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Welcome to the ABA Book Briefs Blog. Each week we will post excerpts, articles, and interviews from ABA books and authors. Watch for occasional author guest posts and special offers for our readers. Our briefs provide you with useful takeaways that can assist you in your law practice. Sample the best content that ABA Publishing has to offer in convenient bite-size chunks. Hungry? Dig in!

 

Holiday Gift Ideas for Lawyers
Letter from the Publisher
 
The holidays are traditionally a time to reflect on the past year, and to show gratitude to our friends, loved ones, and colleagues. For many of us, the past year has been a particularly challenging one. So we thought we would simplify the process of finding the perfect gift or just the right gesture; herewith, our Holiday Gift ideas.
 
Visit our Holiday Gifts page to see some of the lovely, fun, helpful, and sure-to-be-appreciated books we're offering steep Holiday discounts on this season. Our "Little Books" series--the Little Green Book of Golf Law, the Little Red Book of Wine Law, and the Little White Book of Baseball Law--can now be purchased as a set for a "buy two, get the third free" price. And the first two titles in our new ABA Classics series are available as a set or individually; The Art of Cross-Examination by Francis Wellman and The Common Law by Oliver Wendell Holmes are available now, and the next two in the series, Blackstone's Commentaries and The Federalist Papers, will be available in early December.
 
Bryan Garner's wonderful collection, Garner on Language and Writing, is the perfect gift for anyone interested in writing, style, or usage; the book collects the finest of Garner's writing from the past thirty years and has been praised by everyone from William Safire to Supreme Court Justice Ruth Bader Ginsburg as a classic writing guide.
 
The new Lawyer: A Brief 5000 Year History, by Blaine Andruss is a hilarious yet scholarly account of the entire history of lawyers and lawyering--perfect for the lawyer-historian. Law Makers, Law Breakers, and Uncommon Trials is great for the same historically-minded reader; it describes in great detail 25 able trials ranging from the divine right of Charles I to the civil rights struggle of Rosa Parks. And for fans of legal television, the new Lawyers in Your Living Room: Law on Television features 38 chapters on legal shows on TV, from Perry Mason to L.A. Law to Judge Judy.
 
For the younger lawyer or associate in your life, consider The Curmudgeon's Guide to Practicing Law, the tremendously useful little book of advice for succeeding in a law firm (written by Jones Day partner Mark Herrmann as a fictional curmudgeonly partner in the corner office), or the latest from Michael Tigar, Nine Principles of Litigation and Life, a meditation on the principles of action necessary in both trial work and everyday living. 
 
The Busy Lawyer's Guide to Success: Essential Tips to Power Your Practice collects tips and ideas to improve your effectiveness. Turning Points: New Paths and Second Careers for Lawyers, Second Edition describes the "second life" that over 20 lawyers have made by leaving the practice of law for other opportunities.
 
From all of us at ABA Publishing, we wish you a happy and healthy holiday season.
 

Sincerely,

Bryan Kay

Bryan Kay
Publisher
ABA Publishing

Navigating the Endangered Species Act

From Chapter 8, "Land Use Activities and the Section 9 Take Prohibition" by Stephen P. Quarles and Thomas R. Lundquist

The Endangered Species Act (ESA) declares that it is unlawful to "take" any endangered species of fish or wildlife anywhere in the United States, defining "take" to mean "harass, harm, pursue, hunt, shoot, wound, kill, trap, capture, or collect." The ESA and various regulatory provisions also make it unlawful to take most threatened species of fish or wildlife. In areas inhabited by such wildlife, landowners are often uncertain whether their land use actions will be viewed as take. A landowner who wishes to be protected from take liability has several options.

A landowner could decline to undertake any activity that has any possibility of causing a take, but this would be unwelcome since it denies productive economic uses of land. Alternatively, landowners can secure immunity from potential take liability in three ways. First, they can prepare conservation plans (often called habitat conservation plans) for listed wildlife species on their lands and seek "incidental take permits," which allow land use activities to proceed under the plan's terms. Second, where the activities involve a federal agency action (such as permitting), landowners can be beneficiaries of incidental take statements issued under the ESA following consultations between the federal agency and the Fish and Wildlife Service (FWS), which is chiefly responsible for the ESA. Third, FWS's general "safe harbor" policy would encourage landowners to grow habitats preferred by listed wildlife species and, in return, allow incidental takings so long as the current or baseline population of the listed species is maintained on those lands.

