Judicial ethics/conduct

Question 1

the CJC applies to

Answer 1

all persons who perform judicial functions, including magistrates, court commissioners, referees, and special masters.

Note that retired judges, part time judges, and pro tempore part time judges are exempted from some (but not all) provisions of the CJC.

Question 2

An “appearance of impropriety” arises when a judge’s

Answer 2

conduct would create a reasonable perception that she has violated the CJC or acted in some other manner that reflects adversely on her honesty, impartiality, temperament, or fitness as a judge. An actual violation need not have occurred. On the other hand, any actual perception of a violation is not enough – the perception must be reasonable.

Question 3

a judge may act as a reference or provide a recommendation for someone if

Answer 3

based on personal knowledge. Such a communication may be on official letterhead if: (i) the judge indicates that the reference is personal; and (ii) there is no likelihood that use of the letterhead would reasonably be perceived as an attempt to use the judicial office to exert pressure.

Question 4

Although a judge may encourage settlements, he must not act

Answer 4

so as to coerce a party into settlement. It is important to keep in mind the possible effects of a judge’s participation in settlement talks, i.e., the effects on the judge’s views of the case as well as on the parties’ perceptions if the judge retains the case following unsuccessful negotiations.

Question 5

A judge must avoid

Answer 5

bias, prejudice, and harassment and must require others (including lawyers) who are under the judge’s direction and control to do likewise.

A judge’s duty to control lawyers does not preclude legitimate advocacy by lawyers when issues of prejudice arise in a case.

Question 6

A judge may conduct ex parte communications in limited circumstances including:

Answer 6

1)when the communications are expressly authorized by law;
2) with the consent of the parties in an effort to mediate or settle a pending dispute; or 3) in certain emergency or administrative matters.

Question 7

The CJC does not permit ex parte communications that are made in order

Answer 7

to assist a pro se party.

Question 8

There are two limited circumstances in which a judge may consider communications from others made outside the presence of the parties’ lawyers:

Answer 8

1) A judge may consult with other judges and court personnel whose function is to aid the judge in carrying out adjudicative responsibilities.

2) A judge may also obtain the written advice of disinterested experts on the applicable law provided the judge gives the parties notice of the expert’s identity, the subject matter of the advice solicited, and gives the parties a reasonable opportunity to object and respond to the notice and advice.

Question 9

In deciding an issue presented, a judge may consider

Answer 9

Only the evidence presented.

A judge must not independently investigate the facts in a case and must consider only the evidence presented. This prohibition extends to information available in all mediums, including electronic research

Question 10

A judge must disqualify himself from presiding over a matter in which

Answer 10

Impartiality** might reasonably** be questioned. In that situation, the judge must disqualify himself even if his impartiality has not actually been questioned. However, the rule employs a reasonableness standard; a far-fetched argument or litigant’s whim is not sufficient to disqualify a judge, nor is it necessary just because more than one litigant requests disqualification

Question 11

Grounds for disqualification include situations in which a judge:

Answer 11

(i) has bias or personal knowledge of the relevant evidentiary facts;
(ii) has an economic interest in the matter or one of the parties;
(iii) has had prior involvement in the proceeding or with the parties (e.g., the judge is a material witness in the matter, or one of the parties is the employer of the judge’s husband);
(iv) had significant contributions to her judicial campaign made by the parties or their lawyers; and
(v) has made a public statement of judicial commitment.

Question 12

Economic interest means

Answer 12

a judge owns more than a de minimis legal or equitable interest in the proceeding or parties. However, ownership in a mutual fund or a judge’s involvement as an officer, director, advisor, or other active participant in an educational, religious, charitable, fraternal, or civic organization that holds securities of a party is not a sufficient economic interest unless the judge participates in the management of the fund or the proceeding could substantially affect the value of the interest.

Question 13

If a judge is the only available judge to rule on an emergency motion for a temporary restraining order, but she would otherwise be disqualified, may she still decide the matter?

Answer 13

Yes, but the judge should disclose the ground for disqualification on the record and should use reasonable efforts to transfer the matter to a different judge as soon as possible.

Question 14

May a judge obtain written advice from a disinterested expert on the law applicable to a pending matter outside the presence of the parties’ lawyers?

