Court Opinion

ID: 9476553
Source: CourtListenerOpinion
Date Created: 2023-08-05 05:58:39.196972+00
Date Added: 2024-06-11T17:45:22.735404
License: Public Domain

MERRITT, Circuit Judge,
dissenting.
This case involving the “waiver” provision of the Ohio Court of Claims Act raises two major questions. The first is whether the Ohio statute should be construed so as to apply a waiver rule that would oust a federal court of federal question jurisdiction in civil rights cases. The second is whether a judge's decision to recuse himself in a case involving legislation which he drafted as a legislator arises only after the judge has voted to rehear the case en banc and then only as a matter of individual judgment. In my view, these questions must be answered in the negative.
The Court’s opinion on the merits needlessly creates constitutional conflict with the unwarranted effect of limiting the jurisdiction of federal courts, and in its procedure validates or “ratifies” the actions of a conflicted judge in not exercising a mandatory legal duty of recusal prior to voting to rehear a case en banc. Substantively, the Court falsely frames the debate in terms of “marketplace” tradeoffs, a facile way of avoiding the important constitutional dimensions of the case. Procedurally, the majority would have us adopt a permissive attitude on recusal. I do not accept the Court’s position: on the waiver issue, it undermines our system of separation of powers, and on the recusal matter, it could diminish public confidence in the integrity and independence of the federal judiciary. I therefore dissent.
I.
The Court proceeds erroneously on the premise that access to the federal courts can be bargained away by operation of the waiver provision in the Ohio statute. It posits a marketplace for adjudication where “[i]n practical effect the Ohio Court of Claims Act is a standing offer for a settlement of claims against state employees in exchange for an otherwise non-existent opportunity to sue the state itself for damages.” Opinion of the Court at p. 953. Unfortunately, such a marketplace theory or metaphor for adjudication is contrary to a proper view of the federal jurisdiction firmly established in decisions of the Supreme Court.
The state legislature’s use of the phrase “any cause of action” in its waiver provision does not mean that the state legislators should be held to have intended, or that the statute should be read, to bar, withdraw or “waive” exercise of the federal judicial power in these cases. Without a real contract, a state cannot strike a figurative “bargain” with a prospective federal litigant and have such “contract” be enforceable in a federal court as a matter of law. The federal courts cannot be deprived of their jurisdiction in this manner.
In analyzing this case on the basis of marketplace metaphors rather than the required constitutional analysis, the Court creates unnecessary constitutional conflict when it permits the state statute to deprive the federal courts of their jurisdiction in civil rights cases. Acts of Congress such as 42 U.S.C. § 1983 and 28 U.S.C. § 1343 define the jurisdiction of the federal courts in civil rights cases, and the Constitution prevents the states from withdrawing or limiting federal jurisdiction by the adoption of waiver or election of remedies rules. As the Supreme Court stated in Home Insurance Co. v. Morse:
*961The Constitution of the United States declares [in Art. 3, § 2] that the judicial power of the United States shall extend to all cases in law and equity arising under that Constitution, laws of the United States, ■ and to the treaties made or which shall be made under their authority, ... to controversies between a State and citizens of another State, and between citizens of different States.
The jurisdiction of the Federal courts, under this clause of the Constitution, depends upon and is regulated by the laws of the United States. State legislation cannot confer jurisdiction upon the Federal courts, nor can it limit or restrict the authority given by Congress in pursuance of the Constitution. This has been held many times.
87 U.S. (20 Wall.) 445, 453, 22 L.Ed. 365 (1874) (citations omitted) (emphasis added).
The reasoning in Home Insurance respecting Article III is underpinned by the Supremacy Clause.1 State limitations on federal jurisdiction are prohibited under this Clause where they frustrate laws passed by Congress that contain express grants of federal jurisdiction, such as the federal civil rights statutes. The Supremacy Clause is particularly relevant in the federal civil rights context in light of the clear congressional desire to empower the federal courts in this area. This congressional intent is reflected in the legislative history of the antecedent to § 1983. See Patsy v. Bd. of Regents, 457 U.S. 496, 502-07, 102 S.Ct. 2557, 2561-63, 73 L.Ed.2d 172 (1982).
