Judicial Ethics

Question 0

What are the limitations on a judge’s use of non-public information they gain while serving on the bench?

Answer 0

They cannot use it for private gain, and cannot use official court stationary for personal matters.

Question 1

When may a judge accept a gift?

Answer 1

Generally, a judge may not accept a gift or other item of value if it would appear to a reasonable person to undermine the integrity, independence or impartiality of the judge.

A judge may accept a gift or item of value if the gift is purely social (birthdays or other hospitality);

If the judge receives an honorary degree for public speaking or a plaque or item that has little intrinsic value;

A judge can’t accept a discount of terms to a business or personal transaction unavailable to the general public;

They may accept rewards or prizes also available to non-judges;

They may accept books or journals supplied on a complimentary basis;

A gift to a family member that incidentally benefits the judge;

The general rule is that judges should not accept gifts, loans or favors and should encourage their family members to do the same.

Question 2

May a judge engage in business transactions with lawyers who appear before him?

Answer 2

No. (? Unless terms are same?)

Question 3

What are a judge’s responsibilities during litigation?

Answer 3

Competence: they must remain informed of the law.

Promptness: must dispose of cases in a reasonable time.

Decorum: cannot delegate to a lawyer.

Question 4

When is ex patterns communication with a judge permissible?

Answer 4

Only in the event of mediation or settlement talks, an application for a temporary restraining order, or some other permissible emergency.

Question 5

When must a judge disqualify herself?

Answer 5

If there is reasonable ground to believe the judge has personal knowledge of the facts;

The judge has a personal bias against either party or their lawyer or a member of the judge’s third degree family is a party, lawyer, witness or economically interested party;

The judge had a prior involvement in the case as either a judge, lawyer or witness;

The judge has an economic interest in the case, or because a party, a lawyer in the case or the lawyer’s firm has contributed to the judge’s electoral campaign,

Question 6

What constitutes a judge’s prior involvement in a case?

Answer 6

Judge was a party or lawyer; or if a former partner or close relative (anything closer than a cousin) was a party, lawyer or witness.

Question 7

What constitutes an economic interest for the judge?

Answer 7

Judge or individual who resides in judge’s household has an economic interest as an individual or fiduciary that may be affected by the outcome. Ownership in a mutual fund is too removed to constitute an economic interest.

Remittal of disqualification is a waiver of disqualification.

Question 8

Under what circumstances may a judge consult with an expert?

Answer 8

When the expert is disinterested on the law applicable to proceeding.

They must also give advance notice to each party about the consultation and give each party an opportunity to object and respond to the notice and the advice received.

A judge may, however, consult ethics advisory committees or outside counsel concerning the jidge’s compliance with the Code of Judicial Conduct.

Question 9

Can a judge be an officer, trustee, non legal advisor or director of a law-related organization?

Answer 9

Yes, provided that the judge does not decide how cases are pursued and the organization does not appear before the judge regularly.

The organization must not be likely to frequently engage in adversary proceedings before the court of which the judge is a member, or in any court subject to the appellate jurisdiction of the court of which the judge is a member.

Question 10

Can judges raise money for a charity?

Answer 10

Generally not, but then can ask other judges for donations and also help organize fund raising activities.

Judges may not allow their title to be used in connection with fundraising, unless the group is concerned with law or the legal system.

Judges may be speakers or guests of honor at public events, but may not do so for fundraisers unless connected with law, the legal system, or the administration of justice.

Question 11

When may judges serve as fiduciaries?

Answer 11

Generally judges cannot do this, and should not take on tasks where there is a likelihood that the fiduciary would be engaged in proceedings in the court on which the judge serves, or one under its appellate jurisdiction.

A judge may serve as a fiduciary for a family member if it will not interfere with the proper performance of judicial duties.

If a fiduciary becomes a judge, that person will comply with these requirements as soon as practicable and in no event later than one year after her appointment as judge.

Question 12

When must a judge report misconduct?

Answer 12

When they have knowledge of a violation they must report it, when they have information that may be a violation they should take “appropriate action.”

A judge must report a known violation by another attorney unless a duty of confidentiality applies.

Appropriate action means an action intended or reasonably likely to help the judge or lawyer in question and address the problem and prevent harm to the justice system. May include but is not limited to speaking to the person, notifying a supervising individual, making a referral to an assistance program.

Question 13

May a judge serve in a non-profit organization?

Answer 13

A judge can serve as an officer or director of a non-profit, but generally cannot serve as a member of a public educational institution.

Judges may, however, be a board member of a public or private law school.

Question 14

When may a judge serve as an officer in a business?

Answer 14

Only if the business is a closely held family business or the business is primarily concerned with management of the judge’s family funds

A judge shall not engage in financial
activities where it will interfere with the performance of judicial duties, lead to frequent disqualification, involve the judge in frequent transactions or business relationships with lawyers or others likely to appear before her, or result in other violations of the ethics rules.

