

譯者 |張孜超 北京師範大學本科
一審 | 李梓源 英國布里斯托大學LL.M.
二審 | 王槐語 加州大學伯克利分校 LL.M.
編輯 | 袁馳程 江西師範大學本科生
蘇 桐 華中科技大學本科生
責編 | 馮雨萱 北京大學J.D.&J.M.

The University of Chicago Law Review Volume 91.4, Number 3 | June 2024
《芝加哥法律評論》第91.4卷第3篇
Effective Removal of Article III Judges: Case Suspensions and the Constitutional Limits of Judicial Self-Policing
第三條法官的實際免職:案件停職與司法自律的憲法限制
Jack Brake
ABSTRACT
摘要
Under the Judicial Conduct and Disability Act of 1980 (JCDA), it falls to federal judgeszes the temporary suspension of misbehaving judges from new case assignments. Judges suspended under the Act—most recently, Judge Pauline Newman in the Federal Circuit—have argued that this amounts to effectively removing them from office without impeachment, violating constitutional protections of judicial tenure and independence. No court has invalidated a suspension on this basis so far. Yet courts have reserved the question taken up here, namely whether a long-term suspension could, by its practical effect, cross the line into removal.
根據1980年《司法行為和失職法案》(JCDA),聯邦法官在每個巡迴審判區都有責任調查和糾正有關其合議庭行為的投訴。在該法案中,有一項條款具有爭議。根據該條款,可以暫時停止向行為不端的法官分配新案件。依據該法案被停職的法官(最近的一位是聯邦巡迴法院的Pauline Newman法官)爭辯說,這實際上相當於在沒有彈劾的情況下將他們免職,違反了《憲法》對司法任期和獨立性的保護。迄今為止,還沒有法院以此為由宣佈這種暫停職務無效。然而,法院一直對這一問題持保留態度:一項長期的停職,是否會因其具有的實際效果而構成免職。
Returning to first principles, this Comment develops and defends a bright-line rule for conceptualizing effective removal. Article III vests federal judges with the power to decide legal cases and controversies within limits set by the Constitution and Congress. Individual judges are not entitled to dockets of any particular size or scope. Yet possessing some measure of case-deciding power is a necessary condition for holding judicial office. It follows that a judge does not hold office if she does not wield any judicial power, as when a categorical prohibition on hearing cases eliminates her entire docket. When a case-suspension sanction under the JCDA even temporarily has that effect, disqualifying a judge who lacks assigned cases from further assignments, it unconstitutionally removes the judge from office.
迴歸基本原則,這篇評論提出並捍衛了一個明確的規則來概念化“實際免職(effective removal)”。《憲法》第三條賦予了聯邦法官在《憲法》和國會設定的限制範圍內裁決法律案件和爭議的權力。法官個人無權要求自己被分配某個特定規模或範圍的案件。但是,擁有一定程度上的裁決權是擔任司法職務的必要條件。因此,如果一名法官不具備任何的司法權力(例如,當禁止其審理案件的全面禁令使她沒有案件可以審理),她實際上就不能再擔任法官的職務了。依據JCDA實施的案件暫停審理的制裁,雖然只是暫時性地產生了這種效果,但是仍然使得一名手頭無案件的法官失去了進一步被指派案件的資格,進而實際違憲地將該法官免職。
After crystallizing the concept of effective removal, the Comment attends to non-merits-related reasons that courts are unlikely to accept this challenge to the JCDA even in compelling cases; assesses the risk that the Act’s case-suspension provision could be abused to effectively remove judges for improper reasons; and ultimately proposes a targeted amendment to the provision that would foreclose the possibility of effective removal and conform the Act’s scheme of judicial self-discipline to the Constitution’s separation of powers.
在明確“實際免職”的概念後,這篇評論還探討了法院即使在有說服力的案件中也不太可能解決這類問題的非實質性原因,評估了該法案的案件暫停條款以不正當理由實際免職法官的濫用風險;這篇評論在最後還提出應對該條款進行有針對性的修訂,從而排除“實際免職”的可能性,讓該法案的司法自律機制符合《憲法》中的權力分立原則。

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INTRODUCTION
引言
The oldest federal judge currently stands barred from hearing cases. In September 2023, the Judicial Council of the Federal Circuit suspended Judge Pauline Newman, now 96, from case assignments after determining that she had committed “serious misconduct.” Her offense? Refusing to cooperate with the Council’s investigation into whether she remained mentally fit for her judicial duties, thereby impeding the judiciary’s “self-policing” mechanism. Congress established that mechanism with the Judicial Conduct and Disability Act of 1980 (JCDA), which empowers each circuit’s judicial council to investigate complaints about lower court judges and impose appropriate sanctions.
