In Re: v. Pearson ( 1993 )


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  • March 16, 1993
    UNITED STATES COURT OF APPEALS
    FOR THE FIRST CIRCUIT
    No. 92-2158
    IN RE DONALD PEARSON, ET AL.,
    Petitioners.
    ON PETITION FOR WRIT OF MANDAMUS
    FROM THE UNITED STATES DISTRICT COURT
    FOR THE DISTRICT OF MASSACHUSETTS
    [Hon. A. David Mazzone, U.S. District Judge]
    Before
    Breyer, Chief Judge,
    Aldrich, Senior Circuit Judge,
    and Selya, Circuit Judge.
    David  R. Geiger,  with whom  Joseph D. Halpern,  Michele A.
    Whitham,  Sarah Burgess  Reed, and  Foley, Hoag  & Eliot  were on
    brief, for petitioners.
    William  L. Pardee,  Assistant Attorney  General,  with whom
    Scott  Harshbarger,   Attorney   General,  was   on  brief,   for
    respondents.
    March 16, 1993
    SELYA,  Circuit  Judge.   Petitioners  seek  a writ  of
    SELYA,  Circuit  Judge.
    mandamus  which,  if  granted,  will halt  the  district  court's
    nascent efforts to probe the continuing need for, or the possible
    modification  of, consent  decrees affecting  the operation  of a
    state   institution,  the  Massachusetts   Treatment  Center  for
    Sexually Dangerous  Persons  (the  Treatment  Center).    Because
    petitioners   cannot   satisfy  the   strict   prerequisites  for
    extraordinary relief by way of mandamus, we dismiss the petition.
    I.  BACKGROUND
    The United  States District  Court for the  District of
    Massachusetts  has been  involved with  the Treatment  Center for
    more  than two decades.   In 1974,  the district court  entered a
    consent decree  and supplemental  consent decree  in the case  of
    King  v. Greenblatt.1   The decrees  placed the  Treatment Center
    under the  primary authority  of the Massachusetts  Department of
    Mental  Health  and  obligated  the  department  to  operate  the
    facility  in accordance  with  certain standards.   The  district
    court specifically retained  the right to amend  the King decrees
    in the future.
    Although  the original  plaintiff, King, soon  left the
    Treatment  Center, other  residents  took up  the cudgels.   Over
    time,  inmates brought a variety of suits to enforce the decrees.
    1King, an  individual  confined  at  the  Treatment  Center,
    brought  suit,  inter  alia,  to   reform  certain  institutional
    policies and  practices.  Relevant  portions of the  original and
    supplemental consent decrees are  set forth as appendices  in two
    earlier decisions  of this court.  See  Pearson v. Fair, 
    935 F.2d 401
    ,  416-19 (1st Cir. 1991); Langton v. Johnston, 
    928 F.2d 1206
    ,
    1227-28 (1st Cir. 1991).
    2
    The  stream of  litigation occasionally  overflowed the  district
    court.   See, e.g., Pearson v. Fair, 
    935 F.2d 401
     (1st Cir. 1991)
    (Pearson II); Langton v. Johnston, 
    928 F.2d 1206
     (1st Cir. 1991);
    Pearson  v. Fair,  
    808 F.2d 163
      (1st  Cir. 1986)  (per  curiam)
    (Pearson  I).    The  petitioners, all  of  whom  were originally
    inmates of  the Treatment Center  and at least one  of whom still
    resides there,  have been at the eye of the  storm.  In the early
    1980s,  they brought an action  to enforce the  King decrees, see
    Pearson  I,  808  F.2d  at 165,  and  subsequently  survived  the
    Commonwealth's challenge to their alleged lack of standing.   See
    Pearson  II,  
    935 F.2d at
    404  n.4.    Moreover,  in 1988,  the
    petitioners intervened  in  the  King  case and  fended  off  the
    Commonwealth's motion to vacate the judgment therein.
    The continuing  saga of the federal courts' involvement
    with  the Treatment  Center  took a  new  turn in  1992  when the
    district  court,  acting  on   its  own  initiative  and  without
    providing advance  notice, appointed a special  master to analyze
    "the impact  of existing and  pending legislation on  the consent
    decrees" and on "the operation of the Treatment Center"; to study
    all unresolved claims alleging violations of the consent decrees;
    and  to  advise  the  court  concerning  the  Treatment  Center's
    operation and the continued viability of the King decrees.2
    The petitioners  learned of  this initiative  after the
    fact.  They  did not take kindly to it.   When the district court
    2The district  court's order is reproduced  in the appendix.
