Opinion ID: 2521294
Heading Depth: 2
Heading Rank: 1

Heading: Prior Governmental Association

Text: The court of appeals determined that the information in the district attorney's office during its investigation of the offense must be imputed to the judge. Based on this imputation, the court of appeals concluded that the former employment relationship between the trial judge and the district attorney's office created an appearance of partiality. The court of appeals acknowledged that the judge had neither participated in that investigation nor appeared as counsel for the prosecution. Yet, it determined that Judge Schwartz had a duty under Canon 3 to disqualify himself sua sponte from presiding over the case when it was assigned to him. We examine the disqualification issue de novo. Smith v. Dist. Court, 629 P.2d 1055, 1056 (Colo.1981); People v. Dist. Court, 192 Colo. 503, 506, 560 P.2d 828, 832 (1977). We start with the precept, basic to our system of justice, that a judge must be free of all taint of bias and partiality. People v. Dist. Court, 192 Colo. at 506, 560 P.2d at 831. Section 16-6-201, Crim. P. 21(b), and Canon 3 set forth Colorado standards by which a judge determines sua sponte or in response to a motion whether to disqualify himself or herself from the case. If a judge has a bias or prejudice that in all probability will prevent him or her from dealing fairly with a party, the judge must not preside over the case. People v. Arledge, 938 P.2d 160, 167 (Colo.1997). A judge must also consider the Code of Judicial Conduct sua sponte or in response to a disqualification motion in determining whether to serve on the case. Zoline v. Telluride Lodge Ass'n, 732 P.2d 635, 639 (Colo.1987). Julien's challenge to Judge Schwartz's service did not turn in any way on a claim of actual bias or prejudice, or on any other basis under section 16-6-201(3), Crim. P. 21(b)(3), and Canon 3, apart from Judge Schwartz's prior association with the District Attorney's Office. Canon 3 addresses prior professional association and has a limited exception to appearance of partiality disqualification, in regard to prior governmental association. Canon 3(C)(1) requires a judge to disqualify himself or herself, if the judge's impartiality might reasonably be questioned: C. Disqualification (1) A judge should disqualify himself or herself in a proceeding in which the judge's impartiality might reasonably be questioned, including but not limited to instances where: (a) A judge has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding; (b) a judge served as a lawyer in the matter in controversy, or a lawyer with whom the judge previously practiced law served during such association as a lawyer concerning the matter, or the judge or such lawyer has been a material witness concerning it . . . . C.J.C. 3(C)(1)(a), (b). The language of Canon 3(C)(1)(a) & (b) and its commentary derive virtually verbatim from the American Bar Association's Model Code of Professional Responsibility and Code of Judicial Conduct. See ABA Model Code at 58-59 (as amended August 1977). On the issue of prior governmental association, the Commentary to Colorado's Canon 3(C)(1) thus reads: A lawyer in a governmental agency does not necessarily have an association with other lawyers employed by that agency within the meaning of this subsection; a judge formerly employed by a governmental agency, however, should disqualify himself or herself in a proceeding if the judge's impartiality might reasonably be questioned because of such association. C.J.C. 3(C)(1) cmt. (emphasis added). This commentary is elliptical and requires explication. It appears to provide for a prior governmental-association exception to Canon 3's standard of disqualification for the appearance of partiality in some cases but not in others. Fortunately, a substantial body of parallel federal and state rules, precedent and legal commentary guides our construction of Canon 3, by illuminating the basis, extent, and limit of the prior governmental-association exception. The majority rule is that judges are not disqualified solely on the basis that they were formerly employed by the prosecutor's office. Instead, when employed by that office, the judge to be disqualified must have performed some role in the case or have obtained actual knowledge of disputed evidentiary facts of the case: [W]here the judge did not actually participate in the investigation, preparation, or presentation of the case against the person who later appears before him as a defendant, the mere fact that he happened to be employed by the office that did prosecute the defendant has generally been held not to provide a legally sufficient