Opinion ID: 2520026
Heading Depth: 2
Heading Rank: 2

Heading: Judicial Conduct Commission Process

Text: ¶50 Next, Judge Anderson alleges a number of infirmities in the process employed by the Judicial Conduct Commission. Some of these, he says, amount to a deprivation of due process, as guaranteed him by the United States Constitution and the Constitution of Utah. Those of consequence we address in turn.
¶51 The first challenge to the Judicial Conduct Commission's process is a challenge to its division of duties. Judge Anderson urges that allowing the Commission itself to investigate, prosecute, and adjudicate claims against judges creates too great a risk of bias to be constitutionally permissible. Judge Anderson cites no constitutional provision as being violated, but we assume his reference is to due process under the United States Constitution. He also cites no relevant case law in support of his argument, nor did he make a meaningful argument on the point at oral argument. ¶52 This type of argument was addressed by the United States Supreme Court in Withrow v. Larkin, 421 U.S. 35 (1975), a case involving combined investigative and adjudicative functions of a medical board authorized to discipline physicians. Analogously, the Court noted that trial judges often make pre-trial determinations of probable cause (similar to the action taken here by the Judicial Conduct Commission in voting to proceed with formal charges against Judge Anderson) and then preside over a criminal trial related to those charges. Id. at 56. In Withrow, the Court found no constitutional difficulty with this process. Id. Here the Judicial Conduct Commission's involvement is limited to evaluation of the charges for purposes of determining whether formal proceedings should be commenced, and then adjudicating the charges based upon the evidence adduced at the hearing. [14] ¶53 The Judicial Conduct Commission's duty to investigate and prosecute allegations of misconduct against judges is delegated to the Commission staff. The Judicial Conduct Commission itself acts only on questions related to proceeding with a formal case after the initial investigation is complete, and in the adjudication of the charges after notice to the judge, and in a hearing at which evidence is adduced. We see no constitutional infirmity with this process.
¶54 The next challenge regards the current Judicial Conduct Commission practice of treating as a complaint, for purposes of investigation and action, not only those matters raised in communications from persons outside the Judicial Conduct Commission, but also matters raised by staff and members of the Commission. This process is authorized by Utah Code section 78-8-101(2), which defines [c]omplaint, saying: Complaint also includes the executive director of the commission's written statement of the allegation based on reliable information received in any form, from any source, that alleges, or from which a reasonable inference can be drawn that a judge is in violation of any provision of Utah Constitution Article VIII, Section 13. Utah Code Ann. § 78-8-101(2) (2002). ¶55 In In re Worthen, 476 P.2d 853 (Utah 1996), we declared unconstitutional the same practice, which had been adopted by the Commission as part of its rules. Our reasoning then was that the provisions of article VIII, section 13 merely permit[] the Commission to `investigate and conduct confidential hearings regarding complaints against any justice or judge.' 926 P.2d at 877 (quoting Utah Const. art. VIII, § 13). Since that time, in apparent response to Worthen, the legislature enacted section 78-8-101(2). The legislature did this pursuant to the authority granted it in article VIII, section 13 to establish the composition and procedures of the Commission. ¶56 We reaffirm our holding in Worthen that any attempt by the Judicial Conduct Commission, or its staff, to initiate action against a judge or justice absent a complaint brought by someone else exceeds the Commission's grant of authority by article VIII, section 13 of the Utah Constitution. 926 P.2d at 877. To the degree that section 78-8-101(2) violates this prohibition, it is unconstitutional. However, once a complaint has been brought by someone not a member of or staff to the Commission, it is clearly within the authority and duty of the Judicial Conduct Commission to investigate the facts giving rise to that complaint, and to fashion charges of judicial misconduct as may be supported by the evidence adduced in that investigation. ¶57 In Judge Anderson's case, verified complaints were brought against Judge Anderson by persons not part of the Commission. The investigation into those allegations resulted in charges that were ultimately considered and acted upon by the Commission. We find no impropriety in Judge Anderson's case.