*1 745 and remand Accordingly, we reverse injury, that preceding Mrs. Sandoe’s sion new trial. to a directed not entitle the Sandoes did reasonably find that juryA could verdict. part. reversed in part; Affirmed defective condition nature of the as to be such subtle character grate was of only by extraordinary in
discoverable beyond requirements of
vestigation particular cir care under
reasonable See, Racquet Brown v. e.g.,
cumstances. Bricktown, A.2d at 30 supra, 471
Club of (character of defect determine and duration SCOTT, Jr., Appellant, Monroe W. opportunity existed reasonable whether v. it). resolution of this issue discover STATES, Appellee. UNITED weigh the factors jury to requires the negligence 85-206, actions: ordinarily govern which 86-423. Nos. con likelihood that “the landowner’s] [the Appeals. District of Columbia Court others, taken the seri injure
duct will happens, 1988. injury Argued Oct. ousness against the interest which balanced May [the Decided must sacrifice to avoid landowner] U.S.App.D. Arbaugh’s, supra,
risk.” 94-95, (quoting F.2d at 95-96
C. at (2d O’Brien,
Conway 111 F.2d v. (L. Hand, J.));
Cir.1940) see Peterson 7, 199
Balach, at 648 n. supra note N.W.2d (relevant consider jury factors for the under
include “the circumstances (licensee invitee); enters the land or
entrant harm; duty
foreseeability possibility or warn; inspect, repair, or reasonableness opportunity inspection repair; correction”). repair
and ease of refusing incorporate portions
By requested instruction on
of the Sandoes’ charge factors in the
the relevant provide the
jury, the trial failed to guidance in its
jury with sufficient determi- consti-
nation of what land owner behavior care under the circum-
tuted reasonable Therefore, in- case.
stances of this Wingfield deficient. v. Peo-
struction was Stores, Inc., 379 A.2d 688-
ple’s Drug Wells, (D.C.1977); 73 A.2d Reese v. (D.C.1950). That the Sandoes were argue jury
permitted to required Lefta of reasonable care
exercise inspect grates does
periodically judge has the the error since the trial
cure jury of the rele-
obligation to inform applied in its legal principles to
vant
deliberations. *2 Klein, Service, Defender
James Public with whom Maureen T. Cannon Jenni- Service, Lyman, fer P. Public Defender D.C., brief, Washington, were appellant. Pilchen, Atty.,
Saul M. Asst. U.S. diGenova, Atty., Joseph whom E. at filed, and the time the brief was Michael Mitchell, W. Farrell and Zinora M. Asst. D.C., Attys., Washington, were on the brief, appellee. EN BANC
ON REHEARING
ROGERS,*
Judge,
Before
Chief
NEWMAN, FERREN, TERRY,
MACK,
SCHWELB,
STEADMAN, and
Associate
PRYOR,
Judge.**
Judges, and
Senior
ROGERS,
Judge:
Chief
appropriate remedy
We must decide the
3(C)(1)
for a violation of Canon
American
Bar Association’s Code
Judi-
requires
cial Conduct which
that “[a]
[*]
Judith W.
Judge on November
time of
argument.
Rogers
was an Associate
Her status
changed
Judge
at the
Chief
[**]
on November
argument.
William
C.
Pryor
His status
1988.
Chief
changed
Judge
to Senior
at the time of
At
for United States
Executive Office
in a
proceeding
himself
began
in October
might reasonably
torneys.
discussions
impartiality
op
Murphy mentioned
when
questioned.” Code
Judicial Conduct
In
3(C)(1).1
Management
judge presided
trial
Office
Director
*3
Services,
(OMISS)
formation,
Support
prosecuted by the United States
and
a trial
Columbia, a
Attorney
of
for United States
for the District
Office
of the Executive
contemplating
Department
Attorneys,
of the
States
he was
division
United
Justice,
negotiating
the
change
was
and learned that
while the
in 1985
career
employment
the Executive Office
Director
the Debt
for
with
of Assistant
for
position
Attorneys
Depart
for United States
Staff
vacant.3 On October
was
Collection
defendant,
10, 1984,
appellant
1984,
Judge
31,
of Justice. The
ment
and on December
Scott, Jr.,
judge’s
learned
the Director who
Murphy
Monroe W.
had lunch with
he had
Di
negotiations
position
after
been sentenced
in detail. The
described
appeal
he had
an
from his convic
and
noted
advised that
the Debt Collection
rector
special
oversight guid
harmless error
Applying
provided policy
tion.
and
Staff
Acquisi
test of
v. Health Servs.
Liljeberg
collection units
ance
debt
2194,
U.S.-,
Corp.,
Attorneys
108 S.Ct.
tion
States
Offices across
United
OMISS,
(1988),
operated
part
I. position was The of Assistant Director did di against managerial The case of nature and not have the United States Scott, Jr., The of litigation as- Director appellant Monroe W. was rect control. position Judge Murphy Tim “sub signed Judge Murphy for trial to on fered the to C. 15, prosecutor higher approval.”4 On December ject November 1984. was 24, 1984, Judge Attorney Murphy told the Director an Assistant United States Following District interested of Columbia.2 that he was Judge motions to discuss the matter Murphy’s denial Scott’s asked Director for suppress superiors. Judge Murphy and to was identification evidence with his bond, February mally job release Scott trial commenced offered the on or about on be- jury 6, days later he fore a November 1984. 1985. Two advised jury guilty Judge Superior found in- Court and Scott assault with Chief kill 22- on Judi tent to while armed. D.C.Code District of Columbia Commission §§ (1981 Supp.1988). -3202 & Janu- cial Disabilities and Tenure that On 15,1985, 28, 1985, accept ary Judge by April Murphy sentenced leave bench imprisonment thirty- position of “senior liti Collection Scott twelve Debt counsel,” given him filed a a title of distinction years gation six fined Scott $500. Judge Murphy’s judicial timely appeal. recognition notice position. During sentencing, Scott’s trial fact Judge did not disclose the engaged Murphy was discussions counsel negotiations to Scott Department the United States of Jus of his attorney first learned of employment
tice
as an
at
time. Scott
about
bearing
Appendix
originally
recusal issue
I. This case
de-
The facts
on the
1. See
3.
