Caperton v. A. T. Massey Coal Co., Inc.
AI Case Brief
Generate an AI-powered case brief with:
Estimated cost: $0.001 - $0.003 per brief
Full Opinion
delivered the opinion of the Court.
In this case the Supreme Court of Appeals of West Virginia reversed a trial court judgment, which had entered a jury verdict of $50 million. Five justices heard the case, and the vote to reverse was 8 to 2. The question presented is whether the Due Process Clause of the Fourteenth Amendment was violated when one of the justices in the majority denied a recusal motion. The basis for the motion was that the justice had received campaign contributions in an extraordinary amount from, and through the efforts of, the board chairman and principal officer of the corporation found liable for the damages.
Under our precedents there are objective standards that require recusal when âthe probability of actual bias on the part of the judge or decisionmaker is too high to be constitutionally tolerable.â Withrow v. Larkin, 421 U. S. 35, 47 (1975). Applying those precedents, we find that, in all the circumstances of this case, due process requires recusal.
I
In August 2002 a West Virginia jury returned a verdict that found respondents A. T. Massey Coal Co. and its affiliates (hereinafter Massey) liable for fraudulent misrepresentation, concealment, and tortious interference with existing contractual relations. The jury awarded petitioners Hugh Caperton, Harman Development Corp., Harman Mining Corp., and Sovereign Coal Sales (hereinafter Caperton) the sum of $50 million in compensatory and punitive damages.
In June 2004 the state trial court denied Masseyâs post-trial motions challenging the verdict and the damages award, finding that Massey âintentionally acted in utter disregard of [Capertonâs] rights and ultimately destroyed [Capertonâs] businesses because, after conducting cost-benefit analyses, [Massey] concluded it was in its financial interest to do so.â App. 32a, ¶ 10(p). In March 2005 the trial court denied Masseyâs motion for judgment as a matter of law.
In addition to contributing the $1,000 statutory maximum to Benjaminâs campaign committee, Blankenship donated almost $2.5 million to âAnd For The Sake Of The Kids,â a political organization formed under 26 U. S. C. § 527. The § 527 organization opposed McGraw and supported Benjamin. 223 W. Va. 624, 700, 679 S. E. 2d 223, 299 (2008) (Benjamin, Acting C. J., concurring). Blankenshipâs donations accounted for more than two-thirds of the total funds it raised. App. 150a. This was not all. Blankenship spent, in addition, just over $500,000 on independent expenditures â for direct mailings and letters soliciting donations as well as television and newspaper advertisements â ââto support. . . Brent Benjamin.â â Id., at 184a, 186a, 200a (quoting Blankenshipâs state campaign financial disclosure filings; bold typeface omitted).
To provide some perspective, Blankenshipâs $3 million in contributions were more than the total amount spent by all other Benjamin supporters and three times the amount spent by Benjaminâs own committee. Id., at 288a. Caper-ton contends that Blankenship spent $1 million more than the total amount spent by the campaign committees of both candidates combined. Brief for Petitioners 28.
Benjamin won. He received 382,036 votes (53.3%), and McGraw received 334,301 votes (46.7%). 223 W. Va., at 702, 679 S. E. 2d, at 301 (Benjamin, Acting C. J., concurring).
In October 2005, before Massey filed its petition for appeal in West Virginiaâs highest court, Caperton moved to disqual
In November 2007 that court reversed the $50 million verdict against Massey. The majority opinion, authored by then-Chief Justice Davis and joined by Justices Benjamin and Maynard, found that âMasseyâs conduct warranted the type of judgment rendered in this case.â Id., at 357a. It reversed, nevertheless, based on two independent groundsâ first, that a forum-selection clause contained in a contract to which Massey was not a party barred the suit in West Virginia, and, second, that res judicata barred the suit due to an out-of-state judgment to which Massey was not a party. Id., at 345a. Justice Stareher dissented, stating that the âmajorityâs opinion is morally and legally wrong.â Id., at 420a-422a. Justice Albright also dissented, accusing the majority of âmisapplying the law and introducing sweeping ânew lawâ into our jurisprudence that may well come back to haunt us.â Id., at 430a-431a.