Two other (rarely employed) alternatives provide landowners with greater certainty on allowed and prohibited activities. First, there is a special rule on lawful and unlawful land use activities that might affect a particular threatened (but not endangered) species. Second, the FWS could informally announce that it will not prosecute some types of land use activities that constitute potential takes of listed wildlife. Though such review is not explicitly authorized by the ESA, neither is it prohibited. As long as the guidance is limited to asserting that "if the landowner adopts specified measures, the FWS will not prosecute the following types of land use actions," and does not stray into insisting that "this particular land use action is a 'take,'" the guidance might not create the type of legal norm that requires a rulemaking under the Administrative Procedure Act or run the risk of violating established limitations on take.

Of the two alternatives (and others not mentioned), proceeding by a rulemaking provides greater security for landowners. FWS's informal view might not prevent an ESA citizen suit by an environmental group alleging a violation of the harm regulation, or even a change of mind by FWS itself. However, if FWS does state in a final rule that certain types of activities are exempt from take, this should bind FWS and all other litigants.

Is a Source of Greenhouse Gas Emissions an Enjoinable Cause of Take of a Polar Bear?

In May 2008, FWS listed the polar bear as a threatened species. This is the first, perhaps of many, species to be listed primarily due to concerns that the species is threatened by current or projected global climate change. The implications for the ESA of global climate change, and vice versa, will no doubt be significant issues in the future. One emerging issue is whether a proposed power plant or other project that emits greenhouse gases (GHG) can be enjoined because it allegedly takes or harms a polar bear. The answer appears to be no.

Contemporaneous with the ESA listing of the polar bear as a threatened species, FWS exercised its discretionary authority to not fully extend the take prohibition to a threatened species. The special rule provides that any arguable incidental take associated with an "otherwise lawful activity within any area subject to the jurisdiction of the United States except Alaska" is not a violation of the ESA. Under this rule, any suit should be dismissed that alleges that the GHG emissions associated with, for example, an oil refinery or highway in Texas would take a polar bear.

This rule was adopted as part of Interior Secretary Dirk Kempthorne's policy that the ESA not be misused as a back-door mechanism to regulate GHG emissions. The legality of the rule and of other aspects of the polar bear listing are being challenged in lawsuits brought by environmental groups, the State of Alaska, and regulated groups.

Even in the absence of this rule, the theory that a proposed project in the lower 48 states is the proximate cause of the death or injury of a particular member of a listed species seems to be impossible to prove. As the director of the Center for Biological Diversity has reportedly stated, "any bid to fight the construction of a power plant by arguing that emissions might harm a species would probably be thrown out of court, because such climate-change effects remain speculative." We would add that because there are billions of sources of GHG emissions (past, present, and future) worldwide, a plaintiff seemingly cannot sustain its burdens of (1) proving that the death or injury to a particular member of a listed species will occur to a reasonable certainty; and (2) attributing that harm to a defendant's proposed project, as opposed to other sources of GHGs.

Excerpted From:

Endangered Species Act: Law, Policy, and Perspectives, Second Edition
Product Code: 5350185B
Editors: Donald C. Baur, Wm. Robert Irvin
Publication Date: November 10, 2009
ISBN: 978-1-60442-580-2
Page Count: 468
Trim Size: 7 x 10 - Paperback
Sponsoring Entities: Section of Environment, Energy, and Resources
Topics: Environmental Law
Format: Book - 5350185B
Pricing: $139.95 (Regular)
$119.95 (Section of Environment, Energy, and Resources) Join Now and receive your discount!

Using Your Current Practice to Plan and Build a Billing Method

By Mark A. Robertson and James A. Calloway

What billing system is right for my practice? How can I change from an hourly billing method to a value-based method? How do I determine if my practice can make such a change? These are questions that must be asked and answered before a you consider changing billing systems. This chapter presents some checklists of some things you should do and some tools for you to use to determine the cost of producing your legal services and evaluating the billing method suitable for your particular practice.

Before starting any crossover from an hourly (cost-based) billing method to an alternative (value-based) method, you need to know your own environment and practice and go through a detailed process of self-assessment.

Self-Assessment Checklist

The considerations described in chapter 3 relating to pricing legal services in your practice area and the effect of the value curve will strongly influence your choice of billing methods. Ask the following questions to help you assess your practice and determine which billing methods are appropriate to help you reach your objectives.

