Judge Alton - Hennepin County District Court

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Judge Ann L. Alton

Born:

1945

Education:

1970 JD University of Minnesota Law School
1967 BA Smith College

Recent Career:

1989 Judge, Hennepin County District Court
1978-82 Adjunct Professor, University of Minnesota Law School
1977-Present Adjunct Professor, William Mitchell College of Law
1973 Adjunct Professor, Hamline University Law School
1970 Attorney, Hennepin County Attorney’s Office

Elevated to Bench:

Appointed by Governor Rudy Perpich in 1989.
Elected in 1990, 1996, and 2002.

Previous Assignments:

7/1989 to 10/1989	Criminal
11/1989 to 7/1995	Civil Block and Criminal
7/1995 to 10/1995	Civil Block and Presiding Judge, Probate/Mental Health
11/1995 to 7/1998	Presiding Judge, Probate/Mental Health
7/1998 to 10/2004	Civil Block and Criminal
11/2004 to Present	Criminal

Current Assignments:

Criminal Block

More information on this Judge is available from the District Court Website

Juvenile Court Info. and Individual Judge's Statistics for 2006 -
Data provided by Hennepin County District Court. View PDF


	Read Profile from
	Published in July/August 1989

The Judge's Civil Courtroom Procedures and Advice

1. What are your preferred procedures regarding motion practice?
Please send a courtesy copy of all papers you file with the District Court Administrator directly to my chambers or I probably will not receive the papers prior to your hearing. Submit proposed Findings of Fact, Conclusions of Law and Order (FOFCOLOs) on paper with every motion along with a Word 97 disk. Call one of my clerks to schedule the hearing for a motion that is dispositive in whole or in part. You will be set for the motion hearing followed by a settlement conference, generally on the same day. Your clients MUST be present. Do not exceed page limits. Put index tabs on all exhibits. Please follow the deadlines for submitting papers to the Court. I generally will not have time to read late submissions. Make your submission is user friendly, please. Bates stamp, index, use tabs, highlight relevant paragraphs in a contract, etc.

2. What are your preferred procedures regarding hearings?
Stand to address the court.
Ask if you should address the facts. I'll usually tell you whether or not I've been able to familiarize myself with the facts and/or the arguments. I may direct you to specific issues. Arguments are generally limited to ten or 20 minutes, maximum. I hear most motion hearings at 1:00 PM and/or 1:30 PM and usually must be available for trials or other matters at 2:00 PM. Keep it brief and to the point. When you're scheduled for a settlement conference following the motion, I will first talk with the attorneys after the arguments and will then be available to you throughout the morning or afternoon as needed while you continue settlement discussions. I use your motion arguments to make sure I understand the issues. I will analyze your submissions later if we fail to settle your case.

3. What do you expect the attorneys to have ready at the pretrial conference?
The court sets a Pretrial/Settlement Conference. All pretrial documents must be exchanged 10 days before the civil trial block begins or 10 days before your Pretrial/Settlement Conference. Read and follow my orders, please. Exhibits should be Bates stamped, pre-marked, listed on a typed Exhibit list and placed in 3 ring binders. Submit a list of your requested jury instructions, and provide the text, if it's not a published JIG. Submit your requested jury verdict form. Motions in limine with supporting memoranda and Proposed Orders should be filed together with trial documents. I will try to settle the case before discussing trial procedures at the Pretrial/Settlement Conference.

4. At what point to you expect the parties to undertake ADR, if at all?
I require ADR in virtually all civil cases, including probate and family court cases. It should be initiated by the attorneys as early as possible. The parties may choose any form of ADR desired, including a summary jury trial in an appropriate case. In complex commercial cases, I may appoint a special master with authority to rule on discovery disputes and conduct settlement conferences at the parties' expense. If no other form of ADR is requested, I will send you to Hennepin County non-binding arbitration under the Special Rule for the 4th Judicial district.

