Court Opinion

ID: 9795824
Source: CourtListenerOpinion
Date Created: 2023-08-31 03:39:25.058742+00
Date Added: 2024-06-11T08:38:04.490616
License: Public Domain

ESPINOSA Chief Judge,
dissenting.
¶ 39 While I agree our special action jurisdiction is properly invoked in this consolidated case, I respectfully disagree that it merits granting relief. The majority goes to some length to justify a severely restrictive view of a trial court’s possible involvement in the remedial mechanism added to Rule 10.2 by our supreme court, but I do not believe the strictures of the rule and the intent of our supreme court are as ironclad in this regal’d as today’s opinion propounds. Moreover, the court’s ruling is premature and goes further than needed to decide the controversy at hand. The issue here is simply whether a judge of this state can inquire into a possible violation of Rule 10.2, either real or perceived, when that judge has determined *653there is cause to do so. Questions posed by the majority about the nature and scope of the inquiry, as well as what standards would be employed, while not unimportant, are not presented here, given the truncated procedural posture of the case and meager record before us. Such issues might well have arisen in due course and a more complete record been established had this court not chosen to intervene. Thus, the majority’s observation that “we find no evidence” to support the respondent judges’ “speculation about petitioners’ motives” is a consequence of its own action in staying, and now vacating, the hearing ordered for that specific purpose.
¶ 40 At the outset, I have difficulty accepting the majority’s threshold premise that nothing in Rule 10.2 “permitfs] a judge to question counsel about the veracity of his or her avowal.” In fact, nothing in the rule precludes a judge from doing that very thing. Perhaps, as the majority argues, that was true under the old rule and pre-amendment cases cited in support of the majority’s position, e.g., City Court of Tucson; Neil; Fiveash; Shahan; Anonymous, all presumably arising in an era predating reports of widespread abuses of the rule. However, the supreme court’s addition of specific qualifiers to this long-established rule significantly modifies and narrows the previously unfettered right to peremptorily remove a judge from a case, clearly demonstrates the court's grave concern with abuses of the rule, and suggests, in my view, just the opposite of the majority’s conclusion.
¶ 41 As a general rule, judges are exhorted to play an active role in addressing any unprofessional conduct by lawyers appearing before them. Indeed, Canon 1A of the Arizona Code of Judicial Conduct, Ariz. R. Sup. Ct. 81, 17A A.R.S., directs that judges “shall uphold the integrity and independence of the judiciary” and “should participate in establishing, maintaining and enforcing high standards of conduct.” (Emphasis added.) Thus, judges themselves have a duty and the authority to directly address perceived misconduct that affects or that may affect the proceedings before them. See Owen (certain powers essential to dignity and operation of court are implicit, even though they “may not be catalogued in the constitution or statute ); see also Hmielewski v. Maricopa County, 192 Ariz. 1, 960 P.2d 47 (App.1997) (trial courts have inherent power to sanction bad faith conduct during litigation, independent of rules of procedure); cf. Greenlee County Justice Court (absent any evidence that use of peremptory challenges was attempt to threaten independence and integrity of particular judge, no abuse of rale found).
¶ 42 Neither the rale’s language that “the presiding judge shall immediately reassign the action” nor the reference in the rule’s comment to potential state bar discipline for violators, by them terms, diminish a trial court’s inherent authority to ensure the integrity of its judicial proceedings and, if necessary, to determine bad faith by a litigant. For one thing, it is unknown whether this matter would have been “immediately reassign[ed]” as a result of, or even despite, the hearing that this court has precluded. Moreover, it is well established that the use of the word “shall” is not always an absolute mandate but may be merely directive, depending on the intent underlying an enactment and “the effect and consequences of alternative construction.” Way, 205 Ariz. 149, ¶ 10, 67 P.3d 1232, ¶ 10. Those consequences are highly instructive here.
¶43 Under the majority’s holding that a court may never question a Rule 10.2 avowal notwithstanding any compelling impetus to do so, the enactment of the 2001 amendments to the rule is thereby relegated to an empty and ineffectual exercise. The majority takes issue with this observation, asserting that it “assumes attorneys will not honestly execute the avowals,” but that is far from the case. There can be little doubt the great majority of Arizona’s criminal practitioners, both prosecution and defense, regularly and routinely observe high ethical standards, particularly in making personal avowals to courts before which they appear. The amendments to Rule 10.2, however, were enacted in response to a presumably small but significant minority of lawyers who have abused the rule and continue to do so. As recently as October 2002, the supreme court reiterated its concern, “based upon the data already gathered, that Rule 10.2 notices are still being used for *654impropa’ purposes.” Ariz. Sup.Ct. Order No. R-00-0025 (Oct. 7, 2002). For that minority, today’s decision ensures that an avowal under the rule remains little more than a proforma procedure.
