L. Ralph Mecham, Director of the Administrative Office of the United States Courts (“AO”), appeals the district court’s declaratory judgment directing the Administrative Office to pay legal expenses incurred by Judge Tashima. Judge Tashima was represented by private counsel in three suits in which the validity of a local district court rule was disputed. This court has jurisdiction over this timely appeal under 28 U.S.C. § 1291. We affirm the district court’s judgment.
BACKGROUND
By majority vote, the judges of the Central District of California adopted Local Rule 2.2.1 which, in connection with Local Rules 2.1 and 2.2.3.2, provides that an attorney who lives or is regularly engaged in business in California may perform as an attorney in the court only if the attorney is a member of the California state bar. Such an attorney may not appear pro kac vice.
In 1987 and 1988, respectively, two suits were filed in the Federal District Court for the Central District of California challenging the constitutionality of Rule 2.2.1.
Maynard v. United States Dist. Ct,
The AO refused to authorize such funds. The AO erroneously believed that Judge Tashima’s intended litigation strategy was to assert that Local Rule 2.2.1 was unconstitutional. Based on this erroneous belief, the AO took the position that it was not required to authorize funds that would allow Judge Tashima to advocate a position contrary to that of the majority of the court. 1
Judge Tashima eventually corrected the Administrative Office’s mistaken view of his litigation strategy and received an authorization of funds for the limited purpose of seeking his dismissal from Giannini II and Maynard. However, the AO continued to refuse to authorize funds for Judge Tashima’s private counsel to mount a complete defense. Furthermore, despite the fact that Judge Tashima’s defense strategy was the same for each of the suits challenging Local Rule 2.2.1, the AO continued to refuse to authorize any funds for the payment of Judge Tashima’s defense costs in Giannini I. Judge Tashima then filed this suit. He brought actions for mandamus, relief under the Administrative Procedure Act and declaratory relief. The district court ruled in favor of the AO on the issues of mandamus and relief under the APA but granted declaratory relief in favor of Judge Tashima. The AO appealed. DISCUSSION
I. STATUTORY CONSTRUCTION OF SECTION 46S
Judge Tashima argues that under 28 U.S.C. § 463 the AO must pay his legal fees for representation by private counsel. Section 463 is a statute authorizing the AO to provide counsel to judges sued in their official capacity when the services of a government attorney are not available.
A. Section 463
Section 463 provides:
Whenever a Chief Justice, justice, judge, officer, or employee of any United States court is sued in his official capacity, or is otherwise required to defend acts taken or omissions made in his official capacity, and the services of an attorney for the government are not reasonably available ..., the Director of the Administrative Office of the United States Courts may pay the costs of his defense. The Director shall prescribe regulations for such payments subject to the approval of the Judicial Conference of the United States.
Congress enacted section 463 to fill the gap in the legal assistance provided to federal judges created when a judge is sued in his or her individual capacity, but the Department of Justice is unable to provide representation due to a conflict of interest or other reason.
See
S.Rep. No. 97-275,
reprinted in
1982 U.S.C.C.A.N. 11, 26. Normally, when federal judges are sued in their official capacity, a government attor--ney will be assigned to defend them. 28 U.S.C. § 516-17; 57 Op.Comp.Gen. 444 (1975);
see Meredith v. Van Oosterhout,
Yet, prior to. the enactment of section 463, no provision had been made to deal with a situation where a government attorney could not represent the judge due to a conflict of interest or for other reasons. To remedy this deficiency, Congress adopted section 463, authorizing the Administrative Office to pay the costs of private counsel where a government attorney was unavailable. However, the statute states that the Administrative Office may pay the costs of private defense counsel. Thus, the language allows for some discretion on the part of the AO to determine whether to pay such costs. The scope of this discretion is the primary issue in this case.
B. The AO’s Interpretation of Section 463
The AO claims that Congress’ use of the discretionary term “may” rather than the mandatory term “shall” indicates that Congress did not intend to impose any duty on the Administrative Office to pay for private counsel to represent judges sued in their official capacities when a government attorney is unavailable. At various times during the dispute, the AO has advanced differing theories to support the exercise of its discretion to deny Judge Tashima’s request for private counsel. The AO claims that it may deny the request because it determined that providing Judge Tashima with private counsel was not in the best interests of the judiciary. The AO also claims that it may deny the request because it determined that the Judge Tashi-ma’s chosen litigation strategy was inappropriate. Finally, the AO claims that it may deny the request because it believed that Judge Tashima should not have personally taken the view, contrary to the position of the majority of the court, that rule 2.2.1 is unconstitutional.