Objectives and Goals

  • The solo practitioner, firms of all sizes, and in-house counsel need to set objectives and goals. Do you have firm objectives and goals for your practice?
  • What are your strengths and weaknesses?
  • What opportunities exist in your market that you might not have addressed?
  • What services do you now provide?
  • What services should you provide in order to address market opportunities and meet your goals and objectives?
  • How do you as owner(s) of the firm perceive your organization, its competitive advantages and disadvantages?
  • Are your perceptions realistic and supported by the facts?
  • How do your perceptions fit with your clients' perceptions? Prospective clients' perceptions? How will you find out?
  • Who are your lawyers and staff, and what are their talents?
  • What is the experience mix of your firm's lawyers, and how does it fit the needs of your clients and prospective clients?
  • Who are your clients, and what are their legal needs now or in the foreseeable future?
  • How do your firm's talents meet the needs of your clients?
  • Do your clients believe that you or your firm has the skills to meet their needs as they perceive them?
  • Do your current clients have legal needs that are presently being handled by other firms?
  • Are these areas of practice that you are or should be providing?
  • Do the services you provide your clients vary in where they fit on the value curve?
  • Where does your practice fit on the value curve?
  • Are there services you currently provide that should be dropped due to their place on the value curve?

Present and Future Market Trends

  • What are the market trends?
  • What is the demography of:
    • your firm?
    • your clients?
    • your legal community?
    • your community or market area?
  • Who are your competitors, and where are they located?
  • In what practice areas do they compete?
  • What are the prevailing rates for the types of services you provide in your market, especially if you are providing services that are price sensitive?
     

Current Billing Methods

  • Do your current billing methods enable you to achieve a desired level of profitability?
  • Do your current billing methods meet client needs and preferences?
  • Do they enable you to compete effectively?
  • Do they enable you to further your firm's goals?
  • Do they fairly measure value to the client?
  • Are they consistent with trends?
  • Do they promote effective marketing?
  • Are they based on written fee agreements?
  • Have they been innovative? flexible?
  • Are your current billing methods different for different types of services?
  • Are they competitive in your market area as to price?

Willingness to Try Innovative Billing

  • Have you analyzed your practice to determine those practice areas or types of services for which alternative or innovative billing methods might be beneficial?
  • Are you or some members of your firm willing to innovate?
  • Do you have clients who have requested or might be willing to accept alternative billing methods?
  • Are you willing to take the time and make the effort to bring about a change in how you bill for legal services?
  • Will your firm support the effort?
  • Thoughtful consideration of the preceding questions can provide insight, and completing this preliminary self-assessment is an important first step.
  • However, it is not enough to merely mentally review these questions. As with any project, some written notes add a framework and aid in the retention of any thoughts and observations. Actually providing writing materials to the lawyer or lawyers analyzing these inquiries is clearly useful, if not required.
  • The lawyer must weigh the pros and cons to determine whether the environment is such that innovation in billing has a chance to succeed or in what areas it has the best chance to succeed initially.

Only then are you ready for the next step: determining the cost of producing the legal services.

Excerpted from:

Winning Alternatives to the Billable Hour: Strategies that Work, Third Edition
Product Code: 5110660
Authors: Mark A. Robertson, James A. Calloway
Publication Date: June 23, 2008
ISBN: 1-60442-128-2
Page Count: 175
Trim Size: 7 x 10
Sponsoring Entities: Law Practice Management Section
Topics: Billing, Financial Management, General Practice, Law Practice Management
Format: Book - 5110660
Pricing: $99.95 (Regular)
$99.95 (ABA Member)
$74.95 (Law Practice Management Section) Join Now and receive your discount!

The Power of Natural Advantage

By X. M. Frascogna Jr. and  H. Lee Hetherington

One advantage of being a lawyer is that your clients voluntarily seek your advice. This means that your client has made an independent decision that he or she has a problem and needs professional help.  Under these circumstances, the client is much more likely to tell you what is on his or her mind and to listen to what you have to say.

Your words, actions, and demeanor should be calculated to reinforce the fact that the client has made the right decision in coming to you. You should also reassure the client that you are interested in what he or she has to say and encourage him or her to confide in you regarding all relevant details of the problem. This can result in instant, positive rapport while ensuring that you are getting a complete picture of the client's particular situation.

Excerpted From:

The Lawyer's Guide to Negotiation, Second Edition
Product Code: 5150437
Authors: X.M. Frascogna Jr., H. Lee Hetherington
Publication Date: November 2009
ISBN: 978-1-60442-578-9
Page Count: 239
Trim Size: 6 x 9 Paperback
Sponsoring Entities: General Practice, Solo and Small Firm Division
Topics: General Practice
Format: Book - 5150437
Pricing: $89.75 (Regular)
$75.95 (General Practice, Solo and Small Firm Division) Log in now to receive this discount!

