Title: In Re: Arkansas Bar Association Petition to Revise Procedural Rules of the Arkansas Judicial Discipline and Disability Commission.

State: arkansas

Issuer: Arkansas Supreme Court

Document:

SUPREME COURT OF ARKANSAS No. 07-444 IN RE: ADOPTION OF AMENDMENTS TO RULES OF PROCEDURE OF THE ARKANSAS JUDICIAL DISCIPLINE AND DISABILITY COMMISSION IN RESPONSE TO ARKANSAS BAR ASSOCIATION PETITION Opinion Delivered March 13, 2008 PER CURIAM Amendment 66 to the Arkansas Constitution created the Arkansas Judicial Discipline and Disability Commission, and subsection (f) of the amendment provides that the Supreme Court shall make procedural rules implementing this amendment. In 2005, the court requested the Arkansas Bar Association to perform a comprehensive review of the current Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission and report its findings. In response to this request, the Bar Association appointed the Task Force on Procedural Rules of the Arkansas Judicial Discipline and Disability Commission composed of six circuit judges and nine lawyers. The Bar Association filed a petition with the court to present the work of the Task Force. On May 24, 2007, we published for comment the Task Force’s Report, a Summary of Recommendations, and Recommended Changes in Rules, Policies, and Guidelines. In Re Arkansas Bar Association Petition to Revise Procedural Rules of the Arkansas Judicial Discipline and Disability Commission, 370 Ark. Appx. (2007). Upon review of the Task Force’s recommendations and consideration of the comments 1 Revised Intake Instructions and Complaint Forms were published for comment. They do not require Supreme Court action pursuant to Rule 2 of the Rules of Procedure of the Arkansas Judicial Discipline and Disability Commission, and we understand that these recommendations have been acted on. ­2­ received, we are in agreement with the Task Force’s proposal with only minor changes. We adopt the amendments to the Procedural Rules of the Arkansas Judicial Discipline and Disability Commission as set out below, and republish the rules. 1 This amendment shall be effective for complaints brought to the Commission on or after June 1, 2008. The changes include the addition of a new subsection (F) to Rule 1 and a new Rule 15. Prior Rules 8, 9, and 11 are being combined into new Rules 8 and 9. Also, prior Rules 6 and 11 are being replaced by new provisions. To highlight some of the changes: –all but anonymous complaints must be signed; –ex parte communications are prohibited on matters of substance between persons involved in the investigation and persons involved in the adjudication of a complaint; –screening hearings and the probable cause hearings are being replaced by the use of separate Investigation Panels and Hearing Panels to provide for the screening and hearing of complaints and the involvement of Commission members in early decision- making on complaints and investigations; and –a timetable for the adjudication of complaints is established. We also agree with the Task Force’s recommendations as explained in its report that the Commission establish appropriate deadlines for presenting intake complaints to the panel and completing the investigation. ­3­ Again, we thank the Bar Association for assisting the court in this endeavor and especially the members of the Task Force: Judges Kathleen Bell, Elizabeth Danielson, Robert Edwards, Mary Ann Gunn, Willard Proctor, and Hamilton Singleton; Attorneys Vince Chadick, Nate Coulter, Thomas Curry, Barbara Halsey (now circuit judge), Larry Jegley, Sean Keith, Gary Nutter, Kent Rubens, and the Task Force’s chair, Robert Cearley, Jr. RULES OF PROCEDURE OF THE ARKANSAS JUDICIAL DISCIPLINE AND DISABILITY COMMISSION Rule 1. Organization of Commission. A. Composition of Commission. In accordance with Ark. Const. Amend. 66 and Act 637 of 1989, the Commission on Judicial Discipline and Disability shall have nine members who shall be residents of Arkansas. Three members shall be justices or judges appointed by the Supreme Court (judicial members); three shall be lawyers admitted to practice in this state, who are not justices or judges, one appointed by the Attorney General, one by the President ofthe Senate, and one by the Speaker of the House of Representatives (lawyer members); and three members who are neither lawyers nor sitting or retired justices or judges shall be appointed by the Governor (public members). B. Meetings. The Commission shall hold an organization meeting immediately upon establishment and biannuallythereafter, and shallmeet at least monthlyat announced dates and places, except when there is no business to be conducted. Meetings shallbe called bythe Chair or upon the written request of three members of the Commission. C. Terms of Commission Members and Alternates. With the exception of the initial appointees, whose initial terms shall be made so that reappointments and later appointments are to be staggered, Commission members and alternates shall serve for terms of six (6) years and shall be eligible for reappointment to second full terms. (Initial appointees shall be eligible for second terms of six (6) years.) At its organization meeting, the members of the Commission shall draw for lengths of initial terms so that one member in each group of members, judicial, lawyer, and