The underlying problem which the AO has with Judge Tashima’s request for private counsel stems from the fact that Judge Tashima voted against the adoption of rule 2.2.1. The AO claims that Judge Tashima’s judicial duties with respect to the enactment of the rule ended when the court voted to adopt it over Judge Tashi-ma’s objections. It is apparent that the AO believes that as a member of the District Court, Judge Tashima had a duty, once he lost the vote on rule 2.2.1, to adopt and defend publicly the position taken by the Central District. The AO contends that the members of the court should present a united front to litigation against the court, particularly in the face of controversy such as that generated by this ease. The corollary to that proposition, however, is that individual dissenting opinions such as Judge Tashima’s would be suppressed.
The AO further contends that the plaintiffs in each of the suits ought not to have named the individual judges as defendants at all, but rather should have only named the Central District. In the AO’s view, had the plaintiffs named the correct defendant, then only one viewpoint, one defense, would have been advanced in the litigation. Judge Tashima’s unique views on the issue would not have been presented. The AO’s denial of private counsel for Judge Tashi-ma was an attempt to make the case conform to the AO’s view of what the lawsuit, correctly brought, should have looked like.
This court declines to adopt any of the AO’s interpretations of the statute as each interpretation raises serious constitutional questions.
It is a well established principle of statutory construction that a court must construe a statute so as to avoid raising constitutional questions. “A statute ... is to be construed, if such a construction is fairly possible, to avoid raising doubts about its constitutionality.”
St. Martin Lutheran Church v. South Dakota,
1. Separation of Powers
Despite the fact that the AO works directly for the federal judiciary, it is not an Article III entity. There are two fundamental attributes which distinguish Article III entities from other judicial or quasi-judicial bodies: life tenure and guaranteed salary.
Northern Pipeline Construction Co. v. Marathon Pipe Line Co.,
The Constitution “commands that the independence of the Judiciary be jealously guarded, and it provides clear institutional protections for that independence.”
Northern Pipeline,
The AO claims that, pursuant' to section 463, Congress gave it the discretion to pick and choose which federal judges sued in their official capacity will be represented at government expense and which will not. Such a construction of section
Although Congress could have elected not to provide private counsel for the Judiciary altogether, once Congress has authorized representation by private counsel, access to such counsel may not be controlled in any way which might influence the performance of judicial functions.
Cf. United States v. Klein,
80 U.S. (13 Wall) 128,
A second separation of powers problem is raised by the AO’s claim that it may pick and choose who will be represented at government expense based on its determination of whether it would be in the best interests of the Judiciary to provide private counsel. Determining what is in the best interests of the judiciary is a policy function, not a ministerial function. Judicial policymaking is a function traditionally assigned to the Judicial Conference and the Judicial Councils, Article III entities.
2
Under the AO’s interpretation of section 463, Congress reassigned the power to decide what is in the best interests of the Judiciary to the AO, at least for the purpose of deciding whether to authorize counsel. This we seriously doubt. Such a reassignment of powers from Article III entities to a non-Article III adjunct is precisely the type of threat to the independence of the Judiciary which the Supreme Court has consistently invalidated.
Northern Pipeline,
2. First Amendment
The AO’s interpretations of the statute also raise serious First Amendment questions. The AO claims that it may deny Judge Tashima’s request because it disagreed with the Judge's chosen litigation strategy and, in the alternative, because it believed that it was inappropriate for the Judge to adopt a view of the rule contrary to that of the majority of the Central District. These theories clearly implicate the First Amendment. Obviously, a defendant’s chosen litigation strategy and a defendant’s own views on a matter are both legitimate forms of expression falling under the protections of the First Amendment. A federal judge is entitled to the same protections of the First Amendment
3. Relationship Between The Courts And The AO
Finally, the AO’s interpretations of the statute turn the intended superior-subordinate relationship of the Judiciary and the Administrative Office on its head. The AO’s contention that section 463 gives it the responsibility to determine which judges will be defended and which will not misperceives the role of the Administrative Office. The AO was created to perform, and historically has performed, a limited ministerial function. It was not intended to govern or make policy for the Judiciary. It was established, in large part, to relieve the Judiciary from possible interference by the Department of Justice, which had previously carried out the administrative duties of the courts.
See
Peter G. Fish,
The Politics of Federal Judicial Administration
91-145 (1979). The AO’s role was intended to be administrative “in the narrowest sense of that term.”
Chandler v. Judicial Council,
The role of determining what is in the best interests of the Judiciary, determining the merits of an individual judge’s litigation strategy and determining the merits of a judge’s own views on a matter does not fall within a definition of administrative/ministerial duties, particularly not when the term is to be taken in its strictest sense. Each of these determinations is by nature a judicial function which must be controlled by the Judiciary itself, either through the Judicial Conference, the Judicial Councils or, not infrequently, a lone Article III judge. The AO “was entrusted with no authority over the performance of judicial business.” Id. The AO’s policy determinations in this case are by nature judicial business and outside the role of the Administrative Office.