Judge
Mur-
affidavit filed
are set forth
three-judge panel,
v. United
cided
States,
Scott
phy
to vacate
after Scott had filed his motion
(D.C.1987).
June
536 A.2d
On
dis-
judgment
and are not in
of conviction
granted rehearing
the court
en banc
pute.
panel opinion.
vacated
Murphy’s
affidavit
4. It is unclear from
Columbia,
States
In the District of
the United
was ex-
which luncheon the conditional offer
Columbia,
Attorney
for the District of
which is
appeal
purposes of
it is
to him. For
this
tended
Justice,
part
Department
States
United
prospect
employment
of his
sufficient
prosecutes
seriously
violations of the
Columbia
District of
discussed at both meet-
at OMISS
(1981).
23-101(c)
ings.
D.C.Code §
criminal code.
judge’s negotiations
employment
Criminal
is concerned with the
Department
pathology
approximately
body politic.
of Justice
In admin-
law,
istering the
two
criminal
weeks after he had been
wield
sentenced.
surgical
the most awesome
instruments
February
On
an article in the
society.
trial,
A criminal
it has well
Washington
Post announced
Mur
said,
been
atmosphere
should have the
phy’s pending
Superior
retirement from the
the operating
presiding judge
room. The
August 20,
Court. On
with leave of
atmosphere.
determines the
He is not an
court,
Scott filed a
motion
vacate his
umpire who enforces the rules of the
sentence,
conviction and
D.C.Code 23-110
game,
merely
a moderator between
(1981),
grounds
adequate
contestants.
If he is
to his
*4
failure to
employment negotia
disclose the
function,
authority
moral
which he
tions violated the American Bar Associa
inspire
indispensable
radiates will
tion Code of Judicial Conduct and denied
dignity
austerity upon
standards of
and
process
due
Scott
of law. The motion was
participate
those who
in a criminal trial.
Walton,
denied
Judge Reggie
citing
States,
v.
1,
Sacher United
37-38,
343 U.S.
States,
Womack v. United
129 U.S.App.
451, 468-469,
(1952)
72 S.Ct.
749
making.’
judicial
impersonality of
decision
premised
objective
on
standard.7
case
Nobel,
231,
F.2d
235
States
696
incorporated into the United
3(C)
Because Canon
denied, 462 U.S.
1118,
Cir.1982),
cert.
(3d
statute,
qualification
28
federal
(1983).
See
3086,
1348
77 L.Ed.2d
103 S.Ct.
II,
455,
Appendix
federal deci
see
U.S.C. §
Note, Disqualification
generally,
instruct
interpreting the statute are
sions
the Federal
Judges and Justices
Thus,
deci
even
the recent
ive.8
Courts,
736,
(1973).
746
86 HaRV.L.Rev.
Liljeberg,
Supreme
sion
impropriety
nor
bias in fact
actual
Neither
2194,
-,
supra,
108 S.Ct.
Hall v.
the Canon.
required
to violate
855,
from the federal
L.Ed.2d
it was clear
Admin., 695 F.2d
175,
Business
Small
opinions
must
circuit court
Cir.1983) (federal disqualifica
(5th
178-79
any
is “an
recuse
case in which there
is revealed
statute “focuses
what
tion
prejudice
of bias
sufficient
public,
opposed to
average
reasonably to
permit
citizen
preju
existence in fact
bias
judge’s impartiality.” Unit
question
[the]
... extend to ...
dice
cannot
[and]
Heldt,
U.S.App.D.C.
ed States v.
virtue”).
judge’s actual
de
(1981),
cert.
F.2d
nied,
102 S.Ct.
Superior
as a
served
*5
(1982) (footnote
L.Ed.2d 440
and citations
eigh
for over
in active service
omitted).
re
objective
The
standard is
he
senior sta
years before
assumed
teen
ensuring justice
quired
tus,
reputation
in the interests of
good
his
is not at issue
and
maintaining pub
case
in the individual
of the Canons based
here. Violations
judicial
'unquestionably
a difficult
appearances
lic confidence
is
people
can harbor
process
“depends on a belief in the
area which reasonable
which
Berliner,
1225,
(D.D.
(look
1981)
opinions construing
F.Supp.
federal
feder-
Hatteck v.
427
1240
C.1977)
Bell,
(Code
rule);
specifies
interpreting
of Judicial Conduct
rule in
identical local
al
disciplinary
(cases
"conduct which warrants
action”
construing
supra,
at 233
28
373 A.2d
accordingly
supplements D.C.Code
guide
Super.Ct.
§
U.S.Code
144
construction
1526(a)(2)(C)(1981)
provides for
judges for
§
which
63-1).
11—
Civ.R.
the removal of District of Columbia
(Supp.1988) provides
per-
28 U.S.C.A. 455
§
"any
prejudicial
conduct
is
to the
...
which
part:
tinent
justice
brings
or which
administration
(a) Any
judge, magistrate
justice,
or
Bell,
disrepute");
into
In
373
office
re
cf.
United States shall
himself in
63-1,
232,
(D.C.1977) (Super.Ct.Civ.R.
A.2d
235
impartiality might
proceeding in which his
prejudice
or
bias
violation
[Emphasis
reasonably
questioned.
be
added].
3(C)(1) (1972)).