Caperton sought rehearing, and the parties moved for disqualification of three of the five justices who decided the appeal. Photos had surfaced of Justice Maynard vacationing with Blankenship in the French Riviera while the case was pending. Id., at 440a-441a, 456a. Justice Maynard granted Capertonâs recusal motion. On the other side Justice Stareher granted Masseyâs recusal motion, apparently
The court granted rehearing. Justice Benjamin, now in the capacity of acting chief justice, selected Judges Cookman and Fox to replace the recused justices. Caperton moved a third time for disqualification, arguing that Justice Benjamin had failed to apply the correct standard under West Virginia law â i. e., whether âa reasonable and prudent person, knowing these objective facts, would harbor doubts about Justice Benjaminâs ability to be fair and impartial.â Id., at 466a, ¶ 8. Caperton also included the results of a public opinion poll, which indicated that over 67% of West Virginians doubted Justice Benjamin would be fair and impartial. Justice Benjamin again refused to withdraw, noting that the âpush pollâ was âneither credible nor sufficiently reliable to serve as the basis for an elected judgeâs disqualification.â Id., at 483a.
In April 2008 a divided court again reversed the jury verdict, and again it was a 3-to-2 decision. Justice Davis filed a modified version of her prior opinion, repeating the two earlier holdings. She was joined by Justice Benjamin and Judge Fox. Justice Albright, joined by Judge Cookman, dissented: âNot only is the majority opinion unsupported by the facts and existing case law, but it is also fundamentally unfair. Sadly, justice was neither honored nor served by the majority.â 223 W. Va., at 685, 679 S. E. 2d, at 284. The dissent also noted âgenuine due process implications arising under federal lawâ with respect to Justice Benjaminâs failure to recuse himself. Id., at 686, n. 16, 679 S. E. 2d, at 285, n. 16 (citing Aetna Life Ins. Co. v. Lavoie, 475 U. S. 813 (1986); In re Murchison, 349 U. S. 133, 136 (1955)).
We granted certiorari. 555 U. S. 1028 (2008).
II
It is axiomatic that â[a] fair trial in a fair tribunal is a basic requirement of due process.â Murchison, supra, at 136. As the Court has recognized, however, âmost matters relating to judicial disqualification [do] not rise to a constitutional level.â FTC v. Cement Institute, 333 U. S. 683, 702 (1948). The early and leading case on the subject is Tumey v. Ohio, 273 U. S. 510 (1927). There, the Court stated that âmatters of kinship, personal bias, state policy, remoteness of interest, would seem generally to be matters merely of legislative discretion.â Id., at 523.
The Tumey Court concluded that the Due Process Clause incorporated the common-law rule that a judge must recuse himself when he has âa direct, personal, substantial, pecuniary interestâ in a case. Ibid. This rule reflects the maxim that â[n]o man is allowed to be a judge in his own cause; because his interest would certainly bias his judgment, and, not improbably, corrupt his integrity.â The Federalist No. 10, p. 59 (J. Cooke ed. 1961) (J. Madison); see Frank, Dis
As new problems have emerged that were not discussed at common law, however, the Court has identified additional instances which, as an objective matter, require recusal. These are circumstances âin which experience teaches that the probability of actual bias on the part of the judge or decisionmaker is too high to be constitutionally tolerable.â Withrow, 421 U. S., at 47. To place the present case in proper context, two instances where the Court has required recusal merit further discussion.
A
The first involved the emergence of local tribunals where a judge had a financial interest in the outcome of a case, although the interest was less than what would have been considered personal or direct at common law.
This was the problem addressed in Tumey. There, the mayor of a village had the authority to sit as a judge (with no jury) to try those accused of violating a state law prohibiting the possession of alcoholic beverages. Inherent in this structure were two potential conflicts. First, the mayor received a salary supplement for performing judicial duties, and the funds for that compensation derived from the fines assessed in a case. No fines were assessed upon acquittal. The mayor-judge thus received a salary supplement only if he convicted the defendant. 273 U. S., at 520. Second, sums from the criminal fines were deposited to the villageâs general treasury fund for village improvements and repairs. Id., at 522.
âEvery procedure which would offer a possible temptation to the average man as a judge to forget the burden of proof required to convict the defendant, or which might lead him not to hold the balance nice, clear and true between the State and the accused, denies the latter due process of law.â Ibid.
The Court was thus concerned with more than the traditional common-law prohibition on direct pecuniary interest. It was also concerned with a more general concept of interests that tempt adjudicators to disregard neutrality.
