STATE OF MINNESOTA February 24, 2016

IN SUPREME COURT 

ADM10-8032 

ORDER PROMULGATING AMENDMENTS 

TO THE RULES OF THE BOARD ON JUDICIAL STANDARDS 

Om:ciEOF 

API'B.IA1ECC!Ut'liiJ 

The Minnesota Board on Judicial Standards filed a petition recommending 

amendments to the Rules of the Board on Judicial Standards. On October 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 of the 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 of the Board 

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

Dated: February 24, 2016 BY THE COURT: 

L~~ Chief Justice 
AMENDMENTS TO THE RULES OF THE BOARD ON JUDICIAL 

STANDARDS 

In the following amendments, deletions are indicated by a line drawn through the words 

and additions by a line drawn under the words. 

Rules of Board 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 by judges, lllVt'yers, eourt 

personnel or any member of the general publie regarding the eonduet ofajudgeinformation 

in any form from any source received by the 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 the judge and the board 

or hearing panel for the judge 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 of any complaint or information that 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 any judge, including ~full-time, part-time, or senior and retired judges, 

judicial officer, referee, magistrate, or other hearing officer employed in the judicial branch 

of the state of Minnesota, any judge of the Minnesota Tax Court.1 ep-any judge of the 

Workers' Compensation Court of Appeals. and the Chief Administrative Law Judge. 

* * * 

"Senior Judge" is a "Retired Judge Subject to Recall" within the meaning of Part II, 

Application. Minnesota Code of Judicial Conduct. 

(Amended effective January 1, 1996; amended effective July 1, 2009; amended effective 

July 1, 2016.) 

Rule 1. Organization of Board 

w Appointment of Members. The Board on Judicial Standards shall consist 

of one judge of the Court of Appeals, three judges of district court, two lawyers who have 

practiced law in the state for at least ten years and four resident citizens of Minnesota who 

are not judges, retired judges 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 for judicial members. 

ill Term of Office. 

(1) The term of each 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, 

not to 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) if a member is appointed to 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 member retires from the board; or 

(ii) When a judge who is a member of the board ceases to hold the judicial office 

held at the time of selection; or 

(iii) When a lawyer who is a member of the board ceases to be in good standing 

2 
to practice law in the courts of this state or is appointed or elected to a judicial 

office; or 

(iv) When a !eypublic member becomes a lawyer; or 

(v) When a member is no longer a resident citizen of Minnesota. 

(2) Vacancies shall be filled by selection of a successor in the same manner as 

required for the selection of the predecessor in office. A member selected to fill 

a vacancy shall hold office for the unexpired term of the predecessor. All 

vacancies on the board shall be filled within 90 days after the vacancy occurs. 

(3) Members of the 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 licensed to 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 of the 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 or disability; 

(2) Make preliminary evaluations; 

(3) Conduct investigations of complaints as directed by the board; 

( 4) Recommend dispositions; 

(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 of the board's staff; 

(9) Prepare an annual report of the board's activities for presentation to the board, 

to the Supreme Court and to the public; 

(I O)Employ, with the approval of the board, special counsel, private investigators or 

other experts as necessary to investigate and process matters before the board 

and before the Supreme Court. The use of the attorney general's staff prosecutors 

or law enforcement officers for this purpose is not allowed. The use of the 

director and staff of the Office of Lawyers Professional Responsibility for this 

purpose is allowed if the matter involves conduct of a judge, other than a 

Supreme Court Justice, that occurred prior to the judge assuming judicial 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 of the ~eoHti'le secretary. 

(f) Quorum and Chairperson. 

(1) A quorum for the transaction of business by the board shall be s-Hta majority of 

the members of the 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 of the chairpersoa. 

(g) Meetings of the Board. Meetings of the board shall be held at the call of the 

chairpersoa, the vice-chairpersoa, the executive secretary or the written request of three 

members ofthe board. 

* * * 

(j) Cede of EdtiesBoard Policies. The board may adopt policies consistent 

with these Rules governing the conduct of its business and performance of its duties. The 

board shall maintain a Code of Ethics setting forth the ethical standards expected of board 

members in the performance of the board's responsibilities. 

{k) Executive Committee. The board's executive committee shall consist of the 

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 

behalf of the board between meetings within limits prescribed by the board. The executive 

committee shall not have the authority to determine that there is reasonable cause to believe 

a judge has committed misconduct. 

(Amended effective January 1, 1996; amended effective March 30, 1999; amended effective 

July 1, 2009; amended effective July I, 2016.) 

