BOLIN, Justice.
The Alabama State Personnel Board, an agency of the State of Alabama ("the Board"), petitions this Court for a writ of mandamus directing the trial court to vacate its order referring the underlying case to a special master. We grant the petition and issue the writ.
On July 15, 2009, Nationwide Retirement Solutions, Inc. ("NRS"), filed an interpleader action against the Board, PEBCO, Inc., and the Alabama State Employees Association ("ASEA"), depositing $432,740 in the court. The complaint provided that future sums would also be added to the interpleaded amount. The moneys interpleaded by NRS involve a supplemental retirement plan available to State employees called the "Alabama State Employees Deferred Compensation Plan" ("the plan"), which is administered by NRS. The plan permits State employees to save for retirement on a tax-deferred basis, deferring a portion of their income in accordance with § 457 of the Internal Revenue Code. The Board sponsors the plan and is its fiduciary. Pursuant to § 36-26-14, Ala.Code 1975, the Board adopts the plan as recommended by State employees through ASEA. NRS alleged that the Board and ASEA both claimed a legal right to the moneys, and NRS was seeking direction from the court regarding the payment of the moneys and an order discharging NRS and its affiliated company, Nationwide Life Insurance Company, from liability.
On August 20, 2009, ASEA and PEBCO each filed a motion to dismiss the interpleader complaint, arguing that they had settled claims alleging that NRS and Nationwide had been paying "kickbacks" in the form of unauthorized commissions, expenses, and fees to ASEA and PEBCO,
On August 21, 2009, the Board filed its answer and filed cross-claims against ASEA and PEBCO and added claims against seven individuals, who are officers and employees of ASEA and PEBCO.
On September 10, 2009, Twanna Brown, a State employee and a member of ASEA and of the plan, moved to intervene in the action. She also sought certification of a class action on behalf of all ASEA members and plan participants.
On December 16, 2009, the trial court entered the following order:
On December 21, 2009, the Board filed an objection to the court's appointment of a special master and moved the court to vacate that order or, in the alternative, to modify the order appointing the special master so that the appointment was only for issues directly related to accounting work that may arise in the case. Brown also filed a motion objecting to the appointment.
On January 26, 2010, the Board filed this petition for a writ of mandamus. That same day, the Board amended its pleadings
On January 28, 2010, the trial court held a status hearing. The trial court appears to have anticipated that the parties would have a contentious discovery process and that the special master would hear those issues, among others. The court also indicated that it would terminate the special master's appointment if the parties did not get into "a lot of fights." Ultimately, the trial court stated that it would hold another status conference and then decide how to use the special master.
On February 4, 2010, the trial court entered an order amending its order appointing the special master:
That same day, Brown filed a motion to withdraw her motion to intervene. On March 10, 2010, this Court ordered answers and briefs.
Ex parte Novartis Pharm. Corp., 975 So.2d 297, 299 (Ala.2007)(quoting Ex parte Perfection Siding, Inc., 882 So.2d 307, 309-10 (Ala.2003), quoting in turn Ex parte Integon Corp., 672 So.2d 497, 499 (Ala. 1995)).
"`"In cases involving the exercise of discretion by an inferior court, [the writ of] mandamus may issue to compel the exercise of that discretion. It may not, however, issue to control or review the exercise of discretion, except in a case [where the trial court has exceeded its discretion]."'" Ex parte Monsanto Co., 794 So.2d 350, 351-52 (Ala.2001) (quoting Ex parte Auto-Owners Ins. Co., 548 So.2d 1029, 1030 (Ala.1989), quoting in turn Ex
The Board argues that the trial court exceeded its discretion in issuing the order of December 16, 2009, referring all matters to a special master where there was no showing as required by Rule 53(b), Ala. R. Civ. P., that the computation of damages was difficult, the issues were complicated, or there was some exceptional condition warranting the appointment of a special master. The Board also argues that the trial court erred in requiring in its December 16, 2009, order the State to pay fees to a special master in contravention to Art. I, § 14, Ala. Const.1901.
ASEA, PEBCO, the seven named individual defendants, and NRS ("the respondents") argue that the Board cannot meet the heavy burden of proof required for mandamus relief. Citing Ex parte Novartis Pharmaceuticals Corp., 991 So.2d 1263 (Ala.2008)(holding that, like an appeal, a petition for a writ of mandamus may be dismissed if, while the petition is pending, an event occurs that renders it impossible for the appellate court to grant the requested relief), they argue that the trial court's amended order of February 4, 2010, moots the Board's petition. The respondents further argue that the February 4, 2010, order expressly found that the issues before a jury would be complicated and that the nonjury issues involved exceptional circumstances, as required by Rule 53.