Question 15

May judges be members of organizations that discriminate against suspect classes?

Answer 15

No. The judge shall also not use the benefits or facilities of an organization that she knows to participate in invidious discrimination. An isolated appearance that could not be perceived as an endorsement of the discrimination will not violate this rule.

A judge may participate in an organization that is genuinely concerned with the religious or cultural preservation of a particular group.

Question 16

Can judges give free legal advice?

Answer 16

Yes but only to family members.

Judges cannot give advice to outside groups because a conflict may arise.

Question 17

May a judge solicit votes?

Answer 17

Only for himself. There is no “family exception” relating to restrictions on a judge’s political activities, such that a judge must take steps to not appear to be involved in a family member’s campaign.

If a judge solicits funds or campaign contributions for her campaign, she must do so through a campaign committee.

Question 18

Can a judge identify membership in a political party?

Answer 18

Yes. They may also contribute to that party.

Question 19

Can a judge endorse or oppose another for public office?

Answer 19

No. This includes making speeches and direct fundraising on behalf of another.

Question 20

Can a judge campaign for another non-judicial elected public office and remain on the bench?

Answer 20

No. If a judge wants to run, they must step down.

A judge may remain on the bench if the office is appointed.

Question 21

Can a judge make statements about how they are going to rule on a case if they win the judicial election?

Answer 21

No. They cannot make any pledges inconsistent with impartial performance of adjudicative functions. This applies only to elected, not appointed, positions.

Question 22

Can a judge solicit or accept campaign funds?

Answer 22

No. They must set up a separate committee to do so.

Question 23

What is the catch-all for prohibited behavior by judges?

Answer 23

A judge cannot do anything to injure the integrity of the office they hold.

Question 24

What are a judge’s three primary duties?

Answer 24

1) expedite litigation; 2) maintain decorum in the proceeding; 3) conduct themselves fairly and impartially.

Question 25

How must a judge supervise court staff and other employees?

Answer 25

To ensure they act in a manner consistent with the Judge’s obligations.

Question 26

When must a judge disclose a conflict of interest?

Answer 26

Always must be disclosed to both parties.

Question 27

How do you determine whether a judge is subject to a conflict of interest?

Answer 27

If the facts are such that a judge’s impartiality can reasonably be questioned, then the judge must disqualify themselves. This also applies to close relatives and spouses of the judge.

Question 28

Can parties waive a conflict of interest presented by a judge?

Answer 28

Yes, unless the reason for the conflict was a personal bias against one of the parties.

Question 29

What is the procedure for waiving a judge’s conflict of interest?

Answer 29

1) Disclose conflict in writing; 2) discuss between the parties outside of presence of court and staff; 3) agreement is included in court record.

Question 30

Can a judge accept an invitation to speak at or attend events?

Answer 30

Yes. This includes travel expenses and a reasonable per diem allowance.

Question 31

May a judge communicate with court staff and personnel or other judges about a case?

Answer 31

Yes. The ex parte rule does not apply to these individuals, but the judge must make reasonable efforts to not receive facts that are not part of the record.

Judges may not discuss a case with a judge who has been previously disqualified from the proceeding.

Question 32

May judges join groups with a mission of improving the law?

Answer 32

Yes, so long as the group will not foreseeably appear before the judge in court.

Question 33

Can a judge accept a loan from a party interested in a case?

Answer 33

Yes but only if the loan is on the same terms as those provided to others.

Question 34

May judges use confidential information obtained outside of court?

Answer 34

No. Judges are to avoid any ex parte communications relating to pending matters.

Question 35

May a judge discriminate on the basis of a protected classification?

Answer 35

No. They must also ensure that their staff does not do so.

Question 36

What are the factors a judge should consider when deciding on an appropriate settlement practice?

Answer 36

1) Whether the parties have requested or voluntarily consented to a certain level of participation by the judge in settlement discussions;
2) whether the parties and their counsel are relatively sophisticated in legal matters;
3) whether the case will be tried by the judge or a jury;
4) whether the parties participate with their counsel in settlement discussions;
5) whether any parties are unrepresented; and
6) whether the matter is civil or criminal.

Question 37

Who may a judge appoint to an administrative position?

Answer 37

An individual objectively qualified based on merit;

No lawyer who, or whose spouse or domestic partner has contributed to a judge’s election campaign unless:

The position is uncompensated; the lawyer has been selected rotationally from a list including lawyers who have not contributed; or no other lawyer is willing and competent to accept the position.

Question 38

What are the limits on a judge’s extrajudicial activities?