Answer 14

A judge may obtain the written advice of disinterested experts on the applicable law provided the judge gives the parties notice of the expert’s identity, the subject matter of the advice solicited, and gives the parties a reasonable opportunity to object and respond to the notice and advice

Question 15

An Article III federal judge can be removed from office by

Answer 15

impeachment

Question 16

An Article III federal judge is disciplined in less drastic ways by

Answer 16

a committee of federal judges.

Question 17

A judge or candidate must not publicly endorse or oppose

Answer 17

a candidate for public office. There is no exception for family members; thus, a judge must avoid involvement in a family member’s political activity or campaign for public office. Reasonable steps must be taken to avoid the implication that the judge or candidate endorses the family member.

Question 18

.A judge may seek, accept, or use endorsements from

Answer 18

any person other than a partisan political organization.

Question 19

A judicial candidate may make campaign promises related

Answer 19

to judicial organization, administration, and court management. It is also permissible to pledge to take certain actions outside the courtroom, such as working to improve the jury selection system or advocating more funds to improve the physical facilities of a courthouse.

Question 20

A judge may not, however, make a pledge, promise, or commitment that is

Answer 20

inconsistent with the impartial performance of the adjudicative duties of judicial office. If a reasonable person would think that the candidate has specifically undertaken to reach a particular result, then an improper pledge, promise, or commitment has been made. Note, however, that a statement of personal views on legal, political, or other issues is not prohibited.

Question 21

Pursuant to the Code of Judicial Conduct (“CJC”), compensation for a judge’s extrajudicial activities (e.g., speaking, teaching, or writing) is

Answer 21

is permitted unless acceptance thereof would reasonably appear to undermine the judge’s independence, integrity, or impartiality.

A judge may accept reimbursement of expenses reasonably incurred in connection with an extrajudicial activity. However, reasonable compensation for participation in the activity is also permitted.

Question 22

A full-time judge generally may

Answer 22

A judge may, without compensation, draft or review documents for a member of her family.A judge must not, however, act as a family member’s lawyer in any forum (e.g., in an administrative court or settlement conference).

Question 23

A full-time judge must not

Answer 23

practice law or act as an arbitrator, mediator, or private judge unless expressly authorized by law. (A judge may, however, participate in arbitration, mediation, or settlement conferences as part of her regular judicial duties.)

Question 24

Under the Code of Judicial Conduct (“CJC”), which gifts need NOT be publicly reported by a judge?

Answer 24

including those provided on a complimentary basis for official use, gifts associated with a business of a judge’s family member, and scholarships or fellowships awarded to the judge that were available to similarly situated non-judges.

Question 25

Under the Code of Judicial Conduct (“CJC”), which gifts need be publicly reported by a judge?

Answer 25

Others, including gifts incident to a public testimonial, gifts from those who are likely to come before he judge in future matters, and invitations to attend without charge an activity related to the law, must be publicly reported.

Question 26

A judge must not hold a membership in

Answer 26

any organization that engages in invidious discrimination.

Question 27

A judge is prohibited from:

Answer 27

Using the facilities of an organization that practices invidious discrimination. Even if the judge is not a member of such an organization, he must not use the organization’s benefits or facilities if he knows or should know that it practices one of the prohibited forms of invidious discrimination. However, the judge may attend an event in a facility of the organization if his attendance is an isolated event that could not reasonably be perceived as an endorsement of the organization’s practices.

Question 28

Invidious discrimination are based on

Answer 28

race, sex, gender, religion, national origin, ethnicity, or sexual orientation.

Question 29

Membership in a religious organization is

Answer 29

allowed as a lawful exercise of freedom of religion does not violate the rule.

Question 30

A judge may testify in a matter as a character witness only if she

Answer 30

duly summoned to do so, i.e., by subpoena

Question 31

Which communications may a judge consider outside the presence of the parties’ lawyers in determining a pending matter?

