWO typn of changes 10 f«leraillw: it .ub".nlially broadon, f«l.e-rat jurisdiction (both origin.l.nd .. moval) for cia .. ""tion" .nd it heighten. SC1\l,iny of class aClion .... ticm.nu (including a"orner f_l. ThtSt "t!km.nt i,..uos ar. <0>=«1 bridly in an endnot.. It i, only dfmi", for MWIy f~«I CIMS. Tho 2005 Act ..ublkh .. original jurisdiction "".,. .ny clas.< .ction if lhe maU.,. in controvt"y .""".... 55 million, exclusivt of <0<1$ and in1CK$t. and if minimal dive"ily nis.. (th .. is, .ny class mnnber is I cilittn of. "al. diffntnl from any d.fen_ <l.:tnll. Damages I .. awegot«l 10 """,,,mine if tho $5 million ;" met. A District Coun may, in il' discmion, <keIine 10 exercise jurisdiction in .uch a class aclion if the "primary defend.nt." a", citiuns of the .1310 in whkh tM .ction was m«l, and between ono-Ihird and rwo-thirdsoflh. momb< .. ofth. p~ plaintiff cI"" a .. at.., cit""n. of 'Dch .tat< (m",' <keIillO if it .~ t""'_thirds).' Th". arc list«l ucotp1ions to .uch jurisdiclion, such IS primary d,fon<l.:tnts that a .. stat ... "." official< 0' othe, govtmm~nl.ntiri ... plaintiff classes I... th.n 100, securities d.im" ond .tat. low claims involving in"m.1 corporote aff.i", Rmloval is con,istcnl wilh thtSt origin.1 jurisdiction provi,ion •. Furth". a class action may bot rernovt<110 f«l''''' court whrth .. 0' nol .ny dof.n<l.:tnt i. a cilizen of the ,t.tt in which tl>< action i. brought, and may be .. moved by any dtfon<l.:tnt withoutlhe con .... t of atl drfondants. Remand o,do" ... appeal.ble (but th .... Ol. discretionary appeal' with very .hort 290

lilLY lOOS

rime dt.dtin<$ making th<'TIl unliMIy to be frequently uMdl. How ..... r.lhc multid;"tnct lilig>1;on transfer prucedurr, 28 U.S.c. S 1407. i. not .vailabl, to the.. aclion •. The 2005 Acl .tso applies 10 "m... action,' (Ovtr 100 pI.intiffsl. ThtSt provi.ion. all' dr.unatk ntcn,ion, of f«l,rol cou" jurisdiction, bul will not likcly .ffecl Abbam> du, action. WM .. the majorilY of d ... mnnbe" a.. from hl.bama- unl ... th ... i. no 'primary" d.f.n<l.:tn, or nO d<f.n<l.:tnt from whom ".ignificonl .. ~,f" is ..,ught from ALtbam •. On, pouible offect tn.1y be tM minS of new ...... in cou",hal con«iv:tbly migh' n'" ha"" be<n f~«l in 'he Sta,< of Alobama,

fed.""

General Background On Alabama Classes 0"" actions in Alabama a'" brough' undt, Rule of Civil Proe«lUIl' 23. which is idmticol 10 p..-I999 F,R-C.P. II (even aflr. chanses to F,R-C.P. n . Iho Alab.tm. court. conlinue 10 "at. that f""" ..1 de<;'ion< .", persu";"" .uthorny). Th~ cl ... rnu" meet Ih. requi .. ments of Ala. R. Civ. P- 23(.) ~"d m.... l fit with_ in one of the typos of <Ius action. $CI fonh in Al •. R. eiy. P. 23(bl. E""n then, cntificotion of. class rtm.in. within tho di,cre1ion of th' trial judge "on.. coruridering p,..cticolily and ,nanag•• bility of lhe lilig.tion." The new Al. boma d . .. IClion "",ut. (e<hoing "pea'ed feder.J de<ision. and...cent ALtb.tma de<i.ion.) insi.ts that cluOt$ may bot ctrtif>td only .ft... -rigorous analysis'- AI .U limes il is tho pl.intiff, burden 10 prove tho eltt""n" of Rule n.' A das.o of dofen<l.:tnts may .Iso b< ctnifi«l (appa.r<ntly in very norrow cirruJIl$tancnl. Sobel....,. may bot C... I«I to h.ndlo conflicts or individwJiud ;"ues, bUlcach .ub<l... mu" ind.pendtntly meet .n of lhe requ;re=nts for a dIS$. Wh<!hrr • class COn be cntifi«l ,hQuld be dttermin«l ".. soon •• prMIjra_ Irk afi« the commonC<'TIlont of Ihe aclion' (nore Ih~ do.dli~n in the ''''''' Alabama "",uto and th. diff,,,,n,,,, from Ih~ "'Ording of .m.nd«l F.R.c.P. 23). I\«a"" of the provisional nature of • class ctrtiflCltlon. ,uch a ruling con be <hanged throughout the cou"" of tho pro<:«<ling. Th' court may aI<o make o,do" IS may be nro:ssary 10 .mid unduo "p<1ition and complicolion in p....,nlation of 'rgum..,,,, or evidonct, allowing molding of tho litigation. Once certifi«l, a d .... "",ion may not b< di,mi....d 0' compromised withoUI tho app"""t of the coun.'

The 23(a) Requirements Tbt lOur ,~uimnmc. of Ala. R. CiY. P. 23{a) "It' n~ly, commonali.y. typial~y and adoqI...:y 01 ~!>Iion. Recent ALab..""" oo.a ...... rarrly IOwoo<I on any oIlh<K mpIimncnlS OS dtcili .... WIth the OOfllttimt .-p:ion bc;",~. In sum. cheK t:lnnfnu ttl'"

mo .... dtl.ikd opinions Iool: more broodly a nd COII\i<Irr, among olh<. things, indiyidu.liud <kf<1I~ lIlat [I);IY nisI ag;oinn tho rq> ...."lali .... ," whether "'Iain indiYidual~ wun will !'CUi... inordin.t. oltcnt;on (<ichor (0' tho ..p...."IO!' ... '. ,"'im or II>< <boI' claim)." and lh< ql>tSlion of whoth.,. the .. p~. will "" .1Ik to establish lhe bulk of tilt c\:w' cLtim through hi. own claim."

",ivt

Finally. ullda Rult 23b) •• daM ~talivt

oIkn rri....nlto ..

mu<t ........ :od.tqwcy. A cWo rtprn<1lIlIM aClS

in a/iduciary ..... , and thnrlon.1ho coun

wm .,....,jllt 1M rqlreIoftIwM- to

The Class Action

Fairness Act of 2005 makes

du.ngtd.ny linl< ....... d~ wI

hvo types of changes to

Lmyt....

Th. num.rosily dtment is ",.Iu.lty ""...,.. <1«111,.. rae_ WI', ~'«knllow tu$ &Cn. ~.Uy hek! 'hoI ira <lui .."moo i.

., kOSI SO, n"",.rooity is mtI. Tht (ow AWM",. ~ rtjoKl ' ;"11 nurneroloity ..... proIWIIy bo:1l<T on.oIy>rd os an in>bility 10 idtntify cWo .... mbo .. (~

federal law: it substantially broadens federal jurisdiction

• (b)(3) ~).'

Tho pWnufl' m......... o.how thcr. .",common qutOIlON offac, ........ tid ....... all mtmbm oIlht dal$. ~

ha",

for class actio ns, and it heightens scrutiny of class action settlements.

cases n~1y fOund .his foelor dccilive;>robably beo.u~ it is. much lower hurdle .h.. lht predomin.",. f..l .... diKowed below.nd beaus< the court. h<ov.- fOuo\d .hl! thil r..,,,, blUr< with typicali.y.' The co ... ~jtctins cen'fOCl,;"n on this buj. are probably bes. unden.ood at prcdomin.ance CIKS.' TIlt trial court. h......... r. m..... lpt'<ifJCaIIy idenl ify tM common i.>$ues of fact .nd law .0 Iidi". the d ... (.... cllSStS), TIlt duo tqlrfl<"n,'''''·' claim m ..... also be typical ol'M duo d&i..... TIlt COIKepI is diffem><:eo ~ the dums ol It>< oq>rnnt!.U .... and , ....... of ........ members 01 It>< cWs will openl< W .he detrimrnt 01 cIa.u members. Uk< """'"""'1 and common.>lity, this &cto.. ha$ nrely been ~ ill Aaham.a dtcisions. """""ime> bI .... typicality WIth !he ""IDir<mnI' n.amed plaintiff be an adequate ...-prcsmta· ,;..., of'M .LuI. to Al.hough .on", C>OCS, in determining ,ypicaJily• • pptar 10 focw m,imy ul"''' wh(1hcr". pl.in.iffld... rep.....,.,.'i~·' injury";"" (ront or is diuc.ly .-dOled '0 • wrong 10 a cia .. and tha, wrung to) ,h. elm ineJudc$,h. wrong to th. pl.in,ilT;".""

