Case Name: Judge Wendell L. GRIFFEN v. The ARKANSAS JUDICIAL DISCIPLINE and DISABILITY COMMISSION
Court: Arkansas Supreme Court
Jurisdiction: Arkansas
Decision Date: 2003-11-20
Citations: 355 Ark. 38
Docket Number: 03-662
Parties: Judge Wendell L. GRIFFEN v. The ARKANSAS JUDICIAL DISCIPLINE and DISABILITY COMMISSION
Judges: Glaze, Corbin, and Hannah, JJ., dissent.
Reporter: Arkansas Reports
Volume: 355
Pages: 38–82

Head Matter:
Judge Wendell L. GRIFFEN v. The ARKANSAS JUDICIAL DISCIPLINE and DISABILITY COMMISSION
03-662
130 S.W.3d 524
Supreme Court of Arkansas
Opinion delivered November 20, 2003
Wendell L. Griffen, Judge, pro se; and Wilson, Engstrom, Corum & Coulter, by: Nate Coulter, for petitioner.
Mike Beebe, Att’y Gen., by: JeffR. Priebe, Ass’t Att’y Gen., for respondent.

Opinion:
Robert L. Brown, Justice.
Petitioner, Judge Wendell L. Griffen, petitions this court to grant a writ of certiorari to the respondent, Arkansas Judicial Discipline and Disability Commission (Judicial Commission), declaring a letter of admonishment invalid and quashing it. Judge Griffen mounts several arguments in support of his petition: (1) he did not violate the Arkansas Code of Judicial Conduct; (2) the remarks he made to the Arkansas Legislative Black Caucus are protected under the First Amendment to the United States Constitution as free speech and as the free exercise of religion; and (3) he was denied his right to due process of law because the complaint made against him was anonymous and because the Judicial Commission's decision was arbitrary, capricious, and contrary to the evidence. We issue the writ of certiorari and quash the admonishment because the canon involved, Canon 4C(1), is not sufficiently drawn so as to advise Judge Griffen under what circumstances he might consult with a legislative official on a matter of personal interest. Because of this, the canon did not place Judge Griffen sufficiently on notice as to what is proscribed conduct. As a result, the canon intrudes on legitimate free speech.
On March 18, 2002, Judge Griffen, who is African-American, appeared before the Arkansas Legislative Black Caucus in a public meeting called to discuss the recent dismissal of University of Arkansas at Fayetteville (University) basketball coach, Nolan Richardson. At that meeting, Judge Griffen first introduced himself:
My name is Wendell L. Griffen. I am a native Arkansan, grew up near Delight in Pike County, and now live in Little Rock with my wife (Dr. Patricia L. Griffen) and our two teenage sons. Since January 1,1996,1 have served on our state Court of Appeals. Before then, I practiced law in Little Rock and served briefly as Chairman of the Workers' Compensation Commission (fromApril 15,1985 to February 2,1987). I am also an ordained Baptist minister serving as Coordinator of Educational Ministries at Mt. Pleasant Baptist Church in Little Rock.
He next described his educational background at the University in college and law school and his involvement with the University since graduation, including his presidency of the Black Alumni Society of the Arkansas Alumni Association.
Following this introduction, Judge Griffen traced African-American enrollment at the University since 1948. He discussed what he described first as the absence and later the low percentage of black faculty. He next voiced his concern about black student recruitment, reduced black student enrollment, reduced financial aid to black students, the absence of black full professors, and the absence of black chairs of departments. He then discussed Coach Nolan Richardson and his firing despite his record of having the highest won-loss record in University basketball history. Because of these facts, Judge Griffen called upon the legislators to engage in economic retaliation during the legislative session:
Please weigh these facts alongside what will, no doubt, be similar to patterns at other state-supported schools of higher education in Arkansas. Bear in mind that these colleges and universities operate with tax dollars taken from hard working citizens of all races and ancestries. Our citizens are still paying, financially, emotionally, academically, and culturally, for inequities in public secondary education that followed the curse Governor Faubus left on our state. In the coming weeks and months, you will be approached by leaders from these schools and their supporters. They will urge you to appropriate more tax revenue for their institutions. Do not reward the captains of colleges and universities with personnel actions, admission standards, and institutional practices and policies that exclude, inhibit, and mistreat black students, faculty, staff, and citizens by appropriating more tax revenue to their schools. Previous appropriations have been used to maintain longstanding inequities, so use your appropriation votes to show that you will not be a willing accomplice to that injustice. As legislators, cast your votes on budget appropriation bills to send a clear signal to the University of Arkansas and other schools. Show them you will not support schools where black students, professors, and staff members are forced to watch their opportunities in higher education languish while their white counterparts enjoy most favored status at state expense. Chancellor White and Frank Broyles say they fired Coach Richardson because they lack confidence in his leadership, despite the successful results he produced over the past seventeen years. Whether you believe them or not — and I do not believe them— send them a budgetary vote of no confidence concerning sorry leadership about racial inclusion over the past 130 years at the University of Arkansas. SHOW THEM THE MONEY! [Emphasis omitted.]
