[House Report 107-459]
[From the U.S. Government Publishing Office]



107th Congress                                                   Report
                        HOUSE OF REPRESENTATIVES
 2d Session                                                     107-459

======================================================================



 
                   JUDICIAL IMPROVEMENTS ACT OF 2002

                                _______
                                

  May 14, 2002.--Committed to the Committee of the Whole House on the 
              State of the Union and ordered to be printed

                                _______
                                

 Mr. Sensenbrenner, from the Committee on the Judiciary, submitted the 
                               following

                              R E P O R T

                        [To accompany H.R. 3892]

      [Including cost estimate of the Congressional Budget Office]

    The Committee on the Judiciary, to whom was referred the 
bill (H.R. 3892) to amend title 28, United States Code, to make 
certain modifications in the judicial discipline procedures, 
and for other purposes, having considered the same, reports 
favorably thereon with an amendment and recommends that the 
bill as amended do pass.

                                CONTENTS

                                                                   Page
The Amendment....................................................     1
Purpose and Summary..............................................     7
Background and Need for the Legislation..........................     7
Hearings.........................................................     8
Committee Consideration..........................................     9
Vote of the Committee............................................     9
Committee Oversight Findings.....................................     9
Performance Goals and Objectives.................................     9
New Budget Authority and Tax Expenditures........................    10
Congressional Budget Office Cost Estimate........................    10
Constitutional Authority Statement...............................    11
Section-by-Section Analysis and Discussion.......................    11
Changes in Existing Law Made by the Bill, as Reported............    20
Markup Transcript................................................    36

    The amendment is as follows:
    Strike all after the enacting clause and insert the 
following:

SECTION 1. SHORT TITLE.

    This Act may be cited as the ``Judicial Improvements Act of 2002''.

SEC. 2. JUDICIAL DISCIPLINE PROCEDURES.

    (a) In General.--Part I of title 28, United States Code, is amended 
by inserting after chapter 15 the following new chapter:

    ``CHAPTER 16--COMPLAINTS AGAINST JUDGES AND JUDICIAL DISCIPLINE

``Sec.
``351. Complaints; judge defined.
``352. Review of complaint by chief judge.
``353. Special committees.
``354. Action by judicial council.
``355. Action by Judicial Conference.
``356. Subpoena power.
``357. Review of orders and actions.
``358. Rules.
``359. Restrictions.
``360. Disclosure of information.
``361. Reimbursement of expenses.
``362. Other provisions and rules not affected.
``363. Court of Federal Claims, Court of International Trade, Court of 
Appeals for the Federal Circuit.
``364. Effect of felony conviction.

``Sec. 351. Complaints; judge defined

    ``(a) Filing of Complaint by Any Person.--Any person alleging that 
a judge has engaged in conduct prejudicial to the effective and 
expeditious administration of the business of the courts, or alleging 
that such judge is unable to discharge all the duties of office by 
reason of mental or physical disability, may file with the clerk of the 
court of appeals for the circuit a written complaint containing a brief 
statement of the facts constituting such conduct.
    ``(b) Identifying Complaint by Chief Judge.--In the interests of 
the effective and expeditious administration of the business of the 
courts and on the basis of information available to the chief judge of 
the circuit, the chief judge may, by written order stating reasons 
therefor, identify a complaint for purposes of this chapter and thereby 
dispense with filing of a written complaint.
    ``(c) Transmittal of Complaint.--Upon receipt of a complaint filed 
under subsection (a), the clerk shall promptly transmit the complaint 
to the chief judge of the circuit, or, if the conduct complained of is 
that of the chief judge, to that circuit judge in regular active 
service next senior in date of commission (hereafter, for purposes of 
this chapter only, included in the term `chief judge'). The clerk shall 
simultaneously transmit a copy of the complaint to the judge whose 
conduct is the subject of the complaint. The clerk shall also transmit 
a copy of any complaint identified under subsection (b) to the judge 
whose conduct is the subject of the complaint.
    ``(d) Definitions.--In this chapter--
            ``(1) the term `judge' means a circuit judge, district 
        judge, bankruptcy judge, or magistrate judge; and
            ``(2) the term `complainant' means the person filing a 
        complaint under subsection (a) of this section.

``Sec. 352. Review of complaint by chief judge

    ``(a) Expeditious Review; Limited Inquiry.--The chief judge shall 
expeditiously review any complaint received under section 351(a) or 
identified under section 351(b). In determining what action to take, 
the chief judge may conduct a limited inquiry for the purpose of 
determining--
            ``(1) whether appropriate corrective action has been or can 
        be taken without the necessity for a formal investigation; and
            ``(2) whether the facts stated in the complaint are either 
        plainly untrue or are incapable of being established through 
        investigation.
For this purpose, the chief judge may request the judge whose conduct 
is complained of to file a written response to the complaint. Such 
response shall not be made available to the complainant unless 
authorized by the judge filing the response. The chief judge or his or 
her designee may also communicate orally or in writing with the 
complainant, the judge whose conduct is complained of, and any other 
person who may have knowledge of the matter, and may review any 
transcripts or other relevant documents. The chief judge shall not 
undertake to make findings of fact about any matter that is reasonably 
in dispute.
    ``(b) Action by Chief Judge Following Review.--After expeditiously 
reviewing a complaint undersubsection (a), the chief judge, by written 
order stating his or her reasons, may--
            ``(1) dismiss the complaint--
                    ``(A) if the chief judge finds the complaint to 
                be--
                            ``(i) not in conformity with section 
                        351(a);
                            ``(ii) directly related to the merits of a 
                        decision or procedural ruling; or
                            ``(iii) frivolous, lacking sufficient 
                        evidence to raise an inference that misconduct 
                        has occurred, or containing allegations which 
                        are incapable of being established through 
                        investigation; or
                    ``(B) when a limited inquiry conducted under 
                subsection (a) demonstrates that the allegations in the 
                complaint lack any factual foundation or are 
                conclusively refuted by objective evidence; or
            ``(2) conclude the proceeding if the chief judge finds that 
        appropriate corrective action has been taken or that action on 
        the complaint is no longer necessary because of intervening 
        events.
The chief judge shall transmit copies of the written order to the 
complainant and to the judge whose conduct is the subject of the 
complaint.
    ``(c) Review of Orders of Chief Judge.--A complainant or judge 
aggrieved by a final order of the chief judge under this section may 
petition the judicial council of the circuit for review thereof. The 
denial of a petition for review of the chief judge's order shall be 
final and conclusive and shall not be judicially reviewable on appeal 
or otherwise.
    ``(d) Referral of Petitions for Review to Panels of the Judicial 
Council.--Each judicial council may, pursuant to rules prescribed under 
section 358, refer a petition for review filed under subsection (c) to 
a panel of no fewer than 5 members of the council, at least 2 of whom 
shall be district judges.

``Sec. 353. Special committees

    ``(a) Appointment.--If the chief judge does not enter an order 
under section 352(b), the chief judge shall promptly--
            ``(1) appoint himself or herself and equal numbers of 
        circuit and district judges of the circuit to a special 
        committee to investigate the facts and allegations contained in 
        the complaint;
            ``(2) certify the complaint and any other documents 
        pertaining thereto to each member of such committee; and
            ``(3) provide written notice to the complainant and the 
        judge whose conduct is the subject of the complaint of the 
        action taken under this subsection.
    ``(b) Change in Status or Death of Judges.--A judge appointed to a 
special committee under subsection (a) may continue to serve on that 
committee after becoming a senior judge or, in the case of the chief 
judge of the circuit, after his or her term as chief judge terminates 
under subsection (a)(3) or (c) of section 45. If a judge appointed to a 
committee under subsection (a) dies, or retires from office under 
section 371(a), while serving on the committee, the chief judge of the 
circuit may appoint another circuit or district judge, as the case may 
be, to the committee.
    ``(c) Investigation by Special Committee.--Each committee appointed 
under subsection (a) shall conduct an investigation as extensive as it 
considers necessary, and shall expeditiously file a comprehensive 
written report thereon with the judicial council of the circuit. Such 
report shall present both the findings of the investigation and the 
committee's recommendations for necessary and appropriate action by the 
judicial council of the circuit.

``Sec. 354. Action by judicial council

    ``(a) Actions Upon Receipt of Report.--
            ``(1) Actions.--The judicial council of a circuit, upon 
        receipt of a report filed under section 353(c)--
                    ``(A) may conduct any additional investigation 
                which it considers to be necessary;
                    ``(B) may dismiss the complaint; and
                    ``(C) if the complaint is not dismissed, shall take 
                such action as is appropriate to assure the effective 
                and expeditious administration of the business of the 
                courts within the circuit.
            ``(2) Description of possible actions if complaint not 
        dismissed.--
                    ``(A) In general.--Action by the judicial council 
                under paragraph (1)(C) may include--
                            ``(i) ordering that, on a temporary basis 
                        for a time certain, no further cases be 
                        assigned to the judge whose conduct is the 
                        subject of a complaint;
                            ``(ii) censuring or reprimanding such judge 
                        by means of private communication; and
                            ``(iii) censuring or reprimanding such 
                        judge by means of public announcement.
                    ``(B) For article iii judges.--If the conduct of a 
                judge appointed to hold office during good behavior is 
                the subject of the complaint, action by the judicial 
                council under paragraph (1)(C) may include--
                            ``(i) certifying disability of the judge 
                        pursuant to the procedures and standards 
                        provided under section 372(b); and
                            ``(ii) requesting that the judge 
                        voluntarily retire, with the provision that the 
                        length of service requirements under section 
                        371 of this title shall not apply.
                    ``(C) For magistrate judges.--If the conduct of a 
                magistrate judge is the subject of the complaint, 
                action by the judicial council under paragraph (1)(C) 
                may include directing the chief judge of the district 
                of the magistrate judge to take such action as the 
                judicial council considers appropriate.
            ``(3) Limitations on judicial council regarding removals.--
                    ``(A) Article iii judges.--Under no circumstances 
                may the judicial council order removal from office of 
                any judge appointed to hold office during good 
                behavior.
                    ``(B) Magistrate and bankruptcy judges.--Any 
                removal of a magistrate judge under this subsection 
                shall be in accordance with section 631 and any removal 
                of a bankruptcy judge shall be in accordance with 
                section 152.
            ``(4) Notice of action to judge.--The judicial council 
        shall immediately provide written notice to the complainant and 
        to the judge whose conduct is the subject of the complaint of 
        the action taken under this subsection.
    ``(b) Referral to Judicial Conference.--
            ``(1) In general.--In addition to the authority granted 
        under subsection (a), the judicial council may, in its 
        discretion, refer any complaint under section 351, together 
        with the record of any associated proceedings and its 
        recommendations for appropriate action, to the Judicial 
        Conference of the United States.
            ``(2) Special circumstances.--In any case in which the 
        judicial council determines, on the basis of a complaint and an 
        investigation under this chapter, or on the basis of 
        information otherwise available to the judicial council, that a 
        judge appointed to hold office during good behavior may have 
        engaged in conduct--
                    ``(A) which might constitute one or more grounds 
                for impeachment under article II of the Constitution, 
                or
                    ``(B) which, in the interest of justice, is not 
                amenable to resolution by the judicial council,
        the judicial council shall promptly certify such determination, 
        together with any complaint and a record of any associated 
        proceedings, to the Judicial Conference of the United States.
            ``(3) Notice to complainant and judge.--A judicial council 
        acting under authority of this subsection shall, unless 
        contrary to the interests of justice, immediately submit 
        written notice to the complainant and to the judge whose 
        conduct is the subject of the action taken under this 
        subsection.