In a long line of cases, the Supreme Court has invalidated state requirements that foreign corporations surrender their right to remove cases to federal courts as a condition of doing business within the state. In Harrision v. St. Louis & San Francisco Railroad, 232 U.S. 318, 328, 34 S.Ct. 333, 335, 58 L.Ed. 621 (1914), the Supreme Court framed the issue as follows:
It may not be doubted that the judicial power of the United States as created by the Constitution and provided for by Congress pursuant to its constitutional authority, is a power wholly independent of state action and which therefore the several States may not by any exertion of authority in any form, directly or indirectly, destroy, abridge, limit or render inefficacious. The doctrine is so elementary as to require no citation of authority to sustain it.
Accord Terral v. Burke Constr. Co., 257 U.S. 529, 42 S.Ct. 188, 66 L.Ed. 352 (1922); Donald v. Philadelphia & Reading Coal and Iron Co., 241 U.S. 329, 36 S.Ct. 563, 60 L.Ed. 1027 (1916); Home Ins. Co. v. Morse, 87 U.S. (20 Wall.) 445, 22 L.Ed. 365 (1874); see also Payne v. Hook, 74 U.S. (7 Wall.) 425, 19 L.Ed. 260 (1868) (state cannot defeat federal jurisdiction by confining jurisdiction of issue to specialized state court).
The Court attempts to evade the obvious Supremacy Clause problem posed by such a divestiture of federal jurisdiction by arguing that the statute creates an implicit waiver “contract.”2 Although under appropriate circumstances an individual may release her § 1983 claims by written contract, it is impermissible for a state to create a statutory framework which automatically operates to waive federal jurisdiction. See Town of Newton v. Rumery, — U.S. -, 107 S.Ct. 1187, 94 L.Ed,2d 405 (1987) (written waiver valid in certain circumstances). The Supreme Court is clear and explicit that “waiver” of § 1983 claims “is a question of federal law.” Town of Newton, 107 S.Ct. at 1192. There may also be a presumption against an indi*962vidual’s “waiver,” even when executed by written release, which serves to limit the power of the federal courts. See id. at 1205 (Stevens, J., dissenting); see also id. at 1196-97 (O’Connor, J., concurring) (defendant bears burden of proving that contract of waiver voluntarily made).
The Court states that the federal court has a duty to recognize the affirmative defense supposedly created by the Ohio statute. This affirmative defense apparently flows from an implicit waiver contract created by the statute. While the federal courts may recognize waiver contracts to limit an individual’s right to bring a § 1983 claim in certain limited circumstances, five members of the Supreme Court in Town of Newton emphasized that at a minimum the waiver agreements are subject to strict requirements that they be entered into knowingly, intelligently and voluntarily, and that the burden is on the defendant to prove the waiver in question meets this strict requirement.
We emphasize that here there is no written waiver contract, and the “waiver” is by operation of state law; hence this case is more problematic than that presented in Town of Newton. The problems presented by the court’s interpretation of the Ohio scheme resemble those of classic contracts of adhesion: by entering the doors of the Ohio Court of Claims, the claimant automatically becomes a party to an agreement which the claimant may not know of or accept.
The scheme of automatic waiver proposed by the Court does not comport with the strict requirements for waiver set forth in Town of Newton and the mere fact that Ms. Leaman was represented by counsel cannot save it. A written contract serves as evidence that a litigant’s decision to waive federal jurisdiction was entered into with some reflection as to its benefits and detriments. There is no such evidence here; in fact, the record indicates that all parties concerned — including the state judge — understood that her claim would be heard by a federal court. As the Supreme Court stated half a century ago, “we do not presume acquiescence in the loss of fundamental rights.” Ohio Bell Tel. v. Public Utilities Comm’n, 301 U.S. 292, 307, 57 S.Ct. 724, 731, 81 L.Ed. 1093 (1937). Moreover, as to fundamental rights, “courts indulge every reasonable assumption against waiver.” Aetna Ins. Co. v. Kennedy, 301 U.S. 389, 393, 57 S.Ct. 809, 812, 81 L.Ed. 1177 (1937).