In 2002, the Judicial Commission received three complaints against Judge Griffen relating to his public comments:
(1) On March 3,2002, an email was sent from a named complainant objecting to Judge Griffen's comment that "People of color want to send their children to places where they will have strong positive role models." The statement was made in conjunction with the University's dismissal of basketball coach, Nolan Richardson. The complainant stated that positive role models are wanted by all races and that Judge Griffen had turned this into a "racist situation." The complaint became Case No. 02-161.
(2) On March 29,2002, a named complainant wrote a handwritten letter to the Judicial Commission, also complaining about Judge Griffen's "people of color" remarks in connection with the University. The complainant charged that Judge Griffen "expressed racist views" and "votes in line to his racist views" on the court of appeals.This became Case No. 02-091.
(3) On April 8,2002, the Judicial Commission received a four-page letter written by an anonymous complainant, who complained about Judge Griffen's appearance before the Arkansas Black Legislative Caucus on March 18, 2002, and subsequent radio programs.The letter listed Judge Griffen's actions in (a) writing a letter from the University of Arkansas Black Alumni Society that complained about the University's decision to terminate Coach Richardson; (b) a quote by Judge Griffen in USA Today, stating that race was a factor in the Richardson firing; (c) Judge Griffen's letter to the University withdrawing all of his recruiting and fundraising support because of the demotion of a black administrator at the University; and (d) other comments about the University's lack of commitment to racial diversity. The letter pointed to violations by Judge Griffen of Canon 2 and Canon 4 of the Arkansas Code of Judicial Conduct. The anonymous complainant also alluded to a questionable dissent written by Judge Griffen in a court of appeals case and other public statements he had made, which exhibit his "outspokenness." The writer called on the Judicial Commission to investigate Judge Griffen for "unethical and improper conduct."This became Case No. 02-197.
By letter dated April 17, 2002, the Judicial Commission advised Judge Griffen of the complaints and the asserted violations of the canons and suggested that Judge Griffen also review Canons 3B(5) and 4C(1) of the Arkansas Code of Judicial Conduct. The Judicial Commission requested any comments from Judge Griffen within thirty days.
On May 10, 2002, Judge Griffen wrote to the Judicial Commission and denied any impropriety or violation of the canons. He discussed each canon raised by the Judicial Commission and wrote regarding Canon 4C(1):
Had the complainant bothered to study the newspaper article that reported that appearance [before the Legislative Black Caucus], he or she would have learned that I appeared in my own capacity, that I am an alumnus of the University of Arkansas, past president of the Black Alumni Society of the Arkansas Alumni Association, and past board member of the Arkansas Alumni Association. I disclosed those facts at the outset of my remarks and indicated that I was appearing on my own behalf.
Judge Griffen concluded by urging the Judicial Commission not to lend its office in support of tactics aimed at "chilling legitimate involvement by judges in issues of public interest."
By letter dated July 17, 2002, the Judicial Commission advised Judge Griffen that it was proceeding to investigate his conduct and enclosed a Statement of Allegations, which enumerated the canons in question:
• Canon 2A: "A judge shall respect and comply with the law and shall act at all times in a manner that promotes public confidence in the integrity and impartiality of the judiciary."
• Canon 2B: "A judge shall not lend the prestige of judicial office to advance the private interests of the judge or others____"
• Canon 3B(5):"A judge shall perform judicial duties without bias or prejudice. A judge shall not, in the performance of judicial duties, by words or conduct manifest bias or prejudice, including but not limited to bias or prejudice based upon race----"
• Canon 4A: "A judge shall conduct all of the judge's extra-judicial activities so that they do not: (1) cast reasonable doubt on the judge's capacity to act impartially as a judge____"
• Canon 4C(1): "A judge shall not appear at a public hearing before, or otherwise consult with, an executive or legislative body or official except on matters concerning the law, the legal system or the administration of justice or except when acting pro se in a matter involving the judge or the judge's interests."
The statement of allegations further set out the conduct subject to investigation, including Judge Griffen's appearance before the Legislative Black Caucus on March 18, 2002, but also Judge Griffen's comments relating to Coach Richardson's firing, which appeared in the Arkansas Times, USA Today, New York Times, and the Arkansas Democrat-Gazette. The relevant newspaper articles were attached. An answer was requested from Judge Griffen within twenty days.
On September 9, 2002, counsel for Judge Griffen wrote a lengthy response to the Judicial Commission in which each alleged violation was answered. With respect to Canon 4C(1), counsel wrote that racial diversity at the University was a matter of "heartfelt interest" to Judge Griffen and that he had spoken to the Legislative Black Caucus "for himself and his interests, not as an appellate judge in the Arkansas court system." The question, counsel asserted, is one of free speech and whether it is proper to curb Judge Griffen's outspokenness. Counsel concluded that to infringe on Judge Griffen's free speech would be "extremely hazardous," and asked the Judicial Commission to dismiss the complaints.