``Sec. 355. Action by Judicial Conference

    ``(a) In General.--Upon referral or certification of any matter 
under section 354(b), the Judicial Conference, after consideration of 
the prior proceedings and such additional investigation as it considers 
appropriate, shall by majority vote take such action, as described in 
section 354(a)(1)(C) and (2), as it considers appropriate.
    ``(b) If Impeachment Warranted.--
            ``(1) In general.--If the Judicial Conference concurs in 
        the determination of the judicial council, or makes its own 
        determination, that consideration of impeachment may be 
        warranted, it shall so certify and transmit the determination 
        and the record of proceedings to the House of Representatives 
        for whatever action the House of Representatives considers to 
        be necessary. Upon receipt of the determination and record of 
        proceedings in the House of Representatives, the Clerk of the 
        House of Representatives shall make available to the public the 
        determination and any reasons for the determination.
            ``(2) In case of felony conviction.--If a judge has been 
        convicted of a felony under State or Federal law and has 
        exhausted all means of obtaining direct review of the 
        conviction, or the time for seeking further direct review of 
        the conviction has passed and no such review has been sought, 
        the Judicial Conference may, by majority vote and without 
        referral or certification under section 354(b), transmit to the 
        House of Representatives a determination that consideration of 
        impeachment may be warranted, together with appropriate court 
        records, for whatever action the House of Representatives 
        considers to be necessary.

``Sec. 356. Subpoena power

    ``(a) Judicial Councils and Special Committees.--In conducting any 
investigation under this chapter, the judicial council, or a special 
committee appointed under section 353, shall have full subpoena powers 
as provided in section 332(d).
    ``(b) Judicial Conference and Standing Committees.--In conducting 
any investigation under this chapter, the Judicial Conference, or a 
standing committee appointed by the Chief Justice under section 331, 
shall have full subpoena powers as provided in that section.

``Sec. 357. Review of orders and actions

    ``(a) Review of Action of Judicial Council.--A complainant or judge 
aggrieved by an action of the judicial council under section 354 may 
petition the Judicial Conference of the United States for review 
thereof.
    ``(b) Action of Judicial Conference.--The Judicial Conference, or 
the standing committee established under section 331, may grant a 
petition filed by a complainant or judge under subsection (a).
    ``(c) No Judicial Review.--Except as expressly provided in this 
section and section 352(c), all orders and determinations, including 
denials of petitions for review, shall be final and conclusive and 
shall not be judicially reviewable on appeal or otherwise.

``Sec. 358. Rules

    ``(a) In General.--Each judicial council and the Judicial 
Conference may prescribe such rules for the conduct of proceedings 
under this chapter, including the processing of petitions for review, 
as each considers to be appropriate.
    ``(b) Required Provisions.--Rules prescribed under subsection (a) 
shall contain provisions requiring that--
            ``(1) adequate prior notice of any investigation be given 
        in writing to the judge whose conduct is the subject of a 
        complaint under this chapter;
            ``(2) the judge whose conduct is the subject of a complaint 
        under this chapter be afforded an opportunity to appear (in 
        person or by counsel) at proceedings conducted by the 
        investigating panel, to present oral and documentary evidence, 
        to compel the attendance of witnesses or the production of 
        documents, to cross-examine witnesses, and to present argument 
        orally or in writing; and
            ``(3) the complainant be afforded an opportunity to appear 
        at proceedings conducted by the investigating panel, if the 
        panel concludes that the complainant could offer substantial 
        information.
    ``(c) Procedures.--Any rule prescribed under this section shall be 
made or amended only after giving appropriate public notice and an 
opportunity for comment. Any such rule shall be a matter of public 
record, and any such rule promulgated by a judicial council may be 
modified by the Judicial Conference. No rule promulgated under this 
section may limit the period of time within which a person may file a 
complaint under this chapter.

``Sec. 359. Restrictions

    ``(a) Restriction on Individuals Who Are Subject of 
Investigation.--No judge whose conduct is the subject of an 
investigation under this chapter shall serve upon a special committee 
appointed under section 353, upon a judicial council, upon the Judicial 
Conference, or upon the standing committee established under section 
331, until all proceedings under this chapter relating to such 
investigation have been finally terminated.
    ``(b) Amicus Curiae.--No person shall be granted the right to 
intervene or to appear as amicus curiae in any proceeding before a 
judicial council or the Judicial Conference under this chapter.

``Sec. 360. Disclosure of information

    ``(a) Confidentiality of Proceedings.--Except as provided in 
section 355, all papers, documents, and records of proceedings related 
to investigations conducted under this chapter shall be confidential 
and shall not be disclosed by any person in any proceeding except to 
the extent that--
            ``(1) the judicial council of the circuit in its discretion 
        releases a copy of a report of a special committee under 
        section 353(c) to the complainant whose complaint initiated the 
        investigation by that special committee and to the judge whose 
        conduct is the subject of the complaint;
            ``(2) the judicial council of the circuit, the Judicial 
        Conference of the United States, or the Senate or the House of 
        Representatives by resolution, releases any such material which 
        is believed necessary to an impeachment investigation or trial 
        of a judge under article I of the Constitution; or
            ``(3) such disclosure is authorized in writing by the judge 
        who is the subject of the complaint and by the chief judge of 
        the circuit, the Chief Justice, or the chairman of the standing 
        committee established under section 331.
    ``(b) Public Availability of Written Orders.--Each written order to 
implement any action under section 354(a)(1)(C), which is issued by a 
judicial council, the Judicial Conference, or the standing committee 
established under section 331, shall be made available to the public 
through the appropriate clerk's office of the court of appeals for the 
circuit. Unless contrary to the interests of justice, each such order 
shall be accompanied by written reasons therefor.

``Sec. 361. Reimbursement of expenses

    ``Upon the request of a judge whose conduct is the subject of a 
complaint under this chapter, the judicial council may, if the 
complaint has been finally dismissed under section 354(a)(1)(B), 
recommend that the Director of the Administrative Office of the United 
States Courts award reimbursement, from funds appropriated to the 
Federal judiciary, for those reasonable expenses, including attorneys' 
fees, incurred by that judge during the investigation which would not 
have been incurred but for the requirements of this chapter.

``Sec. 362. Other provisions and rules not affected

    ``Except as expressly provided in this chapter, nothing in this 
chapter shall be construed to affect any other provision of this title, 
the Federal Rules of Civil Procedure, the Federal Rules of Criminal 
Procedure, the Federal Rules of Appellate Procedure, or the Federal 
Rules of Evidence.

``Sec. 363. Court of Federal Claims, Court of International Trade, 
                    Court of Appeals for the Federal Circuit

    ``The United States Court of Federal Claims, the Court of 
International Trade, and the Court of Appeals for the Federal Circuit 
shall each prescribe rules, consistent with the provisions of this 
chapter, establishing procedures for the filing of complaints with 
respect to the conduct of any judge of such court and for the 
investigation and resolution of such complaints. In investigating and 
taking action with respect to any such complaint, each such court shall 
have the powers granted to a judicial council under this chapter.

``Sec. 364. Effect of felony conviction

    ``In the case of any judge or judge of a court referred to in 
section 363 who is convicted of a felony under State or Federal law and 
has exhausted all means of obtaining direct review of the conviction, 
or the time for seeking further direct review of the conviction has 
passed and no such review has been sought, that judge shall not hear 
cases unless the judicial council of the circuit (or, in the case of a 
judge of a court referred to in section 363, that court) determines 
otherwise.''.
    (b) Conforming Amendment.--The table of chapters for part I of 
title 28, United States Code, is amended by inserting after the item 
relating to chapter 15 the following new item:

``16. Complaints against judges and judicial discipline.....     351''.

SEC. 3. TECHNICAL AMENDMENTS.

    (a) Retirement for Disability.--(1) Section 372 of title 28, United 
States Code, is amended--
            (A) in the section caption by striking ``; judicial 
        discipline''; and
            (B) by striking subsection (c).
    (2) The item relating to section 372 in the table of sections for 
chapter 17 of title 28, United States Code, is amended by striking ``; 
judicial discipline''.
    (b) Judicial Conference.--Section 331 of title 28, United States 
Code, is amended in the fourth undesignated paragraph by striking 
``section 372(c)'' each place it appears and inserting ``chapter 16''.
    (c) Judicial Councils.--Section 332 of title 28, United States 
Code, is amended--
            (1) in subsection (d)(2)--
                    (A) by striking ``section 372(c) of this title'' 
                and inserting ``chapter 16 of this title''; and
                    (B) by striking ``372(c)(4)'' and inserting 
                ``353''; and
            (2) by striking the second subsection designated as 
        subsection (h).
    (d) Recall of Bankruptcy Judges and Magistrate Judges.--Section 
375(d) of title 28, United States Code, is amended by striking 
``section 372(c)'' and inserting ``chapter 16''.
    (e) Director of the Administrative Office of the United States 
Courts.--Section 604 of title 28, United States Code, is amended--
            (1) in subsection (a)(20)--
                    (A) in subparagraph (B), by striking ``372(c)(11)'' 
                and inserting ``358''; and
                    (B) in subparagraph (C), by striking ``372(c)(15)'' 
                and inserting ``360(b)''; and
            (2) in subsection (h)--
                    (A) in paragraph (1), by striking ``section 372'' 
                each place it appears and inserting ``chapter 16''; and
                    (B) in paragraph (2), by striking ``section 
                372(c)'' and inserting ``chapter 16''.
    (f) Court of Appeals for Veterans Claims.--Section 7253(g) of title 
38, United States Code, is amended--
            (1) in paragraph (1)--
                    (A) by striking ``section 372(c)'' and inserting 
                ``chapter 16''; and
                    (B) by striking ``such section'' and inserting 
                ``such chapter'';
            (2) in paragraph (2)--
                    (A) in the first sentence, by striking ``paragraphs 
                (7) through (15) of section 372(c)'' and inserting 
                ``sections 354(b) through 360''; and
                    (B) in the second sentence, by striking ``paragraph 
                (7) or (8) of section 372(c)'' and inserting ``section 
                354(b) or 355''; and
            (3) in paragraph (3)(B), by striking ``372(c)(16)'' and 
        inserting ``361''.

                          Purpose and Summary

    The purpose of H.R. 3892, the ``Judicial Improvements Act 
of 2002,'' is to reorganize and clarify the existing statutory 
mechanism that allows individuals to file complaints against 
Article III judges. These reforms will offer more guidance to 
circuit chief judges when evaluating individual complaints, 
while providing individuals with more insight as to the 
disposition of their cases. The overall reorganization will 
make the process of learning about and filing a complaint more 
user-friendly.

                Background and Need for the Legislation

    The statutory mechanism by which citizens may register 
complaints against sitting Federal judges is the ``Judicial 
Councils Reform and Judicial Conduct and Disability Act of 
1980'' (the ``Act'' or the ``1980 Act'').\1\ One of the 
contributors to the development and implementation of the Act 
observed that
---------------------------------------------------------------------------
    \1\ 28 U.S.C. Sec. 372(c).

