Beruflich Dokumente
Kultur Dokumente
No. 97-1396
Petitioners.
____________________
____________________
Before
____________________
support of
opposition to
for writ
of mandamus
____________________
____________________
____________________
This
case
comes
to
us
on
recuse himself in
this case.
motion
without
to recuse
detailed
The district
an
evidentiary
hearing
or
any
this
opinion,
are
largely
drawn
from
the
petition
for
I.
After
BACKGROUND
elections in
New
the
in
Florida, Puerto
who was
According to
the district
court, all
14
of them
were dismissed
or
demoted in
served
as assistants
to
the
Some of the
mayor
and
plaintiffs had
others
had
been
U.S.C.
1983.
action under 42
and Rutan
_____
cases
ability
limit,
of
although
new
they do
not
administration
-2-2-
62 (1990).
wholly
to
These
eliminate, the
dismiss
or
demote
employees
of
affiliation.
In
the
a motion
behalf of defendants,
the municipality
that the
positions
on
account
of party
November 1995,
filed on
urged
old administration
and others.
former mayoral
that excepted
for
summary judgment
The
them from
new mayor,
summary judgment
assistants
the
was
motion
had confidential
limit on
political
illegally.
Defendants
former
to lack of funds.
On June
13, 1996, in
the district
judge met
of human
without
objection,
counsel
in chambers
resources.
counsel
met
was
Then
Del
from both
Florida's interim
the judge,
separately
Carlos
a settlement,
with counsel
director
Plaintiffs'
an effort to reach
apparently
with
both
sides.
Valle
Cruz;
defense
who at some
earlier time
Following
their
separate
meetings
with
the
judge,
discuss settlement.
Del
Valle later
filed
penalty of perjury,
and
with
Luis
an
unsworn
describing his
Plaza, another
statement,
made
meeting with
defense
attorney.
under
Gaztambide
Crucial
-3-3-
In
said conference,
they [the
defense attorneys]
made a settlement
the Court's
offer on the
basis on (sic)
prospective ruling on
judgment.
of
their [defense]
motion
for summary
Counsel Gaztambide
stated
as to
Defense
containing
counsel
settlement
statement continues:
then
reviewed
offers
for
"Next to
an
each
which the
Court
would be
letter
The
each plaintiff,
dismissing . . . an upward
. . and
plaintiff.
the name of
earlier
slant
the Court would deny the motion for summary judgment . . . ."
three
lawyers returned to
the judge
to urge
offers to his
who continued
All
According to
then
intervened
"to
express
that the
district judge
undersigned
should
`political
-4-4-
money
in
rights."
their
The
approximately
was
judge then
than
about
proposed a
their clients."
upshot
pockets
statement just
their
Constitutional
settlement figure
of
agreed to recommend to
motion
by
Del
Valle,
described, requesting
accompanied
by
the
to
no action
When
eight months,
ruling.
When
again there
was no
response, plaintiffs
on
court.
In the
28-page opinion
and order,
the district
court
section 144 or
he
had, "as
section 455.
is customary,
The district
discussed
separately with
each
case . . . ."
not
"The undersigned
did
decision would
This
request to us
for an
-5-5-
petition
the district
court
asked the
merits of
whether
parties to
the recusal
review
complied;
by
defense
file
claims and
mandamus
counsel
was
memoranda addressing
the overhanging
warranted.
relied largely
on
the
question
Del
Valle
the district
judge's decision.
On June
and partial
summary
dismissed
6, 1997, the
judgment disposing
judgment
filed
certain claims
evidentiary hearing
August 1997.
by
of the
the
and, as
for later
pending motions
defendants.
to
an opinion
The
for
court
others, scheduled
in June and
a trial
an
date in
II.
DISCUSSION
of right.
is
Ordinarily,
reviewable
only
on
unusual
situations,
appeal
of a
final
interim
review of
as
recuse
judgment;
the
Nevertheless, in
such
refusal is
The
for mandamus in
a recusal
-6-6-
and
indisputable"
666 F.2d
entitlement to relief.
690, 695
(1st Cir.
In re United States,
____________________
1981); see
___
13A C. Wright,
661
(2d
ed.
1984).
Interlocutory
review,
A.
3553, at
after
all,
and appeal;
out along
the way.
given
But over
a clear
_____
recuse,
error by
the district
a stronger argument
judge in
held that
refusing to
review by
mandamus.
Mandamus is
a discretionary
for
lack of
equities.
writ and,
even where
irreparable injury
or
based on
be withheld
a balance
degree.
Some
recusal
may
itself
warrant
relief,
of
matters of
a clear entitlement
_____
immediate
the
absent
to
an
swiftly.