ground for judicial disqualification. Richard E. Flamm, Judicial Disqualification, Recusal and Disqualification of Judges § 11.5.2, at 328-29 (1996). Our canons, statutes, and rules governing judicial conduct do not require disqualification of a judge if the only prior association the judge has with the defendant's case is that the judge was associated with the district attorney's office when that case was in the office. [3] On the other hand, a judge must disqualify himself or herself sua sponte or in response to a disqualification motion, if facts exist tying the judge to personal knowledge of disputed evidentiary facts concerning the proceeding, some supervisory role over the attorneys who are prosecuting the case, or some role in the investigation and prosecution of the case during the judge's former employment. But, because of Canon 3(C)(1)'s association exception, the judge's impartiality is not subject to reasonable question if the only basis for disqualification is the trial judge's former employment with the government office. Case law in other jurisdictions supports our construction of Canon 3(C)(1). We consider federal precedent and that of states with a similar rule in construing the provisions of Colorado's rule. Air Communication & Satellite Inc. v. EchoStar Corp., 38 P.3d 1246, 1251 (Colo.2002). Like Colorado's Canon 3, the United States Code provides that a judge shall disqualify himself or herself in any proceeding in which his or her impartiality might reasonably be questioned. 28 U.S.C. § 455(a) (2002). The U.S.Code then provides for disqualification under this rubric when a judge, during his or her government employment, has participated as counsel, adviser, or material witness concerning the proceeding, or has expressed an opinion about the merits of the case. 28 U.S.C. § 455(b)(3) (2002). Federal courts have required recusal under § 455(b)(3) in cases that involve the judge's participation in or knowledge of the case in some way as a former governmental attorney. The Tenth Circuit's summary of the applicable federal law comports with Colorado law on this point: In real terms, the trial judge in this case had no connection with the defendant or the substance of his prosecution prior to the filing of the instant case. In the absence of such a connection, the current version of 28 U.S.C. § 455(b)(3) does not require recusal, and the trial judge did not err by his refusal to disqualify himself under that subsection. United States v. Gipson, 835 F.2d 1323, 1326 (10th Cir.1988); accord Jenkins v. Bordenkircher, 611 F.2d 162, 166-67 (6th Cir.1979); cf. United States v. Arnpriester, 37 F.3d 466 (9th Cir.1994) (disqualifying judge who had supervisory responsibility in the United States Attorney's Office for the investigation and prosecution of the crimes at issue); A number of federal decisions hold that former association with the prosecutor's office, absent other facts of association with the case, does not create a reasonable question as to a judge's impartiality under 28 U.S.C. § 455(a). See United States v. Ruzzano, 247 F.3d 688, 693 (7th Cir.2001) (holding that judge was not disqualified under § 455(a) for being a former assistant United States attorney in the office handling the prosecution); United States v. Di Pasquale, 864 F.2d 271, 279 (3d Cir.1988) (holding that impartiality of judge was not in doubt where defendant had not shown the judge's prior involvement as a prosecutor in his case); see also Laird v. Tatum, 409 U.S. 824, 830, 93 S.Ct. 7, 34 L.Ed.2d 50 (1972) (Justice Rehnquist stating that his employment at the Justice Department where the case was pending was, of itself, not grounds for discretionary disqualification). Of itself, being an attorney in the district attorney's office during the charging and preparation of the case is not a sufficient basis for disqualification. A clear majority of states agrees. [4] See Flamm, supra, at 328-29; see, e.g., Payne v. State, 48 Ala.App. 401, 265 So.2d 185 (1972) (The holding of prosecutorial office as distinguished from working on a concrete piece of litigation is not alone disqualifying for one who later becomes a judge.); see generally Jay M. Zitter, Annotation, Prior Representation or Activity as Prosecuting Attorney as Disqualifying Judge from Sitting or Acting in Criminal Case, 85 A.L.R.5th 471 (2001) (discussing and collecting cases). Many trial and appellate judges have spent a portion of their careers working for government agencies; disqualification should be based on bias and prejudice, or the reasonable appearance of partiality, not on technical grounds having to do with prior governmental association. See Gipson, 835 F.2d at 1326.