        [it] was the product of extensive dialogues between the 
        legislative and judicial branches of government. 
        Congress made it . . . evident to the judiciary that 
        there be in place a formal and credible supplement to 
        the impeachment process for resolving complaints of 
        misconduct or disability brought against Federal 
        judges, while the judiciary revealed to Congress its 
        concern that any such system not prove to be a cure 
        worse than the disease. . . . The 1980 Act recognized 
        that judicial independence and public accountability 
        are not mutually exclusive. [It] satisfied the 
        constitutional parameters by asking the judiciary to 
        self-regulate and by reserving removal authority to the 
        House and Senate. The Act establishes procedures and 
        mechanisms within the judicial branch to consider and 
        respond to complaints against judges. Most complaints 
        are handled initially by the chief judges of the 
        circuits and then by the judicial councils of the 
        circuits, but when impeachable offenses are identified, 
        the councils and the Judicial Conference are empowered 
        to refer the matter directly to the Congress.\2\
---------------------------------------------------------------------------
    \2\ Operations of Federal Judicial Misconduct Statutes: Hearings 
Before the Subcomm. On Courts, the Internet, and Intellectual Property 
of the House Comm. on the Judiciary, 107th Cong., 1st Sess. 
[hereinafter ``Subcommittee Hearing''] 56, 58 (testimony of Michael J. 
Remington).

    The Act and its self-regulatory construct, for the most 
part, have been generally well-received over the past 22 years 
by Congress, the Judiciary, and legal critics. At the same 
time, and not surprisingly, it has also inspired a body of 
scholarly critique and evaluation \3\ which has identified 
select provisions within the statute that could be improved 
upon to ensure that legitimate complaints are more thoroughly 
evaluated without diminishing the independence of the 
Judiciary.
---------------------------------------------------------------------------
    \3\ See Report of the National Commission on Judicial Discipline 
and Removal (August 1993), and Jeffrey N. Barr & Thomas E. Willgang, 
Decentralized Self-Regulation, Accountability, and Judicial 
Independence Under the Federal Judicial Conduct and Disability of 1980, 
142 U. Pa. L. Rev. (1993).
---------------------------------------------------------------------------
    Given that Congress has not thoroughly evaluated the 
operations of the Act in more than a decade, and mindful of its 
oversight responsibilities under House rules and the U.S. 
Constitution, the Subcommittee on Courts, the Internet, and 
Intellectual Property conducted a November 29, 2001, hearing on 
the judicial misconduct statutes. In the wake of the hearing 
and based on testimony \4\ received at that time, the Committee 
now finds that the following provisions within the Act should 
be revised:
---------------------------------------------------------------------------
    \4\ See especially Subcommittee Hearing 39-52 (testimony of Arthur 
D. Hellman, Professor of Law and Distinguished Faculty Scholar, 
University of Pittsburgh School of Law).

        1. LThe Act should be reorganized as a separate chapter 
        within title 28 of the U.S. Code so as to publicize its 
---------------------------------------------------------------------------
        existence and to facilitate its use.

        2. LThe power of a circuit chief judge to conduct a 
        ``limited inquiry'' should be defined more clearly, 
        both for the benefit of the chief judge in articulating 
        reasons for disposing of a case and for a complainant 
        who wishes to understand such a disposition.

        3. LThe concept of dismissing a case for 
        ``frivolousness'' should be expanded upon for the same 
        reason.

        4. LA judicial council should be given the explicit 
        authority to refer a complaint to a five-member panel 
        for greater scrutiny.

    In sum, the Committee finds that the Act functions well but 
could function better. These changes, if implemented pursuant 
to enactment of H.R. 3892, will respond to the needs of chief 
judges, judicial councils, and the Judicial Conference in 
understanding their obligations under the Act. This legislation 
also addresses the concerns of complainants and the American 
public who must have confidence that the application of the Act 
is premised on fairness and accessibility.

                                Hearings

    The Subcommittee on Courts, the Internet, and Intellectual 
Property conducted an oversight hearing on the Operation of 
Federal Judicial Misconduct Statutes \5\ and Recusal Statutes 
on November 29, 2001. Four witnesses testified at the hearing: 
Michael J. Remington, a private attorney who worked for the 
1993 National Commission on Judicial Discipline and Removal; 
Arthur Hellman, Professor at the University of Pittsburgh 
School of Law; Douglas T. Kendall, Executive Director of 
Community Rights Counsel, a citizens advocacy group; and Judge 
William L. Osteen, U.S. district judge for the middle district 
of North Carolina.
---------------------------------------------------------------------------
    \5\ 28 U.S.C. Sec. 372(c).
---------------------------------------------------------------------------

                        Committee Consideration

    On March 20, 2002, the Subcommittee on Courts, the 
Internet, and Intellectual Property met in open session and 
ordered favorably reported the bill H.R. 3892 with a single 
amendment in the nature of a substitute, by voice vote, a 
quorum being present. On April 24, 2002, the Committee met in 
open session and ordered favorably reported the bill H.R. 3892 
with a single amendment in the nature of a substitute, a quorum 
being present.

                         Vote of the Committee

    There were no recorded votes on H.R. 3892.

                      Committee Oversight Findings

    In compliance with clause 3(c)(1) of rule XIII of the Rules 
of the House of Representatives, the Committee reports that the 
findings and recommendations of the Committee, based on 
oversight activities under clause 2(b)(1) of rule X of the 
Rules of the House of Representatives, are incorporated in the 
descriptive portions of this report.

                    Performance Goals and Objectives

    The general consensus among Members of the Subcommittee and 
the witnesses who testified at the oversight hearing on the 
operations of the judicial misconduct statutes is that the 
Federal judiciary is held in high esteem by Congress and the 
American public. In proposing a basic reorganization of and 
other amendments to 28 U.S.C. Sec. 372(c), the Committee 
believes that the Federal Judiciary will be better positioned 
to accomplish two primary goals or objectives.
    First, the responsibilities of a chief judge in evaluating 
the merits of a complaint will be more clearly defined, 
especially when a decision is made to dismiss a complaint. In 
conjunction with new statutory authority for a judicial council 
to refer a complaint to a five-member panel, the Federal 
Judiciary will be empowered to make dispositive decisions that 
are more fully informed and articulated. This will not only 
assist a chief judge or judicial council with their 
responsibilities, but will also enable a complainant to 
understand more fully the reasoning behind the disposition of a 
petition. The goal, therefore, is to instill greater public 
confidence in this self-regulatory system by enabling judges to 
offer greater explicitness in rendering decisions.
    Second, the basic reorganization of 28 U.S.C. Sec. 372(c)--
by codifying it as a new chapter in title 28 of the Code--not 
only elevates the statute to a more deserved and appropriate 
level of importance, it spotlights its very existence. If for 
no other reason, this change will assist the Congress and the 
Federal Judiciary in attaining a second goal or objective: to 
publicize the existence of a statutory mechanism that allows 
individuals to register and pursue meritorious complaints 
against sitting judges. This is a highly worthwhile goal, 
because it evinces a willingness on the part of the judiciary 
to develop an even more open and honest relationship with the 
public, thereby enhancing public regard for Federal judges in 
their professional capacities as public servants.
    The Committee also notes that the Chairman of the 
Subcommittee on Courts, the Internet, and Intellectual 
Property, Representative Coble, and the Ranking Subcommittee 
Member, Representative Berman, sent a letter to the Chief 
Justice \7\ regarding additional reforms that the Judicial 
Conference might wish to pursue in its efforts to increase 
public confidence in the ethical stature of its members. These 
suggestions include the development of links to the rules and 
forms governing judicial complaint procedures on every Federal 
court's web site; the posting of ``conflict lists'' on these 
same web sites for recusal purposes; and renewing a commitment 
to the timely and thorough filing of financial disclosure 
forms. These reforms will help the Judiciary to meet the goals 
or objectives previously mentioned.
---------------------------------------------------------------------------
    \7\ Letter from the Honorable Howard Coble, Chairman, and the 
Honorable Howard L. Berman, Ranking Member, the Subcommittee on Courts, 
the Internet, and Intellectual Property of the House Committee on the 
Judiciary [hereinafter ``Chairman Coble and Ranking Member Berman''], 
to the Honorable William H. Rehnquist, Chief Justice, United States 
Supreme Court (February 27, 2002). (Reprinted on page 16).
---------------------------------------------------------------------------
    Finally, Chairman Coble and Ranking Member Berman have 
written to the Federal Judicial Center,\8\ requesting an update 
on the disposition of cases under the Act. It is hoped that the 
information provided by the Center will help the Committee to 
understand if the relevant dispositions lack sufficient 
explanation as to their outcome, and what percentage of the 
dispositions are directly related to the merits of a decision 
or procedural ruling. The Center's response will better inform 
the Committee's understanding of the operation of the Act and 
the Judiciary as to its obligations under it.
---------------------------------------------------------------------------
    \8\ Letter from Chairman Coble and Ranking Member Berman to the 
Honorable Fern M. Smith, Director, the Federal Judicial Center (January 
29, 2002). (Reprinted on page 19).
---------------------------------------------------------------------------

               New Budget Authority and Tax Expenditures

    Clause 3(c)(2) of House rule XIII is inapplicable because 
this legislation does not provide new budgetary authority or 
increased tax expenditures.

               Congressional Budget Office Cost Estimate

    In compliance with clause 3(c)(3) of rule XIII of the Rules 
of the House of Representatives, the Committee sets forth, with 
respect to the bill, H.R. 3892, the following estimate and 
comparison prepared by the Director of the Congressional Budget 
Office under section 402 of the Congressional Budget Act of 
1974.

                                     U.S. Congress,
                               Congressional Budget Office,
                                       Washington, DC, May 7, 2002.
Hon. F. James Sensenbrenner, Jr., Chairman,
Committee on the Judiciary,
House of Representatives, Washington, DC.
    Dear Mr. Chairman: The Congressional Budget Office has 
prepared the enclosed cost estimate for H.R. 3892, the Judicial 
Improvements Act of 2002.
    If you wish further details on this estimate, we will be 
pleased to provide them. The CBO staff contact is Lanette J. 
Walker, who can be reached at 226-2860.
            Sincerely,
                                  Dan L. Crippen, Director.

Enclosure

cc:
        Honorable John Conyers, Jr.
        Ranking Member
H.R. 3892--Judicial Improvements Act of 2002.
    H.R. 3892 would establish a new chapter in the Federal 
judicial code regarding complaints against judges and 
disciplinary procedures. Based on information from the 
Administrative Office of the United States Courts, CBO 
estimates that enacting the bill would have no impact on the 
budget of the courts because similar procedures are followed 
under current law. Because enacting H.R. 3892 would not affect 
direct spending or receipts, pay-as-you- go procedures would 
not apply to the bill.
    H.R. 3892 contains no intergovernmental or private-sector 
mandates as defined in the Unfunded Mandates Reform Act and 
would impose no costs on State, local, or tribal governments.
    The CBO staff contact for this estimate is Lanette J. 
Walker, who can be reached at 226-2860. This estimate was 
approved by Peter H. Fontaine, Deputy Assistant Director for 
Budget Analysis.

                   Constitutional Authority Statement

    Pursuant to clause 3(d)(1) of rule XIII of the Rules of the 
House of Representatives, the Committee finds the authority for 
this legislation in article III, section 1 of the Constitution.