On September 20, 2002, the Judicial Commission wrote to Judge Griffen's counsel and advised that it had dismissed two complaints (No. 02-161 and No. 02-191) but had found sufficient reason to proceed with a Probable Cause Determination on No. 02-197, the anonymous complaint. The Judicial Commission said the hearing for that determination would concern Judge Griffen's appearance before the Legislative Black Caucus, which allegedly violated Canon 4C(1). The Judicial Commission further said it had "found" that Judge Griffen's comments about Coach Richardson and the University showed a lack of impartiality and violated Canon 4A. The Judicial Commission did not find sufficient cause to proceed with a probable-cause determination regarding the alleged violations of Canons 2A, 2B, and 3B(5).
On September 24, 2002, counsel for Judge Griffen responded and took issue with the Judicial Commission's finding that Judge Griffen had violated Canon 4A. Counsel further asked for discovery prefatory to the Probable Cause Determination.
On November 15, 2002, a hearing to determine probable cause took place before the Judicial Commission. Professor Mort Gitelman from the University of Arkansas Law School at Fayetteville testified for Judge Griffen. He informed the Judicial Commission about First Amendment law as it affects judges and their ability to speak out on matters of public interest. State Senator Tracy Steele also testified forjudge Griffen and advised the Judicial Commission that the Legislative Black Caucus is an "informal organization" that invited Judge Griffen to speak to give his "expert opinion." Dr. WilliamJ. Shaw next testified forjudge Griffen and told the Judicial Commission that black preachers like Judge Griffen have a duty to speak out on matters of "personal private morality" but also "institutional practices" that "have to do with equity and justice."
Judge Griffen testified on his own behalf and stated that his comments before the Legislative Black Caucus did not violate the canons but were expressly permitted under the Judicial Code as a "matter of the judge's interest." He admitted to being outspoken in matters of race and to criticizing the University for its failure to advance black professors. But he contended that this in no way impaired his service as a judge as he was speaking pro se and not using his judicial office to influence legislative opinion. The Judicial Commission presented no witnesses.
After the hearing, the Judicial Commission left the room to deliberate. When it returned, it dismissed all allegations that Judge Griffen had violated the canons except the allegation concerning Canon 4C(1). By a vote of four-to-three, the Judicial Commission voted to issue an admonishment to Judge Griffen for violating that canon.
On November 20, 2002, the Judicial Commission issued a Letter of Admonishment, which read in part:
The complaint, which was filed by an anonymous complainant, alleged, inter alia, that you appeared before the Legislative Black Caucus of the Arkansas General Assembly at a public hearing that was held March 18, 2002. Subsequent investigation of that complaint revealed that your testimony at that hearing did not concern the law, the legal system or the administration ofjustice. In addition, your appearance was not in connection with a matter involving yourself or your interests as contemplated by Canon 4(C)(1) of the Code of Judicial Conduct.
The Judicial Discipline & Disability Commission found that your appearance before the Legislative Black Caucus on March 18, 2002 was in contravention of Canon 4(C)(1) of the Code of Judicial Conduct. For your conduct in violating the Code of Judicial Conduct, it was the decision of the Commission that you be admonished.This public admonition constitutes adequate discipline and no further action is warranted.This Commission action is public information.
On December 16, 2002, Judge Griffen filed a complaint for declaratory and injunctive relief in federal district court. In that complaint, Judge Griffen challenged the constitutionality of the Judicial Commission's issuance of a Letter of Admonishment. In its subsequent Memorandum Opinion and Order dated May 31, 2003, the federal district court referred to the "deafening silence coming from the Commission and the Arkansas Supreme Court" concerning review of Judge Griffen's admonishment and his constitutional claims. The federal district court then dismissed Judge Griffen's claims without prejudice on the basis that it had no jurisdiction over the constitutional issue and that, accordingly, the matter should be left in the hands of the Arkansas Supreme Court. See Griffen v. Arkansas Judicial Discipline and Disability Com'n, 266 F. Supp. 2d 898 (E.D. Ark. 2003).
On June 12, 2003, Judge Griffen filed his Petition for Writ of Certiorari with this court. In that petition, Judge Griffen prayed for various forms of relief, including that this court declare the Letter of Admonishment invalid and quash it. On June 23, 2003, the Judicial Commission filed the Administrative Record with our Supreme Court Clerk. That record included a Report from the Judicial Commission to this court as required by Rule 12A of the Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission. That Report related to the violation of Canon 4C(1) and contained these findings:
1. Wendell L. Griffen is a judge on the Arkansas Court of Appeals.
2. On March 18, 2002, Judge Griffen appeared before the Legislative Black Caucus of the Arkansas General Assembly during a public hearing at which he testified.
