February 24, 2016 STATE OF MINNESOTA

IN SUPREME COURT

ADM10-8032

ORDER PROMULGATING AMENDMENTS TO THE RULES OF THE BOARD ON JUDICIAL STANDARDS 

### Om:ciEOF 

### API'B.IA1EC C!Ut'liiJ

The Minnesota Board on Judicial Standards filed a petition recommending

amendments to the Rules ofthe Board onJudicial Standards. OnOctober 28, 2015, the court
opened a public comment period. Written comments were submitted by the Minnesota

District Judges Association and a private practitioner. The court has considered the
proposed amendments and the written comments.

Based on all the files, records, and proceedings herein,

IT IS HEREBY ORDERED that the Rules ofthe Board on Judicial Standards are

amended as shown in the attachment to this order. The Rules as amended are prescribed

and promulgated to be effective July 1, 2016. The Board shall make the Rules ofthe Board

on Judicial Standards, as amended, publicly accessible on the Board's website.

Dated: February 24, 2016 BY THE COURT:

# L~~ ChiefJustice

### AMENDMENTS TO THE RULES OF THE BOARD ON JUDICIAL STANDARDS

In thefollowing amendments, deletions are indicated by a line drawn through the words andadditions by a line drawn under the words.



### Rules ofBoard on Judicial Standards

Table of Contents


## * * *

7. [Deleted]Admonition Review Hearing



### DEFINITIONS

"Board" means the Minnesota Board on Judicial Standards.


## * * *
"Complaint" is any eommHBieation, oral or ·.witten, made byjudges, lllVt'yers, eourt personnel or any member ofthe generalpublie regarding the eonduet ofajudgeinformation in any form from any source received bythe board that alleges or from which a reasonable inference can be drawn that a judge committed misconduct or has a disability.



### "Deferred Disposition Agreement" is an agreement between thejudge and the board

or hearing panel for thejudge to undergo treatment, participate in education programs, or take other corrective action, based upon misconduct or disability that can be addressed through treatment or a rehabilitation program.


## * * *

"Evaluation" is a**prompt~** and-discreet, and limited inquiry by the executive secretary into the facts and circumstances ofany complaint or informationthat alleges conduct listed in Rule 4(a).


## * * * "Investigation" is a full inquiry by the**e~£eeutive** seeretary, with the authorization of the board, into the facts and circumstances of any complaint or information that alleges conduct listed in Rule 4(a)."Judge" is anyjudge, including**~full-time,** part-time, or senior and retiredjudges, judicialofficer, referee, magistrate, orotherhearing officeremployed in thejudicial branch of the state ofMinnesota, anyjudge ofthe Minnesota Tax Court.1 ep-any judge of the Workers' Compensation Court ofAppeals. and the ChiefAdministrative Law Judge.


## * * *

"Senior Judge" is a "Retired Judge Subject to Recall" within the meaning of Part II, Application. Minnesota Code ofJudicial Conduct.

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 

### 1. Organization ofBoard 

# w Appointment ofMembers. The Board on Judicial Standards shall consist ofonejudge ofthe Court ofAppeals, threejudges ofdistrict court, two lawyers who have practiced law inthe state for at least ten years and four resident citizens ofMinnesota who

are notjudges, retiredjudges or lawyers. The exeeutiYe seeretary, who shall be an attomey lieeased to preetiee lav1 ia Minnesota, with a m.iaim.UH'I: of fifteea yetlfs' eKperieaee ia the preetiee of law, iaeludiag any seFViee as a judge, shall be appoiated by the botlfd. All members shall be appointed by the governor with the advice and consent of the senate except that senate confirmation shall not be required forjudicial members.


### ill Term ofOffice. (1) The term ofeach member shall be four years with the term ending on the first Monday in January except as provided in Rule l(b)(2(i). (2) No member shall serve more than two full four-year terms or their equivaleat, notto exceed eight years except as follows: (i) members may continue to serve until their successors are appointed and qualified but in no case later than July 1 in a year in which a term expires unless reappointed; (ii) ifa member is appointedto fill an unexpired term that does not exceed two years, the member is eligible for appointment to two additional four-year terms.


### !£l Vacancy. (1) A vacancy on the board shall be deemed to occur: (i) When a memberretires from the board; or (ii) Whenajudge who is a memberofthe board ceases to hold thejudicial office held at the time ofselection; or (iii) When a lawyer who is a member ofthe board ceases to be in good standing

2to practice law in the courts ofthis state or is appointed or elected to ajudicial office; or (iv) When a !eypublic member becomes a lawyer; or (v) When a member is no longer a resident citizen ofMinnesota. (2) Vacancies shall be filled by selection of a successor in the same manner as required for the selection ofthe predecessor in office. A member selected to fill

a vacancy shall hold office for the unexpired term of the predecessor. All vacancies onthe board shall be filled within 90 days afterthe vacancy occurs. (3) Members ofthe board may retire therefrom by submitting their resignation to the board, which shall certify the vacancy to the governor.

@ 

### Appointment and Performance Review of Executive Secretary. The executive secretary, who shall be an attorney licensedto practice law in Minnesota, with a minimum of fifteen years' experience in the practice of law, including any service as a judge, shall be appointed by and serve at the pleasure of the board. The board shall annually conduct a performance review ofthe executive secretary.


### 00 Duties and Responsibilities of Executive Secretary. The executive secretary shall have duties and responsibilities prescribed by the board, including the authority to: (I) Receive complaints and allegations as to misconduct ordisability; (2) Make preliminary evaluations; (3) Conduct investigations ofcomplaints as directed by the board; ( 4) Recommenddispositions; (5) Maintain the board's records; (6) Maintain statistics concerning the operation of the board and make them available to the board and to the Supreme Court; (7) Prepare the board's budget for approval by the board and administer its funds; (8) Employ and supervise other members ofthe board's staff; (9) Prepare an annual report ofthe board's activities for presentation to the board, to the Supreme Court and to the public; (IO)Employ, withthe approval ofthe board, special counsel, private investigators or other experts as necessary to investigate and process matters before the board andbeforethe Supreme Court. The use ofthe attorneygeneral's staff prosecutors

or law enforcement officers for this purpose is not allowed. The use of the director and staffofthe Office ofLawyers Professional Responsibility for this purpose is allowed if the matter involves conduct of a judge, other than a Supreme Court Justice, thatoccurred prior to thejudge assumingjudicial office. IndividualsAttorneys employed or providing assistance under this section shall be deemed to be counsel to the Board on Judicial Standards for the purposes of these rules; and ( 11) Issue informal advisory opinions to judges as delegated by the board.

3

### (e) Perfermanee Review ef Exeeutive Seeretary. The board shall 

### arn:mally coaduot 

### a perfoRB:anoe re'liew ofthe**~eoHti'le** secretary.

(f) 

### Quorum and Chairperson. (1) A quorum for the transaction ofbusiness by the board shall be s-Hta majority of the members ofthe board who are not recused. (2) The board shall elect from its members a chairpersoa and vice-chairpersoa, each of whom shall serve a term of two years. The vice-chairpersoa shall act as chairpersoa in the absence ofthe chairpersoa.


### (g) Meetings ofthe Board. Meetings ofthe board shall be held at the call ofthe chairpersoa, the vice-chairpersoa, the executive secretary or the written request ofthree members oftheboard.


## * * *
(j) 

### Cede of EdtiesBoard Policies. The board may adopt policies consistent with these Rules governing the conduct ofits business and performance ofits duties. The board shall maintain a Code ofEthics setting forth the ethical standards expected ofboard members in the performance ofthe board's responsibilities.