Appendix
Canon
See
I.
uses
The federal statute
the word "shall” rath-
explicit
7. The Canon makes
that its statement of
is
er than
but the semantic difference
"should"
required
legal
Although
in which recusal is
is not
significance.
instances
without
"shall"
Appendix
directive,
all inclusive. See
I. In
Justice’s
clearly
mandatory
one
use
most
defines
view,
merely expressing
is
of the word "should”
not
since,
ground
believing
goals
auxiliary
aspirational
there is
that such
"used in
func-
[w]hen
feelings may operate
obligation,
expresses duty,
unconscious
in the ulti-
‘should’
necessi-
tion
judgment, may
unfairly
expediency.”
mate
lead oth-
ty, propriety,
Webster’s
Third
they
operating, judges
ers
believe
re-
Dictionary
English
Lan-
New International
They
judgment.
cuse
do not sit in
(1969).
commentary
themselves.
2104
The
guage Unabridged
They
variety
for a
do this
reasons.
3(C)
accompanying
it is
Canon
indicates that
guiding
is that the
consideration
administra-
contemplated
appropriate
circum-
"[u]nder
appear
tion
stances,
judge’s] impartiality
that ‘[a
fact
so in
well as be
fact.
disinterested
might reasonably
questioned’ under
Canon
451,
Pollak,
Public Utilities Comm'n v.
343 U.S.
3C(1)
disqualification."
may require
...
his
466-67,
822-823,
813,
1068
72 S.Ct.
L.Ed.
3(C)(1)
commen-
Canon
Code
Conduct
of Judicial
(1952)
J.,
(Frankfurter,
concurring).
added).
tary (emphasis
promulgating,
1973,
April
Conduct for
the Code
Judicial
3(C)(1)
substantially
language
8. The
Canon
Judges,
upon which was based
United States
statute,
similar
U.S.Code
federal
Code of Judicial
American Bar Association’s
455(a) (Supp.1988),
governs
con-
which
Conduct,
of the United
the Judicial Conference
duct
to con-
of federal
and is intended
3(C).
"shall” for “should” in Canon
States substituted
Liljeberg,supra,
form
Canon
3(C)(1).
7,
7,
at-n.
pital project
negotiations
cluding
disqualifying
the success of the
a
circumstance.
overlook
of the certifi-
depended upon the issuance
remedy
draconian
There need
be a
Supreme
Liljeberg.
need to
cate of
455(a). It
every
violation of
§
judge had violated
held that
Court
adopt
equally wrong,
455(a)
gave
because his conduct
rise
§
against any
prohibition
relief
absolute
impropriety, and that
appearance
involving forgetful judges.
cases
entitled to relief under
HSA was
Fed.R.
—
-,
2203,
at
100
Id.
U.S.
108 S.Ct.
60(b)(6)13
though
judgment
even
Civ.P.
omitted).
(footnote
L.Ed.2d at 873-74
is not an
had become final.14 “[SJcienter
However,
the traditional
the Court viewed
455(a),”
element of a violation of
Justice
§
inappropriate
prejudice
harmless error
test
majority of the
Stevens wrote for the
impropriety
taints
where
Court,
and while
lack
“[t]he
proceeding
inadequate
the entire
knowledge
disqualifying circumstance
of a
repeatedly
accomplish
the Court has
what
question
remedy,
bear on the
...
to that criminal
affirmed
vital
impar-
"that ‘his
does not eliminate the risk
—
-,
system.
Id.
U.S.
108 S.Ct.
questioned’ by
tiality
reasonably be
Vuitton,
2203,
874-75;
—
100 L.Ed.2d at
see
at-,
108
persons.”
other
Id.
U.S.
(“narrow
at 2138-40
focus
supra,
S.Ct.
2202,
Relying
753 (citations omitted). case, These tiality.” Id. particular risk that the denial of guidance for determina- provide facts our produce injustice other relief will undermining post-trial tion relief to which Scott cases, of risk public’s judicial pro- confidence in the entitled. continuously bear in cess. We must First, it remarkable the Court considered perform high its mind that “to function judge, regu- had that district court satisfy way ‘justice must the best 1977, larly meetings since attended trustee ” justice.’ University’s “completely forgot about the — at-, 108 supra, U.S. S.Ct. Liljeberg, hospital having interest in constructed — 2204, (quoting 100 at 875 In re at-, at L.Ed.2d 108 Id. property_” its U.S. 136,
Murchison,
75
supra, 349 U.S. at
S.Ct.
2205,
ment at the time HSA filed its motion to
standing
not,
did
at
vacate. Accordingly, using as its hallmark
throughout
time
Scott’s trial and
proposition
sentenc
guiding
consid-
“[t]he
ing,
problem”
realize “the
eration
others
is that the
administration of
might question
impartiality.
Unit
reasonably appear to be disinterest-
Attorney
ed States
fact,”19
ed as well
for the District of
as be so in
Co
the Court
lumbia had filed the
viewed the
indictment and an
judgment
vacatur of the
As
as “an
sistant U.S.
eminently
Attorney
presenting
sound
disposition
and wise
government’s
at-,
this case.”
against
Id.
case
Scott.
While
S.Ct.
presiding
at
Murphy
L.Ed.2d at 878.
Scott’s trial
seeking employment
directly relating
Liljeberg thus makes clear that
operations
of United States Attor
3(C)(1),
incorporated
see
neys’ offices.
note
sufra,
envisions a continuum of
may
conduct which
or-
require
only
We can
Murphy
conclude that
judgment.
vacation of a
experienced
must
what
have been an inad-
partiality,
only
and not
partiality,
actual
appreciation
vertent lack
signifi-
violation,
statutory
constitutes a
and no
respect
cance of his conduct to Canon
showing
required
3(C).
has
His continued discussions with the
*10
either a direct financial interest in the liti Director of OMISS demonstrated that ob-
gation, see, e.g., Lavoie, supra, 475
taining
U.S. at
job
important
new
was
to the
1590;
106 S.Ct. at
Tumey, supra,
judge.