Ad·lisory Committee Commeat 1999 Ameadmeat 

RNk 1 (ri) (1 ()) has heen metfi.jied te a118w the 1i9C efthe diFeeter and staf:fe.fthe 

Office efLmvyers Prof'essienal Respensihility te pPO'lide iw,•eatigati'IC and sttppert 

se,..,•iees in sit1iatiens bi'WJlv•b2g eendNet that eeeNFI"ed prier 18 a jNdge 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 eentemplated that eemplaints aheNt the 

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,. efficient and cffeeti·;e NBC ofinY'estigative 

4 
resources by beth diseiplinetry be(J;f'(:}s. Related changes also aMtheri=e the Mse ef 

the hearing record, findings, and reeemmendatiens ef the lawyer disciplinary 

f»¥Jeess in t-he jMdieial diseipli1ttHJ>' precess. R.Bd.Jlfd.Std. 6Z(d); R.L.PrejResp. 

6Z(h)(4). 

RMle 1 (d) (1 {)) pfflhibits the J;tSC efthe staffofthe Office efLawyers Pr-e}cssienal 

Responsibility iYhen the pre bench eendHet at issMe bweh;es a &tpren1e GeHrt 

Justice beeaHse the effiee's director and stetffare appointed a11d compensated by 

the GeHrt. /fsMeh a ease were te arise, it is contemplated that t.Lze Office efLe:wyers 

Prefessienal Responsibility weHld fallow existing conflict preeedHres, which 

inehtde assigning a former attorney er fin·mer beard member te re.,.iew andf<Jllew 

Hp en patentlyfri·;elel:tS complaints and hiring eHtside eeMnsel and investigators te 

handl:e ether complaints. The prehibitien against the Hse ef effiee st«ffdaes net 

prohibit een1mHnieatie1'1 o.l confidential information between the twe beards 

regarding matters iw;elving the eenduet o.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, that the 

immunity a11d pri¥i/ege provisions Mnda RHle 3 and the confidentiality and werk 

P~''<Jduetprevisiens under Rule 5 apply te these individuals when hiey are B:SSisting 

the exeetttive seeretetry and the beard. 

Rule 2. Jurisdiction and Powers of Board 

(a) Powers of the 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 of physical or mental disability of judges; and 

(iii) Matters of voluntary retirement for disabilityt-afld 

(iY)Re\'iew of a judge'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 on proper judicial conduct with respect to 

the provisions of the Code of Judicial Conduct. An advisory opinion may be 

requested by a judge or a candidate for judicial 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 of all facts pertaining to the 

intended conduct and a clear, concise question of judicial ethics. The 

board shall issue a written opinion within 30 days after receipt of the 

written request, unless the time period is extended by the board. 

5 
* * * 

(ii) The board may issue opinions of general applicability. 

(iii) The executive secretary may provide informal opinions to judges. 

(iv) The board and the Office of Lawyers Professional Responsibility may 

disclose to each other confidential information concerning opinion 

requests in order to promote consistency in their opinions. 

(v) The fact that the judge or judicial 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 or the Supreme Court in the exercise of their judicialdiscipline 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 may be taken of a witness living outside the state or physically 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 of reasonable cause to proceed, and subject to the limitations 

of Rule 2(e)(l): (i) Upon resolution of the board, the executive secretary 

may make application to the board to authorize fer-the issuance of a subpoena 

compelling any person, including a judge, 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 

calculated to lead to the discovery of evidence of possible misconduct by a judge 

or the absence of such misconduct. (ii) failure or refusal of a judge 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 of justice and may provide reasonable cause for the board to 

proceed under Rule2(e)(3). 

(3) Sul>peeaas fer Heariag. At all other stages ofthe proceeding following a finding 

of reasonable 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 of documents, books, accounts, and other records. 

Ql_Issuing Subpoenas. The District Court of Ramsey County shall issue subpoenas 

upon presentation of a resolution of the board. 

6 
(4) Motions. Prior to the appointment of a hearing panel pursuant to R~le 8(b), tihe 

District Court of Ramsey County shall have jurisdiction over motions arising 

from Rule 2( e) requests subpoenas and depositions. Following the appointment 

of a panel, the presider of the panel before whom the matter is pending shall hfrlre 

jurisdietion o•;er motions arising from Rule 2(e) requests and shall ha-¥e all the 

powers of a distriet eourt judge .• Any resulting deeision or order of the presider 

of the panel or the Distriet Court of Ramsey 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 of the hearing panel's disposition in accordance with Rule 11. 

(0 Cooperation. A judge who is the subject of investigation or a disciplinary 

proceeding shall comply with the board's reasonable requests to furnish a full and complete 

explanation covering the matter under consideration and to appear for conferences. A 

judge who is the subject of disciplinary action under these rules shall comply with the terms 

and conditions of any order or disposition imposing discipline. 