public, shall have a four (4) year initial term, one member in each group shall have a five (5) year term, and one member in each group shall have a six (6) year term. After the terms of the initial appointees have been established, slips of paper, each with the name of the alternate, shall be placed in a container. Each member shall draw one of the slips of paper, and the alternate whose name is thus drawn shall have the same length of term as the member who drew his or her name. ­4­ D. Officers. At the organization meeting the members of the Commission shall elect one among them to serve as chair and another to serve as vice­chair. The vice­chair shall perform the duties of the chair whenever he is absent or unable to act. E. Quorum; Voting Requirements. Five members of the Commission shall constitute a quorum for the transaction of business. A finding of probable cause shall require the concurrence of a majority of the members present. Any alternate member may serve in the place of any member of the same category whenever such member is disqualified or unable to serve and upon the call of, or on behalf of, the chair. An alternate member who is present at a Commission meeting but who has not been called to serve may neither be included in a quorum count nor vote on any matter being considered at such meeting. Whenever an alternate member is called to serve in the place of a member of the Commission, an announcement with respect thereto shall be made at the commencement of the meeting. A recommendation that discipline be imposed shall require the concurrence of a majority of the members of the Commission. F. Investigation Panels and Hearing Panels. The initialreview and investigation ofcomplaints shall be conducted by and at the direction of an Investigation Panel, which shall act only by majority vote of the Panel. At the regular organization meetings of the Commission, the chair shall appoint from the nine Commission members and nine Alternates no fewer than three Investigation Panels of three members, each consisting of one judicial member, one lawyer member, and one public member. Thus constituted, these Investigation Panels shall conduct and direct the initial review and investigation of complaints without the knowledge or involvement of the Commission whose members shall serve as the Hearing Panel and conduct the formal proceedings to inquire into charges against a judge. Complaints shall be allocated among the Investigation Panels in rotation. No Commission member or Alternate shallserve on a Hearing Panel involving anymatter considered byan Investigation Panel of which he or she was a member. Rule 2. Powers and duties of the Commission. A. Rules and Forms. The Commission may recommend to the Supreme Court adoption or amendment of rules with regard to all disciplinary and disability proceedings, promulgate additional rules of procedure not inconsistent with these rules, and require the use of appropriate forms. B. Annual Report. The Commission shall have prepared an annual report of its activities for presentation to the Supreme Court and the public at the end of each calendar year. Rule 3. Financial arrangements for Commission. A. Compensation Proscribed. The Commission members shallserve without compensationfor their services. ­5­ B. Expenses Allowed. The Commission members shall be reimbursed for expenses necessarily incurred in the performance of their duties. C. Authorization for Payments. Expenses or the Commissionas provided in section 2.(d) ofAct 637 of 1989, shall be authorized to be paid in accordance with the approved Commission budget. Rule 4. Commission office. The Commission shall establish a permanent office in a building open to the public. The office shall be open and staffed at announced hours. Rule 5. Duties of the director. The Commission shall prescribe the duties and responsibilities of the director which shall include the authority to: (1) Consider information from any source and receive allegations and complaints; (2) Make preliminary evaluations; (3) Screen complaints; (4) Conduct investigations; (5) Maintain and preserve the Commissions records, including all complaints, files and written dispositions; (6) Maintain statistics concerning the operation of the Commission and make them available to the Commission and to the Supreme Court; (7) Prepare the Commission's budget for its approval and administer its funds; (8) Employ and supervise other members of the Commission's staff; (9) Prepare an annual report of the Commission's activities; and (10) Employ, with the approval of the Commission, special counsel, private investigators or other experts as necessary to investigate and process matters before the Commission and before the Supreme Court. ­6­ Rule 6. Jurisdiction 1 . The Commission shall administer the judicial discipline and disability system, and perform such dutiesasare required to enforce these rules. The Commission shallhave jurisdiction over any“judge” regarding allegations of misconduct or disability, pursuant to the limitations set forth below. A. Establishment of Grounds for Discipline. The grounds for discipline are those established in part (b) of Ark. Const. Amend. 