¶ 44 The majority also argues that this conclusion suggests lack of confidence in “the vigilance of [our] trial courts” but, again, that argument misses the mark. The reality is that, for practical purposes, trial courts’ hands are tied. A court that is directly affected in its ease management and dignity by repeated notices is well situated to question, and if necessary, make a determination of, the underlying motivation for the notices. But if it cannot, under appropriate circumstances, even inquire into the general basis for a litigant’s repeated utilization of the rule, how can the court ever reasonably and ethically refer a suspected violator to the state bar? Under Canon 3D(2), Arizona Code of Judicial Conduct, a judge should report misconduct when he or she has knowledge that a lawyer has committed a violation raising a substantial question about that lawyer’s honesty or fitness. Contrast that provision with the more general directive in Canon 3D(2) that a judge with information indicating a “substantial likelihood” that a lawyer has violated the rules of professional conduct “should take appropriate action.” See also ER 8.3, Ariz. R. Prof'l Conduct, Ariz. R. Sup.Ct. 42, 17A A.R.S. The majority’s position is inconsistent with these long-established guidelines.
¶ 45 Furthermore, if an affected court can take no direct action to ensure that a litigant’s motives for routinely invoking the rule do not run afoul of its express prohibitions, who, then, can or will? And what purpose could be served or incentive exist for the judge, or anyone else, to file a formal bar complaint, even if it were appropriate to do so on mere suspicion, in a remote forum not well suited for resolving such questions and in a time frame that likely would have no bearing on the litigation? It is notable that research reveíais no state bar disciplinary eases whatsoever arising from ER 8.4(g), Ariz. R. Profl Conduct, the exclusive remedy cited by the majority, despite the supreme court’s observation that abuses have nevertheless continued well after that provision’s enactment. It is also significant that, while the court’s comment provides that a violator “may” face bar discipline, Rule 10.2 cmt., Ariz. R.Crim. P., the court did not say or suggest that that is the only possible consequence or avenue, although it easily could have done so. As Justice Feldman noted in Leavy v. Parsell, 188 Ariz. 69, 73-74, 932 P.2d 1340, 1344-45 (1997):
[C]ertainly our courts can recognize and take action when unprofessional conduct occurs in the course of litigation. Judges need not and should not permit unseemly conduct simply because it may not go far enough to warrant imposition of disciplinary sanctions. To be silent in the face of unprofessional conduct is ultimately to encourage it. It is our experience that judges get what they demand from lawyers, and our courts have an obligation to demand and thus promote proper conduct by the bar. This court has been disturbed by a growing trend in unprofessional conduct in and out of the courtroom.
¶ 46 That judges on occasion question and put to the test the avowals of counsel during the course of litigation is neither radical nor novel. And courts routinely conduct hearings on all manner of things related to the cases at bar, even when the rules of procedure do not expressly provide for such. A good example is the Batson doctrine, to which I believe Judge Campbell aptly analogized. Once the Supreme Court clarified that, although peremptory strikes can be exercised for any reason, they cannot be used for a prohibited one, it became incumbent on courts to conduct limited inquiries into lawyers’ motivations for exercising such strikes if it was suspected the strikes were based on an illegitimate ground. See Batson, 476 U.S. at 95, 106 S.Ct. at 1722, 90 L.Ed.2d at 86-87, quoting Alexander v. Louisiana, 405 U.S. 625, 630, 92 S.Ct. 1221, 1225, 31 L.Ed.2d 536, 541-42 (1972) (“When circumstances suggest the need, the trial court must undertake a ‘factual inquiry’ that ‘takes into account all possible explanatory factors’ in the particular case.”).
¶ 47 Notwithstanding the majority’s view, I do not find the situation here far removed *655from the Batson scenario. Indeed, another court has readily made that connection. See People ex rel. Baricevic v. Wharton, 136 Ill.2d 423, 144 Ill.Dec. 786, 556 N.E.2d 253, 259 (1990) (state’s right to peremptory substitution of judge similar to its right to peremptorily challenge venirepersons — in both instances, basis for removal generally not subject to judicial scrutiny unless “it appears that such motions are being used to thwart the [court’s] independent assignment authority”). Once our supreme court made clear that certain bases for invoking Rule 10.2 are prohibited, trial courts’ authority to, in appropriate circumstances, “look behind” a peremptory strike of a judge became manifest, even though not specified by any rule of court or state statute. Were this not the case, it is doubtful that any violation of the rule could ever be established, particularly on grounds related to race, gender, or religious affiliation. See In re Rule 10.2, R. No. 00-0025, Petition to Amend Rule 10.2, filed on behalf of the Arizona Judicial Council (Dec. 14, 2000) (alleged abuse of the rule may be “difficult, if not impossible, to prove ... in a Bar disciplinary proceeding”). Yet, as Arizona’s courts continue to grow in racial, ethnic, and gender diversity, this becomes an increasing concern and another reason why this court today takes a wrong turn. An unquestionable peremptory judicial challenge “provide[s] a barrier-free bypass for litigants with ... race-based suspicions. With the small proportion of judges of color in most jurisdictions, attorneys can safely predict that a minority judge who is challenged usually will be replaced by a white judge.” Nancy J. King, Batson for the Bench?, 82 Judicature 74, 76 (Sept./Oct.1998).