It may be true in a diversity case after Erie that the doors of the federal courts are closed to state claims if the state would not entertain the claim, but a federally -created right should be heard in federal court even if the state has closed its doors to the parties. Angel v. Bullington, 330 U.S. 183, 192, 67 S.Ct. 657, 662, 91 L.Ed. 832 (1947). The reason for this rule is that otherwise a state would be able to obstruct and frustrate the obligations created by federal law. For example, in the workers’ compensation area, courts have looked askance at exclusive remedy provisions interfering with federal constitutional claims. As the court stated in a § 1983 action, “[t]o allow defendants here to escape liability by relying on state law defenses certainly interferes with the basic social policy which favors the enforcement of federal civil rights and it would also interfere with the policy of preventing abuses of power by those acting under color of state law.” Rosa v. Cantrell, 705 F.2d 1208, 1221 (10th Cir.1982), cert. denied, 464 U.S. 821, 104 S.Ct. 85, 78 L.Ed.2d 94 (1983); see also McClary v. O’Hare, 786 F.2d 83 (2d Cir.1986).
We should thus decline to interpret the state statute in question here to create an implicit waiver contract that a federal court would have a duty to recognize. A prospective federal litigant cannot be deprived of the right to pursue a federal cause of action to vindicate constitutional rights by automatic operation of a state statute. We must therefore examine how the Ohio statute operates in practice to determine whether the waiver provision actually serves to limit federal jurisdiction in violation of the Supremacy Clause.
II.
The Court reads the state statute in a fashion that is inconsistent with interpreta*963tions rendered by the Ohio courts, and thus creates a needless conflict with the Supremacy Clause. Under Ohio law, it is not clear that a § 1983 action would ever trigger the Ohio waiver provision. Rather, rulings from the Ohio courts indicate that the constitutional violations which form the basis for the § 1983 action would be outside the scope of employment and therefore not waived. There is therefore no actual conflict between the Ohio law and federal jurisdiction.3
Ohio case law is clear that merely filing a Court of Claims suit does not create an irrevocable waiver under Ohio Rev.Code Ann. § 2743.02(A)(1) (Baldwin 1986). Rather, the waiver becomes inoperative when the Court of Claims determines that “the act or omission was manifestly outside the scope of the officer’s or employee’s office or employment or that the officer or employee acted with malicious purpose, in bad faith, or in a wanton or reckless manner.” Ohio Rev.Code Ann. § 2743.02(A)(1) (Baldwin 1986); McIntosh v. University of Cincinnati, 24 Ohio App.3d 116, 120, 493 N.E.2d 321, 324-25 (1985).
The Ohio courts have so narrowly defined the scope of employment for public employees that no meritorious § 1983 claim should ever be subject to the waiver. In Berke v. Ohio Department of Public Welfare, 52 Ohio App.2d 271, 273, 369 N.E.2d 1056, 1058 (1976), the Court held that it is “clearly ultra vires” for a state employee to discriminate because of sex, religion, or national origin. In Tyus v. Moritz, 52 Ohio App.2d 143, 145, 368 N.E.2d 846, 848 (1976), the Court held that “any negligence, slander, or medical malpractice would plainly not be within the scope of supervision or within the scope of authority ... [and] would be ultra vires by such employees.” In an unpublished decision, another Ohio appellate court observed that jurisdiction in the Court of Common Pleas is proper when the alleged conduct “is intentionally tortious and therefore outside of the scope of the state employee’s employment.” Shew v. Greene, No. CA85-07-041 (Ohio App., May 27, 1986) (Westlaw, OH-CS database, at 4). Given the type of conduct excluded from the scope of employment in the foregoing cases, no meritorious § 1983 claim should be subject to the waiver provision of Ohio Rev.Code Ann. § 2743.02(A)(1) (Baldwin 1986).
