In Re City of Houston
Thе City of Houston petitions for mandamus ordering Judge Gabrielle McDonald to recuse herself from the post-trial setting of attorneys’ fees in a voting rights class action in which she was a member of the class. We deny the writ.
I. CASE HISTORY
In December 1973, a group of private plaintiffs brought suit in the United States District Court for the Southern District of Texas against the City of Houston and certain city officials. The case was styled Greater Houston Civic Council v. Mann, No. 73-H-1650. 1 The plaintiffs, originally representing voters of every major ethnic group in Houstоn (including whites), challenged the City’s at-large system of electing its eight council members on grounds that the system unconstitutionally discriminated against minority voters in the City by minimizing or diluting their votes. No monetary damages were ever requested.
The presiding judge to whom the case was initially assigned was the late Honorable Allen B. Hannay. At a pretrial conference held in Judge Hannay’s chambers on November 8, 1976, counsel for all parties agreed that the case was a 23(b)(2) class actiоn, the class being restricted to black and Mexican-American registered voters in the City, and that the named plaintiffs represented this class. Judge Gabrielle McDonald, to whom this case has now been assigned, is black and at the time of the trial was a registered voter in the City.
After a nineteen-day trial Judge Hannay denied the injunction and declaratory relief sought by plaintiffs. By the time of submission to the Fifth Circuit in 1979 the City had changed its method of election and the parties agreed thаt the issue of the appeal was moot. The cause was remanded to the district court for a finding regarding the availability of attorneys’ fees to any of the parties to the action.
The death of Judge Hannay resulted in the assignment of the case to Judge Woodrow Seals. In April 1983, the plaintiffs’ attorneys filed their Motion for Attorneys’ Fees in this consolidated cause in Judge McDonald’s court. Judge McDonald then had two related cases on her docket (Nos. H-78-2174 and H-78-2407), аnd No. 73-H-1650 was reassigned to her.
In a letter dated August 30, 1983, John Whittington, Assistant City Attorney for the City of Houston, advised the court that,
as the Court knows, 73-H-1650 was a class action suit and Your Honor was a member of the protected class. This particular problem does not arise in any of the subsequent litigation brought pursuant to the Voting Rights Act because Your Honor was a member of a three-judge panel which was not addressing substantive issues nor were those cases class actions. Thus, it is only 73-H-1650 that there exists the potential for some conflict.
Judge McDonald responded to Mr. Whit-tington in a letter dated December 6, 1983, advising him: “I do not intend to recuse myself voluntarily. You are, of course, free to file a Motion to Recuse which I would consider at that time.”
The City then filed a motion to recuse, requesting that Judge McDonald disqualify herself from further proceedings on grounds that she was a “party to the proceeding,” and thus was required to disqualify herself under
II. PRIMARY LAW
The disqualification or rеcusal of federal judges is governed by
(a) Any justice, judge, or magistrate of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned.
(b) He shall also disqualify himself in the following circumstances:
(4) He knows that he, individually or as a fiduciary, or his spouse or minor child residing in his household, has a financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcоme of the proceeding;
(5) He or his spouse, or a person within the third degree of relationship to either of them, or the spouse of such person:
(i) Is a party to the proceeding____
(d) For the purposes of this section the following words or phrases shall have the meaning indicated:
(1) “proceeding” includes pretrial, trial, appellate review, or other states of litigation____
The Code of Judicial Conduct, from which the statute’s language derives, contains quite similar provisions. 4
A recusal motion under
The issue of judicial disqualification is solely one of law.
McCuin v. Texas Power & Light Co.,
III.
We have no question but that Judge McDonald was a member of a declared class. Though not formally certified, we have no hesitation in treating it as if it had been.
See Bing v. Roadway Express, Inc.,
The question before us is whether a judge who is a member of a class in a voting rights case must recuse herself from sitting on that case. We are guided by no federal preсedent on this point.
5
But we believe that we have before us a modern continuation of an age-old proposition derived from the civil law:
“Nemo debet esse judex in propria causa,”
which is to say, no man should be a judge in his own case.