The discussions involved a series of
Pollak,
supra
19. Public Utilities Comm'n 466-67,
note
343 U.S. at
(3) patient, judge should be A jurors, litigants, witness- and to courteous (2) Court, purposes of and Superior es, he deals and with whom lawyers, others resolution, 3 D be amend- Canon shall require and should capacity, in his official writing” by striking “in from ed the words staff, his lawyers, and of conduct of similar subdivision sentence such second officials, subject to his and others court deleting final sentence thereof: and and control. of the re- direction further, That lieu Provided 6 C and requirements in Canon porting duty pro- hear all Commentary: The to C(4)(c) file judges such Canon 5 such shall patience is not fairly ceedings and with financial statements with the Commission dispose duty to with the inconsistent as are and Tenure on Judicial Disabilities the court. promptly of the business 11-1530 required by D.C.Code and business-like Courts can efficient V, 1972), regulations of such (Supp. and being patient while and deliberate. Commission. testimony judge of a as a character The to re- applicable resolution shall be This his office injects prestige witness serving on a tired both courts into he testifies proceeding periodic continuing or basis to extent an official may and be misunderstood to be respect section of the Code to however, Canon, does testimonial. This compliance provisions of makes the such against testify- privilege not him a afford or applicable part-time judges Code re- ing response to an official summons. judges. tired (4) every Committee will as an advis- per- The Joint act A should accord to ory body any judge requesting an in- proceed- in a legally son interested who terpretative ruling respect particu- right ing, lawyer, his full to be heard or lar factual situations that arise. and, according law, except as authorized law, consider ex neither initiate nor
This resolution shall become effective on concerning parte or other communications February A pending impending proceeding. BY THE ORDER OF JOINT COMMIT- judge, may obtain the advice of a TEE ON JUDICIAL ADMINISTRATION. expert applicable disinterested law gives if he proceeding to a him before BAR ASSOCIATION CODE AMERICAN parties the person notice to the consult- OF JUDICIAL CONDUCT advice, ed the substance opportunity affords reasonable CANON respond. A Judge Should the Duties Perform against Commentary: proscription Impartially Diligently His Office concerning proceeding communications prece- of a take duties lawyers, includes communications law all other His dence over activities. teachers, persons are not and other judicial duties include all the duties of his except participants proceeding, prescribed by perform- law. In the office does permitted. extent It limited duties, following ance these stan- consulting preclude judge from with oth- apply: dards personnel whose judges, er or with carrying judge in out function is to aid the A. ADJUDICATIVE RESPONSIBILI- adjudicative responsibilities. TIES. proce- often desirable appropriate An (1) A should be faithful law advice of a dure for a court to obtain the professional competence in it. maintain legal expert on issues is to disinterested unswayed by partisan He should be inter- him to file a brief curiae. invite amicus ests, clamor, public of criticism. fear (5) dispose promptly (2) A A should maintain order and proceedings him. of the court. decorum business
(iv)the reproduction will be exhibited only purposes for instructional edu- Prompt Commentary: disposition of the cational institutions. requires court’s judge business a to devote Commentary: Temperate judi- conduct of adequate duties, punctual to time his to be proceedings cial to is essential the fair ad- in attending expeditious court and in deter- justice. ministration of The recording and submission, mining matters under and to reproduction proceeding of a should not officials, litigants insist that court and their proceeding. distort or dramatize the lawyers cooperate with him that end. (6) A judge public should abstain from B. ADMINISTRATIVE RESPONSIBILI- comment a pending impending about or TIES. any court, proceeding require and should (1) judge diligently discharge A should part per- similar on the abstention of court responsibilities, his administrative maintain subject sonnel to his direction and control. professional competence judicial adminis- This prohibit judges subsection does not tration, performance and facilitate the making public from statements responsibilities administrative of other course of their official duties or from ex- judges and court officials. plaining public proce- information the (2) judge A require should his staff and dures of the court. subject court officials his direction and personnel” “Court Commentary: does not control observe the of fidelity standards lawyers proceeding include the in a diligence apply him. judge. gov- The conduct of lawyers (3) judge appro- A should or initiate take erned DR7-107 of the Code of Profes- priate disciplinary against measures Responsibility. sional judge lawyer unprofessional or conduct (7) prohibit A broadcasting, should judge may of which the become aware. televising, recording, taking photo- or Commentary: Disciplinary measures graphs in the courtroom and areas immedi- reporting lawyer’s include miscon- ately adjacent during thereto sessions an appropriate disciplinary duct to body. sessions, court or except recesses between judge may that a authorize: (4) A should not make unneces- sary appointments. He should exercise his (a) the photographic use of electronic or power appointment only basis of presentation evidence, means for the merit, avoiding nepotism and favoritism. perpetuation record, of a for other or compensation He approve should not purposes administration; appointees beyond value of the fair servic- (b) the broadcasting, televising, record- es rendered. ing, investitive, or photographing of cere- Commentary: Appointees in- monial, proceedings; or naturalization referees, clude officials such as commis- (c) photographic or electronic record- sioners, special receivers, masters, guardi- ing reproduction of appropriate court personnel clerks, ans and such secre- proceedings under the following conditions: taries, parties and bailiffs. Consent (i) recording the means of will dis- appointment to an compen- or an award of participants impair tract dignity sation does not relieve the proceedings; prescribed obligation by this subsection. (ii) consented, and the DISQUALIFICATION. C. being consent depicted or recorded has been appearing obtained each (1) witness A himself in recording reproduction; proceeding in impartiality questioned, including but not (iii) reproduction will not be exhibited limited instances where: proceeding until after the has conclud- been appeals ed and all direct (a) ex- personal have been has a or prejudice bias hausted; concerning party, personal knowledge personal financial