3. The Legislative Black Caucus is part of a legislative body, the Arkansas General Assembly.
4. Judge Griffen testified about "inequities in higher education in our state," a matter of personal concern to him. A copy of Judge Griffen's remarks to the Legislative Black Caucus is attached to this report as "Attachment E." Judge Griffen's testimony did not concern the law, the legal system or the administration of justice. Judge Griffen's appearance was not in connection with a matter involving himself or his interests.
I. Violation of Canon 4C(1)
a. Standard of Review
Judge Griffen first contends that the Judicial Commission erred in finding that his comments to the Arkansas Legislative Black Caucus violated Canon 4C(1). We begin by establishing our standard of review. That standard is found in our Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission, which references our "review of the entire record." Rule 12E. Rule 12E goes further and says this court "may accept, reject, or modify in whole or in part, the findings and recommendations of the Commission." Id.
In Judicial Discipline & Disab. Comm'n v. Thompson, 341 Ark. 253, 16 S.W.3d 212 (2000), we acknowledged Rule 12E and our de novo review, but we added that we would not reverse the Judicial Commission's findings unless they were clearly erroneous. In a recent case involving judicial discipline, we limited our review under certiorari to errors appearing on the face of the record. Huffman v. Arkansas fudicial Disc. and Disab. Comm'n, 344 Ark. 274, 42 S.W.3d 386 (2001).
b. Legislative Body
We turn then to the language of Canon 4C(1) itself. That canon reads in full:
C. Governmental, Civic or Charitable Activities.
(1) A judge shall not appear at a public hearing before, or otherwise consult with, an executive or legislative body or official except on matters concerning the law, the legal system or the administration of justice or except when acting pro se in a matter involving the judge or the judge's interests.
In examining our judicial canons as in the case of examining our statutes, we give the words their ordinary and usually accepted meaning. Huffman v. Arkansas Judicial Disc. and Disab. Comm'n, supra.
Both parties in this matter wax eloquent on whether the Legislative Black Caucus is a "legislative body" under Canon 4C(1). The Judicial Commission in its Report to this court specifically found that the caucus was "part of a legislative body." We believe, however, that this issue is not determinative of whether Canon 4C(1) applies, because Canon 4C(1) also speaks in terms of consulting with a legislative official. Without question, the Legislative Black Caucus is made up of legislative officials irrespective of whether it is a legislative body. We have no doubt that Judge Griffen was consulting with legislative officials when he made his appearance before the caucus on May 18, 2002. As a result, we modify the Judicial Commission's findings in its Report to refer to consultation with legislative officials, as we are empowered to do under Rule 12E of the Judicial Rules.
c. History of Canon 4C(1)
In an attempt to illuminate the history and purpose of Canon 4C(1), we have traced its evolution in Arkansas since the Canons of Judicial Ethics were first adopted by this court in 1963. See Canons of Judicial Ethics, 237 Ark. Appx. 997 (1963). Those early canons contain no prohibition against judges consulting with an executive or legislative official. However, those canons did provide that judges could advise those in authority to remedy defects in procedure relating to the practice of law.
In 1972, the American Bar Association published its Model Code of Judicial Conduct and in 1973, this court adopted it. See In Re: Arkansas Code of Judicial Conduct, 255 Ark. Appx. 1075 (1973). Both the ABA's Model Code and the Judicial Code adopted by this court in 1973, contained the following canon as Canon 4B:
B. He [the judge] may appear at a public hearing before an executive or legislative body or official on matters concerning the law, the legal system, and the administration ofjustice, and he may otherwise consult with an executive or legislative body or official, but only on matters concerning the administration ofjustice.
There was no exception for consultation concerning pro se matters involving the judge's interests.
By per curiam order in 1988, this court readopted the Judicial Code with minor amendments. See In Re: The Arkansas Code of Judicial Conduct, 295 Ark. 707, 749 S.W.2d LXV (1988). In this Judicial Code, Canon 4B remained the same. There was no exception for a pro se matter involving the judge's interests.
In 1993, this court adopted a new Code of Judicial Conduct that followed, in most respects, a new Model Judicial Code published by the American Bar Association in 1990. See Code of Judicial Conduct, 313 Ark. Appx. 737 (1993). In this Judicial Code, Canon 4C(1) appears for the first time in its current form and includes the exception for consultation with executive or legislative officials on pro se matters involving the judge's interests. The sole commentary to this new canon refers back to Canon 2B "regarding the obligation to avoid improper influence."
d. Purpose of Canon 4C(t)
We have no doubt that the purpose behind Canon 4C(1) and its predecessor, Canon 4B, is to preserve judicial independence from the executive and legislative branches of government. Judges who lobby either branch of government on matters other than the administration of justice necessarily thwart that purpose. To that end, the improper use of the prestige of the judicial office must be avoided, and the commentary to Canon 2B to which the commentary to Canon 4C(1) refers us makes this abundantly clear. In a similar vein, the Arkansas Constitution assures the separation of powers among the three branches of government by providing that each branch is a separate department and that no person in one department shall exercise a power belonging to either of the other departments. See Ark. Const. art. 4, § 1 and 2. The public policy in our canons and the Arkansas Constitution is radiantly clear. Judicial independence is a hallmark of our system of government, and we cannot abide the entanglements between the judicial and other branches of government to which lobbying executive and legislative officials would unquestionably lead.