In response to the respondents' argument that the trial court's amended order moots the petition, the Board argues that the trial court's amended order of February 4, 2010, makes a mere conclusory statement that the case is complicated, which statement it argues is not supported by the record, and that the modification to the special master's authority did not remedy the trial court's violation of the Board's right to a trial by jury because, it says, the amended order improperly delegated the court's judicial function.
We agree with the respondents that the trial court's order of December 16, 2009, was rendered moot by the amended order of February 4, 2010. Because no party objects to this Court's consideration of the February 4, 2010, amended order, and because the parties, in fact, argue the merits of the February 4, 2010, order, it would be a waste of judicial resources to dismiss the Board's petition, which was filed on January 26, 2010, as moot.
Rule 53, Ala. R. Civ. P., provides that a court may appoint a special master. Rule 53(b), Ala. R. Civ. P., sets out the occasions upon which the appointment of a special master is appropriate and provides as follows:
The appointment of a special master lies within the sound discretion of the trial court, and its decision to appoint a special master should not be reversed unless the trial court clearly exceeds that discretion. Hall v. Mazzone, 540 So.2d 1353 (Ala.1988). In a jury trial, a case should be referred to a special master only if the issues are "complicated"; those matters to be tried without a jury are to be referred to a special master only upon finding of "some exceptional condition" requiring
Because the Alabama Rules of Civil Procedure are patterned after the Federal Rules of Civil Procedure, federal cases construing the Federal Rules of Civil Procedure are persuasive authority in construing the Alabama Rules of Civil Procedure. Borders v. City of Huntsville, 875 So.2d 1168, 1176 n. 2 (Ala.2003). Rule 53, Ala. R. Civ. P., is substantially similar to Rule 53, Fed. R. Civ. P.
Referring fundamental issues of liability to a special master for adjudication, over objection, is not permitted. Stauble v. Warrob, Inc., 977 F.2d 690 (1st Cir.1992). "Determining bottom-line legal questions is the responsibility of the court itself.... Because determining a fundamental question of liability goes beyond mere assistance and reaches the essential judicial function identified by Article III, [United States Constitution,] Rule 53[, Fed.R.Civ.P.,] does not allow the responsibility for making such judgments to be delegated to masters (or other persons not of Article III stature) in the face of a contemporaneous objection." 977 F.2d at 695. "Rule 53 ... authorizes the appointment of special masters to assist, not to replace, the adjudicator, whether judge or jury, constitutionally indicated for federal court litigation." In re Bituminous Coal Operators' Ass'n, Inc., 949 F.2d 1165, 1168 (D.C.Cir.1991). "Actions for fraud are particularly inappropriate for reference to a master, `save in extraordinary or exceptional cases.'" Bradshaw v. Thompson, 454 F.2d 75, 80 (6th Cir.1972). "A district court has no discretion to delegate its adjudicatory responsibility in favor of a decision maker who has not been appointed by the President and confirmed by the Senate." Prudential Ins. Co. of America v. United States Gypsum Co., 991 F.2d 1080, 1086 (3d Cir.1993).
In Alabama, Art. I, § 10, Alabama Constitution of 1901, provides "[t]hat no person shall be barred from prosecuting or defending before any tribunal in this state, by himself or counsel, any civil cause to which he is a party." Section 11 provides "[t]hat the right to trial by jury shall remain inviolate." Section 13 provides "[t]hat all courts shall be open; and that every person, for any injury done him, in his lands, goods, person, or reputation, shall have a remedy by due process of law; and right and justice shall be administered without sale, denial, or delay." Article VI, § 139(a), provides:
The judicial power of this State must be exercised by courts having the attributes prescribed in the Alabama Constitution.
In Ex parte Flexible Products Co., 915 So.2d 34 (Ala.2005), the trial court in consolidated tort actions appointed a special master to conduct jury trials on damages in the individual cases. This Court stated:
915 So.2d at 54. "[W]e recognize that a court may not delegate a judicial function [to a special master]." Ex parte Mid-Continent Sys., Inc., 447 So.2d 717, 720 (Ala.1984).
In its February 4, 2010, order, the trial court stated that it was clarifying its previous order and then stated that the court would preside over the trial; would determine all matters regarding the requested relief, including, but not limited to, dispositive motions, monetary damages, equitable relief, and injunctive relief; and would determine all evidentiary issues. The trial court also stated its reasons for referring the case to a special master.
