Judicial Conduct
Grounds for disqualification include situations in which a judge:
(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. Economic interest means 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.
Grounds for disqualification include situations in which a judge:
(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; (iv) had significant contributions to the her judicial campaign made by the parties or their lawyers; or (v) has made a public statement of judicial commitment. Economic interest means 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.
According to the Code of Judicial Conduct ("CJC"), ____________ must not practice law.
A full-time judge - A full-time judge must not practice law. However, a judge may act pro se and may, without compensation, give legal advice to, and draft or review documents for, a member of her family
Under the Code of Judicial Conduct ("CJC"), which of the following gifts must be publicly reported by a judge?
A gift incident to a public testimonial
Under the Code of Judicial Conduct ("CJC"), which of the following gifts must be publicly reported by a judge?
A gift incident to a public testimonial Pursuant to the CJC, certain gifts do not need to be publicly reported, 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. Others, including gifts incident to a public testimonial, must be publicly reported
Regarding the campaign and political activities of a judge or judicial candidate, which of the following statements is true?
A judge may not publicly endorse a family member who is running for office A judge or candidate must not publicly endorse or oppose 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.A judge may seek, accept, or use endorsements from any person other than a partisan political organization.A judicial candidate may make campaign promises related 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. A judge may not, however, make a pledge, promise, or commitment that is 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
According to the Code of Judicial Conduct ("CJC"), which of the following statements is true?
A judge may participate in settlement talks under appropriate circumstances
Which of the following statements is true regarding a judge's participation in settlement talks?
A judge may participate in settlement talks, but should consider relevant factors in determining whether it is appropriate
The Code of Judicial Conduct ("CJC") requires a judge to avoid both actual impropriety and the appearance of impropriety. According to the CJC, an "appearance of impropriety" arises when a judge's conduct would create ______________ the CJC or a judge acted in some manner that reflects adversely on her honesty, impartiality, temperament, or fitness as a judge.
A reasonable perception that she violated
Under the Code of Judicial Conduct ("CJC"), which of the following gifts need NOT be publicly reported by a judge?
A scholarship that was also available to similarly situated non-judges Pursuant to the CJC, certain gifts need not be publicly reported, 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. 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.
Which of the following activities by a judicial candidate in a campaign for elective office is NOT permitted?
Accepting endorsements from partisan political organizations A candidate for elective judicial office may (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.As noted above, a judicial candidate may not seek, accept, or use endorsements from partisan political organizations.
A full-time judge may NOT ___________________.
Act as a family member's lawyer in a court of law A full-time judge must not practice law. However, 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.
Which communications may a judge consider outside the presence of the parties' lawyers in determining a pending matter?
Advice from certain court personnel and disinterested legal experts
In jurisdictions that have adopted the Code of Judicial Conduct ("CJC"), who is subject to it?
All persons who perform judicial functions
A judge's participation in settlement talks is _______________.
Allowed in order to encourage settlement as long as coercion is not involved
A reference or recommendation by a judge is ___________________.
Allowed under certain circumstances, but only if it is based on personal knowledge
According to the Code of Judicial Conduct ("CJC"), _________________ arises when a judge's actions would create a reasonable perception that she violated the CJC or acted in some manner that reflects adversely on her honesty, impartiality, temperament, or fitness as a judge.
An appearance of impropriety
In jurisdictions adopting the Code of Judicial Conduct ("CJC"), retired judges, part time judges, and pro tempore part time judges _____________.
Are exempted from some provisions of the CJC
Supreme Court Justices and __________________ hold office for life with good behavior.
Article III judges
An Article III federal judge is appointed for life and ____________________.
Can only be removed by impeachment
An ex parte communication is a communication between a judge and representative from one side of a matter when no representative from the other side is present. A judge may conduct ex parte communications in an effort to mediate or settle a dispute only if:
Consent of the parties is obtained
A full-time judge generally may _________.
Draft legal documents for a family member without compensation
The Code of Judicial Conduct ("CJC") requires a judge to avoid both actual impropriety and the appearance of impropriety. According to the CJC, an appearance of impropriety arises when a judge's conduct would create the reasonable perception that she has violated the CJC or acted in some manner that reflects adversely on her honesty, impartiality, temperament, or ______________.
Fitness as a judge
Pursuant to the Code of Judicial Conduct ("CJC"), compensation for a judge's extrajudicial activities (e.g., speaking, teaching, or writing) is __________.
Generally permitted if reasonable Reasonable compensation for a judge's extrajudicial activities (e.g., compensation for speaking, teaching, or writing) 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.
A judicial candidate must NOT __________.