               Section-by-Section Analysis and Discussion

    Section 1. Short Title. The short title of H.R. 3892 is the 
``Judicial Improvements Act of 2002.''
    Section 2. Judicial Discipline Procedures. Section 2 
reorganizes the current ``Judicial Conduct and Disability Act 
of 1980'' by creating a new chapter (16) in Part 1 of title 28 
to address the issue of judicial complaints and misconduct. 
Given the importance of providing citizens a mechanism by which 
they may question judicial conduct, the statute should not be 
buried in a subsection of the code. The reorganization is 
easier to follow and easier to find. (The November 29, 2001, 
hearing on the matter revealed that judicial complaint 
procedures are under-publicized, to the public detriment.) 
Changes to the text of the current statute are, for the most 
part, few in number, and either clarifying or technical in 
nature.
    More specifically, section 2 creates the following new 
sections of new chapter 16 of title 28 of the U.S. Code:
    New Section 351. Complaints; judges defined. Any person who 
believes a judge has indulged in conduct ``prejudicial'' to the 
business of the courts, or who alleges that a judge cannot 
discharge the duties of office based on a mental or physical 
disability, may file a written complaint with the clerk of 
court for the circuit in which the judge presides. The clerk 
then transfers the complaint to the chief judge of the circuit 
for disposition, or if the chief judge is the subject of the 
complaint, to the circuit judge next most senior.
    Circuit, district, bankruptcy, and magistrate judges are 
explicitly covered by the statute.
    This new section clarifies that bankruptcy judges are 
covered, consistent with original intent of current statute.
    New Section 352. Review of complaint by chief judge. The 
chief judge shall review a complaint upon receipt, and may 
conduct a ``limited inquiry'' to determine: (1) whether 
``appropriate corrective action'' has been taken or may be 
taken, thereby obviating the need for a formal investigation; 
and (2) whether the facts stated in the complaint are plainly 
untrue or are incapable of being established through 
investigation.
    The chief judge is empowered to request a written response 
from the judge who is the subject of the complaint, and also to 
communicate with the complainant and anyone else who has 
knowledge of the matter. The chief judge may not undertake fact 
findings about any matter that is ``reasonably in dispute.''
    The chief judge may dismiss a complaint, by written order 
stating the reasons why, if the complaint is filed inconsistent 
with the requirements of new Sec. 351; is directly related to 
the merits of a decision or ruling; or is frivolous, lacks 
sufficient evidence to raise an inference that misconduct has 
occurred, or contains allegations which are incapable of being 
established through investigation. In addition, the chief judge 
may dismiss a complaint when a limited inquiry demonstrates 
that the allegations ``lack any factual foundation or are 
conclusively refuted by objective evidence.'' The proceeding 
may also be concluded if the chief judge believes that 
appropriate corrective action has been taken or that further 
action is unwarranted because of ``intervening events.''
    A complainant who disagrees with a chief judge's final 
order under new Sec. 352 may petition a judicial council within 
that circuit for review. A decision by a judicial council to 
deny review is final and may not be reviewed or appealed 
further. A judicial council which elects to review a petition 
may refer it to a panel of no fewer than five members, at least 
two of whom must be district judges.
    The power of a chief judge to conduct a ``limited inquiry'' 
pursuant to these changes is consistent with the views of the 
National Commission on Judicial Discipline and Removal, the 
circuits, and the Judicial Conference. Such power should be 
defined more clearly and not left to implication from other 
sources, as is the case in the current statute. The expansion 
of the concept of a complaint dismissed for frivolousness 
tracks recommendations set forth in the Illustrative Rules 
Governing Judicial Misconduct and Disability, developed by the 
Judicial Conference, and those offered by the Federal Judicial 
Center. This offers greater guidance to the chief judge and 
will better inform a complainant in the event of a dismissal. 
Finally, permitting a judicial council to refer a petition to a 
panel of at least five members for review creates flexibility 
and enhances the likelihood that the petition will receive 
greater scrutiny and process.
    New Section 353. Special committees. If the complaint is 
not dismissed under new Sec. 352, the chief judge shall appoint 
himself/herself and an equal number of district and circuit 
judges to a ``special committee'' to investigate the facts and 
allegations contained in the complaint. Notice is given to the 
complainant and affected judge.
    The Committee is empowered to conduct an investigation as 
extensive as it considers necessary, and must expeditiously 
file a comprehensive written report--containing findings and 
recommendations for action--with the judicial council of the 
circuit.
    There is no change to current law beyond reorganization in 
new Sec. 353.
    New Section 354. Action by judicial council. Upon receipt 
of a report, a judicial council may conduct a further 
investigation; dismiss the complaint; or, failing dismissal, 
take such action as is ``appropriate.''
    Possible courses of action if a complaint is not dismissed 
include: ordering, on a temporary basis, that the affected 
judge may no longer be assigned cases; privately censuring/
reprimanding the judge; or publicly censuring/reprimanding the 
judge.
    In any case involving an Article III judge who cannot 
discharge his/her responsibilities based on a permanent mental 
or physical disability, a judicial council may certify the 
disability pursuant to 28 U.S.C. Sec. 372(b) and request that 
the judge voluntarily retire.
    In the case of a magistrate judge, a judicial council may 
direct the chief judge of the district of the magistrate judge 
to take such action as the judicial council deems appropriate.
    A judicial council may not order the removal of any Article 
III judge, and removals of magistrate or bankruptcy judges must 
be done in conformity with other provisions in title 28.
    A judicial council is further empowered, in its discretion, 
to share a complaint and related findings, or other information 
otherwise available to the judicial council, with the Judicial 
Conference. A judicial council must share any information which 
suggests that a judge has committed an impeachable offense, or 
has indulged in behavior that ``is not amenable to resolution'' 
by the judicial council.
    There is no change to current law beyond reorganization in 
new Sec. 354.
    New Section 355. Action by Judicial Conference. New 
Sec. 355 empowers the Judicial Conference, after reviewing the 
information forwarded by a judicial council pursuant to new 
Sec. 354, to take appropriate action by majority vote. The 
Conference is required to submit any recommendation of 
impeachment to the House of Representatives, including a 
recommendation based on State or Federal felony conviction of a 
judge.
    In this section, the reference to ``felony'' in the current 
statute is clarified with the substituted ``felony under State 
or Federal law'' in new chapter 16. This dovetails with the 
treatment of felony convictions in new Sec. 364. Otherwise, 
there is no other change to existing law.
    New Section 356. Subpoena power. New Sec. 356 confers full 
subpoena power on judicial councils, special committees, the 
Judicial Conference, and any standing committees appointed by 
the Chief Justice which are conducting investigations related 
to judicial misconduct under this chapter.
    There is no change to current law beyond reorganization in 
new Sec. 356.
    New Section 357. Review of orders and actions. An aggrieved 
judge may petition the Judicial Conference to review the action 
of a judicial council taken pursuant to new Sec. 354. Except as 
otherwise permitted under this section or new Sec. 352, all 
orders and determinations are final and not subject to review.
    There is no change to current law beyond reorganization in 
new Sec. 357.
    New Section 358. Rules. New Sec. 358 authorizes each 
judicial council and the Judicial Conference to prescribe rules 
for the conduct of proceedings in an investigation. Minimum 
standards governing notice and process for the complainant and 
affected judge are included. Rules may not be amended in the 
absence of public notice and comment; and the Judicial 
Conference may modify the rules developed by a judicial 
council.
    There is no change to current law beyond reorganization in 
new Sec. 358.
    New Section 359. Restrictions. No judge who is the subject 
of an investigation may serve upon a special committee, 
judicial council, Judicial Conference, or standing committee 
until ``all related proceedings'' of an investigation under new 
chapter 16 are complete.
    There is no change to current law beyond reorganization in 
new Sec. 359.
    New Section 360. Disclosure of Information. Unless 
otherwise provided in new chapter 16, all papers, documents, 
and records of an investigation are confidential and may not be 
disclosed, subject to three exceptions: (1) a judicial council 
elects to release a report developed by a special committee to 
the complainant and the affected judge; (2) the judicial 
council, Judicial Conference, or the Senate or House of 
Representatives by resolution releases information related to 
an impeachment investigation; or (3) the affected judge, and 
either the chief judge of the circuit, the Chief Justice, or 
the chairman of a standing committee authorize in writing their 
joint desire to disclose information.
    Each written order to implement any action which is issued 
by a judicial council, the Judicial Conference, or a standing 
committee shall be made available to the appropriate clerk of 
court's office. Unless contrary to the interests of justice, 
each order shall be accompanied by written reasons explaining 
the decision.
    There is no change to current law beyond reorganization in 
new Sec. 360.
    New Section 361. Reimbursement of expenses. An affected 
judge may request that he/she be reimbursed through the 
Administrative Office of the Courts for reasonable expenses 
incurred in the course of an investigation when a complaint is 
dismissed.
    There is no change to current law beyond reorganization in 
new Sec. 361.
    New Section 362. Other provisions and rules not affected. 
Except as expressly provided in new chapter 16, the legislation 
does not affect the Federal Rules of Procedure, Evidence, 
Criminal Procedure, or Appellate Procedure.
    There is no change to current law beyond reorganization in 
new Sec. 362.
    New Section 363. Court of Federal Claims, Court of 
International Trade, Court of Appeals for the Federal Circuit. 
The Court of Federal Claims, Court of International Trade, and 
Court of Appeals for the Federal Circuit shall establish 
procedures for the filing of complaints regarding the conduct 
of any judge of such court and for the investigation and 
resolution of complaints. Each of these courts will have the 
same powers granted to judicial councils under new chapter 16.
    There is no change to current law beyond reorganization in 
new Sec. 363.
    New Section 364. Effect of felony conviction. If a judge 
under new chapter 16 is convicted of a State or Federal felony, 
and has exhausted all means of direct review of the conviction, 
or the time for obtaining such review has passed, that judge 
may not hear cases unless the relevant judicial council (or the 
court of a judge as set forth in new Sec. 363) determines 
otherwise.
    New Sec. 364 implements a recommendation developed by the 
1993 National Commission on Judicial Discipline and Removal. 
There is no other change beyond reorganization in new Sec. 364.
    Section 3. Technical Amendments. Section 3 makes technical 
and conforming amendments to the relevant provisions of the 
U.S. Code based on the content of sections 1 and 2.



         Changes in Existing Law Made by the Bill, as Reported

    In compliance with clause 3(e) of rule XIII of the Rules of 
the House of Representatives, changes in existing law made by 
the bill, as reported, are shown as follows (existing law 
proposed to be omitted is enclosed in black brackets, new 
matter is printed in italics, existing law in which no change 
is proposed is shown in roman):

                      TITLE 28, UNITED STATES CODE



           *       *       *       *       *       *       *
                     PART I--ORGANIZATION OF COURTS

Chapter                                                             Sec.
1.   Supreme Court................................................     1
     * * * * * * *
351 Complaints against judges and judicial discipline...........