    We omit therefrom the master's curriculum vitae.
    3
    refused to alter its stance, the petitioners headed for the court
    of appeals.  In this forum, they ask for mandamus, asserting that
    the  lower court lacked jurisdiction to  appoint a master because
    King was dead,  juridically if not literally, and because neither
    side was currently seeking,  or had recently sought, modification
    of the  King decrees.   Petitioners also assert  a host  of other
    challenges to the entry of the order and to its scope.
    II.  THE USES OF MANDAMUS
    Congress  has authorized  the federal  courts to  issue
    prerogative writs  which are "necessary or appropriate  in aid of
    their respective jurisdictions."  28 U.S.C.   1651(a) (1988).  As
    the Court recently reminded us, a traditional use  of prerogative
    writs  has been to confine inferior courts to the lawful exercise
    of their prescribed jurisdiction or compel them to exercise their
    authority  when duty demands.  See Mallard v. United States Dist.
    Court, 
    490 U.S. 296
    , 308 (1989) (quoting Roche v. Evaporated Milk
    Ass'n,  
    319 U.S. 21
    ,  26  (1943)).    This  use  is  customarily
    accomplished by means of mandamus  or prohibition (terms which we
    employ  interchangeably in  this opinion).   Such writs  afford a
    mechanism for immediate correction of acts or omissions amounting
    to an "usurpation of power."   De Beers Consolid. Mines, Ltd.  v.
    United States, 
    325 U.S. 212
    , 217 (1945).
    Prerogative writs  are drastic remedies which  have the
    potential, if overexercised,  "to spawn piecemeal litigation  and
    disrupt  the orderly  processes of  the justice  system."   In re
    Recticel  Foam Corp., 
    859 F.2d 1000
    , 1005 (1st Cir. 1988).  Thus,
    4
    mandamus  must  be  used  sparingly  and  only  in  extraordinary
    situations.   See Allied Chem.  Corp. v. Daiflon,  Inc., 
    449 U.S. 33
    , 34 (1980) (per curiam);  Will v. United States, 
    389 U.S. 90
    ,
    107 (1967); In re Insurers Syndicate, 
    864 F.2d 208
    , 211 (1st Cir.
    1988); see  also Boreri v. Fiat S.p.A., 
    763 F.2d 17
    , 26 (1st Cir.
    1985) (warning that the  writ's "currency is not profligately  to
    be spent").
    To  ensure   that  the  writ's  use   is  appropriately
    rationed,  we have,  for the  most part,3  insisted that  a writ-
    seeker  limn "some  special risk  of irreparable  harm," together
    with "clear entitlement to the  relief requested."  Recticel, 
    859 F.2d at 1005
    ;  accord In re Bushkin Assocs.,  Inc., 
    864 F.2d 241
    ,
    243  (1st Cir.  1989); In  re Justices  of the  Supreme  Court of
    Puerto  Rico, 
    695 F.2d 17
    , 20 (1st  Cir. 1982).4   On the former
    prong, the petitioner "must ordinarily demonstrate that something
    3We qualify our statement because there are infrequent cases
    in which the usual requirements may be relaxed.  See, e.g., In re
    Justices  of the  Supreme Court of  Puerto Rico, 
    695 F.2d 17
    , 25
    (1st Cir. 1982); see  also In re Ellsberg,  
    446 F.2d 954
    ,  956-57
    (1st Cir. 1971).   Such cases invariably involve issues  of great
    public  import,  justifying resort  to  advisory  mandamus.   See
    generally Recticel,  
    859 F.2d at
    1005  n.4 (describing  types of
    cases  in  which  advisory  mandamus  may   be  suitable).    The
    petitioners  do not  suggest,  and we  cannot conclude,  that the
    matters implicated here fall into that category.
    4In  one  sense,  the  "clear  entitlement"  language  is  a
    misnomer.   It  seems more  accurate to  say that  a petitioner's
    entitlement  to the writ depends on a two-tiered showing that the
    district court's order (a) presents a special risk of significant
    irreparable harm  and (b) is palpably  erroneous.  See La  Buy v.
    Howes  Leather Co., 
    352 U.S. 249
    , 256  (1957).  We use the phrase
    "palpably erroneous" to signify a situation in which  the claimed
    vice  is plain  as  a matter  of  law and  is  also substantially
    prejudicial as a matter of fact.
    5
    about the order, or its circumstances, would make an  end-of-case
    appeal ineffectual or leave legitimate interests unduly at risk."
    Recticel, 
    859 F.2d at 1005-06
    ;  accord United States  v. Sorren,
    
