N.C. Jud. Standards Comm'n R. 11

(a) Grounds for Issuance. An investigative or hearing panel of the

Commission may issue a private letter of caution to a judge upon a determination

that the judge engaged in conduct in violation of the Code that is not of such a nature

as to warrant a recommendation of discipline by the Supreme Court. The issuance of

a private letter of caution shall be in lieu of further proceedings in the matter, but in

no instance may it be issued prior to the conclusion of a formal investigation.

A private letter of caution issued by the Commission may advise the judge to engage

in remedial action that is necessary to avoid a continuation or recurrence of the

conduct in violation of the Code.

(b) Response by the Judge. A judge who receives a private letter of

caution may provide a confidential written response, which will be maintained by the

Commission with the private letter of caution.

(c) Confidentiality and Use in Future Proceedings. Unless waived in

writing by the judge, a private letter of caution is confidential. Notwithstanding this

provision, a private letter of caution may be used in future disciplinary proceedings

against the same judge as an aggravating factor, as evidence of a pattern or practice

of misconduct, or as evidence that the judge acted willfully or knew or should have

known that the alleged conduct was contrary to the law or the requirements of the

Code. In such circumstances, if included as part of the record of a disciplinary

proceeding submitted to the Supreme Court, the private letter of caution may become

public pursuant to Rule 6.