           *       *       *       *       *       *       *


            CHAPTER 15--CONFERENCES AND COUNCILS OF JUDGES

           *       *       *       *       *       *       *


Sec. 331. Judicial Conference of the United States

    The Chief Justice of the United States shall summon 
annually the chief judge of each judicial circuit, the chief 
judge of the Court of International Trade, and a district judge 
from each judicial circuit to a conference at such time and 
place in the United States as he may designate. He shall 
preside at such conference which shall be known as the Judicial 
Conference of the United States. Special sessions of the 
Conference may be called by the Chief Justice at such times and 
places as he may designate.
    The district judge to be summoned from each judicial 
circuit shall be chosen by the circuit and district judges of 
the circuit and shall serve as a member of the Judicial 
Conference of the United States for a term of not less than 3 
successive years nor more than 5 successive years, as 
established by majority vote of all circuit and district judges 
of the circuit. A district judge serving as a member of the 
Judicial Conference may be either a judge in regular active 
service or a judge retired from regular active service under 
section 371(b) of this title.
    If the chief judge of any circuit, the chief judge of the 
Court of International Trade, or the district judge chosen by 
the judges of the circuit is unable to attend, the Chief 
Justice may summon any other circuit or district judge from 
such circuit or any other judge of the Court of International 
Trade, as the case may be. Every judge summoned shall attend 
and, unless excused by the Chief Justice, shall remain 
throughout the sessions of the conference and advise as to the 
needs of his circuit or court and as to any matters in respect 
of which the administration of justice in the courts of the 
United States may be improved.
    The Conference shall make a comprehensive survey of the 
condition of business in the courts of the United States and 
prepare plans for assignment of judges to or from circuits or 
districts where necessary. It shall also submit suggestions and 
recommendations to the various courts to promote uniformity of 
management procedures and the expeditious conduct of court 
business. The Conference is authorized to exercise the 
authority provided in [section 372(c)] chapter 16 of this title 
as the Conference, or through a standing committee. If the 
Conference elects to establish a standing committee, it shall 
be appointed by the Chief Justice and all petitions for review 
shall be reviewed by that committee. The Conference or the 
standing committee may hold hearings, take sworn testimony, 
issue subpoenas and subpoenas duces tecum, and make necessary 
and appropriate orders in the exercise of its authority. 
Subpoenas and subpoenas duces tecum shall be issued by the 
clerk of the Supreme Court or by the clerk of any court of 
appeals, at the direction of the Chief Justice or his designee 
and under the seal of the court, and shall be served in the 
manner provided in rule 45(c) of the Federal Rules of Civil 
Procedure for subpoenas and subpoenas duces tecum issued on 
behalf of the United States or an officer or any agency 
thereof. The Conference may also prescribe and modify rules for 
the exercise of the authority provided in [section 372(c)] 
chapter 16 of this title. All judicial officers and employees 
of the United States shall promptly carry into effect all 
orders of the Judicial Conference or the standing committee 
established pursuant to this section.
    The Conference shall also carry on a continuous study of 
the operation and effect of the general rules of practice and 
procedure now or hereafter in use as prescribed by the Supreme 
Court for the other courts of the United States pursuant to 
law. Such changes in and additions to those rules as the 
Conference may deem desirable to promote simplicity in 
procedure, fairness in administration, the just determination 
of litigation, and the elimination of unjustifiable expense and 
delay shall be recommended by the Conference from time to time 
to the Supreme Court for its consideration and adoption, 
modification or rejection, in accordance with law.
    The Judicial Conference shall review rules prescribed under 
section 2071 of this title by the courts, other than the 
Supreme Court and the district courts, for consistency with 
Federal law. The Judicial Conference may modify or abrogate any 
such rule so reviewed found inconsistent in the course of such 
a review.
    The Attorney General shall, upon request of the Chief 
Justice, report to such Conference on matters relating to the 
business of the several courts of the United States, with 
particular reference to cases to which the United States is a 
party. The Chief Justice shall submit to Congress an annual 
report of the proceedings of the Judicial Conference and its 
recommendations for legislation.

Sec. 332. Judicial councils of circuits

    (a) * * *

           *       *       *       *       *       *       *

    (d)(1) * * *
    (2) All judicial officers and employees of the circuit 
shall promptly carry into effect all orders of the judicial 
council. In the case of failure to comply with an order made 
under this subsection or a subpoena issued under [section 
372(c) of this title] chapter 16 of this title, a judicial 
council or a special committee appointed under section 
[372(c)(4)] 353 of this title may institute a contempt 
proceeding in any district court in which the judicial officer 
or employee of the circuit who fails to comply with the order 
made under this subsection shall be ordered to show cause 
before the court why he or she should not be held in contempt 
of court.

           *       *       *       *       *       *       *

    [(h)(1) The United States Court of Appeals for the Federal 
Circuit may appoint a circuit executive, who shall serve at the 
pleasure of the court. In appointing a circuit executive, the 
court shall take into account experience in administrative and 
executive positions, familiarity with court procedures, and 
special training. The circuit executive shall exercise such 
administrative powers and perform such duties as may be 
delegated by the court. The duties delegated to the circuit 
executive may include but need not be limited to the duties 
specified in subsection (e) of this section, insofar as they 
are applicable to the Court of Appeals for the Federal Circuit.
    [(2) The circuit executive shall be paid the salary for 
circuit executives established under subsection (f ) of this 
section.
    [(3) The circuit executive may appoint, with the approval 
of the court, necessary employees in such number as may be 
approved by the Director of the Administrative Office of the 
United States Courts.
    [(4) The circuit executive and staff shall be deemed to be 
officers and employees of the United States within the meaning 
of the statutes specified in subsection (f )(4).
    [(5) The court may appoint either a circuit executive under 
this subsection or a clerk under section 711 of this title, but 
not both, or may appoint a combined circuit executive/clerk who 
shall be paid the salary of a circuit executive.]

           *       *       *       *       *       *       *


     CHAPTER 16--COMPLAINTS AGAINST JUDGES AND JUDICIAL DISCIPLINE

Sec.
351. Complaints; judge defined.
352. Review of complaint by chief judge.
353. Special committees.
354. Action by judicial council.
355. Action by Judicial Conference.
356. Subpoena power.
357. Review of orders and actions.
358. Rules.
359. Restrictions.
360. Disclosure of information.
361. Reimbursement of expenses.
362. Other provisions and rules not affected.
363. Court of Federal Claims, Court of International Trade, Court of 
          Appeals for the Federal Circuit.
364. Effect of felony conviction.

Sec. 351. Complaints; judge defined

    (a) Filing of Complaint by Any Person.--Any person alleging 
that a judge has engaged in conduct prejudicial to the 
effective and expeditious administration of the business of the 
courts, or alleging that such judge is unable to discharge all 
the duties of office by reason of mental or physical 
disability, may file with the clerk of the court of appeals for 
the circuit a written complaint containing a brief statement of 
the facts constituting such conduct.
    (b) Identifying Complaint by Chief Judge.--In the interests 
of the effective and expeditious administration of the business 
of the courts and on the basis of information available to the 
chief judge of the circuit, the chief judge may, by written 
order stating reasons therefor, identify a complaint for 
purposes of this chapter and thereby dispense with filing of a 
written complaint.
    (c) Transmittal of Complaint.--Upon receipt of a complaint 
filed under subsection (a), the clerk shall promptly transmit 
the complaint to the chief judge of the circuit, or, if the 
conduct complained of is that of the chief judge, to that 
circuit judge in regular active service next senior in date of 
commission (hereafter, for purposes of this chapter only, 
included in the term ``chief judge''). The clerk shall 
simultaneously transmit a copy of the complaint to the judge 
whose conduct is the subject of the complaint. The clerk shall 
also transmit a copy of any complaint identified under 
subsection (b) to the judge whose conduct is the subject of the 
complaint.
    (d) Definitions.--In this chapter--
            (1) the term ``judge'' means a circuit judge, 
        district judge, bankruptcy judge, or magistrate judge; 
        and
            (2) the term ``complainant'' means the person 
        filing a complaint under subsection (a) of this 
        section.

Sec. 352. Review of complaint by chief judge

    (a) Expeditious Review; Limited Inquiry.--The chief judge 
shall expeditiously review any complaint received under section 
351(a) or identified under section 351(b). In determining what 
action to take, the chief judge may conduct a limited inquiry 
for the purpose of determining--
            (1) whether appropriate corrective action has been 
        or can be taken without the necessity for a formal 
        investigation; and
            (2) whether the facts stated in the complaint are 
        either plainly untrue or are incapable of being 
        established through investigation.
For this purpose, the chief judge may request the judge whose 
conduct is complained of to file a written response to the 
complaint. Such response shall not be made available to the 
complainant unless authorized by the judge filing the response. 
The chief judge or his or her designee may also communicate 
orally or in writing with the complainant, the judge whose 
conduct is complained of, and any other person who may have 
knowledge of the matter, and may review any transcripts or 
other relevant documents. The chief judge shall not undertake 
to make findings of fact about any matter that is reasonably in 
dispute.
    (b) Action by Chief Judge Following Review.--After 
expeditiously reviewing a complaint under subsection (a), the 
chief judge, by written order stating his or her reasons, may--
            (1) dismiss the complaint--
                    (A) if the chief judge finds the complaint 
                to be--
                            (i) not in conformity with section 
                        351(a);
                            (ii) directly related to the merits 
                        of a decision or procedural ruling; or
                            (iii) frivolous, lacking sufficient 
                        evidence to raise an inference that 
                        misconduct has occurred, or containing 
                        allegations which are incapable of 
                        being established through 
                        investigation; or
                    (B) when a limited inquiry conducted under 
                subsection (a) demonstrates that the 
                allegations in the complaint lack any factual 
                foundation or are conclusively refuted by 
                objective evidence; or
            (2) conclude the proceeding if the chief judge 
        finds that appropriate corrective action has been taken 
        or that action on the complaint is no longer necessary 
        because of intervening events.
The chief judge shall transmit copies of the written order to 
the complainant and to the judge whose conduct is the subject 
of the complaint.
    (c) Review of Orders of Chief Judge.--A complainant or 
judge aggrieved by a final order of the chief judge under this 
section may petition the judicial council of the circuit for 
review thereof. The denial of a petition for review of the 
chief judge's order shall be final and conclusive and shall not 
be judicially reviewable on appeal or otherwise.
    (d) Referral of Petitions for Review to Panels of the 
Judicial Council.--Each judicial council may, pursuant to rules 
prescribed under section 358, refer a petition for review filed 
under subsection (c) to a panel of no fewer than 5 members of 
the council, at least 2 of whom shall be district judges.

Sec. 353. Special committees

    (a) Appointment.--If the chief judge does not enter an 
order under section 352(b), the chief judge shall promptly--
            (1) appoint himself or herself and equal numbers of 
        circuit and district judges of the circuit to a special 
        committee to investigate the facts and allegations 
        contained in the complaint;
            (2) certify the complaint and any other documents 
        pertaining thereto to each member of such committee; 
        and
            (3) provide written notice to the complainant and 
        the judge whose conduct is the subject of the complaint 
        of the action taken under this subsection.
    (b) Change in Status or Death of Judges.--A judge appointed 
to a special committee under subsection (a) may continue to 
serve on that committee after becoming a senior judge or, in 
the case of the chief judge of the circuit, after his or her 
term as chief judge terminates under subsection (a)(3) or (c) 
of section 45. If a judge appointed to a committee under 
subsection (a) dies, or retires from office under section 
371(a), while serving on the committee, the chief judge of the 
circuit may appoint another circuit or district judge, as the 
case may be, to the committee.
    (c) Investigation by Special Committee.--Each committee 
appointed under subsection (a) shall conduct an investigation 
as extensive as it considers necessary, and shall expeditiously 
file a comprehensive written report thereon with the judicial 
council of the circuit. Such report shall present both the 
findings of the investigation and the committee's 
recommendations for necessary and appropriate action by the 
judicial council of the circuit.