    605 F.2d 1211
    , 1215 (1st Cir.  1979).  On the  latter prong, the
    petitioner  must usually  establish  a "clear  and  indisputable"
    right  to  the  requested relief,  Bankers  Life  &  Cas. Co.  v.
    Holland,  
    346 U.S. 379
    ,  384  (1953) (quoting  United  States v.
    Duell, 
    172 U.S. 576
    , 582 (1899)),  or, in other words,  that the
    challenged order is palpably erroneous.  See supra note 4.   This
    dichotomous    standard    is    sufficiently   stringent    that
    "[i]nterlocutory  procedural orders  .  . .  rarely will  satisfy
    th[e]  precondition for mandamus relief."   Recticel, 
    859 F.2d at 1006
    .  Nonetheless,  a district court's  appointment of a  master
    may be  so far afield, and the potential for mischief so great in
    a particular  situation, that immediate relief by way of mandamus
    is  warranted.  See, e.g., La Buy  v. Howes Leather Co., 
    352 U.S. 249
    , 256 (1957); National  Org. for the Reform of  Marijuana Laws
    (NORML) v. Mullen, 
    828 F.2d 536
    , 541-42 (9th Cir. 1987).
    III. DISCUSSION
    Because  petitioners'   variegated  challenges  reflect
    neither a  special risk of  significant harm  nor palpable  error
    attributable to the judge's  interlocutory order, mandamus is not
    justified.   For ease in presentation, we discuss these points in
    reverse order.
    A.  Presence of Palpable Error.
    The  petitioners have  failed  to demonstrate  that the
    6
    district court lapsed into palpable error or, stated another way,
    that  they  are clearly  entitled to  the  relief requested.   To
    explain why  this is so,  we deal  extensively with  petitioners'
    main "case or controversy" approach and then consider their other
    asseverations in a group.
    1.  The Case  or Controversy Requirement.   Petitioners
    1.  The Case  or Controversy Requirement.
    strive  to convince  us  that, at  the  time the  district  court
    appointed the master, no justiciable case or controversy existed;
    and that,  therefore, the  court's order plainly  outstripped its
    jurisdiction.  Petitioners' exhortation has two strands.  We find
    neither strand persuasive.
    a.
    a.
    The  first strand might be subtitled:  "On the Death of
    King."  Petitioners suggest that King was a "dead case" which the
    district  court improperly  resurrected.    Whatever this  morbid
    metaphor may  mean, it misses the  mark.  The entry  of a consent
    decree does not  "kill" a  case or terminate  a district  court's
    jurisdiction.    Rather,  when,  as now,  an  injunction  entered
    pursuant  to a  consent decree has  ongoing effects,  the issuing
    court retains authority to  enforce it.  See, e.g.,  System Fed'n
    No. 91, Etc. v. Wright, 
    364 U.S. 642
    , 647 (1961) (explaining that
    structural injunctions "often require[] continuing supervision by
    the  issuing court and  always a continuing  willingness to apply
    its  powers and  processes on  behalf of  the party  who obtained
    th[e] equitable relief").   By  the same token,  a court  retains
    authority to modify or interpret such decrees in light of changed
    7
    circumstances.   See, e.g., 
    id. at 646-47
    ; United States v. Swift
    &  Co., 
    286 U.S. 106
    , 114-15 (1932).  This authority is part of a
    court's  inherent  powers  and  exists regardless  of  whether  a
    particular  consent decree  expressly so  provides.5   See Swift,
    