This concern with conflicts resulting from financial incentives was elaborated in Ward v. Monroeville, 409 U. S. 57 (1972), which invalidated a conviction in another mayorâs court. In Monroeville, unlike in Turney, the mayor received no money; instead, the fines the mayor assessed went to the townâs general fisc. The Court held that â[t]he fact that the mayor [in Tumey] shared directly in the fees and costs did not define the limits of the principle.â 409 U. S., at 60. The principle, instead, turned on the â âpossible temptationâ â the mayor might face; the mayorâs âexecutive responsibilities for village finances may make him partisan to maintain the high level of contribution [to those finances] from the mayorâs court.â Ibid. As the Court reiterated in another case that Term, âthe [judgeâs] financial stake need not be as direct or positive as it appeared to be in Tumey.â Gibson v. Berryhill, 411 U. S. 564, 579 (1973) (an administrative board com
The Court in Lavoie further clarified the reach of the Due Process Clause regarding a judgeâs financial interest in a case. There, a justice had cast the deciding vote on the Alabama Supreme Court to uphold a punitive damages award against an insurance company for bad-faith refusal to pay a claim. At the time of his vote, the justice was the lead plaintiff in a nearly identical lawsuit pending in Alabamaâs lower courts. His deciding vote, this Court surmised, âundoubtedly âraised the stakesâ â for the insurance defendant in the justiceâs suit. 475 U. S., at 823-824.
The Court stressed that it was ânot required to decide whether in fact [the justice] was influenced.â Id., at 825. The proper constitutional inquiry is âwhether sitting on the case then before the Supreme Court of Alabama ââwould offer a possible temptation to the average . . . judge to . . . lead him not to hold the balance nice, clear and true.âââ Ibid, (quoting Monroeville, supra, at 60, in turn quoting Turney, supra, at 532). The Court underscored that âwhat degree or kind of interest is sufficient to disqualify a judge from sitting âcannot be defined with precision.ââ 475 U. S., at 822 (quoting Murchison, 349 U. S., at 136). In the Courtâs view, however, it was important that the test have an objective component.
The Lavoie Court proceeded to distinguish the state-court justiceâs particular interest in the case, which required recusal, from interests that were not a constitutional concern. For instance, âwhile [the other] justices might conceivably have had a slight pecuniary interestâ due to their potential membership in a class-action suit against their own insurance companies, that interest is â âtoo remote and insubstantial to violate the constitutional constraints.ââ 475 U. S., at 825-826 (quoting Marshall v. Jerrico, Inc., 446 U. S. 238, 243 (1980)).
The second instance requiring recusal that was not discussed at common law emerged in the criminal contempt context, where a judge had no pecuniary interest in the case but was challenged because of a conflict arising from his participation in an earlier proceeding. This Court characterized that first proceeding (perhaps pejoratively) as a â âone-man grand jury.â â Murchison, 349 U. S., at 133.
In that first proceeding, and as provided by state law, a judge examined witnesses to determine whether criminal charges should be brought. The judge called the two petitioners before him. One petitioner answered questions, but the judge found him untruthful and charged him with perjury. The second declined to answer on the ground that he did not have counsel with him, as state law seemed to permit. The judge charged him with contempt. The judge proceeded to try and convict both petitioners. Id., at 134-135.
This Court set aside the convictions on grounds that the judge had a conflict of interest at the trial stage because of his earlier participation followed by his decision to charge them. The Due Process Clause required disqualification. The Court recited the general rule that âno man can be a judge in his own case,â adding that âno man is permitted to try cases where he has an interest in the outcome.â Id., at 136. It noted that the disqualifying criteria âcannot be defined with precision. Circumstances and relationships must be considered.â Ibid. These circumstances and the prior relationship required recusal: âHaving been a part of [the one-man grand jury] process a judge cannot be, in the very nature of things, wholly disinterested in the conviction or acquittal of those accused.â Id., at 137. That is because â[a]s a practical matter it is difficult if not impossible for a judge to free himself from the influence of what took place in his âgrand-juryâ secret session.â Id., at 138.