{k) 

### Executive Committee. The board's executive committee shall consist ofthe chair, vice-chair, and a third member elected by the board. The executive committee shall include a judge, a public member, and a lawyer. The executive committee shall act on behalfofthe board between meetings within limits prescribed bythe board. The executive committee shall nothavethe authorityto determine thatthere is reasonable cause tobelieve

a judge has committed misconduct.
(AmendedeffectiveJanuary 1, 1996; amendedeffectiveMarch30, 1999; amendedeffective July 1, 2009; amended effective July I, 2016.)
Ad·lisory Committee Commeat 1999 Ameadmeat RNk 1(ri) (1 ()) has heen metfi.jiedte a118w the 1i9C efthe diFeeter andstaf:fe.fthe Office efLmvyers Prof'essienalRespensihilitytepPO'lide iw,•eatigati'IC andsttppert se,..,•iees in sit1iatiens bi'WJlv•b2g eendNet that eeeNFI"edprier 18 ajNdge assNming jNdieietl ejfiee. Related ehtmges gra1it the Lmvyers Pn7fo98ienal Respensihility BeardjNrisdietien te eensider whether sNeh eendu:et warf'ants lawyer diseipline. R.Bd.J-ud.Std. 2; R.L.PrefResp. 6Z(a). It is eentemplatedthat eemplaints aheNtthe eendNet e-fajNdge eee'NFI"ingprier t8 t.lrtejNdge assNmingjNdieial ejjke will he in·,restigated in the first instance hy the Offiee of LmyY'CrB Prefossienal Respensihility {R.Bd

. .htd.Std. 6Z(h); R.L.Pfflj+:Resp. 6Z(h)(2)}, and the reabtlts weNld he diselesed te t.lre Beard en Jwiieial Standarth. R.Bd

. .htd.Std. 5(a)(4); R.L.:Pt'ofResp. 20{a)(1{)). This al-lews f{J,. efficientandcffeeti·;e NBC ofinY'estigative

4resources by beth diseiplinetry be(J;f'(:}s. Related changes also aMtheri=e the Mse ef the hearing record, findings, and reeemmendatiens efthe lawyer disciplinary f»¥Jeess in t-hejMdieial diseipli1ttHJ>'precess. R.Bd.Jlfd.Std. 6Z(d); R.L.PrejResp. 6Z(h)(4). RMle 1(d) (1 {))pfflhibits the J;tSC efthestaffofthe Office efLawyersPr-e}cssienal Responsibility iYhen the pre bench eendHet at issMe bweh;es a &tpren1e GeHrt Justice beeaHse the effiee's director andstetffare appointed a11d compensated by the GeHrt. /fsMeh a ease were 

### te arise, itis contemplatedthatt.Lze Office efLe:wyers Prefessienal Responsibility weHld fallow existing conflict preeedHres, which inehtde assigningaformer attorney er fin·mer beardmember te re.,.iew andf<Jllew Hp enpatentlyfri·;elel:tS complaintsandhiringeHtside eeMnselandinvestigators 

### te handl:e ether complaints. The prehibitien against the Hse efeffiee st«ffdaes net prohibit een1mHnieatie1'1 o.l confidential information between the twe beards regarding matters iw;elving the eendueto.lajJ;tStiee eeeurringprier

### to assHmptien

.r· d'

. l 

### ffl**~**JNrWza 0. ee.

Aledifieatiens te Rule 1(ti)(l{)) also clarify that b<Jdi..tduals empleyed er pre.,.iding assistance 

### te t-he exeeHtiW! seeretary end the heard are considered eeHnsel te t-he b98rdforpurposes**~+these** rNles. This ensHres,for example, thatthe immunity a11dpri¥i/egeprovisions Mnda RHle 3 andthe confidentiality and werk**P~''<Jduetprevisiens** underRule 5 apply 

### te these individuals when hiey are B:SSisting the exeetttive seeretetry andthe beard.



### Rule 2. Jurisdiction and Powers ofBoard (a) 

### Powers ofthe Board. (1) Disposition of Complaints. The board shall have the power to receive complaints, investigate, conduct hearings, make certain summary dispositions, and make recommendations to the Supreme Court concerning: (i) Allegations of judicial misconduct; (ii) Allegations ofphysical ormental disability of judges; and (iii) Matters ofvoluntary retirement for disabilityt-afld (iY)Re\'iew ofajudge's compliance •Nith Minnesota Statutes, section 546.27.


### (2) Advisory Opinions. The board, and as delegated by the board, the executive secretary, may issue advisory opinions onproper judicialconductwith respectto the provisions ofthe Code ofJudicial Conduct. An advisory opinion may be requested by ajudge or a candidate forjudicial office. (i) A request that the board issue for-an individual written advisory opinion shall relate to prospective conduct only, and shall be submitted in writing and contain a complete statement ofall facts pertainingtothe intended conduct and a clear, concise question of judicial ethics. The board shall issue a written opinion within 30 days after receipt ofthe written request, unless the time period is extended by the board.



### 5

## * * * (ii) The board may issue opinions ofgeneral applicability. (iii) The executive secretary may provide informal opinions to judges. (iv) The board and the Office ofLawyers Professional Responsibility may disclose to each other confidential information concerning opinion requests in order to promote consistency in their opinions. (v) The fact that thejudge orjudicial candidate requested and relied on an advisory opinion shall be taken into account in any subsequent disciplinary proceedings. The advisory opinion shall not be binding on the hearing panel orthe Supreme Court in the exercise oftheirjudicialdiscipline responsibilities.

(e)**Subpoena~** and Depositions During Investigation. (1) Subpoenas and Depositions Limited. Subpoenas and I:}Qepositions during the board's investigation shall not be allowed, provided that, for good cause shown, a deposition maybe taken ofa witness living outside the state orphysically ooable to attend the hearingexcept as provided in this Rule. Subpoenas and depositions in panel proceedings are governed by Rules 7(b) and 9(b). (2) Subpoenas for Investigation. During the investigative stage of a proceeding, prior to a finding ofreasonable cause to proceed, and subject to the limitations ofRule 2(e)(l): (i) Upon resolution of the board, the executive secretary may make application to the board to authorize fer-the issuance ofa subpoena compelling any person, including ajudge, to attend and give testimony, and to produce documents, books, accounts and other records. Such subpoena shall issue upon a sho•Ning that the information sought appears reasonably calculated to lead to the discovery of admissible evidence. The board may authorize the subpoena upon a finding that the information sought appears reasonably calculatedto leadto the discovery ofevidence ofpossible misconduct by ajudge

or the absence ofsuch misconduct. (ii) failure or refusal ofajudge viho is the subject of information to cooperate or the intentional misrepresentation of a material fact by the judge shall constitute conduct prejudicial to the administration ofjustice and may provide reasonable cause for the board to proceed underRule2(e)(3).

(3) Sul>peeaasferHeariag.Atall otherstages oftheproceeding following a finding ofreasonable cause to proceed, and subject to the limitations of Rille 2(e)(1 ), both the board and the judge being investigated shall be entitled to compel,**b~'** subpoena, attendance and testimony of witnesses, including the judge as a vlitness, and the inspection ofdocuments, books, accounts, and other records.
Ql_IssuingSubpoenas.The DistrictCourt ofRamsey County shall issue subpoenas upon presentation ofa resolution ofthe board.

6(4) Motions. Priorto the appointment ofa hearing panel pursuant to**R~le** 8(b), tihe District Court of Ramsey County shall have jurisdiction over motions arising from Rule 2(e) requestssubpoenas and depositions. Following the appointment ofapanel, the presider ofthe panel before whomthe matter is pending shall hfrlre jurisdietion o•;er motions arising from Rule 2(e) requests and shall ha-¥e all the powers ofa distriet eourtjudge.•Any resulting deeision or order ofthe presider ofthe panel or the Distriet Court ofRamsey County ma-y not be appealed before entry of the final order in the diseiplinary proeeeding. The judge shall be denominated by number or randomly selected initials in any District Court proceedings. Any resulting order of the District Court may not be appealed before entry ofthe hearing panel's disposition in accordance with Rule 11.
(0 Cooperation. A judge who is the subject ofinvestigation or a disciplinary proceeding shall comply with the board'sreasonable requests to furnish a full and complete explanation covering the matter under consideration and to appear for conferences. A judge who is the subject ofdisciplinary action underthese rules shall complywith the terms and conditions ofany order or disposition imposing discipline.
,(g} Impeachment. Nothing in these rules shall affectthe impeachment of judges under the Minnesota Constitution, Article 8.

