ANNUAL REPORT - American Bar Foundation - Home · questions of tort law and to what degree such matters as personal culpability, causation, and the like are viable approaches to tort

ANNUAL REPORT 1973

ANNUAL REPORT 1973

American Bar Foundation

115 5 East 60th Street Chicago, Illinois 6063 7

The American Bar Foundation is the legal research affiliate of the American Bar Association. Its institutional mjssion is to conduct research that will enlarge the understanding and improve the functioning of law and legal institutions. The Foundation's work is supported by the American Bar Association, the American Bar Endowment, Tbe Fellows of the American Bar Foundation, and by outside funds granted for particular research projects .

. . . in the Intelligent Pursuit of Ordered Liberty

American Bar Foundation: Officers and Directors January 1, 1974

Hon. Erwin N. Griswold, President, of t he District of Columbia Bar (J 978)

Maynard J . To ll , Vice-President, of the California Bar (1974) W. Page Keeton, Secretary, Dean, University of Texas Law Schoo l ( 1977) Karl C. Will iams, Treasurer, ex officio, Treasurer of the American Bar

Association, of the lllinois Ear ( 1973)

Hon. Dudley B. Bonsal, U.S. District Judge, New York (1976) John J. reedon, of the New York Bar (1978)

*J oseph H. Gordon, of rhe Wash ington State Bar (1977) • Ph il C. Neal, Dean, University of Chicago Law School (1974)

Hon. Lewis F. Powe ll , J r .. U.S. Sup reme Court (197 5) •Bernard G. Segal, of the Pennsylvania Bar ( 197 5)

Edward L. Wright, of the Arkansas Bar (1976)

ex officio Chesterfield Smi th, President, American BM· Association James D. Fellers, President-Elect, American Bar Association Hon. J ames K. Groves, Chairman, House of Delegates, American Bar

Associat£on John P. Bracken, President, America11 BM Endowment J o hn A. Sutro, Chairman, Tbe Fellows of the American Bar Foundalion

*Livingston Hall , Vice-Chairman, The Fellows of the American Bar Foundation

•Member of rhe Executive Comm iccec

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The Program of the


This report on the work of the Foundation covers the period January 1, 1973, through December 31, 1973.

The major effort of the Foundation is to do research that explores in depth specific problems or questions about areas of the law, the nature of the legal profession and its workings, and the operation of legal institutions and programs. Research efforts often focus on taking a close look at procedures and programs related to law and legal institutions.

All research projects are of course preceded by careful exploration of topics proposed for research. Without such exploration the perspectives needed to structure a reliable research program and research product cannot be achieved.

Several special programs of the Foundation serve to enhance its research work. These programs are the Law Review Research Program, the Legal History Fellowship Program, the Samuel Pool Weaver Essay Competition, and the Visiting Scholar Program.

Supporting services are provided under the auspices of the Foundation, among them, the Cromwell Library, special services to the organized bar, and the publishing of works produced by Foundation research.

All these activities are aimed at enlarging the understanding and improving the functioning of law and legal institutions.

On the following pages the work of the Foundation is presented in the following order: Research Projects, Projects in Development, Special Foundation Programs, and Supporting Services.

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Research Projects Research Work Completed

Code of Judicial Conduct

Reporter's Notes to Code of judicial Conduct, by Professor E. Wayne Thode,* University of Utah College of Law, was published in the summer of 197 3. This project was jointly sponsored by the Foundation and the ABA Special Committee on Standards of Judicial Conduct (Roger ] . Traynor, Chairman).

1973 Supplement to the Model Business Corporation Act Annotated

Professor Richard 0. Kummert, * University of Washington School of Law, has completed the 1973 Supplement, working closely with the Corporate Laws Committee of the ABA Section of Corporation, Banking and Business Law. The Supplement was published (in a clothbound edition) in 1973 by West Publishing Company. The Foundation is now conducting preliminary discussions with the Corporate Laws Committee about joint sponsorship of another supplement in the near future.

Compatible Land Identifiers

The Foundation has just published Land Parcel Identifiers for Information Systems, by D. David Moyer,* Economic Research Service of the U.S. Department of Agriculture, and Kenneth Paul Fisher of the ABF. The authors propose the implementation of a system based on the use of State Plane Coordinates. Their report, based on extensive discussion and papers given at the Conference on Compatible Land Identifiers in 1972 and on other references, considers the difficulties in finding and implementing an improved land parcel identification system. The authors analyze a number of alternative systems and point out the weaknesses and strengths of each.

In addition to the Moyer and Fisher report, the volume includes papers prepared for the Conference and reports from the Conference's workshops.

Toward a System of Tort Law Based on Strict Liability

This is the first project in the program of contract research newly authorized by the Board of Directors. The study is a part of an ambitious

*A list of Affiliated Scholars is given on pages 26-27 .

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effort to explore whether economic theory, which to an extent is thought to underlie negligence doctrine, has provided the answers to difficult questions of tort law and to what degree such matters as personal culpability, causation, and the like are viable approaches to tort law. Richard A. Epstein,* of the law faculty at the University of Chicago, has directed the project. His article, "Defenses and Subsequent Pleas in a System of Strict Liability," will appear in the January 1974 issue of the journal of Legal Studies and will be reprinted by the ABF in its Research Contribution series.

The Impact of the Foundation Provisions of the Tax Reform Act of 1969

To evaluate the foundation provisions of the 1969 act, the study developed techniques for retrieving information from the federal information tax returns and the annual reports that private foundations file with the Internal Revenue Service. The final report, in typescript, was given limited distribution to especially interested persons, and copies were placed in the Cromwell Library. A shorter version, "The Impact of the Private Foundation Provisions of the Tax Reform Act of 1969: Early Empirical Measurements," will be published in the journal of Legal Studies and will be reprinted in our Research Contribution series in 197 4. This project has been supported by private foundation grants. The project was directed by ] ohn R. Labovitz, Esq.,* of the District of Columbia Bar.

Judicare Evaluation

Judicare is the system that provides legal services to the poor by public payment of the fees of private attorneys who serve the poor on the same basis that they serve other clients. This study of Judicare focuses on the type , amount, and quality of service rendered . It also evaluates the effectiveness of Judicare and discusses the economics of the program. Two existing Judicare programs, in Wisconsin and Montana, are compared to the Upper Michigan staffed-office program. The author and project director, Samuel J . Brake!, provides a comprehensive overview of the issues raised by Judicare and presents his conclusions in his final report,

•A list of Affiliated Scholars is given on pages 26-27 .

