MEMORANDUM OPINION AND ORDER
I. INTRODUCTION
This matter is before the court on Defendants’ motions to dismiss under Federal Rules of Civil Procedure 12(b)(1) and 12(b)(6). (Docs. # 12,13.)
Plaintiff Tom Parker, an Associate Justice of the Alabama Supreme Court (“Plaintiff’ or “Justice Parker”), filed a Verified Complaint for Declaratory Judgment and Injunctive Relief on June 15, 2016. (Doc. # 1.) Brought under 42 U.S.C. § 1983, this action challenges the constitutionality of Alabama Canons of Judicial Ethics (“Judicial Canons”) 1, 2A, and 3A(6), as well as Section 159 of the Alabama Constitution. Justice Parker argues that the Judicial Canons violate his First Amendment free speech rights and that Section 159 violates his Fourteenth Amendment due process rights. Consequently, he asks the court to declare each unconstitutional, to enjoin their enforcement, and to award him costs and attorney’s fees.
Defendants, the Judicial Inquiry Commission of the State of Alabama and its members named in their official capacities (collectively, the “JIC”), have moved for dismissal on the ground that Younger v. Harris,
II. JURISDICTION AND VENUE
The complaint predicates subject-matter jurisdiction on 28 U.S.C. § 1331. The parties do not contest personal jurisdiction or venue.
A 12(b)(1) motion to dismiss for lack of subject-matter jurisdiction may take the form of a facial or factual attack. McElmurray v. Consol. Gov’t of Augusta-Richmond County,
IV. BACKGROUND
On March 3, 2015, prior to the United States Supreme Court’s decision in Obergefell v. Hodges, — U.S. -,
On October 6, 2015, Justice Parker, who is a candidate for reelection to the Alabama Supreme Court, appeared on a radio talk show during which he was asked, among other things, about his personal views on federalism, the U.S. Supreme Court, and the Obergefell decision. Specifically, Justice Parker expressed his opinion that Wisconsin’s response over 150 years ago to the U.S. Supreme Court’s pro-slavery decisions, e.g., Dred Scott v. Sandford,
When asked about Wisconsin, Justice Parker said:
The Wisconsin situation in fact involved a double defiance of the Supreme Court. First they defied the DredScott decision, and then their decision in defiance was taken up to the U.S. Supreme Court, which reversed it, sent its mandate back to the Wisconsin Supreme Court, which refused to accept that mandate, so the reversal was never acted on.
I think it was a model of what we need to see in this [country]. Now, in the federalist papers, they said the states should be a restriction on the powers of the federal government to prevent it from overreaching.
... [Tit’s time for the state Supreme Courts to rise up and do their responsibility for this entire system we have nationally, otherwise it’s just going to continue to get worse and worse.
(Doc. # 1-1, at 11). Having raised Wisconsin as an example, the radio host began to get more specific. He asked, “WTiat is the lay of the land right now in Alabama with regard to the subject of same sex marriage?” (Doc. # 1-1, at 12.) Justice Parker, in response, laid out the history of King and Obergefell, and noted that, because “nobody appealed [King] to the U.S. Supreme Court,” the Alabama Supreme Court must now determine whether King remains enforceable in Alabama. (Doc. # 1-1, at 12.) He explained that, in his view, the Obergefell mandate extends only “to the one court of appeals that was the source of the original cases taken to the U.S. Supreme Court” because Article III of the U.S. Constitution “says that the [Court’s] jurisdiction is over cases or controversies], and the practice from the very beginning was that a decision by the U.S. Supreme Court only affected the parties before that court.” (Doc. # 1-1, at 13.)
Justice Parker made it very clear he does not agree with the reasoning of Obergefell. Far from it, he believes the decision runs “contrary to the constitution” and is out of step with popular opinion. (Doc. # 1-1, at 15.) Unpopular judicial decrees, he thinks, are due largely to the fact that federal judges are appointed for life rather than being elected by the people they represent. (Doc. #1-1, at 14-15.) Lifetime appointments make judges unaccountable to the people, while elections help to “keep judges in line.” (Doc. # 1-1, at 15.)
The subject of judicial accountability prompted a broader dialogue about federalism, especially as it relates to Obergefell. Justice Parker explained to the audience that the Tenth Amendment “says that the state retains rights not delegated to the federal government” and “[t]here is nothing in the constitution that delegates any rights over marriage to the federal government.” (Doc. # 1-1, at 16.) He argued that the Obergefell decision was an example of the federal government “intruding into the state prerogative” in violation of the Tenth Amendment, and he voiced his belief that “states should be a check on the federal government.” (Doc. # 1-1, at 16, 17.) Asked what would happen if a state Supreme Court refused to “accept the jurisdiction of the [U.S.] Supreme Court,” Justice Parker said:
I doubt that it would be a blanket defiance of all jurisdiction of the U.S. Supreme Court, but in regard to the Obergefell decision, where it’s clear that they jumped outside of all the precedents in order to impose their will on this country, that yes, resisting that decision could maybe state a revival of what we need in this country to return to our original founding principles.