Integrating Your Life and the Law
By Steven Keeva
 
It's important to remember that people really can change. Oliver Wendell Holmes himself is a great example. The very same man who thought that perhaps the law ought to be cleansed of all its moral content—though now in his nineties—put this advice in a letter to a young man just embarking on a legal career: "For your sake I hope that when your work seems to present only mean details, you may realize that every detail has the mystery of the universe behind it and may keep your heart with an undying faith." On another occasion he maintained that no other profession "gives such scope to realize the spontaneous energy of one's soul."
 
When a profession demands as much as the law does on most days, it is hard to imagine where you can find the time and mental space to attend to your split-off parts, invite more of yourself into your work, and nurture the deep pleasure that law practice still can offer. Increasingly, the answer must be at work as well as at home, with colleagues, with clients, and in your own—and your law firm's—relationships with your community. If not, with so much of your time being spent at work or recovering from work, dispiritedness is almost inevitable.

Integration can be cultivated. People have done it for millennia, using a wide variety of practices, many of which can be tailored to the life of a busy lawyer. The bottom line is this: You can have a vibrant inner life, one that nourishes your professional life so that what you do becomes more of an expression of who you are. It can be a kind of homecoming, a return to a place that feels familiar yet utterly new. It can bring excitement back to your law practice.

This isn't just theory or wishful thinking. The same integrative/holistic awareness that has emerged in medicine and is now getting attention in business and education has gained a foothold in the legal world. It isn't easy to pin down what it means to be whole or integrated. But it's worth trying. Here are some qualities or experiences that may give at least a hint of what the desired state is all about:
  • You have a sense of diversity in your life—diversity of feelings, thoughts, and experiences. In social and biological systems, diversity is a sign of strength and vibrancy. So it is in individuals, who atrophy when they become emotionally and intellectually monochromatic. Great strength, and a sense of harmony, comes from the unfettered interplay of intellect, spirit, and emotions.

  • You are able to articulate, to your own satisfaction, what matters to you and what principles guide you in your life. You live in harmony with them, both at work and at home.

  • You see your work as a servant of your values, passions, and sense of purpose in life.

  • You are emotionally open and—at least in some circumstances—able to laugh with gusto, to cry, to be real.

  • When you are angry, you are aware of it and you take responsibility for it, rather than making it someone else's fault.

Excerpted from:

Transforming Practices: Finding Joy and Satisfaction in the Legal Life, Tenth Anniversary Edition
Product Code: 1620422
Author: Steven Keeva
Publication Date: November 2009
ISBN: 978-1-60442-729-5
Page Count: 255
Trim Size: 6 x 9, Hardcover w/ Dustjacket
Sponsoring Entities: ABA Book Publishing
Topics: Career Development, Law Practice Management, Management / Organizational Skills
Format: Book - 1620422
Pricing: $29.95 (Regular)
$23.95 (ABA Member)

Termination and Default
by Steven M. Siegfried
 
Termination of a construction contract is generally an unpleasant and sometimes unavoidable prospect for all parties involved, and it poses a unique set of problems. It is not always clear whether there is a sufficient legal basis for terminating the contract. Disputes may arise when a particular act or omission by one party constitutes a breach of a construction contract or when the terminating party is free from fault. When a party terminates a construction contract, the burden of proving that the termination was justified will lie with the terminating party. The potential liability for damages resulting from a wrongful termination is often great, as a wrongful termination will amount to a material breach of contract.
 
Well-drafted termination provisions go a long way in limiting the potential problems associated with termination. Often, the construction contract contains separate termination provisions, each specific to the contractor and the owner. Article 14 of the often-used AIA Document A201–2007 contains termination provisions addressing the suspension and termination of the contract by either the owner or the contractor.
 
Contractual Termination Provisions
 
Termination by the Contractor for Cause

One very common type of termination provision is the "for cause" provision. As its name implies, this type of provision allows a party to terminate only when there is proper cause.
 
Termination by the Owner for Cause

AIA Document A201–2007 also contains provisions for termination by the owner, which are instructive.
The owner may terminate the contract if the contractor:
  1. repeatedly refuses or fails to supply enough properly skilled workers or proper materials;
  2. fails to make payments to subcontractors for materials or labor in accordance with the respective agreements between the contractor and the subcontractors;
  3. repeatedly disregards applicable laws, statutes, ordinances, codes, rules and regulations, or lawful orders of a public authority; or
  4. otherwise is guilty of substantial breach of a provision of the contract documents.
Termination for Convenience

Construction contracts may also contain a provision that allows the parties, though typically only the owner, the option of terminating the contract for convenience. Essentially, pursuant to this type of provision, so long as the procedural aspects are followed, the owner can terminate without having a specific reason. These types of provisions have been upheld and can be found in many of the standard construction industry contract forms, including AIA Document A201–2007. For example, a provision allowing the owner to terminate "at any time for any reason by giving at least ten (10) days prior written notice" was held enforceable.
 
