(a) Preliminary investigation. Disciplinary counsel, or another member of the commission staff at the request of disciplinary counsel, shall conduct a preliminary investigation of all complaints not recommended for dismissal. If, after preliminary investigation of a complaint, disciplinary counsel recommends dismissal or imposition of informal sanctions, the commission shall consider the matter and take the action it deems appropriate.

(b) Request for response from judge. As part of a preliminary investigation, commission staff may notify the judge of the substance of the complaint and provide a reasonable opportunity to respond. The commission shall not impose informal sanctions or initiate formal proceedings without first having provided such notice and opportunity.

(c) Appointment of investigative panel. If, after consultation with the executive director, disciplinary counsel determines that further investigation may be required to resolve a complaint or that sufficient evidence may already exist to support formal charges against a judge, either disciplinary counsel or the executive director may request that the commission chair appoint a three-member investigative panel as provided in Rule 3(f).

(d) Further investigation. The investigative panel shall review the findings of the preliminary investigation and may authorize disciplinary counsel or the executive director to conduct further investigation if there are grounds to believe that evidence supporting the allegations may be obtained by such further investigation.

(e) Use of information from closed cases. Unless otherwise prohibited, the commission may rely on information in a closed file in subsequent proceedings to show a pattern of misconduct, to determine the severity of the sanction in the subsequent matter, or to exonerate a judge, providing that the existence of the closed file is disclosed prior to the commencement of formal proceedings and the judge is permitted to raise issues pertaining to prior conduct in the proceedings. A complaint previously dismissed may be reopened if additional information regarding that prior complaint comes to light and is disclosed to the judge.

(f) Finding of reasonable cause. At the conclusion of an investigation, the investigative panel may instruct disciplinary counsel to prepare formal charges if it finds reasonable cause to believe that one or more grounds for discipline of a judge exists that cannot be resolved through dismissal or informal sanctions. In all other cases, the investigative panel shall refer the matter to the full commission for final disposition.