(Amended effective January 1, 1996; amended effective March 30, 1999; amended effective July 1, 2009; amended effective July 1, 2016.)
Advisory Committee Comment 1999 Amendment RHk 2(a) has been amended 

### te reeegni&e t-.'?:at the heard mtly make certain s'blmmary dispesitiet9:S. These dispesitiens inehtde prepesed pHhlie reprimands 'bltider R'blle 6(d)(l)(ii),**·,t~hieh** 8f'C s'blhjeet te a j'bldge 's right 

### te den9:and ajofflial hearing before the reprimand is madepHhlie, andnenp'blbtie WCH'I'lings, eenditiens, ee'blnseling, treatment, atidassistance directedbythe heard 'binderRHie 6(/). RHie2(h) has been medified 

### te permit the Lawyers Prefessienal Respensihility Beard te alse exercise j'hlrisdietien te eensider ·whether discipline as a lmvyer is warranted in matters iw;eh·ing eend'blet ofany j'hldge eee'blrring prier 

### te the ass'blmptien ofj'bldieial effiee. Asset forth in the definitien seetien ofthese r'hlks, the
term ']Hdge" inel'bldes anyjHdge, j'bldieial ej}ieer, referee, er ether hearing effieer empleyed in thej'hldieial branch, and**at~y**j'bldge ofthe**~Uinneseta** T$ Ce'blt·t er Werker's Cempensatien Celtl"/ofAppeals. See**~~linneseta** Stat'bltes, seetiens 49().15 .18; 175A.()l, s'blbdi'lisiet9: 4; 271JJl (1998). The preeed'blre 

### te he follewed in sit'blatiens in'le/?;ingpre bench eend'blet is set forth in R'hlk 6Zf>).rthese r'blles.

7Rule 3. Immunity; Privilege Information submittedtothe board orits staffandtestimonygivenintheproceedings under these rules shall be absolutely privileged, and no civil action predicated thereon may be instituted against the complainant or witness, or their counsel. Members ofthe board, referees, board counsel, mentors appointed by the board, hearing panel members, a designee appointed by the Supreme Court underRule 16(d)(4), and staffshall be absolutely immune from suit for all conduct in the course oftheir official duties.

(Amended effective January 1, 1996; amended effective July 1, 2016.)

Rule 4. Grounds for Discipline or Other Action (a) Grounds for Discipline or OtherAction Shall Include: (1) Conviction ofa crime punishable as a felony under state or federal law or any crime involving moral turpitude; (2) A persistent failure to performjudicial duties; (3) Pattern ofincompetence in the performance of judicial duties; (4) Habitual intemperance; (5) Conduct prejudicial to the administration of justice that brings thejudicial office into disrepute, including, butnotlimitedto, discrimination against orharassment ofpersons onthe basis ofrace, color, creed, religion, national origin, sex, marital status, sexual preference, disability or age; (6) Conduct that constitutes a violation ofthe Code ofJudicial Conduct or Rules of Professianal ConductProfessional Responsibility; (7) Disability.

(b) Dispesitiea ef Crimiaal ChargesCriminal Conviction or Acguittal. A judge's criminal conviction in any American jurisdiction, even if upon a plea of nolo contendere or subject to appellate review, is, in proceedings under these Rules, conclusive evidence that the judge committed the conduct for which the judge was convicted. The

same is true ofa conviction in a foreign country ifthe facts and circumstances surrounding the conviction indicate that the judge was accorded fundamental fairness and due process. 

### An eon·;iction, acquittal, or other disposition ofany criminal charge filed against ajudge shall not preclude action by the board with respect to the conduct upon which the charge

was based.

(c) Proceedings Not Substitute for Appeal. In the absence offraud, corrupt motive, or bad faith, tThe board shall not take action against ajudge for making findings offact, reaching a legal conclusion, or applying the law as understood by thejudge unless the judge acts contrary to clear and determined law andthe error is egregious. made in bad faith, ormade as part ofa pattern orpractice oflegal error. Claims oferror shall otherwise be left to the appellate process.

8(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)
Advisory Committee Comment 2009 Amendment 

### Retaliatery heha·;ier hy the j1:1;dge related t8 

### a eemplaint nu:Jy he gY8l:l;1fflsfar discipline l:l;1'lder the Cede &}Judicial Ce1'ldHet er P-r&.fessie1'lal Respensihility. See, e.g., lnq1:1;iry inte the Cend1:1;et &jJiiirphy, 737 

### N W.2d 355, 3MJ 

### (J.Iinn.2007).

Rule 5. Confidentiality (a) Before Formal Complaint and Response. Except as otherwise provided in this rule or Rule 16(f), all proceedings shall be confidential until the Formal Complaint or Formal Statement ofDisability Proceeding and response, ifany, have been filed with the Supreme Court pursuant to Rule 8. The board shall establish procedures for enforcing the confidentiality provided by this rule. (1) Ifat any time the board issues a public reprimand, such action shall be a matter of public record. (2) Ifthe board issues a private admonition or a dismissal with a letter ofcaution or enters into a deferred disposition agreement, this action may be disclosed to the chiefjustice, chiefjudge, and/or district administrator ofthe judicial district in which thejudge sits. Such disclosure is at the discretion ofthe board and shall be for the purpose ofmonitoring future conduct ofthejudge and for assistance to thejudge in modifying thejudge'sconduct. To the extentthat any information is disclosed bythe boardpursuant to this provision, the chiefjustice, chief judge and/or district administrator shall maintain the confidentiality ofthe information in accordance with Rule 5. (3) Information may be disclosed between the Board on Judicial Standards or executive secretary and the Office ofLawyers Professional Responsibility Beafd

or the direetor in furtherance oftheir duties to investigate and consider conduct that occurred prior to ajudge assumingjudicial office.


## * * *

(e) Public Statements by Board. (1) In any case in which the subject matter becomes public through independent

sources or through a waiver ofconfidentiality by thejudge, the board may issue statements as it deems appropriate in order to confirm the pendency of the investigation, to clarifythe procedural aspects ofthe disciplinary proceedings, to explain the right ofthejudge to a fair hearing without prejudgment and to state that the judge denies or admits the allegations. The statement shall be first submitted to thejudge involved for comments and criticisms prior to its release, but the board in its discretion may release the statement as originally prepared. (2) The board may disclose that a matter is not being investigated. Ifan the-inquiry

9was initiated as a result of notoriety or because of conduct that is a matter of public record, or ifa complaint filed with the board has become publicly known, information concerning the lack of cause to proceed may be released by the board. If the inquiry was initiated after the statutory filing period for judicial officehas opened, the boardmay issue a public statement as deemed appropriate pursuant to Rule 6(e). (3) The board may make such disclosures as it deems appropriate whenever the board has determined that there is a need to notify another person or agency in order to protect the public orthe administration of justice.