5. At what point, if any, do you encourage the parties to settle or to exchange settlement offers/demands? Does that vary by type of case (personal injury, family, criminal, etc.?)
Parties should initiate settlement discussions as soon as reasonably practicable which is often before the lawsuit is filed in district court. Settlement discussions should continue throughout the litigation. Any parties desiring a settlement conference with me should schedule one with one of my clerks. I will not disclose that any party requested a settlement conference; instead, it will appear to be scheduled sua sponte. Important: In all cases where a dispositive motion is brought in whole or in part, (motion for summary judgment, motion to dismiss, injunctive relief, etc.) I will require a settlement conference before ruling on your motion and will only take the matter under advisement when I am satisfied that settlement will not occur and the parties have submitted their respective Findings of Fact, Conclusion of Law and Order. I settle approximately 70% of my cases at this point, without ruling on the dispositive motion. The parties know the strengths and weaknesses in their respective cases and are in an excellent position to settle at this time before committing massive amounts of time and money to trial preparation.

6. Do you require that a person with ultimate authority to settle be present at settlement negotiations?
A person with ultimate authority to settle up to the amount of the last demand or offer must be present at each settlement conference, no matter how many settlement conferences occur. Failure to comply with this requirement will result in a civil sanction not less than $250 and not more than $1,000, usually payable as attorney's fees to the other side. Nothing settles unless the people with ultimate authority are present.

7. How do you expect the parties to handle discovery disputes (including calling you for a ruling during a deposition)?
Discovery disputes should not exist except in cases with a sound claim of privilege. Attorneys should talk, meet and confer, and provide full, courteous disclosure to the other side. All discovery should be organized, Bates stamped, promptly delivered, and promptly supplemented when new evidence is discovered or received. Protection orders must be drafted by the parties and must ordinarily exempt pleadings, filed papers and all evidence received in open court because these are matters of public record. Limited exceptions such as privileged matters or trade secrets must be submitted under seal for in camera review. Discovery disputes that can't be resolved by the attorneys will be handled in a telephone conference or I will rule on the motion papers. A formal hearing will only be held under the most unusual circumstances. I will require attorneys' fees to be paid to the other side by any party who causes an unnecessary discovery dispute. Don't request anything in discovery without good reason do to so and don't refuse to tender anything arguably relevant to the other side's case unless it's privileged. If you truly believe the matter is privileged, call my law clerk to set a hearing. During depositions, do not waste time calling the Court for a telephone conference unless the question involves a privileged matter. Otherwise, state your objection on the record but tell the witness to answer the question. If an objection is raised against your question, rephrase the question or lay better foundation and then repeat the question, insisting on an answer.

8. Do you conduct hearings and motions by phone? If so, please describe the procedure you would like attorneys to use to do so, including how testimony is to be transcribed and who puts the teleconference together.
Yes, I conduct hearings by telephone to rule on scheduling conflicts or relatively straightforward discovery disputes. If you want a telephone conference, telephone one of my clerks to schedule it. Be clear about the issue so I can think about it in advance. I put all telephone conferences on speaker phone and my court reporter always records it on her machine, usually with a tape backup. A telephone conference can be a quick, effective way to settle almost any problem that arises during litigation.

Under appropriate circumstances, I will take telephone testimony in open court, using speaker phones on the counsel tables and the bench. The testimony is reported by my court reporter. Consider telephone testimony for a bench trial if a witness is some distance away and credibility is not an issue. The parties can agree to the procedure even in a jury trial, if the witness is known to the court and parties and has a scheduling conflict, if the witness is infirm, etc. The requesting attorney must put any teleconference together and call the court when all parties are present at the appointed hour. In cases of telephone testimony, one of the attorneys or my clerk can telephone the witness from the courtroom.

9. Do you have any preferences for courtroom decorum (including but not limited to cell phones, pagers, passing notes, communicating with others at counsel table, water/beverages at counsel table, approaching the witness, courtroom attire)?
All cell phones, pagers, tape recorders and communication devices of whatever variety, except computers, must be turned off in the courtroom unless you have my specific permission not to do so. Jurors must give all communication devices to the jury deputy when they go into the jury room to deliberate. The deputy determines when and if they may have access to such devices during deliberations and returns them when the jurors return home each night. Attorneys may pass notes to one another during testimony or arguments as long as it is not disruptive, although it is often better practice to ask for a moment to consult with your co-counsel.

Everyone - attorneys, clients, witnesses, jurors and court staff – may have water or other nonalcoholic beverages in the courtroom. Food, gum and candy (except cough drops when necessary) are not allowed. Attorneys are expected to dress appropriately for court. "Casual Friday" does not exist in the courtroom. However, if you're unexpectedly called into court, just show up, however you're dressed and simply explain.

