Private Letters of Caution

(a) Grounds for Issuance. An investigative or hearing panel of the Commission may issue a private letter of caution to a judge upon a determination that the judge engaged in conduct in violation of the Code that is not of such a nature as to warrant a recommendation of discipline by the Supreme Court. The issuance of a private letter of caution shall be in lieu of further proceedings in the matter, but in no instance may it be issued prior to the conclusion of a formal investigation. A private letter of caution issued by the Commission may advise the judge to engage in remedial action that is necessary to avoid a continuation or recurrence of the conduct in violation of the Code. 17 TOC Rule 11 (b) Response by the Judge. A judge who receives a private letter of caution may provide a confidential written response, which will be maintained by the Commission with the private letter of caution. (c) Confidentiality and Use in Future Proceedings. Unless waived in writing by the judge, a private letter of caution is confidential. Notwithstanding this provision, a private letter of caution may be used in future disciplinary proceedings against the same judge as an aggravating factor, as evidence of a pattern or practice of misconduct, or as evidence that the judge acted willfully or knew or should have known that the alleged conduct was contrary to the law or the requirements of the Code. In such circumstances, if included as part of the record of a disciplinary proceeding submitted to the Supreme Court, the private letter of caution may become public pursuant to Rule 6. History Note. 374 N.C. 960.