Material Breach

Not all breaches of construction contracts are equal. It has been noted that "any contractually authorized breach for which the contract provides administrative redress cannot constitute a common-law breach of contract, such as those authorizing changes, suspension, site conditions, and termination for convenience. These convert common-law breaches into contractual rights." A party’s conduct or the impact that a breach has on the object of the contract may give rise to additional causes of action or remedies. One such type of breach is a material breach. If a party has materially breached the construction contract, the nonbreaching party will have grounds to terminate.
 
Termination by Agreement

The right of two parties to contract naturally infers that the two parties may agree to terminate the contract. In laymen’s terms, the parties have "called the deal off," while in legalese, this concept is referred to as rescission, cancellation, mutual termination, or some other synonym.
 
Notice and Opportunity to Cure

Similar to the notice-of-termination provision in AIA Document A201, most standard form construction contracts provide that a notice of termination be sent to the breaching party and, if applicable, to the lender or surety. The notice period can be viewed as (1) an opportunity for the terminating party to "cool off" and rethink its decision to terminate; (2) an opportunity for the breaching party to "lay off employees, remove equipment from the premises, cancel orders, and for similar matters" and an opportunity for the nonbreaching party to make other arrangements to complete construction; or (3) a time period in which the breaching party is allowed to cure the breach. To avoid any confusion as to the purpose of the notice period, the parties should specifically set forth the rights and obligations of the parties during this time frame.
 
Wrongful Termination

A party seeking to terminate the contract should be cognizant of the potential pitfalls and liability that may lie ahead. Upon termination of the contract, the terminated party is excused from performance and may immediately sue for damages. Where a party wrongfully terminates a nonbreaching party, such an act will amount to a material breach of the contract entitling the nonbreaching party to expectation damages.
 
Excerpted from:
 
Product Code: 5570215
Editors: William Russell Allensworth, Ross J. Altman, Allen L. Overcash, Carol J. Patterson
Publication Date: January 2009
ISBN: 978-1-60442-323-5
Page Count: 782
Trim Size: 7 x 10 - Hardcover
Sponsoring Entities: Forum Committee on the Construction Industry
Topics: Construction Law
Format: Book - 5570215
Pricing: $195.00 (Regular)
$175.00 (Forum Committee on the Construction Industry) Join Now and receive your discount!
$138.00 (Law Student Division) Join Now and receive your discount!
DOJ Guidelines as Negotiating Opportunities
By Miriam F. Weismann
 
Corporations do not go to jail. Instead, the law elevates corporate "existence" to a chargeable "legal person," one without a physical body but not without an economic soul. Indeed, corporate punishment, in the form of economic sanctions, strikes at the very soul of the corporation—its bottom line. The decision to go to trial on criminal charges is the highest-risk strategy that can be pursued by a corporation in attempting to resolve liability issues. (The failure of that strategy in terms of entity demise is best illustrated by the complete disappearance of the national accounting firm Arthur Andersen.)
 
Pretrial resolution offers some greater degree of control over the extent to which a corporation may suffer economic damage as opposed to leaving the ultimate disposition of liability in the province of the jury and the sentencing court. Criminal charges can be resolved before trial using plea agreements, deferred prosecution agreements (DPAs), or nonprosecution agreements (NPAs).
 
In the context of drafting plea agreements, there are five "hot button" issues for both sides during negotiations: (1) identifying the charge; (2) agreeing on economic sanctions; (3) liability of individuals; (4) cooperation; and (5) the factual statement or basis for the plea made part of the record.
 

(1) Where the corporation has not yet been indicted, the individual prosecutor has more flexibility in deciding the most readily provable count to which the corporation must plead. Each United States Attorney’s office will decide for itself. The government will invariably consider the risk of litigation and the cost and time commitment to a prosecution. Smaller districts are more inclined to plead out cases where case agents are scarce and prosecutors who are trained in white-collar prosecutions may be in even greater demand.

Where the corporation has already been indicted, the prosecutor must demand a plea to the most serious count in the indictment or otherwise seek DOJ approval in order to bind the government to a plea to a lesser count.

(2) Economic sanctions in the form of fines and penalties are not tax-deductible. Generally, a corporation may deduct the amount of a restitution payment. The characterization of the payment in the settlement agreement is usually determinative both to the courts and the Internal Revenue Service. Careful attention must be paid to the rules and correct drafting is essential.