Hold an office in a political organization A judge or candidate for judicial office must not engage in political or campaign activity that is inconsistent with the independence, integrity, or impartiality of the judiciary. Among others, a judge or a judicial candidate must not lead or hold office in a political organization. However, a judge may participate in a caucus-type election procedure. As a candidate in a judicial campaign, a judge may timely establish a campaign committee and make factually accurate public responses to certain false or misleading statements issued by her opponent, third parties, or the media. Although the candidate may respond directly, if the allegations to which she is responding relate to a pending case, it is preferable for someone else to respond.
Pursuant to the Code of Judicial Conduct ("CJC"), a judge may not hold membership in an organization that practices invidious discrimination. In determining whether an organization practices "invidious discrimination," which of the following is most dispositive?
How the organization selects its members
An ex parte communication is a communication between a judge and representative from one side of a matter when no representative from the other side is present. Although generally prohibited, the Code of Judicial Conduct specifically allows a judge to conduct ex parte communications with a party (1) when expressly authorized by law, (2) in certain administrative or emergency matters, and (3) __________.
In efforts to mediate or settle a pending dispute
Pursuant to the Code of Judicial Conduct ("CJC"), a judge is prohibited from holding membership in an organization that practices __________________.
Invidious discrimination A judge must not hold membership in an organization that practices invidious discrimination based on race, sex, gender, religion, national origin, ethnicity, or sexual orientation.
A judge may testify in a matter as a character witness only if she __________.
Is summoned by subpoena
Judge Julius is running for re-election against a strong opponent. It is expected to be a close race, and Julius would like to run some expensive ads that will require raising some campaign funds. Judge Julius sends out a form letter on campaign stationery to a list of past donors asking for contributions to his campaign. Is Judge Julius subject to discipline?
Judge Julius is subject to discipline for soliciting campaign contributions. A judge or judicial candidate must not personally solicit or accept campaign contributions other than through a campaign committee.
U.S. Supreme Court Justices and Article III judges hold office for _________________.
Life during good behavior
A limited partnership in which Judge Janine's aunt works as an administrative assistant appears as a party in Judge Janine's courtroom. Must Judge Janine disqualify herself?
No - Judge Janine need not disqualify herself. A judge must disqualify herself if a relative within the third degree is a party or an officer, director, general partner, managing partner, or trustee of a party. Her aunt is a relative in the third degree but is not a general or managing partner. A judge must also disqualify herself if the judge's spouse, domestic partner, parent, or child (wherever residing), or any other member of the judge's family who resides in the judge's household has an economic interest in the outcome. The judge's aunt who works at the partnership is not one of the relatives covered by this rule.
Judge Jemma belongs to and is very active in her church. Her church has a congregation of only 100 members. A member of Judge Jemma's church congregation appears as a party in Judge Jemma's courtroom. Judge Jemma has no contact with this member outside of church functions. Must Judge Jemma disqualify herself from the case?
No, Judge Jemma need not disqualify herself. Unlike friends, acquaintances appearing as parties do not require a judge to disqualify herself from the case. Fellow church congregants are acquaintances.
A corporation in which Judge Kim's first cousin sits on the board of directors appears as a party in Judge Kim's courtroom. Must Judge Kim disqualify himself?
No, Judge Kim need not disqualify himself from the case. 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 great-grandparents, grandparents, parents, uncles, aunts, brothers, sisters, children, grandchildren, great-grandchildren, nieces, and nephews—not cousins.
May a judge independently investigate the facts of a case?
No, a judge must consider only the evidence presented
Judge Jasmine is a full-time federal judge. The judge's daughter is a public school teacher who is being let go from her job. Her daughter asks Judge Jasmine to attend the hearing on her termination as her lawyer. May Judge Jasmine attend the hearing as a lawyer?
No, because she is a full-time judge Judge Jasmine may not attend the hearing as her daughter's lawyer. A full-time judge must not practice law. There is an exception for drafting documents or reviewing documents for a family member, but a judge can't act as a family member's lawyer in any forum.
Prior to Judge Jesse being appointed to the bench, his firm worked on a case for X-Corp. Judge Jesse had no involvement in the case. The X-Corp case is now before Judge Jesse. Judge Jesse discloses on the record the reason for his disqualification. He then turns to the parties and asks whether they can agree that he should not be disqualified. Both parties agree to waive the disqualification. May Judge Jesse properly remain on the case? Press Enter or Space to submit the answer
No, because the parties were not permitted to meet privately outside the presence of Judge Jesse Jesse may not properly remain on the case because the grounds for disqualification were not properly waived. To remit (waive) grounds for disqualification, the judge disclosing the grounds on the record is only one step in the process. The lawyers must be able to consult privately with their clients, and the parties must be able to meet outside the presence of the judge. Here, the judge asked the parties for an immediate answer, depriving them of an opportunity to meet privately, outside his presence.