form himself about spouse minor children interests of concerning evidentiary facts disputed residing in his household. proceeding; (3)For purposes of this section: (b) lawyer in the matter he served as lawyer whom he controversy, or a (a) relationship is calculat- degree during practiced served previously law system; according to civil ed law *14 lawyer concerning the such association as a According to the civil law Commentary: has matter, lawyer or judge or the such degree relationship system, third of the it; concerning a material witness been would, example, disqualify the test lawyer governmental Commentary: A in a father, grandfa- spouse’s if his judge his or necessarily an associ- not have agency does ther, brother, uncle, or husband niece’s that lawyers employed by ation other proceeding, a in the party lawyer were or meaning the of subsec- agency within if a disqualify him cousin but would tion; by gov- formerly employed a a proceeding. in party lawyer a or the were disqual- agency, should ernmental (b) “fiduciary” includes such relation- impartiali- in a if his ify proceeding himself executor, trustee, administrator, as questioned ships ty might be because guardian; of such association. he, (c) individually a knows or as that (c) ownership “financial interest” means re- fiduciary, spouse or or minor child his interest, legal equitable of a or however household, in- siding in his a financial has director, advisor, small, relationship or a controversy in subject terest in the matter in participant the affairs of or other active proceeding, party the or or a party, except a that: substantially other interest that could be (i) common in- ownership a mutual or by proceeding; the of the affected outcome that is not a fund holds securities vestment (d) person his spouse, he or or a within in such un- “financial interest” securities of degree relationship the either third manage- judge participates the in the less them, spouse person: a or the such fund; ment of the (1) proceeding, party a to the or an is educational, (ii) religious, an an office officer, director, party; or trustee of a fraternal, charitable, organization or civic (ii) proceed- acting lawyer a in the is not a “financial interest” in securities is ing; by organization; held Commentary: lawyer The fact in a (iii) policy proprietary interest of firm proceeding is affiliated a law company, in mutual insurance holder lawyer-relative with which association, depositor savings ain mutual affiliated does not itself interest, is a “fi- proprietary a similar or circumstances, appropriate
judge. Under organization only nancial interest” impartiality might rea- the fact that “his proceeding could sub- the outcome 3C(1), questioned” sonably be under Canon interest; stantially the value of the affect lawyer-relative by the or that the is known firm judge to have an interest in the law (iv) ownership government securities by the “substantially be affected could only if in the issuer is a “financial interest” proceeding” under outcome proceeding could sub- the outcome 3C(l)(d)(iii)may disqualification. require his stantially securities. affect the value (iii) by judge to is known substantially DISQUALIFICA- that could be affected
interest REMITTAL OF D. proceeding; by outcome of the TION. (iv) knowledge judge’s likely to the judge disqualified A the terms Can- proceeding. a material witness 3C(l)(d) may, 3C(l)(c) instead or Canon proceeding, dis- withdrawing (2) inform himself about A disquali- his on the record the basis of close personal fiduciary
his financial inter- disclosure, ests, If, in- on such make a reasonable effort to fication. based substantially affected the outcome of proceeding; parties lawyers, independently (5)He spouse, person or or a with- participation, agree writing all degree relationship the third judge’s relationship that the is immaterial them, either of or spouse of such a or financial interest is insubstan- tial, person: longer disqualified, is no may participate in proceeding. (i) party proceeding, Is a or an agreement, signed by all and law- director, officer, of a party; trustee yers, incorporated shall be in the record of (ii) acting lawyer pro- Is as a proceeding. ceeding; Commentary: procedure designed This (iii) Is known to have an party to minimize the that a chance substantially interest could af- *15 agreement. lawyer will feel coerced into an proceeding; fected the outcome of the available, party immediately When a is not (iv) judge’s knowledge Is likely violating without this section proceed- to be a material witness in the may proceed on the written assurance of ing. lawyer party’s his consent will be (c) A should inform himself about subsequently filed. personal fiduciary financial inter- ests, and make a effort to in- reasonable II
APPENDIX form personal himself about the financial (Supp.1988) 28 U.S.C. § spouse interests of his and minor children Disqualification justice, judge, residing in his household. magistrate or (d) purposes For the of this section the (a) Any justice, judge, magistrate or following phrases or words shall have the disqualify the United States shall himself meaning indicated: any proceeding in in impartiality which his (1) pretrial, includes tri- “proceeding” might reasonably questioned. al, review, appellate stages or other (b) He shall also in himself litigation; following circumstances: (2) degree relationship is calcu- (1) personal Where he has a bias or according system; lated to the civil law prejudice concerning party, personal or (3) “fiduciary” includes such relation- knowledge disputed evidentiary facts executor, administrator, trustee, ships as concerning proceeding; guardian; (2) private in practice Where he served (4) means “financial interest” owner- lawyer in in controversy, the matter interest, ship legal equitable or of a how- lawyer or a he previously whom small, director, or relationship ever practiced during law served such associa- adviser, participant in or other active lawyer concerning matter, tion aas party, except affairs of that: lawyer or the or such has been a (i) Ownership in or a mutual com- it; concerning material witness mon fund that holds securi- investment (3) governmen- Where he has in served ties is not a “financial interest” such employment tal capacity par- and in such judge participates securities unless the counsel, ticipated as adviser or material fund; management in the concerning proceeding witness or ex- (ii) educational, An office in an reli- pressed opinion an concerning the merits charitable, gious, fraternal, or civic or- particular controversy; case in ganization is not a “financial interest” (4) he, individually He knows that or organization; in securities held fiduciary, spouse as a or or minor (iii) proprietary pol- of a residing household, interest child in his has a icyholder compa- in a mutual subject
financial interest in
insurance
matter in
controversy
ny,
depositor
savings
party
proceed-
to the
of a
a mutual
association,
ing,
other
proprietary
interest
could be
or a similar
in-
Conduct.
of the Code
Judicial
violation
in this
unpleasant
duty
particularly
This
terest,
“financial interest”
is a
ex-
Operation Greylord and similar
era of
only if the outcome
organization
corruption, for we are
amples
substantially affect
proceeding could
here,
dealing
by any stretch
interest;
the value of the
dishonest, or
corrupt,
imagination, with a
(iv)
government secu-
Ownership of
contrary,
incompetent
judge. On
interest”
rities is a “financial
in this
long
known
Judge Murphy has
been
pro-
only if the outcome of
issuer
just
jurist
an
but
community to be not
able
substantially affect the
ceeding could
hope that
if the
outstanding one.2 I
the securities.
value of
daily
reported in the
this case is
decision in
(e)
magistrate shall
justice, judge, or
No
specialize
press
publications
or in
proceeding
accept from the
legal
com-
recounting developments
disqualification
any ground
waiver
find it worthwhile
munity, someone will
(b).
in subsection
Where
enumerated
unchallenged
Judge Murphy’s
mention
only
arises
un-
ground
disqualification
extraordinary accomplishments
probity and
(a),
accepted
der subsection
waiver
as well.
preceded by a full disclosure
provided it is
disqualifica-
record of the basis for
must,
the issue we
Deal with
tion.
conces-
given
government’s
belated
*16
argument
the case
908;
during oral
when
25, 1948,
646,
sions
(June
ch.
