Opinion ID: 2995343
Heading Depth: 2
Heading Rank: 3

Heading: Sanctions Against Attorney Locher

Text: Finally, we review the district court’s March 23, 2000 decision to impose sanctions against Locher for his conduct in Judge Scott’s courtroom regarding the request for Melvin Logan’s PSR for an abuse of discretion./12 See Harrison v. Dean Witter Reynolds, Inc., 974 F.2d 873, 886 (7th Cir. 1992). Locher argues that the sanction was an order of criminal contempt and that he was entitled to notice and a hearing under Fed. R. Crim. P. 42(b)./13 Judge Mills did not specify the legal basis for the imposition of sanctions in this civil forfeiture proceeding. Such specification would surely make our own review easier, although even if he had done so, we would still be required to consider whether that characterization was proper. See Securities and Exchange Commission v. Simpson, 885 F.2d 390, 394 (7th Cir. 1989). In any case, the parties did not brief the issue and we need not reach it because we conclude that, whether the sanctions were imposed as criminal or civil sanctions, it is certainly preferable, if not required under certain circumstances, for a district court judge to direct an offending party or attorney to show cause why he should not be sanctioned and to provide him with notice and a hearing. See Larsen v. City of Beloit, 130 F.3d 1278, 1286 (7th Cir. 1997) (imposition of sanctions under various provisions required notice and an opportunity to be heard); Kapco Mfg. Co., Inc. v. C&O Enter., Inc., 886 F.2d 1485, 1494-95 (7th Cir. 1989) (holding that due process requires notice and an opportunity to respond, but not necessarily a hearing)./14 Providing such notice and a hearing prevents misunderstandings between the offending party and the sanctioning judge, provides an orderly manner and calm forum in which each party has had time to prepare adequately, and certainly aids our review on appeal. While it appears that Locher was given some opportunity to be heard,/15 he was not given notice that he was in jeopardy of being sanctioned or adequate time to prepare a response. Rather, after briefly questioning Locher, Judge Mills took the matter under abeyance and without further notice or argument issued a written order of sanction seven months later. In addition to these circumstances, our own review is hampered by the fact that we do not have Locher’s motion for parole and probation records in the record before us. Were we to conduct a review of Judge Mill’s sanctions order, it would be difficult, if not impossible, for us to assess whether Locher had indeed initially requested Melvin’s PSR and been denied that request. Under these particular circumstances, we conclude that the imposition of sanctions constituted an abuse of discretion and we remand the matter for the limited purpose of providing Locher with a hearing on this matter. Next, Locher requests that Judge Mills be disqualified from conducting the hearing on remand. First, he relies upon Fed. R. Crim. P. 42(b) which provides that a judge is disqualified from presiding at the hearing where the contempt charged involves disrespect to or criticism of a judge. Such conduct is not at issue here, however; Locher’s alleged conduct does not involve disrespect to or criticism of Judge Mills either in his personal or judicial capacity. Rather, Locher’s conduct involves his actions regarding the interpretation of Judge Mills’ order denying him access to certain probation and parole records as well as his representations to both Judge Mills and Judge Scott. Accordingly, Fed. R. Crim. P. 42(b) does not prevent Judge Mills from presiding over the hearing on remand. Second, Locher makes a broad claim that Judge Mills should be disqualified because he was hostile towards Locher and is therefore incapable of fairly adjudicating this matter. Locher argues that this hostility is evidenced by an earlier Rule 11 sanction imposed by the court on November 12, 1999./16 However, the imposition of one sanction (the appropriateness of which is not challenged on appeal) does not render a judge incapable of exercising impartiality over that party throughout the duration of the proceeding. Our own review of the record evidences no bias on the part of Judge Mills, and on remand, we have no doubt that the court will make its determination on the basis of the evidence in the record before it./17