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Washington Attorney General Reports·Decided May 12, 1999·Published

Opinion

Mr. Gregory R. Dallaire, Chair Commission on Judicial Conduct PO Box 1817 Olympia, WA 98507-1817

Dear Mr. Dallaire:

You have asked our opinion on the following three questions regarding the ability of the Commission on Judicial Conduct (Commission) to adopt rules to separate the investigative and adjudicative functions of the Commission:

Question 1: Can the Commission divide its eleven members into separate investigatory and adjudicative panels to separate the functions under and within its current constitutional authority?

Question 2: If the answer is no, does the Commission have the authority to use a member's alternate to separate the investigatory and adjudicatory functions? For example, could the Commission adopt a rule stating that, on the motion of a respondent, Commission members who participated in the investigatory stage would recuse themselves, and the Commission would empanel such members' alternates for the adjudicative phase of the proceeding?

Question 3: In the alternative, would it be constitutional for the Commission to divide its members and alternates into two separate eleven-member panels, one panel to participate in the investigatory stage and the other in the adjudication?

These questions arise from concerns about whether the Commission is perceived as able to deal fairly with parties before it in an adjudicatory proceeding when it also performs nonadjudicatory functions, such as investigations and institution of proceedings. You write: "The Constitution combines the investigatory/probable cause and adjudicatory functions in the commission. It has been proposed to the Commission that performing these two functions by the same members in a single proceeding gives rise to an appearance of unfairness. Although the Constitution also mandates de novo proceeding for any appeals or review of Commission decisions, the Commission prefers to adopt rules of procedure that would separate the investigative and adjudicative functions."

For the reasons stated below, we believe the Commission lacks the authority to adopt such rules to separate the investigative and adjudicative functions of the Commission. We first set forth the background of the composition of the Commission and its functions. We then analyze the legality of each alternative configuration.

BACKGROUND
The Commission is a constitutionally created independent agency of the judicial branch charged with investigating complaints regarding the misconduct or disability of judges. The Washington State Constitution (constitution) authorizes the Commission to conduct public hearings; admonish, reprimand, or censure a judge or justice; and to recommend to the Supreme Court the suspension, removal, or retirement of a judge or justice. The constitution establishes the composition of the Commission and outlines the steps the Commission is to take in acting on the complaints. Additionally, the constitution gives the Commission authority to establish rules of procedure for Commission proceedings. We begin with an overview of these constitutional provisions and the rules of procedure. A copy of the full text of article IV, section 31 is attached to this opinion.

COMPOSITION OF THE COMMISSION
The Commission consists of eleven members. Six of these members must be persons who are not attorneys, appointed by the Governor. Three of the members are judges: a judge selected by and from the court of appeals judges, a judge selected by and from the superior court judges, and a judge selected by and from the district court judges. The remaining two members are lawyers admitted to the practice of law in this state, selected by the Washington State Bar Association. Const. art. IV, § 31(1); RCW 2.64.020. The Legislature has provided for alternate Commission members "to serve during a member's temporary disability, disqualification, or inability to serve." RCW 2.64.030 provides:

Commission membership shall terminate if a member ceases to hold the position that qualified him or her for appointment. Vacancies caused by disqualification or resignation shall be filled by the appointing authority for the remainder of the term. No person may serve more than two consecutive four-year terms. A person may be reappointed after a lapse of one year. A member, rather than his or her successor, shall continue to participate in any hearing in progress at the end of his or her term, or when the member ceases to hold the position that qualified him or her for appointment. The appointing authority shall appoint an alternate to serve during a member's temporary disability, disqualification, or inability to serve. No member may otherwise be removed from the commission before the end of his or her term except upon good cause found by the appointing authority.

(Emphasis added.)

FUNCTIONS OF THE COMMISSION
The constitution assigns to the Commission several functions and decisions that can be divided into three stages: investigation, initial proceedings/probable cause, and hearings. Each stage is summarized below.

Investigation: Article IV, section 31(2) provides the Commission shall investigate complaints or beliefs of a judge's misconduct or disability. An investigative officer undertakes the investigation on behalf of the Commission.1 Commission on Judicial Conduct Rules of Procedure (CJCRP) Rule 17(a). The investigative officer assembles the complaint and additional information for each Commission member to consider. CJCRP 17(d)(1). After initial review and evaluation, the Commission may dismiss the complaint, continue investigation, or commence initial proceedings. Id.

Initial Proceedings/Probable Cause: Article IV, section 31(2) provides that following an investigation, the Commission shall "conduct initial proceedings for the purpose of determining whether probable cause exists for conducting a public hearing or hearings to deal with the complaint or belief." If the Commission moves the matter to initial proceedings, the Commission provides the judge with a statement of allegations and a reasonable opportunity to respond. CJCRP 17(e)(1). After the initial proceedings, the Commission either dismisses the case, stays the proceedings, or finds that probable cause exists to believe respondent may have violated a rule of judicial conduct or may be suffering from an incapacity that seriously interferes with the performance of judicial duties and is permanent or likely to become permanent. CJCRP 17(e)(4). If the Commission determines such probable cause exists, it orders the filing of a statement of charges. CJCRP 17(e)(3). The Commission identifies the records of the initial proceedings that are the basis for the finding. Const. art. IV, § 31(3); CJCRP 17(e)(4)(C).

Hearing: The constitution requires the Commission to conduct public hearings whenever it concludes there is probable cause to believe a judge or justice has violated a rule of judicial conduct or suffers from a disability that seriously interferes with the performance of judicial duties and is permanent or likely to become permanent. Const. art. IV, § 31(3). Disciplinary counsel, a lawyer retained by the Commission, presents the case in support of the statement of charges. CJCRP 24(b)(2).

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