(Doc. # 1-1, at 9.).
In summary, Justice Parker—a candidate for political office, nearing election
The Southern Poverty Law Center (“SPLC”) took offense. On October 12, 2015, the SPLC filed a complaint with the JIC—the body charged with investigating violations of Judicial Canons and the primary defendant in this lawsuit. The complaint alleged that Justice Parker’s comments “assault the authority and integrity of the federal judiciary” and “publicly endorse ... [defiance of] Obergefell.” SPLC further complained that Justice Parker “offers ridicule and suggests defiance,” which in turn “foments the false impression in the public’s mind that the federal judiciary has tyrannically taken for itself unconstitutional power .... ” Thus, said the SPLC, Justice Parker’s expression of criticism of the federal courts in general, and the U.S. Supreme Court in particular, is worthy of state-sanctioned disciplinary action because it violated of a host of Judicial Canons promulgated by the state of Alabama.
Specifically, the complaint alleges that Justice Parker’s comments were in violation of Canon 1, which requires a judge to observe “high standards of conduct so that the integrity ... of the judiciary may be preserved”; Canon 2(A), which requires a judge to “conduct himself at all times in a manner that promotes public confidence in the integrity ... of the judiciary”; and Canon 3(A)(6), which requires a judge to “abstain from public comment about a pending or impending proceeding in any court.”
On November 5, 2015, the JIC notified Justice Parker that it intended to investigate all three purported violations, and informed him of his right to respond. (Doc. # 1-3.) Justice Parker responded on January 4, 2016. (Doc. # 26-1.) Since then, the JIC has kept its investigation open but has not filed a formal complaint with the Court of the Judiciary (“COJ”), which is the body responsible for trying ethics complaints after formal charges are filed. COJ decisions are appealable to the Alabama Supreme Court. Ala. Const., art. VI, § 157(b). Justice Parker filed this lawsuit in federal court on June 15, 2016. (Doc. # 1.)
V. DISCUSSION
While acknowledging the First Amendment issues that arise when the SPLC, in a political season, attempts to use an agency of state government to suppress speech with which the SPLC disagrees, the court also recognizes its duty to resolve legal questions in order of their priority. Thus, the threshold issue before the court today is whether the court must decline to exercise jurisdiction under the abstention doctrine of Younger v. Harris,
Although Younger itself involved the state prosecution of a criminal defendant, the Supreme Court has since extended Younger to also apply to “civil enforcement proceedings” and civil proceedings “that are uniquely in furtherance of the state courts’ ability to perform their judicial functions.” New Orleans Pub. Serv., Inc. v. Council of New Orleans,
Because the regulation of judicial ethics is unquestionably in furtherance of Alabama’s ability to perform its judicial functions, it is appropriate to consider the three Middlesex factors. NOPSI,
A. Important State Interest
Justice Parker does not dispute that Alabama has an important interest in regulating the conduct of state judges. Indeed, the Supreme Court “repeatedly has recognized that the States have important interests in administering certain aspects of their judicial systems.” Pennzoil Co. v. Texaco, Inc.,
This argument misses the mark. “[W]hether the proceeding is labeled civil, quasi-criminal, or criminal in nature, the salient fact is whether federal-court interference would unduly interfere with the legitimate activities of the state.” Middlesex,
B. Adequate Opportunity to Raise Constitutional Challenges
“Minimal respect for the state processes, of course, precludes any presumption that the state courts will not
If the court’s independent judgment were not enough, the Eleventh Circuit has suggested the same conclusion, albeit with some uncertainty. In Butler v. Alabama Judicial Inquiry Commission,
C. Ongoing State Judicial Proceeding
Justice Parker’s best argument against Younger abstention is that the investigation being conducted by the JIC is not an ongoing judicial proceeding. To support this contention, Justice Parker points out that no official complaint has been filed with the COJ and cites a number of authorities suggesting that investigatory proceedings, in the absence of formal judicial proceedings, are insufficient to trigger Younger. (Doc. # 34, at 7.) However, upon closer examination, each of the authorities relied upon is either distinguishable or inapplicable to this case.
For example, Justice Parker relies on Sprint Communications v. Jacobs, — U.S. -,
Nor can the JIC proceedings at issue here fairly be analogized to a criminal prosecution that “has been threatened, but is not pending.” See Steffel v. Thompson,
The Alabama Appellate Courts website explains that the JIC, which is a body created by the state constitution, see Ala. Const., art. VI, § 156, is “charged with investigating complaints of misconduct or professional wrongdoing on the part of judges.”