See, e.g.,
_________
In
all events,
in recusal
demonstrates that
two separate
bases
mandamus is
almost
it is "clearly"
cases,
entitled to relief.
See
___
for disqualification,
-7-7-
sections 144
and
We consider
Section 144.
____________
with a
core one-
sentence paragraph:
Whenever
district
court
party
makes
to
and
any
files
proceeding
a
timely
in
a
and
either
against
him
or in
favor
of
any adverse
be assigned to
hear such
proceeding.
A second paragraph
here in dispute),
such affidavit
requirement (not
in any case,
and
requires a
certificate of
Section
district
144 is
unusual because
requires that
affidavit as true
so to the judge.
it
the
even though it
be
And
statute,
that the
transferee judge
might
hold a
in the
hearing,
conclude that the affidavit was false and transfer the action
Nevertheless,
courts have
procedure--automatic transfer
responded
based
solely
to the
on
draconian
one
side's
affidavit--by
insisting on a
firm showing in
the affidavit
-8-8-
procedural
requirements of the
section.1
And,
while there
by
We start with
procedural issues.
"the
facts and
the
record
faith."
stating
Section
reasons
for the
belief
144's second
setting forth
that bias
a separate "certificate of
that it
[the
affidavit]
or
counsel of
is made
in
good
nor
counsel setting
penalty of perjury.
The
the
same effect
missing
as an affidavit.
certificate
of
counsel
28
U.S.C.
may
also
1746.
be
The
redundant
making counsel
strictures of Fed.
R. Civ. P. 11.
____________________
1988);
Walberg v.
_______
Israel,
______
766 F.2d
-9-9-
1071,
1077 (7th
United States v.
_____________
"a
expected that
example)
In
to
us
to
statute to
satisfy the
allow
underlying
Del Valle
to
purpose
make the
It seems
of the
recusal
necessary
filing
rather than to
themselves repeat
contacts as
And,
situation,
judges
often
impression of apparent
dangers in
discussions in
give
the
parties
the
this practice, of
court's
There are
are often
Rather,
the claim
of
bias
or
prejudice
here
rests
primarily on
the
inference, drawn
by plaintiffs'
counsel,
-10-10-
and
on
the
implication
that the
judge
gave
no
similar
information
obviously
to plaintiffs'
give
negotiations.
indiscretion
reasonable
(whether
one
side
We
could
will
at
inference of
toward a
counsel.
If
so,
substantial
assume
arguendo
________
least
bias
party or
arguably
or
this
advantage
that
be
might require
in
such
grounds
prejudice toward
counsel
would
an
for
someone
further
information).
Under
alleged
in
the
affidavit,
motions were
to be
have
decided.
that
so we
section requires
to
disregard
the
he revealed how
the
See Kelly,
___ _____
712 F.2d at
889.
averment of
facts
showing that
the
further
inquiry.
inquiries can
As
always be
pursued
under section
and further
455--where,
The
that it
difficulty with
intended disposition of
to defense
counsel.
defense counsel
made
Del Valle's
unsworn statement
such a
claim.
-11-11-
is
revealed his
judgment motions
not even
Instead, the
say that
remarks
attributed to
quoted in full
to convey
the impression
that he knew
have been
counsel sought
how the
judge would
There is nothing
doing more
than
making an
intelligent prediction,
perhaps
This does
of
the plaintiffs
Garcia
______
"political
appointed
sweet
potatoes."
as the district
see
___
were
judge put
it in
that some
We
another instance,
"people
*2 (D.P.R.
Nov. 9, 1988).
the question
again
is whether
such a
reference shows
personal bias
or
prejudice.
there
is no
evidence that
the statement
a predisposition,
was improper.
-12-12-
judge is
ordinarily entitled to
form a view of
the parties
"rare" indeed.
554
See Liteky
___ ______
(1994).
Here, the
summary judgment
district judge
filing in
that
the judge
knew
the
had before
individual
U.S. 540,
him the
challenged
There is no indication
plaintiffs
from
any
Judges
proceedings.
constantly
form
personal
opinions
during
on
the
proceedings.
Inaccurate
findings
based
on those
not to recusal.
suggest a lack
of impartiality
under the
is
a different
objective standard
question,
of section
properly
455 and
raised
addressed
below.
personal bias or
the
plaintiffs should
"forget the
was
showed a
Constitution."
However
-13-13-
clients
whether
than
in an
interested in a
opportunity to
monetary settlement
express principle.
Judges
say
Section 455.
___________
more
In its
federal
affidavit
judges.
There is
or any other
no threshold
requirement
of an
a recusal issue.