Each of the AO’s various interpretations raises serious constitutional questions. However, the AO’s proposed interpretations are not the only possible readings of the statute. As we set forth below, a common sense reading based on the plain language of section 463 yields an interpretation which does not raise constitutional questions. There is no indication of a contrary Congressional intent that would preclude our adoption of this alternative reading. In the absence of any Congressional guidance on the issue of the AO’s discretion, this court must adopt the construction of the statute which does not have any constitutional problems, so as to avoid unnecessarily addressing constitutional questions.
D. Construction of Section 463
The AO claims that Congress’ use of the discretionary term “may” rather than the mandatory term “shall” indicates that Congress did not intend to impose any duty on the AO to pay for private counsel to defend a judge’s official acts when a government attorney is unavailable. While the use of the term “may” bars a finding that the statute establishes a clear unambiguous duty to pay
all
such fees, and thus bars a mandamus action,
4
it does not, as
1. Initial Authorization For Private Counsel Under Section 463
With certain limited exceptions, section 463 imposes a duty on the AO to pay the costs of a private attorney to defend a federal judge in an action where he has been sued in his official capacity and the services of a government attorney are unavailable. Thus, when a judge initially requests authorization to obtain private counsel, the AO has limited responsibilities. The AU must conduct a limited inquiry into the nature of the lawsuit and the availability of a government attorney. If, as a result of this inquiry, the AU determines that (1) the judge has in fact been sued, (2) in his official capacity, and (3) the services of government attorney are not available due to conflict of interest or other reasons, then the AO must authorize the judge to obtain private counsel. The AO has no discretion to refuse authorization of private counsel in these circumstances. The only issue is whether the judge has satisfied the required three elements. The AO may not inquire into, nor deny private representation on the basis of, an individual judge's chosen litigation strategy.
There are, however, two circumstances under which the AO may refuse to pay some portion of the fees submitted by private counsel. The AO may refuse to pay a particular charge when that charge is for offensive litigation actions taken by the judge as this is clearly barred by the statute. The AO, pursuant to its statutory discretion, may also refuse to pay a particular charge if the AO determines that the charge is excessive. Therefore, the AU should inform the judge that it is only authorized by Congress to pay for defensive litigation actions and that any offensive litigation action which the judge may take will have to be paid for by the judge. The AU should also inform the judge that it has the discretion to decline to pay fees or charges which it determines are excessive.
2. Payment Of Fees Submitted By Private Counsel
Once the suit has been resolved, private counsel must submit an itemized list of charges to the Administrative Office. This list permits the AU to examine the charges and determine whether any fall within the two categories of fees which it may refuse to pay.
a. AO Has No Authorization To Pay Non-defense Fees
The AU must examine the charges submitted to determine whether any of the charges are for offensive litigation actions such as the filing of a counterclaim. Such an examination is necessary because the AU has no authority to pay non-defense fees. Section 463 states that the Administrative Office "may pay the costs of [a judge's] defense." 28 U.S.C. § 463 (emphasis added). A plain language reading of the statute indicates that the payment of fees for offensive litigation actions is not covered by section 463. As the statute contains no mention of offensive costs, the AU lacks the authority to pay such costs.
It is not necessary at this time to set forth a list of offensive and defensive litigation actions. The crux of the matter is whether the judge acted like a defendant or acted like a plaintiff. Bringing a motion to dismiss, as Judge Tashima did here, is a defensive action. A motion to dismiss seeks to deny liability and to prevent recovery, and thus, is by nature defensive. Conversely, filing a counterclaim is an offensive action. A counterclaim seeks to estab
b. AO Has Discretion To Refuse To Pay Excessive Fees
Next, the AO’s statutory discretion comes into play. The AO must examine the charges to ensure that none of the charges is excessive and that private counsel is not charging an excessive rate or for excessive time spent in mounting the judge’s defense. A plain language reading of the statute reveals that Congress intended to give the AO some discretion with respect to the payment of such fees by its use of the term “may;” After eliminating the possible areas of discretion claimed by the AO which raise serious constitutional concerns, we are left with the purely ministerial function of determining whether to decline to pay particular fees and charges on the basis that they are excessive. Determining whether fees or charges submitted by private counsel for the defense of a judge are excessive is exactly the type of ministerial function that Congress may vest in the AO without raising separation of powers problems.