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]udicare: Public Funds, Private Lawyers, and Poor People, which will be published early in 197 4.

Previous publications from this project include : Wisconsin ]udicare: A Preliminary Appraisal (1972); "The Trouble with Judicare Evaluations ," 58 American Bar Association journal 704 (1972); and "Free Legal Services for the Poor: Staffed Office vs. Judicare : The Client's Evaluation," 1973 Wisconsin Law Review (reprinted as ABF Research Contribution 1973, No. 3).

Noncriminal Dispositions of Criminal Cases

This study discusses the interaction of police, prosecutors, defense counsel, counseling staff, judges, victims , and defendants in arranging for dispositions of criminal cases without convicting the defendant . Both discretionary and statutory dispositions are discussed, and such problems as defendant reluctance to enter counseling programs and the difficulty of measuring the impact of noncriminal dispositions on defendants are considered. Raymond T. Nimmer directs the project. The final report will be published early in 1974 as Alternative Forms of Prosecution: An Overview of Diversion from the Criminal justice Process . Prior publications of the project include: Donald M. Mcintyre and David Lippman, "Prosecutors and Early Disposition of Felony Cases," 56 American Bar A ssociation journal (Dec. 1970) , reprinted as ABF Research Contribution 1971, No. 2, and Raymond I. Parnas, "Prosecutorial and Judicial Handling of Family Violence," 9 Criminal Law Bulletin 733 (1973) .

Prepaid Legal Services: The Shreveport Plan

The Foundation 's research on the Shreveport Prepaid Legal Servic~s Plan, under the direction of F. Raymond Marks,* was completed in 1972. A prior publication of this project is Robert Paul Hallauer's "Shreveport Experiment in Prepaid Legal Services, " reprinted as ABF Research Contribution 1973, No. 2, from 2 journal of Legal Studies (No. 1, 1973). Some extensive reanalysis of the data has been done in 1973, and the final report, The Shreveport Plan: An Experiment in Delivery of Legal Services, is being prepared for publication in early 1974. Marks was assisted in the study by Robert Paul Hallauer, Richard R . Clifton, and Phyllis Munro Satkus.

•A list of Affiliated Scholars is given on pages 26-27.

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Criminal J ustice in the United States

The pamphlet Criminal justice in the United States, originally published in 1967, has been completely rewrirren and expanded co include changes in criminal law and its administration and more detailed descriptions of how the various components of rhe system work. The revised pamphlet, intended primarily for a lay audience and published as a service to the public, will be published early in 1974.

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Ongoing Research

STUDIES OF THE LEGAL PROFESSION AND LEGAL SERVICES

The Work of Lawyers

This study is exploring the nature of lawyers' work . Data gathered through in-depth interviews with lawyers in private practice are being analyzed to determine the kinds of work modern lawyers are doing and the m anner in which this work is organized and performed. Inquiry is being made, for example, into the law firm as an organization, into division of labor and delegation of law tasks to both lawyers and nonlawyers, and into the development of specialties. The study is also considering how a variety of factors , including such things as the lawyer-client relationship, affect the organization and performance of law work. The project is continuing under the direction of Barlow F. Christensen.

Statistical Information on the Legal Profession

The project, under the direction of Yakov Avichai and Barlow F. Christensen, is in its early stages where contacts are established with various interested ABA and other groups and advice obtained from them. It is basically a planning project to design a long-range program , if that proves viable.

The project seeks to determine the kinds of statistical data on the legal profession that are most needed and would be most useful to the profession, to discover sources of available information, to select methods of collecting, compiling, and reporting such information, and to recommend the kind of program the Foundation should undertake in this area. In the process, standard definitions and uniform terminology will be formulated with the hope of improving future compatibility and comparability in research.

Professional Standards-The Actuality of the Legal Profession's Practices

This project considers the relation between the legal profession's disciplinary process and the legal profession's definition of what it is to be a lawyer, what the profession is, and definitions of deviant behavior by lawyers. Specifically, the study examines how the various states proceed with the actual process of discipline, how the complaints are translated into disciplinary action, other remedial action, or indifference. The initial

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overview report on this project, based on interviews with state bar executives and bar counsel and on the examination of published materials, has been completed and will soon be submitted for law review publication. Further exploratory work is under way. The study, initially under the direction of F. Raymond Marks,* is now directed by Eric H. Steele.

Annotations of the Code of Professional Responsibility

The volume of annotations of the Code of Professional Responsibility has been delayed due to the pressures of other work on Project Director John F. Sutton, Jr.,* of the University of Texas School of Law. The volume is to include the Code of Professional Responsibility, analytical commentary by Professor Sutton, annotations consisting of digests of related opinions issued under the old Canons of Professional Ethics, as arranged· by Geoffrey C. Hazard, Jr.,* Yale University School of Law, and indexes and parallel tables prepared by ABF Librarian Olavi Maru. Professor Sutton served as Reporter for the ABA committee that drafted the new Code.

Probate Costs

This pilot project represents a major follow-up on early, preliminary survey work done by the ABA Section on Real Property, Probate and Trust Law, at whose suggestion the project was undertaken, and focuses on the costs and time spent by lawyers in probating estates. Minnesota was selected for the pilot study, and data have already been gathered from court records and lawyers' offices in that state. The project is under the direction of Robert A. Stein,* of the University of Minnesota School of Law.

Survey of the Legal Needs of the Public

This study of legal needs of the public is based on interviews with 2,000 persons representing the adult population of the United States. The purpose of the survey is to measure use of lawyers' services for personal, nonbusiness legal problems and to examine what factors seem to affect an individual's decision to avail himself of a lawyer's advice or assistance. Interviews will be completed and data will be initially processed by summer of 1974. This project is being conducted in collaboration with the

*A list of Affiliated Scholars is given on pages 26-27.

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ABA Special Committee to Survey Legal Needs, under the chairmanship of Randolph W. Thrower. The Foundation work is under the direction of Barbara A. Curran.