Is it an abuse of judicial prestige for a judge use official letterhead to provide a recommendation for someone?
No, if the judge indicates that the reference is personal AND there is no likelihood that use of the letterhead would be reasonably perceived as an attempt to use the judicial office to exert pressure
An ex parte communication is a communication between a judge and representative from one side of a matter when no representative from the other side is present. If a judge inadvertently receives an unauthorized ex parte communication, she must:
Notify the parties of the substance of the communication and give the parties an opportunity to respond
A judge may act as a reference for someone ________________________.
Only if the reference is based on personal knowledge
May a judge testify as a character witness?
Only when summoned to do so by subpoena
A judge must require ____________ to avoid bias, prejudice, and harassment.
Persons under the judge's direction and control
Article III federal judges are ___________________.
Subject to discipline by a committee of federal judges
In jurisdictions adopting the Code of Judicial Conduct ("CJC"), magistrates, court commissioners, referees, and special masters are ____________________.
Subject to the provisions of the CJC
An ex parte communication is a communication between a judge and representative from one side of a matter when no representative from the other side is present. Which of the following is NOT a condition that must be met in order for a judge to properly receive an ex parte communication in an administrative matter?
The communication concerns an important substantive issue in the case A judge may have an ex parte communication relating to an emergency or administrative matter only if all four of the following conditions are met: (i) the circumstances require the judge to communicate with one side only (if the other side cannot be reached); (ii) the communication concerns an emergency or a scheduling or administrative matter as distinct from a substantive matter or matter affecting the merits; (iii) the judge believes that no party will gain a procedural, substantive, or tactical advantage from the communication; and (iv) the judge notifies the lawyers for the other parties of the essence of the communication and gives them an opportunity to respond. As stated above, the communication should not concern a substantive matter in the case.
The Code of Judicial Conduct ("CJC") allows a judge to consider communications from certain third parties regarding a pending matter outside the presence of the parties' lawyers. A judge may NOT consider such communications from __________.
The parties' expert witnesses A judge may consult with other judges and court personnel whose function is to aid the judge in carrying out adjudicative responsibilities. A lawyer may also consider communications from disinterested legal experts in limited circumstances. A judge may not consider communications from the parties' expert witnesses outside the presence of the parties' lawyers.
Unless otherwise prohibited by the Code of Judicial Conduct ("CJC"), a judge may accept reimbursement of necessary and reasonable expenses for travel, food, lodging, or other incidentals from sources other than the judge's employer if such expenses are associated with the judge's participation in extrajudicial activities permitted by the CJC. Which of the following statements regarding reimbursements is true?
The reimbursement may need to be publicly reported by the judge A judge who accepts reimbursement of expenses 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. Reimbursement for expenses may not exceed the actual costs reasonably incurred by the judge, or when appropriate, the judge's spouse, domestic partner, or guest.
Tia is an attorney planning a grassroots run for judicial office, with her best friend Theo volunteering as her campaign manager. Theo sets out several strategies to start funding the campaign. Which statements are correct under the CJC?
Tia updating Theo on campaign contribution limits, Theo purchasing bumper stickers for supporters, and Tia appearing at a fundraiser coordinated by Theo are permitted under the Rules. Tia asking friends for donations and giving funds to Theo for investment in the campaign are improper because a judge or judicial candidate must not personally solicit or accept campaign contributions. Rather, a judicial candidate running in a public election may establish a campaign committee to manage and conduct her campaign. The candidate is responsible for ensuring that her committee complies with the CJC and applicable fundraising laws and must direct the committee not to solicit or accept donations above contribution limits. Therefore, it is proper for Tia to update Theo on campaign contribution limits. It is proper for a campaign committee to accept reasonable campaign contributions from lawyers who may appear before the candidate if the candidate is successful. The candidate should, however, instruct her campaign committee to be especially cautious in connection with such contributions, so they don't create grounds for disqualification if the candidate is elected. Purchasing bumper stickers is a permitted use of campaign funds. A campaign committee may coordinate a candidate fundraiser or meet-and-greet, so it would be proper for Tia to appear at Theo's fundraiser. However, the Rules prohibit the use of court 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.
A judge must not hold a membership in any organization that engages in invidious discrimination. A judge is also prohibited from:
Using the facilities of an organization that practices invidious discrimination
A judge is prohibited from accepting gifts that:
Would reasonably appear to undermine his independence, integrity, or impartiality A judge must not accept gifts, loans, bequests, benefits, or other things of value if acceptance thereof is prohibited by law or would reasonably appear to undermine the judge's independence, integrity, or impartiality. However, some gifts are permissible, including those made in the course of ordinary social hospitality.