Furthermore, it is not reasonable to conclude that Congress intended to require the AO to pay all costs or time charges regardless of how excessive they might be. The logical conclusion is that Congress used the term “may” so as to allow the AO to refuse to pay excessive fees without becoming subject to a mandamus action. Thus, we find that under section 463 the AO, in the exercise of its discretion, may refuse to pay any charges which it has determined were excessive. Judicial review of this factual determination by the AO is conducted under the abuse of discretion standard.
If the AO conducts this detailed review of the charges submitted and determines that none is for offensive litigation actions and none is excessive, then it must pay the charges submitted.
II. THE LOWER COURT PROPERLY GRANTED DECLARATORY JUDGMENT AS THE ADMINISTRATIVE OFFICE ERRED IN NOT AUTHORIZING AND PAYING FOR JUDGE TASHIMA’S COUNSEL
This court reviews decisions to grant or deny declaratory relief de novo.
Fireman’s Fund Ins. Co. v. Ignacio,
A. The Administrative Office Erred in Not Authorizing Private Counsel for Judge Tashima in Maynard, Giannini I and Giannini II
The Administrative Office’s role in authorizing private counsel is extremely limited. Judges requesting private counsel must meet three specific criteria in order to be entitled to private representation at government expense. They must establish that they are a federal judge, that they have been sued in their official capacity and that the services of a government attorney are unavailable. Once this threshold requirement has been met, the Administrative Office must authorize counsel.
Judge Tashima met this threshold requirement with respect to each of the three suits:
Maynard, Giannini I
and
Giannini II.
Judge Tashima is a Federal District Judge for the Central District of California. Judge Tashima was sued in his official capacity as a judge of the Central District in each of the three suits which challenged rule 2.2.1. Finally, the services of the Department of Justice were not available to the Judge due to the conflicting litigation
Moreover, the AO should not have imposed conditions on its authorization. The AO eventually authorized private counsel in Maynard and Giannini II, but only for the limited purpose of attempting to secure the Judge’s dismissal from the suit. The AO erred in so limiting the authorization. Once the threshold requirement has been met, the AO must fully authorize the judge to obtain private counsel. The AO may not condition or limit that authorization in any way. As noted above, such conditions or limitations create serious First Amendment problems. Consequently, we. find that Judge Tashima was entitled to an unconditional authorization to obtain private counsel to mount his defense in Maynard, Giannini I and Giannini II.
B. Judge Tashima’s Legal Fees for Maynard, Giannini I and Giannini II
After private counsel has been authorized, the next step in the process is the submission of fees. Once the suit has been resolved, private counsel must submit an itemized list of charges to the AO. The AO will then examine the charges to ensure that none is for offensive litigation actions and none is excessive. If none of the charges is for offensive litigation actions and none is excessive then the Administrative Office must' pay the charges.
1. The AO is Authorized to Pay Judge Tashima’s Fees as he did not Engage in any Offensive Litigation Action
Judicial review of the AO’s determination whether fees were for offensive or defensive litigation actions is a mixed question of law and fact and is reviewed de novo.
United States v. McConney,
2. The AO has Discretion to Decline to Pay Fees which it Determines are Excessive
The remaining issue is whether any of the fees that have been or will be submitted are excessive. Judicial review of the AO’s decision to decline to pay fees on this basis is reviewed for abuse of discretion. It is the AO which has the discretion to determine whether any fees are excessive. The record indicates that only a portion of the charges and fees incurred by Judge Tashima in mounting his defenses in each of the three actions have been submitted to the AO for payment. With respect to the charges and fees which have already been submitted to the AO, the AO must pay all of those charges. At no time during the litigation has the AO asserted that any of the charges submitted for payment are excessive. Because the AO has not found that any of those charges are excessive, the AO has a duty to pay them. With respect to the charges and fees yet to be submitted, the AO must determine whether any are excessive. It may then, in the exercise of its statutory discretion, decline to pay any charges and fees which it
The declaratory judgment of the district court is hereby AFFIRMED.
Notes
. The AO consistently mischaracterized Judge Tashima’s litigation strategy throughout the Administrative review process. The correspondence directed to the AO by both Judge Tashima and his counsel clearly indicated that the Judge did not intend to assert in the litigation that the rule was unconstitutional. The mischaracteri-zation of Judge Tashima’s position only served to prolong this dispute and to strain relations between the Judges and the AO.
. The Judicial Conference and' Councils are properly considered Article III entities as they are composed of Article III judges who possess the required attributes of life tenure and guaranteed salary.
See Northern Pipeline Construction Co. v. Marathon Pipe Line Co.,
. First Amendment issues were raised and considered by the district court.
Tashima
v.
Administrative Office,
. The district court considered this exact issue and determined that Congress' use of the term "may" precluded the finding that the Administrative Office had a clear ministerial duty necessary to sustain a mandamus action.
Tashima
v.