The Murchison Court was careful to distinguish the circumstances and the relationship from those where the Con
Following Murchison the Court held in Mayberry v. Pennsylvania, 400 U. S. 455, 466 (1971), âthat by reason of the Due Process Clause of the Fourteenth Amendment a defendant in criminal contempt proceedings should be given a public trial before a judge other than the one reviled by the contemnor.â The Court reiterated that this rule rests on the relationship between the judge and the defendant: â[A] judge, vilified as was this Pennsylvania judge, necessarily becomes embroiled in a running, bitter controversy. No one so cruelly slandered is likely to maintain that calm detachment necessary for fair adjudication.â Id., at 465.
Again, the Court considered the specific circumstances presented by the case. It noted that ânot every attack on a judge . . . disqualifies him from sitting.â Ibid. The Court distinguished the case from Ungar v. Sarafite, 376 U. S. 575 (1964), in which the Court had âruled that a lawyerâs challenge, though âdisruptive, recalcitrant and disagreeable commentary,â was still not âan insulting attack upon the integrity of the judge carrying such potential for bias as to require disqualification.ââ Mayberry, supra, at 465-466 (quoting Ungar, supra, at 584). The inquiry is an objective one. The Court asks not whether the judge .is actually, subjectively biased, but whether the average judge in his position is âlikelyâ to be neutral, or whether there is an unconstitutional âpotential for bias.â
Ill
Based on the principles described in these cases we turn to the issue before us. This problem arises in the context
Caperton contends that Blankenshipâs pivotal role in getting Justice Benjamin elected created a constitutionally intolerable probability of actual bias. Though not a bribe or criminal influence, Justice Benjamin would nevertheless feel a debt of gratitude to Blankenship for his extraordinary efforts to get him elected. That temptation, Caperton claims, is as strong and inherent in human nature as was the conflict the Court confronted in Turney and Monroeville when a mayor-judge (or the city) benefited financially from a defendantâs conviction, as well as the conflict identified in Murchison and Mayberry when a judge was the object of a defendantâs contempt.
Justice Benjamin was careful to address the recusal motions and explain his reasons why, on his view of the controlling standard, disqualification was not in order. In four separate opinions issued during the course of the appeal, he explained why no actual bias had been established. He found no basis for recusal because Caperton failed to provide âobjective evidenceâ or âobjective information,â but merely âsubjective beliefâ of bias. App. 336a, 337a-338a, 444a-445a. Nor could anyone âpoint to any actual conduct or activity on [his] part which could be termed âimproper.ââ 223 W. Va., at 694, 679 S. E. 2d, at 293. In other words, based on the facts presented by Caperton, Justice Benjamin conducted a probing search into his actual motives and inclinations; and he found none to be improper. We do not question his subjective findings of impartiality and propriety. Nor do we determine whether there was actual bias.
Following accepted principles of our legal tradition respecting the proper performance of judicial functions, judges often inquire into their subjective motives and purposes in the ordinary course of deciding a case. This does not mean the inquiry is a simple one. âThe work of deciding cases goes on every day in hundreds of courts throughout the land.
The judge inquires into reasons that seem to be leading to a particular result. Precedent and stare decisis and the text and purpose of the law and the Constitution; logic and scholarship and experience and common sense; and fairness and disinterest and neutrality are among the factors at work. To bring coherence to the process, and to seek respect for the resulting judgment, judges often explain the reasons for their conclusions and rulings. There are instances when the introspection that often attends this process may reveal that what the judge had assumed to be a proper, controlling factor is not the real one at work. If the judge discovers that some personal bias or improper consideration seems to be the actuating cause of the decision or to be an influence so difficult to dispel that there is a real possibility of undermining neutrality, the judge may think it necessary to consider withdrawing from the case.