66 and those established by Act 637 of 1989. B. Distinguished from Appeal. In the absence of fraud, corrupt motive or bad faith, the Commission shall not take action against a judge for making findings of fact, reaching a legal conclusion or applying the law as he or she understands it. Claims of error shall be considered only in appeals from court proceedings. C. Judge­in­Office. As used in this section, “judge” is anyone, whether or not a lawyer, who is an officer of the judicial system and who is eligible to perform judicial functions, including a justice, magistrate, court commissioner, special master, referee, whether full­time or part­time. The Commissionshallhavejurisdictionoverallegationsofmisconduct occurring prior to or during service as a judge, and regarding issues of disability during service as a judge. D. Former Judge. The Commission has continuing jurisdiction over any former judge regarding allegations of misconduct occurring before or during service as a judge, provided that a complaint is received within one year of the person’s last service as a judge unless the person has actively concealed material facts giving rise to the complaint. E. Overlapping Jurisdiction. Nothing in these rules, or in the provisions regarding jurisdiction of the Commission, shallbe construed as limiting in anywaythe jurisdictionofthe ArkansasSupreme Court Committee on Professional Conduct. Rule 7. Disclosure. A. Any action taken by the Commission after investigation of a judge shall be communicated to the judge by letter which shall become public information. If the allegations leading to the investigation have proven to be groundless, the letter to the judge shall so state. B. If the Commission finds it necessary to file a formal statement of allegations against a judge and to proceed to a hearing, the statement of allegations and the hearing shall be open to the public as shall the records of formal proceedings. The Commission may, however, conduct its deliberations in executive session which shall not be open to the public. Any decision reached by the Commission in such an executive session shall be announced in a session open to the public. C. Investigatory records, files, and reports of the Commission shall be confidential, and no disclosure ofinformation, written, recorded, or oral, received or developed bythe Commission in the ­7­ course ofan investigation relating to alleged misconduct or disabilityofa judge, shallbe made except as stated in A. and B. above or as follows: (1) Upon waiver in writing by the judge under consideration at the formal statement of allegations stage of the proceedings; (2) Upon inquiry by an appointing authority or by a state or federal agency conducting investigations on behalf of such authority in connection with the selection or appointment of judges; (3) In cases in which the subject matter or the fact of the filing of charges has become public, if deemed appropriate by the Commission, it may issue a statement in order to confirm the pendency of the investigation, to clarify the procedural aspects of the proceedings, to explain the right of the judge to a fair hearing, and to state that the judge denies the allegations; (4) Upon inquiry in connection with the assignment or recall of a retired judge to judicial duties, by or on behalf of the assigning authority; (5) Where the circumstances necessitating the initiation of an inquiry include notoriety, or where the conduct in question is a matter of public record, information concerning the lack of cause to proceed shall be released by the Commission; (6) If during the course of or after an investigation or hearing the Commission reasonably believes that there may have been a violation of any rules of professional conduct of attorneys at law, the Commission may release such information to any committee, commission, agency or body within or outside the State empowered to investigate, regulate or adjudicate matters incident to the legal profession; or (7) If during the course of or after an investigation or hearing, the Commission reasonably believes that there may have been a violation of criminal law, the Commission shall release such information to the appropriate prosecuting attorney. D. It shall be the duty of the Commission and its staff to inform every person who appears before the Commission or who obtains information about the Commission's work of the confidentiality requirements of this rule. E. Any person who knowingly violates the confidentiality requirements of this rule shall be subject to punishment for contempt of the Arkansas Supreme Court. Rule 8. Procedures of Commission regarding conduct of a judge 2 . A. Initiation of Inquiry. In accordance with these rules, any sworn or verified complaint brought to the attention of the Commission stating facts that, if true, would be grounds for discipline, shall be ­8­ good cause to initiate an inquiry relating to the conduct of a judge. The Commission on its own motion may make inquiry with respect to the conduct of a judge. All complaints shall bear the name of the complainant, unless anonymous or based upon media reports. If the complaint is anonymous or based upon a media report, it shall be signed by the Executive Director, but not sworn. If the Executive Director, an individual staff member, Commissioner member or Alternate files, solicits, or initiates a complaint, he or she shall sign the sworn complaint. All contacts