.... liI< d"" I"fOUOI rigbt. of Iht obotnl d ... mtmbcn"1t' proIoo-

m.If It.. class ~ ..t;"" lacks l ufficifrtt knowINgt of lht facts or eL.i ..... ha$ inlm:Sto adverso 01' potentwly ><I ....... to tM cI ... or iu meddle, 0, in'''-_ 101'"" the court may deny daIS Cfftificati(ln. TIlt ".,.,.t important .naly-

'"" in O<kquacy is ..hell>..theft is • conftin ol in1<n'$l (fWn. po"·,,,i.oI ronHin). 1" a Ur dtciJion. tht UnilOd Slates Supnmo: Court odded co,..;.s.,.· abIo emp/wlI; I(> this crittria. nptcioIIr in ~lIim"'nt cWsn, and

....ptwiu<llht ",,"titu.ionoI :o.sporu or this ~imnm!. In A",,1Irm I'rf>JIICtS, Inc.

" 1\fi.wo..,521 U.S. 591 (1997), 'M Court COlI· a maWvt Rul. nibIl )) dm ",' ion. oettling """lOIory "I.inu for p..-lOrW injury .... im. a numbe, of I$besIOS manuf.tctur...... Dnpitt In incrediMy d... iled trial court finding and record. Ihe Coun ~i«led the K1tltmtnt. fronted

,ha.

eou".

,ha,.""

Uul'1CI d,..{ q...u ptDjtn ,....., ic~ pawe1J""" fiutmg i.pr.uimu... '11'. 6t;"g 1M n".. 10 Jl>dr".lf.,..!

J{tfpi.r,J

cau

hoIdi". th.1I «rtif.ations dKi<ioru .r~ ,ubjtcl to ,"" .. ',... kvtl of ..,-utiny ....... if they .~ 'M product of I .. nkmtn! (although the portic:ul .. (octor> comid<rtd may differ), and p<.>lcn'W «m Oin. of ;n....,1 among the d ... mull ~ (oJ\sid..~ \'try co.rd'ully. t$pt'Ci.al.Iy whln 1M stltlrn>rnl involm po •• so... ",110 ""Y IlOl rnIiu that IMy ... class "'...nbt .... OeM.. dccUlo"" hoyt likewioc scrutiniled poosiblo wnllicu of intemlloo h;wt- rol'lSidtm:l ~ cmain class membm mq ""'"' btncfitt<l from tho aIItF<

may wish 10 ovoid bea ..... of II..

dl'ect upon him>clO." AnotiIn" ~ Uwe (and

01. clut <q>m<n ... tiv< w pltad oil (bUm r.on har thrir

class actions: co mmo n

brough • • v;nSt" municip. li,y 10 innlidatt or modify 0 bond ;!-Sue or ...... RI.nl ... 1"M AI.b ...... Supr.m.

Court Iw now .pp;t ..... dy ogt"ffd with ,n..I'Jewn,h Circui, and hdd that crnifiao_ tion 1'0, Rwdl(b)( I )(A) cas<S is limilod 10 CIJCS scd<i"" ;njuncr_ and deda",,""Y relief.A RuI< t1(b)( l)eB) da.netion ,.iIa tN, the adjudication migtI. to. injuriow .0 the eon.m .ionJ of Other indivlduili. ~.ia1 dJKl or OIlftr dfflM is not sufficitnt. bullht prtjOOior n«d nol bot as dtvutating as I dtfmK of ... j"dk~'«." Acwrding 10 the ooteo to Ihe Federal Rults. on enmple of Ihis type of class aalon is " suit by loh.rthokkn 10 (()JR~lo dividend Or T«Ogniu pnormplM rigllu. 0' an aclion by .n lndenlure trusl .. 1<1 protKl lht hoIdtrs of st<"t>ri.1ts. U Rule 23(b)( I )( B) d ...... can bot ....... as a type of an interple. . action.. lhat is. whtrt thffl is • limit"! fundor" ~ ot;r<. and """nyd.oirnmu.'" RuIt ZJ(b}( I)(B) is not ~. usually. lor m.w tOfu. Th< Itadios CIS< on Rult

questio ns p redom inate, and

,.. jwlicto,,, boo for limn, da>o

the class actio n is superio r to other methods.

mtn>b< .... ~&nkP. l-,lOIM Wllll3%it 0' "'(Ala. ...... 10. 20(4) (limiting Ex,..~ IMsdI Corp<>nr';"". 703 So. 2d 9S3 (Ala. 199'7»."

The Three Class

Types rn.putts ....... wkethn actions ull!.6td ant of the- Rult ll(b) cotcFria II» fudod a1moo1 all of the recent ......m.... Supmno< Court d.us act;';'N<kcilloN. Ruk ll(b)el) actions (.......t.tooy. no DOl;"') a~ wry "',. (only ..... dw-dtri$ion ~B' [bl( I J action in 1M WI trn yars in AUbama). !lui< ll(b)( I ) actually ostablUbcs two somtWhat unrtbtrd typn of class KIm. Tho first is Rule ll(b)( 1)(10.) "tlich esI:ablisba • d.aoo; fer the bennit of the dri.oo.nt ~ 't~ is rilJr. of ineon· .u'.n' reswtJ It,";ng the puty <:>ppo$ing th. claso in • qu.ondary as 10 how he should govern himsdf. ..'" Moot decisions hold ,Nt if lULl HO!

Rw.

_Id "" "'hn< .n aa;,;,n ..

lists two requi rements fo r

.o.q...cy. bou normally only whcft.urn railu", misJlt emote.

292

no,

Rule 23(b)(3)

!,<rhlps rthle<llo 1M conllict ...... ) is whctMr 1M d ... l'Cflo

rucmotivt h.. ( houn 10 i&"o"" 'cr,oin pouiblc <laims. Roundy. th. Abbarn. Supmnc: Court darif...J this iA....nd bdd thai the f.ilu ••

,he 1I>rtatr~ ;n<mU;,,1n>Cf is 1M ~ibility of Nving '0 ply mon~ ,un .. g.. to one and anolh.r. H(b)(I)(A) is nOl m~. In .... d. the courtland (Ommen" ' o .. ulu.Uy lSSum" th.t ll(b)(l }(A) dalo$<S .rt only "pprop,i... when th. defen,unl will truly "" in I ·conOic'.ro posilion" (i .•.• wh.n differ<11t mulls would im""ir 11.. d<r.nd~m·l.bill.y to purs .... a uni_ fOrm. wn.inuing ,,,un. of cond...,;t)." ",. ,l&uic cumpl. of. Ruk lJ(b)(lI(A) class action '- wh..,uuit '-!>routh1 against • ,i""rian up-ri~ landowner by I down·river owner. aJ it would to. chaotic to pnm;' vIDous indio ridu.al Uwluil1 by difl"ermt down-river Landowners. Ruk n(bj( I j(A) aaions .rt 0PI""'I"";"t........... dd"<t>di"l ""rt ..... y bot "obIi&t<I by law' to 1f.... all JimiLarly. An txamplt

t1(b)( I )(8)

,-anu~. Fi~nlCA<p..521

U.s.'lS (1999)

wheee the SupRmt' Coun rtjKled RuIt ZJ(b)(1 )(B) in on a$b.stoo das$ ""ion ~ upon lht 1htory or. "limited fund.holding that for sud! • cntiIiCItJon 1<> be appropria~. thtrt must bot ",bmn.ial ~idtnce oflht limitation of thor fund .00 thaI the Umitation oflht fund is indepmd<nl o f lht "fr'«I"O"t of thor I'"nlts. Atabo. .... cases lil:twioc ha"" been ....,. Stria in r<"quiring sub.,.mi.al.-vidt~ of the limiut;,;,n or 'hf fund .nd h.r.rring tht II><' of (b)O HB) b;u<d upon lhe theory lhot Ih. amounl of puni . liVf dom.g<S av:oit.bk is limilod."

