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PA Bulletin, Doc. No. 98-445

THE COURTS

Title 207--JUDICIAL CONDUCT

PART IV. COURT OF JUDICIAL DISCIPLINE

[207 PA.  CODE CH. 21]

Internal Operating Procedures; Doc. No. 1 JD 94

[28 Pa.B. 1388]

Per Curiam:

Order

   And Now, this 20th day of February, 1998, the Court, pursuant to Article 5, Section 18(b)(4) of the Constitution of Pennsylvania, having adopted Internal Operating Procedures, as more specifically hereinafter set forth, It Is Hereby Ordered:

   That Court Administrator Wanda W. Sweigart provide the publication of the Internal Operating Procedures in the Pennsylvania Bulletin.

Annex A

TITLE 207. JUDICIAL CONDUCT

PART IV. COURT OF JUDICIAL CONDUCT

ARTICLE IV. INTERNAL OPERATING PROCEDURES

GENERAL PROVISIONS

Rule

101.Classification of Judges.
102.Composition of Court of Panel.
103.Location of Proceedings.
104.Duty Month Judges.
105.Conducting Conferences by Telephone.
106.Miscellaneous Orders of Court.
107.Judicial Conferences.
108.Adoption of Rules of Procedure.
109.Confidentiality.

FORMAL COMPLAINTS

201.Assignment of Conference Judge.
202.Distribution of Formal Complaints and Filings Related to Formal Complaints.
203.Orders and Decisions of Conference Judge.
204.Deferral or Disposition of Omnibus Motion by Conference Judge to the Full Court.
205.Certification by Conference Judge that Case is Ready for Trial.
206.Deliberation Following Trial.
207.Assignment to Judge.
208.Distribution of Proposed Decisions and Voting.
209.Concurring or Dissenting Statements.
210.Disposition of Objections to Findings of Fact and Conclusions of Law.

SANCTION PHASE OF PROCEEDINGS

301.Scheduling Sanction Hearings.
302.Sanction Hearings.
303.Deliberation Following Sanction Hearings.
304.Formal Sanction Order.

REQUESTS FOR OTHER RELIEF

401.Initial Procedure.
402.Conference Judge.
403.Preliminary Motions Deferred to the Full Court.
404.Hearing and Oral Argument Requested.
405.Deliberation and Decision.

Rule 101.  Classification of Judges.

   Judges who are serving a term of office which has not expired shall be classified as Active Members or Judges. Those Judges whose terms have expired, but who must continue to participate in a hearing in accordance with Article V, § 18(b)(2), shall be classified as Participating Former Members or Judges.

Rule 102.  Composition of Court or Panel.

   En banc or full Court proceedings shall be conducted by the entire Court. The President Judge shall preside unless he or she is unavailable to participate, in which case, the empanelled Judge most senior shall preside. Panels appointed to conduct a trial pursuant to C.J.D.R.P. No. 501 shall be composed of no fewer than three Judges of the Court, one of whom shall be the Conference Judge, and at least one of whom shall be a non-lawyer elector in accordance with C.J.D.R.P. No. 501(B). The Judge who has seniority shall preside over three-member panel proceedings.

Rule 103.  Location of Proceedings.

   Proceedings before the Court shall be in Harrisburg, unless the Court selects another location for a proceeding.

Rule 104.  Duty Month Judges.

   Each month an Active Judge of the Court shall be designated the duty Judge for the month. Assignment as duty Judge shall be based upon reverse seniority. A new assignment schedule shall be developed by the Court Administrator each year, following the appointment of new members, and shall be approved by the Court. The schedule shall reflect any previous service of members by ensuring that assignments are made in an equitable fashion.

Rule 105.  Conducting Conferences by Telephone.

   When a particular proceeding does not entail the creation of a record or public access, the Court or a Judge conducting a conference, may elect to proceed by teleconference.

Rule 106.  Miscellaneous Orders of Court.

   a.  When the Court determines that the issuance of an Order regarding a pending matter is warranted, and when the matter requires a majority vote of the members of the Court, the President Judge shall cause to be distributed for vote by the Court a proposed Per Curiam Order.

   b.  Circulation of Proposed Per Curiam Orders. The President Judge shall direct the Court Administrator to provide a response sheet with each Proposed Per Curiam Order upon which each Judge shall respond as to whether or not he or she is in agreement with the Proposed Order. The response sheet shall indicate the date by which a response is directed to be forwarded. Responses shall be returned to the Court Administrator, who shall keep the President Judge informed as to the status of votes.

Rule 107.  Judicial Conferences.

   The Court shall convene regularly to address the business of the Court. The President Judge shall preside over conferences. The Court Administrator shall develop an agenda for judicial conferences in consultation with the President Judge, who shall approve the agenda. The Court Administrator shall distribute copies of the agenda and any related materials to all Judges before the date of the judicial conference.

Rule 108.  Adoption of Rules of Procedure.