with potential witnesses shall be in accordance with these Rules. B. Screening. The Executive Director shall dismiss all complaints that are clearly outside of the Commission’s jurisdiction. A report as to matters so dismissed shall be furnished to the Commission at its next meeting. The complainant, if any, and the judge shall be informed in writing of the dismissal. C. Investigation of Complaints. All complaints not summarily dismissed by the Executive Director shall then be presented to an Investigation Panel. The Investigation Panel shall dismiss all complaints for which sufficient cause to proceed is not found by that Panel. If the complaint is not dismissed, the Panel shall then direct the staff to make a prompt, discreet, and confidential investigation. In no instance may the staff undertake any investigation or make any contact with anyone other than the complainant and the judge unless authorized to do so by the Investigation Panel. Upon completion, the Panel shall review the findings from the investigation. The Panel shall dismiss all complaints for which sufficient cause to proceed is not found. A report as to matters so dismissed shall be furnished to the Commission at its next meeting. The complainant and the judge shall be informed in writing of the dismissal. D. Mandatory Notice to the Judge. If a complaint, or any portion of it, is not dismissed by the Investigation Panel following the discreet and confidential investigation, then the Panel shall notify the judge in writing immediately of those portions of the complaint that the Panel has concluded warrant further examination and attention. The judge shall receive the complaint, or any portion of the complaint that is not dismissed, along with any information prepared by or for the Panel or staff to enable the judge to adequately respond to the issues in the complaint. The judge shall be invited to respond to each of the issues from the complaint that the Panel has identified as possible violations of the Arkansas Code of Judicial Conduct. The time for the judge to respond shall be within 30 days unless shortened or enlarged by the Investigation Panel for good cause. E. Dismissal or Formal Statement of Allegations. The Investigation Panelmaydismiss the complaint with notice to the complainant and the judge, or it may direct a formal statement of allegations citing specific provisions ofthe Code ofJudicialConduct alleged to have been violated and the specific facts offered in support the alleged violation(s) be prepared and served on the responding judge along with ­9­ all materials prepared by the Panel or staff. Service may be by any means provided for service of process in the Arkansas Rules of Civil Procedure. F. Answer. The judge shall file a written answer with the Executive Director within thirty (30) days after the service upon him/her of the statement of allegations, unless such time is enlarged by the Executive Director. The answer may include a description of circumstances of a mitigating nature bearing on the charge. Rule 9. Hearing on formal statement of allegations 3 . A. Hearing. The hearing on a formalstatement ofallegations prepared against a judge shallbe before a Hearing Panel comprised of a full nine­member Commission on which no member of the InvestigationPanelwhichconsideredtheinitialcomplaint mayserve.This same nine­member Hearing Panel shall be the only panel to hear the particular allegations, whether the hearing is recessed, continued, or requires more than one day. B. Scheduling. The Commission shall, upon the receipt of the judge’s response or upon expiration of the time to answer, schedule a public hearing to commencewithin 90 days thereafter, unless continued for good cause shown. The judge and all counsel shall be notified promptly of the date, time and place of the hearing. C. Discovery. The respondent judge and the Commission shall be entitled to discoveryin accordance with the Arkansas Rules of Civil Procedure. Both the Commission and the respondent judge shall have the authority to issue summonses for any persons and subpoenas for any witnesses, and for the production ofpapers, books, accounts, documents, records, or other evidence and testimonyrelevant to an investigation or proceeding. The summonses or subpoenas shall be served in any manner provided by the Arkansas Rules of Civil Procedure for service of process. Any fees or expenses incurred for issuing or service ofsubpoenasor summonses shallbe borne bythe requesting party. The Circuit Court of Pulaski County shall have the power to enforce process. D. Right to Counsel. The judge shall be entitled to counsel of his/her own choice at his or her own expense. E. Conduct of Hearing. The Arkansas Rules of Evidence shall apply and all testimony shall be under oath. Commission attorneys, or special counsel retained for the purpose, shall present the case to the fact finder. The judge whose conduct is in question shall be permitted to adduce evidence and cross examine witnesses. Facts justifying action shall be established by clear and convincing evidence. The proceedings shall be recorded verbatim. F. Immunity from Prosecution. The Commission and the judge are authorized to request from the appropriate prosecuting authoritiesimmunityfromcriminalprosecution for a reluctant witness, using the procedure