We hold that judicial independence is a fundamental principle to which the people of this state and the members of this court have subscribed. We have no hesitancy in adding that judicial independence is a compelling interest of the State. We cannot and will not countenance a blurring of the judge's role with that of the executive or legislative branches.
Canon 4C(1) also seeks to avoid improper use of judicial prestige. Under the Commentary to Canon 2B, which applies also to Canon 4C(1), examples of improper use of judicial prestige are given:
• gaining deferential treatment from a police officer following a traffic stop.
• using judicial letterhead for a personal or economic advantage.
• advancing the private interests of others such as gaining judicial advantage in a civil suit for a member of the judge's family.
• letters of recommendation to a sentencing judge on behalf of a defendant without an official request.
The clear message here is that such improper use is unethical. A judge can never divest himself or herself from being a judge. Once installed into office, the status of judge is indelibly imprinted on that person from that time forward.
e. Judicial Interests
Were we dealing with Canon 4C(1) as it was written from 1973 to 1993 as Canon 4B, we would affirm the Judicial Commission in admonishing Judge Griffen. But in 1993, we added a new exception. This court is now called on to interpret the meaning of the second exception to Canon 4C(1), which reads: "except when acting pro se in a matter involving the judge or the judge's interests." Surely this second exception means other interests than matters dealing with the administration of justice, which is the first exception. But what does it mean?
The parties before us are galaxies apart in their respective interpretations. Judge Griffen advances the theory that the exception means what it says and that a judge may consult with a legislator on any matter of interest to that judge. That interpretation, however, would mean that the exception would swallow the rule, and the rule would be meaningless. Clearly, a judge would not be consulting with a legislator on a matter that was not of interest to that judge. We will not engage in an absurd interpretation of our statutes, rules, or canons. Green v. Mills, 339 Ark. 200, 4 S.W.3d 493 (1999) ("This court does not engage in interpretations that defy common sense and produce absurd results"). We discard Judge Griffen's interpretation as unreasonable and unworkable.
The Judicial Commission, on the other hand, posits the theory that a judge's interests must be defined narrowly to mean only proprietary or pecuniary interests. For support, it turns to a dissenting opinion in Worth v. Benton County Circuit Court, 351 Ark. 149, 89 S.W.3d 891 (2002), where the dissentingjustice defined a judge's economic interest in the case of disqualification under Canon 3 as "a personal proprietary or pecuniary interest or one affecting the individual rights of the judge." 351 Ark. at 165, 89 S.W.3d at 901 (Glaze, J. dissenting). The issue in Worth, of course, involved the extent of a judge's economic interest in a proceeding that would cause that judge's impartiality to be questioned.
In the instant case, however, the issue is different. The question now before us is what issues of interest to a judge can be discussed with a legislator. The Judicial Commission urges that such issues of interest should be limited purely to economic interests of the judge. If that interpretation is correct, we question whether, apart from budgeting matters pertaining to judicial salaries and the like, it is desirable forjudges to lobby legislators or executive officials about personal matters such as their taxes, their farms, or their insurance policies, all of which are matters of pecuniary interest. Would not such a practice lead to the very entanglements with the other branches of government that Canon 4C(1) seeks to avoid?
Judge Griffen emphasizes the "pro se" language of the exception and contends that as long as he is acting for himself, and not as a judge, the exception pertains. Yet, as already referenced in this opinion, we cannot sanction an interpretation of the canon that allows a judge to assume protean identities, which can be changed at will. We reiterate that we are firmly convinced that a judge never sheds the judicial role so long as he or she remains in office.
Still, we are left with the dilemma of what the "judge's interests" exception means. The Judicial Commission admits there are no cases interpreting the scope of this exception. Indeed, we have found only one state, Alaska, that includes Commentary under its Canon 4C(1), which provides guidance on how to interpret "judge's interests." That commentary reads:
Section 4C(1) permits a judge to appear before a governmental body or government official on a matter concerning the judge's interest.The word "interests" should be interpreted broadly. A judge may speak on matters concerning the judge's social interests as well as matters affecting the judge's economic interests.
The Alaskan interpretation, of course, falls more in line with Judge Griffen's theory of the case.
We have sought to ascertain why the American Bar Association added the "judge's interests" exception to its Model Judicial Code in 1990. We have discovered only one Reporter's Explanation note regarding the added amendment to Canon 4C(1) in the Model Code. That note related to the Final Draft dated November 1989 and reads: "An additional exception was added for other activities under this rule that are permitted elsewhere by this Code." American Bar Ass'n Standing Comm, on Ethics & Profl Responsibility, Report to the House of Delegates 35 (Nov. 1989).