Answer 31

Advice from certain court personnel and disinterested legal experts

Question 32

A candidate for elective judicial office may

Answer 32

(i) establish a campaign committee;
(ii) speak on behalf of her candidacy through any medium;
(iii) publicly endorse or oppose candidates for the same judicial office for which she is running;
(iv) attend or purchase tickets for dinners or other events sponsored by a political organization or candidate for public office;
(v) seek, accept, or use endorsements from any person or organization other than a partisan political organization; and
(vi) contribute to a political organization or candidate for public office, but not more than a maximum dollar amount to be determined by each jurisdiction to any one organization or candidate.

Question 33

A judge who accepts reimbursement of expenses must

Answer 33

The reimbursement may need to be publicly reported by the judge.

judge must comply with the public reporting requirements of the CJC.

When appropriate, the reimbursement may also cover expenses of the judge’s spouse, domestic partner, or guest.

Question 34

Reimbursement for expenses may not exceed

Answer 34

the actual costs reasonably incurred by the judge, or when appropriate, the judge’s spouse, domestic partner, or guest.

Question 35

A full-time judge may

Answer 35

a judge may act pro se and may, without compensation, give legal advice to, and draft or review documents for, a member of his family.

A judge must not, however, act as a family member’s lawyer in any forum.

Question 36

Under the Code of Judicial Conduct (“CJC”), which of the following gifts must be publicly reported by a judge?

Answer 36

A gift incident to a public testimonial

Question 37

In determining whether an organization practices “invidious discrimination,” which of the following is most dispositive?

Answer 37

How the organization selects its members.

An organization discriminates invidiously if it arbitrarily excludes from membership, on the bases of race, sex, gender, religion, national origin, ethnicity, or sexual orientation, persons who would otherwise be eligible for admission.

Question 38

Generally, may parties waive judicial grounds for disqualification and allow a judge to preside over a matter?

Answer 38

Yes. The parties and their lawyers can waive grounds of disqualification, except personal bias concerning a party or a party’s lawyer

Question 39

judge may not consider communications from the parties’

Answer 39

expert witnesses outside the presence of the parties’ lawyers.

Question 40

A judge must not initiate, permit, or consider ex parte communications except in these three situations:

Answer 40

(i) where expressly authorized by law; (ii) to facilitate mediation or settlement of a pending matter; or (iii) for emergency or administrative matters.

The CJC does not permit ex parte communications that are made in order to aid a pro se party or to discuss the merits of the case with each party.

Question 41

can a facial expression convey prejudice?

Answer 41

A judge should be aware that facial expression and body language can convey prejudice as easily as words if it denigrates or shows hostility or aversion toward a person.

Question 42

If a judge inadvertently receives an unauthorized ex parte communication, she must:

Answer 42

Notify the parties of the substance of the communication and give the parties an opportunity to respond

Question 43

A judicial candidate must NOT

Answer 43

Hold an office in a political organization.

Question 44

While the rule is that the judge must disqualify himself if a relative within the third degree is a party or an officer, director, general partner, managing partner, or trustee of a party, a first cousin doesn’t come within that relationship under the CJC. The rule applies to the judge’s

Answer 44

great-grandparents, grandparents, parents, uncles, aunts, brothers, sisters, children, grandchildren, great-grandchildren, nieces, and nephews—not cousins.

Question 45

A judge must disqualify himself if there is a reasonable ground to believe that the judge has

Answer 45

a personal bias concerning a party or a party’s lawyer.

Question 46

Unlike friends, acquaintances appearing as parties do not require a judge to

Answer 46

disqualify herself from the case.

Question 47

A close personal relationship such as good friends is a reasonable ground to believe that the judge

Answer 47

has a personal bias concerning a party, and the judge must disqualify herself.

Question 48

To remit (waive) grounds for disqualification, the judge disclosing the grounds on the record is only one step in the process. The lawyers must

Answer 48

be able to consult privately with their clients, and the parties must be able to meet outside the presence of the judge.

Question 49

A judge or judicial candidate must not personally

Answer 49

solicit or accept campaign contributions other than through a campaign committee.

Question 50

the Rules prohibit the use of court

Answer 50

staff, facilities, or other court resources in a judicial campaign, so it would be improper for Theo to use the courthouse for a meet-and-greet.

Question 51

A judge may properly speak in an ex parte manner with counsel for one of the parties if the conversation is solely about

Answer 51

a scheduling or other administrative matter and does not involve a substantive issue in the case.