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1-Preamble Background to the Preamble Background to Terminology Section of the 1990 Code Guidance For Judges Basic Precepts for Judges to Follow Mandatory and Permissive Standards Promote Public Confidence in the Integrity of the Judiciary Protect Judicial Independence 2-Canon 1 Upholding the Integrity and Independence of the Judiciary Introduction Mandatory v. Hortatory Rationale for Canon 1: The Independent Role of Judges in Society Judicial Participation in Setting Standards Personal Observation of Standards Impropriety While Conducting Official Judicial Business Disrespectful Conduct Impropriety in Off-Bench Behavior Preserving the Integrity of the Judiciary Probity Fairness Honesty Uprightness Soundness of character Preserving the Independence of the Judiciary Advocacy Campaign Conduct First Amendment Concerns Judicial Campaigning Generally Legal Error, Negligence and Ignorance of the Law 3-Canon 2 Impropriety and the Appearance of Impropriety Canon 2A Duty to Respect and Comply with the Law Introduction Rationale Cast in General Terms Actual Impropriety vs. Appearance of Impropriety The Test for Appearance of Impropriety Objective Standard Irrelevance of Judge's Perception of Behavior Examples of Appearance of Impropriety Suspect Conduct Not Necessarily Creating Appearance of Impropriety Disqualification Ex parte contacts Relationship with parties Respecting and Complying with the Law Violations of Law Conviction of Crime Unnecessary Theft Driving under the influence Tax evasion Deception Sexual misconduct Violations of Court Rules Ignoring or Interfering with the Orders of Other Courts Failure to Follow the Law Public Confidence in the Integrity and Impartiality of the Judiciary "At All Times:" Good Conduct Expected On and Off Bench Bias Rude and Insensitive Behavior Racial Slurs Hostility Toward Parties and Witnesses Hostility Toward Lawyers Hostility Toward Other Judges Lack of Judicial Temperament Judging While Under the Influence Exceeding Authority Contempt Power Ticket-fixing Abdicating Role of Judge Causing Delay Allowing Others to Perform Judicial Duties Provocation No Excuse Ignorance of the Law Violation of Other Code Provisions Constitutional Challenges Canon 2B Improper Influence Introduction Allowing Relationships Improperly to Influence Family Friends and Acquaintances Extra-marital Affairs Colleagues & Clients Political Relationships Fund-raising for Charitable, Educational or Civic Organizations Lending the Prestige of Office Improperly Advancing Judge's Own Interests Ticket Fixing Judicial Letterhead Advancing Interests of Others Ticket fixing Letters of Recommendation Letters to Sentencing Judges Participation in Judicial Selection Process Broadcast Media Appearances Retaining Control Over Advertising On Judicial Writings Special Position of Influence Judge as Character Witness Testifying in Attorney Malpractice and Discipline Cases Canon 2C Membership in Organization that Practices Invidious Discrimination Introduction A Balancing of Interests Defining "Invidious Discrimination" Restrictive Private Social Clubs Non-profit Youth Organizations Alternative for Incumbent Judges Dearth of Precedent Additional Prohibitions Against Invidious Discrimination: Canon 2 and Section 2A 4- Canon 3 Judge's Adjudicative Role Canon 3A Judicial Duties in General Legal Background Priority to Judicial Duties Presence in Court Canon 3B Adjudicative Responsibilities Canon 3B(1) Duty To Hear And Decide Legal Background Duty to Sit Relevant Federal Statute Canon 3B(2) Professional Competence and Freedom from Partisanship Legal Background Introduction Duty to Be Faithful to the Law Legal Error Distinguished Denial of Constitutional Rights Right to Notice and Hearing Deprivation of Liberty Guilty Pleas Denial of Right to Counsel Rulings and Orders in Excess of Authority Arrest Warrants Setting Bail Plea Bargains Contempt Sentencing "Fixing" Tickets in Traffic Cases Nonfeasance Duty to Maintain Professional Competence in the Law Duty to Avoid Partisan Interests, Public Clamor and Fear of Criticism Carrying out Personal