Sec. 354. Action by judicial council

    (a) Actions Upon Receipt of Report.--
            (1) Actions.--The judicial council of a circuit, 
        upon receipt of a report filed under section 353(c)--
                    (A) may conduct any additional 
                investigation which it considers to be 
                necessary;
                    (B) may dismiss the complaint; and
                    (C) if the complaint is not dismissed, 
                shall take such action as is appropriate to 
                assure the effective and expeditious 
                administration of the business of the courts 
                within the circuit.
            (2) Description of possible actions if complaint 
        not dismissed.--
                    (A) In general.--Action by the judicial 
                council under paragraph (1)(C) may include--
                            (i) ordering that, on a temporary 
                        basis for a time certain, no further 
                        cases be assigned to the judge whose 
                        conduct is the subject of a complaint;
                            (ii) censuring or reprimanding such 
                        judge by means of private 
                        communication; and
                            (iii) censuring or reprimanding 
                        such judge by means of public 
                        announcement.
                    (B) For article iii judges.--If the conduct 
                of a judge appointed to hold office during good 
                behavior is the subject of the complaint, 
                action by the judicial council under paragraph 
                (1)(C) may include--
                            (i) certifying disability of the 
                        judge pursuant to the procedures and 
                        standards provided under section 
                        372(b); and
                            (ii) requesting that the judge 
                        voluntarily retire, with the provision 
                        that the length of service requirements 
                        under section 371 of this title shall 
                        not apply.
                    (C) For magistrate judges.--If the conduct 
                of a magistrate judge is the subject of the 
                complaint, action by the judicial council under 
                paragraph (1)(C) may include directing the 
                chief judge of the district of the magistrate 
                judge to take such action as the judicial 
                council considers appropriate.
            (3) Limitations on judicial council regarding 
        removals.--
                    (A) Article iii judges.--Under no 
                circumstances may the judicial council order 
                removal from office of any judge appointed to 
                hold office during good behavior.
                    (B) Magistrate and bankruptcy judges.--Any 
                removal of a magistrate judge under this 
                subsection shall be in accordance with section 
                631 and any removal of a bankruptcy judge shall 
                be in accordance with section 152.
            (4) Notice of action to judge.--The judicial 
        council shall immediately provide written notice to the 
        complainant and to the judge whose conduct is the 
        subject of the complaint of the action taken under this 
        subsection.
    (b) Referral to Judicial Conference.--
            (1) In general.--In addition to the authority 
        granted under subsection (a), the judicial council may, 
        in its discretion, refer any complaint under section 
        351, together with the record of any associated 
        proceedings and its recommendations for appropriate 
        action, to the Judicial Conference of the United 
        States.
            (2) Special circumstances.--In any case in which 
        the judicial council determines, on the basis of a 
        complaint and an investigation under this chapter, or 
        on the basis of information otherwise available to the 
        judicial council, that a judge appointed to hold office 
        during good behavior may have engaged in conduct--
                    (A) which might constitute one or more 
                grounds for impeachment under article II of the 
                Constitution, or
                    (B) which, in the interest of justice, is 
                not amenable to resolution by the judicial 
                council,
        the judicial council shall promptly certify such 
        determination, together with any complaint and a record 
        of any associated proceedings, to the Judicial 
        Conference of the United States.
            (3) Notice to complainant and judge.--A judicial 
        council acting under authority of this subsection 
        shall, unless contrary to the interests of justice, 
        immediately submit written notice to the complainant 
        and to the judge whose conduct is the subject of the 
        action taken under this subsection.

Sec. 355. Action by Judicial Conference

    (a) In General.--Upon referral or certification of any 
matter under section 354(b), the Judicial Conference, after 
consideration of the prior proceedings and such additional 
investigation as it considers appropriate, shall by majority 
vote take such action, as described in section 354(a)(1)(C) and 
(2), as it considers appropriate.
    (b) If Impeachment Warranted.--
            (1) In general.--If the Judicial Conference concurs 
        in the determination of the judicial council, or makes 
        its own determination, that consideration of 
        impeachment may be warranted, it shall so certify and 
        transmit the determination and the record of 
        proceedings to the House of Representatives for 
        whatever action the House of Representatives considers 
        to be necessary. Upon receipt of the determination and 
        record of proceedings in the House of Representatives, 
        the Clerk of the House of Representatives shall make 
        available to the public the determination and any 
        reasons for the determination.
            (2) In case of felony conviction.--If a judge has 
        been convicted of a felony under State or Federal law 
        and has exhausted all means of obtaining direct review 
        of the conviction, or the time for seeking further 
        direct review of the conviction has passed and no such 
        review has been sought, the Judicial Conference may, by 
        majority vote and without referral or certification 
        under section 354(b), transmit to the House of 
        Representatives a determination that consideration of 
        impeachment may be warranted, together with appropriate 
        court records, for whatever action the House of 
        Representatives considers to be necessary.

Sec. 356. Subpoena power

    (a) Judicial Councils and Special Committees.--In 
conducting any investigation under this chapter, the judicial 
council, or a special committee appointed under section 353, 
shall have full subpoena powers as provided in section 332(d).
    (b) Judicial Conference and Standing Committees.--In 
conducting any investigation under this chapter, the Judicial 
Conference, or a standing committee appointed by the Chief 
Justice under section 331, shall have full subpoena powers as 
provided in that section.

Sec. 357. Review of orders and actions

    (a) Review of Action of Judicial Council.--A complainant or 
judge aggrieved by an action of the judicial council under 
section 354 may petition the Judicial Conference of the United 
States for review thereof.
    (b) Action of Judicial Conference.--The Judicial 
Conference, or the standing committee established under section 
331, may grant a petition filed by a complainant or judge under 
subsection (a).
    (c) No Judicial Review.--Except as expressly provided in 
this section and section 352(c), all orders and determinations, 
including denials of petitions for review, shall be final and 
conclusive and shall not be judicially reviewable on appeal or 
otherwise.

Sec. 358. Rules

    (a) In General.--Each judicial council and the Judicial 
Conference may prescribe such rules for the conduct of 
proceedings under this chapter, including the processing of 
petitions for review, as each considers to be appropriate.
    (b) Required Provisions.--Rules prescribed under subsection 
(a) shall contain provisions requiring that--
            (1) adequate prior notice of any investigation be 
        given in writing to the judge whose conduct is the 
        subject of a complaint under this chapter;
            (2) the judge whose conduct is the subject of a 
        complaint under this chapter be afforded an opportunity 
        to appear (in person or by counsel) at proceedings 
        conducted by the investigating panel, to present oral 
        and documentary evidence, to compel the attendance of 
        witnesses or the production of documents, to cross-
        examine witnesses, and to present argument orally or in 
        writing; and
            (3) the complainant be afforded an opportunity to 
        appear at proceedings conducted by the investigating 
        panel, if the panel concludes that the complainant 
        could offer substantial information.
    (c) Procedures.--Any rule prescribed under this section 
shall be made or amended only after giving appropriate public 
notice and an opportunity for comment. Any such rule shall be a 
matter of public record, and any such rule promulgated by a 
judicial council may be modified by the Judicial Conference. No 
rule promulgated under this section may limit the period of 
time within which a person may file a complaint under this 
chapter.

Sec. 359. Restrictions

    (a) Restriction on Individuals Who Are Subject of 
Investigation.--No judge whose conduct is the subject of an 
investigation under this chapter shall serve upon a special 
committee appointed under section 353, upon a judicial council, 
upon the Judicial Conference, or upon the standing committee 
established under section 331, until all proceedings under this 
chapter relating to such investigation have been finally 
terminated.
    (b) Amicus Curiae.--No person shall be granted the right to 
intervene or to appear as amicus curiae in any proceeding 
before a judicial council or the Judicial Conference under this 
chapter.

Sec. 360. Disclosure of information

    (a) Confidentiality of Proceedings.--Except as provided in 
section 355, all papers, documents, and records of proceedings 
related to investigations conducted under this chapter shall be 
confidential and shall not be disclosed by any person in any 
proceeding except to the extent that--
            (1) the judicial council of the circuit in its 
        discretion releases a copy of a report of a special 
        committee under section 353(c) to the complainant whose 
        complaint initiated the investigation by that special 
        committee and to the judge whose conduct is the subject 
        of the complaint;
            (2) the judicial council of the circuit, the 
        Judicial Conference of the United States, or the Senate 
        or the House of Representatives by resolution, releases 
        any such material which is believed necessary to an 
        impeachment investigation or trial of a judge under 
        article I of the Constitution; or
            (3) such disclosure is authorized in writing by the 
        judge who is the subject of the complaint and by the 
        chief judge of the circuit, the Chief Justice, or the 
        chairman of the standing committee established under 
        section 331.
    (b) Public Availability of Written Orders.--Each written 
order to implement any action under section 354(a)(1)(C), which 
is issued by a judicial council, the Judicial Conference, or 
the standing committee established under section 331, shall be 
made available to the public through the appropriate clerk's 
office of the court of appeals for the circuit. Unless contrary 
to the interests of justice, each such order shall be 
accompanied by written reasons therefor.

Sec. 361. Reimbursement of expenses

    Upon the request of a judge whose conduct is the subject of 
a complaint under this chapter, the judicial council may, if 
the complaint has been finally dismissed under section 
354(a)(1)(B), recommend that the Director of the Administrative 
Office of the United States Courts award reimbursement, from 
funds appropriated to the Federal judiciary, for those 
reasonable expenses, including attorneys' fees, incurred by 
that judge during the investigation which would not have been 
incurred but for the requirements of this chapter.

Sec. 362. Other provisions and rules not affected

    Except as expressly provided in this chapter, nothing in 
this chapter shall be construed to affect any other provision 
of this title, the Federal Rules of Civil Procedure, the 
Federal Rules of Criminal Procedure, the Federal Rules of 
Appellate Procedure, or the Federal Rules of Evidence.

Sec. 363. Court of Federal Claims, Court of International Trade, Court 
                    of Appeals for the Federal Circuit

    The United States Court of Federal Claims, the Court of 
International Trade, and the Court of Appeals for the Federal 
Circuit shall each prescribe rules, consistent with the 
provisions of this chapter, establishing procedures for the 
filing of complaints with respect to the conduct of any judge 
of such court and for the investigation and resolution of such 
complaints. In investigating and taking action with respect to 
any such complaint, each such court shall have the powers 
granted to a judicial council under this chapter.

Sec. 364. Effect of felony conviction

    In the case of any judge or judge of a court referred to in 
section 363 who is convicted of a felony under State or Federal 
law and has exhausted all means of obtaining direct review of 
the conviction, or the time for seeking further direct review 
of the conviction has passed and no such review has been 
sought, that judge shall not hear cases unless the judicial 
council of the circuit (or, in the case of a judge of a court 
referred to in section 363, that court) determines otherwise.