See Black’s Law Dictionary
935 (5th ed. 1979). It is our interpretation of this venerable maxim, as applied through
Unfortunately, the definitional provisions of
We conclude that the term “party” as used insection 455 must be given its broad customary meaning rather than the narrow construction suggested by plaintiffs, and hold that for purposes of the recusal statute, the term “party” includes class members.
Id.
In
Cement Antitrust,
the trial judge's wife owned stock in seven of the 210,235 class members, and her financial interest in the case was calculated to be $29.70. Because of this financial interest of the judge’s wife, the court held that
We agree with the result in
Cement Antitrust,
but disagree with the application urged by the City of that case’s holding. The framers of
The question then becomes whether a judge who is a member of a 23(b)(2) class in a voting-rights case is a party for purposes of recusal. We hold that a judge so situated, absent any further showing of a connection with the named parties, should not be considered a party under
We question the
dictum
in an advisory letter by the Advisory Committee on Codes of Conduct of the Judicial Conference of the United States, cited in
New Orleans Public Service, Inc. v. United Gas Pipe Line Co.,
The City further contends under
It has been held that remote, contingent, and speculative beneficial effects upon future utility bills are not a “finаncial interest” within the meaning of the statute.
In re New Mexico Natural Gas Antitrust Litigation,
It is doubtful whether the change sought to be effected by plaintiffs in the creation of voting districts would have benefited Judge McDonald at all. When the complaint was filed in this case, she lived in a predominantly black neighborhood; but since 1975, she has resided in a voting precinct that is predominantly non-black and non-Hispanic. Judge McDonald is a class member merely because of the way in which the attorneys in the case decided to frame the class.
Cf. Ely Valley Mines, Inc. v. Lee,
Indeed, the delineation is a illusory one, insofar as the interest of the class member is equal to that of persons not members of the class. For every class that claims to be injured by an action or policy that is the subject of declaratory relief, there is a counter-class that, by definition, must be benefited. If the voting power of blacks is made less diluted and more equitable, then the voting power of any other class of voters, such as whites, is proportionally affected. Virtually every citizen of Houston who is a voter, then, has an equal stake in this litigation, infinitesimal though any individual’s interest may be. Members of this broadly drawn class have only the most attenuated intеrest in the litigation, although society at large — comprising both members of the class and nonmembers — is substantially affected.
V. RELATED CASES
Though not dealing with judges as parties, in
In re New Mexico Natural Gas Antitrust Litigation,
The court stated:
[W]е believe Congress did not intend to require disqualification in all cases in which the judge might benefit as a member of the general public. We realize that recusal would be required by thestatute if the judge owned even one share of stock in a party to the litigation. But an interest shared by the judge in common with the public is distinguishable ____
Id. at 796-97 (emphasis added). The New Mexico Natural Gas court adduced two reasons why a demotic interest, shared with the public in general, presents a different case from that in which the judge has even the slightest financial interest. First, “the policy to promote public confidence in the impartiality of the judicial system is not served to as great an extent by disqualifying a judge who would receive only such a benefit.” Id. at 796. Certainly where, as here, the judge would share in a nonpecuniary benefit or detriment with the majority or totality of the public, he could hardly be accused on that basis alone of being less than disinterested. Second, the court pointed out the practicаl problems that would be created by a misdirected application of the recusal statute, observing that “[fjederal and state judges sit every day on tort, patent or other cases in which potentially large verdicts could affect an insurance or other company’s profitability ... which [could] increase the judge’s cost of living.” Id. at 797.
The District of Columbia Circuit has decided a case almost directly on point.
Christiansen v. National Savings and Trust Co.,
As between federal judges who presently subscribe to the health insurance program in question and those who do not, the subscribers present the worst case hence the best prospects for disqualification if there is to be any in this case. Though our ultimate decision is to the contrary, we have to assume for recusal purposes, that subscribers are beneficiaries. Thus, if the law does not mandate the disqualification of subscribers, non-subscribers are a fortiori insulated from disqualification.
* * :H * *
We ... hold that the interest of subscribing federal judges is too contingent and remote to warrant disqualification in the circumstances presented. This analysis moots the question whether the “rule of necessity” ... would be for application in any event, and would require us to sit regardless.
