Rule 7 Initial Inquiry, Investigation, and Formal Complaint

(1) Initial inquiry. Upon receipt of a complaint, its own motion, or request of the Supreme Court, the Board shall send a copy of the complaint or its motion to the judge, and shall inform the judge and the complainant that an initial inquiry is being undertaken. The initial inquiry shall consist of a review of the complaint and any additional records the Board deems necessary, such as the docket sheet, copies of court filings, a written, audio, or video record, a written response from the judge, or other relevant materials. No interviews of witnesses or of the judge shall occur as part of the initial inquiry. The Chair may appoint a member of the Board or a screening committee to make that initial inquiry and report back to the Board. Following the initial inquiry, the Board may dismiss the complaint, pursue a deferred discipline agreement, issue a written warning, or order a preliminary investigation.

(2) Investigation. In any case in which the Board decides that an investigation is necessary, it shall engage disciplinary counsel or special counsel to carry out the investigation. The Board shall inform the judge that a preliminary investigation is being initiated and shall give the judge at least thirty days to respond. The person or persons appointed to conduct an investigation shall present a recommendation to either the Board or to an investigative panel consisting of three members appointed by the Board Chair. Any three-member panel shall consist of one judge, one attorney, and one lay member of the Board.

(3) Determination of Probable Cause. Where probable cause exists, in determining whether or how to proceed further the Board may consider the seriousness of the transgression, whether there is a pattern of violations by the judge, and the effect of the judge’s actions on others or on the judicial system. The Board in its discretion may proceed to the Formal Complaint process, pursue a deferred discipline agreement, issue a written warning, dismiss the complaint, or pursue any other action authorized by these rules. If the investigation reveals to the satisfaction of the Board that no probable cause exists for a Formal Complaint, it shall dismiss the complaint. When a complaint is dismissed, the Board shall issue a closure letter in conformity with Rule 11.

(4) Formal Complaint. A Formal Complaint shall consist of a short and plain statement of the charges against the judge and the alleged facts upon which the complaint is based, and shall advise the judge of the right to file a written answer within twenty-one days of service, to be represented by counsel, to cross-examine witnesses, and to produce evidence on the judge’s behalf. The Formal Complaint shall be served under Rule 1(12).