,(g} Impeachment. Nothing in these rules shall affect the 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 a jofflial 

hearing before the reprimand is made pHhlie, and nenp'blbtie WCH'I'lings, eenditiens, 

ee'blnseling, treatment, atid assistance directed by the heard 'binder RHie 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 of any j'hldge eee'blrring prier te the 

ass'blmptien ofj'bldieial effiee. As set forth in the definitien seetien ofthese r'hlks, the 

term ']Hdge" inel'bldes any jHdge, j'bldieial ej}ieer, referee, er ether hearing effieer 

empleyed in the j'hldieial branch, and at~y j'bldge of the ~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; 2 71JJl (1998). The preeed'blre te he follewed in 

sit'blatiens in'le/?;ingpre bench eend'blet is set forth in R'hlk 6Z f>).rthese r'blles. 

7 
Rule 3. Immunity; Privilege 

Information submitted to the board or its staff and testimony given in the proceedings 

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 of the 

board, referees, board counsel, mentors appointed by the board, hearing panel members, a 

designee appointed by the Supreme Court under Rule 16(d)(4), and staff shall be absolutely 

immune from suit for all conduct in the course of their 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 Other Action Shall Include: 

(1) Conviction of a crime punishable as a felony under state or federal law or any 

crime involving moral turpitude; 

(2) A persistent failure to perform judicial duties; 

(3) Pattern of incompetence in the performance of judicial duties; 

( 4) Habitual intemperance; 

(5) Conduct prejudicial to the administration of justice that brings the judicial office 

into disrepute, including, but not limited to, discrimination against or harassment 

of persons on the basis of race, color, creed, religion, national origin, sex, marital 

status, sexual preference, disability or age; 

(6) Conduct that constitutes a violation of the Code of Judicial Conduct or Rules of 

Professi anal 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 of a conviction in a foreign country if the facts and circumstances surrounding 

the conviction indicate that the judge was accorded fundamental fairness and due process. 

An eon·;iction, acquittal, or other disposition of any criminal charge filed against a judge 

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 of fraud, corrupt 

motive, or bad faith, tThe board shall not take action against a judge for making findings 

of fact, reaching a legal conclusion, or applying the law as understood by the judge unless 

the judge acts contrary to clear and determined law and the error is egregious. made in bad 

faith, or made as part of a pattern or practice of legal error. Claims of error 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 of Disability Proceeding and response, if any, 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) If at any time the board issues a public reprimand, such action shall be a matter of 

public record. 

(2) If the board issues a private admonition or a dismissal with a letter of caution or 

enters into a deferred disposition agreement, this action may be disclosed to the 

chief justice, chief judge, and/or district administrator of the judicial district in 

which the judge sits. Such disclosure is at the discretion of the board and shall 

be for the purpose of monitoring future conduct of the judge and for assistance 

to the judge in modifying the judge's conduct. To the extent that any information 

is disclosed by the board pursuant to this provision, the chief justice, chief judge 

and/or district administrator shall maintain the confidentiality of the information 

in accordance with Rule 5. 

(3) Information may be disclosed between the Board on Judicial Standards or 

executive secretary and the Office of Lawyers Professional Responsibility Beafd 

or the direetor in furtherance of their duties to investigate and consider conduct 

that occurred prior to a judge assuming judicial office. 

* * * 

(e) Public Statements by Board. 

(1) In any case in which the subject matter becomes public through independent 

sources or through a waiver of confidentiality by the judge, the board may issue 

statements as it deems appropriate in order to confirm the pendency of the 

investigation, to clarify the procedural aspects of the disciplinary proceedings, to 

explain the right of the judge to a fair hearing without prejudgment and to state 

that the judge denies or admits the allegations. The statement shall be first 

submitted to the judge 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. If an the-inquiry 

9 
was initiated as a result of notoriety or because of conduct that is a matter of 

public record, or if a 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 

office has opened, the board may 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 or the administration of justice. 

(f) Disclosure in Event of Application to the Governor for Disability Retirement. 

The board may disclose to the governor information about the existence, status, and nature 

of pending complaints, complaints resulting in action of the board pursuant to Rule 6(f)(5), 

and complaints resulting in a private warning or imposition of conditions 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 or the assignment of a retired judge to judicial 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 of conditions prior to August 

1, 2009. If the 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. The judge who is the subject of a complaint shall, upon 

request, have access to the file relative to the complaint at any stage of the proceedings, 

including witness statements and notes of witness 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 of their duties and (2) the work 

product of the executive secretary, board members, and board counsel, including their 

notes, and the records of the board's and hearing panel's deliberations shall not be required 

to be disclosed. 

(i) Waiver of Confidentiality. A respondent judge may waive confidentiality at any 

time during the proceedings. 