As long as Ohio maintains its restrictive view of the scope of public employment, the only source of conflict between federal and state courts in this case is the normal friction caused by concurrent jurisdiction. The mere existence of concurrent jurisdiction is not itself a problem since § 1983 suits may be brought in state court. The question is whether Ohio’s assertion of jurisdiction actually conflicts with federal law. Again, we look to Ohio’s interpretation of its own statute to determine the extent of any conflict.
When concurrent suits are filed in the Court of Claims and the Court of Common Pleas, the State of Ohio has instructed the latter tribunal to stay its proceeding until the Court of Claims rules on the scope of employment issue. McIntosh v. University of Cincinnati, 24 Ohio App.3d at 120, 493 N.E.2d at 324-25; Smith v. Stempel, 65 Ohio App.2d 36, 41-42, 414 N.E.2d 445, 449 (1979). A federal court could reach the same result under well-established principles of abstention. See England v. Louisiana State Bd. of Medical Examiners, 375 U.S. 411, 84 S.Ct. 461, 11 L.Ed.2d 440 (1964). Thus, there is no conflict in this instance between the state and federal law that coordinates the disposition of concurrent suits.
III.
The final question raised by this case concerns what effect a federal court will give a prior Court of Claims’ determination on scope of employment. As a legal matter this question is hardly novel. For almost 200 years the federal courts have *964developed principles of res judicata and collateral estoppel in order to accommodate dual federal and state jurisdiction. This is the body of legal principles that we should use to resolve the present dispute, instead of an analysis that relies on a feather’s weight of Ohio authority and a misplaced marketplace metaphor.
In footnote 2 of its opinion, the Court states that there was no waiver in this case because the Court of Claims held that the “discharge was in accordance with the law, not against the law.” The Court seems to ignore the fact that before any such “finding” by the Court of Claims can have pre-clusive effect in this action, it must be judged by principles of res judicata and collateral estoppel.
Under res judicata, or claim preclusion, “a final judgment on the merits of an action precludes the parties or their privies from relitigating issues that were or could have been raised in that action.” Allen v. McCurry, 449 U.S. 90, 94, 101 S.Ct. 411, 414, 66 L.Ed.2d 308 (1980). The related doctrine of collateral estoppel, or issue preclusion, dictates that “once a court has decided an issue of fact or law necessary to its judgment, that decision may preclude relitigation of the issue in a suit on a different cause of action involving a party to the first case.” Id.; see also id. at 94 n. 5, 101 S.Ct. at 415 n. 5 (citing Restatement (Second) of Judgments § 74 (Tent. Draft No. 3, Apr. 15, 1976) for use of term “claim preclusion” as equivalent to res judicata and “issue preclusion” for collateral estop-pel).
Collateral estoppel cannot apply, however, unless the party against whom the earlier decision is asserted had a “full and fair opportunity” to litigate the issue in the earlier case. See Haring v. Prosise, 462 U.S. 306, 313, 103 S.Ct. 2368, 2373, 76 L.Ed.2d 595 (1983); Allen v. McCurry, 449 U.S. at 95, 101, 101 S.Ct. at 415, 418; Restatement (Second) of Judgments § 29 (1982). The rationale behind claim and issue preclusion is to relieve the parties of the cost and vexation of multiple lawsuits, conserve judicial resources, and to encourage reliance on adjudication by preventing inconsistent decisions. See Allen v. McCurry, 449 U.S. at 94, 101 S.Ct. at 415 (citing Montana v. United States, 440 U.S. 147, 153, 99 S.Ct. 970, 973, 59 L.Ed.2d 210 (1979)).
Congress has passed legislation which requires federal courts to give preclusive effect to state court judgments. The Constitution’s Full Faith and Credit Clause4 is implemented by the federal full faith and credit statute, 28 U.S.C. § 1738 (1982). The statute provides in pertinent part:
Such Acts, records and judicial proceedings or copies thereof, so authenticated, shall have the same full faith and credit in every court within the United States and its Territories and Possessions as they have by law or usage in the courts of such State, Territory or Possession from which they are taken.