Rule 23(b)(2) Rule n(b)(l) .1I0Wl for man .... 'o'1. n"·T>OI~ dal$C$ wh(rt 'M 1'... y """,,",,8 the <Watt 1<1«1 or rtfu.t<l to OCI on srounds gonera1ly Il'f'Iicabk 1<1 It.. tLuo, .htreby making appropriat. lin:.d injun(ln.. rflid or • ~I\dins <ItcWoolOry rrlid with '"ptrt 10 tIw d..,. ... whol<. This type oJ tWo __ ~ primorily 10 Iw>dlt COIU,iI..,ionaI and civil righu ......... nd h.M ..... bom mmsiwIy ustd .g.a.ins> ~ uniu.. for trrtiroo ....... tol daitnf and b cI.oims. .. If tht prnlominanl ",li<l JOd$ht is damagft. tht class IhoWd "'" bt cnti(1td under R..... 13(b)(2). Det<rmining 1M predominln, relief hI. bcm I mojo. dupuI • .,..... 1M wI ton ""In in Ala""'"",. and it Ita, b«n ~'''r Odtkd by odopting 'M 8O"fTI'ins f«klll law on how In dtt.rmiM who" injunctiw "lid 1'«<lo",ino'«' Ccw'J"'" 8aut v. Snow, an So. 2d 667.678 (Ala. lool) ( ....... I'$tl (b)(2) .ertir""'ion; adopts AI/non Y. Cit", Pmokum O1ll"",I,ion, 151 F.3d 402. 414-415 (5th Cif. 1998) and holding''''' i"ddtn,oI o;L..ml8" unde, the .til;"'" (.01ot art

1"'''''

,.Sot

only t~ fIowin, dir('(1ly from I dtfrndan", liability 10 ,""

class:u I whol, Ind do not oxisI ... he •• I calculation of dam · ages wouJd ..quirt individuoliu'd delmnin.tionsl. In fOCI,.,... Abbo .... Suprtrnt caIItd into'lue$llon wf>t1hn • (b )(l) dass could nn .ward any rnonq' oWna~ of any kind (but did no! .booIuldy foreclose the pouibility).

m:m,

eo..n '-

Rule 23(b)(3) 1~ .inglt mo.l impon.,,1 '....,n th.t """I d ... letion. f.il in AlIN"" iI thol t~ a ... fort«! 10 ..... ' Rule B(b)(3) . tId C.lImot. Rule n(b)Ul iI prin ... rily a damagc1l d...... allowing opl out .nd ~uirinB notiu. Couns ho~ coMi<ltml thil type of cbss to be leu cohaiw thon (b )Ul and (b)O) duoa and ~ IOund that tbe ItaJ(lR$IOr cw. cntificalioon undtr (b)(l) .... leu cornpdU,,« flWln tho '""""" lOr emilia.ion undtr (b )( I) and (b)(l). n.. su.nd.onk lOr emilia,;"" ar~ contidtnblr rno<t >lri...", undtrlWk ll(b)('J. RuI< nIbIl') IiIU two ~uimnmu for duo IClionI: com· mon quntioolU pmlominat., and the cbss action is supnio< to DlMr melhods. It al.., 100 four focton (not int<n<l«:l to be o:m.uotiw) ' 0 be .naJyud: indi..;dual int ..... in "",troUin,liti. galioon. othor ongoing litigalion, dcoirobmly of concenlraling lit · igatioo" in thi. forum and tltt man'go.bUity of tho pOIOnti", cw. aclion. ALaN"" rourts of"" lnilyu tho m.nIS.lbility fac· lor Ind ,uj><riootity ,<'quir..... nt. t<>geth.,. with pred<>min.n«."

Moo, r=nt AbNmo cases focul on tho pudominl"'" ""'Iui' <m<nt.l'hno <IXI mike ekar Ihll tho predamin.n", ...qui""""nt iI"fa. mo ... dem.ndin," thon t ho common. li,y ...qui'<mtnt of Rult 2)(1)(2) .nd tlul it is not ,uff,,;'nt thll 10m< common q...mon, ",e .. ly aist.'" n.. court hu "",nlly written ,ho, ,he pudomi ... ""e rcqu;rtmnlt·, .... wheti><T pmf"l"'d duoa Irt sufficiomtly co/>(Jiw to w.....n. odjudintiooD by rtp1'ft<Tltation." and that in maJUna .his dc1nmina.ion "courts <umi ... the submntiw .... Ipplicable 'D tho do ...... nd deter· mi... whethrr the pWnlifJ> punuinl5Ufficinll prool du., com· mon quntions of Law 01 'oct pndorruna~ ow:< individual doims.""n.. coun has aUo aplaintd: . ...... ~ hrid du.t the no«ssity of individualized tcslimony from nch cWo mernt.... to pn:wo on 0U<n,ia( <lerner" 0( tho caust of actioon dtk... da.. certifica60n."'" Pnhol" tht !Jtarpnt rtoctioon of tht AlaNn .. SUprt .... Court hIS hem '0 fraud and .upprt<Sion ell;"" (ItId ,h •• nalytinlly ,imil.. brnch of liducilry duty dlim,). Whil. th.rt l'<1IUin, 0... oWer All b. "" caK affirmi ng a dou certiflCillion of I froud Cl5t, "'1 ...:"'" AUho .... d«ision. h.w sq""rtly rtj«!ed .uch a da .. certif.... lions. So .... of .bn< <!o<uioonl ho~ go ... .., far IS 10 "'gaI,,,"t thert could ncvn M I fr.u.! cI... C<Tlified and othm ho", left • vny narrow thoomial pouibility." These cItcis.ioru mal:r dto.- tho, if thtrt .... hem • ""nrty of rtp1'ft<Tl_ tatioo", (or I ""ri<ty of personal IIIl<roctions M", •• n the da.. and dlffertnt individualJ)•• certification it virtually Impo••:ibk. Ewn ifthtrt .... hem. sundonl tepttwn ...ion byont$Jl<"ilir (o.udI u. wrill<1l tq>,..,...,ulion). the II<'ed to prow indMdual rtli&nce appnrs to prohibit dou cntificooioa (u can hr, in dif· fermt a..... wt.ethe, ,hen is. dUly. wt.ether tho ... tu~ oflimi· has run bea .... 0( 101<1' ;nfonnotioon, atld wheti><T ,he ,di&nu is ,,,uonlble hoS<'d upon what the daos mnnbt. knew)," Corupirocy claim. haw failed fo, the JIm. rtlSOno." In ft'P.. tedly rt;.aing delfly in.ppropril.e froud d a.. certifi· Cltio .... ,h. AI.N ..... Suprtn .. COu" .... also rtjee.ed the tool of "bifurration" (II won .. rtjrcting any "PtQumplion- of rtlilnce theory (.",h IS "fraud on tltt mo,kC1" which applies to federal $«Uri,;" <binu)_" Such ..... hod. ho", hem U$etl by oom< ogms.iw f<dcnl courts (and for <o,,;&in .... utot)' IO.de-roI doi ....) and ~ reduced the pmIominonc. of individual issues. Ck.rIy. the Abbama Sup ...... Cou" has.on..- 10 btI~. «WtKdy. du., the lim< and *>'a.iI.obIt to I7tdtnI rourU arc """tanlillly grt:Il<f thin the .....-mal Abbamo circuit court. UkcwUor. the AIobomo courU ho", ~I'edly rtjrcIed certifi· calions of unjust ... rich.mcrtt doi".. (on II k ... fivu"po_n~ occuions) hoS<'d on. lKkofprtdominanu.O ... oflho most ,«.nt <umples is Avis 11m, A 0>, Sy>le,..~ ,......, Htilm~". 876 So.Zd 111 1 (Al •. 2(03). Tho Al.lbomo Sup,........ Court rd'u!ed «rtificotion of an unjust .nrichment eLai ... beau...",h ellim for unjU$' ""richmenl 'd'j><n<U on tho partieulor &cIS and

",ion/;

_"'0$

III'

AI " A ' "

I . " I 'P

circumSl.n .... of .. ell. c....- 'I1Ic court noted th.t it 11... "r...,..tedly hold that ,uch cI.im, ... unsuitable for c1 ... I ction tr• • 'mtnt,·" ntf"""" ha .... also been found '0 <k$tmy pr«k>min.""" (induding mitigation of dam.gtS. st.tut< of ~mi .. tion. Ind volun'ary p.ymen1 )." H<>WC'V<:I, the <kfm .. nl1"" be one tho, the prelimin.')" f.ct • .how is not mtrely theoretical Ind which octu· ally 11.. . bttn pld" likt-wi .., Ihe inability 10 identify d ... membe .. will do",n predominance." In addilion, the doim fO. emoliona1 harm ""'Y limil any d ... oction." Cou"'.rcl.1inu (Igain, if not "",rcly th.eo .. ,icollnd if tltq cannot be handled willi. management lool.) can .1", doom pmlorni""""" and m.nageability (and. if thq plact .b<n!t ow. m,mbers .1 .W: of Ioos. doom .uperiority)." Similarly. if Ih. will in.,."l", the .pplita tion of multiple " ....·I.ws, p..d",nin.n" ""'y be <k$troyt<l (a nd superiority defoa,ed bc< . .... of the difflCulti .. of inlerp .... ing .nd applying corr<'<tly the law of multiple St.,es). In (oct, """t AI.b."", ca ... d.. ling with nationwide d.ss o"ion< ha ... f.iled on this " ".",n _ ing." 1M court h...mph .. ized th.1 tM trial rourt must detrtmiM ... ith I rigorous .n.lysi. whether variations in .talelaw, deft.t the predominance ""'lui.. men' under Rule B (b)(3). The .upreme court h., .1$0 ••j<'<ted I number of b ... ch-ofCOnlrlCl claM ctrtiflO.lion. bast<! On predomin.""" ....onin~laim. thll might invoM kwt. individu.1 isst><$. Th ... docision. h .... betn blSffi ul"on the rond"';"n til. .. the coot ... " 11. . . betn a mhiguou. and, therefo .. , individual 1'..01. tt<timonywould be n..,.... ry to drtrrmin.,he inleollnd und .....t.nding of the ront""ling portin. I'or in<tO,,,,,. in Mann v (;Tf; Mobil"." of Bi.mingham, Inc, 730 So. 2d ISO (Ala. 1(99), the COurt nol only denied dm SlatuS to f... ud d.ims bu, also to til< b .... ch-of-controct daim (the complaint allrgt<! th., the def.ndam'. rounding up of .ny portion of a erllula. phone minute wao a broach of contw:t}.1M court (wnd th .. the "I· lul •• cootr.cts weT< ambiguous .nd. ,h... (ore, til< p."icular UJldcrstanding of .. ch rusIO"", would n=:I 10 be indi.iduoJl y rev~ed for til< brach of conlract claim. thus <kfeatiog p ..... domin.nce under Ruk B (b )(3). Thil same reasoning dtfeated d . .. "rtificalio", dealing with 'he interest ... " on "'>tWing CO$, ,he ch..,k poo.ing order fO. NSF ~, f«> in loan docutaxes in I~... docu"",nt.<. ond .....,ra n" benefits allrgrdly promised in group m..,ting,Ii Th. Alolwna class action iI not de.od, h~r. I. Ii .... for (among others) ctrt.in contrICI clainu. <nt.in warranty claims. cenain pu .. . t",utory d.im.<...nd true dtd.... ti ... ond injuJlCli.., d.ims. For in"a"", in A. ... Rml A Go, Syumu. /,te. v. Hriln",,,. 876 So.2d IIII (Ala. 2003), .he court affirmed certain portiom of I br<ICh of con, ... ct cl .... rega.ding whether or not certain franchise fm could be added to "n,al ca. ch.rges. 11>0 COUll determined that the breach of contract claim could be certifiod bcc:t ....