CRIMINAL JUSTICE ADMINISTRATION

Federal Omnibus Hearing

This project, directed by Raymond T. Nimmer, examines the impact of the omnibus hearing on the disposition of criminal cases. Two federal district courts, one in San Diego and one in San Antonio, were studied in depth and compared. The data reveal significant differences in the operation of the hearing in the two cities. The final report is near completion. Two earlier reports have been published: The Omnibus Hearing: An Experiment in Relieving Inefficiency, Unfairness, and judicial Delay (1971); "A Slightly Moveable Object: A Case Study in Judicial Reform in the Criminal Justice Process-The Omnibus Hearing," 48 Denver Law journal (1971); and the soon-to-be-published "Judicial Reform: Informal Processes and Competing Effects," will appear in the Russell Sage Annual Criminal Justice Series (H. Jacobs, ed.).

Criminal Pretrial Conference

Data collection for this project, directed by Raymond T. Nimmer, is now completed . Various changes are being initiated in the criminal justice process, for example, in addition to the omnibus hearing (which is the subject of the preceding project), a changeover from master to individual calendaring of criminal cases, the enforcement of speedy trial rules in a state court, and the introduction of a pretrial conference. The study is attempting to assess the impact of these changes on the timing and nature of the disposition of criminal cases. It is related to and a natural extension of the study of the omnibus hearing in the federal courts.

Federal Sentencing Process

A statistical analysis of sentencing in federal courts is now under way, with particular emphasis on comparing sentences imposed after pleas of guilty with those imposed after conviction at trial. A narrower study was enlarged when project directors Yakov Avichai, Lawrence Tiffany,* of the

*A list of Affiliated Scholars is given on pages 26-27.

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law faculty at the University of Denver, and Geoffrey W. Peters,* of Creighton University School of Law, decided that a substantial enlargement of the analysis could produce more significant results.

The Office of Prosecuting Attorney

This study, directed by Donald M. Mcintyre, is an outgrowth of a previous ABF study funded by a Ford Foundation grant . The earlier study employed experienced prosecutors to observe and report on the activities of prosecutors' offices whose operations were different from their own. The questions raised by the initial report showed the need for additional studies. The major focus of the current study is the relationship between the prosecutors' offices and the police. Data have been collected at three national conferences for prosecutors and police. Officials at the conferences were asked to fill out forms to describe their experiences and attitudes in police-prosecutor relations. Further data have been gathered on how prosecutors screen cases at the precinct level and on prosecutors' relationships to the grand jury. Reports on these subjects are in preparation. The report on police-prosecutor relations is scheduled for completion in the coming year.

State Post-Conviction Remedy Study

This study aims to describe, quantify, analyze, and evaluate current practices and procedures for both direct and collateral attack on state convictions. The study focuses on four jurisdictions, with two types of data being collected : (1) statutes, rules, decisions, and descriptions of the day-to-day administration of the procedures; and (2) individual histories of approximately 5 ,000 randomly selected actual or potential filers. The project is directed by Ronald S. Rock; Yakov Avichai is project codirector; C. Michael Oden is assistant project director.

How the Public Relates to Law: Juveniles as a Case in Point

Two basic questions are being addressed in this study : How do juveniles relate to the law and form their attitudes? How do juveniles direct their behavior toward the law? To illuminate these issues, the study aims to


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characterize the ways individuals think about and relate to legal systems and assess whether this kind of characterization can usefully predict legal decision making and actions . A basic underlying premise is that the manner in which individuals relate to the law forms a coherent, consistent pattern. Thus, the study intends to define these legal predispositions in juveniles and to explore how they affect youths' judgments and actions about legal rights, rules, responsibilities, and actions. A prior publication of this project is "Compliance from Kindergarten to College: A Speculative Research Note," by Felice]. Levine (with June L. Tapp), appearing in 1 journal of Youtb & Adolescence 233 (1972). This project is scheduled for completion by summer 1974. Felice J . Levine directs the project.

State Consumer Fraud Agencies as Consumer Dispute Resolution Institutions

This study will examine the operation of the state consumer fraud agency as an institution functioning to resolve consumer disputes. Under the direction of Eric H. Steele, researchers are initially studying a representative state agency, the consumer protection division of a state attorney general's office. The project will consider the characteristics of complaints received and how they were handled, how the agency conceived of and used its powers, and the agency's degree of success in its actions. Informal approaches to mediation, investigation, and arbitration, and the use of informal hearings are being considered in addition to formal remedies (through litigation). The procedures for handling complaints-from the first screening of incoming complaints to the initiati_on of law suits-are studied as well as the factors, objectives, and standards that determine which procedures will be used. The study assesses the agency's success in handling disputes and its effects on parties to disputes. Writing of the study should be completed by spring 1974.

Class Actions Study

Class actions for damages filed since 1966 are under study in five federal judicial districts. Empirical data drawn from docket entries will permit such interdistrict comparisons as: (1) filing and disposition rates for class and individual actions in various subject matter categories; (2) the frequency with which certification as a class action is formally considered; and ( 3) the movement of cases in and out of the district to permit consolidated discovery, pretrial or trial. In addition, the investigator in

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each district is concentrating on some distinctive aspects of class action administration, using information drawn from case files and interviews with attorneys, judges, and others who have first-hand knowledge of the problems under investigation. These individual studies-descriptive and qualitative rather than quantitative in nature-will look into such matters as settlements in antitrust and securities cases (with an eye to attorneys' fees and the relief, if any, to the class). Studied also will be a comparison of individual and class actions as vehicles for enforcement of the policies embodied in federal antitrust and securities laws as well as the impressionistic assessments of immediately involved attorneys and judges. The class action as a device for enforcement of various federal legislative policies will also receive attention.

The project is under the direction of Professor G. William Foster, Jr., of the University of Wisconsin Law School and presently a Visiting Scholar at the Foundation. An Advisory Committee is undergoing enlargement, and consultants to the project have been selected. The judicial districts under study and the investigator responsible for each are: Southern District of New York: Professor Foster; Northern District of Texas: Professor John E. Kennedy,* of the Southern Methodist University School of Law; Northern District of Illinois: Benjamin S. DuVal, Jr., of the Bar Foundation staff; District of Minnesota: Professor Charles W. Wolfram,* of the University of Minnesota Law School; Central District of California: Associate Dean Scott H. Bice,* of the University of Southern California Law Center.

Completion of the manuscript for the presently constituted study is scheduled for summer 1974.