Id. at 526. The court did not discuss the judges as “parties,” presumably because of the highly attenuated nature of their interest.
VI. CONCLUSION
Because of (1) the fact that Judge McDonald’s interest in this case is nonpecuni-ary and is no different from that of the general voting public in Houston; (2) the lack of any possible attrition of public confidence in the impartiality of the judicial system if recusal is not ordered; (3) thе attenuated nature of any interest that the judge might have in the outcome of this case; and (4) the illusoriness of the class delineation, inasmuch as all members of the voting public in Houston have an equal interest in the suit — we hold that Judge McDonald’s posture in this case is not what Congress intended to proscribe in the recu-sal provisions of
Given our disposition and exposition under
The writ of mandamus is DENIED.
Notes
. A companion case, Leroy v. City of Houston, No. 78-H-2407, has been consolidated with Mann for hearing before Judge McDonald on the issue of attorneys’ fees.
. In their brief the attorneys for plaintiffs state that ”[l]he implicit premise of petitioner’s argument is that a judge who belongs to а racial minority group is inherently incapable of presiding fairly in a civil rights action involving other members of that group." We find no justification for that statement. The City raises a question of substance and may well have served the court and all of the parties by seeing that it is resolved at this time.
. The current wording of
. The
Code of Judicial Conduct,
like
. Nor is the legislative history helpful in this respect. The authors of
. Thus the Cement Antitrust court need not have reached thе issue whether a class member is a party, because the judge’s wife had a demonstrable financial stake in the outcome of the case, regardless of whether her interest was in a named party. Her interest fell under the per se rule mandating the judge's recusal.
The issue is not before us whether a member of a class is a party where the interest involved is pecuniary. Yet we doubt that the question
. It is hardly unprecedented to treat class members differently from parties, because of the very nature of class actions.
[I]f every class member had to be treated as a party in all circumstances, the purposes ofRule 23 might in some instances be frustrated. Thus, for example, the presence of non-diverse class members will not defeat federal diversity jurisdiction so long as the class representatives and the opposing parties are diverse; e.g., Friedman v. Meyers,482 F.2d 435 (2d Cir.1973); see also Snyder v. Harris,394 U.S. 332 , 340,89 S.Ct. 1053 , 1058-59,22 L.Ed.2d 319 (1969); C. Wright & A. Miller, Federal Practice and Procedure § 1755 at 550 n. 82; some courts have held that class members are not subject to discovery underFed.R. Civ.P. 33 ; e.g., Fischer v. Wolfinbarger,55 F.R.D. 129 (W.D.Ky.1971); Wainwright v. Kraftco Corp.,54 F.R.D. 532 (N.D.Ga.1972); and other courts have held that class members should not be treated as parties for purposes of counterclaims under Rule 13; e.g., Donson Stores v. American Bakeries Co.,58 F.R.D. 481 (S.D.N.Y.1973).
In re Cement Antitrust Litig.,
. The state courts have long held that a judge’s interest in common with that of the general public in the locale is not a disqualifying interest.
See, e.g., Russell v. Wheeler,
Similarly, the federal courts have held that membership in a bar association is not a basis for disqualifying judges under
. Even had we not far stronger grounds for denying the writ of mandamus, we might have recourse to the Rule of Necessi.y, which states: "[A]lthough a judge had better not, if it can be avoided, take part in the decision of a case in which he has any personal interest, yet he not only may but must do so if the case cannot be heard otherwise.”
United States v. Will,
The rule is sоmewhat analogous to an easement by necessity, which requires that one be completely landlocked before the doctrine will apply. Yet the analogy is imperfect insofar as the Rule of Necessity may not require that the federal courts be utterly "landlocked” before Judge McDonald can hear this case. As the court in
In re New Mexico Natural Gas Antitrust Litig.,
. Judge Hannay's Final Order in this case refers to "black and mexican [sic] minorities in the City of Houston," not even limiting the class to registered voters. A class definition of "black and Hispanic registered voters in Houston" would likewise have been broader than necessary, for there would have been no assurance that all such voters had been adversely affected by the at-large election system.