Courtroom procedure: Stand whenever you address the court. You may sit or stand to question a witness but standing is far more effective because it automatically gives you more presence. You may use the podium but it is not required. You may move around the courtroom as you wish for motion arguments, voir dire, opening statements and closing arguments.

When a witness is on the stand, you must follow the General Rules of Practice for the District Court §H.Trialbook and request permission to enter the well of the courtroom, whether to approach the witness, an exhibit, or the bench. You should always request permission to approach the bench, even during motion arguments.

10. When, if ever, would you consider issuing sanctions, formal reprimands, holding an attorney in contempt, or reporting an attorney for unethical behavior?
I rarely issue sanctions. My most frequent sanction is awarding attorneys fees to the other side, most commonly for failing to have a person with full authority to settle up to the amount demanded present at a settlement conference or for causing an unnecessary discovery dispute. I have sent one attorney who smelled of alcohol at 9:00 AM to Lawyers Concerned for Lawyers (LCL) and required him to follow through with a chemical assessment and follow the recommendations.

On three or four occasions I have referred an attorney to the Lawyers Board of Professional Responsibility when I have identified a clear ethical problem but the attorney has either denied the existence of any ethical issue or insisted on defending an indefensible position. For example, I referred an attorney to the Lawyers Board after he admitted knowingly and intentionally filing a false affidavit in the Probate Court. He tried to file a "corrected" affidavit when he got caught and did not understand why I was offended. Upon investigation, the Lawyers Board learned that he was kiting checks among several trust accounts and had stolen upwards of a million dollars of his clients' funds. In another case, an attorney did not understand why it was a conflict of interest to represent a contractor in a lawsuit against his deceased client's widow where the attorney recommended the contractor to his deceased client to do the work in question and then sued the widow on behalf of the contractor.

I have never referred an attorney to the Lawyers Board when the attorney recognized the problem and set out to correct it. I've referred only cases where the attorney didn't 'get it' at all.

11. Under what circumstances do you accept ex parte communications from counsel? Do you consider an attorney’s communication with your clerk a potential ex parte communication?
I do not accept ex parte communication from counsel. I try not to be rude. If I answer the telephone when my clerks are out, I'll take the attorney's name and telephone number and give the message to one of my clerks to return the call, explaining that I cannot talk to the attorney or party about the matter.

No, I do not consider communication with any of my staff to be a potential ex parte communication. Attorneys have to be able to talk to someone to schedule hearings, etc. I expect attorneys to be professional and not to take advantage of or be rude to my staff.

12. What is your practice with granting continuances and under what circumstances would you consider granting one?
I grant trial block continuances only under exceptional circumstance. I will modify my Scheduling Order to extend discovery, for example, if I can do so without changing the trial block. I'll grant a trial block continuance if an extraordinary circumstance exists, such as joinder of a new party or additional surgery needed by a personal injury plaintiff, especially when the statute of limitations reasonably precludes dismissal without prejudice.

I do respect family vacations, medical appointments and other personal commitments. If you have a personal conflict, let me know and I'll do my best to work with you.

13. With respect to oral argument, do you prefer an attorney to assume you have read the supporting memorandum and exhibits and not reiterate written material?
I will tell the attorney whether I have had time to skim, read, or carefully analyze their written submissions and whether or not I want the attorney to reiterate the facts or written arguments. My schedule is so tight and so much written material comes in every day that I can't generalize about my ability to study the motion papers in advance – so ask, and I will tell you how much I've been able to do before your argument.