outlined in Ark. Code Ann. § 16­43­601, et seq. ­10­ G. Public Hearing. The hearing shallbe open to the public and recorded by a certified court reporter. H. Determination. The Commission shall, within sixty (60) days after the hearing, submit its finding and recommendations, together with the record and transcript of the proceedings. Both the decision of the Commission and a copy of the record shall be served upon the judge. I. Disposition. In its report, the Commission shall dispose of the case in one of the following ways: (1) If it finds that there has been no misconduct, the complaint shall be dismissed and the Director shall send the judge and each complainant notice of dismissal; (2) If it finds that there has been conduct that is cause for discipline but for which an admonishment or informal adjustment is appropriate, it may so inform or admonish the judge, direct professional treatment, counseling, or assistance for the judge, or impose conditions on the judge’s future conduct; and (3) If it finds there has been conduct that is cause for formal discipline, it shall be imposed as set forth in Rule 9. J. J. Commission Decision – Formal Discipline. The recommendation for formal discipline shall be concurred in by a majority of all members of the Commission and may include one or more of the following: (1) A recommendation to the Supreme Court that the judge be removed from office; (2) A recommendation to the Supreme Court that the judge be suspended, with or without pay; (3) Upon a finding of physical or mental disability, a recommendation to the Supreme Court that the judge be granted leave with pay; (4) Upon a finding of physical or mental disability, a recommendation to the Supreme Court that the judge be retired and considered eligible for his/her retirement benefits, pursuant to Ark. Code Ann. § 24­8­217 (1987); (5) Reprimand or censure. K. Dissent. If a member or members of the Commission dissent from a recommendation as to discipline, a minority recommendation shall be transmitted with the majority recommendation to the Supreme Court. L. Opinion to be Filed. The final decision in any case which has been the subject of a formal disciplinary hearing shall be in writing and shall be filed with the clerk of the Arkansas Supreme Court, along with any dissenting or concurring opinion by any Commission member. The opinion or opinions in any case must be filed within seven (7) days of rendition. M. Witness Fees. All witnesses shall receive fees and expenses in the amount allowed by rule or statute for witnesses in civil cases. Expenses of witnesses shall be borne by the party calling them. Rule 10. Interim sanctions. A. Suspension with Pay. In instances of the (1) filing of an indictment or information charging a judge with a felony under state or federal law, or (2) the filing of a misdemeanor charge against a judge or justice where his ability to perform the duties of his office is adversely affected, the Commission shall convene within ten (10) days for the purpose of considering a recommendation to the Supreme Court that the judge or justice be temporarily suspended with pay pending the outcome of any disciplinary determination. ­11­ B. Effect on Commission Action. A temporary suspension with pay as an interim sanction shall not preclude action by the Commission with respect to the conduct that was the basis for the felony or misdemeanor charge, nor shall the disposition of the charge in any manner preclude such action. Rule 11. Ex parte communications 4 . Commission Members and Alternates shall not communicate ex parte with the Executive Director or the staff of the Commission, or the respondent judicial officer, his or her family, friends, representatives, or counsel regarding a pending or impending investigation or disciplinary matter except as explicitlyprovided for bylaw or Rulesofthe Commission, or for scheduling, administrative purposes, or emergencies that do not deal with substantive matters or issues on the merits. A violation ofthis rule maybe cause for removal of any member or Alternate from a panel before which a matter is pending. Rule 12. Supreme Court review. A. Filing and Service. The Commission shall file its report, record, findings, and recommendations with the Supreme Court and shall serve copies thereof upon the judge no later than thirty (30) days after the report ofthe factfinder is submitted. On application bythe Commission, the court maydirect the withholding of a recommendation regarding discipline pending the determination of other specified matters. B. Prompt Court Consideration. The Clerk of the Supreme Court shall docket any Commission matter for expedited consideration. C. Brief and Supplementary Filings. The Commission and the judge shall file with the Supreme Court briefs in accordance with court rules within twenty (20) days of the filing and service of the Commission report. No responsive briefs shall be filed unless requested by the court. If the court desires an expansion of the record or additional findings, either with respect to the recommendation for discipline or sanction to be imposed, it shall remand the case to the Commission for the appropriate directions, retaining jurisdiction, and shall withhold action pending receipt of the additional filing. The Supreme Court may order additional