(f) 

### Disclosurein Event ofApplication to the Governorfor Disability Retirement. The board may disclose to the governor information aboutthe existence, status, and nature ofpending complaints, complaints resulting in action ofthe board pursuant to Rule 6(f)(5), and complaints resulting in a private warning or imposition ofconditions prior to August 1, 2009 regarding judges who have applied to the governor for disability retirement as provided in Rule**18~.** 

### (g) Disclosure for Judicial Selection, Appointment, Election, or Assignment. When any state or federal agency seeks material in connection with the selection or appointment of judges orthe assignment ofa retiredjudgetojudicial duties, the board may release information from its files only: (1) if the judge in question agrees to such dissemination; and (2) if the file reflects a pending complaint, some action of the board pursuant to Rule 6(f)(5), or a private warning or imposition ofconditions prior to August 1, 2009. Ifthe board action was taken on or after January 1, 1996, such information may also be released if a judge is involved in a contested election, subject to the same restrictions.


### (h) Disclosure to Judge. Thejudge who is the subject ofa complaint shall, upon request, have access to the file relative to the complaint at any stage ofthe proceedings, including witness statements and notes ofwitness interviews. EKcept as pro•1ided in the first sentence, The following shall not be required to be disclosed: ( 1) communications between the executive secretary and board members and/or board counsel and communications between board members in furtherance oftheir duties and (2) the work product of the executive secretary, board members, and board counsel, including their notes, andthe records ofthe board's and hearing panel's deliberations shall not be required to be disclosed.


### (i) WaiverofConfidentiality. A respondentjudgemaywaive confidentialityatany time during the proceedings.

(j) 

### Senior Judges. Ifthe board receives credible information that a senior judge has engaged in conduct in violation ofthe Code ofJudicial Conduct, the board may notify the chiefjustice, a chiefjudge, and the state court administrator.

10(k) Mentors. Ifthe board appoints a mentor for the judge, the board may disclose information to the mentor and may disclose information concerning the mentorship to the chiefjustice and a chiefjudge. Ifa mentor is appointed in connection with a judge's public discipline, the board may publicly disclose the identity ofthe mentor.
(Amendedeffective January 1, 1996; amendedeffective March 30, 1999; amendedeffective July 1, 2009; amended effective July 1, 2016.)
A:dYisory Committee Comment 1999 Amendment Rbtle 5(a) has been modifiedbytheflcidition efeklbtSe (4) topermit the exehflnge efinformtltion betwee1'i the two diseiplinflry botlrds tlnd t."leir stCJjJ in sitbttltions in·;o/ving eondbtet ef8 jbtdge thtlt oeebtrt'edprior to thejbtdge 89Sbtl'l'li1'lgjbtdieifll off-we. Seefllse R.L.Prof:Resp. 2{)(8)(l0). Both the Bo8fflon JudieifllStt1ndards tlnd the Lr:myas :Pre.fessionfll Responsibility Bemw ht1ve jbtt'isdietien in sbteh eases. R.Bd.Jud.Std. 2(8); R.L.l7ef:Resp.6Z.

Rule 6. Screening and Investigation (a) Initiation ofInquiry. An inquiry may be initiated as follows: (I) An inquiry relating to conduct ofajudge may be initiated upon a complaint. (2) The board may on its own motion make an inquiry into the conduct or physical

or mental condition ofajudge. (3) Uponrequest ofthe ChiefJustice ofthe Supreme Court, the board shall make an inquiry into the conduct orphysical or mental condition ofajudge. (4) An inquiry relating to the physical or mental condition of a judge may be initiated pursuant to Rule 16.

(b) Screening. The executive secretary shall review the complaint or information received by the board. resulting in the initiation ofan inquiry. Ifthe matters alleged in the complaint or information would not constitute misconduct or disability if true, Ifthe complaint or information does not contain a basis for a reasonable beliefthat a judge may have engaged in misconduct or may have a disability, the executive secretary shall dismiss the complaint or end the inquiry, subject to review and approval by a board member as assigned by the chair, or, if appropriate, refer the matter to another agency or court. If the matters alleged in the complaint or information would constitute judicial misconduct or disability if true, the executive secretary shall conduct a preliminary evaluation.
(c) Evaluation. If after screening, the eJ£ecuti•fe secretary determines the complaint raises allegations as to conduct that might constitute grounds for discipline or other action, Upon a reasonable beliefthat a judge may have engaged in misconduct ormay have a disability, the executive secretary shall conduct

## an prompt, discreet and confidential



### 11evaluation. The results ofall evaluations shall be routinely submitted to the board.


### (d) Investigation; Notice. (1) Upon review ofthe preliminary evaluation, oron its own motion, the boardmay, by resolution: (i) stayproceedings pending action by another agency or court; (ii) dismiss the complaint or end the inquiry; or (iii) authorize an investigation. (2) Within ten (10) business days after an investigation has been authorized by the board, the executive secretary shall give the following notice to thejudge whose conduct is being investigated: (i) a specific statement of the allegations and possible violations of the Code ofJudicial Conduct being investigated, including notice that the investigation can be expanded ifappropriate; (ii) thejudge's duty to respond underRule 6(d)(5); (iii) thejudge'sopportunity to appear before the board orpanel ofthe board under Rule 6(d)(6); and (iv) the name ofthe complainant or informant, unless the board determines there is good cause to withhold that information. Except as provided in clause (3), the executive secretary shall not commence 

## an formal investigation until such notice is sent to thejudge. (3) The board may defer notice for specific reasons, but when notice is deferred, the executive secretary shall give notice to the judge before making a recommendation as to discipline. (4) Notice shall be sent immediately upon request of the judge whose conduct or physical or mental condition is the subject ofthe inquiry ifthe inquiry has been made public. (5) Upon request ofthe executive secretary, thejudge shall file a written response within thirty (30) days after service ofthe notice under Rule 6(d)(2). (6) Before the board determines its disposition ofthe inquiry, either the board orthe judge may request that thejudge appear before the board or a panel ofthe board to respond to questions. The appearance shall be granted. Ifthe board requests the judge's appearance, the executive secretary shall give the judge 20 days' notice. The board may require that the judge's andthe testimony shall-be sworn.


### ***
(f) Disposition After Investigation. (1) Uponconclusion ofaninvestigationordetermination byanotheragencyorcourt, the executive secretary may recommend disposition to the board. (2) The board shall review the results of the investigation or determination by another agency orcourt andthe recommendations ofthe executive secretary and determine whether there is reasonable cause to believe the judge committed

12misconduct. (3) A finding ofreasonable cause shall require the concurrence ofa majority ofthe non-recused members ofthe .fffil-board. (4) Upon determination that there is not reasonable ·cause to believe the judge committed misconduct, the board shall dismiss the complaint or end the inquiry. Upon dismissal or termination ofthe inquiry, the board may issue a letter of caution that addresses thejudge's conduct. (5) If the board finds there is reasonable cause to believe the judge committed misconduct, it may: (i) enter into a deferred disposition agreement for a period oftime, and the agreement may specify the disposition upon completion; (ii) ifthe misconduct appears to be ofan isolated and non-serious nature, issue a private admonition, which may include conditions; (iii) issue a public reprimand, which may include conditions; or (iv) issue a Formal Complaint. (6) Prior to issuance ofa private admonition, the board shall serve thejudge with a copy ofthe proposed private admonition and a notice stating that within**~14** days after service ofthe proposed private admonition, the judge may serve the board with either a written demand for a private hearing in accordance with Rule 1beforethe board, or the written comments and criticisms ofthejudge regarding the proposed admonition. If the judge makes a timely demand for a pri';ate heariHg, the board shall comply. Ifno timely demand for a hearing is made, the board may considerthe comments and criticisms, ifany, but may in its discretion releaseissue the private admonition as originally prepared. (7) Prior to issuance of a public reprimand, the board shall serve thejudge with a copy ofthe proposed reprimand and a notice stating that within**~**14 days of service ofthe proposed reprimand, the judge may serve the board with either a written demand for a formal hearing as provided in Rule 8, or the written comments and criticisms ofthejudge regarding the proposed reprimand. Ifthe judge makes a timely demand for a formal hearing, the board shall comply with Rule 8. Ifno timely demand for a hearing is made, the board may consider the comments and criticisms, if any, but may in its discretion issuerelease the reprimand as originally prepared. (8) After the board has determined to issue a Formal Complaint, the judge shall be given the opportunity to meet with a representative ofthe board, but the board is not required to delay filing the Formal Complaint. .(2}_ The board shall notify thejudge ofits action and shall disclose the names ofthe board members who did not participate in the action.



