Opinion ID: 1252161
Heading Depth: 2
Heading Rank: 1

Heading: authority to impose sanctions

Text: The trial court did not specify the source of its power to impose monetary sanctions upon Mr. Tobey, but there are only three possibilities. [1] Alaska's trial courts may insure proper efficiency and discipline by exercise of (1) the power of contempt authorized by statute and court rule, (2) the power to impose fines as sanctions authorized by court rule, or (3) the inherent power to punish for contempt. Davis v. Superior Court, 580 P.2d 1176, 1178 n. 3 (Alaska 1978). Judge Moody imposed the sanctions because the attorneys were not ready for trial in that they had not had their clients meet with the child custody investigator as required by the pretrial order, and they had not had property appraised as required by the pretrial order. THE COURT: ... Now, I gather that you haven't had an appraisal made and is that the question, you haven't had custody investigators down on these children  that's the issue, and the value of the property is in issue ... In fact, you haven't agreed  indicates that neither one of you has complied with (indiscernible) [presumably the pretrial order]. THE COURT: ... [A]pparently neither party is ready for trial in this case. It's (indiscernible) going to be $200.00 a day and I'm going to give you 15 minutes and I'm going to let you decide whether you want to pay $200.00 a day until you get this ready for trial; that is you get appraisal of the property involved and you get the child custody investigator, and that's your problem as to how quick you can get it done, or if not it'll be $200.00 a day each side. THE COURT: Neither of you have complied with the pretrial order. THE COURT: ... I'm going to impose a sanction of $200.00 and it has to be paid each day by 4:30 until I get an appraisal and I get the report from the child custody advisor, and I'm not going to put up with this. And this has to be paid by the attorneys. You cannot charge your clients for it. Tobey has vigorously argued that his noncompliance with the pretrial order should not be considered contemptuous because it was not willful but based instead on misunderstandings with opposing counsel and poor judgment. See Johansen v. State, 491 P.2d 759 (Alaska 1971). This court has previously held that a trial court may impose sanctions for indirect contempt of court on attorneys who fail to comply with pretrial orders, or are otherwise not ready to go to trial. West v. District Court, Third Judicial District, 575 P.2d 797 (Alaska 1978); Continental Insurance Cos. v. Bayless & Roberts, Inc., 548 P.2d 398 (Alaska 1976). [2] However, this case does not raise that issue because at no time was Mr. Tobey cited for contempt of court. The word contempt does not appear once in the transcripts of the proceedings. Furthermore, after imposing the sanctions and strongly admonishing the attorneys, Judge Moody implicitly threatened to find the attorneys in contempt if they continued to fail to comply with his orders. The superior court's authority to find Mr. Tobey for his unpreparedness derives from Alaska Rule of Civil Procedure 95(b). See Davis v. Superior Court, 580 P.2d 1176 (Alaska 1978). Rule 95(b) provides: In addition to its authority under (a) of this rule and its power to punish for contempt, a court may, after reasonable notice and an opportunity to show cause to the contrary, and after hearing by the court, if requested, impose a fine not to exceed $500.00 against any attorney who practices before it for failure to comply with these rules or any rules promulgated by the supreme court. Sanctions imposed under Rule 95(b) differ from those imposed for contempt in that a showing of willfulness is not required. Davis, 580 P.2d at 1178 n. 3. In Davis, the superior court fined the district attorney $50.00 for not providing a prepared attorney at an omnibus hearing. We held that the failure of an attorney to be prepared at an omnibus hearing violated several court rules punishable under Rule 95(b). These included Disciplinary Rules 6-101(A)(2) and (3): (A) A lawyer shall not: ... . (2) Handle a legal matter without preparation adequate in the circumstances. (3) Neglect a legal matter entrusted to him. Id. at 1179. Furthermore, Alaska Bar Rule 11 specifies that acts or omissions by an attorney which violate the Code of Professional Responsibility of the American Bar Association shall constitute misconduct and grounds for discipline under Rule 95(b). Elisovsky v. State, 592 P.2d 1221, 1228 (Alaska 1979). Tobey's unpreparedness on the date of trial may also be considered a violation of Alaska Rule of Civil Procedure 40(f)(1) which provides that [a]ll cases set for trial shall be heard on the date set unless the same are continued by order of the court for cause shown. In Esch v. Superior Court of Third Judicial District, 577 P.2d 1039 (Alaska 1978), the trial court fined an attorney $500.00 for failing to file briefs in accordance with certain briefing schedules established by the court. Although we reversed on procedural grounds, we stated that the sanction was authorized by Rule 95(b). Id. at 1043. Mr. Tobey argues that he was ready to go to trial and that he opposed a continuance. After being threatened with sanctions, counsel agreed to sell all disputed property and divide the proceeds in a ratio determined by the court. Judge Moody rejected this approach because it required him to divide the property without knowing its value. He termed this proposal an attempt to get out from under the sanctions of the court. In reversing a trial court that had discharged the defendant's attorney for being unprepared at trial, this court stated in McKinnon v. State, 526 P.2d 18 (Alaska 1974) that: We are not unsympathetic to the trial judge's exasperation at alleged repeated failures of a public agency [the Public Defender's Office] to be timely prepared for trial. The state's crucial interest in the prompt and orderly disposition of criminal cases, however, can be vindicated by other, equally effective sanctions which are not so subversive of basic constitutional rights. The court may censure the obstructive attorney, or request the bar association to take disciplinary action. Or the court may assess a fine or impose a term of imprisonment under its contempt power. Id. at 23 (footnote omitted). Since McKinnon was decided the court has created another sanction to add to those listed above  Rule 95(b). Mr. Tobey's actions fall within the scope of those acts punishable under Rule 95(b). Like the attorney in Esch, he failed to timely file certain documents required by order of the court. Like the attorney in Davis, he was not ready to go to trial on the day the case was scheduled. We hold that the trial court had the authority to fine Mr. Tobey under Rule 95(b) for his failure to comply with the terms of the pretrial order.