cw.

""'III"

294

, ULY lOOJ

not rvtry :ambiguity in a conlract rt<juires utrin<it tvidtt>C<. 1k complete .bsencr of any ref......." to a tax sun:horge on til< rentoJ jacket did not "".te a n ambiguity. 'Tltest can be IUOIved 'hrough ,he nonual <anorI$ of cons'ruction $uch os ejW<kn jeroni> ond

roMdtur a fOCik Likowi .., tht court 11... found predominance sati,fied in I breach of " .. rranty claim In Cheni_ A.meric" Gorpornrion v Co'*"", m So. 2d 11 7S (Ala. 2000), til.. <ou.l affinned 0 cntif!Ca_ tion of. d ... for """"'')" of eronomit dunaS" only fO •• wa.... "ty breach for the prod",er and di"'ibutor of skin ca .. prod· ",IS aUeging

;t contoincd d.ngerous and unl.bdcd ingrrdiems.

n,., ,rial court had rej«t<d ,he fraud and supp""';"n claims and the personal injury cI.im.. but cntified • national daM under contract equity and the Uee. n,., court noted tlt.lt "the prit>cipl.. of ,he uee can be . .. i1y a pplied on I do,..-wide basU.' In Ex pane eov..rnm",' Eml'l"J<d I,unttlnct Company rCElCO), 729 So. 2d 299 (Ala. 1(99 ), an insured claimed GElCO's OOfJlOrate policin regarding uninsu..d moto';', roverage (impo<ing 0 SCtoff) were inv..Jid. He ,.,.."td 10.1 daim. (Nd faith. fraud. etc. ). b .... h of and a <kcl.1ralory judgment. The coun ...... rsed the da .. " .. iftaOtion on all doi"" excel" thedeclorotory judgment, bu, held \hat .uch I cl.1int was appropri.,cly "nified. Particul.rly i"'.... 'ing i. ,h~ rourt', determination ,hat the mon.tary doims " .... not .l'I'rop.Ia, • for certific.l ion under Rule H(b )(2} 0' B(b)( I}.

,h.,

<0"''''''

Conclusion The Alabam. d . ... action is no! dead-bul i, has betn p.operly limited '0 thO$< COO<$ Ifferting Alabam ..... d limi,ed 10 tho .. claim. and ca... that Alaba",. circuit court. It.l... the tim< and resources to m.nage. \\"lth 'he """"ge of the AcIKm F.irn ... Ac1 of 2005, the mo .. difficult '0 "",nage cl ...."ion> ""'y find I fOrum in the ftd ....1 couns. •

d."

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Legislative Wrap-Up

By Robm L. MtC",/cy, Jr.

2005 Regular Session T

il<' legi,l.tu, •• djourn~ a' midn,gII1 on the I." <by (Ifill. 2005 ~uJar Snsion. They puotd only fiY<' bill< of .'.'.... id. ' ppJk>,;"n and one ronstitutional UT\<ndmtn,. The two major act<, " Optn Mwing> Law," Act 2005·40 (58. 101). and "Deregulation of the Td'l'hone Company.' Act 2005-110 (SII. 114). poss.rd •• rlier in 'he session. Bill. ~ on th.lost nighl includ,..!: HB. 152, reguloting ,h. $;>1. of tph«lrine and p$<Udoq>hedrintto bthind-th.countor .<.tI.., 58. 18. amending Section

18_IA·276. ~uiring the "uing of emintnt domain proct.dings within 4S doj'$ (prtviQu.ly)(l days), and S8. 42. "qui.ing ,notnu. official, to notify new properly owne .. ~ .. ding ,h. application for curn'nt U$<' valuation for ad vaI",..,m lax purpous. In addition, tn. legi,!.tur. h.. pissed . COn>tilU1iona!.mtndm<nt banning .. me_1O[ rn>rr"SHlh., will be

on 'ho ballot in lOIn. 2006. Th.logi.l.· , .. , •• Iso p.....d 20 ,unsc, bill. .nd opp,ood"'aldy 120 local bill. Or .]><cia! 'ppropr.nion,.

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AllrigNs _' S, 2004

Th. ho"," of reprol<:nt3tiv(. introdu«:<l S09 bills. Of .hos., J 20 haw p.mcd bo.h hou«"<. Th( I<:n •• ( introduced 420 bill' but only 19 beat"" law, On Ih( 1••1 dayofth~ rogul., ses.sion, Monday. May 16.• h~ S<"Il'" f.i ltd to pus a g<n.ral Fund bill, how<VCT bolh hOIL!<> of .h( logisLt.uro ovtrrodo Iho Govttno,', v('\O of th. educ01ion budg« and 1M I•• ch ...• p;ly rail<:. Th. bill r.ising tho m(>6t qU<$.ion. by 1.W)1''' h., ban tht Oprn Mtttings law. Htr. arc my "20 Qu .. tion,".bout the Oprn Meelings law .... ct 2005·40 (SII. 101) , ThCK 'r~ nol' .ub· "ilUl< for =icwing Ih. l.w but gi .... lawyo" • point of ""'sin . ning for und<1'sl3nding this now KI.

• SI.'twid< bodi.., Submit notien 10 S.C'N'ry of Sl3t< 10 posl on Inl.m«,O' Any govrmm.mal body wilh 1<>. than "atewid~ jur;'· diction may ",bmit no.ic •• 0 St<;r."ary of S....: • Mun"'paliti ..: , Post nolie~ in. convrni.nl 1'1=, 0' · In city hall; • local school boards: , Post nOlic~ in '"nt"l.dmini",",iv~

offie~:

• .... "., other go .... rnm<nla] body: , .... t . ,..sonabl. location con"~ni~nt to public change' must ilia bt post.d;

20 Questions About

"Open Meetings Law"

• Municipalities.nd counlies must .1", give direct notice to: Any '""""'"'" of public or ntwS media that .-.qUCSIS noIice,

Act 2005-40 (58. 101)

· Those who regist .. 10 r«:eive

I. What "governmental bodies'" does the law coverl •

I!o.ord$ and commissions:

Ex<cuti .... and logw>!ivr bodi... St .... Counly. Municipaliti .., and • Multi· m<rnba .~ies of "'''. o>unty and murUcip.olitirs.

2. What does the law Dot includ e? •

Legi,lJI;v, p;lrty caucw;

• Court sys .. m; or • Voluntary m.mlx.wip org.ni.. lioll$, not ag.ne; ...

3. What is a "meeting"? • Pro-arranged galhrring; • Wh.", 0 quorum is prel<:nt, of a govrf1u".nt.1 body, agency or commil1«; or

• !u-ry galhoring {Wrn:lhtr pro-arranged or noll "t.a. $p<cifi< matt... art di<cus!<:d which oro 10 """" bttoro th. body.

4. What is " not a meeting"? • Soci.lgalh.,ings. convenlion>. lraining prog<>l!ll, .1< .. wher< Ih. body do« nol delibt ... tt .pocifie matt.,.. ,hal will Ix btfor< Ih. body lal.r; or • Informational or ,upport meelings.

5. How does the body give ootke of meetings?

nOlic~,

• NOlice may Ix by .·mail, tel.phon~. fo:<. m.il.

6. What is the minimum advance ootiu for specially. cal1cd medings? • As soon as practicabl. a~.r the m«1ing is cal1td, but no <v<n,l<S$ than 24 hour$.