Vendettas Favoritism Canon 3B(3) Order and Decorum in Judicial Proceedings Legal Background Introduction Judges' Lack of Decorum Where the Conduct Takes Place Canon 3B(4) Judicial Temperament Legal Background Introduction Intemperate Speech to or About Lawyers, Litigants and Court Employees Disparaging Lawyers Disparaging Litigants and Witnesses Criticizing Court Employees and Other Judges Intemperate Conduct Ordering Arrest of Lawyer, Litigant or Witness Inappropriate Language in the Courtroom Racial and Ethnic Slurs Sexist Comments Use of Profanity Inappropriate Expressions of Anger Physical Confrontations Yelling During Court Proceedings Retaliatory Responses Inappropriate Humor Sarcasm Towards Litigants and Others Mockery of Judicial Process Rude Behavior Name Calling Interrupting People Who Appear in Courtroom Restricting Testimony and Statements Refusing to Speak to People Sexual Harassment Inappropriate Comments Physical Contact Gestures Pictures and Displays Invitations and Favors Canon 3B(5) Judges Must Perform Judicial Duties Without Bias or Prejudice Legal Background Introduction Speech That Indicates Bias Conduct That Indicates Bias Sexual Harassment Canon 3B(6) Requiring Lawyers to Refrain from Manifesting Inappropriate Bias Legal Background Inappropriate Bias Exception for "Legitimate Advocacy" Canon 3B(7) Ex Parte Communications and The Right to Be Heard Legal Background The Right to Be Heard Ex Parte Communications Introduction Pending and Impending Proceedings Ex Parte Communications by Staff Members "Substantive Matters or Issues On the Merits" Impermissible Ex Parte Communications Ex Parte Communications with Lawyers Ex Parte Communications with Prosecutors Ex Parte Communications with Parties Communications with Criminal Defendants, Victims or Their Families Communications with Jurors Independent Investigations Judge's Disclaimer Permissible Ex Parte Communications Ex Parte Communications for Scheduling, Administration or Emergencies Obtaining Advice from Disinterested Expert Consulting with Court Personnel and Other Judges Mediating or Settling Pending Matters Ex Parte Communications Expressly Authorized by Law Requesting a Party to Submit Proposed Findings of Fact and Conclusions of Law Remedying an Ex Parte Communication Prompt Disclosure of Ex Parte Communication Recusal and Reversal Canon 3B(8) Prompt Disposition of Judicial Matters Legal Background Introduction Distinguished From Canon 3C(1) Duty to Dispose of All Judicial Matters "Fairly, Promptly and Efficiently" Pattern of Misconduct Generally Required Preventable Delay Warrants Discipline Heavy Caseload as Mitigating Factor Canon 3B(8) Violations Throughout the Adjudicatory Process Failure or Delay in Holding Hearings or Trials Delay in Routine Trial Holdings Failure to Make Timely Decisions Canon 3B(9) Commenting on a Pending Case Legal Background Introduction When, What and To Whom Comments May be Made Pending Cases Cases Pending "In Any Court" Impending Cases Comments Prohibited by Canon Merits of a Case Decisions to be Issued Criticism of Party or Lawyer in a Case Intent Not Required Forum Not Relevant Comments Permitted by Canon Public Statements Made in Course of Official Duties or to Explain the Procedures of the Court Judges Sued in Their Personal Capacity "Qualified Privilege" to Respond to Public Attacks Nonpublic Comments First Amendment Considerations Legal Standard Applied Balancing of Interests Canon 3B(10) Adjudicative Responsibilities Legal Background Canon 3B(11) Commending or Criticizing Jurors Legal Background Canon 3B(12) Use of Nonpublic Information Legal Background Introduction Use of Nonpublic Information for Financial Gain Other Nonjudicial Purposes Intent Required Canon 3C Administrative Responsibilities Canon 3C(1) Diligently Discharge Responsibilities Without Bias or Prejudice Legal Background Canon 3C(2) Staff, Court Officials and Others Subject to Judge's Direction and Control Legal Background Canon 3C(3) Judges with Supervisory Power over Other Judges Legal Background Canon 3C(4) Nepotism and Favoritism in Judicial Appointments Legal Background Canon 3C(5) Appointing