OTHER

Administration of Appellate Courts: Review of Certiorari Petitions

An earlier project on the Administration of Appellate Courts was not completed and is temporarily in abeyance, pending the completion of work being done elsewhere. A new project now under way is a systematic examination of the content of certiorari petitions addressed to the United States Supreme Court in recent years. The petitions will be categorized according to the issues raised, followed by a tabulation of the frequency of


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the issues in each category and the extent to which the petitions were granted. Under the supervision of Professors Richard A. Posner* and Gerhard Casper,* of the University of Chicago law faculty, the data collection stage is near completion.

Marriage Counseling and the Courts

Dorothy Linder Maddi directed this study, which attempted to measure the effect of a court-operated marriage counseling program on the frequency of proceeding to final decree once a divorce action is initiated. A final revision of the report is complete and will be submitted for Law Review publication.

No-Fault Divorce Statutes: Implementation and Initial Impact

This project, under the direction of Dorothy Linder Maddi, examines and compares how four different types of recently enacted no-fault divorce statutes are operating in practice. It examines the practices and procedures of courts and attorneys at trial level to determine how statutory formulation affects divorce practice and compares the incidence of divorce filings and dispositions and characteristics of those granted divorces under the new laws to the period prior to enactment of each type of divorce law revision. A pilot study in one state is near completion and the larger study is now being done elsewhere.

Corporate Debt Financing

Commentaries on the Model Debenture Indenture Provisions, published in 1971, is now being translated into Japanese under the sponsorship of the Nomura Securities Company, Ltd. This international recognition is gratifying to the Foundation and to the committee that prepared the Commentaries.

The material for a volume on mortgage prov1s1ons with commentaries has been gathered, and commentaries on the provisions have been compiled. A commentary on the provision relating to negotiable bonding is being drafted. The project is directed by William H. Mathers* of the New York Bar.


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Anglo·American Legal History

This project, of great value to legal historical scholars, is directed by Thomas G. Barnes,* of rhe Department of History, University of California, Berkeley. It consists of rhe preparation of a Star Chamber Lise and Index, 1603·1625; preparation of a bibliography of articles on legal history; and preparation of a Case Index co rhe English Reports. All chree parts of che program are progressing sceadily.

The list and index have both been placed on cards and run off on the computer; they are to be published in the near future. The bibliography has been enJarged from its original formulation. Research has been completed; data analysis will take the resc of this fiscal year. Professor Barnes does not expect comp letion of the project un ti l the 1974-75 fiscal year. I-le estimates that research for the Case Index on English Reports will be completed at the end of the ncxc fiscal year.


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New Projects

Studies in Legal Education

At the request of the House of Delegates of the American Bar Association, the Foundation has undertaken studies in the area of legal education. Roger C. Cramton, * Dean, Cornell University Law School, and Professor Barry B. Boyer,* of the law faculty of the State University of New York at Buffalo, undertook a preliminary study of the general area. Professor David F. Cavers,* of the law faculty at Harvard, is now consultant for the development of specific projects. The preliminary report, prepared by Dean Cramton and Professor Boyer, provided a review of extant literature and an overview of areas on which research might focus. Suggested as possible areas for research were: (1) demographic studies, to provide information on who goes to law school, who teaches there, and what career patterns law graduates follow; (2) the socialization process, to shed light on the complex processes of change in work habits, personality, values, knowledge, and skills in the law as one progresses through legal education and into the profession; and ( 3) the economics of legal education, to explore the financing of legal education and the economic benefits to law students and to society.

It is hoped that these studies will in the aggregate produce results that will contribute to an understanding of and an improvement in legal education.

An article reporting on Cramton and Boyer's work, "American Legal Education: An Agenda for Research and Reform," will appear in the December 197 3 issue of the Cornell Law Review and will be reprinted in the Foundation's Research Contribution series.

Studies in Insurance Regulation

A number of studies aimed at systematizing, rationalizing, and providing information for improving the law and practice of insurance regulation are being carried out under the direction of Spencer L. Kimball and Werner Pfennigstorf. (1) A translation of the German insurance laws is being edited and readied for publication. (2) In a study of insurance of public property, initial research of statutes, regulations, cases, and other background material has shown that the study cannot be restricted to property insurance or even to insurance at all in view of the prevalence of multi-peril policies and comprehensive risk management programs. To


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produce meaningful results, the study will have to embrace the whole range of governmental risk management, and it is now being pursued on that broader base. (3) A study aimed at developing solidity standards for insurance companies based on risk theory is proceeding on schedule. This

' study is being conducted under the direction of Professors Ned Schilling* and J. D. Hammond,* both of Pennsylvania State University's College of Business Administration.

New studies under consideration include (1) an analysis of some technical and regulatory problems of so-called prepaid legal services plans, a study that would complement the ABF Shreveport Experiment study and similar future studies of particular experiments, and (2) a study of the regulatory problems created when insurance companies are part of complex holding companies or conglomerate systems.

Introductory Guide to Empirical Research

A project to prepare an empirical research guide for persons trained and experienced in traditional legal research methods and analyses has been undertaken by Barbara A. Curran and Felice J. Levine. The purpose of the guide will be to provide a comprehensive introduction to the systematic forms of inquiry into law and legal institutions.

Subterranean Limits of Land Ownership

An investigation into the limits of ownership of subterranean land is in an early phase. The study will particularly consider the problems of using subterranean space for public purposes. The project is directed by William A. Thomas.

"A list of Affiliated Scholars is given on pages 26-27.

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Projects in Development

The Foundation's project research is preceded by examination to determine the nature of the subject, the extent of prior inquiry, and the most profitable directions for further research. Recently, the Foundation has increased funding at the development stage so that the soundness and direction of a project are established before a fully funded project is launched.

Project development work currently includes the following subjects:

Experimentation on Human Subjects

The legal questions raised by human experimentation have scarcely been formulated, much less answered. The Foundation can perform a service by undertaking to define and explore some of the issues raised by experimentation using human subjects. Benjamin S. DuVal, Jr., directs the exploratory project, examfoing the structures and procedures of institutional committees that have the responsibility for safeguarding the rights and welfare of the subjects.

Legal Needs of Small Business Firms

Kenneth P. Fisher is directing project development on a study of the legal needs of small business firms to determine the specific needs of such firms, whether those needs are being met, and how delivery of legal services can be improved.

Indian Tribal Courts

Development is proceeding on a possible study of the Indian tribal court system. The study would consider the history, the procedures, the effectiveness, and the current status of the system. If the project is undertaken, it will be under the direction of Samuel J. Brake!.