### * * *
(b) Access to Transcripts and Recordings. Upon request by the board, the judge shall order and provide a transcript ofthe portions ofhearings requested bythe board. See

13Minn. Stat.§ 486.06. Notwithstanding Rule 4, subdivision 3 ofthe Rules ofPublic Access to Records of the Judicial Branch, the board may also obtain audio recordings of court proceedings.

(Amendedeffective January 1, 1996; amendedeffectiveMarch 30, 1999; amendedeffective July 1, 2009; amended effective July 1, 2016.)
AdYisory Committee Comment 1999 A.mendment 

### The change in Rt:tle 6(d)(l)(i) 1'eeegnizes that the BefH'-tii

### en Jbtdieial Standa1'ris l'IU:lypffleeeddi1'CeUy 1e 

### isst:tanee &ja f<:JrH'lal eemplaintt:tndC1'Rt:tk 8 ·when the1'0 has been a 1'Ciatedpt:tblie p1'8eeeding befo1'0 the Lt:fwye1's

.. T7f?_lessienal Responsibility Betl1'd invehring eendt:tet ofajt:trige that eeet:tHedp1'ie1' 1e 

### the jt:trige asst:tming jt:tdieial e.ffiee. In these ei1'et:tmstanees thep1'8eedbt1'e t:tnde1'Rt:tk 7

### may e1'lly ser¥e 1e 

### delay the disciplinaryp1'eeess.
A/adifiealiens 1e 

### Rt:tle 6(d)(l)(ii) all-ew the betl1'd 1e 

### st:tbmil a pfflPesedpt:tblie 1'Cp1'imand 1e 

### thejt:trige f<:J1' eendt:tet that is t:tnaeeeptable bt:tt net se se1'iel:tS as te waHantfurthC1' discipline, e.g., a eenst:t1'0, by· the 8Mp1'Cme Cet:t1'1. Disciplinary bedies in ethC1'jt:t1'isdieliens have simila1'at:tthe1'ity. &e, e.g., Rt:tk 6(g)(l), Rt:tks &j Pffleedt:tf'Cfa1' the A1'izena Cemmissien en .htdieial Cendt:tet; Rt:tks &/the Geergia .htdieial Qt:talifieatiens Cemmissien, Dcfin#ien (e). The change is b'llemied 1e 

### p1'8vide the beal'd with guidance l'Cgal'ding whe1'l # 

### is app1'ep1'iate te p1'8eeeri di1'Ce#y 1e 

### ap1'epesed 1'Cp1'ima1'ld (which is st:thjeette ajt:trige 's 1'ightte demand a fa1'mal hea1'ing**b~fo1'e** 

### the 1'Cp1'imandis madept:tblic) in liet:t &jfo1'maleha1'ges t:tndC1' Rt:tks 7and8.

AdYisory Committee Comment 2009 Amendment 

### Rt:tk 6(d)(1) 

### (i) all-ews the beal'd 1e 

### stayp1'eeeedingspel'lding aetiel'l by anethC1' agency 81' eet:t1't. &ehp1'eeeedings il'ldl:tde e1·iminalp1'8seet:ttien, ei·;illitigation, and adminisuati}'Caetien by1'Cgl:tlateryagencies.

Rule 

### 6Z. Procedure for Conduct Occurring Prior to Assumption ofJudicial Office


## * * *
Advisory Committee Comment 1999 1'\mendment 

### Rt:tle 6Z et:t#ines the p1'8eessfo1' handling eemplaints eel'leeming eendbtet by a jt:trige be.f81'0 asst:tming jt:tdieial &ffiee. Related changes gl'ant the Lmtrye1's P+'&.fessienal Respensihility• Beaffl:jt:t1'isdietien 1e 

### eensiriC1' whethe1' st:teh eendt:tet waHants lm•')'e1' discipline, while the Beaffl: en Jbtdieial Standsl'ds 1'01ains jt:t1'isdietien te eensiriC1' whethC1' the same eendl:tet waHal'ltsjt:tdieial discipline. R.Bd

. .htd.&d. 2; R.L.PnJ:f:Resp. 6Z(a).

14TheptvnisiensefRule 6Z(s) (d) are Fepeated inR.L.PFef:Resp. 6Z(h)(l) (4). The eemmitleefelt that Fepetitien eft."'e signifieantpt'eeeduffllpt'ei>'isiens was mere een·;enient andappFepFiale than a &ess Fcfaenee. Rule 6Z(s) requiFes the staffefthe LfflyYCFS Pt<efessienal Respe1'1sihility Beard a1'1d the Judicial StandaFds Beat'dte netifleach ethaaheut eemplaints eeneemb<tg eenduetbyajudge eeeut't'b<tg hf7jore thejudge assumedjudieialeffiee. l 1 l8tiee is net required if allpt'eeeedit<tgs relatit<tg te the inquiry, in'lestigatien eF eemplaint haw been Feselvedbefore thejudge assumedjudieial e.ffiee. Rule 6Z(s) neitha ineFeases net' deeFeases the autheFity 

## e:l the exeeuti·;e seeFetaty· et' Office e}LtflvyeFS**:~.Pfflfessienal** Respensihility te in'lestigate et' act en any matter. That autheFity is ge·

..emedby ethaFules. Rule 6-Z(s) merely establishes

a mutual duty tePffl'lide netiee aheut cemplaints eF inquiFies cenceming cenduct efajudge eeeuFFb<tg hcfere thejudge assumedjudieial effiee. Altheugha fait' l'lumheF efeemplaintsFeeeh-•edbythe exeeuti·;e seaetaryandthe Office efPF&jcssienal Respensihility aFe :fri·;eleus, there have been relativelyfew eemplab'lts cencel"ning cenducteccut't'ingpYiel" te ajudge assuming judicial effiee. Thus, the cemmittee helie'les t."'at this pt'ecedul"e will net resul-t b'l a needless diiplicatien efcjfoFts. UndaRule 6-Z(h) itis eel'llemplatedthateemplaintsaheutthe cenduetefajudge eeeut't'ingpYiel" te thejudge assumingjudieial effiee will he h'lwstigatedh'l thefost h'lstal'lCC hy the Office &jLtflVJlCI"S Pt<e.fessim'lalRespensihility, andthe resul-ts weuld he diselesed te the Beat'de1'1 Judicial8tal'ldcu¥is. d.Jud.Std. 5(s)(4);**R.L.:~.V,.efResp.** 20(s)(10). This all-eH'SfeY efficient and effective use 

## e.lil'l';estigative reseurees by beth disciplinary heaYds. Rule 6Z(c) autheYizes the Beat'd en Judicial Standal"ds te pt'eceed diYectly te issuance efafoYmal cemplaint undel" Rule 8 when there has been a relatedpuhlic pt'eeeeding Ul'ldeF the Rules en LawyeFS Pt<e.fessienal Respensihility iw;e['ling em'lduetefajudge that eceut't'edpFieFte thejudge assumingjudieial e.ffiee. In t."'ese eit'Cutnstanees thept'eeedul"e undel" Rule 7 may enly seYVe te delay the disciplinary pYecess. Rule 6Z(c) dees netpfflhihitthe Beat'denJudieial8tandcu¥is:frempl"eceeding te public disciplinary pt'eceedings h'l eases h'l which enlypYi'lale discipline (e.g., an adn'lenitien) has been impesed undel" the Rules en Lawyel"s**:~.~.fessienal** Respensihility joYcenductefajudge eccut't'ingpYiel" te thejudge assumingjudicial e.ffiee. In these eases, the Beat'tim'l Judieial8tal'ldal"ds weuldhe Yequired te.fol/e·,v Rule 7 (1:mless, efceuFse, the matleF is reselvedeaFlier,feF example, bydisn'lissal eF public I"Cpl"imand). Rule 6Z(d) authel"i&es the use ef**t.~e** heaYing recet'd and the findit<tgs and Yecemmendatiens efthe la'ivyel" disciplinary pt'ecess in**t.~e**judicial disciplinary pt'ecess. This is intendedte stl"eamline thejudicial disciplil'lary heaYing when there has already been afeYmalfact finding heaYing in the lffl.,}'Ct' disciplinary pYecess, CJndpamits the &preme Ceut't te Fuk Bl'l beth diseiplb'laty· n'latteFS as quickly as pessihle.