Judge Griffen fervently maintains that other canons in our Judicial Code permit him to speak out on non-legal subjects such as racism at the University. He refers us specifically to Canon 4B:
B. Avocational Activities. A judge may speak, write, lecture, teach on and participate in other extra-judicial activities concerning the law, the legal system, the administration of justice and non-legal subjects, subject to the requirements of this Code.
He urges that what he was doing before the Legislative Black Caucus was speaking on a non-legal subject, which constituted one of his interests, that is, racial discrimination at the University. He further maintains that he never sought to influence the legislators by virtue of his power as a judge.
When we consider the various arguments and interpretations made by the Judicial Commission and Judge Griffen, we are convinced that the "judge's interests" exception in Canon 4C(1) is not clear. Without question, it provided no standard or test to govern Judge Griffen's conduct in speaking before the Legislative Black Caucus. Just this year, this court described the appropriate test to invoke in examining a claim of vagueness:
For a statute to avoid being vague, it must give a person of ordinary intelligence fair notice that his contemplated conduct is forbidden and it must not be so vague and standardless that it leaves judges free to decide, without any legally fixed standards, what is prohibited and what is not on a case-by-case basis. Thompson v. Arkansas Social Servs., 282 Ark. 369, 669 S.W2d 878 (1984).The subject matter of the challenged law also determines how stringently the vagueness test will be applied. For instance, if the challenged law infringes upon a fundamental right, such as liberty or free speech, a more stringent vagueness test is applied; in contrast, however, if the law merely regulates business activity, a less stringent analysis is applied and more flexibility is allowed. Craft, supra (citing Village of Hoffman Estates v. Flipside, Hoffman Estates, 455 U.S. 489, 102 S. Ct. 1186, 71 L.Ed.2d 362 (1982)).A statute is not to be struck down as vague only because marginal cases could be put where doubts might arise. Thompson, supra (citing Davis v. Smith, 266 Ark. 112, 583 S.W.2d 37 (1979)).
Holloway v. Arkansas State Bd. of Architects, 352 Ark. 427, 436-37, 101 S.W.3d 805, 811-12 (2003). Applying the Holloway discussion of vagueness to the instant case, we conclude that without some standard or guidance in Canon 4C(1) about what is a proper interest of a judge for comment, Judge Griffen had no fair notice of what conduct was prohibited when he addressed the Legislative Black Caucus. Moreover, as we said in Holloway, when free speech is involved, a more stringent vagueness test is applied. We hold that the "judge's interests" exception is vague and unclear.
f Judicial Free Speech
We turn next to the issue of judicial free speech and the recent United States Supreme Court decision of Republican Party of Minnesota v. White, 536 U.S. 765 (2002). With its decision in Republican Party of Minnesota v. White, supra, the United States Supreme Court changed the landscape for judicial ethics, at least with respect to political campaigns. The issue in White was whether a judicial candidate could announce his views in a political campaign on disputed legal or political issues. For a candidate to do so directly violated the canons of judicial conduct contained in Minnesota's Judicial Code. The judicial candidate involved, however, complained that this restriction curtailed his freedom of speech under the First Amendment.
The Court agreed that the canon violated the First Amendment. It established that the proper test for determining the constitutionality of the restriction was strict scrutiny and said:
Under the strict-scrutiny test, respondents have the burden to prove that the announce clause is (1) narrowly tailored, to serve (2) a compelling state interest. E.g., Eu v. San Francisco County Democratic Central Comm., 489 U.S. 214, 222, 109 S.Ct. 1013, 103 L.Ed.2d 271 (1989). In order for respondents to show that the announce clause is narrowly tailored, they must demonstrate that it does not "unnecessarily circumscrib[e] protected expression." Brown v. Hartlage, 456 U.S. 45, 54, 102 S.Ct. 1523, 71 L.Ed.2d 732 (1982).
White, 536 U.S. at 774-75.
The Court concluded that the announce clause was not narrowly tailored to serve the impartiality of the judiciary or the appearance of impartiality. The Court further concluded that the impartiality of judges "may well be an interest served by the announce clause, but it is not a compelling state interest, as strict scrutiny requires." White, 536 U.S. at 777 (emphasis in original).
The Judicial Commission seeks to distinguish White on the grounds that it involved only a judicial candidate and a different canon than what we are concerned with in the instant case. That is true, and the ripple effect of the White decision has yet to be determined. Some states have been reluctant to read White broadly. See, e.g., In the Matter of William Watson, 100 N.Y.2d 290, 794 N.E.2d 1, 763 N.Y.S.2d 219 (2003) (per curiam) (judicial candidate's comments to help law enforcement if elected violated the pledges or promises prohibition in the New York Rules Governing Judicial Conduct); In re Patricia Kinsey, 842 So. 2d 77 (Fla. 2003) (judicial candidate's comments that she would favor law enforcement, if elected, violated the pledges or promises canon of the Florida Code of Judicial Conduct). We do not view the White decision as controlling precedent for the case at hand.