62 Stat.
Dec.
1609;
banc,
in the reversal
93-512,
heard
I concur
88 Stat.
en
Pub.L.
§
II,
result,
95-598,
title
I reach that
Pub.L.
conviction.
Nov.
Scott’s
2661.)
214(a), (b), 92 Stat.
do
more hesitation than
with far
§
majority,
and
an
my colleagues
SCHWELB,
Judge,
Associate
today,
route. Even
appreciably different
concurring in the result:
changed
government dramatically
after the
think,
is,
melancholy
for the
I
case
This
acknowledged
Judge Mur-
course and
participate
must
judges of this
who
3(C),I
this to be a
phy
find
violated Canon
criminal
in it.
It comes before us as a
only
very
troubling case which
close and
conviction,
felony
appeal from a
but
prosecutor’s critical concessions have
must decide
has
issue which we
en banc
put
top.
Scott over
only
incidental connection with Scott.
Rather, eight judges,
or all of
most
whom
I
well,
required to
Judge Murphy
are
know
remarking that I have no
begin by
I
allegations
grit
pass
teeth1 and
on
their
perhaps most—of
quarrel with
transgressed
proscriptions
ethical
that he
much—
2. After
1. That is
Health
fellow member of
That is
(1988),
term on the
D.C.Code
by
stated
dicial
pointment, as
108 S.Ct.
preeminent
ally
work
straint,
and individual
Based
Disabilities and Tenure. The
Commission reserves
in its
well
District of Columbia Commission
Services
Judge Murphy
task
surely
[******]
product,
true,
efficiency
upon the tabulated results of
report,
qualified”
bench,
Supreme
on the bench.
required by
App.
no overstatement.
Acquisition Corp.,
passing
comments of scores
least,
dedication, demeanor,
433(c) (1981
he was evaluated for
bench
pertinent part,
n.
Court
of me.
legal scholarship
the Home Rule
those
the term
completed his first
as a “difficult" one.
through
translation;
even
he called it
ably apprehend
Judge Murphy might
like it is.
disposition
be influenced in his
of Scott’s
I also
majority’s
share the
view that tra-
negotiations
case
ap-
with OMISS
ditional harmless
analysis,
error
with its
pears
me
very
to be
dubious indeed.
emphasis
showing
on a
prejudice,
cannot Accordingly, if
there was
violation of
apply when the issue is whether there is an
all,
the Canon at
I view it more as an
partiality. Although
there
unfortunate but
slip-up
understandable
may be a narrow class of cases in which Judge Murphy’s part than as a consistent
impropriety
exists but is so
culpable
appreciate
carry
failure to
*17
attenuated that reversal
is unnecessary,
responsibilities
out
that should have been
—
see Liljeberg, supra,
at-,
108 obvious to him. This case is not Liljeberg,
2203,4
S.Ct. at
any requirement that a de-
which the
was a trustee of a
fendant
prejudice
demonstrate actual
in university which had a financial stake in
this kind of case would so blur the differ-
him,
the proceedings
I
and
cannot
appearance
ence between
partiality
and
agree
my colleagues
with
that “these facts
partiality in fact
concepts
the two
present precisely
appearance
the kind of
merge.
would all but
only
jus-
Not
must
3(C)(1)
impropriety that
designed
Canon
done,
tice be
but it must also seem to be
prevent.” Majority op.
(emphasis
at 755
done.
added).
Finally,
agree
I
proposition,
with the
im-
plicit
majority’s
in the
prose-
allusion to the
II
concessions,
cutor’s
government’s
that the
change
An
put
partiality
improprie-
a different face on
Indeed,
appeal.
government’s
ty
pretty thing.
beauty,
is not a
Like
ef-
how-
ever,
acknowledgment
fective
during
argu-
it is in
eye
of the beholder. Per-
Judge
ment en banc that
Murphy
spective
violated
everything.
It is therefore im-
Canon,
and that Scott
portant,
would have been
speak
when we
of an
entitled to a
requiring
writ of mandamus
impropriety,
identify
the observer to
Judge Murphy’s
negotiations
recusal if the
whom the
conduct must be shown
pretrial,
OMISS had been disclosed
appear improper.
Shillaire,
(D.C.
3. See In re
549 A.2d
337-38
cumstance. There need not be a draconian
1988);
violation_”
(D.C.1988)
Dory,
In re
552 A.2d
522
remedy
every
U.S.-
(concurring opinion).