     CHAPTER 17--RESIGNATION AND RETIREMENT OF JUSTICES AND JUDGES

           *       *       *       *       *       *       *


Sec.
371.  Retirement on salary; retirement in senior status.
372.  Retirement for disability; substitute judge on failure to retire[; 
          judicial discipline].
     * * * * * * *

Sec. 372. Retirement for disability; substitute judge on failure to 
                    retire[; judicial discipline]

    (a) * * *

           *       *       *       *       *       *       *

    [(c)(1) Any person alleging that a circuit, district, or 
bankruptcy judge, or a magistrate judge, has engaged in conduct 
prejudicial to the effective and expeditious administration of 
the business of the courts, or alleging that such a judge or 
magistrate judge is unable to discharge all the duties of 
office by reason of mental or physical disability, may file 
with the clerk of the court of appeals for the circuit a 
written complaint containing a brief statement of the facts 
constituting such conduct. In the interests of the effective 
and expeditious administration of the business of the courts 
and on the basis of information available to the chief judge of 
the circuit, the chief judge may, by written order stating 
reasons therefor, identify a complaint for purposes of this 
subsection and thereby dispense with filing of a written 
complaint.
    [(2) Upon receipt of a complaint filed under paragraph (1) 
of this subsection, the clerk shall promptly transmit such 
complaint to the chief judge of the circuit, or, if the conduct 
complained of is that of the chief judge, to that circuit judge 
in regular active service next senior in date of commission 
(hereafter, for purposes of this subsection only, included in 
the term ``chief judge''). The clerk shall simultaneously 
transmit a copy of the complaint to the judge or magistrate 
judge whose conduct is the subject of the complaint.
    [(3) After expeditiously reviewing a complaint, the chief 
judge, by written order stating his reasons, may--
            [(A) dismiss the complaint, if he finds it to be 
        (i) not in conformity with paragraph (1) of this 
        subsection, (ii) directly related to the merits of a 
        decision or procedural ruling, or (iii) frivolous; or
            [(B) conclude the proceeding if he finds that 
        appropriate corrective action has been taken or that 
        action on the complaint is no longer necessary because 
        of intervening events.
The chief judge shall transmit copies of his written order to 
the complainant and to the judge or magistrate judge whose 
conduct is the subject of the complaint.
    [(4) If the chief judge does not enter an order under 
paragraph (3) of this subsection, such judge shall promptly--
            [(A) appoint himself and equal numbers of circuit 
        and district judges of the circuit to a special 
        committee to investigate the facts and allegations 
        contained in the complaint;
            [(B) certify the complaint and any other documents 
        pertaining thereto to each member of such committee; 
        and
            [(C) provide written notice to the complainant and 
        the judge or magistrate judge whose conduct is the 
        subject of the complaint of the action taken under this 
        paragraph.
A judge appointed to a special committee under this paragraph 
may continue to serve on that committee after becoming a senior 
judge or, in the case of the chief judge of the circuit, after 
his or her term as chief judge terminates under subsection 
(a)(3) or (c) of section 45 of this title. If a judge appointed 
to a committee under this paragraph dies, or retires from 
office under section 371(a) of this title, while serving on the 
committee, the chief judge of the circuit may appoint another 
circuit or district judge, as the case may be, to the 
committee.
    [(5) Each committee appointed under paragraph (4) of this 
subsection shall conduct an investigation as extensive as it 
considers necessary, and shall expeditiously file a 
comprehensive written report thereon with the judicial council 
of the circuit. Such report shall present both the findings of 
the investigation and the committee's recommendations for 
necessary and appropriate action by the judicial council of the 
circuit.
    [(6) Upon receipt of a report filed under paragraph (5) of 
this subsection, the judicial council--
            [(A) may conduct any additional investigation which 
        it considers to be necessary;
            [(B) shall take such action as is appropriate to 
        assure the effective and expeditious administration of 
        the business of the courts within the circuit, 
        including, but not limited to, any of the following 
        actions:
                    [(i) directing the chief judge of the 
                district of the magistrate judge whose conduct 
                is the subject of the complaint to take such 
                action as the judicial council considers 
                appropriate;
                    [(ii) certifying disability of a judge 
                appointed to hold office during good behavior 
                whose conduct is the subject of the complaint, 
                pursuant to the procedures and standards 
                provided under subsection (b) of this section;
                    [(iii) requesting that any such judge 
                appointed to hold office during good behavior 
                voluntarily retire, with the provision that the 
                length of service requirements under section 
                371 of this title shall not apply;
                    [(iv) ordering that, on a temporary basis 
                for a time certain, no further cases be 
                assigned to any judge or magistrate judge whose 
                conduct is the subject of a complaint;
                    [(v) censuring or reprimanding such judge 
                or magistrate judge by means of private 
                communication;
                    [(vi) censuring or reprimanding such judge 
                or magistrate judge by means of public 
                announcement; or
                    [(vii) ordering such other action as it 
                considers appropriate under the circumstances, 
                except that (I) in no circumstances may the 
                council order removal from office of any judge 
                appointed to hold office during good behavior, 
                and (II) any removal of a magistrate judge 
                shall be in accordance with section 631 of this 
                title and any removal of a bankruptcy judge 
                shall be in accordance with section 152 of this 
                title;
                    [(C) may dismiss the complaint; and
                    [(D) shall immediately provide written 
                notice to the complainant and to such judge or 
                magistrate judge of the action taken under this 
                paragraph.
    [(7)(A) In addition to the authority granted under 
paragraph (6) of this subsection, the judicial council may, in 
its discretion, refer any complaint under this subsection, 
together with the record of any associated proceedings and its 
recommendations for appropriate action, to the Judicial 
Conference of the United States.
    [(B) In any case in which the judicial council determines, 
on the basis of a complaint and an investigation under this 
subsection, or on the basis of information otherwise available 
to the council, that a judge appointed to hold office during 
good behavior may have engaged in conduct--
            [(i) which might constitute one or more grounds for 
        impeachment under article II of the Constitution; or
            [(ii) which, in the interest of justice, is not 
        amenable to resolution by the judicial council,
the judicial council shall promptly certify such determination, 
together with any complaint and a record of any associated 
proceedings, to the Judicial Conference of the United States.
    [(C) A judicial council acting under authority of this 
paragraph shall, unless contrary to the interests of justice, 
immediately submit written notice to the complainant and to the 
judge or magistrate judge whose conduct is the subject of the 
action taken under this paragraph.
    [(8)(A) Upon referral or certification of any matter under 
paragraph (7) of this subsection, the Judicial Conference, 
after consideration of the prior proceedings and such 
additional investigation as it considers appropriate, shall by 
majority vote take such action, as described in paragraph 
(6)(B) of this subsection, as it considers appropriate. If the 
Judicial Conference concurs in the determination of the 
council, or makes its own determination, that consideration of 
impeachment may be warranted, it shall so certify and transmit 
the determination and the record of proceedings to the House of 
Representatives for whatever action the House of 
Representatives considers to be necessary. Upon receipt of the 
determination and record of proceedings in the House of 
Representatives, the Clerk of the House of Representatives 
shall make available to the public the determination and any 
reasons for the determination.
    [(B) If a judge or magistrate judge has been convicted of a 
felony and has exhausted all means of obtaining direct review 
of the conviction, or the time for seeking further direct 
review of the conviction has passed and no such review has been 
sought, the Judicial Conference may, by majority vote and 
without referral or certification under paragraph (7), transmit 
to the House of Representatives a determination that 
consideration of impeachment may be warranted, together with 
appropriate court records, for whatever action the House of 
Representatives considers to be necessary.
    [(9)(A) In conducting any investigation under this 
subsection, the judicial council, or a special committee 
appointed under paragraph (4) of this subsection, shall have 
full subpoena powers as provided in section 332(d) of this 
title.
    [(B) In conducting any investigation under this subsection, 
the Judicial Conference, or a standing committee appointed by 
the Chief Justice under section 331 of this title, shall have 
full subpoena powers as provided in that section.
    [(10) A complainant, judge, or magistrate judge aggrieved 
by a final order of the chief judge under paragraph (3) of this 
subsection may petition the judicial council for review 
thereof. A complainant, judge, or magistrate judge aggrieved by 
an action of the judicial council under paragraph (6) of this 
subsection may petition the Judicial Conference of the United 
States for review thereof. The Judicial Conference, or the 
standing committee established under section 331 of this title, 
may grant a petition filed by a complainant, judge, or 
magistrate judge under this paragraph. Except as expressly 
provided in this paragraph, all orders and determinations, 
including denials of petitions for review, shall be final and 
conclusive and shall not be judicially reviewable on appeal or 
otherwise.
    [(11) Each judicial council and the Judicial Conference may 
prescribe such rules for the conduct of proceedings under this 
subsection, including the processing of petitions for review, 
as each considers to be appropriate. Such rules shall contain 
provisions requiring that--
            [(A) adequate prior notice of any investigation be 
        given in writing to the judge or magistrate judge whose 
        conduct is the subject of the complaint;
            [(B) the judge or magistrate judge whose conduct is 
        the subject of the complaint be afforded an opportunity 
        to appear (in person or by counsel) at proceedings 
        conducted by the investigating panel, to present oral 
        and documentary evidence, to compel the attendance of 
        witnesses or the production of documents, to cross-
        examine witnesses, and to present argument orally or in 
        writing; and
            [(C) the complainant be afforded an opportunity to 
        appear at proceedings conducted by the investigating 
        panel, if the panel concludes that the complainant 
        could offer substantial information.
Any such rule shall be made or amended only after giving 
appropriate public notice and an opportunity for comment. Any 
rule promulgated under this subsection shall be a matter of 
public record, and any such rule promulgated by a judicial 
council may be modified by the Judicial Conference. No rule 
promulgated under this subsection may limit the period of time 
within which a person may file a complaint under this 
subsection.
    [(12) No judge or magistrate judge whose conduct is the 
subject of an investigation under this subsection shall serve 
upon a special committee appointed under paragraph (4) of this 
subsection, upon a judicial council, upon the Judicial 
Conference, or upon the standing committee established under 
section 331 of this title, until all related proceedings under 
this subsection have been finally terminated.
    [(13) No person shall be granted the right to intervene or 
to appear as amicus curiae in any proceeding before a judicial 
council or the Judicial Conference under this subsection.
    [(14) Except as provided in paragraph (8), all papers, 
documents, and records of proceedings related to investigations 
conducted under this subsection shall be confidential and shall 
not be disclosed by any person in any proceeding except to the 
extent that--
            [(A) the judicial council of the circuit in its 
        discretion releases a copy of a report of a special 
        investigative committee under paragraph (5) to the 
        complainant whose complaint initiated the investigation 
        by that special committee and to the judge or 
        magistrate judge whose conduct is the subject of the 
        complaint;
            [(B) the judicial council of the circuit, the 
        Judicial Conference of the United States, or the Senate 
        or the House of Representatives by resolution, releases 
        any such material which is believed necessary to an 
        impeachment investigation or trial of a judge under 
        article I of the Constitution; or
            [(C) such disclosure is authorized in writing by 
        the judge or magistrate judge who is the subject of the 
        complaint and by the chief judge of the circuit, the 
        Chief Justice, or the chairman of the standing 
        committee established under section 331 of this title.
    [(15) Each written order to implement any action under 
paragraph (6)(B) of this subsection, which is issued by a 
judicial council, the Judicial Conference, or the standing 
committee established under section 331 of this title, shall be 
made available to the public through the appropriate clerk's 
office of the court of appeals for the circuit. Unless contrary 
to the interests of justice, each such order issued under this 
paragraph shall be accompanied by written reasons therefor.
    [(16) Upon the request of a judge or magistrate judge whose 
conduct is the subject of a complaint under this subsection, 
the judicial council may, if the complaint has been finally 
dismissed under paragraph (6)(C), recommend that the Director 
of the Administrative Office of the United States Courts award 
reimbursement, from funds appropriated to the Federal 
judiciary, for those reasonable expenses, including attorneys' 
fees, incurred by that judge or magistrate judge during the 
investigation which would not have been incurred but for the 
requirements of this subsection.
    [(17) Except as expressly provided in this subsection, 
nothing in this subsection shall be construed to affect any 
other provision of this title, the Federal Rules of Civil 
Procedure, the Federal Rules of Criminal Procedure, the Federal 
Rules of Appellate Procedure, or the Federal Rules of Evidence.
    [(18) The United States Court of Federal Claims, the Court 
of International Trade, and the Court of Appeals for the 
Federal Circuit shall each prescribe rules, consistent with the 
foregoing provisions of this subsection, establishing 
procedures for the filing of complaints with respect to the 
conduct of any judge of such court and for the investigation 
and resolution of such complaints. In investigating and taking 
action with respect to any such complaint, each such court 
shall have the powers granted to a judicial council under this 
subsection.]