7. What are the aceptions to giving a 24-hour notic.e? • Cir<um1ta""" rcquir< immediate action '0 . void phyUnJ injury 10 pawn Or ptOp<rty Or 10 oceept ... ign.tion of an omploy«.ln th ... ,",'.nlS, a on.-hour nolic< must bt givrn; .nd • Notice is not .-.quire<! of quasi·judicial Or <on'<>Itd <as< heninS' wnidl could bt ronduct«l as an ex<aItive ....wn.

8. What must be in the notice? • Ttm~, d". and plac~ oflh. meeting: .nd • Pr<liminary .gond. (as SOOn as p.-.<1;",bl<).

9. How mUllt a county comm;!.S;on give notice? As prrwideJ in S 11-3-8 and as amendtd in 2004

• Commi .. ion may 1t1 regular tn«tingd.ys tollowing eleclion; • May alttt by rnoiUlion: •

Regular m<eling doys arc po<led at courthoul<::

• Forwardtd to local ntw' mtdi. and 10 .ny p<""" who fiI .. a request of nolice;

• Notice must bt pooled $CVrn C2Imdtr o:b)1 prior.o m«!ing;

• Special m«1ing must be posltd with fiv. d.ys' nOli,,; or

• Th.legi.latur., how=r. may provide notic. of mtttings by rulr;

• Entergency m«lings; • },g~nda po<led;

Legislative Wrap-Up • Moeting d.ys on holiday>: • May be rN<heduled, Of

• Po,l«I wilh

fi~

days' MtiCt

• Coun'Y <ommilt.~ mull comply with the proadure.

10. What records are required of the medingl • Accuw. r<roro. mu" be \orr': • D.t •. tim~, pl.«_ members p...,..nt. and action taken; and • Record. 1>«"",,, public records.

11. What meeting procedure is required? • Body mu" adopt Ruin of P"liamenlory Procedurt.

12. How are votes uken? • All vo,es mu" be mad. in open mming;

13. May the meetings be recorded? Any ""rson in onend.>n<:e may: • Audiot.pe. • Photograph Or

• Videot.p<'. (providrd tho recording does no! disrupt proc«ding)

14. For what purposes mayan "aecutive session" be held? • To di", .... Ihe sen ...1 repuwion .nd <har.<<<r, ph)'$;cal oond;l;on. prof,..;on.1 compt1.~nu or menl. 1 h ••!!h of individuals. • Whal cannol bt discuued in ",_uti", .... ion·! • G.neral job p<'rfurnu"ct, and

• Voi« VOlrs.r< . nOW«!: • No ""ItS may be m.d" in -cueul;"'" .<n<ion: and • No >'<It" may be rn.uk by • «<,<1 ballot

• Sal.ry and benefits; • Discipline or di.mi..al of.n ,nlploju or 10 he .. formol "'rinen oompl.in" 'gainS!. public employ« or $tud,nl$ .t. public school or <011<,&< "'h .... txprtuly allowtd by federal Or "ate law; •

Disc .... ions with .n .,torney oon«rning the legal ramilicalion$ of and leg.1 oplion, to pending or likely litiga· tion. I'lior to convening.n <=uti", ..... ion for thi5 exception. an .nornO)' mu>1 provide a "'riUen Itgal opinion the <=uti","";on falls within the exception. The opinion must bt ent.~ in Ihe minute .. Th.auom,y. eIient privilege remain< in effort;

•

Discu .. s«urily pl.n" pnx,dur.. and ')'$,em.;

•

Disc,... informa'ion th., would disclose the identity of an und,,,,,,,,,r law enforcement official or di<cu .. a criminal in ..... tigalion, provid<d law enforament, the dimkt anomey or attorney general ent ... d in the minut .. th .. disclo.u .. would impair law .nforcem .... t;

h.,

•

Discu .. the price to offer or ,cc'pt 10 buy .. al propeny. MuS!, however, disci.,.. m.t.n.lterm. of the contrac1. Thi. r•• 1 properly exception does not apply if: • A member of the body h., • person.1 inle"", or

• Condemnation action has bttn fiI<d to o.cqui'" property;

~, on<! I"",,.,,,,,, - . . _ '"",,,gil ... , IIrm Illelooo. 00' .... ,.,. 1..1Ied .. SlOO<s, I!Ond<, M""",I Furob. Aru>uides. Rl'IT•. Uffi, SEP5, SI.'.ti'Uis, 401 (1< ... o\OJIb)s, 1'ro/1, Shartn& IRAs 1!IDIIa.vs, T _ & ROT1I~ Vorlob!o Ufo,

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Discu .. p",liminary n'got;"'ion, inV<)lving trade Or oomm<TU;

•

Discu .. """gy in p"'par.tion for negotiation. bttw",n the gQv<rnment.1 body and groups of 'mployus, pro· vid<d. how."'r, th' minut.. disci.,.. 'he person repre· senting the go"'mmen,al body ha", <nl<m:! in the minulC$ that disclo.ure would h.", a detrim,nlal eIf"'t on the govtrnm<nt", position;

• Dclibt""e and discu" ..iden« or t.. timony p .... nt<d during. public or cont .. t<d .... hearing and upon

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,h. ou'com. of ,h. h.aring if ac,ing as a quasi-judicial body. VO'", mU$' ~ apl"'aJ.blc.

Civil ptn.l,y up to 5 1,000 or one-half defendant·, mon,hly .. lary. raid by dcf<nd.n, (no, 8"",rnmcnl), or

15. What is the procedure forconvming an aecutive KSSion other than for a quasi-judidal hearing? • Quorum must firs, co"",nc a mt<:1ing; • M';ori,y of members present must ,oop' by recordod vok a mo,ion caUing for .""""i", ~ion; • Vo .. mu", be recorded in minu,." and • MuS! ".,. wn<"lh .. body will r«on",n. afi.. ', ........ ion;

,h. ",,"cu-

16. Does the act provide immunityf • M"",be" .nd .mplorea who p.,tidpl1c in a !netting h.", .bsolut. privil<'"ge and immunity from .ui'; • Mffiing i. conduc,od in 3CCOfd.J1ct with the Act: and

Government may pmvidcltgll cxptn!o<$'o defen _ dant"

ZO. When is the Act effective • October 1.2005. For more infomution . bout the In .. ilUte or any of i.. proj« ... contact llob McCurley, dir«tor, Al. bam.o Law Ins,ilU", P.O. BO>1 861425, Tuscaloosa 35486-0013. fax (20S) 348-8411, phone (lOS) 348_7~ II. or visit Our W.b site .. www.~li."arc...t.~~ • _ L ......... ....

_l....::wlor.l .... _ " ' ...

.. _

.... _

t_n .... _

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

• The "'''mOn, i1 made during 'he me<"ling reb.ing '0 a ptnding .<1ion_

17. How does one enforce the open meetings Lt~ • Civil action brought within 60 daY' of di5CO... ry of m<eting no, excted two years;

• filod in coun'y wh ..... primary offict i. locoted; • No member of go ... rning body may be. plaintiff; • Od<nd..n' mem~" h".. >eV<n bu.ine .. daY' 10 ....pond;.nd

'-rve got to trust my wife , my doctors and my ;1ccounwnt. ;md [ lruSt

• A prdiminary hearing m"" ~ held no I.,er 'han len

daY' .fi.. 1lte ''''pon .. i1 fdod Or 17 d aY' .fi.. the com plaint i. fikd.

18. What mWit the plaintiff prove to make out a (One or more of the following)

busine~s de<::isions:·

- Alex KontOOl

• Defend.n .. disr<vrdcd tho requirement. fOr notict;

.h.

m«1ing;

• Went into e.ttCuti ....... ion . nd discu...:d non-eovtrtd i,,,,,,s: or • Defendtnt> in"n,ionally viol.ttd act

19. What happens if the plaintiff makes out a prima foc~case?

• Disco",ry is schodulod; •

the proper info rmmion so I can nl;1ke my

"""

• Oefondtn .. disrcgardod ,he aC' during

BKR Borland Benefield 10 give me

H •• ring i...t on the meril>;

- "",",

Kont05 K«,:uions

;~Borland 8~Benefleld 2100 Sooth~ P2r1,""'~ • Binnlnglwn

205 00l n l2

• Court may conduct an in Came.. proc~ing; .nd

SlL" 1hJS1 &ildi~' I'"Iorenct

• Court m. y order ' !'Propri... fln.1 o.dor including:

256 767 3SS5

Injunction.

www.borlaodcpa.com

. Invalida .. tM body·, .ction tmn in violation.

Opinions of the General Counsel

ConfidentialityCan You Keep a Secret? h~ """"'tone of thc .norn<')'" dkm rfLllionship wminu<s to bo loyally. The rodue;".,. ....J.tioruhip aeatod .. ben 11K dimt mai"" 11K ~nor· nty ....qui,," abt.oIutc comrrU""''''' br tlK

.'lOf'1W)' 10 Iht diml. and ttaIous rtprt_""lion by II.. onor....,. in pursuit of oIlht dim•.