    286 U.S. at 114
    ; see also Fed. R. Civ. P. 60(b)(5)-(6).
    Since a  district court has  power to modify  a consent
    decree, it  is impossible to say  that the court  below acted "in
    clear excess"  of its power, In  re Justices, 
    695 F.2d at 21
    , in
    taking the much  more tentative  step of appointing  a master  to
    investigate the possibility of modifying the decree.  See Chicago
    Housing Auth. v. Austin, 
    511 F.2d 82
    , 83 (7th Cir. 1975) (raising
    no question  as to  jurisdiction in such  a context).   In  other
    words, nothing  about the  lower court's  raising of a  moistened
    finger to test the winds implicated jurisdictional concerns.
    To  be sure,  petitioners place  great emphasis  on the
    fact that the original plaintiff, King himself, no longer resides
    at  the Treatment Center.  Because  of this fact, and because the
    King  case was  never certified  as a  class action,  petitioners
    categorize the case as defunct.   We believe this taxonomy is too
    simplistic.   In the first place,  the King case is  not dead; it
    is,  at worst,  moribund.   Even that  description may  be overly
    pessimistic; petitioners  themselves became parties in  King five
    years  ago  (when  the  district court  granted  their  motion to
    intervene), and their status  as parties has not been  altered by
    5Here, of course, the district judge explicitly reserved the
    power to amend.  See Pearson I, 808 F.2d at 165.
    8
    any subsequent order.  In the second place, the King decrees have
    ongoing  effects  and other  inmates  continue  to bring  actions
    seeking  their enforcement.   The  district court  obviously gave
    weight  to this reality, noting the "many cases filed by patients
    at  the  Treatment Center."   Moreover,  in  opting to  appoint a
    master,  the  court made  specific  reference to  contemporaneous
    allegations  about institutional failings gathered by forty-eight
    Treatment  Center residents  desirous  of  improving their  lot.6
    All things  considered, we find the tales  of King's demise to be
    greatly exaggerated.
    b.
    The  second, more  substantial,  salvo of  petitioners'
    jurisdictional  assault bombards the spontaneous character of the
    district  court's action.   This  fusillade also  goes awry.   We
    believe that  a district court's jurisdiction to modify a consent
    decree necessarily implies that  the court does not act  in clear
    excess of its authority when it appoints a master, sua sponte, to
    look into possible decree-modifying changes.  We explain briefly.
    A consent decree is not simply a contract entered  into
    between private parties seeking to effectuate parochial concerns.
    See  Firefighters v. Cleveland, 
    478 U.S. 501
    , 519 (1986); United
    6Although these grievances were contained in a letter to the
    judge, rather  than in a lawsuit,  petitioners apparently concede
    that  the district  court possessed the  authority to  docket the
    letter as a  pro se complaint.  We agree.   See Haines v. Kerner,
    
    404 U.S. 519
    ,  520 (1972)  (per curiam);  Soto v.  United States
    Postal  Serv., 
    905 F.2d 537
    ,  539 (1st Cir.  1990), cert. denied,
    
    111 S. Ct. 679
     (1991); McCall-Bey v. Franzen, 
    777 F.2d 1178
    , 1190
    (7th Cir. 1985); Gale v. United States Dep't of Justice, 
    628 F.2d 224
    , 226-27 (D.C. Cir. 1980).
    9
    States  v. ITT  Continental Baking  Co., 
    420 U.S. 223
    ,  236 n.10
    (1975).  The court  stands behind the decree, ready  to interpret
    and   enforce   its  provisions.      This   ongoing  supervisory
    responsibility carries with it a certain  correlative discretion.
    See  Wright, 
    364 U.S. at 648
    .   Unlike petitioners,  we do  not
    envision a  vast jurisdictional limbo  in which courts  forced to
    exercise their equity powers remain powerless to question whether
    what they  have  been doing  "has  been turned  through  changing
    circumstances into an instrument  of wrong."  Swift, 
    286 U.S. at 115
    .    Put  bluntly,  "parties  cannot,  by  giving  each  other
    consideration,  purchase  from a  court  of  equity a  continuing
    injunction."  Wright, 
    364 U.S. at 651
    .
    This is especially so  when, as in the instant  case, a
    consent decree calls for judicial supervision of a government-run
    facility.   In so ramified a setting, a court's decrees implicate
    the citizenry's interests  as well  as those of  the parties  and
    bear directly on the salubrious operation of public institutions.
    See  Heath v.  De Courcy,  
    888 F.2d 1105
    ,  1109 (6th  Cir. 1989)
    (acknowledging  that  such  decrees  "reach  beyond  the  parties
    involved  directly  in  the  suit"); New  York  State  Ass'n  for
    Retarded Children, Inc.  v. Carey,  
    706 F.2d 956
    ,  969 (2d  Cir.)
    (deeming  it  "well  recognized   that  in  institutional  reform
    litigation . . . judicially-imposed remedies must be open to .  .
    .  accommodation of  a wider  constellation of interests  than is
    represented in the adversarial  setting of the courtroom"), cert.
    denied, 
    464 U.S. 915
     (1983).  In institutional reform litigation,
    10
    injunctions should not operate inviolate in perpetuity.  See Rufo
    v. Inmates of  the Suffolk  County Jail, 
    112 S. Ct. 748
    ,  762-65
    (1992); Board of Educ. v. Dowell, 
    111 S. Ct. 630
    , 637 (1991); see
    also Milk Wagon  Drivers Union v.  Meadowmoor Dairies, Inc.,  
    312 U.S. 287
    ,  298-99 (1941)  (explaining  that  continuation of  an
    injunction is justified only by continuation of the circumstances
    which  induced  it).   This must  mean that,  notwithstanding the
    parties'  silence or inertia, the district court is not doomed to
    some Sisyphean  fate, bound  forever to  enforce and  interpret a
    preexisting  decree  without  occasionally  pausing  to  question
    whether  changing   circumstances   have  rendered   the   decree
    unnecessary, outmoded, or even harmful to the public interest.
    Against this  backdrop, the  fact that the  court acted
    sua sponte is not  fatal.  After all,  Fed. R. Civ. P. 53,  which
    governs the appointment of masters, does not necessitate a motion
    as a condition  precedent to  judicial action.   Taking our  lead
    from  the rule  itself,  we hold  that  a district  court is  not
    jurisdictionally disabled  from acting  on its own  initiative in
    appointing a master to  ascertain the need for alteration  of its
    ongoing  activities under a consent  decree.7  Cf.,  e.g., INS v.
    7In  its present posture, this case does not require that we
    decide whether, or when,  a district court may actually  modify a
    consent  decree sua  sponte.    See  Hook  v.  Arizona  Dep't  of
    Corrections, 
    972 F.2d 1012
    , 1016 (9th Cir. 1992) (stating that no
    justiciable controversy exists where a court proceeds to revise a
    consent decree although neither  party had moved for modification
    as required by  Fed. R. Civ. P. 60(b)); Cook  v. Birmingham News,
    