(j) Senior Judges. If the board receives credible information that a senior judge 

has engaged in conduct in violation of the Code of Judicial Conduct, the board may notify 

the chief justice, a chief judge, and the state court administrator. 

10 
(k) Mentors. If the board appoints a mentor for the judge, the board may disclose 

information to the mentor and may disclose information concerning the mentorship to the 

chief justice and a chief judge. If a mentor is appointed in connection with a judge's public 

discipline, the board may publicly disclose the identity of the mentor. 

(Amended effective January 1, 1996; amended effective March 30, 1999; amended effective 

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

A:dYisory Committee Comment 1999 Amendment 

Rbtle 5(a) has been modified by the flcidition efeklbtSe (4) to permit the exehflnge 

ef informtltion betwee1'i the two diseiplinflry botlrds tlnd t."leir stCJjJ in sitbttltions 

in·;o/ving eondbtet ef 8 jbtdge thtlt oeebtrt'ed prior to the jbtdge 89Sbtl'l'li1'lg jbtdieifll 

off-we. See fllse R.L. Prof:Resp. 2{)(8) (l 0). Both the Bo8ffl on Judieifll Stt1ndards 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 of Inquiry. An inquiry may be initiated as follows: 

(I) An inquiry relating to conduct of a judge 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 of a judge. 

(3) Upon request of the Chief Justice of the Supreme Court, the board shall make an 

inquiry into the conduct or physical or mental condition of a judge. 

( 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 of an inquiry. If the matters 

alleged in the complaint or information would not constitute misconduct or disability if 

true, If the complaint or information does not contain a basis for a reasonable belief that 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 belief that a judge may have engaged in misconduct or may 

have a disability, the executive secretary shall conduct an prompt, discreet and confidential 

11 
evaluation. The results of all evaluations shall be routinely submitted to the board. 

(d) Investigation; Notice. 

(1) Upon review of the preliminary evaluation, or on its own motion, the board may, 

by resolution: 

(i) stay proceedings pending action by another agency or court; 

(ii) dismiss the complaint or end the inquiry; or 

(iii) authorize an investigation. 

(2) Within ten (1 0) business days after an investigation has been authorized by the 

board, the executive secretary shall give the following notice to the judge whose 

conduct is being investigated: 

(i) a specific statement of the allegations and possible violations of the 

Code of Judicial Conduct being investigated, including notice that the 

investigation can be expanded if appropriate; 

(ii) the judge's duty to respond under Rule 6(d)(5); 

(iii) the judge's opportunity to appear before the board or panel of the board 

under Rule 6( d)( 6); and 

(iv) the name of the 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 the judge. 

(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 of the inquiry if the inquiry has been 

made public. 

(5) Upon request of the executive secretary, the judge shall file a written response 

within thirty (30) days after service of the notice under Rule 6( d)(2). 

(6) Before the board determines its disposition of the inquiry, either the board or the 

judge may request that the judge appear before the board or a panel of the board 

to respond to questions. The appearance shall be granted. If the board requests 

the judge's appearance, the executive secretary shall give the judge 20 days' 

notice. The board may require that the judge's and the testimony shall-be sworn. 

*** 

(f) Disposition After Investigation. 

( 1) Upon conclusion of an investigation or determination by another agency or court, 

the executive secretary may recommend disposition to the board. 

(2) The board shall review the results of the investigation or determination by 

another agency or court and the recommendations of the executive secretary and 

determine whether there is reasonable cause to believe the judge committed 

12 
misconduct. 

(3) A finding of reasonable cause shall require the concurrence of a majority of the 

non-recused members of the .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 of the inquiry, the board may issue a letter of 

caution that addresses the judge'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 of time, and 

the agreement may specify the disposition upon completion; 

(ii) if the misconduct appears to be of an 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 of a private admonition, the board shall serve the judge with a 

copy of the proposed private admonition and a notice stating that within ~14 

days after service of the proposed private admonition, the judge may serve the 

board with either a written demand for a private hearing in accordance with Rule 

1before the board, or the written comments and criticisms of the judge regarding 

the proposed admonition. If the judge makes a timely demand for a pri';ate 

heariHg, the board shall comply. If no timely demand for a hearing is made, the 

board may consider the comments and criticisms, if any, but may in its discretion 

releaseissue the private admonition as originally prepared. 

(7) Prior to issuance of a public reprimand, the board shall serve the judge with a 

copy of the proposed reprimand and a notice stating that within ~ 14 days of 

service of the 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 of the judge regarding the proposed reprimand. If the 

judge makes a timely demand for a formal hearing, the board shall comply with 

Rule 8. If no 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 of the board, but the board 

is not required to delay filing the Formal Complaint. 

