Procedure on Receipt of Complaint or Information

(a) Summary Dismissal After Initial Review. The Executive Director and the Commission Counsel shall review a written complaint received by the Commission to determine whether the complaint discloses facts that, if true, indicate that a judge has engaged in conduct in violation of the Code or suffers from a disability that seriously interferes with the judge’s judicial duties. If the initial review does not disclose such facts, or if the allegations in the written complaint are the presiding Chairperson or obviously unfounded or Vice-Chairperson shall summarily dismiss the complaint at the next investigative panel meeting, subject to the right of a member of the panel to review the complaint and request consideration of it pursuant to subsection (b) of this rule. frivolous, then (b) Action on Review by the Investigative Panel. A written complaint not summarily dismissed pursuant to subsection (a) of this rule shall be considered by an investigative panel. The investigative panel shall also consider any complaint brought on the Commission’s own motion that is based on credible information received by the Commission disclosing facts that, if true, indicate that a judge has engaged in conduct in violation of the Code or suffers from a disability that seriously interferes with the judge’s judicial duties. By the affirmative vote of at least 5 members, the investigative panel may dismiss the complaint or authorize an investigation pursuant to Rule 10. (c) Notice to Judge Regarding Complaint. A judge who is the subject of a complaint pending before the Commission shall not be notified of the filing of the complaint, except: (1) if notification to the judge is required pursuant to Rule 10, following the authorization of a formal investigation; 14 TOC Rule 9 (2) (3) if the investigative panel considering the complaint has authorized the Chairperson, Vice-Chairperson, Executive Director, Commission Counsel, or Commission Investigator to notify the judge of the complaint in the interests of the administration of justice; or if the judge has been notified by the complainant that the complaint was filed, or if the judge has been notified by another state agency of the receipt of a complaint that was received by that agency and forwarded to the Commission as required by law or other rules. (d) Notice to Complainant Regarding Commission Action. A complainant who files a complaint with the Commission shall be notified in writing of: (1) (2) (3) (4) (5) the Commission’s receipt of the complaint; the initiation of a formal investigation into the complainant’s allegations; a dismissal of the complaint by the investigative panel, if applicable; the investigative panel’s decision with respect to an appropriate request for reconsideration after the dismissal of a complaint; and the issuance of an order of public discipline by the Supreme Court in the matter. In cases in which a complaint is dismissed with a private letter of caution pursuant to Rule 11, the complainant shall be notified that the matter has concluded and that the Commission has taken appropriate action within its authority to address the complainant’s concerns of judicial misconduct. In cases in which disciplinary proceedings against the judge have been initiated, the complainant shall be notified of the proceedings only if the complainant is to be called as a witness, or if the presiding Chairperson or Vice-Chairperson deems notice to be necessary in the interests of the administration of justice. (e) Requests for Reconsideration. Upon dismissal of a complaint, a complainant may request reconsideration of the dismissal, provided that a request for reconsideration will only be considered by the investigative panel that dismissed the complaint if a request includes new or additional information not previously considered by the panel. Multiple requests for reconsideration without new or additional information will be considered an abuse of the Commission’s complaint process and may result in a bar order pursuant to subsection (f) of this rule. (f) Abuse of the Complaint Process. At any meeting of an investigative panel, the Commission Counsel may request that the Commission bar a complainant from filing further complaints or requests for reconsideration with the Commission 15 TOC Rule 9 for either a specified period of time or permanently as to allegations against the judge that have already been considered by the Commission. A bar shall be ordered only upon the affirmative vote of at least 5 members of the panel after a finding by clear and convincing evidence that the complainant has abused the complaint process by: (1) (2) (3) (4) using abusive or threatening language that is directed toward the Commission, Commission members, or Commission staff, or toward specific members of the judiciary; knowingly filing false information with the Commission; repeatedly demanding that the Commission rehear a complaint that has already been reviewed and dismissed without providing new or significantly different allegations or evidence, or repeatedly demanding that the Commission consider a complaint that has already been determined to be outside of the time period allowed for review of the alleged misconduct by the Commission or outside of the Commission’s jurisdiction; or filing complaints that maintain the complainant is not subject to the authority of the State of North Carolina, or its laws, rules, or procedures, and that refuse to recognize the authority of the General Statutes of North Carolina over the Commission’s operations and procedures. History Note. 374 N.C. 960; 386 N.C. 974.