It is now well-settled that this requires federal courts to give the same preclusive effect to state court judgments “that those judgments would be given in the courts of the State from which the judgments emerged.” Kremer v. Chemical Constr. Corp., 456 U.S. 461, 466, 102 S.Ct. 1883, 1889, 72 L.Ed.2d 262 (1982); see also Haring v. Prosise, 462 U.S. at 313, 103 S.Ct. at 2373.
In the absence of federal law modifying the operation of § 1738, the preclusive effect of a prior state court judgment is therefore determined in the first instance by state law. The Supreme Court has repeatedly held that § 1983 does not operate to modify the application of § 1738 as to either claim or issue preclusion. See Migra v. Warren City School Dist. Bd. of Educ., 465 U.S. 75, 104 S.Ct. 892, 79 L.Ed.2d 56 (1984) (claim preclusion); Allen v. McCurry, 449 U.S. 90, 101 S.Ct. 411, 66 L.Ed.2d 308 (1980) (issue preclusion); see also University of Tennessee v. Elliot, — U.S. *965-, 106 S.Ct. 3220, 92 ,L.Ed.2d 635 (1986) (although § 1738 not applicable, federal common law operates to require federal courts to give agency’s fact-finding preclu-sive effect in § 1983 action when agency acting in judicial capacity).
An analysis of res judicata or collateral estoppel by a prior state court proceeding in a federal § 1983 action must thus begin with a consideration of whether relitigation of the issue or claim would be barred under state law. Secondly, federal law then provides a check on the state process by requiring that the party against whom the earlier decision is asserted has had a “full and fair opportunity” to raise or litigate the issue decided by the prior state court litigation. See Haring v. Prosise, 462 U.S. at 313-14, 103 S.Ct. at 2373; Allen v. McCurry, 449 U.S. at 95, 101, 101 S.Ct. at 415, 418.
Applying this analysis to the facts of our case, we must first decide whether Ms. Leaman’s claim against the individual defendants would be barred in a later proceeding in the Ohio courts under applicable doctrines of res judicata and collateral es-toppel. The standard for determining when the doctrine of res judicata applies to Ohio litigants is as follows: “A final judgment rendered by a court of competent jurisdiction on the merits is conclusive as to the rights of the parties and, as to them, constitutes an absolute bar to a subsequent action involving the same cause of action.” State ex rel. Cartmell v. Dorrian, 11 Ohio St.3d 177, 178, 464 N.E.2d 556, 558-59 (1984) (emphasis added). In. the context of this case, the Court of Claims did not have jurisdiction to render judgment against the individual defendants.5 See Ohio Rev.Code Ann. § 2743.02(E) (Baldwin 1986); McIntosh v. University of Cincinnati, 24 Ohio App.3d 116, 117 n. 4, 493 N.E.2d 321, 322 n. 4 (1985). Accordingly, Ms. Leaman’s § 1983 claims against the individual defendants are not barred by res judicata.
Collateral estoppel, on the other hand, applies to preclude the redetermination of issues which have been decided by an earlier tribunal after giving the parties a full and fair opportunity to litigate their claims. A fair reading of the Court of Claims decision makes it clear that it did not decide Ms. Leaman’s federal claims at all. The Court of Claims expressly stated that “[t]he issues of the rights of a ‘1983’ action apparently are being determined in a federal court.” Leaman v. Ohio Dept. of Mental Retardation and Developmental Disabilities, No. 84-09161, slip op. at 9 (Ohio Ct.Cl. May 8, 1985) (Joint Appendix at 61; 74 Civ.Actions J. 144). From this statement, it is obvious that Ms. Leaman was given no opportunity whatever — much less a “full and fair opportunity” — to litigate her federal claim against the individual defendants. Principles of collateral estoppel, therefore, do not bar litigation of her § 1983 claims in a federal forum.