Experimental Studies of Diversion Counseling

Negotiations are in process to establish in two courts an experimental research design to evaluate the effect of placing counseling activities prior to criminal conviction. If the project is adopted , it will be under the direction of Raymond T. Nimmer.

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Special Foundation Programs

Law Review Research Program

The Law Review Research Program has the twin objectives of encouraging factually oriented legal research of the kind pioneered by the Foundation and giving law students some training and experience in conducting such research. To do this, the Foundation provides modest grants to cover research expenses as well as stipends for law students working on such projects. The grants make it possible to employ the enthusiasm, imagination, and intelligence of some of the country's ablest law students to produce sound and significant empirical research. The most recent published reports are:

"The Municipal Court Misdemeanor Arraignment Procedure of Hamilton County, Ohio: An Empirical Study," 41 Cincinnati Law Review 623 (1972).

"Legislative Drafting in Federal Agencies," 21 Catholic University Law Review 703 (1972).

"Six-Member and Twelve-Member Juries: An Empirical Study of Trial Results," 6 University of Michigan journal of Law Reform 671 (1973) .

"The 235 Housing Program in Action: An Empirical Examination of Its Administration and Effect on the Homeowner-Participant in the Columbia, South Carolina, Area," 25 South Carolina Law Review (No. 1, 1973).

Projects currently under way are:

Fair Credit Reporting Act, University of Chicago Law Review. Operation of the Section 23 5 housing program, Cincinnati Law Review. Small claims courts, Cincinnati Law Review. Operation of Law Enforcement Assistance Administration, Columbia Human Rights

Law Review. Waiver of constitutional rights in juvenile court, Denver Law Journal. Citizen participation in anti-poverty programs, Harvard Civil Rights-Civil Liberties

Law Review. Police administrative practices, Iowa Law Review. Public knowledge of law in police-citizen confrontations, Michigan Law Review. Compensation of crime victims, Pennsylvania Law Review. Chicago arrest mortality study, University of Chicago Law Review. Student law practice, William and Mary Law Review. Mercer University neighborhood development program, Mercer Law Review.

This program is under the direction of Raymond T. Nimmer.

Legal History Fellowship Program

The Foundation's fellowships in legal history encourage original research in Anglo-American legal history. Fellowships are available to law school graduates, to holders of Ph.D. degrees, and to doctoral candidates in history and related subjects.

The $17,000 allocated for fellowships or grants in the current fiscal year was awarded to the following scholars: A Merit Fellowship of

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$11,000 was awarded to Leonard W. Levy, Professor of History, Claremont Graduate School, for a study of "Treason against God, a History of the Crime of Blasphemy in Anglo-American Law." A grant-in-aid of $2,600 was awarded to Richard J. Danzig, Assistant Professor of Law, Stanford Law School, for his study of "Hadley Baxendale: A Study in Legal Change." Robert M. Ireland, Associate Professor of History, University of Kentucky, was awarded a grant-in-aid of $1,800 for his study of "Legal Little Kingdoms: The County Courts in Antebellum Kentucky, 1851-1891." William Allen Wilbur, Editing Fellow, Papers of John Marshall, and Assistant Professor of History, Purdue University, received a grant-in-aid of $1,600 for his study of "Stamplers and Rebels: A Legal and Political History of the Fries Rebellion in Eastern Pennsylvania, 1798-1800."

The project is under the direction of Professor Thomas G. Barnes,* Department of History, University of California, Berkeley, who is assisted by the Advisory Committee listed on page 28.

Visiting Scholars

During 1973-74, Professor G. William Foster, Jr., of the University of Wisconsin Law School, continued his work on class action suits. His project, Judicial Class Actions, studies developments in the federal district courts in Chicago, Dallas, Los Angeles, Minneapolis, and the Southern District of New York. He has been at the Foundation since November 1972.

Stephen B. Goldberg comes to the Foundation from the University of Illinois College of Law, where he has been a professor of law since 1968. In the area of labor law he has served as a supervisory attorney for the National Labor Relations Board as well as being a special consultant to the chairman of the NLRB and a special labor consultant to Senator Burdick of North Dakota. While at the Foundation, Professor Goldberg will complete an analysis of union voting behavior under NLRB regulations.

Samuel Pool Weaver Essay Competition

The Foundation administers the Samuel Pool Weaver Constitutional Law Essay Competition, which provides an annual prize for the best essay


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submitted on a topic specified each year. The contest is open to all regular and student members of the ABA. The topic for this year's contest was ''The Scope of Congress's Power under the Enforcement Clauses of the Thirteenth, Fourteenth, and Fifteenth Amendments to 'Expand' or 'Dilute' the lntcrpreLations of Those Amendments by the United States Supreme Court." The first-place prize of $5 ,000 was awarded to George F. Bason, Jr., of Washington, D.C.; honorable mention prizes totaling $1,500 were divided equally between Asher Lans, New York City, and Danjel Murray. Chicago.

The topic for the 1973-74 contest is: "The ConstiLutionaJ Dimensions of Executive Privilege: The Scope of Congressional Power to Require Testimony under Oarh from Officers and Employees of the Executive Branch and rhe Scope of Federal Judicial Authority to Adjudicate Claims of Executive Privilege." Essays are robe submitted by January 1, 1974.

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Supporting Services The Cromwell Library

The Cromwell Library is a working library for the American Bar Center, a reference and bibliographic service for research conducted by the Foundation, and a specialized library of the legal profession. One of the Library's functions is to collect the publications of state bar associations, particularly their Proceedings, the oldest and most substantial type of such publications. The Library also specializes in the acquisition of materials on continuing legal education and is the ABA's official depository for such materials.

Library reorganization, which was started last fall under the direction of Librarian Olavi Maru and involved not only personnel but also technical services, has been substantially completed.

Special Services to the Organized Bar

The research and library staffs of the Foundation assist the organized bar, agencies of government, and the academic community by preparing bibliographies, by consulting on current legal problems, and by participating in bar-sponsored workshops and other instructional programs.

In a sense, Special Services to the Organized Bar includes the research projects on which the Foundation cooperates with Sections or Committees of the ABA or which reflect responses to formal suggestions by the ABA. The Legal Education study, reported above under "Projects in Development," is an example of the latter.