15UnderRuk 6Z(d) itis contemplatedthatthe hearingrecord8:1'ldthefotdingsand conclusions ofthe lawyer diseipli1'18:r:ypFOcess will: he thejirst e·;idence introduced in the Rttk }{}jttdieial diseipl:inar:y hearing. Ceunselfar the hoardand thejttdge me:y• he permitted 

### to introduce additional e'lidenee rele·;ant to alleged Code ef .ffldieial Cenduet -;iolations at the hearing. Ceunsel must he aw8:1-e that there mey he situatim'ls in which the introdttetien efadditional evidence will l'lot hepermiHed. See, e.g., In re Gillard, 26{) N W.2d 562, 564 (Aiirm. 1977) (afler re-;ie"w qfhearing record andfindings and conclusionsfrom lawyer disciplinary process, Supreme Court ruled thatfindings weuld not be subject te eellateral attaek in the related judicial disciplinary pFOeeeding 8:1'ld that additienal e'lidenee H'lB:y he introduced only 8:8 a result e.,-41 stipulation erorder**of'thefae~jinder);** InFe Gil-lard, 27l N. W.2d 785, 8{)9 (Minn. 1978) (tipholding remo·;al8:1'lddisharment where &ardonul:ttdieial Stan:dards 8:8 faetjinder refusedte consider additim'lal testimony but**a!:Jowe~jili~tg** &}deposition and exhibits and made alJemati·;efindings h8:Sed on those :filings). Although the fflles d8 not expressly pro-;idefor a pre hearing eonferenee, it is contemplated that admissibility issues will be reso[wd h:y· the presider efthefoet find:ingpanel sbtjjieiently in adw:lnee e.,-r the hearing 

### to al-low the parties adefjuate time 

### toprepare for the hearing.

Rule 7. [Deleted effeeth·e July 1, 2009.]

Rule 7. Admonition Review Hearing. 

### (a) Hearing Panel. 

### If a judge makes a timely demand for a private hearing as provided in Rule 6(Q(6), the board shall ask the ChiefJustice ofthe Supreme Court to appoint a panel as provided in Rule 8(b). The judge shall be identified by number or randomly selected initials in the proceeding. The board shall notify the complainant, if any, ofthe judge's demand for a hearing.
(b) Panel Procedures. 

### The procedures in Rule 9 and Rule lO(a) and (b) shall apply to an admonitionreview hearing except that the hearing shall be confidential and Rule 9(b) shall apply only to the extent permitted by this Rule. Depositions shall not be allowed, provided that the panel presider, for good cause shown, may authorize a subpoena and deposition ofa witness living outside the state or physically unable to attend the hearing. The panel shall review the proposed admonition de novo.
(c) Form ofEvidence at Admonition Review Hearing. 

### The panel shall receive evidence only in the form ofaffidavits or other documents except for testimony by: ( 1) 

### The judge; (2) A witness whose testimony the review panel presider authorizes for good cause. Iftestimony is authorized, the presidermay authorize the issuance ofa subpoena under Rule 9(b).

16(d) Disposition. The panel shall make written findings and conclusions. If the panel finds that any alleged violation is supported by clear and convincing evidence, the panel may affirm the admonition or, ifthe panel finds that the judge's misconduct warrants public discipline, the panel may recommend that the board issue a public reprimand or a Formal Complaint. Ifthe board does not accept a panel'srecommendationto issue a public reprimand or a Formal Complaint, the admonition reviewed by the panel shall become final. The panel shall dismiss the complaint ifthere is not clear and convincing evidence supporting the violation(s) alleged in the admonition.

(e) Review by Supreme Court. The judge may petition the Minnesota Supreme Court to review a panel's affirmance ofan admonition by filing a petition with the clerk of the appellate courts in accordance with Rule 117, subdivision 3 of the Rules of Civil Appellate Procedure within 30 days ofbeing served with the review panel's decision. The judge shall be identified by number or randomly selected initials in the proceeding. The board may respond in accordance with Rule 117, subdivision 4 of the Rules of Civil Appellate Procedure. Ifreview is granted, the matter shall proceed under Rule 14 ofthese Rules.

(Added effective July 1, 2016.)

Rule 8. Formal Complaint or Formal Statement ofDisability Proceeding and Notice (a) Formal Complaint or Formal Statement ofDisability Proceeding. (1) The Formal Complaint or Formal Statement ofDisability Proceeding shall set forth the charges against the judge, the factual allegations and the time within whichthese rules require thejudgeto serve a writtenresponse. Where more than

one act ofmisconduct is alleged, each shall be clearly set forth. (2) The judge shall be served promptly with a copy of the Formal Complaint or Formal Statement ofDisability Proceeding. Service shall be accomplished .Qy admission of service or certified mail, or in accordance with the Rules of Civil Procedure. (3) Thejudge shall serve a written response onthe board within 20 days after service ofthe Formal Complaint orFormal Statement ofDisability Proceeding. (4) The executive secretary shall file the Formal Complaint or Formal Statement of Disability Proceeding and the written response, ifany, with the Supreme Court, within 30 days of service of the Formal Complaint or Formal Statement of Disability Proceeding unless the matter is resolved. The filing time may be extended by agreement ofthe board and thejudge.


## * * *

(c) Notice ofHearing.

17(1) The hearing panel shall schedule a public hearing. The date shall be selected to affordthejudge ample time to prepare for the hearing, but shall not be later than 90 days after the filing of the Formal Complaint or Formal Statement of Disability Proceeding with the Supreme Court. Thejudge and all counsel shall be notified ofthe time and place ofthe hearing. (2) If the presider allows the amendment of the Formal Complaint or Formal Statement of Disability Proceeding, or in compellingln extraordinary circumstances, the hearing panel shall have the authority to extend the hearing date as it deems proper.
(d) Disclosure in Public Proceedings. Notwithstanding Rule 5, in a public reprimand, a Formal Complaint, and in proceedings before a panel under this rule or Rule 7, the board may disclose private discipline previously imposed on the judge.

(e) Failure to Answer/Failure to Appear. A judge's failure to answer the Formal Complaint or failure to attend the panel hearing, unless excused by the presider for good

cause shown, shall constitute an admission of the factual allegations of the Formal Complaint.

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 9. Discovery (a) Initial DisclosuresWitaesses; Depasitiaas. Within 20 days after the service ofa response, or afterthe e1cpiration ofthe time for serYi6e ofa response, whi6heYer 066\:H'S fifst;--counsel for the board and the judge shall exchange the names and addresses ofall persons known to have knowledge ofthe relevant facts. The presider ofthe hearing panel shall set a date for the exchange ofthe names and addresses of all witnesses the parties intend to call at the hearing. Subpoenas and depositions shall be goYemed byRule 2(e).