\h( in!c'mU .nd rishu

Inhnmt in such. rri.otioruhip is the ~ for 1M .'lOrM)' 10 maint.in confi·

drnti.lli,y '" i, ",btu to .ny .nd ill info,mllion .. i~ by 1M . nomty duro ing th. roW... n!>.tio" of thc dient. H<lWCV<r. m. ny .norneyo continue 10 confu$< or ml< th. ConttplS of co nfid.n·

tialily and privilos<. Confldtnti.lity is so ... rned by Rule 1.6, Alab,,,... lIu""lI{~ c.o..dwr, which um. as follows: "Rw. 1.6 ConfidmtiaJjty of InlOnnotion (0) It. LoW}'" .... all not m<nl infO<ma,ion rdo.i", ' 0 ' <'f'Kt<D,nion or. dim! unl<ss II.. dim! con-

.....1I . fi .. COfUultation, acq>I for disdo$um ,h., .r<' implicllr lutho, iud in Qrd<. to carry out ,h. rcprcsomt.tion, and excepl .. $IO •• d in p. r.graph (b). 308

I UL Y IOOS

(b) II bwyor ml}' ..... al such inforrru.i<)tl to mcm 1/",4wyor

,h.

..._nably b<~ 1>K<'S$Iry: (I ) 10 prrvmt the-dimt (rom committin! • • riminal oct .....t tho 1.1...,... bdicw$ if likdy 10 result in imm,,...,t dnth or oubsuntial

bodily

""ron; or

(2) IOnt;abfu/l. claim or ~ OIl behalf of the ~ in • cont"""""'Y betwcm .ho ~ .nd tho dim., nt.b1ish • ~ 10. aimirW , .... 'S" or ,ivil ,laim agoinst the 1.1..,.... buod upon condu<t in which the diem w;lS hwolved, or to mpond to .u.ptioru in any proomIi", tonctrni", the lawyer_ "'I"" _ ... ,ion of the dim~'

II.> tho Commen. points ou', infonno, bod ~ by It.... 1,6 io mO«'ftpD>. oM than that ~.aIIy tta>piz«I by tho Itpl principlr Of COfIGOJ'I of priviIqo. 1M Commcn. to Rult 1.6 fOllow<: 1M confidtntiolity ",It applies not mtrtly 10 .... " ... commun;. co.N in confi<l.rnu by .h. <limt

""0$ ..

but

.110 to aU in(omlJ.ion rtlating

.0 .h. representotion, wh...",,;1$ IOU",(."

Heard

Whil. the <oncepl of p,iviltgtd <"m· municali<>n. 10 be nlO," ...uk· ti"', ... m." .... of law, Ih.n ,h. ltrm confi<knli.lily, as 0 mattu "f .. hies. cons.id.r Ih. "pinion of Ih. Sup,""", Court of Alabama in lh. cu< of Rkhard. v. I.rnnox Indurrri.... I"",. 574 s".2d 736 (AI •. 1990). Th .... in. hom«>W" ..... mtd. products liabiliTy aclion ogolnstlh. man· ufactur.,. .nd distributor of. gas fum.ce Ihaluplodcd .nd injurtd Ihe hom«>wn· ... Allrial. Ih. form .. law cI ..k of th. hom..,w no,,' attom.y ..., ified, over <>bj«,ion, Ih.1 he h.d ob$<rv«l. 1..1 conduc .. d on Ih. valvo .... mbly in qualion prior 10 i" ,""""",I f,om Ih. home. 'hoI h. h.d removed the voJve .ASnt\bly from Ih. fu,nac"1 tho hOnleown.,,- , ... id.n", wilh no ... is.. nce from .nyon •• .nd th.IIO hi. knowltdg. 1h... "",tt no ·puts broken off of [Ih. v.]>...... nlblyl" ",h.tinl. h' "nlO'-..;I il •• nd lh., he h.d rdurned Ih. v;oJve .... mblr 10 hi. forme, .mpl"l-"'·' [honl..,...n.,,' attorney) office. On '1'1"'01. Ih. Sup.. m.. C>urt of AI.b.ama con,id ... d CmIe of Maha,na 1975, ~12·21-161_ "'hkh " .... th .. an ""omeyo' his uw cl .. k;' nOt cornpt'· I<n110 1.S!ify apinS!. dienl as 10 infornlation co"".roing any ",a1l.. wh>eh may h.ve been acquired du,ing Ih< "1" , ... nl.lion of Ih .. clienl. Th. <>bjection 10 Ih,law clerk', ..",. monr was grounded in lhis "",UIO'Y provi.ion. wilh the homeown .., con· tending Ih.11h, fo", .. , l.w clerk had g.>ined Ihis infonnolion during hi, employ by Ih.ir .ttomt'y•• n<! during that """ ... nl'lion. Th. 'UP"nI' CO"'t, in reviewing siSnifiolO' ca5<: law on lh. m.lI<r of privi·

'1'1'''''

l<'Sed communk.. io ..... d<1<rmintd thOl th. - act'" pt',formtd by th. fotl"" I.w d ..k wore privi1<'Sed communicalion •. knowledg. of which w., obtain«l from a confidential 3"orney·di,nt ... Ia.ionmip, .nd Ihe "ioJ <oun', odmiuion Oflhat t'Videnct. over tho objeclion of Ihe hom.own ..... viol.,«1 ~ 12·21-161. Disse<ting Rul. 1.6. ther..... ='p' tion, 10 th ••!>soIUlen... of <onfidenli.!i. Iy. as weU., rtrognition of oulho,iztd discl""u ... of information which would olherwi", be d«rned confid.ntial. Th. first and mu.sl obvious ,,,,.plion 10 th. 'l1o,ney', ,~u;renl.nllo maint.in confid<nt;.lity of infonn3tion occu" when lhe dienl constnl" -aft" con ..l1l.· lion: to di.do,u," of confld.nti'! information, H"""",e•• ,h •• norney should eurcist exl"'me <aut ion wh.n con.ultins wilh a cli.m about waiV<l' of confi· dentiality•• inc. on« ,h. waiver o,"'u .... in.U probabilily, il c"nnol be revoked. F"rt~ .., Ih. w.ive, could I•• d third pa" ti .. to disco,... infonnation which othor· wi", would 001 be . ubjectlo di"d,..ore pursuant 10 Ih. rules of appticobl •• rhni· nol or civil procedu ... . Rul. 1.6 0.1$0 alia .... th .. 3norn.y 10 ","".! confidenli.l info,m.tion if the .110rney ",asonably believes such is nee· <$$Orr 10 pr""ent the dimt fr"m C<)m· mining a ,criminal aclth .. the .110rney believes is likely to ... ult in inlminent death 0' ,ub,lonti.1 bodily harm, AI nOltd by Ih. italiciud language of the previous ",nlem,", disdo,u," in thi, inst.n«" I"'rmiuiw. nol mandatory. The fonner Pennanenl Cod. C>mmission of.he AI.bama St.t< II... in considering possihle drafts to be submit· ,«1,0 the Alal>ama Sup«m. C>un for THE

~I~"A"A

IA"'FR

Opinions of the General Counsel odoJItion. wri&I>td "" J'O$'ib~ity of rnn_

II. any proemi", COJ>teminz

in& this p<UVisio.>n mandatory,~" !tot

.nor~ had to disdosoo this infom .. tioo if such btornc known to him. H~. the ",,",'''01 pr<>p<>Ot<l mit, as odopltd by th< S\Jp~ eoun of Alob."",. o:ffC'Clivt I_Inary I. 1991, contlins !bot pnm~ language of"ImY." COIICCfning rcvriation of _h info",..,ion by !he 'lIomer,.An IUom<)' oIso may disc~ confi· dential information oth<1'w .... p1'OUCUd by RuI. 1.6 I(> nuOIUh • daim or • ~ on bdWf 01 tht in • conlrowrry bttWttflW .no......,. and Iht dim!. to ..ubIi'" • defmst 10. criminal clw¥t or d,,~ doim aJOinA !h< onomq "".... llpon rnndoo in which tht ditnl was invotv.d, 0 . to respond to oI1eg.11ions

lnt<rprdinl .uw..:tion (2) of ~ .... gnoph (h), the Off..:. of ~n.ral Coun .. ' .nd tilt- Disciplinary Cornmi«ion h ••• gon .... lIy d<te.rninrd thaI whe .. on on<>.~'. «Induc' iJ , 011011 inlO q....'ion wilh ..... rd.<> doims of malpract;"', iMffc<,~ ....."'''''. <>f <<>unsd o. tlhial miKonduo, «IfIfl<kn.wity • w.Iivod by lilt diml <am< 10 Iht <!lttn>I

.'1Q1n<y

.he '1101'-

'G'rafn\.otion of Iht dint•.