           *       *       *       *       *       *       *


Sec. 375. Recall of certain judges and magistrate judges

    (a) * * *

           *       *       *       *       *       *       *

    (d) A certification under subsection (a) may be terminated 
in accordance with [section 372(c)] chapter 16 of this title, 
and such a certification shall be terminated upon the death of 
the recalled judge or magistrate judge involved.

           *       *       *       *       *       *       *


                PART III--COURT OFFICERS AND EMPLOYEES

           *       *       *       *       *       *       *


      CHAPTER 41--ADMINISTRATIVE OFFICE OF UNITED STATES COURTS

           *       *       *       *       *       *       *


Sec. 604. Duties of Director generally

    (a) The Director shall be the administrative officer of the 
courts, and under the supervision and direction of the Judicial 
Conference of the United States, shall:
            (1) * * *

           *       *       *       *       *       *       *

            (20) Periodically compile--
                    (A) * * *
                    (B) the rules which are prescribed under 
                section [372(c)(11)] 358 of this title; and
                    (C) the orders which are required to be 
                publicly available under section [372(c)(15)] 
                360(b) of this title;
        so as to provide a current record of such rules and 
        orders;

           *       *       *       *       *       *       *

    (h)(1) The Director shall, out of funds appropriated for 
the operation and maintenance of the courts, provide facilities 
and pay necessary expenses incurred by the judicial councils of 
the circuits and the Judicial Conference under [section 372] 
chapter 16 of this title, including mileage allowance and 
witness fees, at the same rate as provided in section 1821 of 
this title. Administrative and professional assistance from the 
Administrative Office of the United States Courts may be 
requested by each judicial council and the Judicial Conference 
for purposes of discharging their duties under [section 372] 
chapter 16 of this title.
    (2) The Director of the Administrative Office of the United 
States Courts shall include in his annual report filed with the 
Congress under this section a summary of the number of 
complaints filed with each judicial council under [section 
372(c)] chapter 16 of this title, indicating the general nature 
of such complaints and the disposition of those complaints in 
which action has been taken.

           *       *       *       *       *       *       *

                              ----------                              


              SECTION 7253 OF TITLE 38, UNITED STATES CODE

Sec. 7253. Composition

    (a) * * *

           *       *       *       *       *       *       *

    (g) Rules.--(1) The Court shall prescribe rules, consistent 
with the provisions of [section 372(c)] chapter 16 of title 28, 
establishing procedures for the filing of complaints with 
respect to the conduct of any judge of the Court and for the 
investigation and resolution of such complaints. In 
investigating and taking action with respect to any such 
complaint, the Court shall have the powers granted to a 
judicial council under [such section] such chapter.
    (2) The provisions of [paragraphs (7) through (15) of 
section 372(c)] sections 354(b) through 360 of title 28, 
regarding referral or certification to, and petition for review 
in, the Judicial Conference of the United States and action 
thereon, shall apply to the exercise by the Court of the powers 
of a judicial council under paragraph (1) of this subsection. 
The grounds for removal from office specified in subsection 
(f)(1) shall provide a basis for a determination pursuant to 
[paragraph (7) or (8) of section 372(c)] section 354(b) or 355 
of title 28, and certification and transmittal by the 
Conference shall be made to the President for consideration 
under subsection (f).
    (3)(A) * * *
    (B) The Court shall have the power provided under section 
[372(c)(16)] 361 of title 28 to award reimbursement for the 
reasonable expenses described in that section. Reimbursements 
under this subparagraph shall be made from funds appropriated 
to the Court.

           *       *       *       *       *       *       *


                           Markup Transcript



                            BUSINESS MEETING

                       WEDNESDAY, APRIL 24, 2002

                  House of Representatives,
                                Committee on the Judiciary,
                                                    Washington, DC.
    The Committee met, pursuant to notice, at 10:09 a.m., in 
Room 2141, Rayburn House Office Building, Hon. F. James 
Sensenbrenner, Jr. [Chairman of the Committee] presiding.
    Chairman Sensenbrenner. [Presiding.] The Committee will be 
in order.
    [Intervening business.]
    At this point in time, because the gentleman from 
California, Mr. Berman, had an appointment, the Committee 
stands in recess subject--okay. Then the Chair recognizes the 
gentleman from North Carolina, Mr. Coble.
    The next item on the agenda is H.R. 3892, the ``Judicial 
Improvements Act of 2002.''
    [The bill, H.R. 3892, follows:]
      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


    Chairman Sensenbrenner. The Chair recognizes the gentleman 
from North Carolina, Mr. Coble, Chairman of the Subcommittee on 
Courts, the Internet, and Intellectual Property, for a motion.
    Mr. Coble. Mr. Chairman, the Subcommittee on Courts, the 
Internet, and Intellectual Property reports favorably the bill 
H.R. 3892, with a single amendment in the nature of a 
substitute, and moves its favorable recommendation to the full 
House.
    Chairman Sensenbrenner. Without objection, the bill will be 
considered as read and open for amendment at any point, and the 
Subcommittee amendment in the nature of a substitute which the 
Members have before them will be considered as read and be 
considered as the original text for purposes of amendment.
    [The amendment in the nature of a substitute follows:]
      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


      
      

  


    Chairman Sensenbrenner. Again, the Chair encourages 
everybody to be brief and recognizes the gentleman from North 
Carolina.
    Mr. Coble. Mr. Chairman, I move to strike the last word and 
I----
    Chairman Sensenbrenner. The gentleman is recognized for 5 
minutes.
    Mr. Coble. And I can do this within the 5-minute limit.
    H.R. 3892 constitutes a noncontroversial fine-tuning of an 
existing statute, the Judicial Conduct and Disability Act of 
1980, which permits individuals to file complaints against 
Federal judges for inappropriate behavior. Mr. Berman and I 
have introduced the bill, Mr. Chairman, and there appears to be 
no controversy, and I move its favorable consideration.
    [The prepared statement of Mr. Coble follows:]
 Prepared Statement of the Honorable Howard Coble, a Representative in 
               Congress From the State of North Carolina
    Mr. Chairman, I move to strike the last word.
    H.R. 3892 constitutes a noncontroversial fine-tuning of an existing 
statute, the ``Judicial Conduct and Disability Act of 1980,'' which 
permits individuals to file complaints against federal judges for 
inappropriate behavior.
    The Subcommittee on Courts, the Internet, and Intellectual Property 
conducted an oversight hearing on the operations of federal judicial 
misconduct statutes last November 29. The witnesses at the hearing were 
united in their general praise for the Third Branch. Their respect for 
the federal judiciary is, I am confident, also shared by each Committee 
member. Still, no federal entity is immune from periodic evaluation, 
and that is why the Subcommittee Ranking Member, Mr. Berman, and I have 
introduced H.R. 3892.
    The legislation before us will reorganize the 1980 Act by re-
codifying it as a new chapter of title 28 of the U.S. Code. The bill 
will also clarify the responsibilities of a circuit chief judge in 
making initial evaluations of a complaint.
    The changes set forth in the ``Judicial Improvements Act of 2002'' 
are largely based on procedures that the judges themselves have 
developed through the years. The construct for the bill, based as it is 
on self-regulation, indicates that Congress and the American people 
retain great confidence in the ability of federal judges to identify 
and correct misconduct among their own colleagues.
    Mr. Chairman, that concludes my explanation of H.R. 3892, and I 
yield back the balance of my time.

    Chairman Sensenbrenner. Without objection, all Members' 
statements may appear in the record at this point.
    [The prepared statement of Mr. Conyers follows:]
Prepared Statement of the Honorable John Conyers, Jr., a Representative 
                 in Congress From the State of Michigan
    I rise in support of this legislation. H.R. 3892 makes several 
changes that will improve vastly the operation of the Federal judicial 
discipline statutes.
    A preliminary change is to raise the profile of the law pertaining 
to complaints filed against judges. By giving these provisions their 
own section--as opposed to an obscure subsection as in current law--it 
will be easier for persons with complaints to find and understand the 
review process.
    The legislation also allows the chief judge of the relevant court 
to conduct a ``limited inquiry'' of a complaint to determine (1) 
whether a formal investigation should proceed, and (2) whether the 
facts alleged are plainly untrue or incapable of being established 
through an investigation. This provision will preserve the resources of 
the judiciary so that it is not required to investigate every complaint 
but can focus on those most deserving its attention. At the same time, 
a complainant can appeal the final order from a limited inquiry to the 
court's judicial council.
    Third, current law says that, when a judge is convicted of a 
felony, the Judicial Conference may transmit to Congress a 
determination that impeachment may be warranted. It is unclear, 
however, whether both Federal and state felonies are covered; this 
legislation makes it explicit that felonies in both jurisdictions are 
grounds for a referral.
    Finally, the bill amends to law to prohibit judges later convicted 
of felonies from handling cases unless and until the judicial council 
or relevant court determines otherwise.
    I urge the members to vote ``Yes'' on this non-controversial bill.

    [The prepared statement of Mr. Berman follows:]
Prepared Statement of the Honorable Howard L. Berman, a Representative 
                in Congress From the State of California
    Mr. Chairman,
    Thank you for calling this markup on the Judicial Improvements Act 
of 2002. This Act makes slight modifications to existing federal 
judicial misconduct statutes, and I am pleased to be a co-sponsor.
    At our November hearing on the federal judicial misconduct 
statutes, several suggestions were made by Professor Arthur Hellman and 
Mr. Michael Remington to improve the methods and procedures for filing 
and evaluating a complaint against a federal judge. This legislation is 
the outcome of those suggestions. In particular, this legislation re-
organizes the misconduct statutes into a more convenient, separate 
chapter; it gives a chief judge increased flexibility to perform a 
limited investigation of a complaint and dismiss it upon finding 
clearly obviating facts; and it specifies how petitions for review 
should be evaluated.
    I have shown this proposed legislation to several judges with 
jurisdiction over my California district, and I have received only 
positive responses. The judges believe this legislation will make it 
easier for a complainant to have a fair and expeditious review of his 
or her complaint. They also believe it will make it easier for the 
judicial branch to process each complaint efficiently.
    I urge my colleagues to support this bill, and I yield back the 
balance of my time.

    Are there amendments to the bill? If there are no 
amendments to the bill, the question occurs on the amendment in 
the nature of a substitute. Those in favor will say aye? 
Opposed, no?
    The ayes appear to have it. The ayes have it, and the 
amendment in the nature of a substitute is agreed to.
    The question now occurs on the motion to report the bill 
H.R. 3892 favorably as amended by the amendment in the nature 
of a substitute. The Chair notes the presence of a reporting 
quorum. All those in favor will say aye? Opposed, no?
    The ayes appear to have it. The ayes have it, and the 
motion to report favorably is adopted.
    Without objection, the Chairman is authorized to move to go 
to conference pursuant to House rules. Without objection, the 
staff is directed to make any technical and conforming changes, 
and all Members will be given two days, as provided by House 
rules, in which to submit additional dissenting, supplemental, 
or minority views.
    And now the Subcommittee--or the Committee is recessed 
pursuant to the call of the Chair.
    [Whereupon, at 12:07 p.m., the Committee was adjourned.]

                                  
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