filings or oral argument as to the entire case or specified issues. The Supreme Court may accept or solicit supplementary filings with respect to medical or other information without remand and prior to an imposition of discipline provided that the parties have notice and an opportunity to be heard thereon. D. Scope of Discipline. The Supreme Court, when considering removal of a judge, shall determine whether discipline as a lawyer also is warranted. If removal is deemed appropriate, the court shall notify the judge, the Commission and the Supreme Court Committee on Professional Conduct and give each an opportunity to be heard on the issue of the imposition of lawyer discipline. ­12­ E. Decision. Based upon a review ofthe entire record the Supreme Court shall file a written opinion and judgment directing such disciplinary action as it finds just and proper. It may accept, reject, or modify in whole or in part, the findings and recommendation of the Commission. In the event that more than one recommendation for discipline for the judge is filed, the court may render a single decision or impose a single sanction with respect to all recommendations. The court may direct that no motion for rehearing will be entertained, in which event its decision shall be final upon filing. If the court does not so direct, the respondent may file a motion for rehearing within fifteen (15) days of the filing of the decision. F. Certiorari. The Supreme Court may bring up for review any action taken upon any complaint filed with the Commission, and may also bring up for review a case in which the Commission has failed to act. Rule 13. Cases involving allegations of mental and physical disability. A. Procedure. In considering allegations of mental and physical disability, the Commission shall, insofar as applicable and except as provided in Paragraph B., follow procedure established by these rules. B. Special Provisions. (1) If a complaint or statement of allegation involves the mental or physical health of a judge, a denialofthe alleged disabilityor condition shallconstitute a waiver ofmedicalprivilege and the judge shall be required to produce his medical records. (2) In the event of a waiver of medical privilege, the judge shall be deemed to have consented to an examination by a qualified medical practitioner designated by the Commission. (3) The Commission shall bear the costs of the proceedings, including the cost of a physical or mental examination ordered by it. Rule 14. Involuntary retirement. A judge who is advised to retire voluntarily and who refuses may be retired involuntarily by the Supreme Court following the filing of a formal complaint, a public hearing thereon before the Commission, and a report containing a finding that he is physically or mentally disabled, and recommendation to the court that such action be taken. Rule 15. Complaints shall be adjudicated or dismissed within 18 months. A sworn complaint shall be dismissed if not disposed of as provided in these Rules within 18 months from receipt of the complaint by the Commission. The following periods are excluded in computing the time for disposition: ­13­ 1. Rule 6. Jurisdiction. A. Judge in Office. The authority of the Commission extends to judges and justices in office, and the term "judge" includes anyone, whether or not a lawyer, who is an officer of the judicial system performing judicial functions, including an officer such as a referee, special master, court commissioner, magistrate, whether full­time or part­time. Allegations regarding conduct of a judge or justice occurring prior to or during service in judicial office, including the service of a retired judge who has been recalled, are within the jurisdiction of the Commission and shall be considered by it. B. Former Judge. Conduct of a former judge which has been adjudicated by a final decision reached by the Commission shall not become the subject of disciplinary proceedings before the Supreme Court Committee on Professional Conduct. 2. Rule 8. Procedures of commission regarding conduct of a judge. A. Initiation of Inquiry. In accordance with these rules, any information submitted by a complainant or otherwise brought to the attention of the Commission stating facts that, if true, would be grounds for discipline shall initiate an inquiry relating to the conduct of the judge. The Commission on its own motion may make inquiry with respect to the conduct of a judge. B. Screening. Upon receipt of a complaint or other information as to conduct that might constitute grounds for discipline of a judge, the executive officer shall make a prompt, discreet, and confidential investigation and evaluation. Under guidelines approved by the Commission, and in light of the initial investigation and evaluation, the executive officer shall determine whether there exists sufficient cause to proceed to a probable cause determination. A. All periods of delay granted at the request of the judge from and to a date certain. B. All periods of suspension under Rule 10. C. All periods of time in which the judge has concealed or conspired to conceal facts that would be evidence or could lead to evidence of any violation of the code of judicial conduct. The dismissal of a complaint under this or any Rule of the Commission shall be an absolute bar to any subsequent