Table of contents for Annotated Model code of judicial conduct / Art Garwin, editor.


Bibliographic record and links to related information available from the Library of Congress catalog. Note: Contents data are machine generated based on pre-publication provided by the publisher. Contents may have variations from the printed book or be incomplete or contain other coding.


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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