Rule 53(c), Ala. R. Civ. P., governs the powers and duties of a special master and provides as follows:
A case is assigned to a special master by an order of reference for the special master to follow. "The power of a special master is completely dependent upon the order of reference." United States v. International Bus. Machs. Corp., 66 F.R.D. 154, 158 (S.D.N.Y.1974). "The object, of course, is to give the master as much latitude as possible in achieving the objectives of the reference with a minimum of judicial intervention." 9C Charles A. Wright & Arthur R. Miller, Federal Practice and Procedure § 2609 at 617 (2008). Here, the amended order sets out the trial court's responsibilities without delineating the special master's charge, other than by an omnibus pourover of responsibility. The trial court recognized that both jury and nonjury claims were involved, but the court did not distinguish the special master's duties as to the claims. Even if the order of reference had not been ambiguous, the trial court's stated reasons for referring the case to a special master did not support the reference, nor does anything attached to the mandamus petition or the respondents' briefs support a reference.
The trial court justified referring the cases to a special master by citing the number of attorneys representing the different parties and the fact that there are claims seeking both equitable and injunctive relief and money damages. The trial court also states that there are nonjury and jury demands, cross-claims, counterclaims, and third-party claims involving complex issues. In addition, the trial court states as a reason for the reference to a special master that the parties cannot agree on whether the moneys should be interpleaded to the court.
As noted earlier, the trial court's appointment of a special master will not be reversed unless the trial court has exceeded its discretion in making the appointment. The trial court recognized that there were jury and nonjury claims involved in this case. Where there is a demand for a jury trial, the reference to a special master shall be made only when the issues are complicated. "In view of the powers given to District Courts by Federal Rule of Civil Procedure 53(b) to appoint masters to assist the jury in those exceptional cases where the legal issues are too complicated for the jury to adequately handle alone, the burden of such a showing is considerably increased and it will indeed by a rare case in which it can be met." Dairy Queen, Inc. v. Wood, 369 U.S. 469, 478, 82 S.Ct. 894, 8 L.Ed.2d 44 (1962) (footnotes omitted). "[T]he minimum required is a demonstration that over and beyond a mere numerical quantitative analysis, the case is intrinsically complex." In re Watkins, 271 F.2d 771, 774 (5th
The Board requested a declaratory judgment, injunctive relief, and an accounting, and there is the issue of who is entitled to the interpleaded funds. With regard these nonjury actions, a reference to a special master should be made only upon a showing that some exceptional condition requires it. Cf. Gary W. v. Louisiana, 601 F.2d 240, 244-45 (5th Cir.1979) (trial court did not exceed its discretion in appointing a special master to oversee the implementation of an injunctive order where a significant number of children were involved and had not be accorded the relief ordered by the court); Johnson Fare Box Co. v. National Rejectors, Inc., 269 F.2d 348, 351 (8th Cir.1959) (holding that district court did not exceed its discretion in referring "all issues of fact and law" in complicated patent-infringement case to a special master for comprehensive report and recommendation). The Board recognized in its pleadings that a special master might be necessary for the purpose of an accounting, but the trial court's amended order does not limit the special master to an accounting. Additionally, no showing of an "exceptional condition" is required when "matters of account and of difficult computation of damages" are involved. Hall v. Mazzone, 540 So.2d at 1356. The fact that an accounting may be required does not in itself offer a basis for reference to a special master. Hanover Ins. Co. v. Emmaus Mun. Auth., 38 F.R.D. 470 (E.D.Pa.1965). A disagreement between the parties regarding the interpleading of disputed funds is not an exceptional condition warranting a reference to a special master.
In La Buy v. Howes Leather Co., 352 U.S. at 256, 77 S.Ct. 309, the Supreme Court affirmed the appellate court's issuance of a writ of mandamus compelling the district court to vacate its order of reference of two complex antitrust cases to a special master for trial. The Court stated:
The trial judge cites other cases in which he and other judges in his circuit are currently using a special master. Although referencing a special master may be appropriate in other cases, the appointment of a special master is determined by the particular facts in each case. Rule 53 states that appointing a special master should be the exception and not the rule, but "a number of cases have established that this is not an impossible standard to meet." United States v. Conservation Chem. Co., 106 F.R.D. 210 (W.D.Mo.1985). The trial court's justification in its amended order for the reference—multiple parties and counsel and the presence of Rule 13, Ala. R. Civ. P., and Rule 14, Ala. R. Civ. P., pleadings—would make the umbrella of the "exception" larger than the general rule.
Based on the foregoing, we order the trial court to vacate its amended order of February 4, 2010, referring the case to a special master.
PETITION GRANTED; WRIT ISSUED.
LYONS, WOODALL, STUART, PARKER, MURDOCK, and SHAW, JJ., concur.
COBB, C.J., and SMITH, J., recuse themselves.
2 Champ Lyons, Jr., & Ally W. Howell, Alabama Rules Civil Procedure Annotated § 53.8 (4th ed. 2004).