Nevertheless, it is crystal clear from Wlrite and previous cases that the strict-scrutiny test must be applied in cases such as we have before us in which a fundamental right such as free speech is circumscribed. See, e.g., Florida Bar v. Went For It, Inc., 515 U.S. 618 (1995) (restriction on commercial free speech must be narrowly tailored to achieve the desired objective). The Judicial Commission agrees that strict scrutiny is the proper analysis but simply argues that the tests of compelling state interest and narrow tailoring have been met. We have already established in this opinion that safeguarding an independent judiciary as contem plated by Canon 4C(1) is a compelling state interest. But that does not answer the question of whether Canon 4C(1) is narrowly tailored as required under the strict-scrutiny analysis. We are convinced that the Judicial Commission has not met its burden of showing that Canon 4C(1) with the standardless "judge's interests" exception was sufficiently tailored so as not to restrict legitimate free speech. Indeed, as we have already held in .this opinion, the "judge's interests" exception in Canon 4C(1) is vague and standardless. This failure to tailor Canon 4C(1) narrowly implicates the First Amendment and is an additional reason for reversal.
A word about the dissents. The dissents of Justices Corbin and Hannah are full of passionate intensity and conclude that the majority, with this opinion, "has failed not only the judiciary but also the citizens of this state." Boiled down to its essence, the arguments of the dissenters are (1) Canon 4C(1) is clear to them; (2) this court adopts the canons, so they must be clear; and (3) even if Canon 4C(1) is not clear, Judge Griffen's conduct was so egregious that it must be a violation. What the dissents fail to address is Judge Griffen's argument that Canon 4B allows judges to speak on non-legal matters subject to the requirements of the Judicial Code. Nor do the dissenters concern themselves with the First Amendment and the fact that Canon 4C(1) with the standardless "judge's interests" exception is neither sufficiently defined nor narrowly tailored so as not to restrict legitimate free speech. The dissenters essentially proclaim that they know a violation when they see one but offer no guidance on how to extend that special knowledge to others. Without that guidance, we are at a loss to know when a judge can lobby members of the General Assembly pro se about a matter of personal interest. We simply cannot tell from Canon 4C(1).
Of course, this court is forever amending its Rules of Professional Conduct, its Rules of Criminal Procedure, its Rules of Civil Procedure, its Rules of Evidence, and so forth in an effort to update those rules but also to bring better clarity. And that is precisely what needs to be done with Canon 4C(1).
We perceive that our overarching duty on this court is to follow the law. This includes adherence to the cornerstone principles of adequate notice of what constitutes impermissible conduct and closely defined parameters when infringement on free speech is involved. Both principles are interwoven in this case and determine its outcome. Far from failing the judiciary and the people of this state with this opinion, we have done exactly what is expected of us.
A third dissenter, Justice Glaze, posits that this court'has the power to revive an alleged violation of Canon 2B when the Judicial Commission determined before the probable-cause hearing that there was insufficient cause to proceed to a probable-cause determination regarding violation of that canon. The dissenter would decide the matter here on de novo review, or send it back for another hearing and decision. He concludes that he would affirm the admonishment for violation of Canon 2B. He advances this notion as an option even though the Arkansas Constitution expressly provides that it is the Judicial Commission that may "initiate" and shall receive and investigate complaints pertaining to "misconduct" of judges. Ark. Const, amend. 66(b). In the instant case, as a result of a letter written by an anonymous complainant, the Judicial Commission's Executive Director prepared a Statement of Allegations.
Amendment 66 to the Arkansas Constitution mandates this court to create procedural rules to implement that amendment. Ark. Const, amend. 66(f). In response, this court adopted the Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission, which give this court plenary power to accept, reject, or modify findings and recommendations of the Judicial Commission. See Rule 12E. Yet, that power applies solely to complaints received by the Judicial Commission and formal allegations or charges that have 'been brought by the Judicial Commission. Neither the Rules nor Amendment 66 empower this court to bring formal charges or resuscitate allegations for violations not found to warrant further investigation.
The Rules, in fact, provide for commencement of the case by the filing of either a sworn complaint or a formal statement of allegations prepared by the Executive Director. See Rule 8E. As stated earlier, the Executive Director filed formal allegations in the instant case. Amendments to those formal allegations are allowed after commencement of a public hearing "only if the amendment is technical in nature and if the judge and his counsel are given adequate time to prepare a response." Rule 11E. If a majority of the Judicial Commission recommends no discipline, "the case shall be dismissed." Rule 111.