    618 F.2d 1149
    , 1152 (5th  Cir. 1980) (similar).  The court  below
    has  been  circumspect,  appointing  a master  only  for  limited
    investigatory and  advisory purposes.  Moreover,  some parties to
    the  litigation, most notably the  defendants (who have agreed to
    11
    Chadha,  
    462 U.S. 919
    ,  939-40  (1983) (explaining  that,  to be
    constitutionally sufficient, a case  or controversy need not stem
    exclusively from  the adversarial positions of  the litigants but
    may  stem from the real-world effect of a court's actions); Gomes
    v.  Moran, 
    605 F.2d 27
    ,  30 (1st  Cir.  1979)  (holding that  a
    district court did not exceed its powers when it  refused to bind
    defendants  to an  "incorrect"  decree despite  their failure  to
    request a modification).
    2. Petitioners' Other Arguments.   None of petitioners'
    2. Petitioners' Other Arguments.
    remaining  asseverations reveals error of  a kind or  to a degree
    required  to  justify a  writ of  mandamus.   We deal  in summary
    fashion  with  certain  of  these  asseverations,  dismissing the
    remainder without comment.
    a.
    Citing  La Buy,  
    352 U.S. at 256
    ,  petitioners contend
    that the order  of reference  constitutes an  "abdication of  the
    judicial  function"  to a  non-Article  III  adjudicator.   Here,
    however, unlike in La Buy or in Stauble v. Warrob, Inc., 
    977 F.2d 690
     (1st Cir. 1992) (where the district court referred the entire
    case to a  master for trial  and adjudication), we  think it  far
    from clear  that the master's mission,  as presently constituted,
    defray the master's  fees for the time being  and who have argued
    in this court against the issuance of a prerogative writ), are in
    agreement with the decision.  Hence, we cannot say, on the record
    as  it currently  stands,  that the  district  court's action  is
    tantamount to  a gratuitous modification of  the consent decrees.
    Cf.  Thompson v.  Enomoto, 
    815 F.2d 1323
    ,  1327 (9th  Cir. 1987)
    (ruling  that the  appointment  of a  special  master is  not  an
    immediately appealable modification of a decree).
    12
    extends  beyond permissible bounds.  All that can be gleaned from
    the record before us is that the district court seeks information
    about the efficacy of an  ongoing injunction.  On its face,  this
    seems a concinnous use of a master.  See Stauble, 
    977 F.2d at 695
    (discussing  use of  masters  in connection  with "remedy-related
    issues"); Chicago Housing Auth.,  811 F.2d at 83-84 (refusing  to
    annul  appointment  of  master in  analogous  circumstances); see
    generally  Vincent Nathan,  The Use  of Masters  in Institutional
    Reform Litigation, 
    10 U. Tol. L. Rev. 419
    , 443-44 (1979).   The
    order's scope, as the judge has delineated it, seems more akin to
    rendering  "mere assistance" to the court, a permissible use of a
    master in many sets  of circumstances, Stauble, 
    977 F.2d at 695
    ,
    than  to abdicating adjudication of "fundamental question[s]," an
    impermissible use  under any non-consensual set of circumstances.
    