目前,最年長的聯邦法官被禁止審理案件。2023年9月,聯邦巡迴法院司法委員會在認定現年96歲的Pauline Newman法官犯有“嚴重不當行為”後,暫停了她的審案資格。她錯在哪裡?她拒絕配合委員會調查其是否仍具備履行司法職責的精神能力,從而妨礙了司法系統的“自我監管(self-policing)”機制。國會透過JCDA建立了這一機制,該法授權各巡迴法院的司法委員會可以調查對下級法院法官的投訴,並做出適當的處罰。
For instance, as in the Federal Circuit, a council can order that “no further cases be assigned” to a sanctioned judge “on a temporary basis [and] for a time certain.” Judge Newman’s suspension is set to last until she submits to a detailed cognitive evaluation arranged by the Council. Yet she has ruled out complying with that condition, having previously submitted her own medical records attesting to her competency. This standoff has continued since Judge Newman circulated the final opinion assigned before her suspension. She may never hear a case or write an opinion again.
例如,在聯邦巡迴法院,司法委員會可以命令“暫時[並]在一定時間內不再將案件分配給”受制裁的法官。Newman法官的停職,將一直持續到她同意接受委員會安排的詳細認知評估為止。然而,她已明確表示不會遵守這一條件,此前她也已經提交了自己的醫療記錄以證明她的能力。Newman法官在停職前釋出了她的最後一個案件意見書,這種僵局則在此後一直持續。她可能再也無法審理案件或撰寫意見書了。
Does the Council’s sanction amount to effectively removing Judge Newman from office—in violation of the Constitution’s protection of judicial tenure and in circumvention of its provision for congressional impeachment? That “effective removal” question remains largely untested and ultimately unsettled. Scholars have recognized the possibility of effective removal in principle but have not set its exact parameters; they have not drawn a clear line where depriving a judge of cases crosses the removal Rubicon.
委員會的制裁是否構成對Newman法官的實際免職,進而違反了《憲法》對司法任期的保護,並規避了《憲法》關於國會彈劾的規定?這個“實際免職(effective removal)”的問題,在很大程度上仍未經過驗證,也尚未得到解決。學者們在理論上承認了實際免職的可能性,但並未明確設定其具體範圍;他們也沒有劃分清楚,剝奪法官案件指派的行為在何時跨越了界線,構成免職。
Courts, for their part, have declined to confront the paradigm case of effective removal: the complete elimination of a judge’s docket. The last appellate court to consider an effective removal–style argument rejected the plaintiff-judge’s challenge to his short-term suspension but explicitly reserved the question of whether a sufficiently long-term suspension could result, de facto, in termination of judicial tenure, a consequence that the Constitution reserves for Congress to impose through impeachment. It stands to reason that, at some point, a suspended judge can no longer fairly be said to “hold [ ] Office[ ]”. The question is how to draw the line where suspension from cases becomes removal from office.
至於法院,則拒絕直面實際免職的典型情況:即法官的所有案件審理權被完全剝奪的情形。最近的一個審理實際免職事項的上訴法院,駁回了原告法官對其短期停職的質疑,但明確保留了這樣一個問題:時間足夠長的停職是否可能會在事實上導致法官職位的終止(這一後果是《憲法》保留給國會透過彈劾程式來實施的)。可以說,在某個節點上,被停職的法官就不能再被公正地認為是“擔任[ ]職務[ ]”了。問題在於,如何劃定這個停職處理案件與免職之間的界限。

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In the absence of case law, this Comment develops an account of effective removal from first principles. The Constitution provides that federal judges shall “hold their Offices during good Behaviour,” that is, unless impeached. Though Article III does not define judicial “[o]ffice[ ],” it vests judges with the “judicial Power of the United States” to decide certain categories of cases and controversies. “It is emphatically the province and duty of the judicial department to say what the law is” and to “apply the [appropriate legal] rule to particular cases.” And, as deciding cases is the judiciary’s core collective function, it also becomes the central job requirement of individual judges when they swear, upon confirmation to the bench, to “well and faithfully discharge the duties of the[ir] office.” These premises set up a syllogism. If holding judicial office requires wielding judicial power, and if wielding judicial power means hearing and deciding cases, then a judge that cannot hear and decide cases does not hold judicial office.