filing of the complaint or any complaint that could have been joined with the complaint dismissed. END NOTES ­14­ The executive officer shall dismiss all complaints for which sufficient cause to proceed is not found. A report as to matters so dismissed shall be furnished to the Commission at its next meeting. The complainant, if any, and the judge, if he has been given notice thereof, shall be informed in writing of the dismissal. C. Optional Notice to the Judge. Notice to the judge that a complaint has been received or an inquiry undertaken may be given at any time. D. Mandatory Notice to the Judge. Except upon good cause shown and with the approval of the Commission, no action other than dismissal of the complaint shall be taken as to any complaint about which the judge is not notified within ninety (90) days of the receipt of such complaint. E. Sworn Complaint or Statement in Lieu of Complaint. If, after initial investigation and evaluation, it appears that there is sufficient cause to proceed, the complainant, if any, shall be asked to file a detailed, signed, sworn complaint against the judge. The sworn complaint shall state the names and addresses of the complainant and the judge, the facts constituting the alleged misconduct and, so far as is known, whether the same or a similar complaint by that complainant against that judge has ever been made to and considered by the Commission. Immediately upon receipt of the sworn complaint, the executive officer shall make written acknowledgement thereof to the complainant. When a sworn complaint is not obtained, a clear statement of the allegations against the judge and the alleged facts forming their basis shall be prepared by the executive officer. When more than one act of misconduct is alleged, each should be clearly set forth in the sworn complaint or in the statement in lieu of complaint, as the case may be. F. Commencement of the Case. Upon receipt of each sworn complaint or the preparation of a statement in lieu thereof, a file shall be opened in the Commission office. G. Required Notice. The judge shall immediately be served with a copy of the sworn complaint or statement of allegations. H. Answer. Within twenty (20) days after the service upon him of the sworn complaint or statement, the judge shall file a written answer with the executive officer. The answer may include a description of circumstances of a mitigating nature bearing on the charge. A personal appearance before the Commission shall be permitted in lieu of or in addition to a written response. If the judge elects to appear personally his statement shall be recorded verbatim. I. Review Prior to Probable Cause Determination. Upon receipt and review of the judge's answer, the Commission may terminate the proceeding and dismiss the complaint and, in that event, shall give notice to the judge and each complainant that it has found insufficient cause to proceed. ­15­ J. Amending Allegations. Amendment of the allegations regarding the misconduct of a judge, whether presented to the Commission in a sworn complaint or in a statement in lieu thereof, shall be permitted prior to a finding of probable cause, provided that notice thereof and an opportunity further to respond within ten (10) days is given to the judge. K. Right to Counsel. The judge shall be entitled to counsel of his own choice. L. Subpoenas and Summonses. The Commission has the authority to issue summonses for any person(s) and subpoenas for any witness(es), including the judge concerned, and for the production of papers, books, accounts, documents, records, or other evidence and testimony relevant to an investigation or proceeding. Such process shall be issued by and under the seal of the Commission and be signed by the Chairman, Vice­Chairman or the Executive Director. The summonses or subpoenas shall be served in any manner provided by the Arkansas Rules of Civil Procedure for service of process. Upon receiving notice from the Commission of the pendency of a proceeding, the judge concerned shall be entitled to compel, by subpoena issued in the same manner, the attendance and testimony of witnesses, and the production of papers, books, accounts, documents and testimony relevant to the investigation or the proceeding. The Commission shall provide for its use a seal of such design as it may deem appropriate. The Circuit Court of Pulaski County shall have the power to enforce process. M. Immunity. The Commission is authorized to request the appropriate prosecuting authorities to seek to obtain immunity from criminal prosecution for a reluctant witness, using the procedure found in Ark. Code Ann. §§ 16­43­601 through 16­43­606. 3. Rule 9. Probable cause. A. Establishment of Grounds of Discipline. The grounds for discipline are those established in part (b) of Ark. Const., Amend. 