Under our view of the Supremacy Clause and basic principles of federal jurisdiction, the only doctrine which may validly bar Ms. Leaman from litigating her § 1983 claims in a federal court are those of res judicata and collateral estoppel. Since neither of these doctrines apply in this case, Ms. Lea-man should be permitted to proceed with her § 1983 action against the individual defendants in federal forum.
IV.
Although I have addressed the merits of this case, there is a valid question as to whether the merits should have been reheard en banc in light of the recusal problem. The vote for en banc review of the panel decision was 8 to 7 in favor of review. After the en banc vote was taken, a judge who had voted in favor of reconsideration then recused himself from the case. As the Republican whip in the Ohio legislature, he drafted and co-sponsored the act in question.
*966The issue presented is whether the re-cused judge’s vote that caused the rehearing en banc should be counted. At a conference on January 28, 1987, the Court voted to continue the en banc proceeding unabated without allowing the parties the opportunity to brief and argue the effect of this recusal. I disagree with the Court on this procedure. If the recusal issue had been properly addressed, the Court would have to conclude that there were not enough votes for en banc review and the panel decision would stand.6
Under the rules of our circuit, a majority vote of all active judges of the court to rehear a case en banc automatically vacates the panel decision of the court. If the recused judge disqualified himself when the petition for rehearing en banc was first circulated, the rehearing would not have been granted and the panel decision would have remained in effect. This is because only seven judges would have favored rehearing, and seven of fifteen obviously does not constitute a majority of the court.7
A judge’s duty to recuse himself is governed by federal statute. The federal recu-sal statute provides in pertinent part:
Any justice, judge, or magistrate of the United States shall disqualify himself in any proceeding in which his impartiality might reasonably be questioned.
28 U.S.C. § 455(a) (1982) (emphasis added). The term “proceeding” is defined in the statute to include the various stages of litigation including appellate review. 28 U.S.C. § 455(d)(1) (1982). The term “proceeding” within the meaning of § 455(a) should be interpreted to encompass a judicial proceeding in which judges vote on whether to vacate a panel decision by granting en banc review. Since a judge’s vote on a petition to rehear may be outcome-determinative, as amply demonstrated in this case, it is inconceivable that official action on the motion would not be covered by the statute. As the Fourth Circuit has stated on this same question, “patently a judge who is disqualified from acting must not be able to affect the determination of any cause from which he is barred.” Arnold v. Eastern Air Lines, 712 F.2d 899, 904 (4th Cir.1983) (en banc), cert. denied, 464 U.S. 1040, 104 S.Ct. 703, 79 L.Ed.2d 168 (1984). Accordingly, the judge’s vote in this case falls within the ambit of the statute.
The test for whether recusal is required by the federal statute is what a “reasonable person knowing all the relevant facts would think about the impartiality of the judge.” Roberts v. Bailar, 625 F.2d 125, 129 (6th Cir.1980); see also United States v. Norton, 700 F.2d 1072, 1076 (6th Cir.), cert. denied, 461 U.S. 910, 103 S.Ct. 1885, 76 L.Ed.2d 814 (1983); Hall v. Small Business Admin., 695 F.2d 175, 179 (5th Cir.1983) (“reasonable person, knowing all the circumstances, would harbor doubts about his impartiality”). The Roberts case holds further that “[e]ven where the question is close, the judge whose impartiality might reasonably be questioned must recuse himself from the trial.” 625 F.2d at 129 (emphasis added).
*967The legislative history of the recusal statute reinforces our view of the mandatory duty imposed on the conflicted judge. The issue is one of law which does not depend on the discretion or the conscience of the individual judge or the collegial feelings of the Court. As this Court explained in Roberts, “To promote public confidence in the impartiality of the federal judicial system, the Congress in 1974 shifted the focus of § 455” from a subjective to an objective standard. 625 F.2d at 129. The congressional committee report accompanying the 1974 change in the recusal statute stated that the new statute “sets up an objective standard, rather than the subjective standard set forth in the existing statute through the use of the phrase ‘in his opinion.’ ” Judiciary — Disqualification of Judges, H.R.Rep. No. 1453, 93d Cong., 2d Sess. (1974), reprinted in 1974 U.S.Code Cong. & Admin.News 6351, 6354-55. As part of its effort to promote public confidence in the judiciary, Congress enacted the current statute with the express purpose of taking the recusal question out of the individual discretion of the judge, a point the majority fails to recognize by citing with approval judicial practice prior to the recusal statute’s amendment.