在缺乏判例法的情況下,這篇評論從基本原理出發,闡述了實際免職的概念。《憲法》規定,聯邦法官應“在行為良好的情況下擔任職務”,即例外情形是被彈劾。儘管《憲法》第三條未定義司法“職務”,但它賦予法官決定某些型別案件和爭議的“美國國家司法權”。“明確無誤的是,司法部門的職能和職責在於解釋法律是什麼”並“將[適當的法律]規則應用於特定案件”。而且,由於裁決案件是司法部門的核心集體職能,當法官個人在被確認擔任法官時宣誓“良好並忠實地履行[其]職務的職責”,這也成為他們的核心工作要求。這些前提構成了一個三段論:如果擔任司法職務需要行使司法權力,而行使司法權力意味著審理和裁決案件,那麼一個不能審理和裁決案件的法官就不再擔任司法職務。
Filling in this formalism requires determining the quantum of case-deciding power that suffices for holding judicial office. The JCDA carefully limits permissible suspensions to those that apply “on a temporary basis [and] for a time certain,” implying that the relevant metric is temporal: if a judge will resume hearing cases in the future, he has not been removed.
要完成前述的這種形式主義要求,就需要確定一個擔任司法職務所需的案件裁決權的量級。JCDA嚴格地將停職措施限制“在暫時基礎上[並且]在特定時間內”適用,這意味著相關的度量標準是時間性的:如果被停職的法官未來將恢復審理案件,那麼,他就沒有被免職。
Yet nothing compels this approach—the concept of temporary removal, followed by reinstatement, does not offend language or logic—and in fact there are compelling reasons not to fixate on a suspension’s duration. Even a suspension originally imposed for a “time certain” can be renewed indefinitely. Setting a cumulative upper limit on months or years that a suspension can last before it qualifies as removal would be inevitably arbitrary. Most importantly, a time limit simply does not address the relevant constitutional concerns. A suspension could last for mere weeks and still do grave harm to judicial independence if, for example, it determined the outcome of specific cases.
然而,這種時間性的考量並不天然地具有說服力——“暫時停職,隨後復職”的情形在字面和邏輯上本身就不違反常理。事實上,反而存在有說服力的理由不去過分關注一項停職的持續時間。例如,即使是最初規定了“特定時間”的停職,也可能會被無限期的延長。設定一個累積的月數或年數上限,進而區分停職持續多長時間後才構成免職,難免有武斷之嫌。最重要的是,這種時間限制並不能解決相關的憲法問題。例如,停職可能僅持續幾周,但該停職決定了特定案件的結果,這仍會對司法獨立造成嚴重的損害。

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This Comment accordingly focuses not on the duration of a suspension but on its effect. The structure of Article III, the Constitution’s separation of powers, and the principle of judicial independence guide the analysis. On one hand, the Constitution assigns Congress near-plenary power to set the lower federal courts’ jurisdiction (at least within the outer bounds of Article III), and by extension to shape judges’ caseloads. On the other hand, the Constitution also preserves judicial independence by imposing substantive and procedural limits on Congress’s removal power: a judge may be removed from office by Congress only for “high Crimes and Misdemeanors” and upon conviction by two-thirds of the Senate.
因此,這篇評論關注的不是停職的時間,而是其影響。《憲法》第三條的結構、《憲法》的權力分立原則以及司法獨立的原則為這一分析提供了指導。一方面,《憲法》賦予國會近乎全權的權力來確定下級聯邦法院的管轄權(至少在《憲法》第三條的外部範圍內),並由此擴充套件到決定法官的辦案量。另一方面,《憲法》還透過對國會的免職權力施加實質性和程式性的限制來維護司法獨立:法官只能因“嚴重罪行與輕罪(high Crimes and Misdemeanors)”而被國會免職,並且必須經過參議院的三分之二多數進行表決。
So while the amount of case-deciding power that an individual judge is constitutionally entitled to wield necessarily remains minimal, the only legal process that can deprive a judge of that power is impeachment. Hence the Comment’s bright-line rule: any legal proceeding that directly and categorically deprives a judge of all case-deciding power thereby removes him or her from office—even if the deprivation, couched as a “suspension,” is temporary. A suspension that is short-term or limited to certain types of cases may never achieve this forbidden effect. But if all a judge’s current cases are reassigned at the same time that his new assignments are suspended, or if the suspension is so lengthy that he finishes his prior assignments while still barred from taking on new ones, then the deprivation of case-deciding power is complete and the judge stands effectively removed.