.(2}_ The board shall notify the judge of its action and shall disclose the names of the 

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 of the portions of hearings requested by the board. See 

13 
Minn. Stat.§ 486.06. Notwithstanding Rule 4, subdivision 3 of the Rules of Public Access 

to Records of the Judicial Branch, the board may also obtain audio recordings of court 

proceedings. 

(Amended effective January 1, 1996; amended effective March 30, 1999; amended effective 

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:lypffleeed di1'CeUy 1e isst:tanee &ja f<:JrH'lal eemplaintt:tndC1' Rt:tk 8 ·when the1'0 has 

been a 1'Ciated pt:tblie p1'8eeeding befo1'0 the Lt:fwye1's .. T7f?_lessienal Responsibility 

Betl1'd invehring eendt:tet of a jt:trige that eeet:tHed p1'ie1' 1e the jt:trige asst:tming 

jt:tdieial e.ffiee. In these ei1'et:tmstanees the p1'8eedbt1'e t:tnde1' Rt:tk 7 may e1'lly ser¥e 1e 

delay the disciplinary p1'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 the jt:trige f<:J1' eendt:tet that is t:tnaeeeptable bt:tt net se se1'iel:tS as te 

waHant furthC1' 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'C fa1' 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 a p1'epesed 1'Cp1'ima1'ld (which is st:thjeette a jt:trige 's 1'ightte demand a 

fa1'mal hea1'ing b~fo1'e the 1'Cp1'imand is made pt:tblic) in liet:t &jfo1'mal eha1'ges t:tndC1' 

Rt:tks 7and8. 

AdYisory Committee Comment 2009 Amendment 

Rt:tk 6(d) (1) (i) all-ews the beal'd 1e stay p1'eeeedings pel'lding aetiel'l by anethC1' 

agency 81' eet:t1't. &eh p1'eeeedings il'ldl:tde e1·iminalp1'8seet:ttien, ei·;il litigation, and 

adminisuati}'C aetien by 1'Cgl:tlatery agencies. 

Rule 6Z. Procedure for Conduct Occurring Prior to Assumption of Judicial Office 

* * * 

Advisory Committee Comment 1999 1'\mendment 

Rt:tle 6Z et:t#ines the p1'8eess fo1' 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'lts jt:tdieial discipline. 

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

14 
Theptvnisiens efRule 6Z(s) (d) are Fepeated in R.L.PFef:Resp. 6Z(h)(l) (4). The 

eemmitlee felt that Fepetitien ef t."'e signifieant pt'eeeduffll pt'ei>'isiens was mere 

een·;enient and appFepFiale than a &ess Fcfaenee. 

Rule 6Z(s) requiFes the staffefthe LfflyYCFS Pt<efessienal Respe1'1sihility Beard 

a1'1d the Judicial StandaFds Beat'd te netifl each etha aheut eemplaints eeneemb<tg 

eenduet by a judge eeeut't'b<tg hf7jore the judge assumedjudieial effiee. l 1l8tiee is net 

required if all pt'eeeedit<tgs relatit<tg te the inquiry, in'lestigatien eF eemplaint haw 

been Feselved before the judge 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· .. emed by etha Fules. Rule 6-Z(s) merely establishes 

a mutual duty te Pffl'lide netiee aheut cemplaints eF inquiFies cenceming cenduct 

efajudge eeeuFFb<tg hcfere thejudge assumedjudieial effiee. 

Altheugh a fait' l'lumheF efeemplaints Feeeh-•ed by the exeeuti·;e seaetary and the 

Office efPF&jcssienal Respensihility aFe :fri·;eleus, there have been relatively few 

eemplab'lts cencel"ning cenduct eccut't'ingpYiel" te a judge assuming judicial effiee. 

Thus, the cemmittee helie'les t."'at this pt'ecedul"e will net resul-t b'l a needless 

diiplicatien efcjfoFts. 

Unda Rule 6-Z(h) it is eel'llemplated that eemplaints aheut the cenduet efajudge 

eeeut't'ingpYiel" te the judge assumingjudieial effiee will he h'lwstigated h'l thefost 

h'lstal'lCC hy the Office &jLtflVJlCI"S Pt<e.fessim'lal Respensihility, and the resul-ts weuld 

he diselesed te the Beat'd e1'1 Judicial8tal'ldcu¥is. d.Jud.Std. 5(s)(4); R.L.:~.V,.efResp. 

20(s) (1 0). This all-eH'S feY efficient and effective use e.l il'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'lduet efajudge that eceut't'edpFieF te thejudge assumingjudieial e.ffiee. In t."'ese 

eit'Cutnstanees the pt'eeedul"e undel" Rule 7 may enly seYVe te delay the disciplinary 

pYecess. 