In fact,
the judge is
necessary, even
anything
engage
the
it.
Nor is there
in discovery incident
allowance
discretion
of
of the
such
court.
to a recusal
discovery
is
See, e.g.,
_________
motion, although
within
the
Cheeves v.
_______
sound
Southern
________
On the
compelled
other hand,
automatically
a judge
to accept
the allegations
as true
is not
To the
review
e.g.,
____
on appeal,
Town of Norfolk
_________________
v.
of discretion.
See,
____
It might seem
by
whose recusal is in
-14-14-
question.
But there
are
other considerations
expedition and
at work,
a concern to
including
a desire
for
In
himself or
28 U.S.C.
455(a).
Thus,
tend to strike
a reasonable balance.
In
455(a)
and section
455(b)(1), which
focus
repeats
both section
the bias
and
455(a) is in
Section
bias or prejudice
does
not
require
established.
that
bias
United States
_____________
or
prejudice
in fact
________
be
1023
Rather,
the
objective
partiality.
based
on
is
circumstances
an
speculation."
mean
section 455(a)
requires recusal
create
an
wherever
appearance
__________
of
"unsupported, irrational,
or
highly
tenuous
It does
required regardless of
inner conviction
-15-15-
that
he
or she
circumstances.
can
See
___
decide
the
Chantel, 902
_______
case fairly
F.2d at
despite
1023.
the
See also
________
With
this
sharpest
not
we
revisit
the plaintiffs
summary judgment
unlike section
affidavit.
to show that
only
gloss,
how he
motions.
144, is
first
and
planned to
As we
rule on
have
not limited to
the pending
said, section
455,
facts alleged
in an
judge's
plaintiffs'
denial
______
that
he
did
so, hardly
of
help
is the
to
the
plaintiff.
his mandamus
memorandum
that in
the settlement
conference
with
the
judge he
was
told virtually
likely outcomes.
But new
appellate briefs
come too
nothing
even about
assertions of fact by
counsel in
late, see
___
Hurney v.
______
Carver, 602
______
F.2d 993, 996 (1st Cir. 1979); Renovitch v. Kaufman, 905 F.2d
_________
_______
effort
to prove
what
defense counsel
_______
-16-16-
was
told.
Without
We
the
district
plaintiffs
noted, a
court's
were
"political
judge is
record as
the case
that
judge's
the
Further,
the
admonition
little
to
alleged
sweet
normally free to
assessment came
"forget
supposed
the
a warning
that
potatoes."
from
of
As
the
already
from the
is no
showing here
any
other source.
comment--like
Constitution"--was
to
some
develop views
judge's
more than
remark
his
alleged
in
context
plaintiffs' counsel,
quite
Two
other assertions
remain to be
addressed.
In his
referred to the
that
once clerked
one of
judge,
the defense
an issue
perhaps
unrelated to
pertinent to
appeal, plaintiffs'
saying
that
connected
the
with
Democratic Party.
counsel had
party bias
_____
appearance
counsel
district
political
of
causes
Neither ground
had
for the
prejudice but
partiality.
widens his
judge
or
fact
And
on
claims slightly
by
once
opposed
been
by
the
actively
Popular
is expressly offered as an
clerks
they once
clerked.
Courts
or
-17-17-
R. 46, but no
And
any lawyer
who studies
informed guess as to
a judge's past
rulings can
make an
to approach an
issue.
former
to the bench
judges also
sit, usually
a political party.
after a
But many
self-imposed cooling
off
current financial ties and that the judge did not work on the
same
or
related
affiliations with
but
they are
matter
a party may
rarely a
while
in
practice).
basis for
compelled recusal.
Former
______
to sit;
See,
____
the sum
of the parts.
individual
raise
actions,
some
The cumulative
comments
question about
and
effect of
a judge's
past associations
impartiality,
even though
could
none
on direct
But
the primary
condition
of
mandamus
-18-18-
is
that
the
to step aside
611.
a case not
of cumulative effects.
455.
3549,
at
itself is especially
III.
When
144 will
be out
its face
court, section
Del Valle's
to show bias
statement was
or prejudice,
so it
affidavit
may be
filed
does
to the district
of the picture;
insufficient on
fails
CONCLUSION
partly
upon
in
an action.
The situation
the
mandamus
standard,
does
is
as it
not
the record,
reproof.
We therefore
note that as
yet no
suggestion of
showing exists
improper advantage in
his
disclosures to
defense counsel,
only
which is
the closest
present stricture
is that
charge.
district judge,
that
Our
however
-19-19-
personal bias
of proceedings in
It is so ordered.
________________
The stay
Each side
-20-20-