at-,
[wjhile legal responsible are divisions seeking large a law employment with litigation supervision for the conduct- case presiding firm a which by Attorneys, ed the Executive Of- while litigating. I do not find this to be Attorneys6 fice has firm is for United States offices, however, important being prosecuted by "s" It is that Scott italicized true dissipates any supposed Attorney close link between Colum- United States District of bia, prosecutor and the part of and that OMISS is a the Executive Attorneys. prospective employer was there with whom Office for United States Since Attorney’s negotiating. are a almost hundred United States apt analogy.7 today’s legal Colossal III be, conglomerates may Department majority concludes that “this case a Justice is horse of a different color. In point along falls at a the continuum of Department comprised conduct requires reached the Canon that offices, bureaus, twenty-seven different a new trial order to assure continued ninety-four and divisions. There were public confidence offices, United Attorney’s States employ- judiciary.” Majority op. I agree at 756. 2,350 ing Assistant United States Attor- continuum, such there is but I would neys. 30,000 These offices filed over crimi- place negotiations with roughly OMISS nal Monroe cases. Scott’s was one of them it, and, perhaps middle of innocent things, the entire scheme of hardly potential deciding litmus test side of If Judge Murphy whether center. had been employ Murphy. OMISS should negotiating for a in the United Attorney’s States office in the District of foregoing, Given the far it is from obvi- Columbia, inor Division Criminal ous to me that a well-informed person Department Justice, fair-minded would believe that then the Judge Murphy’s prospects of obtaining the of partiality would substantially have been job OMISS would in have fact been en- greater. If, hand, on the other he had been any way hanced in if sided with the seeking employment Department at the prosecution against Moreover, Mr. Scott. Agriculture or with the United States In- appears it questionable, me to say the Agency, formation the appearance par- least, person possessing whether these tiality case, would have been less. This apprehend attributes could reasonably my view, roughly place falls at the same Judge Murphy would think that job his job negotiations continuum as would prospects improved if would be he tilted to with the CivilDivision or Lands Division of government, or that OMISSwould eval- Justice, the Department also, qualifications uate tilting with such sense, part broadest the same lack thereof in Murphy mind. Superior “team” as prosecutor. regular was a service for 18V2 Divisions, EOUSA, These cooperate like years senior for some time after His with and supervise that. record well sometimes known. United He image could not recast overnight. Attorney’s offices, States deal but with en- In the context of purely non-litiga- OMISS’ tirely subject different matter responsibilities tive tens of thou- only stake, any, the remotest in the local sands of criminal cases handled the De- prosecutor’s criminal success. partment Justice, the incentive for illusory The somewhat character of Judge Murphy to take out on Monroe Judge Murphy’s perceived incentive to tilt appears very Scott remote indeed. Dis- against can Scott be assessed comparing qualification should not based on tenu- *19 judge his situation to that of a who is speculation; ous the partiality fear of must promotion under for consideration a within enough enough be strong real to war- judiciary, the or for important position an States, rant such a result. In re United 690, (1st Cir.1981).8 666 F.2d 694-95 in the executive branch Director (e.g., 494, EOUSA, Zagari, F.Supp. 7. United States v. 419 seeking the sheer unlikelihood that Cf. (N.D.Cal.1976), rejected 505 as in the court Staff, which for the administrator Debt Collection that, implausible or worse the contention of, about, would be aware much less care Attorney’s since the United States office is a handling appellant’s Murphy's indi- firm,” judge a “law must recuse himself in a dispels any ques- vidual case basis rational criminal case because an United Assistant States tioning judge’s impartiality. the Attorney represented him in connection with a banc, Although pressed to en not the court this quash subpoena. motion to a argument has considerable force. government 8. The in contended its brief to the panel, taking position a it has which since aban- doned, that
765 past to her for a federal Investigation, in the recommend the Bureau of Solici- Federal Prosecutor, General, (over appointment tor had judgeship War Crimes Attorney). judge That might United States do so authority) considerable though considering criminal even be cases again. The court stated that President, must who is to decide holding dependent is not on whether this post judge aspires, fill for which Magistrate plans again apply Atkins to (as Presidents has made it clear several future, a in the does not judgeship have) order,” op- that he is for “law and apply again, or doesn’t know plan ever to criminals,” and posed “coddling might seek her mind she in own whether against releasing “legal defendants judicial opening. a future against A technicalities.” decision in stake Id. at 218. Senator Laxalt’s e.g., publicized government in a case — private litigation in in Magistrate’s decision suppression alleged of an terrorist’s confes- obviously plaintiff which he was judge’s hopes.9 sion —could well derail any far more direct than interest OMISS government’s The incentive to tilt handling might Judge Murphy’s have surely greater favor is far in such a case suppression motions or other issues raised than the situation which confronted Scott, offi- by Monroe of whom the OMISS precedents here. probability in all heard. cials had never strongly suggest, that recusal tilt Magistrate The incentive for the to to required in a would not case of greater than necessarily the Senator was judge ap- under consideration for new any corresponding incentive See, e.g., McClatchy, Laxalt v. pointment. Murphy here. 214, F.Supp. (D.Nev.1985), 602 217-18 there authorities cited. present distinguishable case is proclaim- Laxalt, Laxalt and from other decisions In held that United impro- ing Magistrate that there is no required re- States to presides priety over a case brought by cuse herself in a case Senator when although political involving supporters.10 Laxalt she had asked the Senator his former Any Judge Murphy might possessed by stake that like elected to believe security thought pleasing government to as well as who have the those during "good present surely pales comparison tenure behavior." Nor case prepared presume so far presiding that of an who is elected over betray its re- enamored of his community feelings high trial in which run sponsibilities, matter he thinks would no what very campaigning time that he is for reelec- please most the electorate. tion. This was the situation that confronted the (Emphasis "Judges original.) remain human Sheppard in the famous Dr. Sam murder duties,” assuming judicial even after their Green 707, Maxwell, Sheppard case. v. 346 F.2d States, 632, v. 651, 78 S.Ct. United 356 (6th Cir.1965), grounds, rev’d 729-30 on other J., (1958) (Black, dissenting), 672 L.Ed.2d S.Ct. 16 L.Ed.2d whether, and one ask (1966), rejected, contemptuous- the court almost foregoing passage, mere mortals are not viewed ly, the contention that the circumstances exercising sprouting angels’ wings and as prejudiced Sheppard's rights: Dr. superhuman ability compelling consid- allow been fact Much has made by. pass them Com- erations of self-interest began Sheppard judicial trial on the eve of a Supreme opinion pare the excellent election at which trial one Himes, rel. of Florida in State ex La Russa prosecution were We staff candidates. (1940), holding 197 So. Fla. imply emphasized must assume for elective office is candidate *20 may victory that desire for have led the relating sitting any disqualified case to from prejudicial Sheppard's to Dr. to conduct during espoused policies issues or rights. to low We would have entertain a disagrees campaign. if with the But even one integrity judicial fellow estimate of the of our analysis, holding judge may Sheppard that a join such officers to inference.... places perspec- properly sit even in that case re- As we know that those who seek realists considerably more remote incentive tive the judicial hope election office that their con- play here. approval, public not duct will find but do Newsweek, Inc., See, judicial e.g., think would be more 668 F.2d misconduct Schultz Cir.1982) (6th (trial judge nominat- attractive to the electorate than conduct 918-20 required judgeship to recuse appellate not marked which we as ed for Judge Murphy’s negotiations requires with OMISS docket overloaded the deferral of proceeding ones, were while Scott’s case presumptive- newer some of which him, pending contempora- and this ly may pretrial innocent defendants inbe might reasonably neousness prosecutor put be viewed as detention. If the cannot heightening appearance partiality. pieces together again, wrongdoer may go Nevertheless, I any appre- merits, find the lack of free for reasons unrelated to the practical ciable connection and more may between OMISS innocent victims harmed. Moreover, prosecution Superi- appearance this criminal justice is critical, or Court to be a factor which tends to we should also consider how the dissipate any appearance justice appears fact of impropriety. to the victims of the released,
crime when
perpetrator
not
IV
because he is innocent or did not receive a
trial,
fair
concededly
but because a
fair
In the affidavit which he filed in relation
deceptive appear-
failed to avoid a
negotiations
EOUSA,
to his
prejudice.