Campaign Contributors Legal Background Canon 3D Disciplinary Responsibilities Legal Background Reporting Judicial Misconduct Reporting Impaired Judges Reporting Lawyer Misconduct Absolute Privilege for Reporting Misconduct Canon 3E Disqualification Canon 3E(1) Impartiality Might Reasonably be Questioned Legal Background Introduction Related Federal Statutes "Recusal" or "Disqualification" Timely Filed Motion A Duty to Sit The Rule of Necessity Duty to Disclose to Parties and Counsel Presumption of Impartiality Standard of Review on Motion to Disqualify: Abuse of Discretion Extrajudicial Source Rule Disqualification when Judge's Impartiality Might Reasonably be Questioned Waiver of an Appearance of Impartiality Federal Courts State Courts Objective of Subjective Test The Appearance of Partiality Negotiating for Employment Law Clerk Employment Negotiations Current or Prior Professional Relationships Judge's Prior Professional Association with Lawyer in Case Judge's Former Associates and Partners Judge's Former Law Clerk Appears in Case Lawyer Currently Represents Judge Lawyer Formerly Represented Judge Judge Appointed Lawyer to Fiduciary Position Court Employee's Relative is a Party or Lawyer in Case Judge's Political Association to Lawyer or Party Campaign Contributions Campaign Endorsement or Participation Campaign Opponent Appears in Case Judge's Social or Personal Relationships With Lawyer or Party Acquaintance with Party or Witness in Case Social Relationship with Lawyer in Case Judge's Familial Connection to Case Judge's Personal or Family Circumstances Judge or Family Member Has Been Victim of a Crime Judge's Membership in Organization Judge's Religious Affiliation Business Relationships and Financial Interests Ownership of Real Estate Judge as Landlord Ownership of Stock in a Party Stock Ownership in Bank that is Victim of Crime Judicial Comments Statements to the Press or Public Improper Comments or Actions of Judge's Law Clerk Judge Participated in Prior Case Involving Party Judge Previously Served as Prosecutor in Criminal Case Against Party Judge Represented Party in Unrelated Civil Case Disciplinary Complaints Party or Laywer Filed Against Judge Judge Filed Against Lawyer Canon 3E(1)(a) Personal Bias or Prejudice Legal Background Introduction Extrajudicial Source Rule No Waiver of Personal Bias or Prejudice Actions of Party of Lawyer Intended to Create Bias Ex Parte Communications Animosity Towards Counsel Separate Action Against Judge Bias Against Class of Litigants Knowledge of Disputed Evidentiary Facts Canon 3E(1)(b) Judge is Former Lawyer or Material Witness in Case Legal Background Introduction Judge or Former Associate Served as Lawyer in Matter in Controversy Judge Has Been Material Witness Concerning Proceeding Canon 3E(1)(c) Economic Interest in Party or Subject of Proceeding Legal Background Introduction Economic Interest Mutual or Common Investment Fund Civic Organizations Financial Institution or Mutual Insurance Company Government Securities Other Exceptions De Minimis Interest Knowledge of Economic Interests Subject Matter in Controversy Economic Interests of Judge's Family ?Other Interests Canon 3E(1)(d) Judge's or Family Member's Connection to Proceeding Legal Background Introduction Party to the Proceeding Class Actions Acting as a Lawyer in the Proceeding Interest that Could be Substantially Affected by the Proceeding Judge's Relative is Member of Law Firm Ownership of Stock Likely to be a Material Witness Canon 3E(1)(e) Lawyers' Contributions to Judicial Campaigns Legal Background Canon 3E(1)(f) Judicial Candidates Legal Background Canon 3E(2) Keeping Informed About Economic Interests Legal Background Canon 3F Waiver of Disqualification Legal Background Introduction Judge's Duty to Disclose Remittal of Disqualification in Federal Court 5-Canon 4 Extra-Judicial Activities Canon 4A Extra-judicial Activities in General Legal Background Introduction Canon 4A(1) Maintaining Confidence in Judicial Impartiality Introduction Disregard for the Law Acceptance of Gifts Financial Activities Membership or Participation in Groups that Advocate Special