   When the Court determines that it should adopt or amend any rule of procedure, Counsel shall draft a proposed rule for consideration by the full Court. When the Court determines that the rule satisfies the purpose or need for the adoption or amendment, it shall vote upon the new or amended rule. When approved by a majority of the Court, the Court Administrator shall forward a copy of the rule to the Legislative Reference Bureau for initial publication in the Pennsylvania Bulletin, seeking responses in the form of criticisms or suggestions from the public. If suggestions or criticisms are received during the 30-day response period, the Court shall consider those suggestions and criticisms before final adoption of the rule, and, if a majority believes that the suggestions or criticisms should be reflected in the rule, the approval procedure described above shall be repeated and the full Court must approve the new draft for republication in the Pennsylvania Bulletin and response as set forth above. If the Court rejects the suggestions and criticisms, or if the Court receives no suggestions or criticisms, the Court Administrator shall submit the rule for final publication and adoption in the Pennsylvania Bulletin. All proposed and final rule adoptions and changes sent to the Legislative Reference Bureau shall be accompanied by a Per Curiam Order stating whether the publication is for public response or a final rule adoption. The Court may forego the above procedures herein described if it determines that exigent circumstances warrant the immediate adoption or amendment of a rule.

Rule 109.  Confidentiality.

   All members of the Court, staff employees and any contractual employees shall at all times maintain strict confidentiality concerning proceedings before the Court, and shall refrain from discussing with persons not a member or employee of the Court the substance of deliberations concerning any matter. This provision applies to all matters involving the deliberative process regardless of whether the matter still is pending or has already been decided.

FORMAL COMPLAINTS

Rule 201.  Assignment of Conference Judge.

   When the Judicial Conduct Board files a Formal Complaint with the Court, the Court Administrator shall immediately notify the President Judge that a Formal Complaint has been filed. The President Judge shall appoint a Conference Judge or Judges in accordance with C.J.D.R.P. No. 301(B). The President Judge, at his or her discretion, may appoint two other members to serve as Co-conference Judges. In such a case, the Conference Judge and Co-conference Judges shall serve as a panel in the performance of all duties to be performed by a Conference Judge under this Court's Rules of Procedure and these Internal Operating Procedures.

Rule 202.  Distribution of Formal Complaints and Filings Related to Formal Complaints.

   When the Judicial Conduct Board files a Formal Complaint, the Court Administrator shall forward copies of the Complaint to all Active Judges of the Court. The Court Administrator shall forward copies of all pleadings and filings related to a Formal Complaint to all Active Judges. When a former member of the Court must participate in a pending matter by virtue of Article V, § 18(b)(2), the Court Administrator shall forward copies of pleadings and filings relating to the pending matter to such Participating Former Members.

Rule 203.  Orders and Decisions of Conference Judge.

   When a Conference Judge issues an order or decision regarding a preliminary matter which the Conference Judge has the power to decide in accordance with C.J.D.R.P. Nos. 301 and 421, the Court Administrator shall circulate copies of said orders and decisions to all Active Judges, and, if applicable under I.O.P. No. 101, shall circulate said copies to Participating Former Members of the Court.

Rule 204.  Deferral of Disposition of Omnibus Motion by Conference Judge to the Full Court.

   When, under the authority of C.J.D.R.P. No. 414(A), a Conference Judge determines that the full Court should dispose of an issue or issues raised in an Omnibus Motion, or, when, upon consideration of an Omnibus Motion, a Conference Judge proposes to dismiss a charge or terminate the case, under C.J.D.R.P. No. 414(C), he or she shall submit a memorandum to the President Judge summarizing the issues to be decided. The President Judge shall set a date for determination of the issues by the full Court and may schedule a date for hearing or argument if either is necessary.

Rule 205.  Certification by Conference Judge that Case is Ready for Trial.

   Following the filing of Stipulations of Fact in Lieu of Trial under C.J.D.R.P. No. 502(D), or following pre-trial conference, and when the Conference Judge believes that a case is ready for trial, the Conference Judge shall certify to the President Judge that a case is ready for disposition. When the Conference Judge certifies a case is ready for disposition or trial, the President Judge shall set a date for trial or deliberation on the stipulations, as required.

Rule 206.  Deliberation Following Trial.

   Unless otherwise decided by the Court, the Court shall convene immediately following the conclusion of trial in order to develop a general consensus as to matters necessary for adjudication.

Rule 207.  Assignment to Judge.

   When the Court reaches a general dispository conclusion as to issues raised in a trial, the President Judge shall assign the matter to the Conference Judge to develop a draft decision, unless the Conference Judge is not in agreement with the majority vote, in which case, the President Judge shall assign the matter to a Judge whose conclusions are in accord with the majority.

Rule 208.  Distribution of Proposed Decisions and Voting.

   When the assigned Judge has completed the drafting and review process, he or she shall request the Court Administrator to circulate the draft decision for a tentative vote by the other Judges. The draft shall be accompanied by a vote sheet.

Rule 209.  Concurring or Dissenting Statements.

   When a Judge elects to dissent or concur, he or she may provide a concurring or dissenting statement to the Court Administrator who shall circulate the concurring or dissenting statement to the other Judges.