(3) As the Thompson memo indicates, corporations cannot pay large amounts of money to free culpable employees from prosecution. However, the extent of employee knowledge and culpability does make a difference. Also, the willingness of less-culpable employees to cooperate may also contribute to a resolution of individual liability. As a practical matter, much will depend on the strength of the government’s evidence and whether the testimony of a particular individual is considered necessary to prove its case. Consequently, individuals should be separately represented by counsel to avoid any conflict of interest.

(4) With the changes regarding the requirements for corporate cooperation, less is required to make a deal. As noted above, the McNulty memo represents a significant departure from prior DOJ policy in this area. Nonetheless, obstructionist behavior will be viewed as antithetical to the negotiation process and may result in a failure to successfully negotiate an agreement.

(5) Finally, the corporation will be required to provide a factual basis for the criminal charge. Unless there is a resolution of civil and/or administrative liability and/or other state criminal and civil exposure, every attempt should be made to limit the extent and nature of the corporation’s admissions. The accompanying statement of fact is usually made part of the court record and is likewise available to private litigants, and thus useful in the pursuit of shareholder and creditor suits. As for entering into a nolo contendere plea to avoid the admissions problem, one can always ask, but the standard justice policy is to refuse the request.

As a caveat, most courts will not accept a corporate plea agreement that is executed by counsel for the company. An authorized corporate officer, not the company attorney, must normally sign the plea agreement, which must be accompanied by a resolution of the board of directors granting that officer the power to enter into the agreement on behalf of the company.
 
Excerpted from:
 
Product Code: 5090121
Author: Miriam F. Weismann
Publication Date: April 27, 2009
ISBN: 978-1-60442-376-1
Page Count: 242
Trim Size: 7 x 10
Sponsoring Entities: Criminal Justice Section
Topics: Criminal Law, Evidence, Litigation
Format: Book - 5090121
Pricing: $119.95 (Regular)
$99.95 (Criminal Justice Section) Join Now and receive your discount!
Navigating the Political Storms

Letter from the Publisher

Dear Colleagues,

The agenda of the new administration has kept the spotlight on Washington for much of the past year. Health care reform has sparked intense debate over the influence of lobbyists in shaping legislation. The ramp-up of troops in the Middle East has kept the ongoing battle against terrorism and the underlying issue of homeland security in the headlines. Recent controversies over elections in Afghanistan, Russia, and Iran highlight the tenuous grasp of voting rights in much of the world. At the ABA some of the top legal minds gather above the fray to offer cool-headed guidance to readers buffeted by the storm.
 
The fourth edition of The Lobbying Manual: A Complete Guide to Federal Lobbying Law and Practice is an invaluable resource for professionals working in the highly visible arena of advocacy. Landmark legislation such as the Honest Leadership and Open Government Act of 2007, which significantly amended the Lobbying Disclosure Act of 1995, is thoroughly analyzed, and the book insightfully describes the congressional lawmaking and appropriations processes, the constraints that apply to lobbyist participation in political campaigns, the techniques of grassroots lobbying, and the professional norms of appropriate behavior that apply to lobbyists.
 
Since it burst onto the scene after 9/11, the issue of homeland security has become a critical mission of one of the largest agencies in the federal government. Homeland Security: Legal and Policy Issues is an important compilation of policy and practice-oriented information pertaining to the Homeland Security Act. The book provides a timely summary and analysis of the congressional and executive response to homeland security concerns arising from either man-made or natural disasters. Authors include easy references to additional authorities and information sites, making this publication a useful tool and lasting sourcebook.
 
International Election Principles: Democracy & the Rule of Law is a book of ideas and proposals for carrying out elections that are fair on their face and sound in their execution. The book goes beyond traditional doctrine by providing solutions and setting forth a detailed methodology for the problems that plague elections internationally. International Election Principles helps readers appreciate the varied requirements for a successful election, understand why some problems occur, and learn how to avoid them in the future.
 
Back at home, America Votes! A Guide to Modern Election Law and Voting Rights provides a snapshot of America's voting and electoral practices, problems, and most current issues. Chapters collectively blend theory and practice, covering key topics such as voting technology, voter identification, voter protection, the growing minority language voting population, the 2006 extension and amendment of the Voting Rights Act, election-day registration, early voting, and felon disfranchisement. Updated by a downloadable supplement, the book is a valuable resource for lawyers as well as law school professors, election officials, state and local government personnel involved in election administration, election workers, and poll workers.