    Id.
    b.
    It is  also argued  that the court's  designation of  a
    master should be obliterated because Rule 53's core requirement
    the  bedrock concept  that references are  reserved for  the rare
    cases which present "some exceptional condition," Fed. R. Civ. P.
    53(b)   is completely unfulfilled.  We disagree.
    The  case at hand is  intricate.  Its circumstances are
    highly ramified.  "Change" has been the  watchword virtually ever
    since  the consent decrees were entered.  See, e.g., Langton, 
    928 F.2d at
    1209-10  &  nn.  2-4  (describing  certain  changes  in
    pertinent  legislation over  time);  
    id. at 1212-13
      (describing
    13
    substantial changes in facilities and conditions of confinement);
    
    id. at 1213-16
      (describing  sweeping  changes   in  treatment
    modalities, programs,  and  the  like).   After  two  decades  of
    intimate   involvement  with   an   especially   complex   public
    institution  immersed in  a state  of continuing  transition, the
    district court is still mired in litigation.  We  think that this
    scenario  at least  arguably reflects  an  exceptional condition.
    Hence, appointing  a master to survey  the legislative landscape,
    investigate the  incidence and  impact of  changed circumstances,
    assess  the  current relevance  of  the decrees,  and  report the
    results  to  the court  did not  constitute  palpable error  as a
    matter of law.  See, e.g., Chicago Housing Auth., 
    511 F.2d at
    83-
    84  (refusing to annul district  court's appointment of master in
    analogous  circumstances); see  also  NORML, 
    828 F.2d at 543-45
    (explaining  that   complexity  of  litigation  and   of  decree-
    compliance can  justify appointment of a  master in institutional
    reform litigation); Carey, 706 F.2d at 962-63 (similar).
    c.
    Petitioners  next complain  that  some of  the  matters
    referred to the master outstrip the four corners of the pleadings
    in King.   The short  answer to this  plaint is that  the order's
    text does not  bear it  out.   The slightly  longer (but  equally
    availing) answer  is that the litigation's  procedural posture is
    still  fluid.   The  district court  has  before it  a  number of
    complaints dealing with various aspects of  life at the Treatment
    Center.  The order  plainly indicates that the court  proposes to
    14
    treat  these  cases  as  a  group,  at  least  for  some  (as yet
    undefined)  purposes.   Class certification  remains a  seemingly
    viable option.  To the extent  (if at all) that the court intends
    the order  of reference  to extend beyond  the sequestration-type
    issues  originally involved in  King, we  presume that  the court
    will travel an appropriate  procedural path.  See, e.g.,  Fed. R.
    Civ.  P. 42(a)  (discussing  requirements  for  consolidation  of
    actions); Fed. R.  Civ. P. 23 (discussing prerequisites  to class
    action  and related  matters);  Fed. R.  Civ.  P. 24  (discussing
    requirements  for intervention).   We  see no  reason, therefore,
    given the confined office of a petition for mandamus, to stop the
    court in its tracks.
    d.
    Finally,  petitioners  claim  that  the  district court
    failed to  provide them with notice before appointing the master.
    They say, moreover, that  this omission was exacerbated by  an ex
    parte  contact with respondents'  counsel (a contact  which, as a
    byproduct,  gave  respondents  advance  warning  of  the  judge's
    mindset).   We do  not believe  that, under  the totality  of the
    circumstances, these facts warrant  the issuance of a prerogative
    writ.
    While it  seems logical  for a  trial court to  consult
    with  affected parties  when contemplating  the appointment  of a
    master, the relevant procedural  rule does not explicitly require
    prior notice,  see Fed. R. Civ.  P. 53, and we  are unprepared to
    state that advance consultation  is absolutely essential in every
    15
    instance.8   Cf. Gary  W. v. Louisiana,  
    601 F.2d 240
    , 244  (5th
    Cir.  1979)  (holding that  a district  court  is not  obliged to
    convene  an  evidentiary  hearing  anent  whether  to  appoint  a
    master).   In this context, the purpose served by prior notice is
    threefold:   it permits parties to  (1) argue for or  against the
    very  idea of appointing a master,  see, e.g., 
    id. at 244-45
    , (2)
    offer  their  views on  the scope  of  any reference,  see, e.g.,
    Stauble, 
    977 F.2d at 694-96
     (discussing  scope considerations),
    and  (3) voice  their preferences  as to  the master's  identity.
    See, e.g., Morgan v.  Kerrigan, 
    530 F.2d 401
    , 426-27  (1st Cir.),
    cert. denied, 
    426 U.S. 935
     (1976).  As we have already indicated,
    the reasons for appointing  a master here are sensible  and self-
    evident; the scope of the reference is unremarkable; and, lastly,
    the petitioners have neither  expressed dissatisfaction with  the
    individual selected as the  master nor proffered any person  whom
    they  deem a more auspicious  choice.  In  this unique situation,
    the incidence of any error is problematic; and, at  any rate, the
    failure to provide notice seems benign.
    The  ex parte  contact  does not  stem  the tide.    It
    appears that the judge,  seeking to secure a commitment  from the
    Commonwealth to  absorb the master's  costs, directed a  clerk to
    8Nonetheless, we  agree with the Ninth Circuit that, when an
    order  of reference is entered  sua sponte and  without notice, a
    party  who  considers himself  aggrieved  thereby  will be  given
    considerable latitude as to the form and timeliness of an ensuing
    objection.   See Burlington N. R.R. Co. v. Department of Revenue,
    