Rule 6Z(c) dees netpfflhihit the Beat'den Judieial8tandcu¥is:frempl"eceeding te 

public disciplinary pt'eceedings h'l eases h'l which enly pYi'lale discipline (e.g., an 

adn'lenitien) has been impesed undel" the Rules en Lawyel"s :~.~.fessienal 

Respensihility joY cenduct efajudge eccut't'ingpYiel" te thejudge assuming judicial 

e.ffiee. In these eases, the Beat'tim'l Judieial8tal'ldal"ds weuld he Yequired te .fol/e·,v 

Rule 7 (1:mless, efceuFse, the matleF is reselved eaFlier, feF example, by disn'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 ef the la'ivyel" disciplinary pt'ecess in t.~e judicial disciplinary 

pt'ecess. This is intended te stl"eamline the judicial disciplil'lary heaYing when there 

has already been a feYmal fact 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. 

15 
Under Ruk 6Z(d) it is contemplated that the hearing record 8:1'ld thefotdings and 

conclusions ofthe lawyer diseipli1'18:r:ypFOcess will: he thejirst e·;idence introduced 

in the Rttk }{}jttdieial diseipl:inar:y hearing. Ceunselfar the hoard and 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 he permiHed. 

See, e.g., In re Gillard, 26{) N W.2d 562, 564 (Aiirm. 1977) (afler re-;ie"w qfhearing 

record and findings and conclusions from lawyer disciplinary process, Supreme 

Court ruled that findings 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 er order of'thefae~jinder); In Fe Gil-lard, 27l N. W.2d 

785, 8{)9 (Minn. 1978) (tipholding remo·;al8:1'lddisharment where &ardon ul:ttdieial 

Stan:dards 8:8 faetjinder refused te consider additim'lal testimony but a!:Jowe~jili~tg 

&}deposition and exhibits and made alJemati·;e findings h8:Sed on those :filings). 

Although the fflles d8 not expressly pro-;ide for a pre hearing eonferenee, it is 

contemplated that admissibility issues will be reso[wd h:y· the presider efthe foet 

find:ing panel sbtjjieiently in adw:lnee e.,-r the hearing to al-low the parties adefjuate 

time to prepare 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 Chief Justice of the 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, of the judge's demand for a hearing. 

(b) Panel Procedures. The procedures in Rule 9 and Rule lO(a) and (b) shall apply 

to an admonition review 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 of a witness living outside the state or physically unable to attend the hearing. 

The panel shall review the proposed admonition de novo. 

(c) Form of Evidence at Admonition Review Hearing. The panel shall receive 

evidence only in the form of affidavits or other documents except for testimony by: 

( 1) The judge; 

(2) A witness whose testimony the review panel presider authorizes for good cause. 

If testimony is authorized, the presider may authorize the issuance of a 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, if the 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. If the board does not accept a panel's recommendation to issue a public 

reprimand or a Formal Complaint, the admonition reviewed by the panel shall become 

final. The panel shall dismiss the complaint if there 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 of an 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 of being 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. If review is granted, the matter shall proceed under Rule 14 of these 

Rules. 

(Added effective July 1, 2016.) 

Rule 8. Formal Complaint or Formal Statement of Disability Proceeding and Notice 

(a) Formal Complaint or Formal Statement of Disability Proceeding. 

(1) The Formal Complaint or Formal Statement of Disability Proceeding shall set 

forth the charges against the judge, the factual allegations and the time within 

which these rules require the judge to serve a written response. Where more than 

one act of misconduct 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 of Disability Proceeding. Service shall be accomplished .Qy 

admission of service or certified mail, or in accordance with the Rules of Civil 

Procedure. 

(3) The judge shall serve a written response on the board within 20 days after service 

of the Formal Complaint or Formal Statement of Disability Proceeding. 

(4) The executive secretary shall file the Formal Complaint or Formal Statement of 

Disability Proceeding and the written response, if any, 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 of the board and the judge. 

* * * 

(c) Notice ofHearing. 

17 
(1) The hearing panel shall schedule a public hearing. The date shall be selected to 

afford the judge 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. The judge and all counsel shall 

be notified of the time and place of the 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 

of a response, or after the e1cpiration of the time for serYi6e of a response, whi6heYer 066\:H'S 

fifst;--counsel for the board and the judge shall exchange the names and addresses of all 

persons known to have knowledge of the relevant facts. The presider of the hearing panel 

shall set a date for the exchange of the names and addresses of all witnesses the parties 

intend to call at the hearing. Subpoenas and depositions shall be goYemed by Rule 2(e). 

(b) Subpoenas and Depositions. Subpoenas for inspection of documents, 

depositions, and the hearing may be issued only with the prior approval of the presider. 