Sincerely,

Bryan Kay

Bryan Kay
Publisher
ABA Publishing

Municipal Securities and SEC Enforcement

 

By the ABA Section of State and Local Government Law, the Committee on Federal Regulation of Securities of the ABA Section of Business Law, and the National Association of Bond Lawyers

 

Excerpted from Disclosure Roles of Counsel in State and Local Government Securities Offerings


Many unique characteristics distinguish the municipal securities market from both the equity markets and the corporate debt market. The legal authority of municipal issuers to tax and to increase service rates varies substantially, not only from state to state, but also among the multitude of local governmental issuers within each state. Because legal authority is so central to the credit of municipal issuers, legal counsel is central to the disclosure process.


SEC Enforcement

 

The enforcement authority of the Securities and Exchange Commission is exercised in different forums within the powers provided by Congress under the securities laws. The nature of each type of proceeding and the manner in which it has been resolved carry important implications for anyone deriving guidance from it.

 

Investigations and 21(a) Reports


The Securities Exchange Act of 1934 gives the SEC the authority to conduct "such investigations as it deems necessary to determine whether any person has violated, is violating, or is about to violate any provision" of the federal securities laws and the rules and regulations thereunder, as well as the rules of the Municipal Securities Rules Board and other self-regulatory organizations. The SEC has broad discretion "to publish information concerning any such violations, and to investigate any facts, conditions, practices, or matters which it may deem necessary or proper to aid in the enforcement of such provisions, in the prescribing of rules and regulations under [the Securities Exchange Act of 1934], or in securing information to serve as a basis for recommending further legislation . . . ."

 

The SEC has used this authority to publish several reports key to its body of guidance to the municipal market: the reports on the New York City fiscal crisis of 1975, the Washington Public Power Supply System default in 1983, and the conduct of the Orange County Board of Supervisors culminating in the county's 1994 bankruptcy. In addition, the SEC has used this authority to issue the Seaboard Report, a 2001 report outlining factors taken into account in evaluating cooperation during an enforcement investigation. Many of the settled administrative proceedings discussed in this book subsequent to the Seaboard Report contain a discussion of the role a party’s cooperation played in the settlement.

 

The release of "21(a) reports" (named after the pertinent section of the Securities Exchange Act of 1934) is typically consented to by the subjects in lieu of initiation of an administrative or injunctive proceeding. The SEC has used 21(a) reports from time to time to explain conduct it deems as violating the securities laws and as warning of a more vigorous response to similar conduct in the future.

 

Administrative Proceedings


The SEC has broad authority to institute administrative proceedings against regulated entities, such as broker-dealers and investment advisers, as well as their associated persons. The Securities Enforcement Remedies and Penny Stock Reform Act of 1990, adopted only a few years before the SEC's dramatic increase in municipal enforcement actions, extended SEC adjudicative power to reach any person who violated or caused violations of the federal securities laws.

 

Administrative proceedings are initiated by order of the SEC and prosecuted by the Division of Enforcement before an administrative law judge according to the SEC's Rules of Practice. Administrative proceedings and the powers of an administrative law judge differ substantially from proceedings in federal district court before a federal judge. Appeal from a decision of an administrative law judge is first to the SEC, then to the U.S. Court of Appeals for the District of Columbia or the federal circuit court where the appellant resides or has his principal place of business, and thereafter to the U.S. Supreme Court.

 

The great majority of administrative proceedings are settled prior to institution of the proceeding pursuant to an offer of settlement and upon which the SEC enters an order. Settled proceedings have no value as precedent. They provide the SEC the opportunity to discuss the circumstances behind the findings and violations forming the basis for the order. Some critics have observed that the SEC often uses language in such settlements to assert aggressive legal positions untried in courts or other contested proceedings and then subsequently cites such settlements as precedent for further extensions of such legal positions.

 

Injunctions


The SEC's power to seek an injunction in federal district court against violations of the federal securities laws was for many years the main weapon in its enforcement arsenal. In an injunctive proceeding, the SEC must demonstrate a reasonable likelihood of future violations. Following enactment of the Remedies Act, the SEC made greater use of administrative proceedings than of the federal courts, unless the conduct involved was egregious, in the SEC's view, and the available remedies more attractive.

 

Criminal Proceedings and Referrals to Other Authorities


Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and other federal securities laws provide for criminal prosecution of "any person" for "willful" violations. As the Form 1662 accompanying voluntary requests for documents or SEC subpoenas alerts the recipient, "the Commission often makes its files available to other governmental agencies, particularly United States Attorneys and state prosecutors," in addition to an extensive list of other parties, including state bar regulatory authorities. In several instances, matters relating to municipal bond transactions have been pursued by U.S. Attorneys as violations of the mail fraud, wire fraud, and honest services wire fraud provisions of the United States Code.