    934 F.2d 1064
    , 1070-71 (9th Cir. 1991).
    16
    call  the  attorney general's  department.9   We  agree  with the
    petitioners that even this indirect  inquiry should not have been
    conducted   ex  parte.    In  our   adversary  system,  both  the
    administration of  justice and  the appearance of  justice demand
    that  courts refrain, by  and large, from  communicating with one
    party  to the  exclusion of  the other(s).   See,  e.g., Meridian
    Int'l  Logistics, Inc. v. United  States, 
    939 F.2d 740
    , 745 (9th
    Cir. 1991) (stating the  familiar rule that ex parte  contacts by
    the  judge are  not the norm);  see also  Model Code  of Judicial
    Conduct,  Canon  3B(7)  (1990).    Yet  in  this  instance,   the
    communication was  wholly  innocuous and  petitioners  have  been
    unable to suggest how the judge's lapse was harmful.  Because the
    court's  impetuosity was  in no  way prejudicial,  issuance  of a
    prerogative writ would be tantamount to using a bazooka to slay a
    gnat.   We decline  to engage  in  such judicial  overkill.   See
    Grieco  v.  Meachum,  
    533 F.2d 713
    , 719  (1st  Cir.)  (applying
    harmless-error analysis where alleged  ex parte contact caused no
    cognizable  harm),  cert. denied,  
    429 U.S. 858
     (1976);  United
    States  v.  DeLeo, 
    422 F.2d 487
    ,  499  (1st Cir.)  (same), cert.
    denied,  
    397 U.S. 1037
     (1970); see also Raytheon Co. v. Automated
    Business Sys., Inc.,  
    882 F.2d 6
    , 8 n.2 (1st Cir. 1989) (similar;
    involving arbitrator's ex parte contact).
    B. Special Risk of Irreparable Harm.
    9Petitioners  hint  that  the  contact may  have  been  more
    sinister, but they  offer no  support for their  suspicions.   We
    confine our  evaluation, therefore, to the  demonstrable facts of
    record.
    17
    Although  it   may  be  unnecessary  to   do  so  given
    petitioners'  failure  to  show  palpable  error,  we  take  this
    occasion to remark that petitioners likewise flunk the first part
    of the conventional  mandamus test:   they offer no  satisfactory
    reason  to believe that they will suffer irremediable harm if the
    writ does not  issue.   The order that  petitioners challenge  is
    merely preliminary.  The  only thing that it accomplishes  is the
    appointment of a master to conduct certain studies, analyses, and
    investigations,   compile   a   report,   and   thereafter   make
    recommendations to  the district judge.   We decline petitioners'
    invitation to  speculate, at  this early  date, about  the purely
    hypothetical consequences  that may or  may not  flow from  these
    operose labors.10  Accord  Chicago Housing Auth., 
    511 F.2d at 83
    (rejecting similar challenge to similar order of reference).
    Leaving rank speculation aside,  we can detect no other
    harm  of a kind sufficient to ground mandamus relief.  Certainly,
    any  increased  workload  that   may  result  from  the  master's
    involvement cannot turn the trick.  We have consistently rejected
    the  general burdensomeness  of  litigation, standing  alone,  as
    comprising a showing of  harm sufficient to animate the  power of
    10Petitioners' argument  on this point is  built entirely on
    the  fragile foundation  of conjecture  and surmise.   By  way of
    illustration, they  ruminate that,  if the master  makes findings
    concerning,  say, the  ability of  Treatment Center  personnel to
    function under the King decrees, the district court may give such
    findings  overly great  deference.   We prefer, however,  to deal
    with  the  actuality of  a  developed  situation rather  than  to
    anticipate that a federal district court will lapse into manifest
    error.   Cf. W. Shakespeare, Macbeth, act  I, sc. iii, ll. 133-34
    (1605) (suggesting that, frequently, "present fears are less than
    horrible imaginings").
    18
    mandamus.11   See, e.g.,  Recticel, 
    859 F.2d at
    1006 n.5;  In re
    Justices, 
    695 F.2d at 20
    .
    IV. CONCLUSION
    We need go  no further.   Mandamus is an  extraordinary
    remedy which "should be dispensed sparingly and only in pursuance
    of the  most carefully  written prescription, not  made available
    over  the counter, on casual demand.   It is not a substitute for
    interlocutory  appeal."   Recticel,  
    859 F.2d at 1005
    .   In its
    present posture, this case does not warrant a dose of such strong
    medicine.   The record here  is, for the  most part, malady-free;
    and  any symptoms  of  arguable error,  if  later shown  to  have
    blossomed into full blown diseases, are amenable to a traditional
    cure on direct appeal.
    The  petition for  mandamus  is  denied and  dismissed.
    Costs to respondents.
    11Petitioners  argue  that the  Court's  opinion  in Mallard
    marked the dawning  of a  new era, calling  our prior  precedents
    into serious question.  We  disagree.  Mallard did not deal  with
    the general burdensomeness of litigation at all; rather, the case
    involved an attorney compelled by a court to provide professional
    services against his will.  See Mallard, 
    490 U.S. at 300
    .
    19
    