Foundation staff members have served and are serving as consultants to various groups.

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Publications January 1, 1973-December 31, 1973

During the past twelve months the following Foundation works have been published:

Books

Martha Grossblat and Bette H. Sikes, eds., Women Lawyers: Supplementary Data to the 1971 Lawyer Statistical Report. iv+lOO pp. Paper.

E. Wayne Thode, Reporter's Notes to Code of judicial Conduct. A project sponsored by the American Bar Association and the American Bar Foundation. Published by the American Bar Association. 104 pp. Cloth.

Model Business Corporation Act Annotated, 2d Edition: 1973 Supplement. Edited by the American Bar Association Section of Corporation, Banking and Business Law, Committee on Corporate Law, Orvel Sebring, Chairman; Richard 0. Kummert, Research Director. Published for the American Bar Foundation by West Publishing Company. xix+SlS pp. Cloth.

D. David Moyer and Kenneth Paul Fisher, Land Parcel Identifiers for Information Systems. Includes Conference Papers and Workshop Reports. Published by the American Bar Foundation in cooperation with the United States Department of Agriculture, Natural Resources Economics Division, Economic Research Service; Federal Urban Information Systems Inter-Agency Committee (USAC), chaired by the United States Department of Housing and Urban Development; American Land Title Association; American Bar Association Section of Real Property, Probate and Trust Law, Real Property Division; International Business Machines Corporation; Chicago Title and Trust Company; American Congress on Surveying and Mapping; The Claremont Colleges, Municipal Systems Research. 600 pp. Cloth and paper.

21

Monob>Taphs, Axticles, and Other Publications

Jnumzationat Directory of Bar Associatio11s, 2d Edicion. i+4S pp. Paper.

Research Contributions of the American Bar F0undation:

1973, No. 1-law, Science, and Accidents: Tbe British R:oad Safety Act of 1967, by H. Laurence Ross. Reprinted from 2 ]01m1al of Legal Smdies, No. 1 (January 197 3). 78 pp. Paper.

197 3, No. 2- Tbe Sbrevepoi·t Experiment in Prepaid Legal Services, by

Robert Paul Hallauer. Reprinted from 2 Journal of Legal Swdies, No. 1 (January 1973). 19 pp. Paper.

1973, No. 3-Free Legal Services for the Poor: Staffed Office vs. judicare: Tbe Client's Evaluation, by Samuel J. Brakel. Reprinted from 1973 Wisconsin Law Review (No. 2). 21 pp. Paper.

1973, No. 4-Tbe Psychology of Criminal Identification: Tbe Gap f'l'Om Wade co Kirby, b)' Felice J . Levine and J une L. Tapp. Reprinted from 121 Unive'l'sity of Pennsylvania Law Reuiew, No. S (May 1973). 52 pp. Pape.r.

22

The Fellows of the American Bar Foundation

The Seventeenrh Annual Meeting of The Fellows of the American Bar Foundation was held in Cleveland in rebruary 197 3. Clarence L. Yancey, Chairman presided. The principal speaker ar The Fellows Annual Banquet was The Honorable William H. Rehnquist, Associate J usrice, Unired Stares Supreme Courr, who was also made an Mon0rary Fellow. The Annua.1 Banquet also featured the presentat ion of The Fellow Annual Awards. The Research Award was presenred to Professor Paul A. Freund, of Harvard Law Schoo.I; rhe F.ifry-Ycar Award honored Paul Carrington, of the Dallas Bar.

Ar the end of the Founda tion's fiscal year the statisrics on membership in The Fellows were as follows :

Members

Life Members

Members-ar-Large

Honorary, transferred,

or inactive

Officers of Tbe Fellows 973-74:

878 698

15

25

1,616

Jo hn A. Sutro, Chainna11, 225 Bu h St., San Francisco, CA 94104 Livingston Hall, Vice-Chairman, Harvard Law School, Cambridge, MA

02138 Charles L. Goldberg, Secretary, First Wisconsin Nar'I Bank Bldg.,

Milwaukee, Wl 5 3202

Officer of The Fellow 1972-73:

Cla rence L. Yancey, Cbairman, P.O. Box 77, Shreveport, LA 71102 John A. Suero, Vice-Chairman Livingston Hall, Secretary

23

Personnel January 1, 1973-December 31, 1973

New to the Foundation's Board of Directors is John J. Creedon, New York City, who has served the Foundation on its Corporate Debt Financing Project. New ex-officio members of the Board include James D. Fellers, as President-Elect of the ABA, and Livingston Hall, as Vice-Chairman of The Fellows. The Executive Committee of the Board of Directors consists of Joseph H. Gordon, Tacoma; Livingston Hall, Cambridge, Massachusetts; Phil C. Neal, Chicago; Bernard G. Segal, Philadelphia; with Erwin N. Griswold, Washington, D.C., and Maynard J. Toll, Los Angeles, as ex-officio members.

During the past year there have been changes in the staff of the Foundation. We are pleased to report the addition of the following to the research staff:

Werner Pfennigstorf, a legal scholar from West Germany, is an expert in the insurance laws of Europe and this country and has published extensively on the subject, both in Germany and in the United States. He studied law at the Universities of Hamburg and Munich, and has done graduate work in law at the University of Michigan. During 1967-70, he was first a research associate at the University of Michigan and later was on the staff of the Insurance Laws Revision Committee of Wisconsin. At the Foundation he will be working mainly on studies in insurance law.

William A. Thomas comes to the Foundation from Oak Ridge National Laboratory, where he has worked since 1967, most recently as Leader of the Environmental Indices Team of the Environmental Program. He also was assistant professor of environmental law at the University of Tennessee. He has degrees in forestry (B.S., Purdue University), ecological

sciences and public policy aspects of land use (Ph.D., University of Minnesota), and law (] .D., University of Tennessee). He will work at the interface of law and technology.

Benjamin S. Du Val, Jr., has recently been associate professor of law at the University of Louisville School of Law. A graduate of Yale Law School , where he was on the editorial board of the Law Review, Mr. Du Val has also been in private practice for eight years and has been active in work with the American Civil Liberties Union.

Beginning January 1, 1974, Professor Hans Zeise!, Professor of Law and Sociology at the University of Chicago Law School, will join the staff of the Foundation on a part-time basis, principally as a consultant, although he may become involved in some projects that are primarily or in substantial part his own. Professor Zeisel's reputation as a leading scholar, particularly in the use of social science methodology and quantitative information in studying the administration of the law, is well known.