 

Negative Vouching

By Donna Elm
 
 
Generally, vouching is thought to refer to arguments that bolster a witness's credibility. However, personal opinions of counsel also can be used to undermine a witness's credibility. Because the speaker vouches against (rather than for) a witness, it is referred to as "negative vouching."
 
Most of the positive or endorsing types of vouching can be done negatively, and both "facts not in evidence" and "prosecutorial screening" are by their nature predominantly negative. Other forms of negative vouching include opinions that a witness is not telling the truth, opinions of guilt of the accused, bad character vouching, and a rather virulent form of negative third-person vouching that suggests that the defense attorney disbelieves her client.

Negative Facts Not in Evidence

Facts not in evidence, when indicative of guilt or that the defendant or his witnesses are lying, would constitute negative vouching. 
 
Here are some examples:
  • Throughout closing, the prosecutor holds up a cassette tape that allegedly contains incriminating conversations involving the defendant.
  • "We could have brought in the neighborhood and have them tell you what they saw."
  • "Because of a ‘rule of law,' [the prosecutor] was not allowed to present other information that would support [the defendant's] conviction."
     
Negative Prosecutorial Screening

Prosecutorial screening of the case, as opposed to screening of witnesses, invariably is negative vouching. Here are examples of screening that constitutes negative vouching:
  • "We wouldn't be here unless what I'm about to tell you really happened."
  • "The system doesn't put innocent people in jail."
  • "I told you earlier about the obligations of a prosecutor, and one of the obligations is that you don't charge such a serious crime of murder unless you have the proof and the evidence to back it up."
Negative Opinion Argument
 
Four types of negative opinion argument are discussed below: bad-character argument, opinion (first person) of guilt, opinion (first person) that witnesses are untruthful, and opinion (third person) of guilt or untruthfulness. Courts tend to find the first, third, and last of those improper, but first-person opinions of guilt present a "gray area" of the lawstating a belief in guilt is very similar to stating the government's ultimate position, namely, that the defendant is guilty.
 
Negative Character Opinion

Examples of negative character opinions in criminal proceedings can occur when a prosecutor calls the defendant:
  • "A cold-blooded killer."
  • "The leader of this pack of murderers."
  • "A child abuser."
  • "A fraud."
  • "A thief, . . . con man, . . . and swindler."
  • "An animal."
  • "Scheming, manipulative"
Negative First-Person Opinion of Guilt

Note that "negative vouching" by an attorney offering his opinion as to guilt is very close to simply arguing the licit position that the defendant is guilty.
 
Hence, the line between the permissible and misconduct is not distinct. One "bright line" means of distinguishing the two is in the use of "I" statements such as "I think," "I believe," or "I know." These are routinely improper when relating a personal opinion. For example:
  • "For what it is worth, I am morally convinced that he is guilty beyond a reasonable doubt."
  • "I don't know that I've ever said so strongly on another summation that the medical evidence taken together, there is no reasonable view of it that would lead you to the conclusion that that was merely the consequence of consensual sex."
  •  "I feel that the necessary elements of both of these charges have been fully proved."
  • "I expect a 90 to 100 percent conviction rate."
  • "After hearing the People's witnesses here in court, after hearing the defendant's testimony on the stand, my conviction of the defendant's guilt no longer remains a belief but has become an absolute certainty which must in all fairness be shared with you."
Negative First-Person Opinion of Untruthfulness
 
Negative opinion argument can go to credibility, as when a lawyer argues that he does not believe the witnesses or thinks the plaintiff is lying. Furthermore, when the L-word, "liar," is used, the lawyer adds pejorative invective. 
 
Courts found the following first-person opinions of untruthfulness to be improper:
  • [Repeatedly calling the witness] "a liar."
  • [The defendant's testimony was] "a creation, a fabrication."
  • "I am convinced that you likely will conclude that [defense witnesses] were lying."

Courts are far more tolerant of use of the L-word when it is substantiated in the record. Hence, the following arguments were not considered to be improper in the context of the rest of the evidence confirming them:

  • "I suggest to you two things; one, he is a liar; and, two, he was the possessor of controlled substances."
  •  "[The defendant] continues to lie, just as he lied to the agents a couple years ago. Now he's lying to you."
 
Negative Third-Person Opinion of Guilt
 
When an attorney argues that someone else thinks the defendant is guilty, it is a negative third-person opinion.  Injecting a third party's opinions into argument usually means introducing facts not in evidence. Here are some examples:
  • "The authorities . . . pretty well determined who was the wrongdoer . . . and who was the person who was actually causing all of the trouble."
  • "I doubt in my mind that anyone at this point has any question in their mind about the guilt or innocence of this man."
     
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