Interests Extra-judicial Conduct or Remarks Indicating Bias Other Extra-judicial Conduct that May Cast Doubt on Impartiality Canon 4A(2) Conduct That Demeans the Judicial Office Canon 4A(3) Activities that Interfere with Judicial Duties Canon 4B Avocational Activities Legal Background Introduction Teaching, Writing and Speaking Engagements Expressing Personal Opinions "Other Extra-judicial Activities Concerning the Law" Legislative Activities Participation in Law-Related Groups Specialty Bar Associations Attending Legal Education Programs Privately Funded Educational Programs Canon 4C Governmental, Civic and Charitable Activities Canon 4C(1) Public Hearings and Consultations Legal Background Introduction "The Law, the Legal System or the Administration of Justice" Pro Se Appearances Canon 4C(2) Appointments to Governmental Positions Legal Background Introduction Exceptions Maintaining Appearance of Impartiality Controversial Committees Canon 4C(3) Service in Charitable or Civic Organizations Legal Background Canon 4C(3)(a) Organizations Frequently Engaged in Adversary Proceedings Legal Background Canon 4C(3)(b) Membership Solicitation and Fund-raising Legal Background Introduction Fund-raising for Legal or Civic Organizations Participation in Fund-raising Events Speaker or Guest of Honor Attending Fund-raising Events of Organization Advocating Particular Views on Legal Issues Judge's Name on Organization's Letterhead Writing or Signing Fund-raising Letters Recommendations to Fund-Granting Organizations Membership Solicitation Using Prestige of Judicial Office Canon 4D Financial Activities Canon 4D(1) Financial Activities Legal Background Introduction Business Dealings that Exploit Judicial Position Business Dealings with Lawyers and Litigants Loans from Lawyer and Court Employees Renting or Leasing To or From Lawyers Referring Cases to Lawyers Canon 4D(2) Managing Investments Legal Background Canon 4D(3) Family Business Legal Background Introduction Family Business Exception Canon 4D(4) Managing Financial Interests to Minimize Disqualification Legal Background Canon 4D(5) Accepting Gifts Legal Background Introduction Canon 4D(5)(a) Legal Background Introduction Invitations to Law Related Functions Canon 4D(5)(b) Legal Background Canon 4D(5)(c) Legal Background Introduction "Ordinary Social Hospitality" Invitations to Law-Related Social Functions Holiday Gifts and Parties Canon 4D(5)(d) Legal Background Canon 4D(5)(e) Legal Background Canon 4D(5)(f) Legal Background Canon 4D(5)(g) Legal Background Canon 4D(5)(h) Legal Background Introduction Loans Between Judges and Lawyers Impropriety and the Appearance of Impropriety Reporting Requirement Invitations to Bar Related Functions Canon 4E Fiduciary Activities Legal Background Introduction "Close Familial Relationship" Compensation Canon 4F Arbitrator or Mediator Legal Background Introduction Exception for Official Duties Canon 4G Practice of Law Legal Background Introduction The "Practice of Law" Part-time Judges Exceptions to Prohibition on Practice of Law Appearing Pro Se Advising Family Members Winding Up Law Practice Legal Fees for Work Performed as Lawyer Referral Fees in Contingent Cases Canon 4H Compensation Reimbursement and Reporting Legal Background Introduction Compensation Honoraria Reimbursement Public Reports Canon 4I Disclosure of Financial Information Legal Background 6-Canon 5 Political Activity Canon 5 In General Legal Background Introduction Related Federal Provision Canon 5A(1) Restrictions on All Judges and Candidates Legal Background Canon 5(A)(1)(a) Acting as Leader or Holding Office in Political Organization Candidates not Prohibited from Retaining Certain Public Offices Canon 5A(1)(b) Publicly Endorsing or Opposing Other Candidates for Public Office Public Endorsement and Opposition in General Endorsing or Supporting Spouse's or Relative's Campaign Displaying Signs Advertisements Membership in Organizations Attending Candidates' Fund-raisers or Other Events Sending Letters Mailing Sample Ballots Developing Campaign Strategies Signing Nominating Petitions Voting in Primary Elections Lending Home for Candidate