所以,雖然法官個人根據《憲法》有權行使的案件裁決權是很小的,但剝奪法官這一權力的唯一法律程式是彈劾。因此,這篇評論提出了一個明確的規則:任何直接且明確剝奪法官所有案件裁決權的法律程式,都會使其被免職——即使這種剝奪被稱作“停職”,並且是暫時的。一項持續時間短或者僅限於某類案件的停職,可能無法達到這種被禁止的後果。但是,如果考慮以下情況:一名法官被暫停分配新的案件,且那些他已受理的案件又被重新分配;亦或是他的停職時間過長,以至於他先前被分配的案件已經審完,但仍被禁止接受新的案件。那麼,在這些情況中,對法官的案件裁決權的剝奪就是徹底的。法官實際上已被免職。
To illustrate this account, it suggests that Judge Newman was effectively removed from office once she circulated her last assigned opinion in November 2023, with nearly the full year of her initial suspension left to run. After that she lacked any opportunity to contribute to the work of the Federal Circuit, whether through participating in oral arguments, voting on case dispositions, issuing opinions, or sitting with her colleagues en banc. Even if her suspension ultimately ends with reinstatement, she will have been removed because there will have been a point in time when she was categorically deprived of case-deciding power through a legal process purporting to sanction her misbehavior.
為了說明這一觀點,評論文章指出,Newman法官在2023年11月完成了她最後一次被分配的意見書後,她實際上就被免職了,而此時她最初的停職期還剩下將近一整年。在此之後,無論是透過參與口頭辯論、對案件裁決進行投票、釋出意見還是與同事們一同審理案件的方式,她都沒有任何機會為聯邦巡迴法院的工作做出任何貢獻。即使她的停職最終以復職結束,她仍然會被視為被免職,因為她曾在某個時間點上,透過一項聲稱是對其不當行為進行制裁的法律程式,被斷然剝奪了案件裁決權。
This stark example of effective removal should serve as an inflection point for assessing case suspensions under the JCDA— their constitutionality and their wisdom. Though suspensions have remained infrequent over the past four decades, they are poised—like discipline proceedings more generally—to become more common as the federal judiciary grows in size and greys in age. The median member of Article III now approaches 70 years old, and political polarization creates pressure for elderly judges to delay retirement until conditions exist for the appointment of like-minded replacements.
這一實際免職的典型例子應作為評估JCDA下案件停職措施的一個轉折點——無論是其合憲性還是其合理性。儘管在過去的四十年中,暫停案件審理的情況相對較少,但隨著聯邦司法機構規模的擴大和法官年齡的增長,就像其他更普遍的紀律處分程式一樣,暫停案件審理可能會變得更加常見。現在,《憲法》第三條中的法官中位數年齡接近70歲,而政治兩極化則迫使年長的法官在能夠任命志同道合的繼任者之前進一步推遲退休。

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Even if suspensions remain infrequent, moreover, they deserve scrutiny given the magnitude of constitutional and political harm that would result from their abuse. Prior criticism has focused on the risk that judicial councils will exercise “guild favoritism” to protect their peers from accountability, which if anything diminishes the likelihood of effective removal. Yet an even greater risk is that the JCDA process could be (or appear to be) wielded to target judges for ideological reasons, a charge that Judge Newman and her defenders have levied. While no evidence of such abuse exists in Judge Newman’s case, the prospect is unsettling: imagine a politically inflected suspension that tipped the balance of en banc review in a high-profile circuit case. Proponents of the JCDA have traditionally maintained that judges can be trusted to exercise more even-handed oversight of their colleagues’ conduct than external, political actors. But mounting political and ideological polarization within the judiciary could destabilize that normative foundation of judicial self-policing.