24

Foundation staff attorney Eric H. Steele is taking a part-time leave of absence to work with Professor Norval Morris, of the University of Chicago Law School, on a criminal law project.

The Publications Department has added Sandy Mathai to its staff as an editor. Ms. Mathai has had editorial experience at Indiana University Press, University of Chicago Press, and Rand-McNally .

Administration

Spencer L. Kimball, Executive Director Donald M. Mcintyre, Assistant Executive Director Benjamin S. Jones, Accounting Officer and Office Manager Diane McElwain, Assistant Office Manager

Full-time Research Staff

Research Attorneys

Samuel J. Brakel Barlow F. Christensen Barbara A. Curran Benjamin S. DuVal, Jr. Spencer L. Kimball Donald M. Mcintyre Raymond T. Nimmer Werner Pfennigstorf Ronald S. Rock Eric H. Steele William A. Thomas

Cromwell Library

Olavi Maru, Librarian

Research Social Scientists

Kenneth P. Fisher Felice J . Levine Dorothy Linder Maddi

Research Associates

Clara N. Carson Phyllis Satkus

Statistician

Yakov Avichai

Data Processing Consultant

Katherine J. Rosich

Research Assistants

Terry Gingle Patricia Krauthaus

Assistant Project Director (Post-Conviction Remedies)

C. Michael Oden

Visiting Scholars

Virgil L. Pederson, Bar Documents/Catalog Librarian Justine Davis, Acquisitions Librarian

G. William Foster, Jr. Stephen B. Goldberg

25

Publications

Bette H. Sikes, Director Edward Ballard, Sales Manager Harriet H. Colman, Editor Martha Grossblat, Editor Dorothy H. Lachmann, Editor Sandy Mathai, Editor Madeline Jean Murphy, Production Editor

Affiliated Scholars 1973

The Foundation has engaged the services of the following persons to work, in various offshore capacities, in connection with specific projects:

Prof. Thomas G. Barnes, Department of History, University of California, Berkeley: Project Director, Legal History Research

Scott H. Bice, Associate Dean, Law Center, University of Southern California, Los Angeles: Class Actions

Prof. Barry B. Boyer, State University of New York at Buffalo School of Law: Studies in Legal Education

Prof. Gerhard Casper, University of Chicago Law School: Administration of Appellate Courts

Prof. David F. Cavers, Harvard Law School: Studies in Legal Education Roger C. Cramton, Dean, Cornell University Law School: Studies in Legal

Education Prof. Richard A. Epstein, University of Chicago Law School: Project

Director, Torts Prof. J. D. Hammond, Pennsylvania State University College of Business

Administration, University Park: Studies in Insurance Regulation Prof. Geoffrey C. Hazard, Jr., Yale University Law School, New Haven,

Connecticut: Code of Professional Responsibility Annotated Prof. John E. Kennedy, Southern Methodist University, Law School,

Dallas, Texas: Class Actions Prof. Richard 0. Kummert, University of Washington School of Law,

Seattle: Model Business Corporation Act Annotated John R. Labovitz, Esq., Washington, D.C. : Project Director, Foundation

Monitoring Study F. Raymond Marks, Childhood and Government Project, University of

California School of Law, Berkeley: The Shreveport Plan and Professional Standards of Discipline

26

William H. Mathers, Esq., New York Ciry: Project Director, Corporate Debt F.ina11ci11g Project

D. David Moyer, Economic Research Service, U.S. Deparrmenc of Agriculture, Madison, Wisconsin : CompaLible Land Identifiers

Prof. Geoffrey W. Peters, Creighton Uojvcrsicy School of Law, Omaha: Federal Sente11ci11g Process

Prof. Richard A. Posner, Universiry of Chicago Law School: Ad11rinistratio11 of Appellate Courts

Prof. Ned Schilling, Pennsylvania State University College of Business Administration, University Park : St11dies in Insurance Regulation

Prof. Robert A. Srein, University of Nlinncsora School of Law, Minneapolis: Project Director. Probate Costs

Prof. J ohn F. Sutton, Jr., University of Texas School of Law, Austin: Code of Professional Responsibility Annotated

Prof. E. Wayne Thode, University o f Utah College of Law, Salt Lake City: Code of }tidicial Ethics

Prof. Lawrence T iffany, University of Denver College of Law: Federal Sentencing Process

Prof. Charles Wolfram, University of Minnesota School of Law, Minneapo lis: Class Actions

27

Standing Committees Membership as of December 31, 1973

Research

Roderick M. Hills, Chairman, of the California Bar, Los Angeles Francis A. Allen, University of Michigan Law School Ray Garrett, Jr., Securities and Exchange Commission, Washington, D.C. Hon. Charles W. Joiner, U.S. District Court, Detroit Richard A. Posner, University of Chicago Law School Oscar M. Ruebhausen, of the New York Bar, New York City Wm. Reece Smith, Jr., of the Florida Bar, Tampa John Conner, ex officio, of the District of Columbia Bar

Committee for Samuel Pool Weaver Constitutional Law Essay Program

Jesse H. Choper, Chairman , University of California Law School, Berkeley Gordon B. Baldwin, University of Wisconsin Law School John D. French, of the Minnesota Bar, Minneapolis

Committee for Legal History Fellowship Program

Thomas G. Barnes, Chairman , Department of History, University of California, Berkeley

John P. Dawson, Harvard Law School, Cambridge, Massachusetts John P. Frank, of the Arizona Bar, Phoenix W. J. Jones, Department of History, University of Alberta, Edmonton Stanley N. Katz , University of Chicago Law School Joseph H. Smith, Columbia University School of Law

Foundation Monitoring Study

Joseph T . Sneed, Chairman, U.S. Court of Appeals, San Francisco Walter J. Blum, University of Chicago Law School Mortimer M. Caplin, of the District of Columbia Bar Norman A. Sugarman, of the Ohio State Bar, Cleveland

28

Fellows Research Proposal Review Committee

) ohn D. Conner, Cbaimurn, of the District of Columbia Bar Paul P. Ashley, of che Washington Bar, Seatcle Charles A. Bane, of the lllin-0is Bar, Chicago A. James Casner, Harvard Law School Newron Gresham, of the Texas Bar, Houston Hon. Benjamin Kaplan, Supreme Judicial Court of Massachuscccs, Boston Hon. Walter R. Mansfield, U.S. Court of Appeals, New York Lyman M. Tondel, J r., of the New York Bar, New York William 0 . Weaver, of the Iowa Bar, Wapello