66 and those established by Act 637 of 1989. B. Distinguished from Appeal. In the absence of fraud, corrupt motive or bad faith, the Commission shall not taken action against a judge for making findings of fact, reaching a legal conclusion or applying the law as he understands it. Claims of error shall be considered only in appeals from court proceedings. C. Probable Cause Determination. The Commission shall promptly schedule and hold a formal meeting at which the strict rules of evidence need not be observed. A complete verbatim record shall be made. All witnesses shall be duly sworn. A complainant and the judge against whom he has complained shall have the right to be present, with their attorneys, if any, except during Commission deliberations. D. Findings and Report. The Commission shall prepare a written report containing its findings of ­16­ fact and its conclusions on each issue presented, and shall file its report with the executive officer. E. Disposition. In its report the Commission shall dispose of the case in one of the following ways: (1) If it finds that there has been no misconduct, the director shall be instructed to send the judge and each complainant notice of dismissal. (2) If it finds, by concurrence of a majority of members present, that there has been conduct that is or might be or might become cause for discipline but for which an admonition or informal adjustment is appropriate, it may so inform or admonish the judge, direct professional treatment, counseling, or assistance for the judge, or impose conditions on the judge's future conduct. (3) If it finds, by concurrence of a majority of members present, that there is probable cause to believe that there has been misconduct of a nature requiring a formal disciplinary proceeding, the director shall cause the judge to be served with the report, the formal statement of the charges, the record of the probable cause determination, and all documents upon which the determination was based. The service upon the judge constitutes notice that he must respond within [twenty] (20) days. 4. Rule 11. Formal disciplinary hearing. A. Scheduling. The Commission shall, upon receipt of the judge's response or upon expiration of the time to answer, schedule a public hearing not less than thirty (30) nor more than forty­five (45) days thereafter, unless continued for good cause shown. The judge and all counsel shall be notified promptly of the date, time, and place of hearing. B. Discovery. The judge and the Commission shall be entitled to discovery in accordance with the Arkansas Rules of Civil Procedure. C. Factfinder. The formal hearing shall be conducted before a factfinder which may be the entire Commission or a three­member panel thereof appointed by the Commission chairman. D. Conduct of Hearing. The Arkansas Rules of Evidence apply and all testimony shall be under oath. Commission attorneys, or special counsel retained for the purpose, shall present the case to the factfinder. The judge whose conduct is in question shall be permitted to adduce evidence and cross­examine witnesses. Facts justifying action shall be established by clear and convincing evidence. The proceedings shall be recorded verbatim. E. Amendment of Allegations. By leave of the Commission or by consent of the judge, the formal charges may be amended after commencement of the public hearing only if the amendment is technical in nature and if the judge and his counsel are given adequate time to prepare a response. ­17­ F. Determination. A factfinder other than the entire Commission shall, within sixty (60) days after the hearing, submit its findings and recommendation, together with the record and transcript of the proceedings, to the Commission for review and shall contemporaneously serve them upon the judge. The judge, or Commission counsel, may submit written objections to the findings and recommendations. The findings, conclusions and accompanying materials, together with the objections, if any, shall be promptly reviewed by the Commission. The Commission may make independent findings of fact from the record or, if the entire Commission served as factfinder, it shall prepare its findings and recommendations. G. Commission Decision. The recommendations for discipline shall be concurred in by a majority of all members of the Commission and may include one or more of the following: (1) A recommendation to the Supreme Court that the judge be removed from office; (2) A recommendation to the Supreme Court that the judge be suspended, with or without pay; (3) Upon a finding of physical or mental disability, a recommendation to the Supreme Court that the judge be granted leave with pay; (4) Upon a finding of physical or mental disability, a recommendation to the Supreme Court that the judge be retired and considered eligible for retirement benefits, pursuant to Arkansas Code Annotated § 24­8­217 (1987); (5) Reprimand or censure. H. Dissent. If a member or members of the Commission dissent from a recommendation as to discipline, a minority recommendation shall be transmitted with the majority recommendation to the Supreme Court. I. No Disciplinary Recommendation. If a majority of the members of the Commission recommend no discipline the case shall be dismissed. J. Opinion to be Filed. The final decision in any case which has been the subject of a formal disciplinary hearing shall be in writing and shall be filed with the Clerk of the Arkansas Supreme Court, along with any dissenting or concurring opinion by any Commission member. The opinion or opinions in any case must be filed within seven days of rendition. K. Witness Fees. All witnesses shall receive fees and expenses in the amount allowed by rule or ­18­ statute for witnesses in civil cases. Expenses of witnesses shall be borne by the party calling them.