(b) Subpoenas and Depositions. Subpoenas for inspection of documents, depositions, and the hearing may be issued only with the prior approval ofthe presider. Counsel for the board may take the deposition ofthe judge. The board and the judge may apply to the presider to take the deposition ofwitnesses who are unavailable to testify at the hearing. Depositions ofother persons may be taken only ifthe presider finds that the party's need for the deposition outweighs the burdens placed on the deponent and on the other party and does not significantly delay the proceedings. The presider shall issue a protective order in accordance with Rule 26.03, Rules ofCivil Procedure, when necessary to reduce the burdens on a deponent. Subpoenas shall be issued by the Ramsey County District Court upon presentation ofthe presider's authorization for the subpoena.
(c) Other Evidence. Counsel for the board and thejudge shall exchange:

18(1) non-privileged evidence relevant to the Formal Complaint, documents to be presented at the hearing, witness statements, and summaries ofinterviews with witnesses who will be called at the hearing; and (2) other material only upon good cause shown to the presider ofth:e panel. This rule shall not limit the judge's access to the file underRule 5(h). Upon request by the board or the judge and for good cause shown, t+he presider may authorize service of interrogatories and requests for production ofdocuments and may direct the judge to sign authorizations for release ofinformationuponrequest by th:e board orth:ejudge.


## * * *

(f) 

### Completion ofDiscovery. All discovery shall be completed within 60 days of the service of the response or the expiration of the time for service of the response, whichever occurs first unless upon a showing ofgood cause, the presider extends the time.


### (g) Failure to Disclose. The presider of

### the hearingpanel maypreclude eitherparty from calling a witness at the hearing ifthe party has not provided the opposing party with the witness' name and address, any statements taken from the witness or summaries ofany interviews with the witness.


### (h) Resolution ofDisputes. Disputes concerning discovery, including subpoenas and depositions, shall be determined bythe presider ofthe hearing panel before whom the matter is pending. The decisions ofthe presider may not be appealed before entry ofthe panel's disposition inthe disciplinary proceeding.

(i) 

### CivilRules Not Applicable. Proceedings underthese rules are not subjectto the Rules ofCivilProcedure regarding discovery exceptthatRules 26.03, 30.02-.07, 32.04-.05, and 37.04 are applicable to the extent that they are consistent with these rules.

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)



### Rule 10. Public Hearing


## * * *
(c) Amendments. By leave ofthe presider ofthe panel for good cause shown orby consent ofthejudge, the Formal Complaint orFormal Statement ofDisability Proceeding may be amended after commencement ofthe hearing ifthejudge and thejudge's counsel

are given adequate time to prepare a response. Leave to amend shall be freely granted when justice so requires.

19(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 11. Findings, Disposition, and Appeal (a) Findings. The hearing panel shall make findings offact and conclusions of law as to whether there is clear and convincing evidence that the judge committed misconduct under the grounds for discipline in Rule 4. The panel shall file its findings and conclusions within 60 days after the case is submitted to the panel unless the ChiefJustice,

on request ofthe presider, extends the time for good cause shown. Ifthe panel finds there is not clear and convincing evidence, the panel shall dismiss the case. If the panel finds there is clear and convincing evidence, the panel shall impose or recommend sanctions under Rule 11(b).
(b) Disposition. If the hearing panel finds clear and convincing evidence of misconduct, the panel may: (l) enter into a deferred disposition agreement for a speeified period oftime upon reasonable eonditions, and the agreement may speeify the disposition upon eompletion; (1) issue a public reprimand; or (2) recommend any ofthe following sanctions to the Supreme Court: (i) Removal; (ii) Retirement; (iii) Imposing discipline as an attorney; (iv) Imposing limitations or conditions on the performance of judicial duties; (v) Censure; (vi) Imposing a civil penalty; (vii) Suspension with or without pay; or (viii) Any combination ofthe above sanctions.

(c) Filing and Service. The hearing panel must file its findings of fact, conclusions oflaw, and disposition with the Supreme Court within 7 days after issuance of the disposition. The panel shall serve copies on the board and respondentjudge. Proofof service shall also be filed with the Supreme Court.

(d) Appeal. The board orjudge may appeal the disposition ofthe hearing panel by filing a notice ofappeal with the clerk ofthe appellate courts within 10 days after the panel serves the disposition on the parties. The appeal shall proceed under Rule 14. +he disposition ofthe panel beeomes final ifno appeal is taken within 60 days after issuanee of the disposition. Ifthe panel determines it is appropriate to issue a public reprimand, the reprimand shall be stayed until the time for appeal has run or any appeal is completed. If there is no appeal from a dismissal orreprimand, the disposition ofthe panel becomes final.

20A party's failure to timely appeal a panel's findings, conclusions, and/or recommendation for discipline constitutes acceptance thereof. A party seeking to challenge a finding offact

or conclusion by the panel shall order a transcript if a transcript has not already been prepared.

(Amendedeffective January 1, 1996; amendedeffective March 30, 1999; amendedeffective July 1, 2009; amended effective July 1, 2016.)
AdYisory Committee Comment 1999 Amendment 

### Rlik 11(d)

### (5) hCES been medijiedby deleting**FCpriman~fi'em** 

### the list E>jsanetiens that msyhe issl:ted s.fter a formal hearing. Under Rl:tle 6(d)(l)(ii), a FCprimandmsy• he issl:ted by the heardwithel:tt resert te 

### formalpreeeedings in sitl:tatiens im;ehring ee19dl:tet that is l:tnaeeeptahle l:tnder e19e E>jthe g'I¥Jl:t19cis far}l:tdieialdiscipline bl:tt 19et

se seriel:tS CIS 

### te ·,yarrant further discipline, sl:teh asa ee19SWC, by

### the &preme Cel:trt.


## * * *

Rule 13. Disposition by Consent (a) Agreement. At any time after issuanee ofthe Formal Complaint or Formal 8tatementofDisability Proeeedingandbefore eonelusion ofanyhearingpanel proeeedings under Rules 10, 11, and Hi, thejudge and the board may enter into an agreement in which thejudge admits to any or all ofthe charges or allegations ofdisability in exchange for a stated disposition or recommended disposition. Entry into the agreement shall stay the proceedings oftftef! panel. The agreement shall set forth: (1) a statement ofthe facts; (2) the allegations to which thejudge is admitting; and (3) the agreed-upon disposition.
(b) Disposition. Ifthe agreed-upon disposition is one the board is authorized to impose under Rule 6(t)(4) or (5), proceedings before the hearing panel shall terminate, and the board shall impose the disposition. Ifthe agreed-upon disposition is one the board is not authorized to impose under Rule 6(f)(4), the agreement shall be submitted to the Supreme Court. The Court shall either enter an order implementing or rejecting the agreement. Ifthe stated disposition is rejected by the Supreme Court, the agreement may be withdrawn but the facts admitted to in the agreement can be used against thejudge in such further proceedings as the Court may direct.

(Added effective July 1, 2009; amended effective July 1, 2016.)

21Rule 14. Supreme Court Review (a) Prompt Consideration. Uponthe filing ofa recommendation for discipline

or disability retirement, the Court shall promptly docket the matter for expedited consideration, but not sooner than the end of the time allowed for appeal ofthe panel's dispositionbythe board or judge. Iftheboard orjudgeappealsthe disposition ofthehearing panel, the Court shall eonsider the reeommended disposition under Rule ll(b)(3) or Rule 16(f)(1 )(ii) at the same time as any appeal regarding those reeommendations.
(b) Briefs. The board shall, and the judge may, file briefs with the Court in aeeordanee with the requirements of Minn. R. CiY. App. P. 128.• Any party seeking to ehallenge a finding offaet by the panel shall order a transeript.Briefs shall be filed withthe Court in accordance with Minn. R. Civ. App. P. 128 and 130-132 except as modified in this rule. Unless the Court otherwise orders, (1) If one party has appealed, the appellant shall file a brief within 21 days after filing the notice ofappeal, the respondent shall file a briefwithin 21 days after service of appellant's brief, and the appellant may file a reply within 10 days after service ofrespondent's brief. (2) Ifboth parties have appealed, the appellant shall file a briefwithin 21 days after filing the notice ofappeal, the respondent/cross-appellant shall file a briefwithin 21 days after service ofappellant's brief, the appellant shall file a response and reply briefwithin 14 days after service ofrespondent's brief, and the respondent mayfile a reply within 10 days after service ofthe appellant's response andreply brief. (3) Ifneitherpartyhas appealed, the board shall, and the judge may, file a briefnot exceeding seven pages within 14 days after the time to appeal has expired, and

no reply briefs shall be filed; and (4) A briefmay be stapled rather than formally bound.