ance of
certified,
oath,
Murphy
under
that his dis-
cussions about the
at OMISS did
consequences
The indirect
of reversal
performance
not affect the
judicial
of his
may
here
even more
severe. When this
responsibilities. Scott’s counsel
stated
banc,
lawyers
decides a case en
look
“requisite
his brief that
evidentiary
opportunities
to use the decision as
facts
are contained in
Murphy’s affi- precedent
may
in situations which
not seem
davit”
“Appellant
and that
dispute
does not
to us to resemble this one. Our defense
that,
these facts.”
It
undisputed
is thus
ingenious
bar includes
attorneys who will
purposes
of the issue before us en
my concurring opinion
need
to conclude
banc,11 Judge Murphy
an impartial
that, if
appearance
improprie-
there is an
judge.
ty
present case,
appear-
then such an
may
ance
exist a
in some of the
reversing
cost of
fortiori
solely
a conviction
kinds of situations discussed in Part III.
for the
sake of the
justice
convictions, too,
Other
will be attacked on
high. The direct consequences are formid-
grounds which have no relation to the mer-
See,
able in
e.g.,
themselves.
Helm v.
its or to actual
bias. There is a
States,
(D.C.1989).
United
not an case. VI Alternatively, this court could remand presented to the further find- this case the case to When Indeed, vigorously contend- panel, government ings. authority suggesting there is impro- no ought In ed that there was that this is what to be done. note, however, recognize that there was Murphy's and a failure affida- sion 13. I ap- anything the issue of vit does not disclose whether to decide. partiality pearance of never occurred to him or and, whether he considered it for reasons Judge Murphy accepted the 14. Since remand, presumably articulate on con- he could OMISS, been available he would not have had been cluded that the stage at an earlier proceedings on remand difference, purposes preserved. is a There case. review, appellate between a considered deci- *22 During argument opinion, oral I priety. before the reasons described in this have however, banc, sitting govern- court an im- en serious reservations as whether partial fully ment counsel conceded observer informed of the facts perceive any impro- would appearance of 1. person knowing that a reasonable priety, it is difficult vote to a pertinent sustain facts could have reason- says prosecutor conviction where the now impartiali- trial judge’s able doubt of the that the of was flawed. ty; and adversary system, judges may Under the that, 2. if the trial dis- kind, ignore reject concessions this trial, closed the facts at the time he they pause carefully but should and reflect himself, duty would have had a to recuse they before do so. so, that if to do he had declined writ mandamus from court would tempts My own assessment facts properly have issued. “extreme,” adopt position me to more prosecutor argued though The that even relatively speaking,15 that taken than mandamus appropriate would have been litigants. timing either of the trial, changed before the the situation once ques- negotiations, does raise a convicted, Scott had been Moreover, tion. Attor- United States despite should affirm the now conviction ney’s are office and both within the OMISS government acknowledges what to Department prosecutor Justice. have been reasonable concerns about boss, case, could Scott or his conceiva- impartiality. bly Judge Mur- be asked to comment majority, position phy’s Like the I find this candidacy. I find connection be- If job untenable. Scott was entitled be tried criminal tween the and the case tenu- Murphy ous, before a other than Judge if it say but I cannot does not exist. pretrial, he had asked such for relief retrospect advantages At least —and surely cannot right now be denied that hindsight agree are that it inordinate—I simply because Murphy wrongful- been better government ly, the effectively concedes— to err on side of and to make caution pertinent failed disclose the facts to him disclosure. timely fashion thus denied him the close, a case that is even necessary information exercise ordinarily litigant’s con- will honor right to seek recusal. Just no man balance, I do cession. I so On think advantage take wrong, own Accordingly, very here. little enthusi- v. Brooklyn Glus Eastern District Termi- asm, respect for views but with sincere nal, 232-33, 359 U.S. S.Ct. my colleagues majority,161 concur
761-62, (1959), govern- L.Ed.2d 770 so judgment court. permitted profit ment should not be an says Judge from error which now
Murphy expense. made at Scott’s With its
concession that mandamus would have appropriate trial, govern-
been in my effectively
ment view conceded the
case. appeal
We thus faced with a criminal government has admitted trial error,
court and in which all members of agree required
the that reversal is error in Although,
such fact occurred. theirs, principle, my analysis Murphy Although 15. In differs not, view, very my colleagues appear- discern my did not violate fact the Canon is partiality supports the ance conclusion that extreme all. people might so. reasonable do