14. What do you consider to be the basic requirements of good oral argument (including the amount of time appropriate for oral argument)?
The human attention span reaches its limit between 20 and 25 minutes. Watch the listeners at a sermon or speech and you'll see that few, if any, people are paying attention after 25 minutes. Absent the extraordinary case/issue, I limit most non-dispositive motion arguments to 10 minutes per party and dispositive motion arguments to a maximum of 20 minutes each. Time for argument is also dictated by my schedule. I usually hear motion arguments at one or one-thirty PM. My available time is dictated by my primary assignment that day, whether we have scheduled a settlement conference to follow your argument, and whether I have another hearing right after yours. Please put your detailed arguments in your written submission and just argue the "highlights". Stand to address the court. Make copies of any case(s) you rely on for the court and opposing counsel. State citations slowly. Speak slowly; articulate clearly for me and the court reporter. Spell names. Tell me a compelling equitable reason why you should win whatever it is you seek, and you probably will. Tell me clearly what you want me to do. Be specific about the remedy you seek. Always submit detailed Findings of Fact, Conclusions of law and Order with your motion papers and attach a floppy disc on Word 97 to your submission so I can modify it as I see fit. I ordinarily will not take any motion under advisement until I have received the Findings of Fact, Conclusions of Law and Order (FOFCOLOs) from both sides. Use visuals. If you're referring to a contact, chart, graph, summary, or other document, give me a copy on 8 1/2" x 11" paper, even if you use a flipchart or Elmo in the Courtroom. I am a visual/kinesthetic learner, not an auditory learner, so I like my own copy of all written materials and I always take detailed notes.

15. What preferences do you have for jury trials? How do you prefer voir dire to be conducted?
Each case on a trial block is on call with 48 hours notice during the entire 5 to 6 week trial block; however, the attorneys can check with my clerks to find out where a particular case falls on the trial block and when it is likely to go to trial. Proposed Jury Instructions, Verdict forms, Exhibit Lists and Witness Lists must be submitted 10 days before the start of the trial block. On the day you appear for trial, you will receive the first edition of the entire book of Jury Instructions for your case. I will go through them with you and enable you to have input during the trial. You will have the final edition to use in your closing argument. I do most of the voir dire myself but I will ask virtually any question that any attorney requests me to ask and I will follow up with individual jurors who respond to any question. I expect attorneys not to be repetitive in voir dire. 8 or more jurors will be selected for any civil case to ensure a valid verdict with 6 jurors. Pursuant to the Rules of Practice for the District Courts, all civil jurors will deliberate. There are no alternate jurors in civil cases. Individual copies of the jury instructions containing the basic substantive law of the case are given to the jurors and read to them prior to opening statements. Individual copies of the entire jury instructions and Special Verdict Form are given to each juror before I read them. I read the final instructions before closing arguments. A clean copy of the jury instructions and Verdict form are sent in to the jury room for the jury's use during deliberations. Jurors are permitted to mark their individual copies of the jury instructions, take them into the jury room during deliberations, and take them home if they wish. I permit civil jurors to ask questions in writing of each live witness. At the end of each live witness's testimony (as opposed to a deposition witness, who is not present), I ask the jurors if they have any questions. The jurors must write down their questions. I receive the questions at the bench and review them with the attorneys. I rule on any objection. If the question is permissible, I ask the question of the witness myself and allow the attorneys to follow up with additional examination of the witness. I tell the jurors if a particular question is not asked, there is a legal reason that prevents me from asking it. In that case, the jurors are to disregard the subject matter of the question altogether and must not speculate on what the answer might have been.

During bench conferences/sidebar conferences, I ask my law clerk to speak with the jury and encourage the jurors to stand, stretch, relax a bit and talk to one another but remain in the jury box to avoid lengthy breaks. Sending the jury out of the courtroom takes at least 20 minutes and significantly increases the length of trial. I permit attorneys, clients, witnesses and jurors to have nonalcoholic beverages in the courtroom. I serve coffee during recesses and keep water in the courtroom. I deliver the bulk of the closing jury instructions and explains the Special Verdict Form to the jury before closing arguments. Pre-Mark all Exhibits and prepare a detailed Exhibit List per Minn. Gen. Rules of Practice for the District Court §H. Trialbook § 12 Exhibits. Marked Exhibits and the detailed exhibit lists must be exchanged with opposing counsel no later than 10 days before trial.

Attorneys are encouraged to prepare individual exhibit books in 3-ring binders for each of the 8 jurors who will be selected to sit and deliberate as the jury in the case. Every important exhibit should be included in the individual jury exhibit books. Voluminous records such as medical records should be prepared as usual in a complete form to be introduced into evidence and sent to the jury room intact; however, those selected few pages of such records that really matter in the case should be provided to each juror in their individual 3-ring Exhibit binders.