Rule 210.  Disposition of Objections to Findings of Fact and Conclusions of Law.

   Upon receipt of objections to the Court's Findings of Fact and Conclusions of Law, the Court Administrator shall forward such objections to the members of the Court. The President Judge shall obtain responses of the members to the objections as to whether the objections have or lack merit and whether oral argument is warranted. When a majority of the Court concludes that the objections lack merit and that no argument is necessary, the President Judge shall cause to be issued an Order disposing of the objections. If a majority of the Court concludes that the objections have merit or that oral argument is necessary, the President Judge shall set a date for oral argument and thereafter cause to be drafted an order affirming the Court's Findings and Conclusions or addressing the revisions warranted by a majority of the Court, as the case may be.

SANCTION PHASE OF PROCEEDINGS

Rule 301.  Scheduling Sanction Hearings.

   When the Court has issued Findings of Fact and Conclusions of Law which have become final under C.J.D.R.P. No. 503(C), and when such Conclusions of Law authorize the Court to impose a sanction upon a judicial officer, the Court shall schedule a hearing on the sanction to be imposed. Orders scheduling sanction hearings shall direct the judicial respondent and the Judicial Conduct Board to submit a list of witnesses they propose to call at the hearing.

Rule 302.  Sanction Hearings.

   The President Judge shall preside at sanction hearings unless he or she is unavailable to participate. The Board shall proceed first with the presentation of testimony, if it elects to present such testimony. The respondent shall follow with the presentation of testimony if he or she elects to present such testimony.

Rule 303.  Deliberation Following Sanction Hearings.

   The Court shall convene following sanction hearings in order to determine the sanction to be imposed upon a judicial officer. A majority of participating Judges must agree upon a particular sanction in order for a sanction to be imposed.

Rule 304.  Formal Sanction Order.

   The Court may enter an order of sanction or discipline in open Court following deliberation, or it may defer the entry of its decision regarding sanctions for written disposition. However, in either case, the Court must reduce its sanction order to written form in accordance with C.J.D.R.P. No. 504(B).

REQUESTS FOR OTHER RELIEF

Rule 401.  Initial Procedure.

   When the Judicial Conduct Board files a Petition for Relief under C.J.D.R.P. No. 701, the Court Administrator shall inform the President Judge of the filing, and at his or her request shall immediately mail or fax a copy of the filing to the President Judge. If, upon review of the Petition, the President Judge deems that the matter should be expedited, he or she may convene the Court in person or by teleconference to determine whether the judicial officer must respond before the normal 14-day response period provided under C.J.D.R.P. No. 703. If the Court concludes that an expedited answer is warranted, the Court shall so notify the respondent by Order.

Rule 402.  Conference Judge.

   As provided under C.J.D.R.P. No. 705, the President Judge may appoint a Conference Judge or Judges to preside over preliminary motions arising in a matter commenced under Chapter 7. The President Judge, at his or her discretion, may appoint two other members to serve as Co-conference Judges. In such a case, the Conference Judge and co-conference Judges shall serve as a panel in the performance of all duties to be performed by a Conference Judge under the Court's Rules of Procedure and these Internal Operating Procedures. When the Conference Judge or Judges deem that a ruling regarding a preliminary motion should be deferred to the judgment of the full Court, they shall forward to the President Judge a memorandum describing the issue to be resolved by the full Court.

Rule 403.  Preliminary Motions Deferred to the Full Court.

   When a Conference Judge defers to the full Court a preliminary motion under C.J.D.R.P. No. 705, the President Judge shall set a date for hearing or argument before the full Court, if the matter requires the presentation of evidence or warrants oral argument, or may convene the Court by teleconference, if the matter does not require the presentation of evidence or oral argument.

Rule 404.  Hearing and Oral Argument Requested.

   When a Petition for Relief filed by the Judicial Conduct Board under C.J.D.R.P. No. 702 indicates that an evidentiary hearing or oral argument is required, the President Judge shall review the request. If following the filing of a judicial officer's response, the President Judge concludes that the presentation of evidence or oral argument is required, he or she shall set a date for hearing or oral argument.

Rule 405.  Deliberation and Decision.

   Following the receipt of the judicial officer's answer to the Judicial Conduct Board's Petition, or, if the Court has elected to convene for a formal hearing or oral argument under I.O.P. No. 404, following the hearing or oral argument, the Court shall deliberate upon the issues and relief requested. If a formal written decision requiring findings of fact and conclusions of law is warranted, the President Judge shall designate a Judge to draft said findings of fact and conclusions of law. Drafting of such findings and conclusions, circulation, voting and filing, shall be accomplished in the same manner in which such decisions are processed under Chapter 2 of these Internal Operating Procedures, relating to Formal Complaints. If the full Court deems that an Order only is warranted, the President Judge shall direct Counsel to prepare an Order that incorporates the decision of the Court, which shall be approved by the President Judge for circulation and approval by the full Court.

[Pa.B. Doc. No. 98-445. Filed for public inspection March 20, 1998, 9:00 a.m.]


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