Counsel for the board may take the deposition of the judge. The board and the judge may 

apply to the presider to take the deposition of witnesses who are unavailable to testify at 

the hearing. Depositions of other persons may be taken only if the 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 of Civil Procedure, when necessary 

to reduce the burdens on a deponent. Subpoenas shall be issued by the Ramsey County 

District Court upon presentation of the presider' s authorization for the subpoena. 

(c) Other Evidence. Counsel for the board and the judge shall exchange: 

18 
(1) non-privileged evidence relevant to the Formal Complaint, documents to be 

presented at the hearing, witness statements, and summaries of interviews 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 under Rule 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 of documents and may direct the judge to sign 

authorizations for release of informationupon request by th:e board or th:e judge. 

* * * 

(f) Completion of Discovery. 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 of good cause, the presider extends the time. 

(g) Failure to Disclose. The presider of the hearing panel may preclude either party 

from calling a witness at the hearing if the party has not provided the opposing party with 

the witness' name and address, any statements taken from the witness or summaries of any 

interviews with the witness. 

(h) Resolution of Disputes. Disputes concerning discovery, including subpoenas 

and depositions, shall be determined by the presider of the hearing panel before whom the 

matter is pending. The decisions of the presider may not be appealed before entry of the 

panel's disposition in the disciplinary proceeding. 

(i) Civil Rules Not Applicable. Proceedings under these rules are not subject to the 

Rules of Civil Procedure regarding discovery except that Rules 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 of the presider of the panel for good cause shown or by 

consent of the judge, the Formal Complaint or Formal Statement of Disability Proceeding 

may be amended after commencement of the hearing if the judge and the judge'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 of fact 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 Chief Justice, 

on request of the presider, extends the time for good cause shown. If the 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 of time upon 

reasonable eonditions, and the agreement may speeify the disposition upon 

eompletion; 

( 1) issue a public reprimand; or 

(2) recommend any of the 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 of the above sanctions. 

(c) Filing and Service. The hearing panel must file its findings of fact, 

conclusions of law, and disposition with the Supreme Court within 7 days after issuance of 

the disposition. The panel shall serve copies on the board and respondent judge. Proof of 

service shall also be filed with the Supreme Court. 

(d) Appeal. The board or judge may appeal the disposition of the hearing panel 

by filing a notice of appeal with the clerk of the appellate courts within 10 days after the 

panel serves the disposition on the parties. The appeal shall proceed under Rule 14. +he 

disposition of the panel beeomes final if no appeal is taken within 60 days after issuanee of 

the disposition. If the 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 or reprimand, the disposition of the panel becomes final. 

20 
A 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 of fact 

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

prepared. 

(Amended effective January 1, 1996; amended effective March 30, 1999; amended effective 

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

AdYisory Committee Comment 1999 Amendment 

Rlik 11 (d) (5) hCES been medijied by deleting FCpriman~fi'em the list E>jsanetiens 

that msy he issl:ted s.fter a formal hearing. Under Rl:tle 6(d)(l)(ii), a FCprimand msy• 

he issl:ted by the heard withel:tt resert te formal preeeedings in sitl:tatiens im;ehring 

ee19dl:tet that is l:tnaeeeptahle l:tnder e19e E>jthe g'I¥Jl:t19cis far }l:tdieial discipline bl:tt 19et 

se seriel:tS CIS te ·,yarrant further discipline, sl:teh as a ee19SWC, by the &preme Cel:trt. 

* * * 

Rule 13. Disposition by Consent 

(a) Agreement. At any time after issuanee of the Formal Complaint or Formal 

8tatement of Disability Proeeeding and before eonelusion of any hearing panel proeeedings 

under Rules 10, 11, and Hi, the judge and the board may enter into an agreement in which 

the judge admits to any or all of the charges or allegations of disability in exchange for a 

stated disposition or recommended disposition. Entry into the agreement shall stay the 

proceedings of tftef! panel. The agreement shall set forth: 

( 1) a statement of the facts; 

(2) the allegations to which the judge is admitting; and 

(3) the agreed-upon disposition. 

(b) Disposition. If the 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. If the 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. If the 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 the judge in 

such further proceedings as the Court may direct. 

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

21 
Rule 14. Supreme Court Review 

(a) Prompt Consideration. Upon the filing of a 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 of the panel's 

disposition by the board or judge. Ifthe board or judge appeals the disposition ofthe hearing 

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 with the 

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 of appeal, the respondent shall file a brief within 21 days after 

service of appellant's brief, and the appellant may file a reply within 10 days 

after service of respondent's brief. 