You should prepare at least 13 copies of all Exhibit books. This includes 8 for the jurors, 1 for you, 1 for your opposing counsel, 1 for me, 1 for my clerk, and one for the witness stand. Then we can literally all be on the same page throughout the trial.

a) I instruct the jurors to look only at the particular exhibit they are directed to look at during the testimony, and to close their binders and use them as lap desks for their note pads otherwise.
b) Jurors leave their notes, jury instructions, and Exhibit books on their chairs whenever they leave the courtroom during the trial. They may take all of those materials with them to the jury room when they begin their deliberations. Once the verdict is read, jurors' notes are destroyed and their Exhibit books are returned to the attorneys. I allow the jurors to keep their personal copy of the jury instructions and verdict form and take them home if they wish to do so.

I will always welcome any suggestion you have for presenting the evidence in a more meaningful fashion.

Judicial Profile from The Hennepin Lawyer (58:6:19)

Ann L. Alton
Originally published in the July/August 1989 issue.
Author: Bev Wolfe

Ann Leslie Alton brings to the bench a combination of extensive experience in criminal law, civil law and teaching. During her 19 years of service in the Hennepin County Attorney’s Office, her practice encompassed employment and labor law matters, complex crime litigation and felony street crime prosecutions. Over the past 16 years she has also taught both substantive law and trial practice courses at all three of Minnesota’s law schools.

Judge Alton made her decision to become an attorney during her junior year at Smith College where she was an Economics major. Upon graduating from the University of Minnesota Law School in 1970, Judge Alton joined the Hennepin County Attorney’s Office and remained there until her elevation to the bench. She began as an assistant county attorney in the Criminal Division of the office. From 1970-75, she tried over 45 jury trials involving all types of street crimes including drug offenses, sexual assaults, kidnapping and homicides.

Judge Alton was promoted to the position of acting Senior Attorney in 1975 and became the acting chief of the office’s Citizen Protection Division. While supervising the division’s investigation and enforcement of consumer laws, Judge Alton also continued to personally prosecute difficult sexual assault cases. In 1976 she became a permanent Senior Attorney, the first woman Senior Attorney in the office.

From 1976-85, Judge Alton served as Chief of the Citizen Protection/Economic Crime division in the county attorney’s office. This division prosecuted major economic crimes including securities fraud, complex business and investment fraud, insurance fraud, arson and welfare provider fraud. Judge Alton also handled both institutional child abuse cases and the prosecution of a sexual assault involving a non-verbal victim with cerebral palsy.

During her tenure as Chief of the division, Judge Alton was instrumental in forming two organizations for combating consumer fraud and economic crime. These organizations were the Minnesota Inter-Agency Consumer Group and the Minnesota Inter-Agency Economic Crime Group.

In 1985, Judge Alton transferred to the office’s Civil Division. There she assumed primary responsibility for representing the Hennepin County Personnel Department, its Labor Relations Division and the Hennepin County Administration in all labor and employment legal matters. Her practice in this division involved several complex civil litigation cases including sexual harassment and employment discrimination claims, comparable worth issues and labor contract disputes.

Law is also a family affair for Judge Alton. Her husband, Jerry Freeman, is an attorney in private practice and although Judge Alton was the first person in her family to go to law school, both her father and brother have also become attorneys and her sister is currently attending law school. Moreover, Judge Alton has the distinction of being the first daughter to move for the admission of her father, Howard R. Alton, Jr., to the Minnesota Bar.

Judge Alton considers her most significant accomplishment as an attorney to be her involvement in victimology and the coordination of victim services. One of her most important achievements in this area was her role in redesigning the manner in which sexual assault prosecutions are handled in Minnesota. In 1974, she initiated and developed the Sexual Assault Services program at the county attorney’s office. That program provides support and services for victims in sexual assault prosecutions. Judge Alton was one of the primary drafters of the present Criminal Sexual Conduct statutes. She also assisted in developing and implementing the medical protocols used for sexual assault victims and the procedures utilized by police in sexual assault cases.

Another major achievement was her involvement in reforming the way child abuse cases are handled. She helped draft statutes that promoted a greater sharing of information among social workers, police and prosecutors. She was cofounder of the Hennepin County Medical Association family violence project which provided for integration of medical input into domestic violence and child abuse cases. It also provided a program through which employers could provide employees with treatment for family violence without job jeopardy.

Ann Alton is married to Jerry Freeman, an attorney in private practice. They have one son, Brady, age five.