29

Project Advisory Committees Membership as of December 31, 1973

Administration of Appellate Courts

Hon. James D. Hopkins, Chairman, Supreme Court of New York, Appellate Division, Brooklyn

Hon. Albert Tate, Jr., Vice-Chairman, Supreme Court of Louisiana, New Orleans

Hon. Griffin Bell, U.S. Court of Appeals, Fifth Circuit, Atlanta, Georgia Hon. Winslow Christian, California Court of Appeals, First District, San

Francisco Hon. Floyd R. Gibson, U.S. Court of Appeals, Eighth Circuit, Kansas City,

Missouri Hon. William A. Grimes, Supreme Court of New Hampshire, Dover Hon. Thomas J. Moran, Appellate Court of Illinois, Second District,

Waukegan Hon. Timothy G. Quinn, Michigan Court of Appeals, Lansing Hon. Harry A. Spencer, Supreme Court of Nebraska, Lincoln Robert L. Stern, of the Illinois Bar

Compatible Land Identifiers

Allison Dunham, Chairman, University of Chicago Law School Richard R. Almy, Technical Assistance Director, International Association

of Assessing Officers, Chicago Eunice Ayers, Register of Deeds, Forsyth County, Winston-Salem, North

Carolina Robert N. Cook, College of Law, University of Cincinnati Carl F. Davis, Jr. , Director of Municipal Systems Research, Claremont

Graduate School, Claremont, California O. Eugene Dial, Chairman, Graduate School of Public Affairs, University

of Colorado, Boulder Edward Grskovich, Vice-President, Chicago Title and Trust Company,

Chicago William H. Mitchel, Consultant, Urban Information Systems Inter-Agency

Committee (USAC) , Washington, D.C. Franklin H. Ornstein, Vice-President, Central Federal Savings and Loan

Association, Long Beach, New York Ivan Peters, Vice-President, Title Insurance and Trust Company, Los

Angeles Gurdon H. Wattles, Assistant Vice-President , Title Insurance and Trust

Company, Santa Ana, California Albert B. Wolfe, of the Massachusetts Bar, Boston

30

Corporate Debt Financing: Mo del Mortgage Project

William H. Mathers, Cbairman, of the New York Bar, New York City DeForest Billyou, of chc New York Bar, New York City John J . Creedon, of the New York Bar, New York Ciry William J . DeLancey, of the Ohio Bar, Cleveland Ray Garrett, Jr., Securities and Exchange Commission, Washington, D.C. George D. Gibson, of the Virginia Bar, Richmond Harry P. Kamen, of the New York Bar, New York Ciry Churchill Rodgers, of the New York Bar, New York City

judicare Evaluation

Hon. Alvin B. Rubin, Chairman, U.S. District Court, New Orleans Gibson Gayle, Jr., of the Texas Bar, f-l ousron Charles L. Goldberg, of che Wisconsin Bar, Milwaukee Maynard J. Toll , of the California Bar, Los Angeles

Professional Standards of Discipline

Alex Elson, Chairman, of the lllinois Bar, Chicago Francis A. Allen, University of Michigan Law School John G. Bonomi, General Counsel, Association of the Bar of the City of

New York F. LaMar Forshee, American Bar Association, Chicago Hon. William H. Hastie, U.S. Court of Appeals, Philadelphia Hon. Harold A. Stevens, Chief Judge, First Department, Appellate

Division, New York City Hon. Roger J. Traynor, Hastings College of che Law, San Francisco Edward L. Wright, of the Arkansas Bar, Little Rock

31

Financial Report Fiscal Y ea.r Ended June 30, 1973

Combined Balance Sheet of Funds

ASSETS

Cash

Marketable Securities at Cost (Approximate Market $225,000)

Investment Fund (Approximate Market $399,500)

Land

Building and Equipment (Cost $6,761,425 lcs Depreciation $1,234,942)

Library Material

Sundry Receivable and Prepaid EJCpenses

TOTAL ASSETS

LlABILITlES

Accounts Payable

Deferred Income

Fund Balances:

Operating Fund

Restricted Funds

Building Fund

Contributors Memorial Fund

TOTAL LIABILlTlES

32

$ 470,963

197,469

5,801 ,206

276 614

$ 78,61 2

225,000

429,456

319,422

5,526,482

88,769

105,011

H,772,752

$ 7,000

6,746,252

$6,772 752

Operacing Fund: Income

Conrributions and grants:

The Fellows of the American Bar Foundation

American Bar Endowmenr

American Bar Association

Carnegie Corporation

National Center for State Courts

Rockefeller Foundation

Other

Royalries and Sales of Publications

Space Occupancy

Investment Income

Miscellaneous

TOTAL INCOME

Research and Special

Unrestricted Projects Total

$ 112,529 $ $ 112,529

353,065 471,180 824,245

100,000 100,000

4,580 4,580

84,940 84,940

9,790 9,790

14.288 14.288

$ 565,594 $584,778 $1,150,372

48,635 48,635

520,631 520,631

13,591 13,591

1,387 1,387

$1,149,838 $584,778 $1,734,616

33

Operating Fund• Expenditures

Rese11rcb 1md Special

Unrestricted Projet·ts Total

Program Expenses $ 97 ,663 $ 97 ,663

Cromwell Library Expense 125,118 125,118

General and Adminisrrative Expenses 712,348 712,348

Renovation 26,157 26,157

Research Projecrs $814,772 S l .:\.,772

TOTAL EX PEND ITURES $ 961,286 $814,772 $ 1,776,058

Excess (Deficiency) of Income over Expenditures Before Appropriations $188,552 ($229,994) ($ 41,442)

Appropriations Research Projects - Net of Transfers ($201.741) ($201.741)

Increase (Decrease) in Fund Balances ($ 13,188) {$201,2 53)

FUND BALANCES JUNE 30, 1972 264,570 247,834 512,405

FUND BALANCES JUNE 30, 1973 $251,382 $219,581 $ 470,963

For additional information regarding the Foundation's Financial Report, write to Accounting Officer, American Bar Foundation, 1155 East 60th St., Chicago, Illinois 60637 .

34