It is obvious that the recused judge’s involvement as drafter and co-sponsor of the Ohio bill now under attack in this litigation requires his recusal from this entire proceeding, including his vote on the petition to rehear en banc. The recused judge’s position here is even more conflicting than the situation faced by Judge Keady in a case arising after the 1974 amendment of the recusal statute.8 Limeco, Inc. v. Division of Lime, 571 F.Supp. 710 (N.D.Miss.1983). In that case, Judge Keady voted against a bill in the state legislature forty-one years earlier which had created the defendant, a state-owned agency. Despite his minor involvement and the passage of four decades, Judge Keady felt compelled to recuse himself from the litigation. Even though the litigation had been proceeding for two years before the conflict was brought to Judge Keady’s attention, Judge Keady recused himself as soon as he became aware of the conflict.
In his recusal order, Judge Keady noted that his vote in the state legislature forty-one years earlier was a sufficient expression of his opinion on the case before him to call his impartiality into question. Judge Keady explained his recusal decision as follows:
Judicial ethics “exact more than virtuous behavior; they command impeccable appearance. Purity of heart is not enough. Judges’ robes must be as spotless as their actual conduct.” Hall v. Small Business Administration, 695 F.2d 175, 176 (5th Cir.1983).
Limeco, 571 F.Supp. at 711.
Unlike Judge Keady in Limeco, the re-cused judge here did not merely vote on a bill — he recently drafted and cosponsored the legislation under constitutional attack in this litigation. This judge has recognized a conflict of interest that has prompted him to recuse himself. This recusal decision is correct under decisions of this Court. The only issue is whether he should have recused himself earlier — i.e., before voting to rehear the case en banc. Since it is undisputed that the recused judge was aware of this conflict at the time he voted for rehearing the case en banc, he should have disqualified himself prior to that vote. Recusal is required as soon as a judge is aware of conflict. See Health Services Acquisition Corp. v. Liljeberg, 796 F.2d 796 (5th Cir.1986), cert. granted, — U.S. -, 107 S.Ct. 1368, 94 L.Ed.2d 684 (1987); United States v. Murphy, 768 F.2d 1518 (7th Cir.1985), cert. denied, — U.S. -, 106 S.Ct. 1188, 89 L.Ed.2d 304 (1986). No motion is required from the parties to effect a recusal. See Liljeberg, 796 F.2d at 802 (provisions of § 455(a) “mandatory and self-executing” upon appearance of partiality).
*968The Court relies on the practice of a few Supreme Court justices to argue that the current case does not present a recusal problem. In the case before us we are required to construe and apply the federal recusal statute, and I do not believe the Court’s invocation of past practice constitutes legal precedent on which we can rely. The fact that Chief Justice Vinson and Justices Burton and Black did not recuse themselves in cases involving legislation passed during their tenure in Congress is irrelevant: this practice does not constitute precedent. There is no federal case authorizing a federal judge to hear the constitutionality of a statute he drafted and sponsored in the legislature. Moreover, as discussed in the legislative history to the statute, it is clear that Congress in enacting the current statute intended to impose a more stringent standard than had previously existed — a point the Court itself concedes at pages 949-950. See supra pages 966-967. Therefore, for these reasons, the actions of the justices named by the Court are not precedent for the action approved here. Furthermore, I find the Court’s citation of state case law to be irrelevant in construing and applying the federal recu-sal statute.