¶ 48 The majority also draws much support from the rule’s policy of avoiding “embarrassment” or “antagonism” between court and counsel, but that is not a compelling basis for the majority’s conclusions. Although it is clear that both the historical and continuing intent of the rule is to permit a lawyer to strike a judge without explanation, see 10.2 cmt., Ariz. R.Crim. P., this policy falls short of justifying the absolute rule espoused today. That salutary design is only a means rather than “the very purpose of the rule,” as characterized by the majority, and must be viewed in the context of the rule’s origins and true objective.
¶49 The right to disqualify a judge is grounded on the fundamental right to a fair trial that includes “the right to have the trial presided over by a judge who is completely impartial and free of bias or prejudice.” Neil, 102 Ariz. at 112, 425 P.2d at 844; cf. Anonymous, 14 Ariz.App. at 504, 484 P.2d at 657 (peremptory strike obviates “setting forth in detail the facts of bias, prejudice or interests which may disqualify [a judge]”). But, as noted in the formal comments of the Maricopa County judges who advocated greatly restricting if not abolishing Rule 10.2, it has been widely used merely to “judge shop and to seek trial delay.” In re Rule 10.2, R. No. 00-0025 cmt. by Maricopa County Presiding Judge and Criminal Department Presiding Judge (filed March 8, 2001). Those judges concluded: “Rather than remove the occasional and rare abusive judge, it is used as a tool to delay cases and ... discipline judges.” Id. In a separate comment, the Pinal County presiding judge noted that “[t]he rule in its original design was meant to handle that ‘rare and unusual circumstance’ in which a party or an attorney might not want to bring with particularity an issue between that judge and the attorney. However, that purpose was abandoned long ago.” Thus, the true policy of the rule— ensuring a fan* trial by an impartial judge — is not aided by the immunity this court now confers, with only passing regard for our supreme court’s clear* concern about widespread abuses, its specific delineation of prohibited practices, and its threatened abolition of the rule entirely.
¶ 50 Furthermore, while avoiding embarrassment and antagonism is surely desirable, it is hardly a reason for insulating abuses of the rule or clearing the way for even a small minority of attorneys or their clients who might utilize it to invidiously practice racial, religious, or gender discrimination. Nor does it outweigh other important policies such as timely justice for crime victims, efficient court administration, and conservation of judicial resources. Ill feelings may, in any event, already exist to a significant degree when a lawyer or law firm repeatedly strikes *656the same judge, not to mention the profound and long-lasting effect a formal bar complaint would have on the professional relationship, particularly if the referral were based on mere unverified suspicion, whether borne out at some point or not.
¶ 51 Finally, contrary to the majority’s position, the question here is not whether superior courts can “supplement” Rule 10.2 with them own “procedural overlay,” or even whether a court can routinely inquire into the validity of Rule 10.2 notices. The only issue' presented is whether a trial court is absolutely precluded from investigating a prima facie violation of the rale by requesting an explanation from counsel. In this regard, it may be disingenuous of some of the parties to suggest that, because they did not file Rule 10.2 notices one hundred percent of the time, there was no cause for concern, a sentiment the majority embraces. However, the trial judges involved here, highly experienced and fully familial’ with the legal communities they serve, scarcely acted casually or without substantial reason. Them suspicions were well grounded on an inordinate number of strikes by most, if not all, of the parties involved, whether or not properly characterized as “blanket challenges” and, contrary to the implication of today’s decision, their assessments are worthy of some credibility if not deference. In any event, the majority’s reliance on the prohibition against a court’s enacting its own “local rules” is not well founded. City Court of Tucson involved a broad order issued by a chief magistrate directing that all Rule 10.2 notices in all cases filed by the prosecutor’s office would henceforth bear’ an avowal of good faith, not unlike the added requirement of the 2001 amendment. No such action is at issue here. Judge Campbell’s order merely directed specific individuals suspected of abusing the rule in specific cases to appeal’ and explain their conduct.
¶ 52 What is also not at issue is the nature of the inquiry and at what point a judge’s ability to investigate a potential or perceived violation of the rule may end, since, in their haste to conduct a preemptive strike, the parties have avoided any type of substantive hearing at all. Although the contested order contains broad language, it is certainly possible that the parties, all experienced criminal attorneys, could have readily satisfied Judge Campbell’s inquiry without delving into any privileged information or causing any of the “embarrassment” the rale was designed to avoid. But we will now likely never know. Instead, the majority chooses to set an unnecessary and unwarranted precedent that emasculates any ability of judges to call into question any use of Rule 10.2 regardless of how questionable, that neutralizes the express prohibitions added by the supreme court, and that insulates the rale’s continued misuse.
¶ 53 On this record, such as it is, I would uphold the orders below.