(c) Additional Findings and Filings; Supplemental Record. (1) Ifthe Court desires an expansion ofthe record or additional findings with respect either to the recommendation for discipline or to the sanction to be imposed, it shall remandthe mattertothe hearingpanel with appropriate directions, retaining jurisdiction, and shall stayproceedingspending receipt ofthepanel's filing ofthe additional record. (2) The Court may order additional filings or oral argument as to specified issues or the entire matter. (3) The Court without remand and prior to the imposition ofdiscipline may accept

or solicit supplementary filings with respect to medical or other information, provided that the parties have notice and an opportunity to be heard.

(d) Delay for Further Proceedings. The Court, on receipt of notice of an additional proceeding before the board involving the samejudge, may stay proceedings pending the board's termination ofthis additional proceeding. In the event that additional

22recommendations for discipline of the judge are filed, the Court may impose a single sanction covering all recommendations.

(e) Decision. When the hearing panel recommends the Supreme Court impose sanctions underRule 11(b**)(~.f.),** the Court shall reviewthe record oftheproceedings, giving deference to the panel's fmdings of facts, and shall file a written opinion and judgment directing such discipline or other action as it concludes isjust and proper. Ifthejudge or board has filed an appeal under Rule 11(d), the Court may accept the recommendation of the panel, or reject or modify it in whole or in part.

(f) Consideration ofLawyer Discipline. When the hearing panel recommends the suspensionorremoval ofajudge, the Court shall promptlynotifythejudgeandthe Office ofLawyers Professional Responsibility Board and give them an opportunity to be heard in the Court on the issue oflawyer discipline.


## * * *

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 15. Interim Suspension


## * * * (c) Review ofPeFmissive Interim Suspension. Anyjudge suspendedunder section (b) ofthis rule shall be given a prompt hearing and determination by the Supreme Court upon application for review ofthe interim suspension order.

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1 2016.)

Rule 16. Special Provisions for 

### Cases Involving Disability (a) Proceedings in General. When it appears that a judge may have a disability

as defmed in these rulesan inquiry alleges faets that eould eonstitute disability, the board shall follow the same procedures used with respect to misconduct, except as modified by this rule.

(b) Initiation oflnguirvPFaeeedings. The board may initiate an inquiry into a
case involving disability: (1) upon receiving a complaint alleging conduct that may be due to a disability; (2) when an investigation indicates the alleged conduct may be due to disability; Of (3) when thejudge asserts inability to defend in a disciplinary proceeding due to a
23disability; (4) upon request ofthe ChiefJustice ofthe Supreme Court; or (5) upon the board's own motion.


## * * *

(t) Hearing. Upon issuance of a Formal Statement of Disability Proceeding, a hearing shall be held under Rules 10 and 11 to determine whether there is clear and convincing evidence the judge has a disability. If the board has also filed a Formal Complaint, the hearing panel shall determine whether there is clear and convincing evidence that thejudge committed misconduct and whether the misconduct was related to
a disability. The panel may exclude the public from portions ofthe proceedings to hear evidence on psychological or medical materials or other evidence that would not be accessible to the public. (1) Ifthe hearing panel finds clear and convincing evidence ofa disability, the panel may: (i) enter into a deferred disposition agreement as provided in Rule 11(b)(1); or (ii) recommend any ofthe following actions to the Supreme Court: (A) Removal; (B) Disability retirement ifthe disability is or is likelyto become permanent; (C) Imposition of limitations or conditions on the performance ofjudicial duties; (D) Suspension with or without pay; or (E) Any combination ofthe above actions. (2) The hearing panel may also impose orrecommend a disciplinary disposition with regard to misconduct, ifapplicable, pursuant to Rule 11(b). (3) Any disposition ofthe hearing panel is public. (4) The board orjudge may appeal the decision ofthe hearing panel as provided in Rule 11(d).


## * * * (h) Representation 

### by Counsel. Ifthe judge in any proceeding under this rule is notrepresented by counsel, the board or, ifa hearing panel has been appointed, the presider ofthe panel, shall appoint an attorney to represent thejudge at public expense.
(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 17. Involuntary Retirement (a) Procedure. A judge who refuses to retire voluntarily may be involuntarily retired by the Supreme Court. Ifattempts to convince ajudge to retire voluntarily fail, then


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### the board shall proceed as provided in Rules 8, 9, 10, and 11. The Supreme Court shall thenproceed as provided in Rule -!;

### 14.



### * * *

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)



### * * *

Rule 19. Expungement The executive secretary shall expunge records as follows: (a) Dismissals. All records or evidence ofa complaint where the board did not find reasonable cause to believe thejudge committed misconduct or where the board did not find reasonable cause to believe thejudge has a disability shall be destroyed tffi=eefour years after the board receives the complaint or authorizes an investigation, whichever

occurs first, exceptthat an expungement shall be accomplished bythe board's staffno later than two months after the time to expunge the file occurs. Ifthe board receives a new complaint involYing the samejudge within the three years, the new complaint shall renew the three year period.
(b) Case Files on Deceased Judges. All case files on deceasedjudges shall be destroyed, unless the file reflects a public proceeding concerning the judge, in which case the board may retain the key documents in the file.



### * * *

(Added effective January 1, 1996; amended effective July 1, 2009; amended effective July 1, 2016.)

Rule 20. Use ofAllegations from Dismissed Inquiries (a) Use of Allegations in General. Allegations from an inquiry that was dismissed shall not be referred to by the board in any subsequent proceedings orused for any purpose in anyjudicial or lawyer disciplinary proceeding against thejudge, except as provided in this rule. Allegations from a dismissed inquiry may be reinvestigated with permission ofthe board if, within tffi=eefour years after dismissal, additional information becomes known to the board regarding the inquiry.
(b) Use ofAllegations From Dismissal with Letter of Caution. Allegations from an inquiry dismissed with a letter ofcaution may be used within three years after

25dismissal in subsequent proceedings only as follows: (i) The fact that the inquiry was dismissed with a letter ofcaution may not be used to establishthe misconduct alleged in a subsequent proceeding. However, the underlying conduct described in the letter ofcaution may be charged in a subsequent Formal Complaint within four years after dismissal, and evidence in support thereof may be presented to the hearing panel at the public hearing under Rule 10. (ii) Ifthe underlying conduct described in the letter ofcaution is charged in a subsequent Formal Complaint, and the hearing panel finds the judge committed misconduct with respect to the facts underlying the dismissal with letter ofcaution, the letter ofcaution may be considered by the panel in determining an appropriate sanction. (iii) A letter ofcaution may be used to show that a judge was on notice that the conduct described in the letter ofcaution could violate the Code of Judicial Conduct.
(Added effective July 1, 2009; amended effective July 1, 2016.)


## * * *

Rule 23. Service and Computation ofTime. Service on a party represented by counsel shall be made on the attorney. In computing any period oftime prescribed or allowed by these rules or by order ofcourt. the method of computation specified in Rules 6.01 and 6.05, Minnesota Rules of Civil Procedure, shall be used.

(Added effective July 1, 2016.)

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