My concern with recusal in the present case rests fundamentally on separation of power considerations. Indeed, such considerations can be traced to the Constitutional Convention of 1787 where there was deliberation on a proposal to form a “Council of Revision” to review and approve or disapprove acts passed by the national and state legislatures. The proposal provided for membership on the Council by “the Executive and a convenient number of the National Judiciary.’’ 1 M. Farrand, The Records of the Federal Convention of 1787 21 (1937 rev. ed.) (1966 ed., 2d printing 1974) (emphasis added).
Although endorsed by such delegates as James Madison of Virginia, several delegates voiced opposition to the plan to include members of the judiciary as part of the Council of Revision. Rufus King of Massachusetts proposed delay of the consideration of the Council plan, “observing that the Judges ought to be able to expound the law as it should come before them, free from the bias of having participated in its formation.” Id. at 98 (emphasis added). John Dickenson of Delaware also expressed concern over an “improper mixture of powers.” Id. at 140. Elbridge Gerry of Massachusetts doubted “whether the Judiciary ought to form a part of it, as they will have a sufficient check [against] encroachments on their own department by their exposition of the laws, which involved a power of deciding on their Constitutionality.” Id. at 97.
The same kind of concern that we have about the participation of the recused judge in the case before us — that judges should be “free from the bias of having participated in [the law’s] formation” — led the Constitutional Convention to reject overwhelmingly the “improper mixture” of judges and politicians in the Council of Revision.
Accordingly, I dissent.

. This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding.
U.S.Const., Art. VI, cl. 2.

. The Court also argues that the existence of a similar provision in the Federal Tort Claims Act removes constitutional doubt from the Ohio statute! Opinion of the Court at p. 955. This position taken by the Court ignores the fact that the problem posed by the Ohio statute stems from the Supremacy Clause — a concern not implicated by Congressional action.

. In footnote 2 of its opinion, the Court concedes that if constitutional violations sufficient to form the basis for § 1983 claims are deemed by the Ohio courts to be outside the scope of employment, there would be no waiver and therefore no conflict between the Ohio statute and federal jurisdiction.

. "Full Faith and Credit shall be given in each State to the public Acts, Records, and judicial Proceedings of every other State. And the Congress may by general Laws prescribe the Manner in which such Acts, Records and Proceedings shall be proved, and the Effect thereof." U.S.Const., Art. IV, § 1.

. The Courts of Claims statute does provide a method by which the state could implead individual officers as third-party defendants. Ohio Rev.Code Ann. § 2743.02(E) (Baldwin 1986). However, since the state did not do so in this case, the individuals were not properly before the court. Accordingly, the Court of Claims did not have jurisdiction to render judgment against the individuals.

. The Court purports to cure its defect in procedure through a process of "ratification." The Court states at page 948 of its opinion that at an administrative meeting the full court "ratified” the decision to grant rehearing en banc. However, the record of the administrative meeting indicates that what was "ratified" was a motion to sustain the ruling of the Chief Judge that the recusal was not retroactive and therefore the en banc vote should not be disturbed. Such a motion is no substitute for a straight up-or-down vote on whether to grant en banc review. If there were to be a new vote on the question of en banc review, then the vote should be taken in accordance with the rules of the Court and not confused with another matter. See Court Policies Section 11.6.

. In Clark v. American Broadcasting Companies, 684 F.2d 1208, 1226 (6th Cir.1982), this Court decided that when a judge disqualifies himself from a petition to rehear, that judge is nonetheless counted as a judge sitting in "regular active service” within the meaning of Rule 35(a) of the Federal Rules of Appellate Procedure. Applying more sound reasoning, other circuits have adopted a rule for tabulating rehearing votes which excludes the disqualified judge from the denominator of the fraction. See, e.g., Arnold v. Eastern Air Lines, 712 F.2d 899 (4th Cir.1983) (en banc), cert. denied, 464 U.S. 1040, 104 S.Ct. 703, 79 L.Ed.2d 168 (1984).

. It should be emphasized that this is the only decision cited in any opinion in this case with similar facts to ours decided after the 1974 amendment to the statute; yet, the Court cites Limeco without distinguishing it.