(2) If both parties have appealed, the appellant shall file a brief within 21 days after 

filing the notice of appeal, the respondent/cross-appellant shall file a brief within 

21 days after service of appellant's brief, the appellant shall file a response and 

reply brief within 14 days after service of respondent's brief, and the respondent 

may file a reply within 10 days after service of the appellant's response and reply 

brief. 

(3) If neither party has appealed, the board shall, and the judge may, file a brief not 

exceeding seven pages within 14 days after the time to appeal has expired, and 

no reply briefs shall be filed; and 

( 4) A brief may be stapled rather than formally bound. 

(c) Additional Findings and Filings; Supplemental Record. 

(1) If the Court desires an expansion of the record or additional findings with respect 

either to the recommendation for discipline or to the sanction to be imposed, it 

shall remand the matter to the hearing panel with appropriate directions, retaining 

jurisdiction, and shall stay proceedings pending receipt of the panel's filing of the 

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 of discipline 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 same judge, may stay proceedings 

pending the board's termination of this additional proceeding. In the event that additional 

22 
recommendations 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 under Rule 11 (b )(~.f.), the Court shall review the record of the proceedings, 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 is just and proper. If the judge 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 of Lawyer Discipline. When the hearing panel recommends 

the suspension or removal of a judge, the Court shall promptly notify the judge and the Office 

of Lawyers Professional Responsibility Board and give them an opportunity to be heard in 

the Court on the issue of lawyer 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. Any judge suspended under section 

(b) of this rule shall be given a prompt hearing and determination by the Supreme Court 

upon application for review of the 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 of lnguirvPFaeeedings. 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 the judge asserts inability to defend in a disciplinary proceeding due to a 

23 
disability; 

(4) upon request of the Chief Justice of the 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 the judge committed misconduct and whether the misconduct was related to 

a disability. The panel may exclude the public from portions of the proceedings to hear 

evidence on psychological or medical materials or other evidence that would not be 

accessible to the public. 

(1) If the hearing panel finds clear and convincing evidence of a disability, the panel 

may: 

(i) enter into a deferred disposition agreement as provided in Rule 

11(b)(1); or 

(ii) recommend any of the following actions to the Supreme Court: 

(A) Removal; 

(B) Disability retirement if the disability is or is likely to become permanent; 

(C) Imposition of limitations or conditions on the performance of judicial 

duties; 

(D) Suspension with or without pay; or 

(E) Any combination of the above actions. 

(2) The hearing panel may also impose or recommend a disciplinary disposition with 

regard to misconduct, if applicable, pursuant to Rule 11 (b). 

(3) Any disposition of the hearing panel is public. 

(4) The board or judge may appeal the decision of the hearing panel as provided in 

Rule 11(d). 

* * * 

(h) Representation by Counsel. If the judge in any proceeding under this rule is 

not represented by counsel, the board or, if a hearing panel has been appointed, the presider 

ofthe panel, shall appoint an attorney to represent the judge 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. If attempts to convince a judge to retire voluntarily fail, then 

24 
the board shall proceed as provided in Rules 8, 9, 10, and 11. The Supreme Court shall 

then proceed 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 of a complaint where the board did not 

find reasonable cause to believe the judge committed misconduct or where the board did 

not find reasonable cause to believe the judge has a disability shall be destroyed tffi=eefour 

years after the board receives the complaint or authorizes an investigation, whichever 

occurs first, except that an expungement shall be accomplished by the board's staff no later 

than two months after the time to expunge the file occurs. If the board receives a new 

complaint involYing the same judge within the three years, the new complaint shall renew 

the three year period. 

(b) Case Files on Deceased Judges. All case files on deceased judges 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 of Allegations 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 or used for 

any purpose in any judicial or lawyer disciplinary proceeding against the judge, except as 

provided in this rule. Allegations from a dismissed inquiry may be reinvestigated with 

permission of the board if, within tffi=eefour years after dismissal, additional information 

becomes known to the board regarding the inquiry. 

(b) Use of Allegations From Dismissal with Letter of Caution. Allegations 

from an inquiry dismissed with a letter of caution may be used within three years after 

25 
dismissal in subsequent proceedings only as follows: 

(i) The fact that the inquiry was dismissed with a letter of caution may not 

be used to establish the misconduct alleged in a subsequent proceeding. 

However, the underlying conduct described in the letter of caution 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) If the underlying conduct described in the letter of caution 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 of caution, the letter of caution may be considered 

by the panel in determining an appropriate sanction. 

(iii) A letter of caution may be used to show that a judge was on notice that 

the conduct described in the letter of caution could violate the Code of 

Judicial Conduct. 

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

* * * 

Rule 23. Service and Computation of Time. 

Service on a party represented by counsel shall be made on the attorney. In 

computing any period of time prescribed or allowed by these rules or by order of court. 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.) 

26