However, likening the JIC procedure to that of a grand jury does not resolve the issue. On the question of whether a grand jury proceeding constitutes an ongoing state judicial proceeding of the kind required to invoke Younger, the circuits are split. Texas Ass’n of Business v. Earle,
First, perhaps the most convincing of these reasons is the fact that the Supreme Court has held previously that the prerequisites for Younger were satisfied at an identical stage of a similar proceeding in New Jersey. In Middlesex, the U.S. Supreme Court held that a state disciplinary proceeding—which was administered by the New Jersey state bar and, much like the proceeding here, designed to discipline lawyers who had committed ethics violations—was “ongoing” as soon as the initial complaint was filed.
Second, even supposing the JIC proceedings were administrative rather than “judicial in nature,” application of the Younger doctrine is appropriate. The Supreme Court has readily applied Younger “to state administrative proceedings in which important state interests are vindicated, so long as in the course of those proceedings the federal plaintiff would have a full and fair opportunity to litigate his constitutional claim.” Dayton,
Third, as the JIC points out in its briefing (Doc. #36, at 3-4), the circuits uniformly have treated state administrative proceedings as “unitary” in determining whether they are “ongoing” (or “pending”) for Younger purposes. See Hudson v. Campbell,
VI. CONCLUSION
In the absence of binding Eleventh Circuit or Supreme Court authority, this court heeds the reasoned opinions of its colleagues in other circuits. Whether the JIC proceeding is more appropriately characterized as a grand jury or administrative proceeding, the relevant authorities suggest that it is “ongoing” for purposes of Younger. Therefore, in accordance with the longstanding principle of comity and out of respect for federalism, the court concludes that Younger is applicable here and abstains from exercising jurisdiction.
Alternatively, if there be any doubt about the prudence of today’s decision, the Eleventh Circuit instructs courts to “err— if we err at all—on the side of abstaining.” Butler II,
It is ORDERED that Defendants’ motions to dismiss (Docs. # 12, 13) are GRANTED. A final judgment will be entered separately.
DONE this 29th day of September, 2016.
Notes
. Whether Younger abstention should be raised under Rule 12(b)(1) or 12(b)(6) is the subject of some dispute. Some courts have emphasized that Younger "reflects a court's prudential decision not to exercise jurisdiction which it in fact possesses,” thus making 12(b)(1) seem an inappropriate vehicle. Weekly v. Morrow,
. In Obergefell,
. The Dred Scott case infamously held that a slave was an “article of property,” not a rights-bearing citizen, and thus could not sue for his freedom.
What has become known as the Booth case is actually a series of decisions from the Wisconsin Supreme Court beginning in 1854 and one from the U.S. Supreme Court, Ableman v. Booth,62 U.S. 506 ,21 How. 506 ,16 L.Ed. 169 (1859), leading to a final published decision by the Wisconsin Supreme Court in Ableman v. Booth,11 Wis. 498 (1859). These decisions reflect Wisconsin's attempted nullification of the federal fugitive slave law, the expansion of the state’s rights movement and Wisconsin’s defiance of federal judicial authority. The Wisconsin Supreme Court in Booth unanimously declared the Fugitive Slave Act (which required northern states to return runaway slaves to their masters) unconstitutional. The U.S. Supreme Court overturned that decision but the Wisconsin Supreme Court refused to file the U.S. Court’s mandate upholding the fugitive slave law. That mandate has never been filed.
In Re: Booth, Famous cases of the Supreme Court, Wisconsin Court System, https://www. wicourts.gov/courts/supreme/docs/ famouscases01.pdf. The same document can also be found in the record. (Doc. 26-1.)
. The other statutory provision challenged by Justice Parker is Section 159 of the Alabama Constitution, which disqualifies him from acting as a judge while there is a pending JIC complaint. Ala. Const., art. VI, § 159.
. The argument that the JIC would not consider the federal Constitution in its decision, despite constitutional issues being raised, is likewise destined for failure. As the Supreme Court said in regard to a similar argument, "it would seem an unusual doctrine ... to say that the Commission could not construe its own statutory mandate in the light of federal constitutional principles." Ohio Civil Rights Comm’n v. Dayton Christian Sch., Inc.,
. http://judicial.alabama.gov/appLcanons. dm, last visited Sept. 12, 2016.
. Of the commission's membership, the website says the following: "The commission is composed of an appellate judge appointed by the supreme court (cannot be a supreme court justice); two circuit judges appointed by the Circuit Judges’ Association; one District Judge appointed by the Lt. Governor; three persons who are non-lawyers appointed by the governor with confirmation by the Senate; and two members of the State Bar appointed by the Board of Bar Commissioners.”
.District courts facing the same question overwhelmingly have reached the consensus view that a grand jury proceeding is sufficient to satisfy Younger. See, e.g., Doe v. The Order Desk, Inc., No. CIV.A.3:97-CV-1479,
. Because Younger requires that there be a proceeding that is both "ongoing” and "judicial,” the court in Middlesex faced a simpler task in that half the work was already done for it.