此外,儘管停職並不常見,但考慮到其濫用可能導致的憲法和政治危害的嚴重性,這些停職仍然值得審視。以往的批評主要集中在司法委員會可能會行使“行業偏袒(guild favoritism)”, 以保護其同僚免於問責,這在某種程度上降低了實際免職的可能性。然而,更大的風險在於,JCDA程式可能會(或看起來會)因意識形態原因被用來針對法官,這是Newman法官及其辯護者曾提出的指控。儘管在Newman法官的案件中沒有證據表明存在這種濫用,但這種可能性令人不安:設想一下,因政治因素而導致的停職,可能會改變某個備受關注的巡迴案件中全體法官審查(en banc review)的平衡性。JCDA的支持者通常認為,法官比外部的政治角色更值得信任,能夠更加公正地監督同事的行為。然而,司法系統內部日益加劇的政治和意識形態分化,可能會動搖這一司法自我監管的規範基礎。
Congress should prophylactically amend the JCDA to defuse the constitutional land mine that is effective removal. An amendment should clarify that Article III judges may only be categorically disqualified from new case assignments so long as they retain previously assigned cases on their dockets; and that the “time certain” standard applies only to less-than-categorical suspensions from certain kinds of cases or those involving certain (or certain kinds of) litigants. This narrow approach to amending the JCDA would maximize political feasibility and preserve the overall system of judicial self-discipline. It could also provide a springboard for considering more significant reforms to address looming issues of judicial old-age disability, which the Comment briefly canvasses in conclusion.
國會應該預防性地修訂JCDA,以消除實際免職這一憲法“地雷”。相關修正案應進一步闡明,《憲法》第三條中的法官被完全禁止接收新的案件分配時,其此前已被分配的案件必須被保留;並且“特定時間(time certain)”的標準僅適用於某些型別的案件或涉及特定的(或某些型別的)訴訟當事人的非全面性停職。對JCDA進行這種狹義的修訂將最大限度地提高政治可行性,同時維護整體的司法自我紀律體系。這也能為規模更大的改革提供一個跳板,以應對即將出現的司法老齡失能問題,這一點在評論的結尾部分也簡要討論了。
The Comment proceeds as follows. Part I elaborates the law of judicial discipline, focusing on the JCDA and distilling legal principles from prior challenges to the constitutionality of case- suspension sanctions under the Act. Part II develops the Comment’s two core moves, establishing the parameters of effective removal from judicial office and elaborating the constitutional defects of granting an effective removal power to judicial councils. Part III reassesses the JCDA in light of this argument and proposes an amendment to the case-suspension provision.
這篇評論的結構如下。第一部分詳細闡述了司法紀律的法律,重點關注JCDA,並從以往對該法案下案件停職制裁的合憲性爭議中,歸納出法律原則。第二部分提出評論的兩個核心觀點,即確定實際免職的界限,並闡述賦予司法委員會實際免職權的憲法缺陷。第三部分根據這一論點重新評估了JCDA,並對案件停職條款提出了修訂建議。

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CONCLUSION
結論
The Constitution protects the independence of federal judges by guaranteeing that they hold office unless impeached. If this guarantee is to mean anything, judges cannot be wholly deprived of the case-deciding power inherent in judicial office by means other than impeachment. This Comment has drawn upon both formalist and functionalist modes of constitutional interpretation and argument to show that case-suspension sanctions under the Judicial Conduct and Disability Act of 1980 can effectively remove an Article III judge from office, undermining both the separation of powers and judicial independence. No doubt judicial councils will exercise effective removal power responsibly in most cases. But perfect forbearance is not assured. And the Constitution forbids this end run around the Impeachment Clause even if the results prove mostly benign.
《憲法》透過保證聯邦法官在未被彈劾的情況下可以繼續擔任職務的方式保護其獨立性。如果想要這一保障具有意義,就不能透過其他方式完全剝奪法官作為司法官員所固有的案件裁決權。本文運用了形式主義和功能主義的憲法解釋和論證模式,表明JCDA下的案件停職制裁可能會實際地將《憲法》第三條的法官免職,從而削弱了三權分立和司法獨立。毫無疑問,司法委員會可以在大多數情況下會負責任地行使其實際免職權。然而,完全的自我剋制是無法確保的。而且,即使這種做法在大多數情況下看似無害,《憲法》也禁止這種規避彈劾條款的行為。
原文連結:
https://lawreview.uchicago.edu/print-archive/effective-removal-article-iii-judges-case-suspensions-and-constitutional-limits