""''''''1

~uonablr M<CINJ')' 10 allow Iht

oil..,.·

nq 1<> atoblith • ddcnoo 10 J&id dai..... Howt'>'\'I". lilt r\Ik olIows diodosu ... of only thaI info ...... ion ..... ich. rtaOOfI.bIy M«Wry .0 rapond .<> .1It sp<'<ific olkgaliolU of malpn.ct;"', intiI«tivt ... illo""" of COIIn",,1 o. "hia! misconduct. In «n.in in"on«s, .t1ornq<> ha .... ucffikd «Itrielion, .pp.... ntly in an .ffort 10 OD<I. 1011 upon Iho cli.nt .Ueg. inz miKonduc. <>. rnalpra<.ie. Ig.in., ,"o.~. mit prohibit. w<h. Ind In .II0.rwy'. mgaging in 'ltil Iypt of condUCI IUb;":u him 10 di>cip!inlry action, and poulhlt eM! liability. Rccm, tlhical inquiries diodost an inocrn.i", amounl of activity in ~tigo'ion where I1lOnq'S "'" IUbpoo-rt.oed 1<> testify roncom,ng ,heir "l'f... n... ion of. dM'1l', and .tt evtn ""lUOO$tod '" prod_ <lim. r..... 0tT~ 0( Gmonl Counsd and ,It< t>i""ipJinary Commi..ion con.is•• ndy mlin •• in ,h. p<»i'ion .h.. ,h. ' ''omty .ubjecled 10 <u<h • '«ju«' for ,«.imony o. doeum.n" ..... " confJdtn.~Ii.y Ind privileg<.. ond mist di ..!o.u .. of ,hi. infor marion. ",. rulup..cifi<olly allows tht .11omty 10 con,'" ouch I".m".. 10 ""lui~ diJclolU~ of conti· don.w inform&rion, wi.b disc\osu ... only brio, pnmiUN up<>n co ....... , <>hlt< diml «>rUulr."on, or by order of.

,hi.

CLE

OPPORTDITIES

n. Alabama Mardatory ru C/:Jmmo$wI eontnal~ eval\mft.<; <WI IIPI)rO\'e$ in-SIII\t.

n ~I as IlilIUI-

WIde, P'ograms v.+uth 1118 !ll3l1ltaill8d In I CCInpU\er database All ilia Kient,liecj by spotISOI.loc:al l00. date and speclall'! "M, FOIl complete h111011 01 CUlrBnt eLE "ppottlJmtteS 011 caIeodar. 00I'I!aC\ !hi MClE Cor!wnoSSIDII offici at (3341 ~1515. extension Il" 156 or 158. or you .,...,. ...... ampIeIe hSln;J 01 amm prcgrarm 11 IIJI $1lIe bel', Web SIlL

www.• IllIi11r.org.

308

IULY lOOJ

'h<i.

no.

n..

.11"

'ribund. If.1It ,ribunal ordc-rs diJdMutt of tit< inform&,ion, lilt iJ cmically pro-•...:tod from dilCiplinary action .. '0 any vioI"ion of Ruk 1.6. ",. '''o~ iJ n<H .tquirod 10 furthor Ipp<oI 0.- oonl.., ,I>< order of , .... oou", Ind m.y oomply wi,h .. m. wi'bou, .~p<>oing him ..lf '0 di .. i· plinory I<. ion.

",tomoy

n..

public has lIt.nI horror Stories .. rhoy rd. .. 10 confidenriality and prrn. ItgN Informat;"'n in ,lit lno~--d""" ... llIio"""ip OOn,.,.,. duoic aampl< il wit..,.., ,h •• llo.noy ... p,....,,'ing the criminol defend,,,,, accUJOd of mun:l<.ing ,I>< <hild victim (;;Uln<H d~ 10 the 1"... nll 0( the minl,he whereabouts of ,he chik!'. body. modia ..,on &iYm 10 ,h..."'Y gtntr.dly J'Iou$ the logo! pn>f<sIiod in • bad liglt.lnd ~ fttb no ap!all,uion 1110 why Ibo artom<y must wilhhold the informa.ion in qUO>lion. Who, rho public: foil< '" p<, .. i.~. and tit< modia rdlua 1<> oct.nowIodgt, iI,ha, bu, lOr Ih~ confidm,iaIi.y ro"'<pt of ,ho fiduciary rololion~p 1><1-.. tit< '''01, ~ Ind dion'. tit< ."OIMY would II< h.ndicopp<d in rq>rnonling ,he dim'. by r\(I\ .«civing I ny and IU infonn .. ion n",","ry'o oIlow ~ff",.ivt and ..,a10UI ....,.... m.ti<>n of rlt< di.nt. Uk<w~, Ih. <lion. mlY be (h~lod from di$do$ing , .... ..in infonnation 10 lhe lltornoy for fta' .ha,,1>< info.....'ion woukl"",muilly bor disdoltd 1(>' ,hinl pa"y. AlI(>.nq'I ohould ~ the u _ co.., 10 confidm.ia1 informalion obI.incd by .Mm during .1It ~ ••. .ion of their climu. n.. "''''''''Y obould II< IWI.., .har .ho confidm.wiry <r<Jui",. ....,,11 or Rill< 1.6 00vtr • much gro-..... lmoun' of informa.ion tholllh .. COII,id· .rod ro bor priviloged informa.ion ... ma" •• of I.w. Tho opinions of Ih. Offi« ofGon ... 1Cou"",,1 and tho rn .. iplin"y Com",i .. ion remkt ,h ...... lva '<> . n in'erp'OIl1 ion of .h~ Ruld of Pro/<s>"'''''/ O>nd"", OJ • man •• 0( tlltics. and in no WI)' .t .. mpl 10 inl.rp ... 1<gaI principia Ipplicohlt .<> .1It conupl of privil<go. In vkw of ,It< fact lha, confidmliality

no.

proI"'.

<loa rov..- • ""'''' uJ"'Uivt ."'" of

info ...... ion, Illornors"" oncou .. gtd 10 .... on tit< iido or ......i'" confidmtiali.y ..hm disdoou ... of inform&lion iI """gh • .:on«-rni"l ....,...... II.ion of the diml,1O olIO itd: COIInld cI the Off". of 1Counselor thO' OilCiplil1.l'Y Commiuion if ,h. <i ... urnsll"'« of 'ho ....,.... n'.'ion dklll<,h. nttd for fu.'h.... hieol 8uidon<~. •

em...

ADVANCED TRAINING IN DOMESTIC VIOLENCE ISSUES IN MEDIATION:

Protecting the Safety of the Victim

Disciplinary Notices Notice Slophm 0...... FowIor,...no... ",,,,,,.bout..... unknown, mwt ani....... the Al.obam.t SUItt 11.&,', fannal disc'phn.uy durge> wull,n 28 d&y$ of July 15, 2005, Or 1J>m,~fi... the allcogations cont.int<l ,homn ,h.u hc dft'mtd odmmoNl .nd , . d' '1' .c·'I'--im--' ...inSltum'nASB ....... G4-74(A).00I appropr .. lt "'''I''~ 1""""IOI(A) .nd 04· 113(A) by tht DiocipliIw'y Boord of Iht ALI"' .... 5,.,. I\;or

""'" ""

Suspensions Anob .,,~ Johnny Let T\cImo.. was

JU<PftI'Itd from tho pnc!"", of low in 1M SI.l. of Ablwru fOr a pftir:>d 0190

cUys. tlftcli ... M.rdt 1. 2005, by O<dcr Suprm>C' COlIn for vioIatiolu 0( .uleo 8.4 (oj, (d) .nd (s). "'.R.P.C Th< ,uP"'''''' mu.l tnltrN its 0( 1M Abhuna

e>rdtt ~ upon Ih. &cLOOn of th. l>i$cipllnary IIoard, l'.n.1 V, of !he Al>b.m. St.,o Bar. 11>< Disciplinary lIoa.d ""optod Todmo .... ·• condilion.] ,uilly pi". lind ordtrtd that he be IUS' ptndN from practice of bw in ,h. S'3,e a( AW>oma for . pmod or90 ~ wilh Uf'dil to I>r givm fur time.....-l Jil>Ct the 'nlpooilion of hi> imnim ...,. ponoion on Octob<r 19, 2004. T'odmc:>rt ..... inltnmly ow.pmdcd from 1M praclicr of low in Sl... of AIobarno~' to RuIo 20(.). A.R.o.P~drtcliw 0CI0btr 29, 2004. The onltr of tho Dixiplinary CommWion ..... booood "",I p<1irio:1o fiI<d by tht 0fIiu of GMrnI Cowud cvidcndng lhatTodnxw_ inl~ed wbo:n hr aweamI 01\ bduIf of. dirnt at. ht:u-in ~ Coon.,. District Court.