Judge Jasper is a full-time state court judge. His best friend Bailey asked Jasper to draft a contract for him. Jasper took a couple of hours on the weekend and drafted the document as a favor to his friend. Is Judge Jasper subject to discipline?
Yes, A full-time judge must not practice law. There is an exception for drafting documents or reviewing documents for a family member, but Bailey is not a family member. The fact that the judge drafted the document on the weekend and did not charge for it is immaterial.
Judge Juanita and Poppy, a distant cousin, vacation together twice a year and see each other socially nearly every weekend. Poppy appears as a party in a lawsuit in Judge Juanita's courtroom. Must Judge Juanita disqualify herself?
Yes, Judge Juanita must disqualify herself from hearing the case. Although Poppy is not within the degree of relationship that would require the judge to disqualify herself on that basis, she does qualify as a close friend. A close personal relationship of this kind is a reasonable ground to believe that the judge has a personal bias concerning a party, and the judge must disqualify herself.
In a pending matter, may a judge consider communications made by third parties outside the presence of the parties' lawyers?
Yes, a judge may consult certain court personnel and disinterested legal experts in limited circumstances There are two limited circumstances in which a judge may consider communications from others made outside the presence of the parties' lawyers. A judge may consult with other judges and court personnel whose function is to aid the judge in carrying out adjudicative responsibilities. 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.
Miko is a judge whose 17-year-old son is preparing to leave home. Her son was offered an internship with a tech startup beginning after high school graduation. He accepted the position but told Miko his plans were "a surprise." On Monday morning, Miko learns that she will be presiding over a highly publicized fraud case against the same startup. Her son tells her about the internship that night. Must Miko disqualify herself from the case?
Yes, because Miko's son has an economic interest in the matter A judge must disqualify herself in a proceeding if she knows that she—or her spouse, domestic partner, parent, or child—has an economic interest in the matter or in one of the parties. (A) is wrong because this is not limited to a judge's direct economic benefit. Rather, the test is whether the economic interest raises a reasonable question regarding the judge's impartiality. (B) is wrong because a judge must make a reasonable effort to keep informed about the economic interests of her spouse, domestic partner, and any minor children residing in her household.
Judge Jun does not belong to a country club. His friend belongs to an exclusive golf club that does not permit women or gender nonconforming individuals to join. His friend invites the judge to a fundraiser for the children's hospital at the country club. The event is open to everyone. Is it proper for Judge Jun to attend?
Yes, because the fundraiser is an isolated event that would not be construed as the judge endorsing the club's practices
A judge at a judicial conference went for drinks at a bar with three other judges. Making his way back to the hotel on foot after several drinks, a drunken passerby approaches the judge and launches into an expletive-filled rant about the judge and the judge's family. The judge takes a swing at the passerby and misses, but they end up in a brawl.Is the judge subject to discipline?
Yes, because the judge acted in a manner that reflected adversely on his temperament and fitness The judge is subject to discipline because the judge's actions gave the appearance of impropriety. An "appearance of impropriety" arises when a judge's conduct would create a reasonable perception that he has violated the CJC or acted in some other manner that reflects adversely on his honesty, impartiality, temperament, or fitness as a judge. Engaging in a drunken brawl reflects adversely on the judge's temperament and fitness.
Generally, may parties waive judicial grounds for disqualification and allow a judge to preside over a matter?
Yes, but parties may not waive disqualification based on the judge's personal bias concerning a lawyer or party
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?
Yes, but the judge should disclose the ground for disqualification on the record The judge may decide the emergency motion because case law has created a rule of necessity that overrides the rules of disqualification. However, in such a situation, 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.
A judge must avoid bias, prejudice, and harassment. According to the Code of Judicial Conduct ("CJC"), can a facial expression convey prejudice?
Yes, if it denigrates or shows hostility or aversion toward a person
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?
Yes, if the judge gives advance notice to the parties of the expert's identity and subject matter of the advice solicited AND gives the parties a reasonable opportunity to object
May a judge be compensated for his participation in extrajudicial activities?
Yes, so long as the acceptance of compensation does not reasonably appear to undermine the judge's independence, integrity, or impartiality Reasonable compensation for a judge's extrajudicial activities (e.g., compensation for speaking, teaching, or writing) is permitted unless acceptance thereof would reasonably appear to undermine the judge's independence, integrity, or impartiality. Any such compensation must be reasonable and commensurate with the task performed.
A judge may conduct ex parte communications in limited circumstances including:
when the communications are expressly authorized by law; with the consent of the parties in an effort to mediate or settle a pending dispute; or in certain emergency or administrative matters. The CJC does not permit ex parte communications that are made in order to assist a pro se party.