Document Info

Docket Number: 92-2158

Filed Date: 3/16/1993

Precedential Status: Precedential

Modified Date: 12/21/2014

Authorities (40)

United States v. William C. Sorren , 605 F.2d 1211 ( 1979 )

Jose A. Soto v. United States Postal Service , 905 F.2d 537 ( 1990 )

Douglas Gomes v. John J. Moran, Director of Corrections, ... , 605 F.2d 27 ( 1979 )

In Re Recticel Foam Corporation, in Re San Juan Dupont ... , 859 F.2d 1000 ( 1988 )

In Re Daniel Ellsberg , 446 F.2d 954 ( 1971 )

Raytheon Company v. Automated Business Systems, Inc. , 882 F.2d 6 ( 1989 )

22 Fair empl.prac.cas. 1782, 23 Empl. Prac. Dec. P 31,022 ... , 618 F.2d 1149 ( 1980 )

alfred-stauble-individually-and-fub-warrob-inc-v-warrob-inc-alfred , 977 F.2d 690 ( 1992 )

In Re the Justices of the Supreme Court of Puerto Rico, in ... , 695 F.2d 17 ( 1982 )

in-re-insurers-syndicate-for-the-joint-underwriting-of-medico-hospital , 864 F.2d 208 ( 1988 )

Donald Pearson v. Michael Fair, Donald Pearson v. Michael ... , 935 F.2d 401 ( 1991 )

Robert J. Boreri v. Fiat S.P.A. , 763 F.2d 17 ( 1985 )

William Langton v. Philip Johnston, John Bruder, John ... , 928 F.2d 1206 ( 1991 )

In Re Bushkin Associates, Inc., and Merle J. Bushkin , 864 F.2d 241 ( 1989 )

No. 90-55281 , 939 F.2d 740 ( 1991 )

Gary W. v. State of Louisiana, Etc., Dr. William Cherry, ... , 601 F.2d 240 ( 1979 )

Chicago Housing Authority v. The Honorable Richard B. ... , 511 F.2d 82 ( 1975 )

Larry McCall Cross-Appellant v. Gayle Franzen, Cross-... , 777 F.2d 1178 ( 1985 )

evan-arthur-hook-v-state-of-arizona-department-of-corrections-samuel , 972 F.2d 1012 ( 1992 )

james-heath-harold-lancy-harold-keith-johnny-edwards-kenneth-thompson , 888 F.2d 1105 ( 1989 )

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