Investigations

(a) Generally. An investigative panel may authorize either a preliminary or formal investigation based on a complaint considered pursuant to Rule 9(b) upon the affirmative vote of at least 5 members, or upon the granting of a motion for reconsideration pursuant to Rule 9(e). (b) Preliminary Investigations. A preliminary investigation is made for the purpose of verifying the credibility of or ascertaining additional facts necessary to evaluate allegations in a complaint received by the Commission regarding potential judicial misconduct or disability. Notice of the preliminary investigation shall not be provided to the judge unless the notice is required by the investigative panel or is otherwise required by these rules. (c) Formal Investigations. A formal investigation is made for the purpose of determining whether a judge has engaged in actual misconduct in violation of the Code or suffers from a disability that seriously interferes with the judge’s judicial duties. In all formal investigations, the following procedures shall apply: 16 TOC Rule 10 (1) (2) (3) The judge shall be notified in writing of the initiation of the formal investigation and shall be given a general description of the subject matter thereof, including, if available, the specific case caption and number if the investigation relates to the judge’s conduct in a particular case. The notice letter shall not identify the name of the complainant unless necessary to allow the judge to determine whether the judge must be disqualified from continued involvement in cases involving the complainant, but shall state whether the investigation is initiated on written complaint or motion of the Commission. The notice of formal investigation shall be delivered by personal service or by Certified Mail, return receipt requested, to the judge’s residence or business address, or in any manner otherwise agreed to by the judge. The judge shall be afforded a reasonable opportunity to respond to the notice letter and provide relevant information to the Commission relating to the subject matter of the investigation. (d) Subpoenas During Investigation. After a formal investigation has been authorized, the Commission Counsel may issue subpoenas to the judge or witnesses to provide testimony and produce pertinent records, communications, and documents for purposes of concluding the formal investigation. (e) Retaliation by Judge. A judge receiving notice under this rule, or otherwise becoming aware of a complaint, investigation, or disciplinary or disability proceeding, shall not retaliate against, intimidate, coerce, or otherwise attempt to influence a complaining party or a witness cooperating with the Commission’s investigation or disciplinary or disability proceeding. A violation of this subsection may be charged as a separate and independent violation of the Code. History Note. 374 N.C. 960.