[AS8No.Gt·I~A)1

On kbruary 22, 1005, thoSuptnn<' Court of Abho .... mterrd on onkr ,....,......:Ii"3 form<1' Andalusia al10mq jamaH.......,.T!pIer, for. pniod of 120 day., offOd;'" o..cemM Xl. 2004. lir\n' is 01", lkmood in tho .taleo of ~'lorida and California. He ",.inl.inl on o/fo« in Dfstin. flor;da. TIpler was llrudy ....""nd«l from tho practi« of bw in A1aNm •• ",hich ,p'I'Wlion went into rI'f.a On 1m", 18. 2003. On Jun( 9. 2000. Tipler was indict«l

by the Covington CoUnty. Aw»'",. 3 10

IULY 1005

grand jury for tho en ..... of !""'iury r (1 ""·10· 101 (aJ) •• Oon C I'dony. On /UM n.lOOl. TIpkr pled guilty to ,I\( charF of im~ins WIth judicial pro. «<dings (1 3A.IO. 13O(.)(1 I) •• B miidnntanor. liplcT rq>mtn.ed ,he estat. of H..oId Rojtn. dtcno«I. in 0 malprac· titt ... it .pilW • physician. Tipler called tht IOn of tht dtcr.osed OJ. witrlt$$. TIpkr hold • vidtolape in hi, hond .tld oskod .he $<In question, <big"".!'o dic· it whether the IOn had _;..wd tho A1~tions later arose to the tff«t lh>! unlmown to tho I0I'l. ,ht .. puhown by TipkT was not tht original .."" bu, an edited ,....;00 which dele1ed portio ... of tho "'"sinal tape which w= r•......t.k to 1M drftnst,.nd ....... ocmeI had b«rt rn<Md to. dllfuent ~ on 1M ,>pt.

a..s.

t."".

n..r.ror.. tilt u"" _ diIooIIowed. Tho

trial judsr ilWituted civil ronlnTlp! procndinp O(IoIiIW lipkT. On JAn1lM)'9, 2002. Pond V of tho ~ Boon! of tilt AIab.mo SIal( liar dotcnninod ti'ut III< """" ~ whidt Tipler ... (lIm'i<wd aim<" WIthin .......... of RuIt ll(.)(2),~ R.IIkf <l{r>isopIj-r ~On ~ 22.2002.'ho 0itcipIinary Commisoion '" ,ho AIabamo Stott Bu ml<'rfd an on;kt 5101$pmdins TIplcT ~ • period '" 120 doyI. They abo ortIrmi that oil ""'" and an """'inist.. ti .... 1ft o/'S7S0 bo I"id br lipkT in IIC«Ird.ooo: with Rt.tIt)) (d)(9), J\l.:JI>vna RuI<S <l{DucipI;rIm)' 1'r«nI~

_.".mow n""

On 1'rltrua'1' 3. 20tH, lipkdik-d an appeal with tho Iloord of Ot$ctplllW'}' Appeals of the Alal",.m a Stat. liar. On Marth 4. 2004. tht Iloord of Di!<iplina'1' Appe.ls.......ned lilt ortkr mt.rcd by tho Dildplin.ory lIoard. 1'h.

Boord oll);sOpimary Appnb found tho. TIpitr. condoo. :and .s.uboooqum. pita, did no! m«I lilt ~I$ <>f RuI< 8(dUl(C}. ond .hal il would e.pose otlln ,UQrf\tyS !O ,u'pmsion Or <fubormenl, if during !h. Irio! Ihey we", found gUlley of criminal conlemp', The board ..... ~.,ed Ih.1 aJthoop, TIpln-', aclS mulled ill_It ddoy in IMast md imp<)K'd idditional w<:>d OIllhe trial aMlrt. it did tIOI ~ any impK! upon the trial ibtlf Of 0UlCi0m0<. and did _ colUlitute"an intnkrmc.o with judiciaI~."

On Maid> II. 2(11)4. lhe AJ.bJ,ma St.t" 8u frkd I notia 10 own!.nlh lhe SuP"'tnf Court <>f AiolMma. On Deto:mber 30. 2004, the .up...... court ""t ...~ • certifICate of jt>dStnfn l ....... n ins lhe onkr of lhe Ik>.trd of Disciplinary Al'I'ub ond "'m.ndin~ Ih. monor to the IIoard of DiocipJinary Appub 10 dc10rnline If the "puniolt · tnfnl _ clnrly exc......: The "'1'...... courl found llul .lthoup, !he trW CQUrt h.d.he inhernu powa 10 inlpose contemp •• Ihe aMlr", impo<i. 'ion ole .. il", nimUlal cont ....p1_ no! the """ivaknt <>f. conYic!ion for a crime. The ... ptm>< COlIn did ""'_ dude tlul • convic"o.. under S 13A1G-13O(oJ(I).AIIl. Codr 1m. iu "..now enmr" wi,hin lhe tnfanina of Rui< 8«J{2)(C). Al4b.!ma /l~1a '" DiJ£iplm4f)' PrwtdUrt. The court ,UI· ed th.t III< 8Q.ord of [)iociplitury API... b w~ nOt f"", to <XlI",ine the drS"'e of "... iou,n,"" of • cr;nle. bu. only wh .. 1In the necasary 01"""",,, of the off"".. fell within the def",;r;on Pl"OYided by Ru~ 8(c)-U)(C). MaN"",

RMklof DOOpli""" Prwtd".., I'uro.uaot f<) the mnand (rom the "'I'...... coun. Iht 8Q.ord of Disciplinary AppnIs ..,\ntd I ............ afflrmina Iht 120-doy ouspmsion. [Rule ll(a), ~tlion No. OlD2)

Public Reprimand On Febru.ry I. 2005. !he Oi.dplin.ry Ik>.trd of AI.o"""" Stat. 8.tr 0C«pt~ thr conditlon.1 guilty pl •• of Stirn. 'l1o,ney CoIIlni ren.. .... y. Jr. in

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$<pM"te c;un. Ptltaway re«ived • conooIidatal pubJ" ''fII';m.rnd withoul gonnaJ publ".alion. In A.SR No. 02·33(1\). Ptlr.way rtp_ r... nled hi' WiK in c(.In_lion willi a .. hkk ""idcnl me hod wIth. «>dy. mix CC'~III "",k. 'rhe ... dy-mix c<>mp.ny and dd.cr we", being rtpre...."ed by. ]Iirm;np,= def."", finn. A motion tOr pan .. t ...",mary judS' menl _ ftlcd on beholf ,,( It.. dd.,,.unISon M.y 21. 2001 •• "" i. _ .. hedukd 10 be Mud on Dcambn S. 2001. On Sunday. DfatnbeT 2. 2001. Ptltaw.ay..,,1 on ;nvallg.otOf 10 the borne 01' Iht dcfmd.am driv<-r 10 'W • $I ....... nt. The invalig.otor inlo:rvicwcd tM driv<-r.ud took not .... I-k tt>." ... urnnl to PtlUwylhat sa ..... day. and Pemway SO" h,m. bl.onk .fflda.it. Pett.w. y'. office .ypni in 'hc dri""r'. ".,,,,,,,nl from 'M ;n"""ig.to", nol<S. Th •• ffidavil was notarized by Ont of Pelt.way', II.ff. Tht .ffid.vil _.hen ftled wi, h the "I'I""I.;';'n 10 ,he molion to. panw ... m.... ry judgln<nt. coun ..1 did no! Ita, .. ,,( IlIiI t:1C ,..~ «Intact with 1M drimd.anl driv<-r unlillM o.umber 5Ih btaring 0011>< mot"",. wu ",ilty 01' • riolol"'" ,,( Ruk 4.2 Rw.. of ~ Q.nJ..,." In contltCtion wilh thil t:1C "..rI~ conl>o(l .nIh. known rtp, ... n'C"d P''''Y. In ASB No. (If·112{A) •• clien. I"id Ptlt.way • po'1I.1 maintr 10 .ppc-aI from.n odllttSO ,uling in • land title di:lput •. F'e!uway'. oIl'rn "I!-f«d 10 tllr Il><cuo for. (~of$4,SOO. It ..... aIso "I!-f«d that 1M tft could be poi<! ilI.wo installrntnts. The Ippeal time was du< to run on fuIr 15.lOOl. On July 16, 2002. ",. ditnl mode • M'"><rt' of $2.100- Noappoal_ Gkd .... ith the allow.oblr ,,""'. On ~1<uclI 20. 200J. Petuwar wlOI< the dim. and_pologized 100'. "'ny m.... ndctsundint:: reprdinj l""'r OOM'. The full ....;ncr tft was necdrd.·Ptltaway rcl"unded the $2.100 with ,luI letter. Ptlt.w.ay·, <:on· duclln .ltis mal1t! .ioI>led ROIl< l.4(b),

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a...ifi<d ropy and paym<n. m .... b< r«<iv<d ><cording'o the following publi>hing ",l>«Iul<, lufr 2005 iooue-d", M&y I. 200!1; 5<pt<mba- 2005 _ ..0....... 11..

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Ai, I'rof. l.i«ftso: No. 90711

Telephone 205985· 0727

pt'rryrl022@cs.colll

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Richa rd G. Br(l(:k, Esq.

Brannon Ford, Esq.

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B,rm,ngham Tampa

MomphlS Now York

Mlam, los Angelos

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