The power of this court to remand to the Judicial Commission for additional findings pertains to the Judicial Commission's Report and specifically to "the recommendation for discipline or sanction to be imposed." Rulel2C. Again, there is nothing in the Rules granting this court the authority to bring formal charges or to breathe new life into an allegation that the Judicial Commission has already found not to warrant further investigation. That authority lies solely within the province of the Judicial Commission.
The dissent also mentions Rule 12F of the Procedural Rules, which provides that this court may bring up for review any action or failure to act by the Judicial Commission. Rule 12F, of course, merely implements Amendment 66, and that constitutional amendment, to repeat, manifestly provides that it is the Judicial Commission that shall receive and investigate complaints and may initiate allegations and charges. A harmonious reading of our Procedural Rules with our Constitution requires that the "action" alluded to in Rule 12F is to any violation of the canons and any sanction imposed by the Judicial Commission as a result of that violation. The failure to act refers to failure to investigate a complaint against a judge — not to insufficient or dismissed allegations or charges. The dissent seeks to resurrect an allegation not found to be sufficient by the commission, which has the effect of initiating a new allegation. That runs directly contrary to Amendment 66.
. It is also contrary to our caselaw. In Commission on Judicial Discipline & Disability v. Digby, 303 Ark. 24, 792 S.W.2d 594 (1990), we clarified in no uncertain terms that because the Judicial Commission is created by constitutional amendment, it is not an arm of the Supreme Court and differs from our Committee on Professional Conduct in that respect. In addition, we made it clear that Amendment 66 only authorized the Supreme Court to adopt procedural rules "but no general authority was conferred on this court to supervise the Commission." 303 Ark. at 27, 792 S.W.2d at 594. Regarding Rule 12F, we said "this court has provided that it may bring before it any action or failure to act on the part of the commission with respect to a case before the commission." Id. (Emphasis added.) An allegation not found to be based on sufficient cause indisputably is not a case pending before the Judicial Commission.
We concluded our opinion in Digby by emphasizing that the Judicial Commission "is a constitutional entity separate from this court," and we compared it to the State Highway Commission and to the Arkansas State Game and Fish Commission in stressing its independence. It is patently clear that the power to make allegations and bring charges against judges or to overrule the Judicial Commission on its decision not to pursue allegations is authority that does not abide in this court.
Apart from the fact that the Arkansas Constitution, our procedural rules, and our caselaw do not allow this, were we to revive an allegation at the appellate level, we would be whipsawing Judge Griffen (1) with an allegation previously not found to be sufficient which was not briefed as an issue by either party on appeal, and (2) with the actual violation and sanction pending before this court on appeal. This we will not do.
Even though the Judicial Commission "dismissed" all allegations at the end of the probable-cause determination, the only violation still under investigation at that time, other than a violation of Canon 4C(1), was a violation of Canon 4A. Allegations relating to Canon 2B had previously been found to be insufficient. For these reasons, we will not decide this matter on de novo review and revive an allegation.
Conclusion
No doubt Judge Griffen's outspoken conduct was offensive to some, including the complainants. Without question, there are varying opinions regarding the propriety of Judge Griffen's remarks. The issue, though, is whether his comments constitute an ethical violation, leading to punishment. Without a standard established in the "judge's interests" exception to Canon 4C(1) to guide Judge Griffen on what is a proper area of comment to the legislative officials, we are hard-pressed to find a violation of the canon. And without proof of a "narrow tailoring" of the exception by the Judicial Commission when the parameters of speech based on conduct are directly involved, Canon 4C(1), as applied to Judge Griffen, violates his First Amendment rights.
Accordingly, because the exception relating to a judge's interests is vague and indefinite and is not narrowly tailored so as to avoid an infringement on free speech, we hold that the Judicial Commission clearly erred in its finding regarding Judge Griffen's interests, and we grant the petition for writ of certiorari and quash the admonishment. Because we decide this matter as we do, there is no need to address Judge Griffen's other reasons for granting the writ.
We do, however, take this opportunity to encourage the Judicial Commission to study the "judge's interests" exception to Canon 4C(1) and provide its recommendations to this court for a proper amendment or additional commentary, which will set in place a proper standard to govern this conduct.
Writ granted.
Glaze, Corbin, and Hannah, JJ., dissent.
One Commissioner, Judge Leon Jamison, voted against proceeding with a Probable Cause Determination.
According to the record, the Judicial Commission determined at its preliminary meeting that Judge Griffen had violated Canons 4A and 4C(1) and, as such, determined that there was enough evidence to warrant further consideration of the matter at a Probable Cause Determination.
This court assumes that when the Judicial Commission dismissed "all allegations," this included dismissal of the allegation that Judge Griffen violated Canon 4A. As previously stated, the Judicial Commission had not found sufficient cause to proceed to a probable-cause determination regarding alleged violations of Canons 2A, 2B, and 3B(5).
Rule 12F of the Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission provides that this court may bring up a matter for review on certiorari. It has been the practice of this court only to review such matters upon petition by the disciplined judge.