Event Privately Expressing Views Retired Judges Canon 5A(1)(c) Making Speeches on Behalf of Political Organizations Correcting False Information Canon 5A(1)(d) Attending Political Gatherings Spousal Exception Canon 5A(1)(e) Soliciting Funds for or Contributing to Political Organization or Candidate Purchasing Tickets for Political Party Dinners or Other Functions Canon 5A(2) Resigning from Judicial Office when Candidate for Non-judicial office Legal Background Introduction Canon 5A(3) Candidate for Judicial Office Canon 5A(3)(a) Dignity, Integrity and Independence of the Judiciary First Amendment Issues Family Members Must Adhere to Same Standards Campaign Contributions Canon 5A(3)(b) Candidates' Employees and Officials Under Their Control Canon 5A(3)(c) Activities of "Any Other Person" Canon 5A(3)(d) Legal Background Restrictions on Judicial Campaign Speech after White Canon 5A(3)(d)(i) Making "Pledges, Promises or Commitments" General Statements Statements about Specific Issues or Parties Crime "Tough on Crime" Death Penalty Drunk Driving Cases Domestic Abuse CAses Abortion Canon 5(A)(3)(d)(ii) Knowing Misrepresentations Concerning Candidate or Opponent Knowingly Misrepresent Facts Concerning Candidate Endorsements Current Position or Status Letterhead and Seal Experience Vis-à-vis the Opponent Knowingly Misrepresent Facts Concerning Opponent Experience Bar Rating Knowingly Misrepresenting other Fact Concerning the Candidate or an Opponent Misrepresenting Actions of Incumbent Judge While in Office Canon 5A(3)(e) Responding to Verbal Attacks Canon 5B Appointment to Judicial or Other Governmental Office Legal Background Introduction Canon 5B(1) Candidates for Appointment Shall not Accept or Solicit Funds Canon 5B(2)(a) Communicating With Appointing Authorities or Screening Groups Canon 5B(2)(b) Permitted Political Activities: Non-judge Candidates for Appointive Judicial Office Canon 5C Judges and Candidates Subject to Public Election Canon 5C(1) Permissible Activities for Judges and Candidates Subject to Public Election Canon 5C(1)(a) Activities Permitted "At Any Time" Purchasing Tickets for and Attending Political Gatherings Identifying Himself or Herself as a Member of a Political Party Contributing to a Political Organization Canon 5C(1)(b) Permitted Activities While a Candidate for Election Speaking to Gatherings Appearing in Media Advertisements in Support of Candidacy Websites Distributing Campaign Literature Canon 5C(2) Personally Soliciting or Accepting Campaign Contributions Soliciting Support Soliciting Contributions Appearance of Soliciting Contributions Soliciting Through Advertisements Attending Fund-raising Events Held on Candidate's Behalf Acting as Campaign Treasurer Accepting Contributions Sending Thank You Letters Campaign Committees Time Limitations on Pre-election Funding-raising Time Limitations on Post-election Funding-raising Solicitation vs. Acceptance of Campaign Funds Constitutionality of Time Restrictions Unopposed Candidates Excess Funds Support and Contributions from Lawyers Contributions Creating Appearance of Impartiality Requiring Recusal May Not Use Campaign Contributions for Private Benefit of Candidate or Others Canon 5C(3) Limitations on Amount of Campaign Contributions Constitutionality of Campaign Contributions Limitations Canon 5C(4) Campaign Committees Disclosure Reports Canon 5C(5) Listing the Candidate's Name on Election Materials Canon 5D Incumbent Judges Legal Background Introduction "Political Activity" Defined Administration of Justice Generally Relationship of Specific Issues to Administration of Justice Membership and Group Meetings Constitutional Amendments Bond Campaigns Canon 5E Applicability of Canon 5 Legal Background Introduction Retired Judges Candidates Subject to Merit Selection 7-Application of the Code of Judicial Conduct Introduction Retired Judge Subject to Recall. Continuing Part-time Judge. Judge Practicing Law in the Court on Which the Judge Serves Periodic Part-time Judge Pro Tempore Part-time Judge Time for Compliance
Library of Congress Subject Headings for this publication: Judicial ethics United States