Answer 38

She may not engage in activities that will interfere with the proper performance of their judicial duties; activities that will lead to frequent disqualification; would lead to undermining the judge’s independence or impartiality; would appear coercive to a reasonable person; and they cannot make use of judicial resources (incl. letterhead) except for incidental use for activities that concern the law.

Question 39

What are a judge’s limitations on appearing at a public or governmental hearing?

Answer 39

The judge may not appear voluntarily unless it is in connection with a matter concerning the law or legal system; if in connection with expertise acquired while serving as a judge; or pro se in representing her own economic interests or in a fiduciary capacity.

Question 40

When may a judge serve as a character witness?

Answer 40

Only when “duly summoned”

Question 41

When may a judge accept an appointment to a governmental position?

Answer 41

Only when it concerns the law, the legal system or the administration of justice.

Question 42

May a judge serve as a mediator?

Answer 42

No, unless expressly authorized by law.

Question 43

What are the limits on a judge’s compensation for activities allowed under the ethical rules?

Answer 43

All compensation must be objectively reasonable and the judge may not accept compensation if it would appear to a reasonable person to undermine the judge’s integrity, independence or impartiality.

Question 44

May a judge accept reimbursement for incidental expenses to a extrajudicial activity permitted by the ethical rules?

Answer 44

Yes, but the reimbursement must be publicly reported and limited to the necessary travel, food, lodging and other incidental expenses of the judge and his or her domestic partner or spouse.

Question 45

What is required in a judge’s public report of compensation?

Answer 45

A judge must report any gift over $150;

The date, place, and nature of the activity for which the judge received compensation, a description of the loan, gift or other item of value, and the source of the payment, reimbursement or waiver of payment.

These reports shall be filed in the office of the clerk of the court in which the judge serves and posted on the judge’s court website when possible.

Question 46

When must a judge report acceptance of a gift or other item of value?

Answer 46

A judge must report any gift over $150;

They must report a gift incident to a public testimonial;

They must report invitations to attend a function without charge where the event is associated with the law, legal system or administration of justice;

The invitation is to an event associated with any of the judge’s charitable activities and the same invitation is offered to non judges who are engaged in similar ways to the judge;

And they must report gifts or items of value received from individuals who have or are likely to appear before the judge as a party.

Question 47

Is a judge running for office required to review the statements produced by his campaign committee?

Answer 47

Yes.

Question 48

May a judge seek endorsements for an appointment to a judicial office?

Answer 48

Yes, they may seek these endorsements from any person or organization other than a partisan political organization.

Question 49

What are the limitations on a judge’s political activities?

Answer 49

A judge may not:

Act as a leader or hold an office in a political organization;

Make speeches on behalf of a political organization;

Publicly endorse or oppose a candidate for any public office;

Attend or purchase tickets for dinners or other events sponsored by a political organization or candidate;

Publicly identify herself as a candidate of a political organization;

Personally solicit or accept campaign contributions other than through a campaign committee;

Use or permit the use of campaign contributions for the private benefit of the judge or candidate;

Use court staff, facilities or resources in a campaign for judicial office;

Knowingly or with reckless disregard for the truth make any false or misleading statement;

Make any statement that would reasonably be expected to affect the outcome or impair the fairness of a matter pending or impending before the court;

Make pledges or promises inconsistent with the impartial performance of judicial duties in connection with cases likely to come before the judge.

Judges have the duty to take reasonable steps to make sure that no person takes such action on behalf of the judge.

Question 50

May a judge publicly endorse or oppose other candidates for the same judicial office for which she is running?

Answer 50

Yes.

Question 51

May a judicial candidate in a partisan public election identify herself as a candidate of a political organization and seek and accept endorsements of a political organization?

Answer 51

Yes, subject to restrictions on the amount of time remaining before the first applicable primary election, caucus or general election.

Question 52

What activities are judicial candidates for elected judicial office permitted to do that other judges cannot do?

Answer 52

Speak in behalf of her candidacy through any medium;

Publicly endorse or oppose other candidates for the same office;

Attend or purchase tickets for events sponsored by political organizations;

Seek and accept endorsements from any person OTHER THAN a partisan political organization if in connection with a non partisan or retention election;

Contribute to a political organization or candidate for public office subject to limitations on the amount of the contribution.

Question 53

What directions should a judge give his campaign committee?

Answer 53

To solicit and accept only contributions that are reasonable and subject to an amount limit for each individual or organization;

Not solicit or accept contributions for a candidate’s current campaign before a time limit before the applicable primary election or caucus, nor more than a certain time period after the last election in which the judge-candidate participated;

Comply with all applicable statutory requirements for disclosure and divestiture of campaign contributions, an to file a report stating the name, address, occupation and employer of each person who has made contributions over a certain amount. This report must be filed within a certain time following the election and otherwise in compliance with applicable law.