The difficulties of inquiring into actual bias, and the fact that the inquiry is often a private one, simply underscore the need for objective rules. Otherwise there may be no adequate protection against a judge who simply misreads or misapprehends the real motives at work in deciding the case. The judgeâs own inquiry into actual bias, then, is not one that the law can easily superintend or review, though actual bias, if disclosed, no doubt would be grounds for appropriate relief. In lieu of exclusive reliance on that personal inquiry, or on appellate review of the judgeâs determination respecting actual bias, the Due Process Clause has been implemented by objective standards that do not require proof of actual bias. See Turney, 273 U. S., at 532; Mayberry, supra, at 465-466; Lavoie, 475 U. S., at 825. In defining these standards the Court has asked whether, âunder a realistic appraisal of psychological tendencies and human weakness,â the interest
We turn to the influence at issue in this case. Not every campaign contribution by a litigant or attorney creates a probability of bias that requires a judgeâs recusal, but this is an exceptional case. Cf. Mayberry, 400 U. S., at 465 (âIt is, of course, not every attack on a judge that disqualifies him from sittingâ); Lavoie, supra, at 825-826 (some pecuniary interests are ââtoo remote and insubstantialââ). We conclude that there is a serious risk of actual bias â based on objective and reasonable perceptions â when a person with a personal stake in a particular case had a significant and disproportionate influence in placing the judge on the case by raising funds or directing the judgeâs election campaign when the case was pending or imminent. The inquiry centers on the contributionâs relative size in comparison to the total amount of money contributed to the campaign, the total amount spent in the election, and the apparent effect such contribution had on the outcome of the election.
Applying this principle, we conclude that Blankenshipâs campaign efforts had a significant and disproportionate influence in placing Justice Benjamin on the case. Blankenship contributed some $3 million to unseat the incumbent and replace him with Benjamin. His contributions eclipsed the total amount spent by all other Benjamin supporters and exceeded by 300% the amount spent by Benjaminâs campaign committee. App. 288a. Caperton claims Blankenship spent $1 million more than the total amount spent by the campaign committees of both candidates combined. Brief for Petitioners 28.
Massey responds that Blankenshipâs support, while significant, did not cause Benjaminâs victory. In the end the people of West Virginia elected him, and they did so based on many reasons other than Blankenshipâs efforts. Massey points out that every major state newspaper, but one, en
Justice Benjamin raised similar arguments. He asserted that âthe outcome of the 2004 election was due primarily to [his own] campaignâs message,â as well as McGrawâs âdevastating] â speech in which he âmade a number of controversial claims which became a matter of statewide discussion in the media, on the internet, and elsewhere.â 223 W. Va., at 701, and n. 29, 679 S. E. 2d, at 300, and n. 29; see also id., at 702-703, and nn. 35-39, 679 S. E. 2d, at 301-302, and nn. 35-39.
Whether Blankenshipâs campaign contributions were a necessary and sufficient cause of Benjaminâs victory is not the proper inquiry. Much like determining whether a judge is actually biased, proving what ultimately drives the electorate to choose a particular candidate is a difficult endeavor, not likely to lend itself to a certain conclusion. This is particularly true where, as here, there is no procedure for judicial factfinding and the sole trier of fact is the one accused of bias. Due process requires an objective inquiry into whether the contributorâs influence on the election under all the circumstances âwould offer a possible temptation to the average . . . judge to . . . lead him not to hold the balance nice, clear and true.â Tumey, supra, at 532. In an election decided by fewer than 50,000 votes (382, 036 to 334, 301), see 223 W. Va., at 702, 679 S. E. 2d, at 301, Blankenshipâs campaign contributions â in comparison to the total amount contributed to the campaign, as well as the total amount spent in the election â had a significant and disproportionate influence on the electoral outcome. And the risk that Blankenshipâs influence engendered actual bias is sufficiently substantial that it âmust be forbidden if the guarantee of due process is to be adequately implemented.â Withrow, supra, at 47.
Justice Benjamin did undertake an extensive search for actual bias. But, as we have indicated, that is just one step in the judicial process; objective standards may also require recusal whether or not actual bias exists or can be proved. Due process âmay sometimes bar trial by judges who have no actual bias and who would do their very best to weigh the scales of justice equally between contending parties.â Murchison, 349 U. S., at 136. The failure to consider objective standards requiring recusal is not consistent with the imperatives of due process. We find that Blankenshipâs significant and disproportionate influence â coupled with the temporal relationship between the election and the pending caseâ â â âoffer[s] a possible temptation to the average ... judge to ... lead him not to hold the balance nice, clear and true.â â â Lavoie, 475 U. S., at 825 (quoting Monroeville, 409 U. S., at 60, in turn quoting Tumey, 273 U. S., at 532). On these ex
IV
Our decision today addresses an extraordinary situation where the Constitution requires recusal. Massey and its amici predict that various adverse consequences will follow from recognizing a constitutional violation here â ranging from a flood of recusal motions to unnecessary interference with judicial elections. We disagree. The facts now before us are extreme by any measure. The parties point to no other instance involving judicial campaign contri